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Article history:
Received 20 May 2010
Accepted 20 January 2011
Available online 21 April 2011
a b s t r a c t
We show that any one-dimensional surjective cellular automata whose entropy is zero
with respect to the uniform Bernoulli measure must be almost one-to-one.
2011 Elsevier Ltd. All rights reserved.
1. Introduction
Entropy, a numerical invariant taking values in [0, 1], is
a very useful tool in measuring the complexity of dynamical systems. Zero entropy indicates lack of complexity and
non-zero entropy indicates complexity in the system. For
some important classes of dynamical systems, simple conditions implying zero or non-zero entropy are available.
For instance, a continuous interval map has zero entropy
iff the length of any periodic orbit is a power of two (Theorem 4.4.20 of [1]) and a toral automorphism has non-zero
entropy if none of its eigenvalues is unimodular (Theorem
5.3 of [8]).
Cellular automata form an intriguing class of dynamical
systems representable by elementary nitary rules, but
capable of complex behavior. We will be specically interested in one-dimensional cellular automata throughout. In
the literature (see for instance [2,5,9] and the references
therein), valuable information is available about the entropy
and the invariant measure of maximal entropy of certain restricted class of cellular automata (additive, permutive,
expansive, etc.). It is also known that the entropy of a onedimensional cellular automata is never 1 (c.f. [5]). But, to
the best of our knowledge, there does not seem to be any result answering the following question in a broad sense.
Question: which one-dimensional cellular automata
have positive entropy?
In this article, we contribute something towards
answering this question by proving an intuitively natural
result. Every surjective cellular automata F : AZ ! AZ is
known to preserve [10] the uniform Bernoulli measure l
on the Borel r-algebra of AZ . As our main result, we show
E-mail address: tksubru@gmail.com
0960-0779/$ - see front matter 2011 Elsevier Ltd. All rights reserved.
doi:10.1016/j.chaos.2011.01.013
that if the measure-theoretic entropy hl(F) = 0 for a surjective cellular automata F, then F must be almost one-to-one
(Theorem 1). Our proof has three ingredients. First we
show that surjective F cannot take l-null sets to sets having positive l-measure. Secondly, we use a classic result of
GleasonWelchHedlund saying that if F is not almost oneto-one, then for some integer p P 2, F is almost p-to-one.
Thirdly, we bring in the measure-theoretic fact that if
hl(F) = 0, then F must be injective on a large portion of
its domain.
As a corollary, we obtain (compare Theorem 2 of [5])
that every non-injective, additive, surjective cellular automata has positive entropy.
2. Cellular automata
Let (A, q) be a nite discrete metric space with jAj P 2
and let AZ fx xi i2Z : xi 2 Ag. Here, A is called the alphabet and any element of An (n 2 N) is called a word of length
n over A. The metric d on AZ dened by
dx; y
X qxi ; y
i
i2Z
2jij
416
3. Entropy
hT sup hm T;
Theorem 1. Let F : AZ ! AZ be a surjective cellular automata, and let l be the uniform Bernoulli measure on AZ . If
hl(F) = 0, then F is almost one-to-one.
Proof. Since hl(F) = 0, there is a l-null set Y AZ such that F
restricted to AZ n Y is injective by Proposition 2. If F is not almost
one-to-one, statement (ii) of Proposition 3 must hold, and therefore we must have FY AZ since every element of AZ has at
least two F-preimages. This contradicts Lemma 2. h
Corollary 2. Let F : AZ ! AZ be a surjective cellular automata, let D AZ be the set of points having dense forward
and backward r-orbits, and let l be the uniform Bernoulli
measure on AZ . If jF1(y)j P 2 for some y 2 D, then hl(F) > 0
and hence h(F) > 0.
If F is an additive cellular automata (that is, if F is a nite
linear combination of integer powers of r), then all points
have equal number of F-preimages and therefore F is
almost one-to-one iff F is injective. Hence we have the
following.
Corollary 3. Let F : AZ ! AZ be a surjective, additive cellular
automata and let l be the uniform Bernoulli measure on AZ . If
hl(F) = 0, then F is injective.
Remarks: (i) More precise information about the entropy of additive cellular automata can be found in Theorem 2
of [5]. (ii) The entropy of an injective cellular automata
need not be zero since the shift homeomorphism
r : AZ ! AZ has entropy logjAj > 0 (Theorem 7.12 of [12]).
(iii) The following example of F : f0; 1; 2gZ ! f0; 1; 2gZ by
Boyle et al. [4],
Fxi 2 if xi 2;
417
equicontinuity point for F and hence hl(F) = 0 for the uniform Bernoulli measure l by Proposition 5.2 of [11]. In
view of this example, in Theorem 1 we cannot replace
the conclusion of almost one-to-oneness by the stronger
conclusion of injectivity. However, F above has positive
topological entropy since a surjective, non-injective additive cellular automata is embedded in it. So the following
question is still open.
Question: If F is a surjective one-dimensional cellular
automata having topological entropy zero, should F be
injective?
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