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# Lemma 1.1

Polynomial Diffeomorphisms of $`𝐂^2`$.

VIII: Quasi-Expansion

Eric Bedford\* and John Smillie**Research supported in part by the NSF.

§0. Introduction

This paper continues our investigation of the dynamics of polynomial diffeomorphisms of $`𝐂^2`$ carried out in \[BS1-7\]. There are several reasons why the polynomial diffeomorphisms of $`𝐂^2`$ form an interesting family of dynamical systems. Not the least of these is the fact that there are connections with two other areas of dynamics: polynomial maps of $`𝐂`$ and diffeomorphisms of $`𝐑^2`$, which have each received a great deal of attention. The fact that these three areas are linked makes it interesting to understand different dynamical notions in these three contexts. One of the fundamental ideas in dynamical systems is hyperbolicity. One lesson from the study of the dynamics of maps of $`𝐂`$ is that hyperbolicity does not stand alone as a dynamical property, rather, it is one of a sequence of interesting properties which can be defined in terms of recurrence properties of critical points. These one dimensional properties include the critical finiteness property, semi-hyperbolicity, the Collet-Eckmann property and others. In this paper we introduce a dynamical property of polynomial diffeomorphisms that generalizes hyperbolicity in the way that semi-hyperbolicity generalizes hyperbolicity for polynomial maps of $`𝐂`$.

In one dimensional complex dynamics generalizations of hyperbolicity are typically defined in terms of recurrence properties of critical points. Since we are dealing with diffeomorphisms of $`𝐂^2`$ there are no critical points, and we must use other methods. One way to approach expansion properties is via a certain canonical metric on unstable tangent spaces of periodic saddle points that we define. A mapping is said to the quasi-expanding if this metric is uniformly expanded. Although this metric is canonical it need not be equivalent to the Euclidean metric. It follows that quasi-expansion need not correspond to uniform expansion in the usual sense. We will see in fact that quasi-expansion is strictly weaker than uniform expansion. If both $`f`$ and $`f^1`$ are quasi-expanding we say that $`f`$ is quasi-hyperbolic. We will show in this paper that quasi-hyperbolic diffeomorphisms have a great deal of interesting structure. Using this structure we develop criteria for showing that certain quasi-expanding diffeomorphisms are uniformly hyperbolic. This criteria for hyperbolicity (as well as the general structure of quasi-hyperbolic diffeomorphisms) plays and important role in the study of real diffeomorphisms of maximal entropy which is carried out in \[BS\].

We now define the canonical metric on which the definition of quasi-expansion is based. We let $`𝒮`$ denote the set of saddle points of $`f`$, and we let $`J^{}`$ denote the closure of $`𝒮`$. For $`p𝒮`$ we let $`W^u(p)`$ denote the unstable manifold through $`p`$, and we let $`E_p^u`$ denote its tangent space at $`p`$. $`W^u(p)`$ has the structure of a Riemann surface immersed in $`𝐂`$, and there is a conformal uniformization $`\psi _p:𝐂W^u(p)`$ with the property that $`\psi _p(0)=p`$. We may normalize $`\psi _p`$ by the condition that $`\mathrm{max}_{|\zeta |1}G^+\psi _p(\zeta )=1`$. We may define a norm $`^\mathrm{\#}`$ on $`E_p^u`$ by the condition that the differential of $`\psi _p`$ with respect to the euclidean metric on $`𝐂`$ has norm 1 at the origin. A mapping is said to the quasi-expanding if this metric is expanded by a constant $`\kappa >1`$ for all $`p𝒮`$.

In Section 1 we describe several conditions which are equivalent to quasi-expansion. One such condition is that the family of uniformizations $`\{\psi _p:p𝒮\}`$ is a normal family of entire functions. Quasi-expansion is a property of diffeomorphisms. In Section 2 we consider related properties of individual orbits.

Let $`\mathrm{\Psi }`$ denote the set of normal limits of $`\{\psi _p:p𝒮\}`$, and let $`𝒲^u=\{\psi (𝐂):\psi \mathrm{\Psi }\}`$. In Section 3 we consider $`\psi (𝐂)`$ purely as a variety, that is to say without regard to its parametrization. For fixed $`r>0`$ we let $`B(p,r)`$ denote the ball in $`𝐂^2`$ with center $`p`$ and radius $`r`$. We let $`W^u(p,r)`$ denote the connected component of $`B(p,r)W^u(p)`$ containing $`p`$. If $`f`$ is quasi-expanding, then there exists $`r>0`$ such that for all $`p𝒮`$, $`W_r^u(p)`$ is closed in $`B(p,r)`$, and the area of $`W^u(p,r)`$ is bounded above. By Bishop’s Theorem and Lemma 2.6, the correspondence $`𝒮pW^u(p,r)`$ extends to a continuous family of varieties $`J^{}xV^u(x,r)`$ such that $`V^u(p,r)=W^u(p,r)`$ for $`p𝒮`$. We prove a “Bounded Area Distortion Theorem” for proper holomorphic mappings of planar domains into $`𝐂^n`$ (Theorems 3.1–2). This is used to prove Theorem 3.4, which says that the locally bounded area condition, together with a generalized transversality condition, imply quasi-expansion. The bounded area condition also allows us to prove that uniform hyperbolicity implies quasi-expansion.

The metric that we define is canonical, but it is not the only canonical metric that can be defined. In Section 4, we consider various methods of defining metrics on unstable tangent spaces $`E_p^u`$ for $`p𝒮`$. We consider the equivalence of uniform expansion for various choices of metrics. In particular, we define the metrics $`^{(L)}`$ and show that they are uniformly expanded by real mappings with maximal entropy. We show that the uniform expansion of this metric implies quasi-expansion.

For $`xJ^{}`$ we let $`\mathrm{\Psi }_x`$ denote the maps $`\psi \mathrm{\Psi }`$ with $`\psi (0)=x`$. Such a map has the form $`\psi (\zeta )=x+a_j\zeta ^j+O(\zeta ^{j+1})`$, and we define the order of $`\psi `$ to be $`j`$. We use the notation $`\tau (x)`$ for the maximum order for a function $`\psi \mathrm{\Psi }_x`$. We let $`𝒥_j=\{xJ^{}:\tau (x)=j\}`$. For $`x_0𝒥_1`$, every function $`\psi \mathrm{\Psi }`$ has nonvanishing differential at the origin. Thus $`𝒲^u`$ is a lamination in a neighborhood of every point of $`𝒥_1`$. (In Section 6, $`𝒥_1`$ will be shown to be a dense, open subset of $`J^{}`$.) In Section 5, we show that $`\tau `$ describes the local folding of $`𝒲^u`$. In particular, $`𝒲^u`$ is not a lamination in the neighborhood of $`x_1`$ if $`\tau (x_1)>1`$.

In Section 6, we define a metric $`_x^\mathrm{\#}`$ at all points $`xJ^{}`$. This metric (in general not equivalent to the Euclidean metric) is uniformly expanded if $`f`$ is quasi-expanding. It follows (Theorem 6.2) that the largest Lyapunov exponent of a quasi-expanding mapping with respect to any ergodic invariant measure is strictly positive. In particular it follows (Corollary 6.3) that all periodic points in $`J^{}`$ are saddle points and that the Lyapunov exponents of periodic orbits are uniformly bounded away from 0.

Starting with Section 7 our work applies to mappings for which both $`f`$ and $`f^1`$ are quasi-expanding. Regularity of the variety $`V_x`$ at $`x`$ is shown for points $`x𝒥_j`$ such that $`\alpha (x)𝒥_j\mathrm{}`$. We also show that a tangency between $`𝒲^u`$ and $`𝒲^s`$ at a point $`xJ^{}`$ causes $`\tau (\widehat{x})>1`$ for $`\widehat{x}\alpha (x)`$.

In Section 8 we examine uniform hyperbolicity more carefully. In Theorem 8.3 we show that there are geometric properties of $`J^\pm `$ which imply hyperbolicity. In Theorem 8.3, we show that: If $`f,f^1`$ are quasi-expanding, and if $`f`$ is topologically expansive, then $`f`$ is uniformly hyperbolic. Finally, if $`f`$ and $`f^1`$ are both quasi-expanding, we define the singular set $`𝒞`$ to be the points of $`J^{}`$ where $`\mathrm{max}(\tau ^s,\tau ^u)>1`$. Let $`𝒯`$ denote the points of tangency between $`𝒲^s`$ and $`𝒲^u`$. In Theorem 8.10 we show that if $`f`$ is a mapping for which $`𝒞`$ is finite and nonempty, then $`𝒯W^s(𝒞)W^u(𝒞)`$, and $`\overline{𝒯}𝒯=𝒞`$.

One of our motivations in studying quasi-expansion was to develop the 2-dimensional analogue of semi-hyperbolicity. In the Appendix, we present the 1-dimensional analogue of quasi-expansion and show that it is equivalent to semi-hyperbolicity.

§1. Normal Families of Immersions

We say that a holomorphic map $`\varphi :𝐂𝐂^2`$ is an injective immersion (or simply immersion if no confusion will result) if it is injective and an immersion, which means that $`\varphi ^{}(\zeta )0`$ for all $`\zeta 𝐂`$. In this Section we explore the condition that a set of immersions has uniform expansion; we show that, in the language of function theory, this is equivalent to the set of immersions being a normal family of entire functions. Let $`SJ^{}`$ be a dense, $`f`$-invariant set. Suppose that for each $`xS`$ there is a holomorphic immersion $`\psi _x:𝐂𝐂^2`$ such that

$$x\psi _x(𝐂),\mathrm{and}\psi _x(𝐂)J^{}.$$
$`(1.1)`$
In addition, suppose that the family of sets $`\{\psi (𝐂):xS\}`$ is $`f`$-invariant, i.e.

$$f(\psi _x(𝐂))=\psi _{fx}(𝐂)$$
$`(1.2^{})`$
and satisfies: for $`x_1,x_2S`$, either $`\psi _{x_1}(𝐂)`$ and $`\psi _{x_2}(𝐂)`$ are either disjoint, or they coincide, i.e.

$$\psi _{x_1}(𝐂)\psi _{x_2}(𝐂)\mathrm{}\psi _{x_1}(𝐂)=\psi _{x_2}(𝐂).$$
$`(1.2^{\prime \prime })`$
For any holomorphic immersion $`\varphi :𝐂𝐂^2`$ with $`\varphi (𝐂)=\psi _x(𝐂)`$, there are constants $`a,b𝐂`$, $`a0`$ such that $`\varphi (\zeta )=\psi _x(a\zeta +b)`$. We may choose $`a`$ and $`b`$ to obtain the normalization properties:

$$\psi _x(0)=x,\underset{|\zeta |1}{\mathrm{max}}G^+(\psi _x(\zeta ))=1.$$
$`(1.3)`$
The first condition in (1.3) may be achieved by a translation of $`\zeta `$. To see that the second normalization is always possible, we note that since $`xJ^{}`$, $`G^+(x)=G^+(\psi _x(0))=0`$. Thus

$$m_x(r):=\underset{|\zeta |r}{\mathrm{max}}G^+(\psi _x(\zeta ))$$

satisfies $`m_x(0)=0`$ and is a continuous, monotone increasing function which is unbounded above. So after a scaling of $`\zeta `$, we will have $`m_x(1)=1`$. We note that this normalization defines the parametrization of $`\psi _x`$ uniquely, up to replacing $`\zeta `$ by a rotation $`e^{i\theta }\zeta `$, $`\theta 𝐑`$.

By $`\psi _S=\{\psi _x:xS\}`$ we denote the family of these immersions, normalized by (1.3). For $`xS`$ there is a linear mapping $`L_x:𝐂𝐂`$, $`L_x(\zeta )=\lambda _x\zeta `$, and the family $`\{L_x:xS\}`$ has the property

$$f\psi _x=\psi _{fx}L_x.$$
$`(1.4)`$
Changing the parametrization of $`\psi _x`$ or $`\psi _{fx}`$ by a rotation induces a rotation on $`L_x`$. $`f`$ induces a mapping $`\stackrel{~}{f}`$ of $`\psi _S`$ to itself, given by

$$\stackrel{~}{f}(\psi _x)=\psi _{fx}=f\psi _xL_x^1.$$
$`(1.5)`$
For $`n>0`$ set

$$\lambda (x,n)=\lambda _x\lambda _{fx}\mathrm{}\lambda _{f^{n1}x}$$
$`(1.6)`$
for $`n>0`$, then

$$\stackrel{~}{f}^n(\psi _x)(\zeta )=f^n\psi _x(\lambda (x,n)^1\zeta ).$$
$`(1.7)`$
By the identity $`G^+f=dG^+`$ and the transformation formula $`(1.2^{})`$, we have

$$dm_x(r)=m_{fx}(|\lambda _x|r).$$
$`(1.8)`$
Setting $`r=1`$, we have $`d=m_{fx}(|\lambda _x|)>1`$, which gives $`|\lambda _x|>1`$ for all $`xS`$.

For $`xS`$, we let $`E_x^u`$ denote the subspace of the tangent space of $`T_x𝐂^2`$ given by the $`𝐂`$-linear span of $`\psi _x^{}(0)`$. If $`vE_x^u`$, then $`v`$ is a scalar multiple of $`\psi _x^{}(0)`$, so we we define the norm

$$v_x^\mathrm{\#}:=|v/\psi _x^{}(0)|.$$
$`(1.9)`$
It follows that the norm of $`Df_x`$, measured with respect to this family of norms, is given by

$$Df_x|_{E_x^u}^\mathrm{\#}=\underset{vE_x^u\{0\}}{\mathrm{max}}\frac{Df_xv_{fx}^\mathrm{\#}}{v_x^\mathrm{\#}}=|\lambda _x|.$$

Similarly, $`Df_x^n|_{E_x^u}^\mathrm{\#}=|\lambda (x,n)|`$.

For $`1r<\mathrm{}`$ we define

$$M(r)=\underset{xS}{sup}m_x(r).$$

For each $`xS`$, $`m_x(r)`$ is a convex, increasing function of $`\mathrm{log}r`$. It follows that $`M(r)`$ also has these properties on the open interval where it is finite. In particular, $`M(r)`$ is continuous from the right at $`r=1`$, $`M(1)=1`$, and $`M(r)>1`$ if $`r>1`$.

###### Lemma 1.1

$`\psi _S`$ is a normal family if and only if $`M(r)<\mathrm{}`$ for all $`r<\mathrm{}`$.

Proof. We set $`V=\{|x|,|y|R\}`$ and $`V^+=\{|y||x|,|y|R\}`$. It is known that for $`R`$ sufficiently large, $`W^u(x)VV^+`$, $`SV`$, and $`G^+|_{VV^+}`$ is a proper exhaustion. Since $`\psi _x(0)=xS`$, it follows that no sequence in $`\psi _S`$ can diverge to infinity uniformly on compacts. Thus normality is equivalent to local boundedness at every point. For fixed $`\zeta 𝐂`$ the sequence $`\{\psi _{x_j}(\zeta )\}`$ is bounded if and only if $`\{G^+(\psi _{x_j}(\zeta ))\}`$ is bounded. Since $`M(r)`$ is increasing in $`r`$, it follows that if $`M(r)<\mathrm{}`$, then $`\mathrm{\Psi }`$ is a normal family on $`\{|\zeta |<r\}`$.

Conversely, if $`\psi _S`$ is a normal family, then $`\{G^+(\psi (\zeta )):\psi \mathrm{\Psi },|\zeta |r\}`$ is bounded. Thus $`M(r)<\mathrm{}`$.

The following result shows that the normal family condition is equivalent to a number of “uniform conditions”.

###### Theorem 1.2

The following are equivalent:

(1) $`\psi _S`$ is a normal family.

(2) $`M(r_0)<\mathrm{}`$ for some $`1<r_0<\mathrm{}`$.

(3) For all $`r_1<r_2<\mathrm{}`$ there is a constant $`k<\mathrm{}`$ such that $`m_x(r_2)/m_x(r_1)k`$ for all $`xS`$.

(4) There exists $`\kappa >1`$ such that for all $`xS`$, $`|\lambda _x|\kappa `$.

(5) $`\mathrm{There}\mathrm{exist}C,\beta <\mathrm{}\mathrm{such}\mathrm{that}m_x(r)Cr^\beta \mathrm{for}\mathrm{all}xS\mathrm{and}r1.(1.10)`$

Proof. $`(1)(2)`$ is a consequence of Lemma 1.1.

$`(2)(4)`$ If $`M(r_0)<\mathrm{}`$ for some $`1<r_0<\mathrm{}`$ then $`\mathrm{log}M(r)`$ is a convex increasing function of $`\rho =\mathrm{log}r`$ on the interval $`\rho (0,\mathrm{log}r_0)`$. It follows that $`M(r)`$ is continuous at $`r=1`$. Thus $`\kappa :=inf\{t1:M(t)d\}>1`$. Now for any $`xS`$ we have $`m_x(|\lambda _x|)=dm_{fx}(1)=d`$. It follows, then, that $`M(|\lambda _x|)d`$, and so $`|\lambda _x|\kappa >1`$.

$`(4)(5)`$ For $`xS`$, let $`x_j=f^jx`$. Then by the transformation formula (1.8)

$$m_x(\kappa ^p)m_x(|\lambda _{x_0}\lambda _{x_1}\mathrm{}\lambda _{x_{p+1}}|)=d^pm_{x_{p+1}}(1)=d^p.$$

For any $`1r<\mathrm{}`$ we choose $`p`$ such that $`\kappa ^{p1}r<\kappa ^p`$. If we choose $`\beta =\mathrm{log}d/\mathrm{log}\kappa `$, then $`\kappa ^\beta =d`$, and

$$m_x(r)m_x(\kappa ^p)(\kappa ^p)^\beta =\kappa ^\beta r^\beta .$$

Thus (1.10) holds with $`C=\kappa ^\beta `$.

$`(5)(1)`$ Condition (1.10) implies that $`M(r)Cr^\beta `$, and thus $`\psi _S`$ is a normal family by Lemma 1.1.

$`(1)(3)`$ Let $`\stackrel{~}{\psi }_S`$ denote the set of scaled functions $`\stackrel{~}{\psi }(\zeta )=\psi (r_1\zeta )`$ for all $`\psi \psi _S`$. By the equivalence (1)$``$(2) and Lemma 1.1, we have that $`\stackrel{~}{\psi }_S`$ is a normal family if and only if

$$\stackrel{~}{M}(r):=\underset{\stackrel{~}{\psi }\stackrel{~}{\psi }_S}{sup}\frac{\stackrel{~}{m}_x(r)}{\stackrel{~}{m}_x(1)}=\underset{\psi \psi _S}{sup}\frac{m_x(rr_1)}{m_x(r_1)}<\mathrm{}.$$

Finally, it is evident that $`\stackrel{~}{\psi }_S`$ is a normal family if and only if $`\stackrel{~}{\psi }_S`$ is normal. Thus (1) is equivalent to (3).

We say that $`f`$ is quasi-expanding if the equivalent conditions in Theorem 1.2 hold. While these conditions are stated in terms of the family $`\psi _S`$, we will see in §3 that they are independent of the choice of the particular family $`\psi _S`$. We say that $`f`$ is quasi-contracting if $`f^1`$ is quasi-expanding.

###### Proposition 1.3

For $`n1`$, $`f`$ is quasi-expanding if and only if $`f^n`$ is quasi-expanding.

Proof. Let $`\psi _S`$ be a family satisfying (1.1–3) for $`f`$. For $`n1`$, $`J^{}`$ and $`K^+`$ are the same for $`f^n`$. It follows that $`\psi _S`$ also satisfies (1.1–3) for $`f^n`$. If $`f`$ is quasi-expanding, then $`\psi _S`$ is a normal family; thus $`f^n`$, too, is quasi-expanding.

Now suppose that $`\psi _S`$ satisfies (1.1–3) for $`f^n`$. It follows that $`\stackrel{~}{S}:=SfS\mathrm{}f^{n1}S`$ is $`f`$-invariant. Let $`\psi _S^{(j)}`$ denote the set of mappings $`\{f^j\psi L_\lambda :\psi \psi _S\}`$, where $`L_\lambda (\zeta )=\lambda (\psi ,j)\zeta `$ is chosen so that $`f^j\psi L_\lambda `$ satisfies the normalization (1.3). Let $`\stackrel{~}{\psi }_S:=\psi _S^{(0)}\mathrm{}\psi _S^{(n1)}`$, so that $`\stackrel{~}{\psi }_S`$ satisfies (1.1–3) for $`f`$. Define $`M^{(j)}(r)=sup_{\psi \psi _S^{(j)}}sup_{|\zeta |r}G^+\psi (\zeta )`$. If $`f^n`$ is quasi-expanding, then $`\psi _S^{(0)}`$ is a normal family. By Lemma 1.1 this means that $`M^{(0)}(r)<\mathrm{}`$ for $`r<\mathrm{}`$. As in the line following (1.8) we have $`\lambda (\psi ,j)|1`$. It follows that

$$\begin{array}{cc}\hfill M^{(j)}(r)& =\underset{\psi \psi _S^{(j)}}{sup}\underset{|\zeta |r}{sup}G^+\psi (\zeta )\hfill \\ & =\underset{\psi \psi _S^{(0)}}{sup}\underset{|\zeta |r}{sup}dG^+\psi (|\lambda (\psi ,j)|^1\zeta )dM^{(0)}(r).\hfill \end{array}$$

Thus $`M^{(j)}(r)<\mathrm{}`$ for all $`r<\mathrm{}`$. It follows from Lemma 1.1 that each $`\psi _S^j`$ is a normal family. Thus $`\stackrel{~}{\psi }_S`$ is normal, and $`f`$ is quasi-expanding.

###### Proposition 1.4

If $`f`$ is quasi-expanding, then for $`xS`$, $`\psi _x(𝐂)W^u(x)`$, i.e. if $`y_1,y_2\psi _x(𝐂)`$, then $`lim_{n+\mathrm{}}dist(f^ny_1,f^ny_2)=0`$.

Proof. For $`j=1,2`$ there exist $`\zeta _j𝐂`$ such that $`\psi _x(\zeta _j)=y_j`$. By (1.7) $`f^ny_j=f^n\psi _x(\zeta _j)=\psi _{x_n}(\lambda (x,n)^1\zeta _j)`$. Now $`\{\psi _{x_n}:n0\}`$ is a normal family, so the set of derivatives $`\{|D\psi _{x_n}(\zeta )|:|\zeta |1,n0\}`$ is uniformly bounded by $`M<\mathrm{}`$. Thus

$$\begin{array}{cc}\hfill dist(f^ny_1,f^ny_2)=|& \psi _{x_n}(\lambda (x,n)^1\zeta _1)\psi _{x_n}(\lambda (x,n)^1\zeta _2)|\hfill \\ & |\lambda (x,n)|^1M|\zeta _1\zeta _2|,\hfill \end{array}$$

which tends to zero, since $`\lambda (x,n)\mathrm{}`$ by (4) of Theorem 1.2.

We give two examples to show that families $`\psi _S`$ satisfying (1.1–3) exist for any map $`f`$. Let $`p`$ be a saddle point, i.e. a periodic point of saddle type. The stable and unstable manifolds $`W^s(p)`$ and $`W^u(p)`$ through $`p`$ are conformally equivalent to $`𝐂`$. Let $`\varphi :𝐂W^u(p)`$ denote a uniformization of the unstable manifold. It is evident that $`p\varphi (𝐂)=W^u(p)`$, and by the argument of \[BS1, Proposition 5.1\] we have $`W^u(p)J^{}`$.

Example 1. Let $`p`$ and $`q`$ be saddle points, and set $`S=W^s(q)W^u(p)`$. By \[BLS\], $`S`$ is a dense subset of $`J^{}`$. Let $`\varphi `$ denote the uniformization of $`W^u(p)`$ as above. For $`xSW^u(p)`$, we set $`\beta _x:=\varphi ^1(x)`$. Now we may choose $`\alpha _x0`$ such that $`\psi _x(\zeta ):=\varphi (\alpha _x(\zeta +\beta _x))`$ satisfies (1.1–3).

Example 2. Let $`S`$ denote the set of saddle (periodic) points. By \[BLS\], $`S`$ is dense in $`J^{}`$. For $`pS`$ the unstable manifold $`W^u(p)`$ may be normalized to satisfy the conditions (1.1–3) above.

If $`p`$ is periodic of period $`n=n_p`$, then the multiplier $`Df_p^n|_{E_p^u}`$ is given by $`\lambda (p,n)`$. Then we have

$$d^nm_p(r)=m_p(|\lambda (p,n)|r)$$

Thus we conclude that for $`pS`$

$$m_p(r)C_pr^\beta $$
$`(1.11)`$
holds with $`\beta =\mathrm{log}d/(\frac{1}{n}\mathrm{log}|\lambda (p,n)|)`$. This condition (1.11) allows both $`C`$ and $`\beta `$ to vary with $`p`$ and differs from $`(1.10)`$ in this respect.

A variant of (1.10) is

$$\mathrm{There}\mathrm{exist}C,\beta <\mathrm{}\mathrm{such}\mathrm{that}\underset{yS}{inf}m_y(r)\frac{r^\beta }{C}\mathrm{for}\mathrm{all}0<r<1.$$
$`(1.12)`$
###### Proposition 1.5

If $`f`$ is quasi-expanding, then (1.12) holds.

Proof. If $`f`$ is quasi-expanding, then there exists $`\kappa >1`$ such that $`|\lambda _\psi |\kappa `$ for all $`\psi \mathrm{\Psi }`$. Given $`r`$, choose $`n`$ such that $`\kappa ^nr<\kappa ^{n+1}`$. By the normalization condition, $`m_\psi (|\lambda (\psi ,n)|)=d^n`$. Thus by the choice of $`n`$,

$$m_\psi (r)m_\psi (\kappa ^n)m_\psi (|\lambda (\psi ,n)|)=d^nd^{\frac{\mathrm{log}r}{\mathrm{log}\kappa }1}.$$

Thus (1.12) holds with $`C=d`$ and $`\beta =\mathrm{log}d/\mathrm{log}\kappa `$.

###### Corollary 1.6

If $`f`$ is quasi-expanding, there are $`C>0,r_0>0`$, and $`m<\mathrm{}`$ such that $`\mathrm{max}_{B(x,r)}G^+Cr^m`$ for $`xJ^{}`$ and $`0<r<r_0`$.

As an alternative to (1.3) we may consider the normalization

$$\psi _x(0)=x,\underset{|\zeta |1}{\mathrm{max}}G^+\psi _x(\zeta )=t$$
$`(1.13)`$
for fixed $`0<t<\mathrm{}`$. In this case we have a family $`\stackrel{~}{\psi }_S`$, normalized according to (1.13). Further, we have functions $`\stackrel{~}{m}_x(r)`$, $`\stackrel{~}{M}(r)`$, and multipliers $`\stackrel{~}{\lambda }_x`$. We may repeat the proof of Theorem 1.2 and obtain the equivalence between conditions (1), (2), (3), (5), and the condition (4): There exists $`\stackrel{~}{\kappa }>1`$ such that $`|\stackrel{~}{\lambda }_x|>1`$ for all $`xS`$.

Proposition 1.7. The family $`\stackrel{~}{\psi }_S`$, normalized according to (1.13) is normal if and only if $`\psi _S`$ is normal.

Proof. By the preceding remarks, it suffices to show that if $`\stackrel{~}{\psi }_S`$ is normal, then $`\psi _S`$ is normal. If $`t1`$, then $`\stackrel{~}{M}(r)M(r)`$, and so $`\stackrel{~}{\psi }_S`$ is normal by Lemma 1.1. Now suppose $`t>1`$. For each $`xS`$ there is a number $`\tau =\tau _x𝐂`$, $`|\tau |>1`$ such that $`\stackrel{~}{\psi }_x(\zeta )=\psi _x(\tau \zeta )`$. Choose $`k`$ such that $`d^kt`$. Then

$$m_x(\kappa ^k)m_x(|\lambda (f^kx,k)|)=d^km_x(1)=d^kt.$$

It follows that $`|\tau |\kappa ^k`$, and this upper bound gives the normality of $`\stackrel{~}{\psi }_S`$.

§2. Expansion Along Individual Orbits and Unstable Germs

While our primary focus is the dynamics of quasi-expanding diffeomorphisms, some of the results in the sequel are local results and depend only on information about the behavior of a particular orbit. In this section we explore various orbitwise notions of expansion and regularity. This section may be omitted on a first reading of this paper. We define

$$\begin{array}{cc}& M_x(r)=\underset{Syx}{lim\; sup}m_y(r),\widehat{\lambda }_x=\underset{Syx}{lim\; inf}|\lambda _y|\hfill \\ & r_x=inf\{r:M_x(r)>0\},R_x=inf\{r:M_x(r)=\mathrm{}\},\hfill \end{array}$$

where we admit $`+\mathrm{}`$ as a possible value. It follows that $`\widehat{\lambda }_x1`$, $`M_x(0)=0`$, $`M_x(1)=1`$, and $`R_x1`$. Further, $`M_x`$ is a convex, increasing function of $`\mathrm{log}r`$ for $`r`$ in the interval $`(0,R_x)`$, and it is evident that $`xM_x`$ and $`xr_x`$ are upper semicontinuous; and $`x\widehat{\lambda }_x`$ and $`xR_x`$ are lower semicontinuous.

For $`n0`$, we define

$$\widehat{\lambda }(x,n)=\widehat{\lambda }_x\widehat{\lambda }_{fx}\mathrm{}\widehat{\lambda }_{f^{n1}x},\mathrm{and}\widehat{\lambda }(x,n)=\widehat{\lambda }_{f^nx}^1\mathrm{}\widehat{\lambda }_{f^1x}^1=\widehat{\lambda }(f^nx,n)^1.$$

###### Lemma 2.1

For $`xJ^{}`$ and $`n0`$ we have

$$d^nM_x(r)M_{f^nx}(\widehat{\lambda }(x,n)r)\mathrm{and}d^nM_x(r)M_{f^nx}(\widehat{\lambda }(x,n)r).$$
$`(2.1)`$
Proof. By (1.8) we have

$$m_{f^np}(|\lambda (p,n)|r)=d^nm_p(r)\mathrm{and}m_{f^nx}(r)=d^nm_x(|\lambda (x,n)|r)$$

for $`pS`$ and $`n0`$. Let us fix $`r`$ and choose a sequence of points $`p_jx`$ such that $`m_{f^np_j}(\widehat{\lambda }(x,n)r)M_{f^nx}(\widehat{\lambda }(x,n)r)`$. Since the $`m_{p_j}`$ are convex in $`\mathrm{log}r`$, then are equicontinuous, so by the lower semicontinuity of $`x\widehat{\lambda }(x,n)`$, it follows that $`M_{f^nx}(\widehat{\lambda }(x,n)r)lim\; sup_{p_jx}m_{p_j}(\lambda (p_j,n)r)=lim\; sup_{p_jx}d^nm_{p_j}(r)d^nM_x(r)`$. The proof for the other inequality follows by a similar argument, with the only difference being that $`x\widehat{\lambda }(x,n)`$ is upper semicontinuous.

###### Proposition 2.2

For $`xJ^{}`$ and $`n0`$ we have $`\widehat{\lambda }(x,n)R_xR_{f^nx}`$ and $`\widehat{\lambda }(x,n)r_{f^nx}r_x`$. In particular,

$$r_x\widehat{\lambda }(x,n)^11\widehat{\lambda }(x,n)^1R_x.$$
$`(2.2)`$
Proof. If $`r<R_x`$, then by Lemma 2.1, we have $`M_{f^nx}(\widehat{\lambda }(x,n)r)<\mathrm{}`$. Thus $`\widehat{\lambda }(x,n)rR_{f^nx}`$. The other inequality is similar.

###### Theorem 2.3

The following are equivalent:

(1) $`f`$ is quasi-expanding

(2) $`\widehat{\lambda }_x>1`$ for all $`xJ^{}`$.

(3) $`inf_{xJ^{}}\widehat{\lambda }_x>1`$.

(4) $`R_x>1`$ for all $`xJ^{}`$.

(5) $`R_x=\mathrm{}`$ for all $`xJ^{}`$.

(6) $`lim_n\mathrm{}\widehat{\lambda }(x,n)=0`$ for all $`xJ^{}`$.

Proof. $`(1)(2)`$. If $`f`$ is quasi-expanding then $`|\lambda _p|\kappa >1`$ for all $`pS`$. Thus $`\widehat{\lambda }_xinf_{pS}|\lambda _p|\kappa >1`$. $`(2)(3)`$. This follows because $`x\widehat{\lambda }_x`$ is lower semicontinuous. $`(3)(1)`$. By the definition of $`\widehat{\lambda }_x`$ and the compactness of $`J^{}`$, $`inf_{pS}|\lambda _p|=inf_{xJ^{}}\widehat{\lambda }_x`$. If $`\kappa :=inf\widehat{\lambda }_x>1`$, then $`|\lambda _p|\kappa `$, so $`f`$ is quasi-expanding.

$`(1)(5)`$. This is condition (2) of Theorem 1.2.

$`(5)(4)`$. This is trivial.

$`(4)(1)`$. Since $`xR_x`$ is lower semicontinuous, it follows that $`R:=inf_{xJ^{}}R_x>1`$. Choose $`1<R^{}<R`$. By the upper semicontinuity of $`xM_x`$, it follows that $`sup_{xJ^{}}M_x(R^{})<\mathrm{}`$. Thus $`f`$ is quasi-expanding by (2) of Theorem 1.2.

$`(1)(6)`$. If $`f`$ is quasi-expanding, then $`\widehat{\lambda }(x,n)\kappa ^n`$, so (6) holds.

$`(6)(5)`$. If (6) holds, then $`R_x=\mathrm{}`$ by Proposition 2.2, so (5) holds.

We say that $`f`$ has forward expansion at $`x`$ if $`lim_{n+\mathrm{}}\widehat{\lambda }(x,n)=\mathrm{}`$, and we say that $`f`$ has backward contraction at $`x`$ if $`lim_n\mathrm{}\widehat{\lambda }(x,n)=0`$. By Proposition 2.2, if $`f`$ has forward expansion at $`x`$, then $`r_x=0`$; and if $`f`$ has backward contraction at $`x`$, then $`R_x=\mathrm{}`$.

For $`xJ^{}`$ and $`R<R_x`$ there is a neighborhood $`𝒩`$ of $`x`$ in $`J^{}`$ such that if $`y𝒩`$, then $`m_y(R)M_x(R)+1<\mathrm{}`$. Thus the restrictions $`\{G^+\psi _y|\{|\zeta |<R\}:y𝒩\}`$ are uniformly bounded. Since $`\psi _y(𝐂)J^{}`$, it follows that the restrictions of $`\{\psi _y:y𝒩\}`$ to $`\{|\zeta |<R\}`$ are uniformly bounded and are thus a normal family. We let $`\mathrm{\Psi }_x`$ denote the set of analytic mappings $`\psi :\{|\zeta |<R_x\}𝐂^2`$ which are obtained as normal limits $`lim_{y_jx}\psi _{y_j}|_{\{|\zeta |<R_x\}}`$ for sequences $`y_jx`$. We set $`\mathrm{\Psi }=_{xJ^{}}\mathrm{\Psi }_x`$. In general it may happen that an element $`\psi \mathrm{\Psi }_x`$ may be analytically extended to a domain strictly larger than $`\{|\zeta |<R_x\}`$. The size of the domain $`\{|\zeta |<R_x\}`$ assures that $`\mathrm{\Psi }`$ is a normal family.

Let us define a condition at a point $`x`$:

$$\mathrm{\Psi }_x\text{ contains a non-constant mapping.}$$
$`(\mathrm{})`$
Suppose $`(\mathrm{})`$ holds, and choose a non-constant $`\psi \mathrm{\Psi }_x`$. We say that $`\psi `$ is a maximal element of $`\mathrm{\Psi }_x`$ if whenever $`\psi (\alpha \zeta )`$ also belongs to $`\mathrm{\Psi }_x`$ for some constant $`\alpha 𝐂`$, we have $`|\alpha |1`$. By the compactness of $`\mathrm{\Psi }_x`$, each $`\psi \mathrm{\Psi }_x`$ is either maximal or has the form $`\psi (\zeta )=\widehat{\psi }(\alpha \zeta )`$ for some maximal $`\widehat{\psi }`$ and $`|\alpha |1`$. Passing to convergent subsequences in (1.7) we see that if $`\psi \mathrm{\Psi }_x`$ is maximal, then there are a unique (modulo rotation of variable) linear transformation $`L(\zeta )=\lambda _\psi \zeta `$ and a unique maximal $`\psi _1\mathrm{\Psi }_{fx}`$ such that $`f\psi L_\psi ^1=\psi _1`$. This allows us to define

$$\stackrel{~}{f}:\mathrm{\Psi }_x\mathrm{\Psi }_{fx},\stackrel{~}{f}(\psi )(\zeta )=f(\psi (\lambda _\psi ^1\zeta )).$$
$`(2.3)`$
If $`\psi `$ is not maximal, and if $`\psi (\zeta )=\widehat{\psi }(\alpha \zeta )`$ is as above, then we set $`\stackrel{~}{f}(\psi )(\zeta ):=\stackrel{~}{f}(\widehat{\psi })(\alpha \zeta )`$.

We use the notation $`\psi _j:=\stackrel{~}{f}^j(\psi )`$ and

$$\lambda (\psi ,n)=\lambda _{\psi _0}\lambda _{\psi _1}\mathrm{}\lambda _{\psi _{n1}}$$

so

$$\stackrel{~}{f}^n(\psi )(\zeta )=f^n\psi (\lambda (\psi ,n)^1\zeta ).$$

Since each $`\psi \mathrm{\Psi }`$ is a limit of elements of $`\psi _S`$, and $`\widehat{\lambda }_x`$ is a lim-inf, we have the following.

###### Corollary 2.4

If (†) holds at $`xJ^{}`$, then for $`n0`$,

$$\widehat{\lambda }(x,n)=\underset{\psi \mathrm{\Psi }_x}{inf}|\lambda (\psi ,n)|=\underset{\psi \mathrm{\Psi }_x}{\mathrm{min}}|\lambda (\psi ,n)|,$$

where the infimum and minimum are taken over all nonconstant elements of $`\mathrm{\Psi }_x`$. In particular, if $`x`$ is a point of forward expansion, then for all $`\psi \mathrm{\Psi }`$, $`|\lambda (\psi ,n)|\mathrm{}`$ and $`n+\mathrm{}`$; and if $`x`$ is a point of backward contraction, then $`|\lambda (\psi ,n)|0`$ as $`n\mathrm{}`$.

###### Corollary 2.5

Suppose that (†) holds at each $`xJ^{}`$. If $`f`$ is not quasi-expanding, then there exists a nonconstant $`\psi \mathrm{\Psi }`$ such that $`|\lambda (\psi ,n)|=1`$ for all $`n0`$.

Proof. If $`f`$ is not quasi-expanding, then by Theorem 2.3, $`R_x=1`$ for some $`xJ^{}`$. By Lemma 2.2, we have $`\widehat{\lambda }(x,n)=1`$ for all $`n0`$. By Corollary 2.4, there is a nonconstant $`\psi ^n\mathrm{\Psi }_x`$ such that $`|\lambda (\psi ^n,n)|=1`$. By the compactness of $`\mathrm{\Psi }_x`$, we may choose a subsequence such that $`\psi ^{n_j}\psi \mathrm{\Psi }_x`$, and $`\psi `$ has the desired property.

Let $`\psi `$ denote the germ at $`\zeta =0`$ of a nonconstant holomorphic map from a neighborhood of the origin in $`𝐂`$ to $`𝐂^2`$. Setting $`x=\psi (0)`$, it follows that $`\{|\zeta |<r,\psi (\zeta )=x\}=\{0\}`$ for $`r>0`$ sufficiently small. Let $`B(x,ϵ)`$ denote the Euclidean ball in $`𝐂^2`$ with center $`x`$ and radius $`ϵ`$, and let $`V(\psi ,ϵ)`$ denote the connected component of $`B(x,ϵ)\psi (|\zeta |<r)`$ containing $`x`$. If $`ϵ<\mathrm{min}_{|\zeta |=r}|\psi (\zeta )|`$, then $`V(\psi ,ϵ)`$ is an analytic subvariety of $`B(x,ϵ)`$.

###### Lemma 2.6

If (†) holds, the nonconstant elements of $`\mathrm{\Psi }_x`$ define a unique germ of a complex analytic variety at $`x`$.

Proof. Let $`\psi _1,\psi _2\mathrm{\Psi }_x`$ be given, and let $`V_1,V_2`$ be the corresponding germs of varieties, defined in some ball $`B(x,ϵ)`$. If $`\psi _1^j,\psi _2^j`$ are sequences from $`\psi _S`$ which converge to $`\psi _1,\psi _2`$, respectively, then for $`j`$ sufficiently large, $`\psi _1^j,\psi _2^j`$ define subvarieties $`V_1^j,V_2^j`$ (respectively) of $`B(x,ϵ)`$. If $`V_1`$ and $`V_2`$ define distinct germs of varieties at $`x`$, then $`V_1`$ and $`V_2`$ have a 0-dimensional intersection in $`B(x,ϵ)`$. Thus $`V_1^j`$ and $`V_2^j`$ also have 0-dimensional intersection in $`B(x,ϵ)`$, which contradicts $`(1.2^{\prime \prime })`$.

We will sometimes use the notation $`V(x,ϵ)`$ for $`V(\psi ,ϵ)`$; and we will let $`V_x`$ denote the corresponding germ at $`x`$, which is independent of $`\psi `$ by Lemma 2.6.

We may define

$$\stackrel{~}{V}_x=\underset{\psi \mathrm{\Psi }_x}{}\psi (|\zeta |<R_x).$$
$`(2.4)`$
By the proof of Lemma 2.6, there can be no 0-dimensional components of $`\psi _1(|\zeta |<R_x)\psi _2(|\zeta |<R_x)`$. Thus for $`y\stackrel{~}{V}_x`$, there is a unique irreducible germ of a variety, $`W`$ which is contained in $`\stackrel{~}{V}_x`$ and which contains $`y`$. Thus there is a Riemann surface $``$ and an injective holomorphic mapping $`\chi :\stackrel{~}{V}_x`$; this Riemann surface is the normalization of the singularities of $`\stackrel{~}{V}_x`$ (see \[Ch, §6\]).

###### Proposition 2.7

Suppose that $`f`$ does not preserve volume. If $`xJ^{}`$ has period $`n`$, and if one of the multipliers of $`Df_x^n`$ has modulus 1, then (†) does not hold.

Proof. We may assume that $`xJ^{}`$ is a fixed point of $`f`$. If $`\mu _1,\mu _2𝐂`$ denote the multipliers of $`Df_x`$, then we may suppose that $`|\mu _1|<|\mu _2|=1`$. Let us suppose that (†) holds at $`x`$, and let $`\chi :\stackrel{~}{V}_x`$ be as above. Set $`\stackrel{~}{x}=\chi ^1x`$. Then $`f`$ induces a biholomorphic mapping $`F:=\chi ^1f\chi :`$, and $`F(\stackrel{~}{x})=x`$. For nonconstant $`\psi \mathrm{\Psi }_x`$ we may write $`\psi (\zeta )=x+_{m=k}^{\mathrm{}}a_m\zeta ^m`$ with $`a_m𝐂^2`$ and $`a_k0`$. Given $`\psi ^{}(\zeta )=x+_{m=k^{}}^{\mathrm{}}a_m^{}\zeta ^m\mathrm{\Psi }_x`$, there exists $`\psi \mathrm{\Psi }_x`$ such that

$$\psi ^{}=\stackrel{~}{f}(\psi )=f\psi (\lambda _\psi ^1\zeta )=\lambda _\psi ^k(Df_xa_k)\zeta ^k+O(\zeta ^{k+1}).$$

We conclude that $`k^{}=k`$, and $`a_k^{}=\lambda _\psi ^k(Df_xa_k)`$. Thus $`a_k`$ is an eigenvector of $`Df_x`$, so $`a_k^{}=\lambda _\psi ^k\mu _ja_k`$ for one of the eigenvalues $`\mu _j`$. Since we may choose $`\psi `$ such that $`a_k`$ has maximal length, it follows that $`|a_k^{}||a_k|`$, so $`|\mu _j||\lambda _\psi ^k|1`$, and so the eigenvalue must be $`\mu _2`$.

We may also write $`\chi (t)=_{m=k}^{\mathrm{}}b_mt^k`$ for $`b_m𝐂^2`$, $`b_k0`$. We compute that $`F^{}(\stackrel{~}{x})=\mu _2`$. Thus $`F:`$ is an automorphism with a fixed point $`\stackrel{~}{x}`$ with multiplier $`e^{2\pi i\theta }`$. Passing to covering spaces, we may assume that $``$ is $`𝐂`$ or the unit disk. If $`\theta 𝐐`$, then we may assume that $`\mu _2=1`$, and thus $`F`$ is the identity. But this is not possible, since this would mean that $`f`$ is the identity on $`\stackrel{~}{V}_x`$; but the fixed points of $`f`$ are discrete. The other possibility, $`\theta 𝐐`$ is also not possible. For in this case it follows from \[BS2, Proposition 2\] that $`x`$ is contained in the interior of $`K^+`$, so $`xJ^{}`$.

We consider the following condition on a point $`xJ^{}`$:

Every mapping in $`\mathrm{\Psi }_x`$ is non-constant. $`(\mathrm{})`$
Note that if $`R_x>1`$, then $`\psi `$ is holomorphic on $`\{|\zeta |<R_x\}\{|\zeta |1\}`$, and $`\mathrm{max}_{|\zeta |1}G^+\psi =1`$. Since $`G^+\psi (0)=0`$, it follows that $`(\mathrm{})`$ holds. The failure of (‡) thus implies that $`R_x=1`$ and thus by Proposition 2.2 $`\widehat{\lambda }(x,n)=1`$ for $`n0`$.

###### Lemma 2.8

If (‡) holds, there exist $`ϵ>0`$ and $`0<r<1`$ such that for each $`\psi \mathrm{\Psi }_x`$ there exists $`\rho r`$ such that

$$\text{dist}(\psi (\zeta ),\psi (0))ϵ$$

for all $`|\zeta |=\rho `$. If (‡) holds for all $`xJ^{}`$, the $`ϵ`$ and $`r`$ may be chosen to hold for all $`xJ^{}`$.

Proof. We expand each $`\psi \mathrm{\Psi }`$ in a power series about $`\zeta =0`$, $`\psi (\zeta )=x+\alpha _1\zeta +\alpha _2\zeta ^2+\mathrm{}`$, with $`\alpha _j𝐂^2`$. For each $`j`$, $`\psi \alpha _j`$ is a continuous mapping from $`\mathrm{\Psi }`$ to $`𝐂^2`$. Since $`\psi `$ is not constant, there exist $`r_\psi ,ϵ_\psi >0`$ such that $`|\psi (\zeta )|>ϵ_\psi `$ for $`|\zeta |=r_\psi `$. This inequality continues to hold in a small neighborhood of $`\psi `$ inside $`\mathrm{\Psi }`$. Thus we obtain $`r`$ and $`ϵ`$ by the compactness of $`\mathrm{\Psi }`$.

The following shows that if $`f`$ is quasi-expanding, then each germ $`V_x`$ is contained in a variety $`V(x,ϵ)`$ with uniformly large inner diameter and uniformly bounded area. This is an easy consequence of Lemma 2.8 and the fact that $`\mathrm{Area}(\psi (D))=_D|\psi ^{}|^2`$.

###### Proposition 2.9

If $`f`$ is quasi-expanding, then there exist $`ϵ>0`$ and $`A<\mathrm{}`$ such that for each $`xJ^{}`$, $`V(x,ϵ)`$ is a (closed) subvariety of $`B(x,ϵ)`$, the area of $`V(x,ϵ)`$ is bounded by $`A`$.

The following is a strong converse to Proposition 1.5.

###### Theorem 2.10

If $`f`$ is not quasi-expanding, then there exists a point $`xJ^{}`$ such that either (‡) fails, or $`r_x>0`$. In either case, (1.12) fails.

Proof. If $`f`$ is not quasi-expanding, the by Corollary 2.5 there exists $`\psi \mathrm{\Psi }`$ such that $`|\lambda (\psi ,n)|=1`$ for $`n0`$. If we set $`\psi _n=\stackrel{~}{f}^n\psi `$ and $`m_{\psi _n}(r)=sup_{|\zeta |<r}G^+\psi _n(\zeta )`$, then $`m_{\psi _n}(|\lambda (\psi ,n)|r)=d^nm_\psi (r)`$. Let $`\psi _0`$ be a limit of $`\psi _{n_j}`$ for some subsequence $`n_j\mathrm{}`$. It follows that $`m_{\psi _0}(1)=0`$. Set $`x=\psi _0(0)`$. If $`\psi _0`$ is constant, then $`(\mathrm{})`$ fails at $`x`$.

Otherwise, if $`\psi _0`$ is non-constant, we set $`V_0:=\psi _0(\{|\zeta |<1\})`$. Thus $`V_0`$ is a connected neighborhood of $`x`$ in $`\stackrel{~}{V}_x\{G^+=0\}`$, where $`\stackrel{~}{V}_x`$ is as in (2.4). Note that $`\stackrel{~}{V}_x\{G^+<1\}J^{}\{G^+<1\}`$ is bounded, and thus $`\stackrel{~}{V}_x\{G^+<1\}`$ is Kobayashi hyperbolic. Let $`D_K(c)`$ denote the disk with center $`x`$ and radius $`c`$ in the Kobayashi metric of $`\stackrel{~}{V}_x\{G^+<1\}`$. We may choose $`c`$ small enough that $`D_K(c)V_0`$. Now choose $`r`$ small enough that the length of $`[0,r]`$ with respect to the Kobayashi metric of the unit disk is less than $`c`$. It follows that for any $`\psi \mathrm{\Psi }_x`$ we have $`\psi (\{|\zeta |<1\})\stackrel{~}{V}_x\{G^+<1\}`$, and thus $`\psi (\{|\zeta |<1\})D_K(c)V_0`$. Thus $`r_xr`$.

§3. Area Bounds and Distortion

In this Section we establish a bounded area distortion theorem and use it to give sufficient conditions for quasi-expansion. Recall that if $`A𝐂`$ is a doubly connected domain, then $`A`$ is conformally equivalent to a circular annulus $`\{\zeta 𝐂:r_1<|\zeta |<r_2\}`$. The modulus of this annulus, written $`\mathrm{Mod}(A)`$, is equal to $`\mathrm{log}(r_2/r_1)`$. We will use the notation $`B_R=B(0,R)`$ for the ball centered at the origin in $`𝐂^n`$.

###### Theorem 3.1

Let $`D𝐂`$ be a disk, let $`0<R_0<R_1`$ be given, and let $`\varphi :DB_{R_1}`$ be a proper holomorphic map. Let $`A`$ denote the area of the image $`\varphi (D)`$. The set $`\varphi ^1(B_{R_0})`$ is a union of topological disks. Let $`C`$ be any component of $`\varphi ^1(B_{R_0})`$. The set $`DC`$ is a topological annulus, and

$$\mathrm{Mod}(DC)\frac{\mathrm{log}(R_1/R_0)}{\frac{A}{R_1^2}(2+\frac{1}{\mathrm{log}(R_1/R_0)})}.$$

Proof. The modulus of the annulus $`DC`$ is equal to the extremal length of the family of curves that connect the boundary components. We recall the computation of extremal length (see Fuchs \[F\]). Given a conformal metric $`\rho (z)|dz|`$ on the annulus, the length of a curve $`\gamma `$ is $`Length(\gamma )=_\gamma |dz|`$. We define the extremal length $`L`$ of the curve family by the formula

$$\frac{1}{L}=\underset{\rho }{inf}\frac{\mathrm{Area}(\rho _0)}{m^2},\mathrm{where}\mathrm{Area}(\rho _0)=\rho ^2(z)𝑑A,$$

and $`m`$ is the infimum of $`Length(\gamma )`$ for all $`\gamma `$ in the curve family.

Any particular choice of $`\rho =\rho _0`$ gives a lower estimate: $`Lm^2/\mathrm{Area}(\rho _0)`$. Let $`ds`$ be the Euclidean metric on $`𝐂^n`$. Let $`r(z)=|z|`$ be the radial distance of a point $`z𝐂^n`$ to the origin, and let $`\rho _0`$ be the pullback under $`\varphi `$ of the metric which is defined as $`ds/r`$ on $`B_{R_1}B_{R_0}`$ and which is zero on $`B_{R_0}`$.

We will estimate the minimal length of a curve and the area for the metric $`\rho _0`$. Define $`g(v)=\mathrm{log}|v|=\frac{1}{2}\mathrm{log}(v,v)`$ for $`v𝐂^n`$, so that $`g=v/|v|^2`$. Let $`\gamma (t)`$ be a path in $`DC`$ with $`\gamma (0)C`$ and $`\gamma (1)D`$.

$$\begin{array}{cc}\hfill \mathrm{Length}(\gamma )=& _0^1\frac{|(\varphi \gamma )^{}(t)|}{|(\varphi \gamma )(t)|}𝑑t=_0^1\frac{|(\varphi \gamma )^{}(t)||(\varphi \gamma )(t)|}{|(\varphi \gamma )(t)|^2}𝑑t\hfill \\ & _0^1(\varphi \gamma )^{}gdt=g(1)g(0)\hfill \\ & =\mathrm{log}|\varphi \gamma (1)|\mathrm{log}|\varphi \gamma (0)|=\mathrm{log}(R_1/R_0).\hfill \end{array}$$

Let $`F(r)`$ denote the area of $`\varphi (D)B_r`$ with respect to the standard metric on $`𝐂^n`$. By definition, $`F(R_1)=A`$. The area of $`DC`$ with respect to $`\rho _0`$ is

$$\mathrm{Area}(\rho _0)=_{R_0}^{R_1}\frac{F^{}(r)}{r^2}𝑑r.$$

Now we integrate by parts and use the property (see \[Ch, p. 189\]) that $`F(r)/r^2`$ is non-decreasing in $`r`$ to obtain

$$\begin{array}{cc}\hfill _{R_0}^{R_1}\frac{F^{}(r)}{r^2}𝑑r=\left(\frac{F(R_1)}{R_1^2}\frac{F(R_0)}{R_0^2}\right)_{R_0}^{R_1}F(r)\frac{2}{r^2}𝑑r& \\ \hfill =\frac{F(R_1)}{R_1^2}\frac{F(R_0)}{R_0^2}+2_{R_0}^{R_1}\frac{F(r)}{r^2}\frac{dr}{r}& \\ \hfill \frac{F(R_1)}{R_1^2}+\frac{2F(R_1)}{R_1^2}\mathrm{log}\frac{R_1}{R_0}.& \end{array}$$

Thus

$$\begin{array}{cc}\hfill \mathrm{Mod}(DC)=L\frac{(\mathrm{log}\frac{R_1}{R_0})^2}{\frac{A}{R_1^2}+\frac{2A}{R_1^2}\mathrm{log}\frac{R_1}{R_0}}& \\ \hfill =\frac{\mathrm{log}\frac{R_1}{R_0}}{\frac{A}{R_1^2}(2+\frac{1}{\mathrm{log}\frac{R_1}{R_0}})}& \end{array}$$

which is the desired estimate.

Theorem 3.1 yields the following Bounded Area Distortion Theorem, which is of independent interest. In dimension $`n=1`$, the fact that the area is weighted by the multiplicity of the mapping becomes crucial. For $`n=1`$, the part of Theorem 3.2 concerning the containment $`\{|\zeta |<ar\}D_0\{|\zeta |<r\}`$ is given in \[CJY, Lemma 2.2\].

###### Theorem 3.2

Let $`A<\mathrm{}`$ and $`\chi >1`$ be given. Then there exist $`\rho >0`$ and $`a>0`$ with the following property: If $`𝒟𝐂`$ is a simply connected domain containing the origin, and if $`\varphi :𝒟B_R`$ is a proper holomorphic mapping with $`\varphi (0)=0`$ and $`\mathrm{Area}(\varphi (𝒟))A`$, then for some $`r`$ the component $`D_0`$ of $`\varphi ^1(B_{\rho R})`$ containing the origin satisfies

$$\{|\zeta |<ar\}D_0\{|\zeta |<r\}\{|\zeta |<\chi r\}𝒟.$$

Proof. We define $`r>0`$ to be the minimum value for which $`D\{|\zeta |<r\}`$, and we define $`\kappa >0`$ to be the maximum value for which $`\{|\zeta |<\kappa r\}𝒟`$. There are points $`\zeta _1D`$, $`|\zeta _1|=r`$ and $`\zeta _2𝒟`$, $`|\zeta _2|=\kappa r`$. By Teichmüller’s Theorem \[A, Theorem 4-7\], the modulus of the annulus $`𝒟\overline{D}`$ is no greater than the modulus of the complement in $`𝐂`$ of the segments $`[r,0]`$ and $`[\kappa r,+\mathrm{})`$. By Theorem 3.1 we have

$$\mathrm{Mod}(𝐂([1,0][\kappa ,+\mathrm{})))\frac{\mathrm{log}(R/\rho )}{\frac{A}{R^2}(2+\frac{1}{\mathrm{log}(R/\rho )})}.$$

The quantity on the left hand side of this inequality has been much studied. The estimate given by equation (4-21) of \[A\] shows that the modulus is less than $`(2\pi )^1\mathrm{log}(16(\kappa +1))`$. Thus if we take $`\rho `$ sufficiently small then we can obtain $`\kappa \chi `$.

Now define $`a>0`$ as the largest value for which $`\{|\zeta |<ar\}D`$. Then there is a point $`\zeta _0D`$ with $`|\zeta _0|=ar`$. Without loss of generality, we may assume that $`\zeta _0>0`$. By the Cauchy estimate, we have $`|\varphi ^{}(\zeta )|R/((\kappa 1)r)`$ for $`|\zeta |r`$. Since $`\varphi (0)=0`$ and $`\varphi (\zeta _0)B_{\rho R}`$, we have

$$\rho R_0^{\zeta _0}|\varphi ^{}(t)|𝑑t\frac{R}{(\kappa 1)r}|\zeta _0|=\frac{Ra}{\kappa 1}.$$

We conclude that $`a(\kappa 1)\rho `$, which completes the proof.

We consider the condition:

$$\begin{array}{cc}\hfill \mathrm{There}\mathrm{exist}ϵ>0\mathrm{and}A<\mathrm{}\mathrm{such}\mathrm{that}\mathrm{for}\mathrm{all}xS,& \\ \hfill V(x,ϵ)\mathrm{is}\mathrm{closed}\mathrm{in}B(x,ϵ),\mathrm{and}\mathrm{Area}(V(x,ϵ))<A.& \end{array}$$
$`(3.1)`$
If (3.1) holds, then by Bishop’s Theorem (see \[Ch, p. 205\]) the family $`\{V(x,ϵ):xS\}`$ is pre-compact in the Hausdorff topology. By Lemma 2.8, there is a unique extension to a family of varieties $`\{V(x,ϵ):xJ^{}\}`$, with $`V(x,ϵ)J^{}`$. We also consider the related condition, in which $`S`$ is replaced by $`J^{}`$:

$$\begin{array}{cc}\hfill \mathrm{There}\mathrm{exist}ϵ>0\mathrm{and}A<\mathrm{}\mathrm{such}\mathrm{that}\mathrm{for}\mathrm{all}xJ^{},& \\ \hfill V(x,ϵ)\mathrm{is}\mathrm{closed}\mathrm{in}B(x,ϵ),\mathrm{and}\mathrm{Area}(V(x,ϵ))<A.& \end{array}$$
$`(3.1^{})`$
Clearly $`(3.1^{})(3.1)`$. By Proposition 2.9, conditions (3.1) and $`(3.1^{})`$ hold if $`f`$ is quasi-expanding.

###### Theorem 3.3

$`(3.1)`$ ((‡) holds for all $`xJ^{}`$) $`(3.1^{})`$.

Proof. Suppose that (3.1) holds. For $`\chi >1`$, let $`\rho `$ and $`a`$ be the constants from Theorem 3.2. We may assume that $`ϵ>0`$ is small enough that $`\mathrm{max}_{\overline{B}(x,ϵ)}G^+1`$ for all $`xJ^{}`$. For $`xS`$ we let $`\psi _x\psi _S`$ be the corresponding immersion. Let $`𝒟`$ (respectively, $`D_0`$) denote the connected component of $`\psi _x^1(B(x,ϵ))`$ (respectively, $`\psi _x^1(B(x,\rho ϵ))`$) containing the origin. Since $`G^+\psi _x1`$ on $`\{|\zeta |<r\chi \}𝒟`$ it follows that $`r\chi 1`$, so $`r1/\chi `$. We note that $`dist(\psi _x(\zeta ),x)=dist(\psi _x(\zeta ),\psi _x(0))=\rho ϵ`$ for all $`\zeta D_0`$, and that $`D_0\{|\zeta |1/\chi \}`$. It follows that if a sequence of mappings $`\psi _{x_j}`$ converges to a map $`\psi `$, then there will be a point $`\zeta `$ with $`|\zeta |1/\chi `$ and $`dist(\psi (\zeta ),\psi (0))=\rho ϵ`$, and so $`\psi `$ cannot be constant. Thus (‡) holds.

Next let us suppose that (‡) holds. We have already observed that with $`ϵ`$ as in Lemma 3.3, $`V(x,ϵ)`$ is closed in $`B(x,ϵ)`$. By the compactness of $`\mathrm{\Psi }`$, $`C_0=sup_\psi sup_{|\zeta |r}|\psi ^{}(\zeta )|<\mathrm{}`$, so

$$\text{Area}(V(x,ϵ))_{|\zeta |r}|\psi ^{}(\zeta )|^2\pi r^2C_0^2,$$

so $`(3.1^{})`$ holds.

The germ $`V_x`$ being contained in $`K`$ is equivalent to $`G^+\psi (\zeta )=0`$ for $`|\zeta |<r`$; by Proposition 1.5 this prevents quasi-expansion. The condition that no germ $`V_x`$ is contained in $`K^+=\{G^+=0\}`$ may be viewed as a weak form of transversality between $`V_x`$ and $`K^+`$.

###### Theorem 3.4

If (3.1) holds, and if no germ $`V_x`$, $`xJ^{}`$, is contained in $`K`$, then $`f`$ is quasi-expanding.

Proof. Let $`ϵ>0`$ and $`A<\mathrm{}`$ be as in (3.1). For $`\chi >1`$, let $`\rho `$ be the constant in Theorem 3.2, corresponding to the number $`A`$. By the continuity of $`G^+`$, we may shrink $`ϵ`$ so that

$$\underset{xJ^{}}{\mathrm{max}}\underset{\overline{B}(x,ϵ)}{\mathrm{max}}G^+1.$$

We set

$$c_0:=\underset{xJ^{}}{\mathrm{min}}\underset{V(x,\rho ϵ)}{\mathrm{max}}G^+.$$

We claim that $`c_0>0`$. By Theorem 3.3, $`\{V_x,xJ^{}\}`$ is a compact family of varieties. If $`c_0=0`$, then by compactness we would have $`G^+=0`$ on $`V(x,\rho ϵ)`$ for some $`xJ^{}`$. This germ $`V_x`$ would be contained in $`K`$, contradicting our hypothesis. Thus $`c_0>0`$, and we choose $`n`$ such that $`d^nc_01`$.

For $`xS`$, let $`𝒟`$ (respectively $`D_0`$) be the connected component of $`\psi ^1B(x,ϵ)`$ (respectively $`\psi ^1B(x,\rho ϵ)`$) containing the origin. Thus

$$D_0\{|\zeta |<r\}\{|\zeta |<r\chi \}𝒟.$$

Since $`G^+\psi _x1`$ on $`𝒟`$, it follows that $`r\chi 1`$. We also have

$$c_0\underset{\zeta D_0}{\mathrm{max}}G^+\underset{|\zeta |r}{\mathrm{max}}G^+.$$

Now applying $`f^n`$, the set $`V_x`$ is mapped to $`V_{f^nx}`$, which is unformized by $`\psi _{x_n}`$. It follows that

$$\underset{|\zeta ||\lambda (x,n)|r}{\mathrm{max}}G^+\psi _{x_n}c_0d^n1.$$

By the normalization (1.3) on $`\psi _{x_n}`$ it follows that $`|\lambda (x,n)|r1`$. We conclude that

$$|\lambda (x,n)|r1\chi r,$$

or $`|\lambda (x,n)|\chi >1`$. By Theorem 1.2, then, $`f^n`$ is quasi-expanding. Thus by Proposition 1.3, $`f`$ is quasi-expanding.

The following two Corollaries are just restatements of Proposition 2.3 and Theorem 2.8 in terms of the families $`\psi _S`$ given as examples at the end of §1.

###### Corollary 3.5

A necessary and sufficient condition for $`f`$ to be quasi-expanding is that there exist $`ϵ>0`$ and $`A<\mathrm{}`$ such that for each $`\delta >0`$ there is an $`\eta >0`$ such that for each saddle point $`p`$ we have: $`W_ϵ^u(p)`$ is closed in $`B(p,ϵ)`$, $`\mathrm{Area}(W_ϵ^u(p))A`$, and $`sup_{W_\delta ^u(p)}G^+\eta `$.

###### Corollary 3.6

A necessary and sufficient condition for $`f`$ to be quasi-expanding is that there exist $`ϵ>0`$, $`A<\mathrm{}`$ and saddle points $`p,q`$ such that for each $`\delta >0`$ there is an $`\eta >0`$ such that $`W_ϵ^u(z)`$ is closed in $`B(z,ϵ)`$, $`\mathrm{Area}(W_ϵ^u(z))A`$, and $`sup_{W_\delta ^u(z)}G^+\eta `$ for all $`zW^u(p)W^s(q)`$.

###### Corollary 3.7

The condition that $`f`$ is quasi-expanding is independent of the family $`\psi _S`$.

A quasi-expanding mapping has a certain uniform contraction along backward orbits, at finite scale.

###### Theorem 3.8

If $`f`$ is quasi-expanding, then there exist $`ϵ>0`$ and $`\theta <1`$ such that for all $`xJ^{}`$ and $`n0`$, $`\mathrm{diam}(f^nV(x,ϵ))\theta ^n`$ and $`\mathrm{Area}(f^nV(x,ϵ))\theta ^n`$.

Proof. Let $`A<\mathrm{}`$ and $`ϵ>0`$ be as in Proposition 2.9. Let $`c`$ be the maximum of $`G^+`$ in an $`ϵ`$-neighborhood of $`J^{}`$. Let $`M(r)`$ be as in Theorem 1.2, and let $`r_c`$ be such that $`M(r_c)=c`$. We note that by choosing $`ϵ`$ sufficiently small, we can make $`c`$ arbitrarily close to zero. By the continuity of $`M(r)`$, then, the constant $`r_c`$ may be taken arbitrarily close to zero.

Let $`a`$ and $`\rho `$ be as in Theorem 3.2. For $`xJ^{}`$, let $`𝒟_x`$ denote the connected component of $`\psi _x^1V(x,ϵ)`$ containing the origin. It follows from Theorem 3.2 that there exists $`r_x`$ such that

$$\{|\zeta |<ar_x\}\psi _x^1V(x,\rho ϵ)\{|\zeta |<r_x\}.$$

It is evident that $`ar_xr_c`$. Define

$$M:=\underset{\psi \mathrm{\Psi }}{sup}\underset{|\zeta |<a^1r_c}{sup}|\psi ^{}(\zeta )|<\mathrm{}$$

which is finite by the compactness of $`\mathrm{\Psi }`$. By the transformation formula (1.4), and by (4) of Theorem 1.2, we have

$$f^nV(x,\rho ϵ)f^n\psi _x(|\zeta |<a^1r_c)\psi _{f^nx}(|\zeta |<\kappa ^na^1r_c).$$

Thus we obtain the estimates

$$\begin{array}{cc}\hfill \mathrm{Area}(f^nV(x,\rho ϵ))_{|\zeta |<\kappa ^na^1r_c}|\psi _{f^nx}^{}(\zeta )|^2& \\ \hfill \pi (\kappa ^na^1r_c)^2M^2.& \end{array}$$

and

$$\begin{array}{cc}\hfill \mathrm{diam}_{𝐂^2}(f^nV(x,\rho ϵ))(\mathrm{max}|\psi ^{}|)\mathrm{diam}\{|\zeta |<\kappa ^na^1r_c\}& \\ \hfill M2\kappa ^na^1r_c.& \end{array}$$

Finally, it suffices to take $`r_c`$ sufficiently small that $`2Ma^1r_c<1`$.

###### Proposition 3.9

If $`f`$ is uniformly hyperbolic on $`J^{}`$, then $`f`$ and $`f^1`$ are quasi-expanding.

Proof. Let $`𝒲^u=\{W^u(x):xJ^{}\}`$ denote the lamination defined by the unstable manifolds through points of $`J^{}`$. Since $`𝒲^u`$ contains the sets $`V(x,ϵ)`$, it follows that $`(3.1^{})`$ holds. For $`xJ^{}`$ let $`_x^\mathrm{\#}`$ denote the metric on the tangent space $`E_x^u`$, as well as the distance induced on $`W^u(x)`$ by $`_x^\mathrm{\#}`$. For $`xJ^{}`$, let $`0r(x)\mathrm{}`$ denote the largest number such that the $`_x^\mathrm{\#}`$-disk $`D(x,r(x))W^u(x)`$ is contained in $`\{G^+=0\}`$. Since $`|\lambda _\psi |1`$, we have $`r(fx)r(x)`$.

By \[BS7, §5\], $`x_x^\mathrm{\#}`$ varies continuously. It follows that $`J^{}xr(x)`$ is upper semicontinuous. We will show that $`r(x)=0`$. Suppose, to the contrary, that $`R:=sup_{xJ^{}}r(x)>0`$. By upper semicontinuity there exists $`x_0J^{}`$ with $`r(x_0)=R`$. If $`R=\mathrm{}`$, it follows that $`W^u(x_0)`$ is conformally equivalent to $`𝐂`$, and that $`W^u(x_0)K`$, which is a contradiction. If $`R<\mathrm{}`$, then we let $`X`$ denote the $`\omega `$-limit set of $`x_0`$, i.e., the set of limits of sequences $`\{f^{n_j}x_0\}`$, $`n_j\mathrm{}`$. Clearly $`X`$ is $`f`$-invariant and compact, so it is a hyperbolic set for $`f`$. Since $`r`$ is upper semicontinuous, we have $`r(x)=R`$ for all $`xX`$. Thus for $`x_0X`$

$$W^u(x_0)\underset{n0}{}f^n(D(f^nx_0,r(f^nx_0)))=\underset{n0}{}f^n(D(f^nx_0,R)).$$

Since $`^\mathrm{\#}`$ is comparable to euclidean distance, there exists $`r_0>0`$ such that $`D(f^nx_0,R)`$ contains a disk with Euclidean radius $`r_0`$ in $`W^u(f^nx_0)`$. It follows, then, as in \[BS1\] that $`W^u(x_0)\{G^+=0\}`$ and is conformally equivalent to $`𝐂`$, which is a contradiction. Thus we conclude that $`r=0`$ on $`J^{}`$. It now follows from Theorem 3.5 that $`f`$ is quasi-expanding. The argument for $`f^1`$ is the same.

###### Proposition 3.10

Suppose $`f`$ is quasi-expanding. Then there exist $`ϵ>0`$ and $`N<\mathrm{}`$ such that $`f^nV(x,ϵ)V(f^nx,ϵ)`$ for $`xJ^{}`$ and $`nN`$.

Proof. By Lemma 3.3 and Theorem 3.2 there exist $`ϵ>0`$ and $`L<\mathrm{}`$ such that

$$\psi _x(\{\zeta 𝐂:|\zeta |<1/L\})V(x,ϵ)\psi _x(\{\zeta 𝐂:|\zeta |<L\})$$

for each $`\psi _x\mathrm{\Psi }_x`$. Let $`\kappa >1`$ be as in Theorem 1.2, and choose $`N`$ such that $`\kappa ^N>L^2`$. It follows, then that $`N`$ has the desired property.

§4. Equivalence of Families of Metrics

In this Section we will show that two families of mappings are quasi-expanding. These are the real mappings of maximal entropy (Theorem 4.6) and the (uniformly) hyperbolic mappings (Corollary 4.11), which gives an alternate proof of Proposition 3.9. We will establish quasi-expansion in both cases by showing that the metric $`^\mathrm{\#}`$ is uniformly expanded by $`f`$ (condition 4 of Theorem 1.2). The metric $`^\mathrm{\#}`$ is in general not equivalent to the Euclidean metric. We present another metric $`^{(L)}`$ which, like $`^\mathrm{\#}`$, is defined only in terms of the complex structure and the function $`G^+`$. The metric $`^{(L)}`$ is uniformly expanded by real mappings of maximal entropy. We develop tools to compare the expansion with respect to different metrics, specifically $`^{(L)}`$ and the Euclidean metric, and use this to show that certain mappings are also expanding with respect to the metric $`^\mathrm{\#}`$.

We continue to let $`E_x^uT_x𝐂^2`$ denote the unstable tangent space. We will compare several norms on $`E_x^u`$. By $`^e`$ we denote the norm on $`E_x^u`$ induced by the euclidean metric on $`𝐂^2`$. If $``$ denotes an complex affine invariant metric on $`E_x^u`$, then $``$ is determined by its value at the origin. Since $`E_x^u`$ has complex dimension 1, it follows that all such affine metrics are real multiples of each other, i.e. there exists $`\alpha =\alpha (x)`$ such that $`=\alpha ^e`$.

Now we define another metric. For $`0<L<\mathrm{}`$, we let $`D^{(L)}=D_x^{(L)}`$ denote the connected component of $`\{\zeta 𝐂:G^+\psi _x(\zeta )<L\}`$ which contains the origin. Since $`G^+\psi _x`$ is subharmonic on $`𝐂`$, it follows from the maximum principle that $`D^{(L)}`$ is simply connected. We let $`ds_P`$ denote the Poincaré metric of $`D^L`$ at $`\zeta =0`$, and we define $`v_x^{(L)}=ds_P(v)`$ for any tangent vector $`v`$. If $`LL^{}`$, then $`D^{(L)}D^{(L^{})}`$, and so the Poincaré metrics of the two domains have the reverse inequality, so that $`^{(L)}^{(L^{})}`$. By the identity $`G^+f=dG^+`$ it follows that $`f`$ maps the set $`D_x^{(L)}`$ to the set $`D_{fx}^{(dL)}`$. Thus for $`vE_x^u`$ we have

$$v_x^{(L)}=Df_xv_{fx}^{(dL)}.$$
$`(4.1)`$
If $`_x^1`$ and $`|_x^2`$ are families of affine metrics for $`xS`$, there is a comparison function $`a_2^1:S𝐑`$ defined by $`a_2^1(x)=\mathrm{log}(v_x^1/v_x^2)`$, where $`v`$ is any nonzero element of $`E_x^u`$. We say that $`^1`$ is equivalent to $`^2`$ if $`a_2^1(x)`$ is a bounded function of $`xS`$. Note that this is an equivalence relation.

Let us observe that $`^\mathrm{\#}`$ is equivalent to $`^{(1)}`$. To see this, we recall from the definition of $`_x^\mathrm{\#}`$ that the unit disk in $`𝐂`$ is the largest disk centered at the origin which is contained in $`\{G^+\psi _x<1\}`$, i.e. $`D^{(1)}`$ contains the disk $`\{\zeta 𝐂:|\zeta |<1\}`$, and there is a point $`\zeta _0D^{(1)}`$ with $`|\zeta _0|=1`$. Since $`G^+\psi _x`$ is subharmonic on $`𝐂`$, it follows that $`D^{(1)}`$ is simply connected. Now let $`\chi :\{|\zeta |<1\}D^{(1)}`$ be a conformal equivalence such that $`\chi (0)=0`$. It follows that the Poincaré metric $`ds_P`$ satisfies: $`ds_P(\mathrm{𝟏})=|\chi ^{}(0)|`$. By the Koebe $`1/4`$-Theorem, we have $`\frac{1}{4}|\chi ^{}(0)|1`$. It follows from the definition of $`^\mathrm{\#}`$ that

$$\frac{1}{4}_x^\mathrm{\#}_x^{(1)}_x^\mathrm{\#}.$$
$`(4.2)`$
We may compare the metrics $`^{(L)}`$ and $`^{(L^{})}`$, $`L<L^{}`$ as follows. We define conformal maps $`\chi _x^{(L)}:D_x^{(L)}B_1`$, where $`B_1=\{|z|<1\}`$, and $`\chi _x^{(L)}(0)=0`$. Since $`L<L^{}`$, we may define the induced map

$$\rho :=\chi _x^{(L^{})}(\chi _x^{(L)})^1:B_1B_1$$
$`(4.3)`$
satisfies

$$a_L^L^{}:=\mathrm{log}\frac{v_x^{(L)}}{v_x^{(L^{})}}=\mathrm{log}|\rho ^{}(0)|.$$
$`(4.4)`$
From the fact that $`D_x^{(L)}`$ is a strict subset of $`D_x^{(L^{})}`$, it follows that $`|\rho ^{}(0)|<1`$, and thus $`a_{(L)}^{(L^{})}<0`$, which corresponds to the earlier observation that $`_x^{(L)}<_x^{(L^{})}`$ for all $`x`$. A lower bound on $`a_{(L)}^{(L^{})}`$ is equivalent to a lower bound on $`\rho ^{}(0)`$, which is equivalent to the existence of $`0<r<1`$ such that $`\{|z|<r\}\rho (B_1)`$ for all $`xS`$.

###### Lemma 4.1

There exists $`0<L_0<\mathrm{}`$, (depending on $`f`$), such that for $`L_0<L^{}<\mathrm{}`$, $`^{(L_0)}`$ is equivalent to $`^{(L^{})}`$.

Proof. We let $`\pi `$ denote the coordinate projection onto the second coordinate axis. It follows that the restrictions of $`|\pi |`$ and $`G^+`$ to $`J^{}`$ are proper exhaustions of $`J^{}`$. Let us choose $`C_1`$ such that

$$\{G^+=0\}J^{}\{|\pi |<C_1\}.$$

For $`L_0`$ sufficiently large, there exists $`C_2>C_1`$ such that

$$\{G^+>L\}\{|\pi |>C_2\}.$$

Finally, for $`L^{}<\mathrm{}`$ we may choose $`C_3>C_2`$ sufficiently large that

$$\{G^+<L^{}\}\{|\pi |<C_3\}.$$

Let $`s`$ denote the distance between $`\{|z|=C_1\}`$ and $`\{|z|=C_2\}`$, measured with respect to the Poincaré metric on $`\{|z|<C_3\}`$. Let $`0<r<1`$ be chosen so that the Poincaré distance from $`0`$ to $`r`$ inside $`B_1`$ is equal to $`s`$. We will show that $`\rho (B_1)`$ contains the disk of radius $`r`$ about the origin. For if $`|z_0|<r`$, then the Poincaré distance between $`0`$ to $`z_0`$ is less than $`s`$. We consider $`A:=\pi \psi _x(\chi ^{(L^{})})^1(0)`$ and $`B:=\pi \psi _x(\chi ^{(L^{})})^1(z_0)`$. Since $`0JJ^{}\{G^+=0\}`$, it follows that $`|A|<C_1`$. By the definition of $`D^{(L^{})}`$ and $`C_3`$, it follows that

$$\pi \psi _x(\chi ^{(L^{})})^1(B_1)\{|z|<C_3\}.$$

Thus $`\pi \psi _x(\chi ^{(L^{})})^1`$, as a mapping from $`B_1`$ to the disk $`\{|z|<C_3\}`$ decreases the respective Poincaré metrics. Thus the distance between the points $`A`$ and $`B`$ is less than $`s`$, so we conclude that $`B`$ is contained in the disk $`\{|z|<C_2\}`$. By the definition of $`C_2`$, then, it follows that $`G^+(\psi _x(\chi ^{(L^{})})^1(z_0))<L`$. Thus we conclude that $`z_0`$ is in the range of $`\rho `$, which gives the desired lower estimate.

Given a family of metrics $``$ the effect of the differential $`Df`$ is measured by the function $`c(x,n)=\mathrm{log}(Df_x^nv_{fx}/v_x)`$, where $`v`$ is a nonzero element of $`E_x^u`$. The chain rule gives the following cocycle condition for $`c`$:

$$c(x,n+m)=c(x,n)+c(f^nx,m).$$

Remark. We observe that the “natural” metrics $`^\mathrm{\#}`$ and $`^{(L)}`$ are expanded under $`f`$, although the expansion is not uniform in $`xS`$. If $`c^\mathrm{\#}=c^\mathrm{\#}(,1)`$ denotes the cocycle corresponding to the metric $`^\mathrm{\#}`$, then we have $`c^\mathrm{\#}(x,1)=\mathrm{log}|\lambda _x|`$, so $`c^\mathrm{\#}>0`$.

For the metric $`^{(L)}`$ we note that by (4.2) the corresponding cocycle satisfies

$$c^{(L)}(x,1)=\mathrm{log}\frac{Df_xv_{fx}^{(L)}}{v_x^{(L)}}=\mathrm{log}\frac{v_x^{(L/d)}}{v_x^{(L)}}=a_L^{L/d}(x).$$
$`(4.5)`$
By (4.4) we have $`c^{(L)}>0`$.

Given two families of metrics $`^1`$ and $`^2`$, the corresponding cocyles are related by the coboundary equation:

$$c^1(x,1)c^2(x,1)=a_2^1(fx)a_2^1(x).$$

We say that two cocyles $`c^1`$ and $`c^2`$ are equivalent if they satisfy the coboundary equation

$$c^1(x,1)c^2(x,1)=\alpha (fx)\alpha (x)$$

for some function $`\alpha :S𝐑`$ which is bounded. With these definitions, equivalent families of metrics produce equivalent cocycles. Indeed the above equation can be solved with the bounded function $`a_2^1`$ for $`\alpha `$.

###### Lemma 4.2

For all $`0<L,L^{}<\mathrm{}`$, the cocycle $`c^L`$ is bounded, and $`^{(L)}`$ is equivalent to $`^{(L^{})}`$.

Proof. For a point $`x_0S`$ and $`v_0E_{x_0}^u`$, we set $`x_j=f^jx_0`$ and $`v_j=Df^jx_0`$. Applying (4.1), we have

$$Dfv_n_{x_{n+1}}^{(L)}=v_n_{x_n}^{(d^1L)}=Dfv_{n1}_{x_n}^{(d^1L)}=\mathrm{}=Dfv_0_{x_1}^{(d^nL)}.$$

This gives

$$c^{(L)}(x_{n+1},1)=\mathrm{log}\frac{Dfv_n_{x_{n+1}}^{(L)}}{v_n_{x_n}^{(L)}}=\mathrm{}=\mathrm{log}\frac{Dfv_0_{x_1}^{(d^nL)}}{v_0_{x_0}^{(d^nL)}}=c^{(d^nL)}(x_0,1).$$

By Lemma 4.1 and the monotonicity of $`^{(L)}`$, there exists $`\kappa <\mathrm{}`$ such that $`0a_{L_1}^{L_0}\kappa `$ for all $`L_0L_1L_2`$. This gives $`0c^{(L_1)}(x,1)\kappa `$ for all $`xS`$. Thus $`0c^{(d^nL_1)}(x,1)\kappa `$ for all $`xS`$.

Now choose $`n`$ such that $`L<L^{}d^nL`$. It follows that

$$0a_L^{}^La_{d^nL}^L=a_{d^nL}^{d^{n1}L}+a_{d^{n1}L}^{d^{n2}L}+\mathrm{}+a_{dL}^L=c^{(d^nL)}+\mathrm{}+c^{(dL)}n\kappa ,$$

which gives the equivalence between the metrics.

###### Lemma 4.3

A cocycle which is equivalent to a bounded cocycle is a bounded cocycle.

Proof. If $`c^1`$ and $`c^2`$ are equivalent, then

$$c^1(x,1)c^2(x,1)=\alpha (fx)\alpha (x)$$

for some bounded function $`\alpha `$. If $`c^2`$ is bounded, then so is $`c^1`$, since each term on the right hand side of

$$c^1(x,1)=a_2^1(fx)a_2^1(x)+c^2(x,1)$$

is bounded.

###### Corollary 4.4

The cocycle $`c^\mathrm{\#}`$ is bounded, i.e. there exists $`\chi <\mathrm{}`$ such that $`|\lambda _x|<\chi `$ for all $`xS`$.

Proof. By Lemma 4.2, the cocycle $`c^{(1)}`$ is bounded. And by (4.2) $`^\mathrm{\#}`$ is equivalent to $`^{(1)}`$. By Lemma 4.3 it follows that $`c^\mathrm{\#}(x,1)=\mathrm{log}|\lambda _x|`$ is bounded.

A cocycle $`c`$ is said to be eventually positive if for some $`n>0`$ and some $`K>0`$ we have $`c(x,n)K`$ for all $`xS`$. We first observe:

###### Lemma 4.5

A cocycle which is boundedly cohomologous to an eventually positive cocycle is eventually positive.

Proof. If $`^1`$ is eventually positive, then $`c^1(x,n)K`$ for $`nk`$. If $`^2`$ is equivalent, then

$$c^1(x,1)c^2(x,1)=a(fx)a(x)$$

for some bounded comparison function $`a`$. Now

$$c^1(x,n)c^2(x,n)=a(f^nx)a(x)$$

where $`a`$ is bounded, say $`|a|C`$. If $`nK<2C`$, then

$$c^1(x,nk)=c^2(x,nk)=a(f^{nk}x)a(x)$$

so

$$c^2(x,nk)=c^1(x,nk)+a(f^{nk}x)a(x)nK2C>0.$$

A cocycle is immediately positive if $`c(x,1)K>0`$. We recall that one of the equivalent conditions in the definition of quasi-expanding is that the cocycle $`c^\mathrm{\#}`$ corresponding to the metric $`^\mathrm{\#}`$ is immediately positive. By Proposition 1.5, it follows that $`c^\mathrm{\#}`$ is eventually positive if and only if it is immediately positive.

Now we consider mappings $`f`$ which are real. This means that the real subspace $`𝐑^2`$ is invariant under $`f`$, or in terms of coordinates, $`f`$ commutes with complex conjugation, i.e., $`f(\overline{x},\overline{y})=\overline{f}(x,y)`$. We let $`f_R`$ denote the restriction of $`f`$ to $`𝐑^2`$. We will say that $`f`$ is a real mapping with maximal entropy if the real restriction $`f_{𝐑^2}`$ has entropy equal to $`\mathrm{log}d`$. Several results from \[BLS\] apply to real mappings with maximal entropy. In this case it follows that $`J𝐑^2`$, that $`J=J^{}`$, and the periodic points are dense in $`J`$. Thus, if $`p`$ is a (real) periodic point, we may further normalize the uniformizing mapping $`\psi _p:𝐂W^u(p)`$ so that $`\psi _p(𝐑)𝐑^2`$. In this case, it follows that $`\psi _p(𝐂)J𝐑^2`$, and thus $`\psi _p^1(J)𝐑`$.

###### Theorem 4.6

If $`f`$ is a real mapping of maximal entropy, then the cocyle corresponding to the metric $`^{(L)}`$ satisfies $`c^{(L)}(x,1)\mathrm{log}d`$. Further, $`f`$ and $`f^1`$ are both quasi-expanding.

Proof. We observed above that if $`f`$ is a real mapping of maximal entropy, then for each saddle point $`\psi _x^1(J)𝐑`$. Thus by Proposition 4.7, $`c^{(L)}`$ is a positive cocyle. Since $`^{(L)}`$ is equivalent to $`^\mathrm{\#}`$ it follows from Lemma 4.5 that $`c^\mathrm{\#}`$ is eventually positive. By (4) of Theorem 1.2, some iterate $`f^N`$ is quasi-expanding. By Proposition 1.3, then, $`f`$ itself is quasi-expanding. The argument for $`f^1`$ is similar.

###### Proposition 4.7

If $`xS`$ is such that $`\psi _x^1J`$ is contained in a straight line in $`𝐂`$, then $`c^{(L)}(x,1)\mathrm{log}d>1`$. If, in addition, $`JW^u(x)`$ is not connected, then we have $`c^{(L)}(x,1)>\mathrm{log}d`$.

Proof. Without loss of generality, we may assume that the line is $`𝐑𝐂`$. We will estimate $`c^{(L)}`$ as in (4.5). To do this, we let $`h^+`$ denote the unique continuous function on $`D^{(L)}`$ with the following properties: $`0h^+<L`$, $`h^+=0`$ on $`D^{(L)}𝐑`$, $`h^+`$ is harmonic on $`D^{(L)}𝐑`$, and $`h^+`$ takes the boundary limit $`L`$ at all points of $`(D^{(L)})𝐑`$. Since $`\psi _x^1J𝐑`$, it follows from the maximum principle that $`h^+G^+\psi _x`$ on $`D^{(L)}`$. Thus $`D^+:=\{h^+<L/d\}D^{(L/d)}`$. Let $`\chi ^+:D^+B_1`$ denote the conformal mapping such that $`\chi ^+(0)=0`$ and $`\chi ^+(0)^{}>0`$. If we set $`\rho ^+:=\chi ^+(\chi ^{(L)})^1:B_1B_1`$, then as in (4.4), we have the estimate

$$c^{(L)}=\mathrm{log}|\rho ^{}(0)|\mathrm{log}|\rho ^+(0)^{}|.$$

We will show that $`\rho ^+(0)^{}=1/d`$, which gives $`c^{(L)}\mathrm{log}d`$. In order to do this, we let $`H^+`$ be the function on $`B_1`$ which is the image of $`h^+`$ under $`\rho ^+`$. We note that since $`f`$ is real, the set $`D^{(L)}`$ is invariant under complex conjugation, and thus $`\rho ^+`$ commutes with conjugation. Thus the real function $`H^+`$ is invariant under complex conjugation. Further, $`H^+`$ has the properties of being equal to zero on the axis $`(1,1)`$, harmonic on $`B_1(1,1)`$, and taking boundary values $`L`$ on the non-real points of $`B_1`$. Let $`\phi `$ denote the conformal mapping from $`B_1`$ to the strip $`\{\zeta 𝐂:1<\mathrm{}(\zeta )<1\}`$ such that the upper/lower portion of $`B_1`$ is taken to $`\{\mathrm{}(\zeta )=\pm 1\}`$. It follows that $`H^+=L|\mathrm{}(\phi )|`$. The image of $`\rho ^+`$ is given by $`\rho ^+(B_1)=\{H^+<L/d\}`$. Thus $`\rho ^+`$ is given by $`\phi ^1g_d\phi `$, where $`g_d(z)=z/d`$. We may assume that $`\phi (0)=0`$, so it follows from the fact that $`g_d^{}=1/d`$ that $`\rho ^+(0)^{}=1/d`$.

If $`JW^u(x)`$ is not connected, then $`h^+<G^+\psi _x`$ on $`D^{(L)}`$ because $`\{h^+=0\}=\psi _x^1(J)\{G^+\psi _x=0\}=𝐑`$. Thus $`c^{(L)}=\mathrm{log}|\rho ^{}(0)|>\mathrm{log}|\rho ^+(0)^{}|=d`$.

Next we give an improved estimate for one-sided points, which play an important role in \[BS\].

###### Proposition 4.8

If $`xS`$ and $`\psi _x^1J`$ is contained in a half-line, then $`c^{(L)}(x,1)2\mathrm{log}d`$. If, in addition, $`\psi _x^1J`$ is not connected, then $`c^{(L)}(x,1)>2\mathrm{log}d`$.

Proof. Without loss of generality, we may assume that $`\psi _x^1J`$ contains the origin and is contained in the positive half-line $`[0,\mathrm{})`$. The proof now proceeds along the lines of the proof of Proposition 4.7 with the modification that the function $`|\mathrm{}(\zeta )|`$ is replaced by $`|\mathrm{}(\sqrt{\zeta })|`$. Let $`S(t)=\{\zeta 𝐂:|\mathrm{}(\sqrt{\zeta })|<t\}`$. We let $`\phi `$ denote the conformal mapping from $`B_1`$ to the set $`S(1)`$. The factor of 2 enters because $`d^2`$ is the multiplier which maps $`S(L/d)`$ to $`S(L)`$.

An affine metric on $`𝐂_x`$ induces a distance function on $`W^u(x)`$ via the mapping $`\psi _x:𝐂_xW^u(x)`$. The metric $`^\mathrm{\#}`$ induces the distance $`dist^\mathrm{\#}(\psi _x(\zeta _1),\psi _x(\zeta _2))=|\zeta _1\zeta _2|`$. Any other metric is of the form $`^{}=a^\mathrm{\#}`$, and the induced distance is given as $`dist^{}(\psi _x(\zeta _1),\psi _x(\zeta _2))=a(x)|\zeta _1\zeta _2|`$. Given a metric, we let $`\mathrm{\Delta }_xW^u(x)`$ denote the unit disk in $`W^u(x)`$ with center at $`x`$. We say that the metric is admissible if there are constants $`0<c^{}<c^{\prime \prime }<\mathrm{}`$ such that the diameter, measured with respect to the Euclidean metric on $`𝐂^2`$ satisfies

$$c^{}diam_{𝐂^2}(\mathrm{\Delta }_x)c^{\prime \prime }$$

for all $`xS`$.

Admissibility of a metric is not a strictly local property since it involves the immersions $`\psi _x`$. If we work with the metric $`^\mathrm{\#}`$, then the boundary $`\mathrm{\Delta }_x`$ contains a point of $`\{G^+=1\}J^{}`$. Since this is a compact set, we have an upper bound on the diameter of $`\mathrm{\Delta }_x`$. The lower bound on the diameter follows because this set is at positive distance from $`J`$ (which contains $`x`$). Thus $`^\mathrm{\#}`$ is admissible.

It need not be true that a metric equivalent to an admissible metric is itself admissible. For $`0<\tau 1`$, let us consider the scaled metric $`\tau ^\mathrm{\#}`$. With respect to this metric, $`\mathrm{\Delta }_x`$ satisfies $`\psi _x^1\mathrm{\Delta }_x=\{\zeta 𝐂_x:|\zeta |<\frac{1}{\tau }\}`$. It is evident that $`\mathrm{\Psi }`$ is a normal family if and only if the functions $`\psi _x`$ are bounded on this set for each $`\tau >0`$. For fixed $`\tau `$, this gives an upper bound on $`sup_{xS}diam(\mathrm{\Delta }_x)`$. (The case $`\tau =1`$ is already a lower bound.) Thus we see that $`f`$ is quasi-expanding if and only if $`\tau ^\mathrm{\#}`$ is admissible for every $`0<\tau <1`$. In other words, if $`f`$ is not quasi-expanding, then $`\tau ^\mathrm{\#}`$ is not admissible for some $`0<\tau <1`$.

###### Lemma 4.9

Any two admissible metrics are equivalent.

Proof. Suppose that $``$ and $`^{}`$ are admissible metrics. If they are not equivalent, we may choose a sequence $`x_k`$ such that $`_{x_k}=ϵ_k_{x_k}^{}`$, and $`lim_k\mathrm{}ϵ_k=0`$. Let $`D_k:=\{\zeta 𝐂_{x_k}:\zeta _{x_k}<1\}`$. Thus $`D_k^{}:=\{\zeta 𝐂_{x_k}:\zeta _{x_k}^{}<1\}=ϵ_kD_kD_k`$. Let $`\delta _k`$ denote the diameter of $`D_k^{}`$, measured with respect to the Kobayashi metric of $`D_k`$.

Since $``$ is admissible, there is a bounded set $`B𝐂^2`$ such that $`\mathrm{\Delta }_k=\psi _{x_k}(D_k)B`$ for all $`k`$. Since the Kobayashi metric decreases under holomorphic mappings, the diameter of $`\psi _{x_k}(D_k^{})`$, measured with respect to the Kobayashi metric of $`B`$ is no larger than $`\delta _k`$. Further, since $`B`$ is bounded, the Kobayashi metric of $`B`$ dominates the Euclidean metric. Thus for some constant $`C<\mathrm{}`$, the Euclidean diameter of $`\mathrm{\Delta }_k^{}=\psi _{x_k}(D_k^{})`$ is no larger than $`\delta _kC`$. But if $`ϵ_k0`$, it follows that the relative diameter $`\delta _k`$ also tends to zero. Thus the Euclidean diameters of $`\mathrm{\Delta }_k^{}`$ are not bounded below, which contradicts the admissibility of $`^{}`$. This contradiction shows that the two metrics must be equivalent.

###### Theorem 4.10

If $`f`$ is uniformly hyperbolic on $`J^{}`$, then $`^e`$ is an admissible metric.

Proof. Let $`𝒲^u`$ denote the lamination of $`W^u(J^{})`$ by unstable manifolds. Each unstable manifold is uniformized by $`𝐂`$, and thus has a unique complex affine structure. It was shown in \[BS7\] that this affine structure varies continuously. For each $`pJ`$, we may assign an affine metric on $`W^u(p)`$ by using the metric $`_p^e`$, induced by $`\varphi _p:𝐂W^u(p)`$. By the continuity of the affine structure, the sets $`\mathrm{\Delta }_p=\psi _p\{\zeta 𝐂:\zeta _p^e<1\}`$ vary continuously. In particular, their diameters will be bounded above and below in terms of the euclidean metric on $`𝐂^2`$.

We conclude with another proof of Proposition 3.9.

###### Corollary 4.11

If $`f`$ is uniformly hyperbolic on $`J^{}`$, then $`f`$ and $`f^1`$ are quasi-expanding.

Proof. Let $`c^e`$ denote the cocycle corresponding to the Euclidean metric. If $`f`$ is uniformly hyperbolic, then $`c^e`$ is eventually positive. Further, since both $`^\mathrm{\#}`$ and (by Theorem 4.10) $`^e`$ are admissible, they are equivalent by Lemma 4.9. By Lemma 4.5, the cocycle $`c^\mathrm{\#}`$ is eventually positive. By (4) of Theorem 1.2 and Proposition 1.3 it follows that $`f`$ is quasi-expanding.

§5. Local Folding

In this Section we show how conditions (†) and (‡) express themselves in terms of local folding. In §2 we showed how (‡) corresponds to a bound on the local area of the varieties $`𝒱`$. Here we show (Propositions 5.1–3) how it corresponds to a bound on the local folding of $`𝒱`$.

For $`\psi \mathrm{\Psi }_x`$, we define $`\mathrm{Ord}(\psi )=\mathrm{min}\{n1:\psi ^{(n)}(0)0\}`$. Thus $`\mathrm{Ord}(\psi )<\mathrm{}`$ if and only if $`\psi `$ is non-constant. If $`j=\mathrm{Ord}(\psi )<\mathrm{}`$, then $`\psi (\zeta )=x+a_j\zeta ^j+\mathrm{}`$, where we set $`a_j=\psi ^{(j)}(0)/j!`$. By $`E_x`$ we denote the complex linear span of $`a_j`$ in $`T_x𝐂^2`$. $`E_x`$ coincides with the tangent cone of the variety $`V_x`$ at $`x`$ (see \[Ch §8\]). By Lemma 2.6, $`E_x`$ is independent of the choice of $`\psi `$. In the following discussion of folding, we will use the notation $`E_x`$ to denote the complex affine line passing through $`x`$ in the direction of the tangent cone of $`V_x`$ at $`x`$. Let $`\pi :𝐂^2E_x`$ denote a complex affine projection map. Let $`\psi \mathrm{\Psi }_x`$ be non-constant. For an open set $`𝒩E_x`$, we let $`\omega `$ denote the connected component of $`\psi ^1(\pi ^1𝒩)`$ containing $`x`$. Since $`E_x`$ is the tangent cone to $`V(\psi )`$ at $`x`$, we may choose $`𝒩`$ sufficiently small that $`\omega `$ is relatively compact inside $`\mathrm{\Delta }`$. For $`\widehat{\psi }\mathrm{\Psi }`$, we let $`V(\widehat{\psi },𝒩)`$ denote the connected component of $`\psi (\mathrm{\Delta })\pi ^1𝒩`$ containing $`\psi (0)`$. If $`\widehat{\psi }\mathrm{\Psi }`$ is uniformly close to $`\psi `$ in a neighborhood of $`\overline{\omega }`$, then $`V(\widehat{\psi },𝒩)`$ is a subvariety of $`\pi ^1𝒩`$, and $`\pi |V(\widehat{\psi },𝒩):V(\widehat{\psi },𝒩)𝒩`$ is proper. If $`y=\widehat{\psi }(0)`$, then in analogy with §2, we may write $`V(y,𝒩)`$ for $`V(\widehat{\psi },𝒩)`$.

Let us define $`\tau (x):=sup_{\psi \mathrm{\Psi }_x}\mathrm{Ord}(\psi )`$. If $`\tau (x)=\mathrm{}`$ then (‡) does not hold.

###### Proposition 5.1

Suppose (†) holds at $`x`$ and $`\tau (x)=\mathrm{}`$. Then for each $`k<\mathrm{}`$ and for an arbitrarily small neighborhood $`𝒩`$ of $`x`$ inside $`E_x`$, there exists $`yJ^{}\pi ^1𝒩`$ such that $`V(y,𝒩)`$ is a nonsingular subvariety of $`\pi ^1𝒩`$, and $`\pi |V(y,𝒩):V(y,𝒩)𝒩`$ is proper with mapping degree $`k`$.

Proof. Since $`\tau (x)=\mathrm{}`$, $`\mathrm{\Psi }_x`$ contains elements with arbitrarily high order. Thus for each $`k`$, there exists $`\psi \mathrm{\Psi }_x`$ with $`m:=\mathrm{Ord}(\psi )k`$. Let us choose $`\{p_j\}S`$ such that $`lim_j\mathrm{}\varphi _{p_j}=\psi `$. As was observed above, we may choose $`j`$ large and $`𝒩`$ sufficiently small that $`\pi |V(p_j,𝒩):V(p_j,𝒩)𝒩`$ is proper. Since $`\varphi _{p_j}\psi _S`$, the varieties $`V(p_j,𝒩)`$ are regular. The map $`\zeta \pi \psi (\zeta )`$ is $`m`$-to-1 near $`\zeta =0`$. It follows that $`m`$ is the mapping degree of $`\pi |V(p_j):V(p_j)𝒩`$.

###### Proposition 5.2

Suppose that $`x`$ satisfies (†), and suppose that for each sufficiently small neighborhood $`𝒩`$ of $`x`$ inside $`E_x`$ there exists $`y`$ close to $`x`$ such that $`\pi |V(y,𝒩):V(y,𝒩)𝒩`$ is a proper map of degree $`k`$. Then $`\tau (x)k`$. Further $`\tau (x)`$ is the smallest number with this property.

Proof. We choose a sequence of neighborhoods $`𝒩_j`$ decreasing to $`\{x\}`$ and let $`\psi _j`$ be the corresponding functions. Passing to a subsequence, we may suppose that $`\psi _j\psi \mathrm{\Psi }_x`$. For $`ϵ>0`$, we may choose $`𝒩`$ small enough that $`\psi ^1(\pi ^1\overline{𝒩})\{|\zeta |<ϵ\}`$. Thus for $`j`$ large enough we have $`\varphi _j^1(\pi ^1\overline{𝒩})\{|\zeta |<ϵ\}`$. It follows that $`\pi \varphi _j:\{|\zeta |<ϵ\}𝒩`$ is a $`k`$-to-one mapping. Thus $`\psi :\{|\zeta |<ϵ\}𝒩_ϵ`$ is $`k`$-to-one. Since this holds for all $`ϵ>0`$, it follows that $`\mathrm{Ord}(\psi )=k`$.

To establish the final statement, we suppose first that $`\tau (x)=\mathrm{}`$. Then by Proposition 5.1, there are $`\psi \mathrm{\Psi }_x`$ yielding branched covers of degree $`k`$. If $`\tau (x)<\mathrm{}`$, we may choose $`\psi \mathrm{\Psi }_x`$ with $`\mathrm{Ord}(\psi )=\tau (x)`$. Again, by the argument of Proposition 5.1, there is a local branching of order $`k=\tau (x)`$.

For a positive integer $`k`$, we set $`𝒥_k=\{xJ^{}:\tau (x)=k\}`$. Thus $`𝒥_1,𝒥_2,\mathrm{}`$ is a partition of $`\{xJ^{}:\tau (x)<\mathrm{}\}`$. Since $`J^{}x\tau (x)`$ is upper semicontinuous, the set $`_{km}𝒥_k`$ is closed (and $`_{k<m}𝒥_k`$ is open) in $`\{xJ^{}:\tau (x)<\mathrm{}\}`$ for each $`m`$.

Figure 1 illustrates the case where $`\tau (x)=k`$, and $`\psi _x(𝐂)`$ is a nonsingular manifold. By Lemma 2.6, there is a neighborhood $`𝒩`$ of $`x`$ inside $`V_x`$ ($`\pi ^1𝒩`$ is shaded in Figure 1) with the following properties. If $`y𝒥`$ is sufficiently close to $`x`$ and $`\psi \mathrm{\Psi }_y`$, then the variety $`V_\psi (𝒩)`$ is a $`j`$-fold branched cover over $`𝒩`$. Since we are working in the complex domain a manifold $`\psi (𝐂)`$ cannot lie “to one side” of $`\psi _x(𝐂)`$. Also highlighted is a regular point where $`\psi (𝐂)`$ has a vertical tangent. On compact sets outside the shaded neighborhood, $`\psi (𝐂)`$ has the geometry of $`j`$ distinct manifolds which approach $`\psi _x(𝐂)`$ in the $`C^1`$ topology as $`yx`$.

We may interpret the mapping degree of $`\pi |V_\psi (𝒩)`$ as measuring the local folding of the variety $`V_\psi (𝒩)`$ at $`x`$. The following result asserts that the maximal amount of local folding at $`x`$ is given by $`\tau (x)`$, which also measures the maximal order of vanishing of the derivatives of the parametrizations.

Figure 1

Proposition 5.3. If $`x𝒥_1`$, there are neighborhoods $`x𝒰_0𝒰𝐂^2`$ such that $`\{V(y,ϵ)𝒰:y\overline{𝒰}_0J^{}\}`$ is a lamination. If $`xJ^{}𝒥_1`$, then there is no such lamination at $`x`$.

Proof. For $`x𝒥_1`$, every $`\psi \mathrm{\Psi }_x`$ has nonvanishing differential at $`\zeta =0`$. Since $`\mathrm{\Psi }`$ is a normal family, it follows that the images $`V(x,ϵ)`$ are regular and form a lamination. Conversely, if $`x_0J^{}𝒥_1`$, then for any open sets $`𝒰_0𝒰`$ containing $`x_0`$, there will be varieties $`V(x,ϵ)`$, $`x𝒰_0J^{}`$ which project as in Figure 1. Thus there is no lamination at $`x_0`$.

§6. Expansion

For $`xJ^{}`$ and $`k<\mathrm{}`$, let us define $`\mathrm{\Psi }_x^k=\{\psi \mathrm{\Psi }_x:\mathrm{Ord}(\psi )=k\}`$, and

$$\gamma _k(x):=\underset{\psi \mathrm{\Psi }_x^k}{sup}\left|\frac{\psi ^{(k)}(0)}{k!}\right|,$$

which is finite by the normality of $`\mathrm{\Psi }`$. We have $`𝒥_k\{\gamma _k>0\}`$, and the set of all points of $`J^{}`$ where (†) holds coincides with $`_{k1}\{\gamma _k>0\}`$. By Lemma 2.6 and the normality of $`\mathrm{\Psi }`$, it follows that $`\{\gamma _k>0\}xE_x`$ is continuous. For $`xJ^{}`$ with $`\gamma _k(x)>0`$, we define

$$v_x^{\mathrm{\#},k}:=|v|/\gamma _k(x)\mathrm{for}vE_x.$$

Since $`\mathrm{\Psi }`$ is generated by the normal limits of elements of $`\psi _S`$, we have

$$_x^{\mathrm{\#},1}=\underset{pS,px}{lim\; inf}_p^\mathrm{\#},$$

where $`_p^\mathrm{\#}`$ was defined in §1. Since $`\gamma _k(x)`$ is upper semicontinuous, we have an upper bound $`m_k:=sup_{xJ^{}}\gamma _k(x)<\mathrm{}`$, so we have a lower bound in terms of the euclidean metric:

$$\frac{|v|}{m_k}v_x^{\mathrm{\#},k},\mathrm{for}vE_x.$$

If $`\varphi \mathrm{\Psi }_x^k`$ (resp. $`\varphi _1\mathrm{\Psi }_{fx}^k`$) realizes the supremum defining $`\gamma _k`$ at $`x`$ (resp. $`fx`$), then

$$|\lambda _{\stackrel{~}{f}^1\varphi _1}|^kDf_x^n^{\mathrm{\#},k}:=\frac{Df_x^nv_{f^nx}^{\mathrm{\#},k}}{v_x^{\mathrm{\#},k}}|\lambda _\varphi |^k.$$
$`(6.1)`$
If (‡) holds, then $`x𝒥_k`$ for $`k=\tau (x)`$, and we define a metric $`_x^\mathrm{\#}`$ on $`E_x`$ by setting $`v_x^\mathrm{\#}:=v_x^{\mathrm{\#},k}`$ for $`vE_x`$. This replaces the definition given in §1; in general the two definitions may disagree for $`x=pS`$. If $`S`$ is a compact subset of $`𝒥_k`$, then $`c:=inf_{xS}\gamma _k(x)>0`$. Thus for any compact $`S𝒥_k`$

$$m_k^1|v|v_x^\mathrm{\#}c^1|v|,\mathrm{for}xS,vE_x$$
$`(6.2)`$
gives an equivalence between $`_x^\mathrm{\#}`$ and the euclidean metric.

###### Proposition 6.1

If $`\gamma _k(x)>0`$, then $`Df_x^n|E_x^eC\gamma (x,n)`$ for $`n0`$. If $`n_j\mathrm{}`$ is a sequence with $`f^{n_j}x\widehat{x}𝒥_k`$, then there exists $`c>0`$ such that $`Df_x^{n_j}|E_x^ec\lambda (x,n_j)`$.

Proof. By the definition of $`^{\mathrm{\#},k}`$, we have

$$Df_x^n|E_x^e=\lambda (x,n)\frac{\gamma _k(f^nx)}{\gamma _k(x)}.$$

Thus $`C=m/\gamma _k(x)`$ is our desired bound. If $`\widehat{x}𝒥_k`$, then $`\eta :=lim\; inf_{x𝒥_k,x\widehat{x}}\gamma _k(x)>0`$. Thus if $`n_j`$ is sufficiently large, we have $`\gamma _k(f^{n_j}x)>\eta /2`$, which gives the desired estimate with $`c=\eta (2\gamma _k(x))^1`$.

Remark on Expansion. We may interpret the Proposition as follows. $`Df_x^n|E_x`$ has uniform contraction along the backward orbit of a point $`x𝒥_k`$. If there is a sequence of times $`n_j\mathrm{}`$ such that $`dist(f^{n_j}x,\{\tau (x)<k\})`$ is bounded below, then $`Df^n|E_{f^nx}`$ has exponential growth during the times $`n=n_j`$.

###### Theorem 6.2

Let $`f`$ be quasi-expanding, and let $`\nu `$ be an ergodic invariant measure supported on $`𝒥`$. Then the Lyapunov exponent of $`\nu `$ satisfies $`\mathrm{\Lambda }(\nu )\mathrm{log}\kappa >0`$. If $`𝒥_k`$ has full measure for $`\nu `$, then $`\mathrm{\Lambda }(\nu )k\mathrm{log}\kappa >0`$.

Proof. The Lyapunov exponent of the measure $`\nu `$ is given by the formula

$$\mathrm{\Lambda }(\nu )=\underset{n\mathrm{}}{lim}\frac{1}{n}\mathrm{log}Df_x^n\nu (x).$$

Since the family $`E_x^u`$ is invariant, it follows that

$$\frac{1}{n}\mathrm{log}Df_x^n\frac{1}{n}Df_x^n|E_x^u=\frac{1}{n}\underset{j=0}{\overset{n1}{}}\mathrm{log}Df_{f^jx}|E_{f^jx}^u.$$

By the invariance of $`\nu `$, we have $`\mathrm{log}Df_{f^jx}|E_{f^jx}^u\nu (x)=\mathrm{log}Df_x|E_x^u\nu (x)`$, so

$$\frac{1}{n}\mathrm{log}Df_x^n\nu (x)\frac{1}{n}\mathrm{log}Df_x^n|E_x^u\nu (x)=\mathrm{log}Df_x|E_x^u\nu (x).$$

It will suffice to consider the case when all the mass of $`\nu `$ is on $`𝒥_k`$. For $`x𝒥_k`$ we have $`\gamma _k(x)>0`$, so

$$Df_x|E_x^u=\frac{|Df_xv|_{fx}}{|v|_x}=Df_x^\mathrm{\#}\frac{\gamma _k(fx)}{\gamma _k(x)}.$$

By \[LS, Proposition 2.2\], we have

$$\mathrm{log}\frac{\gamma _k(fx)}{\gamma _k(x)}\nu (x)=0$$

It follows from (6.1) that

$$\mathrm{log}Df_x|E_x^u\nu (x)=\mathrm{log}Df_x|E_x^u^\mathrm{\#}\nu (x)\mathrm{log}\kappa ^k,$$

and the last inequality follows from (6.1).

###### Corollary 6.3

If $`f`$ is quasi-expanding and quasi-contracting, then every periodic point in $`J^{}`$ is a saddle point. Further, there is a $`\kappa >1`$ such that if $`\lambda ^+`$ and $`\lambda ^{}`$ denote the larger and smaller eigenvalues of $`Df^n`$ at a saddle point of period $`n`$, then $`|\lambda ^{}|\kappa ^n<\kappa ^n|\lambda ^+|`$.

Let us use the notation $`𝒥_k^{}=\{x𝒥_k:\alpha (x)𝒥_k\mathrm{}\}`$, where $`\alpha (x)`$ is the $`\alpha `$-limit set, i.e. the accumulation points of sequences $`f^{n_j}x`$ with $`n_j\mathrm{}`$. By the Poincaré Recurrence Theorem, $`𝒥_k^{}`$ has full measure for any invariant measure on $`𝒥_k`$. If $`𝒥_k`$ is compact (which occurs, for instance, if $`k=sup_{xJ^{}}\tau (x)<\mathrm{}`$), then $`𝒥_k^{}=𝒥_k`$.

Figure 2.

###### Lemma 6.4

Let $`x𝒥_k^{}`$ be a point of backward contraction. If $`\psi \mathrm{\Psi }_x`$, then the number of critical points of $`\psi `$, counted with multiplicity, is no greater than $`k1`$; and for $`\zeta 𝐂`$, the number of preimages $`\psi ^1(\psi (\zeta ))`$, of a point $`\psi (\zeta )`$ is no greater than $`k`$.

Proof. Let $`\zeta _1,\mathrm{},\zeta _j`$ be critical points of $`\psi `$. Then $`\stackrel{~}{f}^n(\psi )`$ has critical points at $`\lambda (x,n)\zeta _i`$ for $`1ij`$. Let $`\stackrel{~}{\psi }\mathrm{\Psi }_y`$ denote any normal limit of a subsequence of $`\stackrel{~}{f}^n(\psi )`$. By the backward contraction, all the critical points converge to the origin in the limit, so it follows that $`\mathrm{Ord}(\stackrel{~}{\psi })`$ is one greater than the sum of the multiplicities of the critical points $`\zeta _1,\mathrm{},\zeta _j`$. Since $`\alpha (x)𝒥_k\mathrm{}`$, we may take the subsequence such that $`y𝒥_k`$. Thus $`\mathrm{Ord}(\stackrel{~}{\psi })k`$, and thus the total orders of the critical points must be less than $`k`$. A similar argument shows that $`\mathrm{\#}\psi ^1(\psi (\zeta ))k`$.

In Figure 2 we suppose that $`p`$ is a saddle point and that the unstable manifolds $`W^u(p_j)`$ and $`W^u(q_j)`$ are smooth. Let $`\varphi _p:𝐂W^u(p)𝐂^2`$, $`\varphi _{p_j}:𝐂W^u(p_j)𝐂^2`$, and $`\varphi _{q_j}:𝐂W^u(q_j)𝐂^2`$ be holomorphic embeddings. Let $`\beta _j,\gamma _j𝐂`$ be such that $`\varphi _{p_j}(\beta _j)=x_j`$, $`\varphi _{q_j}(\gamma _j)=y_j`$, and $`\varphi _p(\beta )=x`$. It follows that $`\varphi _{q_j}\varphi _p\mathrm{\Psi }_p`$, $`\gamma _j\beta `$, and $`\varphi _{q_j}(\zeta +\gamma _j)\varphi _p(\zeta +\beta )\mathrm{\Psi }_x`$. If $`W^u(p_j)`$ and $`W^u(p)`$ have a simple (quadratic) tangency at $`p_j`$, then $`\varphi _{p_j}(\zeta )\varphi _p(\alpha \zeta ^2)\mathrm{\Psi }_p`$ for some $`|\alpha |=1`$, and $`\varphi _{x_j}(\zeta )\varphi _p(\alpha (a\zeta +b)^2)\mathrm{\Psi }_x`$, where $`a,b𝐂`$ are chosen so that (1.3) holds. Figure 2 is consistent with the properties $`x𝒥_1`$ and $`p𝒥_2`$.

We say that $`\psi \mathrm{\Psi }`$ is a homogeneous parametrization if it has the form $`\psi (\zeta )=\varphi (c\zeta ^k)`$, where $`c𝐂`$, and $`\varphi :𝐂𝐂^2`$ is an immersion. If $`\psi _1,\psi _2\mathrm{\Psi }_x^k`$ are two homogeneous parametrizations, then by (1.3) and Lemma 2.6, they differ only by a rotation of the variable $`\zeta `$.

###### Lemma 6.5

Let $`x𝒥_k^{}`$ be a point of backward contraction. If $`\varphi :𝐂𝐂^2`$ is an immersion which induces $`V_x`$, then there is a polynomial $`p(\zeta )`$ of degree no greater than $`k`$ such that $`p(0)=0`$ and $`\psi (\zeta )=\varphi (p(\zeta ))`$. In particular, every $`\psi \mathrm{\Psi }_x^k`$ is a homogeneous parametrization.

Proof. If $`\varphi `$ is an immersion, then we claim that $`p:=\varphi ^1\psi :𝐂𝐂`$ is a well-defined holomorphic mapping. It is evident that $`p`$ is analytic on the domain $`𝒟:=\{\zeta 𝐂:\psi (\zeta )\varphi (𝐂)\}`$. Note that we must have $`p(\zeta )\mathrm{}`$ as $`\zeta 𝒟`$. Otherwise, if $`\zeta _j\zeta _0𝒟`$ and $`p(\zeta _j)c_0𝐂`$ we have $`p(\zeta _0)=\varphi ^1(\psi (\zeta _0))=c_0`$, so $`\psi (\zeta _0)=\varphi (c_0)`$, which means that $`\zeta _0𝒟`$. It follows that $`1/p`$ may be extended to a continuous function on $`𝐂`$ by setting it equal to $`0`$ on $`𝐂𝒟`$. By Rado’s Theorem, then, it follows that $`1/p`$ is holomorphic on $`𝐂`$, which means that $`𝐂𝒟`$ is a discrete set. By the argument above, $`p`$ has a pole at each $`\zeta _0𝐂𝒟`$. But if $`lim_{\zeta \zeta _0}p(\zeta )=\mathrm{}`$, then $`lim_\zeta \mathrm{}\varphi (\zeta )=\psi (\zeta _0)`$, forcing $`\varphi `$ to be constant. This completes the proof of the claim. By Lemma 6.4, $`\psi `$ is at most $`k`$-to-one, it follows that $`p`$ is a polynomial of degree no greater than $`k`$.

If, in addition, $`\mathrm{Ord}(\psi )=k`$, then the multiplicity of the critical point of the origin is already $`k1`$, so we must have $`p(\zeta )=\alpha \zeta ^k`$.

###### Theorem 6.6

Let $`\psi _S`$ be as in Example 2 in §1. Then the definition of $`_p^\mathrm{\#}`$ as given in §1 coincides with the definition given in §4.

Proof. Let $`k`$ be such that $`p𝒥_k^{}`$. Let $`\varphi :𝐂W^u(p)`$ denote the normalized uniformization. If $`\varphi (\zeta )=p+a\zeta +\mathrm{}`$, then $`v_p^\mathrm{\#}=|v/a|`$, according to the definition in §1.

If $`\psi \mathrm{\Psi }_p`$, it follows from Lemma 6.5 that $`\psi (\zeta )=\varphi (c\zeta ^k)`$ for some scalar $`c`$ with $`|c|=1`$. Since any two homogeneous parametrizations agree up to a rotation of parameter, $`a`$ must be maximal, so $`v_p^\mathrm{\#}=|v/a|`$ according to definition in §4.

###### Theorem 6.7

If $`f`$ is quasi-expanding, then $`𝒥_1`$ is an open, dense subset of $`𝒥`$.

Proof. Suppose that $`k`$ is the minimum value of $`\tau `$ on $`𝒥`$. It follows that $`𝒥_k=\{\tau <k+1\}`$ is an open set. Since $`𝒥_k`$ is $`f`$-invariant, and since $`𝒥_k`$ is a nontrivial open subset of the support of $`\mu `$, it follows that $`𝒥_k`$ has full $`\mu `$ measure and is thus dense in $`𝒥=\mathrm{supp}(\mu )`$. It will suffice to show that $`k=1`$.

First we claim that for $`x𝒥_k`$, each $`g\mathrm{\Psi }_x`$ with $`\mathrm{Ord}(g)=k`$ has the form $`g=\psi (\alpha \zeta ^k)`$. Let $`x𝒥_k`$ be a periodic point, and let $`\varphi _x:𝐂W^u(x)`$ denote the uniformization of the unstable manifold, normalized to satisfy (1.3). Let $`g_x\mathrm{\Psi }_x`$ be a map such that $`\mathrm{Ord}(g_x)=k`$. It follows from Lemma 6.5 that $`g_x(\zeta )=\varphi _x(\alpha _x\zeta ^k)`$ with $`|\alpha _x|=1`$. For general $`x_0𝒥_k`$, we may let $`x_j`$ be a sequence of periodic points converging to $`x_0`$. Passing to a subsequence if necessary, we have that $`g_{x_j}=\varphi _{x_j}(\alpha _{x_j}\zeta ^k)`$ converges to $`g_{x_0}\mathrm{\Psi }_{x_0}`$, and $`\alpha _{x_j}\alpha `$. It follows that $`\varphi _{x_j}`$ converges to a function $`\varphi :𝐂𝐂`$ with $`g_{x_0}(\zeta )=\varphi (\alpha \zeta ^k)`$.

For $`xS`$, let $`\psi _x\varphi _S`$. We know that $`\omega (x)𝒥`$, so $`\omega (x)𝒥_i\mathrm{}`$ for some $`1im`$. By Lemma 6.5 there is a polynomial $`p_x(\zeta )`$ of degree no greater than $`m`$, with $`p(0)=0`$, such that $`\varphi (\zeta )=\psi _x(p_x(\zeta ))`$. Thus $`g_x=\psi _x(p_x(\alpha \zeta ^k))`$.

Now let $`h\mathrm{\Psi }_x`$ be an element with $`\mathrm{Ord}(h)=k`$. There exist immersions $`\psi _{x_i}\psi _S`$ which converge to $`h`$. For each $`i`$, let $`g_{x_i}\mathrm{\Psi }_{x_i}`$ be an element such that $`\mathrm{Ord}(g_{x_i})=k`$. Then as above we have a mapping $`\varphi _i`$ such that $`g_{x_i}(\zeta )=\varphi _i(\alpha _i\zeta ^k)`$. Since $`\varphi _i`$ and $`\psi _{x_i}`$ both have the normalization (1.3), we have $`g_{x_k}=\psi _{x_i}(p_{x_i}(\alpha _i\zeta ^k))`$. Since $`\mathrm{\Psi }`$ is a normal family, we may extract a subsequence so that $`g_{x_i}G\mathrm{\Psi }_x`$.

Next we claim that the polynomials $`\{p_{x_i}\}`$ form a normal family. Since the degree of $`p_{x_i}`$ is bounded by $`m`$, it suffices to show that $`\mathrm{max}_{|\zeta |1}|p_{x_i}|`$ is bounded. For each $`i`$, let $`r_i`$ denote the radius of the largest disk centered at the origin and contained in the image $`p_{x_i}(|\zeta |<1)`$. Since $`\varphi _i`$ and $`\psi _{x_i}`$ are normalized according to (1.3), we must have $`r_i1`$. We suppose that $`C_i\mathrm{}`$ and derive a contradiction. We have $`\mathrm{max}_{|\zeta |1}|p_{x_i}(\zeta )|=1`$, so we may extract a subsequence such that $`C_i^1p_{x_i}q`$, a polynomial of degree no greater than $`m`$. Again we have $`q(0)=0`$ and $`\mathrm{max}_{|\zeta |1}|q(\zeta )|=1`$, so that $`q`$ is non-constant. Thus $`q(|\zeta |1)`$ contains neighborhood of the origin. On the other hand, the interior radius $`r_i`$ for $`p_{x_i}`$ is replaced by $`C_i^1r_i0`$, which is a contradiction. Thus $`\{p_{x_i}\}`$ is normal family, and we may pass to a subsequence such that $`p_{x_i}p`$.

Passing to further subsequences, we also have $`g_{x_i}=\psi _{x_i}(p_{x_i}(\zeta ^k))h(p(\zeta ^k))`$. Thus $`G=h(p(\zeta ^k))`$ has order $`k^2`$ at $`\zeta =0`$. Since $`k`$ is the maximal order on $`𝒥_k`$, we have $`k^2k`$, so $`k=1`$.

§7. Regularity

In the sequel we consider points $`x`$ where (†) holds for both $`f`$ and $`f^1`$. We use the superscripts $`u`$ and $`s`$ to distinguish between the “unstable” objects $`V^u`$, $`\mathrm{\Psi }^u`$, $`E^u`$, $`\gamma ^u`$, $`\tau ^u`$, and the “stable” objects $`V^s`$, $`\mathrm{\Psi }^s`$, $`E^s`$, $`\gamma ^s`$, $`\tau ^s`$ (i.e. the corresponding objects for $`f^1`$). With this notation, the backward contraction condition is now written $`\widehat{\lambda }^u(x,n)0`$ as $`n\mathrm{}`$, and forward expansion is written $`\widehat{\lambda }^u(x,n)\mathrm{}`$ as $`n+\mathrm{}`$. By forward contraction we will mean $`\widehat{\lambda }^s(x,n)0`$ as $`n+\mathrm{}`$, and by backward expansion we will mean $`\widehat{\lambda }^s(x,n)\mathrm{}`$ as $`n\mathrm{}`$. $`𝒥_k`$ will now be written $`𝒥_{,k}`$, and the set $`𝒥_j`$ corresponding to $`f^1`$ will be written $`𝒥_{j,}`$. We set $`𝒥_{j,k}=𝒥_{j,}𝒥_{,k}`$.

###### Proposition 7.1

If $`V_x^s`$ and $`V_x^u`$ exist at $`x`$, and if $`x`$ is a point of forward expansion, then $`V_x^sV_x^u`$, i.e. the germs cannot coincide.

Proof. As was noted after (3.1), $`V_x^uJ^{}`$, and $`V_x^sJ^+`$. Thus if $`V_x^s=v_x^u`$, then $`V_x^u\{G^+=0\}`$. If $`\psi \mathrm{\Psi }_x^u`$ is nonconstant, then $`m_\psi (r)=\mathrm{max}_{|\zeta |r}G^+(\psi (\zeta ))`$ vanishes for some $`r>0`$. But by Proposition 1.5 we cannot have $`\lambda (x,n)\mathrm{}`$ as $`n\mathrm{}`$.

We define $`𝒥_{j,k}^{}=\{x𝒥_{j,k}:\alpha (x)𝒥_{j,k}\mathrm{}\}`$.

###### Proposition 7.2

If $`x𝒥_{j,k}^{}`$ is a point of backward contraction, then $`E_x^uE_x^s`$.

Proof. Let us suppose $`E_x^s=E_x^u`$, and let us write $`g=f^1`$. Then by (4. )

$$Df_x^n|_{E_x^s}^{\mathrm{\#},s}=Dg_x^n|_{E_x^s}^{\mathrm{\#},s}1$$

for $`n0`$, where $`^{\mathrm{\#},s}`$ denotes the metric $`||/\gamma _j^s`$ for $`f`$ (or the expanding metric for $`g`$), and

$$Df_x^n|_{E_x^u}^{\mathrm{\#},u}=\lambda (x,n).$$

Let us select a subsequence $`n_j\mathrm{}`$ such that $`f^{n_j}x\widehat{x}𝒥_{j,k}`$. By (6.2) we know that on the compact set $`\{\widehat{x}\}\{f^{n_j}x:j=1,2,3,\mathrm{}\}`$ the metrics $`^{\mathrm{\#},s}`$ and $`^{\mathrm{\#},u}`$ are comparable to the euclidean metric, which contradicts the backward contraction.

We define $`\tau ^\iota (x)`$ to be the order of intersection (or contact) between $`V_x^u`$ and $`V_x^s`$. Specifically, $`\tau ^\iota (x)=1`$ means that $`V_x^u`$ and $`V_x^s`$ meet transversally at $`x`$ in the sense that $`E_x^uE_x^s`$. More generally, we interpret $`\tau ^\iota (x)=\tau `$ to mean that there is a holomorphic coordinate system $`(z,w)`$ in a neighborhood of $`x=(0,0)`$ with

$$[V_{loc}^u(x)V_{loc}^s(x)]\{|z|,|w|<1\}\{|z|,|w|<1,|z||w|^\tau \};$$
$`(7.1)`$
and $`\tau `$ is the minimal value for which this holds. Observe that if $`V_x^{s/u}`$ are singular, then $`\tau `$ need not be an integer. We define $`𝒥_{j,k}^i=\{x𝒥_{j,k}:\tau ^\iota (x)=i\}`$.

If $`f`$ and $`f^1`$ are quasi-expanding, then by Theorem 6.7 $`𝒥_{1,1}`$ is a dense, open subset of $`J^{}`$. Since $`𝒥_{1,}xE_x^s`$ and $`𝒥_{,k}xE_x^u`$ are continuous, and since $`𝒥_{1,1}^1`$ contains the saddle points (where $`E_x^uE_x^s`$) it follows that $`𝒥_{1,1}^1`$ is a dense, open subset of $`J^{}`$.

It is useful to have the following quantitative version of Lemma 7.2.

###### Theorem 7.3

Let $`x𝒥_{j,k}^{}`$ be a point of backward contraction. Let $`\tau =[\tau ^\iota (x)]`$ denote the greatest integer in $`\tau ^\iota (x)`$. Then $`\tau ^s(\widehat{x})j\tau `$ for all $`\widehat{x}\alpha (x)`$.

Proof. Let $`(x,y)`$ be a coordinate system satisfying (7.1). For variables $`(A,B)`$ in this coordinate system we have

$$f^n(A,B)=\alpha _0(n)+\alpha _1(n)A+\mathrm{}+\alpha _{\tau 1}(n)A^{\tau 1}+O(|A|^\tau +|B|)$$

with $`\alpha _j(n)𝐂^2`$. Our first object is to show that $`\alpha _r(n)0`$ for $`1r\tau 1`$ as $`n\mathrm{}`$. Let us choose $`\psi ^u\mathrm{\Psi }_x^u`$ such that

$$\psi ^u(\zeta )=(c\zeta ^k,0)+O(\zeta ^{k+1})$$

for some $`c0`$. If we set $`\lambda =\lambda ^u(\psi ^u,n)`$ and $`\alpha _j=\alpha _j(n)`$, then we have

$$\stackrel{~}{f}^n\psi ^u(\zeta )=f^n\psi ^u(\lambda ^1\zeta )=\alpha _0+\underset{r=1}{\overset{\tau 1}{}}\alpha _r\left(c\lambda ^k\zeta ^k+O(\lambda ^{k1}\zeta ^{k+1})\right)^r+\mathrm{}$$

The power series coefficients of $`\stackrel{~}{f}^n\psi ^u(\zeta )`$ are bounded as $`n\mathrm{}`$. The coefficient of $`\zeta ^k`$ is $`\alpha _1c\lambda ^k`$. By the backward contraction we have $`\lambda 0`$ as $`n\mathrm{}`$; and since $`c0`$, it follows that $`\alpha _10`$ as $`n\mathrm{}`$.

To proceed by induction, let us suppose that $`\alpha _t(n)0`$ for $`1tr1`$ as $`n\mathrm{}`$. The coefficient of $`\zeta ^{rk}`$ is

$$(\alpha _1E_1+\mathrm{}+\alpha _{r1}E_{r1}+\alpha _rc^r)\lambda ^{kr}.$$

Here the $`E_t`$ denote expressions in the coefficients of $`\psi ^u`$ which are independent of $`n`$. Since $`\alpha _t0`$ as $`n\mathrm{}`$ for $`1tr1`$, it follows that $`\alpha _rc^r\lambda ^{kr}`$ is bounded, so $`\alpha _r0`$ as $`n\mathrm{}`$.

Now we write $`\psi ^s(\zeta )=(\psi _1^s(\zeta ),\psi _2^s(\zeta ))=(c\zeta ^j,0)+O(\zeta ^{j+1})`$ for some nonzero constant $`c`$. If we set $`\lambda =\lambda ^s(\psi ^s,n)`$ and $`\alpha _r=\alpha _r(n)`$, we have

$$\begin{array}{cc}\hfill \stackrel{~}{f}^n\psi ^s& =f^n\psi ^s(\lambda ^1\zeta )\hfill \\ & =\alpha _0+\underset{r=1}{\overset{\tau 1}{}}\alpha _r\left(c(\lambda ^1\zeta )^j+O((\lambda ^1\zeta )^{j+1})\right)^r+O(|\psi _1^s|^\tau +|\psi _2^s|).\hfill \end{array}$$

For $`\widehat{x}\alpha (x)`$ there exists a sequence $`n_i\mathrm{}`$ such that $`f^{n_i}(x)\widehat{x}`$. We may pass to a subsequence so that $`\stackrel{~}{f}^{n_i}\psi ^s`$ converges to an element $`\widehat{\psi }\mathrm{\Psi }_{\widehat{x}}^s`$. Now we have $`\alpha _r0`$ for $`n\mathrm{}`$ for $`1r\tau 1`$, and (always) $`|\lambda _n^s|^11`$, so it follows that all the coefficients of the terms

$$\alpha _r\left(c\lambda ^j\zeta ^j+O(\lambda ^{j1}\zeta ^{j+1})\right)^r$$

tend to zero as $`n=n_i\mathrm{}`$. We conclude that the only nonvanishing terms in $`\widehat{\psi }`$ arise from the expression $`O(|\psi _1^s|^\tau +|\psi _2^s|)`$. However, $`(\psi _1^s)^\tau =O(\zeta ^{j\tau })`$ by definition, and $`|\psi _2^u|C|\psi _1^u|^\tau =O(\zeta ^{j\tau })`$ by the tangency condition. It follows that $`\mathrm{Ord}(\widehat{\psi })j\tau `$.

If $`V`$ is a germ of a variety at $`x𝐂^2`$ which is locally irreducible at $`x`$, then there is a holomorphic coordinate system $`(w,z)`$ in a neighborhood of $`x`$ such that $`x=(0,0)`$, and $`V`$ is represented near $`(0,0)`$ in terms of a Puiseaux series

$$w=a_jz^{j/m}+a_{j+1}z^{(j+1)/m}+\mathrm{}=\underset{n=j}{\overset{\mathrm{}}{}}a_nz^{n/m}.$$
$`(7.2)`$
(See \[Ch, §10\] for details.) Choosing the $`z`$-axis to be the tangent cone, we have $`j/m>1`$. If $`j/m𝐙`$, we may replace $`w`$ by $`w^{}=wa_jz^{j/m}`$. If $`V`$ is regular at $`x`$, i.e. if $`V`$ is a complex manifold in a neighborhood of $`x`$, then we may continue this procedure and obtain a coordinate system $`(w^{},z^{})`$ such that $`V=\{w^{}=0\}`$ in a neighborhood of the origin. If $`V`$ is not regular, we may continue this procedure to the point where we have $`a_j0`$, $`j/m𝐙`$, and $`j/m>1`$.

###### Theorem 7.4

Let $`x𝒥_{jk}^{}`$ be a point of backward contraction. Then $`V_x^u`$ is a (nonsingular) manifold in a neighborhood of $`x`$.

Proof. Suppose that $`V_x^u`$ is not regular at $`x`$. Choose a holomorphic coordinate system $`(z,w)`$ at $`x=(0,0)`$ such that $`V_x`$ has a Puiseux representation (7.1) with $`a_j0`$, $`j/m𝐙`$, and $`j/m>1`$. Now choose $`\psi \mathrm{\Psi }_x^{k,u}`$. We may assume that $`\psi `$ has the form

$$\psi (\zeta )=(\psi _1(\zeta ),\psi _2(\zeta ))=(\zeta ^k+c_{k+1}\zeta ^{k+1}+\mathrm{},\zeta ^{\mathrm{}}+\mathrm{})$$

with $`\mathrm{}/k=j/m`$. Let us define coefficients $`\alpha _{r,t}(n)𝐂^2`$ such that

$$f^n(A,B)=\underset{r,t=1}{\overset{\mathrm{}}{}}\alpha _{r,t}(n)A^rB^t.$$

If we set $`\lambda =\lambda ^u(x,n)`$ and $`\alpha _{r,t}=\alpha _{r,t}(n)`$, then

$$\stackrel{~}{f}^n\psi (\zeta )=f^n(\psi (\lambda ^1\zeta ))=\alpha _{0,0}+\alpha _{1,0}(\lambda ^k\zeta ^k+\mathrm{})+\mathrm{}+\alpha _{1,0}(\lambda ^{\mathrm{}}\zeta ^{\mathrm{}}+\mathrm{}).$$

Since $`\{\stackrel{~}{f}^n\psi :n0\}`$ is a normal family, all of its power series coefficients are bounded. The coefficient of $`\zeta ^k`$ is $`\alpha _{1,0}\lambda ^k`$. Now by backward contraction it follows that $`\alpha _{1,0}0`$ as $`n\mathrm{}`$.

Define $`q`$ by the property $`kq<\mathrm{}<k(q+1)`$. We next show that $`\alpha _{t,0}0`$ as $`n\mathrm{}`$, for $`1tq`$. We proceed by induction, assuming that $`\alpha _{t,0}0`$ for $`1tr1`$. The coefficient of $`\zeta ^{rk}`$ in $`\stackrel{~}{f}^n\psi `$ is

$$\lambda ^{rk}[\alpha _{1,0}E_{r,1}+\alpha _{2,0}E_{r,2}+\mathrm{}+\alpha _{r1,0}E_{r,r1}+\alpha _{r,0}]$$

where $`E_{r,t}`$ denotes a polynomial in the coefficients of $`\psi `$. Now $`E_{r,t}`$ is independent of $`n`$, and $`\alpha _{1,0},\mathrm{},\alpha _{r1,0}0`$ as $`n\mathrm{}`$, so we conclude that $`\alpha _{r,0}0`$. Similarly, the coefficient of $`\zeta ^{\mathrm{}}`$ is

$$\lambda ^{\mathrm{}}[\alpha _{0,1}+\alpha _{1,0}E_{\mathrm{},1}+\mathrm{}+\alpha _{q,0}E_{\mathrm{},q}],$$

and we conclude that $`\alpha _{0,1}0`$ as $`n\mathrm{}`$.

We conclude, therefore, that $`Df^n0`$ as $`n\mathrm{}`$. But let $`\widehat{x}\alpha (x)𝒥_{j,k}`$ be given, and extract a subsequence $`n_j\mathrm{}`$ such that $`f^{n_j}\widehat{x}`$. We let $`g=f^1`$, and apply Proposition 6.1 to $`g`$. We conclude that $`Dg^{n_j}|E_{g^{n_j}x}^e`$ is bounded below by a constant (since we always have $`\lambda (x,n_j)1`$). Thus $`Df^n`$ cannot tend to zero, and thus $`V_x`$ cannot have a singular Puiseux representation.

###### Corollary 7.5

Let $`x𝒥_k^{}`$ be a point of backward contraction. Then, modulo rotation, there is exactly one element of $`\mathrm{\Psi }_x^{k,u}`$, and this is a homogeneous parametrization. Further, for $`\psi \mathrm{\Psi }_x^{k,u}`$,

$$\widehat{\lambda }_x^k=|\lambda _\psi |^k=Df_x^\mathrm{\#}.$$

Proof. Let $`\psi \mathrm{\Psi }_x^{k,u}`$ be given. By Theorem 7.4, $`V_x`$ is a regular variety at $`x`$. Thus we may define a branch of $`\varphi (\zeta ):=\psi (\zeta ^{1/k})`$, which is holomorphic at $`\zeta =0`$. Thus $`\varphi ^{}(0)0`$. By Lemma 6.4, $`\psi ^{}(\zeta )0`$ for $`\zeta 0`$, so it follows that $`\varphi `$ is an immersion. The uniqueness of $`\psi `$ now follows from Lemma 6.5. The equation now follows from (6.1).

We have noted earlier that $`𝒥_{,k}xE_x^u`$ is continuous. It follows that the points of $`𝒥_{,k}^{}`$ are points of continuity of the metric $`𝒥_{,k}x_x^\mathrm{\#}`$ on $`E^u`$.

###### Corollary 7.6

Let $`x𝒥_{j,k}^{}`$ be a point of backward contraction. Then

$$_x^\mathrm{\#}=\underset{𝒥_{j,k}yx}{lim}_y^\mathrm{\#}.$$

Proof. For $`y𝒥_{j,k}`$, we choose $`\psi _y\mathrm{\Psi }_y^{k,u}`$ such that $`v_y^\mathrm{\#}=|v/(\psi _y^{(k)}(0)/k!)|`$. If $`\{y_i\}𝒥_{j,k}`$ is any sequence converging to $`x`$, then $`\psi _{y_i}`$ converges to an element of $`\mathrm{\Psi }_x^{k,u}`$. Since $`\mathrm{\Psi }_x^{k,u}`$ consists of homogeneous paramterizations, which are essentially unique, $`lim_i\mathrm{}\psi _{y_i}`$ exists (modulo rotation), and thus the norms must converge.

§8. Hyperbolicity

In this section we explore conditions that imply that $`f`$ is (uniformly) hyperbolic, as well as ways in which hyperbolicity can fail. For instance in Theorem 8.3 we show that purely geometric conditions on $`J^\pm `$ are sufficient to guarantee hyperbolicity. We show in Theorem 8.4 if $`f`$ is quasi-expanding, quasi-contracting and expansive, then $`f`$ is uniformly hyperbolic.) Finally, we show (Corollary 8.10) that for a special class of non-hyperbolic maps there are points of tangency, i.e. points where $`E_x^s=E_x^u`$.

In this section let us make the standing assumption that, unless mentioned otherwise, $`f`$ is quasi-expanding and quasi-contracting.

###### Proposition 8.1

If $`S𝒥_{j,k}^i`$ is a compact, invariant set, then $`i=1`$, and $`S`$ is a (uniformly) hyperbolic set for $`f`$.

Proof. Recall that $`𝒥_{jk}xE_x^{s/u}`$ is continuous. By the compactness of $`S`$ we have $`\alpha (x)S𝒥_{jk}^i`$ for all $`xS`$. Thus by Lemma 7.2 $`E_x^sE_x^u`$, and so $`i=1`$. This gives us a continuous splitting of $`T_x𝐂^2`$ for $`xS`$, and so by compactness the angle between $`E_x^s`$ and $`E_x^u`$ is bounded below. The uniform expansion/contraction of $`Df`$ on $`E^{s/u}`$ follows from Proposition 6.1.

Consider the (finite) collection of index pairs $`(j,k)`$ for which $`𝒥_{jk}\mathrm{}`$. We define a partial ordering on this collection of index pairs as follows. We say $`(j,k)(a,b)`$ if $`ja`$, $`kb`$, and $`𝒥_{jk}\mathrm{}`$. By the semicontinuity of $`\tau ^s`$ and $`\tau ^u`$, $`𝒥_{jk}`$ is compact for a maximal pair $`(j,k)`$. By Proposition 8.1, then, $`𝒥_{jk}`$ is a hyperbolic set for all maximal pairs $`(j,k)`$.

Let us consider ways in which hyperbolicity can fail to hold for $`f`$. If $`f`$ and $`f^1`$ are both quasi-expanding, then hyperbolicity (or the failure of hyperbolicity) along an orbit is determined by the position of the orbit with respect to the strata $`𝒥_{j,k}^i`$. For a point $`x𝒥_{j,k}^1`$, there is always uniform contraction in the direction $`E_x^s`$ along the forward orbit (apply Proposition 6.1 to $`f^1`$). If $`Df^n|E_x^u`$ is not uniformly expanding for $`n0`$, then there is a subsequence $`n_l\mathrm{}`$ for which $`f^{n_l}x\{\tau ^u>k\}`$. An alternative is that hyperbolicity may fail along a forward orbit because the angle between $`E_{f^nx}^s`$ and $`E_{f^nx}^u`$ is not bounded below. In this case we have a subsequence $`\{n_l\}`$ with $`f^{n_l}x\{\tau ^\iota >1\}`$. By similar reasoning, we see that the failure of hyperbolicity along a backward orbit is caused either by $`f^{n_m}x\{\tau ^s>j\}`$ or by $`f^{n_m}x\{\tau ^\iota >1\}`$, or both.

Theorem 8.3 gives a criterion for hyperbolicity for general polynomial diffeomorphisms (that is to say we make no a priori assumption that $`f`$ is quasi-expanding and quasi-contracting) which refers only to the geometry of $`J^+`$ and $`J^{}`$ and makes no direct reference to $`f`$. For this we will need a preliminary result.

###### Lemma 8.2

Let $`𝒩𝐂^2`$ be an open set, and let $``$ be a Riemann surface lamination of $`𝒩K^+`$. If $`T`$ is a smooth 2-dimensional transversal to $``$ at $`p𝒩K^+`$, then $`p`$ is in the closure of $`TK^+`$.

Proof. Since $``$ is a lamination, there is a neighborhood $`𝒰`$ of $`p`$ such that the restriction $`|𝒰`$ is homeomorphic to the trivial lamination of $`S\times \mathrm{\Delta }`$, where $`\mathrm{\Delta }`$ is the unit disk, and $`S\mathrm{\Delta }`$ is closed. By Slodkowski \[S\], $``$ may be extended to a lamination $`^{}`$ of $`𝒰`$. Shrinking $`𝒰`$, we may suppose that the restriction $`^{}|𝒰`$ is homeomorphic to the (trivial) lamination of $`\mathrm{\Delta }\times \mathrm{\Delta }`$, whose leaves are $`\{q\}\times \mathrm{\Delta }`$.

Since $`^{}`$ extends a lamination of $`𝒰K^+`$, there are sets $`S_0,S_1\mathrm{\Delta }`$ such that the leaves corresponding to $`\{q\}\times \mathrm{\Delta }`$ fill out $`𝒰K^+`$ as $`q`$ ranges over $`S_0`$ and they fill out $`𝒰K^+`$ as $`q`$ ranges over $`S_1`$. Further, the leaves corresponding to $`S_0`$ fill out $`𝒰K^+`$.

For $`x\mathrm{\Delta }`$, we define $`\chi (x)`$ as the intersection point of $`T`$ and the leaf corresponding to $`\{x\}\times \mathrm{\Delta }`$. Since $`T`$ is transversal, $`\chi `$ is defined and continuous (possibly after shrinking $`𝒰`$). Let $`\widehat{p}S_0`$ be such that $`\chi (\widehat{p})=p`$. Now there are points $`qS_1`$ arbitrarily close to $`\widehat{p}`$, and so the points $`\chi (q)TK^+`$ are arbitrarily close to $`p`$.

In the following theorem we make no a priori assumption about quasi-expansion or quasi-contraction.

###### Theorem 8.3

A polynomial diffeomorphism of $`𝐂^2`$ is hyperbolic on $`J^{}`$ (resp. $`J`$) if and only if there is a neighborhood $`𝒩`$ of $`J^{}`$ (resp. $`J`$), and Riemann surface laminations $`^\pm `$ of $`𝒩J^\pm `$ such that $`^+`$ and $`^{}`$ intersect transversely at all points of $`J^{}`$ (resp. $`J`$).

Proof. We start by working with $`J^{}`$. The fact that this lamination structure exists for a hyperbolic set of a diffeomorphism is standard. We will prove the converse. For a saddle point $`p`$, it follows from (7) of \[BS6, Theorem 2.1\] that $`W^u(p)`$ is a leaf of $`^{}`$. The lamination hypothesis implies that the leaves of $`^{}`$ may be written locally as a family of graphs of holomorphic functions. Since bounded analytic functions have locally bounded first derivatives, this implies that the bounded area condition (3.1) holds. For each $`pJ^{}`$, whether or not $`p`$ is a saddle, the variety $`V^u(p,ϵ)`$ is a manifold which is transversal to $`^+`$ at $`p`$. By Lemma 8.2, $`V^u(p,ϵ)`$ intersects $`𝐂^2K^+`$ arbitrarily close to $`p`$. In particular the function $`G^+`$ is positive on $`V^u(p,ϵ)`$. Compactness of the set of varieties $`V^u(p,ϵ)`$ gives a positive lower bound for the maximum of $`G^+`$ on $`V^u(p,ϵ)`$ which is independent of $`p`$. Thus by Theorem 3.4, $`f`$ is quasi-expanding. By Proposition 5.3, $`𝒥_1=J^{}`$. By similar arguments, $`f^1`$ is quasi-expanding, and $`J^{}=𝒥_{1,1}`$. By Proposition 8.1, then, $`J^{}`$ is a hyperbolic set for $`f`$.

Now let us deal with $`J`$. Under our hypotheses the currents $`\mu ^\pm `$ supported on $`J^\pm `$ are given by transverse measures. Thus the wedge product, $`\mu `$, can be interpreted locally as a product measure. It follows that the support of $`\mu `$, which is a priori a subset of $`J`$, is actually equal to $`J`$. But the support of $`\mu `$ is $`J^{}`$. According to the previous paragraph, $`J=J^{}`$ is a hyperbolic set for $`f`$.

Let $`\psi =(\psi _1,\psi _2)=(z(\zeta ),w(\zeta )):(𝐂,0)(𝐂^2,x)`$ be a germ of a holomorphic mapping, and let $`V(\psi )`$ denote the induced germ at $`x`$. Then $`V(\psi )`$ has a Puiseux representation (7.2) with $`j>m`$, so that $`V(\psi )`$ is tangent to the $`z`$-axis. Since $`V(\psi )`$ is locally irreducible at $`x`$, we may assume that $`\mathrm{gcd}(m,n_1,n_2,\mathrm{})=1`$, where $`n_i`$ is a listing of all the numbers such that $`a_{n_i}0`$.

Let us recall some facts about complex varieties. (See \[Ch, §10,§12\] for details). For a point $`yV`$, we let $`\mu (V,y)`$ denote the multiplicity of $`V`$ at $`y`$. This number is defined by the property that for a generic complex line $`L`$ passing near $`y`$, $`LV`$ contains exactly $`\mu (V,y)`$ points near $`y`$. $`V`$ is regular at $`y`$ if and only if $`\mu (V,y)=1`$. If $`V`$ is written as a Puiseux expansion (7.2), with $`\mathrm{gcd}(m,n_1,n_2,\mathrm{})=1`$, then any line $`L`$ transversal to $`\{w=0\}`$ and passing near $`(0,0)`$ will intersect $`V`$ in $`m`$ points near the origin. Thus $`\mu (V,x)=m`$.

If $`\mathrm{Ord}(\psi )=k`$, then $`\mathrm{Ord}(\psi _1)=km`$, and $`\mathrm{Ord}(\psi _2)=kj/m>k`$. Let $`\xi (\zeta )=\zeta +\mathrm{}`$ be a germ of a holomorphic function such that $`\psi _1(\zeta )=c\xi ^k`$ near $`\zeta =0`$. We may assume that $`c=1`$. We may write $`\psi _2(\zeta )=c_n\xi ^n`$. This gives another Puiseux representation for $`V`$: $`w=c_nz^{n/k}`$. On the other hand, the Puiseux representation is essentially unique. So $`m`$ divides $`k`$, and we may set $`p:=k/m𝐙`$. Thus we may write $`\psi (\zeta )=\varphi (\xi ^p)=(\varphi _1(\xi ^p),\varphi _2(\xi ^p))`$, where $`\varphi _1(t)=t^{k/p}`$, and $`\varphi _2(t)=_{n=j}^{\mathrm{}}a_nt^{n/p}`$, where $`n`$ is divisible by $`p`$ whenever $`a_n0`$.

To summarize, if $`\mathrm{Ord}(\psi )=k>m`$, then $`m`$ divides $`k`$, and $`\psi `$ covers the variety $`V`$ exactly $`p=k/m`$ times. The relation between the multiplicity (order) of the parametrizing function and the multiplicity of the variety is thus

$$\mathrm{Ord}(\psi )=p\mu (V,x).$$
$`(8.1)`$
In the sequel we will treat $`V(\psi )`$ as the variety $`V`$, but counted with multiplicity $`p`$. One reason for introducing multiplicities is that it makes it easier to view varieties as currents: if $`\varphi _j`$ is a sequence of nonsingular mappings which converge to $`\varphi `$ in some neighborhood of the origin, then the corresponding germs $`V(\varphi _j)`$ converge as currents (in some neighborhood of $`x`$) to the current defined by $`V(\psi )`$ counted with multiplicity $`p`$.

If $`V_1`$ and $`V_2`$ are 1-dimensional varieties which intersect only at $`x`$, we may define $`\iota _x(V_1,V_2)`$, the intersection number at $`x`$. This number has the property that for almost every small $`\tau _1,\tau _2𝐂^2`$ the translates $`V_j+\tau _j`$, $`j=1,2`$, intersect in $`\iota _x(V_1,V_2)`$ points near $`x`$. In general, we have

$$\iota _x(V_1,V_2)\mu _x(V_1)\mu _x(V_2).$$

Equality holds if the tangent cones of $`V_1`$ and $`V_2`$ at $`x`$ are distinct. The intersection number behaves continuously: if $`V_1^j`$ (resp. $`V_2^j`$) are sequences of varieties that converge in the sense of currents to $`V_1`$ (resp. $`V_2`$), then for $`jj_0`$, we have

$$\iota _x(V_1^j,V_2^j)=\iota _x(V_1,V_2).$$

Now let $`\psi _j`$, $`j=1,2`$ be a germs of a mapping that define the varieties $`V_j`$, $`j=1,2`$. If $`x`$ is an isolated point of intersection of $`V_1`$ and $`V_2`$, then

$$\begin{array}{cc}\hfill \iota _x(V(\psi _1),V(\psi _2))& =p_1p_2\iota _x(V_1,V_2)\hfill \\ & p_1p_2\mu _x(V_1)\mu _x(V_2)=\mathrm{Ord}(\psi _1)\mathrm{Ord}(\psi _2)\hfill \end{array}$$
$`(8.2)`$
These properties of varieties give us the following:

###### Lemma 8.4

Let $`\psi _j:\{|\zeta |<1\}𝐂^2`$, $`j=1,2`$ be nonconstant mappings with $`\psi _1(0)=\psi _2(0)`$. Set $`m_j=\mathrm{Ord}(\psi _j)`$, and let $`r>0`$ be given. Then for $`\widehat{\psi }_j`$ sufficiently close to $`\psi _j`$, there are sets $`X_j\{|\zeta |<r\}`$ such that

$$\underset{aX_j}{}\iota (V_1,V_2,\widehat{\psi }_j(a))\mathrm{Ord}(\widehat{\psi }_j,a)m_j,$$

where $`\mathrm{Ord}(\widehat{\psi }_j,a)=\mathrm{Ord}(\widehat{\psi }_j(\zeta a))`$ denotes the order of $`\widehat{\psi }_j`$ at $`\zeta =a`$.

An important topological dynamical consequence of hyperbolicity is the shadowing property. The following result gives us a quantitative measure of the failure of uniqueness of shadowing.

###### Theorem 8.5

Suppose that $`f`$ is quasi-expanding and quasi-contracting. If $`x𝒥_{j,k}`$, then for $`ϵ>0`$ there is a set $`XJ^{}`$ containing $`jk`$ elements such that

$$\underset{n𝐙}{sup}\underset{a,bX}{\mathrm{max}}dist(f^na,f^nb)<ϵ.$$

Proof. Choose $`\psi ^s\mathrm{\Psi }_x^s`$ with $`\mathrm{Ord}(\psi ^s)=j`$ and $`\psi ^u\mathrm{\Psi }_x^u`$ with $`\mathrm{Ord}(\psi ^u)=k`$. If $`\{p_i\},\{q_j\}S`$ are sequences converging to $`x`$ with $`\varphi _{p_i}\psi ^s`$ and $`\varphi _{q_i}^u\psi ^u`$, then by Lemma 6.4 of \[BLS\], we may assume that $`\varphi _{p_i}^s(|\zeta |<1)`$ (resp. $`\varphi _{p_i}^s(|\zeta |<1)`$) intersects $`\psi ^u(|\zeta |<1)`$ (resp. $`\psi ^s(|\zeta |<1)`$) transversally.

Let $`M=sup_{\psi \mathrm{\Psi }}\mathrm{max}_{|\zeta |1}|\psi ^{}(\zeta )|`$, and set $`r=ϵ/M`$. Let $`X^s,X^u\{|\zeta |<r\}`$ be the sets given by Lemma 8.4. Since $`\varphi _{p_i}^s`$ and $`\varphi _{q_i}^u`$ are immersions, the order at each point is equal to 1. And since the immersions are transversal for $`i`$ sufficiently large, the intersection numbers are 1. Thus each set $`X^s`$ and $`X^u`$ contains at least $`jk`$ points.

Let $`X=\{\varphi _{p_i}^s(\zeta ):\zeta X^s\}=\{\varphi _{q_i}^u(\zeta ):\zeta X^u\}`$. Thus for $`n0`$ we have

$$\underset{a,bX}{\mathrm{max}}dist(f^na,f^nb)=\underset{\zeta ^{},\zeta ^{\prime \prime }X^s}{\mathrm{max}}dist(f^n\varphi _{p_i}^s(\zeta ^{}),f^n\varphi _{p_i}^s(\zeta ^{\prime \prime }))$$

$$=\underset{\zeta ^{},\zeta ^{\prime \prime }X^s}{\mathrm{max}}dist(\varphi _{p_i}^s(\lambda _n^{}\zeta ^{}),\varphi _{p_i}^s(\lambda _n^{\prime \prime }\zeta ^{\prime \prime }))\underset{|\zeta |\kappa ^nr}{\mathrm{max}}|\varphi _{p_i}^s(\zeta )^{}|\kappa ^nrMϵ.$$

For $`n0`$, we use $`\varphi _{q_i}^u`$ instead, and we conclude that the diameter of $`f^nX`$ is no greater than $`ϵ`$ for all $`n𝐙`$.

Note that if the varieties $`V_x^s`$ and $`V_x^u`$ are tangent, then the set $`X`$ may be taken to have strictly more than $`jk`$ elements.

###### Corollary 8.6

Suppose that $`f`$ is quasi-expanding and quasi-contracting, but $`f`$ is not hyperbolic on $`J^{}`$. Then $`f`$ is not expansive.

Proof. If $`f`$ is not hyperbolic, it follows from Proposition 8.1 that $`𝒥_{j,k}\mathrm{}`$ for some index pair $`(j,k)(1,1)`$. By Theorem 8.5, then, $`f`$ is not expansive.

Since hyperbolic mappings are expansive, and expansivity is preserved under topological conjugacy, we have the following.

###### Corollary 8.7

If $`f`$ is quasi-expanding and quasi-contracting but not hyperbolic, then $`f`$ is not topologically conjugate to a hyperbolic map.

We will use the following result, which is a special case of Proposition 5.1 of \[V\].

###### Lemma 8.8

Suppose that $`V`$ is a subvariety of the bidisk $`\{|z|,|w|<1\}`$, and suppose that the projection to the $`z`$-axis is proper and has degree bounded by $`m<\mathrm{}`$. For any $`ϵ>0`$ there is a $`\delta >0`$, depending only on $`ϵ`$ and $`m`$, such that if $`\stackrel{~}{V}`$ is a connected component of $`V\{|z|<\delta \}`$, then the diameter of $`\stackrel{~}{V}`$ is less than $`ϵ`$.

We refer to $`𝒞:=J^{}𝒥_{1,1}`$ as the singular locus of $`f`$. In the following results, we consider $`f`$ for which $`𝒞`$ is finite. This is parallel to the critical finiteness condition in one complex dimension. Note that if $`𝒞`$ is finite, then $`𝒞`$ consists of saddle points, and $`𝒱^{s/u}`$ are regular on $`J^{}`$ and form laminations on $`𝒥_{1,1}=J^{}𝒞`$. Further, $`E^s`$ and $`E^u`$ are transverse at $`𝒞`$. Thus the set of tangencies, written $`𝒯=\{xJ^{}:E_x^s=E_x^u\}`$, is a subset of $`𝒥_{1,1}=J^{}𝒞`$.

###### Proposition 8.9

Let $`f`$ be quasi-expanding and quasi-contracting, and let $`𝒞`$ be finite. Then for each tangency $`r𝒯`$, there are points $`p,q𝒞`$ such that $`rW^s(p)W^u(q)`$.

Proof. If $`r𝒯`$, then $`\alpha (r)𝒞`$ by Theorem 7.3. Thus $`rW^u(q)`$ for some $`q𝒞`$. Similarly, $`\omega (r)𝒞`$, so $`rW^s(p)`$ for some $`p𝒞`$.

###### Theorem 8.10

If $`f`$ is quasi-expanding and quasi-contracting, and if $`𝒞`$ is finite, then $`𝒯`$ is a discrete subset of $`𝒥_{1,1}`$, and the closure of $`𝒯`$ is $`𝒯𝒞`$.

Proof. Since $`𝒞=J^{}𝒥_{1,1}`$ is finite, it consists of periodic points, which must be saddle points by Corollary 6.3. Saddle points are not points of tangency, so $`𝒯𝒥_{1,1}`$. The families of varieties $`𝒱^s`$ and $`𝒱^u`$ are laminations in a neighborhood of $`𝒥_{1,1}`$. Thus any tangency must be isolated by Lemma 6.4 of \[BLS\].

Now let us fix a saddle point $`x𝒞`$; and passing to a higher iterate of $`f`$, we may assume it is a fixed point. It follows that $`x𝒥_{j,k}`$ for some index pair $`(j,k)(1,1)`$. We may assume that $`k>1`$. Consider a coordinate system $`(z,w)`$ such that $`x=(0,0)`$, and $`f`$ is essentially linear on $`:=\{|z|,|w|<1\}`$, with uniform expansion in the horizontal direction and uniform contraction in the vertical direction. Given $`\rho >0`$, we may choose small $`r>0`$ and $`0<\rho _1<\rho _2<1`$ such that for any point $`q`$ of $`\{|z|<1,|w|<r\}`$ there is an $`n>0`$ such that $`f^nq`$ belongs to $`S:=\{|z|<\rho ,\rho _1<|w|<\rho _2\}`$. For $`\rho ,\rho _2`$ and $``$, let $`𝒱^s()`$ and $`𝒱^u()`$ denote the set of varieties in $``$ corresponding to $`V^{s/u}(x)`$ for $`x\{|z|<\rho ,|w|<\rho _2\}`$. We will choose $`\rho ,\rho _2`$ and $``$ small enough that for $`xJ^{}\{|z|<\rho ,|w|<\rho _2\}`$, $`V_x^u`$ is a subvariety of $`\{|z|<1,|w|<1\}`$, with proper projection to the $`z`$-axis and a uniform bound on the mapping degree of the projection.

Let us choose $`\psi \mathrm{\Psi }_x^{k,u}`$, and let $`\{p_i\}S`$ be a sequence such that $`\varphi _{p_i}`$ converges to $`\psi `$. For $`i`$ sufficiently large, we have $`V(p_i)\{|z|<1,|w|<r\}`$, and we may choose the first $`n_i`$ such that $`f^nV^u(p_i)S\mathrm{}`$. Let us choose a subsequence of $`\{\stackrel{~}{f}^{n_i}\psi _{p_i}\}`$ which converges to a limit $`\stackrel{~}{\psi }\mathrm{\Psi }_y`$ for some $`y`$ in the closure of $`S`$. Since $`V^u(y)V^u(x)`$, it follows that $`y𝒥_{,1}`$.

Given $`ϵ>0`$, let us choose $`\delta >0`$ as in Lemma 8.8. For $`i`$ sufficiently large, $`\stackrel{~}{V}_i:=V^u(p_i)\{|z|<\delta \}`$ is connected. Since $`n_i`$ was chosen for the first time $`f^{n_i}V_i`$ intersects $`S`$, it follows that $`f^{n_i}\stackrel{~}{V}_i`$. Since $`f`$ is contracting in the $`z`$-direction, it follows that the projection of $`f^{n_i}\stackrel{~}{V}_i`$ to the $`z`$-axis has diameter less than $`\delta `$. By Lemma 8.8, then the diameter of $`f^{n_i}\stackrel{~}{V}_i`$ is less than $`ϵ`$.

To see that $`V(y)`$ intersects $`W_{loc}^s(p)`$ tangentially, we recall that $`V^u(\psi _{p_i})V^s(x)`$ consists of $`k`$ points, which are also contained in $`f^{n_i}\stackrel{~}{V}_i`$. By Lemma 8.8, the set of intersection has diameter no greater than $`ϵ>0`$. Since these points remain inside a compact subset of $``$, it follows that the intersection multiplicity of $`V^u(y)`$ and $`W_{loc}^s(p)`$ is also $`k`$, and the diameter of the set of intersection is $`ϵ`$. Since $`ϵ`$ may be taken arbitrarily small, $`V^u(y)`$ intersects $`W_{loc}^s(p)`$ in a single point of multiplicity $`k`$. Since $`k>1`$, this is a tangency.

Taking into account the multiplicity $`k`$ in the last paragraph of this proof, we have the following.

###### Corollary 8.11

Suppose that $`f`$ is quasi-expanding and quasi-contracting but is not hyperbolic. If $`𝒞`$ is finite, then $`𝒞\mathrm{}`$, and there are points of tangency. More precisely, if $`p𝒥_{j,k}`$, $`k>1`$, then there is a point $`yW^s(p)`$ where $`W^u(y)`$ is tangent to $`W^s(p)`$, and the order of contact is $`k`$. Conversely, if $`yW^s(p)`$ is a point of tangency between $`W^s(p)`$ and $`W^u(y)`$, then the order of contact is no greater than $`k`$.

§A. Appendix: One-dimensional Mappings

In this paper we have developed an approach to the study of a dynamically well behaved family of maps of $`𝐂^2`$ via a family of immersions from $`𝐂`$ into $`𝐂^2`$. In this Appendix we explore a similar approach to one-dimensional mappings. Our purpose is to justify the analogy between semi-hyperbolicity in $`𝐂`$ and quasi-hyperbolicity in $`𝐂^2`$. This is achieved in Theorem A.5.

Let us consider a polynomial mapping $`g:𝐂𝐂`$ of degree $`d>1`$. Let $`J=J_g`$ denote the Julia set, and let $`K=K_g`$ denote the filled Julia set, so $`J=K`$. Let $`G=G_K`$ denote the Green function of $`𝐂K`$ with pole at infinity. Let $`SJ`$ denote the set of repelling periodic points. For each $`xS`$ we let $`n`$ denote the period of $`x`$, so that $`g^nx=x`$. We define $`\lambda (x,n):=g^n(x)^{}`$ and $`L_n(\zeta )=\lambda (x,n)\zeta `$. There is a (linearizing) function $`\varphi _x:𝐂𝐂`$ such that

$$\varphi _x(0)=x,\mathrm{and}g^n\varphi _x(\zeta )=\varphi _x(\lambda (x,n)\zeta )=\varphi _xL_n(\zeta )$$
$`(A.1)`$
(see Milnor \[M\]). The linearizing function is the analog of the unstable manifold, and the functional equation is the analogue of (1.4). The function $`\varphi _x`$ also satisfies

$$\varphi _x=g^n\varphi _xL_n^1=g^{jn}\varphi _xL_n^j$$
$`(A.2)`$
for every $`j0`$. If $`\varphi _x^{}(0)=1`$, we may define $`\varphi _x`$ simply as

$$\varphi _x(\zeta )=\underset{j\mathrm{}}{lim}g^{nj}L_n^j.$$
$`(A.3)`$
For $`k0`$, $`g^k\varphi _x:(𝐂,0)(𝐂,g^kx)`$ is a linearizing function at $`g^kx`$. For $`\alpha 𝐂`$, $`\alpha 0`$, $`\varphi _x(\alpha \zeta )`$ is also a linearizing function. We fix $`0<t<\mathrm{}`$, and we define $`\psi _x`$ to be the linearizing function $`\psi _x:\zeta \varphi _x(\alpha \zeta )`$, with $`|\alpha |`$ determined by condition (1.13). Thus we have a family of maps $`\psi _S=\{\psi _x:𝐂𝐂:xS\}`$.

As in §1 we may take normal limits and obtain the family $`\mathrm{\Psi }`$, where each $`\psi \mathrm{\Psi }_x`$ is defined and holomorphic on a domain $`\mathrm{\Omega }_x`$ with $`\{|\zeta |<1\}\mathrm{\Omega }_x𝐂`$. We may define the transformation $`\stackrel{~}{g}:\mathrm{\Psi }_x\mathrm{\Psi }_{gx}`$ as in §1, and if $`\psi _x`$ is nonconstant, we may define the multiplier $`\lambda =\lambda _{\psi _x}`$ by the condition $`\stackrel{~}{g}(\psi _x)(\zeta )=\psi _{gx}(\lambda ^1\zeta )`$.

We will say that $`g`$ is quasi-expanding if $`\mathrm{\Psi }`$ is a normal family of entire functions. By Proposition 1.7, quasi-hyperbolicity is independent of normalizing constant $`t`$; it will be convenient for us to choose a specific value of $`t`$ just before Lemma A.4. By Proposition 1.5, quasi-expansion implies that (‡) holds at each $`xJ`$. By Theorem 1.2, it is equivalent to $`|\lambda _x|\kappa >1`$ for all $`xS`$.

If $`g`$ is quasi-expanding, we define $`\tau `$ as was done just before Proposition 5.1. There is a natural stratification $`J=𝒥_1\mathrm{}𝒥_k`$, where $`𝒥_m=\{\tau =m\}`$. We define the infinitesimal metric $`_x^\mathrm{\#}`$ on the tangent space $`T_x𝐂`$ for $`x𝒥_i`$ as in §6. Note that $`x_x^\mathrm{\#}`$ is not globally continuous, but it is continuous on each stratum $`𝒥_i`$. This metric is uniformly expanded by $`g^{}`$. And as in Corollary 6.3, there is a $`\kappa >1`$ such that $`|g^n(x)^{}|>\kappa ^n`$ holds for each point of period $`n`$. While it was known earlier that a semi-hyperbolic map has a (singular) metric which is uniformly expanded (see \[Ca\]), this construction for quasi-expanding maps seems more direct, in addition to defining an (infinitesimal) metric at each point of $`J`$.

Let $`𝒞=\{z𝐂:g^{}(z)=0\}`$ denote the set of critical points of $`g`$. For $`c𝒞`$, let $`𝒫(c)=\{g^j(c):j1\}`$, let $`𝒫(𝒞)=_{c𝒞}𝒫(c)`$, and let $`\overline{𝒫}(c)`$ denote the closure of $`𝒫(c)`$.

###### Lemma A.1

If $`c𝒞`$ be a critical point, then $`\tau 2`$ on $`\overline{𝒫}(c)`$. If $`c\omega (c)`$, then $`\tau =\mathrm{}`$ on $`\omega (c)`$.

Proof. If $`\psi \mathrm{\Psi }_c`$ is constant, then $`\stackrel{~}{g}^j(\psi )\mathrm{\Psi }_{g^jc}`$ is constant. Thus $`\tau (g^jc)=\mathrm{}`$ for all $`j0`$. Since $`\tau `$ is upper semicontinuous, it is equal to $`\mathrm{}`$ on the closure of $`\{g^j(c):j1\}`$. Now let $`\psi \mathrm{\Psi }_c`$ be a nonconstant function. It follows that $`\stackrel{~}{g}^j(\psi )`$ has a critical point at the origin for $`j1`$, i.e. $`\tau >1`$ on $`\{g^j(c):j1\}`$. Again, by upper semicontinuity, $`\tau >1`$ on the closure of this set.

Now suppose that $`c\omega (c)`$. If $`\mathrm{\Psi }_c`$ consists only of the constant function, then $`\tau (c)=\mathrm{}`$. If there is a nonconstant $`\psi \mathrm{\Psi }_c`$, then $`\mathrm{Ord}(\psi )<\mathrm{}`$. Let $`n_j\mathrm{}`$ be a sequence such that $`g^{n_j}cc`$. By the chain rule, $`\mathrm{Ord}(\stackrel{~}{g}^{n_j}\psi )>\mathrm{Ord}(\psi )`$. Passing to a subsequence of $`\{n_j\}`$, we may assume that $`\stackrel{~}{g}^{n_j}\psi \widehat{\psi }`$. By the upper semicontinuity of $`\tau `$, we have $`\mathrm{Ord}(\widehat{\psi })>\mathrm{Ord}(\psi )`$. Thus $`\tau (c)=\mathrm{}`$.

We let $`𝒞_x^{}:=\{\zeta 𝐂:\psi _x^{}(\zeta )=0\}`$ denote the set of critical points of $`\psi _x`$.

###### Lemma A.2

If $`xS`$ is a repelling periodic point, then $`\psi _x(𝒞_x^{})𝒫(𝒞)`$.

Proof. Suppose $`\zeta 𝒞_x^{}`$. Since $`x`$ is a repelling periodic point, $`|\lambda (x,n)|>1`$, so it follows from (A.1) that $`\psi _x^{}(0)0`$. Let $`U`$ be a neighborhood of the origin in $`𝐂`$ where $`\psi _x^{}0`$. Choose $`j`$ such that $`\stackrel{~}{\zeta }=L^j\zeta U`$, and set $`\stackrel{~}{z}=\psi _x(\stackrel{~}{\zeta })`$. By (A.2) and the Chain Rule,

$$\psi _x^{}(\zeta )=(g^{jn}\psi _xL^j(\zeta ))^{}=g^{}(g^{jn1}(\stackrel{~}{z}))\mathrm{}g^{}(g(\stackrel{~}{z}))g^{}(\stackrel{~}{z})(\psi _xL^j)^{}(\zeta )=0.$$

It follows $`g^{}(g^k\stackrel{~}{z})=0`$ for some $`1kjn1`$, which means that $`g^k\stackrel{~}{z}𝒞`$. Thus $`x=g^{jnk}(g^k\stackrel{~}{z})𝒫(𝒞)`$.

###### Proposition A.3

If $`g`$ is quasi-expanding, then $`𝒥_1=J\overline{𝒫}(𝒞)`$.

Proof. By Lemma A.1, $`𝒥_1`$ is disjoint from $`\overline{𝒫}(𝒞)`$. Conversely, let $`y\overline{𝒫}(𝒞)`$ be given. Choose $`0<\delta <dist(y,\overline{𝒫}(𝒞))`$. Let $`x`$ be a repelling periodic point sufficiently close to $`y`$ that $`B(x,\delta )\overline{𝒫}(𝒞)=\mathrm{}`$. By Lemma A.2, there are no critical values of $`\psi _x`$ in the disk $`B(x,\delta )`$. Thus there is an analytic function $`\varphi :B(x,\delta )𝐂`$ such that $`\psi \varphi (z)=z`$. By the Koebe Distortion Theorem, $`\{|\zeta |<\delta |\varphi ^{}(x)|/4\}\varphi (B(x,\delta ))`$.

Now let $`\chi (x)=inf\{|\zeta |𝒞_x^{}\}`$. Since $`\varphi (B(x,\delta ))𝒞_x^{}=\mathrm{}`$, we have $`\delta |\varphi ^{}(x)|/4\chi (x)`$, or $`\delta /4\chi (x)|\psi _x^{}(0)|`$. Since $`|\psi _x^{}(0)|`$ is bounded above, it follows that $`\chi (x)`$ is bounded below.

To show that $`yJ_1`$, we need to show that $`\psi _y^{}(0)0`$ for every $`\psi _y\mathrm{\Psi }_y`$. Let us take a sequence $`xy`$, such that $`\psi _x\psi _y`$. Since $`\chi (x)`$ is bounded below, there is an open neighborhood $`U`$ of the origin in $`𝐂`$ where $`\psi _x^{}0`$ on $`U`$ for all $`x`$. The limit $`\psi _y^{}`$ is then either nonvanishing on $`U`$, or it vanishes identically. By (‡), then, $`\psi _y`$ does not vanish on $`U`$.

For a domain $`D`$ and $`yg^nD`$, we let $`(g^nD)_y`$ denote the connected component of $`g^nD`$ containing $`y`$. A mapping $`g`$ is said to be semi-hyperbolic (see \[CJY\]) if there are numbers $`ϵ_0>0`$ and $`M<\mathrm{}`$ such that for every $`n0`$, $`0<ϵ<ϵ_0`$ and $`xJ`$, the mapping degree of

$$g|(g^nB(x,ϵ))_y:(g^nB(x,ϵ))_yB(x,ϵ)$$

is bounded by $`M`$ for each $`yg^nx`$. If $`g`$ is semi-hyperbolic, then by Theorem 2.5 there is an $`a>0`$ such that for $`\rho _1>0`$ sufficiently small, depending only on $`M`$, such that for all $`xJ`$, all $`n0`$, and all $`yg^nx`$, we have

$$B(y,as)(g^nB(x,\rho _1ϵ))_yB(y,s)$$

for some $`s>0`$. Set

$$t:=\underset{xJ}{\mathrm{min}}\underset{B(x,\rho _1ϵ)}{\mathrm{max}}G.$$

###### Lemma A.4

Let $`g`$ be semi-hyperbolic, and let $`ϵ,\rho _1,t,a>0`$ and $`M<\mathrm{}`$ be as above. Then there is a number $`B<\mathrm{}`$ such that for any periodic point $`x`$, $`\omega _x:=(\psi _x^1B(x,\rho _1ϵ))_0`$ satisfies

$$\{|\zeta |<B^1\}\omega _x\{|\zeta |<B\}$$

and $`\psi _x:\omega _xB(x,ϵ)`$ is a proper mapping of degree $`M`$.

Proof. Let $`n`$ denote the period of $`x`$, and assume that $`x=0`$. For $`0<\rho <1`$, let $`\overline{t}:=\mathrm{max}_{xJ}\mathrm{max}_{B(x,\rho \rho _1ϵ)}G`$. Choose $`\rho `$ small enough that $`\overline{t}<t`$.

For each $`j0`$ we have $`\{|\zeta |<ar\}\omega \{|\zeta |<r\}`$ for some $`r=r_j`$ corresponding to $`\omega =(L_n^jg^{jn}B(0,\rho \rho _1ϵ))_0`$ and for some $`r=\stackrel{~}{r}_j`$ corresponding to $`\omega =(L_n^jg^{jn}B(0,\rho _1ϵ))_0`$. We may take the limit as $`j\mathrm{}`$ in (A.3) so that $`g^{jn}L_n^j\varphi _x`$, and we may pass to a subsequence to have $`r_jr`$ and $`\stackrel{~}{r}_j\stackrel{~}{r}`$. If we write $`\stackrel{~}{\omega }_x^{}=(\varphi _x^1B(0,\rho _1ϵ))_0`$ and $`\omega _x^{}=(\varphi _x^1B(0,\rho \rho _1ϵ))_0`$, then we have $`\{|\zeta |<r\}\omega _x^{}\{|\zeta |<r\}`$ and $`\{|\zeta |<\stackrel{~}{r}\}\stackrel{~}{\omega }_x^{}\{|\zeta |<\stackrel{~}{r}\}`$. Thus

$$\stackrel{~}{\omega }_x^{}\overline{\omega }_x^{}\{ar<|\zeta |<\stackrel{~}{r}\}.$$

Thus the moduli satisfy

$$\mathrm{log}(\stackrel{~}{r}/(ar))\mathrm{Mod}(\{ar<|\zeta |<\stackrel{~}{r}\})\mathrm{Mod}(\stackrel{~}{\omega }_x^{}\overline{\omega }_x^{}).$$

Let us remark that $`\varphi _x:(\varphi _x^1B(0,ϵ))_0B(0,ϵ)`$ is a proper mapping with degree bounded by $`M`$ since each $`g^{jn}L_n^j`$ was also a proper mapping with degree bounded by $`M`$. It follows that $`\varphi _x:(\stackrel{~}{\omega }_x^{}\overline{\omega }_x^{})(B(x,\rho _1ϵ)\overline{B}(x,\rho \rho _1ϵ))`$ is a proper map. The modulus of an annulus is defined as the extremal length of the family of curves connecting the two boundaries (cf. \[A, Chapter 4\]). Under a proper map, this family pulls back to a family of curves which connect the two boundaries; thus the modulus cannot decrease, so we have

$$\mathrm{Mod}(\stackrel{~}{\omega }_x^{}\overline{\omega }_x^{})\mathrm{Mod}(B(x,\rho _1ϵ)\overline{B}(x,\rho \rho _1ϵ))=\mathrm{log}(1/\rho ).$$

We conclude that $`\stackrel{~}{r}/(ar)\rho ^1`$.

Finally, let us consider $`\psi _x`$ and $`\omega _x`$, which are obtained from $`\varphi _x`$ and $`\stackrel{~}{\omega }_x^{}`$ by a scaling by a linear factor $`\lambda >0`$. Thus $`\{|\zeta |<\lambda ar\}\omega _x=\lambda \stackrel{~}{\omega }_x^{}\{|\zeta |<\lambda \stackrel{~}{r}\}`$. By the definition of $`t`$, we have $`\mathrm{max}_{B(x,\rho _1ϵ)}G=\mathrm{max}_{\omega _x}Gt`$. By the Maximum Principle, we have $`\mathrm{max}_{|\zeta |<\lambda \stackrel{~}{r}}Gt`$. It follows by (1.13) that $`\lambda \stackrel{~}{r}1`$. Similarly, we have $`\mathrm{max}_{B(x,\rho \rho _1ϵ)}G=\mathrm{max}_{\lambda \omega _x^{}}G\overline{t}<t`$. Again by the Maximum Principle, $`\mathrm{max}_{|\zeta |<\lambda ar}Gt`$. Thus by (1.13) we have $`ar\lambda <1`$. By our previous inequality, it follows that $`\rho \lambda ar\lambda \stackrel{~}{r}\rho ^1`$, so we may take $`B=\rho ^1`$.

Finally, the mapping degree of the restriction of $`\psi _x`$ to $`(\psi _x^1B(0,ϵ))_0`$ is the same as the degree of restriction of $`\varphi _x`$, so it is bounded by $`M`$.

We will use the following estimate on the Green function (see \[CJY, §3\]): If $`g`$ is semi-hyperbolic, then there exist $`\eta >0`$ and $`A<\mathrm{}`$ such that

$$\underset{B(x,r)}{\mathrm{max}}G\eta r^A$$
$`(A.4)`$
for all $`xJ`$, $`0<r<1`$. Note that (1.12) and (A.4) are similar but different; the estimate (A.4) takes place on dynamical space while (1.12) concerns the uniformizations.

###### Theorem A.5

Quasi-expansion $``$ semi-hyperbolicity.

Proof. Suppose first that $`g`$ is quasi-expanding. By Corollary 6.3, any periodic point is expanding. Thus there are no parabolic points. Now suppose that $`cJ`$ is a critical point. By quasi-expansion, we must have $`\tau <\mathrm{}`$ on $`J`$, so by Lemma A.1 this means that $`c`$ is not contained in $`\omega (c)`$, its $`\omega `$-limit set. It follows by \[CJY, Theorem 1.1\] that $`g`$ is semi-hyperbolic

Now suppose that $`g`$ is semi-hyperbolic. Let $`B`$ be as in Lemma A.4, and choose $`\chi >B^2`$. By Theorem 2.5, we may choose $`\rho _2>0`$ sufficiently small that for any $`yJ`$ there is a number $`s=s_y`$ such that

$$(\psi _y^1(B(y,\rho _2\rho _1ϵ))_0\{|\zeta |<s\}\{|\zeta |<\chi s\}(\psi _y^1(B(y,\rho _1ϵ))_y.$$

By the right-hand inclusion in Lemma A.4, we have $`\chi s<B`$.

Let us set

$$\overline{t}_1:=\underset{xJ}{\mathrm{max}}\underset{B(x,\rho _1ϵ)}{\mathrm{max}}G.$$

Choose $`k`$ such that

$$\left(\frac{\overline{t}_1d^k}{\eta }\right)^{1/A}a\rho _2\rho _1ϵ.$$

By Theorem 2.5, there is an $`r>0`$ such that $`B(y,ar)(g^k(B(x,\rho _1ϵ))_yB(y,r)`$ for $`yg^kx`$. By the definition of $`\widehat{t}_1`$ and the maximum principle, we have that $`G\widehat{t}_1d^k`$ on $`B(y,ar)`$. It follows from (A.4) that

$$\overline{t}_1d^k\eta (ar)^A.$$

By the choice of $`k`$ we conclude that $`r\rho _2\rho _1ϵ`$. Thus

$$\psi _y^1(g^k(B(x,\rho _1ϵ))_0(\psi _y^1B(x,\rho _2\rho _1ϵ))_0\{|\zeta |<s\}$$

with $`s`$ as above.

Let $`L:\zeta \lambda \zeta `$ denote the linear map such that $`g^k\psi _y=\psi _xL`$. By this functional equation, $`L`$ maps $`(\psi _y^1g^kB(x,\rho _1ϵ))_0\{|\zeta |<s\}`$ to $`(\psi _x^1(B(x,\rho _1ϵ))_0`$. This last set contains $`\{|\zeta |<1/B\}`$ by the left-hand containment in Lemma A.4. Thus $`\lambda (sB)^1`$, which is no smaller than $`\chi B^2`$ since $`\chi s<B`$. We conclude that $`|\lambda |`$ is uniformly bounded below by $`\kappa :=\chi B^2>1`$, so by Theorem 1.2, $`g^k`$ is quasi-expanding. By Proposition 1.3, then, $`g`$ is quasi-expanding.

A consequence of Corollary 6.3 is:

###### Corollary A.6

If $`g`$ is semi-hyperbolic, then the repelling periodic points are uniformly repelling.

Questions dealt with in this Appendix also arise naturally in connection with the study of the structure of leaves in the induced inverse limit system. See \[LM\] for this approach.

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Eric Bedford

Indiana University

Bloomington, IN 47405

John Smillie

Cornell University

Ithaca, NY 14853