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Igor Mezić

Abstract— Recent contributions have extended the applica- [3], [4]. Koopman was working with square-integrable ob-

bility of Koopman operator theory from dynamical systems to servables on state space. For a dynamical system

control. Stability theory got reformulated in terms of spectral

properties of the Koopman operator [1], providing a nice ẋ = F(x), (1)

link between the way we treat linear systems and nonlinear

systems and opening the door for the use of classical linear defined on a state-space M (i.e. x ∈ M - where we by slight

e.g. pole placement theory in the fully nonlinear setting. abuse of notation identify a point in a manifold M with its

New concepts such as isostables proved useful in the context

vector representation x in Rm , m being the dimension of the

of optimal control. Here, using Kato Decomposition we de-

manifold), where x is a vector and F is a possibly nonlinear

velop Koopman expansion for general LTI systems. We also

interpret stable and unstable subspaces in terms of zero level vector-valued smooth function, of the same dimension as

sets of Koopman eigenfunctions. We then utilize conjugacy its argument x, denote by St (x0 ) the position at time t

properties of Koopman eigenfunctions to extend these results of trajectory of (1) that starts at time 0 at point x0 (see

to globally stable systems. In conclusion, we discuss how the

Figure 1). We call St (x0 ) the flow. Denote by g an arbitrary,

classical Hamilton-Jacobi-Bellman setting for optimal control

can be reformulated in operator-theoretic terms and point the

applicability of spectral operator theory in max-plus algebra to

z3

it. Geometric theories such as differential positivity have been

also related to spectral theories of the Koopman operator [2], St(z0)

pointing the way to the more general case of quasiperiodic and

chaotic attractors.

z1
z0

I. INTRODUCTION z2

problems in dynamical systems in control. It has its roots Fig. 1. Trajectory of a dynamical system in R3 .

in 1930’s through the work of Koopman and von Neumann

Igor Mezić, Departments of Mechanical Engineering and Mathe- vector-valued observable from M to Rk . The value of this

matics, University of California, Santa Barbara, CA 93106. Email:

mezic@engineering.ucsb.edu, Phone: 805-893-7603 observable g that the system trajectory starting from x0 at

time 0 sees at time t is has continued, as summarized in [8]. This is partially due

g(t, x0 ) = g(St (x0 )). (2)

the spectral properties the Koopman operator for dissipative

Note that the space of all observables g is a linear vector systems and the geometry of the state space. In fact, the

space. The family of operators U t , acting on the space of hallmark of the work on the operator-theoretic approach in

observables parametrized by time t is defined by the last two decades is the linkage between geometrical

U t g(x0 ) = g(St (x0 )). (3)

advocated and strongly developed by Poincaré and followers

Thus, for a fixed time τ , U τ maps the vector-valued ob-

eigenfunctions [7], [9], [10]. The operator-theoretic approach

servable g(x0 ) to g(τ, x0 ). We will call the family of

has been shown capable of detecting object of key impor-

operators U t indexed by time t the Koopman operator of

tance in geometric study, such as invariant sets, but doing so

the continuous-time system (1). This family was defined for

globally, as opposed to locally as in the geometric approach.

the first time in [3], for Hamiltonian systems. In operator

It also provides an opportunity for study of high-dimensional

theory, such operators, when defined for general dynamical

evolution equations in terms of dynamical systems concepts

systems, are often called composition operators, since U t

[11], [12] via a spectral decomposition, and links with

acts on observables by composing them with the mapping

associated numerical methods for such evolution equations

St [5]. In discrete-time the definition is even simpler: if

[13].

0

x = T(x), (4)

II. C ONTINUOUS - TIME L INEAR S YSTEMS WITH S IMPLE

is a discrete-time dynamical system defined on a set M then S PECTRUM

the Koopman operator U associated with it is defined by

In the case when the sys is linear, and given by ẋ =

U g(x) = g ◦ T(x). Ax, its matrix eigenvalues are eigenvalues of the associated

The operator U is linear, as shown here for the discrete case:

are given by ([12])

φj (x) = hx, wj i , j = 1, . . . , n (6)

= c1 U g1 (x) + c2 U g2 (x). (5)

where wj are eigenvectors of the adjoint A∗ (that is, A∗ wj =

In the continuous-time case, a similar calculation also shows

λcj wj ), normalized so that hvj , wk i = δjk , where vj is an

linearity of members of the Koopman family for each time

eigenvector of A, and h·, ·i denotes an inner product on a

t.

linear space M in which the evolution is taking place. This

It was only in the 1990’s that potential for wider applica-

tions of the operator-theoretic approach has been realized [6], φ̇j = hẋ, wj i = hAx, wj i = hx, A∗ wj i = λj hx, wj i = λj φj ,

7035

and thus φj (t, x0 ) = U t φj (x0 ) = exp(λj t)φj (x0 ). Now, for is the vector vj . On the other hand, the eigenvalues and

any x ∈ M , as long as A has a full set of eigenvectors at eigenfunctions used in the expansion do not change. Thus,

distinct eigenvalues λj , we may write what changes with change in observables is their contribution

n

X n

X to the overall evolution in the observable, encoded in Cvj .

x= hx, wj i vj = φj (x)vj .

j=1 j=1 These properties persist in the fully nonlinear case, with the

t

U x(x0 ) = x(t) = exp(At)x0

n Note also that the evolution of coordinate functions can

X

= hexp(At)x0 , wj i vj be written in terms of evolution of Koopman eigenfunctions,

j=1

Xn by

= hx0 , exp(A∗ t)wj i vj n

X

j=1 U t x(x0 ) = φj (t, x0 )vj . (10)

Xn j=1

= exp(λj t) hx0 , wj i vj ,

j=1 III. C ONTINUOUS - TIME L INEAR S YSTEMS : G ENERAL

Xn

= exp(λj t)φj (x0 )vj , (8) C ASE

j=1

where x(x0 ) is the vector function that associates Cartesian In general, the matrix A can have repeated eigenvalues and

coordinates with a point x0 (the initial condition) in state this can lead to a lack of eigenvectors. Recall that algebraic

space. This is an expansion of the dynamics of observables multiplicity of an eigenvalue λj of A is the exponent (mj )

- in this case the coordinate functions x(x0 ) in terms of the polynomial factor (λ − λj )mj of the characteristic

of spectral quantities (eigenvalues, eigenfunctions) of the polynomial det(A − λI). In other words, it is the number

Koopman family U t . Something interesting comes out: the of repeat appearences of λj as a zero of the characteristic

quantity we know as eigenvector vj is not associated with polynomial. An eigenvalue that repeats mj times does not

the Koopman operator, but rather with the observable - if we necessarily have mj eigenvectors associated with it. Indeed -

changed the observable to, for example y = Cx, C being the algebraic multiplicity mj of λj is bigger than or equal to

an m × n matrix, then the expansion would read geometric multiplicity, which is the number of eigenvectors

n

X associated with λj . A very elegant way of seeing this is to

U t y(x0 ) = exp(λj t)φj (x0 )Cvj , (9)

use the so-called Kato Decomposition. Kato Decomposition

j=1

and we would call φj (x0 )Cvj the j − th Koopman modes

operator is decomposed into a sum of terms consisting of

of observable y. Assume now that the space of observables

scalar multiples of projection and nilpotent operators. For a

on Rn we are considering is the space of complex linear

finite-dimensional linear operator A it reads

combinations of x(x0 ). Then, φj (x0 )Cvj is the projection

s

of the observable Cx onto the eigenspace of the Koopman U=

X

λh Ph + Dh , (11)

family spanned by the eigenfunction φj (x0 ) = hx, wj i. h=1

Note that what changed between expansions (8) and (9) Mh that can be defined as the null space of (U − λh I)mh ,

7036

and Dh is a nilpotent operator. We now use the spectral de- leading further to

X X X∞

k · (k − 1) · ... · (k − j + 1) k−j j tk

= λh Dh ,

to provide an easy, elegant proof of Hirsch-Smale theorem j<m

j! k!

h=1 h k=j

s X Dj X∞

[14] on solutions of ordinary differential equations. Consider X tk

= h

λhk−j ,

m j<m

j! (k − j)!

a linear ordinary differential equation on R , ẋ = Ax where h=1 h k=j

Xs X Dj

h j λh t

A is an n × n matrix. It is well-known that the solution of = t e .

j<m

j!

h=1 h

this equation reads x(t) = exp(At)x0 , where x0 is the initial (15)

condition. The exponentiation of the matrix A reads

∞

Thus we get

X Ak t k

exp(At) = . (12) s X tj eλh t j

k! X

k=0 exp(At) = (eλh t Ph + Dh ), (16)

j<m

j!

h=1 h

Now, from the Kato decomposition we obtain

s s

k X

Let us now connect this expansion to the formula we

X X k

A = k

λkh Ph + λhk−j Dhj , obtained previously, given by (8). In that case, we assumed

j=1

j

h=1 h=1

that algebraic multiplicities of all eigenvalues are 1, and there

where λh , h = 1, ..., s are eigenvalues of A. Now we rewrite

is a full set of associated eigenvectors vj . Thus, the nilpotent

exp(At) as

part Dj = 0, and the projection of a vector x0 on the j − th

∞

Ps k

Pk k

Ps k−j j

h=1 λh Ph + j=1 j h=1 λh Dh

X

I+ tk , eigenspace is Pj x0 = hx0 , wj i vj = φj (x0 )vj . Using this

k!

k=1

Pk Ps with (16), we obtain (8).

s

X ∞

X λ k tk h

∞

X j=1

k

j h=1 λhk−j Dhj k

= Ph + t ,

k! k!

h=1 k=0 k=1

Pk k Ps

s ∞

λk−j j

j=1 j h=1 h Dh

X X

λh t

= e Ph + tk ,

k!

h=1 k=1

(13)

More generally, let the dimension of each geometric

∞ ∞ ∞

distinct eigenvalues of A and m1 , ..., ms their multiplicities

l λh t l

X λ k tkh

X λk tk+l

h

X λm−l

h tm

te =t = = . (or equivalently dimensions of algebraic eigenspaces corre-

k! k! (m − l)!

k=0 k=0 m=l

sponding to eigenvalues). Label the basis of the generalized

We can rewrite the second sum in the last line of (13) as

m

eigenspace Ej by vj1 , ..., vj j , where vji are chosen so

∞ X s k

X X k jt

λk−j

h Dh that (A − λj I)i vji = 0. In other words, vj1 is a standard

j<mh k=j

j k!

h=1

s ∞ eigenvector of A at λj and the generalized eigenvectors

k k−j j tk

X X X

= λ Dh ,

j<m

j h k! vji , i = 2, ..., mj satisfy Avji = λj vji + vji−1 . Now let

h=1 h k=j

(14)

φij (x) = x, wji where wji is the dual basis vector to vji

and satisfies

7037

Note that for i > 1. leading further to

mj

s X

X

φ̇ij (x) ẋ, wji

= Ax, wji x0 , exp(A∗ t)wji vji

= =

j=1 i=1

= x, A∗ wji = x, λcj wji + wji+1

mj

s X mj

X X tk−i

=

= λj x, wji + x, wji+1

j=1 i=1

(k − i)!

k=i

s mj mj

X XX tk−i k

= λj φij (x) + φi+1

j (x). (18) = λj t

e ( φ (x0 ))vji

j=1 i=1 k=i

(k − i)! j

mj

s

" !

We call φij (x), 1 ≤ i < mj generalized eigenfunctions of

X X

λj t

= e φkj (x0 )vjk

j=1 k=1

the Koopman operator at eigenvalue λj .

mj −1 i mj

!#

X t λj t X

+ e φkj (x0 )vjk−i .

i=1

i!

k=i+1

(21)

Example 1 To justify the name generalized eigenfunctions,

consider the following simple example: let mj = 2. Then We connect the formula we just obtained with the expansion

φ̇1j = λj φ1j + φ2j , where φ12 is an eigenfunction of U t at λj (16). Comparing the two, it is easy to see that

mj

satisfying φ̇2j = λj φ2j . Then X

Pj x = φkj (x)vjk , (22)

k=1

(d/dt − λj I)2 φ1j = 0.

and

mj

X

Thus, φ1j is in the nullspace of the differential operator d

( dt − Dji x = φkj (x)vjk−i (23)

k=i+1

λj I)2 .

The above discussion also shows that, as long as we

Expanding from the example, for mj arbitrary, generalized

f (x) = hc, xi, where c is a vector in Rm , then the

eigenfunctions φ satisfy (d/dt−λj I)mj φ = 0. By integrating

generalized eigenfunctions and associated eigenvalues of the

(18), the time evolution of the generalized eigenfunctions

Koopman operator are obtainable in a straightforward fashion

reads

mj −i n i+n

X t λj t X from the standard linear analysis of A and its transpose.

φij (t) = e φlj (0). (19)

n=0

n!

l=mj

Generalized eigenfuctions are also preserved under conju-

(in fact by directly differentiating (19), one can easily find

gation: for i > 1 we have

out that it satisfies (18)). Now writing

i+n

mj Pmj −i tn λj t X l

s X

X n=0 e φj (h(y)) = USt φij (h(y))

x, wji vji , n!

x= l=mj

j=1 i=1

= φij (S t h(y)) = φij (h(T t y)) = UTt φij (h(y))

we get

Thus, φij ◦ h is a function that evolves in time according

t

U x(x0 ) = x(t) = exp(At)x0

s Xmj to the evolution equation (19) and thus is a a generalized

X

exp(At)x0 , wji vji

= eigenfunction. Together with the fact this is easily proved

j=1 i=1

(20) for ordinary eigenfunctions, we get

7038

Proposition 2 Let St , USt be the family of mappings and the Looking at equation (8) it is interesting to note that one

Koopman operator associated with ẋ = f (x) and Tt , UTt a can extract the geometrical location of stable, unstable and

family of mappings and the Koopman operator associated center subspaces from the eigenfunctions of the Koopman

with ẏ = g(y). In addition, let h be a mapping such that operator. Order eigenvalues λj , j = 1, .., n from the largest

St h(y) = h(Tt (y)), i.e. the two dynamical systems are to the smallest, where we do not pay attention to the possible

conjugate. If φ is a (generalized) eigenfunction at λ of USt , repeat of eigenvalues. Let s, c, u be the number of negative

then the composition φ ◦ h is a (generalized) eigenfunction real part eigenvalues, 0 and positive real part eigenvalues.

of UTt at λ. Let λ1 , ...λu be positive real part eigenvalues, λu+1 , ..., λu+c

It is easy to see that the most general case, in which

part eigenvalues. Then the joint level set of (generalized)

dimension of geometric eigenspaces is not necessarily 1,

eigenfunctions φ1 = 0, ..., φu+c = 0 is the stable subspace

is easily treated by considering geometric eigenspace of

E s , φ1 = 0, ..., φu = 0, φu+c+1 = 0..., φu+c+s = 0 is

dimension say 2 as two geometric eigenspaces of dimension

the center subspace E c , and φu+1 = 0, ..., φu+c+s = 0

1. Keeping in mind that these correspond to -numerically -

the unstable subspace E u . This generalizes nicely to non-

the same eigenvalue, we can define generalized eigenvectors

linear systems (see below) while we know that the standard

corresponding to each eigenvector in - now separate - 1-

definition, where e.g. the unstable space is the span of

dimensional geometric eigenspaces.

v1 , ..., vu does not - even when the system is of the form

IV. S TABLE , U NSTABLE AND C ENTER S UBSPACE ẋ = Ax + f for f bounded, f (0) = 0, and small,

Let us recall the definition of stable, unstable and center

center manifolds that are tangent to the unstable, stable and

subspaces of ẋ = Ax: the stable subspace of the fixed

center subspace E u , E s , E c , respectively. So, the joint zero

point 0 is the location of all the points that go to the

level sets of Koopman eigenfunctions define dynamically

fixed point at the origin as t → ∞. The stable subspace is

important geometric objects- invariant subspaces - of linear

classically obtained as the span of (generalized) eigenvectors

dynamical systems. This is not an isolated incident. Rather,

corresponding to eigenvalues of negative real part. In the

in general the level sets of Koopman eigenfunctions reveal

same way, the unstable subspace of the fixed point 0 is the

important geometrical information about the underlying dy-

location of all the points that go to the fixed point at the

namical system.

origin as t → −∞, and is classically obtained as the span

of positive real part. The center subspace is usually not Non-degenerate linear systems (i.e. those with det A 6= 0)

defined by its asymptotics (but could be, as we will see that have a single equilibrium at the origin as the distinguished

it is the location of all the points in the state space that solution. As the natural first extension to nonlinear realm, it

stay at the finite distance from the origin as t → ∞ or grow is interesting to consider a class of nonlinear systems that (at

slowly (algebraically)), but rather as the span of (generalized) least locally) have an equilibrium as the only special solution,

eigenvectors associated with eigenvalues of zero real part. and consider what spectral theory of the Koopman operator

7039

for such systems can say. an analytic observable, the spectral decomposition of the

For systems that are stable to an equilibrium from an open operator yields [15]

U t f (x) = sk11 (x) · · · sknn (x)vk1 ···kn e(k1 λ1 +···+kn λn )t .

resembles that of linear systems - as could be expected once {k1 ,...,kn }∈Nn

(25)

it is understood how Koopman eigenfunctions change under

The functions sj (x), j = 1, . . . , n, are the smooth eigen-

conjugacy - the topic we discuss first. Geometric notions that

functions of U t associated with the eigenvalues λj , i.e.

were discussed in the previous LTI context, such as stable,

unstable and center manifolds are developed in this nonlinear U t sj (x) = sj (φ(t, x)) = sj (x)eλj t , (26)

context.

and the vectors vk1 ···kn are the so-called Koopman

VI. KOOPMAN E IGENFUNCTIONS U NDER C ONJUGACY modes [16], i.e. the projections of the observable f onto

Spectral properties of the Koopman operator transform sk11 (x) · · · sknn (x). For the particular observable f (x) = x,

nicely. Consider a nonlinear system ẏ = g(y), globally (25) corresponds to the expression of the flow and can be

n

St , USt be the family of mappings and the Koopman operator X

U t x = x∗ + sj (x)vj eλj t

associated with ẋ = f (x) and Tt , UTt a family of mappings X

j=1

and the Koopman operator associated with ẏ = g(y).

{k1 ,...,kn }∈Nn 0

k1 +···+kn >1

Assume that φ(x) is an eigenfunction of USt associated with

The first part of the expansion is similar to the linear case. We

eigenvalue λ. In addition, let h be a mapping such that

recognize here that the operator formalism we are developing

St h(y) = h(Tt (y)), i.e. the two dynamical systems are

leads to a striking realization: the only difference in the

conjugate. Then we have

representation of dynamics of linear and nonlinear systems

exp(λt)φ◦h(y) = φ(St h(y)) = φ(h(Tt (y))) = UTt (φ◦h(y)), with equilibria on state space is that in the linear case,

i.e. if φ is an eigenfunction at λ of USt , then the composition infinite. In linear systems, we are expandding the state x(p)

φ ◦ h is an eigenfunction of UTt at λ. In other words, if which itself is a linear function on the state-space, in terms

we can find a global conjugacy to a linear system then the of eigenfunctions of the Koopman operator that are also

spectrum of the Koopman operator can be determined from linear in state x(p). In the nonlinear case, this changes - the

the spectrum of the linearization at the fixed point. Koopman eigenfunctions are nonlinear as functions of state

VII. E IGENMODE E XPANSION

that the expansion is asymptotic in nature - namely, there are

The Koopman semigroup of operators U t describes the terms that describe evolution close to an equilibrium point,

n m

evolution of a (vector-valued) observable f : R 7→ C and terms that have higher expansion or decay rates.

along the trajectories of the system and is rigorously defined

7040

VIII. S TABLE , U NSTABLE AND C ENTER M ANIFOLDS R EFERENCES

Let x∗ be a unique equilibrium point of an analytic nonlin-

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∗

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[3] B.O. Koopman. Hamiltonian systems and transformation in Hilbert

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[10] Alexandre Mauroy, Igor Mezić, and Jeff Moehlis. Isostables,

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7041

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