Substitution and Inflation
A Penrose tiling covers
the plane forever and never repeats — no matter how far you slide it, it never
lands back on itself. That raises two questions that sound almost impossible to answer. First, how
would you ever build such a thing, tile by tile, out to infinity? And second — the harder
one — how could anyone prove that a pattern reaching to infinity never repeats, when you
can only ever draw a finite patch of it?
Both answers come from a single, deceptively simple move: a substitution rule.
Replace every tile by a fixed little cluster of smaller tiles; then do it again, and again. Repeated
forever, this one rule grows a tiling with perfect self-similarity — the same
structure at every scale — and, as we'll see, it hands us a clean proof of aperiodicity built out of
one irrational number: the golden ratio \varphi.
What a substitution rule does
A substitution rule is a dictionary: for each type of tile it specifies a fixed arrangement
of smaller tiles to replace it with. Apply the rule to a starting tile and you get a small cluster;
apply it to every tile of that cluster and you get a bigger one; keep going and the pattern floods
outward across the plane. Nothing is ever chosen by hand — the whole infinite tiling is forced
by iterating the rule.
Because each stage is literally a scaled-down copy of the rule applied to the stage before, the
result is self-similar: zoom in and you meet the same local arrangements you saw at
full size. This is exactly the mechanism behind
fractals —
detail that regenerates at every scale — now put to work paving the plane.
Worked example 1 — the Fibonacci substitution (in one dimension)
The cleanest place to see the machinery is a one-dimensional "tiling": a row of two tile types,
L (long) and S (short). The substitution rule is just two lines:
L \;\to\; LS, \qquad S \;\to\; L.
Start with a single L and apply the rule to every symbol, over and over:
L \;\to\; LS \;\to\; LSL \;\to\; LSLLS \;\to\; LSLLSLSL \;\to\; \cdots
Count the tiles in each generation: 1, 2, 3, 5, 8, 13, 21, \dots — the
Fibonacci numbers. And count the two types separately: the numbers of
L's and S's are consecutive Fibonacci numbers,
so their ratio L/S = 1, 2, \tfrac32, \tfrac53, \tfrac85, \tfrac{13}{8}, \dots
marches straight towards the golden ratio \varphi \approx 1.618.
In the picture below, each row is one substitution step, drawn as coloured bars —
L long, S short — and every row is rescaled to the same
width. Watch what that rescaling reveals: each row looks like a magnified view of the one above
it. That is self-similarity, on screen.
The bookkeeping is captured by a tiny substitution matrix. Each
L produces one L and one
S; each S produces one
L and no S. Stacking the counts as columns:
M = \begin{bmatrix} 1 & 1 \\ 1 & 0 \end{bmatrix}, \qquad \begin{bmatrix} L_{n+1} \\ S_{n+1} \end{bmatrix} = M \begin{bmatrix} L_n \\ S_n \end{bmatrix}.
Its characteristic equation is \lambda^2 - \lambda - 1 = 0, whose largest
root is \lambda = \tfrac{1+\sqrt5}{2} = \varphi. That eigenvalue is the
factor by which the tiling grows at each step, and — because the tile counts settle into the
direction of its eigenvector — it also fixes the limiting ratio of L's to S's at exactly
\varphi : 1. One little matrix, and the golden ratio falls out.
Inflation and deflation
In two dimensions the same idea wears a second name. A Penrose tiling can be deflated:
cut every tile along fixed lines into smaller Penrose tiles — and the smaller tiling is again a
perfectly valid Penrose tiling. Or run it backwards and inflate: group the tiles into
larger ones. The remarkable fact is that inflation returns the same kind of tiling,
scaled up by the golden ratio \varphi.
That invariance under \varphi-scaling — the tiling is similar to itself
blown up by \varphi — is the fingerprint of aperiodic order.
A periodic wallpaper is invariant under a translation; an aperiodic Penrose tiling is instead
invariant under a scaling. It repeats in scale, not in place.
Worked example 2 — the Penrose substitution matrix
The kite-and-dart form of the Penrose tiling deflates by the rule: a kite becomes two
kites and one dart, and a dart becomes one kite and one dart. Its substitution matrix
is therefore
M = \begin{bmatrix} 2 & 1 \\ 1 & 1 \end{bmatrix}, \qquad \text{eigenvalues } \lambda = \frac{3 \pm \sqrt5}{2}.
The largest (Perron–Frobenius) eigenvalue is \lambda = \tfrac{3+\sqrt5}{2} = \varphi^2
\approx 2.618. This is now an area scale factor: deflation shrinks every
length by 1/\varphi, so areas shrink by 1/\varphi^2
and the number of tiles multiplies by \varphi^2 each step — precisely the
eigenvalue.
And its eigenvector, as before, gives the relative frequencies of the two tile types.
Solving (M - \varphi^2 I)\vec{v} = \vec 0 gives a kite-to-dart ratio of
\frac{\#\,\text{kites}}{\#\,\text{darts}} = \varphi \approx 1.618.
So the largest eigenvalue tells you the scale factor (\varphi for
length in 1-D, \varphi^2 for area in 2-D), and its
eigenvector
tells you the tile frequencies. Both point at \varphi.
The proof of aperiodicity, in one line
Here is the payoff. Suppose, for contradiction, that a Penrose tiling were periodic — that it
had a repeating unit cell. A unit cell contains a whole number of kites and a whole number of darts,
and the whole tiling is just copies of that cell, so the overall kite-to-dart frequency would have to
be a ratio of two integers — a rational number.
But the substitution matrix has just forced that frequency to be \varphi,
which is irrational. A rational number cannot equal an irrational one. So no unit
cell can exist: the tiling is aperiodic. The irrationality of a single eigenvector
ratio, handed to us by the largest eigenvalue of a 2\times2 matrix, rules
out every possible period at once.
Point a microscope at a Penrose tiling and start magnifying. A patch of kites and darts, blown up by
\varphi, is indistinguishable from a fresh patch drawn at full size —
because inflation says the magnified tiling is a Penrose tiling. Magnify again and the same
thing happens. There is no smallest scale where the structure "settles down," and no largest scale
where it starts to repeat. This endless self-similarity is the secret engine of the whole
construction: it is what lets one finite rule generate an infinite, never-repeating pattern, and it is
the very same property that makes fractals look intricate at every level of zoom.
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A substitution rule replaces each tile type by a fixed cluster of smaller tiles;
iterated, it grows a tiling that is self-similar at every scale.
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Equivalently, inflation / deflation: a Penrose tiling deflates into smaller Penrose
tiles, and inflating returns the same kind of tiling scaled by the golden ratio
\varphi.
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The substitution matrix counts how many tiles of each type each tile produces. Its
largest (Perron–Frobenius) eigenvalue is the scale factor — \varphi for
length, \varphi^2 for area — and its eigenvector gives the tile
frequencies, in the ratio \varphi : 1.
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Because \varphi is irrational, that frequency ratio is
irrational, so no periodic unit cell can exist: the tiling is aperiodic.
Self-similar is not the same as periodic. It is tempting to feel that a pattern
which "keeps repeating the same pieces" must repeat overall — but these are completely different kinds
of repetition. A substitution tiling repeats its structure at every scale (self-similarity,
an invariance under scaling by \varphi), yet it never
repeats by translation — you cannot slide it onto itself. Periodicity is the translation kind;
aperiodic tilings deliberately lack it while being richly self-similar.
And the proof of aperiodicity is not "it looks irregular" or "I couldn't find a repeat" — those prove
nothing about an infinite tiling. The proof is the irrational tile-frequency ratio
\varphi, forced by the substitution matrix's eigenvalue. Rational
frequencies would permit a unit cell; an irrational one forbids every unit cell, cleanly and
forever.