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2410.10103

Causal Discovery in Nonlinear Dynamical Systems using Koopman Operators

Adam Rupe, Derek DeSantis, Craig Bakker, Parvathi Kooloth, Jian Lu

incompletehigh confidenceCounterexample detected
Category
Not specified
Journal tier
Strong Field
Processed
Sep 28, 2025, 12:56 AM

Audit review

The paper claims an unconditional equivalence between dynamical and Koopman causal influence (Theorem III.2) and sketches a proof via kernel sections k_{E,ω}. However, the converse direction implicitly requires a point-separation property of the effect-space RKHS (i.e., injective feature map y ↦ K_E(y, ·)). Without this, the implication “all K_t k_{E,ω} are independent of ω_C ⇒ P_E Φ_t is independent of ω_C” can fail (e.g., constant-kernel RKHS). The paper does not state this requirement, so the theorem is incomplete as written. The candidate solution adds precisely this separation assumption and gives a correct, self-contained proof (including a counterexample showing necessity).

Referee report (LaTeX)

\textbf{Recommendation:} major revisions

\textbf{Journal Tier:} strong field

\textbf{Justification:}

The manuscript advances a compelling operator-theoretic framework for causality in nonlinear dynamical systems and offers a practical data-driven measure. However, the central theoretical claim (Theorem III.2) requires an explicit point-separation assumption on the effect-space RKHS; without it, the converse direction can fail. Incorporating this assumption (common for universal/SPD kernels and met in the paper’s practical choices) will render the theory sound while preserving applicability.