Continuous orbit equivalence of topological Markov shifts and KMS states on Cuntz--Krieger algebras
Kengo Matsumoto

TL;DR
This paper investigates the relationship between continuous orbit equivalence of topological Markov shifts and KMS states on Cuntz--Krieger algebras, revealing connections with topological entropy.
Contribution
It establishes a link between continuous orbit equivalence and KMS states, and explores how topological entropy behaves under this equivalence.
Findings
KMS states are studied for gauge actions with potential functions.
A relationship between topological entropy and orbit equivalence is identified.
The work enhances understanding of the structure of Cuntz--Krieger algebras in relation to topological dynamics.
Abstract
We study KMS states for gauge actions with potential functions on Cuntz--Krieger algebras whose underlying one-sided topological Markov shifts are continuous orbit equivalent. As a result, we have a certain relationship between topological entropy of continuous orbit equivalent one-sided topological Markov shifts.
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Taxonomy
TopicsMathematical Dynamics and Fractals · Quantum chaos and dynamical systems · Advanced Operator Algebra Research
Continuous orbit equivalence of topological Markov shifts
and KMS states on Cuntz–Krieger algebras
Kengo Matsumoto
Department of Mathematics
Joetsu University of Education
Joetsu, 943-8512, Japan
Abstract
We study KMS states for gauge actions with potential functions on Cuntz–Krieger algebras whose underlying one-sided topological Markov shifts are continuously orbit equivalent. As a result, we have a certain relationship between topological entropy of continuously orbit equivalent one-sided topological Markov shifts.
1 Introduction
Let be a square matrix with entries in , where . Throughout the paper, we assume that is irreducible and not a permutation. The shift space of a one-sided topological Markov shift consists of one-sided sequences satisfying for all . Take and fix satisfying . Define a metric on by for with where is the largest non-negative integer such that . The space is a zero-dimensional compact Hausdorff space by the metric . The shift transformation is defined by a continuous surjection satisfying . The two-sided topological Markov shift is a topological dynamical system of a homeomorphism on the zero-dimensional compact Hausdorff space consisting of two-sided sequences satisfying for all .
The Cuntz–Krieger algebra for the matrix is defined to be a universal unique -algebra generated by partial isometries satisfying the relations: The gauge automorphisms on are defined by They yield an action of on which we call the gauge action. A word for is said to be admissible for the topological Markov shift if appears somewhere in an element in . The length of is , which is denoted by . We denote by the set of all admissible words of length . We set where denotes the empty word . Denote by the cylinder set for . The set of cylinder sets form a basis of the topology of . Let us denote by the -subalgebra of generated by the projections of the form for . It is well-known that the commutative -algebra of complex valued continuous functions on is regarded as the -subalgebra by identifying the characteristic functions of the cylinder sets with the projections
Let be an action of on . Denote by the set of analytic elements of the action. For a positive real number , a state on is called a -KMS state for the action if satisfies the condition
[TABLE]
The studies of KMS states on operator algebras are very crucial from the viewpoints of quantum statistical mechanics and the structure theory of -algebras and von Neumann algebras. There have been many important and interesting studies as in the text book by Bratteli–Robinson ([3]). For Cuntz–Krieger algebras, Enomoto–Fujii–Watatani proved that the gauge action on has a -KMS state if and only if the Perron–Frobenius eigenvalue of the matrix , and the admitted KMS state is faithful and unique ([7], see [19] for Cuntz algebras). The reciprocal of the eigenvalue is the radius of convergence of the zeta function of the topological Markov shift , and the value is topological entropy of the topological Markov shift ([20], cf, [11]).
In [13], the author studied generalized gauge actions from the viewpoints of continuous orbit equivalence and flow equivalence of topological Markov shifts (see also [4], [5], [15], [16], [18], etc.). We regard a function in as an element of the subalgebra of . For , define one-parameter unitaries by setting and an automorphism on for each by
[TABLE]
The automorphisms yield an action of on such that for all . Such an action on is called a generalized gauge action in [9]. If the function is constantly , the action is the gauge action . Let be the set of real valued -Hölder continuous functions on . In [8], [9] and [10], R. Exel and Exel–Lopes have studied KMS states for generalized gauge actions on the -algebras constructed from crossed products by endomorphisms including Cuntz-Krieger algebras from the viewpoint of thermodynamic formalism of dynamical systems and shown that there exists a bijective correspondence between KMS states and eigenvectors of Ruelle operators (cf. [23]). As a result, Exel [9] showed that there exists a unique KMS state for a generalized gauge action on Cuntz–Krieger algebras. For , the Ruelle operator on a topological Markov shift is defined by
[TABLE]
where is defined by (cf. [21], [24]). The Ruelle operators have been playing a key role in Ruelle’s thermodynamic formalism in topological Markov shifts ([24], [25], cf. [1], [2], [21], etc.).
In the first part of the paper, we will give a direct proof for Exel’s result above in the case of Cuntz–Krieger algebras which says that there exists a bijective correspondence between KMS states and eigenvectors of the Ruelle operators (Proposition 2.2).
In the second part of the paper, which is a main part of the paper, we will find a certain relationship between topological entropy of continuously orbit equivalent topological Markov shifts, by using Exel’s result. The author in [12] has introduced a notion of continuous orbit equivalence of one-sided topological Markov shifts. It is weaker than one-sided topological conjugacy and gives rise to isomorphic Cuntz–Krieger algebras ([15], see also [17], [4], etc.). Let and be irreducible square matrices with entries in . If there exists a homeomorphism such that
[TABLE]
for some continuous functions the one-sided topological Markov shifts and are said to be continuously orbit equivalent, where . The functions and are called the cocycle function for and the cocycle function for , respectively. In [18], Matui and the author have shown that the zeta functions of continuous orbit equivalent topological Markov shifts and have a certain relationship by using the above cocycle functions (see also [14, Theorem 4.6]). It suggests that the topological entropy of the topological Markov shifts and have some relation, because the topological entropy are maximum poles of their zeta functions. In this paper, we will show the following theorem that tells us a relationship between topological entropy of continuously orbit equivalent topological Markov shifts.
Theorem 1.1** (Theorem 3.4).**
Let and be irreducible, non-permutation matrices with entries in . Suppose that one-sided topological Markov shifts and are continuously orbit equivalent. Let and be the unique KMS states for the gauge actions on and on , respectively. Let and be the Perron–Frobenius eigenvalues of the matrix and of the matrix , respectively. Denote by and the topological entropy of and , respectively. Then we have
[TABLE]
where is defined by , and is similarly defined.
In [13], a notion of strongly continuous orbit equivalence between one-sided topological Markov shifts and was introduced. It is defined as the cases where the cocycle function is cohomologous to in . Although we have already known that strongly continuous orbit equivalence implies topological conjugacy of their two-sided topological Markov shifts ([13, Theorem 5.5]) and hence , as a direct corollary of the above theorem, we have
Corollary 1.2** (Corollary 3.5).**
If one-sided topological Markov shifts and are strongly continuously orbit equivalent, then we have .
In the final section, we will concretely calculate the formulas (1.6), (1.7) for two matrices
[TABLE]
for which and are continuously orbit equivalent.
2 Ruelle operators and KMS states
In this section, we fix a topological Markov shift . For a function and , we define a function on by
[TABLE]
We fix generating partial isometries of the Cuntz–Krieger algebra satisfying the relations: For a word , denote by the partial isometry . The -subalgebra generated by the projections is identified with the commutative -algebra of the complex valued continuous functions on through the correspondence , where is the characteristic function of of the cylinder set . Recall that is a real number defining the metric on . A continuous function is said to be -Hölder continuous if there exists a constant such that . We denote by the set of -Hölder continuous functions on . It is easy to see that an integer valued continuous function on is -Hölder continuous, and hence so is a scalar multiple of an integer valued continuous function on . Under our identification between and above, the Ruelle operator for is defined by the formula (1.3). It may be written
[TABLE]
It is also called the transfer operator (cf. [1]). One easily sees that for . For , we write as . We note that the identities
[TABLE]
hold, where . The following well-known result is known as Ruelle–Perron–Frobenius Theorem.
Lemma 2.1** ([21, Theorem 2.2]).**
For , we have the following assertions.
- (i)
There exists a unique positive eigenvalue of , a strictly positive function and a faithful state on satisfying
[TABLE] 2. (ii)
* uniformly converges to for each .*
Let us denote by the -subalgebra of consisting of fixed elements under the automorphisms of the gauge action. The algebra is an AF-algebra whose diagonal elements give rise to the algebra . There is a canonical conditional expectation by taking diagonal elements. Let us denote by the canonical conditional expectation defined by for where is the Lebesgue measure on .
We regard a function in as an element of the subalgebra of . For , recall that a one-parameter automorphism group on is defined by
[TABLE]
It is easy to see that the automorphisms yield an action of on such that for all . If the function is constantly , the action is the gauge action . Through the identification between and , we have so that the equalities
[TABLE]
hold. The identity
[TABLE]
is directly shown (cf. [15, Lemma 3.1]) and useful in our proof of Proposition 2.2 below.
Let us denote by the state space of which is the set of continuous positive linear functionals on satisfying . We similarly define the state space of . Let be an action of on . Denote by the set of analytic elements of the action ([22, 8.12]). Following after [3], for a real number , a state is called a -KMS state for the -action if satisfies the condition (1.1). The equality (1.1) is called the KMS condition.
The following proposition has been seen in Exel’s paper [9] in a slightly different form. We will give a direct proof which is different from those of [9] and [8].
Proposition 2.2** (Exel [9]).**
- (i)
For and , if is a -KMS state for the -action, by putting , the restriction of to satisfies on . 2. (ii)
For and , if is a state satisfying on , then by putting , the state is a -KMS state for the -action.
Proof.
(i) Since and , we have
[TABLE]
Let us note that the set of finite linear combinations of elements of the form is dense in the analytic elements of for the action . By the KMS condition (1.1), we have
[TABLE]
(ii) Suppose that satisfies . Put and the state . Since the set of finite linear combinations of elements of the form is dense in and vanishes outside of diagonal elements of , it suffices to show the KMS condition (1.1) only for the following two cases and two subcases for each.
Case (1) .
Subcase (1-1) and where .
Subcase (1-2) and where .
Case (2) .
Subcase (2-1) and where .
Subcase (2-2) and where .
Throughout the above four subcases, we put We note the identity for holds. To show the equality for each of the four subcases, we use the equality of the assumption.
For the subcase (1-1), we have
[TABLE]
For the subcase (1-2), we have
[TABLE]
For the subcase (2-1), we have
[TABLE]
For the subcase (2-2), we have
[TABLE]
Therefore is a -KMS state for the -action on . ∎
R. Exel proved the following fact that will be useful in our further discussions.
Lemma 2.3** (Exel [9]).**
For there exists a unique positive real number such that there exists a -KMS state for the -action on . The admitted KMS state is faithful and unique.
3 Continuous orbit equivalence and KMS conditions
Throughout the section, two irreducible square matrices with entries in are fixed. The Ruelle operator on is denote by , and the action on is denoted by . We use similar notation and for the matrix .
Let be a homeomorphism which gives rise to a continuous orbit equivalence between and . Take and satisfying (1.4) and (1.5), respectively. Recall that and are defined by and , respectively.
Proposition 3.1** ([15, Corollary 3.4]).**
Let be a homeomorphism which gives rise to a continuous orbit equivalence between and . Then there exists an isomorphism such that and
[TABLE]
Recall that denote the Perron-Frobenius eigenvalues of , respectively.
Lemma 3.2**.**
Suppose that one-sided topological Markov shifts and are continuously orbit equivalent via a homeomorphism .
- (i)
There exists a -KMS state for the -action on , and similarly there exists a -KMS state for the -action on . 2. (ii)
Put and . Then we have and , where and are positive eigenvalues of the operators and satisfying (2.2) on and on , respectively.
Proof.
(i) By [7], there exists a unique -KMS state written for the gauge action on . Let be the isomorphism satisfying (3.1). We then have
[TABLE]
Since , the state is a -KMS state for the -action on . We similarly know that there exists a -KMS state for the -action on .
(ii) Take a strictly positive function and a faithful state on satisfying (2.2) for the Ruelle operator . By Lemma 2.3, the state in (i) is a unique -KMS state for the -action on . Put . By Proposition 2.2, KMS-states and normalized positive eigenvectors of the Ruelle operator bijectively correspond so that we have
[TABLE]
As in Lemma 2.3, a KMS state is unique, so that . Hence we have
[TABLE]
By (2.2), we have
[TABLE]
∎
We thus have the following proposition that states an asymptotic relation between two Perron-Frobenius eigenvalues and .
Proposition 3.3**.**
Suppose that one-sided topological Markov shifts and are continuously orbit equivalent. Let (resp. ) be the unique KMS state for the gauge action of (resp. ). Let (resp. ) be the Perron-Frobenius eigenvalue of the matrix (resp. ). Then there exist positive constants such that
[TABLE]
where
[TABLE]
Proof.
Put . For the Ruelle operator , take a strictly positive function and a faithful state on satisfying (2.2). By Lemma 2.1 (ii), we have for
[TABLE]
so that
[TABLE]
By (2.1), we see
[TABLE]
By (3.2) with from Lemma 3.2, we have
[TABLE]
Since , we thus have
[TABLE]
By letting , we have
[TABLE]
Put . Since is faithful, the number is positive. We thus have a desired equality. By putting for a stictly positive function with , we similarly have the other equality
[TABLE]
∎
We now obtain the main result of this paper.
Theorem 3.4**.**
Let and be irreducible, non-permutation matrices with entries in . Suppose that one-sided topological Markov shifts and are continuously orbit equivalent. Let and be the unique KMS states for the gauge actions of and of , respectively. Let and be the Perron–Frobenius eigenvalues of the matrix and of the matrix , respectively. Denote by and the topological entropy of and , respectivly. Then we have
[TABLE]
Proof.
Since and ([11], [20]), we get the desired equalities by Proposition 3.3. ∎
In [13], a notion of strongly continuously orbit equivalence between one-sided topological Markov shifts and was introduced. Suppose that and are continuously orbit equivalent via a homeomorphism Let be the cocycle function for If there exists a continuous function such that
[TABLE]
then and are said to be strongly continuously orbit equivalent. Although we have already known that strongly continuous orbit equivalence of one-sided topological Markov shifts implies topological conjugacy of their two-sided topological Markov shifts ([13, Theorem 5.5]) so that , we may prove it as an immediate corollary of the above theorem in the following way.
Corollary 3.5**.**
Let and be irreducible, non-permutation matrices with entries in . If one-sided topological Markov shifts and are strongly continuously orbit equivalent, then we have .
Proof.
The equality (3.3) implies
[TABLE]
As the function is bounded, the equality follows from Theorem 3.4. ∎
4 Example
Let and be the matrices:
[TABLE]
so that They are both irreducible and not permutations. The subshift is the on-sided full shift over , whereas is the one-sided subshift over forbidden the word . Let be a homeomorphism defined by substituting the word for in such as
[TABLE]
Then the one-sided topological Markov shifts and are continuously orbit equivalent as in [12] via the homeomorphism . For , we put
[TABLE]
and
[TABLE]
The functions satisfy the equalities (1.4), (1.5). Hence we have the cocycle functions
[TABLE]
We will ensure the equalities (1.6) and (1.7) in the following concrete way.
1. Equality (1.6).
As for , we have
[TABLE]
It then follows that
[TABLE]
Sine the restriction of the KMS state to the subalgebra is the Bernoulli measure, we see that for . Therefore we have
[TABLE]
Now we have
[TABLE]
so that we have and hence
[TABLE]
2. Equality (1.7).
As for , we have
[TABLE]
It then follows that by
[TABLE]
Let be the canonical generating partial isometries of the Cuntz–Krieger algebra which satisfies
[TABLE]
By the identification of the function with the projection , the equality (4.1) tells us that
[TABLE]
As the value for is not equal to , we can not use an analogous method to the computation of above. We then use an operator in the following way. By the identities for and
[TABLE]
we have
[TABLE]
Put It is easy to see that is written as
[TABLE]
As is a KMS state on , the equality holds so that . It follows that
[TABLE]
We thus have
[TABLE]
Acknowledgments: The author would like to deeply thank the referee for careful reading and lots of helpful advices in the presentation of the paper. This work was supported by JSPS KAKENHI Grant Numbers 15K04896, 19K03537.
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