Koopman Operator Theory in Dynamical Systems and

Control

Igor Mezić
Department of Mechanical Engineering
& Mathematics,
University of California, Santa Barbara

IFAC Workshop on
Langrangian and Hamiltonian
Methods
for Nonlinear Control
Valparaiso, Chile
May 2, 2018.
 Introduction
From Rowley, IM et al. (2009), JFM
Approach:

•  A reformulation of dynamical systems theory in terms of

evolution of observables.
•  Classically used to study measure-preserving systems.
•  For dissipative systems: “composition operator”
1 •  Spectral objects associated with a class of linear, infinite-
dimensional, non self-adjoint operators help unravel the
0.5
state-space geometry and enable model reduction and
0 control in high-dimensional systems.
•  Relationship to data analysis is direct: akin to stochastic
!0.5
process theory
!1
!1 !0.5 0 0.5 1

Focus:
•  Development of off-attractor theory allowing for
dissipative and hybrid systems analysis and control
via spectral properties of the composition operator
•  High-dimensional applications: finite dimensional (e.g. DMD)
approximation in power grids, fluids, building dynamics,…
•  Random and stochastic dynamical systems.
 Introduction

PSD
State-vs-Time
Newton

State-vs-State
ωn ω
Poincare
Spectral
Wiener

Dynamics of Observables
Koopman/von Neumann

Lorenz
Introduction
 Operator theory: history and setup

Observables on phase space M

Koopman operator:

B.O. Koopman “Hamiltonian Systems and Transformations in Hilbert Space”, PNAS (1931)
Cf. Carleman (1931), Koopman-vonNeumann (1932)
Vector field case:

Generator equation

Eigenfunction equation

-Geometry of level sets of Koopman eigenfunctions in state space.

-Projections on Koopman eigenfunctions render Kooman Modes.
-We don’t necessarily want to exhibit U! (enables analysis in high dimensions)
 Spectral Expansion for Composition Operators

Chaotic
Procctor, Eckhoff, Int Health 2015
1

0.5

!0.5

!1
!1 !0.5 0 0.5 1

Rowley, IM, Bagheri, Henningson

JFM 2009
Georgescu & IM Susuki & IM (power grids),
(building energy efficiency)
 Measure-preserving, discrete dynamics:

Time averages and invariant measures:

Measure-preserving, discrete dynamics:
 Ergodic partition constructively

f1=
f2=
f3=
f4=
 Visualization

Ergodic quotient space:

Ergodic quotient space embedding

Invariant Sets

Govindarajan, IM
et al, CDC 2016

IM, 1994
 Power Grid Model

NE Power grid model: 10 generators Y. Susuki, T. Hikihara (Kyoto)

And I.M. (2009)
Hamiltonian systems in action-angle coordinates
Hamiltonian systems in action-angle coordinates
Hamiltonian systems: ergodic components and
controllability
Algebraic Properties of Eigenfunctions
Koopman expansion: Linear Systems
Linear Systems,Nonlinear Observables
Conjugacy
Nonlinear Systems with Stable Equilibrium
Nonlinear Systems with a Limit Cycle

Van der Pol oscillator.

Nonlinear Systems with a Limit Cycle
Nonlinear Systems with a Limit Cycle
Nonlinear Systems with a Limit Torus
 Isostables

Higher order isostables: fast-to-slow dynamics

Lan and Mezic, Physica D 2013,

Mauroy, A., Mezić, I., & Moehlis, J. (2013).
Physica D: Nonlinear Phenomena, 261, 19-30.
Isostables
 Isochrones, Isostables for Limit Cycles

Mauroy, A., & Mezić, I. (2012). Chaos: An Interdisciplinary Journal of

Nonlinear Science, 22(3), 033112.
 Spectral Quantities

with the a(ractor

Fixed point / Eigenvalues of Jacobian

matrix
Limit cycle Limit cycle Floquet exponents
frequency
Torus Basic frequencies Generalized Floquet
exponents
Strange Continuous Ruelle-Pollicot resonances
attractor spectrum
Isochrons Isostables èstablility
 Computation: Generalized Laplace Analysis

Projection onto Koopman eigenfunctions

(continuous time, simple spectrum):
Koopman and DMD
Koopman expansion
 Power Grid Model

NE Power grid model: 10 generators Y. Susuki, T. Hikihara (Kyoto)

And I.M. (2009)
Koopman Modes and Coherency
Koopman Modes and Coherency
 Koopman operator for controlled systems

M. Korda, I.M.
x +
= f (x, u), x R ,u
n
R m
Automatica 2018

=⇒
!"
f (x, u(0))
χ+ = F (χ) :=
Su

• Extended state := (x, u) X := Rn (Rm )

• Shift operator (Su)(i ) = u(i + 1) Space of all control
sequences (ui )i=0 =: u

[Proctor et al, 2016] [Proctor et al, 2016]

Other work
[Williams et al, 2016] [Brunton et al, 2016]
35
 Linear predictors from Koopman - EDMD

Data (χi )K
i=1 (χ+ ) K
i i=1 χ+
i = F (χi )

K
!
LS problem min ∥φ(χ+
i ) − Aφ(χi )∥2
2
A∈RNφ ×Nφ i=1

( )=[ 1( ), . . . , N ( )]

36
 Linear predictors from Koopman - EDMD

Data (χi )K
i=1 (χ+ ) K
i i=1 χ+
i = F (χi )

K
!
LS problem min ∥φ(χ+
i ) − Aφ(χi )∥2
2
A∈RNφ ×Nφ i=1

( )=[ 1( ), . . . , N ( )] linear operator

Predictor linear in u ⇒ φi (x, u) = ψi (x) + Li (u)

37
 Linear predictors from Koopman - EDMD

Data (χi )K
i=1 (χ+ ) K
i i=1 χ+
i = F (χi )

K
!
LS problem min ∥φ(χ+
i ) − Aφ(χi )∥2
2
A∈RNφ ×Nφ i=1

( )=[ 1( ), . . . , N ( )] linear operator

Predictor linear in u ⇒ φi (x, u) = ψi (x) + Li (u)

Without loss of generality

φ(x, u) = [ψ1 (x), . . . , ψN (x), u(0)1 , . . . , u(0)m ]⊤

38
 Linear predictors from Koopman - EDMD

Data (χi )K
i=1 (χ+ ) K
i i=1 χ+
i = F (χi )

K
!
LS problem min ∥φ(χ+
i ) − Aφ(χi )∥2
2
A∈RNφ ×Nφ i=1

( )=[ 1( ), . . . , N ( )] linear operator

Predictor linear in u ⇒ φi (x, u) = ψi (x) + Li (u)

Without loss of generality

φ(x, u) = [ψ1 (x), . . . , ψN (x), u(0)1 , . . . , u(0)m ]⊤

K
!
min ∥ψ(xi+ ) − Aψ(xi ) − Bui (0)∥22
A∈RN×N , B∈RN×m
i=1
39
 Algorithm summary

! " ! " ! "

Data X = x1 , . . . , xK , Y = x1+ , . . . , xK+ , U = u1 , . . . , uK

! " ! "
Lifting Xlift = ψ(x1 ), . . . , ψ(xK ) , Ylift = ψ(x1+ ), . . . , ψ(xK+ )

LS problem min ∥Ylift − AXlift − BU∥F , min ∥X − CXlift ∥F

A,B C

Solution [A, B] = Ylift [Xlift , U]† , C = XX†lift

1 (x0 )
+
z = Az + Bu z0 = (x0 ) = ..
.
x̂ = Cz
N (x0 )

40
 Control:
(Korda,Koopman+MPC
Mez ć, Automat ca 2018)

Goal: Data-driven control nonlinear systems using linear techniques

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z + = Az + Bu H1
z0 = ψ(x0 )
MPC
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x̂ = Cz
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x0 given <latexit sha1_base64="CEns+i0s3lBsaAB3kxvDmZXgI7A=">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</late

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dim(z) dim(x) LQR
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Nonlinear system
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Linear predictor
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Linear control design
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Prediction comparison
1
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0.8
True Koopman MPC solves convex quadratic program
Embedding predictor
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0.6
0.4
Local linearization ) Can compute reliably and extremely fast
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Koopman MPC is completely data-driven

0.2
0
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-0.2 ) Does not require a model

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-0.4
-0.6
) Can be rapidly deployed in diverse settings
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-0.8
Applications: Power grid, fluids, naopositioning
-1
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Korda Susuk Mez ć 2018 Arbab Korda Mez ć 2018 Kamenar e a 2018
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 Boundary control of lid-driven cavity flow
Control input: the amplitude of the top
lid velocity.
Training data: 500 2-second-long
trajectories with a sequence of
random inputs and initial conditions.
Observables: 40 pointwise
measurements of the velocity with
delay embedding of dimension 5.
Dimension of the Koopman linear
predictor: 200
Dimension of the nonlinear system:
5000

Control objective: stabilize the

limit-cycling flow at Re=13k
around the steady solution at
Re=10k with bounded input.

Korda, Arbabi, Mezic 2018.

Conclusions