ear devices.
Apart from large scale numerical methods, this is However, in both cases, such controllers need to be tuned
the only method known at present for carrier-injected ridge
waveguides in which the two-dimensional mixing of the fields
beneath the ribs can be modelled with some accuracy.
Acknowledgment: S. V. Burke acknowledges with thanks the
financial support from BT Laboratories. P. C. Kendall is
grateful to the Wolfson Foundation for its support.
14th March 1992
S . V. Burke; P. C. Kendall, P. N. Rohson and G. J. Rees (Dept. of
Electronic and Electrical Engineering, Uniuersity of Sheffield,Mappin
St., SheffieldSI 3JD, United Kingdom)
M. J. Adam (BT Laboratories, Martlesham Heath, Ipswich IP5 7RE,
United Kingdom)
* Present address: Dept. of Physics and Astronomy, University of
Wales College of Cardiff, PO Box 913, Cardiff CFl 3TH. United
Kingdom
References
BENSON. T. M.,KENDALL, P.e., STERN, M. s., and QULNNEY, U.A.: 'New
results for rib waveguide propagation constants', IEE Proc. J,
1989,136, pp. 97-102
ROBSON, P. N., and KENDALL, P. c. (Eds.):'Rib waveguide theory by
the spectral index method' (Research Studies Press and Wiley,
1990)
MACE, U. A. H., ADA-, M. J., SINGH, I., FISHER, U. A., HENNING, 1. O.,
and D U N r A N , w. J.: 'Twin-ridge laser amplifier crosspoint switch',
Electron. Lett., 1989, 25, pp. 987-988
PAIS, I., and HARDY, A.: 'A coupled-mode analysis of twin-stripe
index-guided lasers', IEEE J. Quantum Eleciron., 1969, QE-25, pp.
1609-1 616
SNYDER. A. w., and LOVE, J. D.: 'Optical waveguide theory'
(Chapman and Hall, London, New York, 1983)
SCHIFF, L. I.: 'Quantum mechanics' (McGraw-Hill, 1968),p. 248
BURKE, s. v., KENDALL, P. e., RITCHIE, s., ROBERTSON, M. J., and
R O E S " P. N.: 'Analysis of rib waveguide coupler filters', IEE Proc.
J . 1992,139, pp. 59-65
GENETIC TUNING OF DIGITAL PID
CONTROLLERS
B. Porter and A. H. Jones
Indexing terms: Adaptive control, Digital control
The techniques of genetic algorithms are proposed as an
alternative means of tuning digital PID controllers. This use
of genetic algorithms is particularly attractive because the
same basic approach can always be readily used, even in the
case of digital PID controllers for complex multivariable
plants with highly interactive dynamics.
Introduction: In recent years, the following guidelines have
been explicitly adopted by Porter [l] for the design of digital
controllers for multivariable plants :
(a) use only plant input and output data (i.e. regard state a s a
mathematical abstraction)
(b) model plants using only such data (e.g. step-response or
impulse-response matrices)
(c) develop effectivecontrol laws that use only such data
(d, develop effective procedures that identify such data in real
time
( e ) develop effective algorithms that tune controllers in real
time.
In this way, a continuum of design methodologies has been
developed for both nonadaptive [2] and adaptive [3] digital
controllers.
ELECTRONICS LETTERS 23rd April 1992 Vol. 28 No. 9
Authorized licensed use limited to: L D COLLEGE OF ENGINEERING. Downloaded on June 15, 2009 at 04:55 from IEEE Xplore. Restrictions apply.
carefully to produce acceptable closed-loop behaviour. This
tuning process can frequently present difficulties, even if real-
time expert systems are used to automate the tuning process
[4]. Indeed, such real-time expert systems for the tuning of
digital P I D controllers are frequently unattractive in practice
because of problems such as knowledge elicitation. Therefore,
in this Letter, the techniques of genetic algorithms [S, 61 are
proposed as an alternative approach to the tuning of such
controllers. These techniques are very simple to apply and yet
promise to provide a means of readily incorporating in digital
P I D controllers practically meaningful performance character-
istics.
Genetic tuning methodology: The digital PID controllers pro-
posed by Porter [l] are governed on the discrete-time set {0,
T, 2 T , , .. ,k T , . . .} by control-law equations of the form [23
U, = T K , e , + T K , z , + K,(e, - e,-]) (1)
where T E R + is the sampling period, e, = U - y, E R" is the
error vector, U E R" is the set-point vector, and
zk = z t - I + Te,- E R" (2)
is the integral of the error vector. The P I D controller matrices
K , e R m x m ,K , E R " ~ " , and K , E R " ~ " are given by the
design equations 121
K, = H-'(T)n (34
K , = G-'(O)E (36)
and
K, = H-'(T)A (34
where H(T)E R" " and G(0)E R" K m are, respectively, the
open-loop step-response matrix and the steady-state transfer
function matrix. In addition, in eqn. 3, II E R""", Z ER""",
and A E R"" are positive diagonal tuning matrices whose
elements are chosen by the designer to achieve satisfactory
closed-loop control.
In implementing such nonadaptive digital P I D controllers
in the case of fixed-parameter plants [Z], it is assumed that the
matrices H(T) and G(0) are known from off-line step-response
tests. However, for variable-parameter plants, the matrices
H(T) and G(0) can still be obtained from on-line tests con-
ducted in real time. The resulting adaptive digital PID con-
trollers [3] accordingly incorporate identifiers that recursively
estimate the required matrices H(T) and G(0). However, in
both the nonadaptive [2] and adaptive [3] cases, the selection
of a set {n,Z, A} of tuning matrices is frequently a difficult
task that cannot be simplified even by the use of real-time
expert systems [4] for this purpose. These considerations
motivate the investigation of the possibility of using genetic
algorithms to tune both nonadaptive [2] and adaptive [3]
digital P I D controllers.
T o use genetic algorithms in this way, it is only necessary to
encode the elements of the positive diagonal tuning matrices
in each set {n,E, A} involved in the design equations (eqn. 3)
in accordance with a system of concatenated, multiparameter,
mapped, fixed-point coding [6]. Thus, each set (n, X, A) of
tuning matrices is represented by a string of binary digits.
Then, following a random initial choice, entire generations of
such strings can be readily processed in accordance with the
basic genetic operations of selection, crossover, and mutation
[6]..In particular, the selection process ensures that the suc-
cessive generations of digital P I D controllers produced by
genetic algorithms exhibit progressively improving behaviour
in respect of some fitness measure such as minimum rise time
or minimum integral square error. This use of genetic algo-
rithms for tuning digital P I D controllers [2, 31 is particularly
attractive because the same basic approach can always be
readily used, even in the case of controllers for complex multi-
variable plants with highly interactive dynamics. Indeed, the
efforts of control engineers can thus be concentrated on the
843
 formulation of appropriate scalar fitness measures to reflect
the needs of engineering practice.
Illustrative example: These general considerations can be con-
veniently illustrated by designing a digital P I D controller for
the single-input/single-output plant with transfer function
1 JONES, A. H., and PORTER, B.: ‘Design of adaptive digtal set-point
c(sj = (4)
(s + 3Xs2 + 2s + 2)
It is of considerable interest to design such a controller for this
plant using genetic algorithms since Polak and Mayne [7]
and Gesing and Davison [8] previously optimised a P I D con-
troller for this plant using rather complicated nongenetic opti-
misation algorithms. In the present case, it is evident from
eqn. 4 that the steady-state transfer function
G(0) = 0.1667 (5)
and that the step-response function
References
PORTER, E.: ‘Issues in the design of intelligent control systems’,
I E E E Control Systems Magazine, 1989, 9, pp. 97-99
PORTER, E., and JONES, A. H . : ‘Design of tunable digital set-point
tracking PID controllers for linear multivanable plants using step-
response matrices’. Proc. 25th IEEE Conf. on Decision and
Control, Athens, 1986, pp. 1502-1507
tracking PID controllers for multivariable plants’, I E E E Trans..
1987, AC-32. pp. 459-462
PORTER, 8.. JONES, A. H., and MTKEOWN, c. n.: ‘Real-time expert
tuners for PI controllers’, Proc. I E E , 1987, 134, pp. 260-263
HOLLAND, I. H.:‘Adaptation in natural and artificial systems’ (The
University of Michigan Press, Ann Arbor, 1975)
GOLDBERG, D. E.: ‘Genetic algorithms in search, optimization and
machine learning’(Addison Wesley, Reading, 1989)
POLAK, E., and MAYNE,D. Q: ‘An algonthm for optimization prob-
lems with functional inequality constraints’, I E E E Trans., 1976,
AC-21, pp 184-193
GESING, w., and OAVISON, E. J.: ‘An exact penalty function algo-
rithm for solving general constrained parameter optimization
problems’, Aufomafica,1979, IS, pp. 175 -188

H ( T ) = 0.1665 x (6)
when T = 0001 s. It is required to tune a digital P I D control-
ler governed by equations of the form of eqns. 1-3 such that
the integral square error (ISE) is minimised.

0 155 LOW-TEMPERATURE MBE-GROWN

I In,.,,Ga,.,,AI,.,,As/lnP OPTICAL
WAVEGUIDES
H. Kiinzel, N. Grote, P. Albrecht, J. Bottcher a n d
C . Bornholdt

Indexing terms Optical waveguide, Integrated optics

0 131 The MBE growth of In, ,,Ga, ,aAl, 3 0 A ~(jlB= 1-06pm)
5 10 15 20
generotlon layers in the temperature range of 400-450°C was demon-
strated to give high-quality optical waveguides which not
Fig. 1 Generation average integral square error only exhibit low propagation losses as low as 0.5dB/cm at
i.= 1.55pm but concomitantly high resistivity of > 104Clcm.
The results of solving this problem by means of a genetic The refractive index of In, ,,Ga, 18A1Uo,As was estimated
algorithm with a population size n = 16, a crossover probabil- to be 3-207 0.03 at 1 = I-55pm.
ity p , = 0.95, and a mutation probability p , = 0.01 are shown
in Figs. 1 and 2 over 20 generations. In Fig. 1 the generation
average ISE is plotted against generation number, and in Fig. Inrroducrion: Optical waveguides represent basic elements of
2 the best-of-generation ISE is plotted. These figures clearly 111-V photonic integrated circuits where they are employed for
indicate that the ISE of the best genetically tuned digital P I D on-chip optical signal routing as well as for passive and
controller steadily approaches the value 0.1251 previously electro-optic waveguide devices. For practical applications,
obtained [7, 81 by nongeneric optimisation algorithms. In low optical propagation losses of less than I-ZdB/cm have to
addition, the tuning parameters obtained by the genetic algo- be achieved. In addition, high electrical resistivity of the wave-
rithm steadily approach the values {II, Z, guide layers will be advantageous in different ways: Obvi-
A) = (5.203 x 1667 x lo4, 1.665 x correspond- ously, free carrier absorption is virtually eliminated in such
ing to the controller settings previously obtained [7, 81. waveguides. When interconnecting electrically controlled
optoelectronic or electro-optic devices high resistivity wave-
’35r guide layers help minimise electrical crosstalk. Another appli-

‘33b
O cation deals with vertically integrated waveguide-coupled
pin-FET receivers as described in Reference 1, where the inte-
w O
0 131
grated waveguide adds an extra ‘buffer’ layer to the FET
7 7 located on top. Here, a reasonably high resistivity is required
for suppressing excess FET leakage current flow over this
Eo 129
‘buffer’. On InP, optical waveguiding layers have been prefer-
0 127 ably made of InGaAsP (i.g = 1-1.3pmj whereas waveguides
o n InGaAlAs have not been as widely investigated.
Optical losses hitherto reported were greater than 2 dB/cm
[2-51, and electrical properties were hardly considered. Fur-
thermore, there is a lack of reliable data on the refractive
Fig. 2 Best-ofigenerafion integral square error index. In this work we have investigated In, ,,Ga, 18A10.03A~
(Ag = I.O6pm)/InP optical waveguides grown by MBE. In
Conclusion: In this Letter, the techniques of genetic algo- particular, the impact of the substrate temperature on the
rithms [ 5 , 61 have been proposed as an alternative means of optical and electrical properties was studied. An estimate of
tuning digital P I D controllers. This genetic approach is much the refractive index at i= I-55pm will be given.
simpler than that of the rather complicated nongenetic opti-
misation algorithms previously needed [7, 81 even in the case M B E growth: The epitaxial In, 52Ga,.,8AlozoAs layers were
of simple plants. deposited by solid-source MBE onto ‘epi-ready’ InP 2” sub-
13th March 1992 strates mounted In-free. Except for I/V-characterisation pur-
B. Porter and A. H.Jones (Centre for lnstrumentation and Automation, poses semi-insulating substrate material was used. As the
Uniumsity of Salford, Salford M5 4 W T , United Kingdom) parameter of primary interest, the growth temperature was

a44 ELECTRONICS LETTERS 23rdApril 1992 Vol 28 No. 9

Authorized licensed use limited to: L D COLLEGE OF ENGINEERING. Downloaded on June 15, 2009 at 04:55 from IEEE Xplore. Restrictions apply.