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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

    0278-0046/$25.00 2007 IEEE

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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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    1314 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 3, JUNE 2007

    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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    1316 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 3, JUNE 2007

    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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    1318 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 3, JUNE 2007

    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.