vol21p76-84. 118KB Jun 04 2011 12:06:11 AM

Electronic Journal of Linear Algebra ISSN 1081-3810
A publication of the International Linear Algebra Society
Volume 21, pp. 76-84, October 2010

ELA

http://math.technion.ac.il/iic/ela

POSITIVE DEFINITE SOLUTION OF THE MATRIX EQUATION
X = Q + AH (I ⊗ X − C)−δ A∗
GUOZHU YAO† , ANPING LIAO‡ , AND XUEFENG DUAN§

Abstract. We consider the nonlinear matrix equation X = Q+AH (I ⊗X −C)−δ A (0 < δ ≤ 1),
where Q is an n × n positive definite matrix, C is an mn × mn positive semidefinite matrix, I is the
m × m identity matrix, and A is an arbitrary mn × n matrix. We prove the existence and uniqueness
of the solution which is contained in some subset of the positive definite matrices under the condition
that I ⊗ Q > C. Two bounds for the solution of the equation are derived. This equation is related
to an interpolation problem when δ = 1. Some known results in interpolation theory are improved
and extended.

Key words. Nonlinear matrix equation, Positive definite solution, Interpolation theory.


AMS subject classifications. 15A24, 65H05.

1. Introduction. We consider the positive definite solution X of the nonlinear
matrix equation
(1.1)

X = Q + AH (I ⊗ X − C)−δ A,

0 < δ ≤ 1,

where Q is an n × n positive definite matrix, A is an mn × n complex matrix, C
is an mn × mn positive semidefinite matrix, I is the m × m identity matrix, ⊗ is
the Kronecker product, and AH denotes the conjugate transpose of matrix A. When
δ = 1, (1.1) is connected to an interpolation problem (see [1]-[3]). The special cases
of this equation have many applications in various areas, including control systems,
ladder networks, dynamic programming, stochastic filtering, statistics (see [4]).
In recent years, many authors have been greatly interested in studying both the
theory and numerical aspects of the positive definite solutions of the nonlinear matrix
equations of the form (1.1) (see [1], [3]-[18]). Some special cases of (1.1) have been

investigated. When δ = 1, Ran et al [1] showed that (1.1) has a unique positive
definite solution by using a reduction method and Sun [3] obtained the perturbation
∗ Received by the editors on June 10, 2009. Accepted for publication on July 31, 2010. Handling
Editors: Roger A. Horn and Fuzhen Zhang.
† College of Mathematics and Computing Science, Changsha University of Science and Technology,
Changsha 410114, P.R. China ([email protected]). Supported by Hunan Provincial Educational
Department Science Foundation (10C0370).
‡ College of Mathematics and Econometrics, Hunan University, Changsha 410082, P.R. China
§ School of Mathematics and Computational Science, Guilin University of Electronic Technology,
Guilin 541004, P.R. China.

76

Electronic Journal of Linear Algebra ISSN 1081-3810
A publication of the International Linear Algebra Society
Volume 21, pp. 76-84, October 2010

ELA

http://math.technion.ac.il/iic/ela


Positive definite solution of the matrix equation X = Q + AH (I ⊗ X − C)−δ A

77

bounds and the residual bounds for an approximate solution of (1.1). In addition,
Duan [17] proved that (1.1) always has a unique positive definite solution when C = 0.
Hasanov [11] obtained that (1.1) has a unique positive definite solution under rigorous
conditions when C = 0 and m = 1. In this article, we first claim that (1.1) always
has a unique positive definite solution and then use a new approach that is different
from [1] to prove our conclusions in Sections 2 and 3. We also obtain some bounds
for the unique positive definite solution of (1.1).
Throughout this paper, X > 0 (X ≥ 0) denotes that the matrix X is positive definite (semidefinite). B ⊗ C denotes the Kronecker product of B and C. If
B − C is positive definite (semidefinite), then we write B > C (B ≥ C). We use
λM (B) (σM (B)) and λm (B) (σm (B)) to denote the maximal and minimal eigenvalues (singular values) of an n × n positive definite matrix B, respectively. Let P (n)
denote the set of n × n positive definite matrices, ϕ(n) denote the matrix set defined by {X ∈ P (n) | I ⊗ X > C}, [B, C] = {X ∈ P (n) | B ≤ X ≤ C} and
(B, C) = {X ∈ P (n) | B < X < C}. Unless otherwise stated, we suppose that
I ⊗ Q > C, the solutions of the matrix equations in this paper are positive definite
and the solution of (1.1) is in ϕ(n).
2. The existence of a unique solution. In this section, we prove that (1.1)

always has a unique solution. We begin with some lemmas.
Lemma 2.1. (1.1) is equivalent to the following nonlinear matrix equation
(2.1)

¯ + A¯H (I ⊗ Y )−δ A,
¯
Y =Q

¯ = I ⊗ Q − C, A¯ = I ⊗ A.
where Y = I ⊗ X − C, Q
Proof. Taking the Kronecker product of I with both left sides of (1.1), we obtain
I ⊗ X − I ⊗ [AH (I ⊗ X − C)−δ A] = I ⊗ Q.
Then
(2.2)

I ⊗ X − C − (I ⊗ AH )[I ⊗ (I ⊗ X − C)−δ ](I ⊗ A) = I ⊗ Q − C.

Noting that I ⊗ AH = (I ⊗ A)H and I ⊗ Y −δ = (I ⊗ Y )−δ , we get (2.1) by substituting
¯ and A¯ for I ⊗ X − C, I ⊗ Q − C and I ⊗ A in (2.2), respectively. Furthermore,
Y, Q

¯ − C if X
¯ is a solution of (1.1). For the converse, it is
(2.1) has a solution Y¯ = I ⊗ X
¯ = Q + AH Y¯ −δ A if Y¯ is a solution of (2.1).
easy to verify that (1.1) has a solution X
Lemma 2.2. ([19, p.2]). If A ≥ B > 0 (or A > B > 0), then Aα ≥ B α > 0
(or Aα > B α > 0) for all 0 < α ≤ 1, and 0 < Aα ≤ B α (or 0 < Aα < B α ) for all
−1 ≤ α < 0.

Electronic Journal of Linear Algebra ISSN 1081-3810
A publication of the International Linear Algebra Society
Volume 21, pp. 76-84, October 2010

ELA

http://math.technion.ac.il/iic/ela

78

G.Z. Yao, X.F. Duan and A.P. Liao


To discuss the solution of (1.1), we define maps f and F as follows:
(2.3)

f (X) = Q + AH (I ⊗ X − C)−δ A,

X ∈ ϕ(n),

and
(2.4)

¯ + A¯H (I ⊗ Y )−δ A,
¯
F (Y ) = Q

Y ∈ P (mn).

Observe that the solutions of (1.1) and (2.1) are fixed points of f in ϕ(n) and F in
P (mn), respectively. Let
f k (X) = f [f k−1 (X)],


F k (Y ) = F [F k−1 (Y )],

k = 2, 3, . . . .

Lemma 2.3. The map F has the following properties:
(1) If Y1 ≥ Y2 ≥ 0, then F (Y2 ) ≥ F (Y1 ) ≥ 0 and F 2 (Y1 ) ≥ F 2 (Y2 ) ≥ 0.
¯ ≤ F 2 (Y ) ≤ F (Q),
¯ and the set {Y | Q
¯ ≤ Y ≤ F (Q)}
¯
(2) For any matrix Y > 0, Q
is mapped into itself by F.
¯ ∞ is an increasing sequence of positive definite ma(3) The sequence {F 2k (Q)}
k=0
trices converging to a positive definite matrix Y − , which is a fixed point of
¯ ∞ is a decreasing
F 2 , i.e., Y − = F 2 (Y − ), and the sequence {F 2k+1 (Q)}
k=0
sequence of positive definite matrices converging to a positive definite matrix

Y + , which is also a fixed point of F 2 , i.e., Y + = F 2 (Y + ).
(4) F maps the set {Y | Y − ≤ Y ≤ Y + } into itself. In particular, any solution
of (2.1) is in between Y − and Y + , and if Y − = Y + , then (2.1) has a unique
solution.
Proof. The proof is similar to that of Theorem 2.2 of [6] and is omitted here.
From (4) of Lemma 2.3, we know that (2.1) has a unique solution if Y − = Y + .
Next we will prove that Y − = Y + .
Lemma 2.4. Let η(t) =

¯
(1−t)λm (Q)
¯ .
tλM [F (Q)]

Then we have, for any Y > 0 and t ∈ (0, 1),

F 2 (tY ) ≥ t[1 + η(t)]F 2 (Y ).

Proof. By (2) of Lemma 2.3, for any Y > 0, we have
(2.5)


¯ ≤ λM [F (Q)]I.
¯
F 2 (Y ) ≤ F (Q)

Hence
F 2 (tY ) − t[1 + η(t)]F 2 (Y )
¯ + A¯H [I ⊗ F (tY )]−δ A¯ − t[1 + η(t)][Q
¯ + A¯H (I ⊗ F (Y ))−δ A]
¯
=Q

Electronic Journal of Linear Algebra ISSN 1081-3810
A publication of the International Linear Algebra Society
Volume 21, pp. 76-84, October 2010

ELA

http://math.technion.ac.il/iic/ela


Positive definite solution of the matrix equation X = Q + AH (I ⊗ X − C)−δ A

79

¯ + A¯H [I ⊗ (Q
¯ + t−δ A¯H (I ⊗ Y )−δ A)]
¯ −δ A¯
= (1 − t)Q
−tA¯H [I ⊗ F (Y )]−δ A¯ − tη(t)F 2 (Y )
1

1

¯ −δ A¯
¯ + t−δ+ δ A¯H (I ⊗ Y )−δ A)]
¯ + tA¯H [I ⊗ (t δ Q
= (1 − t)Q
−tA¯H [I ⊗ F (Y )]−δ A¯ − tη(t)F 2 (Y ).
1


1

Since 0 < t δ < 1 and 0 < t−δ+ δ < 1, we have
1
¯ < Q,
¯ t−δ+ δ1 [A¯H (I ⊗ Y )−δ A]
¯ < A¯H (I ⊗ Y )−δ A.
¯
tδ Q

From Lemma 2.2 it follows that
(2.6)

1
¯ + t−δ+ δ1 A¯H (I ⊗ Y )−δ A]
¯ −δ ≥ [Q
¯ + A¯H (I ⊗ Y )−δ A]
¯ −δ ,
[t δ Q

which implies that
(2.7)

1
¯ + t−δ+ δ1 A¯H (I ⊗ Y )−δ A)]
¯ −δ ≥ [I ⊗ (Q
¯ + A¯H (I ⊗ Y )−δ A)]
¯ −δ .
[I ⊗ (t δ Q

Hence, combining (2.5), (2.6) and (2.7), we have
F 2 (tY ) − t[1 + η(t)]F 2 (Y ) ≥

=
=

¯ − tη(t)F 2 (Y )
(1 − t)Q
¯ − tη(t)λM [F (Q)]I
¯
(1 − t)λm (Q)I
¯
(1−t)λ
(
Q)
m
¯
¯ −t
(1 − t)λm (Q)I
¯ λM [F (Q)]I
tλM [F (Q)]
0,

i.e., F 2 (tY ) ≥ t[1 + η(t)]F 2 (Y ).
Lemma 2.5. For any Y1 ≥ 0 and Y2 ≥ 0, we have λM (Y1 )Y2 ≥ λm (Y2 )Y1 .
Proof. For any Y1 ≥ 0 and Y2 ≥ 0, it follows that
Y2 ≥ λm (Y2 )I,

λM (Y1 )I ≥ Y1 .

Hence
λM (Y1 )Y2 ≥ λM (Y1 )λm (Y2 )I ≥ λm (Y2 )Y1 .
¯ and the
Theorem 2.6. (1.1) always has a unique positive definite solution X
k

¯ for any X0 ∈ ϕ(n), where the map f is defined
sequence {f (X0 )}k=0 converges to X
by (2.3).
Proof. We first consider (2.1) since (1.1) is equivalent to (2.1) according to Lemma
2.1. From Lemma 2.3, we know that there exist positive definite matrices Y − ∈
P (mn) and Y + ∈ P (mn) such that Y + ≥ Y − and
¯ = Y −,
lim F 2k (Q)

k→∞

¯ = Y +.
lim F 2k+1 (Q)

k→∞

Electronic Journal of Linear Algebra ISSN 1081-3810
A publication of the International Linear Algebra Society
Volume 21, pp. 76-84, October 2010

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80

G.Z. Yao, X.F. Duan and A.P. Liao

We also know that the matrices Y − and Y + are fixed points of F 2 , i.e.,
Y − = F 2 (Y − )
and
Y + = F 2 (Y + ).
By Lemma 2.5, Y − ≥

λm (Y − ) +
λM (Y + ) Y ,

we define

t0 = sup{t|Y − ≥ tY + }.
Evidently, 0 < t0 < +∞, we now prove that t0 ≥ 1. Assume that 0 < t0 < 1,
t0 Y + . By Lemmas 2.3 and 2.4, we have
(2.8)

Y− ≥

Y − = F 2 (Y − ) ≥ F 2 (t0 Y + ) ≥ t0 [1 + η(t0 )]F 2 (Y + ) = t0 [1 + η(t0 )]Y + .

Since t0 [1 + η(t0 )] > t0 , (2.8) is contradictory to the definition of t0 , and therefore
t0 ≥ 1,

Y − = Y +.

¯ = Y¯ is the unique solution of
Let Y¯ = Y + (or Y − ). We know that lim F k (Q)
k→∞
¯ = Q + AH Y¯ −δ A is the unique solution of (1.1) by
(2.1) by Lemma 2.3. Therefore, X
Lemma 2.1.
¯
It remains to prove that the sequence {F k (Y0 )}∞
k=0 converges to Y for any Y0 in
P (mn). From Lemma 2.3, we have
¯ ≤ F 2 (Y0 ) ≤ F (Q).
¯
Q

(2.9)
Taking F in (2.9) yields

¯ ≤ F 3 (Y0 ) ≤ F (Q).
¯
F 2 (Q)
And taking F in (2.9) repeatedly yields
¯ ≤ F 2k (Y0 ) ≤ F 2k−1 (Q),
¯
F 2k−2 (Q)
k = 1, 2, 3, . . . ,
¯ ≤ F 2k+1 (Y0 ) ≤ F 2k−1 (Q),
¯
F 2k (Q)
k = 1, 2, 3, . . . .
¯ ∞ to the unique solution Y¯ that the
It follows from the convergence of {F k (Q)}
k=0
k

sequence {F (Y0 )}k=0 converges to Y¯ for any Y0 ∈ P (mn). From the maps f and F
defined by (2.3) and (2.4), we have
F k (Y0 ) = I ⊗ f k (X0 ) − C, k = 1, 2, . . . ,

Electronic Journal of Linear Algebra ISSN 1081-3810
A publication of the International Linear Algebra Society
Volume 21, pp. 76-84, October 2010

ELA

http://math.technion.ac.il/iic/ela

Positive definite solution of the matrix equation X = Q + AH (I ⊗ X − C)−δ A

81

where X0 ∈ ϕ(n), Y0 = I ⊗ X0 − C ∈ P (mn). Hence
lim [I ⊗ f k (X0 )] =

k→∞

=
=
=
=

lim F k (Y0 ) + C
Y¯ + C
¯ + A¯H (I ⊗ Y¯ )−δ A¯ + C
Q
I ⊗ (Q + AH Y¯ −δ A)
¯
I ⊗ X,
k→∞

¯
i.e., lim f k (X0 ) = X.
k→∞

3. Some bounds for the unique solution. In this section, we present two
bounds for the unique solution (1.1).
¯ be the unique positive definite solution of (1.1). Then
Theorem 3.1. Let X
2
¯
X ∈ [f (Q), f (Q)].
¯ − C. We know that Y¯ is the unique positive definite
Proof. Let Y¯ = I ⊗ X
solution of (2.1) by Lemma 2.1, i.e.,
¯ + A¯H (I ⊗ Y¯ )−δ A.
¯
Y¯ = Q
Thus
¯
Y¯ ≥ Q,
which implies that
¯ −δ .
Y¯ −δ ≤ Q
Thus we have
¯ + A¯H (Im ⊗ Q)
¯ −δ A.
¯
¯ + A¯H (Im ⊗ Y¯ )−δ A¯ ≤ Q
Y¯ = Q
Hence
¯ ≤ Y¯ ≤ F (Q).
¯
Q

(3.1)
From Lemma 2.2 it follows that

¯ −δ ≤ Y¯ −δ ≤ Q
¯ −δ ,
[F (Q)]
which implies that
¯ + A¯H [I ⊗ F (Q)]
¯ −δ A¯ ≤ Q
¯ + A¯H (I ⊗ Y¯ )−δ A¯ ≤ Q
¯ + A¯H (I ⊗ Q)
¯ −δ A,
¯
Q
i.e.,
¯
¯
Y¯ ∈ [F 2 (Q),
F (Q)].

Electronic Journal of Linear Algebra ISSN 1081-3810
A publication of the International Linear Algebra Society
Volume 21, pp. 76-84, October 2010

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82

G.Z. Yao, X.F. Duan and A.P. Liao

Since
¯ = I ⊗ f 2 (Q) − C, F (Q)
¯ = I ⊗ f (Q) − C,
F 2 (Q)
we have
¯ − C ≤ I ⊗ f (Q) − C,
I ⊗ f 2 (Q) − C ≤ I ⊗ X
¯ ∈ [f 2 (Q), f (Q)].
i.e., X
¯ be the unique positive definite solution of (1.1). Then
Theorem 3.2. Let X
¯ ∈ [αI + C, βI + C],
I ⊗X
where the pair (α, β) is a solution of the system


α
β

¯ + σ 2 (A)β −δ ,
= λm (Q)
m
¯ + σ 2 (A)α−δ .
= λM (Q)
M

¯ − C. We know that Y¯ is the unique solution of (2.1). From
Proof. Let Y¯ = I ⊗ X
¯ = σM (A). Define the sequences {αs }
¯ = σm (A), σM (A)
¯
A = I ⊗ A, we have σm (A)
and {βs } as follows:
α0

=

β0

=

αs

=

¯
λm (Q),
¯ −δ (Q),
¯ + σ 2 (A)λ
¯
λM (Q)
m
M
2 ¯
¯ + σm
λm (Q)
(A)β −δ ,

βs

=

¯ −δ , s = 1, 2, . . . .
¯ + σ 2 (A)α
λM (Q)
M
s−1

s−1

We will prove that the sequences {αs } and {βs } are monotonically increasing and
monotonically decreasing, respectively. Obviously,
0 < α0 < β0 .
Hence
α1
β1

2 ¯
¯ + σm
= λm (Q)
(A)β0−δ ≥ α0 ,
¯ −δ = β0 .
¯ + σ 2 (A)α
= λM (Q)
0
M

Suppose that αk ≥ αk−1 , βk ≤ βk−1 . Then
αk+1
βk+1

=
=

¯ −δ ≥ λm (Q)
¯ −δ = αk ,
¯ + σ 2 (A)β
¯ + σ 2 (A)β
λm (Q)
m
m
k−1
k
−δ
2 ¯
2 ¯
¯
¯
λM (Q) + σM (A)αk ≤ λM (Q) + σM (A)α−δ
k−1 = βk .

Therefore, we can get αs ≥ αs−1 , βs−1 ≥ βs for s = 1, 2, . . . by induction.

Electronic Journal of Linear Algebra ISSN 1081-3810
A publication of the International Linear Algebra Society
Volume 21, pp. 76-84, October 2010

ELA

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Positive definite solution of the matrix equation X = Q + AH (I ⊗ X − C)−δ A

83

Next, we will prove that the unique solution Y¯ of (2.1) lies in [αs I, βs I], for
s = 0, 1, 2, . . .. It is easy to see that
¯ ≤ Y¯ ≤ Q
¯ + A¯H (I ⊗ Q)
¯ −δ A.
¯
Q

(3.2)

¯ ≥ σm (Q)I
¯ = α0 I, we have Y¯ ≥ α0 I and
By Q
(3.3)

¯ + A¯H (I ⊗ Q)
¯ −δ A¯ ≤
Q

=

¯ + λ−δ (Q)
¯ A¯H A¯
Q
m
¯ + λ−δ
¯ 2 ¯
[λM (Q)
m (Q)σM (A)]I
β0 I.

Combining (3.2) and (3.3), we have Y¯ ∈ [α0 I, β0 I]. Suppose that Y¯ ∈ [αk I, βk I].
Then


=


=

¯ + A¯H (I ⊗ Y¯ )−δ A¯
Q
¯
Q + βk−δ A¯H A¯
2 ¯
¯ + β −δ σm
[λm (Q)
(A)]I
k
αk+1 I



=


=

¯ + A¯H (I ⊗ Y¯ )−δ A¯
Q
¯
¯H ¯
Q + α−δ
k A A
2 ¯
¯
[λM (Q) + α−δ
k σM (A)]I
βk+1 I.

and

Consequently, the sequences {αs } and {βs } are convergent. Let α = lim αs , β =
s→∞
¯ − C, we have that Im ⊗ X
¯ belongs to
lim βs . Then Y¯ ∈ [αI, βI]. Since Y¯ = I ⊗ X
s→∞

[αI + C, βI + C].
Acknowledgment. The authors would like to thank the referees for the valuable
comments and suggestions.
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Electronic Journal of Linear Algebra ISSN 1081-3810
A publication of the International Linear Algebra Society
Volume 21, pp. 76-84, October 2010

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