a guide to the generation of lyapunov functions
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Okan
Gurel
and Leon Lapidu
ver the past eight years a vast outflow of research
0
nd publications has resulted from the use of
Liapunov’s “second (or direct) method” of stability
analysis. Th is work stems from the appearance of the
original work of Liapunov in 1892, more than half a
century ago, but only recently has this concept been
appreciated to the point where workers in the area
of
stability of dynamic systems and automatic control are
aware of its potentialities.
In its simplest form this method treats the stability
of ordinary differential equations and tries to answer
the question of whether the solution remains arbitrarily
close to an equilibrium solution after being disturbed.
This is carried out via a function V x) , named the
Liapunov function, and its total derivative, p(x),which
are examined for certain properties.
When applied to specific systems, this method may be
used either for analysis or for synthesis. I t is the former
use, namely that of analysis, which is of interest here.
I n such a case, the application of the method lies in
constructing the function, V x), and its derivative such
that they possess certain properties. When these
properties of
V x)
and
p(x)
are shown, the stability
behavior of the system is known . T he difficulty, how-
ever, arises when the necessary conditions cannot be
exhibited, for then no conclusion can be drawn about
stability. Each problem is a new challenge, for the
functions must be shaped anew for each given system,
or class of systems. The proper choice of V x) depends
to a n extent upo n the experience, ingenuity, and, often,
good fortune of the analyst.
Unfortunately, the available material on the second
method has evolved to the point where an engineer who
wishes to use the method for the analysis of a specific
physical system finds himself confronted with an immense
job of merely searching the literature in many diverse
fields to ascertain the recent developments. Thi s pape r
has thus been prepared to allow a novice in the field
to approach this available literature in a rational
man ner. Consideration is given only to the determinis-
tic problem described by ordina ry differential equations.
We include briefly the theorems necessary for dis-
cussing Liapunov’s second method and then approach
the different methods for constructing Liapunov func-
tions in a general manner. Th e main theme is to
classify the constructive procedures into a few simple
A Guide to
the Generation
of
Liapunov
Functions
T hi s survey a ids the
engineering application
of Liapunov’s second method
of
s tabi li ty analy s is
by bringing together published
work on the construction
of
L i a p u n o v f u n c t i o n s
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categories and then to outline how the various methods
fall within each category. Because of the almost over-
whelming amount of material, only a few of the con-
struc tions will be explicitly detailed. Brief descriptions
of all other methods are contained in five sections of an
appendix
;
this appendix is, however, not published
here but can be obtained directly from the authors-
details are given on page
40.
Liapunov Theorems
I n this section we shall outline, in a simple manner,
those definitions and theorems necessary for the rest of
the discussion. Furt her a nd more explicit details can
be found in various books, listed in Section I11 of the
References.
We consider the unforced, continuous-time, dynamic
system
X ( t )
=
f(x) (1)
which has an equilibrium point
at
the origin x(0)
=
0.
Now let R1 be a region in the state space of
x(t)
for
which the norm
Ijxl(
<
CY
nd let R2 be
a
similar region
for which llxll <
@.
Assume that a
> @
then regions
R I
nd Rz may be thought of as hyperspheres around the
origin of radius CY and 8, respectively. If the state of th e
system at time
t = 0
is x
=
xo 0, then we say that:
Th e system is stable, if for every
xo
in
Rz
there is
a region RBdefined by 11x11
< 7
Y >
7 >
8, such that
lirn
\\x(t)ll
< a. Stated in another fashion, this says
th at the system never goes outside the regionRa.
1.
t-+
m
2 . Th e system is asymptotically stable, if for an y
xo
in
Rt,
lirn /lx(t)ll
+ 0.
Stated in another fashion, this
says that the trajectory of x(t) eventually ends up at the
origin.
3.
T he system is asymptotically stable in the large or
completely
stable if it
is
both asymptotically stable and the
region
RZ
s the entire state space. Now the trajectory
eventually ends up at the origin no matter where its
startin g point is.
T h e system is unstable, if for some xg in Rz with
0
small, lim
X I
(t)l/ > a. Now the system goes outside
the region Rs.
With these definitions in hand, we now turn to a
variety of properties for a real-valued scalar function,
V(x),
to be called the Liapunov function. These
properties are :
1. V(x)
is continuously differentiable-Le., all the
first partial derivatives of V x) exist an d a re continuous.
2. V(x) is positive definite. This means th at V(x)
>
0 for all x
0,
but that
Y(x)
= 0 for x = 0.
3. The derivative of V(x), p(x), is negative definite.
This means that
p(x)
<
0
for all x
0
but that
v(x)
=
0
for x
= 0.
At th e same time, we note by the chain rule
of differentiation th at
t+ OJ
4.
t+
dV dxi
vv
(x)
=
X ( t )
= vv .
f(x)
=
% = I dt
grad
V
e f(x)
2)
where n is the number of states in the vector
x,
V V is the
gradient vector of
V,
and the dot indicates the dot
product
of
the two vectors.
4.
The derivative of
V(x), v(x),
is negative semi-
definite.
5.
As the norm of
x t )
goes to 00, llxll +
Q),
V(x)
also goes to 00.
6.
T h e derivative of
V(x), +(x),
is positive-Le.,
By combining certain
of
these six properties, we may
now specify various features of the stability of the sys-
tem given by Equation 1.
If a Liapunov function exists satisfying
properties
1, 2,
and
4,
then the system
is
stable in the
vicinity of th e origin.
If a Liapunov function exists satisfying
properties 1, 2 , and 3, then the origin is asymptotically
stable.
This means tha t V x ) < 0 for x 0.
V x ) > 0.
Thus:
Theorem 1.
Theorem 2.
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Theorem 3.
If a Liapunov function exists satisfying
the properties
1,
2 and
3
and
4,
hen the origin is asymp-
totically stable in the large.
If a Liapun ov function exists satisfying
the properties 1, 2,
4,
and 5 and also V x )
=
0 only at
the origin, then the origin is asymptotically stable in the
large.
If a Liapunov function exists satisfying
the properties
1, 2,
and
6,
then the origin is unstable.
Consider a bounded region
Ro
n which
V x) satisfies properties 1 and
2 ,
then any solution of
Equation 1 (any trajectory) which starts in
Ro is
a. stable, and remains in
Ro
if V x) satisfies
property 4 n the region
b. asymptotical ly stable if
* x)
satisfies property
3
in this region
While these theorems may be extended in many
directions, this will not benefit subsequent discussions.
However, it does seem worthwhile to discuss further
some of the points above in a qu alita tive fashion.
First, it
is
noted that property
5
is concerned with
global properties since it considers the entire state
space. I n effect, property 5 implies that the surfaces
V x) = constant are closed and bounded in the whole
space and clustering about the origin. Th e properties
2
and the nonsign equivalence of
V x)
and
p x)
imply
that the trajectories of the system cross all
V x) =
con-
stant surfaces in the direction
of
the origin, and global
asymptotical stability results. Prope rty
3
or, better,
Equation
2,
measures the relative slope between
V x)
and the local tan gents to the system trajectories.
Second, it is noted that all of these stability condi-
tions are merely sufficient and they may not be neces-
sary. Th e word “necessary” must be interpreted as
“there exists at least one such pair
V x)
and V(x).”
Thu s, if one cannot find a pai r which satisfies the
theorems, this does not mean tha t the system is unstable.
Third, it is noticed that the Liapunov function may
not be unique and that a number of “pairs” may satisfy
a theorem. In such a case, each pair may yield different
quantitative information about the stability characteris-
tics of the system.
Finally, we wish to point out that most of the condi-
tions above hold, in an analogous form, when the system
is represented by a discrete model rather than a con-
tinuous model. Wh en the system equations are given
as difference equations, integro-differential equations, or
partial differential equations, certain equivalent results
may also be quoted. However, the reader is referred
to books given in the bibliography, such as
111.6)
nd
(IIZ.7) for these extensions.
Theorem 4.
Theorem 5.
Theorem
6.
Construction of Liapunov Functions
Since the first publication on the second method by
Liapun ov himself (which was based upo n the concept
of the energy of
a
system), there has been
a
stream of
papers related to extensions, applications, and discuss
of this idea. On e of the main themes in these pape
the means of generating the Liapunov function w
divorcing it from the restriction that it relates to
system energy. This follows because Liapunov’s orig
theorems do not reveal a general method for genera
such functions. I n the next section we shall prese
detailed bibliography of all these works and, while t
are not completely definitive, five major categories
constructive methods will be suggested. These c
gories are:
1. Chetaev-type methods (integral methods)
2. Krasovskii-type methods (quadratic €orms)
3.
Zubov-type methods (partial differential eq
4. Lur’e-Postnikov-type methods (canonical form
5. Miscellaneous-type methods
I n the Chetaev-type methods Liapunov functions
obtained, either directly or indirectly, from the f
integral of the system equations. I n the Krasovs
type methods, the construction is based upon quadr
forms derived directly from the system equatio
Zubov-type methods are quite powerful and are ba
upon solving certain partial differential equatio
Lur’e-Postnikov-type methods are quite specific
based upon certain canonical equations. Those ni
ods of construction which d o no t conveniently fit
the first four categories are placed in the final catego
We stress the point that this subdivision into catego
is not inclusive, but merely represents
a
conven
means of handling the problem of representing all
different methods. Obviously, there are alternate w
to define the constructive methods but the above se
the most general.
A
typical alternate might be ba
upon the first selection of a trial function; thus, so
methods start by selecting V x), others by selecting
gradient, vV(x), and others by selecting V(x).
Anot
possible approach might be to categorize the diffe
methods into those which form a Liapunov funct
directly from the system equations and those wh
allow more flexibility in the choice of the function.
will be observed that there are essentially two ba
approaches to constructing a Liapunov function :
a trial function which is candid ate for a Liapunov fu
tion is first formed ; if i t does not satisfy the neces
properties it is abandoned.
2)
A
trial function
formed, and to satisfy the desired properties ei
certain conditions are imposed on the system equati
or certain components of the candidate function
adjusted to make the function a Liapunov function.
T o aid the re ader in seeing the differences between
methods and categories, some simple examples will
detailed where it is felt to be specially instruct
Further, most of the discussion within a category
relate to one possible approach, wi th all other approac
and extensions within tha t category described briefly
tions)
3
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We star t our discussion with the special linear system
X ( t ) =
Bx(t)
( 3 )
where B is a constant nonsingular matrix. I n his
original treatise, Liapunov
(III. )
considered the
Liapunov function as
a
quadrat ic in the state variables
x
to obtain a positive definite function. Her e we select
the Liapunov function as a more general quadratic form
V(x)
=
x’Ax (4)
where
A
is a square positive definite matrix and the
prime denotes the transpose of the vector. I t follows
immediately tha t properties 1, 2, and 5 mentioned in the
preceding section are satisfied. Now forming the de-
rivative of V x) yields
‘(x) =
X’Ax + X’AX
=
-x’Cx
5)
6)
where we have used Equatio n
3
and
- C
=
B’A
+
AB
But we see tha t if C is positive definite, then property
4
s
satisfied a nd from Theorem 4 the origin is asymptotically
stable in the large.
Theorem 7. A necessary and sufficient condition
for the complete stability of the orig in of the system
given by Equatio n 3 is that there exists a positive definite
A which
is
the solution of the linear algebraic equations
of Equation G where
C
is any positive definite matrix .
As a result, we see that in the linear dynamic case we
can select any
C
(nonuniqueness) which is positive
definite (say
C
=
I),
solve Equation 6 for the elements
of
A,
and then test
A
for positive definiteness. Thus,
in this special linear case, we have a straightforward
method for constructing a Liapunov function.
It
should be mentioned here that in the linear dynamic
system just considered, local stability implies equivalent
asymptotic stability in the large. I n a nonlinear system,
however, an equilibrium point can be locally asymptoti-
cally stable without being stable in the large.
We can now proceed with the general discussions on
the various types of methods.
Chetaev Type Methods
In 1946, Chetaev (111.3) roposed a method for con-
structing a Liapunov function based on some combina-
tion of the known integrals of motion--i.e., linear
bundles of first integrals. I n essence, he made use of
Liapunov’s original idea tha t the total energy of a
conservative system could serve to define stability of a n
equilibrium point.
Stated in a different manner, if one can find a first
integral for which V x )
=
k
=
constant, then it follows
that
p(x)
= 0 and
V(x)
can be used to specify stability
conditions within the region k . Thus, for the nonlinear
conservative system
I n fact, it is possible to state :
Figure
7.
History of the construction of
Liapunov
unctions
At this point we can introduce a chart, Figure 1
summarizing the history of the construction of Liapunov
functions.
It
is clear that following the formulation of
the stability theorems by Liapunov in 1892 (motivated
by the physical phenomena of energy), th e first extension
was to use the sum of squares of the state variables
xi
as
the simple form of the Liapunov function. Exactly
half a century later while Lur’e and Postnikov were
formulating a n extension of this idea to automatic control
problems, Chetaev presented a more formal framework
for the construction of Liapunov functions. A decade
later Krasovskii extended this idea
so
that instead of
the state variables, the right-hand side of the system
equations or the velocity variables were suggested as pa rt
of the Liapunov function. This represented a consider-
able extension of th e previous proposal.
About the same time Zubov formulated those Liap-
unov theorems which allowed the solution of certain
partial differential equations to serve as a means for
finding a Liapunov function. This involves the concept
of first looking at the part ial derivatives of
V, VV,
rather
than the function itself-Le., this is now termed the
gradient approach. Since the 1950’s it is probab ly fair
to say that all the methods presented fall into the cate-
gories of either energy-type analogies (Chetaev) or some
analytic-type construction (generalized Liapunov func-
tions via Krasovskii-type construction).
Table I presents a summary in tabular form of the
different methods in the literature. This table shows
when each method was first discussed and where each
method has been included in surveys in the literature.
Th e symbols used in this table indicate (1) * he main
category in which the specific method is considered, 2)
other categories in which the method can also be
cross-referenced, and
(3)
12 urvey papers where the
method is included and discussed.
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TABLE I. METHODS
OF
GENERATING LIAPUNOV FUNCTIONS
t h e Method
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one can suggest tha t the total energy is
8)
X
Z2
2
= - -
x14
+ 2 x 1 ~
Further, it follows directly t hat k(x) =
0.
Thus, if we
select E x ) = V x ) as the Liapu nov function, it behaves
as indicated above. I n fact, it is a simple matt er to
show that E x )
=
V(x) from Equation 8 predicts stability
of the origin.
I n a more rigorous manner, we may state Chetaev’s
idea by first assuming that for a nonlinear dynamic
system of dimension
n
there a rep first integrals
@ < n
which vanish for x = 0.
If the given time-dependent
integrals are holomorphic functions of the variables,
then the constants U I ,
. .
., u p ,
c1,
. . . c p are selected
in such a way t ha t the expansion of the function
Q(U1, . . ., Up)= alU1
+
. . +
Ul(X,O, ’ ’
‘
UP X,t)
Th en we state the theorem:
Theorem 8 (Chetaev).
a,Up
+
c1U12
+
.
.
. +
cpUpz (9)
begins with a definite quadrati c form.
It
was Pozharitskii’s work in 1958 11 . 77 ) which
specified further conditions on the constants
ul, .
.
.,
u p
and
c1,
.
,
., c p such that Q(U1, .
.
.,U,) could be definite
with respect to x and thus could serve as a Liapunov
function.
We also point out the more recent work of Infante
and Clark in 1962 and 1964 11.79, 38), of Walker and
Clark in 1964 and 1965 11.40,4 4 , and of Kinnen and
Chen in 1967 (11.48))ll of which bear a relationship to
the work of Chetaev, in the sense that integrals of the
system are used to construct Liapunov Functions.
Th e work of Infante and Clark, termed the nearby
integral method for reasons which shall be obvious
shortly, dealt largely with two-dimensional systems
(and thus only one time-independent integral).
If
such
an integral g(x1,xz)
=
k exists, it must satisfy the relation
A sufficient condition t hat such an integral exists is tha t
Unfortunately, most systems do not satisfy this condi-
tion; Infante an d Clark showed how to modify the
system
so
that a Liapunov-like integral could actually
be constructed. Thus, for the system
21 = X Z = f l X 1 , X Z )
22 = i X1,XZ)
Equation 10 becomes bfz/bx2 = 0. In this case, an
integral exists, and the stability question can be ap-
proached. If no such integral exists, however, then
dfz/dxz
= 3 0 and the system is modified to
l l
21 = xz -
J ~ S X , X ~ ) ~ X
+ 4 ~ i , ~ z )
22 = fz(X1,Xz) +
s X 1 , X z )
0
where th e new functions f4 and 5 have been introduced
such that
df4
df6
- + - = o
dXl bxz
For this new system a Liapunov-like integral can be
found and, iff4 and f 5 can be selected properly, the main
properties of the original system can be retained . Ob -
viously, the proper selection of these two functions is the
key to the method. Such a selection can be obtained
rather easily in the two-dimensional case by some
geometric considerations which look at neighborhood
integrals U1 =
c1,
Us = cz,. . . in the x1,xz phase plane.
As such, the method is relatively easy to use.
Walker and Clark and Kinnen and Chen extended
this method to nth order systems by constructing
“nearby” systems containing a set of new functions wi.
In each case the main question is how to select these new
functions such that a Liapunov function for the original
system can be obtained. Both these approaches appea r
promising but largely untested to date.
Krasovskii-Type
Methods
Of all the methods for constructing a Liapunov func-
tion, the one attributed to Krasovskii and its extensions
have seen the most applica tion. Th e reason for this is
that the method is quite general, the motivation behind
the method being based on the following reasoning.
The right-hand sides of the system equations of first
order determine the equilibrium point as f = 0.
I t is
then intuitively obvious th at these right-hand sides play
an important role in determining the stability behavior
of the trajectories in the neighborhood of the equilibrium
point. Thus, it follows th at f should be used in the
Liapunov function itself. Moreover, to guarantee the
positive definiteness of V x ) , a quadratic form in f is
imperative. Just as in the Chetaev approach, the
simplest quadratic form in
f
(rather than in x ) can be
used in man y applications. However, for complicated
systems it is necessary to turn to more sophisticated
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forms of Krasovskii’s app roach. I n fact, most recent
efforts have been in the predicted direction of generaliz-
ing the quadratic form in f.
I n the present analysis, we include all methods which
use a suitable quadratic form (or weighted square) of
the system equations as the Liapunov function. T o
illustrate the features of this method, we start with the
usual nonlinear equation
X ( t )
=
f(x)
11)
where it is assumed that
f(0)
= 0. There may be
multiple equilibrium states which satisfy Equation
11,
bu t we assume that any such state c an be transferred to
the origin. We indicate the Jacobian matrix for this
system as
J(x)
=
and note that
is
symmetric.
Theorem
9
(Krasovskii). For Equation 11, with
f(0) = 0
and
f(x)
differentiable, the equilibrium state
x
= 0
is asymptotically stable i fj (x ) is negative definitive.
A Liapuiiov function for the system is given by the
quadratic in
f
Now we
state Krasovskii’s theorem as
V(x) = f’(x)f(x) 1
3 4
Further, if V(x)+- 03 as ] ; X I ’+ m , the equilibrium state
is asymptotically stable in the large.
Actually, Krasovskii used
a
generalized quadrat ic form
Y(x ) = f’(x)Af(x) (13b)
where A is
a
constant positive definite matrix.
led to the requirement that
This
J ’ W A
+
AJ(x) (12b)
be negative definite.
W e
note that
f(x) = J(x)X = J(x)f(x)
and thus V(x)
=
f’(x)f(x)
+
f’(x)f(x)
=
f’(x)IJ’(x)
+
Jb)f(x)
r= f’(x)j(x)f(x)
When J(x) is negative definite, p(x) is negative definite,
and
V(x)
in E quatio n 1 3 is
a
Liapunov function.
Krasovskii uses the Jacobian matrix of the usual
linearization procedure, but it does not limit trajectories
to the vicinity
of
the origin. Furthe r, f(x) is used in the
Liapunov function rather than the states, x(t), thern-
selves.
Th e case where the x(t) are used i n the form
V(x) = x(t)’x(t) (
is usually referred to
as
Liapunov’s original form ,
select the system
Example.
To illustrate the use of this theorem,
k1 = - “ X I + x2
k2
=
x 1
- x 2 -
x Z 3
a > O
which has the equilibrium state x
=
0.
Here
-ax1
+
x2
x 1 - x 2 - Z 3
f(x)
=
and
2 -2 -
6x
] j (x ) = [ -2 ,
J d = [-“
- 1
- 3x22
f’(x)f(x)
= - a x 1
+ x 2 ) 2
+
x1
-
x2
-
4
By examining the minors of j (x) , we can show that
negative definite; further, f’(x)f(x)+ 00 as (1xl/+
and thus the equilibrium state (origin) is asymptotic
stable in the large.
Unfortunately, while Krasovskii’s method is relativ
easy to use, experience seems to indicate that its grea
application holds for “slightly” nonlinear syste
As a result, there have been many attempts such
those by Ingwerson
(11.73),
Szego
11.25),
Ku and P
(I1.29),
and others to generalize the procedure.
As a typical illustration of a generalization, we c
sider briefly the work of Ingwerson. In this appro a
it is required t hat the gradient
VV x)
satisfy the condit
that the curl of a vector is equal
to
zero. I n particu
it is known th at the necessary a nd sufficient condition
a vector function, g, to be the gradient of a scalar is
the curl matrix must be zero, where the ( i , j ) elem
of the
( n
x
n ) curl matrix is defined by
For
the curl matrix to be zero, the following /z
[ n ( n
-
conditions on the
gl,gz,. .
.
,g,
must be satisfied
Further, these conditions are necessary and suffic
for the scalar whose gradient is
g
to be independent
the path
of
any line integration.
Ingwerson’s method star ts with the idea alre
outlined for a linear or linearized system. Thu s, if
write our linearized equation as
AUTHORS Okan Gure l is a S t u z Me m be r u t t he N e w Y
Scient c Center
of
the IBM Corp. Leon Lapid us is Profe
o f Chemical Engineering at Princeton University. T
coauthored “Stability via Liakunov’s Second Method,” w
appeared on page 72 o
I ?EC,
J u n e 1968.
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an d select
a
Liapunov function as in Equation
4
V(x)
=
x’Ax
16 )
then, for
a
truly linear system, Equat ion
6
J’A + AJ = -C
17 )
must be met to ensure stability. But this presupposes
that A is a constant independent of x; in the nonlinear
case this is not true and, in fact, A = A(x). Wit h this
complication in mind, we follow the basic idea of the
linear problem of choosing a
C
and then calculating an
A.
But now we note th at if
A
is constant,’ hen
or that the elements of
A
are related to the second
derivatives of V(x). Thus, once we have A, one integra-
tion yields the gradient
of V(x), vV(x),
and a second
integration yields the Liapunov function
V(x)
itself.
The real question is how to perform this integration,
and it is here that the curl conditions come to bear.
Note at the same time that this assumes a quadratic
form, Equation
16,
for the Liapunov function. As
such it then falls into the broad category of Krasovskii’s
method.
Once the matrix C is chosen, the matrix A follows,
and the integrations leading to VV(x) and then to V(x)
are carried out. Thus, first
n x
VV(x) = J Adx
(18)
where the explicit integration is carried out for x t as
though the oth er variables were constant-Le.,
VV X) =1 i l d X l +
IZu,,
xz +
.
. +
and second
V X) =1V(x)’dx (20)
I n this last integral, the unique scalar V(x) is obtained
by a line integration
of VV(x)
along any path. For
this integral to be independent of the path, the curl of
VV(x) must vanish or
This relation can be satisfied if the a t j are allowed to
contain only the variables
x i
and
x j .
Th e simplest path
for the integration is given by
J Vz x1,hz,O,. .
.,O)dXz
+ . .
+
where the com ponent of vV(x) in the x t direction is v V ~
T o summarize, Ingwerson’s metho d calculates J(x)
an d then chooses a symmetric, definite (or semidefinite)
C. Now A is calculated from Equation
17
but all
terms which violate
u i j
= a j i are crossed out and all vari-
ables in
a i j
are set to zero except x { and
x , .
This
A
matrix is integrated twice and the resulting
V x )
tested
for its appropriate properties.
If
V x) is definite, then
the solution to the problem is known.
Of
specific interest is that Ingwerson has tabulated
solutions of Equation
17
for J, a constant matrix, up to
the 4th order. Thi s helps in calculating A after having
chosen
C.
However, it must be mentioned that the
method is not completely general and since the A matrix
is not unique, considerable ingenuity may be required
in some cases to make the proper choice of th e impor tant
matrices.
Szego
11.25)
and a series
of
investigators beginning
with Ku and Puri (11.29) nd including Puri (11.33),
Puri and Weygandt
(11.3 ),
nd Haley 11.27) have all
approached the problem of forming generalized quad-
ratics in either the pure Krasovskii form [involving
f(x)] or in the state form [involving x(t)].
As
an
example, the Liapunov function is taken as
V(x) = x’A(x)x
and a set of conditions is set up in terms of a specific
form for
A(x)
such that the definite or semidefinite
conditions on V(x) and ?(x) are established. Sufficient
details on these methods are given in the Appendix .
Finally, we mention the work of Mangasarian (11.31)
and Rosenbrock (11.22). Each of these may be con-
sidered a form of Krasovskii’s approa ch. Thus , Man -
gasarian proposed certain conditions on
x’f(x)
and was
able to relax the differentiability requirement on f(x)
at x = 0. Rosenbrock suggested a Liapunov function
given as the sum of some measures on th e function fi(x)
as follows:
If the quadratic form is used as a measure, Krasovskii’s
form is obtained.
Zu
bov-Type Methods
Zubov-type methods sta rt with derivatives of
V(x)
and
then proceed back to the funct ion itself. Thus, in this sec-
tion we consider methods based upon th e use of ?(x)
rather than V(x) directly. I n other words, a type of in-
direct approach is used. I n Zubov’s method itself
(11.6),
a partial differential equation is solved (hopefully in
closed form) to yield stability information; in the
variable gradie nt method of Schultz and Gibson
(11.23)’
the analysis proceeds through the gradient
V V P )
which
is related directly to
?(x).
I n Zubov’s method the solution of the equation
V(x) = VV’X = VV’f(x)
V O L . 6 1
NO.
3
M A R C H
1 9 6 9
37
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for V will yield the Liapunov function where +(x) is a
definite or at least semidefinite function of x. For the
two-dimensional case, as an illustration,
21 = l X l , X 2 )
x 2 =
z x1,xz)
Equation 23 becomes
Zubov solved this problem by a change of variable
V(x1,xd = -In
[I
- v(xl,xz>l
25)
so that from
Equation 2 4 becomes
-@(xi,xz) [1 - V(XI,XZ)]26)
Actually, Zubov also considered a more general right-
hand side of Equation 26, but we shall not
go
into this
here. Of particular importance was that Zubov was
able to show, under mild restrictions on the differential
equations, the following almost sweeping results :
If Equation 26 can be solved for v , and
if
0
v
< 1,
v
is a Liapunov function, and this is a necessary
and sufficient condition for complete stability of the
origin, X I =
x2
= 0.
If v = 1, assuming it exists, it is an integral curve
of
the system equations and is the boundary of the
region of asymptotic stability.
As an illustration of a system which can
be solved by Zubov’s method , we consider
1.
2.
Example.
2 = -x1 +
2 X 1 2 X 2 = fl(x1,xz)
2 2
= - 2 2 =
z X 1 , X d 2 7 )
Since +(x~,xz)must be positive definite, we make the
obvious choice
+(Xl,XZ)
=
x?
+
x22
such that using Equation 27, Equation
26
becomes
-(XI’ + xz2) l V) 28)
The solution to this equation can be obtained by ele-
mentary means as
Kate
that v(x1,xz) vanishes only at X I =
x2
= 0 and
positive everywhere else; as such, it fulfills the requir
ment of a Liapunov function.
Also
with the same properties. When ~ 1 x 2= 1, we see th
v(x1,x~)=
1,
and thus x ~ x z = 1 is the boundary
stability; in other words, when xlxz < 1, the system
asymptotically stable.
Obviously, the main difficulty in using Zubov
method is the problem of solving the partial differenti
equation in closed form and the need to choose
+ x1,x
in an intelligent fashion to facilitate the solution. Autho
such as Szego (11.26) have reinterpreted the approac
in an effort to make this selection easier. But eve
here the problem remains a most difficult one whic
cannot be recommended for general applicability.
The variable gradient method, by contrast, tends
develop a relatively straightforward procedure for tailo
ing a specific Liapunov function to each particular no
linear system. I t does not start with the assumptio
of a qu adratic form for the Liapunov function but rathe
defines an arbitrary gradient function with coefficien
to be determined. With this gradient, an integratio
of the form previously discussed as used in Ingwerson
method is performed to yield V(x)--i.e., we have fro
Equation
2 ,
V x )
= VV(x)’X(t)
and
V(x)
=
vV(x)’dx
Th e coefficients in the gradient are determined so as
make “(x) negative semidefinite. Note that in th
procedure one gets away from the purely quadrat
Liapunov function which may not exist for some system
The first step is to assume a completely arbitra
column vector VV(x)--i.e.,
1
VV(x) =
The coefficients ai,(x) are functions
of
x and, in pa
ticular, may have the explicit form of a constant plus
function of the s tate variables,
a t ) =
at]&.
+
a, >
These coefficients are to be determined from constrain
pu t on ”(x), by the curl conditions, by obvious inspe
tion and even by the necd for V(x) to be positive defini
This feature will be seen shortly.
Once vV(x) has been assumed, it follows direct
that “(x) = V V x ) ’ x can be calculated; v x ) is co
strained to be at least negative semidefinite, that
38
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possess the same negative sign throughout state space
except a t isolated points [this determines some of the
aij(x)
above]. Now the curl equations are invoked to
determine the remaining unknown
aij(x)
and allow
the calculation of
V(x) = svV(x)’dx.
T o illustrate this method, we choose t he
system
Example.
21
= x2
i
- x 2
-
x13
We choose the gradient as
and calculate, using
azz(x)
= 2 for simplicity, and drop-
ping the x functionally notation for ease in writing,
V(x) = VV(x)’X = (UllXl + a12x2)21+
(azm +
U z z X 2 ) 2 2
= X 1 X Z U 1 1 2x12 a21) +
~ 2 ~ ( ~ 1 22) -
az1x14
(30)
To make V(x)
at
least negative semidefinite we pu t
a11 - 2x12 - 2 1 = 0
0 <
a12
< 2
I n particular, we choose
a12
= 1.
30 becomes
As
a result, Equation
V(x) =
- x 2 2
- ~ 2 1 x 4
(31)
and
with the only unknown coefficient left being
a21.
we determine from the curl equations
This
bVVl
dVV2
axz axl
where
VV, = bV/bxl,
or using Equation 32
When we recall that
a21
is really a function of x in the
two parts discussed previously, then
aUzl2
1 = a 2 1 8 +
a211
+
x1
x1
This identity can be satisfied if we choose ~ 2 1 ~0 and
a212 = 1. Thus
and the line integration of
VV(x)
yields
V(x),
33)
It is not difficult to show that Equation 33 is a valid
Liapunov function for the nonlinear system.
Note that a
nonquadratic in
x1,x2
has resulted.
Extensions and generalizations of the gradient method
have been proposed by Puri 11.32) and by Szego 11.24).
Details are presented in the Appendix.
Of interest,
however, in the present context is the recent work of
Peczkowskii and Liu 11.46). Whereas the variable
gradient method starts with th e form
VV(x) = [A(x)lx
Peczkowskii and Liu start with
= [A(x)lf(x)
Reiss and Geiss 11.35) have suggested essentially
an iterative technique for forming V(x) as linear com-
binations of the squares of the individual states. The
usual test for definiteness is used to determine the itera-
tion and to yield a n approximate Liapunov function.
Lur’e-Postn kov-Type Method
The methods to be detailed here originated in the
work of Lur’e and Postnikov although Lur’e is fre-
quently referenced singly. Th e methods apply to a
special class of systems suitable for feedback control
applications with a single, special type of nonlinearity.
Because of the lengthy details of the development, we
shall merely present the necessary highlights.
First, however, we wish to point out that there are
two forms of the equations which belong to the Lur’e-
Postnikov class. These are the so-called indirect control
and the direct control cases. Th e difference is due to
the manner in which the input (control) variable,
u,
s
defined. However, since one case can be shown to be
transformable into the other, we shall not bother with the
distinction.
The basic idea of the present approach is to take the
system equation with its special nonlinearity and con-
vert it into canonical form. Th en a Liapunov function
may be defined which is an extension
of
the quadratic
type we have already discussed. I n particular, con-
sider a scalar nonlinear element whose input is given by u
and whose output is a u ) , and which satisfies the re-
quirements
1(u)du 2 0 0
a (0 ) = 0 r = 0 (41)
La +
3
u +
3
This nonlinearity is included in the system equation as
X = Bx + u a u )
42)
u = v’x
where B is a constant n
X n
matrix and
u
and
v
are
constant vectors.
T o analyze this system, we first make a transformation
to diagonal form by
x = Ty 43)
V O L . 6 1
NO. 3 M A R C H
1 9 6 9 39
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where
T
is the Vandermonde matrix containing
the
eigenvalues
(A,)
of
A.
These A are assumed to be real,
distinct, and nonzero. The transformation of Equat ion
43
converts Equation 42 to
y
= Ay + T-lua (u)
Q
=
v’Ty
(44)
with
A
the diagonal matrix having elements
Xi.
Liapunov function
O n this basis, Lur’e an d Postnikov suggested the
V x )
=
y’Ay
+ l a ( , )
(45)
which is seen to be a quadratic term in the states
y
plus
an integral term involving the system nonlinearity.
After some manipulation this leads to
V X) = -y‘Cy
+ CY(~U’T’-’A+
v ’ T A ) ~ O.*V’U
(46)
where
C
has the form we have previously encountered,
viz:
- C
= (A‘A + AA)
Because of the special character of the eigenvalues,
if C
is positive definite then
A
is positive definite and
vice
versa. Thus, Lur’e and Postnikov further suggested that
C be chosen by
C
= bb‘
which, when substituted into Equation 46, leads to a
set of n algebraic equations for the components of b.
Assuming these equations can be solved, we see the
result is a positive definite V x) and at least a negative
definite
V x ) .
Further work in this area has been detailed by Letov
(11.3),Yakubovich 11.g), Popov (ZI. O , Lefschetz
Z 1 . 7 4 , and Mufti
11.27),
in particular. However, we
do not wish to detail these in the present writeup, but
details are given in the Appendix .
Mi sce l l a n e o u s - T yp e Me t h o d s
Here, we have a number of different methods which
do
not seem to fit conveniently into our previous cate-
gories. In general, these methods do not introduce
basic changes in the development of Liapunov function
generation. Th ey can be viewed as either energy-type
analogies which fall back into Chetaev-type methods
or analytic-type constructions using various mathe-
matical techniques to form a suitable function, which
fall into the Krasovskii-type group. In particular, there
are the methods of Zubov (11.4, arbashin 11.72))
Karendra-Ho-Goldwyn
(11.5 ,
Harris
11.28),
nti-
penko 11.36), Puri Z1.39), Boyanovich 11.47), Ponzo
ZI.
42), and Kinnen-Chen 11.47).
C o n c l u s i o n
This paper summarizes the historical development and
classification of methods for generating Liapunov
functions for systems of deterministic ordinary differe
tial equations. In addition, surveys which appeare
between 1960 and 1967 have also been cited. As seen,
type of classification is possible within which almost a
the different methods can be contained. In a bas
sense, very little work has been done since Krasovsk
proposed his generalized quadratic construction. I t
hoped a new- approach to this problem might lead
fruitful results.
APPENDIX
A
five-part appendix containing details of the five
methods for constructing Liapunov functions (Chetaev-
type, Krasovskii-type, Zubov-type, Lur’e-Postnikov-type,
and miscellaneous-type) can be obtained by citing this
article and writing
Dr.
Okan Gurel,
IBM
Carp., New York
Scientific Center, 410
E.
62nd St., New York, N. Y.
10021.
B i b l i o g r a p h y
Th
first part contains those survey papers which are cu
rently available. As seen, the first surveys were pu
lished in 1960 by three Russian scientists
1 . 7 , 1.2).
Th
most comprehensive survey is by Drake and associat
1.6) in 1965 as a NASA report. In reading some
these surveys the reader should be aware that a bi
seems to exist, in the sense that certain papers strike th
authors’ favor.
The second part of this bibliography lists chronolog
cally all the papers and reports of interest. Th e fir
paper in connection with construction of a Liapuno
function was written half a century after the origin
treatise of Liapunov
ZIZ.
7) by Lur’e and Postniko
(11.7)
n 1944. The first work in the Western wor
appeared 16 years later in 1960 in a thesis by Ingwerso
The third part of this bibliography presents a li
of books in the English language. Except for one, a
of these originally appeared in Russian and have no
been translated. Th e first book by Liapunov is
French translation.
This bibliography is made up of three parts.
ZZ 3).
I. SURVEY P A P E R S
1960
1.7) Barbashin, E. A., “The Construction
of
Liapunov Functions for Non-lin
Systems,” Vol. 2 , pp 943-7, Proc . First Intern. Congr. o In t. Fed. Auto. Cu
Moscow, 1960, Butterworths, London.
1.2)Lur’e A. I. and Rorenvasser E . K. On Methods of Constructing Liapu
Functions in tge Theory
of
Non-]:near do ntr ol Systems,” ib id . , Vol. 2 , pp 928-3
1964
(1.3)
G .
R. Geiss, “T he Analysis and Design of Nonlinear Control Systems
Liapunov’s Direct Method,” Air Force Flight-Dynamics Laboratory Resea
and Technologv Division U. . Air Force
Wright-Patterson
A i r
Force Ba
Ohio, Tech . Do; R e p . No.’RTD-TDR-63-40?6, August 1964 .
(1.4)
arks, P. C., “Stability Analysis for Linear and Nonlinear Systems Us
Liapunov’s Second Method,” “Progress in Conrrol Engineering,”
(Ed,
R .
Macmillan), Vol.
2,
pp 29-64, Academic, New York, N. Y. , 1964.
1965
(1.5)Derman, C. C., and LeMay, A. R., ”A Survey of Methods for Generat
Liapunov Functions,” (N66-35556), pp 114-32, Aero-Astrodvnamics Resea
Review No. 2, July I-Dec. 30,
1964,
N66-35546*, 156 pp, Naiional A eronau
and Space Administration, Marshall Space Flight Center, Huntsville, A
1 April 1965.
(1.6)Drake,
R.
L., “Methods for Systematic Generation of Liapunov Function
Parts I and
11,
NASA CR-67863 and NASA CR-6?864,1965.
1.7) Lefferts, E.
J.
“ A Gui i e of the Application
of
the Liapunov’s Direct Meth
to Flight Control Systems, NASA CR-209, April 1965.
4 0 I N D U S T R I A L A N D E N G I N E E R I N G C H E MI S T RY
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18)
etov A. M., “Liapuno v Theory of Stability of Motion, Disciplines and
Techn iqdes of System Control,” (Ed. J. Peschon), p p
267-314,
Blaisdell, New
York, N. Y., 1965.
I9) Schultz, D. G., “Th e G eneration of Liapunov Functions, Advances in Control
Systems,” (Ed. C. T. Leondes), pp 1-64, Vol. 2,Academic, New York, N. Y.,
1765.
1966
(I10) Salah, M . M., “Investigating Stability of Differential Equations b Liap-
unov’s Direct Method,” Middle East Technical University, Ankara, qur key,
M.S. Thesis, 1966.
(1.77)SzegB, G. P. ,“Li apun ov Second Method,”
Appl. M ech. Rev., 19
lo),
833-8
1766).
1967
(1.72)Gurel,
O.
nd Salah, M. M
“ A Surve of Methods of Conatructing Liap-
unov Functions,” IBM New York’Scientific &enter, Rept. No. 39-022, ebruary
1967.
11. ORIGINAL PAPERS
1944
11.7) ur’e, A.
I.,
and Postnikov, V. N., “O n the Theory of Stability of Control
Systems,” P M M ,
8 1944).
1949
(112)Aizerman M A
“On
a Problem Concerning the Stability in the Large
ofDynamical ystkms;i” Us . Mat . N au k., 4 4), 187-8 1947).
1950
(1I.3)Letov, A. M.,“ Inherently Unstable Control Systems,” P M M , 14 1950).
1953
(11.4) ubov V I. “Some Sufficient Conditions of Stability of Nonlinear Systems
of
Differen;ial’Ec;uations,”
ibid., 17 1953).
1954
(I1 ) Krasovskii, N. N.,,YOn the Stability in the Large of a System of Nonlinear
1955
Differential Equations, rbid., 18, 735-7 1954). (See also 11.7 elow.)
(11.6) ubov V. . “Problems in the Theo r of the Second Metho d of Liapunov,
Constructich of h e General Solution in tLe Domain of Asymptotic Stabilit ,”
ibid., 19, 179-210 1955).
1957
(I1
) Krasovskii N. N. “Stability in the Case of Large Initial Disturbances,”
i’btd., 21, 309-{9 17573.
(11.8)
etov, A. M., “Die Stabilitat von Regelsystemen mit nach ebender Ruck-
fuhrung,” Regelunstechnick, Moder ne Theorien und ihre gerwendb arkeit,
Munich, 1957.
(11.9)Yakubovich, V. A. “On a Class of Nonli near Differen tial Equations,”
Dokl. Akad. Nauk SSSR,’ 117, 44-6 1957). [Engl. Trans.: AMS Translations
Series 2, p 1-4, Vol. 25 1963).1
1958
11.70) opov, V. M “Rela xing the Sufficiency Conditions for Absolute Stability,”
Automat. i Telerneh.,”l9,1-7 1958).
(See also 11.78below.)
(11.77)
ozharitskii, G. K.,
“ O n
the Construction of the Liapu nov Functions from
the Integrals of the Equations for Perturbed M otion,” P M M , 22,145-54 1958).
1960
II .72) Barbashin E. A
“ O n
Constructing Liapunov Functions for Nonlinear
(11.73) ngwerson, D. R., “ A Modified Liapunov Method for Nonlinear Stabilit
(See also 11.
Systems,” Proc.’of IFA &, Moscow,
1960
(Butterworths
1961).
Problems,” Ph.D . Thesis, Stanford University, Nove mber 1960.
below.)
(11.74)Lefschetz, S., “Controls: An Application of the Direct Method of Liap-
unov,” Bol.
Sac.
Maternat. Mex., p p 139-43, 1760.
(11.75)Narendra, K. S., and Ho , Y. C., “On the Construction of Liapunov Func-
tions for Nonlinear Systems,” Cr uft Lab. Tech. R ep. N. 328, Harvard University
Cambridge, Mass., 1960.
(See also 11.20 below.)
1961
(11.76) hang, S .
,?.
L. “Kinetic F unction for Stabilit Analysis of Nonlinear
11.17)
Ingwerson, D. R., “ A Modified Liapunov Metho d for Nonlinear Stability
21.78)
Poppv V M “Absolute Stability of Nonlinear Systems of Automatic
Contro l Systems, J . ojBaszc Engineering, AS M E, 83, 91-i 1961).
Analysis,” I R E
Trans.,
pp 199-210, 6 2) 1961).
Control, A h m a t . i kelernch., 22, 961-77 1761).
1962
(11.19) nfante, E.
F.,
“A New Approach of the Determination : he Domain
of
Stability of Nonlinear Autonomous Second Orde r Systems, Ph.D. Thesis,
University of Texas,
1962.
(See also 11.38 elow.)
(11.20)Lefschetz, S., “Some Mathematical Considerations onNonlinear Automatic
Controls,” Contributions o Differential Equations,
1 1), 1-28 1962).
(11.27)
Mufti, I. M .
“ O n
the Stability
of
Nonlinear Controlled Systems,” J .
Math. Anal.
Appls.,’4,
57-75 1962).
(11.22)kosenbrock, H. H., “A Liapunov Function with Applications
to
Some
Nonl inear Physical Systems,” Autornatica, 1, 31-53 1962).
(11.23)Schultz,. D. G., and Gibson, J. E., “The Variable Gradient Method for
Generating Liapun ov Functions,” AZEE
T ra n s .
Part
11,
ppls. and Ind., 81, 203-10
1
962).
(11.24)SzegB, G. P., “On the Application of the Zubov M,ethod for Construction
of Lia unov’s Functions for Nonlinear Control S stems Proc. 7962 Joint
Auto.
Cont.
C’onf.,
New York, N. Y.
(11.25) zegB, G. P.,
‘ ‘k
Contribution to Lia unov’s Second Method Nonlinear
Autonomous Systems
84 573-8 1962).
(Presen te d a t the Wi dte r A k a 1 Meekn g of ASME , NewYo;k,
G .
Y.)
[Tr an s . AS M E,
S e r . 6 ,
85023, 137-42 1963).]
Traw ASME Ser
8
J
Basic
Eng
2I .26 )
SzegB, G. P., “ O n New Partial Differential Equations for the Stability
Analysis of Time-Invariant Control Systems,”
J. SIAM Control, Ser . A,
l 1)
63-7 1962). (Same work has appeared in Proc. of the
2nd
Congress of the Int:
Fed. of Auto. Cont., Basle, Switzerland, 1763, under the title: “New Methods
for Constructing Liapuno v Functions for Time-Invariant Control Systems.”)
1969
(11.27)
aley, R. L. “Generation of Liapunov Functions for Certain Classes of
Nonlinear S stems’” Ph.D. Thesis, Moore School of Electrical Engineering,
University o8Penniylvania, 1963.
21.28) Harris
S.
“Application of Rout h Criterion to Phase-S pace Stability ”
Master’s TLesis,’ Moor e Scho ol of Electrical Engineering, University
of
Penns;l-
vania, 1963.
(11.29)
Ku,
Y. H., and Puri , N, N., “ O n Liapunov Functions of Higher Order
Nonlinear Systems,”
J . Franklin Inst., 276, 349-64 1763).
(11.30) ei hton W “On the . Construction of Certain Liapunov Functions,”
Proc.
Nat?. Acab. Scl 50 1763). ,[See also W. Leighton “ O n the Construction
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