# 4. Expanding dynamical systems

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1 4.1. Metric definition. 4. Expanding dynamical systems Definition 4.1. Let X be a compact metric space. A map f : X X is said to be expanding if there exist ɛ > 0 and L > 1 such that d(f(x), f(y)) Ld(x, y) for all x, y X such that d(x, y) < ɛ. If X is a compact metrizable space, then a continuous map f : X X is said to be (topologically) expanding if there exists a metric such that f is expanding with respect to it. Lemma 4.1. Let f : X X be such that f n is topologically expanding. Then f is also topologically expanding. Proof. Suppose that f n is expanding with respect to a metric d. Let ɛ and L be as in Definition 4.1. Consider the metric Then d n (f(x), f(y)) = n 1 d n (x, y) = L k/n d(f k (x), f k (y)). k=0 n L (k 1)/n d(f k (x), f k (y)) = k=1 n 1 L (n 1)/n d(f n (x), f n (y)) + L 1/n L k/n d(f k (x), f k (y)) k=1 n 1 L 1+1/n Ld(x, y) + L 1/n L k/n d(f k (x), f k (y)) = L 1/n d n (x, y). It follows that f is also expanding. k=1 Example 4.1. Consider the circle R/Z, and for an integer k, k > 1, consider the self-covering f : R/Z R/Z given by f(x) = kx (mod 1). It is obviously expanding. Example 4.2. An endomorphism f : M M of a Riemannian manifold is called expanding if there exist C > 0 and L > 1 such that Df n v CL n v for every tangent vector v. Note that, by Lemma 4.1, every expanding endomorphism of a compact Riemannian manifold is an expanding self-covering Hyperbolic rational functions Some classical theorems of complex analysis. Theorem 4.2 (Uniformization Theorem). Any simply connected Riemann surface (i.e., a one dimensional smooth complex manifold) is conformally isomorphic to exactly one of the following surfaces. (1) The Riemann sphere Ĉ. (2) The (Euclidean) plane C. (3) the open unit disc D = {z C : z < 1}, or, equivalently, the upper half plane H = {z C : Iz > 0}. 22

2 4. EXPANDING DYNAMICAL SYSTEMS 23 Theorem 4.3 (Schwarz Lemma). If f : D D is holomorphic and f(0) = 0, then f (0) 1. If f (0) = 1, then f is a rotation z cz about 0 (with c = 1). If f (z) < 1, then f(z) < z for all z 0. As a corollary we get Theorem 4.4 (Liouville Theorem). If f : C C is holomorphic and bounded, then it is constant. The automorphism groups (i.e., groups of bi-holomorphic automorphisms) of the simply connected Riemannian surfaces are as follows: az+b (1) Aut(Ĉ) is the group of all Möbius transformations z cz+d for a, b, c, d C such that a b c d 0, and is isomorphic to PSL(2, C). (2) Aut(C) is the group of all affine transformations z az + b for a, b C, a 0. (3) Aut(H) is the group of all transformations z az+b cz+d, where a, b, c, d R are such that a b c d > 0, and is isomorphic to PSL(2, R). Every iθ z a automorphism of D is of the form z e, where θ R, a < 1. 1 az If S is a connected Riemann surface, then its universal covering S is one of the simply connected surfaces Ĉ, C, D, and the fundamental group π 1(S) acts on S by conformal automorphisms. We say that S is Euclidean or hyperbolic, if S is isomorphic to C or D, respectively. Note that the action of π 1 (S) on S is fixed point free. Since every non-identical Möbius transformation has a fixed point, the only surface with universal covering Ĉ is the sphere Ĉ itself. Any transformation z az + b for a 1 has a fixed point, hence in the Euclidean case the fundamental group acts on the universal covering C by translations. It is easy to see that this implies that a Euclidean surface is isomorphic either to the cylinder C/Z, or to a torus C/Λ, where Λ is the subgroup of the additive group of C generated by two non-zero complex numbers a, b such that a/b / R. All the other Riemann surfaces are hyperbolic. It is a direct corollary of the Liouville theorem that every holomorphic map from C to a hyperbolic surface is constant (since we can lift it to the universal covering). In particular, every holomorphic map f : C C such that C \ f(c) has more than one point is constant (Picard s Theorem). Theorem 4.5 (Poincaré metric). There exists, up to multiplication by a constant, unique Riemannian metric on D invariant under every conformal automorphism of D. It is given by ds = 2 dz 1 z (the coefficient 2 is in order to have Gaussian 2 curvature equal to 1). Every orientation preserving isometry of D is a conformal automorphism. Every hyperbolic surface S has then a unique Poincaré metric coming from the Poincaré metric on the universal covering S = D of S (since the fundamental group π 1 (S) acts on S by conformal automorphisms). The following is a corollary of Schwarz Lemma. Theorem 4.6 (Pick Theorem). Let f : S S be a holomorphic map between hyperbolic surfaces. Then exactly one of the following cases is taking place.

3 24 (1) f is a conformal isomorphism and an isometry with respect to the Poincaré metrics. (2) f is a covering map and is a local isometry. (3) f is strictly contracting, i.e., for every compact set K S there is a constant c K < 1 such that d(f(x), f(y)) c k d(x, y) for all x, y K Julia set. Definition 4.2 (Compact-open topology). Let X be a locally compact space, and let Y. Compact open topology on the space Map(X, Y) of continuous maps X Y is given by the bases of neighborhoods of a map f : X Y consisting of sets N K,ɛ (f) = {g Map(X, Y) : d(f(x), g(x)) < ɛ for all x K} where K X is compact and ɛ > 0. In fact, the compact-open topology does not depend on the metric on Y. Convergence in the compact-open topology is called uniform convergence on compact subsets. Definition 4.3. A set F of holomorphic functions from a Riemann surface S to a compact Rieman surface T is called a normal family if its closure is compact in Map(S, T ). In the case when T is not compact, we replace T by its one-point compactification. Thus, a family F Hol(S, T ) is normal if every sequence f n of elements of F has either a subsequence f nk convergent uniformly on compact subsets, or a subsequence f nk converging to infinity uniformly on compact subsets (i.e., such that for all compact K 1 S and K 2 S the intersection f nk (K 1 ) K 2 is empty for all k big enough). Every holomorphic map f : Ĉ Ĉ is a rational function, i.e., a ratio of two polynomials. Definition 4.4. Let f : Ĉ Ĉ be a rational function. The Fatou set of f is the set of points z Ĉ such that there exists a neighborhood U of z such that f n : U Ĉ, for n 0, is normal. The complement of the Fatou set is called the Julia set. Some examples (some taken from a very good introductory book by J. Milnor Dynamics in One Complex Variable, Annals of Mathematics Studies, No 160, Princeton University Press 2006): The Julia set J is totally invariant, i.e., f(j) = J = f 1 (J). It is always non-empty (unless f is a Möbius transformation) and compact. It can be equal to the whole sphere Hyperbolic rational functions. Definition 4.5. A rational function f is hyperbolic if it is expanding on its Julia set. A post-critical set of f is the set of all points of the form f n (c), where c is a critical point of f, and n 1. Theorem 4.7. Let f be a rational function of degree 2. Then the following conditions are equivalent.

4 4. EXPANDING DYNAMICAL SYSTEMS 25 Figure 10. A Cantor set z i Figure 11. A simple closed curve z 2 + ( i)z Figure 12. Basilica z 2 1 (1) f is hyperbolic. (2) Closure of the post-critical set of f is disjoint from its Julia set. (3) Orbit of every critical point converges to an attracting cycle.

5 26 Figure 13. Rabbit and Airplane Figure 14. z 2 + i Figure 15. ((1 + i 3)/2 + z 2 )/(1 z 2 ) Sketch of the proof. It is easy to see that (3) implies (2), since basins of attraction belong to the Fatou set. Let us show only that (2) implies (1) in the case when P has more than two points. Then X = Ĉ \ P is a hyperbolic surface containing the Julia set. Note that f(p ) P, hence f 1 (X ) X. The map f : f 1 (X ) X is a covering. Consider the Poincaré metrics on X and f 1 (X ). The map f is a local

6 4. EXPANDING DYNAMICAL SYSTEMS 27 Figure 16. A Sierpiński carpet Figure 17. Herman rings isometry with respect to these metrics. The inclusion map Id : f 1 (X ) X is not a covering map, hence it is strictly contracting, see Theorem 4.6. It follows that if we consider the restriction of the Poincaré metric of X onto the subset f 1 (X ), then the map f : f 1 (X ) X is expanding. Since the Julia set is compact and contained in f 1 (X ), the map f will be strictly expanding on the Julia set. If closure of the post-critical set has less than three points, then they belong to attracting cycles, and we can take X equal to Ĉ minus a small neighborhood of P, and repeat the proof. Let us show that (1) implies (2). Let W be a neighborhood of the Julia set J such that f is expanding on W. Taking an ɛ-neighborhood of J in W, we get an open neighborhood U of J such that f is expanding on U, and f 1 (U) U. Then f n (U) U for all n 1. The set U does not contain critical points of f, since f is not one-to-one, hence not expanding, on any neighborhood of a critical point. If c is critical, and f n (c) U, then c f n (U) U, which is

7 28 a contradiction. Consequently, U does not contain any post-critical points. This implies that intersection of U with the closure of the post-critical set is empty. The fact that (2) implies (3) follows from classification of components of the Fatou set Problems. A cycle of a rational function f : Ĉ Ĉ is a sequence x 0, x 1,..., x n 1 such that f(x i ) = x i+1 for all i = 0,..., n 2, and f(x n 1 ) = x 0. Its multiplier is the derivative d dz f n (z) z=xi = f (x 0 )f (x 1 ) f (x n 1 ). The cycle is called attracting if its multiplier is less than one in absolute value. It is superattracting if the multiplier is zero. Problem 4.1. Find the set of values of c C such that z 2 +c has an attracting fixed point (i.e., a cycle of length 1). Problem 4.2. Find the set of values of c C such that z 2 +c has an attracting cycle of length 2. Problem 4.3. Consider the Tchebyshev polynomials T d (x) = cos(d arccos x). Describe the Julia sets of T d for d 1. Problem 4.4. Let C/Z[i] be the torus, and let A : C/Z[i] C/Z[i] be the map given by A(z) = (1 + i)z. Find the Julia set of A. Using the fact that any holomorphic map f : C/Λ C/Λ on a torus is induced by a linear map on C, describe all possible Julia sets of holomorphic maps on the torus. Problem 4.5. Consider the group G of all maps of the form z ( 1) k z+a+ib, where k {0, 1}, and a, b Z. Show that C/G is homeomorphic to a sphere. Consider the map A(z) = (1 + i)z. Show that it induces a well defined map on the sphere C/G. Since the group G and the map A act by holomorphic maps, there is a well defined structure of a complex manifold on C/G, and A induces a holomorphic map on C/G, hence is can be realized by a rational function. What is the Julia set of this rational function? 4.4. Topological description of expanding maps. Definition 4.6. Let f : X X be a continuous map, where X is compact Hausdorff. An expansion entourage U is a compact neighborhood of the diagonal {(x, x) : x X } in X X such that if (f n (x), f n (y)) U for all n 0, then x = y. If U is an expansion entourage, then U = {(x, y) : (y, x) U} is also an expansion entourage. Then U U is a symmetric expansion entourage. It follows that we may assume without loss of generality that expansion entourages are symmetric. Suppose that U is an expansion entourage for a map f : X X. Denote then by U n X X the set of pairs of points (x, y) such that (f k (x), f k (y)) U for all k = 0, 1,..., n. In particular, U 0 = U. Denote U 1 = X X. By the definition of an expansion neighborhood, n 0 U n is equal to the diagonal. It is easy to see that U n are compact neighborhoods of the diagonal. Lemma 4.8. For every neighborhood V of the diagonal, there exists n such U n V.

8 4. EXPANDING DYNAMICAL SYSTEMS 29 Proof. It is enough to prove the lemma for open neighborhoods. Then X X \ V is compact. By definition of the expansion entourage, open sets X X \ U n, for n 0, cover X X \ V. Since X X \ U n X X \ U n+1, it follows that there exists n such that X X \ U n X X \ V. For subsets A, B of X X, denote by A B the set of pairs (x, y) such that there exists z such that (x, z) A and (z, y) B. Note that A B is the image of the closed subset D = {((x 1, y 1 ), (x 2, y 2 )) : y 1 = x 2 } of A B under the map ((x 1, y 1 ), (x 2, y 2 )) (x 1, y 2 ). If A and B are compact, then D is a closed subset of a compact space A B, hence D is compact, which implies that A B is compact. Lemma 4.9. There exists N such that U n+ U n+ U n for all n 1. Proof. Suppose that there is no such that U U Int(U). Denote B k = (X 2 \ Int(U)) (U k U k ), for k 0. Then the sets B k are closed non-empty, and B k+1 B k. It follows from compactness of X 2 that the intersection k 1 B k is non-empty. Let (x, y) be such that (x, y) B k for all k. Let Z k X be the set of points z such that (x, z) U k and (z, y) U k. Since U k is closed, the set Z k is closed. It is non-empty, by the choice of (x, y). We also have Z k+1 Z k. It follows that the intersection of all Z k is non-empty. Let z 0 k 1 Z k. Then (x, z 0 ) U k for all k, hence x = z 0, and (z 0, y) U k for all k, hence z 0 = y, which implies x = y, which is a contradiction. We have shown that there exists such that U U U. If (x, y) U +n U +n, then there exists z such that (x, z) U +n and (z, y) U +n. Then (f i (x), f i (z)) U +n i U and (f i (z), f i (y)) U +n i U for all i = 0, 1,..., n. It follows that (f i (x), f i (y)) U U U, hence (x, y) U n. We have shown that U n+ U n+ U n for all n 0. Definition 4.7. Denote, for (x, y) X 2, by l(x, y) the maximal value of n such that (x, y) U n, and if x = y. Lemma 4.9 is reformulated then as follows. Proposition There exists > 0 such that l(x, y) min(l(x, z), l(z, y)) for all x, y, z X. Theorem For all α > 0 small enough there exists a metric d on X and C > 1 such that C 1 e αl(x,y) d(x, y) Ce αl(x,y) for all x, y X. We say then that d is a metric of exponent α associated with the entourage U. Proof. One can use the following Frink s metrization lemma, see Lemma 12 on page 185 in J. L. Kelley, General Topology. Lemma Let E n, n 0, be a sequence of neighborhoods of the diagonal in X X such that E n+1 E n+1 E n+1 E n for every n. Then there is a non-negative continuous real valued function d : X X R such that d satisfies the triangle inequality and for every n 1. E n {(x, y) : d(x, y) < 2 n } E n 1

9 30 Define E n = U 2 n. Then E n+1 E n+1 E n+1 = U 2 (n+1) U 2 (n+1) U 2 (n+1) U 2 (n+1) U 2 (n+1) U 2 (n+1) U 2 (n+1) U 2 (n+1) 2 = U 2 n = E n. Let d be the function given by the Frink s metrization lemma. Since U n are symmetric, d(x, y) = d(y, x). Since n 1 U n is equal to the diagonal, d(x, y) = 0 implies that x = y, and hence d is a metric. It satisfies Consequently, and U 2 n {(x, y) : d(x, y) < 2 n } U 2 (n 1). d(x, y) 2 l(x,y)/2 < 2 l(x,y)/2 +1 d(x, y) 2 l(x,y)/2 1 2 l(x,y)/2 2. It follows that for α = 2 1/2 we have 1 4 αl(x,y) d(x, y) 2 α l(x,y). Which finishes the proof of the theorem. Let us give an independent and more explicit construction of the metric d satisfying the conditions of Theorem Consider, for every n N the graph Γ n with the set of vertices X in which two points x, y are connected by an edge if (x, y) U n, i.e., if l(x, y) n. Let d n be the combinatorial distance between the vertices of Γ n. Lemma There exists α > 0 and C > 0 such that for all x, y X and n N. d n (x, y) Ce α(n l(x,y)) Proof. Let be as in Proposition 4.10, and let us prove the lemma for α = ln 2. If x 0, x 1, x 2 is a path in Γ n, then l(x 0, x 2 ) n, hence x 0, x 2 is a path in Γ n. It follows that d n (x, y) 1 2 (d n(x, y) + 1), or d n+ (x, y) 2d n (x, y) 1. If l(x, y) = m, then d m+1 (x, y) 2, and hence d m+1+t (x, y) 2 t + 1. It follows that for every n and t = n l(x,y) 1 > n l(x,y) 1 1 we have d n (x, y) > 2 t > 2 (n l(x,y) 1 )/ = Ce α(n l(x,y)), where C = 2 ( 1 )/ and α = ln 2. We say that α > 0 is a lower exponent if there exists C > 0 such that α and C satisfy the conditions of Lemma If α is a lower exponent, then all numbers in the interval (0, α) are lower exponents. Hence, the set of lower exponents is either an interval (0, c) (including the case c = + ) or an interval (0, c]. The number c is called the critical lower exponent. It is easy to see that if α is such that there exists a metric of exponent α, then α is a lower exponent. Let α be a lower exponent, and let β (0, α). Let us show that there exists a metric d of exponent β. Denote by d β (x, y) the infimum of the number m i=1 e βl(xi,xi+1) over all sequences x 0 = x, x 1, x 2,..., x m = y. The function

10 4. EXPANDING DYNAMICAL SYSTEMS 31 d β obviously satisfies the triangle inequality, d β (x, y) = d β (y, x), and d β (x, y) e βl(x,y) for all x, y X. It remains to show that there exists C > 0 such that Ce βl(x,y) d β (x, y). In other words, C is such that m (1) Ce βl(x,y) i=1 e βl(xi,xi+1) for all sequences x 0, x 1,..., x m such that x = x 0 and y = x m. Let C 0 (0, 1) be such that d n (x, y) C 0 e α(n l(x,y)) ) for all x, y X and n N. Let us prove inequality (1) for C = exp. ( β(ln C0 2α ) α β Lemma Let x 0, x 1,..., x m be a sequence such that l(x i, x i+1 ) n for all i = 0, 1,..., m 1. Let n 0 n. Then there exists a sub-sequence y 0 = x 0, y 1,..., y t 1, y t = x m of the sequence x i such that for all i = 0, 1,..., t 1. n 0 2 l(y i, y i+1 ) < n 0 Proof. Let us construct the subsequence y i by the following algorithm. Define y 0 = x 0. Suppose we have defined y i = x r for r < m. Let s be the largest index such that s > r and l(x r, x s ) n 0. Note that since l(x r, x r+1 ) n n 0, such s exists. If s < m, then l(x r, x s+1 ) < n 0, and l(x r, x s+1 ) min{l(x r, x s ), l(x s, x s+1 )} min{n 0, l(x s, x s+1 )} = n 0. Define then y i+1 = x s+1. We have n 0 k l(y i, y i+1 ) < n 0. If s + 1 = m, we stop and get our sequence y 0,..., y t, for t = i + 1. If s = m, then l(x r, x m ) = l(y i, x m ) n 0, and l(y i 1, x m ) min{l(y i 1, y i ), l(y i, x m )} min{n 0, n 0 } k = n 0 2 and l(y i 1, x m ) < n 0, since y i was defined and was not equal to x m. Then we redefine y i = x m and stop the algorithm. In all the other cases we repeat the procedure. It is easy to see that at the end we get a sequence y i satisfying the conditions of the lemma. Let x 0 = x, x 1,..., x m = y be an arbitrary sequence of points of X. Let n 0 be the minimal value of l(x i, x i+1 ). Let y 0 = x, y 1,..., y t = y be a sub-sequence of the sequence x i satisfying conditions of Lemma Suppose at first that n 0 < l(x, y) + 2α ln C 0. α β Remember that n 0 = l(x i, x i+1 ) for some i, hence m ( e βl(xi 1,xi) e βn0 > exp βl(x, y) β(2α ln C ) 0) = Ce βl(x,y), α β i=1 and the statement is proved.

11 32 Suppose now that n 0 l(x, y) + 2αk ln C0 α β, which is equivalent to (2) (α β)n 0 (α β)l(x, y) 2α + ln C 0 0. If t = 1, then n 0 2 l(x, y) < n 0, hence n 0 l(x, y) + 2 = l(x, y) + 2α 2β α β < l(x, y) + 2α ln C 0, α β since ln C 0 < 0 < 2β. But this contradicts our assumption. Therefore t > 1, and the inductive assumption implies m t 1 e βl(xi 1,xi) Ce βl(yi,yi+1) > tce βn0. i=1 i=0 We have t d n0 2 (x, y) C 0 e α(n0 2 l(x,y)), hence m e βl(xi 1,xi) C 0 Ce βn0+αn0 2α αl(x,y) = i=1 C exp (ln C 0 βn 0 + αn 0 2α αl(x, y)) = C exp ( βl(x, y) + (α β)n 0 (α β)l(x, y) 2α + ln C 0 ) Ce βl(x,y), by (2). Which finishes the proof. We get the following characterization of topologically expanding maps. Theorem Let X be a compact Hausdorff space. A continuous map f : X X is topologically expanding if and only if there exists an expansion entourage U X X. Proof. Suppose that f : X X is topologically expanding. Then there exists a metric d and numbers ɛ > 0 and L > 1 such that d(f(x), f(y)) > Ld(x, y) for all (x, y) X 2 such that d(x, y) ɛ. Then the set {(x, y) : d(x, y) ɛ} is an expansion entourage. Suppose now that U is an expansion entourage. Suppose that d is a metric associated with U. Let C > 1 and α > 0 be such that C 1 e αl(x,y) d(x, y) Ce αl(x,y) for all x, y X. Let k be a positive integer, and suppose that l(x, y) k. Then l(f k (x), f k (y)) = l(x, y) k, and d(f k (x), f k (y)) d(x, y) C 2 e αk. It follows that for any integer k greater than we have d(f k (x), f k (y)) Ld(x, y), where L = C 2 e αk < 1, for all (x, y) U k. If ɛ < C 1 e αk, then l(x, y) k for all x, y X such that d(x, y) ɛ. It follows that f k is expanding, hence f is also expanding, by Lemma 4.1. Proposition Let U and V be expansion entourages for a map f : X X. Then the sets of lower exponents for U and V coincide. If d U and d V are metrics associated with U and V of exponent α, then there exists C > 1 such that C 1 d U (x, y) d V (x, y) Cd U (x, y) (the metrics are bi-lipschitz equivalent). ln C2 α

12 4. EXPANDING DYNAMICAL SYSTEMS 33 Proof. Let l U and l V be defined by U and V, respectively. By Lemma 4.8, there exists k such that U k V, hence U n+k V n for all n N. It follows that l V (x, y) l U (x, y) + k. The same arguments show that l U (x, y) l V (x, y) + k for some k, i.e., that l U (x, y) l V (x, y) is uniformly bounded. The statements of the proposition easily follow from this fact. We see that for any expanding map f : X X the critical lower exponent α is well defined (i.e., depends only on the topological dynamical system (X, f)), and for every β (0, α) the corresponding metric of exponent β is uniquely defined, up to a bi-lipschitz equivalence. Note that if d is a metric of exponent β, then any metric bi-lipschitz equivalent to d is also a metric of exponent β. Problem 4.6. Find the critical lower exponents of the one-sided shift s : {0, 1} N {0, 1} N and the angle doubling map x 2x : R/Z R/Z.

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