Foliations

Let M be a closed manifold (mostly 3 dimension) and \mathcal{F} a foliation on M. A leaf F\in\mathcal{F} is closed if \overline{F}=F (like a periodic orbit or a genus-g surface). It is proper if \overline{F}\backslash F is closed (like the graph of y=\sin(1/x)). It is recurrent if it is either closed (trivial proper) or non-proper (like a line on \mathbb{T}^2 with irrational slope). Let \mathcal{C} be the part of closed leaves (note that \mathcal{C} may not be closed, like the periodic orbits of Anosov flow). Let \mathcal{P} be the part of proper leaves (nontrivial proper: not closed) . In particular all leaves outside \mathcal{P} are recurrent.

The foliation \mathcal{F} is said to be non-wandering if \mathcal{P} has no interior. And \mathcal{F} is said to be recurrent if \mathcal{P}=\emptyset, that is, every leaf of \mathcal{F} is recurrent. Moreover, \mathcal{F} is said to be almost periodic, if \{\overline{F}:F\in\mathcal{F}\} forms a new decomposition of M (either disjoint or coincide). Yokoyama observed the following proposition:

Proposition. A almost periodic foliation is recurrent.
Proof. Let F\in\mathcal{F} be a non-closed element and x\in\overline{F}\backslash F. Clearly F(x)\cap F=\emptyset. Then almost periodicity implies that \overline{F{x}}=\overline{F}. So \overline{F}\backslash F=\overline{F{x}}\backslash F\supset F(x)\neq\emptyset. So every non-closed leaf is not proper and \mathcal{F} is recurrent.

A foliation \mathcal{F} is said to be R-closed if \{(x,y)\in M\times M:y\in\overline{F(x)}\} is a closed subset.

2. A support function on a convex domain is the signed distance. Let Q be a closed strictly convex domain around the origin. Then its support function is given by h(\phi)=\sup\{x\cos\phi+y\sin\phi:(x,y)\in Q\}. It is easy to see that the supreme is attained at a point on the boundary, whose oriented tangent line has angle \phi with positive y-axis. Using this parameter the billiard system admit a coordinate (\phi,\theta), where \theta is the angle of the out-going vector with the tangent direction. In particular {\bf v}(\phi,\theta)=e^{i(\theta+\phi+\pi/2)}=\langle -\sin(\theta+\phi),\cos(\theta+\phi) \rangle.

Let C be a closed piecewise-smooth convex curve around the origin, $\phi$ the angle of the tangent line at a point (x,y)\in C with y-axis (serving as a parametrization, so (x(\phi),y(\phi)) and the line L(\phi)). Then the distance from o to the tangent line L(\phi) is h(\phi)=x\cos\phi+y\sin\phi.

Taking derivative with respect to \phi, we get h'(\phi)=x'\cos\phi+y'\sin\phi-x\sin\phi+y\cos\phi.

$latex $

1. Phase transitions in statistical mechanics. A phase transition occurs when a material changes its properties in a dramatic way. For example water, as it is cooled and turns into ice. Phase transitions are characterized by an order quantity (like density) that changes as a function of a parameter of the system (such as the temperature). The special value of the parameter at which the system changes its phase is the system’s critical point.

A bifurcation occurs in a dynamical systems, when a small/smooth change of the parameter values (the bifurcation parameters) of a system causes a sudden ‘qualitative’ or topological change in its behavior. For example the ‘period-doubling bifurcation’ of Logistic map, the saddle-node bifurcation.

Phase transition in dynamical systems

– the parameters $t$’s where the pressure $P(f,t\phi)$ fail to be $C^k$ for $k=0,1,\cdots,\infty,\omega$;

– the parameters $t$’s where the system $f_t:M^2\to M^2$ shifts from integrability to nonintegrability, from regular to chaotic.

Notes about Anosov diffeomorphisms

Taken from J. Franks, Anosov diffeomorphisms, in the book ‘Global Analysis’, (1968) 61–93.

Question: given f:M\to M, for what g:N\to N does there exist a nontrivial h:N\to M such that h\circ g=f\circ h? Franks proved that for some diffeo, it reduces to a homotopy problem. So the definition:

A diffeo f:M\to M is a \pi_1-diffeo, if given any homeo g:K\to K on a CW-complex K with a continuous map h:K\to M such that h_\ast\circ g_\ast=f_\ast\circ h_ast from \pi_1(K)\to \pi_1(M), there exists a unique base-point preserving map \hat h:K\to M homotopic to h such that \hat h\circ g=f\circ\hat h.

(covering version)

Examples of Anosov: hyperbolic toral automorphisms, hyperbolic nil-manifold automorphisms, hyperbolic infra-nilmanifold automorphisms (and their endomorphisms)

Theorem 2.2. Every hyperbolic infra-nilmanifold automorphism is a \pi_1-diffeo.

Problem: are all Anosov diffeo \pi_1?

Two diffeos f:M\to M and g:N\to N are \pi_1-conjugate if there exists an isomorphism \phi:\pi_1(N)\to \pi_1(M), such that \phi\circ g_\ast=f_\ast\circ \phi from \pi_1(N)\to \pi_1(M).

So two \pi_1 diffeos are topological conjugate iff they are \pi_1-conjugate.

Theorem 3.6. Suppose \pi_1(M) is torsion-free and f is \pi_1 on M.
a. if \pi_1(M) is virtually nilpotent, then f is topologically conjugate to a hyperbolic infra-nilmanifold automorphism.
b. if \pi_1(M) is nilpotent, then f is topologically conjugate to a hyperbolic nilmanifold automorphism.
a. if \pi_1(M) is abelian, then f is topologically conjugate to a hyperbolic toral automorphism.

Theorem 6.3. Every transitive codim=1 Anosov is a hyperbolic toral automorphism. Two such diffeo are topological conjugate iff they are \pi_1-conjugate.

Theorem 8.2. If \pi_1(M) is virtually nilpotent and f is expanding, then f is topologically conjugate to a hyperbolic infra-nilmanifold endomorphism.
A key step is that if f:M\to M is expanding, then \pi_1(M) has polynomial growth.

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Billiards

8. In Boltzmann gas model, the identical round molecules are confined by a box. Sinai has replaced the box by periodic boundary conditions so that the molecules move on a flat torus.

On circular and elliptic billiard tables, for all p\ge 3, the (p,q)-periodic orbits forms a continuous family and hence all the trajectories have the same length.

An invariant noncontractible topological annulus, A\subset\Omega, whose interior contains no invariant circles, is a Birkhoff instability region. The dynamics in an instability region
has positive topological entropy. Hence Birkhoff conjecture implies
that any non-elliptical billiard has positive topological entropy.

How to construct a strictly convex C^1-smooth billiard table with metric positive entropy? b) How to construct a convex C^2-smooth billiard table with positive metric entropy?

Recall Bunimovich stadium is not C^2, and not strictly convex.

A periodic orbit of period q corresponds to an (oriented) closed polygon with q sides, inscribed in Q, and satisfying the condition on the angles it makes with the boundary. Birkhoff called these the harmonic polygons.

Then the maximal circumference of 2-orbit yields the diameter of Q. The minimax circumference of 2-orbit corresponds
to the width of Q.

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Physical entropy production

A simple fact: let T:X\to X be a homeomorphism preserving the measure-class of \omega, J(T^k,x) be the Jacobian of T^k at x. Then for any sequence a(k)\to\infty with \sum_k \frac{1}{a(k)}<+\infty we have \limsup_k\frac{J(T^k,x)}{a(k)}=0 for \omega-a.e. x\in X. For example a(k)=e^{t k} with t>0 or a(k)=k^{\alpha} with \alpha>1. This is a direct corollary of Borel-Cantelli property:

Consider the set E_{k,\delta}=\{x\in X: \frac{J(T^k,x)}{a(k)}\ge\delta\}. It is easy to see \omega(E_{k,\delta})\le \frac{1}{\delta\cdot a(k)} and hence \sum\omega(E_{k,\delta})\le \sum\frac{1}{\delta\cdot a(k)}<+\infty. So \omega(x\in E_{k,\delta} \text{infinitely often})=0 for all \delta>0

Notes from papers by Jaksic, Pillet, Rey-Bellet, Ruelle and Young.

4. Let \nu\ll \mu be two probability measures on X and \phi=\frac{d\nu}{d\mu} be its density. Then 1=\nu(X)=\mu(\phi). Moreover 1/\phi is well-defined with respect to \nu and \nu(1/\phi)=\mu(1)=1, too.

The relative entropy can be defined as E(\nu|\mu)=\nu(\log\phi) when \nu\ll\mu, +\infty otherwise.
Note that E(\nu|\mu)=\nu(-\log\frac{1}{\phi})\ge-\log\nu(1/\phi)=0. So the relative entropy is nonnegative.

Convexity: assume \nu_1,\nu_2\ll\mu and p+q=1, then \phi=p\phi_1+q\phi_2 and E(p\nu_1+q\nu_2|\mu)\le p\nu_1(\log\phi_1)+q\nu_2(\log\phi_2).

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Some notations

7. Let f be an Anosov diffeomorphism and g\in\mathcal{U}(f) be close enough, which leads to a Holder continuous conjugate h_g:M\to M with g\circ h_g=h_g\circ f. Ruelle found an explicit formula of h_g.

Let f,g:M\to M be two homeomorphisms, d(f,g)=\sup_M d(fx,gx), and \mathcal{U}(f,\epsilon)=\{g \text{ homeo and }d(f,g)<\epsilon\}. Let g\in \mathcal{U}(f,\epsilon). Then the map X_g:x\in M \mapsto \exp^{-1}_{fx}(gx)\in T_{fx}M gives a shifted-vector field on M, which induces a diffeomorhism \mathcal{U}(f,\epsilon)\to \mathcal{X}(0_f,\epsilon), g\mapsto X_g.
Let f be a C^r diffeomprhism. Then \mathcal{X}^r(0_f,\epsilon)\to \mathcal{U}^r(f,\epsilon), g\mapsto X_g induces the local Banach structure and turns \mathrm{Diff}^r(M) into a Banach manifold.

Let X_g\circ f^{-1}=X_g^s+X_g^u be the decomposition of the correction X_g\circ f^{-1} with respect to the hyperbolic splitting TM= E_g^s\oplus E_g^u. Then the derivative of g\mapsto h_g in the direction of X_g is given by the vector field \displaystyle \sum_{n\ge 0}Dg^n X^s_g-\sum_{n\ge1}Dg^{-n}X^u_g.

6. Let M be a compact orientable surface of genus g\ge1, s\ge1 and let \Sigma=\{p_1,\cdots,p_s\} be a subset of M. Let \kappa= (\kappa_1,\cdots,\kappa_s) be a s-tuple of positive integers with \sum (\kappa_i-1) =2g-2.

A translation structure on (M,\Sigma) of type \kappa is an atlas on M\backslash\Sigma
for which the coordinate changes are translations, and such that each singularity p_i
has a neighborhood which is isomorphic to the \kappa_i-fold covering of a neighborhood
of 0 in \mathbb{R}^2\backslash\{0\}.

The Teichmüller space Q_{g,\kappa}= Q(M,\Sigma,\kappa) is the set of such structures modulo isotopy relative to \Sigma. It has a canonical structure of manifold.

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Area of the symmetric difference of two disks

This post goes back to high school: the area \delta_d of the symmetric difference of two d-dimensional disks when one center is shifted a little bit. Let’s start with d=1. So we have two intervals [-r,r] and [x-r,x+r]. It is easy to see the symmetric difference is of length \delta_1(x)=2x.

Then we move to d=2: two disks L and R of radius r and center distance x=2a<r. So the angle \theta(x) satisfies \cos\theta=\frac{a}{r}.

difference

The symmetric difference is the union of R\backslash L and L\backslash R, which have the same area: \displaystyle (\pi-\theta)r^2+2x\sqrt{r^2-x^2}-\theta r^2=2(\frac{\pi}{2}-\arccos\frac{x}{r})r^2+2x\sqrt{r^2-x^2}. Note that the limit
\displaystyle \lim_{x\to0}\frac{\text{area}(\triangle)}{2a}=\lim_{a\to0}2\left(\frac{r^2}{\sqrt{1-\frac{a^2}{r^2}}}\cdot\frac{1}{r}+\sqrt{r^2-a^2}\right)=4r.
So \delta_2(x)\sim 4rx.

I didn’t try for d\ge3. Looks like it will start with a linear term 2d r^{d-1}x.

—————–

Now let {\bf r}(t)=(a\cos t,\sin t) be an ellipse with a>1, and {\bf r}'(t)=(-a\sin t,\cos t) be the tangent vector at {\bf r}(t). Let \omega be the angle from {\bf j}=(0,1) to {\bf r}'(t).
Let s(t)=\int_0^t |{\bf r}'(u)|du be the arc-length parameter and K(s)=|{\bf l}''(s)| be the curvature at {\bf l}(s)={\bf r}(t(s)). Alternatively we have \displaystyle K(t)=\frac{a}{|{\bf r}'(t)|^{3}}.

ellipse

The following explains the geometric meaning of curvature:

\displaystyle K(s)=\frac{d\omega}{ds}, or equivalently, K(s)\cdot ds=d\omega. (\star).

Proof. Viewed as functions of t, it is easy to see that (\star) is equivalent to K(t)\cdot \frac{ds}{dt}=\frac{d\omega}{dt}.

Note that \displaystyle \cos\omega=\frac{{\bf r}'(t)\cdot {\bf j}}{|{\bf r}'(t)|}=\frac{\cos t}{|{\bf r}'(t)|}. Taking derivatives with respect to t, we get
\displaystyle -\sin\omega\cdot\frac{d\omega}{dt}=-\frac{a^2\sin t}{|{\bf r}'(t)|^3}. Then (\star) is equivalent to

\displaystyle \frac{a}{|{\bf r}'(t)|^{3}}\cdot |{\bf r}'(t)|=\frac{a^2\sin t}{\sin\omega\cdot |{\bf r}'(t)|^3}, or
\displaystyle \sin\omega\cdot |{\bf r}'(t)|=a\sin t. Note that \displaystyle \sin^2\omega=1-\cos^2\omega=1-\frac{\cos^2 t}{|{\bf r}'(t)|^2}. Therefore \displaystyle \sin^2\omega\cdot |{\bf r}'(t)|^2= |{\bf r}'(t)|^2-\cos^2 t=a^2\sin^2 t, which completes the verification.

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Invariant subsets of ACIP of partially hyperbolic diffeomorphism

4. (Notes from the paper Stable ergodicity for partially hyperbolic attractors with negative central exponents)
Let f\in\mathrm{Diff}^1(M) and L be a partially hyperbolic attractor. Then there exists a C^1 neighborhood \mathcal{U}\ni f such that every g\in\mathcal{U} possesses a partially hyperbolic attractor L_g near L. Moreover assume f_n\in\mathrm{Diff}^2(M)\to f\in\mathrm{Diff}^2(M) with Gibbs u-states \mu_n on L_n, then any weak limit is a Gibbs u-state on L.

Let \mu be an ergodic Gibbs u-state with negative central Lyapunov exponents. Then there exist an open set U such that \mu(U\Delta B(\mu))=0. The analog doesn’t hold for Gibbs u-states with positive central Lyapunov exponents, since the stable and unstable directions play different roles in dissipative systems.
Proof. We build a magnet K over A_r\cap F^u(x,\delta) with fiber W^s(\cdot,r). Then every nearby point y\in L with Birkhoff-regular plaque F^u(y,2\delta), the intersection F^u(y,2\delta)\cap K has positive leaf volume, and some point in there must be Birkhoff-regular, say p\in W^s(q,r) for some q\in A_r\cap F^u(x,\delta). Then Hopf test: for any z\in F^u(y,2\delta), \phi_-(z)=\phi_-(p)=\phi_+(p)=\phi_+(q)=\phi_-(q)=\phi_-(x). So all Birkhoff-regular plaques lie in the same ergodic omponent.

Moreover suppose \mu is the unique Gibbs u-state of (f,L). Then there exists a C^2 neighborhood \mathcal{U}\ni f such that for every g\in\mathcal{U}, (g,L_g) possesses a unique Gibbs u-state \mu_g. Moreover \mu_g has only negative central Lyapunov exponents and \mu_g\to \mu as g\to f. So we say (f,L,\mu) is stably ergodic. Since all these measures are hyperbolic, further analysis shows that (f,L,\mu) is indeed stably Bernoulli.

The key property they listed there is: for every \delta>0, there exists r>0 and \epsilon>0 depending continuously of f such that

– for every regular point x with \chi(x)\cap[-\delta,\delta]=\emptyset, the frequency of times n such that the size of local Pesin manifolds at f^nx is larger than r is larger than \epsilon.

– Moreover, for every ergodic hyperbolic measure \mu with \chi(\mu)\cap[-\delta,\delta]=\emptyset, theand hence the set A_r of points with large Pesin manifolds has positive measure: by Kac’s formula, \displaystyle \mu(A_r)=\int\frac{1}{n}\sum_{0\le k < n}1_{A_r}(x)d\mu\ge \epsilon.

3. In the continued paper here fundamental domains have been found for many invariant subsets, in particular for the set of (Birkhoff) heteroclinic points H_f(\mu,\nu)=B(\mu,f)\cap B(\nu,f^{-1}) (see Theorem 3.2 there, where \mu\neq \nu). It is unknown if the argument can be carried out to the set of (Birkhoff) homoclinic points H_f(\mu)=B(\mu,f)\cap B(\mu,f^{-1}) (for general invariant but nonergodic measure \mu). Here is an example where there does exist a fundamental domain. Consider a flow on the plate D with spiraling source o in the center and two saddles p,q at the corners.

fundhomo

Bowen

The second picture is from here, and is called Bowen eye-like attractor. Suppose the dynamics is symmetric and V_f(x)=\mu=\frac{\delta_p+\delta_q}{2} for every x\in D^o\backslash\{o\}, where f is the time-1 map. Then it is easy to see that there exists a fundamental domain E of B(f,\mu). We can blow up the center, identify the corresponding boundaries of two copies and reverse the flow direction on the second copy. Then the subset E turns out to be a fundamental domain of the set of (Birkhoff) homoclinic points H_{\hat f}(\mu).

2. Let f:M\to M be a C^2 partially hyperbolic diffeomorphism, \mu be an Absolutely Continuous, Invariant Probability measure. That is, the density function \phi=\frac{d\mu}{dm} is well defined in L^1(m), and the set E_\mu=\{x\in M:\phi(x)>0\} is well defined in the measure-class of \mathcal{M}(m).

It is proved (Proposition 3, here) that E_\mu is bi-essentially saturated (by a density argument). Similar argument shows that every invariant subset of E_\mu is also bi-essentially saturated. At that time I thought the classical Hopf argument can only claim the bi-essential \mu-saturation of E_\mu, and Proposition 3 might be out of the range of Hopf argument. Now it seems this is not the case if we combine some results in Gibbs u-measures, which states, for example, the conditional measures \mu_{W^u(x)} of \mu with respect to the unstable foliation \mathcal{W}^u is not only abs. cont., but also smooth: the canonical density (see here) \rho^u_{\text{can}}(x,y)=\frac{d\mu_{W^u(x)}(y)}{dm_{W^u(x)}} is Holder, bounded and bounded away from zero, since ACIP is automatically a Gibbs u-measure.

So let E be an invariant subset of E_\mu. Then Hopf argument implies that

  • \mu_{W^u(x)}(E\backslash W^u(x))=0 for \mu-a.e. x\in E, or equivalently,
  • m_{W^u(x)}(E\backslash W^u(x))=0 for \mu-a.e. x\in E (by the previous observation), and moreover
  • m_{W^u(x)}(E\backslash W^u(x))=0 for m-a.e. x\in E (since \mu\simeq m on E_\mu).
  • Then a standard argument shows that E is essentially u-saturated. Similarly ACIP is automatically a Gibbs s-measure and E is essentially s-saturated. This shows that E is bi-essentially saturated by Hopf argument and Gibbs theory.

    1. Let W be a plaque of the Pesin unstable manifold of f, and consider a function \rho(x) with the property that \displaystyle \frac{\rho(x)}{\rho(y)}=\prod_{k\ge1}\frac{J^u(f,f^{-k}y)}{J^u(f,f^{-k}x)} for all x,y\in W, and the normalizing condition \int_W \rho\,dm_W=1. Let \mu=\rho m_W be the induced probability on W. It is conditionally invariant under f: Consider its pushforward f\mu=\eta m_{fW}. Then: \mu(A)=(f\mu)(fA)=\int_{fA}\eta(y) dm_{fW}(y)=\int_{A}\eta(fx)\cdot J^u(f,x)dm_W(x) for any A\subset W. Hence \rho(x)=\eta(fx)\cdot J^u(f,x). In particular \displaystyle \frac{\eta(fx)}{\eta(fy)}=\frac{\rho(x)}{\rho(y)}\cdot\frac{J^u(f,y)}{J^u(f,x)}=\frac{\rho(fx)}{\rho(fy)}.
    Then by definition, both \rho and \eta induce probabilities and must coincide:
    f(\rho\cdot m_W)=(\rho\circ f)\cdot m_{fW}. Such measures are called the leafwise u-Gibbs measures.

    Minimal but non-ergodic volume-preserving systems

    In this post we will describe the example constructed by Furstenberg, a volume-preserving diffeomorphism f\in\mathrm{Diff}^{\omega}_m(\mathbb{T}^2) which is minimal, but not ergodic. See also Parry’s book Topics in Ergodic Theory.

    Let \alpha be an irrational number and R_\alpha:\mathbb{T}\to\mathbb{T} be the irrational rotation. Let r:\mathbb{T}\to\mathbb{R} be a smooth function, which induces a skew-product f:\mathbb{T}^2\to\mathbb{T}^2, (x,y)\mapsto (x+\alpha,y+r(x)). Consider the following cohomological equation:

    (*)      \phi(x+\alpha)=e^{2\pi ik\cdot r(x)}\cdot\phi(x),
    (@)      \phi(x+\alpha)=k\cdot r(x)+\phi(x).

    Remark 1. Viewed (@) as a real-valued equation, there is an obstruction for it to admit any solution since r_0=\int r(x)dx >0. But viewed as a \mathbb{T}-valued function, the obstruction is trivial for k if k\cdot r_0 is an integer. (also nontrivial if r_0 is an irrational..)

    Proposition 1. f is not minimal, then the equation (*) has a continuous S^1-valued solution for some k\ge1.

    Proposition 2. If the equation (*) has some measurable solution for some k\neq 0, then f is not ergodic.

    Remark 2. If r(x)\equiv0.5, then such f is far from minimal and (@) has no real-valued solution for all d\neq0. But k\cdot r_0 is an integer for even number k and the equation (*) for such k admits (trivial) constant solutions.

    Theorem. By a suitable choice of \alpha and r, the above equation has a L^2-solution, but no continuous solution. In particular the corresponding system is minimal but not ergodic.

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    Uniform Ergodic Theorem

    Today I saw a paper on arxiv entitled with “semiuniform ergodic theorem”. This is the first time I saw such a theorem and I want to take a note about it.

    Let’s start with f:X\to X, a homeomorphism on a compact metric space. Let \mathcal{M}(f) be the collection of f-invariant probability measures on X. Let \phi:X\to \mathbb{R} be a continuous function. Birkhoff ergodic theorem states that the time-average \displaystyle \frac{1}{n}\sum_{k=0}^{n-1}\phi(f^kx)\to\phi^\ast(x) for almost every x\in X, where \phi^\ast is a almost every defined, measurable function.

    A special case is that \mathcal{M}(f) is a singleton. Such a map is called uniquely erogdic. In this case the time-average converges uniformly to a constant \phi_f for every x\in X.

    The uniform ergodic theorem concerns an intermediate case, that \mathcal{M}(f,\phi)=\{\mu(\phi):\mu\in \mathcal{M}(f)\} is a singleton (say also \phi_f), and states that the time-average of \phi converges uniformly to a constant \phi_f for every x\in X.

    For the general case, \mathcal{M}(f,\phi) is a compact interval, say [\underline{\phi},\overline{\phi}]. Let’s show that the time average will fall close to this interval uniformly on X.

    Proof. We will derive a contradiction by assuming the contrary that, there exists \delta>0, x_k\in X and n_k\to+\infty such that \displaystyle \frac{1}{n}\sum_{i=0}^{n_k-1}\phi(f^ix_k)\notin[\underline{\phi}-\delta,\overline{\phi}+\delta] for every k\ge1. Then consider the sequence \displaystyle \frac{1}{n}\sum_{i=0}^{n_k-1}\delta{f^ix_k}. Passing to a subsequence if necessary, we can assume that it converges to some \mu\in\mathcal{M}(f), which will force \displaystyle \frac{1}{n}\sum_{i=0}^{n_k-1}\phi(f^ix_k)\to a\in[\underline{\phi},\overline{\phi}] and contradict the choice of (x_k,n_k). Q.E.D.

    Then let’s consider a subadditive sequence \Phi=\{\phi_n:n\ge1\}. Denote \mu(\Phi)=\inf_{n\ge1} \frac{\mu(\phi_n)}{n} and \mathcal{M}(f,\Phi)=\{\mu(\Phi):\mu\in\mathcal{M}(f)\}. Then Semiuniform Erogdic Theorem concerns one-side estimate similar to UET. It states that if \mathcal{M}(f,\Phi)\subset(-\infty,a), then there exist \delta>0 and N\ge 1 such that \displaystyle\frac{\phi_n(x)}{n}\le a-\delta for every n\ge N, and every x\in X.

    Proof. We will derive a contradiction by assuming the contrary that, for each k\ge1, there exist x_k\in X and n_k\to+\infty such that \displaystyle \frac{1}{n}\Phi_{n_k}(x_k)\ge a-1/k for every k\ge1. Then consider the sequence \displaystyle \frac{1}{n}\sum_{i=0}^{n_k-1}\delta{f^ix_k}. Passing to a subsequence if necessary, we can assume that it converges to some \mu\in\mathcal{M}(f). Then we use a common trick to show \mu(\Phi)\ge a and hence contradicts the choice of a. Note that it suffices to show \mu(\phi_N)/N \ge a for each N\ge1. From now on let’s fix N\ge1.

    Let 0\le i\le N-1 and decompose n_k=i+b_iN+a_i for some 0\le a_i\le N-1. So \displaystyle \phi_{n_k}(x_k)\le \phi_i(x_k)+\sum_{j=0}^{b_i-1}\phi_N(f^{jN+i}x_k)+\phi_{a_i}(f^\ast x_k). Summing over i and divide both sides by b_iN^2, we get
    displaystyle \frac{\phi_{n_k}(x_k)}{b_iN}\le\frac{A_N}{b_i}+\frac{1}{b_iN^2}\sum_{j=0}^{b_iN-1}\phi_N(f^j x_k)+\frac{A_N}{b_i}. Now passing k\to\infty we get b_i\to\infty and hence \displaystyle a\le \liminf_{k\to\infty} \frac{\phi_{n_k}(x_k)}{b_iN}\le\frac{\mu(\phi_N)}{N}. Q.E.D.

    Basic set of a smooth flow: Bowen’s trichotomy

    This is a note taken from Bowen, Periodic Orbits for Hyperbolic Flows, American Journal of Mathematics (1972), 1–30.

    We start with Anosov dichotomy:

    Let f:M\to M be a transitive Anosov flow. Then

    1. either it is mixing: then strong stable and strong unstable manifold everywhere dense on M
    2. or it is a suspension: choose the closure of a non-dense stable manifold as a cross-section and the induced roof-function is constant.

    Anosov proved this in volume-preserving case and Plante proved it for the general case (Anosov flows, 1972).

    Let M be a closed manifold and \phi_t:M\to M be a C^1 flow. Let \Omega be a closed, invariant subset without fixed points, that is, the vector field of \phi does not admits zeros on \Omega. Then \Omega is said to be a basic set of \phi if
    (\Omega,\phi_t) is (topologically) transitive and hyperbolic,
    – close orbits are dense in \Omega
    (\Omega,\phi_t) is isolated: \Omega=\bigcap_{\mathbb{R}}\phi_t(U) for some open neighborhood U of \Omega.
    The last one is equivalent to the local product structure.

    Theorem 3.2 in [B]. There are three mutually exclusive types:
    1. \Omega consists of a single closed orbit of \phi;
    2. the strong stable manifold W^s(p) is dense in \Omega for for each p\in\Omega;
    3. (\Omega,\phi_t) is the constant suspension of a Axiom A homeomorphism.

    As remarked by Bowen, this is first proved by Anosov for volume-preserving Anosov flow, by Plante for general Anosov flow. We should view the following as a proof for Anosov flow case for first reading, and then take the induced topology on \Omega for basic sets.

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