191101_michael_barnsley_notes
191101_michael_barnsley_notes
191101_michael_barnsley_notes
Abstract. These notes are background for a lecture at the University of New-
castle, November 2019. They relate to a new and unified theory of self-similar
tilings and iterated function systems.
1. Introduction
These notes are taken from a paper in preparation on the same topic. They
serve for now as background for a new theory of fractal tilings. This theory uses
graph iterated function systems (graph IFS) and centers on underlying symbolic
shift spaces, in a way that hopefully will be made clear in the Newcastle lecture.
The approach provides a zero dimensional representation of the intricate rela-
tionship between shift dynamics on fractals and renormalization dynamics on spaces
of tilings. The ideas I will describe unify, simplify, and substantially extend key
concepts in foundational papers by Solomyak, Anderson and Putnam, and others.
In effect, IFS theory and self-similar tiling theory are unified. These notes and
latter ideas are largely new and have not been submitted for publication.
These notes will be supported by illustrations in preparation.
See [26] for formal background on iterated function systems (IFS). We are
concerned with graph IFS as defined here, but see also [5, 9, 19, 23, 22, 28, 40].
2. Foundations
2.1. Graph iterated function systems. Let F be a finite set of invertible
contraction mappings f : RM → RM each with contraction factor 0 < λ < 1, that
is kf (x) − f (y)k ≤ λ kx − yk for all x, y ∈ RM . We suppose
F = {f1 , f2 , ..., fN } , N > 1
Let G = (E, V) be a strongly connected aperiodic directed graph with edges E and
vertices V with
E = {e1 , e2 , ..., eN } , V = {υ1 , υ2 , ..., υV } , 1 ≤ V < N
G is strongly connected means there is a path, a sequence of consecutive directed
edges, from any vertex to any vertex. G is aperiodic means that if W is the V × V
matrix whose ij th entry is the number of edges directed from vertex j to vertex i,
then there is some power of W whose entries are all strictly positive.
1
2 M. F. BARNSLEY, L. F. BARNSLEY, AND A. VINCE
We call (F, G) a graph IFS. The directed graph G provides the orders in
which functions of F may be composed. The sequence of successive directed edges
eσ1 eσ2 · · · eσk is associated with the composite function
fσ1 fσ2 · · · fσk := fσ1 ◦ fσ2 ◦ · · · ◦ fσk
The edges may be referred to by their indices {1, 2, ..., N } and the vertices by
{1, 2, ..., V }.
If σ = σ1 and k = 1, then
fσ|k ◦ π ◦ S k (σ) = fσ1 ◦ π σ1+ = fσ1 (Aσ+ ) = π (σ1 )
1
If σ ∈ Σ∞ and k ∈ N, then
fσ|k ◦ π ◦ S k (σ) = fσ1 σ2 ···σk (π(σk+1 σk+2 · · · ))
= fσ1 σ2 ···σk ( lim π(σk+1 σk+2 · · · σm ))
m→∞
= lim π(σ1 σ2 · · · σm ) = π(σ)
m→∞
Proof. (1) This is a standard result in ergodic theory, see for example [30].
(2) It is readily checked that D ∈ B and that T −1 D = D = T D.
(3) Since (Σ∞ , B, T, µ) is ergodic and D = T −1 D, it follows that µ (D) ∈ {0, 1} .
Also we have
1 = µ (Σ∞ ) = µ (D) + µ (Σ∞ \D)
So either µ (D) = 1 and µ (Σ∞ \D) = 0 or vice-versa. Now notice that
[
Σ∞ \D ⊂ Dx
x∈Σ∗ \∅
where Dx = {σ ∈ Σ∞ : S n σ ∈
/ c[x]∀n ∈ N0 } where c[x] is the cylinder set
c[x] := {z ∈ Σ∞ : z = xy, y ∈ Σ∞ } .
In particular
X
µ (Σ∞ \D) ≤ µ(Dx )
x∈Σ∗
n−1
1
f (T k σ) for all x ∈ Dx , so µ(Dx ) = 0.
R P
so f dµ 6= limn→∞ n
Σ∞ k=0
3. Tilings
3.1. Similitudes. A similitude is an affine transformation f : RM → RM of
the form f (x) = λ O(x)+q, where O is an orthogonal transformation and q ∈ RM is
the translational part of f (x). The real number λ > 0, a measure of the expansion or
contraction of the similitude, is called its scaling ratio. An isometry is a similitude
of unit scaling ratio and we say that two sets are isometric if they are related by
an isometry.
The following theorem tells us that the critical set of a tiling IFS is small, both
topologically and measure theoretically, compared to the attractor.
Theorem 5. Let (F, G) be a tiling IFS, let C be the critical set and let D be
the disjunctive points in Σ∞ .
(1)Mauldin & Williams [28] and Bedford [18] The Hausdorff dimension
DH (A) of the attractor A of (F, G) is the unique t ∈ [0, M ] such that the spectral
radius of the matrix X
Ww,v (t) = stae
{e∈E:e+ =v,e− =w}
equals one. Also 0 < µH (A) < ∞ where µH is, up to a strictly positive constant
factor, the Hausdorff measure on A.
(2) C ⊂ π(Σ∞ \D)
(3) C∩A◦ = ∅ where A◦ is the interior of A
(4) µPP (π −1 (C)) = 0 for all P.
(5) If Ww,v (t) = 1 then µH = µP ◦π −1 where µP is the stationary measure on
v
Σ∞ obtained when pe = sDH (A)ae in the Markov process described before Theorem
4. In this case
µH (C) =0
NOTES ON TILING ITERATED FUNCTION SYSTEMS 7
Proof. (1) To apply [28] there must be exactly one edge of G incoming to
each vertex, but this can always be contrived, without changing the dimension, (or
the geometries of the components of the attractor,) as we describe here. If v ∈ V
1 > 1, then introduce new vertices v (1) , v (2) , ..., v (d) and new
P
is such that d =
d+ =v
d∈E
components of the attractor Av(1) = Av(2) = ... = Av(d) = Av , and replace the d
incoming edges to v, by one incoming edge to each of the new vertices, and one
outgoing map from each of the new components of the attractor. Then translate the
coincident attractors so that they have empty intersections and modify the maps
accordingly, as above, and introducing additional maps (related to the original ones
by changes of coordinates but with the same scaling rations). This ensure that there
is exactly one inward pointing edge at each vertex of G. This reduces the present
situation to that in [28], who makes this assumption. Clearly the dimension of the
attractor is unaltered.
We also have 0 < µH (A) < ∞ by [28, Theorem 3]. Note that [28, Theorem
3] requires a different separation condition than the OSC, but both [10, Theorem
2.1] and [22] refer to [28, Theorem 3] as though the two conditions are equivalent,
and we have assumed that this is true.
(2) This is the generalization to the graph-directed case of the definitions and
argument in [7, Proposition 2.2]. We need the dynamical boundary ∂A of the
attractor A of (F, G), namely
∞
[
∂A := F|−n
G (C)∩A
n=1
3.3. Tilings in this paper. According to Grunbaum and Sheppard [25] a
tiling is a partition of R2 by closed sets. Here we consider tilings of subsets of
RM such as fractal blow-ups where tiles are components of attractors of IFSs. In
this case tiles may have empty interiors and the question of what it means for
tiles to be non-overlapping has to be answered. Here we simply say that two tiles
t1 and t2 that belong to a tiling are non-overlapping if their intersection is small
both topologically and measure theoretrically, relative to the tiles themselves. This
matches the customary situation: in a tiling of R2 such as a partition into triangles,
tiles have positive two-dimensional Lebesgue measure, intersections of distinct tiles
have zero two-dimensional Lebesgue measure, and are subsets of their topological
boundaries.
Proof.
(1) Π(θ|0) is a tiling in the sense described in Section 3.3. Π(θ|0) =
−
π Ωθ0 = π ({e ∈ [N ] : e− = θ− }) = {fe (Ae+ ) : e− = θ− } has support Ae− and
its tiles are supposed to be {fe (Ae+ ) : e− = θ− }. We need to check (i) that they are
components of attractors of tiling IFSs and (ii) that their intersections are relatively
small. (i) is true because for each e ∈ [N ], the set fe (Ae+ ) is a component of the
attractor of the tiling IFS (fe Ffe−1 , G). (ii) This follows from Theorem 5 parts (3)
and (4).
Similarly, Π(θ|k) and Π(θ) are tilings as in Section 3.3: the tiles are components
of attractors of appropriately shifted versions of the original tiling IFS and their
intersections are isometric to subsets of the critical set of the original tiling IFS.
(2) The proof is algebraic, idependent of topology, essentially the same as for
the case where Av has nonempty interior [17], and similar to the case where V = 1
[16]. Briefly,
Π(θ|k + 1) = {fθ−1
1
...fθ−1
k+1
fσ1 ..fσ|σ| (Aσ+ ) : ξ(σ1 ..σ|σ|−1 ) ≤ ξ(θ1 ..θ|σ| ) < ξ(σ1 ..σ|σ| )}
|σ|
⊃ {fθ−1
1
...fθ−1
k
fσ2 ..fσ|σ| (Aσ+ ) : ξ(σ2 ..σ|σ|−1 ) ≤ ξ(θ2 ..θ|σ| ) < ξ(σ2 ..σ|σ| )}
|σ|
= {fθ−1
1
...fθ−1
k
fσ1 ..fσ|σ|−1 (Aσ+ ) : ξ(σ1 ..σ|σ|−2 ) ≤ ξ(θ1 ..θ|σ|−1 ) < ξ(σ1 ..σ|σ|−1 )}
|σ|−1
= Π(θ|k)
+
(3) For θ ∈ Σ†∗ , Π(θ) = f−θ π Ωθξ(θ) so the support of Π(θ) is f−θ ( {π(σ) :
S
+ −ξ(θ)
σ ∈ Ωθξ(θ) ) = f−θ Aθ+ . Here f−θ is a similitude of expansion factor |s| which
diverges with |θ| , and Aθ+ spans RM .
(4) This follows from (3).
(5) For t ∈ Π(θ) we have t = f−(θ|k) fσ (Av ) for some k, θ, σ and v, with
ξ − (σ) ≤ ξ(θ|k) < ξ(σ). Here f−(θ|k) fσ = s−m U where m = ξ(θ|k) − ξ(σ) is an
integer that lies between 1 and max ae and U ∈ U is an isometry of the form
sm f−(θ|k) fσ for some m.
4. Continuity properties of Π : Σ† → T.
4.1. A convenient compact tiling space. Let
T = Π(θ) : θ ∈ Σ†
M
metric. Then (H(H(S )), dH(H(SM )) ) is a compact metric space. Finally, define a
metric dT on T by
dT (T1 , T2 ) = dH(H(SM )) (ρ (T1 ) , ρ (T2 ))
for all T1 , T2 ∈ T.
Theorem 7. (T, dT ) is a compact metric space.
Proof. Straightfoward and omitted.
See also for example [1, 20, 34, 36, 39] where related metrics and topologies
are defined.
(v)
Corollary 1. (Symbolic Partitions) For all m ≥ k ≥ 0, the set Ωk defines
(v) (v) (v)
a partition Pm,k of Ωm according to p ∈ Pm,k if and only if there is ω ∈ Σ∗ such
that
(v)
p = {ωβ ∈ Ω(v)
m : β ∈ Ωk }.
(v) (v)
Proof. This follows from Lemma 1: for any θ ∈ Ωm there is a unique ω ∈ Ωk
(v)
such that θ = ωβ for some β ∈ Σ∗ . Each word in Ωm is associated with a unique
(v) (v) (v)
word in Ωk . Each word in Ωk is associated with a set of words in Ωm .
(v)
According to Lemma 1, Ωk+1 may be calculated by tacking words (some of
(v)
which may be empty) onto the right-hand end of the words in Ωk . We can invert
(v) (v)
this description by expressing Ωk as a union of predecessors (Ωj s with j < k) of
(v)
Ωk with words tacked onto their other ends, that is, their left-hand ends.
Corollary 2. (Symbolic Predecessors) For all k ≥ amax + l, for all v ∈ V,
for all l ∈ N0 ,
(v)
G +
Ωk = ωΩωk−ξ(ω)
(v)
ω∈Ωl
θ−
|θ|
which demonstrates that Π(θ) = Eθ Tξ(θ) where Eθ = f−θ sξ(θ) .
The last statement of the theorem follows similarly from Lemma 2.
8. Addresses
Addresses, both relative and absolute, are described in [16] for the case |V| = 1.
See also [6]. Here we add information and generalize. The relationship between
these two types of addresses is subtle and used in the proof of later Theorems.
(v)
8.1. Relative addresses. Write Tk to mean any of Tkv or Tk .
(v)
Definition 9. The relative address of t ∈ Tk is defined to be ∅.π −1 sk (t) ∈
(v)
∅.Ωk . The relative address of a tile t ∈ Tk depends on its context, its location
relative to Tk , and depends in particular on k ∈ N0 . Relative addresses also apply
θ−
to the tiles of Π(θ) for each θ ∈ Σ†∗ because Π(θ) = Eθ Tξ(θ)|θ|
where Eθ = f−θ sξ(θ)
(by Theorem 9) is a known isometry applied to Tξ(θ) . Thus, the relative address of
−1
t ∈ Π(θ) (relative to Π(θ)) is ∅.π −1 f−θ (t), for θ ∈ Σ†∗ .
Lemma 3. The tiles of Tk are in bijective correspondence with the set of relative
addresses ∅.Ωk . The tiles of Tkv are in bijective correspondence with the set of
relative addresses ∅.Ωvk .
Proof. We have Tk = s−k π(Ωk ) so s−k π maps Ωk onto Tk . Also the map
−k
s π : Ωk → Tk is one-to-one: if β 6= γ, for β, γ ∈ Σ∗ then fβ (A) 6= fγ (A) because
t = s−k π(β) = s−k π(γ)with β, γ ∈ Tk implies β = γ.
14 M. F. BARNSLEY, L. F. BARNSLEY, AND A. VINCE
9. Rigid tilings
9.1. Definitions. Let U be the group of all isometries on RM .
Definition 10. The family of tilings T := Π(θ) : θ ∈ Σ† and the tiling IFS
(F, G) are each said to be rigid when the following two statements are true: (i)
if E1 , E2 ∈ U and k ∈ {0, 1, ..., amax − 1} are such that E1 T0v ∩ E2 sk T0w tiles
E1 Av ∩ E2 sk Aw then E1 = E2 , k = 0, and v = w; (ii) if E ∈ U and EAv = Aw
then E = I and v = w.
A different notion of a rigid for the case |V| = 1 is in [16].
9.2. Inflation and deflation. We restrict attention to rigid tiling IFSs (F, G).
Definition 11.
+
T0v = {Π(e|0) := fe (Ae ) : e− = v}
Q := {ET : E ∈ U, T ∈ T}
Q0 := {ET : E ∈ U, T ∈ T, T 6= T0v , v ∈ V}
Definition 12. Let (F, G) be a rigid tiling IFS. Deflation α : Q0 → Q is
defined by α(T ) = {α(t) : t ∈ T } where
sEAv if t ∈ ET0v ⊂ T for some E ∈ U,v ∈ V
α(t) :=
st otherwise
for all T ∈ Q0 . ET0v is called the set of partners of t ∈ ET0v . If t1 and t2 are
partners of t, then α(t1 ) = α(t2 ). Inflation α−1 : Q → Q0 is defined by
α−1 T = {s−1 t : t ∈ T, t is not congruent to sAv for any v}∪{t ∈ sET0v : E ∈ U, sEAv ∈ T }
−1
s if t 6= EsAv for any E ∈ U,v ∈ V
α−1 (t) :=
ET0v if t = EsAv
for all T ∈ Q. In particular, αTk = Tk−1 and α−1 Tk−1 = Tk for all k ∈ N.
It is straightfoward to show that inflation and deflation are well-defined on
rigid tilings. See also [16, Lemmas 6 and 7]. It should be clear that rigidity is
largely equivalent to recognizability [1] and to the unique composition property
[37]. Rigidity extends these concepts to tiling IFSs.
16 M. F. BARNSLEY, L. F. BARNSLEY, AND A. VINCE
Lemma 4. Let (F,G) be a rigid tiling IFS. If θ, ϕ ∈ Σ†∗ , Π(θ) ∩ EΠ(ϕ) 6= ∅ and
Π(θ) ∩ EΠ(ϕ) tiles the intersection of the supports of Π(θ) and EΠ(ϕ), then
either Π(θ) ⊂ EΠ(ϕ) or EΠ(ϕ) ⊂ Π(θ)
Proof. Follows at once from rigidity.
9.3. Hierarchies of tilings.
Theorem 12. Let (F, G) be a rigid tiling IFS. Let Tk be given.
(i) The following hierarchy of σ ∈ Σ∗ obtains:
σ+ σ+ σ+ σ+ σ+
(9.1) ET0 |σ| ⊂ F1 Tξ(S
|σ| |σ| |σ| |σ|
|σ|−1 σ) ⊂ F2 Tξ(S |σ|−2 σ) ⊂ ... ⊂ F|σ|−1 Tξ(Sσ) ⊂ Tk=ξ(σ)
|σ|−j |σ|−j
where Fj = s−ξ(S σ) −1
Eσ|σ|−j ...σ1 sξ(S σ)
and Eθ is the isometry f−θ sξ(θ||θ|) .
Application of αξ(σ|σ| ) to the hierarchy of σ1 ...σ|σ| minus the leftmost inclusion
yields the heirarchy of σ1 ...σ|σ|−1 .
(ii) For all θ ∈ Σ†∞ , n ∈ [N ] , k ∈ N0 ,
−1
αξ(θ|k) Eθ|k Π(θ) = Π(S k θ) and α−an Π(θ) = s−an fn Π(nθ)
where Eθ|k = f−θ|k sξ(θ|k) .
Proof. (i) Equation 9.1 is the result of applying Eσ−1
|σ| σ|σ|−1 ...σ1
to the chain
of inclusions
Π(σ|σ| |0) ⊂ Π(σ|σ| ) ⊂ Π(σ|σ| σ|σ|−1 ) ⊂ ... ⊂ Π(σ|σ| σ|σ|−1 ...σ2 ) ⊂ Π(σ|σ| σ|σ|−1 ...σ1 )
θ−
|θ|
where we recall that Π(θ) = Eθ Tξ(θ) (Theorem 9) for all θ ∈ Σ†∗ , where Eθ :=
f−θ sξ(θ) .
θ−
|θ|
(ii) This follows from Π(θ) = Eθ Tξ(θ) and αT = sT s−1 α for any T : RM → RM .
Taking k = 1 in (ii) we have
(9.2) αaθ1 Π(θ) = saθ1 fθ−1
1
Π(Sθ) and α−an Π(θ) = s−an fn Π(nθ).
Define for convenience:
Λvk = {σ ∈ Σ∗ : ξ(σ) = k, σ1− = v} ⊂ Ωvk−1
Λk = ∪v Λvk ⊂ Ωk−1
Theorem 13. Let (F, G) be a rigid tiling IFS. Let Tk be given.
(i) There is a bijective correspondence between Λvk and the set of copies ET0v ⊂
Tk with E ∈ T .
(ii) If ET0v ⊂ Tk for some E ∈ T , then there is unique σ ∈ Λvk such that
E = Eσ−1
|σ| σ|σ|−1 ...σ1
= (f−σ|σ| σ|σ|−1 ...σ1 sk )−1 = s−k fσ
Proof. (i) If (F, G) is rigid, then given either of the tilings ETk or ETkv for
some v and E ∈ T we can identify E uniquely.
The relative addresses of tiles in ETk = ∪ET0v may be calculated in tandem
by repeated application of α−1 (see Section 9.2). Each tile in ET0 = ∪ET0v is
associated with a unique relative address in Ω0 = [N ]. Now assume that, for all
l = 0, 1, ..., k, v ∈ V, we have identified the tiles of ETl with their relative addresses
(relative to Tl ). These lie in Ωl = ∪Ωvl . Then the relative addresses of the tiles
NOTES ON TILING ITERATED FUNCTION SYSTEMS 17
Theorem 14. Let (F, G) be a rigid tiling IFS. Then (i) Π : Σ† → T is invert-
ible; (ii) Π(θ) = EΠ(ψ) for E ∈ U, and θ, ψ ∈ Σ†∗ , if and only if are p, q ∈ N0 such
that S p θ = S q θ and E = f−θ|p (f−ψ|q )−1 .
Proof. Uses Lemma 4 and Theorem 13. See also [17], where the same result
is proved for the case where the tiles have nonempty interiors.
measure theory too, and how to envisage and analyze spectral properties of S
Pisot properties in the general (fractal) case
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