Applied-Analysis--Optimization-and-Soft-Computing--ICNAAO-2021--Varanasi--India--December-21-23

Springer Proceedings in Mathematics & Statistics
Tanmoy Som · Debdas Ghosh ·

Oscar Castillo · Adrian Petrusel ·
Dayaram Sahu Editors
Applied Analysis,
Optimization
and Soft
Computing
ICNAAO-2021, Varanasi, India,
December 21–23
Springer Proceedings in Mathematics &
Statistics
Volume 419
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Tanmoy Som · Debdas Ghosh · Oscar Castillo ·
Adrian Petrusel · Dayaram Sahu
Editors
Applied Analysis,
Optimization and Soft
Computing
ICNAAO-2021, Varanasi, India,
December 21–23
Editors
Tanmoy Som Debdas Ghosh
Department of Mathematical Sciences Department of Mathematical Sciences
Indian Institute of Technology (BHU) Indian Institute of Technology (BHU)
Varanasi, Uttar Pradesh, India Varanasi, Uttar Pradesh, India
Oscar Castillo Adrian Petrusel

Research Chair of Graduate Studies Faculty of Mathematics and Computer
Tijuana Institute of Technology Science
Tijuana, Mexico Babes-Bolyai University
Cluj-Napoca, Romania
Dayaram Sahu
Department of Mathematics
Banaras Hindu University
Varanasi, India
ISSN 2194-1009 ISSN 2194-1017 (electronic)

Springer Proceedings in Mathematics & Statistics
ISBN 978-981-99-0596-6 ISBN 978-981-99-0597-3 (eBook)
https://doi.org/10.1007/978-981-99-0597-3
Mathematics Subject Classification: 90-xx, 37-xx, 03E72, 00A71, 68Qxx
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Contents
Fixed Point Theory

Large Contractions and Surjectivity in Banach Spaces . . . . . . . . . . . . . . . . 3
Mădălina Moga and Adrian Petruşel
On Hick’s Contraction Using a Control Function . . . . . . . . . . . . . . . . . . . . . 13
Vandana Tiwari, Binayak S. Choudhury, and Tanmoy Som
Coupled Fixed Points for Multivalued Feng–Liu-Type Contractions
with Application to Nonlinear Integral Equation . . . . . . . . . . . . . . . . . . . . . 21
Binayak S. Choudhury, N. Metiya, S. Kundu, and P. Maity
Fractals
Clifford-Valued Fractal Interpolation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Peter R. Massopust
Optimal Quantizers for a Nonuniform Distribution on a Sierpiński
Carpet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Mrinal Kanti Roychowdhury
Fractal Dimension for a Class of Complex-Valued Fractal
Interpolation Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Manuj Verma, Amit Priyadarshi, and Saurabh Verma
A Note on Complex-Valued Fractal Functions on the Sierpiński
Gasket . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
V. Agrawal and T. Som
Dimensional Analysis of Mixed Riemann–Liouville Fractional
Integral of Vector-Valued Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
Megha Pandey, Tanmoy Som, and Saurabh Verma
v
vi Contents
Fractional Operator Associated with the Fractal Integral

of A-Fractal Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
T. M. C. Priyanka and A. Gowrisankar
Mathematical Modeling
A Multi-strain Model for COVID-19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
Samiran Ghosh and Malay Banerjee
Effect of Nonlinear Prey Refuge on Predator–Prey Dynamics . . . . . . . . . . 143
Shilpa Samaddar, Mausumi Dhar, and Paritosh Bhattacharya
Effects of Magnetic Field and Thermal Conductivity Variance
on Thermal Excitation Developed by Laser Pulses and Thermal
Shock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
Rakhi Tiwari
Differential and Integral Equations

On Unique Positive Solution of Hadamard Fractional Differential
Equation Involving p-Laplacian . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
Ramesh Kumar Vats, Ankit Kumar Nain, and Manoj Kumar
Eigenvalue Criteria for Existence and Nonexistence of Positive
Solutions for α-Order Fractional Differential Equations
on the Half-Line (2 < α ≤ 3) with Integral Condition . . . . . . . . . . . . . . . . . 183
Abdelhamid Benmezai, Souad Chentout, and Wassila Esserhan
A Collocation Method for Solving Proportional Delay Riccati
Differential Equations of Fractional Order . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
Basharat Hussain and Afroz Afroz
On the Solution of Generalized Proportional Hadamard Fractional
Integral Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219
Rahul and N. K. Mahato
Optimization Theory and Applications

An Invitation to Optimality Conditions Through Non-smooth
Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
Joydeep Dutta
Solving Multiobjective Environmentally Friendly
and Economically Feasible Electric Power Distribution
Problem by Primal-Dual Interior-Point Method . . . . . . . . . . . . . . . . . . . . . . 259
Jauny, Debdas Ghosh, and Ashutosh Upadhayay
Optimization Methods Using Music-Inspired Algorithm and Its
Comparison with Nature-Inspired Algorithm . . . . . . . . . . . . . . . . . . . . . . . . 271
Debabrata Datta
Contents vii
On Mathematical Programs with Equilibrium Constraints Under

Data Uncertainty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
Vivek Laha and Lalita Pandey
A New Approach to Solve Fuzzy Transportation Problem . . . . . . . . . . . . . 301
Ashutosh Choudhary and Shiv Prasad Yadav
The Best State-Based Development of Fuzzy DEA Model . . . . . . . . . . . . . . 315
Anjali Sonkariya and Shiv Prasad Yadav
Performance Evaluation of DMUs Using Hybrid Fuzzy
Multi-objective Data Envelopment Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . 329
Awadh Pratap Singh and Shiv Prasad Yadav
Development of Intuitionistic Fuzzy Data Envelopment Analysis
Model Based on Interval Data Envelopment Analysis Model . . . . . . . . . . . 345
Meena Yadav and Shiv Prasad Yadav
Pricing Policy with the Effect of Fairness Concern, Imprecise
Greenness, and Prices in Imprecise Market for a Dual Channel . . . . . . . . 357
Sanchari Ganguly, Pritha Das, and Manoranjan Maiti
Fuzzy Set Theory

A Similarity Measure of Picture Fuzzy Soft Sets and Its Application . . . . 381
V. Salsabeela and Sunil Jacob John
Soft Almost s-Regularity and Soft Almost s-Normality . . . . . . . . . . . . . . . . 391
Archana K. Prasad and S. S. Thakur
Algebraic Properties of Spherical Fuzzy Sets . . . . . . . . . . . . . . . . . . . . . . . . . 403
P. A. Fathima Perveen and Sunil Jacob John
Divergence Measures of Pythagorean Fuzzy Soft Sets . . . . . . . . . . . . . . . . . 411
T. M. Athira and Sunil Jacob John
Fuzzy-Rough Optimization Technique for Breast Cancer
Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
K. Anitha and Debabrata Datta
About the Editors
Tanmoy Som is Professor and former Head of the Department of Mathematical

Sciences, Indian Institute of Technology (Banaras Hindu University), Varanasi, India.
He completed his PhD from Institute of Technology, Banaras Hindu University, India,
in 1986. He also has served as the Head of the Department of Mathematics at Assam
Central University, Silchar. His research interests are in functional analysis, opti-
mization and mathematical modelling, fuzzy set theory, soft computing, and image
processing. He has successfully guided more than 16 PhD students and published
more than 100 papers and several book chapters in reputed national and interna-
tional journals, proceedings, and edited books. He has authored several papers on
metric fixed point theory, optimization modelling and recently on applied analysis,
soft computing, and fuzzy geometry.
He has completed a BRNS-BARC-funded project titled “Fractional Calculus
Approached Solutions for Two-Dimensional Ground Water Contaminations in
Unsaturated Media” during 2014-18 jointly with Prof. S. Das of IIT (BHU). He
is an editorial board member and reviewer of a few reputed journals including IEEE
Transactions, American Mathematical Society, and one of the volume editors of
the book Mathematics and Computing: ICMC 2018, Varanasi, India, January 9–11
(Springer 2018). He has been Guest/Handling Editor of the International Journal of
Forensic and Community Medicine. He has delivered several invited talks at national
and international conferences, seminars, refresher courses, etc., and has organized
three international events as organizing chair. He is the Vice-President of Calcutta
Mathematical Society—one of the oldest mathematical societies in India. He has
made short academic visits to Texas A&M University, Kingsville (2012), and the
University of California, Berkeley (2016).
Debdas Ghosh is Assistant Professor at the Department of Mathematical Sciences,

Indian Institute of Technology (BHU) Varanasi, India. He earned his PhD degree in
mathematics from the Indian Institute of Technology (IIT) Kharagpur. He completed
his MSc from IIT Kharagpur in 2009 and BSc from Ramakrishna Mission Vidya-
mandira, Belur Math, University of Calcutta, Kolkata, India. He is a recipient of the
Professor J. C. Bose Memorial Gold Medal from IIT Kharagpur (2009). Dr Ghosh has
ix
x About the Editors
been awarded the Outstanding Potential for Excellence in Research and Academics
Award (2014) from BITS-Pilani (Hyderabad Campus), where he worked as Assistant
Professor of mathematics, for the period June 2014–June 2016.
His broad research interest includes optimization theory, fuzzy geometry, compu-
tational multiobjective optimization, and robust optimization. With more than
40 papers and 12 conference papers, he has published five papers on fuzzy
geometrical ideas on plane and space. He has authored/edited several books: An
Introduction to Analytical Fuzzy Plane Geometry, Mathematics and Computing
(Springer), and A Primer on Interval Optimization (all with Springer). Dr Ghosh
has completed a research project entitled “On Characterizing and Obtaining the
Complete Efficient Solution Set of an Interval Optimization Problem under a D-
Dominance and a Variable Dominance Structure”, funded by Science and Engi-
neering Research Board, India. He is now handling a research project entitled
“On Developing Polynomial-time Interior-Point Methods for Robust Multiobjec-
tive Convex Optimization Problems”, funded by Science and Engineering Research
Board, India.
Oscar Castillo is Professor of Computer Science at the Graduate Division, Tijuana

Institute of Technology, Tijuana, Mexico. In addition, he is serving as Research
Director of Computer Science and head of the research group on Hybrid Fuzzy
Intelligent Systems. Currently, he is President of Hispanic American Fuzzy Systems
Association (HAFSA) and Past President of International Fuzzy Systems Association
(IFSA). He holds a Doctor of Science degree (Doctor Habilitatus) in Computer
Science from the Polish Academy of Sciences (with the dissertation “Soft Computing
and Fractal Theory for Intelligent Manufacturing”). Professor Castillo is also Chair
of the Mexican Chapter of the Computational Intelligence Society (IEEE). He also
belongs to the Technical Committee on Fuzzy Systems of IEEE and to the Task Force
on “Extensions to Type-1 Fuzzy Systems”. He is Member of NAFIPS, IFSA, and
IEEE. He belongs to the Mexican Research System (SNI Level 3).
His research interests are in type-2 fuzzy logic, fuzzy control, neuro-fuzzy, and
genetic-fuzzy hybrid approaches. He has published over 300 papers in several jour-
nals, authored 10 books, edited 50 books, more than 300 papers in conference
proceedings, and more than 300 chapters in edited books; in total, more than 1000
publications according to Scopus (H index = 66), and more than 1200 publications
according to Google Scholar (H index = 80). He has been Guest Editor of several
successful special issues of the following journals: Applied Soft Computing, Intel-
ligent Systems, Information Sciences, Non-Linear Studies, Fuzzy Sets and Systems,
JAMRIS, and Engineering Letters. He is currently Associate Editor of the Informa-
tion Sciences Journal, Engineering Applications of Artificial Intelligence Journal,
Complex and Intelligent Systems Journal, Granular Computing Journal, and the
International Journal on Fuzzy Systems. Finally, he has been elected IFSA Fellow
in 2015 and MICAI Fellow member in 2017. He has been recognized as a Highly
Cited Researcher in 2017 and 2018 by Clarivate Analytics because of having multiple
highly cited papers in the Web of Science.
About the Editors xi
Adrian Petrusel is Professor at the Department of Mathematics, Babeş-Bolyai

University Cluj-Napoca, Romania (since 2003). He has also been Visiting Researcher
at the University of Seville, Spain (2004); Visiting Professor/Researcher at National
Sun Yat-sen University, Kaohsiung, Taiwan (2007, 2016–2019); and Visiting
Professor at King Saud University, Riyadh, Saudi Arabia (2015–2016). He earned his
PhD degree from Babeş-Bolyai University Cluj-Napoca, Romania (1994). His areas
of research include fixed point theory, differential equations, and multivalued anal-
ysis. He is the author of six books and more than 200 research papers in reputed jour-
nals, which have over 2500 citations and H-index 23, according to the Web of Science.
He received the “Babes-Bolyai” University Prize in 2002 for his books: Fixed Point
Theory (1950–2000): Romanian Contributions and was recently awarded the distinc-
tion “Bologna Professor”—AOSR, 2021. He is an invited researcher at Sevilla
University, Spain (2003); Valencia University, Spain (2004); Chiang Mai University,
Chiang Mai, Thailand; and King Mongkut’s University of Technology Thonburi,
Bangkok, Thailand (2012) and National Sun Yat-sen University, Kaohsiung, Taiwan
(2015-19). He has been an expert member of The International Research Grants body
in Taiwan (2015-19).
He is the Editor-in-Chief of the following journals: Fixed Point Theory, Fixed Point
Theory and Algorithms for Science and Engineering, and Studia Univ. Babeş-Bolyai
Mathematica. Moreover, he is on the editorial board of the journals: Studia Universi-
tatis Babeş-Bolyai, Mathematica, FILOMAT, Miskolc Math. Notes, Applicable Anal-
ysis, and Discrete Mathematics, Discrete Dynamics in Nature and Society; Linear
and Nonlinear Analysis, The Journal of Nonlinear Sciences and its Applications;
Applied Analysis and Optimization; Journal of Nonlinear and Variational Analysis;
Mathematical Analysis and Convex Optimization; Journal of Nonlinear Analysis
and Optimization: Theory and Applications; International Journal of Mathematical
Sciences; and Mathematica (Cluj).
Dayaram Sahu is Senior Professor at the Department of Mathematics, Insti-

tute of Science, Banaras Hindu University, Varanasi, India. Earlier, he was Asso-
ciate Professor and the Head of the Department of Applied Mathematics, at Shri
Shankaracharya College of Engineering and Technology, Junwani, Bhilai, India. He
completed his PhD degree from Ravishankar Shukla University, Raipur, India, in
1996. He has 25 years of teaching experience at undergraduate and graduate levels
and research. His research interests include fixed point theory, computational operator
theory, variational inequality theory, computational convex optimization, Newton-
like methods, and image processing. He has supervised nine research scholars for
their PhD degrees, and other six students are pursuing their PhD.
He is on the editorial board of several international journals including Fixed
Point Theory, Fixed Point Theory and Algorithms for Science and Engineering, and
Journal of Applied and Numerical Optimization. He also is a reviewer of many
reputed journals. He has authored one book and published more than 140 research
papers (over 2833 citations, H-index 22; to date). He has completed two SERC
Fast Track projects as Principal Investigator. He has delivered several invited talks at
several international conferences: some of them are ICFPTA-2012 in Taiwan (2012),
xii About the Editors
ICFPTA-2019 in China (July 2019), and ICTP-2002 in Italy. He has visited for
academic works IISc Bangalore (2002), India; South Korea (2008), Taiwan (2018);
Romania (2018); Guru Ghasidas University, Chhattisgarh, India (2018); and Jamia
Millia Islamia, New Delhi (2019).
Fixed Point Theory
Large Contractions and Surjectivity
in Banach Spaces
Mădălina Moga and Adrian Petruşel
Abstract In 1996, T.A. Burton proposed a new concept of contraction-type mapping

by introducing the notion of large contraction. In his paper, a fixed-point result
for a single-valued large contraction in a complete metric space is given and some
applications to integral equations are deduced. In this paper, we will continue the
study of the above-mentioned mappings in the context of a Banach space X . More
precisely, we will show that any large contraction t : X → X is a norm-contraction
in the sense of A. Granas. Then, as an application, a surjectivity theorem for the field
1 X − t generated by t is proved. In the second part of this work, we extend the concept
of large contraction to the multivalued case and we prove fixed-point theorems for
multivalued large contractions T : X → P(X ) in a Banach space X . Additionally,
some surjectivity results for the field 1 X − T generated by the multivalued operator
T are given. The results of this paper extend and complement several fixed-point
theorems and surjectivity results in the recent literature.
Keywords Banach space · Large contraction · Multivalued large contraction ·

Fixed point · Surjectivity theorem
1 Introduction and Preliminaries
Let X be a nonempty set and t : X → X be an operator. We will denote by
Fi x(t) := {x ∈ X |x = t (x)}
M. Moga · A. Petruşel (B)

Faculty of Mathematics and Computer Science, Babeş-Bolyai University Cluj-Napoca,
Kogălniceanu Street, No. 1, Cluj-Napoca, Romania
e-mail: petrusel@math.ubbcluj.ro
M. Moga
e-mail: madalina.moga@math.ubbcluj.ro
A. Petruşel
Academy of Romanian Scientists, Splaiul Independentei no. 54, Bucharest, Romania
© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 3
T. Som et al. (eds.), Applied Analysis, Optimization and Soft Computing,
Springer Proceedings in Mathematics & Statistics 419,
https://doi.org/10.1007/978-981-99-0597-3_1
4 M. Moga and A. Petruşel
the fixed-point set of t. We denote by t n := t ◦ t ◦ · · · ◦ t for n-times, the nth iterate

of t.
The sequence (xn )n∈N defined by xn+1 = t (xn ), n ∈ N (i.e., xn = t n (u), u ∈
X and n ∈ N∗ ) is the sequence of Picard iterates for t starting from u ∈ X .
Let (X, · ) be a Banach space. For given u ∈ X and r > 0, we denote by

B(u; r ) := {x ∈ X | x − u ≤ r } the closed ball of radius r centered at u.
By P(X ), we will denote the set of all nonempty subsets of X. We will also use the
following notations:
Pb (X ) := {A ∈ P(X )|A is bounded } , Pcp (X ) := {A ∈ P(X )|A is compact } ,
Pcl (X ) := {A ∈ P(X )|A is closed } , Pcv (X ) := {A ∈ P(X )|A is convex } .
Definition 1 (Granas–Dugundji [5]) Let X, Y be two normed spaces. Then:

(i) the operator t : X → Y is called compact if its range t (X ) is contained in a
compact subset of Y (or equivalently, the range t (X ) is relatively compact).
(ii) the operator t : X → Y is called completely continuous if t continuous and
t (A) is relatively compact, for each A ∈ Pb (X ).
Definition 2 (see, e.g., Rus [10]) Let (X, · ) be a normed space. An operator
t : X → X is called quasi-bounded if there exist two numbers a, b ∈]0, ∞[ such
that
t (x) ≤ ax + b, for all x ∈ X. (1)
In the above context, if t is a quasi-bounded operator, then the quasi-norm of t is

defined by
|t| = inf {a > 0| there exists b > 0 such that the relation (1) holds} .
Definition 3 (see, e.g., Rus [10]) Let (X, · ) be a normed space and t : X → X
be a quasi-bounded operator. If the quasi-norm of t is strictly less than one, then t is
called norm-contraction.
In 1996, T.A. Burton proposed a new concept of contraction-type mapping by

introducing the notion of large contraction. In his paper, a fixed-point result for a
single-valued large contraction in a complete metric space is given and some appli-
cations to integral equations are deduced. In this paper, we will continue the study of
the above-mentioned mappings in the context of a Banach space X . More precisely,
we will show that any large contraction t : X → X is a norm-contraction in the sense
of A. Granas. Then, as an application, a surjectivity theorem for the field 1 X − t gen-
erated by t (here, 1 X denotes the identity operator of the Banach space X ) is proved.
In the second part of this work, we extend the concept of large contraction to the
multivalued case and we prove fixed-point theorems for multivalued large contrac-
tions T : X → P(X ) in a Banach space X . Additionally, some surjectivity results
Large Contractions and Surjectivity in Banach Spaces 5
for the field 1 X − T generated by the multivalued operator T are given. The results
of this paper extend and complement fixed-point and surjectivity theorems (see [8,
9, 11]), as well as other related results (see lemma in [1]), in the recent literature.
2 A Surjectivity Theorem for Single-valued Large

Contractions
In this section, we will prove the property that the field 1 X − t is surjective, where
t is a single-valued large contraction. The proof is based on T.A. Burton’s large
contraction principle [1] and a fixed-point theorem of Granas [4].
Theorem 1 (Granas [4]) Let (X, · ) be a Banach space and g : X → X be a com-
plete continuous operator. If, additionally, g is a norm-contraction, then Fi x(g) = ∅.
The following notion was introduced by T.A. Burton in 1996, in the frame of a
metric space. We recall the definition in the context of a Banach space.
Definition 4 (Burton [1]) Let (X, · ) be a normed space. An operator t : X → X
is said to be a large contraction if
1. t is contractive, i.e.,
t (x) − t (y) < x − y, ∀x, y ∈ X, with x = y,
2. for each ε > 0, there exists δ(ε) ∈]0, 1[ such that
x, y ∈ X, x − y ≥ ε ⇒ t (x) − t (y) ≤ δ(ε)x − y
Jachymski in [7] noted that the contractive condition in the above definition can
be avoided and, as a consequence, an operator t : X → X is a large contraction if,
for each ε > 0, there exists δ(ε) ∈]0, 1[ such that
x, y ∈ X, x − y ≥ ε ⇒ t (x) − t (y) ≤ δ(ε)x − y.
For related equivalences involving classes of generalized contractions, see [7].

The following concept, introduced by M.A. Krasnoselskii, is related to the above
definition.
Definition 5 (M.A. Krasnoselskii, see e.g., Chen [3]) Let (X, · ) be a Banach
space. An operator t : X → X is called a generalized contraction if for any 0 < a <
b < ∞, there exists δ(a, b) ∈]0, 1[ such that t (x) − t (y) ≤ δ(a, b)x − y, for
all x, y ∈ X satisfying a < x − y < b.
On the one hand, a large contraction is a generalized contraction, see [3]. On the
other hand, there exist large contractions which are not (Banach) contractions.
The main fixed-point theorem for large contractions was given by T.A. Burton.
Theorem 2 (Burton [1]) Let (X, d) be a complete metric space and t : X → X be

a large contraction. Suppose there exist x ∈ X and L > 0, such that d(x, t n (x)) ≤ L
for all n ≥ 1. Then t has a unique fixed point in X.
As a consequence of the above theorem, we obtain the following result.
Corollary 1 Let (X, d) be a complete metric space and t : X → X an operator for

which there exists n 0 ∈ N, n 0 ≥ 2 such that t n 0 is a large contraction. Suppose there
is an x ∈ X and L > 0 such that d(x, t n (x)) ≤ L for all n ≥ 1. Then t has a unique
fixed point.
Proof From Burton’s Theorem 2, we have that Fi x(t n 0 ) = {x ∗ }. Then, by x ∗ =

t n 0 (x ∗ ), we obtain that t (x ∗ ) = t n 0 (t (x ∗ )), which implies that t (x ∗ ) ∈ Fi x(t n 0 ).
Thus, x ∗ = t (x ∗ ), i.e., x ∗ ∈ Fi x(t). In order to obtain the uniqueness of the fixed
point, we suppose, by contradiction, that there exists y ∗ ∈ X such that y ∗ = x ∗ and
y ∗ ∈ Fi x(t). This implies that y ∗ ∈ Fi x(t n 0 ). Now, the uniqueness of the fixed point
of t follows by uniqueness of the fixed point of t n 0 . Hence, Fi x(t) = {x ∗ }.
The following example is related to some notions and results from the paper of
Burton and Purnaras [2].
Let K be a closed interval of the real axis and SK be the set of continuous functions
defined on K . Then (SK , · ) is a normed space, where · is the sup-norm. Let
g : [a, b] → R be a given function. We consider the subspace M ⊂ SK defined by
M := {x ∈ SK : a ≤ x(s) ≤ b, s ∈ K } . (2)
Notice that (M, · ) is a complete metric space.

Consider now the operator h : M → SK defined by
h(x)(s) = g(x(s)), s ∈ K . (3)
The following characterization theorem was given in [2].

Theorem 3 (Burton–Purnaras [2]) Let t : [a, b] → R and g : [a, b] → [a, b],
g(x) = x − t (x), x ∈ [a, b]. Then h defined by (3) is a large contraction on M
if and only if t satisfies the relation
t (x) − t (y)
0< < 2, x, y ∈ I, x = y. (4)
x−y
Using the above approach, we have an example of a large contraction which is

not a contraction mapping in the sense of Banach.
Example 1 Let t : [0, 1] → R be given by
e x (x 2 − x + 1)
t (x) := , x ∈ [0, 1] := I.
2e
Therefore, t is increasing on I , thus

1 1
t (I ) = t ([0, 1]) = [t (0), t (1)] = , ⊂I
2e 2
We calculate the first derivative and we have that

xe x (1 + x)
t (x) = > 0, x ∈ [0, 1].
2e
Moreover, t is nonnegative and increasing on I . Thus,
0 ≤ t (0) ≤ t (x) ≤ t (1) = 1 ≤ 2, x ∈ I
It follows that t satisfies the relation (4). From Theorem 3, we get that the function
e x (x 2 − x + 1)
h(x) := x − , x ∈ [0, 1]
2e
is a large contraction on I . We observe that h is not a contraction on I since
xe x (1 + x)
h (x) = 1 − and h (0) = 1.
2e
We will present now another relevant example of large contraction, using the
concept of Meir–Keeler operator. Recall that if (X, · ) is a normed space, then
t : X → X is called a Meir–Keeler operator if for every ε > 0 there is δ > 0, such
that
x, y ∈ X, ε ≤ x − y < ε + δ ⇒ t (x) − t (y) < ε.
It is easy to see that any Meir–Keeler operator is contractive. Moreover, the following
result of Suzuki is well known.
Theorem 4 (Suzuki [12]) Let (X, · ) be a Banach space and C be a nonempty

and convex subset of X . Let t : C → C be a Meir-Keeler operator. Then, for each
ε > 0, there exists rε ∈]0, 1[ such that
x − y ≥ ε implies t (x) − t (y) ≤ rε x − y.
By the above considerations, one can conclude that any self-Meir–Keeler operator
on a nonempty and convex subset of a Banach space is a large contraction.
The first main result of this section is the following surjectivity theorem.
Theorem 5 Let (X, · ) be a Banach space and the operator t : X → X satisfying

the following assumptions:
(i) t is a large contraction;

(ii) t (A) is relatively compact, for each A ∈ Pb (X ).
Then the field 1 X − t : X → X generated by t is a surjective operator.
Proof From the definition, it is clear that 1 X − t is continuous.

We will prove first that t is a norm-contraction. Let u ∈ X and r > 0. Let us
consider the closed ball
B(u; r ) ⊂ X . Two cases will be taken into account:
(a) We will consider first x ∈
B(u; r ). Then, we have
t (x) ≤ t (
B(u; r )).
(b) Let x ∈ X \
B(u; r ). Then, we have that
t (x) ≤ t (x) − t (u) + t (u).
By the large contraction definition, since x − u ≥ ε, there exists δ < 1 such

that
t (x) − t (u) ≤ δx − u.
Thus, we have
t (x) ≤ δx − u + t (u) ≤ δx + δu + t (u).
If we denote b := δu + t (u) > 0, then we get
t (x) ≤ δx + b, for each x ∈ X \

B(u; R).
Hence, in both cases, we have that

t (x) ≤ δx + max t (
B(u; r )), δu + t (u) ,
for each x ∈ X .
Thus, t is a norm-contraction.
To prove that 1 X − t is surjective we have to show that for any y ∈ X exists x ∈ X
such that (1 X − t)(x) = y. Thus, we should prove that, for every y ∈ X , the equation
x = t (x) + y has at least one solution x ∈ X . For the above conclusion, it is sufficient
to prove that for each y ∈ X , the set Fi x(g y ) is nonempty, where g y : X → X is
given by g y (x) = t (x) + y.
Let y ∈ X . Then, because t is complete continuous, it follows that g y is complete
continuous. Moreover, because t is norm-contraction, we immediately obtain that g y
is a norm-contraction, too. Thus, from Theorem 1, we have that Fi x(g y ) = ∅. Thus,
the operator 1 X − t is surjective and the proof is complete.
3 Multivalued Large Contractions
Let (X, · ) be a normed space. We recall first some necessary notations and notions,
which will help us prove the main result of the section (see, e.g., [9, 11]).
(1) The distance from a point a ∈ X to a set B ∈ P(X )
D(a, B) = inf {a − b|b ∈ B} .
(2) The excess of a set A over a set B from X
ρ(A, B) = sup {D(a, B)|a ∈ A} .
(3) The Pompeiu–Hausdorff distance between two sets A and B from X
H (A, B) = max {ρ(A, B), ρ(B, A)} .
(4) The diameter between two sets A and B from X
Δ(A, B) = sup {a − b|a ∈ A, b ∈ B} ,
If T : X → P(X ) is a multivalued operator, then its fixed-point set is denoted

by Fi x(T ) := {x ∈ X |x ∈ T (x)}, while the graph of T is the set Graph(T ) :=
{(x, y) ∈ X × X : y ∈ T (x)}.
The following notion is important in our approach.
Definition 6 (Iannacci [6]) Let (X, · ) be a Banach space and T : X → Pb (X ).

Then the multivalued operator T is called quasi-bounded if there exists m, M ∈]0, ∞[
such that
y ≤ mx + M, for each (x, y) ∈ Graph(T ). (5)
The quasi-norm of a multivalued quasi-bounded operator T is defined by
|T | = inf {m > 0| there exists M > 0 such that the relation (5) holds} .
If the quasi-norm of T is less than one (i.e., |T | < 1), then T is called a multivalued
norm-contraction. In the above setting, we will denote
T (x) := H (T (x), {0}), for any x ∈ X.
Definition 7 A multivalued operator T : X → P(X ) is called completely continu-

ous if T is upper semicontinuous on X and the set T (A) is relatively compact, for
each A ∈ Pb (X ).
The following result was proved in 1978 by R. Iannacci.

Theorem 6 (Iannacci [6]) Let (X, · ) be a Banach space and let T : X → Pcv (X )
be a multivalued a completely continuous operator. Suppose that T is multivalued
norm-contraction. Then, the field 1 X − T generated by T is surjective.
Recall also that, in the same setting, a multivalued operator T : X → P(X ) is
called contractive (see, e.g., [13]) if
H (T (x), T (y)) < x − y, for all x, y ∈ X, x = y.
Definition 8 Let (X, · ) be a Banach space. Then T : X → P(X ) is said to be a

multivalued large contraction if for all ε > 0, exists δ(ε) ∈]0, 1[ such that
x, y ∈ X, x − y ≥ ε ⇒ H (T (x), T (y)) ≤ δ(ε)x − y.
It is easy to see that a multivalued large contraction is contractive.

Theorem 7 Let (X, · ) be a Banach space and let T : X → Pcp,cv (X ) be a mul-
tivalued operator satisfying the following assumptions:
1. T is a multivalued large contraction;
2. T (U ) is relatively compact, for each U ∈ Pb (X ).
Then, the field 1 X − T generated by T is surjective.
Proof We will prove first that T is a multivalued norm-contraction on X . Let u ∈ X
and r > 0. Let us consider the closed ball B(u; r ). Two cases will be taken into
account:
(a) We take x ∈
T (x) ≤ T (
B(u; r )).
(b) Let us consider now x ∈ X \

T (x) = H (T (x), {0}) ≤ H (T (x), T (u)) + H (T (u), {0}).
Now, we can take into account the fact that T is a multivalued large contraction.
Then, for ε > 0, there exists δ ∈ (0, 1) such that
H (T (x), T (u)) ≤ δx − u ≤ δ (x + u) .
As a consequence, we get
T (x) ≤ δ (x + u) + T (u).
Hence, for all x ∈ X , we get that

T (x) ≤ δx + max T (
B(u; r )), δu + T (u) .
Therefore, T is a multivalued norm-contraction. Moreover, since any contractive

operator with compact values is upper semicontinuous, we can apply the above
Theorem 6 and we get that 1 X − T is surjective.
Remark 1 It is an open question to prove a fixed-point theorem for multivalued

large contractions in complete metric spaces.
Concerning the above open problem, we can prove the following partial answer.
Theorem 8 Let (X, d) be a complete metric space and T : X → Pcl (X ) be a mul-

tivalued operator. Suppose that the following assertions hold:
(i) H (T (x), T (y)) < d(x, y), for every distinct elements x, y ∈ X ;
(ii) for every ε > 0, there exists δ ∈]0, 1[ such that
x, y ∈ X, x − y ≥ ε ⇒ Δ(T (x), T (y)) ≤ δx − y.
(iii) there exist K > 0, x ∈ X and a sequence {xn }n∈N of Picard type iterates for
T starting from x0 := x (i.e., xn+1 ∈ T (xn ), for every n ∈ N), such that d(x, xn ) ≤ K ,
for every n ∈ N∗ .
Then:
(a) T has at least one fixed point in X ;
(b) if, instead of (i), we suppose that
(i) Δ(T (x), T (y)) < d(x, y), for every x, y ∈ X, x = y,
then the fixed point is unique.
Proof (a) For x ∈ X , we consider the sequence {xn }n∈N of Picard-type iterates
for T starting from x0 := x. Suppose that this sequence is not Cauchy. Then,
there exist ε > 0, 0 < Nk ∞ and there exists m k , n k > Nk . m k > n k such
that d(xm k , xn k ) ≥ ε. Then, by (i), we get
ε ≤ d(xm k , xn k ) ≤ d(xm k −1 , xn k −1 ) ≤ · · · ≤ d(x, xm k −n k ).
Thus, for these distances, using (ii) and then (iii), we obtain
ε ≤ d(xm k , xn k ) ≤ δd(xm k −1 , xn k −1 ) ≤ · · · ≤ δ n−k K .
Since δ < 1, these relations yields a contradiction. As a consequence, we obtain

that the given sequence {xn }n∈N of Picard-type iterates for T starting from x0 := x
is Cauchy. Hence, the sequence {xn }n∈N converges to an element x ∗ ∈ X . We
will show that x ∗ is a fixed point for T . Indeed, since xn+1 ∈ T (xn ) and T has a
closed graph (being contractive), we obtain that x ∗ ∈ T (x ∗ ).
(b) The uniqueness of the fixed point follows by (i)’. Indeed, if x ∗ and x̃ are two
distinct fixed points of T , then we can write
d(x ∗ , x̃) ≤ Δ(T (x ∗ ), T (x̃)) < d(x ∗ , x̃),
a contradiction.
References
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124(8), 2383–2390 (1996)
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fixed point theory, Electron. J. Qual. Theory Differ. Equ. 94, 1–24 (2019)
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(2000)
On Hick’s Contraction Using a Control
Function
Vandana Tiwari, Binayak S. Choudhury, and Tanmoy Som
Abstract In this paper, we use L-convergence criteria to establish a Hick’s type

contraction mapping theorem in different probabilistic metric spaces. A theorem is
established by using the control function which is a recent introduction in literature
and is a generalization of many other such functions. The fixed point obtained in our
theorem is unique.
Keywords Menger space · Fixed point · ϕ-contraction
1 Introduction and Mathematical Preliminaries
Metric space was probabilistically generalized in the work of K. Menger [1] as

early as 1942. Its theory has developed over the years in different directions. An
accent of these development has been described in Schweizer and Sklar [3]. Several
aspects of this study still continue to be developed. Metric fixed point theory was
extended to the probabilistic metric spaces by Sehgal and Bharucha-reid [2], after
which many researchers have worked on this research area which has resulted in a
very large literature making probabilistic fixed point theory into a subject by itself.
The structure of probabilistic metric spaces being inherently flexible, there has been
an extension of several results obtained on metric spaces in many ways. In particular,
there is an extension of Banach’s contraction which is given by Hicks [4] and is very
V. Tiwari · T. Som (B)

Department of Mathematical Sciences, Indian Institute of Technology (B.H.U.),
Varanasi 221005, U.P., India
e-mail: tsom.apm@itbhu.ac.in
V. Tiwari
Department of Mathematics, Gandhi Smarak PG College, Samodhpur,
Jaunpur 223102, Uttar Pradesh, India
B. S. Choudhury
Department of Mathematics, Indian Institute of Engineering Sciences and Technology,
Shibpur, Howrah 711103, West Bengal, India
https://doi.org/10.1007/978-981-99-0597-3_2
14 V. Tiwari et al.
different from the form considered by Sehgal et al. [2]. This contraction is called
Hick’s contraction or C-contraction which along with its several modifications and
generalizations have been introduces in various research papers.
In probabilistic fixed point theory, a new domain of study started with the intro-
duction of control functions by Choudhury et al. [12]. This parallels a corresponding
development in metric spaces which was initiated by Khan et al. [12] and elaborated
through several works [5–7]. Other types of control functions have been used by
several authors like Ciric [8], Fang [12], etc. Particularly, the result of Fang [12] is a
culmination of a trend of development in this life.
In the present work, we use another control function for obtaining a generalized
C-contraction result in probabilistic metric spaces. The control function is different
from that of Fang [12] and its use has warranted a new method of proof of the
corresponding fixed point result. In the following, we dwell upon some aspects of
the probabilistic metric space and some other concepts which are required for further
discussion.
Definition 1 ([1]) A distribution function is defined as a left-continuous and non-

decreasing mapping F : R → [0, 1] with inf F (x) = 0. If F (0) = 0, then F is
x∈R
termed as a distance distribution function.
Definition 2 ([1]) Menger distance distribution function is defined as a distance

distribution function F with lim F (t) = 1. The collection of all Menger distance
t→∞
distribution function is denoted by D + . Here the space D + is partially ordered via
the usual pointwise ordering of functions, that is, F ≤ G if and only if G (t) ≥ F (t)
for all t ∈ [0, ∞]. Distance distribution function H is the maximal element for D + ,
given by
0 if t = 0
H (t) =
1 if t > 0.
Definition 3 ([3]) A t-norm is defined as a binary operation on [0, 1] if

1. (a, 1) = a for all a ∈ [0, 1]
2. is associative and commutative,
3. For b ≤ d, a ≤ c and for each a, b, c, d ∈ [0, 1] , we have (c, d) ≥ (a, d).
Some examples are the following:
(a) The product t-norm, P , such that P (a, b) = a.b, are two basic t−norms;
(b) The minimum t-norm, M , such that M (a, b) = min {a, b} are two basic t-
norms.
Generalization of metric spaces is known as Menger probabilistic metric spaces

(Menger space), which was given in 1942 by Menger [1].
Definition 4 ([1, 3]) Let be a t-norm and X be a nonempty set, then the triplet
(X, F, ) is defined as a Menger space. Here F : X × X → D + satisfies the fol-
lowing ( F (x, y) is denoted by Fx,y for x, y ∈ X ):
On Hick’s Contraction Using a Control Function 15
(PM-1) Fx,y (t) = H (t) for all t > 0, x, y ∈ X if and only if x = y,

(t) = Fx,y (t) for
(PM-2) Fy,x all t > 0 and y, x ∈ X ,
(PM-3) Fx,z (t), Fz,y (s) ≤ Fx,y (t + s) for all t, s > 0, x, y, z ∈ X .
Definition 5 ([3, 17])

1. If lim Fxn ,x (t) = 1, for all t > 0, then we say that the sequence (xn ) in (X, F, )
n→∞
converges to x ∈ X , written as xn → x.
2. Sequence (xn ) in (X, F, ) is said to be a Cauchy sequence if for any given
λ ∈ (0, 1] and ε > 0, there exists k ∈ N, depending on ε, λ, such that Fxn ,xm (ε) >
1 − λ, whenever m, n ≥ k.
3. If each Cauchy sequence (xn ) in X is convergent to some point x ∈ X, then the
Menger PM-space (X, F, ) is said to be complete.
Definition 6 The class of function consists of all ϕ : R+ → R+ such that there

exists r ≥ t with lim ϕn (r ) = 0 for each t > 0 . For example ϕ : [0, ∞) → [0, ∞),
⎧
n→∞
⎪
⎨t − 3 , if 2 < t < ∞,
4
such that ϕ (t) = −t + 43 , if 1 ≤ t ≤ 2,

⎪
⎩ t
3
1+t
, if 0 ≤ t < 1.
We define the following convergence criteria for the Menger space.
Definition 7 A Menger space (X, F, ) satisfies L−convergence criteria if for a

sequence (xn ) and a sequence of positive real numbers {tn }, Fxn ,xn+1 (tn ) → 1 as
n → ∞ implies that (xn ) is convergent.
Lemma 1 If ϕ ∈ . then there exists r ≥ t such that ϕ(r ) < t for each t > 0.
2 Main Results
Theorem 1 Suppose (X, F, ) is a Menger space. Let be a continuous t-

norm satisfying L−convergence. Further, let T : X → X be a probabilistic ϕ-
C−contraction, that is
Fx,y (t) > 1 − t ⇒ FT x,T y (ϕ(t)) > 1 − kt, for all t > 0 and x, y ∈ X, (1)
where ϕ ∈ and 0 < k < 1. Then x∗ ∈ X is a unique fixed point of T and also
{T n (x0 )} converges to x∗ for any arbitrary x0 ∈ X .
Proof For any x0 ∈ X,. we write xn = T n x0 = T xn−1 for all n ≥ 1. Let 0 < η < 1.
For Fx0 ,x1 (t) → 1 as t → ∞, there exists r > 0, such that
Fx0 ,x1 (r ) > 1 − η.

16 V. Tiwari et al.
Then from (1),

FT x0 ,T x1 (ϕ(r )) > 1 − kη,
that is,
Fx1 ,x2 (ϕ(r )) > 1 − kη.
Continuing in this way, we obtain
Fx2 ,x3 (ϕ2 (r )) > 1 − k 2 η.
In general, ∀ n ∈ N, we have
Fxn ,xn+1 (ϕn (r )) > 1 − k n η.
Again, Fx0 ,x1 (t) → 1 as t → ∞, for any ε ∈ (0, 1]. Hence, there exists t1 > 0
such that Fx0 ,x1 (t1 ) > 1 − ε. Here ϕ ∈ . Therefore, there exists t0 ≥ t1 such that
ϕn (t0 ) → 0 as n → ∞.
ϕn (t0 ) → 0 as n → ∞. (2)
Now,
Fx0 ,x1 (t0 ) ≥ Fx0 ,x1 (t1 ) > 1 − ε.
This implies that

FT x0 ,T x1 (ϕ(t0 )) > 1 − kε > 1 − ε,
that is,
Fx1 ,x2 (ϕ(t0 )) > 1 − kε > 1 − ε,
Continuing in similar manner, we obtain
Fxn ,xn+1 (ϕn (t0 )) > 1 − ε. (3)
Now, from (2) and (3), by L-convergence criteria, xn becomes a convergent sequence.
Let
xn → x as n → ∞. (4)
Let ε > 0. For ϕ ∈ , ∃ r ≥ ε with ϕ(r ) < ε.

Now
Fx,T x (ε) ≥ (Fx,xn (ε − ϕ(r )), Fxn ,T x (ϕ(r )). (5)
As {xn } converges to x,, we have that as n → ∞
Fxn−1 ,x (r ) → 1 .
Thus, for arbitrary 0 < λ < 1, we obtain N1 such that for all n > N1 ,
Fxn−1 ,x (r ) > 1 − λ,
which implies that
FT xn−1 ,T x (ϕ(r )) = Fxn ,T x (ϕ(r )) > 1 − kλ > 1 − λ. (6)
Again, as {xn } converges to x, it is possible to find N2 such that for all n > N2 , we
obtain
Fxn ,x (ε − ϕ(r )) > 1 − λ. (7)
We choose N = max(N1 , N2 ). Then, ∀ n > N , from (5)–(7) we get
Fx,T x (ε) ≥ (1 − λ, 1 − λ).
Here, is continuous t-norm and λ is arbitrary, hence for any ε > 0 we find,
Fx,T x (ε) = 1,
thus, x = T x.
Next, to establish the uniqueness of the fixed point, let x and y be any two fixed
points of T, that is, y = T y and x = T x.
There exists t0 > 0 such that Fx,y (t0 ) > 1 − ε because Fx,y (t) → 1 as t → ∞,
for any ε ∈ (0, 1]. Since ϕ ∈ , therefore, as n → ∞, there exists t1 ≥ t0 , such that
ϕn (t1 ) → 0. Let t > 0 be arbitrary. Then we can obtain n 0 ∈ N, such that ϕn (t1 ) < t
for all n ≥ n 0 . Thus, by monotonicity of the distribution function, we get
Fx,y (ϕn (t1 )) ≤ Fx,y (t). (8)
Now,
Fx,y (t1 ) ≥ Fx,y (t0 ) > 1 − ε.
This implies that

Fx,y (t1 ) = FT x,T y (ϕ(t1 )) > 1 − kε,
that is,
Fx,y (ϕ(t1 )) > 1 − kε,
Continuing in a similar manner, we obtain
Fx,y (ϕn (t1 )) > 1 − k n ε. (9)

18 V. Tiwari et al.
Now, (8) and (9) give
Fx,y (t) > 1 − k n ε, for all n ≥ n 0 . (10)
Letting n → ∞, Fx,y (t) = 1 for all t > 0, that is, x = y.

For ϕ(x) = kx such that 1 > k > 0, we have the following result.
Corollary 1 Suppose (X, F, ) is a Menger space. Here denotes a continuous
t-norm with 0 < k < 1 and L-convergence criteria. Let T : X → X be such that for
all 0 < λ < 1, r > 0 and y, x ∈ X,
1 − λ < Fx,y (r ) =⇒ 1 − kλ < FT x,T y (kr ). (11)
Then the mapping T has a unique fixed point.
3 Conclusion
Incidentally, we may also mention that there is no unique way of defining proba-
bilistic metrics. This flexibility makes it possible to suitably orient the definition to
fulfil specific purposes as, for instance, in [20], the definition has been tailored to
describe a nuclear fusion-related problem. In particular, fixed point-related studies
have required considerations of t-norm, the different choices of which radically alter
the characteristics of the space. It may be seen in future work how our result presented
here is varied with different choices of t-norms.
Acknowledgements The third author’s research is supported by the University Grant Commission
(No. 19-06/2011(i)EU-IV), India. The research work of the second author is supported by DST-WB,
India (624(sane)/ST/P/S & T/MISC-5/2012/Dated 27.08.2013).
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Coupled Fixed Points for Multivalued
Feng–Liu-Type Contractions
with Application to Nonlinear Integral
Equation
Binayak S. Choudhury, N. Metiya, S. Kundu, and P. Maity
Abstract In this paper, we establish existence of the coupled fixed point for set-
valued Feng–Liu-type contractions in complete metric spaces under two different
sets of conditions. Some consequences are obtained and an application to a nonlinear
integral equation is included.
Keywords Coupled fixed point · Cyclic admissible mapping · Hausdorff metric ·

Integral equations
AMS Subject Classification 54H10 · 54H25 · 47H10
1 Introduction and Mathematical Background
Multivalued nonlinear contractions appeared first in fixed point theory in the work of
Nadler [14]. This work was followed by a development of the branch of fixed point
theory in the domain of set-valued analysis through works like [8, 11, 12, 15, 17,
21]. Our aim in this paper is to establish the existence of fixed points of a coupled
multivalued mapping satisfying a generalized Feng–Liu-type contraction and new
admissibility condition which we defined in [3]. Further we apply our coupled fixed
point result for solving a system of nonlinear integral equations.
B. S. Choudhury · P. Maity
Department of Mathematics, Indian Institute of Engineering Science and Technology,
Shibpur, Howrah 711103, West Bengal, India
e-mail: binayak@math.iiests.ac.in
N. Metiya (B)
Department of Mathematics, Sovarani Memorial College, Jagatballavpur,
Howrah 711408, West Bengal, India
e-mail: metiya.nikhilesh@gmail.com; nikhileshm@smc.edu.in
S. Kundu
Department of Mathematics, Government General Degree College, Salboni,
Paschim Medinipur 721516, West Bengal, India
https://doi.org/10.1007/978-981-99-0597-3_3
22 B. S. Choudhury et al.
Suppose CL(X ) denotes the collection of all nonempty closed subsets of a metric
space (X, ρ). We use following notations and definitions when P, Q ∈ CL(X ):
D(u, Q) = inf {ρ(u, v) : v ∈ Q}, where u ∈ X, D(P , Q) = inf {ρ(s, t) : s ∈ P , t ∈ Q}
and

max {sup D( p, Q), sup D(q, P)}, if the infimum exists,
H(P, Q) = p∈P q∈Q
∞, otherwise.
The pair (CL(X ), H) is a generalized metric space and H is called the generalized
Hausdorff distance [6].
The idea of a coupled fixed point was introduced by Guo and Lakshmikantham
[10] in 1987. But only after the publication of the work of Bhaskar and Lakshmikan-
tham [9], a large number of papers have been written on this topic and on topics
related to it [2, 3, 5, 17–19].
A coupled fixed point of a mapping S : X × X → X is a point (u, v) ∈ X ×
X such that u = S(u, v) and v = S(v, u). For a multivalued mapping S : X ×
X → CL(X ), a coupled fixed point is an element (u, v) ∈ X × X satisfying u ∈
S(u, v) and v ∈ S(v, u)
Various admissibility criteria have been introduced in the study of fixed points of
mappings. In particular, we refer the reader to [1, 3, 4, 7, 13, 20].
Definition 1.1 ([3])A coupled mapping T : X × X → X is called cyclic (α, β)-

admissible, where α, β : X → [0, ∞), if for (x, y) ∈ X × X ,
(i) α(x) ≥ 1 and β(y) ≥ 1 ⇒ β(T (x, y)) ≥ 1,
(ii) β(x) ≥ 1 and α(y) ≥ 1 ⇒ α(T (x, y)) ≥ 1.
Definition 1.2 ([3])A multivalued coupled mapping T : X × X → CL(X ) is called

cyclic (α, β)- admissible, where α, β : X → [0, ∞), if for (x, y) ∈ X × X ,
(i) α(x) ≥ 1 and β(y) ≥ 1 ⇒ β(u) ≥ 1 for all u ∈ T (x, y),
(ii) β(x) ≥ 1 and α(y) ≥ 1 ⇒ α(v) ≥ 1 for all v ∈ T (x, y).
Example 1.1 Take the usual metric space X = [0, 1]. Define T : X × X → CL(X )
as T (x, y) = [0, x+y
16
], for x, y ∈ X and α, β : X → [0, ∞) as

e x , if x ∈ [0, 21 ], cosh x, if x ∈ [0, 21 ],
α(x) = and β(x) =
0, otherwise 0, otherwise.
Suppose that (x, y) ∈ X × X such that α(x) ≥ 1 and β(y) ≥ 1. Then x, y ∈ [0, 21 ]
and T (x, y) ⊆ [0, 21 ]. It follows that β(u) ≥ 1 for all u ∈ T (x, y). Similarly, one
can show α(v) ≥ 1 for all v ∈ T (x, y) whenever (x, y) ∈ X × X with β(x) ≥ 1 and
α(y) ≥ 1. The mapping T is here cyclic (α, β)-admissible.
Coupled Fixed Points for Multivalued Feng–Liu-Type Contractions … 23
Definition 1.3 A function f : X × X → R, where X is a metric space, is said to

be lower semi-continuous if for any sequence {(xn , yn )} ⊆ X × X and (x, y) ∈
X × X, (xn , yn ) → (x, y) as n → ∞ implies f (x, y) ≤ lim inf n→∞ f (xn , yn ).
By we denote the class of all functions φb : [0, ∞) → [0, b), 0 < b < 1,
satisfying lim supr −→t + φb (r ) < b, for each t ∈ [0, ∞). We use this class of functions
in our theorems.
2 Main Results
Theorem 2.1 Let (X, d) be a complete metric space and α, β : X → [0, ∞)

be two mappings. Let T : X × X → CL(X ) be a continuous and cyclic (α, β)-
admissible mapping. Suppose that there exist b ∈ (0, 1) and φb ∈ such that for
(x, y) ∈ X × X with (x, y) ≥ 1 there exist u ∈ T (x, y) and v ∈ T (y, x) for which
b max{d(x, u), d(y, v)} ≤ f (x, y),
f (u, v) ≤ φb (max {d(x, u), d(y, v)}) max {d(x, u), d(y, v)}, (2.1)
where f (s, t) = max{D(s, T (s, t)), D(t, T (t, s))} for s, t ∈ X and (x, y) =
α(x) β(y) or (x, y) = α(y) β(x). If there exist x0 , y0 ∈ X such that α(x0 ) ≥ 1
and β(y0 ) ≥ 1, then T has a coupled fixed point.
Proof If possible, suppose that f (x, y) = max {D(x, T (x, y)), D(y, T (y, x))} = 0
for some (x, y) ∈ X × X . Then D(x, T (x, y)) = 0 and D(y, T (y, x)) = 0, which
imply that x ∈ T (x, y) and y ∈ T (y, x), that is, (x, y) is a coupled fixed point of T .
Hence we shall assume that f (x, y) = 0 for every (x, y) ∈ X × X . Since b ∈ (0, 1),
there exist u ∈ T (x, y) and v ∈ T (y, x) such that
b max {d(x, u), d(y, v)} ≤ max {D(x, T (x, y)), D(y, T (y, x))} = f (x, y).
(2.2)
Starting with x0 , y0 ∈ X for which α(x0 ) ≥ 1 and β(y0 ) ≥ 1, we have (x0 , y0 ) =

α(x0 )β(y0 ) ≥ 1. By (2.1) and (2.2), we can choose x1 ∈ T (x0 , y0 ) and y1 ∈
T (y0 , x0 ) such that
b max {d(x0 , x1 ), d(y0 , y1 )} ≤ f (x0 , y0 ) and
f (x1 , y1 ) ≤ φb (max {d(x0 , x1 ), d(y0 , y1 )}) max {d(x0 , x1 ), d(y0 , y1 )}.
By the admissibility assumption of T , we have β(x1 ) ≥ 1 and α(y1 ) ≥ 1. Then

(x1 , y1 ) = α(y1 )β(x1 ) ≥ 1. By (2.1) and (2.2), we can choose x2 ∈ T (x1 , y1 ) and
y2 ∈ T (y1 , x1 ) such that
f (x2 , y2 ) ≤ φb (max {d(x1 , x2 ), d(y1 , y2 )}) max {d(x1 , x2 ), d(y1 , y2 )}.
By the admissibility assumption of T , we have α(x2 ) ≥ 1 and β(y2 ) ≥ 1. Then

(x2 , y2 ) = α(x2 )β(y2 ) ≥ 1. By (2.1) and (2.2), we can choose x3 ∈ T (x2 , y2 ) and
y3 ∈ T (y2 , x2 ) such that
f (x3 , y3 ) ≤ φb (max {d(x2 , x3 ), d(y2 , y3 )})max {d(x2 , x3 ), d(y2 , y3 )}.
Continuing this process, we construct two sequences {xn } and {yn } in X such that
xn+1 ∈ T (xn , yn ) and yn+1 ∈ T (yn , xn ) with (xn , yn ) ≥ 1, for all n ≥ 0. (2.3)
Also,
⎫
b max {d(xn , xn+1 ), d(yn , yn+1 )} ≤ f (xn , yn ) ⎬
and
⎭
f (xn+1 , yn+1 ) ≤ φb (max{d(xn , xn+1 ), d(yn , yn+1 )}) max{d(xn , xn+1 ), d(yn , yn+1 )}.
(2.4)
We shall show that

f (xn , yn ) → 0 as n → ∞.
Let rn = max {d(xn , xn+1 ), d(yn , yn+1 )}, for all n ≥ 0. (2.5)
From (2.4), (2.5), we have
b rn ≤ f (xn , yn ) and f (xn+1 , yn+1 ) ≤ φb (rn ) rn .
Therefore,
⎫
f (xn+1 , yn+1 ) φb (rn ) ⎪
rn+1 ≤ ≤ rn ⎬
b b (2.6)
and ⎪
⎭
f (xn , yn ) − f (xn+1 , yn+1 ) ≥ b rn − φb (rn ) rn = [b − φb (rn )] rn .
As, φb (rn ) < b, from (2.6), we have

⎫
φb (rn ) ⎪
rn+1 ≤ rn < rn ⎬
b (2.7)
and ⎪
⎭
f (xn , yn ) − f (xn+1 , yn+1 ) ≥ [b − φb (rn )] rn > 0.
It follows that {rn } and { f (xn , yn )} are strictly decreasing sequences of non-negative
real numbers. From the property of φb there exists a q ∈ [0, b) such that
lim sup φb (rn ) = q.

n→∞
Hence, for any b0 ∈ (q, b), there exists n 0 ∈ N such that
φb (rn ) < b0 , for all n > n 0 . (2.8)
Consequently, we have from (2.7) that for all n > n 0 ,
f (xn , yn ) − f (xn+1 , yn+1 ) ≥ γ rn , where γ = b − b0 . (2.9)
By (2.6) and (2.8), we have
φb (rn )
f (xn+1 , yn+1 ) ≤ φb (rn ) rn ≤ f (xn , yn )
b
φb (rn ) φb (rn−1 )
≤ f (xn−1 , yn−1 )
b2
φb (rn ) φb (rn−1 ) φb (rn−2 )
≤ f (xn−2 , yn−2 )
b3
≤ ...
φb (rn ) φb (rn−1 ) φb (rn−2 )...φb (r2 ) φb (r1 )
≤ f (x1 , y1 )
bn

φb (rn ) φb (rn−1 ) ...φb (rn 0 +1 ) φb (rn 0 ) φb (rn 0 −1 ) ...φb (r1 )
= f (x1 , y1 )
bn−n 0 bn 0

b0 n−n 0 φb (rn 0 ) φb (rn 0 −1 ) ...φb (r1 )
< f (x1 , y1 ) , for all n > n 0 . (2.10)
b bn 0
b0 b0
As b0 < b, < 1 and hence limn→∞ ( )n−n 0 = 0. Then it follows that
b b
lim f (xn , yn ) = 0. (2.11)

n→∞
Let m > n > n 0 . By (2.5) and (2.9), we have
m−1 m−1 m−1

1
d(xm , xn ) ≤ d(x j , x j+1 ) ≤ rj ≤ [ f (x j , y j ) − f (x j+1 , y j+1 )]
j=n j=n
γ j=n
1 f (xn , yn )
= [ f (xn , yn ) − f (xm , ym )] ≤
γ γ
and
m−1 m−1 m−1
1
d(ym , yn ) ≤ d(y j , y j+1 ) ≤ rj ≤ [ f (x j , y j ) − f (x j+1 , y j+1 )]
j=n j=n
γ j=n
1 f (xn , yn )
= [ f (xn , yn ) − f (xm , ym )] ≤ .
γ γ
Using (2.11), we have limm,n→∞ d(xm , xn ) = 0 and limm,n→∞ d(ym , yn ) = 0.

Therefore, both {xn } and {yn } are Cauchy sequences in X . As the metric space X is
complete, there exist points x, y ∈ X such that
xn → x and yn → y, as n → ∞. (2.12)
Then (xn , yn ) → (x, y) and (yn , xn ) → (y, x), as n → ∞. As T is continuous,

we have H(T (xn , yn ), T (x, y)) → 0 and H(T (yn , xn ), T (y, x)) → 0, as n →
∞. Therefore, D(xn+1 , T (x, y)) → 0 and D(yn+1 , T (y, x)) → 0, as n → ∞,
that is, D(x, T (x, y)) = 0 and D(y, T (y, x)) = 0. Since T (x, y), T (y, x) ∈
CL(X ), T (x, y) = T (x, y) and T (y, x) = T (y, x), where T (x, y) and T (y, x)
denote the closures of T (x, y) and T (y, x), respectively. Now, D(x, T (x, y)) =
0 and D(y, T (y, x)) = 0 imply that x ∈ T (x, y) = T (x, y) and y ∈ T (y, x) =
T (y, x), that is, (x, y) is a coupled fixed point of T .
In our next result, we take the semi-continuity assumption of the function

f (x, y) = max {D(x, T (x, y)), D(y, T (y, x))} instead of taking the continuity
assumption on T .
Theorem 2.2 Let (X, d) be a complete metric space and α, β : X → [0, ∞) be
two mappings. Let T : X × X → CL(X ) be a cyclic (α, β)-admissible mapping.
Suppose that there exist b ∈ (0, 1) and φb ∈ such that for (x, y) ∈ X × X with
(x, y) ≥ 1 there exist u ∈ T (x, y) and v ∈ T (y, x) for which b max{d(x, u),
d(y, v)} ≤ f (x, y) and also (2.1) of Theorem 2.1 is satisfied, where f (s, t) and
(x, y) are as given in Theorem 2.1. If f is lower semi-continuous and there exist
x0 , y0 ∈ X such that α(x0 ) ≥ 1 and β(y0 ) ≥ 1, then T has a coupled fixed point.
Proof Assuming f (x, y) = 0 for every (x, y) ∈ X × X we construct the same
sequences {xn } and {yn } as in the proof of Theorem 2.1. Then {xn } and {yn } satisfy
(2.3) and (2.4). Like in the proof of Theorem 2.1, we prove that both {xn } and {yn } are
Cauchy sequences in X and satisfy (2.12), that is, xn → x and yn → y, as n → ∞.
As f is lower semi-continuous, we have 0 ≤ f (x, y) ≤ lim inf n→∞ f (xn , yn ) = 0,
that is, f (x, y) = max {D(x, T (x, y)), D(y, T (y, x))} = 0. Then D(x, T (x, y)) =
0 and D(y, T (y, x)) = 0. Arguing similarly as in the proof of Theorem 2.1, we prove
that (x, y) is a coupled fixed point of T .
3 Some Consequences
Theorem 3.1 Let (X, d) be a complete metric space and T : X × X → CL(X ).

Suppose there exist b ∈ (0, 1) and φb ∈ such that for (x, y) ∈ X × X there exist
u ∈ T (x, y) and v ∈ T (y, x) for which b max{d(x, u), d(y, v)} ≤ f (x, y),
f (u, v) ≤ φb (max {d(x, u), d(y, v)}) max {d(x, u), d(y, v)},
where f (s, t) is as defined in Theorem 2.1. Then T has a coupled fixed point if either
T is continuous or f is lower semi-continuous.
Proof Define α, β : X → [0, ∞) as α(x) = β(x) = 1, for all x ∈ X . Then the proof
follows from that of Theorem 2.1 if T is continuous and from that of Theorem 2.2 if
f is lower semi-continuous.

Suppose there exist b ∈ (0, 1) and φb ∈ such that for all (x, y), (u, v) ∈ X × X ,
H(T (x, y), T (u, v)) ≤ φb (max {d(x, u), d(y, v)}) max {d(x, u), d(y, v)}.
T admits a coupled fixed point if either f (x, y) = max{D(x, T (x, y)),

D(y, T (y, x))} is lower semi-continuous or T is continuous.
Proof By the condition of the theorem for any u ∈ T (x, y) and v ∈ T (y, x), we
have
D(u, T (u, v)) ≤ H(T (x, y), T (u, v)) ≤ φb (max {d(x, u), d(y, v)}) max {d(x, u), d(y, v)}
and
D(v, T (v, u)) ≤ H(T (y, x), T (v, u)) ≤ φb (max {d(x, u), d(y, v)}) max {d(x, u), d(y, v)}.
Combining these two inequalities, we have
f (u, v) = max{D(u, T (u, v)), D(v, T (v, u))} ≤ φb (max{d(x, u), d(y, v)})max {d(x, u), d(y, v)}.
Then the proof follows from that of Theorem 3.1.

Suppose there exists b ∈ (0, 1) such that for all (x, y), (u, v) ∈ X × X ,
b
H(T (x, y), T (u, v)) ≤ max {d(x, u), d(y, v)}.
2
If either T is continuous or f (x, y) = max{D(x, T (x, y)), D(y, T (y, x))} is lower
semi-continuous then T has a coupled fixed point.
b
Proof Take b ∈ (0, 1) and φb ∈ , where φb (t) = , for all t ∈ [0, ∞). Then the
2
proof follows from that of Theorem 3.2.
4 Application to Nonlinear Integral Equations
In this section, we present an application of our coupled fixed point results derived
in Sect. 2 to solve a nonlinear integral equation.
Every single-valued mapping T : X × X → X can be treated as a multival-
ued mapping T : X × X → CL(X ) in which case T (x, y) is a singleton set for
(x, y) ∈ X × X . Taking α(x) = β(x) = 1, for all x ∈ X in Theorem 2.1, we have
the following result which is a special case of Theorem 2.1.
Theorem 4.1 Let (X, d) be a complete metric space and T : X × X → X be a

continuous mapping. Suppose there exist b ∈ (0, 1) and φb ∈ such that for all
(x, y) ∈ X × X
max {d(T (x, y), T (T (x, y), T (y, x))), d(T (y, x), T (T (y, x), T (x, y)))}
≤ φb (max {d(x, T (x, y)), d(y, T (y, x))}) max {d(x, T (x, y)), d(y, T (y, x))}.
Then T has a coupled fixed point.
Fixed point theorems for operators in metric spaces have found applications in
differential and integral equations (see [16] and references therein). We consider here
a system of nonlinear integral equation as follows:

b
x(t) = f (t) + a h(t, s, x(s), y(s))ds and
b
y(t) = f (t) + a h(t, s, y(s), x(s))ds, where t, s ∈ [a, b]
(4.1)
and the unknown functions x(t) and y(t) are real valued.
Let X = C([a, b]), where b > a be the space of all real-valued continuous func-
tions defined on [a, b]. It is well known that C([a, b]) endowed with the metric
d(x, y) = max | x(t) − y(t) | (4.2)

t∈[a, b]
is a complete metric space.

Define a mapping T : X × X → X by
b
T (x, y)(t) = f (t) + h(t, s, x(s), y(s))ds, for all t, s ∈ [a, b]. (4.3)
a
We designate the following assumptions by A1 and A2 :

A1 : f ∈ C([a, b]) and h : [a, b] × [a, b] × R × R → R is a continuous mapping;

A2 : | h(t, s, x, y) − h(t, s, u, v) |≤ M(t, s, x, y, u, v), for all (x, y), (u, v) ∈ X × X
1
and for all t, s ∈ [a, b], where M(t, s, x, y, u, v) = [ | x − u | + | y − v | ].
2
A3 : 2b − a < 1.
Theorem 4.2 Let (X, d) = (C([a, b]), d), T, h(t, s, x, y) satisfy the assumptions
A1 , A2 and A3 . Then the system of integral equations (4.1) has a unique solution in
C([a, b]) × C([a, b]).
Proof Consider the mapping T : X × X → X defined by (4.3). Take c = 2 b −
a and φc (t) = b − a, for all t ∈ [0, ∞). Then lim supr −→t + φc (r ) < 1, for all t ∈
[0, ∞). By A3 , φc ∈ .
By assumptions A1 and A2 , for all (x, y) ∈ C([a, b]) × C([a, b]) and for u =
T (x, y), v = T (y, x) with t, s ∈ [a, b], we have
b
| u(t) − F(u, v)(t) |=| F(x, y)(t) − F(u, v)(t) |=| [h(t, s, x(s), y(s)) − h(t, s, u(s), v(s))]ds |
a
b
= | [h(t, s, x(s), y(s)) − h(t, s, u(s), v(s))] | ds
a
b
1
≤ [ [ | x(s) − u(s) | + | y(s) − v(s) | ]ds
a 2

d(x, u) + d(y, v) b (b − a) [d(x, u) + d(y, v)]
= 1 ds = .
2 a 2
Similarly, we have
(b − a) [d(y, v) + d(x, u)]

| v(t) − F(v, u)(t) | = | F(y, x)(t) − F(v, u)(t) |≤
2
(b − a) [d(x, u) + d(y, v)]
= .
2
Combining above two inequalities, we have
(b − a) [d(x, u) + d(y, v)]

max {| u(t) − F(u, v)(t) |, | v(t) − F(v, u)(t) |} ≤
2
(b − a)
= [d(x, u) + d(y, v)] ≤ (b − a) [ max {d(x, u), d(y, v)}]
2
= φc ( max {d(x, u), d(y, v)} ) [max {d(x, u), d(y, v)}],
which implies that
max {d(T (x, y), T (T (x, y), T (y, x))), d(T (y, x), T (T (y, x), T (x, y)))}
= max {d(u, T (u, v)), d(v, T (v, u))} = max {| u(t) − F(u, v)(t) |, | v(t) − F(v, u)(t) |}
≤ φc (max {d(x, T (x, y)), d(y, T (y, x))}) max {d(x, T (x, y)), d(y, T (y, x))}.
Therefore, all the conditions of Theorem 4.1 are satisfied. Then there exists a point
(x, y) in X × X such that x = T (x, y) and y = T (y, x), that is, (x, y) is a solution
of the system of nonlinear integral equations (4.1).
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Fractals
Clifford-Valued Fractal Interpolation
Peter R. Massopust
Abstract In this short note, we merge the areas of hypercomplex algebras with that
of fractal interpolation and approximation. The outcome is a new holistic method-
ology that allows the modeling of phenomena exhibiting a complex self-referential
geometry and which require for their description an underlying algebraic structure.
Keywords Iterated function system (IFS) · Banach space · Fractal interpolation ·

Clifford algebra · Clifford analysis
1 Introduction
In this short note, we merge two areas of mathematics: the theory of hypercomplex
algebras as exemplified by Clifford algebras and the theory of fractal approximation
or interpolation.
In recent years, hypercomplex methodologies have found their way into many
applications one of which is digital signal processing. See, for instance, [1, 36] and
the references given therein. The main idea is to use the multidimensionality of hyper-
complex algebras to model signals with multiple channels or images with multiple
color values and to use the underlying algebraic structure of such algebras to oper-
ate on these signals or images. The results of these algebraic or analytic operations
produce again elements of the hypercomplex algebra. This holistic approach cannot
be performed in finite dimensional vector spaces as these do not possess an intrinsic
algebraic structure.
On the other hand, the concept of fractal interpolation has been employed suc-
cessfully in numerous applied situations over the last decades. The main purpose
of fractal interpolation or approximation is to take into account complex geometric
https://www-m15.ma.tum.de/Allgemeines/PeterMassopust.
P. R. Massopust (B)
Department of Mathematics, Technical University of Munich, Boltzmannstr. 3, 85748 Garching b.
Munich, Germany
e-mail: massopust@ma.tum.de
https://doi.org/10.1007/978-981-99-0597-3_4
34 P. R. Massopust
self-referential structures and to employ approximants that are well suited to model
these types of structures. These approximants or interpolants are elements of vector
spaces and cannot be operated on in an algebraic way to produce the same type of
object. Hence, the need for an extension of fractal interpolation to the hypercom-
plex setting. An initial investigation into the novel concept of hypercomplex iterated
function system was already undertaken in [32] albeit along a different direction.
The structure of this paper is as follows. In Sect. 2, we give a brief introduction of
Clifford algebras and mention a few items from Clifford analysis. In the third section,
we review some techniques and state relevant results from the theory of fractal
interpolation in Banach spaces. These techniques are then employed in Sect. 4 to a
Clifford algebraic setting. The next section briefly mentions a special case of Clifford-
valued fractal interpolation, namely that based on paravector-valued functions. In the
last section, we provide a brief summary and mention future research directions.
2 A Brief Introduction to Clifford Algebra and Analysis
In this section, we provide a terse introduction to the concept of Clifford algebra

and analysis and introduce only those items that are relevant to the purposes of this
paper. For more details about Clifford algebra and analysis, the interested reader is
referred to, for instance, [9, 10, 13, 18, 23, 24] and to, i.e., [11, 12, 19, 22] for its
ramifications.
To this end, denote by {e1 , . . . , en } the canonical basis of the Euclidean vector
space Rn . The real Clifford algebra, Rn , generated by Rn is defined by the multipli-
cation rules
ei e j + e j ei = −2δi j , i, j ∈ {1, . . . , n} =: Nn , (1)
where δi j is the Kronecker symbol.

An element x ∈ Rn can be represented in the form x = x A e A with x A ∈ R and
A
{e A : A ⊆ Nn }, where e A := ei1 ei2 · · · eim , 1 ≤ i 1 < · · · < i m ≤ n, and e∅ =: e0 := 1.
Thus, the dimension of Rn regarded as a real vector space is 2n . The rules defined
in (1) make Rn into, in general, a noncommutative algebra, i.e., a real vector space
together with a bilinear operation Rn × Rn → Rn .
A conjugation on Clifford numbers is defined by x := x A e A where e A :=
A
eim · · · ei1 with ei := −ei for i ∈ Nn , and e0 := e0 = 1. In this context, one also
has
e0 e0 = e0 = 1 and e0 ei = ei e0 = ei . (2)

The Clifford norm of the Clifford number x = x A e A is defined by
A
Clifford-Valued Fractal Interpolation 35
⎛ ⎞1/2

|x| := ⎝ |x A |2 ⎠ .
A⊆Nn
In the following, we consider Clifford-valued functions f : G ⊆ Rm → Rn ,

where G is a nonempty open domain. For this purpose, let X be G or any
suitable subset of G. Denote by F(X ) any of the following functions spaces:
C k (X ), C k,α (X ), L p (X ), W s, p (X ), B sp,q (X ), F p,q
s
(X ), where
1. C k (X ), k ∈ N0 := {0} ∪ N, is the Banach space of k-times continuously differ-
entiable R-valued functions;
2. C k,α (X ), k ∈ N0 , 0 < α ≤ 1, is the Banach space of k-times continuously dif-
ferentiable R-valued functions whose kth derivative is Hölder continuous with
Hölder exponent α;
3. L p (X ), 1 ≤ p < ∞, are the Lebesgue spaces on X ;
4. W s, p (X ), s ∈ N or s > 0, 1 ≤ p < ∞, are the Sobolev–Slobodeckij spaces.
5. B sp,q (X ), 1 ≤ p, q < ∞, s > 0, are the Besov spaces;
s
6. F p,q (X ), 1 ≤ p, q < ∞, s > 0, are the Triebel–Lizorkin spaces.
The real vector space F(X, Rn ) of Rn -valued functions over X is defined by
F(X, Rn ) := F(X ) ⊗R Rn .
This linear space becomes a Banach space when endowed with the norm
⎛ ⎞1/2

f := ⎝ fA 2
F (X )
⎠ .
A⊆Nn
It is known [20, Remark 2.2. and Proposition 2.3.] that f ∈ F(X, Rn ) iff

f = f AeA (3)
A⊆Nn
with f A ∈ F(X ). Furthermore, functions in F(X, Rn ) inherit all the topological

properties such as continuity and differentiability from the functions f A ∈ F(X ).
3 Some Results from Fractal Interpolation Theory
In this section, we briefly summarize fractal interpolation and the Read–Bajrakterević

operator. For a more detailed introduction to fractal geometry and its subarea of fractal
interpolation, the interested reader is referred to the following, albeit incomplete, list
of references: [2–6, 8, 14–17, 21, 25, 27, 33, 34].
36 P. R. Massopust
To this end, let X be a nonempty bounded subset of the Banach space Rm . Suppose
we are given a finite family {L i }i=1
N
of injective contractions X → X generating a
partition of X in the sense that
∀ i, j ∈ N N , i = j : L i (X ) ∩ L j (X ) = ∅; (4)

N
X= L i (X ). (5)
i=1
For simplicity, we write X i := L i (X ). Here and in the following, we always assume

that 1 < N ∈ N.
The purpose of fractal interpolation is to obtain a unique global function

N
ψ:X= Xi → R
i=1
belonging to some prescribed Banach space of functions F(X ) and satisfying N

functional equations of the form
ψ(L i (x)) = qi (x) + si (x)ψ(x), x ∈ X, i ∈ N N , (6)
where for each i ∈ N N , qi ∈ F(X ) and si : X → R are given functions. In addition,

we require that si is bounded and satisfies si · f ∈ F(X ) for any f ∈ F(X ), i.e.,
si is a multiplier for F(X ). It is worthwhile mentioning that Eq. (6) reflects the
self-referential or fractal nature of the global function ψ.
The idea behind obtaining ψ is to consider (6) as a fixed point equation for an
associated affine operator acting on F(X ) and to show that the fixed point—should
it exist—is unique. (Cf. also [33].)
For this purpose, define an affine operator T : F(X ) → F(X ), called a Read–
Bajractarević (RB) operator, by
T f := qi ◦ L i−1 + si ◦ L i−1 · f ◦ L i−1 , (7)
on X i , i ∈ N N , or, equivalently, by

N
N
Tf = qi ◦ L i−1 χXi + si ◦ L i−1 · f ◦ L i−1 χ X i
i=1 i=1

N
= T (0) + si ◦ L i−1 · f ◦ L i−1 χ X i , x ∈ X,
i=1
where χ S denotes the characteristic or indicator function of a set S: χ S (x) = 1, if

x ∈ S, and χ S (x) = 0, otherwise.
Then, (6) is equivalent to showing the existence of a unique fixed point ψ of T :

T ψ = ψ. The existence of a unique fixed point follows from the Banach Fixed-Point
Theorem once it has been shown that T is a contraction on F(X ).
The RB operator T is a contraction on F(X ) if there exists a constant γF (X ) ∈
[0, 1) such that for all f, g ∈ F(X )

N
T f − Tg F (X ) = si ◦ L i−1 · ( f − g) ◦ L i−1 χ X i
i=1 F (X )
≤ γF (X ) f − g F (X )
holds. Here, · F (X ) denotes the norm on F(X ).

Should such a unique fixed point ψ exist then is termed a fractal function of type
F(X ) as its graph is in general a fractal set.
Now, let F(X ), for an appropriate X , denote one of the following Banach space
of functions: the Lebesgue spaces L p (X ), the smoothness spaces C k (X ), Hölder
spaces C k,α (X ), Sobolev–Slobodeckij spaces W s, p (X ), Besov spaces B sp,q (X ), and
Triebel–Lizorkin spaces F p,q
s
(X ).
The following results were established in a series of papers [26–30].
Theorem 1 Let L i , i ∈ N N , be defined as in (4) and (5). Further, let qi ∈ F(X )

and let si : X → R be bounded and a pointwise multiplier for F(X ). Define T :
F(X ) → F(X ) as in (7). Then there exists a constant γF ∈ [0, 1) depending on m,
the indices defining F(X ), Lip(L i ), and si L ∞ such that T f ≤ γF f , for all
f ∈ F(X ). Hence, T has a unique fixed point ψ ∈ F(X ) which is referred to as a
fractal function of class F(X ).
4 Clifford-Valued Fractal Interpolation
In this section, we introduce the novel concept of Clifford-valued fractal interpolation.

To this end, we refer back to Sect. 2 and the definition of X and F(X ).
We consider here only the case m = 1 and leave the extension to higher dimensions
to the diligent reader. According to which function space F(X ) represents, X is either
an open, half-open, or closed interval of finite length.
Assume that there exist N , 1 < N ∈ N, nontrivial contractive injections L i : X →
X such that {L 1 (X ), . . . , L N (X )} forms a partition of X , i.e., that
(P1) L i (X ) ∩ L j (X ) = ∅, for i = j;
(P2) X = L i (X ).
i∈N N
As above, we write X i := L i (X ), i ∈ N N .
On the spaces F(X, Rn ), we define an RB operator T as follows. Let f ∈
F(X, Rn ) with f = f A e A , where f A ∈ F(X ), for all A ⊆ Nn . Let T : F(X ) →
A⊆Nn
38 P. R. Massopust
F(X ) be an RB operator of the form (7). Then,

T f := T ( f A )e A ∈ F(X, Rn ), (8)
A⊆Nn
provided that T ( f A ) ∈ F(X ) for all A ⊆ Nn . Under the latter assumption and the
supposition that T is contractive on F(X ) with Lipschitz constant γF (X ) , we obtain
for f, g ∈ F(X, Rn )
2

T f − Tg = T f A − T gA 2
F (X )
A⊆Nn

≤ γF
2
(X ) f A − gA 2
F (X )
A⊆Nn
= γF
2
(X ) f − g .
2
Hence, T is also contractive on F(X, Rn ) and with the same Lipschitz constant
γF (X ) .
The following diagram illustrates the above approach.
T
F(X ) −−−−→ F(X )
⏐ ⏐
⏐⊗ R ⏐⊗ R (9)
R n R n
T
F(X, Rn ) −−−−→ F(X, Rn )
The next theorem summarizes the main result.

Theorem 2 Let X ⊂ R be as mentioned above. Further, let nontrivial injective con-
tractions L i : X → X , i ∈ N N , be given such that (P1) and (P2) are satisfied. Let
F(X ) be any one of the function spaces defined in Sect. 2.
On the space F(X, Rn ) = F(X ) ⊗R Rn define an RB operator T : F(X, Rn )
→ F(X, Rn ) by
T f := T ( f A )e A ,
A⊆Nn
where T : F(X ) → F(X ) be an RB operator of the form (7).

If T : F(X ) → F(X ) is a contractive RB operator on F(X ) with Lipschitz con-
stant γF (X ) , then T is also contractive on F(X, Rn ) with the same Lipschitz constant.
Furthermore, the unique fixed point ψ ∈ F(X, Rn ) satisfies the Clifford-valued
self-referential equation
ψ(L i (x)) = qi (x) + si (x)ψ(x), x ∈ X, i ∈ N N .

Proof The validity of these statements follows directly from the above elaborations.
For the sake of completeness, we now list the Lipschitz constants γF (X ) for the
functions spaces listed in Sect. 2 in the case m = 1. The conditions are γF (X ) < 1.
Note that the expressions are different for the case m > 1.
1. C k (X ): γC k (X ) = max{Lip(L i )−(k+1) si L ∞ : i ∈ N N }.
−(k+α)
2. C k,α (X ): γC k,α (X ) =
max{Lip(L i ) p si L ∞ : i ∈ N N }.
3. L (X ): γ L p (X ) =
p
Lip(L i ) si L ∞ .

i∈N N
p
4. W s, p (X ): γW s, p (X ) = Lip(L i )1−sp si L∞ .

i∈N N
Lip(L i )(1/ p−s)q si
q
5. B sp,q (X ): γ B sp,q (X ) = L∞ .

i∈N N
p
s
6. F p,q (X ): γ Fp,q
s (X ) = Lip(L i )1−sp si L∞ .
i∈N N
The geometric interpretation of T lies at hand: Each of the functions f A is con-

tracted by T along the direction in Rn determined by e A . There is no mixing taking
place between different directions. This provides a holistic representation of features
necessitating such a structure as, for instance, multichannel data or multicolored
images.
5 Paravector-Valued Functions
An important subspace of Rn is the space of paravectors. These are Clifford numbers

n
of the form x = x0 + xi ei . The subspace of paravectors is denoted by An+1 :=
i=1
span R {e0 , e1 , . . . , en } = R ⊕ Rn . Given a Clifford number x ∈ Rn , we assign to x
n
its paravector part by means of the mapping π : Rn → An+1 , x → x0 + xi ei .
i=1
Note that each paravector x can be identified with an element (x0 , x1 , . . . ,
xn ) =: (x0 , x) ∈ R × Rn . For many applications in Clifford theory, one, therefore,
identifies An+1 with Rn+1 . Although as point sets, these two sets are identical but
differ considerably in their algebraic structures. For instance, every x ∈ An+1 has an
inverse, whereas there is no such object for a vector v ∈ Rn+1 .
We also notice that An+1 is not necessarily closed under multiplication unless
a multiplication table [23] is defined or n = 3, in which case A4 = H, the non-
commutative division algebra of quaternions. An+1 endowed with a multiplication
table produces in general a nonassociative noncommutative algebra. See [1] for a
suitability investigation of such algebras in the area of digital signal processing.

n
The scalar part, Sc, and vector part, Vec, of a paravector An+1 x = x0 + xi ei
i=1

n
is given by x0 and x = xi ei , respectively.
i=1
40 P. R. Massopust
Given a Clifford number x ∈ Rn , we assign to x its paravector part, PV(x), by

n
means of the mapping π : Rn → An+1 , x → x0 + xi ei =: PV(x).
i=1
A function f : An+1 → An+1 is called a paravector-valued function. Any such
function is of the form

n
f (x) = f 0 (x) + f i (x)ei , (10)
i=1
align where f a : R × Rn → R, a ∈ {0, 1, . . . , n}. The expression (10) for a

paravector-valued function can also be written in the more succinct form
f (x + x) = f 0 (x0 , |x|) + ω(x) f 1 (x0 , |x|),
where now f 0 , f 1 : R × Rn → R and ω(x) := |x|x

∈ Sn with Sn denoting the unit
sphere in R . For some properties of paravector-valued functions, see, for instance,
n
[20, 35].
Prominent examples of paravector-valued functions are, for instance, the expo-
nential and sine functions [35] for x ∈ An+1 :
exp(x) = exp(x0 ) (cos |x| + ω(x) sin |x|) ,

sin(x) = sin x0 cosh |x| + ω(|x|) sinh |x| .
A large class of paravector-valued functions is given by right-linear linear transfor-

mations. To this end, let Mk (An+1 ) be the right module of k × k-matrices over An+1 .
Every element H = (Hi j ) of Mk (An+1 ) induces a right linear transformation L :
k
Akn+1 → Rkn via L(x) = H x defined by L(x)i = Hi j x j , Hi j ∈ An+1 . To obtain
j=1
an endomorphism L : Akn+1 → Akn+1 , we set L(x)i := π(L(x)i ), i = 1, . . . , k. In
this case, we write L = π ◦ L. For example, if n := 3 (the case of real quaternions)
L : Ak4 → Ak4 and thus L = L.
Theorem 2 applies also to paravector-valued functions and thus provides a frame-
work for paravector-valued fractal interpolation as well and relevant associated func-
tion spaces for appropriate X are defined in an analogous fashion as above.
To this end, let F(X ) be, for instance, one of the function spaces listed in Sect. 2.
Then,
F(X, An+1 ) := F(X ) ⊗R An+1
and an element f of F(X, An+1 ) has therefore the form

n
f = f k ek .
k=0
Theorem 2 then asserts the existence of a paravector-valued function ψ ∈ F(X, An+1

of self-referential nature:
ψ(L i (x)) = qi (x) + si (x)ψ(x), x ∈ X, i ∈ N N ,
where the functions qi and si have the same meaning as in Sect. 4.
6 Brief Summary and Further Research Directions
In this short note, we have initiated the investigation of fractal interpolation into
a hypercomplex setting. The main idea was to define fractal interpolants along the
different directions defined by a Clifford algebra Rn and use the underlying algebraic
structure to manipulate the hypercomplex fractal object to yield another hypercom-
plex fractal object.
There are several extensions of this first initial approach:
1. Define—under suitable conditions—RB operators acting directly on appropri-
ately defined function spaces F(X, Rn ) instead of resorting to the “component”
RB operators.
2. Provide a local version of the defined hypercomplex fractal interpolation in the
sense first defined in [7] and further investigated in, i.e., [5, 29].
3. Construct nonstationary approaches to Clifford-valued fractal interpolation in the
spirit of [31].
4. Extend the notion of hypercomplex fractal interpolation to systems of function
systems as described in [14, 25].
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Optimal Quantizers for a Nonuniform
Distribution on a Sierpiński Carpet
Mrinal Kanti Roychowdhury
Abstract The purpose of quantization for a probability distribution is to estimate the

probability by a discrete probability with finite support. In this paper, a nonuniform
probability measure P on R2 which has support on the Sierpiński carpet generated
by a set of four contractive similarity mappings with equal similarity ratios has been
considered. For this probability measure, the optimal sets of n-means and the nth
quantization errors are investigated for all n ≥ 2.
Keywords Sierpiński carpet · Self-affine measure · Optimal quantizers ·

Quantization error
1 Introduction
Quantization is a destructive process. Its purpose is to reduce the cardinality of

the representation space, in particular when the input data is real-valued. It is a
fundamental problem in signal processing, data compression, and information theory.
We refer to [4, 9, 13] for surveys on the subject and comprehensive lists of references
to the literature, see also [1, 5–7]. Let Rd denote the d-dimensional Euclidean space,
· denote the Euclidean norm on Rd for any d ≥ 1, and n ∈ N. Then, the nth
quantization error for a Borel probability measure P on Rd is defined by

Vn := Vn (P) = inf min x − a2 d P(x) : α ⊂ Rd , 1 ≤ card(α) ≤ n .
a∈α

If x2 d P(x) < ∞, then there is some set α for which the infimum is achieved
(see [1, 5–7]). Such a set α for which the infimum occurs and contains no more than
n points is called an optimal set of n-means, or optimal set of n-quantizers. The
M. K. Roychowdhury (B)
School of Mathematical and Statistical Sciences, University of Texas Rio Grande Valley,
1201 West University Drive, Edinburg 78539-2999, USA
e-mail: mrinal.roychowdhury@utrgv.edu
https://doi.org/10.1007/978-981-99-0597-3_5
44 M. K. Roychowdhury
collection of all optimal sets of n-means for a probability measure P is denoted by

Cn := Cn (P). It is known that for a continuous probability measure an optimal set of
n-means always has exactly n-elements (see [7]). Given a finite subset α ⊂ Rd , the
Voronoi region generated by a ∈ α is defined by
M(a|α) = {x ∈ Rd : x − a = min x − b}

b∈α
i.e., the Voronoi region generated by a ∈ α is the set of all points in Rd which are
closest to a ∈ α, and the set {M(a|α) : a ∈ α} is called the Voronoi diagram or
Voronoi tessellation of Rd with respect to α. A Borel measurable partition {Aa : a ∈
α} of Rd is called a Voronoi partition of Rd with respect to α (and P) if P-almost
surely Aa ⊂ M(a|α) for every a ∈ α. Given a Voronoi tessellation {Mi }i=1 k
generated
by a set of points {z i }i=1 (called sites or generators), the mass centroid ci of Mi with
k
respect to the probability measure P is given by

1 xd P
xd P = i
M
ci = .
P(Mi ) Mi Mi dP
The Voronoi tessellation is called the centroidal Voronoi tessellation (CVT) if z i = ci

for i = 1, 2, · · · , k, that is, if the generators are also the centroids of the correspond-
ing Voronoi regions.
Let us now state the following proposition (see [4, 7]):
Proposition 1.1 Let α be an optimal set of n-means and a ∈ α. Then,
(i) P(M(a|α)) > 0, (ii) P(∂ M(a|α)) = 0, (iii) a = E(X : X ∈ M(a|α)), and
(iv) P-almost surely the set {M(a|α) : a ∈ α} forms a Voronoi partition of Rd .
Let α be an optimal set of n-means and a ∈ α, then by Proposition 1.1, we have

1 xd P
xd P =
M(a|α)
a= ,
P(M(a|α)) M(a|α) M(a|α) dP
which implies that a is the centroid of the Voronoi region M(a|α) associated with
the probability measure P (see also [3, 11]).
A transformation f : X → X on a metric space (X, d) is called contractive or
a contraction mapping if there is a constant 0 < c < 1 such that d( f (x), f (y)) ≤
cd(x, y) for all x, y ∈ X . On the other hand, f is called a similarity mapping or a
similitude if there exists a constant s > 0 such that d( f (x), f (y)) = sd(x, y) for
all x, y ∈ X . Here s is called the similarity ratio of the similarity mapping f . Let
C be the Cantor set generated by the two contractive similarity mappings S1 and S2
on R given by S1 (x) = r1 x and S2 (x) = r2 x + (1 − r2 ) where 0 < r1 , r2 < 1 and
r1 + r2 < 21 . Let P = p1 P ◦ S1−1 + p2 P ◦ S2−1 , where P ◦ Si−1 denotes the image
measure of P with respect to Si for i = 1, 2 and ( p1 , p2 ) is a probability vector
with 0 < p1 , p2 < 1. Then, P is a singular continuous probability measure on R
with support the Cantor set C (see [10]). For r1 = r2 = 13 and p1 = p2 = 21 , Graf
Optimal Quantizers for a Nonuniform Distribution … 45
and Luschgy gave a closed formula to determine the optimal sets of n-means for
the probability distribution P for any n ≥ 2 (see [8]). For r1 = 41 , r2 = 21 , p1 = 14 ,
and p2 = 43 , L. Roychowdhury gave an induction formula to determine the optimal
sets of n-means and the nth quantization error for the probability distribution P for
any n ≥ 2 (see [12]). Let P be a Borel probability measure on R2 supported by
the Cantor dusts generated by a set of 4u , u ≥ 1, contractive similarity mappings
satisfying the strong separation condition. For this probability measure, Cömez and
Roychowdhury determined the optimal sets of n-means and the nth quantization
errors for all n ≥ 2 (see [2]). In addition, they showed that though the quantization
dimension of the measure P is known, the quantization coefficient for P does not
exist.
In this paper, we have considered the probability distribution P given by P =
1
8
P ◦ S1−1 + 18 P ◦ S2−1 + 38 P ◦ S3−1 + 38 P ◦ S4−1 which has support on the Sierpiński
carpet generated by the four contractive similarity mappings given by S1 (x1 , x2 ) =
1
(x , x ), S2 (x1 , x2 ) = 13 (x1 , x2 ) + ( 23 , 0), S3 (x1 , x2 ) = 13 (x1 , x2 ) + (0, 23 ), and
3 1 2
S4 (x1 , x2 ) = 13 (x1 , x2 ) + ( 23 , 23 ) for all (x1 , x2 ) ∈ R2 . The probability distribution
P considered in this paper is called ‘nonuniform’ to mean that all the basic squares
at a given level that generate the Sierpiński carpet do not have the same probability.
For this probability distribution in Propositions 3.1–3.3, first we have determined the
optimal sets of n-means and the nth quantization errors for n = 2, 3, and 4. Then,
in Theorem 1 we state and prove an induction formula to determine the optimal sets
of n-means for all n ≥ 2. We also give some figures to illustrate the locations of the
optimal points (see Fig. 1). In addition, using the induction formula, we obtain some
results and observations about the optimal sets of n-means which are given in Sect. 4;
a tree diagram of the optimal sets of n-means for a certain range of n is also given
(see Fig. 2).
2 Preliminaries
In this section, we give the basic definitions and lemmas that will be instrumental in
our analysis. For k ≥ 1, by a word ω of length k over the alphabet I := {1, 2, 3, 4}
it is meant that ω := ω1 ω2 · · · ωk , i.e., ω is a finite sequence of symbols over the
alphabet I . Here k is called the length of the word ω. If k = 0, i.e., if ω is a word
of length zero, we call it the empty word and is denoted by ∅. Length of a word ω
is denoted by |ω|. I ∗ denotes the set of all words over the alphabet I including the
empty word ∅. By ωτ := ω1 · · · ωk τ1 · · · τ it is meant that the word obtained from
the concatenations of the words ω := ω1 ω2 · · · ωk and τ := τ1 τ2 · · · τ for k, ≥ 0.
The maps Si : R2 → R2 , 1 ≤ i ≤ 4, will be the generating maps of the Sierpiński
carpet defined as before. For ω = ω1 ω2 · · · ωk ∈ I k , set Sω = Sω1 ◦ · · · ◦ Sωk and
Jω = Sω ([0, 1] × [0, 1]). For the empty word ∅, by S∅ we mean the identity mapping
on R2 , and write J = J∅ = S∅ ([0, 1] × [0, 1]) = [0, 1] × [0, 1]. The sets {Jω : ω ∈
{1, 2, 3, 4}k } are just the 4k squares in the kth level in the construction of the Sierpiński
Fig. 1 Configuration of the points in an optimal set of n-means for 1 ≤ n ≤ 16
carpet. The squares Jω1 , Jω2 , Jω3 and Jω4 into which Jω is split up at the (k + 1)th level
are called the basic squares of Jω . The set S = ∩k∈N ∪ω∈{1,2,3,4}k Jω is the Sierpiński
carpet and equals the support of the probability measure P given by P = 18 P ◦
S1−1 + 18 P ◦ S2−1 + 38 P ◦ S3−1 + 38 P ◦ S4−1 . Set s1 = s2 = s3 = s4 = 13 , p1 = p2 =
1
8
and p3 = p4 = 38 , and for ω = ω1 ω2 · · · ωk ∈ I k , write c(ω) := card({i : ωi =
3 or 4, 1 ≤ i ≤ k}), where card(A) of a set A represents the number of elements in
the set A. Then, for ω = ω1 ω2 · · · ωk ∈ I k , k ≥ 1, we have
1 3c(ω)
sω = and p ω = p ω 1
p ω 2
· · · p ω k
= .
3k 8k
Let us now give the following lemma.
Fig. 2 Tree diagram of the optimal sets from α8 to α21
Lemma 1 Let f : R → R+ be Borel measurable and k ∈ N. Then,

f dP = pω f ◦ Sω d P.
ω∈I k
Proof We know P= p1 P ◦ S1−1 + p2 P ◦ S2−1 + p3 P ◦ S3−1 + p4 P ◦ S4−1 , and so

by induction P = ω∈I k pω P ◦ Sω−1 , and thus the lemma is yielded.

Let S(i1) , S(i2) be the horizontal and vertical components of the transformation Si
for i = 1, 2, 3, 4. Then, for any (x1 , x2 ) ∈ R2 we have S(11) (x1 ) = 13 x1 , S(12) (x2 ) =
1
x , S(21) (x1 ) = 13 x1 + 23 , S(22) (x2 ) = 13 x2 , S(31) (x1 ) = 13 x1 , S(32) (x2 ) = 13 x2 + 23 ,
3 2
and S(41) (x1 ) = 13 x1 + 23 , S(42) (x2 ) = 13 x2 + 23 . Let X := (X 1 , X 2 ) be a bivariate con-
tinuous random variable with distribution P. Let P1 , P2 be the marginal distributions
of P, i.e., P1 (A) = P(A × R) for all A ∈ B, and P2 (B) = P(R × B) for all B ∈ B.
Here B is the Borel σ -algebra on R. Then, X 1 has distribution P1 and X 2 has distri-
bution P2 .
Let us now state the following lemma. The proof is similar to Lemma 2.2 in [2].
Lemma 2 Let P1 and P2 be the marginal distributions of the probability measure
P. Then,
−1 −1 −1 −1
• P1 = 18 P1 ◦ S(11) + 18 P1 ◦ S(21) + 38 P1 ◦ S(31) + 38 P1 ◦ S(41) and
−1 −1 −1 −1
• P2 = 8 P2 ◦ S(12) + 8 P2 ◦ S(22) + 8 P2 ◦ S(32) + 8 P2 ◦ S(42) .
1 1 3 3

Lemma 3 Let E(X ) and V (X ) denote the expected vector and the expected squared
distance of the random variable X . Then,

1 3 1 3 2 7
E(X ) = (E(X 1 ), E(X 2 )) = , and V := V (X ) = EX − , = .
2 4 2 4 32
Proof We have

1 −1 1 −1
E(X 1 ) = x d P1 = x d P1 ◦ S(11) +
x d P1 ◦ S(21)
8 8

3 −1 3 −1
+ x d P1 ◦ S(31) + x d P1 ◦ S(41)
8 8

1 1 1 1 2 3 1 3 1 2
= x d P1 + x+ d P1 + x d P1 + x+ d P1 ,
8 3 8 3 3 8 3 8 3 3
which after simplification yields E(X 1 ) = 21 , and similarly E(X 2 ) = 34 . Now,

E(X 12 ) = x 2 d P1

1 −1 1 −1 3 −1 3 −1
= x 2 d P1 ◦ S(11) + x 2 d P1 ◦ S(21) + x 2 d P1 ◦ S(31) + x 2 d P1 ◦ S(41)
8 8 8 8

1 1 1 1 2 2 3 1 2 3 1 2 2
= ( x)2 d P1 + x+ d P1 + x d P1 + x+ d P1
8 3 8 3 3 8 3 8 3 3

1 1 2 1 1 2 4 4
= x d P1 + x + x+ d P1
2 9 2 9 9 9
1 1 4 4
= E(X 12 ) + E(X 12 ) + E(X 1 ) +
18 18 18 18
1 1
= E(X 12 ) + .
9 3
This implies E(X 12 ) = 38 . Similarly, we can show that E(X 22 ) = 32

21
. Thus, V (X 1 ) =
E(X 1 ) − (E(X 1 )) = 8 − 4 = 8 , and similarly V (X 2 ) = 32 . Hence,
2 2 3 1 1 3
2 2
1 3 2 1 3 7
EX − , =E X1 − +E X2 − = V (X 1 ) + V (X 2 ) = .
2 4 2 4 32
Thus, the proof of the lemma follows.

Let us now give the following note.

Note 1 From Lemma 3 it follows that the optimal set of one-mean is the expected
vector and the corresponding quantization error is the expected squared distance of
the random variable X . For words β, γ , . . . , δ in I ∗ , by a(β, γ , . . . , δ) we mean the
conditional expected vector of the random variable X given Jβ ∪ Jγ ∪ · · · ∪ Jδ , i.e.,

1
a(β, γ , . . . , δ) = E(X |X ∈ Jβ ∪ Jγ ∪ · · · ∪ Jδ ) = xd P. (1)
P(Jβ ∪ · · · ∪ Jδ ) Jβ ∪···∪Jδ
For ω ∈ I k , k ≥ 1, since a(ω) = E(X : X ∈ Jω ), using Lemma 1, we have

1
a(ω) = x d P(x) = x d P ◦ Sω−1 (x) = Sω (x) d P(x) = E(Sω (X ))
P(Jω ) Jω Jω

1 3
= Sω , .
2 4
For any (a, b) ∈ R2 , EX

− (a, b) =
2
V + ( 21 , 43 ) − (a, b)2 . In fact, for any
ω ∈ I , k ≥ 1, we have Jω x − (a, b) d P = pω (x1 , x2 ) − (a, b)2 d P ◦ Sω−1 ,
k 2
which implies

x − (a, b)2 d P = pω sω2 V + a(ω) − (a, b)2 . (2)
Jω
The expressions (1) and (2) are useful to obtain the optimal sets and the corresponding
quantization errors with respect to the probability distribution P. The Sierpiński
carpet has the maximum symmetry with respect to the vertical line x1 = 21 , i.e., with
respect to the line x1 = 21 the Sierpiński carpet is geometrically symmetric as well
as symmetric with respect to the probability distribution: if the two basic rectangles
of similar geometrical shape lie in the opposite sides of the line x1 = 21 , and are
equidistant from the line x1 = 21 , then they have the same probability.
3 Optimal Sets of n-means for All n ≥ 2
In this section we determine the optimal sets of n-means for all n ≥ 2. First, prove
the following proposition.
Proposition 3.1 The set α = {a(1, 3), a(2, 4)}, where a(1, 3) = ( 61 , 43 ) and
a(2, 4) = ( 56 , 34 ), is an optimal set of two-means with quantization error V2 = 288
31
=
0.107639.
Proof Since the Sierpiński carpet has the maximum symmetry with respect to the
vertical line x1 = 21 , among all the pairs of two points which have the boundaries of
the Voronoi regions oblique lines passing through the point ( 21 , 34 ), the two points
which have the boundary of the Voronoi regions the line x1 = 21 will give the smallest
distortion error. Again, we know that the two points which give the smallest distortion
error are the centroids of their own Voronoi regions. Let (a1 , b1 ) and (a2 , b2 ) be the
centroids of the left half and the right half of the Sierpiński carpet with respect to the
line x1 = 21 , respectively. Then using (1), we have

1 1 3
(a1 , b1 ) = E(X : X ∈ J1 ∪ J3 ) = xd P = ,
P(J1 ∪ J3 ) J1 ∪J3 6 4
and

1 5 3
(a2 , b2 ) = E(X : X ∈ J2 ∪ J4 ) = xd P = , .
P(J2 ∪ J4 ) J2 ∪J4 6 4
Write α := { 16 , 34 , ,
5 3
6 4
}. Then, the distortion error is obtained as

1 3 5 3 31
min x − c2 d P = x − ( , )2 d P + x − ( , )2 d P = = 0.107639.
c∈α 6 4 6 4 288
J1 ∪J3 J2 ∪J4
Since V2 is the quantization error for two-means, we have 0.107639 ≥ V2 . We now

show that the points in an optimal set of two means cannot lie on a vertical line.
Suppose that the points in an optimal set of two-means lie on a vertical line. Then,
we can assume that β = {( p, a), ( p, b)} is an optimal set of two-means with a ≤ b.
Then, by the properties of centroids we have

1 3
( p, a)P(M(( p, a)|β)) + ( p, b)P(M(( p, b)|β)) = , ,
2 4
which implies p P(M(( p, a)|β)) + p P(M(( p, b)|β)) = 21 and a P(M(( p, a)|β)) +

b P(M(( p, b)|β)) = 43 . Thus, we see that p = 21 , and the two points ( p, a) and ( p, b)
lie on the opposite sides of the point ( 21 , 43 ). Since the optimal points are the centroids
of their own Voronoi regions, we have 0 ≤ a ≤ 43 ≤ b ≤ 1 implying 21 (0 + 43 ) = 38 ≤
1
2
(a + b) ≤ 21 ( 43 + 1) = 78 < 89 , and so J33 ∪ J34 ∪ J43 ∪ J44 ⊂ M(( 21 , b)|β) and
J1 ∪ J2 ⊂ M(( 21 , a)|β). Suppose that a ≥ 12 5
. Then as a(33, 34, 43, 44) = E(X :
X ∈ J33 ∪ J34 ∪ J43 ∪ J44 ) = 2 , 36 , we have
1 35

1 5 1 35 515
min x − c2 d P ≥ x − ( , )2 d P + x − ( , )2 d P = = 0.111762,
c∈α 2 12 2 36 4608
J1 ∪J2 J33 ∪J34 ∪J43 ∪J44
which is a contradiction, as 0.111762 > 0.107639 ≥ V2 and α is an optimal set

of two-means. Thus, we can assume that a < 12 5
. Since a < 125
and b ≤ 1, we
have 2 (a + b) ≤ 2 ( 12 + 1) = 24 , which yields that B ⊂ M(( 2 , b)|α) where B =
1 1 5 17 1
J33 ∪ J34 ∪ J43 ∪ J44 ∪ J313 ∪ J314 ∪ J323 ∪ J324 ∪ J413 ∪ J414 ∪ J423 ∪ J424 . Using
(1), we have E(X : X ∈ B) = ( 21 , 540
503
) which implies that b ≤ 540
503
. Now if a ≥ 13 ,
we have

1 1 1 503 106847
min x − c2 d P ≥ x − , 2 d P + x − , 2 d P = = 0.128818 > V2 ,
c∈α 2 3 2 540 829440
J1 ∪J2 B
which is a contradiction. So, we can assume that a < 13 . Then, J1 ∪ J1 ⊂ M(( 21 , a)|α)
and J3 ∪ J4 ⊂ M(( 21 , b)|α), and so ( 21 , a) = E(X : X ∈ J1 ∪ J2 ) = ( 21 , 41 ) and
( 21 , b) = E(X : X ∈ J3 ∪ J4 ) = ( 21 , 12
11
), and

1 1 1 11 13
min x − c2 d P = x − , 2 d P + x − , 2 d P = = 0.135417 > V2 ,
c∈α 2 4 2 12 96
J1 ∪J2 J3 ∪J4
which leads to another contradiction. Therefore, we can assume that the points in an
optimal set of two-means cannot lie on a vertical line. Hence, α = {( 16 , 34 ), ( 56 , 43 )}
forms an optimal set of two-means with quantization error V2 = 288
31
= 0.107639.
Remark 1 The set α in Proposition 3.1 forms a unique optimal set of two-means.
Proposition 3.2 The set α = {a(1, 2), a(3), a(4)}, where a(1, 2) = E(X : X ∈
J1 ∪ J2 ) = ( 21 , 41 ), a(3) = E(X : X ∈ J3 ) = ( 16 , 12
11
) and a(4) = E(X : X ∈ J4 ) =
( 6 , 12 ), forms an optimal set of three-means with quantization error V3 = 96
5 11 5
=
0.0520833.
Proof Let us first consider the three-point set β given by β = {a(1, 2), a(3), a(4)}.
Then, the distortion error is obtained as

min x − c2 d P
c∈α

= x − a(1, 2)2 d P + x − a(3)2 d P + x − a(4)2 d P = 0.0520833.
J1 ∪J2 J3 J4
Since V3 is the quantization error for an optimal set of three-means, we have

0.0520833 ≥ V3 . Let α := {(ai , bi ) : 1 ≤ i ≤ 3} be an optimal set of three-means.
Since the optimal points are the centroids of their own Voronoi regions, we have
α ⊂ [0, 1] × [0, 1]. Then, by the definition of centroid, we have

1 3
(ai , bi )P(M((ai , bi )|α)) = , ,
(ai ,bi )∈α
2 4

which implies (ai ,bi )∈α ai P(M((ai , bi )|α)) = 21 and (ai ,bi )∈α bi P(M((ai , bi )|α))
= 34 . Thus, we conclude that all the points in an optimal set cannot lie in one side of
the vertical line x1 = 21 or in one side of the horizontal line x2 = 43 . Without any loss
of generality, due to symmetry we can assume that one of the optimal points, say
(a1 , b1 ), lies on the vertical line x1 = 21 , i.e., a1 = 21 , and the optimal points (a2 , b2 )
and (a3 , b3 ) lie on a horizontal line and are equidistant from the vertical line x1 = 21 .
Further, due to symmetry we can assume that (a2 , b2 ) and (a3 , b3 ) lie on the vertical
lines x1 = 16 and x1 = 56 respectively, i.e., a2 = 16 and a3 = 56 .
Suppose that ( 21 , b1 ) lies on or above the horizontal line x2 = 34 , and so ( 16 , b2 )
and ( 56 , b3 ) lie on or below the line x2 = 43 . Then, if 23 ≤ b2 , b3 ≤ 43 , we have

1
min x − c d P ≥ 2 2
min x − , b 2 d P = 0.0820313 > V3 ,
c∈α
3 ≤b≤ 4
2 3 6
J1 ∪J31 ∪J33
which is a contradiction. If 1
2
≤ b2 , b3 ≤ 23 ,

min x − c2 d P
c∈α

1 1 2 1
≥2 min x − , b 2 d P + x − , 2 d P + min x − , b 2 d P
1 2
2 ≤b≤ 3
6 6 3 3
4 ≤b≤1
2
J1 ∪J31 ∪J321 J33 J342 ∪J344
6521 281 277
=2 + + = 0.0649821 > V3 ,
442368 18432 110592
which leads to a contradiction. If 1

3
≤ b2 , b3 ≤ 21 , then

min x − c2 d P
c∈α

1 1 1 1 1
≥2 x − , 2 d P + x − , 2 d P + min x − , b 2 d P
6 2 6 3 3
4 ≤b≤1
2
J31 ∪J321 ∪J331 J1 J34 ∪J334
811 1 78373
=2 + + = 0.0546912 > V3 ,
110592 256 4866048
which gives a contradiction. If 0 ≤ b2 , b3 ≤ 13 , then

1
min x − c d P ≥ 2 2
x − a(1) d P + 2
min x − , b 2 d P
c∈α
4 ≤b≤1
3 2
J1 J33 ∪J34
7 109
=2 + = 0.0770399 > V3
2304 3072
which leads to another contradiction. Therefore, we can assume that ( 21 , b1 ) lies

on or below the horizontal line x2 = 43 , and ( 16 , b2 ) and ( 56 , b3 ) lie on or above
the line x2 = 43 . Notice that for any position of ( 21 , b1 ) on or below the line x2 =
3
4
, always J31 ∪ J33 ∪ J34 ⊂ M(( 61 , b2 )|α) which implies that b2 ≤ 84 79
. Similarly,
b3 ≤ 84
79
. Suppose that 21 ≤ b1 ≤ 43 . Then, writing A = J133 ∪ J321 ∪ J324 and B =
J11 ∪ J12 ∪ J14 ∪ J132 , we have

min x − c2 d P
c∈α

1 1 3 1 1
≥2 min x − , b 2 d P + x − , 2 d P + x − , 2 d P
3 79
4 ≤b≤ 84
6 6 4 2 2
J31 ∪J33 ∪J34 ∪J323 A B
588517 5347 6601
=2 + + = 0.0529346 > V3 ,
78299136 1327104 442368
which is a contradiction. So, we can assume that b1 < 21 . Suppose that 13 ≤ b1 < 21 .
Then, as 43 ≤ b2 ≤ 84
79
, we see that J31 ∪ J33 ∪ J34 ∪ J321 ∪ J323 ∪ J324 ⊂ M(( 61 , b2 )
|α). Then, writing A1 := J31 ∪ J33 ∪ J34 ∪ J321 ∪ J323 ∪ J324 and A2 := J322 ∪ J1331
∪ J1333 ∪ J1334 ∪ J13323 ∪ J13324 and A3 := J11 ∪ J12 ∪ J14 ∪ J131 ∪ J132 ∪ J134 ∪
J13322 , we have

min x − c2 d P
c∈α

1 1 3 2 1 1 2
≥2 min x − , b 2 d P + x − , d P + x − , dP
3
4 ≤b≤ 79
84
6 6 4 2 3
A1 A2 A3
242191 4135547 31584803
=2 + + = 0.0521401 > V3 ,
27869184 1146617856 2293235712
which gives a contradiction. So, we can assume that b1 ≤ 13 . Then, notice that J11 ∪
J12 ∪ J132 ∪ J141 ∪ J142 ∪ J144 ∪ J21 ∪ J22 ∪ J241 ∪ J231 ∪ J232 ∪ J233 ⊂ M(( 21 , b1 )
|α) which implies that b1 ≥ 13 68
. Thus, we have 1368
≤ b1 ≤ 13 . Suppose that 43 ≤
b2 , b3 ≤ 6 . Then,
5

min x − c2 d P
c∈α

1 1
≥2 min x − , b 2 d P + min x − , b 2 d P
3 ≤b≤ 5 6 13 ≤b≤ 1 2
J3 4 6 J11 ∪J12 ∪J14 ∪J131 ∪J132 68 3

1 3 2 1 1 2
+ x − , dP + x − , dP
6 4 2 3
J1331 ∪J1333 ∪J1334 J134
3 147359 32969 3881
=2 + + + = 0.054808 > V3 ,
256 15261696 10616832 1327104
which leads to a contradiction. So, we can assume that 56 < b2 , b3 ≤ 1. Then, we have
J1 ∪ J2 ⊂ M(( 21 , b1 )|α), J3 ⊂ M(( 61 , b2 )|α) and J4 ⊂ M(( 65 , b3 )|α) which yield
that ( 21 , b1 ) = a(1, 2), ( 16 , b2 ) = a(3) and ( 56 , b3 ) = a(4), and the quantization error
is V3 = 96 5
= 0.0520833. Thus, the proof of the proposition is complete.

Proposition 3.3 The set α = {a(1), a(2), a(3), a(4)} forms an optimal set of four-
means with quantization error V4 = 288
7
= 0.0243056.
Proof Let us consider the four-point set β given by β := {a(1), a(2), a(3), a(4)}.
Then, the distortion error is given by
4
7
min x − c d P =
2
x − a(i)2 d P = = 0.0243056.
c∈β
i=1 Ji 288
Since, V4 is the quantization error for four-means, we have 0.0243056 ≥ V4 . As the

optimal points are the centroids of their own Voronoi regions, α ⊂ J . Let α be an
optimal set of n-means for n = 4. By the definition of centroid, we know
1 3
(a, b)P(M((a, b)|α)) = ( , ). (3)
(a,b)∈α
2 4
If all the points of α are below the line x2 = 43 , i.e., if b < 43 for all (a, b) ∈ α, then by

(3), we see that 43 = (a,b)∈α b P(M((a, b)|α)) < (a,b)∈α 43 P(M((a, b)|α)) = 34 ,
which is a contradiction. Similarly, it follows that if all the points of α are above the
line x2 = 43 , or left of the line x1 = 21 , or right of the line x1 = 21 , a contradiction will
arise. Suppose that all the points of α are on the line x2 = 43 . Then, for (x1 , x2 ) ∈
∪i,4 j=3 Ji j , we have minc∈α (x1 , x2 ) − c ≥ 365
, and for (x1 , x2 ) ∈ ∪i,2 j=1 Ji j , we have
minc∈α (x1 , x2 ) − c ≥ 36 , which implies that
23

min x − c d P ≥ 4
2
min (x1 , x2 ) − c d P + 4
2
min (x1 , x2 ) − c2 d P
c∈α c∈α c∈α
J33 J11
5 2 23 2 377
=4 P(J33 ) + 4 P(J11 ) = = 0.0363619 > V4 ,
36 36 10368
which is a contradiction. Thus, we see that all the points of α cannot lie on x2 = 34 .
Similarly, all the points of α cannot lie on x1 = 21 . Recall that the Sierpiński carpet
has maximum symmetry with respect to the line x1 = 21 . As all the points of α cannot
lie on the line x1 = 21 , due to symmetry we can assume that the points of α lie either
on the three lines x1 = 16 , x1 = 56 , and x1 = 21 , or on the two lines x1 = 16 and x1 = 56 .
Suppose α contains points from the line x1 = 21 . As α cannot contain all the points
from x1 = 21 , we can assume that α contains two points, say ( 21 , b1 ) and ( 21 , b2 ) with
b1 < b2 , from the line x1 = 21 which are in the opposite sides of the centroid ( 21 , 34 ),
and the other two points, say ( 61 , a1 ) and ( 56 , a2 ), from the lines x1 = 16 and x1 = 56 .
Then, if α does not contain any point from J3 ∪ J4 , we have

1 2 2 25
min x − c2 d P ≥ 2 x − , dP = = 0.0325521 > V4 ,
c∈α 6 3 768
J31 ∪J33
which leads to a contradiction. So, we can assume that ( 16 , a1 ) ∈ J3 and ( 65 , a2 ) ∈ J4 .

Suppose 23 ≤ a1 , a2 ≤ 56 . Then, notice that J31 ∪ J33 ∪ J321 ∪ J323 ⊂ M(( 61 , a1 )|α)
and similar is the expression for the point ( 56 , a2 ). Further, notice that J11 ∪ J12 ∪
J14 ∪ J21 ∪ J22 ∪ J23 ⊂ M(( 21 , 13 )|α). Therefore, under the assumption 23 ≤ a1 , a2 ≤
5
6
, writing A1 := J31 ∪ J33 ∪ J321 ∪ J323 and A2 := J11 ∪ J12 ∪ J14 , we have the dis-
tortion error as

1 1
min x − c d P ≥ 2
2
min x − , b 2 d P + min x − ( , b)2 d P
c∈α 2 5
3 ≤b≤ 6
6 0≤b≤ 34 2
A1 A2
2051 2021
=2 + = 0.0269833 > V4 ,
331776 276480
which leads to a contradiction. So, we can assume that 56 < a1 , a2 ≤ 1. Then, we see
that J1 ∪ J2 ⊂ M(( 21 , b1 )|α) for b1 = 21 , and so the distortion error is

1 13
min x − c2 d P ≥ 2 min x − , b 2 d P = = 0.0338542 > V4
c∈α 3
J1 0≤b≤ 4 2 384
which is a contradiction. All these contradictions arise due to our assumption that
α contains points from the line x1 = 21 . So, we can assume that α cannot contain
any point from the line x1 = 21 , i.e., we can assume that α contains two points
from the line x1 = 16 and two points from the line x1 = 56 . Thus, we can take α :=
{( 61 , a1 ), ( 16 , b1 ), ( 56 , a2 ), ( 56 , b2 )} where a1 ≤ 43 ≤ b1 and a2 ≤ 43 ≤ b2 . Notice that
the Voronoi region of ( 16 , a1 ) contains J1 and the Voronoi region of ( 56 , a2 ) contains J2 .
If the Voronoi region of ( 16 , a1 ) contains points from J3 , we must have 21 (a1 + b1 ) ≥
2
3
which yields a1 ≥ 43 − b1 ≥ 43 − 43 = 12 7
, and similarly if the Voronoi region of
( 6 , a2 ) contains points from J4 , we must have a2 ≥ 12
5 7
. But, then

1 7
min x − c2 d P ≥ 2 x − , 2 d P + 2 x − a(33, 34)2 d P
c∈α 6 12
J1 J33 ∪J34
65
= = 0.0423177 > V4 ,
1536
which is a contradiction. So, we can assume that the Voronoi regions of ( 16 , a1 ) and
( 65 , a2 ) do not contain any point from J3 ∪ J4 . Thus, we have ( 16 , a1 ) = a(1) = ( 16 , 14 ),
( 65 , a2 ) = a(2) = ( 65 , 41 ), ( 16 , b1 ) = a(3) = ( 16 , 12
11
), and ( 65 , b2 ) = a(4) = ( 56 , 12
11
),
and the quantization error is V4 = 288 = 0.0243056. Thus, the proof of the proposi-
7
tion is complete.

3.4 Let n ≥ 4 and αn be an optimal set of n-means, and let 1 ≤ i ≤ 4.

Proposition
Then αn Ji = ∅, and αn ∩ (J \ J1 ∪ J2 ∪ J3 ∪ J4 ) is an empty set.
Proof Let αn be an optimal set of n-means for n ≥ 4. If n = 4, the proposition is

true by Proposition 3.3. We now show that the proposition is true for n ≥ 5. Consider
the set of five points β := {(a(1), a(2), a(3, 3), a(3, 4), a(4)}. The distortion error
due to the set β is given by

17
min x − (a, b)2 d P = = 0.0196759.
(a,b)∈β 864
Since Vn is the quantization error for n-means for n ≥ 5, we have Vn ≤ 0.0196759.

As described in the proof of Proposition 3.2, we can assume that all the optimal points
cannot lie in one side of the vertical line x1 = 21 or in one side of the horizontal line
x2 = 43 .

Note 2 Let α be an optimal set of n-means for some n ≥ 2. Then, for a ∈ α, we

have a = a(ω), a = a(ω1, ω3), or a = a(ω2, ω4) for some ω ∈ I ∗ . Moreover, if
a ∈ α, then P-almost surely M(a|α) = Jω if a = a(ω), M(a|α) = Jω1 ∪ Jω3 if a =
a(ω1, ω3), and M(a|α) = Jω2 ∪ Jω4 if a = a(ω2, ω4). For ω ∈ I ∗ , (i = 1 and j =
3), (i = 2 and j = 4), or (i = 1, j = 2) write

E(ω) := x − a(ω)2 d P, and E(ωi, ωj) := x − a(ωi, ωj)2 d P. (4)
Jω Jωi ∪Jωj

Lemma 4 For any ω ∈ I ∗ , let E(ω), E(ω1, ω3), E(ω2, ω4), and E(ω1, ω2) be
defined by (4). Then, E(ω1, ω3) = E(ω2, ω4) = 126
31
E(ω), E(ω1, ω2) = 84
13
E(ω),
E(ω1) = E(ω2) = 72 E(ω), and E(ω3) = E(ω4) = 24 E(ω).
1 1
Proof By (2), we have

E(ω1, ω3) = x − a(ω1, ω3)2 d P = x − a(ω1, ω3)2 d P
Jω1 ∪Jω3 Jω1

+ x − a(ω1, ω3)2 d P
Jω3
= pω1 (sω1
2
V + a(ω1) − a(ω1, ω3)2 ) + pω3 (sω3
2
V + a(ω3) − a(ω1, ω3)2 ).
Notice that

1 1 3 1 3
a(ω1, ω3) = pω1 Sω1 , + pω3 Sω3 ,
pω1 + pω3 2 4 2 4

1 1 1 3 3 1 3
= 1 3 Sω1 , + Sω3 , ,
8
+8 8 2 4 8 2 4
which implies a(ω1, ω3) = 41 Sω1 ( 21 , 43 ) + 34 Sω3 ( 21 , 43 ). Thus, we have

1 3 1 1 3 3 1 3 2
a(ω1) − a(ω1, ω3) =Sω12
, − Sω1 , − Sω3 ,
2 4 4 2 4 4 2 4
9 2 1
= sω2 (0, )2 = sω2 ,
16 3 4
and similarly, a(ω3) − a(ω1, ω3)2 = s (0, 23 )2

1 2
16 ω
= 1 2
s .
36 ω
Thus, we obtain,

1 2 1
E(ω1, ω3) = pω1 (sω1
2
+ sω ) + pω3 sω3
V 2
V + sω2
4 36

1 1
= p ω sω V ( p 1 s1 + p 3 s3 ) + p ω sω
2 2 2 2
p1 + p3
4 36

1 1 1 31
= pω sω2 V + V = E(ω),
18 24 126
and similarly, we can prove the rest of the lemma. Thus, the proof of the lemma is
complete.

Remark 2 From the above lemma it follows that E(ω1, ω3) = E(ω2, ω4) >
E(ω1, ω2) > E(ω3) = E(ω4) > E(ω1) = E(ω2).
The following lemma gives some important properties about the distortion error.
Lemma 5 Let ω, τ ∈ I ∗ . Then
(i) E(ω) > E(τ ) if and only if E(ω1, ω3) + E(ω2, ω4) + E(τ ) < E(ω) +
E(τ 1, τ 3) + E(τ 2, τ 4);
(ii) E(ω) > E(τ 1, τ 3)(= E(τ 2, τ 4)) if and only if E(ω1, ω3) + E(ω2, ω4)
+ E(τ 1, τ 3) + E(τ 2, τ 4) < E(ω) + E(τ 1, τ 2) + E(τ 3) + E(τ 4);
(iii) E(ω1, ω3)(= E(ω2, ω4)) > E(τ 1, τ 3)(= E(τ 2, τ 4)) if and only
if E(ω1, ω2) + E(ω3) + E(ω4) + E(τ 1, τ 3) + E(τ 2, τ 4) < E(ω1, ω3) +
E(ω2, ω4) + E(τ 1, τ 2) + E(τ 3) + E(τ 4);
(iv) E(ω1, ω3)(= E(ω2, ω4)) > E(τ ) if and only if E(ω1, ω2) + E(ω3) +
E(ω4) + E(τ ) < E(ω1, ω3) + E(ω2, ω4) + E(τ 1, τ 3) + E(τ 2, τ 4);
(v) E(ω1, ω2) > E(τ ) if and only if E(ω1) + E(ω2) + E(τ ) < E(ω1, ω2) +
E(τ 1, τ 3) + E(τ 2, τ 4);
(vi) E(ω1, ω2) > E(τ 1, τ 3)(= E(τ 2, τ 4)) if and only if E(ω1) + E(ω2) +
E(τ 1, τ 3) + E(τ 2, τ 4) < E(ω1, ω2) + E(τ 1, τ 2) + E(τ 3) + E(τ 4);
(vii) E(ω1, ω2) > E(τ 1, τ 2) if and only if E(ω1) + E(ω2) + E(τ 1, τ 2) <
E(ω1, ω2) + E(τ 1) + E(τ 2);
(viii) E(ω) > E(τ 1, τ 2) if and only if E(ω1, ω3) + E(ω2, ω4) + E(τ 1, τ 2) <
E(ω) + E(τ 1) + E(τ 2).
Proof Let us first prove (iii). Using Lemma 4, we see that
5 31
L H S = E(ω1, ω2) + E(ω3) + E(ω4) + E(τ 1, τ 3) + E(τ 2, τ 4) = E(ω) + E(τ ),
21 63
31 5
R H S = E(ω1, ω3) + E(ω2, ω4) + E(τ 1, τ 2) + E(τ 3) + E(τ 4) = E(ω) + E(τ ).
63 21
Thus, L H S < R H S if and only if 21

5
E(ω) + 31
63
E(τ ) < 31
63
E(ω) + 215
E(τ ), which
yields E(ω) > E(τ ), i.e., E(ω1, ω3) > E(τ 1, τ 3). Thus (iii) is proved. The other
parts of the lemma can similarly be proved. Thus, the lemma follows.

In the following theorem, we give the induction formula to determine the optimal
sets of n-means for any n ≥ 2.
Theorem 1 For any n ≥ 2, let αn := {a(i) : 1 ≤ i ≤ n} be an optimal set of n-
means, i.e., αn ∈ Cn := Cn (P). For ω ∈ I ∗ , let E(ω), E(ω1, ω3) and E(ω2, ω4) be
defined by (4). Set

E(ω) if a(i) = a(ω) for some ω ∈ I ∗ ,
Ẽ(a(i)) :=
E(ωk, ω) if a(i) = a(ωk, ω) for some ω ∈ I ∗ ,
where (k = 1, = 3), or (k = 2, = 4), or (k = 1, = 2), and W (αn ) := {a( j) :

a( j) ∈ αn and Ẽ(a( j)) ≥ Ẽ(a(i)) for all 1 ≤ i ≤ n}. Take any a( j) ∈ W (αn ), and
write
⎧
⎪
⎪ (αn \ {a( j)}) ∪ {a(ω1, ω3), a(ω2, ω4)} if a( j) = a(ω),
⎨
(αn \ {a(ω1, ω3), a(ω2, ω4)}) ∪ {a(ω1, ω2), a(ω3), a(ω4)}
αn+1 (a( j)) :=
⎪
⎪ if a( j) = a(ω1, ω3) or a(ω2, ω4),
⎩
(αn \ {a( j)}) ∪ {a(ω1), a(ω2)} if a( j) = a(ω1, ω2),
Then αn+1 (a( j)) is an optimal set of (n + 1)-means, and the number of such sets is
given by

card {αn+1 (a( j)) : a( j) ∈ W (αn )} .
αn ∈Cn
Proof By Propositions 3.1–3.3, we know that the optimal sets of two-,

three- , and four-means are respectively {a(1, 3), a(2, 4)}, {a(1, 2), a(3), a(4)}, and
{a(1), a(2), a(3), a(4)}. Notice that by Lemma 4, we know E(1, 3) ≥ E(2, 4), and
E(1, 2) ≥ E(3) = E(4). Thus, the lemma is true for n = 2 and n = 3. For any n ≥ 3,
let us now assume that αn is an optimal set of n-means. Let αn := {a(i) : 1 ≤ i ≤ n}.
Let Ẽ(a(i)) and W (αn ) be defined as in the hypothesis. If a( j) ∈ / W (αn ), i.e., if
a( j) ∈ αn \ W (αn ), then by Lemma 5, the error

Ẽ(a(i)) + E(ω1, ω3) + E(ω2, ω4) if a( j) = a(ω),
a(i)∈(αn \{a( j)})

Ẽ(a(i)) + E(ω1, ω2) + E(ω3) + E(ω4) if a( j) = a(ω1, ω3) or a(ω2, ω4),
a(i)∈(αn \{a(ω1,ω3), a(ω2,ω4)})

Ẽ(a(i)) + E(ω1) + E(ω2) if a( j) = a(ω1, ω2),
a(i)∈(αn \{a( j)})
obtained in this case is strictly greater than the corresponding error obtained in the
case when a( j) ∈ W (αn ). Hence for any a( j) ∈ W (αn ), the set αn+1 (a( j)), where
⎧
⎪
⎪ (αn \ {a( j)}) ∪ {a(ω1, ω3), a(ω2, ω4)} if a( j) = a(ω),
⎨
(αn \ {a(ω1, ω3), a(ω2, ω4)}) ∪ {a(ω1, ω2), a(ω3), a(ω4)}
αn+1 (a( j)) :=
⎪
⎪ if a( j) = a(ω1, ω3) or a(ω2, ω4),
⎩
(αn \ {a( j)}) ∪ {a(ω1), a(ω2)} if a( j) = a(ω1, ω2),
is an optimal set of (n + 1)-means, and the number of such sets is

card {αn+1 (a( j)) : a( j) ∈ W (αn )} .
αn ∈Cn
Thus the proof of the theorem is complete (also see Note 3).

Remark 3 Once an optimal set of n-means is known, by using (2), the corresponding
quantization error can easily be calculated.
Remark 4 By Theorem 1, we note that to obtain an optimal set of (n + 1)-means

one needs to know an optimal set of n-means. We conjecture that unlike the uniform
probability distribution, i.e., when the probability measures on the basic rectangles
at each level of the Sierpiński carpet construction are equal, for the nonuniform
probability distribution considered in this paper, to obtain the optimal sets of n-
means a closed formula cannot be obtained.
Running the induction formula given by Theorem 1 in computer algorithm, we

obtain some results and observations about the optimal sets of n-means, which are
given in the following section.
4 Some Results and Observations
First, we explain about some notations that we are going to use in this section.
Recall that the optimal set of one-mean consists of the expected value of the
random variable X , and the corresponding quantization error is its variance. Let
αn be an optimal set of n-means, i.e., αn ∈ Cn , and then for any a ∈ αn , we
have a = a(ω), or a = a(ωi, ωj) for some ω ∈ I ∗ , where (i = 1, j = 3), (i =
2, j = 4), or (i = 1, j = 2). For ω = ω1 ω2 · · · ωk ∈ I k , k ≥ 1, in the sequel, we
will identify the elements a(ω) and a(ωi, ωj) by the sets {{ω1 , ω2 , . . . , ωk }} and
{{ω1 , ω2 , . . . , ωk , i}, {ω1 , ω2 , . . . , ωk , j}}, respectively. Thus, we can write
α2 = {{{1}, {3}}, {{2}, {4}}}, α3 = {{{1}, {2}}, {{3}}, {{4}}},

α4 = {{{1}}, {{2}}, {{3}}, {{4}}},
and so on. For any n ≥ 2, if card(Cn ) = k, we write

{αn,1 , αn,2 , · · · , αn,k } if k ≥ 2,
Cn =
{αn } if k = 1.
If card(Cn ) = k and card(Cn+1 ) = m, then either 1 ≤ k ≤ m, or 1 ≤ m ≤ k (see

Table 1). Moreover, by Theorem 1, an optimal set at stage n can contribute mul-
tiple distinct optimal sets at stage n + 1, and multiple distinct optimal sets at stage
n can contribute one common optimal set at stage n + 1; for example from Table 1,
one can see that the number of α21 = 8, the number of α22 = 28, the number of
α23 = 56, the number of α24 = 70, and the number of α25 = 56.
By αn,i → αn+1, j , it is meant that the optimal set αn+1, j at stage n + 1 is obtained
from the optimal set αn,i at stage n, similar is the meaning for the notations αn →
αn+1, j , or αn,i → αn+1 , for example from Fig. 2:

α16 → α17,1 , α16 → α17,2 , α16 → α17,3 , α16 → α17,4 ;

{ α17,1 → α18,1 , α17,1 → α18,2 , α17,1 → α18,4 , α17,2 → α18,1 , α17,2 → α18,3 , α17,2 → α18,5 ,

α17,3 → α18,2 , α17,3 → α18,3 , α17,3 → α18,6 , α17,4 → α18,4 , α17,4 → α18,5 , α17,4 → α18,6 };

{ α18,1 → α19,1 , α18,1 → α19,2 , α18,2 → α19,1 , α18,2 → α19,3 , α18,3 → α19,1 , α18,3 → α19,4 ,

α18,4 → α19,2 , α18,4 → α19,3 , α18,5 → α19,2 , α18,5 → α19,4 , α18,6 → α19,3 , α18,6 → α19,4 ;

α19,1 → α20 , α19,2 → α20 , α19,3 → α20 , α19,4 → α20 .
Moreover, one can see that

α8 = {{1, 1}, {1, 3}}, {{1, 2}, {1, 4}}, {{2, 1}, {2, 3}}, {{2, 2}, {2, 4}}, {{3, 1}, {3, 3}},
31
{{3, 2}, {3, 4}}, {{4, 1}, {4, 3}}, {{4, 2}, {4, 4} with V8 = = 0.0119599;
2592

α9,1 = {{3, 3}}, {{3, 4}}, {{1, 1}, {1, 3}}, {{1, 2}, {1, 4}}, {{2, 1}, {2, 3}}, {{2, 2}, {2, 4}},
Table 1 Number of αn in the range 5 ≤ n ≤ 82

n card(Cn ) n card(Cn ) n card(Cn ) n card(Cn ) n card(Cn ) n card(Cn )
5 2 18 6 31 4 44 70 57 8 70 6
6 1 19 4 32 1 45 56 58 28 71 4
7 2 20 1 33 4 46 28 59 56 72 1
8 1 21 8 34 6 47 8 60 70 73 24
9 2 22 28 35 4 48 1 61 56 74 276
10 1 23 56 36 1 49 8 62 28 75 2024
11 2 24 70 37 4 50 28 63 8 76 10626
12 1 25 56 38 6 51 56 64 1 77 42504
13 2 26 28 39 4 52 70 65 4 78 134596
14 1 27 8 40 1 53 56 66 6 79 346104
15 2 28 1 41 8 54 28 67 4 80 735471
16 1 29 4 42 28 55 8 68 1 81 1307504
17 4 30 6 43 56 56 1 69 4 82 1961256

{{3, 1}, {3, 2}}, {{4, 1}, {4, 3}}, {{4, 2}, {4, 4}} ,

α9,2 = {{4, 3}}, {{4, 4}}, {{1, 1}, {1, 3}}, {{1, 2}, {1, 4}}, {{2, 1}, {2, 3}}, {{2, 2}, {2, 4}},
25
{{3, 1}, {3, 3}}, {{3, 2}, {3, 4}}, {{4, 1}, {4, 2}} with V9 = = 0.00964506;
2592

α10 = {{3, 3}}, {{3, 4}}, {{4, 3}}, {{4, 4}}, {{1, 1}, {1, 3}}, {{1, 2}, {1, 4}}, {{2, 1}, {2, 3}},
19
{{2, 2}, {2, 4}}, {{3, 1}, {3, 2}}, {{4, 1}, {4, 2}} with V10 = = 0.00733025,
2592
and so on.
Note 3 Notice that there is only one optimal set of n-means for n = 72. By the
notations used in Theorem 1, we can write α72 = {a(i) : 1 ≤ i ≤ 72}. Then,
W (α72 ) = {{{1, 3, 3}}, {{1, 3, 4}}, {{1, 4, 3}}, {{1, 4, 4}}, {{2, 3, 3}}, {{2, 3, 4}}, {{2, 4, 3}},
{{2, 4, 4}}, {{3, 1, 3}}, {{3, 1, 4}}, {{3, 2, 3}}, {{3, 2, 4}}, {{3, 3, 1}}, {{3, 3, 2}},
{{3, 4, 1}}, {{3, 4, 2}}, {{4, 1, 3}}, {{4, 1, 4}}, {{4, 2, 3}}, {{4, 2, 4}}, {{4, 3, 1}}, {{4, 3, 2}},
{{4, 4, 1}}, {{4, 4, 2}}}.
Since card(W (α72 )) = 24, by the theorem, we have card(C73 ) = 241

=
24, card(C74 ) = 2 = 276, card(C75 ) = 3 = 2024, card(C76 ) = 4 = 10626,
24 24 24
etc., for details see Table 1.
Let us now conclude the paper with the following remark:

Remark 5 Consider a set of four contractive affine transformations S(i, j) on R2 , such
that S(1,1) (x1 , x2 ) = ( 41 x1 , 41 x2 ), S(2,1) (x1 , x2 ) = ( 21 x1 + 21 , 41 x2 ), S(1,2) (x1 , x2 ) =
( 41 x1 , 21 x2 + 21 ), and S(2,2) (x1 , x2 ) = ( 21 x1 + 21 , 21 x2 + 21 ) for all (x1 , x2 ) ∈ R2 . Let
S be the limit set of these contractive mappings. Then, S is called the Sierpiński
carpet generated by S(i, j) for all 1 ≤ i, j ≤ 2. Let P be the Borel probability mea-
−1 −1 −1 −1
sure on R2 such that P = 16 1
P ◦ S(1,1) + 16
3
P ◦ S(2,1) + 16
3
P ◦ S(1,2) + 16
9
P ◦ S(2,2) .
Then, P has support the Siepiński carpet S. For this probability measure, the optimal
sets of n-means and the nth quantization errors are not known yet for all n ≥ 2.
Acknowledgements The research of the author was supported by U.S. National Security Agency
(NSA) Grant H98230-14-1-0320
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Fractal Dimension for a Class
of Complex-Valued Fractal Interpolation
Functions
Manuj Verma, Amit Priyadarshi, and Saurabh Verma
Abstract There are many research papers dealing with fractal dimension of real-
valued fractal functions in the recent literature. The main focus of our paper is to
study the fractal dimension of complex-valued functions. This paper also highlights
the difference between dimensional results of the complex-valued and real-valued
fractal functions. We study the fractal dimension of the graph of complex-valued
function g(x) + i h(x), compare its fractal dimension with the graphs of functions
g(x) + h(x) and (g(x), h(x)) and also obtain some bounds. Moreover, we study
the fractal dimension of the graph of complex-valued fractal interpolation function
associated with a germ function f , base function b, and scaling functions αk .
Keywords Box dimension · Iterated function systems · Hausdorff dimension ·

Fractal interpolation functions · Packing dimension
Mathematics Subject Classification Primary (28A80) · Secondary (41A30)
1 Introduction
An important concept in fractal geometry is the fractal dimension. Computation of

the fractal dimension of graphs and sets has received a lot of attention in the literature
[9, 17]. In [2], Barnsley defined the notion of fractal interpolation functions (FIFs)
and determined the box dimension (BD) of the affine FIF. Estimation of BD for
a class of affine FIFs presented in [4, 5, 11]. Several authors [6, 12–14, 22] also
M. Verma (B) · A. Priyadarshi

Department of Mathematics, IIT Delhi, New Delhi 110016, India
e-mail: manujverma123@gmail.com
A. Priyadarshi
e-mail: priyadarshi@maths.iitd.ac.in
S. Verma
Department of Applied Sciences, IIIT Allahabad, Prayagraj 211015, India
e-mail: saurabhverma@iiita.ac.in
https://doi.org/10.1007/978-981-99-0597-3_6
64 M. Verma et al.
calculated the fractal dimension of the graphs of FIFs. In 1991, Massopust [16]
determined BD of the graphs of vector-valued FIFs. Later, Hardin and Massopust
[12] described the FIFs from Rn to Rm and determined the BD of its graph. The
reader can see some recent works on fractal dimension of fractal functions defined
on different domains such as Sierpinski gasket [1, 20], rectangular domain [8], and
interval [13, 22]. To the best of our knowledge, we may say that there is no work
available for the dimension of complex-valued fractal functions. Here, we give some
basic results for complex-valued FIF and provide some results to convince the reader
that there is some difference between the dimensional result of the complex-valued
and real-valued fractal functions.
In 1986, Mauldin and Williams [17] were the pioneers who studied the problem
of decomposition of the continuous functions in terms of the Hausdorff dimension
(HD). They proved the existence of decomposition of any continuous function on
[0, 1] into a sum of two continuous functions, where each has HD one. Later in 2000,
Wingren [23] gave a technique to construct the above decomposition of Mauldin and
Williams. Moreover, he proved the same type of result as Mauldin and Williams for
the lower BD. Bayart and Heurteaux [7] also proved the similar result for HD β = 2,
and raised the question for β ∈ [1, 2]. Recently, in 2013, Jia Liu and Jun Wu [15]
solved the question which was raised by Bayart and Haurteaux. More precisely, they
showed that, for any given β ∈ [1, 2], we can decompose any continuous function
on [0, 1] into a sum of two continuous functions, where each has HD β. Falconer
and Fraser [10] proved that the upper BD of the graph of the sum of two continuous
functions depends on BD of both graphs.
In [10, 15], the authors determined that HD of the graph of g + h does not depend
on HD of the graph of g and h, whereas the upper BD depends on both. Motivated by
this, we think about the behavior of HD of the graph of g + i h, whether it depends on
HD of graphs of g and h or not. We obtained an affirmative answer to this question.
Also, the upper BD of g + i h depends on the upper BD of g and h which is quite
different from the upper BD of g + h. Finally, we studied some relations between
fractal dimensions of the graphs of g(x) + i h(x), g(x) + h(x), and (g(x), h(x)).
The article is arranged as follows. In the upcoming Sect. 1.1, we provide some
preliminary results and the required definition for the next section. Section 2 contains
some results related to the dimension of the complex-valued continuous functions and
the FIFs. In this section, first, we establish some results to form a connection between
the fractal dimension of complex-valued and real-valued continuous functions. After
that, we determine the fractal dimension of FIFs under some assumptions. We also
obtain some conditions under which α-fractal function becomes Hölder continuous
function and bounded variation function, and calculate its fractal dimension.
1.1 Preliminaries
Definition 1 Let (Y, d) be a metric space and F ⊆ Y . The Hausdorff dimension

(HD) dim H F of F is given by
Fractal Dimension for a Class of Complex-Valued Fractal … 65

dim H F = inf{η > 0 : for each δ > 0, ∃ cover {Vi } of F with |Vi |η < δ},
where |Vi | is the diameter of Vi .
Definition 2 Let (Y, d) be a metric space and F ⊆ Y, F = ∅. The box dimension

(BD) of the set F is defined as
log Nδ (F)
dim B F = lim ,
δ→0 − log δ
where Nδ (F) is the minimum number of sets of diameter δ > 0 that can cover F. If
this limit does not exist, then liminf and limsup are known as the lower and upper
BDs, respectively.

Definition 3 For any δ > 0 and l ≥ 0, let Pδl (F) := sup n |On | , where {On } is
l
a set of the pairwise disjoint balls of the diameter less than or equal to 2δ with centers
in F ⊆ Y . One can observe that Pδs decreases as δ decreases. Thus, limδ→0 Pδl (F) =
P0l (F) exists. We define l-dimensional packing measure as
∞

P (F) = inf
l
P0l (Fn ) :F⊂ Fn .
n n=1
With the help of packing measure, we define the packing dimension (PD) as follows:
dim P (F) = sup{l ≥ 0 : P l (F) = ∞} = inf{l ≥ 0 : P l (F) = 0}.
Note The graph of function f will be denoted by G( f ) throughout this paper. For
σ ∈ (0, 1], the Hölder space Hσ ([a, b], R),
Hσ ([a, b], R) := { f : [a, b] → R : | f (t1 ) − f (t2 )| ≤ C f |t1 − t2 |σ , ∀ t1 , t2 ∈ [a, b], for some C f > 0}.
Remark 1 f = f 1 + i f 2 : [a, b] → C is a Hölder function with exponent σ if and

only if f i ∈ Hσ ([a, b], R) for each i = 1, 2.
Theorem 1 ([9]) If f ∈ Hσ ([a, b], R), then dim B (G( f )) ≤ 2 − σ.
Let (Y, d) be a complete metric space. The class of all non-empty compact subsets
of Y is denoted by H (Y ). Let A1 , A2 ∈ H (Y ). The Hausdorff metric D on H (Y ) is
given by
D(A1 , A2 ) = max{max min d(a1 , a2 ), max min d(a1 , a2 )}.

a1 ∈A1 a2 ∈A2 a2 ∈A2 a1 ∈A1
Then the metric space (H (Y ), D) is complete.

66 M. Verma et al.
Definition 4 A mapping θ : (Y, d) → (Y, d) is said to be a contraction if
d(θ(a), θ(b)) ≤ c d(a, b), ∀ a, b ∈ Y,
for some c < 1.

Definition 5 The system I = (Y, d); θ1 , θ2 , . . . , θ N is said to be an iterated func-
tion system (IFS), if for every i ∈ {1, 2, . . . , N }, θi : (Y, d) → (Y, d) is a contraction.

Note- Let I = (Y, d); θ1 , θ2 , . . . , θ N be an IFS. We define a mapping S : H (Y ) →
H (Y ) as
S(A) = ∪i=1 N
θi (A).
Thus, S is a contraction on (H (Y ), D). If (Y, d) is complete, then using Banach fixed

point theory; there is a unique E ∈ H (Y ) with E = ∪i=1 N
θi (E). This compact set E
is said to be an attractor of the IFS, see for instance, [3, 9].
Definition 6 Let I = {(Y, d); θ1 , θ2 , . . . , θ N } be an IFS and E be an attractor of I.

The IFS I satisfies the strong separation condition (SSC) if θi (E) ∩ θ j (E) = ∅ ∀ i =
j. And if there is an open set O such that O = ∅, θi (O) ∩ θ j (O) = ∅ ∀ i = j and
θi (O) ⊂ O ∀ i, then I satisfies the open set condition (OSC). Furthermore, if
O ∩ E = ∅ then I satisfies the strong open set condition (SOSC) (see [21]).
1.2 Fractal Interpolation Functions
Let us assume a finite data set {(xi , yi ) ∈ R × C : i = 1, 2, . . . , N } such that x1 <

x2 < · · · < x N . Let L = [x1 , x N ] and T = {1, 2, ..., N − 1}. Set L k = [xk , xk+1 ] for
every k ∈ T. For each k ∈ T , We define a contractive map Pk : L → L k such that
Pk (x1 ) = xk , Pk (x N ) = xk+1 . (1)
For every k ∈ T , we define a continuous map k : L × C → C such that
|k (t, ξ1 ) − k (t, ξ2 )| ≤ sk |ξ1 − ξ2 |,
k (x1 , y1 ) = yk , k (x N , y N ) = yk+1 ,
where 0 ≤ sk < 1 and (t, ξ1 ), (t, ξ2 ) ∈ L × C. For every k ∈ T , we can take partic-
ular choices of Pk and k as
Pk (t) = ak t + dk , k (t, ξ) = αk ξ + qk (t).
Since Pk satisfy Eq. (1), we can obtain the unique constants ak and dk . The constant
multiplier αk is said to be a scaling factor and |αk | < 1. The map qk : L → C is a
continuous with the property that qk (x1 ) = yk − αk y1 and qk (x N ) = yk+1 − αk y N .

With the help of Pk and k , for every k ∈ T , we define a continuous function Wk :
L × C → L × C as
Wk (t, ξ) = Pk (t), k (t, ξ) .
Thus, J := {L × C; W1 , W2 , . . . , W N −1 } is an IFS. By [2, Theorem 1], J has a

unique attractor and this attractor is the graph of a function h which satisfies:
h(t) = αk h Pk−1 (t) + qk Pk−1 (t) ,
where t ∈ L k and k ∈ T. The function h is called FIF.
1.3 α-Fractal Functions
We can adapt the idea of the construction of FIF. The set of complex-valued continu-
ous functions defined on L = [x1 , x N ] ⊂ R is denoted by C(L , C), with the sup norm.
Let f be a given function in C(L , C), known as the germ function. For constructing
the IFS, we consider the following assumptions:
1. Let := {(x1 , x2 , . . . , x N ) : x1 < x2 < · · · < x N } be a partition of L = [x1 , x N ].
2. Let αk ∈ C(L , C) with αk ∞ = max{|αk (t)| : t ∈ L} < 1, for all k ∈ T . These
αk are called the scaling functions.
3. Let b ∈ C(L , C) with b = f and b(xi ) = f (xi ) for i ∈ {1, N } and, named as
the base function.
Motivated by [2, 3], Navascués [18] considered the following set of functions:
Pk (t) = ak t + dk ,
(2)
k (t, ξ) = αk (t)ξ + f Pk (t) − αk (t)b(t).
Then the corresponding IFS J := {L × C; W1 , W2 , . . . , W N −1 }, where
Wk (t, ξ) = Pk (t), k (t, ξ) ,
α
has a unique attractor and this attractor is the graph of a continuous function f ,b :
α α α
L → C with f ,b (xk ) = f (xk ), k ∈ T . For simplicity, we write f ,b by f . The real
valued f α is widely known as α-fractal function, see, for instance, [1, 8, 13, 22].
Moreover, f α satisfies
f α (t) = f (t) + αk (Pk−1 (t)).( f α − b) Pk−1 (t) (3)
for all t ∈ L and k ∈ T . The function f α is a “fractal perturbation” of f .

68 M. Verma et al.
2 Main Theorems
In the upcoming lemma, we determine a relation between HD of the graph of a

complex-valued continuous function and its real and imaginary parts.
Lemma 1 Suppose f ∈ C([a, b], C) and g, h : [a, b] → R is real and imaginary
part of f , respectively, that is, f = g + i h. Then
(1) dim H (G(g + i h)) ≥ max{dim H (G(g)), dim H (G(h))}.
(2) dim H (G(g + i h)) = dim H (G(g)), whenever h is Lipschitz.
Proof (1) We consider Φ : G( f ) → G(g) as
Φ(t, g(t) + i h(t)) = (t, g(t)).
We aim to show that Φ is a Lipschitz mapping. Using simple properties of norm,

it follows that
Φ(t1 , g(t1 ) + i h(t1 )) − Φ(t2 , g(t2 ) + i h(t2 ))2

= (t1 , g(t1 )) − (t2 , g(t2 ))2
= |t1 − t2 |2 + |g(t1 ) − g(t2 )|2
≤ |t1 − t2 |2 + |g(t1 ) − g(t2 )|2 + |h(t1 ) − h(t2 )|2
= (t1 , g(t1 ) + i h(t1 )) − (t2 , g(t2 ) + i h(t2 )2 .
That is, Φ is Lipschitz. Thus, from [9, Corollary 2.4], we obtain
dim H (G( f )) ≥ dim H (G(g)).
On similar lines, we obtain
dim H (G( f )) ≥ dim H (G(h)).
Combining both of the above inequalities, we get
dim H (G( f )) ≥ max{dim H (G(g)), dim H (G(h))},
completing the proof of item (i).

(2) From Part (1) of Lemma 1, it is obvious that Φ is a Lipschitz. Now,
(t1 , g(t1 ) + i h(t1 )) − (t2 , g(t2 ) + i h(t2 )2

= |t1 − t2 |2 + |g(t1 ) − g(t2 )|2 + |h(t1 ) − h(t2 )|2
≤ |t1 − t2 |2 + C12 |t1 − t2 |2 + |g(t1 ) − g(t2 )|2
≤ (1 + C12 ){ |t1 − t2 |2 + |g(t1 ) − g(t2 )|2 }
= (1 + C12 )(t1 , g(t1 )) − (t2 , g(t2 ))2

= (1 + C12 )Φ(t1 , g(t1 ) + i h(t1 )) − Φ(t2 , g(t2 ) + i h(t2 ))2 .
Therefore, Φ is bi-Lipschitz. Thus, from [9, Corollary 2.4], we get
dim H (G( f )) = dim H (G(g)).
Thus, the proof is done.
Next, we present similar results for some other dimensions.

Proposition 1 Suppose f ∈ C([a, b], C) and g, h : [a, b] → R is real and imagi-
nary part of f , respectively, that is, f = g + i h. Then
dim P (G(g + i h)) ≥ max{dim P (G(g)), dim P (G(h))},
dim B (G(g + i h)) ≥ max{dim B (G(g)), dim B (G(h))},
dim B (G(g + i h)) ≥ max{dim B (G(g)), dim B (G(h))}.
Proof Using the same idea as in part (1) of Lemma 1, one can easily prove this.
Proposition 2 Suppose f ∈ C([a, b], C) and g, h : [a, b] → R is real and imagi-

nary part of f , respectively, that is f = g + i h. If h is Lipschitz, then
dim P (G( f )) = dim P (G(g)), dim B (G( f )) = dim B (G(g)),
and
dim B (G( f )) = dim B (G(g)).
Proof Using the idea of part (2) in Lemma 1, one can obtain the required result.
Lemma 2 Suppose f ∈ C([a, b], C) and g, h : [a, b] → R is real and imaginary

part of f , respectively, that is, f = g + i h. If h is Lipschitz, then
dim H (G(g + i h)) = dim H (G(g + h)) = dim H (G(g, h)) = dim H (G(g)),
dim B (G(g + i h)) = dim B (G(g + h)) = dim B (G(g, h)) = dim B (G(g)),
dim P (G(g + i h)) = dim P (G(g + h)) = dim P (G(g, h)) = dim P (G(g)).
Proof We consider Φ : G(g + h) → G(g) as
Φ(t, (g(t) + h(t))) = (t, g(t))
is a bi-Lipschitz map, see part(1) of Lemma 1. Now, from [9, Corollary 2.4], we get
70 M. Verma et al.
dim H (G(g + h)) = dim H (G(g)). (4)
And we can show that Φ : G(g, h) → G(g) defined by
Φ(t, (g(t), h(t))) = (t, g(t)),
is a bi-Lipschitz map, see part (2) of Lemma 1. Thus, from [9, Corollary 2.4], we
obtain
dim H (G(g, h)) = dim H (G(g)). (5)
Further, by Lemma 1, Eqs. 4 and 5, we get
dim H (G(g + i h)) = dim H (G(g + h)) = dim H (G(g, h)) = dim H (G(g)).
Since upper BD, lower BD, and PD satisfy bi-Lipschitz invariance property, the rest
follows.
Lemma 3 Suppose g, h : [a, b] → R are continuous functions. Then g + i h : [a, b]

→ C, (g, h) : [a, b] → R2 are continuous functions and dim H G(g + i h) =
dim H G(g, h).
Proof We consider Φ : G(g + i h) → G(g, h) as
Φ(t, g(t) + i h(t)) = (t, (g(t), h(t))).
We target to prove that Φ is bi-Lipschitz. Performing simple calculations, we have
Φ(t1 , g(t1 ) + i h(t1 )), Φ(t2 , g(t2 ) + i h(t2 ))2

=(t1 , (g(t1 ), h(t1 ))), (t2 , (g(t2 ), h(t2 )))2
=|t1 − t2 |2 + |g(t1 ) − g(t2 )|2 + |h(t1 ) − h(t2 )|2
=(t1 , g(t1 ) + i h(t1 )), (t2 , g(t2 ) + i h(t2 ))2 .
Therefore, Φ is bi-Lipschitz. By using [9, Corollary 2.4], we get
dim H G(g + i h) = dim H G(g, h).
Since upper BD, lower BD, and PD also fulfill the bi-Lipschitz invariance property,
we complete the proof.
Remark 2 The Peano space filling curve g : [0, 1] → [0, 1] × [0, 1] is a function,
which is 21 -Hölder, see details [14]. The component functions satisfy dim H G(g1 ) =
dim H G(g2 ) = 1.5. Since g is a space filling curve, we have dim H G(g ≥ 2. Now,
consider a complex-valued mapping f (x) = g1 (x) + ig2 (x), and using Lemma 3,
dim H G( f ) ≥ 2. Now, we conclude this remark. If f ∈ Hσ ([0, 1], R) for σ ∈ (0, 1),
then dim H G( f ) ≤ 2 − σ. But if f ∈ Hσ ([0, 1], C) for σ ∈ (0, 1). Is 2 − σ again the
upper bound of dim H G( f )? From the above, we may not get a positive answer.
From Remark 2, it is clear that, in general, the dimensional results for the complex-
valued and real-valued functions are not same. Now, we are ready to give some
dimensional results for the complex-valued FIFs.
We define a metric D0 on L × C by
D0 ((t1 , ξ1 ), (t2 , ξ2 )) = |t1 − t2 | + |ξ1 − ξ2 | ∀ (t1 , ξ1 ), (t2 , ξ2 ) ∈ L × C.
Then L × C, D0 is a complete metric space.

Theorem 2 Let I := {L × C; W1 , W2 , . . . , W N −1 } be the IFS defined in the con-
struction of f α such that
ck D0 ((t1 , ξ1 ), (t2 , ξ2 )) ≤ D0 (Wk (t1 , ξ1 ), Wk (t2 , ξ2 )) ≤ Ck D0 ((t1 , ξ1 ), (t2 , ξ2 )),
where 0 < ck , Ck < 1 ∀ k ∈ T and (t1 , ξ1 ), (t2 , ξ2 ) ∈ L × C. Then r ≤

N
−1
dim H (G( f α )) ≤ R, where r and R are uniquely determined by ckr = 1 and
k=1
N
−1
CkR = 1, respectively.
k=1
Proof For upper bound of dim H (G( f α )), one may follow Proposition 9.6 in [9].
For the lower bound of dim H (G( f α )), we shall proceed in the following way.
Let V = (x1 , x N ) × C. Thus, we have
Wi (V ) ∩ W j (V ) = ∅,
for all i = j ∈ T. Because
Pi (x1 , x N ) ∩ P j (x1 , x N ) = ∅, ∀ i = j ∈ T.
We can observe that V ∩ G( f α ) = ∅, thus the IFS I satisfies the SOSC. Then, there
is an index i ∈ T ∗ with Wi (G( f α )) ⊂ V, where T ∗ := ∪n∈N {1, 2, . . . , N − 1}n .
We denote Wi (G( f α )) by (G( f α ))i for any i ∈ T ∗ . Now, one can observe that
for each n ∈ N, the sets {(G( f α )) ji : j ∈ T n } is disjoint. Then, for each n ∈
N, IFS Ln = {W ji : j ∈ T n } satisfies all the assumptions of Proposition 9.7 in
[9]. Hence, by Proposition 9.7 in [9], if A∗n is an attractor of Ln , then rn ≤
∗ rn ∗ α
dim H (An ), where rn is given by j∈T n c ji = 1. Since An ⊂ G( f ), we have
∗ α α
rn ≤ dim H (An ) ≤ dim H (G( f )). Suppose that dim H (G( f )) < r. Thus, rn < r .
Let cmax = max{c1 , c2 , . . . , c N −1 }. We have
dim H (G( f α ))−r

ci−rn =
α
n(dim H (G( f ))−r )
crjn ≥ crj c j ≥ crj cmax .
j∈T n j∈T n j∈T n
72 M. Verma et al.
This implies that

α
ci−r ≥ cmax
n(dim H (G( f ))−r )
.
We have a contradiction for a large value of n ∈ N. Therefore, we get dim H (G( f α )) ≥

r, proving the assertion.
Remark 3 In [19], Roychowdhury estimated HD and BD of the attractor of hyper-

bolic recurrent IFS consisting of bi-Lipschitz mappings under OSC using Bowen’s
pressure function and volume argument. Note that recurrent iterated function is a gen-
eralization of the iterated function, hence so is Roychowdhury’s result. We should
emphasize on the fact that, in the above, we provide a proof without using pressure
function and volume argument. Our proof can be generalized to general complete
metric spaces.
Remark 4 Theorem 2 can be compared with Theorem 2.4 in [13].
The Hölder space is defined as follows:
Hσ (L , C) := {h : L → C : h
is a Hölder function with exponent σ}. We know that (Hσ (L , C), .H ) is a complete
norm linear space, where hH := h∞ + [h]σ and
|h(t1 ) − h(t2 )|
[h]σ = sup .
t1 ,t2 ∈L ,t1 =t2 |t1 − t2 |σ
αH
Theorem 3 Let f, b, α ∈ Hσ (L , C). Set c := min{ak : k ∈ T }. If cσ
< 1
N
, then
f α ∈ Hσ (L , C).
Proof First, we define a closed subset of Hσ (L , C) as follows
Hσf (L , C) := {h ∈ Hσ (L , C) : h(xi ) = f (xi ) for i ∈ {1, N }}.
Since (Hσ (L , C), .H ) is a complete norm linear space, Hσf (L , C) is a com-
plete metric space under the metric endowed by .H . Now, we consider a map
S : Hσf (L , C) → Hσf (L , C) as follows
(Sh)(t) = f (t) + αk (Pk−1 (t)) (h − b)(Pk−1 (t)) ∀ t ∈ L k , k ∈ T.
Our claim is that the map S is well defined and a contraction on Hσf (L , C).
|Sh(t1 ) − Sh(t2 )|
σ ≤ N = max sup
k∈T t1 ,t2 ∈L k ,t1 =t2 |t1 − t2 |σ
| f (t1 ) − f (t2 )|
≤N max sup
k∈T t1 ,t2 ∈L k ,t1 =t2 |t1 − t2 |σ

|αk (Pk−1 (t1 ))|(h − b)(Pk−1 (t1 )) − (h − b)(Pk−1 (t2 ))
+ sup
t1 ,t2 ∈L k ,t1 =t2 |t1 − t2 |σ

|(h − b)(Pk−1 (t2 ))|αk (Pk−1 (t1 )) − αk (Pk−1 (t2 ))
+ sup
t1 ,t2 ∈L k ,t1 =t2 |t1 − t2 |σ
α∞ h − b∞
≤ N [ f ]σ + N σ [h]σ + [b]σ + N [α]σ ,
c cσ
|αk (t1 )−αk (t2 )|
where [α]σ = max sup |t1 −t2 |σ
. Thus, S is well-defined map. For g1 , g2 ∈
k∈T t1 =t2 ,t1 ,t2 ∈L
Hσf (L , C), we have
Sg1 − Sg2 H = Sg1 − Sg2 ∞ + [Sg1 − Sg2 ]σ

α∞ g1 − g2 ∞
≤ α∞ g1 − g2 ∞ + N σ [g1 − g2 ]σ + N [α]σ
c cσ
αH
≤ N σ g1 − g2 H .
c
Since α
cσ
H
< N1 , S is contraction. Using Banach fixed point theory, there is a unique
function f ∈ Hσf (L , C) with S( f α ) = f α . Hence, we are done.
α
Theorem 4 Let f , b, and α j be complex-valued functions satisfying
| f (t1 ) − f (t2 )| ≤ l f |t1 − t2 |σ ,

|b(t1 ) − b(t2 )| ≤ lb |t1 − t2 |σ , (6)
σ
|α j (t1 ) − α j (t2 )| ≤ lα |t1 − t2 |
for each t1 , t2 ∈ L , j ∈ T, and for some l f , lb , lα > 0, σ ∈ (0, 1]. Let f 1 , f 2 be

component of f , b1 , b2 be component of b,α1j , α2j be component of α j and f 1α , f 2α be
component of f α . Let M > 0 such that f α ∞ = max{| f α (t)| : t ∈ L} ≤ M. Also,
consider constants l fi , δ0 > 0 such that for all t1 ∈ L and δ < δ0 , there is a t2 ∈ L
with |t1 − t2 | ≤ δ and
| f i (t1 ) − f i (t2 )| ≥ l fi |t1 − t2 |σ for i ∈ {1, 2}.

−σ

1 l f1 −2(b∞ +M)lα c l −2(b +M)l c−σ
If αH < cσ min N
, 2(Cα, f,b +lb )
, f2 2(Cα,∞f,b +lb ) α , then we have
1 ≤ dim H G( f iα ) ≤ dim B G( f iα ) = 2 − σ for i = 1, 2.

74 M. Verma et al.
Moreover, 1 ≤ dim H G( f α ) ≤ dim B G( f α ) ≥ 2 − σ.

cσ
Proof Since αH < N
, Theorem (3.11) yields that f α ∈ Hσ (L , C). Consequently,
| f iα (t1 ) − f iα (t2 )| ≤ | f α (t1 ) − f α (t2 )| ≤ Cα, f,b |t1 − t2 |σ
for some constant Cα, f,b > 0 and for i = 1, 2. Firstly, we try to obtain the upper
bound of the upper BD of G( f iα ) ∀ i ∈ {1, 2} as follows: For δ ∈ (0, 1), assume
m = 1δ , where . denotes the ceiling function and Nδ (G( f iα )) is the least number
of δ-squares that covers G( f iα ), we have

m−1
R fiα [(r δ, (r + 1)δ]

Nδ (G( f iα )) ≤ 2m +
r =0
δ
m−1
R f α [r δ, (r + 1)δ]
1
≤2 +1 + i
(7)
δ r =0
δ
m−1

1
≤2 +1 + Cα, f,b δ σ−1 .
δ r =0
From this, we deduce that
log Nδ (G( f iα ))
dim B G( f iα ) = lim ≤2−σ ∀ i = 1, 2.
δ→0 − log δ
Next, we will prove that dim B G( f iα ) ≥ 2 − σ ∀ i = 1, 2. For this, using the

self-referential equation of f α , we obtain

f 1α (t) = f 1 (t) + αk1 Pk−1 (t) f 1α Pk−1 (t) − b1 Pk−1 (t)
(8)
− αk2 Pk−1 (t) f 2α Pk−1 (t) − b2 Pk−1 (t)
for every t ∈ L k and k ∈ T. Let t1 , t2 ∈ L k such that |t1 − t2 | ≤ δ. From Eq. 8, we

have

| f 1α (t1 ) − f 1α (t2 )| = f 1 (t1 ) − f 1 (t2 ) + αk1 Pk−1 (t1 ) f 1α Pk−1 (t1 )
− αk1 Pk−1 (t2 ) f 1α Pk−1 (t2 ) − αk1 Pk−1 (t1 b1 Pk−1 (t1 )
+ αk1 Pk−1 (t2 ) b1 Pk−1 (t2 ) − αk2 Pk−1 (t1 ) f 2α Pk−1 (t1 )
+ αk2 Pk−1 (t2 ) f 2α Pk−1 (t2 ) + αk2 Pk−1 (t1 ) b2 Pk−1 (t1 )

− αk2 Pk−1 (t2 ) b2 Pk−1 (t2 )

≥| f 1 (t1 ) − f 1 (t2 )| − α∞ f 1α Pk−1 (t1 ) − f 1α Pk−1 (t2 )

− α∞ b1 Pk−1 (t1 ) − b1 Pk−1 (t2 ) − b∞ + f α ∞

1 −1
αk Pk (t1 ) − αk1 Pk−1 (t2 ) − α∞ f 2α Pk−1 (t1 )

− f 2α Pk−1 (t2 ) − α∞ b2 Pk−1 (t1 ) − b2 Pk−1 (t2 )

− b∞ + f α ∞ αk2 Pk−1 (t1 ) − αk2 Pk−1 (t2 ) .
With the help of Eq. (6), we get

σ

| f 1α (t1 ) − f 1α (t2 )| ≥ l f 1 |t1 − t2 |σ − 2α∞ Cα, f,b Pk−1 (t1 ) − Pk−1 (t2 )
σ

− 2α∞ lb Pk−1 (t1 ) − Pk−1 (t2 )
σ

− 2 b∞ + M lα Pk−1 (t1 ) − Pk−1 (t2 )
≥ l f 1 |t1 − t2 |σ − 2α∞ Cα, f,b a −σ |t1 − t2 |σ
− 2α∞ lb c−σ |t1 − t2 |σ
− 2 b∞ + M c−σ lα |t1 − t2 |σ
= l f 1 − 2(Cα, f,b + lb )α∞ c−σ − 2 b∞ + M c−σ lα |t1 − t2 |σ .
Set M0 := l f1 − 2 b∞ + M c−σ lα − 2(Cα, f,b + lb )α∞ c−σ . Thus by the

assumption M0 > 0. Let δ = cn for n ∈ N and w = c1n . We estimate
w

Nδ (G( f 1α )) ≥ max 1, c−n R f1α [r δ, (r + 1)δ]
r =0
w

≥ c−n R f1α [r δ, (r + 1)δ]
r =0
w

≥ M0 c−n cnσ
r =0
= M0 cn(σ−2) .
Thus, we have
log Nδ (G( f 1α )) log M0 cn(σ−2)

dim B G( f 1α ) = lim ≥ lim
δ→0 − log(δ) n→∞ −n log c
= 2 − σ,
Similarly, we get
dim B G( f 2α ) ≥ 2 − σ,
establishing the result.

76 M. Verma et al.
Definition 7 Suppose h : L → C is a function. The total variation V (h, L , C) of h

on L,
m
V (h, L , C) = sup |h(γi ) − h(γi−1 )|.
Q=(γ0 ,γ1 ,...,γm ) partition of L i=1
We call h a function of bounded variation if V (h, L , C) < ∞.
BV(L , C):={h : L → C : V (h, L , C) < ∞}.
The space BV(L , C) is Banach under the norm hBV := |h(x0 )| + V (h, L , C).
Theorem 5 If f, b ∈ BV(L , C) ∩ C(L , C) and αk ∈ BV(L , C) ∩ C(L , C) ∀ k ∈

T such that αBV < 2(N1−1) , then f α ∈ BV(L , C) ∩ C(L , C). Moreover, dim H
(G( f α )) = dim B (G( f α )) = 1.
Proof Following Theorem 3.11 and [13, Theorem 3.24 ], one may complete the
proof.
Remark 5 The above theorem will reduce to [13, Theorem 3.24] when all functions
f, b and αk are real-valued.
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A Note on Complex-Valued Fractal
Functions on the Sierpiński Gasket
V. Agrawal and T. Som
Abstract Traditional non-recursive approximation methods are less versatile than

fractal interpolation and approximation approaches. The concept of fractal interpo-
lation functions (FIFs) have been found to be an effective technique for generating
interpolants and approximants which can approximate functions generated by nature
that exhibit self-similarity when magnified. Using an iterated function system (IFS),
Barnsley discovered the FIFs, which is the most prominent approach for constructing
fractals. In this article, we investigate some properties of the real-valued fractal oper-
ator and the complex-valued fractal operator defined on the Sierpiński gasket (SG in
short). We also calculate the bound for the perturbation error on SG. Furthermore,
we prove that the complex-valued fractal operator is bounded. In the last part, we
establish the connection between the norm of the real-valued fractal operator and the
complex-valued fractal operator.
Keywords Fractal interpolation functions · Sierpiński gasket · Self-similar

measure
1 Introduction
Smooth functions are used for representing a collection of data or approximating a

difficult function in classical approximation theory, which has a significant history.
The idea of FIFs represents a significant step forward in the fields of numerical
analysis and approximation theory. This is due to the fact that the functions that are
used in FIFs are not always differentiable, and as a result, they represent the rough
nature of signals that come from the real world. Approximating naturally existing
V. Agrawal (B) · T. Som

Department of Mathematical Sciences, Indian Institute of Technology (BHU), Varanasi 221005,
India
e-mail: vishal.agrawal.rs.mat18@itbhu.ac.in
T. Som
e-mail: tsom.apm@iitbhu.ac.in
https://doi.org/10.1007/978-981-99-0597-3_7
80 V. Agrawal and T. Som
functions that exhibit self-similarity under magnification, Barnsley [5] proposed the
idea of FIFs by using IFS on a compact interval of R, a number of his followers
further explored the field of fractal interpolation and approximation. Over the past two
decades, this field of study has experienced a tremendous expansion, and intriguing
new possibilities have emerged. Celik et al. [7] have extended Barnsley’s work by
introducing FIFs on the SG. Furthermore, Ruan [17] generalized the notion of FIFs
on a fractal domain. We suggest the reader to [11] for a comprehensive development
of the theory of IFS and fractal functions, and fractal surfaces. Massopust [11] has
discussed local IFS as well as novel fractal interpolation. One of the most prominent
example of post-critically finite fractal in fractal theory is SG, which was invented
by Polish mathematician W. Sierpiński in 1915. Kigami [10] has explored fractal
analysis on a self-similar set. FIFs and linear FIFs have been presented by Ruan
[17] on a self-similar set. He furthermore showed that linear FIFs exhibit finite
energy. On SG, Ri and Ruan [16] have examined some fundamental features of
uniform FIFs, a specific family of FIFs. Verma et al. [20] have studied the fractal
operator associated with the bivariate FIFs. In [23], through fractal dimensions, the
authors have developed a novel concept of constrained approximation. On the SG,
the dimensions of graphs of FIFs have been investigated by Sahu and Priyadarshi
in [18]. Fractal dimension is a crucial aspect of fractal geometry, since it provides
details about the geometric structure of the objects it examines. There are several
notions of fractal dimension, with the Hausdorff dimension and the box dimension
being the most prevalent and these dimensions of the graphs of FIFs have been
analyzed in detail. In the oscillation spaces, Verma and Sahu [24] have investigated
the fractal dimensions of various functions. They have also developed a certain
bounded variation concepts for the SG, from which they deduced several dimensional
conclusions. T. Bagby [4] has explored mean approximation in the plane C using
complex analytic functions. Recently, FIFs have been produced by Prasad and Verma
[14] on the products of two SG. Furthermore, they have gathered certain observations
about the smoothness of the produced FIFs. The author of [15] has demonstrated that
the graphs of FIFs formed on the SG are attractors of some IFS and provide the new
nonlinear FIFs. Furthermore, Navascués et al. [13] have studied the vector-valued
interpolation functions on the SG through a certain family of fractal functions. In [8,
9], dimensions of FIFs are investigated more rigorously by Jha and her collaborators.
In [20]–[25], Verma and his collaborators have discussed the dimension of α-fractal
functions in more detail. They have discussed the class of univariate and bivariate
FIFs and constrained approximation in their research. In [1], Agrawal and Som
have studied the fractal dimension of α-fractal function on the SG and the same
authors in [2] have investigated the L p approximation using fractal functions on the
SG. Agrawal et al. [3] have further introduced the concept of dimension-preserving
approximation for bivariate continuous functions. In [12], Navascués has defined an
α-fractal function associated with the square-integrable complex-valued function on
the real compact interval. Furthermore, she has explored significant properties of the
associated fractal operator. Motivated by her work, we define the α-fractal function
associated with the square-integrable complex-valued function on SG. Furthermore,
we study the properties of the associated fractal operator.
A Note on Complex-Valued Fractal Functions on the Sierpiński Gasket 81
This paper becomes more intriguing in many ways because it will use the definition
of self-similar measures on SG to get most of the important results. The paper is
organized as follows: In Sect. 2, we give a few preliminaries required for the paper.
We denote the space of all the real-valued continuous functions defined on SG by
C(SG) and space of all the complex-valued continuous functions defined on SG by
C(SG, C). Let L2 (SG) = {h | h : SG → R and h2 < ∞} and L2 (SG, C) = {h|h :
SG → C and h2 < ∞}. In Sect. 3, we determine the bounds of the real-valued
fractal operator by imposing certain conditions. In Sect. 4, we establish some bounds
of the complex-valued fractal operator FCα : C(SG, C) → C(SG, C) that maps to a
complex-valued continuous function f to its fractal version f α .
2 Technical Introduction
To obtain an attractor, we consider the following IFS:
{H ; W j , j = 1, 2, . . . , k},
where (H, d) is a complete metric space (CMS) and W j : H → H are contractive

mappings. The aforementioned IFS aids to build the mapping W : D(H ) → D(H ),
which is defined as follows:
W (F) = ∪kj=1 W j (F).
The symbol D(H ) stands for the class of all non-empty compact subsets of H .
The map W acting on D(H ) endowed with Hausdorff metric h d is a contraction
mapping. The contraction ratio α of W is equal to max{α j : 1 ≤ j ≤ k}, where α j
is the contraction ratio of W j .Then, by the Banach contraction principle, we get a
unique non-empty compact subset F∗ , which satisfies F∗ = ∪kj=1 W j (F∗ ), the set F∗
is referred to be an attractor of the IFS. One can refer to [6] for more information.
We use a self-similar measure to prove all the results in this paper and this measure
arises from the IFS with probability vectors, which is the fixed point of the Markov
operator, i.e., the invariant measure of the IFS with probability vectors. To understand
the self-similar measure, we refer the reader to [6].
3 Fractal Interpolation Function on SG
We begin with a brief review of the relevant definitions and preliminary information
on the SG. The reader can find further information at [7, 10, 19].
SG is constructed with the help of a very important technique, which is known
as the IFS. Here, we generate this system via three contraction mappings defined on
the R2 plane. Let V0 = { p j : 1 ≤ j ≤ 3} is the collection of the equilateral triangle’s
three vertices. Corresponding to these three points, contraction mappings are defined
as follows:
1
ψ j (t) = (t + p j ).
2
The following IFS provides the SG as an attractor,
SG = ψ1 (SG) ∪ ψ2 (SG) ∪ ψ3 (SG).
For n, N ∈ N, let us represent the set of all words having a length of n by {1, 2, 3}n ,
that is, if i ∈ {1, 2, 3}n , then i = i 1 , i 2 , . . . , i n , where i j ∈ {1, 2, 3}. We define it for
i ∈ {1, 2, 3} N and we further write S instead of {1, 2, 3} N .
ψi = ψi1 ◦ ψi2 ◦ · · · ◦ ψi N .
Let μs be a self-similar measure on SG. This can be written as
1
3
μs = μs ◦ ψi−1 ,
3 i=1
(1)
1
3
dμs = d(μs ◦ ψi−1 ).
3 i=1
Consider the set VN is vertices on N th level and defined by VN = { p, ψi ( p) : i ∈

S and p ∈ V0 }. Let us assume f : SG → R be a square-integrable function on SG.
The following IFS arises an attractor for the graph of f α , which satisfies f α |VN =
f |VN . Let us assume Y = SG × R and define the map Wi : Y → Y by

Wi (t, x) = ψi (t), E i (t, x) , i ∈ S,
where E i (t, x) : SG × R → R is a contraction map in the 2nd coordinate, where

i ∈ S with E i ( p j , f ( p j )) = f (ψi ( p j )). More precisely, we define
E i (t, x) = αi (t)x + f (ψi (t)) − αi (t)b(t),
where a square-integrable function b : SG → R is a base function, which satisfies

b( p j ) = f ( p j ), 1 ≤ j ≤ 3, and for any i ∈ S, αi ∈ C(SG) holds αi ∞ < 1. We
now have an IFS {Y ; Wi , i ∈ S}.

f α (t) = f (t) + αi (ψi−1 (t)) f α ψi−1 (t) − αi (ψi−1 (t)) b ψi−1 (t) , (2)
for each t ∈ ψi (SG), i ∈ S.

In the research, it is proven that f α is non-differentiable and dependent on certain

parameters. It has a Hausdorff dimension which is not an integer. One can consider
f α to be a “fractal perturbation” of f and f α is referred to as the α-fractal function
corresponding to f . Furthermore, using the Eq. 1 and the idea of a change of variables,
we deduce

1
3
g ◦ ψi−1 (t) dμs (t) = g ◦ ψi−1 (t) d(μs ◦ ψi−1 )(t)
ψi (SG) 3 i=1 ψi (SG)
3
1 (3)
= g(t˜)dμs (t˜)
3 i=1 SG

= g(t˜) dμs (t˜),
SG
for any g ∈ C(SG).

Theorem 1 Let f : SG → R be a square-integrable function on SG and f 2 =
21
SG | f | dμs . The IFS {Y ; Wi , i ∈ S} defined above has a unique attractor
2
graph( f α ). The set graph( f α ) = {(x, f α (x)) : x ∈ SG} is the graph of a square-
integrable function f α : SG → R which satisfies f α |VN = f |VN . If α∞ < 1N ,
32
then f α satisfies the following functional equation:

f α (t) = f (t) + αi (ψi−1 (t))( f α − b) ψi−1 (t) ∀ t ∈ ψi (SG), i ∈ S. (4)
Proof Let L2f (SG) = {g ∈ L2 (SG) : g|V0 = f |V0 }. One can derive directly that set
L2f (SG) is a closed subset of L2 (SG) by ordinary calculations. Since (L2 (SG), .2 )
is a Banach space, we get L2f (SG) is a CMS endowed with the norm .2 . Consider
the map T defined by T : L2f (SG) → L2f (SG) by
(T g)(t) = f (t) + αi (ψi−1 (t)) (g − b)(ψi−1 (t)),
for every t ∈ ψi (SG), where i ∈ S. It is easy to derive that T is well defined. Now,
consider g, h ∈ L2f (SG) to obtain the following:
(T g)(t) − (T h)(t) = αi (ψi−1 (t)) (g − b)(ψi−1 (t)) − αi (ψi−1 (t)) (h − b)(ψi−1 (t))
= |αi (ψi−1 (t)) (g − h)(ψi−1 (t))|

= |αi (ψi−1 (t))| |(g − h)(ψi−1 (t))|
≤ α∞ |(g − h)(ψi−1 (t))|,
∀ t ∈ ψi (SG) and ∀ i ∈ S. Further, one has

|(g − h)(ψi−1 (t))|2 dμs (t),
2
(T g)(t) − (T h)(t) dμs (t) ≤ α2∞
SG i∈S ψi (SG)
from Eq. (3), one can determine that

2
(T g)(t) − (T h)(t) dμs (t) ≤ α2∞ |(g − h)(t˜)|2 dμs (t˜)
SG i∈S ψi (SG)

≤ 3 α2∞N
|(g − h)(t˜)|2 dμs (t˜).
SG
N
Therefore, we obtain that T g − T h2 ≤ 3 2 α∞ g − h2 . Using α∞ = maxS
N
αi ∞ and 3 2 α∞ < 1, this implies that T is a contraction map on L2f (SG). Banach
contraction principle is used to get a unique fixed point of T , namely f α ∈ L2f (SG).

Hence, T ( f α ) = f α , it immediately follows that f α (t) = E i ψi−1 (t), f α (ψi−1 (t))
∀ t ∈ ψi (SG), i ∈ S. This is further represented as f α (ψi (t)) = E i (t, f α (t)) for
i ∈ S. It can be verified that the graph( f α ) is an attractor of the IFS and hence
∪i∈S Wi (graph( f α )) = graph( f α ).
Remark 1 Let us recall the following equation:

f α (t) = f (t) + αi (ψi−1 (t))( f α − b) ψi−1 (t)
∀ t ∈ ψi (SG), ∀ i ∈ S. Further, one can deduce

| f α (t) − f (t)| = |αi (ψi−1 (t))( f α − b) ψi−1 (t) |

= |αi (ψi−1 (t))| |( f α − b) ψi−1 (t) |

≤ αi ∞ |( f α − b) ψi−1 (t) |.
The aforementioned inequality leads to f α − f 2 ≤ 3 2 α∞ f α − b2 . Now,

N
apply triangle inequality to get f α − f 2 ≤ 3 2 α∞ f α − f 2 + α∞ f −

N
N
3 2 α∞
b2 . Hence, one gets f α − f 2 ≤ N f − b2 .
1−3 2 α∞
Finally, we get the following:
N
3 2 α∞
f α 2 − f 2 ≤ f α − f 2 ≤ N f − b2 .
1 − 3 2 α∞
Let g ∈ C(SG), now define a real-valued fractal operator F α : C(SG) → C(SG)

by F α (g) = g α , where g α is the fractal version of g ∈ C(SG). The following theorem
includes some significant properties of the fractal operator F α . Let us consider a

sequence of a real-valued fractal operators {Fnα }∞ α
n=1 , where Fn : C(SG) → C(SG)
α α
defined by Fn (g) = gn . Let us assume a sequence of base function {bn }n=∞ n=1 such
that bn = L n (g), where L n : C(SG) → C(SG) is an operator, which is bounded and
linear satisfying (L n g)(x) = g(x) for all x ∈ V0 .
Theorem 2 Let us assume f ∈ C(SG) and f be a square-integrable function over
SG. Let us consider L n : C(SG) → C(SG) the sequence of bounded and linear
operators, which satisfies for every f ∈ C(SG), (L n f )( p j ) = f ( p j ), where 1 ≤
j ≤ 3 and L n ( f ) − f 2 → 0 uniformly as n → ∞, then we have the following:
N
3 2 α∞
f nα − f 2 ≤ N f − L n ( f )2 ,
1 − 3 2 α∞
N
3 2 α∞
Fnα − I d2 ≤ N ,
1 − 3 2 α∞ (5)
N
3 α∞
2
Fnα 2 ≤ 3 2 +
N
N .
1 − 3 2 α∞
,
Here, I d represents the identity operator, and .2 is the square-integrable operator
norm and = max{I d − L 1 2 }, I d − L 2 2 , . . . , I d − L N0 2 }, > 0.
Proof Let us write the self-referential equation:

f nα (t) − f (t) = αi (ψi−1 (t))( f nα − L n ( f )) ψi−1 (t) ∀ t ∈ ψi (SG), i ∈ S.
Note that
f nα − f f nα (t) − f (t) dμs (t)
2 2
2
≤

SG
f nα (t) − f (t) dμs (t).

2
=
i∈S ψi (SG)
We can deduce the following from the self-referential equation:

2
f nα − f αi (ψi−1 (t))( f nα − L n ( f )) ψi−1 (t) dμs (t)
2
2
=
i∈S ψi (SG)
2
≤ αi 2∞ ( f nα − L n ( f )) ψi−1 (t) dμs (t) (6)
i∈S ψi (SG)
2
≤ α2∞ ( f nα − L n ( f )) ψi−1 (t) dμs (t).
i∈S ψi (SG)
Using Eqs. 6 and 3, one gets

2
f nα − f 22 ≤ αi 2∞ ( f nα − L n ( f )) t˜ dμs (t˜)
i∈S SG
2
≤ α2∞ ( f nα − L n ( f )) t˜ dμs (t˜)
i∈S SG
≤3 N
α2∞ f nα − L n ( f )22 .
Consequently, we get
f nα − f ≤ 3 2 α∞ f nα − L n ( f )2 .
N
2
(7)
Using this and the triangle inequality,
f nα − f ≤ 3 2 α∞ f nα − f 2 + f − L n ( f )2 .
N
Hence, from the part above being bounded for the perturbation error, we have
N
3 2 α∞
f nα − f 2
≤ N f − L n ( f )2 . (8)
1 − 3 2 α∞
N
3 2 α∞
f nα − f 2
≤ N f 2 I d − L n 2 . (9)
1 − 3 2 α∞
Since f − L n ( f )2 → 0 whenever n → ∞, for any > 0, we can get N0 ∈ N

such that
f − L n ( f )2 < ∀ n > N0 =⇒ I d − L n 2 < ∀ n > N0 . (10)
Therefore, we obtain
I d − L n 2 < ∀ n ∈ N. (11)
Hence, Eq. (9) yields

N
3 2 α∞
f nα − f 2 ≤ N f 2 . (12)
1 − 3 2 α∞
Finally, applying the definition of a fractal operator, we have the following inequality:
N
3 2 α∞
Fnα 2 − I d2 ≤ Fnα − I d2 ≤ N . (13)
1 − 3 2 α∞
Therefore,
N
3 2 α∞
Fnα 2 ≤ I d2 + N .
1 − 3 2 α∞
Since
N
I d2 ≤ 3 2 ,
hence, we have
N
3 2 α∞
Fnα 2
N
≤3 +
2
N .
1 − 3 2 α∞
This completes the proof.
Moreover, figures, (Figs. 1 and 2) below give us a better understanding of how param-
eter changes affect graph( f α ).
4 Some Results Associated with the Fractal Operator
In this section, we obtain the bound for the operator norm of FCα . Furthermore, we
find the bounds of the perturbation error.
Theorem 3 Consider a real-valued square-integrable fractal operator F α on
C(SG). The complex-valued fractal operator FCα : C(SG, C) → C(SG, C) defined
as
FCα (A + i B) = F α (A) + iF α (B),
for all A, B ∈ C(SG). Then FCα is bounded linear operator.
Proof We know that F α is linear. Hence, FCα is linear. Let h = A + i B. To obtain

the boundedness of fractal operator FCα , we apply the following process:
graph(f α ) on level 1 graph(f α ) on level 2
Fig. 1 f (x, y) = (x 2 y 2 − 1), b(x, y) = (x 2 y 2 − 1) − x(x − 1)(2x y − 1.5) and α = 0.5

α (h)2 =
FC α (h)|2 dμ
|FC
2 s
SG

= |F α (A)|2 + |F α (B)|2 dμs
SG

= F α (A)22 + F α (B)22

≤ F α 2 A22 + B22

= F α 2 |A|2 dμs + |B|2 dμs
SG SG

= F α 2 |h|2 dμs
SG
α
= F h22 .
2
Fig. 2 f (x, y) = (x 2 y 2 − 1), b(x, y) = (x 2 y 2 − 1) − x(x − 1)(2x y − 1.5) and α = 0.9
Hence,
FCα (h)22 ≤ F α 2 h22 .
Finally, we get
FCα ≤ F α .
This inequality proves that FCα is a bounded operator.
Theorem 4 Consider a real-valued square-integrable fractal operator F α on

C(SG). For any h = h r e + i h im ∈ C(SG, C), let us define the complex-valued fractal
operator FCα : C(SG, C) → C(SG, C) by
FCα (h) = F α (h r e ) + i F α (h im )
for all h r e , h im ∈ C(SG). Then for all h ∈ C(SG, C),

N
3 2 α∞
FCα (h) − h2 ≤ N h − L C (h)2 ,
1 − 3 2 α∞
where bC : SG → C is a complex-valued square-integrable function, which sat-

isfies bC = L C h for every h ∈ C(SG, C), where L C : C(SG, C) → C(SG, C) is
bounded and linear operator satisfying (L C h)(x) = h(x) for all x ∈ V0 and defined
by L C (h) = L(h r e ) + i L(h im ).
Proof Since FCα (h) = F α (h r e ) + i F α (h im ), where
Re(FCα (h)) = F α (h r e ) , I m(FCα (h)) = F α (h im ).
We now use Theorem 2 and a few inequalities to obtain the desired result

FCα (h) − h22 = |FCα (h) − h|2 dμs
SG

= |FCα (h r e ) − h r e |2 + |FCα (h im ) − h im |2 dμs
SG

= F α (h r e ) − h r e 22 + F α (h im ) − h im 22

≤ 3 N α2∞ F α (h r e ) − L(h r e )22 + F α (h im ) − L(h im )22

= 3 N α2∞ |F α (h r e ) − L(h r e )|2 dμs + |F α (h im ) − L(h im )|2 dμs
SG SG

= 3 N α2∞ |FCα (h) − L C (h)|2 dμs
SG
= 3 N α2∞ FCα (h) − L C (h)22 .
(14)
Finally, we get
FCα (h) − h22 ≤ 3 N α2∞ FCα (h) − L C (h)22 .
That is, FCα (h) − h2 ≤ 3 2 α∞ FCα (h) − L C (h)2 . Thanks to the triangle
N
inequality,
FCα (h) − h2 ≤ 3 2 α∞ FCα (h) − h2 + 3 2 α∞ h − L C (h)2 .

N N
This can be written as

N
3 2 α∞
FCα (h) − h2 ≤ N h − L C (h)2 .
1 − 3 2 α∞
This completes the assertion.
5 Conclusion
We have explored some properties of the real-valued fractal operator and complex-
valued fractal operator defined on SG. The bound for the perturbation error on SG
has also been calculated. Under certain conditions, the fractal operator’s bounds are
established. Furthermore, we have established relations between the complex-valued
fractal operator and the real-valued fractal operator.
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(2020)
Dimensional Analysis of Mixed
Riemann–Liouville Fractional Integral
of Vector-Valued Functions
Megha Pandey, Tanmoy Som, and Saurabh Verma
Abstract In this paper, we attempt to develop the concept of fractal dimension of

the continuous bivariate vector-valued maps. We give few fundamental concepts
of the dimension of the graph of bivariate vector-valued functions and prove some
basic results. We prove that upper bound of the Hausdorff dimension of Hölder
continuous function is 3 − σ. Because of its wide applications in many important
areas, fractal dimension has become one of the most interesting parts of fractal
geometry. Estimating the fractal dimension is one of the most fascinating works
in fractal theory. It is not always easy to estimate the fractal dimension even for
elementary real-valued functions. However, in this paper, an effort is made to find
the fractal dimension of continuous bivariate vector-valued maps and, in particular,
the fractal dimension of the Riemann–Liouville fractional integral of a continuous
vector-valued bivariate map of bounded variation defined on a rectangular domain
is also found.
Keywords Bounded variation · Fractal dimension · Riemann–Liouville fractional

integral · Hölder continuous
M. Pandey (B) · T. Som

Department of Mathematical Sciences, Indian Institute of Technology
(Banaras Hindu University), Varanasi 221005, India
e-mail: megha.rs.mat19@itbhu.ac.in
T. Som
e-mail: tsom.apm@iitbhu.ac.in
S. Verma
Department of Applied Sciences, Indian Institute of Information Technology Allahabad,
Prayagraj 211015, India
e-mail: saurabhverma@iiita.ac.in
https://doi.org/10.1007/978-981-99-0597-3_8
94 M. Pandey et al.
1 Introduction
Jordan [10] was the one who first introduced bounded variation for the function,
g : J → R, where J is a compact interval of R. The present paper is focused on those
functions which are bivariate vector-valued bounded variation. Unlike univariate
functions, there are several definitions which have been introduced in the literature on
a bivariate function known to be of bounded variation, for example, the definitions by
Vitali, Hardy, Arzelá, Pierpoint, Fréchet, Tonelli, and Hahn [1, 2, 6]. In this article, we
have given the results for a function, which satisfies the bounded variation definition
in Arzelá sense.
Integration and differentiation have always played a significant role in mathemat-
ics. Fractional Calculus (FC), dealing with the basic as well as advanced theories on
integration and differentiation of non-integer (fractional) order and their properties,
is one of the wide subjects existed in the literature from the centuries. Several papers
and books have been published so far, interested reader can follow: [4, 14–16, 19–22]
to know more about FC and its applications in different areas. To define Fractional
Integral (FI), many formulae have been given in the theory, for example, Hadamard
FI [26], Riemann–Liouville Fractional Integral (RLFI) [4, 23], Katugampola FI [5,
25], etc.
Fractal Dimension (FD) is one of the most entertained topics in fractal geometry.
It has always gained the attention of researchers with its extensive applications in
different areas. Although estimating the FD of the graph of elementary functions is
not simple. However, many theories have been developed for finding FD of the graph
of special classes of functions (see, for instance, [3, 7, 9, 13]).
1.1 Motivation
Motivation for connecting FC with fractals is to explore the physical interpretations

of the integration and differentiation of non-integer order. In this direction, Liang [12]
calculated the box dimension of the graph of mixed RLFI of a bounded variation
continuous map. In [23], some results related to RLFI and unbounded variation
points of a function have been established. Motivated by Liang [12], Verma and
Vishwanathan [24] introduced the concept of FD of the graph of bivariate function
of bounded variation.
With persuasion of the work of Verma and Vishwanathan [24], in this article, we
introduce the theory of FD of the bivariate vector-valued functions and RLFI of such
functions. Most of the results of this paper are simple extensions of the results of
Verma and Vishwanathan [24], and in addition we are able to give an upper bound
for FD of the graph of only coordinate functions of bivariate vector-valued Hölder
continuous functions but not for vector-valued function (see Theorem 8). Some initial
theories have been introduced in the direction of univariate vector-valued function
by Pandey et al. [17].
Dimensional Analysis of Mixed Riemann–Liouville Fractional … 95
1.2 Delineation
The proposed work is assembled as follows. The next section is reserved for back-
ground and preliminaries required for the study. In Sect. 3, we have proved some
basic results for the bivariate vector-valued functions. We have concluded our paper
in Sect. 4, where we have determined that FD of the graph of bivariate vector-valued
bounded variation function defined on rectangular domain is 1 and so is the FD of
the graph of RLFI of such functions. Also, we have given an upper bound for the
graphs of coordinate functions of bivariate vector-valued Hölder continuous function
and ended the section with a question that “ whether we can get an upper bound for
bivariate vector-valued Hölder continuous function?”
2 Notations and Prelude
The following are the notations which we shall be using in the paper:
• R: collection of all real numbers.
• N: collection of natural numbers.
• [c, d] × [ p, q]: Rectangular domain in R2 .
• σ-HC: Hölder continuous function having exponent σ.
In what follows, we have collected the preliminary materials required for our study.
To know more in detail, one can follow [7, 8].
2.1 Fractal Dimension
Definition 1 (Diameter) Let U ⊆ Rn be a non-empty subset of Rn , then diameter

of U is defined as |U| = sup {u − y2 : u, y ∈ U}.
Definition 2 (δ-cover) Let B ⊂ Rn be non-empty set and {Ui } be a countable collec-

tion (or a finite collection) of subsets with diameter at most δ > 0 such that B ⊆ Ui ,
i∈N
then {Ui } is said to be a δ-cover of B.
Definition 3 (Hausdorff dimension) Let s ≥ 0 and δ > 0 be real numbers and B ⊆

Rn . Let ∞

Hδ (B) = inf
s
|Ui | : {Ui } is a δ-cover of B ,
s
i=1
and s-dimensional Hausdorff measure of B is given by H s (B) = lim Hδs (B). Then,
δ→0
Hausdorff dimension of B is defined as
96 M. Pandey et al.

dim H (B) = sup{s : H s (B) = ∞ = inf s : H s (B) = 0}.
Definition 4 (Box Dimension) Let B ⊆ Rn be bounded and non-empty and Nδ (B)

be lowest number of sets with at most δ diameter with covering B. Then,
log Nδ (B)
dim B (B) = lim inf
δ→0 − log δ
is said to be lower box dimension of B. And

log Nδ (B)
dim B (B) = lim sup
δ→0 − log δ
is known as upper box dimension of B. If both lower and upper box dimensions are
same, then that quantity is known as box dimension of B and defined as
log Nδ (B)
dim B (B) = lim .
δ→0 − log δ
Definition 5 (Graph of Vector-valued functions) Let g : [c, d] × [ p, q] → Rn

be a bivariate vector-valued map, then the graph of g is defined as the set
{(u, w, g(u, w)) : (u, w) ∈ [c, d] × [ p, q]} and is denoted by Gr (g).
Note For a vector-valued map g : [c, d] × [ p, q] → Rn , denote gi : [c, d] ×

[ p, q] → R as the coordinate functions of g. That is,

g(u, w) = g1 (u, w), g2 (u, w), . . . , gn (u, w) .
Note
The set of all continuous maps defined on [c, d] × [ p, q] is denoted by
C [c, d] × [ p, q], Rn .
Definition 6 (Hölder Continuity) Consider g : [c, d] × [ p, q] → Rn be a vector-

valued function. For a positive constant K and 0 < σ ≤ 1 let g satisfy the condition
g(u, w) − g(v, y)2 ≤ K(u, w) − (v, y)σ2 for all (u, w), (v, y) ∈ [c, d] × [ p, q], (1)
then g is known as Hölder continuous function.

For σ = 1, g is known as Lipschitz continuous.
Lemma 1 ([24]) Assume that g is a bivariate real-valued function, which satisfies

(1), then dim H (Gr (g)) ≤ dim B (Gr (g)) ≤ dim B (Gr (g)) ≤ 3 − σ.
2.2 Variation of a Function
Definition 7 (Bounded Variation Bivariate function [6]) A bivariate function, g :

[c, d] × [ p, q] → R, will be of bounded variation in Arzelá sense if for each set of
points {(u 0 , w0 ), (u 1 , w1 ), . . . , (u m , wm )} satisfying
c = u 0 ≤ u 1 ≤ u 2 ≤ · · · ≤ u m = d;
p = w0 ≤ w1 ≤ w2 ≤ · · · ≤ wm = q,
the sum

m−1
|Δf (u i , wi )|, where Δf (u i , wi ) = f (u i+1 , wi+1 ) − f (u i , wi )
i=0
is bounded.
Theorem 1 ([1]) The below statements are equivalent:
(i) g : [c, d] × [ p, q] → R is a real-valued bivariate function of bounded varia-
tion satisfying the Arzelá condition.
(ii) There exist two bounded variation functions, φ1 : [c, d] × [ p, q] → R and φ2 :
[c, d] × [ p, q] → R such that g can be written as difference of φ1 and φ2 , where
φ1 and φ2 satisfy the relation
Δ10 φi (u, w) ≥ 0, Δ01 φi (u, w) ≥ 0, i = 1, 2, for each (u, w) ∈ [c, d] × [ p, q],

(2)
where Δ10 φi (u, w) = φi (u + h, w) − φi (u, w), Δ01 φi (u, w) = φi (u, w + k) −
φi (u, w), for arbitrary h, k > 0.
Remark 1 A bounded variation function which satisfies (2) is known as a monotone
function.
Note 1 From now, instead of writing “function of bounded variation in Arzelá sense”
we shall write “function of bounded variation”.
Remark 2 If each of the coordinate functions of bivariate vector-valued function
are of bounded variation, then the vector-valued function will also be of bounded
variation and vice versa. BV([c, d] × [ p, q], Rn ) represents the collection of all
bivariate vector-valued functions of bounded variation defined on [c, d] × [ p, q].
2.3 Fractal Dimension and Bounded Variation
In this subsection, we shall give a few fundamental results on FD of a bounded

variation function.
98 M. Pandey et al.
Theorem 2 ([6, P. 827]) Surface area of a continuous bounded variation function

is finite.
Theorem 3 Consider g ∈ BV([c, d] × [ p, q], Rn ) ∩ C([c, d] × [ p, q], Rn ), then
dim H (Gr (g)) = 2.
Proof In context of Theorem 2, notice that two-dimensional Hausdorff measure of
the graph of g is finite, hence the conclusion of the theorem.
2.4 Mixed Riemann–Liouville Fractional Integral
Definition 8 Consider the integrable map g : [c, d] × [ p, q] → R, then Mixed

RLFI of g is expressed as
u w
(ρ,μ) 1
(c, p) J g (u, w) = (u − t)ρ−1 (w − s)μ−1 g(t, s) dt ds,
Γ (ρ)Γ (μ) c p
where ρ, μ > 0 for all (u, w) ∈ [c, d] × [ p, q], and 0 ≤ c < d < ∞, 0 ≤ p < q <
∞.
Definition 9 Consider the vector-valued integrable function g defined on [c, d] ×
[ p, q], then RLFI of g is determined as
(ρ,μ) g(u, w) = (ρ,μ) g (u, w), (ρ,μ) g (u, w), . . . , (ρ,μ) g (u, w) ,
(c, p) J (c, p) J 1 (c, p) J 2 (c, p) J n
where
u w
(ρ,μ) 1
(c, p) J gi (u, w) = (u − t)ρ−1 (u − s)μ−1 gi (t, s) dt ds,
Γ (ρ)Γ (μ) c p
for i ∈ 1, n, and ρ, μ > 0 for all (u, w) ∈ [c, d] × [ p, q].
3 Few Fundamental Concepts on Dimension of the Graph

of a Vector-Valued Function
Some fundamental concepts concerning the Hausdorff dimension of the graph of

vector-valued continuous functions have been proved in this section. Similar results
are well recorded for real-valued functions. These vector-valued analogs appear to
be folklore but we have been unable to track down complete proofs. So for the sake
of reader convenience we decide to include the proofs.
Lemma 2 Let g : [c, d] × [ p, q] → Rn be a continuous vector-valued function, and
gi : [c, d] × [ p, q] → R be coordinate functions of g. Then, we have

(i) dim H Gr (g) ≥ max{dim H (Gr (gi )) : 1 ≤ i ≤ n}.
(ii) dim H (Gr (g)) = dim H (Gr (gi )) for some i ∈ 1, n given that the coordinate
maps
g1 , g2 , . . . , gi−1 , gi+1 , . . . , gn are all Lipschitz.
Proof (i) Define a function Ψ : Gr (g) → Gr (gi ) such that

Ψ u 1 , u 2 , g(u 1 , u 2 ) = u 1 , u 2 , gi (u 1 , u 2 ) .
Observe that the map Ψ is surjective. Now for (u 1 , u 2 ), (y1 , y2 ) ∈ [c, d] ×

[ p, q], we have

Ψ u 1 , u 2 , g(u 1 , u 2 ) − Ψ y1 , y2 , g(y1 , y2 )
2
= (u 1 , u 2 , gi (u 1 , u 2 )) − (y1 , y2 , gi (y1 , y2 )) 2

= (u 1 − y1 )2 + (u 2 − y2 )2 + (gi (u 1 , u 2 ) − gi (y1 , y2 ))2

n

≤ (u 1 − y1 ) + (u 2 − y2 ) +
2 2 (g j (u 1 , u 2 ) − g j (y1 , y2 ))2
j=1

= u 1 , u 2 , g(u 1 , u 2 ) − y1 , y2 , g(y1 , y2 ) .
2

Hence, Ψ is a Lipschitz map. Therefore, dim H (Gr (gi )) = dim H Ψ (Gr (g) ≤
dim H (Gr (g)) for each i ∈ 1, n, proving the statement.
(ii) Define
a map ϕ : Gr (gi ) → Gr (g) such that ϕ(u 1 , u 2 , gi (u 1 , u 2 )) =
u 1 , u 2 , g(u 1 , u 2 ) . Notice that ϕ is an onto map. Let L g j be the Lipschitz
constant of g j for j = i. For (u 1 , u 2 ), (y1 , y2 ) ∈ [c, d] × [ p, q], we have

ϕ u 1 , u 2 , gi (u 1 , u 2 ) − ϕ y1 , y2 , gi (y1 , y2 )
2

= u 1 , u 2 , g(u 1 , u 2 ) − y1 , y2 , g(y1 , y2 ) 2

n
=(u 1 − y1 )2 + (u 2 − y2 )2 + (gi (u 1 , u 2 ) − gi (y1 , y2 ))2
i=1

2
n

= (u i − yi )2 + (g j (u 1 , u 2 ) − g j (y1 , y2 ))2 + (gi (u 1 , u 2 ) − gi (y1 , y2 ))2
i=1 j=1, j =i
⎛ ⎞

2
n 2

≤ (u i − yi )2 + L g j ⎝ (u i − yi )2 ⎠ + (gi (u 1 , u 2 ) − gi (y1 , y2 ))2
i=1 j=1 i=1

2

≤K (u i − yi )2 + (gi (u 1 , u 2 ) − gi (y1 , y2 ))2
i=1

=K u 1 , u 2 , gi (u 1 , u 2 ) − y1 , y2 , gi (y1 , y2 ) , (3)
2
100 M. Pandey et al.
where L = max{L g j : j = 1, 2, . . . , i − 1, i + 1, . . . , n} is Lipschitz constant

and K = 1 + (n − 1)L2 . Moreover,

ϕ u 1 , u 2 , gi (u 1 , u 2 ) − ϕ y1 , y2 , gi (y1 , y2 )
2
= (u 1 , u 2 , g(u 1 , u 2 )) − (y1 , y2 , g(y1 , y2 ))

2

= u 1 , u 2 , g1 (u 1 , u 2 ), . . . , gn (u 1 , u 2 ) − y1 , y2 , g1 (y1 , y2 ), . . . , gn (y1 , y2 ) 2

2
n
= (u − y )2 + i i (g (u , u ) − g (y , y ))2
i 1 2 i 1 2
i=1 i=1

K
2 n
= (u i − yi )2 + (g j (u 1 , u 2 ) − g j (y1 , y2 ))2 + (gi (u 1 , u 2 ) − gi (y1 , y2 ))2
K
i=1 j=1, j =i

1
2

≥ 1 + (n − 1)L2 (u i − yi )2 + (gi (u 1 , u 2 ) − gi (y1 , y2 ))2
K
i=1

2

≥ (u i − yi )2 + (gi (u 1 , u 2 ) − gi (y1 , y2 ))2
i=1

= u 1 , u 2 , gi (u 1 , u 2 ) − y1 , y2 , gi (y1 , y2 ) . (4)
2
Equations 3 and 4 together give
(u 1 , u 2 , gi (u 1 , u 2 )) − (y1 , y2 , gi (y1 , y2 ))2 ≤ϕ(u 1 , u 2 , gi (u 1 , u 2 )) − ϕ(y1 , y2 , gi (y1 , y2 ))2

≤K (u 1 , u 2 , gi (u 1 , u 2 )) − (y1 , y2 , gi (y1 , y2 ))2 .
Thus, ϕ is a bi-Lipschitz map, hence we have
dim H (Gr (g)) = dim H (Gr (gi )).
Remark 3 Note that in [11] the Peano space filling curve g : [c, d] → [0, 1] ×
[0, 1] is 21 -HC and coordinate functions g1 and g2 satisfy dim H (Gr (g1 )) =
dim H (Gr (g2 )) = 1.5.
Now define h : [c, d] × [ p, q] → Rn such that
h(u, w) = (h 1 (u, w), h 2 (u, w), 0, . . . , 0),
where h 1 , h 2 : [c, d] × [ p, q] → R are defined as h 1 (u,

w) = g1 (u) andh 2 (u, w) =
g2 (u). Then, using [24, Lemma 3.7], we have dim H Gr (h 1 ) = dim H Gr (h 2 ) =
2.5. Therefore, using Lemma 2, dim H Gr (h) ≥ 2.5. This shows that the inequality
present in (i) of Lemma 2 can be strict.
Proposition 1 Let g : [c, d] × [ p, q] → Rn be σ-HC, then each of its coordinate

maps is also σ-HC and vice versa.
Proof First consider g is σ-HC, that is, g(u 1 , u 2 ) − g(y1 , y2 )2 ≤ L g (u 1 , u 2 ) −
(y1 , y2 )σ2 for all (u 1 , u 2 ), (y1 , y2 ) ∈ [c, d] × [ p, q] and for some L g > 0. Then, we
have
gi (u 1 , u 2 ) − gi (y1 , y2 ) 2 ≤ g(u 1 , u 2 ) − g(y1 , y2 )2 ≤ L g (u 1 , u 2 ) − (y1 , y2 )σ2 .
Hence, gi are σ-HC.

Conversely, assume that all the coordinate functions, gi , are σ-HC with Lipschitz
constant L gi , then we have
√ √
g(u 1 , u 2 ) − g(y1 , y2 )2 ≤ n max |gi (u 1 , u 2 ) − gi (y1 , y2 )| ≤ n L g (u 1 , u 2 ) − (y1 , y2 )σ2 ,
1≤i≤n
where L g = max{L g1 , L g2 , . . . , L gn }. Therefore, g is σ-HC.
Lemma 3 ([24, Corollory 3.11]) Let g : [c, d] × [ p, q] → R be a σ-HC function,

then dim H (Gr (g)) ≤ 3 − σ.

Corollary 1 Let g : [c, d] × [ p, q] → Rn be σ-HC, then dim H Gr (gi ) ≤ 3 − σ
for each i ∈ 1, n.
Proof Since g is σ-HC, using Proposition 1 we have gi is also σ-HC for each i ∈ 1, n.
Then, using Lemma 3 we get

dim H Gr (gi ) ≤ 3 − σ.
4 Riemann–Liouville Fractional Integral and Fractal

Dimension
We present our findings in this section. We back up our claims with straightforward
arguments.
Throughout this section, we consider 0 ≤ c < d < ∞ and 0 ≤ p < q < ∞.
(ρ,μ)
Theorem 4 Let g : [c, d] × [ p, q] → Rn be a bounded function, then (c, p) J g
is also bounded.
Proof As g is bounded, all coordinate functions g1 , . . . gn are bounded. That means

there exists K > 0 such that max |gi (x1 , x2 )| ≤ K for all (x1 , x2 ) ∈ [c, d] × [ p, q].
1≤i≤n
Now
√
(ρ,μ) g(x , x )
(c, p) J 1 2 ≤ n max (c, p) J(ρ,μ) gi (x1 , x2 )
2 1≤i≤n

√ 1 x1 x2
= n max (x1 − s)ρ−1 (x2 − t)μ−1 gi (s, t)ds dt
1≤i≤n Γ (ρ)Γ (μ) c p
√ x1 x2
1
≤ n max (x1 − s)ρ−1 (x2 − t)μ−1 gi (s, t) ds dt
1≤i≤n Γ (ρ)Γ (μ) c p
√ x1 x2
K
≤ n (x1 − s)ρ−1 (x2 − t)μ−1 ds dt
Γ (ρ)Γ (μ) c p
√ K (x1 − a)ρ (x2 − c)μ
≤ n .
Γ (ρ)Γ (μ) ρμ
That is,
(ρ,μ) √ K
(c, p) J g(x1 , x2 ) ≤ n (d − c)ρ (q − p)μ for all (x1 , x2 ) ∈ [c, d] × [ p, q].
2 Γ (ρ + 1)Γ (μ + 1)

(ρ,μ)
Theorem 5 If g ∈ C([c, d] × [ p, q], Rn ), then (c, p) J g ∈ C([c, d] × [ p, q],
Rn ).
Proof Since g is continuous, then each coordinate functions g1 , . . . , gn of g is contin-

uous on [c, d] × [ p, q]. For 0 < c < x1 < x1 + h ≤ d and 0 < p < x2 < x2 + k ≤
q, we have
(ρ,μ)
(c, p) J + h, x2 + k) −(c, p) J(ρ,μ) g(x1 , x2 ) 2
g(x1
√
≤ n max1≤i≤n (c, p) J(ρ,μ) gi (x1 + h, x2 + k) −(c, p) J(ρ,μ) gi (x1 , x2 )
√ x1 +h x2 +k
1
= n max1≤i≤n Γ (ρ)Γ (μ) c p (x1 + h − s)ρ−1 (x2 + k − t)μ−1 gi (s, t) ds dt
x1 x2
ρ−1 μ−1
− Γ (ρ)Γ 1
(μ) c p (x 1 − s) (x 2 − t) gi (s, t) ds dt
√ c+h p+k
1
= n max1≤i≤n Γ (ρ)Γ (μ) c p (x1 + h − s)ρ−1 (x2 + k − t)μ−1 gi (s, t) ds dt
x1 +h p+k
+ Γ (ρ)Γ1
(μ) c+h p (x1 + h − s)ρ−1 (x2 + k − t)μ−1 gi (s, t) ds dt
c+h x2 +k ρ−1
+ Γ (ρ)Γ1
(μ) c p+k (x 1 + h − s) (x2 + k − t)μ−1 gi (s, t) ds dt

x1 +h x2 +k ρ−1
+ Γ (ρ)Γ
1
(μ) c+h p+k (x 1 + h − s) (x2 + k − t)μ−1 gi (s, t) ds dt
x1 x2
ρ−1 μ−1
− Γ (ρ)Γ 1
(μ) c p (x 1 − s) (x 2 − t) gi (s, t) ds dt
√
= n max1≤i≤n |Ii1 + Ii2 + Ii3 + Ii4 − Ii5 |,
where
c+h p+k
Ii1 = 1
Γ (ρ)Γ (μ) c p (x1 + h − s)ρ−1 (x2 + k − t)μ−1 gi (s, t) ds dt,
x1 +h p+k
Ii2 = 1
Γ (ρ)Γ (μ) c+h p (x1 + h − s)ρ−1 (x2 + k − t)μ−1 gi (s, t) ds dt,
c+h x2 +k ρ−1
Ii3 = 1
Γ (ρ)Γ (μ) c p+k (x 1 + h − s) (x2 + k − t)μ−1 gi (s, t) ds dt,

x1 +h x2 +k ρ−1
Ii4 = 1
Γ (ρ)Γ (μ) c+h p+k (x 1 + h − s) (x2 + k − t)μ−1 gi (s, t) ds dt,
x1 x2
Ii5 = 1
Γ (ρ)Γ (μ) c p (x1 − s)ρ−1 (x2 − t)μ−1 gi (s, t) ds dt.
Applying the change of variables z = s − h and w = t − k in the integral Ii4 , we

get
Ii1 + Ii2 + Ii3 + Ii4 − Ii5 = Ii1 + Ii2 + Ii3 + Ii6 ,
where
1 x1 x2
Ii 6 = (x1 − s)ρ−1 (x2 − t)μ−1 gi (s + h, t + k) − gi (s, t) ds dt.
Γ (ρ)Γ (μ) c p
Because gi ’s are continuous on a compact subset of R2 , it is going to be bounded

on [c, d] × [ p, q]. So, there exists M > 0 such that max |gi (s, t)| ≤ M for every
1≤i≤n
(s, t) ∈ [c, d] × [ p, q]. Using this, we get |Ii1 | ≤ M1 hk, for a suitable constant
M1 .
M(d−c)ρ
Taking, M2 = max (y + k − t)μ−1 Γ (ρ+1)Γ (μ+1)
, we get |Ii2 | ≤ M2 k.
p≤t≤ p+k
Similarly, for a suitable constant M3 , we get |Ii3 | ≤ M3 h.
Since gi is uniformly continuous for each i ∈ 1, n, for a given > 0, there exists
δ > 0 such that
Γ (ρ + 1)Γ (μ + 1)
|gi (s, t) − gi (z, w)| < .
4(d − c)ρ (q − p)μ
Thus,

(c, p) J(ρ,μ) gi (x1 + h, x2 + k) −(c, p) J(ρ,μ) gi (x1 , x2 ) ≤ M2 k + M2 k + M3 h + .
4
Hence, proof follows.
The next result can be observed in [24] for bivariate real-valued bounded variation
maps. But for completeness, we demonstrate the result here.
Lemma 4 For a bounded variation function, g : [c, d] × [ p, q] → Rn the following
will hold:
(i) If gi (c, p) ≥ 0, then there will exist monotone functions h i and f i such that
gi = f i − h i with f i (c, p) ≥ 0 and h i (c, p) = 0.
(ii) If gi (c, p) < 0, then there will exist monotone functions h i and f i such that
gi = f i − h i with f i (c, p) = 0 and h i (c, p) > 0.
Proof Since g = (g1 , . . . , gn ) is of bounded variation on [c, d] × [ p, q], this yields

gi for each i ∈ 1, n to be of bounded variation on [c, d] × [ p, q]. By using Theorem 1,
we have gi = φi − ξi , where ξi and φi are monotone functions for each i ∈ 1, n. Now
(i) Define f i (u, y) = φi (u, y) + gi (c, p) − φi (c, p) and h i (u, y) = ξi (u, y) +
gi (c, p) − φi (c, p). Then, for all (u, y) ∈ [c, d] × [ p, q], we have

f i (u, y) − h i (u, y) = φi (u, y) + gi (c, p) − φi (c, p) − ξi (u, y) + gi (c, p) − φi (c, p)
(u, y) − ξ( u, y) = gi (u, y),
this implies that gi = f i − h i , for each 1 ≤ i ≤ n. Also notice that f i (c, p) ≥ 0

and h i (c, p) = 0. Hence, the result.
(ii) Consider f i (u, y) = φi (u, y) − gi (c, p) − ξi (c, p) and h i (u, y) = φi (u, y) −
gi (c, p) − ξi (c, p), proof follows same as above.
Next theorem is a well-known result for univariate real-valued function. One can refer
[7] for detail study. In the interest of completeness, we include the demonstration of
the theorem.
Theorem 6 If g is of bounded variation on [c, d] × [ p, q], then dim H (Gr (g)) = 2.
Proof Since g is a function of bounded variation, at most countable number of

discontinuities can exist for g. Let {(x1 , y1 ), (x2 , y2 ), . . . } be that set of points of
discontinuity of g, such that c ≤ x1 < x2 < · · · ≤ d and p ≤ y1 < y2 · · · ≤ q. Let
us consider for a moment c = x0 and p = y0 and Gi be the graph of function g
restricted to rectangle [xi , xi+1 ] × [yi , yi+1 ] for i ∈ N ∪ {0}. Obviously Gr (g) =
∞
Gi (g). Since Hausdorff dimension satisfies the countable stability, we obtain
i=0 ∞

dim H (Gr (g)) = dim H Gi (g) = sup dim H (Gi (g)). Note that on each rect-
i=0 0≤i<∞
angle [xi , xi+1 ] × [yi , yi+1 ], g is a continuous function of bounded variation. There-
fore, by using Theorem 3, we have dim H (G i (g)) = 2 for each i ∈ N ∪ {0}, and hence
dim H (Gr (g)) = 2.

Theorem 7 If g ∈ BV([c, d] × [ p, q], Rn ), then dim H Gr (c, p) J(ρ,μ) g = 2.
Proof To prove the theorem it will be sufficient to prove (c, p) J(ρ,μ) g ∈ BV([c, d] ×
[ p, q], Rn ). Since g = (g1 , . . . , gn ) is of bounded variation, gi is also be of bounded
variation for each i ∈ 1, n. Without loss of generality if gi (c, p) ≥ 0, then using
Lemma 4, there exist two monotone functions ηi : [c, d] × [ p, q] → R and ξi :
[c, d] × [ p, q] → R such that gi = ηi − ξi with ηi (c, p) ≥ 0 and ξi (c, p) = 0.
Define functions Φ, θ : [c, d] × [ p, q] → Rn such that
Φ(x, y) =(c, p) J(ρ,μ) η(x, y) and θ(x, y) =(c, p) J(ρ,μ) ξ(x, y),
where η = (η1 , . . . , ηn ), ξ = (ξ1 , . . . , ξn ). Using linearity property of RLFI, we have

(ρ,μ)
(c, p) J g(x, y) = Φ(x, y) − θ(x, y).
To prove (c, p) J(ρ,μ) g(x, y) ∈ BV([c, d] × [ p, q], Rn ), it is sufficient to prove Φi

and θi are monotone increasing functions, where Φi (x, y) =(c, p) J(ρ,μ) ηi (x, y) and
θi (x, y) =(c, p) J(ρ,μ) ξi (x, y). For this, let c ≤ x1 ≤ x2 ≤ d and p ≤ y ≤ q, then
1 x2 y
Φi (x2 , y) − Φi (x1 , y) = (x2 − s)ρ−1 (y − t)μ−1 ηi (s, t) ds dt
Γ (ρ)Γ (μ) c p
1 x1 y
− (x2 − s)ρ−1 (y − t)μ−1 ηi (s, t) ds dt
Γ (ρ)Γ (μ) c p
1 c+x2 −x1 y
= (x2 − s)ρ−1 (y − t)μ−1 ηi (s, t) ds dt
Γ (ρ)Γ (μ) c p
1 x2 y
+ (x2 − s)ρ−1 (y − t)μ−1 ηi (s, t) ds dt
Γ (ρ)Γ (μ) c+x2 −x1 p
1 x1 y
− (x2 − s)ρ−1 (y − t)μ−1 ηi (s, t) ds dt.
Γ (ρ)Γ (μ) c p
Using the change of variable s = x2 − x1 + u in the second integral, we have
1 c+x2 −x1 y
Φi (x2 , y) − Φi (x1 , y) = (x2 − s)ρ−1 (y − t)μ−1 ηi (s, t) ds dt
Γ (ρ)Γ (μ) c p
1 x1 y
+ (x2 − s)ρ−1 (y − t)μ−1 [ηi (s + x2 − x1 , t) − ηi (s, t)] ds dt.
Γ (ρ)Γ (μ) c p
Using s + x2 − x1 ≥ s, ηi (c, p) ≥ 0 and monotonicity of ηi in the above integral,

we get Φi (x2 , y) − Φi (x1 , y) ≥ 0, that is, Δ10 ηi ≥ 0.
And for p ≤ y1 ≤ y2 ≤ q and c ≤ x ≤ d, we can easily show Δ01 ηi ≥ 0. This
proves that Φi is monotone for each i ∈ 1, n.
In the same fashion, one can show that θi is monotone for every i ∈ 1, n. Hence,
(ρ,μ)
(c, p) J g is of bounded variation and by using Theorem 6, we get

dim H Gr (c, p) J(ρ,μ) g = 2.
Example 1 Let g : [0, 1] × [0, 1] → Rn be a vector-valued function such that
g(u, w) = (g1 (u, w), g2 (u, w), . . . , gn (u, w)) ,
where (u, w) ∈ [0, 1] × [0, 1] and gi : [0, 1] × [0, 1] → R be defined as

1, if u + w = 1
g1 (u, w) = , and gi (u, w) = 0 for all i = 1.
0, otherwise
(ρ,μ)
Then, g is a bounded variation function (see [6]). Note that (0,0) J gi (u, w) =0
for each i ∈ 1, n.
Hence, RLFI of g is
(ρ,μ) g(u, w) = (ρ,μ) g (u, w), (ρ,μ) g (u, w), . . . , (ρ,μ) g (u, w)
(0,0) J (0,0) J 1 (0,0) J 2 (0,0) J n
=(0, 0, . . . , 0).
This implies, (0,0) J(ρ,μ) g is also a bounded variation function and

dim H Gr (0,0) J(ρ,μ) g = 2.
In the following theorem, an upper bound for the upper box dimension of RLFI
of the coordinate functions of a vector-valued Hölder continuous function has been
provided.
(ρ,μ)
Theorem 8 Let g ∈ C([c, d] × [ p, q], Rn ), then (c, p) J g will be σ-
HC, where σ = min{ρ, μ} provided that 0 < ρ, μ < 1. Moreover, we get
dim B (Gr ( (c, p) J(ρ,μ) gi )) ≤ 3 − σ for every i ∈ 1, n.
Proof For 0 < c ≤ u < u + h ≤ d, 0 < p ≤ y < y + k ≤ q we have
(c, p) J(ρ,μ) g(u + h, y + k) − (c, p) J(ρ,μ) g(u, y)2

√

≤ n max (c, p) J(ρ,μ) gi (u + h, y + k) −(c, p) J(ρ,μ) gi (u, y)
1≤i≤n
√ u+h y+k

= n max ((u + h) − s)ρ−1 ((y + k) − t)μ−1 gi (s, t) ds dt
1≤i≤n c p
u y

− (u − s)ρ−1 (y − t)μ−1 gi (s, t) ds dt
c p
√
= n max |Ii7 + Ii8 |
1≤i≤n
√
≤ n max {|Ii7 | + |Ii8 |}, (5)
1≤i≤n
where
u y
Ii7 = ((u + h) − s)ρ−1 (y + k − t)μ−1 − (u − s)ρ−1 (y − t)μ−1 gi (s, t) ds dt
c p
u+h y+k ρ−1
and Ii8 = (u + h) − s (y + k) − s gi (s, t) ds dt.
u y
The fact g ∈ C([c, d] × [ p, q], Rn ) yields that gi ∈ C([c, d] × [ p, q], R). There-
fore, there exists a γ > 0 such that max sup |gi (t)| ≤ γ. Further, Ii7 can be
1≤i≤n t∈[c,d]×[ p,q]
approximated as follows:
u y
|Ii7 | ≤ γ (u − s)ρ−1 (y − t)μ−1 − ((u + h) − s)ρ−1 (y + k − t)μ−1 .
c p
With simple calculations, we get

γ
|Ii7 | ≤ (u − c)ρ (y − p)μ − (u + h − c)ρ (y + k − p)μ + h ρ (y + k − p)μ + k μ (u + h − c)ρ − h ρ k μ ,
ρμ
γ
|Ii8 | ≤ h ρ k μ .
ρμ
Then, using Bernoulli’s inequality, we get

|Ii7 | + |Ii8 | ≤ B( h 2 + k 2 )σ , for some suitable constant B.
Hence, by (5), we conclude that

(c, p) J(ρ,μ) g(u + h, y + k) − (c, p) J
(ρ,μ)
g(u, y)2 ≤ B( h 2 + k 2 )σ .
That is, (c, p) J(ρ,μ) g is σ-HC. Therefore, using Lemma 1 and Proposition 1, we get
dim B (Gr ( (c, p) J(ρ,μ) gi )) ≤ 3 − σ, completing the proof.
Remark 4 Comparing Theorem 8 with Theorem 5, where it is demonstrated that for
0 < μ, ρ, the RL integral (c, p) J(ρ,μ) g is continuous whenever g is continuous, we
notice that (c, p) J(ρ,μ) g is also Hölder continuous on [c, d] × [ p, q] whenever g is a
continuous function on [c, d] × [ p, q] with 0 < c < d < ∞, 0 < p < q < ∞, and
ρ, μ > 0.
Further the semigroup property of the RL integral for a “sufficiently good” function
is there as a preamble to the next theorem.
(ρ1 ,μ1 ) (ρ2 ,μ2 )
(c, p) J (c, p) J g =(c, p) J(ρ1 ,μ1 )+(ρ2 ,μ2 ) g.
Now, the next theorem is the direct deduction of the previous theorem:
Theorem 9 Let g be continuous on [c, d] × [ p, q], 0 < c < d < ∞, 0 < p < q <
∞ and 0 < ρ, μ ≤ 1.
1. If 0 < σ < 1, then

2 ≤ dim H Gr (c, p) J(ρ,μ) gi ≤ dim B Gr (c, p) J(ρ,μ) gi ≤ 3 − σ.
2. If σ ≥ 1, then

dim H Gr (c, p) J(ρ,μ) gi = dim B Gr (c, p) J(ρ,μ) gi = 2.
Remark 5 In Remark 3, we notice that h is also a 21 -HC but dim H (Gr (h)) ≥ 3 −
1
2
= 2.5. It shows that even if a vector-valued function is σ-HC, we cannot provide
its upper bound like we do for a real-valued function.
5 Conclusion and Future Scope
We have given the concept of mixed RLFI of vector-valued functions (Definition 9),
thereafter we have given dimensional bounds for a bivariate vector-valued func-
tions (Lemma 2). In Sect. 4, we have explored the properties of the mixed RLFI
of the vector-valued functions (Theorems 4, 5, Lemma 4) and proved some dimen-
sional results for bivariate vector-valued functions (Theorem 6) and for mixed RLFI
(Theorems 7, 8, and 9)
In view of Remark 5, a question arises: can we find an upper bound for the dimen-
sion of the graph of (c, p) J(ρ,μ) g?
One may ask a more general question on the fractal dimension of RLFI of a
set-valued function. Recently, Pandey et al. [18] tried to initiate a study on fractal
dimension of set-valued functions. From [18], one can notice that to establish results
in terms of set-valued mappings, a different set of tools is required.
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Fractional Operator Associated with the
Fractal Integral of A-Fractal Function
T. M. C. Priyanka and A. Gowrisankar
Abstract An advanced calculus called the fractal calculus is formulated as a gener-

alization of ordinary calculus and it is being applied to functions with fractal support,
where the standard calculus cannot be applied. In this paper, the concepts of frac-
tal functions and fractal calculus have been interconnected by exploring the fractal
integral of A-fractal function with predefined initial conditions. In addition, a frac-
tional operator is presented, which takes each vector-valued continuous function to
its fractal integral.
Keywords Iterated function system · Fractal interpolation function · A-fractal

function · Fractal integral · Fractional operator
1 Introduction and Preliminaries
Fractal calculus has been introduced as a new framework to study the fractal curves
and fractal like sets, which is different from fractional and classical calculus methods
(refer [1, 2]). The derivatives and integrals involved in fractal calculus are, respec-
tively, called as fractal derivatives and fractal integrals. As fractal functions are non-
differentiable, its fractional calculus have been investigated by many researchers
in [3–12]. Besides, recently fractal calculus of fractal functions has been discussed
in [13–15]. For more interesting results on types of fractal interpolation functions
(FIFs) and its developments, refer [16–21]. The fractal integral of hidden variable
FIF and α-fractal function has been investigated in [22]. So far, the fractal calculus
of A-fractal function, which is the blend of α-fractal function and hidden variable
FIF [23, 24] and [25, 26], has not been discussed. This literature gap instigated us to
work on the fractal integral of A-fractal function. In addition, a fractional operator is
T. M. C. Priyanka · A. Gowrisankar (B)

Department of Mathematics, School of Advanced Sciences, Vellore Institute of Technology,
Vellore 632 014, Tamil Nadu, India
e-mail: gowrisankargri@gmail.com
https://doi.org/10.1007/978-981-99-0597-3_9
112 T. M. C. Priyanka and A. Gowrisankar
proposed, which gives the fractal integral of A-fractal function for each vector-valued
continuous function.
In this section, the general material required for defining the fractal integral is
summarized. Section 2 discusses the construction of fractal interpolation function
and A-fractal function. The fractal integral of A-fractal function is explored with the
predefined initial conditions in Sect. 3. Fractional operator associated with the fractal
integral of A-fractal function is presented in Sect. 4.
This paper begins with the definition of mass function. A-fractal curve can be
described as the image of R2 -valued continuous functions f defined on R, which are
fractals. Let F ⊂ Rn be a fractal curve with sub-division D[a,b] . The fractal curve F
is parameterizable if there exists a bijective continuous function w : R → F.
Definition 1 The mass function γ α (F, a, b) is defined by

n−1
|w(yk ) − w(yk+1 )|α
γ α (F, a, b) = lim inf ,
→0 {P[a,b] :|P|≤}
k=1
Γ (α + 1)
where Γ (x) is the gamma function, |.| is the Euclidean metric on Rn , 1 < α ≤ 2 and
|P| denotes the maximum of (yk+1 − yk ) for k = 0, 1, . . . , n − 1.
Definition 2 For the fractal curve F and for some arbitrary fixed point r0 ∈ [a, b],
the staircase function is defined by

γ α (F, r0 , y), y ≥ r0 ,
S Fα (t) =
−γ α (F, y, r0 ), otherwise.
Let C(y1 , y2 ) denote the segment of the fractal curve,
C(y1 , y2 ) = {w(y ∗ ) : y ∗ ∈ [y1 , y2 ]}.
Definition 3 For the function f , the upper and the lower f α -sum over the sub-
division D are provided by

n−1
U α [ f, F, D] = M[ f, C(yk , yk+1 )][S Fα (yk+1 ) − S Fα (yk )] (1)
k=0

n−1
L α [ f, F, D] = m[ f, C(yk , yk+1 )][S Fα (yk+1 ) − S Fα (yk )]. (2)
k=0
Define
f (x)d Fα x = sup L α [ f, F, D]
C(a,b) P[a,b]
Fractional Operator Associated with the Fractal Integral … 113
and
f (x)d Fα x = inf U α [ f, F, D].
C(a,b) P[a,b]
Definition 4 For the continuous bounded function f and for x ∈ F, the F α -integral
is given by

f (x)d Fα x = f (x)d Fα x = f (x)d Fα x.
C(a,b) C(a,b) C(a,b)
The following section describes the generation of fractal interpolation function and
A-fractal function via the iterated function system defined on I × R and I × R2 ,
respectively.
2 Fractal Interpolation Function
The following is the construction of the fractal interpolation function to interpo-

late the dataset {(xk , yk ) ∈ R2 : k = 0, 1, . . . , N , N ∈ N} with xk−1 < xk for all
k = 1, 2, . . . , N . Suppose the closed intervals [x0 , x N ] and [xk−1 , xk ] are denoted
as I and Ik , respectively, k = 0, 1, . . . , N . Define the contraction homeomorphisms
L k : I → Ik by L k (x) = ak x + bk , where
xk − xk−1 x N xk−1 − x0 xk
ak = , bk = ,
x N − x0 x N − x0
satisfying the contraction condition
|L k (t) − L k (t )| ≤ m k |t − t |,
for all t, t ∈ I , m k ∈ (0, 1) and the maps L k obey
L k (x0 ) = xk−1 , L k (x N ) = xk . (3)
Let Fk be the real-valued continuous functions defined on I × R by FI (x, y) =

αk y + qk (x), where αk is the vertical scaling factor such that |αk | < 1; qk is a contin-
uous function on I ; and for all v, v ∈ R and u ∈ I , Fk are contraction in the second
variable,
|Fk (u, v) − Fk (u, v )| ≤ rk |v − v |,
where rk is the contraction factor such that rk ∈ (0, 1), i ∈ {1, 2, . . . , N }. In addition,
Fk satisfy the join-up conditions
Fk (x0 , y0 ) = yk−1 , Fk (x N , y N ) = yk . (4)
Now, using the two contraction maps L k and Fk , a new contraction map wk : X →
Ik × R, k = 1, 2, . . . , N is defined by
wk (x, y) = (L k (x), Fk (x, y)). (5)
The complete metric space X with the finite collection of contraction maps wk
constitutes an Iterated Function System (IFS) denoted by
{X ; wk : k = 1, 2, . . . , N }. (6)
A Hutchinson self-map W is defined on the collection of all non-empty compact

subsets of X , denoted by K(X ), as

N
W (B ∗ ) = wk (B ∗ )
k=1
for any B ∗ ∈ K(X ). As W is contraction on the complete metric space K(X ) with
respect to Hausdorff metric, by the Banach contraction theorem, there is a unique
invariant set G ∗ for the map W satisfying G ∗ = W (G ∗ ). Therefore, the set G ∗ is
known as the attractor or deterministic fractal for the IFS (6).
Let C(I ) be the set of continuous functions g : I → R satisfying g(x0 ) =
y0 , g(x N ) = y N and ρ be the uniform metric defined on C(I ) as follows:
ρ(g, h) = max{|g(x) − h(x)| : x ∈ I }.
Then, (C(I ), ρ) becomes a complete metric space. To obtain the fractal interpolation
function, the Read–Bajraktarević (RB) operator T is defined on C(I ) by

T(h(t)) = Fk L −1 −1
k (t), h ◦ L k (t) , t ∈ Ik , k = 1, 2, . . . , N . (7)
By the Banach contraction principle, the contraction map T has a unique fixed point
f ∈ C(I ) satisfying the functional equation,

f (t) = T( f (t)) = Fk L −1 −1
k (t), f ◦ L k (t) , k = 1, 2, . . . , N , (8)
for all t ∈ I . This function is referred to as the Fractal Interpolation Function (FIF)
corresponding to the mappings wk for all k = 1, 2, . . . , N . The reader is encouraged
to refer [27–33].
2.1 Hidden Variable A-Fractal Function
The definition of hidden variable A-fractal function is precisely described as follows.

In order to approximate R2 -valued continuous functions, a special type of fractal
function called the A-fractal function is constructed as follows.
To provoke a family of fractal functions
f[A] parametrized by a block matrix
αk βk
A = [Ak ], k = 1, 2, . . . , N with Ak = , a continuous R2 -valued function
0 γk
f : I → R2 is enunciated. When A = 0, f[A] equals the original function f. Consider
the generalized dataset D = {(xk , f 1 (xk ), f 2 (xk )) : k = 1, 2, . . . , N }. Then the IFS
corresponding to D is given by
{I × R2 ; wk : k = 1, 2, . . . , N }, (9)
where wk (x, y) = (L k (x), Fk (x, y, z)),
L k (x) = ak x + bk , Fk (x, y, z) = (αk y + βk z + pk (x), γk z + qk (x)).
The continuous functions pk and qk are given by
pk (x) = f 1 ◦ L k (x) − αk b1 (x) − βk b2 (x), qk (x) = f 2 ◦ L k (x) − γk b2 (x), (10)
where b = (b1 , b2 ) ∈ C(I, R2 ) obeys b(x0 ) = f(x0 ) and b(x N ) = f(x N ). The fixed
point of the IFS (9) is the graph of the continuous vector-valued function f[A] =
( f 1 [A], f 2 [A]) which obeys the following fixed point equation:
f[A](t) = f(t) + Ak (f[A] − b)(L −1

k (t)), t ∈ I, k = 1, 2, . . . , N . (11)
This function f[A] is known as the hidden variable A-fractal function (or simply
A-fractal function) approximating the given continuous function f with respect to
x0 < x1 < · · · < x N and the base function b. Then, the two components of f[A],
namely, f 1 [A] and f 2 [A] satisfy
f 1 [A](x) = αk f 1 [A]L −1 −1 −1
k (x) + βk f 2 [A]L k (x) + pk (L k (x)),
(12)
f 2 [A](x) = γk f 2 [A]L −1 −1
k (x) + qk (L k (x)).
For any choice of A and b satisfying the above-defined conditions, it is noticed

that f[A](xk ) = f(xk ), ∀k = 0, 1, . . . , N . Hence, the function f[A] can be referred
to as the fractal generalization of the continuous R2 -valued function f. For more
information on A-fractal function, see [34, 35].
3 Fractal Integral on A-Fractal Function
The fractal integral of A-fractal function defined at the initial point is investigated in
this section. The following is the definition of fractal integral of A-fractal function.
Definition 5 Let f[A] be the A-fractal function corresponding to the IFS (6). For
given ŷ0 and ẑ 0 , the fractal integral of order μ for f[A] is defined componentwise as
follows:
x
ˆ μ μ
f 1 [A](x) = ŷ0 + S F ( f 1 [A](t))d F t,
x
0x (13)
ˆ μ μ
f 2 [A](x) = ẑ 0 + S F ( f 2 [A](t))d F t.
x0
The following theorem examines the resultant function of the fractal integral of
A-fractal function.
Theorem 1 Suppose f[A] is the (hidden variable) A-fractal function generated by
the IFS {L k (x), Fk (x, y, z) : k = 1, 2, . . . , N }. The fractal integral of f[A], defined
in (13), is denoted as f̂[A]. Then, for given ŷ0 = 0 and ẑ 0 = 0, f̂[A] = ( fˆ1 [A], fˆ2 [A])
is again an A-fractal function determined by the IFS {(L k (x), F̂k (x, ŷ, ẑ)) : k ∈
1, 2, . . . , N }, where F̂1k (x, ŷ, ẑ) = ak αk ŷ + ak βk ẑ + p̂k (x), F̂2k (x, ẑ) = ak γk ẑ +
N N
q̂k (x) , with k=1 ak αk = 1, k=1 ak γk = 1,
x x x
μ μ μ μ μ μ
p̂k (x) = ŷk−1 + ak S F ( f 1 ◦ L k (t))d F t − ak αk S F (b1 (t))d F t − ak βk S F (b2 (t))d F t,
x0 x0 x0

k x x
N μ μ N μ μ
ŷk = an αn ŷ N + βn ẑ N + S F ( f 1 ◦ L n (t))d F t − αn S F (b1 (t))d F t
n=1 x0 x0
x
N μ μ
− βn S F (b2 (t))d F t ,
x0

N xN μ μ xN μ μ xN μ μ
n=1 an βn ẑ N + x0 S F ( f 1 ◦ L n (t))d F t − αn x0 S F (b1 (t))d F t − βn x0 S F (b2 (t))d F t
ŷ N = N
,
1− n=1 an αn
x x
μ μ μ μ
q̂k (x) = ẑ k−1 + ak S F ( f 2 ◦ L k (t))d F t − ak γk S F (b2 (t))d F t,
x0 x0

k xN xN
μ μ μ μ
ẑ k = an γn ẑ N + S F ( f 2 ◦ L n (t))d F t − γn S F (b2 (t))d F t ,
n=1 x0 x0

N xN μ μ xN μ μ
n=1 an x0 S F ( f 2 ◦ L n (t))d F t − γn x0 S F (b2 (t))d F t
ẑ N = N
,
1− n=1 an γn
for k = 1, 2, . . . , N .
Proof Using the definition of fractal integral for the function fˆ1 [A] provides
L k (x)
μ μ
fˆ1 [A](L k (x)) = ŷ0 + S F ( f 1 [A](t))d F t
x0
xk−1 L k (x)
μ μ μ μ
= ŷ0 + S F ( f 1 [A](t))d F t + S F ( f 1 [A](t))d F t
x0 xk−1
x
μ μ
= ŷk−1 + ak S F ( f 1 [A]L k (t))d F t.
x0
The first functional equation in (12) gives

x
μ μ
= ŷk−1 + ak αk S F (αk f 1 [A](t) + βk f 2 [A](t) + pk (t))d F t
x0
x x x
μ μ μ μ μ μ
= ŷk−1 + ak αk S F ( f 1 [A](t))d F t + ak βk S F ( f 2 [A](t))d F t + ak S F ( pk (t))d F t
x0 x0 x0
x x x
μ μ μ μ μ μ
= ŷk−1 + ak αk S F ( f 1 [A](t))d F t + ak βk S F ( f 2 [A](t))d F t + ak S F ( f 1 ◦ L k (t))d F t
x0 x0 x0
x x
μ μ μ μ
− a k αk S F (b1 (t))d F t − ak βk S F (b2 (t))d F t
x0 x0
x
μ μ
= ŷk−1 + ak αk fˆ1 [A](x) + ak βk fˆ2 [A](x) + ak S F ( f 1 ◦ L k (t))d F t
x0
x x
μ μ μ μ
x0 x0
= ak αk fˆ1 [A](x) + ak βk fˆ2 [A](x) + p̂k (x)
= F̂1k (x, fˆ1 [A](x), fˆ2 [A](x)).
x μ μ x μ μ
Denote p̂k (x) = ŷk−1 + ak x0 S F ( f 1 ◦ L k (t))d F t − ak αk x0 S F (b1 (t))d F t −
x μ μ
ak βk x0 S F (b2 (t))d F t. Now, applying the definition of fractal integral for the
function fˆ2 [A] provides
L k (x)
μ μ
fˆ2 [A](L k (x)) = ẑ 0 + S F ( f 2 [A](t))d F t
x0
xk−1 L k (x)
μ μ μ μ
= ẑ 0 + S F ( f 2 [A](t))d F t + S F ( f 2 [A](t))d F t
x0 xk−1
x
μ μ
= ẑ k−1 + ak S F ( f 2 [A]L k (t))d F t.
x0
The second functional equation in (12) gives

x
μ μ
= ẑ k−1 + ak αk S F (γk f 2 [A](t) + qk (t))d F t
x0
x x
μ μ μ μ
= ẑ k−1 + ak γk S F ( f 2 [A](t))d F t + ak S F (qk (t))d F t
x0 x0
x x x
μ μ μ μ μ μ
= ẑ k−1 + ak γk S F ( f 2 [A](t))d F t + ak S F ( f 2 ◦ L k (t))d F t − ak γk S F (b2 (t))d F t
x0 x0 x0
x x
μ μ μ μ
= ẑ k−1 + ak γk fˆ2 [A](x) + ak S F ( f 2 ◦ L k (t))d F t − ak γk S F (b2 (t))d F t
x0 x0
= ak γk fˆ2 [A](x) + q̂k (x)

= F̂2k (x, fˆ2 [A](x)).
x μ μ x μ μ
Denote q̂k (x) = ẑ k−1 + ak x0 S F ( f 2 ◦ L k (t))d F t − ak γk x0 S F (b2 (t))d F t. In order
to find the new data points ŷk and ẑ k , take x = x N and L k (x N ) = xk ,
xN
μ μ
ŷk = ŷk−1 + ak αk fˆ1 [A](x N ) + ak βk fˆ2 [A](x N ) + ak S F ( f 1 ◦ L k (t))d F t
x0
xN xN
μ μ μ μ
− ak αk S F (b1 (t))d F t − ak βk S F (b2 (t))d F t
x0 x0
xN
μ μ
ŷk − ŷk−1 = ak αk ŷ N + ak βk ẑ N + ak S F ( f 1 ◦ L k (t))d F t
x0
xN xN
μ μ μ μ
− ak αk S F (b1 (t))d F t − ak βk S F (b2 (t))d F t
x0 x0
xN xN
μ μ μ μ
ẑ k = ẑ k−1 + ak γk fˆ2 [A](x N ) + ak S F ( f 2 ◦ L k (t))d F t − ak γk S F (b2 (t))d F t
x0 x0
xN xN
μ μ μ μ
ẑ k − ẑ k−1 = ak γk ẑ N + ak S F ( f 2 ◦ L k (t))d F t − ak γk S F (b2 (t))d F t.
x0 x0
k
Using the system of equations, ŷk = ŷ0 + n=1 (yn+1 − yn ), the new data points can
be obtained as follows:

k xN xN xN
μ μ μ μ μ μ
ŷk = an αn ŷ N + βn ẑ N + S F ( f 1 ◦ L n (t))d F t − αn S F (b1 (t))d F t − βn S F (b2 (t))d F t
n=1 x0 x0 x0

k xN xN
μ μ μ μ
ẑ k = an γn ẑ N + S F ( f 2 ◦ L n (t))d F t − γn S F (b2 (t))d F t .
n=1 x0 x0
For k = N , one can get

N xN μ μ xN μ μ xN μ μ
n=1 an βn ẑ N + x0 S F ( f 1 ◦ L n (t))d F t − αn x0 S F (b1 (t))d F t − βn x0 S F (b2 (t))d F t
ŷ N = N
1− n=1 an αn

N xN μ μ xN μ μ
n=1 an x0 S F ( f 2 ◦ L n (t))d F t − γn x0 S F (b2 (t))d F t
ẑ N = N
.
1− n=1 an γn
Since the continuous functions p̂k (x) and q̂k (x) obey the below endpoint conditions:
p̂k (x0 ) = ŷk−1 , p̂k (x N ) = ŷk − ak αk ŷ N − ak βk ẑ N
and
q̂k (x0 ) = ẑ k−1 , q̂k (x N ) = ẑ k − ak γk ẑ N
which implies F̂k (x0 , ŷ0 , ẑ 0 ) = ( ŷk−1 , ẑ k−1 ) and F̂k (x N , ŷ N , ẑ N ) = ( ŷk , ẑ k ). There-
fore, the function f̂[A] = ( fˆ1 [A], fˆ2 [A]) is again an A-fractal function corresponding
to the IFS {(L k (x), F̂k (x, ŷ, ẑ)) : k ∈ 1, 2, . . . , N }.
4 Fractional Operator
This section proposes a fractional operator associated with the fractal integral of
A-fractal function and verifies its linearity.
Let f ∈ C(I, R2 ) consider the base function b = f ◦ c, where c = (c1 , c2 ) ∈
C(I, R2 ) is not the identity function such that c(x0 ) = x0 and c(x N ) = x N . The frac-
tional operator of order 0 < m < 1 for the vector-valued function,
F m [A] :C(I, R2 ) → C(I, R2 )

f −→ f̂[A]
is defined by
x
μ μ
F m [A](f(x)) = ŷk−1 + ak αk fˆ1 [A](x) + ak βk fˆ2 [A](x) + ak S F ( f 1 ◦ L k (t))d F t
x0
x x
μ μ μ μ
x0 x0
x x
μ μ μ μ
+ ẑ k−1 + ak γk fˆ2 [A](x) + ak S F ( f 2 ◦ L k (t))d F t − ak γk S F (b2 (t))d F t,
x0 x0
(14)
for all x ∈ Ik , k = 1, 2, . . . , N . For some u, v ∈ R and f, g ∈ C(I, R2 ),

x
μ μ
F m [A](uf(x)) = u ŷk−1 + ak αk u fˆ1 [A](x) + ak βk u fˆ2 [A](x) + ak u S F ( f 1 ◦ L k (t))d F t
x0
x x
μ μ μ μ
− a k αk u S F (b1 (t))d F t − ak βk u S F (b2 (t))d F t
x0 x0
x x
μ μ μ μ
+ u ẑ k−1 + ak γk u fˆ2 [A](x) + ak u S F ( f 2 ◦ L k (t))d F t − ak γk u S F (b2 (t))d F t
x0 x0
x
μ μ
F m [A](vg(x)) = v ŷk−1 + ak αk v ĝ1 [A](x) + ak βk v ĝ2 [A](x) + ak v S F (g1 ◦ L k (t))d F t
x0
x x
μ μ μ μ
− a k αk v S F (b1 (t))d F t − ak βk v S F (b2 (t))d F t
x0 x0
x x
μ μ μ μ
+ v ẑ k−1 + ak γk v ĝ2 [A](x) + ak v S F (g2 ◦ L k (t))d F t − ak γk v S F (b2 (t))d F t.
x0 x0
From the above equations, it can be easily verified that
F m [A](uf + vg) = uF m [A](f) + vF m [A](g).
Therefore, the operator F m [A] is a linear operator.

Finally, it is concluded that the resultant function of the fractal integral of A-fractal
function is again an A-fractal function. Furthermore, the fractional operator defined
in Sect. 4 is demonstrated as a linear operator.
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Mathematical Modeling
A Multi-strain Model for COVID-19
Samiran Ghosh and Malay Banerjee
Abstract The main objective of this work is to propose and analyze a multi-
compartment ordinary differential equation model for multi-strain epidemic disease.
The proposed model mainly focuses on the epidemic disease spread due to SARS-
CoV-2, and the recurrent outbreaks are due to the emergence of a new strain. The
possibility of reinfection of the recovered individuals is considered in the model. The
multi-strain model is validated with the help of strain-specific daily infection data
from France and Italy.
Keywords Epidemic model · Multi-strain · Reproduction number · Epidemic

outbreak
1 Introduction
In description of the dynamics of disease progression over a short or long period, two
different types of compartmental epidemic models are used, namely, the model with
demography and model without demography [10, 23]. Researchers have considered
models with demography for established epidemic diseases which helps to perform
some preliminary stability analysis of the model under consideration around the
disease-free equilibrium (DFE) and the endemic equilibrium point. However, the
possibility of an endemic equilibrium in the context of COVID-19 remains in vein.
In some reported researches, the demographic terms are incorporated into the models
by considering certain rate of recruitment in the susceptible compartment from the
healthy compartment and the natural mortality within each of the compartments
involved with the model. In reality, one can determine the recruitment rate in the
susceptible compartment from healthy individuals only when we have a detailed
history of epidemic progression and relevant data for 10 years or more [6, 12, 16].
Further, the natural mortality rate of each compartment is based on the average life
S. Ghosh · M. Banerjee (B)

Department of Mathematics and Statistics, IIT Kanpur, Kanpur 208016, India
e-mail: malayb@iitk.ac.in
https://doi.org/10.1007/978-981-99-0597-3_10
126 S. Ghosh and M. Banerjee
span of a human, which can be considered as 70−75 years on average. However,

when measured from the time since infection, the COVID-19-related mortality rate
varies from 15 to 60 days at most. As a matter of fact, both the death rates cannot be
included in a model which is described in terms of a single time scale.
Compartmental models, defined in terms of ordinary differential equations, have
played a crucial role in studying the transmission dynamics of infectious diseases.
In the history of mathematical epidemiology, the conventional SIR model has been
widely used to describe the epidemic disease progression [10, 23, 24]. The Spanish
flu epidemic of 1918−1919, also known as the Great Influenza epidemic, was an
exceptionally deadly epidemic across the globe caused by the N1H1 influenza-A
virus. This Spanish flu resulted in approximately 40,000,000 death tolls [26]. It was
challenging for the epidemiologist to find an adequate methodology to describe the
epidemic’s progression. In this context, W. O. Kermack and A. G. McKendrick gave
a general theory of epidemics in the year 1927, which is one of the early contributions
to the field of mathematical modeling of epidemic diseases [17–19]. Kermack and
McKendrick formulated a deterministic epidemic model consisting of susceptible,
infected, and recovered compartments. Their model formulation included the age of
infection, i.e., the time since infection. Kermack and McKendrick did not consider
any demography pattern in their model, and they only focused on the single disease
outbreak. After this novel mathematical formulation to describe epidemic spread,
many developments have been observed in mathematical modeling and relevant study
for epidemic diseases. Mathematical modeling of infectious diseases has gained more
importance in the advent of the HIV epidemic outbreak in the 1980s [11, 14]. After
that, the world has experienced several epidemic diseases, and currently the COVID-
19 since the end of 2019. For better modeling of various infectious diseases, a wide
variety of mathematical models have been developed and analyzed thoroughly. In the
context of COVID-19, there exists a large number of research works that studied and
predicted the disease progression of COVID-19, based on the multi-compartment
models (see, for example, [8, 21, 25, 27]).
Continuous mutation of viruses, which are the main factor behind the spread and
recurrent outbreaks, lead to many Variants of Concern (VOC). It is a matter of the
fact that the individuals who are recovered from some particular variant can get
infected further by another variant/strain. Thus, when a new variant arises, the size
of susceptible to the new variant is larger compared to the size of susceptible to
the existing strains. The two-strain model for TB, SIQR-type model with multiple
strains, etc. is thoroughly discussed in [10, 23]. The SIQR stands for susceptible-
infected-quarantined-recovered compartments. In the context of COVID-19, we have
witnessed that many VOCs appeared one after another over the last 2 years, e.g.,
Alpha, Beta, Gamma, Delta, and recently Omicron. As per the information available
at [1], the earliest documented sample of Alpha variant was found in the United
Kingdom in September 2020. The variant Beta was first reported in South Africa
in May 2020. Gamma strain was first reported in Brazil in November 2020. Delta
strain was first reported in India in October 2020, and very recently, the Omicron was
registered simultaneously in many countries in the month of November 2021. We
have noticed that in most countries, each VOC resulted in a significant sizeable new
A Multi-strain Model for COVID-19 127
epidemic outbreak. Thus, the appearance of new variants needs to be incorporated

into the modeling approach appropriately to capture successive outbreaks of the
epidemic.
In this work, we aimed to study the effect of the appearance of a new strain of
SARS-CoV-2 through a multi-compartment multi-strain epidemic model. First, we
consider a single-strain epidemic model and calculate the controlled reproduction in
Sect. 2. Then, in Sect. 3, we will formulate a two-strain model based on the assumption
that a new strain appears after a certain period counted from the peak of the first wave.
Finally, we will extend our two-strain model to an n-strain model in Sect. 3.2. To
validate the proposed model with real data, some parameters involved with the model
are estimated with the help of strain-specific data for France and Italy. The number
of daily infected obtained from the simulation of the proposed model is verified with
the real data in Sect. 4. The significant outcomes of this study are summarized in the
concluding section.
2 Single-Strain Model
Existing mathematical models of epidemiology with multi-strain assume that healthy

and susceptible individuals can get an infection from an infected individual who is
infected through any one of the existing strains. In the contrary, multiple strains can
emerge one by one due to some evolutionary aspects taking place over a shorter
or longer time scale with respect to the duration of several outbreaks [9]. Here we
consider a multi-compartment model to describe the epidemic disease progression
due to the arrival of different strains one after another at some time intervals. This
type of modeling approach is inspired by the successive outbreak of COVID-19
epidemic due to the mutation of SARS-CoV-2 viruses since the beginning of 2020.
In order to start with, we assume that the first outbreak occurs due to initial strain
and we consider SEIHR-type multi-compartment model. For simplicity of mathe-
matical calculations as well as epidemiological justification, we consider the model
without demography in order to take care of the fact that the duration of epidemic
outbreak is significantly less compared to the life span of human. Our starting model
consists of six compartments including susceptible individuals (S), exposed individ-
uals (E), infected individuals with symptoms (I), asymptomatic infected individuals
(A), hospitalized individuals (H), and recovered individuals (R). The governing equa-
tion for each compartment is described by the following set of ordinary differential
equations:
d S(t) β S(t)
=− (I (t) + α A(t)), (1a)
dt N
d E(t) β S(t)
= (I (t) + α A(t)) − σ E(t), (1b)
dt N
d I (t)
= r σ E(t) − ηI (t) − (δ I + μ I )I (t), (1c)
dt
d A(t)
= (1 − r )σ E(t) − δ A A(t), (1d)
dt
d H (t)
= ηI (t) − (δ H + μ H )H (t), (1e)
dt
d R(t)
= δ I I (t) + δ A A(t) + δ H H (t), (1f)
dt
subject to non-negative initial condition with empty hospitalized and recovered com-
partments. Here β is the disease transmission rate by symptomatic infected individ-
uals I (t); α is the ratio of the disease transmission rate by asymptomatic infected
individuals A(t) over symptomatic infected individuals I (t); σ is the reciprocal of
latent period; r is the rate at which exposed individuals become symptomatic; η is the
rate of hospitalization of symptomatic individuals; δ I , δ A , and δ H are recovery rate
from symptomatic, asymptomatic, and hospitalized compartments, respectively; μ I ,
μ H denote death rates in symptomatic and hospitalized compartments, respectively;
and N is the total population size.
2.1 Controlled Reproduction Number
First, we compute the controlled reproduction number of the system (1). The disease-
free equilibrium point is given by
(S, E, I, A, H, R) ≡ P1 (N , 0, 0, 0, 0, 0).
We use the next-generation matrix approach [13] to calculate the controlled reproduc-
tion number. We consider the compartments S, R as the non-infected compartments
and the compartments E, I , A, and H as the infected compartments. Then the matrix
F corresponding to the new infection and the matrix V corresponding to the outflow
from the infected compartments are given by
⎛ βS ⎞ ⎛ ⎞
N
(I + α A) σE
⎜ 0 ⎟ ⎜ ηI + (δ I + μ I )I − r σ E ⎟
F =⎜
⎝
⎟,
⎠ V=⎜
⎝ δ A A − (1 − r )σ E
⎟.
⎠
0
0 (δ H + μ H )H − ηI
The Jacobian of F and V evaluated at the disease-free equilibrium point P1 is

given by
⎛ ⎞ ⎛ ⎞
0 β αβ 0 σ 0 0 0
⎜0 0 0 0⎟ ⎜ −r σ (η + δ I + μI ) 0 0 ⎟
F =⎜
⎝0
⎟, V =⎜ ⎟.
0 0 0⎠ ⎝ −(1 − r )σ 0 δA 0 ⎠
0 0 0 0 0 −η 0 (δ H + μH )
The controlled reproduction number is the spectral radius of the matrix F V −1 and
is given by
βr αβ(1 − r )
Rc = + .
η + δI + μI δA
It is important to mention here that the reproduction number calculated above

is known as controlled reproduction number as the expression involves parameters
related to the hospitalized compartment. Substituting η = 0 in above expression one
can find the basic reproduction number. In the context of epidemiology, the provision
of hospitalization is considered as a control measure. In reality it reduces not only
the death toll rather it can reduce the epidemic spread due to isolation. Using the
approach described in [27, 28], one can calculate the important epidemic indicators
like final size of the epidemic, maximum number of infected, and the day on which
maximum number of infection will appear for the model (1). Here we omit those
calculations to avoid the repetition of same mathematical calculations. However,
some of these quantities are calculated numerically in the next section.
3 Two-Strain Model
To formulate the two-strain model, we assume that only one strain is responsible
for the initial outbreak of the epidemic until a new strain appears, and the second
strain appears at time t1 say. Then the model (1) is valid for t ≤ t1 and for t > t1
we have to define the model with two strains. Since there are many literature which
suggest that the re-infection may occur after 5–6 months after the earlier infection
[20], the re-infection of the individuals recovered from new strain (R2 compartment)
is ignored for the time being, and the same will be incorporated when another strain
will emerge. So, for the time t > t1 and till another strain emerges, we will use the
following model:
d S(t) β1 S(t) β2 S(t)

=− (I1 (t) + α1 A1 (t)) − (I2 (t) + α2 A2 (t)), (2a)
dt N N
d E 1 (t) β1 S(t)
= (I1 (t) + α1 A1 (t)) − σ1 E 1 (t)
dt N
β1
+ξ11 (I1 (t) + α1 A1 (t))R1 (t), (2b)
N
d I1 (t)
= r1 σ1 E 1 (t) − η1 I1 (t) − (δ1I + μ1I )I1 (t), (2c)
dt
d A1 (t)
= (1 − r1 )σ1 E 1 (t) − δ1A A1 (t), (2d)
dt
d H1 (t)
= η1 I1 (t) − (δ1H + μ1H )H1 (t), (2e)
dt
d R1 (t)
= δ1I I1 (t) + δ1A A1 (t) + δ1H H1 (t)
dt
R1 (t)
− (ξ11 β1 (I1 (t) + α1 A1 (t)) + ξ12 β2 (I2 (t) + α2 A2 (t))), (2f)
N
d E 2 (t) β2 S(t)
= (I2 (t) + α2 A2 (t)) − σ2 E 2 (t)
dt N
β2
+ξ12 (I2 (t) + α2 A2 (t))R1 (t), (2g)
N
d I2 (t)
= r2 σ2 E 2 (t) − η2 I2 (t) − (δ2I + μ2I )I2 (t), (2h)
dt
d A2 (t)
= (1 − r2 )σ2 E 2 (t) − δ2 A A2 (t), (2i)
dt
d H2 (t)
= η2 I2 (t) − (δ2H + μ2H )H2 (t), (2j)
dt
d R2 (t)
= δ2I I2 (t) + δ2 A A2 (t) + δ2H H2 (t), (2k)
dt
where ξ11 is a multiplicative factor such that ξ11 β1 represents the rate of infection
of recovered individuals from strain-1 again by strain-1. Similarly, ξ12 is another
multiplicative factor such that ξ12 β2 is the rate of infection of individuals of R1
compartment by the strain-2. All other parameters with subscript j ( j = 1, 2) bear
the same meaning as they were for model (1) corresponding to two strains. The
disease transmission rate of an individual is proportional to the viral load inside
the body [15]. The viral load at the time of re-infection (by the same or different
strain) may be lower than the viral load during earlier infection, due to the acquired
immunity resulting from prior infection [5]. In case of re-infection by the same
strain, the individuals will move from R1 to E 1 once they are exposed. Otherwise,
the individuals will move from R1 to E 2 in case of re-infection due to the second
(new) strain. To track the role of re-infection on new outbreak, recovered individuals
are not transferred to the susceptible compartment S.
3.1 Effective Reproduction Number
In this section, our focus is to compute the effective reproduction number at the time
t1 when a new strain emerges. We will find the effective reproduction number of the
system (2) around the point
P2 (S(t1 ), I1 (t1 ), A1 (t1 ), H1 (t1 ), R1 (t1 ), 0, 0, 0, 0, 0).
We now order the infected compartments in the following order: E 1 , I1 , A1 , H1 , E 2 ,

I2 , A2 , H2 , and we can write two matrices as follows
⎛ β1 ⎞ ⎛ ⎞
(I1 + α1 A1 )(S + ξ11 R1 )
N
σ1 E 1
⎜ 0 ⎟ ⎜ η1 I1 + (δ1I + μ1I )I1 − r1 σ1 E 1 ⎟
⎜ ⎟ ⎜ ⎟
⎜ 0 ⎟ ⎜ δ1A A1 − (1 − r1 )σ1 E 1 ⎟
⎜ ⎟ ⎜ ⎟
⎜ 0 ⎟ ⎜ (δ1H + μ1H )H1 − η1 I1 ⎟
F =⎜ ⎟
⎜ β2 (I2 + α2 A2 )(S + ξ12 R1 ) ⎟ , V=⎜
⎜
⎟.
⎟
⎜N ⎟ ⎜ σ2 E 2 ⎟
⎜ 0 ⎟ ⎜ η2 I2 + (δ2I + μ2I )I2 − r2 σ2 E 2 ⎟
⎜ ⎟ ⎜ ⎟
⎝ 0 ⎠ ⎝ δ2 A A2 − (1 − r2 )σ2 E 2 ⎠
0 (δ2H + μ2H )H2 − η2 I2
The corresponding Jacobian matrices evaluated at the point P2 are given by

F1 θ4×4 V1 θ4×4
F= , V = ,
θ4×4 F2 θ4×4 V2
where
⎛ βj αjβj ⎞
0 N
(S(t1 ) + ξ1 j R1 (t1 )) N
(S(t1 ) + ξ1 j R1 (t1 )) 0
⎜0 0 0 0⎟
Fj = ⎜
⎝0
⎟,
0 0 0⎠
0 0 0 0
⎛ ⎞
σj 0 0 0
⎜ −r j σ j (η + δ I + μjI) 0 0 ⎟
Vj = ⎜
⎝ −(1 − r j )σ j
j j ⎟,
⎠ j = 1, 2,
0 δjA 0
0 −η j 0 (δ j H + μjH)
and θ4×4 is the 4 × 4 null matrix. The spectral radius of F j V j−1 is given by
β j r j (S(t1 ) + ξ1 j R1 (t1 )) α j β j (1 − r j )(S(t1 ) + ξ1 j R1 (t1 ))

R j (t1 ) = + , j = 1, 2.
N (η j + δ j I + μ j I ) NδjA
The corresponding effective reproduction number for the system (2) calculated at
time t1 is given by
R(t1 ) = max{R1 (t1 ), R2 (t1 )}.
Based on the magnitudes of the parameters and size of different compartments, one
can have either one or both of the quantities (R1 (t1 ) and R2 (t1 )) greater than one.
Here two parameters ξ and β play crucial role to determine R j (t1 ), j = 1, 2 greater
than one or not. Further outbreak of the epidemic is indicated by at least one of them
is greater than one.
3.2 Multi-strain Model
In the context of COVID-19, we have observed a recurrent outbreaks of the epidemic

due to the emergence of various strains since its first outbreak at the beginning
of 2020 in most of the countries across the globe. It is quite difficult to track the
appearance of a new strain in different countries as the determination of appropriate
strain among the infected individuals pose a huge economic burden. At the initial
time of the COVID-19 outbreak, the strain-specific infection data was not available.
However, recent scientific efforts help us to track the spread of infection based on
different strains of SARS-CoV-2 virus available for certain countries. There exist
multiple variants of a single strain but in the context of large epidemic outbreaks, it
is evident that the third wave was due to the delta strain and Omicron is responsible
for the fourth wave. Following the approach described above, we can define a multi-
compartment model with the assumption that the nth strain has appeared at t = tn−1 .
Susceptible individuals can get infection from the symptomatic or asymptomatic
individuals infected through any one of the strains and hence their growth equation
can be written as
n
d S(t) S(t)
=− β j (I j (t) + α j A j (t)). (3)
dt N j=1
The inflow in the exposed compartment corresponding to jth strain comes from
susceptible compartment and recovered from strain-1 to nth strain and hence their
growth rate can be described as
d E j (t) β j S(t)
= (I j (t) + α j A j (t)) − σ j E j (t)
dt N
n−1
βj
+ ξr j (I j (t) + α j A j (t))Rr (t), (4)
r =1
N
where η j is the rate of transfer from exposed to infected compartment once the incuba-
tion period is over, j = 1, 2, . . . , n. We can write the growth equations symptomatic
infected, asymptomatic infected, and hospitalized compartments corresponding to

strain- j as follows:
d I j (t)
= r j σ j E j (t) − η j I j (t) − (δ j I + μ j I )I j (t), (5)
dt
d A j (t)
= (1 − r j )σ j E j (t) − δ j A A j (t), (6)
dt
d H j (t)
= η j I j (t) − (δ j H + μ j H )H j (t), (7)
dt
where 1 ≤ j ≤ n, and the parameters have similar meaning as described earlier.
Once the nth strain arrives, the individuals of all the recovered compartments R j ,
1 ≤ j ≤ n − 1 can get re-infection from any one of the existing strains and hence
we can write the growth equation for R j as follows:
d R j (t)
= δ j I I j (t) + δ j A A j (t) + δ j H H j (t)
dt
n
βr
− ξ jr (Ir (t) + αr Ar (t))R j (t). (8)
r =1
N
Finally, the growth equation of Rn compartment can be written as
d Rn (t)
= δn I In (t) + δn A An (t) + δn H Hn (t). (9)
dt
One can easily verify that the model (2) can be obtained from (3)–(9) with n = 2.
The proposed modeling approach takes care of the possibility of re-infection without
transferring the individuals from the recovered compartment to the susceptible com-
partment. One can calculate the effective reproduction number following the same
approach as described above for the model with two strains. Explicit expression will
be quite lengthy and hence we omit such calculations here.
3.3 Numerical Example
Now we consider the numerical simulation results with hypothetical set of parameter
values before proceeding to the model validation with realistic dataset. Through-
out the numerical simulation, all the parameter values of β, σ , η, δ I , μ I , δ A , δ H ,
μ H in model (1) and the corresponding parameters in the model (3)–(9) are cho-
sen in the unit of day −1 [29]. α and r are proportionality constants and hence
they are dimensionless parameters. We consider the hypothetical set of parame-
Fig. 1 Simulation corresponding to model (2). Panel-a: The strain-1 appears at time t = 0 and no
new strain appears thereafter. The blue curve in this panel corresponds to only strain-1 with β1 = 0.6.
Panel-b: The strain-1 appears at time t = 0 and the strain-2 appears at time t = t1 = 1000. The
magenta curve extension and red curve extension in this panel correspond to β2 = 0.8 and β2 = 0.9,
respectively. Other parameter values are: N = 107 , r1 = 0.7, r2 = 0.8, ξ11 = 0.01, ξ12 = 0.05,
α j = 1, σ j = 1/5.2, η j = 0.1, δ j I = δ j A = 1/2.3, δ j H = 0.535, μ j I = μ j H = 0.03, for j = 1, 2.
Initial conditions: S(1) = N − 3, E(1) = I (1) = A(1) = 1, H (1) = R(1) = 0
ter values: β = 0.6, α = 1, σ = 0.1923, r = 0.7, η = 0.1, δ I = δ A = 0.4348, μ I =

μ H = 0.03 and simulate the model (1) with initial condition S(0) ≈ N , I (0) = 1,
E(0) = A(0) = H (0) = R(0) = 0 where N = 107 . First we consider the case where
only one strain is present in the system and the strain emerged at time t = 0 (shown
in Fig. 1a). In that case, we find the maximum number of daily infected is around
16, 840, maximum number of daily infected appeared around 550th day from the
onset of outbreak, and the speed of epidemic spread slows down gradually but one
can observe that daily number of infected will be around 1700 even after 1,800 days
(see Fig. 1a). Numerically one can calculate that total number of infected on 1,092th
day is approximately 2.596 × 106 and the number of symptomatic active cases I (t)
and asymptomatic active cases A(t) on 1,092th day are less than one, which implies
that the epidemic is over theoretically, as max{I (t), A(t)} < 1, around t = 1, 092
days. Also we can calculate the final size of the epidemic as S f = 7.404 × 106 .
Next we assume that a second strain appeared on 1,000th day and now we need
to simulate the model (2). The choice of hypothetical parameter set is β1 = 0.6,
β2 = 0.9, r1 = 0.7, r2 = 0.8, ξ11 = 0.01, ξ12 = 0.05, α j = 1, σ j = 0.1923, η j =
0.1, δ j I = δ j A = 0.4348, δ j H = 0.535, μ j I = μ j H = 0.03 for j = 1, 2 and t1 =
1, 000. Note that choices of initial conditions are S(0) ≈ N , I1 (0) = 1, I2 (0) = 0,
E j (0) = A j (0) = H j (0) = R j (0) = 0 for j = 1, 2, N = 107 . Importantly, we have
to introduce I2 (t = 1, 000) = 1 while no change in other compartments involved
with the model (2). We assume that the second strain is more transmissible than
the first strain and hence we choose the transmission rate of the second strain as
β2 = 0.9. The re-growth of daily infected is shown by the red curve in Fig. 1b,
and we find the maximum number of infected during the second peak as 37,457
and the peak is observed around 1,310th day. To understand the sensitivity of the
model parameters on the second outbreak, without any detailed mathematical insight,
simply we decrease the transmission rate of the second strain slightly by choosing
β2 = 0.8. Then we observe that the peak of the second outbreak (shown by the
magenta curve in Fig. 1b) is significantly low. Also the maximum number of daily
infected appears on 1,565th day approximately. For two different choices of β2 ,
the total number of infected on t = 2, 000 days are given by 4.2371 × 106 and
3.1721 × 106 corresponding to β2 = 0.9 (red curve in Fig. 1b) and β2 = 0.8 (magenta
curve in Fig. 1b), respectively. These simulation results indicate that the transmission
rate of the emerging strain affects the epidemic progression significantly.
It is important to mention here that the proposed model is capable of capturing
the multiple outbreaks of an epidemic disease due to the appearance of new strain.
This scenario is quite relevant in the context of COVID-19. For better illustration and
validation of our proposed model, we consider the model validation by estimating
the parameters from real dataset in the next section.
4 Model Validation with COVID-19 Data
In this section, we consider the strain-specific data from France during the time
period March 1, 2020 to September 30, 2021, collected from [2]. During this span
of 608 days for COVID-19 epidemic spread and recurrent outbreaks, continuous
mutation of spike protein has led to many new variants of SARS-CoV-2 virus [3].
We have noticed that a new variant is responsible for behind each outbreak. Within
the said time period, we have observed four major outbreaks due to four different
strains which were identified as VOC. The first outbreak started roughly on March
1, 2020 followed by the successive outbreaks due to Alpha strain, Beta strain, and
Delta strain, respectively. It is important to mention here that during the beginning
of the COVID-19 epidemic spread, the strain-specific data source was not available,
that is why we consider all the strains before Alpha strain by a single strain which
is not identified with any specific name. As per information and data available at
[4], the VOC Alpha (20I (Alpha, V1)) appeared in France through the mutation
S:H69 around August 24, 2020. After that the VOC Beta (20H (Beta, V2)) appeared
approximately around December 31, 2020. The proportion of Gamma variant (20J
(Gamma, V3)) in France was negligible compared to some other countries. Further,
the VOC Delta (21J (Delta)) was reported around May 3, 2021.
For simplicity of numerical simulation and rapidity of convergence of the scheme,
we kept most of the parameters are same for all the variants except the disease
transmission rates (β j ) and the latency periods (1/r j ) for j = 1, 2, 3, 4. Here j = 1
corresponds to unidentified variant and then for France, Alpha, Beta, and Delta
strains correspond to j = 2, 3, 4, respectively. We fit the 7-day moving average
data of COVID-19 daily infection for France with the model (3)–(9) and estimate
Fig. 2 Plots of 7 days moving average of number of daily infected individuals in France starting
from March 1, 2020 to September 30, 2021 are plotted with the simulation results using the model
(3)–(9) with n = 4. Data points are marked in black and the simulation results are presented in
magenta color, a daily data and b cumulative data. The values of the parameters are given in the
text, and the strain-specific transmission rates β j are mentioned in Table 1
the parameters β j and r j (see Fig. 2). Other parameter values used for simulation
and fitting of the model with the data are chosen from the information available in
literature and mentioned below.
The estimated values of r j are r1 = 0.7, r2 = 0.8, r3 = 0.8, and r4 = 0.85. The
values of β j are estimated over different time intervals in order to take care of
change in the rate of disease progression due to several restrictions imposed and
relaxed successively. Estimated values of β j over different time intervals are listed
in Table 1.
The other parameter values are α j = 1, σ j = 0.1923, η j = 0.1, δ j I = δ j A =
0.4348, δ j H = 0.5347, μ j I = μ j H = 0.03, for j = 1, . . . , 4, (see [29] for details).
The value of N ≈ 6.74 × 107 and initial condition is S(0) ≈ N , E 1 (0) = 346,
I1 (0) = 6, A1 (0) = 6, H1 (0) = 12 and R1 (0) = 0. Initial values of other compart-
ments are considered as zero and here t = 0 corresponds to March 1, 2020. In case
of France, t1 = (August 24, 2020), t2 = (January 1, 2021), and t3 = (March 3, 2020)
as per the information available at [4]. The rates of re-infection with the same strain
are comparatively less and hence ξii = 0.007 and ξik = 0.009, for i = 1, 2, 3 and
k = 1, 2, 3, 4 and k = i. As ξik ’s are kept fixed throughout the simulation, the values
of βk ’s are estimated from time to time to validate with strain-specific daily infection
data.
The proposed model can be validated with strain-specific data from any other
country and the parameters can be estimated accordingly. To substantiate our claim,
the model is fitted with the strain-specific data from Italy. Estimated values of β j ’s
with associated time intervals are presented in Table 2. The other parameter values are
α j = 1, σ j = 0.1923, η j = 0.1, δ j I = δ j A = 0.4348, δ j H = 0.5347, μ j I = μ j H =
0.03, for j = 1, . . . , 4, (see [29] for details). The value of N ≈ 5.96 × 107 and
initial condition is S(0) ≈ N , E 1 (0) = 10, I1 (0) = 2, A1 (0) = 1, H1 (0) = 5, and
Table 1 Estimated values of β j for France

Date β1 β2 β3 β4
01/03/20–10/04/20 0.95 – – –
11/04/20–15/05/20 0.76 – – –
16/05/20–29/06/20 0.28 – – –
30/06/20–23/08/20 0.575 – – –
24/08/20–26/11/20 0.575 0.93 – –
27/11/20–31/12/20 0.37 0.48 – –
01/01/21–24/02/21 0.61 0.66 0.98 –
25/02/21–05/04/21 0.42 0.65 0.94 –
06/04/21–02/05/21 0.25 0.5 0.85 –
03/05/21–24/07/21 0.2 0.21 0.42 0.96
25/07/21–02/09/21 0.2 0.3 0.45 0.95
03/09/21–30/10/21 0.06 0.35 0.3 0.52
Table 2 Estimated values of β j for Italy

Date β1 β2 β3 β4
01/02/20–22/03/20 0.98 – – –
23/03/20–30/06/20 0.41 – – –
1/07/20–19/08/20 0.52 – – –
20/08/20–8/10/20 0.8 – – –
9/10/20–12/11/20 0.75 0.91 – –
13/11/20–27/12/20 0.45 0.55 – –
28/12/21–8/01/21 0.64 0.62 0.97 –
9/01/21–05/02/21 0.48 0.58 0.85 –
06/02/21–13/03/21 0.64 0.75 0.9 –
14/03/21–26/04/21 0.5 0.45 0.61 0.85
27/04/21–31/05/21 0.36 0.46 0.42 0.66
R1 (0) = 0. The rates of re-infection with the same strain are comparatively less
and hence ξii = 0.007 and ξik = 0.009, for i = 1, 2, 3 and k = 1, 2, 3, 4 and k = i.
Simulation results along with the data are presented in Fig. 3. In [29], one can find the
estimates of the parameters for four countries—France, Italy, Germany, and Spain.
It is worthy to mention here that the proposed modeling approach is capable of
capturing the recent outbreak due to Omicron strain but we refrain ourselves from
such attempt as the outbreak is not over yet.
Fig. 3 Number of daily infected and 7-day cumulative number of infected individuals in Italy
starting from February 1, 2020 to May 31, 2021 are plotted with the simulation results using the
model (3)–(9) with n = 4. The values of the parameters are given in the text, and the strain-specific
transmission rates β j are presented in Table 2
5 Discussion
In terms of ordinary differential equations, mathematical models of epidemic dis-

eases are of two types: without and demographic terms. The fundamental challenge
in mathematical modeling, especially in the context of COVID-19, is to capture the
recurrence outbreaks of epidemic diseases. Researchers tried to explain the recurrent
outbreaks through Hopf-bifurcation around endemic equilibrium; however, such an
approach is not justified for the newly emerging epidemic diseases. There are few
modeling approaches proposed so far in the context of COVID-19, which can success-
fully capture the recurrent outbreaks with the help of models without demographic
terms. For example, in [7, 27, 28], we have explained that the division of entire pop-
ulation into two groups can lead to a further increase in the number of COVID-19
cases based on human behavior. Specific example of human behavior is one group of
people who follow the COVID-related protocols and another group who is not obey-
ing the restrictions. It was shown that even 20–30% defaulters could be responsible
for the re-growth of the epidemic once the lockdown and other related restrictions
are relaxed.
Here we have proposed a multi-compartment model which can accommodate
the successive outbreaks due to the appearance of new strains and validated with the
COVID-19 daily infection data from France and Italy. The proposed model considers
the possibility of re-infection of recovered individuals by the same strain or some
other strain. Here we considered the data up to a time point when the Omicron strain
did not arrive. A significant contribution of this work is that the proposed model can
capture recurrent outbreaks and successful validation of the model depends upon the
availability of accurate strain-specific data. It is essential to mention here that the
parameters related to the re-infection are taken from [20, 22]; however, these can be
estimated effectively once we find accurate re-infection data. We did not consider
any isolated compartment and quarantined compartment but the estimation of the
rate of infection over different time period implicitly takes care of social restrictions
imposed and withdrawn from time to time [27].
In France, the first outbreak roughly started on March 1, 2020, and then sev-
eral VOCs appeared afterward. From the model and estimated parameter values, we
find the controlled reproduction number at the epidemic’s beginning was 1.833. The
effective reproduction numbers at the time of emergence of Alpha, Beta, and Delta
strains were 1.68, 1.71, and 1.63, respectively. During the calculation of effective
reproduction numbers at different time points, it is observed that the corresponding
new emerging strain dominates the effective reproduction number. Hence, the emerg-
ing strain at a particular time point plays a crucial role in determining the growth or
decay of an epidemic. The disease transmission rate (β) and the latency period (1/r )
corresponding to a particular strain depend upon the within-body viral load dynam-
ics. It is essential to incorporate within-body viral dynamics of a particular strain
into the modeling approach to have a better result, like the immuno-epidemic model
recently considered in [15]. In the context of COVID-19, it is also essential to incor-
porate vaccine-induced immunological responses into the model to understand the
epidemic progression more accurately. The vaccinated compartment is overlooked
here as the strain-specific effectiveness of the vaccines is not clear yet. Including
a vaccinated compartment will only alter the estimates of infectivity, which can be
carried out similarly as outlined here.
In this work, we have fitted our model with the data from France and Italy for
three prominent VOCs and one initial outbreak for which the strain is not identified.
Before the appearance of Omicron strain, the infection is reported through some other
strains apart from Alpha, Beta, and Delta in these two countries. Other strains are
also responsible for the spread of the epidemic to a certain extent, but their numbers
are negligible compared to the number of infections due to the VOCs. Of course, one
can consider all these strains to develop a better model that can effectively capture
the number of hospitalizations and deaths more accurately. Our primary motivation
for this work is to propose and validate a relatively new model of epidemic spread
which can capture the successive outbreaks and validate the model with the accurate
strain-specific data for the COVID-19 epidemic. It is needless to say that the proposed
modeling approach can be applied to other epidemic diseases also where more than
one strain is responsible for successive outbreaks.
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Effect of Nonlinear Prey Refuge
on Predator–Prey Dynamics
Shilpa Samaddar , Mausumi Dhar , and Paritosh Bhattacharya
Abstract A mathematical model on predator–prey dynamics is analyzed in this

study. In traditional models, prey refuge is usually taken constant which is nearly
impossible in real-life scenario. We have considered nonlinear prey refuge which
depends on both prey and predator. We have performed various dynamical studies
incorporating Holling type-II functional response. The system can perceive at most
three equilibria. The boundedness of all the solutions, stability–instability conditions,
and bifurcation analysis are demonstrated in this work. All the analytical findings are
verified with numerical simulations. Additionally, a model comparison is performed
which helps to understand the dynamical changes due to nonlinear refuge.
Keywords Prey–Predator · Hopf bifurcation · Nonlinear prey refuge
1 Introduction
Prey population is always threatened by predators. Prey obtains some protection

from predators by hiding in a no predator accessible area. These preys are called
prey refuge. Since some of the preys are inaccessible to predator attack, they help
the prey from extinction [9, 10]. It is understandable that prey refuge is a common
scenario in any ecological interaction. Till now most of the models on prey–predator
interaction have considered constant prey refuge m [8, 10, 11]. Here (1 − m)x is the
number of prey (x) available for hunting and m ∈ [0, 1).
In this study, we have incorporated nonlinear refuge to the Holling type-II func-
tional response. Functional response denotes the consumption rate of an individual
predator. Holling has introduced three functional responses compatible to the ecol-
ogy as Holling Types I, II, and III [1–3]. Among these type-II is widely used. Type-II
Supported by organization National Institute of Technology Agartala.
S. Samaddar (B) · M. Dhar · P. Bhattacharya

National Institute of Technology Agartala, Tripura, India
e-mail: shilpasmddr@gmail.com
https://doi.org/10.1007/978-981-99-0597-3_11
144 S. Samaddar et al.
response first described the downtrend consumption rate. It elaborates that predator
growth due to prey consumption is limited by its food processing capability. Math-
bx
ematical expression for Holling type-II functional response is 1+hbx where b and h,
respectively, represent the prey attack rate and handling time of predators. By con-
b(1−m)x
sidering constant prey refuge, the function becomes 1+hb(1−m)x . Using this response
eminent works have been performed. Ji and Wu [4] have shown in their study how
prey refuge is capable of sustaining the prey density from extinction as well as the
dynamical stability behavior depending on refuge factor on harvesting efforts.
Although there are marvelous results on constant prey refuge, for natural ecolog-
ical scenario it is little unrealistic. In general, preys are seeking refuge due to the
presence of predator. It is quite obvious that the refuge count cannot be exactly con-
stant as refuge preys will have less foraging that can lead to starvation. It will force
them to be exposed again. As the refuge prey depends on the existence of predators,
it should depend on predator density also. Since prey refuge is a very important
factor to any dynamics, consideration of nonlinear refuge which depends on both
the species can solve this problem. In that aspect we have incorporated a nonlinear
refuge in the functional response as described in the study [5–7]. The nonlinear prey
refuge count can be expressed as the function g(x, y) = a+y mx y
where m is the prey
refuge coefficient, a is the half saturation constant of refuge prey, and y is the preda-

tor population. Then the density of prey available for hunting becomes 1 − a+y my
x

my
b 1− a+y x
and the functional response turns to .
my
1+hb 1− a+y x
The rest of the paper is organized as follows: in Sect. 2, we have first described the
mathematical model with constant prey refuge and find all the conditions for local
stability, instability, and Hopf bifurcation. Here we also numerically represent all the
analytical findings. Later, in Sect. 3, we formulated the model with nonlinear prey
refuge and elaborated all the stability and bifurcation conditions analytically and
numerically. To show the dynamical changes a system can achieve due to nonlinear
prey, we perform a comparison of these two models in Sect. 4. Finally, in Sect. 5, we
concluded all the findings of this study.
2 Mathematical Model Formulation with Constant Refuge
First we will discuss about the mathematical model which consists of constant prey
refuge in a Holling type-II functional response. The model can be represented as
dX X B(1 − m)X Y
= R X (1 − ) − ,
dT K 1 + H B(1 − m)X
dY E B(1 − m)X Y
= − DY,
dT 1 + H B(1 − m)X
X (0) > 0; Y (0) > 0.
Effect of Nonlinear Prey Refuge on Predator–Prey Dynamics 145
0.7 0.7
0.6 0.65
Predator
Species
y(t)
0.5 0.6
x(t)
0.4 0.55
(0.3846,0.5917)
0.3 0.5
0 50 100 150 200 250 300 0.3 0.35 0.4 0.45 0.5 0.55
Time Prey
( a) (b)
Fig. 1 Occurrence of stability of the system (1) at E 2 = (0.3846, 0.5917)
Here X, Y represent prey and predator density at any time T . The parameter used
R, K , B, H, E, D, respectively, represent prey intrinsic growth rate, prey carrying
capacity, predator attack rate, prey handing time of predators, conversion factor from
prey biomass to predator biomass, and death rate of predator. Here m denotes the
constant prey proportion and m ∈ [0, 1).
Nondimensionalization of the system using the transformations X = K x, Y =
E K y, and T = Rt provides
dx b(1 − m)x y
= x(1 − x) − , (1a)
dt 1 + hx(1 − m)
dy b(1 − m)x y
= − dy, (1b)
dt 1 + hx(1 − m)
x(0) > 0, y(0) > 0, (1c)
where b = B ER K , h = B H K , and d = D
R
. The system has three ecological equilib-
rium points which are
1. E 0 (0, 0) which is always unstable saddle.
2. E 1 (1, 0) which is stable if d > 1+h(1−m)
b(1−m)
else unstable.
3. E 2 (x∗ , y∗ ) where x∗ = (1−m)(b−dh) and y∗ = (1−x∗ )(1+h(1−m)x
d
b(1−m)
∗)
. The interior equi-
librium exists if b > dh. The system is locally asymptotically stable at E 2 if
(1 − m) < h(b−dh)
b+dh
else unstable.
We fix the parameter values as b = 2.5, h = 3, d = 0.4, m = 0.2. For these
parameter values, the system (1) gets stability at (0.3846, 0.5917) which is presented
in Fig. 1.
Theorem 1 The system encounters Hopf bifurcation at m [h] = 1 − b+dh
h(b−dh)
.
Proof The trace of the Jacobian matrix J of the system around E 2 is zero at m [h]
and the determinant is positive. Additionally,
d
dm
T race(J ) |m=m [h] = − b(1−m [h] )2 (b−dh) = 0.
d(b+dh)
Hence the system counters Hopf bifurcation.

0.6 0.7
0.5
0.6
Max(y)
Predator
0.4
Prey
Max(x) 0.5 Min(y)
0.3 Min(x)
0.4
0.2
0.1 0.3
0 0.05 0.1 0.15 0 0.05 0.1 0.15
m m
(a) (b)
Fig. 2 Bifurcation diagram of the species with respect to prey refuge m
0.38 0.6
0.36 Predator 0.58
0.34 0.56
Prey
0.32 0.54
0.3 0.52
0.28 0.5
700 750 800 850 900 950 1000 700 750 800 850 900 950 1000
Time Time
(a) (b)
0.551
0.55
0.549
Predator
0.548
0.547
(0.32433,0.54785)
0.546
0.545
0.322 0.324 0.326 0.328
Prey
(c)
Fig. 3 Occurrence of Limit cycle of the system (1) around E 2 = (0.32433, 0.54785) near m [h]
At m [h] = 0.0513, the system undergoes Hopf bifurcation and generates limit cycle
around (0.32433, 0.54785). Figure 2 denotes the bifurcation diagram of the system
with respect to m. Figure 3a and b, respectively, represents the periodic behavior of
prey and predator biomass and Fig. 3c denotes the limit cycle around the interior
equilibrium point.
3 Mathematical Model Formulation with Nonlinear Refuge
In natural scenario, it is very rare to get a species which has constant refuge. Prey
takes refuge seeking some protection from predator. It is pretty clear that prey refuge
count must depend on predator density. For this purpose, we have incorporated a
nonlinear prey refuge function g(x, y) = a+y mx y
, where m is the refuge constant and a
is the half saturation constant of prey refuge. The modified model becomes
dx b(1 − a+y
my
)x y
= x(1 − x) − my , (2a)
dt 1 + hx(1 − a+y )
dy b(1 − a+y )x y
my
= − dy, (2b)
dt my
1 + hx(1 − a+y )
x(0) > 0, y(0) > 0. (2c)
The system has three ecological equilibria:

1. E 0 (0, 0) which is always unstable saddle.
2. E 1 (1, 0) which is stable if d > 1+h
b
else unstable.
3. Positive equilibrium point E 2 (x∗ , y∗ ). The positive equilibrium can be obtained
from the two nullclines:
b{a + (1 − m)y}y
f1 ≡ 1−x − =0 (3a)
a + y + h{a + (1 − m)y}x
b{a + (1 − m)y}y
f2 ≡ − d = 0. (3b)
a + y + h{a + (1 − m)y}x
a[(b−dh)x∗ −d]
Solving the nullcline f 2 = 0 we get y∗ = d−(1−m)(b−dh)x ∗
and putting the value in
the nullcline f 1 = 0 we get x∗ is a solution of
(1 − m)(b − dh)x 3 − {d + (1 − m)(b − dh)}x 2 + d{1 − a(b − dh)}x + ad 2 = 0.

(4)
Remark 1 1. b > dh else y∗ < 0.

2. (b − dh)x∗ > d if not, d > (b − dh)x∗ and d > (1 − m)(b − dh)x∗ as m < 1
which implies y∗ < 0.
3. d > (1 − m)(b − dh)x∗ else y∗ < 0. Concluding above two cases we get b−dh d
<
x∗ < (1−m)(b−dh) .
d
Descartes’ rule of signs ensures that Eq. 4 has exactly one negative solution and at
most two positive solutions. Now the sum of the solutions is 1 + (1−m)(b−dh)
d
. Since
x∗ < min{1, (1−m)(b−dh) }, if positive solution exists then there will be exactly one
d
solution in the range ( b−dh

d
, d
(1−m)(b−dh)
). Hence, system exhibits exactly one positive
equilibrium point.
Derivation of the nullcline f 2 gives
dy a[(b − dh){d − (b − dh)(1 − m)x} + (1 − m)(b − dh){(b − dh)x − d}]

= > 0.
dx [a + y + h{a + (1 − m)y}x]2
Hence the nullcline f 2 is monotonically increasing.
Theorem 2 The positive equilibrium is locally stable if x f x1 + y f y2 < 0 at E 2 (x∗ , y∗ ).
Proof The Jacobian matrix of the system (2) at E 2 can be expressed as

x f x1 x f y1
J= ,
y f x2 y f y2 E2
where
bh{a + (1 − m)y}2 y
f x1 = −1 +
[a + y + h{a + (1 − m)y}x]2
b(1 − m)y 2 {1 + h(1 − m)x} + ab(1 + hx){a + 2(1 − m)y}
f y1 = − <0
[a + y + h{a + (1 − m)y}x]2
b(a + y){a + (1 − m)y}
f x2 = >0
[a + y + h{a + (1 − m)y}x]2
abmx
f y2 = − < 0.
[a + y + h{a + (1 − m)y}x]2
Using the implicit function theorem, the determinant of the Jacobian can be written as

( f 2)
dy ( f )
1
1 2 dy
Det (J ) = x y f y f y − .
dx dx
(x∗ ,y∗ )
2) 1
dy ( f dy ( f )
Now dx
is always positive and dx
can be positive or negative at E 2 . If
1 1
dy ( f ) dy ( f )
dx
< 0, then Det (J ) is positive. If d x > 0, then from Fig. 4 it is clear that the
( f 2) ( f 1)
slope of f 2 is greater than slope of f 1 . So dyd x is always greater than dyd x . Hence
Det (J ) is always positive at E 2 (x∗ , y∗ ). By Routh–Hurwitz criterion, the system is
stable at positive equilibrium if T race(J ) < 0, i.e., x f x1 + y f 2 y < 0 at E 2 .
For numerical simulation purpose, we have taken the value of a = 1.
Theorem 3 The interior equilibrium point E 2 of the system (2) loses its stability
when x f x1 + y f 2 y > 0. The equilibrium point may change its stability trough Hopf
bifurcation at m = m [h] .
Fig. 4 Position of positive 1

equilibrium and determining
the stability
0.8
f1 E2
0.6
y
0.4
f2
0.2
0
0 0.1 0.2 0.3 0.4 0.5
x
Proof The explicit expression of the equilibrium points is not available. This makes
the analytical proof of Hopf bifurcation very difficult. But numerically we can prove
that the system encounters Hopf bifurcation for the preassigned parameter values at
m [h] = 0.11358 around the positive equilibrium point E 2 = (0.320526, 0.544473).
4 Model Comparison
The axial equilibrium point of the system (1) with constant prey refuge is stable
when d > 1+h(1−m)
b(1−m)
while in case of the system (2) with nonlinear prey refuge it is
stable if d > 1+hb
. This means the stability of system (2) does not depend on prey
refuge. Further, for the refuge count m = 0.7, we have chosen three initial values
and compare the dynamics for both the systems. It is noted that for the first system
the trajectories approach to (1, 0), which means predators are extinct but in the case
of the system (2), the trajectories approach to an interior equilibrium point, which
means predators survive in system (2).
5 Discussion and Conclusion
In this study, we have analyzed a predator–prey dynamical system through a math-

ematical model incorporating with nonlinear prey refuge function g(x, y) = a+y my
.
The interaction between prey and predator is described by the functional response
Holling type-II. The main purpose of the study is to identify the influence of nonlinear
prey refuge on a system dynamics. For fulfilling the purpose, we have analyzed two
0.8 0.8
0.7
0.7
0.6
Predator
Species
0.6
0.5 y(t)
0.5
0.4 x(t)
0.3 0.4
(0.3313,0.5539)
0.2 0.3
0 200 400 600 800 1000 0.1 0.2 0.3 0.4 0.5 0.6 0.7
Time Prey
(a) (b)
Fig. 5 Occurrence of stability of the system (1) at E 2 = (0.3313, 0.5539)
0.6 0.7
0.5
0.6
Max(y)
Predator
0.4 Min(y)
Prey
Max(x)
0.5
Min(x)
0.3
0.4
0.2
0.1 0.3
0 0.05 0.1 0.15 0.2 0.25 0.3 0 0.05 0.1 0.15 0.2 0.25 0.3
m m
(a) (b)
Fig. 6 Bifurcation diagram of the species with respect to prey refuge m
models with constant prey refuge and nonlinear prey refuge. For both the models, we
have described ecologically possible equilibrium points and derive all the stability
and bifurcation conditions. Local stability nature of the positive equilibrium of the
system (1) can be understood from Figs. 1, 2 and 3. On the other hand, the stability
nature of the positive equilibrium of system (2) can be understood from Figs. 5, 6
and 7. Also a model comparison is performed (see Fig. 8) which confirms that at high
refuge, predators can survive in the nonlinear prey refuge environment. At m = 0.7,
predator extincts in the system (1) but survives in the system (2). Hence, the nonlinear
prey refuge has an significant impact on any system and our study drives the system
toward more natural scenario.
0.33 0.555
0.325 0.55
Predator
Prey
0.32 0.545
0.315 0.54
0.31 0.535
3500 3550 3600 3650 3700 3750 3800 3500 3550 3600 3650 3700 3750 3800
Time Time
(a ) (b)
0.552
0.55
Predator
0.548
0.546
(0.3232,0.5469)
0.544
0.542
0.318 0.32 0.322 0.324 0.326 0.328
Prey
(c)
Fig. 7 Occurrence of Hopf bifurcation of the system (2) around E 2 at m [h] = 0.11358
Fig. 8 At m = 0.7, predator 0.8

population in system (1) System with
extincts while survives in nonlinear
prey refuge
system (2) 0.6
System with
Predator
constant
prey refuge
0.4
0.2
0
0 0.2 0.4 0.6 0.8 1 1.2
Prey
References
1. Holling, C.S.: The components of predation as revealed by a study of small-mammal predation

of the european pine sawfly1. Can. Entomol. 91(5), 293–320 (1959)
2. Holling, C.S.: Some characteristics of simple types of predation and parasitism1. Can. Entomol.
91(7), 385–398 (1959)
3. Holling, C.S.: The functional response of predators to prey density and its role in mimicry and
population regulation. Mem. Entomol. Soc. Can. 97(S45), 5–60 (1965)
4. Ji, L., Wu, C.: Qualitative analysis of a predator-prey model with constant-rate prey harvesting
incorporating a constant prey refuge. Nonlinear Anal.: Real World Appl. 11(4), 2285–2295
(2010)
5. Molla, H., Sarwardi, S., Sajid, M.: Predator-prey dynamics with allee effect on predator species
subject to intra-specific competition and nonlinear prey refuge. J. Math. Comput. Sci 25, 150–
165 (2021)
6. Mondal, S., Samanta, G.: Dynamics of a delayed predator-prey interaction incorporating non-
linear prey refuge under the influence of fear effect and additional food. J. Phys. A: Math.
Theor. 53(29), 295601 (2020)
7. Mondal, S., Samanta, G., Nieto, J.J.: Dynamics of a predator-prey population in the presence
of resource subsidy under the influence of nonlinear prey refuge and fear effect. Complexity
2021 (2021)
8. Samaddar, S., Dhar, M., Bhattacharya, P.: Effect of fear on prey–predator dynamics: Exploring
the role of prey refuge and additional food. Chaos: Interdiscip. J. Nonlinear Sci. 30(6), 063129
(2020)
9. Samaddar, S., Dhar, M., Bhattacharya, P.: Supplement of additional food: dynamics of self-
competitive prey-predator system incorporating prey refuge. Iran. J. Sci. Technol. Trans. A:
Sci. 44(1), 143–153 (2020)
10. Samaddar, S., Dhar, M., Bhattacharya, P.: Impact of refuge to the heterogeneous interaction of
species in food chain model: a holistic approach. Iran. J. Sci. Technol. Trans. A: Sci. 45(1),
221–233 (2021)
11. Wang, J., Cai, Y., Fu, S., Wang, W.: The effect of the fear factor on the dynamics of a predator-
prey model incorporating the prey refuge. Chaos: Interdiscip. J. Nonlinear Sci. 29(8), 083109
(2019)
Effects of Magnetic Field and Thermal
Conductivity Variance on Thermal
Excitation Developed by Laser Pulses
and Thermal Shock
Rakhi Tiwari
Abstract The current investigation is aimed to execute the influence of the magnetic
field on the transient outcomes inside a semi-infinite medium with dual-phase lag
thermoelasticity. Properties of the considered material are taken to be variable, i.e.
not constant. The boundary of the medium is exposed to a sudden heat input (thermic
shock). Moreover, the bounded surface is assumed to be affected by a non-Gaussian
laser beam-type heat source. Closed-form solutions are evaluated by adopting the
concept of Kirchhoff transformation and Laplace transform. Impacts of the magnetic
field as well as thermal conductivity variance are deduced on the important field quan-
tities such as dimensionless displacement, dimensionless conductive temperature, as
well as dimensionless stress through quantitative results. Auspicious outcomes are
achieved and the prominent role of the magnetic field and variations of the thermal
conductivity are observed on the field components. The author believes that the
current theoretical study will be helpful in designing the various structures affected
by the laser beam of a non-Gaussian pattern.
Keywords Half-space · Magnetic field · Dual-phase lag thermal conductivity

equation · Non-Gaussian laser pulse
1 Introduction
In contrast to the conventional thermoelastic theory, the concept of generalized ther-

moelasticity is seeking attractions of academicians regarding its numerous signifi-
cances in varied areas such as design and structures, engineering, geophysics, aero-
nautics, plasma physics, acoustics, stream turbine and missiles. Earlier, the tradi-
tional approach of thermoelasticity based on Fourier law was in a trend that predicts
infinite velocity of thermal shivering which is observed to be unrealistic from the
R. Tiwari (B)
Department of Mathematics, Nitishwar College, a Constituent Unit of Babasaheb Bhimrao
Ambedkar Bihar University, Bihar, India
e-mail: rakhitiwari.rs.apm12@itbhu.ac.in
https://doi.org/10.1007/978-981-99-0597-3_12
154 R. Tiwari
physical aspect. In the series of inventors of the generalized theory of thermoelas-

ticity, Lord and Shulman [1] was the first person who included a relaxation time
parameter/phase lag in the traditional heat expressions proposed by Fourier law. The
second time, Green and Lindsay [2] presented the modification of the Fourier law of
heat conduction. Afterwards, three distinct theories (GN-I, GN-II and GN-III) have
been propounded by Green and Naghdi [3–5]. A few ongoing improvements vital to
continuum mechanics are viewed as an application in the area of generalized ther-
moelasticity that has been very much accepted in different studies. On the other hand,
significant studies on smart materials are noticed in structural engineering electronic
gadgets, which are very important in our current daily life. Such gadgets have the
property that obeys the mechanical surface wave rules for an elastic structural body.
As far as increasing popularity of nano particles research problems, the above
theories were observed to be inappropriate for predicting realistic results; then Tzou
[6] and Chandrasekhariah [7] invented two phase-lag (DPL) theories of heat conduc-
tion where they added two relaxation time parameters in Fourier law. Researchers are
applying dual-phase lag heat equation for studying the extensive variety of physical
systems [8, 9].
Researchers observed that the material characteristic parameters like thermal
conductivity, specific heat and elastic modulus are no longer constants, and they
alter when extensive heat with ultra-high temperature propagates on the material. In
these circumstances, the above-mentioned material parameters are taken to be the
exponential or linear function of temperature. Several results predicting the tran-
sient effects inside the structures are achieved under the purview of the diverse
theories of generalized thermoelasticity such as single-phase lag generalized theory,
theory of fractional derivatives, thermic topics with two temperatures and generalized
bio-thermoelasticity [10–17].
Moreover, the multi-fold significance in diverse areas such as pulsed laser tech-
nologies in material processing, dermatology, eye operations, test ultrasound and
acoustics, heat, electricity, optics, physics and laser technology has become a
powerful tool for practical applications. Moreover, apart from this laser beam has
fascinating properties like it being coherent, fast, monochromatic, non-destructive,
well-controlled and is a precisely directed beam of light. A huge number of articles
describing the role of laser pulses have been published by researchers [18, 19].
The motive of the current article is to derive the influences of fluctuating thermal
conductivity and magnetic field on the propagation of the magneto-thermoelastic
waves inside a semi-infinite medium in the context of dual-phase lag thermoelas-
ticity. Half-space medium is affected by the thermal shock heat input as well as
the non-Gaussian laser pulse heat source. Closed-form solutions are obtained by
adopting Laplace and Kirchhoff transformation techniques. The impact of magnetic
field and changing thermal conductivity parameters is determined on the crucial
field measures like displacement, conductive temperature and stress with the help of
computational outcomes. Results are achieved and the prominent role of the magnetic
field and variations of the thermal conductivity are observed on the field components.
The author believes that the current theoretical study will be helpful in designing the
Effects of Magnetic Field and Thermal Conductivity Variance … 155
various structures affected by the laser beam of a non-Gaussian pattern. Analyti-

cally, the governing equations are solved in Laplace transform domain and solved
in the space–time domain numerically. The graphical illustration of distributions of
physical quantities is studied due to a different function, time parameter and heat
source.
2 Laser Pulse Heat Source
The profile of laser pulse is mentioned in the following way [15]:

I0 t t
L(t) = exp − . (1)
t p2 tp
I0 denotes the laser intensity, and t p is the characteristic time of the laser pulse.
Heat source Q(x, t) is stated as
x
1− R Ra I 0 t x t
Q(x, t) = exp − L(t) = exp − − . (2)
b b bt p2 b tp
Ra = 1 − R. b, Ra denote absorption depth of heating energy and surface

reflectivity, respectively.
3 Basic Equations Using Dual-Phase Lag Thermoelasticity
The basic equations representing the generalized dual-phase lag theory of thermoe-
lasticity are presented below.
Equation of motion (body force is observed to be absent) [15]:
σi j, j + μ0 (( J × H)i = ρ ü i . (3)
μ0 (( J × H)i represents the Lorentz force as the half-space medium is suffering from
the magnetic field.
The strain–displacement relation is [15]
1
ei j = u i, j + u j,i . (4)
2
The constitutive equations are [15]
σi j = λekk δi j + 2μei j − γ θ δi j , (5)

156 R. Tiwari
ρCv
ρη = γ ekk + θ. (6)
T0
The thermal conductivity equation in DPL theory (in the presence of a heat source)
[15]:

∂ ∂
K 1 + τT ∇ θ = 1 + τq
2
ρCv θ̇ + γ T0 ė − Q . (7)
∂t ∂t
σi j —stress tensor, u i —displacement component vector, ei j —stress tensor, ekk —

cubic dilation, ρ—density; Cv —specific heat at constant volume, η—entropy density,
δi j —Kronecker delta, T0 —reference temperature; θ —temperature, λ, μ—Lame
constants; γ = (3λ + 2μ)αT , J—current density vector, H—magnetic intensity
vector; αT —thermal expansion coefficient, τq —phase lag of heat flux, τT —phase
lag of temperature; gradient, qi —heat flux component, K —thermal conductivity and
Q—strength of heat source.
4 Mathematical Modelling of the Problem
For the present problem, we assume an isotropic, homogeneous, and thermoelastic

problem of a half-space medium (x ≥ 0) permeated with the uniform magnetic
field. Boundary of the half space is subjected to a sudden heat input. Additionally, a
laser pulse type heat source has been imposed to the medium. Due to the magneto-
thermo-mechanical interactions among three diverse fields, magneto-thermoelastic
waves are generated inside the medium.
Considering that the direction of wave propagation is along the +ve direction of
the x− axis, i.e. (x ≥ 0), hence, each field quantity is dependent on two coordinates—
time t and the space coordinate x.
Following the assumptions mentioned above, the displacement components are
u x = u(x, t), u y = 0 and u z = 0. (8)
The strain components are defined as
∂u
ex x = . (9)
∂x
Maxwell equations:
The following Maxwell equations will take place in the mathematical modelling of
the problem

∂E ∂h ∂u
curl h = J + 0 , curl E = −μ0 , E = −μ0 × H , div h = 0.
∂t ∂t ∂t
(10)
0 represents the electric permittivity of the medium. Initial magnetic field H is

assumed to be homogeneous with its components (0, 0, H0 ). Induced electric field
E and perturbed magnetic field h are mentioned as E = (0, E, 0), h = (0, 0, h),
respectively. Components of the displacement considered the form (u(x, t), 0, 0).
Maxwell equations take the following form on applying the assumptions:

∂u ∂u ∂h ∂ 2u
E = 0, μ0 h 0 , 0 , h = 0, 0, −H0 , J = 0, − − 0 μ0 h 0 ,0 .
∂t ∂x ∂x ∂t 2
(11)
Now the governing Eqs. (3), (5) and (7) obtain the following form:
∂ 2u 2∂ u
2
γ ∂θ
α = c − , (12)
∂t 2 0
∂x 2 ρ ∂x
∂u
σx x = (λ + 2μ)− γ θ, (13)
∂x

∂ ∂ 2θ ∂ ·

K 1 + τT = 1 + τq ρC v θ̇ + γ T0 ekk −Q . (14)
∂t ∂ x 2 ∂t
2
α0 μ0 (λ+2μ)
α = 1+ c 2 , α0 = H0 ρ
represents Alfven velocity, c0
2
= C 1
2
+α0
2
, C 1 = ρ

represents the propagation of longitudinal wave and c = 1
0 μ0
, where c denotes the
speed of light.
5 Initial and Boundary Conditions
Initial conditions (time t = 0) are considered as
u(x, 0) = u̇(x, 0) = 0,
(15)
θ (x, 0) = θ̇ (x, 0) = 0.
Boundary conditions are
σ (0, t) = 0,
(16)
θ (0, t) = θ0 H (t),
158 R. Tiwari
H (t) denotes the Heaviside unit step function.

Due to a realistic approach, stress and temperature fields disappear at an infinite
distance from the boundary of the medium, i.e.
σ (x → ∞, t) = 0,
(17)
θ (x → ∞, t) = 0.
Thermal conductivity (K ) is considered to be a linear function of thermo-

dynamical temperature (θ ), hence, it is expressed in the following manner [15]:
K = K (θ ) = K 0 (1 + K 1 · θ ), (18)
K0
N= . (19)
ρCv
K 0 , N are constants where N represents the thermal diffusivity of the material. K 1

denotes the parameter of variable thermal conductivity.
Considering Kirchhoff’s transformation given below
θ
1
ψ= K (θ )dθ. (20)
K0
0
where ψ is the conductive temperature.

With the help of Leibnitz’s rule of differentiation, we differentiate Eq. (20) with
respect to x and we find
∂ψ ∂θ
K0 = K (θ ) . (21)
∂x ∂x
Again differentiating Eq. (21) with respect to x, we obtain
∂ 2ψ ∂ ∂θ
K0 = K (θ ) . (22)
∂x2 ∂x ∂x
Differentiating Eq. (20) with respect to t, we achieve
∂ψ ∂θ
K0 = K (θ ) . (23)
∂t ∂t
With the help of Eqs. (20), (22), we obtain
1
ψ =θ+ K1 · θ 2. (24)
2
Applying boundary condition (16b) in the above equation, we achieve
1
ψ(0, t) = θ (0, t) + K 1 · (θ (0, t))2 . (25)
2
With the help of the equation mentioned above, the value of θ can be determined
in terms of ψ in the following manner:
√
−1 + 2K 1 · ψ + 1
θ= . (26)
K1
Using Eqs. (20)–(26) in Eqs. (12)–(14), we find the following equations (we have
neglected second and higher order):
∂ 2u ∂ 2u γ ∂ψ
α
= c02 2 − , (27)
∂t 2 ∂x ρ ∂x

∂ ∂ ∂ ψ γ T0 Q
1 + τT ∇ θ = 1 + τq
2
+ ekk − , (28)
∂t ∂t ∂t N K0 K0
∂u
σx x = σ = (λ + 2μ) − γ ψ. (29)
∂x
Non-dimensionalization: For the purpose of simplifying Eqs. ((27)–(29)), we
convert these equations to non-dimensional form with the help of following non-
dimensional quantities:

x = c0 η0 x, u = c0 η0 u, b = c0 η0 b, t = c02 η0 t, t p = c02 η0 t p , τT = c02 η0 τT ,

τq = c02 η0 τq ,
η0 γθ γψ
L 0 = Ccv0ρT 0
L 0 , θ = λ+2μ , ψ = λ+2μ , σ = λ+2μσ
, c02 = λ+2μ ρ
, h = Hh0 ,
E = μ0EH0 v , J = H0Jvη .
∂ 2u ∂ 2u ∂ψ
α= β − , (30)
∂t 2 ∂x2 ∂x
x
∂ ∂ 2ψ ∂ ∂ t
1 + τT = 1 + τq (ψ + N 1 ekk ) − N 2 t exp − .ex p − ,
∂t ∂ x 2 ∂t ∂t b tp
(31)
∂u
σ = − ψ. (32)
∂x
T0 γ 2 N γρCv T0 N Ra L 0
N1 = , N2 = . (33)
K 0 (λ + 2μ) K 0 (λ + 2μ)bt p2
c02
For convenience, primes are suppressed from Eqs. (30)–(32). β = C12
.
160 R. Tiwari
6 Solution in Laplace Transform Domain

∞
Laplace transform is defined as L[ f (t)] = f (s) = ∫ e−st f (t)dt, Re(s) > 0.
0
Applying Laplace transform on both sides of Eqs. (30)–(32), we achieve
2
β D − αs 2 u = Dψ, (34)

(1 + sτT )D 2 ψ = 1 + sτq s ψ + N1 Du − G(x, s) , (35)
σ = Du − ψ. (36)
∂
x
Here, D = ∂x
and G(x, s) =
N2
2 exp −b .
s+ t1p
Initial and boundary conditions are obtained in Laplace transform domain in the
following way:
σ (0, s) = 0,
(38)
θ(0, s) = 1s θ0 .
σ (x → ∞, s) = 0,
(39)
θ(x → ∞, s) = 0.
Applying Laplace transform in Eq. (25), we achieve the following equation:
1 1 1
ψ(0, s) = θ0 + K 1 · (θ0 )2 . (40)
s 2 s
Eliminating ψ from Eqs. (34), (35), we obtain the following decoupled differential
equation in terms of u:
x
D 4 − a1 D 2 + a2 u = N4 exp − . (41)
b

1 1 + sτq s 3 1 + sτq
a1 = (αs 2 + s (N1 + 1)), a2 = ,
β 1 + sτT β 1 + sτT

N2 1 + sτq
N4 = 2 .
bβ(1 + sτT ) s + t1p
The general solution of the differential equation with degree four (Eq. (41)) is
obtained as
x
u(x, s) = Ae−ξ1 x + Be−ξ2 x + Ce− b . (42)
ξi (i = 1, 2) denote the roots with positive real parts of Eq. (44) which are evaluated
as

a + a 2 − 4a a − a 2 − 4a
1 1 2 1 1 2 N4 b4
ξ1 = , ξ2 = and C = .
2 2 1 − a1 b 2 + a2 b 4
A, B are undetermined parameters.

Substituting Eq. (42) in Eqs. (35) and (38), respectively, we obtain the following
closed-form solutions of conductive temperature ψ and stress σ in the Laplace
transform domain:
ψ(x, s) = ψ1 e−ξ1 x + ψ2 e−ξ2 x + ψ3 e− b ,

x
(43)
σ (x, s) = σ1 e−ξ1 x + σ2 e−ξ2 x + σ3 e− b ,

x
(44)
2 2
where ψ1 = 1
ξ1
αs − βξ12 A, ψ2 = 1
ξ2
αs − βξ22 B, ψ3 = αbs 2 − βb C,

−αs 2 + (β − 1)ξ12 A −αs 2 + (β − 1)ξ22 B (β − 1)C
σ1 = σ2 = , σ3 = − αbs 2 C.
ξ1 ξ2 b
Using boundary conditions, we obtain
(β − 1)C
M1 A + M2 B = αbs 2 C − , (45)
b

β θ0 K1 2
N1 A + N2 B = − αbs C +
2
+ θ . (46)
b s 2s 0
2 2
αs − βξ12 αs − βξ22 −αs 2 + (β − 1)ξ12
N1 = , N2 = , M1 = ,
ξ1 ξ2 ξ1

−αs 2 + (β − 1)ξ22
M2 = .
ξ2
Solving Eqs. (45), (46), we obtain the following expressions of A and B:
θ0 M2 K 1 M2
A= + θ2
s(N1 M2 − N2 M1 ) 2s(N1 M2 − N2 M1 ) 0

C β (β + 1)
+ M2 −αbs 2 + + N2 − αbs 2 , (47)
(N1 M2 − N2 M1 ) b b
θ0 M1 K 1 M1
B= + θ 2
s(N2 M1 − N1 M2 ) 2s(N2 M1 − N1 M2 ) 0

C β (β + 1)
+ M1 −αbs 2 + + N1 − αbs 2 . (48)
(N2 M1 − N1 M2 ) b b
162 R. Tiwari
7 Quantitative Results
The current section derives the variations of the dimensionless conductance tempera-
ture ψ, dimensionless displacement u and non-dimensional stress σ̃ for time t = 0.35
against the non-dimensional distance x by sketching graphical results. The ‘Bellmen
Technique’ has been adopted in order to find the numerical inversion of the Laplace
transform. We have divided numerical results into two subsections. The first subsec-
tion exhibits the impact of magnetic field on the variations of all physical fields,
while the other subsection characterizes the role of changing thermal conductivity
on the nature of field quantities.
Copper material is selected for the purpose of the computational study. Physical
data [15] for the material is
λ = 7.76 × 1010 NM−2 , μ = 3.86 × 1010 NM−2 , ρ = 8954 kgm−3 , t p = 0.2ps
383.1J
K 0 = 386 Wm−1 K−1 , cv = , T0 = 293 K,
kg K
L 0 = 1 × 102 JM−2 , Ra = 0.5, τT = 0.15, τq = 0.2,
b = 0.01 m, θ0 = 1α = 0.01442, β = 1.
7.1 Effects of Magnetic Field
The present subsection exhibits the impact of magnetic field intensity H on the vari-
ations in various dimensionless field components—conductive temperature. Here,
the value of K 1 = 0.2.
Figure 1 exhibits the variations of conductive temperature ψ with respect to the
distance x at time t = 0.35. The trend of variation of plots is observed to be almost
similar to the change in the magnetic field intensity. However, the values of the
temperature field are altered significantly as we change the values of the magnetic
field. Plots start from the same constant value and increase as the distance increases
but after providing maximum value, they go down and vanish. It is noticed that
the highest values of the temperature field are observed for the highest value of the
magnetic field, and values of the temperature profile enhance as the magnetic field
intensity increases. Further, it is notified that the peak point shifts far from the first
boundary when the magnetic field intensity becomes smaller.
Figures 2 and 3 demonstrate the disparity of the distributions of displacement
and stress field, respectively, at time t = 0.35. Similar to the temperature field, the
impact of the magnetic field is observed to be very prominent on the variations of
displacement and stress fields. The stress field is most influenced by the variations of
Fig. 1 Disparity of
conductive temperature ψ
versus distance x for time
t = 0.35
Fig. 2 Disparity of
displacement u versus
distance x for time t = 0.35
magnetic field intensity. Additionally, we observe that changing the magnetic field
affects the maximum value of the displacement field. Apart from this, it is noticed
that as the value of the magnetic field goes beyond 2000, changes in the measures of
the displacement fields become maximum compared to lower values of the magnetic
field.
For H = 3000, the nature of the stress curve is observed to be changed compared
to the lower intensity of the magnetic field.
It can be concluded from the above discussion that stress profiles suffer from the
discontinuities unlike the temperature and displacement fields.
164 R. Tiwari
Fig. 3 Disparity of stress σ

t = 0.35
7.2 Effects of Changing Thermal Conductivity
In the current subsection, the act of the thermal conductivity variance is displayed on
the variations in different dimensionless physical fields—displacement, conductive
temperature and stress. The value of magnetic field intensity H is taken to be constant
such as H = 3500.
Figures 4, 5 and 6 demonstrate the changes in the dimensionless profiles of conduc-
tive temperature, displacement as well as stress with respect to the dimensionless
distance x, (0 ≤ x ≤ 5) at time t = 0.35, respectively.
Figure 4 states the behaviour of conductive temperature for the varied measures of
changing thermal conductivity parameter K 1 = 0, 0.2, 0.4, 0.6. The variance pattern
of the temperature line is found to be unaffected by the changes in the conductivity
Fig. 4 Disparity of
conductive temperature ψ
t = 0.35
parameter K 1 . Influences of variable thermal conductivity parameters are noticed to

be less effective on the variations of temperature field.
Figure 5 exhibits the behaviour of the non-dimensional displacement field versus
distance x. The trend of propagation of the displacement profile is found to be similar
to Fig. 2. The influence of variable thermal conductivity parameter is more prominent
on displacement profiles compared to the temperature profiles. Apart from this, the
role of K 1 is found to be highly influential on the maximum value of the displacement
field.
Figure 6 derives the impact of changing the thermal conductivity parameter on
the behaviour of dimensionless stress. Influences of thermal conductivity parameters
are observed prominently on the variations of stress field also. This impact is highest
on the jumps of the stress profile.
Fig. 5 Disparity of
displacement u versus
distance x for time t = 0.35
Fig. 6 Disparity of stress σ

t = 0.35
166 R. Tiwari
8 Conclusion
On the basis of the present study, the following observations can be made:
(1) All field quantities attain non-zero values in the bounded region and fade
beyond this region. This nature of magneto-thermoelastic waves shows that
waves propagate with a finite speed.
(2) Alteration in the magnetic field intensity changes prominently the values of
the profiles of all field quantities, and these changes occur prominently near
the boundary of the half-space for stress and displacement fields; however, the
temperature field is highly affected at the peak values. Stress curves suffer major
changes at the boundary of the half-space. The high value of the magnetic field
intensity increases the values of physical fields. Prominent changes among the
values of physical fields are noticed for the range 2000 < H < 3000.
(3) The changing thermal conductivity affects the distributions of stress curves as
well as displacement curves, while the temperature field is observed to be less
effective with the alterations in the values of the thermal conductivity parameter
stress and conductive temperature significantly. Influences of changing thermal
conductivity parameters are noticed to be maximum at the jumps of the field
quantities.
(4) Stress curves are affected by the discontinuities, while conductive temperature
and displacement fields are observed to be smooth in nature.
The author strongly believes that the present work may help the scientific commu-
nity in designing the structures and for the study of waves inside the various materials
influenced by the heat source.
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(2019)
Differential and Integral Equations
On Unique Positive Solution of
Hadamard Fractional Differential
Equation Involving p-Laplacian
Ramesh Kumar Vats, Ankit Kumar Nain, and Manoj Kumar
Abstract In this paper, the authors have studied p-Laplacian Hadamard fractional
differential equation with integral boundary condition. The sufficient condition for
the existence and uniqueness of solution is developed using a new fixed point theorem
(Zhai and Wang [21]) of ϕ − (h, e)-concave operator. Further, an iterative method is
also given for approximating the solution corresponding to any arbitrary initial value
taken from an appropriate set.
Keywords Existence and uniqueness · Fractional differential equation · Fixed

point theorems · p-Laplacian · Positive solution · ϕ − (h · e)-concave operator
1 Introduction
Fractional derivatives have numerous applications, including simulating the mechan-

ical and electrical properties of the materials, describing rheological features of rocks
and many others. Also, it has been demonstrated in recent decades that fractional-
order models are more suited than previously utilized integer models because frac-
tional derivatives are non-local operators by nature as compared to integer-order
derivatives which are local, and because of this fact, they are a good tool for describ-
ing the hereditary and memory properties of many processes and materials where
integer-order derivatives have failed (Zhou et al. [22]). The Hadamard fractional dif-
ferential operator is taken into consideration in this paper which differs from other
fractional derivatives as its definition consists of the logarithmic function in its kernel
which is very helpful in studying the ultra-slow diffusion processes. Also, in the study
of rheology and ultra-slow kinetics, the logarithmic creep law is used to describe the
creep phenomenon of ingenious rock, which can be described using Hadamard frac-
R. K. Vats · A. K. Nain (B)

National Institute of Technology, Hamirpur 177005, India
e-mail: ankitnain744@gmail.com
M. Kumar
R.K.S.D. (P.G.) College, Kaithal 136027, Haryana, India
https://doi.org/10.1007/978-981-99-0597-3_13
172 R. K. Vats et al.
tional calculus (Garra et al. [6]). For further insight of fractional derivatives, one can
go through (Diethelm [5], Kilbas et al. [9], Nain et al. [12, 13], Podlubny [16]) and
references therein.
Differential equations of fractional order with boundary conditions involving inte-
gral term have received much consideration of the researchers due to the applica-
tions in problems of thermal conduction, semiconductors, and hydrodynamic issues
which all include integral boundary conditions (Henderson and Luca [8]). Also,
equations consisting of p-Laplacian operator have been derived from the studies of
non-Newtonian fluid theory and nonlinear elastic mechanics. In 1945, Leibenson [10]
described the turbulent flow model in porous media using the following p-Laplacian
equation:
(φ p (ψ (x))) = Φ(x, ψ(x), ψ (x)),
where φ p (t) = |t| p−2 t is the p-Laplacian operator with φ−1

p (t) = φq (t), p + q = 1.
1 1
Diaz and Tehlin [4] established a series of models involving the p-Laplacian opera-
tor, which emerges in the study of incompressible turbulent fluids flowing through
porous surfaces and gases moving through pipes with uniform cross-sectional areas.
Using the properties of green function and utilizing nonlinear alternative of Leray–
Schauder, Li and Lin [11] established the existence of positive solution for the
Hadamard fractional boundary value problem (FBVP):
β
H
D1 (φ p ( H D1α ψ(x))) = Φ(x, ψ(x)), 1 < x < e,
ψ(1) = ψ (1) = ψ (e) = 0, H
D1α ψ(1) = H D1α ψ(e) = 0,
where 2 < α ≤ 3, 1 < β ≤ 2 and H D1− is the Hadamard fractional derivative. Fol-
lowing the work of Li and Lin [11], Wang and Wang [18] derived the sufficient con-
dition for the existence of solution using Schaefer’s fixed point theorem for FBVP
with p-Laplacian operator with strip conditions. Recently, Wang and Zhai [19] stud-
ied the existence and uniqueness of solution for FBVP in partially ordered cone and
established an iterative method for obtaining the solution. Taking into account their
importance in analysis and applications, much more attention have been drawn to
the analysis of p-Laplacian FBVP. For more information on the applications of p-
Laplacian operator in differential equations, one can go through (Benedikt et al. [1],
Cheng and Wang [3], Wang et al. [17], Xue et al. [20]), and references therein. Also,
further development of some new fixed point theorems like α-type F-contractive
mappings, α-type F-contractions, etc. can be found in Gopal et al. [2, 7, 15] and
references therein.
Supposedly, there are not many articles that study the existence and uniqueness of
positive solution for p-Laplacian FBVP. Therefore, followed by the work discussed
above, the authors have considered the Hadamard p-Laplacian FBVP involving inte-
gral boundary conditions as follows:
On Unique Positive Solution of Hadamard Fractional Differential … 173
⎧ H d2
⎪ D1 (φ p ( H D1d1 ψ(x) − χ(x))) + Φ(x, ψ(x)) = 0, 1 < x < e,
⎨ e
ψ(1) = δψ(1) = 0, ψ(e) = 1 ρ(x)ψ(x) dx , (1)
⎪
⎩
x
D1 ψ(1) = 0,
H d1
where 2 < d1 ≤ 3, 0 < d2 ≤ 1, ρ : [1, e] → [0, ∞) with ρ ∈ L 1 [1, e], χ ∈

C([1, e], R), H D1d2 is the Hadamard fractional derivative of order d2 given by
n−d2 −1
1 d n x
x ψ(s)
H
D1d2 ψ(x) = x ln ds,
Γ (n − d2 ) dx 1 s s
provided the integral exists, where n − 1 < d2 ≤ n , n = [d2 ] + 1, and ln(·) =

loge (·) (see Kilbas et al. [9]) and H I1d2 is the Hadamard fractional integral of order
d2 > 0 given by
d2 −1
1 t
t ψ(s)
I1 ψ(t)
H d2
= ln ds
Γ (d2 ) 1 s s
provided the integral exists, where ln(·) = loge (·) (see Kilbas et al. [9]).
2 Preliminaries
This section presents the definitions, notations, and lemmas which supports the results
presented in Sect. 3. A subset C(= ∅) of a real Banach space (U, · ), which is closed
and convex is said to be a cone if it gratifies the following conditions:
(i) ψ ∈ C, ξ ≥ 0 implies ξψ ∈ C,
(ii) ψ ∈ C, −ψ ∈ C implies ψ = θ, where θ is zero element of U.
Every cone C in U defines a partial ordering in U given by
ψ ≤ ω ⇔ ω − ψ ∈ C.
A cone C ⊂ U is said to be normal if there exists a constant M > 0 such that for
all ψ, ω ∈ U, θ ≤ ψ ≤ ω implies ψ ≤ M ω . For ψ, ω ∈ U, the notation ψ ∼ ω
means that there exist μ, ν > 0 such that μψ ≤ ω ≤ νψ. For θ < η ∈ U, denote
Cη = {ψ ∈ U | ψ ∼ η}, with Cη ⊂ C. Let e ∈ C with θ ≤ e ≤ η, denote a set
Cη,e = {ψ ∈ U | ψ + e ∈ Cη }.
Then one can see that η ∈ Cη,e and for any ψ ∈ U there exists μ = μ(η, e, ψ) >
0 and ν = ν(η, e, ψ) > 0 such that μη ≤ ψ + e ≤ νη. An operator Υ : U → U is
increasing if ψ ≤ ω implies Υ (ψ) ≤ Υ (ω).
Definition 1 (Zhai and Wang [21]) Let Υ : Cη,e → U be a given operator. For any
ψ ∈ Pη,e and ξ ∈ (0, 1), there exists ϕ(ξ) > ξ such that
Υ (ξψ + (ξ − 1)e) ≥ ϕ(ξ)Υ (ψ) + (ϕ(ξ) − 1)e.
Then Υ is called a ϕ − (η, e)-concave operator.

Lemma 1 (Kilbas et al. [9]) Let d1 ≥ 0. Then H
D1d1 ψ(x) = 0 has a solution of the
form:
n
ψ(x) = c j (ln x)d1 − j , (2)
j=1
where c j ∈ R and n = [d1 ] + 1, in addition
n
D1 ψ(x)
H d1 H d1
I1 = ψ(x) + c j (ln x)d1 − j . (3)
j=1
Lemma 2 (Zhai and Wang [21]) Let C be normal and Υ be an increasing ϕ − (η, e)-
concave operator, Υ (η) ∈ Cη,e , then Υ has a unique fixed point ψ ∗ in Cη,e . Moreover,
for any ψ0 ∈ Cη,e , making the sequence ψn = Υ (ψn−1 ), n = 1, 2, . . . , then ψn −
ψ ∗ → 0 as n → ∞.
Lemma 3 (Nain et al. [14]) Let ϑ ∈ C[1, e]. Then the Hadamard FBVP
H
D1d1 ψ(x)) + ϑ(x) = 0,
e ρ(x)ψ(x) (4)
ψ(1) = δψ(1) = 0, ψ(e) = 1 x
dx
has unique solution given by

e
dw
ψ(x) = H (x, w)ϑ(w) , (5)
1 w
where
H (x, w) = H1 (x, w) + H2 (x, w), (6)
1 (ln x)d1 −1 (1 − ln w)d1 −1 − (ln wx )d1 −1 , 1 ≤ w ≤ x ≤ e,

H1 (x, w) = (7)
Γ (d1 ) (ln x)d1 −1 (1 − ln w)d1 −1 , 1 ≤ x ≤ w ≤ e,
(ln x)d1 −1 e
dx
H2 (x, w) = H1 (x, w) p(x) , (8)
1−a 1 x
e
dx
a= (ln x)d1 −1 p(x) > 1. (9)
1 x
Lemma 4 (Nain et al. [14]) The function H1 (x, w) is a continuous function along
with H1 (x, w) > 0 and
(ln x)d1 −1 (1 − ln x)(1 − ln w)d1 −1 ln w ≤ Γ (d1 )H1 (x, w) ≤ (d1 − 1)(1 − ln w)d1 −1 ln w.
Furthermore, the function H (x, w) satisfies
(ln x)d1 −1 ln w(1 − ln w)d1 −1 a (ln x)d1 −1 (1 − ln w)d1 −1

≤ H (x, w) ≤ , (10)
Γ (d1 )(1 − a) Γ (d1 )(1 − a)
e
dx
where a = (ln x)d1 −1 (1 − ln x) ≥ 0.
1 x
In order to study the FVBP (1), first consider the associated linear form of FVBP (1)
as follows:
⎧ H d2
⎨ D1 (φ p ( H D1 1 ψ(x) − χ(x))) + ϑ(x) e = 0, 1 < x < e,
d
ψ(1) = δψ(1) = 0, ψ(e) = 1 ρ(x)ψ(x) dx, (11)

⎩ x
D1 ψ(1) = 0,
H d1
for ϑ ∈ C([1, e], R) and ϑ ≥ 0.
Lemma 5 If χ ∈ C([1, e], R) with χ(1) = 0. Then (11) has the unique solution
given by
e e
dw dw
ψ(x) = H (x, w)φq ( H I1d2 ϑ(w)) − H (x, w)χ(w) . (12)
1 w 1 w
Proof Let Θ = H
D1d1 ψ, ν = φ p (Θ − χ). Then the initial value problem
D1d2 (ν(x)) + ϑ(x) = 0,

H
(13)
ν(1) = φ p ( H D1d1 ψ(1) − χ(1)) = φ p (0) = 0
has the solution

ν(x) = c1 (ln x)d2 −1 − H I1d2 ϑ(x).
Note that ν(1) = 0, 0 < d2 ≤ 1, we get c1 = 0. Therefore,
ν(x) = − H I1d2 ϑ(x), 1 ≤ x ≤ e
φ p (Θ − χ)(x) = − H I1d2 ϑ(x),

Θ(x) = φq (− H I1d2 ϑ(x)) + χ(x),
H
D1d1 ψ(x) = φq (− H I1d2 ϑ(x))
e+ χ(x) (14)
ψ(1) = δψ(1) = 0, ψ(e) = 1 ρ(x)ψ(x)x
dx.
Therefore, by following Lemma 3, the solution of equation (14) can be expressed as

follows:
e e
ψ(x) = 1 H (x, w)φq ( H I1d2 ϑ(w)) dw
w
− 1 H (x, w)χ(w) dw w
(q−1) d2 −1
e w
= Γ (d2 )
1
1 H (x, w)φq 1
w
ln t ϑ(t) t w
dt dw (15)
e
− 1 H (x, w)χ(w) w w
.
3 Existence and Uniqueness
Let U = C(J, R) be a Banach space of continuous functions, where J := [1, e] with

norm ψ = sup{|ψ(x)| : x ∈ J} and this space is endowed with the following partial
order:
ψ, ζ ∈ C[1, e], ψ ≤ ζ ⇔ ψ(x) ≤ ζ(x), x ∈ J.
Also, C = {ψ, ∈ U, ψ(x) ≥ 0, x ∈ J} forms a standard normal cone and set

e
dw
e(x) = H (x, w)χ(w) .
1 w
Theorem 1 Assume χ(x) ≥ 0, χ(x) ≡ 0, x ∈ [1, e], and

(H1) Φ : [1, e] × [−e∗ , +∞) → (−∞, +∞) is increasing w.r.t. second variable,
where e∗ = max{e(x), x ∈ [1, e]}.
υ(ξ)
(H2) For any ξ ∈ (0, 1) there exists υ(ξ) ∈ (0, 1) with lnln(ξ) > (q−1)
1
such that
Φ(x, ξμ + (ξ − 1)ν) ≥ υ(ξ)Φ(x, μ); x ∈ [1, e], μ ∈ (−∞, +∞), ν ∈ [0, e∗ ]
(H3) Φ(x, 0) ≥ 0, Φ(x, 0) ≡ 0, x ∈ [1, e].

Then the FBVP (1) has a unique nontrivial solution ψ ∗ in Cη,e , where η(x) =
K (ln x)d1 −1 with
e
(1 − ln w)d1 −1 dw
K ≥ χ(w) .
1 Γ (d1 )(1 − a) w
Moreover, for arbitrary ψ0 ∈ Cη,e , constructing an iterative sequence

(q−1) e w d2 −1
1 w dt dw
ψn (x) = H (x, w)φq ln Φ(t, ψn−1 (t))
Γ (d2 ) 1 1 t t w
e
dw
− H (x, w)χ(w) , n = 1, 2, . . .
1 w
and ψn (x) → ψ ∗ (x) as n → ∞.

Proof In order to apply Lemma 2, construct the set Cη,e with respect to function
η and e. First, we show that 0 ≤ e(x) ≤ η(x), x ∈ J. From, Lemma 4, H (x, w) ≥
0 and χ(x) ≥ 0, thus for x ∈ J,
e
dw
e(x) = H (x, w)χ(w) ≥ 0, (16)
1 w
which means that e ∈ C. Again, with the help of Lemma 4, for x ∈ J,

e
e(x) = 1 H (x, w)χ(w) dw
w
e (ln x)d1 −1 (1−ln w)d1 −1
≤ 1 Γ (d1 )(1−a)
χ(w) dw
w
e (1−ln w)d1 −1 d1 −1
(17)
= 1 Γ (d1 )(1−a) χ(w) w × (ln x)
dw
d1 −1
≤ K (ln x) = η(x).
Therefore, concluding from (16) and (17), 0 ≤ e(x) ≤ η(x) and the set Cη,e = {ψ ∈
U, ψ + e ∈ Cη } is well defined.
The FBVP (1) has the following integral representation, which is due to Lemma 5
is as follows:
(q−1) e w d2 −1
1 w dt dw
ψ(x) = H (x, w)φq ln Φ(t, ψ(t))
Γ (d2 ) 1 1 t t w
e
dw
− H (x, w)χ(w)
1 w
q−1 e w d2 −1
1 w dt dw
= H (x, w)φq ln Φ(t, ψ(t)) − e(x),
Γ (d2 ) 1 1 t t w
where H (x, w) is given in (6). Using the above integral representation of solution,
set an operator Υ : Cη,e → U which is defined as follows:
(q−1) e w
1 w d2 −1 dt dw
(Υ ψ)(x) = H (x, w)φq ln Φ(t, ψ(t)) − e(x).
Γ (d2 ) 1 1 t t w
(18)
Obviously, ψ(x) is the solution of the problem (1) if and only if ψ(x) = (Υ ψ)(x),
i.e., Υ has a fixed point. The operator φq is monotone increasing in [0, +∞) and
suppose ψ ∈ Cη,e , ξ ∈ (0, 1)
Υ (ξψ + (ξ − 1)e)(x) =
(q−1) e w
1 w d2 −1 dt dw
H (x, w)φq ln Φ(t, ξψ(t) + (1 − ξ)e(t)) − e(x)
Γ (d2 ) 1 1 t t w
(q−1) e w d2 −1
1 w dt dw
≥ (υ(ξ))(q−1) H (x, w)φq ln Φ(t, ψ(t)) − e(x)
Γ (d2 ) 1 1 t t w
(q−1) e w
1 w d2 −1 dt dw
= (υ(ξ))(q−1) H (x, w)φq ln Φ(t, ψ(t)) − e(x)
Γ (d2 ) 1 1 t t w
+ (υ(ξ))(q−1) e(x) − e(x)
= (υ(ξ))(q−1) Υ ψ(x) + [(υ(ξ))(q−1) − 1]e(x).
υ(ξ)
Set ϕ(ξ) = (υ(ξ))(q−1) for ξ ∈ (0, 1). From (H2), lnln(ξ) > (q−1)
1
for ξ ∈ (0, 1),
which implies
ln ϕ(ξ) = (q − 1) · ln(υ(ξ))
υ(ξ)
= (q − 1) · lnln(ξ) · ln(ξ)
> (q − 1) · (q−1) · ln(ξ) = ln(ξ),
1
which gives ϕ(ξ) > ξ, for ξ ∈ (0, 1).Hence, for ψ ∈ Cη,e , ξ ∈ (0, 1), we obtain
Υ (ξψ + (ξ − 1)e) ≥ ϕ(ξ) · Υ (ψ) + [ϕ(ξ) − 1] · e.
Therefore,Υ : Cη,e → U is ϕ − (η, e)-concave operator.

For ψ ∈ Cη,e , we have ψ + e ∈ Cη and thus there exists ρ > 0 such that ψ(x) +
e(x) ≥ ρη(x), x ∈ J. Hence, using this argument, we obtain ψ(x) ≥ ρη(x) − e(x) ≥
−e(x) ≥ e∗ and using (H1), we deduce that Υ : Cη,e → U is increasing.
Finally, we show that Υ (η) ∈ Cη,e , i.e., Υ (η) + e ∈ Cη . Let
(Υ η)(x) + e(x)
(q−1) e w
1 w d2 −1 dt dw
= H (x, w)φq ln Φ(t, η(t))
Γ (d2 ) 1 1 t t w
(q−1) e w
1 w d2 −1 d1 −1 dt dw
= H (x, w)φq ln Φ(t, K (ln t) )
Γ (d2 ) 1 1 t t w
(q−1) e −1 −1 w d2 −1
1 (ln x) d1 (1 − ln w) d1 w dt dw
≤ φq ln Φ(t, K )
Γ (d2 ) 1 Γ (d1 )(1 − a) 1 t t w
(q−1) e w d2 −1
1 1 w dt dw
= (1 − ln w)d1 −1 φq ln Φ(t, K ) · (ln x)d1 −1
Γ (d2 ) Γ (d1 )(1 − a) 1 1 t t w
(q−1) w
1 1 e w d2 −1 dt dw
= (1 − ln w)d1 −1 φq ln Φ(t, K ) · η(x),
Γ (d2 ) K Γ (d1 )(1 − a) 1 1 t t w
and
(Υ η)(x) + e(x)
(q−1) e w
1 w d2 −1 dt dw
= H (x, w)φq ln Φ(t, K (ln t)d1 −1 )
Γ (d2 ) 1 1 t t w
(q−1) e w
1 (ln x)d1 −1 (ln w)(1 − ln w)d1 −1 a w d2 −1 dt dw
≥ φq ln Φ(t, 0)
Γ (d2 ) 1 Γ (d1 )(1 − a) 1 t t w
(q−1) w d2 −1
1 a e w dt dw
= (ln w)(1 − ln w)d1 −1 φq ln Φ(t, 0) · (ln x)d1 −1
Γ (d2 ) Γ (d1 )(1 − a) 1 1 t t w
(q−1) w
1 a e w d2 −1 dt dw
= (ln w)(1 − ln w)d1 −1 φq ln Φ(t, 0) · η(x).
Γ (d2 ) K Γ (d1 )(1 − a) 1 1 t t w
Fix
(q−1) w
1 a e w d2 −1 dt dw
μ= (ln w)(1 − ln w)d1 −1 φq ln Φ(t, 0) ,
Γ (d2 ) K Γ (d1 )(1 − a) 1 1 t t w
(q−1)
1 1 e w w d2 −1 dt dw
ν= (1 − ln w)d1 −1 φq ln Φ(t, K ) ,
Γ (d2 ) K Γ (d1 )(1 − a) 1 1 t t w
and
(q−1) w
1 1 e w d2 −1 dt dw
ν= (1 − ln w)d1 −1 φq ln Φ(t, K )
Γ (d2 ) K Γ (d1 )(1 − a) 1 1 t t w
(q−1) e w d2 −1
1 a w dt dw
≥ (1 − ln w)d1 −1 φq ln Φ(t, 0)
Γ (d2 ) K Γ (d1 )(1 − a) 1 1 t t w
(q−1) −1
1 a e w w d2 dt dw
≥ (1 − ln w)d1 −1 φq ln Φ(t, 0)
Γ (d2 ) K Γ (d1 )(1 − a) 1 1 t t w
(q−1) w d2 −1
1 a e w dt dw
≥ (ln w)(1 − ln w)d1 −1 φq ln Φ(t, 0)
Γ (d2 ) K Γ (d1 )(1 − a) 1 1 t t w
=μ > 0.
Thus, there are two functions μ and ν such that μη ≤ Υ (η) + e ≤ νη which implies
Υ (η) + e ∈ Cη .
Therefore, Υ satisfies all the conditions of Lemma 2 and thus Υ has a unique fixed
point ψ ∗ ∈ Cη,e and thus
(q−1) e w
1 w d2 −1 dt dw
ψ ∗ (x) = H (x, w)φq ln Φ(t, ψ ∗ (t)) − e(x), x ∈ [1, e],
Γ (d2 ) 1 1 t t w
i.e., ψ ∗ (x) is the solution of the problem (1). Moreover, for any ψ0 ∈ Cη,e , the
sequence ψn = Υ ψn−1 , n = 1, 2, . . . , satisfies ψn → ψ ∗ as n → ∞.Namely,
(q−1) e w d2 −1
1 w dt dw
ψn (x) = H (x, w)φq ln Φ(t, ψn−1 (t))
Γ (d2 ) 1 1 t t w
e
dw
− H (x, w)χ(w) , n = 1, 2, . . .
1 w
and ψn (x) → ψ ∗ (x) as n → ∞.
Remark 1 For some FBVP, we can derive functions e(x), η(x) and construct func-
tions which satisfies the postulates of Theorem 1. For example, suppose Φ(x, ψ) =
13
e(x)
e∗
ψ + e(x) , where θ ≤ e(x) ≤ η(x). Then Φ is increasing w.r.t. second variable
and Φ ≡ 0. Set ϕ(ξ) = ξ 3 , then for ξ ∈ (0, 1), μ ∈ (−∞, ∞), ν ∈ [0, e∗ ],
1
13
e(x)
Φ(x, ξμ + (ξ − 1)ν) = [ξμ + (ξ − 1)ν] + e(x)
e∗
1
1 e(x) 1 e(x) 3
=ξ 3 μ+ 1− ν +
e∗ ξ ξ
1
1 e(x) 1 e(x) e(x) 3
=ξ 3 μ+ 1− ν+
e∗ ξ e∗ ξ
13
1 e(x)
≥ξ 3 μ + e(x) = ϕ(ξ)Φ(x, μ).
e∗
4 Conclusion
The existence and uniqueness of solution together with an iterative method has been
established for a Hadamard FBVP. The result has been established using a fixed point
theorem for ϕ − (η, e)-concave operator in a partially ordered cone. The method for
constructing the solution presented in Theorem 1 starts with a simple function which
is useful for computational purpose.
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Eigenvalue Criteria for Existence
and Nonexistence of Positive Solutions
for α-Order Fractional Differential
Equations on the Half-Line (2 < α ≤ 3)
with Integral Condition
Abdelhamid Benmezai, Souad Chentout, and Wassila Esserhan
Abstract This article concerns the nonexistence and existence of positive solutions
to the fractional differential equations
⎧ α
⎨ D u(t) + f (t, u(t)) = 0 0 ≤ t < +∞
η
⎩ u(0) = D α−2 u(0) = 0 lim D α−1 u(t) = A u(s)dμ(s)
t→+∞ 0
where η, A ∈ (0, +∞), and 2 < α ≤ 3, μ(t) is the continuous nondecreasing func-
η
tion on (0, +∞), with μ(0) = 0 and u(s)dμ(s) denotes the Riemann–Stieljes
0
integrals of u with respect to μ; D α is standard Riemann–Liouville derivative,
f : R+ × R+ → R+ is a continuous function.
Keywords Fractional differential equation · Fixed point index theory · Boundary

value problems · Positive solutions · Green’s function · Integral condition
1 Introduction and Main Results
Since fractional differential equations are considered as alternative models for the
nonlinear differential equations, the study of the existence of positive solutions
to boundary value problems associated with fractional differential equations has
become a very important area of applied mathematics over the last few decades.
A. Benmezai
National Higher School of Mathematics, Algiers, Algeria
S. Chentout (B)
Faculty of Mathematics, USTHB, Algiers, Algeria
e-mail: chentout@yahoo.fr
W. Esserhan
ENSSEA, Pole Universitaire KOLEA, 42003 Tipaza, Algeria
https://doi.org/10.1007/978-981-99-0597-3_14
184 A. Benmezai et al.
Such a subject has been discussed in many recent papers; see for examples,
[5, 6, 13], and references therein. We are concerned in this paper with the nonexis-
tence and existence of positive solutions of the fractional boundary value problem
(fbvp):

D α u(t) + f (t, u(t)) = 0, 0 ≤ t < +∞ η (1)
u(o) = D α−2 u(o) = 0, limt→+∞ D α−1 u(t) = A 0 u(s)dμ(s)
where η, A ∈ (0, +∞),

η 2≺ α ≤ 3, μ(t) is continuous on (0, +∞), and non-decreasing
with μ(0) = 0 and 0 u(s)dμ(s) denotes the Riemann–Stieljes integrals of u with
respect to μ;
D α is standard Riemann–Liouville derivative, f : R+ × R+ → R+ is a con-
tinuous function. Motivated by the works in [2–4, 12, 13], we want to establish
nonexistence and existence results to the fbvp (1) under eigenvalue criteria. Set
+∞

Dα = q ∈ C R+ , R+ : q(s) > 0 a.e. s > 0 and q(s)(1 + s)α−1 ds < ∞ .
0
A continuous function h : R+ × R+ → R+ is said to be Dα -Caratheodory if for

all r > 0 there is Ψr ∈ Dα such that
(1 + t)α−1 h(t, u) ≤ a(t) + b(t) |u|ρ , for all t, u ∈ R+ .

where ρ ∈ (0, +∞) and a, b ∈ Dα ∈ C R+ with b(s) = (1 + s)(α−1)(ρ−1) b(s),
is a typical Dα -Caratheodory function. Consider for q in Dα the linear fractional
boundary value problem:
D α u(t) + ρq(t)u(t) = 0 0 ≤ t < +∞

u(0) = D α−2 u(0) = 0,
η (2)
lim D α−1 u(t) = A 0 u(s)dμ(s) .
t→+∞
where ρ is a real parameter.

Proposition 1 See [2]. For all functions q in Dα , the fbvp (2) admits a unique
positive eigenvalue ρα (q).
Proposition 2 See [2]. Assume that the nonlinearity f is a Dα -Caratheodory func-
tion and there exists q ∈ Dα such that one of the following Hypotheses (3) or (4)
ρα (q) < 1 and f (t, u) ≥ q(t)u for all t, u ≥ 0 (3)
ρα (q) > 1 and f (t, u) ≤ q(t)u for all t, u ≥ 0 (4)
holds true. Then the fbvp (1) has no positive solutions.

Eigenvalue Criteria for Existence and Nonexistence of Positive … 185
The existence result for positive solutions of the fbvp (1) needs the introduction
of the following additional notations. Set for a Dα -Caratheodory function h : R+ ×
R+ → R+ , q ∈ Dα , and ν = 0, +∞

h(t, (1 + t)α−1 u)
h+
ν (q) = lim sup max ,
u→v t≥0 (1 + t)α−1 q(t)u

h(t, (1 + t)α−1 u)
h−
ν (q) = lim inf min ,
u→v t≥0 (1 + t)α−1 q(t)u
Theorem 1 Assume that the nonlinearity f is Dα -Caratheodory function and there

exist two functions q0, q∞ in Dα such that one of the following hypotheses (5) or (6)
holds true:
+
f +∞ (q∞ ) f − (q0 )
<1< 0 . (5)
ρα (q∞ ) ρα (q0 )
f 0+ (q0 ) f − (q0 )
< 1 < +∞ . (6)
ρα (q0 ) ρα (q∞ )
Then the fbvp (1) admits a positive solution.
2 Abstract Background
Let X be a real Banach space, the standard notations L(X ) and r (L) refer, respec-
tively, to the set of all linear bounded self-mapping defined on X .
Definition 1 A nonempty closed convex subset K of B is called a cone if
1. tx ∈ K for all x∈ K and t≥ 0.
2. K ∩ (−K ) = {0 B }
Given a cone K ⊂ B,we defined a partial order on B, denoted by “≤”, as follows
for all x, y ∈ B, x ≤ y if y − x ∈ K and y = x and x y if y − x ∈
/ K . Notations
≥, >, and denote, respectively, reverse situations.
Definition 2 Let L be a compact operator. L is said to be
1. positive, if L(K ) ⊂ K ;
2. Strongly positive, if int (K ) = ∅ and L(K \ {0 X }) ⊂ int (K );
3. lower bounded on the cone K , if
inf { Lu : u ∈ K ∩ ∂ B(0 E , 1)} > 0.

In all what follows, L K (X ) denotes the subset of all positive compact operators
in L(X ) and we set for all L ∈ L K (X )
Λ L = {θ ≥ 0 : ∃u > 0 X such that Lu ≥ θu}

Γ L = {θ ≥ 0 : ∃u > 0 X such that Lu ≤ θu}
Definition 3 Let L be an operator in L K (X ) and ρ positive. The operatorL is said

to have the strong index jump property (SIJP for short) at ρ if
r (L) = sup Λ L = inf Γ L .
Proposition 3 See [1]. Let L be an operator in L K (X ). If L is strongly positive,

then L has the SIJP in r (L).
Proposition 4 Let T : K → K be a continuous mapping and L ∈ L K (X ) having

the SIJP at r (L). If either
r (L) > 1 and T u Lu for all u ∈ K (7)
or
r (L) < 1 and T u Lu for all u ∈ K , (8)
then T has no positive fixed point.
Theorem 2 Let T : K → K be a completely continuous mapping and assume that

there exist two operators L 1 , L 2 ∈ L c (B) and two functions F1 , F2 : K → K such
that L 1 is lower bounded on K and has SIJP at r (L 1 )
r (L 2 ) < 1 < r (L 1 ) and for all u ∈ K
L 1 u − F1 u T u L 2 u + F2 u.
If either
F1 u = ◦ ( u ) as u → ∞ and F2 u = ◦ ( u ) as u → (9)
or
F1 u = ◦ ( u ) as u → 0 and F2 u = ◦ ( u ) as u → ∞, (10)
then T has a positive fixed point. For a delaited presentation on fixed point theory
see [8] and [14].
3 Riemann–Liouville Derivative
Now, let us recall some basic facts related to the theory of fractional differential
equations. Let β be a positive real number, the Riemann–Liouville fractional integral
of order β of a function f : (0, +∞) → R is defined by
t
β 1
I 0+ f (t) = (t − s)β−1 f (s)ds, (11)
Γ (β) 0
where Γ (β) is the gamma function, provided that the right side is pointwise
defined on (0, +∞). For example, we have where n = [β] + 1, [β] denotes the
integer part of the number β, provided that the right side is pointwise defined on
β
(0, ∞). As a basic example, we quote for σ > −1, D0+ t σ = Γ Γ(σ−β+1)
(σ+1) σ−β
t . Thus,
β
if u ∈ C (0, 1) ∩ L 1 (0, 1), then the fractional differential equation D0+ u(t) = 0 has
i=[β]+1 β−i
u(t) = i=1 ci t , ci ∈ R, as unique solution and if u has a fractional derivative
of order β in C (0, 1) ∩ L 1 (0, 1), then
β β

i=[β]+1
I0+ D0+ u(t) = u(t) + ci t β−i , ci ∈ R. (12)
i=1
For a detailed presentation on fractional differential calculus, see [10] and [11].
4 Fixed Point Formulation
Now, we introduce some spaces and operators needed for the proof of the main
results. we let E be the linear space defined by

u(t)
E = u ∈ C R+ , R , lim α−1 exists
t→+∞ t
equipped with the norm
|u(t)|
u E = sup α−1
t∈[0,+∞[ (1 + t)
(E, . E ) is a Banach space.

In all what follows E+ denotes the cone of nonnegative functions in E and the
subset P of E defined by
P = {u ∈ E, u(t) ≥ γ1 (t) u E , for all t ≥ 0}

where
1
γ1 (t) = min(λ, λt α−1 ) and λ = η 1
1
γ(η)
+ 1
(1−σ)Γ (α) 0 γ(t)
dμ(t) (1 + η)α−1
is a cone in E.
η
Lemma 1 If σ = A
Γ (α) 0 t α−1 dμ(t) ≺ 1 and q(t) ∈ L 1 ([0, +∞)), then the fbvp
⎧
⎪ α
⎨ D u(t) + q(t) = 0 0 ≤ t < +∞
u(0) = D α−2 u(0) = 0,
(13)
⎪
⎩ lim D α−1 u(t) = A 0η u(s)dμ(s).
t→+∞
has a unique solution given by

+∞
u(t) = G(t, s)q(s)ds
0
where G(t, s) is the Green’s function defined by

η
At α−1
G(t, s) = G 1 (t, s) + (G 1 (t, s)dμ(t))
(1 − σ) Γ (α) 0
and α−1
1 t − (t − s)α−1 t ≥s
G 1 (t, s) = α−1
Γ (α) t t ≤s
Proof Applying the operator I α , we obtain from (13), that u is solution to

D α u(t) + q(t) = 0 if and only if
t
1
u(t) = C1 t α−1 + C2 t α−2 + C3 t α−3 − (t − s)α−1 q(s)ds
Γ (α) 0
consequently, the boundary conditions

u(o) = 0 lead C3 = 0
We have
t
1
u(t) = C1 t α−1 + C2 t α−2 − (t − s)α−1 q(s)ds
Γ (α) 0
and t
1
D α−2 u(t) = − (t − s)q(s)ds + C1 Γ (α)t + C2 Γ (α − 1)
Γ (2) 0
Dα−2 u(0) = 0 =⇒ C2 = 0
t
1
u(t) = C1 t α−1 − (t − s)α−1 q(s)ds
Γ (α) 0
and t
D α−1 u(t) = − q(s)ds + C1 Γ (α)
0
+∞ η
Lim t→+∞ D α−1 u(t) = − q(s)ds + C1 Γ (α) = A u(s)dμ(s)
0 0
hence +∞ η
1 A
C1 = q(s)ds + u(s)dμ(s)
Γ (α) 0 Γ (α) 0
We obtain
+∞ η
t α−1 At α−1 1 t
u(t) = q(s)ds + u(s)dμ(s) − (t − s)α−1 q(s)ds
Γ (α) 0 Γ (α) 0 Γ (α) 0
t +∞
1 α−1 α−1 1
u(t) = t − (t − s) q(s)ds + t α−1 q(s)ds
Γ (α) 0 Γ (α) t

At α−1 η
+ u(s)dμ(s)
Γ (α) 0
+∞
At α−1 η
= G 1 (t, s)q(s)ds + u(s)dμ(s)
0 Γ (α) 0
Integrating once again u(t) from 0 to η gives

η η +∞
u(t)dμ(t) = G 1 (t, s)q(s)ds dμ(t)
0 0 0
η η
A
+ t α−1 dμ(s) u(s)dμ(s)
Γ (α) 0 0
Which means
η η η +∞
A
1− t α−1 dμ(t) u(t)dμ(t) = G 1 (t, s)q(s)ds dμ(t)
Γ (α) 0 0 0 0
η +∞
η G 1 (t, s)q(s)ds dμ(t)
0 0
u(t)dμ(t) = η
0 1 − Γ (α)
A
t α−1 dμ(s)
0
so
η +∞

+∞ G 1 (t, s)q(s)ds dμ(t)
0 0
u(t) = G 1 (t, s)q(s)ds +
η α−1
0 1 − Γ (α)
A
0 t dμ(s)
+∞ α−1 η
At
= G 1 (t, s) + (G 1 (t, s)dμ(t)) q(s)ds
0 (1 − σ) Γ (α) 0
+∞
u(t) = G(t, s)q(s)ds
0
where
η
At α−1
G(t, s) = G 1 (t, s) + (G 1 (t, s)dμ(t))
(1 − σ) Γ (α) 0
η
σ= A
Γ (α) 0 t α−1 dμ(s) and
α−1
1 t − (t − s)α−1 t ≥s
G 1 (t, s) = α−1
Γ (α) t t ≤s
Lemma 2 If 0 < σ < 1

∂G 1
1. The functions G 1 and ∂t
are continuous and have the following properties:
G 1 (0, s) = 0 for all s 0 (14)
2. For all t, s ∈ [0, +∞[

t α−1
0 < G 1 (t, s) ≤ (15)
Γ (α)
3.
(t,s)
limt→0 Gt1α−1 = Γ (α)
1
≺∞
(t,s) (16)
limt→+∞ Gt1α−1 0
4.
G 1 (τ , s)
G 1 (t, s) ≥ γ(t) , for all t, τ , s ≥ 0 with γ(t) = min(1, t α−1 )
(1 + τ )α−1
(17)
5.
∂G 1
(t, s) > 0 for all t, s ∈ [0, +∞[. (18)
∂t
Proof See [2].
Lemma 3 G(t, s) has the following proprieties:
1. α−1
Aη α−1 t
G(t, s) ≤ 1 + μ(η) (19)
1−σ Γ (α)
2.
G(τ , s)
G(t, s) ≥ γ1 (t) for t, s, τ ≥ 0 (20)
(1 + τ )α−1
1
where γ1 (t) = λγ(t), and λ = η ,
1
γ(η)
+ 1
1−σ 0
1
γ(t)
dμ(t)
3.
η
G(t, s) 1 G(t, s) A
lim = ≺ ∞, lim = (G 1 (t, s)dμ(t)) > 0
t→0 t α−1 Γ (α) t→+∞ t α−1 (1 − σ) Γ (α) 0
(21)
∂G
(t, s) 0 for all t, s ∈ [0, +∞[ (22)
∂t
Proof Properties (19), (21), and (22) are easy to check. Let us prove property (20)
t α−1
η
G(t, s) G 1 (t, s) + (1−σ)Γ (α) 0 (G 1
(t, s)dμ(t))
= η (23)
G(τ , s) τ
G 1 (τ , s) + (1−σ)Γ
α−1
(α) 0 (G 1
(τ , s)dμ(τ ))
for (17), we have
G 1 (η, s) (1 + τ )α−1 G 1 (η, s)

G 1 (t, s) ≥ γ(t) , G 1 (τ , s) ≤ (24)
(1 + η)α−1 γ(η)
and increasing of G 1 , we have
G 1 (η,s) t α−1
η G 1 (η,s)
G(t, s) γ(t) (1+η) α−1 + 1−σ 0 γ(k) (1+η) α−1 dμ(k) γ(t)
G(r, s)
≥
(1+τ )α−1 G 1 (η,s) τ α−1
η (1+η)α−1 G 1 (η,s) ≥λ
(1 + τ )α−1
(25)
γ(η)
+ 1−σ 0 γ(k)
dμ(k)
with
1
λ= η 1
1
γ(η)
+ A
(1−σ)Γ (α) 0 γ(t)
dμ(t) (1 + η)α−1
proving property (20) of the function G.
In order to prove the compactness of operators, we use the following Lemma.

Lemma 4 See [7]. A nonempty subset N of E is relatively compact if the following
conditions hold:
1. N is bounded in E,
2. the function belonging to u : u(t)= (1+t)α−1 , x ∈ N
x(t)
are locally equicontinuous
on [0, +∞[, that is, equicontinuous
on every compact interval
of R+ and
3. the functions belonging to u : u(t) = (1+t) α−1 , x ∈ N
x(t)
are equiconvergent at
+∞, that is, given ε 0, there corresponds T (ε) 0 such that |x(t) − x(+∞)|
≺ ε, for any t T (ε) and x ∈ N .
Lemma 5 Let h : R+ × R+ → R+ be a Dα -Caratheodory function. The oper-

η
ator Th u(t) = 0 G(t, s)h(s, u(s))ds, is well defined and is completely continu-
ous.Moreover, if h(t, u) ≥ 0
α
D u(t) + h(t, u(t)) = 0 0 ≤ t < +∞ η (26)
u(o) = D α−2 u(o) = 0, limt→+∞ D α−1 u(t) = A 0 u(s)dμ(s)
for all t, u ≥ 0, then Th (E + ) ⊂ P and u ∈ E is a fixed point of Th if and if u is

solution to (??).
Proof We show that the operator T : E → Eis relatively compact.

Let Ω ⊂ B(0 E , R) be subset of E, we have then for all u∈ Ω
+∞
|T u| G(t, s) u(s)
≤ f (s, (1 + s)α−1 ds
(1 + t)α−1 0 (1 + t) α−1
(1 + s)α−1

Aη α−1
1 + (1−σ)Γ μ(η) +∞
(α) u(s)
≤ (1 + s)α−1 Ψ ds
Γ (α) 0 (1 + s)α−1

Aη α−1
1 + (1−σ)Γ μ(η) +∞
(α)
≤ (1 + s)α−1 Ψ R (s)ds ≺ ∞
Γ (α) 0
Hence, T Ω is uniformly bounded.

To show that T Ω is equicontinuous on any compact interval of [0, +∞[, let
θ 0, t1 , t2 ∈ [0, θ] , t2 t1 and u ∈ Ω. Then
T u(t2 ) T u(t1 )
α−1
−
(1 + t2 ) (1 + t1 )α−1
+∞
G(t2 , s) G(t1 , s)
= − f (s, u(s))ds
0 (1 + t2 )α−1 (1 + t1 )α−1
+∞
G(t2 , s) − G(t1 , s) 1 1
= + − G(t 1 , s) f (s, u(s))ds
0 (1 + t2 )α−1 (1 + t2 )α−1 (1 + t1 )α−1
We have mean value theorem
1 1
− ≤ (α − 1) |t1 − t2 | (1 + c)α−2
(1 + t2 )α−1 (1 + t1 )α−1
T u(t2 ) T u(t1 )
α−1
− ≤
(1 + t2 ) (1 + t1 )α−1

+∞ |G(t2 , s) − G(t1 , s)| (1 + t1 )α−1 _ (1 + t2 )α−1 u(s)
+ G(t1 , s) f (s, (1 + s)α−1 ) )ds
0 (1 + t2 )α−1 (1 + t1 )α−1 (1 + t2 )α−1 (1 + s)α−1

+∞ |G(t2 , s) − G(t1 , s)| (α − 1) |t1 − t2 | (1 + c)α−2 u(s)
≤ + G(t1 , s) (1 + s)α−1 Ψ ( )ds
0 (1 + t2 )α−1 (1 + t1 )α−1 (1 + t2 )α−1 (1 + s)α−1

+∞ |G(t2 , s) − G(t1 , s)| (α − 1) |t1 − t2 | (1 + c)α−2
≤ + G(t1 , s) (1 + s)α−1 Ψ R (s)ds
0 (1 + t2 )α−1 (1 + t1 )α−1 (1 + t2 )α−1
since for s ∈ [0, +∞[, the function t → G(t, s) is continuous on the compact interval
[0, θ] then it is uniformly continuous on [0, θ] ,
Hence
|G(t2 , s) − G(t1 , s)| → 0 uniformly as |t1 − t2 | → 0
so
T u(t2 ) T u(t1 )
α−1
− →0
(1 + t2 ) (1 + t1 )α−1
uniformly as |t1 − t2 | → 0
Thus, TΩ is locally equicontinuous on [0, +∞[.

We show that T Ω is equiconvergent at infinity. For any u ∈ Ω, we get f ∈
L 1 ([0, +∞[). Moreover

T u(t)
lim
t→+∞ (1+t)α−1
+∞ G(t,s) t α−1
η
= lim 0 α−1 + (1−σ)(1+t)α−1 0 (G(t, s)dμ(t)) f (s, u(s)ds
t→+∞ (1+t)
t t α−1 −(t−s)α−1 t α−1
+∞
1
Γ (α) 0 f (s, u(s)ds + f (s, u(s)ds
(1+t)α−1 Γ (α)(1+t)α−1 t
=
lim
t→+∞ t α−1 η
t t α−1 −(t−s)α−1 t α−1
+∞
1
Γ (α) 0 α−1 f (s, u(s)ds + α−1 f (s, u(s)ds dμ(t)
1−σ 0 (1+t) Γ (α)(1+t) t
and we have
+∞
|T u| G(t, s) u(s)
≤ f (s, (1 + s)α−1 ds
(1 + t)α−1 0 (1 + t)α−1
(1 + s)α−1
+∞
G(t, s) u(s)
≤ α−1
(1 + s)α−1 Ψ ( )ds
0 (1 + t) (1 + s)α−1
+∞
G(t, s)
≤ (1 + s)α−1 Ψ R (s)ds ≺ ∞
0 (1 + t)α−1
the property (21) of the function G and the dominated convergence theorem lead to

T u(t) T u(t)
− lim t→+∞ → 0
(1 + t)α−1 (1 + t)α−1
and then T Ω is equiconvergent.

Now, we show that operatorT : X → X is continuous.
Let u be a function in Ω and (un ) ⊂ Ω in such that limn→+∞ u n = u. Because of
+∞
G(t, s)
T un − T u ≤ α−1
| f (s, u n (s)) − f (s, u(s))| ds
0 (1 + t)

Aη α−1
1+ 1−σ μ(η) +∞
≤ (| f (s, u n (s)| + | f (s, u(s))|) ds
Γ (α) 0

Aη α−1
1+ 1−σ μ(η) +∞ u(s) u(s)
≤ (1 + s)α−1 Ψ + (1 + s)α−1 Ψ ds
Γ (α) 0 (1 + s)α−1 (1 + s)α−1

Aη α−1
1+ 1−σ μ(η) +∞
≤ (1 + s)α−1 Ψ R (s)ds + (1 + s)α−1 Ψ R (s)ds
Γ (α) 0

Aη α−1
1+ 1−σ μ(η) +∞
≤ 2 (1 + s)α−1 Ψ R (s)ds
Γ (α) 0
and we have
lim n→+∞ | f (s, u n (s)) − f (s, u(s))| = 0 for all s 0

by Lebesgue dominated convergence theorem limn→+∞ T u n − T u = 0. Proving

the continuité of T, Thus, T (Ω) satisfies all conditions of Lemma 5 and the mapping
T is completely continuous.
At the end, assume that u ∈ E + ,and t ≥ 0, et τ ≥ 0,
+∞ +∞
G(τ , s)
T u(t) = G(t, s) f (s, u(s)ds ≥ γ1 (t) f (s, u(s)ds
0 0 (1 + τ )α−1
leading to
+∞
G(τ , s)
T u(t) ≥ γ1 (t) sup f (s, u(s)ds ≥ γ1 (t) T u
τ ≥0 0 (1 + τ )α−1
This prove that T (E + ) ⊂ P and in particular T (P) ⊂ P.
5 Proofs of Mean Results
The main result of this section is the proof need to introduce additional notations,
with a function q in Dα and T 0 are associated the linear operators L q in £(E),
L qF , L q,T
F F
in £(E) and K q,T in£(FT ) defined by
+∞
L q u(t) = G(t, s)q(s)u(s)ds for all u ∈ E
0
L qF u = L q u(t) for all u ∈ F
T
F
L q,T u(t) = G T (t, s)q(s)u(s)ds for all u ∈ F
0
T
F
K q,T u(t) = G T (t, s)q(s)u(s)ds for all u ∈ FT
0
where for T 0, G T : R+ × [0, T ] → R+ be such that

G(t, s), if t, s ∈ [0, T ]
G T (t, s) =
G(T, s), if t ≥ T
and FT , FT1 are the Banach spaces defined by

u(t)
FT = u ∈ [0, T ] : lim α−1 = l ∈ R+ (27)
t→0 t

u(t)
FT1 = u ∈ [0, T ] : α−1 ∈ C 1 [0, T ] (28)
t
equipped with the norms
|u(t)|
u FT = sup α−1
, for all u ∈ FT
t∈[0,T ] t

u(t)
u FT1 = u FT + sup , for all u ∈ FT1
t∈[0,T ] t α−1
Set for T 0

u(t)
ST = u ∈ FT : u(t) > 0, for all t ∈ [0, T ] and lim α−1 > 0
t→0 t
Lemma 6 See [2]. The set ST is open in the Banach space FT and S⊂ FT+ .
Lemma 7 For all functions q in Dα and all T > 0, the operator L q,T
F
has the SIJP
at r (L q,T ).
F
Proof Observe that Lq,T F

has the SIJP at r (L q,T
F
) if and only if K q,T
F
has the SIJP at
r (K q,T ) = r (L q,T ).
F F
F
To this aim, we will prove that the operator K q,T is strongly positive and we
conclude then by Proposition 4 that is has the SIJP at r( Kq,T F
).
F
Let us prove first that Kq,T is compact. We have for all u∈ FT

F
K q,T +∞
G(t, s)
= q(s)u(s)ds
t α−1 0 t α−1
+∞
G 1 (t, s)
= q(s)u(s)ds
0 t α−1
+∞ η
A
+ (G 1 (t, s)dμ(t)) q(s)u(s)ds
(1 − σ) Γ (α) 0 0
t
α−1 s s α−2
= 1 − q(s)u(s)ds
Γ (α) 0 t 2 t
t
α−1 s s α−2
≤ 1 − ds q ∞ u FT
Γ (α) 0 t 2 t
K F
Leading to limt→0 q,T
t α−1
= 0 and L q,T
F
u ∈ FT1 .
Thus, the operator
F
K q,T : FT → FT1 ,
where
F
K q,T u(t) = K q,T
F
u(t), for all u ∈ FT1 and for t ∈ [0, T ] ,
F
is well defined and K q,T ∈ L(FT , FT1 ).
Since the embedding j of FT1 in FT is compact and K q,T
F
= jo K q,T
F
. We have
F
that K q,T is compact.
Now, since for all u ∈ FT+ with u = 0
T
F
K q,T u(t) = G T (t, s)q(s)u(s)ds > 0 for all t ∈ [0, T ]
0
and by dominated convergence theorem

F u(t)
K q,T +∞
G T (t, s)
lim = lim q(s)u(s)ds
t→0 t α−1 t→0 0 t α−1
T T η
A
= q(s)u(s)ds + (G 1 (t, s)dμ(t)) q(s)u(s)ds > 0,
0 (1 − σ) Γ (α) 0 0
we have
F
K q,T (FT+ \ {o}) ⊂ ST ⊂ FT+
F
and the operator K q,T is strongly positive. This ends the proof.
Theorem 3 For all functions q in Dα , the operator L q has the SIJP at r (L q ) and
is lower bounded on the cone P.
Proof First let us prove that L qF has the SIJP at r (L qF ). This will be obtained from
Theorem 2, whence we prove that L qF = lim T →+∞ L q,T F
in operator norm and T →
L q,T is increasing We have for all u ∈ F with u F = 1
F
L qF u(t) − L q,T
F u(t) +∞
G(t, s) G T (t, s) T
= q(s)u(s)ds − q(s)u(s)ds
t α−1 0 t α−1 t α−1 0
T ∞
G(t, s) − G T (t, s) G(t, s)
≤ α−1
q(s)u(s)ds + q(s)u(s)ds
0 t T t α−1
∞ +∞ η
G 1 (t, s) α−1 A
≤ q(s)s ds + (G 1 (t, s)dμ(t)) q(s)ds
T t α−1 (1 − σ) Γ (α) T 0
+∞ +∞ η
A
≤ q(s)s α−1 ds + (G 1 (t, s)dμ(t)) q(s)ds
T (1 − σ) Γ (α) T 0
since G T (t, s) = G(t, s), for t, s ≤ T, we have

L qF u(t) − L q,T
F
u(t) Aμ(η) +∞
≤ 1+ q(s)s α−1 ds, for all t ≤ T
t α−1 (1 − σ) Γ (α) T

∂
and since ∂t
G(t,s)
t α−1
< o, for s ∈ (0, t). We have in the case of t ≥ T,
L qF u(t) − L q,T
F u(t) +∞
T G(t, s) T G T (t, s)
≤ q(s)s α−1 ds + q(s)s α−1 ds + q(s)s α−1 ds
t α−1 T 0 t α−1 0 t α−1
+∞ TT
G(t, s) G(T, s)
≤ q(s)s α−1 ds +
α−1
q(s)s α−1 ds + q(s)s α−1 ds
T 0 t 0 T α−1
+∞ T
Aμ(η) G(T, s)
≤ 1+ q(s)s α−1 ds + 2 q(s)s α−1 ds
(1 − σ) Γ (α) T 0 T α−1
The above estimates lead to

L qF u(t) − L q,T
F u(t)
F F
L q − L q,T = sup sup
u F =1 t>1 t α−1
+∞ T
Aμ(η) G(T, s)
≤ 1+ q(s)s α−1 ds + 2 q(s)s α−1 ds → 0 as T → ∞
(1 − σ) Γ (α) T 0 T α−1
Then by means of the dominated convergence theorem, we conclude that
F
lim T →+∞ L qF − L q,T = 0 and L q,T
F
converge to L qF in operator norm.
For T1 < T2 and u ∈ F + , we have
T2 T1
F
L q,T2
u(t) − L q,T
F
1
u(t) = G T2 (t, s)q(s)u(s)ds − G T2 (t, s)q(s)u(s)ds
0 0

T1 T2
= G T2 (t, s) − G T1 (t, s) q(s)u(s)ds + G T2 (t, s)q(s)u(s)ds
0 T1
Because of
⎧
⎪
⎪ 0,if t ≤ T1
⎪
⎪ η α−1
⎨ A
(G 1 (t, s)dμ(t)) t α−1 − T1 , if T1 ≤ t ≤ T2 , ≥ 0
(1−σ)Γ (α) 0
G T2 (t, s) − G T1 (t, s) =
⎪
⎪ ϕT2 (s) − ϕ
T1 (s)+
⎪
⎪ η
⎩ A
(G 1 (t, s)dμ(t)) T2α−1 − T1
α−1
, if T2 ≤ t
(1−σ)Γ (α) 0
F
we have L q,T 2
≥ L q,T
F
1
.
At this stage, we are able to prove that L q has the SIJP at r (L q ). We have Λ L qF
⊂ Λ L q and Γ L qF ⊂ Γ L q . So, let us prove that Λ L qF = Λ L q and Γ L qF = Γ L q . To
this aim, let λ ≥ 0 and u∈ E + \ {0} be such that L q u ≥ λu. We have U = L q u ∈
F + \ {0} , L qF U = L q L q u ≥ λL q u = λU and λ ∈ Λ L qF .
This proves that Λ L qF = Λ L q . In a similar way, we also obtain that Γ L qF = Γ L q .
Thus, we have

r (L qF ) = sup(Λ L qF ) = sup(Λ L q ) = inf(Γ L qF ) = inf Γ L q
and the operator Lq has the SIJP at r (L qF ). Furthermore, the cone E + is total in E.
Claims that r (L qF ) is the unique positive eigenvalue of L q , we have r (L q ) = r (L qF )
and L q has the SIJP at r (L q ). It remains to show that the operator L q is lower bounded
on the cone P.
+∞ +∞
L q u(t) = G(t, s)q(s)u(s)ds ≥ G(t, s)q(s)γ1 (s)(1 + s)α−1 ds u E
0 0
leading to
+∞
L q u(t) G(t, s)
L q u = sup
α−1
≥ sup q(s)γ1 (s)(1 + s)α−1 ds u E
t≥0 (1 + t) t≥0 0 (1 + t)α−1
5.1 Proof of Proposition 1
We have from Lemma 4 that ρ is a positive eigenvalue of the linear eigenvalue problem
(2) if and only if ρ−1 is a positive eigenvalue of the compact operator L q . Since
Proposition 3 claims that L q has the SIJP at r (L q ), we have from Propositions 3.14
and 3.15 in [1] that r (L q ) is the unique positive eigenvalue of L q .
Therefore, we have that ρ = r (L1 q ) is the unique positive eigenvalue of the linear
eigenvalue problem (2).
5.2 Proof of Proposition 2
Assume that hypothesis (3) holds true, we have then from Proposition 3 the operator
L q has the SIJP at r (L q ) where
1
r (L q ) =
ρα (q)
and for all u ∈ P

+∞ +∞
T f u(t) = G(t, s) f (s, u(s))ds ≥ G(t, s)q(s)u(s)ds = L q u(t).
0 0
thus hypothesis (7) holds and Propositions 4 claims that the operator T f has no fixed
point. At the end, we conclude by Lemma 5 that fbvp (1) has no positive solution.
5.3 Proof of Theorem 1
Assume that hypothesis (5) holds true. Then we obtain from

+
+
f +∞ (q∞ ) < ρ1 (q∞ ) that for ε ∈ 0, ρ1 (q∞ ) − f +∞ (q∞ )
there is R large such that
f (t, u(t)) ≤ (ρα (q∞ ) − ε) q∞ (1 + t)α−1 u, for all t ≥ 0 and u ≥ R.
Since the nonlinearity f is Dα -Cartheodory, there is Ψ R ∈ Dα such that
f (t, u) ≤ (ρα (q∞ ) − ε)q∞ (t)(1 + t)α−1 u + Ψ R (t)(1 + t)α−1 for all t,u ≥ 0 (29)

Also, we have from f 0− (q0 ) > ρα (q0 ) that for ε ∈ 0, f 0− (q0 ) − ρα (q∞ ) there
is r > 0 such that
f (t, u) ≥ (ρα (q0 ) + ε) q0 (t)(1 + t)α−1 u for all t ≥ 0 and u ∈ [0, r ] (30)
Thus, we have
f (t, u) ≤ (ρα (q0 ) + ε) q0 (t)(1 + t)α−1 u f˜(t, u) for all t, u ≥ 0
where
f (t, u) = sup 0, (ρα (q∞ + ε)q0 (t)(1 + t)α−1 u − f (t, u) .
Therefore, we obtain from (29) and (30) that:
L q0 u − F0 u ≤ T f u ≤ L q∞ u + F∞ u, ∀u ∈ P,
where
+∞
F0 u(t) = ˜ u(s))ds
G(t, s) f (s,
0
+∞
F∞ u(t) = G(t, s)Ψ R (s)(1 + s)α−1 ds
0
ρα (q0 ) + ρα (q∞ ) +
r (L q0 ) = >1> = r (L q∞ )
ρα (q0 ) ρα (q∞)
Theorem 2 implies the fbvp (1) admits a positive solution.

6 Examples
Two examples are provided to illustrate our existence or no existence result.
6.1 Example 1
Consider the following boundary value problem on the half-line:

5
D 2 u + u 3 e−t = 0
(1+t) 2 1 (31)
1 3
u(o) = D 2 u(0) = 0 limt→+∞ D 2 u(t) = 0 u(s)ds
μ(t) = t η = 1 f (t, u) = u
3 e−t ≤ ue−t .
(1+t) 2
We find σ = 158√π < 1, q(t) = e−t .
Hence, all conditions of Proposition 1 hold, then the fbvp (30) admit unique eigen-
value μα (q) < 1 then fbvp (31) has not positive solution.
6.2 Example 2
Consider the fbvp

⎧
⎨ D 5u + |u|
e−t = 0
2 3
(1+t) 2 (32)
⎩ 1 3 1
u(o) = D 2 u(0) = 0 limt→+∞ D 2 u(t) = 0 u(s)ds
where
|u|
f (t, u) = 3 e−t
(1+t) 2
√
f (t, (1 + t) 2 u(t)) = |u|e−t
3
Hence, all conditions of Theorem 1 hold, then fpvp (32) admit a positive solution.
References
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solutions for α−order fractional differential equations(2<α<3), on the half-line.Differ. Equ.
Appl. 11(4), 463–480 (2019). https://doi.org/10.7153/dea-2019-11-22
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and applications. Commune. Math. Anal. 16(1), 47–65 (2014)
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problem. Differ. Equ. Appl. 3(3), 347–373 (2011). https://doi.org/10.7153/dea-03-22
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1016/j.jmaa.2011.11.065
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(2012). https://doi.org/10.1155/2012/303545
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(1973)
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(1988)
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11. Podlubny, I.: Fractional Differential Equations. Academic, San Diego (1999)
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problems. Topolog. Methods Nonlinear Anal. 39, 221–242 (2012)
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for second order impulsive differential equations on the half-line. Bound. Value Probl. (2010),
Article ID 281908, 13. https://doi.org/10.1155/2010/281908
14. Zeidler, E.: Nonlinear Functional Analysis and Its Applications, vol. I. Fixed Point Theorems.
Springer, New-York (1986)
A Collocation Method for Solving
Proportional Delay Riccati Differential
Equations of Fractional Order
Basharat Hussain and Afroz Afroz
Abstract A numerical technique is presented to find an approximate solution of

proportional delay Riccati differential equations of fractional order. This technique
utilizes delay Haar basis, integration of Haar basis, and collocation points. The pro-
posed technique converts the given equation into a set of algebraic equations. After
solving the set of algebraic equations using Newton–Raphson method, an approxi-
mate solution of the problem can be obtained. Several considered examples depict
that the proposed method is valid, accurate, and computationally efficient. A detailed
comparison of the exact and obtained solutions is demonstrated in the form of graphs
and tables.
Keywords Fractional order delay differential equations · Haar basis · Collocation

point · Caputo fractional derivative
MSC2020 34A08 · 34K07 · 65L60.
1 Introduction
Over the last few years, fractional calculus has provided generalized methods to
describe the behaviors of several physical systems. Fractional order models have
attracted the attention of researchers because differential equations involving non-
integer derivatives demonstrate the dynamics of many systems more realistically.
In recent years, mathematicians have contributed a large literature on the analysis
and applications of fractional differential equations [9, 19]. Several authors proposed
different definitions of fractional derivatives. The Riemann–Liouville and Liouville–
Caputo define a fractional derivative which has importance in the field of fractional
calculus but has certain limitations due to singular local power kernel [19]. Caputo and
Fabrizio propose a new definition of fractional derivatives using exponential decay
B. Hussain (B) · A. Afroz

Department of Mathematics, Maulana Azad National Urdu University, Hyderabad, India
e-mail: basharathussain_rs@manuu.edu.in
https://doi.org/10.1007/978-981-99-0597-3_15
204 B. Hussain and A. Afroz
kernel [7]. Atangana and Baleanu suggested another fractional derivative which is
based on the concept of Mittag–Leffler function [1]. Some authors suggested more
interesting definitions where time-dependent variable-order fractional derivative and
integral α(t) is involved [23].
Generally, researchers construct mathematical models which are governed by
differential equations in which the present state of the system depends only on the
current value of the dependent variable and/or its derivative. Sometimes, these models
show severe inconsistency with reality, especially in real-time modeling, economics
model, cell growth model, and analysis of stock marketing. In order to improve the
dynamics of such mathematical model researchers incorporated delay terms in the
governing differential equation which results in a delay differential equation. Delay
differential equations (DDEs) form a special class of differential equations in which,
the rate of solution, depends on the present as well as some previous values of the
dependent variable and/or their derivative. DDEs are widely used to model processes
in physical sciences, biosciences, engineering, electrodynamics, and economics. The
detailed analysis and applications of DDEs can be found in [5, 22, 26]. Depending
upon the nature of delay/lag τ , DDEs have various formats such as DDEs with
constant delay, DDEs with time-dependent delay τ (t), DDEs with state-dependent
delay τ (t, y), neutral DDEs, and proportional DDEs or pantograph equations. Herein,
the subject of our interest is the following fractional order proportional delay Riccati
differential equation (PDRDE):
χα (t) = (t) + c1 (t)χ(t) + c2 (t)χ(qt)(c3 (t) − χ(qt)), χ(0) = χ0 , 0 ≤ t ≤ 1, 0 < α < 1,

(1)
where , c1 , c2 , c3 are analytical functions, and q ∈ (0, 1). Note that when q = 1,
Eq. (1) becomes an ordinary Riccati differential equation. Due to the involvement
of fractional derivatives and delay terms, the computational complexities of these
equations increase; thus, it becomes too complicated to solve these equations ana-
lytically. Also, in some cases, the analytical solution of these equations does not
exist; therefore, an efficient numerical technique is necessary to find the approximate
solution.
In recent years, many authors have shown interest in solving delay differential
equations, some of them are as follows: In [29], Yuzbasi and Sezer have introduced
approximation method based on exponential polynomial and collocation point for
solving pantograph equations, Bahsi and Cevik [6] solved proportional DDEs numer-
ically using perturbation–iteration method, Davaeifar and Rashidinia [8] proposed
a collocation method using first Boubaker polynomials for solving multipantograph
equations. Further, in [27], Sakar et al. employed iterative reproducing kernel method
for solving Riccati differential equations, Ali et al. [2] used spectral collocation
method to solve fractional order DDEs, Ghomanjani and Shateyi [11] developed
approximation scheme using Genocchi polynomial for solving quadratic Riccati
DEs, multipantograph DDEs and optimal control systems with pantograph delays,
Jafari et al. [13] provided transferred Legendre pseudospectral method to solve pan-
A Collocation Method for Solving Proportional … 205
tograph DDEs, Izadi and Srivastava [12] produced a numerical solution of Lane
Emeden pantograph using Bessels polynomials and collocation point.
Haar wavelet is compact support, box function which takes only three values
{0, ±1}. From the last two decades, it has been used to solve a wide variety of
differential equations. The detailed applications of Haar wavelet can be found in
monograph and references in [15]. In [28], Shah et al. proposed a numerical technique
using Haar wavelet for solving fractional differential equations. Recently, Akmal
and Arshad [20] solved neutral DDEs using Haar wavelet bases, Abdullah and Rafiq
[3] combined the backward Euler method and Haar wavelet collocation method to
obtain the approximate solution of the Chen–Lee–Liu equation. Motivated by the
above literature, we aim to apply Haar wavelet series method (HWSM) to solve
the proportional delay Riccati differential equation of fractional order with Caputo
derivative.
The present article is organized in the following outline: Definition of Haar wavelet
is given in Sect. 2. The method is described in Sect. 3. In Sect. 4, the method is applied
to some test problems to check its efficiency and correctness. Section 5 is devoted to
conclusion.
2 Preliminaries
In this section, we present some fundamentals related to fractional calculus, wavelet,

and Haar wavelet.
2.1 Fractional Integral/Derivative
Definition 1 The Riemann–Liouville integral operator of order α > 0 of a function

g(t), t ∈ (c, d) is represented as
t
α 1
R L Jc,t g(t) = (t − u)α−1 g(u)du (2)
(α) c
where (·) is Euler’s gamma function.
Definition 2 The Riemann–Liouville derivative of order α > 0 of a function

g(t), t ∈ (c, d) is defined as

α 1 dζ t
R L Dc,t g(t) = (t − u)ζ−α−1 g(u)du, (3)
(ζ − α) dt ζ 0
ζ − 1 < α < ζ, ζ ∈ N. In particular, for 0 < α < 1, we have n = 1, and hence,

t
α 1 d
R L Dc,t g(t) = (t − u)−α g(u)du. (4)
(1 − α) dt c
Definition 3 The Caputo fractional derivative of order α > 0 of a function

g(t), t ∈ (c, d) is defined as
t
α 1
C Dc,t g(t) = (t − u)ζ−α−1 g (ζ) (u)du, (5)
(ζ − α) c
ζ − 1 < α < ζ, ζ ∈ N.In particular, for 0 < α < 1, we have n = 1, and hence,
t
α 1
C Dc,t g(t) = (t − u)−α g (u)du. (6)
(1 − α) c
2.2 Wavelet
In 1982, Jean Morlet, a French geophysical engineer, first introduced the concept
of wavelets as a family of functions generated by shifting and stretching of a single
function known as the “mother wavelet”:ψ(t). When the stretch a and shift b varies
continuously, we get the family of continuous wavelet as

1 t −b
ψa,b (t) = √ ψ , a = 0, b ∈ R.
a a
−j
If we restrict a and b to discrete values as a = a0 , b = kb0 a − j , where a0 ≥ 1, b0 ≥
0 and j, k ∈ N. We have the following family of discrete wavelets as
1 j
ψ j,k (t) = ψ(a0 t − kb0 ),
−j
a0
where {ψ j,k (t)} j,k∈N forms a wavelet basis for L 2 (R) − space. In particular, the
choices a0 = 2 and b0 = 1 produced an orthonormal basis [17, 18].
2.3 Haar Wavelet
∞
To construct the Haar wavelet system {hi (t)}i=1 on [μi , μ f ] two basic functions are
required, namely:
(a). The Haar scaling function (father wavelet):
h1 (t) = I[μi ,μ f ) (t). (7)

(b). The mother wavelet:
h2 (t) = I[μi ,(μi +μ f )/2) (t) − I[(μi +μ f )/2,μ f ) (t) (8)
where I[μi ,μ f ] (t) is characteristic/indicator function. Now for generating the Haar
wavelet series, let j be dilation and k be translation parameter.
Then i-th Haar Wavelet is defined as
⎧
⎪
⎨1 for t ∈ [ϑ1 (i), ϑ2 (i))
hi (t) = −1 for t ∈ [ϑ2 (i), ϑ3 (i)) (9)
⎪
⎩
0 other wise,
where
j j
ϑ1 (i) = μi + (μ f − μi )k/2 , ϑ2 (i) = μi + (μ f − μi )(k + 0.5)/2 , ϑ3 (i) = μi +
j j
(μ f − μi )(k + 1)/2 . The index i = 2 + k + 1, j = 0, 1, . . . , J where J is maxi-
j
mum level of wavelet and k = 0, 1, . . . , 2 − 1.
(c). Define scaling function space and wavelet space as follows:
2 −1 j
V j = span{2 j/2 h1 (2 j t − k), t ∈ [μi , μ f ]}k=0 , (10)
2 j −1
W j = span{2 j/2
h2 (2 t − k), t ∈
j
[μi , μ f ]}k=0 . (11)
Suppose 0 ≤ J0 < J , then following relation holds:
V J = V J0 ⊗ W J0 ⊗ W J0 +1 · · · ⊗ W J −1 . (12)
The spaces V j are such that V0 ⊂ V1 ⊂ V2 · · · ⊂ L 2 ([μi , μ f ]) and ∪∞

j=0 V j = L ([μi ,
2
∞
μ f ]). Hence, L 2 ([μi , μ f ]) = V0 ( j0 W j ) holds. It allows us to approximate any
f ∈ L 2 ([μi , μ f ]) with following truncated Haar series:
2 J +1
f appr ox (t) = ai hi (t). (13)
i=1
To apply the Haar wavelet, the following integral is required:

t
1
Piα (t) = (t − u)α hi (u)du.
(α + 1) μi
The R-L integration of (9) yields

⎧
⎪
⎨φ1 (t), t ∈ [ϑ1 (i), ϑ2 (i))
α 1
Pi (t) = φ2 (t), t ∈ [ϑ2 (i), ϑ3 (i)) (14)
(α + 1) ⎪
⎩
φ3 (t), t ∈ [ϑ3 (i), 1),
φ1 (t) = (t − ϑ1 (i))α ,
φ2 (t) = [(t − ϑ1 (i))α − 2(t − ϑ2 (i))α ],
φ3 (t) = [(t − ϑ1 (i))α − 2(t − ϑ2 (i))α + (t − ϑ3 (i))α ],
where ϑ1 (i), ϑ2 (i), ϑ3 (i) are same as defined in Eq. (9). Haar wavelet is considered
an efficient tool in numerical analysis, image processing, signal processing, and has
numerous other applications in mathematics and engineering. For details, readers
may refer to [3, 15, 20, 21] and their further references.
3 Description of Method
In this section, we present the Haar wavelet series method to find the approximate
solution of the proportional delay Riccati differential equation of fractional order
represented in Eq. (1). For that, we approximate χα (t) present in Eq. (1) by truncated
Haar wavelet series as follows:
2 J +1
α
χ (t) = ai hi (t). (15)
i=1
R-L Integration of (15) from 0 to t yields
2 J +1
χ(t) = ai Piα (t) + χ(0). (16)
i=1
Now, replace t by qt in Eq. (16), we get
2 J +1
χ(qt) = ai Piα (qt) + χ(0). (17)
i=1
Using Eqs. (15)–(17) in Eq. (1), we get
2 J +1 2 J +1
ai hi (t) = (t) + c1 (t)( ai Piα (t) + χ(0))
i=1 i=1
2 J +1
+c2 (t)( ai Piα (qt) + χ(0))(c3 (t) (18)
i=1
2 J +1
−( ai Piα (qt) + χ(0))).
i=1
(l−0.5)
Discretize the system (18) with the chosen collocation points tl = 2 J +1
, we get
2 J +1 2 J +1
ai hi (tl ) = (tl ) + c1 (tl )( ai Piα (tl ) + χ(0))
i=1 i=1
2 J +1
+c2 (tl )( ai Piα (qtl ) + χ(0))(c3 (tl ) (19)
i=1
2 J +1
−( ai Piα (qtl ) + χ(0))).
i=1
Solve the above system for Haar wavelet coefficients ai, s. Plugging these coefficients
into the Eq. (16) produces the approximate solution χ(tl ).
4 Applications and Numerical Results
The combination of fractional calculus with the theory of delay differential equa-
tions has enhanced the mathematical description of a number of real-world phe-
nomena during the past few years. On the other hand, several numerical treatments
have been developed for solving fractional differential models. However, very few
researchers have thoroughly investigated fractional differential equations with delay.
In this section, we shall be concerned with numerical treatment of some fractional
order delay differential equations using the Haar wavelet series method (HWSM).
Before solving numerical examples, we shall state some real-world applications of
HWSM from existing literature. In December 2019, a threatful outbreak called the
novel corona virus-2019 disease brought the world to its knees and took daily life to
a grinding halt in much of the world. The researchers claim that the virus was initi-
ated in the Chinese city of Wuhan. Planet-wide research to identify the symptoms,
to control its spread, and to cure and eradicate the disease is still in full swing. In an
attempt, Shah et al. [24] studied the transmission dynamics of the novel coronavirus-
2019 and construct a fractional order differential mathematical model by considering
three compartments including the susceptible population, infected population, and
recovered population. Further, the solution of the model is computed using the Haar
wavelet collocation method. Hence, the method is proven an efficient tool in infec-
tious disease spread modeling. Several recent studies which have promoted Haar
wavelet as a favorable mathematical tool are [4, 14, 16, 25].
Example 1 Consider the following fractional order PDRDE:
1 t t
y α (t) = y(t) + y( )(1 − y( )), 0 ≤ α ≤ 1, t ∈ (0, 1), (20)
4 2 2
1.25
Approximate solution
Exact solution
1.25 1.2
1.2
approxinate solution
1.15
1.15
1.1
1.1
1.05
1
1 1.05
0.8 1
0.6 0.9
0.4 0.8
0.7
0.2 1
0.6
t 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
0 0.5
(a) (b)
Fig. 1 a Haar Solution at α = 0.5, 0.6, 0.7, 0.8, 0.9, 1. b Solution Comparison at α = 1
Table 1 Approximate solution at α = 0.5, 0.7, 0.9, 1 (Example 1)

tl α = 0.5 α = 0.7 α = 0.9 α=1 yexact
0.0313 1.0455 1.0235 1.0113 1.0078 1.0078
0.1563 1.0933 1.0692 1.0473 1.0383 1.0383
0.2813 1.1173 1.1000 1.0784 1.0677 1.0677
0.4063 1.1335 1.1243 1.1065 1.0960 1.0961
0.5313 1.1456 1.1442 1.1322 1.1232 1.1232
0.6563 1.1551 1.1609 1.1558 1.1492 1.1492
0.7813 1.1627 1.1751 1.1775 1.1739 1.1739
0.9063 1.1689 1.1872 1.1973 1.1972 1.1973
with initial condition

y(0) = 1,
and possesses the exact solution

√ √ √
1 1 2t 2 2t
y(t) = + cos( )+ sin( ),
2 2 4 2 4
when α = 1. The approximate solution of (20) is computed using HWSM. The
Solution behavior at α = 0.5, 0.6, 0.7, 0.8, 0.9, 1 is presented graphically in Fig. 1.
Also, we have presented a solution for α = 0.5, 0.7, 0.9, 1 at selected collocation
points in Table 1. Maximum absolute errors (MAEs) at different wavelet levels J are
demonstrated in Table 4.
2.8
2.6 Exact solution
5
2.4
4.5
4
2.2
3.5
3 2
2.5
1.8
2
1.5 1.6
1
1 1.4
0.8 1
0.6 0.9 1.2
0.4 0.8
0.7
0.2
0.6 1
t
0 0.5 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
(a ) (b )
Example 2 Solve the following fractional order PDRDE:

1 t t 1
y α (t) = ex p( )y( ) + y(t), 0 ≤ α ≤ 1, t ∈ (0, 1), (21)
2 2 2 2
y(0) = 1,
and exact solution

y(t) = ex p(t)),
when α = 1. Approximate solution of (21) is computed using HWSM. The solution

behavior at α = 0.5, 0.6, 0.7, 0.8, 0.9, 1 is presented graphically in Fig. 2. Also, we
have presented a solution for α = 0.5, 0.7, 0.9, 1 at selected collocation points in
Table 2. Maximum absolute errors (MAEs) at different wavelet levels J are demon-
strated in Table 4.
Example 3 Solve the following fractional order PDRDE:
1 t t
y α (t) = − y(t) + y( )(1 − y( )), 0 ≤ α ≤ 1, t ∈ (0, 1), (22)
8 2 2
1
y(0) = ,
4

tl α = 0.5 α = 0.7 α = 0.9 α=1 yexact
0.0313 1.2426 1.1065 1.0480 1.0323 1.0317
0.1563 1.6442 1.3661 1.2183 1.1697 1.1691
0.2813 1.9987 1.6148 1.3998 1.3255 1.3248
0.4063 2.3653 1.8796 1.6007 1.5021 1.5012
0.5313 2.7606 2.1698 1.8255 1.7021 1.7011
0.6563 3.1951 2.4919 2.0782 1.9288 1.9276
0.7813 3.6775 2.8520 2.3632 2.1857 2.1842
0.9063 4.2165 3.2561 2.6849 2.4768 2.4750
0.42
0.4 Exact solution
0.45
0.38
0.4
0.36
0.35 0.34
0.32
0.3
0.3
0.25
1 0.28
0.8 1
0.6 0.9 0.26
0.4 0.8
0.7
0.2
0.6 0.24
t
0 0.5 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
(a) (b)
and exact solution

√ √ √
1 1 5t 5 5t
y(t) = − cos( )+ sin( ),
2 4 8 4 8
behavior at α = 0.5, 0.6, 0.7, 0.8, 0.9, 1 is presented graphically in Fig. 3. Also, we
have presented a solution for α = 0.5, 0.7, 0.9, 1 at selected collocation points in
Table 3. Maximum absolute errors (MAEs) at different wavelet levels J are demon-
strated in Table 4.
Example 4 Now for comparison, we choose the following fractional Riccati differ-
ential equation from literature [27]:
y α (t) = t 3 y 2 (t) − 2t 4 y(t) + t 5 , 0 ≤ α ≤ 1, t ∈ (0, 1), (23)


tl α = 0.5 α = 0.7 α = 0.9 α=1 yexact
0.0313 0.2825 0.2655 0.2572 0.2549 0.2549
0.1563 0.3248 0.2985 0.2810 0.2747 0.2746
0.2813 0.3522 0.3243 0.3031 0.2947 0.2947
0.4063 0.3743 0.3472 0.3246 0.3150 0.3150
0.5313 0.3935 0.3684 0.3457 0.3355 0.3355
0.6563 0.4106 0.3883 0.3665 0.3562 0.3562
0.7813 0.4263 0.4073 0.3871 0.3770 0.3770
0.9063 0.4407 0.4255 0.4075 0.3981 0.3981
Table 4 Maximum Absolute Error(MAE) max|yappr ox − yexact |

J Example 1 Example 2 Example 3
3 3.0351e-05 1.8900e-03 9.4852e-06
4 7.6090e-06 4.8189e-04 2.3778e-06
5 1.9048e-06 1.2167e-04 5.9526e-07
6 4.7652e-07 3.0572e-05 1.4891e-07
7 1.1917e-07 7.6623e-06 3.7240e-08
8 2.9797e-08 1.9178e-06 9.3117e-09
9 7.4499e-09 4.7979e-07 2.3281e-09
10 1.8620e-09 1.1996e-07 5.8205e-10

y(0) = 0,
and exact solution

y(t) = t,

behavior at α = 0.5, 0.6, 0.7, 0.8, 0.9, 1 is presented graphically in Fig. 4. Maximum
absolute errors (MAEs) at different wavelet levels J are demonstrated in Table 4 and
Fig. 5. Also, the obtained results and their comparison with the existing schemes
[10, 27] are given in Tables 5, 6 and 7.
0.9 Exact solution
1.2
0.8
1
0.7
0.8
0.6
0.6
0.5
0.4
0.4
0.2
0.3
0
1
0.2
0.8 1
0.6 0.9
0.1
0.4 0.8
0.7
0.2
0.6 0
t
0 0.5 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
(a) (b)
Fig. 4 a Haar solution at α = 0.5, 0.6, 0.7, 0.8, 0.9, 1. b Solution comparison at α = 1
10-16
1.2
0.8
Absolute error
0.6
0.4
0.2
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
t
Fig. 5 Absolute error at Wavelet level J = 4 (Example 4)
Table 5 Comparison of MAE (Example 4)

HWSM J = 3 HWSMJ = 4 IRKHSM N = 4[27]
2.8315e − 08 1.1102e − 16 2e − 07
Table 6 Comparison of HWSM versus FDE solver [10] (Example 4)

tl α = 0.5 α = 0.5 α = 0.7 α = 0.7 α = 0.9 α = 0.9
HWSM FDE HWSM FDE HWSM FDE
0.03125 0.19947 0.03125 0.09727 0.03125 0.04595 0.03125
0.09375 0.34550 0.31335 0.20988 0.18927 0.12351 0.11699
0.15625 0.44610 0.43027 0.30012 0.28797 0.19560 0.19126
0.21875 0.52800 0.52015 0.37985 0.37226 0.26478 0.26173
0.28125 0.59904 0.59620 0.45297 0.44840 0.33198 0.32984
0.34375 0.66285 0.66357 0.52139 0.51906 0.39770 0.39626
0.40625 0.72146 0.72493 0.58626 0.58568 0.46224 0.46137
0.46875 0.77615 0.78186 0.64830 0.64917 0.52579 0.52540
0.53125 0.82774 0.83537 0.70803 0.71014 0.58851 0.58853
0.59375 0.87677 0.88610 0.76583 0.76902 0.65051 0.65089
0.65625 0.92362 0.93447 0.82196 0.82612 0.71187 0.71257
0.71875 0.96849 0.98073 0.87664 0.88167 0.77266 0.77366
0.78125 1.01150 1.02502 0.93000 0.93583 0.83294 0.83421
0.84375 1.05269 1.06737 0.98216 0.98872 0.89275 0.89426
0.90625 1.09202 1.10774 1.03317 1.04041 0.95213 0.95387
0.96875 1.12946 1.14607 1.08308 1.09094 1.01110 1.01306
Table 7 MAEs: HWSM versus FDE Solver [10] at α = 1 (Example 4)

tl HWSM FDE MAEs: HWSM MAEs: FDE
0.03125 0.03125 0.03125 0 0
0.09375 0.09375 0.09374 0 2.01164e-07
0.15625 0.15625 0.15624 0 1.13245e-06
0.21875 0.21875 0.21874 0 1.13245e-06
0.28125 0.28125 0.28124 0 1.13245e-06
0.34375 0.34375 0.34374 0 1.13245e-06
0.40625 0.40625 0.40624 0 1.13246e-06
0.46875 0.46875 0.46874 0 1.13246e-06
0.53125 0.53125 0.53124 0 1.13247e-06
0.59375 0.59374 0.59374 1.99840e-15 1.13251e-06
0.65625 0.65624 0.65624 4.59632e-14 1.13259e-06
0.71875 0.71874 0.71874 1.53699e-12 1.13278e-06
0.78125 0.78124 0.78124 2.23649e-11 1.13318e-06
0.84375 0.84374 0.84374 2.87682e-10 1.13398e-06
0.90625 0.90624 0.90624 3.12901e-09 1.13550e-06
0.96875 0.96874 0.96874 2.83157e-08 1.13826e-06
5 Conclusion
In this paper, the HWSM is employed to explore the solutions of fractional order
proportional delay Riccati differential equations. We illustrate applicability and util-
ity of the method by solving a few benchmark problems. The comparison against
existing methods is presented in Tables 5, 6, and 7. Numerical simulations presented
in the form of tables and graphs show that the obtained results are comparatively
more promising and the method is well accurate for computing the solutions.
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On the Solution of Generalized
Proportional Hadamard Fractional
Integral Equations
Rahul and N. K. Mahato
Abstract In this article, we consider a new fractional integral equation, namely,

generalized proportional Hadamard fractional (GPHF) integral equations. Then as
an application of Darbo’s fixed point theory (DFPT), we establish the existence
of the solution of above-mentioned GPHF integral equations, using a measure of
noncompactness (MNC). At the end, we have provided a suitable example to verify
our obtained results.
Keywords GPHF integral equation · Modulus of contiunity · MNC · DFPT
1 Introduction
The MNC for the very first time was initiated by Kuratowski [1] in 1930. This
notion of MNC is generalized by Banas [2] for the convenience to solve functional
equations, which is applicable to numerous mathematical problems. Using the notion
of MNC, Darbo [3] ensures that the existence of fixed points, which is obtained by
the generalization of Schauder and Banach’s fixed point theory.
Fractional integral equations (FIE) play a very important role in different fields
of mathematical analysis and still continue to earned the attention of researchers
in various applications of functional calculus in science and technology. Fractional
calculus is a very powerful tool to achieve differentiation and integration with real
or complex number powers, which is adopted in the sixteenth century. For recent
research on fractional calculus, we refer reader to (see [4–6]). In the present time,
the fixed point theory (FPT) has applications in several fields of mathematics. Also,
FPT can be applied for the existence of solutions of FIE.
Rahul · N. K. Mahato (B)

IIITDM, Jabalpur, India
e-mail: nihar@iiitdmj.ac.in
Rahul
e-mail: 1825602@iiitdmj.ac.in
https://doi.org/10.1007/978-981-99-0597-3_16
220 Rahul and N. K. Mahato
In 1892, Hadamard [7] have introduced the following Hadamard FIE:
τ σ1 σn−1 τ
dσ1 dσ2 f (σn ) 1 τ α−1 dσ
... dσn = log f (σ) , α > 0, τ > a.
σ1 σ2 σn Γ (α) σ σ
a a a a
The above-mentioned Hadamard FIE is a generalization of the classical integral. In

this article, we have generalized the above-mentioned Hadamard FIE as a GPHF
integral equation of order > 0 and defined as

H ,ρ 1 s (ρ − 1) (log(s) − log(t)) z(t)
Ia z (s) = exp (log(s) − log(t))−1 dt,
ρ Γ () a ρ t
where ρ ∈ (0, 1] and s, t ∈ [a, b].

If we take ρ = 1, then we get the classical Hadamard FIE [7].
The present study focuses on the following FIE:
,ρ
z(s) = s, L(s, z(s)), H I1 z (s) , (1)
where > 1, ρ ∈ (0, 1], s ∈ I = [a, b], a > 0, b = T and

: I × R2 → R, L : I × R → R are continuous functions.
2 Definition and Preliminaries
We will be using the following notations, definitions, and theorems throughout this
paper.
– . E : norm on the Banach space E ;
– N̄ : closure of N ;
– ConvN : convex closure of N ;
– ME : collection of all nonempty and bounded subsets of E;
– NE : collection of all relatively compact sets;
– R: (−∞, ∞);
– R+ = [0, ∞);
– N: the set of natural numbers.
Banas and Lecko [8] have given the following definition of MNC.
Definition 1 A MNC is a mapping η : ME → R+ , if it fulfills the following con-
straints, for all N , N1 , N2 ∈ ME .
(N1 ) The family ker η = {N ∈ ME : η (N ) = 0} = ∅ and ker η ⊂ NE
(N2 ) N1 ⊂ N2 =⇒ η (N1 ) ≤ η (N2 )
(N3 ) η N̄ = η (N )
(N4 ) η (Conv N ) = η (N )
On the Solution of Generalized Proportional … 221
(N5 ) η (k N1 + (1 − k) N2 ) ≤ kη (N1 ) + (1 − k) η (N2 ) for k ∈ [0, 1]

(N6 ) If Nn ∈ ME , Nn = N̄n , Nn+1 ⊂ Nn for n = 1, 2, 3, ... and lim η (Nn ) =
n→∞
∞
0, then N∞ = Nn = ∅.
n=1
Theorem 1 (Schauder [9]) A mapping Φ : N → N which is compact and continu-

ous has at least one fixed point (FP), where N is a nonempty, bounded, closed, and
convex (NBCC) subset of a Banach space E.
Theorem 2 (Darbo [10]) Let Φ : N → N be a continuous mapping and η is a MNC.

If for any nonempty subset M of N , there exists a k ∈ [0, 1) having the inequality
η (Φ M) < k η(M),
then the mapping Φ has a FP in N .
Definition 2 [11] Let N be a bounded subset of metric space E. Then for bounded
set N , the Hausdorff MNC η is defined as
η (N ) = inf { > 0 : N has a finite − net in E} .
2.1 MNC on C(I)
Let E = C(I ) is the space of continuous functions on I = [a, b] with the norm
ϕ = sup {|ϕ(t)| : t ∈ I } , ϕ ∈ E.
Let Υ (= Φ) ⊂ E, so for any ϕ ∈ Υ and > 0, the modulus of the continuity of ϕ
is denoted as ω(ϕ, ) and defined by
ω(ϕ, ) = sup {|ϕ(t1 ) − ϕ(t2 )| : t1 , t2 ∈ I, |t1 − t2 | ≤ } .
Next, one can write
ω(Υ, ) = sup {ω(ϕ, ) : ϕ ∈ Υ } , ω0 (Υ ) = lim ω(Υ, ).

→0
The function ω0 is an MNC in E, so that the Hausdorff MNC η is given by η(Υ ) =

1
ω (Υ ) (see [11]).
2 0
3 Proposed Method
We consider the following assumptions to solve the Eq. (1):

(i) : I × R2 → R, L : I × R → R be continuous and there exists constants
μ1 , μ2 , μ3 ≥ 0 with μ1 μ3 < 1 such that
(s, L, I1 ) − (s, L̄, I¯1 ) ≤ μ1 L − L̄ + μ2 I1 − I¯1 , s ∈ I, L, I1 , L̄, I¯1 ∈ R
and
|L(s, P1 ) − L(s, P2 )| ≤ μ3 |P1 − P2 | , P1 , P2 ∈ R.
(ii) Let B fo = {z ∈ E : z ≤ f 0 } and

= sup{|(s, L, I1 | : s ∈ I, L ∈ [−L , L], I1 ∈ [−I, I]} ≤ f 0 ,
,ρ z(s))| : s ∈ I, z(s) ∈ [− f 0 , f 0 ]}
where L = sup{|L(s,
and I = sup{| H I1 z (s)| : s ∈ I, z(s) ∈ [− f 0 , f 0 ].
(iii) |(s, 0, 0)| = 0, L(s, 0) = 0.
(iv) There is a positive solution f 0 satisfying:

(ρ−1) log T
f 0 exp ρ
μ1 μ3 f 0 + μ2 (log T ) ≤ f 0 .
ρ Γ ( + 1)
Theorem 3 If the conditions (i) − (iv) are satisfied, then the Eq. (1) has a solution
in E = C(I ).
Proof Consider the operator Φ : B f0 → E is as

,ρ
(Φz)(s) = s, L(s, z(s)), H I1 z (s) .
Step 1: First, we have to prove that Φ maps B f0 into B f0 . Let Φ ∈ B f0 , then, by using
the assumptions, we have
,ρ
|(Φz)(s)| = | s, L(s, z(s)), H I1 z (s) − (s, 0, 0)| + |(s, 0, 0)|
,ρ
≤ μ1 |L(s, z(s)) − 0| + μ2 | H I1 z − 0| + |(s, 0, 0)|.
Also,
H ,ρ
| z (s) − 0|
I1
s
1 (ρ − 1) (log(s) − log(t)) z(t)
= exp (log(s) − log(t))−1 dt
ρ Γ () 1 ρ t

f 0 exp (ρ−1)ρlog T s dt
≤ (log(s) − log(t))−1
ρ Γ () 1 t

(ρ−1) log T
f 0 exp ρ
≤ (log T )
ρ Γ ( + 1)
≤ f0 .

(ρ−1) log T
f 0 exp
(log T ) .
ρ
Hence z < f 0 , gives Φz < μ1 μ3 f 0 + μ2 ρ Γ (+1)
So by the assumption (iv), Φ maps B f0 into B f0 .
Step 2: Now, we prove that Φ is continuous on B f0 . Let > 0 and z, z̄ ∈ B f0 such
that z − z̄ < , we have
|(Φz) (s) − (Φ z̄) (s)|

,ρ ,ρ
≤ s, L(s, z(s)), H I1 z (s) − s, L(s, z̄(s)), H I1 z̄ (s)
,ρ ,ρ
≤ μ1 |L(s, z(s)) − L(s, z̄(s))| + μ2 H I1 z (s) − H I1 z̄ (s) .
Also,

H ,ρ H ,ρ
I1 z (s) − I1 z̄ (s)
s
1 (ρ − 1) (log(s) − log(t)) dt
= exp (log(s) − log(t))−1 (z(s) − z̄(s))
ρ Γ () 1 ρ t
s
1 (ρ − 1) (log(s) − log(t)) dt
≤ exp (log(s) − log(t))−1 |z(t) − z̄(t)|
ρ Γ () 1 ρ t

(ρ−1) log T
exp ρ
< (log T ) .
ρ Γ ( + 1)
Hence, z − z̄ < , gives that

(ρ−1) log T
exp
|(Φz) (s) − (Φ z̄) (s)| < μ1 μ3 + μ2 ρ Γ (+1) (log T ) .
ρ
As → 0, we get |(Φz) (s) − (Φ z̄) (s)| → 0. This shows that Φ is continuous on

B fo .
Step 3: Finally, an estimate of Φ w. r. t. ω0 . Suppose Υ be nonempty subset of B fo ,
then, for an arbitrary > 0, choose z ∈ Υ and s1 , s2 ∈ I such that |s2 − s1 | ≤ and
s2 ≥ s1 . Then we have
|(Φz) (s2 ) − (Φz) (s1 )|

,ρ ,ρ
= s2 , L(s2 , z(s2 )), H I1 z (s2 ) − s1 , L(s1 , z(s1 )), H I1 z (s1 )
,ρ ,ρ
≤ s2 , L(s2 , z(s2 )), H I1 z (s2 ) − s2 , L(s2 , z(s2 )), H I1 z (s1 )
,ρ ,ρ
+ s2 , L(s2 , z(s2 )), H I1 z (s1 ) − s2 , L(s1 , z(s1 )), H I1 z (s1 )
,ρ ,ρ
+ s2 , L(s1 , z(s1 )), H I1 z (s1 ) − s1 , L(s1 , z(s1 )), H I1 z (s1 )
,ρ ,ρ
≤ μ2 H I1 z (s2 ) − H I1 z (s1 ) + μ1 |L(s2 , z(s2 )) − L(s1 , z(s1 ))| + ω (I, )
,ρ ,ρ
≤ μ2 H I1 z (s2 ) − H I1 z (s1 ) + μ1 μ3 |z(s2 ) − z(s1 )| + ω (I, ),
where
ω (I, ) = sup {|(s2 , L, I1 ) − (s1 , L, I1 )| : |s2 − s1 | ≤ ; s1 , s2 ∈ I } .
Also,
H
,ρ ,ρ
I1 z (s2 ) − H I1 z (s1 )
s2
1 (ρ − 1) (log(s2 ) − log(t)) z(t)
= exp (log(s2 ) − log(t))−1 dt
ρ Γ () 1 ρ t
s1
1 (ρ − 1) (log(s1 ) − log(t)) z(t)
− exp (log(s1 ) − log(t))−1 dt
ρ Γ () 1 ρ t
s2
1 (ρ − 1) (log(s2 ) − log(t)) z(t)
≤ exp (log(s2 ) − log(t))−1 dt
ρ Γ () 1 ρ t
s1
(ρ − 1) (log(s2 ) − log(t)) z(t)
1 ρ t
s1
1 (ρ − 1) (log(s2 ) − log(t)) z(t)
+ exp (log(s2 ) − log(t))−1 dt
ρ Γ () 1 ρ t
s1
(ρ − 1) (log(s1 ) − log(t)) z(t)
1 ρ t
s2
1 (ρ − 1) (log(s2 ) − log(t)) |z(t)|
≤ exp (log(s2 ) − log(t))−1 dt
ρ Γ () s1 ρ t
s1
1 (ρ − 1) (log(s2 ) − log(t))
+ exp (log(s2 ) − log(t))−1
ρ Γ () 1 ρ

(ρ − 1) (log(s2 ) − log(t)) z(t)
ρ t

exp (ρ−1)ρlog T
≤ z(log T )
ρ Γ ( + 1)
s1
1 (ρ − 1) (log(s2 ) − log(t))
+ z exp (log(s2 ) − log(t))−1
ρ Γ () 1 ρ

(ρ − 1) (log(s2 ) − log(t)) 1
− exp (log(s1 ) − log(t))−1 dt.
ρ t
H ,ρ ,ρ
As → 0, then s2 → s1 , and also I1 z (s2 ) − H I1 z (s1 ) → 0.
Therefore,
|(Φz) (s2 ) − (Φz) (s1 )|

,ρ ,ρ
≤ μ2 H I1 z (s2 ) − H I1 z (s1 ) + μ1 μ3 ω(z, ) + ω (I, ),
gives
H ,ρ ,ρ
ω(Φz, ) ≤ μ2 I1 z (s2 ) − H I1 z (s1 ) + μ1 μ3 ω(z, ) + ω (I, ).
Since is uniform continuity on I × [−L, L] × [−I, I], we get as → 0 gives

ω (I, ) → 0.
Taking sup and → 0, we get
Φ∈Υ
ω0 (ΦΥ ) ≤ μ1 μ3 ω0 (Υ ).
Thus, by DFPT Φ has a FP in Υ ⊆ B f0 . Hence the Eq. (1) has a solution in C(I ).
Example 4 Consider the following FIE

√
3 I1 z
1
H 5, 5
(s)
z(s)
z(s) = s 3 + + (2)
7 + s5 + s2 3500
for s ∈ [1, 2] = I.
Here,

1
H 5, 5 3125 s z(t)
I1 z (s) = exp −4 (log(s) − log(t)) (log(s) − log(t))4 dt.
Γ (5) 1 t
√
I1 3 z(s)
Also, (s, L, I1 ) = s 3 + L + 3500 and L(s, z) = 7+s 5 +s 2
. It can be seen that both
, L are the continuous functions satisfying
|P1 − P2 |
|L(s, P1 ) − L(s, P2 )| ≤
9
and
1
(s, L, I1 ) − (s, L̄, Ī1 ) ≤ L − L̄ + I1 − Ī1 .
3500
Therefore, μ1 = 1, μ2 = 3500
1
, μ3 = 19 and μ1 μ3 = 19 < 1. If z ≤ f 0 , then we
have
f0 55 f 0 exp[−4(log 2)](log 2)4
L= , I= .
9 Γ (6)
Further,
55 f 0 exp[−4(log 2)](log 2)4
|(s, L, I1 | ≤ ≤ f0 .
3500Γ (6)
If we choose f 0 = 5, then we have
5 56 exp[−4(log 2)](log 2)4

L= , I=
9 Γ (6)
≤ 5, μ1 μ3 < 1.
We see that all the assumptions from (i)−(iv) of Theorem 3 are fulfilled. Hence, by
the Theorem 3, we concluded that the Eq. (1) has a solution in C(I ).
4 Conclusion
In the current paper, we have defined a new class of fractional integral operators,
which can be reduced to other related operators by choosing suitable values. Then,
we established the endurance of solution of a GPHF integral equation, using DFPT.
Finally, the obtained result is illustrated by a suitable example.
References
1. Kuratowski, K.: Sur les espaces complets. Fundamenta Mathematicae 15, 301–309 (1930)
2. Banas, J., Goebel, K.: Measures of Noncompactness in Banach Spaces. Lecture Notes in Pure
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Optimization Theory and Applications
An Invitation to Optimality Conditions
Through Non-smooth Analysis
Joydeep Dutta
Abstract In this short article, we show the fundamental role that non-smooth anal-
ysis plays in devising optimality conditions. Written with the graduate students and
young researchers in mind, this article aims to bring to the fore how non-smooth
analysis lies at the core of modern optimization.
Keywords Non-smooth analysis · Optimality conditions · Limiting

subdifferentials · Subdifferential calculus
Mathematics Subject Classification (2020 49J52 · MSC code2 · 90C29
1 Intoduction
Optimality conditions are well-known aspects of modern theory of optimization. It

may appear to one that one need not discuss this issue anymore. But the huge number
of papers that appear on optimality conditions shows that it is still a study in progress
though its basic framework has been long established. As modern applications pro-
duce complex optimization problems, it becomes important to develop tractable opti-
mality conditions. However as has been the tradition is optimization while developing
necessary optimality conditions aim has been to structure the optimality conditions
along the lines of the two fundamental optimality rules in optimization, namely, the
Lagrange multiplier rule and the Karush-Kuhn-Tucker conditions (KKT conditions
for short).
The Lagrange multiplier rule which is a key tool in optimization is built in the
following way. Let us consider the following problem (P1):
min f (x) subject to H (x) = 0,
J. Dutta (B)
Department of Economic Sciences, Indian Institute of Technology, Kanpur 208016, India
e-mail: jdutta@iitk.ac.in
https://doi.org/10.1007/978-981-99-0597-3_17
230 J. Dutta
where f : Rn → R and H : Rn → Rm are continuously differentiable functions. If

x ∗ is the local minimizer of (P) and J H (x ∗ ), the Jacobian of H at x ∗ has full rank
m, (i.e., m ≤ n), then there exists y ∗ ∈ Rn such that
∇ f (x ∗ ) + J H (x ∗ )T y ∗ = 0.
This is the celebrated Lagrange multiplier rule and y ∗ is the Lagrange multiplier
vector. What happens if we ignore the rank condition on the Jacobian, can we still
have something to say about the local minimizer of (P). The answer in fact is yes.
We can without any condition prove that there exists (y0∗ , y ∗ ) ∈ R × Rm such that,
(y0∗ , y ∗ ) = 0,
y0∗ ∇ f (x ∗ ) + J H (x ∗ )T y ∗ = 0.
This can be viewed as a primitive form of the Lagrange multiplier rule. However, in
the erstwhile in the Soviet union, this approach to the multiplier rule was fundamental.
In this situation one might have y ∗ = 0, and thus the objective function gets removed
from the process of computing a candidate minimizer of (P1). In fact in many prob-
lems from the hypothesis of the problem, one can deduce that y0∗ = 0. This issue has
been beautifully dealt with in the text by Brinkhuis and Tikhomirov [2]. Further it
goes without saying that if y ∗ = 0 then we can normalize to consider y0∗ = 1. Once
we set y0∗ = 1 in the above equation it reduces to the usual Lagrange multiplier rule.
Another approach to guarantee that y0∗ = 0 is to make certain assumptions on the
Jacobian of H at x ∗ . The most natural assumption is to assume that J H (x ∗ ) has full
row-rank m. Once this assumption is in place, once we have y0∗ = 0, we shall imme-
diately conclude that the vector y ∗ = 0 and this contradicts the fact (y0∗ , y ∗ ) = 0.
During the Second World War, new optimization problems arose. The hallmark
of these problems was that they were having inequalities as constraints. Consider the
problem (P2)
min f (x) subject to G(x) ≤ 0,
where G : Rn → Rm is a differentiable function, and “≤” implies component-wise

ordering.
In 1948, Fritz John, a specialist in partial differential equation first published a
formal optimality condition for (P2), in a conference proceeding [3], after his attempt
to publish in Duke Journal of Mathematics failed. It said that if x ∗ is a local minimizer
of (P2), there exists vector (λ∗0 , λ∗ ) ∈ R+ × Rm
+ such that
(i) λ∗0 ∇ f (x ∗ ) + J G(x ∗ )T λ∗ = 0

(ii) (λ∗0 , λ∗ ) = 0
(iii) λ∗ , G(x ∗ ) = 0.
Here the key feature is (λ∗0 , λ∗ ) = 0. Thus the result can hold with λ∗0 = 0, which
is an interesting issue since it may lead to situations where the Fritz John condition
can get satisfied for arbitrary feasible points which are not local minimizers. In
fact this can happen even in the case of linear programming. For more details on
An Invitation to Optimality Conditions Through Non-smooth Analysis 231
the issue see, for example, Bazaara, Sherali, and Shetty [1]. Let us now turn our
attention to the condition (iii) in the Fritz John necessary optimality conditions. If
we write the vector function G(x) = (g1 (x), . . . , gm (x)) and λ∗ = (λi∗ , . . . , λ∗m ),
then the condition (iii) implies that λi∗ gi (x ∗ ) = 0 for all i = 1, . . . , m. Observe that
if gi (x ∗ ) < 0 then λi∗ = 0 and if λi∗ > 0 then gi (x ∗ ) = 0. This condition is thus
called the complementary slackness condition which means that both λi∗ and gi (x ∗ )
cannot hold with strict inequalities at the same time. Further we can also guarantee
that λ∗0 > 0 by assuming certain additional conditions on the constraints. This was
independently achieved by Kuhn and Tucker [4] in 1951. I had the great privilege to
know how the now celebrated Karush-Kuhn-Tucker conditions or KKT conditions
were developed by Harold Kuhn himself at the sidelines of the EURO-OR conference
held in Lisbon in 2010. They approached the problem form a very different angle and
not through the lens of the Fritz John conditions. In fact Kuhn, Tucker, and Gale had
already established the necessary and sufficient condition for a linear programming
problem. These conditions for the linear programming problems were their guide to
prove a necessary and if possible sufficient condition for the problem (P2). Tucker
then wanted to device an optimality conditions for quadratic programming problems
David Gale however left the team to focus on game theory and it was Kuhn who
suggested that they focus on the case of differentiable functions and that allowed
them to provide the following results for (P2).
If we assume a suitable condition satisfied by the constraints at a local minimizer
x ∗ , then Kuhn and Tucker established the existence of λ∗ ∈ Rm + such that
(i) ∇ f (x ∗ ) + J G(x ∗ )T λ∗ = 0
(ii) λ∗ , G(x ∗ ) = 0.
Observe that the above conditions are the Fritz John conditions with λ∗0 = 1, and
hence the condition (λ∗0 , λ∗ ) = 0 is automatically met. The question that is of crucial
importance is that what is that condition which guarantees that λ∗0 = 0, i.e., λ∗0 > 0
in the case. In their famous paper of 1951, Kuhn and Tucker introduced a geometric
condition now called the Kuhn-Tucker constraint qualification. However, a more
natural condition can be provided as follows.
For any λ ≥ 0 with J G(x ∗ )T λ = 0 =⇒ λ = 0.
This is referred to in the current literature as the Basic constraints qualification

holding at x ∗ . We leave it to reader to prove that if the basic constraints qualifi-
cation (BCQ for short) holds at x ∗ , then in the Fritz John conditions it is easy to
establish that λ∗0 > 0 and thus can consider λ∗0 = 1 without loss of generality. It is
now a well-known fact that since 1980, the Kuhn-Tucker condition is known as the
Karush-Kuhn-Tucker condition, since Kuhn discovered that W. Karush of Chicago
proved a similar result in 1939 and wrote to Karush that this historic mistake should
be corrected and these conditions would henceforth be known as Karush-Kuhn-
Tucker (KKT for short) conditions. A major development began in 1960s where it
was found that it has become essential to deal with issue of non-differentiability.
This happens precisely when convex problems are considered; since in such cases
232 J. Dutta
the non-differentiability of the function generically lay precisely at the point where
the function has a minimum value. Traditionally, f (x) = |x|, x ∈ R is usually men-
tioned as a prototype model of such a function. Observe that x = 0 is the (global)
minimizer over R and the function has no derivative there. A key notion was that
of a subdifferential, which is a set-valued map playing the role of a derivative. An
extensive calculus rule was developed for the subdifferential and it deviated from
the usual calculus since the subdifferential could be calculated for convex functions
which intrinsically has no derivative. The calculus of convex functions was extended
for locally Lipschitz function by Clarke [5]. However the calculus rules for the now
famous Clarke generalized gradient or Clarke subdifferential are weaker than those
of convex functions. Later on in the setting of a lower-semicontinuous function, the
limiting subdifferential played a key role. Boris Mordukhovich [7, 8] Alexander
Kruger [9], Jon. Borwein and Zhu [10], Rockafellar and Wets [11] played a crucial
role in the development of the calculus of limiting subdifferential. From the erstwhile
Soviet union came two other different approaches to subdifferential for non-smooth
functions. These are, namely, the tangential subdifferential of Pschenichny and the
quasi-differential by Demyanov and Rubinov [12].
Our focus in this article will be a brief survey of role played by the limiting subd-
ifferential as the uniting force in developing the necessary optimality conditions for
various classes of optimization problems. We list below the headings of the various
sections of the paper.
Section 2: A non-smooth Analysis Tool Box
Section 3: Basic Optimality Conditions
Section 4: The geometry of BCQ
In Sect. 2, we shall briefly present the main tools of non-smooth analysis, reflecting
both the geometric and the analytic aspects. While discussing non-smooth geometry,
our key focus would be to discuss the notion of the limiting normal cone and how
such a robust object can be built up from more elementary notions of normal cones
specially in a non-convex setting. In the analytical aspect, our key goal would be to
elucidate the notion of the limiting subdifferential and tie it up with robust calculus
rules associated with it. We shall also emphasize the role of the proximal normal
cone and the proximal subdifferential in providing a more clear view of the limiting
normal cone and the limiting subdifferential.
In Sect. 3, our focus is on developing optimality conditions for the basic problem
of minimizing a function f over the set C. We will show how a geometric condition
called the transversality condition plays a crucial role in deriving the optimality
conditions. In Sect. 4 we show that how non-smooth tools can be effectively used in
developing the KKT optimality conditions for smooth optimization problems with
both inequality and equality constraints. In this, we also show that the transversality
conditions are actually the geometric version of the Basic Constraint Qualification
(BCQ). In this section, we show an example of an optimistic bilevel programming
problem where the Basic Constraint Qualification fails at a local minimizer.
Our notations as we have already used some in this section are fairly standard.
For example, for the inner product of two vectors in Rn , we use the notation x, y ,
where x, y ∈ Rn . For any set A, intA and Ā denote the interior and closure of A,
respectively. Other notations denoting sequences and convergence are also fairly
standard. A sequence of vectors in Rn , (n > 1) will be denoted by {v k }, where as a
sequence in Rn is given as {tk }, k ∈ N. The convex hull of a set A is denoted as co A.
We begin with the hope that the reader is fairly conversant with convex analysis and
basic optimization. Our aim here is only to open the entrance of huge edifices called
non-smooth analysis and optimization using the limiting subdifferential as the guide.
2 A Non-smooth Analysis Tool Box
Let us note in the beginning that this article is more in the form of a research exposition
or survey rather than an original work. Even in this exposition we want to keep
ourselves at the simplest level. Our key tool will be the limiting normal cone and
the limiting subdifferential. We intend to study variational geometry or non-smooth
geometry first and then move on to subdifferentials and useful calculus rules. Our
key source would be Rockafellar and Wets [11], Mordukhovich [7] and Loewen [13].
2.1 Non-smooth Geometry
One of the key tools of non-smooth geometry is the notion of a Bouligand tangent
cone introduced in 1938. Let S ⊆ Rn , and let x̄ ∈ Rn , then v is a tangent vector to
S at x̄ ∈ Rn if there exists a sequence {v k } in Rn , such that v k → v and tk ↓ 0, (i.e.,
tk > 0 & tk → 0) such that x̄ + tk v k ∈ S. The collection of all tangents vectors of S
at x̄ is called the Bouligand tangent cone and is denoted by TS (x̄).
Given a convex set C ⊆ Rn , the normal cone to C at x̄ ∈ C, is given as the set
NC (x̄) = {v ∈ Rn : v, x − x̄ ≤ 0, ∀x ∈ C}.
NC (x̄) is a closed convex cone and when C is a convex set, TC (x̄) is also a closed
convex cone and both of these objects are connected by the polarity relation
(TC (x̄0 ))◦ = NC (x̄)
(NC (x̄))◦ = TC (x̄).
This polarity relation is the key to the famous Rockafellar-Pschenichny conditions in

convex optimization. The move away from convexity of a set is very nicely captured
in the definition of the regular normal cone. Let C ⊆ Rn be non-empty, then v ∈ Rn
is called a regular normal to C at x̄, if
v, x − x̄ ≤ o(x − x̄), (1)

234 J. Dutta
for all x ∈ C, where
o(x − x̄)
lim =0
x→x̄ x − x̄
Intuitively the right-hand side in (1) measures the possible derivation from con-
vexity. The set of all regular normals to C at x̄ forms a cone called the regular normal
cone to C at x̄ and is denoted as N̂C (x̄) = NC (x̄). The drawback of N̂C (x̄) is that it
can just reduce to the trivial set {0}. To avoid such unpleasant situations the notion
of the limiting normal cone was introduced. A vector v ∈ Rn is called a limiting
normal to C at x̄, if there exists a sequence of vectors {x k } in C, such that x k → x̄
and sequence {v k } in Rn such that v k → v, as k → ∞ with v k ∈ N̂C (x k ) for each
k ∈ N. The collection of all the limiting subdifferentials is called the limiting normal
cone and is denoted as NCL (x̄). Further it is clear that N̂C (x̄) ⊂ NCL (x̄), but unlike
N̂C (x̄), the limiting normal cone to C at x̄ need not be convex even though it is
closed. Further if C is convex we have
NC (x̄) = N̂C (x̄) = NCL (x̄).
This has given rise to notion of regularity of sets. A set C ⊆ Rn is said to be regular
at x̄ if N̂C (x̄) = NCL (x̄). A convex set is thus regular at all its points. However if one
needs to visualize the limiting normal cone in a more effective way, we need to
develop the idea of the limiting normal cone form the lens of a proximal normal
cone. Assuming that the idea of the projection on to a closed convex set we define
the notion of projection map. Given S ⊆ Rn , the projection map Pr ojS is a set-valued
map form Rn to S, i.e., Pr ojS : Rn ⇒ S, given as
Pr ojS (x) = argmin 21 x − s2 .

S
If S is a closed set then Pr ojS (x) = ∅ for each x. Else there can be x ∈ Rn for which
Pr ojS (x) = ∅.
We say a vector v ∈ Rn is a proximal normal to S at x̄, provided x̄ ∈ S, and there
exists y ∈ Rn such that x̄ ∈ Proj S (y) and v = λ(y − x̄) for some λ > 0. The set
of all proximal normals forms a cone called the proximal normal cone, denoted as
NCP (x̄). Thus
NCP (x̄) = {v = λ(y − x̄) : λ > 0, x̄ ∈ Pr ojS (y)}.
Of course if C is convex NCP (x̄) = NC (x̄). Further it can be shown that if v ∈

NCP (x̄),
then there exists σ > 0, such that
v, x − x̄ ≤ σx − x̄2
for all x ∈ C.
This shows that v ∈ N̂C (x̄). This shows that NCP (x̄) ⊂ N̂C (x̄), though the reverse
inclusion may not hold.
In fact if v ∈ NCL (x̄), then there exists a sequence {x k } in C and {v k } in
R , with x k → x̄ and v k → v such that v k ∈ NCP (x k ). This view of limiting nor-
n
mals allows us actually to visualize the limiting normal cone.

Example 1 Let C ⊆ R2 , given as (Fig. 1)
C = epi(−|x|), x ∈ R
where epi f denotes the epigraph of the function. In Figs. 2 and 3 below the green
coloured part denotes the epigraph of f (x) = −|x|.
y
4
1
x
-4 -3 -2 -1 1 2 3 4
-1
-2
-3 y=-|x|
-4
Fig. 1 Graph of f (x) = −|x|
Fig. 2 Epigraph of f (x) = −|x|

236 J. Dutta
Fig. 3 Proximal normal and

construction of limiting
normal
Observe that outside C, there is no point whose projection is the point (0, 0), i.e.,
NCP (x̄) = Nepi

P
f (0, 0) = {(0, 0)}
From Fig. 3, we can now write
f (0, 0) = {(x, y) ∈ R : y = −x, x ≥ 0} ∪ {(x, y) ∈ R : y = x, x ≤ 0}

L 2 2
Nepi
f (0, 0) is a closed set but not a convex set. With

L
It is clear that in this case Nepi
this example, we shall end our discussion on variational geometry and move to
subdifferentials.
2.2 Subdifferentials
In this section, we consider extended valued function, f : Rn → R̄, where R̄ =

R ∪ {+∞, −∞} and the arithmetic rules involving infinity is chosen in this article is
along the lines of Rockafellar and Wets [11]. We say that f is proper if f never takes
the value −∞ and the set dom f = {x ∈ Rn : f (x) < +∞} is non-empty. Our first
point of focus would be the subdifferential of a convex function.
Let f : Rn → R̄ be a proper convex function, and x̄ ∈ dom f . Then the subdiffer-
ential of f at x̄ is the set
∂ f (x̄) = {v ∈ Rn : f (y) − f (x̄) ≥ v, y − x̄ , ∀y ∈ Rn }.
If x̄ ∈
/ dom f , then define ∂ f (x̄) = ∅. It is simple to observe that ∂ f (x̄) is a convex
set. Further x̄ is a global minima of f over Rn , if and only if 0 ∈ ∂ f (x̄). An important
example which we will need in what follows is the subdifferential of the indicator
function δC of a set C ⊆ Rn . We have

0, if x ∈ C
δC (x) =
∞ if x ∈/ C.
If C is convex, then δC : Rn → R is a lower-semicontinuous proper convex function.

In fact it is simple to observe that if C is convex, then ∂δC (x̄) = NC (x̄), if x̄ ∈
C and ∂δC (x̄) = ∅, if x ∈/ C.
Further if x̄ ∈ intdom f , then ∂ f (x̄) = ∅, convex and compact. When f is no
longer convex we focus on what is known as the regular subdifferential with an error
term being added to the right. Thus for f ∈ Rn → R̄, which is proper we say that
v ∈ Rn , is a regular subgradient of f at x̄ if
f (y) − f (x̄) ≥ v, y − x̄ + o(y − x̄),
for all y ∈ Rn , where
o(y − x̄)
lim = 0.
y→x̄ y − x̄
The set of all regular subgradients forms a set called the regular subdifferential ∂ˆ f (x̄).
If f is convex, then
∂ˆ f (x̄) = ∂ f (x̄).
• It is important to note that ∂ˆ f (x̄) need not be non-empty at each of dom f point
even if f is locally Lipschitz.
• Further there is an elegant geometrical representation of ∂ˆ f (x̄) given as
∂ˆ f (x̄) = {v ∈ Rn : (v, −1) ∈ N̂epi f (x̄, f (x̄))}.
Now if f is differentiable, then for any v ∈ Rn and ξ ∈ ∂ˆ f (x̄)
f (x̄ + λv) − f (x̄) ≥ ξ, x̄ + λv − x̄ + o(λv)
where, λ > 0. Thus
f (x̄ + λv) − f (x̄) o(λ)

≥ ξ, v + .
λ λ
As λ ↓ 0, then
∇ f (x̄), v ≥ ξ, v
∇ f (x̄) − ξ, v ≥ 0, ∀v ∈ Rn .
238 J. Dutta
Hence ξ = ∇ f (x̄), showing that if f is differentiable at x̄, then
∂ˆ f (x̄) = {∇ f (x̄)}, if ∂ˆ f (x̄) = ∅.
Next we shall come to the notion of a limiting subdifferential, which is obtained as

a limit of a sequence of regular normals. Let f : Rn → R̄ be a proper function and
let x̄ ∈ dom f. Then v is said to be a limiting subgradient or basic subgradient at x̄,
if there exists a sequence {x k }, such that x k → x̄, f (x k ) → f (x̄), and a sequence
{v k }, with v k → v, with v k ∈ ∂ˆ f (x k ).
The collection of all limiting subgradients at x̄ is denoted by ∂ L f (x̄), and is called
the limiting subdifferential or basic subdifferential of f at x̄. ∂ L f (x̄) is often referred
to as the Mordukhovich subdifferential. The limiting subdifferential is closed though
need not be a convex set. In order to see this, we need to actually compute it for a
specific case. This can be done using the elegant geometrical formulation, of the
limiting subdifferential, i.e.,
∂ L f (x̄) = {v ∈ Rn : (v, −1) ∈ Nepi

L
f ( x̄, f ( x̄))}.
For more details on how to arrive at above form of the limiting subdifferential see,
for example, [7, 11, 14].
Example 2 Let f (x) = −|x|, then we shall compute ∂ L f (0). Thus
∂ L f (0) = {ξ ∈ R : (ξ, −1) ∈ Nepi

L
f (0, 0)}.
We already know that
f (0, 0) = {(x, y) ∈ R , y = −x, x ≥ 0} ∪ {(x, y) ∈ R , y = x, x ≤ 0}.

L 2 2
Nepi
Observe that
(1, −1) ∈ {(x, y), y = −x, x ≥ 0}

(−1, −1) ∈ {(x, y) : y = x, x ≤ 0}.
Thus (1, −1) and (−1, −1) belongs to Nepi L

f (0, 0). Further observe that there are
no other v ∈ R such that (v, −1) ∈ Nepi f (0, 0). This can be seen from Fig. 3 in the
L
previous subsection. Hence from (2.2) we conclude that ∂ L f (0) = {−1, +1} . It is
clear that ∂ L f (0) is closed though not convex.
However a more simpler way or rather a geometrical way of viewing the limiting
normal is through the notion of a proximal subdifferential rather than the regular
subdifferential. Looking at the geometrical representation of other subdifferentials it
is intuitive to define the proximal of a proper function f : Rn → R̄ at x̄ ∈ dom f as
∂ P f (x̄) = {v ∈ Rn : (v, −1) ∈ Nepi

P
f ( x̄, f ( x̄))}.
The set ∂ P f (x̄) is convex but may not be non-empty at each x̄ ∈ dom f .
Observe that if f (x) = −|x|, then,
f (0, 0) = {(0, 0)}.

P
Nepi
Hence ∂ P f (0, 0) = ∅. But the limiting subdifferential can be obtained as a limit

of proximal subdifferentials in the following sense: If v ∈ ∂ L f (x̄), there exists a
sequence x k → x with f (x k ) → f (x) and a sequence v k → v, with v k ∈ ∂ P f (x k ).
More formally we can define the limiting subdifferential in terms of the proximal
subdifferential as follows.
Definition 3 Let f : Rn → R be a proper function and let x̄ ∈ dom f . Then we say

that a vector v ∈ Rn is a limiting subdifferential of f at x̄ if there exists a sequence
{v k } ∈ Rn converging to v, a sequence {x k } in Rn converging to x̄ and { f (x k )}
converging to f (x̄) such that v k ∈ ∂ P f (x k ).
Observe that for f (x) = −|x|, we have ∂ P f (0) = ∅ and ∂ L f (0) = {−1, +1}.
Observe that if {x k } ⊆ R, x k ≥ 0, x k → 0, then ∂ P f (x k ) = {−1} while if we take
{x k } ⊆ R, x k ≤ 0, x k → 0, then ∂ P f (x k ) = {+1} . Thus from the above 3 it is clear
that ∂ L f (0) = {−1, +1}. Let us now provide an example of computing the limiting
subdifferential of a function f : R2 → R and demonstrate that even for a simple
function such a computation need not be very simple.
Example 4 Consider the function φ : R2 → R such that
φ(x, y) = |x| − |y|, (x, y) ∈ R2 .
Our aim is to compute ∂ L φ(x, y), for any (x, y) ∈ R2 . Observe that along the x-axis
and y-axis, φ is not differentiable. So let us have a look at the structure of φ in detail.
Also note that if φ is continuously differentiable at (x̄, ȳ), then
∂ L φ(x̄, ȳ) = {∇φ(x̄, ȳ)}
Now look at the following cases

(a) If x > 0, y > 0, φ(x, y) = x − y, ∂ L φ(x, y) = {(1, −1)}
(b) If x < 0, y > 0, φ(x, y) = −x − y, ∂ L φ(x, y) = {(−1, −1)}
(c) If x < 0, y < 0, φ(x, y) = −x + y, ∂ L φ(x, y) = {(−1, 1)}
(d) If x > 0, y < 0, φ(x, y) = x + y, ∂ L φ(x, y) = {(1, 1)}
Now on the x-axis and y-axis the function φ is not differentiable. On the y-axis at
each point we need to compute the ∂ L | · | at x = 0 and at each point of the x-axis
∂ L (−| · |) at y = 0. To compute this we shall use the following fact. Let f and g be
two locally Lipschitz functions on Rn , and if
h(x, y) = f (x) + g(y),

240 J. Dutta
then,
∂ L h(x, y) = ∂ L f (x) × ∂ L g(y).
One can obtain this using the definition of the limiting subgradients in terms of
proximal normal. We will provide the proof after we complete the example.
Observe that
∂ L φ(0, 0) = ∂ L (|0|) × ∂ L (−|0|)

= [−1, +1] × {−1, +1}
∂ L (|0|) = [−1, +1], since f (x) = |x| is convex and
∂ L (−|0|) = {−1, +1}
has been shown to be {-1,+1} in Example 1. Hence
∂ L φ(0, 0) = {(v, −1), −1 ≤ v ≤ 1} ∪ {(v, 1) : −1 ≤ v ≤ +1}
Now let us compute ∂ L φ(x, y) along the y-axis, at all points except the origin. If
y>0
∂ L φ(0, y) = ∂ L (|0|) × {−1}

= [−1, +1] × {−1}
= {(v, −1) : −1 ≤ v ≤ 1}
If y < 0
∂ L φ(0, y) = ∂ L (|0|) × {+1}

= [−1, +1] × {+1}
= {(v, 1) : −1 ≤ v ≤ 1}
We will now compute along x-axis, except the origin. If x > 0, then
∂ L φ(x, 0) = {1} × ∂ L (−|0|)

= {+1} × {−1, +1}
= {(1, −1), (1, 1)}
Further if x < 0, we have
∂ L φ(x, 0) = {−1} × ∂ L (−|0|)

= {−1} × {−1, +1}
= {(−1, −1), (−1, 1)}
This completes the example.
Our aim would be now to establish the fact that
∂ L φ(x, y) = ∂ L f (x) × ∂ L g(y)
It is important to note that if (ξ, η) ∈ ∂ P φ(x̄, ȳ) then using Proposition 4A.3 from
Loewen [13], we conclude that ∃δ > 0 and μ > 0 such that
φ(x, y) − φ(x̄, ȳ) ≥ (ξ, η), (x, y) − (x̄, ȳ) − μ(x, y) − (x̄, ȳ)2 ,
for any (x, y) such that (x, y) − (x̄, ȳ) < δ, thus
( f (x) + g(y)) − ( f (x̄) + g( ȳ)) ≥ ξ, x − x̄ + η, y − ȳ − μ[x − x̄2 + y − ȳ2 ]
for all (x, y) with (x, y) − (x̄, ȳ) < δ. Note that (x, ȳ) − (x̄, ȳ) < δ., whenever
x − x̄ < δ Hence,
f (x) − f (x̄) ≥ ξ, x − x̄ + μx − x̄2 , ∀x with x − x̄ < δ.
Hence ξ ∈ ∂ P f (x̄) using Proposition 4.3A of Loewen [13]. We can in a similar way
prove that η ∈ ∂ P g( ȳ). Hence (ξ, η) ∈ ∂ P f (x̄) × ∂ P g( ȳ). Thus
∂ P φ(x̄, ȳ) ⊆ ∂ P f (x̄) × ∂ P g( ȳ).
Consider now ξ ∈ ∂ P f (x̄) and η ∈ ∂ P g( ȳ). Now again using Proposition 4A.3 in
Loewen [13], we have that ∃δ > 0 and μ > 0 such that
δ
f (x) − f (x̄) ≥ ξ, x − x̄ − μx − x̄2 , ∀x with x − x̄ < .
2
Further
δ
g(y) − g( ȳ) ≥ η, x − x̄ − μy − ȳ2 ∀y with y − ȳ < .
2
Thus
φ(x, y) − φ(x̄, ȳ) ≥ (ξ, η), (x, y) − (x̄, ȳ) − μ[(x − x̄, y − ȳ)2 ].
for all x, y with (x, y) − (x̄, ȳ) < δ. Hence (ξ, η) ∈ ∂ P φ(x̄, ȳ). This immediately
shows that
∂ P φ(x̄, ȳ) = ∂ P f (x̄) × ∂ P g( ȳ).
Now let (ξ, η) ∈ ∂ L φ(x̄, ȳ), then there exists (x k , y k ) → (x̄, ȳ) and (ξ k , η k ) ∈
∂ P φ(x̄ k , ȳ k ) such that (ξ k , η k ) → (ξ, η). Thus ξ k ∈ ∂ P f (x k ) and η k ∈ ∂ P g(y k ).
242 J. Dutta
Hence ξ ∈ ∂ P f (x̄) and η ∈ ∂ P g( ȳ). Thus (ξ, η) ∈ ∂ L f (x̄) × ∂ L g( ȳ). Thus
∂ L φ(x̄, ȳ) ⊆ ∂ L f (x̄) × ∂ L g( ȳ).
Let (ξ, η) ∈ ∂ L f (x̄) × ∂ L g( ȳ). Then ξ ∈ ∂ L f (x̄) and η ∈ ∂ L g( ȳ). Hence there exists
x k → x̄, ξ k → ξ with ξ k ∈ ∂ P f (x k ) and also y k → ȳ, η k → η such that η k ∈
∂ P g(y k ). Hence (ξ k , η k ) ∈ ∂ P φ(x k , y k ) as (ξ k , η k ) → (ξ, η) and (x k , y k ) → (x̄, ȳ).
Hence (ξ, η) ∈ ∂ L φ(x̄, ȳ). Thus
∂ L f (x̄) × ∂ L g( ȳ) ⊆ ∂ L φ(x̄, ȳ)
and hence proving that
∂ L φ(x̄, ȳ) = ∂ L f (x̄) × ∂ L g( ȳ).
Also observe in Example 2 the function φ(x, y) = |x| − |y| is locally Lipschitz and
also observe that ∂ L φ(x̄, ȳ) was closed and bounded for any (x, y) ∈ R2 . In fact it
can be seen, for example, from Vinter [14] that for any locally Lipschitz function on
Rn , the limiting subdifferential is always non-empty and compact.
In the world of non-smooth, non-convex optimization, subdifferential plays an
important role. However, from my own individual experience, they play more of an
explanatory role rather than playing the key role in the actual computation of a local
minimizer. From mid-1970s till the early half of the twenty-first century, the land-
scape of non-smooth analysis was dominated by the Clarke subdifferential or Clarke
generalized gradient. Unlike the limiting subdifferential the Clarke subdifferential is
built on a more fundamental object called the Clarke generalized derivative.
If f is a locally Lipschitz function in Rn , i.e., f : Rn → R and locally Lipschitz,
then the Clarke generalized directional derivative of f at x̄ in the direction of v ∈ Rn
f (y + λv) − f (y)
f 0 (x̄, v) = lim sup .
y→x̄ λ
λ↓0
The function f 0 (x̄, v) exists finitely, for each x̄ ∈ Rn and v ∈ Rn . The Clarke subd-
ifferential of f at x̄ is given by
∂ 0 f (x̄) = {v ∈ Rn : f 0 (x̄, v) ≥ ξ, v , ∀v ∈ Rn }.
Of course one has 0 ∈ ∂ 0 f (x̄) if x̄ is a local minimizer however the converse is not
true. The set ∂ 0 f (x̄) is always a non-empty convex and compact set. Further
co∂ L f (x̄) = ∂ 0 f (x̄).
Before we end this section we shall introduce the notion of a singular subdifferential,
which can be a measure of deviation of a function from being locally Lipschitz.
The limiting singular subdifferential of a proper function f : Rn → R at x̄ ∈ dom f

is given as
∂ L∞ f (x̄) = {v ∈ Rn : (v, 0) ∈ Nepi f (x̄, f (x̄))}.
If f is locally Lipschitz, then

∂ L∞ f (x̄) = {0}.
In fact one show that v ∈ ∂ L∞ f (0) implies that v ∈ Ndom f (x̄), if f is convex. This
object will play a key role in calculus rules.
2.3 Calculus Rules for the Subdifferential
Our aim here would be to present two calculus rules. Namely, the sum rule and
the calculation of subdifferential of the max. In our exposition, the use of the term
subdifferential only refers to the limiting subdifferential. We begin with the sum rule.
Theorem 1 Let f 1 and f 2 be two proper lower-semicontinuous functions and let

x̄ ∈ dom f 1 ∩ dom f 2 .
(∂ L∞ f 1 (x̄)) ∩ (−∂ L∞ f 2 (x̄)) = {0}.
Then
∂ L ( f 1 + f 2 )(x̄) ⊆ ∂ L f 1 (x̄) + ∂ L f 2 (x̄).
Corollary 1 If either f 1 or f 2 is locally Lipschitz, then
∂ L ( f 1 + f 2 )(x̄) ⊂ ∂ L f 1 (x̄) + ∂ L f 2 (x̄).
Another result which follows from Theorem 1 is a calculus of the limiting normal
cones, and will have a key role in understanding optimality conditions.
Theorem 2 Let C1 and C2 be two non-empty sets. If C1 ∩ C2 = ∅. Let x̄ ∈ C1 ∩ C2
and assume that
[NCL1 (x̄)] ∩ [−NCL2 (x̄)] = {0}.
Then
NCL1 ∩C2 (x̄) ⊂ NCL1 (x̄) + NCL2 (x̄).
244 J. Dutta
The proof of the result follows by a direct application of Theorem 1, with f 1 = δC1
and f 2 = δC2 and noting that for any C ⊆ Rn ,
∂ L δC (x) = NCL (x̄), ∂ L∞ δC (x) = NCL (x̄).
Leaving the proof of the first equality to the reader, who can again use the power of
the proximal subdifferential. The reader can first establish the fact that
∂ P δC (x) = NCP (x).
Let us just briefly show how to obtain the second inequality and thereby bringing
out some beauty of non-smooth analysis. Observe that epiδC = C × R+ . Therefore
v ∈ ∂ L∞ δC (x) ⇒ (v, 0) ∈ Nepiδ

L
C
(x, f (x))
⇒ (v, 0) ∈ NC×R
L
+
(x, f (x))
⇒ (v, 0) ∈ NCL (x) × NRL+ ( f (x)).
Hence, v ∈ NCL (x). Thus

∂ L∞ δC (x) ⊂ NCL (x).
Conversely v ∈ NCL (x) and since 0 ∈ NRL+ ( f (x)), we have
(v, 0) ∈ NCL (x) × NRL+ ( f (x))

⇒ (v, 0) ∈ NC×R
L
+
(x, f (x))
⇒ (v, 0) ∈ Nepiδ
L
C
(x, f (x)).
Hence v ∈ ∂ L∞ δC (x). Thus NCL (x) ⊂ ∂ L∞ δC (x), showing that
NCL (x) = ∂ L∞ δC (x).
We are now going to state how to estimate the limiting subdifferential of a composi-
tion of two mappings and the estimate of the subdifferential of a max function will
follow as a corollary. We shall state this result as given in Loewen [13].
If F : Rn → Rm , then we can write
F(x) = { f 1 (x), f 2 (x), . . . , f m (x)}
where each f i : Rn → R. Then for any y ∈ Rm , the function (y F) : Rn → R is given

as
(y F)(x) = y, F(x) = y1 f 1 (x) + · · · + ym f m (x).

Let g(x) = h ◦ F(x) = h(F(x)), where h : Rm → R̄ is a proper

lower-semicontinuous function with F(x) ∈ dom(h). Then
∂ L g(x) ⊂ {∂(y F)(x) : y ∈ ∂ L h(F(x))}.
Note that equality holds if each f i , i = 1, . . . , m convex function and h is an increas-

ing convex function.
If h(x) = max{x1 , x2 . . . , xn }, x ∈ Rn and F(x) = { f 1 (x), . . . , f m (x)} we have
g(x) = max{ f 1 (x), . . . , f m (x)}. Now we ask ourselves the question: How can we
estimate the subdifferential of this max function? In fact using the above calculus
rule and the well-known rule for the subdifferential of a max function in convex
analysis (see, for example, Hiriart-Urruty and Lemarechal [15]) we have

m
∂ L g(x) ⊂ {∂ L (y F)(x) : y ∈ Rm
+, yi = 1 with yi = 0 if i ∈
/ J (x)}, (2)
i=1
where J (x) = {i : f i (x) = g(x)}. Note that equality holds if each f i , i = 1, . . . , m is

a convex function. Note that h(x) = max{x1 , x2 . . . , xn }, then g(x) =
max{ f 1 (x), . . . , f m (x)}).
The calculus rule (2) is intrinsic to non-smooth analysis as the max function in gen-
eral has no derivative at points x, where the index set J (x) is not singleton. Now
we shall focus on the optimality condition or more precisely necessary optimality
conditions.
3 Basic Optimality Conditions
The basic problem of optimization is the following problem (P)
min f (x)
x∈C
where f : Rn → R̄ is a proper lower-semicontinuous function and C ⊆ Rn . The sum

rule as we will see remain the key to developing the basic optimality rules. If x̄ ∈ C
be a local minimizer of (P), then it is also the local minimizer of the problem (P1).
min f (x) + δC (x).

x∈Rn
Hence we have 0 ∈ ∂ L ( f + δC )(x̄). To apply the sum rule to get a more easily
verifiable condition we need to assume the condition
(∂ L∞ f (x̄)) ∩ (−NCL (x̄)) = {0}.

246 J. Dutta
Once this is satisfied the sum rule applies and we have the optimality condition
0 ∈ ∂ L f (x̄) + NCL (x̄).
Observe that if C = Rn then the above condition reduces to 0 ∈ ∂ L f (x̄), where x̄ is

now the local minimizer of f over Rn . This condition reduces to famous Rockafellar-
Pschenichnyi condition when f and C are convex function and convex set, respec-
tively.
Suppose we do not take refuge in the sum rule and want to directly determine
the necessary optimality condition for minimizing a proper lower-semicontinuous
function over Rn in terms of the limiting subdifferential. Then it might not be imme-
diately apparent why 0 ∈ ∂ L f (x0 ), if x0 is a local minimizer of f in the way it is
apparent if f is convex. Let us consider a proper and lower-semicontinuous function
f on Rn . As has been proved in Proposition 4 A.3 Loewen [13] that ξ ∈ ∂ p f (x̄) if
∃ σ > 0 and δ > 0, such that
f (y) ≥ f (x) + ξ, y − x − σy − x2 ,
for all y such that y − x < δ.

If x is a local minimizer, there exists δ > 0, such that δ < δ
f (y) ≥ f (x),
for all y such that y − x < δ . Thus we have
f (y) − f (x) ≥ 0 ≥ −σy − x2 ,
for any σ > 0
f (y) − f (x) ≥ 0 ≥ 0, y − x − σy − x2 ,
for all y in such y − x < δ . This show that 0 ∈ ∂ p f (x) and hence 0 ∈ ∂ L f (x) as
∂ P f (x) ⊂ ∂ L f (x). Similar arguments will work for the regular normal cone. Note
that in the problem (P), if f is locally Lipschitz then ∂ L∞ f (x̄) = {0} and hence the
condition
∂ L∞ f (x̄) ∩ (−NC (x̄)) = {0} (3)
automatically holds.
The condition (3) is often referred to as the transversality condition and as we
will see later is deeply linked with the basic constraint qualification. Clarke subdif-
ferential of a locally Lipschitz finite valued function is the convex hull of its limiting
subdifferential. This convexification kills several key properties. Observe that for
f (x) = −|x|, x̄ = 0 is the global maximizer and not the minimizer, local or global.
Here the limiting subdifferential ∂ L f (0) = {−1, +1}, showing that 0 ∈ / ∂ L f (0) and
hence zero cannot be a local minimizer. Thus the limiting subdifferential is a powerful
tool, to analyze local minimizers. While ∂ ◦ f (0) = co∂ L f (0) = [−1, +1], and we
have 0 ∈ ∂ ◦ f (0), though the construction of the Clarke subdifferential is such that
it is geared towards analyzing local minimizers. The Clarke subdifferential does not
provide more information about the nature of an optimizing point though the limiting
subdifferential does. Let us have a look again at the transversality condition and we
will observe that it is equivalent to, the following. If v1 ∈ ∂ L∞ f (x̄) and v2 ∈ NCL (x̄).
Then the transversality condition holds at x̄ iff
v1 + v2 = 0 =⇒ v1 = 0, v2 = 0.
One of the key focuses of this exposition is to explore the transversality condition
and its role in devising optimality conditions. Now consider the problem (P) with,
C = C1 ∩ C2 , where C1 , C2 ⊂ Rn
min f (x) subject to x ∈ C1 ∩ C2
If x ∗ be a local minimizer of (P), then the necessary condition for optimality is given
as
0 ∈ ∂ L ( f + δC1 ∩C2 )(x̄). (4)
Observe that for any x ∈ Rn
δC1 ∩C2 (x) = δC1 + δC2 (x).
Hence the necessary condition (4) can be re-written as
0 ∈ ∂ L ( f + δC1 + δC2 )(x̄).
This motivates us to look into the extended form of the sum rule. Let f (x) = f 1 (x) +
f 2 (x) . . . + f m (x), where each f i : Rn → R̄ is proper and lower-semicontinuous. Let
x̄ ∈ ∩i=1m
dom f i . Further assume that whenever vi ∈ ∂ L∞ f i (x̄), i = 1, . . . , m and
v1 + . . . + vm = 0 we have vi = 0 for all i. Then
∂ L ( f 1 + . . . + f m )(x̄) ⊂ ∂ L f 1 (x̄) + . . . + ∂ L f m (x̄).
In the problem (P) if we have C = C1 ∩ C2 , then the required transversality condition

is, v1 + v2 + v3 = 0 with v1 ∈ ∂ L∞ f (x̄), v2 ∈ NCL1 (x̄) and v3 ∈ NCL2 (x̄), then v1 =
v2 = v3 = 0. If f is locally Lipschitz in (P) and C = C1 ∩ C2 , then the transversality
condition reduces to NC1 (x̄) ∩ (−NC2 (x̄)) = {0}.
The reader can easily check this fact, We shall now turn our focus to the case
when f is continuously differentiable around x̄, then f is locally Lipschitz, and the
necessary optimality condition is given through the following generalized equation
0 ∈ ∇ f (x̄) + NCL (x̄).

248 J. Dutta
In fact continuous differentiability is really not a strict requirement. If we just assume

differentiability then a local minimizer x̄ satisfies the necessary condition.
∇ f (x̄), d ≥ 0, ∀ d ∈ TC (x̄)
By definition of a polar cone from convex analysis we have
−∇ f (x̄) ∈ (TC (x̄))0
C (x̄) (see Chap. 6 in Rockafellan and Wets [11]), we have

Further as (TC (x̄))0 = N
C (x̄).
f (x̄) ∈ N
C (x̄) ⊂ NCL (x̄). We have

Further as N
0 ∈ ∇ f (x̄) + NCL (x̄).
Let us turn over attention to convex programming problems and more specifically
for a convex programming with linear constraints.
Consider the problem (CLP)
min f (x)
subject to Ax = b
x ≥ 0,
where f : Rn → R is a convex function, A is a m × n matrix, b ∈ Rm and x ≥ 0

means xi ≥ 0, ∀ i = 1, . . . , n. It is a well-known fact that the necessary and sufficient
optimality conditions hold for this class of problems by application of the celebrated
Farkas Lemma, (see, for example, Guler [16]).
The problem (CLP) can be written as
min f (x)
x ∈ C1 ∩ C2 ,
where
C1 = {x : Ax = b}
C2 = {x : x ≥ 0} = Rn+
Thus the transversality condition at any x ∈ C1 ∩ C2 in this case can be written as

NC1 (x) ∩ −NC2 (x) = {0}.
It is by now a well-known fact that

NC1 (x) = Im A T ; ∀ x ∈ C1 .
Hence, the transversality condition can be equivalently written as
(Im A T ) ∩ (−NRn+ (x)) = {0}. (5)
So the natural question is as follows: Does the condition (5) holds automatically for
the problem (CLP)? The answer is surprisingly no.
Example 5 Consider
C1 = {(x1 , x2 ) ∈ R2 : x1 + x2 = 0}
C2 = R2+
C1 ∩ C2 = {(0, 0)}. Thus
NC1 (0, 0) = {(λ, λ) : λ ∈ R}

NR2+ (0, 0) = −R2+ .
Hence,
NC1 (0, 0) ∩ (−NR2+ (0, 0)) = {(λ, λ) : λ ∈ R} ∩ {R2+ }

= {0}.
Thus, the transversality condition fails. This is indeed an intriguing fact.
4 The Geometry of BCQ
By the term BCQ we mean Basic Constraint Qualification as we have mentioned

earlier. The Basic Constraint Qualification (BCQ) appears to be the most natural
condition under which one can derive the KKT conditions for an optimization prob-
lem with both equality and inequality constraints. In fact in this section we shall keep
our focus first only on the smooth case and try to study intrinsic geometry of BCQ.
Further in the second part of this section we shall consider a problem which is intrin-
sically non-smooth for which the BCQ fails for a local minimizer. In that context, we
shall also show how the notion of BCQ can get extended to the non-smooth setting.
We shall now formally define the notion of BCQ for the problem (MP),
min f (x)
gi (x) ≤ 0, i = 1, . . . , m
h j (x) = 0, j = 1, . . . , k,
250 J. Dutta
where f, gi , h j are real-valued and continuously differentiable.

Let x0 be feasible for (MP). Then, we say that BCQ holds at x0 if for λi ≥ 0, i =
1, . . . , m, λi = 0, for i ∈
/ I (x0 ) = {i : gi (x0 ) = 0}, and μ j ∈ R, j = 1, . . . , k

m
k
0= λi ∇gi (x0 ) + μ j ∇h j (x0 )
i=1 j=1
implies that λi = 0 for all i = 1, . . . , m and μ j = 0 for j = 1, . . . , k.

We will first derive a necessary optimality condition for the problem (MP) using
tools of non-smooth analysis. After that we will show that BCQ actually is a geometric
condition, and in fact it is the transversality condition.
Theorem 3 Let x0 be the local minimizer of the problem (MP). Let the BCQ holds
at x0 . Then, there exists λi ≥ 0, i = 1, . . . , m and μ j ∈ R, j = 1, . . . , k such that

m
k
(i) 0 = ∇ f (x0 ) + λi ∇gi (x0 ) + μ j ∇h j (x0 ).
i=1 j=1
(ii) λi gi (x0 ) = 0, i = 1, . . . , m.
Proof We shall essentially provide a scheme of the proof. The reader is requested to
fill up the gaps. Since x0 is a local minimizer of (MP) we observe that x0 is a local min-
imizer of F(x) over x ∈ X , where F(x) = max{ f (x) − f (x0 ), g1 (x), . . . , gm (x)}
and X = {x ∈ Rn : h j (x) = 0, j = 1, . . . , k}. Since F is locally Lipschitz and hence
0 ∈ ∂ F(x0 ) + N X (x0 ).
Hence, using the estimate of the limiting subdifferential of a max function in

we can conclude that there exists λ0 ≥ 0, λi ≥ 0, i ∈ I (x0 ) such that
Sect. 2.2,
λ0 + λi = 1 and
i∈I (x0 )

0 = λ0 ∇ f (x0 ) + λi ∇gi (x0 ) + N XL (x0 ).
i∈I (x0 )
Since BCQ holds at x0 , {∇h 1 (x0 ), . . . , ∇h j (x0 )} are linearly independent. Hence,
using Proposition 1.9 in Clarke et.al.[6], we have
⎧ ⎫
⎨k ⎬
N XP (x0 ) ⊂ μ j ∇h j (x0 ) : μ j ∈ R .
⎩ ⎭
j=1
If ξ ∈ N XL (x0 ), then there exists a sequence ξ n → ξ and x n → x0 ,, as n → ∞ such

that ξ n ∈ N XP (x n ). Hence, we can write

k
ξn = λnj ∇h j (x k ) (6)
j=1
Suppose λn = (λn1 , . . . , λnk ) is a bounded and without relabelling we consider λn →

λ as n → ∞ Therefore,
k
ξ= λ j ∇h j (x0 )
j=1
If {λn } is not bounded, then λn → ∞ as n → ∞ without loss of generality. Hence

setting
λn
ωn = n .
λ
As n → ∞ we see from (6) that

k
0= ω j ∇h j (x0 ),
j=1
where ω n → ω without loss of generality. Since ω = 1, we see that BCQ is

violated. Thus, we have μ j ∈ R, j = 1, . . . , k

k
0 = λ0 ∇ f (x0 ) + λi ∇gi (x0 ) + μ j ∇h j (x0 ).
i∈I (x0 ) j=1
If λ0 = 0, then

k
0= λi ∇gi (x0 ) + μ j ∇h j (x0 ),
i∈I (x0 ) j=1
as λi + λ0 = 1 it implies that there exists i ∈ I (x0 ) such that λi > 0 and thus
i∈I (x0 )
violating BCQ. Hence the result. The part (ii) is obtained by setting λi = 0, for
i ∈ I (x0 ).
Our next aim is to show that the satisfaction BCQ at a feasible point x0 , then the
transversality condition
NCL1 (x0 ) ∩ (−NCL2 (x0 )) = {0}
holds with
C1 = {x : gi (x) ≤ 0, i = 1, . . . , m} (7)
C2 = {x : h j (x) = 0, j = 1, . . . , k} (8)
252 J. Dutta
Theorem 4 Let C1 and C2 be defined above in (7) and (8). Let x0 ∈ C1 ∩ C2 . Let
us assume that BCQ holds at x0 for the problem (MP). Then
NCL1 (x0 ) ∩ (−NCL2 (x0 )) = {0}
Proof We shall first prove that if BCQ holds, then

m
NCL1 ⊂ λi ∇gi (x0 ) : λi ≥ 0, λi gi (x0 ) = 0
i=1
and ⎧ ⎫
⎨k ⎬
NCL2 ⊂ μ j ∇h j (x0 ) : μ j ∈ R .
⎩ ⎭
j=1
Note the BCQ implies that {∇h 1 (x0 ), . . . , ∇h j (x0 )} forms a linearly independent set
of vectors. From the discussion in Theorem 3 we know that NCL2 can be estimated as
above. Note the BCQ at x0 also implies that

m
λi ≥ 0, λi = 0, if i ∈ I (x0 ) and λi ∇gi (x0 ) = 0 =⇒ λi = 0, ∀ i = 1, . . . , m.
i=1
Now this condition allows us to show that

m

NC 1 ⊂
P
λi ∇gi (x0 ) : λi ≥ 0, λi gi (x0 ) = 0 .
i=1
Now arguing in the way we did in the proof of the last theorem (Theorem 3) we
conclude that
m

NC 1 ⊂
L
λi ∇gi (x0 ) : λi ≥ 0, λi gi (x0 ) = 0 .
i=1
Now let v1 ∈ NCL1 (x0 ) & v2 ∈ NCL2 (x0 ) and
v1 + v2 = 0.

m
Now ∃ λ̂i ≥ 0, λ̂i gi (x0 ) = 0 such that v1 = λ̂i ∇gi (x0 ) and also there exists
i=1
μ̂ j ∈ R, such that

m
v2 = μ̂ j ∇h j (x0 )
i=1
since v1 + v2 = 0, we have

m
k
λ̂i ∇gi (x0 ) + μ̂ j ∇h j (x0 ) = 0.
i=1 j=1
Since BCQ holds at x0 , we conclude that λ̂i = 0 i = 1, . . . , m and μ̂ j = 0, j =

1, . . . , k. This proves that v1 = 0, v2 = 0, and hence the transversality condition
holds. The converse is simple to construct, and we shall not prove it here but will
just mention it and leaving the proof to the reader.
Theorem 5 Let C1 and C2 be as given in (7) and (8). Let x0 ∈ C1 ∩ C2 . Assume

that
NC1 (x0 ) ∩ (−NC2 (x0 )) = {0}.
Further, assume that {∇h 1 (x0 ), . . . , ∇h m (x0 )} are linearly independent and there
exists d ∈ R such that ∇gi (x0 ), d < 0 for all i ∈ I (x0 ). Then, BCQ holds at x0 for
(MP).
Our next and final discussion is of particular class of problems, called bilevel pro-
gramming problems for which the Basic Constraint qualification never holds at any
feasible point. This was discussed in Dutta [17], where the proof appears to be
incomplete. We supply the full proof here.
Consider the following optimistic bilevel programming problem (OBP)
min F(x, y)
x,y
subject to y ∈ S(x)
where S(x) = argmin{ f (x, y) : y ∈ K }
y
We assume that F(x, y) is jointly convex in (x, y), f (x, y) is also jointly convex
and y ∈ K is convex. Here F(x, y) is called the upper-level objective or the leader’s
objective and f (x, y) is called the lower-level objective or follower’s objective.
Even though the problem has fully convex data; the problem is intrinsically non-
smooth and non-convex. For more details on bilevel programming see, for example,
Dempe [18] and the references therein. For optimistic bilevel programming see, for
example, Dempe et al. [19] and the references there in. Here we assume the upper-
level objective function is smooth. In Dutta [17] it was shown that if (x̄, ȳ) is a local
minimizer, then there exists λ0 ≥ 0 and λ1 ≥ 0 such that
(i) 0 ∈ λ0 ∇ F(x̄, ȳ) + λ1 (∂ f (x̄, ȳ) − (∂v(x̄) × {0}) + {0} × N K ( ȳ))
(ii) 0 = (λ0 , λ1 ) ∈ R+ × R+
Here v(x) = inf { f (x, y) : y ∈ K }, the value function associated with the lower-
y
level problem of the bilevel problem (OBP).
254 J. Dutta
The above Fritz John type necessary condition was possible since the bilevel
problem is equivalent to the single-level problem
min F(x, y)
x,y
subject to f (x, y) − v(x) ≤ 0

y∈K
Note that v(x) is also a convex function on Rn . Since we have not made any assump-
tion on the differentiability of the convex functions and the single-level problem above
is a non-convex and non-smooth optimization problem. So we shall now describe
what should be the form of BCQ for the following problem (NSP),
min f (x), subject to x ∈ X, gi (x) ≤ 0, i = 1, . . . , m.
where f , gi , i = 1, . . . , m are real-valued functions on Rn which are locally Lips-

chitz.
Let x0 be a feasible problem for (NSP). We will say the BCQ holds at x0 for (NSP)
if we have scalars λi ≥ 0, for all i = 1, . . . , m and λi = 0 if i ∈
/ I (x0 ) and

m
0∈ λi ∂ L gi (x0 ) + N X (x0 )
1=1
implies that λi = 0 for all i = 1, . . . , m.

Hence the Basic Constraint Qualification (BCQ) will be satisfied at (x̄, ȳ) of
(OBP) if:
λ1 ≥ 0 0 ∈ λ1 (∂ f (x̄, ȳ) − (∂v(x̄) × {0}) + {0} × N K ( ȳ))
implies λ1 = 0.
Using partial subgradients of the convex function, the Basic Constraint Qualifi-
cation can be written as
0 ∈ λ1 (∂x f (x̄, ȳ) − ∂v(x̄)) (9)

0 ∈ λ1 ∂ y f (x̄, ȳ) + N K ( ȳ) (10)
implies λ1 = 0.
We shall show that (9) and (10) can hold with λ1 > 0. Here ∂x f (x̄, ȳ) means
the subdifferential with respect to x for the convex function f (., ȳ). The partial
subdifferential with y can be defined similarly.
Let w ∈ ∂v(x̄). Hence, for any x ∈ Rn
v(x) − v(x̄) ≥ w, x − x̄ .

But v(x̄) = f (x̄, ȳ), as ȳ ∈ argmin f (x̄, y). Further, v(x) ≤ f (x, ȳ); for any
y∈K
x ∈ Rn .
Hence, for any x ∈ Rn
f (x, ȳ) − f (x̄, ȳ) ≥ w, x − x̄ .
This shows that w ∈ ∂x f (x̄, ȳ). Hence,
0 ∈ ∂x f (x̄, ȳ) − ∂v(x̄).
Hence, we can take λ1 > 0 in (9).

Since ȳ ∈ argmin f (x̄, y), the standard optimality conditions, namely, the
y∈K
Rockafellar-Pschenichny condition gives us
0 ∈ ∂ y f (x̄, ȳ) + N K ( ȳ).
Thus for any λ1 > 0 we have
0 ∈ λ1 ∂ y f (x̄, ȳ) + λ1 N K ( ȳ).
Since N K ( ȳ) is a cone we have
0 ∈ λ1 ∂ y f (x̄, ȳ) + N K ( ȳ)
Hence, we can take λ1 > 0 in (10). This shows us that BCQ never holds for the
problem (OBP).
The qualification condition BCQ has another deep link with the geometry of the
set of Lagrange multipliers or if the reader prefers KKT multipliers of the problem
at a local minimizer of (MP). The KKT multiplier set at a feasible point x0 of (MP)
is given as

K K T (x0 ) = (λ, μ) ∈ Rm
+ × R : ∇x L(x 0 , λ, μ) = 0, λ, g(x) = 0 .
k
where

m
k
L(x, λ, μ) = f (x) + λi gi (x) + μ j ∇h j (x),
i=1 j=1
denotes the Lagrangian function associated with (MP). We shall present below the
following result whose proof can be completed by the reader without much difficulty.
Theorem 6 Let x0 be a local minimizer of the problem (MP). Then BCQ holds at
x0 if and only if the set K K T (x0 ) is bounded.
256 J. Dutta
5 Conclusions
This expository article has been written keeping in mind the young researchers and
graduate students. The key aim was to show how non-smooth analysis lies at the
heart of modern optimization. Of course a lot of studies have been carried out seek-
ing connections between non-smooth analysis and optimality conditions (see, for
example, Borwein and Zhu [10]) our aim here is to bring out the central theme of the
issue like the constraint qualification BCQ and also it’s geometrical significance. We
also show that though non-smooth analysis provides a unifying theme in the study
of optimality conditions linear programming problems seem to be outside that uni-
fying framework. There had been debates over which is the most important class of
optimality conditions in modern optimization. One that has been given by Fritz John
or that by Karush, Kuhn, and Tucker. Pourciau [20], for example, considers that the
Fritz John conditions are more fundamental and thus of more value as the KKT con-
ditions can be derived from them by assuming simple conditions on the constraints.
However one needs to know that even for linear programming problems the Fritz
John conditions can hold at points which are just feasible and not optimal. For linear
programming problems as we know that KKT conditions always hold at optimal
points and not at non-optimal feasible points. Thus the KKT conditions are more
important from the practical point of view. The importance of the KKT conditions
can be gauged from the following special class of nonlinear programming problems
called mathematical programming problem with complementarity constraints called
MPCC problems in short. An MPCC problem is given as follows. We shall now
formally define the notion of BCQ for the problem (MP),
min f (x)
gi (x) ≤ 0, i = 1, . . . , m
h j (x) = 0, j = 1, . . . , k,
H (x) ≥ 0,
G(x) ≥ 0,
H (x), G(x) = 0
where f, gi , h j are real-valued and continuously differentiable while H, G : Rn →

Rn are also continuously differentiable vector-valued function. The name MPCC
comes from the last constraint of the problem. An important fact is that the Fritz
John condition is satisfied as each feasible point of the above MPCC through the
KKT conditions does not hold at all feasible points and may hold only at the local
minimizers since BCQ never holds at any feasible point of the problem. Thus from
the view of detecting optimal points the KKT conditions clearly score a point over
the Fritz John conditions. The real use of Fritz John condition in constrained pro-
gramming lies in the fact that it provides a negative certificate of optimality. If at a
feasible point of a constrained optimization problem the Fritz John condition fails,
then the point is definitely not a local minimizer. However the failure of the KKT
conditions can lead us to one of the two conclusions or both. The feasible point is
not a local minimizer or some underlying qualification condition like BCQ has failed
or both. We hope that this exposition will provide the reader with some interesting
insights into both the fundamentals of non-smooth analysis and its role in optimality
conditions.
Acknowledgements The author is grateful to the financial assistance from the project titled: “First
Order Methods in Scalar and Vector Optimization” funded by the Science and Engineering research
Board of the Government of India. The author is also grateful to the anonymous referees whose
comments have led to the improvement in the presentation.
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Solving Multiobjective Environmentally
Friendly and Economically Feasible
Electric Power Distribution Problem
by Primal-Dual Interior-Point Method
Jauny, Debdas Ghosh, and Ashutosh Upadhayay
Abstract This paper introduces a primal-dual interior-point algorithm to obtain the

Pareto optimal solutions for a multiobjective environmentally friendly and economi-
cally feasible distribution problem. This problem has two conflicting objectives—the
fuel cost and the emission. A Pascoletti–Serafini scalarization technique is utilized
to convert the multiobjective environmentally friendly and economically feasible
distribution problem into a parametric scalar optimization problem. We derive the
KKT conditions corresponding to the barrier problem of the parametric scalar opti-
mization problem and solve it with the help of primal-dual interior-point method. In
order to solve the KKT conditions, the primal-dual interior-point method uses the
Newton method to calculate the direction. A merit function is also utilized to take
the suitable steplength toward the direction. Successful numerical results of the mul-
tiobjective environmentally friendly and economically feasible distribution problem
demonstrate the efficiency of the proposed method.
Keywords Environmentally friendly and economically feasible distribution

problem · Multiobjective opimization · Interior-point method · Merit function
1 Introduction
Among some of the real-world multiobjective optimization problems, environmen-

tally friendly and economically feasible electric power distribution problem [12] is
crucial. In order to ensure safe, environmentally friendly, and economically feasible
Jauny (B) · D. Ghosh · A. Upadhayay

Department of Mathematical Sciences, Indian Institute of Technology (BHU), Varanasi 221 005,
India
e-mail: jauny.rs.mat17@itbhu.ac.in
D. Ghosh
e-mail: debdas.mat@iitbhu.ac.in
A. Upadhayay
e-mail: ashutosh.upadhayay.rs.mat18@itbhu.ac.in
https://doi.org/10.1007/978-981-99-0597-3_18
260 Jauny et al.
distribution (EFEFD) of electric power, the generating units must provide outputs
that fulfill the demand, cause the least amount of pollution, and emit the least amount
of atmospheric emissions.
EFEFD problem of electric power systems aims to obtain generating unit out-
puts in which the operating system cost remains minimal. Furthermore, the system
constraints must be met while reducing pollution and emissions. This type of appli-
cation involves optimizing multiple conflicting nonlinear objectives simultaneously.
Multiobjective optimization problems (MOPs) consider to optimize several conflict-
ing objectives simultaneously. Therefore, most often, a single solution that performs
well for each objective function does not exist. In solving MOP problems, some-
times decision makers will come up with a compromise solution by analyzing a set
of points that are representative of the entire Pareto set. A feasible point is called
Pareto optimal (nondominated point [2]) if it is impossible to improve one objective
without sacrificing another. When solving a MOP, the goal is to identify all possible
Pareto optimal solutions.
MOPs have been solved through several scalarization techniques [7] over the last
few years. The reputed classical methods such as weighted sum [5, 6, 8], ε-constraint
[4], normal boundary intersection [1, 10], physical programming [9], cone method [3,
14], etc., are known to find the Pareto optimal solutions. However, these methods are
not able to yield a complete Pareto front. Recently, Pascoletti–Serafini [13] technique
has been established that can generate all Pareto solutions.
In this article, we propose a primal-dual interior-point method (PDIPM) combined
with the Pascoletti–Serafini [13] technique to find nondominated points of EFEFD
problem. The proposed method exploits the efficiencies of the Pascoletti–Serafini
[13] and PDIPM [11] in solving EFEFD problem. As a consequence, the proposed
method captures the discrete set of nondominated points.
This paper follows the following structure. In Sect. 2, we describe the EFEFD
problem in detail. In Sect. 3, a brief review of Pascoletti–Serafini technique is dis-
cussed. Then we give a formulation of interior-point method (IPM) for a nonlinear
problem, which is formulated into Sect. 2, and find the search direction formulas. In
Sect. 4, a merit function is presented. In Sect. 5, numerical results of EFEFD problem
are presented. Finally, Sect. 6 ends with a few concluding remarks.
2 EFEFD Problem
In EFEFD problem, the objective is to minimize two conflicting objectives fuel cost
and emissions subject to an equality and bound constraints. Let p1 , p2 , . . . , pn be
the power outputs of the generators G 1 , G 2 , . . . , G n , and f c (P) denotes the cost
function of the generators. Thus, the total fuel cost f c (P) is given by the following
expression:
n
f c (P) = Pi + Qi pi + Ri pi2 , (1)
i=1
Solving Multiobjective Environmentally Friendly and Economically … 261
where P = ( p1 , p2 , . . . , pn ) represents the power output vector of the generators

and Pi , Qi , and Ri are ith-generator cost coefficients (see Table 1).
Let f e (P) denote the total emission of atmospheric pollutants (Mixture of sulfur
oxides (S Ox ) and nitrogen oxides (N Ox )) and can be expressed as

n

f e (P) = 10−2 αi + βi pi + γi pi2 + ξi eλi pi , (2)
i=1
where αi , βi , γi , ξi and λi are ith-generator emission characteristic coefficients (see

Table 2).
To ensure reliable operation, each generator power output is bounded, i.e.,

sup
piinf ≤ pi ≤ pi , i = 1, 2, . . . , n. (3)
Also, the entire power generation will be equal to the sum of two quantities, PDemand
and Ploss , where PDemand is the total demand and Ploss is the power loss in the trans-
mission lines. Hence,
n
pi = PDemand + Ploss . (4)
i=1
In this paper, we have taken six generator data from [12]. The data of cost coef-
ficients and emission characteristic coefficients for six generators are provided in
sup
Tables 1 and 2. Also, piinf = 10, pi = 120, and PDemand + Ploss = 283. Therefore,
the mathematical EFEFD problem is
minimize [ f c (P), f e (P)]

n
subject to pi − 283 = 0
i=1
(5)
10 ≤ pi ≤ 120, i = 1, 2, . . . , n.
The above problem can be decoded in the following manner:
minimize F (y) = [F1 (y), F2 (y)]

subject to G (y) = 0 (6)
l ≤ y ≤ u,
where x = P, F1 (y) = f c (P), F2 (y) = f e (P), g(y) = ( p1 − 120, p2 − 120, . . . ,

pn − 120) , l = 10 and u = 120.
262 Jauny et al.
In the next section, we describe a single objective formulation of the bi-objective

optimization problem (6) by using a scalarization technique.
3 The Pascoletti and Serafini Scalarization Technique
To obtain the weakly efficient and efficient solutions [13] of EFEFD problem (5), we
formulate it into a parametric scalar optimization problem with the help of Pascoletti
and Serafini scalarization technique [13]. The formulation of Pascoletti and Serafini
scalar optimization problem with parameters a, r ∈ R2 , with respect to the ordering
cone K = R2 :
minimize y,t t
subject to G (y) = 0
(7)
a + tr − F (y) ≥ 0
l ≤ y ≤ u, t ∈ R.
By solving the scalar optimization problem (6) for various values of a and r , one
can be obtained the Pareto front of EFEFD problem. To simplicity, we take a = F 0 ,
where F 0 = (F10 , F20 ) is the ideal point of EFEFD problem. For EFEFD problem,
the ideal point is (599.22, 0.19) .
Now, problem (6) can be rewritten as
minimize ȳ F( ȳ)
subject to G ( ȳ) = 0
(8)
H ( ȳ) ≥ 0,
where ȳ = (y, t) , F( ȳ) = t and h( ȳ) = (a + tr − F (y), y − l, u − y, t) .

In the next section, we apply primal-dual interior-point method to solve the problem
(8).
4 Primal-Dual Interior-Point Method
In the following section, a PDIPM is discussed to solve (8). We formulate problem (8)
into barrier problem and then Karush–Kuhn–Tucker (KKT) conditions are derived.
Thereafter, PDIPM takes advantage of the Newton method to obtain the solution of
the KKT system. An overview of the method is described below.
We formulate the problem (8) by introducing slack variables vector s = (s1 ,
s2 , . . . , s5 ) as follows :
minimizex̄,s F( ȳ)
subject to G ( ȳ) = 0
(9)
H ( ȳ) − s = 0
s ≥ 0.
The barrier problem corresponding to (9) is as follows:
minimize ȳ,s B( ȳ, s; μ)

subject to G ( ȳ) = 0 (10)
H ( ȳ) − s = 0,
4
where B( ȳ, s; μ) = F( ȳ) − μ i=1 log si is a barrier function and μ > 0 is a bar-
rier parameter.
The followings are the first-order KKT conditions for barrier problem (10):
⎫
∇ ȳ F( ȳ) − ∇ ȳ G ( ȳ) y − ∇ ȳ (H ( ȳ) − s) z = 0 ⎪ ⎪
⎪
⎪
−μS −1 e + z = 0 ⎪ ⎪
⎬
G ( ȳ) = 0 ⎪ (11)
⎪
H ( ȳ) − s = 0 ⎪ ⎪
⎪
⎪
⎭
z ≥ 0,
where S is the diagonal matrix with entries from the vector s.
For a fixed μ > 0, the step Δd = (Δ ȳ, Δs, Δx, Δz) at the point ( ȳ, s, x, z) is
obtained by applying Newton method to the system (11) and solving the following
primal-dual system:
⎡ 2 ⎤⎡ ⎤ ⎡ ⎤
∇ ȳ ȳ L 0 −(A( ȳ)) −(B( ȳ)) Δ ȳ ∇ ȳ F( ȳ) − (A( ȳ)) x − (B( ȳ)) z
⎢ 0 Z 0 S ⎥ ⎢ Δs ⎥ ⎢ Sz − μe ⎥
⎢ ⎥⎢ ⎥ = − ⎢ ⎥,
⎣ A( ȳ) 0 0 0 ⎦ ⎣Δx ⎦ ⎣ G ( ȳ) ⎦
B( ȳ) −I 0 0 Δz H ( ȳ) − s
(12)
where L denotes the Lagrangian for (9):
L ( ȳ, s, x, z) = F ( ȳ) − x G ( ȳ) − z (H ( ȳ) − s) , (13)
A( ȳ) and B( ȳ) are the Jacobian matrix of the function g( ȳ) and h( ȳ) − s, respec-
tively.
264 Jauny et al.
The matrix on the left of (12) is not symmetric. However, it can be easily sym-
metrized by multiplying the first equation by −1 and the second equation by −S −1 .
Accordingly, we get the following to modify primal-dual system (12)
⎡ ⎤⎡ ⎤ ⎡ ⎤
−∇ ȳ2ȳ L 0 (A( ȳ)) (B( ȳ)) Δ ȳ ∇ ȳ F( ȳ) − (A( ȳ)) x − (B( ȳ)) z
⎢ 0 −S −1 Z −I ⎥ ⎢ ⎥ ⎢ z − μS −1 e ⎥
⎢ 0 ⎥ ⎢ Δs ⎥ = ⎢ ⎥.
⎣ A( ȳ) 0 0 0 ⎦ ⎣Δx ⎦ ⎣ − G ( ȳ) ⎦
B( ȳ) −I 0 0 Δz −H ( ȳ) + s
(14)
We note that second equation of (14) can be used to eliminate Δs without produc-
ing any off-diagonal fill-in in the remaining system with the help of the following
equation:
Δs = S Z −1 z − μS −1 e + Δz . (15)
Accordingly, from (15), the resulting reduced KKT system is given by

⎡ ⎤⎡ ⎤ ⎡ ⎤
−∇ ȳ2ȳ L (A( ȳ)) (B( ȳ)) Δ ȳ ∇ ȳ F( ȳ) − (A( ȳ)) y − (B( ȳ)) z
⎣ A( ȳ) 0 0 ⎦ ⎣Δx ⎦ = ⎣ −G ( ȳ) ⎦.
−2 Δz −1
B( ȳ) 0 − μS −H ( ȳ) + μZ e
(16)
In order to solve reduced KKT system (16) one can apply a Cholesky factorization.
However, due to the indefiniteness of the matrix ∇x̄2x̄ L , we cannot apply the Cholesky
factorization. In this case, symmetric indefinite factorization (see [15]) will be the
best strategy to use. Therefore, we applied symmetric indefinite factorization to solve
the system (16).
After solving (12), we obtain the step Δd and then calculate the new iterate
(x̄ + , s + , y + , z + ) as follows:
⎫
ȳ + = ȳ + ζs Δ ȳ ⎪
⎪
⎪
s + = s + ζs Δs ⎬
, (17)
x + = x + ζz Δx ⎪ ⎪
⎪
⎭
z + = z + ζz Δz
where
ζs = max{ζ ∈ (0, 1) : s + ζ Δs ≥ (1 − η)s}
, (18)
ζz = max{ζ ∈ (0, 1) : z + ζ Δz ≥ (1 − η)z}
with η ∈ (0, 1). The steplength calculated by (18) ensures that the variables s and
y remain positive at every iterate. But, there is no guarantee of the reduction in the
objective function and convergence of the generated sequence to a minimum point.
To evaluate the progress toward optimality of the algorithm, we take the advantage
of the merit function.
4.1 Merit Function
With merit functions, steps are shortened so that an appropriate reduction toward
optimality can be made along the search direction. IPM can be viewed as methods for
solving the barrier problem (10). Therefore, we define the following merit function
in terms of barrier functions:

φν ( ȳ, s) = B( ȳ, s; μ) + ν H ( ȳ − s)22 + G ( ȳ)22 , (19)
where ν > 0 is penalty parameter.

The penalty parameter ν is updated such that the following inequality hold:
∇ F Δp + (σ/2)Δp ∇ ȳ2ȳ L Δp
ν≥ , (20)
(1 − ρ) (H ( ȳ) − s + G ( ȳ))
where Δp = (Δ ȳ, Δs) , ρ ∈ (0, 1) and σ is defined as:

1 if Δp ∇ ȳ2ȳ L Δp > 0,
σ =
0 otherwise.
After computing the step Δd from (12), we compute the steplength αs and
αz with the help of (18) and reach the next iteration by using (17). Now, if the
new point ( ȳ + , s + , x + , z + ) is able to reduce the merit function φν ( ȳ + , s + ), then
( ȳ + , s + , x + , z + ) is accepted and the algorithm continues. If the merit function
φν ( ȳ + , s + ) does not reduce, then the new point ( ȳ + , s + , x + , z + ) is not accepted.
In this case, we choose α ∈ [0, α max ], where α max = min{αs , αz } so that the follow-
ing Armijo condition satisfied:

φν ( ȳ + , s + ) − φν ( ȳ, s) ≤ δα ∇φν ( ȳ + , s + ) Δp, (21)
where 0 < δ < 1 and Δp = (Δ ȳ, Δs).
4.2 Update of Barrier Parameter
In IPMs, the choice of the barrier parameter μ is critical since optimality is attained
when the barrier parameter approaches zero. In addition, if the value of μ is set to
decline slowly, many iterations will be needed to reach convergence. However, if it
is reduced rapidly, some slack variables or Lagrange multipliers will approach zero
very soon. The following technique of updating μ has demonstrated the effectiveness
in practice:
s y
μ=ς , (22)
6
266 Jauny et al.
where σ is chosen as follows:

3
1−℘ min{s1 x1 , s2 x2 , . . . , s4 x4 }
ς = 0.2 min 0.01 , 2 , where ℘ = . (23)
℘ (s x)/6
Algorithm 1 provides a detailed step-wise procedure to find the nondominated

points of EFEFD problem with the help of the process described above. The following
function is derived from the perturbed KKT system (11):

Ξ ( ȳ, s, x, z) = max ∇ ȳ F( ȳ) − (A( ȳ)) y − (B( ȳ)) z, Sx − μe, H ( ȳ) − s, G ( ȳ) .
(24)
Algorithm 1 PDIPM for EFEFD problem

Inputs:
(a) Given EFEFD (5)
(b) Provide the number of subproblems to be solved, N
1: Initialization:
Set Pareto set D ← ∅
Provide an initial point w (0) = ( ȳ (0) , s (0) , x (0) , z (0) ) with ȳ (0) > 0, s (0) > 0, x (0) > 0, z (0) >
0
Give the accuracy precision ε > 0 and choose δ ∈ (0, 1)
Choose initial values for μ > 0
Set k ← 0
2: Main Part:
3: for i = 1 : N do
4: Choose randomly a ∈ R p , r ∈ R p \ {0}
5: while Ξ ( ȳ (k) , s (k) , x (k) , z (k) ) ≥ ε do
6: Compute Δd (k) by solving the system (12)
7: Compute steplength αs and αz with the help of (18)
8: Set ȳ (k+1) = ȳ (k) + ζs Δ ȳ (k) , s (k+1) = s (k) + ζs Δs (k) , x (k+1) = x (k) +
(k)
ζz Δx , z (k+1) (k)
= z + ζz Δz (k)
9: Compute the penalty parameter by (20)

10: if φ( ȳ (k+1) , s (k+1) ) > φ( ȳ (k) , s (k) ) then
11: Compute ζ max = min{ζs , ζz } and backtrack α ∈ [0, ζ max ] until

φν ( ȳ (k+1) , s (k+1) ) − φν ( ȳ (k) , s (k) ) ≤ δζ ∇φν ( ȳ (k) , s (k) ) Δp (k)
12: Set ȳ (k+1) = ȳ (k) + ζ Δ ȳ (k) , s (k+1) = s (k) + ζ Δs (k) , x (k+1) = x (k) + ζ Δx (k) ,
z (k+1) = z (k) + ζ Δz (k)
13: end if
14: Update barrier parameter μ by using (22)
15: k ←k+1
16: end while
17: Calculate F ( ȳ)
18: Update D ← D {F ( ȳ)}
19: end for
20: return The set D (a discrete approximation of the whole Pareto set)
4.3 Well-definedness of Algorithm 1
The well-definedness of Algorithm 1 depends on line numbers 6 and 7. Algorithm 1

solves the primal-dual system (16) with the help of symmetric indefinite factorization.
Thereafter, Algorithm 1 recover Δs with the help of Eq. (15). Then, Algorithm 1
calculates the steplength αs and αz by (18).
5 Numerical Results
In this section, a MATLAB implementation of Algorithm 1 is applied to EFEFD

problem. The test was performed on a PC with Intel Core i5-11300H 3.10 GHz CPU
and 8GB RAM in MATLAB 2020a. Table 1 contains the fuel cost coefficients and
Table 2 contains the emission coefficients of EFEFD problem. The results of EFEFD
problem are shown in Fig. 1.
Table 1 Fuel cost coefficients

sup
i Pi Qi Ri piinf pi
1 10 200 100 0.05 0.5
2 10 150 120 0.05 0.6
3 20 180 40 0.05 1.00
4 10 100 60 0.05 1.00
5 20 180 40 0.05 1.00
6 10 150 100 0.05 0.6
Table 2 Emission coefficients

i αi βi γi ξi λi
1 4.091 −5.554 6.490 2.0e − 4 2.857
2 2.543 −6.047 5.638 5.0e − 4 3.333
3 4.258 −5.094 4.586 1.0e − 6 8.000
4 5.326 −3.550 3.380 2.0e − 3 2.000
5 4.258 −5.0944 4.586 1.0e − 6 8.000
6 6.131 −5.555 5.151 1.0e − 5 6.667
268 Jauny et al.
Fig. 1 Pareto front of EFEFD problem obtained by Algorithm 1
6 Conclusion
In this paper, EFEFD problem has been solved using IPM. To solve EFEFD problem,
we have used a Pascoletti and Serafini scalarization technique to transform EFEFD
problem into a parametric scalar optimization problem. Thereafter, the parametric
scalar optimization problem has been solved with the help of IPM by changing the
parameters a and r . The results in Sect. 5 have shown that the proposed algorithm
efficiently solves the EFEFD problem.
Acknowledgements Authors are truly thankful to the reviewers for their comments on the paper.
Jauny gratefully acknowledges a Senior Research Fellowship from the Council of Scientific and
Industrial Research, India (File No. 09/1217(0025)2017-EMR-I), to perform this research work.
Debdas Ghosh acknowledges the research grant MATRICS (MTR/2021/000696) from SERB, India,
to carry out this research work.
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Optimization Methods Using
Music-Inspired Algorithm and Its
Comparison with Nature-Inspired
Algorithm
Debabrata Datta
Abstract Optimization problems of various categories either static or dynamic in

one direction and single objective and multiobjective in another route always occurred
in the industry. Risk-informed decision-making-based management of any industry
depends on the optimal solution to problems faced by the industry. Classical optimiza-
tion methods for handling industrial optimization problems fail and hence society
looks for an efficient and simple technique. In this context, an emerging metaheuristic
optimization algorithm named Harmony Search (HS) plays a major role in the field
of engineering and medical science. The HS optimization method works on the basis
of metaheuristics and is based on the harmony of music and is categorized as music-
inspired optimization algorithm. We can apply HS for function optimization, pipe
network optimization, and data optimization for its classifications. The paper will
explore the fundamentals of HS algorithm and its applications for two case studies:
(a) to optimize piping for water network system and (b) to optimize effective radia-
tion dose delivered to affected cancerous target organ. Outcome of Harmony Search
algorithm is further compared with BAT algorithm (nature inspired algorithm) and
Bee Colony Optimization algorithm. The present paper will also explore the vari-
ation of HS algorithm for designing a harmony filter system in the field of signal
processing in an optimized manner.
Keywords Harmony search · Optimization · BAT algorithm · Bee colony ·

Network
D. Datta
Former Scientist, Bhabha Atomic Research Centre, & Head, RP&AD, Mumbai 400085, India
(B)
Department of Information Technology, Heritage Institute of Technology, Kolkata, WB 700017,
India
e-mail: debabrata.datta@heritageit.edu
https://doi.org/10.1007/978-981-99-0597-3_19
272 D. Datta
1 Introduction
The objective of an optimization problem is to minimize the cost, consumption of

energy and to maximize the performance, efficiency and sustainability of the system
under consideration. In general, optimization problems are highly nonlinear and are
categorized as either single objective or multiobjective with specified constraints.
Most of the time gradient based algorithm is followed for an optimization problem
which yields local minimum if the target is set for minimization else it yields a local
maximum if the target is set for maximization.
Optimization is a procedure to make a system or design effective, especially the
mathematical techniques involved known as metaheuristics. In the field of optimiza-
tion, our aim is to find the Best Solution which can be either any of these types such
as (a) minimal cost, (b) minimal error, (c) maximal profit, and (d) maximal utility.
An optimization method can be classified as (i) deterministic and (ii) stochastic. The
function to be minimized or maximized can be either single objective or multiob-
jective. In either of these classifications, the algorithms behind are grouped into two
deterministic and stochastic. The deterministic optimization algorithm can be further
divided into linear and nonlinear programming as well as either gradient-based or
gradient free. Stochastic algorithm for optimization can be either heuristic or meta-
heuristic, and metaheuristic is further divided into population-based and trajectory-
based. For example, Ant Colony Optimization, Bee Colony Optimization and Particle
Swarm Intelligence are categorised as metaheuristic optimization algorithms and all
of them are population based. These algorithms work on the basis of the collec-
tive behaviour of the decentralized self-organized agent in a population [1]. Details
of all these optimization algorithms can be found elsewhere in [2, 3]. However, in
the last two decades, optimization algorithms have shaped into a new dimension.
Innovative algorithms such as the bat algorithm (BA) [3], and harmony search [4,
5], have become very popular in the field of engineering optimization. Most of the
metaheuristic algorithms belong to evolutionary computation in general and have
developed on the basis of inspiration from natural phenomena. However, all algo-
rithms are not nature inspired. For example, the harmony search algorithm (HSA) has
been developed by Geem et al. [5] on the basis of the improvisation characteristics
of a musician, and therefore, the said algorithm is known as a music-inspired algo-
rithm [5]. On the contrary, the bat algorithm is nature-inspired by the echolocation
behaviour of bats while sensing distances. The diversity of these algorithms and their
applications has opened a new path for the optimization process in the industry. In
this article, we have explored music-inspired harmony search algorithm as an engi-
neering optimization technique for use in industry and we have compared the outcome
of HSA with nature-inspired BA. The remaining part of the article is presented in
four sections. Section 2 presents a nature-inspired optimization algorithm (NIOA)
in which we have presented BA with its pseudocode. Section 3 describes the music-
inspired metaheuristic harmony search algorithm. Section 4 presents a few case
studies exploring the practical applications of HSA and its comparison with BA.
Section 5 draws conclusions from the article by summarizing the learned lessons.
Optimization Methods Using Music-Inspired Algorithm and Its … 273
2 Nature-Inspired Optimization Algorithm
Nature-inspired optimization algorithm (NIOA) is a cluster of algorithms. The

physics of those algorithms is based on natural phenomena [5]. Particle swarm opti-
mization (PSO), Bio-inspired Genetic Algorithm (BGA), Ant Colony Optimization
(ACO), and Bee Colony Optimization (BCO) are a few examples of NIOA. The
structure of most of the NIOAs is similar even though they are defined in various
forms. The common process of most of the NIOAs consists of four steps: (1) Initialize
population, (2) fitness computation with the conditions of termination, (3) Compo-
nents operation and Update population, and (4) outcome; a flow chart of NIOA is as
shown in Fig. 1.
Theoretically common characteristics of all NIOAs are: (a) randomicity or prob-
abilistic uncertainty and have the capacity to enhance the global search capability
of individuals, (b) information interactivity which provides the direct or indirect
exchange of information between individuals in a NIOA and (c) optimality meaning
that the each candidate in NIOA proceed towards the best global solution through
different mechanisms of information exchange.
2.1 Nature-Inspired BAT Algorithm
The BAT algorithm is a metaheuristics algorithm and has been developed by Yang
[6, 7]. The algorithm is based on the behaviour of bats like echolocation character
and this characteristics is used to sense the distance. Bats typically emit short, loud
sound impulses and listen to the bounced-back echo from an obstacle or prey while
Fig. 1 Flow chart of nature inspired optimization algorithm

274 D. Datta
hunting at night. A bat can use its special auditory mechanism to identify the size
and position of an object. The steps of the bat algorithm are as follows:
Step 1: Initialize the algorithm parameters.
Step 2: Update the best global position x ∗ , pulse frequency, velocity, and position
of the ith bat using the expression
f i = f min + ( f max − f min )β, wher e, β[0, 1], (1)

vit+1 = vit + xit + x ∗ f i , (2)
xit+1 = xit + vit (3)
Step 3: If β(randomnumber ) is > ri , then write down the new solution as.
xnew = xold + At , where At represents the average loudness of all bats at time t
and liesintherange[−1, 1].
Step 4: Accept the new solution, provided the random number is lower than Ai
and f (xi ) > f (x ∗ ). Failure to the condition as prescribed, update Ai and ri using
the expression
Ait+1 = α Ait , (4)

rit = ri0 1 − e−γ t (5)
where, rit andri0 are the pulse rate at time t and at the initial phase. The constant
γ [0, 1].
Step 5: On the basis of their fitness sort the bats and find the optimal solution, x ∗
of the present iteration.
Step 6: Return to step 2 till the maximum iteration is reached. Finally, output the
global optimal solution.
A case study of the bat algorithm for function optimization is presented in Sect. 4.
3 Music-Inspired Harmony Search Algorithm
Harmony search is a metaheuristic music-inspired optimization algorithm. The objec-

tive of this algorithm is to search for a perfect state of harmony and its basis is
towards the improvisation characteristics of a musician [8–10]. This is the reason
why harmony search is known as music-inspired algorithm. The harmony search
algorithm being music-inspired is a function of harmony memory, pitch adjustment
rate, and randomization, and these are labelled as parameters of harmony search.
Following subsections describe these parameters.
3.1 Harmony Memory Rate
The quality of music is improved continuously by a musician by playing an iconic

piece of music (e.g., a series of pitches is in harmony) from his/her memory implying
that the best harmonies will replace the better harmony. Therefore, the effectiveness
of more memory is attributed to harmony memory assigned by a parameter called
harmony memory rate (HMR) denoted by raccept [0, 1]. Lower value of r selects
the few best harmonies with a slow convergence and the extremely high value of
r indicates the wrong solution because almost all harmonies in harmony memory
(HM) are selected at that time which is not feasible at all.
3.2 Pitch Adjustment Rate (PAR)
The PAR, r pa is determined by a pitch bandwidth (PB), brange . In practice, for

simplicity of computation, the pitch is adjusted linearly by
xcurr ent = x pr evious + brange ∗ ε (6)
where x pr evious is the existing pitch or solution from HM and xnew is the new pitch
after adjustment. Random number generator, ε lies in the range of [−1, 1]. We can
say that pitch adjustment is equivalent to mutation operator in a genetic algorithm.
The PAR can be assigned for controlling the degree of adjustment. A lower value
of PAR with a narrow bandwidth can slow down the convergence of HS due to a
limitation in the exploration of a small subspace of the complete search space.
3.3 Randomization
In order to increase the diversity of the solution, we need randomization in HS. The
usage of randomization drives the system further to explore various diverse solutions
so as to find global optimality.
3.4 Algorithm of Harmony Search (Pseudocode)
Harmony search in summary is constituted by several operators known as HS oper-

ators and these are (a) random playing, (b) memory considering, (c) pitch adjusting,
(d) ensemble considering, and (e) dissonance considering. All the three components
in harmony search can be summarized into an algorithm written in simple command
with a corresponding pseudo code as
276 D. Datta
Algorithm:
1. Construct a Harmony Memory
2. Improvise a new Harmony with Experience (HM) or Randomness (rather than Gradient)
3. If the new Harmony is better, include it in Harmony Memory
4. Repeat Step 1 and Step 2 till goal is achieved
Pseudocode:
Begin
Objective function, f(x), )
Generate initial harmonics [an array of real numbers]

Assign value of PAR, pitch limits and bandwidth
Define harmony memory accepting rate (raccept)
While (k < Maximum iteration number)

Generate new harmonies by accepting best harmonies
Adjust pitch to get new harmonies (solutions)

If (rand > raccept)
choose an existing harmonic randomly
Else if
(rand > rpa) adjust the pitch randomly within limits
Else
Generate new harmonics via randomization
End if
Accept the new harmonics (solutions) if better

End while
Find the current best solutions
End
4 Case Study
4.1 Optimization of Rosenbrock Function (Benchmark

Function)
Mathematically, the Rosenbrock function [11, 12] is written as
N −1

2
f (x) = 100 xn+1 − xn2 + (1 − xn )2 (7)
n=1
The search domain of this function is −2.048 ≤ xn ≤ 2.048, n =

1, 2, . . . . . . . , 30. At every value of n, we have a local minimum and we apply music-
inspired Harmony Search optimization algorithm to obtain the minimum value of
the function, f at x = 1, which is f(1) = 0. Suppose we have N = 3; so we have local
minima of the function, f(x) at n = 1 and at n = 2. The value of the decision variable
results in x(1) = 9.55E-01 and x(2) = 9.13E-01. Finally, we obtain the best estimate
of the function using the values of the decision variable as 2.03E-03. The graphical
representation of the computational result is shown in Fig. 2 and the profile of the
best cost of the function with iteration is shown in Fig. 3.
Fig. 2 Optimum value of

Rosenbrock function
278 D. Datta
10 -1
Best Cost
-2
10
10 -3
0 500 1000 1500 2000 2500 3000 3500 4000 4500 5000
Iteration
Fig. 3 Profile of Best cost w.r.t iteration
4.2 Optimization of Beam Orientation for Identification

of Target Volume
One of the possible ways to treat cancer is radiation therapy. Treatment of cancer
using radiation by Cobalt-60, proton, and X-ray is known as radiation oncology. In
the field of radiation oncology, we use CT/MRI machines to allow radiation to pass
through cancerous cells or affected organs of the patient. Typically, multiple beams
of different radiation doses are used from different sides and different angles. In
this kind of problem, the primary aim is to decide the strength of the radiation dose
coming from the particular beam to use to achieve sufficient damage to the target
tumour and limit the damage to healthy tissues. Figure 4 presents the orientation of
beam therapy to treat the cancerous tumour.
Fig. 4 Incidence of beam on

tumour
Table 1 Input data of radiation therapy

Fraction of areal absorbed radiation dose (cGy)
Region of applying beam Radiation Bm1 Radiation Bm2 Prohibition on total average
dose
Normal tissue 0.339 0.446 Minimization
Critical tissue 0.25 0.09 < = 2.7
Tumour region 0.5 0.5 6
Centre of tumour 0.6 0.4 > =6
Our goal is to optimize the orientation of the beam to identify the target volume.
In practice, this concept is implemented in Bhabhatron, an indigenously designed
Cobalt-60 therapeutic machine, and the resulting hardware is known as a multileaf
collimator. The data used in radiotherapy is presented in Table 1.
Decision variables D1 and D2 represent the dose strength for beam 1 and beam 2,
respectively. Mathematical statement of the problem is as follows:
Minimize 0.339D1 + 0.339D2 (Radiation Dose to normal tissue) (8)
subject to
0.25D1 + 0.09D2 ≤ 2.7 (Radiation Dose to critical tissue) (9)
0.5D1 + 0.5D2 = 6 (dose to tumor) (10)
0.6D1 + 0.4D2 ≥ 6 (dose to tumor center)

D1 ≥ 0, D2 ≥ 0 (11)
The harmony search algorithm is applied to solve the defined optimization

problem and our optimal solution results at D1 = 7.5 and D2 = 4.5. Substituting
the value of D1 and D2 in Eq. (8) that represents the dose to healthy anatomy, we
obtain the optimal dose as 5.25 cGy. Figure 5 presents the outcome of the harmony
search algorithm for the optimization of the target volume.
4.3 Case Study Using BAT Algorithm
Bat Algorithm is proposed as a bio-inspired metaheuristics method. It is used to solve

stochastic nonlinear optimization problems. It tries to mimic the behaviour of bats
hunting for their prey. The pseudocode of the BAT algorithm is as follows:
280 D. Datta
Fig. 5 Harmony research in oncology
where
vi (t)—real-valued velocity vector of i-th bat,
xi (t)—real-valued position vector of i-th bat,
Q i —pulsation frequency of i-th bat,
α, γ , Q min , Q max —constant.
In this case study, we have used the BAT algorithm to optimize sphere and Rosen-
brock functions with comparative results using HS. Results are tabulated in Tables 2
and 3. d
We obtain the best estimate (optimal value) of sphere function f (x) = i=1 xi2
using HS as 1.2E + 1 with decision variables x(1), x(2), and x(3) are equal to 2.0
Results of optimization of Rosenbrock function using HS are good in agreement
with that using BAT algorithm. However, the BAT algorithm is computationally
intensive compared to the harmony search.
Table 2 Optimization of sphere function

n D = 10 D = 20 D = 30
Man value 10 1800 · 10−6 25,200 · 10−6 1054 · 10−4
Stand. dev 900 · 10−6 9370 · 10−6 346.8 · 10−4
Mean value 20 230 · 10−6 5540 · 10−6 270 · 10−4
Stand. dev 150 · 10−6 1710 · 10−6 78.5 · 10−4
Mean value 50 0.137 · 10−6 353 · 10−6 33.3 · 10−4
Stand. dev 6.76 · 10−6 127 · 10−6 11.1 · 10−4
Table 3 Optimization of Rosenbrock function

n D = 10 D = 20 D = 30
Mean value 10 15.130 92.707 202.422
Stand. dev 20.321 111.359 216.167
Mean value 20 8.112 62.930 87.279
Stand. dev 1.639 62.619 66.909
Mean value 50 8.583 29.889 81.823
Stand. dev 0.938 22.738 57.414
Mean value 100 7.782 17.791 37.268
Stand. dev 1.163 1.743 15.339
5 Conclusions
In this article, we have presented the harmony search algorithm and nature-inspired
BAT algorithm. Nature-inspired algorithms are based on metaheuristics. In music-
inspired optimization (harmony search), we have learned the importance of music
(harmony, pitch adjustment) for solving optimization problems. In nature-inspired
optimization, we have learned various social behaviour which can be converted into
an optimization algorithm (metaheuristics). Music-inspired-based Harmony search
innovates a new optimization algorithm. Several case studies are presented to illus-
trate the working methodology of the harmony search algorithm and bat algorithm.
In future, our work will be towards the usage of the harmony search algorithm in
data science rather than data optimization.
282 D. Datta
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On Mathematical Programs
with Equilibrium Constraints Under
Data Uncertainty
Vivek Laha and Lalita Pandey
Abstract A mathematical program with equilibrium constraints (MPEC), a partic-

ular type of mathematical program, is one in which the decision variables must fulfil
a limited set of constraints in addition to an equilibrium condition. An optimization
problem with equilibrium constraints that appear in many practical applications is
difficult to solve as they do not satisfy the standard regularity conditions. Moreover,
due to prediction or measurement mistakes, the input data for the objective function
and the restrictions in real-world problems are imprecise or lacking. In this article,
we take into MPECs in the phase of data uncertainty of the feasible region within
the framework of robust optimization. For a weak stationary point to be a global or
local minimizer of the ambiguous MPECs, we construct optimality criteria.
Keywords Mathematical programs with equilibrium constraints · Data

uncertainty · Robust optimization · Stationary point · Generalized convexity
1 Introduction
Extensions of bilevel optimisation is known as mathematical program with equilib-

rium constraints (MPEC) which is widely used in many different fields (see, e.g. [7,
8, 31]). Flegel and Kanzow [12] used standard Fritz-John (FJ) conditions to obtain
new stationary concepts for MPECs. For the MPECs, a constraint qualification (CQ)
of the Abadie type was created in [13] and it’s relation with other CQs was analysed
to derive M-stationarity conditions in [14, 44]. In the context of MPECs, strong
stationarity has been shown to be an essential optimality criterion under Guignard
CQ (GCQ) in [14]. Flegel et al. [15] applied optimality conditions for disjunctive
programs in MPECs. Liu et al. [27] worked on a partial exact penalty for MPECs.
Movahedian and Nobakhtian [36] studied nonsmooth MPECs. Guo and Lin [17]
V. Laha (B) · L. Pandey

Department of Mathematics, Institute of Science, Banaras Hindu University, Varanasi 221005,
India
e-mail: laha.vivek333@gmail.com
https://doi.org/10.1007/978-981-99-0597-3_20
284 V. Laha and L. Pandey
investigated several CQs for MPECs. Guo et al. [19] derived second-order optimal-
ity conditions for MPECs. Duality results for MPECs were produced by Pandey and
Mishra [39] along with Guo et al. [18].
A mathematical modeling technique called robust optimization (RO) is used to
address issues with the uncertain objectives or the uncertain data in the feasible
region (see, e.g. [1–4, 16]). Jeyakumar et al. [20] studied robust duality under data
uncertainty. To find efficient robust solutions, Kuroiwa and Lee [22] constructed the
optimality theorems. Strong duality minimax results were obtained by Jeyakumar et
al. [21] under robustness. Lee and Kim [24] developed Wolfe duality results for a RO
problem. Soleimanian and Jajaei [40] worked on robust nonlinear optimization with
conic representable uncertainty sets. Chuong [6] dealt with robust multiobjective
optimization problems with nonsmooth nonlinear data. Lee and Kim [25] provided
optimality and duality results for robust non-smooth multiobjective optimization.
Fakhar et al. [9] analysed robust portfolio optimization. Theorems for robust semiin-
finite optimization were found by Lee and Lee [26]. Chen et al. [5] achieved results
for situations involving robust non-smooth multiobjective optimization with restric-
tions. For nonsmooth robust multiobjective optimization problems, Fakhar et al. [10]
researched approximative solutions. Wang et al. [42] used image space analysis to
study general robust dual problems.
The objective is to solve MPECs with uncertainty using RO. The outline is: we
review definitions and outcomes from RO in Sect. 2. In Sect. 3, we deal with an opti-
mization problem with mixed assumptions of deterministic inequality and equality
constraints along with inequality constraints with uncertainties denoted by MUP.
We create robust FJ criteria for the given problem and utilize them to derive robust
Karush-Kuhn-Tucker (KKT) conditions under the premise that there is no nonzero
abnormal multiplier CQ (NNAMCQ). Additionally, we find that the MUP has suffi-
cient optimality criteria when convexity assumptions are made. The results of Sect. 3
are used in Sect. 4 to derive robust optimality criterion for the MPECs with mixed
assumptions of certain constraints and uncertain constraints in the feasible region
denoted by UMPEC. We define a suitable constraint qualification using a nonlinear
program connected to the UMPEC, from which we derive necessary and sufficient
weak stationary optimality requirements. The definitions and relationships of a num-
ber of other stationary conditions connected to the UMPEC, such as the C-, A-, M-,
and S-stationary conditions, are discussed. Section 5 wraps up the findings of this
paper and explores several potential directions for further research.
2 Preliminaries
Take into account the following problem:
min f(ζ ) s.t. gi (ζ ) ≤ 0, ∀i ∈ P := {1, . . . , p}, (P)
where f and gi (i ∈ P) are continuously differentiable real-valued functions on Rn .

An altered version of (P) under uncertainty of the constraints is:
On Mathematical Programs with Equilibrium Constraints Under Data Uncertainty 285
min f(ζ ) s.t. gi (ζ, ui ) ≤ 0, ∀i ∈ P, (UP)
where for any i ∈ P, a convex compact collection Ui in Rl contains the uncertain

variable ui and the real-valued functions gi (i ∈ P) on Rn × Rl are continuously
differentiable wrt the first component. The robust analogue of (UP) is stated as
min f(ζ ) s.t. ζ ∈ F := {ζ ∈ Rn : gi (ζ, ui ) ≤ 0, ∀ui ∈ Ui , ∀i ∈ P}. (RP)
Definition 1 A point ζ ∗ ∈ F is a global minimizer of RP iff f(ζ ) ≥ f(ζ ∗ ) for all

ζ ∈ F. A point ζ ∗ ∈ F is a local minimizer of RP iff there exists > 0 such that
f(ζ ) ≥ f(ζ ∗ ) for all ζ ∈ F ∩ B (ζ ∗ ) with B (ζ ∗ ) := {ζ ∈ Rn : ζ − ζ ∗ < }.
For any ζ ∗ ∈ F, the index set P may be decomposed into P1 (ζ ∗ ) and P2 (ζ ∗ )

with
P = P1 (ζ ∗ ) ∪ P2 (ζ ∗ ) and P1 (ζ ∗ ) ∩ P2 (ζ ∗ ) = ∅,
where
P1 (ζ ∗ ) := {i ∈ P : ∃ui ∈ Ui s.t. gi (ζ ∗ , ui ) = 0} and P2 (ζ ∗ ) := P \ P1 (ζ ∗ ).
For any i ∈ P1 (ζ ∗ ), define
Ui0 := {ui ∈ Ui : gi (ζ ∗ , ui ) = 0}.
The extended Mangasarian-Fromovitz CQ (EMFCQ) for the RP is defined as

follows by Jeyakumar et al. [20]:
Definition 2 We say ζ ∗ ∈ F satisfy EMFCQ iff
∃v ∈ Rn : 1 gi (ζ ∗ , ui )T v < 0, ∀ui ∈ Ui0 , ∀i ∈ P1 (ζ ∗ ), (EMFCQ)
where the 1 gi represents the derivative of gi wrt the first variable.

Jeyakumar et al. [20] established robust KKT conditions for the RP using the
robust Gordan’s theorem and linearization.
Theorem 1 (KKT condition for RP) Let ζ ∗ ∈ F be a local minimizer of RP and
let gi (ζ, .) be concave on Ui for each
pζ ∈ gR and for each i ∈ P. Then, there exist
n
g
0 ≥ 0, i ≥ 0(i ∈ P) with 0 + i=1 i = 1 and ui ∈ Ui (i ∈ P) such that

p
g
∗
0 f(ζ ) + i 1 gi (ζ ∗ , ui ) = 0,
i=1
g
i gi (ζ ∗ , ui ) = 0, ∀i ∈ P.
Additionally, if we believe that EMFCQ is valid at ζ ∗ , then 0 > 0.

3 Optimality Condition Involving Equality Constraints
Consider a nonlinear programming problem with the mixed assumption of deter-

ministic inequality and equality constraints along with some uncertain inequality
constraints as follows:
⎧
⎪
⎪ min f(ζ )
⎪
⎪
⎪
⎪
⎨ t.
s.
gi (ζ, ui ) ≤ 0, ∀i ∈ P, (MUP)
⎪
⎪
⎪
⎪ φi (ζ ) ≤ 0, ∀i ∈ Q := {1, . . . , q}
⎪
⎪
⎩h (ζ ) = 0, ∀i ∈ R := {1, . . . , r },
i
where φi and hi are continuously differentiable real-valued functions on Rn in addi-

tion to the components discussed for RP. The robust alternative to MUP is provided
by
min f(ζ ) s. t. ζ ∈ F2 , (MRP)
where
F2 := {ζ ∈ Rn : gi (ζ, ui ) ≤ 0, ∀ui ∈ Ui , ∀i ∈ P,
φi (ζ ) ≤ 0, ∀i ∈ Q,
hi (ζ ) = 0, ∀i ∈ R}.
For any ζ ∗ ∈ F2 , define
P1 (ζ ∗ ) := {i ∈ P : ∃ui ∈ Ui s. t. gi (ζ ∗ , ui ) = 0}, P2 := P \ P1 (ζ ∗ ),
Q1 (ζ ∗ ) := {i ∈ Q : φi (ζ ∗ ) = 0}, Q2 := Q \ Q1 (ζ ∗ ),
and
Ui0 = {ui ∈ Ui : gi (ζ ∗ , ui ) = 0}, ∀i ∈ P1 (ζ ∗ ).
The FJ condition by Mangasarian and Fromovitz [32] and by Lee and Son [29,
Theorem 2.4] lead to the following FJ condition for MRP.
Theorem 2 (FJ condition for MRP) Let ζ ∗ ∈ F2 be a local minimizer of MRP
and let gi (ζ, ·) be concave on Ui for every ζ ∈ Rn and for every i ∈ P. Then, there
g φ h
exists 0 ≥ 0, i ≥ 0 (i ∈ P), i ≥ 0 (i ∈ Q), i ∈ R (i ∈ R), not all zero, and
ui ∈ Ui (i ∈ P) such that

p
g

q
φ

r
h
0 f(ζ ∗ ) + i 1 gi (ζ ∗ , ui ) + i φi (ζ ∗ ) + i hi (ζ ∗ ) = 0,
i=1 i=1 i=1
g ∗
i gi (ζ , ui ) = 0, ∀i ∈ P,
φ
i φi (ζ ∗ ) = 0, ∀i ∈ Q.
Proof Define Gi : F2 → R by Gi (ζ ) := supui ∈Ui gi (ζ, ui ) for every i ∈ P. Then,

(MRP) may be re-written as
⎧
⎪
⎪min f(ζ )
⎪
⎪
⎪
⎪
⎨s.t.
Gi (ζ ) ≤ 0, ∀i ∈ P, (MRP2)
⎪
⎪
⎪φi (ζ ) ≤ 0, ∀i ∈ Q,
⎪
⎪
⎪
⎩h (ζ ) = 0, ∀i ∈ R.
i
Since ζ ∗ ∈ F2 is a local minimizer of MRP, therefore ζ ∗ also minimizes MRP2

g
locally. Hence, by the generalized FJ condition [32], there exist 0 ≥ 0, i ≥ 0 (i ∈
φ h
P), i ≥ 0 (i ∈ Q), i ∈ R (i ∈ R), not all zero, such that
g
φ
h
0 f(ζ ∗ ) + i Gi (ζ ∗ ) + i φi (ζ ∗ ) + i hi (ζ ∗ ) = 0,
i∈P i∈Q i∈R
g
i Gi (ζ ∗ ) = 0, ∀i ∈ P,
φ
i φi (ζ ∗ ) = 0, ∀i ∈ Q.
By [29, Theorem 2.4], one has

Gi (ζ ∗ ) = ∪ui ∈Ui (ζ ∗ ) 1 gi (ζ ∗ , ui ) ,
where Ui (ζ ∗ ) := {ui ∈ Ui : gi (ζ ∗ , ui ) = Gi (ζ ∗ )} for every i ∈ P, which implies

that, there exist ui ∈ Ui (ζ ∗ ) (i ∈ P) such that
g
φ
h
0 f(ζ ∗ ) + i 1 gi (ζ ∗ , ui ) + i φi (ζ ∗ ) + i hi (ζ ∗ ) = 0,
i∈P i∈Q i∈R
g
i gi (ζ ∗ , ui ) = 0, ∀i ∈ P,
φ
i φi (ζ ∗ ) = 0, ∀i ∈ Q.
The evidence is now complete.
By the FJ condition for MRP, if 0 is never zero, then it can be taken as 1 which
will lead to KKT-type robust optimality condition. We introduce the following
extended NNAMCQ (ENNAMCQ) for MUP which will solve the purpose based
on the NNAMCQ introduced by Ye [43].
Definition 3 The MRP satisfies the ENNAMCQ at ζ ∗ ∈ F2 iff for any ui ∈ Ui (i ∈

P), one has
⎧ p q r
g φ h
⎪
⎪ g (ζ ∗
, u ) + φ (ζ ∗
) + ∗
i=1 i hi (ζ ) = 0,
⎪
⎪
i=1 i 1 i i i=1 i i
⎪
⎪ g ∗
⎨i ≥ 0, i ∈ P1 (ζ ),
φ
i ≥ 0, i ∈ Q1 (ζ ∗ )
⎪
⎪
⎪implies that
⎪
⎪
⎪
⎩g = 0, ∀i ∈ P (ζ ∗ ), φ = 0, ∀i ∈ Q (ζ ∗ ), h = 0, ∀i ∈ R.
i 1 i 1 i
(ENNAMCQ)
In the view of the above ENNAMCQ and FJ conditions for MRP, the KKT criterion
for MRP is as follows:
Theorem 3 (KKT condition for MRP) Let ζ ∗ ∈ F2 be a local minimizer of MRP
and let gi (ζ, ·) be concave on Ui for every ζ ∈ Rn and for every i ∈ P. If ENNAMCQ
g φ
is satisfied at ζ ∗ , then there exist ui ∈ Ui (i ∈ P), i ≥ 0 (i ∈ P), i ≥ 0 (i ∈ Q),
h
and i ∈ R (i ∈ R) such that

p
g

q
φ

r
h
f(ζ ) + i 1 gi (ζ ∗ , ui ) + i φi (ζ ∗ ) + i hi (ζ ∗ ) = 0,
i=1 i=1 i=1
g ∗
i gi (ζ , ui ) = 0, ∀i ∈ P,
φ
i φi (ζ ∗ ) = 0, ∀i ∈ Q.
Proof According to the theorem’s premise, there will be scalars that satisfy the
FJ condition of Theorem 2 at ζ ∗ ∈ F2 . Since ENNAMCQ is satisfied at ζ ∗ , for
g g φ h
0 = 0, we will have i = 0 (i ∈ P), i = 0 (i ∈ Q), i = 0 (i ∈ R) which is
inconsistent with the observation that all scalar multipliers are not zero. Hence,
g
0 > 0 and this gives the required KKT condition at ζ ∗ .
We specify the upcoming index sets that will be utilized to derive sufficient opti-
mality condition for MU P :
g φ
P + := {i ∈ P : i > 0}, Q+ := {i ∈ Q : i > 0},
h h
R+ := {i ∈ R : i > 0}, R− := {i ∈ R : i < 0}.
Theorem 4 (Condition for robust sufficient optimality in MUP) Assume that for
g φ h
some ui ∈ Ui (i ∈ P), i ≥ 0 (i ∈ P), i ≥ 0 (i ∈ Q) and i ∈ R (i ∈ R) the
∗
KKT condition of Theorem 3 for MRP is fulfilled at ζ . If the functions f, gi (., ui )(i ∈
P + ), φi (i ∈ Q+ ), hi (i ∈ R+ ), −hi (i ∈ R− ) are convex at ζ ∗ ∈ F2 , then ζ ∗ is a
global minimizer of MRP.
Proof Let ζ ∈ F2 . Since f is convex, therefore
f(ζ ) − f(ζ ∗ ) ≥ f(ζ ∗ )T (ζ − ζ ∗ ), ∀ζ ∈ F2 ,

which implies that
f(ζ ) − f(ζ ∗ )
T

p
g

q
φ

r
h
≥− i 1 gi (ζ ∗ , ui ) + i φi (ζ ∗ ) + i hi (ζ ∗ ) (ζ − ζ ∗ ),
i=1 i=1 i=1
∀ζ ∈ F2 .
By convexity of gi (., ui ) at (ζ ∗ , ui ), it follows that
1 gi (ζ ∗ , ui )T (ζ − ζ ∗ ) ≤ gi (ζ, ui ) − gi (ζ ∗ , ui ), ∀ζ ∈ F2 , ∀i ∈ P + .
Since gi (ζ ∗ , ui ) = 0 (i ∈ P + ), therefore
1 gi (ζ ∗ , ui )T (ζ − ζ ∗ ) ≤ 0, ∀ζ ∈ F2 , ∀i ∈ P + . (1)
Similarly
φi (ζ ∗ )T (ζ − ζ ∗ ) ≤ 0, ∀ζ ∈ F2 , ∀i ∈ Q+ , (2)
hi (ζ ∗ )T (ζ − ζ ∗ ) ≤ 0, ∀ζ ∈ F2 , ∀i ∈ R+ , (3)
hi (ζ ∗ )T (ζ − ζ ∗ ) ≥ 0, ∀ζ ∈ F2 , ∀i ∈ R− . (4)
g φ h
Multiplying (1)–(4) by i > 0 (i ∈ P + ), i > 0 (i ∈ Q+ ), i > 0(i ∈ R+ ),
h
and i < 0 (i ∈ R− ), respectively, and adding, we get
⎛ ⎞T
p q

r
g ∗ φ ∗ h
⎝ i 1 gi (ζ , ui ) + i φi (ζ ) + i hi (ζ )⎠ (ζ − ζ ∗ ) ≤ 0, , ∀ζ ∈ F2 ,
∗
i=1 i=1 i=1
therefore, we get f(ζ ) ≥ f(ζ ∗ ) for all ζ ∈ F2 .
The example below demonstrates the aforementioned outcome.

Example 1 Consider an optimization problem with mixed assumptions of equality
and inequality constraints with uncertainty in the feasible region as follows:
min f(ζ ) := ζ12 − cos ζ2

ζ :=(ζ1 ,ζ2 ,ζ3 )∈R3
s. t. g(ζ, v) := vζ12 + ζ22 + ζ32 − 1 ≤ 0,

φ(ζ ) := ζ12 + ζ2 ζ3 ≤ 0,
and h(ζ ) := ζ1 + ζ2 + ζ3 − 1 = 0,
where v ∈ [0.5, 1]. The associated robust counterpart is

min f(ζ ) := ζ12 − cos ζ2

ζ :=(ζ1 ,ζ2 ,ζ3 )∈R3
s. t. g(ζ, v) := vζ12 + ζ22 + ζ32 − 1 ≤ 0, ∀v ∈ [0.5, 1],

φ(ζ ) := ζ12 + ζ2 ζ3 ≤ 0,
and h(ζ ) := ζ1 + ζ2 + ζ3 − 1 = 0.
Now, suppose that for some ζ ∈ R3 , g ≥ 0, φ ≥ 0 and h ∈ R, one has
g 1 g(ζ, v) + φ φ(ζ ) + h h(ζ ) = 0,
which implies that

2vζ1 g + 2ζ1 φ + h = 0;
2ζ2 g + ζ3 φ + h = 0;
2ζ3 g + ζ2 φ + h = 0;
giving homogeneous linear equations in g , φ and h . The system will have an

unique trivial solution g = φ = h = 0 iff the determinant

2vζ1 2ζ1 1

2ζ2 ζ3 1 = 0,

2ζ3 ζ2 1
which is possible iff ζ2 = ζ3 and (2 + v)ζ1 − ζ2 − ζ3 = 0. It is evident that ζ ∗ =

(0, 1, 0) and ζ̄ = (0, 0, 1) are two feasible points with all constraints as active and
which satisfies the above non-zero determinant condition. Hence, ENNAMCQ holds
at both the points. Now
f(ζ ∗ ) + g 1 g(ζ ∗ , v) + φ φ(ζ ∗ ) + h h(ζ ∗ ) = 0,
gives g = −0.5 sin 1, φ = 0, h = 0, which implies that the situations of

Theorem 3 are not satisfied at ζ ∗ . Now
f(ζ̄ ) + g 1 g(ζ̄ , v) + g φ(ζ̄ ) + h h(ζ̄ ) = 0,
gives g = φ = h = 0, and hence the robust KKT situations of Theorem 3 are

fulfilled at ζ̄ . Since g = φ = h = 0, therefore the sets P + , Q+ , R+ and R− are
empty, and hence to verify the sufficient optimality conditions of Theorem 4, we
have to verify only the convexity of f at ζ̄ over the feasible region. Indeed, f is convex
at ζ̄ , because its Hessian at ζ̄ is positive semi-definite. Thus, Theorem 4 approves
that ζ̄ is a global minimizer of the robust problem.
4 Application to Robust MPECs
Consider a MPEC involving uncertainty in the feasible region:

⎧
⎪
⎪min f(ζ )
⎪
⎪
⎪
⎪s. t.
⎪
⎪
⎨g (ζ, u ) ≤ 0, ∀i ∈ P,
i i
(UMPEC)
⎪
⎪φ (ζ ) ≤ 0, ∀i ∈ Q,
⎪
⎪
i
⎪
⎪hi (ζ ) = 0, ∀i ∈ R,
⎪
⎪
⎩
Gi (ζ ) ≥ 0, Hi (ζ ) ≥ 0, Gi (ζ )Hi (ζ ) = 0, ∀i ∈ S := {1, . . . , s},
where in addition to the symbols defined for MUP, we have Gi , Hi : Rn → R are

continuously differentiable functions. The UMPEC’s robust equivalent is:
min f(ζ ) s. t. ζ ∈ Ω, (RMPEC)
where
Ω := {ζ ∈ Rn : gi (ζ, ui ) ≤ 0, ∀ui ∈ Ui , ∀ i ∈ P,
φi (ζ ) ≤ 0, ∀i ∈ Q,
hi (ζ ) = 0, ∀i ∈ R,
Gi (ζ ) ≥ 0, ∀i ∈ S,
Hi (ζ ) ≥ 0, ∀i ∈ S,
Gi (ζ )Hi (ζ ) = 0, ∀i ∈ S}.
.
Definition 4 A point ζ ∗ ∈ Ω is a robust global minimizer of U M P EC iff ζ ∗ is a
global minimizer of RMPEC, that is, f(ζ ) ≥ f(ζ ∗ ) for all ζ ∈ Ω. A point ζ ∗ is a
robust local minimizer of U M P EC iff there exist > 0 such that f(ζ ) ≥ f(ζ ∗ ) with
ζ ∈ Ω ∩ B(ζ ∗ , ).
In addition to the index sets defined earlier, we need the following index sets
related to the equilibrium constraints
P1 (ζ ∗ ) := {i ∈ P : ∃ui ∈ Ui , s. t. gi (ζ ∗ , ui ) = 0},
Q1 (ζ ∗ ) := {i ∈ Q : φi (ζ ∗ ) = 0},
I0+ (ζ ∗ ) := {i ∈ S : Gi (ζ ∗ ) = 0, Hi (ζ ∗ ) > 0},
I00 (ζ ∗ ) := {i ∈ S : Gi (ζ ∗ ) = 0, Hi (ζ ∗ ) = 0},
I+0 (ζ ∗ ) := {i ∈ S : Gi (ζ ∗ ) > 0, Hi (ζ ∗ ) = 0},
I++ (ζ ∗ ) := {i ∈ S : Gi (ζ ∗ ) > 0, Hi (ζ ∗ ) > 0},
Ui0 := {ui ∈ Ui : gi (ζ ∗ , ui ) = 0}, ∀i ∈ P1 (ζ ∗ ).
The following tightened robust program depending upon ζ ∗ ∈ Ω, denoted by

RTNLP(ζ ∗ ), will be useful to define a suitable CQ for RMPEC.
⎧
⎪
⎪min f(ζ )
⎪
⎪
⎪
⎪s. t.
⎪
⎪
⎪
⎪gi (ζ, ui ) ≤ 0, ∀ui ∈ Ui , ∀i ∈ P,
⎪
⎪
⎪
⎪
⎪
⎨ i (ζ ) ≤ 0,
φ ∀i ∈ Q,
hi (ζ ) = 0, ∀i ∈ R, (RTNLP(ζ ∗ ))
⎪
⎪
⎪
⎪G i (ζ ) = 0, ∀i ∈ I0+ ∪ I00 ,
⎪
⎪
⎪
⎪Gi (ζ ) ≥ 0, ∀i ∈ I+0 ,
⎪
⎪
⎪
⎪
⎪
⎪Hi (ζ ) = 0, ∀i ∈ I+0 ∪ I00 ,
⎪
⎩
Hi (ζ ) ≥ 0, ∀i ∈ I0+ .
Since the feasible set of RTNLP(ζ ∗ ) is a subset of the feasible set of RMPEC.
Therefore, if ζ ∗ is a local minimizer of RMPEC, then ζ ∗ is also a local minimizer of
corresponding RTNLP(ζ ∗ ) and RTNLP(ζ ∗ ) may be used to define a suitable variant
of ENNAMCQ for RMPEC.
Definition 5 The R M P EC satisfies RMPEC-ENNAMCQ at ζ ∗ iff RTNLP(ζ ∗ )
satisfies the ENNAMCQ at ζ ∗ , that is, for any ui ∈ Ui (i ∈ P), one has
⎧ q r
⎪ p g ∗ φ ∗ h ∗
⎪
⎪
⎪ i=1 i 1 gi (ζ , ui ) + i=1 i φi (ζ ) + i=1 i hi (ζ )
⎪
⎪ G ∗ G
− i∈I+0 ςi Gi (ζ ) − i∈I0+ ∪I00 ςi Gi (ζ ) ∗
⎪
⎪
⎪
⎪
⎪
⎪
⎪ − i∈I0+ ςiH Hi (ζ ∗ ) − i∈I+0 ∪I00 ςiH Hi (ζ ∗ ) = 0,
⎪
⎨ g φ
i ≥ 0 (i ∈ P1 (ζ ∗ )), i ≥ 0 (i ∈ Q1 (ζ ∗ )), ςiG ≥ 0 (i ∈ I+0 ), ςiH ≥ 0, (i ∈ I0+ )
⎪ =⇒
⎪
⎪
⎪
⎪
⎪ g φ h
⎪ i = 0 (i ∈ P1 (ζ ∗ )), i = 0 (i ∈ Q1 (ζ ∗ )), i = 0 (i ∈ R),
⎪
⎪
⎪
⎪
⎪
⎪ ςiG = 0 (i ∈ I+0 ), ςiG = 0 (i ∈ I0+ ∪ I00 ),
⎪
⎩ ς H = 0 (i ∈ I ), ς H = 0 (i ∈ I ∪ I ).
i 0+ i +0 00
(RMPEC-ENNAMCQ)
We can now establish the KKT criteria for RMPEC.
Theorem 5 (KKT condition for RMPEC) Let ζ ∗ ∈ Ω be a local minimizer of

RMPEC and let gi (ζ, ·) be concave on Ui for every ζ ∈ Rn and for every i ∈ P.
If RMPEC-ENNAMCQ holds at ζ ∗ ∈ Ω, then we can find (g , β, γ , ς G , ς H ) ∈
R p+q+r +2s and ui ∈ Ui (i ∈ P) such that
⎧ p g q φ h
⎪
⎪ f(ζ ∗ ) + i=1 i 1 gi (ζ ∗ , ui ) + i=1 i φi (ζ ∗ ) + ri=1 i hi (ζ ∗ )
⎪
⎪ s
⎪
⎪ − i=1 [ςiG Gi (ζ ∗ ) + ςiH Hi (ζ ∗ )] = 0,
⎪
⎪
⎨ g ≥ 0, g g (ζ ∗ , u ) = 0, ∀i ∈ P,
i i i i
(5)
⎪ iφ ≥ 0, iφ φi (ζ ∗ ) = 0, ∀i ∈ Q,
⎪
⎪
⎪
⎪
⎪ ςiG ∈ R, ∀i ∈ I0+ ∪ I00 , ςiH ∈ R, ∀i ∈ I+0 ∪ I00 ,
⎪
⎪
⎩ G
ςi = 0, ∀i ∈ I+0 , ςiH = 0, ∀i ∈ I0+ .
Proof Since ζ ∗ ∈ Ω minimizes the RMPEC locally, therefore ζ ∗ also minimizes

the RTNLP(ζ ∗ ) locally. Also, since RMPEC-ENNAMCQ holds at ζ ∗ , therefore
ENNAMCQ also holds at ζ ∗ for the RTNLP(ζ ∗ ). Then, by Theorem 3, we have the
required result.
Based on the above theorem and following the notion of stationary points for
MPEC (see, e.g. [44]), we may now define weak stationary points for the RMPEC.
Definition 6 (W-stationary point of the RMPEC) Any ζ ∗ ∈ Ω is W-stationary for

the RMPEC iff we can find (, β, γ , ς G , ς H ) ∈ R p+q+r +2s and ui ∈ Ui (i ∈ P) sat-
isfying (5).
The sequel will use following indices depending on ζ ∗ ∈ Ω:

g φ
P + := {i ∈ P(ζ ∗ ) : i > 0}, Q+ := {i ∈ Q(ζ ∗ ) : i > 0},
h h
R+ := {i ∈ R : i > 0}, R− := {i ∈ R : i < 0}.
+
I00 := {i ∈ I00 : ςiG > 0, ςiH > 0}, −
I00 := {i ∈ I00 : ςiG < 0, ςiH < 0},
+
I0+ := {i ∈ I0+ : ςiG > 0}, −
I0+ := {i ∈ I0+ : ςiG < 0},
+
I+0 := {i ∈ I+0 : ςiH > 0}, −
I+0 := {i ∈ I+0 : ςiH < 0}.
Theorem 6 (Sufficiency of W-stationarity for RMPEC) Let ζ ∗ ∈ Ω be a

W-stationary point. If the functions f, gi (·, ui )(i ∈ P + ), φi (i ∈ Q+ ), hi (i ∈
+ + − − +
R+ ), −hi (i ∈ R− ), −Gi (i ∈ I0+ ∪ I00 ), Gi (i ∈ I0+ ∪ I00 ), −Hi (i ∈ I+0 ∪
+ − − ∗
I00 ), Hi (i ∈ I+0 ∪ I00 ) are convex at ζ over Ω, then
− − −
(a) ζ ∗ minimizes the RMPEC globally when I0+ ∪ I00 ∪ I+0 = ∅;
∗ −
(b) ζ minimizes the RMPEC locally when I00 = ∅;
(c) ζ ∗ minimizes the RMPEC locally when ζ ∗ happens to be an interior point wrt
Ω ∩ {ζ : Gi (ζ ) = 0, Hi (ζ ) = 0} .
Proof (a) By the convexity of f at ζ ∗ over Ω, we have
f(ζ ) − f(ζ ∗ ) ≥ f(ζ ∗ )T (ζ − ζ ∗ ), ∀ζ ∈ Ω.
Since ζ ∗ is a W-stationary point of the RMPEC, therefore

f(ζ ) − f(ζ ∗ )
T

p
g

q
φ

r
h
≥− i 1 gi (ζ ∗ , ui ) + i φi (ζ ∗ ) + i hi (ζ ∗ ) (ζ − ζ ∗ )
i=1 i=1 i=1
T

s
+ [ςiG Gi (ζ ∗ ) + ςiH Hi (ζ ∗ )] (ζ − ζ ∗ ),
i=1
∀ζ ∈ Ω.
(6)
By the convexity of gi (., ui ) at (ζ ∗ , ui ) for every i ∈ P + , one has
1 gi (ζ ∗ , ui )T (ζ − ζ ∗ ) ≤ gi (ζ, ui ) − gi (ζ ∗ , ui ), ∀ζ ∈ Ω ∀i ∈ P + .
Since gi (ζ ∗ , ui ) = 0 (i ∈ P + ), therefore
1 gi (ζ ∗ , ui )T (ζ − ζ ∗ ) ≤ 0, ∀ζ ∈ Ω ∀i ∈ P + . (7)
Similarly
φi (ζ ∗ )T (ζ − ζ ∗ ) ≤ 0, ∀ζ ∈ Ω ∀i ∈ Q+ , (8)
hi (ζ ∗ )T (ζ − ζ ∗ ) ≤ 0, ∀ζ ∈ Ω, ∀i ∈ R+ , (9)
hi (ζ ∗ )T (ζ − ζ ∗ ) ≥ 0, ∀ζ ∈ Ω, ∀i ∈ R− , (10)
+ +
Gi (ζ ∗ )T (ζ − ζ ∗ ) ≥ 0, ∀ζ ∈ Ω, ∀i ∈ I0+ ∪ I00 , (11)
+ +
Hi (ζ ∗ )T (ζ − ζ ∗ ) ≥ 0, ∀ζ ∈ Ω ∀i ∈ I+0 ∪ I00 . (12)
g φ h
Multiplying (7)–(12) by i > 0 (i ∈ P + ), i > 0 (i ∈ Q+ ), i > 0(i ∈
h + +
R+ ), −i > 0 (i ∈ R− ), ςiG > 0 (i ∈ I0+ ∪ I00 ), and ςiH > 0 (i ∈
+ +
I+0 ∪ I00 ), respectively, and summing, we obtain
T

p
g

q
φ

r
h
i 1 gi (ζ ∗ , ui ) + i φi (ζ ∗ ) + i hi (ζ ∗ ) (ζ − ζ ∗ )
i=1 i=1 i=1
T

s
− [ςiG Gi (ζ ∗ ) + ςiH Hi (ζ ∗ )] (ζ − ζ ∗ ) ≤ 0, ∀ζ ∈ Ω,
i=1
which implies from (5) that f(ζ ) ≥ f(ζ ∗ ) for all ζ ∈ Ω.

−
(b) If i ∈ I0+ , then Hi (ζ ∗ ) > 0 and Hi (ζ ) > 0 for ζ close enough to ζ ∗ , which
implies by the complementarity constraints that Gi (ζ ) = 0 for every ζ close
−
enough to ζ ∗ and for every i ∈ I0+ . Hence, for every ζ close enough to ζ ∗ , by
−
the convexity of Gi (i ∈ I0+ ), one has
−
Gi (ζ ∗ )T (ζ − ζ ∗ ) ≤ 0, ∀i ∈ I0+ . (13)
−
Similarly, for every ζ close enough to ζ ∗ , by the convexity of Hi (i ∈ I+0 ), one
has
−
Hi (ζ ∗ )T (ζ − ζ ∗ ) ≤ 0, ∀i ∈ I+0 . (14)
g φ h
Multiplying (7)–(14) by i > 0(i ∈ P + ), i > 0(i ∈ Q+ ), i > 0(i ∈
h + + + +
R+ ), −i > 0(i ∈ R− ), ςiG > 0(i ∈ I0+ ∪ I00 ), ςiH > 0(i ∈ I+0 ∪ I00 ),
− H −
−ςiG > 0(i ∈ I0+ ) and −ςi > 0(i ∈ I+0 ), respectively, we get
T

p
g

q
φ

r
h
i=1 i=1 i=1
T

s
− [ςiG Gi (ζ ∗ ) + ςiH Hi (ζ ∗ )] (ζ − ζ ∗ ) ≤ 0, ∀ζ ∈ Ω,
i=1
which implies from (5) that f(ζ ) ≥ f(ζ ∗ ) for every ζ close enough to ζ ∗ . Hence,
ζ ∗ is a local minimizer of the RMPEC.
(c) Since ζ ∗ is an interior point wrt Ω ∩ {ζ : Gi (ζ ) = 0, Hi (ζ ) = 0} , for every ζ
− −
close enough to ζ ∗ , by the convexity of Gi (i ∈ I00 ) and Hi (i ∈ I00 ), one has
−
Gi (ζ ∗ )T (ζ − ζ ∗ ) ≤ 0, ∀i ∈ I00 , (15)
and
−
Hi (ζ ∗ )T (ζ − ζ ∗ ) ≤ 0, ∀i ∈ I00 . (16)
g φ h
Multiplying (7)–(16) by i > 0 (i ∈ P + ), i > 0 (i ∈ Q+ ), i > 0(i ∈
h + + + +
R+ ), −i > 0 (i ∈ R− ), ςiG > 0 (i ∈ I0+ ∪ I00 ), ςiH > 0 (i ∈ I+0 ∪ I00 ),
− − −
−ςiG > 0(i ∈ I0+ ), −ςiH > 0(i ∈ I+0 ), −ςiG > 0(i ∈ I00 ) and −ςiH > 0(i ∈
−
I00 ), respectively, and adding, we get
T

p
g

q
φ

r
h
i=1 i=1 i=1
T

s
− [ςiG Gi (ζ ∗ ) + ςiH Hi (ζ ∗ )] (ζ − ζ ∗ ) ≤ 0, ∀ζ ∈ Ω.
i=1
which implies from (5) that f(ζ ) ≥ f(ζ ∗ ) for every ζ close enough to ζ ∗ . Hence,
ζ ∗ is a local minimizer of the RMPEC. This concludes the proof.
The results above are illustrated by the example below.

Example 2 Consider a MPEC with uncertainty in the feasible region as follows:
min f(ζ ) := eζ1 ζ3 + ζ22

ζ :=(ζ1 ,ζ2 ,ζ3 )∈R3
s. t. g1 (ζ, v) := vζ12 + ζ22 − 1 ≤ 0,

φ1 (ζ ) := ζ12 + ζ2 − 1 ≤ 0,
and G1 (ζ ) = ζ1 ≥ 0, H1 (ζ ) = ζ3 ≥ 0, G1 (ζ )H1 (ζ ) = 0,
where v ∈ [0.5, 1]. The associated robust counterpart is
min f(ζ ) := eζ1 ζ3 + ζ22

ζ :=(ζ1 ,ζ2 ,ζ3 )∈R3
s. t. g1 (ζ, v) := vζ12 + ζ22 − 1 ≤ 0, ∀v ∈ [0.5, 1],

φ1 (ζ ) := ζ12 + ζ2 − 1 ≤ 0,
and G1 (ζ ) = ζ1 ≥ 0, H1 (ζ ) = ζ3 ≥ 0, G1 (ζ )H1 (ζ ) = 0.
Now, consider a point ζ ∗ := (1, 0, 0) in the feasible region where the constraints
g φ
g1 (., 1), φ1 and H1 are active with I+0 (ζ ∗ ) = {1} . Now, for any 1 ≥ 0, 1 ≥ 0 and
H
ς1 ≥ 0 with
g φ
1 1 g1 (ζ ∗ , 1) + 1 φ1 (ζ ∗ ) − ς1H H1 (ζ ∗ ) = 0,
g φ
one has 1 = 1 = ς1H = 0, and hence RMPEC-ENNAMCQ is satisfied at ζ ∗ . Now
g φ
f(ζ ∗ ) + 1 1 g1 (ζ ∗ , v) + 1 φ1 (ζ ∗ ) − ς1H H1 (ζ ∗ ) = 0,
g φ
gives the existence of 1 = 0, ∀v ∈ [0.5, 1], 1 = 0, ς1H = 1, which implies that
+
the robust KKT conditions are fulfilled from Theorem 5 at ζ ∗ . Since I+0 (ζ ∗ ) is
nonempty, therefore to verify the sufficient optimality conditions of Theorem 6, we
have to verify the convexity of f and H1 at ζ ∗ . Indeed, f and −H1 are both convex at
ζ ∗ over the feasible region, which implies by Theorem 6 that ζ ∗ is a robust global
minimizer.
Similarly, we can show that ζ̄ := (0, 0, 1) is also a robust global minimizer of the
uncertain problem. In fact, any point of the type (t, 0, 0) or (0, 0, t) with t ∈ [0, 1]
minimizes the RMPEC globally. Further, if we add another equality constraint like
ζ1 + ζ2 + ζ3 = 0, then the origin will be an unique local minimizer.
We can now define some other stationary points for the RMPEC as follows:
Definition 7 (Different stationary concepts for the RMPEC) If there exist

(g , φ , h , ς G , ς H ) ∈ R p+q+r +2s and ui ∈ Ui (i ∈ P) which satisfy (5) at ζ ∗ ∈ Ω
and
(a) ςiG ςiH ≥ 0 for every i ∈ I00 , then C-stationarity holds at ζ ∗ ;
(b) either ςiG ≥ 0 or ςiH ≥ 0 for any i ∈ I00 , then A-stationarity holds at ζ ∗ ;
Fig. 1 Relation among

different stationary points for
RMPEC
(c) either ςiG > 0, ςiH > 0 or ςiG ςiH = 0 for any i ∈ I00 , then M-stationarity holds
at ζ ∗ ;
(d) ςiG ≥ 0, ςiH ≥ 0 for any i ∈ I00 , then S-stationarity holds at ζ ∗ .
Remark 1 If the uncertainty set Ui is a singleton set for every i ∈ P, then the sta-
tionary concepts given in Definitions 6 and 7 reduce to the corresponding stationary
concepts for MPEC (see, e.g. [44]). We can derive sufficient optimality conditions
for different stationary concepts for RMPEC similar to Theorem 6. Moreover, FJ and
KKT type C-, A-, M- and S-stationary conditions can be derived using the approaches
of Scheel and Scholtes [41], Flegel and Kanzow [11], Ye [44] along with Theorems
3 and 5. The relation among different stationary points are given in Fig. 1.
5 Conclusion
We studied a nonlinear problem with mixed assumptions of deterministic inequality

and equality constraints along with uncertain inequality constraints which is termed
as MUP. We have derived FJ condition for the MUP under data uncertainty assump-
tions in the feasible region. We have introduced a variant of the NNAMCQ for the
MUP and used it to find the KKT condition for the MUP. The sufficiency of the
results are confirmed under convexity hypothesis.
The results obtained for MUP has been used to study a MPEC with data uncer-
tainty in the feasible region called RMPEC. An FJ condition has been developed
for the RMPEC, and a robust tailored nonlinear programming problem RTNLP has
been used to develop suitable NNAMCQ for the UMPEC, denoted by RMPEC-
ENNAMCQ. Finally, the KKT condition for the UMPEC were established by uti-
lizing the assumptions of RMPEC-ENNAMCQ from the FJ type robust necessary

conditions for the UMPEC. We also provide the sufficiency of the results for the
UMPEC under convexity hypothesis.
The findings may be used to develop robust optimality conditions by involving
uncertainty in the equality constraints as well which will be a matter of future research
work. Additionally, some other generalised convexity [23, 33–35] might be investi-
gated to determine its sufficiency. Moreover, the results can be extended involving
vanishing constraints with data uncertainty both for the smooth [28, 37, 38] and the
nonsmooth [30] cases.
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A New Approach to Solve Fuzzy
Transportation Problem
Ashutosh Choudhary and Shiv Prasad Yadav
Abstract In the real-life problem, the decision-maker (DM) faces uncertainty

because of a number of uncontrolled circumstances, including the weather, k mthe
state of the roads, and the price of diesel. Due to these uncontrollable factors, the DM
hesitates to predict the actual situation. To handle these uncertainties, many authors
showed their interest in intuitionistic fuzzy set to represent. This article develops a
transportation problem (TP) where costs are triangular intuitionistic fuzzy number
(TIFN) while supplies and demands are real numbers. To deal with uncertainty in
the TP, an algorithm is developed to find out the optimal solution of TP in terms of
TIFNs. The proposed method is demonstrated by an example.
Keywords Triangular intuitionistic fuzzy number · Transportation problem ·

Ranking function · Optimal solution
1 Introduction
The theory of fuzzy set (FS) was first established by Zadeh [25], by defining single
membership degree. FS has been applied in several disciplines of mathematics, engi-
neering, and management. The application of FS is more popular in the domain of
optimization and in real-world decision-making problems after the groundbreaking
work carried out by Bellman and Zadeh [5].
Atanassov [3] developed the theory of intuitionistic fuzzy set (IFS) in terms of
generalization of FS, which extends the single membership degree of FS to two
more logical terms, the membership degree and the non-membership degree, so that
A. Choudhary (B) · S. P. Yadav

Department of Mathematics, Indian Institute of Technology Roorkee, Roorkee 247667, India
e-mail: ashu123bhu@gmail.com; achoudhary@ma.iitr.ac.in
S. P. Yadav
e-mail: spyorfma@gmail.com
https://doi.org/10.1007/978-981-99-0597-3_21
302 A. Choudhary and S. P. Yadav
their summation lies in [0, 1]. The IFS describes the vagueness of an element in the
set more comprehensively than the FS and has been very helpful in dealing with
uncertainty.
In the real-life TPs, there are several instances where transportation cost (TC)
may be unsure due to number of reasons (Dempe and Starostina [6]). Many authors
(Nagoorgani and Razak [17], Dinager and Palanivel [7], Pandian and Natrajan [18])
have studied fuzzy transportation problems (FTPs) to address the ambiguity that
arises in TP. Mohideen and Kumar [15] investigate a TP with all the parameters being
trapezoidal fuzzy numbers. By utilizing the ranking of fuzzy numbers, Basirzadeh
[4] suggested a simplistic but efficient parametric approach to solving the FTP. Kaur
and Kumar [12] introduced a novel approach for determining the fuzzy optimum
solution for an FTP where TC is expressed by generalized fuzzy numbers. Szmidt
and Kacprzyk [22] have introduced the notion of distance between two IFSs with
the assistance of membership and non-membership functions. Mukherjee and Basu
[16] investigated the solution of the assignment problem using similarity measures
under intuitionistic environment.
In various real-world TP, DM does not assure about TCs due to uncertain quanti-
ties arising from variation in fuel prices, heavy traffic, temperature fluctuations, etc.
In this circumstance, DM hesitates in prediction of TC. So, to cover hesitation factor,
IFS is more suitable than the FS. Hussain and Kumar [10], Singh and Yadav [21]
have used TFS in real-life TP. Antony et al. [1] have studied TP using TIFNs. Singh
and Yadav [20] solved TP using intuitionistic fuzzy cost but crisp availabilities and
demand. Kumar [13] suggested a novel approach to obtain a solution of intuitionistic
FTP of type-2 where TC is expressed by TIFN. Hunwisai et al. [9] proposed a novel
method to solving FTP using trapezoidal intuitionistic fuzzy numbers in generalized
form. Traneva and Tranev [23] extended the fuzzy zero point method (FZPM) to
intuitionistic FZPM and obtained the solution of intuitionistic FTP using the concept
of IFSs and index matrices. Josephine et al. [11] proposed an efficient algorithm
to find the optimal solution of a TP in which costs, supplies, and demands all are
trapezoidal fuzzy numbers (TrFNs). Mishra and kumar [14] proposed a new method
(named JMD method) to transform an unbalanced triangular intuitionistic fully IFTP
into a balanced fully IFTP and then obtained the intuitionistic fuzzy optimal solu-
tion of unbalanced fully IFTP. Singh and Garg [19] proposed a family of Hamming,
Euclidean, and utmost distance measures for type-2 IFSs. Further proposed a rank-
ing method based on these measures for solving group decision-making problems.
Anusha and Sireesha proposed [2], a new distance measure for type-2 IFSs and its
application to multi-criteria group decision-making. Xue and Deng [24] presented
the decision-making under measure-based granular uncertainty in intuitionistic fuzzy
environment. Garg and Singh [8] presented a new group decision-making approach
based on similarity measure between type-2 IFSs.
In the present study, we have modeled a TP in which TCs are TIFNs, availabilities
and requirements are real numbers. For ordering of TIFNs, we propose the accuracy
function for TIFNs. To determine the optimal solution of FTP, we develop a new
algorithm. The rest of the article is organized as follows: in Sect. 2, definitions and
mathematical operations on TIFNs from the existing literature (Singh and Yadav [21],
A New Approach to Solve Fuzzy Transportation Problem 303
Atanassov [3]) are defined. In Sect. 3, ranking and ordering of TIFNs are defined.
Section 4 deals with solution procedure of TIFTP. A numerical example is used in
Sect. 5 to show how to use the approach to obtain the optimal solution.
2 Some Definitions
2.1 Intuitionistic Fuzzy Set (IFS)
Let X be a non-empty set. Then an IFS Ã I in X is defined by Ã I = {(x, μ A˜I (x),

ν A˜I (x)) : x ∈ X }, where μ A˜I , ν A˜I : X → [0, 1] are functions satisfying the rela-
tion 0 ≤ μ A˜I (x) + ν A˜I (x) ≤ 1 ∀x ∈ X . The values μ A˜I (x) and ν A˜I (x) represent
the degrees of membership and non-membership of the element x ∈ X being in
Ã I . π A˜I (x) = 1 − μ A˜I (x) − ν A˜I (x) is called the degree of hesitation for an element
x ∈ X being in Ã I .
2.2 Intuitionistic Fuzzy Number (IFN)
Let the collection of real numbers be R. Then an IFS Ã I = {(x, μ A˜I (x), ν A˜I (x)) :
x ∈ R} is called an IFN if the following two necessary conditions hold:
1. ∃ a unique point k1 ∈ R and ∃ at least one point k2 ∈ R so that μ A˜I (k1 ) = 1

and ν A˜I (k2 ) = 1.
2. μ A˜I , ν A˜I : R → [0, 1] are piece-wise continuous functions and 0 ≤ μ A˜I (x) +
ν A˜I (x) ≤ 1 ∀x ∈ R, where for l, r, l , r ∈ R with l ≤ l , r ≤ r , we have
⎧
⎪
⎪ g1 (x), k1 − l ≤ x < k1 ,
⎪
⎨ 1, x = k1 ,
μ A˜I (x) =
⎪
⎪ g (x), k 1 < x ≤ k1 + r,
⎪
⎩
2
0, other wise,
and
⎧
⎪
⎪ h 1 (x), k1 − l ≤ x < k1 ; 0 ≤ g1 (x) + h 1 (x) ≤ 1,
⎪
⎨0, x = k1 ,
ν A˜I (x) =
⎪
⎪ h 2 (x), k1 < x ≤ k1 + r ; 0 ≤ g2 (x) + h 2 (x) ≤ 1,
⎪
⎩
1, other wise.
Here k1 is called the mean value of Ã I ; l and r are called the left and right spreads of

μ A˜I , respectively; l and r are called the left and right spreads of ν A˜I , respectively;
g1 and h 2 are piece-wise continuous and increasing functions in [k1 − l, k1 ) and

(k1 , k1 + r ], respectively; and g2 and h 1 are piece-wise continuous and decreasing

functions in (k1 , k1 + r ] and [k1 − l , k1 ), respectively. The IFN Ã I is denoted by

Ã I = (k1 ; l, r ; l , r ).
2.3 Triangular Intuitionistic Fuzzy Number (TIFN)
An IFN Ã I is said to be a TIFN if its membership function μ A˜I and non-membership

function ν A˜I are defined by
⎧
⎪ x − ξ1
⎪
⎪ , ξ1 < x ≤ ξ2 ,
⎪
⎨ ξ2 − ξ1
μ A˜I (x) = ξ3 − x , ξ ≤ x < ξ ,
⎪
⎪ ξ3 − a2
2 3
⎪
⎪
⎩0, other wise,
and ⎧
⎪ ξ2 − x
⎪
⎪ , ξ1 < x ≤ ξ2 ,
⎪
⎨ ξ2 − a1
ν A˜I (x) = x − ξ2
⎪
⎪ , ξ2 ≤ x < ξ3 ,
⎪
⎪ aξ3 − ξ2
⎩
1, other wise,

where ξ1 ≤ ξ1 < ξ2 < ξ3 ≤ ξ3 . The TIFN Ã I is denoted by

Ã I = (ξ1 , ξ2 , ξ3 ; ξ1 , ξ2 , ξ3 ) and is shown in Fig. 1.
2.4 Arithmetic Operation on TIFNs
Let Ã I = (ξ1 , ξ2 , ξ3 ; ξ1 , ξ2 , ξ3 ) and B˜ I = (ζ1 , ζ2 , ζ3 ; ζ1 , ζ2 , ζ3 ) be TIFNs. Then

Addition: Ã I ⊕ B˜ I = (ξ1 + ζ1 , ξ2 + ζ2 , ξ3 + ζ3 ; aξ1 + ζ1 , ξ2 + ζ2 , aξ3 + ζ3 ),

B˜ I = (ξ1 − ζ3 , ξ2 − ζ2 , ξ3 − ζ1 ; ξ1 − ζ3 , ξ2 − ζ2 , ξ3 − ζ1 ),

Subtraction: Ã I
Multiplication: Ã I ⊗ B˜ I = (m 1 , m 2 , m 3 ; m 1 , m 2 , m 3 ),

Fig. 1 TIFN A˜I = (ξ1 , ξ2 , ξ3 ; ξ1 , ξ2 , ξ3 )

where
m 1 = min{ξ1 ζ1 , ξ1 ζ3 , ξ3 ζ1 , ξ3 ζ3 }, m 2 = ξ2 ζ2 , m 3 = max{ξ1 ζ1 , ξ1 ζ3 , ξ3 ζ1 , ξ3 ζ3 }

m 1 = min{ξ1 ζ1 , ξ1 ζ3 , ξ3 ζ1 , ξ3 ζ3 }, m 3 = max{ξ1 ζ1 , ξ1 ζ3 , ξ3 ζ1 , ξ3 ζ3 }.
Scalar multiplication

1. λ Ã I = (λξ1 , λξ2 , λξ3 ; λξ1 , λξ2 , λξ3 ) : λ ≥ 0.

2. λ Ã I = (λξ3 , λξ2 , λξ1 ; λξ3 , λξ2 , λξ1 ) : λ < 0.
3 Rank and Ordering of TIFNs

The rank or ranking value of a TIFN Ã I = (ξ1 , ξ2 , ξ3 ; ξ1 , ξ2 , ξ3 ) is denoted by r( Ã I )

ξ1 + 4ξ2 + ξ3 + ξ1 + ξ3
and is defined by r( Ã I ) = .
8
Let Ã I and B˜ I be two TIFNs. Then ordering is defined as follows:
(a) Ã I B˜ I ⇐⇒ r( Ã I ) ≤ r ( B˜ I ).
(b) Ã I ≈ B˜ I ⇐⇒ r( Ã I ) = r ( B˜ I ).
(c) Ã I ≺ B˜ I ⇐⇒ r( Ã I ) < r ( B˜ I ).
(d) min{ Ã I , B˜ I } = Ã I ⇐⇒ Ã I B˜ I .
Theorem 3.1 The ranking function r : F (R) → R defined by r( Ã I )=

ξ1 + ξ2 + ξ3 + ξ1 + ξ3
is linear, where F (R) is the set of all TIFNs.
8
Proof Let Ã I = (ξ1 , ξ2 , ξ3 ; ξ1 , ξ2 , ξ3 ) and B˜ I = (ζ1 , ζ2 , ζ3 ; ζ1 , ζ2 , ζ3 ) ∈ F (R) and

α, β ∈ R.
Case 1. Let α > 0, β > 0.
r (α A˜I + β B˜ I ) = r [(αξ1 , αξ2 , αξ3 ; αξ1 , αξ2 , αξ3 ) ⊕ (βζ1 , βζ2 , βζ3 ; βζ1 , βζ2 , βζ3 )]

= r [(αξ1 + βζ1 , αξ2 + βζ2 , αξ3 + βζ3 ; αξ1 + βζ1 , αξ2 +

βζ2 , , αξ3 βζ3 )]

αξ1 + βζ1 + 4(αξ2 + βζ2 ) + αξ3 + βζ3 + αξ1 + βζ1 + αξ3 + βζ3
=
8

αξ1 + 4αξ2 + αξ3 + αξ1 + αξ3 βζ1 + 4βζ2 + βζ3 + βζ1 + βζ3
= + +
8 8

ξ1 + 4ξ2 + ξ3 + ξ1 + ξ3 ζ1 + 4ζ2 + ζ3 + ζ1 + ζ3
=α +β
8 8
= α r ( Ã I ) + β r ( B˜ I ).
Case 2. Let α > 0, β < 0.


βζ2 , , αξ3 βζ1 )]

=
8

= + +
8 8

ξ1 + 4ξ2 + ξ3 + ξ1 + ξ3 ζ1 + 4bζ2 + ζ3 + ζ1 + ζ3
=α +β
8 8
= α r ( Ã I ) + β r ( B˜ I ).
Case 3. Let α < 0, β < 0.


βζ2 , , αξ3 βζ1 )]

=
8

= + +
8 8

ξ1 + 4ξ2 + ξ3 + ξ1 + ξ3 ζ1 + 4ζ2 + ζ3 + ζ1 + ζ3
=α +β
8 8
I ˜
= α r ( Ã ) + β r ( B ).
I
Cases 1, 2, and 3 show that r is a linear function.
Definition 3.2 A balanced IFTP (BIFTP) in which costs are TIFN but supplies and
demands are crisp is defined as

m
n
Min Z̃ I ≈ c̃iIj ⊗ xi j
i=1 j=1
n
subject to xi j ≈ ai i = 1, 2, 3, . . . , m,
j=1

m
xi j ≈ b j j = 1, 2, 3, . . . , n,
i=1
xi j ≥ 0 i = 1, 2, 3, . . . , m; j = 1, 2, 3, . . . , n,
where c̃iIj is the unit fuzzy transportation cost (IFTC) from the ith supply point to
the jth destination,
ai is the availability of the commodity at the ith supply point,
b j is the requirement of the commodity at the jth destination,
xi j is the number of units of the commodity transported from the ith supply point to
the jth destination.
4 Proposed Method
We present the following algorithmic program to find the optimal solution:

Step1: Firstly, write the FIFTP in the matrix form and call it as the IF transportation
cost (IFTC) matrix. Examine whether it is a BIFTP or not. If yes, go to Step 2. If not,
introduce an additional row/column with IF zero cost and supply/demand equals to
the IF positive difference of supply and demand.
Step2: Find the smallest element using 3 (d) in each row and subtract it from all
elements of that row.
Step3: Repeat Step 2 for each column of the matrix obtained in Step 2. Call the
matrix thus obtained as the reduced IFTC matrix. (Observe that each row and each
column have IF zero cost).
Step4: For each row (column) of the reduced IFTC matrix, find the difference between
the smallest and next higher cost. Write them by the side of the matrix against the
respective rows (column) and call them as row (column) IF penalties.
Step5: Choose the row or column with the largest IF penalty. Make the maximum
possible allocation to the IF zero cost cell and cross off the satisfied row or column.
If there is a tie for the largest IF penalty or the IF zero cost cell, go to Step 7. If not,
go to Step 6.
Step6: Now consider modified matrix obtained in Step 5. Repeat Steps 2–5 until all
the rows and columns are satisfied.
Step7 (Tie) 1. If the largest IF penalty is not unique, then break the tie among them
by choosing the row or column having the smallest IF cost, i.e., IF zero cost.
2. If in the chosen row or column, the smallest IF cost is not unique, then choose the
cell from tied ones to which more allocation can be made.
5 Numerical Example
Consider the following BIFTP. In this problem, there are four supply points S1 , S2 ,
S3 , S4 and four destinations D1 , D2 , D3 , D4 (Tables 1 and 2).
Applying Step 2, the resultant IFTC is given in Table 3.
Applying Step 3, the resultant IFTC is given in Table 4.
In Table 4, calculate the row and column IF penalties and write them against the
respective rows and columns. The resultant IFTC matrix is given in Table 5.
Table 1 IFTC matrix

D1 D2 D3 D4 ai
S1 (2, 4, 5; 1, 4, 6) (2, 5, 7; 1, 5, 8) (4, 6, 8; 3, 6, 9) (4, 7, 8; 3, 7, 9) 11
S2 (4, 6, 8; 3, 6, 9) (3, 7, 12; 2, 7, 13) (10, 15, 20; 8, 15, 22) (11, 12, 13; 10, 12, 14) 11
S3 (3, 4, 6; 1, 4, 8) (8, 10, 13; 5, 10, 16) (2, 3, 5; 1, 3, 6) (6, 10, 14; 5, 10, 15) 11
S4 (4, 6, 9; 3, 6, 9) (3, 7, 9; 2, 7, 10) (2, 4, 5; 1, 4, 6) (9, 17, 23; 6, 17, 25) 12
bj 16 10 8 11
Table 2 IFTC matrix with ranking values

D1 D2 D3 D4 ai
S1 (2, 4, 5; 1, 4, 6)(3.75) (2, 5, 7; 1, 5, 8)(4.75) (4, 6, 8; 3, 6, 9)(6) (4, 7, 8; 3, 7, 9)(6.5) 11
S2 (4, 6, 8; 3, 6, 9)(6) (3, 7, 12; 2, 7, 13)(7.25) (10, 15, 20; 8, 15, 22)(15) (11, 12, 13; 10, 12, 14)(12) 11
S3 (3, 4, 6; 1, 4, 8)(4.25) (8, 10, 13; 5, 10, 16)(10.25) (2, 3, 5; 1, 3, 6)(3.25) (6, 10, 14; 5, 10, 15)(10) 11
S4 (4, 6, 9; 3, 6, 9)(4) (3, 7, 9; 2, 7, 10)(7.87) (2, 4, 5; 1, 4, 6)(6.37) (9, 17, 23; 6, 17, 25)(4.25) 12
bj 16 10 8 11
Table 3 Row reduced IFTC matrix

D1 D2 D3 D4 ai
S1 (0, 0, 0; 0, 0, 0)(0) (0, 1, 2; 0, 1, 2)(1) (2, 2, 3; 2, 2, 3)(2.25) (2, 3, 3; 2, 3, 3)(2.75) 11
S2 (0, 0, 0; 0, 0, 0)(0) (−1, 1, 4; −1, 1, 4)(1.25) (6, 9, 12; 5, 9, 13)(9) (7, 6, 5; 7, 6, 5)(6) 11
S3 (1, 1, 1; 0, 1, 2)(1) (6, 7, 8; 4, 7, 10)(7) (0, 0, 0; 0, 0, 0)(0) (4, 7, 9; 4, 7, 9)(6.75) 11
S4 (0, 0, 0; 0, 0, 0)(0) (1, 5, 4; 1, 5, 5)(3.87) (1, 2, 4; 1, 2, 5)(2.37) (1, 0, −1; 1, 0, 1)(0.25) 12
bj 16 10 8 11
Table 4 Column reduced IFTC matrix

D1 D2 D3 D4 ai
S1 (0, 0, 0; 0, 0, 0)(0) (0, 0, 0; 0, 0, 0)(0) (2, 2, 3; 2, 2, 3)(2.25) (1, 3, 4; 1, 3, 2)(2.50) 11
S2 (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2)(0.25) (6, 9, 12; 5, 9, 13)(9) (6, 6, 6; 6, 6, 4)(5.75) 11
S3 (1, 1, 1; 0, 1, 2)(1) (6, 6, 6; 4, 6, 8)(5.75) (0, 0, 0; 0, 0, 0)(0) (3, 7, 10; 3, 7, 8)(6.50) 11
S4 (0, 0, 0; 0, 0, 0)(0) (1, 4, 2; 1, 4, 3)(2.62) (1, 2, 4; 1, 2, 5)(2.37) (0, 0, 0; 0, 0, 0)(0) 12
bj 16 10 8 11
Table 5 First reduced IFTC matrix with penalties

D1 D2 D3 D4 ai I F penalties
S1 (0, 0, 0; 0, 0, 0)(0) (0, 0, 0; 0, 0, 0)(0) (2, 2, 3; 2, 2, 3) (1, 3, 4; 1, 3, 2) 11 (0,0,0;0,0,0)
(2.25) (2.50) (0)
S2 (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2) (6, 9, 12; 5, 9, 13) (6, 6, 6; 6, 6, 4) 11 (−1, 0, 2; −1, 0, 2)
(0.25) (9) (5.75) (0.25)
S3 (1, 1, 1; 0, 1, 2)(1) (6, 6, 6; 4, 6, 8) (0, 0, 0; 0, 0, 0) (3, 7, 10; 3, 7, 8) 11 (1, 1, 1; 0, 1, 2)
(5.75) (0) (6.50) (1)
S4 (0, 0, 0; 0, 0, 0)(0) (1, 4, 2; 1, 4, 3) (1, 2, 4; 1, 2, 5) (0, 0, 0; 0, 0, 0) 12 (0, 0, 0; 0, 0, 0)
(2.62) (2.37) (0) (0)
bj 16 10 8 11
I F penalties (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2) (2, 2, 3; 2, 2, 3) (1, 3, 4; 1, 3, 2)
(0.25) (2.25) (2.50)
Table 6 First reduced IFTC matrix with allocation

D1 D2 D3 D4 ai
S1 (0, 0, 0; 0, 0, 0)(0) (0, 0, 0; 0, 0, 0)(0) (2, 2, 3; 2, 2, 3)(2.25) − 11
S2 (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2)(0.25) (6, 9, 12; 5, 9, 13)(9) − 11
S3 (1, 1, 1; 0, 1, 2)(1) (6, 6, 6; 4, 6, 8)(5.75) (0, 0, 0; 0, 0, 0)(0) − 11
S4 (0, 0, 0; 0, 0, 0)(0) (1, 4, 2; 1, 4, 3)(2.62) (1, 2, 4; 1, 2, 5)(2.27) (11) 1
bj 16 10 8
(1, 3, 4; 1, 3, 2) is the largest penalty corresponding to column D4 . Allocate 11 to

the cell (4, 4) and cross off the fourth column. The resultant IFTC matrix is shown
in Table 6.
Applying steps 2 and 3 to Table 6, we get the reduced IFTC matrix as given in
Table 7. Calculate the new penalties.
(1, 2, 4; 1, 2, 5) is the largest penalty corresponding to row S4 . Allocate 1 to the
cell (4, 1) and cross off the fourth row. The resultant IFTC matrix is shown in Table 8.
Table 7 Second reduced IFTC matrix with penalties

S1 (0, 0, 0; 0, 0, 0)(0) (0, 0, 0; 0, 0, 0)(0) (2, 2, 3; 2, 2, 3) − 11 (0, 0, 0; 0, 0, 0)(0)
(2.25)
S2 (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2) (6, 9, 12; 5, 9, 13)(9) − 11 (−1, 0, 2; −1, 0, 2)
(0.25) (0.25)
S3 (1, 1, 1; 0, 1, 2)(1) (6, 6, 6; 4, 6, 8) (0, 0, 0; 0, 0, 0)(0) − 11 (1, 1, 1; 0, 1, 2)(1)
(5.75)
S4 (0, 0, 0; 0, 0, 0)(0) (1, 4, 2; 1, 4, 3) (1, 2, 4; 1, 2, 5) (11) 1 (1, 2, 4; 1, 2, 5)
(2.62) (2.37) (2.27)
bj 16 10 8
I F penalties (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2) (2, 2, 3; 2, 2, 3) (−)
(0.25) (2.25)
Table 8 Second reduced IFTC matrix with allocation

D1 D2 D3 D4 ai
S1 (0, 0, 0; 0, 0, 0)(0) (0, 0, 0; 0, 0, 0)(0) (2, 2, 3; 2, 2, 3)(2.25) − 11
S2 (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2)(0.25) (6, 9, 12; 5, 9, 13)(9) − 11
S3 (1, 1, 1; 0, 1, 2)(1) (6, 6, 6; 4, 6, 8)(5.75) (0, 0, 0; 0, 0, 0)(0) − 11
S4 (1) − − (11)
bj 15 10 8
Table 9 Third reduced IFTC matrix with penalties

S1 (0, 0, 0; 0, 0, 0)(0) (0, 0, 0; 0, 0, 0)(0) (2, 2, 3; 2, 2, 3) − 11 0, 0, 0; 0, 0, 0)(0)
(2.25)
S2 (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2) (6, 9, 12; 5, 9, 13)(9) − 11 (−1, 0, 2; −1, 0, 2)
(0.25) (0.25)
S3 (1, 1, 1; 0, 1, 2)(1) (6, 6, 6; 4, 6, 8) (0, 0, 0; 0, 0, 0)(0) − 11 (1, 1, 1; 0, 1, 2)(1)
(5.75)
S4 (0, 0, 0; 0, 0, 0)(0) (1, 4, 2; 1, 4, 3) (1, 2, 4; 1, 2, 5) (11) 1 (1, 2, 4; 1, 2, 5)
(2.62) (2.37) (2.27)
bj 16 10 8
I F penalties (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2) (2, 2, 3; 2, 2, 3) (−)
(0.25) (2.25)
Table 10 Third reduced IFTC matrix with allocation

D1 D2 D3 D4 ai
S1 (0, 0, 0; 0, 0, 0)(0) (0, 0, 0; 0, 0, 0)(0) − − 11
S2 (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2)(0.25) − − 11
S3 (1, 1, 1; 0, 1, 2)(1) (6, 6, 6; 4, 6, 8)(5.75) (8) − 3
S4 (1) − − (11)
bj 15 10
Table 11 Fourth reduced IFTC matrix with penalties

S1 (0, 0, 0; 0, 0, 0)(0) (0, 0, 0; 0, 0, 0)(0) − − 11 (0, 0, 0; 0, 0, 0)(0)
S2 (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2)(0.25) − − 11 (−1, 0, 2; −1, 0, 2)(0.25)
S3 (0, 0, 0; 0, 0, 0)(0) (5, 5, 5; 4, 5, 6)(4.75) − − 3 (5, 5, 5; 4, 5, 6)(4.75)
S4 (1) − − (11)
bj 16 10 8
I F penalties (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2)(0.25)
Table 12 Fourth reduced IFTC matrix with allocation

D1 D2 D3 D4 ai
S1 (0, 0, 0; 0, 0, 0)(0) (0, 0, 0; 0, 0, 0)(0) − − 11
S2 (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2)(0.25) − − 11
S3 (3) − (8) −
S4 (1) − − (11)
bj 12 10
(2, 2, 3; 2, 2, 3) is the largest penalty corresponding to column D3 . Allocate 8 to

the cell (3, 3) and cross off the third column. The resultant IFTC matrix is shown in
Table 10.
(5, 5, 5; 4, 5, 6) is the largest penalty corresponding to row S3 . Allocate 3 to the
cell (3, 1) and cross off the third row. The resultant IFTC matrix is shown in Table 12.
(−1, 0, 2; −1, 0, 2) is the largest penalty corresponding to row S2 and column
D2 . Using step 7 allocate 11 to the cell (2, 1) and cross off the second row. The
resultant IFTC matrix is shown in Table 14.
Finally, we allocate 1 in (1, 1) cell and 10 in (1, 2) cell and we obtained the
optimal solution matrix in Table 15.
Table 13 Fifth reduced IFTC matrix with penalties

S1 (0, 0, 0; 0, 0, 0)(0) (0, 0, 0; 0, 0, 0)(0) − − 11 (0, 0, 0; 0, 0, 0)(0)
S2 (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2)(0.25) − − 11 (−1, 0, 2; −1, 0, 2)(0.25)
S3 (3) − (8) −
S4 (1) − − (11)
bj 12 10
I F penalties (0, 0, 0; 0, 0, 0)(0) (−1, 0, 2; −1, 0, 2)(0.25)
Table 14 Fifth reduced IFTC matrix with allocation

D1 D2 D3 D4 ai
S1 (0, 0, 0; 0, 0, 0)(0) (0, 0, 0; 0, 0, 0)(0) − − 11
S2 (11) − − −
S3 (3) − (8) −
S4 (1) − − (11)
bj 1 10
Table 15 Optimal solution

D1 D2 D3 D4
S1 (1) (10) − −
S2 (11) − − −
S3 (3) − (8) −
S4 (1) − − (11)
Now we verify that the solution obtained in Table 15 is optimal with the help of
MODI method [20].
In Table 16, we observed that r (d˜i j ) ≤ 0 where d˜i j = u˜i I ⊕ v˜j I C˜i j . Hence
I I I
Table 15 gives an optimal solution.

The optimal solution is x11 = 1, x12 = 10, x21 = 11, x31 = 3, x33 = 8, x41 = 1,
x44 = 11.
The total IF cost = 1(2, 4, 5; 1, 4, 6) ⊕ 10(2, 5, 7; 1, 5, 8) ⊕ 11(4, 6, 8; 3, 6, 9) ⊕
3(3, 4, 6; 1, 4, 8) ⊕ 1(2, 4, 6; 1, 4, 7) ⊕ 8(2, 3, 5; 1, 3, 6) ⊕ 11(3, 4, 5; 2, 4, 8)
= (126, 204, 282; 78, 204, 352).
Table 16 Optimality test

u˜1 I = (2, 4, 5; 1, 4, 6) (2, 5, 7 : 1, 5, 8) (4, 6, 8; 3, 6, 9) (4, 7, 8; 3, 7, 9)
(−6, −2, 1; −8, −2, 3)
1 10 (−18/8) (−20/8)
u˜2 I = (0, 0, 0; 0, 0, 0) (4, 6, 8; 3, 6, 9) (3, 7, 12; 2, 7, 13) (10, 15, 20; 8, 15, 22) (11, 12, 13; 10, 12, 14)
11 (−2/8) (−80/8) (−46/8)
u˜3 I = (3, 4, 6; 1, 4, 8) (8, 10, 13; 5, 10, 16) (2, 3, 5; 1, 3, 6) (6, 10, 14; 5, 10, 15)
(−5, −2, 2; −8, −2, 5)
3 (−40/8) 8 (−38/8)
u˜4 I = (2, 4, 6; 1, 4, 7) (3, 9, 10; 2, 9, 12) (3, 6, 10; 2, 6, 12) (3, 4, 5; 2, 4, 8)
(−6, −2, 2; −8, −2, 4)
1 (−23/8) (−11/8) 11
v˜1 I = v˜2 I = v˜3 I = v˜4 I =
(4, 6, 8; 3, 6, 9) (1, 7, 13; −2, 7, 16) (0, 5, 10; −4, 5, 14) (1, 6, 11; −2, 6, 16)
6 Conclusion
In this article, a novel approach to obtaining the optimal solution to the intuitionistic
FTP is proposed, which is used for anticipating the transportation cost, which varies
due to weather condition, diesel cost, traffic conditions, etc. The proposed method
provides a simpler method compared to the solution available in the existing literature
[1, 21]. The advantage of the suggested approach is that it is very easy to figure out
the best way to solve the problem. The suggested approach provides solution which
is very near to optimal solution. There is almost no scope of improvement of the
solution and this can be seen when MODI method is applied in our problem. The TC
based on suggested approach is less than the previous work by [1] and equal to [21].
The suggested approach would facilitate the DMs in solving logistical problem that
arises in the actual world by helping them in their decision-making and providing
an optimal solution in a simple and efficient manner. The proposed method can be
extended for solving FTP by taking all the parameters of TIFNs in future.
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The Best State-Based Development
of Fuzzy DEA Model
Anjali Sonkariya and Shiv Prasad Yadav
Abstract This paper studies fuzzy data envelopment analysis (FDEA) to measure
the relative efficiencies of homogeneous decision-making units (DMUs) using the
α-cut approach. The proposed model uses the same set of constraints for all DMUs.
It gives a uniform environment for all DMUs. Furthermore, a ranking method based
on lower and upper bound FDEA performance efficiencies is proposed to rank the
DMUs. The proposed FDEA models and ranking approach are demonstrated using
an example with triangular fuzzy numbers (TFNs), and the results are presented in
Tables 2 and 3.
Keywords α-cut · Data envelopment analysis · Fuzzy data envelopment analysis ·

Efficiency measurement · Fuzzy ranking
1 Introduction
Data envelopment analysis (DEA) is a technique to measure the relative performance

efficiencies of homogeneous DMUs using crisp data. Although in real-life scenarios,
uncertainty is always there. The establishment of fuzzy theory is accomplished to
handle uncertainty in real-life scenarios. Zadeh [16] introduced the fuzzy concept,
in which a membership function is defined to express the fuzziness of data. When
the inputs, outputs, and prior knowledge are inexact and imprecise, Sengupta [11]
proposed FDEA models employing fuzzy entropy, fuzzy regression, and the fuzzy
mathematical programme by using the α-cut technique. Cooper et al. [3] presented the
imprecise DEA (IDEA) method, which allows mixtures of imprecisely and precisely
known data to be transformed into standard linear programming forms, as well as
the assurance region-IDEA (AR-IDEA) model, which combines imprecise data abil-
A. Sonkariya (B) · S. P. Yadav

Indian Institute of Technology Roorkee, Roorkee 247667, India
e-mail: asonkariya1@ma.iitr.ac.in; anjalisonkariya@gmail.com
S. P. Yadav
e-mail: spyorfma@gmail.com
https://doi.org/10.1007/978-981-99-0597-3_22
316 A. Sonkariya and S. P. Yadav
ities with cone-ratio envelopment theory and assurance region DEA models. Cooper
et al. [4] applied these models to evaluate the efficiency of a telecommunication com-
pany’s branch offices in Korea. Kao and Liu [10] proposed a method for calculating
DMU efficiency using fuzzy observations. The core concept uses the α-cut strategy
to convert FDEA models into conventional DEA models with crisp data. The mem-
bership functions of the efficiency scores are constructed using a pair of parametric
algorithms that characterize the class of crisp DEA models. Guo and Tanaka [8]
developed the FDEA model to cope with the efficiency assessment problem using
fuzzy data. Furthermore, considering the interaction between DEA and Regression
analysis (RA), an augmentation of the FDEA model to a more generic form is pro-
vided. Despotis and Smirlis [5] used a basic formulation that differs from that used
in IDEA to convert the non-linear DEA model to an LP. Unlike IDEA, they used
variable transformations based on the original data set, and no scale modifications
were applied to the data. Jahanshahloo et al. [9] developed the slack-based mea-
sure (SBM)—DEA model in fuzzy environment for assessing the relative efficiency
scores and ranking technique using fuzzy input. Wen and Li [15] created a hybrid
technique that combines fuzzy simulation and genetic algorithm to encounter fuzzy
problems. The hybrid model can be changed to linear programming when all inputs
and outputs are trapezoidal or triangular fuzzy variables. Dotoli et al. [6] introduced
a new cross-efficiency FDEA approach for assessing distinct elements (DMUs) in an
environment of uncertainty. A cross-assessment derived from a compromise between
adequately specified objectives is used to assign a fuzzy triangular efficiency to each
DMU. The DMUs are then ranked once the results have been defuzzified. The sug-
gested technique is used to assess the performance of healthcare systems in a Southern
Italian area. Arya and Yadav [1] used an α-cut strategy to create FDEA models in
order to quantify the left-hand relative efficiency and right-hand relative efficiency
for DMUs and suggested mechanism for ranking DMUs accordingly their obtained
left-hand efficiency and right-hand efficiencies. Tavassoli et al. [12] examined four
different types of supply chain supplier selection models and offered a decision-
making framework for supplier selection with fuzzy, deterministic and stochastic
settings. Using the α-cut approach, the suggested stochastic FDEA (SFDEA) model
can be solved as a crisp programme. Wang et al. [13] measured the efficiency of
DMUs under fixed production frontier using interval input–output data.
In this study, FDEA models are developed to avert the usage of separate production
boundaries to estimate the efficiency of distinct DMUs. For measuring both the lower
bound efficiency and upper bound efficiency of each DMU, models employ interval
arithmetic using the same constraints, resulting in a unified and consistent production
frontier. The proposed FDEA model is applied to a numerical example with TFNs.
Further, a ranking approach is proposed for ranking DMUs. Results are presented in
Table 2.
The framework of this paper is as follows. Section 2 presents the preliminaries
of basic fuzzy set theory. The CCR efficiency model is stated in Sect. 3. In Sect. 4,
the proposed FDEA model is demonstrated. Section 5 discusses numerical examples,
and results (lower and upper bound efficiencies) are demonstrated in Table 2. The
The Best State-Based Development of Fuzzy DEA Model 317
proposed ranking approach and ranks of DMUs are presented in Sect. 6. The paper’s
last Sect. 7 ends with conclusions.
2 Preliminaries
Some key concepts and fuzzy arithmetic operations that are necessary for developing
the FDEA model are provided in this section.
Definition 1 (Fuzzy Set) [17] The definition of a fuzzy set (FS) in a universal set X
is given as
R̃ = {(x, μ R̃ (x)) : x ∈ X},
where μ R̃ : x → [0, 1].
Definition 2 (Convex Fuzzy Set) [17] The definition of a convex FS (CFS) R̃ in X

is given as
min {μ R̃ (x1 ), μ R̃ (x2 )} ≤ μ R̃ (t x1 + (1 − t)x2 ), ∀x1 , x2 ∈ X, and t ∈ [0, 1].
Definition 3 (Fuzzy number) [17] A fuzzy number (FN) R̃ is a CFS R̃ in R, the set
of real numbers, if:
(i) μ R̃ (xo ) = 1, for a unique xo ∈ R,
(ii) μ R̃ is a piecewise continuous function in R.
xo is said to be the mean value of R̃.
Definition 4 (Triangular Fuzzy Number) [17] A FN R̃, denoted by R̃=(r L , r M , r U ),

is defined as a triangular FN (TFN) if the membership function μ R̃ is defined as
⎧
⎪
⎪ x − rL
⎪
⎪ , rL < x ≤ r M;
⎨r M − r L
μ R̃ (x) = r − x
U
⎪
⎪ , r M ≤ x < rU ;
⎪
⎪ rU − r M
⎩
0 otherwise.
∀x ∈ R.
Definition 5 (α − cut) [17] The α − cut of a FS R̃ in X is Rα defined as follows:
Rα = {x ∈ X : μ R̃ (x) ≥ α}, 0 ≤ α ≤ 1.
Remark 1 R0 = X.
Definition 6 Arithmetic operations on TFNs. Let R̃ = (r L , r M , r U ) and S̃ =
(s L , s M , s U ) be two positive TFNs, i.e., r L > 0, s L > 0. Then the arithmetic opera-
tions are defined below [14]:
(i) Addition: R̃ + S̃ = (r L + s L , r M + s M , r U + s U ),
(ii) Subtraction: R̃ − S̃ = (r L − s U , r M − s M , r U − s L ),
(iii) Multiplication: R̃ × S̃ ≈ (r L s L , r M s M , r U s U ),
(iv) Division: R̃/ S̃ ≈ (r L /s U , r M /s M , r U /s L ).
3 Development of the FDEA Model
Suppose we have n DMUs and each DMU produces q outputs using p inputs. Let the
quantity of ith input utilized and rth outputs produced by jth DMU are xi j and yr j
respectively, where i = 1, 2, . . . , p and r = 1, 2, . . . q. Then DEA models developed
by Arya and Yadav [1] to calculate efficiency for DMU j is given as below
Input minimization lower bound DEA model

p
min E kL = u
xik u ik
i=1
q

subject to yrl k vr k = 1,
r =1

p
q
u
xik u ik − yrl k vr k ≥ 0,
i=1 r =1
p
q
xil j u ik − yruj vr k ≥ 0 ∀ j, where j = k,
i=1 r =1
u ik ≥ ε ∀i, vr k ≥ ε ∀ r.
where u ik and vr k are the weights corresponding to the xik and yr k , respectively, and
ε is non-archimedean infinitesimal.
Input minimization upper bound DEA model

p
min E kU = l
xik u ik
i=1
q

subject to yruk vr k = 1,
r =1

p

q
l
xik u ik − yruk vr k ≥ 0,
i=1 r =1

p

q
xiuj u ik − yrl j vr k ≥ 0 ∀ j, where j = k,
i=1 r =1
u ik ≥ ε ∀i, vr k ≥ ε ∀ r.
If we look closely at the lower and upper efficiency models, we can see that constraint
sets in the above models to assess DMUs’ efficiencies differ from one DMU to the
other. The most significant disadvantage of using multiple constraint sets to estimate
DMUs’ efficiencies is that the efficiencies are not comparable because different pro-
duction boundaries were used in the efficiency measurement process. So, we develop
the models in which we use the same set of constraints. The conventional CCR DEA
[2] model is presented as follows:
Model 1—The CCR Model

q
yr k vr k
r =1
max Ek =
p
xik u ik
i=1
subject to

q
yr j vr k
r =1
≤ 1,
p
xi j u ik
i=1
u ik , vr k ≥ 0 ∀ i, r respectively.
Model 2—Linear Model

q
max Ek = yr k vr k
r =1
subject to

p
xik u ik = 1,
i=1

q

p
yr j vr k − xi j u ik ≤ 0,
r =1 i=1
4 Proposed FDEA Model
To avert utilizing separate production frontiers to assess the relative efficiencies of

DMUs, the FDEA models are proposed (Models 6, 7 and 8). The models use inter-
val arithmetic operations and always work on the alike constraint group, resulting
in a consistent and consolidated production frontier ∀ DMUs. The FDEA model is
presented as follows:
Model 3—FDEA Model [14]

q
max E˜k = ỹr j vr k
r =1
subject to

p
x̃ik u ik = 1̃,
i=1

q

p
ỹr j vr k − x̃i j u ik ≤ 0̃,
r =1 i=1
In Model 3, input and output quantities are FNs, so resulted efficiency score will
also be a fuzzy quantity. Here, we take them as TFNs,

x̃i j = xiLj , xiMj , xiUj

ỹr j = yrLj , yrMj , yrUj
and the efficiency score for DMUk

Ẽ k = E kL , E kM , E kU
and constants 0̃ and 1̃ can be represented as 0̃ = (0, 0, 0) and 1̃ = (1, 1, 1).

Hence, Model 3 will be converted to Model 4 as follows:
Model 4

q

max Ek = yrLk , yrMk , yrUk vr k
r =1
subject to

p

xikL , xikM , xik
U
= (1, 1, 1),
i=1

q

p

yrLj , yrMj , yrUj vr k − xiLj , xiMj , xiUj u ik ≤ (0, 0, 0),
r =1 i=1
The α-cuts of x̃i j and ỹr j for α ∈ (0, 1] are given by
(x̃i j )α = [(xi j )αL , (xi j )Uα ] = αxiMj + (1 − α)xiLj , αxiMj + (1 − α)xiUj ,
( ỹrI j )α = [(yr j )αL , (yr j )Uα ] = αyrMj + (1 − α)yrLj , αyrMj + (1 − α)yrUj .
Now, using α-cuts in Model 4, we get Model 5 as follows:
Model 5

q
max (E˜k )α = [(Ek )αL , (Ek )Uα ] = αyrMk + (1 − α)yrLk , αyrMk + (1 − α)yrUk vr k
r =1
subject to

p
αxikM + (1 − α)xikL , αxikM + (1 − α)xik
U
u ik = [1, 1],
i=1

q
p
αyrMj + (1 − α)yrLj , αyrMj + (1 − α)yrUj vrk − αxiMj + (1 − α)xiLj , αxiMj + (1 − α)xiUj u ik ≤ [0, 0],
r=1 i=1
The 2nd constraint implies that


q
M
p
M
αyr j + (1 − α)yrLj vr k − αxi j + (1 − α)xiUj u ik ,
r =1 i=1
⎤
q
p

αyrMj + (1 − α)yrUj vr k − αxiMj + (1 − α)xiLj u ik ⎦ ≤ [0, 0],
r =1 i=1
Henceforth, Model 5 can be reformed as follows:
Model 5’

q
r =1
subject to

p
U
u ik = [1, 1],
i=1

q
M
p
M
αyr j + (1 − α)yrLj vr k − αxi j + (1 − α)xiUj u ik ,
r =1 i=1
⎤
q
p

αyrMj + (1 − α)yrUj vr k − αxiMj + (1 − α)xiLj u ik ⎦ ≤ [0, 0],
r =1 i=1
Now using interval arithmetic, Model 5’ can be written as following Model 6:
Model 6

q
r =1
subject to

p
U
u ik = [1, 1],
i=1

q
M
p
M
αyr j + (1 − α)yrUj vr k − αxi j + (1 − α)xiLj u ik ≤ 0,
r =1 i=1
Model 6 is the FDEA model in the best state. By extracting lower and upper
bounds, we get two models (Models 7 and 8), the lower and upper bound efficiency,
respectively.
Model 7—Lower bound efficiency

q
M
max (Ek )αL = αyr k + (1 − α)yrLk vr k
r =1
subject to

p
M
αxik + (1 − α)xik
U
u ik = 1,
i=1

q
M
p
M
αyr j + (1 − α)yrUj vr k − αxi j + (1 − α)xiLj u ik ≤ 0,
r =1 i=1
Model 8—Upper bound efficiency

q
M
max (Ek )Uα = αyr k + (1 − α)yrUk vr k
r =1
subject to

p

αxikM + (1 − α)xikL u ik = 1,
i=1

q
M
p
M
αyr j + (1 − α)yr j vr k −
U
αxi j + (1 − α)xiLj u ik ≤ 0,
r =1 i=1
Table 1 Fuzzy input-output data

DMUs Fuzzy inputs Fuzzy outputs
Input 1 Input 2 Output 1 Output 2
(x1L , x1M , x1U ) (x2L , x2M , x2U ) (y1L , y1M , y1U ) (y2L , y2M , y2U )
1 (3.5, 4.0, 4.5) (1.9, 2.1, 2.3) (2.4, 2.6, 2.8) (3.8, 4.1, 4.4)
2 (2.9, 2.9, 2.9) (1.4, 1.5, 1.6) (2.2, 2.2, 2.2) (3.3, 3.5, 3.7)
3 (4.4, 4.9, 5.4) (2.2, 2.6, 3.0) (2.7, 3.2, 3.7) (4.3, 5.1, 5.9)
4 (3.4, 4.1, 4.8) (2.1, 2.3, 2.5) (2.5, 2.9, 3.3) (5.5, 5.7, 5.9)
5 (5.9, 6.5, 7.1) (3.6, 4.1, 4.6) (4.4, 5.1, 5.8) (6.5, 7.4, 8.3)
(Source Guo and Tanaka [8])
Table 2 Efficiencies of DMUs

α↓ DMU1 DMU2 DMU3 DMU4 DMU5
(E1 )αL , (E1 )U

α (E2 )αL , (E2 )U
α (E3 )αL , (E3 )U
α (E4 )αL , (E4 )U
α (E5 )αL , (E5 )U
α
0.1 [0.654,0.906] [0.863,0.995] [0.587,1] [0.868,1] [0.662,1]

0.2 [0.685,0.914] [0.892,1] [0.621,1] [0.881,1] [0.694,1]
0.3 [0.718,0.92] [0.923,1] [0.656,0.999] [0.895,1] [0.727,1]
0.4 [0.738,0.915] [0.941,1] [0.686,0.978] [0.91,1] [0.761,1]
0.5 [0.757,0.909] [0.956,1] [0.716,0.957] [0.924,1] [0.797,1]
0.6 [0.777,0.901] [0.97,1] [0.746,0.937] [0.939,1] [0.834,1]
0.7 [0.796,0.892] [0.981,1] [0.775,0.916] [0.953,1] [0.873,1]
0.8 [0.816,0.881] [0.99,1] [0.805,0.897] [0.969,1] [0.913,1]
0.9 [0.835,0.868] [0.996,1] [0.833,0.878] [0.984,1] [0.955,1]
1 [0.854,0.854] [1,1] [0.86,0.86] [1,1] [1,1]
We use the following numerical example to illustrate the evaluation of efficiencies

and the ranking of DMUs based on the proposed lower and upper bound efficiency
models (Model 7 and Model 8).
5 Numerical Example
In this numerical illustration, we have taken five DMUs into consideration. Here,
each DMU consumes 2 inputs and generates 2 outputs. Data is presented in fuzzy
environment, specifically taken as TFNs presented in Table 1. After applying Models
7 and 8, each DMU’s lower and upper bound efficiencies for α ∈ (0, 1] are presented
in Table 2.
Table 3 Ranking of DMUs

DMU Rk Rank GR
1 8.2626 4 5
2 9.7503 1 1
3 8.2598 5 4
4 9.6550 2 2
5 9.0469 3 3
6 Proposed Aggregated Accuracy Function
In DEA models, we rank the DMUs according to their efficiency scores in decreasing
order. But in FDEA models, it’s not possible because α-cut gives two bounds (lower
and upper). Consequently, the resulted efficiency score is in interval form. So, we
propose the aggregated accuracy function (Rk , k = 1, 2, . . . , n) as follows:
1

Rk = (Ek )αL .(Ek )Uα , k = 1, 2, . . . , n.
α=0.1
To rank the DMUs, the steps are as follows:
Step 1: Find the lower and upper bound efficiencies of DMUs using models 7 and
8, respectively.
Step 2: From step 1, obtain the efficiency scores (E j )αL , (E j )Uα of DMUs
j = 1, 2, . . . , 5 for α = 0.1, 0.2, . . . , 1.0.
Step 3: With the help of efficiency scores, calculate the aggregated accuracy func-
tion Rk for all DMUs.
Step 4: Rank the DMUs, in decreasing order of their Rk values.
Applying the above ranking method to a numerical example (Table 1) of five

DMUs, we calculated Rk scores for all DMUs by using efficiency scores listed in
(Table 1). In Table 3, the Rk scores are presented . The highest Rk score is 9.7503,
which is associated with DMU2 . Hence, DMU2 is the best performer in this set of
five DMUs. In order to validate the proposed ranking, the resulted rank of DMUs is
compared to Ghasemi et al. [7]’ ranking (GR). In both the approaches, the first rank
is given to DMU2 .
From Table 3, we observe that the ranks of DMUs at ranks 1, 2 and 3 are the same
in both the methods. This validates the proposed ranking approach.
7 Conclusion
In this study, the FDEA model is developed to assess the relative efficiencies of DMUs
in a uncertain environment. We employ the same set of constraints for all DMUs in
the proposed model, resulting in a consistent production frontier for all DMUs. Using
α-cut, lower and upper bound efficiency models are developed. Further, to rank the
DMUs, a ranking technique based on lower and upper bound FDEA performance
efficiency is given. An example shown in Table 1, in which five DMUs each uses two
fuzzy inputs and produces two fuzzy outputs in the form of TFNs, is used to show
the proposed FDEA model. Lower and upper bound efficiency results are presented
in Table 2. Ranked DMUs, on the basis of the proposed ranking method, resulted in
DMU2 > DMU4 > DMU5 > DMU1 > DMU3 . DMU2 is the best performer in this
DMUs group and DMU3 is the worst performer.
The presented model is limited to TFNs. In the future, we can extend it to L-R type
fuzzy numbers, trapezoidal fuzzy numbers and intuitionistic fuzzy environments.
References
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of DMUs. Int. J. Fuzzy Syst. 20(1), 163–173 (2018)
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Performance Evaluation of DMUs Using
Hybrid Fuzzy Multi-objective Data
Envelopment Analysis
Awadh Pratap Singh and Shiv Prasad Yadav
Abstract The current study aims to evaluate the performance of decision-making

units (DMUs) with the help of the fuzzy multi-objective (FMO) data envelopment
analysis (DEA) model. The performance of DMUs is measured based on the opti-
mistic and pessimistic efficiencies of DMUs. FMO optimistic (FMOO) and FMO
pessimistic (FMOP), DEA models are developed to serve the purpose. An algorithm
is developed to solve FMOO and FMOP DEA models. The geometric average effi-
ciency approach ranks the DMUs based on the efficiencies obtained by FMOO and
FMOP DEA models. Finally, an education sector application is presented to validate
the acceptability of the proposed methodology.
Keywords Performance analysis · Efficiency · Fuzzy multi-objective data

envelopment analysis (FMODEA) · Fuzzy multi-objective optimistic (FMOO) ·
Fuzzy multi-objective pessimistic (FMOP) · Ranking method · Education sector
efficiencies
1 Introduction
Data envelopment analysis (DEA) is a non-parametric, data-based approach for

assessing the performance of decision-making units (DMUs) that handle multiple
inputs and outputs. Educational institutions, hospitals, banks, airlines, and other gov-
ernmental agencies are examples of DMUs. Charnes et al. [1] are known for invent-
ing the DEA technique. The output-to-input ratio of a DMU is defined as efficiency
(efficiency = output/input). DEA models assess efficiencies from both optimistic
and pessimistic perspectives. The ratio of DMU’s efficiency to the largest efficiency
under consideration is called the optimistic efficiency or the best relative efficiency,
or simply relative efficiency. It is computed from an optimistic viewpoint and lies in
[0, 1]. The DMUs are called the optimistic efficient if they have an efficiency score
A. P. Singh (B) · S. P. Yadav

Indian Institute of Technology Roorkee, Roorkee 247667, India
e-mail: awadhma2015@gmail.com; asingh@ma.iitr.ac.in
https://doi.org/10.1007/978-981-99-0597-3_23
330 A. P. Singh and S. P. Yadav
of 1, and called the optimistic non-efficient if they have an efficiency score of less
than 1.
The ratio of DMU’s efficiency to the smallest efficiency under consideration is
called the pessimistic efficiency or the worst relative efficiency. It is computed from a
pessimistic viewpoint. Its value is greater than or equal to l. The DMUs are called the
pessimistic inefficient if they have an efficiency score of 1 and the pessimistic non-
inefficient if they have a pessimistic efficiency score greater than 1. We must assess
both optimistic and pessimistic efficiencies simultaneously for the total performance
of DMUs because we have two types of efficiencies: optimistic and pessimistic. In
literature, Entani et al. [2], Azizi [3, 4] evaluated the efficiencies from both optimistic
and pessimistic viewpoints in a crisp environment while Arya and Yadav [5] in the
fuzzy environment. Gupta et al. [6] developed intuitionistic fuzzy optimistic and
pessimistic multi-period portfolio optimization models. In their investigation, Puri
and Yadav [7] created intuitionistic fuzzy optimistic and pessimistic DEA models.
The goal of these studies was to create an interval using optimistic and pessimistic
efficiencies. Optimistic efficiency is the lower end of the interval in all of these
studies, whereas pessimistic efficiency is the upper end.
In all the researches mentioned above, the lower bound of optimistic efficiency and
the upper bound of pessimistic efficiency are evaluated. The ranking is based on an
interval created by combining the optimistic and pessimistic efficiency DEA models’
lower bound and upper bound efficiency. We are not in favour of considering only one
bound for each optimistic and pessimistic efficiencies. To overcome this shortcoming,
we suggest considering both bounds of optimistic and pessimistic efficiency intervals
for performance assessment. Based on this idea, we propose fuzzy multi-objective
optimistic (FMOO) and fuzzy multi-objective pessimistic DEA models to rank the
DMUs. Awadh et al. [8] proposed a fuzzy multi-objective DEA model to evaluate the
performance of DMUs in a fuzzy environment. The advantage of the methodology
is that it provides the complete ranking of DMUs. There are several multi-objective
optimization techniques that exist in the literature for solving DEA models [9–12].
But to the best of our knowledge, this is the first study using the fuzzy multi-objective
technique for performance evaluation of DMUs in the optimistic and pessimistic
environment. In this study, we develop FMOO and FMOP DEA models and use
Wang et al’s [13] geometric average efficiency approach to rank the DMUs.
The rest of the paper is organized as follows. Section 2 presents the preliminaries
and some basic definitions. The proposed FMOO and FMOP DEA models along
with the solving techniques are described in Sect. 3. The complete hybrid fuzzy
multi-objective (FMO) DEA technique is explained in Sect. 4. Section 5 presents
the numerical illustration of the proposed methodology. Finally, Sect. 6 gives the
concluding remarks and future scope.
Performance Evaluation of DMUs Using Hybrid Fuzzy Multi-objective Data … 331
2 Preliminary
For developing fuzzy optimistic and pessimistic DEA models, some basic definitions
and operation are given in this section.
Definition 1 (Fuzzy Set (FS) [14]) Let X be a universal set. A FS Ã can be defined
by Ã = {(x, μ Ã (x)) : x ∈ X }, wher e μ Ã : X → [0, 1].
Definition 2 (Convex Fuzzy Set (CFS) [14]) A FS Ã is defined as a CFS if for all
x1 , x2 in X ,
min {μ Ã (x1 ), μ Ã (x2 )} ≤ μ Ã (λx1 + (1 − λ)x2 ), wher e λ ∈ [0, 1].
Definition 3 (Fuzzy number (FN) [14]) A CFS Ã is defined as a FN on the real
line R if
(i) ∃ an unique xo ∈ R with μ Ã (xo ) = 1;
(ii) μ Ã is a continuous function in piece-wise sense,
xo is called the mean value of Ã.
Definition 4 (Triangular Fuzzy Number (TFN) [14]) The TFN Ã = (a L , a M , a U )
is defined by the membership function μ Ã given by
⎧
x−a L
⎪
⎨ a M −a L , aL < x ≤ aM;
U
−x
μ Ã (x) = aaU −a M , a M ≤ x < aU ;
⎪
⎩
0 otherwise.
∀x ∈ R.
Definition 6 (Positive TFN [14]) A TFN Ã = (a L , a M , a U ) is positive if and only
if a L > 0.
2.1 Arithmetic Operations on TFNs
Let Ã = (a L , a M , a U ) and B̃ = (b L , b M , bU ) be two positive TFNs. Then the arith-

metic operations on TFNs are defined as follows [15]:
(i) Addition: Ã + B̃ = (a L + b L , a M + b M , a U + bU ),
(ii) Subtraction: Ã − B̃ = (a L − bU , a M − b M , a U − b L ),
(iii) Multiplication: Ã × B̃ ≈ (a L b L , a M b M , a U bU ),
(iv) Division: Ã/ B̃ ≈ (a L /bU , a M /b M , a U /b L )
3 Proposed Fuzzy Multi-objective Optimistic

and Pessimistic DEA Models
Suppose that we wish to evaluate the efficiencies of n homogenous DMUs

(D MU j ; j = 1, 2, 3, . . . , n). Assume that D MU j uses m inputs xi j , i =
1, 2, 3, . . . , m and produces s outputs yr j , r = 1, 2, 3, . . . , s. Let u ik and vr k be
the weights associated with the ith input xik and the r th output yr k of D MUk (k =
1, 2, 3, . . . , n). Let E kO and E kP stand for the optimistic and pessimistic efficiencies,
respectively. Entani et al. [2] proposed the optimistic and pessimistic DEA models
given in Table 1.
Definition 8 ([5]) Let the optimal values of the optimistic and pessimistic DEA
models for D MUk be E kO∗ and E kP∗ , respectively. Then D MUk is said to be opti-
mistic efficient if E kO∗ = 1; otherwise optimistic non-efficient. On the other
hand, D MUk is said to be pessimistic inefficient if E kP∗ = 1; otherwise pes-
simistic non-inefficient.
Due to the ambiguity and fluctuation of real-world data, it is challenging to get

accurate and reliable input and output data. Assume that the fuzzy inputs and outputs
for the D MU j are x̃i j and ỹr j , respectively. Then the fuzzy optimistic (FO) and fuzzy
pessimistic (FP) DEA models are described (see Table 2) as follows.
Assume that the fuzzy input x̃i j = (xiLj , xiMj , xiUj ), fuzzy output ỹr j =
(yr j , yrMj , yrUj ) for the D MU j , and 1̃ = (1, 1, 1) are taken as TFNs. Then FO and
L
FP models can be transformed into triangular fuzzy optimistic (TFO) and triangular
fuzzy pessimistic (TFP) DEA models as follows (see Table 3).
Now, we will propose a methodology to solve TFO and TFP DEA models given
in Table 3. In this methodology, we will use Awadh et. al’s FMODEA [8]. First,
let us try to develop FMOO DEA model for the efficiency evaluation of DMUs
in an optimistic sense. The TFO DEA model, described in Table 3 is re-written in
Model 7.
Table 1 Optimistic and pessimistic DEA models

Optimistic DEA model (Model 1) Pessimistic DEA model (Model 2)
For k = 1, 2, 3, . . . , n, For k = 1, 2, 3, . . . , n,
s s
yr k vr k yr k vr k
r =1 r =1
max E kO = m min E kP = m

xik u ik xik u ik
i=1 i=1

s
s
yr j vr k yr j vr k
r =1 r =1
subject to ≤ 1 ∀ j, subject to ≥ 1 ∀ j,
m m
xi j u ik xi j u ik
i=1 i=1
u ik ≥ ε ∀i, vr k ≥ ε ∀r, ε > 0. u ik ≥ ε ∀i, vr k ≥ ε ∀r, ∀k, ε > 0.
Table 2 FO and FP DEA models

FO DEA model (Model 3) FP DEA model (Model 4)
For k = 1, 2, 3, . . . , n, For k = 1, 2, 3, . . . , n,
s s
ỹr k vr k ỹr k vr k
r =1 r =1
max Ẽ k = m
O min Ẽ k = m
P

x̃ik u ik x̃ik u ik
i=1 i=1

s
s
ỹr j vr k ỹr j vr k
r =1 r =1
subject to ≤ 1̃ ∀ j, subject to ≥ 1̃ ∀ j,
m m
x̃i j u ik x̃i j u ik
i=1 i=1
Table 3 TFO and TFP DEA models

TFO DEA model (Model 5) TFP DEA model (Model 6)
For k = 1, 2, 3, . . . , n, For k = 1, 2, 3, . . . , n,
max(E kO,L , E kO,M , E kO,U ) = min(E kP,L , E kP,M , E kP,U ) =

s
s
(yrLk , yrMk , yrUk )vr k (yrLk , yrMk , yrUk )vr k
r =1 r =1
m m
(xiL , xik
M , x U )u
ik ik (xik
L , x M , x U )u
ik ik ik
i=1 i=1
L M U
s
s
(yr j , yr j , yr j )vr k (yrLj , yrMj , yrUj )vr k
r =1 r =1
subject to m ≤ (1, 1, 1) ∀ j, subject to ≥ (1, 1, 1) ∀ j,
L M U m
(xi j , xi j , xi j )u ik (xiLj , xiMj , xiUj )u ik
i=1 i=1
Model 7 For k = 1, 2, 3, . . . , n,

( s vr k yrLk , rs =1 vr k yrMk , rs =1 vr k yrUk )
Max (E kO,L , E kO,M , E kO,U ) = rm=1 m m (1)
( i=1 u ik xik L,
i=1 u ik x ik ,
M
i=1 u ik x ik )
U

( rs =1 vr k yrLj , rs =1 vr k yrMj , rs =1 vr k yrUj )
subject to m m m ≤ (1, 1, 1) ∀ j = 1, 2, 3, . . . , n;
( i=1 u ik xiLj , i=1 u ik xiMj , i=1 u ik xiUj )
(2)
u ik ≥ ε ∀i, vr k ≥ ε ∀r, ε > 0.
On applying division rule for two TFNs, Model 7 reduces to Model 8 as follows:
Model 8 For k = 1, 2, 3, . . . , n,
s vr k y L s vr k y M s vr k y U
r =1 r =1 r =1
Max (E kO,L , E kO,M , E kO,U ) = m
rk , rk ,
U m u x M m u x L
rk (3)
i=1 u ik x ik i=1 ik ik i=1 ik ik
s M s
rs =1 vr k y L r =1 vr k yr j
U
r =1 vr k yr j
rj
subject to m ,
U m u x M m u x L
, ≤ (1, 1, 1) ∀ j = 1, 2, 3, . . . , n; (4)
i=1 u ik xi j i=1 ik i j i=1 ik i j
u ik ≥ ε ∀i, vr k ≥ ε ∀r, ε > 0.
TFNs have the following property:

s L
s M
s U
r =1 vr k yr j r =1 vr k yr j r =1 vr k yr j
m U
≤ m M
≤ m L
(5)
i=1 u ik x i j i=1 u ik x i j i=1 u ik x i j
Now, using the property stated in Eq. 5, Model 8 can be transformed into FMOO
DEA model as follows.
Model 9 (Proposed FMOO DEA model): For k = 1, 2, 3, . . . , n,

s L
s M
s U
r =1 vr k yr k r =1 vr k yr k r =1 vr k yr k
Max m U
, m M
, m L
(6)
i=1 u ik x ik i=1 u ik x ik i=1 u ik x ik
s U
r =1 vr k yr j
subject to m L
≤ 1 ∀ j = 1, 2, 3, . . . , n; (7)
i=1 u ik x i j
u ik ≥ ε ∀i, vr k ≥ ε ∀r, ε > 0.
Now, using Charnes–Cooper transformation [16], Model 9 can be converted into

Model 10 as follows.
Model 10 (Proposed FMOO DEA model): For k = 1, 2, 3, . . . , n,

s s s
Max vr k yrLk , vr k yrMk , vr k yrUk (8)
r =1 r =1 r =1
m
subject to U
u ik xik =1 (9)
i=1
m
u ik xikM = 1 (10)
i=1
m
u ik xikL = 1 (11)
i=1
s m
vr k yrUj − u ik xiLj ≤ 0 ∀ j = 1, 2, 3, . . . , n; (12)
r =1 i=1
u ik ≥ ε ∀i, vr k ≥ ε ∀r, ε > 0.
Model 10 is a deterministic FMOO DEA model which provides the efficiency

of DMUs in optimistic sense. Similarly, we will convert the TFP DEA model into
FMOP DEA model by using Awadh et al.’s [8] FMODEA model as follows.
Model 11 (Proposed FMOP DEA model): For k = 1, 2, 3, . . . , n,

s L
s M
s U
r =1 vr k yr k r =1 vr k yr k r =1 vr k yr k
Min m U
, m M
, m L
(13)
i=1 u ik x ik i=1 u ik x ik i=1 u ik x ik
s L
r =1 vr k yr j
subject to m U
≥ 1 ∀ j = 1, 2, 3, . . . , n; (14)
i=1 u ik x i j
u ik ≥ ε ∀i, vr k ≥ ε ∀r, ε > 0.
Now, using Charnes–Cooper transformation [16], Model 11 can be convereted

into Model 12 as follows.
Model 12 (Proposed FMOP DEA model): For k = 1, 2, 3, . . . , n,

s s s
Min vr k yrLk , vr k yrMk , vr k yrUk (15)
r =1 r =1 r =1
m
subject to U
u ik xik =1 (16)
i=1
m
u ik xikM = 1 (17)
i=1
m
u ik xikL = 1 (18)
i=1
s m
vr k yrLj − u ik xiUj ≥ 0 ∀ j = 1, 2, 3, . . . , n; (19)
r =1 i=1
u ik ≥ ε ∀i, vr k ≥ ε ∀r, ε > 0.
Model 12 is a deterministic FMOP DEA model which provides the efficiency of

DMUs in pessimistic sense.
3.1 Algorithm for Solving the Proposed FMOO and FMOP

DEA Models
This section presents an algorithm for solving the proposed FMOO and FMOP DEA
models. Algorithm is given as follows:
Step 1: First of all, for each DMU, convert MOOP to SOOP (single objective opti-
mization problem) with the help of the weighted sum method [17].
Step 2: In this step, random weights are generated. Suppose that there are d objectives
to be optimized with p variables. Then generate (100 × p) set of d weights.
There is no thumb rule for population selection. It depends upon the decision-
maker. For the computational purpose, we take a hundred times the number
of variables present in the problem.
Step 3: Solve the SOOP formulated in Step 1 with the help of the weights generated
in Step 2 for each DMU.
Step 4: 100 × p Pareto solutions are obtained from Step 3. Choose the most
favourable solution among 100 × p.
Step 5: The solution obtained in Step 4 is the efficiency of DMU.
Step 6: Use above steps to determine E kO∗ and E kP∗ .
After getting both optimistic and pessimistic efficiency scores we rank the DMUs
by considering both the efficiencies simultaneously. To rank the DMUs we will the
geometric average efficiency approach, proposed by Wang et al. [13]. According to
Wang et al. [13], if E kO∗ and E kP∗ are the optimistic and pessimistic efficiencies,
geometric
respectively, for D MUk , then the geometric average efficiency E k is defined
as follows:
= E k∗O × E k∗P
geometric
Ek (20)
Wang et al. [13] proposed geometric average efficiency approach for the DMUs
with crisp input and output data. We extend this idea to the DMUs with fuzzy input
and output data, particularly triangular fuzzy data.
4 Complete Hybrid FMODEA Performance Decision

Process
In complex real-world problems, the hybridization of DEA/FDEA/FMODEA using

other techniques is very effective [2, 3, 5]. These researchers handled both the opti-
mistic and pessimistic DEA models simultaneously. The hybridization process can
be divided into four steps as follows:
(i) Input-output data selection and collection phase: In this phase, the decision-
maker follows the following steps: (a) selection of the relevant input and output
data variables, (ii) Collection of input–output data quantitatively and qualita-

tively, (iii) classification of the data according to its nature, crisp or fuzzy, (iv)
fuzzification of the data based on criteria and expert’s opinion.
(ii) Efficiency measurement phase: During this phase, the decision-maker
chooses the best method for evaluating the performances. The best and worst
performance are obtained using the suggested fuzzy optimistic and pessimistic
DEA models. Consequently, the suggested FMODEA strategy leads to the over-
all performance of DMUs. As a result, the hybrid FMODEA technique is ideal
for a fair decision-making process.
(iii) Ranking phase: Using the geometric average ranking approach, the complete
ranking is obtained by selecting optimistic and pessimistic FMODEA models.
(iv) Recommendation phase: This is the final stage of the decision-making pro-
cess, in which policy-makers and experts give recommendations based on the
ranking results obtained in the previous phase. The recommendations include
suggestions for critical modifications that the management must undertake in
order to increase the DMUs’ efficiencies.
Figure 1, depicts the suggested hybrid FMODEA performance efficiency evalu-
ation process.
5 Numerical Illustration
In this section, we use an example to demonstrate the efficacy of the proposed models.
This example is based on Guo and Tanaka’s study [18], which used five DMUs with
two fuzzy inputs and two fuzzy outputs. We try to validate the proposed models and
ranking approach using this scenario. A case study in the field of education is also
provided.
5.1 Numerical Illustration: An Example
Table 4 presents the fuzzy input-output data for the problem considered by Guo and
Tanaka [18], which has five DMUs with 2 fuzzy inputs and 2 fuzzy outputs.
The optimistic and pessimistic efficiency scores are calculated by using the pro-
posed FMOO and FMOP DEA models, respectively. Table 5 presents the outcomes
(E k∗O and E k∗P ) of both the models.
Based on the efficiency scores (E k∗O , E k∗P ) obtained from FMOO and FMOP DEA
models; the geometric efficiency score is obtained by using Eq. (20). The ranking is
geometric
done based on the E k . The ranking obtained from the proposed FMODEA
model (see Table 7) is compared with Wang et al.’s [19] method. Since both the
methods provide different levels of efficiency scores; so it will be appropriate to
compare the ranks of DMUs with the help of Spearman’s rank correlation coefficient
Selection of the relevant input

Sources: and output data variables for
Literature review performance evaluation of the Selection Approaches
Experts’ opinion DMUs
Data Collection
Identify crisp/ fuzzy Data Variables
Fuzzification of data using Representation of crisp data in

Expert’s opinion fuzzy form
Final input and output data

set in the form of TFNs
Performance evaluation using FDEA approach
Selection of FMO DEA

model
Fuzzy optimistic DEA Fuzzy pessimistic DEA
model (best performance) model (worst performance)
Optimistic efficiency Pessimistic efficiency
Use the geometric average ranking

approaches
Rank the DMUs on the basis of the proposed ranking

approach
Recommendations
Fig. 1 Schematic view of the proposed hybrid FMODEA performance decision model
Table 4 Fuzzy input-output data for 5 DMUs

DMUs Fuzzy inputs Fuzzy outputs
D MU A (3.5, 4.0, 4.5) (1.9, 2.1, 2.3) (2.4, 2.6, 2.8) (3.8, 4.1, 4.4)
D MU B (2.9, 2.9, 2.9) (1.4, 1.5, 1.6) (2.2, 2.2, 2.2) (3.3, 3.5, 3.7)
D MUC (4.4, 4.9, 5.4) (2.2, 2.6, 3.0) (2.7, 3.2, 3.7) (4.3, 5.1, 5.9)
D MU D (3.4, 4.1, 4.8) (2.1, 2.3, 2.5) (2.5, 2.9, 3.3) (5.5, 5.7, 5.9)
D MU E (5.9, 6.5, 7.1) (3.6, 4.1, 4.6) (4.4, 5.1, 5.8) (6.5, 7.4, 8.3)
Table 5 Optimistic efficiency scores (E k∗O ) of DMUs (Example)

DMUs Most favourable weights Most favourable solutions Efficiency
(E k∗O )
w1 w2 w3 v1 v2 u1 u2
D MU A 0.0283 0.0414 0.9303 0.1017 0.0858 2.05E-05 0.4733 0.6579
D MU B 0.0065 0.0003 0.9932 3.68E-05 0.1987 3.45E-01 1.00E-05 0.7347
D MUC 0.0183 0.0315 0.9502 1.13E-01 0.0459 2.03E-01 1.00E-05 0.6822
D MU D 0.0094 0.1102 0.8804 0.0020 1.36E-01 1.00E-05 4.33E-01 0.8061
D MU E 0.0238 0.0189 0.9573 1.33E-01 0.0040 1.53E-01 1.00E-05 0.8011
Table 6 Pessimistic efficiency scores (E k∗P ) of DMUs (Example)

(E k∗P )
w1 w2 w3 v1 v2 u1 u2
D MU A 0.9702 0.0136 0.0162 0.1056 0.2639 1.00E-05 0.4733 1.2611
D MU B 0.9711 0.0066 0.0223 5.87E-05 0.4330 0.3448 1.00E-05 1.4335
D MUC 0.9257 0.0444 0.0298 0.1905 1.35E-01 2.03E-01 1.00E-05 1.1158
D MU D 0.9462 0.0401 0.0138 0.4805 1.43E-04 1.21E-05 4.33E-01 1.2151
D MU E 0.8932 0.1068 7.15E-05 0.0004 1.92E-01 1.53E-01 1.00E-05 1.2675
[20]. The correlation coefficient (ρ = 0.883) indicates that the efficiency obtained
from both models is highly correlated. This indicates that the proposed methodology
is quite efficient to rank the DMUs in fuzzy environment.
Table 7 The proposed and geometric average efficiency scores and ranks of DMUs
E k∗O E k∗P
geometric
DMUs Ek Proposed Wang et al. Rank
rank
D MU A 0.6579 1.2611 0.9108 4 1.090 3
D MU B 0.7347 1.4335 1.0262 1 1.154 1
D MUC 0.6822 1.1158 0.8725 5 1.092 2
D MU D 0.8061 1.2151 0.9867 3 1.154 1
D MU E 0.8011 1.2675 1.0076 2 1.154 1
5.2 Education Sector Application
In this section, the acceptability of the proposed models is validated by considering

the Indian Institutes of Management (IIMs) in India as an education sector applica-
tion. In this real-life application, 13 IIMs are considered with 2 fuzzy inputs (Number
of students (x1 ), Number of faculty members (x2 )) and 2 fuzzy outputs (Placements
and higher studies (y1 ), Publications (y2 )). The input–output data is taken from
Awadh et al.’s [8] study. The input–output data is in the form of TFNs and is given in
Table 8.
The E k∗O and E k∗P are calculated by using the proposed DEA models. The effi-
ciencies are calculated by using the proposed algorithm (Sect. 3.1). The results for
the optimistic and pessimistic efficiencies are shown in Tables 9 and 10, respectively.
Table 8 Input and output data for IIMs

DMU IIM Name State Inputs Outputs
x˜1 x˜2 y˜1 y˜2
D1 IIM Bangalore Karnataka (424,682,955) (91,104,113) (393,410,449) (72,136,212)
D2 IIM Gujarat (461,715,992) (91, 112,128) (411,421,427) (30,109,217)
Ahmedabad
D3 IIM Calcutta West Bengal (487,803,1042) (86,94,105) (483,505,535) (29,109,207)
D4 IIM Lucknow Uttar Pradesh (455,725,990) (81,88,95) (440,456,506) (8,65,126)
D5 IIM Indore Madhya (549,1020,1657) (73,94,104) (508,593,634) (16,66,141)
Pradesh
D6 IIM Kozhikode Kerala (370,593,806) (58,69,77) (347,360,382) (28,74,97)
D7 IIM Udaipur Rajasthan (120,260,419) (21,46,101) (120,136,171) (14,37,67)
D8 IIM Tamilnadu (108,228,387) (25,37,52) (102,121,172) (5,16,24)
Tiruchirappalli
D9 IIM Raipur Chhattisgarh (160,270,438) (21,33,46) (111,140,193) (12,35,52)
D10 IIM Rohtak Haryana (158,276,428) (20,28,34) (137,146,155) (31,52,69)
D11 IIM Shillong Meghalaya (155,263,365) (27,27,28) (118,146,172) (3,15,30)
D12 IIM Kashipur Uttarakhand (125,262,472) (15,28,38) (101,123,164) (7,21,36)
D13 IIM Ranchi Jharkhand (189,300,452) (16,29,40) (156,169,178) (11,22,51)
Table 9 Optimistic efficiency scores (E k∗O ) of IIMs

( E k∗O )
w1 w2 w3 v1 v2 u1 u2
D1 0.01787 0.0778 0.9043 444.153 3324.761 2285.578 2.33E+03 0.7226
D2 0.0478 0.1005 0.8518 1396.474 16176.274 9418.478 10935.333 0.6898
D3 0.0499 0.196 0.754 806.660 2433.738 1982.503 5583.592 0.5587
D4 0.0221 0.3803 0.5976 1546.952 2440.449 2880.0246 9311.586038 0.4327
D5 0.0477 0.1005 0.8518 365.137 820.407 480.326 9054.454 0.4108
D6 0.2034 0.0314 0.7652 1602.965 3615.045 3725.355 20785.561 0.3215
D7 0.3551 0.1704 0.4744 642.319 1230.289 1288.628 2208.538 0.5495
D8 0.3664 0.2204 0.4132 425565.259 203161.842 647291.776 757192.279 0.4879
D9 0.0383 0.1884 0.7732 338.6579 1003.258 701.589 7803.547 0.3668
D10 0.1080 0.1712 0.7207 115.1186 423.1365 290.529 3449.675 0.3456
D11 0.2775 0.0378 0.6846 375.977 475.993 644.032 2112.405 0.3981
D12 0.0650 0.4640 0.4709 1410.191 3379.327 2175.496 32052.563 0.3053
D13 0.0845 0.3342 0.5813 283.888 1052.874 229.074 10865.027 0.3498
Table 10 Pessimistic efficiency scores (E k∗P ) of IIMs

(E k∗O )
w1 w2 w3 v1 v2 u1 u2
D1 0.9356 0.052 0.0123 0.0081 1.01E-05 1.00E-05 0.0095 3.2013
D2 0.9683 0.0217 0.0099 0.0074 1.01E-05 1.00E-05 0.0088 3.0711
D3 0.9848 0.0006 0.0144 0.0087 1.01E-05 1.00E-05 0.0103 4.2401
D4 0.9077 0.0701 0.0221 0.0004 1.08E-01 1.00E-05 0.0112 1.7888
D5 0.942 0.0136 0.0443 0.00047 1.03E-01 1.00E-05 0.0107 2.5246
D6 0.9702 0.0161 0.0136 0.0121 1.01E-05 1.00E-05 0.0144 4.2338
D7 0.9903 0.0013 0.0083 0.0144 3.55E-05 3.10E-03 1.00E-05 1.7457
D8 0.971 0.0065 0.0223 0.0065 1.19E-01 1.00E-05 0.0241 1.3322
D9 0.9367 0.0353 0.0278 0.023 1.36E-04 1.00E-05 0.0273 2.6345
D10 0.0247 0.0294 2.25E-05 1.00E-05 0.0349 4.033 4.2989 4.5642
D11 0.9437 0.0369 0.0192 0.0098 1.79E-01 1.00E-05 0.0364 1.8937
D12 0.9515 0.0105 0.0378 0.0277 1.47E-04 1.00E-05 0.0329 2.8733
D13 0.9538 0.0406 0.0054 0.0131 1.99E-05 2.52E-03 0.0036 2.0613
The ranking of DMUs depends upon the choice of the selection of input–output data.
The aim of this piece of work is to provide a novel approach for evaluating DMU’s
performance. The ranking is done based on the efficiencies obtained from Tables 9
and 10. The proposed ranking method is used and DMUs are ranked as presented in
Table 11.
Table 11 The proposed geometric average efficiency scores and ranks of DMUs
E k∗O E k∗P
geometric
DMUs Ek Ranks
D1 0.7226 3.2013 1.5209 2
D2 0.6898 3.0711 1.4554 3
D3 0.5587 4.2401 1.5392 1
D4 0.4328 1.7888 0.8798 10
D5 0.4108 2.5246 1.1084 6
D6 0.3215 4.2338 1.1667 5
D7 0.5495 1.7457 0.9795 8
D8 0.4879 1.3323 0.8063 13
D9 0.3668 2.6345 0.9829 7
D10 0.3456 4.0468 1.1826 4
D11 0.3981 1.8937 0.8683 11
D12 0.3050 2.8733 0.9366 9
D13 0.3498 2.0613 0.8491 12
6 Conclusions
In this paper, an FMODEA model is proposed to evaluate the performance of DMUs

by simultaneously considering optimistic and pessimistic efficiencies. To calculate
optimistic (E k∗O ) and pessimistic (E k∗P ) efficiencies of DMUs in a fuzzy environment,
the FMOO and FMOP DEA models are developed. An algorithm is also proposed
to solve the proposed FMOO and FMOP DEA models. The geometric average effi-
ciency approach is adopted to combine both (E k∗O ) and (E k∗P ). The ranking is based
on the geometric efficiency scores obtained by the proposed methodology. To vali-
date the acceptability of the proposed methodology, an education sector application
is presented in which 13 IIMs are considered. It is found that among 13 IIMs, IIM
Calcutta is the best performing institute, while IIM Tiruchirappalli is the worst per-
forming. The advantage of the proposed method is that it provides a complete ranking
for DMUs under considering optimistic and pessimistic efficiencies simultaneously.
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Development of Intuitionistic Fuzzy Data
Envelopment Analysis Model Based
on Interval Data Envelopment Analysis
Model
Meena Yadav and Shiv Prasad Yadav
Abstract In the present study, we highlight the importance of taking hesitation

into account when calculating the efficiencies of firms or decision-making units
(DMUs) with intuitionistic fuzzy (IF) data. Most of the previous studies related to
the calculation of efficiencies of DMUs with IF data have ignored the hesitation
present in IF variables. The present study uses the technique of data envelopment
analysis (DEA) to calculate the relative efficiencies of DMUs. It develops a new
model for the calculation of IF efficiencies in the form of intervals. We conclude that
the hesitation is indirectly related to the efficiencies of DMUs and deduce a formula
to calculate the reduced efficiencies. We also present a method for ranking firms.
Lastly, an example is illustrated to verify the working of the developed model.
Keywords Intuitionistic fuzzy number · Intuitionistic fuzzy sets · Hesitation ·

Efficiency · Interval efficiency
1 Introduction
The traditional set theory originated from the crisp set theory, where either an element
belongs or does not belong to the set. There is no ambiguity regarding an elements’
belongingness/not belongingness in the set. For example, whether a student has
done the assignment or not. It is a yes or no answer to whether a particular element
(student) is contained in the set (of students that have done their assignments) or
not. The function that defines the containment of elements in the crisp set is called
the characteristic function. This concept of crisp set theory was extended by Zadeh
[27] when he gave the concept of fuzzy set theory. It was based on the fact that
there is always some ambiguity regarding the membership of elements in the set. For
example, consider the set of intelligent students in a class. The answer to whether a
student is intelligent could be a yes or no but it does not reveal all the information
M. Yadav (B) · S. P. Yadav

Department of Mathematics, IIT Roorkee, Roorkee, Uttarakhand, India
e-mail: myadav@ma.iitr.ac.in
https://doi.org/10.1007/978-981-99-0597-3_24
346 M. Yadav and S. P. Yadav
regarding the question. However, a simple yes or no does not clarify the extent to
which a student is intelligent. So, Zadeh [27] introduced the concept of membership
function. For each element, the membership function defines a value between 0 to 1
to define its level of presence in the set. For example, based on the previous year’s
grades, the teacher concludes that the fuzzy set of intelligence of students could be
Ã, as given below. From the set, we get the information that Arti is intelligent, Rakhi
might be intelligent, Sunil is better than average, Arun is not really intelligent, and
Anil is not intelligent at all.
Ã = {(Aar ti, 1), (Rakhi, 0.5), (Sunil, 0.7), (Ar un, 0.2), (Anil, 0)}.
Now, based on the class performance of students, the teacher also knows the weak
points or what is lacking in the students, i.e., she can also estimate the level of
non-intelligence present in students. This led to the extension of fuzzy sets (FS) to
intuitionistic fuzzy sets (IFS) by introducing the concept of non-membership and
hesitation present in a variable by Atanassov [4]. Like membership function, he
defined the non-membership function to define the extent to which an element does
not belong to the set. For example, the above set can be rewritten as Ã I given below.
The set informs that Aarti is brilliant and does not lack anything, Rakhi might be
intelligent but she lacks a few qualities, Sunil is intelligent but lacks a few qualities;
Arun is not really intelligent and needs a lot of improvement and Anil is not intelligent
at all and needs improvement in everything. Here, the hesitation can be defined as
the lack of knowledge of teacher about each student in defining the membership and
non-membership grades. For Aarti, the hesitation is zero (1-1-0), for Rakhi, it is 0.2
(1-0.5-0.3), for Sunil, it is 0.1 (1-0.7-0.2), for Arun, it is 0.2 (1-0.2-0.6), and for Anil
it is zero (1-0-1).
Ã I = {(Aar ti, 1, 0), (Rakhi, 0.5, 0.3), (Sunil, 0.7, 0.2), (Ar un, 0.2, 0.6), (Anil, 0, 1)}
The IFS Ã I gives all the desired information about the set. There are well-defined
operations for addition, subtraction, multiplication, and division of IFSs [26]. Now,
the efficiency of a decision-making unit (DMU) under consideration is defined as
the ratio of the sum of weighted outputs to the sum of weighted inputs. One such
non-parametric technique to find the relative efficiency of homogeneous DMUs (with
crisp data) and to identify the best performer in the DMUs is the technique of data
envelopment analysis (DEA), proposed by Charnes et al. [8]. Wang et al. [24] pro-
posed an interval efficiency model for crisp data using DEA and extended it to fuzzy
sets. IF variables are preferred over fuzzy variables as they define linguistic vari-
ables mathematically in a more realistic way. IF variables convey the information of
membership, non-membership values, and the lack of knowledge of decision maker
in deciding these values. Fuzzy sets are unable to express this lack of knowledge.
Being a hot topic of research in Operations research, many studies have been done
to calculate the efficiency of DMUs with IF input and output variables [1, 11, 15,
16].
Development of Intuitionistic Fuzzy Data Envelopment Analysis Model … 347
Table 1 Example
Input Output
DMU A (2,0.8,0.1) (2,0.8,0.1)
DMU B (2,0.6,0.1) (2,0.6,0.1)
Most of the recent studies have ignored the effect of hesitation on efficiency.
Hesitation indirectly affects the efficiency of a DMU that utilizes IF inputs to produce
IF outputs. This effect can differ from small to large depending on the extent of
hesitation present in the DMU. For example, consider 2 DMUs A and B with single
input and output as given in Table 1.
Both the input and output of DMU A have a hesitation of 0.1. Hesitation of both the
input and output of DMU B is 0.3. Now though both DMUs are using the same amount
of input (2 units) to produce the same amount of output (2 units). The information
about DMU A is more precise than DMU B. In other words, the ambiguity regarding
the knowledge of input and output of DMU A is less than that of B. Lower hesitation
in variables means higher precision in membership and non-membership values.
Hence, DMU A should be more efficient than DMU B.
In the present study, we propose a new IF efficiency incorporated with hesitation
and identify the best performer among the set of homogeneous DMUs. We will also
rank the DMUs based on the proposed efficiency.
The rest of the paper is organized as follows. Section 2 deals with the recent
developments in IFS theory and IF efficiency. Section 3 defines the preliminaries of
IFSs and basic definitions of IFSs. Section 4 presents the methodology of the present
study, followed by the merits of the proposed model in Sect. 5, a numerical example
in Sect. 6, and conclusion in Sect. 7.
2 Literature Review
IFSs have a wide range of applications (in medical diagnosis [9], career determination
[12], pattern recognition [10], Clustering algorithm [6], multi-attribute information
classification [21], banking [19], risk assessment methodology [7], health sector [3],
transportation problem [22], and many more). The wide field of applications of IFSs
has also led to the development of various IF models ([13, 25], and many others).
Arya and Yadav [2] used the α − and β − cuts to calculate the efficiency of DMUs
with IF variables and proposed input and output targets. Santos Arteaga et al. [20]
developed an alphabetical approach to solve the IF efficiency model. Hajiagha et al.
[14] developed an IF efficiency model based on an aggregation operator. Moham-
madi Ardakani et al. [18] developed a model based on Stackelberg game theory and
efficiency decomposition using the best and worst return approach of Azizi and Wang
[5]. Szmidt et al. [23] gave a measure of the amount of knowledge conveyed by IFSs
by finding a relationship between the positive information (membership value), neg-

ative information (non-membership value), and the lack of information (hesitation).
Puri and Yadav [19] developed the max-min approach to calculate the efficiencies
and ranks of DMUs with IF variables. To the best of our knowledge, no one has
studied the effect of hesitation on the efficiency of DMUs.
3 Preliminaries
1. Efficiency: The efficiency of a DMU is its ability to judiciously use available

inputs to produce the maximum outputs. It is defined as the ratio of the total
output produced to the total input used.
2. CCR Model: Consider a homogeneous set of ‘n’ DMUs using ‘m’ number of
inputs to produce ‘s’ number of outputs. The CCR model [8] to find the relative
efficiency of DMUk , k = 1, 2, . . . , n, is given by
Model 1 s
vrk .yrk
Max E k = rm=1
i=1 u ik .x ik
s
vrk .yrj
subject to rm=1 ≤ 1, 1 ≤ j ≤ n,
i=1 u ik .x ij
u ik ≥ 0, 1 ≤ i ≤ m,
vrk ≥ 0, 1 ≤ r ≤ s,
where u ik and vrk are unknown weights associated with the ith input and r th out-
put of DMUk .
The CCR model measures the relative efficiency of a homogeneous set of ’n’
DMUs in the interval (0,1]. DMUk is said to be efficient if the optimal value of
Model 1 is E k ∗ = 1 and the optimal weights u ik ∗ and vrk ∗ are not all zero.
3. Fuzzy Set [27]: A fuzzy subset Ã of a universal set X is defined by its mem-
bership function μ Ã : X → [0, 1], where the value of μ Ã (x) shows the degree of
membership of x in Ã.
4. Intuitionistic fuzzy set [4]: An IFS Ã I in the universal set X is defined by
Ã I = {< x, μ A˜I (x) , ν A˜I (x) > : x ∈ X },
where μ A˜I : X → [0, 1] is called the membership function and ν A˜I : X → [0, 1]
is called the non-membership function of Ã I . The function π A˜I : X → [0, 1]
defined by π A I (x) − ν
A I (x) = 1 − μ A I (x) denotes the degree of hesitation asso-
ciated with the element x in Ã I . If the hesitation π A˜I (x) = 0 ∀ x ∈ X , then the
IFS Ã I is reduced to a fuzzy set Ã in X .
5. Triangular Intuitionistic Fuzzy Number (TIFN) [2]: A TIFN Ã I is written
as (a, b, c; a’, b, c’), is an IFS with the membership function μ A (x) and non-
membership function ν A (x) given by

x−a
b−a
, a < x ≤ b; b−x
b−a
, a < x ≤ b;
μ Ã I (x) = x−c
b−c
, b ≤ x < c; andν A˜I (x) = c −b , b ≤ x < c ;
x−b
0, other wise; 1, other wise.
6. Alpha cut [17] For α ∈ (0, 1], the α − cut of an IFS set Ã I , denoted by A I α , is
defined by A I α = {x ∈ X : μ A˜I (x) ≥ α}.
4 Methodology
1. Efficiency of TIFNs: Various studies are done to develop efficiency models for
DMUs with TIFN data. We propose to develop a new efficiency model to calcu-
late the efficiencies of DMUs using Wang’s efficiency model [24] with inputs and
outputs in the form of interval data. Let the interval input data be [xik l , xik u ] and
interval output data be [yrk l , yrk u ] for DMUk , k = 1, 2, . . . ,n. Then the interval
DEA model as presented by Wang [24] is given by
Model 2 s
v .[y l , y u ]
Max [θ k l , θk u ]= rm=1 rk rkl rk u
u ik .[xik , xik ]
s i=1
vrk .[yrj l , yrj u ]
u ≤ 1,
1 ≤ j ≤ n,
subject to rm=1
i=1 ik .[x ij , x ij ]
u l
u ik ≥ 0, 1 ≤ i ≤ m,
vrk ≥ 0, 1 ≤ r ≤ s.
Using interval arithmetic, we can split Model 2 into two linear models, namely,
lower bound and upper bound models, given by
[Model 3U] s
Max θku = i=1 vrk .yrk u
m
subject
s to i=1 u ik .xik l = 1
m
i=1 vrk .yrj − i=1 u ik .x ij ≤ 0, 1 ≤ j ≤ n,
u l
u ik ≥ 0, 1 ≤ i ≤ m,
vrk ≥ 0, 1 ≤ r ≤ s.
[Model 3L] s
Max θkl = i=1 vrk .yrk l
m
subject
s to i=1 u ik .xik u = 1
m
i=1 vrk .yrj − i=1 u ik .x ij ≤ 0, 1 ≤ j ≤ n,
u l
u ik ≥ 0, 1 ≤ i ≤ m,
vrk ≥ 0, 1 ≤ r ≤ s.
[θk l , θk u ] forms the efficiency interval of DMUk , k=1, 2, …, n.
Now, suppose that the inputs and outputs are TIFNs. Let the r th output of DMUk
be given by

ỹr k = (yrk l , yrk m , yrk u ; yrk l , yrk m , yrk u ) and the ith input of DMUk is given

by x̃ik = (xik , xik , xik ; xik , xik , xik u ).
l m u l m
For α ∈ (0, 1], the input α-cut is given by the closed interval (x˜ik )α = [αxik m +
(1 − α)xik l , αxik m + (1 − α)xik u ]. Similarly, the output α − cut is given by
(y˜rk )α = [α yrk m + (1 − α)yrk l , α yrk m + (1 − α)yrk u ].
So, the above interval efficiency model (Model 2) can be written as Model 4 given
below.
[Model 4] s
v .[αyrk m
+(1−α)yrk l
, αyrk m
+(1−α)yrk
u
]
Max [E k,α
l
, E k,α
u
]= mr =1 rk
i=1 u ik . [αx ik +(1−α)x ik , αx ik +(1−α)x ik ]
m l m u
s
v .[αyrk m
+(1−α)yrk l
, αyrk
m
+(1−α)yrk u
]
subject to mr =1 rk
. [αx +(1−α)x , αx
1 ≤ k ≤ n,
+(1−α)x
≤ [1, 1] ,
ik ]
m l m u
i=1 u ik ik ik ik
u rk ≥ 0, 1 ≤ r ≤ s,
vik ≥ 0, 1 ≤ i ≤ m.
Note that Model 4 is an interval DEA model which can be rewritten as two linear
programming problem given by Model 5U and Model 5L respectively. For com-
parability of different α − cuts and to keep the production possibility set same
for all α, we use α = 0 in the constraint [24].
[Model 5U]
Max E k,αu
= rs =1 vrk .(αyrk
m
+ (1 − α)yrk u
)
subject
m to m
s i=1 u ik . αx ik +
m (1 − α) x l
ik = 1,
v .y
r =1 rk rj
u
− u .x
i=1 ik ij
l
≤ 0, 1 ≤ j ≤ n,
u ik ≥ 0, 1 ≤ i ≤ m,
vrk ≥ 0, 1 ≤ r ≤ s.
[Model 5L]
Max E k,α l
= rs =1 vrk .(αyrkm
+ (1 − α)yrk
u
)
subject
m to
i=1 + (1 − α) xiku = 1,
u ik . αxikm
s m
r =1 vrk .yrj − i=1 u ik .x ij ≤ 0, 1 ≤ j ≤ n,
u l
u ik ≥ 0, 1 ≤ i ≤ m,
vr k ≥ 0, 1 ≤ r ≤ s.
Model 5U and Model 5L give the upper and lower bounds of the membership
function of each DMU for α ∈ (0, 1]. The interval [E k,α l
, E k,α
u
] forms the mem-
bership interval of efficiency for the kth DMU for respective α.

2. Hesitation: Consider the TIFN Ã I = a, b, c; a , b, c . The hesitation is
defined by π A˜I (x) = 1 − μ A˜I (x) − ν A˜I (x), where
x−a
b−a
, a < x ≤ b; b−x
b−a
, a < x ≤ b;
μ A˜I (x) = c−x
c−b
, b ≤ x < c; and ν A˜I (x) = c −b , b ≤ x < c ;
x−b
0, other wise; 1, other wise.
By simple calculations, π A˜I (x) can be written as

⎧ x−a
⎪
⎪ b−a
, a < x ≤ a;
⎪
⎪
⎪
⎪
(a−a )(b−x)
, a ≤ x ≤ b;
⎨ (b−a )(b−a)

π A˜I (x) = (c −c)(x−b)
, b ≤ x ≤ c;
⎪
⎪ (c −b)(c−b)
⎪
⎪

(c −x)
⎪
⎪ (c −b)
, c ≤ x ≤ c ;
⎩
0, other wise.

One can easily observe that π A˜I (x) ∈ 0, max a−a , c −c ⊆ [0, 1). If b = a
b−a c −b
and c = b then π A˜I (x) = 0.
Now, for the ith input variable of the kth DMU, the hesitation lies in closed
interval [0, h ik ], and for the r th output, it lies in interval [0, h rk ].
We can now define the hesitation of D MUk , k = 1, 2, . . . , n by appropriate
method from the following methods:
m
h ik + rs =1 h rk
(a) Average hesitation: Hk = m+s
i=1
m s
h ik r =1 h rk
(b) Maximum hesitation: Hk = max( i=1 , )
m
m s
s

i=1 h ik r =1 h rk
(c) Minimum hesitation: Hk = min ( m , s
)
3. Incorporating hesitation in efficiency:
The efficiency intervals calculated above do not include the hesitation. Any rank-
ing or result, that does not include the hesitation in IF variables, is doing partial
justice to the essence of IF variable. IF efficiency should indirectly depend on
hesitation. If a DMU under consideration possess high hesitation, then it should
have lower efficiency as compared to the DMU with lower hesitation. Hesitation
can be seen as a penalty on efficiency of a DMU. Higher hesitation should imply
higher penalty. A DMU with no hesitation should face no penalty. Lower hesita-
tion should have lower impact on efficiency of the DMU. Keeping these things in
mind, we will incorporate hesitation in efficiency. For α ∈ (0, 1], let the interval
[E k,α
l
, E k,α
u
] be the interval of efficiency of DMUk , k = 1, 2, . . . , n calculated
using Model 5 given in the above section. Let E k,α be efficiency incorporated
with hesitation of DMUk . Then we define E k,α by
l
E k,α + E k,α
u
E k,α =
2(1 + Hk )
The above defined efficiency incorporated with hesitation radially reduces the
average of efficiency interval of each DMU by the extent of hesitation present in
respective DMU. One can easily note that E k,α = 1.
4. Ranking of DMUs: Now, we can compare the DMUs on the basis of their effi-
ciency incorporated with hesitation, i.e., by taking E k,α as the ranking index. A
DMU with higher ranking index will perform better than the DMU with lower
ranking index. Now, rank the DMUs in decreasing order of their ranking index.
5 Advantages of the Proposed Method over the Existing

Methods
The proposed model calculates efficiency intervals of DMUs with IF variables. IF

variables were introduced to mathematically model the lack of information or vague-
ness present in the linguistic variables. Many studies have been done to calculate
efficiency of IF variables, but they have ignored this lack of information present in
variables in calculating the efficiency. The most significant advantage of the pro-
posed efficiency model is direct use of hesitation present in IF variables to compare
the efficiency of DMUs. Another major advantage of the proposed method is the
use of the same production possibility set for all DMUs. Comparison of DMUs with
different production possibility sets makes the comparison unjustified. The use of the
same production possibility set for different DMUs makes this comparison justified.
6 Numerical Example
Consider 5 firms that use 2 IF inputs to produce 2 IF outputs. The input/output data
for each firm is given in Table 2.
To check which firm is performing best, let us first find the efficiency interval for
each firm (or DMU) using Model 5. The calculated efficiency intervals for different
values of α = 0, 0.25, 0.5, 0.75 and 1 are given in Table 3. We calculate the
hesitation present in each firm using average hesitation. The hesitation in firm A, B,
C, D, and E come out to be 0.443, 0.291, 0.294, 0.473, and 0.383, respectively. Firm
D has the highest hesitation and firm B has the lowest hesitation. Now we calculate
the efficiency incorporated with hesitation in Table 4. At α =0.25, the averages of
Table 2 Example 2 (Source Arya and Yadav [2])

A (3.5,4,4.5;3.2,4,4.7) (1.9,2.1,2.3;1.7;2.1;2.5) (2.4,2.6,2.8;2.2,2.6,3) (3.8,4.1,4.4;3.6,4.1,4.6)
B (2.9,2.9,2.9;2.9,2.9,2.9) (1.4,1.5,1.6;1.3,1.5,1.8) (2.2,2.2,2.2;2.2,2.2,2.2) (3.3,3.5,3.7;3.1,3.5,3.9)
C (4.4,4.9,5.4;4.2,4.9,5.6) (2.2,2.6,3;2.1,2.6,3.2) (2.7,3.2,3.7;2.5,3.2,3.9) (4.3,5.1,5.9;4.1,5.1,6.2)
D (3.4,4.1,4.8;3.1;4.1;4.9) (2.2,2.3,2.4;2.1,2.3,2.6) (2.5,2.9,3.3;2.4,2.9,3.6) (5.5,5.7,5.9;4.1,5.1,6.2)
E (5.9,6.5,7.1;5.6,6.5,7.2) (3.6,4.1,4.6;3.5,4.1,4.7) (4.4,5.1,5.8;4.2,5.1,6.6) (6.5,7.4,8.3;5.6,7.4,9.2)
Table 3 Efficiency interval values for different values of α

α 0 0 0.25 0.25 0.5 0.5 0.75 0.75 1 1
U L U L U L U L U L
A 0.910 0.627 0.868 0.656 0.827 0.687 0.789 0.719 0.753 0.753
B 0.985 0.858 0.955 0.863 0.926 0.871 0.897 0.878 0.886 0.886
C 1 0.562 0.931 0.605 0.868 0.651 0.808 0.7 0.752 0.752
D 1 0.854 0.98 0.871 0.961 0.888 0.942 0.906 0.924 0.924
E 0.867 0.638 0.854 0.68 0.842 0.724 0.831 0.771 0.82 0.82
Table 4 Efficiency incorporated with hesitation

α 0 0.25 0.5 0.75 1 Rank
A 0.53271 0.528067 0.524602 0.522523 0.52183 5
B 0.713788 0.704105 0.695972 0.687452 0.68629 1
C 0.603555 0.593509 0.58694 0.582689 0.581144 4
D 0.628901 0.627883 0.627205 0.626866 0.626866 2
E 0.544107 0.554591 0.566161 0.579176 0.592914 3
efficiency interval for the firms A, B, C, D, and E are 0.762, 0.909, 0.768, 0.925,
and 0.767, respectively, and the efficiencies incorporated with hesitation are 0.528,
0.704, 0.593, 0.627, and 0.554, respectively. The reductions in efficiencies due to
incorporation of hesitation are 0.233, 0.204, 0.174, 0.297, and 0.212, respectively.
Firm D has faced the largest reduction as it faces bigger penalty. Firm B has faced the
smallest reduction as it faces comparably smaller penalty than other firms. Firm B
is the best performer and firm A is worst performer. The rankings obtained in Table
4 are the same for all values of α = 0, 0.25, 0.5, 0.75 and 1.
7 Conclusion
The hesitation in IF variables represent the level of doubt/ambiguity/imprecision

present in the variable. Due to the presence of high ambiguity in the IF variables,
the respective DMU should face high penalty as it makes it challenging for the
decision maker to find the precise efficiency interval. DMUs with lower hesitation
in their data should face lesser penalty. The present study highlights the importance
of considering hesitation directly in efficiency calculation of DMUs with IF inputs
and outputs. This study develops a model for calculation of efficiency intervals of
DMUs with IF data. For this purpose, we use the efficiency model proposed by Wang
[24] for DMUs with input and output present in the form of intervals. The proposed
model incorporates the hesitation present in IF variables to calculate the efficiency
intervals of DMUs. Finally, we calculate the crisp efficiency for DMUs and rank
them on the basis of their efficiency scores. At last, we present an example to find
the efficiency incorporated with hesitation and rank a set of 5 hypothetical DMUs.
In the proposed model, we have used only membership function and hesitation
to calculate efficiency intervals of DMUs with inputs and outputs in form of TIFNs.
The model can be extended to DMUs with inputs and outputs as trapezoidal IFNs
with appropriate changes. We can also use non-membership function or β− cuts to
improve the efficiency calculated.
Acknowledgements The first author is deeply thankful to the funding agency UGC, Govt. of India,
for the financial support to carry out this research work.
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Pricing Policy with the Effect of Fairness
Concern, Imprecise Greenness, and
Prices in Imprecise Market for a Dual
Channel
Sanchari Ganguly, Pritha Das, and Manoranjan Maiti
Abstract Fairness concern behavior, a well-known cognitive bias, refers to a per-

son’s attitude of dissatisfaction for unequal pay-offs in someone’s favor. Against
environmental pollution, many firms are focused on green manufacturing to main-
tain sustainable development. The adoption of online shopping by customers around
the globe has altered the dynamics of competitiveness in the retail supply chain
(SC). Considering the above facts, the effect of fairness concern on optimal prices
and channel members’ profits in a two-level dual channel SC is investigated. Here,
we consider an SC comprising a green manufacturer and a fair-minded retailer where
the manufacturer produces and sells the green product through both offline and online
channels to consumers. Due to uncertainty in the real world, the fuzziness is asso-
ciated with market demand, price elasticity, and the coefficient of greenness. The
fuzzy objectives and constraints are reduced to crisp ones using expectation and
possibility measures, respectively. Both centralized and decentralized models (with
and without cognitive bias) are formulated and solved by the Stackelberg game for
the optimal prices and product greenness level. The models’ optimal solutions are
analyzed and compared with the deterministic models numerically. The effects of
the fairness concern coefficient on the optimal prices, product greenness level, and
channel members’ profits are investigated. The sensitivity analyses are presented
to study the effects of the fuzzy degree of customers’ sensitivity toward greenness
on channel members’ profits. Retailer’s fairness is harmful to the manufacturer but
beneficial for her own profit. Finally, some conclusions and managerial insights are
presented.
Keywords Game theory · Fuzzy theory · Fairness concern · Green supply chain
S. Ganguly (B) · P. Das

Department of Mathematics, Indian Institute of Engineering Science and Technology,
Shibpur, Howrah 711103, WB, India
e-mail: sanchariganguly30@gmail.com
M. Maiti
Department of Applied Mathematics, Oceanology and Computer Programming,
Vidyasagar University, Midnapore 721102, WB, India
https://doi.org/10.1007/978-981-99-0597-3_25
358 S. Ganguly et al.
1 Introduction
The environmental consequences of global warming are becoming increasingly seri-

ous. It has put an enormous strain on human survival and has sparked significant
worry around the world. As the quality of the environment deteriorates, consumer
environmental consciousness grows, and more people are eager to buy environmen-
tally friendly items. In the pursuit of product greening, industries increase their
investments in product greening. SAIC General Motors established its Green Future
Plan in 2008, concentrating on improving suppliers’ environmental performance and
lean manufacturing. They had financed 420 million yuan in green initiative projects
by 2015, with 380 million yuan in direct financial benefits to firms. In recent years,
consumers are becoming accustomed to online purchasing as information technology
advances and enterprises increase their public awareness. Many companies, includ-
ing IBM, Dell, Nike, Eastman Kodak, and Apple, have begun to sell their products
online. Also, E-platforms provide a broad customer flow and standardized low-cost
sales services, which give green producers new sales options. A dual-channel distri-
bution system is when a manufacturer sells through a retail store while also having
a direct channel to consumers. According to a 2008 survey report by the China-
ASEAN Mobile Internet Industry Alliance, customers’ preferences for online and
offline purchasing are nearly identical. However, the development of the e-channel
makes the channel conflict prominent.
In the actual world, due to a lack of historical data, the probability distribution
of the parameters may not always be available to the decision maker. In this case,
managers’ judgments, intuitions, and experience can be used to approximate the
uncertainty parameters, which are characterized as fuzzy variables. Zadeh et al. [25]
provided the fuzzy theory, which can be used as an alternative technique to deal with
this type of uncertainty. The possibility and linguistic expressions can be depicted
reasonably by fuzzy theory; for example, price elasticity can be expressed as ‘very
sensitive’ or ‘not sensitive’ to make rough estimates.
Fairness concerns play a crucial role in decision-making regarding unfair treat-
ment by partners in profit allocation. In comparison to a traditional SC, the dual-
channel SC is more likely to have unfair collaboration as a result of channel com-
petition and other circumstances, which can create a conflict and even can break
the partnership. For example, high-end liquor companies, Yibin Wuliangye Group
Company Ltd., have launched online direct channels and provided discounted prod-
ucts on them in order to enhance sales. Because of the positive market outlook for
Chinese liquor, the wholesale price has been raised. Meanwhile, liquor companies
were attempting to safeguard their brand image by stabilizing offline retail prices and
limiting the minimum selling price. Then some of their retail shops felt they were
unfairly treated and used price-off promotions to destabilize the offline price system
and harm Wuliangye’s interests. In general, each player in an SC aims to maximize
her revenue. Individuals compare profits with their partners and believe they have
been treated unfairly if their shares are less or more than expected. Here, we consider
Pricing Policy with the Effect of Fairness Concern, Imprecise Greenness, and Prices … 359
the retailer to be fairness concerned. If a retailer’s monetary profit is less or more

than the expected profit, she is in disadvantageous/advantageous inequality (Haitao
Cui et al. [9]).
Considering the above facts, the following questions arise:
(a) How does the retailer’s fairness affect the optimal prices, product greenness
level, and expected profits of the channel members for decentralized SC with the
green product?
(b) What is the impact of the fuzzy degree of coefficient of product greenness on the
profits of the SC members as well as the total SC’s expected profit for decentralized
and centralized models, respectively?
These inquiries encouraged us to consider the current investigation, which answers
the above-mentioned questions. Here, we investigate an SC with one green manu-
facturer and one retailer, in which the manufacturer offers her product to customers
through retail (offline) and online channels. The parameters of the SC, i.e., market
demand, price elasticity, and product greenness, are uncertain (imprecise) in nature.
At first, a centralized benchmark model without cognitive bias is evaluated. Then,
with a fair-minded retailer and a rational manufacturer, a decentralized SC is cre-
ated. We analyze the optimal pricing strategies for which SC members’ expected
profits are the maximum using game-theoretic approach. The fuzzy objectives and
corresponding constraints are reduced to crisp ones using expectation and possibil-
ity measures, respectively. Despite the fact that the two environments (deterministic
and fuzzy) are distinct, these two fuzzy models are numerically compared with their
respective deterministic cases. The effects of the fairness concern coefficient on the
decentralized model’s optimal decisions and profits are demonstrated. In addition,
the impact of the coefficient of product greenness on channel members’ expected
profits for the decentralized model as well as the SC’s total expected profit for the
centralized model is discussed. Finally, we conclude with some valuable findings.
Novelties of this investigation are
• Identification of cognitive bias in a dual-channel SC where demand parameters
are uncertain.
• Effects of the crisp cognitive bias (fairness concern) on optimal prices and profits
for a dual-channel green SC.
This investigation is outlined as follows: Sect. 1 begins with an introduction.
Section 2 briefs the literature survey. In Sect. 3, the model formulation is discussed.
In Sect. 4, we develop two game-theoretical models—centralized and decentralized
with a retailer and a manufacturer selling green items through both offline and online
channels, having (i) rational channel members and (ii) fair-minded retailer. The
numerical outputs are examined in Sect. 5. In Sect. 6, sensitivity analyses of some
parameters for the two proposed models are presented. Finally, some findings and
managerial insights are summarized in Sect. 7.
2 Literature Survey
Our findings are relevant to three areas of research: green supply chain, game in a
fuzzy environment, and fairness in supply chain.
2.1 Green Supply Chain
Product greening in the supply chain has been studied in several research. Ghosh
and Shah [8] studied an apparel supply chain that addressed product greening. They
investigated the influence of greening expenses and customer sensitivity to green
clothes using game-theoretical models. Parsaeifar et al. [17] examined a supply chain
comprised of one manufacturer, many suppliers, and retailers, where the supplier
and retailer compete horizontally in Nash equilibrium, while everyone competes
vertically in Stackelberg equilibrium. Regarding green product decisions, they found
that their profit increases as retailer market competition expands but declines while
supplier market competition grows. Wang et al. [22] focuses on the selection and
coordination of green e-commerce supply chains under the fairness concerns of green
producers, taking into account the green degree of product and service provided by
the e-commerce platform. A decision-making problem with three-level green SC is
addressed by Das et al. [2] under various game structures. Das et al. [3] considered
interconnected three-stage forward and reverse SC consisting of green products.
They formulated and solved one centralized and decentralized models using a game.
2.2 Game in Fuzzy Supply Chain
The majority of past game theory research has focused on deterministic demands. In
recent works, several academics have employed fuzzy theory to express uncertain-
ties in supply chain models. In a fuzzy supply chain with two competitive producers
and a common retailer, Zhao et al. [27] examined the pricing policy of substitutable
products. Li [14] delves into a new set of ideas and methods for making decisions by
using intuitionistic fuzzy sets in real-world decisions and games. He researched the
methodologies and models of interval-valued cooperative games. Yiang and Xiao
[23] explored a green supply chain under several scenarios with government action.
Under demand uncertainty, the price strategies for a dual-channel supply chain con-
sidering the sales effort and green investment were studied by Wang and Song [21].
Liu et al. [16] proposed one centralized and three decentralized models for a closed-
loop SC with fuzzy demand and a variety of quality levels for second-hand products.
The optimal solutions are determined using the Stackelberg game and fuzzy cut-set
method. De et al. [4] developed a cost-minimization problem in a pollution-sensitive
production-transportation supply chain using binomial and Gaussian strategic fuzzy
game approach. In our problem, the market demand, price elasticity, and product
greenness coefficient are all considered uncertain.
2.3 Fairness Concern in Supply Chain
Social preferences and disparity result in fairness concerns among the supply chain
partners. Haitao Cui et al. [9] included fairness in a dyadic channel and investi-
gated the effect of fairness on channel coordination using a linear demand function,
claiming that a manufacturer can set the wholesale price higher than his marginal
cost for channel coordination to achieve maximum channel utility. Taking private
fairness concern as fuzzy, Liang and Qin [15] create an estimation model using
fuzzy theory. Sharma [19] examined the pricing decisions of a dyadic supply chain
with one fair-minded manufacturer and retailer under several gaming structures and
found that for the Stackelberg game, the manufacturer’s (retailer’s) profit decreases
(increases) with respect to her fairness and is uncertain for the Vertical Nash game.
Yoshihara and Matsubayashi [24] suggested a setup with a single manufacturer and
two competing fair-minded retailers. In a dual channel where manufacturers sell
items through online retailer, Du and Zhao [6] studied the combined effects of fair-
ness preference and channel preference on the firms’ operational strategies. Wang
et al. [20] investigated the pricing decisions of two competitive manufacturers under
horizontal and vertical fairness concerns.
We find from the above literature that none of them examined cognitive bias in
a green supply chain with online and offline channels in an uncertain environment.
Table 1 illustrates our work in context with the above literature survey. Through the
Table 1 Literature survey

Authors Fuzzy Fairness Green Channel
parameters concern supply
chain
He et al. [10] No Yes No Traditional channel
Zhang et al. [26] No Yes Yes Traditional channel
Ke et al. [13] Yes No No Traditional channel
Sharma [19] No Yes No Dual channel
Jamali et al. [11] Yes No Yes Dual channel
Zhao et al. [28] No Yes No Dual channel
Chen et al. [1] No No Yes Online and offline channel
Ranjan and Jha [18] No No Yes Online and offline channel
Liu et al. [16] Yes No No Traditional channel
Wang et al. [20] No Yes Yes Traditional channel
Present study Yes Yes Yes Offline and online channel
current investigation, we have attempted to fill this gap. In this study, we examine the
impact of retailer’s fairness concern on the optimal decisions of channel members
when the parameters are defined by fuzzy variables.
3 Model Formulation
In a non-cooperative market, a two-level SC system with a dual distribution channel

including one manufacturer and one retailer is proposed. The manufacturer produces
green product and sells it through the retailer as well as online (cf. Fig. 1). Both mem-
bers make their strategies to maximize their expected profits. The market demand,
price elasticities, and the coefficient of greenness are fuzzy in nature. The following
notations are used to represent the proposed models.
i : Channel index, i = r, e
b̃/d̃ : Self-price/cross-price elasticity
γ̃i : Coefficient of product greenness in channel i
λ : Fairness concern coefficient
θ : Product greenness level
I : Cost coefficient of product greenness
Fig. 1 Structure of the

model
c : Unit production cost of product
w/w f : Wholesale price (decision variable) of product in centralized channel

without fairness/in decentralized channel with fairness.
θ/θ f : Product greenness level (decision variable) of product in centralized chan-

nel without fairness/in decentralized channel with fairness.
pr / pe : Unit selling price (decision variable) of product in offline channel/online

channel.
Dr /De : Customer’s demand of product in offline/online channel.

f
πr /πr : Profit function of retailer in centralized channel without fairness/in
decentralized channel with fairness.
f
πm /πm : Profit function of manufacturer in centralized channel/in decentralized
channel.
πc : Total supply chain’s profit in centralized channel.
Abbreviation (Superscripts—‘ f ’ stands for fairness concern, ‘w.r.t.’ means with

respect to, ‘r’ and ‘e’ denote offline and online channels respectively, and ‘SC’
means supply chain.)
Similar to the majority of the studies, the demand function is taken as linear.
With respect to the own and cross prices, the demand for green product decreases
and increases, respectively. Furthermore, product greenness has a positive impact on
demand. Demand for the green product for offline and online channels are
D̃r = ãr − b̃ pr + d̃ pe + γ̃r θ, D̃e = ãe − b̃ pe + d̃ pr + γ̃e θ
Now, for avoiding the channel conflict, the selling prices of the green product are
considered the same in both offline and online channels, i.e., pr = pe = p.
Taking β̃ = b̃ − d̃, demand functions take the form:
D̃r = ãr − β̃ p + γ̃r θ, D̃e = ãe − β̃ p + γ̃e θ
All parameters which are characterized by fuzzy are independent and non-negative
by our assumption in this study. Also, E[b̃] > E[d̃] > 0. In the real world, customer
demand for both channels is non-negative. Therefore,
Pos({ãr − β̃ p + γ̃r θ } < 0) = 0 and Pos({ãe − β̃ p + γ̃e θ } < 0) = 0, where
Pos(A) is the possibility that event A will occur.
The profits of the manufacturer and retailer can be expressed as follows:
1 2
πm = (w − c) D̃r + ( p − c) D̃e − Iθ (1)
2
πr = ( p − w) D̃r (2)
The greening cost is considered as 21 θ 2 in the profit function [12]. The total profit of
the supply chain becomes
1 2
πc = ( p − c)[(ãr + ãe ) − 2β̃ p + (γ̃r + γ̃e )θ ] − Iθ (3)
2
3.1 Preliminaries
Let (ϑ, P(ϑ), Pos) be a possibility space, where ϑ is a non-empty set, P(ϑ) is its
power set, and Pos is a possibility measure. Each element in P(ϑ) is referred to
as a fuzzy event, and for each event A, Pos(A) denotes the possibility that event A
occurs.
• The credit index of A is defined as Cr(A)= 21 (1 + Pos(A) − Pos(Ac )), where Ac
is the complement of A.
• A fuzzy variable ξ has its expected value as
+∞ 0
Cr ({ξ ≥ z} dz + Cr ({ξ ≤ z} dz
0 −∞
provided at least one integral is finite and α ∈ (0, 1).

• The α-pessimistic value and the α-optimistic value of a triangular fuzzy variable
ξ = (x1 , x2 , x3 ):
ξαL = x2 α + x1 (1 − α), ξαU = x2 α + x3 (1 − α)
.
• If ξ = (x1 , x2 , x3 ) is a triangular fuzzy variable, then the expected value of ξ is
E[ξ ] = x1 +2x42 +x3 .
1
• If its expected value is finite, then E[ξ ] = 21 0 (ξαL + ξαU ) dα.
4 Formulation of Models
Both centralized and decentralized models are formulated for the two-echelon SC
(see Fig. 1).
4.1 Centralized Model
In this scenario, the manufacturer and the retailer act in an integrated way to maximize
the total expected SC profit, or E[πc ( p, θ )]. The centralized model is described as
follows:
1 2
max E[πc ( p, θ)] = max ( p − c)[E[ãr ] + E[ãe ] − 2 pE[β̃] + θ(E[γ̃r ] + E[γ̃e ])] − Iθ
( p,θ) ( p,θ) 2
subject to

Pos({ãr − β̃ p + γ̃r θ } < 0) = 0, Pos({ãe − β̃ p + γ̃e θ } < 0) = 0 (4)
p − c > 0, p > 0
Theorem 1 If the conditions Δ(ãi0U

+ + θ γ̃i0+ ) > β0+ [Δc + I (Ar + A e )] (i = r, e)
U L
hold, where Ar = E[ãr ] − E[β̃]c and Ae = E[ãe ] − E[β̃]c, then the optimal retail
price and greenness level are given respectively as p = c + ΔI (Ar + Ae ), θ =
(E[γ̃r ]+E[γ̃e ])
Δ
(Ar + Ae )
Proof From the possibility constraints (4), we get Δ(ãi0 U

+ + θ γ̃i0+ ) > β0+ [Δc +
U L
(E[γ̃r ]+E[γ̃e ])2
I (Ar + Ae )] (i = r, e) (Zhao et al. [27]). If I > 4E[β̃]
, the optimal retail price
and product greenness are obtained by solving the first-order conditions of the total
supply chain, i.e.,
∂E[πc ]
= 0 =⇒ −4 pE[β̃] + θ (E[γ̃r ] + E[γ̃e ]) + 2E[β̃]c + E[ãr ] + E[ãe ] = 0
∂p
(5)
∂E[πc ]
= 0 =⇒ (E[γ̃r ] + E[γ̃e ]) p − I θ − (E[γ̃r ] + E[γ̃e ])c = 0 (6)
∂θ

−4E[β̃] E[γ̃r ] + E[γ̃e ]
The Hessian matrix obtained is H = = [4I E[β̃] −
E[γ̃r ] + E[γ̃e ] −I
(E[γ̃r ] + E[γ̃e ]) ] = Δ.
2
For maintaining the concavity of the retailer’s expected profit, the first principal
minor of the Hessian matrix should be negative, i.e., −4E[β̃] < 0 and the second
principal minor should be positive, i.e., 4I E[β̃] − (E[γ̃r ] + E[γ̃e ])2 > 0. For feasi-
bility of the optimal decisions, I > (E[γ̃r4E[
]+E[γ̃e ])2
β̃]
must be satisfied. By solving Eqs. (5)
and (6), p and θ are derived, provided the possibility conditions are satisfied and the
theorem is proven.
4.2 Decentralized Model
This model is a leader-follower structure (Stackelberg game) with a green manu-

facturer and a fair-minded retailer, where the manufacturer and the retailer are the
leader and follower, respectively. Here, the manufacturer announces the product’s
wholesale price first, followed by the retailer’s retail price. Because the manufacturer
has the power to set the wholesale price and the retailer is a follower of the manu-
facturer’s decisions, being fair-minded is justifiable for the retailer. When one of the
channel participants exhibits fairness, her goal is to maximize her own utility func-
tion rather than her own monetary profit (Fehr and Schmidt [7]). Disadvantageous
inequality occurs when her profit is less than her belief of equitable share; oth-
erwise, advantageous inequality occurs. When the manufacturer is the Stackelberg
leader, disadvantageous inequality is more relevant for the retailer than advantageous
inequality (Du et al. [5]). Therefore, in this model, we consider the disadvantageous
inequality only in the retailer’s utility function. Now, retailers pay more attention to
the profit made by the manufacturer from the offline channel. Therefore, the utility
function of the fair-minded retailer is given by
πrf = πr − λ[πm,r − πr ]+
where [πm,r − πr ]+ = max(πm,r − πr , 0), λ > 0 is the retailer’s fairness concern

intensity. The higher value of λ indicates that retailers care more about fairness. πm,r
and πr are the manufacturer’s and retailer’s monetary profits from offline channels,
respectively. Here, the profit function of the manufacturer becomes
1 2
πmf (w, θ ) = (w − c) D̃r + ( p − c) D̃e − Iθ
2
Formulating as a Stackelberg game model, we optimize
f
max(w,θ) E[πm (w, θ )] subject to

Pos({ãr − β̃ p + γ̃r θ } < 0) = 0, Pos({ãe − β̃ p + γ̃e θ } < 0) = 0 (7)
and the optimal price is obtained from solving retailer’s problem
f 1
max E[πr ( p)] = max[(1 + λ) p − (1 + 2λ)w + λc][E[ãr ] − E[β̃] p + E[γ̃r ]θ] + λI θ 2
p p 2
(8)
subject to Pos({ãr − β̃ p + γ̃r θ } < 0) = 0.
Lemma 1 Using the backward induction method, the retailer’s optimal decision
(retail price) is obtained as
1
pf = [E[β̃](1 + 2λ)(w − c) + (1 + λ)(E[ãr ] + E[γ̃r ]θ + E[β̃]c)]
2E[β̃](1 + λ)
(9)
provided 2E[β̃](1 + λ)(ãrU0+ + γ̃rU0+ θ ) > β̃0L+ [E[β̃](1 + 2λ)(w − c) + (1 + λ)(E[ãr ]
+ E[γ̃r ]θ + E[β̃]c)] holds.
Proof From the possibility constraint of the retailer’s problem, we get 2E[β̃](1 +
λ)(ãrU0+ + γ̃rU0+ θ ) > β̃0L+ [E[β̃](1 + 2λ)(w − c) + (1 + λ)(E[ãr ]+E[γ̃r ]θ +E[β̃]c)].
The retail price of the green product is obtained by solving the first-order condi-
tion of the retailer’s expected profit
f
∂E[πr ]
= 0 =⇒ −2(1 + λ)E[β̃] p + (1 + 2λ)E[β̃](w − c) + (1 + λ)(E[β̃]c + θ E[γ̃r ] + E[ãr )] = 0
∂p
(10)
f
∂ 2 E[πr ]
The second derivative of the expected profit function of the retailer is ∂ p2
=
−2E[β̃](1 + λ) < 0. Hence, the retailer’s expected profit function is concave in p.
Replacing this optimal price in the manufacturer’s problem, we evaluate the optimal
decisions (wholesale price and greenness).
Theorem 2 If 2E[β̃]Δ1 (ãi0

U
+ − β̃0+ c) + (G 1 Ar + (1 + 2λ)G 2 A e )(2E[β̃]γ̃i0+ −
L U
β̃0L+ E[γ̃r ]) > β̃0L+ [(1 + 2λ)(G 3 Ar + G 4 Ae ) + Δ1 Ar ] (i = r, e) hold, then the opti-
mal wholesale price and greenness level are given as
1+λ 1
wf = c + [G 3 Ar + G 4 Ae ] and θ f = [G 1 Ar + (1 + 2λ)G 2 Ae ]
E[β̃]Δ1 Δ1
Proof From possibility constraints (7), we get 2E[β̃]Δ1 (ãi0 U

+ − β̃0+ c) + (G 1 Ar +
L
(1 + 2λ)G 2 Ae )(2E[β̃]γ̃i0+ − β̃0+ E[γ̃r ]) > β̃0+ [(1 + 2λ)(G 3 Ar + G 4 Ae ) + Δ1 Ar ]

U L L
for i = r, e. If Δ1 > 0, solving first-order conditions of the profit function of an over-

confident manufacturer, the optimal wholesale price and product greenness level are
obtained, i.e.,
f
∂E[πm ]
= 0 =⇒ −E[β̃](1 + 2λ)(3 + 4λ)(w − c) + (1 + λ)B2 θ − λ(1 + λ)Ar + (1 + λ)(1 + 2λ)Ae = 0
∂w
(11)
f
∂E[πm ]
= 0 =⇒ E[β̃]B2 (w − c) − (1 + λ)B1 θ + (1 + λ)(E[γ̃2 ] − E[γ̃1 ])Ar + (1 + λ)E[γ̃1 ]Ae = 0
∂θ
(12)
The Hessian matrix of the profit function of the manufacturer is

−E[β̃](1+2λ)(3+4λ)
B 2 1
H1 = 4(1+λ)
1
2
1+λ
−B1 (1+λ) = 4 Δ1
B2 E[β̃]

To maintain concavity of the profit function of the manufacturer, the first principal
minor should be less than 0, i.e., −E[β̃](1+2λ)(3+4λ)
1+λ
< 0 and second principal minor
should be positive, i.e., Δ1 > 0 should be maintained. By solving Eqs. (11) and (12),
w f and θ f are obtained, provided the possibility condition is satisfied and the theorem
is proven.
Particular case: When the retailer is not fairness sensitive about the offline channel,
then the above-decentralized model reduces to the general model with all rational
channel members where the previously mentioned parameters remain fuzzy in nature.
Theorem 3 If 2E[β̃]Δ1 ãi0 U

+ + Ar [6E[β̃]δγ γ̃i0+ − β̃0+ B3 ] + A 2 [2E[β̃](3E[γ̃r ] +
U L
E[γ̃e ])γ̃i0+ − β̃0L+ B4 ] > 2E[β̃]Δ1 cβ̃0L+ (i = r, e) hold, then the optimal wholesale
U
price and greenness level are given as

1
w=c+ [E[γ̃e ]δγ Ar + (B1 + E[γ̃r ]E[γ̃e ])Ae ]
E[β̃]Δ1
and
1
θ= [3δγ Ar + (3E[γ̃r ] + E[γ̃e ])Ae ]
Δ1
provided Δ1 > 0 and p is obtained similarly as in Eq. 9 in Lemma 1.
Proof This can be proved following the previous theorem.
5 Numerical Experiments
In this section, numerical results of the centralized and decentralized models are
provided against the same data. Experts’ expertise is frequently used to determine
the relationship between linguistic variables and fuzzy triangular numbers for base
market demand, self-price elasticity, cross-price elasticity, and coefficient of product
greenness. For the numerical example, Table 2 shows linguistic variables as well
as fuzzy triangular numbers. Based on Table 2, we have ãr = (1200, 1500, 1700),
ãe = (1100, 1250, 1400), b̃ = (40, 50, 65), d̃ = (30, 40, 55).
For these data, the possibility constraints of the models are satisfied. According to
preliminaries, triangular fuzzy variable ξ = (x1 , x2 , x3 ) has expected value E[ξ ] =
x1 +2x2 +x3
4
. Thus, the expected values of the fuzzy parameters in Table 2 are as follows:
E[ãr ] = 1475, E[ãe ] = 1250, E[β̃] = 10.
We present the output values for optimal decisions and channel members’ expected
profits for the decentralized model in Table 3.
From Table 4, it is noticed that when E[γr ] increases, the expected profit of the
manufacturer increases up to a certain limit, then decreases but for the fair-minded
retailer and overall SC, the profits escalates. The level of product greenness and retail
price increases when customers’ sensitivity to product greenness level grows in the
Table 2 The values of the parameters

Fuzzy Linguistic Triangular fuzzy Fuzzy Linguistic Triangular
parameter variable number parameter variable fuzzy number
ãr Big (1700, 2000, 2200) b̃ Very sensitive (40, 50, 65)
Medium (1200, 1500, 1700) Sensitive (30, 40, 45)
Small (700, 1000, 1200) Not sensitive (25, 30, 35)
ãe Big (1600, 1760, 1900) d̃ Very sensitive (30, 40, 55)
Medium (1100, 1250, 1400) Sensitive (20, 30, 35)
Small (500, 650, 800) Not sensitive (15, 20, 25)
Table 3 Optimal values of decisions and profits

f f
Parameters wf θf pf E[πm ] E[πr ] E[πc ]
E[γr ] 9.0 53.58 26.71 122.05 49571 102701 97398
10.2 53.45 27.03 123.72 49632 108157 100492
11.4 53.31 27.32 125.38 49655 113743 103904
12.6 53.12 27.56 127.03 49638 119425 107680
13.8 52.89 27.75 128.63 49577 125166 111873
15.0 52.63 27.88 130.2 49472 130922 116550
E[γe ] 8.0 36.81 3.78 99.74 28189 66586 77868
10.0 37.25 5.51 101.38 28868 70010 80083
12.0 37.90 7.38 103.29 29825 73824 82629
14.0 38.80 9.41 105.53 31100 78146 85559
16.0 39.99 11.65 108.14 32740 83140 88937
18.0 41.52 14.13 111.19 34810 89038 92848
λ 1.3 52.63 27.88 130.2 49472 130922 −
1.4 52.08 27.8 129.99 49280 138234 −
1.5 51.58 27.73 129.81 49109 145535 −
1.6 51.13 27.66 129.64 48955 152827 −
1.7 50.72 27.6 129.48 48816 160110 −
1.8 50.35 27.55 129.34 48689 167386 −
offline channel but the wholesale price decreases. When customers’ sensitivity about
product greenness increases more in the online channel, all the optimal decisions and
corresponding expected profits of the channel members increase. Also, from Table
4, it is observed that the retailer’s fairness is harmful to the decisions of the channel
members but beneficial for her own profit.
Table 4 Comparison of solutions of fuzzy approach and deterministic approach

Fuzzy approach (i) Deterministic Difference between (i)
approach (ii) and (ii) (%)
Centralized scenario p = 120.26 p = 127.36 5.9
θ = 41.11 θ = 45.93 11.72
Decentralized scenario p f = 130.20 p f = 135.54 4.10
with retailer’s fairness
concern
θ f = 27.88 θ f = 30.74 10.25
w f = 52.63 w f = 55.46 5.37
Decentralized scenario p = 138.97 p = 144.93 4.28
without retailer’s
fairness concern
θ = 31.87 θ = 35.25 10.6
w = 82.62 w = 87.28 5.64
5.1 Comparison Between Optimal Decisions Between Fuzzy

and Deterministic Approaches of the Decentralized Model
In this section, we compare fuzzy solutions and deterministic solutions of the cen-
tralized and decentralized models (with and without retailer’s fairness) numerically,
where we assumed the value of fuzzy parameters (expected value) near the determin-
istic values. These values are as per the expert’s opinions. The difference between the
optimal values in percentage is shown in Table 3. It is noticed that the highest differ-
ence between the centralized scenario and decentralized scenario with and without
the cognitive bias is in product greenness level. For the comparison, the determinis-
tic decentralized models with and without the cognitive bias (fairness concern) are
solved. The optimal decisions of the manufacturer for the deterministic model with
retailer’s fairness are as follows:

wf = c + 1+λ
E[β̃]Δ2
[G 3 Ar + G 4 Ae ] and θ f = 1
Δ2
[G 1 Ar + (1 + 2λ)G 2 Ae ]

where Ar = ar − βc, Ae = ae − βc and Δ2 > 0 should be satisfied and the opti-
mal retail price can be obtained similarly following previous section (Sect. 4).
6 Sensitivity Analyses
6.1 Effect of Fairness Concern Coefficient on Optimal

Decisions and Profits of the Channel Members for
Decentralized Model with Fair-Minded Retailer
6.1.1 Effect of λ on Optimal Prices and Greenness Level
To illustrate the effect of λ for the offline and online channels, on optimal retail
and wholesale prices of the green product, product greenness level as well as
expected profits of the channel members, the following numerical values of the model
parameters are considered: ãr = (1200, 1500, 1700), ãe = (1100, 1250, 1400), b̃ =
(40, 50, 65), d̃ = (30, 40, 55), γ̃r = (10, 15, 20), γ̃e = (21, 26, 31), and c = 20,
I = 100. We evaluate the optimal decisions presented in Fig. 2 w.r.t. λ.
When the retailer exhibits more and more fairness about the offline channel w.r.t.
the manufacturer from Fig. 2, it is observed that the wholesale price of the man-
ufacturer decreases. Consequently, it is also realized that an increase in retailer’s
Fig. 2 Optimal prices and greenness level versus λ

Fig. 3 Profits versus λ
fairness concern has an adverse impact on both channels’ retail prices as well as
on the greening level of the product. The power of bargaining increases when the
retailer’s fairness concern intensifies, so for the sake of a fair deal, she will force
the manufacturer to reduce her wholesale price to such an extent that their profits
are not jeopardized. Hence, the retailer is focused on her fairness more, and both
channel members’ optimal prices descend. Also, the fairness of retailer is harmful
to the environmental performance of the supply chain.
Effect of λ on channel members’ profits: The effect of the fairness concern coef-
ficient λ on the expected profits of the channel members is depicted in Fig. 3. From
Fig. 3, it is clear that when a retailer’s fairness w.r.t. the manufacturer increases, the
expected profit of the manufacturer diminishes but her own revenue gets benefited.
Now, when the retailer is fair-minded, the manufacturer sacrifices her wholesale price
to care about her concern for fairness. So, the expected profit of the manufacturer
is declined. It is inferred that the manufacturer cannot be aggressive while choosing
her strategy when the retailer is fair-minded. Hence, the retailer’s fairness concern
about the offline channel w.r.t. the manufacturer is favorable for her expected profit
but detrimental for the manufacturer.
6.2 Effect of E[γ̃ r ] and E[γ̃e ] on Expected Profits of the

Channel Members in Retail and Online Channels
The effect of the fuzzy degree of product greenness coefficient for offline and online
channels on expected profits of the channel members (decentralized model) as well
as on expected total SC’s profit (centralized model) is depicted in Figs. 4 and 5,
respectively. From Fig. 4, it is noticed that with the increment of customer’s sensitivity
to product greenness level in offline channel, the expected profit of the manufacturer
increases first, until E[γ̃r ] exceeds a certain amount and when E[γ̃r ] > 11.4, her
profit decreases. Also, the total expected SC’s profit in the centralized model as
well as the retailer’s expected profit increases when E[γ̃r ] increases for our chosen
range of E[γ̃r ]. Hence, when customers prefer product greenness more, the retailer
(for decentralized channel) and overall supply chain profit (for centralized channel)
get an advantage, but it is beneficial for the manufacturer up to a certain limit,
then it is detrimental for her expected profit. It can also be seen from Fig. 5 that
when the product greenness coefficient increases in the online channel, the channel
members’ expected profits for the decentralized model as well as the total SC’s
profit for the centralized model increase. Therefore, if E[γ̃e ] increases in the online
channel, the channel members’ expected profits are enhanced. As the manufacturer’s
and retailer’s expected profit increase with the coefficient of product greenness for a
Fig. 4 Profits versus E[γ̃r ]

Fig. 5 Profit versus E[γ̃e ]
certain range, the total expected profit for SC (centralized model) also grows. In the
market, where consumers are highly sensitive to greenness, they frequently choose
products with high levels of greening. The development of new products lead to
higher cost, resulting in increase in sales, so the overall expected profit of the SC
increases.
6.3 Parametric Study of Cost Coefficient for Greening
When the cost for product greening increases more, the expected profits of the channel
members (decentralized model) when the retailer is fair-minded as well as the total
SC’s profit (centralized model) decrease. This follows naturally and is justified by
Fig. 6.
Fig. 6 Profit versus I
7 Conclusion
In this investigation, we considered an SC that includes a green manufacturer and a

retailer, where the manufacturer sells green product to customers through both offline
and online channels. Due to the uncertainty of the parameters in the real world, the
problem is modeled using fuzzy theory. Fuzzy parameters are used to characterize
market demand, price elasticity, and the coefficient of product greenness. We studied
and solved for both centralized and decentralized models (with and without the
retailer’s fairness concern). We compared the solutions of the decentralized model
for fuzzy and deterministic approaches. Also, we analyzed the effect of fairness of
the retailer on optimal wholesale and retail prices, product greenness, and expected
profits of the channel members for the model. We also examined the effect of the
product greenness coefficient on the total expected profit of SC and channel members’
profits for the centralized and decentralized scenarios, respectively.
Analyzing our theoretical and numerical results, we have the following conclusions:
(i) Retailer’s fairness concern has an adverse impact on optimal wholesale and retail
prices for both channels in the decentralized model.
(ii) The effect of the fairness concern of the retailer on the greening level of the
product is negative. Hence, this cognitive bias is unfavorable for the environmental
performance of the SC.
(iii) Customer’s sensitivity toward product greening for the online channel has a
beneficial impact on all channel members’ profits in the decentralized model as well
as on total supply chain profit in the centralized model.
(iv) Increment in customer’s sensitivity toward product greening for the retail channel
is helpful for the total expected supply chain profit in the centralized model and the
retailer’s expected profit in the decentralized model but has a positive effect on the
manufacturer’s expected profit up to a certain limit.
(v) The manufacturer’s expected profit decreases with the retailer’s fairness, but the
retailer’s profit enhances.
(vi) All channel members’ profits, as well as total SC’s profit, reduce when the cost
of greening increases.
7.1 Managerial Insights
This study considers game-theoretic models for a green product in a dual-channel

scenario under an uncertain environment to examine the impact of fairness concerns.
This is a real-life occurrence in the e-market. Thus, a manufacturing company with
dual-channel SC for a green product might use this analysis along with the relevant
information and expert opinions to derive the pricing strategies. If the management
knows in advance that her retailer is an upright person and believes in fairness, the
management should be prepared to share the profits in a reasonable way. To satisfy
the retailer’s bias, management can reduce either the wholesale price sacrificing her
own profit, or reducing the green level (cost), which has a detrimental effect on
mankind.
7.2 Limitations and Future Extensions
The present study has the following limitations: We have considered a two-level SC
with two members—one manufacturer and one retailer only. However, an SC with
several channel members can be considered. In this study, fairness concern is repre-
sented by crisp values, though this can be uncertain in nature.
Nomenclature
B1 = 2E[β̃]I − E[γ̃r ](2E[γ̃e ] − E[γ̃r ]), B2 = (1 + 2λ)E[γ̃e ] − λE[γ̃r ],
Δ1 = B1 (1 + 2λ)(3 + 4λ) − B22 , G 1 = (1 + 2λ)(3 + 4λ)(E[γ̃e ] − E[γ̃r ]) − λB2 ,

G 2 = B2 + (3 + 4λ)E[γ̃r ], G 3 = B2 (E[γ̃e ] − E[γ̃r ]) − λB1 , G 4 = (1 + 2λ)B1 +

E[γ̃r ]B2
δγ = E[γ̃e ], B3 = δγ (3E[γ̃r ] + E[γ̃e ]) + 1, B4 = B1 + E[γ̃r ](3E[γ̃r ] + 2E[γ̃e ]),

B1 = 2β I − γr (2γe − γr ), B2 = (1 + 2λ)γe − λγr ,

Δ2 = B1 (1 + 2λ)(3 + 4λ) − (B2 )2 , G 1 = (1 + 2λ)(3 + 4λ)(γe − γr ) − λB2 ,

G 2 = B2 + (3 + 4λ)γr , G 3 = B2 γe − γr ) − λB1 , G 4 = (1 + 2λ)B1 + γr B2 .
Declarations The authors have no conflict of interest.
Acknowledgements Thanks to IIEST authority for giving scope for research.
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Fuzzy Set Theory
A Similarity Measure of Picture Fuzzy
Soft Sets and Its Application
V. Salsabeela and Sunil Jacob John
Abstract Picture Fuzzy Soft Sets (PFS f S) is an extension of Intuitionistic Fuzzy

Soft Sets and has a wide range of applications. Within this work, we propose a
similarity measure and a corresponding weighted similarity measure between two
PFS f S. A numerical example is presented to demonstrate that the proposed method
which can be effectively applied to problems in the field of medical diagnosis.
Keywords Picture fuzzy sets · Soft sets · Picture fuzzy soft sets
1 Introduction
In 1965, Zadeh [4] invented the notion of fuzzy set (FS), an approach for dealing
with uncertainties. Researchers have given a lot of attention to the FS theory, and
numerous experts have applied it to a variety of situations. In fuzzy sets, there is a
function that returns the degree of membership of an object to a non-empty set from
a non-empty set to the closed unit interval [0, 1]. It is a framework for dealing with
ambiguity, exaggeration, and confusion, as well as assigning a degree of membership
to each member of the nature of discussion to a subset of it.
A soft set, which is a parameterized family of subsets of a crisp universal set,
could handle more data which contains uncertainty. Using the parametrization of
tools methodology, Molodtsov [1] offered the idea of soft sets in 1999. Molodtsov
has effectively employed soft set theory in a variety of regions including game theory,
operations research, and Reimann integration. Soft set theory offers a wide range of
applications, only a few of which Molodtsov demonstrated in his pioneering work
[1]. Yang et al. [5] defined picture fuzzy soft set (PFS f S) as an extended version of
soft sets.
V. Salsabeela (B) · S. J. John

Department of Mathematics, National Institute Technology, Calicut 673601, India
e-mail: salsabeela.v@gmail.com
S. J. John
e-mail: sunil@nitc.ac.in
https://doi.org/10.1007/978-981-99-0597-3_26
382 V. Salsabeela and S. J. John
Similarity measures are a crucial metric for analyzing the degree to which two things
are alike. The idea of similarity measure is significant in practically every sector of
research and engineering. Many researchers have now developed many similarity
measures and applied them to MADM, pattern identification, mineral field recog-
nition, building material recognition, strategy decision-making, and other domains.
We frequently want to know if two patterns or images are alike or nearly alike, or
at the very least to what extent they are alike. Various academics have explored
the topic of measuring similarity between fuzzy sets, fuzzy numbers, and ambigu-
ous sets, including Chen, [6, 7] and [8]. Li and Xu, [9] Hong and Kim, [10] C. P.
Pappis, [11, 12], and others. However, in [13], Kharal provides counterexamples to
demonstrate various inaccuracies, as well as introduce some set operations on soft set
distances and similarity measurements based on distance. According to the Hamming
distance, Euclidean distance, and their normalized correspondents, Atanassov [14],
Szmidt, and Kacprzyk [15] suggested a similarity measure for intuitionistic fuzzy
sets. Guiwu Wei and Yu Wei [16] suggested ten similarity measures in accordance
with the cosine function for Pythagorean fuzzy sets. Guiwu Wei [17] has presented
eight cosine-based similarity measurements between picture fuzzy sets. Kifayat et al.
[18] recently discussed certain gray similarity measures, cosine similarity measures,
and set-theoretic similarity measures that can be used to compare spherical fuzzy
sets and T-spherical fuzzy sets. Cuong [19] recently suggested the picture fuzzy set
(PFS) and examined a few of its fundamental operations and features.
Here, put forward a similarity measure and a weighted similarity measure for
PFS f S and explain with an illustrative example related with our real-life situation.
The following is the format of the paper’s presentation. The concepts of soft sets,
fuzzy soft sets, picture fuzzy sets, and similarity measures between two fuzzy soft
sets are reviewed in segment 2. Part 3 introduces the concept of PFS f S similarity
measure and proposes an equation for finding the similarity measure and a weighted
similarity measure between two PFS f S. The mentioned similarity measure is applied
to a problem related with the medical field in Sect. 4. Section 5 wraps up the project
with some recommendations for the future.
2 Preliminaries
In the present section, we will review certain basic concepts for soft sets, fuzzy soft
sets, picture fuzzy sets, picture fuzzy soft sets, and similarity measures between fuzzy
soft sets, that would be important in the following talks.
Consider = {1 , 2 , 3 , . . . n } as the universe of discourse and K =
{k1 , k2 , k3 , . . . kn } is the set of parameters.
Definition 1 ([1]) A pair (, ) is said to be a soft set over the universe , in which
is a mapping defined by
: → P().
A Similarity Measure of Picture Fuzzy Soft Sets and Its Application 383
Otherwise stated, a parameterized family of subsets of the universe is said to be a

soft set.
Definition 2 ([2]) Consider as the universe, be the set of parameters and P()
denote the collection of all fuzzy soft sets over . A pair (, ) is said to be a fuzzy
soft set over the universe , in which : → P() is a function defined from
→ P().
Definition 3 ([3]) A Picture Fuzzy Set (P F S), P on a universe of discourse is an

object in the form of,
P = {(, P (), ϒP (), P ())| ∈ }
in which, P () ∈ [0, 1] is called the “positive membership degree of in ”,

ϒP () ∈ [0, 1] is called the “neutral membership degree of in ” and P () ∈
[0, 1] is called the “negative membership degree of in ” and where P , ϒP and
P satisfy the given criteria:
∀ ∈ , P () + ϒP () + P () ≤ 1.
Then for ∈ , πP () = 1 − (P () + ϒP () + P ()) is called the refusal-
membership degree of in . For simpleness, we call P(P (), ϒP (), P ())
a picture fuzzy number (PFN) denoted by k = P(k , ϒk , k ), where k , ϒe , k ∈
[0, 1],
πk = 1 − (k + ϒk + k ), and k + ϒk + k ≤ 1.
Definition 4 ([17]) Let P1 and P2 be two picture fuzzy sets defined on the universe
of discourse . Then
P1 ⊆ P2 , i f P1 () ≤ P2 (), ϒP1 () ≤ ϒP2 (), P1 ()) ≥ P2 ())
Definition 5 ([3]) Consider as the universal of discourse, K is the set of all

parameters and ⊆ K . A pair , is said to be a picture fuzzy soft set (PFS f S)
over the universe , in which is a mapping defined by : → P F S(). For any
parameter k ∈ K , (k) can be represented as a picture fuzzy soft set in such a way
that
(k) = {(, (k) (), ϒ(k) (), (k) ())| ∈ }
where (k) () is the positive membership degree, ϒ(k) () is the neutral member-
ship degree and (k) () is the negative membership degree function respectively
with the condition, (k) () + ϒ(k) () + (e) () ≤ 1. If for any parameter k ∈
and for any ∈ , ϒ(k) () = 0, then (k) will become a Pythagorean fuzzy set
and , will turn into an intuitionistic fuzzy soft set if it is true for all k ∈ . Here,
P F S f S() represents the set of all picture fuzzy soft sets over .
Definition 6 Let , and , be two fuzzy soft sets, then , ⊆ , , if

1. ⊆
2. ∀ t ∈ , (t) ⊆ (t)
Definition 7 ([17]) Consider as the universe of discourse and K is a set of all

parameters. Let F S f S() represent the set of all fuzzy soft sets over the universe .
A mapping Sm : F S f S() × F S f S() → [0, 1] is said to be a similarity measure
between fuzzy soft sets , and , , represented as Sm ( , , , ), if it
fulfills the following requirements:
1. 0 ≤ Sm ( , , , ) ≤ 1;
2. Sm ( , , , ) = Sm ( , , , );
3. Sm ( , , , ) = 1 iff = ;
4. Consider another fuzzy soft set , ∂ , if , ⊆ , and
, ⊆ , ∂ , then Sm ( , , , ∂ ) ≤ Sm ( , , , ) and
Sm ( , , , ∂ ) ≤ Sm ( , , , ∂ ).
3 Similarity Measure Between Picture Fuzzy Soft Sets
The idea of similarity measures between two PFS f Ss is discussed in this section, as
well as its equivalent weighted similarity measure, is also mentioned here.
Definition 8 Consider as an initial universal set and K as the set of all param-
eters. Suppose P F S f S() represents the set of all picture fuzzy soft sets defined
on the universe . A mapping Sm : P F S f S() × P F S f S() → [0, 1] is said to be
a similarity measure in between fuzzy soft sets , and , , represented as
Sm ( , , , ), if it satisfies the given conditions:
1. 0 ≤ Sm ( , , , ) ≤ 1;
2. Sm ( , , , ) = Sm ( , , , );
3. Sm ( , , , ) = 1 iff = ;
4. Let , ∂ be a picture fuzzy soft set, if , ⊆ , and
, ⊆ , ∂ , then Sm ( , , , ∂ ) ≤ Sm ( , , , ) and
Sm ( , , , ∂ ) ≤ Sm ( , , , ∂ ).
Now, for any PFS f S , ∈ PFS f S(), ⊆ K , we will extend the PFS f S to
the PFS f S ,ˆ in which (k) = φ,∀k ∈ / , that is, (k)
ˆ () = ϒ(k)
ˆ () =
(k)
ˆ () = 0, ∀k ∈ / . As a result, we will now treat the parameter subset of every
PFS f S over as if it were the set of parameter K , without sacrificing generality.
Definition 9 Consider = {u 1 , u 2 , . . . u n } as a universe with the parameter set K =
{k1 , k2 , . . . km }. Then, a similarity measure between two PFS f S , K and , K
can be found using the given formula:

1 1 − 21 min{|(ki ) (u j ) − (ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|} + |ϒ(ki ) (u j ) − ϒ(ki ) (u j )|
m n
Sm (, ) =
mn
i=1 j=1
1 + 2 max{|(ki ) (u j ) − (ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|} + |ϒ(ki ) (u j ) − ϒ(ki ) (u j )|
1
(1)
Example 1 Suppose that U = {u 1 , u 2 , u 3 } as a universal set K = {k1 , k2 , k3 } is the

set of all parameters. Here we can examine the two PFS f S
⎛ ⎞ ⎛ ⎞
(0.5, 0.2, 0.1) (0.8, 0.1, 0) (0.3, 0.1, 0.2) (0.7, 0.1, 0) (0.4, 0.4, 0.1) (0.6, 0.2, 0.1)
, K = ⎝(0.5, 0.3, 0.1) (0.4, 0.3, 0.1) (0.6, 0.1, 0.1)⎠ and , K = ⎝(0.6, 0.1, 0.1) (0.3, 0.2, 0.1) (0.5, 0.2, 0.1)⎠
(0.6, 0.2, 0.1) (0.5, 0.3, 0) (0.7, 0.1, 0.1) (0.5, 0.3, 0.1) (0.4, 0.2, 0.2) (0.4, 0.3, 0.2)
Then Sm , = 0.7735.
Theorem 1 If , K , , K and R, K are three PFS f Ss defined over the uni-

versal set U. Then Sm fulfills the four features of similarity measures listed below:
1. 0 ≤ Sm ( , ) ≤ 1;
2. Sm ( , ) = Sm ( , );
3. Sm ( , ) = 1 iff = ;
4. If , K ⊆ , K and , K ⊆ R, K , then Sm ( , R ) ≤ Sm ( , ) and
Sm ( , R ) ≤ Sm ( , R ).
Proof 1. Proof is straightforward.

2. Proof is straightforward.
3. Assume that = ⇒ (ki ) (u j ) = (ki ) (u j ), ϒ(ki ) (u j ) = ϒ(ki ) (u j ) and
(ki ) (u j ) = (ki ) (u j ).
⇒ Sm (, ) = 1.
suppose that Sm (, ) = 1.
Conversely
1− 21 min{|(ki ) (u j )−(ki ) (u j )|,|(ki ) (u j )−(ki ) (u j )|}+|ϒ(ki ) (u j )−ϒ(ki ) (u j )|
⇒ =1
1+ 21 max{|(ki ) (u j )−(ki ) (u j )|,|(ki ) (u j )−(ki ) (u j )|}+|ϒ(ki ) (u j )−ϒ(ki ) (u j )|

⇒ 1 − 21 min{|(ki ) (u j ) − (ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|} + |ϒ(ki )

(u j ) − ϒ(ki ) (u j )| =

1 + 21 max{|(ki ) (u j ) − (ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|} +

|ϒ(ki ) (u j ) − ϒ(ki ) (u j )|

⇒ 21 min{|(ki ) (u j )−(ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|}]+ 21 max{|(ki )

(u j ) − (ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|}] + |ϒ(ki ) (u j ) − ϒ(ki ) (u j )| =
0
⇒ |(ki ) (u j ) − (ki ) (u j )| = 0, |ϒ(ki ) (u j ) − ϒ(ki ) (u j )| = 0 and
|(ki ) (u j ) − (ki ) (u j )| = 0
⇒=
4. We have , K ⊆ , K ⊆ R, K .
⇒ | (ki ) (u j ) − (ki ) (u j ) |≤| (ki ) (u j ) − R(ki ) (u j ) |, | ϒ(ki ) (u j ) −
ϒ(ki ) (u j ) |≤| ϒ(ki ) (u j ) − ϒ R(ki ) (u j ) | and | (ki ) (u j ) − (ki ) (u j ) |≤|
(ki ) (u j ) − R(ki ) (u j ) |.
⇒ min{|(ki ) (u j ) − (ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|} + |ϒ(ki ) (u j ) −
ϒ(ki ) (u j )| ≤ min{|(ki ) (u j ) − R(ki ) (u j )|, |(ki ) (u j ) − R(ki ) (u j )|} +
|ϒ(ki ) (u j ) − ϒ R(ki ) (u j )| and
max{|(ki ) (u j ) − (ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|} + |ϒ(ki ) (u j ) −
ϒ(ki ) (u j )| ≤ max{|(ki ) (u j ) − R(ki ) (u j )|, |(ki ) (u j ) − R(ki ) (u j )|} +

|ϒ(ki ) (u j ) − ϒ R(ki ) (u j )|.
1− 1
2
max{|(ki ) (u j ) − (ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|} +
|ϒ(ki ) (u j ) − ϒ(ki ) (u j )| ≥ 1 − 1
2
max{|(ki ) (u j ) −
R(ki ) (u j )|, |(ki ) (u j ) − R(ki ) (u j )|} + |ϒ(ki ) (u j ) − ϒ R(ki ) (u j )| and
1− 1
2
max{|(ki ) (u j ) − (ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|} +
|ϒ(ki ) (u j ) − ϒ(ki ) (u j )| ≤ 1 − 1
2
max{|(ki ) (u j ) −
R(ki ) (u j )|, |(ki ) (u j ) − R(ki ) (u j )|} + |ϒ(ki ) (u j ) − ϒ R(ki ) (u j )| .
⇒ Sm ( , R ) ≤ Sm ( , ).
Likewise, we can prove that Sm ( , R ) ≤ Sm ( , R ).
The weight of the parameter ki ∈ K should be considered in a variety of situations.

When the weights of ki are taken into account, a weighted similarity measure W P F S f S
between , K and , K is defined like this:
W P F S f S (, ) (2)

1
m n
1 − 21 min{|(ki ) (u j ) − (ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|} + |ϒ(ki ) (u j ) − ϒ(ki ) (u j )|
= ∅i
n
i=1 j=1
1 + 2 max{|(ki ) (u j ) − (ki ) (u j )|, |(ki ) (u j ) − (ki ) (u j )|} + |ϒ(ki ) (u j ) − ϒ(ki ) (u j )|
1
where ∅ = (∅1 , ∅2 , . . . ∅m )T is regarded as the weight vector of ki with ∅i ∈

m
[0 1], (i = 1, 2, . . . m), i ∅i = 1. The weighted similarity measure of two
P F S f S(, K ) and (, K ) also satisfies the following conditions:
1. 0 ≤ W P F S f S ( , ) ≤ 1;
2. W P F S f S ( , ) = W P F S f S ( , )
3. W P F S f S ( , ) = 1 iff = .
We may prove these conditions 1 to 3 using a similar proof as in Theorem 2.
Definition 10 Let P, K and Q, K are two P F S f S defined within the universe
. These P F S f S are regarded to be significantly similar if S P F S f S (P, Q) ≥ 0.75.
4 The Application of Picture Fuzzy Soft Set Similarity

Measures in Medical Diagnosis
We offer a strategy for solving a medical diagnosis problem in accordance with the
suggested similarity measure of P F S f Ss in this section. In the following application,
a similarity measure between two P F S f Ss could be used to determine if a person
has an illness or not.
Diarrhea is a common issue characterized by loose, watery, and possibly more fre-
quent bowel motions. It can occur on its own or in conjunction with other symptoms
such as nausea, vomiting, stomach discomfort, or weight loss.
Diarrhea is characterized by loose, watery feces occurring three or more times
per day. Diarrhea can be acute, chronic, or recurrent. Acute diarrhea is far more
common than chronic or persistent diarrhea. Dehydration and malabsorption are two
side effects of diarrhea. If your diarrhea lasts fewer than four days, your doctor
may not need to investigate the cause. If your diarrhea persists or you have other
symptoms, your doctor may consult your medical and family history, perform a
physical examination, or order tests to determine the cause. Here, we are attempting
to determine how likely it is that a patient with particular apparent symptoms is
suffering from diarrhea.
With the help of a medical officer, here, we first create a P F S f S for the illness
and a P F S f S for the sick person. After that, we calculate the similarity measures
between these two P F S f Ss. If they are considerably comparable, we can deduce
that the person is suffering from diarrhea. If they are not, we can rule out diarrhea.
Example 2 Suppose that there are two patients P1 , P2 admitted to a hospital with
those kinds of signs and symptoms of diarrhea. Suppose that universal set consists of
the three elements “harsh” (ϕ1 ), “soft” (ϕ2 ), and “no” (ϕ3 ). That is ϕ = {ϕ1 , ϕ2 , ϕ3 }.
Consider = {1 , 2 , 3 , 4 , 5 , 6 } as the set of parameters which indicates
definite symptoms of diarrhea, where 1 stands for watery, 2 stands for frequent
bowel movements, 3 stands for cramping or pain in the abdomen, 4 stands for
nausea, 5 stands for bloating, and 6 stands for bloody stools.
Suppose F, be a P F S f S over the universe ϕ for diarrhea, developed by
utilizing the assistance of a civil medical officer provided in Table 1.
The P F S f Ss is then constructed for two patients, as shown in Tables 2 and 3.
Therefore, we get S P F S f S F, P1 = 0.8311 ≥ 0.75 and S P F S f S F, P2 =
0.5719 ≤ 0.75. In light of these findings, we can state that the patient P1 is pos-
sibly suffering from diarrhea.
Table 1 P F S f S F, for Diarrhea

F, 1 2 3 4 5 6
ϕ1 (0.7,0,0.1) (0.6,0.2,0.1) (0.2,0.3,0.1) (0.4,0.2,0.2) (0.2,0.3,0.1) (0.4,0.3,0.1)
ϕ2 (0.5,0.1,0.2) (0.4,0,0.5) (0.4,0.2,0.1) (0.8,0.1,0) (0.6,0.1,0.1) (0.5,0.2,0.1)
ϕ3 (0.3,0.2,0.4) (0.4,0.2,0.3) (0.6,0.1,0.2) (0.4,0.2,0.2) (0.3,0.1,0.1) (0.6,0.1,0.1)
Table 2 P F S f S P1 , for the patient P1

P1 , 1 2 3 4 5 6
ϕ1 (0.8,0.1,0) (0.5,0.3,0.1) (0.3,0.4,0.1) (0.4,0.1,0.1) (0.3,0.4,0.2) (0.3,0.2,0.2)
ϕ2 (0.6,0.2,0.1) (0.3,0,0.6) (0.3,0.3,0.2) (0.7,0.2,0.1) (0.5,0.2,0.2) (0.6,0.1,0.1)
ϕ3 (0.4,0.3,0.2) (0.3,0.3,0.2) (0.5,0.2,0.1) (0.3,0.3,0.1) (0.4,0.2,0.2) (0.5,0.2,0.2)
Table 3 P F S f S P2 , for the patient P2

P2 , 1 2 3 4 5 6
ϕ1 (0.3,0.3,0.2) (0.2,0.4,0.3) (0.5,0.1,0.3) (0.1,0.4,0.4) (0.5,0.1,0.3) (0.1,0.6,0.2)
ϕ2 (0.2,0.4,0.3) (0.1,0.7,0.1) (0.5,0.5,0.3) (0.1,0.5,0.1) (0.1,0.4,0.3) (0.1,0.5,0.3)
ϕ3 (0.1,0.5,0.1) (0.8,0.1,0) (0.3,0,0.5) (0.2,0.3,0.4) (0.5,0.3,0.3) (0.1,0.4,0.4)
5 Conclusion
Similarity measure is a useful implement for calculating the extent of similarities

between two things. It is frequently manufactured for the goal of pretending the object
or document’s legitimacy. Practically, every sector of research and engineering, the
idea of similarity measurement is significant.
This work provides a similarity measure and the accompanying weighted similarity
measure related with two picture fuzzy soft sets. Picture fuzzy soft set is a novel
soft set paradigm that is more feasible and precise in certain circumstances than
previous soft set structures. It can be considered as the expanded version of fuzzy
soft sets. Finally, an application for a medical diagnosis problem is presented for
determining wether a patient is suffering from an illness or not. In more applicable
real-life situations, the suggested similarity measure as well as the weighted similarity
measure could be used. These are also particularly useful for dealing with a variety of
uncertainty problems in pattern recognition, decision-making, clustering, and other
fields.
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Soft Almost s-Regularity and Soft Almost
s-Normality
Archana K. Prasad and S. S. Thakur
Abstract The present paper introduces the axioms of soft almost s-regularity and
soft almost s-normality and presents their studies in soft topological spaces.
Keywords Soft sets · Soft topology · Soft almost s-regular · Soft almost s-normal
spaces
1 Introduction
Researchers introduce many concepts to deal with uncertainty and to solve compli-
cated problems in economy, engineering, medicine, sociology and environment
because of the unsuccessful use of classical methods. The well-known theories can
be considered as a mathematical tool for dealing with uncertainty and imperfect
knowledge of the theory of fuzzy sets, theory of intuitionistic fuzzy sets, theory of
vague sets, theory of rough sets and theory of probability.
In 1999, Molodtsov [13] initiated the theory of soft sets as a new mathematical
tool to deal with uncertainty while modeling problems with incomplete information.
He [13] applied successfully soft sets in many directions such as Smoothness of
function, Game theory, Operation research, Riemann integration, Perron integration,
Probability and Theory of measurement to model the emphasis information. Maji
et al. [11] describe an application of soft set theory to decision-making problems and
gave the operation of soft sets and their properties. Later on, Ali et al. [1] improved
the work of Maji et al. [11] and Das et al. [5]. Pie and Miao [15] investigated the
relationship between soft sets to information systems. They showed that soft sets are
A. K. Prasad (B)
Department of Mathematics, Swami Vivekanand Government College, Lakhnadon, Dist-Seoni,
MP 480886, India
e-mail: akkumariprasad@gmail.com
S. S. Thakur
Department of Applied Mathematics, Jabalpur Engineering College, Jabalpur, MP 482011, India
e-mail: samajh_singh@rediffmail.com
https://doi.org/10.1007/978-981-99-0597-3_27
392 A. K. Prasad and S. S. Thakur
classes of special information systems. In 2011, Shabir et al. [23] initiated the study
of soft topological spaces as a generalization of topological spaces. They further
studied the concepts of closure, interior and neighborhood of soft sets. Since the
inception of soft topology, many authors such as Aygünoğlu and Aygün [2], Hussain
[9], Hussain and Ahmad [10], Min [12], Nazmul and Samanta [14], Hazra et al. [8],
Senel and Cagman [22], Zorlutuna et al. [25] and others extended and studied many
topological concepts to soft sets. The study of soft separation axioms was initiated
by Shabir and Naz [23]. In the recent past, many authors such as Georgiou et al. [6],
Guler and Kale [9], Prasad et al. [16–21], Çağman et al. [3], Varol and Aygun [24] and
others studied various soft separation axioms in soft topological spaces. The present
paper introduces two new soft separation axioms called soft almost s-regularity and
soft almost s-normality and obtains their characterizations and properties.
2 Preliminaries
Let X be a nonempty set, be the set of parameters and S(X, ) refer to the collection
of all soft sets of X relative to .
Definition 2.1 ([23]) A soft topology on X is a sub-collection of S(X, ) satisfying

the following conditions:
∼ ∼
[ST1] , X∈ .
[ST2] (λi ) ∈ ⇒ i∈ (λi , ) ∈ , for every i ∈ .
[ST3] (λ1 ,), (λ2 , ) ∈ ⇒ (λ1 , ) ∩ (λ2 , ) ∈ .
The triplet (X, , ) is called a soft topological space (briefly written as

STS(X, , )). The members of are known as soft open sets in X and their
complements are called soft closed sets in X. The collection of all soft closed sets in

a STS(X, , ) is denoted by SC(X, ).

Definition 2.2 ([23]) Let (X, , ) be a STS and (ξ, ) ∈ S(X, ). Then the closure
of (ξ, ) (denoted by Cl(ξ, )) and the interior of (ξ, ) (denoted by Int(ξ, )) are
defined as follows:
(a) Cl(ξ, ) = ∩{(σ, ) : (σ, ) ∈ SC(X, ) and (ξ, ) ⊆ (σ, )}.

(b) Int(ξ, ) = ∪{(σ, ) : (σ, ) ∈ and (σ, ) ⊆ (ξ, )}.

Lemma 2.1 ([23]) Let (X, , ) be a STS and (ξ, ),(σ, ) ∈ S(X, ). Then
(a) (ξ, ) ∈ SC(X, ) ⇐⇒ (ξ, ) = Cl(ξ, ).

(b) If (ξ, ) ⊆ (σ, ) ⇒ Cl(ξ, ) ⊆ Cl(σ, ).
(c) (ξ, ) ∈ ⇐⇒ (ξ, ) = Int(ξ, ).
(d) If (ξ, ) ⊆ (σ, ) ⇒ Int(ξ, ) ⊆ Int(σ, ).
(e) (Cl(ξ, ))c = Int((ξ, )c ).
Soft Almost s-Regularity and Soft Almost s-Normality 393
(f) (Int(ξ, ))c = Cl((ξ, )c ).
In 2013, Chen [4] studied soft semi-open sets as follows.

Definition 2.3 ([4, 9]) Let (X, , ) be a STS and (ξ, ) ∈ S(X, ) then (ξ, ) is
called
(a) Soft regular open if (ξ, ) =Int(Cl(ξ, )).
(b) Soft regular closed if (ξ, ) = Cl(Int(ξ, )).
(c) Soft semi-open if (ξ, ) ⊆ Cl(Int(ξ, )).
(d) Soft semi-closed if (ξ, )⊇ Int(Cl(ξ, )).

In a STS(X, , ), the collection of SRO(X, )(resp SSO(X, )) refers to the
class of soft regular open (resp. soft semi-open) and SRC(X, )(resp SSC(X, ))
refers to the class of soft regular closed (resp. soft semi-closed) sets.
Theorem 2.1 ([4, 9]) Let (ξ, ),(σ, ) ∈ S(X, ) then,

(a) (ξ, ) ∈ SRO(X, ) ⇔ (ξ, )c ∈ SRC(X, ).
(b) (ξ, ) ∈ SSO(X, ) ⇔ (ξ, )c ∈ SSC(X, ).

Lemma 2.2 ([4, 9]) In a STS(X, , ), the next containments are true:
(a) SRO(X, ) ⊆ ⊆ SSO(X, ).
(b) SRC(X, ) ⊆ SC(X, ) ⊆ SSC(X, ).
The reverse containments may be false.

Definition 2.4 ([4]) Let (X, , ) be a STS and (ξ, ) ∈ S(X, ). Then the semi-
closure of (ξ, ) (written as sCl(ξ, )) and semi-interior of (ξ, ) (written as
sInt(ξ, )) are defined as follows:
(a) sCl(ξ, ) = ∩{(σ, ) : (σ, ) ∈ SSC(X, ) and (ξ, ) ⊆ (σ, )}.
(b) sInt(ξ, ) = ∪{(σ, ) : (σ, ) ∈ SSO(X, ) and (σ, ) ⊆ (ξ, )}.
∼
Example 2.1 Let X= x1, x2 , x3 , = {β1 , β2 } and

(λ, ) = (β1 , {x1 }), (β2 , {x2 , x3 }) and (X, , ) be a STS where =
∼
φ, X, (λ, ) .
∼ ∼
Then SC(X, ) = φ, X, (λ, )c , SRO(X, ) = φ, X , SRC(X, ) =
∼
φ, X and
∼
SSO(X, ) = {φ, X, (λ, ),(μ, ), (ν, ), (δ, )), (ψ, ), (ω, ), (χ , )},
where,
(λ, )c = {(β1 , {x2 , x 3 }), (β2 , {x1 })},
(μ, ) = {(β1 , {x1 , x2 }), (β2 , {x2 , x3 })},
(ν, ) = {({(β1 , {x1 , x3 }), (β2 , {x2 , x3 })},

∼
(δ, ) = {(β1 , X), (β2 , {x2 , x3 })},

∼
(ψ, ) = {(β1 , {x1 , x2 }), β2 , X },
∼
(ω, ) = {(β1 , {x1 , x3 }), β2 , X },
∼
(χ , ) = {(β1 , {x1 }), β2 , X }. Consider the soft set (μ, ). Then Int(μ, ) =
(λ, ) and

Cl(Int(μ, )) = Cl(λ, ) = X . And so, (μ, ) ⊆
Cl(Int(μ,)) and hence(μ, ) ∈ SSO(X, ). Similarly, we can verify
for other members of SSO(X, ). Also, by Theorem 2.1b, SSC(X, )=
∼
{φ, X, (λ, )c , (μ, )c , (ν, )c , (δ, )c , (ψ, )c , (ω, )c , (χ , )c }
where (λ, )c = {(β1 , {x2 , x 3 }), (β2 , {x1 })},
(μ, )c = {(β1 , {x3 }), (β2 , {x1 })},
(ν, )c = {(β1 , {x2 }), (β2 , {x1 })},
(δ, )c = {(β1 , φ), (β2 , {x1 })},
(ψ, )c = {(β1 , {x3 }), (β2 , φ)},
(ω, )c = {(β1 , {x2 }), (β2 , φ)},
(χ , )c = {(β1 , {x2 , x 3 }), (β
2 , φ)}.

Take (ξ, ) = β1 , x2, x3 , (β2 , {x1 }) , then sInt(ξ, ) = φ and
∼
sCl(ξ, ) =X.
Remark 2.1 ([4]) In a STS (X, , ), the following containments are true:
(a) sCl(ξ, ) ⊆ Cl(ξ, ).
(b) Int(ξ, ) ⊆ sInt(ξ, ), for every (ξ, ) ∈ S(X, ).
Definition 2.5 ([25]) A soft set (ξ, ) ∈ S(X,) is said to be a soft point if , ∃ x ∈ X
and β ∈ with ξ(β) = {x} and ξ (β c ) = φ for each β c ∈ − {β} and denoted
by xβ . The family of all soft points over X is written as SP(X, ).
Lemma 2.3 ([8]) Let (ξ, ), (σ, ) ∈ S(X, ) and xβ ∈ SP(X, ). Then we have
(a) xβ ∈ (ξ, ) ⇔ xβ ∈ / (ξ, )c .

(b) xβ ∈ (ξ, ) ∪ (σ, ) ⇔ xβ ∈ (ξ, ) or xβ ∈ (σ, ).
(c) xβ ∈ (ξ, ) ∩ (σ, ) ⇔ xβ ∈ (ξ, ) and xβ ∈ (σ, ).
(d) (ξ, ⊆ (σ, ) ⇔ xβ ∈ (ξ, ) ⇒ xβ ∈ (σ, ).

Definition 2.6 ([8]) A STS(X, , ) is soft regular if ∀(ξ, ) ∈ SC(X, ) and
∀xβ ∈ SP(X, ) such that xβ ∈ / (ξ, ), ∃(μ, ),(λ, ) ∈ such that xβ ∈
(μ, ),(ξ, ) ⊆ (λ, ) and (μ, )∩(λ, )=φ.

Definition 2.7 ([16]) A STS(X, , ) is soft almost regular if ∀(λ, ) ∈
SRC(X, ) and ∀xβ ∈ SP(X, ) such that xβ ∈ / (λ, ), ∃ soft sets (μ, ),(ν, ) ∈
such that xβ ∈ (μ, ), (λ, ) ⊆ (ν, ) and (μ, ) ∩ (ν, )=φ.

Definition 2.8 ([20]) A STS(X, , ) is soft s-regular if ∀(λ, ) ∈ SC(X, ) and
xβ ∈ SP(X, ) such that xβ ∈ / (λ, ), ∃(μ, ),(ν, ) ∈ SSO(X, ) such that
xβ ∈ (μ, ), (λ, ) ⊆ (ν, ) and (μ, ) ∩ (ν, )=φ.
Remark 2.2 ([16, 20]) The axiom soft regularity implies soft s-regularity and soft
almost regularity but any soft almost regular (resp. soft s-regular space) may fail to be
soft regular. The axiom soft almost regularity and soft s-regularity are independent.

Definition 2.9 ([8]) A STS(X, , ) is soft normal if ∀(ξ, ), (σ, ) ∈
SC(X, ) such that (ξ, ) ∩ (σ, )=φ, ∃(μ, ), (λ, ) ∈ such that (ξ, ) ⊆
(μ, ),(σ, ) ⊆ (λ, ) and (μ, )∩(λ, )=φ.

Definition 2.10 ([21]) A STS(X, , ) is soft almost normal if ∀(ξ, ) ∈
SC(X, )and(σ, ) ∈ SRC(X, ) such that (ξ, )∩(σ, )=φ, ∃(μ, ), (λ, ) ∈
such that (ξ, ) ⊆ (μ, ),(σ, ) ⊆ (λ, ) and (μ, )∩(λ, )=φ.

Definition 2.11 ([19]) A STS(X, , ) is soft s-normal if ∀(ξ, ), (σ, ) ∈
SC(X, ) such that (ξ, ) ∩ (σ, )=φ, ∃(μ, ), (λ, ) ∈ SSO(X, ) such that
(ξ, ) ⊆ (μ, ),(σ, ) ⊆ (λ, ) and (μ, )∩(λ, )=φ.
Remark 2.3 ([19, 21]) The axiom soft normality implies soft s-normality and soft
almost normality but any soft almost normal (resp. soft s-normal space) may fail to be
soft normal. The axiom soft almost normality and soft s-normality are independent.
Definition 2.12 ([7]) Let (ξ, )∈ S(X, ) and xβ ∈ SP(X,). Then (ξ, ) is called
the soft neighborhood of xβ , if ∃σ, )∈ such that xβ ∈ (σ, ) ⊆ (ξ, ).
3 Soft Almost s-Regular Spaces

Definition 3.1 A STS(X, , ) is called soft almost s-regular if ∀(λ, ) ∈
SRC(X, ) and xβ ∈ SP(X, ) such that xβ ∈ / (λ, ), ∃(μ, ), (ν, ) ∈
SSO(X, ) such that xβ ∈ (μ, ), (λ, ) ⊆ (ν, ) and (μ, ) ∩ (ν, )=φ.

Definition 3.2 A soft set (ξ, ) of a STS(X, , ) is said to be soft regular semi-
open if (ξ, )=sInt(sCl(ξ, )).

The family of all soft regular semi-open sets in a STS(X, , ) will be denoted
by SRSO(X, ).

Definition 3.3 In a STS(X, , ), (ξ, ) ∈ S(X, ) is called soft regular semi-
closed if (ξ, )c ∈ SRSO(X, ).

The family of all soft regular semi-closed sets in a STS(X, , ) is written as
SRSC(X, ).

Remark 3.1 In a STS(X, , ), the next statements are true:
(a) SRO(X, ) ⊆ SRSO(X, ) ⊆ SSO(X, ).

(b) SRC(X, ) ⊆ SRSC(X, ) ⊆ SSC(X, ).
It can be easily verified from examples that the reverse containments may be false.
∼
Example 3.1 Let X= {x1, x2 , x3 , x4 }, ={β1 , β2 } and (λ, ), (μ, )and (ν, ) be
defined as follows:
(λ, ) = {(β 1 }), (β
1 , {x 2 , {x2 , x3 })},
(μ, ) = β1 , x2, x3 ,(β2 , {x1 }) ,
(ν, ) = { β1 , x1 , x2, x3 , (β2 , {x1 , x 2 , x3 })}.
∼
Then STS(X, , )) where = φ, X, (λ, ), (μ, ), (ν, ) , (ν, ) ∈
SSO(X, ) but (ν, ) ∈ / SRSO(X, ).
Remark 3.2 The family and SRSO(X, ) are independent of

each other. In Example 3.1, (ν, ) ∈ but (ν, ) ∈/
SRSO(X,
) while (β 1 , {x 1 , x 4 ), β 2 , ({x 2 , x 3 , x 4 })} ∈ SRSO(X, ) but
(β1 , {x 1 , x 4 ), β2 , ({x 2 , x 3 , x 4 })} ∈
/ .

Theorem 3.1 For every soft set (ξ, ) of a STS(X, , ), sInt(sCl(ξ, )) ∈
SRSO(X, ).
Proof Since sCl(sInt(sCl(ξ, ))) ⊇ sInt(sCl(ξ, )), there-

fore, sInt(sCl(sInt(sCl(ξ, )))) ⊇ sInt(sInt(sCl(ξ, ))) =
sInt(sCl(ξ, )). Also, sCl(ξ, ) ⊇ sInt(sCl(ξ, )). Therefore, sCl(ξ, ) =
sCl(sCl(ξ, )) ⊇ sCl(sInt(sCl(ξ, ))). And so, sInt(sCl(ξ, )) ⊇
sInt(sCl(sInt(sCl(ξ, )))). Hence, sInt(sCl(ξ, )) ∈ SRSO(X, ).

Theorem 3.2 For every soft set (ξ, ) of a STS(X, , ), sCl(sInt(ξ, )) ∈
SRSC(X, ).
Remark 3.3 Theorem 2.1 and Remark 3.1. reveal that the axiom soft s-regularity as
well as soft almost regularity imply soft almost s-regularity. However, a soft almost
s-regular space may fail to be soft almost regular. For,
Example 3.2 Let X= {x1, x2 , x3 }, ={β1 , β2 } and (λ, ), (μ, )and(ν, ) be
defined as follows:
(λ, ) = {(β1 , {x1 }), (β2 , {x2 })},
(μ, ) = {(β1 , {x2 }), (β2 , {x1 })},
(ν, ) = {(β1 , {x1 , x2 }), (β2 , {x1 , x2 })}.
∼
Then STS (X, , ), where = φ, X, (λ, ), (μ, ), (ν, ) is soft almost
s-regular but not soft almost regular.
∼
Example 3.3 Let X={x1 , x 2 , x3 }, ={β1 , β2 } and (λ, ), (μ, ), (ν, )and(δ, )
be defined as follows:
(λ, ) = {(β1 , {x1 }), (β2 , {x2 })},
(μ, ) = {(β1 , {x3 }), (β2 , {x3 })},
(ν, ) = {(β1 , {x1 , x3 }), (β2 , {x2, x 3 })},
(δ, ) = {(β1 , {x1 , x2 }), (β2 , {x1 , x 2 })}.
∼
Then STS (X, , ), where = φ, X, (λ, ), (μ, ), (ν, ), (δ, ) is
soft almost regular but not soft s-regular. The following theorem gives several
characterizations for soft almost s-regular spaces.

Theorem 3.3 The following statements are equivalent for a STS(X, , ):
(a) (X, , ) is soft almost s-regular.

(b) For every xβ ∈ SP(X, ) and (λ, ) ∈ SRO(X, ) with xβ ⊆
(λ, ), ∃(μ, ) ∈ SRSO(X, ) such that xβ ∈ (μ, ) ⊆ sCl(μ, ) ⊆ (λ, ).
(c) (ξ, ) = (ν, ) : (ν, ) ∈ SSO SRSC (X, ) and (ξ, ) ⊆ (ν, ) ,
∀(ξ, ) ∈ SRC(X, ).
(d) (ξ, ) = (ν, ) : (ν, ) ∈ SSO SSC (X, ) and (ξ, ) ⊆ (ν, ) ,
∀(ξ, ) ∈ SRC (X, ).
(e) For every soft set (ν, )and(ψ, ) ∈ SRO(X, ) such that (ν, )∩(ψ, ) = φ,
∃(ρ, ) ∈ SSO(X, ) such that (ν, ) ∩ (ρ, ) = φ and sCl(ρ, ) ⊆ (ψ, ).
(f) For every soft set (ν, ) = φ and (ψ, ) ∈ SRC(X, ) such that (ν, ) ∩
(ψ, ) = φ, ∃(ρ, ), (δ, ) ∈ SSO(X, ) such that (ρ, ) ∩ (δ, ) =
φ, (ρ, ) ∩ (ν, ) = φ and (ψ, ) ⊆ (δ, ).
Proof (a)⇒(b) Let (λ, ) ∈ SRO(X, ) such that xβ ⊆ (λ, ). Then
(λ, )c ∈ SRC (X, ) and xβ ∈ / (λ, )c . Since (X, , ) is soft almost s-regular,
∃(χ , ), (ϑ, ) ∈ SSO(X, ) such that xβ ∈ (ϑ, ), (λ, )c ⊆ (χ , ) and (χ , )∩
(ϑ, ) = φ. Since (ϑ, )⊆ (χ , )c and (χ , )c ∈ SSC(X, ), sCl(ϑ, ) ⊆
(χ , )c . This gives xβ ∈ (ϑ, ) ⊆ sCl(ϑ, ) ⊆ (λ, ). Again, (ϑ, ) ⊆
sInt(sCl(ϑ, )) ⊆ sCl(ϑ, ) ⊆ (λ, ). Let (μ, ) = sInt(sCl(ϑ, )). Then
(ϑ, ) ⊆ (μ, ) ⊆ sCl(μ, ) ⊆ sCl(ϑ, ) ⊆ (λ, ). Now (μ, ) ∈ SRSO(X, )
such that xβ ∈ (μ, ) ⊆ sCl(μ, ) ⊆ (λ, ).
(b)⇒(c) Suppose (ξ, ) ∈ SRC (X, ) and xβ ∈ / (ξ, ). Then, (λ, ) =
(ξ, )c ∈ SRO(X, ) and xβ ∈ (λ, ). By (b), ∃(ϑ, ) ∈ SRSO(X, ) such
that xβ ∈ (ϑ, ) ⊆ sCl(ϑ, ) ⊆ (λ, ). The soft set (ϑ, )c ∈ SRSC(X, ) and
(ϑ, )c ⊇ (sCl(ϑ, ))c ⊇ (ξ, ). Consequently, (ϑ, )c is a soft regular semi-closed
semi nbd of (ξ, ) with xβ ∈/ (ϑ, )c . Hence (c) holds.
(c)⇒(d) It follows from the fact that SRSC(X, ) ⊆ SSC(X, ).
(d)⇒(e) Suppose (ν, ) ∩ (ψ, ) = φ where (ψ, ) ∈ SRO(X, ). Let xβ ∈
(ν, ) ∩ (ψ, ). Since (ψ, )c ∈ SRC (X, ) such that xβ ∈ / (ψ, )c , ∃(λ, ) ∈
SSC(X, ) ∩ SSO(X, ) such that (ψ, ) ⊆ (λ, ) and xβ ∈
c
/ (λ, ). Let
(ϑ, ) ∈ SSO(X, ) for which (ψ, )c ⊆ (ϑ, ) ⊆ (λ, ). Then (ρ, ) =
(λ, )c ∈ SSO(X, ) which contains xβ and so (ρ, ) ∩ (ν, ) = φ. Also,
(ϑ, )c ∈ SSC(X, ) , sCl(ρ, ) = sCl(λ, )c ⊆ (ϑ, )c ⊆ (ψ, ).
(e)⇒(f) Let (ν, ) ∩ (ψ, ) = φ where (ν, ) = φ and (ψ, ) ∈ SRC (X, )
then (ν, ) ∩ (ψ, )c = φ and (ψ, )c ∈ SRO(X, ).Therefore by(e), ∃(ρ, ) ∈
SSO(X, ) such that (ν, ) ∩ (ρ, ) = φ and(ρ, ) ⊆ sCl(ρ, ) ⊆ (ψ, )c .
Put (δ, ) = (sCl(ρ, ))c . Then (ψ, ) ⊆ (δ, ).Consequently, (ρ, ), (δ, ) ∈
SSO(X, ) such that (ρ, )∩(δ, ) = φ, (ρ, )∩(ν, ) = φ and (ψ, ) ⊆ (δ, ).
(f) ⇒ (a)Let(λ, ) ∈ SRC(X, ) and xβ ∈ SP(X, ) such that xβ ∈ / (λ, ).
Clearly , x β ∩ (λ, )=φ. Therefore by (f), ∃(ρ, ), (δ, ) ∈ SSO(X, ) such that
(ρ, )∩(δ, ) = φ, (ρ, )∩xβ = φ and(λ, ) ⊆ (δ, ). Clearly , (ρ, )∩xβ = φ

implies xβ ∈ (ρ, ). Hence by Definition 3.1, STS(X, , ) is soft almost s-regular.
4 Soft Almost s-Normal Spaces

Definition 4.1 A STS(X, , ) is called soft almost s-normal if ∀(λ, ) ∈
SC(X, ) and (μ, ) ∈ SRC (X, ) such that (λ, ) ∩ (μ, ) =
φ, ∃(δ, ),(ν, ) ∈ SSO(X, ) such that (λ, ) ⊆ (δ, ),(μ, ) ⊆ (ν, ) and
(δ, ) ∩ (ν, ) = φ.
Remark 4.1 The axiom soft s-normality implies soft almost s-normality, but any
soft almost s-normal space may fail to be soft s-normal. For,
∼
Example 4.1 Let X= {x1 , x 2 , x3 , x4 , x 5 }, = {β} and
(λ, ), (μ, ), (ν, )(δ, ), (χ , ), (ψ, ), (ω, ) and (κ, ) be defined as
follows: (λ, ) = {(β, {x1 , x 2 , x3 , x4 })},
(μ, ) = {(β, {x1 , x 2 , x3 })},
(ν, ) = {(β, {x1 , x 2 , x3 , x4 , x5 })},
(δ, ) = {(β, {x2 , x3 , x4 })},
(χ , ) = {(β, {x2 , x3 })},
(ψ, ) = {(β, {x2 , x4 , x5 })},
(ω, ) = {(β, {x2 , x4 })},
(κ, ) = {(β, {x2 })}.
∼
Then the STS(X, , ), where = φ, X, (λ, ), (μ, ), (ν, ), (δ, ),
(χ , ), (ψ, ), (ω, ), (κ, ) , is soft almost s-normal. For (X, , ), being the
only soft regular closed set, each non-empty soft closed set in (X, , ) intersects

with (X, , ). But the STS(X, , ) is not soft s-normal. For {β, {x 1 }} and {β, {x 5 }}
are disjoint soft closed sets but each
soft semi-open
set containing {β, {x 1 }} meets
each soft semi-open set containing β, {x 5 } .
Remark 4.2 The axiom soft almost normality implies soft almost s-normality but
any soft almost s-normal space may fail to be soft almost normal. For,
Example 4.2 Let X={x1 , x 2 , x3 , x4 }, = {β} and (λ, ), (μ, ), (ν, ), (δ, ),
(ψ, ) and (ω, ) be defined as follows: (λ, ) = {(β, {x1 , x 2 , x3 })},
(μ, ) = {(β, {x1 , x 2 })},
(ν, ) = {(β, {x2 , x 3 })},
(δ, ) = {(β, {x2 })},
(ψ, ) = {(β, {x2 , x3 , x4 })},
(ω, ) = {(β, {x3 })}.
∼
Then, STS(X, , ), where = φ, X, (λ, ), (μ, ), (ν, ), (δ, ), (ψ, ),
(ω, ) is soft almost s-normal but not soft almost normal.
Remark 4.3 The axioms of almost normality and soft s-normality are independent.
For,
Example 4.3 Let X={x1 , x 2 , x3 }, = {β1 , β2 } and (λ, ), (μ, )and(ν, ) be
defined as follows:
(λ, ) = {(β1 , {x1 }), (β2 , {x1 })},
(μ, ) = {(β1 , {x1 , x2 }), (β2 , {x1 , x2 })},
(ν, ) = {(β1 , {x1 , x3 }), (β2 , {x1 , x3 })}.
∼
Then STS(X, , ) , where = φ, X, (λ, ), (μ, ), (ν, ) , is soft almost
normal but not soft s-normal.
Example 4.4 Let X = {x1 , x 2 , x3 , x4 }, = {β1 , β2 } and

(λ, ), (μ, ), (ν, ), (δ, ),(ψ, )and(ω, ) be defined as follows:
(λ, ) = {(β1 , {x1 }), (β2 , {x1 })},

(μ, ) = {(β1 , {x1 , x2 , x3 }), (β2 , {x1 , x2 , x3 })},
(ν, ) = {(β1 , {x1 , x2 }), (β2 , {x1 , x2 })},
(δ, ) = {(β1 , {x2 }), (β2 , {x2 })},
(ψ, ) = {(β1 , {x2 , x3 , x4 }), (β2 , {x2 , x3 , x4 })},
(ω, ) = {(β1 , {x3 }), (β2 , {x3 })}.
∼
Then STS(X, , ), where = φ, X, (λ, ), (μ, ), (ν, ), (δ, ), (ψ, ),
(ω, ) , is soft s-normal but not soft almost normal.
The following theorem gives several characterizations for soft almost s-normal
spaces.

Theorem 4.1 The following statements are equivalent for a STS(X, , ):
(a) (X, , ) is soft almost s-normal.
(b) For every (ν, ) ∈ SC(X, ) and (ψ, ) ∈ SRO(X, ) such that (ν, ) ⊆
(ψ, ), ∃(ϑ, ) ∈ SSO (X, ) such that(ν, ) ⊆ (ϑ, ) ⊆ sCl(ϑ, ) ⊆
(ψ, ).
(c) For every (ν, ) ∈ SRC (X, ) and (ψ, ) ∈ such that (ν, ) ⊆
(ψ, ), ∃(ϑ, ) ∈ SSO (X, ) such that (ν, ) ⊆ (ϑ, ) ⊆ sCl (ϑ, ) ⊆
(ψ, ).
Proof (a)⇒(b) Let (ν, ) ∈ SC(X, )and(ψ, ) ∈ SRO(X, ) such that
(ν, ) ⊆ (ψ, ). Then (ν, ) ∩ (ψ, )c = φ, where (ν, ) ∈ SC(X, )
and (ψ, )c ∈ SRC (X, ). Therefore, ∃(ϑ, ), (λ, ) ∈ SSO(X, ) such that
(ν, ) ⊆ (ϑ, ),(ψ, )c ⊆ (λ, ) and (ϑ, ) ∩ (λ, ) = φ. Then (ν, ) ⊆
(ϑ, ) ⊆ (λ, )c ⊆ (ψ, ). Now (λ, )c ∈ SSC(X, ) so it follows that
(ν, ) ⊆ (ϑ, ) ⊆ sCl(ϑ, ) ⊆ (ψ, ).
(b)⇒(c) Let (ν, ) ∈ SRC(X, ) and (ψ, ) ∈ such that (ν, ) ⊆ (ψ, ).
Then (ψ, )c ⊆ (ν, )c . Now (ν, )c ∈ SRO(X, ) and (ψ, )c ∈ SC(X, )
such that (ψ, )c ⊆ (ν, )c , ∃(μ, ) ∈ SSO(X, ) such that (ψ, )c ⊆ (μ, ) ⊆
sCl(μ, ) ⊆ (ν, )c . Thus, (ν, ) ⊆ (sCl(μ, ))c ⊆ (μ, )c ⊆ (ψ, ). Let
(sCl(μ, ))c = (ϑ, ). Then (ϑ, ) ∈ SSO(X, ). And so, (ν, ) ⊆ (ϑ, ) ⊆
sCl(ϑ, ) ⊆ (ψ, ), since (μ, )c ∈ SSC(X, ) such that (ϑ, ) ⊆ (μ, )c .
(c)⇒(a) Let (ν, ) ∈ SC(X, ) and (ψ, ) ∈ SRC (X, ) such that (ν, ) ∩
(ψ, ) = φ. Then (ψ, ) ⊆ (ν, )c . And so ∃(ϑ, ) ∈ SSO(X, ) such that
(ψ, ) ⊆ (ϑ, ) ⊆ sCl(ϑ, ) ⊆ (ν, )c . Let (sCl(ϑ, ))c = (λ, ). Then , (λ, ) ∈
SSO(X, ) such that (ν, ) ⊆ (λ, ) with (ψ, ) ⊆ (ϑ, ) and (ϑ, )∩(λ, ) = φ.
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Algebraic Properties of Spherical Fuzzy
Sets
P. A. Fathima Perveen and Sunil Jacob John
Abstract The spherical fuzzy set (SFS) is an advanced version of fuzzy set, intu-
tionistic fuzzy set, Pythagorean fuzzy set, and picture fuzzy set. This generalized
three dimensional fuzzy set model is more realistic and accurate. In this paper, we
discuss the algebraic operations on SFSs such as union, intersection, complement,
algebraic sum, algebraic product, exponentiation operation, and scalar multiplication
operation. Also, we prove some fundamental algebraic properties of these operations.
Keywords Fuzzy sets · Spherical fuzzy sets · Algebraic structures of spherical

fuzzy sets
1 Introduction
Fuzzy set theory, introduce by Zadeh [11], is one of the most powerful techniques for
tackling multi-attribute decision-making problems due to the challenges of obtaining
sufficient and accurate data for practical decision-making due to the vagueness and
ambiguity of socioeconomics. However, sometimes there are flaws and limitations
in fuzzy set theory when it comes to dealing with the task at hand in a more objective
way. Fuzzy sets are a more advanced version of classical sets that have a membership
grade for each element. To resolve some of the difficulties of fuzzy sets, Atanassov
[2] developed intuitionistic fuzzy sets. Also, many other fuzzy set generalizations
have been proposed, such as interval-valued intuitionistic fuzzy sets [3], Pythagorean
fuzzy sets [10], picture fuzzy sets [4], and so on. Recently, Ashraf et al. [1] proposed
spherical fuzzy set (SFS) as a generalization of picture fuzzy set, with each element
having three membership degrees: positive, neutral, and negative.
P. A. Fathima Perveen (B) · S. J. John

Department of Mathematics, National Institute of Technology Calicut, Kerala Calicut-673 601,
India
e-mail: perveenpa@gmail.com
S. J. John
e-mail: sunil@nitc.ac.in
https://doi.org/10.1007/978-981-99-0597-3_28
404 P. A. Fathima Perveen and S. J. John
Nowadays, research on these sets has become extremely fruitful, yielding numer-
ous significant theoretical and practical results. Luca and Termini [5] proposed alge-
braic properties of the class of fuzzy sets and stated that the class of generalized
characteristic function equipped with the lattice operation suggested by Zadeh is a
Brouwerian lattice. Tanaka et al. [7] studied the algebraic properties of fuzzy sets
under the operations bounded sum and bounded difference. A new idea of complex
intuitionistic fuzzy subgroups was proposed by Gulzar et al. [6]. Silambarasan et al.
[9] researched the algebraic operations on Pythagorean fuzzy matrices. Silambarasan
[8] also studied some algebraic operations of the Picture fuzzy sets.
The objective of this paper is to present certain algebraic properties for SFSs. The
spherical fuzzy model, which stands out for having a massive region of participation
of admissible triplets, is more adaptable than the previous fuzzy set models in that
it widens the field of uncertain and ambiguous information. Therefore, discussing
algebraic properties on SFSs is critical for their theoretical and practical advance-
ment. The remainder of the paper is organized in the following manner. Section 2
revisits some fundamental concepts of fuzzy sets and spherical fuzzy sets, as well as
redefines the definitions of spherical fuzzy union and spherical fuzzy intersection. In
Sect. 3, some algebraic properties of SFSs are proved based on the algebraic oper-
ations such as union, intersection, complement, algebraic sum, algebraic product,
scalar multiplication, and exponentiation. Finally, Sect. 4 concludes the work with
recommendations for future work.
2 Preliminaries
We review the fundamental notions of spherical fuzzy sets in this section and provide
new definitions for spherical fuzzy intersection and union.
Definition 1 [11] Let Σ be the universal set of discourse. A fuzzy set ℵ on Σ
is an object of the form ℵ = {(, μℵ ())| ∈ Σ}, where μℵ : Σ → [0, 1] is the
membership function of ℵ, the value μℵ () is the grade of membership of in ℵ.
Definition 2 [1] A spherical fuzzy set (SFS) ℵ over Σ can be expressed as ℵ =
{(, μℵ (), ηℵ (), ϑℵ ())| ∈ Σ}, where μℵ (), ηℵ () and ϑℵ () are the functions
defined from Σ to [0,1], are called the membership functions (positive, neutral, and
negative respectively) of ∈ Σ, with the condition 0 ≤ μ2ℵ () + ηℵ2 () + ϑℵ2 () ≤
1, ∀ ∈ Σ.
Definition 3 [1] Let ℵ and Ω be two SFSs over the universe Σ, where ℵ =
{(, μℵ (), ηℵ (), ϑℵ ())| ∈ Σ} and Ω = {(, μΩ (), ηΩ (), ϑΩ ())| ∈ Σ}.
Then ℵ is said to be a spherical fuzzy subset of Ω, denoted by ℵ ⊆ Ω, if μℵ () ≤
μΩ (), ηℵ () ≤ ηΩ (), ϑℵ () ≥ ϑΩ (), ∀ ∈ Σ.
Definition 4 [1] Let ℵ = {(, μℵ (), ηℵ (), ϑℵ ())| ∈ Σ} be a SFS over Σ. Then
the complement of ℵ is a SFS, denoted by ℵc , is defined as ℵc = {(, ϑℵ (), ηℵ (),
μℵ ())| ∈ Σ}.
Algebraic Properties of Spherical Fuzzy Sets 405
Definition 5 Let ℵ = {(, μℵ (), ηℵ (), ϑℵ ())| ∈ Σ} and Ω=

{(, μΩ (), ηΩ (), ϑΩ ())| ∈ Σ} be two spherical fuzzy sets over Σ. Then
(1) The spherical fuzzy union (modified), denoted as ℵ ˜ Ω, is defined by
= ℵ ˜ Ω = {(, μ (), η (), ϑ ())| ∈ Σ}, where
μ () =μℵ () ∨ μΩ ()
ηℵ () ∨ ηΩ () ; if (μℵ () ∨ μΩ ())2 + (ηℵ () ∨ ηΩ ())2 + (ϑℵ () ∧ ϑΩ ())2 ≤ 1
η () =
ηℵ () ∧ ηΩ () ; otherwise
ϑ () = ϑℵ () ∧ ϑΩ ()
(2) The spherical fuzzy intersection (modified), denoted as, ℵ ˜ Ω, is defined by
= ℵ ˜ Ω = {(, μ (), η (), ϑ ())| ∈ Σ}, where
μ () = μℵ () ∧ μΩ ()
ηℵ () ∨ ηΩ () ; if (μℵ () or μΩ ()) = 1
η () =
ηℵ () ∧ ηΩ () ; otherwise
ϑ () = ϑℵ () ∨ ϑΩ ()
Where the symbols “∨” and “∧” denote the maximum and minimum operations,
respectively.
Definition 6 [1] Let ℵ and Ω be two SFSs over Σ. Then the algebraic sum and
algebraic product of ℵ and Ω, denoted by, ℵ Ω and ℵ Ω respectively, defined
as follows

1. ℵ Ω = {(, μ2ℵ () + μ2Ω () − μ2ℵ ()μ2Ω (), ηℵ ()ηΩ (), ϑℵ ()ϑΩ ())| ∈ Σ}.

2. ℵ Ω = {(, μℵ ()μΩ (), ηℵ ()ηΩ (), ϑℵ2 () + ϑΩ
2 () − ϑ 2 ()ϑ 2 ()| ∈ Σ}.
ℵ Ω
Definition 7 [1] Let ℵ be any SFS over Σ. Then the scalar multiplication operation
and the exponentiation operation of Σ, denoted by, nℵ and ℵn respectively, where n
denotes the natural number, is defined as follows

1. nℵ = {(, 1 − (1 − μ2ℵ ())n , ηℵn (), ϑℵn ())| ∈ Σ}

2. ℵn = {(, μnℵ (), ϑℵn (), 1 − (1 − ϑℵ2 ())n )| ∈ Σ}
Example 1 Let ℵ = {(1 , 0.8, 0.3, 0.2), (2 , 0.4, 0.5, 0.3), (3 , 0.9, 0.1, 0.2)} and
Ω = {(1 , 0.7, 0.4, 0.5), (2 , 0.3, 0.6, 0.4), (3 , 0.7, 0.3, 0.4)} be two SFSs over the
universe Σ = {1 , 2 , 3 }. Then
ℵc = {(1 , 0.2, 0.3, 0.8), (2 , 0.3, 0.5, 0.4), (3 , 0.2, 0.1, 0.9)}
ℵ ˜ Ω = {(1 , 0.8, 0.4, 0.2), (2 , 0.4, 0.6, 0.3), (3 , 0.9, 0.3, 0.2)}
ℵ ˜ Ω = {(1 , 0.7, 0.3, 0.5), (2 , 0.3, 0.5, 0.4), (3 , 0.7, 0.1, 0.4)}
ℵ Ω = {(1 , 0.90, 0.12, 0.10), (2 , 0.49, 0.30, 0.12), (3 , 0.95, 0.03, 0.08)}
ℵ Ω = {(1 , 0.56, 0.12, 0.53), (2 , 0.12, 0.30, 0.49), (3 , 0.63, 0.03, 0.44)}
Suppose n = 3, then
3ℵ = {(1 , 0.976, 0.027, 0.008), (2 , 0.638, 0.125, 0.027), (3 , 0.996, 0.001, 0.008)}
ℵ3 = {(1 , 0.512, 0.027, 0.339), (2 , 0.064, 0.125, 0.496), (3 , 0.729, 0.001, 0.339)}
3 The Algebraic Structures of Spherical Fuzzy Sets
In this section, we establish some fundamental algebraic properties of spherical fuzzy

sets (SFSs). Let S F S(Σ) be the collection of all SFSs over the universe Σ.
Also, for simplicity we use ℵ = (μℵ , ηℵ , ϑℵ ) to denote ℵ = {(, μℵ (), ηℵ (),
ϑℵ ())| ∈ Σ}
Theorem 1 Suppose that ℵ, Ω ∈ S F S(Σ). Then ℵ Ω ⊆ ℵ Ω

Proof We have, ℵ Ω = ( μ2ℵ + μ2Ω − μ2ℵ μ2Ω , ηℵ ηΩ , ϑℵ ϑΩ ) and ℵ Ω =

(μℵ μΩ , ηℵ ηΩ , ϑℵ2 + ϑΩ2 − ϑℵ2 ϑΩ2 )

It can be easily verified that μ2ℵ + μ2Ω − μ2ℵ μ2Ω ≥ μℵ μΩ

That is, if μ2ℵ + μ2Ω − μ2ℵ μ2Ω ≤ μℵ μΩ
⇒ μ2ℵ + μ2Ω − μ2ℵ μ2Ω ≤ μ2ℵ μ2Ω
⇒ μ2ℵ + μ2Ω − μ2ℵ μ2Ω − μ2ℵ μ2Ω ≤ 0
(1 − μ2Ω ) + μ2Ω (1 − μ2ℵ ) ≤ 0, it is a contradiction.
⇒ μ2ℵ
Thus μ2ℵ + μ2Ω − μ2ℵ μ2Ω ≥ μℵ μΩ

Similarly, ηℵ2 + ηΩ
2
− ηℵ2 ηΩ
2
≥ ηℵ ηΩ and ϑℵ2 + ϑΩ2 − ϑℵ2 ϑΩ2 ≥ ϑℵ ϑΩ
Therefore, μℵΩ μℵΩ , ηℵΩ ηℵΩ , and ϑℵΩ ≥ ϑℵΩ
⇒ℵΩ ⊆ℵΩ
Theorem 2 Let ℵ, Ω, ∈ S F S(Σ). Then

(1) ℵΩ =Ω ℵ
(2) ℵΩ =Ω ℵ
(3) (ℵ Ω) = ℵ (Ω )
(4) (ℵ Ω) = ℵ (Ω )
Proof Proof of (1) and (2) can be done directly. We prove only (3), (4) can be prove
in similar way.
We know, ℵ Ω = ( μ2ℵ + μ2Ω − μ2ℵ μ2Ω , ηℵ ηΩ , ϑℵ ϑΩ )
Now,

(ℵ Ω) = ( μ2ℵ + μ2Ω − μ2ℵ μ2Ω + μ2 − (μ2ℵ + μ2Ω − μ2ℵ μ2Ω )μ2 , (ηℵ ηΩ )η , (ϑℵ ϑΩ )ϑ )

= ( μ2ℵ + μ2Ω + μ2 − μ2ℵ μ2Ω − μ2ℵ μ2 − μ2Ω μ2 + μ2ℵ μ2Ω μ2 , ηℵ ηΩ η , ϑℵ ϑΩ ϑ )

= ( μ2ℵ + μ2Ω + μ2 − μ2Ω μ2 − μ2ℵ (μ2Ω + μ2 − μ2Ω μ2 ), ηℵ (ηΩ η ), ϑℵ (ϑΩ ϑ ))
= ℵ (Ω )
Theorem 3 Let ℵ, Ω ∈ S F S(Σ). Then

(1) (ℵ Ω)c = ℵc Ω c
(2) (ℵ Ω)c = ℵc Ω c
(3) (ℵ Ω)c ⊆ ℵc Ω c
(4) (ℵ Ω)c ⊇ ℵc Ω c
Proof We prove only (1) and (3). Other proofs can be done in similar way.

(1) ℵ Ω = ( μ2ℵ + μ2Ω − μ2ℵ μ2Ω , ηℵ ηΩ , ϑℵ ϑΩ )

(ℵ Ω)c = (ϑℵ ϑΩ ), ηℵ ηΩ , μ2ℵ + μ2Ω − μ2ℵ μ2Ω ) = ℵc Ω c

(3) (ℵ Ω)c = (ϑℵ ϑΩ , ηℵ ηΩ , μ2ℵ + μ2Ω − μ2ℵ μ2Ω ), and

ℵc Ω c = ( ϑℵ2 + ϑΩ2 − ϑℵ2 ϑΩ2 , ηℵ ηΩ , μℵ μΩ )

By Theorem 1, we have μ2ℵ + μ2Ω − μ2ℵ μ2Ω ≥ μℵ μΩ , ηℵ2 + ηΩ 2
− ηℵ2 ηΩ
2
≥

ηℵ ηΩ , and ϑℵ2 + ϑΩ2 − ϑℵ2 ϑΩ2 ≥ ϑℵ ϑΩ
⇒ μ(ℵΩ)c ≤ μℵc Ω c , η(ℵΩ)c ≤ ηℵc Ω c , and ϑ(ℵΩ)c ≥ ϑℵc Ω c
⇒ (ℵ Ω)c ⊆ ℵc Ω c
Theorem 4 Let ℵ, Ω ∈ S F S(Σ) and let n be any natural number. If ℵ ⊆ Ω, then

(1) nℵ ⊆ nΩ
(2) ℵn ⊆ Ω n
Proof We prove only (1). (2) can be prove using similar method.
Suppose that ℵ
⊆ Ω, which means μℵ ≤ μΩ , ηℵ ≤ ηΩ , and ϑℵ ≥ ϑΩ .
μℵ ≤ μΩ ⇒ 1 − (1 − μ2ℵ )n ≤ 1 − (1 − μ2Ω )n , ηℵ ≤ ηΩ ⇒ ηℵn ≤ ηΩ
n
, and ϑℵ ≥
ϑΩ ⇒ ϑℵ ≥ ϑΩ . Therefore, nℵ ⊆ nΩ.
n n
Theorem 5 Let ℵ, Ω ∈ S F S(Σ) and let n be any natural number. Then

(1) n(ℵ Ω) = nℵ nΩ
(2) (ℵ Ω)n = ℵn Ω n
Proof The proof of (1) is given as follows. (2) can be proved in similar way.
2 n
n(ℵ Ω) = 1− 1− μ2ℵ + μ2Ω − μ2ℵ μ2Ω , (ηℵ ηΩ )n , (ϑℵ ϑΩ )n

= 1 − (1 − μ2ℵ − μ2Ω + μ2ℵ μ2Ω )n , ηℵn ηΩ n
, ϑℵn ϑΩn

= 1 − (1 − μ2ℵ )n (1 − μ2ℵ )n , ηℵn ηΩ
n
, ϑℵn ϑΩn
= nℵ nΩ
Theorem 6 Let ℵ be a SFS over the universe Σ and let n 1 and n 2 be two natural
numbers. Then
(1) n 1 ℵ n 2 ℵ = (n 1 + n 2 )ℵ
(2) ℵn1 ℵn2 = ℵ(n 1 +n 2 )
Proof We prove
only (1). (2) can be proved in same method.
n1 ℵ n2 ℵ = 1 − (1 − μ2ℵ )n 1 + 1 − (1 − μ2ℵ )n 2 − (1 − (1 − μ2ℵ )n 1 )(1 − (1 − μ2ℵ )n 2 ),

ηℵn 1 ηℵn 2 , ϑℵn 1 ϑℵn 2

= 1 − (1 − μ2ℵ )n 1 +n 2 , ηℵn 1 +n 2 , ϑℵn 1 +n 2
= (n 1 + n 2 )ℵ
Theorem 7 Let ℵ, Ω ∈ S F S(Σ). Then

(1) (ℵ Ω) ˜ (ℵ Ω) = ℵ Ω
(2) (ℵ Ω) ˜ (ℵ Ω) = ℵ Ω
Proof The proof is direct from Theorem 1.
Theorem 8 Let ℵ, Ω, ∈ S F S(Σ). Then

(1) (ℵ ˜ Ω) = (ℵ ) ˜ (Ω )
(2) (ℵ ˜ Ω) = (ℵ ) ˜ (Ω )
Proof The proof of (1) is given as follows. (2) can be proved in similar way. Consider
the following cases.
Case 1 : If (μℵ () or μΩ ()) = 1, for every ∈ Σ. Then
ℵ ˜ Ω = (μℵ ∧ μΩ , ηℵ ∧ ηΩ , ϑℵ ∨ ϑΩ )

(ℵ ˜ Ω) = (μℵ ∧ μΩ )2 + μ2 − (μℵ ∧ μΩ )2 μ2 , (ηℵ ∧ ηΩ )η , (ϑℵ ∨ ϑΩ )ϑ

= μ2ℵ + μ2 − μ2ℵ μ2 ∧ μ2Ω + μ2 − μ2Ω μ2 , ηℵ η ∧ ηΩ η , ϑℵ ϑ ∨ ϑΩ ϑ
= (ℵ ) ˜ (Ω )
Case 2 : If (μℵ () or μΩ ()) = 1, for some ∈ Σ, say 0 .

Without loss of generality, assume that μℵ (0 ) = 1, then ηℵ (0 ) = ϑℵ (0 ) = 0
Thus, ℵ0 ˜ Ω0 = Ω0 ⇒ ((ℵ ˜ Ω) )0 = (Ω )0
Also, (ℵ )0 = ℵ0 ⇒ ((ℵ ) ˜ (Ω ))0 = (Ω )0
Implies that ((ℵ ˜ Ω) )0 = ((ℵ ) ˜ (Ω ))0
Note that, In an SFS ℵ, if μℵ () = 1, ηℵ () = 0, and ϑℵ () = 0 ∀ ∈ Σ, then also
the result is true if we choose 0 as arbitrary in Case 2.
Therefore, we can conclude that in any case (ℵ ˜ Ω) = (ℵ ) ˜ (Ω )
Let S F S ∗ (Σ) be the collection of all SFSs over Σ, where for any two SFSs ℵ, Ω ∈
S F S ∗ (Σ), (μℵ () ∨ μΩ ())2 + (ηℵ () ∨ ηΩ ())2 + (ϑℵ () ∧ ϑΩ ())2 1,for every
∈ Σ.
Theorem 9 Let ℵ, Ω ∈ S F S ∗ (Σ). Then
(1) (ℵ ˜ Ω) (ℵ ˜ Ω) = ℵ Ω
(2) (ℵ ˜ Ω) (ℵ ˜ Ω) = ℵ Ω
Proof The proof of (1) is given below. (2) can be proved using similar steps. Consider
the following two cases.
Case 1: If (μℵ () or μΩ ()) = 1, for every ∈ Σ. Then

(ℵ ˜ Ω) (ℵ ˜ Ω) = (μℵ ∨ μΩ )2 + (μℵ ∧ μΩ )2 − (μℵ ∨ μΩ )2 (μℵ ∧ μΩ )2 ,

(ηℵ ∨ ηΩ )(ηℵ ∧ ηΩ ), (ϑℵ ∧ ϑΩ )(ϑℵ ∨ ϑΩ )

= μ2ℵ + μ2Ω − μ2ℵ μ2Ω , ηℵ ηΩ , ϑℵ ϑΩ
=ℵΩ
Case 2 : If (μℵ () or μΩ ()) = 1, for some ∈ Σ, say 0 .
Without loss of generality, assume that μℵ (0 ) = 1, then ηℵ (0 ) = ϑℵ (0 ) = 0
Thus, ℵ0 ˜ Ω0 = ℵ0 and ℵ0 ˜ Ω0 = Ω0
⇒ ((ℵ ˜ Ω) (ℵ ˜ Ω))0 = (ℵ Ω)0
Therefore, in any case (ℵ ˜ Ω) (ℵ ˜ Ω) = ℵ Ω
Theorem 10 Let ℵ, Ω, ∈ S F S ∗ (Σ). Then
(1) (ℵ ˜ Ω) = (ℵ ) ˜ (Ω )
(2) (ℵ ˜ Ω) = (ℵ ) ˜ (Ω )
Proof We prove
only (1). (2) can be proved in same method.
(ℵ ˜ Ω) = (μℵ ∨ μΩ )2 + μ2 − (μℵ ∨ μΩ )2 μ , (ηℵ ∨ ηΩ )η , (ϑℵ ∧ ϑΩ )ϑ

= (μ2ℵ + μ2 ) ∨ (μ2Ω + μ2 ) − (μ2ℵ μ2 ) ∨ (μ2Ω μ2 ), ηℵ η ∨ ηΩ η , ϑℵ ϑ ∧ ϑΩ ϑ

= (μ2ℵ + μ2 ) − μ2ℵ μ2 ∨ (μ2Ω + μ2 ) − μ2Ω μ2 , ηℵ η ∨ ηΩ η , ϑℵ ϑ ∧ ϑΩ ϑ
= (ℵ ) ˜ (Ω )
Definition 8 Let ℵ be any SFS over the universe Σ. Then the concentration of ℵ is
a SFS, denoted as ℵC O N , is defined by ℵC O N = ℵ2 . That is,

ℵC O N = μ2ℵ , ηℵ2 , 1 − (1 − ϑℵ2 )2
Definition 9 Let ℵ be any SFS over the universe Σ. Then the dilation of ℵ is a SFS,
denoted as ℵ D I L , is defined by ℵ D I L = ℵ1/2 . That is,

1/2 1/2
ℵ D I L = μℵ , ηℵ , 1 − (1 − ϑℵ2 )1/2
Theorem 11 Let ℵ ∈ S F S(Σ), then ℵC O N ⊆ ℵ ⊆ ℵ D I L

Proof We know that μℵ , ηℵ , ϑℵ ∈ [0, 1].
1/2
Thus, μ2ℵ ≤ μℵ ≤ μℵ
1/2
Similarly, ηℵ2 ≤ ηℵ ≤ ηℵ
Also, (1 − ϑℵ ) ≤ (1 − ϑℵ2 ) ≤ (1 − ϑℵ2 )1/2
2 2
⇒ 1− (1 − ϑℵ2 )2 ≥ 1 − (1 −ϑℵ2 ) ≥ 1 − (1 − ϑℵ2 )1/2

⇒ 1 − (1 − ϑℵ2 )2 ≥ ϑℵ ≥ 1 − (1 − ϑℵ2 )1/2
Therefore, ℵC O N ⊆ ℵ ⊆ ℵ D I L
4 Conclusion
In this paper, we have proved some algebraic properties of spherical fuzzy sets,
including commutativity, associativity, distributivity, absorption, etc. We also estab-
lished several theorems and defined new concentration and dilation of SFSs. These
results can be used in more applications of spherical fuzzy set theory. The results
of this research will be useful in the creation of the Picture fuzzy semilattice and
its algebraic property. The applicability of the suggested operators of SFSs in deci-
sion making, risk analysis, and many other uncertain and fuzzy environments can be
recommended as future work.
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Divergence Measures of Pythagorean
Fuzzy Soft Sets
T. M. Athira and Sunil Jacob John
Abstract This work initiates the study of divergence measures of Pythagorean fuzzy
soft sets (PFSSs). A couple of expressions to find PFSS divergence measures are
obtained, and thus we can quantify the deviation between any two PFSSs. Also,
certain theorems based on the properties of proposed expressions are proved.
Keywords Pythagorean fuzzy sets · Soft sets · Divergence measure
1 Introduction
Comparing descriptions of two objects and identifying the similarities or differences

between them are crucial in many real-life situations. The interrogation of model-
ing the process of such comparison was done by several researchers. For example,
inspired by the concept of divergence of probability distributions, Bhandari et al. [1]
introduced a notion of divergence for fuzzy sets. Divergence measures are the dif-
ferences between two generalized sets. Divergence measures are widely applied in a
variety of contexts, including decision-making, medical diagnosis, pattern recogni-
tion, and other applications. In pattern recognition problems, it is simpler to classify
and group patterns using divergence measures. The literature presents numerous
divergence measures for Fuzzy sets and Intuitionistic Fuzzy sets. The articles [2, 5,
10] study divergence measures in different contexts with relevant applications. The
divergence measure of Intuitionistic fuzzy sets was initially presented by Monte et
al. and characterizing the divergence for IFSs was crucial since it has applications
in many fields [2, 12]. For intuitionistic fuzzy information clustering, Liu et al. [13]
combined similarity and divergence measures. Thao [14] established divergence
measures for Intuitionistic fuzzy sets using the Archimedean t-conorm operators.
T. M. Athira (B) · S. J. John

Department of Mathematics, National Institute of Technology Calicut,
Calicut 673 601, Kerala, India
e-mail: athiratm999maths@gmail.com
https://doi.org/10.1007/978-981-99-0597-3_29
412 T. M. Athira and S. J. John
Zhou et al. [15] proposed a novel divergence measure for Pythagorean fuzzy set
using the belief function from Dempster–Shafer evidence theory.
Research on the theoretical and application point of view of soft sets and their
various generalizations is growing rapidly. In [9] Peng et al. introduced Pythagorean
fuzzy soft sets (PFSSs) as a blending of soft sets (SS) and Pythagorean fuzzy
sets(PFS). Interestingly, PFSS generalizes both SS and PFS. Recently, Athira et
al. [3, 4] initiated the study of the entropy and distance measures for PFSS. To the
best of the authors’ knowledge, very little work has been done on the theory of the
PFSS. Keeping the usefulness of PFSSs to look over the given data better than IFSS
or FSS, this article focused on divergence measures of PFSS. Divergence measure
quantifies the difference between any two PFSS. PFSS with lower divergence is
“more similar”. The axiomatic definition and a couple of expressions to calculate
PFSS divergence measures are proposed. Also, certain interesting theorems based
on properties of PFSS divergence measures are proved.
This paper contains two sections besides the introduction. Section 2 contains pre-
liminary definitions and results required for our entire discussion. In Sect. 3, we
introduce divergence measures for PFSSs. Some interesting properties of divergence
measures are obtained, and we propose certain nice examples for divergence mea-
sures for PFSSs. The TOPSIS method based on PFSS divergence measure for select-
ing the best-fitting alternative is proposed.
2 Preliminaries
This section explains the fundamental definitions needed for entire discussions. Here,
U represents the universal sets and E is the set of parameters.
Definition 1 [8] The pair (S, E) is said to be soft set over U if S is a mapping from
E to P(U), where P(U) is power set of U.
Definition 2 [11] A Pythagorean fuzzy set P on U is defined as the set

{(u, μ P (u), v P (u)) : u ∈ U} where μ P : U → [0, 1] and v P : U → [0, 1] with 0 ≤
μ2P + v 2P ≤ 1.
Definition 3 [9] A Pythagorean fuzzy soft set (PFSS) is defined as the pair (P, E)
such that P : E → PFS(U) and PFS(U) is the collection of all Pythagorean fuzzy
subsets of U.
Definition 4 [9] Let (P1 , E1 ) and (P2 , E2 ) be two PFSSs on U. Then

1. (P1 , E1 ) is a subset of (P2 , E2 ) if,
(a) E1 ⊆ E2
(b) for each ζ ∈ E1 , μP1 (ζ ) (u) ≤ μP2 (ζ ) (u) and vP1 (ζ ) (u) ≥ vP2 (ζ ) (u) ∀u ∈ U.
2. The complement of (P, E), i.e., (P, E)c = (Pc , E),
Divergence Measures of Pythagorean Fuzzy Soft Sets 413
3. The union of (P1, E1 ) and (P2 , E2 ), i.e., (P1 , E1 ) ∪ (P2 , E2 ) = (P,

E1 ∪ E2)
where P(ζ ) = u, max μP1 (u), μP2 (u) , min vP1 (u), vP2 (u) : u ∈ U
for each ζ ∈ E1 ∪ E2 .
4. The intersection of (P1 , E1 ) and (P2 , E2), i.e., (P1 , E1 ) (P ,E ) =
2 2
(P, E1 ∩ E2 ), P(ζ ) = u, min μP1 (u), μP2 (u) , max vP1 (u), vP2 (u) : u ∈ U
for each ζ ∈ E1 ∩ E2 .
3 Divergence Measure of Pythagorean Fuzzy Soft Sets
In this section, an axiomatic definition of PFSS divergence measure is proposed, and

a couple of expressions to find out divergence measures are identified.
Definition 5 Let (P, E), (Q, E) be two PFSS on with parameter set E. The PFSS
divergence measure, denoted as Div of two PFSSs, is a function from P F SS() → R
which satisfies the following conditions:
1. Div((P, E), (Q, E)) = Div((Q, E), (P, E))
2. Div((P, E), (Q, E)) = 0 iff (P, E) = (Q, E)
3. Div((P, E) (R, E), (Q, E) (R, E)) ≤ Div((P, E), (Q, E))∀(R, E) ∈ PFSS()
4. Div((P, E) (R, E), (Q, E) (R, E)) ≤ Div((P, E), (Q, E))∀(R, E) ∈ PFSS()
Theorem 1 The PFSS divergence measures are non-negative.
Proof From conditions 2 and 4, it is possible to obtain Div((P, E), (Q, E)) ≥
0 for any (P, E), (Q, E) ∈ PFSS(). Because, when (R, E) = ∅, Div((P, E)
(R, E), (Q, E) (R, E)) = Div(∅, ∅) = 0 from the condition 2. And so 0 ≤
Div((P, E), (Q, E)) from 4.
Theorem 2 Let (P, E), (Q, E) are two PFSSs over . For a PFSS divergence mea-
sure Div,
Div(P, E) (Q, E), (Q, E)) = Div(P, E), (P, E) (Q, E))
Div(P, E) (Q, E), (Q, E)) = Div(P, E), (P, E) (Q, E))
Proof From conditions 3 and 4 of definition, we have

Div(P, E) (Q, E), (Q, E)) = Div(P, E) (Q, E), ((P, E) (Q, E)) (Q, E))
≤ Div(P, E), (P, E) (Q, E))
= Div((P, E) (Q, E)) (P, E), (Q, E) (P, E))
≤ Div(P, E) (Q, E), (Q, E))
Thus, Div(P, E) (Q, E), (Q, E)) = Div(P, E), (P, E) (Q, E)).
Similarly,
Div(P, E), (P, E) (Q, E)) = Div((P, E) (Q, E)) (P, E), (Q, E) (P, E))
≤ Div(P, E) (Q, E), (Q, E))
= Div((P, E) (Q, E)), (P, E) (Q, E) (Q, E))
≤ Div(P, E), (P, E) (Q, E))
Thus, Div(P, E) (Q, E), (Q, E)) = Div(P, E), (P, E) (Q, E))
The following theorem gives some expressions for divergence measure.

Theorem 3 Let = {u 1 , u 2 , . . . u n } and E = {ζ1 , ζ2 , . . . , ζm }. Consider
(P, E), (Q, E) are two PFSSs. Then the following are divergence measure of
(P, E) and (Q, E).
⎧
⎪
⎪ 2μ2 u
⎪ P(ζ j ) i
⎪
⎪ μ 2
⎪
⎪ P(ζ ) u i log +
⎪
⎪ j μ 2 u +μ 2 u
⎪
⎪ P(ζ j ) i Q(ζ j ) i
⎪
⎪
⎪
⎪
⎪
⎪ 2ν 2 u
⎪
⎪ P(ζ j ) i
⎪
⎪ 2
⎪
⎪ νP(ζ u log +
⎪
⎪ j) i ν 2 u + ν 2 u if μP(ζ ) u i = 0,
n m ⎪ ⎪ P(ζ j ) i Q(ζ j ) i
1 ⎨
j

Div1 ((P, E), (Q, E)) =
⎪ 2μ2 u &νP(ζ ) u i = 0 (1)
2mn
i=1 j=1 ⎪
⎪ Q(ζ j ) i j
⎪
⎪ μ 2 u log +
⎪ Q(ζ j ) i
⎪
⎪
⎪ μ2 u + μ2 u
⎪
⎪ Q(ζ j ) i P(ζ j ) i
⎪
⎪
⎪
⎪
⎪
⎪ 2ν 2 u
⎪
⎪ Q(ζ j ) i
⎪
⎪ 2
⎪ νQ(ζ ) u i log 2
⎪
⎪
⎪ j ν u + ν2 u
⎪
⎪ Q(ζ j ) i P(ζ j ) i
⎩
0 otherwise
⎧
⎪ 2 μ2P(ζ j ) (u i ) + μ2Q(ζ j ) (u i )
⎪
⎪ μ2P(ζ j ) (u i ) − μ2Q(ζ j ) (u i ) +
⎪
⎪ μ2P(ζ j ) (u i ) μ2Q(ζ j ) (u i )
⎪ if μP(ζ j ) (u i ) = 0,
1 ⎪
n m ⎨

Div2 ((P, E), (Q, E)) = 2 νP(ζ
2 (u i ) + νQ(ζ
2 (u i ) νP(ζ j ) (u i ) = 0
⎪ j) j)
j=1 ⎪
2mn νP(ζ
2
(u i ) − νQ(ζ
2
(u i )
i=1 ⎪
⎪ j) j)
⎪
⎪ νP(ζ
2
j)
(u i ) νQ(ζ
2
j)
(u i )
⎪
⎩
0 otherwise
(2)
Proof We will prove the necessary part of condition 2 and condition 3 for Divi , i =
1, 2. Condition 4 can be proved just like proof of condition 3, and the remaining parts
are trivial.
To prove necessary part of condition 2, Div1 ((P, E), (Q, E)) = 0 implies
⎛ ⎞
2μ2P(ζ j ) (u i )
μ2
⎜ P (ζ j ) i(u )
μ2P(ζ j ) (u i ) + μ2Q(ζ j ) (u i ) ⎟
log
⎜ ⎟
⎜ ⎟=0 (3)
⎜ 2μ2Q(ζ j ) (u i ) ⎟
⎝ ⎠
+μQ(ζ j ) (u i ) log 2
2
μP(ζ j ) (u i ) + μQ(ζ j ) (u i )
2
Suppose there exist an ζ j0 and u i0 such that μP(ζ j0 ) (u i0 )) = μQ(ζ j0 ) (u i0 )).

2μ2P(ζ
j0 )
(u i 0 )
Then > 0 and = 1.
μ2P(ζ )
j0
(u i0 )+μ2Q(ζ j0 ) (u i0 )

2μ2P(ζ ) u i0
We have the expression 1 − 1
< log a, ∀a > 0, a = 1. Take a = μ2P(ζ
0 2
j

) u i 0 +μQ(ζ ) u i 0
a
j0 j0
μ2P(ζ ) (u i 0 )+μQ(ζ ) (u i 0 ) ) (u i 0 )
2
2μ2P(ζ
then, 1 − j0 j0
< log μ2 j0
.
2μ2P(ζ
j0 )
(u i 0 ) P(ζ j )
0
(u i0 )+μ2Q(ζ j0 ) (u i0 )
That is,

1 2μ2P(ζ j ) u i0
μ2P(ζ j ) u i0 − μ2Q(ζ j ) u i0 < μ2P(ζ j ) u i0 log 2 0
2 0 0 0 μP(ζ j ) u i0 + μ2Q(ζ j ) u i0
0 0
(4)
Similarly,

1 2μ2Q(ζ j ) u i0
μQ(ζ j ) u i0 − μP(ζ j ) u i0 < μQ(ζ j ) u i0 log 2
2 2 2
0

2 0 0 0 μP(ζ j ) u i0 + μ2Q(ζ j ) u i0
0 0
(5)
By adding Eqs. 4 and 5, we get
⎛ ⎞
2μ2P(ζ j ) u i0
⎜ μ2P(ζ j ) (u i ) log 2 0 2 +⎟
⎜ μ u i0 + μQ(ζ j ) u i0 ⎟
⎜ P(ζ ) ⎟
⎟ > 0.
j0
⎜ 0
⎜ 2μ 2
u ⎟
⎝ μ2
Q(ζ j0 ) i 0
⎠
Q(ζ j0 ) u i 0 log 2
μP(ζ j ) u i0 + μQ(ζ j ) u i0
2
0 0
Thus, from Eq. 3, we get a contradiction. Hence, μP(ζ j ) (u i )) = μQ(ζ j ) (u i )), ∀i, j. and
similar way, we get νP(ζ j ) (u i )) = νQ(ζ j ) (u i )), ∀i, j. Thus Div1 ((P, E), (Q, E)) = 0
implies (P, E) = (Q, E). Now, Div2 ((P, E), (Q, E)) = 0. Since each term is posi-
tive we can conclude that
2 2
μ2P(ζ j ) (u i ) − μ2Q(ζ j ) (u i ) = 0 and νP(ζ
2
j)
(u i ) − νQ(ζ
2
j)
(u i ) ∀i, j.
Hence μP(ζ j ) (u i ) = μQ(ζ j ) (u i ) and νP(ζ j ) (u i ) = νQ(ζ j ) (u i ).
Thus, Div2 ((P, E), (Q, E)) = 0 implies (P, E) = (Q, andE).
Now, we will prove the condition 3, i.e.,

Divi ((P, E) (R, E), (Q, E) (R, E)) ≤ Divi ((P, E), (Q, E)) ∀(R, E) ∈ P F SS(U ), i =
1, 2
μ
Let us denote Divi for the expression involving membership value only and
ν
Divi for the expression involving non-membership value only. Thus, Divi =
μ
Divi + Diviν , i = 1, 2.
For the case of Div1 , the expression is symmetric. So, it is enough to consider three
μ
cases for Div1 and for Divν1 .
1. Let μP(ζ j ) (u i ) ≤ μQ(ζ j ) (u i ) ≤ μ R (ζ j ) (u i ) for some u i and ζ j .

Then, μ2P R ζ (u i ) = μ2R ζ (u i ) and μ2Q R ζ (u i ) = μ2R(ζi ) (u i ).
( j) ( j) ( j)
μ μ
Div1 ((P, E) (R, E), (Q, E) (R, E)) = Div1 ((R, E), (R, E))
=0
μ
≤ Div1 ((P, E), (Q, E)) ∀(R, E) ∈ PFSS().
2. μP(ζ j ) (u i ) ≤ μ R (ζ j ) (u i ) ≤ μQ(ζ j ) (u i ) for some u i and ζ j .
Then μ2P R ζ (u i ) = μ2R ζ (u i ) and μ2Q R ζ (u i ) = μ2Q ζ (u i ).
( j) ( j) ( j) ( j)
μ μ
Div1 ((P, E) (R, E), (Q, E) (R, E)) = Div1 ((R, E), (Q, E)).
2 2
For a function f (x) = x 2 log a 22x+x 2 + a 2 log a 2a+x 2 , a, x ∈ (0, 1], x ≤ a, we have
2
f x = 2x log a 22x+x 2 ≤ 0. Thus for any y ∈ (0, 1] such that y ≤ x, f (y) ≥ f (x).
Here, take a = μ2Q ζ (u i ), x = μ2R ζ (u i ) , and y = μ2P ζ (u i ) then we get
( j) ( j) ( j)
the required inequality.
3. μ R (ζ j ) (u i ) ≤ μP(ζ j ) (u i ) ≤ μQ(ζ j ) (u i ) for some u i and ζ j
μ2P R ζ (u i ) = μ2P ζ (u i ) and μ2Q R ζ (u i ) = μ2Q ζ (u i )
( ) j ( ) j ( ) j ( ) j
Thus, Divμ1 ((P, E) (R, E), (Q, E) (R, E)) = Divμ1 ((P, E), (Q, E)).
For the case of Div2 , the expression is symmetric. So, it is enough to consider three
cases for Divμ2 and for Divν2 .
1. μP(ζ j ) (u i ) ≤ μQ(ζ j ) (u i ) ≤ μ R (ζ j ) (u i ) for some u i and ζ j .
Then, μ2P R ζ (u i ) = μ2R ζ (u i ) and μ2Q R ζ (u i ) = μ2R(ζi ) (u i )
( j) ( j) ( j)
Thus,
μ μ
Div1 ((P, E) (R, E), (Q, E) (R, E)) = Div1 ((R, E), (R, E))
=0
μ
≤ Div1 ((P, E), (Q, E)) ∀(R, E) ∈ PFSS().
2. μP(ζ j ) (u i ) ≤ μ R (ζ j ) (u i ) ≤ μQ(ζ j ) (u i ) for some u i and ζ j .
Then, μ2P R ζ (u i ) = μ2R ζ (u i ) and μ2Q R ζ (u i ) = μ2Q ζ (u i ).
( j) ( j) ( j) ( j)
Consider the function f (x) = a12 + x12 for a given a ∈ (0, 1] and for all x ∈ [a, 1].
Since f (x) ≤ 0, f (x) is non-increasing function.
Here, take a = μQ(ζ j ) (u i ) and we have μP(ζ j ) (u i ) ≤ μ R (ζ j ) (u i ) that implies

μ2 (u i )+μ2 (u i ) μ2P(ζ ) (u i )+μ2Q(ζ ) (u i )
R (ζ j ) Q(ζ j )
μ2 (u )μ2 (u )
≤ μ2
j
(u )μ2
j
R(ζ j ) i Q(ζ j ) i P(ζ j ) i Q(ζ j )
2 2
Also, μ2R ζ (u i ) − μ2Q ζ (u i ) ≤ μ2P ζ (u i ) − μ2Q(ζ j ) (u i ) .
( j) ( j) ( j)
Thus, the required inequality holds in this case also.
3. μ R (ζ j ) (u i ) ≤ μP(ζ j ) (u i ) ≤ μQ(ζ j ) (u i ) for some u i and ζ j .
Thus μ2P R ζ (u i ) = μ2P ζ (u i ) and μ2Q R ζ (u i ) = μ2Q ζ (u i )
( j) ( j) ( j) ( j)
μ μ
Div1 ((P, E) (R, E), (Q, E) (R, E)) = Div1 ((P, E), (Q, E)). Similarly, we
μ
can prove the case of Diviν ,i = 1, 2. Since Divi = Divi + Diviν , we can conclude
the third condition of definition 5.
Hence, Divi , i = 1, 2 satisfy all the four conditions in definition 5, and thus
Divi , i = 1, 2 are divergence measure.
Example 1 The PFSSs (P1 , E), (P2 , E) and (P3 , E) over = {u 1 , u 2 , u 3 , u 4 , u 5 }

and E = {ζ1 , ζ2 , ζ3 , ζ4 } are given below.
u1 u2 u3 u4 u5
⎛ ⎞
(0.7, 0.3)
ζ1 (0.3, 0.8) (0.1, 0.8) (0.8, 0.6) (0.7, 0.7)
ζ2⎜ (0.0, 0.9) (0.6, 0.6) (0.2, 0.6) (0.9, 0.3) (0.2, 0.3) ⎟
(P1 , E) = ⎜ ⎟
ζ3⎝ (0.4, 0.7) (0.7, 0.3) (0.9, 0.1) (0.1, 0.3) (0.5, 0.9) ⎠
ζ4 (0.8, 0.2) (0.5, 0.7) (0.2, 0.8) (0.7, 0.3) (0.7, 0.5)
u1 u2 u3 u4 u5
⎛ ⎞
(0.4, 0.3)
ζ1 (0.4, 0.8) (0.1, 0.0) (0.9, 0.2) (0.2, 0.7)
ζ2⎜ (0.0, 0.9) (0.6, 0.4) (0.2, 0.6) (0.9, 0.3) (0.1, 0.3) ⎟
(P2 , E) = ⎝ ⎜ ⎟
ζ3 (0.2, 0.2) (0.7, 0.7) (0.6, 0.1) (0.1, 0.9) (0.2, 0.9) ⎠
ζ4 (0.8, 0.3) (0.3, 0.7) (0.2, 0.3) (0.8, 0.3) (0.8, 0.5)
u1 u2 u3 u4 u5
⎛ ⎞
(0.7, 0.1)
ζ1 (0.1, 0.9) (0.5, 0.8) (0.4, 0.6) (0.7, 0.3)
ζ2⎜ (0.2, 0.3) (0.3, 0.8) (0.8, 0.5) (0.2, 0.4) (0.4, 0.3) ⎟
(P3 , E) = ⎜ ⎟
ζ3⎝ (0.1, 0.3) (0.9, 0.3) (0.9, 0.1) (0.3, 0.3) (0.5, 0.9) ⎠
ζ4 (0.8, 0.1) (0.1, 0.7) (0.4, 0.8) (0.3, 0.7) (0.7, 0.5)
Div1 ((P1 , E), (P2 , E)) = 0.133 Div2 ((P1 , E), (P2 , E)) = 0.806
Div1 ((P1 , E), (P3 , E)) = 0.142 Div2 ((P1 , E), (P3 , E)) = 1.529
Div1 ((P2 , E), (P3 , E)) = 0.194 Div2 ((P2 , E), (P3 , E)) = 2.006
From this we can conclude that the difference between (P2 , E) and (P3 , E) is much
larger than with other PFSSs.
4 TOPSIS Based on Divergence Measure of PFSSs
This section explains an algorithm for the TOPSIS method based on the proposed
divergence measure under the PFSS environment and a numerical example of knowl-
edge management.
4.1 Algorithm for TOPSIS Method
Consider the MCDM problem consisting of r variants V1 , V2 , . . . Vr that is character-

ized by s qualities Q 1 , Q 2 , . . . Q s . Also, there are t experts S1 , S2 , . . . St to evaluate
each quality of variants individually. The experts are given their opinion of agreement
and disagreement with each alternative in terms of PFSS. By considering the opinion
of each specialist significantly, we have to identify which one is the best among the
variants under study. The TOPSIS method based on the PFSS divergence measure
for selecting the best-fitting alternative is summarized below.
Step 1: Construct the decision matrices in terms of PFSSs for each {Vu : u =
1, 2, . . . r } with experts set {S1 , S2 , . . . St } is universal set and set of qualities
{Q 1 , Q 2 , . . . Q s } as the parameter set.
Step 2: Normalise the decision matrices according to which the attributes are benefit-
type or cost-type.

vi j if j is benefit-type attribute
vi j =
vicj if j is cost-type attribute
where, vi j is i j th entry of decision matrix Vu and vicj is the compliment of

vi j .
Step 3: Calculate the Positive Ideal Solution(PID) and Negative Ideal Solution(NID)
as given below.
The positive ideal matrix V + is defined as, V + = [vi+j ]s×t where,

vi+j = max {μVu (Q j ) (Si )}, min {νVu (Q j ) (Si )} (6)
u=1,2,...,r u=1,2,...,r
The negative ideal matrix V − is defined as, V − = [vi−j ]s×t where,

vi−j = min {μVu (Q j ) (Si )}, max {νVu (Q j ) (Si )} (7)
u=1,2,...,r u=1,2,...,r
Step 4: Using Eqs. 1 or 2 frame Du+ and Du− , u = 1, 2, , . . . r.
Du+ = Diva (V + , Vu ), u = 1, 2, . . . , r, a = 1, 2. (8)
Du− = Diva (V − , Vu ), u = 1, 2, . . . , r, a = 1, 2. (9)
Step 5: Calculate the relative closeness Rc according to the following equation.
Du+
Rcu = . (10)
Du+ + Du−
Step 6: Rank the variants Vu according to the relative closeness, the bigger is the Rcu ,
the better is the variant Vu .
4.2 Numerical Example: The Knowledge Management
The crucial target of knowledge management(KM) is guaranteeing an organization’s

data. The information is gathered and saved to make it valid for employees or cus-
tomers to find and use the needed data. Here, we are going to elucidate a numerical
example of decision-making on business KM system. An entrepreneur would like
to model a business trade and there are six trades T1 , T2 , T3 , T4 , T5 , T6 in his final
list. He has preferred the five main qualities of the trades that are document manage-
ment(DM), collaboration(CB), communication(CM), scalability(SC), and workflow
management(WM). There are four well KM experts S1 , S2 , S3 , S4 to explain each
quality of each trade. Here are step-by-step explanations of how the person makes the
best decision by considering all the properties and opinions of the expert as equally
important. The judgment of experts subject to five criteria of each trade is given in
Tables 1, 2, 3, 4, 5, 6.
Step 1: From the Tables 1, 2, 3, 4, 5, 6, it is easy to obtain the decision matrices in
terms of PFSSs, where the universal set is {S1 , S2 , S3 , S4 } and parameter set
is {D M, C B, C M, SC, W M}.
Step 2: As it is benefit-type criteria, it is already normalized.
Table 1 Trade T1
DM DM CM SC WM
S1 (0.12,0.23) (0.76,0.36) (0.36,0.56) (0.36,0.56) (0.81,0.21)
S2 (0.77,0.05) (0.71,0.37) (0.82,0.55) (0.84,0.18) (0.57,0.45)
S3 (0.77,0.10) (0.40,0.33) (0.92,0.05) (0.89,0.34) (0.44,0.76)
S4 (0.56,0.14) (0.78,0.22) (0.71,0.62) (0.75,0.22) (0.27,0.65)
Table 2 Trade T2
DM DM CM SC WM
S1 (0.90,0.02) (0.23,0.46) (0.56,0.67) (0.28,0.56) (0.82,0.18)
S2 (0.89,0.13) (0.77,0.21) (0.77,0.34) (0.87,0.04) (0.11,0.69)
S3 (0.58,0.32) (0.37,0.32) (0.77,0.45) (0.89,0.13) (0.43,0.53)
S4 (0.68,0.11) (0.62,0.23) (0.78,0.46) (0.45,0.26) (0.90,0.10)
Table 3 Trade T3
DM DM CM SC WM
S1 (0.68,0.22) (0.30,0.64) (0.57,0.56) (0.29,0.69) (0.61,0.45)
S2 (0.79,0.12) (0.47,0.30) (0.70,0.55) (0.76,0.24) (0.56,0.70)
S3 (0.88,0.03) (0.73,0.22) (0.72,0.45) (0.89,0.38) (0.67,0.50)
S4 (0.86,0.10) (0.90,0.21) (0.82,0.46) (0.45,0.26) (0.87,0.21)
Table 4 Trade T4
DM DM CM SC WM
S1 (0.28,0.56) (0.33,0.36) (0.52,0.76) (0.21,0.65) (0.71,0.47)
S2 (0.90,0.20) (0.71,0.21) (0.74,0.50) (0.64,0.34) (0.91,0.26)
S3 (0.78,0.12) (0.74,0.22) (0.81,0.44) (0.90,0.23) (0.87,0.25)
S4 (0.76,0.11) (0.67,0.27) (0.88,0.56) (0.58,0.21) (0.65,0.23)
Table 5 Trade T5
DM DM CM SC WM
S1 (0.58,0.34) (0.35,0.60) (0.51,0.46) (0.25,0.68) (0.37,0.81)
S2 (0.85,0.34) (0.54,0.32) (0.67,0.25) (0.26,0.64) (0.22,0.66)
S3 (0.47,0.57) (0.54,0.69) (0.23,0.68) (0.39,0.73) (0.34,0.54)
S4 (0.24,0.52) (0.61,0.25) (0.45,0.65) (0.35,0.27) (0.71,0.15)
Table 6 Trade T6
DM DM CM SC WM
S1 (0.81,0.22) (0.32,0.66) (0.56,0.67) (0.27,0.63) (0.35,0.67)
S2 (0.79,0.12) (0.76,0.33) (0.73,0.57) (0.67,0.46) (0.32,0.67)
S3 (0.67,0.24) (0.74,0.42) (0.74,0.24) (0.89,0.23) (0.74,0.23)
S4 (0.62,0.21) (0.56,0.23) (0.83,0.61) (0.57,0.26) (0.90,0.23)
Step 3: The positive ideal matrix V + is given by

⎛ ⎞
(0.90, 0.02) (0.76, 0.36) (0.57, 0.46) (0.36, 0.56) (0.81, 0.18)
⎜(0.90, 0.05) (0.77, 0.21) (0.82, 0.25) (0.87, 0.04) (0.91, 0.26)⎟
V+ =⎜
⎝(0.88, 0.03)
⎟
(0.74, 0.22) (0.92, 0.05) (0.90, 0.13) (0.87, 0.23)⎠
(0.86, 0.11) (0.90, 0.21) (0.88, 0.46) (0.75, 0.21) (0.90, 0.10)
The negative ideal matrix V − is given by

⎛ ⎞
(0.12, 0.56) (0.23, 66) (0.36, 0.76) (0.21, 0.69) (0.35, 0.81)
⎜(0.77, 0.34) (0.47, 0.37) (0.67, 0.57) (0.26, 0.64) (0.11, 0.70)⎟
V− =⎜
⎝(0.47, 0.57)
⎟
(0.37, 0.69) (0.23, 0.68) (0.39, 0.73) (0.34, 0.76)⎠
(0.24, 0.52) (0.56, 0.27) (0.45, 0.65) (0.35, 0.27) (0.27, 0.65)
Step 4:
D + = 0.0568 0.0489 0.0374 0.0378 0.1386 0.0511

D − = 0.0989 0.1110 0.1019 0.1081 0.0241 0.0882 .
Step 5: The relative closeness are given by
Rc1 = 0.3648 Rc2 = 0.3058 Rc3 = 0.2685 Rc4 = 0.2591 Rc5 = 0.8519 Rc6 = 0.3668
Step 6: The highest relative closeness is for Trade 5. Hence, we can conclude that
Trade 5 is the best decision.
5 Conclusion
We introduced and studied the measure of divergence for Pythagorean fuzzy soft sets.
Some nice expressions to calculate PFSS divergence measures are obtained. Certain
theorems that state the properties of PFSS divergence measures are also proven. As
future work, we can use this PFSS divergence measurement in decision problems
such as TOPSIS algorithm, pattern recognition etc.
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Fuzzy-Rough Optimization Technique
for Breast Cancer Classification
K. Anitha and Debabrata Datta
Abstract Breast cancer is one of the deadly diseases amid women. The survival
rate can be increased through early detection. The classification model with high
level of predictive performance will help the medical experts to early identification
of this disease. To develop such types of robust and optimal classification model,
computational approach will be useful in early identification. In this paper, we intro-
duce hybrid intelligent fuzzy-rough classification method based on rule induction.
At initial stage, irrelevant features are removed through weak gamma evaluator.
Performance of this classification model is examined for Wisconsin Breast Cancer
Database (WBCD) and classification accuracy evaluated through F-measure. Perfor-
mance measure of fuzzy-rough set optimization technique is taken into account by
measuring sensitivity, specificity, and accuracy of the applied technique. Verification
and validation exercise of the applied technique is carried out on the basis of results
obtained in the similar direction by various realistic breast cancer images captured
by thermography.
Keywords Set approximation · Indiscernibility relation · Decision rules
MSC classification: 03E72 · 03E75 · 62A07 · 62C05
1 Introduction
One of the most common life-threatening diseases among women is breast cancer.
Age factor, consumption of alcohol, obesity, breast implants, hormonal imbalance,
and uses of hormone-related medicines and non-breast feeding are root causes for this
K. Anitha (B)
Department of Mathematics, SRM Institute of Science and Technology,
Ramapuram, Chennai, India
e-mail: anithak1@srmist.edu.in
D. Datta
Former Nuclear Scientist, Bhabha Atomic Research Centre, Mumbai 400085, India
e-mail: dbbrt_datta@yahoo.com
https://doi.org/10.1007/978-981-99-0597-3_30
424 K. Anitha and D. Datta
disease. It can be diagnosed through self-breast examination, mammography, ultra-

sonography, and thermography testing. As per the information from World Health
Organization, 27 million new cases will be expected in the year 2030. Nowadays,
medical scientists are showing interests on thermographic image study to detect
breast cancer [1]. Indian cities especially metropolitan cities like Bangalore, Chen-
nai, and Delhi encountered more cases than other places. 10% of breast cancers due
to hereditary whereas 90% are based on life style. In the year 2018, India catalogued
1,62,468 new breast cancer cases and 87,090 listed deaths due to detection in higher
stages. Early detection of breast cancer can reduce the mortality rate. Thermographic
analysis plays lead role in early detection of this disease which is non-invasive and
painless [2]. Thermographic images are high-resolution infrared 3D images. These
images are having certain limitations in view of exact geometrical shape of breast,
exact tumor size with respect to spatial location of breast, and the field of internal
blood flow. Early identification process will reduce the death rate. In image analysis
process, RGB images are converted into grayscale images. Then region of interest
(ROI) has to be selected. From ROI relative frequency and classification process
will be processed. Throughout this process denoising is more important. Denoising
is the process of removing irrelevant variables or features. Several soft computing
techniques based on fuzzy systems, rough set model, neural network, and supporting
vector machines have been proposed for this process. In this paper, we have consid-
ered fuzzy and rough set-based image analysis technique based on rule generation.
Zadeh fuzzy set model has graded membership values ranging from zero to one [3].
In image processing, these membership values represent the degree of pixel which
belongs to either an edge or a uniform region. Let OI (x, y) be the original image.
This image is to be mapped to fuzzy membership domain [0, 1]. Original image is
being processed in this domain which is denoted as FI . Fuzzy image can be addressed
through membership values only. But some variables in the image are in imprecise
position which means that they are in boundary region. The set which is having
non-empty boundary region is known as rough set which was introduced by Pawlak
in 1982. Elements of fuzzy set are characterized by membership values whereas in
rough set elements are addressed by indiscernibility relation. Indiscernibility rela-
tion is an equivalence relation in which elements are having same attribute values.
Topological properties of rough set are discussed in [4]. Anitha and Thangeswari [5]
analyzed rough set-based optimization techniques for attribute reduction without
information loss. Algebraic structures of fuzzy set are demonstrated in [6].
There are several techniques available in breast cancer detection like fuzzy clas-
sification, neural network classification, etc. Statistical feature extraction can be
done through rough sets, fuzzy-rough set, and fuzzy-intuitionistic rough set tech-
niques. Image segmentation based on hybrid fuzzy-intuitionistic technique is done
in [7]. Water Swirl Algorithm (WSA) was introduced in [8]. They developed this
method to identify the potential gene which is associated in cancer diagnosis. Jaya
Kumari [9] proposed fuzzy precognition c-means concept to confront breast cancer
in multifarious cases. Various advancement techniques are being implemented to
study thermographic images. Fuzzy c-means, k-means, and level set methods are
developed for image segmentation in [10]. Thermographic image classification tools
Fuzzy-Rough Optimization Technique for Breast Cancer Classification 425
and techniques are discussed in [11–13]. CAD system was introduced through neu-
trosophic and optimized fuzzy c-means method in [14]. Fuzzy-rough set approach
machine learning techniques are clearly explained in [15]. Correlation-based filter
technique is used to reduce the high-dimensional cancer data. Maji [16] proposed
IT2 fuzzy-rough set attribute reduction method by increasing the relevance and sig-
nificance of features. In this paper, we have proposed fuzzy-rough feature extraction
technique by rule generation based on similarity measure and it is being implemented
on thermographic image. Preliminary concepts are discussed in Sect. 2, main work
is demonstrated in Sect. 3, and experimental results are discussed in Sect. 4 followed
by concluded remarks.
2 Preliminaries
In knowledge acquisition process, rule induction and decision tree-based classifica-

tion techniques are commonly used to handle high-dimensional data. Rule induction
is concerned about the data with uncertain and inconsistent information. For han-
dling such types of data, rough set plays a key role. This theory was introduced by
Pawlak by means of equivalence relation between the objects. He gave the formal
approximations for classical set named upper and lower approximations. In some
cases, fuzzy sets may turn as approximations.
2.1 Information System
Let Is = (Us , As ) be the Information System which is the function. Between Us

and As non empty attribute value set such that Is : Us → Ca , where a ∈ As and Ca
is the value of. Let us take E ⊆ As . And define Indiscernibility Relation ((I N D E )
as follows:
INDE = {(x, y) ∈ Us 2 | attr (x) = attr (y)}.
The family of all equivalence classes of INDE forms partition of Us and it is

denoted by [x]E . Let X ⊆ Us be the target set which will represent E ⊆ As , then set
approximations are defined by
1. Lower Approximation: E(X) = {x : [x]E ⊆ X}.
2. Upper Approximation: E(X) = {x : [x]E ∩ X = ∅}.
3. Boundary Region: E(X) − E(X).
If E(X) − E(X) = ∅ then the set X is crisp or conventional set, otherwise it is
rough set
4. Positive Region: E(X).
5. Negative Region: Us − E(X).
Table 1 Information system

Cases Symptoms (conditional attributes) Decision attribute
(Flu)
S1 S2 S3
O1 0 1 High Confirm
O2 1 0 High Confirm
O3 1 1 Heavy Confirm
O4 0 1 Standard Not confirm
O5 1 0 High Not confirm
O6 0 1 Heavy Confirm
|E(X)|
6. Rough Accuracy of Approximation: |E(X)|
.
Example 1 The following information system consists of six objects, three condi-
tional attributes, and a decision attribute. Here symptoms are conditional attributes,
flu is decision attribute (Table 1).
Let X = Target set = {flu confirm} = {O1, O2, O3, O6}

Conditional Attributes E = {S1, S2, S3}
E(X) = {O1, O3, O6}
E(X) = {O1, O2, O3, O5, O6}
Boundary Region(X) = {O2, O5}
Hence X is rough set.
Reduct and Core
Reduct(R) is the minimal representation of original information system or subset of

attribute set R ⊆ As and it should satisfy following conditions:
1. [x]E = [x]R .
2. [x]R is the minimal representation such that [x]R−{a} = [x]E .
We can construct many numbers of reducts for given data. Intersection of all
reducts forms core.
Core = Ri .
Finite number of deterministic rules can be generated through reducts for given
dataset. The concepts of rule induction for knowledge discovery are developed in
[17, 18].
Let us take two attribute sets A1 & A2 (disjoint) from an information system and
their equivalence classes are [x]A1 , [x]A2 , respectively. The dependency of attribute
set A2 on A1 is given by
n
|A1 (X)A2i |
d = γ(A1 , A2 ) = .
i=1
U
If d = 1 then A1 totally depends on A2 .

If d < 1 then A1 depends on degree d with A2 .
The reduct set R starts with an empty set and adds features one at a time.
If γ(A1 U x) > γ(A1 ) then x ∈ R.
Information system 2.1 has two reducts R1 and R2 .
R1 = {S1, S2}, R2 = {S1, S3}

Cor e = Ri = R1 ∩ R2 = {S1}.
S1 is the most important attribute to give the decision about whether the patient
may get affected with flu or not. If we remove the variables from reduct and core, it
will minimize the quality of data. The main disadvantage of rough set is that it will
bring optimal result when the information system is discrete or the attribute values
are precise. It cannot be possible for high-dimensional data, especially image data.
2.2 Fuzzy-Rough Set
Classical rough set deals about attributes having precise (certain) values but, in some
data, attributes are having fuzzy values. They are called hybrid attributes. For han-
dling these types of attributes, hybridization technique is needed to get optimal result.
Hybridization is the process of merging two or more than two optimization tech-
niques into single system. When the attribute takes fuzzy values, the equivalence
relation between attribute can be constructed through fuzzy-similarity relation. In
this paper, we proposed fuzzy-rough hybridization technique to identify consistent
attributes. For this technique, fuzzy-similarity relation can be considered as a base for
rough approximation. In this process, rough set indiscernibility relation is extended
to similarity relation. Let I be the indiscernibility relation which satisfies reflexive,
transitive, and symmetric. If I satisfies the following properties, then it is said to be
fuzzy-similarity relation (SR)
1. ∀x ∈ Us , I(x) ⊆ SR(x)
2. ∀x ∈ Us , ∀y ∈ SR(x), I(y) ⊆ SR(x).
From this relation, fuzzy-rough approximations are defined as follows:
SR(x) = {x ∈ X : SR(x) ⊆ X}

SR(x) = SR(x).
x∈X
Distance-based fuzzy-similarity relation (SR) is defined by [19] the function
ϕ: SR(X) × SR(X) → [0, 1]

⎧
⎨ d d
1− , <1
SR(x, y) = μ μ
⎩
0, otherwise,
where d = |θ(x, v) − θ(y, v)|, μ ∈ [0, 0.5], and v ∈ [0 1] be the fuzzy normalized
attribute value T.
The fuzzy-similarity relation F on the set X of objects, then its set approximations
are given by
Fuzzy-Rough Lower Approximation: F(X) = {xi : [xi ]F ⊆ X, xi ∈ Us }.
Fuzzy-Rough Upper Approximation: F(X) = {xi : [xi ]F ∩ X = ∅, xi ∈ Us }.
Here P ⊆ Q represents μ P (x) ≤ μ Q (x).
3 Proposed Method
In this paper, we have introduced fuzzy-rough set attribute reduction based on similar-
ity relation. Let T be the target set. Fuzzy-rough approximations have been calculated
for the target set using the above definition. Then similarity measure β is calculated
by
1
β(X, Y ) = 1 − |Pos(X ) − Pos(Y )|, ∀ X, Y ⊂ U s ,
2
where 0 ≤ β(X, Y ) ≤ 1 and if β(X, Y ) = 1 then X = Y .
The attribute with maximum similarity has to be removed. The following flowchart
illustrates the proposed method.
4 Experimental Results
We examined breast cancer dataset from Wisconsin Breast Cancer Database through
Kaggle. Features are evaluated from digitalized image (FNA) based on breast mass
which portray the nature and thumbprint of nuclei cell appeared in the data(picture).
Thermographic image is analyzed through image j software and selected portions are
characterized through different statistical measures. In pre-processing stage, irrele-
vant features are removed through weak gamma evaluator and then image is converted
to data table with proper attributes. As per the proposed algorithm, for the following
thermographic image 31 valid attributes have been found. There are 30 conditional
attributes with respect to various characteristics of tumor and the decision attribute
is whether the tumor is benign or malignant. The experimental results are displayed
as follows: (Figs. 1, 2, 3, 4, 5, 6, and 7):
Attributes: 30 (Conditional Attributes) + 1 (Decision Attribute − Benign, Malig-
nant) Diagnosis (Decision Attribute)
Conditional Attributes: radius_mean, texture_mean, perimeter_mean, smoothness
of tumor, concavity, symmetry,………fractal_dim_worst
Class distribution:
Total Instances: 569
357 Benign (Non-Cancerous),
212 Malignant(Cancerous) with 569 Instances.
Total number of rules generated: 126
Total number of attributes selected: 06
Description of Conditional Attributes
Classification Rules
Rule: 1
If compact_ worst <= 0.324
Then
fractal_dim_worst = 0.0001 * diagnosis = M − 0 * radius_mean − 0.1521 * smooth-
ness_mean − 0.0528 * compact_mean − 0.001 * concavity_mean − 0.0012 * sym-
metry_mean + 0.9149 * fractal_dim_mean − 0.0007 * radius_se + 0 * perime-
ter_se + 0 * area_se − 0.7479 * smoothness_se − 0.3582 * compact_se − 0.0067
* concavity_se − 0.0695 * concave points_se − 0.1174 * symmetry_se + 4.8651 *
fractal_dim_se + 0 * radius_worst − 0 * area_worst + 0.1592 * smooth_worst +
0.0678 * compact_worst + 0.0011 * concavity_worst + 0.0156 * symmetry_worst
+ 0.0028 [252/12.719%]
Rule: 2
If compact_worst <= 0.356
Then
fractal_dim_worst = 0.0006 * radius_mean − 0 * area_mean − 0.1399 * smooth-
ness_mean − 0.1164 * compact_mean − 0.0643 * concavity_mean + 0.0674 *
concave points_mean + 1.3089 * fractal_dim_mean − 0.0109 * radius_se + 0.0011
* perimeter_se − 0.1999 * compact_se − 0.0059 * concavity_se − 0.1289 * sym-
metry_se + 1.851 * fractal_dim_se + 0.0905 * smooth_worst + 0.0803 * com-
pact_worst + 0.0147 * concavity_worst − 0.0015 * concave points_worst + 0.016
* symmetry_worst − 0.017 [192/19.663%]
…………
Input Thermographic image
Remove the irrelevant features using Weak Gamma

Evaluator
Convert the image into data table with proper

attributes
Implement Fuzzy -Rough attribute reduction based on

Similarity measure
Generate Classification rules
Identify the optimal feature to identify the cancerous cell
Fig. 1 Fuzzy-rough attribute reduction algorithm

Fig. 2 Input—thermographic image
Fig. 3 Pre-processing—weak gamma evaluator

Fig. 4 RGB profile plot of Fig. 2
Rule: 126
If fractal_dim_mean <= 0.062
Then
fractal_dim_worst = 0.0002 * texture_mean + 0.1409 * smoothness_mean − 0.138
* compact_mean − 0.0175 * concavity_mean + 0.9885 * fractal_dim_mean +
0.004 * radius_se − 0.0004 * perimeter_se − 0.5833 * smoothness_se − 0.4537
* compact_se + 0.0305 * concavity_se − 0.5471 * concave points_se + 5.8746 *
fractal_dim_se + 0.0541 * smooth_worst + 0.0979 * compact_worst + 0.0387 *
concave points_worst − 0.0173 [125/24.827%]
Total Number of Selected attributes: 6 (Characteristics of tumor)
smooth_mean, fractal_dim_mean, compact_se,

fractal_dim_se smooth_worst compact_worst
Hence, these six attributes identify whether the tumor is benign or malignant.
The above data is tested with other intelligent tools and their performance is
displayed below. Fuzzy-rough similarity measure covers more number of attributes
in ROI and more number of subsets are being generated, which cannot be possible
in conventional rough set since it focuses on precise values of attributes.
Fig. 5 Surface profile plot of selected region
Fig. 6 Description of conditional attributes

Fig. 7 Description of conditional attributes
5 Conclusion
In this paper, we have proposed fuzzy-rough similarity algorithm for early detection
of breast cancer from thermographic image. Image j software and Rosetta software
are used for image processing and rule generation. This algorithm selects minimum
number of consistent variables with maximum classification accuracy than other soft
computing techniques. The main advantage of this algorithm is that it uses similar-
ity relation which is more flexible than equivalence relation. Hence, it occupies a
greater number of variables in its boundary region. Comparative results show that
proposed algorithm gave optimal result. Future work may be extended to hybridiza-
tion technique of rough set with soft set through neighborhood relation (Tables 2
and 3).
Table 2 Classification performance

TP FP Precision Recall F-measure MCC ROC PRC Class
rate rate (P) (R) 2PR area area
P+R
0.891 0.822 0.929 0.991 0.958 0.04 0.576 0.935 −1
0.978 0.809 0.995 0.878 0.932 0.040 0.557 0.107 1
Weighted 0.935 0.916 0.963 0.866 0.925 0.040 0.575 0.575
Avg.
Table 3 Comparative analysis

Methods Total number of Total number of Classification
subsets generated attributes selected accuracy
Neural network 239 18 0.84
Fuzzy decision tree 319 18 0.83
Rough neural network 287 11 0.91
Fuzzy-rough similarity 438 6 0.93
algorithm
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Springer Proceedings in Mathematics & Statistics

Tanmoy Som · Debdas Ghosh ·

Oscar Castillo Adrian Petrusel

ISSN 2194-1009 ISSN 2194-1017 (electronic)

Mathematics Subject Classification: 90-xx, 37-xx, 03E72, 00A71, 68Qxx

Fixed Point Theory

Fractional Operator Associated with the Fractal Integral

Differential and Integral Equations

Optimization Theory and Applications

On Mathematical Programs with Equilibrium Constraints Under

Fuzzy Set Theory

Tanmoy Som is Professor and former Head of the Department of Mathematical

Debdas Ghosh is Assistant Professor at the Department of Mathematical Sciences,

Oscar Castillo is Professor of Computer Science at the Graduate Division, Tijuana

Adrian Petrusel is Professor at the Department of Mathematics, Babeş-Bolyai

Dayaram Sahu is Senior Professor at the Department of Mathematics, Insti-

Mădălina Moga and Adrian Petruşel

Abstract In 1996, T.A. Burton proposed a new concept of contraction-type mapping

Keywords Banach space · Large contraction · Multivalued large contraction ·

1 Introduction and Preliminaries

Let X be a nonempty set and t : X → X be an operator. We will denote by

M. Moga · A. Petruşel (B)

the fixed-point set of t. We denote by t n := t ◦ t ◦ · · · ◦ t for n-times, the nth iterate

Pb (X ) := {A ∈ P(X )|A is bounded } , Pcp (X ) := {A ∈ P(X )|A is compact } ,

Pcl (X ) := {A ∈ P(X )|A is closed } , Pcv (X ) := {A ∈ P(X )|A is convex } .

Definition 1 (Granas–Dugundji [5]) Let X, Y be two normed spaces. Then:

In the above context, if t is a quasi-bounded operator, then the quasi-norm of t is

In 1996, T.A. Burton proposed a new concept of contraction-type mapping by

2 A Surjectivity Theorem for Single-valued Large

t (x) − t (y) < x − y, ∀x, y ∈ X, with x = y,

2. for each ε > 0, there exists δ(ε) ∈]0, 1[ such that

x, y ∈ X, x − y ≥ ε ⇒ t (x) − t (y) ≤ δ(ε)x − y

x, y ∈ X, x − y ≥ ε ⇒ t (x) − t (y) ≤ δ(ε)x − y.

For related equivalences involving classes of generalized contractions, see [7].

Theorem 2 (Burton [1]) Let (X, d) be a complete metric space and t : X → X be

As a consequence of the above theorem, we obtain the following result.

Corollary 1 Let (X, d) be a complete metric space and t : X → X an operator for

Proof From Burton’s Theorem 2, we have that Fi x(t n 0 ) = {x ∗ }. Then, by x ∗ =

Notice that (M,  · ) is a complete metric space.

h(x)(s) = g(x(s)), s ∈ K . (3)

The following characterization theorem was given in [2].

Using the above approach, we have an example of a large contraction which is

Example 1 Let t : [0, 1] → R be given by

Therefore, t is increasing on I , thus

We calculate the first derivative and we have that

Moreover, t  is nonnegative and increasing on I . Thus,

0 ≤ t  (0) ≤ t  (x) ≤ t  (1) = 1 ≤ 2, x ∈ I

Theorem 4 (Suzuki [12]) Let (X,  · ) be a Banach space and C be a nonempty

x − y ≥ ε implies t (x) − t (y) ≤ rε x − y.

Theorem 5 Let (X,  · ) be a Banach space and the operator t : X → X satisfying

(i) t is a large contraction;

Proof From the definition, it is clear that 1 X − t is continuous.

t (x) ≤ t (x) − t (u) + t (u).

By the large contraction definition, since x − u ≥ ε, there exists δ < 1 such

t (x) ≤ δx − u + t (u) ≤ δx + δu + t (u).

If we denote b := δu + t (u) > 0, then we get

t (x) ≤ δx + b, for each x ∈ X \

Hence, in both cases, we have that

3 Multivalued Large Contractions

D(a, B) = inf {a − b|b ∈ B} .

(2) The excess of a set A over a set B from X

ρ(A, B) = sup {D(a, B)|a ∈ A} .

(3) The Pompeiu–Hausdorff distance between two sets A and B from X

H (A, B) = max {ρ(A, B), ρ(B, A)} .

t (x) − t (y) < x − y, ∀x, y ∈ X, with x = y,

x, y ∈ X, x − y ≥ ε ⇒ t (x) − t (y) ≤ δ(ε)x − y

x, y ∈ X, x − y ≥ ε ⇒ t (x) − t (y) ≤ δ(ε)x − y.

Notice that (M, · ) is a complete metric space.

Moreover, t is nonnegative and increasing on I . Thus,

0 ≤ t (0) ≤ t (x) ≤ t (1) = 1 ≤ 2, x ∈ I

Theorem 4 (Suzuki [12]) Let (X, · ) be a Banach space and C be a nonempty

x − y ≥ ε implies t (x) − t (y) ≤ rε x − y.

Theorem 5 Let (X, · ) be a Banach space and the operator t : X → X satisfying

t (x) ≤ t (x) − t (u) + t (u).

By the large contraction definition, since x − u ≥ ε, there exists δ < 1 such

t (x) ≤ δx − u + t (u) ≤ δx + δu + t (u).

If we denote b := δu + t (u) > 0, then we get

t (x) ≤ δx + b, for each x ∈ X \

D(a, B) = inf {a − b|b ∈ B} .

Δ(A, B) = sup {a − b|a ∈ A, b ∈ B} ,

Definition 6 (Iannacci [6]) Let (X, · ) be a Banach space and T : X → Pb (X ).

T (x) := H (T (x), {0}), for any x ∈ X.

H (T (x), T (y)) < x − y, for all x, y ∈ X, x = y.

Definition 8 Let (X, · ) be a Banach space. Then T : X → P(X ) is said to be a

x, y ∈ X, x − y ≥ ε ⇒ H (T (x), T (y)) ≤ δ(ε)x − y.

T (x) = H (T (x), {0}) ≤ H (T (x), T (u)) + H (T (u), {0}).

H (T (x), T (u)) ≤ δx − u ≤ δ (x + u) .

T (x) ≤ δ (x + u) + T (u).

x, y ∈ X, x − y ≥ ε ⇒ Δ(T (x), T (y)) ≤ δx − y.

(i) Δ(T (x), T (y)) < d(x, y), for every x, y ∈ X, x = y,

Definition 3 ([3]) A t-norm is defined as a binary operation on [0, 1] if

Definition 7 A Menger space (X, F, ) satisfies L−convergence criteria if for a

Theorem 1 Suppose (X, F, ) is a Menger space. Let be a continuous t-

Fx,T x (ε) ≥ (1 − λ, 1 − λ).