MATHEMATICS
503
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CONTEMPORARY
MATHEMATICS
503
Marcel de Jeu
Sergei Silvestrov
Christian Skau
Jun Tomiyama
Editors
Editorial Board
Dennis DeTurck, managing editor
George Andrews
Abel Klein
Martin J. Strauss
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such cases, requests for permission to use or reprint should be addressed directly to the author(s).
(Copyright ownership is indicated in the notice in the lower righthand corner of the rst page of
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c 2009 by the American Mathematical Society. All rights reserved.
The American Mathematical Society retains all rights
except those granted to the United States Government.
Copyright of individual articles may revert to the public domain 28 years
after publication. Contact the AMS for copyright status of individual articles.
Printed in the United States of America.
The paper used in this book is acidfree and falls within the guidelines
14 13 12 11 10 09
Contents
Preface
vii
List of Participants
ix
27
39
53
73
93
121
141
151
Johan Oinert
159
177
197
217
vi
CONTENTS
259
267
291
307
Preface
Many dynamical systems are naturally accompanied by an associated operator
structure of some kind. A well known instance occurs when a topological group acts
on a compact Hausdor space, where one can form the associated crossed product
C algebra. This algebra can be viewed as the counterpart of the crossed product
von Neumann algebra associated with a group of measurable transformations, and,
just as the crossed product von Neumann algebra carries information about the
measurable system, the crossed product C algebra carries information about the
topological dynamical system. The rst attempt at a systematic investigation of
this interplay between topological dynamics and C algebras was in a 1967 AMS
Memoir by Eros and Hahn, the dating of which, incidentally, demonstrates that
crossed product C algebras in the topological context are younger than crossed
product von Neumann algebras in the measurable context, which go back to the
much earlier seminal papers by Murray and von Neumann.
The above manner of constructing a crossed product C algebra in a topological
context is only a special case of a more general procedure. In a noncommutative
setting, where a group acts on a possibly noncommutative C algebra, it is likewise
possible to construct a crossed product C algebra. The general theory of such
algebras has developed considerably since its introduction in the second half of
the 1960s, with wide ramications in the general theory of C algebras and of
unitary group representations. This more general theory applies to the interplay
between topological dynamical systems and crossed product C algebras mentioned
above, but by its general nature it is sometimes hard to obtain the more detailed
statements, which can be given in the commutative setting, as corollaries from the
general noncommutative context.
From July 2125, 2008, a one week meeting at the Lorentz Center in Leiden was
organized by the undersigned editors, together with Klaas Landsman (Nijmegen)
and Sjoerd Verduyn Lunel (Leiden), with the aim of bringing together senior and
junior researchers from both elds of primary interest, i.e., people working in the
general theory of C crossed products as well as people with an emphasis on the
more special topological dynamical context. As a result, this workshop Operator
Structures and Dynamical Systems, which was a satellite of the Fifth European
Congress of Mathematics taking place in the preceding week in Amsterdam, saw a
broad spectrum of 54 participants from 16 countries and 5 continents. All in all, 28
lectures were delivered, inspired by the central theme, and covering recent research
results as well as expository material. From the papers in these proceedings the
reader will have a fair impression of what this week was like, and it is a pleasure
to thank the AMS and its sta, and Christine Thivierge in particular, for making
their publication possible.
vii
viii
PREFACE
The editors and their coorganizers are particularly grateful to the Lorentz
Center, which supplied a considerable part of the budget, the facilities and, last
but not least, the remarkable organizational skills of Gerda Filippo, backup up by
Martje Kruk. The remaining substantial part of the budget was provided jointly by
the Royal Dutch Academy of Arts and Sciences, the Dutch national research clusters
Geometry and Quantum Theory and Nonlinear Dynamics of Natural Systems,
the Dutch research schools Mathematical Research Institute and Thomas Steiltjes Institute for Mathematics, and the Netherlands Organisation for Scientic
Research. Their support, and the support by STINT and the Crafoord Foundation
on behalf of the Swedish participants, is gratefully acknowledged.
Marcel de Jeu
Sergei Silvestrov
Christian Skau
Jun Tomiyama
June 16, 2009
List of Participants
Astrid An Huef
Sydney, Australia
Patricia Hess
S
ao Paulo, Brazil
Robert Archbold
Aberdeen, United Kingdom
Marcel de Jeu
Leiden, The Netherlands
Ola Bratteli
Oslo, Norway
Tsuyoshi Kajiwara
Okayama, Japan
Berndt Brenken
Calgary, Canada
Evgenios Kakariadis
Athens, Greece
Julian Buck
Eugene, United States
Aristides Katavolos
Athens, Greece
Toke Carlsen
Odense, Denmark
Takeshi Katsura
Yokohama, Japan
Gilles de Castro
Orleans, France
Shinzo Kawamura
Yamagata, Japan
Erik Christensen
Copenhagen, Denmark
Eberhard Kirchberg
Berlin, Germany
Kenneth Davidson
Waterloo, Canada
Edward Kissin
London, United Kingdom
Sjoerd Dirksen
Delft, The Netherlands
Erik Koelink
Nijmegen, The Netherlands
Siegfried Echterho
M
unster, Germany
Wolfgang Krieger
Heidelberg, Germany
Gwion Evans
Aberystwyth, United Kingdom
Klaas Landsman
Nijmegen, The Netherlands
Ruy Exel
Florianopolis, Brazil
Aldo Lazar
Tel Aviv, Israel
Thierry Giordano
Ottawa, Canada
Kengo Matsumoto
Yokohama, Japan
Magnus Goeng
Goteborg, Sweden
Konstantin Medynets
Kharkov, Ukraine
ix
PARTICIPANTS
Igor Nikolaev
Toronto, Canada
Yasuo Watatani
Fukuoka, Japan
Johan Oinert
Lund, Sweden
Dana Williams
Hanover, United States
Hiroyuki Osaka
Kusatsu, Japan
Daniel Worm
Leiden, The Netherlands
Ben de Pagter
Delft, The Netherlands
Marten Wortel
Leiden, The Netherlands
Justin Peters
Ames, United States
Christopher Phillips
Eugene, United States
Maarten van Pruijssen
Nijmegen, The Netherlands
Ian Putnam
Victoria, Canada
Iain Raeburn
Wollongong, Australia
Jean Renault
Orleans, France
Sergei Silvestrov
Lund, Sweden
Christian Skau
Trondheim, Norway
Fedor Sukochev
Adelaide, Australia
Christian Svensson
Leiden, The Netherlands & Lund,
Sweden
Thomas Timmermann
M
unster, Germany
Ivan Todorov
Belfast, United Kingdom
Reiji Tomatsu
Leuven, Belgium
Jun Tomiyama
Tokyo, Japan
Sjoerd Verduyn Lunel
Leiden, The Netherlands
Contemporary Mathematics
Volume 503, 2009
1. Introduction
The interplay between representation theory of algebras and dynamical systems or
more general actions of groups or semigroups is an expanding area of investigation
deeply intertwined with origins of quantum mechanics, foundations of invariants
and number theory, symmetry analysis, symplectic geometry, dynamical systems
and ergodic theory and several other parts of mathematics that are fundamental
for modern physics and engineering. Over the past sixty yeas investigation of this
broad interplay have been developed to some extent independently within several
interlacing contexts. On the one hand in the area of operator algebras, the crossed
product type C algebras and W algebras have been associated with actions of
groups, semigroups or dynamical systems. Properties and classications of dynamics or actions are linked to the properties or classications of the corresponding
C algebras and W algebras and their operator representations. Historically this
general approach can be viewed as an extension of the theory of induced representations of nite and compact groups on the one hand and as a general abstract
framework for foundations of quantum mechanics and quantum eld theory on the
other hand [E65, E81, E82, Gli61b, Gli61a, Jor88, JSW95, Mac68,
Mac76, Mac89]. In this context C algebras, W algebras and more general Banach algebras are often considered without making specic choices of generators
of the algebras. This can be viewed as a kind of noncommutative coordinateindependent approach to simultaneous treatment of actions and spaces on the
2000 Mathematics Subject Classication. Primary 16S35, 16G99.
Key words and phrases. representations, algebras, surfaces, dynamical systems, orbits.
same level within the same general framework [AS94, BR79, BR81, Dav96,
E65, E81, E82, Gli61b, Gli61a, KTW85, Li92, Ped79, Sak71, ST02,
SSdJ07a, SSdJ09, SSdJ07b, ST08, ST09, Tak79, Tom87, Tom92]). Crossed
product type algebras and related graded structures have been also considered in
connection to the properties of the actions in pure algebra context in ring theory
in the ways similar to crossed product C algebras and W algebras, but typically
not taking into consideration norm or metric structures, considering to a greater
extent representations which are not necessarily representations and working with
algebras and rings over various kinds of elds, not necessarily real or complex num
OS09].
A more straightforward approach is based on specic choices of generators for the algebras and more direct analysis of operators representing the generators. This constructive noncommutative coordinates approach is often used
in physics and engineering models. The choice of generators can be viewed as a
choice of noncommutative coordinates. The convenient choice of the generators
(noncommutative coordinates) as in any coordinate approach is a key to success
of further analysis. Choices of generators inuence the form and complexity of the
commutation rules, with the best choice of generators being often that which makes
dynamics or actions appear explicitly in the commutation relations. Such choices of
generators often indicate that the algebra might possibly be viewed as some kind of
crossed product of a subalgebra by an action or perhaps a quotient of such crossed
product. Properties and structure of the dynamics are reected in the properties
and structure of the operator representations of the associated to the dynamics
commutation relations [OS89, OS99, Sam91, VS88, Sil95, SW96, VS90].
The algebras we will consider in this article are naturally dened by generators
and relations of a certain type closely linked to the action of general ane transformations in two dimensions (see Denition 2.1). We establish close connection
between these algebras and algebras that arise from a quantization procedure of
Poisson brackets associated to a general class of algebraic surfaces (see Denition
2.2, Proposition 3.3 and Section 4). We will mostly work in this article with nitedimensional representations, and also describe some classes of innitedimensional
representations. The algebras we consider are closely related to crossed product
algebras of the algebra of functions in two commuting variables by the action of an
additive group of integers or a semigroup of nonnegative integers via composition
of a function with powers of the ane transformation applied to the twodimensional
vector of variables (see equation (2.7) and Proposition 3.1). Therefore, there exists
a strong interplay between representations and especially representations of these
commutation relations and dynamics of the ane transformation (see Sections 5
and 6). Especially the orbits play important role for all nitedimensional representations and also for some classes of innitedimensional representations as these
representations can be described explicitly in terms of orbits or parts of orbits. Another way of expressing this and the structure of representations is using graphs. In
this paper, representations of the algebras connected to ane transformation and
their structure is studied using both the orbits and the graphs of iterations of the
ane transformation.
One of our main goals in this paper is to establish and investigate the interplay of representations of these parametric families of commutation relations and
algebras with the geometry of the corresponding parametric families of algebraic
+ uS SE = 0
ES + ES
+ vS S E
=0
ES + ES
+ uT ET = 0
T E + T E
+ vT ET
=0
T E + T E
EE
EE
= 0,
[E, E]
0 S
E
E
E
E
T 0
(2.7)
T
L
=
0 T
E
E
EE
= 0.
EE
This way of writing the relations indicates a close connection of the algebra AL to
crossed product type algebras and hence interplay with dynamics of iterations of
the algebra AL (see Proposition 3.1).
Let us now dene a second algebra related to the ane map L.
Definition 2.2. Let C W, V be a free associative algebra on two letters over
the complex numbers, and let L be the ane map on R2 dened by Lx = Ax + u.
For any a R, let Ia be the twosided ideal generated by the relations
(2.8)
W 2 V = aW (det A) V W 2 + (tr A) W V W
(2.9)
W V 2 = aV (det A) V 2 W + (tr A) V W V.
We then dene CL,a to be the quotient algebra C W, V /Ia . We can also consider
CL,a to be a algebra by dening W = V and V = W , since the set of relations
(2.8)(2.9) is invariant under this operation.
(T ) = V
(E) = k1 + mW V + nV W
+ mW
= k1
(E)
V +n
V W.
To obtain a homomorphism, we must require that elements that are equivalent to
0 in AL are mapped to elements equivalent to 0 in CL,a . This requirement gives
rise to the following system of equations
tr A det A
m n
m n
=0
1
0
m
n
m
n
k
u
a
m n
12
.
=
v
0
m
n
k
General solutions to this system of equations are given in Appendix A, but whenever
a = 0, a particularly simple solution is given by
1
(E) =
uW V + v u V W
a
= 1 vW V + u v V W .
(E)
a
Let P[E, E]
= V W . In this section
denote the subalgebra of CL,a generated by D = W V and D
we will gather a couple of results that concern central elements in AL and CL,a .
it holds that
Proposition 3.1. For any p P[E, E]
= p En , E
n S n
S n p(E, E)
n = T n p En , E
n
p(E, E)T
n ) = Ln (E, E).
where L(x,
From
these
p(x, y) =
propositions it is clear that any polynomial
p, satisfying
y) and any polynomial q, satisfying q(x, y) = q L(x, y) generate central
p L(x,
elements of CL,a and AL respectively. In particular, we have the following result
{x, y} = z C
(4.3)
{y, z} = x C
(4.4)
{z, x} = y C
{x, y} = z
(4.10)
{y, z} = 0 x + 1 x(x2 + y 2 )
(4.11)
{z, x} = 0 y + 1 y(x2 + y 2 ).
We will choose an ordering of the right hand sides in terms of the complexied
variables W = X + iY and V = X iY (cp. [Arn08b]) 1
[X, Y ] = iZ
i 2
2
2
2
[Y, Z] = i0 X +
1 V W + V W + 1 V W V + W V W + 1 W V + W V
2
2
i
2
2
2
1 V W V W + 1 W V W V W V + 1 W V W V
[Z, X] = i0 Y +
2i
for any choice of 1 , 1 , 1 such that 1 +
1 +1 = 1 . By eliminating Z = [X, Y ]/i,
one can write the second two relations entirely in terms of W and V
1 + 22 1 W 2 V = 20 2 W 22 1 + 1 V W 2 + 2 22 1 W V W
1 + 22 1 W V 2 = 20 2 V 22 1 + 1 V 2 W + 2 22 1 V W V.
This algebra is isomorphic to CL,a if
a=
20 2
1 + 22 1
1
22
22
where = 1 + det A tr A.
dened in (3.1) when det A = 1, by writing it in
Let us study the Casimir C,
= 2 X 2 + Y 2 and D D
= 2Z, we obtain
terms of X, Y and Z. Since D + D
2
C = 8a X 2 + Y 2 + 4 2 tr A X 2 + Y 2 + 42 2 + tr A Z 2 .
det A =
When the algebra CL,a arises from a surface, we can express tr A in terms of
0 , 1 , 1 , 1 , 1 to obtain
2
1 2
1 + 22 1
1 2
2
2
2 2
2
C
=
X
1 Z .
X
+
+
Y
+
Y
+
1
+
2
0
1
162
2
2
In this way we see that the Casimir C is a noncommutative analogue of the embed
ding polynomial C(x, y, z). In any irreducible representation , the element (C)
will be proportional to the identity. Let us dene two constants c0 and c1 through
the following relations:
1 + 22 1
= 4
(C)
c1 1
and
c0 =
c1 .
42
In the procedure of constructing noncommutative algebras from a given polynomial,
information about the constant c0 is lost since the construction only depends on
partial derivatives of C(x, y, z). As we will see, dierent values of c0 correspond
1Note that in [Arn08b], the parameter is not present (although it is implicitly present in
1
[ABH+ 09], taking the value 1/2). This is an additional freedom in the choice of ordering that
can not be extended to higher order algebras without breaking the commutativity of W V and
V W.
to, for instance, dierent topologies of the surface, and this rises a problem if we
want to study geometry in the algebraic setting. However, since (when det A = 1)
the central element C is a noncommutative analogue of the polynomial C(x, y, z),
we will identify c0 and c0 in an irreducible representation; this gives us a way to
determine the topology of a representation.
In the following we will compare the geometry of the surface, for all values of
0 , 1 , c0 , with the representation theory for the corresponding irreducible representations of CL,a when c0 = c0 .
5. representations of CL,a
From the viewpoint of noncommutative surfaces, one is interested in representations
in which X, Y and Z are selfadjoint operators. This requirement is transferred to
CL,a by considering representations. By a representation we mean a representation such that (A ) = (A) . Clearly, writing W = X + iY and V = X iY ,
for hermitian matrices X, Y , implies that W = V .
The ()representation theory of CL,a was worked out in [Arn08b], but let us
recall some details in the construction. Let us for simplicity denote (W ) by W and
(V ) by V in a nite dimensional representation of CL,a . By Proposition 2.3 the
= W W will be two commuting hermitian matrices,
matrices D = W W and D
and therefore they can always be simultaneously diagonalized by a unitary matrix.
Let us assume such a basis to be chosen and write
D = diag(d1 , d2 , . . . , dn )
= diag(d1 , d2 , . . . , dn ).
D
In components, the dening relations of CL,a (together with the associativity con can then be written as
dition DW = W D)
Wij tr A di det A di + a dj = 0
Wij di dj = 0,
Thus, either Wij = 0 or
dj = tr A di det A di + a
dj = di .
Wij = 0.
By assigning the vector xi to the vertex i, it follows that for a graph corresponding
xi ) whenever
to the matrix W in a representation of CL,a , it holds that xj = L(
there is an edge from i to j. The dynamical system on the graph can therefore be
depicted as in Figure 5.
2 (x)
L
x
x)
L(
3 (x)
L
2 (x)
L
3 (x)
L
that since the matrices D and D are nonnegative, all vectors {xi } must lie in
R20 = {(x, y) R2 : x, y 0}. The natural question is now: Which graphs
correspond to irreducible representations of CL,a ? The answer lies in the following
theorem.
Theorem 5.2 ([Arn08b]). Let be a locally injective representation of CL,a .
Then is unitarily equivalent to a representation in which (W V ) and (V W ) are
diagonal and the directed graph of (W ) is a direct sum of strings and loops. A
representation corresponding to a single string or a single loop is irreducible.
is injective on the set
Remark 5.3. A representation is locally injective if L
{x1 , x2 , . . . , xn }. A representation whose graph is connected and contains a loop
is invertible, then any repwill always be locally injective [Arn08b]. Clearly, if L
resentation is locally injective.
Furthermore, one can show that every kstring in R20 and every periodic orbit in
R2>0 = {(x, y) R2 : x, y > 0} induce an irreducible representation of CL,a ; distinct
orbits/kstrings induce inequivalent representations. In this way, the representation
theory of CL,a is completely determined by the dynamical properties of the ane
map L.
d1 0
0
0
0
d2
0
0
..
..
..
.
.
.
.
(5.1)
(W ) = .
.
.
.
.
0
dn1
0
i
e
dn
0
0
0
for any R.
5.1. Innite dimensional representations. There are two classes of innite dimensional representations of CL,a that can be easily constructed. They come
in the form of innite dimensional matrices with a nite number of nonzero elements in each row and column. This assures that the usual matrix multiplication
is still welldened.
The rst type is onesided innite dimensional representations. In this case
the basis of the vector space is labeled by the natural numbers. The second type
is twosided innite dimensional representations; and the basis vectors are labeled
by the integers.
A onesided representation of CL,a can be constructed by choosing x0 = (d0 , 0)
k (x0 ) R2>0 for k = 1, 2, . . .. A onesided
(with d0 > 0) such that xk = (dk , dk ) = L
representation is then obtained byletting (W ) be an innite dimensional matrix
with nonzero elements Wk,k+1 = dk for k = 0, 1, . . ..
to be invertible, twosided representations can be constructed
If we assume L
k (x0 ) R2 for k Z. We then
by choosing x0 R2>0 such that xk = (dk , dk ) = L
>0
We dene = p1 (0) and call this set the constraint curve of an irreducible representation. When tr A = 2, we can write the constraint curve in the following
convenient form
2 + tr A
2
2
(r s) 4
p(r, s) = (r + s 2) +
c
In the case when consists of one or two disjoint curves, one can check that L
will preserve the direction along the curves; i.e. we can parametrize each curve by
10
and denote points on the curve by x(), such that if we dene 1 and 2 through
x(1 ) = L(x(1 )) and x(2 ) = L(x(2 )) then 1 1 , and 1 2 implies that
1 2 .
Let us now prove a few results leading to Proposition 5.8, that tells us when
there are no nontrivial (i.e. of dimension greater than one) nite dimensional
representations.
denote the ane map dened by L(x,
y) = (x tr A
Proposition 5.4. Let L
2
y det A + a, x) and assume that (tr A) = 4 det A and tr A = 1 + det A. Then it
holds that
n
n+1
1
x
q
+ n
+ n+1
n x
=
L
n1
y
y
q n1
n+ n
+
+
1n
n
1
+ 1+
1
a
+
+
.
1n
1n
+
1+
1
where = tr A (tr A)2 4 det A /2.
has no periodic points
Lemma 5.5. Assume that det A = 1 and 0. Then L
other than xpoints.
Proof. When tr A = 2 and det A = 1, a direct computation shows that there
are only periodic points when a = 0, and these points are xpoints.
When tr A > 2 and det A = 1, the eigenvalues of the matrix
tr A 1
M=
1
0
are real and distinct; furthermore, they are both dierent from 1. Since no eigen is equivalent to the linear map M around some
value equals 1, the ane map L
is equivalent to nding periodic points of
point. Thus, nding periodic points of L
M . Moreover, since the eigenvalues of M are distinct, the matrix is diagonalizable.
exist
In total, this means that periodic points (of period greater than one) of L
if and only if one of the eigenvalues of M is an nth root of unity. But this is
has no
impossible since both eigenvalues are real and dierent from 1. Hence, L
periodic points except for the possible xpoints.
Lemma 5.6. Assume that det A = 1, < 0 and a 0. For any integer n 1,
n (x, 0) = (0, y).
there are no x, y > 0 such that L
Proof. When det A = 1 and tr A > 2, the relations (tr A)2 = 4 det A and
n (x, 0) = (0, y) is
tr A = 1 + det A are fullled. Therefore, by Proposition 5.4, L
equivalent to
n+1
+ n+1
(5.4)
x + a + F+n Fn = 0
n
+ n x + a F+n Fn = (+ )y,
(5.5)
where F+n = 1 n+ /(1 + ) and Fn = 1 n /(1 ). In the current case,
0 < < 1 and + > 1, which implies that F+n > Fn > 0. Thus, when a 0 we
must have x 0 by equation (5.4).
Lemma 5.7. Assume that det A = 1, = 0 and a 0. For every integer n 1
n (x, 0) = (0, y).
there exist no x, y > 0 such that L
11
Proof. When det A = 1 and tr A = 2, the nth iterate of the ane map can
easily be calculated as
an n + 1
x
1 + n n
n x
+
L
,
=
y
n
1n
y
2 n1
n (x, 0) = (0, y) implies that x 0 since a 0.
and one sees directly that L
x1 () = c +
c
x2 () = c
c
2 sinh sinh(n 1)
.
cosh n
12
6. representations of AL
To study the representation theory of AL , we will use the same techniques as for
the representation theory of CL,a ; we will again see that the dynamical properties
of an ane map is of crucial importance. Since there exists a homomorphism :
AL CL,a , every representation of CL,a induces a representation of AL . However,
in general there are representations that can not be induced from CL,a .
will be two comIn any (nite dimensional) representation , (E) and (E)
muting hermitian matrices. Therefore, any such representation is unitarily equiva are diagonal. Let us assume such a basis to
lent to one where both (E) and (E)
be chosen and write
E = diag(e1 , e2 , . . . , en )
= diag(
E
e1 , e2 , . . . , en ).
For matrices in this basis, the dening relations of AL reduce to
Sij ei +
ei + u ej = 0
Sij ei +
ei + v ej = 0,
are diagonal. There are two ways of fullling these equations:
since S = T and E, E
Either Sij = 0 or
ej
ei
e
u
=L i ,
=
+
ej
ei
ei
v
and by dening vi = (ei , ei ) we write this as vj = L(vi ).
Let GS = (V, E) be the directed graph of S. If (i, j) E (i.e. Sij = 0) then a
necessary condition for a representation to exist is that vj = L(vi ). On the other
hand, given a graph G and vectors {vk } such that vj = L(vi ) if (i, j) E, then any
matrix whose digraph equals G denes a representation of AL . Hence, the set of
representations can be parameterized by graphs allowing such a construction.
Definition 6.1. A graph G = ({1, 2, . . . , n}, E) is called Ladmissible if there
exists vk R2 for k = 1, 2, . . . , n, such that vj = L(vi ) if (i, j) E. An Ladmissible graph is called nondegenerate if there exists such a set {v1 , . . . , vn } with
at least two distinct vectors; otherwise the graph is called degenerate.
By this denition, the digraph of S in any representation is Ladmissible, and
every Ladmissible graph generates at least one representation. Clearly, given an
Ladmissible graph, there can exist a multitude of inequivalent representations
associated to it. If L has a xpoint (ef , ef ), then any graph is Ladmissible and
= ef 1 and S an arbitrary matrix.
this representation corresponds to E = ef 1 and E
However, not all graphs will be nondegenerate Ladmissible graphs.
Let us now show that in the case when the representation is locally injective
(cp. Remark 5.3), we can bring it to a convenient form. Let G = (V, E) be an Ladmissible connected graph (if it is not connected, the representation will trivially
be reducible, and we can separately consider each component) and let S be a
matrix with digraph equal to G, such that the representation is locally injective.
Furthermore, let v1 , . . . , vk be an enumeration of the pairwise distinct vectors in
the set {v1 , . . . , vn } such that vi+1 = L(
vi ), and dene Vi V as follows
Vi = {l V : vl = vi }
for i = 1, . . . , k.
13
Since the representation is assumed to be locally injective, we can only have edges
from vertices in the set Vi to vertices in the set Vi+1 (identifying k + 1 1). Hence,
the vertices of the graph can be permuted such that the matrix S takes the following
block form:
0 S1 0
0
0
0 S2
0
..
.
..
..
..
..
(6.1)
S= .
.
.
.
0
0
0 Sk1
Sk 0
0
0
where each matrix Si is a Vi  Vi+1  matrix. Thus, the representations of AL are
generated by the ane map L in the following way: Any point v1 R2 gives rise
to the points vi = (ei , ei ) = Li1 (
v1 ); by setting
e1 1n1
e1 1n1
..
..
=
E=
E
.
.
ek 1nk
ek 1nk
together with any matrix of the form (6.1), with Si a ni ni+1 matrix, one obtains
a representation of AL of dimension n1 + + nk . Unless x1 is a periodic point
of order k we must set Sk = 0. Moreover, distinct iterations of L (i.e, at least
one of the points dier) can not give rise to equivalent representations since the
will be dierent.
eigenvalues of E and E
7. Representations and surface geometry
We will now study the relation between the geometry of the inverse image =
C 1 (0) and representations of the derived algebra CL,a . More precisely, the geometry of C 1 (0), for dierent values of 0 , 1 , c0 will be compared with the representations of CL,a with c0 (the value of the central element) being equal to c0 , and
a, tr A, det A related to 0 , 1 , 1 , 1 , 1 , as in Section 4. Furthermore, the comparison will be made for small positive values of . When det A = 0, the ane map
will be invertible, and therefore Theorem 5.2 applies, i.e. all nite dimensional
L
representations can be classied in terms of loops and strings.
Let us rewrite the polynomial C(x, y, z), as dened in (4.8), to a form which
makes it easier to identify the topology of the surface in the case when 1 = 0
2
2
0
2 2
0
2c0
1
2
2
x +y +
+
z
+
C(x, y, z) =
.
4
1
1
12
1
but if 1 > 0 the genus of the
If 1 < 0 the inverse image will be noncompact,
0
1
and
c=
02
2c0
+
.
2
1
1
If 1 < / c < 1 the inverse image is a compact surface of genus 0, and if / c > 1
the surface has genus 1 (see [ABH+ 09] for details and proofs). When 1 = 0, the
polynomial becomes
1
0 2
1
C(x, y, z) =
x + y 2 + z 2 c0 ,
2
2
2
14
and the smooth inverse images consist of ellipsoids and (one or two sheeted) hyperboloids. A complete table of the dierent geometries can be found in Appendix B.
We note that when the algebra CL,a arises from a surfaces, then 2 + 2
c0 /1 = c.
By introducing
1 + 22 1 12 2 1
02
2
c0
t2 =
and
c
=
+
2
2
4
1
1
one can rewrite the dening equation of the constraint curve as
20
2 8t2
(7.1)
+
(r s)2 4
c
p(r, s) = r + s +
1
1
0
(r + s) + t2 (r s)2 c0
p(r, s) =
(7.2)
2
when 1 = 0 and 1 = 0 respectively. Since we only consider small values of , we
can assume that t2 > 0.
Note that we will use the parameters of the algebra and the parameters of the
surface interchangeably, and they are assumed to be related as in Section 4.
7.1. The degenerate cases. Let us take a look at the cases when the inverse
image is not a surface (P.1 P6, Z.1 Z.4), by studying some examples. For instance,
in case P.4, will be the empty set, and we easily see that there are no nonnegative
are
(r, s) on the constraint curve . Therefore, since the eigenvalues of D and D
nonnegative, no representations can exist. In case P.2 one gets = {(0, 0, 0)},
and the only nonnegative point on is (0, 0). Therefore, all representations must
= 0, which implies that W = 0.
satisfy D = D
By considering all degenerate cases, one can compile the following table:
= C 1 (0)
Irreducible representations
None
{(0, 0, 0)}
(W ) = 0
{(x, y, 0) : x + y = 0 /1 } (W ) = 0 /1 
2
15
e2in = 1
c cos n + cos = 0
String (Z.5):
c0 =
02 2 (n2 1)
.
4(1 + 22 1 )
In the case when / c > 1/ cos one can have twosided innite dimensional
representations by letting be an irrational multiple of ; this is not possible
for the sphere. Let us summarize the representations for compact surfaces in the
following table:
= C 1 (0)
Irreducible representations
Sphere
String representations
Critical torus
(Noncritical) torus
0
d1 0
0
0
1.25
0
0
0
1.46
0
0
d2
0
..
.
.
.. .
.
.
.
.
.
.
..
..
..
..
..
..
.. ..
(W ) = .
.
0
0
0 0.79
d10
0
1.00
0
0
0
d11
0
0
0
16
7.3. Noncompact surfaces. The remaining surfaces will have one or two
noncompact components (except for the surfaces in Section 7.4, which has both
a compact and a noncompact component) and we will show that innite representations always exist, whereas all nite dimensional representations are onedimensional. By looking at the tables in Appendix B, one sees that noncompact
surfaces appear only when 1 0 which, for small , is equivalent to 0.
We can now prove the following result about the relation between geometry and
representations.
Proposition 7.1. Let CL,a be an algebra corresponding to a surface where
each component is noncompact, and assume that at least one of 0 , 1 , c0 is different from zero. Then the following holds:
(1) All nite dimensional irreducible representations have dimension one.
(2) If has two components then there exists two inequivalent onesided innite dimensional irreducible representations, but no twosided representations.
(3) If is connected and nonsingular, then there exists a twosided innite
dimensional irreducible representation; if a 0, or a > 0 and c > 2 (1 +
/4), then no onesided representations exist. If a > 0 and c 2 (1 +
/4) then onesided representations exist.
Proof. Statement 1 follows immediately from Proposition 5.8. Statement 2
can be proved in the following way: By examining all cases in Appendix B where
C 1 (0) has two noncompact components (Z.8, N.1, N.2, N.5, N.8), one sees that
the components of which intersect R20 has the following form
In the rst case, two inequivalent onesided representations can be constructed but
no twosided representations can exist because backward or forward iterations of
any point will eventually reach outside R2>0 . In the second case, it holds that the
lower left tip of the curve intersecting R20 has strictly negative coordinates and
the curve intersects the positive axes exactly once. This immediately allows for
a construction of two inequivalent onesided innite dimensional representations.
Now, can we have twosided representations? Any constraint curve will cross the
positive raxis in the following points:
1
(7.3)
r = a a2 + 4
c1
2
If there is only one strictly positive intersectionpoint, it must hold that r+ > 0
but r 0. Actually r < 0 since the lower left tip of the curve is not in R20 .
A necessary condition for a twosided representations to exist is that there exists a
is contained
point on the curve such that all backward and forward iterations by L
2
in R>0 . This means that (since L preserves the direction of the curve) when we
to the point of intersection with the saxis, we must obtain a point in R2
apply L
0
(otherwise no point is able to jump the negative part of by the action of L).
17
In particular, it intersects the positive axes at least once. Thus, onesided representations can be easily dened, but what about twosided representations? We will
now show that the backward and forward iteration of the point at the lower left
tip both lie in R2>0 . We consider only the case Z.6 as the other case (N.4) can be
treated analogously. The lower tip of the ellipse has coordinates (r0 , r0 ) for some
r0 > 0. We calculate
r0 + a
r0
r0
2
1 r0
=
R>0 and L
=
R2>0 ,
L
r0
r0
r0
r0 + a
since a > 0. Hence, we can dene a twosided representation by starting at (r0 , r0 )
18
can continue to exist; but as the hole grows wider they cease to exist. For noncompact surfaces, onesided representations continue to exist even though the two
components have been joined together. As an example, let us consider a surface
with 0 = 1, 1 = 1 and c = 1.02. Choosing = 0.3, 1 = 1 = 1/4 and
1 = 1/2 gives us the constraint curve in Figure 4. On the left curve, the rst
iterations of a onesided innite dimensional representations are plotted; on the
right curve one nds iterations corresponding to a twosided representation. The
representations that are dened by these two gures the following form:
0 0.41
0
0.74
0
1.11
onesided (W )
0
1.53
..
..
.
.
..
twosided (W )
..
0
.
0.45
0
0.01
0
0.01
0
0.45
0
0.79
..
.
..
19
When / c = 1, the lower component will intersect R20 in the point (0, 0), which
allows for a onedimensional trivial representation.
As for the compact surfaces, string representations do not exist for all values
of (if we x c). In the notation of Proposition 5.9, the condition for the existence
of a ndimensional string representation is
cosh c cosh n = 0.
7.5. Singular noncompact surfaces. The surfaces Z.7, N.3, N.6 have a
singularity at one point (which arises as two sheets come together) and the surface
N.9 is a limit case of N.12, where the sphere touches the noncompact surface. The
corresponding constraint curves will have one of the forms in Figure 6, where the
20
of the inverse image for a class of compacts surfaces of genus 0 and 1. We have now
extended this analysis to inverse images of general rotationally symmetric fourth
order polynomials. Apart from recovering earlier results, we have shown that the
representation theory respects the geometry of the surface to a high extent. Namely,
in all cases where = C 1 (0) is empty, no representations exist. When is not a
surface, then no irreducible representations of dimension greater than one exist. In
the case when is nonsingular noncompact, the correspondence is as follows: if
has two sheets then there exists two inequivalent onesided innite dimensional
representations, and if has one sheet there is a twosided innite dimensional
representation. In all noncompact cases no nitedimensional representations of
dimension greater than one exist.
Acknowledgement
This work was partially supported by the Swedish Research Council, the Crafoord
Foundation, the Swedish Royal Academy of Sciences and the Swedish Foundation of
International Cooperation in Research and Higher Education (STINT). J. A. would
also like to thank the Sonderforschungsbereich SFB647 as well as the Institut des
Hautes Etudes
Scientiques for nancial support and hospitality.
21
1
m
n
m
n
det A
=0
0
is given by
n = m
m
n
= m m.
=
v
0
m
n
k
Whenever a = 0, we can always solve (7.4) by
has a unique solution for k and k.
setting
1
1
m=
( 1)k + k + u
m
=
k + ( 1)k + v .
a
a
If = a = 0 there are two cases. When A = 12 it is necessary that u = v = 0,
in which case (7.4) is identically satised and the ane map L will be the identity
map. If A = 12 we get the following conditions
1
u + k
= 1 :
if ( 1)v = u then k =
1
1
= 0 :
if ( 1)v = u then k = v + ( 1)k
1
v + k
= 1 :
if ( 1)u = v then k =
1
1
= 0 :
if ( 1)u = v then k = u + ( 1)k .
22
c
/ c C 1 (0)
R20
1 > 0
P.1
<0
P.2
{(0, 0, 0)}
P.3
<0
{(0, 0)}
0 
{(x, y, 0) : x + y = 0 /1 }
1 (1, 1)
P.4
>0
P.5
>0 >0
< 1
P.6
>0 >0
{(0, 0, 0)}
{(0, 0)}
P.7
0 >0
> 1
Sphere
{Ellipse} R+
0
P.8
<0 >0
<1
Sphere
{Ellipse} R+
0
P.9
<0 >0
{Ellipse} R+
0
P.10
<0 >0
>1
Torus
{Ellipse} R+
0
1 = 0
c0
C 1 (0)
Z.1
<0
Z.2
R20
Z.3
>0 <0
Z.4
>0
{(0, 0, 0)}
{(0, 0)}
Z.5
>0 >0
Sphere
Compact.
Z.6
<0 <0
Noncompact.
Z.7
<0
Singular hyperboloid
Noncompact.
Z.8
<0 >0
Noncompact.
1 < 0
/ c
N.1
<0 0
N.2
<0 >0
< 1
N.3
<0 >0
N.4
<0 >0
> 1
C 1 (0)
N.5
<0
N.6
N.7
>0
N.8
>0 <0
N.9
>0
N.10
>0 >0
<1
N.11
>0 >0
N.12
>0 >0
>1
23
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25
Contemporary Mathematics
Volume 503, 2009
1. Introduction
In [16], Kajiwara and Watatani dened a C*algebra dened from an iterated
function system (IFS). Although their paper was entitled C*algebras associated
with selfsimilar sets, they gave examples of dierent iterated function systems
which give rise to the same selfsimilar set but which associated algebras are not
isomorphic. So their algebra depends not only on the selfsimilar set but on the
dynamics of the iterated function system.
If the IFS satises the strong separation condition, then the system can be
interpreted as the inverses branches of a local homeomorphism. For an arbitrary
IFS we can lift it to a new one that satises the strong separation condition [1].
Ionescu and Muhly suggested in [13] the construction of a C*algebra from an IFS
by lifting it and using RenaultDeaconu construction [6], [19] of a groupoid C*algebra from a local homeomorphism. As we will see this local homeomorphism we
nd is topologically conjugate to the left shift on {1, . . . , d}N and the algebra we
nd is the Cuntz algebra Od .
From the relations between an IFS and its lifted system, we will build a natural homomorphism from the KajiwaraWatatani algebra to the Cuntz algebra and
thus connect Kajiwara anda Watatanis construction with Ionescu and Muhlys
suggestion. We show that this homomorphism is injective and show that its image
is generated by the algebra of the selfsimilar set associated to the IFS and an
isometry S similar to a crossed product description.
2000 Mathematics Subject Classication. Primary 46L55, 37B99; Secondary 28A80, 37B10,
46L08.
Key words and phrases. Iterated function systems, C*algebras, crossed products, groupoids.
Partially supported by CAPES.
1
27
28
2
GILLES G. DE CASTRO
The interplay between IFS and Cuntz algebras have been deeply studied by Jorgensen and collaborators. Among other thing, they established some relationships
between certain representations of Cuntz algebras coming from IFS and certain
wavelet basis. See [2], [14] and references therein for details and other results.
It may happen that the IFS admits a left inverse which is not necessarily a local
homeomorphism. In this case RenaultDeaconus construction no longer works and
we have dierent approaches to build a C*algebra. In this paper, we show that
under some assumptions, the algebra considered by Kajiwara and Watatani can be
seen as an Exels crossed product [8].
2. Iterated function systems
In this section, we review some of the basic theory of iterated function systems
and selfsimilar sets (see for instance [1], [7] and [11]). Fix (X, ) be a compact
metric space.
Definition 2.1. We say that a function : X X is
a contraction if c (0, 1) such that ((x), (y)) c(x, y);
a proper contraction if c1 , c2 (0, 1) such that c1 (x, y) ((x), (y))
c2 (x, y);
a similarity if c > 0 such that ((x), (y)) = c(x, y).
Definition 2.2. An iterated function system (IFS) over X is a nite set of
d
continuous functions {i : X X}i=1 . We say that the IFS is hyperbolic if all
functions are contractions.
Throughout this paper we will always assume that the system is hyperbolic
unless stated otherwise.
Proposition 2.3. Given an IFS {i }di=1 , there is a unique compact nonempty
subset K of X such that
K = di=1 i (K).
(2.1)
We will call this set the attractor of the IF S and say it is selfsimilar.
Note that because of (2.1) the attractor is invariant by all i and we can restrict
the IFS to its attractor. From now on, we assume that X = K.
d
29
3
Proposition 2.5. Let {i }di=1 be an IFS and K its attractor then there is a
continuous surjection F : K such that F i = i F . This map is given by
the formula
F (i0 , i1, . . .) = lim i0 in (x)
n
30
4
GILLES G. DE CASTRO
31
5
for a, b A, , E and c JE .
For a C*correspondence (E,), there exists an algebra O(E) and a covariant
representation (kA , kE ) that is universal, in the sense that if (, ) is a covariant
representation of E in a C*algebra B, there is a unique C*homomorphism :
O(E) B such that = ( ) kA and = ( ) kE
Definition 3.5. The algebra O(E) is called the CuntzPimsner algebra of E.
d
3.3. KajiwaraWatatani algebras. Let = {i }i=1 be an iterated function
system and K its attractor. We recall the C*correspondence dened in [16]. We
let A = C(K), E = C(G) where
G = di=1 Gi
with
Gi {(x, y) K K : x = i }
being the cographs in the terminology of [16]. The structure of C*correspondence
is given by
((a)b)(x, y) = a(x)(x, y)b(y)
and
,
A (y) =
d
i=1
for a, b A and , E.
Proposition 3.6 ([16]). (E = C(G), ) is a full C*correspondence over A =
C(K) and : A L(E) is faithful and unital. Moreover, the Hilbert module norm
is equivalent to the sup norm in C(G).
Definition 3.7. The KajiwaraWatatani algebra O associated to is the
CuntzPimsner algebra associated to the C*correspondence dened above.
Regarding Od as C (G) as in subsection 3.1 and recalling the code map F given
in proposition 2.5, we dene : A Od by
(a)(, m n, ) = [m = n][ = ]a(F ())
(3.1)
and : E Od by
(3.2)
32
6
GILLES G. DE CASTRO
C(K)
be
a
partition
of
unity
subordinate
to
k=1
this open
cover. Dene
m k , k C(G) by k (x, y) = a(x) k (x) and k (x, y) = k (x) then
(a) = k=1 k ,k (the summation goes to m only because m+1 = 0).
Remark 3.12. Because of the lemma 3.10, our results will need that the IFS
satises the nite branch condition or the open set condition, but we note that
these conditions are independent.
Proposition 3.13. If the IFS satises the nite branch condition or the
open set condition, then the pair (, ) dened by equations (3.1) and (3.2) is a
CuntzPimsner covariant representation of (A, E) in Od .
Proof. Most calculations are very similar so we only show some of them. Let
a A and E. We have
(3.3)
a(F ())()(, m n, )
(3.4)
where the second equality is true due to the fact that (a) is zero unless k = l and
= . We can easily see then that (3.3) and (3.4) coincide.
For the Avalued scalar product, let , E. Then
( ,
A )(, m n, ) = [m = n][ = ] ,
A (F ()) =
(3.5)
[m = n][ = ]
d
i=1
() (, k l, )(g)(, (m + l) (n + k), ) =
33
7
(3.6)
()=
[m = n][() = ( )]
k
(3.7)
[m = n][() = ( )]
a(F ()) k (F ()) k (F ( )).
then
by
property
(ii)
of
lemma
We have that F ( ) 0 (1
x
0
0
k
0
3.9, we have F ( )
/ Uxk . Since the support of k is contained in Uxk and if 0 = 0
then = , we have from (3.7) that
(, )(1) ((a))(, m n, ) = [m = n][ = ]a(F ()) =
(a)(, m n, ).
As the elements a C(K) such that supp(a) K\B are dense in JE , the equality
(, )(1) ((a)) = (a) holds for an arbitrary a JE .
Lemma 3.14 ([12]). Suppose that (, ) is an isometric covariant representation
of E into a C*algebra B. Then is faithful if and only if is faithful and there is
a (strongly continuous) action : T Aut(B) such that z = and z = z
for all z T.
Proposition 3.15. If the IFS satises the nite branch condition or the open
set condition, then the homomorphism given by the covariant representation
dened by (3.1) and (3.2) is faithful.
Proof. Given a C(K),
((a) (a))(, m n, ) = [m = n][ = ]a(F ())2
and as F is surjective, we have that is faithful. Let : T Aut(C (G)) be the
gauge action given by
z (f )(, m n, ) = z mn f (, m n, )
then z ((a)) = (a) because (a) is zero for m = n; and for E, z (()) = z()
because () is zero for m n = 1.
We conclude with this proposition that O is a subalgebra of Od .
34
8
GILLES G. DE CASTRO
35
9
L(a) =
is a transfer operator for .
d
Theorem 3.22. Let = {i }i=1 be an IFS satisfying the nite branch condition
or the open set condition, and let A, and L be as above then A,L N is isomorphic
to O .
Proof. The steps of the proof are similar to what we have done last subsection.
Let (A = C(K), E = C(G)) be the C*correspondence given in last subsection. We
start by giving a covariant representation of (A, E) in A ,L N.
Let : A A ,L N be the canonical inclusion and : E A ,L N be
given by
(a b) = aSb
for a, b A. To show that is well dened in all C(G), we let j aj bj be a
nite sum where aj , bj A, then
=
aj bj
aj Sbj
aj (bj )S
aj (bj )
=
j
j
j
j
2 1/2
d
= sup
aj (x)bj ((x))
sup
a
(
(x))b
(x)
=
a
j i
j
j
j
xK
j
xK i=1
j
j
2
where 2 is the norm in C(G) thinking of C(G) as an AHilbert module. To justify
that the second inequality above holds, we note that because K is selfsimilar, for
any x K there is y K such that x = i (y) for some i = 1, . . . , d.
We have to show that (, ) is a CuntzPimsner covariant representation, i.e.,
it satises conditions (i)(iii) of denition 3.4. Condition (i) is easily veried. For
(ii), it suces to show for monomials a b, e f C(G) because of linearity and
continuity. We have
a b, e f
(y) =
a(i (y))b(y)e(i (y))f (y) = b (y)L(a e)(y)f (y)
i
36
10
GILLES G. DE CASTRO
and then
( a b, e f
) = b L(a e)f = b S a eSf = (a b) (e f ).
Finally, for condition (iii), we take a JE such that supp(a) K\B and k , k
as in remark 3.11. Then
(k )(k ) =
a k SS k
(, )(1) ((a)) =
k
and we have to show that this equals a inside A ,L N. For that, we show that
a k SS k bS =
a k ( L)( k b)S.
To show that the pair above is a redundancy, it suces to show that
b(x) =
k (x)( L)( k b)(x)
for x supp(a). For such x, we have that x
/ B and hence, there is a unique i0
and a unique y such that i0 (y) = x. If k (x) = k (i0 (y)) = 0 then i0 I(xk )
because of (iii) of lemma 3.9 and because of (ii) we have that i (y)
/ Uxk for i = i0 .
It follows that
d
k (x)
k (i (y))b(i (y)) =
k (x) k (i0 (y))b(i0 (y)) =
i=1
k (x)b(x) = b(x).
37
11
References
1. M. Barnsley, Fractals Everywhere, Academic Press, Inc., 1988.
2. O. Bratteli and P. Jorgensen Wavelets through a looking glass. The world of the spectrum.,
Applied and Numerical Harmonic Analysis, Birkh
auser, 2002.
3. T. Carlsen and S. Silvestrov, C*crossed products and shift spaces, Expo. Math. 25 (2007),
275307.
4. T. Carlsen and S. Silvestrov, On the Exel crossed product of topological covering maps,
arxiv:[math.OA]/0811.0056.
5. J. Cuntz, Simple C*algebras generated by isometries, Commun. Math. Phys. 57 (1977), 173185.
6. V. Deaconu, Groupoids associated with endomorphisms, Trans. Am. Math. Soc. 347 (1995),
17791786.
7. G. Edgar, Measure, topology, and fractal geometry. 2nd ed., Undergraduate Texts in Mathematics, SpringerVerlag, 2008.
8. R. Exel, A new look at the crossedproduct of a C*algebra by an endomorphism, Ergodic
Theory Dyn. Syst. 23 (2003), 17331750.
9. R. Exel, Crossedproducts by nite index endomorphisms and KMS states, J. Funct. Anal.
199 (2003), 153188.
10. R. Exel and A. Vershik, C*algebras of irreversible dynamical systems, Can. J. Math. 58
(2006), 3963.
11. K. Falconer, Fractal geometry. Mathematical foundations and applications. 2nd ed., Wiley,
2003.
12. N. Fowler, P. Muhly and I. Raeburn, Representations of CuntzPimsner algebras, Indiana
Univ. Math. J. 52 (2003), 569605.
13. M. Ionescu and P. Muhly Groupoid methods in wavelet analysis, preprint, [arXiv:0709.2294v1].
14. P. Jorgensen Analysis and probability. Wavelets, signals, fractals., Graduate Texts in Mathematics, SpringerVerlag, 2006.
15. T. Katsura, A construction of C*algebras from C*correspondences, Contemp. Math. 335
(2003), 173182.
16. T. Kajiwara and Y. Watatani, C*algebras associated with selfsimilar sets, J. Oper. Theory
56 (2006), 225247.
17. T. Kajiwara and Y. Watatani, KMS states on C*algebras associated with selfsimilar sets,
preprint [arXiv:math/0405514v1].
18. M. Pimsner, A class of C*algebras generalizing both CuntzKrieger algebras and crossed
products by Z, Fields Inst. Commun. 12 (1997), 189212.
19. J. Renault A groupoid approach to C*algebras, Lecture Notes in Mathematics, vol. 793,
SpringerVerlag, 1980.
matiques, Universit
eans, B.P. 6759, 45067 Orl
eans
D
epartement de Mathe
e dOrl
cedex 2, France
Current address: Instituto de Matem
atica, Universidade Federal do Rio Grande do Sul, Av.
Bento Goncalves, 9500, 91509900 Porto Alegre, RS  Brazil
Email address: gillescastro@gmail.com
Contemporary Mathematics
Volume 503, 2009
1. Introduction
There is a long history of building operator algebras from dynamical systems
going back to von Neumanns construction of a group von Neumann algebra. The
use of nonselfadjoint operator algebras is more recent, but still goes back 40 years
to Arvesons paper [2]. His algebra was closed in the weak operator topology. We
will mostly be interested in norm closed (generally separable) algebras, but these
algebras are the same vintage, beginning with work of Arveson and Josephson [3].
For the most part, we consider a dynamical system to be a locally compact
Hausdor space X together with one or more proper maps i , 1 i n, of X
into itself, which we write as (X, ). A proper map of X into itself induces an
endomorphism (f ) = f of C0 (X). So more generally, we could consider an
arbitrary semigroup of endomorphisms of an arbitrary algebra. This is too general
a setting, but we will consider some variants of this kind. In particular, we will
consider a C* dynamical system (A, ), where A is a C*algebra with a single
automorphism .
Two systems (X, ) and (Y, ) are said to be conjugate provided that there is a
homeomorphism of X onto Y so that i = i for 1 i n. Similar notions may
dened for endomorphisms of other operator algebras as well. The main question
is whether the operator algebra encodes enough information intrinsically so that
the dynamical system can be recovered up to conjugacy or some similar relation
between dynamical systems.
Our operator algebras can be considered in the abstract, in the spirit of the
BlecherRuanSinclair Theorem [7]. Generally they are dened by a universal
property dealing with representations. So the question of an sucient family of
such representations is moot. See [38, 6] for more on this viewpoint.
2000 Mathematics Subject Classication. Primary 47L65, 46L40.
Key words and phrases. conjugacy algebra, semicrossed product, dynamical system.
First author partially supported by an NSERC grant.
Second author partially supported by a summer grant from ECU.
c Mathematical
0000
(copyright Society
holder)
c
2009
American
1
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K.
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AND E.G.
E. G.KATSOULIS
KATSOULIS
K.R.DAVIDSON
2. Semicrossed Products
Arveson [2] and ArvesonJosephson [3] were the rst to consider nonselfadjoint operator algebras constructed from dynamical systems. They considered
a homeomorphism of a compact Hausdor space X which preserves a probability measure satisfying (O) > 0 for every nonempty open set O X. Given
such a system, one can dene a representation of C(X) on L2 () as multiplication
operators, and dene a unitary U f = f . Let A(X, ) denote the normclosed
subalgebra of B(L2 ()) generated by U and the multiplication operators. Their
main result is that, under a further technical condition, that the algebraic structure of the algebra determines the dynamical system:
Theorem 2.1 (ArvesonJosephson [3]). Suppose that for i = 1, 2, i is a homeomorphism of a compact Hausdor space Xi which preserves a probability measure
i satisfying i (O) > 0 for every nonempty open set O of Xi . Moreover suppose
that the set of periodic points has measure 0. Then the following are equivalent:
(i) (X1 , 1 ) and (X2 , 2 ) are conjugate.
(ii) A(X1 , 1 ) and A(X2 , 2 ) are isometrically isomorphic.
(iii) A(X1 , 1 ) and A(X2 , 2 ) are algebraically isomorphic.
In 1985, Peters [39] introduced an abstract construction of an operator algebra
associated to the system (X, ). He did not require the map to be a homeomorphism, only that it be a proper map so that it induces an endomorphism (f ) = f
of C0 (X). Moreover, he does not require an invariant measure.
Suppose that X is compact. The idea is to construct a universal operator
algebra which contains C(X) as a C*subalgebra, that is generated by C(X) and a
single isometry s which encodes the dynamics via the covariance relation
f s = s(f )
for all
f C0 (X).
41
3
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K.
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E. G.KATSOULIS
KATSOULIS
K.R.DAVIDSON
[29] as a generalization for primitive ideals. The second author, in joint work with
Peters [25] and Kribs [22], applied the concept of a nest representation to the
classication theory for nonselfadjoint operator algebras, including graph algebras
[22] and limit algebras [25]. (See also [46].) For our purposes, nest representations
into the 2 2 upper triangular matrices are sucient.
In our case, such a 2 2 nest representation of C(X) Z+ will have diagonal entries which are characters x,z and y,w , and a 1, 2 entry which is linearly
independent of the diagonal (in order that there be no other invariant subspace).
The dynamical system is recovered by showing that this implies that (x) = y.
A complication occurs when (y) = y. This is the case that forced Hadwin and
Hoover to include an additional hypothesis. We circumvent that by considering an
analytic family of nest representations.
3. Function Algebra Systems
Peters construction was actually developed in greater generality. If A is any
operator algebra and is a completely contractive endomorphism, one denes the
semicrossed product A Z+ in an analogous manner. This is the universal operator
algebra which is generated by a completely isometric copy of A and an isometry s
satisfying the covariance relation
as = s(a) for all
a A.
43
5
A by ([])
= [].
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K.
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K.R.DAVIDSON
on
which
acts freely.
:
(iii) {[] A
n ([]) = []} has no interior for all n 1.
This was used by Muhly and Solel to show the following:
Theorem 4.2 (MuhlySolel [36]). Suppose that (A, ) and (B, ) are C*dynamical systems such that () = T. Then A Z+ and B Z+ are completely
isometrically isomorphic if and only if (A, ) and (B, ) are outer conjugate.
We say that an automorphism is universally weakly inner with respect to
irreducible representations if for every irreducible representation of A, there exists
a unitary W (A) so that (A) = W (A)W . Kishimoto [27] proves the
remarkable result that if A is a simple separable C*algebra, then every universally
weakly inner automorphism is actually inner.
We were able to avoid the condition on Connes spectrum by modifying the
arguments used in the commutative case.
Theorem 4.3 (DavidsonKatsoulis [14]). Let (A, ) and (B, ) be C*dynamical systems, and assume that the semicrossed products A Z+ and B Z+ are
completely isometrically isomorphic. Then there is a C*isomorphism : A B
so that 1 1 is universally weakly inner with respect to irreducible
representations.
Then using Kishimotos result, we obtain that
Corollary 4.4. If A is a separable simple C*algebra, then A Z+ and
B Z+ are isometrically isomorphic if and only if (A, ) and (B, ) are outer
conjugate.
Our methods yield a new proof of the MuhlySolel theorem. They suggest
that isometric isomorphism of the semicrossed product may imply outer conjugacy
under quite general hypotheses.
5. Multivariable dynamical systems
A multivariable dynamical system is a locally compact Hausdor space X together with a collection 1 , . . . , n of proper continuous maps of X into itself. We
will seek an appropriate analogue of the semicrossed product. To this end, we seek
an operator algebra which contains C0 (X) and operators s1 , . . . , sn satisfying the
covariance relations
f si = si (f i )
for
1 i n and f C0 (X).
Again, in the noncompact case, we do not include the si in the algebra, but do
include the elements si g.
Since we do not require any relations between the maps, the natural semigroup
that arises is the free semigroup F+
n of all words in an alphabet of n letters (including
the empty word). If w = i1 . . . ik is an element of F+
n , we write sw = si1 . . . sik .
Similarly, we write w = i1 ik .
45
7
for w F+
n.
As in the one variable case, the direct sum of all orbit representations yields a
faithful, completely isometric representation of A(X, ). The semicrossed product
does not appear to have a nice family of norming representations that can be
explicitly described.
In either case, the universal property leads to the existence of gauge automorphisms, namely automorphisms z for z T of our algebra with z C0 (X) = id and
z (si f ) = zsi f . In the standard manner, integration over the unit circle yields a
completely contractive expectation onto C0 (X). This leads to an automatic continuity result that any isomorphism of A(X, ) onto A(Y, ) or of C0 (X) F+
n onto
C0 (Y ) F+
is
automatically
norm
continuous.
n
There are no labels on our maps, or on the isometries si . So an isomorphism
can permute the maps arbitrarily. It is less obvious, but still true, that in some
circumstances, one can change from one permutation to another. This leads to our
denition of piecewise conjugate systems. Say that (X, ) is piecewise conjugate to
(Y, ) if there is a homeomorphism : X Y and an open cover {O : Sn } of
X so that
i O = (i) O for Sn .
To appreciate this notion, consider two maps 1 and 2 that map [0, 1] into
itself and coincide on an interval (a, b). Then one can construct 1 which agrees
with 1 on [0, b) and with 2 on (a, 1]; and similarly 2 agrees with 2 on [0, b) and
with 1 on (a, 1]. Then ([0, 1], 1 , 2 ) and ([0, 1], 1 , 2 ) are piecewise conjugate. On
the other hand, if the two maps only agree at a point {a}, then one can still dene
the maps 1 and 2 as above, but the new system will not be piecewise conjugate
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for all
w F+
n.
A generalized wandering set is a (u, v)wandering set for some pair (u, v). If there
are no wandering sets, then necessarily each i is surjective.
Wandering sets have a parallel notion of recurrence. Say that x X is (u, v)
recurrent if for every open set U
x, there is some w F+
n so that uwv (x) U . In
the metrizable case, there are no nonempty generalized wandering sets if and only
if the (u, v)recurrent points are dense for all pairs (u, v). This is in turn equivalent
to the surjectivity of each i and the density of the (, v)recurrent points for each
v F+
n.
Theorem 5.3 (DavidsonKatsoulis). The following are equivalent:
(i) A(X, ) is semisimple.
(ii) C0 (X) F+
n is semisimple.
(iii) There are no nonempty generalized wandering sets.
6. C*envelopes
Arvesons seminal paper [4] proposes that to study a nonselfadjoint operator
algebra, there should be a canonical minimal C*algebra that contains it (completely isometrically). This C*algebra, Cenv (A), is the proposed analogue of the
Shilov boundary in the function algebra case, and is called the C*envelope of A.
Let j0 be the completely isometric imbedding of A into Cenv (A). Then Cenv (A) is
determined by the universal property that whenever j is a completely isometric isomorphism of A into another C*algebra C (j(A)), there exists a homomorphism
of C (j(A)) onto Cenv (A) such that j = j0 .
Unlike the other universal constructions mentioned in this paper, it is not at
all apparent that the C*envelope exists. Arveson constructed it for a large family
of examples, but left the existence in general as a conjecture. This was veried a
decade later by Hamana [21]. A new proof was found a few years ago by Dritschel
and McCullough [17]. Their proof is based on the notion of a maximal dilation.
A representation of A on H is maximal if any dilation of to a completely
contractive representation on a larger space K (meaning that (A) = PH (A)H )
has the form = on K = H H . It is not particularly dicult to show that
any completely contractive representation can be dilated to a maximal one. The
point is that maximal representations extend to representations of the enveloping
C*algebra of A and factor through the C*envelope. Some of these ideas were
already known due to work of Muhly and Solel [33]. This new proof provides a
tangible way to get hold of the C*envelope. One starts with a completely isometric
representation , dilates it to a maximal representation , and Cenv (A) = C ((A)).
In [13], we provide two views of the C*envelope of the tensor algebra A(X, ).
The rst is a rather abstract approach. Pimsner [42] developed a construction of a
C*algebra from a C*correspondence, a Hilbert C*module with a compatible left
action, now known as the CuntzPimsner algebra of the correspondence. Muhly
and Solel [34, 35] developed an extensive theory of an associated nonselfadjoint
tensor algebra of a C*correspondence. They show that when the left action is
faithful, the C*envelope of the tensor algebra is the CuntzPimsner C*algebra
of the C*correspondence. Katsura [26] extended this theory, dening the Cuntz
Pimsner algebra for more general left actions which need not be faithful. The
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second author and Kribs [24] used Katsuras work to generalize the MuhlySolel
theorem to describe the C*envelope of the tensor algebra in full generality.
We show explicitly [13] that the tensor algebra of a multivariable dynamical
system is the tensor algebra of a naturally associated C*correspondence. Consequently, by the results in the previous paragraph, we have a description of the
C*envelope as a CuntzPimsner algebra. Unfortunately, because this algebra is
a quotient of the CuntzToeplitz algebra by Katsuras ideal, this is not a very
concrete description. We were looking for something more explicit.
The rst step, carried out in [13], is to describe the maximal dilations of the
orbit representations. Notice that if x = i (y), then the orbit representation x
can be obtained as the restriction of y to an invariant subspace. Hence x dilates
to y . One can repeat this procedure, and when the system is surjective, construct
an innite chain of orbit representations, each being a dilation of the previous one.
The inductive limit of this procedure yields a family of maximal representations.
When the system is not surjective, this procedure stops if we arrive at a point y
which is not in the range of any map. It turns out that the orbit representation
of such a point is also maximal. Since the direct sum of all orbit representations
is completely isometric on the tensor algebra, it follows that the direct sum of all
of these maximal dilations is also completely isometric. Hence the C*envelope is
given as the algebra generated by this large representation. This still is not very
explicit, so we seek to develop this some more.
In the case n = 1 when is surjective and X is compact, this was accomplished
of the system (X, )
by Peters [41]. The idea is to take the projective limit X
X X X . . . X.
There is canonical projection p of Y onto X, and a map
of Y onto itself such that
p
= p. Moreover,
is always a homeomorphism. Consequently, one can form
Z. There is a natural injection of C(X) Z+
the C*crossed product C(X)
into this algebra by sending f to f p and sending s to the canonical unitary of the
crossed product. Peters shows that this map is a complete isometry, and that the
image generates the crossed product as a C*algebra. Then with a bit more work,
one obtains:
Theorem 6.1 (Peters [41]). Let X be a compact Hausdor space, and let be
a surjective continuous map of X onto itself. Construct (X,
) as above. Then
(X).
One
can again construct a projective limit system. An innite tail is
i
i=1
an innite sequence i nN , where n = {1, . . . , n); say i = (i0 , i1 , . . . ). One considers
of all pairs (i, x) nN X N such that i (xs+1 ) = xs . There is again
the set X
s
onto X and maps
a natural map p(i, x) = x0 of X
j (i, x) = (j, i), (j (x0 ), x)
that satisfy p
j = j p for 1 j n. These maps are no longer homeomorphisms.
j of
j consists of all points (i, x) such that i0 = j. These
However the range X
onto X
j . The
are pairwise disjoint clopen sets, and
j is a homeomorphism of X
1
j is a local homeomorphism. The tensor algebra
inverse map given by X j =
A(X, ) imbeds completely isometrically into A(X,
), and they have the same
C*envelope.
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11
This leads to a more concrete description of the C*envelope, because the new
system is much simpler to handle. One description is that this is the groupoid
) in the sense of Deaconu [10]. Another is that it is
C*algebra of the system (X,
the crossed product of a certain inductive limit B of homogeneous C*algebras by
an endomorphism .
Theorem 6.2 (DavidsonRoydor [15]). Let X be a locally compact
Hausdor
space, and let 1 , . . . , n be proper maps of X into itself such that X = ni=1 i (X).
Construct (X,
) as above. Then
) B Z + .
Cenv (A(X, )) Cenv (A(X,
)) C (X,
When (X, ) is not surjective, there is
na wellknown technique from graph
algebras of adding a tail. Let U = X \ i=1 (X). Form X T = X T where
T = {(u, k) : u U , k < 0}. Extend i to maps iT by setting
iT (u, k) = (u, k + 1) for k < 1,
and
iT (u, 1) = u.
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KATSOULIS
K.R.DAVIDSON
[16] A. Donsig, A. Katavolos, A. Manoussos, The Jacobson radical for analytic crossed products,
J. Funct. Anal. 187, (2001), 129145.
[17] M. Dritschel and S. McCullough, Boundary representations for families of representations
of operator algebras and spaces, J. Operator Theory 53 (2005), 159167.
[18] H. Dye, On groups of measure preserving transformations I, Amer. J. Math. 81 (1959),
119159.
[19] K. Fritzsche and H. Grauert, From holomorphic functions to complex manifolds, Graduate
Texts in Mathematics, 213, SpringerVerlag, New York, 2002.
[20] D. Hadwin and T. Hoover, Operator algebras and the conjugacy of transformations, J. Funct.
Anal. 77 (1988), 112122.
[21] M. Hamana, Injective envelopes of operator systems, Publ. Res. Inst. Math. Sci. 15 (1979),
773785.
[22] E. Katsoulis and D. Kribs, Isomorphisms of algebras associated with directed graphs, Math.
Ann. 330 (2004), 709728.
[23] E. Katsoulis and D. Kribs, The C*envelope of the tensor algebra of a directed graph, Integral
Equations Operator Theory 56, (2006), 401414.
[24] E. Katsoulis and D. Kribs, Tensor algebras of C*correspondences and their C*envelopes,
J. Funct. Anal. 234 (2006), 226233.
[25] E. Katsoulis and J. Peters, Compact operators and nest representations of limit algebras,
Trans. Amer. Math. Soc. 359 (2007), 27212739
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366401.
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467492.
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Anal. 142 (1996), 211248.
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189196, Birkhauser, Basel, 1998.
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and C*envelopes, J. Funct. Anal. 158 (1998), 389457.
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Can. J. Math. 51 (1999), 850880.
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(3) 81 (2000), 113168.
[37] D. Olesen and G. Pedersen, Applications of the Connes spectrum to C*dynamical systems
III, J. Funct. Anal. 45 (1982), 357390.
[38] V. Paulsen, Completely bounded maps and operator algebras, Cambridge Studies in Advanced
Mathematics 78, Cambridge University Press, Cambridge, 2002.
[39] J. Peters, Semicrossed products of C algebras, J. Funct. Anal. 59 (1984), 498534.
[40] J. Peters, The ideal structure of certain nonselfadjoint operator algebras, Trans. Amer. Math.
Soc. 305 (1988), 333352.
[41] J. Peters, The C*envelope of a semicrossed product and nest representations, preprint, 2006.
[42] M. Pimsner, A class of C algebras generalizing both CuntzKrieger algebras and crossed
products by Z, Free probability theory (Waterloo, ON, 1995), 189212, Fields Inst. Commun.,
12, Amer. Math. Soc., Providence, RI, 1997.
[43] S. Power, Classication of analytic crossed product algebras, Bull. London Math. Soc. 24
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[46] B. Solel, You can see the arrows in a quiver operator algebra J. Aust. Math. Soc. 77 (2004),
111122.
Pure Math. Dept., U. Waterloo, Waterloo, ON N2L3G1, CANADA
Email address: krdavids@uwaterloo.ca
Dept. Mathematics, East Carolina U., Greenville, NC 27858, USA
Email address: KatsoulisE@mail.ecu.edu
Contemporary Mathematics
Volume 503, 2009
1. Introduction
This paper is concerned with the possibility of extending a given Banach representation of an ideal of a normed algebra to the whole algebra, and also, given a
Banach representation of a normed algebra, with the possibility of dening representations of the various centralizer algebras of that algebra which are compatible
with the given representation. These two issues are strongly related.
Our interest in this problem arose from the study of covariant representations
of Banach algebra dynamical systems. In [5] a crossed product Banach algebra is
constructed from a Banach algebra dynamical system and a collection of covariant Banach space representations thereof, and the question is, roughly speaking,
whether all representations of the crossed product are integrated forms of the given
covariant representations of the original dynamical system. For C dynamical systems and Hilbert representations the answer is armative, see, e.g., [12]. The
standard method to establish the result in that case is to extend a given representation of the C crossed product to its multiplier algebra, after which the sought
covariant representation of the C dynamical system can be found with the aid of
the canonical maps of the group and the algebra into the multiplier algebra. In this
2000 Mathematics Subject Classication. Primary 46H25; Secondary 46H10, 46H15.
Key words and phrases. Normed algebra, Banach algebra, centralizer algebra, approximate
identity, representation, Banach module.
c
2009
American
c Mathematical
0000
(copyright Society
holder)
1
53
54
2
method, critical use is made of the standard result that a nondegenerate Hilbert
representation of a closed twosided ideal of a C algebra extends to the algebra.
For our case we needed a similar result for Banach representations, and with an
upper bound for the norm of the extensions. With future applications in representation theory in Banach lattices in mind we were also interested in such results
which take ordering into account.
Somewhat to our surprise, we were unable to nd the results as we needed them
in the literature. In the presence of a bounded approximate left identity, the seminal
paper on centralizer algebras [8] contains material on Hilbert representations of
centralizer algebras which are compatible with the original representation of the
algebra, see [8, Section 9], but for more general spaces completeness assumptions
on the image are made, cf. [8, Theorem 20]. Likewise, when it is proved in [3,
Theorem 2.9.51] that, in the presence of a bounded twosided approximate identity,
a Banach bimodule structure extends to the double centralizer algebra, it is assumed
that the algebra is a Banach algebra, in order to be able to use the CohenHewitt
factorization theorem [2, p. 61], [3, Theorem 2.9.24]; the same holds for [9, p. 17].
Such completeness assumptions are, however, not necessary. As it turns out, it is
possible to develop a theory for compatible nondegenerate Banach representations
of centralizer algebras without using the factorization theorem, assuming only that
the original algebra is a normed algebra with a suitable approximate identity. The
key idea is essentially already in the proof of [9, Theorem 21], but it appears that
this has not yet been exploited systematically. This is done in the present paper,
which can perhaps be regarded as a representationtheoretical supplement to the
general material on centralizer algebras collected in [11].
It deserves to be mentioned at this point that, whereas the results in this
paper on the existence of compatible representations of centralizer algebras of a
normed algebra can, by passing to its completion, easily be derived from their
versions for the centralizer algebras of a Banach algebra, this is no longer the case
for our results on embeddings of centralizer algebras. The reason is simply that
the centralizer algebras of a normed algebra may be strictly smaller than those of
its Banach algebra completion. Thus our consideration of normed algebras rather
than Banach algebras does not only make manifest that the factorization theorem
is not needed, but it also avoids being unnecessarily restrictive as to the scope of
the results.
The results on compatible representations of centralizer algebras in this paper
rest on a basic theorem concerning extending a Banach representation of an ideal
of a normed algebra to the algebra itself, cf. the rst part of Theorem 1.1. In
spite of its elementary proof and its general relevance, we have not been able to
nd a reference for this result. It has some bearing even on the well known case
of C algebras, where, for Hilbert representations, such a results is usually stated
for closed ideals and proved using GNStheory, cf. [6, Proposition 2.10.4], [10,
Theorem 5.5.1]. There is an alternative approach to be found for the C case
which uses an approximate identity and which is close to ours, cf. [1, II.6.1.6], [4,
Lemma I.9.14], but still the results in these sources are formulated under hypotheses
which are more stringent than necessary: actually, the ideal needs only to be a left
ideal, not necessarily closed, with a bounded left approximate identity for itself.
Since they nd it necessary to include a proof, the authors of [1] and [4] also seem
to be unaware of a reference for such a general extension result.
55
3
56
4
57
5
58
6
59
7
It is obvious that l (a) B(X) and that l (a) ml a. Using once more
the fact that (ei )iI is an approximate left identity for J, as well as the nondegeneracy of X as a normed left Jmodule, one sees that l extends l and also
that l (a)l (j) = l (aj), for a A and j J. By the nondegeneracy as a normed
left Jmodule, the latter equation determines l (a) uniquely as an element of B(X).
Since, for a, b A and j J, one has l (a)l (b)l (j) = l (a)l (bj) = l (abj) =
l (ab)l (j), we conclude from the nondegeneracy as a normed left Jmodule that
l is a homomorphism. This establishes the statements in the rst part of the
proposition regarding general X.
In the involutive context, for x, y H and a A, j J, we compute that
l (a)l (j)x, y = l (aj)x, y = x, l (aj) y = x, l ((aj) )y
= x, l (j a )y = x, l (j a )y = x, l (j ) l (a )y
= x, l (j ) l (a )y = l (j)x, l (a )y = l (a ) l (j)x, y .
Hence, by the nondegeneracy of X as a normed left Jmodule again, l (a) =
l (a ) , so that l is involutive.
60
8
The statement in the ordered context is clear from (3.1) and the fact that the
positive cone is closed.
The proof of the rst part is now complete and the proof of the second part
is similar. The third part follows from the rst two parts since, for all a1 A,
resp. for all a2 A, the operator l (a1 ), resp. r (a2 ), is an element of the strong
operator closure of l (J), resp. r (J), and hence these operators commute.
Remark 3.2.
(1) Note that in the rst and second part it is not required that the involution
is bounded.
(2) If A as in Theorem 3.1 is a Banach algebra, then in the rst part one
does not have to require that (a) is a bounded linear operator, because
as a consequence of the CohenHewitt factorization theorem [2, p. 61],
[3, Theorem 2.9.24] the requirement l (a)l (j) = r (aj), for all j J,
already determines r (a) as a map from X into itself. Linearity and
boundedness are then automatic. A similar remark applies to the second
part.
4. Module structures for centralizer algebras: general case
In this section we are concerned with the possibility of nding module structures
for centralizer algebras of an algebra A which are compatible with a given module
structure for A. We cannot directly apply Theorem 3.1 because, although A maps
canonically onto an ideal in its various centralizer algebras, such maps need not be
injective. However, for nondegenerate modules the initial (anti)representations of
A does, in fact, descend to the images in the centralizer algebras, and subsequentely
Theorem 3.1 can be applied to that situation.
We start with the necessary preparations. Suppose A is a normed algebra.
Let Ml (A) = {L B(A) : L(ab) = L(a)b for all a, b A} be the left centralizer
algebra of A. It is sometimes called the right centralizer algebra, which is perhaps
more logical since the operators in Ml (A) commute with (i.e.: centralize) all right
multiplications rather than the left ones, but we adhere to Johnsons choice of
terminology in his seminal paper [8]. Likewise, Mr (A) = {R B(A) : R(ab) =
aR(b) for all a, b A} is the right centralizer algebra of A. A pair (L, R) with
L Ml (A) and R Mr (A) is called a double centralizer if aL(b) = R(a)b for
all a, b A. Clearly Ml (A) and Mr (A) are unital closed subalgebras of B(A).
Dening (L1 , R1 ) (L2 , R2 ) = (L1 L2 , R2 R1 ) makes M(A) into a unital algebra
over F, which becomes a normed algebra if one puts (L, R) = max(L, R).
If : A A is a bounded involution and L Ml (A), then the map L :
A A dened by L a = (L(a )) is a right centralizer. This yields a bounded
unital homomorphism : Ml (A) Mr (A) (which is conjugate linear if F = C),
inverse to the similarly dened bounded unital homomorphism : Mr (A) Ml (A)
(which is conjugate linear if F = C). Combining these yields a bounded involution
61
9
/ B(X)
w;
w
ww
w
w
ww l
(A)
A
62
10
such that
(4.2)
(A)
/ B(X)
x;
xx
x
xx
xx r
r
/ B(X)
v: O
v
v
vv
l
vv l
v
v
/ Ml (A)
(A)
A
63
11
Since (A) is a left ideal in Ml (A), the same holds for the images l ((A)) =
l (A) and l (Ml (A)). In fact, for L Ml (A) and a A, we have l (L)l (a) =
l (L) l ((a)) = l (L (a)) = l ((L(a))) = l (L(a)).
The remaining statements are either clear or follow from the rst part of Theorem 3.1.
Remark 4.2. It is also true that l : Ml (A) B(X) is the unique homomorphism making the square in diagram (4.3) commutative. Indeed, for a homomorphism with this property one sees that, for a A, x X, and L Ml (A),
l (L)l (a)x = l (L) l ((a))x = l (L (a))x = l ((L(a)))x = l (L(a))x. Thus
l (L) is uniquely determined, as a consequence of the nondegeneracy of X.
The rightsided version of Theorem 4.1 is not obtained by replacing left with
right and homomorphism with antihomomorphism. Instead, it reads as follows.
Theorem 4.3. Let A be a normed algebra with an mbounded approximate right
identity, and let X be a Banach space.
If r : A B(X) provides X with the structure of a nondegenerate normed
right Amodule, then there exist a unique map
r and a unique homomorphism
r : Mr (A) B(X) such that the diagram
(4.4)
/ B(X)
v: O
v
v
vv
r
vv r
v
v
/ Mr (A)
(A)
A
64
12
/ B(X)
w; O
w
w
w
w
l l
ww
w w l l
/ M(A)
(A)
A
(4.6)
65
13
/ B(X)
w; O
w
w
w
w
r r
ww
w w r r
/ M(A)
(A)
A
66
14
implies that
l l is involutive, and then the rst part of Theorem 3.1 asserts that
67
15
68
16
the diagram
(5.1)
(A)
/ B(X)
O
?
/ Ml (A)
in
both
cases.
bounded, with 1
l
l
l
Likewise, if N (l (A), B(X)) carries the norm from either B(X) or M(l (A)),
then l l : M(A) B(X) yields a bounded algebra isomorphism between M(A)
and N (l (A), B(X)), with l l ml in both cases, and the inverse ( l
l )1 : N (l (A), B(X)) M(A) is also bounded, with ( l l )1 l l1
in both cases.
If, in addition, A is an ordered normed algebra with a positive bounded approximate left identity, X is ordered with a closed positive cone, and l is an isomorphism of ordered algebras between A and l (A), then l : Ml (A) B(X)
yields an isomorphism of ordered algebras between Ml (A) and Nl (l (A), B(X)),
and l l : M(A) B(X) yields an isomorphism of ordered algebras between
M(A) and N (l (A), B(X)).
Alternatively, if, in addition, A has a bounded involution, X is a Hilbert space
and l is involutive, then l l : M(A) B(X) yields an isomorphism of involutive
algebras between M(A) and N (l (A), (X)).
Proof. By Proposition 5.1, and l are injective. From Theorem 4.1 we know
that l (L)l (a) = l (L(a)), for all L Ml (A) and a A, so that the injectivity of
l implies that l is injective.
For the remainder assume, then, that l1 : l (A) A is bounded.
As observed in Theorem 4.1, it follows from l (L)l (a) = l (L(a)), for all
L Ml (A) and a A, that l maps Ml (A) into Nl (l (A), B(X)). We know from
Theorem 4.1 that l ml if Nl (l (A), B(X)) carries the norm from B(X),
and hence this upper bound also holds when it carries the norm from Ml (l (A)).
:
To construct the inverse of l we dene, in an anticipating notation, the map 1
l
1
(T
)(a)
=
(T
(a)),
for
T
N
(
(A),
B(X))
Nl (l (A), B(X)) B(A) as 1
l
l l
l
l
is a bounded homomorand a A. Clearly, for both norms on Nl (l (A)), 1
l
1
phism, and 1
l l l . For a, b A, and T Nl (l (A), B(X)), we have
1
1
l (T )(ab) = l (T l (ab)) = l1 ((T l (a))l (b)) = l1 (T l (a))b = 1
l (T )(a)b,
1
(T
)
is
a
left
centralizer.
Hence,
in
fact,
maps
N
(
(A),
B(X))
into
so that 1
l
l
l
l
Ml (A). For T Nl (l (A), B(X)), a A, and x X, we have ( l 1
(T
))
(a)x
=
l
l
1
1
1
l ( 1
(T
))
((a))x
=
(
(T
)(a))x
=
((
(T
)(a)))x
=
(
(T
)a)x
=
l
l
l
l l
l
l
l
T l (a)x. Since X is nondegenerate, we conclude that l 1
l (T ) = T . Further l )(L)(a) = l1 ( l (L)l (a)) =
more, if L Ml (A), and a A, then ( 1
l
1
1
l (l (L(a))) = L(a). Hence ( l l )(L) = L. This concludes the proof of the
69
17
M
ble centralizer. Indeed, we already know that 1
l (A) and that l (T )
l
1
Mr (A), and furthermore, for a, b A, we have a( l (T )(b)) = al1 (T l (b)) =
l1 (l (a)T l (b)) = l1 (l (a)T )b = (l (T )(a))b. Thus we obtain a map l :
N (l (A), B(X)) M(A) which is dened, for T N (l (A), B(X)), by l (T ) =
1
( 1
l (T ), l (T )). Clearly l is a bounded homomorphism, and l l l
1
for both norms on N (l (A), B(X)), since both l and l satisfy this estimate in
two cases.
We proceed by showing that l : N (l (A), B(X)) M(A) and l l :
M(A) N (l (A), B(X)) are inverse to each other. It is immediate from the
denitions that ( l l ) l is the identity on N (l (A), B(X)). In the other direction, let (L, R) M(A). Then (l ( l l ))((L, R)) = (L, l ( l (L))). Now,
for a A, l ( l (L))(a) = l1 (l (a) l (L)). Hence l (l ( l (L))(a)) = l (a) l (L).
On the other hand, we had already observed in the rst part of Theorem 4.5 that
l (a)l (L) = l (R(a)). By the injectivity of l we conclude that l ( l (L))(a) =
R(a), and hence l ( l l ) is the identity on M(A). This concludes the proof of
the statements concerning M(A).
We now turn to the ordered situation. We know from Theorem 4.1 that l
is positive. Since we have assumed that l1 : l (A) A is positive, it is im1
1
mediate from 1
is
l (T )(a) = l (T l (a)), for T Nl (l (A), B(X)), that l
positive. Hence l : Nl (l (A)) Ml (A) is an isomorphism of ordered algebras. Likewise, we know from the rst part of Theorem 4.5 that l l is positive. Since l (T )(a) = l1 (l (a)T ), for T Nr (l (A), B(X)), the assumption
that l1 is positive shows that l is positive. Hence this is also true for l , and
l l : M(A) N (l (A), B(X)) is an isomorphism of ordered algebras.
As to the involutive situation, we know from the rst part of Theorem 4.5 that
l l is involutive. Hence so is the image, and since the inverse of an involutive
map is necessarily involutive, we are done.
Suppose that, in Theorem 5.3, l : A l (A) has a bounded inverse l1 :
in the proof shows that, after identifying A
l (A) A. Then the denition of 1
l
with its image l (A), Ml (A) is to be identied with all left multiplications by elements of Nl (l (A), B(X)), and, likewise, M(A) is to be identied with all pairs consisting of a left and a right multiplication by the same element of N (l (A), B(X)).
Therefore the following excerpts from Theorem 5.3 hold.
Corollary 5.4. Let A be a normed algebra with a bounded approximate left
identity, and let X be a Banach space. Suppose that l : A B(X) provides X with
70
18
71
19
(A)
?
/ Mr (A)
from Theorem 4.3, r and are injective antihomomorphisms, and i and r are injective homomorphisms. The canonical antihomomorphism r : M(A) Mr (A)
is also injective.
Suppose, for the remainder of this Theorem, that r : A r (A) has a bounded
inverse r1 : r (A) A.
If Nl (r (A), B(X)) carries the norm from either B(X) or Ml (r (A)), then
r is a bounded algebra isomorphism between Mr (A) and Nl (r (A), B(X)), with
r mr in both cases, and the inverse map 1
r : Nl (r (A), B(X)) Mr (A)
1
is also bounded, with 1
in
both
cases.
r
r
r
Likewise, if N (r (A), B(X)) carries the norm from either B(X) or M(r (A)),
then r r : M(A) B(X) yields a bounded algebra antiisomorphism between
M(A) and N (r (A), B(X)), with r r mr in both cases, and the inverse
map ( r r )1 : N (r (A), B(X)) M(A) is also bounded, with ( r r )1
r r1 in both cases.
If, in addition, A is an ordered normed algebra with a positive bounded approximate right identity, X is ordered with a closed positive cone, and r is an antiisomorphism of ordered algebras between A and r (A), then r : Mr (A) B(X)
yields an isomorphism of ordered algebras between Mr (A) and Nl (r (A), B(X)),
and r r : M(A) B(X) yields an antiisomorphism of ordered algebras between M(A) and N (r (A), B(X)).
Alternatively, if, in addition, A has a bounded involution, X is a Hilbert space
and r is involutive, then r r : M(A) B(X) yields an antiisomorphism of
involutive algebras between M(A) and N (r (A), (X)).
Proof. The proof is similar to that of Theorem 5.3, and uses Theorem 4.3
and the second part of Theorem 4.5. The rst step is to prove that the homomor1
phism 1
: Nl (r (A), B(X)) Mr (A), dened by 1
r
r (T )(a) = r (T r (a)),
for T Nl (r (A), B(X)) and a A, is the twosided inverse of r : Mr (A)
Nl (r (A), B(X)). The role of the antihomomorphism l in the previous proof is
taken over by the antihomomorphism r : Nr (r (A), B(X)) Ml (A), dened by
r (T )(a) = r1 (r (a)T ), for T Nr (r (A), B(X)), and a A. These combine to
the antihomomorphism ( r )1 : N (l (A), B(X)) M(A), which is given by
( r )1 (T ) = (r (T ), 1
r (T )), for T N (r (A), B(X)).
Corollary 5.9. Let A be a normed algebra with a bounded approximate right
identity, and let X be a Banach space. Suppose that r : A B(X) provides X with
the structure of a nondegenerate faithful normed right Amodule, and that r is an
antiembedding of A as a topological algebra. Then Mr (A) is canonically isomorphic, as a topological algebra, with Nl (r (A), B(X)), where Nl (r (A), B(X)) can
carry either the norm from B(X) or the equivalent norm from Ml (r (A)). Likewise,
72
20
Contemporary Mathematics
Volume 503, 2009
1. Introduction
or some self similar maps on
Rational functions on the Riemann sphere C
compact metric spaces have branch points, and then their graphs or cographs are
considered as typical examples of branched covering. We can construct Hilbert
C modules or Hilbert C bimodules from these graphs or cographs without excluding branched points (KajiwaraWatatani [8], [9],[11]).
Finite bases for nitely generated Hilbert C modules are constructed naturally and are useful for investigating many examples. But Hilbert C modules
constructed from the above branched covering are not nitely generated and do
not have nite bases. If a Hilbert C module is countably generated, the existence
of countable bases follows directly from the Kasparovs stabilization trick. But
the explicit constructions of countable bases for Hilbert C modules which are not
nitely generated are not known in general.
In this paper, we construct countable bases for Hilbert C modules associated
with rational functions on the Riemann sphere and some selfsimilar maps explicitly using imaginary roots of unity. Using these countable bases, we compute the
explicit form of the PerronFrobenius type operators for Hilbert C bimodules associated with rational functions and selfsimilar maps, and classify KMS states on
CuntzPimsner C algebras constructed from the Hilbert C bimodules associated
with rational functions on the Riemann sphere and associated with some self similar
maps with the aid of the theorem of LacaNeshveyev [14]. In particular, we present
1991 Mathematics Subject Classication. Primary 46L08, 37F10.
Key words and phrases. C algebras, Hilbert C bimodule, KMS state, countable basis.
The author was supported in part by GrantsinAid for Scientic Research (19540218) from
Japan Society for the Promotion of Science.
1
73
c
2009
American Mathematical Society
74
2
TSUYOSHI KAJIWARA
a complete classication result of KMS states on CuntzPimsner C algebras associated with rational functions on the Riemann sphere.
The construction of countable bases for rational function case and selfsimilar
map case are original and have not yet been published anywhere. We believe that
the explicit form of countable bases for Hilbert C modules associated with the
correspondences with branch points are not known yet. The results in section
4 for the calculation of the explicit form of the PerronFrobenius type operators
are obtained in IzumiKajiwaraWatatani [6] without using countable basis. Classication results of KMS states are obtained in [6], but we present a exposition of
classication results for both cases in a manner slightly dierent from [6].
This paper is based on the joint work with Y. Watatani and with M. Izumi.
2. Preliminary
2.1. Hilbert C bimodules and CuntzPimsner algebras. Let A be a
C algebra. We give the denition of Hilbert C modules.
ui (ui x)A
i=1
holds for each x X and the right hand side is norm convergent.
aSx = S(a)x ,
lim a
n
i=1
(Sx )a = Sxa ,
aSui (Sui ) = 0
(Sx ) Sy = (xy)A ,
a IX ,
a A,
x, y X,
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3
where {ui }
i=1 is a countable basis for X. There exist isometric representations A
and X of A and X into OX such that
A ((xy)A ) = X (x) X (y),
t (x) = eit x
for a A, x X.
.
F = n=1 F (n) is equal to the xed point subalgebra OX
2.2. Rational functions. We refer [8] for this section. Let R be a rational
 w = R(z), z B(R)}.
C(R) = {w C
Points in B(R) are called branch points and points in C(R) are called branch values.
we denote by [z] the set of w C
such that Ri (z) = Rj (w) for some i,
For z C,
is called an exceptional point if [z] is a nite set. We denote
j N. A point z C
by ER the set of exceptional points of R. Exceptional points of rational functions
are classied in Beardon [1] as follows:
(1)
(2)
(3)
(4)
ER
ER
ER
ER
= .
= {z0 }.
= {z0 , z1 } (z0 = z1 ) and [z0 ] = {z0 }, [z0 ] = {z1 }.
= {z0 , z1 } (z0 =
z1 ) and [z0 ] = [z1 ] = {z0 , z1 }.
which is an ordinary graph of R. Put A = C(C)
y1 , y2 K.
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4
TSUYOSHI KAJIWARA
Put C = j=1 {(j (y), y)  y K}. This C is called the cograph of . Put
A = C(K) and X = C(C ). We dene a right Aaction and Ainner product of
X by
( a)(j (y), y) = (j (y), y)a(y)
()A (y) =
N
(j = 1, . . . , N ),
j=1
x, y A(n) .
For a tracial state on A(0) satisfying the above condition, the KMS state on A
whose restriction to A(0) coincides with is given by E.
Let A be a C algebra and I be a closed two sided ideal, {e } be an approximate unit in I. For a positive linear function on I, there exists a positive linear
functional on A satisfying (a) = lim (ae ) for a A, which is called the
natural extension of .
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5
We assume
n the existence of a countable basis {ui }i=1 for X over A such that
N = supn i=1 (ui ui )A < .
The following theorem is proved in LacaNeshveyev [14]. We give an alternative
simple and selfcontained proof here.
+
(2)
i=1 (ui aui ) e (a) for a A .
The correspondence is bijective and conserves the set of extreme points.
n
Proof. Let be a KMS state on OX . Let a IX . Since { i=1 ui ,ui }
n=1
is an approximate unit in K(X), we have
(ui aui ) = e
(aui ui ) = e a lim
ui ui = e (a).
i=1
i=1
i=1
1/2
1/2
(ui aui ) = e
(aui ui ) = e a
ui ui a
e (a).
+
i=1
i=1
i=1
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6
TSUYOSHI KAJIWARA
using uin ui1 xui1 uin A K(X) = IX (Lemma 2.8) and the condition (1),
we have
(n+1) (x) = e(n+1)
(uin+1 uiin ui1 xui1 uin uin+1 )
(i1 , ,in ,in+1 )Nn+1
= en
en
((ui (a)ui )A )
for a A.
i=1
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7
3. Construction of basis
In this section, we construct countable bases for Hilbert C modules associated
and associated with self similar maps. We state the
with rational functions on C
detail for rational function case and omit the detail for selfsimilar map case. We
assume that every neighborhood is connected. We use notation U = {z C  z
} for a positive number . U is a compact connected neighborhood of 0.
3.1. Rational functions. We construct a countable basis for XR for each
rational function R in four steps.
1st step. Let V = U for some > 0. Then V is a compact neighborhood
of 0 in C. Put C = {(z, z N )  z N V } (N 1). Then X = C(C) is naturally a
Hilbert Amodule where A = C(V). We construct a basis for X. If N = 1, {u1 }
constitutes a basis, where u1 (z, z) = 1 for z V .
We assume N 2. We dene continuous functions ri (x) on [0, ) by r0 (x) = 0
and for i 1
1
i x
2i
L
L
ri (x) =
x
1
L
2i x i
L
0
0 x 2i
.
where L is a positive constant.
ri (x) ri+1 (x), we put vi (x) = (ri (x)
Noting
2
have
v(0)
=
0, and that for each > 0 there exist an
ri1 (x))1/2 . Then we
i=1
m
integer m0 such that i=1 vi (x)2 = 1 holds for m m0 for each x with x.
For 1 p N 1, we dene a functions p (z) on C\{0} by
p
z
1
p (z) =
.
N z
We dene continuous functions uk k = 1, 2, . . . on C by
1
u1 (z, z N ) = ,
N
N 1
m N 1 N 1
1
1 p j
f ( j z, z N ) +
( ) f ( j z, z N )vi (z)2
N j=0
N i=1 p=1 j=0
n N 1
1 p j
+
( ) f ( j z, z N )vm+1 (z)2 ,
N p=1 j=0
using = e2 1/N .
We x > 0, and put = /(N + 1). There exists > 0 such that for every
z < we have
f (z, z N ) f (0, 0) < .
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TSUYOSHI KAJIWARA
< +
m N 1 N 1
n N 1
1
1
+
f (z, z N ) f (0, 0)vi (z)2 +
f (z, z N ) f (0, 0)vm+1 (z)2
N i=1 p=1 j=0
N p=1 j=0
+ + 0 + 0 + (N 1)
m+1
vi (z)2
i=1
(N + 1) = .
N 1
We used j=0 ( p )j = 0, which follows from that p s are imaginary N th roots
m+1
of 1 for 1 p N 1, and used i=1 vi (z)2 1 for every m.
m0Take the above > 0, and assume z . Then we can take m0 such that
i=1 vi (z) = 1 for all z . Using (3.1), for M = 1 + (N 1)(m 1) + n with
m m0 , we have
N 1
N 1 N 1
1
1 p j
f ( j z, z N ) +
( ) f ( j z, z N )
N j=0
N p=1 j=0
N 1
N
1
1
j p
1+
( ) f ( j z, z N )
=
N j=0
p=1
N
1
N
1
1
N
j p
1+
( ) f ( j z, z N )
= (1 + (N 1))f (z, z ) +
N
p=1
j=1
fM (z, z N ) =
=f (z, z N ).
We used that j is imaginary N th root of 1 and 1 +
N 1.
Then if M 1 + (N 1)m0 , we have
N 1
p=1
( j )p = 0 for 1 j
81
9
k=1
M
k=1
M
uk (z, R(z))
uk (
z , R(z))f (
z , R(z))
R(
z )=R(z)
u
k (, N )
N )f (1 (),
1 ( N )))
u
k (,
1
2
N = N
k=1
1
=f (1
1 (), 2 ())
= f (z, R(z))
u
ij (
uij f i )A (z, R(z)).
ji
We dene
uik (z, R(z))
u
ik (z, R(z))(i (R(z)))1/2
0 for z
/ Vi .
for z Vi
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10
TSUYOSHI KAJIWARA
i=1 ki
1/2
u
ik i
1/2
(
uik i
f )A (z, R(z))
iI(z) ki
iI(z)
s+t
u
ik (
uik f i )(z, R(z))
ki
i=1
Convergence is uniform on CR .
We dene a countable discrete set = {(i, k)  1 i s + t, k i }.
Theorem 3.2. Let R be a rational function. Then {uik }(i,k) constructed
above is a countable basis for XR over A.
3.2. Selfsimilar maps. We construct a countable basis for selfsimilar map
= (1 , . . . , N ) on a compact metric space (K, d) under the condition that C()
is nite. For the convenience of construction, we permit the case N = 1. The result
of this section is contained in the unpublished preprint KajiwaraWatatani [10].
If N = 1, the basis consists of {u1 ((y), y)} where u1 ((y), y) = 1. We assume
N 2.
1st step In 1st step we consider the following situation for the convenience
of construction. Let K1 and K2 be compact metric spaces and i (i = 1, , N )
be proper contractions from K1 to K2 . We use the same terminology proper
contraction for maps from K1 to K2 . We assume that there exists a c K1
such that 1 (c) = = N (c) and i (y)s are dierent for y = c. We put C =
{(i (y), y)y K1 , i = 1, . . . , N }, A = C(K1 ) and X = C(C). Then X is a Hilbert
A module in a canonical way. We say that such a module is of N branch class.
We use the same family of functions {ri (x)}
given in section 3.1,
i=0 on [0, )
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11
for each j. Put M0 = 1 + (N 1)(m0 1). Let M M0 . For each j, by the the
calculation similar to rational function case in section 3.1, we have
fM (j (y), y) = f (j (y), y).
Then we conclude that for every M M0 ,
fM (j (y), y) f (j (y), y) <
for all y K1 . We conclude that {uk }
k=1 as above is a basis for X.
2nd step Let c C() and {j (c)  1 j n} = {b1 , . . . , bs }, and U be a compact neighborhood of c which does not contain other elements of C(). We put C =
{(x, y)  x = k (y), for some k , y U } and Ci = {(x, y)x = k (y), where k (c) =
bi , y U }. We put A = C(U ), X = C(C) and Xi = C(Ci ) for each
si. We can
construct a basis for each Xi as an Amodule by step 1. Since X = i=1 Xi as A
module, we can construct a basis for X over A.
3rd step Since C() is a nite set, we write C() = {c1 , . . . , cm }. We take
suciently small open neighborhoods Ui of ci such that C() U i = {ci } for
1 i m and U i U i = for i = i . We take anopen neighborhood Vi of
m
ci such that V i Ui for each i. We put U0 = K\ m
i=1 V i . Then {Ui }i=0 is
an open covering of K. We put Ai = C(U i ), Ci = { (x, y) C  y U i } C
and Xi = C(Ci ), i = 0, , m. Then Xi s are Hilbert Ai modules in step 2. Let
{
uik }ki be the basis for Xi dened in step 2, where i is a countable set. For
XU0 , we can construct a nite basis {
u0k }N
k=1 because U0 contains no point in C().
m
Let {i }i=0 be a partition of unity associated with the open covering {Ui }m
i=0 of
K.
For 0 i m, we dene
u
ik (j (y), y)i (y)1/2 for y Ui
i
uk (j (y), y) =
0 for y
/ Ui .
m
Put = i=0 {(i, k))  k i }. As in 4th step in section 3.1, we can show the
following theorem.
Theorem 3.3. ([11]) Let (K, d) be a compact metric space, = (1 , . . . , N )
be a system of proper contractions on K. We assume that C() is a nite set. Then
{uki }(i,k) constructed above is a basis for X .
4. Computation for the PerronFrobenius type operators
We present the calculation of the explicit form of PerronFrobenius type operators for rational function case and selfsimilar map case using countable bases
constructed in section 3. In this section and the next section, we identify a Borel
measure on a compact metric space and the corresponding tracial linear functional
on a commutative
C algebra C() for notational convenience. We use notation
(a) for a() d(), where a C().
we dene the Borel function
4.1. Rational function case. For a A = C(C)
a
by
a
(w) =
a(z).
zR1 (w)
and 
a N a 1, where 1(z) = 1 for z C.
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TSUYOSHI KAJIWARA
Let {uk }
k=1 be the countable basis for XR constructed in the section 3.1.
we have
Proposition 4.1. For a C(C),
k=1
k=1
zR1 (w)
1
N
a(z) +
zR1 (w)
a(z) +
zR1 (w)
N 1
1
N i=1 p=1
N 1
N
vi (z)2 a(z)
zR1 (w)
vi (z)2 a(z) =
a(z).
zR1 (w)
k=1
e(1 (z))
uk (1 (z), 2 (z))a(z)
uk (1 (z), 2 (z))
k=1
e()
uk (, )b()
uk (, ) = b() = a
(w).
n =
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13
i
We put Ri = RUi . Let {uik }
k=1 be a basis of XV constructed in 2nd step in
i
we
for each i. For a C(C),
section 3.1. We consider XV as a left C(C)module
have
m
m
a(z)
i=1 k=1
a(z) = a
(w).
zR1 (w)
i=1 ki
s+t
1/2
(
uik i
1/2
(a)
uik i
)A (w)
i=1 ki
1/2
(
uik i
1/2
(a)
uik i
)A (w)
iI(w) ki
iI(w)
(
uik (a)
uik )A (w)i (w)
ki
a
(w)i (w) =
s+t
a
(w)i (w) = a
(w).
i=1
iI(w)
By Proposition 4.1, we have
sup
n
n
= 1 N 1. Then we have
(ui ui )A N.
i=1
We can rewrite the condition (1) and (2) in Theorem 2.9 for rational function
case.
Proposition 4.2. ([6]) Let R be a rational function. For a KMS state
corresponds to a
on OR with respect to the gauge action, its restriction to C(C)
(aB(R) = 0)
(
a) e (a)
(a A )
(3)
(4).
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TSUYOSHI KAJIWARA
4.2. Selfsimilar map case. Let be a selfsimilar map for a compact metric
space (K, d). We put j (a)(y) = a(j (y)). For a A, we dene a Borel function a
by
N
1
a(j (y)).
a
(y) =
e(j (y), y)
j=1
We note that if C() is not empty, a
is not continuous.
Proposition 4.3. We assume that C()
is a nite set. For the basis {uk }k
for X constructed in section 3.2, we have k (uk auk )A (y) = a
(y). We note
that the left hand side is monotone convergent for a positive a A.
Proof. We consider 1st step in section 3.2. Let X be of N branch class. Let
{uk }
k=1 be the basis constructed in 1st step in section 3.2. We show
k=1
for every y K1 .
If N = 1, we have (u1 au1 )A (y) = a(1 (y)). We assume N 2. We consider
X as a left C(K2 )module. Let a C(K2 ). Then we have
N
k=1 j=1
k=1
N
k=1 j=1
N
N
N 1
1
a(j (y)) +
vi (d(j (y), y))2 a(j (y)).
N j=1
N i=1 j=1
N
N
The last expression is equal to j=1 a(j (y)) if y = c and equal to N1 j=1 a(j (y))
if y = c. In any case, this is equal to a
(y). If a A+ , the left hand side is monotone
convergent for a positive a.
We consider 2nd step in section 3.2. Let {uik }ki be the basis in 2nd step in
section 3.2. We consider Xi as a left C(K)module. Let a C(K). Then, from
step 1,
s
s
a(bi ) for y = c
i
i
i=1
(uk (a)uk )A (y) =
s
for y = c.
i=1
j,j (c)=bi a(j (y))
i
i=1
k
This is equal to a
(y).
We consider 3rd step. By taking a partition of unity associated with the open
covering in 3rd step in section 3.1 and doing calculation similar to rational function
case in section 4.1, we can prove the conclusion.
As in section 4.1, we have
sup
n
n
i=1
(ui ui )A N.
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15
(aB()) = 0)
(
a) e (a)
(a A )
(3)
(4).
a 1
sup e
a 1
e N (1) = e N ,
and taking sup for 1, we have F e N < 1.
5.1. Rational function. In this section we refer the condition (3) and (4) in
Proposition 4.2 simply as (3) and (4).
First we consider the case > log N . Let be a Borel probability measure on
satisfying the condition (3), (4). If > log N , then F < 1 by Lemma 5.1.
C
We put 0 = F (). Then we have
n
lim
(F )j (0 ) = lim (F )n () =
n
j=0
is
given
by
a
point
measure
on
B(R).
Let
B(R)
=
{b
0
1 , , bs }. For each bi ,
j
j=0 (F ) (bi ) is norm convergent. Put
bi , =
where m
bi ,
1
mbi ,
(F )j (bi ),
j=0
Proposition 5.2. When > log N , bi , satises the condition of (3) and (4)
in Proposition 4.2, and dene a KMS state bi , on OX .
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TSUYOSHI KAJIWARA
Proposition 5.3. ([6]) When > log N , the set of extreme points of KMS
states on OX is {b, }bB(R) .
satisfying (3) and
Proposition 5.4. Let be a Borel probability measure on C
does not have point mass at B(R) and C(R). Then the equation (3) holds for every
a A, and must be equal to log N .
Proof. Let {an }
n=1 be a sequence in A such that an B(R) = 0 and an a
monotone increasingly outside B(R). Since does not have point mass at B(R)
and C(R), we have
lim (an ) = (a)
lim (
an ) = (
a).
If the equation (3) holds for all a A, we can substitute a = I, and then =
log N .
For a A, we dene F by F (a) = e zR1 (w) e(z)a(w). If a measure on
has no point mass on B(R) and C(R), and F () = , then satises (3) for
C
all a A.
R and each n N, we dene
Definition 5.5. (Lyubich [13]) For any w C\E
w
by
a probability measure n on C
N n e(z)e(R(z)) e(Rn1 (z))z .
w
n =
xRn (w)
L
L
is
The sequence (w
n )n=1 converges weakly to a measure . The measure
L
independent of the choice of w. This is called the Lyubich measure.
The following proposition is proved in [6] using Proposition 5.8, and is the key
point for the classication.
If z
Proposition 5.9. ([6]) Let be a Borel probability measure on C.
/ ER
and c (z) > 0, then > log N .
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17
Then 1 satises the condition (3) in Theorem 4.2 and 1 has no point mass. If
< log N , 1 = 0 holds, and if = log N , 1 is a constant multiple of L by
Proposition 5.4 and Proposition 5.7.
Theorem 5.10. (IzumiKajiwaraWatatani [6]) The set of extreme points of
KMS states on OR with respect to the gauge action are classied as follows.
1. When > log N , the set of extreme points of KMS states are {b, }bB(R) .
2. When = log N , the set of extreme points of KMS states are {L }
{c, }cER .
3. When 0 < < log N , the set of extreme points of KMS states are {c, }cER .
The measures c, where c ER are given as follow. When ER = {w1 , w2 }
and [w]i = {wi } for each i, {c,  c ER } = {w1 , w2 }. When ER = {w1 , w2 } and
[w1 ] = [w2 ] = {w1 , w2 }, {c,  c ER } = {1, , 2, }, where
1, =
e
1
w +
w ,
+ 1 1 e + 1 2
2, =
1
e
w1 +
w .
+1
e +1 2
1
mbi ,
k=0
ek
jk j1 (bi ) ,
where mbi , is the positive normalizing constant. Then bi , s satises (3) and (4).
Let bi , be the corresponding KMS state on O . In a similar manner as rational
function case in section 5.1, the following proposition holds.
Proposition 5.11. If log > N , the set of extreme points of KMS states
on O with respect to the gauge action is {b, }bB() .
Let G be the map from C(K) to C(K) dened by
G(a) =
N
1
(a).
N i=1 i
Proposition 5.12. (Huchinson [5]) There exists a unique G invariant probability measure H on K.
We call H the Huchinson measure associated with .
Proposition 5.13. If C() is nite and H has no point mass, H satises
(3) and (4) of Proposition 4.4, and dene a log N KMS state of O .
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TSUYOSHI KAJIWARA
1/2,
= (1 e
k=0
ek
jk j1 (1/2) .
Example 5.16. ([9], [6]) We present a classication result for the CuntzPimsner C algebra associated with Sierpinski Gasket introduced in Kajiwara
Watatani [9]. Let be a regular triangle in R2 with three vertexes c1 = (1/2, 3/2),
c2 = (0, 0) and c3 = (1, 0). The middle point of c1 c2 is denote by b1 , the middle
point of c1 c3 is denoted by b2 and the middle point of c2 c3 is denoted by b3 . We
dene proper contractions i (i = 1, 2, 3) by
x y
x 1 y
x 1 y
3
+ , +
, 2 (x, y) =
,
, 3 (x, y) =
+ ,
.
1 (x, y) =
2 4 2
4
2 2
2 2 2
Let be the rotation by the angle . We put 1 = 1 , 2 = 2/3 2 and
3 = 2/3 3 . We denote by S with the metric d induce from R2 the selfsimilar
set determined by = (1 , 2 , 3 ). We note that ci and bi i = 1, 2, 3 are contained
in S. In this case, we have B() = {b1 , b2 , b3 } and C() = {c1 , c2 , c3 }. We denote
by OS, the CuntzPimsner algebra constructed from S and .
Let > log 3. For y B(), we dene a probability measure y, on S as
follows:
e 3 k
y,
e
jk j1 (y) .
=
e
k
k=0
Then satises (3) and (4), and extends to a KMS state y, on OS, . KMS
states on OS, with respect to the gauge action exist only for log 3 and are
classied as follows:
y,
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19
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Univ. Math. J. 54 No. 3 (2005),755778
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Theory, 56(2006), 225247
[10] T. Kajiwara and Y. Watatani, C algebras associated with algebraic correspondences, to
appear J. Operator Theory
[11] T. Kajiwara and Y. Watatani, KMS states on C algebras associated with selfsimilar sets,
[axXiv:math.OA/0405514v1]
[12] T. Katsura, On C algebras associated with C correspondences, J. Funct. Anal. 217(2004),
366401.
[13] M. Y. Lyubich, Entropy properties of rational endomorphisms of the Riemann sphere, Ergodic Th. & Dynam. Sys. 3 (1983), 351385
[14] M. Laca and S. Neshveyev, KMS states of quasifree dynamics on Pimsner algebras, J.
Funct. Anal. 211(2004) 457482
[15] J. Milnor, Dynamics in one complex variable, Annals of Math. Studies, Princeton Univ.
Press, 2006
Department of Mathematics for Environmental Study, Okayama University, Tsushima,
Okayama, Japan 7008530
Email address: kajiwara@ems.okayamau.ac.jp
Contemporary Mathematics
Contemporary Mathematics
Volume 503, 2009
1. Introduction
Let be a nite alphabet. We use notation like
x[i,k] = (xj )ijk ,
x Z , i, k Z, i k,
and we denote by x[i,k] also the word that is carried by the block x[i,k] . The length
of a word a is denoted by (a). On the shift space Z there acts the shift by
x = (xi )iZ Z .
x (xi+1 )iZ ,
(x X)
94
2
Among the rst examples of subshifts are the topological Markov shifts. Using
a matrix (A(, )), ,
A(, ) {0, 1},
, ,
that has in every row and every column at least one entry that is equal to 1 as a
transition matrix one obtains a topological Markov shift tM (, A) by setting
tM (, A) = {(i )iZ Z  A(i , i+1 ) = 1, i Z}.
For n > 1 the nblock system (Z )[1,n] of the shift on Z is a topological Markov
shift with a transition matrix A(n) that is given by
1 if a(1,n] = a[1,n) ,
(n)
,
a, a n .
A (a, a ) =
0 if a(1,n] = a[1,n)
A subshift X Z is said to be of nite type if there is a nite set F of words in
the alphabet such that (i )iZ X precisely if no word in F appears in (i )iZ .
A subshift is topologically conjugate to a subshift of nite type if and only if it is
of nite type [10, 13]. We formulate this theorem equivalently as:
Theorem 1.1. Let X Z be a subshift that is topologically conjugate to a
topological Markov shift. Then there exists an n N such that
X [1,n] = tM (Ln (X), (A(n) (a, a ))a,a Ln (X) ),
n n .
k m
Creset ={
+ an  1 n N, m, k N, m k}
k k
+ bn  1 n N, k N}.
Ccounter = {
(N )
(N )
(N )
(N )
95
3
of what we will call standard onecounter shifts with reset. To every standard onecounter shift X Z there is associated a unique Markov code C (X) such that
X = scM (C (X) ) and such that a version of Theorem 1.1 holds. A formal language
is called a onecounter language if it is recognized by a push down automaton with
one stack symbol [4, 5, 7]. The Markov code C (X) that is associated to a standard
onecounter shift X X is a onecounter language.
Given a subshift X X a word v L(X) is called synchronizing if for u, w
L(X) such that uv, vw L(X) also uvw L(X). A topologically transitive subshift
is called synchronizing if it has a synchronizing word. Before turning in Section
3 to the standard onecounter codes we introduce in Section 3 auxiliary notions
for synchronizing subshifts. We introduce strongly synchronizing subshifts as the
subshifts in which synchronizing symbols appear uniformly close to synchronizing
words, and we introduce suciently synchronizing subshifts as the subshifts that
have a strongly synchronizing higher block system.
graph systems (as introduced in [15]) are labeled directed graphs that are
equipped with a shift like map . A graph system L gives rise to a C algebra
OL . To a subshift X there is invariantly associated a future or predicting graph
system XL that is based on the future equivalences of the pasts in X(,0] (as in
[11]) and there is invariantly associated a past or retracing graph system LX
that is based on the past equivalences of the futures in X[0,) (as in [15]). The
predicting and the retracing graph systems of a subshift are time symmetric to
oneanother: the predicting graph system of a subshift is identical to the retracing
graph system of its inverse and vice versa. For a standard onecounter shift X we
will see that OXL is simple if and only if X has reset and that OLX is not simple.
Since the stable isomorphism class of OLX is an invariant of ow equivalence [17],
a standard onecounter shift with reset is not ow equivalent to its inverse. For the
(N )
(N )
onecounter shifts sc(Creset ), sc((Creset )rev ), we will show that
K0 (Osc((C (N )
rev )
K1 (Osc((C (N )
rev )
reset )
reset )
)
= K0 (Osc(C (N ) ) )
= Z/N Z Z,
reset
) = K1 (O
)
(N )
= 0.
sc(Creset )
(N )
(N )
The onecounter code Ccounter is equal to its reversal (Ccounter )rev . The Kgroups
of the C algebra have been computed in [12] as
K0 (Osc(C (N )
counter )
K1 (Osc(C (N )
counter )
)
= Z/N Z Z2 ,
)
= Z.
i, k Z,
i k.
We set also
+
k (a) = {b X(n,n+k]  (a, b) X[m,n+k] },
+
(a)
k N,
n, m Z, m < n, a X[m,n] .
:X
[L,L] , such
: X X, there is for some L Z+ a block mapping
96
4
that
x[iL,i+L] ))iZ ,
(
x) = ((
x
X.
We set
a) = ((
a[jL,j+L] ))i+LjkL,
(
[i,k] ,
a
X
i, k Z,
k i > 2L.
+
L+L]
+
Proof. Let
x[I LL,I
),
y
(
+ +L+L]
y+ +
x[I LL,I
),
(
+ +L+L]
+
+
and let y
(x[I ,I+ ] ), y (x[I ,I+ ] ), be given by
y , x
[I LL,I
) = (y , x[I ,I+ ] ),
(
+ +L+L]
x
(
, y+ ) = (x[I ,I+ ] , y + ).
[I LL,I
+ +L+L]
One has (y , x[I ,I+ ] , y + ) X and
y , x
[I LL,I
, y+ )
1 (y , x[I ,I+ ] , y + ) = (
+ +L+L]
and the lemma follows.
97
5
Proof. To prove the lemma it is by Lemma 2.2 enough to consider the case
Z and of a topological conjugacy : X X
that is
of subshifts X Z , X
(2.1)
and for
such that
+
synchro (X) we denote by D(
, + ) the set of words d
+ L(X)
+
d+
kN
k
(+
).
98
6
We set
(X) = { synchro (X)  D( , ) = },
+
+
+
(X) = { synchro (X)  D( , + ) = }.
, ) and + (X),
D(+ , + , ), D( , +
+ (X) have the symmetric meaning.
Lemma 3.2. For a strongly synchronizing subshift X Z that has a characteristic pair (( )iZ , (+ )iZ ) of xed points, the sets (X) and + (X) are
not empty and the sets D( , ), (X) and D(+ , + ), + + (X) are
nite.
Proof. We show that (X) is not empty, and that the sets D( , ),
(X) are nite. By condition (b) there exists an x X that contains a synchronizing word and that is right asymptotic to ( )iZ . The assumption that X
is strongly synchronizing implies that x contains a synchronizing symbol. Let
i Z be such that xi synchro (X), xi+K synchro (X), K N. If here
xi+K = , K N, then the empty word is in D( , ) where = xi . Otherwise let j > i be given by xj = , xj+K = , K N and have x[i,j] D( , ).
The niteness of D( , ), (X) follows from condition (c ).
Let X Z be a subshift with a characteristic pair (( )iZ , (+ )iZ ) of xed
points. Let x OX . If for some i Z,
xi = ,
xi = + ,
i i ,
i > i
i < i ,
xi = ,
+ ,
x i+ =
xi = + ,
i > i+ ,
(X) = {d+
+  + + (X), d D( , + )}.
+
+
We denote by +
reset (X) the set of d + (X) such that there is a D Z+
such that
k
k +D
cX ++ d+ + L(X),
k , k+ N,
We set
k +D(d+ + ) +
d +  d+ + +
reset (X)},
99
7
{t(c)  c C(X)},
synchro (X),
C (+
) = { d d+
 (X), d D( , ),
k
(X)
(3.1)
d+
+ (X)\reset (X), k N},
(X)
(3.2)
+
+ (X),
C (+
),
(X)
+ (X)
t(c) = {+
+ (X)  c C (+ )},
(X)
(3.3)
(X)
c C ,
(X), d D( , ),
d+ + D+ (d+ + ) Z+ ,
d+ + +
reset (X),
we set
(3.4)
(X)
Creset (D , M , M+ , D+ ; + )
k +D(d+ + ) +
={ d cX ++
k
d  (X), d D( , ), d+ + +
reset (X),
(3.6)
c Creset (D , M , M+ , D+ ).
(X), d D( , ),
d+ + + (d+ + ) Z+ ,
d+ + +
counter (X),
100
8
we set
(X)
Ccounter ( , J , J+ , + ; + )
={ d cX ++ d+  (X), d D( , ),
k
(3.7)
(3.8)
d+ + +
counter (X), k , k+ N,
( ( , d ) + k + J ) (J+ + k+ + + (d+ + )) = }, + + (X)
(X)
(X)
Ccounter ( , J , J+ , + ; + ),
Ccounter ( , J , J+ , + ) =
+ + (X)
(X)
(3.9)
(X)
c Ccounter ( , J , J+ , + ).
(X)
(X)
Creset (D , M , M+ , D+ ) Ccounter ( , J , J+ , + ).
={c C
(X)
(X)
where the equality is understood as an equality of Markov codes. If (3.10) holds then
we say that I, D , M , M+ , D+ , , J , J+ , + are parameters of the standard
onecounter shift X Z . The parameters , J , J+ , + can be missing, and in
the case that X has no reset the parameters D , M , M+ , D+ are missing.
For a standard onecounter shift X Z denote the smallest I Z+ such
that (3.10) holds by IX , and denote by D (X), M (X), M+ (X), D+ (X), (X),
J (X), J+ (X), + (X) the uniquely determined parameters for X that satisfy the
normalization conditions
min (M , M+ ) = min (J , J+ ) =
=
=
(N )
min
d+ + + (X)
min
(X),d D( ,d )
D(d+ + ) =
min
D( d )
min
(X),d D( , )
( d )
+ (d+ + ) = 0.
(N )
101
9
(3.11)
1 (synchro (X))
We introduce notation that we use in this situation. We set (
)iZ = 1 (( )iZ ),
1
(
+ )iZ = ((+ )iZ ). [L, L] will denote a coding window of 1 and will be
that gives 1 . Q N will be chosen such that
a block map : L2L+1 (X)
+
+
+
for a synchronizing word a of X and for a
Q (a), a Q (a) the word a aa
contains a synchronizing symbol.
(X),
b (
For
Q+L ), we can set by Lemma 2.1 and by (3.11)
b
(
) = b (b
) (b
)a (b
),
where the words b (b
) and a (b
) and the symbol (b
) are uniquely
d ) that is in D( , ),
Denoting by d (b
d ) the longest prex of a (b
)(
we have a mapping
d ),
d D(
,
).
: d d (b
b
) (b
)d
is equal to (
) and
length Q + L + 1 of the word b (b
Q+2L
) = H cX H+ .
(c
+
X
(X),
b (
Lemma 3.3. For
Q+L ), the mapping
b
is a bijec ) onto Db ( ).
tion of D(
,
102
10
Proof. By construction
b (D(
,
)) Db ( ),
and one conrms that the inverse of b is given by the mapping that assigns to
a d Db ( ) the word that is obtained by removing the prex of length Q + 1
2L+1
from the longest prex of the word (b (b
) (b
)d
) that does not
end in
.
+
Lemma 3.4. Let +
(X) = . Then also (X) = .
+
+
,
+ ), then one would
(X) and a d+ D(
) that
have for a b Q+L (
+
b (d
), + ).
+ ) D( (b
+
+
+ +
+ ), one has
Lemma 3.5. For d+
reset (X), b L+Q (
d+ (d+
+b+ )+ (
+b+ ) +
reset (X).
Proof. One has
+b+ )+ (
+b+ )) D+ (d+
+ ) + I+ (
+b+ ) + (d+ ) (d+ (d+
+b+ )).
D+ (d+ (d+
b+ + (
+
(X),
Lemma 3.6. Let d+
d+ + (
+b+ ) +
reset (X)
(3.13)
and
(3.14)
k+ > 2L
be such that
k +D+ (d+ + (
+
b+ )) +
+ b+ ) = cX +
d+
(d
+
+
(3.15)
Then
d .
d+
+
reset (X).
Proof. By (3.13)
L+l +H
b+ )) +
l +k+ +D+ (d+ + (
+
d + (
+b+ ) L(X),
cX ++
l , l+ N,
b+ )) +
l +k+ +D+ (d+ + (
+
d + (
+b+ )b+ (
+b+ ))
cX ++
as a subword for l , l+ N.
+ +
l +k
+
d
++
cX
b+
Lemma 3.7. For d+
+ + (X),
+
d
+
+
+ ),
L+Q (
one has
+
reset (X)
if and only if
+b+ )+ (
+b+ ) +
d+ (d+
reset (X).
103
11
words in (X)\
reset (X).
We note that the converse of Lemma 3.8 also holds.
has reset if and only if X has reset.
Proposition 3.9. X
and b+ + (
+ + (X)
Proof. Let d+ + + (X). To obtain
L+Q + )
+
+
+
+
that begins with a synchronizing symbol. Apply Lemma 3.3 and Lemma 3.7.
is also a standard
Lemma 3.10. Let X be a standard onecounter shift. Then X
onecounter shift.
+ 2 max{(d+ + )  d+ + + (X)}
)  d+ + (X)\
+ max{(d+ +
reset (X)}
+ max (X),d D( , ) ( d )
+ max d+ + +
counter (X)
(3.17)
(3.18)
= M + H ,
M
J = J + H ,
(
D
d ) =
(3.19)
+ = M+ + H+ ,
M
J+ = J+ + H+ ,
{D ( (b
)d (b
d ))
d )) + (d ) + I (b
)},
(d (b
d D(
(X),
,
),
+ (d+
D
+ ) =
(3.20)
max
b
)
Q+2L (
+ (d+ + ),
min
{I+ (
+b+ ) + (d+ ) (d+ (d+
+b+ ))
b+ +
+ )
L+Q (
+b+ )+ (
+b+ ))},
+ D+ (d+ (d+
d+
+ + (X),
reset
104
12
and
(
d ) =
( (b
)d (b
d )) + (d )
)
b
Q+L (
(3.21)
+ (d+
+ ) =
d )) + I (b
)),
(d (b
(X),
d D(
,
),
I+ (
+b+ ) (d+ (d+
+b+ )) + (d+ )
b+ +
+ )
L+Q (
(3.22)
+b+ )+ (
+b+ )),
+ + (d+ (d+
+ d+ +
(X).
counter
We prove that
 (
{
c C(X)
c) = I}
(X)
(X)
(X)
, M
, M
+, D
+ ) Ccounter
, J , J+ ,
+ ).
Creset (D
(
of length I,
let
+ t(
c).
Given a word c C(X)
be the rst symbol of c and let
Also let
b (
b+ + (
Q+L ),
L+Q + ),
and let a word c L(X) be given by
b c
(
+b+ ) = b (b
)c+ (
+b+ )b+ (
+b+ ).
By (3.16)
(X)
(X)
c C (+ (
+b+ )) Creset (D , M , M+ , D+ ; + (
+b+ ))
(X)
+b+ )).
Ccounter ( , J , J+ , + ; + (
In the case that
(X)
+b+ )),
c C (+ (
(3.23)
one has + (
+b+ )
+ (X), and there are
), ),
d D( (b
d+
+b+ )),
D( , + (
k
c = (b
)d d+
.
By (3.16) k > 2L, and it is seen from the action of that one has, setting
(d ),
d = 1
1
d+
(d+ ),
=
b+
+
and
(3.24)
k = k I (b
) + (d ) (d ) H ,
that
k
c =
d
d+
.
Here
+ (X)\
d+
reset (X),
105
13
for otherwise one would have by Lemma 3.5 a contradiction to (3.23). This means
that
(X)
c C (
+ ).
In the case that
(X)
cC
(D , M , M+ , D+ ; + (
+b+ )),
reset
there are
), ),
d D( (b
and k , k+ N such that
k
k
c = (b
)d cX ++ d+ ,
+b+ ) +
d+ + (
reset (X),
(3.25)
d+
+b+ )),
D(+ , + (
D ( (b
)d ) + k + M M+ + k+ + D+ (d+ + (
+b+ )).
Set again
(d ),
d = 1
(3.26)
+
b+
(3.27)
k
1
(c + d+ ).
d+
=
b+ X +
+
If here
+ (X)\
d+
reset (X),
(3.28)
then by Lemma 3.6 k+ 2L, and then by (3.16) k > 2L, and it is seen from the
action of that, with k given by the expression (3.24),
d+
c =
d
.
By (3.28) this means that
(X)
c C (
+ ).
If here
d+
+
reset (X),
one has by (3.16) and (3.25) that k > 2L and it is seen from the action of that,
with k given by the expression (3.24), and with
(3.29)
k+ = k+ H (d+ ) + (d+ ) I+ (
+b+ ),
that one has then
k
k
c =
d
cX
++ d+ .
(X)
, M
, M
+, D
+;
c Creset (D
+ ).
In case that
(X)
c Ccounter ( , J , J+ , + ; + ),
there are
d D( (b
), ),
d+ D(+ , + (
+b+ )),
106
14
and
)d ),
D+ + (d+ + (
+b+ )),
D ( (b
and k , k+ N such that
(3.30)
d+ + (
+b+ ) +
counter (X),
)d cX + k+ d+ ,
c = (b
k
(3.31)
D + k + J = J+ + k+ + D+ .
By (3.16) and (3.31) k , k+ > 2L, and with d , d+ , k , k+ given by the expressions
(3.26),(3.27), (3.24), (3.29) and with
= D + (d ) (d ) + I (b
D
(3.32)
),
+ = I+ (
+b+ ) + (d+ ) (d+ ) + D+ ,
D
(3.33)
c =
d
cX
++ d+ .
By (3.32) and (3.33)
+,
+ k + J = J+ + k+ + D
D
and by Lemma 3.7 and by (3.30) this means that
(X)
, J , J+ ,
+;
c Ccounter (
+ ).
We prove that
(X)
{
c C
(3.34)
C(X).
 (
c) = I}
(X),
and for a word c C (X)
with the rst symbol
+
) of length I,
For
(
+
, there are
d D(
,
),
d+
+ ,
+
),
D(
d+
+
(X)\
reset (X),
(3.35)
d+
c =
d
.
Let
b (
Q+L ),
b+ + (
Q+L + ),
If here
+ b+ ) (
d+
(d
+
+ + b ) (X)\reset (X),
then by (3.16), k > 2L and if here
d+ (d+
b+ ) (
b+ ) (X),
+
D(+ , +
(
+ b ))
d+ +
+
reset (X),
reset
107
15
By Lemma 3.6 and by (3.35) k+ 2L, and then by (3.16) k > 2L, and also
D ( (b
)d ) + k + M M+ + k+ + D+ (d+ + (
+b+ )),
and therefore
k
(X)
ccX ++ d+ Creset (D , M , M+ , D+ ; + (
+b+ )).
By (3.16) then
k
ccX ++ d+ C(X),
and it is seen from the action of that the word c is a subword of the word
k
)ccX + d+ + (
+b+ )b+ (
+b+ )) L(X),
(b (b
+
(X)
, M
, M
+, D
+ )  (
C(X).
{
c Creset (D
c) = I}
+ (X)
and for a word
For
+
(X)
, M
, M
+, D
+;
+ )
c Creset (D
d+ D(
+ ,
+ ),
+
d+
reset (X),
(
M
+ + k+ + D
+ (d+
D
d ) + k + M
+ ),
cX
++ d+ .
c =
d
By (3.12), (3.17), (3.19) and (3.20) one can select
b (
Q+L ),
b+ + (
Q+L + )
such that
(
D
d ) = D ( (b
)d (b
d )) (d (b
d )) + (d ) + I (b
),
+ (d+
+ ) = I+ (
+b+ ) + (d+ ) (d+ (d+
+b+ )) + D+ (d+ (d+
+b+ )+ (
+b+ )),
D
and such that one has with
(3.40)
) (d (b
d )) + (d ) + k + H ,
k = I (b
(3.41)
that
(3.42)
D ( (b
)d (b
d )) + k + M M+ + k+ + D+ (d+ (d+
+b+ )+ (
+b+ )).
By (3.38) and Lemma 3.7 and by (3.42) it follows for the word c in the symbols of
that is given by
b c
(
+b+ ) = b (b
)c+ (
+b+ )b+ (
+b+ ),
that
k
k
(X)
+
c = (b
)d (b
d ) cX ++ d+ (d+
+
+b+ )).
b ) Creset (+ (
108
16
By (3.16) then c C(X). By (3.16) and (3.42) k , k+ > 2L and from the action of
it is seen that the word c is a subword of the word
(b (b
)c+ (
+b+ )b+ (
+b+ )) L(X),
and (3.37) is conrmed.
We prove that
(3.43)
(X)
, J , J+ ,
+ )  (
C(X).
{
c Ccounter (
c) = I}
+ (X)
and a word
For
+
(X)
, J , J+ ,
+;
+ )
c Ccounter (
d+ D(
+ ,
+ ),
(
D
d ),
+
+ (d+
D
+ ),
and
and k , k+ N such that
+
d+
counter (X),
+.
+ k + J = J+ + k+ + D
D
(3.44)
(3.45)
b+ + (
Q+L + ),
D + k + J = J+ + k+ + D+ .
By (3.44) and Lemma 3.7 and by (3.45) it follows for the word c in the symbls of
that is given by
b c
(
+b+ ) = b (b
)c+ (
+b+ )b+ (
+b+ ),
that
k
k
(X)
+
)d (b
d ) cX ++ d+ (d+
+
+b+ )).
c = (b
b ) Ccounter (+ (
By (3.16) then c C(X). By (3.16) and (3.46) k , k+ > 2L and from the action of
it is seen that the word c is a subword of the word
)c+ (
+b+ )b+ (
+b+ )) L(X),
(b (b
and (3.43) is conrmed.
D
, M
, M
+, D
+,
, J , J+ ,
+ are parameters for
We have shown that I,
X.
109
17
[1,n]
n n .
),
One can view the class of standard onecounter shifts as extending the class
of topological Markov shifts and one is then lead to introduce a class of subshifts
of standard onecounter type as the class of subshifts that have a higher block
system that is a standard onecounter shift. Theorem 3.11 is then equivalent to the
statement that a subshift that is topologically conjugate to a subshift of standard
onecounter type is itself of standard onecounter type.
4. graph systems and C algebras
Consider a graph system L = (V, E, , ) over alphabet with vertex set
V = lZ+ Vl , edge set E = lZ+ El,l+1 , labeling map : E and shiftlike
map that is given by surjective maps l,l+1 : Vl+1 Vl , l Z+ . A subset V of V
is called hereditary if all v V such that (v) V are in V, and if v V then all
initial vertices of all edges that have v as a nal vertex are also in V. A hereditary
subset V is said to be proper if V Vl = Vl for all l N.
l
Let us denote by {v1l , . . . , vm(l)
} the vertex set Vl at level l. For i = 1, 2, . . . , m(l), j =
1, 2, . . . , m(l + 1), , we put
1 if s(e) = vil , (e) = , t(e) = vjl+1 for some e El,l+1 ,
Al,l+1 (i, , j) =
0 otherwise,
1 if l,l+1 (vjl+1 ) = vil ,
Il,l+1 (i, j) =
0 otherwise.
The C algebra OL associated with L is the universal C algebra generated by
partial isometries S , and projections Eil , i = 1, 2, . . . , m(l), l Z+ subject
to the following operator relations called (L):
S S = 1,
m(l)
m(l+1)
Eil
= 1,
Eil =
i=1
j=1
S S Eil
m(l+1)
S Eil S
Eil S S ,
j=1
110
18
where V0 (X) contains the singleton set that contains the empty word, and where
Vl (X) = {+
l (x )  x X(,0] },
l N.
, d D( , ),
+
l (x ) = l (a)
111
19
m k
sc((Creset )rev ) = sc({an +
 1 n N, m, k N, m k}),
(N )
that is of the canonical future graph system of sc((Creset )rev ) or, equivalently, of
(N )
the canonical past graph system of sc(Creset ). The set up that we choose is for the
(N )
canonical future graph system of sc((Creset )rev ). Let (M, I) = (Ml,l+1 , Il,l+1 )lZ+
(N )
be the canonical symbolic matrix system of sc((Creset )rev ) (the canonical future
(N ) rev
graph system of sc((Creset ) )). Let (M, I) = (Ml,l+1 , Il,l+1 )lZ+ be its nonnegative matrix system. The entries of the nonnegative matrix Ml,l+1 count the
number of symbols of the corresponding entries of Ml,l+1 . We denote by m(l) the
row size of Ml,l+1 , so that the both matrices Ml,l+1 and Il,l+1 are m(l) m(l + 1)
matrices. They satisfy the following relations
Il,l+1 Ml+1,l+2 = Ml,l+1 Il+1,l+2 ,
l Z+ .
t
t
t
, l Z+ the homomorphism from Zm(l) /(Ml1,l
Il1,l
)Zm(l1)
We denote by Il,l+1
t
t
t
to Zm(l+1) /(Ml,l+1
Il,l+1
)Zm(l) induced by Il,l+1
. Then as in [15]
(N )
(5.1)
t
t
t
Il,l+1
)Zm(l) , Il,l+1
},
K0 (sc((Creset )rev )) = lim{Zm(l+1) /(Ml,l+1
(5.2)
(N )
K1 (sc((Creset )rev ))
t
t
t
= lim{Ker(Ml,l+1
Il,l+1
) in Zm(l) , Il,l+1
}.
Let ZI be the group of the projective limit lim{Zm(l) , Il,l+1 }. The sequence Ml,l+1
l
Il,l+1 , l Z+ acts on it as an endomorphism, denoted by M I. The BowenFranks
(N )
groups BF i (sc((Creset )rev )), i = 0, 1, are dened by
(N )
in
(N )
ZI .
We denote the symbols + , in the subshifts sc((Creset )rev ) now by b, c respectively. For l N, consider the following subsets {Fil }i=1,...,2l+2 of the right onesided
112
20
(N )
l
={(xn )nN sc((Creset )rev )[1,)  x1 = b, x2 = c, x3 = ai for some 1 i N },
Fl+1
(N )
l
Fl+2
={(xn )nN sc((Creset )rev )[1,)  x1 = ai for some 1 i N },
(N )
l
Fl+3
={(xn )nN sc((Creset )rev )[1,)  x1 = c, x2 = ai for some 1 i N },
(N )
l
={(xn )nN sc((Creset )rev )[1,)  x1 = x2 = c, x3 = ai for some 1 i N },
Fl+4
..
.
(N )
l
={(xn )nN sc((Creset )rev )[1,)  x1 = xl = c, xl+1 = ai for some 1 i N }.
F2l+2
(N )
The sets {Fil }i=1,...,2l+2 are the lpast equivalence classes of sc((Creset )rev ). Put
m(l) = 2l + 2. Let vil , i = 1, . . . , m(l) be the vertex set Vl of the canonical graph
(N )
rev
(N )
system Lsc((Creset ) ) for the subshift sc((Creset )rev ). The vertex vil is considered
l
l
to be the class [Fi ] of Fi . For a symbol , if Fjl+1 is contained in Fil , then a
labeled edge labeled from the vertex vil to the vertex vjl+1 is dened in the l
graph system. Hence there are labeled edges labeled an , n = 1, . . . , N from vl+2
to
l+1
l+1
l
vj for j = 1, 2, . . . , l + 2. There are labeled edges labeled b from vi to v2l+4i and
to vil+1 for i = 1, 2, . . . , l + 1. There are labeled edges labeled c from vil to vil+1 for
l+1
l+1
l
i = l + 3, l + 4, . . . , 2l + 2, and from v2l+2
to v2l+3
and to v2l+4
.
l+1
l+1
l
If Fj is contained in Fi , the map is dened by (vj ) = vil . Hence we have
v1
l+1
l
(vj ) = vj1
l
v2l+2
if j = 1,
if j = 2, 3, . . . , 2l + 3,
if j = 2l + 4.
113
21
We will consider the symbolic matrix system Ml,l+1 , Il,l+1 on the ordered bases
l
. For i = 1, . . . , m(l) and j = 1, . . . , m(l + 1), we have
F1l , , Fm(l)
a1 + + aN if i = l + 2, j = 1, 2, , l + 2,
b
if 1 i = j l + 1,
b
if i + j = 2l + 5, 1 i l + 1,
Ml,l+1 (i, j) =
c
if l + 3 i = j 2l + 2,
c
if i = 2l + 2, j = 2l + 3, 2l + 4,
0
otherwise,
1 if i = j = 1,
1 if 2 j = i + 1 2l + 3,
Il,l+1 (i, j) =
1 if i = 2l + 2, j = 2l + 4,
0 otherwise.
Hence we have
so that
1
t
Ml,l+1
(i, j) =
if j = l + 2, i = 1, 2, , l + 2,
if 1 i = j l + 1,
if i + j = 2l + 5, 1 j l + 1,
if l + 3 i = j 2l + 2,
if j = 2l + 2, i = 2l + 3, 2l + 4,
otherwise,
1
t
t
Ml,l+1
(i, j) Il,l+1
(i, j) = 1
0 .................... 0
N
0 ....................
1 1
0 .......... 0
N
0 . . . . . . . . . . . . . . . . . . . .
0 1 1 0 . . . . . . 0
N
0 . . . . . . . . . . . . . . . . . . . .
. . . 0 1 1 0 . . . 0
N
0 . . . . . . . . . . . . . . . . . . . .
. . . . . . . .
. . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . 0 1 1
N
0 . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . 0 1 N
0 . . . . . . . . . . . . . . . . . . . .
.
=
0 . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . 0 1 1
. . . . . . . . . . . . . . . . . . . . 0
1
0 1 1 0 . . . . . . . . . . .
. . . . . . . . . . . . . . . . 0 1
0
0
0 1 1 0 . . . . . . . .
. . . . . . . . . . . . .
.............
. . . . . . . .
.......................
. . . 0
1 0 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0 1 1
0
1
0 .......................................... 0
1
0 ............................................... 0
t
t
Ml,l+1
Il,l+1
if j = l + 2, i = 1, 2, , l + 2,
if 2 i = j 2l + 2, i = l + 2,
if i + j = 2l + 5, 1 j l + 1,
if 2 i = j + 1 2l + 2,
otherwise,
114
22
We see that
t
t
Il,l+1
)=0
Lemma 5.1. Ker(Ml,l+1
for
2 l N.
if j = l + 2, i = 1,
if 2 i = j 2l + 2, i = l + 2,
1
Bl,l+1 (i, j) = 1
if (i, j) = (2l + 4, 1), (2l + 3, 2),
1 if 2 i = j + 1 l + 2,
0
otherwise.
That is
Bl,l+1
0 .................... 0 N 0 ................
1 1
0 .......... 0
0 0 . . . . . . . . . . . . . . . .
0 1 1 0 . . . . . . 0
0 0 . . . . . . . . . . . . . . . .
. . . 0 1 1 0 . . . 0
0 0 . . . . . . . . . . . . . . . .
. . . . . . . .
. . . . . . . . . . . . . . . .
. . . . . . . . . . . . .
. . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . 0 1 1
0 0 . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . 0 1 0 0 . . . . . . . . . . . . . . . .
.
=
0 1 0 . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . 0
. . . . . . . . . . . . . . . . . . . . 0
0
0 0 1 0 . . . . . . . . .
. . . . . . . . . . . . . . . . 0 0
0
0 0 0 1 0 . . . . . .
. . . . . . . . . . . . .
. . . . . . . . . .
. . . . . . . .
...................
. . . 0
0 0 .......................... 0 0 1
0
1
0 .................................... 0
1
0 ......................................... 0
if i = j,
1
Pl (i, j) = 1 if j = 1, i = 2, . . . , l + 1,
0
otherwise.
We know that
(5.3)
t
t
Pl+1 (Ml,l+1
Il,l+1
)Z2l+2 = Bl,l+1 Z2l+2 .
t
t
Denote by Pl+1 the induced isomorphism from Z2l+4 /(Ml,l+1
Il,l+1
)Z2l+2 onto
2l+4
2l+2
Z
/Bl,l+1 Z
. Let Jl,l+1 be the (2l + 4) (2l + 2) matrix dened by setting
for i = 1, . . . , 2l + 4, j = 1, . . . , 2l + 2,
1 if i = j = 1,
1 if i = j 1, i = 2, . . . , 2l + 3,
Jl,l+1 (i, j) =
1 if i = 2l + 4, j = 2l + 2,
0 otherwise.
115
23
Denote by Jl,l+1 the induced homomorphism from Z2l+2 /Bl1,l Z2l into Z2l+4 /Bl,l+1 Z2l+2 .
Lemma 5.3. The diagram
t
Il,l+1
t
t
t
t
Z2l+2 /(Ml1,l
Il1,l
)Z2l Z2l+4 /(Ml,l+1
Il,l+1
)Z2l+2
Pl+1
Pl
Jl,l+1
is commutative.
For an integer n, we denote by q(n) Z the quotient of n by N and by
r(n) {0, 1, . . . , N 1} its residue such as n = q(n)N + r(n). The following lemma
is straightforward.
z1
for k = l + 3, l + 4, . . . , 2l + 2,
xl+2 = q(z1 ),
xl+1 = zl+2 ,
xl = zl+1 zl+2 ,
xlk = zlk+1 zlk+2 zl+2 ,
for k = 1, 2, . . . , l 3.
Set
rl,l+1 (z) = r(z1 ) {0, 1, . . . , N 1},
l,l+1 (z) = z2 z2l+3 + z2l+4 ,
l,l+1 (z) = z3 + z4 + z5 + + zl+2 + z2l+3 .
Then we have
rl,l+1 (z)
l,l+1 (z)
z1
x1
..
.. l,l+1 (z)
.
. = Bl,l+1 . +
0
..
z2l+4
x2l+2
.
0
[yi ]2l+2
i=1
and
2l+4
Lemma 5.6. The map l+1 : [zi ]2l+4
(rl,l+1 (z), l,l+1 (z), l,l+1 (z))
i=1 Z
{0, 1, . . . , N 1} Z Z induces an isomorphism from Z2l+4 /Bl,l+1 Z2l+2 onto
Z/N Z Z Z.
116
24
l,l+1 (z) = m,
l,l+1 (z) = k.
We denote by l+1 the above isomorphism from Z2l+4 /Bl,l+1 Z2l+2 onto Z/N Z
Z Z induced by l+1 .
Lemma 5.7. The diagram
Jl,l+1
l+1
l
Z/N Z Z Z
1 0
is commutative, where L = 0 0
0 1
0
0 .
1
Z/N Z Z Z
2l+2
Proof. For z = [zi ]2l+2
, it is direct to see that
i=1 Z
= lim{Z/N Z Z Z, L}
=Z/N Z Z.
(N )
(N )
As the torsion free part of K0 (sc((Creset )rev )) is not isomorphic to K1 (sc((Creset )rev )),
these types of Kgroups can not appear in those of soc systems.
(N )
(N )
We next compute the BowenFranks groups BF 0 (sc((Creset )rev )) and BF 1 (sc((Creset )rev )).
As in [15, Theorem 9.6], one sees the following formulae of short exact sequences
of the universal coecient type theorem:
(N )
BF i (sc((Creset )rev ))
(N )
BF 1 (sc((Creset )rev ))
= Z2 .
(N )
117
25
Proof. Since for a nitely generated abelian group G, HomZ (G, Z) is the
torsion free part of G and Ext1Z (G, Z) is the torsion part of G, one gets the desired
assertions by Lemma 5.8.
(N )
(N )
As the torsion free part of BF 0 (sc((Creset )rev )) is not isomorphic to BF 1 (sc((Creset )rev )),
these types of BowenFranks groups can not appear in those of soc systems. We
restate Lemma 5.2, Lemma 5.8 and Lemma 5.9 as
Theorem 5.10.
(N )
K0 (sc((Creset )rev ))
=Z/N Z Z,
(N )
BF 0 (sc((Creset )rev ))
=Z/N Z,
(N )
K1 (sc((Creset )rev ))
= 0,
(N )
BF 1 (sc((Creset )rev ))
= Z2 .
(N )
We will next compute the Kgroups for sc(Creset ). The computation is completely similar to the above one as in the following way. We can take the l(N )
(N )
past equivalence classes of sc(Creset ) as the similar ones to the sc((Creset )rev ).
Let (M, I) = (Ml,l+1 , Il,l+1 )lZ+ be the canonical symbolic matrix system for
(N )
sc(Creset ). We see that
a 1 + + aN
b
Ml,l+1 (i, j) =
if i = j = l + 2,
if 1 i = j l + 1,
if i + j = 2l + 5, 1 i l + 1,
if l + 3 i = j 2l + 2,
if i = 2l + 2, j = 2l + 3, 2l + 4,
otherwise.
(N )
Dierent from the symbolic matrix system for sc((Creset )rev ) is only the l + 2th
(N )
row in Ml,l+1 . The matrix Il,l+1 is the same as the one for sc((Creset )rev ). Let
(Ml,l+1 , Il,l+1 )lZ+ be its nonnegative matrix system. Hence we have
1
t
t
Ml,l+1
(i, j) Il,l+1
(i, j) = 1
if i = j = l + 2,
if 2 i = j 2l + 2, i = l + 2,
if i + j = 2l + 5, 1 j l + 1,
if 2 i = j + 1 2l + 2,
otherwise.
N
if i = j = l + 2,
1
if
2 i = j 2l + 2, i = l + 2,
Bl,l+1 (i, j) = 1
if (i, j) = (2l + 4, 1), (2l + 3, 2),
1 if i = 2, j = 1,
0
otherwise,
118
26
that is
0 ............... 0 0 0 ................
1 1 0 . . . . . . . . 0 0 0 . . . . . . . . . . . . . . . .
0 0 1 0 . . . . 0 0 0 . . . . . . . . . . . . . . . .
. . . 0 0 1 0 . 0 0 0 . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . 0 0 1 0 0 . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . 0 0 N 0 . . . . . . . . . . . . . . . .
.
. . . . . . . . . . . . . . . . . . . . 0 0 1 0 . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . 0 0 0 0 1 0 . . . . . . . . .
. . . . . . . . . . . . . 0 0 0 0 0 0 1 0 . . . . . .
. . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . .
. . . 0 0 0 . . . . . . . . . . . . . . . . . . . . . . 0 0 1
0 1 0 ................................ 0
1 0 .................................... 0
Bl,l+1
and
(N )
= lim{Z/N Z Z Z, L}
=Z/N Z Z.
Therefore we have
Theorem 5.11.
K0 (sc(Creset ))
= K0 (sc((Creset )rev ))
= Z/N Z Z,
(N )
(N )
(N )
(N )
K1 (sc(Creset ))
= K1 (sc((Creset )rev ))
= 0.
(N )
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Department of Mathematics, University of Copenhagen, August 2006.
Institute for Applied Mathematics, University of Heidelberg, Im Neuenheimer Feld
294, 69120 Heidelberg, Germany
Email address: krieger@math.uniheidelberg.de
Department of Mathematical Sciences, Yokohama City University, 222 Seto, Kanazawaku, Yokohama, 2360027 Japan
Email address: kengo@yokohamacu.ac.jp
Contemporary Mathematics
Contemporary Mathematics
Volume 503, 2009
1. Introduction
H. Dye has initiated to study of orbit equivalence of ergodic nite measure preserving transformations, who proved that any two such transformations are orbit
equivalent ([9], [10]). W. Krieger [18] has proved that two ergodic nonsingular
transformations are orbit equivalent if and only if the associated von Neumann
crossed produtcs are isomorphic. In topological setting, GiordanoPutnamSkau
[13], [14] (cf. [15]) have proved that two Cantor minimal systems are strong orbit
equivalent if and only if the associated C crossed products are isomorphic. In more
general setting, J. Tomiyama [36] (cf. [2], [37] ) has proved that two topological
free homeomorphisms (X, ) and (Y, ) on compact Hausdor spaces are continuously orbit equivalent if and only if there exists an isomorphism between the
associated C crossed products keeping their commutative C subalgebras C(X)
and C(Y ), which is also equivalent to an existence of a homeomorphism h : X Y
preserving their topological full groups. Orbit equivalence of continuous maps on
compact Hausdor spaces that are not homeomorphisms are not covered by the
above Tomiyamas setting. In [29], the author has shown that similar results to the
Tomiyamas results hold for onesided topological Markov shifts, that are continuous surjections but not homeomorphisms. He has proved that onesided topological
Markov shifts (XA , A ) and (XB , B ) for matrices A and B with entries in {0, 1}
2000 Mathematics Subject Classication. Primary 46L55; Secondary 46L35, 37B10.
Key words and phrases. C algebra, orbit equivalence, symbolic dynamical system, subshift,
topological Markov shift, graph system, CuntzKrieger algebra.
The author was supported by JSPS GrantinAid for Scientic Reserch (N0. 20540215).
1
121
c
2009
American Mathematical Society
122
2
KENGO MATSUMOTO
are continuously orbit equivalent if and only if there exists an isomorphism between
the CuntzKrieger algebras OA and OB keeping their commutative C subalgebras
C(XA ) and C(XB ) ( Note that the term topological orbit equivalence has been
used in [29] instead of continuous orbit equivalence). It is also equivalent to
an existence of a homeomorphism from XA to XB preserving their continuous full
groups [A ]c and [B ]c . In [30], these results for onesided topological Markov
shifts have been generalized to the class of topological dynamical systems of graph systems. A graph system L is a generalization of a nite labeled graph
and presents a subshift. It yields a topological dynamical system (XL , L ) of a
zerodimensional compact Hausdor space XL with shift transformation L , that
is a continuous surjection but not a homeomorphism. The C algebra OL is associated with (XL , L ) such that C(XL ) is naturally embedded into OL as the
diagonal algebra of the canonical AFalgebra FL inside OL . It has been shown
that the topological dynamical systems (XL1 , L1 ) and (XL2 , L2 ) for graph systems L1 and L2 are continuously orbit equivalent if and only if there exists an
isomorphism between the associated C algebras OL1 and OL2 keeping their commutative C subalgebras C(XL1 ) and C(XL2 ) ([30]). It is also equivalent to an
existence of a homeomorphism from XL1 to XL2 preserving their continuous full
inverse semigroups [L1 ]sc and [L1 ]sc .
A C symbolic dynamical system, introduced in [27], is a generalization of both
a graph system and an automorphism of a unital C algebra. It is a nite family
{ } of endomorphisms of a unital C algebra A such that the closed ideal
generated by (1), coincides with A. A nite labeled graph G gives rise to
a C symbolic dynamical system (AG , G , ) such that AG = CN for some N N.
A graph system L gives rise to a C symbolic dynamical system (AL , L , )
such that AL is C(L ) for some compact Hausdor space L with dimL = 0.
A C symbolic dynamical system (A, , ) yields a subshift denoted by over
123
3
systems L (and hence onesided topological Markov shifts) and the class of dynamical systems (X, ) of homeomorphisms on compact Hausdor spaces X. In the
second half of this paper, we will prove
Theorem 1.1. Let (A1 , 1 , 1 ) and (A2 , 2 , 2 ) be C symbolic dynamical systems satisfying condition (I). Suppose that both the algebras A1 and A2 are commutative. The following are equivalent:
(i) There exists an isomorphism : O1 O2 such that (D1 ) = D2 .
(ii) (X1 , 1 ) and (X2 , 2 ) are continuously orbit equivalent.
(iii) There exists a homeomorphism h : X1 X2 such that h[1 ]sc h1 =
[2 ]sc , where [i ]sc denotes the continuous full inverse semigroup of i
consisting of partial homeomorphisms on Xi .
The following are special cases.
Corollary 1.2 ([29]). Let A and B be irreducible square matrices with entries in {0, 1} satisfying condition (I) in [7]. Then their respect right onesided
topological Markov shifts (XA , A ) and (XB , B ) are continuously orbit equivalent
if and only if there exists an isomorphism : OA OB between their respect
CuntzKrieger algebras such that (DA ) = DB , where DA and DB are the diagonal
algebras isomorphic to C(XA ) and C(XB ) of the canonical AF algebras inside OA
and inside OB respectively.
Corollary 1.3 ([36] (Tomiyama)). Let (X, ) and (Y, ) be topological free
homeomorphisms on compact Hausdor spaces X and Y respectively. Then the
dynamical systems (X, ) and (Y, ) are continuously orbit equivalent if and only
if there exists an isomorphism : C(X) Z C(Y ) Z between their respect
C crossed products such that (C(X)) = C(Y ).
In what follows, we will denote by Z+ and N the set of nonnegative integers
and the set of positive integers respectively.
2. C algebras associated with graph systems
Throughout the paper, denotes a nite set with its discrete topology, that
is called an alphabet. Each element of is called a symbol or a label. Let Z be
the innite product space of over Z endowed with the product topology. The
transformation on Z given by ((xi )iZ ) = (xi+1 )iZ is called the full shift over
. Let be a shift invariant closed subset of Z i.e. () = . The topological
dynamical system (,  ) is called a twosided subshift, written as for brevity.
Let L = (V, E, , ) be a graph system over with vertex set V = lZ+ Vl
and edge set E = lZ+ El,l+1 that is labeled with symbols in by a map : E ,
and that is supplied with surjective maps (= l,l+1 ) : Vl+1 Vl for l Z+ . Here
the vertex sets Vl , l Z+ are nite disjoint sets. Also El,l+1 , l Z+ are nite
disjoint sets. An edge e in El,l+1 has its source vertex s(e) in Vl and its terminal
vertex t(e) in Vl+1 respectively. Every vertex in V has a successor and every vertex
in Vl for l N has a predecessor. It is then required that for vertices u Vl1
and v Vl+1 , there exists a bijective correspondence between the set of edges
e El,l+1 such that t(e) = v, (s(e)) = u and the set of edges f El1,l such
that s(f ) = u, t(f ) = (v), preserving thier labels ([24]). We henceforth assume
that L is leftresolving, which means that t(e) = t(f ) whenever (e) = (f ) for
124
4
KENGO MATSUMOTO
l
e, f El,l+1 . Let us denote by {v1l , . . . , vm(l)
} the vertex set Vl at level l. For
i = 1, 2, . . . , m(l), j = 1, 2, . . . , m(l + 1), , we put
1 if s(e) = vil , (e) = , t(e) = vjl+1 for some e El,l+1 ,
Al,l+1 (i, , j) =
0 otherwise,
1 if l,l+1 (vjl+1 ) = vil ,
Il,l+1 (i, j) =
0 otherwise.
m(l)
m(l+1)
Eil
= 1,
Eil =
i=1
j=1
S S Eil
m(l+1)
S Eil S
Eil S S ,
j=1
for i = 1, 2, . . . , m(l), l Z+ , . If L satises condition (I) and is irreducible, the C algebra OL is simple and purely innite ([26], [25]).
Let AL,l be the C subalgebra of OL generated by the projections Eil , i =
1, . . . , m(l). We denote by AL the C subalgebra of OL generated by the all projections Eil , i = 1, . . . , m(l), l Z+ . We denote by : AL,l AL,l+1 the natural
inclusion. Hence the algebra AL is the inductive limit limAL,l of the inclusions.
For , put
L
for x AL .
(x) = S xS
L
Then
{L
} yields a family of endomorphisms of AL such that (1) = 0,
L
L
(1) 1 and for any nonzero x AL , (x) = 0 for some .
125
5
C algebra A, by setting = {}, = the triplet (A, , ) becomes a C symbolic dynamical system. A C symbolic dynamical system (A, , ) yields a
subshift over such that a word 1 k of is admissible for if and only
if k 1 = 0 ([27, Proposition 2.1]). We say that a subshift acts on a
C algebra A if there exists a C symbolic dynamical system (A, , ) such that
the associated subshift is .
Let G = (G, ) be a leftresolving nite labeled graph with underlying nite
directed graph G = (V, E) and labeling map : E (see [23, p.76]). Denote
by v1 , . . . , vN the vertex set V . Assume that every vertex has both an incoming
edge and an outgoing edge. Consider the N dimensional commutative C algebra
AG = CE1 CEN where each minimal projection Ei corresponds to the vertex
vi for i = 1, . . . , N . Dene an N N matrix for by
1 if there exists an edge e from vi to vj with (e) = ,
G
A (i, , j) =
0 otherwise
N
for i, j = 1, . . . , N . We set G (Ei ) = j=1 AG (i, , j)Ej for i = 1, . . . , N, .
Then G , dene endomorphisms of AG such that (AG , G , ) is a C symbolic
dynamical system such that the subshift G is the soc shift G presented by G.
Conversely, for a C symbolic dynamical system (A, , ), if A is CN , there exists
a leftresolving labeled graph G such that A = AG and = G the soc shift
presented by G ([27, Proposition 2.2]).
More generally let L be a graph system (V, E, , ) over . We equip each
vertex set Vl with discrete topology. We denote by L the compact Hausdor space
126
6
KENGO MATSUMOTO
(iii) If A = C(X) with dimX = 0, there exists a graph system L such that
the subshift is the subshift presented by L and the C algebra O is
the C algebra OL associated with the graph system L.
Let be an automorphism of a unital C algebra A. Put = {} and = .
The C algebra O for the C symbolic dynamical system (A, , ) is the ordinary
C crossed product A Z.
4. Condition (I) for C symbolic dynamical systems
The notion of condition (I) for nite square matrices with entries in {0, 1}
has been introduced in [7]. The condition gives rise to the uniqueness of the associated CuntzKrieger algebras under the canonical relations of the generating
partial isometries. The condition has been generalized by many authors to corresponding conditions for generalizations of the CuntzKrieger algebras, for instance,
innite directed graphs ([21]), innite matrices with entries in {0, 1} ([11]), Hilbert
C bimodules ([16]), etc. (see also [17], [33], etc.). The condition (I) for graph
systems has been also dened in [25], [26] to prove the uniqueness of the C algebra
OL under the canonical relations of generators. In this section, we will introduce
the notion of condition (I) for C symbolic dynamical systems to prove the uniqueness of the C algebras O under the relation (). The condition is needed to show
the main result (Theorem 1.1) of this paper. In [16], a condition called (I)free has
been introduced. The condition (I)free is similar condition to our condition (I).
The discussions given in [16] is also similar ones to ours in this section. We will give
complete descriptions in our discussions for the sake of completeness. In what follows, for a subset F of a C algebra B, we will denote by C (F ) the C subalgebra
of B generated by F .
Let (A, , ) be a C symbolic dynamical system over and the associated
subshift . We denote by Bk () the set of admissible words of with length
 = k. Put B () =
k=0 Bk (), where B0 () denotes the empty word. Let
S , be the partial isometries in O satisfying the relation (). For =
(1 , . . . , k ) Bk (), we put S = S1 Sk and = k 1 . In the
algebra O , we set
F
Fk
= C (S xS : , Bk (), x A) for k Z+ ,
= C
(S xS
and
: B (), x A).
identity S xS = S (x)S
for x A
k
the algebra F is embedded into the algebra Fk+1
The
and , Bk () holds so
such that kZ+ Fk is dense
that
in F . The gauge action of the circle group T = {z C  z = 1} on O is dened
by z (x) = x for x A and z (S ) = zS for . The xed point algebra of O
under is denoted by (O ). Let E : O (O ) be the conditional expectaton
dened by
E (X) =
z (X)dz,
X O .
zT
127
7
(ii) gm
(g) = 0 for all m = 1, 2, . . . , k, where (X) =
Bm () S XS .
As the element g belongs to the diagonal subalgebra D of F , the condition (I)
of (A, , ) is intrinsically determined by (A, , ) by virtue of Lemma 4.1 below.
We remark that the rst condition above is equivalent to the following equality
X0
= sup{
X0 k (g)
 g D Al , 0 g 1}.
If a graph system L over satises condition (I), then (AL , L , ) satises
condition (I) (cf. [25, Lemma 4.1]). In [28], the author had introduced condition
(I) for (A, , ). The condition is stronger than the condition (I) dened above.
Let B be a unital C algebra. Suppose that there exist an injective unital
homomorphism : A B and a family s B, of partial isometries
satisfying
s s = 1,
s s (x) = (x)s s ,
s (x)s = ( (x))
S s ,
As : A
B is injective, one has (1)x, (1) = 0 so that S x, S = 0. This
implies that ,Bk () S x, S = 0.
We henceforth assume that (A, , ) satises condition (I) dened above. Take
a unital increasing sequence {Al }lZ+ of C subalgebras of A as in the denition
of condition (I). We set for k l
k
= C (S xS : , Bk (), x Al ).
F,l
k
k
There exists an inclusion relation F,l
F,l
for k k and l l . Let P,s be the
subalgebra of O,s algebraically generated by (x), s for x Al , l Z+ , .
128
8
KENGO MATSUMOTO
1
m
(ii) g m
(g) = 0 for all m = 1, 2, . . . , k, where (g) =
Bm () s gs .
1
1
Since h commutes with (Al ), one easily sees that k (h) commutes with x so
that k (h)x s k (h) = x k (h)s k (h). It then follows that
k (h)s k (h)
2
(g)g)s s
= 0
so that k (h)x s k (h) = 0 and similarly k (h)s x k (h) = 0. As one sees that
k (h)x0 k (h) = x0 k (g), one obtains
x
k (h)xk (h)
=
x0 k (g)
x0
.
Hence we get
x
x0
.
(x) = (x),
x A,
(S ) = s ,
becomes a surjective isomorphism, and hence the C algebras O and O,s are
canonically isomorphic through
.
Proof. The map
: F F,s is isomorphic and satises E,s
=
129
9
S s B
extends to a isomorphism
from O onto the C subalgebra O,s of B generated
by (x), x A and s , .
As a corollary we have
Corollary 4.6. Assume that (A, , ) satises condition (I). For any nontrivial ideal I of O , one has I A = {0}.
Proof. Suppose that I A = {0}. Hence S I for all . By Theorem
4.5, the quotient map q : O O /I must be injective so that I is trivial.
For a C symbolic dynamical system (A,
, ), let : A A be the completely positive map on A dened by (x) = (x) for x A. Then (A, , )
is said to be irreduible if there exists no nontrivial ideal of A invariant under .
Corollary 4.7. Assume that (A, , ) satises condition (I). If (A, , ) is
irreducible, the C algebra O is simple.
For a homeomorphism on a compact Hausdor space X, let be the induced
automorphism of C(X) dened by
(f )(x) = f ( 1 (x)),
f C(X),
x X.
Then the pair (C(X), ) naturally gives rise to a C symbolic dynamical system
over = { }. The notion of topological freeness of a homeomorphism has been
introduced by Tomiyama in [35]. A homeomorphism on X is said to be topologically free if the set of aperiodic points is dense in X.
Lemma 4.8. Let be a homeomorphism on a compact Hausdor space X.
If (X, ) is topological free, then the associated C symbolic dynamical system
(C(X), , { }) satises condition (I).
k
= F = D = C(X)
Proof. Put Al = A = C(X) for all l Z+ . One has F,l
k
and D Al = C(X) C(X) = C(X). For k l, > 0 and f0 F,l
= C(X)
there exists an aperiodic point x0 X such that
f0 (x0 )
f0
because the set of aperiodic points is dense in X. One may nd a neighborhood U
of x0 such that U n (U ) = for all n = 1, 2, . . . , k. Take g C(X) with
0 g 1 such that
g( k (x0 )) = 1,
supp(g) k (U ).
130
10
KENGO MATSUMOTO
for H .
The essentiality for (A, , ) implies H = , and the faithfulness for (A, , )
implies h (H ) = . Hence we have
Proposition 5.1. A commutative C symbolic dynamical system (A, , ) with
A = C() for some compact Hausdor space bijectively corresponds to a family
h , of continuous maps h : H from clopen sets H to such that
H = h (H ) = .
:= Hc j the complement
Let = {1 , 2 , . . . , N }. Put H1 j := Hj and H1
j
1
}. For l N, let Vl+1
be the set of partitions
We denote V1 by {v11 , v21 , . . . , vm(1)
1 l
dened by the sets hj (vi ), i = 1, . . . , m(l), j = 1, . . . , N . We denote Vl+1
by
l+1 l+1
l+1
1
{v1 , v2 , . . . , vm(l+1) }. Since h () = H , , Vl+1 is a renement of Vl .
l
: disjoint union. For , if h (vjl+1 ) vil , dene a
Hence = v1l v2l vm(l)
directed edge from vil to vjl+1 labeled . The labeling is denoted by . We denote
131
11
X = E (XS ).
(5.1)
S f S = X S f S = f X .
(5.2)
X 
(f ) = X S S
=
k
For > 0, take k l and X0 F,l
with
X0
= 1 such that
X X0
< . By
(5.2), one sees
(5.3)

f X0 X0 
(f )
f
X0 X
+
X0 X
(f )
2
f
.
By condition (I), one may take g D Al as in the denition of condition (I) for
k
k
and > 0. Put Q = k (g) D . As Q commutes with F,l
, by (5.3),
X0 F,l
one has
X0 Q X0 
(Q)
2.
(5.4)



k
and Q (Q) = k (g (g)) = 0, one obtains
Since (Q) commutes with F,l

X0 Q X0 
(Q)
= max{
X0 Q
,
X0 (Q)
}
X0 Q
1
a contradiction with (5.4) for < 14 . Hence we conclude that X = 0 and similarly
X = 0 for all B () and then X belongs to F .
Lemma 5.3. D F = D .
Proof. For k N, let Dk be the diagonal subalgebra C (S aS ; a A,
Bk ()) of Fk . Put P = S S for Bk () and Ek (X) = Bk () P XP for
X Fk . We then have Ek (X) Dk for X Fk . This means that Ek : Fk Dk is
a conditional expectation. Since Ek+1 Fk = Ek , the sequence Ek , k N gives rise to
a conditional expectation E : F D such that EFk = Ek . Now for X D F ,
one has Ek (X) = X for all k N. This implies that E(X) = limk Ek (X) = X.
As E(F ) = D , one sees that X D .
Hence we have
Proposition 5.4. D is a maximal commutative subalgebra of O .
A commutative C subalgebra D of a C algebra B is called a Cartan subalgebra of B if it satises the following properties:
(i) D is a maximal commutative subalgebra of B,
(ii) there exists a conditional expectation from B onto D, and
132
12
KENGO MATSUMOTO
k
l
orb (x) =
k=0 l=0 ( (x)) X .
Let [ ] be the set of all homeomorphisms on X such that (x) orb (x) for all
x X . Let [ ]c be the set of all in [ ] such that there exist continuous maps
k, l : X Z+ satisfying
(6.1)
for all x X .
We call [ ]c the continuous full group for (X , ). Let : U V be a homeomorphism from a clopen set U X onto a clopen set V X . We call a partial
homeomorphism. Let us denote by X and Y the clopen sets U and V respectively. We denote by P H(X ) the set of all partial homeomorphisms of X . Then
P H(X ) has a natural structure of inverse semigroup (cf. [31], [33]). Let [ ]s be
the set of all partial homeomorphisms P H(X ) such that (x) orb (x) for
all x X . Let [ ]sc be the set of all in [ ]s such that there exist continuous
maps k, l : X Z+ satisfying
(6.2)
for all x X .
We call [ ]sc the continuous full inverse semigroup for (X , ). The maps k, l
above are called orbit cocycles for , and sometimes written as k , l respectively.
The orbit cocyles are not necessarily uniquely determined for . It is clear that
[ ]s is a subsemigroup of P H(X ) and [ ]sc is a subsemigroup of [ ]c .
l
Recall Vl = {v1l , . . . , vm(l)
} the clopen partitions of dened in the preceding
section. Let be the subshift dened by (A, , ). For = (1 , . . . , k )
Bk (), vil , we set the cylinder set
U,vil = {(n , un )nN X  1 = 1 , . . . , k = k , uk vil }.
Since vil is a clopen set in , U,vil is clopen in X .
Lemma 6.1. For = (1 , . . . , k ) Bk () and vil Vl with 2 k l and
U,vil = , there exists ,vil [ ]sc such that
(6.3)
for x U,vil .
133
13
u22
for x X .
134
14
KENGO MATSUMOTO
for f C(X ),
Ad(u )(g) = g
for g C(Y ),
HY = span{ey  y Y }.
for f C(Xv ),
Ad(v )(g) = g v
for g C(Yv ).
We will state that v gives rise to an element of [ ]sc in Proposition 6.8. The proof
basically follows a line of the proof of [29, Proposition 4.7] as in the following way.
Fix v Ns (O , D ) for a while. For m Z and Bn (), n N, put
Then we have
Lemma 6.5.
(i) The family vm , m Z of operators are partial isometries
in O such
that
all but nitely many vm , m Z are zero, and
(a) v = mZ vm : nite sum.
(b) vm
vm , vm vm
are projections in D for m Z.
(c) vm D vm D and vm
D vm D for m Z.
(d) vm vm = vm vm = 0 for m = m .
(e) v0 F .
(ii) For a xed n N, the operators v , v for Bn () are partial isometries in Fsatisfying the following conditions:
(a) vn = Bn () S v and vn = Bn () v S .
v and v v
are projections in D such that
(b) v v , v v , v
vn vn =
v v ,
vn vn =
S v v S ,
vn
vn =
Bn ()
Bn ()
S v
v S ,
vn vn
=
Bn ()
(c)
v D v , v D v , v D v
v v
.
Bn ()
and
v
D v
are contained in D .
135
15
1
.
2
= 0. On the
= (Ad(u)(S1 N0 S 1 N0 )ey  ey ) = 1.
Hence S1 N uS1 N0 = 0, a contradiction.
0
Case 2: uN0 (x) = uN0 (y).
We may assume that N0 = N0 . One may take f, g C() such that 0
f, g 1, f g = 0 and
f (uN0 (x)) = 1,
f (uN0 (y)) = 0,
g(uN0 (x)) = 0,
g(uN0 (y)) = 1.
gS1 N0 u S1 N0 f
= gS N0 bSN0 f = S N0 bSN0 gf = 0.
Hence
T
=
gS1 N0 uS1 N0 f gS1 N0 u S1 N0 f
u u
1
.
2
136
16
KENGO MATSUMOTO
(T T e N0 (y)  e N0 (y) )
= (uS1 N0 f 2 S 1 N u S1 N0 ge N0 (y)  S1 N0 ge N0 (y) )
0
= (Ad(u)(S1 N0 f 2 S 1 N0 )ey  ey )
= (f S 1 N0 ex  f S 1 N0 ex ) = 1
Hence we have
Lemma 6.7. For a partial isometry u F satisfying
uD u D ,
u D u D ,
id
1 U(D ) N (O , D ) [ ]c 1
1 PU(D ) Ns (O , D ) [ ]sc 1.
are all commutative, where three vertical arrows denoted by are inclusions. The
rst row sequence is exact and splits as group, and the second row sequence is exact
and splits as inverse semigroup.
137
17
n1
i=0
n1
k1 (i 1 (x)),
k2 (i 2 (y)),
l1n (x) =
l2n (y) =
i=0
n1
i=0
n1
l1 (i 1 (x)),
x X1 , n N,
l2 (i 2 (y)),
y X2 , n N,
i=0
we have
kn (x)
21
k2n (y)
1
ln (x)
(h(n1 (x))) = 12
l2n (x)
2
(h(x)),
(h1 (y)),
x X 1 ,
y X 2 .
for x X1
so that continuous orbit equivalence implies topological orbit equivalence (cf. [29,
Lemma 5.2]. Similarly to the proof of [29, Proposition 5.3, 5.4], one directly sees
the following proposition by using Lemma 6.3.
Proposition 7.1. (X1 , 1 ) and (X2 , 2 ) are continuously orbit equivalent
if and only if there exists a homeomorphism h : X1 X2 such that h [1 ]sc
h1 = [2 ]sc .
Proposition 7.2. If there exists an isomorphism : O1 O2 such that
(D1 ) = D2 , then there exists a homeomorphism h : X1 X2 such that
h [1 ]sc h1 = [2 ]sc .
138
18
KENGO MATSUMOTO
i = 1, 2
id
U (D1 )
1 PU(D2 ) Ns (O2 , D2 ) [2 ]sc 1.
Let h : X1 X2 be the homeomorphism satisfying (f ) = f h1 for f
C(X1 ). For v Ns (O1 , D1 ), take the partial homeomorphism v : Xv Yv
satisfying Ad(v)(f ) = f v1 for f C(Xv ). For g C(h(Xv )), we have
Ad(v) 1 (g) = g h v1 h1 ,
and
1
Ad((v))(g) = g (v)
.
j=1 Sj Sj = 1, Si Si =
j=1 A(i, j)Sj Sj , i = 1, . . . , N. The C subalgebra gener
139
19
Corollary 8.1 ([29]). Let A and B be irreducible square matrices with entries
in {0, 1} satisfying condition (I) in [7]. Then their respect right onesided topological
Markov shifts (XA , A ) and (XB , B ) are continuously orbit equivalent if and only
if there exists an isomorphism : OA OB between their respect CuntzKrieger
algebras such that (DA ) = DB .
Let be a homeomorphism on a compact Hausdor space X. Denote by
the associated automorphism on the commutative C algebra C(X). Then condition (I) for the C symbolic dynamical system (C(X), , { }) is nothing but the
topological freeness of the dynamical system (X, ) as in Proposition 4.9. Hence
Theorem 7.4 implies the following result proved by Tomiyama ([36], cf. [2],[35],
[37]).
Corollary 8.2 ([36] (Tomiyama)). Let (X, ) and (Y, ) be topological free
homeomorphisms on compact Hausdor spaces X and Y respectively. Then the
dynamical systems (X, ) and (Y, ) are continuously orbit equivalent if and only
if there exists an isomorphism : C(X) Z C(Y ) Z between their respect
C crossed products such that (C(X)) = C(Y ).
Acknowledgment. The author is grateful to Takeshi Katsura for his useful
discussions. The author also would like to deeply thank the organizers Marcel de J
eu, Sergei Silvestrov, Christian F. Skau and Jun Tomiyama.
References
1. T. Bates and D. Pask, C algebras of labelled graphs, J. Operator Theory 57(2007), pp.
207226.
2. M. Boyle and J. Tomiyama, Bounded continuous orbit equivalence and C algebras, J. Math.
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3. O. Bratteli, Inductive limits of nitedimensional C algebras, Trans. Amer. Math. Soc.
171 (1972), pp. 195234.
4. T. M. Carlsen and Silvestrov, C crossed products and shift spaces, Expo. Math. 25(2007),
no. 4, 275307.
5. T. M. Carlsen and S. Silvestrov, On the Exel crossed product of topological covering maps,
arxiv:[math.OA]/0811.0056, to appear in Acta Appl. Math.
6. J. Cuntz, Simple C algebras generated by isometries, Comm. Math. Phys. 57(1977), pp.
173185.
7. J. Cuntz and W. Krieger, A class of C algebras and topological Markov chains, Invent.
Math. 56(1980), pp. 251268.
8. M. Denker, C. Grillenberger and K. Sigmund, Ergodic theory on compact spaces, Lecture
Notes in Math. 527, SpringerVerlag, Berlin, Heidelberg and New York (1976).
9. H. Dye, On groups of measure preserving transformations, American J. Math. 81(1959), pp.
119159.
10. H. Dye, On groups of measure preserving transformations II, American J. Math. 85(1963),
pp. 551576.
11. R. Excel and M. Laca, CuntzKrieger algebras for innite matrices, J. Reine Angew. Math.
512(1999), pp. 119172.
12. R. Fischer, Soc systems and graphs, Monats. f
ur Math. 80 (1975), pp. 179186.
13. T. Giordano, I. F. Putnam and C. F. Skau, Topological orbit equivalence and C crossed
products, J. Reine Angew. Math. 469(1995), pp. 51111.
14. T. Giordano, I. F. Putnam and C. F. Skau, Full groups of Cantor minimal systems, Israel
J. Math. 111(1999), pp. 285320.
15. R. H. Herman, I. F. Putnam and C. F. Skau, Ordered Bratteli diagrams, dimension groups
and topological dynamics, Internat. J. Math. 3(1992), pp. 827864.
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20
KENGO MATSUMOTO
16. T. Kajiwara, C. Pinzari and Y. Watatani, Ideal structure and simplicity of the C algebras
generated by Hilbert modules, J. Funct. Anal. 159(1998), pp. 295322.
17. T. Katsura, A class of C algebras generalizing both graph algebras and homeomorphism
C algebras I, fundamental results, Trans. Amer. Math. Soc. 356(2004), pp. 42874322.
18. W. Krieger, On ergodic ows and isomorphisms of factors, Math. Ann 223(1976), pp. 1970.
19. W. Krieger, On soc systems I, Israel J. Math. 48(1984), pp. 305330.
20. W. Krieger, On soc systems II, Israel J. Math. 60(1987), pp. 167176.
21. A. Kumjian, D. Pask, I. Raeburn and J. Renault, Graphs, groupoids and CuntzKrieger
algebras, J. Funct. Anal. 144(1997), pp. 505541.
22. J. Kwapisz, Cocycle subshifts, Math. Z. 234(2000), pp. 255290.
23. D. Lind and B. Marcus, An introduction to symbolic dynamics and coding, Cambridge
University Press, Cambridge (1995).
24. K. Matsumoto, Presentations of subshifts and their topological conjugacy invariants, Documenta Math. 4 (1999), pp. 285340.
25. K. Matsumoto, C algebras associated with presentations of subshifts, Documenta Math.
7(2002), pp. 130.
26. K. Matsumoto, Construction and pure infniteness of C algebras associated with lambdagraph systems, Math. Scand. 97(2005), pp. 7389.
27. K. Matsumoto, Actions of symbolic dynamical systems on C algebras, J. Reine Angew.
Math. 605(2007), pp. 2349.
28. K. Matsumoto, Actions of symbolic dynamical systems on C algebras II. Simplicity of C symbolic crossed products and some examples, preprint, math arXiv:0705.3283, to appear in
Math. Z..
29. K. Matsumoto, Orbit equivalence of topological Markov shifts and CuntzKrieger algebras,
preprint, math arXiv:0707.2114.
30. K. Matsumoto, Orbit equivalence of onesided subshifts and the associated C algebras,
preprint, math arXiv:0709.1185.
31. A. L. T. Paterson, Groupoids, inverse semigroups, and their operator algebras, Progress in
Mathematics 170, Birkh
auser, Boston, Basel and Berlin, 1998.
32. M. V. Pimsner, A class of C algebras generalizing both CuntzKrieger algebras and crossed
products by Z, in Free Probability Theory, Fields Institute Communications 12(1996), pp.
189212.
33. J. Renault, A groupoid approach to C algebras, Lecture Notes in Math. 793, SpringerVerlag, Berlin, Heidelberg and New York (1980).
34. M. Rdom, Classication of purely innite simple C algebras I, J. Func. Anal. 131(1995),
pp. 415458.
35. J. Tomiyama, The interplay between topological dynamics and theory of C algebras, Lecture
Note No 2, Res. Inst. Math. Seoul 1992.
36. J. Tomiyama, Topological full groups and structure of normalizers in transformation group
C algebras, Pacic. J. Math. 173(1996), pp. 571583.
37. J. Tomiyama, Representation of topological dynamical systems and C algebras, Contemporary Math. 228(1998), pp. 351364.
38. B. Weiss, Subshifts of nite type and soc systems, Monats. Math. 77(1973), pp. 462474.
Department of Mathematical Sciences, Yokohama City University, 222 Seto, Kanazawaku, Yokohama, 2360027 Japan
Email address: kengo@yokohamacu.ac.jp
Contemporary Mathematics
Volume 503, 2009
1. Introduction
Normalisers of selfadjoint operator algebras were introduced by Murray and
von Neumann in the 1930s and have played an important role in Operator Algebra
Theory thereafter. They are used in a fundamental way in the theory of crossed
products, a notion which provides a setting for Noncommutative Dynamics (see
[13] and [20]). Normalisers constitute a basic object in the theory of limit algebras
as well [16]. Normalisers of tensor products of von Neumann algebras were recently
considered in [4], [11], [17] and [18]. The study of the normalisers of nonselfadjoint
operator algebras, namely of nest algebras, was initiated in the 1990s [1], [7], [5].
In [14] the notion of a normaliser was generalised and studied in the context of
reexive algebras, a nonselfadjoint generalisation of von Neumann algebras. It
was shown that normalisers are closely related to ternary rings of operators, a
class of spaces studied independently in Operator Space Theory (see [3]). This
connection provided the base in [8] for the introduction of an equivalence relation
for nonselfadjoint operator algebras which later lead to the study of a more general
equivalence relation for abstract dual operator algebras linked to Morita equivalence
[9], [10].
If A is an operator algebra acting on a Hilbert space H, a normaliser of A is
a bounded linear operator on H such that
T AT A and
T AT A.
Let N (A) be the set of all normalisers of an operator algebra A. It is obvious that
N (A) is a selfadjoint semigroup of operators containing the diagonal A A of A
(here and in the sequel we let A = {A : A A}). The question to what extent
N (A) determines A was considered in [19], where A was taken from the class of
CSL algebras introduced by Arveson in his seminal work [2]. It is obvious that for
any operator algebra A we have that N (A) = N (A ). It is thus natural to ask to
1991 Mathematics Subject Classication. Primary 47L35; Secondary 47D03.
Key words and phrases. Nest algebras, tensor products, normalisers.
The rst author was supported by a grant from the Department of Education and Learning
for Northern Ireland.
1
141
142
2
what extent the converse is true; in particular, whether for two CSL algebras A
and B the equality N (A) = N (B) implies that either A = B or A = B. Within the
classes where this holds one is able to determine (up to adjoint) the nonselfadjoint
algebras belonging to the class by using selfadjoint objects, namely their normaliser
semigroups.
Easy examples, in which the atomic and the continuous parts of the invariant subspace lattices of the algebras are both nontrivial, show that this converse
statement fails. It is however true if A and B are totally atomic CSL algebras, as
well as when they are continuous nest algebras. Namely, the following result was
established in [19]:
Theorem 1.1. Let H be a separable Hilbert space and A and B be continuous
nest algebras acting on H. Suppose that N (A) = N (B). Then either A = B or
A = B.
A class of operator algebras larger than the class of nest algebras is that of
CDCSL algebras. It has played an important role in nonselfadjoint operator algebra theory (see [6, Chapter 23]). CDCSL algebras are characterised among CSL
algebras by the fact that the HilbertSchmidt operators contained in the algebra
are weakly dense in it. We note that nite tensor products of nest algebras possess
this property.
In this note we prove the following generalisation of Theorem 1.1:
Theorem 1.2. Let Hi be a separable Hilbert space, Ai be a continuous nest
algebra acting on Hi , i = 1, . . . , n, H = H1 Hn and A = A1 An B(H).
Suppose that B B(H) is a CDCSL algebra. If N (A) = N (B) then either A = B
or A = B.
The proof of Theorem 1.2 and some of its corollaries are given in Section 3. In
the next section we collect preliminary notions and results.
2. Preliminaries
All Hilbert spaces in this note will be assumed to be separable. Let H be a
Hilbert space and B(H) be the space of all bounded linear operators on H. The set
S(H) of all closed subspaces of H is a complete lattice with respect to intersection
and closed linear span. Using the bijective correspondence between S(H) and the
set P(H) of all orthogonal projections on H, we can equip P(H) with a natural
lattice structure. A subspace lattice on H is a sublattice L P(H) closed in the
strong operator topology. Given a subspace lattice L, we let
Alg L = {A B(H) : (I L)AL = 0, for each L L}
be the algebra of all operators on H leaving every projection of L invariant. Obviously, Alg L contains the identity operator, and it is trivial to check that it is closed
in the weak operator topology. Conversely, given a weakly closed unital subalgebra
A B(H), we let
Lat A = {L P(H) : (I L)AL = 0, for each A A}
be the lattice of all projections on H invariant under every operator in A. The set L
is easily seen to be a subspace lattice. A weakly closed unital subalgebra A B(H)
is called reexive if A = Alg Lat A. By virtue of von Neumanns Bicommutant
Theorem, the class of reexive algebras contains all von Neumann algebras.
143
3
(Th f )(y) =
f H, y X.
144
4
up to a null set,
def
operator with integral kernel h L2 (I n I n ). Assume that the set supp h has
positive measure. Then there exist Pi N , i = 1, . . . , n, such that (P1
Pn )A(P1 Pn )
= 0.
(ii) Let Hi be a Hilbert space, Ni be a continuous multiplicity free nest on Hi ,
Ai = Alg Ni , i = 1, . . . , n, H = H1 Hn and A = A1 An . Then the
linear span of
{(P1 Pn )C2 (H)(P1 Pn ) : Pi Ni , i = 1, . . . , n}
is dense in C2 (H) A in the HilbertSchmidt norm.
Proof. (i) For an element t = (t1 , . . . , tn ) I n write
[t, 1] = {(s1 , . . . , sn ) I n : ti si 1, i = 1, . . . , n}
and
[0, t) = {(s1 , . . . , sn ) I n : 0 si < ti , i = 1, . . . , n}.
Let {tk }kN be a dense subset of I n , Lk = P ([tk , 1]) and Mk = P ([0, tk )), k N.
Suppose that Lk AMk = 0 for each k N. This implies that h[0,tk )[tk ,1] = 0
for each k N. Since kN [0, tk ) [tk , 1] = o (where o is the interior of )
and ( )( \ o ) = 0, it follows that the set supp h has measure zero, a
contradiction.
(ii) Since each continuous multiplicity free nest is unitarily equivalent to the
Volterra nest, we may assume that Ni = N , i = 1, . . . , n. Suppose that T
145
5
2
[V AW : V, W Ne (A)]
= C2 (H).
Proof. Without loss of generality, we may assume that Hi = L2 (I) and that
Ni = N is the Volterra nest for each i = 1, . . . , n. Thus, up to unitary equivalence,
H = L2 (I n ). If H let H be the function given by (t) = (t), t I n .
Let : H H C2 (H) be the unitary operator given on elementary tensors by
( )(0 ) = (0 , ). Given T B(H) we let T B(L2 (I n )) be the operator
= TS for all
dened by T() = T (), H. It is easy to verify that ST
S, T B(H) and that the mapping T T takes Ne (A) onto itself.
A straightforward calculation shows that
(3.2)
2
V )(0 ) : V, W Ne (A)] .
(3.3)
1 [V AW : V, W Ne (A)]
= [(W
Denote by E the right hand side of (3.3). It follows from the previous paragraph
that E is invariant under each operator of the form T S where S, T Ne (A).
Hence, E is invariant under [Ne (A)] [Ne (A)]. Lemma 3.2 now implies that E is
invariant under B(H H) and since E
= {0} we have that E = H H.
Let Ai be a nest algebra acting on a Hilbert space Hi , Ni = Lat Ai and Pi Ni
where i = 1, . . . , n. Set A = A1 An , P = P1 Pn and
NP (A) = {(V1 Vn ) + (W1 Wn ) :
Vi , Wi N (Ai ), Vi = Pi Vi Pi , Wi = Pi Wi Pi , i = 1, . . . , n}.
Lemma 3.4. Let Hi be a Hilbert space, Ai be a nest algebra acting on Hi ,
i = 1, . . . , n, and A = A1 An . For each i = 1, . . . , n, let Ci be either equal
to Ai or to Ai , and set C = C1 Cn . Let Pi Lat Ci , i = 1, . . . , n and
P = P1 Pn . Then NP (C) N (A).
146
6
T AT = (T P )A(QT ) = V AW .
By Lemma 1.1 (ii) of [19], for any projection E Ni we have that N (EAEHi ) =
EN (A)EHi . It now follows from (3.4) that if Ci = Pi Ai Pi Hi and Bi = Pi Ai Pi Hi ,
i = 1, . . . , n, then
{T AT : T NP (A)} = {V AW : V = V1 Vn , W = W1 Wn ,
Vi N (Ci ), Wi N (Bi ), i = 1, . . . , n}.
Here we have identied an operator B acting on a subspace H1 of a Hilbert space
H2 with the operator B 0 acting on H2 .
The algebras Ci , Bi are continuous multiplicity free nest algebras, and hence
are all unitarily equivalent to Av . Lemma 3.3 now implies that
2
P C2 (H)Q [T AT : T NP (A)]
147
7
The converse inclusion follows from Lemma 3.4 and hence (i) is established.
w
= A (see [6]).
[T AT : T N (Av )]
= Av .
A = B or A = B.
Proof. Let rst n = 2 and B = Av Av . We show that N (A)
= N (B). Let
W B(H H) be the unitary operator given by W ( ) = , , H.
For P1 , P2 P(H) we have that W (P1 H P2 H) = P2 H P1 H. If A A and
P1 , P2 N then
W AW (P1 H P2 H) = W A(P2 H P1 H) W (P2 H P1 H) = P1 H P2 H.
Thus, W AW A. Since W = W , we have that W N (A).
On the other hand, W
N (B). Indeed, let P1 , P2 be any nontrivial projections
in N and V be a partial isometry with initial space P1 H and nal space P1 H. Then
V Av . However,
W (I V )W (P1 H P2 H)
= W (I V )(P2 H P1 H)
=
W (P2 H P1 H) = P1 H P2 H,
It is easy to verify that for any operator algebra C and a unitary operator V
we have N (V CV ) = V N (C)V . The condition N (A) = N (B) now implies that
N (A0 ) = N (B0 ). By the assumption, A0 = B0 or A0 = B0 . It follows that A = B
or A = B . Hence, it suces to establish the statement in the case Ai = Av for
each i = 1, . . . , n.
148
8
CG [V AV : V N (A)]
= [V AV : V N (B)]
B.
149
9
Contemporary Mathematics
Volume 503, 2009
Introduction
A point made in this note is that some traditional noncommutative spaces (i.e
the C algebras, Banach or associative algebras) can be viewed as a generalized
homology in the sense that there exist functors with the range in such spaces. The
domain of the functors can be any interesting category, e.g. the Hausdor spaces,
compact manifolds, Riemann surfaces, etc. We shall give examples of such functors.
The above functors have a long history, rather natural and well familiar to specialists. A foundational example is given by the GelfandNaimark functor, which
maps the category of the Hausdor spaces to the category of commutative C algebras. It was conjectured by Novikov and proved by Kasparov [7] & Mischenko
[8] using the operator algebras, that in many cases the higher signature of the
smooth ndimensional manifold is a homotopy invariant of the manifold. The respective functor is known as an assembly map. In dynamics, Cuntz & Krieger [1]
constructed a functor from the category of topological Markov chains to a category
of the C algebras (the CuntzKrieger algebras). There are many more examples
to add to the list.
As long as the functor is constructed, one can calculate the (noncommutative)
invariants available for that functor. On the face of it, the C algebras are a way
more complex objects, than the abelian groups, rings or modules. However, a huge
variety of important families of the operator algebras have been recently classied in
terms of the algebraic Ktheory [4] and more developments are expected down that
road. Clearly, the invariants of the above C algebras are invariants of the objects
in the initial category. Thus, a problem of interpretation of the noncommutative
invariants in terms of the initial category stands up.
1991 Mathematics Subject Classication. Primary 46L; Secondary 18D.
Key words and phrases. Categories, functors, operator algebras.
Partially supported by NSERC.
c
2009
American Mathematical Society
1
151
152
2
IGOR V. NIKOLAEV
continuous map

F
?
C(X)
homomorphism
?
C(Y )
C. Note that F is an injective functor. The functor F does not produce new invariants of the Hausdor spaces, because of the following isomorphism: K alg (C(X))
=
K top (X), where K alg and K top are the algebraic and the topological Ktheories,
respectively.
1.2. Anosov automorphisms of the twodimensional torus. A. Let us
consider an application of the operator algebras to a problem in topology. Recall
that an automorphism : T 2 T 2 of the twodimensional torus is called Anosov,
if it is given by a matrix A = (a11 a12 a21 a22 ) GL(2, Z), such that a11 + a22  > 2.
153
3
We wish to construct a functor (an assembly map) : A , such that for every
h Aut (T 2 ) the following diagram commutes:
conjugacy

= h h1
A K
isomorphism

?
A K,
b
@
a
a11
b
@
a
a11
b
@
a
a11
b ...
12@
12@
12@
b
@ a21 @ a21 @ a21 @
@b
@b
@b
@b . . .
a22
a22
a22
154
4
IGOR V. NIKOLAEV
D. The conjugacy problem for the Anosov automorphisms can now be recast in the
terms of the AF algebras: nd the invariants of the stable isomorphism classes of
the stationary AF algebras. One such invariant is due to Handelman [5]. Consider
an eigenvalue problem for the hyperbolic matrix A GL(2, Z): A vA = A vA ,
(1) (2)
where A > 1 is the PerronFrobenius eigenvalue and vA = (vA , vA ) the corre(i)
sponding eigenvector with the positive entries normalized so that vA K = Q(A ).
(1)
(2)
Denote by m = ZvA + ZvA a Zmodule in the number eld K. Recall that the
coecient ring, , of module m consists of the elements K such that m m.
It is known that is an order in K (i.e. a subring of K containing 1) and, with
no restriction, one can assume that m . It follows from the denition, that m
coincides with an ideal, I, whose equivalence class in we shall denote by [I]. It has
been proved by Handelman, that the triple (, [I], K) is an arithmetic invariant of
the stable isomorphism class of A : the A , A are stably isomorphic AF algebras
if and only if = , [I] = [I ] and K = K . It is interesting to compare the
operator algebra invariants with those obtained in [10].
E. Let M be a mapping torus of the Anosov automorphism , i.e. a threedimensional manifold {T 2 [0, 1]  (x, 0) ((x), 1) x T 2 }. The M is known
as a solvmanifold, since it is the quotient space of a solvable Lie group. It is an
easy exercise to show that the homotopy classes of M are bijective with the conjugacy classes of . Thus, the noncommutative invariant (, [I], K) is a homotopy
invariant of the compact manifold M .
1.3. Complex tori and the ErosShen algebras. A. Let us consider
an application of the operator algebras to a problem in conformal geometry. Let
H := {z C  Im (z) > 0} be a complex number. Recall that the quotient
space E = C/(Z + Z ) is called a complex torus. It is wellknown that the complex
tori E , E are isomorphic, whenever mod SL(2, Z), i.e. = a+b
c+d , where
a, b, c, d Z and ad bc = 1.
B. Let 0 < < 1 be an irrational number given by the regular continued fraction:
1
, a0 N {0} and ai N for i 1.
= a0 +
1
a1 +
a2 + . . .
By the ErosShen algebra [3], A , one understands an AF algebra given by the
Bratteli diagram:
a0 a1
b
b
b
b @ @
@b @b @b
...
...
155
5
fail to observe that for the generic objects in the respective categories, the corresponding morphisms are isomorphic as groups. Let us show that the observation is
not a mere curiosity there exists a functor, F , which makes the following diagram
commute:
E
isomorphic

E
F
?
A
stably isomorphic

?
A
C. To construct the map F : E A , we shall use the HubbardMasur homeomorphism h : H {pt} T 2 {0}, where T 2 is the space of measured foliations
on the twotorus [6]. Each measured foliation F T 2 looks like a family of the
parallel lines of a slope endowed with an invariant transverse measure (Fig.3).
a measured
If is a closed 1form on T 2 , then the trajectories of dene
foliation
F T 2 and vice versa. It is not hard to see that = 1 and = 2 / 1 ,
where {1 , 2 } is a basis in H1 (T 2 ; Z). Denote by N an invariant (Neron) dierential of the complex torus C/(1 Z + 2 Z). It is well known that 1 = 1 N and
2 = 2 N . Let be a projection acting by the formula (, ) . The assembly
map F is given by the composition F = h, where h is the HubbardMasur homeomorphism. In other words, the assembly map E A can be written explicitly
as:
h
E = E( N )/( N ) F(1 )/( ) A( )/( ) = A .
2
Figure 3. The measured foliation F on T 2 = R2 /Z2 .
D. Let us show that the map F is a covariant functor. Indeed, an isomorphism
E E is induced by an automorphism Aut (T 2 ) of the twotorus. Let
realizing such
an automorphism. From
A = (abcd) GL(2; Z) be a matrix
c+d
and =
the formulas for F , one gets = ( c1 +d2 N )/( a1 +b2 N ) = a+b
c+d
( c1 +d2 )/( a1 +b2 ) = a+b
. Thus, F sends isomorphic complex tori to the
stably isomorphic ErosShen algebras. Moreover, the formulas imply that F is
a covariant functor. Note that F is not an injective functor, since it contains a
projective map .
E. Finally, let us consider a noncommutative invariant coming from the functor
F . The ECM is said to have a complex multiplication, if the endomorphism ring
of the lattice Z + Z exceeds Z. It is an easy exercise to show (in view of the
156
6
IGOR V. NIKOLAEV
157
7
[8] A. S. Mischenko, Innitedimensional representations of discrete groups and higher signatures, Izv. Akad. Nauk SSSR, Ser. Math. 38 (1974), 81106.
[9] J. H. Silverman, Advanced Topics in the Arithmetic of Elliptic Curves, GTM 151, Springer,
1994.
[10] D. I. Wallace, Conjugacy classes of hyperbolic matrices in SL(n, Z) and ideal classes in an
order, Trans. Amer. Math. Soc. 283 (1984), 177184.
The Fields Institute for Mathematical Sciences, Toronto, ON, Canada
Current address: 101315 Holmwood Ave, Ottawa, ON, K1S 2R2, Canada
Email address: igor.v.nikolaev@gmail.com
Contemporary Mathematics
Volume 503, 2009
Johan Oinert
Abstract. In this paper we provide necessary and sucient conditions for
strongly
group graded rings to be simple. For a strongly group graded ring
Rg the grading group G acts, in a natural way, as automorphisms
R=
gG
of the commutant of the neutral component subring Re in R and of the center
of Re . We show that if R is a strongly Ggraded ring where Re is maximal
commutative in R, then R is a simple ring if and only if Re is Gsimple (i.e.
there are no nontrivial Ginvariant ideals). We also show that if Re is commutative (not necessarily maximal commutative) and the commutant of Re is
Gsimple, then R is a simple ring. These results apply to Gcrossed products
in particular. A skew group ring Re G, where Re is commutative, is shown
to be a simple ring if and only if Re is Gsimple and maximal commutative
in Re G. As an interesting example we consider the skew group algebra
C(X) h
Z associated to a topological dynamical system (X, h). We obtain
necessary and sucient conditions for simplicity of C(X) h
Z with respect to
the dynamics of the dynamical system (X, h), but also with respect to algebraic properties of C(X) as a subalgebra of C(X) h
Z. Furthermore, we show
that for any strongly Ggraded ring R each nonzero ideal of R has a nonzero
intersection with the commutant of the center of the neutral component.
1. Introduction
The aim of this paper is to highlight the important role that maximal commutativity of the neutral component subring plays in a strongly group graded ring
when investigating simplicity of the ring itself. The motivation comes from the
theory of C crossed product algebras associated to topological dynamical systems.
To each topological dynamical system, (X, h), consisting of a compact Hausdor
2000 Mathematics Subject Classication. Primary 13A02, 16S35; Secondary 17C20, 14C22.
Key words and phrases. Graded rings, Ideals, Simple rings, Maximal commutative subrings,
Picard groups, Invariant ideals, Crossed products, Skew group rings, Minimal dynamical systems.
This work was partially supported by The Swedish Research Council, The Crafoord Foundation, The Royal Physiographic Society in Lund, The Swedish Royal Academy of Sciences, The
Swedish Foundation of International Cooperation in Research and Higher Education (STINT)
and LieGrits, a Marie Curie Research Training Network funded by the European Community
as project MRTNCT 2003505078. The author wishes to thank Magnus Goeng, Patrik Lundstr
om, Sergei Silvestrov and in particular Christian Svensson for useful discussions on the topic
of this paper.
c Mathematical
0000
(copyright Society
holder)
c
2009
American
1
159
JOHAN OINERT
160
2
uct algebra1 C(X) h Z (see e.g. [23]). In the recent paper [22], C. Svensson and
J. Tomiyama prove the following theorem.
Theorem 1.1. The following assertions are equivalent:
(i) (X, h) is topologically free (i.e. the aperiodic points are dense in X).
C
the C crossed product algebra C(X) h Z. In the theory of graded rings, one
C
1To avoid confusion, we let C(X) Z denote the C crossed product algebra in contrast to
161
3
theorem which provides sucient conditions for a strongly group graded ring to be
simple is the following, proven by F. Van Oystaeyen in [25, Theorem 3.4].
Theorem 1.5. Let R =
gG Rg be a strongly Ggraded ring such that the
morphism G Pic(Re ), dened by g [Rg ], is injective. If Re is a simple ring,
then R is a simple ring. (The Picard group, Pic(Re ), is dened in Section 2.2.)
A skew group ring is an example of a strongly graded ring. Given a skew
group ring R = Re G, the grading group G acts as automorphisms of Re . The
results in [3] show that simplicity of a skew group ring R is intimately connected
to the nonexistence of Ginvariant nonzero proper ideals of Re . Given a strongly
Ggraded ring R, the grading group G acts, in a canonical way, as automorphisms
of CR (Re
) (see Section 2.1). This means that for an arbitrary strongly Ggraded
ring R = gG Rg , one may speak of Ginvariant nonzero proper ideals of CR (Re )
and try to relate the nonexistence of such ideals to simplicity of R, in a manner
similar to the case of skew group rings.
In Section 2 we give denitions and background information necessary for the
understanding of the rest of this paper. In Section 3 we generalize [15, Corollary
3] and show that in a strongly Ggraded ring R each nonzero ideal has a nonzero
intersection with CR (Z(Re )) (Theorem 3.1). Furthermore, we generalize [14, Theorem 3] and show that for a skew group ring Re G where Re is commutative,
each nonzero ideal of Re G has a nonzero intersection with Re if and only if Re
is maximal commutative in Re G (Theorem 3.5).
The main objective of Section 4 is to describe the connection between maximal
commutativity of Re in a strongly group graded ring R and injectivity of the
canonical map G Pic(Re ). In Section 5 we show that if A0
G is a simple
crystalline graded ring where A0 is commutative, then A0 is Gsimple (Proposition
5.1). In Example 5.3 we apply this result to the rst Weyl algebra. In Section 6 we
investigate simplicity of a strongly Ggraded ring R with respect to Gsimplicity
and maximal commutativity of Re . In particular we show that if R is a strongly
Ggraded ring where Re is maximal commutative in R, then Re is Gsimple if and
only if R is simple (Theorem 6.6). We also show the slightly more general result in
one direction, namely that that if CR (Re ) is Gsimple (with respect to the canonical
action) and Re is commutative (not necessarily maximal commutative!), then R
is simple (Proposition 6.5). Thereafter we investigate the simplicity of skew group
rings and generalize [3, Corollary 2.1] and [3, Theorem 2.2], by showing that if Re
is commutative, then the skew group ring Re G is a simple ring if and only if Re
is Gsimple and a maximal commutative subring of Re G (Theorem 6.13). As
an example, we consider the skew group algebra associated to a dynamical system.
In Section 7 we consider the algebraic crossed product C(X) h Z associated
to a topological dynamical system (X, h). Under the assumption that X is innite,
we show that C(X) h Z is simple if and only if (X, h) is a minimal dynamical
system or equivalently if and only if C(X) is Zsimple and maximal commutative
in C(X) h Z (Theorem 7.6). This result is a complete analogue to the wellknown
result for C crossed product algebras associated to topological dynamical systems.
2. Preliminaries
Throughout this paper all rings are assumed to be unital and associative and
unless otherwise is stated we let G be an arbitrary group with neutral element e.
JOHAN OINERT
162
4
A ring R is said to be Ggraded if there is a family {Rg }gG of additive subgroups of R such that
R=
Rg and Rg Rh Rgh
gG
ng
(i)
a(i)
g bg 1 = 1R .
i=1
For every CR (Re ), and in particular for every Z(Re ) CR (Re ), and
g G we dene
(2.2)
g () =
ng
(i)
a(i)
g bg 1 .
i=1
(i)
(i)
The denition of g is independent of the choice of the ag s and bb1 s (see e.g.
[15]). For a proof of the following lemma we refer to [15, Lemma 3].
Lemma 2.1. Let R = gG Rg be a strongly Ggraded ring, g G and write
ng (i) (i)
(i)
(i)
i=1 ag bg 1 = 1R for some ng > 0 and ag Rg , bg 1 Rg 1 for i {1, . . . , ng }.
ng (i) (i)
For each CR (Re ) dene g () by g () =
i=1 ag bg 1 . The following
properties hold:
(i) g () is the unique element of R satisfying
(2.3)
rg = g () rg ,
rg R g .
163
5
JOHAN OINERT
164
6
Re
G instead of Re G.
3. Ideals of strongly graded rings
In this section we shall improve some earlier results. We begin by making a
generalization of Theorem 1.3 ([15, Corollary 3]). The following proof is based on
the same technique as in [15], but we will make it somewhat shorter by doing a
proof by contra positivity.
Theorem 3.1. If R = gG Rg is a strongly Ggraded ring, then
I CR (Z(Re )) = {0}
for each nonzero ideal I of R.
Proof. Let I be an ideal of R such that I CR (Z(Re )) = {0}. If we can
show that I =
{0}, then the desired conclusion follows by contra positivity. Take an
arbitrary x = gG xg I. If x I CR (Z(Re )), then x = 0 by the assumption.
Therefore, suppose that I \ CR (Z(Re )) is not empty. We may choose some x
I \ CR (Z(Re )) such that N = # supp(x) = #{g G  xg = 0} Z>0 is as small
as possible. Furthermore, we may assume that e supp(x). Indeed, take any t
supp(x) and choose some rt1 Rt1 such that x = rt1 x = 0 and e supp(x ).
nt (i) (i)
at bt1 as in
It is always possible to choose such an rt1 , because if 1R = i=1
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7
(i)
(2.1), then bt1 xt must be nonzero for some i {1, . . . , nt }, for otherwise we would
have 1R xt = 0 which would be contradictory (since xt = 0). Note that x I is
nonzero and since I CR (Z(Re )) = {0} we conclude that x I \ CR (Z(Re )). By
the assumption on N we conclude that # supp(x ) = supp(x) = N . Now, take an
arbitrary a Z(Re ). Then x = ax x a I but clearly e
/ supp(x ) and hence
by the assumption on N we get that x I \ CR (Z(Re )), thus x = 0. Since a
Z(Re ) was chosen arbitrarily we get x CR (Z(Re )) which is a contradiction.
Remark 3.2. Note that Re CR (Z(Re )). If Re is commutative, then clearly
Re = Z(Re ) and we obtain Theorem 1.3 as a special case of Theorem 3.1.
For a crystalline graded ring A0
G we obtain the following result which generalizes [14, Corollary 8].
1
Theorem 3.3. If A = A0
)
G is a crystalline graded ring with (g, g
Z(A0 ) for all g G, then
I CA (Z(A0 )) = {0}
JOHAN OINERT
166
8
ag ug (rs ah rs s (ah ) us ) uh
=
=
ag ug rs ah (1R us ) uh
ag g (rs ah ) ug (1R us ) uh
b ugh b ugsh
=rs ah
:=b
(3.1)
ag .
gG
gG
It is clear that is additive and one easily sees that is identically zero on I.
Furthermore, Re , i.e. the restriction of to Re , is injective. Take an arbitrary
m I Re . Clearly (m) = 0 since m I and by the injectivity of Re we conclude
that m = 0. Hence I Re = {0}. This concludes the proof.
Remark 3.6. It is not dicult to see that the map is multiplicative if and
only if the action is trivial, i.e. Re G is a group ring. In that situation the
map is commonly referred to as the augmentation map. However, note that the
preceding proof does not require to be multiplicative.
4. The map : G Pic(Re ) and simple strongly graded rings
We begin by recalling a useful lemma.
Lemma 4.1 ([15]). Let R = gG Rg be a strongly Ggraded ring. If a R
is such that
a Rg = {0} or Rg a = {0}
for some g G, then a = 0.
If we assume that Re is maximal commutative in the strongly Ggraded ring
R, then we can say the following about the canonical map : G Pic(Re ).
Proposition 4.2. Let R =
gG Rg be a strongly Ggraded ring. If Re is
maximal commutative in R, then the map : G Pic(Re ), g
[Rg ], is injective.
Proof. Let Re be maximal commutative in R. Suppose that : G Pic(Re )
is not injective. This means that we can pick two distinct elements g, h G such
that Rg
= Rh as Re bimodules. Let f : Rg Rh be a bijective Re bimodule
homomorphism. By our assumptions Re = CR (Re ) and hence we can use the map
: G Aut(Re ) dened by (2.2) to write
(4.1)
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9
ck
kZ
kZ
is a nontrivial ideal of R and hence R = C[Z] is not a simple ring. This conclusion
also follows directly from Proposition 4.3. Indeed, R = C[Z] is commutative and
hence R0 = C is not maximal commutative in C[Z].
The following proposition shows that in the case when Re is assumed to be
commutative, Theorem 1.5 is equivalent to Corollary 6.7 (see Section 6).
Proposition 4.5. Let R = gG Rg be a strongly Ggraded ring. If Re is a
eld, then the following two assertions are equivalent:
(i) Re is maximal commutative in R.
(ii) The map : G Pic(Re ) is injective.
Proof. It follows from Proposition 4.2 that (i) implies (ii).
To prove that (ii) implies (i), let us assume that Re is not maximal commutative
in R. We want to show that is not injective and hence get the desired conclusion
by contra positivity.
By our assumptions, there exists some nonzero element rg Rg , for some
g = e, such that rg a = a rg for all a Re . Consider the set J = rg Rg1 Re .
Since rg commutes with Re and Rg1 is an Re bimodule, J is an ideal of Re and as
rg Rg1 = {0} (this follows from Lemma 4.1 since rg = 0), we obtain rg Rg1 = Re
since Re is simple. Consequently, we conclude that there exists an sg1 Rg1
such that rg sg1 = 1R . In a symmetrical way we get Rg1 rg = Re which yields
wg1 rg = 1R for some wg1 Rg1 . Clearly wg1 = sg1 .
From the gradation we immediately conclude that Re rg Rg and Rg sg1
Re . By the equality sg1 rg = 1R we get Rg Re rg and hence Rg = Re rg .
Note that rg is invertible and hence a basis for the Re bimodule Re rg . This shows
that Rg and Re belong to the same isomorphism class in Pic(Re ), and hence the
morphism : G Pic(Re ) is not injective. This concludes the proof.
Remark 4.6. The previous proof uses the same techniques as the proof of [25,
Theorem 3.4].
168
10
JOHAN OINERT
basis ug .) Since A0
G is simple, we get J G = A0 G. Therefore A0 J G,
and from the gradation it follows that
A0 J A0
and hence A0 = J, which shows that A0 is Gsimple.
Corollary 5.2. Let R =
gG Rg be a Gcrossed product, where Re is
commutative. If R is a simple ring, then Re is a Gsimple ring (with respect
to the canonical action).
Cx,y
Example 5.3. It is wellknown that the rst Weyl algebra A = (xyyx1)
is
simple. The rst Weyl algebra is an example of a crystalline graded ring, with
G = (Z, +) and Ae = A0 = C[xy] (see e.g. [10] for details). Note that C[xy] is
not a simple ring. However, by Proposition 5.1 we conclude that A0 = C[xy] is in
fact Zsimple. As a side remark we should also mention that one can show that
A0 = C[xy] is a maximal commutative subring of the rst Weyl algebra A.
169
11
Lemma 6.2. Let R = gG Rg be a strongly Ggraded ring and S a subring
of CR (Re ) satisfying the following three conditions:
(i) 1R S.
(ii) S is invariant under G (with respect to the canonical action).
(iii) S is Gsimple (with respect to the canonical action).
Then I S = {0} for each proper ideal I of R.
Proof. Let S be a subring of CR (Re ) satisfying conditions (i)(iii) of the
above, and I be an ideal of R such that IS = {0}. The set J = IS is an ideal of S.
ng (i) (i)
By (ii), for any x J and every g G, we have g (x) = i=1
ag x bg1 IS = J.
This shows that J is a Ginvariant ideal of S. By assumption J is nonzero and hence
by (iii), J = S. In particular this shows that 1R J I, and hence R = I.
By observing that both CR (Re ) and Z(Re ) are subrings of CR (Re ) satisfying
conditions (i) and (ii) of Lemma 6.2 we obtain the following corollary.
Corollary 6.3. Let R = gG Rg be a strongly Ggraded ring. If CR (Re )
(respectively Z(Re )) is a Gsimple ring (with respect to the canonical action), then
I CR (Re ) = {0} (respectively I Z(Re ) = {0}) for each proper ideal I of R.
Recall from [5], that a ring R is said to be a PIring (abbreviation for polynomial
identity ring) if for some n Z>0 there exists some f Zx1 , x2 , . . . , xn , i.e. the
free polynomial ring over Z in n variables, such that f (a1 , a2 , . . . , an ) = 0 for each
(a1 , a2 , . . . , an ) Rn . Furthermore, a ring is said to be semiprime if {0} is a
semiprime ideal [8, Denition 10.8, Denition 10.15].
Corollary 6.4. Let R = gG Rg be a semiprime PIring which is strongly
Ggraded. If either Z(Re ) or CR (Re ) is a Gsimple ring (with respect to the canonical action), then R is a simple ring.
Proof. Let I be a nonzero ideal of R. It follows from [18, Theorem 2] that
I Z(R) = {0}. Clearly Z(R) Z(Re ) CR (Re ) and hence by Corollary 6.3 we
conclude that I = R.
As we shall see Theorem 6.6 requires Re not only to be commutative, but
maximal commutative in R. We begin by proving the following which applies to
the more general situation when Re is not necessarily maximal commutative in R.
Proposition 6.5. Let R = gG Rg be a strongly Ggraded ring, where Re is
commutative. If CR (Re ) is a Gsimple ring (with respect to the canonical action),
then R is a simple ring.
Proof. Let I be an arbitrary nonzero ideal of R. Since Re is commutative it
follows from Theorem 1.3 that I CR (Re ) = {0}. By Corollary 6.3 we conclude
that I = R and hence R is a simple ring.
By combining Proposition 6.1 and Proposition 6.5 we get the following theorem.
Theorem 6.6. Let R = gG Rg be a strongly Ggraded ring. If Re is maximal commutative in R, then the following two assertions are equivalent:
(i) Re is a Gsimple ring (with respect to the canonical action).
(ii) R is a simple ring.
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12
JOHAN OINERT
C C 0
0 0 C
R0 = C C 0 and R1 = 0 0 C
0 0 C
C C 0
one may verify that this denes a strong Z2 gradation on R. However, note that
R is not a crossed product with this grading since the homogeneous component R1
does not contain any invertible element of M3 (C)! A simple calculation yields
a 0 0
Z(R0 ) = 0 a 0 a, b C
0 0 b
and in fact one may verify that CR (R0 ) = Z(R0 ). In order to dene an action
: Z2 Aut(Z(R0 )) we need to make a decomposition of the identity matrix
I = 1R , in accordance with (2.1). Let Ei,j denote the 3 3matrix which has a 1
171
13
in position (i, j) and zeros everywhere else. The decomposition in R0 is trivial, but
in R1 we may for example choose
I = E1,3 E3,1 + E2,3 E3,2 + E3,2 E2,3 .
From these decompositions we are now able to dene the map : Z2 Aut(Z(R0 )).
One easily sees that Z(R0 ) has two nontrivial ideals. By calculating, we get
1 (E1,1 + E2,2 ) = E3,3
and
1 (E3,3 ) = E1,1 + E2,2 .
From this we conclude that the two nontrivial ideals of Z(R0 ) are interchanged by
the map 1 , and therefore they are not invariant under the action of Z2 . This shows
that for our simple ring M3 (C), the subring Z(R0 ) = CR (R0 ) is in fact Z2 simple.
Remark 6.12. Proposition 6.1 shows that in a simple strongly graded ring R
where Re is commutative, we automatically have that Re = Z(Re ) is Gsimple. In
Proposition 6.5 we saw that for a strongly graded ring R where Re is commutative,
Gsimplicity of CR (Re ) implies simplicity of R. After seeing Example 6.11 it is
tempting to think that the converse is also true (even for noncommutative Re ), i.e.
simplicity of R gives rise to Gsimple subrings. The natural questions are:
(1) If R is strongly group graded and simple, is CR (Re ) necessarily Gsimple?
(2) If R is strongly group graded and simple, is Z(Re ) necessarily Gsimple?
Recall that the center of a simple ring is a eld. Thus, if G is the trivial group,
then the answers to both questions are clearly armative. Let us therefore consider
the case when G is an arbitrary nontrivial group. Note that if R is commutative,
then it is trivial to verify that the answers to both questions are armative. As we
have already mentioned, if Re is commutative then the answer to question no. 2
is armative. Furthermore, if Re is maximal commutative, then by Theorem 6.6
we conclude that the answer to question no. 1 is also armative. The case that
remains to be investigated is that of a noncommutative ring R where Re is not
maximal commutative (we may not even assume for it to be commutative) in R.
From Example 6.10 we learnt that simplicity of a strongly graded ring R does
not immediately imply maximal commutativity of the neutral component Re . However, for skew group rings there is in fact such an implication, as the following
theorem shows.
Theorem 6.13. Let R = Re G be a skew group ring with Re commutative.
The following two assertions are equivalent:
(i) Re is a maximal commutative subring of R and Re is Gsimple.
(ii) R is a simple ring.
Proof. By Theorem 6.6, (i) implies (ii). Suppose that (ii) holds. It follows
from Theorem 3.5 that Re is maximal commutative in R and by Proposition 6.1
we conclude that Re is Gsimple. This concludes the proof.
It follows from [11, Corollary 10] that the assumptions made in [3, Corollary
2.1] force the coecient ring to be maximal commutative in the skew group ring.
By the assumptions made in [3, Theorem 2.2] the same conclusion follows by [3,
Proposition 2.2] together with [11, Corollary 6]. This shows that Theorem 6.13 is
a generalization of [3, Corollary 2.1] and [3, Theorem 2.2].
172
14
JOHAN OINERT
Remark 6.14. Note that, in Theorem 6.13, the implication from (i) to (ii)
holds in much greater generality. Indeed, it holds for any strongly graded ring.
A majority of the objects studied in [19, 20, 21] satisfy the conditions of
Theorem 6.13 and hence it applies. We shall show one such example.
Example 6.15 (Skew group algebras associated to dynamical systems). Let
h : X X be a bijection on a nonempty set X, and A CX an algebra of
: Z Aut(A)
functions, such that if f A then f h A and f h1 A. Let h
(n)
be dened by hn : f
f h
for f A and n Z. We now have a Zcrossed
n (f ) = f h(n) ,
h
f C(X)
n (gm ) un+m
(fn un )(gm um ) = fn h
for n, m Z and fn , gm C(X). We now dene the following sets:
x X  h(n) (x) = x , n Z
Pern (h) =
Pern (h)
Per(h) =
nZ>0
Aper(h) = X \ Per(h)
Elements of Aper(h) are referred to as aperiodic points of the topological dynamical system (X, h). By Urysohns lemma, C(X) separates points of X and
hence by [19, Corollary 3.4] we get the following.
2In ring theory literature this would be referred to as a skew group algebra, but here we adopt
the terminology used in [19, 20, 21] which comes from the C algebra literature. Note however,
that this is not a C crossed product, but an algebraic crossed product.
173
15
JOHAN OINERT
174
16
f (x)
0
...
0
0
f h(x) . . .
0
(f ) = ..
..
.
.
.
.
.
.
.
.
0
0
. . . f h(p1) (x)
for f C(X), and
0 0 ... 0 t
1 0 ... 0 0
(u1 ) = 0 1 . . . 0 0 .
.. .. . .
.. ..
. .
. . .
0
0 ... 1 0
fn un =
nZ
n
nZ fnp (x) t n
t
nZ fnp+1 (h(x))
(2)
(x)) tn
nZ fnp+2 (h
..
.
nZ
n
...
nZ f(n1)p+1 (x) t n
. . . nZ f(n1)p+2 (h(x)) t
(2)
...
(x)) tn
nZ f(n1)p+3 (h
..
..
.
.
(p1)
...
f
(h
(x)) tn
nZ np
and by looking at the above matrix row by row, it is straightforward to verify that
is bijective (see [22, 24] for a similar isomorphism of C algebras).
Clearly (X, h) is a minimal dynamical system and by Lemma 7.3 we conclude
that C(X) is Zsimple. However, each element of X is nperiodic and hence (X, h)
is not topologically free, which by Lemma 7.2 entails that C(X) is not maximal
commutative in R = C(X) h Z. The ring C[t, t1 ] is not simple (e.g. by Example
4.4) and via the isomorphism we conclude that C(X) h Z is never simple. From
extends to an action of Z on CR (C(X)).
Section 2.1 it is clear that the action h
Finally, by Proposition 6.5, we conclude that the commutant of C(X) is never
Zsimple for our nite single orbit dynamical system.
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Centre for Mathematical Sciences, Lund University, P.O. Box 118, SE22100 Lund,
Sweden
Email address: Johan.Oinert@math.lth.se
Contemporary Mathematics
Volume 503, 2009
1. Introduction
A. Kishimoto [11], R. Herman and V. Jones [3], [4] investigated a class of nite
group actions with what we presently call the Rohlin property. After that a number
of results for group actions of C algebras with the Rohlin property were found in
the literature (see [12], [13] , [14], [7], [17]).
In [7], M. Izumi introduced the Rohlin property and the approximate representability for nite group actions. He proved that an action of a nite abelian
group has the Rohlin property if and only if its dual action is approximately representable. We extend the notions of the Rohlin property and the approximate
representability for inclusions of unital C algebras with nite Watatani index in
the sense of [21]. We investigate a dual relation between the Rohlin property and
the approximate representability. We prove that an inclusion has the Rohlin property if and only if its dual inclusion is approximately representable. It contains that
an action of a nite group has the Rohlin property if and only if its dual action is
approximately representable as a nite dimensional C Hopf algebra action. Note
that the dual action of an action of a noncommutative nite group is not an action of some group though it is an action of some nite dimensional commutative
C Hopf algebra.
In [16], H. Osaka and N. C. Phillips proved that crossed products by nite group
actions with the Rohlin property preserve various properties of C algebras. Since
an action of a nite group with the Rohlin property is an outer action by [17,
Remark 1.4 and Lemma 1.5] and the crossed product algebra A G and the xed
point algebra A by an outer action of a nite group G are Morita equivalent,
we can immediately see that xed point algebras by nite group actions with the
Rohlin property also preserve various properties of C algebras by [16]. We extend
2000 Mathematics Subject Classication. Primary 46L55; Secandary 46L35.
Research of the rst author partially supported by the JSPS grant for Scientic Research
No.20540220.
1
177
c
2009
American Mathematical Society
178
2
their results and prove that a number of classes of unital C algebras are closed
under inclusions with the Rohlin property, including:
AF algebras, AI algebras, AT algebras, and related classes characterized by
direct limit decomposition using semiprojective building blocks.
C algebras with stable rank one.
C algebras with real rank zero.
This paper is organized as follows: In Section 2 we collect basic facts on Watatani
index theory for C*algebras and nite group actions on C*algebras with the Rohlin
property.
In section 3 we introduce the Rohlin property and the approximately representability for conditional expectations and deduce basic properties of conditional
expectations possessing it. We prove that if an inclusion has a conditional expectation with the Rohlin property, then it is the unique conditional expectation of its
inclusion. So the property that a conditional expectation has the Rohlin property
is actually a property of its inclusion.
In section 4 we introduce a notion of the Rohlin property for actions of nite
dimensional C Hopf algebras. We construct examples of inclusions with the Rohlin
property which do not come from nite group actions with the Rohlin property
using nite dimensional C Hopf algebras actions with the Rohlin property.
In section 5 we prove that inclusions with the Rohlin property preserve various
properties of C algebras which generalize results of [16].
2. Preliminaries
In this section we collect notations and basic facts which will be used in this
paper.
2.1. Index theory for C*algebras.
2.1.1. Watatani index for C algebras. We introduce an index in terms of a quasibasis following Watatani [21].
Denition 2.1. Let A P be an inclusion of unital C*algebras with a conditional
expectation E from A onto P .
(1) A quasibasis for E is a nite set {(ui , vi )}ni=1 A A such that for every
a A,
n
n
a=
ui E (vi a) =
E (aui ) vi .
i=1
i=1
n
ui vi .
i=1
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3
(2) Once we know that there exists a quasibasis, we can choose one of the form
{(wi , wi )}m
i=1 , which shows that IndexE is a positive element [21, Lemma
2.1.6].
(3) By the above statements, if A is a simple C algebra, then IndexE is a
positive scalar.
(4) Let {(ui , vi )}ni=1 be a quasibasis for E. If A acts on a Hilbert space H
faithfully, then
can dene the map E 1 from P B(H) to A B(H)
we
n
1
by E (x) = i=1 ui xvi for x in P B(H). In fact, for any x P B(H)
and a A
n
ui xvi a
E 1 (x)a =
=
i=1
n
i,j=1
n
i,j=1
n
j=1
(5) If IndexE < , then E is faithful, that is, E(x x) = 0 implies x = 0 for
x A.
2.1.2. C basic construction. In this subsection, we recall Watatanis notion of the
C basic construction.
Let E : A P be a faithful conditional expectation. Then AP (= A) is a preHilbert module over P with a P valued inner product
x, yP = E(x y), x, y AP .
We denote by EE and E the Hilbert P module completion of A by the norm
1
x P = x, xP 2 for x in A and the natural inclusion map from A into EE . Then
EE is a Hilbert C module over P . Since E is faithful, the inclusion map E from A
to EE is injective. Let LP (EE ) be the set of all (right) P module homomorphisms
T : EE EE with an adjoint right P module homomorphism T : EE EE such
that
T , = , T , EE .
Then LP (EE ) is a C algebra with the operator norm T = sup{ T : = 1}.
There is an injective homomorphism : A LP (EE ) dened by
(a)E (x) = E (ax)
for x AP and a A, so that A can be viewed as a C subalgebra of LP (EE ).
Note that the map eP : AP AP dened by
eP E (x) = E (E(x)), x AP
is bounded and thus it can be extended to a bounded linear operator, denoted by
eP again, on EE . Then eP LP (EE ) and eP = e2P = eP ; that is, eP is a projection
in LP (EE ). A projection eP is called the Jones projection of E.
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4
n
i=1
So we call it the C basic construction and denote it by C A, eP . Moreover we identify (A) with A in C A, ep (= Cr A, eP ) and we denote
C A, ep = {
n
xi eP yi : xi , yi A, n N}.
i=1
181
5
In the factor case, a tunnel construction always exists for any index nite subfactor [10]. But an inclusion of C algebras does not have a tunnel construction
in general. We shall give a necessary and sucient condition for an existence of a
tunnel construction in the next proposition.
Proposition 2.6. Let A P be an inclusion of unital C algebras and E a
conditional expectation from A onto P with IndexE < . If there is a projection
e A such that E(e) = (IndexE)1 , then we have
eP e = Qe,
Q = P {e}
Proof. Let eP be the Jones projection for E. Then eP eeP = E(e)ep = (IndexE) eP .
We shall prove that eeP e = (IndexE)1 e. Put f = (IndexE)eeP e. Then it is easy
be the dual conditional expectation
to see that f is a projection and f e. Let E
f ) = 0. And hence we have f = e by the faithfulness of E
and
of E. Then E(e
eeP e = (IndexE)1 e.
Let F be a linear map on P dened by F (x) = (IndexE)E(exe). We shall prove
exe = F (x)e = eF (x) for x P . Since eeP e = (IndexE)1 e, we have for x P
eF (x)eP
= e(IndexE)E(exe)eP
= e(IndexE)eP (exe)eP
= (IndexE)(eeP e)xeeP = exeeP
and hence eF (x)eP = exeeP . Then using Remark 2.3 (3) we have
eF (x) =
=
(IndexE)E(eF
(x)eP )
(IndexE)E(exeeP ) = exe.
Moreover F (x)e = (eF (x )) = (ex e) = exe, and hence exe = F (x)e = eF (x).
Let Q be the C subalgebra of P dened by Q = P {e} . We saw F (x) Q
for any x P . Conversely if x is an element of Q, then F (x) = (IndexE)E(exe) =
(IndexE)E(e)x = x. Therefore F is a conditional expectation from P onto Q and
eP e = Qe. If xe = 0 for some x Q, then x = (IndexE)E(e)x = (IndexE)E(xe) =
0 and hence a map Q x
xe Qe is injective. By Remark 2.3 (5), the norm
closure of the linear span {xey : x, y P } is the basic construction for P Q. For
any a A
P ae)
(IndexE)E(e
P aeeP e)
= (IndexE)2 E(e
= (IndexE)2 E(E(ae)e
P e) = (IndexE)E(ae)e,
ae =
So A is the basic construction for the inclusion P Q with the Jones projection e.
It means that Q is a tunnel construction for A P .
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6
2.2. Finite group actions on C algebras with the Rohlin property. For a
C algebra A, we set
c0 (A) = {(an ) l (N, A) : lim an = 0}
n
for g, h G.
where #G is the order of G. Then has the Rohlin property if and only if there
1
1, where E is the conditional
is a projection e A such that E (e) = #G
for g, h G.
1
1
1
(g ) (e1 ) =
eg =
1,
#G
#G
#G
gG
gG
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7
where e1 is the projection in the partition of unity {eg }gG which corresponds to
the unit element of G.
1
Conversely, suppose that there is a projection e A such that E (e) = #G
1.
Dene eg = (g ) (e) A for g G. Then
eg = #GE(e) = 1,
gG
i.e., {eg }gG A is a partition of unity. It is obvious that (g ) (eh ) = egh for
g, h G. Hence has the Rohlin property.
3. Conditional expectations of unital C algebras with the Rohlin
property
Denition 3.1. A conditional expectation E of a unital C algebra A with a
nite index is said to have the Rohlin property if there exists a projection e A
satisfying
E (e) = (IndexE)1 1
and a map A x
xe is injective. We call e a Rohlin projection.
Proposition 3.2. Let G be a nite group, an action of G on a unital simple
C algebra A, and E the canonical conditional expectation from A onto the xed
point algebra A . Then has the Rohlin property if and only if E has the Rohlin
property.
Proof. Suppose that has the Rohlin property. By [9, Theorem 4.1 and Remark
4.6], is saturated and IndexE is nite. The simplicity of A implies that the map
A x
xe is injective. So we have that E has the Rohlin property by Proposition
2.9. Conversely, if E has the Rohlin property, then has the Rohlin property by
Proposition 2.9.
Denition 3.3. A conditional expectation E from a unital C algebra A onto
P with a nite index is said to be approximately representable if there exists a
projection e P satisfying for any x A
exe = E(x)e
and a map P x
xe is injective.
Proposition 3.4. Let A P be an inclusion of unital C algebras and E a
conditional expectation from A onto P with a nite index. Let B be the basic
the dual conditional expectation of E from B onto
construction for A P and E
A. Then
is approximately representable;
(1) E has the Rohlin property if and only if E
has the Rohlin property.
(2) E is approximately representable if and only if E
Proof. (1): Let eP be the Jones projection for the inclusion A P . Suppose that
E has the Rohlin property with a Rohlin projection e A . Then
1
eP
in B .
184
8
is determined by E(xe
P y) = (IndexE)1 xy for x and y in A, we have for any
E
element z in B
eze = E(z)e,
and the map A x
xe Ae for x A is injective by the denition of the Rohlin
is approximately representable.
property. Therefore E
is approximately representable with a projection
Conversely, suppose that E
n
ui eeP vi = (E )1 (eeP ) .
i=1
It is easy to see that f is a projection and commutes with elements of A by Remark 2.2 (4). f also commutes with eP . In fact, since eeP = eP e, we have
f eP
=
=
n
i=1
n
ui eeP vi eP
ui eE(vi )eP =
i=1
n
i=1
and
eP f
=
=
n
i=1
n
eP ui eeP vi
eP ui eP evi =
i=1
n
i=1
i=1
and
(f ) =
E
n
P )vi
ui eE(e
i=1
185
9
(f eP )
(f eP )E
= (IndexE)2 E
(f eP )eP f )
((IndexE)E
= (IndexE)E
(f eP ) = e,
= (IndexE)E
= (P eP ) = P eP .
Then we have
(f eP ) = (IndexE)E
(xeP ) = (IndexE)xE(e
P ) = x.
e = (IndexE)E
Hence e P and f eP = eeP . Since e commutes with any element in P , we have
e P . For any a A
eae
(f eP )
(f eP )aE
= (IndexE)2 E
(f eP )af eP )
(E
= (IndexE)2 E
(f eP a)eP f )
((IndexE)E
= (IndexE)E
(f eP aeP f ) (by Lemma 2.4)
= (IndexE)E
(f E(a)eP f )
= (IndexE)E
(f eP ) = E(a)e.
= E(a)(IndexE)E
186
10
Remark 3.6. If a conditional expectation E : A P is approximately representable, then E is the unique conditional expectation from A onto P by [21, Corollary 1.4.3]. In other words, the property that E is approximately representable is
actually a property of the inclusion A P . By Proposition 3.4, the property that
E has the Rohlin property is actually a property of the inclusion A P . So we
call A P an inclusion with the Rohlin property.
When an inclusion A P has a nite index, if P is simple, then A is a nite
direct sum of simple closed twosided ideals by [6, Theorem 3.3]. Therefore the
above propositions immediately implies the following:
Corollary 3.7. Let A P be an inclusion of unital C*algebras and E a conditional expectation from A onto P with a nite index. If E is approximately representable and P is simple, then A P is an irreducible inclusion, i.e., P A
=C
and A is simple.
Proof. By Proposition 3.5, we have P A P P
= C by the simplicity of P .
On the other hand, A A P A
= C and hence A is simple by [6, Theorem
3.3].
Corollary 3.8. Let E be a conditional expectation from a unital C*algebra A
onto P with a nite index. If E has the Rohlin property and A is simple, then
A P is an irreducible inclusion and P is simple.
of E is approximately
Proof. By Proposition 3.4, the dual conditional expectation E
representable. Therefore the inclusion C A, eP A is irreducible and C A, eP
is simple by Corollary 3.7. Since A C A, eP is isomorphic to P A as linear
spaces (see the proof of Proposition 3.11 of [8]), A P is irreducible. The simplicity
of P comes from [21, Corollary 2.2.14].
4. Examples of finite dimensional C Hopf algebra actions with the
Rohlin property
In this section we shall construct examples of inclusions of C algebras with the
Rohlin property. It contains examples which do not come from nite group actions
with the Rohlin property.
Following [20], we state the denition of a nite dimensional C Hopf algebra and
its basic properties. Throughout this section, H and H 0 denotes a nite dimensional
C Hopf algebra and its dual C Hopf algebra, respectively.
Denition 4.1. We say that a nite dimensional C algebra H is a C Hopf algebera if H has the following properties.
(1) There exist linear maps;
(a) comultiplication : H H H,
(b) counit : H C,
(c) antipode S : H H,
and are C algebra homomorphisms and S is a * preserving antimultiplicative involution. We have (1) = 1 1, (1) = 1 and
S(1) = 1, where 1 is the unit element in H.
(2) The following identities hold;
(a) ( id) = (id ) ,
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11
= xh(1) y h(2) k
=
h(1) x h(2)
for x, y A and h, k H.
We generalize group actions with the Rohlin property in Denition 2.7 and dene
C Hopf algebra actions with the Rohlin property as follows:
Let (h, x)
h x of H A to A be an action of nite dimensional C Hopf
algebra. We denote by h {(xn ) + c0 (A)} the natural action of H on A induced
by h x, i.e.,
h {(xn ) + c0 (A)} = (h xn ) + c0 (A).
Denition 4.4. Let (h, x)
hx of H A to A be an action of a nite dimensional
C Hopf algebra. The action (h, x)
h x is said to have the Rohlin property if
there exists a unital injective C homomorphism of H 0 into A satisfying
for h H and H 0 .
h () = (2) (h) (1)
We call a Rohlin homomorphism.
Remark 4.5. Let be an action of a nite group G on a unital C algebra A. Let
H be a group C algebra C (G) and H 0 a commutative C algebra C(G). Then
we can consider H and H 0 as Hopf C algebras and naturally extend the group
action to the Hopf action by g x = g (x) for g G and x A. Suppose that has
the Rohlin property with Rohlin projections {eg }gG as a group action. Dene a
188
12
(h1 g1 ) = egh .
= ( )(1 h)( )
= ( ) 1 h(1) ( ) 1 S(h(2) 1 h(3)
= ( ) h
1 h(2)
(1) ( )
= (2) h(1) (1) 1 h(2)
= (2) h(1) 0 (1)
1 h(2)
= ( ) 1 h(1) h(2)
=
(h) ( ) = (h) f.
bi f (1 e)f bi = (e) =
i=1
1
,
n
l
i=1
nbi fk (1 e)fk bi = 1.
189
13
i times
1.
(ji) times
We dene an action of H on Ak by
k
k
(k)
xi =
h(i) xi
h
i=1
for h H and xi Mn ,
i=1
k
h(l) kl (x) = h(l)
1
xi 1
i=1
(lk) times
k
=
h(i) xi (h(k+1) ) (h(l) )
=
i=1
k
i=1
h(i) xi
1
1 = kl h(k) x
for h H.
(lk) times
(i)
h i (x) = i (h x) for x Ai ,
where i is the inclusion map from Ai into A such that j (ij (x)) = i (x) for
x Ai and i j. Then h has the Rohlin property. To this end, we construct a
190
14
h k (1 1
1 )
(k1) times
= k h(k) (1 1 1 )
= k (h(1) ) (h(2) ) (h(k1) ) h(k)
= k (1 1 1 h )
= (2) (h)k 1 1 1 (1) = (2) (h)(1) k .
Therefore we have
h () = h ((k ) + c0 (A))
= (h k ) + c0 (A)
= (2) (h)(1) k + c0 (A) = (2) (h) (1) .
Remark 4.9. Let A be an simple unital C algebra and P the xed point algebra
AH by an action of nite dimensional C Hopf algebra H with the Rohlin property
and
P A B B1
the tower of iterating basic construction. Then the action is saturated by Proposition 4.6, the inclusion A P is irreducible and P is simple by Corollary 3.8.
Since the action is saturated, the crossed product A H is isomorphic to the basic
construction B for A P and the index of the natural conditional expectation E
form A onto P equals dimC (H) (cf. [20]). For any h H, the element 1 h is in
the relative commutant P (A H). So we can see
(P (A H)) = 1 H =
H.
(P B) =
The dual action of H 0 on A H is also saturated since (A H) H 0 is simple (cf.
[9, Theorem 4.1 and Remark 4.6]). By the same argument as the above, we have
A B1 is isomorphic to H 0 . Therefore if an inclusion A P comes from a nite
group action with the Rohlin property, then A B1 is a commutative algebra. So,
if H is not cocommutative, then the inclusion A P does not come from a nite
group action.
5. Inclusions of C algebras with the Rohlin property
In [16], Osaka and Phillips proved that crossed products by nite group actions
with the Rohlin property preserve various properties of C algebras. In this section,
we extend their result and prove that inclusions with the Rohlin property preserve
various properties of C algebras.
Lemma 5.1. Let A P be an inclusion of unital C*algebras and E a conditional
expectation from A onto P with a nite index. If E has the Rohlin property with
a Rohlin projection e A , then for any x A there exists the unique element
y of P such that xe = ye.
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15
Proof. Let eP be the Jones projection for the inclusion A P . By the proof of
Proposition 2.6, we have eeP e = (IndexE)1 e. Therefore for any element x in A
(eP xe)
xe = (IndexE)E
(eP xeeP e)
= (IndexE)2 E
(E (xe)eP e) = (IndexE)E (xe)e,
= (IndexE)2 E
is the dual conditional expectation for E. Put y = (IndexE)E (xe) P .
where E
Then we have xe = ye.
Suppose that ye = ze for y, z P . Then
z = (IndexE)E (e)z = (IndexE)E (ez) = (IndexE)E (ey) = y.
Therefore we obtain the uniqueness of y.
Remark 5.2. Let D be the C subalgebra of P dened by D = {e} P . By
Proposition 2.6, we have eP e = De. Moreover, eA e = De by the above lemma.
Theorem 5.3. Let A P be an inclusion of separable unital C*algebras and E
a conditional expectation from A onto P with a nite index. If A is an AF algebra
and E has the Rohlin property, then P is also an AF algebra.
Proof. We shall prove that for every nite set S P and every > 0, there is a nite
dimensional C subalgebra Q of P such that every element of S is within of an
element of Q. Since A is an AF algebra and S P A, there is a nite dimensional
C subalgebra R of A such that every element of S is within 4 of an element of
(r)
Mnr . Since e commutes with
R. Let {eij } be a system of matrix units of R
=
(r)
D = {e} P such that eij e = pij e by Lemma 5.1 and Remark 5.2. By the
(r)
(k)
(r)
(r)
uniqueness of pij , {pij } is a system of matrix units of type R. For every (i, j, r), let
(pijk )
k=1 be a sequence of P such that pij = (pijk )k=1 +c0 (A). For every x S, let
(r) (r)
(r)
xR = i,j,r xij eij R, xij C such that x xR < 4 . Let x be the element
(r) (r)
of P dened by x = i,j,r xij pij . For each k N, we dene x
k as the element
(r) (r)
R
R
of P by xk = i,j,r xij pijk . Since xx = xex e = xex e = xx
by the injectivity of a map D x xe De, we have x x < 4 and hence
(r)
(r)
(r)
lim sup x x
k <
k
.
4
(r)
(r)
Choose > 0 according to [5, Lemma 1.10] for R and for /(2 dim(R)). There is
(r)
k0 N such that {pijk0 } is a set of approximate matrix units of type R within in P
and x x
k0 <
(r)
192
16
Since x
k0 x0 < 2 , we have
x x0 x x
k0 + xk0 x0
+ = .
2 2
193
17
In = {(ak )
k=1 l (N, P ) : ak = 0 for k > n}.
Then {In } is an increasing chain of ideals in l (N, P ) and c0 (P ) = In . Since
C is exible, Q has the semiprojectivity. By the denition of the semiprojectivity
(Denition 14.1.3 in [15]), there exist n N and so that the diagram
l (N, P )/In
Q
= (k (q))
k=1 +
194
18
195
19
Contemporary Mathematics
Volume 503, 2009
1. Introduction
In [15] the notion of the semicrossed product of a C algebra with
respect to an endomorphism was introduced. This agreed with the notion of a nonselfadjoint or analytic crossed product introduced earlier
by McAsey and Muhly ([12]) in the case the endomorphism was an automorphism. Neither of those early papers dealt with the fundamental
question of describing the C envelopes of the class of operator algebras
being considered.
That open question was breached in the paper [13], in which Muhly
and Solel described the C envelope of a semicrossed product in terms
of C correspondences, and indeed determined the C envelopes of many
classes of nonselfadjoint operator algebras.
While it is not our intention to revisit the results of [13] in any
detail, we recall briey what was done. Given a C algebra C and an
endomorphism of C one forms the semicrossed product A := C Z+
as described in Section 3. First one views C as a C correspondence E
by taking E = C as a right C module, and the left action given by the
2000 Mathematics Subject Classication. primary 46L70; secondary 37B99,
47L65.
c Mathematical
0000
(copyright Society
holder)
c
2009
American
1
197
2198
JUSTIN R. PETERS
endomorphism. One then identies the tensor algebra (also called the
analytic Toeplitz algebra) T+ (E) with the semicrossed product A. The
C envelope of A is given by the CuntzPimsner algebra O(E).
The question that motivated this paper was to nd the relation
between the C envelopes of semicrossed products, and crossed products. Specically, when is the C envelope of a semicrossed product a
crossed product? If the endomorphism of C is actually an automorphism, then the crossed product C Z is a natural candidate for the
C envelope, and indeed, as noted in [13], this is the case. In this paper
we answer that question in case the C algebra C is commutative (and
unital). Indeed, it turns out that the C envelope is always a crossed
product (cf Theorem 4).
For certain classes of nonselfadjoint operator algebras, nest representations play a fundamental role akin to that of the irreducible
representations in the theory of C algebras. The notion of nest representation was introduced by Lamoureux ([10], [11]) in a context with
similarities to that here. We do not answer the basic question as to
whether nest representations suce for the kernelhull topology; i.e.,
every closed ideal in a semicrossed product is the intersection of the
kernels of the nest representations containing it. What we do show is
that nest representations suce for the norm: the norm of an element
is the supremum of the norms of the isometric covariant nest representations (Theorem 2). The results on nest representation require some
results in topological dynamics, which may not be new, but we have not
seen in the literature. Other related results on topological dynamics
and crossed products are in [2],[3].
Semicrossed products can be dened by either of the relations
f U = U f or U f = f U.
The semicrossed products corresponding to these relations admit dierent representations, and are generally not isomorphic. (See discussion
in section 4.) Nevertheless, they have the same C envelope. (Theorem 4)
The history of work in anaylytic crossed products and semicrosed
products goes back nearly forty years. While in this note we do not
review the literature of the subject, we mention the important paper
[6] in which the Jacobson radical of a semicrossed product is determined and necessary and sucient conditions for semisimplicity of
the crossed product are obtained. We use this in Proposition 3 to show
that the simplicity of the C envelope implies the semisimplicity of the
semicrossed product.
199
3
In their paper [4], Davidson and Katsoulis view semicrossed products as an example of a more general class of Banach Algebras associated with dynamical systems which they call conjugacy algebras. They
have extracted fundamental properties needed to obtain, for instance,
the result that conjugacy of dynamical systems is equivalent to isomorphism of the conjugacy algebras. It would be worthwhile to extend the
results here to the broader context. In their recent work [5] they indicate that for multivariable dynamical systems which do not commute,
the C envelope of the semicrossed product is not a crossed product
for n 2 noncommuting actions.
2. Dynamical Systems
In our context, X will denote a compact Hausdor space. By a
dynamical system we will simply mean a space X together with a mapping : X X. In this article, the map will always be a continuous
surjection.
Definition 1. Given a dynamical system (X, ) we will say (following the terminology of [16]) the dynamical system (Y, ) is an extension of (X, ) in case there is a continuous surjection p : Y X
such that the the diagram
Y Y
p
p
()
X X
commutes. The map p is called the extension map (of Y over X).
Notation. In case p is a homeomorphism, it is called a conjugacy.
Given a dynamical system (X, ) there is a canonical procedure for
producing an extension (Y, ) in which is a homeomorphism.
= {(x1 , x2 , . . . ) : xn X and xn = (xn+1 ), n = 1, 2, . . . }.
Let X
is a closed subset of the product Xn where Xn = X, n =
As X
n=1
is compact Hausdor. Dene a map : X
X
by
1, 2, . . . , so X
(x
1 , x2 , . . . ) = ((x1 ), x1 , x2 , . . . ).
This is continuous, and has an inverse given by
1 (x1 , x2 , . . . ) = (x2 , x3 , . . . ).
X by
Dene a continuous surjection p : X
p(x1 , x2 , . . . ) = x1 .
4200
JUSTIN R. PETERS
)
With the map p, the system (X,
is an extension of the dynamical
system (X, ) in which the dynamics of the extension is given by a
homeomorphism.
Definition 2. In the case of an extension in which the dynamics
is given by a homeomorphism, we will say the extension is a homeomorphism extension.
)
Notation. We will call the extension (X,
the canonical home
omorphism extension. If x
X, x = (x1 , x2 , . . . ), we will say that
(x1 , x2 , . . . ) are the coordinates of x.
Definition 3. Given a dynamical system (X, ), a homeomorphism extension (Y, ) is said to be minimal if, whenever (Z, ) has the
property that it is a homeomorphism extension of (X, ), and (Y, ) is
an extension of (Z, ) such that the composition of the extension maps
of Z over X with the extension map of Y over Z is the extension map
of Y over X, then (Y, ) and (Z, ) are conjugate.
Lemma 1. Let (X, ) be a dynamical system. Then the canonical
)
homeomorphism extension (X,
is minimal.
Proof. Suppose (Z, ) is a homeomorphism extension of (X, ), p :
Z and q : Z X are continuous surjections, and the diagram
X
X
X
p
p
Z Z
q
q
X X
over X,
commutes and the composition q p is the extension map of X
i.e., the projection onto the rst coordinate.
Observe that the canonical homeomorphism extension (Z,
) of
(Z, ) is in fact conjugate to (Z, ). Indeed, the map which sends
z Z (z, 1 (z), 2 (z), . . . ) is a conjugacy. Thus it is enough to
)
show that (X,
is conjugate to (Z,
).
Dene a map r : Z X by
z := (z, 1 (z), 2 (z), . . . ) Z x := (q(z), q( 1 (z), q( 2 (z)), . . . ).
201
5
since
Observe that this maps into X,
(q( (n+1) (z))) = q(( (n+1) (z)))
= q( n (z))
Let x = (x1 , x2 , . . . ) be any element
Next we claim r maps onto X.
Let zn Z be any element such that q(zn ) = xn , n = 1, 2, . . . .
of X.
Let
zn := ( n1 (zn ), . . . , zn , 1 (zn ), . . . ).
n
zm ) agrees with
A subsequence of {zn } converges, say, to z. Since r(
x in the rst n coordinates for all m n, it follows that r(
z ) = x.
Y Y
q
q
X X
commutes.
6202
JUSTIN R. PETERS
Y Y
q
q
X
X
p
p
X X
over X (i.e., the
where p denotes the canonical extension map of X
projection onto the rst coordinate), and the map q is dened as follows:
For y Y, q(y) = (q(y), q 1 (y), q 2 (y), . . . ).
since (q (n+1) (y) = q (n+1) (y) =
Note that the image lies in X
q n (y).
Next, observe that p q(y) = q(y), so the extension property is
satised. Hence, by denition of minimality of the homeomorphism
extension (Y, ), the map q is a conjugacy.
Corollary 1. Let (X, ) be a dynamical system. Then there exists a minimal homeomorphism extension (Y, ) which is unique up
)
to conjugacy. In particular, the canonical extension (X,
is such a
homeomorphism extension.
If (X, ) is a dynamical system, then the map : C(X) C(X)
sending f f , is a endomorphism. is a automorphism i
is a homeomorphism. We can dualize the preceding results as follows:
Corollary 2. Given a dynamical system (X, ), there is a min with automorphism
imal commutative C algebra C(X)
admitting
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7
)
But, with (X,
the minimal homeomorphism extension of (X, ),
we can consider the inductive limit
and viewing C(X) C(X),
1 (C(X))
2 (C(X)) . . . .
C(X)
id
id
C(X)
n (C(X))
id
(n+1)
C(X)
(n+1) (C(X)))
and we have the relation
Thus, we may identify Y with X,
n (f ), f C(X), n Z+ ,
(n+1) (f ) =
hence
(f ) =
(f ), or
=
by .
if we denote the embedding of C(X) into C(X)
Definition 4. Given a dynamical system (X, ), a point x X
is periodic if, for some n N, n 1, n (x) = x. If n is the smallest
integer with this property, we say that x is periodic of period n. If x
is not periodic, we say x is aperiodic. If for some m N, m (x) is
periodic, then we say x is eventually periodic.
Remark 1. If is a homeomorphism, then a point is eventually
periodic i it is periodic; but if is a continuous surjection, it is possible
to have a point x which is aperiodic and eventually periodic.
)
Lemma 3. Let (X, ) be a dynamical system, and (X,
its mini is
mal homeomorphism extension. Then a point x = (x1 , x2 , . . . ) X
aperiodic i for any n N, xn = xm for at most nitely many m N,
and x is periodic i x is periodic.
Proof. x is periodic of period p i p (
x) = x, equivalently,
(x1 , x2 , . . . ) = (p (x1 ), p (x2 ), . . . )
= (x1 , . . . , xp , x1 , . . . , xp , . . . )
which uses the relation that p (xp+j ) = xj , j N.
This shows that if x is periodic, the coordinates of x form a periodic
sequence; the converse is also clear.
8204
JUSTIN R. PETERS
Definition 5.
(1) Recall a dynamical system (X, ) is topologically transitive if for any nonempty open set O X,
n
O = X.
n=0
(4) (X, ) is a minimal dynamical system i the minimal homeomorphism extension has the same property.
(5) The recurrent points in X are dense i the recurrent points in
are dense.
X
Proof. (1) is routine.
)
(2) Let (X,
be topologically transitive, and
= O X. Then
1
so by assumption X
=
O := p (O) is nonempty in X,
n (O).
n=0
Let x X and x p1 (x). Then there exists n such that x
So y = n (
y ), y O.
x), and so p(
y ) = p(n (
x) = n p(
x) =
n (
n
n
n
y ) (O).
(x). Thus x (p(
For the other direction, by Corollary 1 we can assume, without loss
)
of generality, that (X,
is the canonical minimal homeomorphism
have the form
extension of (X, ). The basic open sets in X
=X
[O1 ON
O
n=N +1 Xn ]
for some N N, O1 , . . . ON open sets in X, and where Xn = X for all
n > N.
is nonempty, there is a point x ON such that j (x)
If O
ON j , j = 1, . . . , N 1. Hence by continuity of there is a neighborhood U ON such that j (U ) ON j , j = 1, . . . , N 1.
205
9
O1 ON 1 ON n=N +1 Xn
which nishes the proof.
so that n (
x) O
let x X and x p1 (x).
(3) If the periodic points are dense in X,
converging to x. By Lemma 3,
Then there is a sequence {
yn } X
p(
yn ) is periodic in X, and converges to x.
For the converse, note that if x X is periodic, say of period n, then
p(
there is a point x X,
x) = x with x periodic of period n. Indeed,
if x has orbit x, (x), . . . , n1 (x), then, setting xj = n+1j (x), j =
1, . . . , n, take x to be the point with coordinates
x = (x1 , x2 , . . . , xn , x1 , x2 , . . . , xn , . . . ).
is a basic open set in X,
we use the argument in (2) to nd an
If O
integer N and an open set U as in (2). Let y U be periodic, and set
is periodic and belongs to O.
206
10
JUSTIN R. PETERS
N
U n fn , fn C(X), N N.
n=0
207
11
x (U )(z1 , z2 , . . . ) = (0, z1 , z2 , . . . ).
Observe this is a representation of A0 since
x (f U )(z1 , z2 , . . . ) = (0, f (x2 )z1 , f (x3 )z2 , . . . )
and
x (U f )(z1 , z2 , . . . ) = x (U )(f (x1 )z1 , f (x2 )z2 , . . . )
= (0, f (x1 )z1 , f (x2 )z2 , . . . )
= (0, f (x2 )z1 , f (x3 )z2 , . . . )
)
Let (X,
be the canonical homeomorphism extension. (cf denition 2 and Corollary 1.) We will consider A0 as embedded in A0 ,
and U , satisfying the same
where A0 is the algebra generated by C(X)
and set x = p(
X is the map
relation (). Let x X
x) where p : X
in diagram ().
f = f p, and for F = N U n fn , fn
For f C(X), let f C(X),
n=0
n fn . Observe that
C(X), let F = N
U
n=0
x (F ) = x (F ).
3.1. Nest Representations. For nonselfadjoint operator algebras,
the representations which can play the role of the primitive representations in the case of C algebras are the nest representations. Recall,
a representation of an algebra A on a Hilbert space H is a nest
representations if the lattice of subspaces invariant under is linearly
ordered.
Let (X, ) be a dynamical system with a homeomorphism, and
x a point in X which is aperiodic.
Lemma 4. Let x X be aperiodic. Then weak closure of x (C(X))
is a masa in B(H).
208
12
JUSTIN R. PETERS
To periodic points we can associate another class of nest represen be periodic of period N , so x = (x1 , x2 , . . . ) with
tations. Let x X
xi+N = xi for i N. Let : A B(2 (N )) by (f )(z1 , . . . , zN ) =
(f (x1 )z1 , . . . , f (xN )zN ) and (U )(z1 , . . . , zN ) = (zN , z1 , . . . , zN 1 ).
For C crossed products B := C(X) Z where is a homeomorphism, we have the representations x and y, for x aperiodic, y
periodic, and T given as follows: x acts on 2 (Z), where x (U ) is
the bilateral shift (to the right), and
x (f )(n ) = (f ( n (x))n ) n Z, f C(X).
y, acts on the nite dimensional space 2 (p), where p is the period
of the orbit of y. y, (U ) is a cyclic permutation along the (nite) orbit
of y composed with multiplication by , and y, (f ) acts like x (f )
along the orbit of y. These representations correspond to the pure state
extensions of the states on C(X), f f (x) in the cases where x is
aperiodic or periodic, respectively, and so are irreducible. However, not
all irreducible representations of B need be of this form. Nevertheless,
Tomiyama has shown:
209
13
kp
U n fn , fn C(X),
n=0
for some k Z .
Let = (1 , . . . , p ) Cp be any vector of norm 1, and x T.
For N N dene a vector 2 (N) of norm 1 by
= (1 , . . . , N p , 0, 0, . . . ) where i+jp = N j i / N ,
i = 1, . . . p, j = 0, . . . N 1.
+
210
14
JUSTIN R. PETERS
Lemma 6. Let (X, ) be a dynamical system with a homeomorphism, and F C(X) Z+ . For any x X,
x (F ) = sup{y (F ) : y Orbit(x)}.
Proof. Given
> 0, there is a vector 2 Z, = (n )nZ with
only nitely many n
= 0, and such that
x (F ) x (F ) +
.
Suppose n = 0 for n < N, for some N Z+ . Let y = N (x), and
dene a vector 2 (N) by: j = jN 1 , j = 1, 2, . . . . Then  = 1,
and
y (F ) = x (F ).
The lemma now follows.
)
Corollary 4. Let (X, ) be a dynamical system, and (X,
a
X the continuous
minimal homeomorphism extension, with p : X
surjection for which the diagram () commutes. Let F C(X) Z+ ,
Then
and let x X.
y ), for y Orbit(
x)}.
x (F  = sup{y (F ) : y = p(
and 2 (N),
Proof. Observe that for any y X,
y(F ) = y (F ).
Now apply Lemma 6.
211
15
is periodic and p(
where y X
y ) = y.
By Cor. II.8 of [15], F  = supxX x (F ). Thus, denoting the
sup{A, B} by F  , by Corollary 3 it follows that F  is the norm of
Z. On the other hand,
F in the crossed product C(X)
F  sup x (F ) = F  sup x (F )
xX
x
X
and the last term is dominated by the norm of F in the crossed product, since the norm there is given by the supremum over all covariant
representations.
Theorem 2. Let (X, ) be a dynamical system, F C(X) Z+ .
Then
F  = sup{(F ) : is an isometric covariant nest representation}.
Proof. Indeed, we have found a subclass of the isometric covariant
nest representations, namely the y, (y periodic, T) and x (x
aperiodic) which yield F .
From the above, we obtain the following
)
Theorem 3. Let (X, ) be a dynamical system, and (X,
its
minimal homeomorphism extension. Then the embedding of the semi Z into the crossed product is
crossed product C(X) Z+ C(X)
a completely isometric isomorphism.
Corollary 6. With notation as above, the semicrossed product
Z+ is semisimple.
C(X) Z+ is semisimple i C(X)
Proof. This follows from part (5) of Theorem 1 and the main
result of [6]. The latter proof is given in the metric space context,
but carries over to the compact Hausdor context. ([19] Chapter I
Proposition 2.18 p. 63 and 2.24 p.66.)
If the crossed product is a simple C algebra, the crossed product is
necessarily the C envelope. However, as we will now show, it is always
the case that the crossed product is the C envelope, even if it is not
simple.
Lemma 7. Let (X, ) be a dynamical system, and C(X) Z+ the
associated semicrossed product. Then the endomorphism of C(X),
(f ) = f , extends to an endomorphism, again denoted by , of the
semicrossed product.
Z. The element U , which
Proof. Embed C(X) Z+ C(X)
is an isometry in the semicrossed product, embeds to a unitary in
212
16
JUSTIN R. PETERS
of C(X),
(f ) = f .
Z one has U f U = f .
This is as follows: in C(X)
For F
an element of the crossed product, dene
(F ) = U F U . Note that,
if {fn } are the Fourier coecients of F , then {fn }
are the Fourier
coecients of
(F ).
In particular, if F belongs to the semicrossed product, and so its
then the
Fourier coecients belong to the subalgebra C(X) C(X),
Fourier coecients of (F
) also belong to the subalgebra C(X), since
for f C(X),
(f ) = (f ). Thus, if we denote this map of C(X) Z+
by , it is an endomorphism of the semicrossed product extending the
endomorphism of C(X).
Lemma 8. Let (X, ) be a dynamical system, and embed
Z. Then
A := C(X) Z+ C(X)
Z is a dense subalgebra.
k (A) C(X)
k=0
Proof. It follows from the proof of Corollary 2 that, viewing C(X)
that
n (C(X)) is a dense subalgebra of
as embedded in C(X),
n=0
C(X).
Z with
Z and
> 0, there is G C(X)
Given F C(X)
N
n
nitly many nonzero Fourier coecients, say G =
n=0 U gn , with
F G <
. By the rst paragraph, for each gn there is an hn in
with gn hn  < . But if H =
the dense subalgebra of C(X)
N +1
N
n
k
U
h
,
we
have
F
H
<
2
,
and
H
(A).
n
k=0
n=0
4. The C envelope
In the introduction we mentioned that two relations can be used to
dene the semicrossed product:
(1)
fU = U f
or
(2)
Uf = f U
213
17
With (X, ) as before, choose x = x1 X and choose a backward orbit (x1 , x2 , x3 , . . . ) = O, by which we mean that (xn+1 ) =
xn , n 1. Then, with the Hilbert space H = 2 (N), dene the orbit
representation O by
O (U )(z1 , z2 , . . . ) = (0, z1 , z2 , . . . )
O (f )(z1 , z2 , . . . ) = (f (x1 )z1 , f (x2 )z2 , . . . )
one easily veries that the relation
O (U f ) = O (f U )
is satised.
With these representations O in place of the representations x
of section 3.1, all the results of that section carry over to semicrossed
product algebras dened by relation 2.
Remark 4. Given a dynamical system (X, ), the semicrossed algebra based on relation 1 is generally not isomorphic with the semicrossed product algebra based on relation 2. Indeed, even if is a
homeomorphism the two semicrossed products are nonisomorphic.
Suppose is a homeomorphism, and U, satisfy relation 1. Writing f as g 1 , and every function in C(X) can be so written, we
obtain
U g = g 1 U
which is relation 2 with 1 in place of . Similarly, relation 2 yields
relation 1 with 1 in place of . There is a theorem that two semicrossed products are isometrically isomorphic if and only if the dynamical systems which dene them are conjugate. ([17]) However, it
is known that a homeomorphism of a compact metric space is not, in
general, conjugate to its inverse. This shows that, even in the case of
homeomorphisms, semicrossed products dened by relation 1 are not
isomorphic with those dened by relation 2.
)
Theorem 4. Let (X, ) be a dynamical system, and (X,
its
+
minimal homeomorphism extension. Let C(X) Z be the semicrossed
product dened by either relation 1 or 2. Then the C envelope of the
Z.
semicrossed product is the crossed product C(X)
Proof. We give the proof assuming the semicrossed product is
dened by relation 1. However, the proof for relation 2 would be identical, except that in the element G below, the U n and gn would be
transposed.
By Theorem 3 the embedding
Z
C(X) Z+ C(X)
214
18
JUSTIN R. PETERS
is completely isometric. Suppose there is a C algebra B, a completely isometric embedding : C(X) Z+ B, and a surjective
Z B.
C homomorphism q : C(X)
If q is not an isomorphism, let 0
= F ker(q). Assume F  =
N
n
1. By Lemma 8 there is an element G =
n=0 U gn with gn
n
and such
(C(X)), viewing C(X) as a subalgebra of C(X),
n=0
1
+
that F G < 2 . In particular, there is m Z such that gn m
C(X), 0 n N .
m C(X) Z+ and GU m  = G > 12 .
Now GU m = N
n=0 gn
On the other hand, since q(F U m ) = q(F )q(U m ) = 0 we have
1
q(GU m ) = q(GU m F U m ) GU m F U m  G F  < .
2
Z, where (X, )
is the (unique) minimal homeomorphism extension of
(X, ). As is well known (e.g. [14] Proposition 7.9.6), the crossed prod )
uct is simple if and only if the dynamical system (X,
is minimal; i.e.,
every point has a dense orbit. By Theorem 1, this is equivalent to the
condition that (X, ) is minimal. In particular, the system (X, ) is
recurrent; so by [6] it follows that the semicrossed product is semisimple.
References
[1] Wm. B. Arveson, Subalgebras of C algebras, Acta Math 123, 1969, 141224.
[2] T. M. Carlsen and S. Silvestrov, On the Exel crossed product of topological
covering maps, arXiv:[math.OA]/0811.0056, to appear in Acta Appl. Math.
[3] T. M. Carlsen and S. Silvestrov, C crossed products and shift spaces, Espo.
Math. 25, 2007, no. 4, 275307.
[4] K. Davidson and E. Katsoulis, Isomorphisms between Topological Conjugacy
Algebras, J. Reine Angew. Math. 621, 2008, 2951.
[5] K. Davidson and E. Katsoulis, Operator Algebras for Multivariable Dynamics,
arXiv.math/0701514v5, 2007.
215
19
[6] A. Donsig, A. Katavolous, and A. Manousos, The Jacobson Radical for Analytic Crossed Products, J. Func. Anal. 187, 2001, 129145.
[7] R. Exel and A. Vershik, C algebras of irreversible dynamical systems, Canad.
J. Math. 58, 2006, no. 1, 3963.
[8] M. Hamana, Injective Envelopes of Operator Systems, Publ. Res. Inst. Math.
Sci. 15, 1979,773785.
[9] E. Katsoulis and D. Kribs, Tensor Algebras of C Correspondences and their
C envelopes, J. Func. Anal. 234, 2006, no. 1, 226233.
[10] M. Lamoureux, Nest representations and dynamical systems, J. Func. Anal.
114, 1993, 345376.
[11] M. Lamoureux, Ideals in some continuos nonselfadjoint crossed product algebras, J. Func. Anal. 142, 1996, 221248.
[12] M. McAsey and P. S. Muhly, Representations of nonselfadjoint crossed products, Proc. London Math. Soc. Ser. 3 47, 1983, 128144.
[13] P. S. Muhly and B. Solel, Tensor Algebras over C Correspondences: Representations, Dilations, and C envelopes, J. Func. Anal. 158, 1998, 389457.
[14] G. Pedersen, C Algebras and their Automorphism Groups, Academic Press,
LondonNew YorkSan Francisco, 1979.
[15] J. R. Peters, Semicrossed products of C algebras, J. Func. Anal. 59, 1984,
498534.
[16] T. Pennings and J. R. Peters, Dynamical Systems from Function Algebras,
Proc. Amer. Math. Soc. 105, 1989, 8086.
[17] S. Power, Classication of analytic crossed product algebras, Bull. London
Math. Soc. 24 1992, 368372.
[18] J. Tomiyama, The interplay between topological dynamics and theory of C algebras, II, Kiyoto Univ. RIMS, No., 2000, 171.
[19] J. de Vries, Elements of topological dynamics Mathematics and its Applications
257, Kluwer Academic Publishers Group, Dordrecht, 1993.
Department of Mathematics, Iowa State University, Ames, Iowa,
USA and
Email address: peters@iastate.edu
Contemporary Mathematics
Volume 503, 2009
1
217
218
2
N. CHRISTOPHER PHILLIPS
that have been used, and give some indications of their strengths, weaknesses,
applications, and relationships to each other. To keep things simple, and to keep
the focus on freeness, we restrict whenever convenient to actions of nite groups. For
one thing, our knowledge is more complete in this case. Also, we would otherwise
have to deal with noncommutative properness; we discuss this issue briey below.
We give a rough summary of the dierent conditions and their uses, in approximate decreasing order of strength. The strongest is free action on the primitive
ideal space. Outside the class of type I C*algebras, this condition seems too strong
for almost all purposes, and we accordingly say little about it. Next is the Rokhlin
property. This is the hypothesis in most theorems on classication of group actions.
When the group is nite, it also implies very strong structure preservation results
for crossed products. Ktheoretic freeness is close to the Rokhlin property, at least
when the Ktheory is suciently nontrivial. Unlike the Rokhlin property, it agrees
with freeness in the commutative case. The tracial Rokhlin property is weaker than
the Rokhlin property, and much more common; its main use is in classication theorems for crossed products. The main use of pointwise outerness, at least so far,
has been for proving simplicity of crossed products. Hereditary saturation and having full strong Connes spectrum are weaker conditions which give exactly what is
needed for crossed products by minimal actions to be simple. Unfortunately, they
are hard to verify. Saturation is the condition which makes the crossed product
naturally Morita equivalent to the xed point algebra.
For an action of a noncompact group, there is a big dierence between actions
that are merely free and those that are both free and proper. Recall that an action
of a locally compact group G on a locally compact space X is proper if for every
compact set K X, the set {g G : gK K = } is compact in G. Equivalently,
the map (g, x) (x, gx) is a proper map, that is, inverse images of compact sets
are compact.
One of the good things about a free action of a compact Lie group on a locally
compact space X is that X is a principal Gbundle over the orbit space X/G. (See
Theorem 1.1.) As a special case, if G is nite then X is a covering space (not
necessarily connected) of X/G. As discussed after Theorem 1.1, this remains true
for noncompact G if the action is proper. It fails otherwise. One should compare
the action of Z on R by translation (free and proper) with the action of Z on the
circle S 1 generated by an irrational rotation (free but not proper). In the second
case, the orbit space is an uncountable set with the indiscrete topology, and the
quotient Borel space is not countably separated. However, free actions of this type
are very important. Here, for example, the crossed product is the well known
irrational rotation algebra.
There may be nearly as many versions of properness of actions on C*algebras
as there are of freeness of actions on C*algebras, but the subject has been less well
studied. We refer to the work of Rieel. (For example, see [66].) In this survey, we
simply avoid the issue. This is not to say that properness of actions on C*algebras
is not important. Rather, it is a subject for a dierent paper. In most situations
in this paper in which the issue arises, we will consider only the analog of freeness
without properness.
Returning to freeness, many of our examples will involve simple C*algebras,
since much of what has been done has involved simple C*algebras. Indeed, for
one of our conditions, the tracial Rokhlin property, a satisfactory denition is so
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3
far known only in the simple case. For similar reasons, we have much less to say
about actions on purely innite C*algebras than about actions on stably nite
C*algebras. It seems possible (although proofs are still missing) that the dierences between some of our conditions disappear in the purely innite case. See the
discussion at the end of Section 4.
This paper is organized as follows. In Section 1, we recall a number of theorems
which characterize freeness of actions of nite or compact groups on compact or
locally compact spaces. Some involve C*algebras, while others are purely in terms
of topology. These results suggest properties which might be expected of free actions
on C*algebras. Several of them implicitly or explicitly motivate various denitions
of noncommutative freeness. In each of the remaining four sections, we discuss
a notion of noncommutative freeness, or a group of notions which seem to us to
be roughly comparable in strength (with one exception: some of the conditions
in Section 5 are much weaker than the others). See the further discussion at the
end of Section 1. The order of sections is roughly from strongest to weakest. The
comparisons are inexact partly because some versions of noncommutative freeness,
in their present form, are useful only for restricted classes of groups or C*algebras,
and sometimes there are no interesting examples in the overlap. For example, we
dont know how to properly dene the tracial Rokhlin property for actions on C*algebras which are not simple, which makes it awkward to compare this property
with freeness of an action on a commutative C*algebra.
As will become clear in the discussion, there are a number of directions in which
further work is needed.
We describe some standard notation. Throughout, groups will be at least
locally compact. All groups and spaces (except primitive ideal spaces and spaces
of irreducible representations of C*algebras) will be Hausdor. For an action of a
group G on a locally compact space X, we let C (G, X) denote the transformation
group C*algebra, and we let X/G denote the orbit space. For an action : G
Aut(A) of G on a C*algebra A, written g g , we denote the crossed product by
C (G, A, ). We further denote the xed point algebra
{a A : g (a) = a for all g G}
by A , or by AG if is understood. The action : G Aut(C0 (X)) coming from
an action of G on X is g (f )(x) = f (g 1 x). Note that in this case C0 (X)G can
be canonically identied with C0 (X/G). The restriction of : G Aut(A) to a
subgroup H G is H , and the restriction to an invariant subalgebra B A is
() B .
All ideals in C*algebras are assumed closed and two sided. We will denote the
cyclic group Z/mZ by Zm . (No confusion with the madic integers should occur.)
For a Hilbert space H, we denote by L(H) and K(H) the algebras of bounded and
compact operators on H.
We would like to thank Dawn Archey, George Elliott, Akitaka Kishimoto, Hiroyuki Osaka, Cornel Pasnicu, Costel Peligrad, Marc Rieel, Masamichi Takesaki,
and Dana Williams for useful discussions and email correspondence.
1. The commutative case
In the main part of this section, we give some characterizations and properties
of free actions of nite (sometimes more general) groups on compact spaces. In
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N. CHRISTOPHER PHILLIPS
some parts of the rest of this survey, we will concentrate on simple C*algebras, so,
without proper interpretation, what one sees here may provide little guidance.
Theorem 1.1. Let G be a compact Lie group and let X be a locally compact
Gspace. The action of G on X is free if and only if the map X X/G is the
projection map of a principal Gbundle.
A principal Gbundle is a locally trivial bundle with ber G, and where the
transition maps between trivializations are given by continuous maps to G, regarded
as acting on itself by translation.
This result is also true for actions of locally compact Lie groups which are free
and proper. See the theorem in Section 4.1 of [54]. The denition of properness
given there is dierent, but for locally compact X it is equivalent. See Condition (5)
in Theorem 1.2.9 of [54]; the notation is in the introduction of [54] and Denition
1.1.1 there.
Theorem 1.2. Let G be a nite group, and let X be a totally disconnected
compact Gspace. The action of G on X is free if and only if X is equivariantly
homeomorphic to a Gspace of the form G Y, where G acts on itself by translation
and acts trivially on Y.
Proof. We rst claim that for every x X, there is a compact open set
K X such that x K and the sets gK, for g G, are disjoint. To see this, for
each g G choose disjoint compact open sets Lg and Mg such that x Lg and
gx Mg . Then take
K=
(Lg g 1 Mg ).
gG\{1}
g(K1 K2 Km1 ) .
Lm = Km X \
gG
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5
This is really just a restatement of the requirement that g have no xed points.
It is included for comparison with the conditions in Section 4.
Theorem 1.5. Let G be a compact group and let X be a locally compact Gspace. The action of G on X is free if and only if every ideal I C (G, X) has
the form C (G, U ) for some Ginvariant open set U X.
Proof. Suppose the action of G on X is free. The conclusion follows (in fact,
in the more general case of a free and proper action of a locally compact group)
from Theorem 14 of [17] and its proof.
Suppose the action of G on X is not free. Our argument is very close to the
proof of Proposition 7.1.12 of [58]. Choose x X and g G\{1} such that gx = x.
Let H G be the subgroup given by H = {g G : gx = x}, and set S = Gx. Then
S is a closed subset of X which is equivariantly homeomorphic to G/H. So, using
Corollary 2.10 of [18] for the second isomorphism, C (G, X) has a quotient
C (G, S)
= C (G, G/H)
= K(L2 (G/H)) C (H).
Let : C (G, X) K(L2 (G/H)) C (H) be the composition of this isomorphism
with the quotient map.
Since H is a nontrivial compact group, C (H) is not simple. (For example,
consider the kernel of the map to C induced by the one dimensional
trivial repre
sentation.) Let J C (H) be a nontrivial ideal. Then 1 K(L2 (G/H)) J is
an ideal in C (G, X) which does not have the form C (G, U ) for any Ginvariant
open set U X.
Theorem 1.6 (Atiyah and Segal). Let G be a compact Lie group and let X be a
compact Gspace. The action of G on X is free if and only if for every prime ideal
P in the representation ring R(G) which does not contain I(G), the localization
KG
(X)P is zero.
Theorem 1.7 (Atiyah and Segal). Let G be a compact Lie group and let X be
a compact Gspace. The action of G on X is free if and only if the natural map
K (X/G) KG
(X) is an isomorphism.
Freeness is also related to C*index theory. The C*basic construction used in
the following result is found in Sections 2.1 and 2.2 of [73]; the two versions are the
same by Lemma 2.2.9 of [73].
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N. CHRISTOPHER PHILLIPS
Theorem 1.8. Let G be a nite group, and let X be a compact Gspace. Suppose the set of points x X with trivial stabilizer Gx is dense in X. Dene a
conditional expectation E : C(X) C(X)G by
1
f (gx).
E(f )(x) =
card(G)
gG
Then E has indexnite type in the sense of Watatani (see Denition 1.2.2 of [73],
and see Lemma 2.1.6 of [73] for the C*algebra version) if and only if the action of
G on X is free. Moreover, in this case, the C*basic construction gives an algebra
isomorphic to C (G, X).
Proof. See Propositions 2.8.1 and 2.8.2 of [73].
Some nontriviality condition on the action is necessary, since one must rule out
the trivial action and the action of G on its quotient G/H by a subgroup H.
Here is an example of preservation of structure associated with freeness.
Theorem 1.9. Let G be a nite group. If G acts freely on a topological manifold M, then M/G is a topological manifold. If M and the action are smooth, then
so is M/G.
The theorem has more force in the smooth case. For example, if G is a nite
cyclic group, acting on R2 by rotation, then R2 /G is a topological manifold, but is
not smooth in a neighborhood of the orbit of 0.
The situation for actions on noncommutative C*algebras is much more complicated. There are at least six rough categories of conditions which, when properly
dened, at least approximately correspond to freeness in the commutative case. We
list them in descending order of strength.
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7
Definition 1.10. For n Z>0 let d(n) and k(n) be integers with d(n) 2
and 0 k(n) 12 d(n). Choose projections pn , qn Md(n) such that pn + qn = 1
and rank(q
n ) = k(n). The associated product type action on the UHF algebra
A=
generated by the innite tensor
n=1 Md(n) is the action : Z2 Aut(A)
product automorphism of order 2 given by = n=1 Ad(pn qn ).
The conjugacy class of the action does not depend on the choice of the projections pn and qn . We need only consider 0 k(n) 12 d(n), since replacing any
particular k(n) by d(n) k(n) gives a conjugate action.
To give an idea of what the various conditions mean, let the notation be as in
Denition 1.10, and consider the following specic cases:
If d(n) = 2 and k(n) = 1 for all n, then has the Rokhlin property and
is Ktheoretically free. See Examples 2.3 and 2.21.
If d(n) = 3 and k(n) = 1 for all n, then has the tracial Rokhlin property,
but does not have the Rokhlin property and is not Ktheoretically free.
See Examples 2.21 and 3.3.
If d(n) = 2n and k(n) = 1 for all n, then is pointwise outer but does
not have the tracial Rokhlin property. See Examples 3.3 and 4.2.
There are no actions of this specic type which are hereditarily saturated
butnot pointwise
outer. However, the action of Z22 on M2 generated by
1 0
Ad 0 1 and Ad ( 01 10 ) is hereditarily saturated but not pointwise outer.
See Example 5.6.
If d(n) = 2 for all n, and k is given by k(n) = 0 for n 2 and k(1) = 1,
then is saturated but not hereditarily saturated. See Examples 5.3
and 5.5.
If d(n) = 2 and k(n) = 0 for all n, then is not saturated. See Example 5.3.
2. The Rokhlin property and Ktheoretic freeness
We treat the Rokhlin property and Ktheoretic freeness together because, in the
situations to which they apply well, they seem roughly comparable in strength. The
usefulness of both is limited to special classes of C*algebras. The Rokhlin property
is not useful if there are too few projections, since no action of any nontrivial group
on a unital C*algebra with no nontrivial projections can have the Rokhlin property.
Thus (Example 2.4 below), even if the nite group G acts freely on X, the action
of G on C(X) need not have the Rokhlin property.
The denition of Ktheoretic freeness represents an attempt to turn Theorem 1.6 into a denition. The condition must be strengthened; see the discussion
before Denition 2.18 below. The usefulness of Ktheoretic freeness depends on
the presence of nontrivial Ktheory: the trivial action of any nite group on any
C*algebra of the form O2 A satises the strongest possible form of Ktheoretic
freeness. It is, of course, true that an action on a commutative unital C*algebra is
Ktheoretically free if and only if the action on the corresponding space is free. For
the product type action of Denition 1.10, Ktheoretic freeness is equivalent to the
Rokhlin property, and this seems likely to be true for general product type actions
on UHF algebras, and perhaps more generally. (Example 2.5 limits how far this
idea can be taken.)
No known version of noncommutative freeness agrees both with Ktheoretic
freeness in the presence of sucient Ktheory and with the Rokhlin property on O2 .
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N. CHRISTOPHER PHILLIPS
See Problem 2.28. However, for some applications one really needs the Rokhlin
property. See Example 2.26.
The Rokhlin property is as in Denition 3.1 of [25] (see below); we rst give
the equivalent form in Denition 1.1 of [59]. The property is, however, much older.
Early uses in C*algebras (under a dierent name) can be found in [14], [21],
and [22]. The version for von Neumann algebras appeared even earlier, for example in [30]. It is a noncommutative generalization of the statement of the Rokhlin
Lemma in ergodic theory (for the case G = Z). The Rokhlin property can also be
considered to be modelled on Theorem 1.2. Note, though, that Condition (2) of the
denition is purely noncommutative in character, and is essential for the applications of the Rokhlin property. As we will see in Section 3, especially Example 3.12
and the following discussion, the Rokhlin property is quite rare.
Definition 2.1. Let A be a unital C*algebra, and let : G Aut(A) be an
action of a nite group G on A. We say that has the Rokhlin property if for every
nite set S A and every > 0, there are mutually orthogonal projections eg A
for g G such that:
(1) g (eh ) egh < for all g, h G.
(2)
eg a aeg < for all g G and all a S.
(3)
gG eg = 1.
We call the (eg )gG a family of Rokhlin projections for , S, and .
Remark 2.2. The Rokhlin property can be neatly formulated in terms of central sequence algebras. Consider the C*algebra of all bounded sequences in A
(bounded functions from Z>0 to A). It contains an ideal consisting of all sequences
vanishing at innity. Let A be the quotient. Let A be the relative commutant
in A of the embedded copy of A obtained as the image of the set of constant
sequences. The action : G Aut(A) induces an action : G Aut(A ).
(There is no continuity issue since G is discrete.) Denition 3.1
of [25] asks for
mutually orthogonal projections eg A for g G such that gG eg = 1 and
such that ( )g (eh ) = egh for all g, h G.
We make a few comments about what happens for more general groups. For
actions of Z, one does not consider families of projections indexed by Z (for which
the sum in Denition 2.1(3) would not make sense), but rather families indexed by
arbitrarily long nite intervals in Z. (The important points about intervals are that
they are Flner sets in the group and that they can tile the group.) Moreover, to
avoid Ktheoretic obstructions, one must in general allow several orthogonal such
families indexed by intervals of dierent lengths. See the survey article [24] and
references there. For the application of the Rokhlin property to classication of
actions of Z, see the survey article [44]. For more general discrete groups, one
encounters further diculties with the choice of subsets of the group. The group
must certainly be amenable, and the results of [49] suggest that one may only be
able to require that the sum in Denition 2.1(3) be close to 1, necessarily in a
sense weaker than the norm topology. The resulting notion looks more like the
tracial Rokhlin property (Denition 3.1 below). In addition, if G is not discrete,
one must abandon projections. See [49] for actions of locally compact groups
on measure spaces, see [45] (especially the theorem in Section 6.1) for actions of
countable amenable groups on von Neumann algebras, see [42] for actions of Zd on
C*algebras, see [35] for actions of R on C*algebras, and see [23] for actions of
225
9
compact groups on C*algebras. Much of this, including more on the von Neumann
algebra versions (which came rst), is discussed in [24].
Example 2.3. Let : Z2 Aut(A) be as in Denition 1.10. Then has the
Rokhlin property if and only if k(n) = 12 d(n) for innitely many n Z>0 . This is
part of Proposition 2.4 of [61], but was known long before; see Lemma 1.6.1 of [14].
By combining tensor factors, we can write any such action as a product type
action so that k(n) = 12 d(n) for all n Z>0 .
It is trivial that if : G Aut(C(X)) has the Rokhlin property, then the action
of G on X is free. As we will see in Corollary 4.17 below, the Rokhlin property for
an action of a nite group on a unital type I C*algebra A implies freeness of the
action on Prim(A). (One can also give a direct proof.) For totally disconnected X,
the converse is Theorem 1.2. In general, however, the converse is false. This is our
rst encounter with one of the main defects of the Rokhlin property, namely that
it is appropriate only for C*algebras with a sucient supply of projections.
Example 2.4. Let X be the circle S 1 and let G = Z2 , with nontrivial element g.
Then g = generates a free action of G on X. The corresponding action of
G on C(X) does not have the Rokhlin property, because C(X) has no nontrivial
projections. Specically, if < 1 it is not possible to nd projections e1 , eg C(S 1 )
such that e1 + eg = 1 and g (e1 ) eg < .
Any free action on a connected compact manifold gives the same outcome.
Other easy examples are the action of Zn on the circle S 1 by rotation, and the
action of Z2 on the msphere S m via x x.
However, there seem to be more subtle issues with the Rokhlin property than
merely lack of suciently many projections.
Example 2.5. In Example 4.1 of [61], there is an action of Z2 on a unital
C*algebra A = lim An , obtained as the direct limit of actions on the An , such
that An
= C(S 2k , Ms(n) ) for suitable integers s(0) < s(1) < and a xed integer
k 1, and such that the action on An is the tensor product of the action on C(S 2k )
induced by x x with an inner action on Ms(n) . These actions surely deserve
to be considered free. Therefore the direct limit action should also deserve to be
considered free. The direct limit algebra A is simple and AF, and in particular
is well supplied with projections by any reasonable standard. However, the direct
limit action does not have the Rokhlin property. In fact, its crossed product is
not AF, because the K0 group of the crossed product has torsion isomorphic to Z2k .
See Proposition 4.2 of [61] for details. So the Rokhlin property would contradict
Theorem 2.6(2a) below.
We address this issue again in Problem 2.28 below.
Crossed products by actions with the Rokhlin property preserve many properties of C*algebras. These can be thought of as being related to Theorem 1.9.
Theorem 2.6. Crossed products by actions of nite groups with the Rokhlin
property preserve the following classes of C*algebras.
(1) Simple unital C*algebras. (See Proposition 4.16 and Theorem 4.6 below.)
(2) Various classes of unital but not necessarily simple countable direct limit
C*algebras using semiprojective building blocks, and in which the maps
of the direct system need not be injective:
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N. CHRISTOPHER PHILLIPS
(a)
(b)
(c)
(d)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
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11
For some of the classes in Theorem 2.6, such as those in parts (3), (5), (6), (7),
and (10), it is expected that weaker conditions than the Rokhlin property should
suce. This is certainly true for part (1). See Theorem 4.6 and Corollary 5.12
below.
Theorem 2.6(4) holds for actions of second countable compact groups with
the Rokhlin property and, provided the strongly selfabsorbing C*algebra is K1 injective, for actions of Z and R with the Rokhlin property. See Theorem 1.1(1)
of [23].
Theorem 2.6(11) brings back the point that the Rokhlin property is slightly
too strong. For example, if G is a nite group acting freely on a compact space X
such that K (X) is torsion free, it does not follow that K (C (G, X)) is torsion
free. The action of Z2 on S 2 generated by x x is a counterexample. (The
Ktheory of the crossed product is the same as for the real projective space RP 2 .)
Example 2.5 shows that this phenomenon can even occur for an action on a simple
AF algebra.
We also have the following result. It appears as Theorem 1.25 of [70], but had
been proved earlier as part of other work which is still in progress [55].
Theorem 2.8. Let : G Aut(A) be an action of a nite group on a unital
C*algebra which has the Rokhlin property. Then every ideal J C (G, A, ) has
the form C (G, I, () I ) for some Ginvariant ideal I A.
For an application of these structural results, see [62]. This paper uses a crossed
product construction (following Connes von Neumann algebra construction [10])
to produce a simple separable exact C*algebra A which is not isomorphic to its
opposite algebra, and which has a number of nice properties. The action has the
Rokhlin property, and this fact is crucial in the computation of K (A) and the
verication of a number of the properties of A.
The use of the Rokhlin property to obtain structural results for crossed products
by nite groups seems to be very recent (although it has a longer history for actions
of Z). Indeed, Theorem 2.6(2a) (crossed products by nite group actions with the
Rokhlin property preserve the class of AF algebras) could easily have been proved
long ago. It was actually proved only after the analogous statement for the tracial
Rokhlin property and C*algebras with tracial rank zero, Theorem 3.7 (although
both theorems appear in the same paper). The main reason is that the tracial
analog seems to be much more useful for structure theory. See Section 3.
The main application so far of the Rokhlin property has been to the structure
and classication of group actions. This project began in von Neumann algebras.
As just one example, Jones proved (Corollary 5.3.7 of [30]) that every pointwise
outer action of a nite group G on the hypernite factor R of type II1 is conjugate to a particular model action of G. That is, up to conjugacy, there is only one
pointwise outer action of G on R. An essential step in the proof is showing that
pointwise outerness implies the von Neumann algebra analog of the Rokhlin property. Ocneanu [45] extended the result to actions of general countable amenable
groups. Classication of actions on C*algebras with the Rokhlin property is the
main thrust of the papers [14], [21], and [22], and the more recent papers [25]
and [26].
We state four theorems from [26]. The rst two require the following model
action.
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N. CHRISTOPHER PHILLIPS
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13
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N. CHRISTOPHER PHILLIPS
Proof. Let F J be a nite set, and let > 0. Choose a family (eg )gG of
Rokhlin projections for , S, and . Let : A M (J) be the standard homomorphism obtained from the fact that J is an ideal in A. Then ((eg ))gG satises the
condition of Denition 2.15 for the given choices of F and .
Unfortunately, and this is related to the issues with the Rokhlin property already discussed, there is no theorem for extensions.
Example 2.17. Let G = Z2 . Let : G Aut(C(S 1 )) be as in Example 2.4.
(Recall that this action comes from the action on S 1 generated by .) Let
J = C0 (S 1 \ {1}), which is an ideal in C(S 1 ). It is easily checked that () J has
the multiplier Rokhlin property and that the induced action on C(S 1 )/J
= C2
has the Rokhlin property. As in Example 2.4, however, itself does not have the
Rokhlin property.
We now turn to Ktheoretic freeness. As Theorem 1.6 shows, Ktheory gives
a neat condition for an action of a compact Lie group on a compact space to be
free. The book [58] mostly describes the eort to turn this result into a denition
of freeness of actions on C*algebras. Also see the survey [57]. This idea is useless
if there is no Ktheory. For example, the trivial action on any C*algebra of the
form O2 A is Ktheoretically free. Moreover, unlike for actions on C(X), for C*algebras the condition of Theorem 1.6 passes neither to quotients by invariant ideals
nor to subgroups, so it is necessary to build these features into the noncommutative denition. (Example 4.1.7 of [58] implies that the property does not pass to
quotients by invariant ideals, although it is stated in terms of the ideal rather than
the quotient. Example 2.22 below gives an action of Z4 on a UHF algebra which
satises the condition of Theorem 1.6, but such that the restriction of the action to
the subgroup Z2 Z4 does not; the restriction is in fact inner.) Subject to these
caveats, the denition permits some interesting results, such as for C*algebras of
type I and for product type actions on UHF algebras. It covers on S 1 ,
unlike the Rokhlin property.
Equivariant Ktheory for an action of a compact group G on a C*algebra A,
denoted KG (A), is as in Chapter 2 of [58]. Like the equivariant Ktheory of a space,
as discussed before Theorem 1.6, it is a module over the representation ring R(G),
and for a prime ideal P R(G), the localization KG (A)P is dened. The following
is from Denitions 4.1.1, 4.2.1, and 4.2.4, and the discussion after Denition 4.2.1,
in [58]. The term locally discrete Ktheory refers to the I(G)adic topology on
KG (A); see discussion after Denition 4.1.1 in [58].
Definition 2.18. Let A be a C*algebra, and let : G Aut(A) be an action
of a nite group G on A. We say that has locally discrete Ktheory if for every
prime ideal P in the representation ring R(G) which does not contain I(G), the
localization KG (A)P is zero. We say that is Kfree if for every invariant ideal
I A, the induced action on A/I has locally discrete Ktheory. We say that is
totally Kfree if for every subgroup H G, the restricted action H is Kfree.
Other related conditions, including ones involving equivariant KKtheory, and
many more results and examples than can be discussed here, can be found in [58].
Also see the survey [57].
The denition generalizes reasonably to actions of compact Lie groups, but not
to actions of noncompact groups.
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N. CHRISTOPHER PHILLIPS
Next, we need only consider elements of I(G) which span I(G), so it suces to
prove that if V is a nite dimensional unitary representation space of G, with
representation g ug , and if V0 is the same space with the trivial action of G,
then ([V ] [V0 ])[p] = 0 in K0 (G). Now let , 0 : A L(V0 V ) A be the
maps dened by 0 (a) = (1V0 0) a and (a) = (0 1V ) a. By Remark 2.4.6
of [58], it suces to nd a Ginvariant element y L(V0 V ) A such that
y y = 0 (p) and yy = (p). Note that the action of G on L(V0 V ) A is given
by g g = Ad(1 ug ) g .
+ 2n). Let (eg )gG be a family of Rokhlin
Set n = card(G) and = 1/(n2
projections for , {p}, and . Set w0 = hG uh eh , which is a unitary in L(V )A.
Since V0 = V as vector spaces, we can identify L(V0 V ) A with M2 (L(V ) A),
and dene w L(V0 V ) A by
0 w0
.
w=
w0 0
In matrix form, we have
0
1V p 0
0 w0
w0 (p)w =
0
0
w0 0
w0
w0
0
0
0
0
w0 (1V p)w0
.
ugh1 eg peh ugh1 eg eh p
g,hG
peh eh p < n2 .
hG
Thus, w0 (p)w (p) < n . With xg =
hG ugh g (eh ), a calculation
shows that
0 xg
.
g (w) =
xg 0
Therefore
g (w) w = xg w0
g (eh ) egh < n.
hG
0 (p)g (w) (p)h (w)0 (p) 0 (p) < 1.
Now set
b=
bb (p) < 1.
Therefore, with functional calculus evaluated in 0 (p) L(V0 V ) A 0 (p), the
Ginvariant element y = b(b b)1/2 satises y y = 0 (p) and yy = (p).
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17
Corollary 2.24. Let A be a unital C*algebra, let G be a nite group, and let
: G Aut(A) have the Rokhlin property. Then is totally Kfree.
Proof. By Lemma 4.1.4 of [58], it suces to prove that for every subgroup
H G and every Hinvariant ideal I A, the action of H on A/I induced
by H has locally discrete Ktheory. Now has the Rokhlin property by parts
(1) and (2) of Proposition 2.14. So I(H)KH (A/I) = 0 by Proposition 2.23. The
conclusion now follows from Proposition 4.1.3 of [58].
We return to the relationship between (total) Kfreeness and the Rokhlin property after discussing permanence properties.
Proposition 2.25. Let A be a unital C*algebra, let G be a nite group, and
let : G Aut(A) be an action of G on A.
(1) If I A is a invariant ideal, then is totally Kfree if and only if () I
and the induced action of G on A/I are both totally Kfree.
(2) If is totally Kfree, and if H G is a subgroup, then H is totally
Kfree.
(3) If A = lim An is a direct limit of C*algebras, and : G Aut(A) is an
(n)
each n, the restriction H Jn has locally discrete Ktheory. Therefore so does
H J .
One can also say a limited amount about actions on tensor products. See
Section 6.6 of [58].
We now come back to the relationship with the Rokhlin property.
Example 2.26. Let : Z2 A be the action of Example 2.5. The C*algebra A is a simple AF algebra. The construction of , together with Theorem 2.19 and Proposition 2.25(3), imply that is totally Kfree. However, we saw
in Example 2.5 that does not have the Rokhlin property and that C (Z2 , A, )
is not AF. In particular, the crossed product of a simple AF algebra by a totally
Kfree action need not be AF. In fact, parts (2a), (2b), and (2c) of Theorem 2.6 all
fail with total Kfreeness in place of the Rokhlin property.
It seems to us that the fault is again with the Rokhlin property. The conclusion
of Proposition 2.23 stronger than ought to hold for a version of noncommutative
freeness. Indeed, there is a free action of a nite group G on a compact metric
space X such that I(G)K (C(X)) = 0. For example, the actions of G = Z2 on S 2n
and S 2n+1 generated by x x give
0
0
KG
(S 2n )
(S 2n+1 )
= KG
= R(G)/I(G)n+1 ,
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N. CHRISTOPHER PHILLIPS
as can be seen from Corollary 2.7.5 and the discussion after Corollary 2.7.6 in [4].
It then also follows (using the proof of Proposition 4.2 of [61]) that suitable choices
for A in Example 2.5 give I(G)K0G (A) = 0.
Problem 2.27. Suppose that A is a unital AF algebra, G is a nite group,
and : G Aut(A) is a totally Kfree action which is a direct limit of actions on
nite dimensional C*algebras. Does it follow that has the Rokhlin property?
One might want to assume that A is simple, or even that is a product type
action. For product type actions of Z2 , this is contained in Example 2.21.
It seems that the Rokhlin property and (total) Kfreeness attempt to detect,
not quite successfully, a strong version of freeness of actions of nite groups on C*algebras, something which, to borrow a suggestion from Claude Schochet, might
be called a noncommutative covering space. The Rokhlin property is too strong,
even apart from the existence of projections, as is shown by Example 2.5, while
conditions involving Ktheory are too weak when there is no Ktheory. The following problem thus seems interesting, even though it is not clear what applications it
might have.
Problem 2.28. Find a well behaved version of freeness of nite group actions
on unital C*algebras which agrees with total Kfreeness for actions on AF algebras
and type I C*algebras, and agrees with the Rokhlin property for actions on the
Cuntz algebra O2 .
One would hope for the following:
(1) The condition should pass to invariant ideals, to quotients by invariant
ideals, and to subgroups. It should also be preserved under extensions.
(2) The condition should be preserved when taking tensor products with arbitrary actions (with an arbitrary tensor norm such that the action extends
to the tensor product).
(3) The condition should be equivalent to total Kfreeness for direct limit
actions on AH algebras.
(4) The condition should imply total Kfreeness for general unital C*algebras.
(5) The Rokhlin property should imply the condition for general unital C*algebras.
(6) For type I C*algebras, the condition should be equivalent to free action
on the primitive ideal space.
(7) The condition should imply strong pointwise outerness (Denition 4.11
below) for arbitrary unital C*algebras.
Example 2.26 shows that the freeness condition we are asking for should not
imply the Rokhlin property for actions on UHF algebras. It is not actually clear
that the right condition should imply the Rokhlin property for actions on O2 . As
evidence that a dierence between behavior on UHF algebras and on O2 should be
expected, consider the tensor ip A , the action of Z2 on A min A generated by
a b b a. If A is a UHF algebra, then A never has the Rokhlin property ([53])
and is never Kfree. (These statements follow easily from Example 2.21.) However,
O2 does have the Rokhlin property, by Example 5.2 of [25].
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N. CHRISTOPHER PHILLIPS
trivial action on C would have the tracial Rokhlin property (except for the condition (4)), for the rather silly reason that the hereditary subalgebra in Condition (3)
cant be small.
Problem 3.2. Is there a reasonable formulation of the tracial Rokhlin property
in terms of central sequence algebras? We would like something analogous to the
formulation of the Rokhlin property given in Remark 2.2.
As for the Rokhlin property, the tracial Rokhlin property is only useful when
the algebra has a sucient supply of projections. The denition is only given for
simple C*algebras, because we dont know the proper formulation of Condition (3)
without simplicity. We discuss these issues further below.
A version of this denition for actions of Z was given in [50]. The analog of
Condition (4) was omitted, and the algebra was required to be stably nite. A
slightly dierent version for Z, called the tracial cyclic Rokhlin property, appears
in Denition 2.4 of [39].
Since we require algebras with actions with the tracial Rokhlin property to
be simple, unital, and innite dimensional, they cant be type I. Thus, one of our
standard examples is irrelevant. For product type actions of Z2 , we have:
Example 3.3. Let : Z2 Aut(A) be as in Denition 1.10. Then the following
are equivalent:
(1) has the tracial Rokhlin property.
(2) If is the action induced by on the type II1 factor obtained from the
trace via the GelfandNaimark Segal construction, then is outer.
(3) For all N, we have
d(n) 2k(n)
= 0.
d(n)
n=N
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21
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N. CHRISTOPHER PHILLIPS
Example 3.11. The action : Z2 Aut(A) of Example 2.5 satises the tracial
Rokhlin property, by Proposition 4.2(3) of [61]. Since A is a simple AF algebra
and K0 (C (Z2 , A, )) has torsion, it follows that crossed products by actions of
nite groups with the tracial Rokhlin property do not preserve any of the classes
of AF algebras, AI algebras, or AT algebras.
In addition, if : G Aut(A) has the tracial Rokhlin property, and A is simple,
stably nite, and innite dimensional, then the restriction map from tracial states
on C (G, A, ) to invariant tracial states on A is bijective. (See Proposition 5.7
of [11].) This is also false for general outer actions. (See Examples 3.3 and 4.2.)
The big advantage of the tracial Rokhlin property is that it is common (at least
on simple C*algebras with many projections), while the Rokhlin property is rare.
Example 3.12. The following actions have the tracial Rokhlin property but not
the Rokhlin property. The citations are for proofs that the actions in question have
the tracial Rokhlin property; failure of the Rokhlin property is discussed afterwards.
(1) The action of Zn on a simple higher dimensional noncommutative torus
which multiplies one of the standard generators by exp(2i/n). (This is
Proposition 2.10 of [60].)
(2) The ip action of Z2 on a simple higher dimensional noncommutative
torus. (See Corollary 5.12 of [11].)
(3) The standard actions of Z3 , Z4 , and Z6 on an irrational rotation algebra.
(See Corollary 5.11 of [11].)
(4) For an arbitrary UHF algebra, many product type actions of Z2 . (See
Example 3.3.)
(5) Blackadars example [7] of an action of Z2 on
n=1 M2 such that the
crossed product is not AF. (See Proposition 3.4 of [61].)
(6) The actions of Example 2.5. (See Proposition 4.2 of [61].)
(7) Actions : Z2 Aut(A) similar to those of Example 2.5, as in Proposition 4.6 of [61]. Here, A is a simple AF algebra and K1 (C (Z2 , A, )) = 0.
(8) The tensor ip on A A for many stably nite simple approximately
divisible C*algebras A. (See [53].)
As we will see, in many of these cases, in particular, in (1), (2), (3), (4) for odd
UHF algebras, (6), and many cases of (8), there does not exist any action of the
group on the C*algebra which has the Rokhlin property.
There is one obvious obstruction to the Rokhlin property. Let A be a unital
C*algebra. Let n Z>0 . Suppose, for simplicity, that the ordered group K0 (A)
has no nontrivial automorphisms which x [1], and that [1] is not of the form
n for any K0 (A). Then no group G with card(G) = n admits any action
: G Aut(A) with the Rokhlin property. Simply take < 1 in Denition 2.1 to
get g (e1 ) Murrayvon Neumann equivalent to eg for all g G, and use triviality
of (g ) to get [g (e1 )] = [e1 ] in K0 (A). So one would get n[e1 ] = [1].
It is now immediate that no action of any nontrivial nite group on any irrational rotation algebra can have the Rokhlin property. Similarly, for any odd
m 3, no action of Z2 on the m UHF algebra can have the Rokhlin property.
For the same reason, no action of Z2 on any odd Cuntz algebra or on O has the
Rokhlin property.
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23
Proposition 3.13 rules out the actions in parts (2) and (6) of Example 3.12. It
also shows that if a UHF algebra admits an action of Z2 with the Rokhlin property,
then it must tensorially absorb the 2 UHF algebra. Even on UHF algebras which
satisfy this condition, Example 2.3 shows that most product type actions of Z2
do not have the Rokhlin property.
Theorem 2.7 contains a Ktheoretic restriction of a dierent kind.
By contrast, there is no apparent Ktheoretic obstruction to the Rokhlin property for actions of Z, and there is no action of Z which is known to have the tracial
Rokhlin property but known not to have the Rokhlin property.
The actions in parts (1), (3), and (2) of Example 3.12 play a key role, via
Theorem 3.7, in the proofs of the following recent solutions to open problems on
the structure of certain crossed product C*algebras. In none of these proofs is
outerness of the action sucient (Example 3.10 shows that crossed products by
such actions do not necessarily preserve tracial rank zero), while on the other hand
the discussion above shows that none of the actions has the Rokhlin property.
Theorem 3.14 (Theorem 3.8 of [60]). Let be a nondegenerate skew symmetric real d d matrix, with d 2. Then the noncommutative dtorus A is a simple
AT algebra with real rank zero.
The relevance of actions of nite groups is that they allow reduction of the
general case to the case in which A can be written as an iterated crossed product
by actions of Z in such a way that all the intermediate crossed products are simple.
This case was solved by Kishimoto (Corollary 6.6 of [36]).
The action and the subgroups which appear in the following theorem are described, for example, in the introduction to [11].
Theorem 3.15 (Theorem 0.1 of [11]). Let R \ Q. Let A be the irrational
rotation algebra, and let : SL2 (Z) Aut(A ) be the standard action of SL2 (Z)
on A . Let F be any of the standard nite subgroups Z2 , Z3 , Z4 , Z6 SL2 (Z). Then
the crossed product C (F, A , F ) is an AF algebra.
(The case F = Z2 was already known [8].)
Theorem 3.16 (Theorem 0.4 of [11]). Let A be the noncommutative dtorus
corresponding to a nondegenerate skew symmetric real d d matrix . Let : Z2
Aut(A ) denote the ip action. Then C (Z2 , A , ) and the xed point algebra
AZ2 are AF algebras.
The tracial Rokhlin property has the following permanence property:
Proposition 3.17 (Lemma 5.6 of [11]). Let A be an innite dimensional simple unital C*algebra, and let : G Aut(A) be an action of a nite group G on
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N. CHRISTOPHER PHILLIPS
A which has the tracial Rokhlin property. Let H be a subgroup of G. Then H has
the tracial Rokhlin property.
Permanence properties involving ideals, quotients, and extensions dont make
sense, since the tracial Rokhlin property is (so far) dened only for actions on
simple C*algebras. It seems plausible that a direct limit of actions with the tracial
Rokhlin property again has the tracial Rokhlin property, but nobody has checked
this.
Problem 3.18. Let G be a nite group, let A and B be innite dimensional
simple unital C*algebras, let : G Aut(A) be an action with the tracial Rokhlin
property, and let : G Aut(B) be an arbitrary action. Does it follow that
min : G Aut(A min B) has the tracial Rokhlin property? (We use the
minimal tensor product to ensure simplicity.)
Lemma 3.9 of [59] is the very special case B = Mn and is inner. Proposition 4.3 of [39] gives a related result for actions of Z which have the tracial cyclic
Rokhlin property, Denition 2.4 of [39]. The assumptions are that A is simple,
unital, and has tracial rank zero, that B is simple, unital, and has tracial rank
at most one, that Aut(A) has the tracial cyclic Rokhlin property, and that
Aut(B) is arbitrary. The conclusion is that min Aut(A min B) has the
tracial cyclic Rokhlin property. The same proof gives the following result, pointed
out to us by Hiroyuki Osaka:
Proposition 3.19 (Osaka). Let G be a nite group, let A and B be innite
dimensional simple unital C*algebras, let : G Aut(A) be an action with the
tracial Rokhlin property, and let : G Aut(B) be an arbitrary action. Suppose
A has tracial rank zero and B has tracial rank at most one. Then min : G
Aut(A min B) has the tracial Rokhlin property.
The key point is that the condition on 1 gG eg in Denition 3.1(3) can
be veried by using the values of tracial states on this element. A general positive
solution to Problem 3.18 requires relating hereditary subalgebras in A min B to
hereditary subalgebras in A, which might be dicult.
The tracial Rokhlin property, as given in Denition 3.1, suers from three major
defects: the algebra must be unital, it must have many projections, and it must be
simple.
Presumably the nonunital simple case can be handled by something like Definition 2.15. However, the correct analog of Condition (3) of Denition 3.1 is not
clear.
Archey [3] has made progress toward handling the simple unital case with few
projections. We refer to [3] for unexplained terminology in the following. Condition (3) is redundant, but under some conditions Condition (4) can be omitted,
leaving only the simpler Condition (3).
Definition 3.20 ([3]). Let A be an innite dimensional stably nite simple
unital C*algebra, and let : G Aut(A) be an action of a nite group G on A.
We say that has the projection free tracial Rokhlin property if for every nite
set F A, every > 0, and every positive element x A with x = 1, there
are mutually orthogonal positive elements ag A for g G with ag = 1 for all
g G, such that:
(1) g (ah ) agh < for all g, h G.
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25
(2) ag c cag
< for all g G and all c F.
(3) With a = gG ag , we have (1 a) < for every tracial state on A.
(4) With a = gG ag , the element 1a is Cuntz subequivalent to an element
of the hereditary subalgebra of A generated by x.
For example, let Z be the JiangSu algebra [29]. Then Z Z has no nontrivial
projections. Archey shows [3] that the tensor ip on Z Z generates an action of
Z2 with the projection free tracial Rokhlin property. The other hypotheses of the
following theorem are also satised. Again, see [3] for unexplained terminology.
Theorem 3.21 ([3]). Let A be an innite dimensional stably nite simple unital
C*algebra with stable rank one and with strict comparison of positive elements.
Further assume that every 2quasitrace on A is a trace, and that A has only nitely
many extreme tracial states. Let : G Aut(A) be an action of a nite group G
on A which has the projection free tracial Rokhlin property. Then C (G, A, ) has
stable rank one.
One possible next step is to ask whether there is an analog of Theorem 3.5 using
the projection free tracial Rokhlin property, say for actions on simple separable
unital nuclear Zstable C*algebras with a unique tracial state. For that matter, one
might try using outerness in the GelfandNaimarkSegal representation associated
with a tracial state as a hypothesis for theorems on preservation of structure in
crossed products.
Finding the right denition for nonsimple C*algebras seems to be the most
dicult problem. One guide is that a free action on a compact metric space should
presumably have the tracial Rokhlin property. There is work in progress for actions
of Z on quite special nonsimple C*algebras.
4. Pointwise outerness
Pointwise outerness is easy to dene and, at least for discrete groups acting
on simple C*algebras, has useful consequences. This and related conditions have
mostly been used to prove simplicity of crossed products C (G, A, ) when G is
discrete and A has no nontrivial Ginvariant ideals, or, more generally, that every
ideal in C (G, A, ) is the crossed product by an invariant ideal of A. There are
also theorems on preservation of structure, for example for pure inniteness and
Property (SP).
Like Ktheoretic freeness, pointwise outerness does not pass to invariant ideals
or their quotients. A useful condition for actions on nonsimple algebras must therefore be stronger. A number of strengthenings have been used. Recently introduced conditions include topological freeness [1], essential freeness of the action
on the space of unitary equivalence classes of irreducible representations [70], and
the Rokhlin* property [70]. In Denition 4.11 below, we give another possible
strengthening: requiring pointwise outerness for all actions of subgroups on invariant subquotients of the algebra. But we do not know how useful this condition
is.
Definition 4.1. An action : G Aut(A) is said to be pointwise outer if, for
g G \ {1}, the automorphism g is outer, that is, not of the form a Ad(u)(a) =
uau for some unitary u in the multiplier algebra M (A) of A.
Such actions are often just called outer.
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26
N. CHRISTOPHER PHILLIPS
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27
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28
N. CHRISTOPHER PHILLIPS
action on another. Although, to our knowledge, nothing has been done with it, the
most obvious way to rule out such actions seems to be the following denition. It
is motivated by Theorem 1.4 and adapted from [55].
Definition 4.11. An action : G Aut(A) is said to be strongly pointwise
outer if, for every g G \ {1} and any two g invariant ideals I J A with
I = J, the automorphism of J/I induced by g is outer.
Theorem 4.12. Let : G Aut(A) be an action of a compact metrizable
group G on a type I C*algebra A. Then is strongly pointwise outer if and only
if induces a free action on Prim(A).
Proof. Suppose the action of G on Prim(A) is not free. We prove that
is not strongly pointwise outer. Corollary 8.1.2 of [58] provides a Ginvariant
composition series (I ) , for some ordinal , such that each composition factor
I+1 /I has Hausdor primitive ideal space. Choose g G \ {1}, < , and
P Prim(I+1 /I ) such that gP = P. Set B = I+1 /I . Then g descends to an
automorphism of B/P. Since B has type I and B/P is simple, there is a Hilbert
space H such that B/P
= K(H). Because all automorphisms of K(H) are inner,
we have contradicted strong pointwise outerness.
Now suppose the action on Prim(A) is free. Let g G \ {1} and let I J A
be g invariant ideals with I = J. Then Prim(J/I) is a nonempty ginvariant subset
of Prim(A), and the automorphism of J/I induced by g is therefore nontrivial on
Prim(J/I). Thus, this automorphism cant be inner.
For any C*algebra A, free action of the group on Prim(A) clearly implies the
conditions used in Theorems 4.7 and 4.8. Hence, by Theorem 2.10 of [70], this
condition implies the Rokhlin* property.
The following example shows that in Denition 4.11 it is not enough to assume
that the action on every g invariant ideal is outer, or that the action on the
quotient by every g invariant ideal is outer, or even both. The action fails to have
However, it is topologically
the Rokhlin* property and is not essentially free on A.
free in the sense used in Theorem 4.7. Topological freeness is therefore not enough
to obtain the conclusion of Theorem 4.8.
Example 4.13. We construct an action : G Aut(A), with G = Z2 and in
which A is a separable type I C*algebra, with the following properties:
(1) For every g G \ {1} and any g invariant ideal I A with I = A, the
automorphism of A/I induced by g is outer.
(2) For every g G \ {1} and any g invariant ideal I A with I = {0}, the
automorphism of I induced by g is outer.
(3) is not strongly pointwise outer.
(4) The action of G on Prim(A) is not free.
(5) is topologically free in the sense used in Theorem 4.7.
is not essentially free in the sense used in Theo(6) The action of G on A
rem 4.8.
(7) does not have the Rokhlin* property.
(8) There is an ideal in C (G, A, ) not of the form C (G, I, () I ) for any
Ginvariant ideal I A.
Let K = K(H) be the algebra of compact operators on a separable innite
dimensional Hilbert space H. Let e1 , e2 L(H) be two innite rank projections
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29
and
J = K B0 .
{P1 },
{L1 , L, P1 , P2 },
{P2 },
{P1 , P2 },
{L2 , L, P1 , P2 },
{L, P1 , P2 },
and
Prim(A).
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N. CHRISTOPHER PHILLIPS
The following example shows that it is not enough to consider only subquotients
invariant under the entire group, even when the algebra is commutative. In this
example, the action is not topologically free.
Example
4.14. Let G be a nite group, and let H G be a nontrivial subgroup
such that gG gHg 1 = {1}. For example, take G to be the symmetric group S3
and take H to be one of its two element subgroups. Let G act on X = G/H by
translation, and let be the corresponding action on A = C(G/H). In the example
using an order two subgroup of S3 , the action of S3 on X is just the usual action
of S3 on a three element set by permutations.
The stabilizer of gH X is gHg 1 . Since gG gHg 1 = {1}, every element
of G \ {1} acts nontrivially on X, so that is pointwise outer. Since is minimal,
is pointwise outer on J/I for every pair of Ginvariant ideals I J with I = J.
However, one easily checks that is not strongly pointwise outer. (This also follows
from Theorem 4.12, or from Theorem 1.4.)
Corollary 2.10 of [18] implies that C (G, G/H)
= K(L2 (G/H))C (H). Even
though the action is minimal, this crossed product is not simple.
The analog of Theorem 4.6 would be a positive solution to the following problem.
Problem 4.15. Let : G Aut(A) be a strongly pointwise outer action of a
countable discrete group. Does it follow that every ideal J Cr (G, A, ) has the
form Cr (G, I, () I ) for some Ginvariant ideal I A?
Note that the desired conclusion fails in Examples 4.13 and 4.14.
As far as we can tell, this problem is still open, even when G = Z and is
minimal. (If G = Z and one assumes there are no nontrivial g invariant ideals for
all g G \ {0}, then the desired conclusion holds. One substitutes Theorem 2.1
of [33] for Lemma 1.1 of [32] in the reasoning leading to the proof of Theorem 3.1
of [32].)
The converse is false. Theorem 4.7 covers some actions on algebras of the
form C(X) by (necessarily nonabelian) groups which are not free, and the crossed
product in Example 5.6 below is simple even though all the automorphisms are
inner.
The extra hypotheses in Theorems 4.5, 4.7, and 4.8, as well as the Rokhlin*
property of [70] and the notion of proper outerness used by Elliott [12], can be
thought of as ways of getting around the failure of outerness to have good permanence properties (as shown by Examples 4.13 and 4.14). The question is whether
these diculties are solved by asking for strong pointwise outerness.
Like the tracial Rokhlin property, the Rokhlin property implies strong pointwise
outerness:
Proposition 4.16. Let A be a unital C*algebra, let G be a nite group, and
let : G Aut(A) have the Rokhlin property. Then is strongly pointwise outer.
Proof. Let g G \ {1}. Using Proposition 2.14(2), we may assume that
G is generated by g. Let I J A be g invariant ideals with I = J. Using
Proposition 2.14(1), we may assume that I = 0.
Suppose g J is inner, and let u M (J) be a unitary such that g (a) = uau
for all a J. Choose a Ginvariant element a J such that a = 1. Set n =
card(G) and = 1/(15n2 ). Let (eg )gG be a family of Rokhlin projections in A
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31
for , {a, au }, and . (Note that au J A.) Write a =
hG eh a. Since
h (e1 ) eh < and h (a) = a for h G, we get h (e1 a) eh a < for all
h G. Thus
1 = a
eh a <
(h (e1 a) + ) = n(e1 a + ).
hG
hG
So e1 a > .
Using at the rst step g (e1 a) = ue1 au (since e1 a J) and also uau = a
(since g (a) = a), we now get
1
n
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N. CHRISTOPHER PHILLIPS
The following three examples show that, for actions of Z2 on unital Kirchberg
algebras which satisfy the Universal Coecient Theorem, pointwise outerness, Kfreeness, and the Rokhlin property are all distinct, even in situations in which the
Ktheory is suciently nontrivial that Kfreeness should be useful.
Example 4.21. In Denition 1.10, take d(m) = 3 and k(m) = 1 for all m.
Let : Z2 Aut(A) be the resulting action. Then B = O A is a unital
Kirchberg algebra which satises the Universal Coecient Theorem. The action
is pointwise outer by Example 4.2. So = idO is pointwise outer by
Lemma 4.20. The K
unneth formula (Theorem 4.1 of [67]) implies
1 that a 1 a
induces an isomorphism K (A) K (B). Since K0 (A)
Z
=
3 , Proposition 3.13
shows that does not have the Rokhlin property.
We further check that does not have locally discrete Ktheory. There is an
obvious isomorphism : O C (Z2 , A, ) C (Z2 , B, ), which is equivariant for
the dual actions, using the trivial action on O . The K
unneth formula implies that
a (1 a) denes an isomorphism from K (C (Z2 , A, )) to K (C (Z2 , B, ))
which is equivariant for the dual actions. Theorem 2.6.1 and Proposition 2.7.10
of [58] now imply that KZ2 (A)
= KZ2 (B) as R(Z2 )modules. Example 2.21 shows
that does not have locally discrete Ktheory. So neither does .
Example 4.22. Let : Z2 Aut(A) be as in Example 2.5. Then B = O A
is a unital Kirchberg algebra which satises the Universal Coecient Theorem. The
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33
action has the tracial Rokhlin property (Example 3.12(6)), so is pointwise outer
by Proposition 4.3. The proof of Proposition 4.2 of [61] shows that K0 (A) has
a summand isomorphic to the K0 group of an odd UHF algebra. So does not
have the Rokhlin property for the same reason as in Example 4.21. However, in this
example, is totally Kfree. It suces to check that has locally discrete Ktheory.
For this, use Example 2.26 and the same argument as in Example 4.21. (Total Kfreeness has signicant content because the Ktheory of B and of C (Z2 , B, ) is
highly nontrivial.)
Example 4.23. Let : Z2 Aut(O2 ) be as in Example 5.8 of [25]. The nontrivial group element acts on the standard generators s1 and s2 of O2 by s1 s1
and s2 s2 . Then is pointwise outer by the theorem in [41]. In Example 5.8
of [25], it is shown that the xed point algebra O2 is isomorphic to O4 . Thus
K0 O2 K0 (O2 ) is not injective. So Theorem 2.7 implies that does not have
the Rokhlin property. Thus, pointwise outerness does not imply the Rokhlin property even in the absence of obstructions of the type that appear in Proposition 3.13
and the preceding discussion.
It does, however, seem reasonable to hope for a positive solution to the following
problem. It is not clear that our denition of the tracial Rokhlin property is right
for actions on unital purely innite simple C*algebras, and some modication may
be needed.
Problem 4.24. Let A be a unital Kirchberg algebra, let G be a nite group
and let : G Aut(A) be a pointwise outer action. Does it follow that has the
tracial Rokhlin property?
5. Full Connes spectrum
The noncommutative generalization of Theorem 1.3 is saturation. We will,
however, see that saturation is very weak, and we will primarily consider a stronger
condition, hereditary saturation, which can also be expressed in terms of the strong
Connes spectrum. Saturation says that the xed point algebra is essentially the
same as the crossed product. Hereditary saturation turns out to be exactly the
condition needed to ensure that every ideal in the crossed product is the crossed
product of an invariant ideal in the original algebra.
The following lemma is needed as preparation for the denition of saturation.
Lemma 5.1 (Proposition 7.1.3 of [58]). Let : G Aut(A) be an action of a
compact group on a C*algebra A. Then the following denitions make a suitable
completion of A into an AG C (G, A, ) bimodule, which is almost a Morita equivalence bimodule in the sense of the denition on page 287 of [64] (the only missing
condition is that the range of , C (G,A,) need not be dense):
(1)
(2)
(3)
(4)
a x = ax for a AG and x A.
1
xf = G g1
(xf (g))d(g) for x A and f L (G, A, ).
x, yAG = G g (xy ) d(g) for x, y A.
x, yC (G,A,) is the function g x g (y) for x, y A.
The following denition is originally due to Rieel. A version for proper actions
of not necessarily compact groups appears in Denition 1.6 of [66]. Saturation has
been generalized to actions of nite dimensional Hopf *algebras ([72], [28]).
250
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N. CHRISTOPHER PHILLIPS
251
35
These generate an action of G such that g is inner for all g G, but such that
there is no homomorphism g ug U (A) with g = Ad(ug ) for all g G. The
crossed product C (G, M2 , ) is simple.
Lemma 4.18 shows that an analog of Example 5.6 is not possible if G is cyclic
and A is simple.
For actions on C*algebras of type I, we have the following two results. Both
are contained in Theorem 8.3.7 of [58].
Theorem 5.7 ([58]). Let : G Aut(A) be an action of a compact Lie
group G on a type I C*algebra A. If G acts freely on Prim(A), then is hereditarily
saturated.
Theorem 5.8 ([58]). Let : G Aut(A) be an action of a nite cyclic group G
on a type I C*algebra A. Then is hereditarily saturated if and only if G acts freely
on Prim(A).
Example 5.6 shows that the converse of Theorem 5.7 is false.
Hereditary saturation is closely related to the strong Connes spectrum. Parts
(2) and (3) of the following denition are a special case of denitions of Kishimoto.
See the beginning of Section 2 of [31]. The denitions in [31] are given for the case
of an arbitrary locally compact abelian group, and are more complicated because,
without compactness, the eigenspaces in part (1) are usually too small to be useful.
One must use approximate eigenspaces instead. We refer to [31] for the denition
in that case, but we make some comments below about what happens in the locally
compact case.
Definition 5.9 ([31]). Let : G Aut(A) be an action of a compact abelian
group G on a C*algebra A.
the Pontryagin dual of G, we let A A be the eigenspace
(1) For G,
A = {a A : g (a) = (g)a for all g G}.
(2) The strong (Arveson) spectrum Sp()
of is
: A AA = A .
Sp()
= G
(3) The strong Connes spectrum ()
of is the intersection over all nonzero
() B .
Ginvariant hereditary subalgebras B A of Sp
The strong Arveson spectrum is a modication of a much older notion called
the (Arveson) spectrum Sp(), dened for actions of compact groups by the using
the condition A = {0} instead of A AA = A. Thus, the strong Arveson spectrum
is smaller. The Connes spectrum () is then as in Denition 5.9(3), but using
the Arveson spectrum instead of the strong Arveson spectrum. The Connes spectrum was introduced by Connes (Section 2.2 of [9]) for actions on von Neumann
algebras. The main early work for C*algebras was done by Olesen and Pedersen.
See [46], [47], and [48]. Also see Sections 8.1 and 8.88.11 of [56], where a third
version, the Borchers spectrum, is also treated. We briey discuss the signicance
of the dierence after Theorem 5.14. The analog of the strong Connes spectrum for
von Neumann algebras gives the same thing as the Connes spectrum (Remark 2.4
of [31]). Some cases in which ()
= () are discussed at the end of Section 3
of [31].
252
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N. CHRISTOPHER PHILLIPS
253
37
The result probably also holds when G is a second countable compact group,
and the statement about ()
probably holds when G = Z and when G = R.
Proposition 5.16. Let A be an innite dimensional simple unital C*algebra,
let G be a nite group, and let : G Aut(A) have the tracial Rokhlin property.
Then is hereditarily saturated and ()
= G.
Proof. Combine Proposition 4.3, Theorem 4.6, and Corollary 5.12.
For the relationship with strong pointwise outerness, the following easy to get
results are all we know. However, strong pointwise outerness ought to imply hereditary saturation in much greater generality.
Proposition 5.17. Let A be a simple unital C*algebra, let p be a prime, and
let : Zp Aut(A) be an action of Zp on A. Then is hereditarily saturated if
and only if is pointwise outer.
Proof. The crossed product C (Zp , A, ) is simple if and only if is pointwise
outer, by Lemma 4.19 and Theorem 4.6. Also, C (Zp , A, ) is simple if and only if
is hereditarily saturated, by Corollary 5.12.
Proposition 5.18. Let : G Aut(A) be a pointwise outer action of a nite
group G on a simple C*algebra A. Then is hereditarily saturated.
Proof. Combine Theorem 4.6 and Corollary 5.12.
254
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N. CHRISTOPHER PHILLIPS
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281(1975), 1315.
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uck, N. C. Phillips, and S. Walters, The structure of crossed products of irrational rotation algebras by nite subgroups of SL2 (Z), preprint (arXiv: math.OA/0609784).
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Univ. Math. J. 33(1984), 479509.
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Anal. 45(1982), 169176.
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312320.
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233(2007), 125143.
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Amer. Math. Soc., Providence RI, 2001.
[25] M. Izumi, Finite group actions on C*algebras with the Rohlin property. I , Duke Math. J.
122(2004), 233280.
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184(2004), 119160.
[27] J. A. Jeong and H. Osaka, Extremally rich C*crossed products and the cancellation property,
J. Austral. Math. Soc. (Series A) 64(1998), 285301.
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C*algebras, International J. Math. 19(2008), 125144.
[29] X. Jiang and H. Su, On a simple unital projectionless C*algebra, Amer. J. Math. 121(1999),
359413.
[30] V. F. R. Jones, Actions of nite groups on the hypernite type II1 factor , Mem. Amer. Math.
Soc. 28(1990), no. 237.
[31] A. Kishimoto, Simple crossed products of C*algebras by locally compact abelian groups,
Yokohama Math. J. 28(1980), 6985.
[32] A. Kishimoto, Outer automorphisms and reduced crossed products of simple C*algebras,
Commun. Math. Phys. 81(1981), 429435.
[33] A. Kishimoto, Freely acting automorphisms of C*algebras, Yokohama Math. J. 30(1982),
3947.
[34] A. Kishimoto, Actions of nite groups on certain inductive limit C*algebras, International
J. Math. 1(1990), 267292.
[35] A. Kishimoto, A Rohlin property for oneparameter automorphism groups, Comm. Math.
Phys. 179(1996), 599622.
[36] A. Kishimoto, Unbounded derivations in AT algebras, J. Funct. Anal. 160(1998), 270311.
[37] H. Lin, Tracially AF C*algebras, Trans. Amer. Math. Soc. 353(2001), 693722.
[38] H. Lin, The tracial topological rank of C*algebras, Proc. London Math. Soc. 83(2001), 199
234.
[39] H. Lin and H. Osaka, The Rokhlin property and the tracial topological rank , J. Funct. Anal.
218(2005), 475494.
[40] H. Lin and H. Su, Classication of direct limits of generalized Toeplitz algebras, Pacic J.
Math. 181(1997), 89140.
[41] K. Matsumoto and J. Tomiyama, Outer automorphisms on Cuntz algebras, Bull. London
Math. Soc. 25(1993), 6466.
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[42] H. Nakamura, The Rohlin property for Z2 actions on UHF algebras, J. Math. Soc. Japan
51(1999), 583612
[43] H. Nakamura, Aperiodic automorphisms of nuclear purely innite simple C*algebras, Ergod.
Th. Dynam. Sys. 20(2000), 17491765.
[44] H. Nakamura, Aperiodic automorphisms of certain simple C*algebras, pages 145157 in:
Operator Algebras and Applications (Adv. Stud. Pure Math. vol. 38), Math. Soc. Japan,
Tokyo, 2004.
[45] A. Ocneanu, Actions of Discrete Amenable Groups on von Neumann Algebras, SpringerVerlag Lecture Notes in Math. no. 1138, SpringerVerlag, Berlin, 1985.
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J. Funct. Anal. 30(1978), 179197.
[47] D. Olesen and G. K. Pedersen, Applications of the Connes spectrum to C*dynamical systems, II , J. Funct. Anal. 36(1980), 1832.
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groups, J. Analyse Math. 48(1987), 1141.
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with the tracial Rokhlin property, Ergod. Th. Dynam. Sys. 26(2006), 15791621.
[51] H. Osaka and N. C. Phillips, Furstenberg transformations on irrational rotation algebras,
Ergod. Th. Dynam. Sys. 26(2006), 16231651.
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actions with the tracial Rokhlin property, in preparation.
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Math. (2) 73(1961), 295323.
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in preparation.
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New York, San Francisco, 1979.
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Group Actions on Rings, S. Montgomery (ed.), Contemporary Mathematics vol. 43, Amer.
Math. Soc., Providence RI, 1985.
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SpringerVerlag Lecture Notes in Math. no. 1274, SpringerVerlag, Berlin, Heidelberg, New
York, London, Paris, Tokyo, 1987.
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preprint (arXiv: arXiv:0704.3651v3 [math.OA]).
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preprint (arXiv: math.OA/0609783).
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Math. Soc., to appear.
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operator algebras (Philadelphia, PA, 1988), Progress in Mathematics vol. 84, Birkh
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Contemporary Mathematics
Volume 503, 2009
.
1. Cartan subalgebras of C algebras
I recall in this section some denitions and results of [R3], to which I refer the
reader for a more complete exposition.
Definition 1.1. We shall say that an abelian subC algebra B of a C algebra
A is a Cartan subalgebra if
(1) B contains an approximate unit of A;
(2) B is maximal abelian;
(3) B is regular;
(4) there exists a faithful conditional expectation P of A onto B.
The main result of [R3] is a C algebraic version of FeldmanMoores well
known theorem [FM2] on Cartan subalgebras in von Neumann algebras. This
theorem establishes an equivalence of categories between twisted countable standard measured equivalence relations and Cartan subalgebras in von Neumann algebras on separable Hilbert spaces. A notable dierence in the topological case is
that equivalence relations (also known as principal groupoids) have to be replaced
by topologically principal groupoids. The denition of a topologically principal
groupoid is related to the denition of a topologically free action, as given in [To,
Denition 2.1].
Definition 1.2. We say that a groupoid G on a topological space X (this
means that G has X = G(0) as its unit space) is topologically principal if the set of
points of X with trivial isotropy is dense.
All our examples of topologically principal groupoids will be groupoids of germs.
Suppose that an inverse semigroup acts on a topological space X by partial
homeomorphisms (i.e. homeomorphisms of an open subset of X onto another open
subset). Then the set G of germs of these homeomorphisms form a groupoid: let
1991 Mathematics Subject Classication. Primary 37D35; Secondary 46L85.
Key words and phrases. C*algebras, masas, Cartan subalgebras, groupoids.
1
259
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2009
American Mathematical Society
260
2
JEAN
JeanRENAULT
Renault
We identify X with G(0) through the map x [x, id, x], where id is the identity
map of X. The topology of germs turn G into an etale topological groupoid (etale
means that the range and source maps are local homeomorphisms). Such a groupoid
is not necessarily Hausdor, even if the unit space X is Hausdor, as we usually
assume. If is countable and G(0) is a Baire space, then G is topologically principal.
Conversely, let G be an etale topological groupoid on a topological space X. Then,
the inverse semigroup of its open bisections acts on X by partial homeomorphisms.
The corresponding groupoid of germs is a quotient of G. One says that G is eective
if this quotient map is injective. If G is Hausdor and topologically principal, then
it is eective.
Let me also recall the construction of the reduced C algebra of a Hausdor
locally compact groupoid G equipped with a left Haar system = {x }. When
G is etale, one uses the counting measures on the bers Gx = r 1 (x) as a Haar
system. The following operations turn the space Cc (G) of compactly supported
complexvalued continuous functions on G into an involutive algebra:
f g() = f ( )g( 1 )ds() ( );
f () = f ( 1 ).
For each x G(0) , one denes the representation x of Cc (G) on the Hilbert space
L2 (Gx , x ), where Gx = s1 (x) and x = (x )1 , by x (f ) = f . One denes
the reduced norm f r = sup x (f ). The reduced C*algebra Cr (G) is the
completion of Cc (G) for the reduced norm. We shall need a slight generalization of
the above construction. A twist over a groupoid G is a groupoid extension
TX E G
where T is the circle group, X is a space and, at the level of the unit spaces, the maps
X E (0) G(0) are identication maps. In the topological setting, we require
the maps to be continuous and the identication maps to be homeomorphisms. We
replace the complexvalued functions by the sections of the associated complex line
bundle. Essentially the same formulas as above provide the C*algebra Cr (G, E).
Theorem 1.3. [R3] Let (G, E) be a twist with G etale, second countable locally compact Hausdor and topologically principal. Then C0 (G(0) ) is a Cartan
subalgebra of Cr (G, E).
Conversely, let B be a Cartan subalgebra of a separable C*algebra A. Then,
there exists a twist (G, E) with G etale, second countable locally compact Hausdor and topologically principal and an isomorphism of Cr (G, E) onto A carrying
C0 (G(0) ) onto B.
This theorem extends a theorem of Kumjian [Ku2] who deals with the principal
case and introduces the stronger notion of a diagonal. It requires the property of
unique extension of states, which is studied in [G, ABG].
Definition 1.4. One says that a subC*algebra B of a C*algebra A has the
unique extension property if all pure states of B extend uniquely to pure states of A.
EXAMPLES OF MASAS
IN C*ALGEBRAS
Examples
261
3
A Cartan subalgebra which has the unique extension property is called a diagonal
(or a diagonal subalgebra).
Theorem 1.5. [Ku2, R3] Let B be a Cartan subalgebra of a separable C*algebra A. Let (G, E) be the associated twist. Then, G is principal if and only if B
has the unique extension property.
2. Examples
2.1. Two nonconjugate Cartan subalgebras. Here are examples of C algebras containing at least two nonconjugate diagonal subalgebras (which are not
even isomorphic as algebras). I owe the rst one to A. Kumjian.
1. Let T be the circle and let n be an integer not smaller than 2. Let Dn be the
subalgebra of diagonal matrices in the algebra of matrices Mn (C). The C algebra
C(T) Mn (C) obviously contains C(T) Dn = C(T)n as a diagonal subalgebra.
However, as shown for example in [Ku1, Example 3(iii)], C(T) Mn (C) can be
realized as the crossed product C algebra C(T) Zn , of the action of Zn = Z/nZ
on the circle T by the rotation of angle 2/n. Therefore, it also contains C(T) as a
diagonal subalgebra. Both corresponding equivalence relations are equivalent: they
have the same quotient space T. The rst one is given by the trivial covering map
from T {1, . . . , n} onto T while the second is given by the covering map z z n
from T onto T.
2. Let : G H be a continuous homomorphism of locally compact abelian
groups G, H. Then G acts continuously on H by left multiplication and we can
G
and the crossed product C*algebra H C0 (G). The Fourier transform gives an
isomorphism of these C*algebras.
If G is discrete and is onetoone, C0 (H) is a diagonal subalgebra. Similarly,
is another diagonal subalgebra. Both
is discrete and is onetoone, C0 (G)
if H
conditions happen simultaneously if G is discrete, H is compact, is onetoone
are not
and has dense range. There are such examples where C0 (H) and C0 (G)
isomorphic.
Example 2.1. G = Z2 , H = R/Z, (m, n) = m + n + Z where (1, , ) are
linearly independent over Q.
Remark 2.2. Let us mention a few more examples of nonconjugate diagonal
subalgebras. C. Phillips gives in [Ph] a collection of examples of nonisomorphic
diagonal subalgebras in simple C*algebras. They arise from minimal dieomorphisms. The isomorphism of their C*algebras is established through the classication theory. Cantor minimal systems also provide examples of C*algebras possessing uncountably many nonconjugate diagonal subalgebras (see [R3, Section
6.1]).
2.2. Variations on the cross. The cross consists of the graph of the functions y = x and y = x on the domain [1, 1]. There are several ways to deal with
the singular point (0, 0). We shall present three of them.
The C*algebra A = C([0, 1])M2 (C) has the obvious diagonal B = C([0, 1])
D2 . It is instructive to look at the pairs (Ai , Bi = Ai B), where Ai is one of the
following subalgebras of A.
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JEAN
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A1 = {f A : f (0) =
A2 = {f A : f (0) =
A3 = {f A : f (0) =
A4 =
{f A : f (0) =
a
b
b
a
}
a
a
a
a
}
a
0
0
a
}
a
0
0
b
}
263
5
EXAMPLES OF MASAS
IN C*ALGEBRAS
Examples
if
z = 0}.
This etale equivalence relation gives the diagonal B4 A4 and we have seen that
A1 and A4 are isomorphic C algebras. The isotropy has been eliminated at the
expense of nonHausdorness.
NonHausdor manifolds are a rich source of examples of CCR algebras. Let
us dene a locally compact space as topological space Y such that every point has
a compact Hausdor neighborhood. Such a space is T1 . Let us dene a desingularization of Y as a surjective local homeomorphism : X Y , where X is a
Hausdor locally compact space. Then, the graph R of the equivalence relation
(x) = (x ) on X, endowed with the product topology of X X is an etale equivalence relation. It is proper if and only if Y is Hausdor. The C algebra C (R)
is CCR and its spectrum is homeomorphic to Y (see for example [OC] for these
facts). This provides a convenient way to construct CCR algebras with arbitrary
locally compact spectrum. Let Y be a topological space which is T1 . One says that
two points of Y are separated if they have disjoint neighborhoods and that a point
y Y is Hausdor if it is separated from any other point. The set of Hausdor
points of the spectrum of a separable CCR algebra is a dense G . In many cases
(for example, when the spectrum is compact (not necessarily Hausdor) or in the
case of the C algebra of a connected and simply connected nilpotent Lie group),
the interior of this set is dense. However, in [Di], Dixmier gives an example of a
separable CCR algebra such that the set of Hausdor points of its spectrum has
an empty interior. Here is an easy construction of a similar algebra inspired by
Dixmiers example (I do not know whether the algebras are the same) and also by
the example A4 . Let Z be a Hausdor locally compact space and let {zn , n N}
be a countable subset of Z. Then
R = {(z, (i, j)) Z (N N) : i = j
if
z {zi , zj }}
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EXAMPLES OF MASAS
IN C*ALGEBRAS
Examples
265
7
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cun, Introduction to Foliations and Lie Groupoids, Cambridge University Press, Cambridge, UK, 2003.
[MP] I. Moerdijk and D. Pronk, Orbifolds, sheaves and groupoids, KTheory 12 (1997), 321.
[Mo] M. Molberg, AFequivalence relations, Math. Scand. 99 (2006), no. 2, 247256.
[MRW] P. Muhly, J. Renault and D. Williams, Continuoustrace groupoid C*algebras, III, Trans.
Amer. Math. Soc. 348 (1996), 36213641.
[OC] L. Orlo Clark, Classifying the type of principal groupoid C algebras, J. Operator Theory
57 (2007), no. 2, 251266.
[Ph] N. C. Phillips, Examples of dierent minimal dieomorphisms giving the same C*algebras,
Israel J. Math. 160(2007), 189217.
[R1] J. Renault, A groupoid approach to C algebras, Lecture Notes in Mathematics, Vol. 793
SpringerVerlag Berlin, Heidelberg, New York, 1980.
[R2] J. Renault, The ideal structure of groupoid crossed product C*algebras (avec un appendice
par G. Skandalis), J. Operator Theory 25 (1991), 336.
[R3] J. Renault, Cartan subalgebras in C algebras, Irish Math. Soc. Bulletin 61 (2008), 2963.
[To] J. Tomiyama, The interplay between topological dynamics and theory of C algebras, Lecture
Notes Series, 2, Global Anal. Research Center, Seoul 1992.
dOrl
D
epartment de Math
ematiques, Universite
eans, BP 6759, 45067 Orl
eans Cedex
2, France
Email address: Jean.Renault@univorleans.fr
Contemporary Mathematics
Volume 503, 2009
1. Introduction
1.1. Overview. In the setting of von Neumann algebras, measurable quantum
groupoids in particular compact ones were studied by Enock and Lesieur [6,
5, 8], building on Vallins Hopfvon Neumann bimodules and pseudomultiplicative
unitaries [20, 21] and Haagerups operatorvalued weights.
In this article, we propose a denition of compact quantum groupoids in the
setting of C algebras briey called compact C quantum groupoids building on the notion of a HopfC bimodule and a C pseudomultiplicative unitary
[15, 16, 17]. To each compact C quantum groupoid, we associate a regular C pseudomultiplicative unitary, a dual Hopf C bimodule, and a measurable quantum groupoid. To illustrate the general theory, we outline several examples of
compact C quantum groupoids: the C algebra of continuous functions on a compact groupoid, the reduced C algebra of an etale groupoid with compact base,
and principal compact C quantum groupoids.
Further results on the dual Hopf C bimodule of a compact quantum groupoid
and a detailed discussion of the examples listed above can be found in [19]. An article on the general framework of Hopf C bimodules and C pseudomultiplicative
unitaries is in preparation [15].
1.2. Plan. This article is organized as follows. The denition a compact quantum groupoid in the setting of C algebras and the necessary preliminaries are introduced in Sections 24. Recall that a measured compact groupoid consists of a
2000 Mathematics Subject Classication. Primary 46L55; Secondary 16W30, 46L08, 57T05.
supported by the SFB 478 Geometrische Strukturen in der Mathematik of the DFG
(Deutsche Forschungsgemeinschaft).
c Mathematical
0000
(copyright Society
holder)
c
2009
American
1
267
268
2
THOMAS TIMMERMANN
base space G0 , a total space G, range and source maps r, s : G G0 , a multiplication Gs r G G, a left and a right Haar system, and a quasiinvariant measure
on G0 . Roughly, the corresponding ingredients of a compact C quantum groupoid
are unital C algebras B and A, representations r, s : B popq A, a comultiplication
: A A A, a left and a right Haar weight , : A B popq , and a KMSstate
on B, subject to several axioms. We introduce these ingredients in several steps.
First, we focus on the tuple pB, A, r, , s, q, which can be considered as a compact C quantum graph, and review some related constructions (Section 2). Next,
we construct the ber product A A and the underlying relative tensor product
of Hilbert modules [15, 16, 17] (Section 3). Finally, we give the denition of a
compact C quantum groupoid and establish rst properties like uniqueness of the
Haar weights up to scaling (Section 4).
In Sections 57, we study further properties of compact C quantum groupoids
and give some examples. First, we associate to every compact C quantum groupoid
a fundamental unitary and, using that unitary, a dual Hopf C bimodule and a
measurable quantum groupoid (Section 5). The fundamental unitary generalizes
the multiplicative unitaries of Baaj and Skandalis [1] and can be considered as a
particular pseudomultiplicative unitary in the sense of Vallin [21]. Second, we
sketch examples of compact C quantum groupoids related to centervalued traces
on C algebras and to compact or etale groupoids (Section 6, 7).
1.3. Preliminaries. Let us x some general notation and terminology.
Given a subset Y of a normed space X, we denote by rY s X the closed linear
span of Y . Given a Hilbert space H and a subset X LpHq, we denote by X 1 the
commutant of X. Given a C algebra A and a C subalgebra B M pAq, we denote
by A X B 1 the relative commutant ta P A  ab ba for all b P Bu. All sesquilinear
maps like inner products of Hilbert spaces are assumed to be conjugatelinear in
the rst component and linear in the second one.
We shall make extensive use of (right) Hilbert C modules [7].
Let A and B be C algebras. Given Hilbert C modules E and F over B,
we denote the space of all adjointable operators from E to F by LB pE, F q. Let
E and F be C modules over A and B, respectively, and let : A LB pF q be a
homomorphism. Recall that the internal tensor product E b F is a Hilbert C module over B [7, 4] and the closed linear span of elements b , where P E and
P F are arbitrary, and x b  1 b 1 y xpx 1 yq 1 y and p b qb b b
for all , 1 P E, , 1 P F , b P B. We denote the internal tensor product by
and drop the index if the representation is understood; thus, for example,
E F E F E b F .
We also dene a ipped internal tensor product F E as follows. We equip
the algebraic tensor product F d E with the structure maps x d  1 d 1 y :
xpx 1 yq 1 y, p d qb : b d , form the separated completion, and obtain a
Hilbert C Bmodule F E which is the closed linear span of elements ,
where P E and P F are arbitrary, and x  1 1 y xpx 1 yq 1 y and
p qb b for all , 1 P E, , 1 P F , b P B. As above, we drop the index
and simply write instead of if the representation is understood.
Evidently, the usual and the ipped internal tensor product are related by a unitary
: F E
E F , .
Finally, let E1 , E2 be Hilbert C modules over A, let F1 , F2 be Hilbert C modules over B with completely positive maps i : A LB pFi q (i 1, 2), and
269
3
J pbq pi{2
pbq q for all b P Dompi{2
q.
We omit explicit mentioning of the GNSrepresentation : B LpH q and identify B with pBq; thus, pbq b for all b P B.
We denote by B op the opposite C algebra of B, which coincides with B as
a Banach space with involution but has the reversed multiplication, by B B op ,
b bop , the canonical antiisomorphism, and by op : B op C, bop pbq, the
opposite state of . Using formula (2.1), one easily veries that op is a KMSstate,
op
op
op pbop q pi{2
pbqq,
For later application, we note the extension to von Neumann algebras: The
state
on N : B 2 LpH q given by y x y y is the unique normal extension
of , it is faithful because is cyclic for op pB op q N 1 , and the Hilbert space
H and the map : N H , y y , form a GNSrepresentation for
.
2.2. Module structures and associated Rieel constructions. We shall
use the following kind of module structures on C algebras relative to KMSstates:
Definition 2.1. Let be a faithful KMSstate on a unital C algebra B. A module structure on a unital C algebra A consists of a unital embedding r : B A
and a faithful completely positive map : A B such that r : A rpBq is
270
4
THOMAS TIMMERMANN
x pxq , px
rpyqq pxq
rpyq for all x P M , y P N .
Proof. (1)(3) The proof of assertion (1) is straightforward, and J J
because Dompi{2
q is dense in B and because J pbq pi{2
pbq q
prpi{2 pbq qq pi{2 prpbqq q J pbq for all b P Dompi{2 q. The proof of
the remaining assertions is routine.
(4) Since rpbqaop aop b for all a P A, b P B and rAop H s H ,
r is continuous with respect to the weak topologies on LpH q and LpH q and
extends uniquely to r : M N as claimed. The map is uniquely determined by
qpxq
for
pxq
x for all x P M , and pxq x x y x  x y p
all x P M . Since is faithful, so are , and necessarily also . The proof of the
remaining assertions is routine again.
2.3. Compact C quantum graphs. We need the following simple variant
of a RadonNikodym derivative for KMSstates:
Lemma 2.3. Let A be a unital C algebra with a faithful KMSstate and a
positive invertible element such that pq 1 and t pq for all t P R.
(1) The state on A given by paq p 1{2 a 1{2 q for all a P A is a faithful
KMSstate and t Adit t t Adit for all t P R.
(2) The map : A H , a pa 1{2 q, is a GNSmap for , and the
associated modular conjugation J is equal to J .
1, pq
(3) If P A is another positive invertible element satisfying pq
t
for all t P R, and , then .
Definition 2.4. A compact C quantum graph is a tuple G pB, , A, r, , s, ,
q that consists of
(1) a unital C algebra B with a faithful KMSstate and a unital C algebra
A,
(2) a module structure pr, q and a op module structure ps, q on A, respectively, such that rpBq and spB op q commute,
(3) a positive, invertible, invariant element P A X rpBq1 X spB op q1 satisfying pq 1 and op p q .
271
5
: r : B ZpB op q
and
: : s : B op ZpBq.
Proof. (1) The last equation follows from the fact that R is an antiautomorphism and that R 1 . Lemma 2.3 (3) implies that the element 1 Rp 1 q
1 1
is equal to because p 1 q 1 p 1 q p1q 1, t p 1 q Rpt
p qq
Rp 1 q 1 and paq 1 paq pRpaqq 1 p 1{2 Rpaq 1{2 q p 11{2 a 11{2 q
for all a P A. Finally, pq p RqpRp 1 qqop p 1 qop .
(2) p sqpbop q p R R sqpbop q p rqpbqop for all b P B.
(3) The formula for I denes an antiunitary since pRpaqRpaq q pRqpa aq
1
pa aq for all a P A. The rst two equations given in (3) follow immediately. The
1
q,
remaining equations follow from the fact that for all a P A, b P B, c P Dompi{2
I 2 paq pRpRpa 1{2 q 1{2 q q pa 1{2 1{2 q paq,
I J pb q I op pbop q I 1 pspbop qq prpbq q pb q,
1
J I 1 paq pi{2
pRpaq q q pRpi{2
paq q q IJ 1 1 paq.
272
6
THOMAS TIMMERMANN
273
7
3.2. The C module of a compact C quantum graph. For every compact C quantum graph, the GNSRieelconstruction in Lemma 2.2 yields a C module as follows. Let be a faithful KMSstate on a unital C algebra B again.
Lemma 3.7. Let pr, q be a module structure on a unital C algebra A. Put
: , H : H ,
p : rA s, : rAop s, where is as in Lemma 2.2.
(1) p H is a C p, op qmodule and p r op , r.
(2) AH is a C op algebra.
rpBq . Now, the claim follows from the fact that a pbq prpbqi{2
paqq
pi{2
paqrpbqq i{2
paq pbq for all a P rpBq1 X Dompi{2
q and b P B.
(4) We only prove the rst inclusion, the second one follows similarly. Clearly,
rAp
s
p, and by (3), rpA X rpBq1 qop
ps rApA X rpBq1 qop s rA s
p.
op
H : H ,
p : rA s,
: rAop s,
p : rA s,
: rAop s.
p q is a C p, op , op , qmodule.
(1) pH,
p, , ,
(2) p r op , r, p sop , s.
op
(3) A,
H is a C p , qalgebra.
(4) Let R be a coinvolution for G and dene I : H H by 1 paq
p
pRpaq q. Then I J
p and IJ .
274
8
THOMAS TIMMERMANN
: H b K K b
H,
op
.
x1 : y1 : 1 p 1 q,
y2 : H H b K, ,
x2 : y2 : 1 p 1 q.
j : ry1 j s LpHj , H b Kq
op
pi q pa q i paop q b id,
pj q pcop q id b j pcop q.
pH,
m , q
Bifunctoriality. If H
1, . . . ,
op
pS b T qp q S T
for all P , P H , P .
J: K K
antiunitaries such that IJ and JJ .
I : H H,
such
b K
(1) There exists a unique antiunitary I b J : H b K H
J
op
P .
275
9
LpK q.
H b B op H H, bop bop ,
H B b K K, b b,
Associativity. Assume that , 1 , . . . , l are faithful KMSstates on some C pK, , 1 , . . . , n , q is a C pop , 1 , . . . , n , qmodule and
algebras and that K
L pL, , 1 , . . . , l q a C p op , 1 , . . . , l qmodule. Then the isomorphisms
pH b Kq b L K H b pK b Lq
bL
are isomorphisms of C p1 , . . . , m , 1 , . . . , n , 1 , . . . , l qmodules pH b Kq
b Lq. From now on, we identify the Hilbert spaces above and denote them
H b pK
by H b K b L.
and let CK
be a C op algebra. The ber product of AH and CK
is the C algebra
A C : tx P LpH b Kq  xy1 , x y1 ry1 Cs and xy2 , x y2 ry2 Asu.
Ad : A C C op A.
Aq
is a C p1 , . . . , m , qalgebra and
Assume furthermore that A pH,
op
K
pH,
Cq
is a C p , 1 , . . . , n qalgebra, where H
1, . . . ,
m , q,
C pK,
pK, , 1 , . . . , n q. Then for each P MorpA, Aq, P MorpC, Cq, there exists a
such that for all x P A C, S P
unique morphism P MorpA C, A Cq
q, T P LpK , K
q satisfying Sa paqS, T c pcqT for all a P A, c P C,
LpH , H
p qpxqpS b T q pS b T qx.
276
10
THOMAS TIMMERMANN
K
and
R : A Aop , S : C C op homomorphisms. Assume that I : H H
nition does not depend on the choice of J because we have x1 pR Sqpxq 1 y1
J
and a similar argument shows that it does not depend on the choice of I.
Unfortunately, the ber product need not be associative, but in our applications, it will only appear as the target of a comultiplication whose coassociativity
will compensate the nonassociativity of the ber product.
4. Compact C quantum groupoids
A compact C quantum groupoid consists of a compact C quantum graph
with a coinvolution and a comultiplication satisfying several relations, most importantly, left and rightinvariance of the Haar weights and a strong invariance
condition relating the coinvolution to the Haar weights and the comultiplication.
Before we give the precise denition, we recall the underlying notion of a Hopf
C bimodule and the left and rightinvariance conditions; afterwards, we prove
some elementary properties of compact C quantum groupoids.
4.1. Hopf C bimodules over KMSstates. Let be a faithful KMSstate
on a C algebra B.
Definition 4.1 ([17]). A comultiplication on a C pop , qalgebra A,
H is a
,
,
,
morphism P MorpAH , AH AH q that makes the following diagram commute:
/ A A
id
A pA Aq
_
A A
id
/ pA Aq A
/ LpH H Hq.
Let pA,
H , q be a Hopf C bimodule over . A bounded left Haar weight for
,
pAH , q is a nonzero completely positive contraction : A B satisfying
(1) pa pbqq paqb for all a P A, b P B, and
(2) px1 paq 1 y1 q ppaqq 1 for all a P A and , 1 P .
A bounded right Haar weight for pA,
H , q is a nonzero completely positive contraction : A B op satisfying
277
11
p : rA s,
: rAop s,
p : rA s,
: rAop s,
and dene an antiunitary I : H H by I 1 paq pRpaq q for all a P A and a
antihomomorphism R R : A A A op A by x pI b Iq x pI b Iq
paq a b 1u rpBq.
Proof. We only prove the rst equation. Clearly, the right hand side is contained in the left hand side. Conversely, if a P A X rpBq1 and paq 1 b a, then
(4) pbi{2
pdqq pdi{2
pdqq for all b, d P Dompi{2
q.
278
12
THOMAS TIMMERMANN
pdqq pbi{2
pdqq, so
Proof. By Lemma 3.7, rpbqrpdqop rpbi{2
pdqqqrpeqspcopq.
rp pbi{2
op
Rpx 1 prpdqqprpbq b 1q y1 q
sp pdi{2
pbqqq.
279
13
4.5. Uniqueness of the Haar weights. The Haar weights of a compact C quantum groupoid are not unique but can be rescaled by elements of B as follows.
For every positive P B op , the map spq : A B given by a pspq1{2 aspq1{2 q
is a bounded left Haar weight for pA,
H , q because
spq px1 paq 1 y1 q px1 p1 b spq1{2 qpaqp1 b spq1{2 q 1 y1 q
px1 pspq
1{2
asp
1{2
where p q .
s, ,
q
be a compact C quantum graph and a bounded
(2) Let pB, , A, r, ,
q
1 .
right Haar weight for pA, , q. Then , where p
H
op
1 :
Proof. We only prove (1), the proof of (2) is similar. Put : ,
1
, : p q. Let a P A. Then
(4.1)
1 paq y1 q prppaqqq.
psppaqqq
px
We apply to the left hand side and nd, using Lemma 2.5 (2),
1{2 aspq
1{2 q p 1{2 spq
1{2 aspq
1{2 1{2 q.
ppaqq 1 pspq
psppaqqq op
ppaqq
pb paqq
prpbq aq pspq1{2 rpbq aspq1{2 q pb pspq1{2 aspq1{2 qq
280
14
THOMAS TIMMERMANN
V p q ,
V pp q p ,
p ,
p
V pp q
V p q
H p b
H p b
H
op
op
/ H b H p b
H
op
id bV
/ H b H b H,
id b V
V bid
op
H p b
pH
b Hq
op
pH p b
Hq b H
op
id b
23
op
H p b
H
b
H
op
op
V b id
op
/ H b H
`
b H
p
op
where 23 is given by pH q
pH p q , p q p q.
p
p , q, V q be a C pseudomultiplicative unitary. We abbreviate the
Let ppH, ,
operators V b
id and V b id by V12 , the operators id bV and id bV by V23 , and
op
p 1 LpHq.
p q : x2 V y2 LpHq,
ApV q : x1 V y
ApV
p q LpH q, ApV q LpH p q, so that we can dene
The assumptions on V imply ApV
p LpH p b Hq,
pV : A
op
aqV,
p
a V pid b p
V : A LpH b Hq,
a V pap b
idqV .
op
281
15
x p a a1 q 1 y
xa a1 1 ypH p b Hq .
op
(3) The rst relation was already proven above. Since rpAq y1 As ry1 As,
p
p rV A y1 A s rpAq y1 A s ry1 A s p and similarly
V p q
p
V p
pq
p. Finally, by (2), for all b P B and a, d P A
V aop y2 d b V pdrpbq aop q pdrpbqqp aop q
pdqprpbq aop q pdqaop y2 b
and hence rV y2
ps rV Aop y2 A s rpAqAop y2 s rpAqy2 s
p .
ry2 A s
Condition (3) of Denition 4.3 yields the following inversion formula for V :
282
16
THOMAS TIMMERMANN
x 1 x 1 pa qpc
op
op
b 1q y1 pdb q y,
x I
paop
b 1qpc
qp
Ipbop q dop qy
Proof of Theorem 5.4. By Lemma 3.9 and Propositions 3.8, 5.5, multiplication by pJ p b IqV pJ p b Iq acts on subspaces of LpH , H p b
Hq as follows:
op
J
pJ p b Iq
pJ p b Iq
V
p 1 s J
p
ry2 s ry2 s
ry
ry1 IJ s ry1 s,
pJ p b Iq
pJ p b Iq
ry2 s ry2
ps ry2
ps ry2 J
pJ s ry2 s,
pJ p b Iq
pJ p b Iq
p ry1
p
p 1 s
p 1
ry
ps ry
ps ry1 I
pJ s ry1 s.
p .
p
Theorem 5.6 implies V p q , V p q , V pp q
Next, we prove that V23 V12 V12 V13 V23 . Let a, d P A, P H and p2q
p idq pid q , 13 paq 23 ppaq
b
idq23 . Then
p
op
p2q
paqp pdqp qq
p 1 V y2 Js
rIx
rIx 1 pAqy2 Js
rIx 1 y2 AJs rIJ J AJs r s.
283
17
p , q, V q
By Theorem 5.3, the regular C pseudomultiplicative unitary ppH, ,
p
p q, ,
p V q.
yields two Hopf C bimodules pApV q, , V q and pApV
H
q,
H , V
pA,
H , q.
op
p q,p ,
p V q will be discussed in the next subsection.
The Hopf C bimodule pApV
H
Our rst application of the unitary V will be to prove that the coinvolution
reverses the comultiplication. We need the following lemma:
p
Lemma 5.8.
(1) px1 V  1 y1 q x1 V12 V13  1 y1 for all P , 1 P .
1
1
1
p
(2) Rpx1 V  y1 q xJ J 1 V JJ y1 for all P , P .
p px1 V  1 y1 q V ppx1 V  1 y1 q p b 1qV
Proof. (1) For all P , 1 P ,
op
1
 y1 x1 V12 V13  1 y1 ; see also [17, Lemma 4.13].
x1 V23 V12 V23
p Rpx1 V  1 y1 q
(2) Lemma 3.9 and Theorem 5.6 imply that for all P , 1 P ,
1
1
Ix 1 V y1 I xJ J 1 pJ b Iq V pJ b Iq JJ y1 xJ J 1 V JJ y1 .
J
Theorem 5.9. pR Rq Ad R.
J
p By Lemma 5.8,
Proof. Let P and 1 P .
pAd pR Rq qpx1 V  1 y1 q pAd pR Rqqpx1 V12 V13  1 y1 q
J
V12 y1 pI b Iqq.
Ad ppI b Iq x 1 1 V13
J
Remarks 5.10.
(1) One can prove the existence of a regular C pseudomultiplicative unitary ppH, , ,
pq, W q satisfying W a y2 paq y2
for all a P A and express this unitary in terms of V as follows: W
pI p b IqV pI b Iq; see [19, Theorem 5.10].
J
condition by the latter, we could develop the same theory using W instead
of V and nally conclude that also the former condition holds.
284
18
THOMAS TIMMERMANN
p q,p ,
pV q
5.3. The dual Hopf C bimodule. The Hopf C bimodule pApV
H
p
obtained from ppH, , , q, V q can be considered as the generalized Pontrjagin dual
p : ApV
p q.
of our initial compact C quantum groupoid. Let us describe A
Proposition 5.11.
(1) For each a P A, there exists an operator paq P
LpHq such that paq pdq px 2 pdqaop y2 q for all d P A, and
paq JpRpaqqJ.
(2) xxop 2 V y op y2 pyx q for all x, y P A.
p rpAqs.
(3) A
p: A
p A,
p p
(4) There exists a antiautomorphism R
a Jp
a J.
p is the closed linear span of all operators of the form
Proof. By denition, A
xxop 2 V y op y2 , where x, y P A. Let x, y, d P A and put a yx . Then
xxop 2 V y op y2 d xxop 2 V pd y op q
xxop 2 pdqp y op q px 2 pdqaop y2 q.
This calculation proves the existence of the operators paq for all a P A and that
p rpAqs. By Theorem 5.6, Lemma 3.9 and Proposition 3.8,
A
paq pxxop 2 V y op y2 q
xy op 2 pJ b IqV pJ b Iqxop y2
J
JxIy op J 2 V Ixop J y2 J
JxRpy qop 2 V Rpx qop y2 J JpRpxq RpyqqJ JpRpaqqJ.
Remarks 5.12.
` ,p
p V in the sense that it reverses the comultiplication:
p ,
volution of A
H
p Ad pR
p p Rq
pV R
p
p V ; see [19, Corollary 7.6].
` ,p
op
p , LpKqB,B , given
(2) Put K : H . There exists a morphism p
P Mor A
K
H
` ,p
p ,
p V in the
by paq paq for all a P A, which is a counit for A
H
sense that the maps
pV : A
p LpKqB op A
p LpK B op b Hq LpHq,
pp
op idq
op
op
pV : A
pA
p p B LpKq LpH p b B Kq LpHq
q
pid op p
op
op
op
we need to identify pM
285
19
DprH;
q : t P H  DC 0@y P N : }
r pyq} C}y }u.
q if and only if the map N H,
Thus, an element P H belongs to DprH;
y rpyq, extends to an operator R pq P LpH , Hq. Clearly, R pq R p 1 q P
N 1 for all , 1 P DprH;
q. The space H s b rH is the separated completion of
q DprH;
q, and for each x, y P M 1 , there exists a welldened oprpN q1 DprH;
erator xs b ry LpH s b rHq such that pxs b ryqp s b rq x s b ry for all P H,
q. Now, M s
rM pM 1 s b rM 1 q1 LpH s b rHq.
P DprH;
Lemma 5.13.
(1) aop P DprH;
q, R paop q aop P for all a P A.
(2) There exist inverse isomorphisms
H b H H
H s b rH
H H b H
op
q, P H .
P H, a P A, P , P DprH,
Proof. (1) For all a P A, y P N , rpyqaop aop rpyq aop y .
(2) and are welldened inverse isometries because
} aop }2 x p paop q aop qy
x
spR paop q R paop qqy } s b raop }2 ,
} s b r} x
spR pq R pqqy
x R pq R pqy
xR pq p qR pqy } R pq}2 ,
p qp aop q R paop q aop aop
as a map M
We identify H b H with H s b rH via , and consider
LpH s b rHq.
,
,
Theorem 5.14. pN, M, r, s, ,
q is a measurable quantum groupoid.
Proof. First, the relation pAq A A pA1 b idq X pid b A1 q [17,
is a Hopfvon
V is a C pseudomultiplicative unitary imply that pN, M, r, s, q
Neumann bimodule.
Second, one has to check that and are left and rightinvariant, respectively.
This follows from the fact that these maps are normal extensions of and , which
are left and rightinvariant, respectively.
286
20
THOMAS TIMMERMANN
, r s , and pbi{2
pdqq pdi{2
pbqq for all b, d P
Dompi{2 q.
To every compact groupoid G, we can associate a principal compact groupoid
whose total space is tprpxq, spxqq  x P Gu. Likewise, we can associate to every
compact C quantum groupoid a principal one:
Corollary 6.3. Let pB, , A, r, , s, , 1A , R, q be a compact C quantum
R . Then there exists
groupoid and put A rrpBqspB op qs, A , A , R
A
1 , R,
q
is a principal
a unique homomorphism such that pB, , A, r, , s, ,
A
287
21
1
f dG
f pxq du pxq dG puq,
f dG
f pxqd1
u pxq dG puq.
G
G0
Gu
G0
Gu
1
x ypuq
1 pxqpxqdu pxq,
pf qpxq pxqf prG pxqq in case of L2 pG, q,
u
G
1
2
1
x ypuq
1 pxqpxqd1
q.
u pxq, pf qpxq pxqf psG pxqq in case of L pG,
Gu
2
2
on G2s,r : tpx, yq P G G  sG pxq rG pyqu and r,r
on
Dene measures s,r
288
22
THOMAS TIMMERMANN
G2r,r : tpx, yq P GG  rG pxq rG pyqu such that for all f P Cc pG2s,r q, g P Cc pG2r,r q
2
f ds,r
:
f px, yq dsG pxq pyq du pxq dG puq,
G2s,r
G0
2
g dr,r
:
G2r,r
G0
Gu
GsG pxq
Gu
Gu
2
: H b H L2 pG2r,r , r,r
q
G2s,r ,
px1 , y 1 q P G2r,r ,
Proposition 7.2.
GrG pxq
gpyqdu pyq,
ppgqqpuq
gpyqd1
ppgqqpuq
u pyq
Gu
Gu
0
Theorem 7.4. Let G be rdiscrete and let be the family of counting measures.
Embed CpG0 q into Cc pGq by extending functions outside of G0 by 0. Then there
exists a compact C quantum groupoid pCpG0 q, , Cr pGq, , , , , Lp1G0 q, R, V q
such that pf q Lpf q, pLpgqq gG0 , RpLpgqq Lpg : q for all f P CpG0 q,
g P Cc pGq, where g : pxq gpx1 q for all x P G.
289
23
References
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t Mu
nster, Einsteinstr.
Fachbereich Mathematik und Informatik, W.W.Universita
nster, Germany
62, 48149 Mu
Email address: timmermt@math.unimuenster.de
Contemporary Mathematics
Volume 503, 2009
1. Introduction
P (z)
with relatively prime polyLet R be a rational function of the form R(z) = Q(z)
nomials P and Q. The degree of R is denoted by N = deg R := max{deg P, deg Q}.
C
on
We regard a rational function R as a N fold branched covering map R : C
= C {}. The sequence (Rn )n of iterations of R gives a
the Riemann sphere C
The Fatou set FR of R is the maximal
complex analytic dynamical system on C.
n
az + b
(ad bc = 1, a, b, c, d C),
cz + d
with P SL(2, C). Then a discrere subgroup of P SL(2, C) is called a Kleinian
such that is a normal
group. The ordinary set of is the open set of z C
family on some neibourhood of z, and the limit set of is the complement of
R(z) =
1
291
292
2
YASUO WATATANI
293
3
Table 1. a dictionary
Kreinian group
C algebra
Rational function R
Julia set JR
limit set
OR (JR )
unstable
purely innite
unstable, selfsimilar
Fatou set FR
ordinary set
OR (FR )
no wandering domains thm.
Ahlfors niteness thm.
?
the number of generators
?
N = deg R
deg R 2
non elementary
not C(T)
orbit structure
orbit structure
?
invarinat measure +
KMS state
invariant measure +
branched points (singularity)
?
extreme KMS states
?
Kgroups
?
?
?
gauge action
Blaschke product
Fuchsian group
?
Hausdor dimension
Hausdor dimension
?
We show an incomplete dictionary between complex dynamical systems and
C algebras.
Let R be a nite Blaschke product of degree at least two with R(0) = 0.
Then there exists a relation between the associated composition operator CR on
the Hardy space and the C algebra OR (JR ) as in HamadaWatatani [18]. It is
interesting to know the case of general rational functions.
2. Branched points
Let R be a rational function with N = deg R. We always assume that a
rational function R is not a constant function. If deg R = 1 and the Julia set
JR is not empty, then JR is, in fact, one point. Therefore the coecient algebra
A = C(JR ) = C and the Hilbert C bimodule is just X = C(graphRJR ) = C.
Thus the classical Toeplitz algebra appears in this case and the associated C algebra OR (JR ) becomes C(T). Therefore throught the paper we assume that
deg R 2. Then the Julia set JR is an uncountable perfect set. Therefore the
coecient algebra A = C(JR ) is innite dimensional.
Recall that a branched point (or critical point) of R is a point z0 at which R
is not locally one to one. It is a zero of R or a pole of R of order two or higher.
The image w0 = R(z0 ) is called a branch value (or critical value) of R. Using
appropriate local charts, if R(z) = w0 + c(z z0 )n + (higher terms) with n 1 and
c = 0 on some neighborhood of z0 , then the integer n = e(z0 ) = eR (z0 ) is called the
branch index of R at z0 . Thus e(z0 ) 2 if z0 is a branched point, and e(z0 ) = 1 if
z0 is not. Therefore R is an e(z0 ) : 1 map in a punctured neighborhood of z0 . By
the RiemannHurwitz formula, there exist 2N 2 branched points counted with
multiplicity, that is,
(e(z) 1) = 2 deg R 2.
zC
we have
Furthermore for each w C,
zR1 (w)
e(z) = deg R.
294
4
YASUO WATATANI
Let BR be the set of branched points of R and R(BR ) be the set of the branch values
\ R(BR ) is a N : 1 regular
\ R1 (R(BR )) C
of R. Then the restriction R : C
\ R(BR ) has an
covering, where N = deg R. This means that any point y C
open neighborhood V such that R1 (V ) has N connected components U1 , . . . , UN
and the restriction RUk : Uk V is a homeomorphism for k = 1, . . . , N . Thus
R has N analytic local cross sections Sk = (RUk )1 . But if y is in R(BR ), then
there exist no such open neighborhood V . This fact causes many diculties to
analyze the associated C algebra, since we include the branched points to construct
the C correspondence. Even if we will construct the associated groupoid, the rdiscreteness is not satised in general. This is the reason why we associate our
C algebras by CuntzPimsner construction. One of our aims is to analyze the
singularity structure of the branched points in terms of operator algebras.
3. Construction of the associated C algebras
Since a rational function R of degree at least two is not a homeomporphism, we
can not use crossed product construction. We replace crossed pruduct construction
by CuntzPimsner construction to obtain the associated C algebra.
We recall CuntzPimsner algebras [39]. Let A be a C algebra and X be a
Hilbert right Amodule. We denote by L(X) be the algebra of the adjointable
bounded operators on X. For , X, the rank one operator , is dened by
, () = () for X. The closure of the linear span of rank one operators is
denoted by K(X).
A family (ui )iI in X is called a basis, (or a tight frame more precisely as in
[15]) of X if
x=
ui (ui x)A for any x X,
iI
where the sum is taken as unconditional norm convergence, see [26]. Furthermore
(ui )iI is called a nite basis if (ui )iI is a nite set. If A has a unit and X has
a nite basis, then X is algebraically nitely generated and projective over A and
K(X) = L(X).
We say that X is a Hilbert C bimodule (or C correspondence) over A if X
is a Hilbert right A module with a homomorphism : A L(X). In this note,
n
we assume that X is full and is injective. Let F (X) =
be the full
n=0 X
0
Fock module of X with the convention X = A. For x X, the creation operator
Tx L(F (X)) is dened by
Tx (a) = xa
and Tx (x1 xn ) = x x1 xn .
for a, b A. The CuntzToeplitz algebra TX is the C subalgebra of L(F (X)) generated by iF (X) (a) with a A and Tx with x X. Let jK : K(X) TX be the homomorphism dened by jK (x,y ) = Tx Ty . We consider the ideal IX := 1 (K(X)) of
A. Let JX be the ideal of TX generated by {iF (X) (a)(jK )(a); a IX }. Then the
CuntzPimsner algebra OX is the the quotient TX /JX . Let : TX OX be the
quotient map. Put Sx = (Tx ) and i(a) = (iF (X) (a)). Let iK : K(X) OX be
the homomorphism dened by iK (x,y ) = Sx Sy . Then ((jK )(a)) = (iK )(a)
for a IX . We note that the CuntzPimsner algebra OX is the universal C algebra
295
5
Let A = C(C)
2
; y = R(x)} is the graph of
and graph R respectively, where graph R = {(x, y) C
R. Then X is an AA bimodule by
(a b)(x, y) = a(x)(x, y)b(y),
a, b A, X.
()A (y) =
e(x)(x, y)(x, y), , X, y C.
xR1 (y)
Thanks to the branch index e(x), the inner product above gives a continuous function and X is a full Hilbert bimodule over A without completion. The left action
of A is unital and faithful.
Since the Julia set JR is completely invariant under R, i.e., R(JR ) = JR =
R1 (JR ), we can consider the restriction RJR : JR JR , which will be often
denoted by the same letter R. Let graph RJR = {(x, y) JR JR ; y = R(x)} be
the graph of the restriction map RJR and X(JR ) = C(graph RJR ). In the same
way as above, X(JR ) is a full Hilbert bimodule over C(JR ). Since the Fatou set FR
is also completely invariant, X(FR ) := C0 (graph RFR ) is a full Hilbert bimodule
over C0 (FR ).
is dened as the CuntzPimsner algebra of the
Denition The C algebra OR (C)
When the Julia set JR is not
Hilbert bimodule X = C(graph R) over A = C(C).
empty (for example deg R 2), we dene the C algebra OR (JR ) as the CuntzPimsner algebra of the Hilbert bimodule X = C(graph RJR ) over A = C(JR ).
When the Fatou set FR is not empty, the C algebra OR (FR ) is dened similarly.
4. Ideal and simplicity
is decomposed
Let R be a rational function. Then the Riemann sphere C
into two parts FR and JR . The stable part FR is called the Fatou set of R and
the unstable part JR is called the Julia set. We shall consider the corresponding
296
6
YASUO WATATANI
by Deaconu and Muhly [11] in the case of their construction. Let B = C(C)
and consider the ideal I = {b B; bJR = 0} of B, so I
= C0 (FR ) and B/I
=
C(JR ). We consider a submodule and quotient module of a Hilbert bimodule
Y = C(graph R) over B. The right Hilbert Imodule Y I := {f b Y ; f Y, b I}
is also described as YI := {f Y ; (f g)B I for all g Y }. Since (f f )B I
means that
(f f )B (y) =
e(x)f (x, y)2 = 0
xR1 (y)
and Ki (OR2 (C)) are isomorphic. Similarly Ki (OR1 (JR1 )) and Ki (OR2 (JR2 )) are
isomorphic. Moreover if rational functions R1 and R2 are topologically conjugate,
297
7
then the gauge actions are also conjugate. Therefore the Kgroups of the xed
point algebras are also topologically conjugate invariant. We investigate what kind
of information of complex dynamical systems is described by the Ktheory.
We calculate the Kgroups by the following sixterm exact sequence due to
Pimsner [39].
K0 (IX )
id[X]
K0 (OR (C))
K0 (C(C))
0
K1 (OR (C))
K1 (C)
id[X]
K1 (IX )
BR +1
and K1 (OR (C))
= Z.
Remark. But we have no general formulae for Ki (OR (JR )) at the present moment.
=
Example. Let R(z) = z n for n 2. Then BR = {0, }. Therefore K0 (OR (C))
Z.
The
Julia
set
J
is
the
unit
circle
T.
The
map
:
Z3 and K1 (OR (C))
=
R
C(T) L(X) can be identied with the ntimes around embedding. The Hilbert
bimodule XR over A = C(T) is isomorphic to An as a right Amodule. In fact,
let ui (z, w) = 1n z i1 for i = 1, . . . , n. Then (ui uj )A = i,j I and {u1 , . . . , un }
is a basis of XR . Hence Si := Sui , (i = 1, ..., n) are generators of the Cuntz
algebra On . We see that (z ui )(z, R(z)) = ui+1 (z, R(z)) for i = 1, ..., n 1 and
(z un )(z, R(z)) = z n = (u1 z)(z, R(z)). The left multiplication by z is a unitary
and denoted by U . Therefore C algebra OR (JR ) associated with the complex
dynamical system on the Julia set JR = T is the universal C algebra generated by
a unitary U and n isometries S1 , ..., Sn satisfying S1 S1 + +Sn Sn = I , U Si = Si+1
for i = 1, ..., n 1 and U Sn = S1 U . We have K0 (OR (JR )) = Z Z/(n 1)Z
and K1 (OR (JR )) = Z. The xed point algebra OR (JR ) by the gauge action
is a BunceDeddence algebra of type n . Therefore K0 (OR (JR ) )
= Z[ n1 ] and
K1 (OR (JR ) ) = Z.
We remark that Yamashita studies circle correspondences C algebras and constructs Rieel like concrete projections of OR (JR ) in [48].
Example. Let R(z) = z 2 2. Then the Julia set JR is the interval [2, 2] and
it contains a critical point 0. Since IX = {a C([2, 2]); a(0) = 0}, K0 (IX ) =
K1 (IX ) = 0. Applying the above six term exact sequence with K0 (A) = Z and
K1 (A) = 0, we have K0 (OR (JR )) = Z and K1 (OR (JR )) = 0. Since the identity
I of OR (JR ) represents the generator of K0 (OR (JR )) = Z, the algebra OR (JR ) is
isomorphic to the Cuntz algebra O . (JR , R) is topologically conjugate to a tent
map ([0, 1], h) dened by
2x,
0 x 12 ,
h(x) =
1
2x + 2,
2 x 1.
Example. (quadratic polynomial) Let Pc (z) = z 2 +c. If c is not in the Mandelbrot
set M := {c C; Pcn (0) is bounded }, then OPc (JPc ) is isomorphic to the Cuntz
298
8
YASUO WATATANI
completely classify the KMS states for the gauge action of OR (C).
If R has no
exceptional points, then the gauge action has a phase transition at = log deg R in
the following sense: In the region 0 < log deg R, no KMSstate exists. A unique
KMSstate exists at = log deg R, which is of type III1/ deg R and corresponds to
the Lyubich measure. The extreme KMS states at > log deg R are parameterized by the branched points of R and are factor states of type I. If R has exceptional
points, then there appear additional KMS states for 0 < log deg R parameterized by exceptional points. We can recover the degree of R, the number of
branched points, the number of exceptional points from the structure of the KMS
states. The orbits of exceptional points are distinguished by 0KMS states. Here
we dene a 0KMS state to be an invariant tracial state.
For example, let P (z) = z 3 , Q(z) = z 3 + 1 and R(z) = (1/18)z 3 (1/2)z 2 + 6.
We denote by EP (resp. BP ) the set of exceptional points (resp. branched points)
of P . Then EP = BP = {0, }, EQ = {}, BQ = {0, }, ER = {} and BR =
), (OQ (C),
)
{0, 6, }. Our results show that C dynamical systems (OP (C),
299
9
We recall that OlsenPedersen [38] showed that a KMS state for the gauge
action of the Cuntz algebra On exists if and only if = log n and that log nKMS
state is unique. Since then, several authors have discussed KMS states for the
gauge action. See the references in [19]. Thanks to a result due to LacaNeshveyev
[31], we can describe the structure of the KMS states in terms of a certain PerronFrobenius type operator studied in [41] and [31].
We need to describe the exceptional points and the Lyubich measure to state
is an exceptional point for R if the backward orbit
our theorem. A point z in C
xRn (y)
The sequence (yn )n converges weakly to a measure L , which is called the Lyubich
\ ER . The support
measure. The measure L is independent of the choice of y C
of L is the Julia set JR and L is the unique invariant measure of maximal entropy.
Now we can state a classication theorem of the extreme KMS states as in [19].
A direct and simple proof using concrete construction of bases is explained in this
proceedings by Kajiwara [21].
Theorem 6.1 ([19]). Let R be a rational function with N = degR 2.
Then the set
Consider the gauge action on the associated C algebra OR (C).
ex(K ()) of extreme KMS states of are completely classied as follows:
(Case 1.) Suppose that R has two exceptional points ER = {w1 , w2 } such that
R(w1 ) = w1 and R(w2 ) = w2 . Then the branched points B(R) = {w1 , w2 }.
(1) If = 0, then the set of extreme invariant traces consists of two points
,w1 and ,w2 such that the restriction ,wi C(C)
is the Dirac measure
wi for i = 1, 2 .
(2) If 0 < < log N , then ex(K ()) consists of two points ,w1 and ,w2
such that the restriction ,wi C(C)
is the Dirac measure wi for i = 1, 2 .
(3) If = log N , then ex(K ()) consists of three points L , w1 and w2 ,
where the restriction L C(C)
is the Lyubich measure and the restriction
wi C(C)
is the Dirac measure wi for i = 1, 2.
(4) If log N < , then ex(K ()) consists of two points ,w1 and ,w2 such
that the restriction ,wi C(C)
is the Dirac measure wi for i = 1, 2 .
(Case 2.) Suppose that R has two exceptional points ER = {w1 , w2 } such that
R(w1 ) = w2 and R(w2 ) = w1 . Then B(R) = {w1 , w2 }.
(1) If = 0, then the set of extreme invariant traces consists of one point
1
1
w1 ,w2 such that the restriction w1 ,w2 C(C)
corresponds to 2 w1 + 2 w2 .
300
10
YASUO WATATANI
(2) If 0 < < log N , then ex(K ()) consists of two points ,1 and ,2
correspond to the measures
such that the restriction to C(C)
,1 =
1
e
e
1
,2
+
and
w +
w .
w
w
1
2
e + 1
e + 1
e + 1 1 e + 1 2
1
ek
k=0
z ,
zRk (w)
Since Theorem 6.1. is the complete classication, we can recapture some information of sigularity of the original complex dynamical system from the associated
) as follows:
C algebra with the gauge action (OR (C),
Theorem 6.2 ([19]). Let P and Q be rational functions of degree at least two.
) and (OQ (C),
)
Consider the gauge action . If C dynamical system (OP (C),
are conjugate, then the covering degree deg P = deg Q, the number of branched
points # B(P ) =# B(Q), the number of exceptional points # EP =# EQ and the
orbit structures of the exceptional points under P and Q are the same.
301
11
Remark. Let us consider the case of the C algebra OR (JR ) on the Julia set JR .
Since there exist no exceptional points on the Julia set JR , only (Case 4) occurs
and a similar classication of the KMS state is possible.
associated sequence b(z) := (bn (z))n=0 . If the backward orbit n=1 Rn (z) has no
intersection with the set BR of the branched points, then
b(z) = (1, N, N 2 , N 3 , . . . , N n , . . . ).
In general the sequence b(z) measure the existance of branched points in the backn
ward orbit
(z) starting at z.
n=1 R
Theorem 7.1. Let Q and R be rational functions with the degrees at least
OR (C)
such that
two. Suppose that there exists an isomorphism h : OQ (C)
1
R = hQ h , where Q and R are the associated guage actions. Then their
backward orbit structures starting at the branched points are same, that is,
{b(z)  z BQ } = {b(z)  z BR }
Example. Let R(z) = z 2 . Then BR = {0, }. We calculate that
b(0) = (1, 1, 1, 1, 1, . . . ), b() = (1, 1, 1, 1, 1, . . . )
Example. Let R(z) = z 2 + 1. Then BR = {0, }. We have that
b(0) = (1, 2, 4, 8, 1, . . . , 2n , . . . ),
b() = (1, 1, 1, 1, 1, . . . )
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8. Algebraic correspondences
Sullivan discovered a dictionary between the theory of complex analytic iteration and the theory of Kleinian groups in [46]. Sullivans dictionary shows a strong
analogy between the limit set of a Kleinian group and the Julia set JR of a
rational function R. Therefore it is natural to generalize both Kleinian groups and
rational maps. In fact there exist such objects called algebraic correspondences or
holomorphic correspondences. Many works on algebraic correspondences has been
done, for example, in Bullet [6], BulletPenrose [7], [8] and M
unznerRasch [37].
Let p(z, w) be a polynomial in two variables. Then the solution of the algebraic
equation p(z, w) = 0 is called an algebraic correspondence. We regard it as the
graph of the multivalued function z w dened implicitly by p(z, w) = 0. Note
that there exist two dierent ways to compactify the algebraic curve p(z, w) = 0.
The standard construction in algebraic geometry is to consider the zeroes of a homogeneous polynomial P (z, w, u) in the complex projective plane CP 2 . But we
choose the second way after [7] and introduce four variables z1 , z2 , w1 , w2 and a
polynomial
z1 w1
),
p(z1 , z2 , w1 , w2 ) = z2m w2n p( ,
z2 w2
which is separately homogeneous in z1 , z2 and in w1 , w2 . We identify the Riemann
with the complex projective line CP 1 . We denote by [z1 , z2 ] an element
sphere C
1
of CP . Then the algebraic correspondence Cp of p(z, w) on the Riemann sphere is
C
dened by
a compact subset of C
C
 p(z1 , z2 , w1 , w2 ) = 0}.
Cp := {([z1 , z2 ], [w1 , w2 ]) C
To simplify notation, we write it by
C
 p(z, w) = 0}
Cp = {(z, w) C
for short if no confusion can arise.
P (z)
be a rational function with polynomials P (z),
For example, let R(z) = Q(z)
Q(z). Put p(z, w) = Q(z)wP (z). Then the algebraic correspondence Cp of p(z, w)
C
 w = R(z), z C}
of
on the Riemann sphere is exactly the graph {(z, w) C
R.
Therefore we regard the algebraic correspondence Cp of a general polynomial
p(z, w) as the graph of the algebraic function z w implicitly dened by the
equation p(z, w) = 0. Then the iteration of the algebraic function is described
naturally by a sequence z1 , z2 , z3 , . . . satisfying (zk , zk+1 ) Cp for k = 1, 2, 3, . . . .
We dene the path space Pn of length n by
n+1  (zi , zi+1 ) Cp , i = 1, . . . , n }.
Pn = { (z1 , z2 , . . . , zn+1 ) C
Any nonzero polynomial p(z, w) C[z, w] has a unique factorization into irreducible polynomials:
p(z, w) = g1 (z, w)n1 gp (z, w)np
where each gi (z, w) is irreducible and gi and gj (i = j) are prime each other.
We assume that any polynomial p(z, w) we consider is reduced, that is, the above
powers ni = 1 for any i. We also assume that any gi (z, w) is not a function only in
z or w. In particular the degree m in z and the degree n in w of p(z, w) are both
greater than or equal to one.
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satised: For z, w C,
(i)z J and p(z, w) = 0 implies w J,
(ii)w J and p(z, w) = 0 implies z J.
Under the condition, we can dene Cp (J) = { (z, w) J J  p(z, w) = 0 }, A =
C(J), Xp (J) = C(Cp (J)) similarly. Then Xp (J) is a full Hilbert C bimodule
(C correspondence) over A = C(J) and the left action is unital and faithful.
We also introduce the C algebra Op (J) as the CuntzPimsner algebra of the
Hilbert C bimodule Xp (J) = C(Cp (J)) over A = C(J).
Denition. Let p(z, w) be a nonzero polynomial in two variables and J a p For any subset U of J and a natural number n, we dene a
invariant subset of C.
(n)
subset U
of J by
U (n) = { w J  (z1 , z2 , . . . , zn , w) Pn
for some
z1 U, z2 . . . zn J }.
0 m = n N, (z, z2 , z3 , . . . , zn , w) Pn ,
(z, u2 , u3 , . . . , um , w) Pm }.
P (z)
be a rational function with polynomials P (z), Q(z).
For example, let R(z) = Q(z)
Put p(z, w) = Q(z)w P (z). Then
n
GP(N ) = N
n=1 {w C  R (w) = w}.
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YASUO WATATANI
a pinvariant set. Let b = # B(p) be the number of the branched points. Then we
have
K0 (Op (T)) = Zb , and K1 (Op (T)) = Z/(r 1)Z.
If m1 , m2 , . . . , mr are relatively prime, then p is expansive and free on J = T and
the associated C algebra Op (T) is simple and purely innite.
References
[1] C. AnatharamanDelaroche, Purely innite C algebras arising from dynamical systems, Bull.
Soc. Math. France 125(1997), 199225
[2] V. A. Arzumanian and A. M. Vershik, Star algebras associated with endomorphisms, Operator
Algebras and Group Representations,vol. I, Pitman, 1984, pp. 1727.
[3] A. F. Beardon, Iteration of rational functions GTM 132, 1991, Springer New York.
[4] B. Brenken, C algebras associated with topological relations, J. Ramanujan Math. Soc., 19
(2004), 3555.
[5] H. Brolin, Invariant sets under iteration of rational functions, Ark. Mat. 6 (1965), 103144.
[6] S. Bullett, Dynamics of quadratic correspondences, Nonlinearity 1 (1988), 2750.
[7] S. Bullett and C. Penrose, A gallery of iterated correspondences, Experimental Mathematics
3 (1994), 85105.
[8] S. Bullett and C. Penrose, Regular and limit sets for holomorphic correspondences, Fundamenta Mathematica 167 (2001), 111171.
[9] T. M. Carlsen and S. Silvestrov, On the Exel crossed product of topological covering maps,
arxiv:[math.OA]/0811.0056, to appear in Acta Appl. Math.
[10] V. Deaconu, Groupoids associated with endomorphism, Trans. Amer. Math. Soc., 347 (1995),
17991786.
[11] V. Deaconu and M. Muhly, C algebras associated with branched coverings, Proc. AMS. 129
(2001), 10771086.
[12] D. E. Dutkay and P. E. T. Jorgensen, Hilbert spaces built on a similarity and on dynamical
renormalization, J. Math. Phys., 47 (2006), 053504, 120.
[13] R. Exel, A new look at the crossedproduct of a C algebra by an endomorphism, Ergodic
Theory Dynam. Systems, 23 (2003), 17331750.
[14] R. Exel and A. Vershik, C algebras of irreducible dynamical systems, Canad. J. Math. 58
(2006), 3963.
[15] M. Frank and D. Larson, Frames in Hilbert C modules and C algebras, J
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