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IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 3, JUNE 2007 1311
Cooperative Coevolutionary Genetic Algorithm forDigital IIR Filter Design
Yang Yu and Yu Xinjie, Member, IEEE
AbstractA novel algorithm for digital infinite-impulse re-sponse (IIR) filter design is proposed in this paper. The suggestedalgorithm is a kind of cooperative coevolutionary genetic algo-rithm. It considers the magnitude response and the phase responsesimultaneously and also tries to find the lowest filter order. Thestructure and the coefficients of the digital IIR filter are codedseparately, and they evolve coordinately as two different species,i.e., the control species and the coefficient species. The nondomi-nated sorting genetic algorithm-II is used for the control species toguide the algorithms toward three objectives simultaneously. Thesimulated annealing is used for the coefficient species to keep thediversity. These two strategies make the cooperative coevolution-
ary process work effectively. Comparisons with another geneticalgorithm-based digital IIR filter design method by numericalexperiments show that the suggested algorithm is effective androbust in digital IIR filter design.
Index TermsCoevolution, genetic algorithms (GAs), infinite-impulse response (IIR) digital filters, linear phase, lowest order.
I. INTRODUCTION
AN INFINITE-IMPULSE RESPONSE (IIR) filter can be
expressed in the cascade form as
H(z) = K
n
k=1
1 + bkz1
1 + akz1
m
i=1
1 + di1z1 + di2z
2
1 + ci1z1 + ci2z2(1)
where K is the gain, ak and bk for k = 1, 2, . . . , n are the first-order coefficients, and ci1, ci2, di1, and di2 for i = 1, 2, . . . , mare the second-order coefficients. The digital filter design is a
process in which a digital hardware or a program is constructed
to meet the given specification.
The traditional digital IIR filter design involves the analog
IIR filter design and the analog-to-digital transformation. When
the specification for the digital filter is given, we first change it
to the corresponding analog low-pass (LP) filter and use one of
the well-known LP filter design methods, such as Butterworth,
Chebyshev Type I, and Chebyshev Type II, to fulfill the require-
ments. Then, the analog LP filter is transferred to the digitalfilter using the bilinear transformation [1].
This method works well and has been widely used, but it
also has some disadvantages. First, the traditional digital filter
design returns only one solution, which may be unacceptable
Manuscript received February 20, 2006; revised September 12, 2006.Abstract published on the Internet January 27, 2007. This work was supportedin part by the National Natural Science Foundation of China under Project50507011.
The authors are with Tsinghua University, Beijing 100084, China (e-mail:[email protected]; [email protected]).
Color versions of one or more of the figures in this paper are available onlineat http://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/TIE.2007.893063
for the real-world implementation. Second, the transformation
between the digital field and the analog field may cause inef-
ficiency. Third, the coefficient quantization errors could not be
avoided during the design. Last but not least, the lowest filter
order and the phase response requirements are very useful in
some practical applications but cannot be considered by the
traditional method.
When genetic algorithms (GAs) were introduced into the
design world, their flexibility and adaptation were very remark-
able. The initial use of GAs for filter design was reported by
Etter et al. [2]. Though the result was not impressive, theGA design method showed its distinction. It was a direct
design method in the digital field without the analog-to-digital
transformation and avoided the coefficient quantization error.
Also, it could solve the multiobjective design problem easily
and figure out more than one solution. As GAs become more
and more mature in the last few years, the work on digital filter
design using GAs has received great attention.
The normal GA design for IIR filter always assumes a
predefined topology of the filter. Only the coefficients of the
filter need to be determined. Tang et al. suggested the hierar-
chical genetic algorithm (HGA) to tackle this problem [3]. The
structure of the filter is not fixed during the design, and so it can
reach the lowest order. However, this designing method also hassome disadvantages due to its coding redundancy, which will be
discussed in Section II.
One of the drawbacks of the IIR filter is its phase response.
Linear phase response can be easily achieved by finite-impulse
response filters, which is very hard for IIR filters to implement.
How to design the approximately linear phase response of an
IIR filter becomes the focal and difficult point in some IIR
design researches.
Karaboga and Cetinkaya suggested a method for designing
an IIR filter with minimum phase [4]. Other researchers work
on the design method for minimum group delay IIR filter [5].
Though it is impossible to get an exactly linear phase IIRfilter, some researches tried IIR filters with linear phase in the
passband. In [6] and [7], the proposed method designed filters
with approximately linear phase responses in their passbands.
However, the magnitude and phase responses should be pre-
scribed in these methods, and the traditional iterative algorithms
are used, including complicated matrix computations. In [8],
Koir and Tasic designed the approximately linear phase IIR
filter using GA. However, their method might cause Bounded
Input/Bounded Output stable problem. Extra computations are
required to ensure the stability of the filter.
In this paper, the cooperative coevolutionary genetic
algorithm (CCGA), which is firstly suggested by Potter, is
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1312 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 3, JUNE 2007
introduced into the IIR design. CCGA has the following
characteristics [9].
1) A complete solution is divided into more than one sub-
components, which are represented by several species,
respectively.
2) When an individual is evaluated, it should be combined
with individuals in other species to form a completesolution.
3) Each species should evolve separately, using a stan-
dard GA.
The suggested novel CCGA design method not only meets
the requirement of the magnitude response, but also gets the
approximately linear phase response in the passband and the
transition band and finds the lowest filter order simultaneously.
The structure and the coefficients of the digital IIR filter are
coded separately, and they evolve coordinately as two different
species, i.e., the control species and the coefficient species. The
nondominated sorting genetic algorithm (NSGA)-II is used for
the control species, whereas the simulated annealing (SA) isused for the coefficient species. This new scheme works well in
the multiobjective digital IIR filter design problems.
Section II presents the core of this paper, where the CCGA
for digital IIR design is described in detail. Then, in Section III,
a comparison of CCGA and HGA is discussed. Finally, the
conclusions and discussions are given in Section IV.
II. CCGA FO R DIGITAL IIR FILTER DESIGN
A. Chromosome Coding
The coding of the suggested CCGA design algorithm is
adopted from the HGA. Improvements are made by separat-ing the control genes from the coefficient genes to form two
species, which enhances the search ability of the HGA with the
same storage space.
The essence of HGA design is its coding. To represent the
transfer function of a digital IIR filter, the chromosome contains
two types of genes, namely: 1) the control gene and 2) the
coefficient gene. The control gene describes the structure of
the filter, and the coefficient gene defines the value of the
coefficients in each block.
For example, an IIR filter, in which the maximum number of
the first-order units and the second-order units are both two, can
be described in the cascade form, as shown in (2) at the bottomof the page.
The control gene and the coefficient gene are illustrated in
Figs. 1 and 2, respectively.
The control genes are in binary bit form and decide the
state of activation for each block. In Fig. 1, the first gene of
the chromosome represents the state of the first-order function
(1 + b1z1)/(1 + a1z
1), where 1 means (1 + b1z1)/(1 +
a1z1) exists in the filter transfer function and 0 means the
Fig. 1. Control gene structure.
Fig. 2. Coefficient gene structure.
nonexistence. The coefficient genes are in real-number form,
which define the values of the coefficients in each block. As the
structure of IIR filter is represented by (2), the transfer function
H(z) =(1 0.1z1)(1 + 0.5z1 + 0.6z1)
(1 + 0.4z1)(1 0.9z1 + 0.1z1)(3)
has the chromosome
{1, 0, 1, 0,0.1, , 0.5, 0.6, , , 0.4, ,0.9, 0.1, , } (4)
where is the wildcard.The HGA directly connect the coefficient gene to the control
gene to form the individual chromosome. This coding makes
the structure optimization possible, but brings some inefficiency
due to the coding redundancy at the same time.
Let us take the filter described by (4) for example. The
coefficient genes representing the second first-order block do
not contribute to the fitness of the whole chromosome. When
they are changed during the evolutionary process, it cannot tellwhether the change is good or not, then the calculations for that
change and the following evaluation are losing effectiveness.
The evolutionary process can be more effective if the coefficient
genes and the control genes are evaluated fully. Then, a better
direction of the evolution may be found. That is the point to
change the HGA to the CCGA.
In the CCGA, the control genes are separated from the coef-
ficient genes. There are two species in the population, namely
1) the control species C and 2) the coefficient species X.
The coding for C is in binary form and in real-number form
for X. When an individual in the species C is evaluated, some
individuals from the species X need to be selected randomlyand combined with the individual from C to get the complete
solutions. The values of the solutions determine the fitness of
the individual from C. Using the same strategy, species X can
be evaluated.
In this way, for an individual in C, several individuals in X
are chosen to combine with it, respectively. So, the evaluation
of the individual in C is more reliable than in HGA, where it
is just combined with a fixed coefficient individual. The same
H(z) = K(1 + b1z1)(1 + b2z1)(1 + d11z1 + d12z2)(1 + d21z1 + d22z2)(1 + a1z1)(1 + a2z1)(1 + c11z1 + c12z2)(1 + c21z1 + c22z2)
(2)
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YU AND XINJIE: COOPERATIVE COEVOLUTIONARY GENETIC ALGORITHM FOR DIGITAL IIR FILTER DESIGN 1313
Fig. 3. Flowchart of the process of CCGA for digital IIR filter design.
strategy on the evaluation ofX gets the same advantage. As we
get more reliable evaluation of the individuals, the evolution
works more effectively, with less good genes being lost during
the evolution process.
B. Process of CCGA for IIR Design
As the structure and the coefficients of the filter are set
to be two species separately, the evolution process is divided
into the following two parts: 1) the evolution of the control
species and 2) the evolution of the coefficient species. The
whole coevolution process is shown by the flowchart in Fig. 3.With multiobjective optimization, Pareto solutions might be
expected to make the decision making process more reliable.
An IIR filter with higher order tends to have better magnitude
response, whereas the higher order results in more complicated
calculations, and the linear phase response is more difficult to
realize. Even when considering the IIR filters with the same
order, the comparisons are hard to make, as some filters may be
superior in the magnitude responses, whereas others may have
approximately linear phase responses. The decision depends
on the practical uses. The suggested design algorithm can find
several Pareto solutions, incommensurable good filters, at the
same time rather than a single best solution.
C. Evaluation
There are three objective functions in our suggested digital
IIR filter design method, namely 1) magnitude response error,
2) linear phase response error, and 3) order.
1) Magnitude Response Error: When we come to the design
of an IIR filter, the following magnitude response conditions
are required.
The attenuation in passband should not exceed 1. The attenuation in stopband should not be less than 1 2.
The passband and stopband edge frequencies are repre-sented by p and s, respectively.
The magnitude response error is calculated as follows [3]:
eHp() =
1 1
H(ej) , H(ej) < 1 10,
H(ej) 1 1where is in the passband.
eHs() =
H(ej) 2,
H(ej)
> 2
0,H(ej) 2
where is in the stopband.eHp() and eHs() are the passband and the stopband
magnitude response errors at , respectively. Then, the firstobjective function is
min f1 =i
eHp(i) +j
eHs(j) (5)
where i is the sampling frequency in the passband, and j isthe sampling frequency in the stopband.
2) Linear Phase Response Error: The linear phase responseis simplified as the passband and transition band linear phase
response. The phase response of the transition band is also
considered because the magnitude response at some points of
transition band may be as high as that in the passband. If the
phase response is far away from linear at these points, it could
result in large distortion.
We sample the phase response of the digital IIR filter with the
same frequency interval and get the phase sequence as follows:
Phases = {1, 2, . . . , n}.
The phase difference sequence can be counted as
Phases = {1, 2, . . . , n1},
where i = i+1 i.
The sampling of frequency is in equal interval; so in the
linear phase case, the phase sequence is an equal-difference
sequence. That is to say all the elements in the Phasessequence have the same value. How far a phase response is from
the linear phase condition can be evaluated by the variances of
its Phases sequence, which is then set to be the phase responseerror. Then, the second objective function is
min f2 = variance{i|i passband transition band}.(6)
3) Order: When a structure is given by the control chromo-
some, the order can be formulated as follows [3]:
order =mi=1
pi + 2n
j=1
qj (7)
where m + n is the total length of control chromosome, pi andqj are the control bits governing the activation of the ith first-order block and the jth second-order block, respectively. Themaximum allowable filter order is m + 2n.
Then, the third objective function is
min f3 = order. (8)
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Evaluation ofC andX: In the real-world implementa-
tion, the magnitude response is considered to be more important
than the phase response. So, the magnitude response error is the
dominant part of the objective function.
Each individual in C is evaluated by combining with K1random selected individuals from X. So, K1 candidate digital
IIR filters are formed for evaluating one individual in C. Themagnitude response error and linear phase response error are
calculated for all K1 candidates. Then, we get the followingrow vectors:
errmag = [mag1,mag2, . . . , m a gK1 ]T
errphase = [pha1,pha2, . . . , p h aK1 ]T.
If the minimum value oferrmag is magi, then the magnituderesponse error of the individual in C is magi, and the linearphase error is phai. If there are more than one value in thevector errmag that are equal to magi, choose the one whichhas the smallest linear phase response error. The order can be
calculated easily by using (7) for ith candidate. In this way,every individual in C gets its three objective function values
after the evaluation.
When an individual in X is evaluated, a similar strategy is
used by combining it with K2 random selected individuals inC. Because coefficient genes do not have order value, every
individual in X gets its two objective function values after the
evaluation.
D. Evolution of the Control Species
To deal with the three objectives effectively, NSGA-II is
adopted in the evolution of the control species. Suppose thepopulation size is N, and the population is Pt at generation t.The nondomination rank and the crowding distance for every
individual can be calculated by Debs method [10]. To pre-
vent the crowding effect, a group insertion [3] is used before
the elitist selection. The whole evolutionary process is given
as follows.
1) The two-point crossover and the bit-flips mutation are
carried out inPt to form some new individuals calledQt.
2) The group insertion method in [3] is used to form a new
group calledRt.
First, all individuals in Pt and Qt are divided into sub-
groupsG
i according to the order, i.e., the third objectivefunction value, where the individuals with the same order
are put together.
Then, in each subgroup Gi, K individuals are selectedinto Rt, according to the total error values f1 + f2 ofthe individuals, the ones with smallest values are firstly
chosen. If the size ofGi is smaller than K, all theindividuals in it are chosen into Rt.
3) Select N individuals fromRt into the next population.a) The nondomination rank and the crowding distance
for every individual in Rt are calculated by Debs
method [10].
b) Sort Rt according to the nondomination rank. Let
F = {F1, F2, . . .} be the nondominated fronts ofRt,where F1 is the best nondominated set.
c) SelectPt+1 with the following procedures.
For i = 1, 2, . . .If the size ofFi is smaller than N M, where Mis the number of the individuals now in Pt+1, all
members of the set Fi are put into Pt+1;
Else all the remaining members ofFi are sorted using
the crowding distance, and the ones with the longercrowding distance are chosen to fill the population
slots. Then, break the loop.
As can be seen from the aforementioned procedure, the con-
trol species can evolve toward three objectives simultaneously,
which is critical for digital IIR designer to make decision.
E. Evolution of the Coefficient Species
The control species determines the order and structure of the
filter, so it plays a leading role, and the coefficient species is
a subordinate part. During the evolution process, the control
genes may change a lot. The original good coefficient genes
may not fit them any more. On the other hand, the individuals ofthe control species in one generation are different, representing
different kinds of filter structure. In order to find individuals in
the coefficient species to fit different kinds of filter structure and
make good filter design solutions, the diversity of the coefficient
species needs to be kept.
The SA can preserve the worse individual to some extent
according to the probability. So, we use the SA in the evolution
of the coefficient species to keep the diversity. The SA needs
one value for two individuals to compare, so we sum the
magnitude response error f1 and the phase response error f2to be a total error value.
In the implementation of the SA, the heat reservation strategyand the reheating strategy are used to increase the evolu-
tionary efficiency. The settings of the parameters during the
annealing process and the original temperature are set accord-
ing to [11]. The initial temperature is set to be T = T0 =(0.1/ ln 0.5) [11].
The process of the evolution is given as follows.
1) Set k = 0.2) According to the crossover rate, some individuals are
chosen to form pairs and undergo crossover. A pair of
individuals produces one child. From every pair of par-
ents, the one with the larger error value may be replaced
by its child. The replacement happens when the child hasthe smaller value f1 + f2 or rand exp{(valueparent valuechild)/T}.
3) Choose individuals to undergo mutating according to
the mutation rate. The produced children replace their
parents if they have the smaller value f1 + f2 or rand exp{(valueparent valuechild)/T}.
4) k = k + 1.5) If k < 3, return to step 2 without changing the
temperature;
else change the temperature by
T = T 0.8.
Then, end the inner loop and turn to the next step.
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YU AND XINJIE: COOPERATIVE COEVOLUTIONARY GENETIC ALGORITHM FOR DIGITAL IIR FILTER DESIGN 1315
TABLE IDESIGN CRITERIA
TABLE IIPARAMETERS FOR GENETIC OPERATIONS
6) If the temperature is lower than 105, set the current
temperature to be T = T0, and the evolutionary processin this generation is complete.
As can be seen from the aforementioned procedure, the SA
with the heat reservation strategy and the reheating strategy
preserves the diversity of coefficient species, which is quite
useful for finding better design solutions with the evolution of
the control species.
III. EXPERIMENTAL RESULTS
In this section, the suggested CCGA is used to design some
typical IIR filters, and its performances are compared withthe performances of the HGA [3]. All the genetic operating
parameters are set exactly the same as those in [3].
The fundamental structure ofH(z) is given as
H(z) = K
3i=1
(1 + biz1)
(1 + aiz1)
4j=1
(1 + bj1z1 + bj2z
2)
(1 + aj1z1 + aj2z2). (9)
So, the highest order of the designed filter is 11. The length
of control chromosome is 7, and the length of coefficient
chromosome is 22.
Shynk summarized the stable requirements for digital IIRfilters [12]. The coefficients of the denominators in the first-
order block are limited between 1 and 1. The second-order
block coefficients of the denominators must satisfy the follow-ing equations:
1 < aj2 < 1
1 aj2 < aj1 < 1 + aj2.
When all the coefficients of a filter function are determined,
the gain value K can be determined in order to unify themagnitude response of the filter function.
Four types of the filters, namely: 1) low-pass (LP); 2) high-
pass (HP); 3) band-pass (BP); and 4) band-stop (BS), are
designed in the experiment. Parameters for the design criteriaare listed in Table I, and the parameters for genetic operations
are given in Table II.
The termination condition is that the first objective function
value f1 equals zero, and the other two objective functions areless than the given values.
We run the design process for 20 times. The best results
found by CCGA are summarized in Table III, the final filter
functions are indicated in (10)(13), as shown at the bottom of
the next page, and the magnitude and the phase responses are
shown in Figs. 47, respectively.
It can be seen from the results that the proposed design
method can fully satisfy the magnitude response requirement,
minimize the phase response error, and find the lowest order.The results are also compared with HGA in Table IV.
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TABLE IIIFILTER PERFORMANCES (DESIGNING USING CCGA)
Fig. 4. LP filter responses. (a) Magnitude response. (b) Phase response.
By studying Table IV(a)(d), we can arrive at the following
conclusions.
1) The passband and the stopband magnitude response per-
formances of the two algorithms are similar.
2) The CCGA works better than the HGA, as far as the
lowest order of the filters is concerned.
3) All phase response errors of the CCGA designed fil-
ters are smaller than that of the corresponding HGAdesigned ones.
4) The cooperative coevolutionary strategy, NSGA-II, and
the SA work well in handling the two species and the
three objectives.
IV. DISCUSSION AND CONCLUSION
GAs can design digital IIR filter directly, which is more
flexible than the traditional ways. The HGA codes the structure
of the digital filter with control genes and combines them withcoefficient genes to form a whole design. This coding has
HLP(z) = 0.1823 (1 + 0.6430z1)(1 1.0019z1 + 0.9958z2)
(1 0.3888z1)(1 1.1631z1 + 0.6501z1)(10)
HHP(z) = 0.2150 (1 0.4521z1)(1 + 0.9479z1 + 0.9374z2)
(1 + 0.3117z1)(1 + 1.1656z1 + 0.6154z2)(11)
HBP(z) = 0.1990 (1 1.6727z1 + 0.9964z2)(1 + 1.6536z1 + 0.9948z2)
(1 + 0.5414z1 + 0.5351z2)(1 0.6039z1 + 0.5134z2)(12)
HBS(z) = 0.4251 (1 0.2977z1 + 0.9124z2)(1 + 0.2191z1 + 0.9068z2)
(1 0.8265z1 + 0.4912z2)(1 + 0.7727z1 + 0.4599z2)(13)
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YU AND XINJIE: COOPERATIVE COEVOLUTIONARY GENETIC ALGORITHM FOR DIGITAL IIR FILTER DESIGN 1317
Fig. 5. HP filter responses. (a) Magnitude response. (b) Phase response.
Fig. 6. BP filter responses. (a) Magnitude response. (b) Phase response.
Fig. 7. BS filter responses. (a) Magnitude response. (b) Phase response.
the shortcoming of redundancy, which may cause computation
ineffectiveness.
The suggested CCGA borrows the idea of structure coding
from HGA and separates the control genes and the coefficient
genes into two species. When the genes in one species are
evaluated they are combined with several randomly selected
genes from the other species to form several complete solutions.So, these genes can be evaluated more thoroughly, which means
the CCGA uses the same memory space as HGA but do a much
in-depth space searching.
The suggested CCGA for digital IIR filter design considers
the magnitude response error, phase response error, and lowest
order simultaneously. The control species determines the search
direction. So, the NSGA-II has been used to maintain the
diversity in the three objectives. The coefficient species needsto keep the diversity to ensure that the evolving control genes
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TABLE IVFILTER PERFORMANCES COMPARISON (HGA AN D CCGA). (a) LP FILTER. (b) HP FILTER. (c) BP FILTER. (d) BS FILTER
can always find the proper combination parts. So, the SA with
the heat reservation strategy and the reheating strategy hasbeen used.
The design results for LP, HP, BP, and BS digital IIR filters
show that the suggested CCGA can handle magnitude response
error, phase response error, and lowest order requirements
properly.
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Yang Yu was born on September 8, 1982, in Fujian,China. She received the B.Sc. degree in electronicscience and engineering from Nanjing University,Nanjing, China, in 2004. She is currently working
toward the Ph.D. degree in electrical engineering atTsinghua University, Beijing, China.Her current research interests are simulations and
analyses of the very fast transient overvoltage in GIS.
Yu Xinjie (M01) received the B.S. and Ph.D.degrees in electrical engineering from TsinghuaUniversity, Beijing, China, in 1996 and 2001,respectively.
He is an Associate Professor of Electrical Engi-neering at Tsinghua University. His research inter-ests include all aspects of computational intelligenceand computational electromagnetics.