set of state-dependent observable functions, forming a latent
linear dynamical system [16].
A. Koopman operator theory
To present the role of Koopman operator theory in dy-
namical systems analysis, a discrete-time dynamical system
is first formulated:
xn+1 =F(xn),(1)
where nis the time-index, F:X 7→ X is the flow map,
and Xis a finite-dimensional metric state-space [16], often
assumed to be a smooth manifold [17] (e.g., Euclidean, X ⊆
RM).
Analysis and modelling of this non-linear Fcan be chal-
lenging. Instead, a reasonable approach is to find coordinate
transformations to map from the non-linear dynamics to a
latent linear dynamical system. Koopman operator theory
does this by describing the linear evolution of measurement
functions of the non-linear state [17]:
Kg(xn) = g(F(xn)) = g(xn+1),(2)
where Ktis the Koopman operator, an infinite-dimensional
linear operator, acting on a measurement function gof the
system (also known as an observable.). This observable is
a function of the state, i.e., g:X 7→ C, and an infinite
set of observable functions is defined on a Hilbert space
H[17]. This formulation is often referred to as lifting the
state variables from the finite non-linear space, to an infinite-
dimensional linear one. Given all observables, Kcontrols
their evolution, i.e., K:H 7→ H. The Koopman operator is
associated with the non-linear state transformation Fthrough
the composition Kg=g◦F,∀g∈ H [16].
B. Koopman theory with control
Koopman operator theory is also applicable to systems
with control inputs, by describing the dynamics of an ex-
tended state space of the product of Xand the space of all
control sequences `(U)[18]. By defining the operator on the
extended space, the Koopman operator remains autonomous
and is equivalent to the operator associated with unforced dy-
namics [19]. Specifically, considering a non-linear dynamical
system with control u∈ U:
xn+1 =F(xn,un),(3)
a common generalization is to define the associated Koop-
man operator as evolving an uncontrolled dynamic system
defined by the product F:X ⊗ U 7→ X [18].
As the evolution of Xonly depends on un, the control
is considered as an additional state variable [16], instead
of requiring all control sequences `(U). As such, similar to
Eq. (2), the Koopman operator is described as [16]:
Kg(xn,un) = g(F(xn,un),un+1).(4)
In contrast to linear predictors [18], uis also lifted through
observables galongside the state x.
Applications of Koopman operator theory to domains with
control are are fast appearing in the literature, and generally
focus on strategies for choosing suitable observable functions
[20] or optimal control [18], [21]. For a general review of
Koopman based control frameworks, please see [22]. With
specific regard to robotics control applications, prior work
has investigated finding observables [23], LQR [12], [15],
[24] or MPC [25]–[27] control, active learning [13], and
shared human-robot control [28].
C. Spectral analysis and finite approximations of the Koop-
man operator
Analysis of this infinite-dimensional linear operator is
challenging. However, finite spectral properties of the opera-
tor are of great importance, as they can outline global prop-
erties of the dynamics [29]. Specifically, Kcan be spectrally
decomposed into Koopman eigenfunctions φk(.)∈ H\{0}
[16], with corresponding Koopman eigenvalue λk∈C),
which satisfies:
Kφk=φk◦F=λkφk.(5)
This Koopman eigenfunction is a linear intrinsic measure-
ment coordinate on which measurements are evolved with a
linear dynamical system [17]. As such, spectral analysis of
this can provide physical intuition of the dynamical system
under investigation.
While there exists a large body of work on finding analyt-
ical representations of eigenfunctions with knowledge of the
dynamical system [16], [20], data-driven approximations are
increasing prevalent. This is due to the complexity and uncer-
tainty in finding eigenfunctions, and the modern increase in
computational power for modelling, and availability of large
datasets.
Generally, approximations are often made using the dy-
namic mode decomposition algorithm [17], [30], whereby
spectral components of a linear transition matrix are es-
timated via matrices of state measurements. Specific im-
plementations that incorporate Koopman operator theory to
handle non-linear transitions include dictionary [31] or deep
learning [32] for finding observables or eigenfunctions [11],
or utilizing approaches such as time-delay embeddings [33].
III. APPROACH
A. Deep Koopman Network
A promising approach to learning the linearisation via
eigenfunctions and the latent linear dynamics Eq. (5) for
autonomous uncontrolled systems, is the Deep Koopman
Network (DKN) approach [11]. In this, a deep autoen-
coder framework is used to find intrinsic latent coordinates
y=φ(x)approximating the Koopman eigenfunctions
φ:RM7→ RP, and associated linear dynamical system
yn+1 =Kyn. This is achieved by using an autoencoder to
learn an encoder φand decoder φ−1, and inner layers to
learn the linear dynamics K. To learn parsimonious models,
continuous spectra dynamics are captured by parameterising
Kby an auxiliary layer, predicting eigenvalues as a function
of y.
An intuitive design constraint for DKN, is to learn la-
tent coordinates ywhich have complex radial symmetry