Stable Intersections of Regular Cantor Sets With Large Hausdorff Dimensions

Annals of Mathematics
Stable Intersections of Regular Cantor Sets with Large Hausdorff Dimensions

Author(s): Carlos Gustavo T. de A. Moreira and Jean-Christophe Yoccoz
Source: Annals of Mathematics, Second Series, Vol. 154, No. 1 (Jul., 2001), pp. 45-96
Published by: Annals of Mathematics
Stable URL: http://www.jstor.org/stable/3062110 .
Accessed: 25/11/2014 23:36
Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at .
http://www.jstor.org/page/info/about/policies/terms.jsp
.
JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of
content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms
of scholarship. For more information about JSTOR, please contact support@jstor.org.
Annals of Mathematics is collaborating with JSTOR to digitize, preserve and extend access to Annals of
Mathematics.
http://www.jstor.org
This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

All use subject to JSTOR Terms and Conditions
Annals of Mathematics, 154 (2001), 45-96
Stable intersections of regular Cantor sets

with large Hausdorff dimensions
By CARLOSGUSTAVOT. DE A. MOREIRAand JEAN-CHRISTOPHE
YOCCOZ*
Abstract
In this paper we prove a conjecture by J. Palis according to which the

arithmetic difference of generic pairs of regular Cantor sets on the line either
has zero Lebesgue measure or contains an interval. More precisely, we prove
that if the sum of the Hausdorff dimensions of two regular Cantor sets is
bigger than one then, in almost all cases, there are translations of them whose
intersection persistently has Hausdorff dimension.
Introduction
Regular Cantor sets on the line play a fundamental role in dynamical
systems and notably also in some problems in number theory. They are defined
by expansive maps and have some kind of self-similarity property: small parts
of them are diffeomorphic to big parts with uniformly bounded distortion (see
precise definition in Section 1). In both settings, dynamics and number theory,
a key question is whether the arithmetic difference of two such sets contains
an interval when the sum of their Hausdorff dimensions is bigger than one.
Some background on regular Cantor sets which are relevant to our work can
be found in [PT2] and [Su].
From the dynamics side, in 1983, J. Palis and F. Takens ([PT], [PT1])
proved a theorem about homoclinic bifurcations associated to a basic set that
assures full density of hyperbolicity in the parameter family provided that the
Hausdorff dimension of the basic set is smaller than one. A central fact used
in the proof is that if K1 and K2 are regular Cantor sets on the real line
such that the sum of their Hausdorff dimensions is smaller than one, then
K1 - K2 = {x - Ix E K1, y E K2} (the arithmetic difference between K1 and
K2) is a set of zero Lebesgue measure (indeed of Hausdorff dimension smaller
than 1). In the same year, looking for some kind of converse of this result
Palis conjectured (see [P], [P1]) that for generic pairs of regular Cantor sets
(K1, K2) of the real line either K1 - K2 has zero measure or else it contains
*This work has been partially supported by Pronex-Dynamical Systems, Brasil.

46 CARLOS GUSTAVO T. DE A. MOREIRA AND JEAN-CHRISTOPHE YOCCOZ
an interval (the last statement should correspond in homoclinic bifurcations

to open sets of tangencies). A slightly stronger startement is that, if K1 and
K2 are generic regular Cantor sets and the sum of their Hausdorff dimensions
is bigger than 1, then K1 - K2 contains intervals.
Another motivation for the conjecture was Newhouse's work in the seven-
ties ([N1], [N2], [N3]), when he introduced the concept of thickness of a regular
Cantor set. This allowed him to exhibit examples of pairs of Cantor sets whose
arithmetic difference stably is an interval, and to show that after a homoclinic
bifurcation there are always open sets of stable tangencies in the parameter
line. Note that in general (as in the [PT1] case above) these sets can have zero
density.
Some previous works related to Palis' conjecture are [S], [BPV], [BPMV],
[L], [MO] and [PY].
An earlier and totally independent development had taken place in number
theory. In 1947, M. Hall ([H]) proved that any real number can be written as
the sum of two numbers whose continued fractional coefficients (of positive
index) are at most 4. More precisely, C(4) is the regular subset formed of such
numbers in [0, 1], and one has C(4) + C(4) = [V2 - 1, 4(v/ - 1)]. It follows
that the Lagrange spectrum L = {limsup (qlqa - pl)-l, a E IR\Q} contains
p,q-*-oc
p,qGH
a whole half-line (for instance [6,+oc)). In 1975, G. Freiman ([F]; see also
[CF]) proved some difficult results showing that the arithmetic sum of certain
(regular) Cantor sets related to continued fractions contain intervals, and used
them to determine the precise beginning of Hall's ray (the biggest half-line
contained in L), which is
2221564096 + 283748462 4 52782956616....

491993569
In 1993, the concept of stable intersection of two regular Cantor sets was
introduced (see [M]): two Cantor sets K1 and K2 have stable intersection if
there is a neighbourhood V of (K1, K2) in the set of pairs of
Cl+-regular Cantor sets (see Section 2 for a definition of the topology) such
that (K1, K2) E V = K1 n Kn2 0. In the same paper conditions based on
renormalizations were introduced to ensure stable intersections, and applica-
tions of stable intersections to homoclinic bifurcations were obtained, namely
positive density of stable tangencies at the initial bifurcation point. It was
also shown that this last phenomenon can coexist with positive density of hy-
perbolicity in a persistent way. Besides, the following question is posed: Does
there exist a dense (and automatically open) set U C QC°= {(K1, K2), K1 and
K2 Ck-regular Cantor sets HD(K1) + HD(K2) > 1} such that (K1,K2) E
U = there exists t E IRsuch that (K1, K2 + t) has stable intersection?

REGULAR CANTOR SETS 47
A positive answer to this question implies a strong version of Palis' con-

jecture. In the present work we will provide an affirmative answer to it, by
proving (see §2.4) the following:
THEOREM.There is an open and dense set U C Q?' such that if
(K1, K2) E U, then Is(K1, K2) is dense in K1- K2 and
HD((K1 - K2)\Is(K1,K2)) < 1,
where Is(K, K2) := {t E R I K1 and (K2 + t) have stable intersection}.
We will also prove that the same result works if we replace stable in-
tersection by d-stable intersection, which is defined by asking that any pair
(K1,K2) in some neighbourhood of (K1,K2) satisfies HD(K1 n K2) > d;
most pairs of Cantor sets (K1, K2) E FQ0 have d-stable intersection for any
d < HD(K1) + HD(K1) - 1 (see §2.6).
Moreover, we will show that the open set U mentioned in the theorem
above is very large in Q°° in the sense that generic n-parameter families in Q°°
are actually contained in U (see section §3.9.1).
In a forthcoming paper, we prove the following fact concerning generic
homoclinic bifurcations associated to two dimensional saddle-type hyperbolic
sets (horseshoes) with Hausdorff dimension bigger than one: they yield open
sets of stable tangencies in the parameter line with positive density at the initial
bifurcation value. Moreover, the unions of this set with the hyperbolicity set in
the parameter line generically have full density at the initial bifurcation value.
This extends a theorem by Palis and Yoccoz ([PY]).
1. Regular Cantor sets: the setting
1.1. Let A be a finite alphabet, B a subset of A2, and E the subshift of

finite type of Az with allowed transitions B.
We will always assume that E is topologically mixing, and that every letter
in A occurs in E.
An expansive map of type E is a map g with the following properties:
(i) The domain of g is a disjoint union UI(a, b), where, for each (a, b), I(a, b)
B
is a compact subinterval of I(a) := [0,1] x {a};
(ii) For each (a, b) E B, the restriction of g to I(a, b) is a smooth diffeomor-
phism onto I(b) satisfying JDg(t)l > 1 for all t.
The regular Cantor set associated to g is the maximal invariant set
K= ng-n ( I(ab))
n>0 B

Let E+ be the unilateral subshift associated to E. There exists a unique

homeomorphism h: E+ - K such that
h(a) E I(ao), for a = (ao, al,...) E E+,

h o = g o h.
Let r be a real number > 1, or r = +oo. The space of Cr expansive maps
of type E, endowed with the Cr topology, will be denoted by Qf. The union
Qs = U Qf is endowed with the inductive limit topology.
r>l
1.2. For (a, b) E B, let
fa,b = [9 I(a,b)] ;
this is a contracting diffeomorphism from I(b) onto I(a, b). If a = (ao,..., an)
is a word of E, we put
fa = fao,al ° ** fan-a,n;
this is a diffeomorphism from I(an) onto a subinterval of I(ao) that we denote

by I(a).
1.3. Let - = {(On)n<O, (Oi, Oi+1) E B for i < 0}. We equip S- with the
following ultrametric distance: for 0 E -, set

0E
d(0 )0) I A otherwise

I(0 0)
where 0 A 0 = (0-n,..., 0o) if O_j = _j for 0 < j < n and 0-n-1 : 80-n-1.
Now, let 0 E S-; for n > 0, let On7= (0-n,... 0o), and let B(0n) be the
affine map from I(On) onto I(0o) such that the diffeomorphism kn = B(on) o fn
is orientation-preserving.
We have the following well-known result (see [Su]):
PROPOSITION. Let r E (1, +0), g E fr.
1. For any 0 E S-, there is a diffeomorphism ko-E Diffr_(I(0o)) such that
the kn converge to k°- in Diffr(I(00)), for any r' < r, uniformly in 0. The
convergence is also uniform in a neighbourhoodof g in Qf.
2. If r is an integer, or r = +oo, the kn converge to k°- in Diffr(I(00)).
More precisely, for every 0 < j < r - 1, there is a constant Cj (independent
on 0) such that
|D3 Log D[ko o (k°)-l] (x) I< Cj[I(0n)l.
It follows that 0 - ko-is Lipschitz in the following sense: for 0o = 0o, we have
\D3 Log D [k o (k0)-1] (x) < Cjd(0,O).

1.4. For 0 E E- and a a word in S starting with a0 = S0, we denote:
K(a)= K n I(a),
I-(a) = k(I (a)),
K°(a) = k (K(a)).
The different K- are related in the following way: let F- be the affine map
from I(9o) onto I"-(°)(_ 1, 0o) with the same orientation as fe_o- . Then, on
I(Oo):
Fo- ko ka-
= (_ ) foe o .
If we define
I= {(o,x), E ~-,x E I(Oo)},
C = {(0,x),0 E E-,ax E K°(o)},
F(, x) = (-1(), F(x)),
we have a fiber-contracting map F such that
A= n Fn(T).
n>O
Moreover, if we define H: E - KCby
H(0) = (7r- (0), kc- () o h(r+(0)))

where r-, 7r+ are the natural projections of E onto E-, E+ respectively, the
map H is a homeomorphism which satisfies
Hoa- = Fo H.
1.5. Let r E (l,+oo]. For a E A, denote by Pr(a) the space of

Cr-embeddings of I(a) into R, endowed with the Cr topology. The affine group
Aff(R) acts by composition on the left on 7r(a), the quotient space being de-
noted by r(a). We also consider P(a) = U Pr(a) and P(a) = U r(a),
r>l r>l
endowed with the inductive limit topologies.
Let (ao, ai) E B, and g E Qr. We define the renormalization operator
Tgao: pr(ao) pr (al)

h + h o fao,-a .
If a = (ao,..., an) is a word in E, we write Tag:Pr(ao) - Pr(an) for T?an-_ 0
* *oTaglao, and now
Tg(h) = hofa.
The renormalization operators commute to the action of the affine group; hence
they are defined on the quotient spaces Pr(a) as well.

We can reinterpret the proposition above as follows. For 0 E Z-, the

sequence Tn (hn) (hn E Pr(_-n)) converges (in the C' topology, r' < r) to
a limit in P (0o), provided the hn stay bounded. The limit is independent of
the hn and the convergence is uniform in 0 and bounded subsets of the p'(a).
On the limit set of the renormalization operators, we can also view the
renormalization dynamics as follows. Let A = {(0, A)}, where 0 E S- and A
is now an affine embedding of I(Oo) into 1R.We have a canonical map
A -Pr = UPr(a)
A
(0,A) 4 Ao ko (E P'(0o)).
We can lift the action of the renormalization operators to A; if (00, 01) E B,
we set
To1,o0 (0, A)= (01, Ao F901).
At this level, the various To,,oo are just the inverse branches of the map S:
S(0, A) = (a-1(0), A o (F)-1).
The affine group Aff(R) still acts by composition on the left on A (fiberwise
onto E-).
2. Intersections of regular Cantor sets:

Setting and statement of the main result
2.1. In this section, assume we are given two sets of data (A, B,E,g),
(A', B', E', g') defining regular Cantor sets K, K'.
We defineas in Section 1.5 the spaces P = UP(a) and P' = UP(a').
A A'
A pair (h, h'), (h E P(a), h' E P'(a')) is called a smooth configuration for
K(a), K'(a'). Actually, rather than working in the product P x P', it is better
to go to the quotient Q by the diagonal action of the affine group Aff(R).
Elements of Q are called smooth relative configurations for K(a), K'(a').
We say that a smooth configuration (h, h') E P(a) x P(a') is
- linked if h(I(a)) n h'(I(a')) $ 0;
- intersecting if h(K(a)) n h'(K(a')) 4 0;
- stably intersecting if it is still intersecting when we perturb it in P x P',
and we perturb (g, g') in Q2 x Qs,.
All of these definitions are invariant under the action of the affine group, and
therefore make sense for smooth relative configurations.

The following remark is obvious, but underlines the fundamental role

played by the renormalization operators.
A smooth relative configuration (ho, ho) is intersecting if and only if there
exists a sequence (hnI,h'),, relatively compact in Q, such that (hn+l, h'+
hn+l)
is obtained from (hn, h') by applying one of the renormalization operators
(associated to g or g'). In particular, this condition implies that the configu-
ration (ho, ho) is linked.
2.2. As in 1.5, we can introduce the spaces A, A' associated to the limit
geometries of g, g' respectively. We denote by C the quotient of A x A' by the
diagonal action on the left of the affine group. An element of C, represented
by (0, A) E A4,(0', A') E A', is called a relative configuration of the limit
geometries determined by 0, 0'. We have canonical maps
A x A' -* x P'
C- Q
which allow us to define linked, intersecting, and stably intersecting configu-

rations at the level of A x A' or C.
Remark. For a configuration ((a,A), (a',A')) of limit geometries, one could

also consider the weaker notion of stable intersection, obtained by considering
perturbations of g, g' in Qs x Qr, and perturbations of (0, A), (0', A') in A x A'.
We do not know of any example of expansive maps g, g', and configurations
(_, A), (0', A') which are stably intersecting in the weaker sense but not in the
stronger sense.
2.3. When one is looking for stably intersecting configurations, the fol-
lowing notion is crucial.
A compact set L in C is recurrent if for every u E £ there exist v E int C
and e,£' > 0 with e + e' > 0 and u = SeS't'(v). In other terms, if (0,A),
(0', A') represents u, we can find words a = (ao,... , ae), a' = (a ,..., a/,) in
E, E' respectively, with ao = 0o, aO= 0, such that (Ta(, A), Ta,(', A')) = v
belongs to int C.
We say that £ is immediately recurrent if moreover £ + e' = 1 (for any
u E ).
Let £ be a recurrent compact set. Then there are finitely many compact
sets £C1,... ,CN, and words ai, a'i, 1 < i < N (with, for every i, at least one
having more than one letter) such that
(i) U Ci is a neighbourhoodof £;
1<i<N
(ii) Tai T',i is defined on Ci and sends £i into int £.

From this, we deduce immediately the following properties of recurrent com-

pact sets:
1. Any recurrent compact set is contained in an immediately recurrent com-
pact set.
2. Any recurrent (resp. immediately recurrent) compact set for g, g' is still
recurrent (resp. immediately recurrent) for 9, ' in a neighbourhood of
(g, g') in Qs x Q2'.
3. Any relative configuration contained in a recurrent compact set is inter-
secting.
The last property can be strengthened:
PROPOSITION.Any relative configuration (of limit geometries) contained
in a recurrent compact set is stably intersecting.
Proof. By property 1 above, we may assume that the given configuration

u = [(0, A), (0', A')] is contained in an immediately recurrent compact set C.
We first show that any small perturbation of (A o k0, A'o k'-') in P(0o) x P'(O')
is still an intersecting smooth configuration for (g, g'). Such a perturbation
can be written (h o A o k°-,h' o A' o k'0-), with h, h' close to the identity in
some Cr-topology, r > 1. Applying one of the renormalization operators,
and dividing h into a translation and a translation-free part, we obtain in Q
(h o A o k°-,h' o A' o k'0 ), with h, h' closer to the identity than were h, h', and
[(A, 0), (A', 0')] close (in C) to! the image of u under the same renormalization
operator.
It follows, by the last remark in 2.1, that this smooth configuration is
intersecting.
Finally, the same argument works uniformly in a neighbourhood of (g, g')
in QS x QS2 (see property 2 above); this concludes the proof. a
2.4. Our main result is now the following.
THEOREM.Let g, g' be two C°° expansive maps as above. Assume that

the associated Cantor sets satisfy
HD(K) + HD(K') > 1.

Then, we can find, arbitrarily close to g, g' (in the C°°-topology), perturbations
9, g' having a nonempty recurrent compact set of relative configurations.
Remark. In the case where both g and g' are orientation-preserving

(equivalently, all periodic orbits of g and g' have positive eigenvalues), one
can moreover find such a recurrent compact set which meets the two possible
relative orientations (of A, A'); this will be apparent from the proof.

We consider the following subset V of Qs x Qlr. A pair (g, g') belongs to

V if for any [(0, A), (_', A')] E 4 x A' there is a translation Rt (in R) such that
(Rt o A o kc0,A' o k'-') is a stably intersecting configuration.
THEOREM. 1. V is open in Q, x Q',,, and V n (QJ x QS,) is dense (for
the C°°-topology) in the set {(g, g'), HD(K) + HD(K') > 1}.
2. Let (g, g') E V. There exists d* < 1 such that for any (h, h') E P x P',
the set
Is ={t E R, (Rt o h, h') is a stably intersecting

smooth configurationfor(g, g')}
is (open and) dense in
I = {t E R, (Rt o h, h') is an intersecting smooth configurationfor (g, g')}
and moreover HD(I - 1s) < d*. The same d* is also valid for (9, ') in a
neigbourhoodof (g, g') in Qs x Qe,.
Proof. Let us first prove that V is open. For A E R*, denote by HA the
homothety x - Ax. Let (g, g') E Q, x £Q,, and R > 1 be larger than the supre-
mum of the derivatives of the expansive maps g, g'. Then (g, g') belongs to V if
and only if for every 0 E E-, 0' E '-, A E JR = [-R, -R-1] U [R-1, R], there
exists t E R such that (Rt o kc, Hx o kV')is a stably intersecting configuration.
Using the compactness of the set of (0, ', A) under consideration, we see not
only that V is open but for (g, g') E V the following is true: there exist 6 > 0, a
neighbourhood W of (g, g') in QE x Qr' and a neighbourhood Z of the identity
in J Diffr(R) such that for any (0,', A) E E- x E'- x JR there is an interval
r>l
J of length 6 where (Rt o h o ko, h' o k0') is a stably intersecting configuration
for all t E J, h, h' E Z and (, 9') E W.
Assertion 2 in the theorem is now an easy consequence of the last state-
ment. Let (g,g') E V, (h,h') E P x P', t E I. Let e > 0 be small; let
a, a' be words in E, E' respectively such that I(a), I(a') have size of order
e, and such that h(K(a)) n h'(K(a')) k 0. We apply (in the quotient space
Q) TaTa, to (Rt o h, h') and obtain an intersecting configuration of the form
(h o k°, h' o HA o kV), where 0, 0' end with a, a' respectively and h, h' E Z
if e is small enough. The statement above now shows that there is an inter-
val of length c6e (for some fixed c > 0) contained in Is n [t - e, t + e]. But
this last property at the same time guarantees that Is is dense in I, and that
HD(I - Is) is at most d* < 1, where !d* depends only on c6 (cf. [PT2, p. 79,
Prop. 6]).

To show denseness of V, we will demonstrate that if (g,g') admits a

nonempty recurrent compact set C (meeting both orientations if g and g' are
orientation-preserving; see remark after Theorem 2.4), and if there are periodic
points x, x' of period n, n' of g, g' respectively such that
Log IDgn(x)
Log IDgIn (x')
is irrational, then (g,g') E V. Indeed, let a (resp. a') be the word in E
(resp. I') of length n + 1 (resp. n' + 1) such that fa(X) = x (resp. fa, (x') = x').
Let N be the set of (0, 0', A) E E- x E'- x IR*such that there exists t E R for
which (Rt o kO,H\ o ko') has stable intersection.
From the existence of the compact recurrent set C, we deduce that N is
nonempty, and even that for any given (0, 0') E E- x E'- there are A1 < 0 < A2
such that (0,O',Ai) E N for i = 1,2. But then, since a = (...a,a,a) and
' = (... .a', a', a'), the hypothesis on the eigenvalues implies that (a, a', A) E N
for all A E R*. Using again the renormalization operators, we finally get that
N = S- x E'- x R*. The proof is complete. O
2.5. Let d > 0. A smooth configuration (h,h') E P(a) x P(a') has

d-stable intersection if the Hausdorff dimension of h(K(a)) n h'(K(a')) is > d,
and this property still holds when we perturb (h, h') E P(a) x P(a') and (g, g')
in Qs x Q2,.
In relation to this property, we say that a compact subset C c C is d-
recurrent if the following holds: for any ((0, A), (0', A')) representing a point
u E £, we can find pairs (a1, a1),... , (ak, ak) for words such that
i) the first letter of a (resp. a'i) is 0o;
ii) the intervals I(ai) are disjoint;
iii) (Tai(0, A), T',i (0, A')) represents a point in intC for 1 < i < k;
k
iv) EI0(ai)1d > 1.
1
By the compactness of C, we can find the ai a'i with uniformly bounded

length,
k
iv') E I(ai)ld' c> 1,
1
with d' slightly larger than d.

Then (iv) will still hold when we perturb (g, g'). On the other hand, from
(iv'), we fairly easily deduce the next result:

PROPOSITION. If a relative affine configuration belongs to a d-recurrent

nonempty compact subset of C, it is a d-stable intersecting configuration.
On the other hand, we will indicate in the course of the proof of the first
theorem in 2.4 that slight modifications give the following stronger result.
THEOREM.Let 0 < d < HD(K) + HD(K') - 1. Then we can find arbi-

trarily small C°°-perturbations of (g, g') which exhibit a nonempty d-recurrent
compact subset.
3. Outline of the proof of the main theorem
3.1. Let g, g' be expansivemaps as above. If ((0, A), (0',A')) is a relative

configuration, the affine map A-1 o A': R x {0(} -* IRx {0o} is well-defined; the
coefficient of x is a number in R* which is called the relative scale of the given
relative configuration. We obtain thus the space S = E- x E'- x R* of relative
scales, which is canonically a quotient of the space C of relative configurations
(under the actions of translations on A, A', independently).
The renormalization operators S, S' and their inverse branches Tao,ai,
T' , still act on S.
Actually, let 0 E E-, 0' E '-, and a be a word in E starting with o0.Let
Ta = Tan,an,l .o ..
. Tal,ao
Then we have, for s E R*
Ta(O,', s) = (Oal... an, ', slII(a)-l)

where e = +1 (resp. -1) if fa is orientation-preserving (resp. -reversing).
Similarly, if a' is a word in E starting with 00,
Ta,(O,0' , s) (O, #'a ..... a,'slI(a')l).
3.2. The first main ingredient in the proof of the main theorem is a recur-
rence result for the action of renormalization on the space S of relative scales;
we now present this result, which we call the Scale Recurrence Lemma. Its
proof is deferred to Section 6.
We will always restrict our attention to a compact subset
SR = - X '- X ([-R,
-R-1] U [R-1, R])
of S, with R conveniently large.
Fix once and for all a conveniently large constant co. The size of a word
a in E is the length JI(a)l; we say that a has approximate size p if
co p<I I(a)l < cop

and denote by Z(p) the set of those words. Its cardinality is of order p-d, and
we set
d = HD(K), d' = HD(K').
Similarly, we define E'(p), with cardinality of order p-dl. To prove the Scale
Recurrence Lemma below, we need to assume that at least one of the two
regular Cantor sets K, K' is nonlinear. More precisely, we assume that there
exist 00,01 E E-, with 0 = -0, and xo E KS\ (0°) such that
ID Log D(kel o (k-°)-l)(xo)l 0.
Then, denoting JR = [-R, -R-1] U [R-1, R], we have:

SCALE RECURRENCELEMMA. If R, co are conveniently large, there exist
cl,c2,c3 > 0 with the following properties: given 0 < p < 1, and a family
E(a, a') of subsets of JR, (a, a') E E(p) x E'(p), such that
m(JR - E(a, a')) < c , for all (a, a'),
there is another family E* (a, a') of subsets of JR satisfying:
(i) For any (a, a'), E*(a, a') is contained in a c2p-neighbourhoodof E(a, a');
(ii) Let (a, a') E E(p) x E'(p), s E E*(a, a'); there are at least C3p-(d+d') pairs
(b, b') E E(p) x E'(p) (with b, b' starting respectively with the last letter of
a, a') such that, if 0 E E-, 0' E '- end respectively with a, a' and
TbTb, ((, s ) = (, 0, )
the p-neighbourhoodof s is contained in E*(b, b').
Observe that 0, above end respectively with b b'

Let S*(a, a') be the set of (0, 0', s) E SR such that 0 ends with a, 0' with
a' and s E E*(a,a'); set S* = U S*(a,a'). What property (ii) says is that
a,a/
there is a positive proportion of compatible (b, b') E E(p) x E'(p) such that the
image by the inverse branch TbTb'is "well inside" S*.
3.3. The fibers of the quotient map: C -$ S are one-dimensional and
have a canonical affine structure; moreover this bundle map is trivializable; we
choose now an explicit trivialization C - S x IRin order to have a coordinate
in each fiber.
For each a E A (resp. a' E A'), we choose w(a) E E+ starting with a (resp.
w(a') E E'+ starting with a'). Given a configuration represented by (0, A),
(0', A'), we normalize (by the action of the affine group) in order to obtain the
fact that A': IRx {00} -> IRbecomes a translation sending k'0'(h'(w(0)))) to 0.

Then our coordinate t((_, A), (9', A')) on the fiber will be by definition
t = A(kO(h(w(0o)))).
With the chosen normalization, A'(I(9o)) has size 1 while A(I(Oo)) has
size Isl.
3.4. The first step in the proof is to make sure that the hypothesis of the
Scale Recurrence Lemma is satisfied (by either g or g'), and that d + d' > 1.
So we make if necessary a small perturbation and will now assume that
these hypotheses are satisfied by g, g'.
We want to perturb g, g' (actually it will be sufficient to perturb g) in the
C°-topology in order to create a nonempty recurrent compact set of relative
configurations.
But a neighbourhood in the C° topology is a neighbourhood in some Ck
topology for finite k. We now fix such an integer k > 2.
The construction of the perturbation will depend on a scale parameter p;
the perturbation will become close to g when p is small.
In the following, we denote such a scale by p which will be assumed to be
small.
3.5. The required perturbation for g will be picked by a probabilistic ar-
gument out of a family of random perturbations that we will now construct.
We first pick a subset So of E(pl/k) such that
K = K(a)
is a partition of K into disjoint cylinders.

We then define E1 as the subset of So formed of the words a E So such
that no word in E(pl/3k) appears twice in a.
Let C4 > 1 be a constant sufficiently close to 1 to have the following: let
I(a), for a E So, be the interval with the same center as I(a) and c4 times the
size of I(a); then the I(a), a E So, are pairwise disjoint.
We then choose, once and for all, a smooth even function X:R -- R
satisfying
(x) = 1 for Il < c4,
x(x)=0 for xl > c4.
For a E 1E, we define the vectorfield Xa, with support C I(a) by
Xa(X) = C5 p(1+1/2k) X(B(x))

where C5 > 0 is a conveniently large constant, to be chosen later, and B is an
affine map sending I(a) onto [-1, +1]; there are two such maps, but as X is
even, they give the same Xa.

The probability space underlying the family of random perturbations is

Q = [-1, 1]1, equipped with the normalized Lebesgue measure.
For w = (w(a))ae C Qf, we define Qw_to be the time-one map of the
vector field X, = - w(a)X_, and g9 to be g o e,. Our task will be to find
a
w E Q such that (g, g') has a nonempty compact recurrent set of relative
configurations.
3.6. We make now some easy remarks on the family g"; the finer properties
will be studied later.
3.6.1. By construction, the vectorfields Xa, a C S1, have disjoint supports.

The intervals I(a), a E S1, have approximate size pl/k; therefore the affine
map B entering the definition of Xa has derivative of the order of p-ll/k. It
follows that, when p is small, Xa is small in the Ck-topology. Then, the ~,,
for any w E Q, are close to the identity in the Ck-topology.
In particular, the estimates in Proposition 1.3 for the k- are valid for gW
uniformly in w, if we consider no more than k derivatives.
3.6.2. For a E A, let
Xmin(a) = inf K(a),

Xmax(a) = sup K(a).
The finite set U {Xmin(a), xmax(a)} is invariant under g. Let xo be a point in

a
this set; if a0 is the element of So such that xo E K(ao), a0 is the initial part
of an eventually periodic word in E+. Therefore a0 E So - E1 if p is small
enough. It follows that g9 coincides with g in I(a0) (for any w E Q), and that
the points xmin(a), xmax(a) are still the "endpoints" of the perturbed Cantor
set K_(a).
3.6.3. For a E So, let I(a) be the p-neighbourhood of I(a).

Let a E So, a-1 c A such that (a_l,ao) c B; let a' be the initial
part of a_la that belongs to Eo. We have fa_lao(I(a)) C I(a'); because the
fa,b are contractions, there exists C6 > 0 such that the c6p-neighbourhood of
fa-_ao(I(a)) is contained in I(a').
On the other hand, for the perturbed inverse branch fIglao, J E [Q,we
will have, for any x E I(a)
fa-lao () if a' E o -1
f)j-
faaalao () + C5pl+l/2k w(La) if a ECS

(because Xa, is constant on I(a')). This allows us to conclude that fa-lao(I(a))

C I(a') (if p is small enough), and therefore that the perturbed Cantor set K,
will be contained in U I(a).
Eo
3.7. We are now ready to give some information on the set C = L, of
relative configurations for which we want to prove recurrence for at least one
w E Q.
As indicated, this set will depend on w, but only as far as the fiber coor-
dinate t is concerned. The image of L, under the projection map: C -- S will
be a subset £ of S independent of w.
Let Enr(p3) be the subset of E(p3) formed by words a such that:
(i) no word b E E(pl/3k) appears twice in a;
(ii) if c E E(pl/6k) appears at the end of a, then it does not appear elsewhere
in a.
We next define En as the subset of E- formed by 0 which ends with a
word in Enr(p3). This is an open and closed subset in E-.
To define 4, we will apply the Scale Recurrence Lemma (with p1/2 instead
of p). A family of subsets E(a,a') of JR, for (a, a') E E(p1/2) x E'(p1/2) will
be carefully constructed in Section 4, in relation to Marstrand's theorem, and
it will satisfy the hypothesis
m(JR - E(a, a')) < cl, for all (a, a').
Then, the Scale Recurrence Lemma gives us another family
E*(a,a') E E(p1/2) x E(p/2),
with the properties (i), (ii) indicated in the statement of the lemma.
The set L is defined to be the subset of SR formed by the (0, 0', s) such
that 0 E E , and there exists a E E(p1/2), a' E E'(p1/2) with s E E*(a,a')
and 0, 0' ending with a, a' respectively.
3.8. For every (0, 0', s) in C, we will define in Section 4, in relation to the
conclusions of Marstrand's theorem, a nonempty subsetL°(_0, 0', s), depending
on w E Q, of the fiber of C over (0,', s).
Let
Co = {(0, ', s, t), (0,', ) e , t E L^(0,0', );
consider next the p-neighbourhood LC of CL in C x R:
L= { (0,0', s, t), (0, 0', s) E and 3 (00,, so, to) E Lo
with d(0,0o) < 2p5/2, d(_', 0 < 2p5/2, Is - Sol < p, It - tol < p}.
Fix u = (0, ', s,t) E L x R. We define two subsets Q°(u), Ql(u) of Q. First,
(u) = WE , (0, ', , t) E L}.

Second, Q°(u) is the set of w E Q such that there exist b E E(p), b' E '(p),
with bo = -o, b' = -o and the image TbT, (u) = (0,, ,
s,t) satisfies:
(i) for any s1 with Is - si < 2p1/2, we have (0, 0, s1) E C;

(ii) tE L( , s).
(The renormalization operators Tb, Tb, depend on w; the dependence is
not indicated in the notation to keep the text readable.)
The following crucial estimate will be proved in Section 5.
PROPOSITION. Assume that c5 is chosen conveniently large. Then there

exists C7 > 0, such that, for any u E Z x R,
P(Q (u) - Q°(u)) < exp (- C7p k(d+-1)).
Basically, the reason for this inequality is the following: the sets L(0, 0', s)
are formed of values of t such that TbT',(, 0', s, t) is bounded for many pairs
(b,b') E E(p) x p'(p). It will follow from Marstrand's theorem that the
Lebesgue measure of L(O,0', s) is uniformly bounded from below. So we can
expect for fixed (b, b') the probability (in w) that TbT, (O,0', s, t) is right to be
bounded from below. When (b,, b') vary, we will be able to find c p (d+d' -1)
such pairs for which we have rough independence, which "explains" the in-
equality in the proposition.
3.9. With this estimate, the end of the proof of the theorem is not difficult.
The sets L°(0_,0', s) will always satisfy
t E L°(s0,0',s) = tl < 1 + Isl < 1+ R.

We choose finite subsets Ao, AI, A2 of Enr, '-, [-(1 + R + 2p), (1 + R + 2p)]
respectively such that:
- A0ois p5/2 dense in nr, #Ao < cgp-d;
- AO is p5/2 dense in E'-, #AO < C8p-d;2
5
- A2 is p5/2 dense in [-(1 + R + 2p), 1 + R + 2p], #A2 < c8p 2.
Then, for each (0,0') E Ao x A', we choose a finite subset A1 (0,0') of the
fiber of C over (0,0'), which is p5/2 dense in this fiber, and has cardinality
< cgp-5/2. Let then
A = {u = (0,0', s,t),0 E Ao,_' E A/,ot E A2,s E Al(0, )}.

One has
#A < c p-(5+(d+d)) < c4p-o.

Now, if p is small enough,
and therefore we can find ~~ E Q such that, for any u E A, either wo Ql (u)
or wo E p0(u) (or both).-
3.10. Fix ~~ as above. Define L =,C~ as follows:
with d(G,Gj) p5/2, d(O,) < p5"2
and t E Lo,G
We claim that for (g~o, g'), L is a nonempty compact recurrent set of
relative configurations.
First, C contains CO I hence is nonempty. It is compact by construction.
Let u = (G1,G',st) EL
We can find 00 E AO, 0iO E A' I to E A2 with d(O,e) < p5212 d(O',O'0)<
0/
p5"2, it - toI < p5/2. Then, by construction of 4 (90, s) E 4; hence we can
find so E A 1(60, '0) with Ijs- so I < p5!2. Let uo = (~0,0,0' SO,to) E A.
With 81 8 I , t related to, 8, 9' s, t by the definition of L above, we have
Iso-. 1<p/2+ p5/2 < PI

Ito-j l<p/2+ p5/2 < PI
which means that uo E L1 -~o;
in other words, ~~ E Ql(uo).
Then by choice of ~~, we have ~~ E Q0(uo). This means that there exists
b E E(p), b' E E'(p), with bo = G0,b' = G0'such that, if
we have
(&O frO1 -') E £ for iso -O I~< I,P1/2
and to ELo(I Is
Let
LEMMA. The following estimates hold:

d(, O, 97/2, d( <)C9 p7/2
ds-ot <c9 p5 I d-t, otCP3

Proof. By the proposition in Section 1.3, the Cl-distance to the identity

of k- o (ko° )-, k'' o (k'0 )-1 is at most of order p5/2. The estimates from the
lemma then follow immediately from the definitions of Tb, Tb,. 5
To prove that ii E int £, we take (, 0/1, sl, tl) with
d(,0) < p7/, d(01 ,) < p7/

- < - <
\IB s1 p5/2, Itl tl p3/2.
We have then
d(_ ,) < (1++1+9)p'~

C9)p7/2, d(O
d(f I°0) )<< (1 + c9)P'I
(1+Cg)p7/2,
lsl - solIC<)p1 + )5/2, < (1 + )p3/2
which imply first (1, 1 , 1) E £, and then ( 0 ,l1, t^) E £.
3.11. In order to prove the theorem in Section 2.5, one has to modify
slightly the argument as follows.
Let 0 < d < d + d'- 1; choose d< d* < d + d'- 1. We will indicate at
the end of Section 4 how to define L,(O, 0', s) (analogous to L° (0, 0', s)), for
(0, ', s) E . '~ -o
For u E Z x I, one defines Q (u) as Q1 (u) above (using L° instead of L°).
Then, ° (u) is the set of w E Q such that, with M = [p-d*], there exist pairs
(bl b'),..., (bM b'M) E (p) x S'(p) (with disjoint I(bi)) for which properties
(i), (ii) hold (we had M = 1 in §3.8).
We will see in Section 5 that in this case we still have (as Proposition 3.8)
I(Q1 (u) - (u)) < exp(-c7 p (2+ ).
The set C£,, defined as in 3.10 with the L, instead of L°, is easily seen
to be d-recurrent if w0 is selected as in 3.9.
3.12 Remark. Consider a smooth family (g,g, 9), , E [-1, +l1], of maps
as above such that HD(K,) + HD(K,) > 1 for all /.
We consider perturbations (g9, g,) constructed as above, where now Luis
restricted to a p3-dense finite subset A3 of the parameter space [-1, i]n, with
#A3 < c, -3.
As this is polynomial in p, we can select w0 such that, for any u E A,

AL A3, either wo0 Ql1(u) or wo E Ql(u).
E For any /uo E A3, this allows us to
construct (for (gO,g'0o)) a recurrent set £Ho.
But, in view of the construction of this set, it is fairly clear that ,zo is
still recurrent
SLI1
t~Ultll, for (go°,
1V y~~, ~, provided
g),
gp
lvl~uI~Au I I/p- po I < p3.

Thus the following reinforcement of the theorem in §2.4 is true: there exist
open and dense sets of families as above for which one can, for all values of
the parameter, find a recurrent compact set of configurations.
Moreover, generic families have the following property: for each value
of the parameter, there are periodic points of g,, g9 respectively such that
the ratio of the logarithms of the moduli of the corresponding eigenvalues is
irrational.
This allows (with the same proof) the following reinforcement of the sec-
ond theorem in §2.4: the open set V C Qe: x Ql: defined in §2.4 is not only
dense in {(g,g'),HD(K) + HD(K') > 1}, but its complement is infinite-
codimensional in the sense that generic n-parameter families (for any n) take
their values in V.
4. Application of Marstrand's theorem:

Construction of the sets E(a, a') and L (0, 0', s)
4.1. Given a point (, 0', s) in the space S of relative scales, and points
x E K(0o), x' E'(o),
K there is a unique relative configuration above (, 0', s)
such that
A(ko(x)) = A'('(x')),
(where(0, A), (0', A') representsthis configuration).Parametrizingthe fiberof
C over (, 0', s) as in §3.3, we see that the coordinate of this configuration is
given by
t := 7r, ,,s(x, ')
= k'- (') - k (w())- s(k(x) - ko(w(0o))).
4.2. We equip each set K(0o) (resp. K'(9O)) with the d-dimensional (resp.
d'-dimensional) Hausdorff measure id (resp. P/d). Then, for (0, ', s) E S, we
denote by /(_, 0', s) the image under 7ro,s of Ad x Ad'on K(0o) x K'(0o).
It is well-known that these constants cll > c1o > 0 exist such that, for
0o A, O9E A':
E
Co1< Adx Id/(K(0o) x K'(eO)) < C11.
Now, Kaufman's proof of Marstrand's theorem (see [PT2]) tells us that,

for fixed (0,_'), the measure p(, 0', s) is absolutely continuous with respect to
Lebesgue measure for Lebesgue-almost-every s, with L2-density Xe,o',ssatisfy-
ing
J Xe,',s1 s2 ds <c12(R),
where c12(R) is independent on 0, 9'.

4.3. When one controls IXo0,o',S L2, this gives, by the Cauchy-Schwarz
inequality, a lower bound for the Lebesgue measure of ro ,, s(X), where X is a
subset of K x K' with positive (d+ d')-dimensional Hausdorff measure; indeed:
1d dt (X) < /
x Xd 0,s, (t) dt
1/2 ii iL
<7o,o/,s (X) 1-- Xo 0 s
and therefore
ire9's(X) >(i-d X Ld(X))2 | X
*X
,sL2L2
4.4. Fix (0, 0') in E- x E'-. Let a E E(pl/2k), a' E yI(p/2k), with ao = 0,
a/ = O0. As seen in 3.1,
0', ) =
TTaTa'(O, (al ... an, 'al .. . a, eE'sIa (a {I ')(-1)
where e,e' E {±1} and
C31 < iI-(a)l I"(a')Kl- C13.
We therefore have
2
/ (T' 0/,)
XTa', ds < c12(R),
L7^ a L2
with C12(R)independent of 0, 0', a, a'. On the other hand, one has
# (p1/2k) < C14 -d/2k
# E'(p/2k) < C14 p-d'/2k
We conclude that
2 d+d'
/j R a,a'
XTaT' (0,0',s) ds < CP4 2k C'12(R)
We now define, with c15 > 0 conveniently large to be determined later:
E(O, 0') = E
GJR, Xo,0', <L2
< C15
2
~·~.p d+dt
and 5
XTaT',(01',) C15P2k
a,a' -
For c EG (pl/2), c e E'(pl/2), we define E(c, ') as the set of s E JR such

that there exist 0, 0' ending respectively with c, c' such that s E E(0, 0').

One has, for any 9 E E-,_' E '-:
m(JR - E(Q, ')) < c151(cl2(R) + c24 c12(R));

therefore, provided that
C15 > C1 (c12(R) + C24c2(R)),
we will have
m(JR- E(c, c')) < cl
for all c E E(p1/2), c' E I/(pl/2). This means that we can apply the Scale
Recurrence Lemma with the family E(c, ') of subsets of JR.
Let E*(c, c') be, then, the family of subsets of JR given by the Scale
Recurrence Lemma (cf. 3.7). We know that each E*(c,c') is contained in a
C2p1/2-neighbourhood of E(c, ').
4.5. Until now, we have only worked with the unperturbed maps g, g'
(except from a possible initial perturbation; see §3.4). We now consider the
family of random perturbations g9 of §3.5, and will proceed to construct the
sets L (0,'_, s), for (, ', s) E C. For a E E(pl/2k), let E-(a) be the open and
closed subset of E- formed by the 0 ending with a. Choose a subset E- of
E(pl/2k) such that
E-=U -(a)
2
is a partition of E-.
For a E E-, define a subset E1(a) of the subset E1 of §3.5 (recall E1 C
(pl/k)), as the set of words in E1 starting with a. For 0 E E-(a), we also
define 1(0) = 1 (a).
Letting 0 E E-, we write
f = [-1, +l]Si(°) x [-1, +l]Si-l(°)
and for such an w, we set

w*=(Q,W ).
This depends on 0, but nearby, 0 (with d(0, 0) < co1 p1/2k) will belong to the
same E-(a) and give the same projection w* of w.
For (_, 0', s) E £, the set LO(0, 0', s) will actually only depend (as far as w
is concerned) on the projection w* of w associated to _.
We will say that two words b°, bl E Y(p) are independent if there is no
word b E E(pl/2k) such that both b° and bl start with b.
With c16 > 0 conveniently small, to be chosen in the following, let
N= C16p-2k(dd-I)

4.6. Let (, O',s) E £, and _ E Q. We define L°(0,O', s) to be the set of

points (0, 0', s, t) in the fiber for which there exist pairs (b1,,b),..., (bN, bIN)
in E(p) x E'(p), with b = o0,bi = 0' such that, if we set
T Tb (S0s,
, S,t) = (0i, 0i, , ti),
the following hold:

(i) the words bl,... bN are pairwise independent;
(ii) for < i < N, fi E Enr;
(iii) for 1 < i < N, and i - sil < p1/2, (Oii0i s) E f;
(iv) for 1 < i < N, tii < 2(1 + R).
We will use also a slightly smaller set L1 (0, 0', s); it is defined in the same
way as L°(O, O',s), but with (iii), (iv) replaced by:
(iii)' for 1 < i < N, and I - si < 34p/2, (i, O, I) £;
(iv)' for 1 <i <N, \til < 1 + R.
In the end of this section, we will prove the following estimate.
PROPOSITION. If c16 is sufficiently small, there exists C17 > 0 such that,
for any (0,_', s) E £ and any _ E Q, the Lebesgue measure of L-1 (,O, ,s)
is > C17.
4.7. In the proof of the proposition, we will use the following estimates on
the family of random perturbations, to be proved in the next section.
LEMMA. Let 0 E -, , E Q.
(i) For a E E+, with ao = o0,
ik (h-(a)) k- (h(a))| < C18C5p 2k;
(ii) For a a word with ao = 0o, II(a) > co- p,
I|1 ,w(a)l 1
Log I(a)l < CC5 p 2k.
The constant cl8 is independent of 0, c, a, p, and the size C5 of the per-

turbation.
4.8. Let (,O', s) E £ be given. Choose a subfamily Z2 of E(p1/2k) of

words starting with Oosuch that
K(0o) = UK(a)
E2

is a partition of K(Oo). Similarly, choose a subfamily E2 of /(pl/2k) of words

starting with 80 such that
K'(0,) = K'(!).
2
For each (a, a') E E2 X '2
1
C19 p2(d+d') < _d X d'(K(a) x K'(ag)) < c19 p2(d
Let J(a, a') := ro, ,,s(I(a) x I(a')) for a E I2, a' E I2; now,
Ci19p2 < |J(a, a')I c19 p2 .
Say (a, a') is good if there are no more than c1 p-1/2k(d+d'-1) intervals J(a,a')
whose centers are distant from the center of J(a, a') by less than 2c19 p1/2k.
LEMMA. The number of bad pairs (a, a') is less than
3 lecisp-1/2k(d+d')
12C39 C16C15p-/2k(d+d')
Proof of lemma. By construction of £, there exist 0, _, with d(0, 0) <

(C2+ cO)p1/2, d(0', _) < (c2 + co)p1/2, Is - s < c2 p1/2 such that
IXi_L2 < C15.
Therefore, if we replace 0, 0', s by 0, _, s the endpoints of J(a, a') only move

by a distance of order at most pl/2. It is thus sufficient to prove the lemma for
0, , s with 2c19 pl/2k replaced by 5/2 c9 p1/2k
Let (a, a') be bad; then there are at least c16 p-12k(d+d'-) pairs (a, a')
such that J(a, i') is contained in the interval J*(a, a') of the same center as
J(a, a') and length 6 c19 p1/2k. This means that
.6>x ,1 (-,-)1.
C19 p1/2k = c19
1/2
C161 IJ*
jIJ-(a,a
f
But then, by Cauchy-Schwarz,
j 1J(a, <
a') J(a,a)
Xi, (8
X...
*(a,a_) )JV
'
< IC(a, a J(I*(,')

,5 IxJ
1 2(J1(,
|10 2
-(a,a) )
and thus
j2 C2 1 .( ,?j
X-

Let J* be the union over all bad pairs (a, a') of the intervals J* (a, a'); one can
extract a subfamily of intervals whose union is J* and which does not cover
any point more than twice.
Therefore we obtain
J
2 >1 -2 -1 1
- 12 19 16 _0,_
_
As x0- L2 < C5,
< 12 c9 C16C15.
/j X-
As J* contains J(a, a') for all bad (a, a'), the estimate of the lemma follows. D
4.9. To keep the argument clearer, we now prove Proposition 4.6 when
w = 0 (for the unperturbed map g). Afterwards we will indicate how to modify
the argument for general w.
First, we construct the pairs (b, b') amongst which the pairs (bi, b'i) of 4.6
must be looked for. We make the following easy observation:
LEMMA. Let 0 C Er,. The number of words c E E(p1/2) with co = 00,
such that cl ... Cm ~ Enr is o(p-1/2d) as p - 0, uniformly in 0.
Now let (0, 0', s) E C. It follows from conclusion (ii) of the Scale Recur-
rence Lemma and the last observation that we can find at least ½c3 p-1/2(d+d')
pairs (ci, C'i) E (pl/2) x '/(p/2) such that, writing
TciTc,i (0, O, s) =
(_00,i Si),
we have:
- OcE
oi EC
E;nr;
[si - p1/2, Si + p c/2] c E*(ci,c'i).
As (0i, 0'i, si) again belongs to £, we can for each i find at least ½C3p-1/2(d+d')
pairs (dij d'ij) CE (p1/2) X '(p1/2) (with the first letter of d'i d'i3being the last
one of ci, ci respectively), such that writing TdJTd, (i, 0i'(i, si) = 0',si),
we have
- 0 CEnr;
- - p/2, EE*(dij
[Sij Sij + pl/2] dij).
Concatenation of the ci, 'i and dij,d'ij gives a family of words (b2, b'ij) in
E(p) x E'(p) with at least Ic2 p-(d+d') elements.
Let (0, 0, s) be such that d(0, 0) < (co + C2)p1/2, d(0', ) < (co + c)p1/2,
s1 < C2 pl/2 and s C E(O, 0').
-
I

LEMMA. If c16 has been chosen sufficiently small, there are at least
1 -2 d+d'
2k pairs (a, a') E S2 x S2' which are good and which satisfy
6C3 c19 p
2
< 16
and sudch
and such that
that at least
least I1C3C1 p-(d+d' 2 2k) pairs (ci, Ci) start with (a, a').
6 19
Proof. By definition of E(0, ), the number of pairs (a, a') E I2 x E2 such
that
2
> 16
c 16
a 0
XTaT'/ L2
is at most C16C15p 2k""). Call (a, a') very good if it is good and satisfies
2
XTr(^) <C1
The number of pairs (a, a') which are not very good is thus
< C15C16(1 +lc312C19)P-
1p-2k(d+d').
(d+dl)
But for each (a,a') E I2 x E2, the number of pairs (c,c') E E(p1/2) x
E'(p1/2) starting with (a, a') is at most c19 p(d+d')(-2).
It follows, if c16 is small enough, that at least c3 p-1/2(d+d') pairs (_i,c'i)
start with a very good (a, a') E I2 x E2.
d+d'
The total number of pairs (a,a') is at most c9p 2k;
- if we discard
those pairs for which less than 6C3C1 p-(d+d )(2-~) pairs (i, ci) begin with
(a, a'), we are still left with 6C3 p-1/2(d+d') pairs (ci, i), of which no more than
2'
2 p-(d+d')( ) may begin with the same (a,a'). l
4.10. Let us call excellent those pairs (a, a') given by the last lemma.
Recall that we have defined
J(a, a') = 7rg, (I((a) x I(a')),
and define similarly J(ci,c i), J(bii, b'i). We only consider those i for which
(ci, 'i) starts with an excellent (a, a').
The following general lemmas will be used repeteadly:
LEMMA 1. Let (Ja)aEA, (J')aeA be two finite families of intervals, and
let X > 1, e > 0, v > 0.
Assume that for every a,
(i) 6 < IJaI< e, E < IJ'I;

(ii) the centers of Ja, J, are distant by no more than ye.

Then
, 1
U >
- >Ja
( ) (4v + 4) A)-
Proof. Let A' C A be a minimal family with
UJa =UJR
A' A
Then each point in U Ja belongs at most to two intervals J~, a E A'. Replace
A
each Jc, a E A', by the interval Jc with the same center and length e. Now,
1UJ.
IJ'l> A-1 IJal>A-'
A' A' A
On the other hand, let x E R; if x E J§, for a E A', then the center of Ja
belongs to [x - - x + ] and the center of Ja is contained in [x - (v + ½)E,
x + (V + j)e]. Replacing the Ja by intervals Ja with the same center and
length e, we see that there are at most (4v + 4), a E A', such that x E Jc.
Then we have:
UJ > Ua '
>
- 4+4+- IJ
A UU
A'
LEMMA 2. Let (JC)aCA be a finite family of intervals, and A > 1. For

each a, let K, be a subset of Ja with m(K,) > XA-IJal. Then
m( U K) >2m( .U) J)
Proof. We extract a subfamily A' such that U Ja = U Jc and each x

A' A
belongs to at most two Ja, a E A'. Then,
m(UKa) > m(UKa) >2 m(Ka)

A A/ Al
,-1
> 2 IJZ.I O
A'
4.11. Now let (a, a') be an excellent pair. For i such that (c, ci) starts
with (a, a'), let J(i ci) = W- (I(ci) x I(_'i)), and let Jl(a,a') be the union
of those J(ci, c'). The Ad x /d'-measure of the union of the K(ci) x K'(c'i) is
> C20 p 2k (d+d' (because (a, a') is excellent), and it follows then from 4.3 that
IJl(a, a)| > C21C16p-/2k.

When we come back to (0,O', s) and define Jl(a,a') to be the union of the
J(ci, cl) starting with (a, a'), the sizes of the J(i, ci) are still of order p1/2
and the centers are distant from those of J((ci, ci) by distances of order at most
p1/2. Then, by Lemma 1 above, we get
Jl (a, a')| > C2-21
C16p/2k.
Similarly, for each (ci,c'i) (starting with (a, a')), let J1 (c, c'i) be the union
of the J(bij, 'ij) starting with (i,'i). Then there are at least C3p-1/2(d+d)
such (b, b/'j), and (0i, si,s) = TiTC, (0, ', s) belongs to C.
Therefore, again using 4.3, we conclude that
IJi(_i,'/i > -1) (i,')i.

9
(The argument is the same as that above: we first consider (, ,si),
2
with d(Oi,0), d(Oi ),s) i - si of order p1/2, such that X0,i
0 )
-i < c5.)
)"i L2
Finally, let J2(a,a') be the union over those (_i, ci) starting with (a, a')
of the sets J1(_ci,c'i). By Lemma 2 above,
IJ2 (a, ) > -C23 C2- C16P
Let p (resp. P2) be the sum, over excellent pairs (a, a'), of the characteristic
functions of J(a,a') (resp. J2(a,a')).
The number of excellent pairs is > 1c3c 2 2d by 4.8, and therefore
6an2 19 b
dereore .,
2 > C23 C22 C3 C19C16p-2k(d+d-1).
12
On the other hand, because excellent pairs are good, one has
P2
2 _<V cj-1 P-1/2k(d+d'-l1)
< C16
_<
We conclude that
m({ 2 Cp- (+'-)}) C24C16 = C17
if cl6 > 0 is small enough (recall that the support of P2 is contained in an

interval of length 1 + R).
But, if (p2(t) > c6 p-2k(d+d'-), this means that there are at least N ex-
cellent pairs (a1, a'1),..., (aN, a'N), and for each of these pairs (ag, a'), there is
an element (biJ,b'ij) starting with (at, a't), such that t e J(bi, b). Renaming
(bi, b'ij) = (be, be), and setting
TbeTe, (0, ', s, t) = (e, Oe, , te),

we see that conditions (i), (ii) of 4.6 are satisfied; now, by choice of the
V3, b"'i:
(iii)" (et, 0te, ) E C if - se < pl/2;
finally, t E J(be, b') X Itel < 1 + R.

Hence (i), (ii), (iii)", (iv)' are satisfied and t E Lo1(0,0',s). We have
proved that
£ILo (0, ', s)I > C17.
4.12. We now consider the random perturbation g9 instead of g. By def-
inition, we have to work with g*. By 4.7, doing this, the endpoints of each
J(a, a') are moved by no more than c18C5 pl- 2. So if p is small enough, and
(a, a') is good, there will be (for g*) no more than c p-(d+d-l 1) inter-
vals J(a, a') whose centers are distant from the center of J(a, a') by less than
Cl19p2k (instead of 2c19pl/2k in the unperturbed situation).
When we use the pairs (ci, c'), (dij, d'i), (bij, b'j) from the beginning of
4.8, the conditions 0i E En, 03 E Enr are independent of w. Writing
T* T (0, ,) = (0, 0'i, si(w*)),

we have Isi(w) - Sil < C5C18p-12 by Lemma 4.7 (ii); writing
Tddi (-i,- ai, S) = (oij J° (*)),
T ,iIJ (,i',i ,si() = (ij , sij(W)),
we obtain
sij(u_*) - s((w*)l <- C5C18 pl2k
Is (w*) - Sij C5C18p 2k
and thus
- < C5(c18 + C18)pl k.
Isij sij(*)l
This will guarantee condition (iii)' of 4.6 later.
Keeping the same notion of excellent pairs, we consider for the perturbed
map g* and excellent pair (a, a') the subsets Ji (a, a'), J2 (a, a') of J-* (a, a').
By the estimates of Lemma 4.7 and the Lemma 1 of 4.10, we will still have
IJ- (a, a')1 > C2- C16p2k
For the same reasons, we will get
1(-,Ci
IJ1 (, i, I) --C23J* I)1
and this allows us to prove in exactly the same way that
m({ > c p- k(d+'-1)}) > .

The proof of
(t) > c p-2k -1) t E L-(, s)
is the same, except that we have
Ise(w*) - sel < C5(/18 + C8)p1 2k,

which gives (iii)' instead of (iii)".
4.13. If we want to prove the reinforcement of Theorem 2.4 given in 2.5, we
must modify the definition of L (0, ', s) (for (_,_', s) E £, w Q) as follows.
Let d < d + d'- 1; choose d < d* < d + d'- 1, and k large enough to have
(1-k)(d+d' -1) > *.
Let M = [p-d]. We define L°w(,', s) to be the set of points (_, ', s, t)

b
in the fiber for which there exist pairs (b ,t ), 1 < £ < N, 1 < m < M such
that conditions (ii), (iii), (iv) of §4.6 are satisfied for all e, m and moreover
(i') for any 1 < m < M, the words bl,..., bN are independent.
We also ask that
(v) n I(bl,)=
I(Ybm) 0 if (e,m) + (e, m').
Replacing (iii), (iv) by (iii)', (iv)' we also define L, (0,_', s).

We now claim that Proposition 4.6 still holds:
[l (_0,_0, s)| >
C>17.
To prove this, we proceed as above: for an excellent pair (a, a) and (ci,ci)
starting with (a, a'), we now define Jl(ci, i) as the set of t which belong to
at least p-d* intervals J(bij, b'i) (with (b1i,bi') starting with (ci, ci)). As
d* < 1 (d + d - 1), we still have
j1 (C, 'i) I ,> c-2l-IJ(ci, Ci)I
Next we define J2(a, a') as the set of t which belongs to at least p-1/2d*
sets Jl(_i,c'i) (with (ci, ci) starting with (a, a')). Because 1 d* < 2 - ) (d+
d'- 1), we will still have
I2 (a, a')I > C2-31

pl/2k.
If 02 is the sum, over excellent pairs, of the characteristic functions of the
J2(a, a'), the same argument as for P2 shows that
m({(2 > N}) > C.17

If 92(t) > N, it is now easy to construct the (b-, b4) as required: the index
t refers to the excellent pairs such that t E J2(a,a'), and the index M <
! d* I d*
p-2*
2 p-~ d for the possibilities for fixed (a, a').
5. The family of random perturbations
5.1. In this section, we will prove the estimates of the lemma in §4.7 and
the proposition in §3.8. We begin with the lemma in §4.7, part (i).
We are given 0 E - and a E Z+, with ao = 0o. Let w E Q; we want to
show that
Ik',W(h^(a)) - k(h(a))l < cC8 5 pl- .
Let a = (ao,..., am) be an initial part of a which belongs to E(pl-1/2k). The

sizes of I-(a) and Io,(&) have order pl-1/2k, and we have to show that these
two intervals are distant by no more than C5C18pl-1/2k.
To simplify notation, we just write faa' for the inverse branches associated
to g_.
Because the C°-distance between faa' and faa' is C5p1+1/2k, and these
maps are contractions, the endpoints of TI(a) are distant from those of I(a)
by no more than a multiple of c5 pl1+/2k. So it is sufficient to see that the
C°-distance between k° and k°,' k- is no more than C18C5p1-1/2k
5.2. Let z c I(0o); set
o = o =', yo = o = 1, zo = o = z,
and define by induction
Xn = fo_,_-n+l (Xn-1), Yn fO n,f_-n+l (Yn-1)

Zn = f_-n,0-n+ (Zn-1), X n = foe-n,-n+l (n-l),
Yn = fo-n,6O-n+i (Yn-1), n = fo-n,-n+l (n-1).
We will just write fn, fnfor foenOn+l, fo-n,-n+l and now,

n - X
kc-(z) = Lim
n--+oo n - Xn
ko(z) = Lim Zn-

n--+oo - Yn Xn
Because fn, fn are Co-distant by c5 pl+l/2k, we will always have
zn - Zn < CC5 pl+1/2k
Ixn - Xnl
<7 CC5pl+l/2k
lYn - n I < CC5 p+l/2k

Thus, as long as Yn - xnj > c3c p/k

Zn - Xn Zn -n - l-
-^ ~ < CC5 p 2-.
Yn - Xn Yn - Xn
Letting no be the largest such integer, we will have lyn - Xnl < C2 p-l/k for
n > no. Therefore on an interval containing the six points xn, Yn, Zn, Xn, Yn,
Zn, we will have (cf. 3.6.3) either
fn+l(u) = fn+l(U)
or
fn+l (u) = fn+l (U) + C5 Cn+1 p+/2k
(where wn+l is a component of w).

Thus we will have, for n > no:
1
Zn+l - Xn+ = (Zn - Xn) Dfn+l(n + t(Zn - Xn)) dt,
Jo
Zn+1 - -n+l = (Zn - :n) j Dfn+l (Xn + t(Zn - Xn)) dt,

/o
and similarly for Yn+l - Xn+l, Yn+l - Xn+I.
Now,
-
Zn+l - Xn+l =
Zn Xn
an ,
Yn+l - Xn+l Yn - Xn
yn+l - -- Xn
Xn+l Zn
with
o1Dfn+l(Xn + t(Zn - Xn))dt
fOnDfn+l (Xn + t(yn - Xn))dt
n + t(in - fn))dt
J'o1Dfn+l(
fJo Dfn+l (n + t(n -- n))dt
Next,
In - 11 < Clyn - Xn, &n - 11 < Cn- nXnl
and also
a n- n| < ccs p /1+1/2k
We obtain, setting
Zn+1 - Xn+l Zn+l1- Xn+l
n+Wn=-- Yn+l,
Yn+l -- n+l Yn+l - Xn+l

that
-
]Wn+11 <_ lWnl(l + Clyn Xnl)
+ c Min (c5 p1+1/2k, lXn - Ynl +
±-n - YnP),
starting with
1-1/2k
Wno I CC5 p11/2k
It is thus clear that lWnlI _ cc5 p1-1/2k for all n > no, which gives part (i) of
the lemma in §4.7.
5.3. We now turn to the second part of the lemma in §4.7.

LetO0 E -, and a ao... a, be a word inY with ao = Ooand I(a)j >
CoI p. We define
U-m U-m 0, V-m V-m = ,
U-j fajaj+i (U-j-1), V_j fajaj+i(V-j-1),
L-j -fajaj+j(iU-j-1), i-j -fajaj+x (V-j-1),
for 0 < j < m. Then uo, vo (resp. uo, io) are the endpoints of I(a) (resp.
I-(a)). For n > 0, we define (Xn)n>0, (Yn)n>O, (Un)n>O, (vn)n>0, (Xn)n>0'
(Yn)n>0, (Un)n>o, (Vn)n>0 as in 5.2. One has
II-°'(a) I = Lim
imn- Unl lYn-- Xnl
I -(a) I n-+oo -P
Ivn - unI In- nI
As above, we have
Max(lvn - nl1,IUn -iinl) < cc5 p1+1/2k, for all n > -m,
Max(lxn -s1H, IY-

lYn ) < ccs p1+1/2k, for all n > 0.
Let nl be the largest integer for which Ivn - unjpll/k;
_ P_ we have
-
- U1 I
K111
Log < CC5 P-1/2k
-
iVn1 Un1!I
and, for rn> n1

Vn+l - Un+l Vn - Un
- -
Vn+1 Un+1 Vn Un
with
=f Dfn+l1(ii4 + t(In - fLn))dt
fo1Dfn+l(Un + t(vn - Un))dt
so that
1+1
lAn -A-1 cc5 P l+l/2k
11 I CC5

This means that for n2 = [p-1/k] > ni, we will still have
-
Log 1n2 n2 < Cp1-1/2k
Log
n2-un2l
We can show in the same way that
-
Yn2 n2 -1/2k
Log CC5p
-
1Yn2 xn2
For n > n2, we write as in 5.2,
IVn+l - Un+ll I Vn - Unl
Iyn+l - Xn+l IYn - Xnn
with Ian - 11 < clyn - xnl; this allows us to get

v - -
LimLimUnVa-ulUn2I vn2
Cv
n--+oo Iyn-Xn Iyn2- xn2C
with la - 11 < clyn2 - n2 (because yn - xnl is decreasing geometrically).
Similarly
if\n- n\ I|fn2- fLn2 ~
Lim =
n- +oo |y - Xn\I Yn2- 7n2I
with Id - 11< cyn2 - -n2 1. As
Max(ln2 - Xn2j, IYn2- xn21) < p 11/2k
we obtain the required estimate.
5.4. In the rest of this section, we will prove the proposition in §3.8. We
first recall the setting where u = (0, 0', s, t) E C x R.
The set Qfl(u) is the set of parameters w E Q, such that there exists
u = (0,, s,t) E L x R with
d(, ) < 2p5/2, d(_', j) < 2p5/2, Is- I< p, It- tl <
and
te L°(, ', s).
The set Qo(u) is the set of parameters w E Qffor which there exist b E E(p),
b' E E'(p) (with bo = 00, bo = 0o) such that the image
Tb, (U) = U
= (0, , S, t
satisfies
11/2
(0)sO, ')E L for Is-' < pl/
tE L°(, , ,).

We have to prove that, provided c5 is large enough,
P(Ql(u) - Q°(u)) < exp(-7 p- (d+d'-1))

where IP is normalized Lebesgue measure on Q.
5.5. Recall the decomposition of 4.5:

Q = [-1, +1]S() x [-1, +1]S1-i(-),
which only depends on 0 through an endword in Z(pl/2k). We have set * =

(O, ") in §4.5, and L(0_, 0', s) actually only depend on w* (or i"), not on w'.
Therefore, the property w E Ql(u) depends only on "/ (one has Si(0) =
l (0) as d(O, ) < 2p5/2).
We will fix W/"E Q" = [-1, +1]E1-1(9). Then either w* = (O,") Ql(u),
and then ([-1, +1]El(9) x {w_"}) n Ql(u) is empty, or c* E Q(u). In this last
case, we will prove that
IPQ(Q' - Q' (u)) < exp(-c7p k (d+d'-l))
where
Q' =[-1,+1]r1(-),
Q'O(u) = {' E Q', (w', ") E Q(u)},
and IQ/ is Lebesgue measure normalized on Q'. Proposition §3.8 will then
follow by Fubini's theorem.
5.6. From now on, "/ is fixed, with w* E Ql(u). This means that there
exists u = (0, 0, s, t) in £ x IR such that
d(,L) < 2p5/2 d ) ,2p5, < s -

It - tl <
and
t E L*(, ',s).
By definition of L°., there exist pairs (b1, b'),..., (bN, b'N) (with b- = o=
o, bi = =0=), with N = [c2 p (d+d-)], such that, with
T(--, 0 s, t) =: i =: ( ,i t),
we have
(i) bl,...,bN are pairwise independent;
(ii) i E Snr for 1 < i < N;

i - for 1 < i < N, < 2 1/2
(iii) (, 'i) E gi-sl
(iv) Iti < 2(1 + R) for 1 < i < N.

For 1 < i < N, consider

ui = (0 e Si,ti) := T',
T,(, s, t),
and more generally, for ' E Q', U = (w/, w"):
ui(') = (_i,'i, ti(w')) :=

iTT,i(s,H',
i(w'), s, t).
LEMMA. For 1 < i < N, _i E Er and, for all w' E Q', (0 i,', s) E L if
Si- (w') < pl/2.
Proof. From d(O,_) < 2p5/2, it follows that d(t_, ) < cp7/2; but " E Enr
and this set is determined by a condition on an endword in E(p3). Therefore
_i E Si. Moreover, C has the same fiber over (, O ). By the proposition in
§1.3,k-0 and kc are at a C1 distance of order at most p5/2, and similarly for
--4i
kI'i and k'c i . Therefore
\Si - Sil < cls - sl + Cp5/2 < cp.
Also, by Lemma 4.6, part (ii):
i(0) - Sil < cc5 C18pl-1/2k < 1
if p is small enough. By property (iii) above, we therefore will have
(0i,'i, 's ) e if Is' - Si(') < 1pl/2.
5.7. Let W'E Q'; in view of the lemma above, if there exists 1 < i < N
with
ti(w')E L°(0, i, si('))
then w' E Q°(u).
Let a E E2, a = (O-r,..., 00) be the endword of 0 in E2( E(pl/2k)). For
1 < i < N, let
a = (0_,..., o0 = bI, b',..., b,)
be the element in E1(8) obtained by concatenation of a and the beginning of

bt. Because bl,... bN are pairwise independent, the elements al,... ,aN of
El1(0) are distinct.
Let E1(8) = E1() - aN}; we will denote by wi (1 < i < N) the
{al,...,
coordinate of w' corresponding to ai. We thus have
Q' = [-1, +1]N x i', ' = [-1, +l]1 '(),
((1, ... ,WN), _).

We will prove that for any -' E Q', the set of (WI1,... ,C N) for which there
exists 1 < i < N with ti(w') E L° ( 'i, ', i(O')) fills [-1, +1]N except for a set
of normalized Lebesgue measure < exp(-c7 p 2k (d+d-1)) (provided C5is large
enough). By Fubini's theorem, this will imply our statement.
5.8. For c/' Q', set i' = ((O, '),w"). For 1 < i < N, define
L L:=L-(i 0si, i(c2)) (cf. §4.5).
Choose 0 E - with d(0, 0) < p5/2, such that the endword a E ES of 0 (and
0) does not appear elsewhere in 0. For w' = (w1,... ,WN,i/), w = (w',wC),
consider
T Tb,i (f, ', s, t) (, 0'i, Si ( ), ti (W)).
LEMMA 1. ti(w') depends only (for fixed w") on wi, not on V' and wj,
j 5 i. Moreover, there exists c7 > 0 such that
mw{i, ti(Ci) E Li} > cl7.
LEMMA 2. Let w' = (w1,..., CWN, ) E Q' and 1 < i < N. If ti(wi) E Li,
then ti(w') E L (O,i0'i, si(w')), and thus w' E Qo(u).
Clearly the two lemmas imply Proposition §3.8, when we recall that N =
[C2 p-1/2k(d+d'-l)].
5.9. Proof of Lemma 1. Let 1 < i < N. We want to understand how the
endpoints of K-'W(bi)depend on w'. Consider first the sequence defined by
xo = xo(W) = O, Xn(W') = f- (xn-I(w')) for n > 0.
Claim. for n > 0, Xn does not depend on w'. By §3.6.3, it is sufficient to

prove that for n > 0, Xn(w') does not belong to any I(a), a E ES1().
If II(0_n,..., 0o)| < p5 this is true because elements of ES(0) start with
a, and there is only one occurrence of a in 0: a = (0-r,..., *o) E E(pl/2k).
If I(0-n,... , o)l > p3/5k, xn(') cannot in fact belong to any I(a),
E E1, at least if p is small enough; indeed, the endpoints of K(0o) are pre-
periodic under g, so that a would end with a preperiodic word (independent
of p) of approximate size p2/5k, which precludes a E El. D
In the same way, one proves that the sequence
YO= yo(WI) = y, Yn(W) = f__, (Y , ())
is independent of w'.

Consider now, with bi = (b7,..., bm), the sequence
U-m = U-m(W') = 0,
U_- j() (U -j-1(_t)) 0 ~ j < m
Un()= f - (Un-l(w)), n > 0.
For the same reasons as above (using that a does not appear twice in _), we
have that un(') is independent of ' for -m < n < r. Then we have, by §3.6.3
Ur (') = Ur (0) + C5 Wi p1+1/2k
For n > r, Un(G') again cannot belong to any I(a), a E S1($). Setting
= -() = (...,-r-1, 8-r)
we see that the endpoint of I-W(bi) determined by (un) satisfies
u(w') = B o k-c (Ur(O) + C5i p1+1/2k),
where B is the affine map (with the appropriate orientation) sending I(a) onto
I(8o). Neither B nor k-,cz depends on '.
The other endpoint of I-,(bi) satisfies a similar formula.
This means that ti, as a function of ', only depends on wi. Moreover, as
kOe, is bounded in the Cl-topology and the derivative of B is of order p-1/2k,
c C5 < < CC5.

r9i
On the other hand, we have ILil > c17 by the proposition in §4.6, and
Li C [-(1 + R), 1 + R]. So to end the proof of Lemma 1, we have just to
control ti(0). Let
b T (0,, 0 s, t) = , ,t)
We have just seen that in fact t' = ti(0). On the other hand,
TT.i(qS,,=(
, ,i), ,i,
with d(, _) < 3p5/2, d(', ) < 2p5/2, Is - s < p, It - tl < p and
Iti < 2(1 + R).
Then Iti- t I< cR, which implies
Iti(0)1< 2(1 + R) +cR,

which concludes the proof of Lemma 1.

5.10. Proof of Lemma 2. Let w' = (c1 ,... ,CN, /), _ = (_', "), C =
((O, i), "). Let also 1 < i < N. We assume that ti(wi) E Ll( 1i i, si(i))
and we want to show that
ti (u') E Lo (oi , si (_')).
The hypothesis means that there exist pairs (c1, c1),..., (_

(N, 'N) (with c =
o, co = oi in E(p) x S'(p)) such that, if
(i),j (Oi, 'i, si(c)), t-(w)) = 0(oJ)0(j) s(),t^(j))
(where cS(i) is obtained from cj by setting the coordinates in El(Si) equal to

0), then
(i) c1, .., cN are pairwise independent;
(ii) 0(j) E nr for 1 < j < N;
(iii)/ ( 9() 0(ji) ) E C for | (j))-/2; ^~ i< 3pl/2
(iv)' It(j)l< + R for 1 <j <N.
Let
(i)T, i i( ), ti( )) = (9() () (j), t(j)),
where w(i) is obtained from w when the coordinates in S1(0i) are equal to 0.
We will show that for 1 < j < N:
(iii) (,9'J,(j) ) ) E C for s'j) - s(j)I < p/2
(iv) It(j)I < 2(1 + R),

and this implies Lemma 2.
It is thus sufficient to show that
Is(j) - S(j)l < 12pl/2

It(j)- t(j) < 1+ R.
The first inequality is easy: by Lemma §4.7, part (ii), we have
Isi(') -_ _Si(C < C5C18

s^ )I) ^ -1/2k
sp1-1/2k
and applying a second time the same estimate from this lemma (to compare
T(i) and T(i)) will give
-
IS(j) (j) < CC5C18pl-1/2k
which is < Ip1/2 for small enough p.

12

To prove the second inequality, we first compare ti(wi) and ti(w'). By

definition, ti(wi) is the t-coordinate of TTb,i (0,t,s,t), while ti(w) is the
t-coordinate of tTbT (0, O's,
S.t). As d(0, 0) < p5/2, the C°-distance between
kc,kko is at most of order p5/2, and this implies
Iti(wi)- ti(u') < p3/2.

We next prove the
Claim. Isi( ) - si(w) < cc5 p1+1/2k

(a reinforcement of Lemma §4.7 part (ii) in this case).
Proof. Let
TbT'i(, s('),= (,
S,(t')). , t
As d(0, ~) < p5/2, kC,Wand k0,w are at a Cl-distance of order no more than
p5/2. This implies that
I(() - si()l < cp5/2,
Ii(_')- Si(')I < cp5/2.
To compare si(W), Si(w('), we go back to the proof of Lemma 1. The
endpoints of Iw(bi) depend, for fixed w", only on wi:
u(') = B o k,'W(ur(0) + C5Wi p1+/2k),
v(w') = B o k' W(vr(0) + C5Wip1+1/2k).
As kc,w"is C2-bounded, we obtain
Ii() - i(')<- ccS p1+l/2k,
proving the claim. O
Finally, let
(') T:clj(oi,, ,si ( '), ti (W')) = (o(j), '(j), s(j), t()).
LEMMA 3. It(j)- t(j) < cc5 p/2k.
The lemma is proved in the next section. Using it, we finish the proof of
Lemma 2.
Let t (j) be the t-coordinate of
(') :Teej
(0, S",(S), ti(~'))

Because ti (wi) - ti(w')| < c p3/2, we have
It(j) - t(j)l < cp/2

and since si(J') - si(c) < ccs p1+1/2k,
-
l (j) t(j) < CC5 P
By Lemma 3, the same estimate holds for It(j) - t(j) . We conclude that
for p small enough, we have indeed
It(j) - t(j) I < 1 + R,

as was required. [
5.11. Proof of Lemma 3. We will compare, for s E JR and t E I, the

t-coordinates of
T() T,j (i, t- ,
and
-: T, (,0_ o", t-).
T1J
The two elements w(i), (i) have different coordinates only at a1,..., aN where
those of w(i) are arbitrary and those of cZ(i) are 0. We observe also that,
because 0 ECE,nr
1(0) n El(0i) =0,
and that the coordinates of w(i) (or cz(i)) in E1(0i) are 0.
Thus, we have to understand how the t-coordinate of T(i) T' (0i, i, s, t)
depends on (c1,..., wN), which amounts to understanding how the endpoints
of Io' ,(i) (cJ) depend on (W1, ... , WN). The scheme is the same as in the proof of
Lemma 1. We replace Oi by 9i; as now d(Oi, ) < cp7/2, this will only move the
endpoints of I',(ci)(cJ) by at most cp7/2, and the corresponding t-coordinates
by cp5/2
In the iteration process of §5.9, again the only dependence on (Wi1,..., wN)
is when we apply f -r(i) -r+l1 (we use here the fact that 0() E En). We will see
as in §5.9 that the endpoints w+ of I° '(i)(c) do not depend on wk, k 7 i,
and the dependence on wi is as follows:
-
w k(W + Cwipl+l/2k) k(Ur + C5Wipl+l/2k)
k(Vr + Csipl+l/2k) - k(Ur -+ C5Wip1+1/2k)
where k -= kc(i) does not depend on WJ1,... ,oN. Writing
+
w(W )
W+ - Ur fo Dk(ur + t(w+ - Ur) c5Wipl/2k)dt
Vr - Ur
fo1 Dk(Ur + t(Vr - Ur) + CWipl+l/2k)dt

we see that
d+(w i)< C5 p1+1/2k,
(9wi
as k is C2-bounded. We thus have the control on the endpoints of I '-(i)(cJ)

which guarantees the estimate of the lemma. O
5.12. For the theorem in 2.5, we need to prove the probability estimate in
3.11. But, with the notation of 4.13 and fixed 1 < m < M, the same proof as
above (with the L, instead of Lw) shows that
- < exp ( - cp-2k(d+d'-l))
P( (u) Qf(u))
where in the definition of Q° (u) we require (b,b') to be one of the bm,b,.

Thus we obtain
P(Q (u) - W (u)) < M exp ( - C7p- '(d+d-1)) < exp ( - p- -)
6. Proof of the Scale Recurrence Lemma
6.1. We will first formulate and prove a result, in a slightly more general
setting, which contains the key argument in the proof of the Scale Recurrence
Lemma. We consider a finite alphabet A and a finite set A with a map
A AxA
A (a(A), (A)).
Define
A3 = {A, a(A) = i, w(A) =j},

Ai = A, a(A) = i),
A3 = {A, (A) = j},
A(2 ((, A') e A2, a(A') = w(A)}.
Set also
N = #Aq, Ni = #Ai , i = N1 N7 .
We will assume that there exists p* > 0 such that p7 > p* for all i, j.
The stochastic matrix (pj) has a left eigenvector (pi)iEA satisfying
pi= p pp i
>p*, = .
i i

If we set
a
P
A' - { O if w(A) o(A')
N 1 if w(A) = a(A) = i E A,
p=N lpi, A EAi

then (pA')(A,A)eA2is again a stochastic matrix with left eigenvector (pA). Indeed
we have (with A' E A, a(A') = j)
S pAp' = Ni-1pi N-1

A i AeAj
= pi N-
N-l p pA'.
i
For z = (ZA)AA E CA, define
IZ112= pIZA 12= 5 pi

1 ( IzA12
A iNi Ai
Observe that, if (0O') is a family of complex numbers of modulus < 1 and
A'
we have
=
EA/ 1IA 12;
W122< E
A' A' A'
hence
llwll2 < Ilzl2.
6.2. In the setting above, we consider a family (EA)AEAof bounded mea-

surable subsets of IR, and a family aA of real numbers. Let also p > 0 be a
small positive number. For A E A, x E 1R,c(A) = i, let
nA(x) = N,-1 # {A' E Ai, [x - p, + p] C EAx- a }.

We will assume that the following holds: there are Ao > 0, 0 < no < 1 such
that for any E [[, Aop-1], the operator
WA = E eiax zA
acting
(, on has norm (we know already that the norm is
acting on (CA, || |) has norm n0o(we know already that the norm is < 1).

PROPOSITION. Under the above hypothesis, there exists 0 < ;1 < 1, e > 0,
0 < T < 1, depending only on Ao, so such that, if IExI< e for all A E A, then
CpX E,* I < 1C AJIEA

where
E- = {nA(x) > r}.
6.3. Proof of proposition. For A E A, w(A) = i, let:
XA = 1E),
YA= XN E
AeA XI\/(
+ aA),
Ni
ZA(x)= 2I Y(x+ t)dt.
Since Zx > nx,
pAIZAI22> 2 pAIE 1.
X X
We will show, under the hypotheses of the proposition that
pAIZAI2< p2pAIXA2 =2 pAIEl,

A A
for some K2 < 1 depending only on so, Ao and this will imply the proposition
(with nl = T = 21/3). To prove this inequality, we will consider the Fourier
transforms of XA, Zx, YA. We normalize the Fourier transform as
X ()= j X (x)e-x dx.

J -00
We then have
YA(()= N- E Xv(06) eia>

'A i
an= Nd-P eaP e X,(),
and
ZA(~) = ysinp .
We estimate EPXA Z ()l2 in various ways, depending on ~:

a) If I<l < 1, we use
IZA(0)1^<
\Z,(}\~ IY(f)[ iI<
Y<(x)dx
|W ^
xdEP
= p E,A
/-00o Y{x()dx=A
A
to get
EPAl()
12 < pA(P EA,i12) < EP A EAI'2;
A A A' A'
b) If 1 < |IJ < Aop-1, we use again
IZA(0l < IY(01

and by the hypothesis of the proposition
EpXA' ()12 < N pALX()2;
c) If llj > Aop-1, from 6.1, we have
ZpXAYX(E)12 < Z1pXAlX()

J2,
but now
sin p sin u
f< 3 = Max < 1;
pC u>Ao u
hence EpXIZX()12 < n2 E,pAXIx() 12. Putting these estimates together

gives
2
j EplA ( 1)l2 d <[Max(no, 3)]2 J IpAXA() d
J-00 X J00 A
+ 2 pAlEAl2.
Now we have
Illl=1122l2, 12 2
= 2leA
IIZXIIL2 1 211 1,
and therefore
1
2<
]pAIZAIL2 pZAEAI,
A
-1
with r222 [Max(no,
- ra)]2 + E. If e is small enough, < I which concludes
the proof of the proposition. O1
Remarks. The main point of the proposition is that r, c, l1 depend neither

on the Ex nor on the aX or the combinatorics.

6.4. In the same setting as in 6.2, let A1 > 0 and
nA(x) = N-1 #{A' E Ai, [x - Alp, x + Alp] n (E,i - a,) 0}.

We denote by Va(E) the 6-neighbourhood of a subset E C R (i.e. the set of
points at distance < 6 from E).
COROLLARY. There exist 0 < i4 < 1, e1 > 0, 0 < T < 1, depending only
on Ao, no, and there exists A > 0, depending only on A, A1, Ko such that, if
IVAp(E,)l< el for all A E A, then
pAlVap((E)I 4< VAplV^Ip(EA)I,

A A
where E- = {n( > }).
Proof. We first observe that, for any bounded subset E,

I (1 + A-1(AI + 1))IVAp(E)I.
IV(A+A,+I)p(E)
On the other hand, if [x - A1p, x + Alp] intersects EAI - a, and Iy - x < Ap,
then [y - p, y + p] is contained in V(A+Al+l)p(EA')- a . We thus take A large
enough to have
n4 = (1 + A-1(A1 + 1))nl < 1, e1 = e(1 + A-1(A1 + 1))-1,
and apply the proposition to the V(A+al+l)p(E>). °
6.5. After these general statements, we come back to the setting of the
Scale Recurrence Lemma. Recall that E(p) is the set of words a in E such that
co1p < II(a)l <cop

and that
JR = [-R,-R-1] U [R-1, R].
We will need in the proof to distinguish two cases:
A) g and g' are orientation-preserving (after perhaps modification the ori-

entation of some of the I(a), I(a'), a E A, a' E 4A'). Equivalently, all
periodic points of g and g' have a positive eigenvalue.
B) There exists at least one periodic point of g or g' with negative eigenvalue.
We will prove the lemma in case B). Case A) is simpler and we will rapidly
indicate at the end how to modify the proof for that case.
In relation to the abstract setting of §6.1, we set
A =A x A' x {-1, +1},
A =E(p) x '(p) x {-1, +1}.

The map (a, ): A -* A x A is defined as follows: for a E E(p), a' E '(p),

u E {-1, +1},
cx(a, a', u) = (ao, auw)

w(a, a u) = (an,an, ,),
where an, an, are the last letters of a, a' and w = +1 (resp. -1) if fa, fa, have
the same (resp. opposite) orientation.
It follows from the hypothesis of case B), and the hypothesis that E, Z' are
topologically mixing, that if co has been chosen large enough, for all i, j E A,
1 p(d+d) < # = N < cp(d+d).
We are given a family E(a,a') of subsets of JR, for a E E(p), a' E '(p).
Define, for (a, a', u) A
F(a, a', u) = {x, uex E E(a, a')},
which is a subset of [-r, r], r = Log R. To say that all JR - E(a, a') have
small measure amounts is to say that all [-r, r]- F(A), A E A, have small
measure:
m([-r, r] - F(A)) < cl.
Finally, we define the family of translations (a')(

A, )^(2) of §6.2. To do this,
we choose, for each a E S(p) (resp. a' E Z'(p)) an element 0 E Z- (resp.
0' E E'-) ending with a (resp. a'). Then, if A = (a, a', u), A' = (b, b', v) satisfy
w(A) = a(A'), we set
a = Log II' (b') - Log I°I(b).
We will prove later the following:
LEMMA. The hypothesis of the Scale Recurrence Lemma implies that the
hypothesis of Proposition 6.2 holds, namely there exist Ao > 0, 0 < no < 1
such that for E E [1, Aop-1] the operator defined by
wxA= 3p. eiaPX x,

has norm < Ko.
6.6. Let A1 > 0, and then let A be given by the corollary in 6.4. For
A E A, we set
Eo(A) = [-r, r]-VAp(F()).
Starting from Eo, we define for n > 0 sets En(A) in the following way; if
En(A) has already been defined, we define, with C3 > 0 fixed sufficiently small,
En(A) as the set of x E [-r, r] such that
#{A', w(A) = a(A'), [x + a - Alp, x + aX + Aip] C [-r, r] - En(A)}

is less than C3p-(d+d'). We then set
En+i(A) = Eo(A) U En(A).

Provided c1, c3 are sufficiently small, we will have:
LEMMA6.6. EpAIVAp(En(A))I < KEpIVAp(En(A))I,

5 with 0 < 5 < 1.
A A
Before proving the lemma we finish the proof of the Scale Recurrence
Lemma. It is clear that for each A E A, the sequence (E,(A))n>0 is increasing.
On the other hand, by Lemma 6.6, we have
P IVApnp(En+l
(A))I< K5 PA + MaxIVp(Eo(A))I.
IlVAp(En(A))I
Defining E, (A) = U En(A), we thus obtain

n>O
1
ZpAlVAp(Eo(A))I < MaxIVap(Eo(A))I.
We observe that VAp(Eo(A)) is contained in [-r - Ap, r + Ap] - F(A), hence

its measure is less than 2Ap + c1. Consider
Fo(A) = [-r, +r] - Eo(A).
Let x E Foo(A); by definition of En(A) C En+l(A), we have, for every n > 0
#{A', (A) = a(A'), [x+aA-ALp,x+ax +Aip] C [-r,r]-En(A')} > c3p (d)
and therefore
#{A', w(A) = a(A'), [x + a - Alp, x a+ + Ap]

L C Fo(A')} > c3p-(d+d')
Now we come back to JR, setting, for a E E(p), a' E '(p),
E*(a, a') = {e, x E Fo(a, a', +1)} U {-e, x E F(a, a', -1)}.
Observe that Foo(A) is contained in VAp(F(A)); this implies conclusion (i) of

the Scale Recurrence Lemma.
To conclude (ii), as 0 -- ko is Lipschitz, there exists C > 0 such that if
A = (a,a',u), A' = (b,b', v) satisfy w(A) = a(A') and 0, 0' are any elements in
E-, E'- ending with a, a' respectively, then
TLogI(-')
f -
aa -
Log II()| <Cp.
Taking A1 > 2C, for x E Foo(A), we will have
x+ Log II('(b')l- Log II°(b)l+zE Fo(A')

for zl < p and at least c3p-(d+d') elements A' (with a(A') = w(A)), for all
0, 0' ending with a, a' respectively. This immediately implies conclusion (ii)
of the Scale Recurrence Lemma.
6.7. We now prove Lemma 6.5. Let r7o > 0 be extremely small, and
E [1, Ao p-l]. If the norm of the operator in the lemma is > (1 - r7o)1/2, we
can find z E CA with
IIz12 = EpAlzxl2 = 1, llw112> 1- 0,

where
WA= Zp A exp(i aA )zA .
A'
Now,
WAI2< PpA IzA,'2
A'
and all pX have order pd+d'. Therefore there exist ri > 0 very small, and
A c A, with
#(A-1) < r1 p-(d+d),

/
Iwx2 > (1- 71) IlzX2, for all A E A.
A'
Let A E A, w(A) = i; for A' E Ai, set
ZA= exp(i aA )zAl .

Since
-IWx12 + 'iAt 12A=1 EA I - Z1/2
Ai Ai Ai
we have
E E zo - Z,112< 2p(d+d
Ai Ai
with very small q72> 0, as pA has order pd+d'. On the other hand |ZA'12
Ai
has order p-(d+d'). Thus, if we write
ZA = N-1 Z', z = exp(-iaA )Z + ZA,

Ai
we will have IZxl of order 1 and

r'I 12< p-(d+d')
Ai
with very small r73> 0.

If we take Ao,A1 E AnAi, and compare the two expressions for zxAobtained
we get
exp(i ao ) -exp(i aA ) 12< 4 p-(d+d')
L
Ai
meaning that
sin (ao-ax) <7/5
holds for all A' E Ai but at most 75 p-(d+d') elements. The constants 774, 75
here are still small.
To derive a contradiction, we will choose Ao, A1 of the form
AO= (a0, a, u), 1A = (a, a, u),

which gives, with A' = (b, ', v):
--I 1 -
a.O= LogII2 (b)l- LogI- (b)I
= Log D[ k o (k )-1] (y)
where 0 ends with a' and y E I° (b).

It is now time to remember the hypothesis in the Scale Recurrence Lemma:
there exist 0°,01 E S- (with the same last letter) and x E K-o((0), such that
D Log D[ko' o (k0)-1](x) = y 0.
In a neighbourhood of 0, 01, x, this will still belong to [1y, 3y]. As #(A-A) <
71 p(d+d), we can find a°, a1 a', u such that Ai = (a, a',u) E A and / is
close to _0. The number of A' = (b, b',v) such that I° (b) is close to x is still of
order p-(d+d), and for two such A', A' we will have
|(aA - aA) - (aAo

- a ) - Y(Yo - y1i) <I IYIIyo- yi
where yi E Io (bt), and bi is the first component of A1.

On the other hand, for most A' we should have
laA- aA - 7 64-
2k<rr-' I
for some integer k and small 776> 0. Combining the two inequalities, we should
have for most choices of b°, b1 (with I° (b) close to x) either
Iyo- Y1l
_> Tr-1
i -
or
lYo- Y1I < 4r/6(-y 1-1

We have here 1 < J < Aop-1; hence 7rx-lyl-1 > 7rrlyl-lA 1p. When Ao << [-y
and r76small enough, the bounded geometry of regular Cantor sets is contra-
dicted.
6.8. We finally will prove the estimate
S pAIVAp(JEn(A))I_ 5 5 PIV/p(En(A))I
of 6.6. Recall that En(A) is the set of x E [-r, +r] such that the number of A',
with w(A) = a(A'), for which
[x + a A - Aip, x + a +i Alp] C [-r, +r] - En(A)

is less than C3p-(d+d).
Consider first the set En(A) introduced in 6.4: En(A) is the set of x E RI
such that the number of A', with c(A) = a(A'), for which
[x + aA - Alp, x + aA + Ap] C R - En(A')
is less than (1 - r)N,(,).
As N,(x) is of the order of p-(d+d'), we can choose c3 small enough to have
C3p-(d+d') < (1 - )NA(') (VA E A).
Now, if co > 1 is such that

Co p < IJ(a)l < cop
for all 0 E E-, a E E(p) with 00 = ao, we will have
laA I < 2 Log co

for all A, A' E A with w(A) = a(A').
Then we will have
En(A) n [-r + 2 Log co + Alp,r - 2Logco - Alp] C En(A).

Now the corollary in 6.4 gives us an estimate of the desired form for
EpA VAp(En(A)) , provided
A
Max IVap(En(A))I
A
is sufficiently small.
This follows (inductively) from the desired estimate for m < n, as we have
seen in 6.6, provided cl is small enough.
We have still to control the Vap neighbourhood of the part of En(A) which
lies in
[-r,-r + 2 Log co + Alp] U [r - 2 Logco - Alp, r].
Let us consider for instance the part in [r - 2 Log co - lp, r].

The idea here is to take r large enough, to choose a subinterval J C

[-r, +r] of length 5 Log co where the En(A) are relatively thin, and to restrict
to the set of A' which will send [-r - 2 Log co - Aip, r] into J.
To be more precise, given 6 > 0, we can find, if r is large enough, a
subinterval J C [-r, +r] of length 5 Log co such that
n J)
PAIVAp(En(A)l< 6 pA IVAp(En(A))I.
A X
Consider now only those A' for which r-Log co+aA' belongs to the interval
J1 of the same center as J and length 2 Log co; the number of such A's is still of
order p-(d+d'), in particular much larger than C3p-(d+d) if C3 is small enough.
As all pX have order p(d+d), we will obtain an estimate
p V^p(En(A) n [r - 2Logco - Ap, r])| < C6 pAIVAp(En(A))I.

A A
Taking 6 > 0 small enough, we will have 1 > K5 = 2C6 + K4 (where K4 is from
6.4), which concludes the proof.
6.9. In case A) of 6.5, we just set
A = A x A',
A= (p) x p),
F (a, a') = {x, +e E E(a, a')},
and deal separately with the two families (F+(a,a')) and (F-(a,a')) in the
same manner as in case B).
PURA E APLICADA- IMPA, RIO DE JANEIRO,BRAZIL

INSTITUTODE MATEMATICA
E-mail address: gugu@impa.br
UNIVERSITEDE PARIS-SUD,PARIS, FRANCE
Current address: COLLEGEDE FRANCE,PARIS, FRANCE
E-mail address:jean-c.yoccoz©college-de-france.fr
REFERENCES
[BPMV] R. BAM6N, S. PLAZA, C. G. MoREIRA, and J. VERA,Differentiable structures of

central Cantor sets, Ergod. Theory Dynam. Systems 17 (1997), 1027-1042.
[BPV] R. BAM6N, S. PLAZA, and J. VERA, On central Cantor sets with self-arithmetic
difference of positive Lebesgue measure, J. London Math. Soc. 52 (1995), 137-
146.
[CF] T. W. CUSICKand M. E. FLAHIVE,The Markoff and Lagrange Spectra, Math. Surveys
and Monographs, No. 30, A.M.S., Providence, RI (1989).
[F] G. A. FREIMAN, Diophantine Approximation and the Geometry of Numbers
(Markov's Problem), Kalinin. Gosudarstv. Univ., Kalink, 1975.

[H] M. HALL,On the sum and product of continued fractions, Ann. of Math. 48 (1947),
966-993.
[L] PERLARSSON, L'ensemble difference de deux ensembles de Cantor aleatoires, C. R.
Acad. Sci. Paris Ser. I Math. 310 (1990), 735-738.
[M] C. G. MOREIRA, Stable intersections of Cantor sets and homoclinic bifurcations,
Ann. Inst. H. Poincare Anal. Non Lineaire 13 (1996), No. 6, 741-781.
[MO] P. MENDES and F. OLIVEIRA, On the topological structure of the arithmetic sum of
two Cantor sets, Nonlinearity 7 (1994), 329-343.
[N1] S. NEWHOUSE, Nondensity of Axiom A(a) on S2, Proc. A.M.S. Sympos. Pure Math.
14 (1970), 191-202.
[N2] , Diffeomorphisms with infinitely many sinks, Topology 13 (1974), 9-18.
[N3] , The abundance of wild hyperbolic sets and nonsmooth stable sets for
diffeomorphisms, IHES Publ. Math. 50 (1979), 101-151.
[P] J. PALIS,Homoclinic orbits, hyperbolic dynamics and dimension of Cantor sets,
Contemp. Math. 58 (1987), 203-216.
[P1] , Homoclinic bifurcations, sensitive-chaotic dynamics and strange attrac-
tors, in Dynamical Syst. and Related Topics, World Sci. Publ., Co., River Edge,
NJ (1991), 466-472.
[PT] J. PALISand F. TAKENS,Cycles and measure of bifurcation sets for two-dimensional
diffeomorphisms, Invent. Math. 82 (1985), 379-442.
[PT1] , Hyperbolicity and the creation of homoclinic orbits, Ann. of Math. 125
(1987), 337-374.
[PT2] , Hyperbolicity and Sensitive Chaotic Dynamics at Homoclinic Bifurcations.
Fractal Dimensions and Infinitely Many Attractors, Cambridge Univ. Press, Cam-
bridge, 1992.
[PY] J. PALISand J.-C. Yoccoz, Homoclinic tangencies for hyperbolic sets of large Haus-
dorff dimension, Acta Math. 172 (1994), 91-136.
[PY1] , On the arithmetic sum of regular Cantor sets, Ann. Inst. J. Poincare
Anal. Non Lineaire 14 (1997), 439-456.
[S] A. SANNAMI, An example of a regular Cantor set whose difference set is a Cantor
set with positive measure, Hokkaido Math. J. 21 (1992), 7-24.
[Su] D. SULLIVAN,Differentiable structures on fractal-like sets, determined by intrinsic
scaling functions on dual Cantor sets, in The Mathematical Heritage of Herman
Weyl (Durham, NC, 1987), 15-23, Proc. Sympos. Pure Math. 48, A.M.S., Provi-
dence, RI (1988).
(Received July 31, 1998)


Stable Intersections of Regular Cantor Sets With Large Hausdorff Dimensions

Diunggah oleh

Informasi Dokumen

Judul Asli

Hak Cipta

Format Tersedia

Bagikan dokumen Ini

Bagikan atau Tanam Dokumen

Opsi Berbagi

Apakah menurut Anda dokumen ini bermanfaat?

Apakah konten ini tidak pantas?

Hak Cipta:

Format Tersedia

Stable Intersections of Regular Cantor Sets With Large Hausdorff Dimensions

Diunggah oleh

Hak Cipta:

Format Tersedia

Annals of Mathematics

Stable Intersections of Regular Cantor Sets with Large Hausdorff Dimensions

This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

Stable intersections of regular Cantor sets

In this paper we prove a conjecture by J. Palis according to which the

*This work has been partially supported by Pronex-Dynamical Systems, Brasil.

This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

an interval (the last statement should correspond in homoclinic bifurcations

2221564096 + 283748462 4 52782956616....

This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

A positive answer to this question implies a strong version of Palis' con-

where Is(K, K2) := {t E R I K1 and (K2 + t) have stable intersection}.

1. Regular Cantor sets: the setting

1.1. Let A be a finite alphabet, B a subset of A2, and E the subshift of

This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

Let E+ be the unilateral subshift associated to E. There exists a unique

h(a) E I(ao), for a = (ao, al,...) E E+,

1.2. For (a, b) E B, let

this is a diffeomorphism from I(an) onto a subinterval of I(ao) that we denote

following ultrametric distance: for 0 E -, set

d(0 )0) I A otherwise

\D3 Log D [k o (k0)-1] (x) < Cjd(0,O).

This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

1.4. For 0 E E- and a a word in S starting with a0 = S0, we denote:

Moreover, if we define H: E - KCby

H(0) = (7r- (0), kc- () o h(r+(0)))

1.5. Let r E (l,+oo]. For a E A, denote by Pr(a) the space of

Tgao: pr(ao) pr (al)

This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

We can reinterpret the proposition above as follows. For 0 E Z-, the

S(0, A) = (a-1(0), A o (F)-1).

2. Intersections of regular Cantor sets:

This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

The following remark is obvious, but underlines the fundamental role

which allow us to define linked, intersecting, and stably intersecting configu-

Remark. For a configuration ((a,A), (a',A')) of limit geometries, one could

(ii) Tai T',i is defined on Ci and sends £i into int £.

This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

From this, we deduce immediately the following properties of recurrent com-

Proof. By property 1 above, we may assume that the given configuration

2.4. Our main result is now the following.

THEOREM.Let g, g' be two C°° expansive maps as above. Assume that

HD(K) + HD(K') > 1.

Remark. In the case where both g and g' are orientation-preserving

This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

We consider the following subset V of Qs x Qlr. A pair (g, g') belongs to

Is ={t E R, (Rt o h, h') is a stably intersecting

is (open and) dense in

I = {t E R, (Rt o h, h') is an intersecting smooth configurationfor (g, g')}

This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

To show denseness of V, we will demonstrate that if (g,g') admits a

2.5. Let d > 0. A smooth configuration (h,h') E P(a) x P(a') has

i) the first letter of a (resp. a'i) is 0o;

ii) the intervals I(ai) are disjoint;

By the compactness of C, we can find the ai a'i with uniformly bounded

with d' slightly larger than d.

This content downloaded from 134.153.184.170 on Tue, 25 Nov 2014 23:36:05 PM

PROPOSITION. If a relative affine configuration belongs to a d-recurrent

THEOREM.Let 0 < d < HD(K) + HD(K') - 1. Then we can find arbi-

3. Outline of the proof of the main theorem

3.1. Let g, g' be expansivemaps as above. If ((0, A), (0',A')) is a relative

Then we have, for s E R*

Ta(O,', s) = (Oal... an, ', slII(a)-l)