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Mathematics

Edited by A. Dold and B. Eckmann

Series: Department of Mathematics, University of Maryland,

College Park

Adviser: L. Greenberg

458

Peter Waiters

Ergodic Theory-

Introductory Lectures

I. I I

Springer-Verlag

Berlin.Heidelberg New York 1975

Dr. Peter Waiters

Mathematics Institute

University of Warwick

Coventry/England

Ergodic theory.

Bibliography: p.

Includes index.

1. Ergodic theory. I. Title. II. Series:

Lectures notes in mathematics (Berlin) ; /4.58.

QA3.L28 no. ~58 ~QA313~ 510'.8s r515'.&2~ 75-9853

ISBN 0-387-07163-6

ISBN 0-387-07163-6 Springer-Verlag New York • Heidelberg • Berlin

This work is subject to copyright. All rights are reserved, whether the whole

or part of the material is concerned, specifically those of translation,

reprinting, re-use of illustrations, broadcasting, reproduction by photo-

copying machine or similar means, and storage in data banks.

Under § 54 of the German Copyright Law where copies are made for other

than private use, a fee is payable to the publisher, the amount of the fee to

be determined by agreement with the publisher.

© by Springer-Verlag Berlin • Heidelberg 1975. Printed in Germany.

Preface

show how they are r e l a t e d so that the a u d i e n c e would have the founda-

further.

examples.

continuous map of any metric space and that its value remains un-

IV

tori.

Since these notes have not been fully edited many r e f e r e n c e s are

corollary.

took notes of the course and also to A l l a n Jaworski for editing and

--Peter Waiters

Contents

Chapter O: Preliminaries

§i. Introduction 1

§2. Measure Theory 3

§3. Hilbert Spaces 8

§4. 'Haar Measure 9

§ 5 . Character Theory i0

§6. Endomorphisms of Tori 12

Chapter i: Measure-Preserving Transformations 16

§i. Examples 16

§2. Problems in Measure Theoretic Ergodic Theory 19

§3. Recurrence 20

§4. Ergodicity 21

§5. The Ergodic Theorem 29

§6. Mixing 37

§2. Conjugacy of Measure-Preserving Transformations 53

§3. Spectral Isomorphism 54

§4. Spectral Invariants 57

§5. Examples 59

§i. Eigenfunctions 63

§2. Pure Point Spectrum 64

§3. Group Rotations 67

Chapter 4: Entropy 70

§i. Partitions and Subalgebras 70

§2. Entropy 72

§3. Conditional Entropy 76

§4. Properties of h(T,A) 80

§S. Properties of h(T) 83

§6. Examples 92

§7. How good an invariant is entropy? 96

§8. Bernoulli and Kolmogorov Automorphisms 98

§9. Pinsker Algebra i07

§lO. Sequence Entropy 108

§ll. Comments 109

§12. Non-invertible Transformations ii0

Vl

§i. Minimality 113

§2. Topological Transitivity i17

§3. Topological Conjugacy and Discrete Spectrum 122

§4. Invariant Measures for Homeomorphisms 128

§2. Bowen's Definition 146

§3. Connections with Measure Theoretic Entropy 155

§4. Topological Entropy of Linear Maps

and Total Affines 160

§5. Expansive Homeomorphisms 168

§6. Examples 182

Bibliography 185

Index 197

Chapter 0: Preliminaries

31. Introduction

serving t r a n s f o r m a t i o n T: X ~ X.

(2) topological:

map.

preserves m.

(4) smooth:

T: X ~ X.

We shall deal with some topics from (i), (2), and (3).

positions and the momenta of each of the k particles. Thus, at a

equations

dqi ~H dPi ~H

dt ~Pi dt aqi

times t 0, 2t0, 3t 0 ..... i.e., study the family {T~ }~-i ' since we

0 -

expect the properties of {T t} to be reflected in those of {T~ }.

0

For this reason, as well as the fact that it is simpler, one

that if the forces are of a certain type one can choose coordinates

in mechanics because of the difficulty of solving the equations of

motion and also because this deterministic approach does not answer

that the system is in A at the time t0? Given that the system be-

ergodic theory.

discuss:

For topics of types (I) and (3) mentioned above see Halmos [2],

Billingsley [i], Hopf [i], Jacobs [i] [2], Parry [3], Rohlin [3][4][5],

~2. Measure T h e o r y

8 of subsets of X satisfying:

(i) X E 8, (2) B E 8 = X\B 6 B,

(3) Bn E B, n > i = 0 Bn ~ B.

n=l

We t h e n call (X,B) a measurable space. A measure space is a

of X, and m is a f u n c t i o n m: B ~ R+ satisfying

m( 0 B n) = ~ m ( B n)

n:l n:l

n

(3) A I .... ,A n ~ A = ~ A. E A.

i=l l

be a f u n c t i o n satisfying

m(X) = i, m(~JA n) : ~ - m ( A n)

n n

n

there is a u n i q u e probability measure m defined on the q-algebra

A monotone class of subsets of X is a c o l l e c t i o n C of subsets

n

if F I • F 2 9 ... b e l o n g to C then N Fn ~ C.

n

Theorem:

then for any B E B and g > 0 there exists A E A with m(AAB) < s.

(In fact,

bra generated by A.

Direct Products:

product

(X,B,m) = ~ (Xi,Bi,m i)

is defined as follows:

(a) X = ~ X.

i=_® !

(b) Let n1 < n2 < ... < nr be integers, and An. E Bn. i = l,...,r.

1 1

We define a m e a s u r a b l e rectangle to be a set of the form

1 1

observe that

r

(xj) ( An. , 1 ~ i ~ r} = U {(xj) Ix E X \ An.} ( A

X \{ I Xni l i=l ni ni l

o-algebra generated by A.

r

m({(xj) I Xn. EAn. , l_<i_<r}) : 7~ mn.(Ani )

l i:l 1

Measurable Functions:

D c R.

Intesration:

n

A simple function is a function of the form ~ aiXA. , where

i:l m

a i E R, the {Ai} are disjoint members of 8, and XA. denotes

l

the characteristic function of A i. Simple functions are measurable.

f ( Z ai×Ai)dm = ~ aim(Ai ).

i=l i=l

Suppose f: X ~ R is measurable and f e 0; then there exists

could take

2n 2n 2n

fn(X) =

n if f(x) { n.

n~-

pendent of the chosen sequence {fn }.

ffdm=Jf m ff m

Now if f: X ~ C is measurable, f : fl + if2' f is integrable if

n

I fnd~ ~ I fd~.

§3. Hilbert Spaces

(a) (.,.) is b i l i n e a r

t o p o l o g y on H.

(f'g) : I f g d m -

In any H i l b e r t space H

tinuous.

~4. Hear Measure

Theorem:

lar Lebesgue measure. Then m(aU) = m(U) for all sets U measurable

on K.

Theorem:

Remarks:

measure. This is b e c a u s e

G : ~.~ g U : gl U U g2 U U ... U gn U

g~G

by compactness.

f(z) : z n, n E Z

f o r m an o r t h o n o r m a l basis.

i0

General r e f e r e n c e - P o n t r j a g i n [i].

case where the group used is the unit circle and then classical

A

ii

Pl P2 Pn

Z ( Z l , Z 2 , . . . , z n) = z I z2 ...z n

where (pl,...,pn) E Z n.

T(H) : i.)

T(x)dm(x) = 0 if T g I.

is an automorphism.

12

~6. Endomorphisms of T o r i

n times

2~ix, 2,iXn) , ..

(e ,...,e ~ (x I . ,x n) + Z n.

Theorem:

-i

Z ~ Z

Cn: z ~ z n, n E Z.

( Z l , . . . , z n) ~ z m1"

I ...'z mn

n where m I ,...,m n 6 Z•

e-dense in K V ~. Thus, H = K.

13

i/4].

' e ( e 2 ~ i / 2 k ) = e 2~i/2 k

[l,e ~ By i n d u c t i o n one shows t h a t for

that 8(e 2"i/2k) = e -2~i/2k V k > 0 and h e n c e 8(z) = z -1, z E K.

P

let ~p: K / H p ~ K be the isomorphism given by ~p(ZHp) = z p, and let

-i

Then 81a p is an a u t o m o r p h i s m of K and by (2) e i t h e r 81aDl(z)-_ = z

81~pl(zP) = zp V z E K or %(z) = z -p V z ~ K.

÷

i-th p l a c e

If 8: K n ~ K is a h o m o m o r p h i s m then 8o~i: K ~ K is an e n d o m o r p h i s m

m.

and so 8oTi(z) = z 1 for some mi E Z by (3). Hence

e ( Z l , . . . , z n) = e ( Z l ( Z l ) - T 2 ( z 2 ) ' . . . ' T n ( Z n ) )

= 8 y l ( Z l ) . e Z 2 ( z 2 ) . . . . . e T n ( Z n)

m I m2

= z I "z 2 - . . . ' z ~ n //

14

Theorem:

a! aln a ann

A(Zl,...,Zn) = (z I i "''''Zn ''''' zlnl '' ...z n )

n n

previous theorem

~ioA(Zl,...,Zn ) = .z 2 "...'z n

where aij E Z.

ml m n = I.

point (~l,...,~n) of K n in the image of A satisfies el "''~n

mI mn

(Zl,...,z n) ~ z I "...'z n (this is by (5) of ~5). Then

I = A-IA we have that [B] = [A] -I. Since [B] is an integer matrix,

15

Notation:

note the associated matrix and A will denote the linear transforma-

m2 m I m2 mn

n

T ~ when T ( Z l , Z 2 , . . . , z n) = z I .z 2 ....'z

n n

Chapter i: Measure-Preservin~ Transformations

~I. Examples

Definition i.i:

a) T: X 1 ~ X 2 is m e a s u r a b l e if T-I(B2 ) c B 1 (i.e.,

B 2 E B 2 = T-IB 2 E BI).

b) T: X 1 ~ X 2 is m e a s u r e - p r e s e r v i n g if T is measurable and

mI(T-I(B2)) = m2(B 2) V B 2 E B 2.

also measure-preserving.

Remarks:

SoT: X1 ~ X3 •

17

Theorem i.i:

measure-preserving.

Examples of M e a s u r e - P r e s e r v i n g Transformations:

T is m e a s u r e - p r e s e r v i n g since m is Haar m e a s u r e .

measure. //

18

T is m e a s u r e - p r e s e r v i n g because it is the c o m p o s i t i o n of m e a s u r e -

k-I

~- Pi = i. We let X = ~ Y t o g e t h e r with the direct product

i=0 --

measure. Define T: X ~ X by:

T the t w o - s i d e d (p0,...,Pk_l)-Shift.

0

Let T: X ~ X be defined by

(x0,xl,...) ~ (Xl,X2,...).

p(x,y) = x is m e a s u r e - p r e s e r v i n g .

onto

map T: X 1 ~ X 2 we can choose a ~ - a l g e b r a B1 and a measure m1

define mI by m I ( T - I B 2) = m2(B2).

19

onto

and T: X 1 ~ X2 any map, then we can choose a c - a l g e b r a B2 and a

(a) E x t e r n a l Problems:

Examples:

m a n i f o l d p r e s e r v e d by each diffeomorphism.

f 0 if x : 0

T(x)

{l/x} if x ~ 0}

- 1 [ 1 dx, A ~ [0,i).

m(A) log 2 l+x

20

(i.e., when can we consider them to be the same?) We look for invari-

~3. Recurrence

Let T be a m e a s u r e - p r e s e r v i n g transformation of a p r o b a b i l i t y

n=N

E N ¢ EN_ 1 ¢ EN_ 2 ¢ ... ¢ E0, E c E0, and m(EN+ I) = m ( T - I ( E N ) ) = m ( E N)

m(E 0 ) and,

m(~ E N) = m(E0).

N=0

N=0 N:0 n=N

infinitely often under positive iteration by T. Moreover

N=0

21

N=0

and both sets have the same measure,

N=0

Remark:

~4. Ergodicity

namely TIB and TIx\B. If 0 < m(B) < 1 this has simplified the

Definition 1.2:

or m(B) = i.

22

Theorem 1.3:

(i) T is ergodic.

B = fi 0 T-iB ~ B. Then

n=0 i=n

(2) = (3). Let m(A) > 0, m(B) > 0 and s u p p o s e (3) is false,

m(( 0 T-nA) 0 B) = 0.

n=l

Let A' = 0 T-nA. Then T - I A ' c A' and m(A') = m(T-IA'); so that

n=l

m ( T - I A ' A A ') = 0, and by (2) we h a v e m(A') = 0 or I. But T-IA cA'

(3). II

A characterization of e r g o d i c i t y in terms of f u n c t i o n s is g i v e n

by the f o l l o w i n g results.

23

Theorem 1.4:

(i) T is e r g o d i c .

f is c o n s t a n t a.e.

constant a.e.

constant a.e.

constant a.e.

separately. Define

We h a v e

m(X(k,n)) = 0 or i.

kEZ

each n 3 unique kn ) m(X(kn,n)) = 1. Let Y = 5 X(kn,n).

n=l

Then m(Y) : i and f is c o n s t a n t on Y so that f is c o n s t a n t

a.e.

Trivially we have (3) = (2) = (4), (5) = (4), and (3) ~ (5).

So it r e m a i n s to show:

24

P

m(E) = ] XEdm = 0 or i. //

Note:

Remark:

n=l k=0 n

k=0 k=0 n

k=0 n k= 0 n

k:0

Examples:

0 or I.

root of unity.

25

n n n

b : 0, and so f is c o n s t a n t a.e. //

n

n

godic iff {a }n~Z is dense in G. In particular, T ergodic =

G is abelian.

n. n.

is d e n s e since if y E G 3 {n i} with a Ix 0 ~ yx 0 i.e., a I ~ y.

n

Conversely, suppose {a }n~Z is d e n s e in G. This implies g is

i

biYi(a)Yi(x) : ~- biYi(x) so that if b. ~ 0 then ¥i(a) : I

i i

and so 7i ~ i. Therefore only the constant term of the Fourier

2

A(z) = z on K is e r g o d i c .

f is c o n s t a n t a.e.

26

have y = i, and let foA = f with f E L2(m). Let f(x) have the

no roots of u n i t y as eigenvalues.

\m/

n

k

[A] m = m for some m ~ O and k > 0. Then [A]t has 1 as an

k

[A] t m_ = m._ //

are ergodic.

27

ring R(G) has no finite orbit except the constant functions. The

field.

(a) T is ergodic.

(Note that conditions (i) and (it) reduce to the conditions given in

(3) and (4) in the special cases. The e q u i v a l e n c e of (a) and (b) was

mutes with A.

some n > 0, and by (i) yoA = y. But then (*) implies Yi(a) = 1

stant a.e.

28

(d) = (c) is t r i v i a l .

(ii). //

is e r g o d i c iff

other than i) as e i g e n v a i u e s ,

and (ii) [ a , B K n] = K n.

29

and since Ea(A NB) c E&AUEbB w e have m ( E a ( A N B)) < 2s, hence

Im(E) - m ( A N B) I < 2~

and

< 4s

shift is ergodic.

G. D. Birkhoff [i].

n-i

allow (X,B,m) to be o-finite) and f E Ll(m). Then ~! i~0

"= f(Ti(x))

3O

Note:

then f, _ 1 ~ f dm a.e.

m(X) J

Motivation:

n-i

of {x, T(x), ..., Tn-l(x)} in E is ~ XETk(x); and so the rela-

k=0

rive number of elements of {x, T(x), ..., Tn-l(x)} in E equals

n-i

1 n-l~_

~ XETk(x ) . If m(x) = 1 and T is ergodie then ~i ~ XETi(x )

=0

m(E) a.e. by the note; and thus the orbit of almost every point of X

n-i

i

lim ~ ~ f(Tl(x))

n~- i =0

1 IX f(x)dm.

m(X)

rem then asserts lim ~ f(Ttx)dt exists a.e. for f E L!(m) and

T~® 0

equals ~ 1 [

)X f dm in the emgodie case if the map (t,x) ~ Ttx .is

31

measurable.

" ~ of the binary expansion of x E [0,i) J ~ ~ a.e.

aI a2

Suppose x = -- + + ... has a unique binary expansion. Then

2 V

T(x) = T + --~ + --~ + . . . . . + + ... Let f(x) :

2 V

X[½,1)(x). Then

1 iff ai+ I = i

f(Ti(x)) = f ( a i +a li + 2+2 7 + "'" ) = I

0 iff ai+ ! = 0

Hence, the number of l's in the first n digits of the dyadic ex-

n-i

pansion of x is ~- f(Ti(x)). Dividing both sides of this equality

i=0

by n and applying the ergodic theorem we see that

i n-li=0

[ f(Tlx)

• a. e .' I X [½,1)dm = ~i a.e.

(using the fact that the binary-rational points form a set of Lebesgue

measure zero). //

theorem.

32

Definition 1.3:

(UTf)(x) : f(T(x)).

then U T L ~ ( m ) c L~(m).

max f n >- 0.

Then I fdm ~ 0.

{X:FN(X)>0}

l~n~N n

0ANON n

= FN(X).

33

Remark:

preserving T.

Corollary 1.6:

1

Let T: X ~ X be measure-preserving. If g E LR(m) and

i n-i

B e = {x EX: sup ~ [ g(Tm(x)) > e}

n~l m=0

then

B NA a

Proof: We first prove this result under the assumptions m(X) < ®

N:0

f f d m > 0 by Theorem 1.6 and therefore I gdm ~ am(B ). In

B B =

e e

the general case, using TIA in the place of T we see that

f g dm em(A 0 B ). //

AnB a

Proof of Birkhoff's Theorem: It suffices to prove the theorem

n-i

for f ( L (m). Let f~(x) : lim ~i ~ f(Ti(x)) and f,(x), :

n i:0

1 n-I

lim ~ ~ f(Ti(x)). We have f*oT = f*, f,oT = f, because if

n i:0

34

n-i

= i 2 f(Tlx)

• (n+l)

an(X) then --6-- an+l(X) - an (Tx) = f(x)

n" For real

i=0

numbers ~ < a, let

1 n-I

Ea, ~ N {x EX: sup ~ ~ f(Ti(x)) > a} : E .

hal i=0 a,~

We now prove that m(Ea, ~) < - so that we can apply Corollary 1.6.

is integrable and by the maximal ergodic theorem

O{x H (x)>O}

N:O

maximal ergodic theorem.) But C c ~J {x: H N ( X ) > O} so that

N=O

IX Ifldm > am(C). Therefore m(C) _< [i IX Ifldm for every subset

of Ea, ~ with finite measure and hence m(Ea, ~) < ~. If a < 0 then

< 0 so we can apply the above with -f and -~ replacing f and

n-i

Let B = {x ~X: sup ~1 ~ f(Tlx) > a}. Then by Corollary 1.6:

n>_l i=0

Ea,~ Ea,~NBa

E - a,~

(-f)* : -f,, (-f), : -f* and

I f dm ~ ~m(E a ) (**)

E a,~ '~ "

35

U E ='~ '

~,~ rational

we have m{x: f,(x) < f*(x)} : O i.e., f*(x) : f (x) a.e. Therefore

i n-i

~ f(Ti(x)) converges a.e.

i=0

To show f* E Li(m) we use the part of Fatou's Lemma that says

for non-negative i~tegrable functions gn lim I gndm < " implies

lim gn is integrable. Let

i ln_1

gn(X) : ~ ~- fCTl(x))

i:O

Then

I

gndm =

I I 1 n-i

~

~ i:0

f(Ti(x) ) dm _< Iftdm

so that lim I gndm < "' and by Fatou's Lemma lim gn = If* is

integrab!e. Hence f~ is integrable.

n n

> 0 we have D k n B( k_~) = Dk and by Corollary 1.6

n

I k n

fdm e ( ~ - s ) m ( D k) so that

n

Dk

fdm ~ ~ m(D ) . (***)

n

Dk

Then

n n

Dk Dk

36

n

+ IX fdm V n >_ I;

F

thus | f*dm ~ | fdm since m(X) < ®, Applying this to -f instead

JX

of f gives IX (-f)*dm E I - fdm i.e., -; f,dm ~ - ; fdm. Since

X X X

f, = f* a.e. we get that f f*dm a I fdm.

JX ~X

Hence, I f*dm : I fdm. //

Corollaries 1.5:

preserving, then T is ergodic iff V A,B E B

n-i

i_ Z m(T-iA n B) ~ m(A)m(B).

n i=0

i=0 ×A(Ti(x) ) ~ m(A) a.e. Multiplying by ×B:

n-i

ni i__~

.= 0 ×A(Ti(x))×B ~ m(A)×B a.e.

i n-i

~- m(T-iA n B) ~ m(A)m(B).

i=0

n-i

(=) Let T-1E : E, E E B. Let A : B : E. Then 1 m(E)

(ii) __L

p Er$odic Theorem: (Von Neumann [i], [2])

Let i -< p < -. Let T be measure-preserving on the probability

space (X,B,m). If f E LP(m), 3 f* £ LP(m) ) f*oT : f* a.e.

n-i

and II~i ~.:0 f(Tix) f*(x) llp ~ 0.

37

Proef: If g

is bounded and measurable then g E L p V p and

n-i

by the ergodic theorem we have that 1 [ g(Tix) * g*(x) a.e.

n i=O

Clearly g* E L'(m) and hence g* ( L P ( m ) . Also,

g(Tix) - g, (x)

n-i ip

I ~1 ~ ~ 0 a.e. and by the bounded convergence

i:O

n-i

theorem, II~1 ~"=0 g(Tix) - g*(x)ilp ~ 0 i.e., V ~ > 0 3 N(~,g)

n-1 n+k-i

1 1

II ~-'=

±=~0 g(Tix) n+k i=0 g(Tix) II

P < •

n-i °

Let f E LP(m), and Mn(f)(x) = 1 i__~

0": f(TZx) We must show that

P

n n

§6. Mixing

N

l=0• °

Definitions 1.4:

N-I

1 ~ Im(T-iA NB) - m(A)m(B)I ~ 0.

38

(ii) T is s t r o n g - m i x i n ~ if V A,B ~ B

m(T-NAnB) ~ m(A)m(B).

Note:

n-i 1

0 I " I n--

an ~ = ~ ~ fail ~ 0 = ~ ai ~ 0.

i:0 i-~-0":

(Put a = m ( T - n A N B) - m(A)m(B).)

n

(iii) An example of an ergodic T w h i c h is not w e a k - m i x i n g is given

~(X) with the "weak" t o p o l o g y (see Halmos [2])~ the class of weak-

properties on an algebra g e n e r a t i n g B.

T h e o r e m 1.7:

If T: X ~ X is m e a s u r e - p r e s e r v i n g and A is an algebra

generating B then

39

n-I

1 ~ m(T-iA A B ) ~ m(A)m(B),

n i=O

1 n-1

~ Im(T-iAAB) - m(A)m(B) I ~ O, and

i=O

and therefore

Hence

n-I

i 0K k1:~ m(T-kE nF - m(E)m(£) I

_<

i1 n-1

~ [m(T-kE NF) - m(T-kE0 NF0)] I

k:0

1 n-1

"+ ] ~- ~- m(T-kE 0 A F O) - m(Eo)m(F O) ]

k=O

1 n-1

+ I~ ~ m(Eo)m(F O) - m(Eo)m(F)I

k:O

n-1

1 ~

+ I~-k= ° mCEo)m(F ) _ m(E)m(F) I

1 n-i

-<26+ I ~ ~ m(T-kEo NF O) - m(Eo)m(F O)I + s + 6

k:O

for each n. (i) follows by the known behavior of the right hand side

40

of this inequality.

, 1 n-i

by leaving out ~ ~ " from the above inequalities, and then take

k:0

Cesaro averages of each side of (*).

Theorem 1.8:

n-i

1 [ fail ~ 0.

(I) E i=0

cardinality (J n {O,l,...,n-l}) ) O,

n

n n

(3) ~-

1 "= ~o

n-i

lail

2

-.,. o .

{0,1,...,n-l} N M.

1

(i) = (2). Let Jk : {n ~ Z+: lanl ~ ~} (k > 0). Then

n i:0

1 1 (n). Therefore there exist integers 0 : £0 < £1 < £2 < "'"

K ~ ~Jk

such that for n { £k,

! i

eJk+l (n) < ~ •

k:0

41

and therefore

i

Hence ~ ~j(n) ~ 0 as n ~ -, i.e., J has density zero. If

1

n > £k and n ~ J then n ~ Jk+l and therefore lanl < ~-~. Hence

lim lanl = 0.

Jinx®

~j(n)

n ~ Me implies - - < s. Then n ~ max(N ,M e ) implies

n s

K

< ~ ~j(n) + s < (K+I)~.

Jinx-

iff lira fan 12 = 0. //

J~n~-

Corollary 1.8:

n ~

n{J(A,B)

1 n-1

Im(T-iA nB) - m(A)m(B)l 2 ~ 0.

Remark:

42

Theorem 1.9:

measure-preserving. Then

! n-i

I (UTf,g) ~ (f,l)(l,g)

n i=0

n-i

1 ~ (UTf, f ) ~ (f,l)(l,f).

i=O

n-i

i E i(u f,g) - - o

n i:O

n-i

! ~ l(UTf,f) - (f,l)(l,f) I ~ 0

n i=0

n-i . i2

i (U~f,f ,l)(l,f) 0

i=O

43

Proof: Ca), Cb), and (c) are proved using similar methods. We

n

(i) = (3). We easily get that for any A,B ( B, (UTXA,XB)

n

(XA,I)(I,XB). Fixing B, we get that (UTh,X B) ~ (h,l)(l,X B) for

any simple function h. Then, fixing h, we get that (U~h,h)

- (f,1)Cl,f)l <

n

÷ ICUSh,f)- (U h,h) l + (h.1)Cl,h)l

l(UT(f-h),f) ; + l(UTh,f-h) I

+ ~ + ICl,h) l l C h - f , 1 ) l + ICf,1)llCl,h-f~l

by the Schwartz inequality

n

Therefore (UTf,f) ~ (f,l)(l,f) as n ~ ®.

(closed) subspace of L2(m) containing f and the constant functions

= n

Ff {g ( L2(m): (UTf,g) ~ (f,l)(l,g)}

44

Hence Ff = L2(m). //

Definition 1.5:

rectangles.

Theorem I.I0:

If T is a m e a s u r e - p r e s e r v i n g transformation on a probability

(i) T is weak-mixing.

lim m ( T - n A n B) = m(A)m(B)

n~J1

n~

nCJ2

n~

Then

n ~J1 UJa n~J1 UJa

n~ n~

= m(A)m(B)m(C)m(D)

: (mxm)(AxC)(mxm)(CxD).

Thus the proper relationship holds for rectangles and hence for finite

45

n-i

1 [ Im(T-iA N B) - m(A)m(S) I ~ 0 V A,B E F and the result follows

n i=0

by Theorem 1.7.

n-i = 1 n-i

n~ i=0

~ m ( T - i A n B) n ~0"= (m×m)((TxT)-i(AxX) n (BxX))

(m×m)(A~X)(m×m)(B×X) by (2)

= m(A)m(B).

Also

n-i ~2 1 n-i

1 [

n i=0

(m(T-iA n B), = X (mxm)((TxT)-l(AxA) n (BxB))

i=0

(mxm)(AxA)(m×m)(BxB) by (2)

: m(A)2m(B) 2

Thus

n-i

i_ Z {m(T-iA QB) -m(A)m(B)}

n i=0

n-I

{m(T-iAN B) 2 - 2 m ( T - i A n B)m(A)m(B) +m(A)2m(B) 2}

n i=0

2m(A)2m(B) 2 - 2m(A)2m(B) 2 = 0.

Definition 1.6:

46

Remarks:

eigenfunction.

D e f i n i t i o n 1.7:

e i g e n v a l u e and T is ergodic.

JK

If T is an i n v e r t i b l e m e a s u r e - p r e s e r v i n g t r a n s f o r m a t i o n then

T h e o r e m i.ii:

If T is an invertible m e a s u r e - p r e s e r v i n g t r a n s f o r m a t i o n of a

spectrum.

~7

n-i

i_Io

.: i - o

i.e.~

1 n-1

[ I(kif, f) I -* 0.

i:0

If k = 1 then f = constant a.e. by the ergodicity of T.

f ~ L2(m) then

n-i

I ~ l(U~f,f) - (f,ll(l,f) l2 ~ O.

i=O

that (f,l) = 0 implies

1 n-i

~- I(U~f,f) I2 ~ 0.

i:O

ous (non-atomic) measure on K then

1 nil if kid~f(k)12 -~ 0.

i:O

We have

i n~l (I kid~f(k)

%1

i:O

if id f( )12 : ~ i=0

I k_id~f(k))

1 n-1

I _id~f (~) )

- ~i:O

K×K

:

;f(inl i) ~ ~- (k~) d(~f×Zf)(k,~).

i=0

K×K

48

n i=0 (kr~)

Tioned in 21.

Examples:

then f(Tz) = f(az) : af(z) and f ~ constant. (This has used the

weak-mixing iff e r g o d i c .

n

is s t r o n g - m i x i n g . If y,5 ( G then (UAY,5) : 0 e v e n t u a l l y u n l e s s

n

7 : 5 m i. So a l w a y s (UA7,5) ~ ( y , l ) ( l , 5 ) . Fix 5 ( G. The col-

lection

n

H 6 : {f 6 L2(m): (UAf,6) ~ (f,l)(l,5) }

4g

l(UAf,6)i

n ~ n

I(uAf,5) (U~fk,6) I + l(UXfk,5)I

n

llf-fkll2116112 + l(UAfk,5) I (by the Schwarz inequality)

n

: IIf-fkIl2+ I(UAfk,6)l <

contains G, it is equal to L2(m). Fix f ~ L2(m) and consider

strong-mixing. //

(ii) [a,BG] = G.

UTOU ¢ : U¢oU A.

tions of part (c) of Theorem 1.9. But then UT satisfies these con-

50

n

I(UTT,7)I = l(7(a)7(Aa)...T(An-la)7,7)l : I1711~ : 1

C h a p t e r 2: I s o m o r p h i s m and Spectral Invariants

§i. I s o m o r p h i s m of M e a s u r e - P r e s e r v i n g T r a n s f o r m a t i o n s

Examples:

with Borel sets and Lebesgue measure, and let T2: X ~ X be the

aI a2 a3

~(al'a2'a3'''') = -+-2 V + V + "'"

serves measure; we can check this out on dyadic intervals and then on

52

T2

X\D XkD

*I I ~ i:I onto

[0,1)\D2 S [0,1)\D 2

commutes.

o t h e r by an i n v e r t i b l e measure-preserving transformation.

Definition 2.1:

m l ( M I) = i, M 2 E B2, m 2 ( M 2) = i )

¢: M I ~ M 2 ) CTl(X) = T2¢(x) V x E M I.

Remarks :

(a) ~- is an e q u i v a l e n c e relation.

(b) T I ~- T 2 = T n~_

1 n

T2, V n> 0

TIM 1 = MI, T2M 2 = M2; we just take 5 TIMI, 5 T2M 2 as the new

sets.

53

Definition 2.2:

Definition 2.3:

-i -1

~T2 = T I ~.

Remarks:

54

Lebesgue space.

of T is a property of U T.

Definition 2.4:

(i) W is invertible

bert spaces.)

Remarks:

(i) Spectral isomorphism is an equivalence relation.

induces an invertible linear map V: L2(m2 ) ~ L2(ml ), by

55

(c) V is multiplicative on bounded functions.

of @ guarantee this can be done. (a), (b), and (c) are proved by

and then extending to the whole of L2(m2 ). //

phic.

measure algebras such that = Tia,. Let V be defined as in

remark (2). It remains to check that

VUT2 = UTIV.

Theorem 2.1:

morphism of measure algebras (in the same sense of remark (2)) if both

V(f)V(g) whenever f and g are bounded and in L2(m2 ).

56

and we see that V(×B2) takes 1 and 0 as its only values. Thus

We now show that @ is an isomorphism of measure algebras.

= (V×B2,V×B2)~

~ = (×~(B2),X~(B2)). = ~I(~B2 ).

unions. First note that since V is norm-preserving and maps charac-

teristic functions to characteristic functions, V(1) = i.

1 in L2(m2 ) applying V to both sides

preserves complements.

Thus ~(B UC) = ~(B) U ~(C) and hence, (by induction) preserves all

57

finite unions.

Let BI,B2 , .... ~n'''" ( ~2' then

X ~ X a.e.

U

n ~i

i;1

iU__-lBi

an isometry it is continuous, so,

iUl~ i Bi • ~i=l B l;

X : X

i=i

0@B.

i= 1 ~l

~(iU=iBi) : iUl~Bi • //

Corollary 2.1:

If TI: X 1 ~ XI, T2: X 2 ~ X 2 are measure-preserving and if

2). ~ L2(ml ) satisfying the conditions of

Definition 2.5:

A property P of measure-preserving transformations is a

isomorphism

conjugacy invariant if the following holds:

spectral

58

isomorphic

Given T1 has P and T2 is conjugate to TI,

spectrally isomorphic

Note:

Theorem 2.2:

transformations:

(i) Ergodicity

(ii) Weak-mixing

(iii) Strong-mixing.

dimensional subspace.

is ergodic.

to show that

and since W sends the invariant functions for T2 onto those for

59

~5. Examples

= TI is conjugate to T2

= T1 is spectrally isomorphic to T2

measure spaces.

isomorphic.

spectrally isomorphic.

n

Pi = i. Let the same be true for the numbers {ql,...,qm}. We

i=l

claim that the 2-sided (pl,...,pn)-shift and the 2-sided (ql,...,qm)-

Chapter 4.)

(-i) ~ (-i), ! ~ i.

60

g0({Xn }) : 1

Note that

: xnl+l'Xn2+l'...'Xnr+l : gnl+!,n2+l,...,nr+l({Xn}),

that is,

U T g n l , . . . , n r : g n l + l , . . . , n r + 1.

n n

f0 ---I, {UTfl}n( Z , {UTf2}n( Z , ...

f0 ~ i

-2 -i 2

"''' UT f l ' UT f l ' f l ' UTfl' UTfl' "'"

(*)

-2 -I 2

"''' UT f2' UT f2' f2' UTf2' UTf2' "'"

• . . : :

Definition 2.6:

n

f0 ~ i, {UTfj} j ~ i, n E Z,

61

Remarks:

spectrally isomorphic.

n n(Z

f0 ~ i, {UTfj}j(Z+ for L2(X)

n n(Z

g0 ~ i, {Usgj}j(Z+ for L2(y)

n n

we define W: L2(y) ~ L2(X) by go ~ f0' Usgj ~ UTfj and extend by

linearity. Thus WU S : UTW and S and T are spectrally isomorphic.

(2) Using a similar method to the one used above for the (½,½)-shift

then the 2-sided {pl,P2,...,pn}-shift has countable Lebesgue spectrum.

Theorem 2 . 3 :

n

Proof: Let {f0,UTfm : n (Z, m >0 } be the basis. Then, clear-

!y, as p ~ -

n

Ch. i) and contains the basis {f0,UTfm : n (Z, m >0} and hence is

equal to L2(m). Fix f (L2(m) and let Lf = {g ( L2(m):

L2(m). Hence

62

orbits except for the orbit of the identity. (This is what the er-

in Halmos [2].

Chapter 3: Measure-Preservin$ Transformations

mations for which the conjugacy problem is solved and for which spec-

~i. Eisenfunctions

orthogonal.

stant.

T is ergodic.

64

mutually orthogonal.

countable.

Definition 3.1:

functions of T.

[i], 1942)

and

tf~L : Ig~i : i.

65

T h e o r e m 3.2:

(L,p).

n " i

p(gn) = go" Then ~(gla) = g0p(a) defines a h o m o m o r p h i s m of M

m a x i m a l i t y of (L,p).

66

We now prove that (2) = (3). Let A denote the group of eigen-

that {fk: k E A} is a basis for L2(ml ). Also, choose gk E L2(m2 )

basis for L2(m2).

and also

Let H denote the collection of all functions X + K. Clearly,

values.

By the previous Theorem 3.2 there exists a homomorphism ~: H ~ K

and {f~: k ~ A} is a basis for L2(ml ). Also,

k ~ = ¢(fk)~(f~)fkf~

f'f* ¢(fkf~)fkf~

= r(k,~)¢(fk )r(k,~)fk~

: fek~"

Thus for all intents and purposes we can assume that fkf~ : fk~ and

gkg~ : gk~"

67

!

finite linear combination of g~ s converge to h in L2(m2) we ob-

bounded functions since this is also true for bounded h and any

all f in L2(ml ) . //

Corollary 3.3:

Example:

by fn(Z) : zn where n E Z.

n n n

form a basis for L2(K) we see that T is ergodic and has pure

68

point spectrum.

Theorem 3.3:

zCTg) : yCag) : y ( a ) y ( g ) .

§I. //

group.

the other case we shall need to use the character theory of groups

69

gives us that

~-bjkj(a)kj(g) ~ ~-bjkj(g)

so, bjkj(a)~ : bj. But ~]k'(a) : k.3 and therefore b.k.]] = bj. If

the same eigenvalues and both have pure point spectrum. Hence the

two such Transformations are conjugate. Also there are some simple

jugacy class.

Chapter 4: Entropy

Theory, and this has been The most successful invarianT so far. For

They had entropies log 2 and log 3 r e s p e c t i v e l y and hence are not

D e f i n i t i o n 4.1:

of B whose union is X.

71

sub-a-algebras of B.

Definition 4.2:

each e l e m e n t of ~ is a u n i o n of e l e m e n t s of ~.

Definition ~.3:

v N : {A i n Cj: 1 ~ i ~ n , 1 ~ j ~k}.

Suppose T: × ~ X is a m e a s u r e - p r e s e r v i n g transformation. If

Note: if n ~ 0

~ (T-nA) : T-n~ (A)

t

A(T-n~) = T-nA(~)

A c_ C = T-nA c_ T-nc.

72

D e f i n i t i o n 4.4:

92. Entropy

k

H(A) : H(~CA)) : - [ m ( A i) log mCAi),

i=l

l

a general point of X will b e l o n g To.)

Remarks:

come.

k

1 1

H(A) : - [ ~ log ~ : log k.

i=l

73

(3) H(A) ~ 0.

Suppose T: X ~ X is measure-preserving.

n

n-i

= lim ~1 H ( V T-iA),

n-~® i=0

Corollary 4.4) we will show that the above limit always exists.)

n-i

one day of time, then V T-iA represents the combined experiment

i:0

of performing the original experiment represented by A on n con-

secutive days. h(T,A) is then the average information per day that

Remarks:

(5) h(T,A) a 0.

n-i n-i

(6) The elements of 5( V T-iA) = V ~(T-iA) are all the sets of

i:0 i:0

n-!

the form T-iA where ~(A) : {AI,...,Ak}.

i=0 mi

74

Remarks:

n-i

which implies that V T-iA does not change much as n ~ -.

i:0

Theorem 4.1:

Entropy is a conjugacy invariant and hence an isomorphism invari-

ant.

: {BI,...,Br} forms a partition of (Xl,Bl,ml). Let A 1 : A(~).

n-i

Now i=0N T?lBqi~ (where the qi ( {l,...,r}) has the same measure

n-i

as ~ T2iAqi since

i=0

n Ti iBqi : n-I

n T -i

1B .

i:0~ i ": . . . . : ~ ~ " i:0 i:0~, qi

n-i n-i

Thus, H( V TiiA I) = H( V T2iA 2) which implies that h(TI,A I)

i:0 i:0

h(T2,A 2) which in turn implies h(T I) >_ h(T2). By symmetry we then

Theorem 4.2:

The function ~: [0,-) ~ R defined by:

0 if x = 0

~(x) :

x.log x if x ~ 0

~+~ = i.

75

By i n d u c t i o n

k k

i=l i=l

k

if x. ( [0,'), ~. ~ 0, (~. : 1.

1 l i= 1 1

Proof:

~'(x) = log e + log x

x

x,y ~ 0 by continuity of ~. //

Corollary 4.2:

H(~) ~ log k. //

Combined with remark (2) this corollary shows that among all t h e

all the sets h a v e equal measure. This fits in w i t h our intuitive in-

terpretation of e n t r o p y .

76

k m(A i n C o ) m(A i N C o )

H(A/C) = - i m(Cj) [ log

j=l i=l m(Cj) m(Cj)

i,j m(Cj)

So to get H(A/C) one considers Cj as a measure space with

partition of C. induced by ~(A) (this gives

3

k m(A i N Cj) log m(A i N Cj)

) and then averages the answer taking

i=l m(Cj) m(Cj)

into adcount the size of Cj. (H(A/C) measures the average infor-

Remarks:

(i) H(A/C) a 0.

77

Theorem 4.3:

(ix) If T is m e a s u r e - p r e s e r v i n g then:

m(A i n cj N n k)

(i) H ( A v C/O) = - i,--,k

[j m(A i N Cj N D k) log

m(D k )

m(A iN Cj n D k) m(A iN C. N D k) m ( A iN D k)

But : ] unless m(A i N D k) = 0

m(Dk) m(AiN Dk) m(Dk)

and then the left hand side is zero and we need not consider it; and

therefore

78

m(A i N D k)

H(A v c/9) = - [_ m(A iA Cj N D k) log

i,j,k m(D k)

i,j~k m(A iN D k)

m(A i n D k)

= - [ m(A iA D k) log + H(C/A v 9)

i,k m(D k)

(iii) By (i)

m(D k N Cj) m(A iN D k)

(v) Fix i,j and let Zk = , xk : .. Then

m(Cj) m(D k)

by Theorem 4.2

(~

k

m(D k n c$)

m(Cj)

m(A i N D k) h

m(D k) /

~ ~

k

m(D k N C~)

m(Cj)

/m(A i N D k)

)

but since C ~ P the left hand side

m(Cj)

log

m(A iN C$)

m(Cj)

\ m(Cj) =

] and sum over i and j to give

m(A i N Cj) log ~ ~ m(D kN Cj) log

i,j m(Cj) i,j,k m(D k) m(D k)

m(A i N D k) m(A i N D k)

= ~- m(D k) log

i,k m(D k) m(D k)

79

or -H(AIC) ~ -H(AIO).

Theorem 4.4:

n~® n

Then

_a.l -

an+km < _an

_ +

akm ~

an

- - +

ka m =

a n

- - +

a m

_ _ .

j n + km km km km km km m

aj a __ a. a

As j ~- then k ~- so lim < m and therefore lim --$- < i n f m

j m j m

a a. a. a.

But inf __m_m ~ l i m _ l so t h a t lim ._l exists and equals i n f _l. //

m j 3 j

Corollary 4.4:

n-i

If A c B then lim 1 H( V T-iA) exists.

n

n~® i=O

n-I

Proof: Let a = H( V T-iA) a O.

n i=O

80

n+m-i

an+ m : H( V T -iA)

i:0

H( ~/ T-iA) + H( V

i:0 i:n of T h e o r e m 4.3.

m-i

= a + H( V T -iA) by (x) in T h e o r e m 4.3.

n i=O

: a + a

n m

n-I

Recall that h(T,A) : lim ~1 H( V T-iA).

n-~- i: 0

Theorem 4.5:

preserving. Then

m

h(T,A) : h(T, V TiA).

i:-m

Proof:

n-i n-i

(l) 1 H( V T-iA) -< i ~ H(T-iA) by (viii) of Theorem 4.3.

n i=0 n i=0

n-i

= ! T H(A) by (x) of T h e o r e m 4.3.

n i=0

= H(A).

81

(2) H( V T-i(A VC)) : H( V T -iA v V T -IC)

i:0 i:0 i:0

n-i n-i

-< H( V T -iA) + H( V T-ic) by (viii) of Theorem 4.3.

i:0 i:0

(3) If A ~ C then

n-i n-i

V T -iA c_ V T -iC V n >_ i

i:0 i:0

(4) H( V T -iA) -<H(( V T-iA) v ( V T-ic) ) by (iv) of Theorem 4.3

i:0 i:0 i:0

= H( V T -IC) + H(( V T-IA)/( V T-Ic)) by (ii) of Theorem 4.3.

i=0 i=0 i=0

n-i n-! n-i n-I

H((V T-iA)/( V T-it))-< ~ H ( T - i A / ( V T-Jc))

i=0 i:0 i=0 j=0

n-i

-< Z H(T-iA/T-iC) by (v) of Theorem 4.3

i=0

n-i n-I

Thus, H( V T-iA) -< H( V T -iC) + nH(A/C).

i:0 i:0

k-1 m •

(5) h(T , TiA) = lim ~1 H( V T-j ( V TiA))

-m k -~- j=0 i = -m

m+k-i

1 H(

= lim ~ V T -iA)

k ~- -m

82

m+k-1 m m+k-i

H( V T-iA) = H( V T-iA v V T-iA)

-m -m m

m+k-i m m+k-i

: H( V T-iA) + H(( g T-iA)/( V T-iA))

m -m m

k-i m m+k-i

: H(V T-iA) + H(( V T-iA)/( V T-iA))

i=0 -m m

m m+k-1

! H ( ( V T-iA)/( V T-iA)) ~ 0 as k ~ -

k -m m

m re+k-1 m

But, ~I H(( V T-iA)/( V T-iA)) _< kl H( V T-iA) by (vi) of Theo-

-m m -m

Theorem 4.6:

n

h(T,A) : lim H(A/( V T-iA)).

n~ i:l

Proof: The limit exists since the right hand side is non-

n-i n-i j

H( V T-iA) = H(A) + [ H(A/( k/ T-iA)).

i=0 j=l i=l

83

n n n

H( V T-iA) : H ( V T-iA) + H ( A / ( V T-iA))

i:0 i:l i:l

n-1 n

= H( V T -iA) + H(A/( ~/ T-iA))

i=0 i=l

by (x) of Theorem 4.3

n j

: H(A) + ~ H(A/( V T-iA)). (*)

j=l i=l

Dividing the above by n and taking the limit the result follows,

using the fact that the Cesaro limit of a convergent sequence is the

ordinary limit. //

Remark:

n-i

1 H(V T -iA) decreases to h(T,A).

n i:0

n-1 n

Proof: By (~) H( V T-iA) >_ nH(A/( V T -iA)) using (v) of

i=0 i=l

Theorem 4.3. Hence

n-i n n-i

n[H( V T-iA) + H(A/( V T-iA))] -< (n+l)H( V T-iA)

i:0 i=l i=0

n n-1 •

ioeo nH( V T-iA) <_ (n+l)H( ~/ T-1A)°

i:0 i=0

Theorem 4.7:

(i) For m > 0, h(T m) : mh(T).

m-i

h(T TM , V T -iA) = mh(T,A).

i:0

84

lim I H ( V T-m3(v T-iA)) = lim ~-~ H( V T-iA)

k~- j :0 i:0 k~- i:0

: mh(T,A) .

m-i

Thus, mh(T) : m • sup h(T,A) : sup h(T m , V T -iA)

A finite A i:0

C

m-i

Also, h(Tm, A) -< h( Tm , V T-iA) : mh(T,A) by (3) of Theorem 4.5 and

i:0

so, h(T m) _< mh(T). The result follows from these two inequalities.

(2) It suffices to show that h(T -I) = h(T); and all we need to show

n-i n-i

H( V TiA) = H(T-(n-l) V T iA) by (x) of Theorem 4.3

i:0 i=0

n-i

: H( V T-JA). //

j:O

Theorem 4.8:

85

We first show that if we choose a partition ~(D) = {DI,...,Dr}

m(C i)

) m(CiAD i) _< min 6 - 6 V i, then H(C/D) < e/2. For, if

l_<i<r 0 2

m(C i)

(D) satisfies the above inequality, then m(C i) < m(D i) +6 < m(D i)+ 2

m(C i )

which implies ~ < m(D i) and hence,

m(D i n c i)

Thus ~ I- 6

0"

m(D i )

50 and hence,

m(D i )

(m(C~ n n i)

H(C/D) =- ~i m(Di)~j ¢\ m ( D . ) )

l

i j

5

So m(CiADi) < O min m(C i) implies H(C/D) < s/2. If

2 l~i~r

5o

m(CiAD i) ~ -~- min m(C i) then this still holds and also m(Ci6D i) <

l~i~r

3

m(Ci)/4 which implies m(D i) > ~ m(C i) and hence

60 4 60

m(CiAD i) < -4-" 7 min m(Di) < T min m(Di).

l~i~r l~i~r

So it suffices to show we can choose D i 6 B0 with

5o

m(CiAD i) _< -~- min m(C i) = ~.

l_<i<r

86

r-i

m(N) < r(r-l)k. Set D. = B.\N for 1 _< i < r and D = X ~ ~J D..

l l r i=l 1

{DI,...,D r } is a p a r t i t i o n of X and each D i £ B 0. If i < r then

r-I

However DrAC r c ~J (DiAC i) and therefore

i:l

n

notes the s u b - a l g e b r a of B generated by t h e A .)

n

Corollary 4.8.

C ~ V An then H(C/A n) ~ 0 as n ~ -.

n

m=l m

hypothesis. By T h e o r e m 4.8 V ~ > 0 3 finite ~ 80 ~ H(C/P )< ~.

value. The following is one of the main tools for calculating entropy.

87

n=-~

h(T,C) e h(T,A).

m m

h(T,C) ~ h(T, V TiA) + H(C/ V TiA)

i=-m i=-m

m

: h(T,A) + H(C/ V TiA)

i: -m

Let A m : i:-m

V T iA. It suffices to show that H(C/A m) goes to zero

Theorem 4.10:

i:0

m-i

Proof: This is similar to the previous theorem; use V T-iA

i=0

m

in the place of V T !A, and the formula

i=-m

m-i

h(T,A) : h(T, V T-iA)

i:0

88

Corollary 4.10:

i:0

h(T) = 0.

Proof: By T h e o r e m 4.10

h(T) = h(T,A)

n

: l i m H(A/ v T-iA) by T h e o r e m 4.6.

n~- i=l

n

But T-iA ~ T-IB : B. Let A = V T-iA ; then A1 c A 2 c ...

i:l n i:l

n:l n : " " "

Remarks:

H(~) = - ~ m(Ai)log m ( A i)

i

(which m a y be infinite).

TnA(~) ~ B.

n

89

m( U {x ~ X: Tn(x) =x}) = 0.

nEZ

n~0

Theorem 4.12:

T has a finite g e n e r a t o r

= {A 1 .... ,An}.

of entropy.

90

Theorem 4.13:

5

H ( C / ~ 5 ) < 5.

Theorem 4.5

h ( T , P 5 ) + 5.

D~B o

O finite

DgB 0

D finite

Theorem 4.14:

n=l n - n~®

n= 1 n

rem 4.13 h(T) = sup h(T,C). If C ~ B0 is finite then C ~ An0

C~B 0

C finite

for some nO. Thus

h(T,C) ~ h(T,Ano).

gl

n~

Theorem 4.15:

Let TO : U AlXk 2

AI~BI,A2~B2

finite

of measurable rectangles.

C~/o

C finite

A 1 ~ B I, A 2 & B 2. Hence

AIgB 1

A2~B 2

AI,A 2 finite

92

n-i

H( V (TIXT2)-i(AIXA2))

i:0

n-1 n-i

: (cV T iAl X V T iA2 )

i:0 i:0

: - ~ (ml×m2)(Ck×Dj)'log (mlxm2)(CkXDj)

n-i

where the Ck are the members of ~( V TIiAI),

i:0

n-i

and the D4J are the members of ~( ~/ T2iA2 )

i:0

: _ [ ml(Ck)m2(Dj)'log(ml(Ck)m2(Dj))

n-i n-1

: H( V TliA I) + H( V T2iA2).

i:0 i:0

~6. Examples

n

then h(T) = 0. This follows since 0 = h(T p) = p'h(T) by Theo-

93

h(T) = 0 by e x a m p l e (I).

n:0 n:0

n:0

r e m 4.15

n

h(T) : ~ h(T i) : 0.

i=l

i

(G/H) : finite group × Z n,

n

i

so G/H n = F n × K n

i

where Fn is a f i n i t e g r o u p and K n is a f i n i t e - d i m e n s i o n a l torus.

94

i

Tn, 1 is a rotation of Fn and Tn, 2 is a rotation of K n. Thus,

n

denotes the a-algebra consisting of those elements of B that are

unions of cosets of H n.

n=l

C~B 0

C finite

Corollary:

entropy.

This follows from Theorem 3.4. (Actually we have shown the re-

sult only when L2(m) is separable since the above calculation was

all eigenvalues of the matrix [A] with absolute value greater than

one.

[l].

95

We shall show in Theorem 6.10 that when T = a.A acts on Kn

i=0

of X. Let A = A(K). By definition of B,

TiA = B.

n

in- I

Pl0"Pil • Pln_l

k-i

l c ""Pi

io=...=in_l=O Pio n-1 )[log pl0. + ... + log Pin_l]

k-i

= - n [ Pi "l°g Pi"

i=0

96

k-i

Therefore, h(T) : h(T,A) : - [ p-.log~ Pi' //

i:0

Corollary :

cannot be conjugate.

k-i

- 5- Pi'l°g Pi"

i:0

The proof is very similar to the one in example (6) but Theorem 4.10

following:

(8) Let I = (0,i] with Borel sets and Lebesgue measure. Let

h(T) = ®.

, j n - -

Definition 4.5:

97

{an}i® ~ {bn}~, then T and S are not conjugate (in fact, they

the characters of K one can easily show that L2(m) has a basis of

Similarly L2(m) has a basis {gn } O {U~hq: j E Z, q > 0}. One then

g8

(As general r e f e r e n c e s for this section see Shields [2] and Friedman

and Ornstein [2].)

D e f i n i t i o n 4.6:

(X,B,m) : IT (Y,F,~)

T is an i n v e r t i b l e m e a s u r e - p r e s e r v i n g t r a n s f o r m a t i o n and is called

(3) If T is a Bernoulli a u t o m o r p h i s m so is T 2.

99

Remark:

spaces) with the same entropy are conjugate; i.e., entropy is a com-

state spaces.)

[i] and by Blum and Hanson [i]. This result reduces the conjugacy

space.

Note:

n n

Pi ~ 0 i ~ Pi = ! such that - ~ Pi "!°g Pi = x. Hence V x > 0

=0 i=0

i00

3 a Bernoulli a u t o m o r p h i s m w i t h entropy x.

C o r o l l a r y 4.15:

of two B e r n o u l l i automorphisms.

1

S be a Bernoulli a u t o m o r p h i s m with h(S) = ~ h(T). Then Sn is a

are conjugate.

S×S is conjugate to T. //

a u t o m o r p h i s m is a Bernoulli automorphism).

n

phism V n > 0, then T is a Bernoulli a u t o m o r p h i s m (i.e., an in-

I01

Definition 4.7:

(i) K ~ TK.

(ii) V TnK ~ B.

n:0

n=0

Theorem 4.18:

}= < { x n} (X: x0 ~ F ~ ( B. Let G = {F: F (F}, which is called the

0

time-0 a-alsebra. Let K = V TiG- We now verify that K satis-

0 • 1 •

(i) K = V TIG c V TIG = TK.

i=-® i=-®

n

(ii) ¢ TnK = V V TIG = ¢ TiG = B by definition of B.

n=0 n=0 i= . . . .

0 0

~ -n

V T iG. Let B ( ¢ TkG, j ~ Z. Since A ~ V TiG, A and

n:0 -- k=j i<j

102

j:-- k:j

m ( A N B) = m(A)m(B). Put B = A, then m(A) : m(A) 2 w h i c h implies

m(A) : 0 or i. Hence

T-nK o N /!

n=O

false by Ornstein.

following properties:

Corollary 4.19:

automorphisms.

Remarks:

103

section.

is a factor of T.

T h e o r e m 4.20: (Rohlin)

o B (iii) ~T-nK =

o N. We split

m

H : V • UTH. From UTnH : ~ U_V U~+IH (n,m • O) we conclude

-n

104

- m

{f0 ~ i, U T m>0} is a basis for

L2(m).

then

(gUTfn,UTf) = (g,UT(ffn)) = 0

so gUTf n ~ V. //

Corollary 4.20:

105

Remark:

entropy case).

Examples:

conjugate to Bernoulli automorphisms. Chu [1] and Lind [1] have in-

dimensional torus. Katznelson and Weiss [2] have also solved the

[Pl .... 'Pk][Pij ] : [P! .... 'Pk ]" (See Billingsley [i].) It is known

(n)

states i,j 3 n > 0 with Pij > O) and T is strong mixing iff

(n)

g.c.d. {n: Pit > O} : I). Friedman and Ornstein [i] have shown

106

noulli automorphisms, but it has not yet been proved that the others

are.

N = 1 : x,y,z E R .

0

D = 1 n : m,n,p 6 Z .

0 !

I(

i x z i 2x+y z+x +xy+

0 1 y -~ 0 1 x+y

0 0 1 0 0 1

this is B e r n o u l l i .

107

Pinsker A l s e b r a

Let T be a m e a s u r e - p r e s e r v i n g t r a n s f o r m a t i o n of a p r o b a b i l i t y

Let

One can show that T-Ip(T) = P(T). One can also prove that if A

is a K - a u t o m o r p h i s m (by T h e o r e m 4.21).

If T is an i n v e r t i b l e m e a s u r e - p r e s e r v i n g t r a n s f o r m a t i o n with

L2(B) ~ L2(p(T)).

Corollary 4.22:

Lebesgue spectrum.

horocycle flows).

In the space of i n v e r t i b l e m e a s u r e - p r e s e r v i n g t r a n s f o r m a t i o n s of

108

Sequence E n t r o p y

transformation.

finite algebra A ¢ B.

n ~

A finite

to describe.

10g

Problem:

entropy and P has "large gaps" hp(T) will only give new informa-

~ii. Comments

have r e c e i v e d the most treatment. They are "opposites" from the point

other special cases. Sequence entropy may play a role in the isomor-

Ii0

transformations are weak mixing, have zero entropy, but are not strong

mixing.

for all the usual ways of constructing new transformations from old

n:0

One can show that UT has countable Lebesgue spectrum in

Ill

phism.

D e f i n i t i o n 4.8:

T: X ~ X is an exact e n d o m o r p h i s m if

A T-nB ° N ; i.e , B ° N

n:0

C h a p t e r 5: Topological Dynamics

§0. Introduction

properties of m e a s u r e - p r e s e r v i n g transformations. In t o p o l o g i c a l

Theorem 5.0:

lent:

(i) X is metrizable.

x6X

Remarks:

it often shortens proofs and most applications are for metric spaces.

I13

for simplicity.

Examples:

(i) I on any X.

Ixn-ynJ

d({Xn},{Yn}) = n =-®

i 2 jnj The shift T ( T{x n} = {yn } with

{x n} + {yn } = {(Xn+Yn)mod(k)} ,

§i. Minimality

Definition 5.1:

T is m i n i m a l if V x £ X {Tnx: n E Z} is dense in X.

114

Theorem 5.1:

all of X. //

Definition 5.2:

Theorem 5.2:

Remark:

115

Definition 5.3:

period of x under T.

T h e o r e m 5.3:

constant on X.

space X. //

Remarks:

where.

116

not.

Examples:

ni ~ yx -I i.e.,

3 ni 9 a

n.

l

a -x ~ y

II

n.

T l(x) ~ y.

Therefore OT(X) is d e n s e in X. //

n:O

117

Definition 5.4:

T: X ~ X is t o p o l o g i c a l l y transitive if 3 x0 ~ X 9 OT(X 0)

is dense in X.

Note:

T minimal = T t o p o l o g i c a l l y transitive.

T h e o r e m 5.4:

(i) T is t o p o l o g i c a l l y transitive.

Tn(u) n V ~ 4.

Thus 0 Tnu N V ~ ¢.

Then OT(X) ~ X

3 n ~ 0T(X) N Un : 4

3 n ) Tm(x) £ X\U n V m ~ Z

118

3 n with x ~ 6 Tm(XkUn )

n:l m:-®

second category. //

sitive homeomorphisms.

Theorem 5.5:

tive.

n:l k=-- n

] Tk(X\Un ) is T-invariant, so by ergodicity has

m( 6 Tk(X\Un)) : 0

119

Corollary 5.5:

iogicaily transitive.

(=) This proof is like the last part of the proof in example (5)

abelian. //

Theorem 5.6:

Remarks:

illustrate this:

Let X = K2x{0} U K 2 x { l ~ ( e , 0 )

(e~l)

cause A is ergodic, and these two constants must be the same because

120

n > i. //

X : ~J E , TE a = Ea and Ea closed

tive pieces, and then see if these pieces are also minimal.

121

a t o p o l o g i c a l l y t r a n s i t i v e h o m e o m o r p h i s m to be minimal.

Theorem 5.7:

= d(y,Tn(x0 )) + d ( T m ( x o ) , x )

< 2~.

Therefore OT(X) = X. //

Examples :

n. n.

1 i.e. a l

a .x 0 ~ y.x 0 , ~ y.

122

by C o r o l l a r y 5.5.

Definition 5.5:

Notes:

t o p o l o g i c a l l y transitive.

D e f i n i t i o n 5.6:

f a c o m p l e x - v a l u e d c o n t i n u o u s f u n c t i o n on X. We say that f is an

123

eigenfunction for T if 3 k E C )

Remarks:

Suppose T is t o p o l o g i c a l l y transitive.

xEX x{X

xEX

If(x) l = c o n s t a n t . //

ly i n d e p e n d e n t in C(X).

n = l,...,k. Suppose V x ( X,

l

Hence

(

124

ii

I 1 1

kI k2 "'" kk)(a2f2.(x)) =

• ..

k-i k-i

kI k2 . . .

V x E X,

;

i = l,...,k since f. ~ O. Hence, the f. s are linearly inde-

l 1

pendent in C(X). //

~ 1 then Ilh- i]I > 1/4. For then two eigenfunctions, with values

distance 1/4 apart and, since C(X) has a countable dense set,

xEX

Definition 5.7:

125

Note:

When T is topologically transitive and has topological discrete

theorem for topologically transitive homeomorphisms with topological

discrete spectrum.

metric space X:

on X.

abelian metric group.

trum.

TnxO~Tmxo = Tn+mxo. We have

d(Tnx0,Tmx0,TPx0,Tqx0 ) : d(Tn+mx0,TP+qxG)

d(Tn+mx0,TP+mx0) + d(TP+mx0,TP+qx0)

: d(Tnx0,TPx 0) + d(Tmx0,Tqx0).

therefore can be extended uniquely to a continuous map ,: X×X ~ X.

126

rotation by Tx 0 .

n

with fn(T) = knf n and where the fn are l i n e a r l y independent and

n=l 2n

Iknfn(X) knfn(Y) I

Then d(Tx,Ty) = ~ = d(x,y).

n=l 2n

2n

127

and c h o o s e N such t h a t

~. 2 <

n=N+l 2n 2

1

d(Xm'X) : i~--I V Ifi(Xm) - fi(x) l

N

-< L. ~ ' - + - -<

i=l 21 2 2

i.e., d(Xm,X) ~ 0. //

Remark:

If Tx = ax is a m i n i m a l rotation of a c o m p a c t m e t r i c abelian

each c o n t i n u o u s eigenfunction is an L 2 - e i g e n f u n c t i o n .

h a v e the same e i g e n v a l u e s .

128

Remark:

Theorem 5.10:

_ _ U and m(U \C ) < a}. We show

129

Therefore XkA E R.

i:l l

exist open Us,n, closed Cs, n such that Cs, n A n ~ U s ,n and

0 U c,n (which is open)

n= 1 s, ~ n:l

k

Let C = LJ Cs,n (which is closed). We have C~ _c A c_ Us. Also,

n=l

n:l

S S

--< 2-- + = S

n:l 3 n 2

Therefore R is a ~-algebra.

i=l i s

and U s = U k. This shows C E R. //

130

Corollary 5.10:

C closed U open

C & B U ~ B

Theorem 5.11:

Define f: X ~ R by

f(x) = I 0 if x ~ U

[ d(x,X\U)

d ( x , X \ U ) + d(x,C)

if x E U.

x ( X. Then,

JX ~x

131

J(f) : f d~

The next theorem expresses the fact that the unit ball in the

dual space of C(X) is weakly compact.

Theorem 5.13:

verges in the weak topology, i.e., 3 a Borel probability measure

on X such that

IX f d~n"d ~~ IX

l f

so has a convergent subsequence, say { ~ l ) ( f l ) }. Consider

{ (1)(f2)} ; this is bounded and so has a convergent subsequence

~n

{~2)(f2)}. Notice that {~2)(fl)} also converges. We proceed in

, (i)

this manner, and for each i ~ i, construct a subsequence i~n } of

{bn} such that {~n(i)~; ~ i~~ n(i-l),~ & "'" ~ {~n(!)} g {~n} and so that

(n)

~n (f)} converges for all f (C(X) (by an easy approximation

132

n~

IX f a~n(n)

.

~ IX f d~. //

Corollary 5.13:

i:l 2ilifill

rise to the weak topology. The compactness follows from the previous

theorem. //

by T.

n-i

Jn(f) = ~1 i__~

.= 0 f(Ti(x))

n

Theorem (no~e that IJn(f)l ~ IIfll), so there exists a Borel proba-

133

]

bility measure ~ on X such that

I_..

-< "'211fll "~ 0 as j ~-

n.

3

we have IX foT d~ = IX f d ~

~(T-IB) = ~(B) for all Borel sets B. //

Theorem 5.15:

measures on X (by Theorem 5.14, M T # ¢). Then

(2) MT is a convex set, and

(3) if m ~ MT then m is an extreme point of MT iff m is

ergodic with respect to T.

topology. Then

134

I fT d~n ~ I fT d~

H

Ifd~n -~ [fd~

so that ~ is T-invariant.

(2) is obvious.

set E such that T-IE : E a.e. and 0 < m(E) < i. Define measures

mI and m2 by

mlCB

). _ m(B N E) and m2tB

~ . , : m ( B N (X\E))

m(E) m(X\E)

and

m : zm I + (l-~)m 2

(m I is absolutely continuous with respect to m) so that the Radon-

dmi(x)

Nikodym derivative dml/dm exists, (i.e., ml(E) = dm(x) ).

dm

: i

dm

So, ml(E) : mI(T-IE) - - 1 dm(x)

T_IE dm

dml(

: IE d--~- T-Iy) dm(T-ly)

dm 1

= IE d-~--(T-ly) dm(y).

135

dml 1 dml

Therefore d--~--(T-y) : d--~--(y) a.e.(m) (by uniqueness of the Radon-

1 : ml(X) : IX k dm : k.m(X) : k.

Definition 5.8:

Remark:

Theorem 5.16:

also that T is not minimal, i.e., there exists a closed set K such

136

ergodic averages.

Theorem 5.17:

n-i

1

(I) V f £ C(X), n i=0 f(Tix) converges uniformly to a constant.

1 n~l

(2) V f E C(X), ~ i:0 f(Tlx) converges pointwise on X to a

constant.

1 n-i

~ .

f(Tlx) -~ I f dm.

n i=0

(4) T is u n i q u e l y ergodic.

n-i

k(f) = lim 1 ~ fTi(x).

n-~- n i:O

n-i

1

1 ~ Z fT1(x) I -< Ifl •

i:O

Also k(1) = I and f >_ 0 = k(f) >_ 0. Thus by the Riesz Representa-

m ( MT •

(3) = (4). Suppose that v ( M T. We have

n-i

1 [ fTl(x) ~ f* V x,

i=0

137

I f d~ : I fe d~ : fe : I f dm V f 6 C(X).

n-i

(4) = (1). If ~1 ~~-':0 fTi(x) converges uniformly to a constant

measure. Suppose (i) is false. Then 3 g E C(X), 3 e > 0 9 V N

3 n > N and 3 xn ~ X 9

n-i

i ~0 1i~

.:

= gTi(xn ) - I g dm I -> e

n-i

1

Define Jn: C(X) ~ C by Jn(f) : ~ ~ fT1(Xn ). J satisfies the

i:0 n

conditions of the Riesz R e p r e s e n t a t i o n Theorem. Hence, Jn(f) = I f dlxn

for some Borel probability measure ~n" Moreover, there exists a sub-

l

Jni(f) : I f d~n"d ~ lI f

for all f E C(X) and for some Borel probability measure ~ (by

Theorem 5.13). Then

ni

IJni(fT) - Jni(f)l : n~i IfT (Xn')1 - f(Xn')ll

2JJfll

_~ n. ~ O,

l

so %hat I fT d~ : I f d~.

138

Examples:

Borel p r o b a b i l i t y measures.

minimal.

Proof: (=) follows from T h e o r e m 5.16 and the fact that Haar

measure is p o s i t i v e on o p e n sets.

abelian. If 1 ~ Y ( G then

n-i n-i

1 [ y(Tix): ~1 [ y(ai)T(x) _ y(x) (y(a) n -i) (] as n ~ ~

dense in C(X). //

c o n c e n t r a t e d at e.

rem 5.17 holds. This was done by Hahn and Parry [i]. //

139

Recent results of Jewett [i] and Krieger [i] imply that any

for the concept of unique ergodicity. Hahn and Katznelson [I] have

Chapter 6: Topological Entropy

by e,~, . . . .

Definition 6.i:

Definition 6.2:

< ~, if e v e r y member of ~ is a s u b s e t of a m e m b e r of ~. In

Definition 6.3:

Note:

Definition 8.4:

141

Remarks:

(i) H(e) ~ 0.

by a s m a l l n u m b e r .

nality. Then

is a s u b c o v e r of e v 6 so, N (e v 6) ~ N(e)N(~). //

Theorem 6.1:

If = is an o p e n c o v e r of X and T: X ~ X is c o n t i n u o u s , then

n

n~

142

n

an - an+m - n m

By (i), a n ~ O, and

n

n

: a

n

+ a.

m

II

Definition 6.5:

n

n~

Remarks:

n-i n-i

Proof: s < ~ = V T-is < V T-i~, so by (3) we have that

i:0 i:0

n-i n-i

H( V T-is) _< H( V T-i~). Hence h(T,s) _< h ( T , ~ ) . //

i=0 i=0

143

h(T,a) ~ h(T,~).

Proof: By (4) we h a v e

n-i

~ H(T-I~)

i=0

n.H(=) by (5). //

Definition 6.5:

given by:

Remarks:

(8) h(T) ~ 0.

of t o p o l o g i c a l conjugacy.

Theorem 6.2:

for i = 1,2, and are topologically conjugate, then they have the

same entropy.

144

n

n

: lim .i

r H(¢-I v Til¢-la v ... v Ti(n-l)¢-la)

n

: h(Tl,¢-la).

Theorem 6.3:

h(T) : h(T-l).

Proof:

n

n

n

n

n

n

: h(T-l,s). //

145

Notation:

Con$ecture i:

T: X ~ X is a h o m e o m o r p h i s m p r e s e r v i n g m then

hm(T) ~ h(T).

rem 6.9.]

Conjecture 2:

(By T h e o r e m s 5.i0 and 5.14 we know that MT, the set of Borel meas-

m~M T

[Partial c o n t r i b u t i o n s were made by Goodwyn Ill and Dinaburg [i], but

Goodman [i] finally proved it. We can drop the condition of X being

Conjecture 3:

Conjecture 4:

146

Conjecture 5:

homeomorphisms of Y so t h a t

T(x,y) = (X,Tx(Y))

xEX

3 y E F such that

0Ei~n-I

n

1

Set rT(~,K) = lim sup ~ log r n ( ~ , K ) .

n

0~i~n-i

147

1

Set ST(S,K) : lim sup ~ log Sn(S,K).

s~O s~O

exist and are equal by T h e o r e m 6.4. We then define

K compact

Remarks:

spaces.

some e x p a n s i o n for T.

(3) The ideas for this d e f i n i t i o n come from the work of Kolmogorov

0~i~n-i

Then h(T,K) : lim iim sup ! [e-entropy of (K,Pn)]. (It follows from

S~O n ~

148

limit of ST(~,K) as ~ ~ 0.

Theorem 6.4:

ST(~I,K) ~ ST(¢2,K).

n

such that d(x,y) < 5 implies

0~i~n-I

n

and hence is finite.

0~i~n-I

0~i~n-i

rn(~/2,K).

K, since if not 3 x E K

149

0~i~n-i

choice of E.

(ii) is obvious. //

Remarks:

l~i~m

n j

n

n

1 1

log Sn (e,K) ~ lim sup ~ log Sn(e,K)

] ]

n.] n.]

J

150

h(T,K) ~ h(T,X). //

Definition 6.7:

Theorem 6.5:

hd(T) = hd,(T).

rn(~2,K,d') ~ rn(e3,K,d).

151

If z I ~ 0, then g2 ~ 0, and ~3 ~ 0 so we h a v e

hd(T,K) = hd,(T,K). //

Remark:

is u n i f o r m l y continuous.

of d i a m e t e r ~ 5 lies in some m e m b e r of =.

l l

i + ~ a.

d(y,x) _< d(y,Xni) + d(Xni ,x) ~ n i 2 <

J' a contradiction. //

l

Theorem 6.7:

152

zEF

0~i~n-i

n-i

x,y E (-] T-JA. x,y ~ E

j :0 ~j

0~j~n-i

Notes:

Theorem 6.8:

n mn

I m

log rn(z,K,Tm) ~ ~-~ log rmn(~,K,T)

0~j~m-i

m'hd(T,K) ~ hd(Tm,K).

154

rn(e,KlXK2,TlXT2) ~ rn(e,Ki,Tl)'rn(s,K2,T 2)

which implies

Therefore

K ~ XIXX 2 is compact then K I : ~I(K) and K 2 : ~2(K) are compact

and K & KIXK 2. Hence

hd(TlxT2,K) ~ hd(TI×T2,KIXK2).

Therefore

K~XIXX 2

compact

= sup hd(TIXT2,KI×K2 )

KIgX I

K2~X 2

cpt.

KI~X I K2~X 2

cpt. cpt.

: hdl(T I) + hd2(T2).

Xi and have Lebesgue number 5i (i = 1,2). If Si is a maximal

(n,Si/2)-separated set for Xi with respect to Ti then SIXS 2 is

an (n,6)-separated set for XIXX 2 with respect to TIXT 2 where

155

8 = min(81/2,62/2). Therefore

Sn(5,Xl×X2 ) ~ Sn(81/2,Xl)'Sn(82/2,X 2)

1

h(Tl×T 2) _> lim sup ~ log Sn(6,Xl×X2 )

n~-

n~-

n~

= h(Tl,a I) + h(T2,~2).

Remarks:

not.) However, on compact spaces h(T) = h(T -I) (Theorem 8.3). This

156

finite-dimensional torus.

h (T) ~ h(T).

m

m

Consider Kk as Rk/z k with metric

v(Z k

Pl Pl +I P2 P2 +I

(x I ..... Xk): 2-~ ~ x ! < 2q ' 2-~ ~ x 2 < - - 2 q '

Pk Pk +I

where

2"--~"~ xk < 2q

2. Let 25 be a Lebesgue number for Y.

157

n-i

nality. Let x E ~ T-JA i , Ai. E ~q. Choose y E F with

j:0 j ]

max d(TJx,TJy) ~ 5,

Osj~n-i

]

n-i

U n : {(i 0 .... ,in_l): N T-JAi. @ ¢}

j=0 ]

-- n

1

Thus, hm(T,~ q) _< log 2k + lim ~ log rn(8,Kk)

n

= log 2 k + rT(6,K k)

q~®

n> 0. If n > 0

n

158

n-I

D (x,e,T) : ~ T-kB (Tkx).

n k:0 e

g

= T-l(Tx.A-kB $ (e))

: x.(A-(k+l)B (e)).

g

n-i

Hence, Dn(X,s,T) = x • ~ A-kB (e) : x'D (e,e,A).

k=0 n

n-i n-i

sets of diameter < e. If x ~ ~ T-kA. then N T-kA" c_

k=0 lk k=0 ik

n-1

X.Dn(e,s,A) , since if y ~ ~ T-kA. then Tk(x),Tk(y) ~ Aik V k,

k=0 lk

159

n-i

Thus, m(k=0

~ T-kAik) -< m(Dn(e'e'A)) and taking logs we see that

n

T m(N T-kAik) log m ( N T - k A i k )

i0,. • • ,in_l--i

n

m(~ T-kA. ) log m(Dn(e,e,A))

i0,...,in_l:l ik

= log m(Dn(e,s,A)).

1

Thus, hm(T) >_ hm(T,~) : lim ~ H(~ v ... vT-(n-l)~)

n

1

>- lim sup [- ~ log m(Dn(e,~,A))] .

n

1

hm(T) ~ lim lim sup [- ~ log m(Dn(e,s,A))] .

~0 n

xEE n x~E n

Sn(S,X).m(Dn(e,~/2,A)) e i

and so s (~,X)

n

m(Dn(e,¢/2,A))

1

Therefore ST(S,X) _< !im sup [- n log m(Dn(e,~/2,A))]

n

160

1

h(T) : hd(T,X) ~ lim lim sup [- ~ log m ( D n ( e , z / 2 , A ) ) ]

hm(T).

1

Thus, hm(T) = h(T) = lim lim sup [- ~ log m(Dn(e,z~A))].

~0 n

ent of a. //

Note:

The formula

1

h(T) = lim lim sup [- ~ log m(Dn(e,~,A) )]

~0 n

A(x + Z n) = [A].x + Z n x ~ R n,

metric d on Rn/z n by

161

v(Z n

The next theorem deals with such a situation and asserts that

Theorem 6.11:

ha(T) = h~(T).

ameter < 6 is of this form. Let ~ > 0 be such that ~ < 5 and

• i0+i

and d(Tl0+Ix,T y) > ~. (This can be done since E is an (n,s)-

162

d(T x,T ~ 9) < 6 and so Tl0+l 9 E Bs(T x) which is mapped

i0+l

isometrically onto B6(T ~(x)). So,

i0+l i0+l • .

d(T ~(x),T .(y)) : d(T10+Ix,T10+ly) > e.

Sn(S,K,T) ~ Sn(~,~(K),T).

s (~,~(~),T)

n _< s

n (~,~,~).

d

By remark (3) of §2

h~(T) : hd(T). //

d

Corollary 6.11:

map of Rn .

163

Theorem 6.12:

by a n o r m on R p. Then:

then

P

x(F x(F

n-i

where D (x,s,A) = ~ A - i B (Aix) (as in the p r o o f of T h e o r e m 6.10).

n i=0 s

re(K)

i.e., r (~,K)

n m(Dn(0,s,A))

n

n

m ( B g (0))

But, m(D (0,s,A)) ~ m(A-(n-l)B (0)) =

n s idet A i n - i

16~

1

so t h a t ~A(~,K) >_ l i m ~ [log Idet AI n-I - l o g m ( B (0))]

8

n

P

P

P

so that Kb c I1 where

P

I 1 - { ( x I ..... Xp) E RP: Ixil _ 1 V i}.

for 0 ~ i ~ n-l.

g

for K. Let s > 0, and set 8 - - - < I, for n sufficiently

llAlln.c

large. Thus

165

1

rA(~,K) : lim ~ log rn(¢,K)

n

n

: p log lIAll.

P

P

P

spanning set. Thus, in all cases

p

p n p

1 max

_< -- {0 , p log llAnll}

n

Therefore

P

Remark:

If A: Rp ~ Rp is l i n e a r and the m e t r i c p is d e t e r m i n e d by a

1

norm then hp(A) = lim lim sup [- ~ log m ( D n ( 0 , ~ , A ) ) ] where m is

8~0 n~=

166

n-I

Lebesgue measure on Rp and D (0,s,A) :~ A-IB (0).

n i:0

n~

1

hp(A) e lim lim sup [- ~ log m(Dn(0,~,A))]. Let K be the p-cube

~0 n~® q

in Rp with center 0 and side length 2q. If E is an (n,s)-

xEE

xEE xEE n -

Sn(g/2,Kq)-m(Dn(0,s/2,A)) ~ (q+2~) p

and hence 1

SA(S/2,Kq) -< lim sup [- ~ m(Dn(0,~/2,A))].

n-~

q e~0 n~ =

Theorem 6.13:

norm. Then

P i~i1>l

R p : E 1 @ ... @ E k

l

167

A = A I @ ... • A k

k

and hp(A) ~ [ h (A i)

i=l P

rem 6.12

k

hp(A) ~ i=l~ max {0 , dim E..l log ~i }

•>I l l

l

: K log J~iJ"

J~i1>l

1

above remark we have hp(A) = lim lim sup [- ~ log m(Dn(0,s,A))]. Write

s~O n~

Rp as a direct sum of two subspaces Rp = F 1 @ F 2 so that AF i ~ F i

than one and A2 : AIF 2 has eigenvalues with absolute value less than

i

Therefore lim sup [- : m(D n (0 's,A)] > log - ]det All = ~ log Ikil.

n~- Ixil>1

Therefore

i×iI>l

168

T h e o r e m 6.14:

l~il-l

the ki'S being the eigenvalues of the m a t r i x [A] which repre-

sents A.

Note:

case). The above proof is due to Bowen. This formula for the entropy

95. Expansive H o m e o m o r p h i s m s

morphism.

D e f i n i t i o n 6.8:

169

n

n_-_~

Theorem 6.15:

: {BI,...,Bs} ,

n

in a then V n 3 Jn ) Ain ~ Bjn. Hence,

T-n~i c_ 6 T-nBjn

-~ n -~

on X.

Theorem 6.16:

N

set in V T-na has diameter < ~. Conversely, V N > 0 3 ~ > 0

-N

such that d(x,y) < s implies

N

x,y ~ ~ T-nA

-N n

170

-j ~ i ~ j with xj,yj E A

i:-j

T-IA. ..

],l

We can s u p p o s e that x. ~ x~

]

yj ~ y since X is c o m p a c t , and h e n c e x ~ y. Consider the sets

3,n

rain An ~ ~ with x,y ~ T-nAn . Thus,

x,y E 5 T -n~

n

Lebesgue number for 5. Choose e > 0 such that d(x;y) < ~ implies

• Tiy) < 8

d(Tlx, for -N ~ i ~ N. Hence if d(x,y) < ~ and Ill N N

N

x,y ~ ~ T-IA.. //

-N 1

Theorem 6.17:

If a is a g e n e r a t o r for T then

h(T) : h(T,e).

N

for ~. Choose N • 0 so that each m e m b e r of V T-na has d i a m e t e r

N -N

< 8. Then ~ < V T-n~, and so,

-N

171

N

h(T,~) _< h ( T , V T-no)

-N

n-1 N

: lim 1H(V T-i( V T-na))

k-~® i:0 -N

N+k-I

= lim 1 H( V T-no)

k~® -N

2N+k-i

= lim 1 H( V T-na)

2N+k-i

= lim 2N+k-i 1 H( V T-no)

k 2N+k-i

: h(T,a).

h(T) = h(T,a). //

Remark:

Definition 6.10:

constant for T.

Remark:

172

diagonal.

T h e o r e m 6.18:

ator.

Therefore = is a generator.

n

n

x,y ~ 6 T-nA

n

Corollary 6.18:

a vT-I= v ... v T - ( k - l ) ~

173

also a g e n e r a t o r for T.

(3) is trivial. //

for e x p a n s i v e homeomorphisms.

Theorem 6.19:

= {Cl,...,Cs}

measure.

n

Qm

-~ n n

d(Tnx,Tny) < 8 V n. By e x p a n s i v e n e s s x = y. Thus ~ T-nCi = ¢

--~ n

V TnA(~) : 8. //

retic generators.

Examples:

of modulus i.

174

shows that the normal form is expansive iff there are no eigenvalues

of modulus i.

morphism of Kn.)

and each Ai is open. ~ = {A0,...,Ak_ I} is a generator for the

-~ n n

x = (...,i_2,i_l,i0,il,i2,...).

IXn - ynl

d({Xn}, {Yn})

n=--

~ 2 Inj

n=-- 2 Inl Yn+n01

IXn0 - Yn0 I ~ 1.

Remarks:

175

with

T

X ,X

Y ,Y

S

expansive.

Al

n -®

176

¢: A ~ K \ { a n , - a n : n E Z}

means that anx and any belong to the same element of the cover for

of a s u b s e t of a t w o - s i d e d shift.

Theorem 6.20:

Xk = ~{0,1,...,k-l}

,a(y) : T~(y) y E 8.

177

n

Let A denote the c o l l e c t i o n of all sequences arising in this way.

N

V Tne has d i a m e t e r less than ~, which can be done by T h e o r e m 6.16,

-N

since we can enlarge each Ai to an open set to o b t a i n a g e n e r a t o r

N

Inl ~ N then ¢({an}), ({bn}) are in the same m e m b e r of V Tn~

-N

and so d(¢{an},¢{bn}) < ~. Hence ¢ is u n i f o r m l y continuous. //

follows:

T h e o r e m 6.21:

where A. E e j = O,...,k-l.

]

178

3

in =. Thus

x E T k ' i ( A 0 N T A 1 Q ... N T k - I A k _ l ) V i,

x = fi Tk'i(A0 N TA1 N . . . n T k - l A k _ l ).

The c o n v e r s e is t r i v i a l . //

of Tn .

Corollary 6.21:

bers, then

Theorem 6.22:

If T is e x p a n s i v e , then

n~

n n

n-I

Proof: Let a be a g e n e r a t o r for T. Each e l e m e n t of V T-la

0

contains at m o s t one p o i n t f i x e d by T n, since if Tnx = x, Tny = y

179

n-I °

and x,y ~ ~ T-IA. then

i=0 3i

x,y ¢ 6

k:--

T-nk(Aj0 n T-IAjl n ... n T-(n-I)A.

]n-i

)

n

1

SO~ lim ~ log Nn(T) _< h(T,~) : h(T).

n-~

: 1 7F (~?- :71

i

n 1

n~- k.

l

= 1 n

1 iog iiXn - i I K [log Ikil + log Ii - k:nl]

180

1 ×n-ll ~ 0.

lql>l

n

Problem:

that T is an a x i o m A* h o m e o m o r p h i s m .

Proposition:

one map.

as e i g e n v a l u e s . )

181

Since [B] has integer entries, the Ei have rational entries. Each

(3) I with the j-th row replaced by j-th row + c(k-th row), c E Q.

l has integer entries.

r

b' : ~[ leilnldet Ell

i=l

r r

: ~[ let In -~ Idet Ell

i=l i=l

r

: ~- leiln}det [B]I.

i=l

r

But, also b' : -~ let In" b

i=l

b = ldet [B]I. //

n~- n n

182

n

n > 0 then we set

Note that

phisms. Manning [i] has shown this to be the case for axiom A diffeo-

is finite-dimensional.

95. Examples

(i) Isometrics have zero entropy. This is clear from Bowen's defi-

183

We estimate rn(s,K).

they determine. Add points to this set so that the new intervals

3 y ~ F

max •

d(Tlx ,Tiy) ~ s.

O~i~n-2

max d(Tlx,Tly) ~ s.

0~i~n-2

184

d(Tlx,Tlz) ~ ~ V i, 0 ~ i ~ n-l.

n([i/~] + i).

1

Therefore, rT(~,K) : lim ~ log rn(~,K) : 0,

so, h(T) = 0. //

Corollary:

phism of K. //

(4) If T: M m ~ M m is a d i f f e r e n t i a b l e map of an m - d i m e n s i o n a l

xEM

--~--

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the London Mathematical Society, vol. 5, pp. 439-444, 1972.

L. W. Goodwyn:

Proceedings of the American Mathematical Society, vol. 23,

pp. 679-688, 1969.

siveness and topological entropy, Mathematical Systems

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[i] Measure Theory, Van Nostrand, 1950.

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Mathematics, vol. 43, pp. 235-247, 1942.

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[i] Induced measure preserving transformations, Proceedings of

the Imperial Academy of Tokyo, vol. 19, pp. 635-641, 1943.

[2] Examples of ergodic measure preserving transformations

which are weakly mixing but not strongly mixing, Recent

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Y. Katznelson:

[i] Ergodic automorphisms of T n are Bernoulli shifts, Israel

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191

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pp. 754-755, 1959.

W. Krieger:

mations, Transactions of the American Mathematical Society,

vol. 149, pp. 453-464, 1970.

Symposium on Mathematical Statistics and Probability, 1970.

l'~tude des systemes dynamique de la m~canique non lin~air%

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A. G. Kushnirenko:

Nauk, vol. 22, no. 5, pp. 57-65, 1967 (Russian), Russian

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192

D. A. Lind:

to appear.

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mechanics and probability theory, Advances in Mathematics,

vol. 12, pp. 178-288, 1974.

A. Manning:

Bulletin of the London Mathematical Society, vol. 3,

pp. 215-220, 1971.

L. Markus:

Society Regional Conference Series, no. 3, 1971.

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L. D. Meshalkin:

Akademii Nauk SSSR, vol. 128, pp. 41-44, 1959.

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[i] Ergodic sets, Bulletin of the American Mathematical Societ~

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nilmanifolds, American Journal of Mathematics, vol. 91,

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Topology, vol. 9, pp. 217-224, 1970.

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M. S. Pinsker:

[I] Dynamical systems with completely positive and zero

entropy, Doklady Akad. Nauk SSSR, vo!. 133, pp. 1025-1026,

1960 (Russian), Soviet Mathematics Doklady, vol. i,

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L. S. Pontrjagin:

[I] Topological Groups, Gordon and Breach, 1968.

W. Reddy:

Duke Mathematical Journal, vol. 32, pp. 627-632, 1965.

V. A. Rohlin:

[i] A general measure-preserving transformation is not mixing,

Doklady Akademii Nauk, vol. 60, pp. 349-351, 1948.

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[4] Metric properties of endomorphisms of compact commutative

groups, Izvestija Akademii Nauk, Serija Matematiceskaja,

vol. 28, pp. 867-874, 1964 (Russian); American Mathematical

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1967 (English).

195

invariant measure, Uspehi Matematiceskih Nauk, vol. 22,

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1961 (English).

D. Ruelle:

satisfying expansiveness and specification, Transactions

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P. C. Shields:

Proceedings of the American Mathematical Society, vol. 41,

pp. 331-332, 1973.

Lecture Notes, 1974.

C. P. Simon:

zeta functions, Transactions of the American Mathematical

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Ja. G. Sinai:

Akademii Nauk SSSR, vol. 124, pp. 758-771, 1959.

vol. 125, pp. 1200-1202, 1959.

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89, 1968 (Russian).

S. Sma!e:

[i] Differentiable dynamical systems, Bulletin of the American

Mathematical Society, vol. 73, pp. 747-817, 1967.

M. Smordinsky:

[i] On Ornstein's isomorphism theorem for Bernoulli shifts,

Advances in Mathematics, vo!. i0, pp. 1-9, 1973.

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1971.

B. Weiss:

[i] The isomorphism problem in ergodic theory, Bulletin of the

American Mathematical Society, vol. 78, pp. 668-684, 1972.

Index

affine transformation 18

aperiodic 89

character theory lO

complete invariant 96

completely positive entropy 104

conditional entropy 76

conjugate transformations 53

continuous spectrum 46

direct product of transformations 44

discrete spectrum~ measure theoretic 64

topological 125

dist~l 120

topological 123

eigenvalue, measure theoretic 45

topological 123

endomorphisms of tori 12

entropy 72

entropy of affine transformations of tori 168

of Bernoulli shifts 95

of rotations 93

ergodicity 21

ergodic theorem, Birkoff 29

maximal 32

LP 36

exact endomorphism lll

expansive homeomorphism 171

generator, measure-theoretic 88

topological 168

•Haar measure

Hahn-Kolmogorov Extension Theorem

Hilbert spaces

induced operator on L p 32

invariant 57

invariant measures for homeomorphisms 128

isomorphism 52

Kolmogorov - Sinai Theorem 87

Krylov and Bogolioubov Theorem 132

198

Lebesgue spectrum 60

measure algebra 53

measure preserving transformation 16

measure theory 3

minimal homeomorphism I13

minimal set 114

mixing 37

nilmanifold 106

non-invertible transformation 110

normal number 31

orbit 113

partitions 70

periodic point 115

Pinsker algebra 107

Poinca~e Recurrence Theorem 20

p u r e p o i n t spectrum 64

recurrence 20

refinement of open covers 140

Riesz Representation Theorem 130

rotations on groups 67

separated set 146

sequence entropy 108

a-algebra 3

spanning set 146

spectral isomorphism 54

spectral theorem 46

sub-u-algebras 70

topological entropy 143, 147

connection with measure theoretic entropy 155

topological entropy of affine transformations of tori 168

of Bernoulli shifts 182

of homeomorphisms of the circle 182

topological transitivity 117

uniquely ergodic 135

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