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Maxwell Fitzsimmons

Publications and source records attributed to Maxwell Fitzsimmons.

15 recordsLinked to original sources

A Globally Asymptotically Stable Planar Homogeneous Polynomial Vector Field With No Polynomial Lyapunov Function

We disprove the conjecture that every globally asymptotically stable homogeneous polynomial vector field admits a homogeneous polynomial Lyapunov function. The counterexample is a planar homogeneous cubic polynomial vector field with integer coefficients. It admits no positive definite homogeneous polynomial with nonpositive Lie derivative and, more strongly, no real-analytic Lyapunov function even locally. Nevertheless, it has an explicit degree-two homogeneous Lyapunov function that is radially unbounded, continuously differentiable everywhere, and smooth away from the origin. We also provide a machine-checked Lean 4 formalization of the main result.

math.DS

Rigorous Error Certification for Neural PDE Solvers: From Empirical Residuals to Solution Guarantees

Uncertainty quantification for partial differential equations is traditionally grounded in discretization theory, where solution error is controlled via mesh/grid refinement. Physics-informed neural networks fundamentally depart from this paradigm: they approximate solutions by minimizing residual losses at collocation points, introducing new sources of error arising from optimization, sampling, representation, and overfitting. As a result, the generalization error in the solution space remains an open problem. Our main theoretical contribution establishes generalization bounds that connect residual control to solution-space error. We prove that when neural approximations lie in a compact subset of the solution space, vanishing residual error guarantees convergence to the true solution. We derive deterministic and probabilistic convergence results and provide certified generalization bounds translating residual, boundary, and initial errors into explicit solution error guarantees.

cs.LG

Safe and Robust Domains of Attraction for Discrete-Time Systems: A Set-Based Characterization and Certifiable Neural Network Estimation

Analyzing nonlinear systems with attracting robust invariant sets (RISs) requires estimating their domains of attraction (DOAs). Despite extensive research, accurately characterizing DOAs for general nonlinear systems remains challenging due to both theoretical and computational limitations, particularly in the presence of uncertainties and state constraints. In this paper, we propose a novel framework for the accurate estimation of safe (state-constrained) and robust DOAs for discrete-time nonlinear uncertain systems with continuous dynamics, open safe sets, compact disturbance sets, and uniformly locally $\ell_p$-stable compact RISs. The notion of uniform $\ell_p$ stability is quite general and encompasses, as special cases, uniform exponential and polynomial stability. The DOAs are characterized via newly introduced value functions defined on metric spaces of compact sets. We establish their fundamental mathematical properties and derive the associated Bellman-type (Zubov-type) functional equations. Building on this characterization, we develop a physics-informed neural network (NN) framework to learn the corresponding value functions by embedding the derived Bellman-type equations directly into the training process. To obtain certifiable estimates of the safe robust DOAs from the learned neural approximations, we further introduce a verification procedure that leverages existing formal verification tools. The effectiveness and applicability of the proposed methodology are demonstrated through four numerical examples involving nonlinear uncertain systems subject to state constraints, and its performance is compared with existing methods from the literature.

eess.SY

Computing Control Lyapunov-Barrier Functions: Softmax Relaxation and Smooth Patching with Formal Guarantees

We present a computational framework for synthesizing a single smooth Lyapunov function that certifies both asymptotic stability and safety. We show that the existence of a strictly compatible pair of control barrier and control Lyapunov functions (CBF-CLF) guarantees the existence of such a function on the exact safe set certified by the barrier. To maximize the certifiable safe domain while retaining differentiability, we employ a log-sum-exp (softmax) relaxation of the nonsmooth maximum barrier, together with a counterexample-guided refinement that inserts half-space cuts until a strict barrier condition is verifiable. We then patch the softmax barrier with a CLF via an explicit smooth bump construction, which is always feasible under the strict compatibility condition. All conditions are formally verified using a satisfiability modulo theories (SMT) solver, enabled by a reformulation of Farkas' lemma for encoding strict compatibility. On benchmark systems, including a power converter, we show that the certified safe stabilization regions obtained with the proposed approach are often less conservative than those achieved by state-of-the-art sum-of-squares (SOS) compatible CBF-CLF designs.

eess.SY

A Converse Control Lyapunov Theorem for Joint Safety and Stability

We show that the existence of a strictly compatible pair of control Lyapunov and control barrier functions is equivalent to the existence of a single smooth Lyapunov function that certifies both asymptotic stability and safety. This characterization complements existing literature on converse Lyapunov functions by establishing a partial differential equation (PDE) characterization with prescribed boundary conditions on the safe set, ensuring that the safe set is exactly certified by this Lyapunov function. The result also implies that if a safety and stability specification cannot be certified by a single Lyapunov function, then any pair of control Lyapunov and control barrier functions necessarily leads to a conflict and cannot be satisfied simultaneously in a robust sense.

math.OC

Symbolic Reduction for Formal Synthesis of Global Lyapunov Functions

We investigate the formal synthesis of global polynomial Lyapunov functions for polynomial vector fields. We establish that a sign-definite polynomial must satisfy specific algebraic constraints, which we leverage to develop a set of straightforward symbolic reduction rules. These rules can be recursively applied to symbolically simplify the Lyapunov candidate, enabling more efficient and robust discovery of Lyapunov functions via optimization or satisfiability modulo theories (SMT) solving. In many cases, without such simplification, finding a valid Lyapunov function is often infeasible. When strict Lyapunov functions are unavailable, we design synthesis procedures for finding weak Lyapunov functions to verify global asymptotic stability using LaSalle's invariance principle. Finally, we encode instability conditions for Lyapunov functions and develop SMT procedures to disprove global asymptotic stability. Through a series of examples, we demonstrate that the proposed symbolic reduction, LaSalle-type conditions, and instability tests allow us to efficiently solve many cases that would otherwise be challenging.

eess.SY

Formally Verified Physics-Informed Neural Control Lyapunov Functions

Control Lyapunov functions are a central tool in the design and analysis of stabilizing controllers for nonlinear systems. Constructing such functions, however, remains a significant challenge. In this paper, we investigate physics-informed learning and formal verification of neural network control Lyapunov functions. These neural networks solve a transformed Hamilton-Jacobi-Bellman equation, augmented by data generated using Pontryagin's maximum principle. Similar to how Zubov's equation characterizes the domain of attraction for autonomous systems, this equation characterizes the null-controllability set of a controlled system. This principled learning of neural network control Lyapunov functions outperforms alternative approaches, such as sum-of-squares and rational control Lyapunov functions, as demonstrated by numerical examples. As an intermediate step, we also present results on the formal verification of quadratic control Lyapunov functions, which, aided by satisfiability modulo theories solvers, can perform surprisingly well compared to more sophisticated approaches and efficiently produce global certificates of null-controllability.

eess.SY

Compositionally Verifiable Vector Neural Lyapunov Functions for Stability Analysis of Interconnected Nonlinear Systems

While there has been increasing interest in using neural networks to compute Lyapunov functions, verifying that these functions satisfy the Lyapunov conditions and certifying stability regions remain challenging due to the curse of dimensionality. In this paper, we demonstrate that by leveraging the compositional structure of interconnected nonlinear systems, it is possible to verify neural Lyapunov functions for high-dimensional systems beyond the capabilities of current satisfiability modulo theories (SMT) solvers using a monolithic approach. Our numerical examples employ neural Lyapunov functions trained by solving Zubov's partial differential equation (PDE), which characterizes the domain of attraction for individual subsystems. These examples show a performance advantage over sums-of-squares (SOS) polynomial Lyapunov functions derived from semidefinite programming.

eess.SY

LyZNet: A Lightweight Python Tool for Learning and Verifying Neural Lyapunov Functions and Regions of Attraction

In this paper, we describe a lightweight Python framework that provides integrated learning and verification of neural Lyapunov functions for stability analysis. The proposed tool, named LyZNet, learns neural Lyapunov functions using physics-informed neural networks (PINNs) to solve Zubov's equation and verifies them using satisfiability modulo theories (SMT) solvers. What distinguishes this tool from others in the literature is its ability to provide verified regions of attraction close to the domain of attraction. This is achieved by encoding Zubov's partial differential equation (PDE) into the PINN approach. By embracing the non-convex nature of the underlying optimization problems, we demonstrate that in cases where convex optimization, such as semidefinite programming, fails to capture the domain of attraction, our neural network framework proves more successful. The tool also offers automatic decomposition of coupled nonlinear systems into a network of low-dimensional subsystems for compositional verification. We illustrate the tool's usage and effectiveness with several numerical examples, including both non-trivial low-dimensional nonlinear systems and high-dimensional systems. The repository of the tool can be found at https://git.uwaterloo.ca/hybrid-systems-lab/lyznet.

eess.SY

Physics-Informed Neural Network Policy Iteration: Algorithms, Convergence, and Verification

Solving nonlinear optimal control problems is a challenging task, particularly for high-dimensional problems. We propose algorithms for model-based policy iterations to solve nonlinear optimal control problems with convergence guarantees. The main component of our approach is an iterative procedure that utilizes neural approximations to solve linear partial differential equations (PDEs), ensuring convergence. We present two variants of the algorithms. The first variant formulates the optimization problem as a linear least square problem, drawing inspiration from extreme learning machine (ELM) for solving PDEs. This variant efficiently handles low-dimensional problems with high accuracy. The second variant is based on a physics-informed neural network (PINN) for solving PDEs and has the potential to address high-dimensional problems. We demonstrate that both algorithms outperform traditional approaches, such as Galerkin methods, by a significant margin. We provide a theoretical analysis of both algorithms in terms of convergence of neural approximations towards the true optimal solutions in a general setting. Furthermore, we employ formal verification techniques to demonstrate the verifiable stability of the resulting controllers.

eess.SY

Physics-Informed Neural Network Lyapunov Functions: PDE Characterization, Learning, and Verification

We provide a systematic investigation of using physics-informed neural networks to compute Lyapunov functions. We encode Lyapunov conditions as a partial differential equation (PDE) and use this for training neural network Lyapunov functions. We analyze the analytical properties of the solutions to the Lyapunov and Zubov PDEs. In particular, we show that employing the Zubov equation in training neural Lyapunov functions can lead to approximate regions of attraction close to the true domain of attraction. We also examine approximation errors and the convergence of neural approximations to the unique solution of Zubov's equation. We then provide sufficient conditions for the learned neural Lyapunov functions that can be readily verified by satisfiability modulo theories (SMT) solvers, enabling formal verification of both local stability analysis and region-of-attraction estimates in the large. Through a number of nonlinear examples, ranging from low to high dimensions, we demonstrate that the proposed framework can outperform traditional sums-of-squares (SOS) Lyapunov functions obtained using semidefinite programming (SDP).

math.OC

Quantum Maps Between CPTP and HPTP

For an open quantum system to evolve under CPTP maps, assumptions are made on the initial correlations between the system and the environment. Hermitian-preserving trace-preserving (HPTP) maps are considered as the local dynamic maps beyond CPTP. In this paper, we provide a succinct answer to the question of what physical maps are in the HPTP realm by two approaches. The first is by taking one step out of the CPTP set, which provides us with Semi-Positivity (SP) TP maps. The second way is by examining the physicality of HPTP maps, which leads to Semi-Nonnegative (SN) TP maps. Physical interpretations and geometrical structures are studied for these maps. The non-CP SPTP maps $Ψ$ correspond to the quantum non-Markovian process under the CP-divisibility definition ($Ψ= Ξ\circ Φ^{-1}$, where $Ξ$ and $Φ$ are CPTP). When removing the invertibility assumption on $Φ$, we land in the set of SNTP maps. A by-product of set relations is an answer to the following question -- what kind of dynamics the system will go through when the previous dynamic $Φ$ is non-invertible. In this case, the only locally well-defined maps are in $SN\backslash SP$, they live on the boundary of $SN$. Otherwise, the non-local information will be irreplaceable in the system's dynamic. With the understanding of physical maps beyond CPTP, we prove that the current quantum error correction scheme is still sufficient to correct quantum non-Markovian errors. In some special cases, lack of complete positivity could provide us with more error correction methods with less overhead.

quant-ph

Towards Learning and Verifying Maximal Neural Lyapunov Functions

The search for Lyapunov functions is a crucial task in the analysis of nonlinear systems. In this paper, we present a physics-informed neural network (PINN) approach to learning a Lyapunov function that is nearly maximal for a given stable set. A Lyapunov function is considered nearly maximal if its sub-level sets can be made arbitrarily close to the boundary of the domain of attraction. We use Zubov's equation to train a maximal Lyapunov function defined on the domain of attraction. Additionally, we propose conditions that can be readily verified by satisfiability modulo theories (SMT) solvers for both local and global stability. We provide theoretical guarantees on the existence of maximal Lyapunov functions and demonstrate the effectiveness of our computational approach through numerical examples.

math.OC

Smooth Converse Lyapunov-Barrier Theorems for Asymptotic Stability with Safety Constraints and Reach-Avoid-Stay Specifications

Stability and safety are two important aspects in safety-critical control of dynamical systems. It has been a well established fact in control theory that stability properties can be characterized by Lyapunov functions. Reachability properties can also be naturally captured by Lyapunov functions for finite-time stability. Motivated by safety-critical control applications, such as in autonomous systems and robotics, there has been a recent surge of interests in characterizing safety properties using barrier functions. Lyapunov and barrier functions conditions, however, are sometimes viewed as competing objectives. In this paper, we provide a unified theoretical treatment of Lyapunov and barrier functions in terms of converse theorems for stability properties with safety guarantees and reach-avoid-stay type specifications. We show that if a system (modeled as a dynamical system with measurable perturbations) possesses a stability with safety property, then there exists a smooth Lyapunov function to certify such a property. This Lyapunov function is shown to be defined on the entire set of initial conditions from which solutions satisfy this property. A similar but slightly weaker statement is made for reach-avoid-stay specifications. We show by a simple example that the latter statement cannot be strengthened without additional assumptions. We further extend the results for systems with control inputs and prove existence of converse Lyapunov-barrier functions for reach-and-avoid specifications. While the converse Lyapunov-barrier theorems are not constructive, as with classical converse Lyapunov theorems, we believe that the unified necessary and sufficient conditions with a single Lyapunov-barrier function are of theoretical interest and can hopefully shed some light on computational approaches.

eess.SY

A Necessary Condition on Chain Reachable Robustness of Dynamical Systems

It is ``folklore'' that the solution to a set reachability problem for a dynamical system is only noncomputable because of non-robustness reasons. A robustness condition that can be imposed on a dynamical system is the requirement of the chain reachable set to equal the closure of the reachable set. We claim that this condition necessarily imposes strong conditions on the dynamical system. For instance, if the space is connected and compact and we are computing a chain reachable robust single valued function $f$ then $f$ cannot have an unstable fixed point or unstable periodic cycle.

math.OC