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SPRINGER BRIEFS IN MATHEMATICS

Luís Barreira
Davor Dragičević
Claudia Valls

Admissibility and
Hyperbolicity

123
SpringerBriefs in Mathematics

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Palle Jorgensen
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SpringerBriefs in Mathematics showcases expositions in all areas of mathematics
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Luís Barreira • Davor Dragičević • Claudia Valls

Admissibility and
Hyperbolicity

123
Luís Barreira Davor Dragičević
Departamento de Matemática Department of Mathematics
Instituto Superior Técnico University of Rijeka
Universidade de Lisboa Rijeka, Croatia
Lisboa, Portugal

Claudia Valls
Departamento de Matemática
Instituto Superior Técnico
Universidade de Lisboa
Lisboa, Portugal

ISSN 2191-8198 ISSN 2191-8201 (electronic)

SpringerBriefs in Mathematics
ISBN 978-3-319-90109-1 ISBN 978-3-319-90110-7 (eBook)
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Preface

The main objective of this book is to give a fairly broad overview of the relation
between admissibility and hyperbolicity, which goes back to the seminal work of
Perron in 1930. In particular, we present the main directions of the theory and a
few selected recent developments. We also give some applications of the relation
between admissibility and hyperbolicity, as well as pointers for further topics that
were already out of the scope of the book. Overall, the text is an invitation to the
area and we hope that it may lead to further developments.
On purpose, we avoid discussing topics that are not directly related to admissibil-
ity or that are not applications of admissibility. This allows us to highlight the main
aspects of the theory avoiding some technical complications that are not essential.
Instead, we provide detailed references to the literature for those topics that are not
discussed in the book. On the other hand, most of the material did not appear before
in book form. Moreover, much of it was rewritten on purpose for our text.
The book is dedicated to researchers as well as graduate students specializing
in differential equations and dynamical systems, with emphasis on hyperbolicity,
who wish to have a comprehensive view of the relation between admissibility and
hyperbolicity, as well as a working knowledge of its techniques. It can also be used
as a basis for graduate courses on hyperbolicity with emphasis on admissibility.
The material is divided into three parts: the core of the theory is presented
in Chapters 2–4, a few selected topics are discussed in Chapter 5, and some
applications are given in Chapter 6. In the introduction we describe in a pragmatic
manner the origins of the theory and we give a brief overview of the contents of the
book.
In Chapter 2 we present the main results of the admissibility theory in the simpler
case of exponential contractions, both for discrete and continuous time. This allows
us to give a first introduction to the relation between hyperbolicity and admissibility
without the technical complications caused by the existence of contraction and
expansion in an exponential dichotomy.

v
vi Preface

Chapters 3 and 4 consider the general case of exponential dichotomies, respec-

tively, for discrete and continuous time. In particular, we establish corresponding
results using arguments that build on those in Chapter 2, although there are various
technical difficulties that need to be overcome.
In Chapter 5 we consider various extensions of the results in the former chapters.
Namely, we develop a general approach to the construction of admissible spaces, we
present results dealing with a weaker form of admissibility that does not require the
uniqueness of solutions, and we consider the more general notion of a nonuniform
exponential behavior.
Finally, in Chapter 6 we describe various applications of the theory and in
particular of the relation between admissibility and hyperbolicity to the robustness
of an exponential dichotomy, to the characterization of hyperbolic sets in terms of
admissibility, to the relation between shadowing and structural stability, and to the
characterization of hyperbolicity in terms of Lyapunov sequences.

Lisbon, Portugal Luís Barreira

Rijeka, Croatia Davor Dragičević
Lisbon, Portugal Claudia Valls
January 2018
Acknowledgements

L. Barreira and C. Valls were supported by FCT/Portugal through the project

UID/MAT/04459/2013. D. Dragičević was supported by the Croatian Science
Foundation under the project IP-2014-09-2285.

vii
Contents

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Foundations of the Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Summary of the Book. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
2 Exponential Contractions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.1 Sequences of Linear Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.2 Evolution Families . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
3 Exponential Dichotomies: Discrete Time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
3.1 Two-Sided Sequences of Linear Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
3.2 One-Sided Sequences of Linear Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
3.3 Strong Exponential Dichotomies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
4 Exponential Dichotomies: Continuous Time. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
4.1 Two-Sided Evolution Families . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
4.2 One-Sided Evolution Families. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
4.3 Strong Exponential Dichotomies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
5 Admissibility: Further Developments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
5.1 Admissible Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
5.2 Nonuniqueness of Solutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
5.3 Nonuniform Hyperbolicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
6 Applications of Admissibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
6.1 Robustness of Hyperbolicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
6.2 Hyperbolic Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
6.3 Shadowing Property . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
6.4 Lyapunov Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143

ix
Chapter 1
Introduction

As already noted in the preface, the main objective of this book is to give a fairly
broad overview of the relation between admissibility and hyperbolicity. In this
chapter we describe in a pragmatic manner the origins of the theory and we give
a brief overview of the contents of the book.

1.1 Foundations of the Theory

1.1.1 Admissibility

The study of admissibility has its origins in pioneering work of Perron in [55], where
he studied the existence of bounded solutions of the equation

x  = A(t)x + f (t) (1.1)

in Rn for a bounded continuous perturbation f : R+ 0 → R , assuming that A(t) are

n

n×n matrices varying continuously with t ≥ 0. It turns out that this property, usually
called the admissibility of the pair of spaces in which we take the perturbations and
look for the solutions, yields the conditional stability of the linear equation

x  = A(t)x (1.2)

along a certain subspace. In fact, it yields the existence of an exponential dichotomy

for the linear equation.
Incidentally, in [55], Perron not only initiated the study of admissibility and its
relation to hyperbolicity, but also contributed to prepare the ground for the study of
stable and unstable invariant manifolds (even in the nonautonomous case), as well as

© Springer International Publishing AG, part of Springer Nature 2018 1

L. Barreira et al., Admissibility and Hyperbolicity, SpringerBriefs in Mathematics,
https://doi.org/10.1007/978-3-319-90110-7_1
2 1 Introduction

for the study of the robustness of hyperbolicity, which asks whether the conditional
stability persists under sufficiently small linear perturbations.
We would like to recall a particular result from [55] or, more precisely, a simple
consequence of one of the main results. Again let A(t) be n × n matrices varying
continuously with t ≥ 0.
Theorem 1.1 If Equation (1.1) has at least one bounded solution on R+ 0 for
each bounded continuous function f , then each bounded solution of the linear
equation (1.2) tends to zero when t → +∞.
As noted above, the assumption in Theorem 1.1 is called the admissibility of
the pair of spaces in which we take the perturbations and look for the solutions.
Theorem 1.1 can be regarded as the first result in the literature on the relation
between admissibility and (conditional) stability.
One can also consider the admissibility of other pairs of spaces. Although this
will be profusely illustrated along the book, and even briefly described already in
Section 1.2, we note that there is an extensive literature on the relation between
admissibility and stability, also on infinite-dimensional spaces. For a discussion of
some of the most relevant early contributions we refer to the books by Massera and
Schäffer [46] (which culminates the development started in [45]) and by Dalec’kiı̆
and Kreı̆n [25]. Related results for discrete time were first obtained by Li in [41] and
then by Coffman and Schäffer in [22]. More recently, Slyusarchuky [80] obtained
a characterization of exponential dichotomies with respect to a sequence of Banach
spaces in the particular case of the pair (∞ , ∞ ). We also refer to [40] for some
early results on infinite-dimensional spaces. For related references, we refer the
reader to [20] and for more recent work to Huy [34].

1.1.2 Discrete and Continuous Time

We are interested both in dynamics with discrete and continuous time. It turns out
that there are important differences between the two. This will be illustrated along
the text, but in the following paragraphs we detail already a few of these differences.
In the case of discrete time we consider a sequence (Am )m∈I of bounded linear
operators acting on a Banach space X, for some interval I ⊂ Z. Moreover, given a
sequence (ym )m∈I in X, we consider the dynamics

xm = Am−1 xm−1 + ym , for m ∈ I. (1.3)

We say that a pair of Banach spaces (C, D) is admissible if for every (ym )m∈I ∈ C
there exists a unique sequence (xm )m∈I ∈ D satisfying (1.3).
In the case of continuous time one can consider the linear equation (1.2) for some
(bounded or unbounded) linear operators A(t) varying continuously with t in some
interval I ⊂ R. Moreover, we consider Equation (1.1) for a given perturbation f .
More generally, one can consider arbitrary evolution families of linear operators
acting on a Banach space X. In this case there are two main types of admissibility:
1.1 Foundations of the Theory 3

1. for some linear operators A(t) varying continuously with t ∈ I , we say that a pair
of Banach spaces (C, D) is strongly admissible if for each y ∈ C there exists a
unique x ∈ D absolutely continuous on each compact interval contained in I
such that (1.1) holds almost everywhere (with respect to the Lebesgue measure);
2. for an evolution family T (t, τ ) on I , we say that a pair of Banach spaces (C, D)
is weakly admissible if for each y ∈ C there exists a unique x ∈ D satisfying
 t
x(t) = T (t, τ )x(τ ) + T (t, s)y(s) ds, for t ≥ τ.
τ

We emphasize that none of the two types of admissibility implies the other.
Since we deal simultaneously with discrete and continuous time, it is natural to
ask whether some results for continuous time can be deduced from corresponding
ones for discrete time or vice versa. It turns out that this is the case only for
evolution families with bounded growth and happens twice in the text: namely,
Theorems 2.5 and 4.4 can be deduced, respectively, from Theorems 2.2 and 3.4
(their counterparts for discrete time) precisely because these are the only places
where we require the bounded growth property a priori. Incidentally, both results
consider the admissibility of the pairs of spaces (Lq , Lp ) with 1 ≤ q ≤ p < ∞.
In both cases we shall give two proofs: one that is independent of the results for
discrete time and another where the result (more precisely the sufficiency of the
admissibility property for the existence of an exponential behavior) is deduced
from a corresponding statement for discrete time. This choice has to do with a few
advantages of the first approach: while the second proof is naturally shorter, the first
proof has the advantages of ensuring that the corresponding sections can be read
independently (of those for discrete time) and, more importantly, of giving a simple
prototype of the strategy in some more elaborate arguments in Chapters 4 and 5
(see the proofs of Theorems 4.6 and 5.4). Another advantage of the first proof of
Theorem 4.4 is that it gives explicitly (as much as possible) the stable and unstable
spaces of the exponential dichotomy that in the second proof are given indirectly in
terms of a corresponding dynamics for discrete time.
Another difference between discrete and continuous time has to do with the
“natural” spaces in which we take the perturbations. As a prototype, we describe
here two possible continuous time versions of the ∞ space of bounded sequences
for discrete time. Let C be the set of all bounded continuous functions f : I → R
with the supremum norm

f ∞ = sup f (t) .
t∈I

Arguably, this is a “natural” continuous time version of the space ∞ . However,

one can also consider, for example, the set M of all locally integrable functions
f : I → R such that f M < +∞, with the norm
 t+1
f M = sup f (s) ds,
t∈I t
4 1 Introduction

identified when they are equal almost everywhere. For some purposes this turns
out to be a more “natural” continuous time version of the space ∞ , notably to
obtain an admissibility property that is equivalent to the existence of an exponential
dichotomy (see Chapter 4).
The spaces with respect to which one can establish admissibility properties may
also differ depending on what type of admissibility we are interested on, such as
for example strong and weak admissibility in the case of continuous time, and on
what type of exponential behavior we are studying, such as for example uniform and
nonuniform hyperbolicity. These variations are considered in detail along the book.

1.1.3 Hyperbolicity

The study of hyperbolicity originated in works of Artin, Morse, Hadamard,

Hedlund, Hopf, and Poincaré, particularly on the instability and on the ergodic
properties of geodesic flows on compact surfaces. Its systematic study was initiated
by Smale [81], who considered the structural stability of hyperbolic systems, and
by Anosov and Sinai [1, 2], with emphasis on the ergodic properties of hyperbolic
systems with respect to a smooth invariant measure. For details and references on
the hyperbolicity theory and its many applications that are closer to the spirit of our
book we refer the reader to [23, 31, 32, 46, 79].
The notion of an exponential dichotomy or an exponential splitting was essen-
tially introduced by Perron in [55] and plays an important role in a substantial part of
the theory of differential equations and dynamical systems. In particular, it is central
in the stability theory, such as in connection with the construction of topological
conjugacies and invariant manifolds. Moreover, the local instability of trajectories
caused by the existence of exponential dichotomies influences the global behavior
of the system and often leads to the occurrence of stochastic behavior.
Before proceeding we describe briefly the main aspects of hyperbolicity. The
notion requires the existence of contraction and expansion along certain invariant
subspaces, called stable and unstable spaces. It also requires that the angle between
these spaces is uniformly bounded from below along all trajectories (although this
may be a direct consequence of the particular dynamics). More precisely, given a C 1
diffeomorphism f : M → M of a Riemannian manifold, we say that a measurable
f -invariant set Λ ⊂ M (which means that f (Λ) = Λ) is a hyperbolic set for f if
there exist λ ∈ (0, 1), C, D > 0 and splittings

Tx M = E s (x) ⊕ E u (x), for x ∈ Λ,

such that for each x ∈ Λ:

1. dx f E s (x) = E s (f (x)) and dx f E u (x) = E u (f (x));
2. for each n ≥ 0 we have

dx f n |E s (x) ≤ Cλn and dx f −n |E u (x) ≤ Cλn ; (1.4)

1.1 Foundations of the Theory 5

3. for v ∈ E s (x) and w ∈ E u (x) we have

v ≤D v+w and w ≤D v+w .

The first condition requires the invariance of the spaces E s (x) and E u (x) (the stable
and unstable spaces) under the derivative of the map, while the second condition
requires the existence of contraction and expansion along these spaces. One can
verify that E s (x) and E u (x) vary continuously with x and so when Λ is compact,
the angle between these spaces is uniformly bounded from below, that is,
 
inf E s (x), E u (x) > 0.
x∈Λ

This shows that condition 3 holds automatically for a compact hyperbolic set Λ.
The notion of an exponential dichotomy corresponds to consider the particular
case of a hyperbolic set
Λx = {f n (x) : n ∈ Z}

containing the trajectory of a single point x ∈ M. Write An = df n (x) f and let


Am−1 · · · An if m > n,
A (m, n) = (1.5)
Id if m = n

for each m ≥ n. One can easily verify that Λx is a hyperbolic set for f if and only
if there exist λ ∈ (0, 1), C > 0 and splittings

Tf n (x) M = Ens ⊕ Enu , for n ∈ Z, (1.6)

such that for n ∈ Z:

1. An E0s = Ens and An E0u = Enu ;
2. for each m, n ∈ Z with m ≥ n we have

A (m, n)Pn ≤ Cλm−n and A (m, n)−1 Qm ≤ Cλm−n

taking the projections Pn and Qn = Id−Pn associated with the splittings in (1.6).
This leads naturally to the (abstract) notion of an exponential dichotomy introduced
in Section 1.2.2.
One can consider in an analogous manner the notion of a hyperbolic set for a
flow (see Section 6.2.2) that leads similar to the (abstract) notion of an exponential
dichotomy for an evolution family introduced in Section 1.2.2. Moreover, the
former conditions can be considerably weakened, leading to more general notions
of hyperbolicity that may also occur more often (such as the notion of nonuniform
hyperbolicity; see Section 1.2.3). Namely:
1. the contraction and expansion along the stable and unstable spaces need not be
uniform, that is, the constant C in (1.4) might be replaced by a function C(x);
6 1 Introduction

2. the angles between the stable and unstable spaces may go to zero along some
trajectories when the time approaches ±∞.

1.2 Summary of the Book

1.2.1 Exponential Contractions

In Chapter 2 we give characterizations of an exponential contraction in terms of

admissibility properties. This allows us to give a first introduction to the relation
between admissibility and hyperbolicity without the technical complications caused
by the existence of contraction and expansion in an exponential dichotomy.
We say that a sequence (Am )m∈I of bounded linear operators has an exponential
contraction if there exist λ, D > 0 such that

A (m, n) ≤ De−λ(m−n) , for m, n ∈ I with m ≥ n,

with A (m, n) as in (1.5). Similarly, we say that an evolution family T (t, τ ) on I

has an exponential contraction if there exist λ, D > 0 such that

T (t, τ ) ≤ De−λ(t−τ ) , for t, τ ∈ I with t ≥ τ.

In the case of discrete time (see Section 2.1), for the dynamics defined by a
sequence (Am )m∈I of bounded linear operators, with I = {n ∈ Z : n ≥ n0 } for some
n0 ∈ Z, we characterize an exponential contraction in terms of the admissibility of
the pairs of spaces

(∞ ∞ q p
0 , 0 ) and (0 , 0 ), with 1 ≤ q ≤ p < ∞.
p
Here, 0 is the set of all sequences (xm )m∈I ∈ p such that xn0 = 0.
In the case of continuous time (see Section 2.2), for the dynamics defined by an
evolution family T (t, τ ) on I , with I = [t0 , +∞) for some t0 ∈ R, we characterize
an exponential contraction in terms of the admissibility of the pairs of spaces

(M, Dt0 ) and (Lq , Lp ), with 1 ≤ q ≤ p < ∞,

where Dt0 is the set of all continuous functions x ∈ C such that x(t0 ) = 0.
For the pair (Lq , Lp ) we need to assume that the evolution family has bounded
growth, while in the case of strong admissibility, for the pair (M, Dt0 ), we require
that Equation (1.1) is satisfied almost everywhere by some absolutely continuous
function x. We recall that an evolution family T (t, τ ) on I is said to have bounded
growth if there exist a, K > 0 such that

T (t, τ ) ≤ Kea(t−τ ) , for t, τ ∈ I with t ≥ τ.

1.2 Summary of the Book 7

1.2.2 Exponential Dichotomies

In Chapters 3 and 4 we introduce the more general notion of an exponential

dichotomy, respectively, for discrete and continuous time.
We establish corresponding results using arguments that build on those in
Chapter 2, but the fact that we need to take into consideration the angles between
the stable and unstable spaces or, in the case of a dynamics on a Banach space,
the norms of the projections associated with the splitting into stable and unstable
spaces, causes substantial complications. The major difficulty consists of showing
that an admissibility property implies the existence of contracting and expanding
directions, with invertibility along the unstable direction.
We say that a sequence (Am )m∈I of bounded linear operators has an exponential
dichotomy if:
1. there exist projections Pm : X → X, for m ∈ I , satisfying

Am Pm = Pm+1 Am , whenever m, m + 1 ∈ I,

such that the map

Am |ker Pm : ker Pm → ker Pm+1

is invertible;
2. there exist λ, D > 0 such that for each m, n ∈ I with m ≥ n we have

A (m, n)Pn ≤ De−λ(m−n) and A (n, m)Qm ≤ De−λ(m−n) ,

with A (m, n) as in (1.5), Qm = Id − Pm and

 −1
A (n, m) = A (m, n)|ker Pn : ker Pm → ker Pn , for n < m.

Similarly, we say that an evolution family T (t, τ ) on I has an exponential dicho-

tomy if:
1. there exist projections Pt , for t ∈ I , satisfying

Pt T (t, τ ) = T (t, τ )Pτ , for t ≥ τ,

such that the map

T (t, τ )|ker Pτ : ker Pτ → ker Pt

is invertible;
2. there exist λ, D > 0 such that for each t, τ ∈ I with t ≥ τ we have

T (t, τ )Pτ ≤ De−λ(t−τ ) and T (τ, t)Qt ≤ De−λ(t−τ ) ,

8 1 Introduction

with Qt = Id − Pt and

T (τ, t) = (T (t, τ )|ker Pτ )−1 : ker Pt → ker Pτ , for τ < t.

In Section 3.1 we consider the case of a two-sided dynamics, with I = Z, and

we characterize an exponential dichotomy in terms of the admissibility of the pairs
of spaces

(∞ , ∞ ) and (q , p ), with 1 ≤ q ≤ p < ∞. (1.7)

On the other hand, in Section 3.2 we consider the case of a one-sided dynamics,
with I = N. Here there is an additional complication—the unstable space need not
be unique (in fact it is never unique when the dynamics is invertible), which causes
that the arguments need various changes.
In Section 3.3 we consider the notion of a strong exponential dichotomy for
a dynamics with discrete time on the line and we characterize it in terms of
the admissibility of the pairs in (1.7). The word “strong” means that we have
simultaneously lower and upper bounds along the stable and unstable directions.
A corresponding study for continuous time is initiated in Section 4.1, starting
with the case of a two-sided dynamics, with I = R. In particular, we characterize
an exponential dichotomy in terms of the admissibility, respectively, of the pairs of
spaces

(M, C) and (Lq , Lp ), with 1 ≤ q ≤ p < ∞. (1.8)

On the other hand, in Section 4.2 we consider the case of one-sided dynamics, with
I = R+ 0 . As in Section 3.2, there is an additional complication related to the fact that
the unstable space need not be unique. Again this causes some extra complications
in the arguments and several changes are also required when passing from discrete
to continuous time.
Finally, in Section 4.3 we consider the notion of a strong exponential dichotomy
for a dynamics with continuous time and we characterize it in terms of the
admissibility of the pairs in (1.8).

1.2.3 Further Developments

In Chapter 5 we consider various extensions of the results in the former chapters.

Namely, we consider a general class of pairs of Banach spaces and their admissi-
bility properties, we characterize an exponential dichotomy on the line in terms of
the existence of exponential dichotomies on both half-lines together with a certain
transversality condition, and we consider the relation of nonuniform hyperbolicity
to admissibility.
1.2 Summary of the Book 9

In Section 5.1 we characterize the hyperbolicity of a linear dynamics, for both

discrete and continuous time, in terms of the admissibility of a general class of
pairs of Banach spaces. We note that the approach to obtain bounds along stable
and unstable directions differs from the usual test sequences approach (see for
example [31, 34]).
In Section 5.2, for a dynamics on the line, for both discrete and continuous time,
we consider the extension to Banach spaces of a result of Pliss that on a finite-
dimensional space gives a characterization of an exponential dichotomy on the line
in terms of the existence of exponential dichotomies on both half-lines together with
a certain transversality condition at the origin. It seems that this type of behavior
was considered for the first time by Coppel [23]. In the case of discrete time it was
considered by Papaschinopoulos in [53].
Finally, in Section 5.3 we consider the general case of a nonuniform exponential
behavior, with the study of the notion of an exponential dichotomy with respect to a
family of norms, for both discrete and continuous time. We note that a uniform
exponential behavior corresponds to consider a constant family of norms. This
allows us to unify the studies of uniform and nonuniform exponential behaviors.
For completeness, we briefly describe the main features of a nonuniform
exponential behavior. For a sequence of linear operators (Am )m∈N , and taking as
prototype the case of contractions, in the uniform setting we assume that there exist
λ, D > 0 such that

A (m, n) ≤ De−λ(m−n) , for m ≥ n,

with A (m, n) as in (1.5). On the other hand, in the nonuniform setting we assume
that there exist λ, D > 0 and  ≥ 0 such that

A (m, n) ≤ De−λ(m−n)+n , for m ≥ n.

The constant  measures the nonuniformity of the exponential behavior. In the case
of exponential dichotomies it is necessary to consider some additional structure,
related to the existence of contraction and expansion.
It turns out that the classical notion of a uniform exponential behavior is very
stringent for the dynamics and it is of interest to look for more general types of
hyperbolic behavior. These generalizations can be much more typical (see [4]). This
is precisely what happens with the notions of a nonuniform exponential contraction
and of a nonuniform exponential dichotomy. A principal motivation for weakening
the notion of a uniform exponential behavior is that from the point of view of
ergodic theory, almost all linear variational equations on a finite-dimensional space
have a nonuniform exponential behavior. Namely, consider a flow (φt )t∈R defined
by an autonomous equation x  = f (x) on Rn preserving a finite measure μ. This
means that
μ(φt A) = μ(A)
10 1 Introduction

for any measurable set A ⊂ Rn and any t ∈ R. One can show that the trajectory of
μ-almost every point x with negative (respectively nonzero) Lyapunov exponents
gives rise to a linear variational equation

v  = Ax (t)v, with Ax (t) = dφt (x) f,

with a nonuniform exponential contraction (respectively, dichotomy). We refer to

the book [4] for details and references.

1.2.4 Applications

In Chapter 6 we describe several applications of the results in the former chapters.

In particular, we establish the robustness of an exponential dichotomy, we consider
the more general case of hyperbolic sets, we discuss an application to the relation
between shadowing and structural stability, and we obtain a complete characteriza-
tion of an exponential dichotomy in terms of Lyapunov sequences.
In Section 6.1 we consider the robustness property of an exponential dichotomy
under sufficiently small linear perturbations, for both discrete and continuous time.
This means that a sufficiently small linear perturbation of an exponential dichotomy
has again an exponential dichotomy. The proof is based on the relation between
hyperbolicity and admissibility, which allows us to construct an invertible operator
from the set of bounded perturbations to the set of bounded solutions and thus, to
conclude that under sufficiently small perturbations a similar operator exists for the
perturbed dynamics (for related approaches see for example [34, 74]).
In Section 6.2 we obtain analogous results to those in Chapters 3 and 4 for
hyperbolic sets, with an elaboration of the arguments in those chapters. More
precisely, one can characterize the notion of a hyperbolic set in terms of the
invertibility of certain linear operators. To the best of our knowledge, the first
characterization of a hyperbolic set in terms of admissibility is due to Mather [47].
In Section 6.3, for discrete time, we apply the results characterizing an exponen-
tial dichotomy in terms of admissibility to show that structural stability is equivalent
to the Lipschitz shadowing property. In particular, Anosov diffeomorphisms have
the Lipschitz shadowing property.
Finally, in Section 6.4, for a dynamics obtained from a sequence of linear opera-
tors acting on a Hilbert space, we give a complete characterization of an exponential
dichotomy in terms of the existence of a (quadratic) Lyapunov sequence. Our
arguments rely on the characterizations of hyperbolic operators on Hilbert spaces
in [25] and again on the relation between admissibility and hyperbolicity.
Chapter 2
Exponential Contractions

In this chapter we present the main results of the admissibility theory in the simpler
case of exponential contractions, for both discrete and continuous time. This allows
us to give a first introduction to the relation between hyperbolicity and admissibility
without the technical complications caused by the existence of contraction and
expansion in an exponential dichotomy. The results presented here are generalized
in Chapters 3 and 4 to exponential dichotomies, respectively, for discrete and
continuous time.

2.1 Sequences of Linear Operators

We first consider a nonautonomous dynamics with discrete time, obtained from a

sequence of bounded linear operators acting on a Banach space.
Let X = (X, · ) be a Banach space and let B(X) be the set of all bounded linear
operators acting on X. We say that I ⊂ Z is an interval if it is the intersection of Z
with an interval of R. Given an interval I ⊂ Z and a sequence (Am )m∈I of linear
operators in B(X), we define

Am−1 · · · An if m > n,
A (m, n) = (2.1)
Id if m = n

for each m, n ∈ I with m ≥ n.

Definition 2.1 We say that a sequence (Am )m∈I of linear operators in B(X) has an
exponential contraction (on I) if there exist λ, D > 0 such that

A (m, n) ≤ De−λ(m−n) , for m, n ∈ I with m ≥ n. (2.2)

© Springer International Publishing AG, part of Springer Nature 2018 11

L. Barreira et al., Admissibility and Hyperbolicity, SpringerBriefs in Mathematics,
https://doi.org/10.1007/978-3-319-90110-7_2
12 2 Exponential Contractions

In the following sections we give characterizations of the notion of an exponential

contraction in terms of an admissibility property of certain pairs of Banach spaces.
Before proceeding we introduce the notion of an admissible pair for discrete
time.
Definition 2.2 Let c and d be Banach spaces of sequences (xm )m∈I with xm ∈ X
for each m ∈ I . We say that the pair (c, d) is admissible for a sequence (Am )m∈I of
linear operators in B(X) if for each (ym )m∈I ∈ c there exists a unique (xm )m∈I ∈ d
such that

xm+1 − Am xm = ym+1 , whenever m, m + 1 ∈ I. (2.3)

Note that condition (2.3) only makes sense when I = Z or I = {n ∈ Z : n ≥ n0 }

for some n0 ∈ Z.

2.1.1 The Pair of Spaces (∞

0
, ∞
0
)

Given an interval I ⊂ Z, let ∞ = ∞ (I, X) be the set of all sequences x =

(xm )m∈I in X such that

x ∞ := sup xm < +∞.

m∈I

One can easily verify that ∞ is a Banach space when equipped with the norm · ∞.
Moreover, the set
 
∞ ∞ ∞
0 = 0 (I, X) = (xm )m∈I ∈  : xn0 = 0

is a closed subspace of ∞ .
The following result gives a complete characterization of an exponential contrac-
tion in terms of the admissibility of the pair (∞ ∞
0 , 0 ) for a one-sided dynamics.
Theorem 2.1 Take I = {n ∈ Z : n ≥ n0 }. A sequence (Am )m∈I of linear operators
in B(X) has an exponential contraction on I if and only if the pair (∞ ∞
0 , 0 ) is
∞
admissible, that is, if and only if for each (ym )m∈I ∈ 0 there exists a unique
(xm )m∈I ∈ ∞0 satisfying (2.3).
Proof Assume that the sequence (Am )m∈I has an exponential contraction and take
y = (ym )m∈I ∈ ∞
0 . Let


m
xm = A (m, k)yk , for m ≥ n0 . (2.4)
k=n0
2.1 Sequences of Linear Operators 13

It follows from (2.2) that


m 
m
D
xm ≤ A (m, k)yk ≤ De−λ(m−k) yk ≤ y ∞
1 − e−λ
k=n0 k=n0

for each m ∈ I and since xn0 = 0, we conclude that x = (xm )m∈I ∈ ∞ 0 . Moreover,
it is easy to verify that property (2.3) holds. In order to establish the uniqueness of
x, we note that due to the linearity of the map y → x defined by (2.3), it suffices
to take y = 0. In this case the uniqueness of x follows directly from (2.3) since
xn0 = 0.
Now we establish the converse. Assume that for each y = (ym )m∈I ∈ ∞ 0 there
exists a unique x = (xm )m∈I ∈ ∞ 0 satisfying (2.3). We consider the linear operator
T : D(T ) → ∞ 0 defined by

(T x)n0 = 0 and (T x)m+1 = xm+1 − Am xm , for m ∈ I, (2.5)

on the domain D(T ) formed by the sequences x ∈ ∞ ∞

0 such that T x ∈ 0 .
Lemma 2.1 The operator T is closed.
Proof of the lemma Let (xk )k∈N be a sequence in D(T ) converging to x ∈ ∞
0 such
∞
that T x converges to y ∈ 0 . Then
k

xm+1 − Am xm = lim (xm+1

k
− Am xm
k
) = lim (T xk )m+1 = ym+1
k→+∞ k→+∞

for m ∈ I . This shows that T x = y and x ∈ D(T ). Hence, T is closed. 

For x ∈ D(T ) we consider the graph norm

x T = x ∞ + Tx ∞.

Since T is closed, (D(T ), · T) is a Banach space. Moreover,

T : (D(T ), · T) → ∞
0

is a bounded linear operator and, for simplicity of the notation, we continue to

denote it by T . By assumption the operator T is invertible. Now take v ∈ X and
n > n0 . We define a sequence y = (ym )m∈I ∈ ∞ 0 by yn = v and ym = 0 for
m = n. Since T is invertible, there exists x = (xm )m∈I ∈ ∞ 0 such that T x = y.
This identity is equivalent to (2.3), which gives

A (m, n)v if m ≥ n,
xm = (2.6)
0 if m < n.
14 2 Exponential Contractions

We also define a family of linear operators

B(z) : (D(T ), · T) → ∞
0

for z ≥ 1 by

zvm+1 − Am vm if n0 ≤ m < n,
(B(z)v)n0 = 0 and (B(z)v)m+1 =
vm+1 /z − Am vm if m ≥ n,

where v = (vm )m∈I . Clearly, B(1) = T and

(B(z) − T )v ∞ ≤ (z − 1) v T

for v ∈ D(T ) and z ≥ 1. Hence, B(z) is invertible whenever 1 ≤ z < 1 + 1/ T −1 ,

in which case
1
B(z)−1 ≤ .
T −1 −1 − (z − 1)

Now take t ∈ (0, 1) such that 1/t < 1 + 1/ T −1 and let z ∈ ∞

0 be the unique
sequence such that B(1/t)z = y. Writing

1
D = ,
T −1 −1 − (1/t − 1)

we obtain

z ∞ ≤ z T = B(1/t)−1 y T ≤ D y ∞ = D v .

For each m ∈ I , let xm∗ = t |m−n|−1 z and consider the sequence x∗ = (x ∗ )

m m m∈I .
∞
Clearly, x ∈ 0 . It is easy to verify that T x∗ = y and hence x∗ = x. By (2.6), we
∗

have
∗
A (m, n)v = xm = xm = t |m−n|−1 zm
D  (m−n) log t
≤ t |m−n|−1 z ∞ ≤ e v
t

for m ≥ n. Therefore, when n > n0 inequality (2.2) holds taking D = D  /t and

λ = − log t. Finally, let n = n0 . Then

D  (m−n0 ) log t
A (m, n0 ) ≤ A (m, n0 + 1) · An0 ≤ e An0 ,
t2
2.1 Sequences of Linear Operators 15

for m > n0 and thus inequality (2.2) also holds, taking D = max{1, D  An0 /t 2 }
and λ = − log t. This completes the proof of the theorem. 

q p
2.1.2 The Pairs of Spaces (0 , 0 )

Now we consider the admissibility property for other pairs of spaces. In particular,
we consider cases when the sequences (xm )m∈I and (ym )m∈I in (2.3) belong to
different spaces.
Given an interval I ⊂ Z and p ∈ [1, +∞), let p = p (I, X) be the set of all
sequences x = (xm )m∈I in X such that

1/p

x p := xm p
< +∞.
m∈I

One can easily verify that p is a Banach space when equipped with the norm · p.
Moreover, the set
p  
0 = p (I, X) = (xm )m∈I ∈ p : xn0 = 0

is a closed subspace of p . We recall that if a = (an )n∈Z and b = (bn )n∈Z are
sequences of real numbers, then their convolution is the sequence a  b given by

+∞

(a  b)n = am bn−m , for n ∈ Z
m=−∞

(when it is defined). By Young’s inequality for convolutions, if a ∈ r (Z, R), b ∈

q (Z, R) and

1 1 1
+ = +1 (2.7)
r q p

for some 1 ≤ p, q, r < ∞, then a  b ∈ p (Z, R) and

ab p ≤ a r b q. (2.8)

The following result gives a complete characterization of an exponential contrac-

q p
tion in terms of the admissibility of the pair (0 , 0 ), with 1 ≤ q ≤ p < ∞, again
for a one-sided dynamics.
Theorem 2.2 Take I = {n ∈ Z : n ≥ n0 } and 1 ≤ q ≤ p < ∞. A sequence
(Am )m∈I of linear operators in B(X) has an exponential contraction on I if and
16 2 Exponential Contractions

q p q
only if the pair (0 , 0 ) is admissible, that is, if and only if for each (ym )m∈I ∈ 0
p
there exists a unique (xm )m∈I ∈ 0 satisfying (2.3).
Proof First observe that since p ≥ q, there exists r ≥ 1 satisfying (2.7).
Assume that the sequence (Am )m∈I has an exponential contraction and take y =
q
(ym )m∈I ∈ 0 . Moreover, let xm be as in (2.4). It follows from (2.2) that


m 
m
xm ≤ A (m, k)yk ≤ D e−λ(m−k) yk = D(a  b)m ,
k=n0 k=n0

where
 
yk if k ∈ I, e−λk if k ≥ 0,
ak = and bk =
0 if k ∈
/I 0 if k < 0.

Clearly, a ∈ q (Z, R) and b ∈ r (Z, R). Thus, by (2.7), we have a  b ∈ p (Z, R),
p
which implies that x ∈ 0 . The uniqueness of x follows as in the proof of
Theorem 2.1.
q
Now assume that for each y = (ym )m∈I ∈ 0 there exists a unique x =
p q
(xm )m∈I ∈ 0 satisfying (2.3). Let T : D(T ) → 0 be the linear operator defined
p q
by (2.5) on the domain D(T ) formed by the sequences x ∈ 0 such that T x ∈ 0 .
Proceeding as in the proof of Lemma 2.1, with ∞
q
0 replaced by 0 , one can easily
verify that the operator T is closed. For x ∈ D(T ) we consider the graph norm

x T = x p + T x q.

In a manner similar to that in the proof of Theorem 2.1, (D(T ), · T) is a Banach

space and the linear operator
q
T : (D(T ), · T) → 0
q p
is bounded. By our assumption, T is invertible. Let G : 0 → 0 be its inverse,
which thus is a bounded linear operator.
q
Now take v ∈ X and n > n0 . We define a sequence y = (ym )m∈I ∈ 0 by yn = v
and ym = 0 for m = n. It follows from (2.3) that

A (m, n)v if m ≥ n,
(Gy)m =
0 if m < n.

Hence,
1/p

G · v = G · y q ≥ Gy p = A (m, n)v p

m≥n
2.1 Sequences of Linear Operators 17

and so

A (m, n)v ≤ G · v , for m ≥ n. (2.9)

Lemma 2.2 There exists K ∈ N such that for all m > n0 and n ≥ K, we have

1
A (m + n, m) ≤ . (2.10)
2
Proof of the lemma Write xn = A (n, m)x for n ≥ m. To prove (2.10), take b > m
such that xb > xm /2. It follows from (2.9) that

1
xm < xn ≤ G · xm (2.11)
2 G

for m ≤ n ≤ b. Now let

⎧
⎪
⎪ if n0 ≤ n < m,
⎨0
wn = xn / xn if m ≤ n < b, (2.12)
⎪
⎪
⎩0 if n ≥ b.

q
Clearly, w = (wn )n∈I ∈ 0 . Letting v = (vn )n∈I = Gw, we obtain
⎧
⎪
⎪
⎨0 n
if n < m,
vn = xn k=m 1/ xk if m ≤ n < b, (2.13)
⎪
⎩x b−1 1/ x
⎪
if n ≥ b.
n k=m k

Note that

G (b − m)1/q = G · w q ≥ v p.

On the other hand, it follows from Hölder’s inequality that


b−1
1− p1
vk ≤ (b − m) v p.
k=m

Combining the last two inequalities, we obtain

1+ q1 − p1

b−1
G (b − m) ≥ vk .
k=m
18 2 Exponential Contractions

Finally, it follows from (2.11) that

1+ q1 − p1

b−1 
b−1 
k
xk
G (b − m) ≥ vk =
xj
k=m k=m j =m

1 
b−1 
k
≥ 2
1
2 G
k=m j =m

(b − m)(b − m + 1) (b − m)2
= >
4 G 2 4 G 2

and so

(b − m)1/r < 4 G 3 ,

with r ≥ 1 satisfying (2.7). Hence, property (2.10) holds taking K ≥ 4r G 3r . 

Now take integers n ≥ m > n0 and write n − m = kK + r, with k ∈ N and
0 ≤ r < K. By (2.9) and (2.10), we obtain

1
A (n, m) = A (m + kK + r, m) ≤ A (m + r, m)
2k
G
≤ ≤ 2 G e−(n−m) log 2/K .
2k
Hence, property (2.2) holds taking D = 2 G and λ = log 2/K. Finally, repeating
arguments in the proof of Theorem 2.1, one can show that property (2.2) also holds
when n = n0 . 

2.2 Evolution Families

In this section we consider a nonautonomous dynamics with continuous time and

we obtain corresponding results to those in Section 2.1.
We continue to denote by B(X) the set of all bounded linear operators acting on
a Banach space X. Let I ⊂ R be an interval. A family T (t, τ ), for t, τ ∈ I with
t ≥ τ , of linear operators in B(X) is called an evolution family (on I) if:
1. T (t, t) = Id and

T (t, s)T (s, τ ) = T (t, τ )

for t, s, τ ∈ I with t ≥ s ≥ τ ;
2. given t, τ ∈ I and x ∈ X, the maps T (·, τ )x and T (t, ·)x are continuous,
respectively, on I ∩ [τ, +∞) and I ∩ (−∞, τ ].
2.2 Evolution Families 19

Definition 2.3 We say that an evolution family T (t, τ ) on I has an exponential

contraction (on I) if there exist λ, D > 0 such that

T (t, τ ) ≤ De−λ(t−τ ) , for t, τ ∈ I with t ≥ τ. (2.14)

Unlike in the case of discrete time, one can consider different notions of
admissibility for an evolution family.
Definition 2.4 Let C and D be Banach spaces of functions x : I → X (possibly
identified when they are equal almost everywhere). We say that the pair (C, D) is
weakly admissible for an evolution family T (t, τ ) on I if for each y ∈ C there
exists a unique x ∈ D such that
 t
x(t) = T (t, τ )x(τ ) + T (t, s)y(s) ds, for t, τ ∈ I with t ≥ τ. (2.15)
τ

Sometimes we need a variant of the notion of weak admissibility. The reason for
this is discussed in detail after the proof of Theorem 2.5, where one can already refer
to specific examples, but essentially it occurs because it makes no sense to fix the
value of a function at a single point (or on a set of measure zero) when the functions
are identified when they are equal almost everywhere.
Now we introduce a notion of admissibility that corresponds to consider solutions
in the classical sense (as opposed to consider weak solutions as in Definition 2.4).
Let A : I → B(X) be a continuous function on an interval I ⊂ R and let T (t, τ ) be
the evolution family associated with the linear differential equation

x  = A(t)x. (2.16)

Definition 2.5 Let C and D be Banach spaces of functions x : I → X with those

in C identified when they are equal almost everywhere. We say that the pair (C, D)
is strongly admissible if for each y ∈ C there exists a unique x ∈ D absolutely
continuous on each compact interval contained in I such that

x  (t) = A(t)x + y(t) (2.17)

for almost every t ∈ I .

These notions of admissibility will be considered in detail in the following
sections.

2.2.1 Weak Admissibility

In this section we consider a first notion of admissibility, namely weak admissibility.

This corresponds to consider solutions in the mild sense.
20 2 Exponential Contractions

Given an interval I ⊂ R, let C = C(I, X) be the set of all continuous functions

x : I → X such that

x ∞ := sup x(t) < +∞.

t∈I

We recall that C is a Banach space when equipped with the norm · ∞ . Given
t0 ∈ I , we denote by Dt0 = Dt0 (I, X) the closed subspace of C formed by all
functions x ∈ C such that x(t0 ) = 0. Moreover, let M = M(I, X) be the set of all
locally (Bochner) integrable functions x : I → X such that
 t+1
x M := sup x(s) ds < +∞,
t∈I t

identified when they are equal almost everywhere. One can easily verify that M is a
Banach space when equipped with the norm · M .
The following result gives a characterization of an exponential contraction in
terms of the notion of weak admissibility.
Theorem 2.3 Take I = [t0 , +∞). An evolution family T (t, τ ) on I has an
exponential contraction on I if and only if the pair (M, Dt0 ) is weakly admissible,
that is, if and only if for each y ∈ M there exists a unique x ∈ Dt0 satisfying (2.15).
Proof Assume that the evolution family T (t, τ ) has an exponential contraction.
Take y ∈ M and extend it to a function y : R → X by letting y(t) = 0 for t < t0 .
Let
 t  t
x(t) = T (t, τ )y(τ ) dτ = T (t, τ )y(τ ) dτ (2.18)
t0 −∞

for t ≥ t0 . It follows from (2.14) that

 t
x(t) ≤ T (t, τ )y(τ ) dτ
−∞
 t
≤ De−λ(t−τ ) y(τ ) dτ
−∞
+∞ 
 t−m
= De−λ(t−τ ) y(τ ) dτ
m=0 t−m−1
+∞
  t−m
−λm
≤ De y(τ ) dτ
m=0 t−m−1

D
≤ y M
1 − e−λ
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9 allles alles 1
12 verschikkelijke verschrikkelijke 1
69 viermalen vier malen 1
84 cadautjes cadeautjes 1
103, 167 [Niet in bron] ” 1
105 zich haar 4
110 L’Exaut L’Exant 1
115 [Niet in bron] van 4
117 ophelderigen ophelderingen 1
131 ontmoett’en ontmoetten 1
156 als al 1
176 toonen teenen 2
191, 254 zett’en zetten 1
199 ge ze 1
208 passe passé 1/0
239 beb heb 1
248 verzett’en verzetten 1
255 medemerking medewerking 1
dwargarbeiders- dwangarbeiders-
255 1
personeel personeel
267 terruggang teruggang 1

Afkortingen
Overzicht van gebruikte afkortingen.

Afkorting Uitgeschreven
B. O. W. Burgerlijke Openbare Werken
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