We show that, for every compact n-dimensional manifold, n\geq 1, there is a residual subset of Diff^1(M) of diffeomorphisms for which the homoclinic class of any periodic saddle of f verifies one of the following two possibilities: Either it is contained in the closure of an infinite set of sinks or sources (Newhouse phenomenon), or it presents some weak form of hyperbolicity called dominated splitting (this is a generalization of a bidimensional result of Mane [Ma3}). In particular, we show that any C^1 -robustly transitive diffeomorphism admits a dominated splitting.
We prove that any diffeomorphism of a compact manifold can be approximated in topology C1 by another diffeomorphism exhibiting a homoclinic bifurcation (a homoclinic tangency or a heterodimensional cycle) or by one which is essentially hyperbolic (it has a finite number of transitive hyperbolic attractors with open and dense basin of attraction).
We show that time-one maps of transitive Anosov flows of compact manifolds are accumulated by diffeomorphisms robustly satisfying the following dichotomy: either all of the measures of maximal entropy are non-hyperbolic, or there are exactly two ergodic measures of maximal entropy, one with a positive central exponent and the other with a negative central exponent. We establish this dichotomy for certain partially hyperbolic diffeomorphisms isotopic to the identity whenever both of their strong foliations are minimal. Our proof builds on the approach developed by Margulis for Anosov flows wher…
We investigate singular perturbation problems caused by small delays in the view of pseudo-exponential dichotomy. For a general linear non-autonomous retarded differential equation with small delay, previous works established the existence of a pseudo-exponential dichotomy. The main objective of this paper is to give a detailed analysis of three splitting properties of this dichotomy. By obtaining serval new estimates and giving the explicit expressions of the bounds and the exponents associated with this dichotomy, we prove that as the delay tends to zero, the spectral gap approaches to infin…
In this paper we obtain two criteria of stable ergodicity outside the partially hyperbolic scenario. In both criteria, we use a weak form of hyperbolicity called chain-hyperbolicity. It is obtained one criterion for diffeomorphisms with dominated splitting and one criterion for weakly partially hyperbolic diffeomorphisms. As an application of one of these criteria, we obtain the $C^1$-density of stable ergodicity inside a certain class of weakly partially hyperbolic diffeomorphisms.
Metric entropies along a hierarchy of unstable foliations are investigated for $C^1$ diffeomorphisms with dominated splitting. The analogues of Ruelle's inequality and Pesin's formula, which relate the metric entropy and Lyapunov exponents in each hierarchy, are given.
We obtain the following dichotomy for accessible partially hyperbolic diffeomorphisms of 3-dimensional manifolds having compact center leaves: either there is a unique entropy maximizing measure, this measure has the Bernoulli property and its center Lyapunov exponent is 0 or, there is a finite number of entropy maximizing measures, all of them with nonzero center Lyapunov exponent (at least one with negative exponent and one with positive exponent), that are finite extensions of a Bernoulli system. In the first case of the dichotomy we obtain that the system is topologically conjugated to a r…
We study the existence of SRB measures of C 2 diffeomorphisms for attractors whose bundles admit Holder continuous invariant (non-dominated) splittings. We prove the existence when one subbundle has the non-uniform expanding property on a set with positive Lebesgue measure and the other subbundle admits non-positive Lyapunov exponents on a total probability set.
We study the Ruelle dynamical determinant of a real analytic diffeomorphism on a compact surface, assuming that the tangent space over the nonwandering set admits a dominated splitting. Combining previous work of Pujals and Sambarino with methods introduced by Rugh, we show that the determinant is either entire or holomorphic in a (possibly multiply) slit plane.
Let $f$ be a $C^1$-diffeomorphism and $μ$ be a hyperbolic ergodic $f$-invariant Borel probability measure with positive measure-theoretic entropy. Assume that the Oseledec splitting $$T_xM=E_1(x) \oplus\cdots\oplus E_s(x) \oplus E_{s+1}(x) \oplus\cdots\oplus E_l(x) $$ is dominated on the Oseledec basin $Γ$. We give extensions of Katok's Horseshoes construction. Moreover there is a dominated splitting corresponding to Oseledec subspace on horseshoes.
In this paper, we provide a technique result on the existence of Gibbs cu-states for diffeomorphisms with dominated splittings. More precisely, for given $C^2$ diffeomorphim $f$ with dominated splitting $T_ΛM = E\oplus F$ on an attractor $Λ$, by considering some suitable random perturbation of $f$, we show that for any zero noise limit of ergodic stationary measures, if it has positive integrable Lyapunov exponents along invariant sub-bundle $E$, then its ergodic components contain Gibbs cu-states associated to $E$. With this technique, we show the existence of SRB measures and physical measur…
Let Diff^1(M) be the set of all C^1-diffeomorphisms f : M \rightarrow M, where M is a compact boundaryless d-dimensional manifold, d \geq 2. We prove that there is a residual subset R of Diff^1(M) such that if f \in R and if H(p) is the homoclinic class associated with a hyperbolic periodic point p, then either H(p) admits a dominated splitting of the form E\oplusF1 \oplus...\oplusFk \oplusG, where Fi is not hyperbolic and one-dimensional, or f|H(p) has no symbolic extensions.
We prove that the statistical properties of random perturbations of a nonuniformly hyperbolic diffeomorphism are described by a finite number of stationary measures. We also give necessary and sufficient conditions for the stochastic stability of such dynamical systems. We show that a certain $C^2$-open class of nonuniformly hyperbolic diffeomorphisms introduced in [Alves, J; Bonatti, C. and Viana, V., SRB measures for partially hyperbolic systems with mostly expanding central direction, Invent. Math., 140 (2000), 351-398] are stochastically stable. Our setting encompasses that of partially hy…
We prove three formulas for computing topological pressure of $C^1$-generic conservative diffeomorphism and show the continuity of topological pressure with respect to these diffeomorphisms. We prove for these generic diffeomorphisms that there is no equilibrium states with positive measure theoretic entropy. In particular, for hyperbolic potentials, there is no equilibrium states. For $C^1$ generic conservative diffeomorphism on compact surfaces with no dominated splitting and $ϕ_m(x):=-\frac{1}{m}\log \Vert D_x f^m\Vert, m \in \mathbb{N}$, we show that there exist equilibrium states with zer…
Let $M$ be an $m$-dimensional differentiable manifold with a nontrivial circle action ${\mathcal S}= {\lbrace S_t \rbrace}_{t \in\RR}, S_{t+1}=S_t$, preserving a smooth volume $μ$. For any Liouville number $\a$ we construct a sequence of area-preserving diffeomorphisms $H_n$ such that the sequence $H_n\circ S_\a\circ H_n^{-1}$ converges to a smooth weak mixing diffeomorphism of $M$. The method is a quantitative version of the approximation by conjugations construction introduced in \cite{AK}. For $m=2$ and $M$ equal to the unit disc $\DD^2=\{x^2+y^2\leq 1\}$ or the closed annulus $\AAA=\TT\tim…
We obtain a dichotomy for $C^1$-generic, volume-preserving diffeomorphisms: either all the Lyapunov exponents of almost every point vanish or the volume is ergodic and non-uniformly Anosov (i.e. nonuniformly hyperbolic and the splitting into stable and unstable spaces is dominated). This completes a program first put forth by Ricardo Mañé.
In this paper we study R-reversible area-preserving maps f on a two-dimensional Riemannian closed manifold M, i.e. diffeomorphisms f such that Ro f=f^{-1}o R where R is an isometric involution on M. We obtain a C1-residual subset where any map inside it is Anosov or else has a dense set of elliptic periodic orbits. As a consequence we obtain the proof of the stability conjecture for this class of maps. Along the paper we also derive the C1-closing lemma for reversible maps and other perturbation toolboxes.
We study generic volume-preserving diffeomorphisms on compact manifolds. We show that the following property holds generically in the $C^1$ topology: Either there is at least one zero Lyapunov exponent at almost every point, or the set of points with only non-zero exponents forms an ergodic component. Moreover, if this nonuniformly hyperbolic component has positive measure then it is essentially dense in the manifold (that is, it has a positive measure intersection with any nonempty open set) and there is a global dominated splitting. For the proof we establish some new properties of independe…
For $C^1$ diffeomorphisms, we prove that the Pesin's entropy formula holds for some invariant measure supported on any topological attractor that admits a dominated splitting without mixed behavior. We also prove Shub's entropy conjecture for diffeomorphisms having such kind of splittings.
For any C1 diffeomorphism with dominated splitting we consider a nonempty set of invariant measures which describes the asymptotic statistics of Lebesgue-almost all orbits. They are the limits of convergent subsequences of averages of the Dirac delta measures supported on those orbits. We prove that the metric entropy of each of these measures is bounded from below by the sum of the Lyapunov exponents on the dominating subbundle. As a consequence, if those exponents are non negative, and if the exponents on the dominated subbundle are non positive, those measures satisfy the Pesin Entropy Form…
A classical construction due to Newhouse creates horseshoes from hyperbolic periodic orbits with large period and weak domination through local $C^1$-perturbations. Our main theorem shows that, when one works in the $C^1$ topology, the entropy of such horseshoes can be made arbitrarily close to an upper bound deriving from Ruelle's inequality, i.e., the sum of the positive Lyapunov exponents (or the same for the inverse diffeomorphism, whichever is smaller). Adapting classical techniques, we use perturbations that are local and can be chosen to preserve volume or symplectic form or a homoclini…
We prove that every robustly transitive and every stably ergodic symplectic diffeomorphism on a compact manifold admits a dominated splitting. In fact, these diffeomorphisms are partially hyperbolic.
We introduce a new notion called generalized dominated splitting which is weaker than classical dominated splitting. We use this notion to generalize a result of Zhang\cite{Zh}: every diffeomorphism with nontrivial global generalized dominated splitting can not be minimal.
We show a fibre-preserving self-diffeomorphism which has hyperbolic splittings along the fibres on a compact principal torus bundle is topologically conjugate to a map that is linear in the fibres.
We study generic diffeomorphisms with a homoclinc class with non empty interior and in particular those admitting a codimension one dominated splitting. We prove that if in the finest dominated splitting the extreme subbundles are one dimensional then the diffeomorphism is partially hyperbolic and from this we deduce that the diffeomorphism is transitive.
Recent works related to Palis conjecture of J. Yang, S. Crovisier, M. Sambarino and D. Yang showed that any aperiodic class of a $C^1$-generic diffeomorphism far away from homoclinic bifurcations (or homoclinic tangencies) is partially hyperbolic. We show in this paper that, generically, a non-trivial dominated splitting implies partial hyperbolicity for an aperiodic class if it is Lyapunov stable. More precisely, for $C^1$-generic diffeomorphisms, if a Lyapunov stable aperiodic class has a non-trivial dominated splitting $E\oplus F$, then one of the two bundles is hyperbolic (either $E$ is co…
We consider families of diffeomorphisms with dominated splittings and preserving a Borel probability measure, and we study the regularity of the Lyapunov exponents associated to the invariant bundles with respect to the parameter. We obtain that the regularity is at least the sum of the regularities of the two invariant bundles (for regularities in $[0,1]$), and under suitable conditions we obtain formulas for the derivatives. Similar results are obtained for families of flows, and for the case when the invariant measure depends on the map. We also obtain several applications. Near the time on…
In these expository notes, we give a proof of regularity of Anosov splitting for Anosov diffeomorphisms in a torus. We also generalize the idea to higher dimensions and to Anosov flows.
We show that diffeomorphisms with a dominated splitting of the form $E^s\oplus E^c\oplus E^u$, where $E^c$ is a nonhyperbolic central bundle that splits in a dominated way into 1-dimensional subbundles, are entropy-expansive. In particular, they have a principal symbolic extension and equilibrium states.
We show that the integrated Lyapunov exponents of $C^1$ volume preserving diffeomorphisms are simultaneously continuous at a given diffeomorphism only if the corresponding Oseledets splitting is trivial (all Lyapunov exponents equal to zero) or else dominated (uniform hyperbolicity in the projective bundle) almost everywhere. We deduce a sharp dichotomy for generic volume preserving diffeomorphisms on any compact manifold: almost every orbit either is projectively hyperbolic or has all Lyapunov exponents equal to zero. Similarly, for a residual subset of all $C^1$ symplectic diffeomorphisms on…
For any $θ, ω> 1/2$ we prove that, if any $d$-pseudotrajectory of length $\sim 1/d^ω$ of a diffeomorphism $f\in C^2$ can be $d^θ$-shadowed by an exact trajectory, then $f$ is structurally stable. Previously it was conjectured by Hammel-Grebogi-Yorke that for $θ= ω= 1/2$ this property holds for a wide class of non-uniformly hyperbolic diffeomorphisms. In the proof we introduce the notion of sublinear growth property for inhomogenious linear equations and prove that it implies exponential dichotomy.
Let $f:M\rightarrow M$ be a $C^1$ diffeomorphism with a dominated splitting on a compact Riemanian manifold $M$ without boundary. We state and prove several sufficient conditions for the topological entropy of $f$ to be positive. The conditions deal with the dynamical behaviour of the (non-necessarily invariant) Lebesgue measure. In particular, if the Lebesgue measure is $δ$-recurrent then the entropy of $f$ is positive. We give counterexamples showing that these sufficient conditions are not necessary. Finally, in the case of partially hyperbolic diffeomorphisms, we give a positive lower boun…
We construct a diffeomorphism $f$ on 2-torus with a dominated splitting $E \oplus F$ such that there exists an open neighborhood $\mathcal{U} \ni f$ satisfying that for any $g \in \mathcal{U}$, neither $E_g$ nor $F_g$ is integrable.
We prove that the Oseledets splittings of an ergodic hyperbolic measure of a $C^{1+ r}$ diffeomorphism can be approximated by that of atomic measures on hyperbolic periodic orbits. This removes the assumption on simple spectrum in \cite{Liang} and strengthens Katok's closing lemma.
We show that the metric entropy of a $C^1$ diffeomorphism with a dominated splitting and the dominating bundle uniformly expanding is bounded from above by the integrated volume growth of the dominating (expanding) bundle plus the maximal Lyapunov exponent from the dominated bundle multiplied by its dimension. We also discuss different types of volume growth that can be associated with an expanding foliation and relationships between them, specially when there exists a closed form non-degenerate on the foliation. Some consequences for partially hyperbolic diffeomorphisms are presented.
We study 3-dimensional dynamically coherent partially hyperbolic diffeomorphisms that are homotopic to the identity, focusing on the transverse geometry and topology of the center stable and center unstable foliations, and the dynamics within their leaves. We find a structural dichotomy for these foliations, which we use to show that every such diffeomorphism on a hyperbolic or Seifert fibered 3-manifold is leaf conjugate to the time one map of a (topological) Anosov flow. This proves a classification conjecture of Hertz-Hertz-Ures in hyperbolic 3-manifolds and in the homotopy class of the ide…
For a generic conservative diffeomorphism of a 3-manifold M, the Oseledets splitting is a globally dominated splitting. Moreover, either all Lyapunov exponents vanish almost everywhere, or else the system is non-uniformly hyperbolic and ergodic. This is the 3-dimensional version of a well-known result by Mañé-Bochi, stating that a generic conservative surface diffeomorphism is either Anosov or all Lyapunov exponents vanish almost everywhere. This result inspired and answers in the positive for dimension 3 a conjecture by Avila and Bochi. We also prove that all partially hyperbolic sets with po…
We derive some new conditions for integrability of dynamically defined C^1 invariant splittings in arbitrary dimension and co-dimension. In particular we prove that every 2-dimensional C^1 invariant decomposition on a 3-dimensional manifold satisfying a volume domination condition is uniquely integrable. In the special case of volume preserving diffeomorphisms we show that standard dynamical domination is already sufficient to guarantee unique integrability.
We explore the connected/disconnected dichotomy for the Julia set of polynomial automorphisms of C^2. We develop several aspects of the question, which was first studied by Bedford-Smillie. We introduce a new sufficient condition for the connectivity of the Julia set, that carries over for certain H{é}non-like and birational maps. We study the structure of disconnected Julia sets and the associated invariant currents. This provides a simple approach to some results of Bedford-Smillie, as well as some new corollaries --the connectedness locus is closed, construction of external rays in the gene…
We prove that for every smooth compact manifold $M$ and any $r \ge 1$, whenever there is an open domain in $\mathrm{Diff}^r(M)$ exhibiting a persistent homoclinic tangency related to a basic set with a sectionally dissipative periodic saddle, topologically generic diffeomorphisms in this domain have Lyapunov unstable Milnor attractors. This implies, in particular, that the instability of Milnor attractors is locally topologically generic in $C^1$ if $\mathrm{dim}\,M \ge 3$ and in $C^2$ if $\mathrm{dim}\,M = 2$. Moreover, it follows from the results of C. Bonatti, L. J. Díaz and E. R. Pujals th…
A diffeomorphism $f$ has a $C^1$-robust homoclinic tangency if there is a $C^1$-neighbourhood $\cU$ of $f$ such that every diffeomorphism in $g\in \cU$ has a hyperbolic set $\La_g$, depending continuously on $g$, such that the stable and unstable manifolds of $\La_g$ have some non-transverse intersection. For every manifold of dimension greater than or equal to three, we exhibit a local mechanism (blender-horseshoes) generating diffeomorphisms with $C^1$-robust homoclinic tangencies. Using blender-horseshoes, we prove that homoclinic classes of $C^1$-generic diffeomorphisms containing saddles …
We study the dynamical behaviour of Hamiltonian flows defined on 4-dimensional compact symplectic manifolds. We find the existence of a C2-residual set of Hamiltonians for which every regular energy surface is either Anosov or it is in the closure of energy surfaces with zero Lyapunov exponents a.e. This is in the spirit of the Bochi-Mane dichotomy for area-preserving diffeomorphisms on compact surfaces and its continuous-time version for 3-dimensional volume-preserving flows.
The paper is devoted to finding conditions to the existence of a self-indexing energy function for Morse-Smale diffeomorphisms on a 3-manifold. These conditions involve how the stable and unstable manifolds of saddle points are embedded in the ambient manifold. We also show that the existence of a self-indexing energy function is equivalent to the existence of a Heegaard splitting of a special type with respect to the considered diffeomorphism.
We prove that any smooth volume-preserving action of a lattice $Γ$ in $\textrm{SL}(n,\mathbb{R})$, $n\ge 3$, on a closed $n$-manifold which possesses one element that admits a dominated splitting should be standard. In other words, the manifold is the $n$-flat torus and the action is smoothly conjugate to an affine action. Note that an Anosov diffeomorphism, or more generally, a partial hyperbolic diffeomorphism admits a dominated splitting. We have a topological global rigidity when $α$ is $C^{1}$. Similar theorems hold for an action of a lattice in $\textrm{Sp}(2n,\mathbb{R})$ with $n\ge 2$ …
Generalized hyperbolicity for diffeomorphisms of Banach spaces
Pontificia Universidade Catolica do Rio de Janeiro (PUC-Rio)（天主教里约热内卢 Pontifical University）；Institute of Mathematics, Statistics and Computer Science, University of São Paulo (IME-USP)（圣保罗大学数学、统计和计算机科学学院）
Let $M$ be a compact manifold and $f:\,M\to M$ be a $C^1$ diffeomorphism on $M$. If $μ$ is an $f$-invariant probability measure which is absolutely continuous relative to Lebesgue measure and for $μ$ $a.\,\,e.\,\,x\in M,$ there is a dominated splitting $T_{orb(x)}M=E\oplus F$ on its orbit $orb(x)$, then we give an estimation through Lyapunov characteristic exponents from below in Pesin's entropy formula, i.e., the metric entropy $h_μ(f)$ satisfies $$h_μ(f)\geq\int χ(x)dμ,$$ where $χ(x)=\sum_{i=1}^{dim\,F(x)}λ_i(x)$ and $λ_1(x)\geqλ_2(x)\geq...\geqλ_{dim\,M}(x)$ are the Lyapunov exponents at $x…
Given a closed smooth four-dimensional manifold, we construct a diffeomorphism that has a homoclinic class whose continuation locally generically satisfies the following condition: it does not admit any kind of dominated splittings whereas any periodic points belonging to it never have unstable index one.
We prove that if $f$ is a $C^1$-generic symplectic diffeomorphism then the Oseledets splitting along almost every orbit is either trivial or partially hyperbolic. In addition, if $f$ is not Anosov then all the exponents in the center bundle vanish. This establishes in full a result announced by R. Mañé in the ICM 1983. The main technical novelty is a probabilistic method for the construction of perturbations, using random walks.
