Bowen’s Problem 32 and the conjugacy problem for systems with specification
Abstract.
We show that Rufus Bowen’s Problem 32 on the classification of symbolic systems with the specification property does not admit a solution that would use concrete invariants. To this end, we construct a class of symbolic systems with the specification property and show that the conjugacy relation on this class is too complicated to admit such a classification. More generally, we gauge the complexity of the classification problem for symbolic systems with the specification property. Along the way, we also provide answers to two questions related to the classification of pointed systems with the specification property: to a question of Ding and Gu related to the complexity of the classification of pointed Cantor systems with the specification property and to a question of Bruin and Vejnar related to the complexity of the classification of pointed Hilbert cube systems with the specification property.
1. Introduction
The methods of mathematical logic can be useful in establishing impossibility results. For example, a descriptive set-theoretic complexity argument was used by Wojtaszczyk and Bourgain who solved Problem 49 from the Scottish book by establishing the non-existence of certain types of Banach spaces, see [Kec12, Section 33.26]. In a similar vein, the theory of complexity of Borel equivalence relations can be used to demonstrate the impossibility of classifying certain mathematical objects. An equivalence relation on a standard Borel space is smooth if there exists a Borel assignment of elements of another standard Borel space to elements of which provides a complete classification of the equivalence relation , i.e., two elements are -related if and only if . The definition is broad enough to justify a Borel version of the Church–Turing thesis, namely that an isomorphism relation admits a concrete classification if and only if it is smooth. For example, recently Panagiotopoulos, Sparling and Christodoulou [PSC23] utilized this notion to show that there does not exist a concrete observable that is complete and Borel definable, solving a long-standing problem in general relativity.
Smooth equivalence relations are actually only at the beginning of a larger hierachy of descriptive set-theoretic complexity. Given two equivalence relations and on standard Borel spaces and , respectively, we say that is Borel-reducible to , written if there exists a Borel map such that for we have if and only if . The Borel complexity of an isomorphism problem measures how complicated the problem is in comparison with other equivalence relations, when we compare equivalence relations using Borel reductions. Equivalence relations which are Borel-reducible to the equality on the real numbers, or anything that can be coded by real numbers, are exactly the smooth ones. However, the hierarchy goes much higher. The next step is formed by the hyperfinite equivalence relations [DJK94], that is those which are induced by Borel actions of the group . Another successor of is defined in terms of the Friedman–Stanley version of the Turing jump [FS89], and is denoted by . The jump can be iterated and all of the countable iteration of + on are induced by Borel actions of the group of permutations of . The class of equivalence relations reducible to actions of is quite large (cf. the recent result of Paolini and Shelah [PS24]) but not every Borel equivalence relation is in that class. In [Hjo00a] Hjorth developed the theory of turbulence and showed that turbulent group actions are not Borel reducible to any Borel -action. The theory of complexity of equivalence relations also continues in the class of equivalence relations induced by actions of more general groups than (cf. [Cle12, GK03, Sab16, Zie16]).
A lot of effort has been put in measuring the complexity of problems arising in dynamical systems. The breakthrough for measure-preserving systems came with the results of Foreman and Weiss [FW04] and of Foreman, Rudolph and Weiss [FRW11]. In [FW04] Foreman and Weiss showed that the conjugacy relation of ergodic transformations is turbulent and in [FRW11] Foreman, Rudolph and Weiss showed that the conjugacy relation of ergodic transformations is not Borel, and thus the classification problem in ergodic theory is intractable. In topological dynamics, Camerlo and Gao [CG01] proved that the conjugacy of Cantor systems is the most complicated among equivalence relation induced by actions of and for minimal Cantor systems it is shown in [DGRK+24] that the relation is not Borel.
In contrast, the conjugacy relation of symbolic systems is quite simple from the point of view of descriptive set theory. Since every isomorphism between symbolic systems is given by a block code [Hed69], the conjugacy of symbolic systems is a countable Borel equivalence relation, i.e. a Borel equivalence relation whose equivalence classes are countable. Clemens [Cle09] proved that for a finite alphabet the topological conjugacy of symbolic systems of is a universal countable Borel equivalence relation. In [GJS16] Gao, Jackson and Seward generalized it from subsystems of to subsystems of where is a countable group which is not locally finite, while for a locally finite group they showed that the conjugacy of subsystems of is hyperfinite. It remains unknown whether the conjugacy of minimal subsystems of is a universal countable Borel equivalence relation, which is connected to a conjecture of Thomas [Tho19, Conjecture 1.2] on the isomorphism of complete groups. In fact, it is not known [ST17, Question 1.3] whether the conjugacy relation restricted to Toeplitz systems is hyperfinite or not.
A special class of symbolic systems is formed by systems with specification, considered by Bowen [Bow71]. A dynamical system satisfies the specification property if for every we can find such that given any collection of finite fragments of orbits, there exists a point which is -closely following these orbit segments and takes steps to switch between consecutive orbit segments (a formal definition is given in Section 3). Nowadays, the specification property in symbolic systems for general discrete groups goes also under the name of strong irreducibility, as discussed for example by Glasner, Tsankov, Weiss and Zucker [GTWZ21], Frisch and Tamuz [FT17] and Frisch, Seward and Zucker [FSZ24]. Around 1970’s Bowen wrote an influential list of open problems, which is now maintained on the webpage [Bowb]. Problem 32 [Bowa] asks to
classify symbolic systems with specification.
Several results in the direction of a classification have been obtained, as reported on the website [Bowa]. For example Bertrand [Ber88] proved that every symbolic system with specification is synchronized and Thomsen [Tho06] found a connection with the theory of countable state Markov chains. However, a complete classification has not been obtained. Buhanan and Kwapisz [BK14] proved a result suggesting that systems with specification are quite complicated. They considered the cocyclic shift spaces, which is a countable family of symbolic systems with specification and proved in [BK14, Theorem 1.1] that the problem of equality of cocyclic shift spaces is undecidable. However, the equality relation is a much simpler relation than the conjugacy on such systems. In this paper we prove the following, which shows that a classification with any concrete invariants is impossible.
Theorem 1.1.
The conjugacy relation of symbolic systems with the specification property is not smooth.
In fact, in Theorem 5.9 we prove that the conjugacy relation of symbolic systems with specification is not hyperfinite and essentially the same proof shows that it is not treeable; see Theorem 6.4.
Next, we will look the conjugacy relation of pointed systems with the specification property and consider its complexity. It turns out that in order to compute the complexity for pointed Cantor systems with the specification property, we need to solve a problem posed in a paper of Ding and Gu [DG20].
In [DG20] Ding and Gu consider the equivalence relation defined on the space of metrics on , where two metrics are equivalent if the identity map on extends to a homeomorphism of the completions of with respect to those two metrics. The restriction of to the set of metrics whose completion is compact is denoted by . This is a natural equivalence relation from the point of view of descriptive set theory, and it is interesting to ask what is its complexity. Indeed, Ding and Gu ask [DG20, Question 4.11] whether for a given countable ordinal and a natural number , the restriction of to the metrics whose completion is homeomorphic to is Borel-reducible to . Even though this question does not seem directly connected to the topological conjugacy of systems with specification, we find a connection between the relation and Cantor systems, using a construction coming from the work of Williams [Wil84] and the work of Kaya [Kay17a] and we answer it in the positive, by showing a slightly stronger statement. By we denote the set of metrics on whose completion is zero-dimensional. The result below implies in particular a positive answer to [DG20, Question 4.11].
Theorem 1.2.
The relation restricted to is Borel bi-reducible with .
Finally, in [BV23] Bruin and Vejnar also studied the conjugacy relation of pointed transitive systems
homeomorphisms | pointed transitive homeomorphisms | |
---|---|---|
interval | Borel-complete | |
circle | Borel-complete | |
Cantor set | Borel-complete | |
Hilbert cube | complete orbit e.r. | ? |
and asked [BV23, Table 1, Question 5.6] about the complexity of the conjugacy of pointed transitive homeomorphisms of the Hilbert cube. It turns out that the conjugacy of pointed transitive homeomorphisms of the Hilbert cube has the same complexity as the conjugacy relation of Hilbert cube systems with the specification property and in this paper we answer this question as follows.
Theorem 1.3.
The conjugacy relation of pointed transitive Hilbert cube systems is Borel bireducible with a turbulent group action.
In particular, the conjugacy of pointed transitive Hilbert cube systems is not classifiable by countable structures, as opposed to most other relations considered in [BV23].
2. Notation and preliminaries
In this paper, by a system, we mean a pair where is a compact metric space and is a homeomorphism of . Given a point , its orbit is and its forward orbit is . A point is called transitive if the forward orbit of is dense in . A system is transitive if there is a transitive point in . If has no isolated points, then a system is transitive if and only if there is a point in whose orbit is dense. A pointed transitive system is a transitive system together with a point whose forward orbit is dense. A subsystem of a system is a system such that is a nonempty closed set satisfying and is the restriction of to .
Two systems and are conjugate if there exists a homeomorphism such that . Two pointed systems and are conjugate if they are conjugate by such that .
A factor map from to is a continuous surjection from to , such that .
We say that a dynamical system is equicontinuous if the family of functions is equicontinuous. Every system admits the unique maximal equicontinuous factor that is there exists an equicontinuous system and a factor map from to such that if is a factor from to an equicontinuous system , then there is a factor map from to satisfying .
For any compact space metric , the shift map is defined for as , where for all . We call the system the full shift over .
Given and define the -periodic part of as
and let . Also, we write for the aperiodic part of . A sequence is a Toeplitz sequence, if its aperiodic part is empty. A subsystem of the full shift over is a Toeplitz system if it is equal to the closure of the orbit of a Topelitz sequence .
By a symbolic system (over ) or shift space (over ) we mean a subsystem of the full shift where is a finite discrete space. In such a case, the set is referred to as the alphabet. By the classical result of Curtis, Hedlund, and Lyndon, any isomorphism between shift spaces of for an alphabet is given by a block code [Hed69], which means that there exist and such that for every and we have
For any alphabet we write for . We refer to the elements of as to words. If , then we refer to as to the length of and denote it by . We use the convention that the empty word, denoted by is the unique word of length . We write for the set of all words of even length and for the set of all words of odd length.
For an interval and , by , we denote the sequence . Similarly, we set .
Given a symbolic system , its language is the collection of words in appearing in elements of :
For a symbolic system over transitivity is equivalent to the statement that for all , there exists such that , see [BMN00, Section 3.7.2].
Let be a countable equivalence relation on the standard Borel space . We say that is hyperfinite if it can be written as an increasing union of Borel equivalence relations with finite equivalence classes. An equivalence relation is hyperfinite if and only if it is induced by a Borel action of the group [DJK94, Theorem 5.1]. An equivalence relation is treeable [JKL02, Definition 3.1] if there exists a Borel graph on the vertex set which is a forest and whose connected components are the equivalence classes of .
The group is the group of all permutations of . An equivalence relation is classifiable by countable structures if it is Borel-reducible to an action of , see [Hjo00b]. The relation is the relation on defined by if .
Let be a Polish group acting on a Polish space in a Borel way. We denote by the induced equivalence relation. Given and open sets and with and , the local --orbit of , denoted , is the set of for which there exist and , and such that for all . An action of on is turbulent [Hjo00b] if every orbit is dense and meager and every local orbit is somewhere dense. By the Hjorth turbulence theorem [Hjo00b, Corollary 3.19] the equivalence relation induced by a turbulent action is not classifiable by countable structures.
Given a compact space we write for the group of homeomorphisms of . The group is a Polish group with the compact-open topology. If is a metric on , then the topology is induced by the uniform metric on , also denoted by defined as . A subset is a -set (see [VM88, Chapter 6.2]) if for every continuous function and every there exists a continuous function such that .
3. Specification
Bowen introduced the specification property in [Bow71] to study Axiom A diffeomorphisms. It is a strengthening (a uniform version) of transitivity. Informally, a dynamical system satisfies the specification property if for every we can find such that given any collection of finite fragments of orbits (orbit segments), there exists a point which follows -closely these orbit segments and takes steps to switch between consecutive orbit segments.
Definition 3.1.
Let be a compact metric space and be the metric on . Given a map , an interval with , and we write for the sequence and call it the orbit segment (of over ). Let be a natural number. A -spaced specification is a sequence of orbit segments such that for . Let . A specification is -traced if there exists such that for , for every .
Definition 3.2.
A system has the specification property if for every there exists such that every -spaced specification is -traced by a point from .
The specification property for a symbolic system can be restated in terms of the language in a similar fashion as transitivity.
Proposition 3.3.
Let be a symbolic system. The following are equivalent.
-
(i)
The system has the specification property.
-
(ii)
There exists such that for every there exists with such that .
Proof.
In the following, refers to the standard metric on as defined e.g., in [Bru22, Page 3].
(i)(ii) Put and find using the specification property. Let . Set and . There are containing and as subwords. Without loss of generality assume and . Then the specification formed by the orbit segments and is -spaced, so it is -traced by some . Now by the definition of we have and . Put to see that .
(ii)(i) Let be provided by (ii). Fix and take such that . We claim that witnesses the specification property. Suppose is an -spaced specification. Without loss of generality increase ’s if necessary) we assume that for every . Write for . Applying our assumption times we see that there exist for of length such that . Choose that contains . By shifting if necessary, we can assume that . We easily see that the specification is -traced by . ∎
It should be noted that, in the literature, some authors also consider other notions of specification, weaker than that introduced by Bowen. For example, sometimes one may require the existence of such that for every there exists with such that . For the whole panorama of specification-like properties of dynamical systems see the survey [KŁO16].
4. A class of systems with the specification property
In this section, we construct families of symbolic systems that will allow us to provide lower bounds for the complexity of conjugacy problem for systems with the specification property.
Assume that is a finite alphabet containing a distinguished symbol and . Given a set , we define
Now, for we define the shift space
In other words, can appear between two consecutive occurrences of in if and only if . Note that any is allowed between two consecutive ’s in . In particular, is an allowed word for every . It follows that every word over is allowed in so we always have . Hence, for every . Let
The space consists of nonempty closed subsets of , so it is naturally endowed with the Vietoris topology. The powerset of , identified with , also has the natural compact metric topology and the function is continuous, hence is a compact metric space.
Lemma 4.1.
The function is 1-1.
Proof.
Suppose that . Without loss of generality, find . Then
thus . ∎
Our starting point is the following.
Proposition 4.2.
Every symbolic system in has the specification property.
Proof.
Fix . We claim that that for every words there exists with such that . Then has the specification property by Proposition 3.3. If ends with where , then we set where . Otherwise we take . Similarly, we set , when begins with where . Otherwise we take . Taking , we easily see that . ∎
In the next sections, we will use the above idea to show that the conjugacy problem for systems with specification is highly nontrivial. However, in order to work over over the alphabet we will need a more subtle version of Proposition 4.2.
To work over the alphabet we replace the alphabet with a finite nonempty set that consists of nonempty words over , that is . We call a code and we refer to the elements of as to blocks. We identify words or sequences obtained by concatenating elements of with the corresponding words over as follows. Given a word over the code we write for the word over obtained by concatenating . We write for the set of all words over that can be written as , where is a concatenation of an even number of blocks from , that is . We write for the collection of all , where is a concatenation of odd number of blocks over , that is . Since the empty word has length zero, we have . Note that the length of need not to be even.
Given a bi-infinite sequence with entries in a code we write for the element of obtained by concatenating the words appearing in so that the first letter of appears at the position in . The collection of all shifts of bi-infinite sequences where is a symbolic subsystem of , which will be denoted by . That is,
Given a subsystem we write
and note that is a subsystem of .
Now, given a code , treating as the alphabet in the definition of , we define
Definition 4.3.
We say that a finite code is recognizable111We follows the terminology given in [DP22], although in the literature this property is also known as unique decomposeability, see [Pav20, p. 4718] or strong code/unambiguously coded, see [BPR24, §6] or uniquely representable, see [BDWY22]. if for every and every there is only one way to decompose as a concatenation of blocks from , that is, if and for some , then and .
Note that if a code is recognizable, then every sufficiently long word can be in a unique way decomposed into blocks in meaning that
where and , but is a proper suffix of a block in and is a proper prefix of a block in . In particular, .
For every we write
If is a recognizable code, then
In analogy with Lemma 4.1 we have the following result. It gives us the topology on .
Lemma 4.4.
For any recognizable code the function is 1-1.
Proof.
By Lemma 4.1 it is enough to note that if , then . Without loss of generality, find . Then by recognizability we have
∎
Definition 4.5.
Let be a code and let . We say that is block-length-preserving if for every we have .
Note that if is block-length-preserving, then for every and we have .
Lemma 4.6.
Let be a recognizable code and be block-length-preserving. Then there exists unique such that for every we have
(4.1) |
Proof.
Given write where and . The only automorphism satisfying (4.1) has to be of the form
It is routine to check that is continuous. If , then
Otherwise , so
Above, we used that . Injectivity of follows from recognisability. Surjectivity of is a consequence of surjectivity of . ∎
Given a recognizable code we will consider the symbolic systems in the class . However, in general the systems in the class may not have the specification property despite Proposition 4.2. To see that, first note that the system consisting of a single finite periodic orbit of length grater than does not have the specification property. This is easily seen using Proposition 3.3. Indeed, if the length of the orbit is , then the system has realization as a symbolic subsystem of consisting of the orbit of ) and if are such that , then depends on the last digit of and the first digit of . Next, note that a factor of a system with the specification property also has the specification property. Therefore, a system with specification cannot have a finite orbit as a factor. Now, if is a finite recognizable code such that the lengths of all blocks in are divisible by , then the system factors onto the finite orbit of length . Indeed, note that for every there is such that and taking defines a factor map and therefore the system thus does not have the specification property (it only has the specification property relative to the periodic factor, see [KŁO16, Definition 37] and [Jun11, Definition 3.1 & Theorem 3.6].)
Thus, in order to prove that every symbolic system in has the specification property, we need to assume that is a finite and recognizable code such that there are at least two relatively prime numbers among the lengths of the words in . In fact, to simplify our reasoning, we will work with a finite code with a distinguished symbol of odd length and we will assume that all blocks in have the same length that is relatively prime with .
Definition 4.7.
We say that a finite code is admissible if is recognizable and contains a distinguished element such that is odd, and every element of has the same length, which is relatively prime with .
Theorem 4.8.
If is an admissible code, then every symbolic system in has the specification property.
Proof.
Write and let be the number relatively prime with such that for every . By our assumption is odd.
We need to show that for every the system has the specification property. By Proposition 3.3 we need to find a natural number such that for every words there exists with such that . We will show that there exists a number which works as for every .
Put
We will show that this witnesses that every system in has the specification property. Fix . First note that for every word there exist a prefix and a suffix satisfying and so that for some word we have . Fix . Using our observation, we find prefixes and suffixes such that for some words we have
and .
Write
Since is odd, we get that and are relatively prime, so by the Frobenius coin problem, every number greater or equal to can be written as for some . Find such that
Let be any word which is a concatenation of blocks from , that is . Note that the word
has length and
which implies that and ends the proof. ∎
In the sequel we will need several admissible codes such that the size of is a power of . There is an abundance of such codes, which we show in the next several lemmas.
Lemma 4.9.
There exists an admissible code such that has size two.
Proof.
Take
Recognizability holds because can only appear in a word in at the beginning of a block from . ∎
Lemma 4.10.
There exists an admissible code such that has size four.
Proof.
Take
Recognizability holds because appears in a word in only at positions where two blocks from meet.
Alternatively, one can take
in which case recognizability holds because can occur in a word in only at the beginning of a block from . ∎
Lemma 4.11.
There exists an admissible code such that has size eight.
Proof.
and note that recognizability holds because appears in a word in only at positions where two blocks from meet. ∎
One can produce also more examples. In fact, we have the following.
Lemma 4.12.
For every there exists an admissible code such that has distinct elements.
Proof.
Fix . Set and for every define
In other words, to obtain we replace in the following pattern
by the binary digits of . Put . Note that all have the same length . The code is recognizable because appears only at places where two blocks are adjacent. ∎
Remark 4.13.
Taking sufficiently long code words in we may assure that for every preassigned the topological entropy of every shift space in is smaller than .
5. Classification of symbolic systems with the specification property
Throughout this section we assume that is a finite alphabet containing a distinguished symbol satisfying . We write for the group of all automorphisms of the symbolic space . Given a word over , we write
for the clopen set determined by .
Among all automorphisms of , we distinguish a subgroup that plays a special role in our proofs. In particular, for every in this subgroup and every we have that the image of via is again in .
Definition 5.1.
We say that is -preserving if there is a bijection
that preserves the word length and such that for every we have
We say that the corresponding length-preserving bijection represents on . We write for the set of all -preserving automorphisms .
It is not difficult to see that if , then
We will use the convention that if , then denotes the length-preserving bijection of that representes on . Note that since the empty word is the only word of length , we have .
Now, we will define an action of the group on . An automorphism that is represented on by acts on via
Using Lemma 4.1 we identify with by identifying with , and so we also obtain the action of the group on .
Definition 5.2.
For its action on is given by
where
Identifying with we get an action of on , which we refer to as the induced action of on . We write for the induced action.
Proposition 5.3.
If and , then
Proof.
First note that , which follows from the definition of the induced action and the identification of with . Next, note that , since is the characteristic function of . Finally, , which follows from the assumption that is -preserving and that appears in an element of if and only if if and only if appears in an element of . ∎
Definition 5.4.
We say that is almost trivial if for almost all .
Note that if there exists an automorphism in which is not almost trivial, then must have at least two elements.
Proposition 5.5.
-
(1)
The induced action of on preserves the conjugacy relation.
-
(2)
If is a countable subgroup of which does not contain an almost trivial element, then the induced action on preserves a probability measure and is a.e. free.
Proof.
(1) It follows directly from Proposition 5.3.
(2) Write for the --Bernoulli measure on . This measure is pushed forwar to via the map . It is routine to check that the action of on preserves , so the induced action of on preserves the pushforward measure. We need to show that the action is a.e. free. It is enough to do it on the level of that is to show that for some is -null.
Fix . Assume is represented on via . Since is not almost trivial there is a sequence of distinct words such that Note that
Now, the events are independent and for every we have . Therefore, for every we have
Since is countable, the set has measure , and acts freely on the set
which has measure . ∎
Note that if is a finite recognizable code, then every induces an automorphism of . Composing the transformation with the induced action of on and noting that we obtain an action of on .
Proposition 5.6.
Suppose is a finite alphabet with . If has at least four elements, then there exists a nonamenable group that does not contain an almost trivial element.
Proof.
Assume are four distinct symbols in . Fix one of these symbols, say . For , write for the automorphism given by a block code that for every swaps every occurrence of with . Formally, is given by a block code given for by
The following lemma and its proof is motivated by the proof of [BLR88, Theorem 2.4].
Lemma 5.7.
The group is isomorphic to and does not contain an almost trivial element.
Proof.
For every write for a map that maps to where the latter word is obtained by exchanging every occurrence of with in provided that this occurrence is preceded by in the word . This implies that , Note also that for every we have . It remains to show that if and for some such that for , then is not almost trivial, and, in particular, . For write . We claim that if , then
and, in particular . The claim clearly holds for . We proceed by induction, assume the claim holds for some . Write . We know that and for . Together, these conditions imply and for . Hence, our claim holds for . ∎
Corollary 5.8.
If the alphabet consists of at least four symbols, then the conjugacy relation of symbolic subsystems of with the specification property is not hyperfinite
Proof.
Assume that the alphabet consists of and at least four other elements. The set consists of systems with specification by Proposition 4.2 and by Proposition 5.5 there exists a free probability measure preserving action of a nonamenable group on , which preserves the conjugacy relation. Since a free pmp Borel action of a countable nonamenable group induces a non-hyperfinite equivalence relation [JKL02, Proposition 1.7] and a Borel subequivalence relation of a hyperfinite equivalence relation is also hyperfinite [DJK94, Proposition 5.2], this implies non-hyperfiniteness of the conjugacy relation of symbolic subsystems with the specification property. ∎
The same also holds without the assumption on the size of the alphabet, namely for the alphabet . It implies Theorem 1.1.
Corollary 5.9.
The conjugacy relation of symbolic systems with the specification property is not hyperfinite.
Proof.
By Lemma 4.10 we can choose an admissible code containing and at least four other elements. The set consists of systems with specification by Theorem 4.8. Treating as the alphabet in the definition of , by Proposition 5.5 there exists a free probability measure preserving action of a nonamenable subgroup of on , which preserves the conjugacy relation. Consider the map and note that for and we have . Thus, the induced action of on the space induces an action on . This action preserves the probability measure pushed forward to from via the map . By [JKL02, Proposition 1.7] and [DJK94, Proposition 5.2], this implies non-hyperfiniteness of the conjugacy relation of symbolic subsystems with the specification property. ∎
6. Streamlined proof of non-smoothness and a strenghtening
Non-hyperfiniteness of an equivalence relation always implies that it is not smooth. However, in this section, we will show a streamlined proof that the conjugacy of symbolic systems with specification is not smooth.
We say that a countable discrete group acts continuously on a Polish space if for each , the map is a homeomorphism of . We will use the following definition due to Osin [Osi21], developed by Calderoni and Clay [CC24].
Definition 6.1.
Let be a countable Borel equivalence relation on a Polish space . We say that is a condensed point of if
that is, is an accumulation point of the set .
Osin [Osi21, Proposition 2.7] and Calderoni and Clay [CC24, Proposition 2.2] showed that if is a countable discrete group acting continuously on a Polish space and is the induced countable equivalence relation, then has a condensation point if and only if is not smooth.
Theorem 6.2.
Suppose is is an alphabet with a distinguished element and at least two other symbols. The equivalence relation induced by the action of on the space has a condensed point.
Proof.
Assume is a distinguished element and let be distinct symbols. Let be the set . Note that has the property that for each it contains only one word over of length . We claim that the shift space is a condensed point for the equivalence relation induced by the action of on the space .
For each we will find a symbolic system conjugate to via such that
-
(i)
the languages of and contain the same words of length up to
-
(ii)
.
Condition (ii) implies that . Condition (i) implies that as , so having constructed for each will imply that is a condensed point of .
The map will turn every occurrence of into and vice versa, every will become . On the other hand, will not change the occurrences of for . More precisely, we define the block code map for by
Using as the block code we get the map given for by , where for every we have
Note that the map is -preserving and it is represented on by such that
for any . Furthermore, by Proposition 5.3 we have that , where
So has the desired properties. ∎
Corollary 6.3.
Suppose is is an alphabet with at least three symbols. The conjugacy relation on the space of subsystems of with the specification property is not smooth.
Proof.
Assume is a distinguished element. The set consists of systems with specification by Proposition 4.2 and by Theorem 6.2, the equivalence relation induced by on the space has a condensed point. Note that the action of on the space preserves conjugacy. Since a subrelation of a smooth countable Borel equivalence relation is also smooth [FKSV23, Proposition 2.1.2(i)] this implies that the conjugacy relation on is not smooth. ∎
The same also holds without the assumption on the size of the alphabet, namely for the alphabet and we can streamline the proof of Theorem 1.1.
Proof of Theorem 1.1.
By Lemma 4.9 we can choose an admissible code with a distinguished element and at least two distinct elements in . By Theorem 4.8 the class consists of systems with specification. Note that treating as the alphabet in the definition of , we have that the map is continuous and for and we have . Thus, by Theorem 6.2 the action of on has a condensed point. Since the action of on the space preserves conjugacy and a subrelation of a smooth countable Borel equivalence relation is also smooth [FKSV23, Proposition 2.1.2(i)], this implies that the conjugacy relation on is not smooth. ∎
On the other hand, an easy modification of the proof of Theorem 5.9 gives actually a stronger conclusion than non-amenability.
Theorem 6.4.
The topological conjugacy of symbolic systems with the specification property is not treeable.
The proof of Theorem 6.4 will follow the same lines as that of Theorem 5.9. First, we state and prove the necessary ingredients.
Proposition 6.5.
Suppose has at least eight elements. There exists a countable group which contains a copy of and does not contain an almost trivial element.
Proof.
Assume contains eight distinct symbols denoted and . For , write for the block code that exchanges with if either , and , or if , and . Formally, if is such that , then the map is given by
and we write for the induced automorphism of . Now put . Proposition 6.5 follows from Lemma 6.6 because contains . ∎
The following lemma is analogous to Lemma 5.7.
Lemma 6.6.
The group is isomorphic to the product and contains no almost trivial element.
Proof.
The proof that each is an involution, belongs to , and that for the group is isomorphic to is the same as the proof of Lemma 5.7. We claim that the maps and commute for and . To see this, fix and note that for and , the point is obtained from by interchanging and at those positions in that . This means for every . It follows that the groups and commute. It remains to show that if is given by , where and is a sequence such that for , then is not almost trivial, in particular, .
Let be the number of those elements of that belong to .
If , then since maps and commute for and , we can assume for . For every take and by induction on show that
and, in particular .
If , then and the same argument shows that for we have with . ∎
Corollary 6.7.
If the alphabet consists of at least nine symbols, then the conjugacy relation of symbolic systems in with the specification property is not treeable
Proof.
Assume the alphabet contains a symbol and at least eight other symbols. The set consists of systems with specification by Proposition 4.2. Using Proposition 5.5 and Proposition 6.5 we get a free probability measure preserving (pmp) actions of such that the action preserves the conjugacy relation. By the result of Pemantle–Peres [PP00] the equivalence relation induced by the action of is not treeable . Hence, the conjugacy of systems with specification is not treeable either, since a Borel subequivalence relation of a treeable countable Borel equivalence relation is also treeable [JKL02, Proposition 3.3(iii)]. ∎
Now we give the proof of Theorem 6.4.
Proof of Theorem 6.4.
By Lemma 6.6 we choose an admissible code consisting of the distinguished block and at least eight other symbols. The set consists of systems with specification by Theorem 4.8. Treating as the alphabet in the definition of , by Proposition 5.5 and Proposition 6.5 there exists a free probability measure preserving action of a copy of in on , which preserves the conjugacy relation. Consider the map and note that for and we have . Thus, the induced action of on the space induces an action on . This action preserves the probability measure pushed forward to from via the map . By the result of result of Pemantle–Peres [PP00] and [JKL02, Proposition 3.3(iii)], this implies non-treeability of the conjugacy relation of symbolic subsystems with the specification property. ∎
7. Pointed systems with the specification property
We now turn our attention to pointed systems. Recall that every system with the specification property is transitive [KŁO16, Theorem 5(4)]. Thus, below we define a pointed system with the specification property as a pointed transitive system such that the system has the specification property.
Definition 7.1.
A pointed system with the specification property is a triple such that is a system with specification and has dense forward orbit.
Given a topological space we refer to dynamical systems with the underlying space as to -systems.
Proposition 7.2.
Let be a compact metric space. The topological conjugacy relation of pointed transitive -systems is Borel-reducible to the topological conjugacy of pointed -systems with the specification property.
Proof.
We enumerate all finite sequences of natural numbers with odd length as . For each we fix finite intervals (sets of consecutive natural numbers) and in such way that and have odd cardinality equal to the length of the sequence , and the the family consists of pairwise disjoint sets covering . Note that . Write for the midpoint of and for the midpoint of .
Given a system and we define and . The homeomorphism is defined for and by
The point is defined as
Note that the map is continuous.
Fix a pointed transitive system . Write for the metric on and for a metric compatible with the product topology on .
First, we show that the pointed system is also transitive. Fix and . Choose and such that if satisfies for , then . For each with , using density of the -orbit of in we find an integer such that
This results in a sequence of natural numbers of odd length. Hence there is such that the sequence is listed as on our list. By our choice of and we have
This proves that the orbit of is dense in .
Now we show that the system has the specification property. Fix . Choose and such that if satisfies for , then . We claim that that witnesses the specification property. Note that for and we have that
(7.1) | if then for every . |
Take and . Fix satisfying for . Consider a -spaced specification . Assume, without loss of generality, that for . Now, find such that for every we have . By (7.1), this point -traces the specification . Hence has the specification property.
It is clear that the association preserves topological conjugacy of pointed systems. It remains to show that if and are two pointed transitive systems such that and are conjugate, then and are also conjugate. Suppose conjugates the two systems.
Note that the definition of and implies that the sequence , where is the midpoint of converges to the sequence in whose all entries are equal , that is
(7.2) |
By the same reasoning as the one leading to (7.2) we have that
(7.3) |
and the sequence converges to the sequence as . By (7.2) and (7.3) we get . Note also that the set of constant sequences in is an invariant subsystem of that is conjugate to , because if is a constant sequence in with for every , then
Hence, if pointed transitive systems and are conjugate via , then the pointed subsystems generated by restricting , respectively , to the closures , respectively , of orbits of sequences, respectively, and must also be conjugate. However, pointed systems , respectively, are conjugate to pointed systems and via a restriction of the diagonal action induced by on . ∎
In particular, if is the Cantor set or the Hilbert cube, then since is homeomorphic with we get that the topological conjugacy relation of pointed transitive -systems is Borel bi-reducible with the topological conjugacy of pointed -systems with the specification property. One direction is stated in Proposition 7.2 and other one follows from the fact that pointed systems with the specification property are transitive.
The existence of the latter reduction follows from Proposition 7.2 and the fact that if is the Cantor set or the Hilbert cube, then is homeomorphic with .
8. Pointed Cantor systems with the specification property
In [DG20] Ding and Gu define the equivalence relation on the set of metrics on defined by if there exist a homeomorphism from the completion of to the completion of that is the identity on . The set of all metrics on is here taken with the Polish space structure induced from . By [DG20, Proposition 2.2] if and only if and have the same Cauchy sequences.
Ding and Gu consider the relation , which is equal to restricted to the set of metrics on whose completion is compact. The set is Borel in the space of all metrics on , see [DG20].
We write for the set of metrics on whose completion is compact and zero-dimensional. The set is Borel in [DSR18, Proposition 5.1]. For every metric in we can embed into the Cantor set as in such a way that mapping extends to a homeomorphism of the completion of with respect to and the closure of in the Cantor set. Then two metrics with associated sequences and are -related if and only if the map extends to a homeomorphism of the closures of and in the Cantor set.
Proposition 8.1.
The conjugacy relation of pointed transitive Cantor systems is Borel-reducible to the relation restricted to .
Proof.
Given a pointed transitive Cantor system , map it to the metric on induced on via the map . This is a Borel reduction since the forward orbit of is dense in . ∎
In order to gauge the complexity of the conjugation of pointed Cantor systems with the specification property, we need to gauge the complexity of restricted to .
For a countable ordinal of the form Ding and Gu [DG20] define as the set of metrics on whose completion is homeomorphic to with the order topology. In [DG20, Question 4.11] the authors ask whether for every and the relation restricted to is reducible to .
We will show below that a slightly stronger statement of Theorem 1.2 is true. We will use the notion of Oxtoby systems defined by Williams [Wil84]. The standard definition of an Oxtoby sequence is slightly more general than the definition of a ternary Oxtoby sequence given below.
Definition 8.2.
Let be a compact metric space and be a sequence of distinct elements of . Let be arbitrary. Inductively on we define . Put for every . Given , for every write
Put
Note that converges to a point in and the limit does not depend on the choice of . The limit is denoted by . A sequence is called a ternary Oxtoby sequence if there exists a sequence of distinct elements of such that
Stated less formally, the ternary Oxtoby sequence is an element defined inductively as follows. First, for every we put . After steps of the construction, write for the set of numbers at which has not been defined during the first steps of the construction. In the step we put for every with . More concisely, the ternary Oxtoby sequence can be defined as the sequence satisfying if .
The above definition is a special case of the definition given in Williams [Wil84] of an Oxtoby sequence, where in place of one can take a fast growing sequence , see also the discussion of symbolic Oxtoby sequences (class H4) in [Dow05]. In our case, note that for every and every element assumes the value only on the middle point of the interval . That is, the set consists of a single element, which is the middle point of the interval . To simplify notation, we write for this unique element of . Also, since we will not need the more general notion of an Oxtoby sequence, we will refer to ternary Oxtoby sequences simply as to Oxtoby sequences below.
Definition 8.3.
Let be a compact metric space. An Oxtoby system is a subsystem of which is equal to for some sequence of distinct elements of .
The maximal equicontinuous factor of an Oxtoby system can be described quite explicitly. Suppose is an Oxtoby sequence. The maximal equicontinuous factor of is by [Wil84, Theorem 2.2]. More precisely, if we denote the element by and write for the automorphism of defined as , then is the maximal equicontinuous factor of . Write
where . Williams showed that [Wil84, Lemma 2.3(i)] is a partition of into clopen sets for all and that [Wil84, Lemma 2.3(iv)] the map defined so that
is a factor map. We refer to as to the canonical maximal equicontinuous factor map.
Below, given a subset and we write and .
Claim 8.4.
If is an Oxtoby sequence, , and , then for every we have .
Proof.
Note that and for every we have . Since , this implies that if , then , which ends the proof. ∎
Lemma 8.5.
Let be a compact metric space, be a sequence of distinct elements of and be the associated Oxtoby sequence. Write for the canonical maximal equicontinuous factor map. Let be a non-Toeplitz sequence and let . If , then there exists such that for all we have
Proof.
Write for . Fix .
Claim 8.6.
Both and tend to infinity.
Proof.
First note that both sequences and are non-decreasing. This follows from the fact that , , and . Now, suppose does not tend to infinity. Then is eventually constant, say equal to . Hence , which is a Toeplitz sequence, a contradiction. Similarly, suppose does not converge to infinity. Then is eventually constant, say equal to . Then which is also a Toeplitz sequence, a contradiction. ∎
Thus, by Claim 8.6 there exists such that for all we have
(8.1) |
We claim that this works, that is for all we have . Fix .
Note that , and thus
(8.2) |
By Claim 8.4 we have and thus
(8.3) |
Now we prove Theorem 1.2. A similar argument is also used in the paper of the third author with Li [LP24] in order to compute the complexity of the conjugacy relation of pointed minimal compact systems.
Proof of Theorem 1.2.
It is enough to show that is Borel bi-reducible with the topological conjugacy of pointed minimal Cantor systems, as the latter has the same complexity as by [Kay17a].
One reduction is clear. Given a pointed minimal Cantor system we identify the forward orbit of with and endow it with the metric inherited form . It is clear that two pointed minimal Cantor systems are conjugate if and only if the corresponding metrics are -related.
Now we describe a reduction of to the topological conjugacy of pointed minimal Cantor systems. Note that to every metric we can associate in a Borel way a sequence of distinct elements of the Cantor set such that for every the condition holds if and only if the map extends to a homeomorphism from to .
Given a sequence of distinct elements of the Cantor space we consider the Oxtoby system . Note that the underlying space of the Oxtoby system is zero-dimensional and has no isolated points since the system is minimal. Thus, is a minimal Cantor system.
We claim that the assignment is a Borel reduction of to the topological conjugacy of pointed Cantor minimal systems.
() First, let and be two sequences of distinct elements of the Cantor space and suppose that is conjugate to via a conjugacy that sends to . We need to show that that . Let be a sequence of natural numbers. By [DG20, Proposition 2.2] we need to show that converges if and only if converges. Suppose that converges. We will show that . The other direction is analogous.
Note that is constructed from the same way as is constructed from . Furthermore, the systems and have the same equicontinuous factor [Wil84, Theorem 2.2]. Write and for the canonical maximal equicontinuous factor maps.
Choose a non-Toeplitz word and write . We will show that converges as .
Note that if , then stabilizes on , and hence converges. On the other hand if , then by Lemma 8.5 we have for large enough , and hence the sequence converges as . Thus for every the sequence converges and hence the sequence converges as . It follows that also converges as .
Find a non-Toeplitz word such that and let . By Lemma 8.5 we have for large enough , and this sequence must converge.
() Let and be two sequences of elements of the Cantor space and suppose that . We need to show that is conjugate to via a conjugacy sending to . Note that for every sequence we have that converges as if and only if converges as , because is constructed from the same way as is constructed from . Thus, we can extend the map such that for every to a conjugacy of and that sends to . ∎
Corollary 8.7.
The conjugacy relation of pointed Cantor systems with the specification property is bi-reducible with .
9. Pointed transitive Hilbert cube systems
In this section we first look at those pointed transitive Hilbert cube systems which are transitive subsystems of the full shift.
Theorem 9.1.
The action of the group on the set
is turbulent.
Proof.
Fix that is a transitive point with respect to the shift action on . Fix a metric on . Since the shift belongs to , the orbit of with respect to the action of is also dense. Note that the group can be considered to be a subgroup of with acting on by
Now, the fact that every local orbit of with respect to the action of is somewhere dense follows from the fact that finite subsets of the Hilbert cube are -sets [VM88, Lemma 6.2.3] and the extension theorem [VM88, Theorem 6.4.6] saying that for every -sets , every homeomorphism with extends to a homeomorphism such that .
Now we show that each orbit of the action of on is meager. Write for the sequence in with all coordinates equal to and for the sequence in with all coordinates equal to . Choose a sequence such that converges to . Write
Clearly, depends on our choice of and but we do not indicate it in our notation. Observe that and that is invariant under the action of . We claim that is meager. To see that, consider the sets
and
Note that is disjoint from , so it is enough to note that each and is comeager. Write
and note that for each the set is open and dense in . The argument for is analogous. ∎
As noted by Bruin and Vejnar [BV23], the conjugacy relation of transitive pointed Hilbert cube systems is a Borel equivalence relation, by the result of Kaya [Kay17c]. In [BV23, Question 5.6] Bruin and Vejnar ask about its complexity. Below we prove Theorem 1.3 by showing that this relation is Borel bi-reducible with the action of on the set of shift transitive points in .
Proof of Theorem 1.3.
It is enough to note that the conjugacy of pointed transitive Hilbert cube systems is Borel bi-reducible with the action of on the set . One direction is straightforward: given a transitive point in we map it to a pointed transitive Hilbert cube system . On the other hand, given a Hilbert cube system we map it to a transitive point in the shift in the following way. Fix a bi-infinite sequence such that every finite sequence of positive integers is listed as a subsequence whose indices are consecutive integers. In particular, for each and for every there is an integer such that for every in the interval we have . We now define a map taking a pointed transitive system to
The point is clearly transitive in . Since the sequence is fixed, a pair of pointed transitive Hilbert cube systems and that are conjugate through a map with is mapped to two transitive points
that are conjugate through . It remains to show that if and are conjugate through a map , then the pointed transitive systems and are conjugate as well. Note that must send fixed points of the shift to the fixed points of the shift, so induces a homeomorphism of the Hilbert cube such that if and then . For every and we also have
Therefore, the fixed point of the shift that is the limit of as must be mapped by to the limit of , which means that for every the homeomorphism maps to . It means that pointed transitive systems and are conjugate. ∎
10. Remarks and questions
It seems plausible that the conjugacy of both pointed transitive symbolic systems and transitive symbolic systems should be universal countable Borel equivalence relations. In [Kwi] the second named author of the present paper had announced that the classification problem of symbolic systems with the specification property is a universal countable Borel equivalence relation, but the proof contained a mistake. Therefore the following question remains open.
Question 10.1.
Is the conjugacy relation for symbolic systems with the specification property bi-reducible with the universal countable Borel equivalence relation?
Finally, one can also consider the conjugacy relation for arbitrary compact systems. Vejnar [Vej24] proved that the conjugacy relation for transitive compact systems is a complete orbit equivalence relation and the third author with Li [LP24] showed that the conjugacy relation for pointed minimal compact systems is not classifiable by countable structures. We do not know if the latter relation has the same complexity as that for pointed transitive Hilbert cube systems.
Question 10.2.
Does the conjugacy relation for pointed minimal compact systems have the same complexity as for pointed transitive Hilbert cube systems?
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