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Lecture Notes
in Control and Information Sciences 314

Editors: M. Thoma · M. Morari

Michael I. Gil’

Explicit Stability
Conditions
for Continuous
Systems
A Functional Analytic Approach
Series Advisory Board
A. Bensoussan · P. Fleming · M.J. Grimble · P. Kokotovic ·
A.B. Kurzhanski · H. Kwakernaak · J.N. Tsitsiklis

Author
Prof. Dr. Michael I. Gil’
Ben Gurion University of Negev
Department of Mathematics
P.O. Box 653
84 105 Beer Sheva
Israel

ISSN 0170-8643
ISBN 3-540-23984-7 Springer Berlin Heidelberg New York

Library of Congress Control Number: 2005920065

This work is subject to copyright. All rights are reserved, whether the whole or part of the mate-
rial is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation,
broadcasting, reproduction on microfilm or in other ways, and storage in data banks. Duplication
of this publication or parts thereof is permitted only under the provisions of the German Copyright
Law of September 9, 1965, in its current version, and permission for use must always be obtained
from Springer-Verlag. Violations are liable to prosecution under German Copyright Law.
Springer is a part of Springer Science+Business Media
springeronline.com
© Springer-Verlag Berlin Heidelberg 2005
Printed in The Netherlands
The use of general descriptive names, registered names, trademarks, 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.
Typesetting: Data conversion by the authors.
Final processing by PTP-Berlin Protago-TEX-Production GmbH, Germany
Cover-Design: design & production GmbH, Heidelberg
Printed on acid-free paper 89/3141Yu - 5 4 3 2 1 0
Preface

This book deals with nonautonomous linear and nonlinear continuous finite
dimensional systems. Explicit conditions for the asymptotic, absolute, input-
to-state and orbital stabilities are discussed.
The problem of stability analysis of various systems continues to attract
the attention of many specialists despite its long history. It is still one of
the most burning problems of control theory, because of the absence of its
complete solution. The problem of the synthesis of a stable system is closely
connected with the problem of stability analysis. Any progress in the problem
of analysis implies success in the problem of synthesis of stable systems.
The basic method for the stability analysis of nonlinear systems is the Lya-
punov functions one. By this method many very strong results are obtained,
but finding Lyapunov’s functions is often connected with serious mathemat-
ical difficulties, especially in regard to nonstationary systems. The stabil-
ity conditions presented in this book are mainly formulated in terms of the
eigenvalues of auxiliary matrices. This fact allows us to apply the well-known
stability criteria for polynomials and matrices (for example the Hurwitz crite-
rion) to the stability analysis of time-varying (linear and nonlinear) systems.
The main methodology presented in this publication is based on a com-
bined use of recent norm estimates for matrix-valued functions with the fol-
lowing well-known methods and results:
a) the method of characteristic exponents (the first Lyapunov method);
b) the multiplicative representations of solutions;
c) the freezing method;
d) the positivity of the Green (impulse) functions.
Here we do not consider the Lyapunov functions method because several
excellent books cover this topic.
A significant part of this book is devoted to a solution to the problem
connected with the Aizerman conjecture. Recall that in 1949 M. A. Aizer-
man conjectured that a single input-single output system is absolutely stable
in the Hurwitz angle. This hypothesis caused great interest among the spe-
cialists. With the help of counter examples it was shown that the conjecture
is not true, in general. The problem of finding a class of systems that sat-
isfy Aizerman’s hypothesis arose. One of the most powerful results in this
direction was obtained in 1966 by N. Truchan who showed that Aizerman’s
hypothesis is satisfied by systems having linear parts in the form of single loop
VI Preface

circuits with up to five stable aperiodic links connected in tandem. In 1981

the author showed that any system satisfies the Aizerman hypothesis if its
Green function is non-negative. That result includes the Truchan one. Similar
results are derived for multivariable systems. They are also presented here.
The aim of this book is to provide new tools for specialists in control sys-
tem theory and stability theory of ordinary differential equations. We suggest
a systematic exposition of the approach to stability analysis which is based on
estimates for matrix-valued functions. That approach allows us to investigate
various classes of systems from the unified viewpoint.
The book is intended not only for specialists in stability theory, but for
anyone interested in various applications who has had at least a first year
graduate level course in analysis.
I was very fortunate to have fruitful discussions with Professors M.A. Aiz-
erman, V.M. Alekseev, M.A. Krasnosel’skii, A. Pokrovskii and A.A. Voronov,
to whom I am very grateful for their interest in my investigations.
Acknowledgment. This work was supported by the Kamea Fund of the
Israel.

Michael I. Gil’
Table of Contents

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1. Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.1 Vector and Matrix Norms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.2 Definitions of Stability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.3 Eigenvalues of Matrices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.4 Matrix-Valued Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.5 Norms of Matrix Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.6 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.7 Integral Inequalities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.8 Algebraic Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.9 Upper Bounds for Lyapunov’s Equation . . . . . . . . . . . . . . . . . . . 18
1.10 Lower Bounds for Lyapunov’s Equation . . . . . . . . . . . . . . . . . . . 21
1.11 Estimates for Contour Integrals . . . . . . . . . . . . . . . . . . . . . . . . . . 22
1.12 Absolute Values of Matrix Functions . . . . . . . . . . . . . . . . . . . . . . 23
1.12.1 Statement of the Result . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
1.12.2 Proof of Theorem 1.12.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
1.13 Banach Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

2. Perturbations of Linear Systems . . . . . . . . . . . . . . . . . . . . . . . . . . 27

2.1 Evolution Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.2 Perturbations of Evolution Operators . . . . . . . . . . . . . . . . . . . . . 29
2.3 Representation of Solutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.4 Triangular Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
2.5 Perturbations of Triangular Systems . . . . . . . . . . . . . . . . . . . . . . 34
2.6 Integrally Small Perturbations . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.7 Integrally Small Perturbations of Autonomous Systems . . . . . . 37

3. Systems with Slowly Varying Coefficients . . . . . . . . . . . . . . . . . 39

3.1 The Freezing Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
3.2 Proofs of Theorems 3.1.1 and 3.1.5, and Lemma 3.1.7 . . . . . . . 43
3.3 Systems with Differentiable Matrices . . . . . . . . . . . . . . . . . . . . . . 46
3.4 Additional Stability Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . 49
VIII Table of Contents

3.5 Proofs of Theorems 3.3.1, 3.3.3, and 3.4.2 . . . . . . . . . . . . . . . . . . 51

3.6 Matrix Lipschitz Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
3.6.1 Stability Criterion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
3.6.2 Proof of Theorem 3.6.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
3.6.3 Estimates for z0 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
3.7 Lower Solution Estimates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

4. Dissipative and Piecewise Constant Systems . . . . . . . . . . . . . . 61

4.1 The Lozinskii Inequality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
4.2 Linear Systems with Majorants and Minorants . . . . . . . . . . . . . 63
4.3 Systems with Piecewise Constant Matrices . . . . . . . . . . . . . . . . . 64
4.4 Perturbations of Systems
with Piecewise Constant Matrices . . . . . . . . . . . . . . . . . . . . . . . . 65
4.5 General Second Order Vector Systems . . . . . . . . . . . . . . . . . . . . . 66
4.6 Proof of Theorem 4.5.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
4.7 Second Order Vector Systems with Differentiable Matrices . . . 69

5. Nonlinear Systems with Autonomous Linear Parts . . . . . . . . 71

5.1 Statement of the Main Result . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
5.2 Proof of Theorem 5.1.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
5.3 Stability Conditions in Terms of Determinants . . . . . . . . . . . . . 74
5.3.1 Statement of the Result . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
5.3.2 Proof of Theorem 5.3.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
5.4 Global Stability Under Matrix Conditions . . . . . . . . . . . . . . . . . 77
5.5 Proof of Theorem 5.4.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
5.6 Region of Attraction of One-Contour Systems . . . . . . . . . . . . . . 80
5.7 Proof of Theorem 5.6.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

6. The Aizerman Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85

6.1 Absolute Stability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
6.2 Proofs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
6.3 Systems with Matrix Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . 90
6.4 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91

7. Nonlinear Systems with Time-Variant Linear Parts . . . . . . . 93

7.1 Systems with General Linear Parts . . . . . . . . . . . . . . . . . . . . . . . 93
7.2 Systems with the Lipschitz Property . . . . . . . . . . . . . . . . . . . . . . 95
7.2.1 Statement of the Result . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
7.2.2 Proofs of Corollary 7.2.2 and Theorem 7.2.3 . . . . . . . . . 98
7.3 Systems with Differentiable Linear Parts . . . . . . . . . . . . . . . . . . 99
7.3.1 Stability Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
7.3.2 Proof of Theorem 7.3.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
7.3.3 Absolute Stability and Region of Attraction . . . . . . . . . 104
 Table of Contents IX

7.4 Additional Stability Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . 106

7.4.1 Stability Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
7.4.2 Proof of Theorem 7.4.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
7.4.3 Absolute Stability and Region of Attraction . . . . . . . . . 108
7.4.4 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108

8. Essentially Nonlinear Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111

8.1 The Freezing Method for Nonlinear Systems . . . . . . . . . . . . . . . 111
8.1.1 Stability Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
8.1.2 Lyapunov’s Exponents . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
8.2 Proofs of Theorems 8.1.1 and 8.1.4 . . . . . . . . . . . . . . . . . . . . . . . 114
8.3 Perturbations of Nonlinear Systems . . . . . . . . . . . . . . . . . . . . . . . 115
8.4 Nonlinear Triangular Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
8.5 Perturbations of Triangular Systems . . . . . . . . . . . . . . . . . . . . . . 118
8.6 Nonlinear Dissipative Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
8.7 Nonlinear Systems with Linear Majorants . . . . . . . . . . . . . . . . . 120
8.8 Second Order Vector Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
8.9 Proof of Theorem 8.8.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
8.10 Scalar Equations with Real Characteristic Roots . . . . . . . . . . . 127

9. Lur’e Type Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129

9.1 Stability Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
9.2 Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
9.3 Proof of Theorem 9.1.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133

10. Aizerman’s Problem for Nonautonomous Systems . . . . . . . . 135

10.1 Comparison of the Green Functions . . . . . . . . . . . . . . . . . . . . . . . 135
10.2 Proof of Theorem 10.1.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
10.3 Aizerman’s Type Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
10.4 Equations with Purely Real Roots . . . . . . . . . . . . . . . . . . . . . . . . 139
10.5 Equations with Nonreal Roots . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
10.6 Absolute Stability Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
10.6.1 Estimates for Green’s Functions . . . . . . . . . . . . . . . . . . . . 141
10.6.2 Absolute Stability Conditions . . . . . . . . . . . . . . . . . . . . . . 143
10.7 Positive Solutions of Nonlinear Equations . . . . . . . . . . . . . . . . . . 144

11. Input-to-State Stability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145

11.1 Definitions and Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
11.2 Systems with Time-Variant Linear Parts . . . . . . . . . . . . . . . . . . 146
11.3 Proof of Theorem 11.2.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
11.4 The Input-to-State Version of Aizerman’s Problem . . . . . . . . . . 149
11.5 Proof of Theorem 11.4.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
X Table of Contents

12. Orbital Stability and Forced Oscillations . . . . . . . . . . . . . . . . . . 153

12.1 Global Orbital Stability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
12.2 One Contour Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
12.3 Proof of Theorem 12.2.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156
12.4 Existence and Stability of Forced Oscillations . . . . . . . . . . . . . . 157
12.5 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158

13. Existence of Steady States.

Positive and Nontrivial Steady States . . . . . . . . . . . . . . . . . . . . . 159
13.1 Systems of Semilinear Equations . . . . . . . . . . . . . . . . . . . . . . . . . 159
13.2 Fully Nonlinear Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
13.3 Nontrivial Steady States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
13.4 Positive Steady States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
13.5 Systems with Differentiable Entries . . . . . . . . . . . . . . . . . . . . . . . 165

Appendix A. Bounds for Eigenvalues of Matrices . . . . . . . . . . . . . 167

Appendix B. Positivity of the Green Function . . . . . . . . . . . . . . . . 171

Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185

List of Main Symbols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193
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2 Introduction

Chapters 2–10 are devoted to asymptotic, exponential and absolute sta-

bilities of linear and nonlinear systems.
In Chap. 2 we consider perturbations of the linear system

ẋ(t) = A(t)x(t) (ẋ(t) ≡ dx(t)/dt, t ≥ 0) (2)

with a variable matrix A(t). In addition, the multiplicative representation for

solutions is introduced. That representation is used for constructing of majo-
rants and minorants of solutions. Moreover, we establish stability conditions
for systems, which are close to triangular ones.
In Chap. 3 we investigate linear system (2) in the case when A(t) is a
slowly varying matrix. To illustrate a typical result assume that the matrix
A(t) satisfies the condition

A(t) − A(s) ≤ q0 |t − s| (t, s ≥ 0), (3)

where q0 is a positive constant. In addition,

v := sup g(A(t)) < ∞. (4)

t≥0

Denote by z(q0 , v) the extreme right-hand (positive) root of the algebraic

equation z n+1 = q0 P (z), where
n−1
(k + 1)v k n−k−1
P (z) = √ z .
k=0
k!

By the freezing method and estimate (1), the following result is proved: let
conditions (3) and (4) hold. In addition, let the matrix A(t) + z(q0 , v) I be a
Hurwitz one for all t ≥ 0. Then system (2) is stable.
We also give simple estimates for z(q0 , v).
In Chap. 4 we continue to investigate linear multivariable systems. Sta-
bility conditions are derived for systems with piecewise constant matrices.
Moreover, by the multiplicative representation, the Lozinskii and Wazewski
inequalities are proved. In addition the second order vector equation

ẍ + A(t)ẋ + B(t)x = 0

is considered. Here A(t), B(t) are variable matrices.

Chapter 5 is devoted to the system

ẋ = Ax + F (x, t) (t ≥ 0), (5)

where A is a constant n × n-matrix and F maps Cn × [0, ∞) into Cn with

the property

F (h, t) ≤ ν h for all h ∈ Ω(r) and t ≥ 0. (6)

 Introduction 3

Here ν = const ≥ 0, and Ω(r) = {h ∈ Cn : h ≤ r} (r ≤ ∞). By estimate

(1) and the first Lyapunov method, conditions for the exponential stability
of system (5) are established.
Chapter 6 is devoted to the Aizerman conjecture. Let us consider in Rn
the equation
ẏ = Ay + b f (s, t) (s = cy, t ≥ 0), (7)
where A is a constant Hurwitz n × n-matrix, b is a column, c is a row, f maps
R1 × [0.∞) into R1 with the property

0 ≤ f (s, t)/s ≤ q (s ∈ R1 , s = 0, t ≥ 0). (8)

In 1949 M. A. Aizerman formulated the following conjecture: under the con-

dition f (s, t) ≡ f (s), for the absolute stability of the zero solution of system
(7) in the class of nonlinearities (8) it is necessary and sufficient that the
linear equation
ẏ = Ay + q1 bcy
be asymptotically stable for any q1 ∈ [0, q]. This conjecture is not, in general,
true. Therefore, the following problem arose: to find the class of systems
that satisfy Aizerman’s hypothesis. To formulate the relevant result let us
introduce the transfer function of the linear part of system (7):

L(λ)
W (λ) = c(λI − A)−1 b = .
P (λ)

Here P (λ) and L(λ) are polynomials. Besides, let

∞
1
K(t) := eiyt W (iy)dy.
2π −∞

That is, K(t) is the corresponding Green (impulse) function. It is proved that
under the condition
K(t) ≥ 0 (t ≥ 0),
the zero solution of system (7) is absolutely stable in the class of nonlinearities
(8) if and only if the polynomial P (λ) − qL(λ) is Hurwitzian. Clearly, that
result singles out one of the classes of linear parts of systems that satisfy
the Aizerman conjecture. It is also proved that the polynomial P (λ) − qL(λ)
is Hurwitzian, provided P (0) > qL(0) and the Green function is positive.
Moreover, Chapter 6 also contains the generalized Aizerman problem for
multivariable systems.
Chapter 7 deals with nonlinear systems of the type

ẋ = A(t)x + F (x, t) (t ≥ 0), (9)

where A(t) is a variable n × n-matrix and F maps Cn × [0, ∞) into Cn with

the property (6).
4 Introduction

Chapter 8 deals with nonlinear systems of the type

ẋ(t) = B(x(t), t)x(t) (t ≥ 0), (10)

where
B(h, t) = (bjk (h, t))nj,k=1
is an n × n-matrix for every h ∈ Cn and t ≥ 0. In particular, the freezing
method is developed to nonlinear systems. In addition, nonlinear dissipative
systems, nonlinear triangular systems and their perturbations are investi-
gated. Moreover, the very interesting Levin stability criterion for nonlinear
scalar equations with real variable characteristic roots is presented. In Chap-
ter 8 we also consider systems of the type

ẍ + F (x, ẋ, t)ẋ + G(x, ẋ, t)x = 0,

where F (h, w, t) and G(h, w, t) are matrices continuously dependent on h, w ∈

Rn and t ≥ 0.
In Chapter 9 we consider the Lur’e type systems

ẍ + Aẋ + Bx = Φ(x, t),

where A and B are constant matrices, and Φ is a continuous vector-valued

function. Stability conditions and bounds for the region of attraction are
derived.
One contour nonlinear nonautonomous systems with positive Green func-
tions are investigated in Chap. 10.
Chapter 11 is devoted to input-to-state stability of nonlinear systems.
Here we consider the input-to-state version of Aizerman’s conjecture.
Orbital stability and forced oscillations are discussed in Chap. 12. In par-
ticular, conditions that provide the existence of forced oscillations are estab-
lished.
Conditions for the existence of positive and nontrivial steady states are
investigated in Chap. 13.
In Appendix A, some well known bounds for eigenvalues of matrices are
collected. In Appendix B, positivity conditions for the Green functions of
ordinary differential equations are presented.
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6 1. Preliminaries

where A∗ = (akj )nj,k=1 is the adjoint matrix. Thus, the Frobenius norm does
not depend on the choice of an orthogonal normal basis. The relations
N (A) > 0 (A = 0); N (λA) = |λ|N (A) (λ ∈ C),
N (AB) ≤ N (A)N (B) and N (A + B) ≤ N (A) + N (B)
are true for all matrices A and B. Furthermore, Rn denotes the real Euclidean
space, I is the unit matrrix and (., .) is the scalar product in Rn or Cn . So

x = (x, x).

1.2 Definitions of Stability

Put R+ = [0, ∞) and consider in Cn the differential equation
ẋ(t) = f (t, x(t)) (t > 0; ẋ(t) ≡ dx/dt), (2.1)
where f : R+ × Cn → Cn is a continuous vector-valued function. A solution
of (2.1) is a differentiable function x : R+ → Cn satisfying that equation for
all t > 0.
It is further assumed that the function f is of such a nature that equation
(2.1) has a unique solution over R+ corresponding to each initial condition
x(0) = x0 . For example, if f satisfies the Lipshitz condition (see for instance
(Vidyasagar, 1993, Theorem 2.4.25)).
A point x1 ∈ Cn is said to be an equilibrium point of the system (2.1) if
f (t, x1 ) ≡ 0 for all t ≥ 0.
In other words, if the system starts at an equilibrium point, it stays there.
The converse is also true. Throughout this book we assume that 0 is an
equilibrium point of the system (2.1). This assumption does not result in any
loss of generality, because if x1 is an equilibrium point of (2.1), then 0 is an
equilibrium point of the system
ż(t) = f1 (t, z(t)),
where f1 (t, z(t)) = f (t, z(t) + x1 ). Everywhere below in this section, x(t) is a
solution of (2.1).
Definition 1.2.1 The equilibrium point 0 is said to be stable (in the sense
of Lyapunov) if, for every t0 ≥ 0 and > 0, there exists δ(t0 ) > 0, such that
the condition x(t0 ) ≤ δ(t0 ) implies
x(t) ≤ (t ≥ t0 ). (2.2)
It is uniformly stable if, for each > 0, there exists δ > 0 independent of t0 ,
such that the condition x(t0 ) ≤ δ implies inequality (2.2).
The equilibrium is unstable, if it is not stable.
 1.2 Definitions of Stability 7

Because all norms on Cn are topologically equivalent, it follows that the

stability status of an equilibrium does not depend on the particular norm.
Definition 1.2.2 The equilibrium 0 is asymptotically stable if it is stable
and for each t0 ∈ R+ , there is an η(t0 ) > 0 such that

x(t0 ) ≤ η(t0 ) implies x(t) → 0 as t → ∞.

The equilibrium 0 is uniformly asymptotically stable if it is stable and there

is an η > 0 independent of t0 , such that

x(t0 ) ≤ η implies x(t) → 0 as t → ∞.

Also, the set Ω(η), defined by

Ω(η) = {x ∈ Cn : x ≤ η}

is called the region of attraction (the stability domain) for the equilibrium
point 0.
The equilibrium point 0 is said to be globally (uniformly) asymptotically
stable if it is (uniformly) asymptotically stable and the region of attraction
Ω(η) = Cn .
As shown by Vinograd (1957) (see also (Vidyasagar, 1993, p. 141)), attrac-
tivity and stability are really independent properties, i.e., an equilibrium can
be attractive without being stable.
Definition 1.2.3 The equilibrium point 0 is exponentially stable if for any
t0 ≥ 0 there exist constants r, a, b > 0 such that

x(t) ≤ a x(t0 ) e−b(t−t0 ) (t ≥ t0 ), if x(t0 ) ≤ r. (2.3)

It is uniformly exponentially stable if constants r, a, b > 0 in (2.3) are in-

dependent of t0 . The equilibrium point 0 is globally exponentially stable if
inequality (2.3) holds with r = ∞.
Consider the linear equation

u̇(t) = A(t)u(t) (t ≥ 0) (2.4)

with a variable n × n-matrix A(t). Since the zero is the unique equilibrium
point of a linear equation, we will say that (2.4) is stable (uniformly stable,
asymptotically stable, exponentially stable) if the zero solution of (2.4) is stable
(uniformly stable, asymptotically stable, exponentially stable).
For linear equations, the notions of the global asymptotic (exponential)
stability and asymptotic (exponential) stability coincide.
In addition, we will say that (2.4) is uniformly asymptotically (exponen-
tially) stable if the zero solution of (2.4) is uniformly asymptotically (expo-
nentially) stable.
8 1. Preliminaries

1.3 Eigenvalues of Matrices

Recall that for an n × n-matrix (a linear operator in Cn ) A = (ajk )nj,k=1 ,

A∗ = (akj )nj,k=1 , is the adjoint matrix. In other words

(Ax, y) = (x, A∗ y) (x, y ∈ Cn ).

A is a Hermitian matrix if A∗ = A. It is positive definite if it is Hermitian

and (Ah, h) ≥ 0 for any nonzero h ∈ Cn ;
A is a normal matrix if AA∗ = A∗ A. It is nilpotent if An = 0.
Let A be an arbitrary matrix. Then the matrices

AI = (A − A∗ )/2i and AR = (A + A∗ )/2

are the imaginary Hermitian component and real Hermitian one of A, respec-
tively. By A−1 the matrix inverse to A is denoted: AA−1 = A−1 A = I.
Let A be an arbitrary matrix. Then if for some λ ∈ C, the equation

Ah = λh

has a nontrivial solution, λ is an eigenvalue of A and h is its eigenvector. An

eigenvalue λ(A) has the (algebraic) multiplicity r if

dim(∪nk=1 ker(A − λI)k ) = r.

Let λk (A) (k = 1, . . . , n) be eigenvalues of A, including with their multiplic-

ities. Then the set
σ(A) = {λk (A)}nk=1
is the spectrum of A.
All eigenvalues of a Hermitian matrix A are real. If, in addition, A is
positive (negative) definite, then all its eigenvalues are positive (negative).
Furthermore,
rs (A) = max |λk (A)|
k=1,...,n

is the spectral radius of A. Denote

α(A) = max Reλk (A), β(A) = min Reλk (A).

k=1,...,n k=1,...,n

A matrix A is said to be a Hurwitz one if all its eigenvalues lie in the open
left half-plane, i.e., α(A) < 0.
A complex number λ is a regular point of A if it does not belong to the
spectrum of A, i.e., if λ = λk (A) for any k = 1, . . . , n.
Recall some properties of the trace T race A = T r A of A :
n n
Tr A = akk = λk (A).
k=1 k=1
 1.4 Matrix-Valued Functions 9

In addition T r (A + B) = T r A + T r B for all matrices A and B. By det(A)

the determinant of A is denoted:
n
det(A) = λk (A).
k=1

A polynomial
n
p(λ) = det(λI − A) = (λ − λk (A))
k=1

is said to be the characteristic polynomial of A. All the eigenvalues of A

are the roots of its characteristic polynomial. The algebraic multiplicity of
an eigenvalue of A coincides with the multiplicity of the corresponding root
of the characteristic polynomial. A polynomial P (λ) is said to be a Hurwitz
one if all its roots lie in the open left half-plane. Thus, the characteristic
polynomial of a Hurwitz matrix is a Hurwitz polynomial.

1.4 Matrix-Valued Functions

Let A be a matrix and let f (λ) be a scalar-valued function which is analytical
on a neighborhood D of σ(A). We define the function f (A) of A by the
generalized integral formula of Cauchy
1
f (A) = − f (λ)Rλ (A)dλ,
2πi Γ

where Γ ⊂ D is a closed smooth contour surrounding σ(A), and

Rλ (A) = (A − λI)−1

is the resolvent of A. If an analytic function f (λ) is represented in the domain

{z ∈ C : |z| ≤ rs (A)}

by the Taylor series

∞
f (λ) = c k λk ,
k=0

then
∞
f (A) = c k Ak .
k=0

In particular, for any matrix A,

∞
Ak
eA = .
k!
k=0
10 1. Preliminaries

Example 1.4.1 Let A be a diagonal matrix:

 
a1 0 ... 0
 0 a2 ... 0 
A= . ...
.
. . 
0 ... 0 an
Then
 
f (a1 ) 0 ... 0
 0 f (a2 ) ... 0 
f (A) = 

.

. ... . .
0 ... 0 f (an )

Example 1.4.2 If a matrix J is an n × n-Jordan block:

 
λ0 1 0 ... 0
 0 λ0 1 . . . 0 
 
 . . . ... . 
 
J =
 . . . ... . ,

 . . . ... . 
 
 0 0 . . . λ0 1 
0 0 . . . 0 λ0
then
 
f (λ0 ) f (n−1) (λ0 )
f (λ0 ) 1! ... (n−1)!
 
 0 f (λ0 ) ... 
 
 . . ... . 
 
f (J) =  . . ... . .
 
 . . ... . 
 
 0 ... f (λ0 ) f (λ0 ) 
1!
0 ... 0 f (λ0 )

1.5 Norms of Matrix Functions

Let A = (ajk ) be an n × n-matrix. The following quantity plays a key role in

the sequel:
n
g(A) = (N 2 (A) − |λk (A)|2 )1/2 . (5.1)
k=1

Recall that I is the unit matrix, N (A) is the Frobenius (Hilbert-Schmidt)

norm of A, and λk (A) (k = 1, ..., n) are the eigenvalues taken with their
multiplicities. Since
n
|λk (A)|2 ≥ |T race A2 |,
k=1
 1.5 Norms of Matrix Functions 11

we get
g 2 (A) ≤ N 2 (A) − |T race A2 |. (5.2)
In (Gil, 2003, Section 2.1), the following relations are proved:
1 2 ∗
g 2 (A) ≤ N (A − A) (5.3)
2
and
g(eiτ A + zI) = g(A) (5.4)
∗ ∗
for all τ ∈ R and z ∈ C. If A is a normal matrix: AA = A A, then g(A) = 0.
To formulate the result, for a natural n > 1 introduce the numbers

k
Cn−1
γn,k = (k = 1, ..., n − 1) and γn,0 = 1.
(n − 1)k

Here
k (n − 1)!
Cn−1 =
(n − k − 1)!k!
are binomial coefficients. Evidently, for all n > 2,

2 (n − 1)(n − 2) . . . (n − k) 1
γn,k = ≤ (k = 1, 2, ..., n − 1). (5.5)
(n − 1)k k! k!

Let B(Cn ) be the set of all linear operators (matrices) in Cn .

Theorem 1.5.1 Let A ∈ B(Cn ) and let f be a function regular on a neigh-
borhood of the closed convex hull co(A) of the eigenvalues of A. Then
n−1
γn,k
f (A) ≤ sup |f (k) (λ)|g k (A) .
k!
k=0 λ∈co(A)

The proof of this theorem can be found in (Gil, 2003, Theorem 2.7.1). This
theorem is exact: if A is a normal matrix and

sup |f (λ)| = sup |f (λ)|,

λ∈co(A) λ∈σ(A)

then we have the equality f (A) = supλ∈σ(A) |f (λ)|.

The previous theorem and (5.5) give us the following
Corollary 1.5.2 Let A ∈ B(Cn ) and let f be a function regular on a neigh-
borhood of the closed convex hull co(A) of the eigenvalues of A. Then
n−1
g k (A)
f (A) ≤ sup |f (k) (λ)| .
k=0 λ∈co(A)
(k!)3/2
Other documents randomly have
different content
marriage, and places her in a handsome apartment. In these
questionable surroundings Pierotto discovers her. Her father, who has
had to give up the farm, also finds her, and, distrusting her innocence
amid such luxury, curses her. The Marchioness meanwhile, who has
learned of her son’s attachment, threatens to imprison Linda if he
does not marry the lady she has selected for him. He gives his [80
feigned consent, and Linda, thinking he has deserted her, goes
insane.

In the last act Pierotto takes her back to her native village. Carlo
arrives there in search of her, and finding her with Pierotto sings to
her, hoping she will recognize his voice and that her reason may
return. The song has the desired effect. Subsequently the
Marchioness relents, gives her consent to their union, and all ends
happily.

The music of “Linda” is of that serious and dignified kind which

justifies its inclusion in the list of grand operas. In the first act the
opening aria of Antonio, “We were both in this Valley nurtured,” is a
touching expression of the sorrow of the aged couple. Linda’s
farewell, “Oh, Stars that guide my Fervent Love,” familiar on the
concert stage by its Italian title, “O, luce di quest’ anima,” is an aria
of strong dramatic power, and has always been a popular favorite. In
this act also are Pierotto’s pathetic ballad, “Once a Better Fortune
seeking,” and the passionate duet for Linda and Carlo, “Oh that the
Blessed Day were come.” The principal numbers in the second act are
the brilliant duet for Linda and Pierotto, “Oh, Linda, at thy Happy
Fate,” which is highly embellished, and the aria for Linda, “Ah! go, my
Love.” The last act contains a mournful aria by Carlo, “If from Heaven
the Bolts should reach me”; his charming song in which he appeals to
Linda, “Hear the voice that, softly singing”; and the rapturous [81
duet for Linda and Carlo, “Ah! the Vision of thy Sorrow fades,”
which closes the opera.
 The Elixir of Love.
[Opera buffa, in two acts; text by Romani. First produced in Milan in 1832; in
English at Drury Lane Theatre, London, in 1839.]

PERSONAGES.

Nemorino, a young husbandman.

Sergeant Belcore.
Dr. Dulcamara, a travelling quack.
Landlord.
Notary.
Pietro, peasant.
Adina, a country girl.
Gianetta,
Floretta,
}
her companions.

[Farmers, peasants, soldiers, villagers, etc.]

The scene is laid in an Italian village; time, last century.

Few more graceful little operas have been written than “The Elixir of
Love.” Its heroine, Adina, a capricious country girl, is loved by
Nemorino, a farmer, whose uncle lies at the point of death, also by
Belcore, a sergeant, whose troops are billeted upon the neighboring
village. Adina has both her lovers in suspense when Dr. Dulcamara, a
quack, arrives in the village to sell his nostrums. Nemorino applies to
him for a bottle of the Elixir of Love, and receives from him a bottle
of ordinary wine with the assurance that if he drinks of it he can
command the love of any one on the morrow. To make sure of its [82
agreeable properties, he drinks the whole of it with the result that
he accosts Adina in a half-tipsy condition, and so disgusts her that
she promises to marry the sergeant in a week. In the mean time an
order comes for the departure of the troops, and the sergeant
presses her to marry him that day.

Adina gives her consent, and the second act opens with the
assembling of the villagers to witness the signing of the marriage
contract. While the principals and notary retire for the signing,
Nemorino enters, and finding Dr. Dulcamara begs of him some charm
that will make Adina love him; but as he has no money the quack
refuses to assist him. Nemorino is in despair, but at this juncture the
sergeant enters out of humor, as the capricious Adina has refused to
sign until evening. Finding that Nemorino needs money, he urges him
to enlist, and for the sake of the bonus of twenty crowns he
consents. Nemorino hastens with the money to the quack, and
obtains a second bottle of elixir which is much more powerful than
the first. The girls of the village somehow have discovered that
Nemorino’s uncle has died and left him a handsome property, of
which good fortune, however, Nemorino is ignorant. They use all
their charms to attract his favor. Nemorino attributes his sudden
popularity to the elixir, and even the quack himself is surprised at the
remarkable change in his customer. Nemorino now pays Adina off in
kind by making her jealous. Dr. Dulcamara comes to her [83
assistance, seeing an opportunity for the sale of more elixir. He
explains its properties to her, tells her of Nemorino’s attachment, and
advises her to try some of it. Struck with his devotion, she announces
another change of mind to the sergeant, and bestows her hand upon
the faithful Nemorino.

The opera abounds with bright and gay musical numbers, the most
attractive of which are the long and characteristic buffo song, “Give
Ear now, ye Rustic Ones,” in which Dr. Dulcamara describes his
various nostrums to the villagers; the charmingly humorous duet,
“Much obliged,” for Nemorino and Dr. Dulcamara; and the ensemble,
“The Wine-cup full teeming,” in which the half-tipsy Nemorino
appears in the finale of the first act. The prominent numbers of the
second act are the beautiful duet, “What Affection and oh, how
cruel,” for Adina and Dr. Dulcamara; the beautiful romanza for
Nemorino, “In her Dark Eye embathed there stood” (“Una furtiva
lacrima”), which is of world-wide popularity; and Adina’s gracefully
melodious aria, “So much Joy is more than my Heart can contain.”

[84
 EICHBERG, JULIUS.

The Doctor of Alcantara.

[Comic operetta, in two acts; text by Wolfe. First produced at the Museum,
Boston, Mass., April 7, 1862.]

PERSONAGES.

Dr. Paracelsus.
Señor Balthazar.
Carlos, his son.
Perez,
Sancho, } porters.
Don Pomposo, alguazil.
Donna Lucrezia, wife of Dr. Paracelsus.
Isabella, her daughter.
Inez, her maid.

[Serenaders, citizens, etc.]

The scene is laid in Alcantara, Spain; time, last century.

The first act of this operetta opens with a dainty serenade by Carlos,
son of Señor Balthazar, to Señorita Isabella, daughter of Dr.
Paracelsus, with whom he is in love. Isabella, who is intended for
another by her mother, Donna Lucrezia, prefers this unknown
serenader. As the song closes, Isabella, Lucrezia, and even the maid
Inez claim it as a compliment, and quarrel over it in an effective buffo
trio, “You Saucy Jade.” Three songs follow this number,—“Beneath
the Gloomy Convent Wall,” “When a Lover is Poor,” and “There [85
was a Knight, as I’ve been told,” in which the three women recite
their unfortunate love affairs. As their songs close, the doctor enters
with the announcement that a basket has arrived, ostensibly for Inez.
The curious Lucrezia looks into it, and finds Carlos, who immediately
jumps out and sings a passionate love-song, “I love, I love,” which
the infatuated Lucrezia takes to herself. The love scene is interrupted
by a sudden noise, and in alarm she hurries Carlos back into the
basket and flies. Carlos in the mean time gets out again and fills it
with books. The doctor and Inez enter, and to conceal the receipt of
the basket from Lucrezia, as she might be angry with the maid, they
remove it to a balcony, whence by accident it tumbles into the river.
Their terror when they learn that a man was concealed in it makes
an amusing scene, and this is heightened by the entrance of the
Alguazil, who announces himself in a pompous bass song, “I’m Don
Hypolito Lopez Pomposo,” and inquires into the supposed murder.

In the second act the situation becomes still further complicated

when the doctor and Inez find Carlos in the house. Convinced that he
is a detective, they seek to conciliate him by offering him wine, but
by mistake give him a narcotic draught which the doctor had mixed
for one of his patients. Carlos falls insensible, and thinking him dead,
they hide him under a sofa. Meanwhile Señor Balthazar, the [86
father of the youth whom Isabella supposes she is to be forced to
marry, and who turns out to be Carlos, arrives to pass the night. As
they have no bed for him, he sleeps upon the sofa over the supposed
corpse of his own son. A quartette, “Good-night, Señor Balthazar,”
follows, which is full of humor, mingled with ghostly terror, and
grotesque in its effect, especially in the accompaniment. Daylight,
however, dispels the illusion, and a happy dénouement is reached in
the finale, “Hope, ever Smiling,” which is quite brilliant in character.
The operetta is very amusing in its situations, the songs are pretty
and tuneful, and the concerted music is particularly effective.

[87
 FLOTOW, FRIEDRICH VON.

Martha.
[Opéra comique, in three acts; text by St. Georges. First produced in Vienna,
November 25, 1847.]

PERSONAGES.

Plunkett, a wealthy young farmer.

Lionel, his adopted brother, afterwards Earl of Derby.
Lord Tristan Mickleford, Lady Henrietta’s cousin.
Sheriff of Richmond, footman to Lady Henrietta.
Lady Henrietta, Maid of Honor to the Queen.
Nancy, her waiting-maid.
Molly Pitt,
}
Polly Smith, servants.
Betsy Witt,

[Farmers, farmers’ wives, servants, ladies, hunters, huntresses, and footmen.]

The scene is laid in Richmond, England; time of Queen Anne.

The first act of “Martha,” unquestionably the most popular of all light
operas, opens during the progress of the servants’ fair at Richmond,
whither Lady Henrietta, maid of honor to the Queen, accompanied by
Nancy, her maid, and Sir Tristan, her aged cousin and admirer, tired
of court life, have resorted in the disguise of servants. In the first
three scenes they arrange their masquerade. Sir Tristan, much to [88
his disgust, is to be known as John, and Lady Henrietta as
Martha. The first number is a duet for the two ladies, “Of the Knights
so Brave and Charming,” followed by an animated trio with Sir
Tristan, in dance time. The fourth scene is laid in the market-place, in
which appear Plunkett, a wealthy farmer, and Lionel, his adopted
brother. The parentage of the latter is unknown, but he has a
souvenir from his father in the form of a ring which he is to present
to the Queen whenever he shall find himself in trouble. Lionel tells
his story in a tenor aria, “Lost, proscribed, a Humble Stranger,” which
has been a favorite song the world over for years. The two have
come to the fair to engage servants for the year, who are bound over
by the sheriff. Plunkett and Lionel meet Martha and Nancy, and are
so delighted with their looks that they tender the customary bonus
which secures them. They accept it as a joke, but find that it is a
serious matter when the young farmers drive off with them, leaving
Sir Tristan in despair.

The second act opens in Plunkett’s farmhouse. After having learned

their names, Plunkett attempts to find out what they can do, and
tests them first at the spinning-wheel, which leads up to the
delightful spinning quartette, “When the Foot the Wheel turns lightly.”
It does not take the brothers long to find out that they have engaged
servants who are more ornamental than useful, but they decide [89
to keep them. Nancy in a pet kicks her wheel over and runs off,
followed by Plunkett, leaving Lionel alone with Martha. He at once
falls in love with her, snatches a rose from her bosom, and refuses to
return it unless she will sing. She replies with the familiar song, “The
Last Rose of Summer,” interpolated by Flotow, and made still more
effective by introducing the tenor in the refrain. He asks for her hand,
but she makes sport of him. In the mean time Plunkett and Nancy
return, and a beautiful Good-night quartette follows, “Midnight
Sounds.” The brothers then retire, and Martha and Nancy, aided by
Sir Tristan, make their escape. The next scene opens in the woods
where farmers are carousing; among them Plunkett, who sings a
rollicking drinking-song, “I want to ask you.” The revel is interrupted
by a hunting-party of court ladies, headed by the Queen. Martha and
Nancy are among them, and are recognized by Plunkett and Lionel,
but they are not recognized in turn. Plunkett attempts to seize Nancy,
but the huntresses drive him off, leaving Lionel and Lady Henrietta
alone. The scene is one of the most effective in the opera, and
contains a beautiful tenor solo, “Like a Dream Bright and Fair”—
better known perhaps by its Italian title, “M’appari,” and a romance
for soprano, “Here in Deepest Forest Shadows,” the act closing with a
finely concerted quintette and chorus. The despairing Lionel bethinks
him of his ring, gives it to Plunkett, and asks him to show it to the
Queen. It proves that he is the only son of the late Earl of Derby, [90
and his estate, of which he has been unjustly deprived, is
restored to him.

The opera reaches its musical climax in the second act. The third is
mainly devoted to the dénouement. The Lady Henrietta, who has
really been seriously in love with Lionel, is united to him, and it
hardly needs to be added that Nancy and Plunkett go and do
likewise.

Stradella.
[Romantic opera, in three acts; text by Deschamps and Pacini. First produced
as a lyric drama at the Palais Royal Theatre, Paris, in 1837; rewritten and
produced in its present form, at Hamburg, December 30, 1844.]

PERSONAGES.

Alessandro Stradella, a famous singer.

Bassi, a rich Venetian.
Leonora, his ward.
Barbarino,
Malvolio, } bandits.

[Pupils of Stradella, masqueraders, guards, and people of the Romagna.]

The scene is laid in Venice and Rome; time, the year 1769.

The story of the opera follows in the main the familiar historical, and
probably apochryphal, narrative of the experiences of the Italian
musician, Alessandro Stradella, varying from it only in the
dénouement. Stradella wins the hand of Leonora, the fair ward of the
wealthy Venetian merchant, Bassi, who is also in love with her. They
fly to Rome and are married, but in the mean time are pursued [91
by two bravos, Barbarino and Malvolio, who have been employed
by Bassi to make way with Stradella. They track him to his house,
and while the bridal party are absent, they enter in company with
Bassi and conceal themselves. Not being able to accomplish their
purpose on this occasion, they secure admission a second time,
disguised as pilgrims, and are kindly received by Stradella. In the
next scene, while Stradella, Leonora, and the two bravos are singing
the praises of their native Italy, pilgrims on their way to the shrine of
the Virgin are heard singing outside, and Leonora and Stradella go
out to greet them. The bravos are so touched by Stradella’s singing
that they hesitate in their purpose. Bassi upbraids them, and finally,
upon receiving an additional sum of money, they agree to execute his
designs, and conceal themselves. When Stradella returns and
rehearses a hymn to the Virgin which he is to sing on the morrow,
they are so affected that they emerge from their hiding-place,
confess the object of their visit, and implore his forgiveness.
Explanations follow, a reconciliation is effected, and the lovers are
made happy. This dénouement differs from that of the historical
version, in which both lovers are killed.

The principal numbers are Stradella’s serenade, “Hark! Dearest,

hark”; the following nocturne, “Through the Valleys”; the brilliant
carnival chorus, “Joyous ringing, Pleasure singing,” in the first act:
the aria of Leonora in her chamber, “Be Witness to my Fond [92
Heart’s Dreaming,” the rollicking drinking-song of the two bravos,
“Quick, let us drink,” and the bandit ballad, “Within Lofty Mountains,”
sung by Stradella, in the second act; and an exquisite terzetto, “Tell
me, then, Friend Barbarino,” sung by Bassi and the two bravos when
they hesitate to perform their work; and Stradella’s lovely hymn to
the Virgin, “Virgin Maria, humbly adoring,” in the third act.

[93
 GENÉE, RICHARD.

Nanon.
[Opéra comique, in three acts; text by Zell. First produced in Vienna in 1877.]

PERSONAGES.

Marquis de Marsillac.
Hector, his nephew.
Marquis d’ Aubigné, King’s chamberlain.
Bombardine, his henchman.
Louis XIV.
Mons. l’Abbé.
Nanon, mistress of the Golden Lamb.
Ninon de l’Enclos, a famous beauty.
Mme. de Frontenac,
Countess Houliers, } Ninon’s friends.
Gaston.
Mme. de Maintenon, King’s mistress.

[Country relatives, peasants, soldiers, courtiers, ladies, etc.]

The scene is laid in Paris; time of Louis the Fourteenth.

The first act opens at the inn of the Golden Lamb, near the gates of
Paris, kept by Nanon, who has become so famous for her wit and
beauty that the Marquis de Marsillac, director of the Royal Theatre,
takes his nephew Hector there to see her. Thither also goes Ninon de
l’Enclos, the famous beauty, to get a sight of Nanon, who, she [94
suspects, has attracted the attentions of her own lover, the
Marquis d’Aubigné. She is told that Nanon is to be married to
Grignan, the drummer, and returns to the city with her suspicions
allayed. Grignan, however, is in reality the Marquis, who, in the
disguise of a drummer, intends to abduct Nanon. After a serenade to
her she surprises him with a proposal of marriage; but when
everything is ready for the ceremony, the Marquis secures his own
arrest by his Colonel on account of a duel. While grieving over the
arrest, Nanon receives a ring and some friendly assurances from
Gaston, the page of Ninon de l’Enclos, and thereupon turns to her for
help in rescuing the supposed Grignan from death, which is the
penalty for duelling.

The second act opens in Ninon’s salon. Marsillac, his nephew, and an
Abbé, who is one of Ninon’s lovers and confessor of Mme. de
Maintenon, are present at a ball, likewise D’Aubigné, who is
reproached by Ninon for having remained away so long and forgotten
her birthday. To escape embarrassment he sings to her the same
serenade he had sung to Nanon. Shortly afterwards Nanon arrives to
seek Ninon’s aid in saving Grignan. In the mean time D’Aubigné,
jealous of Hector, because he pays court both to Nanon and Ninon,
challenges him, and they hurry into the latter’s garden and settle
their quarrel with the sword. During their absence Marsillac, who [95
has noted Grignan’s serenade, also sings it, accompanied by the
musicians of the court chapel, but is only laughed at for his trouble.
When D’Aubigné returns from the duel, he is asked to clear up the
mystery of this song; but before he can do so the guard, who has
seen the duel, enters and arrests Hector, who has been wounded and
refuses to give the name of his opponent.

The third act opens in the private chapel of Mme. de Maintenon,

where the Abbé sings to her the same serenade in the form of a
hymn. Marsillac appears to ask for Hector’s pardon, and receives it
when it appears that D’Aubigné was the challenging party. D’Aubigné
thereupon congratulates her upon her birthday with the serenade,
and Marsillac repeats it. Ninon and Nanon next appear to intercede
for their lovers, D’Aubigné and Grignan. The King presents Nanon
with the life of Grignan, and she in turn, recognizing Grignan,
presents the pardon to Ninon. Touched by her generosity, Grignan
offers Nanon his hand, and Mme. de Maintenon, who is somewhat
uneasy at the King’s evident admiration for Nanon, gives her consent
and she is made Marquise d’Aubigné.

The music of “Nanon” is gay and brilliant throughout. The principal

numbers are the serenade, a minstrel’s song, as it is usually
designated, “Ah! what a Joyful Day is this; I am so Full of Glee,”
which is heard in various forms in all three acts; the opening
drinking-choruses; Nanon’s ballad, “Once before this Tavern [96
straying”; the jolly chorus of the country relatives, “Here we
come in Troops of Dozens, Uncles, Nephews, Aunts, and Cousins”;
Gaston’s ballad, “All that Frenchmen now will heed”; Hector’s song,
“Young appearing,” in the second act; and the lively concerted finale
of the last act.

[97
 GOUNOD, CHARLES.

Mirella.
[Pastoral opera, in three acts; text by Carré. First produced at the Théâtre
Lyrique, Paris, March 19, 1864.]

PERSONAGES.

Mirella, daughter of Raimondo.

Tavena, a fortune-teller.
Andreluno, a shepherd boy.
Vincenzina, sister of Vincenzo.
Clemenza, a peasant girl.
Vincenzo, lover of Mirella.
Urias, his rival.
Raimondo, a wealthy farmer.
Ambrogio, father of Vincenzo.

[Villagers, citizens, etc.]

The scene is laid in Provence; time, the last century.

The opera of “Mirella,” in France known as “Mireille,” is founded upon

the “Mireio” of Mistral, the Provençal poet, and was originally written
in five acts. Subsequently it was reduced to three acts and a waltz
was added to the finale. Though one of the lighter of Gounod’s
operas, and not very strong dramatically, it has great lyric beauty.
The first scene opens in a mulberry grove. Mirella is rallied by the
girls upon her love for Vincenzo, the basket-maker, and is also [98
warned by Tavena, the fortune-teller, against yielding to her
attachment, as she foresees that Raimondo, Mirella’s father, will
never consent to the union. When she meets her lover, however, they
renew their pledges and arrange, if their plans are thwarted, to meet
at the Chapel of the Virgin.

The second act opens with a merry-making at Arles. Tavena informs

Mirella that Vincenzo has a rival in Urias, a wild herdsman, who has
asked her hand of her father. Mirella however repulses him when he
brings the father’s consent. Ambrogio, Vincenzo’s father, and his
daughter, Vincenzina, intercede with Raimondo in Vincenzo’s behalf,
but in vain. Mirella, who has overheard them, declares to her father
her irrevocable attachment for Vincenzo, which throws him into such
a rage that he is about to strike her. She is saved from the blow by
appealing to the memory of her mother.

The last act opens upon a desolate sunburned plain. Mirella appears
toiling across the hot sands to keep her appointment with her lover
at the Chapel of the Virgin, accompanied by Andreluno, the shepherd
boy, singing to the accompaniment of his pipe. Tavena meets them,
and assures Mirella that Vincenzo will keep his appointment, and then
returns to Arles to plead with the father in Mirella’s behalf. The poor
girl arrives at the chapel nearly prostrated with the burning heat.
Vincenzo soon appears, and is shortly followed by Raimondo, who [99
is so affected by the pitiable condition of his daughter, that he
gives his consent to their union. A biographer of Gounod has
condensed the story of the opera into these few words: “A rich young
girl, a poor young man, an ill-fated love; and death of the young girl
by sunstroke.” In the revised version the dénouement is happy
instead of tragic.

The first act opens with the pretty and graceful pastoral chorus of the
maidens under the mulberry-trees, “Sing, Happy Maidens, as we
gather.” The second act also opens with an equally graceful chorus
and farandole, “The Gay Farandole never fails to delight,” followed by
a beautiful Provençal folk song, “Evening is Sweet with Summer
Flowers,” which is full of local color. Tavena sings a quaint fortune-
teller’s roundelay, “’Tis the Season of the Year,” and in the next scene
Mirella has a number of rare beauty, “The Frowns of Fortune I fear
no longer,” in which she declares her unalterable love for Vincenzo.
The finale of this act with its vigorous aria for Mirella, “At your Feet,
behold, I remain,” is the only really dramatic episode in the opera.
The third act opens with the quaint little song of Andreluno with oboe
accompaniment, “The Day awakes,” and also contains a plaintive
song for tenor, “Angels of Paradise.” It closes with a waltz song,
“Gentle Bird of the Morning,” which is most lavishly embellished and
ends the quiet, naïve, little pastoral opera with a brilliant vocal
pyrotechnical display.

[100
 HUMPERDINCK, ENGELBERT.

Hansel and Gretel.

[Fairy opera, in three acts; text by Wette. First produced, in Germany in 1894.]

PERSONAGES.

Peter, a broom-maker.
Gertrude, his wife.
Witch.
Hansel.
Gretel.
Sandman, the sleep fairy.
Dewman, the dawn fairy.

[Angels, witches, and fairies.]

The scene is laid in a German forest; time, the present.

The story of “Hansel and Gretel” is based upon one of Grimm’s fairy
tales. The first act opens at the house of Peter, the broom-maker,
who with his wife is away seeking food. The children, Hansel and
Gretel, have been left with injunctions to knit and make brooms.
Instead of working they indulge in a childish romp, which is
interrupted by the mother, who has returned. In her anger she
upsets a pitcher of milk, which was the only hope of supper in the
house. Thereupon she sends them into the forest, and bids them not
to come home until they have filled their basket with [101
strawberries. When Peter returns he brings provisions with him,
but breaks out in a fit of rage when he is informed the children have
been sent away, telling his wife of the witch who haunts the woods,
entices children to her honey-cake house, bakes them into
gingerbread, and devours them.

The second act opens with a characteristic instrumental number, “The

Witches’ Ride.” The children are disclosed near the Ilsenstein, making
garlands and mocking the cuckoos in a beautiful duet with echo
accompaniment. At last they realize that they are lost, and their
distress is heightened by strange sights and sounds. In the midst of
their trouble the Sandman approaches, strews sand in their eyes, and
sings them to sleep with a charming lullaby, after they have recited
their prayer, “When at Night I go to sleep, Fourteen Angels Watch do
keep.” As they go to sleep, the fourteen angels come down and
surround them, while other angels perform a stately dance.

The third act is called “The Witch’s House.” The angels have
disappeared, and the Dawn Fairy wakens the children, singing a
delightful song, “I’m up with Early Dawning.” Gretel wakes first, and
rouses Hansel by tickling him with a leaf, accompanying the act with
a tickling song. When fairly aroused, they discover the witch’s house,
with an oven on one side and a cage on the other. The house is
made of sweets and creams. Enticed by its sweetness, the hungry
children break off fragments, and are surprised at their work by [102
the old witch within. She comes out, and, after a series of
invocations, accompanied with characteristic music, prepares to bake
Gretel in the oven; but while she is looking into it the children push
her into the fire. Then they dance a witch waltz, and meanwhile the
oven falls into bits. Swarms of children rush round them, released
from their gingerbread disguise, and sing a song of gratitude as two
of the boys drag out the witch from the ruins in the form of a big
cake. The father and mother at last find the children, and all join in
the pious little hymn, “When past bearing is our Grief, God, the Lord,
will send Relief.” It is only a little child’s tale, but it is accompanied by
music of the highest order, and built up on the same plan of motives
which Wagner has used in his imposing Nibelung Trilogy.

[103
 JAKOBOWSKI, EDWARD.

Erminie.
[Musical comedy, in two acts; text by Bellamy and Paulton. First produced at
the Comedy Theatre, London, November 9, 1885; in New York at the Casino,
March 10, 1886.]

PERSONAGES.

Marquis de Pontvert.
Eugene Marcel, the Marquis’ secretary.
Vicomte de Brissac.
Delaunay, a young officer.
Dufois, landlord of the Golden Lion.
Chevalier de Brabazon, guest of the Marquis.
Ravannes,
Cadeaux, } two thieves.
Cerise Marcel, Erminie’s companion.
Javatte, Erminie’s maid.
Princesse de Gramponeur.
Erminie de Pontvert.

[Soldiers, peasantry, guards, waiters, etc.]

The scene is laid in France; time, the last century.

The story of “Erminie” is based upon the old melodrama “Robert

Macaire,” the two vagabonds, Ravannes and Cadeaux, taking the
places of the two murderers, Macaire and Jacques Strop. Few
melodramas were more popular in their day than “Robert Macaire,” in
which Lemaitre, the great French actor, made one of his most [104
conspicuous successes. It is also true that few musical comedies
have been more successful than “Erminie.” At the opening of the
opera, a gallant on the way to his betrothal with a young lady whom
he has never seen is attacked by two thieves, Ravannes and
Cadeaux, who carry off his wardrobe and tie him to a tree. Later,
Ravannes arrives in the midst of the betrothal festivities, and passes
himself off as the expected guest. He introduces Cadeaux as a
nobleman, and explains their lack of proper attire with the statement
that they had been robbed while on the way there. Erminie has an
affection for Eugene, her father’s secretary, and none for the man
who claims to be a suitor for her hand. Ernst, who was the real victim
of the robbery, and who is in love with Cerise, escapes from the
predicament in which the two thieves placed him, and arrives in time
for the festivities, to find himself denounced by Ravannes as the
highwayman who had attacked them earlier in the day. Ravannes, by
assuming great magnanimity and a certain nobility of conduct, and
by his proffers of help to Erminie in securing the man she loves in
return for her assistance in his plans, of which she of course is
ignorant, so ingratiates himself in her confidence that he nearly
succeeds in robbing the house. In the end, however, the two
vagabonds are unmasked. Eugene obtains the hand of Erminie, and
Ernst and Cerise are equally fortunate.

The music of “Erminie” is light and graceful throughout. Its [105

principal numbers are Erminie’s song, “Ah! when Love is Young”;
the duet for Eugene and Erminie, “Past and Future”; the Marquis’
stirring martial song, “Dull is the Life of the Soldier in Peace”; the
rollicking thieves’ duet, “We’re a Philanthropic Couple, be it known”;
Erminie’s pretty dream song, “At Midnight on my Pillow lying,” and
the lullaby “Dear Mother, in Dreams I see her,” which is the gem of
the opera; the song and whistling chorus, “What the Dicky Birds
say”; the vocal gavotte, “Join in Pleasures, dance a Measure”; and
the concerted piece, “Good-night,” which leads up to the close of the
last act.

[106
 LECOCQ, CHARLES.

Giroflé-Girofla.
[Opera bouffe, in three acts; text by Vanloo and Aterrier. First produced at the
Thèâtre des Fantasies Parisiennes, Brussels, March 21, 1874; in Paris,
November 11, 1874; in New York at the Park Theatre, 1875.]

PERSONAGES.

Don Bolero d’Alcarazas, a Spanish grandee.

Marasquin, banker.
Mourzook, a Moorish chief.
Giroflé,
Girofla,} Don Bolero’s twin daughters.
Aurore, their mother.
Pedro, the page.
Paquita.
Pirate Chief.
Godfather.
Godmother.
Fernand.
Guzman.

[Cousins, bridesmaids, pages, pirates, Moors, etc.]

The scene is laid in Spain; time, the last century.

The opening scene of “Giroflé-Girofla” which, with “La Fille de

Madame Angot,” made the reputation of Lecocq as an opera-bouffe
composer, introduces Don Bolero d’Alcarazas, a Spanish grandee, and
Aurore, his wife, also their twin daughters, Giroflé and Girofla, who,
being of marriageble age, have been hastily betrothed, Giroflé to
Marasquin, a banker to whom Don Bolero is heavily indebted, and
Girofla to Mourzook, a Moorish chief who has made regular demands
upon Don Bolero for money on penalty of death. By the double [107
marriage he expects to get rid of his obligations on the one hand
and avoid the payment of the enforced tribute on the other. Giroflé is
married as arranged, but Girofla, who was to have been married the
same day, is abducted by pirates before the ceremony can be
performed. When Mourzook arrives and finds he has no bride, he is
in a terrible rage, but is quieted down when, after a little
manœuvring by Aurore, Giroflé is passed off on him as Girofla and is
thus to be married a second time.

In the second act the wedding festivities are going on and both
bridegrooms are clamoring for their brides. No word is heard from
Admiral Matamoras, who has been sent to capture the pirates. Don
Bolero and Aurore resort to all kinds of expedients to settle matters
and pacify the irate banker and the furious Moor, and besides have
much trouble in restraining Giroflé from flying to her Marasquin. At
last she is locked up. She manages to get out, however, and goes off
with some of her cousins for a revel. Her absence is explained by a
report that the pirates have carried her off also, which adds to the
parents’ perplexity as well as to the fury of Marasquin and Mourzook.
At last Giroflé appears in a tipsy condition and is claimed by both.
The act closes with the report that Matamoras has been defeated,
and that the pirates have carried Girofla to Constantinople.

The third act opens on the following morning. The two would-be
husbands have been locked into their apartments. Marasquin [108
has passed a quiet night, but Mourzook has smashed the
furniture and escaped through the window from his chamber. The
parents assure Marasquin that even if Mourzook returns he will have
to leave that afternoon, and suggest that there can be no harm in
letting him have Giroflé for his wife until that time. Marasquin
reluctantly consents, and when Mourzook returns and Giroflé is
presented to him as Girofla, a ridiculous love scene occurs, which
Marasquin contrives to interrupt by various devices. Finally the return
of Girofla is announced, and Matamoras with his sailors appears,
leading her by the hand. Explanations are made all round, the
parents are forgiven, and Mourzook is satisfied.

The music is lively throughout and oftentimes brilliant, and of a

higher standard than usually characterizes opera bouffe. The most
taking numbers are the ballad with pizzicato accompaniment, sung by
Paquita, “Lorsque la journée est finis” (“When the Day is finished”);
the concerted ensemble, “À la chapelle” (“To the Church”); the
grotesque pirates’ chorus, “Parmi les choses délicates” (“Among the
Delicate Things to do”), and the sparkling duet for Giroflé and
Marasquin, “C’est fini, le mariage” (“The Marriage has been
solemnized”), in the first act: the bacchanalian chorus, “Écoutez cette
musique” (“Listen to this Music”), leading up to a dance; a vivacious
and well-written quintette, “Matamoras, grand capitaine”
(“Matamoras, our Great Captain”); a fascinating drinking-song, [109
“Le Punch scintille” (“This Flaming Bowl”), and the andante duet
“O Giroflé, O Girofla,” a smooth, tender melody, which is in striking
contrast with the drinking-music preceding it and that which
immediately follows the chorus of the half-tipsy wedding-guests,
“C’ést le canon” (“It is the Cannon”): and the rondo, “Beau père une
telle demand” (“Oh, my Father, now you ask”), sung by Marasquin,
and the duet for Mourzook and Giroflé “Ma belle Giroflé” (“My Lovely
Giroflé”), in the third act.

La Fille de Madame Angot.

[Opera bouffe, in three acts; text by Clairville, Sirandin, and Konig. First
produced at the Fantasies Parisiennes, Brussels, November, 1872; in Paris at
the Folies Dramatiques, February 23, 1873.]

PERSONAGES.

Clairette Angot, daughter of the market.

Mlle. Lange, comedienne.
 Ange Pitou, street singer.
Pomponnet, hairdresser.
Larivaudière,
Louchard, } police officials.
Javotte.
Amaranthe.
Cydalise.
Hersilie.
Babet.
Trenitz.

[Bourgeois, grenadiers, conspirators, hussars, servants, marketwomen, etc.

The scene is laid in Paris; time, about the period of the French Revolution.

The first act opens in a market square in Paris where the

marketwomen and others in holiday costume are making ready [110
to celebrate the wedding of Pomponnet, the hairdresser, and
Clairette, the daughter of the late Madame Angot. During the festive
preparations, for which Clairette has little desire, as her affections are
fixed upon Ange Pitou, a street singer, who is continually in trouble
by reason of his political songs, the latter makes his appearance. He
is informed of the forthcoming wedding, which has been arranged by
the market people, who have adopted Clairette as the child of the
market. At the same time Larivaudière and Louchard, the police
officials who caused his arrest because of his knowledge of the
relations of Larivaudière and Mademoiselle Lange, the comedienne
and favorite of Barras, are surprised to find him at large. To prevent
him from reciting his knowledge in a song which he is sure has been
written, Larivaudière buys him off. Pitou subsequently regrets his
bargain. When the crowd clamors for a song, he says he has none.
The people are furious with him, but Clairette comes to his rescue.
She has found the song denouncing Larivaudière, sings it, and is
arrested, notwithstanding Pitou’s declaration that he is the author of
it.

The second act opens in Mademoiselle Lange’s salon. She has

persuaded Barras to release Clairette and have her brought to her
apartments, so that she may discover why she sings this song
denouncing the government and insulting her also. In the mean time
she has also sent for Pomponnet, her hairdresser, and informs him
what his future wife has done. He replies that Pitou wrote the [111
song, and that he (Pomponnet) has it. She orders him to fetch it
to her. When Clairette arrives they recognize each other as old school
friends. Mademoiselle Lange assures her she shall not go back to
prison and that she need not marry Pomponnet. She retires to
Mademoiselle Lange’s boudoir, when a visitor is announced. It is
Ange Pitou, and a love scene at once occurs. The jealous
Larivaudière enters and accuses them of being lovers. To justify
herself Mademoiselle Lange declares that Pitou and Clairette are
lovers, and the latter confirms the statement. Pomponnet’s voice is
heard in the outer room. He is admitted, and promptly arrested for
having the revolutionary song on his person. The act closes with a
meeting of conspirators, and Mademoiselle Lange’s clever oiling of
the grenadiers who have come to arrest them by turning the whole
affair into a grand ball, to which they are invited.

The last act is occupied with plots and counter-plots which at last
succeed in disentangling all the complications. Mademoiselle Lange’s
perfidy, as well as Pitou’s, is shown up, Larivaudière has his revenge,
and Clairette and Pomponnet are made happy.

The music of the opera is so bright, gay, and characteristic that it

made Lecocq a dangerous rival of Offenbach. The most conspicuous
numbers are Clairette’s pretty romance, “L’enfant de la Halle” (“The
Child of the Market”); Amaranthe’s jolly couplets, “Marchande de [112
marée” (“A Beautiful Fishwoman”); Ange Pitou’s rondo,
“Certainement j’aimais Clairette” (“’Tis true I loved Clairette”) and
Clairette’s spirited song, “Jadis les rois, race proscrite” (“Once Kings,
a Race proscribed”), in the first act: another equally spirited song,
“Comme un Coursier” (“Like a Courser”); Pomponnet’s pretty air, “Elle
est tellement innocente” (“She is so innocent”); a charming
sentimental duet for Mademoiselle Lange and Clairette, “Jours
fortunes de notre enfance” (“Happy Days of Childhood”); a striking
ensemble in the form of a quintette, “Oui, je vous le dis, c’est pour
elle” (“Yes, ’tis on her Account alone”); and the famous conspirators’
chorus, “Quand on conspire” (“When one conspires”), in the second
act: and Clairette’s couplets with chorus, “Vous aviez fait de la
dépense” (“You put yourselves to Great Expense”); the humorous
duet, “Larivaudière and Pomponnet,” and Clairette’s song, “Ah! c’est
donc toi” (“Ah! ’tis you, then”), in the last act.
[113
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