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Emergence, Complexity and Computation ECC

Nikolay Kuznetsov
Volker Reitmann

Attractor Dimension
Estimates
for Dynamical
Systems: Theory
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Dedicated to Gennady Leonov
Emergence, Complexity and Computation

Volume 38

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Attractor Dimension
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Dedicated to Gennady Leonov

123
Nikolay Kuznetsov Volker Reitmann
Department of Applied Cybernetics Department of Applied Cybernetics
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St. Petersburg, Russia St. Petersburg, Russia
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Preface

In this book, we continue the investigations of global attractors and invariant sets
for dynamical systems by means of Lyapunov functions and adapted metrics. The
effectiveness of such approaches for the approximation and localization of attractors
for different classes of dynamical systems was already shown in Abramovich et al.
[1, 2] and in [30, 32]. In particular, Lyapunov functions and adapted metrics were
constructed for global stability problems and the existence of homoclinic orbits in
the Lorenz system using frequency-domain methods and reduction principles.
In 1980, investigators of differential equations and general dynamical systems
were greatly impressed by a paper about upper estimates of the Hausdorff dimen-
sion of flow and map invariant sets written by Douady and Oesterlé [12]. The
Douady–Oesterlé approach, the significance of which can be compared with that of
Liouville’s theorem, has been developed and modificated in many papers for var-
ious types of dimension characteristics of attractors generated by dynamical sys-
tems: Ledrappier [22], Constantin et al. [11], Smith [42], Eden et al. [13], Chen [9],
Hunt [17], Boichenko and Leonov [4].
After Ya. B. Pesin had worked out [39] a general scheme of introducing metric
dimension characteristics, this method made it possible to define from a unique
point of view various types of outer measures and dimensions, such as the
Hausdorff dimension, the fractal dimension, the information dimension as well as
the topological and metric entropies. The Pesin scheme naturally led to the char-
acterization of a class of Carathéodory measures [25, 27], which are adapted to the
specific character of attractors of autonomous differential equations, i.e. to the fact
that these attractors consist wholly of trajectories. The neighborhoods of pieces
of these trajectories form a covering of the attractor. It serves as the base for
introducing the special outer Carathéodory measures. A number of effective tools
for estimating these measures were developed within the theory of differential
equations in Euclidean space and well-known results by Borg [8], Hartman and
Olech [15], when analysing the orbital stability of solutions. The most important
property, used in dimension theory, is the fact that the Carathéodory measures are
majorants for the associated Hausdorff measures.

v
vi Preface

Early in the nineties of the last century, G. A. Leonov and his co-workers
observed deep inner connections between the mentioned direct method of
Lyapunov in stability theory and estimation technics for outer measures in
dimension theory. Introducing the Lyapunov functions and varying Riemannian
metrices (Leonov [24], Noack and Reitmann [38]) into upper estimates of dimen-
sion characteristics of invariant sets made it possible to generalize and improve
[4, 6, 28, 29] some well-known results of R. A. Smith, P. Constantin, C. Foias,
A. Eden, and R. Temam.
On the other hand, Pugh’s closing lemma [40] and theorems about the spanning
of two-dimensional surfaces on a given closed curve gave the opportunity to apply
some theorems about the contraction of Hausdorff measures to global stability
investigations of time-continuous dynamical systems (Smith [42], Leonov [24], Li
and Muldowney [35]). In this book, the effectiveness of introducing the Lyapunov
functions into dimensional characteristics is shown for a number of concrete
dynamical systems: the Hénon map, the systems of Lorenz and Rössler as well as
their generalizations for various physical systems and models (rotation of a rigid
body in a resisting medium, convection of liquid in a rotating ellipsoid, interaction
between waves in plasma, etc.).
Additionally to the derivation of upper Hausdorff dimension estimates, exact
formulas for the Lyapunov dimensions for Lorenz type systems were shown
[26, 28]. Many of these results were presented in [7].
In the following decade, the modified Douady–Oesterlé approach was also used
for new classes of attractors [33].
It was also possible to get different versions of the Douady–Oesterlé theorem for
piecewise continuous maps and differential equations [37, 41]. For cocycles gen-
erated by non-autonomous systems, the upper Hausdorff dimension estimates are
derived in [31, 34]. Some of these results are included in the present book which
provides a systematic presentation of research activities in the dimension theory of
dynamical systems in finite-dimensional Euclidean spaces and manifolds. Let us
briefly sketch the contents of the book.
In Part I, we consider the basic facts from attractor theory, exterior products and
dimension theory. Chapter 1 is devoted to the investigation of various types of
global attractors of dynamical systems in general metric spaces (global B-attractors,
minimal global B-attractors and others). The theoretical results are applied to the
generalized Lorenz system and dynamical systems on the flat cylinder. One section
is concerned with the existence proof of a homoclinic orbit in the Lorenz system
(Leonov [23], Hastings and Troy [16], Chen [10]).
In Chap. 2, some facts on singular values of matrices, the exterior calculus for
spaces and matrices and the Lozinskii matrix norm, necessary for estimation
techniques of outer measures, are presented. In addition to this, the Yakubovich–
Kalman frequency theorem and the Kalman–Szegö theorem about the solvability of
certain matrix inequalities are formulated and used for the estimation of singular
values.
Preface vii

Chapter 3 is an introduction to dimension theory. It starts with the definition and

the basic properties of the topological dimension in the spirit of Hurewicz and
Wallman [18]. Next, the notions of Hausdorff measure, Hausdorff dimension and
fractal dimension are introduced. After this, the topological entropy of a continuous
map is discussed. The last part of the chapter deals with Pesin’s scheme of intro-
ducing the Carathéodory dimension characteristics.
In Part II, we investigate dimension properties of dynamical systems in
Euclidean spaces. It includes estimates of topological dimension of the Hausdorff
and fractal dimensions for invariant sets of concrete physical systems and estimates
of the Lyapunov dimension.
Chapter 4 is concerned with the investigation of dimension properties of almost
periodic flows [3]. We thank M. M. Anikushin for helping us to prepare the first
version of Chap. 4.
Chapter 5 begins with the so-called limit theorem about the evolution of
Hausdorff measures under the action of smooth maps in Euclidean spaces. This
theorem gives the opportunity to include into Hausdorff dimension and Hausdorff
measure estimates, certain varying functions which turn over into Lyapunov
functions when the theorem is applied to differential equations. The method of
varying functions is used in estimations of fractal dimension and topological
entropy. Simultaneously, with the introduction of Lyapunov functions in estimates
for the Hausdorff measure, the logarithmic norms were used by Muldowney [36],
for estimating the two-dimensional Riemannian volumes of compact sets shifted
along the orbits of differential equations. One of the main goals of Chap. 5 is to
combine the Lyapunov function and logarithmic norm approaches (Boichenko and
Leonov [5]), in order to solve a number of problems in the qualitative theory of
ordinary differential equations, such as the generalization of the Liouville formula
and the Bendixson criterion.
Chapter 6 is devoted to finite-dimensional dynamical systems in Euclidean space
and its aim is to explain, in a simple but rigorous way, the connection between the
key works in the area: Kaplan and Yorke (the concept of Lyapunov dimension [19]
1979), Douady and Oesterlé (estimation of Hausdorff dimension via the Lyapunov
dimension of maps [12]), Constantin, Eden, Foias, and Temam (estimation of
Hausdorff dimension via the Lyapunov exponents and Lyapunov dimension of
dynamical systems [13]), Leonov (estimation of the Lyapunov dimension via the
direct Lyapunov method [20, 24]), and numerical methods for the computation of
Lyapunov exponents and Lyapunov dimension [21]. We also concentrate in this
chapter on the Kaplan–Yorke formula and the Lyapunov dimension formulas for
the Lorenz and Hénon attractors (Leonov [26]).
In Part III, we consider dimension properties for dynamical systems on mani-
folds. Chapter 7 gives a presentation of the exterior calculus in general linear
spaces. It contains also some results about orbital stability for vector fields on
manifolds.
Chapter 8 is devoted to dimension estimates of invariant sets and attractors of
dynamical systems on Riemannian manifolds. The Douady–Oesterlé theorem for
the upper Hausdorff dimension estimates for invariant sets of smooth dynamical
viii Preface

systems on Riemannian manifolds is proved. Chapter 8 contains also an important

result on the estimation of the fractal dimension of an invariant set on an arbitrary
finite-dimensional smooth manifold by the upper Lyapunov dimension, which goes
back to Hunt [17], Gelfert [14]. Then we discuss the construction of the special
Carathéodory measures for the estimation of Hausdorff measures connected with
flow invariant sets on Riemannian manifolds.
In Chap. 9, we derive dimension and entropy estimates for invariant sets and
global B-attractors of cocycles. A version of the Douady–Oesterlé theorem (Leonov
et al. [31]) is proved for local cocycles in a Euclidean space and for cocycles on
Riemannian manifolds. As examples, we consider cocycles, generated by the
Rössler system with variable coefficients. We also introduce time-discrete cocycles
on fibered spaces and define the topological entropy of such cocycles. We thank
A. O. Romanov for helping us to prepare this chapter.
In Chap. 10, we derive some versions of the Douady–Oesterlé theorem for
systems with singularities. In the first part of this chapter, we consider a special
class of non-injective maps, for which we introduce a factor describing the “degree
of non-injectivity” (Boichenko et al. [6]). This factor can be included in the
dimension estimates of Chap. 8 in order to weaken the condition to the singular
value function. In the second part of Chap. 10, we derive the upper Hausdorff
dimension estimates for invariant sets of a class of not necessarily invertible and
piecewise smooth maps on manifolds with controllable preimages of the
non-differentiability sets in terms of the singular values of the derivative of the
smoothly extended map (Reitmann and Schnabel [41], Neunhäuserer [37]) These
estimates generalize some Douady–Oesterlé type results for differentiable maps in a
Euclidean space, derived in Chaps. 5 and 8.
In the last section of Chap. 10, we discuss some classes of functionals which are
useful for the estimation of topological and metric dimensions.

St. Petersburg, Russia Nikolay Kuznetsov

Volker Reitmann

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1. Abramovich, S., Koryakin, Yu., Leonov, G., Reitmann, V.: Frequency-domain conditions for
oscillations in discrete systems. I., Oscillations in the sense of Yakubovich in discrete sys-
tems. Wiss. Zeitschr. Techn. Univ. Dresden. 25(5/6), 1153–1163 (1977) (German)
2. Abramovich, S., Koryakin, Yu., Leonov, G., Reitmann, V.: Frequency-domain conditions for
oscillations in discrete systems. II., Oscillations in discrete phase systems. Wiss. Zeitschr.
Techn. Univ. Dresden. 26(1), 115–122 (1977) (German)
3. Anikushin, M.M.: Dimension theory approach to the complexity of almost periodic trajec-
tories. Intern. J. Evol. Equ. 10(3–4), 215–232 (2017)
4. Boichenko, V.A., Leonov, G.A.: Lyapunov’s direct method in the estimation of the Hausdorff
dimension of attractors. Acta Appl. Math. 26, 1–60 (1992)
Preface ix

5. Boichenko, V.A., Leonov, G.A.: Lyapunov functions, Lozinskii norms, and the Hausdorff
measure in the qualitative theory of differential equations. Amer. Math. Soc. Transl. 193(2),
1–26 (1999)
6. Boichenko, V.A., Leonov, G.A., Franz, A., Reitmann,V.: Hausdorff and fractal dimension
estimates of invariant sets of non-injective maps. Zeitschrift für Analysis und ihre
Anwendungen (ZAA). 17(1), 207–223 (1998)
7. Boichenko, V.A., Leonov, G.A., Reitmann, V.: Dimension Theory for Ordinary Differential
Equations. Teubner, Stuttgart (2005)
8. Borg, G.: A condition for existence of orbitally stable solutions of dynamical systems. Kungl.
Tekn. Högsk. Handl. Stockholm. 153, 3–12 (1960)
9. Chen, Zhi-Min.: A note on Kaplan-Yorke-type estimates on the fractal dimension of chaotic
attractors. Chaos, Solitons & Fractals 3, 575–582 (1993)
10. Chen, X.: Lorenz equations, part I: existence and nonexistence of homoclinic orbits.
SIAM J. Math. Anal. 27(4), 1057–1069 (1996)
11. Constantin, P., Foias, C., Temam, R.: Attractors representing turbulent flows. Amer. Math.
Soc. Memoirs., Providence, Rhode Island. 53(314), (1985)
12. Douady, A., Oesterlé, J.: Dimension de Hausdorff des attracteurs. C. R. Acad. Sci. Paris, Ser.
A. 290, 1135–1138 (1980)
13. Eden, A., Foias, C., Temam, R.: Local and global Lyapunov exponents. J. Dynam. Diff. Equ.
3, 133–177 (1991) [Preprint No. 8804, The Institute for Applied Mathematics and Scientific
Computing, Indiana University, 1988]
14. Gelfert, K.: Maximum local Lyapunov dimension bounds the box dimension. Direct proof for
invariant sets on Riemannian manifolds. Zeitschrift für Analysis und ihre Anwendungen
(ZAA). 22(3), 553–568 (2003)
15. Hartman, P., Olech, C.: On global asymptotic stability of solutions of ordinary differential
equations. Trans. Amer. Math. Soc. 104, 154–178 (1962)
16. Hastings, S.P., Troy, W.C.: A shooting approach to chaos in the Lorenz equations. J. Diff.
Equ. 127(1), 41–53 (1996)
17. Hunt, B.: Maximum local Lyapunov dimension bounds the box dimension of chaotic
attractors. Nonlinearity. 9, 845–852 (1996)
18. Hurewicz, W., Wallman, H.: Dimension Theory. Princeton Univ. Press, Princeton (1948)
19. Kaplan, J.L., Yorke, J.A.: Chaotic behavior of multidimensional difference equations. In:
Functional Differential Equations and Approximations of Fixed Points, 204–227, Springer,
Berlin (1979)
20. Kuznetsov, N.V.: The Lyapunov dimension and its estimation via the Leonov method.
Physics Letters A, 380(25–26), 2142–2149 (2016)
21. Kuznetsov, N.V., Leonov, G.A., Mokaev, T.N., Prasad, A., Shrimali, M.D.: Finite-time
Lyapunov dimension and hidden attractor of the Rabinovich system. Nonlinear Dyn. 92 (2),
267–285 (2018)
22. Ledrappier, F.: Some relations between dimension and Lyapunov exponents. Commun. Math.
Phys. 81, 229–238 (1981)
23. Leonov, G.A.: On the estimation of the bifurcation parameter values of the Lorenz system.
Uspekhi Mat. Nauk. 43(3), 189–200 (1988) (Russian); English transl. Russian Math. Surveys.
43(3), 216–217 (1988)
24. Leonov, G.A.: Estimation of the Hausdorff dimension of attractors of dynamical systems.
Diff. Urav. 27(5), 767–771 (1991) (Russian); English transl. Diff. Equations, 27, 520–524
(1991)
25. Leonov, G.A.: Construction of a special outer Carathéodory measure for the estimation of the
Hausdorff dimension of attractors. Vestn. S. Peterburg Gos. Univ. 1(22), 24–31 (1995)
(Russian); English transl. Vestn. St. Petersburg Univ. Math. Ser. 1, 28(4), 24–30 (1995)
26. Leonov, G.A.: Lyapunov dimensions formulas for Hénon and Lorenz attractors. Alg. & Anal.
13, 155–170 (2001) (Russian); English transl. St. Petersburg Math. J. 13(3), 453–464 (2002)
x Preface

27. Leonov, G.A., Gelfert, K., Reitmann, V.: Hausdorff dimension estimates by use of a tubular
Carathéodory structure and their application to stability theory. Nonlinear Dyn. Syst. Theory,
1(2), 169–192 (2001)
28. Leonov, G.A., Lyashko, S.: Eden’s hypothesis for a Lorenz system. Vestn. S. Peterburg Gos.
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Feedback Systems. Teubner-Texte zur Mathematik, Bd. 132, B. G. Teubner Stuttgart- Leipzig
(1992)
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hidden attractors in a Lorenz-like system describing convective fluid motion. Eur. Phys.
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Acknowledgements

While still working on this book, our coauthor Prof. G. A. Leonov, corresponding
member of the Russian Academy of Science, died in 2018. This work is dedicated
to his memory, with our deepest and most sincere admiration, gratitude, and love.
He was an excellent mathematician with a sharp view on problems and a wonderful
colleague and friend. He will stay forever in our mind.
The preparation of this book was carried out in 2017–2019 at the St. Petersburg
State University, at the Institute for Problems in Mechanical Engineering of the
Russian Academy of Science, and at the University of Jyväskylä within the
framework of the Russian Science Foundation projects 14-21-00041 and
19-41-02002.
One of the authors (V.R.) was supported in 2017–2018 by the Johann Gottfried
Herder Programme of the German Academic Exchange Service (DAAD).
The authors of the book are greatly indebted to Margitta Reitmann for her
accurate typing of the manuscript in LATEX.

St. Petersburg, Russia Nikolay Kuznetsov

February 2020 Volker Reitmann

xi
Contents

Part I Basic Elements of Attractor and Dimension Theories

1 Attractors and Lyapunov Functions . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1 Dynamical Systems, Limit Sets and Attractors . . . . . . . . . . . . . 3
1.1.1 Dynamical Systems in Metric Spaces . . . . . . . . . . . . . 3
1.1.2 Minimal Global Attractors . . . . . . . . . . . . . . . . . . . . . 10
1.2 Dissipativity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.2.1 Dissipativity in the Sense of Levinson . . . . . . . . . . . . . 15
1.2.2 Dissipativity and Completeness of The Lorenz
System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
1.2.3 Lyapunov-Type Results for Dissipativity . . . . . . . . . . . 20
1.3 Existence of a Homoclinic Orbit in the Lorenz System . . . . . . . 25
1.3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
1.3.2 Estimates for the Shape of Global Attractors . . . . . . . . 25
1.3.3 The Existence of Homoclinic Orbits . . . . . . . . . . . . . . 28
1.4 The Generalized Lorenz System . . . . . . . . . . . . . . . . . . . . . . . 33
1.4.1 Definition of the System . . . . . . . . . . . . . . . . . . . . . . . 33
1.4.2 Equilibrium States . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
1.4.3 Global Asymptotic Stability . . . . . . . . . . . . . . . . . . . . 35
1.4.4 Dissipativity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
2 Singular Values, Exterior Calculus and Logarithmic Norms . . . . . 41
2.1 Singular Values and Covering of Ellipsoids . . . . . . . . . . . . . . . 41
2.1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
2.1.2 Definition of Singular Values . . . . . . . . . . . . . . . . . . . 43
2.1.3 Lemmas on Covering of Ellipsoids . . . . . . . . . . . . . . . 45

xiii
xiv Contents

2.2 Singular Value Inequalities . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

2.2.1 The Fischer-Courant Theorem . . . . . . . . . . . . . . . . . . . 47
2.2.2 The Binet–Cauchy Theorem . . . . . . . . . . . . . . . . . . . . 48
2.2.3 The Inequalities of Horn, Weyl and Fan . . . . . . . . . . . 50
2.3 Compound Matrices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
2.3.1 Multiplicative Compound Matrices . . . . . . . . . . . . . . . 52
2.3.2 Additive Compound Matrices . . . . . . . . . . . . . . . . . . . 56
2.3.3 Applications to Stability Theory . . . . . . . . . . . . . . . . . 58
2.4 Logarithmic Matrix Norms . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
2.4.1 Lozinskii’s Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 60
2.4.2 Generalization of the Liouville Equation . . . . . . . . . . . 66
2.4.3 Applications to Orbital Stability . . . . . . . . . . . . . . . . . 69
2.5 The Yakubovich-Kalman Frequency Theorem . . . . . . . . . . . . . 73
2.5.1 The Frequency Theorem for ODE’s . . . . . . . . . . . . . . . 73
2.5.2 The Frequency Theorem for Discrete-Time
Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
2.6 Frequency-Domain Estimation of Singular Values . . . . . . . . . . 77
2.6.1 Linear Differential Equations . . . . . . . . . . . . . . . . . . . . 77
2.6.2 Linear Difference Equations . . . . . . . . . . . . . . . . . . . . 81
2.7 Convergence in Systems with Several Equilibrium States . . . . . 84
2.7.1 General Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
2.7.2 Convergence in the Lorenz System . . . . . . . . . . . . . . . 88
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
3 Introduction to Dimension Theory . . . . . . . . . . . . . . . . . . . . . . . . . 95
3.1 Topological Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
3.1.1 The Inductive Topological Dimension . . . . . . . . . . . . . 96
3.1.2 The Covering Dimension . . . . . . . . . . . . . . . . . . . . . . 101
3.2 Hausdorff and Fractal Dimensions . . . . . . . . . . . . . . . . . . . . . . 105
3.2.1 The Hausdorff Measure and the Hausdorff
Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
3.2.2 Fractal Dimension and Lower Box Dimension . . . . . . . 114
3.2.3 Self-similar Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
3.2.4 Dimension of Cartesian Products . . . . . . . . . . . . . . . . . 122
3.3 Topological Entropy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
3.3.1 The Bowen-Dinaburg Definition . . . . . . . . . . . . . . . . . 125
3.3.2 The Characterization by Open Covers . . . . . . . . . . . . . 128
3.3.3 Some Properties of the Topological Entropy . . . . . . . . 131
3.4 Dimension-Like Characteristics . . . . . . . . . . . . . . . . . . . . . . . . 136
3.4.1 Carathéodory Measure, Dimension and Capacity . . . . . 136
3.4.2 Properties of the Carathéodory Dimension
and Carathéodory Capacity . . . . . . . . . . . . . . . . . . . . . 139
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
Contents xv

Part II Dimension Estimates for Almost Periodic Flows and

Dynamical Systems in Euclidean Spaces
4 Dimensional Aspects of Almost Periodic Dynamics . . . . . . . . . . . . . 149
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
4.2 Topological Dimension of Compact Groups . . . . . . . . . . . . . . . 150
4.3 Frequency Module and Cartwright’s Theorem on Almost
Periodic Flows . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
4.4 Minimal Sets in Euclidean Spaces . . . . . . . . . . . . . . . . . . . . . . 157
4.5 Almost Periodic Solutions of Almost Periodic ODEs . . . . . . . . 158
4.6 Frequency Spectrum of Almost Periodic Solutions
for DDEs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166
4.7 Fractal Dimensions of Almost Periodic Trajectories
and The Liouville Phenomenon . . . . . . . . . . . . . . . . . . . . . . . . 171
4.8 Fractal Dimensions of Forced Almost Periodic Regimes
in Chua’s Circuit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
5 Dimension and Entropy Estimates for Dynamical Systems . . . . . . . 191
5.1 Upper Estimates for the Hausdorff Dimension of Negatively
Invariant Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
5.1.1 The Limit Theorem for Hausdorff Measures . . . . . . . . . 191
5.1.2 Corollaries of the Limit Theorem for Hausdorff
Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196
5.1.3 Application of the Limit Theorem to the Hénon
Map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201
5.2 The Application of the Limit Theorem to ODE’s . . . . . . . . . . . 206
5.2.1 An Auxiliary Result . . . . . . . . . . . . . . . . . . . . . . . . . . 206
5.2.2 Estimates of the Hausdorff Measure and of Hausdorff
Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
5.2.3 The Generalized Bendixson Criterion . . . . . . . . . . . . . 212
5.2.4 On the Finiteness of the Number of Periodic
Solutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
5.2.5 Convergence Theorems . . . . . . . . . . . . . . . . . . . . . . . . 214
5.3 Convergence in Third-Order Nonlinear Systems Arising
from Physical Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
5.3.1 The Generalized Lorenz System . . . . . . . . . . . . . . . . . 215
5.3.2 Euler’s Equations Describing the Rotation
of a Rigid Body in a Resisting Medium . . . . . . . . . . . 220
5.3.3 A Nonlinear System Arising from Fluid Convection
in a Rotating Ellipsoid . . . . . . . . . . . . . . . . . . . . . . . . 221
5.3.4 A System Describing the Interaction of Three Waves
in Plasma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
xvi Contents

5.4 Estimates of Fractal Dimension . . . . . . . . . . . . . . . . . . . . . . . . 225

5.4.1 Maps with a Constant Jacobian . . . . . . . . . . . . . . . . . . 225
5.4.2 Autonomous Differential Equations Which
are Conservative on the Invariant Set . . . . . . . . . . . . . 229
5.5 Fractal Dimension Estimates for Invariant Sets
and Attractors of Concrete Systems . . . . . . . . . . . . . . . . . . . . . 230
5.5.1 The Rössler System . . . . . . . . . . . . . . . . . . . . . . . . . . 230
5.5.2 Lorenz Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232
5.5.3 Equations of the Third Order . . . . . . . . . . . . . . . . . . . 239
5.5.4 Equations Describing the Interaction Between
Waves in Plasma . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
5.6 Estimates of the Topological Entropy . . . . . . . . . . . . . . . . . . . . 247
5.6.1 Ito’s Generalized Entropy Estimate for Maps . . . . . . . . 247
5.6.2 Application to Differential Equations . . . . . . . . . . . . . . 252
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254
6 Lyapunov Dimension for Dynamical Systems in Euclidean
Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257
6.1 Singular Value Function and Invariant Sets of Maps
of Dynamical Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257
6.2 Lyapunov Dimension of Maps . . . . . . . . . . . . . . . . . . . . . . . . . 263
6.3 Lyapunov Dimensions of a Dynamical System . . . . . . . . . . . . . 265
6.3.1 Lyapunov Exponents: Various Definitions . . . . . . . . . . 269
6.3.2 Kaplan-Yorke Formula of the Lyapunov
Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272
6.4 Analytical Estimates of the Lyapunov Dimension
and its Invariance with Respect to Diffeomorphisms . . . . . . . . . 279
6.5 Analytical Formulas of Exact Lyapunov Dimension
for Well-Known Dynamical Systems . . . . . . . . . . . . . . . . . . . . 286
6.5.1 Hénon Map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286
6.5.2 Lorenz System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
6.5.3 Glukhovsky-Dolzhansky System . . . . . . . . . . . . . . . . . 291
6.5.4 Yang and Tigan Systems . . . . . . . . . . . . . . . . . . . . . . 292
6.5.5 Shimizu-Morioka System . . . . . . . . . . . . . . . . . . . . . . 293
6.6 Attractors of Dynamical Systems . . . . . . . . . . . . . . . . . . . . . . . 294
6.6.1 Computation of Attractors and Lyapunov
Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294
6.7 Computation of the Finite-Time Lyapunov Exponents
and Dimension in MATLAB . . . . . . . . . . . . . . . . . . . . . . . . . . 298
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
Contents xvii

Part III Dimension Estimates on Riemannian Manifolds

7 Basic Concepts for Dimension Estimation on Manifolds . . . . . . . . . 309
7.1 Exterior Calculus in Linear Spaces, Singular Values
of an Operator and Covering Lemmas . . . . . . . . . . . . . . . . . . . 309
7.1.1 Multiplicative and Additive Compounds
of Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309
7.1.2 Singular Values of an Operator Acting Between
Euclidean Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
7.1.3 Lemmas on Covering of Ellipsoids in an Euclidean
Space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321
7.1.4 Singular Value Inequalities for Operators . . . . . . . . . . . 323
7.2 Orbital Stability for Flows on Manifolds . . . . . . . . . . . . . . . . . 325
7.2.1 The Andronov-Vitt Theorem . . . . . . . . . . . . . . . . . . . . 325
7.2.2 Various Types of Variational Equations . . . . . . . . . . . . 326
7.2.3 Asymptotic Orbital Stability Conditions . . . . . . . . . . . . 329
7.2.4 Characteristic Exponents . . . . . . . . . . . . . . . . . . . . . . . 343
7.2.5 Orbital Stability Conditions in Terms of Exponents . . . 347
7.2.6 Estimating the Singular Values and Orbital Stability . . . 348
7.2.7 Frequency-Domain Conditions for Orbital Stability
in Feedback Control Equations on the Cylinder . . . . . . 354
7.2.8 Dynamical Systems with a Local Contraction
Property . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 358
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
8 Dimension Estimates on Manifolds . . . . . . . . . . . . . . . . . . . . . . . . . 365
8.1 Hausdorff Dimension Estimates for Invariant Sets
of Vector Fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365
8.1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365
8.1.2 Hausdorff Dimension Bounds for Invariant
Sets of Maps on Manifolds . . . . . . . . . . . . . . . . . . . . . 366
8.1.3 Time-Dependent Vector Fields on Manifolds . . . . . . . . 371
8.1.4 Convergence for Autonomous Vector Fields . . . . . . . . 376
8.2 The Lyapunov Dimension as Upper Bound of the Fractal
Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
8.2.1 Statement of the Results . . . . . . . . . . . . . . . . . . . . . . . 379
8.2.2 Proof of Theorem 8.5 . . . . . . . . . . . . . . . . . . . . . . . . . 380
8.2.3 Global Lyapunov Exponents and Upper Lyapunov
Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
8.2.4 Application to the Lorenz System . . . . . . . . . . . . . . . . 388
8.3 Hausdorff Dimension Estimates by Use of a Tubular
Carathéodory Structure and their Application to Stability
Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390
xviii Contents

8.3.1 The System in Normal Variation . . . . . . . . . . . . . . . . . 390

8.3.2 Tubular Carathéodory Structure . . . . . . . . . . . . . . . . . . 394
8.3.3 Dimension Estimates for Sets Which are Negatively
Invariant for a Flow . . . . . . . . . . . . . . . . . . . . . . . . . . 396
8.3.4 Flow Invariant Sets with an Equivariant Tangent
Bundle Splitting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403
8.3.5 Generalizations of the Theorems of Hartman-Olech
and Borg . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 408
9 Dimension and Entropy Estimates for Global Attractors
of Cocycles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
9.1 Basic Facts from Cocycle Theory in Non-fibered Spaces . . . . . . 411
9.1.1 Definition of a Cocycle . . . . . . . . . . . . . . . . . . . . . . . . 411
9.1.2 Invariant Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413
9.1.3 Global B-Attractors of Cocycles . . . . . . . . . . . . . . . . . 413
9.1.4 Extension System Over the Bebutov Flow
on a Hull . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 416
9.2 Local Cocycles Over the Base Flow in Non-fibered Spaces . . . . 418
9.2.1 Definition of a Local Cocycle . . . . . . . . . . . . . . . . . . . 418
9.2.2 Upper Bounds of the Hausdorff Dimension
for Local Cocycles . . . . . . . . . . . . . . . . . . . . . . . . . . . 419
9.2.3 Upper Estimates for the Hausdorff Dimension
of Local Cocycles Generated by Differential
Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
9.2.4 Upper Estimates for the Hausdorff Dimension
of a Negatively Invariant Set of the Non-autonomous
Rössler System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425
9.3 Dimension Estimates for Cocycles on Manifolds (Non-fibered
Case) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
9.3.1 The Douady-Oesterlé Theorem for Cocycles
on a Finite Dimensional Riemannian Manifold . . . . . . . 429
9.3.2 Upper Bounds for the Haussdorff Dimension of
Negatively Invariant Sets of Discrete-Time
Cocycles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 435
9.3.3 Frequency Conditions for Dimension Estimates
for Discrete Cocycles . . . . . . . . . . . . . . . . . . . . . . . . . 438
9.3.4 Upper Bound for Hausdorff Dimension of Invariant
Sets and B-attractors of Cocycles Generated by
Ordinary Differential Equations on Manifolds . . . . . . . 440
9.3.5 Upper Bounds for the Hausdorff Dimension of
Attractors of Cocycles Generated by Differential
Equations on the Cylinder . . . . . . . . . . . . . . . . . . . . . . 444
Contents xix

9.4 Discrete-Time Cocycles on Fibered Spaces . . . . . . . . . . . . . . . . 450

9.4.1 Definition of Cocycles on Fibered Spaces . . . . . . . . . . 450
9.4.2 Global Pullback Attractors . . . . . . . . . . . . . . . . . . . . . 451
9.4.3 The Topological Entropy of Fibered Cocycles . . . . . . . 451
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
10 Dimension Estimates for Dynamical Systems with Some
Degree of Non-injectivity and Nonsmoothness . . . . . . . . . . . . . . . . . 457
10.1 Dimension Estimates for Non-injective Smooth Maps . . . . . . . . 457
10.1.1 Hausdorff Dimension Estimates . . . . . . . . . . . . . . . . . . 457
10.1.2 Fractal Dimension Estimates . . . . . . . . . . . . . . . . . . . . 465
10.2 Dimension Estimates for Piecewise C1 -Maps . . . . . . . . . . . . . . 471
10.2.1 Decomposition of Invariant Sets of Piecewise
Smooth Maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 471
10.2.2 A Class of Piecewise C1 -Maps . . . . . . . . . . . . . . . . . . 472
10.2.3 Douady-Oesterlé-Type Estimates . . . . . . . . . . . . . . . . . 476
10.2.4 Consideration of the Degree of Non-injectivity . . . . . . 479
10.2.5 Introduction of Long Time Behavior Information . . . . . 481
10.2.6 Estimation of the Hausdorff Dimension for Invariant
Sets of Piecewise Smooth Vector Fields . . . . . . . . . . . 484
10.3 Dimension Estimates for Maps with Special Singularity Sets . . . 491
10.3.1 Definitions and Results . . . . . . . . . . . . . . . . . . . . . . . . 492
10.3.2 Proof of the Main Result . . . . . . . . . . . . . . . . . . . . . . 493
10.3.3 Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 495
10.4 Lower Dimension Estimates . . . . . . . . . . . . . . . . . . . . . . . . . . 499
10.4.1 Frequency-Domain Conditions for Lower
Topological Dimension Bounds of Global
B-Attractors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499
10.4.2 Lower Estimates of the Hausdorff Dimension
of Global B-Attractors . . . . . . . . . . . . . . . . . . . . . . . . 503
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 506

Appendix A: Basic Facts from Manifold Theory . . . . . . . . . . . . . . . . . . . 509

Appendix B: Miscellaneous Facts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 527
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539
 Part I
Basic Elements of Attractor and Dimension
Theories
Chapter 1
Attractors and Lyapunov Functions

Abstract The main tool in estimating dimensions of invariant sets and entropies
of dynamical systems developed in this book is based on Lyapunov functions. In
this chapter we introduce the basic concept of global attractors. The existence of a
global attractor for a dynamical system follows from the dissipativity of the system.
In order to show the last property we use Lyapunov functions. In this chapter we
also consider some applications of Lyapunov functions to stability problems of the
Lorenz system. A central result is the existence of homoclinic orbits in the Lorenz
system for certain parameters.

1.1 Dynamical Systems, Limit Sets and Attractors

1.1.1 Dynamical Systems in Metric Spaces

Suppose that (M, ρ) is a complete metric space. Let T be one of the sets R, R+ , Z or
Z+ . A map ϕ (·) (·) : T × M → M resp. a triple ({ϕ t }t∈T , M, ρ) is called a dynamical
system on (M, ρ) if the following conditions are satisfied ([2, 11]):
(1) ϕ 0 (u) = u , ∀ u ∈ M ;
(2) ϕ t+s (u) = ϕ t (ϕ s (u)) , ∀ t, s ∈ T, ∀ u ∈ M ;
(3) If T ∈ {R, R+ } the map (t, u) ∈ T × M → ϕ t (u) is continuous;
if T ∈ {Z, Z+ } the map u ∈ M → ϕ t (u) is continuous on M for any t ∈ T.
If the metric space (M, ρ) is fixed we denote the dynamical system shortly by
{ϕ t }t∈T . The sets T and M are called time sets and phase space, respectively. The
dynamical system ({ϕ t }t∈T , M, ρ) forms a group, if T ∈ {R, Z}, and a semi-group if
T ∈ {R+ , Z+ }. If T ∈ {R, R+ } we say that the dynamical system is with continuous
time, if T ∈ {Z, Z+ } we say that the system is with discrete time. A dynamical system
({ϕ t }t∈T , M, ρ) is called flow if T = R, semi-flow if T = R+ , and cascade if T = Z.

© The Editor(s) (if applicable) and The Author(s), under exclusive license 3
to Springer Nature Switzerland AG 2021
N. Kuznetsov and V. Reitmann, Attractor Dimension Estimates for Dynamical
Systems: Theory and Computation, Emergence, Complexity and Computation 38,
https://doi.org/10.1007/978-3-030-50987-3_1
4 1 Attractors and Lyapunov Functions

Example 1.1 Consider the autonomous differential equation

ϕ̇ = f (ϕ) , (1.1)

where f : Rn → Rn is assumed to be locally Lipschitz. The Euclidean norm in Rn

is denoted by | · |. Suppose also that any maximal solution ϕ(·, u) of (1.1) starting
in u at t = 0 exists for any t ∈ R. Let now ϕ t (·) ≡ ϕ(t, ·) : Rn → Rn be the time
t-map of (1.1). Clearly, that by the solution properties of (1.1) (uniqueness theo-
rem and theorem of continuous dependence on initial condition, [12, 34]) the triple
({ϕ t }t∈R , Rn , | · |) defines a dynamical system with the additive group T = R, i.e. a
flow.

Example 1.2 Assume that

ϕ̇ = f (t, ϕ) (1.2)

is a non-autonomous differential equation with f : R × Rn → Rn . Let us suppose

that f is continuously differentiable, T -periodic in the first argument and that any
solution exists on R. Denote the solution of (1.2) starting in u at t = t0 by ϕ(·, t0 , u).
Again by the uniqueness theorem and the theorem of continuous dependence of
solutions on initial conditions for ODE’s it follows that the family of maps ϕ m (·) ≡
ϕ(m T, 0, ·), m ∈ Z, defines a dynamical system ({ϕ m }m∈Z , Rn , | · |) which is a cas-
cade. Let us demonstrate this. Clearly, ϕ 0 (u) = ϕ(0, 0, u) = u, ∀ u ∈ Rn . In order to
show the property (2) of a dynamical system we consider arbitrary m, k ∈ Z. Define
the two functions c1 (t) := ϕ(t, 0, ϕ(mT, 0, u)) and c2 (t) := ϕ(t + mT, 0, u). From
the T -periodicity of f in the first variable it follows that c2 is also a solution of (1.2)
on R, i.e.
ċ2 (t) = f (t + mT, ϕ(t + mT, 0, u)) = f (t, c2 (t)).

Since c2 (0) = ϕ(mT, 0, u), it follows by the uniqueness theorems that

c1 (t) = c2 (t), ∀ t ∈ R.
If we put t = kT , the last property results in c1 (kT ) ≡ ϕ k (ϕ m (u)) = c2 (kT ) ≡
ϕ k+m
(u).

Example 1.3 Suppose that

ϕ:M→M (1.3)

is a continuous invertible map on the complete metric space (M, ρ). Let us define
the family of maps
⎧
⎪
⎪ ϕ ◦ ϕ ◦ ··· ◦ ϕ for m = 1, 2, . . . ,
⎪
⎪  
⎪
⎨ m-times
ϕ m := idM for m = 0 , (1.4)
⎪
⎪ −1 −1 −1
⎪
⎪ ϕ ◦ ϕ ◦ · · · ◦ ϕ for m = −1, −2, . . . .
⎩
⎪ 
-m-times
1.1 Dynamical Systems, Limit Sets and Attractors 5

Using well-known properties of the composition of continuous invertible maps, i.e.

of homeomorphisms, it is easy to show that the properties (1)–(3) of a dynamical
system with the additive group T = Z are satisfied. This means that (1.4) defines a
cascade.
Example 1.4 Let (M, g) be a Riemannian n-dimensional C k -manifold
(k ≥ 2), F : M → T M a C 2 -vector field (see Sect. A.6, Appendix A). Consider
the corresponding differential equation

ϕ̇ = F(ϕ) . (1.5)

Assume that any maximal integral curve ϕ(·, u) of (1.5) satisfying ϕ(0, u) = u exists
on R. Define ϕ (·) (u) := ϕ(·, u) and denote with ρ the metric generated by the metric
tensor g. Then ({ϕ t }t∈R , M, ρ) is a flow defined by the vector field (1.5).
Instead of (1.5) we can consider a C 1 -diffeomorphism

ϕ:M→M. (1.6)

It is clear that (1.6) generates the dynamical system ({ϕ m }m∈Z , M, ρ) .

Example 1.5 Suppose that Ω2+ := ω = (ω 0 , ω1 , . . .) | ωi ∈ {0, 1} is the set of all
one-sided infinite sequences of the symbols 0 and 1. The metric on Ω2+ is given by

∞
ρ(ω, ω ) := 2−i | ωi − ωi | ,
i=0

where ω = (ω 0 , ω1 , . . .) and ω = (ω0 , ω1 , . . .) are from Ω2+ . It is easy to see that

ρ is really a metric and (Ω2+ , ρ) is a complete metric space.
Define the (left) shift map ϑ : Ω2+ → Ω2+ by

ϑ(ω) = (ω1 , ω2 , . . .) for ω = (ω 0 , ω1 , . . .) ∈ Ω2+ .

The map ϑ is continuous since for arbitrary ω, ω ∈ Ω2+ we have

∞ ∞
−i 1
ρ(ϑ(ω), ϑ(ω )) = 2 | ωi+1 − ωi+1 | = 2 | ωi+1 − ωi+1 |
i=0 i=0
2i+1
∞
1
≤2 | ωi+1 − ωi+1 | = 2 ρ(ω, ω ) .
i=−1
2i+1


It follows that {ϑ m }m∈Z+ , Ω2+ , ρ is a dynamical system with discrete time.
Let us define now some properties of a dynamical system ({ϕ t }t∈T , M, ρ). For an
arbitrary fixed u ∈ M, the map t → ϕ t (u), t ∈ T defines a motion of the
dynamical
system starting from u at time t = 0. For any u ∈ M the set γ (u) := t∈T ϕ t (u)
6 1 Attractors and Lyapunov Functions

is the orbit through u. If T ∈ {R, Z} we consider also the positive and the negative
semi-orbit through u defined by
 
γ + (u) := ϕ t (u) resp. γ − (u) := ϕ t (u) .
t∈T∩R+ t∈T∩R−

An orbit γ (u) is called stationary, critical or an equilibrium if γ (u) = {u}. The orbit
γ (u) of a dynamical system is called T -periodic with period T if T > 0 is the smallest
positive number in T such that ϕ t (u) = ϕ t+T (u), ∀ t ∈ T. A set Z ⊂ M is said to be
positively invariant if ϕ t (Z) ⊂ Z, ∀ t ∈ T ∩ R+ , invariant if ϕ t (Z) = Z, ∀ t ∈ T,
and negatively invariant, if ϕ t (Z) ⊃ Z, ∀ t ∈ T ∩ R+ . The positively invariant set
Z of the dynamical system ({ϕ t }t∈T , M, ρ) is said to be stable if in any neighborhood
U of Z there exists a neighborhood U such that ϕ t (U ) ⊂ U, ∀t ∈ T+ . Z is called
asymptotically stable if it is stable and ϕ t (u) → Z as t → +∞ for each u ∈ U .
The set Z is said to be globally asymptotically stable if Z is stable and ϕ t (u) → Z
as t → +∞ for each u ∈ M. The set Z is called uniformly asymptotically stable if
it is stable and limt→+∞ {dist(ϕ t (u), Z) | u ∈ U } = 0.
For any u ∈ M the ω-limit set of u under {ϕ t }t∈T is the set

ω(u) := {υ ∈ M | ∃{tn }n∈N , tn ∈ T , tn → +∞ , ϕ tn (u) → υ for n → +∞} .

For a subset Z ⊂ M we define its ω-limit set ω(Z) under {ϕ t }t∈T as the set of the
limits of all converging sequences of the form ϕ tn (u n ), where u n ∈ Z, tn ∈ T, and
tn → +∞.

Example 1.6 Consider a class of modified horseshoe maps ϕ which are defined
on an open neighborhood U = (−δ, 1 + δ) × (−δ, 1 + δ) ⊂ R2 of the unit square
C = [0, 1] × [0, 1], where δ > 0 is a sufficiently small number. The map is defined
for points (x, y) ∈ C in such a way that it first contracts C horizontally with a factor
α < 21 and stretches it vertically with a function f , then it is folded along a horizontal
line such that the vertical edge of the resulting rectangle is greater than 2, and finally
it is formed into an horseshoe (see Fig. 1.1) in such a way that the map can be con-
tinuously extended
 to U and is continuously differentiable on an open neighborhood
 of K = ∞
U ϕ i
(C) , where ϕ i (·) for negative numbers i means the preimage
i=−∞
−i
under the map ϕ .
For example we take α = 13 and let the function f stretch C with factor β1 = 3,
if y ≤ 5165
=: h, with a factor β2 between 3 and 5, if 51 65
< y < 45 and with factor 5,
if y ≥ 45 , the resulting rectangle is folded on the image of the line y = 51 65
and then
it is formed to an horseshoe in such a way, that the map satisfies
⎧ 
⎪
⎪
1
x, 3y − 13 1
if 0 ≤ y ≤ 14 ,
⎨ 3

39
ϕ(x, y) = 1 − 13 x, 148 − 3y if 19583
≤ y ≤ 148 ,
⎪
⎪
65

195
⎩ 1 − 1 x, 5y − 4 if 4 ≤ y ≤ 1 .
3 5
1.1 Dynamical Systems, Limit Sets and Attractors 7

Fig. 1.1 Modified horseshoe map

∞
The set K = i=−∞ ϕ i (C) is invariant under the map. Therefore if we take K  = K,
then ϕ (K) ⊂ K
j  is satisfied for any j = 1, 2, . . . . The set K can be constructed step
by step starting with K0 = C. At every step i > 1 we  get Ki := Ki−1 ∩ ϕ(Ki−1 ) ∩
−1 ∞
ϕ (K ) and in the limit the invariant set K as K = i=0
i−1
Ki . The set Ki consists
of 6 rectangles where the lengths of the edges are horizontally 31i and vertically 31i
i

and 51i , respectively (see Fig. 1.1).

It is easy to verify that the following proposition is true ([4, 7, 38]).
Proposition 1.1 For any subset Z ⊂ M the ω-limit set under {ϕ t }t∈T is given by
 
ω(Z) = ϕ t (Z) .
s≥0 t≥s
s∈T t∈T

Here for a set Z ⊂ M we denote by Z its closure in the topology of the metric
space (M, ρ).
If T ∈ {R, Z} we also consider the α-limit set of a point u ∈ M under {ϕ t }t∈T
defined by

α(u) := {υ ∈ M | ∃{tn }n∈N , tn ∈ T, tn → −∞, ϕ tn (u) → υ for n → +∞}

and the α-limit set ω(Z) of a set Z ⊂ M under {ϕ t }t∈T given as the set of the limits of
all converging sequences of the form ϕ tn (u n ), where pn ∈ Z, tn ∈ T, and tn → −∞.
A set Zmin ⊂ M is called minimal for ({ϕ t }t∈T , M, ρ) if it is closed, invariant, and
does not have any proper subset with the same properties. The following proposition
is taken from [33, 36].
Proposition 1.2 Suppose that Z ⊂ M is non-empty, compact and invariant for
({ϕ t }t∈T , M, ρ). Then Z contains a minimal set Zmin .
Proof (For the case that T is a semi-group). If Z has no proper subset, which is
closed and invariant, then Z is minimal, and the proposition is proved.
Another random document with
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 M. Gaubion pointed out that the charge was contained in a report
of some significance, and was not one of the common paragraphs
which no wise man thinks it worth while to be vexed at. Its
appearance in such a mode indicated a hostility in persons
interested in the silk trade, which would probably end in sending a
peaceably-disposed man home again.
"I have been trying to make myself an English woman ever since I
came," observed Mademoiselle, "but I will cease the endeavour; it is
better to be French."
"Nay, France may blush for similar follies. How long was it before
we had men wise enough to discover, that if France received
cottons, it must be in return for something that France had produced!
When some few perceived this, what cries issued from our work-
shops! What certainty did some feel that the total disorganization of
society would ensue! How others rehearsed the dirge which must
presently be sung over the tomb of French industry! And who knows
but that a Manchester man might then have been torn in pieces by
the prejudiced operatives of France?"
"But did you not say just now that the English are peculiarly
prejudiced on this matter?"
"They have been made so by their national circumstances. Their
manufacturers and merchants have had a greater voice in the
government than is allowed in many other countries; and this voice
has for ever cried out, 'Protect us!'--'Encourage us!' Then of course
followed the cry of other classes, 'Be impartial!'--'Protect us also.'"
"Ah! the difficulty is to stop. Each new protection raises clamour for
more; and some are left dissatisfied after all is done that can be
done. It becomes a scramble which class can cost the country most;
how each article can be made dearest, and therefore how the people
may be soonest impoverished at home, and prevented from selling
abroad on equal terms with their neighbours. So it would be if
protection were universal; but surely it cannot be so in England, or
any where else?"
"Not altogether; but her rulers have found themselves perplexed
by her land-owners and tillers being jealous of the manufacturers;
and the ship-owners, of the agricultural class; and the labourers,
most justly, of all these. There will be no peace till the just plea is
admitted, that the interest of those who consume is the paramount
interest; and that the rule of commerce at home and abroad,
therefore, is that all shall be left free to buy where they can buy
cheapest. The observance of this rule would soon quench the desire
for protection, as the protected would have no customers but those
from whose pockets their bounties are yielded. Yet this rule is the
last which the ministries of England have till now regarded."
"Strange! since the consumers are so much more considerable a
body than any class of the protected."
"Nothing is strange when there is a want of money. Does not a
minor make over his property to sharpers for his debts before he has
enjoyed it? Do not the besieged in a city revel in food and wine while
starvation impends? If so, why should not a government, involved in
ruinous wars and other extravagance, stake the commerce of the
country for an immediate supply of money? When new taxes must
be imposed, submission has been bought by new protections. The
example once set, other restrictions have followed, till those who
possess nothing but the fruits of their own labour bear the whole
burden. They pay to the landlords, that bread may be dear; they pay
to the India House, that tea may be rendered a blameable luxury to
them, and that what is woven in eastern looms may be out of their
reach; they paid for the wars which occasioned the restraints which
they now pay to keep up."
"But why do they thus pay? And is not all this a reason why they
should welcome you, instead of desiring a continuance of their
bondage?"
"Slaves often hug their chains as ornaments, and the ignorant
mistake custom for right. My enemies are not aware how they have
suffered from the long custom of restriction; and it was my folly to
expect a welcome from the poor, who have ever been taught, that
what a foreigner gains an Englishman must lose; or from masters
who have been cradled in fear, not by the generous nurse,--
competition, but by the jealous demon,--monopoly."
"Truly," exclaimed Mademoiselle, "the lark is likely to be hooted
and clawed if she ventures among the owls. You are right, brother;
there is nothing for it but fleeing away."
 "These owls being even now transforming into day-birds, and the
lark having once been an owl herself, both should have patience with
each other," replied her brother, laughing. "But though the hooting
may be borne for awhile, the tearing to pieces is hardly to be awaited
in patience. I have been growing more unpopular every day, my
dear; I see it in many faces, whenever I look beyond my own people.
They like me, I believe; but they will soon be threatened out of
working for me. They will also seize on this imputation, that I make
use of them as a screen for practices which take work out of the
hands of their brethren. After they have learned--only through my
zeal overcoming their reluctance--to rival us in the niceties of our art,
they will drive us away as if we had done them an injury."
"And yet you will not let me reproach them."
"If you must blame, blame the selfish monarchs, the temporising
ministers, the barbarous aristocracies, the vain-glorious generations
of the people that have passed away,--rather than the descendants
on whom they have entailed the consequences of their mutual
follies. The spirit of barbarism lingers about its mortal remains.
Barbaric wars are hushed, the dead having buried their dead;--
Barbaric shows are fading in splendour, and are as much mocked at
as admired;--Barbaric usurpations are being resisted and supplanted
day by day; but the infatuation which upheld them so long is not
altogether dispelled; and if we rashly suppose that it is, we deserve
to suffer for coming within its reach. I was wrong to settle among a
people who invited us to a contraband trade, were driven by their
own vicissitudes to offer us, with much reluctance, a lawful one; and
now, through the hardness of their own terms, suspect us wrongfully,
and make a great crime of that which they themselves have taught
us."
"They seem to forget that we are on equal terms of obligation; that
we French take as much of the produce of their industry as they take
of ours."
"I shall urge this on our jealous neighbours, and will go as an
equal to a brother manufacturer for counsel," observed M. Gaubion.
"Culver knows little of me, but he holds many of my principles, and to
him will I now go. If he thinks this charge of importance, I will deal
with it as he advises; if not, I will strive to think so too."
 Whether the charge was of importance was decided before Mr.
Culver could be appealed to. As M. Gaubion pursued his way
through the streets, hand-bills met his eye at every turn, in which
was contained the newspaper paragraph that had troubled him,
accompanied by unfriendly comments, and hints that the Treasury
was well aware of the nature of the Frenchman's establishment, and
of the means by which it was supported. He saw knots of people
gathered round the windows where this hand-bill was stuck up, and
showing it to one another in the alleys. He would fain have got
possession of one to put into Culver's hands, but did not choose to
run the risk of being discovered by making the request in a foreign
accent. He could see nobody who appeared to be employed in
distributing them, or who had two copies. At length he passed a little
shop, where a boy was leaning over the counter, apparently spelling
out the contents of the bill, while another copy hung in the window.
M. Gaubion marched straight in, took the bill from the window,
pointing to the one on the counter, and walked out again, the boy
crying after him--
"Stop, sir--stop; we can't spare it. You can get one by asking at
the----"
The rest was lost upon the escaped stranger, who walked on
unobserved, and meeting no one whom he knew till he arrived
opposite Cooper's door.
At Cooper's door was a knife-grinder, grinding Mrs. Cooper's
scissors as she stood by, and making sparks at such a rate as to
delight master Ichabod, who stood, now holding by his mother's
gown and winking, and now clapping his hands in delight. As soon
as Mrs. Cooper perceived M. Gaubion at some distance on the other
side of the street, she pulled her gown from the child's grasp, ran in,
and instantly returned, followed presently by her husband, who
pretended to be talking to the knife-grinder, but was evidently
watching the approach of the gentleman. When M. Gaubion was
near enough to be saluted, Cooper offered him a shy, uncertain bow,
but seemed very ready to speak when the gentleman crossed over
to ask him if he knew how long this hand-bill had been in circulation.
"We were just wondering, sir, my wife and I, whether you had seen
it. I hope you don't mind it, sir; that is, I hope you have no reason to
mind it."
"Why, Cooper, you do not believe this bill?"
Cooper believed that many people did not think what mischief they
were about in smuggling. The Spitalfields men had reason enough to
know this; but it had been so long the custom to drive a profitable
contraband trade, without being thought the worse of, that if some
people did it still, it was no great wonder; though he must think it a
sin and a shame.
"But such is not my trade, Cooper; I have not smuggled a single
piece."
"Well, it is very lucky if you can say so, sir, for there is nothing the
masters and men are so jealous of now. If you had profited by a
contraband trade, you would not have been the only person in the
present company that must take to something less profitable."
The gipsy knife-grinder looked up saucily, and jabbered a few
words of what might, by an acute discerner, be detected for French;--
such French as might be picked up by means of half an hour's talk
with a Guernsey person, four times a year.--On being asked how he
relished the change from making moonlight trips and fighting
midnight battles to tinkering and grinding among the abodes of men;
he answered that if his profits were smaller than they had been, they
were better than he had expected when he chose this
neighbourhood for the scene of his operations. A few years before,
all the knives and scissors were at the pawnbroker's; it did not signify
whether pans and kettles were battered or whole, as there was
nothing to put into them; and there was little employment in chair-
mending, as the people sat on the floor, or ate their crust standing.
Now that there was smoke in almost every chimney, and that little
men,--nodding to Ichabod,--were allowed to pull rushen seats to
pieces, a gipsy's occupation was a better one than he had once
known it.
"'Twould be a thousand pities you should have to change your
trade, sir," said Cooper; "and if, as you say, there is no truth in what
is said about the smuggling.... But are you sure you are right in
coming abroad this evening, sir? I don't like saying disagreeable
things; but that is better than leaving you, without warning, to suffer
them. From what I see and hear,--and my wife too,--I should be
afraid you might be roughly spoken to. 'Tis the best kindness to all
parties to keep out of sight when any are disposed to mischief.--Do I
know how long this has been brewing? Why, no. There has been
whispering, to my knowledge, for weeks; and it is four days since my
child called us to see the boys acting the Frenchman under the
windows; and the grown-up folks said some rough words then. But I,
for one, never saw the bill till this day."
Cooper now spoke a few words to his wife, which seemed to
dismay her much. She pulled his arm, twitched his coat, and looked
miserable while he proceeded to say,
"If I might take the liberty of so offering, sir, I would propose to step
with you, wherever you are going. I would say 'behind' you, but that it
would not answer the purpose so well. I am pretty well known as a
sound English master's man, and----"
"Prejudice on every side!" exclaimed the Frenchman, in his heart.
"This man evidently believes the charge, or part of it, and he offers
me his protection, on the ground that he is known not to like me and
my doings!"
Cooper's courtesy was coolly declined, and M. Gaubion walked on
to ascertain elsewhere the origin of the calumny.
Mr. Culver recommended his keeping quiet, and, if there was no
foundation for the report, it would soon blow over. "If there was no
foundation!" The same doubt appeared on every hand.
"Just tell me," asked Gaubion, "why I should drive a contraband
trade, when I might legally import, if I chose?"
"The duty is high enough still, sir, to induce smuggling in certain
favourable cases. I was an advocate for the trade being thrown
open; and being so, I am now for such a duty as shall put us on a
par with your countrymen. I think a duty of twelve or fifteen per cent.
would do this, and leave no temptation to cheat us out of our market.
I should have advised a higher duty some time ago; but smuggling is
made easier now by so much silk being brought in legally; and I think
we should be better protected by the lower duty than the higher."
"I see," observed the Frenchman, "that in this case, as in others,
some of those who are the very parties supposed to be protected are
the most willing to resign the protection. It is declared to be a difficult
thing to get a protection repealed; but the difficulty does not always
rest with the protected party."
"That entirely depends on the state of his affairs," replied Mr.
Culver. "If the protection leaves him his business in a flourishing
state,--which seldom happens for many years together,--or even
permits it to remain in a state which barely justifies its being carried
on, he may dread something worse happening by the removal of
protecting duties; but if, for a length of time, his trade declines, and
the faster the more government meddles with it, he will quickly learn,
as I have learned, to preach from the text, 'Protect the people's
pockets, and we shall have as fair a chance as we want.' The
difficulty, sir, arises from the number of interests mixed up in an
arbitrary system like that of protections. While people and money are
wasted in spying, and threatening, and punishing, when they ought
to be producing, there will be many an outcry against a change
which would deprive them of their office, though it would set them
free for one much more profitable to the people. Then again, if
persons have been bribed to pay a new tax by the promise of
protection, it is difficult to oblige them to go on paying the tax, and
give up the bribe, unless they have a mind so to do. They talk of
injustice; and with some reason. The long and short of the matter is,
that once having got into an unnatural system, it costs a world of
pains and trouble to get out of it again."
"The only way is to go back to some plain clear principle, and keep
it in view while loosening the entanglements which have been
twisted about it."
"When do you find governments willing to do that?" asked Mr.
Culver.
"In this case it would be very easy, there being one, and but one
sure test of the advantageousness of trade in any article of
commerce;--the profit that it yields. If a merchant finds it more
profitable to sell his goods abroad than at home, he will send them
abroad, without the help of the government. If the contrary, it is
wasting just so much money to tempt him to deal abroad. If less
profit is made by manufacturing silks in England than by getting them
from abroad in return for cottons, whatever is spent in supporting the
silk manufacture is so much pure loss."
 "But you do not think that this is actually the case with our English
silk manufacture?"
"I do not; as I prove by becoming an English silk manufacturer
myself. For this very reason, I see that there is no need of the
protection of government. The interference of government is either
hurtful or useless. Foreign goods either are or are not cheaper than
home-made goods. If they are cheaper, it is an injury to the buyer to
oblige him to purchase at home. If they are not, there is no occasion
to oblige him to purchase at home. He will do so by choice."
"Aye; but the buyer is the last person considered in these
arrangements. It is hard to discover why, if the merchant can supply
more cheaply than the manufacturer, the customer should be taxed
to uphold the manufacturer. I have no wish that my customers should
be so taxed; for I know that instead of upholding me, they will leave
me and buy elsewhere. If they and I are left free to observe the true
rule of interest,--to buy in the cheapest market we can discover, and
sell in the dearest, we shall find our interests agree, be fast friends,
and make commerce the advantageous thing it was designed to be."
"That is, an indirect source of wealth to all. How can rulers help
seeing that as nothing is produced by commerce, as it is an indirect
source of wealth,--a mere exchange of equivalents of a lower value
which become equivalents of a higher value by the exchange,--the
more direct the exchange, the more valuable it is to both parties? If a
portion of the value is to be paid to a third party for deranging the
terms of the bargain, the briskness of exchanges will be impaired in
proportion to the diminution of their profit."
"And while my customers are prevented from buying in the
cheapest market, I am, by the same interference, hindered,--aye
prohibited, selling in the dearest. My customers complain that my
silks are higher priced than those of your country; but give me the
means of a fair competition with your countrymen, and I will engage
to get a higher price,--(that is, more commodities in exchange,)--in
some parts of the world than any duchess in London will give me.
The price would be lower to the buyer, but higher to me."
"I suppose the excuse for these protections in the beginning was
that the infant manufacture might not be hindered by the vast growth
of the same manufacture abroad. Your rulers expected that your art
would be sooner perfected if fostered."
"And has it proved so? Were we not, three years ago, far inferior
to you in the goodness of our fabrics? And if we are now overtaking
you, is it not owing to our protection being partly removed? Was not
any immediate improvement more than counterbalanced by the
waste of establishing and upholding an artificial system, of diverting
capital from its natural channels, and of feeding, or half feeding the
miserable thousands who were beggared and starving under the
fluctuations which our impolicy had caused?--The businesses which
have been the most carefully protected,--the West India trade,
agriculture, and till lately, the silk trade,--may have been very
profitable for a short period, but they have suffered more from
fluctuations, have caused more national waste, and more misery to
whole classes of people than any that have been less interfered with.
The cotton trade is the one to which we owe the power of sustaining
our unequalled national burdens, subsistence for 1,400,000 of our
population, and incalculable advantages of exchange with countries
in many latitudes; and the cotton manufacture has been left
unprotected from the very beginning."
"Your ribbon weavers of Coventry do not, however, appear
disposed to take care of themselves. How loud are their complaints
of distress!"
"And the distress is real: but it belongs to the old system, and it
would have been not distress only, but annihilation, if the introduction
of the new system had been long delayed. Coventry once believed
herself destined to supply the whole world with ribbons. Then she
made the sad discovery that she must be content with the home
market; and now that this also fails, Coventry complains of the
government, instead of bestirring herself. While our cotton men have
been bright and brisk, depending on their own exertions, Coventry
has been dull and lazy, depending on the prohibitive system. One of
her looms prepares five times less ribbons, with an equal amount of
manual labour, as your improved French loom; and she is
reasonable enough to expect that the world shall buy her ribbons
instead of those of her rivals, if our government can but be brought
to order the world so to do."
 "Her manufacture would plainly have expired outright, if the
government had not set her free to improve."
"To be sure it would; and it is not overgracious in Coventry to take
this act of justice,--tardy though it be,--as an injury. Coventry and old
governments have been in the wrong together. Let the mischief that
results be made a lesson to all by referring it to its true cause; and
then there may be a chance of such an increase of prosperity as
may remove all disposition to recrimination."
"This is exactly what I have long wished to behold in my own
country," observed the Frenchman. "Protection has done little less
mischief there than here; but unhappily this is a case in which
countries are as unwilling to take precedence as court ladies are to
yield it. Each country refuses to be first. All cry, 'We will wait till
others repeal their prohibitive systems;' as if every new channel of
exchange opened were not a good."
"And as if commerce consisted of arbitrary gifts, and not of an
exchange of equivalents," replied Culver. "It may be a vexation and
disadvantage to us, if you take no hardware and cottons from us; but
that is no reason why we should not provide ourselves with your
claret and brandy; as, if you cannot receive our hardware and
cottons, you will take something else. If you will take nothing of ours,
you can sell us nothing of yours, and the injury is as great to you as
to us. But we should punish ourselves unnecessarily, if we refused
your brandies because you refuse our scissors and knives. It is
saying, 'Because we cannot sell cottons, neither will we sell
woollens.' It is being like the cross child who sobs, ‘You won't let me
have custard, so I won't have any dinner at all.’ If governments will
only, as I said before, let the people's purses alone, other
governments must necessarily do the same. If your French
government lets your people buy cottons in the cheapest market,--
that is, here,--our government cannot prevent our getting our claret
in exchange in the cheapest market,--that is, at Bordeaux. A much
more comfortable and profitable method to both parties than doing
without cotton and claret, or paying more for making them at home
than they are worth."
"How is it," M. Gaubion now inquired, "that holding the same
doctrine with myself as to the principle of trade at large, you can yet
be jealous of me because I am a foreigner? I use the word 'jealous'
as not too strong; for surely, Mr. Culver, your reception of me was but
half-amicable."
Mr. Culvers manner immediately cooled as he observed that there
was much room left yet for unfair dealing; much encouragement to
underhand schemes. He kept himself clear of accusing any man,
while matters were in doubt; particularly a gentleman with whom he
had the honour of only a slight acquaintance; but the duty was
undeniably still high enough to tempt to a contraband trade. It was
unquestionable that smuggling was still carried on, and, to however
small an extent, still to the injury of the home manufacturer; and he,
being a home manufacturer, must wish to have the offence brought
home to the right person. No man could desire more earnestly than
he did that such an offence should be precluded by good
management; but, till it was so, all who hoped for his friendship must
clear themselves from the charge of taking his means of subsistence
from under him.
"But how am I to clear myself?" asked M. Gaubion. "This is what I
came to ask of you; and but now you advised me to keep quiet. I am
not to clear myself; but I am not to have your friendship till I have
cleared myself.--I must, I will clear myself, Mr. Culver; and you shall
tell me how. Will an oath do it?"
Mr. Culver drily replied that he required no oath.
"You! no. I would not offer my oath to a private individual who
would not take my word. It must be to some official person. Tell me,
Mr. Culver, will an oath do?"
Mr. Culver believed that oaths were such common things in
commercial and Custom-house affairs that they were not thought
much of.
"True indeed!" exclaimed the Frenchman; "and alas for those who
set up oaths against the plain and acknowledged interests of
nations, classes and individuals! How shall the sin of tempting to
perjury be wiped from their souls? If my oath will not avail, to what
species of proof shall I resort?"
"To none, till there is a distinct charge brought against you, fortified
by particulars. It is your interest to keep quiet."
 "I will not stay to receive this advice of yours a third time," replied
M. Gaubion. "I will go for advice to one who is not jealous of me; and
if such an one I cannot find, I will, stranger as I am, act without
counsel, without aid against my enemies. I may be compelled to
return whence I came, but I will not go till I have justified myself for
my country's sake."
He went out hastily, leaving Mr. Culver in no very pleasant mood,
in the conflict between his liberal principles and his petty personal
jealousies. He hummed a tune as he took up the obnoxious handbill,
whistled as he laid it down again, and ended with frowning because
it was a close evening, and flinging his pen into a corner because he
made a blot on beginning to write.
M. Gaubion found nothing in the streets as he pursued his way
home to make him desire Cooper's escort. They were remarkably
quiet, and he supposed that the weavers had resorted to their
gardens for their evening amusement, or had gone to rest in
preparation for the early toil of the next day. When he was within a
few hundred yards of his own house, however, a hum came upon his
ear, like the murmur of a multitude of voices at a distance. After
listening for a moment, and satisfying himself that the cries which
mingled with the hum must proceed from some unusual cause, he
ran forward, trying to resist the persuasion that all this must have
some connexion with himself, and to decide that a fire had probably
broken out somewhere in his neighbourhood.
It was now dusk. A few lamps showed a flame uncongenial with
the prevailing light, and the lamp-lighter was seen, now flitting from
post to post with his ladder on his shoulder, and now pausing for an
instant, with his foot on the lowest rung, to listen. A lamp-lighter was
a safe person of whom to make inquiry, M. Gaubion thought;--one
who had no interest in commercial squabbles, and would not betray
him on account of his foreign speech. Of him, therefore, the
Frenchman inquired what was going on; but the man could offer only
conjecture. He had not yet lighted the lamps in that direction, and he
did not think he should carry his lantern much further till he knew
whether they had not fire enough and too much already. M. Gaubion
passed on for better satisfaction; and as he threaded his way among
the loiterers, runners, and gazers, who began to thicken as he
proceeded, he longed for an English tongue for one minute, that he
might learn that which every one else seemed now to know. He was
glad to perceive a woman's head emerge from a vault, and gaze
slowly round, as if at a loss to account for the bustle. He took his
stand for a minute within hearing of the inquiry which he hoped she
would make.
"Why, I say there!" cried she presently, "is there a fire?"
The runner applied to shook his head, and passed on.
"You, there! Can you tell me what it is if it's not a fire?"
The boy snapped his fingers at her, and ran on.
"What, are ye all running after you don't know what? What is it, I
say?"
"Come and see, if you can't ask civilly," growled an old man,
making his way on his two sticks as fast as he could.
"What care I what's the matter?" muttered the woman, turning to
descend once more into the vault.
"O, ask this person!" cried M. Gaubion. "He looks as if he could
and would tell us."
"Ask him yourself, can't ye, instead of watching and listening to
what I may say. If you have nothing better to do than that, you might
go and see for yourself, I think."
As he turned to go away, the lady condescended to make one
more effort to satisfy her curiosity.
"It is something about the Frenchman, I don't know exactly what,"
was the reply. "Something about his having smuggled goods while
he pretended to weave them. They are looking for him, to give him
three groans, or a ride, or a ducking, or something of the sort."
"Perhaps they won't have to look very long if they come to the right
place," observed the woman, with an ill-natured laugh towards M.
Gaubion, who did not stay to hear more. When he arrived at the end
of his own street, his first impression was that all was quiet, and the
place empty; but a moment convinced him that the dark mass
extending up and down from his own house, which he had taken for
shadow, was in reality a crowd. The occasional movement of a
woman with a white cap, or an apron over her head, showed him
what the picture really was; and this was the only stir seen for
awhile.
 "O dear! sir, O sir, is it you? Let me advise you to turn back," said
a respectable body who stood at her shop-door, and instantly knew
M. Gaubion. "It is as much as your life is worth, sir, to go near. There!
here comes somebody out of the crowd, I declare! Bless you, sir, do
take care of yourself!" and she stepped backwards, and shut the
door full in the gentleman's face.
"You take good care of yourself, at least," thought the persecuted
man to himself. "You are afraid even to ask me to shelter myself with
you from this storm. But you need not have feared. I must first learn
how my sisters are."
This was done by boldly pushing through a crowded thoroughfare
into the back row, stepping over a paling or two, taking the liberty of
crossing two or three gardens, dispersing a few broods of chickens
by the way, climbing a wall, crawling along the roof of an outhouse,
where the pigeons wondered at the new companion who had come
among them, and finally taking a vigorous leap just by his own back-
door. No hue and cry disturbed these manœvres. There was less
danger of this than there would have been in the dead of night. All
eyes were more securely absent than if they had been closed in
sleep, for they were occupied with what was passing in front of the
house.
"Mercy on us! here they come in from behind!" cried the terrified
kitchen damsels as their master burst open the back-door. "God
save us! it's my master himself, and he'll be murdered. O, sir, why
did not you stay away?"
"Fasten up that door," said the gentleman. "As one got in that way,
more might. Lock and bolt it.--Where is your mistress; and Miss
Adèle, where is she?"
"Upstairs, and towards the front, sir; and do you know,
Mademoiselle has been to the lower windows, behaving as brave as
a general; so miserable about you, sir, all the time. She went down to
tell the people that you were not here; but she has been in such a
terror every moment, lest you should come and thrust yourself into
the midst of it. We have been thinking of all ways to get somebody
out to give you warning; but there was nobody but us women.
Mademoiselle wished to have gone herself; but, besides that we
could not think of such a thing, she was wanted to amuse the people
with observing her, as she says. So she keeps about the front
windows. We think some help will be here soon, to do away with
their idea of waylaying you; but my mistress is in mortal terror,
though she is above showing it to the wretches without."
"Well, tell her that I am safe in the house----"
"And upstairs, sir? You will go upstairs out of sight?"
"Willingly: into the loft, if it will make my sisters any easier. But do
not go as if you had a piece of news to tell her. Let it drop quietly,
that the people may not find out that she is hearing anything
particular."
The maid performed her office with some prudence, and brought
back a message that Mademoiselle dared not come to speak to him
yet; but that if he would go into the back attic, Adèle should visit him
presently with some refreshment.
With deep disgust at being compelled thus to skulk on his own
premises, the gentleman ascended to the top of the house, and
venturing to take a brush from his own chamber as he passed, was
occupied in brushing his coat when his younger sister appeared. She
nearly let fall the tray she was carrying, as she cried,
"They have had hold of you, after all, I do believe!"
"What! because I look a strange figure? No, my dear. This dust is
from the wall I had to get over, and these cobwebs from the top of
the outhouse."
"How horrid! But the first thing I am to tell you is----What are you
listening to? Yes, it is! It is a band. There are soldiers or somebody
coming at last. We thought they never would. We thought nobody
would help us.--Stay! where are you going? Into the front room? O,
you must not! Indeed, indeed you must not go there!" And Adèle
hung her whole weight upon her brother's arm, and screamed.
"Hush! hush! you silly child," he said. "One scream may do more
harm than anything I mean to venture. I will only peep from the
corner of the blind to see what is coming; that is all."
Adèle sobbed with terror as her brother performed the projected
feat.
"Ah, there is some protection coming for us, I suppose, by the
crowd making way. And yet the people do not look frightened.
Nobody moves off. Music! what wretched music! It cannot possibly
belong to a regiment. A drum and two fifes. What is it that they are
playing, Adèle?"
Adèle sobbed out that it was the "Dead March in Saul," she
believed.
"Ah! so it is! Now, my dear, come here! Do look! It will make you
laugh, instead of crying. What is all this about, do you think?"
"What a ridiculous figure!" exclaimed Adèle, laughing. "How can
grown-up men play with such a thing?"
"It is meant for me. Do not you see?"
"But you do not wear powder, nor a long pigtail all down your back:
and you do not stick out your elbows in that ridiculous way."
"Some people think that all Frenchmen do so; and many in this
crowd--most of them, I believe--have never seen me. But you will
perceive presently how they would treat me, if they could get hold of
me."
M. Gaubion being more inclined to observe in deep silence what
was going on than to proffer any further explanations, left his sister
to discover for herself that there was a cord round the neck of the
effigy, that the piece of wood over its head was meant for a gibbet,
and that a double death was to be typified by its fate, preparations
being already in progress for a fire in the midst of the crowd.
There was scarcely wood enough collected to broil the effigy
thoroughly, and further contributions were speedily brought in from
all quarters, as soon as the want was made known. Men from the
neighbourhood brought old lumber which their wives had pointed out
as being to be spared. Lads brought pales and faggots, no one knew
whence. The very children seemed to catch the spirit, casting from
their little hands such bits of paper and of shavings as they could
pick up. One poor little fellow, however, was less patriotic than his
companions. He cried bitterly at seeing his wheelbarrow sacrificed,
and pulled his merciless father's coat till a box on the ear struck him
dumb and tearless. It was true the barrow was without a wheel, had
lost a leg, and presented only one shaft; but still it was his barrow,
and had been used to the last for purposes much more congenial to
the child's tastes than roasting a Frenchman.--M. Gaubion internally
blessed this child,--not for an instant supposing that anything but
attachment to his barrow was the cause of his resistance,--but loving
him for being the only one unwilling to feed the insulting fire.
"The very children," thought he, "that have smiled and nodded at
me, when I stepped out of the way of their marbles, and come
confidently to me when their kites have fallen over my wall, are at
this moment taught to mock and hate me, they know not why. That
boy who is pinning the effigy's name--Mounseer Go-be-hung--on its
back, was taught to write by my order. There goes my green wicket!-
-off its hinges, and into the heap! The lads that pulled it down have
often passed through it with my work under their arms, and my
money in their pockets.--O, you fiend of a woman! Do you put
shavings into your infant's hand, that it too may have a share in the
inhospitality of your country? May that infant live to subsist upon my
resources, and to make you thank heaven that the Frenchman came
among you!--Ah! you are all calling for fire. By heavens, I believe you
will get none! Yonder housewife shakes her head; and in the next
house they are raking out the fire. There is not a candle to be seen
through a window, the whole length of the street. Can it be that my
neighbours feel for me? Alas! here is a lighted slip of wood procured
at last! Bravo! good woman! brave woman! to empty your pot of beer
upon it! Who is that they have laid hands on there? The lamp-lighter;
the same that I spoke to. He should not have brought his lantern!
They will take it from him. Not they! dash it goes against the wall;
and what a yell as its fragments fly! I have friends, I see; but they are
of those who have nothing to do with silk-weaving; of those who owe
nothing to me, instead of those whom I have benefited. Well; I will
not blame the people, but the discipline of jealousy in which they
have been brought up.--Here is fire at last! I will not seek to know
who gave it. God forgive him!"
It was enough to madden the most gentle who was interested in
the case, to see how the effigy was treated in the fire;--poked with
pitch-forks, made to dance upon the gibbet, to fold its hands, to turn
its labelled back, and nod to the ladies who were supposed to be
peeping from some corner of the windows. So searching a glance
traversed the whole front of the house from a thousand upturned and
gleaming faces, that M. Gaubion felt it necessary to withdraw, and
forego the rest of the irritating sight. He could not go out of hearing of
his new name,--Mounseer Go-be-hung,--shouted in the intervals
between the groans with which the flaming of the last tatters of the
effigy was hailed; but the presence of his sister made him calm. He
could not agree in the conviction of the housemaid, that he would be
a prodigious favourite with the people in a few days; like a master in
whose family she had once lived, who was burned in effigy one
week, and the next, received amidst the touching of hats wherever
he went, the question about wages between him and his men having
been settled in the interval. M. Gaubion did not stand so good a
chance for popularity;--in the first place, because he was a foreigner;
and in the next, because whatever evils the people were suffering
from the speculation and overtrading of their masters, could not be
remedied so speedily as a dispute about wages could be temporarily
settled. As for dissociating foreigners in the minds of the people,
from their hardships,--that was likely to be as much a work of time as
the removal of the hardships themselves.
Before the crowd had quite ended their grim pastime, the expected
interruption happened. An alarm of the approach of the authorities
spread from a considerable distance, and all dispersed hither and
thither, leaving it to the winds to play with the smouldering embers,
and to the gazers from the surrounding windows to watch the last
little puffs of smoke, as they wandered into the upper air.--A
thundering rap brought down M. Gaubion, grave and stiff, followed
by his sisters, grave and pale, to open the door which the servants
could not be induced to unlock and unbar.
When everything had been ascertained from the inhabitants of the
house which could be told by the young ladies and the trembling,
loquacious servants (at length persuaded to look their protectors in
the face, instead of peeping at them over the banisters) about the
circumstances of the riot, and from their master about its supposed
causes, the magistrate departed, with the persons he brought with
him, except one constable who was left to guard the house, and a
messenger who seemed to come on other business.
He shortly explained his errand. Taking a newspaper from his
pocket, he pointed out that the Secretary of the Treasury, and the
whole Board of Customs, were charged with being cognizant of the
fact of the foreigner's smuggling transactions, and parties to his
scheme for ruining the trade of his neighbours. So grave a charge
rendered it necessary for his Majesty's government to sift the matter
to the bottom, and to ascertain the real state of the case with regard
to the Frenchman, as well as to prove their own innocence. It was
possible that irregularities on the part of a mercantile firm might have
been connived at by some of the inferior servants of the Customs
Board; and though it was far from being the intention of the Board to
impute such irregularities to M. Gaubion, it was desirable that he
should, if possible, put it in their power to acquit him wholly of the
charge.
"Thankfully,--most thankfully will I do so," was his reply. "How shall
we commence the proceeding?"
"By your accompanying me with the least possible delay to the
Treasury, where your accusers will meet you."
"I am ready at this instant. Let us go.--But what kind of proof will
be required? Is it necessary to prepare my proofs, or will a clear
head and an honest heart suffice for my defence?"
The messenger had no orders but to bring the gentleman himself.
It was too late this evening; but he would wait upon him the next
morning, to guide him into the presence of his accusers.
This arrangement completely restored M. Gaubion's spirits. His
sister was somewhat fluttered by the idea of such an examination as
he was to undergo; but assented to its being the thing of all others
now to be desired. Adèle could not be talked out of the idea that her
brother was going to be tried, and that something very dreadful must
happen. She cried herself to sleep, to be awakened by visions of the
effigy dancing in the flames. Her brother lost even the oppressive
sense of being the object of popular hatred in his satisfaction at
being allowed an opportunity of justifying himself, and slept
undisturbed by the ghosts of the events of the bygone day.
 Chapter VI.

INVESTIGATIONS.

While Mademoiselle was striving to employ herself diligently the

next morning, during her brother's absence, three quarters of her
acquaintance came to condole, or to enquire, or to use any pretence
which might enable them to satisfy their curiosity. Of the remaining
fourth part, some had the kindness to stay at home, and content
themselves with a message of enquiry how the family found
themselves after the alarm of the last evening; while others
contented themselves with remaining at home, and not sending,
dropping a hint at the breakfast-table that it would be time enough to
take notice of past events when it should appear whether the
Gaubions could clear themselves, and what would be thought of
them henceforward. Mr. Culver left no orders, before he went out, as
to what his young people were to do; and when the question was
proposed by themselves, there was a difference of opinion. Nurse
believed that foreigners were a bad set altogether, and that it would
be better to have nothing more to do with any of them. Charlotte
thought it would look rather odd to break off intercourse so suddenly;
and Lucy offered to vouch for poor Adèle's having done nothing very
bad about smuggling, however the case might stand with her
brother. The girls agreed that it might be a kindness to take Adèle for
the day; and even nurse was open to the argument that it would be
very pleasant to hear the whole story of the riot from the very best
authority. The debate ended in nurse and Lucy--Lucy as being
Adèle's special companion--setting off to bring her back with them;--
an object less easy of accomplishment than they had imagined.
Being sent for to speak to them in the hall, Adèle appeared, to
urge their proceeding to the dining-room.