Controllability of Partial Differential Equations With Integral Kernels - Umberto Biccari - Madrid 2018

C ONTROLLABILITY OF P ARTIAL
D IFFERENTIAL E QUATIONS WITH

INTEGRAL KERNELS
Umberto Biccari
DeustoTech, Universidad de Deusto, Bilbao, Spain
Joint works with Sorin Micu (University of Craiova) and Víctor Hernández-Santamaría (DeustoTech)
Microlocal and Numerical Analysis, Kinetic Equations Control Conference
Madrid, March 1st , 2018

N ULL CONTROLLABILITY FOR
A NONLOCAL HEAT EQUATION
WITH INTEGRAL KERNEL
Null controllability for a nonlocal heat equation with integral kernel Removing the assumption on the decay of the kernel in t = 0
Null controllability of a one-dimensional wave equation with memory On the necessity of the hypothesis (H)
Main equation
 Z
yt − ∆y +

 K (x, θ, t)y (θ, t) dθ = v 1O , (x, t) ∈ Q
Ω

 y = 0, (x, t) ∈ Σ
y (x, 0) = y0 (x), x ∈ Ω.

• Ω ⊂ Rd bounded domain of class C 2 .

• Q := Ω × (0, T ), T > 0.
• Σ := ∂Ω × (0, T ).
• K = K (x, θ, t) ∈ L∞ (Ω × Ω × (0, T )).
• y0 ∈ L2 (Ω), v ∈ L2 (O × (0, T )).
There exists a unique solution y ∈ L2 (0, T ; H01 (Ω)) ∩ H 1 (0, T ; H −1 (Ω)),

which satisfies classical energy estimates.
2 / 34
We are interested in proving the null controllability of the problem

under analysis.
Existing results
It is well known that the system is null controllable at least in two
cases.
• Under analyticity assumptions on the non-local potential, one can
exploit unique continuation properties and use
compactness-uniqueness arguments. 1 In this framework, also
coupled systems have been treated.2
• When the problem is one-dimensional and the kernel is
time-independent and in separated variables, the controllability
follows employing spectral analysis techniques.3
1 E. Fernández-Cara, Q. Lü and E. Zuazua, SICON, 2016

2 P. Lissy and E. Zuazua, Chin. Ann. Math. Ser. B, 2018
3 S. Micu and T. Takahashi, 2017
3 / 34
By means of a Carleman approach, we are able to extend the above

mentioned results by considering a problem in any space dimension
and by weakening the assumptions on the kernel.4
Theorem
Suppose that the kernel K = K (x, θ, t) ∈ L∞ (Ω × Ω × (0, T )) satisfies
Z
εA
K =: sup exp |K (x, θ, t)| dθ < +∞, (H)
(x,t)∈Q t(T − t) Ω
for any ε > 0, where A is a positive constant. Then, given y0 ∈ L2 (Ω)
and T > 0, there exists a control function v ∈ L2 (O × (0, T )) such
that y (x, T ) = 0.
4 U.B. and V. Hernández-Santamaría, 2017

4 / 34
Theorem (Observability estimate)

There exist two positive constants C1 and C2 , depending only on Ω,
such that
Z T Z
C1 2 1
kϕ(x, 0)kL2 (Ω) ≤ exp C2 1 + K 3 + |ϕ|2 dx dt
T T 0 O
holds for any solution of the adjoint system
 Z
−ϕt − ∆ϕ +

 K (x, θ, t)ϕ(θ, t) dθ = 0, (x, t) ∈ Q
Ω

 ϕ = 0, (x, t) ∈ Σ
ϕ(x, T ) = ϕT (x), x ∈ Ω.

with ϕT ∈ L2 (Ω) K satisfying (H).
5 / 34
Carleman estimate: preliminaries
Weight functions
e4λkη k∞ − eλ(2kη k∞ +η (x))

0 0 0
α(x, t) := ,
t(T − t)
eλ(2kη k∞ +η (x))
0 0
ξ(x, t) := , λ > 0.
t(T − t)
Moreover, we introduce the following quantity

Z Z
I(·) := sλ2 e−2sα ξ|∇ · |2 dx dt + s3 λ4 e−2sα ξ 3 | · |2 dx dt.
Q Q
6 / 34
Carleman estimate
Proposition
Let ϕT ∈ L2 (Ω) and assume that the kernel K satisfies (H). Then,
there exist positive constants C, λ0 (ε) and σ2 such that the solution
ϕ to theadjoint problem
Z
−ϕt − ∆ϕ + K (x, θ, t)ϕ(θ, t) dθ = 0, (x, t) ∈ Q


Ω

 ϕ = 0, (x, t) ∈ Σ
ϕ(x, T ) = ϕT (x), x ∈ Ω.

satisfies Z T Z
I(ϕ) ≤ Cs λ 3 4
e−2sα ξ 3 |ϕ|2 dx dt,
0 O
2
for any λ ≥ λ0 and any s ≥ σ2 T + T2 + K3T2 .
7 / 34
Carleman estimate: idea of the proof
Z Z Z TZ
s 3 λ4 e−2sα |ϕ|2 dxdt ≤ C e−2sα |ϕt + ∆ϕ|2 dxdt + s3 λ4 e−2sα |ϕ|2 dxdt
Q Q 0 O
Properties of K (x, θ, t) and α(x, t)

• Exponential decay: K (·, ·, t) ∼ exp − t(TεA
−t)
• Relation between minimum and maximum of the weight:5

− +
e−s(1+ε)α (t) < e−sα (t) , for all λ > λ∗ (ε), ∃ λ∗ (ε) > 0.
Z Z 2 Z
e−2sα K (x, ξ, t)ϕ(ξ, t) dxdt ≤ C e−2sα |ϕ|2 dxdt

Q Ω Q
5 M. Gueye, 2013 & C. Montoya and L. de Teresa, 2017

8 / 34
Remark
According to hypothesis (H), the kernel K , as a function of t, should
behave like A(s,λ)ε
K (·, ·, t) ∼ e− t(T −t) ,
i.e. it should decay exponentially as t goes to 0+ and T − . This is the
minimum decay that we shall ask for the kernel.
ε = 0.5
1
ε = 10−1
ε = 10−3
0 T
9 / 34
Remark
We are allowed to consider kernels K which does not decay at t = 0:
Z
B
M := sup exp |K (x, θ, t)| dθ < +∞.
(x,t)∈Q
T −t Ω
This requires a modification in the Carleman weight

λ 2 η0 +η 0
e4λkη k∞ − e k k∞
0
K (·, ·, t)
α 7→ β :=
`(t)

λ 2kη 0 k +η 0
e ∞
ξ 7→ γ :=
`(t)
(
T 2 /4, t ∈ [0, T /2]
`(t) :=
0 t(T − t), t ∈ [T /2, T ]
0 T
10 / 34
On the necessity of the hypothesis (H)
Remark
Hypotheses on the kernel K more general that just being bounded
are necessary. Otherwise, it is possible to provide counterexamples
to the unique continuation for the solution of the adjoint equation.
In the following, we present one which has been proposed by P.
Gerard.
11 / 34
Counterexample to unique continuation (P. Gerard)
Consider a function u with the following properties:
Properties of u
• u ∈ C0∞ (0, 1);

• u(x) = 0 for x ∈ (a, b) ⊂ (0, 1);
• u 6≡ 0 in (0, 1).
0 a b 1
12 / 34
Decomposition in the eigenfunctions of the Laplacian

X
u ∈ L2 (0, 1) ⇒ u(x) = ck φk (x)
k ≥1
with √
φk (x) = 2 sin(k πx)
ck = hu, φk iL2 (0,1)
Moreover, for 0 < λ < π and up to a change of variables of the type

u 7→ σu, σ > 0, we have
X
k 2 π 2 − λ2 ck2 = 1.

k ≥1
13 / 34
Definition
X
k 2 π 2 − λ2 ck φk (x).

p(x) =
k ≥1
• −uxx − λ2 u = p is verified in the sense of distributions;

• p ∈ C0∞ (0, 1) with p(x) = 0 in (a, b) (since u has these
properties);
R1
• 0 pu dx = 1.
Therefore, u satisfies the nonlocal elliptic problem

 Z 1
−uxx + K (x, θ)u(θ) dθ = λ2 u, x ∈ (0, 1)

0
u(0) = u(1) = 0

with K (x, θ) = p(x)p(θ). Furthermore, by assumption u(x) = 0 for

x ∈ (a, b) ⊂ (0, 1) but u 6≡ 0 elsewhere.
14 / 34
N ULL CONTROLLABILITY OF
A ONE - DIMENSIONAL WAVE
EQUATION WITH MEMORY
Spectral analysis without moving control
Null controllability for a nonlocal heat equation with integral kernel Spectral analysis with moving control
Null controllability of a one-dimensional wave equation with memory Construction of a localized solution
The controllability problem
Main equation
 Z t
y − y + M yxx (s) ds = u1ω(t) , (x, t) ∈ T × (0, T ) := Q
tt xx
0
y (x, 0) = y (x), yt (x, 0) = y 1 (x), x ∈ T, M ∈ R \ {0}.
0

• T = R/2πZ.
• u ∈ L2 (O), u(x, t) = g(x + ct)ũ(t), c ∈ R.
n o
• O = (x, t) t ∈ (0, T ), x ∈ ω(t) .

Definition
The system is said to be memory-type null controllable at time T if for any
couple of initial data (y 0 , y 1 ) ∈ X , there exits a control u ∈ L2 (O) such that
the corresponding solution y satisfies
Z T
y (x, T ) = yt (x, T ) = yxx (x, s) ds = 0.
0
16 / 34
Simulations
Z t
ytt − yxx − M yxx (s) ds = u1ω(t) with M = 0.1 and a fixed control.
0
The zero is not reached neither in the state nor in the memory.
17 / 34
Z t
ytt − yxx − M yxx (s) ds = u1ω(t) with M = 0.1 and a moving control.
0
Both the state and the memory are driven to zero in time T .
18 / 34
Functional setting
n R o
π Rπ
• L2p (T) := f : T → C −π |f (x)|2 dx < +∞, −π f (x) dx = 0 .
n Rπ o
• Hp1 (T) := f ∈ L2p (T) fx ∈ L2p (T), −π f (x) dx = 0 .

Rπ 1
2
• kf kL2 (T) := 1
2π −π
|f (x)|2 dx .
p
Rπ 1
2
• kf kH 1 (T) := 1
2π −π
|fx (x)|2 dx = kfx kL2 (−π,π) .
p
0
• Hp−1 (T) = Hp1 (T) : dual of Hp1 (T) with pivot space L2p (T).
Proposition
For any (y 0 , y 1 ) ∈ Hp1 (T) × L2p (T) and u ∈ L2 (O) the system admits a unique
solution y ∈ C([0, T ]; Hp1 (T)) ∩ C 1 ([0, T ]; L2p (T)). Moreover,

ky kC([0,T ];H 1 (T))∩C 1 ([0,T ];L2 (T)) ≤ C(T ) (y 0 , y 1 ) 1 + kuk L2 (O) .

p p 2 Hp (T)×Lp (T)
19 / 34
We want to prove a null controllability result for our equation. Before doing that,
we discuss further the necessity of a moving control.
• We show that the spectrum has an accumulation point.

• We show that there are solutions which are localized along vertical
characteristics and, therefore, do not propagate in time.
Reduction to a coupled PDE/ODE system


Z t ytt − yxx + Mzxx = u1ω(t) ,
 (x, t) ∈ Q
z= y (s) ds ⇒ zt = y , (x, t) ∈ Q
0 
y (0) = y 0 , yt (0) = y 1 , z(0) = 0, x ∈ T.

20 / 34
Spectral analysis
Our original equation can be equivalently written as a first order system.
Reduction to a first order system

   0 
( y y
Y 0 (t) + AY = 0, t ∈ (0, T )
, Y (t) =  w  , Y 0 =  y 1 
Y (0) = Y 0 z 0
   
y −w
A : D(A) → X , A w  =  −yxx + Mzxx  .
z −y
The spaces X and D(A) are given respectively by
X = Hp1 (T) × L2p (T) × Hp1 (T), D(A) = Hp2 (T) × Hp1 (T) × Hp2 (T).
21 / 34
Theorem
The spectrum of the operator (D(A),
A) is given by
σ(A) = µjn ,
n∈N∗ , 1≤j≤3
where the eigenvalues verify the µjn
following estimates
M3

1

1

 µn = −M + 2 + O , n ∈ N∗



 n n4

M3 3M 2

2 M 1
µ n = − 2
+ in + i + O 3
, n ∈ N∗
2 2n 8n n






 3
µn = µ2n , n ∈ N∗ .
Each eigenvalue µjn 
∈ σ(A) is
double and has two associated eigenvectors
1
 −µj 
n  ±inx
Φj±n =  e , j ∈ {1, 2, 3}, n ∈ N∗ .

 1 
µjn
Moreover, Φjn forms a Riesz basis in the space X .
n∈Z∗ , 1≤j≤3
22 / 34
10 family µ1n
family µ2n
family µ3n
5
−5
−10
-1 -0.75 -0.5 -0.25 0 0.25 0.5
Figure: Distribution of the eigenvalues µjn for n ∈ {1, . . . , 10}, corresponding to

M = 1. The accumulation of the family µ1n zeros at −M appears.
23 / 34
Adjoint system


 ptt − pxx + Mqxx = 0, (x, t) ∈ Q

−q = p,
t (x, t) ∈ Q


 p(T ) = p0 , pt (T ) = p1 , x ∈T
q(T ) = q 0 , x ∈T

Change of variables p(x, t) = ϕ(x + ct, t), q(x, t) = ψ(x + ct, t).6


 ϕtt − (1 − c 2 )ϕxx + 2cϕxt + Mψxx = 0, (x, t) ∈ Q

−ψ − cψ = ϕ,
t x (x, t) ∈ Q
0 1 0


 ϕ(T ) = p , ϕ t (T ) = p − cpx , x ∈T
0
ψ(T ) = q , x ∈ T.

6
P. Martin, L. Rosier and P. Rouchon, SICON, 2013.
24 / 34
Reduction to a first order system

(
Φ0 (t) + Ac Φ = 0, t ∈ (0, T )
,
Φ(0) = Φ0
p0
   
ϕ
Φ(t) =  η  , Y 0 =  p1 − cpx0 
ψ q0
   
ϕ −η
Ac  ϕt  =  −(1 − c 2 )ϕxx + 2cηx + Mψxx  .
ψ cψx + ϕ
The domain D(Ac ) is the same as D(A).
25 / 34
Theorem
c ), Ac ) is given by
The spectrum of the operator (D(A
σ(Ac ) = λjn ,
n∈Z∗ , 1≤j≤3
where the eigenvalues λjn are defined as follows
λjn = cni + µj|n| , n ∈ Z∗ , 1 ≤ j ≤ 3.
Each eigenvalue λjn ∈ σ(Ac ) is simple and has an associated eigen-
vector of the form
1
 
−λjn
 
j
j ∈ {1, 2, 3}, n ∈ Z∗ .
  inx
Ψn =   e ,

 1 
j
(cni − λn )
Moreover, Ψjn forms a Riesz basis in the space X .
n∈Z∗ , 1≤j≤3
26 / 34
family λ1n
family λ2n
10 20 family λ3n
0 0
−10 −20
−1 −0.75 −0.5 −0.25 0 0.25 0.5 −1 −0.75 −0.5 −0.25 0 0.25 0.5
Figure: Distribution of the eigenvalues λjn for n ∈ {1, . . . , 10}, corresponding to

M = 1 and c = 0.5 (left) and c = 2 (right).
At the leading order

M M
λ2n ∼ + i(c + 1)n, λ3n ∼ + i(c − 1)n.
2 2
27 / 34
Construction of a localized solution
Adjoint equation
Z t
0
ptt − pxx + M pxx (s) ds + Mqxx ,(x, t) ∈ R × (0, T )
0
Characteristics
pttt − pxxt + Mpxx = 0
⇓
P(x, t, ξ, τ ) = τ 3 − τ |ξ|2 = τ (τ 2 − |ξ|2 )
28 / 34
Theorem
For any x0 ∈ R \ {0} and ε > 0, let the functions p ε be defined as
1
1 2 4 7 εi x− √1ε (x−x0 )2 +Mt−M 3 ε2 t
p ε (x, t) := ε8 e .
x0 π
1. The p ε are approximate solutions, with the choice

1
q 0 (x) := p ε (0, x).
M − M 3 ε2
2. The initial energy of p ε satisfies √
E ε (0) := E(p ε )(0) = 1 + O( ε),
i.e. it is bounded as ε → 0.
3. The energyZof p ε is exponentially small off the vertical ray (t, x0 ):
−1
|pxε |2 + |ptε |2 dx = O e−2ε 4

1
|x−x0 |>ε 8
29 / 34
Controllability problem
For s ≥ 0, let us define the scale of spaces
V s = Hps+1 (T) × Hps (T) × Hps+1 (T)
and
V −s = Hp−s (T) × Hp−s−1 (T) × Hp−s−1 (T).
Lemma
The equation is memory-type null controllable in time T for any initial data
(y 0 , y 1 , 0) ∈ V s if and only if the following identity holds
Z
g ũϕ dxdt = − y 1 + cyx0 , ϕ(0) H s (T),H −s (T) + y 0 , ϕt (0) H s+1 (T),H −s−1 (T) ,

p p p p
Q
for all (p0 , p1 , q 0 ) ∈ V −s , where (ϕ, ψ) is the unique solution to the adjoint
system.
30 / 34
A standard argument shows that the previous variational equality has a

solution if and only if an observability inequality for the solutions of the
adjoint system holds. More precisely, we have the following result.
Theorem
The equation is memory-type null controllable in time T for any
initial data (y 0 , y 1 , 0) ∈ V s if and only if the following observability
inequality holds
Z
2 2
g |ϕ| dxdt ≥ C k(ϕ(0), ϕt (0), ψ(0))kV −s ,
Q
for all (p0 , p1 , q 0 ) ∈ V −s , where (ϕ, ϕt , ψ) is the corresponding solu-
tion to the adjoint system.
31 / 34
Theorem

1 1 1
For any T > π |c| + |1−c| + |1+c| , there exists a biorthogonal se-
k 2 T T

quence θm (m,k )∈S in L − 2 , 2 to the family of exponential func-
j

tions Λ = e−λn t such that the following estimates hold
(n,j)∈S
2

X k k X k 2

βm θ m ≤C m 4 βm ,
(m,k )∈S 2 T T (m,k )∈S
L (− 2 , 2 )
k

for any finite sequence of scalars βm (m,k )∈S ⊂ C.
n o
S := (n, j) : n ∈ Z∗ , j ∈ {1, 2, 3} .
32 / 34
Theorem
The observability inequality holds for all (p0 , p1 , q 0 ) ∈ V −2 .
Going back to the original problem we obtain the following result.

Theorem

1 1 1
Let T > 2π |c| + |1−c| + |1+c| , ω a non void open set in T and
ω(t) = ct + ω, t ≥ 0.
For each initial data (y 0 , y 1 ) ∈ Hp3 (T) × Hp2 (T) there exists a control
u ∈ L2 (O) such that the solution (y , yt ) of our original problem verifies
Z T
y (T , x) = yt (T , x) = yxx (s, x) ds = 0.
0
33 / 34
THANK YOU FOR YOUR ATTENTION!
This project has received funding from the European Research Coun-
cil (ERC) under the European Union’s Horizon 2020 research and
innovation program (grant agreement No 694126-DYCON).
34 / 34

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C ONTROLLABILITY OF P ARTIAL

D IFFERENTIAL E QUATIONS WITH

Microlocal and Numerical Analysis, Kinetic Equations Control Conference

Madrid, March 1st , 2018

• Ω ⊂ Rd bounded domain of class C 2 .

There exists a unique solution y ∈ L2 (0, T ; H01 (Ω)) ∩ H 1 (0, T ; H −1 (Ω)),

We are interested in proving the null controllability of the problem

1 E. Fernández-Cara, Q. Lü and E. Zuazua, SICON, 2016

By means of a Carleman approach, we are able to extend the above

4 U.B. and V. Hernández-Santamaría, 2017

Theorem (Observability estimate)

with ϕT ∈ L2 (Ω) K satisfying (H).

Carleman estimate: preliminaries

e4λkη k∞ − eλ(2kη k∞ +η (x))

Moreover, we introduce the following quantity

Carleman estimate: idea of the proof

Properties of K (x, θ, t) and α(x, t)

• Relation between minimum and maximum of the weight:5

5 M. Gueye, 2013 & C. Montoya and L. de Teresa, 2017

This requires a modification in the Carleman weight

On the necessity of the hypothesis (H)

Counterexample to unique continuation (P. Gerard)

Consider a function u with the following properties:

• u ∈ C0∞ (0, 1);

Decomposition in the eigenfunctions of the Laplacian

Moreover, for 0 < λ < π and up to a change of variables of the type

• −uxx − λ2 u = p is verified in the sense of distributions;

Therefore, u satisfies the nonlocal elliptic problem

with K (x, θ) = p(x)p(θ). Furthermore, by assumption u(x) = 0 for

• We show that the spectrum has an accumulation point.

Reduction to a coupled PDE/ODE system

Our original equation can be equivalently written as a first order system.

Reduction to a first order system

The spaces X and D(A) are given respectively by

-1 -0.75 -0.5 -0.25 0 0.25 0.5

Figure: Distribution of the eigenvalues µjn for n ∈ {1, . . . , 10}, corresponding to

Reduction to a first order system

Figure: Distribution of the eigenvalues λjn for n ∈ {1, . . . , 10}, corresponding to

At the leading order

Construction of a localized solution

1. The p ε are approximate solutions, with the choice

For s ≥ 0, let us define the scale of spaces

V s = Hps+1 (T) × Hps (T) × Hps+1 (T)

V −s = Hp−s (T) × Hp−s−1 (T) × Hp−s−1 (T).

A standard argument shows that the previous variational equality has a

Going back to the original problem we obtain the following result.

THANK YOU FOR YOUR ATTENTION!

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