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Advanced Courses in Mathematics CRM Barcelona

Paul Glendinning
Mike R. Jeffrey

An Introduction
to Piecewise
Smooth Dynamics
Advanced Courses in Mathematics
CRM Barcelona

Centre de Recerca Matemàtica

Managing Editor:
Enric Ventura

More information about this series at http://www.springer.com/series/5038

Paul Glendinning • Mike R. Jeffrey

An Introduction to Piecewise
Smooth Dynamics
Editors for this volume:
Elena Bossolini, Technical University of Denmark
J. Tomás Lázaro, Universitat Politècnica de Catalunya
Josep M. Olm, Universitat Politècnica de Catalunya
Paul Glendinning Mike R. Jeffrey
School of Mathematics Department of Engineering Mathematics
University of Manchester University of Bristol
Manchester, UK Bristol, UK

ISSN 2297-0304 ISSN 2297-0312 (electronic)

Advanced Courses in Mathematics - CRM Barcelona
ISBN 978-3-030-23688-5 ISBN 978-3-030-23689-2 (eBook)
https://doi.org/10.1007/978-3-030-23689-2

Mathematics Subject Classification (2010): 34A36, 34C23, 37E05, 37G10, 37E35, 37G35

© Springer Nature Switzerland AG 2019

This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the
material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation,
broadcasting, reproduction on microfilms or in any other physical way, and transmission or information
storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now
known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication
does not imply, even in the absence of a specific statement, that such names are exempt from the relevant
protective laws and regulations and therefore free for general use.
The publisher, the authors, and the editors are safe to assume that the advice and information in this book are
believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors
give a warranty, express or implied, with respect to the material contained herein or for any errors or
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published maps and institutional affiliations.

This book is published under the imprint Birkhäuser, www.birkhauser-science.com by the registered company
Springer Nature Switzerland AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
Foreword

The study of piecewise-smooth dynamics encompasses the theory and applications

of how dynamical systems (in general, smooth almost everywhere) behave when
they undergo discontinuities at isolated thresholds. In this sense, the main aim
of the Intensive Research Programme on Advances in Nonsmooth Dynamics held
at the Centre de Recerca Matemàtica (Bellaterra, Spain), from February to April
2016, was to take stock of the recent progress in the area and to discuss on the
current open challenges and future research topics.
Along twelve definitely intense weeks the programme attracted more than se-
venty participants from all over the world, including senior and junior researchers,
postdocs, and PhD students. A group of permanent residents was complemented
with temporary visitors whose research interests gathered according to a weekly
distribution of thematic subjects. Four scientific events were organized within the
programme: an opening conference on “Open Problems in Nonsmooth Dynamics”,
a workshop on “Climate Modeling”, an advanced course on “Piecewise-Smooth
Dynamical Systems”, and a summary session on “Nonsmooth Dynamics, the Way
Forward”.
This volume of the series Advanced Courses in Mathematics CRM Barcelona
gathers the lectures delivered at the above-mentioned advanced course. It took
place during the week from 11th to 15th April, 2016. The first chapter, authored by
Mike R. Jeffrey (University of Bristol, UK), is an introduction to the dynamics of
piecewise-smooth flows, while the second chapter, by Paul Glendinning (University
of Manchester, UK), deals with piecewise-smooth maps.
We close these lines thanking the authors, Mike Jeffrey and Paul Glendinning,
for this elaborated version of the notes, the attendees for their active participation
and feedback, and the institutions which provided specific support for the orga-
nization of this course, namely, the Engineering and Physical Sciences Research
Council (EPSRC), the Societat Catalana de Matemàtiques (SCM), the company
Maths for More, and the Institute for Mathematics and its Applications (IMA).
Finally, our special thanks to the Centre de Recerca Matemàtica (CRM) for the
warm hosting and great support provided not only in the course, but also during
all the Intensive Research Programme on Advances in Nonsmooth Dynamics.

Lyngby, Barcelona, April 2017 Elena Bossolini

Tomás Lázaro
Josep M. Olm

v
Contents
Introduction 1

1 Piecewise-smooth Flows
by Mike R. Jeffrey 3
1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.2 History and applications . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.3 Inclusions and combinations . . . . . . . . . . . . . . . . . . . . . . . . 10
1.4 Types of dynamics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.5 Switching layers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
1.6 Multiple switches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
1.7 Codimension r switching layers . . . . . . . . . . . . . . . . . . . . . . 32
1.8 Codimension r sliding . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
1.9 Boundary equilibrium bifurcations . . . . . . . . . . . . . . . . . . . . 36
1.10 Stability, equivalence, and bifurcation . . . . . . . . . . . . . . . . . . 38
1.11 Discontinuity-induced phenomena . . . . . . . . . . . . . . . . . . . . . 42
1.12 Determinacy-breaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
1.13 Hidden attractors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
1.14 Hidden bifurcations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
1.15 Moving forward . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

2 Piecewise-smooth Maps
by Paul Glendinning 55
2.1 Introduction to maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
2.2 Smooth theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
2.3 Piecewise-smooth maps of the interval . . . . . . . . . . . . . . . . . . 69
2.4 Lorenz maps and rotations . . . . . . . . . . . . . . . . . . . . . . . . . 83
2.5 Gluing bifurcations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
2.6 Piecewise-smooth maps of the plane . . . . . . . . . . . . . . . . . . . 97
2.7 Periodic orbits and resonance . . . . . . . . . . . . . . . . . . . . . . . 102
2.8 Robust chaos . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
2.9 Two-dimensional attractors . . . . . . . . . . . . . . . . . . . . . . . . . 114
2.10 Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

Bibliography 123

vii
Introduction

The study of nonsmooth dynamics has a long history, but has been recently en-
livened by the introduction of new techniques, the discovery of new phenomena,
and the explosion of new practical disciplines applying nonsmooth dynamical mod-
eling. The more formal name for our field is piecewise-smooth dynamics, concern-
ing the theory and applications of how dynamical systems that are smooth almost
everywhere behave when affected by discontinuities at isolated thresholds.
This volume presents an informal course at graduate level, aimed at mathe-
maticians, scientists, and engineers, studying models that involve a discontinuity,
or studying the theory of nonsmooth systems for its own sake. These notes are de-
rived from lectures given at the Advanced School on Piecewise-Smooth Dynamical
Systems, organized at the Centre de Recerca Matemàtica (Bellaterra, Catalonia),
during April 11–15, 2016. The School was organized with support from the Engi-
neering and Physical Sciences Research Council (EPSRC), the Societat Catalana
de Matemàtiques (SCM), WIRIS, and the Institute for Mathematics and its Appli-
cations (IMA). The course comes in two parts: flows and maps (or continuous and
discrete time systems). Each part introduces the applications and main theoretical
techniques, of piecewise-smooth dynamics, some long-established and others newly
emerging.
An introduction to the dynamics of piecewise-smooth flows is authored by
Mike Jeffrey. The chapter starts with a few key points in the history and applica-
tions of discontinuities from mechanics and control systems, and some of the key
figures in setting up a general theory for differential equations with ‘discontinuous
right-hand sides’. The methods of inclusions versus combinations are discussed,
after which we introduce the elementary dynamics of crossing and sliding at a
discontinuity surface. The analytical methods of switching layers and layer vari-
ables are presented for one switch and then for multiple switches. The concepts of
discontinuity-induced phenomena and determinacy breaking are introduced, along
with the definitions of stability, equivalence, and bifurcation in piecewise-smooth
flows. We end by introducing some of the novel attractors and bifurcations that
offer a hint at what remains to be discovered, including the present state of zoology
of singularities in the plane.
An introduction to the dynamics of piecewise-smooth maps is authored by
Paul Glendinning. After a discussion of why piecewise-smooth maps are inter-

1
2 Introduction

esting, the course moves into their phenomenology, and reviews some techniques
from smooth theory. The main topics are then: basic stability analysis, piece-
wise monotonic maps of the interval, rotation-like maps, gluing bifurcations (aka
Big Bang bifurcations and period-adding), an introduction to renormalization,
decomposition theorems and a brief guide to kneading theory, piecewise-smooth
maps of the plane including the Lozi and border collision normal forms, piecewise
isometries, bounding regions, periodic orbits and resonance, robust chaos, and
two-dimensional attractors. The course concludes with a discussion of challenges
in higher dimensions, particularly concerning periodic orbits, N -dimensional at-
tractors, and analogies with smooth cases.

The Barcelona course itself included a series of guest lectures, introduc-

ing course participants to some of the current research topics in applications of
piecewise-smooth dynamics. The guest lecturers were researchers in residence at
the Intensive Research Program on Advances in Nonsmooth Dynamics at the
CRM, February 1 – April 29, 2016. A flavour of these contributions can be found
in the Extended Abstracts of the Intensive Research Program [15].
Chapter 1

Piecewise-smooth Flows

1.1 Introduction
This course is about the geometry of piecewise-smooth dynamical systems. The
solutions of a system of ordinary differential equations, such as
ẋ = f (x ), (1.1)
where x = (x1 , x2 , . . . , xn ) is some n-dimensional vector or variable, and f is an
n-dimensional vector field, can be pictured as trajectories (or orbits) in space (for
example, Rn or some subset of it). Those trajectories are organized by various
singularities, separatrices, and invariant sets, whose geometry can be studied in
great generality. A loss of continuity in the differential equations greatly adds to
the richness of that geometry.

x=(x1, x2, ...) f

.
or x vector field
parameters x2
dx = f(x,a,b,...)
dt state, dependent variable x1
time, independent variable
switching
surface

Figure 1.1: The vector field f tells us the velocity with which some flow evolves
through a state x . If the flow is non-differentiable, then f is discontinuous.

Piecewise-smooth equations are smooth except at isolated thresholds called

switching surfaces. Solutions of those equations are continuous, but they may ‘kink’
at a switching surface, becoming non-differentiable, and possibly non-unique.

© Springer Nature Switzerland AG 2019 3

P. Glendinning, M. R. Jeffrey, An Introduction to Piecewise Smooth Dynamics, Advanced Courses
in Mathematics - CRM Barcelona, https://doi.org/10.1007/978-3-030-23689-2_1
4 Chapter 1. Piecewise-smooth Flows

The mathematician Alexei Fedorovich Filippov set out methods for solving
piecewise-smooth differential equations, and these have been adopted as standard.
Recently, however, with the discovery of new singularities and singular phenomena,
we have understood that more is needed. This series of lectures will provide readers
with the tools to delve more deeply into the world of nonsmooth dynamics.
We will focus on:
ˆ geometry of piecewise-smooth vector fields,
ˆ general methods for solving and analysing them,
ˆ their key notions of stability and bifurcations.
Some important current topics that we will not cover, but you may wish to
look up, include:
ˆ special cases: e.g., piecewise linear or continuous non-differentiable vector
fields, hybrid/impact systems;
ˆ modeling non-idealities: e.g., smoothing, noise, delay, etc., and the various
types of ‘regularization’, a word that comes up a lot as an open problem in
current piecewise-smooth systems.
You may also want to look into simulation methods: piecewise-smooth sys-
tems require special consideration when simulating. There are event detection
routines built into Matlab and Mathematica. There are ways of making continua-
tion tools like AUTO or MatCont work with discontinuities (often by smoothing
them out), including the AUTO-derived TcHat. Filippov’s solving methods (we’ll
discuss these in the course) have even been built into tools like Mathematica. But
these are not up-to-date in the many advances in theory that we have seen in the
last decade. Use them all with care and critical judgement.

1.1.1 Nonsmooth dynamics in a nutshell

You will notice that this first chapter on piecewise-smooth flows devotes most of
its content to considering how we obtain a well-defined flow from a discontinuous
vector field, leaving only limited space to begin introducing the fascinating phe-
nomena that result. This is because so much is possible when a flow passes through
a discontinuity, that our concept of solutions must be of sufficient detail and suf-
ficient generality to explore those possibilities. This is in contrast to the second
chapter on maps, where the vanishing likelihood of encountering the discontinuity
itself, when evolving in discrete steps, simplifies the field considerably, the solu-
tion concept is easily set up, and the study can proceed directly to studying the
dynamics.
When we have introduced the solution concept for piecewise-smooth flows
properly, we will see that there are really just a few basic elements needed to
begin building up an understanding. First the vector field.
1.1. Introduction 5

The vector field is discontinuous at the switching surface. A sliding vector

field may be induced on the surface, and we shall see how to define this.

f2 f1 f1
f2
f− f+
f3 f4 f4
f3
Figure 1.2: Discontinuities along one threshold in two dimensions, two thresholds
in two dimenions, and two thresholds in three dimensions.

Locally, solutions take certain simple forms. Away from the switching surface
they will be smooth unique curves, thanks to the existence and uniqueness of
solutions of differentiable dynamical systems. At the surface, however, they might
cross through the discontinuity, or they might slide along it, following a sliding
vector field.

crossing sliding

Figure 1.3: Typical trajectories through or along a switching surface.

The switching surface has a lower dimension than the surrounding space, so
if sliding occurs, the space the solutions occupy changes, see fig. 1.4. This results
in non-uniqueness. When sliding is:
ˆ attractive, solutions stick to the switching surface, and then many solutions
will all evolve onto the same trajectory in forward time. The history of any
point (shown in the left part of fig. 1.4) in attractive sliding is therefore
non-unique — this is common in physics as mechanical ‘sticking’.
ˆ repulsive, solutions escape a switching surface, and then the sliding mode has
many possible future trajectories (shown in the right part of fig. 1.4). The
future of any point in repulsive sliding is therefore non-unique — determinacy
is broken.
The only other things we must add to these are the elementary singularities.
In differentiable vector fields, the commonly encountered singularity is a steady
state or ‘equilibrium’, where f = 0 in a system ẋ = f . At a discontinuity we
encounter a new kind of steady state, a sliding equilibrium, fig. 1.5, (called a
6 Chapter 1. Piecewise-smooth Flows

sticking determinacy-breaking

Figure 1.4: Sliding along the switching surface leads to sticking (if attractive) or
determinacy-breaking (if repulsive).

‘pseudo’-equilibrium in many texts, but they are genuine steady states, as we

shall see, so using the term ‘pseudo’ is misleading).

equilibrium (e.g. node) sliding equilibrium

(e.g. sliding node)

Figure 1.5: The basic steady-state singularities.

In piecewise-smooth systems there is much more to local dynamics than

studying equilibria. It is often the transient (i.e., non-stationary) dynamics that
creates the most interesting effects. In addition we must consider stationarity
relative to the switching surface, i.e., tangency of solutions to the switching surface.

tangency (visible) tangency (invisible)

Figure 1.6: The basic transient singularities, characterizing stationarity between

the flows and the switching surface.

Keeping these few elements in mind will be of great assistance in gaining some
intuition for the (at first strange) terrain of what we have come to call informally:
Nonsmoothland.
1.2. History and applications 7

1.2 History and applications

Dynamical theory for smoothly evolving systems came a long way in the last cen-
tury. The most interesting phenomena that are now familiar in dynamical systems
occur because of nonlinearity. Nonlinearity means the rate of change of a system
is itself varying as we move around the system, so any local approximation will
not represent the wider system well. Most important for us is what this means in
terms of dynamical behaviour: if we change some variable or parameter, then the
system’s behaviour may not respond proportionally (unlike a linear system), and
we obtain phenomena like bifurcations, chaos and complexity.
Continuity and differentiability of such equations have been vital to taming
the complications of nonlinearity. Systems which are not differentiable or are not
continuous, however, have been studied as long as there have been dynamical sys-
tems. Collisions between rigid bodies result in a discontinuous jump in contact
force. Electrical switches discontinuously turn on/off the current in a circuit. Peo-
ple in societies discontinuously switch from following one rule or trend to another.
The intervals of smooth evolution before and after a switch are well described by
standard (nonlinear) dynamical theory. To stitch those ‘before’ and ‘after’ systems
together in more than an ad hoc fashion requires a general set of tool to understand
the effect of discontinuities, via the theory of piecewise-smooth dynamics.
Discontinuities are often involved when different objects or subsystems inter-
act. At a point where the equations are not differentiable, or not even continuous,
almost nothing from standard ‘smooth’ dynamical systems theory can be applied.

1.2.1 Ancient history

One of the most familiar physical forces to us is also one of the most complex, and
a prime example of how discontinuities complicate one of the most fundamental
processes of interaction: friction.
The resistance force of friction between two rigid bodies in contact with rough
unlubricated contact surfaces has a long and contentious history. It goes back to
the greek philosophers, but let us start with the seeds of the modern theory:
ˆ in 1500 Leonardo da Vinci shows that frictional resistance depends on load,
but not on contact area;
ˆ in 1699 Amontons rediscovers da Vinci’s laws, and describes friction as the
work done to overcome — through wear and deformation — the surface
roughness between two objects;
ˆ in 1700 Desagulier shows that friction does not depend on surface roughness,
seeming to contradict Amonton’s theory;
ˆ in 1750 Euler shows that static friction force is greater than kinetic friction
force, so more force is required to instigate motion of a static object, than is
required to keep an object in motion;
8 Chapter 1. Piecewise-smooth Flows

ˆ in 1785 Coulomb added clarity and depth to the former theories, especially
those of da Vinci and Amontons;
ˆ in 1950 Bowden and Tabor clarified the role of contact area and surface
roughness, showing that friction does depend on the true contact area, which
is often less than the apparent contact area (i.e., the full contact surface);
ˆ 1950 and into the present, the field of Tribology remains active, studying
speed-dependence and friction memory, the different friction characteristics
at different scales of length, time, or speed, and remains important, for ex-
ample, to the health, automotive, and energy industries.
This is a very fleeting description, meant only to highlight the complexity of a
contact force that we use and interact with every moment of every day. The most
enduring part of this story — that friction depends principally on load only — is
encapsulated in the now commonly adopted law

mẍ = −μFN (1.2)

where m is the mass of an object with displacement x, moving at speed ẋ, on a

surface moving at speed v, creating a normal reaction force FN on the object. The
quantity μ is the coefficient of friction, given for some constant μk by
⎧
⎪
⎪+1 if ẋ > v,
μ = μk sign(ẋ − v) = μk × ⎨ (1.3)
⎪
⎪−1 if ẋ < v,
⎩
where ẋ > v means the object is slipping to the right and ẋ < v means the object
is slipping to the left (relative to the surface).

. .
x x

right left
μNFN slip slip μNFN

v v
Figure 1.7: The switching force of friction.

We have in friction our first discontinuous system. It says that as an object

changes from slipping right (ẋ > v) on a surface to slipping left (ẋ < v), the friction
force jumps abruptly between −μk FN and +μk FN . What happens in between?
What complications does the jump introduce into the dynamics? These are the
questions of piecewise-smooth dynamical systems theory.
The other very common piecewise-smooth system, typically encountered in
highschool mechanics even before calculus teaches us to deal with smooth systems,
1.2. History and applications 9

is a collision. Take a block of mass m, with position x, driven by a force f , colliding

with a wall at position c,

mẍ = f ∶ ẋ ↦ −rẋ if x = c and ẋ > 0, (1.4)

where r is the coefficient of restitution. This is an impact system, composed of a

differential equation (left part) and a discrete impact map (right part).

.
x

incoming

.
−rx

recoil

Figure 1.8: The discontinuity in velocity resulting from impact with a hard wall.

Because this mixes up continuous and discrete time evolution, it crosses the
divide between the two chapters of this course, and opens the way to study of
the incredibly general field of sytems that are hybrids of maps and flows (see, e.g.,
[12, 21, 99]), which we will not delve in to here (another example of a hybrid
system is cellular mitosis: a cellular organism grows continuously until it triggers
a discrete change in mass corresponding to mitosis; see, e.g., [27]).
However, usually a map just represents a jump through some fast continuous
interval of motion. In the case above, the restitution map ẋ ↦ −rẋ represents a
jump through a continuous impact phase. Alternatively we could model this as
⎧
⎪
⎪1 if x > c,
mẍ = f − k step(x − c), step(x − c) = ⎨ (1.5)
⎪
⎪0 if x < c,
⎩
introducing a large wall stiffness k. This now has continuous time solutions that
are non-differentiable at x = c, and falls back under our topic of piecewise-smooth
flows.

1.2.2 History of piecewise-smooth dynamical theory

Serious attempts to develop the mathematics of dynamical systems with disconti-
nuities go back to the 1930s (at least). They are worth a look, because this is still
a young field of research, both in theory and applications, and the ideas in these
texts still strongly influence our thinking today:
10 Chapter 1. Piecewise-smooth Flows

ˆ 1934 Kulebakin [68]: vibration control for aircraft DC generators;

ˆ 1934 Nikolzky [77]: a boat rudder as a switching controller;
ˆ 1937 Andronov, Vitt, Khaikin [5]: numerous examples are studied of mechan-
ical engines and circuits, analyzing their dynamics and stability;
ˆ 1953 Irmgard Fluegge-Lotz [30]: proposes discontinuous control to design
missile aiming technologies;
ˆ 1974 onwards, Vadim Utkin [95, 96, 97, 98]: develops a general design method
for electronic switching (“variable structure control”), an essential step to our
modern approach to solving discontinuous systems. The method was based on
the work of Filippov and contemporaries, e.g., [1, 2, 28, 76], which itself didn’t
reach mainstream western attention until Filippov’s work was translated in
1988. . .
ˆ 1988 Aleksei Federovich Filippov [29]: develops the first substantial dynam-
ical theory of “differential equations with discontinuous right-hand sides”.
The book actually represents a substantial Russian literature going back half
a century, some references to which you will find here, others you will find in
the book’s substantial bibliography;
ˆ 1990 onwards, Marco Antonio Teixeira [90, 91, 92, 93]: shows how ideas
from singularity theory can be applied to study the geometry of flows near
discontinuities;1
ˆ The modern era: the fundamental theory (this course) and applications (to
electronics, mechanics, especially power control, but also to cell mitosis, eco-
nomics, predator-prey, climate, and countless more), remain active and grow-
ing fields of interest.

1.3 Inclusions and combinations

Our first task is to learn how to turn discontinuous vector fields into well-formed
differential equations, and then to learn how to solve them.

1.3.1 Discontinuous vector fields

We start with a vector x = (x1 , x2 , . . . , xn ) ∈ Rn , of the variables x1 , x2 , . . . , xn . Its
time dependence is described by vector fields f i such that

ẋ = f i (x ) on x ∈ Ri
1 We have written “1990 onwards” but one of these references is earlier. Before this Teixeira

phrased this work as ‘divergent diagrams’ or ‘pairings of fields and functions’ to circumvent the
early skepticism towards discontinuous dynamical systems. Teixeira now leads one of the most
fervent and successful communities in geometric piecewise-smooth dynamical theory.
1.3. Inclusions and combinations 11

or, in components,
(ẋ1 , ẋ2 , . . . , ẋn ) = (f1i , f2i , . . . , fni ) . (1.6)
The index i is taken from a set of labels identified with the regions Ri . The
boundary between these regions is the switching surface Σ, such that the full
space is given by Σ ∪ R1 ∪ R2 ∪ ⋯
Example 1.3.1. For two regions we could take labels i = 1, 2, or i = +, −, so that,
e.g., ẋ = f + for x ∈ R+ and ẋ = f − for x ∈ R− (fig. 1.9, left). For four regions we
may take labels i = 1, 2, 3, 4, or alternatively i = ++, +−, −+, −−.
The figure shows a system with: two regions, two regions where the boundary
between them is a corner, or four regions.

2 regions 2 regions Σ2 4 regions R+− R++

f+ at a corner R+ Σ1
f− Σ1
R−+
R−− Σ
R− Σ R+ R− 2

Figure 1.9: Discontinuous vector fields with m = 2, m = 4, or m = 2 regions; in the

last example the switching surface has a corner.

In each open region Ri the vector fields f i are smooth, so we can apply
standard dynamical systems methodology. This course is about what then happens
at the discontinuity boundary — the switching surface Σ — between them.

1.3.2 The inclusion

On the switching surface Σ the variation ẋ is not yet well defined. To extend
ẋ = f i (x ) to the boundary Σ, write

ẋ ∈ F where f i (x ) ∈ F ∀i ∶ lim f (x ′ ) = f i (x )
x ′ →x

where F is set-valued for x ∈ Σ, and F = f i (x ) for x ∈ Ri .

f+ f+

R+
F
Σ
f−
f−
R−

Figure 1.10: The set F at a switching surface Σ between vector fields f + on region
R+ and f − on region R− .
12 Chapter 1. Piecewise-smooth Flows

This system is known as a differential inclusion, and Filippov developed their

dynamical theory extensively in [29], starting with perhaps the most important
result to begin with:
Theorem 1.3.2 (Existence of solutions; Filippov [29, Thm. 1, p. 77]). Solutions of
ẋ = F exist if F(x ) is non-empty, bounded, closed, convex, and upper semicontin-
uous2 .
So if solutions to the vector field exist, forming a piecewise-smooth flow, what
do they look like?

1.3.3 A classic example: Coulomb friction

Example 1.3.3. Consider a block, resting on a surface that moves at velocity v,
attached to a spring of stiffness k and a damper with a coefficient c. Using the
friction law we gave above, the forces on the block give us
⎧
⎪
⎪+1 if ẋ > v, “slip right”
force = mẍ = −cẋ − kx − λFN , λ=⎨ (1.7)
⎪
⎪−1 if ẋ < v, “slip left”
⎩

.
x
kx
.
cx
FN

μNFN v
mg
Figure 1.11: A block on a moving belt.

Written as a two-dimensional ordinary differential equation this is

ẋ = y, ẏ = − mc y − k
m
x − λ FmN . (1.8)

The equilibrium at (x, y) = (−λFN /k, 0) is an attractor, because (1.8) vanishes at

this point, and the Jacobian matrix there,

∂(ẋ, ẏ) 1 0 m
= ( ),
∂(x, y) m −k −c
2 Upper semicontinuity is an extension of the notion of continuity for sets. It says

supb∈F (x ) ρ(b, a) → 0 as p′ → p for a ∈ F (p′ ) and b ∈ F (p) where ρ(b, a) = inf a∈A, b∈B ∣a − b∣
with ∣a − b∣ the distance between a and b.
1.3. Inclusions and combinations 13
√
has eigenvalues (−c ± c2 − 4km)/2m with negative real part (giving a focus for
small damping c2 < 4km and a node otherwise); these are basic results using the
local stability theory of smooth dynamical systems (see, e.g., [6, 69]). Because
there is only a single equilibrium, at y = 0, the region in which it exists (in right
slip ẋ > v or left slip ẋ < v) depends on the sign of the constant v.

. v<0
x

right
stick slip
v
left
slip
x

. v>0
x right
slip
stick
v
left
slip

x
Figure 1.12: Dynamics of the oscillating block shown in the phase plane (x, ẋ).

As we trace out trajectories in this phase space, we find that the block can go
from left slip to right slip or vice versa, and it can go from right or left slip to stick,
then back to slip. All trajectories are eventually attracted to the equilibrium.
Sticking is represented by motion along ẋ = v, which means that the block
and surface have matching speeds and are therefore stuck together.
We need a method to describe this sticking motion. This comes from solving
the inclusion.

1.3.4 The switching multiplier λ and switching function σ

Take a single switch at a threshold σ(x ) = 0, in the bimodal system

⎧
⎪
⎪f + (x ) if σ(x ) > 0,
ẋ = ⎨ −
⎪
⎪f (x ) if σ(x ) < 0,
⎩

in terms of a switching function σ∶ Rn ↦ R, so Σ = {x ∈ Rn ∶ σ(x ) = 0}.

We can re-write this as
ẋ = f (x ; λ)
14 Chapter 1. Piecewise-smooth Flows

replacing each index i with a unique switching multiplier λ, such that

f + (x ) = f (x ; +1),
i.e., i = ± ⇔ λ = ±1. (1.9)
f − (x ) = f (x ; −1),

We then define
λ = sign (σ(x )) for σ(x ) ≠ 0,
(1.10)
λ ∈ (−1, +1) for σ(x ) = 0.
This last definition is extremely important to remember. The multiplier λ takes
values ±1 outside the switching surface, and lies inside the open interval (−1, +1) on
the switching surface. We shall see later how to fix the value inside this interval.
We will often write for shorthand just λ = sign(σ), understanding the value of
sign(σ) to lie in (−1, +1) for σ = 0.
So the switching of the multiplier λ causes the vector field f (x ; λ) to switch
between functional forms f + (x ) and f − (x ). The dependence of f on λ tells us
about how the jump between those modes occurs.
The function f (x , λ) combines f + and f − into a single expression where the
switching is described by λ, so we may refer to f (x , λ) as a combination.

1.3.5 Combinations
The combination f (x ; λ) is differentiable with respect to x and λ (by which we
mean that the partial derivaties ∂x∂
f and ∂λ
∂
f exist). The discontinuity is now
encoded in the multiplier λ.
ˆ E.g., convex combination (see Filippov [29, Def. 4a, pp. 50–52])

ẋ = 12 (1 + λ) f + (x ) + 12 (1 − λ) f − (x ); (1.11)

ˆ E.g., nonlinear combination (see Jeffrey [59])

ẋ = 1
2
(1 + λ) f + (x ) + 12 (1 − λ) f − (x ) + (λ2 − 1)g (x , λ). (1.12)

In both examples f (x ; ±1) ≡ f ± (x ). The function g can be any finite-valued vector

field. The multiplier λ in either case satisfies (1.10).
The term (λ2 −1)g (x , λ) is called hidden, because it vanishes for x ∉ Σ (when
λ = ±1). (In fact it is so hidden that you won’t find it in most other courses or
texts on piecewise-smooth dynamics to date, and until 2013, Filippov’s convex
combination alone was considered standard). We’ll generalize all of this for more
complex switching later.
The geometry of the convex combination and the hidden term (λ2 − 1)g are
illustrated in fig. 1.13. The convex combination traces out a linear path in space
along which the endpoint of the vector f might lie for a point on the discontinuity.
The hidden term generalizes this by displacing the line to follow a curve.
1.4. Types of dynamics 15

(λ2−1)g
f+ f+

R+ f(fil)
Σ
f−
f− ∇σ
R−

Figure 1.13: The Filippov convex combination (dotted line) written f (fil) =
1
2
(1 + λ) f + + 12 (1 − λ) f − , and a non-convex combination (dashed curve) formed
by hidden term (λ2 − 1)g .

Example 1.3.4. Consider the vector field

f (x ; λ) = 12 (1 + λ)(2, 1) + 12 (1 − λ)(−1, 2) + (λ2 − 1)(0, −1) (1.13)

with a switching multiplier λ = sign(x1 + x2 ). This switches between (2, 1) and

(−1, 2) across σ = x1 + x2 . The convex and nonlinear combinations are shown in
fig. 1.14.

f+
(λ2−1)(0,−1)
f+
f(fil)
f−

f− x1+x2=0

Figure 1.14: The Filippov convex combination (dotted line) and a non-convex
combination (dashed curve) for theorem 1.3.4 with quadratic dependence on λ.

1.4 Types of dynamics

Filippov’s theory tells us that a family of solutions of the equations, the flow,
exists. What do the solutions look like?
16 Chapter 1. Piecewise-smooth Flows

1.4.1 The inclusion . . . solutions

We concatenate smooth segments of solutions of ẋ = F in the regions Ri and on Σ
(shown in fig. 1.10), to form continuous curves that preserve the direction of time
(illustrated in fig. 1.15).

f+
R+
Σ
Σ
f−
R− R+
f−
R−

Figure 1.15: A crossing solution (left) corresponding to the inclusion from fig. 1.10
and fig. 1.13. We can concatenate over many discontinuities (right).

Definition 1.4.1. An orbit of the piecewise-smooth system through a point x0 is a

maximal (‘longest possible’) concatenation of trajectories through x0 .
The phrase ‘longest possible’ here is usually as interpreted as a continuous
trajectory x (t) existing over a time interval t ∈ (t1 , t2 ) which is the largest possible
interval, e.g., typically t ∈ R for x ∈ Rn , but possibly a finite interval if only a finite
space is considered, e.g., x ∈ U ⊂ Rn where x (t1 ) and x (t2 ) lie on the boundary
of U and x (t) ∈ U for t ∈ (t1 , t2 ).
We can solve the equations ẋ = f i (x ) for the flow inside the regions Ri . We
can now use the combination to find the flow on Σ.
A family of solutions parameterized by initial conditions x0 forms a flow
Φt (x0 ) defined by

d
x (t) = Φt (x0 ) ∶ Φt (x0 ) = f (Φt (x0 ); λ) , Φ0 (x0 ) = x0 .
dt
We may write the constituent flows in the regions R+ , R− , as Φ+t , Φ−t , where

d ±
Φ (x0 ) = f (Φt (x0 ); ±1) .
dt t

1.4.2 Crossing and sliding

Let Φ+t , Φ−t , ΦΣ
t , be the flows on R+ , R− , Σ, respectively. At Σ:
1.4. Types of dynamics 17

ˆ an orbit can cross through Σ at time τ .

To cross from R− to R+ at a point x1 = Φ−τ (x0 ) ∈ Σ where σ(x1 ) = 0, it
is necessary that σ̇(Φ−τ −δt (x0 )) and σ̇(Φ+τ +δt (x0 )) have the same sign, where
δt is a small increment of time. Similarly to cross from R+ to R− at a point
x1 = Φ+τ (x0 ) ∈ Σ where σ(x1 ) = 0, it is necessary that σ̇(Φ+τ −δt (x0 )) and
σ̇(Φ−τ +δt (x0 )) have the same sign. In either case, therefore, crossing requires
(f + ⋅ ∇σ)(f − ⋅ ∇σ) > 0 on Σ. (1.14)

ˆ an orbit can slide along Σ, where the flow ΦΣ

t must satisfy

d
x (t) = ΦΣ
t (x0 ) ∶ σ(x (t)) = 0 on Σ (1.15)
dt
In the convex combination (1.11), since σ̇ = ẋ ⋅ ∇σ = f ⋅ ∇σ, sliding
requires that both vector fields f ± point towards (or both away from) Σ,
therefore sliding occurs where
(f + ⋅ ∇σ)(f − ⋅ ∇σ) < 0 on Σ, (1.16)
and satisfies
1+λ + 1−λ −
0 = σ̇ = ẋ ⋅ ∇σ = { f (x ) + f (x )} ⋅ ∇σ (1.17)
2 2

(f − + f + ) ⋅ ∇σ
⇒ λ = λΣ ≡ (1.18)
(f − − f + ) ⋅ ∇σ
(f − ⋅ ∇σ)f + − (f + ⋅ ∇σ)f −
⇒ ẋ = f Σ ≡ . (1.19)
(f − − f + ) ⋅ ∇σ
In three dimensions this is compactly written as
∇σ × (f + × f − )
fΣ ≡ . (1.20)
(f − − f + ) ⋅ ∇σ
For sliding to exist we must have λΣ ∈ (−1, +1) by (1.10), and indeed it is easy
to show that (1.18) satisfies this if and only if (1.16) is satisfied. Sliding can
occur outside (1.16) for a nonlinear switching system like (1.12), occurring
wherever σ̇ = σ = 0 can be satisfied for [∈] (−1, +1).
Later it will be useful to observe that, from (1.19), we have
fΣ =f+ if f + ⋅ ∇σ = 0, (1.21)
Σ − −
f =f if f ⋅ ∇σ = 0, (1.22)
meaning that when the sliding vector field becomes equal to f or f − at +

points where their normal components vanish, i.e., where they lie tangent to
Σ. These two scenarios correspond to λΣ = +1 and λΣ = −1 by (1.18), and
therefore also apply to (1.12).
18 Chapter 1. Piecewise-smooth Flows

Defining sliding dynamics therefore generally requires solving for the value
of λ that provides motion along σ = 0:
Definition 1.4.2. The sliding dynamics is given by
ẋ = f Σ (x ) on σ(x ) = 0 (1.23)
where f Σ (x ) is the sliding vector field, given by
f Σ (x ) ≡ f (x ; λΣ ) such that f (x ; λΣ ) ⋅ ∇σ = 0 and λΣ ∈ (−1, +1) (1.24)
on σ(x ) = 0.
Example 1.4.3. (i) The orbit
⎧
⎪
⎪Φ− (x0 ) if t < τ,
x (t) = ⎨ t+ (1.25)
⎪
⎪ Φ (x ) if t > τ,
⎩ t−τ 1
crosses from R− to R+ at time τ ;
(ii) The orbit
⎧
⎪
⎪Φ− (x0 ) if t < τ,
x (t) = ⎨ tΣ (1.26)
⎪
⎪ Φ (x ) if t > τ,
⎩ t−τ 1
starts in R− , then sticks to Σ at time τ , sliding thereafter; where Φ±t are the
flows of ẋ = f ± , and x1 = φ−τ (x0 ) ∈ Σ.

+
Φt

cross x1 x1 Σ

Φt
− slide
Φt −
Φt
x0 x0
Figure 1.16: Examples of crossing and sliding.

Example 1.4.4 (Crossing). Consider the system

(ẋ1 , ẋ2 ) = (2 + λ, 1), λ = sign(x1 ), (1.27)
so σ(x ) = x1 . Let τ > 0. See fig. 1.17.
There is an obvious crossing solution
x1 (t) = (t − τ )(2 + sign(t − τ )), x2 (t) = t + x20 . (1.28)
Does sliding (σ̇ = σ = 0) occur on Σ (x1 = 0)? To find out solve
σ̇ = ẋ1 = 0 ⇒ λ = −2 ∉ (−1, +1) ⇒ no sliding. (1.29)
The value of λ that would give sliding along Σ lies outside of the allowed range
(−1, +1), so no sliding modes exist.
1.4. Types of dynamics 19

f−=(1,1) f+=(3,1)

R− x1=0 R+
Figure 1.17: A piecewise constant example of crossing. We will revisit this example
later to see it is not as trivial as it first appears.

Example 1.4.5 (Sliding). Consider the system

(ẋ1 , ẋ2 ) = (−λ, 1), λ = sign(x1 ), (1.30)
so σ(x ) = x1 . Let τ > 0; see fig. 1.18. Crossing is impossible, as both vector fields
points towards Σ (x1 = 0). So, surely the only possible motion is sliding? Solve
σ̇ = ẋ1 = 0 ⇒ λΣ = 0 (1.31)
which lies inside (−1, +1), and substituting back into the original system
⇒ (ẋ1 , ẋ2 ) = (0, 1). (1.32)
An example of a sticking orbit is
x1 (t) = (τ − t sign(τ )) step(τ − t), x2 (t) = t + x20 . (1.33)

1.4.3 The local singularities

Any of the constituent systems ẋ = f ± (x ) may have an equilibrium where f ± (x ) =
0, or in combination notation, where ẋ = f (x ; ±1) = 0.
Two new singularities arise at a (simple) switching surface:
(i) Sliding (“pseudo”) equilibria are points where f ± (x ) ≠ 0 but f Σ (x ) = 0, i.e.,
f (x ; λΣ ) = 0 with σ(x ) = 0. (1.34)
±
In the convex combination these happen where f are in opposition, since
for some μ > 0
(f − ⋅ ∇σ)f + − (f + ⋅ ∇σ)f −
f + = −μf − ⇒ ẋ = f Σ =
(f − − f + ) ⋅ ∇σ
(f ⋅ ∇σ)(−μf − ) − (−μf − ⋅ ∇σ)f −
−
= = 0. (1.35)
(f − + μf − ) ⋅ ∇σ
20 Chapter 1. Piecewise-smooth Flows

fΣ=(0,1)
f−=(1,1) f+=(−1,1)

R− x1=0 R+
Figure 1.18: A piecewise constant example of sliding.

These are stationary points of the sliding flow on the switching surface.
(ii) Tangencies of the vector field to Σ are points where:

f + ⋅ ∇σ = 0 ⇒ ẋ = f + (1.36)

or similarly for f − . These are stationary points with respect to the switching
surface, of the flows outside the surface. It is easy seen using (1.11) or (1.12)
that they correspond to points where f (x ; ±1) = 0, and so for example λΣ =
±1 in (1.18).
Example 1.4.6 (Sliding equilibria). In two dimensions consider λ = sign x1 with

(ẋ1 , ẋ2 ) = 12 (1 + λ)(−1, −x2 ) + 12 (1 − λ)(1, b) (1.37)

or in three dimensions λ = sign x1 with

(ẋ1 , ẋ2 , ẋ3 ) = 12 (1 + λ)(−1, x3 − x2 , −x2 ) + 12 (1 − λ)(1, b, c). (1.38)

Clearly the λ = +1 system in x1 > 0 and the λ = −1 system in x1 < 0 are non-
vanishing. In both cases, to find sliding modes we solve 0 = σ̇ = ẋ1 = 12 (1 + λ)(−1) +
1
2
(1 − λ)(+1) = λ. Hence in (1.37)

λΣ = 0 ⇒ ẋ2 = 12 (b − x2 ),

with a sliding equilibrium at x2 = b; and in (1.38)

λΣ = 0 ⇒ (ẋ2 , ẋ3 ) = 12 (b − x2 + x3 , c − x2 ),

with a sliding equilibrium at (x2 , x3 ) = (c, c − b); see fig. 1.19.

Note in the two systems that the directions of the upper and lower vector
fields (above and below x1 = 0), at the equilibria are given by (−1, −b) and (1, b) in
(1.37) and (−1, −b, −c) and (1, b, c) in (1.38), i.e., they are antiparallel there (their
magnitudes are not significant).
1.4. Types of dynamics 21

x1 x1 x3

x2 x2

Figure 1.19: Sliding equilibria in two or three dimensions. For (1.37) to (1.38) the
x1 direction is vertical.

Example 1.4.7 (Tangencies). Figure 1.20 below shows quadratic tangencies of types
we call ‘visible’ (curving away from Σ) or ‘invisible’ (curving towards Σ).
In higher dimensions, sets of visible and invisible tangencies meet at higher
order tangencies, like the cubic tangency, called a ‘cusp’, illlustrated in fig. 1.21.
The examples shown in fig. 1.20 and fig. 1.21 are from the equations
(ẋ1 , ẋ2 ) = 1
2
(1 + λ)(−1, −x1 ) + 12 (1 − λ)(0, 1), λ = sign(x2 ),
(ẋ1 , ẋ2 ) = 1
2
(1 + λ)(+1, −x1 ) + 12 (1 − λ)(0, 1), λ = sign(x2 ),
(ẋ1 , ẋ2 , ẋ3 ) = 1
2
(1 + λ)(1, 0, x21 + x2 ) + 12 (1 − λ)(0, 0, 1), λ = sign(x3 ),
but we could also have cubic, quartic, etc. order.

visible
invisible
Σ Σ

Figure 1.20: Visible and invisible tangencies in the upper vector field. On the
switching surface Σ, the full line indicates the sliding region found using a convex
combination, but nonlinear dependence on λ can let this can bleed out as indicated
by the dashed region, while the remainder is crossing (dotted).

At the simple (‘fold’) tangencies in fig. 1.20 we have that the upper (λ = +1
vector field) satisfies ẋ2 = −x1 which vanishes at x1 , creating a tangency. The sign
of the second derivative determines its curvature, in the first example ẍ2 = −ẋ1 = +1
implies the flow is curving upwards, creating a visible tangency, and in the second
example ẍ2 = −ẋ1 = −1 implies the flow is curving downwards, creating an invisible
tangency
At the cusp, for the upper vector field we have ẋ3 = x21 + x2 which vanishes
√
on x3 = 0 along a curve x1 = ± −x2 (existing for x2 < 0). The second derivative is
√ √
ẍ3 = 2ẋ1 x1 + ẋ2 = 2x1 = ±2 −x2 , meaning the half-curve x1 = + −x2 is a family
√
of visible folds while the half-curve x1 = − −x2 is a family of invisible folds. The
point x1 = x2 = x3 = 0 where ẍ3 = 0 is the cusp.
22 Chapter 1. Piecewise-smooth Flows

vis.
inv.
cusp
Σ

Figure 1.21: A cusp in the upper vector field. On the switching surface Σ, the dark
shaded region indicates the sliding region found using a convex combination, but
nonlinear dependence on λ can let this can bleed out as indicated by the light
shaded region, while the remainder is crossing (unshaded).

Above we gave a necessary condition for crossing, but it does not guarantee
crossing (it is not necessary and sufficient). The region indicating by the full line
in fig. 1.20 and by shading fig. 1.21 on Σ shows where both vector fields point
towards the surface, f + ⋅ ∇σ < 0 < f − ⋅ ∇σ, so sliding must occur. In the remaining
region trajectories may cross through (and in Filippov’s convention they do cross
through), but in nonlinear combinations it is possible for the sliding region to
‘bleed out’ into the crossing region, indicated by the dashed/light-shaded region
on Σ.
We’ve hinted above that crossing or sliding on a switching surface depends
on convexity, i.e., whether the dependence on λ is linear. Most courses would
assume linearity and hasten onward. Let’s hold back a little and consider nonlinear
dependence a little further.

1.4.4 Crossing and sliding – examples II

Let’s revisit the crossing example in (1.27) above and add a ‘hidden’ term.
Example 1.4.8 (Nonlinear λ dependence and crossing). Consider

(ẋ1 , ẋ2 ) = (2 + λ, 1) + 2(λ2 − 1, 0), λ = sign(x1 ), (1.39)

so σ(x ) = x1 . Let τ > 0. The obvious crossing solution is again x1 (t) = (t − τ )(2 +
sign(t − τ )), x2 (t) = t + x20 , but turns out to be wrong in the presence of the
nonlinear term. Let’s look for sliding modes by solving σ̇ = σ = 0 on Σ (x1 = 0):

0 = σ̇ = ẋ1 = λ + 2λ2 ⇒ λΣ = − 12 or 0. (1.40)

Thus, there are two sliding modes. It turns out that either modes gives sliding
dynamics (ẋ1 , ẋ2 ) = (0, 1) for this simple example.
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