text:
# AF flows and continuous symmetries

## 1 Introduction

We consider the class of AF representable one-parameter automorphism groups of a unital simple AF $`C^{}`$-algebra (which will be called AF flows) and derive two properties, one of which is invariant under inner perturbations and may be used to distinguish them from other flows (i.e., one-parameter automorphism groups).

We recall that a flow $`\alpha `$ of a unital simple AF $`C^{}`$-algebra $`A`$ is defined to be AF locally representable or an AF flow if there is an increasing sequence $`(A_n)`$ of $`\alpha `$-invariant finite-dimensional \*-subalgebras of $`A`$ with dense union , . In this case there is a self-adjoint $`h_nA_n`$ such that $`\alpha _t|A_n=\text{Ad}e^{ith_n}|A_n`$ for each $`n`$. Thus the local Hamiltonians $`(h_n)`$ mutually commute and can be considered to represent the time evolution of a classical statistical lattice model, which is a special kind of model among all the models quantum or classical. Consider the larger class of flows which are inner perturbations of AF-flows. (These are characterized by the property that the domains of the generators contains a canonical AF maximal abelian sub-algebra (masa), see \[15, Proposition 3.1\].) In \[15, Theorem 2.1 and Remark 3.3\] it was demonstrated that there are flows outside this larger class, but the proof was not easy. Our original aim was to show that all the flows which naturally arose in quantum statistical lattice models and were not obviously AF flows, were in fact beyond the class of inner perturbations of AF flows. We could not prove that there was even a single example and obtained only a weak result in this direction which is presented in Remark 2.4. Thus we ended up presenting the two new properties of the AF flows mentioned in the abstract.

The first property we derive for AF flows can be expressed as: there is no continuous symmetry breaking. If $`\delta _\alpha `$ denotes the generator of a general flow $`\alpha `$, we define the exact symmetry group for $`\alpha `$ as $`G_0=\{\gamma \text{Aut}A|\gamma \delta _\alpha \gamma ^1=\delta _\alpha \}`$ and the near symmetry group as $`G_1=\{\gamma \text{Aut}A|\gamma \delta _\alpha \gamma ^1=\delta _\alpha +\text{ad}ih\mathrm{for}\mathrm{some}h=h^{}A\}`$. Then it is known that there is a natural homomorphism of $`G_0`$ into the affine homeomorphism group of the simplex of KMS states at each temperature. We deduce moreover in Proposition 2.1 from the perturbation theory of KMS states , that there is a homomorphism of $`G_1`$ into the homeomorphism group of the simplex of KMS states at each temperature, mapping the extreme points onto the extreme points. We next show in the special case of AF flows that if $`\gamma G_0`$ is connected to id in $`G_0`$ by a continuous path, then $`\gamma `$ induces the identity map on the simplexes of KMS states. We actually show a generalization of this in Theorem 2.3: If $`\alpha `$ is an AF flow and $`\gamma G_1`$ is connected to id in $`G_1`$ by a continuous path $`(\gamma _t)`$ such that $`\gamma _t\delta _\alpha \gamma _t^1=\delta _\alpha +\text{ad}ib(t)`$ with $`b(t)`$ rectifiable in $`A`$, then $`\gamma `$ induces a homeomorphism which fixes each extreme point. (Thus, if the homeomorphism is affine, it is the identity map. This is in particular true if $`\gamma G_0`$.)

The second property we derive for the class of inner perturbations of AF flows can be expressed as: the almost fixed point algebra for $`\alpha `$ has real rank zero (see Theorem 3.6). A technical lemma used to show this property is a generalization of H. Lin’s result on almost commuting self-adjoint matrices . The generalization says that any almost commuting pair of self-adjoint matrices, one of norm one and the other of arbitrary norm, is in fact close to an exactly commuting pair (see Theorem 3.1).

We recall here a similar kind of property in  saying that the almost fixed point algebra has trivial $`K_1`$. We will show by examples that these two properties, real rank zero and trivial $`K_1`$ for the almost fixed point algebra, are independent, as one would expect. (It is not that the almost fixed point algebra is actually defined as an algebra; but if $`\alpha `$ is periodic, then we can regard the almost fixed point algebra as the usual fixed point algebra, see Proposition 3.7. In general we can characterize any property of the almost fixed point algebra as the corresponding property of the fixed point algebra for a certain flow obtained by passing to a $`C^{}`$-algebra of bounded sequences modulo $`c_0`$, see Proposition 3.8.)

We remark that there is a flow $`\alpha `$ of a unital simple AF $`C^{}`$-algebra such that $`𝒟(\delta _\alpha )`$ is not AF (as a Banach \*-algebra)(cf. ). This was shown in  by constructing an example where $`𝒟(\delta _\alpha )`$ does not have real rank zero. Note that $`𝒟(\delta _\alpha )`$ has always trivial $`K_1`$ and has the same $`K_0`$ as the $`C^{}`$-algebra $`A`$. Hence real rank is still the only property which has been used to distinguish $`\alpha `$ with non-AF $`𝒟(\delta _\alpha )`$. On the other hand even $`K_0`$ (of the almost fixed point algebra) might be used to distinguish non-AF flows (up to inner perturbations) as well as real rank and $`K_1`$ as shown above.

In the last section we will show that any quasi-free flow of the CAR algebra has the property that the almost fixed point algebra has trivial $`K_1`$, leaving open the question of whether it is an inner perturbation of an AF flow or not and even the weaker question of whether the almost fixed point algebra has real rank zero or not.

One of the authors (A.K.) would like to thank Professor S. Sakai for discussions and questions concerning the first property.

## 2 Symmetry

In the first part of this section we describe the symmetry group of a flow and how it is mapped into the homeomorphism groups of the simplexes of KMS states. Then in the remaining part we discuss a theorem on a kind of absence of continuous symmetry breaking for AF flows.

In the first part $`A`$ can be an arbitrary unital simple $`C^{}`$-algebra. Let $`\alpha `$ be a flow of $`A`$ (where we always assume strong continuity; $`t\alpha _t(x)`$ is continuous for any $`xA`$), and $`\delta _\alpha `$ the generator of $`\alpha `$. Then $`\delta _\alpha `$ is a closed linear operator defined on a dense \*-subalgebra $`𝒟(\delta _\alpha )`$ of $`A`$ with the derivation property: $`\delta _\alpha (xy)=\delta _\alpha (x)y+x\delta _\alpha (y),\delta _\alpha (x)^{}=\delta _\alpha (x^{})`$ for $`x,y𝒟(\delta _\alpha )`$. We equip $`𝒟(\delta _\alpha )`$ with the norm $`_{\delta _\alpha }`$ obtained by embedding $`𝒟(\delta _\alpha )`$ into $`AM_2`$ by the (non \*-preserving) isomorphism $`x\left(\begin{array}{cc}x& \delta _\alpha (x)\\ 0& x\end{array}\right)`$. Note that $`𝒟(\delta _\alpha )`$ is a Banach \*-algebra. (See  for the theory of unbounded derivations.)

We call a continuous function $`u`$ of R into the unitary group of $`A`$ an $`\alpha `$-cocycle if $`u_s\alpha _s(u_t)=u_{s+t},s,t\text{R}`$. Then $`t\text{Ad}u_t\alpha _t`$ is a flow of $`A`$ and is called a cocycle perturbation of $`\alpha `$. If $`u`$ is differentiable, then the generator of this perturbation is $`\delta _\alpha +\text{ad}ih`$, where $`du/dt|_{t=0}=ih`$ (see \[14, section 1\]). We define the symmetry group $`G=G_\alpha `$ of $`\alpha `$ as

$$\{\gamma \text{Aut}A|\gamma \alpha \gamma ^1\mathrm{is}\mathrm{a}\mathrm{cocycle}\mathrm{perturbation}\mathrm{of}\alpha \},$$

which is slightly more general than the $`G_1`$ given in the introduction, so $`G_0G_1G=G_\alpha `$. Then $`G`$ depends on the class of cocycle perturbations of $`\alpha `$ only and is indeed a group: If $`\gamma G`$, then $`\gamma \alpha _t\gamma ^1=\text{Ad}u_t\alpha _t`$ for some $`\alpha `$-cocycle $`u`$, which implies that

$$\gamma ^1\alpha _t\gamma =\text{Ad}\gamma ^1(u_t^{})\alpha _t.$$

We can check the $`\alpha `$-cocycle property of $`t\gamma ^1(u_t^{})`$ by

$`\gamma ^1(u_s^{})\alpha _s(\gamma ^1(u_t^{}))`$ $`=`$ $`\gamma ^1(u_s^{}\gamma \alpha _s\gamma ^1(u_t^{}))=\gamma ^1(u_s^{}\text{Ad}u_s\alpha _s(u_t^{}))`$
$`=`$ $`\gamma ^1(\alpha _s(u_t^{})u_s^{})=\gamma ^1(u_{s+t}^{}).`$
Thus $`\gamma ^1G`$. If $`\gamma _1,\gamma _2G`$, then $`\gamma _i\alpha _t\gamma _i^1=\text{Ad}u_{it}\alpha _t`$ for some $`\alpha `$-cocycle $`u_i`$ for $`i=1,2`$. Since $`\gamma _1\gamma _2\alpha _t(\gamma _1\gamma _2)^1=\text{Ad}\gamma _1(u_{2t})u_{1t}\alpha _t`$, we only have to check that $`t\gamma _1(u_{2t})u_{1t}`$ is an $`\alpha `$-cocycle, which will be denoted by $`\gamma _1(u_2)u_1`$. We leave this simple calculation to the reader. Note that $`G`$ contains the inner automorphism group $`\mathrm{Inn}(A)`$ as a normal subgroup and each element of $`G/\mathrm{Inn}(A)`$ has a representative $`\gamma G`$ such that $`\gamma `$ leaves $`𝒟(\delta _\alpha )`$ invariant and

$$\gamma \delta _\alpha \gamma ^1=\delta _\alpha +\text{ad}ib$$

for some $`b=b^{}A`$ (see \[14, Corollary 1.2\]).

We equip $`G=G_\alpha `$ with the topology defined by $`\gamma _n\gamma `$ in $`G`$ if

* $`\gamma _n\gamma `$ in $`\text{Aut}(A)`$ (i.e., $`\gamma _n(x)\gamma (x)0`$ for $`xA`$),

and

* there exist $`\alpha `$-cocycles $`u_n,u`$ such that $`\gamma _n\alpha _t\gamma _n^1=\text{Ad}u_{nt}\alpha _t`$, $`\gamma \alpha _t\gamma ^1=\text{Ad}u_t\alpha _t`$ and $`u_{nt}u_t0`$ uniformly in $`t`$ on compact subsets of R.

With this topology $`G`$ is a topological group.

Let $`c\text{R}\{0\}`$ and $`\omega `$ a state on $`A`$. We say that $`\omega `$ satisfies the $`c`$-KMS condition or is a $`c`$-KMS state (with respect to $`\alpha `$) if for any $`x,yA`$ there is a bounded continuous function $`F`$ on the strip $`S_c=\{z\text{C}|0\mathrm{}z/c1\}`$ such that $`F`$ is analytic in the interior of $`S_c`$ and satisfies, on the boundary of $`S_c`$,

$`F(t)`$ $`=`$ $`\omega (x\alpha _t(y)),t\text{R},`$
$`F(t+ic)`$ $`=`$ $`\omega (\alpha _t(y)x),t\text{R}.`$
We denote by $`K_c^\alpha =K_c`$ the set of $`c`$-KMS states of $`A`$. Then $`K_c`$ is a closed convex set of states and moreover a simplex. We denote by $`(K_c)`$ the set of extreme points of $`K_c`$. Note that for $`\omega K_c`$, $`\omega `$ is extreme in $`K_c`$ if and only if $`\omega `$ is a factorial state (see  for details).

###### Proposition 2.1

Let $`A`$ be a unital simple $`C^{}`$-algebra, $`\alpha `$ a flow of $`A`$, and $`c\text{R}\{0\}`$. Then there is a continuous homomorphism $`\mathrm{\Phi }`$ of the symmetry group $`G_\alpha `$ of $`\alpha `$ into the homeomorphism group of $`K_c`$ such that $`\mathrm{\Phi }(\gamma )(\omega )`$ is unitarily equivalent to $`\omega \gamma ^1`$ for each $`\gamma G_\alpha `$ and $`\omega K_c`$. Moreover $`\mathrm{\Phi }(\gamma )=\text{id}`$ for any inner $`\gamma `$.

Proof. Let $`\gamma G_\alpha `$ and let $`u`$ be an $`\alpha `$-cocycle such that $`\gamma \alpha _t\gamma ^1=\text{Ad}u_t\alpha _t`$. Since $`A`$ is simple, $`u`$ is unique up to phase factors, i.e., any other $`\alpha `$-cocycle satisfying the same equality is given as $`te^{ipt}u_t`$ for some $`p\text{R}`$.

Let $`\omega K_c`$. Then $`\omega \gamma ^1`$ is a KMS state with respect to $`\gamma \alpha _t\gamma ^1=\text{Ad}u_t\alpha _t`$. Using the fact that $`\alpha _t=\text{Ad}u_t^{}\gamma \alpha _t\gamma ^1`$, there is a procedure to make a KMS positive linear functional $`\omega ^{}`$ with respect to $`\alpha `$, which depends on the choice of $`u`$; formally it can be given as

$$\omega ^{}(x)=\omega \gamma ^1(xu_{ic}^{}),xA.$$

More precisely we let $`\beta _t=\text{Ad}u_t\alpha _t`$ and express the $`\beta `$-cocycle $`u_t^{}`$ as

$$u_t^{}=wv_t\beta _t(w^1)$$

such that $`tv_t`$ extends to an entire function on C \[14, Lemma 1.1\]. Then we define $`\mathrm{\Phi }(\gamma ,u)\omega `$ as

$$(\mathrm{\Phi }(\gamma ,u)(\omega ))(a)=\omega \gamma ^1(w^1awv_{ic}).$$

(By a formal calculation we can see that this satisfies the $`c`$-KMS condition as follows:

$`\omega \gamma ^1(w^1a\alpha _{ic}(b)wv_{ic})`$ $`=`$ $`\omega \gamma ^1(w^1au_{ic}^1\beta _{ic}(b)u_{ic}wv_{ic})`$
$`=`$ $`\omega \gamma ^1(w^1awv_{ic}\beta _{ic}(w^1bw))`$
$`=`$ $`\omega \gamma ^1(w^1bawv_{ic}),`$
where we used that $`u_{ic}=\beta _{ic}(w)v_{ic}^1w^1`$ and that $`\omega \gamma ^1`$ is a $`c`$-KMS state for $`\beta _t=\gamma \alpha _t\gamma ^1`$. See .) The map

$$\mathrm{\Phi }(\gamma ):\omega \mathrm{\Phi }(\gamma ,u)(\omega )/\mathrm{\Phi }(\gamma ,u)(\omega )(1)$$

defines a continuous map of $`K_c`$ into $`K_c`$ and $`\mathrm{\Phi }(\gamma ,u)(\omega )`$ is quasi-equivalent (hence unitarily equivalent) to $`\omega \gamma ^1`$. (It follows from the definition of $`\mathrm{\Phi }(\gamma ,v)`$ that $`\mathrm{\Phi }(\gamma )(\omega )`$ is quasi-contained in $`\omega \gamma ^1`$, but as $`w^1`$ and $`wv_{ic}`$ are invertible, $`\omega \gamma ^1`$ is conversely quasi-contained in $`\mathrm{\Phi }(\gamma )(\omega )`$. Since any KMS state is separating and cyclic for the weak closure, these states are unitary equivalent.) For any other choice $`u_t^{}=e^{ipt}u_t`$ for $`u`$ it follows that $`\mathrm{\Phi }(\gamma ,u^{})=e^{cp}\mathrm{\Phi }(\gamma ,u)`$. Thus $`\mathrm{\Phi }(\gamma )`$ does not depend on the choice of $`u`$. For $`\gamma _1,\gamma _2G_\alpha `$ with $`\alpha `$-cocycles $`u_1,u_2`$ respectively, it follows that

$$\mathrm{\Phi }(\gamma _1\gamma _2,\gamma _1(u_2)u_1)=\mathrm{\Phi }(\gamma _1,u_1)\mathrm{\Phi }(\gamma _2,u_2)$$

since

$`\mathrm{\Phi }(\gamma _1,u_1)\mathrm{\Phi }(\gamma _2,u_2)(\omega )`$ $`=`$ $`\mathrm{\Phi }(\gamma _1,u_1)(\omega \gamma _2^1(u_{2,ic}^{}))`$
$`=`$ $`\omega \gamma _2^1(\gamma _1^1(u_{1,ic}^{})u_{2,ic}^{})`$
$`=`$ $`\omega \gamma _2^1\gamma _1^1(u_{1,ic}^{}\gamma _1(u_{2,ic}^{})).`$
This shows that $`\mathrm{\Phi }`$ is a group homomorphism. If $`\gamma =\text{Ad}u`$, then $`\mathrm{\Phi }(\gamma ,u\alpha (u^{}))(\omega )=\omega `$. The continuity of $`\gamma \mathrm{\Phi }(\gamma )`$ follows from the following lemma.

###### Lemma 2.2

Let $`(u_{\mathrm{}},u_1,u_2,\mathrm{})`$ be a sequence of $`\alpha `$-cocycles such that $`lim_n\mathrm{}u_{n,t}=u_{\mathrm{},t}`$ uniformly in $`t`$ on every compact subset of R. Then for any $`ϵ>0`$ there exists a sequence $`(w_{\mathrm{}},w_1,w_2,\mathrm{})`$ of invertible elements in $`A`$ such that $`lim_n\mathrm{}w_n=w_{\mathrm{}},w_n1<ϵ`$, and $`v_{m,t}w_m^1u_{m,t}\alpha _t(w_m)`$ extends to an entire function on C for $`m=\mathrm{},1,2\mathrm{}`$ such that $`lim_n\mathrm{}v_{n,z}=v_{\mathrm{},z}`$ for any $`z\text{C}`$.

Proof. Define a $`C^{}`$-algebra $`B`$ by

$$B=\{x=(x_n)_{n=1}^{\mathrm{}}|x_nA,limx_n\text{exists}\}$$

and define a flow $`\beta `$ on $`BM_2`$ by $`\beta _t=\text{Ad}U\alpha _t\text{id}`$, where $`U=(1u_{n,t})`$. We define a homomorphism $`\phi `$ of $`B`$ onto $`A`$ by $`\phi (x)=limx_n`$ for $`x=(x_n)B`$ and note that $`\phi \beta _t=\text{Ad}(1u_{\mathrm{},t})\alpha _t\text{id}\phi `$. Let $`ϵ(0,1)`$. Since $`(10)_n`$ and $`(01)_n`$ are fixed by $`\beta `$, there is a $`wB`$ such that $`w1<ϵ`$ and

$$t\beta _t(\left(\begin{array}{cc}0& 0\\ w& 0\end{array}\right))$$

extends to an entire function on C (pick an entire element $`y`$ for $`\beta `$ close to $`\left(\genfrac{}{}{0pt}{}{\mathrm{0\hspace{0.33em}\hspace{0.17em}0}}{\mathrm{1\hspace{0.33em}\hspace{0.17em}0}}\right)`$, and replace $`y`$ by $`(01)_ny(10)_n`$). If $`w=(w_n)B,v_{n,t}=w_n^1u_{n,t}\alpha _t(w_n)A`$, and $`v_t=(v_{n,t})B`$, then we have that

$$\beta _t(\left(\begin{array}{cc}0& 0\\ w& 0\end{array}\right))=\left(\begin{array}{cc}0& 0\\ wv_t& 0\end{array}\right).$$

Letting $`w_{\mathrm{}}=limw_n`$ and $`v_{\mathrm{},t}=limv_{n,t}`$, the proof is complete.

###### Theorem 2.3

Let $`A`$ be a unital simple AF $`C^{}`$-algebra and $`\alpha `$ an AF flow of $`A`$. Let $`(\gamma _t)_{t[0,1]}`$ be a continuous path in $`G_\alpha `$ such that

$$\gamma _t\delta _\alpha \gamma _t^1=\delta _\alpha +\text{ad}ib(t)$$

for some rectifiable path $`(b(t))_{t[0,1]}`$ in $`A_{sa}`$. Then it follows that $`\mathrm{\Phi }(\gamma _0)(\omega )=\mathrm{\Phi }(\gamma _1)(\omega )`$ for $`\omega (K_c)`$.

Proof. Let $`C`$ be a canonical AF masa in $`𝒟(\delta _\alpha )`$ such that $`\delta _\alpha |_C=0`$. Let $`\omega K_c`$. We note that if $`E`$ denotes the projection of norm one onto $`C`$, then $`\omega =(\omega |_C)E`$, i.e., $`\omega `$ is determined by the restriction $`\omega |_C`$. (Let $`(A_n)`$ be an increasing sequence of $`\alpha `$-invariant finite dimensional subalgebras with dense union in $`A`$ such that $`A_nC`$ is masa in $`A_n`$ for each $`n`$. Then $`\omega |_{A_n}`$ is clearly determined by $`\omega |_{A_nC}`$, and thus $`\omega `$ is determined by $`\omega |_C`$.)

We first prove the theorem in the simpler case where $`b(t)=0`$. In this case $`\gamma _t`$ leaves the $`C^{}`$-subalgebra $`B=\mathrm{Kernel}(\delta _\alpha )`$ invariant, on which $`\omega `$ is a trace. For any projection $`eCB`$, $`(\gamma _t(e))`$ is a continuous family of projections in $`B`$, which implies that $`\gamma _0(e)`$ is equivalent to $`\gamma _1(e)`$ in $`B`$. Hence $`\omega \gamma _0(e)=\omega \gamma _1(e)`$. Since $`C`$ is an abelian AF algebra, this implies that $`\omega \gamma _0|_C=\omega \gamma _1|_C`$. Since they are KMS states, we can conclude that $`\omega \gamma _0=\omega \gamma _1`$. Since this is true for any $`\omega K_c`$, it also follows that $`\omega \gamma _0^1=\omega \gamma _1^1`$.

What we will do in the following is a modification of this argument.

Let $`\omega (K_c)`$. In the GNS representation associated with $`\omega (K_c)`$, we define a one-parameter unitary group $`U`$ by

$$U_t\pi _\omega (x)\mathrm{\Omega }_\omega =\pi _\omega \alpha _t(x)\mathrm{\Omega }_\omega ,xA.$$

Then from the $`c`$-KMS condition on $`\omega `$ it follows that the modular operator $`\mathrm{\Delta }`$ for $`\mathrm{\Omega }_\omega `$ is given by $`\mathrm{\Delta }=e^{cH}`$, where $`H`$ is the generator of $`U`$; $`U_t=e^{itH}`$ (See \[7, Proof of Theorem 5.3.10\]). We define a positive linear functional $`\omega ^{(h)}`$ on $`A`$ for $`h=h^{}A`$ as the vector state given by $`e^{c(H+\pi _\omega (h))/2}\mathrm{\Omega }_\omega `$, i.e.,

$$\omega ^{(h)}(x)=(\pi _\omega (x)e^{c(H+\pi _\omega (h))/2}\mathrm{\Omega }_\omega ,e^{c(H+\pi _\omega (h))/2}\mathrm{\Omega }_\omega ).$$

Then $`\omega ^{(h)}`$ satisfies the $`c`$-KMS condition with respect to $`\delta _\alpha +\text{ad}ih`$. (See  or \[7, Theorem 5.4.4\]. The relation to the previous perturbation argument in terms of cocycles is as follows: The flow generated by $`\delta _\alpha +\text{ad}ih`$ is given as $`\text{Ad}u_t\alpha _t`$, where $`u`$ is the $`\alpha `$-cocycle with $`du_t/dt|_{t=0}=ih`$, and $`\omega ^{(h)}`$ is equal to $`\omega (w^1wv_{ic})`$, where $`u_t`$ is expressed as $`wv_t\alpha _t(w^1)`$ with $`tv_t`$ entire.)

For $`s[0,1]`$ let $`\omega _s=\omega ^{(b(s))}`$, which is a positive linear functional satisfying the $`c`$-KMS condition with respect to the generator $`\delta _\alpha +\text{ad}ib(s)`$. This implies that $`\omega _s\gamma _s`$ is a $`c`$-KMS positive linear functional with respect to $`\gamma _s^1(\delta _\alpha +\text{ad}ib(s))\gamma _s=\delta _\alpha `$.

Let $`s_1,s_2[0,1]`$ and define a positive linear functional $`\phi `$ on $`AM_2`$ by

$$\phi (a)=\omega _{s_1}(a_{11})+\omega _{s_2}(a_{22})$$

for $`a=(a_{ij})AM_2`$. Then $`\phi `$ is a $`c`$-KMS positive linear functional for the flow $`\beta `$ of $`AM_2`$ defined by

$$\beta _t((a_{ij}))=\text{Ad}\left(\begin{array}{cc}u_t^{(b(s_1))}& 0\\ 0& u_t^{(b(s_2))}\end{array}\right)(\alpha _t(a_{ij})),$$

where $`u_t^{(h)}`$ is the $`\alpha `$-cocycle determined by $`du_t^{(h)}/dt|_{t=0}=ih`$ (see ). The generator $`\delta _\beta `$ of $`\beta `$ is given by

$$\delta _\beta ((a_{ij}))=\left(\begin{array}{cc}(\delta _\alpha +\text{ad}ib(s_1))(a_{11})& \delta _\alpha (a_{12})+ib(s_1)a_{12}a_{12}ib(s_2)\\ \delta _\alpha (a_{21})a_{21}ib(s_1)+ib(s_2)a_{21}& (\delta _\alpha +\text{ad}ib(s_2))(a_{22})\end{array}\right).$$

Fix $`ϵ(0,1/2)`$ and a $`C^{\mathrm{}}`$-function $`f`$ on R with compact support such that $`f(0)=0`$ and $`f(t)=t^{1/2}`$ on $`[1ϵ,1]`$. Let $`e`$ be a projection in $`C`$. We choose $`s_1,s_2[0,1]`$ so that

$$\gamma _{s_1}(e)\gamma _{s_2}(e)<ϵ.$$

Let

$$x=\left(\begin{array}{cc}0& \gamma _{s_1}(e)\gamma _{s_2}(e)\\ 0& 0\end{array}\right).$$

Then

$$x^{}x=\left(\begin{array}{cc}0& 0\\ 0& \gamma _{s_2}(e)\gamma _{s_1}(e)\gamma _{s_2}(e)\end{array}\right)$$

and $`\text{Sp}(x^{}x)\{0\}(1ϵ,1]`$. Let $`v=xf(x^{}x)`$. Then $`v`$ is a partial isometry such that

$$vv^{}=\left(\begin{array}{cc}\gamma _{s_1}(e)& 0\\ 0& 0\end{array}\right),v^{}v=\left(\begin{array}{cc}0& 0\\ 0& \gamma _{s_2}(e)\end{array}\right).$$

Since all the components of $`\delta _\beta (x)`$ are zero except for the (1,2) component and $`(\delta _\alpha +\text{ad}ib(s))\gamma _s(e)=0`$, we have that

$`\delta _\beta (x)`$ $`=`$ $`\delta _\beta (x)_{12}`$
$`=`$ $`\gamma _{s_1}(e)ib(s_1)\gamma _{s_2}(e)\gamma _{s_1}ib(s_2)\gamma _{s_2}(e)`$
$``$ $`b(s_1)b(s_2).`$
Since $`\delta _\beta (x^{}x)2b(s_1)b(s_2)`$, and

$$\delta _\beta (f(x^{}x))=\delta _\beta (\widehat{f}(s)e^{isx^{}x}𝑑s)=\widehat{f}(s)_0^1e^{itsx^{}x}is\delta _\beta (x^{}x)e^{i(1t)sx^{}x}𝑑t𝑑s,$$

it follows that

$$\delta _\beta (f(x^{}x))|\widehat{f}(s)s|𝑑s\delta _\beta (x^{}x).$$

Thus there is a constant $`C>0`$ such that

$$\delta _\beta (v)Cb(s_1)b(s_2).$$

By the KMS condition on $`\phi `$ we have a continuous function $`f`$ on the strip $`S_c`$ between $`\mathrm{}z=0`$ and $`\mathrm{}z=c`$, analytic in the interior, such that

$`f(t)`$ $`=`$ $`\phi (v\beta _t(v^{})),t\text{R},`$
$`f(t+ic)`$ $`=`$ $`\phi (\beta _t(v^{})v),t\text{R}.`$
Then $`f`$ is differentiable on $`S_c`$ including the boundary and satisfies that

$`f^{}(t)`$ $`=`$ $`\phi (v\beta _t(\delta _\beta (v^{}))),t\text{R},`$
$`f^{}(t+ic)`$ $`=`$ $`\phi (\beta _t(\delta _\beta (v^{}))v),t\text{R}.`$
Hence it follows that

$$\underset{zS_c}{sup}|f^{}(z)|\underset{zS_c}{sup}|f^{}(z)|C\mathrm{max}\{\omega _{s_1},\omega _{s_2}\}b(s_1)b(s_2),$$

which implies that

$`|\omega _{s_2}(\gamma _{s_2}(e))\omega _{s_1}(\gamma _{s_1}(e))|`$ $`=`$ $`|f(ic)f(0)|`$
$``$ $`|c|CMb(s_1)b(s_2),`$
where $`M=\mathrm{max}\{\omega _s|s[0,1]\}`$. We let $`m=\mathrm{min}\{\omega _s|s[0,1]\}`$ and choose $`t_0=0<t_1<\mathrm{}t_k=1`$ such that

$$|c|C\frac{M}{m}(1+\frac{M}{m})\mathrm{Length}(b(s),s[t_{i1},t_i])<\frac{1}{4}.$$

Then for any projection $`eC`$, we subdivide each interval $`[t_{i1},t_i]`$ into $`s_0=t_{i1}<s_1<\mathrm{}<s_{\mathrm{}}=t_i`$ such that

$$\gamma _{s_{j1}}(e)\gamma _{s_j}(e)<ϵ,$$

and apply the above argument to each pair $`s_{j1},s_j`$ to obtain that

$$|\omega _{t_{i1}}\gamma _{t_{i1}}(e)\omega _{t_i}\gamma _{t_i}(e)||c|CM\mathrm{Length}(b(s),s[t_{i1},t_i]).$$

Thus we have that for any projection $`eC`$

$`|{\displaystyle \frac{\omega _{t_{i1}}\gamma _{t_{i1}}(e)}{\omega _{t_{i1}}(1)}}{\displaystyle \frac{\omega _{t_i}\gamma _{t_i}(e)}{\omega _{t_i}(1)}}|`$ $``$ $`{\displaystyle \frac{1}{m}}|\omega _{t_{i1}}\gamma _{t_{i1}}(e)\omega _{t_i}\gamma _{t_i}(e)|+M|{\displaystyle \frac{\omega _{t_i}(1)\omega _{t_{i1}}(1)}{\omega _{t_i}(1)\omega _{t_{i1}}(1)}}|`$
$``$ $`({\displaystyle \frac{1}{m}}+{\displaystyle \frac{M}{m^2}})|c|CM\mathrm{Length}(b(s),s[t_{i1},t_i])`$
$``$ $`1/4.`$
Let

$$\phi _t=\frac{\omega _t\gamma _t}{\omega _t(1)}$$

and recall that $`\phi _t`$ is a factorial $`c`$-KMS state with respect to $`\alpha `$. Since $`\phi _t=\phi _tE`$ with $`E`$ the projection onto $`C`$ and $`(\phi _{t_{i1}}\phi _{t_i})|C1/2`$, we have that $`\phi _{t_{i1}}\phi _{t_i}1/2`$. Hence $`\phi _{t_{i1}}=\phi _{t_i}`$. Thus we conclude that $`\phi _0=\phi _1`$ or $`\mathrm{\Phi }(\gamma _0^1)(\omega )=\mathrm{\Phi }(\gamma _1^1)(\omega )`$ for $`\omega (K_c)`$. This implies that $`\mathrm{\Phi }(\gamma _0)(\omega )=\mathrm{\Phi }(\gamma _1)(\omega )`$ for $`\omega (K_c)`$ as well.

###### Remark 2.4

Among the quantum lattice models, two or more dimensional, there are long-range interactions which exhibit continuous symmetry breaking. Let $`\alpha `$ be the flow generated by such an interaction and let $`\gamma `$ be an action of T which exactly commutes with $`\alpha `$ and acts non-trivially on the simplex of $`c`$-KMS states at some inverse temperature $`c>0`$. Suppose that $`\alpha `$ is an inner perturbation of an AF flow, i.e., $`\delta =\delta _\alpha +\text{ad}ib`$ is the generator of an AF flow. Since $`\gamma _t\delta \gamma _t^1=\delta +\text{ad}i(\gamma _t(b)b)`$, we can conclude that $`t\gamma _t(b)`$ is not rectifiable; thus at least $`b`$ is not in the domain of the generator of $`\gamma `$. (Note we still cannot conclude that $`\alpha `$ is not an inner perturbation of an AF flow.)

## 3 Property of real rank zero

First we generalize H. Lin’s result  and then use it to prove that the almost fixed point algebra for an AF flow has real rank zero.

###### Theorem 3.1

For every $`ϵ>0`$ there is a $`\nu >0`$ satisfying the following condition: For any $`n\text{N}`$ and any pair $`a,b(M_n)_{sa}`$ with $`b1`$ and $`[a,b]<\nu `$ there exists a pair $`a_1,b_1(M_n)_{sa}`$ such that $`aa_1<ϵ,bb_1<ϵ`$, and $`[a_1,b_1]=0`$.

If we impose the extra condition that $`a1`$ for $`a`$, then this result is due to H. Lin (see also ). Our proof is to reduce Theorem 3.1 to Lin’s result.

###### Lemma 3.2

Let $`f`$ be a $`C^{\mathrm{}}`$-function on R such that $`f0,f(t)𝑑t=1`$, and $`\text{supp}\widehat{f}(1/2,1/2)`$. For any pair $`a,b`$ elements in a $`C^{}`$-algebras-algebra such that $`a=a^{}`$, define

$$b_1=f(t)e^{ita}be^{ita}𝑑t.$$

Then it follows that

$`bb_1`$ $``$ $`{\displaystyle f(t)|t|𝑑t[a,b]},`$
$`[a,b_1]`$ $``$ $`{\displaystyle f(t)𝑑t[a,b]}.`$
Proof. This follows from the following computations:

$`b_1b`$ $`=`$ $`{\displaystyle f(t)(e^{ita}be^{ita}b)𝑑t},`$
$`=`$ $`{\displaystyle f(t)_0^te^{isa}[ia,b]e^{isa}𝑑s𝑑t},`$
$`[a,b_1]`$ $`=`$ $`{\displaystyle f(t)e^{ita}[a,b]e^{ita}𝑑t}.`$
###### Remark 3.3

If we denote by $`E_a`$ the spectral measure of $`a`$, then the $`b_1`$ defined in the above lemma satisfies that

$$E_a(\mathrm{},t1/4]b_1E_a[t+1/4,\mathrm{})=0$$

for any $`t\text{R}`$, \[6, Proposition 3.2.43\].

###### Lemma 3.4

For any $`ϵ>0`$ there is a $`\nu >0`$ satisfying the following condition: For any $`n\text{N}`$, any pair $`a,b(M_n)_{sa}`$ with $`b1`$ and $`[a,b]<\nu `$, and any $`t\text{R}`$ there exists a projection $`pM_n`$ such that

$`E_a[t+1/4,\mathrm{})`$ $``$ $`pE_a(t1/4,\mathrm{}),`$
$`[a,p]`$ $`<`$ $`ϵ,`$
$`[b,p]`$ $`<`$ $`ϵ,`$
where $`E_a`$ denotes the spectral measure associated with $`a`$.

Proof. Let $`f`$ be a $`C^{\mathrm{}}`$-function on R such that

$$f(t)=\{\begin{array}{cc}0& t1/4\hfill \\ 1& t1/4\hfill \end{array}$$

and $`f(t)2t+1/2,0<f(t)<1`$ for $`t(1/4,1/4)`$. Define a function $`g_N`$ on R for a large $`N`$ by

$$g_N(t)=\mathrm{min}\{f(t),f(\sqrt{N}t/\sqrt{N})\}.$$

The function $`g_N`$ is $`C^{\mathrm{}}`$ if $`N\sqrt{N}/4>1/4`$ and satisfies that

$$g_N(t)=\{\begin{array}{cc}1& t[1/4,N\sqrt{N}/4]\hfill \\ 0& t1/4\mathrm{or}tN+\sqrt{N}/4\hfill \end{array}.$$

If $`N\sqrt{N}/4a`$, we have that

$$f(a)=g_N(a)=\widehat{g_N}(t)e^{ita}𝑑t,$$

where

$$\widehat{g_N}(t)=\frac{1}{2\pi }g_N(s)e^{its}𝑑s.$$

Since

$$[b,f(a)]=\widehat{g_N}(t)[b,e^{ita}]𝑑t=\widehat{g_N}(t)_0^te^{i(ts)a}[b,ia]e^{isa}𝑑s𝑑t,$$

we have that

$$[b,f(a)|\widehat{g_N}(t)t|dt[b,a].$$

Since

$$it\widehat{g_N}(t)=\frac{1}{2\pi }g_N(s)\frac{d}{ds}e^{its}𝑑s=\frac{1}{2\pi }g_N^{}(s)e^{its},$$

it follows for $`t0`$ that:

$`\underset{N\mathrm{}}{lim}it\widehat{g_N}(t)`$ $`=`$ $`{\displaystyle \frac{1}{2\pi }}{\displaystyle f^{}(s)e^{its}𝑑s}lim{\displaystyle \frac{1}{2\pi \sqrt{N}}}{\displaystyle f^{}(\sqrt{N}s/\sqrt{N})e^{its}𝑑s}`$
$`=`$ $`{\displaystyle \frac{1}{2\pi }}{\displaystyle f^{}(s)e^{its}𝑑s}`$
$`=`$ $`\widehat{f^{}}(t).`$
Since the above convergence can be estimated by

$$\frac{1}{2\pi \sqrt{N}}f^{}(\sqrt{N}s/\sqrt{N})e^{its}𝑑s=\frac{e^{iNt}}{2\pi }f^{}(u)e^{i\sqrt{N}tu}𝑑u=e^{iNt}\widehat{f^{}}(\sqrt{N}t),$$

we obtain that

$$[b,f(a)]C[b,a],$$

where

$$C=|\widehat{f^{}}(t)|𝑑t.$$

If $`[a,b]`$ is small enough, then $`[b,f(a)]`$ is so small with $`f(a)1`$ and $`b1`$ that H. Lin’s result is applicable to the pair $`b,c=f(a)`$. Thus we obtain $`b_1,c_1(M_n)_{sa}`$ such that

$$bb_10,cc_10,[b_1,c_1]=0.$$

Let $`q`$ be the spectral projection of $`c_1`$ corresponding to $`(1/2,\mathrm{})`$. Since $`cc_10`$, and the spectral projection of $`c`$ corresponding to $`(0,\mathrm{})`$ (resp. $`[1,\mathrm{})`$) is $`E_a(1/4,\mathrm{})`$ (resp. $`E_a[1/4,\mathrm{})`$), we have that

$`E_a(1/4,\mathrm{})q`$ $``$ $`q,`$
$`E_a[1/4,\mathrm{})q`$ $``$ $`E_a[1/4,\mathrm{}),`$
where the approximation depends only on $`cc_1`$, which in turn depends only on $`[a,b]`$. Hence in particular $`E_a(1/4,1/4)`$ almost commutes with $`q`$. By functional calculus we construct a projection $`q_0`$ from $`E_a(1/4,1/4)qE_a(1/4,1/4)`$ and set $`p=q_0+E_a[1/4,\mathrm{})`$, which is close to $`q`$, dominates $`E_a[1/4,\mathrm{})`$ and is dominated by $`E_a(1/4,\mathrm{})`$. Since $`[p,a]=[p,E_a(1/4,1/4)a]=[pq,E_a(1/4,1/4)a]+[q,E_a(1/4,1/4)(af(a)/2+1/4)]`$, we obtain that $`[p,a]2pq+2sup_{t(1/4,1/4)}|tf(t)/2+1/4|`$. Since $`[p,b]=[pq,b]+[q,b]=[pq,b]+[q,bb_1]+[q,b_1]`$, we obtain that $`[p,b]2bpq+2bb_1`$. Hence $`p`$ is the desired projection for $`t=0`$. We can apply this argument to the pair $`at1,b`$ to obtain the desired projection $`p`$ for $`t\text{R}`$.

###### Lemma 3.5

For any $`ϵ>0`$ there exists a $`\nu >0`$ satisfying the following condition: For any $`n\text{N}`$, any pair $`a,b(M_n)_{sa}`$ with $`b1`$ and $`[a,b]<\nu `$ there is a family $`\{p_k:k\text{Z}\}`$ of projections in $`M_n`$ such that

$`[E_a(j1/4,j+1/4),p_k]=0,j,k\text{N},`$
$`E_a[k+1/4,k+3/4]p_kE_a(k1/4,k+5/4),`$
$`[a,p_k]<ϵ,`$
$`[b,p_k]<ϵ,`$
$`{\displaystyle \underset{k}{}}p_k=1,`$
where $`p_k=0`$ except for a finite number of $`k`$.

Proof. By the previous lemma we choose a $`\nu >0`$ such that for a pair $`a,b`$ as above, there are projections $`e_k,k\text{Z}`$ such that

$`E_a[k+1/4,\mathrm{})e_kE_a(k1/4,\mathrm{}),`$
$`[a,e_k]<ϵ/2,`$
$`[b,e_k]<ϵ/2.`$
Then we set

$$p_k=e_k(1e_{k+1})=e_ke_{k+1}.$$

Then $`\{p_k\}`$ is a family of projections with $`_kp_k=1`$. Since

$$E_a(\mathrm{},k+3/4]1e_{k+1}E_a(\mathrm{},k+5/4),$$

we see that $`\{p_k\}`$ satisfies the required conditions.

Proof of Theorem 3.1

By Lemma 3.2 we may assume that we are given a pair $`a,b(M_n)_{sa}`$ such that $`b1,[a,b]<\nu `$, and $`E_a(\mathrm{},t1/4]bE_a[t+1/4,\mathrm{})=0`$ for any $`t\text{R}`$, where $`\nu >0`$ is given in the previous lemma. Choosing the projections $`\{p_k\}`$ given there, we claim that

$`a{\displaystyle \underset{k}{}}p_kap_k<4ϵ,`$
$`b{\displaystyle \underset{k}{}}p_kbp_k<4ϵ.`$
To prove this note that if $`|ij|>1`$ then $`p_iap_j=0=p_ibp_j`$. Since

$$a\underset{k}{}p_kap_k=\underset{k}{}p_kap_{k+1}+\underset{k}{}p_{k+1}ap_k=\underset{k}{}[p_k,a]p_{k+1}+\underset{k}{}p_{k+1}[a,p_k],$$

and

$$\underset{k}{}[p_{2k},a]p_{2k+1}^2=\underset{k}{}[p_{2k},a]p_{2k+1}[a,p_{2k}]=\underset{k}{sup}[p_{2k},a]p_{2k+1}[a,p_{2k}]<ϵ^2,$$

and similar computations hold for three other sums and for $`b`$, we get the above assertions. We then apply H. Lin’s result  to each pair $`p_kap_k,p_kbp_k`$ which satisfies

$$[p_kap_k,p_kbp_k]p_k[a,p_k]bp_k+p_k[a,b]p_k+p_k[b,p_k]ap_k<2ϵ+\nu .$$

Assuming that $`2ϵ+\nu `$ is sufficiently small, we obtain a pair $`a_k,b_k`$ in $`(p_kM_np_k)_{sa}`$ such that

$$p_kap_ka_k,p_kbp_kb_k,[a_k,b_k]=0.$$

We set $`a^{}=_ka_k`$ and $`b^{}=_kb_k`$. Then it follows that $`[a^{},b^{}]=0`$ and $`aa^{},bb^{}`$ because of the inequality

$$aa^{}a\underset{k}{}p_kap_k+\underset{k}{sup}p_kap_ka_k$$

and a similar inequality for $`b,b^{}`$. This completes the proof.

For a flow $`\alpha `$ of a unital simple AF algebra we denote by $`\delta _\alpha `$ the generator of $`\alpha `$ as before. We introduce the following condition on $`\alpha `$, which we may express by saying that the almost fixed point algebra for $`\alpha `$ has real rank zero.

Condition F0: For any $`ϵ>0`$ there exists a $`\nu >0`$ satisfying the following condition: If $`h=h^{}𝒟(\delta _\alpha )`$ satisfies that $`h1`$ and $`\delta _\alpha (h)<\nu `$ there exists a pair $`k=k^{}𝒟(\delta _\alpha )`$ and $`b=b^{}A`$ such that $`hk<ϵ,b<ϵ,(\delta _\alpha +\text{ad}ib)(k)=0`$, and $`\text{Sp}(k)`$ is finite.

In the above condition let $`C`$ be the (finite-dimensional) \*-subalgebra generated by $`k`$. Then $`h`$ is approximated by an element of $`C`$ within distance $`ϵ`$ and $`\delta _\alpha |C<2ϵ`$.

We recall from \[15, Proposition 3.1\] that a flow $`\alpha `$ is a cocycle perturbation of an AF flow if and only if the domain $`𝒟(\delta _\alpha )`$ contains a canonical AF masa. (A maximal abelian AF $`C^{}`$-subalgebra $`C`$ of a AF $`C^{}`$-algebra $`A`$ is called canonical if there is an increasing sequence $`(A_n)`$ of finite-dimensional \*-subalgebras of $`A`$ with dense union such that $`CA_nA_{n1}^{}`$ is maximal abelian in $`A_nA_{n1}^{}`$ for each $`n`$ with $`A_0=0`$.)

###### Theorem 3.6

Let $`\alpha `$ be a flow of a non type I simple AF $`C^{}`$-algebra. If $`𝒟(\delta _\alpha )`$ contains a canonical AF masa, then the above condition F0 is satisfied, i.e., the almost fixed point algebra has real rank zero.

Proof. Let $`ϵ>0`$. We choose a $`\nu >0`$ as in Theorem 3.1.

Let $`h=h^{}𝒟(\delta _\alpha )`$ be such that $`h1`$ and $`\delta _\alpha (h)<\nu `$. There exists a $`c=c^{}A`$ such that $`c<\mathrm{min}\{(\nu \delta _\alpha (h))/2,ϵ\}`$ and $`\delta _\alpha +\text{ad}ic`$ generates an AF flow. Explicitly let $`\{A_n\}`$ be an increasing sequence of finite-dimensional \*subalgebras of $`A`$ with dense union such that $`A_n𝒟(\delta _\alpha )`$ and $`(\delta _\alpha +\text{ad}ic)(A_n)A_n`$ for each $`n`$. There exists a sequence $`\{h_n\}`$ such that $`h_n=h_n^{}A_n,h_n1,h_nh0`$, and $`\delta _\alpha (hh_n)0`$. Since $`(\delta _\alpha +\text{ad}ic)(h)<\nu `$, we have an $`n`$, $`h_0=h_0^{}A_n`$, and $`a=a^{}A_n`$ such that $`h_01`$, $`hh_0<ϵ`$, $`(\delta _\alpha +\text{ad}ic)(h_0)<\nu `$, and $`(\delta _\alpha +\text{ad}ic)|A_n=\text{ad}ia|A_n`$. Since $`A_n`$ is a finite direct sum of matrix algebras, Theorem 3.1 is applicable to the pair $`a,h_0`$. Thus there exists a pair $`a_1,h_1(A_n)_{sa}`$ such that $`aa_1<ϵ,h_0h_1<ϵ`$, and $`[a_1,h_1]=0`$. Let $`b=a_1a+c`$. Then we have that $`hh_1<2ϵ,b<2ϵ,(\delta _\alpha +\text{ad}ib)(h_1)=0`$, and $`\text{Sp}(h_1)`$ is finite.

In the special case that $`\alpha `$ is periodic, the fact that the almost fixed point algebra has real rank zero simply means that the fixed point algebra has real rank zero:

###### Proposition 3.7

Let $`A`$ a non type I simple AF $`C^{}`$-algebra and $`\alpha `$ a periodic flow of $`A`$. Then the following conditions are equivalent:

1. Condition F0 holds.
2. The fixed point algebra $`A^\alpha =\{aA|\alpha _t(a)=a\}`$ has real rank zero.

Proof. We may suppose that $`\alpha _1=\text{id}`$. Suppose (1); we have to show that $`\{hA_{sa}^\alpha |\text{Sp}(h)\mathrm{is}\mathrm{finite}\}`$ is dense in $`A_{sa}^\alpha `$ . Let $`h=h^{}A^\alpha `$, $`ϵ>0`$, and $`n\text{N}`$. There exist an $`h_1𝒟(\delta _\alpha )_{sa}`$ and $`bA_{sa}`$ such that $`hh_1<ϵ,b<ϵ,(\delta _\alpha +\text{ad}ib)(h_1)=0`$, and $`\text{Sp}(h_1)`$ is finite. We approximate $`h_1`$ by an element $`h_2=_{k=n}^n(k/n)p_k`$ in the \*-subalgebra generated by $`h_1`$, where $`(p_k)`$ is a mutually orthogonal family of projections. We may assume that $`h_1h_21/n`$ and hence that $`hh_2<ϵ+1/n`$. Note that we still have that $`(\delta _\alpha +\text{ad}ib)(h_2)=0`$. Since $`\alpha _t(p_k)p_k|t|\delta (p_k)<2|t|ϵ`$, we have that

$$_0^1\alpha _t(p_k)p_k<ϵ$$

for $`k=n,n+1,\mathrm{},n`$. If $`ϵ`$ is sufficiently small, then by functional calculus we inductively define a projection $`q_kA^\alpha `$ from $`(1_{j=n}^{k1}q_j)\alpha _tp_k𝑑t(1_{j=n}^{k1}q_j)`$, which belongs to $`A^\alpha `$, such that $`q_kp_k`$ and $`q_k`$ is orthogonal to $`_{j=n}^{k1}q_j`$. Then $`h_3=_{k=n}^n(k/n)q_k_{k=n}^n(k/n)p_k=h_2`$, where the approximation is of the order of $`ϵ`$ times some function of $`n`$. Since $`h_3A^\alpha `$, we reach the conclusion by choosing $`ϵ>0`$ sufficiently small.

The converse implication is easy to show.

If $`\alpha `$ is not periodic, we can still re-formulate Condition F0 as follows, further justifying the terminology that the almost fixed point algebra has real rank zero. We denote by $`\mathrm{}^{\mathrm{}}`$ the $`C^{}`$-algebra of bounded sequences in $`A`$ and by $`c_0`$ the closed ideal of $`\mathrm{}^{\mathrm{}}`$ consisting of sequences converging to zero. Then we set $`A^{\mathrm{}}`$ to be the quotient $`\mathrm{}^{\mathrm{}}/c_0`$. The flow $`\alpha `$ on $`A`$ induces a flow $`\overline{\alpha }`$ on $`\mathrm{}^{\mathrm{}}`$ by $`\overline{\alpha }_t(x)=(\alpha _t(x_n))`$ for $`x=(x_n)`$. But since $`\overline{\alpha }`$ is not strongly continuous (if $`\alpha `$ is not uniformly continuous), we choose the $`C^{}`$-subalgebra $`\mathrm{}_\alpha ^{\mathrm{}}`$ consisting of $`x\mathrm{}^{\mathrm{}}`$ with $`t\overline{\alpha }_t(x)`$ continuous. Since $`\mathrm{}_\alpha ^{\mathrm{}}c_0`$ and $`c_0`$ is $`\overline{\alpha }`$-invariant, $`\overline{\alpha }`$ induces a (strongly continuous) flow on the quotient $`A_\alpha ^{\mathrm{}}=\mathrm{}_\alpha ^{\mathrm{}}/c_0`$, which will also be denoted by $`\alpha `$. Note that $`A_\alpha ^{\mathrm{}}`$ is inseparable even if $`A`$ is separable. See .

###### Proposition 3.8

Let $`A`$ be a $`C^{}`$-algebra and $`\alpha `$ a flow of $`A`$. Then the following conditions are equivalent:

1. Condition F0 holds.
2. The fixed point algebra $`(A_\alpha ^{\mathrm{}})^\alpha `$ has real rank zero.

Proof. Suppose (1) and let $`h(A_\alpha ^{\mathrm{}})_{sa}^\alpha `$. We take a representative $`(h_n)\mathrm{}_\alpha ^{\mathrm{}}`$ of $`h`$ such that $`h_n^{}=h_n`$ for all $`n`$. Taking a non-negative $`C^{\mathrm{}}`$ function $`f`$ with integral 1, we may replace each $`h_n`$ by $`f(t)\alpha _t(h_n)𝑑t`$. Thus we can assume that $`h_n𝒟(\delta _\alpha )`$ and $`\delta _\alpha (h_n)0`$. Then for any $`ϵ>0`$ there exists a sequence of pairs $`k_n𝒟(\delta _\alpha )_{sa}`$ and $`b_nA_{sa}`$ such that $`h_nk_n<ϵ,b_n0,(\delta _\alpha +\text{ad}ib_n)(k_n)=0`$, and $`\text{Sp}(k_n)`$ is finite and independent of $`n`$. Hence $`k=(k_n)+c_0A_\alpha ^{\mathrm{}}`$ satisfies that $`hkϵ,\delta _\alpha (k)=0`$, and $`\text{Sp}(k)`$ is finite. This shows that $`(A_\alpha ^{\mathrm{}})^\alpha `$ has real rank zero .

Suppose (2). If Condition F0 does not hold, we find an $`ϵ>0`$ and a sequence $`(h_n)`$ in $`𝒟(\delta _\alpha )_{sa}`$ such that $`h_n=1,\delta _\alpha (h_n)0`$, and such that if $`k𝒟(\delta _\alpha )_{sa}`$ and $`bA_{sa}`$ satisfy that $`hk<ϵ,b<ϵ`$, and $`\text{Sp}(k)`$ is finite, then $`(\delta _\alpha +\text{ad}ib)(k)0`$. Since $`h=(h_n)+c_0A_\alpha ^{\mathrm{}}`$ belongs to $`(A_\alpha ^{\mathrm{}})^\alpha `$, we have a $`k(A_\alpha ^{\mathrm{}})_{sa}^\alpha `$ such that $`hk<ϵ`$ and $`\text{Sp}(k)`$ is finite. By choosing an appropriate representative (consisting of projections) for each minimal spectral projection of $`k`$, we find a representative $`(k_n)`$ of $`k`$ such that $`k_n^{}=k_n,\text{Sp}(k_n)=\text{Sp}(k)`$, and $`\delta _\alpha (k_n)0`$. This is a contradiction.

We recall here a condition on a flow $`\alpha `$ considered in .

Condition F1: For any $`ϵ>0`$ there exists a $`\nu >0`$ satisfying the following condition: If $`u𝒟(\delta _\alpha )`$ is a unitary with $`\delta _\alpha (u)<\nu `$ there is a continuous path $`(u_t)`$ of unitaries in $`A`$ such that $`u_0=1,u_1=u,u_t𝒟(\delta _\alpha )`$, and $`\delta _\alpha (u_t)<ϵ`$ for $`t[0,1]`$.

In the above condition we can choose the path $`(u_t)`$ to be continuous in the Banach \*-algebra $`𝒟(\delta _\alpha )`$. We express this condition by saying that the almost fixed point algebra for $`\alpha `$ has trivial $`K_1`$. What we have shown in  is that if $`\alpha `$ is an inner perturbation of an AF flow then the above condition holds. Actually by using the full strength of Lemma 5.1 of , one can show that the following stronger condition holds:

Condition F1’: For any $`ϵ>0`$ there exists a $`\nu >0`$ satisfying the following condition: If $`u𝒟(\delta _\alpha )`$ is a unitary with $`\delta _\alpha (u)<\nu `$ there is a rectifiable path $`(u_t)`$ of unitaries in $`A`$ such that $`u_0=1,u_1=u,u_t𝒟(\delta _\alpha )`$, $`\delta _\alpha (u_t)<ϵ`$ for $`t[0,1]`$, and the length of $`(u_t)`$ is bounded by $`C`$, where $`C`$ is a universal constant (smaller than $`3\pi +\epsilon `$ for example).

Then one can show the following:

###### Proposition 3.9

Let $`A`$ be a unital $`C^{}`$-algebra and $`\alpha `$ a flow of $`A`$. Then the following conditions are equivalent:

1. Condition F1’ holds.
2. The unitary group of the fixed point algebra $`(A_\alpha ^{\mathrm{}})^\alpha `$ is path-wise connected; moreover any unitary is connected to 1 by a continuous path of unitaries whose length is bounded by a universal constant.

We will leave the proof to the reader.

###### Remark 3.10

If $`A`$ is a unital simple AF $`C^{}`$-algebra, one can construct a periodic flow $`\alpha `$ of $`A`$, by using the general classification theory of locally representable actions , such that the almost fixed point algebra for $`\alpha `$ has real rank zero but does not have trivial $`K_1`$.

###### Proposition 3.11

Let $`A`$ be a unital simple AF $`C^{}`$-algebra. Then there exists a flow $`\alpha `$ of $`A`$ such that $`𝒟(\delta _\alpha )`$ is AF and the almost fixed point algebra for $`\alpha `$ does not have real rank zero but has trivial $`K_1`$ (i.e., F0 holds but not F1).

Proof. We shall use a construction used in the proof of 2.1 of . Let $`(A_n)`$ be an increasing sequence of finite-dimensional \*-subalgebras of $`A`$ such that $`A=\overline{_nA_n}`$ and let $`A_n=_{j=1}^{k_n}A_{nj}`$ be the direct sum decomposition of $`A_n`$ into full matrix algebras $`A_{nj}`$. Since $`K_0(A_n)\text{Z}^{k_n}`$, we obtain a sequence of $`K_0`$ groups:

$$\text{Z}^{k_1}\stackrel{\chi _1}{}\text{Z}^{k_2}\stackrel{\chi _2}{}\mathrm{},$$

where $`\chi _n`$ is the positive map of $`K_0(A_n)=\text{Z}^{k_n}`$ into $`K_0(A_{n+1})=\text{Z}^{k_{n+1}}`$ induced by the embedding $`A_nA_{n+1}`$. Since $`K_0(A)`$ is a simple dimension group different from Z, we may assume that $`\mathrm{min}_{ij}\chi _n(i,j)\mathrm{}`$ as $`n\mathrm{}`$.

By using $`(A_n)`$ we will express $`A`$ as an inductive limit of $`C^{}`$-algebras $`A_nC[0,1]`$. First we define a homomorphism $`\phi _{n,ij}`$ of $`A_{nj}C[0,1]`$ into $`A_{nj}M_{\chi _n(i,j)}C[0,1]`$ as follows: If $`i=j=1`$ then

$$\phi _{n,11}(x)(t)=x(t)_{\mathrm{}=0}^{\chi _n(1,1)2}x(\frac{t+\mathrm{}}{\chi _n(1,1)1}),$$

otherwise

$$\phi _{n,ij}(x)(t)=_{\mathrm{}=0}^{\chi _n(1,1)1}x(\frac{t+\mathrm{}}{\chi _n(1,1)}).$$

Especially $`\phi _{n,ij}(x)`$ is of diagonal form in the matrix algebra over $`A_{nj}C[0,1]`$. Then embedding

$$_{j=1}^{k_n}A_{nj}M_{\chi _n(i,j)}C[0,1]$$

into $`A_{n+1,i}C[0,1]`$, $`(\phi _{n,ij})`$ defines an injective homomorphism $`\phi _n:A_nC[0,1]A_{n+1}C[0,1]`$. Then it follows that the inductive limit $`C^{}`$-algebra of $`(A_nC[0,1],\phi _n)`$ is isomorphic to the original $`A`$; we have thus expressed $`A`$ as $`\overline{_nB_n}`$ where $`B_n=A_nC[0,1]B_{n+1}`$ .

We will define a flow or one-parameter automorphism group $`\alpha `$ of $`A`$ such that $`\alpha _t(B_n)=B_n`$ and $`\alpha _t|_{B_n}`$ is inner, i.e., $`\alpha `$ is locally representable for the sequence $`(B_n)`$. First we define a sequence $`(H_n)`$ with self-adjoint $`H_nA_n1B_n`$ inductively. Let $`H_1A_11B_1`$ and let $`H_n=H_{n1}+_i_jh_{n,ij}`$, where

$$h_{n,ij}^{}=h_{n,ij}1M_{\chi _{n1}(i,j)}1A_{n1,j}M_{\chi _{n1}(i,j)}1B_n.$$

We define $`\alpha _t|B_n`$ by $`\text{Ad}e^{itH_n}|B_n`$. Since $`\alpha _t|B_n=\text{Ad}e^{itH_{n+1}}|B_n`$ from the definition of $`H_{n+1}`$, $`(\alpha _t|B_n)`$ defines a flow $`\alpha `$ of $`A`$.

We fix $`H_1`$ and $`h_{nij}`$ in the following way: $`h_{nij}1/2`$ except for $`h_{n11}`$ which is defined by

$$h_{n11}=10\mathrm{}1M_{\chi _{n1}(1,1)}1A_{n1}C[0,1].$$

We will show that the $`\alpha `$ defined this way has the desired properties.

Let $`x`$ be the identity function on the interval $`[0,1]`$ and let $`x_n=1x1C[0,1]B_n`$. To show that $`𝒟(\delta _\alpha )`$ is AF, it suffices to show that for each $`x_n`$, there exists a sequence $`(h_m)_{m>n}`$ such that $`h_m=h_m^{}B_m`$, $`\text{Sp}(h_m)`$ is finite, and $`x_nh_m_{\delta _\alpha }0`$ as $`m\mathrm{}`$. For a sufficiently large $`m>n`$, the image $`\phi _{mn}(x_n)`$ of $`x_n`$ in $`B_m=A_mC[0,1]`$ is almost constant as a function (into the diagonal matrices in $`A_mA_n^{}`$) on $`[0,1]`$ except for one component, which is $`x`$ and appears through the first component of $`\phi _{k11}`$ for $`nk<m`$. We will approximate this component $`x`$ by a self-adjoint element with finite spectrum by using the part appearing through the components of $`\phi _{k11}`$ other than the first; they are the direct sum of $`M=\mathrm{\Pi }_{k=n}^{m1}(\chi _k(1,1)1)`$ components $`x(\frac{t+\mathrm{}}{M}),\mathrm{}=0,1,\mathrm{},M1`$. There is a standard procedure to approximate the sum of these $`M+1`$ components by a self-adjoint element $`k`$ with finite spectrum . Since $`H_mH_n`$ is $`mn`$ on the support projection of $`x`$ and 0 on the support projections of the other components, the $`_{\delta _\alpha }`$ norm of $`k`$ is of the order of $`\frac{mn}{M}0`$. (All the spectral projections of $`k`$ are just constant at each point of $`[0,1]`$ perhaps except for a pair of projections, whose eigen-values are different only by the order of $`1/M`$, and which are of the form:

$$\left(\begin{array}{cc}\mathrm{cos}^2\theta & \mathrm{cos}\theta \mathrm{sin}\theta \\ \mathrm{cos}\theta \mathrm{sin}\theta & \mathrm{sin}^2\theta \end{array}\right),\left(\begin{array}{cc}\mathrm{sin}^2\theta & \mathrm{cos}\theta \mathrm{sin}\theta \\ \mathrm{cos}\theta \mathrm{sin}\theta & \mathrm{cos}^2\theta \end{array}\right)$$

in the space spanned by the support projection of $`x`$ and one of the support projections of the other $`M`$ components, where $`\theta `$ is a function in $`t[0,1]`$ which changes from $`\pi /2`$ to $`\pi /2`$ quickly near the point in problem. This implies that $`\delta _\alpha (k)\frac{mn}{M}`$ and $`x_nk1/M`$ for the parts of $`k,x_nk`$ in question.) This concludes the proof that $`𝒟(\delta _\alpha )`$ is AF.

Suppose that for any $`ϵ>0`$ there exists a pair of self-adjoint elements $`h,bA`$ such that $`h1,b<ϵ,x_1h<ϵ`$, $`(\delta _\alpha +\text{ad}ib)(h)=0`$, and $`\text{Sp}(h)`$ is finite, where $`x_1`$ is the element of $`B_1`$ defined above. Since $`_mB_m`$ is dense in $`𝒟(\delta _\alpha )`$, we may suppose that $`hB_m`$ for some $`m`$. The image $`\phi _{m1}(x_1)`$ in $`B_mA_1^{}`$ is diagonal and there is a component $`x`$, whose (one-dimensional) support projection will be denoted by $`Q`$. Let $`h=_i\lambda _ip_i`$ be the spectral decomposition of $`h`$ and define a function $`\theta _i`$ by $`\theta _i(t)=Qp_i(t)Q`$. Then we have that

$$|t\underset{i}{}\lambda _i\theta _i(t)|<ϵ,t[0,1].$$

Since

$$\frac{1}{2}\underset{\lambda _i>1/2}{}\theta _i(0)<\lambda _i\theta _i(0)<ϵ,$$

we obtain that

$$\underset{\lambda _i>1/2}{}\theta _i(0)<2ϵ.$$

Since

$$1ϵ<\lambda _i\theta _i(1)<\frac{1}{2}\underset{\lambda 1/2}{}\theta _i(1)+\underset{\lambda _i>1/2}{}\theta _i(1)=\frac{1}{2}+\frac{1}{2}\underset{\lambda _i>1/2}{}\theta _i(1),$$

we get

$$\underset{\lambda _i>1/2}{}\theta _i(1)>12ϵ.$$

Thus the projection $`p`$ defined by

$$p=\underset{\lambda _i>1/2}{}p_i$$

satisfies that $`Qp(0)Q<2ϵ`$ and $`Qp(1)Q>12ϵ`$. If $`ϵ<1/4`$, there must be a point $`t[0,1]`$ such that $`Qp(t)Q=1/2`$. Then since $`Qp(t)(1Q)p(t)Q+Qp(t)Qp(t)Q=Qp(t)Q`$, we have that $`Qp(t)(1Q)=1/2`$. Since $`(H_mH_1)Q=(m1)Q`$ and $`(H_mH_1)(1Q)m3/2`$, we get that $`\delta _\alpha (Qp(1Q))=Q\delta _\alpha (p)(1Q)1/4`$. But since $`(\delta _\alpha +\text{ad}ib)(h)=0`$, we had that $`\delta _\alpha (p)2b<2ϵ`$. For a small $`ϵ>0`$ this is a contradiction. Thus we obtain that the almost fixed point algebra does not have real rank zero.

Let $`u`$ be a unitary in $`𝒟(\delta _\alpha )`$ such that $`\delta _\alpha (u)0`$. Since $`_mB_m`$ is dense in $`𝒟(\delta _\alpha )`$, we may suppose that $`uB_m=A_mC[0,1]`$. Since $`H_mA_m1`$, the condition $`\delta _\alpha (u)0`$ implies that $`[u(t),H_m]0`$ for all $`t[0,1]`$. Define a continuous path $`(u_s)`$ of unitaries in $`B_m`$ by $`u_s(t)=u((1s)t)`$. This path runs from $`u`$ to the constant function $`u_1:tu(0)`$ with the estimate $`\delta _\alpha (u_s)\delta _\alpha (u)`$. By 4.1 of , there is a continuous path $`(v_s)`$ of unitaies in $`A_m`$ from $`u(0)`$ to 1 such that $`[v_s,H_m]0`$. This concludes the proof that the almost fixed point algebra has trivial $`K_1`$.

## 4 The CAR algebra

Let $`A=𝒜()`$ be the CAR algebra over an infinite-dimensional separable Hilbert space $``$; we denote by $`a^{}`$ the canonical linear isometric map of $``$ into the creation operators in $`A`$, \[7, Section 5.2.2.1\]. Note that $`A`$, as a $`C^{}`$-algebra, is isomorphic to the UHF algebra of type $`2^{\mathrm{}}`$. When $`U`$ is a one-parameter unitary group on $``$, we define a flow $`\alpha `$ of $`A`$ by

$$\alpha _t(a^{}(\xi ))=a^{}(U_t\xi ),\xi ,$$

which will be called the quasi-free flow induced by $`U`$. If we denote by $`H`$ the generator of $`U`$, i.e., $`U_t=e^{itH}`$, the generator $`\delta _\alpha `$ of $`\alpha `$ satisfies that

$$\delta _\alpha (a^{}(\xi ))=ia^{}(H\xi ),\xi 𝒟(H)$$

and the \*-subalgebra generated by $`a^{}(\xi ),\xi 𝒟(H)`$ is dense in the Banach \*-algebra $`𝒟(\delta _\alpha )`$. If $`H`$ is diagonal, i.e., has a complete orthonormal family of eigenvectors, then $`\alpha `$ is an AF flow; moreover it is of of pure product type in the sense that $`(A,\alpha )`$ is isomorphic to $`(M_2^{\mathrm{}},\beta )`$, where $`\beta `$ is given as

$$\beta _t=_{n=1}^{\mathrm{}}\text{Ad}\left(\begin{array}{cc}e^{i\lambda _nt}& 0\\ 0& 1\end{array}\right),$$

where $`\{\lambda _n,n\text{Z}\}`$ are the eigenvalues of $`H`$. If $`H`$ is not diagonal, $`\alpha `$ acts on a part of $`A`$ in an asymptotically abelian way; so we can conclude that $`\alpha `$ is not an AF flow. See  for details.

###### Proposition 4.1

If $`\alpha `$ is a quasi-free flow of the CAR algebra $`A=𝒜()`$, then the almost fixed point algebra for $`\alpha `$ has trivial $`K_1`$.

Proof. We use the notation given before this proposition and let $`E`$ be the spectral measure of $`H`$. Let $`ϵ>0`$ and let $`u𝒟(\delta _\alpha )`$ be a unitary such that $`\delta _\alpha (u)<ϵ`$. Since the \*-subalgebra $`𝒫`$ generated by

$$a^{}(\xi ),\xi E[n,n]$$

is dense in $`𝒟(\delta _\alpha )`$, we can approximate $`u`$ by $`x𝒫`$. Let $``$ be the (abelian) von Neumann algebra generated by $`U_t=e^{itH},t\text{R}`$. We may approximate $`u`$ by $`x`$ in a \*-subalgebra $`𝒫_1`$ generated by $`a^{}(\xi _1),a^{}(\xi _2),\mathrm{},a^{}(\xi _n)`$, where all $`\xi _iE[N,N]`$ for some $`N`$. We may further impose the following conditions on $`\xi _1,\mathrm{},\xi _n`$:

1. $`\xi _i=1`$ for all $`i`$.
2. For $`ij`$, $`\overline{\xi _i}\overline{\xi _j}`$.
3. Denote by $`S_i`$ the smallest closed subset of R such that $`E(S_i)\xi =\xi `$. Then either $`S_i`$ is a singleton or an infinite set.

The condition 1 is trivial and the condition 3 is easy to obtain. To make sure the condition 2 holds we may argue as follows. Starting with $`\xi _1,\mathrm{},\xi _n`$ let $`e_1`$ be the projection onto $`\overline{\xi _1}`$. Then $`\xi _1^{}=\xi _1=e_1\xi _1,\xi _2^{}=e_1x_2,\mathrm{},\xi _n^{}=e_1\xi _n`$ all belong to $`e_1`$ on which $`e_1`$ is a maximal abelian von Neumann algebra. Thus there are a finite number of unit vectors $`\eta _{11},\mathrm{},\eta _{1m}`$ in $`e_1`$ such that the linear span of $`\eta _{1i}`$’s approximately contains all $`\xi _j^{}`$ and $`\overline{\eta _{1i}}\overline{\eta _{1j}}`$ for $`ij`$. We apply the same argument to the remaining (at most $`n1`$) elements $`(1e_1)\xi _2,(1e_1)\xi _3,\mathrm{},(1e_1)\xi _n`$ in $`(1e_1)`$ which is left invariant under $``$. Next, let $`e_2`$ be the projection onto $`\overline{(1e_1)\xi _2}`$ (assuming this is non-zero). Note that $`e_21e_1`$. We find a finite number of unit vectors $`\eta _{2j}`$ in $`e_2`$ whose linear span approximately contains $`e_2(1e_1)\xi _2=(1e_1)\xi _2,e_2(1e_1)\xi _3=e_2\xi _3,\mathrm{},e_2(1e_1)\xi _n=e_2\xi _n`$ such that $`\overline{\eta _{2i}}\overline{\eta _{2j}}`$ for $`ij`$. Note that $`\overline{\eta _{1i}}\overline{\eta _{2j}}`$ for all $`i,j`$. Repeating this procedure we obtain a finite number of unit vectors $`(\eta _{ij})`$ satisfying the condition 2 whose linear span approximately contains the vectors $`\xi _1,\mathrm{},\xi _n`$.

Since the \*-algebra $`𝒫_1`$ is isomorphic to $`M_{2^n}`$ by \[7, Theorem 5.2.5\], we may further assume that $`x`$ is a unitary. We express $`x`$ as

$$x=\underset{\mu \nu }{}a_{\mu \nu }a^{}(\mu )a(\nu ),$$

where $`\mu =(\mu _1,\mathrm{},\mu _{\mathrm{}})`$ and $`\nu `$ ranges over the subsequences of $`(1,2,\mathrm{},n)`$ and $`a^{}(\mu )`$ denotes

$$a^{}(\xi _{\mu _1})a^{}(\xi _{\mu _2})\mathrm{}a^{}(\xi _\mu _{\mathrm{}})$$

with $`a(\nu )=a^{}(\nu )^{}`$. (If $`\mu `$ is the empty sequence, then $`a^{}(\mu )=1`$.) Note that the coefficients $`a_{\mu \nu }`$ are unique; hence the condition that $`x`$ is a unitary can be read from $`(a_{\mu \nu })`$ only, i.e., if we replace $`\xi _1,\mathrm{},\xi _n`$ by a different orthonormal family $`\eta _1,\mathrm{},\eta _n`$ and define $`x`$ by the same formula with $`a^{}(\mu )=a^{}(\eta _{\mu _1})\mathrm{}a^{}(\eta _{\mu _n})`$, then $`x`$ is still a unitary.

Let

$$\eta _i=H\xi _i(H\xi _i|\xi _i)\xi _i.$$

If $`\eta _i0`$ let $`\xi _{i+1/2}=\eta _i/\eta _i`$ and otherwise let $`\xi _{i+1/2}=0`$. Let $`I`$ be the subsequence of $`\{1,3/2,2,\mathrm{},n+1/2\}`$ with $`\xi _c0`$. Then the vectors $`\xi _c,cI`$ form an orthonormal family. Since $`H\xi _i=(H\xi _i|\xi _i)\xi _i+\eta _i\xi _{i+1/2}`$, $`\delta _\alpha (x)`$ is of the form

$$\delta _\alpha (x)=\underset{\sigma \tau }{}b_{\sigma \tau }a^{}(\sigma )a(\tau ),$$

where $`\sigma ,\tau `$ are subsequences of $`I`$. Again the norm $`\delta _\alpha (x)`$ can be read from $`(b_{\sigma \tau })`$ only. Note that $`(b_{\sigma \tau })`$ depends only on $`(a_{\mu \nu })`$, $`(H\xi _i|\xi _i)`$, and $`H\xi _i(H\xi _i|\xi _i)\xi _i`$.

By using Lemma 4.2 below, if $`S_i`$ is not a singleton, we will find a continuous path of $`(\xi _{it})_{0t<1}`$ of unit vectors in $`\overline{\xi _i}`$ such that $`\xi _{i0}=\xi _i`$,

$`(H\xi _{it}|\xi _{it})=(H\xi _i|\xi _i),`$
$`H\xi _{it}(H\xi _{it}|\xi _{it})\xi _{it})=H\xi _i(H\xi _i|\xi _i)\xi _i,`$
and $`\text{supp}\xi _{it}`$ shrinks to a three point set as $`t1`$, where $`\text{supp}\xi `$ is the smallest closed subset $`S`$ of R with $`E(S)\xi =\xi `$. And we set $`\xi _{i+1/2,t}=c_i(H\xi _{it}(H\xi _{it}|\xi _{it})\xi _{it})`$, where $`c_i`$ is a positive normalizing constant. If $`S_i`$ is a singleton, we set $`\xi _{it}=\xi _i`$. By using $`\xi _{it},1in`$ instead of $`\xi _i`$, we define $`x_tA`$ by the same formula as $`x`$. Then we have that $`(x_t)_{0t<1}`$ is a continuous family of unitaries with $`x_0=x`$ satisfying

$$\delta _\alpha (x_t)=\underset{\sigma \tau }{}b_{\sigma \tau }a^{}(\sigma )a(\tau ),$$

where $`\sigma ,\tau `$ are subsequences of $`I`$ and $`a^{}(\sigma ),a(\tau )`$ are now defined by using $`\xi _{ct},cI`$ instead of $`\xi _c`$. Hence it follows that $`\delta _\alpha (x_t)=\delta _\alpha (x)<ϵ`$.

We will show that for a $`t_0`$ close to 1 there is a $`b=b^{}A`$ such that $`b<ϵ/2`$ and $`\delta _\alpha +\text{ad}ib`$ leaves a finite-dimensional \*-subalgebra containing $`x_{t_0}`$ invariant, and such that $`(\delta _\alpha +\text{ad}ib)x_{t_0}`$ is sufficiently small. Then by  we can deform $`x_{t_0}`$ to 1 in that \*-subalgebra keeping the norm estimate along the path.

Suppose that $`t_0`$ is sufficiently close to 1. If $`S_i`$ is a singleton, we set $`\eta _{i1}=\xi _i`$; otherwise we choose three unit vectors $`\eta _{i1},\eta _{i2},\eta _{i3}`$ in $`\overline{\xi _i}`$ such that $`\xi _{it_0}`$ is a linear combination of $`\eta _{ij}`$’s and $`\text{supp}\eta _{ij}`$ is contained in a sufficiently small neighborhood of some $`s_{ij}S_i`$, where $`s_{i1},s_{i2},s_{i3}`$ are all distinct. Let $`P_{ij}`$ be the projection onto the space spanned by $`\eta _{ij},H\eta _{ij}`$ and define an operator $`T_{ij}`$ such that $`T_{ij}=P_{ij}T_{ij}P_{ij}=T_{ij}^{}`$ and $`T_{ij}\eta _{ij}=(s_{ij}1H)\eta _{ij}`$. Then it follows that the projections $`P_{ij}`$ are mutually orthogonal and $`T_{ij}2(s_{ij}1H)\eta _{ij}`$, which is assumed to be very small. Let $`T_i=_jT_{ij}`$ and $`T=_iT_i`$, where we set $`T_i=0`$ if $`S_i`$ is a singleton. Then $`T=supT_i,\mathrm{rank}(T)6n`$, and $`(H+T)\eta _{ij}=s_{ij}\eta _{ij}`$. We may suppose that $`\mathrm{Tr}(|T|)<ϵ/2`$. Note that the derivation of $`A`$ corresponding to $`T`$ is inner and given as $`\text{ad}ib`$, where $`b=\lambda _ia^{}(\zeta _i)a(\zeta _i)`$, if $`(\zeta _i)`$ is a complete orthonormal set of eigenvectors of $`T`$ with $`(\lambda _i)`$ the corresponding eigenvalues; $`T\zeta _i=\lambda _i\zeta _i`$. If $`𝒫_2`$ denotes the \*-algebra generated by $`a^{}(\eta _{ij})`$, then $`𝒫_2`$ is left invariant under the derivation corresponding to $`H+T`$, which is $`\delta _\alpha +\text{ad}ib`$. Hence there is an $`h=h^{}𝒫_2`$ such that $`(\delta _\alpha +\text{ad}ib)|𝒫_2=\text{ad}ih|𝒫_2`$. Since $`b=\mathrm{Tr}|T|<ϵ/2`$, we have that

$$\text{ad}ih(x_{t_0})<2ϵ.$$

If $`ϵ`$ is sufficiently small, we have by 4.1 of  a continuous path $`(y_t)`$ of unitaries in $`𝒫_2`$ such that

$$\text{ad}ih(y_t)0.$$

Since $`\delta _\alpha (y_t)\text{ad}ih(y_t)+ϵ`$, this completes the proof.

###### Lemma 4.2

Let $`S`$ be a compact infinite subset of R and $`\nu `$ a probability measure on $`S`$ with support $`S`$. Let $`H`$ be the multiplication operator by the identity function $`xx`$ on $`L^2(\nu )`$. If $`\xi L^2(\nu )`$ has norm one, there exists a continuous path $`(\xi _t)_{0t<1}`$ of unit vectors in $`L^2(\nu )`$ such that $`\xi _0=\xi `$, $`(H\xi _t|\xi _t)`$ and $`H\xi _t(H\xi _t|\xi _t)\xi _t=(H\xi _t^2|(H\xi _t|\xi _t)|^2)^{1/2}`$ are constant in $`t`$, and $`\text{supp}\xi _t`$ shrinks to a three-point set as $`t1`$.

Proof. Since both $`(H\xi |\xi )=_Sx|\xi (x)|^2𝑑\nu `$ and

$$H\xi (H\xi |\xi )\xi ^2=_Sx^2|\xi (x)|^2d\nu (_Sx|\xi (x)|d\nu )^2$$

depend only on the modulus $`|\xi (x)|`$, we first choose a continuous path $`(\xi _t)_{0t1}`$ of unit vectors in $`L^2(\nu )`$ such that $`\xi _0=\xi ,|\xi _t(x)|=|\xi (x)|`$, and $`\xi _1(x)=|\xi (x)|`$. Thus we may suppose that $`\xi (x)0`$.

Let $`a=\mathrm{min}S`$, $`b=\mathrm{max}S`$, and

$`c`$ $`=`$ $`{\displaystyle _S}x\xi (x)^2𝑑\nu (x),`$
$`v`$ $`=`$ $`{\displaystyle _S}x^2\xi (x)^2𝑑\nu (x)c^2,`$
where $`c`$ is the mean of $`x`$ and $`v`$ is the variance of $`x`$ with respect to the probability measure $`\xi (x)^2d\nu `$. Then it follows that $`a<c<b`$ and $`0<v<(bc)(ca)`$. (Note that a probability measure $`d\mu `$ on $`[a,b]`$ with $`x𝑑\mu =c`$ can be approximated by a discrete measure

$$\underset{i}{}\lambda _i(\frac{t_ic}{t_i+s_i}\delta _{s_i}+\frac{cs_i}{t_i+s_i}\delta _{t_i}),$$

where $`\lambda _i>0,_i\lambda _i=1`$ and $`a<s_i<c<t_i<b`$, whose mean is $`c`$ and whose variance is $`_i\lambda _i(t_ic)(cs_i)`$). We find three distinct points $`s_1,s_2,s_3`$ in $`S`$ such that the convex set

$$\{\underset{i=1}{\overset{3}{}}\lambda _i\delta _{s_i}|\lambda _i>0,\lambda _i=1\}$$

contains a probability measure with mean $`c`$ and variance $`v`$. (For example, if $`cS`$ we may take $`s_1=a,s_2=c,s_3=b`$; otherwise set $`t_1=\mathrm{max}\{sS|s<c\}`$ and $`t_2=\mathrm{min}\{sS|s>c\}`$. Then there are three of the four points $`a,t_1,t_2,b`$ satisfying the requirement. If $`(bc)(ct_1)<v`$, we may set $`s_1=a,s_2=t_1,s_3=b`$; otherwise if $`(t_2c)(ca)<v`$ we may set $`s_1=a,s_2=t_2,s_3=b`$; otherwise we may set $`s_1=a,s_2=t_1,s_3=t_2`$.) Then for any $`ϵ>0`$ we can find a positive measurable function $`g`$ on $`S`$ with $`\text{supp}g_i(s_iϵ,s_i+ϵ)S`$ such that

$`{\displaystyle g(x)𝑑\nu }=1,`$
$`{\displaystyle xg(x)𝑑\nu }=c,`$
$`{\displaystyle x^2g(x)𝑑\nu }=v+c^2.`$
Define $`\xi _tL^2(\nu )`$ by

$$\xi _t(x)=((1t)\xi (x)^2+tg(x))^{1/2}.$$

Then $`(\xi _t)_{0t1}`$ defines a continuous path of unit vectors in $`L^2(\nu )`$ from $`\xi `$ to $`\sqrt{g}`$ such that

$`(H\xi _t|\xi _t)=(H\xi |\xi ),`$
$`H\xi _t(H\xi _t|\xi _t)\xi _t=H\xi (H\xi |\xi )\xi ,`$
and $`\text{supp}(\xi _1)_i(s_iϵ,s_i+ϵ)S`$. Continuing this argument with $`\xi =\sqrt{g}`$ and a smaller $`ϵ`$, we will eventually obtain a continuous path $`(\xi _t)_{0t<1}`$ with the required properties such that $`_t\overline{_{s>t}\text{supp}\xi _s}=\{s_1,s_2,s_3\}`$. This completes the proof.


format: text

text:
# The X-ray Spectrum and Light Curve of Supernova 1995N

## 1 Introduction

A small number of supernovae (SNe) have been detected in X-rays in the near aftermath ($``$years) of their explosions. SN 1978K, SN 1980K, SN 1986J, SN 1987A, and SN 1993J were found before 1995 (see Schlegel 1995 for a review); more recent detections include SN 1979C, SN 1988Z, and SN 1994I (Immler, Pietsch, & Aschenbach 1998a,b) and SN 1999em (Fox & Lewin 1999). Here we report on observations of SN 1995N (Pollas 1995).

Supernova X-ray emission depends on the density structure of the progenitor’s stellar wind as well as the structure of the SN ejecta, through which the initial shock passes. After the shock wave emerges from the star, the characteristic velocity is $``$104 km s-1 and the density distribution in the outer parts of the star can be approximated by a power-law in radius, $`\rho r^n`$, where the value of $`n`$ ranges from $``$7 to $``$20 (models for SN1987A have $`n10`$; Matzner & McKee 1999). The shock then propagates into the circumstellar material, typically a slow-moving wind with a density that decreases with the inverse square of the radius, $`\rho =\dot{M}/4\pi r^2v_w`$, where $`\dot{M}`$ is the stellar wind mass-loss rate and $`v_w`$ is the wind velocity (typically $``$10 km s-1). The collision between the stellar ejecta and the circumstellar material produces a second ‘reverse’ shock at $``$1000 km s-1in the stellar ejecta (which is expanding at $``$104 km s-1). The forward shock produces a very hot shell ($``$109 K), while the reverse shock produces a denser, cooler shell ($``$107 K) with much higher emission measure, from which the observable X-ray emission arises (Chevalier 1982). This picture is modified if the stellar wind is clumpy; then the forward shock front in the clumps can yield cooler, stronger emission than the shock front in the diffuse wind (Chugai 1993).

The exact time of the explosion of SN 1995N in the host galaxy MCG $``$02-38-017 is not known, but it may have occurred as much as ten months before its optical discovery in May 1995 (Benetti, Bouchet & Schwarz 1995), making the supernova $``$2 years old at the epoch of first detection (Lewin, Zimmermann, & Aschenbach 1996). SN 1995N was only the fourth supernova to be detected in X-rays so soon after its explosion. Regular observations of the X-ray temperature, luminosity, and line-of-sight hydrogen column density will help determine the structure of the SN ejecta, the structure of the circumstellar medium established by the wind of the progenitor, and the details of its evolution prior to the explosion. These constraints can lead to an estimate of the progenitor stellar type and the type and length of its (pre-explosion) evolutionary stages.

## 2 Observations

We first observed SN 1995N in July 1996 with ROSAT when the optical (Benetti et al. 1995; Garnavich & Challis 1995) and radio (Van Dyk et al. 1996) properties of this supernova made it a promising candidate for strong X-ray emission. X-ray detection of SN 1995N with this pointing (Lewin et al. 1996) prompted our longer follow-up observation that August. In addition, we were awarded time for another ROSAT observation in August 1997, and applied simultaneously for ASCA spectral observations. Execution of our ASCA observation in January 1998 completed the program for this paper.

The log of our X-ray observations of SN 1995N is presented in Table 1.

The standard photon screening criteria were adopted for all data sets (David et al. 1995; ASCA Data Reduction Guide111http://heasarc.gsfc.nasa.gov/docs/asca/abc/abc.html). Source and background count rates were determined as follows.

ROSAT source counts were taken from a circle of radius 17.5 arcsec (35 pixels) centred on the SN position, and background counts were taken from an annulus of inner radius 20 arcsec and outer radius 50 arcsec. Source count rates (but not raw count numbers) were corrected for incompleteness due to the wings of the instrument point spread function (PSF), a 3% effect.

Two nearby X-ray sources complicated the process of choosing source and background extraction regions for the ASCA images. In Figure 1 we show the positions of SN 1995N and these X-ray sources, ‘A’ and ‘B’, overlaid on an optical image of the area from the Digitized Sky Survey. Also shown are four additional, weaker sources (‘C’–‘F’), visible in the summed HRI image, that are ignored in the ASCA analysis.

ASCA SIS source counts were taken from a circle of radius 4 arcmin (38 pixels) centred on the SN position, excluding a smaller circle (radius 15 pixels) around source A. Background counts were taken from the area of the CCD that remained after exclusion of the SN (38 pixel radius) and source A (24 pixel radius), and the SN count rate was corrected for the fraction of the PSF excluded (with the source area used expected to include 73% of the source counts).

ASCA GIS source counts were taken from a circle of radius 4.9 arcmin (20 pixels) centred on the SN position, excluding a smaller circle (radius 7 pixels) chosen on the basis of the SIS image to exclude counts from source A. Background counts were taken from a larger circle of radius 11.8 arcmin (48 pixels) centred on the SN, with circular areas removed to account for the SN (24 pixel radius), source A (18 pixel radius) and source B (20 pixel radius). The source area used here is expected to include 74% of the source counts.

## 3 Analysis

### 3.1 Spectrum

Our X-ray spectral analysis made use only of the ASCA data, since the HRI does not have a spectral response sufficient for our purposes. After extracting source and background counts (see Sec. 2), we added the data from the two instrument pairs (SIS0+SIS1 and GIS2+GIS3) and produced averaged instrument response matrices for our analysis. We then ‘grouped’ spectral channels to achieve a minimum of $``$20 counts per channel above background.

X-ray spectral fitting was performed within the XSPEC environment (Arnaud 1996). We used the default modified Levenberg-Marquardt algorithm (derived from CURFIT, Bevington 1969) to minimize a $`\chi ^2`$ statistic that was calculated using the weighting scheme of Gehrels (1986); the statistical error on $`N`$ counts was taken to be $`1+\sqrt{N+0.75}`$.

SIS (0.5–7.0 keV) and GIS (1.0–7.0 keV) spectra were fit simultaneously, with only the relative normalization of the model allowed to vary between the two datasets. This allowed for differential errors in our treatment of background subtraction and PSF effects between the two sets of instruments.

The quality of the spectrum (2000 SIS photons and 1300 GIS photons) does not make the examination of complex spectral models necessary or meaningful. On the contrary, as shown in Table 2, power-law and thermal bremsstrahlung spectra both provide acceptable fits to the data.

MEKAL (Mewe, Gronenschild & van den Oord 1985) and Raymond-Smith plasma models also provide good fits to the data, but with the abundance parameter of these models essentially unconstrained in the fits, it is not clear what further conclusions the models allow us to draw. Plasma temperatures in the fits are $`kT=6.9_{0.9}^{+1.4}`$ keV (MEKAL) and $`kT=8.8_{1.6}^{+2.9}`$ keV (Raymond-Smith), with hydrogen column densities $`N_\mathrm{H}10^{21}`$ cm-2.

By contrast, a simple blackbody model (with absorption) was unable to fit the data and can be excluded – by comparison with the power law or bremsstrahlung models – with 99.9% confidence.

Figure 2 shows the observed X-ray spectrum with the power law fit superposed (the bremsstrahlung model fit does not differ visibly from this).

Although there is a hint in the fit residuals of an additional feature near 1.8 keV, addition of an absorption edge or spectrally unresolved emission line at this energy cannot be justified by the statistics (F-statistic confidence levels of 54% and 62%, respectively). Nevertheless, the energy is appropriate for fluorescent silicon emission (Si $`K\alpha `$ and $`K\beta `$ neutral line energies are 1.74 keV and 1.84 keV, respectively) and it is possible that the feature is real; if observations of other X-ray SNe with Chandra and XMM-Newton are able to detect a feature at this energy then the interpretation of our data will have to be revisited.

We note that the fitted hydrogen column densities under the two models are consistent with each other and with the Galactic column towards SN 1995N, which is $`7.8\times 10^{20}`$ cm-2 (Dickey & Lockman 1990).

We examined the data near 6.7 keV for evidence of iron line emission and find none: our 90%-confidence upper limit for the equivalent width of a 6.7 keV iron line is 1.1 keV. Upper limits to the equivalent widths of lines centred at energies from 6.2 to 7.2 keV are all similarly $``$1 keV.

### 3.2 Light Curve

With an X-ray spectrum in hand we can proceed to calculate the incident flux and total X-ray luminosity of SN 1995N at the several epochs of our observations. These calculations are made under the assumption that (1) the spectrum of the source (apart from its overall normalization) was roughly constant over the timespan of the observations; and (2) that it is sufficiently well described by our models to allow extrapolations outside the energy range of our ROSAT and ASCA data. Note that in 1996 and 1997 we have only ROSAT data (no spectral information), and in 1998 we have only ASCA data (no sensitivity below 0.5 keV) – all other quoted fluxes and luminosities are based on model extrapolations.

Using the spectral fits as derived for the ASCA data of 1998 (see Sect. 3.1) and the PIMMS v3.0 software package222http://heasarc.gsfc.nasa.gov/docs/software/tools/pimms.html, we calculate the unabsorbed fluxes corresponding to the count rates observed in our ROSAT data, adding together the July and August 1996 pointings for better statistics; HRI count rates for the two observations are consistent with no change over the intervening 20 days (Table 1). Independently, we extrapolate our 1998 ASCA fluxes to the 0.1–2.4 keV range of the HRI for comparison purposes; the results are reported in Table 3.

Since our power-law and thermal bremsstrahlung spectral models have different best-fit column densities, and this uncertainty dominates the Poisson uncertainty in our unabsorbed flux determinations, we report the flux conversions for the two models separately (in terms of a low and a high value) in Table 3. It should be noted, however, that in all likelihood the reported ranges still underestimate the actual uncertainty in unabsorbed source flux, since (1) the value of the best-fit hydrogen column for both models is relatively uncertain (Table 2); and (2) our spectral fits are subject to additional, unquantified, systematic uncertainties due to imperfect background subtraction. For example, if we reduce the hydrogen column to the Galactic value of $`7.8\times 10^{20}`$ cm-2 – within the 1$`\sigma `$ range for our bremsstrahlung fit, and the 2$`\sigma `$ range for our power-law fit – then the fluxes calculated from our HRI observations are reduced by a further 10% relative to the lower end of the ranges given in Table 3.

Accepting these caveats, we may draw the following conclusions. First, the ROSAT observations indicate (at $`>`$4-sigma confidence) a 30% decrease in absorbed 0.1–2.4 keV X-ray flux between August 1996 and August 1997 (Table 1). Second, comparison of the August 1997 ROSAT observation with the January 1998 ASCA observation (Table 3) indicates that the X-ray luminosity of SN 1995N may have increased by a factor of $``$2 over this time. Alternatively, the spectrum may have changed significantly (contrary to our Assumption 1 above); however, to make the August 1997 observation consistent with $`L_\mathrm{X}=1.5\times 10^{41}`$ ergs s-1 requires either absorption of $`N_\mathrm{H}4\times 10^{21}`$ cm-2 or an unlikely (temporary) hardening of the spectrum to $`kT>50`$ keV or $`\alpha <1.02`$. Thus, the conclusion that the SN dimmed from August 1996 to August 1997 and then brightened from August 1997 to January 1998 seems the most probable explanation for our data.

## 4 Discussion

The optical spectra of SN 1995N show that it belongs to the Type IIn (narrow line) category (Benetti et al. 1995). A number of other Type IIn supernovae have been detected as strong X-ray sources and their properties are summarized in Table 4. These supernovae are the most luminous X-ray supernovae and are inferred to be interacting with a dense circumstellar medium. They are also luminous radio supernovae. The X-ray luminosity of SN 1995N places it in this highly luminous group.

The interpretation of the X-ray emission from these sources is not clear. Chevalier & Fransson (1994) presented models in which smooth supernova ejecta interact with a smooth circumstellar wind. In this picture, the reverse shock emission is characterized by $`kT1`$ keV and the forward shock emission by $`kT100`$ keV. However, the radio emission (see Weiler et al. 1990 for SN 1986J) and narrow optical line emission give evidence that the circumstellar medium is clumpy and shock waves are being driven into the clumps (see Chugai et al. 1995 on the case of SN 1978K). Supernovae like SN 1978K and SN 1988Z show very narrow line emission, which can be attributed to dense circumstellar clumps that are photo-ionized by the X-ray emission, and line components with a width of $`2,000`$ km s-1 that can be from cooling shocks moving into the clumps. SN 1995N also shows evidence for these line components (A.V. Filippenko, priv. comm.). Shock waves in clumps can give cooler X-ray emission than the forward shock front in the diffuse circumstellar medium. Chugai (1993) found that this picture may be preferred for the X-ray emission from SN 1986J. A prediction of this model is that the emitting region should have a lower characteristic velocity than in the case of the reverse shock wave.

Our series of flux measurements show that the X-ray luminosity of SN 1995N has probably dimmed by 30% and then brightened by as much as a factor of two over the period of observation, which corresponds to an age range of 2.0 to 3.5 years for a proposed explosion date in July 1994 (Benetti et al. 1995). The X-ray light curve of SN 1978K shows approximately constant luminosity over the age range of 12 to 16 years (Schlegel, Petre, & Colbert 1996). For SN 1986J, a decline in luminosity has been observed over the age range 8.6 to 13 years (Houck et al. 1998); the evolution is consistent with a $`t^2`$ time dependence. In the models of Chevalier & Fransson (1994), a decline in flux is expected if the evolution is non-radiative, whereas a radiative reverse shock front leads to a roughly constant luminosity. In the clump model (Chugai 1993), the evolution depends on the variation of clump properties with radius. The light curve that we observe may be due to such variation.

Characterization of the radio observations of SN 1995N is not yet complete. However, five 8.4 GHz radio observations made between July 1995 and June 1998 are all consistent with a constant flux of 3.8 mJy (Van Dyk et al. 2000), indicating only mild evolution of the radio properties of the shocked region over this interval.

In Table 4, we give the estimated temperature characterizing the X-ray emission, although it is only in the case of SN 1986J that an X-ray line has been detected (Houck et al. 1998), and hence, the presence of thermal emission confirmed. Possible non-thermal sources of X-ray emission are inverse Compton and synchrotron emission, but these are typically less efficient than thermal emission (Chevalier 1982). The temperature that we find is higher than expected for the reverse shock wave, but somewhat lower than that expected for the forward shock wave. If the emission is from shocked clumps, the temperature depends on the density of the clumps, so that intermediate temperatures are possible. The lack of detectable line emission does not allow us to directly test for the presence of clumps by examining the widths of lines.

The gas column density that we measure to the source is compatible (within our roughly 50% uncertainty) with the expected column density in our Galaxy. Table 4 shows that a higher column density is present to SN 1986J, but that can be attributed to absorption within the parent galaxy (Houck et al. 1998). These supernovae do not show evidence for absorption by the dense shell that might be formed by a cooling reverse shock wave. Since the cool shell formed by a reverse shock will probably not be ionized, two years or more after the SN explosion, this low absorption may indicate inhomogeneities in the shell that allow the X-ray flux to emerge without absorption. Alternatively, low absorption may be seen as supporting the clump model (Chugai 1993), since the X-ray emission from forward shocks penetrating high-density clumps will not be significantly absorbed.

## 5 Conclusions

Our observations show that SN 1995N belongs to the class of X-ray luminous Type IIn supernovae. The variations in X-ray flux over a 1.5 yr period suggest that the emission mechanism is more complicated than simple radiative emission from a reverse shock wave generated by interaction with a dense circumstellar medium, and that inhomogeneities in the circumstellar medium play a role. The X-ray emission is expected to power the optical/ultraviolet emission from the supernova; thus, optical spectroscopy will provide information on the gas motions so that a model for the supernova and the circumstellar structure can be determined.

### 5.1 Acknowledgments

WHGL and RC gratefully acknowledge support from the National Aeronautics and Space Administration. KWW thanks the office of Naval Research for the 6.1 support of this research. This research has made use of the Digitized Sky Survey, produced at the Space Telescope Science Institute under U.S. Government grant NAG W-2166.


text:
# About common physical nature of divergence and interference.

## I  Introduction

Let’s consider two particles inside infinite potential well, for example two-dimensional billiard. What the matter do they interfere or not? In two slit experiment one can measure intensity vs number of open slits and see effect of phase difference between paths. The negative magneto-resistance of disordered systems is manifestation of interference effects destroyed by magnetic field. The interference between particles inside chaotic system suffers from lack of clear formulation, however it sounds like something that probably exist.

Physics of interference can be understood by simple methods of real space trajectories. Postponing literature review, let’s take one closed trajectory crossing itself in real space under small angle $`\mathrm{\Theta }1`$. We prove that this “8” like trajectory is accompanied by “0” like trajectory, see construction below. Their actions are simply related

$$\mathrm{\Delta }SS_0S_8=\frac{pY\mathrm{\Theta }}{2}=\frac{p^2}{2}\frac{m_{11}+m_{22}2m_{12}}{m_{11}m_{22}m_{12}^2}\mathrm{\Theta }^2$$
(1)
where $`m_{ij}`$ are second derivatives of $`S_0`$ with respect to trajectory displacements near cross, and $`p`$ is momentum. Figure 1 explains the choice of $`\mathrm{\Theta }`$ and $`Y=y_2y_1`$. Quantum particle on “8” like trajectory (we use language of semiclassical quantum mechanics ) will interfere destructively with particle on “0” like trajectory. Indeed, i) the phase difference between two wave functions is $`\pi +\mathrm{\Delta }S/\mathrm{}`$ because wave on “8”-like trajectory must be inverted twice loosing $`\pi /2`$ phase each time and ii) the action difference $`\mathrm{\Delta }S`$ can be arbitrary small.

We arrive at subtle point. We do not mean that particles jump back and force between “8” and “0” like trajectories. We just state that $`\mathrm{\Delta }S`$ can be arbitrary small. The closer trajectory approaches itself the smaller $`\mathrm{\Delta }S`$ is. The spectral form-factor, for example, is very sensitive to trajectories with small phase difference. By making use of Eq. (12) and periodic orbit quantization rule we can compute the so-called interference or $`\tau ^2`$ term of the spectral form-factor $`K(\tau )`$ (the diagonal term was computed by Berry, see Eq. (60) of the cited paper for definition of the spectral form-factor). First conclusion: The interference in quantum chaos means that there are infinitely many pairs of periodic trajectories with small difference of actions.

The mystery is that quantum waves do jump between nearly lying trajectories. To understand how it works let’s cut both “8” and “0” like trajectories apart from the cross, see Fig. 2. It turns out that transmission is $`\mathrm{sin}^2(\mathrm{\Delta }S/2\mathrm{})`$ ( the trace of density propagator mast be equal to absolute value square of trace of Green function). We successfully arrive at second conclusion: The interference in quantum chaos means suppression of transmission of self-touching trajectories.  This formulation of quantum interference is equivalent to that given by Khmelnitskii for disordered systems.

This introduction is followed by construction of pairs of near-lying periodic trajectories. As soon as we prove existence of such trajectories the expression for the action difference Eq. (12) can be simplified. We will use the concept of self-correlated part of periodic trajectory and derive expression useful for the operator form of the interference. The calculation of the $`\tau ^2`$ term of $`K(\tau )`$ is rather straightforward, but demand counting of 8-0 pairs of trajectories of the certain period. It will be published elsewhere. We review literature and conclude at the end.

## II  Construction of near-lying trajectories

We broke the action of $`8`$-like trajectory to the two parts $`S_L+S_R`$ and expand both on their end positions $`y_1`$ and $`y_2`$, see Fig. 1:

$`S_L=S_L^{(0)}+{\displaystyle \frac{1}{2}}m_{11}^Ly_1^2m_{12}^Ly_1y_2+{\displaystyle \frac{1}{2}}m_{22}^Ly_2^2+py_2\mathrm{\Theta }`$ (2)
$`S_R=S_R^{(0)}+{\displaystyle \frac{1}{2}}m_{11}^Ry_1^2m_{12}^Ry_1y_2+{\displaystyle \frac{1}{2}}m_{22}^Ry_2^2py_2\mathrm{\Theta }`$ (3)
The sum of actions has minimum $`S_8=S_L^{(0)}+S_R^{(0)}`$ reached at $`y_1=y_2=0`$. If the particle follows left part of trajectory in other direction, see Fig. 1 then

$$S_L^{}=S_L^{(0)}+\frac{1}{2}m_{11}^Ly_2^2m_{12}^Ly_1y_2+\frac{1}{2}m_{22}^Ly_1^2+py_1\mathrm{\Theta }.$$
(4)
The sum of actions $`S_L^{}+S_R`$ reaches it minimum at

$$\stackrel{}{Y}=p\widehat{M}^1\stackrel{}{\mathrm{\Theta }}$$
(5)
where $`\stackrel{}{Y}=(y_1;y_2)`$, $`\stackrel{}{\mathrm{\Theta }}=(\mathrm{\Theta };\mathrm{\Theta })`$ and

$$\widehat{M}=\left(\begin{array}{cc}m_{11}& m_{12}\\ m_{12}& m_{22}\end{array}\right)=\left(\begin{array}{cc}m_{22}^L+m_{11}^R& m_{12}^Lm_{12}^R\\ m_{12}^Lm_{12}^R& m_{11}^L+m_{22}^R\end{array}\right).$$
(6)
Here $`m_{ij}`$ without superscript are coefficients of expansion of 0-like trajectory action $`S_L^{}+S_R`$ in terms of $`y_1`$ and $`y_2`$. The action of the true 0-like trajectory is

$$S_0=S_8\mathrm{\Delta }S=S_8\frac{p^2}{2}\stackrel{}{\mathrm{\Theta }}\widehat{M}^1\stackrel{}{\mathrm{\Theta }},$$
(7)
and substitution of $`m_{ij}`$ gives Eq. (12).

The present construction of nearly lying trajectory is valid under assumptions that i) series Eqs. (2) – (4) exist and ii) $`Y`$ is such small that third and higher derivatives of actions are negligible. Clearly, the result Eq. (7) does not apply to all self-crossing trajectories, but to many of them. We leave counting of such trajectories for separate publication.

## III  Some properties of 8-0 pairs.

The previous section shows how to construct 0-like trajectory for any 8-like trajectory. The construction is valid if the expansions Eqs. (2) – (4) are valid for $`y`$s given by Eq. (5). This is always true for sufficiently long trajectories. In this section we want to setup relations between the period of trajectories and $`\mathrm{\Delta }S`$.

The self-touching trajectory must have “correlated” part. Indeed in order to be able to touch itself trajectory must approach itself. In chaos convergence of trajectories (as well as divergence) must be gradual with a rate known as Lyapunov exponent. The piece where trajectory approaches itself and then leaves itself is called “correlated” part of the loop.

The calculation of Sec. II can be repeated in any crossection of 8-0 pair, where trajectory is sufficiently close to itself. The general expression for action difference valid for any crossection is

$$\mathrm{\Delta }S=\frac{1}{2}(pY_0\mathrm{\Theta }_8pY_8\mathrm{\Theta }_0).$$
(8)
Here we changed notations of Sec. II, $`YY_0`$, $`\mathrm{\Theta }\mathrm{\Theta }_8`$, and added $`Y_8`$ \- the distance between opposite pieces of 8-like trajectory (it was zero in Sec. II) and $`\mathrm{\Theta }_0`$ \- the angle between pieces of 0-like orbit, see Fig. 3. Let us now make two crossections of 8-0 pair near boundaries between correlated and un-correlated parts. Expanding action of this “common” piece of all trajectories,

$$S_c=S_c^{(0)}+\frac{1}{2}m_{11}^cY_0^2m_{12}^cY_0Y_0^{}+\frac{1}{2}m_{22}^cY_0^2,$$
(9)
we can express action difference in terms of $`Y`$s :

$$\mathrm{\Delta }S=\frac{pm_{12}^c}{2}(Y_0Y_8^{}Y_0^{}Y_8)pm_{12}^cY_0Y_8$$
(10)
where we put $`Y_8^{}Y_0`$. This is justified if the “uncorrelated” parts of trajectories are long enough and therefore “soft” enough (much more unstable then the correlated part).

The advantage of approximation Eq. (10) is that the $`\mathrm{\Delta }S`$ is expressed in terms of one $`0`$-like part of the trajectory. Finally we replace $`m_{12}^c`$ by the stability amplitude and arrive at

$$\mathrm{\Delta }Sp\frac{Y_0\mathrm{\Theta }_0^{}Y_0^{}\mathrm{\Theta }_0}{4\mathrm{cosh}^2(\lambda /2)},$$
(11)
where $`\mathrm{exp}\pm \lambda `$ are eigenvalues of the stability matrix of the correlated part of the trajectory $`2\mathrm{cosh}(\lambda )=(m_{11}^c+m_{22}^c)/m_{12}^c`$. Here $`Y`$s and $`\mathrm{\Theta }`$s belong to 0-like trajectory. ¿From any of Eqs. (10) or (11) we can derive estimate $`\mathrm{\Delta }S<\text{const }e^{\stackrel{~}{\lambda }t}`$, where $`\stackrel{~}{\lambda }`$ is the stability exponent per unit time (Lyapunov exponent) and $`t`$ is time the particle spend on the correlated part of the trajectory. For ergodic systems there are infinitely many self-touching trajectories with arbitrary long “correlated” part and therefore with exponentially small $`\mathrm{\Delta }S`$.

## IV  Operator form of the interference.

The title of the work is divergence and interference in quantum chaos. The term divergence is clear: take two particles very close initially in the phase space, let them propagate and they will branch off exponentially fast. Let us describe trajectories of the system by $`\gamma (t)=F_t(\gamma (0))`$, where $`\gamma `$ is a point on the energy shell of the phase space. The evolution of the two-particle distribution function is given by $`f(\gamma _1,\gamma _2;t)=𝑑\gamma _3𝑑\gamma _4𝒜(\{\gamma _j\};t)f(\gamma _3,\gamma _4;t)`$ where

$`𝒜(\{\gamma _j\};t)`$ $`=`$ $`\delta (\gamma _3F_t(\gamma _1))\delta (\gamma _4F_t(\gamma _2))`$ (12)
$`=`$ $`\delta (\gamma _{}^{}\gamma _{})\delta (\gamma _{}^{}\widehat{}\gamma _{})\delta (\mathrm{\Gamma }^{}F_t(\mathrm{\Gamma })).`$ (13)
Here $`\mathrm{\Gamma }^{}=(\gamma _3+\gamma _4)/2`$, $`\mathrm{\Gamma }=(\gamma _1+\gamma _2)/2`$ are centers of mass, $`\gamma =\gamma _1\gamma _2`$, $`\gamma ^{}=\gamma _3\gamma _4`$ describe relative motion of two particles. Relative coordinates are separated to components which are either parallel or perpendicular to the center-of-mass trajectory. We choose $`\gamma _{}=(Y_0,\mathrm{\Theta }_0)`$ and $`\gamma _{}^{}=(Y_0^{},\mathrm{\Theta }_0^{})`$, see Fig. 3. The monodromy matrix $`\widehat{}`$ can be expressed in terms of action derivatives:

$$\widehat{}=\frac{1}{m_{12}^c}\left(\begin{array}{cc}m_{11}^c& 1\\ m_{11}^cm_{22}^c(m_{12}^c)^2& m_{22}^c\end{array}\right)$$
(15)
Basically, the operator Eq. (LABEL:eq:new.2) is eight-leg quantum propagator. The eight coordinates were broken to four pairs and the Fourier transform with respect of their difference in each pair leads to the density propagator.

Somewhat different pairing of arguments of eight-leg propagator gives interference operator. It is called the Hikami box in theory of disordered metals. We derived it for chaotic system by making use of the method of Aleiner and Larkin. We just replaced random potential by exact scattering amplitudes. The interference operator is similar to divergence operator: it propagates center of mass along true trajectory but the relative motion is constrained in a different way:

$$(\{\gamma _j\};t)=e^{i\mathrm{\Delta }S/\mathrm{}}(m_{12}^c)^2\left[\frac{𝒜(\{\gamma _j\};t)}{(m_{12}^c)^2}\right]_{m_{12}^c0}.$$
(16)
This is main result of the present work.

The connection between interference and divergence becomes obvious. The operator Eq. (16) is important for trajectories with $`\mathrm{\Delta }S\mathrm{}`$. The crucial point is that $`\mathrm{\Delta }S`$ is inversely proportional to stability of the trajectory. Therefore for any energy of the particle  there are sufficiently long and unstable trajectories contributing to the interference kernel Eq. (16).

## V  Summary

In summary we have given definition of interference in quantum chaos. It can be seen as presence of nearly same length trajectories or as decrease of transmission of some path and therefore increase of the return probability. In this way we see that the trace formula do describes weak localization, contrary to the statement of Ref..

The progress of non-perturbative field theoretical methods in quantum chaos left the problem of interference open. Indeed the interference term in these theories has exactly the same structure as in effective Lagrangian of disordered systems. In latter case interference between particles is point-like; it appears as a result of single impurity scattering. In principle, one can add weak random potential to chaotic system, derive effective Lagrangian and then put relaxation time to infinity. Interference terms slowly disappear together with random potential.

The form of the interference kernel is primarily important for building of the field theory correctly describing “interaction” of diffusion modes ( called in quantum chaos Liuvillian modes). At present time it is not clear how to derive theory with interference kernel Eq. (16) in the effective action.

The developed here theory can be generalized to any dimension, however the counting of phase lost due to beam rotation becomes more complicated. In addition, the theory is not sensitive to any discrete symmetries and can be applied to modular groups. When the manuscript was in prpeapration author received mail about similar calculation of the action difference of 8-0 pairs undertaken recently by other people.

Comments and remarks of D. Cohen are greatly acknowledged.