Annals of Mathematics

Annals of Mathematics
Homology for Zero-Dimensional Nonwandering Sets

Author(s): Rufus Bowen and John Franks
Source: Annals of Mathematics, Second Series, Vol. 106, No. 1 (Jul., 1977), pp. 73-92
Published by: Annals of Mathematics
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For G an abelian groupone defines A: GnGnby the formula
Annals of Mathematics, 10(; (1977), 73-92
Homology for zero-dimensional

nonwandering sets
BY RUFUSBOWEN*and JOHNFRANKS**
This paper investigates two related subjects: (1) algebraic invariants

for subshifts of finite type and their suspensions,and(2)homologyinvariants
associated with embeddingsof these homeomorphismsin Axiom A systems
on manifolds. The basic idea is that (1) and (2) are the same.
Given an n x n matrix A = (aij) of O'sand l's one considers
£A = {$ = ($k)k=_ n}: axk+lxk= 1 V k e Z}
oo e H_ {1, ,
and the shift mapv: £A£A definedby v(Z) = ' where xk = xk+1.Then £A
is a compact zero-dimensionalspace and AI£A is called a subshift of Jinite
type. If g: £AR is a positive continuousfunction, one lets
A(A, g) = {(S, t) e £A X R: t e [O,g(x)]}/
where identifies(s, g(Z)) (a(x), O)for all Z e £A. The suspension flow t on
A(A, g) is definedby t($, 8) = ($, 8 + t) for , s + t e [O,g(Z)]and for other
t by using the identifications. A and B are called flow-equivalent if the
suspensionflows on A(A, g1)and 1X(B,g2)are conjugate (notice that this is
independentof g1and g2).
A(gl, * * *, gn) = (Ej aliGi, * * *, Dj an jgj) v
If or:H H is an endomorphismof a group, one has the inverse limit group

limtH; ct} = {(hi)e IIi-o H: cghi+l= hi bzi > O}
and its automorphismct* defined by ct*(hi)= (ahi). Using known results

about conjugacyof subshifts [11], [18],we findit easy to prove the following.
THEOREM.If the subshifts v| £A and v| £Bare topologically conjugate,
of groups lim{G";
then there is an isornyorphistn A}-lim{G^; B} which con-
jugates A* and B*. If A and B are flow-equivalent, then
ker(I-A on Gn)_ ker(I-B on Gm) and G"/(I-A)G"_G^/(I-A)Gm .
The authors thank the Institute des Hautes Etudes Scientifiques for its hospitality dur-
ing the preparation of this article.
* Partially supported by the Sloan Foundation and NSF GP 14519.
** Research supported in part by NSF Grant MPS74-06731A01.

74 BOWEN AND JOHN FRANKS
RUFUS
dynamics of the
In Section 2 we will see these groups in terms of the
certain "foliations"
shiftmap a and its suspension. The dynamics defines
G-valuedmeasures on
andthe above groups will be isomorphicto groups of
properties. This
transversalsto these foliations having certain invariance
can be obtained
wasof course motivated by the idea that homology classes
point here is to give
fromtransversal measuresfor foliations [12], [13]. The
i.e., a definition
anintrinsic definitionof the groups in the above theorem,
representation.
dependingonly on the homeomorphismand not the symbolic
manifold and A c M
Supposef: M M is a diffeomorphismof a compact
tangent bundle TAM
isclosed and f-invariant. Onecalls A hyperbolicif the
TAM= EU @ ESof
ofM restricted to A can be written as a Whitney sum
subbundlesso that
(a) DfX(EX)= EJ-XS DCX(EX) = ESFLand
for
(b) there are constants c>0, xe(0,1) with I]Df(v)ll<cxnllvll
> O.
ve ES, n > O,and t| Df-"(v)lll< c llv ll for v e EU,n
A closedf-invariant subset Q is called a basic set if
(a) Q is hyperbolic,
Q,
(b) the periodicpoints of f containedin Q are dense in
(c) fEQ is topologicallytransitive, and
N where A and N are
A f Iteation pair for Q is a pair (X, A) with X = A U
same dimensionas M)
submanifoldsof M (with boundary, and having the
satisfying
(a) the boundariesof A and N meet transversally;
(b) f(N)c int N, f(A)cint(A);
Smale [16]. Here the
Basic sets occur in the Axiom A diffeomorphismsof
sets; one describes
nonwanderingset of f splits into a finite numberof basic
these basic sets in
f by what it does on each basic set and how it connects
has a filtration pair
M. Assuming the "no-cycle"condition,each basic set
(namely X= N= Mi and A = Mi_1;see [17]).
induces an endo-
If a basic set Q has a filtration pair (X, A), then f
main result of this
morphismf* on the homology groups Hk(X, A; G). The
shift equivalence (see
paper is in Section 3 where we calculate f* up to
Section 1) when Q is zero-dimensional.
THEOREM.Let Q be a zeeXo-dirrwensional basic set with fiItration pair
of the unstable
(X, A), Morientable and connected, and u the diSntension
_ f IQone can define a
bundleEUIQ. Fox7sugoientlg fine conjugacies a I£A

ZERO-DIMENSIONALNONWANDERING SETS 75
matrix B = (b j) with b.j = + a j so that B: G- Go and f,*: HU(X, A; G)-+

HU(X, A; G) are shift equivalent for any abelian group G. For k1gu, f, is
nilpotent on Hk(X, A; G).
In the case G = F, a field, the above theorem implies that B on F" and
f* on HU(X, A; F) are conjugate when restricted to their invariant sub-
spaces corresponding to nonzero eigenvalues. This is related to known re-
sults as follows: the nonzero eigenvalues of f.* on HU(X, A; R) were calculated
in [3], the characteristic polynomial for f. on HU(X, A; Z2) in [7], and all of
f* on HU(X, A; F) in the special fitted case in [14]. For nonfitted examples
(the underlying technical difficulty) see [9] and [10]. There are two recent
papers [13], [15] relating the largest eigenvalue of f. to topological entropy
without assuming Q zero-dimensional. It is hoped that more of f. will be
calculable in terms of f IQ without assuming Q to be zero-dimensional (see
[8]).
In Section 4 we will show that the identifications from the above theorem
for the case G = R interact satisfactorily with Poincare duality. Finally in
Section 5 we will calculate the relative homology groups for a one-dimensional
basic set for a flow (instead of diffeomorphism). The point here is to see
how the Parry-Sullivan invariant [11] comes from relative homology.
THEOREM. Let A be a one-dimensional basic set for a flow with flltra-
tion pair (X, A), M orientable and u the dimension of the unstable bundle
Eu IA. Let B be a signed representation for a global Poincare' map for A
and G any abelian group. Then
I u, u +A-,
(i) Hk(X, A; G) = Ofor k
(ii) HU+1(X, A; G) _ ker(I - B on G") and
(iii) HU(X, A; G) -_ G" (-B)G.
It is our feeling that for higher dimensional basic sets for flows the
value of the zeta function at zero may be related to the homology of (X, A).
1. Algebraic invariants of shifts
Let a: He H and if: K--K be two endomorphisms of abelian groups.
They are called shift equivalent [18] if there are homomorphisms r: H-O K
and s: K-e H and an integer p > 0 so that
ra = fir, sGi = as, si = aP, 'S =
It is easy to see that this is an equivalence relation.
1.1. Suppose a, G are shift equivalent.
PROPOSITION Then there is an
isomorphism lim{H; a} lim{K; f} which conjugates a,, and 6,*. Further-

76 RUFUS BOWEN AND JOHN FRANKS
more,
ker(I - a) -ker(I - S) and coker (I - a) = coker(I - S)
Proof. The first equations of shift equivalence imply that r,(Hi)= (rhi)
and s*(ki) = (ski) define homomorphisms r*: lim{H; a} lim{K; ,} and
s*: lim{K, 1}-lim{H, a} with ra,, = ,5*r* and s*f3* = a*. The last two
equations of shift equivalence give s*r* = av and r*s* = P. Since a* and
/8* are isomorphisms, so are r* and s*. Finally r*a*r'1
It is easy to check that w: lim{H; a}- H defined by 7r(hi) = ho restricts
to an isomorphism ker(I - a*) ker(I - a). Since a* and * are conjugate,
we get ker(I - a) _ ker(I -i).
Consider the map 6: H-K/(I - )K given by 6(h) = rh + (I -)K.
Since
rsk = 31k= k + (? - I)(k + Sk+ ***+iSP-l1k)
one sees that a is surjective. If 3(h)=0, then rh (I- )k and aorh= srh=
s(I - )k= (I - a)sk, giving
h =h - alh + (I - a)sk
=-J(I- )(h + ah + - **+ all-1h + sk) .
On the other hand, if h = (I - a)h', then rh = (I - )rh' and 6(h) = 0.
Hence K/(I - )K -H/ker O= H/(I - a)H. El
THEOREM1.2. Suppose a IYA and a IYB are conjugate subshifts of finite
type and that G is an abelian group. Then there is an isomorphism
lim{G";A} _ lim{Gm;B} which conjugates A* and B,.
Proof. It is a fundamental result of Williams [18] that there are (non-

negative) integral matrices R, S and a p > 0 so that RA = BR, SB = AS,
SR = A" and RS = BP. Interpreted on the level of group homomorphisms,
this says that A: G"-)G" and B: Gm-+Gmare shift equivalent. Apply 1.1. D-1
THEOREM1.3. If A and B are flow equivalent, then ker(I - A on
Go) - ker(I - B on G-) and G/(I - A)G - G1/(I - A)Gm for any abelian
group G.
Proof. By Parry and Sullivan [11] one can find nonnegative integral
matrices A = A0, Al, ***, Ak = B such that for each j either
(i) a I; and a I ,+, are conjugate homeomorphisms, or
(ii) there is a nonnegative integral square matrix C so that Aj and Aj,
are the following matrices (in some order):

culated usingcard Aj or Aj+1. onIn case
either ker(I-A T) (ii)
= if onedet(I-A) = Gq
checks that 7: O Gq+1
. de-
NONWANDERING SETS
ZERO-DIMENSIONAL 77
-O Cll * * * Clq \
*fi Clq 1 0 *fi O
/Cll
C= * fi C ° C2lfiC2q
SCql C Cqq
\O Cql * * * Cqql
to above and (1.1) show that the iso-

Incase (i) Williams' result referred
in the theorem are the same when cal-
morphism types of the two groups
gives an isomorphism ker(I-C on

fined by 7(g1, * * *, gq) = (glS glS g2S * * * S gq)
on Gq+1). Define b: Gq+lGq/(I-C)Gq by
Gq)_ker(I-C
= (gl + g2s g3s *Ss gq+l) + (I-C)Gq .
8(glS g2S *SS gq+l)
ker a = (I-C)G2+1. If g, g' e Gq+

Since a is surjective, we finish by showing
with g = (I-C)g', one checks that
gq+l) = (I-C)(g2s g3s *Ss gq+l) g

(gl + g2S g3S *SS
If g e Gq+1, g' C Gq with (gl + g2 g3 *** s gq+l)-

This shows ker a 2 (I-C)Gq+1.
(I-C)g', then
, gq+1) = gls g2s *ss gq) g

(g1, g2, (I-C)(gl-g2S
z
This shows ker a c (I-C)Gq+1.
a linear map of a finite dimensional vector space over a

For L: VV
field one lets S( V; L) =
F n=O v). s(v;
Li( L) is seen to be the L-invariant
to all nonzero eigenvalues. It is easy to see
subspace of V corresponding
lim{V; L}_S(V; L) which conjugates
that (vi)v0 defines an isomorphism
L* with L tS(V; L). For G= F in Theorem 1.2, one sees that AtS(F";A)
and B tS(Fm;B) are conjugate linear maps when a t£A and a t£B are conjugate
homeomorphisms.
Consider Theorem 1.3 with G = S1. Then GX= Tn,the n-torus, and
of TX of all points left fixed by the action of A.

(I-A) is the subgroup
One checks that
card ker(I-A on T) = | det(I-A) | if det(I-A) + O
and
invariant, stronger (except for

Thus ker(I-A on T) is a flow-equivalence
of Parry and Sullivan [11]. For
a sign) than the invariant det(I-A)
on T2) _ andker(I-Bon T2)
A = (1 1) and B = (3 1) one has ker(I-A Z4
= det(I-Bt); so this group contains more in-

Z2 + Z2s though det(I-At)

Proof. Suppose X, ' e £A with xk = X'k. Theng: WS(S,k) W8(Z k)
formation than any invariant depending on the characteristicpolynomial.

This example is taken from [18] where it is shown that A and B are not
shift equivalent, though they have the same characteristic polynomial.
The remarks above show they are not even flow equivalent.
2. W8-measures
For Z e £Aand k e Z definethe sets
Ws($,k) = {8 e £A:Wi= Xie i > k}, WS(Z)= Ukeg WS(S,k),
WU(S,k) = {y e £A:vi = si e i _ k}, WU(Z)= UkeS WU(S,k) .
Call EC£A an s-set if, for some Z e £A and k e Z, E is an open and closed
subset of WS(ZSk) (in the relative topology). For G an abelian group a
G-valueds-qneasureis a function
C £A E is an s-set}
y {E >G
which is finitely additive in the sense that S(E) = ,(E1)+ ***+y(Em) when-
ever E1, * *, Em are disjoint s-sets whose union E is also an s-set. Let
RS(£AS G)denotethe family of such measures;it is a groupunder(y+y)(E)=
#(E) + S(E). A p e RS(£AS G) is called u-invariant if, whenever E1,E2 are
s-sets, k e Z, and g: E1E2 is a homeomorphismwith g(Z)e WU(S,k) for all
Z e E1, then al(E1)= M(E2)
The group of all u-invariant, is denoted ffl8(£A,G). Thereis a natural
automorphismv* of S8(£ASG) definedby (a*y)(E) = ,5(a-1E).
THEOREM
2.1. There is an isornorphistnof groups
so:RSU(£A,
G) lim{G; A} with a* = A* .
definedby
(yi for i < k
g(8)i = lx' for i > k
is a homeomorphismwith g(g) e WU(g). For ,eR8U(£A,G) the element

p k)) e G depends only on xk and k; write hyk, j = p ( W8(zs k)) where
( W8($s
zk = j. For each en with aj m = 1 choose xme £Awith skm_l = en and xim-x

for i > k. Then k) = Um
W8($s ms k-1) gives hUkj = E{m aj,mhyk+l,m-
W8(_
Letting hp-(hk,lS * * * S hk,n) we have hyk = Ahyk+l for all k C Z; hence(,) =

(hk)k=Oelim{Gn;A}. Furthermore,
k, j (ffy) ( ff (Ss k)) = ,5(-1 W8(x k))
= (T8(ff-lX- k + 1)) = hyk_l,j

a positive continuous
functiong: £A R. Forx C A(A,g) let
(wherexk= j). Therefore,hky= hk'_l= Ahk'and(ay) = A*@(y).

Onecansee that any s-set E is in fact a disjointunionof finitelymany
setsof theformWS(_Sk), fork sufficiently
largeandnegative. If (,) = ce)(,a'),
then, and,a'agreeon the sets WS(x,k) for all k<O andhenceon all s-sets;
* * * -
SO )1S lnJeCtlVe.
Now suppose(hk)k=o C lim{Gn; A} and set hk = Alklhofor k < O. Define
U(WS(_Sk)) = h-k,Xk and extend additivelyto all s-sets. To see how this
works,oneneedsto checkthat, for k' < k,
h_k,xk = E admissible}.
{h _k',zk' (=k', * * *, Xk)
But the termonthe rightis just the xkthcoordinateof Ak-kth-k' andh-k,Xk=

A h_k because(hk)k=o C lim{G;A}.
Finally,let E1,E2,g, k be as in the definitionof u-invariance.For large
negativei, j onecan write E1,E2as disjointunions
E1 = UPn=l WS(XPS i) S E2 = Uqm=l ws(%lqS j) s
Sincethese sets are disjointchooseL so that for q + q' one has gqand gq'
diflSeringat the tthplacefor some t C [j, L]. Next makesure i is so small
that i < k andx, x' C E1, xr-xr for all r C [i, ) impliesg(_),g(x')agree in
placesj thoughL (by continuityof g). Assumingj was smallenoughthat
jAk, foreachp C [1, n] thereis a q=q(p) C [1, m]so thatgWS(xP,i)c ws(yqSj)
andin fact gWS(xP, i)-WS(g(_P), i) becausei, j < k. As xPandg(xP)agree
in the ithplace,,(gWS(xP,i)) = ,(WS(xP,i)) andu-invariancefollows from
additivity. C1
Whilethe definitionof an s-set for SA and u-invarianceof y used the
symbolicstructure of SA, it can be phrasedcompletelyin terms of the
dynamicsof the homeomorphism v 1SA. ThusfflSu(As G)andv* on it are de-
finedin terms of the dynamicsof v1SA. Henceit makessense to write
RSU(fIQ,G)for a zero-dimensional basicset Q.
Nowconsiderthe suspension Qt: A(A,g)A(A, g)of the shifta 6SA under
W¢u(X) = {8 C A(A, g): there is a continuouss: R >R

with d(sity,5is(tx) >0 as t >-}
and
WCu(x) = {y C W¢ff(x):s can be chosen with 18(°)1 < s
and d(sity,sis(t)x)<e for all t < O}.
Then{W¢8(x)}x is a "foliation"of A(A, g) whose local leaves W¢s(x)are pro-
ducts of intervals with Cantorsets (see [4] for arguments like this). There

is the notionof a G-valued W¢u-invariantmeasure, definedon compactopen

transversals to WC?4. Let SCU(A(A,F), G) be the group of such measures.
The sets WS(x,k) x {O}c A(A, g) are such transversals and (^r,)(WS(x,k))-
p(WS(x,k) x {0})definesa homomorphismry SCU(A(A,g), G)RSU(EAS G)- 7
is one-to-oneand one can check that
7(Rcu(A(AS
g), G)) = {,5'C mU(AS G):*,5' = ,5'}.
HenceScs4(A(AS g), G)_ker(I-v* on RS(A, G)). By Theorem2.1 the second
group is isomorphicto ker(I-A* on lim{Gn;
A}), which in turn is isomorphic
to ker(I-A on Gn)(see 1.1). So one has
THEOREM
2.2. SCU(A(A,g), G) _ ker(I-A on GB).
A signed subshtft is a subshift of finite type v 1SA together with a con-
tinuous map 5: SA {+1}. The idea is that each x is assigned an oriented
vector space and 5(x) tells whether a preserves or reverses orientation at
x. We will now modify our construction, taking orientation into account.
What we did above correspondsto the case 5 _ 1.
5($) constant on E one lets

(a*y)(E) = 5(x)y(a-1E) with x C E .
Oneextends additively to all s-sets to get v*, C RS(sA,G). Now define
WA (S) = {8 C WU(X): 5(k8) = 5(kX) + k < O}
and let RS(A, G) be the set of those , C RS(A, G) satisfying:
if E1,E2 are s-sets, kcZ, and
g E1 > E2 a homeomorphism
with g($) C Wa (X) n wU(SSk) for all
x C E1, then ,(E1) = p(E2)-
Finally, let
Rs (s G) = nk=-00(a*) WA(AS G) .
THEOREM 5.1. Assurne 5(x) = A($o) depends onlzy on $0 and define
B = (bfj)by bfj-A(i)aij. Then there is a group isornorphistn fflS(As G)-
lim{Gn;B} which conjugates vS and B*.
Proof. Notice that W(x)z {y C SA Yi = Xi e t < 0}- Thus, for ye
fflS(A, G), one has that (for k > O), p(S_k, *--, xO)= p(WS(x,-k)) depends
only on s_k, ***, x0(see the proof of 2.1). Also, vA, C RS(A, G) and so for
k > O,

NONWANDERING SETS
ZERO-DIMENSIONAL 81
(ff p)($-k, * * *, Xo) = A (xo)y(ff-1

WS(X,-k))
= ^($o)p(WS(ff-l_s-k + 1))
= ^($o)X5(X_ks * * * S S-1) S
oralternatively,
p($-ks * * *, So) = ^ (Xo)((ff*) )(S_k, * S S-1) @
Continuing,one has
1) * * * ^(Z_k+l)((ff*)y )($-k) -
(* ) ($_k, * * *, Xo) = ^($o)^(X_
For, C RS(A, G) we define

(t)(#) = (hyk)C uk=o G by hk = (hk ls * * * S hk n)
wherehz'j = ((ah)-k)(j). Because ,ceis finitely additive,

[t(S_ks * * *S Xo) = j az_k jp(is X_ks S XO) .
Using (8), one has

5($-k+l)hk z-k = Ej az_k j5(X°)* 5(S_k+l)5(=-k)hk+l j
5($0)
or
hk z_k = j 5(X-k)ax-k jhk+lX j -
Hence, hlt = Bhk+land (y) C lim{Gn;B}.

and hence
Formula (*) shows that ,(S_k, *@-,xO)is determined by (,)
Finally one argues
so is the value of , on all s-sets. Thus @ is one-to-one.
by
that (*) definesa , C mA(EA, G) for any (hk)C lim{Gn;B}, i.e.,
= 5(Xo)5(X-1) * * * 5(X _k+l)hk x_k
p(S_ks * * * S Xo)
C
and extending additively. This will show @ is onto.
3. Homology for diffeomorphisms
M
Throughoutthis section we suppose f: MM is a diflCeomorphism,
set of f with
is connectedand orientable, and Q is a zero-dimensionalbasic
a topologicalcon-
filtrationpair (X, A). Then a result of [1] says there is
entries of lB] to
lowing the idea of Section 2 of [3], we assign signs to the
let A (x)= + 1
reflecthow Df acts on the orientationof EU(Q). Moreprecisely,
orientable). Then,
orientationof EX(since Q is totally disconnectedE8(Q)is
choose h (and lBl)
since 5(x) is continuous, it is locally constant and wecan
k. Now define
such that 5 is constant on Ck= {x eQfih(x)o= k} for all
Bij-5(Cj) | B lij.

The matrix B = (Bj) will be called a signed representation of the basic

set f: Q Q.
LEMMA 3.1. If Q has a filtration pair and U is any neighborhood of Q,
then there exists a filtration pair (X, A) with X - Aczint U.
Proof. Let (X'= N' U A', A') be a filtration pair for Q, then there exists
an integer n such that f n(N') n cl (M - f--(A')) c int U. By perturbing
slightly N' and A' we can assume the boundaries of fn(N') and f-""(A')meet
transversally. Now let N= f(N'), A = f-""(A')and X = A UN, then (X, A)
is the desired filtration pair. 3
Theorem 2 of [3] asserts that a signed representation B has the same

non-zero eigenvalues as f,: HU(X, A; R) H.(X, A; R) where u = fiber
dimension of EU(Q)and (X, A) is any filtration pair for Q.
Note that if Df: Eu Eu preserves orientation then B B 1. It is also
worth noting that since EU(Q) is a trivial bundle, one can reconstruct
Df: EU(Q) EU(Q) (up to conjugacy of bundle maps) knowing only the matrix
B and the integer u.
THEOREM3.2. Suppose Q is a zero-dimensional basic set of f, that the
nx\ n matrix B is a signed representation of Q, and that (X, A) is a filtra-
tion pair. Then the endomorphisms B: Gn- Gnand f, on HU(X, A; G) are
shift equivalent for any abelian group G.
LEMMA3.3. Suppose (X, A) is a filtration pair for Q and u- fiber
dim EU(Q). Then
(i) f. is nilpotent on Hk(X, A; G) for any abelian group G and any
k#u, and
(ii) f. is nilpotent on the torsion subgroup T of HU(X, A; Z).
Proof. In [3] statement (i) was proved for G = R. That proof works
provided f. on Hk(X, A; G) stabilizes (i.e., Im fA = Im for large in); we
use the fact that M is orientable to avoid the division by 2 in the coefficient
group used in [3]. Thus (i) holds in particular for G a finite group. The
universal coefficient theorem [5] gives the natural exact sequence
o -' Hk(X, A; Z)G G - Hk(X, A; G) - Hkl,(X, A; Z)*G - >0
Let G = R, k # u and apply f (m large) to this sequence; f-mis 0 on the

middle group by [3] and hence also on Hk(X, A; Z) (g R. This means
f,, Hk(X, A; Z) c T = Tor Hk(X, A; Z). Since T is finite, f* stabilizes on
Hk(X, A: Z) and (i) holds for G = Z.
Now apply fm (m large) to the above exact sequence with k = U + 1

hence on HU(XSA; Z)*zn also. Since

Hu(X, A; Z)*zn-{U C HU(XS
A; Z): nu = O}
and T is finite, T-HU(X, A; Z)*Zn for some n and f* is nilpotent on T.
Finally apply f* (rn large) to the exact sequencewith G an arbitrary
abelian group and ku. f* = 0 on the left group by (i) for Z and f* = 0 on
the right group by (i) for Z or by (ii). It follows that f 2m= 0 on the middle
group Hk(X, A; G). C
LEMMA3.4. Suppose
lCICl lC152 10r3
is a corntnutativediagrarn of abelian groups and the rows are esact. If

(z3 iS nilpotent, then 1 and 2 are shift equivalent. If 1 is nilpotent, then
ct2and ct3are shift equivalent.
Proof. SupposeorP=0. Then for x C H2, 82orPx-Oand there is a unique
s(x) C H1with 81s(a;)
= cgPx.Oneeasily checks sb1= cgP,Sa2 = 18S 81a1 = 281-
r: H3H2 is a homomorphism. One checks r82 = 2P, 82r = 3P, a:382

= 82a:2
and or2r= rcr3. 2
LEMMA3.5. Let T be the torsion subgroup of H?t(X,A; Z), F =
H?t(X,A; Z)/T and : FF the rnap induced by f* on H?t(X,A; Z). For
any abelian group G, f* on HU(XSA; G) is shift equivalent to 55(23id on
F(@G.
Proof. By the universal coefficienttheorem[5] there is a natural short
exact sequence
O >H?t(X,A;Z) (g G >H?t(X,A; G)- >H?t_1(X, A; Z)G >O.
By 3.3 (i) f* is nilpotent on the right group and so f* Q3id and f* on the first
two groups are shift equivalent by 3.4. Since F is free one has the exact
sequence[5]
O >T(@G >H?t(X,A;Z)(@G- >F(@G- >O.
By 3.3 (ii) and 3.4 one sees that f*53id and siQ3idon the last two groups re-
spectively are shift equivalent. O

LEMMA 3.6. There is a signed representation B and a fiItration pair
are shift equivalent for any abelian group G.

Proof. ThematrixBisgivenbyBfj= a(Cj)lBlijwhereh:QlBl isa
topologicalconjugacy, Ci = {x C Q Ih(S)o= i}. Now for z C Cic Q there are
canonicalcoordinates,A: WEU(Z) XWES(Z)Q onto a neighborhoodof z in Q
(see [16]). We assume h and | Bl have been chosen so that Cicimage A.
Then we defineorito be a neighborhoodof A( WEN(Z) X Z)n Ci in WE (Z)S
which is chosen to be a submanifoldwith boundary in WEN(Z) and which is
chosen so small that there are open neighborhoodsUj of Cj (in M) such that
ai n Uj = 0 if i + j. We orient cti to be compatiblewith the orientation of
EzXwhich is its tangent space at z. Similarly define ,Si to be neighborhoods
of A(zx WE(Z)) n ci in WES(Z)
with the correspondingproperties and oriented
so that the intersection number orin ,si = 1 (we pick a fixed orientation for
TMjQ).
Now choose a neighborhoodU of Q in M such that Actin u-0 =asi n u
for all i and let (X, A) be a filtrationpair such that X-Ac int U (see Lemma
(3.2)). Theorientedmanifoldscrirepresenthomologyclasses[cri]C H(X, A; Z)
since Actic A. Similarly, @hic M-X. Orient U by an orientation of M.
via the intersectionpairing, i.e., if , C Hu(XSA; Z), hi(y) = [hi] *[e (see [5]).
Since for any integer k, Si(k,cl)= kRi(,) we have that hi is zeroon the torsion
subgroupT of HU(XS A; Z); so we can considerhi: F Z. Notice hi([crj])= bii,
1 < i, j < n (here [cri]really means the image of [cti]in F).
We now extend {[cri]}t=1to a basis of F as follows. Let K=
n^t 1ker(hi:F Z), then for any v C F, v = ,,=1 hi(N))[ori] + y where y C K.
Thus K is a direct summandof F and we can choose {[aNi]}2/=nurl a basis of K
and {Rj}:^=n+l its dual basis. Now if i, j < n, f(cti) can only intersect Rj in
points of Q since ortcWU(Q)and RjcWS(Q) (see [16]). Thus Fj(0[aNi])=
Fj(f[ori]) = the intersection number of f(cti) with Rj = Bji. Hence the
matrix M for v in the basis {f}ff=1has the form (D N) for the given B and
some integer matrices C, D, N. The same argument shows that for k > O,
Mk = (*B *). Now since M = MX id: FX R >FX R and FX R is canoni-
cally isomorphicto HU(XSA; R), it follows from Theorem2 of [3] that M
has the same non-zeroeigenvalues as B and tr Mk-tr Bk for all k > 1.
We definematrices Ck,Dk,Nk for k > 1 by Mk = (D Nk)e From the
above remarkstr Nk = 0. By multiplying out M times Mk (in both orders),
one obtains the following relationships:

Nk+l= DCk+ NNk

(*) Ck+l = BCk + CNk
CkD= 0 for all k > 1.

We now show CNkD = O for all k by induction. Our inductionhypothesis
for k is:
(a) Ck+l = Qk+l+ CNk for some
Qk+lsatisfying Qk+lD O;
(b) CNjD = O for all j < k-1 .
Both (a) and(b)holdfor k = 1 by (*) since C = C1,N = N1. Also, (a) together
with the fact that Ck+lD = O implies CNkD-0; so (b) holds for k + 1.
To show (a) holds for k + 1 we use Ck+2= BCk+1+ CNk+1,and solving
the recurrencerelation for Nk+l, we get
(C) Nk+l = N + DCk + NDCk-1+ N DCk_2
+ ***+ N DC .
Thus CNk+l = CNk+l (by (b) for k), and we have
k+2 BCk+l+ CN 1 = CN0+l+ BCNk + BQ
Thus Qk+2 = BCN + BQk+l and it follows that Qk+2D- O; so (b) holds for
k + I. Thus CN0D = Ofor all k > O.
Finally, using the relation Qk+2= BCNk + BQk+l(and Q1= O)one sees
easily by inductionthat QkNjD=Ofor all k>1, j>O. Hencealso CkNJD=O
since Ck = CN0-l + Qk. Consequentlytr(NjDCk)= Ofor all j > O,k > 1 and
examining the formula (c) shows tr Nk+l = tr Nk+l = 0, so N is nilpotent.
Choosep>0 so that
(d) NP = O.
Using (b) and (c) above one checks inductively that, for k>1,
(e) C = B k-1C+ B k-2CN+ B k 3CN2+ ***+ CN
and
(f) D = DBk-1+ NDBk-2+ N2DBk 3+ . . . + N D.
For k > p one checks
(D N) (D N)
by using (b)-(f). Inductively one gets (D N) Mk = Mktj for k > p, j > O,
and that (D N) = (BDyOi). In particular g2P=(D N) MP=(D o°)MPe
Now set R = [BPCp]and S = LD 21 Using (b)-(f) repeatedly one cal-
culates

RS-B2P + CpDp= B2P

-BP-- BP o BP Cp-
SR = D [BPCP]- Dp O Dp Np
RM = [BPCP]D N = [B P+1B
PC+ CpN]
= [BP+1CP+1]
= [BP+lBCp]
= BR,
-B C -BP -BP+1- -BP+1-
_D N ] Dp_ Dp+l_ DpB
-BP -
= B= SB.
_Dp_
equivalent. [
Proof of Theoern 3.2. Lemmas 3.5 and 3.6 give the theorem for sorne
filtration pair (X, A) and any signed representation B coming from a con-
(X', A') is another filtration pair for Q. Let (X*, A*) = (X U X', A U A').
Choose k so large that f k(A) n (x-A) = 0 and A k(X*)C X U A'. Consider
the diagram of maps
il
1 3 2 1 f
On homology i3 induces an isomorphism by excision. Let R = i3*1oi2*oh* and
S = i1* Then SR = O 2k on HU(X*S A*), RS = S 2k on HU(XS A) and the other
two equations for the shift equivalence of f* on HU(X*S A*) and HU(XS A)
are easily checked. One now replaces (X, A) by (X', A') to see that these
filtrations yield shift equivalent maps f* on homology.
Suppose now B is a signed representation

that for Q, A, i.e., there is a
conjugacy h: FIFS,
Q so that A(h(x))depends only on x0 for x G EB. For N a
positive integer we construct another signed representation as follows. Let
S be the set of all 2N+ 1 sequences (X-NX-N+1 * * * $0 * * * $N) occurring in doubly
infinite sequences x G EB (such finite sequences we call IB l-adnissible). One
defines a transition matrix A on S as follows: for a-(a_N, *y, aN),
b-(b_N, * * *, b) in S let Ab a-1 if ak+1-bk for kG [-N, N-1) and 0
conjugacy EB-S-1 Let h-ho1r-1oSAQ; then A(h(g)) depends only on g

(abusing notation we write A(X-N, ***, X, * **, XN) A(x0) = A(h(x))). Thus
B is a signed representation for Q, A where Bb,a Ab,alq(a). Define c on
finite IB I-admissible strings by (Q *, C.) A(C1)... A(Cm). Finally, de-
fine matrices R, S by
R-s =fe,6(ao, *.., aN) if aNi is IB I-admissible
- O otherwise,
A (j)s(a_-,N***, a1) if ja-N is I B l-admissible
Saj
= 10 otherwise.
One now checks
(RS)ij =Lae, RiaSaj
E{e(c1, .*, C2N+2): (c1, . ., C2N+2Y C2N+3) is B-admissible with
C,= jY C2N+3 i
=(B 2A7+2)ij
(SR)a,b Li Sa,iRi,b
E {e(cO,..., C2N+1) (C-N, *.**, C3N+2) is B-admissible with
C, = bk for all kIC[-N, N] and 0k = ak-N-2 for all
k I[N + 2, 3N + 2]}
(.f2N+2)ab
(SB)ai = Ej Sa jBi
= E, {s(ijacca, *.. , a-): ija-N admissible}
= Eb {e(ib-Nb_,.+l, *.*, bo):Bab = +1}

(BS)ai
and similarly RB = BR. The above equations show that B and B are shift
equivalent. For N sufficiently large, B will satisfy the necessary condition
for 3.6 to apply; this finishes the proof of the theorem. D
4. Poincare duality
In this section Q continues to be a zero-dimensional basic set and (X, A)
a filtration pair with X N U A. For F a field Theorem 3.2 (with 1.1 and
the remark after 1.3) gives us an isomorphism p: S(Fn; B)zS(HU(X, A; F); f*)
with pB = fp (where S(V; L) = li=0 Li(V) for L: V-+V a linear map of a
vector space). One defines the dual filtration for f' by N cl(M - A),
A = cl(M - N) and X = NU A. We also have an isomorphism p: S(Fn, Bt)-
S(HQ(X,A; F), fi') (s - dim M - ). We will see in this section that the
ordinary dot product on Rn, thought of as a bilinear map S(Rn, B) x
S(Rq, B t) R, corresponds under the isomorphisms p and p to the inter-

section pairing (Poincareduality)

<,>: HU(XSA; R)xHs(X, A, R) - >R
when the manifoldis oriented.
Geometricallythis pairing should be thought of as taking a
u-chain v
in X with boundaryin A and an s-chain w in X with
boundaryin A whose
boundariesare disjointandwhichintersect transversally. Their
intersection
(a finite numberof points with signs obtainedfrom the
orientations)is then
a zero cycle in M and hence an element <v, w> G
Ho(M)-R. Alternatively
the mapv<v, >,
HU(XSA; R) >[H8(X,A; R)]* = HS(X, A; R)
is the Poincareduality isomorphism.
Since we are in a somewhat nonstandardsituation
(when mTeuse an
arbitrary filtrationpair) we give a morerigorouspresentation.
For a space
Y we will denote int Y by YO.
For the open pairs (NoSNo n Ao) (NoSNo n Ao) there is
an intersection
pairing (see [5], 13.1, p. 336),
O: HU(NoS Non Ao)x HS(NoS
No n Ao) >Ho(No
n No) intl Ho(M)= R
There are isomorphisms
P1:Hu(NOS Non Ao)--- > Hu(XoS
Ao) > HU(XSA)
P2:H8(No,No n Ao)--- > Hs(XoSAo) >HS(XSA),
the first arrow being excision and the second the map
induced by inclusion
(the inclusion(XO,Ao)c (X, A) is a homotopy
equivalence). The precise de-
finitionof <, >:HU(XSA) x H8(X,A) R is then <v, w> =
<>(p1l(v) x p2-l(w)).
It is non-singularsince, if D: HU(XSA) >HS(X, A)-(HS(XS A))* is the
Poincare duality isomorphism (see [5], 7.2, p. 292), then
Dv(w) = <v, w>
(see 13.5, p. 337 of [5]).
We are now ready to prove the following propositionin
which we sup-
pose Q is a zero-dimensionalbasic set, with Eu and Es
oriented compatibly
with an orientationof M.
PROPOSITION 4.1. If p: S(Rn;B)S(HU(X, A);f*) and p: S(R3;Bt)
S HS(XSA);f*l) are the isornorphistns given above
and v GS(Rn;B),
w G S(R"; Bt)sthen v w-+<p(v), p(w)> where *is the ordinary dot product
and <, > is the intersection pairing and the + dependsOe?>
whetherf: MM
preservesor reverses orientation.
Proof. As remarked in Section 3, the induced maps on
HU(XSA) and
HU(X A') for diferent filtration pairs (X, A) and (X', A')
are shift equi-

< p(>),p((l))><>,(!)> + < NjD(B)j l(>), (Nt)kCt(B
t)-k-1((19)>
valent. The maps giving the shift equivalence are induced by inclusions
and Becauseof this and the naturality of Poincareduality, it sufficesto
f.
prove the propositionfor one filtration pair.

We choose the filtrationpair (X, A) of Lemma (3.6) and let cri,,Eibe the
oriented manifolds(with boundary)definedin the proof of this lemma. Let
ei G HU(X,A; R) be the image of the fundamental class of acti;R) HU((tis
under the inclusion(cri,Ac2f)c (X, A), 1 < t < X and define ei G HS(X;A; R)
(1 < z < n) similarly using ,Ei. Then by construction
<ei, e > = b+j j

Thus we can defineei(n + l <zarn) and ej(n + 1< that the ei's are jAm,) SO
a basis of HU(XSA; R) and the ej's are a basis of HS(X A; R) which is dual
with respect to <, >.
As in the proof of Lemma (3.6) we note that with respect to the basis
e1, . . *, emthe map has a matrix of the form (D N) (this is because if
f*
1 < ts < n then the

j entry of this matrix is <f*(ej), ei>, i.e., the inter-
tjtE
section numberof with ,Ei). Exactly as in the proof of Lemma(3.6), it

f((xj)
can be shown CNkD = O for all k > O,and N is nilpotent.

Now f*1 on H8(X,A; R) is + the adjoint of depending on whether k f*
preserves or reverses orientation(we will henceforth assume +, the other

case being similar). This is because for cycles a;,g the intersection of gZ
and g is f appliedto the intersection of a;and (see [5] for a general re-
f lg
ference on intersectionnumbers).
Thus the matrix for f*1 with respect to the basis e 1 * * , e mis
/B C0t /Bt Dt\
tD N} tCt Nt}
If using the basis e1, ***, e^, we identify HU(X A; R) with Rn@ Rm-n then
we can give an explicit formula for p, namely, p(v)=(v, °j° oNiD(B)-j-l(>)).
This makes sense since N is nilpotent and using the relationsfrom the proof
of (3.6) we can check that p oB = M° p. Since p is also injective it is clear
we have a valid formula for p. Similarly
( ) ( Eoo (Nt)kCt(Bt)k-l(se))
in the basis el, * , emffi
Thus
/i k=o <CN D(B) i 1(v) (Bt)-k-1((l))>

= wso since CNi+kD = O .
The case when k reverses orientationis similar.

9o RUFUS BOWEN AND JOHN FRANKS
5. Flows
Let ft be an Axiom A flow with no cycles on the
orientablemanifoldM.
Suppose(X, A)is a filtration pair for the one-dimensional
basic set A.
LEMMA 5.1. Hk(X, A;G)isindependent of (X A).
Proof. Suppose(X', A')is another filtration pair for A. For some t,
t'
onehasft (X, A)-+(X',A')andft,: (X', A')- >(X, A). As ft,+t:
(X, A)->(X, A)
is homotopicto the identity, (ft,+t)* iS the identity on
Hk(X, A;G). Similar-
ly iS the identity on Hk(X',
(ft+t,)*
A;G). Since both compositions of
( ft)* Hk(X, A; G)->Hk(X , A;G) and ( ftt)* Hk(X , A;G)-> Hk(Xs
yield the identity, these two maps are isomorphisms. A;G)
[2
Because A is one-dimensionalone can find a manifold with
boundaryN
transverse to the flow ft such that
( 1 ) ANn 19=
and
( 2 ) A C UtzoftN .
Then Q = A n N is a global cross-sectionfor the flow ft 11!vandthe first
return
the number 7($)-smallest t>O with ftx C N is defined. Let Q be a compact
submanifoldwith boundary of N containing Q and on which z
is defined.
set for the embeddingF: QN; let B be a signed
representation for FiQ
(as in Section 3) reflecting the action of F on Eu IQ.
Given a filtration pair (X', A') for 1t, one can choose the
N above so
that NcX' and Nn A' = 0. Define the filtration pair (X, A) by
X= A' UUt>oftQ andA-closure (X-{ftx: $ C Q, O< t <
r($)}). Let X= A UQ
and extend z from Q to a positive continuous function
r: XR. Define
F:(X, A) -+ (X, A) by F($) = fr(x$
Now N is orientable (as M is, and N is transverse to the
time oriented
(b) ker(I-F* on H(X, A; G)) _ ker(I-B on Gn)and

(c) H,,(X, A; G)/(I-F*)H,,(X, A; G) _ Gn/(I-B)Gn.
LEMMA5.2. If XD XD A are as above, there is a long
ea;actsequence
forany abelian coefficientgroup G,

Hk+l((X,
> Hk+l(X, A)Hs(X,
A)Hk+l(X,
x (JsA)aJ))
X)
Hk(X,
Hk((X A)
X aJ)
- > Hk(X, 0Hk(Xs
A)
U (A
> x A)
J) A xA)J)>
Hk(X, ** X
Proof. We consider the commutative diagram
h* T- h* T--excision
kT- i*- T
where the top row is the long exact sequence for the triple A c X c X, and
h* is inducedby the maph: (X, A)x(J, AJ)(X, X) givenbyh(x, t)=ft:(x,(x)
(tGJ = [O,l]). The map h is a relative homeomorphism so h* is an iso-
morphism; h is the restriction of h. The map k is an isomorphism coming
from the Kunneth formula and 82 iS the boundary map of the long exact
sequence of the triple (Ax J) c(Xx AJ)U(Ax J) c(Xx J). The map
t: (X,A) 11(X, A)((XxAJ) U(AxJ), Ax J) takes the first copy of (X, A)
to (X, A) x {O}and the second to (X, A)x {1}.
One checks easily that h*oi*(8,v) = u + F*(v),so that h*o i* o (I,-I)=
I-F*. Thus tracing through the diagram shows the required sequence is
exact when 55= k-l oh*l Oj*. g
For k + u, F* is nilpotent and so I-F* is an isomorphism. The exact

sequence above gives Hk(X, A:G)= 0 for ku, u + 1 and the exact sequence
0 >H+1(X, A;G) >H,,(X,A;G)* H,,(X,A;G) >H,,(X,A;G) >O.

This gives us the following theorem.
THEOREM
5.3. Hk(X, A;G)= Ofor ku, u + 1.
H,,+1(X,
A;G)_ ker(I-B on
H,,(X,A;G)-Gn/(I-B)Gn .
Rernak. In case det(I-B) + O,one has that
HU(XS
A;Z) ZB/(I-B)Zn_ ker(I-B on Tn)_ H?Xe+1(Xs
A, S1)
and that all other homology groups for (X, A) with Z or S1 coefficients are
zero. All homology groups with real coefficients are zero.
UNIVERSITY
OFCALIFORNIA,
BERKELEY
NORTHWESTERN
UNIVERSITY,
CHICAGO,
ILLINOIS
REFERENCES
[1 ] R. BOWEN,Topological entropy and Axiom A, Proc. Symp. Pure Math. 14 (1970), 23-41.
[2] , One-dimensionalnonwandering sets for flows, J. DiS. Eqns. 12 (1972), 173-179.
[3] , Entropy versus homology for certain difeomorphisms, Topology 13 (1974),61-67.

[41 R. BOWEN,and P. WALTERS, Expansive one-parameter flows, J. Diff. Eqns. 12 (1972),

180-193.
[51 A. DOLD, Lectures on Algebraic Topology Springer-Verlag 1972.
[61 S. EILENBERG, and N. STEENROD, Foundations of Algebraic Topology, Princeton, 1952.
[7] J. FRANKS,A reduced zeta function for diffeomorphisms,to appear, in Amer. Jour. of Math.
[81 A. MANNING, Axiom A diffeomorphisms have rational zeta functions, Bull. London Math.
Soc. 3 (1971), 215-220.
[91 S. NEWHOUSE, On simple arcs between structurally stable flows, in Springer Lecture
Notes, V. 468.
[10] D. PIXTON,Wild unstable manifolds, Topology 16 (1977), 167-172.
[11] W. PARRY, and D. SULLIVAN,A topological invariant of flows on one-dimensional spaces,
Topology 14 (1975), 297-299.
[12] J. PLANTE,Foliations with measure preserving holonomy, in Springer Lecture Notes, V.
468.
[13] D. RUELLE,and D. SULLIVAN,Currents, flows and diffeomorphisms, Topology 14 (1975),
319-328.
[14] M. SHUB, and D. SULLIVAN,Homology theory and dynamical systems, Topology 14 (1975),
109-132.
[15] M. SHUB, and R. WILLIAMS,Entropy and stability, Topology 14 (1975), 329-338.
[16] S. SMALE,Differentiable dynamical systems, Bull. A. M. S. 73 (1967), 747-817.
[17] , The Q-stability theorem, Proc. Symp. Pure Math. 14 (1970), 289-297.
[18] R. WILLIAMS,Classification of subshifts of finite type, Ann. of Math. 98 (1973), 120-153;
Errata, ibid., 99 (1974), 380-381.
(Received May 29, 1976)


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Homology for Zero-Dimensional Nonwandering Sets

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