Entropy along expanding foliations

DOI10.1016/J.AIM.2021.107893MaRDI QIDQ2048610zbMATH OpenOpenAlexFDO

Publication date 23 August 2021

Published in Advances in Mathematics (Search for Journal in Brave)

Full work available at URL https://arxiv.org/abs/1601.05504

expanding foliation Gibbs state partial entropy partially hyperbolic diffeomorphism

Entropy and other invariants (28D20) Entropy and other invariants, isomorphism, classification in ergodic theory (37A35) Dynamical systems involving smooth mappings and diffeomorphisms (37C05) Invariant manifold theory for dynamical systems (37D10) Partially hyperbolic systems and dominated splittings (37D30) Thermodynamic formalism, variational principles, equilibrium states for dynamical systems (37D35)

Abstract: The (measure-theoretical) entropy of a diffeomorphism along an expanding invariant foliation is the rate of complexity generated by the diffeomorphism along the leaves of the foliation. We prove that this number varies upper semi-continuously with the diffeomorphism (

C^{1}

topology), the invariant measure (weak* topology) and the foliation itself in a suitable sense. This has several important consequences. For one thing, it implies that the set of Gibbs

u

-states of

C^{1 +}

partially hyperbolic diffeomorphisms is an upper semi-continuous function of the map in the

C^{1}

topology. Another consequence is that the sets of partially hyperbolic diffeomorphisms with mostly contracting or mostly expanding center are

C^{1}

open. New examples of partially hyperbolic diffeomorphisms with mostly expanding center are provided, and the existence of physical measures for

C^{1}

residual subset of diffeomorphisms are discussed. We also provide a new class of robustly transitive diffeomorphisms: every

C^{2}

volume preserving, accessible partially hyperbolic diffeomorphism with one dimensional center and non-vanishing center exponent is

C^{1}

robustly transitive (among neighborhood of diffeomorphisms which are not necessarily volume preserving).

Review text

Let \(f\) be a diffeomorphism on a manifold \(M\) and \(\mu\) be an invariant probability measure of \(f\). The continuous foliation \(\mathcal{F}\) with smooth leaves is expanding for \(f\) if it is invariant under the iteration of \(f\) and the derivative \(Df\) restricted to the tangent bundle of \(\mathcal{F}\) is uniformly expanding. Let \(\mathcal{F}\) be a foliation of \(M\) with dimension \(l\), that is, every leaf is a \(l\)-dimensional smooth immersed submanifold. An \(\mathcal{F}\)-foliation box is the image \(B\) of a topological embedding \(\Phi\;:\; \mathcal{D}^{d-l} \times \mathcal{D}^l \longrightarrow M\), where \(\mathcal{D}^l \) is the \(l\)-dimensional open unit disk of \(\mathbb{R}^l\), such that every plaque \(P_x = \Phi(\{x\} \times \mathcal{D}^l )\) is contained in a leaf of \(\mathcal{F}\), and every \(\Phi(x,.) \;:\; y \in\mathcal{D}^l \mapsto \Phi(x,y) \in M\) is a \(C^1\) embedding depending continuously on \(x\) in the \(C^1\) topology. We put \(D = \Phi( \mathcal{D}^{d-l} \times\{0\})\), and denote this foliation box by \((B, \Phi, D)\). We say that the sequence of \(l\)-dimensional foliations \(\mathcal{F}_n\) converge to \(\mathcal{F}\) if: (1) For each \(n\) there exists a finite cover of \(M\) by \(\mathcal{F}_n\)-foliation boxes \(\{(B_i^n , \Phi_i^n , D_i) \}_{i=1}^k\); (2) For each \(1 \leq i \leq k\) the topological embeddings \(\Phi_i^n \;:\; \mathcal{D}^{d-l} \times \mathcal{D}^l \longrightarrow M\) converge uniformly to \(\Phi_i\) in the \(C^0\) topology; (3) For every \(x \in D_i, 1 \leq i \leq k,\) \(\Phi^n(x,\cdot) \;:\; y \in\mathcal{D}^l \mapsto \Phi^n(x,y) \in M\) is a \(C^1\) embedding which converges to \(\Phi(x,.)\) in the \(C^1\) topology as \(n \longrightarrow +\infty\). A measurable partition \(\xi\) of \(M\) is \(\mu\)-subordinate to the \(\mathcal{F}\)-foliation if for \(\mu-a.e. x\), we have: (1) \(\xi(x) \subset \mathcal{F}(x)\) and \(\xi(x)\) has uniformly small diameter inside \(\mathcal{F}(x)\) (\(\xi\) the element of \(\xi\) which contains \(x\)); (2) \(\xi(x)\) contains an open neighborhood of \(x\) inside the leaf \(\mathcal{F}(x)\); (3) \(\xi\) is an increasing partition, that is, \(f\xi \prec \xi\). According to Ledrappier-Young's Lemma [\textit{F. Ledrappier} and \textit{L. S. Young}, Ann. Math. (2) 122, 509--539 (1985; Zbl 0605.58028); \textit{F. Ledrappier} and \textit{L. S. Young}, Ann. Math. (2) 122, 540--574 (1985; Zbl 1371.37012)], for any expanding foliation, its entropy \(h_\mu(f,\xi)\) with respect to any measurable partition \(\xi\) \(\mu\)-subordinate to \(\mathcal{F}(x)\) is independent from \(\xi\). We thus define the partial \(\mu\)-entropy \(h_\mu (f,\mathcal{F})\) of the expanding foliation \(\mathcal{F}\) by putting \(h_\mu (f,\mathcal{F})=h_\mu (f, \xi)\) for any \(\mu\)-subordinate partition. We recall that the diffeomorphism \(f\) is said to be partially hyperbolic if there exists a decomposition \(TM = E_s \oplus E_c \oplus E_u\) of the tangent bundle \(TM\) into three continuous invariant subbundles \(E_x^s\) and \(E_x^c\) and \(E_x^u\), such that \(Df|_{E s}\) is uniform contraction, \(Df|_{E_u}\) is uniform expansion and \(Df|_{E_c}\) lies in between: \[\frac{\big\|Df(x)v^s\big\|}{\big\|Df(x)v^c\big\|} \leq \frac12 ~~\textrm{and}~~ \frac{\big\|Df(x)v^c\big\|}{\big\|Df(x)v^u\big\|} \leq \frac12,\] for any unit vectors \(v^s \in E_x^s , v^c \in E_x^c , v^u \in E_x^u\) and any \(x \in M\). The stable subbundle \(E_s\) and the unstable subbundle \(E_u\) are uniquely integrable, that is, there are unique foliations: the stable foliation \(\mathcal{F}_s\) and the unstable foliation \(\mathcal{F}_s\), whose leaves are smooth immersed submanifolds of \(M\) tangent to \(E_s\) and \(E_u\), respectively, at every point. The unstable and stable foliations are expanding foliations for the partially hyperbolic diffeomorphism and its inverse respectively. We recall also that the Gibbs \(u\)-state is any invariant probability measure whose conditional probabilities along strong unstable leaves \(\mathcal{F}^u\) are absolutely continuous with respect to the Lebesgue measure on the leaves. In this setting, the author proves that the partial entropy is semi-continuous, that is, \[\limsup h_{\mu_n}(f_n,\mathcal{F}_n) \leq h_\mu(f,\mathcal{F}).\] (This is exactly Theorem A of the paper with a correction of a misprint). As a consequence, he establishes that the space of the Gibbs \(u\)-states varies upper semi-continuously among the \(C^{1+}\) partially hyperbolic diffeomorphisms in the \(C^1\) topology. This yields that the sets of partially hyperbolic diffeomorphisms with mostly contracting center or mostly expanding center are \(C^1\) open.

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