Cstar-algebras and elliptic theory II

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Author: Dan Burghelea | Richard Melrose | Alexander S. Mishchenko | Evgenij V. Troitsky

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Trends in Mathematics

Trends in Mathematics is a series devoted to the publication of volumes arising from conferences and lecture series focusing on a particular topic from any area of mathematics. Its aim is to make current developments available to the community as rapidly as possible without compromise to quality and to archive these for reference. Proposals for volumes can be sent to the Mathematics Editor at either Birkhäuser Verlag P.O. Box 133 CH-4010 Basel Switzerland or Birkhäuser Boston Inc. 675 Massachusetts Avenue Cambridge, MA 02139 USA

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C*-algebras and Elliptic Theory II

Dan Burghelea Richard Melrose Alexander S. Mishchenko Evgenij V. Troitsky Editors

Birkhäuser Basel · Boston · Berlin

Editors: Dan Burghelea Department of Mathematics Ohio State University 231 West 18th Avenue Columbus, OH 43210 USA e-mail: [email protected]

Richard B. Melrose Department of Mathematics Massachusetts Institute of Technology Room 2-174 77 Massachusetts Avenue Cambridge, MA 02139 USA e-mail: [email protected]

Alexander S. Mishchenko Evgenij V. Troitsky Department of Mechanics and Mathematics Moscow State University Leninskie Gory 119992 Moscow Russia e-mail: [email protected] [email protected]

0DWKHPDWLFDO6XEMHFW&ODVVL½FDWLRQ19Kxx, 58Jxx, 57Rxx, 58J32, 19D55 Library of Congress Control Number: 2007942640 Bibliographic information published by Die Deutsche Bibliothek. Die Deutsche Bibliothek lists WKLVSXEOLFDWLRQLQWKH'HXWVFKH1DWLRQDOELEOLRJUD½HGHWDLOHGELEOLRJUDSKLFGDWDLVDYDLODEOHLQ the Internet at http://dnb.ddb.de

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www.birkhauser.ch

Contents Editors’ Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

vii

´ J.A. Alvarez L´ opez and Y.A. Kordyukov Lefschetz Distribution of Lie Foliations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

D. Burghelea and S. Haller Torsion, as a Function on the Space of Representations . . . . . . . . . . . . . .

41

S. Echterhoff The K-theory of Twisted Group Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . .

67

A. Fel’shtyn, F. Indukaev and E. Troitsky Twisted Burnside Theorem for Two-step Torsion-free Nilpotent Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

87

D. Guido, T. Isola and M.L. Lapidus Ihara Zeta Functions for Periodic Simple Graphs . . . . . . . . . . . . . . . . . . . . . 103 Yu.A. Kordyukov and A.A. Yakovlev Adiabatic Limits and the Spectrum of the Laplacian on Foliated Manifolds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123 U. Kr¨ ahmer On the Non-standard Podle´s Spheres . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

145

R. Melrose and F. Rochon Boundaries, Eta Invariant and the Determinant Bundle . . . . . . . . . . . . . . 149 V. Nazaikinskii, A. Savin and B. Sternin Elliptic Theory on Manifolds with Corners: I. Dual Manifolds and Pseudodifferential Operators . . . . . . . . . . . . . . . . . . 183 V. Nazaikinskii, A. Savin and B. Sternin Elliptic Theory on Manifolds with Corners: II. Homotopy Classification and K-Homology . . . . . . . . . . . . . . . . . . . . . . . . 207

vi

Contents

F. Nicola and L. Rodino Dixmier Traceability for General Pseudo-differential Operators . . . . . . . 227 J. Pejsachowicz Topological Invariants of Bifurcation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239 N. Teleman Modified Hochschild and Periodic Cyclic Homology . . . . . . . . . . . . . . . . . . 251 A. Thom L2 -invariants and Rank Metric . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267 E. Vasselli Group Bundle Duality, Invariants for Certain C ∗ -algebras, and Twisted Equivariant K-theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281 Ch. Wahl A New Topology on the Space of Unbounded Selfadjoint Operators, K-theory and Spectral Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297

Editors’ Introduction The conference “C ∗ -algebras and elliptic theory, II” was held at the Stefan Banach International Mathematical Center in B¸edlewo, Poland, in January 2006, one of a series of meetings in Poland and Russia. This volume is a collection of original and refereed research and expository papers related to the meeting. Although centered on the K-theory of operator algebras, a broad range of topics is covered including geometric, L2 - and spectral invariants, such as the analytic torsion, signature and index, of differential and pseudo-differential operators on spaces which are possibly singular, foliated or non-commutative. This material should be of interest to researchers in Mathematical Physics, Differential Topology and Analysis. The series of conferences including this one originated with an idea of Professor Bogdan Bojarski, namely, to strengthen collaboration between mathematicians from Poland and Russia on the basis of common scientific interests, particularly in the field of Non-commutative Geometry. This led to the first meeting, in 2004, which brought together about 60 mathematicians not only from Russia and Poland, but from other leading centers. It was supported by the European program “Geometric Analysis Research Training Network”. Since then there have been annual meetings alternating between B¸edlewo and Moscow. The second conference was organized in Moscow in 2005 and was dedicated to the memory of Yu.P. Solovyov. The proceedings will appear in the Journal of K-Theory. The conference on which this volume is based was the third conference in the overall series with the fourth being held in Moscow in 2007. A further meeting in B¸edlewo is planned for 2009. D. Burghelea, R.B. Melrose, A. Mishchenko, E. Troitsky

viii

Editors’ Introduction

Contents Pseudo-differential operators In two papers “Dual manifolds and pseudo-differential operators” and “Homotopy classification and K-homology” V. Nazaykinskiy, A. Savin and B. Sternin examine index questions and the homotopy classification of pseudo-differential operators on manifolds with corners. The paper “Dixmier traceability for general pseudo-differential operators” by F. Nicola and L. Rodino generalizes previous results about the finiteness of the Dixmier trace of pseudo-differential operators. In “Boundaries, Eta invariant and the determinant bundle”, R. Melrose and F. Rochon show that the exponentiated η invariant gives a section of the determinant bundle over the boundary for cusp pseudo-differential operators, generalizing a theorem of Dai and Freed in the Dirac setting. K-theory The paper “K-theory of twisted group algebras” by S. Echterhoff presents applications of the Baum-Connes conjecture to the study of the K-theory of twisted group algebras. A geometric formulation of the description of the dual of a finite group is extended to discrete infinite groups in the paper “Twisted Burnside theorem for two-step torsion-free nilpotent groups” by A. Felshtyn, F. Indukaev and E. Troitsky. The paper “Group bundle duality, invariants for certain C ∗ -algebras, and twisted equivariant K-theory” by E. Vasselli describes a general duality for Lie group bundles and its the relation with twisted K-theory. In the paper “Topological invariants of bifurcation”, J. Pejsachowicz uses the J-functor in K-theory to describe bifurcation for some nonlinear Fredholm operator families. Torsion and determinants “Torsion, as a function on the space of representations” is a survey by D. Burghelea and S. Haller of their results on three complex-valued invariants of a smooth closed manifold arising from combinatorial topology, from regularized determinants and from the counting instantons and closed trajectories. The Ihara zeta function for infinite periodic simple graphs, involving a “determinant” in the setting of von Neumann linear algebra, is defined and studied in the paper “Ihara zeta function for periodic simple graphs” by D. Guido, T. Isola and M. Lapidus. Operator algebras Ch. Wahl, in “A new topology on the space of unbounded selfadjoint operators and the spectral flow”, revisits the relationship between the space of Fredholm operators and the classical K 1 and K 0 functors.

Editors’ Introduction

ix

In the paper “L2 -invariants and rank metric”, A. Thom gives results about L -Betti numbers for tracial algebras. A positive answer to a conjecture on non-commutative spheres, is provided by U. Krähmer in “On the non-standard Podle´s spheres”. The paper “Modified Hochschild and periodic cyclic homology” by N. Teleman proposes a modification in the definition of these two homologies to better relate them to the Alexander-Spanier homology. 2

Foliated manifolds Lefschetz theory associated to a “transverse” action of a Lie group on a foliated manifold is examined in the paper “Lefschetz distribution of Lie foliation” by J. Alvarez Lopez and Yu. Kordyukov. The paper “Adiabatic limits and the spectrum of the Laplacian on foliated manifolds” by Yu. Kordyukov and A. Yakovlev presents results on the spectrum of the Laplacian on differential forms as the Riemannian metric is expanded normal to the leaves.

C ∗ -algebras and Elliptic Theory II Trends in Mathematics, 1–40 c 2008 Birkh¨ auser Verlag Basel/Switzerland

Lefschetz Distribution of Lie Foliations ´ Jes´ us A. Alvarez López and Yuri A. Kordyukov Abstract. Let F be a Lie foliation on a closed manifold M with structural Lie group G. Its transverse Lie structure can be considered as a transverse action Φ of G on (M, F); i.e., an “action” which is defined up to leafwise homotopies. This Φ induces an action Φ∗ of G on the reduced leafwise cohomology H(F). By using leafwise Hodge theory, the supertrace of Φ∗ can be defined as a distribution Ldis (F) on G called the Lefschetz distribution of F. A distributional version of the Gauss-Bonett theorem is proved, which describes Ldis (F) around the identity element. On any small enough open subset of G, Ldis (F) is described by a distributional version of the Lefschetz trace formula. Mathematics Subject Classification (2000). 58J22, 57R30, 58J42. Keywords. Lie foliation, Riemannian foliation, leafwise reduced cohomology, distributional trace, Lefschetz distribution, Λ-Euler characteristic, Λ-Lefschetz number, Lefschetz trace formula.

Contents 1 2 3 4 5 6

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Transverse actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Lie foliations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Structural transverse action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Hodge isomorphism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A class of smoothing operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.1 Preliminaries on smoothing and trace class operators . . . . . . . . . . . 6.2 The class D . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3 A norm estimate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.4 Parameter independence of the supertrace . . . . . . . . . . . . . . . . . . . . . .

2 6 8 9 11 12 12 13 15 17

J.A.L. was partially supported by MEC (Spain), grant MTM2004-08214. Y.K. was partially supported by the RFBR grant 06-01-00208 and by the joint RFBR-DFG grant 07-01-91555NNIO a.

´ J.A. Alvarez López and Y.A. Kordyukov

2

6.5 The global action on the leafwise complex . . . . . . . . . . . . . . . . . . . . . . 6.6 Schwartz kernels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

18 20

7 Lefschetz distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23

8 The distributional Gauss-Bonett theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . .

24

9 The distributional Lefschetz trace formula . . . . . . . . . . . . . . . . . . . . . . . . . . .

26

10 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.1 Codimension one foliations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.2 Suspensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.3 Bundles over homogeneous spaces and the Selberg trace formula 10.4 Homogeneous foliations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.5 Nilpotent homogeneous foliations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

31 31 32 33 36 38

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

39

1. Introduction Let F be a C ∞ foliation on a manifold M . Let Diff(M, F ) be the group of foliated diffeomorphisms (M, F ) → (M, F ). The elements of Diff(M, F ) that are C ∞ leafwisely homotopic to idM form a normal subgroup Diff 0 (F ), and let Diff(M, F ) denote the corresponding quotient group. A right transverse action of a group G on (M, F ) is an anti-homomorphism Φ : G → Diff(M, F ). A local representation of Φ on some open subset O ⊂ G is a map φ : M × O → M such that φg = φ(·, g) is a foliated diffeomorphism representing Φg for all g ∈ G. Then Φ is said to be of class C ∞ if it has a C ∞ local representation on each small enough open subset of G. Recall that the leafwise de Rham complex (Ω(F ), dF ) consists of the differential forms on the leaves which are C ∞ on M , endowed with the de Rham derivative of the leaves. Its cohomology H(F ) is called the leafwise cohomology. This becomes a topological vector space with the topology induced by the C ∞ topology, and its maximal Hausdorff quotient is the reduced leafwise cohomology H(F ). Consider the canonical right action of Diff(M, F ) on H(F ) defined by pullingback leafwise differential forms. Since Diff 0 (F ) acts trivially, we get a canonical right action of Diff(M, F ) on H(F ). Then any right transverse action Φ of a group G on (M, F ) induces a left action Φ∗ of G on H(F ). Suppose from now on that F is a Lie foliation and the manifold M is closed. It is shown that its transverse Lie structure can be described as a right transverse action Φ of its structural Lie group G on (M, F ). Consider the induced left action Φ∗ of G on H(F ). For each g ∈ G, we would like to define the supertrace Trs Φ∗g , which could be called the leafwise Lefschetz number L(Φg ) of Φg . This can be achieved when H(F ) is of finite dimension, obtaining a C ∞ function L(F ) on G defined by L(F )(g) = L(Φg ); the value of L(F ) at the identity element e of G is the Euler characteristic χ(F ) of H(F ), which can be called the leafwise Euler

Lefschetz Distribution of Lie Foliations

3

characteristic of F . But H(F ) may be of infinite dimension, even when the leaves are dense [1], and thus L(F ) is not defined in general. The first goal of this paper is to show that, in general, the role of the function L(F ) can be played by a distribution Ldis (F ) on G, called the Lefschetz distribution of F , whose singularities are motivated by the infinite dimension of H(F ). The first ingredient to define Ldis (F ) is the leafwise Hodge theory studied in [2] for Riemannian foliations; recall that Lie foliations form a specially important class of Riemannian foliations [19]. Fix a bundle-like metric on M whose transverse part is induced by a left invariant Riemannian metric on G. For the induced Riemannian structure on the leaves, let ΔF be the Laplacian of the leaves operating in Ω(F ). The kernel H(F ) of ΔF is the space of harmonic forms on the leaves that are C ∞ on M . The metric induces an L2 inner product on Ω(F ), obtaining a Hilbert space Ω(F ). Then ΔF is an essentially self-adjoint operator in Ω(F ) whose closure is denoted by ΔF . The kernel of ΔF is denoted by H(F ), and let Π : Ω(F ) → H(F ) denote the orthogonal projection. In [2], it is proved that Π has a restriction Π : Ω(F ) → H(F ) that induces an isomorphism H(F ) ∼ = H(F ), which can be called the leafwise Hodge isomorphism. Let Λ be the volume form of G, and let φ : M × O → M be a C ∞ local representation of Φ. For each f ∈ Cc∞ (O), consider the operator φ∗g · f (g) Λ(g) ◦ Π Pf = G

in Ω(F ). Our first main result is the following. Proposition 1.1. Pf is of trace class, and the functional f → Trs Pf defines a distribution on O. It can be easily seen that Trs Pf is independent of the choice of φ, and thus the distributions given by Proposition 1.1 can be combined to define a distribution Ldis (F ) on G; this is the Lefschetz distribution of F . Observe that Ldis (F ) ≡ L(F ) · Λ when H(F ) is of finite dimension. This justifies the consideration of Ldis (F ) as a generalization of L(F ); in particular, the germ of Ldis (F ) at e generalizes χ(F ). If the operators Pf are restricted to Ωi (F ) for each degree i, its trace defines a distribution Tridis (F ), called distributional trace, whose germ at e generalizes the i leafwise Betti number β i (F ) = dim H (F ). The distributions Ldis (F ) and Tridis (F ) depend on Λ and F , endowed with the transverse Lie structure. If the leaves are dense, then the transverse Lie structure is determined by the foliation, and thus these distributions depend only on Λ and the foliation. On the other hand, the dependence on Λ can be avoided by using top-dimensional currents instead of distributions, in the obvious way. Our second goal is to prove a distributional version of the Gauss-Bonett theorem, which describes Ldis (F ) around e. Let RF be the curvature of the leafwise metric. Suppose for simplicity that F is oriented. Then Pf(RF /2π) ∈ Ωp (F ) (p = dim F ) can be called the leafwise Euler form. This form can be paired with Λ,


4

considered as a transverse invariant measure, to give a differential form ωΛ ∧ Pf(RF /2π) of top degree on M . In particular, if dim F = 2, then 1 K F ωM , ωΛ ∧ Pf(RF /2π) = 2π where KF is the Gauss curvature of the leaves and ωM is the volume form of M . Let δe denote the Dirac measure at e. Theorem 1.2 (Distributional Gauss-Bonett theorem). We have ωΛ ∧ Pf(RF /2π) · δe Ldis (F ) = M

on some neighborhood of e. To prove Theorem 1.2, we really prove that Ldis (F ) = χΛ (F ) · δe

(1.1)

around e, where Λ is considered as a transverse invariant measure of F , and χΛ (F ) is the Λ-Euler characteristic of F introduced by Connes [9]. Then Theorem 1.2 follows from the index theorem of [9]. The third goal is to prove a distributional version of the Lefschetz trace formula, which describes Ldis (F ) on any small enough open subset of G. For a C ∞ local representation φ : M × O → M of Φ, let φ : M × O → M × O be the map defined by φ (x, g) = (φg (x), g). The fixed point set of φ , Fix(φ ), consists of the points (x, g) such that φg (x) = x. A point (x, g) ∈ Fix(φ ) is said to be leafwise simple when φg∗ − id : Tx F → Tx F is an isomorphism; in this case, the sign of the determinant of this isomorphism is denoted by (x, g). The set of leafwise simple fixed points of φ is denoted by Fix0 (φ ). Let pr1 : M × O → M and pr2 : M × O → O be the factor projections. It is proved that Fix0 (φ ) is a C ∞ manifold of dimension equal to codim F . Moreover the restriction pr1 : Fix0 (φ ) → M is a local embedding transverse to F . So Λ defines a measure ΛFix0 (φ ) on Fix0 (φ ). Observe that pr2 : Fix(φ ) → O is a proper map. Theorem 1.3 (Distributional Lefschetz trace formula). Suppose that every fixed point of φ is leafwise simple. Then Ldis (F ) = pr2∗ ( · ΛFix(φ ) ) on O. To prove Theorem 1.3, we consider certain submanifold M1 ⊂ M ×O endowed with a foliation F1 , whose leaves are of the form L × {g}, where L is a leaf of F and g ∈ G. It is proved that pr2 (M1 ) is open in some orbit of the adjoint action of G on itself, pr1 : M1 → M is a local diffeomorphism, and F1 = pr∗1 F . So Λ lifts to a transverse invariant measure Λ1 of F1 . Moreover the restriction φ1 of φ to M1 is defined and maps each leaf of F1 to itself. For each f ∈ Cc∞ (O) supported in an appropriate open subset O1 ⊂ O, the transverse invariant measure Λ1,f = pr∗2 f · Λ1 is compactly supported. Then the Λ1,f -Lefschetz number LΛ1,f (φ1 ) is


5

defined according to [14]. Without assuming any condition on the fixed point set, we show that

Ldis (F ), f = LΛ1,f (φ1 ) . (1.2) We have that Fix(φ1 ) is a C ∞ local transversal of F1 . Hence Theorem 1.3 follows from (1.2) and the foliation Lefschetz theorem of [14, 24]. The numbers χΛ (F ) and LΛ1,f (φ1 ) are defined by using L2 differential forms on the leaves, whilst Ldis (F ) is defined by using leafwise differential forms that are C ∞ on M . These are sharply different conditions when the leaves are not compact. So (1.1) and (1.2) are surprising relations. By (1.2), Ldis (F ) is supported in the union of a discrete set of orbits of the adjoint action. Therefore, when codim F > 0, Ldis (F ) is C ∞ just when it is trivial, obtaining the following. Corollary 1.4. If H(F ) is of finite dimension and codim F > 0, then Ldis (F ) ≡ L(F ) = 0. By Corollary 1.4, χ(F ) is useless: it vanishes just when it can be defined. Moreover χΛ (F ) = 0 in this case by (1.1). So, when codim F > 0, the condition χΛ (F ) = 0 yields dim H(F ) = ∞. More precise results of this type would be desirable. Let dim F = p. When the leaves are dense, β 0 (F ) and β p (F ) are finite, and thus Tr0dis (F ) and Trpdis (F ) are C ∞ . On the other hand, when the leaves are not compact, the Λ-Betti numbers of [9] satisfy βΛ0 (F ) = βΛp (F ) = 0. Then the following result follows from (1.1) and Corollary 1.4. Corollary 1.5. If codim F > 0, dim F = 2 and the leaves are dense, then Tr1dis (F )− βΛ1 (F ) · δe is C ∞ around e. In Corollary 1.5, we could say that βΛ1 (F )·δe is the “singular part” of Tr1dis (F ) around e. Corollary 1.6. Suppose that codim F > 0 and dim F = 2. If there is a nontrivial 1 harmonic L2 differential form of degree one on some leaf, then dim H (F ) = ∞. It would be nice to generalize Corollary 1.6 for arbitrary dimension. Thus we conjecture the following. Conjecture 1.7. If codim F > 0 and the leaves are dense, then Tridis (F )− βΛi (F )·δe is C ∞ around e for each degree i. The main results were proved in [3] for the case of codimension one. Our results also overlap the corresponding results of [20]. We hope to prove elsewhere another version of Theorem 1.3 with a more general condition on the fixed points, always satisfied by some local representation φ of Φ defined around any point of G. By (1.2), what is needed is another version of the Lefschetz theorem of [14], which holds for more general fixed point sets when the transverse measure is C ∞ .

6


The idea of using such type of trace class operators to define distributional spectral invariants is due to Atiyah and Singer [5, 30]. They consider transversally elliptic operators with respect to compact Lie group actions. Further generalizations to foliations and non-compact Lie group actions were given in [21, 10, 15, 17]. In our case, ΔF is not transversally elliptic with respect to any Lie group action or any foliation, but it can be considered as being “transversely elliptic” with respect to the structural transverse action; this simply means that it is elliptic along the leaves of F .

2. Transverse actions Recall that a foliation F on a manifold M can be described by a foliated cocycle, which is a collection {Ui , fi }, where {Ui } is an open cover of X and each fi is a topological submersion of Ui onto some manifold Ti whose fibers are connected open subsets of Rn , such that the following compatibility condition is satisfied: x for every x ∈ Ui ∩ Uj , there is an open neighborhood Ui,j of x in Ui ∩ Uj and x x x ) → fj (Ui,j ) such that fj = hxi,j ◦ fi on Ui,j . a homeomorphism hxi,j : fi (Ui,j Two foliated cocycles describe the same foliation F when their union is a foliated cocycle. The leaf topology on M is the topology with a base given by the open sets of the fibers of all the submersions fi . The leaves of F are the connected components of M with the leaf topology. The leaf through each point x ∈ M is denoted by Lx . The pseudogroup on i Ti generated by the maps hxi,j , given by the compatibility condition, is called (a representative of) the holonomy pseudogroup of F , and describes the “transverse dynamics” of F . Different foliated cocycles of F induce equivalent pseudogroups in the sense of [12, 13]. Another representative of the holonomy pseudogroup is defined on any transversal of F that meets every leaf. It is generated by “sliding” small open subsets (local transversals) along the leaves; its precise definition is given in [12]. When M is a C ∞ manifold, it is said that F is C ∞ if it is described by a foliated cocycle {Ui , fi } which is C ∞ in the sense that each fi is a C ∞ submersion to some C ∞ manifold. Let Γ be a group of homeomorphisms of a manifold T . A foliated cocycle (Ui , fi ) of F , with fi : Ui → Ti , is said to be (T, Γ)-valued when each Ti is an open subset of T , and the maps hxi,j , given by the compatibility condition, are restrictions of maps in Γ. A transverse (T, Γ)-structure of F is given by a (T, Γ)-valued foliated cocycle, and two (T, Γ)-valued foliated cocycles define the same transverse (T, Γ)structure when their union is a (T, Γ)-valued foliated cocycle. When F is endowed with a transverse (T, Γ)-structure, it is called a (T, Γ)-foliation. Let F and G be foliations on manifolds M and N , respectively. Recall the following concepts. A foliated map f : (M, F ) → (N, G) is a map f : M → N that maps each leaf of F to a leaf of G; the simpler notation f : F → G will be also used. A leafwise homotopy (or integrable homotopy) between two continuous foliated maps f, f : (M, F ) → (N, G) is a continuous map H : M × I → N


7

(I = [0, 1]) such that the path H(x, ·) : I → N lies in a leaf of G for each x ∈ M ; in this case, it is said that f and f are leafwisely homotopic (or integrably homotopic). Suppose from now on that F and G are C ∞ . Two C ∞ foliated maps are said to ∞ be C leafwisely homotopic when there is a C ∞ leafwise homotopy between them. As usual, T F ⊂ T M denotes the subbundle of vectors tangent to the leaves of F , X(M, F ) denotes the Lie algebra of infinitesimal transformations of (M, F ), and X(F ) ⊂ X(M, F ) is the normal Lie subalgebra of vector fields tangent to the leaves of F (C ∞ sections of T F → M ). Then we can consider the quotient Lie algebra X(M, F ) = X(M, F )/X(F ), whose elements are called transverse vector fields. Observe that, for each x ∈ M , the evaluation map evx : X(M, F ) → Tx M induces a map evx : X(M, F ) → Tx M/Tx F , which can be also called evaluation map. For any Lie algebra g, a homomorphism g → X(M, F ) is called an infinitesimal transverse action of g on (M, F ). In particular, we have a canonical infinitesimal transverse action of X(M, F ) on (M, F ). Let Diff(M, F ) be the group of C ∞ foliated diffeomorphisms (M, F ) → (M, F ) with the operation of composition, let Diff(F ) ⊂ Diff(M, F ) be the normal subgroup C ∞ foliated diffeomorphisms that preserve each leaf of F , and let Diff 0 (F ) ⊂ Diff(F ) be the normal subgroup of C ∞ foliated diffeomorphisms that are C ∞ leafwisely homotopic to the identity map. Then we can consider the quotient group Diff(M, F ) = Diff(M, F )/ Diff 0 (F ), whose operation is also denoted by “◦”. The elements of Diff(M, F ) can be called transverse transformations of (M, F ). For any group G, an anti-homomorphism Φ : G → Diff(M, F ), g → Φg , is called a right transverse action of G on (M, F ). For an open subset O ⊂ G, a map φ : M × O → M is called a local representation of Φ on O if φg = φ(·, g) ∈ Φg for all g ∈ O. For any leaf L of F and any g ∈ O, the leaf φg (L) is independent of the local representative φ, and thus it will be denoted by Φg (L). When G is a Lie group, Φ is said to be of class C ∞ if it has a C ∞ local representation around each element of G. Somehow, we can think of Diff(M, F ) as a Lie group whose Lie algebra is X(M, F ); indeed, it will be proved elsewhere that, if G is a simply connected Lie group and g is its Lie algebra of left invariant vector fields, then there is a canonical bijection between infinitesimal transverse actions of g on (M, F ) and C ∞ right transverse actions of G on (M, F ). The leafwise de Rham complex (Ω(F ), dF )is the space of differential forms on the leaves smooth on M (C ∞ sections of T F ∗ → M ) endowed with the leafwise de Rham differential. It is also a topological vector space with the C ∞ topology, and dF is continuous. The cohomology H(F ) of (Ω(F ), dF ) is called the leafwise cohomology of F , which is a topological vector space with the induced topology. Its maximal Hausdorff quotient H(F ) = H(F )/0 is called the reduced leafwise cohomology. By pulling back leafwise differential forms, any C ∞ foliated map f : (M, F ) → (N, G) induces a continuous homomorphism of complexes, f ∗ : Ω(G) → Ω(F ), obtaining a continuous homomorphism f ∗ : H(G) → H(F ). Moreover, if f is

8


C ∞ leafwisely homotopic to another C ∞ foliated map f : (M, F ) → (M, F ), ∗ then f ∗ = f : H(G) → H(F ) by standard arguments [7]. Therefore, for any F ∈ Diff(M, F ) and any f ∈ F , the endomorphism f ∗ of H(F ) can be denoted by F ∗ . So any right transverse action Φ of a group G on (M, F ) induces a left action Φ∗ of G on H(F ) given by (g, ξ) → Φ∗g ξ.

3. Lie foliations Let F be a C ∞ foliation of codimension q on a C ∞ closed manifold M . Let G be a simply connected Lie group of dimension q, and g its Lie algebra of left invariant vector fields. A transverse Lie structure of F , with structural Lie group G and structural Lie algebra g, can be described with any of the following objects that determine each other [11, 19]: (L.1) A transverse (G, G)-structure of F , where G is identified with the group of its left translations. (L.2) A g-valued 1-form ω on M such that ωx : Tx M → g is surjective with kernel Tx F for every x ∈ M , and 1 dω + [ω, ω] = 0 . 2 (L.3) A homomorphism θ : g → X(M, F ) such that the composite θ

ev

x g −−−−→ X(M, F ) −−−− → Tx M/Tx F

is an isomorphism for every x ∈ M . In (L.1), the elements of G whose corresponding left translations are involved in the definition of the transverse (G, G)-structure form a subgroup Γ, which is called the holonomy group of F . So the transverse (G, G)-structure is a transverse (G, Γ)structure. In (L.2) and (L.3), ω and θ can be respectively called the structural form and the structural infinitesimal transverse action. A C ∞ foliation endowed with a transverse Lie structure is called a Lie foliation; the terms Lie G-foliation or Lie g-foliation are used too. If the leaves are dense, then the transverse Lie structure is unique, and thus it is determined by the foliation. A Lie G-foliation F on a C ∞ closed manifold M has the following description → M , a fibre bundle due to Fedida [11, 19]. There exists a regular covering π : M D : M → G and an injective homomorphism h : Aut(π) → G such that the leaves of F = π ∗ F are the fibres of D, and D is h-equivariant; i.e., D ◦ σ(˜ x) = h(σ) · D(˜ x) and σ ∈ Aut(π). This h is called the holonomy homomorphism. for all x˜ ∈ M of M if necessary, we can assume that h is By using the covering space ker(h)\M injective, and thus π restricts to diffeomorphisms of the leaves of F to the leaves will be denoted by L x˜ . of F . The leaf of F through each point x ˜∈M


9

Given a (G, G)-valued foliated cocycle {Ui , fi } defining the transverse Lie structure according to (L.1), the g-valued 1-form ω of (L.2) and the infinitesimal transverse action θ of (L.3) can be defined as follows. For x ∈ Ui and v ∈ Tx M , ωx (v) is the left invariant vector field on G whose value at fi (x) is fi∗ (v). To define θ, fix an auxiliary vector subbundle ν ⊂ T M complementary of T F (T M = ν ⊕ T F ). Each X ∈ g defines a C ∞ vector field X ν ∈ X(M, F ) by the conditions X ν (x) ∈ νx and fi∗ (X ν (x)) = X(fi (x)) if x ∈ Ui . Then θ(X) is the class of X ν in X(M, F ), which is independent of the choice of ν. By using Fedida’s geometric description of F , the definitions of ω and X ν can be better understood: • Let ωG be the canonical g-valued 1-form on G defined by ωG (X(g)) = X for any X ∈ g and any g ∈ G. Then ω is determined by the condition π ∗ ω = D ∗ ωG . , which is a vector subbundle complementary of T F. • Let ν˜ = π∗−1 (ν) ⊂ T M ν Then, for any X ∈ g, there is a unique X ∈ X(M , F ) which is a section of ν = X ◦ D. Since D is h-equivariant, X ν is Aut(π)ν˜ and satisfies D∗ ◦ X ν ν to M . invariant. Then X is the projection of X

4. Structural transverse action Let G be a simply connected Lie group, and let F be a Lie G-foliation on a closed manifold M . According to Section 2, the structural infinitesimal transverse action corresponds to a unique right transverse action of G on (M, F ), obtaining another description of the transverse Lie structure: (L.4) A C ∞ right transverse action Φ of G on (M, F ) which has a C ∞ local representation φ around the identity element e of G such that the composite φx

Te G −−−∗−→ Tx M −−−−→ Tx M/Tx F is an isomorphism for all x ∈ M , where φx = φ(x, ·) and the second map is the canonical projection. This condition is independent of the choice of φ. This Φ is called the structural transverse action. To describe Φ, consider Fedida’s geometric description of F (Section 3). For any g ∈ G, take a continuous, piecewise C ∞ path c : I → G with c(0) = e and , there exists a unique continuous piecewise C ∞ path c(1) = g. For any x ˜ ∈ M ν c˜x˜ : I → M such that • c˜νx˜ (0) = x˜, • c˜νx˜ is tangent to ν˜ at every t ∈ I where it is C ∞ , and x) · c(t) for any t ∈ I. • D ◦ c˜νx˜ (t) = D(˜ It is easy to see that such a c˜νx˜ depends smoothly on x ˜. and σ ∈ Aut(π). Lemma 4.1. We have σ ◦ c˜νx˜ = c˜νσ(˜x) for x ˜∈M

10


Proof. This is a direct consequence of the h-equivariance of D and the unicity of the paths c˜νx˜ . , F) → (M , F) be the C ∞ foliated diffeomorphism For each g ∈ G, let φ˜g : (M and σ ∈ Aut(π), we have given by φ˜g (˜ x) = c˜νx˜ (1). For any x˜ ∈ M x) = σ ◦ c˜νx˜ (1) = c˜νσ(˜x) (1) = φ˜g ◦ σ(˜ x) σ ◦ φ˜g (˜ by Lemma 4.1, yielding σ ◦ φ˜g = φ˜g ◦ σ. Therefore, there exists a unique C ∞ foliated diffeomorphism φg : (M, F ) → (M, F ) such that π ◦ φ˜g = φg ◦ π. Lemma 4.2. The C ∞ leafwise homotopy class of φg is independent of the choice of c. Proof. Let d : I → G be another continuous and piecewise smooth path with d(0) = e and d(1) = g, which defines a C ∞ foliated map ϕg : (M, F ) → (M, F ) as above. Since G is simply connected, there exists a family of continuous and piecewise smooth paths cs : I → G, depending smoothly on s ∈ I, with cs (0) = e, cs (1) = g, c0 = c and c1 = d. The paths cs induce a family of C ∞ foliated maps φg,s : (M, F ) → (M, F ) as above, defining a C ∞ leafwise homotopy between φg and ϕg . Lemma 4.3. The C ∞ leafwise homotopy class of φg is independent of the choice of ν. Proof. Let ν ⊂ T M be another vector subbundle complementary of T F , which can be used to define a C ∞ foliated map φg as above. It is easy to find a C ∞ deformation of vector subbundles of νs ⊂ T M complementary of T F , s ∈ I, with ν0 = ν and ν1 = ν . Then the foliated maps φg,s , induced by the vector bundles νs as above, define a C ∞ leafwise homotopy between φg and φg . Therefore, for each g, the C ∞ leafwise homotopy class Φg of φg depends only on g, F and its transverse Lie structure. So a map Φ : G → Diff(M, F ) is given by g → Φg . Lemma 4.4. Φ is a right transverse action of G in (M, F ). Proof. Given g1 , g2 ∈ G, let c1 , c2 : I → G be continuous, piecewise smooth paths such that c1 (0) = c2 (0) = e, c1 (1) = g1 and c2 (1) = g2 , which are used to define φg1 and φg2 as above. Let c : I → G be the path product of c1 and Lg1 ◦ c2 , where Lg1 denotes the left translation by g1 . We have c(0) = e and c(1) = g1 g2 . We can use this c to define φg1 g2 , obtaining φg1 g2 = φg2 ◦ φg1 , and thus Φg1 g2 = Φg2 ◦ Φg1 . Lemma 4.5. Φ is C ∞ . Proof. It is easy to prove that each element of G has a neighbourhood O such that there is a C ∞ map c : I × O → G so that each cg = c(·, g) is a path from e to g. The corresponding foliated diffeomorphisms φg form a C ∞ representation of Φ on O.


11

This construction defines the structural transverse action Φ. According to Section 2, Φ induces a left action Φ∗ of G on H(F ). Lemma 4.6. There is a local representation ϕ : M × O → M of Φ around the identity element e such that ϕe = idM . Proof. Construct φ like in the proof of Lemma 4.5 such that e ∈ O and ce is the constant path at e. ×O → M Let ϕ : M × O → M be a local representation of Φ. A map ϕ˜ : M ˜ g). In particular, is called a lift of ϕ if π ◦ ϕ˜g = ϕg ◦ π for all g ∈ O, where ϕ˜g = ϕ(·, ˜ Let Rg : G → G denote the right the above construction of φ also gives a lift φ. translation by any g ∈ G. ×O → M of each C ∞ local representation ϕ : Lemma 4.7. Any C ∞ lift ϕ˜ : M M × O → M of Φ, such that O is connected, satisfies D ◦ ϕ˜g = Rg ◦ D for all g ∈ O. Proof. It is enough to prove the result when O is as small as desired. It is clear that the property of the statement is satisfied by the maps φ˜ constructed above for connected O. For an arbitrary ϕ, if O is small enough and connected, there is some φ : M × O → M defined by the above construction and some homotopy H : M ×O×I → M between ϕ and φ such that each path t → H(x, g, t) is contained in a leaf of F . :M ×O ×I → M between ϕ˜ and φ˜ so that each This H lifts to a homotopy H ˜ completing x, g, t) is contained in a leaf of F. Then D ◦ ϕ˜ = D ◦ φ, path t → H(˜ the proof. ×O →M is a C ∞ embedding for each leaf L of F. Corollary 4.8. ϕ˜ : L The transverse Lie structure of F lifts to a transverse Lie structure of F, whose structural right transverse action is locally represented by the C ∞ lifts of C ∞ local representations of Φ.

5. The Hodge isomorphism Recall that any Lie foliation is Riemannian [23]. Then fix a bundle-like metric on M [23], and equip the leaves of F with the induced Riemannian metric. Let δF denote the leafwise coderivative on the leaves operating in Ω(F ), and set DF = dF + δF . 2 = dF ◦ dF + dF ◦ δF is the leafwise Laplacian operating in Ω(F ). Then ΔF = DF Let H(F ) = ker ΔF (the space of leafwise harmonic forms which are smooth on M ). Since the metric is bundle-like, the transverse volume element is holonomy invariant, which implies that DF and ΔF are symmetric, and thus they have the same kernel. Let Ω(F ) be the Hilbert space of square integrable leafwise differential forms on M . The metric of M induces a Hilbert structure in Ω(F ). For any C ∞ foliated map f : (M, F ) → (M, F ), the endomorphism f ∗ of Ω(F ) is obviously L2 -bounded,

12


and thus extends to a bounded operator f ∗ in Ω(F ). Consider DF and ΔF as unbounded operators in Ω(F ), which are essentially self-adjoint [8], and whose closures are denoted by DF and ΔF (see, e.g., [4, 16]). By [2], H(F ) = ker ΔF is the closure of H(F ) in Ω(F ), and the orthogonal projection Π : Ω(F ) → H(F ) has a restriction Π : Ω(F ) → H(F ), which induces a leafwise Hodge isomorphism ∼ H(F ) . H(F ) = For any C ∞ foliated map f : (M, F ) → (M, F ), the homomorphism f ∗ : H(F ) → H(F ) corresponds to the operator Π ◦ f ∗ in H(F ) via the Hodge isomorphism. So the left G-action on H(F ), defined in Section 4, corresponds to the left G-action on H(F ) given by (g, α) → Π ◦ φ∗g α for any φg ∈ Φg . Since the left action of G on H(F ) is L2 -continuous, we get an extended left action of G on H(F ) given by (g, α) → Π ◦ φ∗g α for any φg ∈ Φg . These actions on H(F ) and H(F ) are continuous on G since Φ is C ∞ .

6. A class of smoothing operators 6.1. Preliminaries on smoothing and trace class operators Let ωM denote the volume forms of M . A smoothing operator in Ω(F ) is a linear map P : Ω(F ) → Ω(F ), continuous with respect to the C ∞ topology, given by (P α)(x) = k(x, y) α(y) ωM (y) M for some C ∞ section k of T F ∗ T F over M × M ; thus k(x, y) ∈ T Fx∗ ⊗ T Fy ≡ Hom( T Fy∗ , T Fx∗ ) for any x, y ∈ M . This k is called the smoothing kernel or Schwartz kernel of P . Such a P defines a trace class operator in Ω(F ), and we have Tr P = Tr k(x, x) ωM (x) . M

The supertrace formalism will be also used. For any homogeneous operator T in Ω(F ) or in Tx F ∗ , let T ± denote its restriction to the even and odd degree part, and let T (i) denote its restriction to the part of degree i. If T is of trace class, then its supertrace is (−1)i Tr T (i) . Trs T = Tr T + − Tr T − = i

Thus Trs P =

Trs k(x, x) ωM (x) . M

Let W k Ω(F ) denote the Sobolev space of order k of leafwise differential forms on M , and let ·k denote a norm of W k Ω(F ). A continuous operator P in Ω(F ) is smoothing if and only if P extends to a bounded operator P : W k Ω(F ) → W l Ω(F ) for any k and l.


13

If an operator P in Ω(F ) has an extension P : W k Ω(F ) → W Ω(F ), then P k, denotes the norm of this extension; the notation P k is used when k = . By the Sobolev embedding theorem, the trace of a smoothing operator P in Ω(F ) can be estimated in the following way: for any k > dim M , there is some C > 0 independent of P such that | Tr P | ≤ C P 0,k .

(6.1)

6.2. The class D Let A be the set of all functions ψ : R → C, extending to an entire function ψ on C such that, for each compact set K ⊂ R, the set of functions {(x → ψ(x + iy)) | y ∈ K} is bounded in the Schwartz space S(R). This A has a structure of Fréchet algebra, and, in fact, it is a module over C[z]. This algebra contains all functions 2 with compactly supported Fourier transform, and the functions x → e−tx with t > 0. By [25, Proposition 4.1], there exists a “functional calculus map” A → End(Ω(F )), ψ → ψ(DF ), which is a continuous homomorphism of C[z]-modules and of algebras. Any operator ψ(DF ), ψ ∈ A, extends to a bounded operator in W k Ω(F ) for any k with the following estimate for its norm: there is some C > 0, independent of ψ, such that ˆ eC |ξ| dξ , (6.2) ψ(DF )k ≤ |ψ(ξ)| where ψˆ denotes the Fourier transform of ψ. Therefore, for any natural N , the operator (id +ΔF )N ψ(DF ) extends to a bounded operator in W k Ω(F ) for any k whose norm can be estimated as follows: there is some C > 0, independent of ψ, such that (id +ΔF )N ψ(DF )k ≤

ˆ |(id −∂ξ2 )N ψ(ξ)| eC |ξ| dξ .

(6.3)

Fix a left-invariant Riemannian metric on G, and let Λ denote its volume form. We can assume that the metrics on M and G agree in the sense that the → G is a maps fi of (L.1) are Riemannian submersions (Section 3). Thus D : M . Riemannian submersion with respect to the lift of the bundle-like metric to M A leafwise differential operator in Ω(F ) is a differential operator which involves only leafwise derivatives; for instance, dF , δF , DF and ΔF are leafwise differential operators. A family of leafwise differential operators in Ω(F ), A = {Av | v ∈ V }, is said to be smooth when V is a C ∞ manifold and, with respect to C ∞ local coordinates, the local coefficients of each Av depend smoothly on v in the C ∞ -topology. We also say that A is compactly supported when there is some compact subset K ⊂ V such that Av = 0 if v ∈ / K. Given another smooth family of leafwise differential operators in Ω(F ) with the same parameter manifold, B = {Bv | v ∈ V }, the composite A◦ B is the family defined by (A◦ B)v = Av ◦ Bv . Similarly, we can define the sum A + B and the product λ · A for some λ ∈ R.

14

´ J.A. Alvarez López and Y.A. Kordyukov We introduce the class D of operators P : Ω(F ) → Ω(F ) of the form P = φ∗g ◦ Ag Λ(g) ◦ ψ(DF ) , O

where O is some open subset of G, φ : M × O → M is a C ∞ local representation of Φ, A = {Ag | g ∈ O} is a smooth compactly supported family of leafwise differential operators in Ω(F ), and ψ ∈ A. Proposition 6.1. Any operator P ∈ D is a smoothing operator in Ω(F ). Proof. Let P ∈ D as above. By (6.3) and since the operator φ∗g preserves any Sobolev space, P defines a bounded operator in W k Ω(F ) for any k. Let ϕ : M × O0 → M be a C ∞ local representation of Φ on some open neighborhood O0 of the identity element e; we can assume that ϕe = idM by Corollary 4.8. For any Y ∈ g, let Y be the first-order differential operator in Ω(F ) defined by

d ∗ ϕexp tY u

Y u = , dt t=0 which makes sense because exp tY ∈ O0 for any t > 0 small enough. Fix a base Y1 , . . . , Yq of g. Then the second-order differential operator L = − qj=1 Y j2 in Ω(F ) is transversely elliptic. Moreover ΔF is leafwise elliptic. By the elliptic regularity theorem, it suffices to prove that LN ◦ P and ΔN F ◦ P belong to D for any natural N . In turn, this follows by showing that Q ◦ P and Y ◦ P are in D for any leafwise differential operator Q and any Y ∈ g. We have φ∗g ◦ Bg Λ(g) ◦ ψ(DF ) , Q◦P = O

(φ∗g )−1 ◦Q◦φ∗g ◦Ag .

where Bg = Since φg is a foliated map, it follows that {Bg | g ∈ O} is a smooth family of leafwise differential operators, yielding Q ◦ P ∈ D. For g ∈ O and a ∈ O0 close enough to e, let Fa,g = φag ◦ ϕa ◦ φ−1 g . Observe that Fe,g = idM because ϕe = idM . For each Y ∈ g, we get a smooth family VY = {VY,g | g ∈ O} of first-order leafwise differential operators in Ω(F ) given by

d ∗ Fexp tY,g u

. VY,g u = dt t=0 Let also LY A = {(LY A)g | g ∈ O} be the smooth family of leafwise differential operators given by

d Aexp(−tY )·g u

. (LY A)g u = dt t=0 In particular, if Ag is given by multiplication by f (g) for some f ∈ Cc∞ (G), then (LY A)g is given by multiplication by (Y f )(g).


15

We proceed as follows: ∗ ϕ∗exp tY ◦ φ∗g ◦ Ag Λ(g) = φ∗exp tY ·g ◦ Fexp tY,exp(−tY )·g ◦ Ag Λ(g) O O ∗ = φ∗g ◦ Fexp tY,g ◦ Aexp tY ·g Λ(g) , O

yielding

1 ∗ ∗ ∗ Y ◦ P = lim ϕexp tY ◦ φg ◦ Ag dg − φg ◦ Ag dg ◦ ψ(DF ) t→0 t O

O 1 ∗ ∗ ∗ = lim φg ◦ Fexp tY,g ◦ Aexp tY ·g dg − φg ◦ Ag dg ◦ ψ(DF ) t→0 t O O = φ∗g ◦ (VY ◦ A + LY A)g dg ◦ ψ(DF ) . O

So Y ◦ P ∈ D.

With the above notation, by the proof of Proposition 6.1 and (6.3), it can be easily seen that, for integers k ≤ , there are some C, C > 0 and some natural N such that ˆ P k, ≤ C |(id −∂ξ2 )N ψ(ξ)| (6.4) eC|ξ| dξ . Here, C depends on k and , and C depends on k, and A. 6.3. A norm estimate Let

P =

φ∗g · f (g) Λ(g) ◦ ψ(DF ) ∈ D ,

O

where φ and ψ are like in Section 6.2, and f ∈ Cc∞ (O). In this case, (6.4) is improved by the following result, where ΔG denotes the Laplacian of G. Proposition 6.2. Let K ⊂ O be a compact subset containing supp f . For naturals k ≤ , there are some C, C > 0 and some natural N , depending only on K, k and , such that ˆ P k, ≤ C max |(id +ΔG )N f (g)| |(id −∂ξ2 )N ψ(ξ)| eC|ξ| dξ . g∈K

Proof. Fix an orthonormal frame Y1 , . . . , Yq of g. Consider any multi-index J = (j1 , . . . , jk ) with j1 , . . . , jk ∈ {1, . . . , q}. We use the standard notation |J| = k, and, with the notation of the proof of Proposition 6.1, let: • YJ = Yj1 ◦ · · · ◦ Yjk (operating in C ∞ (G)); • Y J = Y j1 ◦ · · · ◦ Yjk ; • VJ = VYj1 ◦ · · · ◦ VYjk ; and • LJ A = LYj1 · · · LYjk A for any smooth family A of leafwise differential operators in Ω(F ). Consider the empty multi-index ∅ too, with |∅| = 0, and define:


16 • • • •

Y∅ = idC ∞ (G) ; Y ∅ = idΩ(F ) ; V∅,g = idΩ(F ) for all g ∈ O, defining a smooth family V∅ ; and L∅ A = A for any smooth family A of leafwise differential operators in Ω(F ). Given any natural N , there is some C1 > 0 such that φ∗g k ≤ C1 ,

(LJ VJ )g ≤ C1 ,

(YJ f )(g) ≤ C1 max |(id +ΔG )N f (g)| , g∈K

(id +φ∗−1 g

◦ ΔF ◦

φ∗g )N

◦ ψ(ΔF )k ≤ C1 (id +ΔF )N ◦ ψ(DF )k

for all g ∈ K and all multi-indices J and J with |J|, |J | ≤ N . For any multi-index J, we have Y J ◦ P = φ∗g ◦ AJ,g Λ(g) ◦ ψ(DF ) , O

where AJ = {AJ,g | g ∈ G} is the smooth family of leafwise differential operators inductively defined by setting A∅,g = idΩ(F ) ·f (g) , A(j,J) = Vj ◦ AJ + Lj AJ . By induction on |J|, we easily get that AJ is a sum of smooth families of leafwise differential operators of the form LJ1 VJ1 ◦ · · · ◦ LJ VJ · YJ f , where

J1 , J1 , . . . , J , J , J

are possibly empty multi-indices satisfying

|J1 | + |J1 | + · · · + |J | + |J | + |J | = |J| . So there is some C2 > 0 such that AJ,g k ≤ C2 max |(id +ΔG )N f (g)| g∈K

for all g ∈ K and every multi-index J with |J| ≤ N . Hence YJ ◦ P k ≤ φ∗g k AJ,g k dg ψ(DF )k O ˆ ≤ C1 C2 max |(id +ΔG )N f (g)| |ψ(ξ)| eC|ξ| dξ g∈K

for some C > 0 by (6.2). On the other hand, (id +ΔF )N ◦ P k ≤ (id +φ∗−1 ◦ ΔF ◦ φ∗g )N ◦ ψ(ΔF )k |f (g)| Λ(g) g O ≤ C1 (id +ΔF )N ◦ ψ(ΔF )k |f (g)| Λ(g) O ˆ ≤ C1 max |f (g)| |(id −∂ξ2 )N ψ(ξ)| eC|ξ| dξ g∈K

Lefschetz Distribution of Lie Foliations for some C > 0 by (6.3). Now, the result follows because − elliptic, and ΔF is leafwise elliptic.

q j=1

17 2

Yj is transversely

6.4. Parameter independence of the supertrace Choose an even function in A, which can be written as x → ψ(x2 ). Take also a C ∞ local representation φ : M × O → M of Φ and some f ∈ Cc∞ (O). Then consider the one parameter family of operators Pt ∈ D, t > 0, defined by φ∗g · f (g) Λ(g) ◦ ψ(tΔF )2 . Pt = O s

Lemma 6.3. Tr Pt is independent of t. Proof. The proof is similar to the proof of the corresponding result in the heat equation proof of the Lefschetz trace formula (see, e.g., [28]). We have d Trs Pt = 2 Trs φ∗g · f (g) Λ(g) ◦ ΔF ◦ ψ (tΔF ) ◦ ψ(tΔF ) dt O + + + = 2 Tr φ∗g · f (g) Λ(g) ◦ d− F ◦ δF ◦ ψ (tΔF ) ◦ ψ(tΔF ) O − − − − 2 Tr φ∗g · f (g) Λ(g) ◦ d+ F ◦ δF ◦ ψ (tΔF ) ◦ ψ(tΔF ) O − + + + 2 Tr φ∗g · f (g) Λ(g) ◦ δF ◦ d+ F ◦ ψ (tΔF ) ◦ ψ(tΔF ) O − − + − 2 Tr φ∗g · f (g) Λ(g) ◦ δF ◦ d− F ◦ ψ (tΔF ) ◦ ψ(tΔF ) . O

On the other hand, since the function x → ψ (x2 ) is in A, we have Tr O

± ± ± φ∗g · f (g) Λ(g) ◦ d∓ F ◦ δF ◦ ψ (tΔF ) ◦ ψ(tΔF ) ∓ ± ± = Tr dF ◦ φ∗t · f (g) Λ(g) ◦ ψ (tΔ± F ) ◦ ψ(tΔF ) ◦ δF O ± ± = Tr ψ(tΔF ) ◦ δF ◦ d∓ ◦ φ∗g · f (g) Λ(g) ◦ ψ (tΔ± F F) O ± ± ∓ = Tr φ∗g · f (g) Λ(g) ◦ ψ (tΔ± F ) ◦ ψ(tΔF ) ◦ δF ◦ dF O ± ± ± = Tr φ∗g · f (g) Λ(g) ◦ δF ◦ d∓ F ◦ ψ (tΔF ) ◦ ψ(tΔF ) , O

where we have used the well-known fact that, if A is a trace class operator and B is bounded, then AB and BA are trace class operators with the same trace. d Trs Pt = 0 as desired. Therefore dt


18

6.5. The global action on the leafwise complex Let G be the holonomy groupoid of F . Since the leaves of Lie foliations have trivial holonomy groups, we have G ≡ {(x, y) ∈ M × M | x and y lie in the same leaf of F } . ∞

This is a C submanifold of M × M which contains the diagonal ΔM . Let dF be the distance function of the leaves of F . For each r > 0, the r-penumbra of ΔM in G is defined by PenG (ΔM , r) = {(x, y) ∈ G | dF (x, y) < r} . Observe that a subset of G has compact closure if and only if it is contained in some penumbra of ΔM . The product of two elements (x1 , y1 ), (x2 , y2 ) ∈ G is defined when y1 = x2 , and it is equal to (x1 , y2 ). The space of units of G is ΔM ≡ M . The source and target projections s, r : G → M are the restrictions of the first and second factor projections M × M → M ; thus r−1 (x) = Lx × {x} ,

s−1 (x) = {x} × Lx

for each x ∈ M . Let S denote the C ∞ vector bundle TF s∗ T F ∗ ⊗ r ∗ over G; thus S(x,y) ≡

Tx F ∗ ⊗

Ty F ≡ Hom( Ty F ∗ , Tx F ∗ )

for each (x, y) ∈ G. Let ωF be the volume form of the leaves of F (we assume that F is oriented). Recall that Cc∞ (S) is an algebra with the convolution product given by (k1 · k2 )(x, y) =

k1 (x, z) ◦ k2 (z, y) ωF (z) Lx

for k1 , k2 ∈ Cc∞ (S) and (x, y) ∈ G. Recall also that the global action of Cc∞ (S) in Ω(F ) is defined by (k · α)(x) = k(x, y) α(y) ωF (y) Lx

for k ∈ Cc∞ (S), α ∈ Ω(F ) and x ∈ M . of the bundle-like metric of M , and its restriction to Consider the lift to M the leaves of F . Let U Ω(F) ⊂ Ω(F) be the subcomplex of differential forms α whose covariant derivatives ∇r α of arbitrary order r are uniformly bounded; this is a Fréchet space with the metric induced by the seminorms } . x) | x ˜∈M αr = sup{∇r α(˜ Observe that π ∗ (Ω(F )) ⊂ U Ω(F). of F satisfies the same properties as G, except The holonomy groupoid G the penumbras of the diagonal Δ have compact closure if and only that, in G, M M is compact.


19

→ G, whose × M → M × M restricts to a covering map G The map π × π : M group of deck transformations is isomorphic to Aut(π): for each σ ∈ Aut(π), the → G) is the restriction σ × σ : G → G. corresponding element in Aut(G ∞ Let S denote the C vector bundle s˜∗ T F ∗ ⊗ r˜∗ T F ⊂ C ∞ (S) denote the subspace of sections supported in and let C ∞ (S) over G, Δ some penumbra of ΔM . As above, this set becomes an algebra with the convolution ∞ (S) in U Ω(F). product, and there is a global action of CΔ Since π restricts to Any k ∈ C ∞ (S) lifts via π × π to a section k˜ ∈ C ∞ (S). ∞ (S) diffeomorphisms of the leaves of F to the leaves of F , it follows that k˜ ∈ CΔ ∞ if k ∈ Cc (S). Take any ψ ∈ A. For each leaf L of F , denoting by ΔL the Laplacian of L, the spectral theorem defines a smoothing operator ψ(ΔL ) in Ω(L), and the family {ψ(ΔL ) | L is a leaf of F } is also denoted by ψ(ΔF ). By [26, Proposition 2.10], the Schwartz kernels kL of the operators ψ(ΔL ) can be combined to define a section k ∈ C ∞ (S), called the leafwise smoothing kernel or leafwise Schwartz kernel of ψ(ΔF ). Suppose that the Fourier transform ψˆ of ψ is supported in [−R, R] for some R > 0. Then, according to the proof of Assertion 1 in [25, page 461], k is supported in the R-penumbra of ΔM , and thus k ∈ Cc∞ (S). Moreover the operator ψ(DF ) in Ω(F ), defined by the spectral theorem, equals the operator given by the global action of k. ∞ (S), whose global action in U Ω(F) defines an Consider also the lift k˜ ∈ CΔ operator denoted by ψ(DF ). It is clear that the diagram ) F −ψ(D U Ω(F) −−− → U Ω(F) ⏐ ⏐ ∗ π∗ ⏐ ⏐π

(6.5)

ψ(DF )

Ω(F ) −−−−→ Ω(F ) commutes. Any function ψ ∈ A with compactly supported Fourier transform can be modified as follows to achieve the condition of being supported in [−R, R]. For each t > 0, let ψt ∈ A be the function defined by ψt (x) = ψ(tx). Lemma 6.4. If ψˆ is compactly supported for some ψ ∈ A, then ψt is supported in [−R, R] for t small enough. ˆ ξ ). Proof. This holds because ψt (ξ) = 1t ψ( t

20


6.6. Schwartz kernels Let φ, f , ψ and P be like in Section 6.3 such that ψˆ is compactly supported. Take some R > 0 so that supp ψˆ ⊂ [−R, R]. Let k ∈ Cc∞ (S) be the leafwise kernel ∞ (S) be the lift of k, whose action in Ω(F) defines the of ψ(DF ), and let k˜ ∈ CΔ operator ψ(DF ) (Section 6.5). × O → M be a C ∞ lift of φ. Define P : U Ω(F) → U Ω(F) by Let φ˜ : M P = φ˜∗g · f (g) Λ(g) ◦ ψ(DF ). O

The commutativity of the diagram P U Ω(F) −−−−→ U Ω(F) ⏐ ∗ ⏐ π∗ ⏐ ⏐π P

Ω(F ) −−−−→ Ω(F ) follows from the commutativity of (6.5). Let ωF be the volume form of the leaves of F, which can be also considered as a differential form on M that vanishes when some vector is orthogonal to the is ω = D∗ Λ ∧ ω with the right choice of leaves. Thus the volume form of M F M and α ∈ U Ω(F), we have orientations. For x ˜∈M (P α)(˜ x) = ( φ˜∗g · f (g) Λ(g) ◦ ψ(DF )α)(˜ x) O = x)) · f (g) Λ(g) φ˜∗g ((ψ(DF )α)(φ˜g (˜ O ˜ φ˜g (˜ = x), y˜)(α(˜ y )) ωF (˜ y ) · f (g) Λ(g) φ˜∗g ◦ k( x˜ O L ˜ φ˜g (˜ x), y˜)(α(˜ y )) · f (g) ωM y) φ˜∗g ◦ k( = (˜ x˜ ×O) φ(L

x˜ ), which by Corollary 4.8, where g ∈ O is determined by the condition y˜ ∈ φ˜g (L −1 y ) by Lemma 4.7. So we can say that P is given by the means g = D(˜ x) D(˜ Schwartz kernel p˜ defined by ˜ φ˜g (˜ ˜L x˜ × O) x), y˜) · f (g) if y˜ ∈ φ( φ˜∗g ◦ k( p˜(˜ x, y˜) = (6.6) 0 otherwise for g ∈ O as above. It follows that p(x, y) =

p˜(˜ x, σ(˜ y )) ,

(6.7)

σ∈Aut(π)

where x ˜ ∈ π −1 (x), y˜ ∈ π −1 (y), and we use identifications Tx˜ F ≡ Tx F and Tσ(˜y) F ≡ Ty F given by π∗ .


21

and r > 0, let BF (x, r) and B (˜ For each x ∈ M , x ˜∈M F x, r) be the r-balls of centers x and x ˜ in Lx and Lx˜ , respectively. Let O1 be an open subset of G whose closure is compact and contained in O. By the compactness of M × O 1 , there is some R1 > 0 such that BF (φg (x), R) ⊂ φg (BF (x, R1 ))

(6.8)

for all x ∈ M and all g ∈ O1 . So BF (φ˜g (˜ x), R) ⊂ φ˜g (BF (˜ x, R1 ))

(6.9)

and all g ∈ O1 because π restricts to isometries of the leaves of F for all x ˜∈M to the leaves of F . Lemma 6.5. Each g ∈ O has a neighborhood O1 as above such that ˜ (˜ π : φ(B F x, R1 ) × O1 ) → M . is injective for any x ˜∈M with π(K) = M . Proof. Since M is compact, there exists a compact subset K ⊂ M Notice that, if the statement holds for some x˜ ∈ M , then it also holds for all points in the Aut(π)-orbit of x˜. So, if the statement fails, there exist sequences x ˜i , y˜i ∈ M and σi ∈ Aut(π) such that x˜i ∈ K, σi = idM , and yi , σi (˜ yi )}, φ˜g (BF (˜ xi , R1 ))) → 0 dM ({˜ as i → ∞; observe that D(˜ xi )−1 D(˜ yi ) → g by Lemma 4.7. Since K is compact, , where d denotes the distance we can assume that there exists limi x ˜i = x ˜∈M M . Hence y˜i and σi (˜ yi ) approach φ˜g (BF (˜ x, R1 )). Since φ˜g (BF (˜ x, R1 )) function of M has compact closure, it follows that y˜i and σi (˜ yi ) lie in some compact neighborhood Q of φ˜g (BF (˜ x, R1 )) for infinitely many indices i, yielding σi (Q) Q = ∅. So there is some σ ∈ Aut(π) such that σi = σ for infinitely many indices i. In particular, σ = idM . On the other hand, since y˜i and σi (˜ yi ) approach φ˜g (BF (˜ x, R1 )), which has yi ) = σ(˜ y) compact closure, we can assume that there exist limi y˜i = y˜ and limi σi (˜ ˜ ˜ in φg (BF (˜ x, R1 )), which is contained in the leaf φg (Lx˜ ) (a fiber of D). So D(˜ y ) = D(σ(˜ y )) = h(σ) · D(˜ y) , yielding h(σ) = e, and thus σ = idM because h is injective. This contradiction concludes the proof. From now on, assume that φ satisfies (6.8) and the property of the statement of Lemma 6.5 with some fixed open subset O1 ⊂ O which contains the support of f . . Corollary 6.6. The map π is injective on the support of p˜(˜ x, ·) for any x˜ ∈ M


22

Proof. By (6.6), (6.9) and since k˜ is supported in the R-penumbra of ΔM , we get ˜ (˜ supp(˜ p(˜ x, ·)) ⊂ φ(B F x, R1 ) × O1 ) , and the result follows from Lemma 6.5. for any x ˜∈M Corollary 6.7. We have φ∗g ◦ k(φg (x), y) · f (g) p(x, y) = 0

if y ∈ φ(BF (x, R1 ) × O1 ) otherwise,

where g ∈ O1 is determined by the condition y ∈ φg (BF (x, R1 )). Proof. This is a consequence of (6.6), (6.7), Corollary 6.6 and Lemma 6.5.

Corollary 6.8. If e ∈ O1 and φe = idM , then p(x, x) = k(x, x) · f (e) . Proof. Since φe = idM , the result follows from Corollary 6.7 and the following assertion. Claim 1. For all g ∈ O1 and x ∈ M , if x ∈ φg (BF (x, R1 )), then g = e. By Lemma 6.5, ˜ (˜ π : φ(B F x, R1 ) × O1 ) → φ(BF (x, R1 ) × O1 ) is a diffeomorphism. On the other hand, ˜L x˜ × O1 → φ( x˜ × O1 ) φ˜ : L is a diffeomorphism as well by Corollary 4.8. It follows that φ : BF (x, R1 ) × O1 → φ(BF (x, R1 ) × O1 ) is also a diffeomorphism, which implies Claim 1 because φe (x) = x.

Lemma 6.9. For i ∈ {1, 2}, suppose that xi ∈ φgi (BF (xi , R1 )) for some (xi , gi ) ∈ M × O1 . If x2 is close enough to x1 , then there is some a ∈ G such that x2 ∈ Φa (Lx1 ) and g2 = a−1 g1 a. Proof. We have Φa (Lx1 ) = Φa ◦ Φg1 (Lx1 ) = Φa−1 g1 a ◦ Φa (Lx1 ) for all a ∈ G. Therefore, if x2 is close enough to x1 , there is some a ∈ G such that a−1 g1 a ∈ O1 and x2 ∈ Φa (Lx1 ) ∩ φa−1 g1 a (BF (x2 , R1 )) . Then the result follows because the condition x2 ∈ φg2 (BF (x2 , R1 )) determines g2 in O1 by Lemma 6.5.


23

7. Lefschetz distribution Let φ : M × O → M be a C ∞ local representation of the structural transverse action Φ on some open subset O ⊂ G. For any f ∈ Cc∞ (O) and t > 0, let Pf and Qt,f be the operators in Ω(F ) defined by φ∗g · f (g) Λ(g) ◦ Π , Pf = O φ∗g · f (g) Λ(g) ◦ e−tΔF . Qt,f = O

The operator Qt,f is in the class D, and thus it is smoothing by Proposition 6.1. Proposition 7.1. Pf is a smoothing operator. Proof. By [2], Π defines a bounded operator in each Sobolev space W k Ωi (F ). Hence, Pf = Qt,f ◦ Π is smoothing because so is Qt,f . By Proposition 7.1, Pf is a trace class operator in the space Ω(F ), and thus (i) so is Pf . (i)

Proposition 7.2. The functional f → Tr Pf

is a distribution on O.

Proof. Since Π is a projection in Ω(F ) and Pf = Qt,f ◦ Π, we have (i)

(i)

Pf 0,k ≤ Qt,f 0,k ,

and the result follows by (6.1) and Proposition 6.2.

Proposition 1.1 is given by Propositions 7.1 and 7.2. Because the endomorphism Φ∗g of H(F ) corresponds to the operator Π ◦ φ∗g in H(F ) by the leafwise Hodge isomorphism, the composite Π ◦ Pf is independent (i) (i) of the choice of φ. Moreover Tr Pf = Tr(Π ◦ Pf ). Hence the distributions given by Proposition 7.2 can be combined to form a global distribution Tridis (F ) on G; in this notation, F refers to the foliation endowed with the given transverse Lie structure, which indeed is determined by the foliation when the leaves are dense. Each Tridis (F ) is called a distributional trace of F , and define the Lefschetz distribution of F by the formula Ldis (F ) = (−1)i Tridis (F ) . i

Lemma 7.3. For any f ∈ Cc∞ (O), Tr Qt,f → Tr Pf (i)

(i)

as t → ∞.

Proof. Since Q1,f is smoothing, it defines a bounded operator W −1 Ωi (F ) → W k Ωi (F ) for any k. By [2], e−(t−1)ΔF − Π is bounded in W −1 Ωi (F ) for t > 1 and converges strongly to 0 as t → ∞. From the compactness of the canonical embedding Ωi (F ) → W −1 Ωi (F ), it follows that e−(t−1)ΔF − Π converges uniformly


24

to 0 as t → ∞ as an operator Ωi (F ) → W −1 Ωi (F ). Therefore Qt,f − Pf 0,k → 0 as t → ∞ for any k because Qt,f − Pf = Q1,f ◦ (e−(t−1)ΔF − Π) .

Then the result follows from (6.1). Corollary 7.4. Trs Qt,f = Trs Pf for all t.

Proof. This follows from Lemmas 6.3 and 7.3.

8. The distributional Gauss-Bonett theorem The holonomy pseudogroup of F is represented by the pseudogroup on G generated by the left translations given by elements of Γ. Thus Λ can be considered as a holonomy invariant transverse measure of F . To be more precise, take a (G, Γ)-valued foliated cocycle {Ui , fi } defining the given transverse Lie structure (Section 3). The differential forms fi∗ Λ can be combined to get the transverse volume form ωΛ of F . We can also describe ωΛ by the condition D∗ Λ = π ∗ ωΛ . The restriction of ωΛ to smooth local transversals is the precise interpretation of Λ as a holonomy invariant measure on local transversals. By non-commutative integration theory [9], the holonomy invariant transverse measure Λ defines a trace TrΛ on the twisted foliation von Neumann algebra W ∗ (M, F , T F ∗ ). Consider also the corresponding supertrace TrsΛ , equal to interchanged. ± TrΛ , depending on whether the even-odd bigrading is preserved or ∞ ∗ With the notation of Section 6.5, we have Cc (S) ⊂ W (M, F , T F ∗ ); here, each k ∈ Cc∞ (S) is identified to the family of operators on the leaves whose Schwartz kernels are the restrictions of k, and moreover TrΛ (k) = Tr k(x, x) ωM (x) , TrsΛ (k) = Trs k(x, x) ωM (x) . M

M

For each leaf L, let Ω(L) denote the Hilbert space of L2 differential forms on L, let H(L) ⊂ Ω(L) be the subspace of harmonic L2 forms, and let ΠL be the orthogonal projection Ω(L) → H(L). The family ΠF = {ΠL | L is a leaf of F } (i) (i) defines a projection in W ∗ (M, F , T F ∗ ). The notation ΠL and ΠF is used when we are only considering differential forms of degree i. For each leaf L, let (i) SL = S|L×L , and let kL , kL ∈ C ∞ (SL ) denote the Schwartz kernels of ΠL and (i) ΠL . These sections can be combined to define measurable sections k and k (i) of S, (i) called the leafwise Schwartz kernels of ΠF and ΠF . Since k and k (i) are C ∞ along the fibers of the source and target projections, their restrictions to the diagonal ΔM are measurable, and we have (i) s (i) TrΛ (ΠF ) = Tr k (x, x) ωM (x) , TrΛ (ΠF ) = Trs k(x, x) ωM (x) . M

M


25

According to [9], the ith Λ-Betti number is defined by (i)

βΛi (F ) = TrΛ (ΠF ) , and the Λ-Euler characteristic is given by the formula (−1)i βΛi (F ) . χΛ (F ) = TrsΛ (ΠF ) = i

Theorem 8.1. Ldis (F ) = χΛ (F ) · δe in some neighborhood of e. Like in [25, p. 463], choose a sequence of smooth even functions on R, written as x → ψm (x2 ) with ψm (0) = 1, whose Fourier transforms are compactly supported 2 and which tend to the function x → e−x /2 in the Schwartz space S(R). Let km,t be the leafwise Schwartz kernel of ψm (tΔF )2 , which is in Cc∞ (S) according to [25]. In [25, p. 463], it is proved that TrsΛ ψm (tΔF )2 = χΛ (F ) .

(8.1)

∞

Let φ : M × O → M be any C local representation of Φ on some neighborhood O of e such that φe = idM , whose existence is given by Lemma 4.6. Given R > 0, take R1 > 0 and some open subset O1 of O containing e such that (6.8) and Lemma 6.5 are satisfied. For every f ∈ Cc∞ (O) supported in O1 , let φ∗g · f (g) Λ(g) ◦ ψm (tΔF )2 ∈ D . Qm,t,f = O

Lemma 8.2. Trs Qm,t,f = χΛ (F ) · f (e). Proof. By Lemma 6.4, we can apply Corollary 6.8 to Qm,t,f when t is small enough, obtaining Trs km,t (x, x) · f (e) ωM (x) Trs Qm,t,f = =

M TrsΛ

ψm (tΔF )2 · f (e) .

Then the result follows by (8.1). Consider the operators Qt,f and Pf of Section 7. Lemma 8.3. We have lim Trs Qm,t,f = Trs Qt,f

m→∞

for each t. 2

Proof. Since the function x → ψm (tx2 ) − e− 2 x tends to zero in A as m → ∞, we get lim Qm,t,f − Qt,f 0,k = 0 t

m→∞

for all k by (6.4) (or Lemma 6.2), and the result follows from (6.1) Theorem 8.1 follows from Lemmas 8.2 and 8.3, and Corollary 7.4.

26


9. The distributional Lefschetz trace formula Let F be the foliation of M × G whose leaves are the sets L × {g} for leaves L of F and points g ∈ G. Lemma 6.9 suggests the following definition: for each x ∈ M and g ∈ G, let = (Φa (Lx ) × {a−1 ga}) . M(x,g) a∈G Observe that M(x,e) = M × {e}. Moreover M(x = M(x if and only if 1 ,g1 ) 2 ,g2 ) (x2 , g2 ) ∈ M(x1 ,g1 ) ; thus these sets form a partition of M × G. Proposition 9.1. The sets M(x,g) are the leaves of a C ∞ foliation G on M × G.

Proof. Consider the canonical identity T(x,g) (M × G) ≡ Tx M ⊕ Tg G for each (x, g) ∈ M × G, and let Ad : G → Aut(g) denote the adjoint representation of G. With the notation of Section 4, consider the C ∞ vector subbundles V, W ⊂ T (M × G) given by V (x,g) = {(X ν (x), (X − Adg−1 (X))(g)) | X ∈ g} , W(x,g) = V (x,g) + T(x,g) F . The distribution defined by V is not completely integrable. Nevertheless, since [X ν , Y ν ] − [X, Y ]ν ∈ X(F ) for all X, Y ∈ g, it follows that the distribution defined by W is completely integrable. Thus there is a C ∞ foliation G on M × G so that T G = W. It is easy to check that the leaves of G are the sets M(x,g) . Let pr1 and pr2 denote the first and second factor projections of M × G onto M and G, respectively. Proposition 9.2. For each leaf M of G, we have the following: (i) the restriction pr1 : M → M is a covering map; and (ii) pr2 restricts to a fiber bundle map of M to some orbit of the adjoint action of G on itself. Proof. For any x ∈ M , there is some open neighborhood P of x in Lx , and some local representation ϕ : M × O → M of Φ on some open neighborhood O of e such that ϕ restricts to a diffeomorphism of P × O onto some neighborhood U of x. For any g ∈ G such that (x, g) ∈ M , the set g = {(ϕa (y), a−1 ga) | y ∈ P, a ∈ O} U g → U is a is an open neighborhood of (x, g) in M , and the restriction pr1 : U diffeomorphism. Therefore property (i) follows. It is clear that pr2 (M ) is an orbit of the adjoint action of G on itself, and that pr2 : M → pr2 (M ) is a C ∞ submersion; thus its fibers are C ∞ submanifolds. If (x, g) ∈ M , it can be easily seen that pr−1 2 (g) ∩ M = {(φa (y), g) | y ∈ Lx , a ∈ Gg , φg ∈ Φg } ,


27

where Gg is the centralizer of g in G. For ϕ : M × O → M as above, the set O = {b−1 gb | b ∈ O} is an open neighborhood of g in pr2 (M ). Let −1 F : O × (pr−1 2 (g) ∩ M ) → pr2 (O ) ∩ M

be the map defined by F (b−1 gb; ϕa (y), g) = (ϕb−1 ab ◦ ϕb (y), b−1 gb) for y ∈ Lx , a ∈ Gg and b ∈ O . It is easy to see that F is a C ∞ diffeomorphism, which shows property (ii). Observe that F is a subfoliation of G, and, for each leaf M of G, the restriction F |M is equal to the lift of F by pr1 : M → M . Let φ : M × O → M be any C ∞ local representation of Φ. Given R > 0, take R1 > 0 and some open subset O1 of O containing e such that (6.8) and Lemma 6.5 are satisfied. Let S = {(x, g) ∈ M × O1 | x ∈ φg (BF (x, R1 ))} . Proposition 9.3. We have: (i) S is contained in a finite union of leaves of G; and (ii) the restriction pr1 : S → M is injective. Proof. Property (i) is a consequence of Lemma 6.9 and the compactness of M . Property (ii) follows from Lemma 6.5. Let φ : M × O → M × O be the C ∞ diffeomorphism defined by φ (x, g) = (φ(x, g), g). Observe that φ is a foliated map F |M×O → F |M×O . Proposition 9.4. Let M be a leaf of G. If φ preserves some leaf of F |M ∩(M×O) , then it preserves every leaf of F |M ∩(M×O) . Proof. Take some point (x, g) in a leaf L of F |M ∩(M×O) ; thus L = Lx × {g}. Suppose φ (L ) ⊂ L , which means Φg (Lx ) = Lx . Any leaf of F |M ∩(M×O) is of the form Φa (Lx ) × {a−1 ga} for some a ∈ G. We have Φa−1 ga ◦ Φa (Lx ) = Φga (Lx ) = Φa ◦ Φg (Lx ) = Φa (Lx ) .

So φ preserves Φa (Lx ) × {a−1 ga}.

According to Proposition 9.3, if O1 is small enough, then S is contained in a leaf M of G; this property is assumed from now on. Let M1 = M ∩ (M × O1 ) and F1 = F |M1 . By Proposition 9.4, φ maps each leaf of M to itself, and thus can be restricted to a map φ1 : M1 → M1 , which is a foliated map (M1 , F1 ) → (M1 , F1 ). Consider the volume form Λ of G as a transverse invariant measure of F . By Proposition 9.2-(i), Λ lifts to a transverse invariant measure Λ1 of F1 . Similarly, the Riemannian metric of M lifts to a Riemannian metric of M , which can be restricted to M1 ; the volume form of this restriction is denoted by ωM1 . Even though the foliated manifolds of [14] are compact, it is clear that its Lefschetz theorem for foliations with transverse invariant measures generalizes to the non-compact case when the transverse invariant measure is compactly supported.

28


In our case, M1 may not be compact, but, for every f ∈ Cc∞ (O) supported in O1 , Λ1,f = pr∗2 f · Λ1 of F1 is a compactly supported transverse invariant measure of F1 . Therefore, according to [14], the Λ1,f -Lefschetz number LΛ1,f (φ1 ) of φ1 can be defined. Theorem 9.5. With the above notation and conditions, we have

Ldis (F ), f = LΛ1,f (φ1 ) for every f ∈ Cc∞ (O) supported in O1 . The proof of Theorem 9.5 is analogous to the proof of Theorem 8.1. The holonomy groupoid G1 of F1 can be described like G in Section 6.5 as a C ∞ submanifold of M1 × M1 containing the diagonal. Its penumbras of the diagonal can be also defined like those of G. Its source and target projections are denoted by s1 , r1 : G1 → M1 . The restriction pr1 × pr1 : G1 → G is a covering map by Proposition 9.2-(i). Let S1 be the C ∞ vector bundle s∗ T F1∗ ⊗ r1∗ T F1 1 over G1 , which can be identified with (pr1 × pr1 )∗ S. The space of C ∞ sections of ∞ S1 supported in penumbras of the diagonal will be denoted by CΔ (S1 ). Like in ∞ Section 6.5, there is a global action of CΔ (S1 ) in Ω(F1 ). For each leaf L of F1 , the composite φ∗ 1 ◦ ΠL is a smoothing operator on L , and let kφ,L denote its smoothing kernel. All of these smoothing kernels can be combined to define a measurable section kφ of S1 with C ∞ restrictions to the fibers of s1 ; kφ can be called the leafwise smoothing kernel or leafwise Schwartz kernel of φ∗ 1 ◦ ΠF1 . So the restriction of kφ to the diagonal ΔM1 is measurable too. Then ∗ φ∗ ◦ Π defines an element of the von Neumann algebra W (M , F , T F1∗ ), F1 1 1 1 and we have s ∗ LΛ1,f (φ1 ) = TrΛ1 (φ1 ◦ ΠF1 ) = Trs kφ (x, x) ωM1 . (9.1) M1

For any ψ ∈ A with supp ψ ⊂ [−R, R], we have defined the leafwise Schwartz ∞ kernels k ∈ C ∞ (S) and k˜ ∈ CΔ (S) of ψ(DF ) and ψ(DF ) in Section 8. Similarly, ∞ (S1 ) of ψ(DF1 ) and φ∗ we can define the leafwise Schwartz kernels k1 , kφ ∈ CΔ 1 ◦ ψ(ΔF1 ), respectively. It is easy to see that k1 can be identified with the lift of k via pr1 × pr1 . Therefore kφ is given by ∗ kφ ((x, g), (y, g)) = φ∗ 1 ◦ k1 (φ1 (x, g), (y, g)) ≡ φg ◦ k(φg (x), y) .

(9.2)

Choose a sequence of functions ψm like in Section 8. Let k and km,t be the leafwise Schwartz kernels of ΠF and ψm (tΔF )2 , respectively. By [27, Lemma 1.2], km,t tends to k as t → ∞, and moreover km,t is uniformly bounded for large m and 2 of φ∗ t. Hence, by (9.2), the leafwise Schwartz kernel kφ,m,t 1 ◦ ψm (tΔF1 ) tends to


29

kφ as t → ∞, and km,t is uniformly bounded for large m and t. Therefore 2 lim TrsΛ1,f (φ∗ 1 ◦ ψm (tΔF1 ) ) = LΛ1,f (φ1 )

t→∞

for each m by (9.1) and the dominated convergence theorem. Furthermore 2 TrsΛ1,f (φ∗ 1 ◦ ψm (tΔF1 ) )

is independent of t (see [14, Theorem 5.1]). Therefore 2 TrsΛ1,f (φ∗ 1 ◦ ψm (tΔF1 ) ) = LΛ1,f (φ1 )

(9.3)

for all m and t. Let Qm,t,f be defined like in Section 8. Lemma 9.6. We have

Trs Qm,t,f = LΛ1,f (φ1 ) .

Proof. By Lemma 6.4, the Schwartz kernel qm,t,f of Qm,t,f is given by Corollary 6.7 when t is small enough. So, if (x, x) ∈ supp qm,t,f for some x ∈ M , we have qm,t,f (x, x) = φ∗g ◦ km,t (φg (x), x) · f (g) , where g ∈ O is determined by the condition x ∈ φg (BF (x, R1 )); thus (x, g) ∈ S ⊂ M1 . Therefore, since pr1 : S → M is injective (Proposition 9.3-(ii)), Trs Qm,t,f = Trs (φ∗g ◦ km,t (φg (x), x)) · f (g) ωM1 (x, g) S = Trs kφ,m,t ((x, g), (x, g)) · f (g) ωM1 (x, g) M1

by (9.2) = TrsΛ1,f (φ∗ 1 ◦ ψm (tΔF1 )) for t small enough. Then the result follows by (9.3).

Theorem 9.5 follows from Lemmas 9.6 and 8.3, and Corollary 7.4. Now, let us prove Theorem 1.3. Let Fix(φ ) and Fix(φ1 ) denote the fixed point sets of φ and φ1 . Observe that Fix(φ ) ⊂ M , and thus Fix(φ1 ) = Fix(φ ) ∩ (M × O1 ) .

(9.4)

It is clear that pr2 : Fix(φ ) → O is a proper map because M is compact and Fix(φ ) is closed in M × O. Then pr2 : Fix(φ1 ) → O1 is proper too by (9.4). A fixed point (x, g) of φ is said to be leafwise simple if φg∗ −id : Tx F → Tx F is an isomorphism. The set of simple fixed points of φ is denoted by Fix0 (φ ). Define : Fix0 (φ ) → {±1} by (x, g) = sign det(φg∗ − id : Tx F → Tx F ) . Lemma 9.7. Fix0 (φ ) is a C ∞ regular submanifold of M whose dimension is equal to codim F .


30

ˆ g) = (x, φg (x)), Proof. Let φˆ : M × O → M × M be the C ∞ map defined by φ(x, ˆ and let ΔM denote the diagonal in M × M . Then Fix(φ ) = φ−1 (ΔM ). There is some open subset U ⊂ M × O such that Fix0 (φ ) = Fix(φ ) ∩ U . Then the result follows by showing that the restriction φˆ : U → M × M is transverse to ΔM . Pick any (x, g) ∈ Fix0 (φ ). Let ΔLx denote the diagonal in Lx × Lx . Consider the canonical identity T(x,x)(M × M ) ≡ Tx M ⊕ Tx M . The fact that x is a simple fixed point of φg means that (9.5) Tx Lx ⊕ Tx Lx = φˆ∗ (T(x,g) (Lx × {g})) + T(x,x) ΔL . x

Observe that μx = φ∗ (T(x,g) ({x} × G)) is complementary of Tx F , and φˆ∗ (T(x,g) ({x} × G)) = 0x ⊕ μx , where 0x denotes the zero subspace of Tx M . So Tx M ⊕ Tx M = (Tx Lx ⊕ Tx M ) + T(x,x) ΔM = (Tx Lx ⊕ Tx Lx ) + (0x ⊕ μx ) + T(x,x)ΔM = φˆ∗ (T(x,g) (M × G)) + T(x,x) ΔM

by (9.5). Proposition 9.8. Fix0 (φ ) is a C ∞ transversal of F |M .

Proof. By Lemma 9.7, it is enough to prove that Fix0 (φ ) is transverse to F |M , which follows from the following claim for any point (x, g) ∈ Fix0 (φ ). Claim 2. We have

T(x,g) (Fix0 (φ )) ∩ T(x,g) F = 0 .

The proof of Claim 2 involves another assertion: Claim 3. We have T(x,g) (Fix0 (φ )) = ker(φ∗ − pr1∗ : T(x,g) M → Tx M ) . For any v ∈ T(x,g) (Fix0 (φ )), there is a C ∞ curve (xt , gt ) in Fix 0 (φ ), with

d − < t < for some > 0, such that (x0 , g0 ) = (x, g) and dt (xt , gt ) t=0 = v. We have φ(xt , gt ) = xt = pr1 (xt , gt ), yielding φ∗ (v) = pr1∗ (v). So

v ∈ ker(φ∗ − pr1∗ : T(x,g) M → Tx M ) , obtaining the inclusion “⊂” of Claim 3. Since φg∗ − id : Tx F → Tx F is an isomorphism, so is φ∗ − pr1∗ : T(x,g) F → Tx F . Hence ker(φ∗ − pr1∗ : T(x,g) M → Tx M ) ∩ T(x,g) F = 0 , yielding Claims 2 and 3 because the inclusion “⊂” of Claim 3 is already proved.


31

Proposition 9.9. pr2 : Fix0 (φ ) → pr2 (M ) is a C ∞ submersion. Proof. Since the leaves of F are contained in the fibers of pr2 , the tangent map pr2∗ induces a homomorphism pr2∗ : T (M ×G)/T F → T G. Take any (x, g) ∈ Fix0 (φ ). By Proposition 9.8 and according to the proof of Proposition 9.1, the restrictions T(x,g) Fix0 (φ ) −−−−→ T(x,g) M /T(x,g)F ←−−−− V (x,g) . of the quotient map T (M × G) → T (M × G)/T F are isomorphisms. Moreover pr2∗ corresponds to pr2∗ by these isomorphisms. So pr2∗ (T(x,g) (Fix0 (φ ))) = {(X − Adg−1 (X))(g)) | X ∈ g} = Tg (pr2 (M ))

by the proof of Proposition 9.1.

According to Proposition 9.8, the measure given by Λ on Fix0 (φ ) is denoted The direct image pr2∗ ( · ΛFix0 (φ ) ) is supported in pr2 (M ) ∩ O. by Let ωΛ be the transverse volume form of F defined by Λ. Then the transverse volume form of F |M defined by Λ is ωΛ = pr∗1 ωΛ . The restriction of ωΛ to the C ∞ local transversal Fix0 (φ ) is a volume form, which can be identified to the measure ΛFix0 (φ ) . According to Proposition 9.9, pr2∗ ( · ΛFix0 (φ ) ) is given by the top degree differential form on pr2 (M ) ∩ O defined by the integration along the fibers · ωΛ |Fix0 (φ ) . ΛFix0 (φ ) .

pr2

By (9.4), Theorem 9.5 and the Lefschetz theorem of [14], we have

Ldis (F ), f = LΛ1,f (φ1 ) = (x, g) f (g) ΛFix(φ ) (x) Fix(φ1 )

= =

f (g) pr2∗ ( O1 ∩pr2 (M )

pr2∗ ( · ΛFix(φ ) ), f ,

· ΛFix(φ ) )(g)

completing the proof of Theorem 1.3.

10. Examples 10.1. Codimension one foliations Consider the case when F is a codimension one Lie foliation. So we have g = R, G = R, and F is defined by a closed nonsingular 1-form ω. The leaves of G in M × R are Ms = M × {s}, s ∈ R. A global C ∞ representation of Φ is given by the flow φ : M × R → M of an arbitrary vector field X on M such that ω(X) = 1. Then Fix(φ ) = {(x, s) ∈ M × R | φs (x) = x} .

32


So we have Fix(φ ) ∩ Ms = ∅ if and only if either s = 0 or s is the period of a closed orbit of the flow φ. In the latter case, we have Fix(φ ) ∩ Ms = O c × {s} , c

where c runs over the set of all closed orbits of period s, and Oc is the corresponding primitive closed orbit: Oc = {φt (x) ∈ M | t ∈ [0, (c)]} where x ∈ c is an arbitrary point, and (c) is the length of O c . Assume that all closed orbits of φ are simple. Then : Fix(φ ) → {±1} is constant on each Oc × {s} ⊂ Fix(φ ) ∩ Ms , and its value on Oc × {s} will be denoted by s (c). The Lebesgue measure Λ = dt on R can be considered as an invariant transverse measure of F . So we have Ldis (F ) = χΛ (F ) · δ0 in some neighborhood of 0. The restriction of the transverse volume form ωΛ to Fix(φ ) ∩ Ms coincides with ωΛ on each Oc . For any component Oc × {s} ⊂ Fix(φ ) ∩ Ms , one can write s = k (c) for some k = 0, and we see that, on R \ {0}, Ldis (F ) = pr∗2 ( · Λ |Fix(φ ) ) = (c) k (c) (c) · δk (c) , c

k =0

where c runs over all primitive closed orbits of the flow φ [3]. 10.2. Suspensions its universal cover, G a compact Lie Let X be a connected compact manifold, X group, and h : Γ = π1 (X) → G a homomorphism. Consider the canonical right and the diagonal right action of Γ on M =X × G: action of Γ on X, (x, a) · γ = (x · γ, h(γ −1 ) · a) . →M /Γ (usually denoted by X ×Γ G). The canonical projection π : M Let M = M . is a covering map. Let [x, a] be the element of M represented by each (x, a) ∈ M The foliation F on M given by the fibers of the second factor projection pr2 : → G gives rise to a foliation F on M . Let Λ be a left invariant volume form M on G, which can be considered as an invariant transverse measure of F because its holonomy pseudogroup can be represented by the pseudogroup generated by the left translations by elements of h(Γ). The corresponding transverse volume form ωΛ is defined by the condition π ∗ ωΛ = pr∗2 Λ of F, whose restriction to local transversals is another interpretation of Λ as transverse invariant measure of F . It is easy to see that , χΛ (F ) = vol(G) · χΓ (X) is the Γ-Euler characteristic of the covering manifold X of X defined where χΓ (X) by Atiyah [6]. By Atiyah’s Γ-index theorem [6], we have χΓ (X) = χ(X), where χ(X) is the Euler characteristic of X.


33

There is a C ∞ global representation φ : M × G → M of the structural transverse action Φ, defined by φ([x, a], g) = [x, ag] . This φ is a free action. Therefore Ldis (F ) = vol(G) · χ(X) · δe

(10.1)

on the whole of G. In particular, if χ(X) = 0, then dim H(F ) = ∞ for any homomorphism h : Γ → G. We can consider the following concrete example. Let X be a compact oriented surface of genus g ≥ 2 endowed with a hyperbolic metric. One can show that there exists an injective homomorphism h : π1 (X) → SO(3, R). One obtains a Lie SO(3, R)-foliation F whose leaves are dense, simply connected (diffeomorphic to R2 ) and isometric to the hyperbolic plane. Assuming that vol(G) = 1, we get βΛ1 (F ) = 2g − 2 .

βΛ0 (F ) = βΛ2 (F ) = 0 ,

Since the leaves of F are dense, we have H (R) ∼ = H (R) ∼ = R, and therefore 0

2

Tr0dis (F ) = Tr2dis (F ) = 1 . By (10.1), we get Ldis (F ) = (2 − 2g) · δe , and Tr1dis (F ) = (2g − 2) · δe + 2 . One can also take any homomorphism of Γ to the n-torus Rn /Zn to produce a foliation, which has infinite-dimensional reduced cohomology of degree one (see [1, Example 2.11]). In this case, we have Tridis (F ) = βΛi (F ) · δe , but Tridis (F ) − βΛi (F ) · δe is C ∞ . 10.3. Bundles over homogeneous spaces and the Selberg trace formula Let G be a simply connected Lie group, Γ a discrete cocompact subgroup in G, and α an injective homomorphism of Γ to the diffeomorphism group Diff(X) of some = G×X compact connected C ∞ manifold X. Consider a left action of Γ on M given by γ · (a, x) = (γa, α(γ)(x)) . Let M = Γ\(G × X), and let [a, x] be the element of M represented by any . The canonical projection π : M → M is a covering map. The first (a, x) ∈ M factor projection G × X → G defines a fiber bundle map M → Γ\G, whose fibers are the leaves of a foliation F . For each a ∈ G, the leaf of F through Γa is LΓa = {[a, x] | x ∈ X} , which is diffeomorphic to X because α is injective. Consider a left-invariant volume form Λ on G. It induces a volume form on Γ\G, denoted by ΛΓ\G , whose pull-back


34

to M via the map M → Γ\G defines a transverse volume form ωΛ of F . Since M → Γ\G is a fiber bundle map with typical fiber X, we get χΛ (F ) = vol(Γ\G) · χ(X) , where χ(X) is the Euler characteristic of X. The structural transverse action Φg of an element g ∈ G is given by the leafwise homotopy class of diffeomorphisms φg : M → M of the form φg ([a, x]) = [ag, β(x)] , where β is any diffeomorphism of X homotopic to idX . The leaf of the foliation G through a point ([a, x], b) ∈ M × G is {([ag, y], g −1 bg) | y ∈ X, g ∈ G} . So the leaves of G are Mb = {([g, y], g −1 bg) | y ∈ X, g ∈ G} , Mb1

b∈G,

Mb2

with = when b2 ∈ Ad(Γ)b1 ; thus the leaves of G are parameterized by the Γ-conjugacy classes in G. Let pr1 and pr2 denote the factor projections of M × G to M and G, respectively. The restriction pr2 : Mb → G is a bundle map over the orbit Ob = {g −1 bg | g ∈ G} ≡ Gb \G of the adjoint representation of G on G, where Gb = {g ∈ G | gb = bg} is the centralizer of b in G. For each b ∈ G, the restriction pr1 : Mb → M is a covering map. Indeed, we have Mb ≡ Γb \(G × X), where Γb = {γ ∈ Γ | γb = bγ} = Γ ∩ Gb . The leaves of the foliation Fb = pr∗1 F on Mb are described as La = {([a, y], a−1 ba) | y ∈ X} ,

a∈G,

with La1 = La2 if and only if Γb a1 = Γb a2 . Therefore the leaves of F are the fibers of the natural map Mb ≡ Γb \(G × X) → Γb \G ,

([a, y], a−1 ba) → Γb a .

Take a C ∞ global representation φ : M × G → M of Φ defined by φ([a, x], g) = [ag, x] . We have

Fix(φ ) = {([a, x], g) ∈ M × G | [ag, x] = [a, x]} . The identity [ag, x] = [a, x] holds if and only if there exists γ ∈ Γ such that ag = γa and α(γ)(x) = x. Hence {([a, x], a−1 γa) | x ∈ X, α(γ)x = x, a ∈ G} . Fix(φ ) = γ∈Γ


35

We see that if Fix(φ ) ∩ Mb = ∅, then one can assume that b = γ ∈ Γ and α(γ) has a fixed point in X. In this case, Fix(φ ) Mγ = {([a, x], a−1 γa) | x ∈ X, α(γ)x = x, a ∈ G} . A point ([a, x], a−1 γa) ∈ Fix(φ ) ∩ Mγ is simple if and only if x is a simple fixed point of α(γ); in this case, we have ([a, x], a−1 γa) = sign det(α(γ)∗ − id : Tx X → Tx X) , which is denoted by α(γ) (x). Assume that, for any γ ∈ Γ\{e}, all the fixed points of the diffeomorphism α(γ), denoted by x1 (γ), x2 (γ), . . . , xd(γ) (γ), are simple. Then Fix(φ )

d(γ)

Mγ =

{([a, xk (γ)], a−1 γa) | a ∈ G} .

k=1 ωΛ

The transverse volume form = pr∗1 ωΛ of Fγ is, by definition, the pull-back of ΛΓγ \G via the map Mγ → Γγ \G. Let Σ be a complete set of representatives of the Γ-conjugacy classes in Γ. For f ∈ Cc∞ (G \ {e}), we get

pr2∗ ( · Λ |Fix(φ ) ), f

= Fix(φ )

d(γ)

=

f ◦ pr2 · ωΛ

γ∈Σ\{e} k=1

Γγ \G

f (a−1 γa) · α(γ) (xk (γ)) ΛΓγ \G (Γγ a) .

By the classical Lefschetz theorem, we have

d(γ)

α(γ) (xk (γ)) = L(α(γ)) ,

k=1

where L(α(γ)) =

dim X

(−1)i Tr(α(γ)∗ : H i (X) → H i (X))

i=1

is the Lefschetz number of the diffeomorphism α(γ). It can be easily seen that L(α(γ)) depends only on the conjugacy class of γ. Take a left invariant Riemannian metric on G whose volume form is Λ. Consider the Riemannian metric on Gγ \G so that the canonical projection G → Gγ \G is a Riemannian submersion, and let ΛGγ \G be the corresponding volume form. Then L(α(γ)) f (a−1 γa) ΛΓγ \G (Γγ a)

pr2∗ ( Λ |Fix(φ ) ), f = γ∈Σ\{e}

=

γ∈Σ\{e}

Γγ \G

L(α(γ)) vol(Γγ \Gγ )

Gγ \G

f (a−1 γa) ΛGγ \G (Gγ a) .

36


Finally, we get the following Selberg type trace formula (cf. [29]):

Ldis (F ), f = vol(Γ\G) χ(X) f (e) + L(α(γ)) vol(Γγ \Gγ )

Gγ \G

γ∈Σ\{e}

f (a−1 γa) ΛGγ \G (Gγ a) .

In the particular case when G = R, Γ = Z and the homomorphism α is given by a diffeomorphism F of a compact manifold X, the manifold M is the mapping torus of F and the foliation F is given by the fibers of the natural map M → S 1 . Then the formula gives L(F k ) · δk . Ldis (F ) = χ(X) · δ0 + k∈Z\{0}

10.4. Homogeneous foliations Let H and G be simply connected Lie groups, Γ a uniform discrete subgroup in H, and D : H → G a surjective homomorphism so that Γ1 = D(Γ) is dense in G. Then M = Γ\H is a compact manifold, and let F be the foliation on M whose leaves are the projections of the fibers of D. If K = ker D, then the leaves of F are the orbits of the right action of K on M induced by the right action on H defined by right translations. This F is a Lie G-foliation whose structural transverse action Φ is given as follows: for each g ∈ G, Φg is represented by the foliated map F → F induced by the right multiplication by any element of D−1 (g). The leaf of the foliation G on M × G through a point (Γh, a) ∈ M × G is, by definition, M(Γh,a) = {(Γh1 , g −1 ag) | g ∈ G, h1 ∈ D−1 (D(Γh) g)} .

It is easy to see that there is a bijection between the set of leaves of G and the orbit space G/ Ad(Γ1 ) of the adjoint action of Γ1 on G so that, for Ad(Γ1 )g0 ∈ G/ Ad(Γ1 ), the corresponding leaf is described as MAd(Γ = {(Γh, g) ∈ M × G | D(h) g D(h)−1 ∈ Ad(Γ1 ) g0 } . 1 )g0 → M is a covering map; indeed, Mg 0 ≡ The first factor projection pr1 : MAd(Γ 1 )g0 −1 Γg0 \H, where Γg0 = Γ ∩ D (Γ1,g0 ), denoting by Γ1,g0 the centralizer of g0 in Γ1 . The leaves of F can be described as

LΓ1 g1 = {Γh ∈ M | D(h) ∈ Γ1 g1 } , LΓ1 g1

g1 ∈ Γ1 \G .

pr∗1 (LΓ1 g1 )

By definition, the leaf = of the foliation F = pr∗1 F on Mg 0 consists of all (Γh, g) ∈ M × G such that D(h) g D(h)−1 ∈ Ad(Γ1 ) g0 and D(h) ∈ Γ1 g1 . So it can be parameterized by the elements of (Γ1 \G) × (G/ Ad(Γ1 )), and it can be described as LΓ1 g1 = {(Γh, g) ∈ M × G : D(h) ∈ Γ1 g1 , g ∈ Ad(g1 ) Ad(Γ1 ) g0 } . We also see that pr2 (Mg 0 ) is the orbit Og0 of the adjoint action of G on G through g0 . Moreover, pr2 : Mg 0 → O g0 is a bundle map, and the fiber of this


37

bundle over y ∈ O g0 can be identified with Γx \Hx , where x ∈ H is any element such that D(x) = y. Denote by h, g and k the Lie algebras of H, G and K, respectively. We have a short exact sequence D

∗ → g −−−−→ 0 . 0 −−−−→ k −−−−→ h −−−−

To construct C ∞ local representations of Φ, we choose a splitting of this short exact sequence; that is, a linear map s : g → h such that D∗ ◦ s = idg . So s is injective and s(g) ⊕ k = h. Let U ⊂ g be an open neighborhood of 0 in g such that the restriction exp : U → exp(U ) ⊂ G of the exponential map to U is a diffeomorphism. Then, for any g ∈ G, a C ∞ local representation φ : M × O → M of Φ is defined on the open neighborhood O = g exp(U ) of g as φ(Γh, g exp Y ) = Γhh1 exp s(Y ) ,

h∈H ,

Y ∈U ,

where h1 ∈ H is any element such that D(h1 ) = g. Now fix g ∈ G and h1 ∈ H such that D(h1 ) = g. By definition, (Γh, g exp Y ) ∈ Fix(φ ) ⇔ Γhh1 exp s(Y ) = Γh ⇔ hh1 exp s(Y ) h−1 ∈ Γ . We have D(h) g exp Y D(h)−1 = D(hh1 exp s(Y ) h−1 ) ∈ Γ1 , therefore, we get Fix(φ ) ∩ Mg 0 = ∅ iff g0 ∈ Γ1 . In particular, it follows that Oγ , pr2 (Fix(φ )) = γ∈Σ

where Σ is a complete set of representatives of the Γ1 -conjugacy classes in Γ1 . For a fixed class γ ∈ Σ, let [D−1 (γ)] be the Γ-conjugacy class of the unique element γ1 ∈ Γ such that D(γ1 ) = γ. Then we have Fix(φ ) ∩ Mγ = {(Γh, g exp Y ) ∈ (Γ\H) × G | hh1 exp s(Y ) h−1 ∈ [D−1 (γ)]} . For any (Γh, g exp Y ) ∈ Fix(φ ), the left translation by h determines an isomorphism of the tangent space TΓh F with k, and, under this isomorphism, the induced map (φh1 exp s(Y ) )∗ : TΓh F → TΓh F corresponds to the restriction Ad(h1 exp s(Y ))∗ |k : k → k of the differential of the adjoint action of g exp Y ∈ G on G to k. In particular, (Γh, g exp Y ) ∈ Fix(φ) is simple if and only if Ad(h1 exp s(Y ))∗ |k : k → k is an isomorphism. It should be noted that this condition depends only on g exp Y and is independent of the choice h1 and s. Assume that Ad(hγh−1 )∗ |k : k → k is an isomorphism for any γ ∈ Γ and h ∈ H. Then the value (Γh, g exp Y ) = sign det (φh1 exp s(Y ) )∗ − id : TΓh F → TΓh F = sign det (Ad(h1 exp s(Y ))∗ |k − id : k → k) is the same for any (Γh, g exp Y ) ∈ Fix(φ ) ∩ Mγ , and equals (γ) = sign det (Ad(γ)∗ |k − id : k → k) .


38

Let Λ be a left invariant volume form on G, which can be identified with a transverse volume form of F . Fix γ ∈ Σ. Then the transverse volume form Λ = pr∗1 Λ of F is given by the lift of Λ to Mγ by the restriction of the map (Γh, g) ∈ (Γ\H) × G → D(h) ∈ G . to Mγ = {(Γh, g) ∈ (Γ\H) × G | D(h) g D(h)−1 ∈ Ad(Γ1 ) γ} . As above, take a left invariant Riemannian metric on G whose volume form is Λ. Consider the Riemannian metric on Gγ \G so that the canonical projection G → Gγ \G is a Riemannian submersion, and let ΛGγ \G be the corresponding volume form. Restricting the form Λ to Fix(φ ) ∩ Mγ and integrating it along the fibers of pr2 , for any f ∈ Cc∞ (G), we get

χdis (F ), f = pr2∗ ( Λ ), f = (γ) vol(Γγ0 \Hγ0 ) γ∈Σ

Gγ \G

f (g −1 γg) ΛGγ \G (Gγ g) ,

where γ0 ∈ Γ is the unique element such that D(γ0 ) = γ. 10.5. Nilpotent homogeneous foliations Let G be a nontrivial simply connected nilpotent Lie group and let Γ1 ⊂ G be a finitely generated dense subgroup. By Malcev’s theory [18], there exists a simply connected nilpotent Lie group H, an embedding i : Γ1 → H and a surjective homomorphism D : H → G such that Γ = i(Γ1 ) is discrete and uniform in H, and D ◦ i = idΓ1 . Consider the corresponding homogeneous foliation on the closed nilmanifold M = Γ\H. As above, K denotes the kernel of D, which is a normal connected Lie subgroup in H, and k denotes the Lie algebra of K. As shown in [1, Theorem 2.10], there is a canonical isomorphism H(F ) ∼ = H(k) (c.f. [22]), and thus Ldis (F ) = 0 by Corollary 1.4. Let us check this triviality in another way. It can be easily seen that, under this isomorphism, the action of an element g ∈ G on H(F ) induced by the structural action Φ corresponds to the action Ad∗ (h) on H(k) induced by the adjoint action of any element h ∈ D−1 (g). So Tridis (F ) is a smooth function on G, whose value at g ∈ G is the trace of Ad∗ (h) on H i (k) with h ∈ D−1 (g). Since H is nilpotent, Ad∗ (h) has a triangular matrix representation whose diagonal entries are equal to 1. So Tridis (F ) ≡ dim H i (k) , yielding Ldis (F ) ≡

i

(−1)i dim H i (k) =

(−1)i dim

i

k=0.

i

Any local section g → hg of D on some open subset O ⊂ G induces a C ∞ local representation φ : M ×O → M of the structural action Φ, where each φg is induced by the right multiplication by hg . All the fixed points of φ are not simple.


39

References ´ [1] J.A. Alvarez L´ opez and G. Hector. The dimension of the leafwise reduced cohomology. Amer. J. Math. 123 (2001), 607–646. ´ [2] J.A. Alvarez L´ opez and Y.A. Kordyukov. Long time behavior of leafwise heat flow for Riemannian foliations. Compositio Math. 125 (2001), 129–153. ´ [3] J.A. Alvarez L´ opez and Y.A. Kordyukov. Distributional Betti numbers of transitive foliations of codimension one. In Foliations: Geometry and Dynamics (Warsaw, 2000), ed. P. Walczak et al. World Scientific, Singapore, 2002, pp. 159–183. ´ [4] J.A. Alvarez L´ opez and P. Tondeur. Hodge decomposition along the leaves of a Riemannian foliation. J. Funct. Anal. 99 (1991), 443–458. [5] M.F. Atiyah. Elliptic operators and compact groups. In Lecture Notes in Mathematics. Vol. 401, pages 1–93. Springer, Berlin, Heidelberg, New York, 1974. [6] M.F. Atiyah. Elliptic operators, discrete groups and von Neumann algebras. Astérisque 32 (1976), 43–72. [7] R. Bott and L.W. Tu. Differential Forms in Algebraic Topology. Graduate Texts in Mathematics, Vol. 82. Springer-Verlag, Berlin, Heidelberg, New York, 1982. [8] P.R. Chernoff. Finite propagation speed, kernel estimates for functions of the Laplace operator, and the geometry of complete Riemannian manifolds. J. Funct. Anal. 12 (1973), 401–414. [9] A. Connes. Sur la théorie non commutative de l’intégration. In Algèbres d’op´ erateurs (Sém., Les Plans-sur-Bex, 1978), Lecture Notes in Math. Vol. 725, pp. 19–143. Springer, Berlin, Heidelberg, New York, 1979. [10] A. Connes. Noncommutative differential geometry. Publ. Math. 62 (1986), 41–144. [11] E. Fedida. Sur les feuilletages de Lie. C. R. Acad. Sci. Paris. Ser. A-B 272 (1971), A999–A1001. [12] A. Haefliger. Some remarks on foliations with minimal leaves. J. Diff. Geom. 15 (1980), 269–284. [13] A. Haefliger. Foliations and compactly generated pseudogroups. In Foliations: Geometry and Dynamics (Warsaw, 2000), pages 275–295. World Sci. Publishing, River Edge, NJ, 2002. [14] J.L. Heitsch and C. Lazarov. A Lefschetz theorem for foliated manifolds. Topology 29 (1990), 127–162. [15] Y.A. Kordyukov. Transversally elliptic operators on G-manifolds of bounded geometry. Russ. J. Math. Ph. 2 (1994), 175–198. [16] Y.A. Kordyukov. Functional calculus for tangentially elliptic operators on foliated manifolds. In Analysis and Geometry in Foliated Manifolds, Proceedings of the VII International Colloquium on Differential Geometry, Santiago de Compostela, 1994, pp. 113–136. World Scientific, Singapore, 1995. [17] Y.A. Kordyukov. Noncommutative spectral geometry of Riemannian foliations. Manuscripta Math. 94 (1997), 45–73. [18] A.I. Mal’cev. On a class of homogeneous spaces. Transl. Amer. Math. Soc. 39 (1951), 276–307. [19] P. Molino. Géométrie globale des feuilletages Riemanniens. Proc. Nederl. Acad. A1 85 (1982), 45–76.

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[20] B. M¨ umken. On tangential cohomology of Riemannian foliations. Amer. J. Math. 128 (2006), 1391–1408. [21] A. Nestke and P. Zuckermann. The index of transversally elliptic complexes. Rend. Circ. Mat. Palermo 34, Suppl. 9 (1985), 165–175. [22] K. Nomizu. On the cohomology of compact homogeneous spaces of nilpotent lie groups. Ann. of Math. 59 (1954), 531–538. [23] B.L. Reinhart. Foliated manifolds with bundle-like metrics. Ann. of Math. 69 (1959), 119–132. [24] A.F. Rich. A Lefschetz theorem for foliated manifolds. PhD Thesis, The University of Chicago, 1989. [25] J. Roe. Finite propagation speed and Connes’ foliation algebra. Math. Proc. Cambridge Philos. Soc. 102 (1987), 459–466. [26] J. Roe. An index theorem on open manifolds. I. J. Diff. Geom. 27 (1988), 87–113. [27] J. Roe. An index theorem on open manifolds. II. J. Diff. Geom. 27 (1988), 115–136. [28] J. Roe. Elliptic Operators, Topology and Asymptotic Methods. Second Edition. Pitman Research Notes in Mathematics Series, 395. Longman, Harlow, 1998. [29] A. Selberg. Harmonic analysis and discontinuous groups in weakly symmetric Riemannian spaces with applications to Dirichlet series. J. Indian Math. Soc. (N.S.) 20 (1956), 47–87. [30] I.M. Singer. Recent applications of index theory for elliptic operators. In Proc. Symp. Pure Appl. Math. 23, pp. 11–31. Amer. Math. Soc., Providence, R. I., 1973. ´ Jes´ us A. Alvarez L´ opez Departamento de Xeometr´ıa e Topolox´ıa Facultade de Matem´ aticas Universidade de Santiago de Compostela 15782 Santiago de Compostela Spain e-mail: [email protected] Yuri A. Kordyukov Institute of Mathematics Russian Academy of Sciences 112 Chernyshevsky str. 450077 Ufa Russia e-mail: [email protected]


Torsion, as a Function on the Space of Representations Dan Burghelea and Stefan Haller Abstract. Riemannian Geometry, Topology and Dynamics permit to introduce partially defined holomorphic functions on the variety of representations of the fundamental group of a manifold. The functions we consider are the complex-valued Ray–Singer torsion, the Milnor–Turaev torsion, and the dynamical torsion. They are associated essentially to a closed smooth manifold equipped with a (co)Euler structure and a Riemannian metric in the first case, a smooth triangulation in the second case, and a smooth flow of type described in Section 2 in the third case. In this paper we define these functions, describe some of their properties and calculate them in some case. We conjecture that they are essentially equal and have analytic continuation to rational functions on the variety of representations. We discuss what we know to be true. As particular cases of our torsion, we recognize familiar rational functions in topology such as the Lefschetz zeta function of a diffeomorphism, the dynamical zeta function of closed trajectories, and the Alexander polynomial of a knot. A numerical invariant derived from Ray–Singer torsion and associated to two homotopic acyclic representations is discussed in the last section. Mathematics Subject Classification (2000). 57R20, 58J52. Keywords. Euler structure; coEuler structure; combinatorial torsion; analytic torsion; theorem of Bismut–Zhang; Chern–Simons theory; geometric regularization; mapping torus; rational function.

Part of this work was done while both authors enjoyed the hospitality of the Max Planck Institute for Mathematics in Bonn. A previous version was written while the second author enjoyed the hospitality of the Ohio State University. The second author was partially supported by the Fonds zur F¨ orderung der wissenschaftlichen Forschung (Austrian Science Fund), project number P17108-N04.

42

D. Burghelea and S. Haller

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

42

2 Characteristic forms and vector fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

45

3 Euler and coEuler structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

48

4 Complex representations and cochain complexes . . . . . . . . . . . . . . . . . . . . . . . .

51

5 Analytic torsion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

53

6 Milnor–Turaev and dynamical torsion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

57

7 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

60

8 Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

62

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

65

1. Introduction For a finitely presented group Γ denote by Rep(Γ; V ) the algebraic set of all complex representations of Γ on the complex vector space V . For a closed base pointed manifold (M, x0 ) with Γ = π1 (M, x0 ) denote by RepM (Γ; V ) the algebraic closure of RepM 0 (Γ; V ), the Zariski open set of representations ρ ∈ Rep(Γ; V ) so that H ∗ (M ; ρ) = 0. The manifold M is called V -acyclic iff RepM (Γ; V ), or equivalently e characterRepM 0 (Γ; V ), is non-empty. If M is V -acyclic then the Euler–Poincar´ istic χ(M ) vanishes. There are plenty of V -acyclic manifolds. If dim V = 1 then Rep(Γ; V ) = (C \ 0)k × F , where k denotes the first Betty number of M , and F is a finite Abelian group. If in addition M is V -acyclic and H1 (M ; Z) is torsion free, then RepM (Γ; V ) = (C\0)k . There are plenty of V -acyclic (dim V = 1) manifolds M with H1 (M ; Z) torsion free. In this paper, to a V -acyclic manifold and an Euler or coEuler structure we associate three partially defined holomorphic functions on RepM (Γ; V ), the complex-valued Ray–Singer torsion, the Milnor–Turaev torsion, and the dynamical torsion, and describe some of their properties. They are defined with the help of a Riemannian metric, resp. smooth triangulation resp. a vector field with the properties listed in Section 2.4, but are independent of these data. We expect that they are essentially equal, and have analytic continuation to rational functions on RepM (Γ; V ) (if dim V = 1 genuine rational functions of k variables). This is not entirely true and we discuss what we know so far. We calculate them in some cases and recognize familiar rational functions in topology (Lefschetz zeta function of a diffeomorphism, dynamical zeta function of some flows, Alexander polynomial of a knot) as particular cases of our torsion, cf. Section 7.

Torsion, as a Function on the Space of Representations

43

The results answer the question (Q) Is the Ray–Singer torsion the absolute value of a holomorphic function on the space of representations? 1 and establish the analytic continuation of the dynamical torsion (for a related result consult [4]). Both issues are subtle when formulated inside the field of spectral geometry or of dynamical systems and can hardly be decided using internal techniques of these fields. There are interesting dynamical implications on the growth of the number of instantons and of closed trajectories, some of them improving on a conjecture formulated by S.P. Novikov about the gradients of closed Morse one form, cf. Section 8. This paper surveys results from [7], [9], [10] [11] and reports on additional work in progress on these lines. Its contents is the following. In Section 2, for the reader’s convenience, we recall some less familiar characteristic forms used in this paper and describe the class of vector fields we use to define the dynamical torsion. These vector fields have finitely many rest points but infinitely many instantons and closed trajectories. However, despite their infiniteness, they can be counted by appropriate counting functions which can be related to the topology and the geometry of the underlying manifold cf. [8]. The dynamical torsion is derived from them. All torsion functions referred to above involve some additional topological data; the Milnor–Turaev and dynamical torsion involve an Euler structure while the complex Ray–Singer torsion a coEuler structure, a sort of Poincaré dual of the first. In Section 3 we define Euler and coEuler structures and discuss some of their properties. Although they can be defined for arbitrary base pointed manifolds (M, x0 ) we present the theory only in the case χ(M ) = 0 when the base point is irrelevant. While the complex Ray–Singer torsion and dynamical torsion are new concepts the Milnor–Turaev torsion is not, however our presentation is somehow different from the traditional one. In Section 4 we discuss the algebraic variety of cochain complexes of finite-dimensional vector spaces and introduce the Milnor torsion as a rational function on this variety. The Milnor–Turaev torsion is obtained as a pull back by a characteristic map of this rational function. Section 5 is about analytic torsion. In Section 5.1, we recall the familiar Ray–Singer torsion slightly modified with the help of a coEuler structure. This is a positive real-valued function defined on RepM 0 (Γ; V ), the variety of the acyclic representations. We show that this function is independent of the Riemannian metric, and that it is the absolute value of a complex valued rational function, provided the coEuler structure is integral. In Section 5.2 we introduce the complex-valued Ray–Singer torsion, and show the relation to the first. The complex Ray–Singer torsion, denoted ST , is a meromorphic function on a finite cover of the space 1A

similar question was considered in [25] and a positive answer provided.

44


of representations and is defined analytically using regularized determinants of elliptic operators but not self adjoint. The Milnor–Turaev torsion, defined in Section 6.1, is associated with a smooth manifold, a given Euler structure and a homology orientation and is constructed using a smooth triangulation. Its square was conjectured to be equal to the complex Ray–Singer torsion as defined in Section 5.2, when the coEuler structure for Ray–Singer corresponds, by Poincaré duality map, to the Euler structure for Milnor–Turaev. The conjecture was verified in [11] for odd-dimensional manifolds2 and in full generality in [28]. Up to sign the dynamical torsion, introduced in Section 6.2, is associated to a smooth manifold and a given Euler structure and is constructed using a smooth vector field in the class described in Section 2.4. The sign can be fixed with the help of an equivalence class of orderings of the rest points of X, cf. Section 6.2. A priori the dynamical torsion is only a partially defined holomorphic function on RepM (Γ; V ) and is defined using the instantons and the closed trajectories of X. For a representation ρ the dynamical torsion is expressed as a series which might not be convergent for each ρ but should be convergent for ρ in a subset U of RepM (Γ; V ) with non-empty interior. At present this convergence was established only in the case of rank one representations. The existence of U is guaranteed by the exponential growth property (EG) required from the vector field (cf. Section 2.4 for the definition). The main results, Theorems 1, 2 and 3, establish the relationship between these torsion functions. Theorem 3 is expected to hold for V of arbitrary dimension. One can calculate the Milnor–Turaev torsion when M has a structure of mapping torus of a diffeomorphism φ as the “twisted Lefschetz zeta function” of the diffeomorphism φ, cf. Section 7.1. The Alexander polynomial as well as the twisted Alexander polynomials of a knot can also be recovered from this torsion cf. Section 7.3. If the vector field has no rest points but admits a closed Lyapunov cohomology class, cf. Section 7.2, the dynamical torsion can be expressed in terms of closed trajectories only, and the dynamical zeta function of the vector field (including all its twisted versions) can be recovered from the dynamical torsion described here. In Section 8.1 we express the phase difference of the Milnor–Turaev torsion of two representations in the same connected component of RepM 0 (Γ; V ) in terms of the Ray–Singer torsion. This invariant is analogous to the Atiyah–Patodi–Singer spectral flow but has not been investigated so far. Section 8 discusses some progress towards a conjecture of Novikov which came out from the work on dynamical torsion.

2 with

comments on how derive it for even-dimensional manifolds


45

2. Characteristic forms and vector fields 2.1. Euler, Chern–Simons, and Mathai–Quillen form Let M be smooth closed manifold of dimension n. Let π : T M → M denote the tangent bundle, and OM the orientation bundle, which is a flat real line bundle over M . For a Riemannian metric g denote by e(g) ∈ Ωn (M ; OM ) its Euler form, and for two Riemannian metrics g1 and g2 by cs(g1 , g2 ) ∈ Ωn−1 (M ; OM )/d(Ωn−2 (M ; OM )) their Chern–Simons class. The following properties follow from (4) and (5) below. d cs(g1 , g2 ) = cs(g2 , g1 ) = cs(g1 , g3 ) =

e(g2 ) − e(g1 )

(1)

− cs(g1 , g2 ) cs(g1 , g2 ) + cs(g2 , g3 )

(2) (3)

If the dimension of M is odd both e(g) and cs(g1 , g2 ) vanish. Denote by ξ the Euler vector field on T M which assigns to a point x ∈ T M the vertical vector −x ∈ Tx T M . A Riemannian metric g determines the Levi– Civita connection in the bundle π : T M → M . There is a canonic n-form vol(g) ∈ Ωn (T M ; π ∗ OM ), which assigns to an n-tuple of vertical vectors their volume times their orientation and vanishes when contracted with horizontal vectors. The global angular form, see for instance [3], is the differential form A(g) :=

Γ(n/2) iξ vol(g) ∈ Ωn−1 (T M \ M ; π ∗ OM ). (2π)n/2 |ξ|n

In [21] Mathai and Quillen have introduced a differential form Ψ(g) ∈ Ωn−1 (T M \ M ; π ∗ OM ). When pulled back to the fibers of T M \ M → M the form Ψ(g) coincides with A(g). If U ⊆ M is an open subset on which the curvature of g vanishes, then Ψ(g) coincides with A(g) on T U \ U . In general we have the equalities: dΨ(g) = Ψ(g2 ) − Ψ(g1 ) =

π ∗ e(g) ∗

π cs(g1 , g2 )

(4) mod dΩ

n−2

∗

(T M \ M ; π OM )

(5)

2.2. Euler and Chern–Simons chains For a vector field X with non-degenerate rest points we have the singular 0-chain e(X) ∈ C0 (M ; Z) defined by e(X) := x∈X IND(x)x, with IND(x) the Hopf index. For two vector fields X1 and X2 with non-degenerate rest points we have the singular 1-chain rel. boundaries cs(X1 , X2 ) ∈ C1 (M ; Z)/∂C2 (M ; Z) defined via the

46


zero set of a homotopy from X1 to X2 , cf. [7]. They are related by the formulas, see [7], ∂ cs(X1 , X2 ) cs(X2 , X1 ) cs(X1 , X3 )

= e(X2 ) − e(X1 ) = − cs(X1 , X2 )

(6) (7)

= cs(X1 , X2 ) + cs(X2 , X3 ).

(8)

2.3. Kamber–Tondeur one form Let E be a real or complex vector bundle over M . For a connection ∇ and a Hermitian structure μ on E define a real-valued one form ω(∇, μ) ∈ Ω1 (M ; R) by 1 (9) ω(∇, μ)(Y ) := − tr μ−1 · (∇Y μ) , Y ∈ T M. 2 ¯ ∗ denotes the Here we consider μ as an element in Ω0 (M ; hom(E, E¯ ∗ )), where E dual of the complex conjugate bundle. With respect to the induced connection on hom(E, E¯ ∗ ) we have ∇Y μ ∈ Ω1 (M ; hom(E, E¯ ∗ )) and therefore μ−1 · ∇Y μ ∈ Ω1 (M ; end(E, E)). Actually the latter one form has values in the endomorphisms of E which are symmetric with respect to μ, and thus the (complex) trace, see (9), will indeed be real. Since any two Hermitian structures μ1 and μ2 are homotopic, the difference ω(∇, μ2 ) − ω(∇, μ1 ) will be exact. If ∇ is flat then ω(∇, μ) is closed and its cohomology class independent of μ. Replacing the Hermitian structure by a non-degenerate symmetric bilinear form b, we define a complex-valued one form ω(∇, b) ∈ Ω1 (M ; C) by a similar formula 1 (10) ω(∇, b)(Y ) := − tr b−1 · (∇Y b) , Y ∈ T M. 2 Here we regard b as an element in Ω0 (M ; hom(E, E ∗ )). If two non-degenerate symmetric bilinear forms b1 and b2 are homotopic, then ω(∇, b2 ) − ω(∇, b1 ) is exact. If ∇ is flat, then ω(∇, b) is closed. Note that ω(∇, b) ∈ Ω1 (M ; C) depends holomorphically on ∇. 2.4. Vector fields, instantons and closed trajectories Consider a vector field X which satisfies the following properties: (H) All rest points are of hyperbolic type. (EG) The vector field has exponential growth at all rest points. (L) The vector field is of Lyapunov type. (MS) The vector field satisfies Morse–Smale condition. (NCT) The vector field has all closed trajectories non-degenerate. Precisely this means that: (H) The differential of X at each rest point x has all eigenvalues with non-trivial real part; the number of eigenvalues with negative real part is called the index and denoted by ind(x); as a consequence the stable and unstable ± ± stable sets are images of one-to-one immersions i± x : Wx → M with Wx n−ind(x) ind(x) diffeomorphic to R resp. R .


47

(EG) With respect to one and then any Riemannian metric g on M , the volume of the disk of radius r in Wx− (w.r. to the induced Riemannian metric) is ≤ eCr , for some constant C > 0. (L) There exists a real-valued closed one form ω so that ω(X)x < 0 for x not a rest point.3 + (MS) For any two rest points x and y the mappings i− x and iy are transversal and therefore the space of non-parameterized trajectories form x to y, T (x, y), is a smooth manifold of dimension ind(x) − ind(y) − 1. Instantons are exactly the elements of T (x, y) when this is a smooth manifold of dimension zero, i.e., ind(x) − ind(y) − 1 = 0. (NCT) Any closed trajectory is non-degenerate, i.e., the differential of the return map in normal direction at one and then any point of a closed trajectory does not have non-zero fixed points. Recall that a trajectory θ is an equivalence class of parameterized trajectories and two parameterized trajectories θ1 and θ2 are equivalent iff θ1 (t + c) = θ2 (t) for some real number c. Recall that a closed trajectory θˆ is a pair consisting of a trajectory θ and a positive real number T so that θ(t + T ) = θ(t). Property (L), (H), (MS) imply that for any real number R the set of instantons θ from x to y with −ω([θ]) ≤ R is finite and properties (L), (H), (MS), (NCT) imply that for any real number R the set of the closed trajectories θˆ with ˆ ≤ R is finite. Here [θ] resp [θ] ˆ denote the homotopy class of instantons −ω([θ]) 4 resp. closed trajectories. Denote by Px,y the set of homotopy classes of paths from x to y and by Xq the set of rest points of index q. Suppose a collection O = {Ox | x ∈ X } of orientations of the unstable manifolds is given and (MS) is satisfied. Then any instanton θ has a sign (θ) = ±1 and therefore, if (L) is also satisfied, for any two rest points x ∈ Xq+1 and y ∈ Xq we have the counting function of instantons IX,O x,y : Px,y → Z defined by (θ). (11) IX,O x,y (α) := θ∈α

ˆ = ±1 Under the hypothesis (NCT) any closed trajectory θˆ has a sign (θ) ˆ and a period p(θ) ∈ {1, 2, . . . }, cf. [17]. If (H), (L), (MS), (NCT) are satisfied, as the set of closed trajectories in a fixed homotopy class γ ∈ [S 1 , M ] is compact, we have the counting function of closed trajectories ZX : [S 1 , M ] → Q defined by ˆ ˆ ZX (γ) := (θ)/p( θ). (12) ˆ θ∈γ

Here are a few properties about vector fields which satisfy (H) and (L). 3 This ω has no relation with the Kamber–Tondeur form ω(∇, b) considered in the previous section. 4 For a closed trajectory the map whose homotopy class is considered is θ ˆ : R/T Z → M .

48


Proposition 1. 1. Given a vector field X which satisfies (H) and (L) arbitrary close in the C r topology for any r ≥ 0 there exists a vector field Y which agrees with X on a neighborhood of the rest points and satisfies (H), (L), (MS) and (NCT). 2. Given a vector field X which satisfies (H) and (L) arbitrary close in the C 0 topology there exists a vector field Y which agrees with X on a neighborhood of the rest points and satisfies (H), (EG), (L), (MS) and (NCT). 3. If X satisfies (H), (L) and (MS) and a collection O of orientations is given then for any x ∈ Xq , z ∈ Xq−2 and γ ∈ Px,z one has5 X,O IX,O (13) x,y (α) · Iy,z (β) = 0. y∈Xq−1 ,α∈Px,y ,β∈Py,z α∗β=γ

This proposition is a recollection of some of the main results in [8], see Proposition 3, Theorem 1 and Theorem 5 in there.

3. Euler and coEuler structures Although not always necessary in this section as in fact always in this paper M is supposed to be closed connected smooth manifold. 3.1. Euler structures Euler structures have been introduced by Turaev [30] for manifolds M with χ(M ) = 0. If one removes the hypothesis χ(M ) = 0 the concept of Euler structure can still be considered for any connected base pointed manifold (M, x0 ) cf. [5] and [7]. Here we will consider only the case χ(M ) = 0. The set of Euler structures, denoted by Eul(M ; Z), is equipped with a free and transitive action m : H1 (M ; Z) × Eul(M ; Z) → Eul(M ; Z) which makes Eul(M ; Z) an affine version of H1 (M ; Z). If e1 , e2 are two Euler structure we write e2 − e1 for the unique element in H1 (M ; Z) with m(e2 − e1 , e1 ) = e2 . To define the set Eul(M ; Z) we consider pairs (X, c) with X a vector field with non-degenerate zeros and c ∈ C1 (M ; Z) so that ∂c = e(X). We make (X1 , c1 ) and (X2 , c2 ) equivalent iff c2 − c1 = cs(X1 , X2 ) and write [X, c] for the equivalence class represented by (X, c). The action m is defined by m([c ], [X, c]) := [X, c + c]. Observation 1. Suppose X is a vector field with non-degenerate zeros, and assume its zero set X is non-empty. Moreover, let e ∈ Eul(M ; Z) be an Euler structure paths {σx | x ∈ X } with σx (0) = x0 , and x0 ∈ M . Then there exists a collection of σx (1) = x and such that e = [X, c] where c = x∈X IND(x)σx . 5 It is understood that only finitely many terms from the left side of the equality are not zero. Here ∗ denotes juxtaposition.


49

A remarkable source of Euler structures is the set of homotopy classes of nowhere vanishing vector fields. Any nowhere vanishing vector field X provides an Euler structure [X, 0] which only depends on the homotopy class of X. Still assuming χ(M ) = 0, every Euler structure can be obtained in this way provided dim(M ) > 2. Be aware, however, that different homotopy classes may give rise to the same Euler structure. To construct such a homotopy class one can proceed as follows. Represent the Euler structure e by a vector field X and a collection of paths {σx | x ∈ X } as in Observation 1. Since dim(M ) > 2 we may assume that the interiors of the paths are mutually disjoint. Then the set x∈X σx is contractible. A smooth regular neighborhood of it is the image by a smooth embedding ϕ : (Dn , 0) → (M, x0 ). Since χ(M ) = 0, the restriction of the vector field X to M \int(Dn ) can be extended ˜ on M . It is readily checked that [X, ˜ 0] = e. For to a non-vanishing vector field X details see [7]. If M has dimension larger than 2 an alternative description of Eul(M ; Z) with respect to a base point x0 is Eul(M ; Z) = π0 (X(M, x0 )), where X(M, x0 ) denotes the space of vector fields of class C r , r ≥ 0, which vanish at x0 and are non-zero elsewhere. We equip this space with the C r -topology and note that the result π0 (X(M, x0 )) is the same for all r, and since χ(M ) = 0, canonically identified for different base points. Let τ be a smooth triangulation of M and consider the function fτ : M → R linear on any simplex of the first barycentric subdivision and taking the value dim(s) on the barycenter xs of the simplex s ∈ τ . A smooth vector field X on M with the barycenters as the only rest points all of them hyperbolic and fτ strictly decreasing on non-constant trajectories is called an Euler vector field of τ . By an argument of convexity two Euler vector fields are homotopic by a homotopy of Euler vector fields.6 Therefore, a triangulation τ , a base point x0 and a collection of paths {σs | s ∈ τ } with σs (0) = x0 and σs (1) = xs define an Euler structure [Xτ , c], where c := s∈τ (−1)n+dim(s) σs , Xτ is any Euler vector field for τ , and this Euler structure does not depend on the choice of Xτ . Clearly, for fixed τ and x0 , every Euler structure can be realized in this way by an appropriate choice of {σs | s ∈ τ }, cf. Observation 1. 3.2. CoEuler structures Again, suppose χ(M ) = 0.7 Consider pairs (g, α) where g is a Riemannian metric on M and α ∈ Ωn−1 (M ; OM ) with dα = e(g) where e(g) ∈ Ωn (M ; OM ) denotes the Euler form of g, see Section 2.1. We call two pairs (g1 , α1 ) and (g2 , α2 ) equivalent if cs(g1 , g2 ) = α2 − α1 ∈ Ωn−1 (M ; OM )/dΩn−2 (M ; OM ). Euler vector field X satisfies (H), (EG), (L) and has no closed trajectory, hence also satisfies (NCT). The counting functions of instantons are exactly the same as the incidence numbers of the triangulation hence take the values 1, −1 or 0. 7 The hypothesis is not necessary and the theory of coEuler structure can be pursued for an arbitrary base pointed smooth manifold (M, x0 ), cf. [7]. 6 Any

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We will write Eul∗ (M ; R) for the set of equivalence classes and [g, α] for the equivalence class represented by the pair (g, α). Elements of Eul∗ (M ; R) are called coEuler structures. There is a natural action m∗ : H n−1 (M ; OM ) × Eul∗ (M ; R) → Eul∗ (M ; R) given by

m∗ ([β], [g, α]) := [g, α − β] for [β] ∈ H n−1 (M ; OM ). This action is obviously free and transitive. In this sense Eul∗ (M ; R) is an affine version of H n−1 (M ; OM ). If e∗1 and e∗2 are two coEuler structures we write e∗2 − e∗1 for the unique element in H n−1 (M ; OM ) with m∗ (e∗2 − e∗1 , e∗1 ) = e∗2 . Observation 2. Given a Riemannian metric g on M any coEuler structure can be represented as a pair (g, α) for some α ∈ Ωn−1 (M ; OM ) with dα = e(g). There is a natural map PD : Eul(M ; Z) → Eul∗ (M ; R) which combined with the Poincaré duality map D : H1 (M ; Z) → H1 (M ; R) → H n−1 (M ; OM ), the composition of the coefficient homomorphism for Z → R with the Poincaré duality isomorphism,8 makes the diagram below commutative: H1 (M ; Z) × Eul(M ; Z)

/ Eul(M ; Z)

m

D×PD

H n−1 (M ; OM ) × Eul∗ (M ; R)

PD

m

∗

/ Eul∗ (M ; R)

There are many ways to define the map PD, cf. [7]. For example, assuming χ(M ) = 0 and dim M > 2 one can proceed as follows. Represent the Euler structure by a nowhere vanishing vector field e = [X, 0]. Choose a Riemannian metric g, regard X as mapping X : M → T M \ M , set α := X ∗ Ψ(g), put PD(e) := [g, α] and check that this does indeed only depend on e. A coEuler structure e∗ ∈ Eul∗ (M ; R) is called integral if it belongs to the image of PD. Integral coEuler structures constitute a lattice in the affine space Eul∗ (M ; R). Observation 3. If dim M is odd, then there is a canonical coEuler structure e∗0 ∈ Eul∗ (M ; R); it is represented by the pair [g, 0], with any g Riemannian metric. In general this coEuler structure is not integral.

8 We will use the same notation D for the Poincar´ e duality isomorphism D : H1 (M ; R) → H n−1 (M ; OM ).


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4. Complex representations and cochain complexes 4.1. Complex representations Let Γ be a finitely presented group with generators g1 , . . . , gr and relations Ri (g1 , g2 , . . . , gr ) = e,

i = 1, . . . , p,

and V be a complex vector space of dimension N . Let Rep(Γ; V ) be the set of linear representations of Γ on V , i.e., group homomorphisms ρ : Γ → GLC (V ). By identifying V to CN this set is, in a natural way, an algebraic set inside the 2 space CrN +1 given by pN 2 + 1 equations. Precisely if A1 , . . . , Ar , z represent the 2 2 coordinates in CrN +1 with A := (aij ), aij ∈ C, so A ∈ CN and z ∈ C, then the equations defining Rep(Γ; V ) are z · det(A1 ) · det(A2 ) · · · det(Ar ) Ri (A1 , . . . , Ar )

= 1 = id,

i = 1, . . . , p

with each of the equalities Ri providing N 2 polynomial equations. Suppose Γ = π1 (M, x0 ), M a closed manifold. Denote by RepM 0 (Γ; V ) the set of representations ρ with H ∗ (M ; ρ) = 0 and notice that they form a Zariski open set in Rep(Γ; V ). Denote the closure of this set by RepM (Γ; V ). This is an algebraic set which depends only on the homotopy type of M , and is a union of irreducible components of Rep(Γ; V ). Recall that every representation ρ ∈ Rep(Γ; V ) induces a canonical vector bundle Fρ equipped with a canonical flat connection ∇ρ . They are obtained from ˜ ×V → M ˜ and the trivial connection by passing to the Γ the trivial bundle M ˜ is the canonical universal covering provided by the base quotient spaces. Here M ˜ and point x0 . The Γ-action is the diagonal action of deck transformations on M of the action ρ on V . The fiber of Fρ over x0 identifies canonically with V . The holonomy representation determines a right Γ-action on the fiber of Fρ over x0 , i.e., an anti homomorphism Γ → GL(V ). When composed with the inversion in GL(V ) we get back the representation ρ. The pair (Fρ , ∇ρ ) will be denoted by Fρ . If ρ0 is a representation in the connected component Repα (Γ; V ) one can identify Repα (Γ; V ) to the connected component of ∇ρ0 in the complex analytic space of flat connections of the bundle Fρ0 modulo the group of bundle isomorphisms of Fρ0 which fix the fiber above x0 . Remark 1. An element a ∈ H1 (M ; Z) defines a holomorphic function deta : RepM (Γ; V ) → C∗ . The complex number deta (ρ) is the evaluation on a ∈ H1 (M ; Z) of det(ρ) : Γ → C∗ which factors through H1 (M ; Z). Note that for a, b ∈ H1 (M ; Z) we have deta+b = deta detb . If a is a torsion element, then deta is constant equal to a root of unity of order, the order of a.

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4.2. The space of cochain complexes Let k = (k0 , k1 , . . . , kn ) be a string of non-negative integers. The string is called admissible, and we will write k ≥ 0 in this case, if the following requirements are satisfied k0 − k1 + k2 ∓ · · · + (−1)n kn

=

0

(14)

ki − ki−1 + ki−2 ∓ · · · + (−1)i k0

≥

0 for any i ≤ n − 1.

(15)

Denote by D(k) = D(k0 , . . . , kn ) the collection of cochain complexes of the form d0

d1

dn−2

dn−1

C = (C ∗ , d∗ ) : 0 → C 0 −→ C 1 −→ · · · −−−→ C n−1 −−−→ C n → 0 with C i := Cki , and by Dac (k) ⊆ D(k) the subset of acyclic complexes. Note that Dac (k) is non-empty iff k ≥ 0. The cochain complex C is determined by the collection {di } of linear maps di : Cki → Cki+1 . If regarded as the subset of those n−1 ki ki+1 ), with L(V, W ) the space of linear maps from V to {di } ∈ i=0 L(C , C W , which satisfy the quadratic equations di+1 · di = 0, the set D(k) is an affine algebraic set given by degree two homogeneous polynomials and Dac (k) is a Zariski open set. The map π0 : Dac (k) → Emb(C 0 , C 1 ) which associates to C ∈ Dac (k) the linear map d0 , is a bundle whose fiber is isomorphic to Dac (k1 − k0 , k2 , . . . , kn ). This can be easily generalized as follows. Consider a string b = (b0 , . . . , bn ). We will write k ≥ b if k − b = (k0 − b0 , . . . , kn − bn ) is admissible, i.e., k − b ≥ 0. Denote by Db (k) = D(b0 ,...,bn ) (k0 , . . . , kn ) the subset of cochain complexes C ∈ D(k) with dim(H i (C)) = bi . Note that Db (k) is non-empty iff k ≥ b. The obvious map π0 : Db (k) → L(C 0 , C 1 ; b0 ), L(C 0 , C 1 ; b0 ) the space of linear maps in L(C 0 , C 1 ) whose kernel has dimension b0 , is a bundle whose fiber is isomorphic to Db1 ,...,bn (k1 − k0 + b0 , k2 , . . . , kn ). Note that L(C 0 , C 1 ; b0 ) is the total space of a bundle Emb(Ck0 /L, Ck1 ) → Grb0 (k0 ) with L → Grb0 (k0 ) the tautological bundle over Grb0 (k0 ) and Ck0 resp. Ck1 the trivial bundles over Grb0 (k0 ) with fibers of dimension k0 resp. k1 . As a consequence we have Proposition 2. 1. Dac (k) and Db (k) are connected smooth quasi affine algebraic sets whose dimension is (k j − bj ) · k j − (−1)i+j (k i − bi ) . dim Db (k) = j

i≤j

ˆ (k) are irreducible algebraic sets, hence affine ˆ ac (k) and D 2. The closures D b ˆ algebraic varieties, and Db (k) = k≥b ≥b Db (k). For any cochain complex in C ∈ Dac (k) denote by B i := img(di−1 ) ⊆ C i = inc

di

Cki and consider the short exact sequence 0 → B i −−→ C i −→ B i+1 → 0. Choose a base bi for each Bi , and choose lifts bi+1 of bi+1 in C i using di , i.e., di (bi+1 ) = bi+1 . Clearly {bi , bi+1 } is a base of C i . Consider the base {bi , bi+1 } as a collection of


53

vectors in C i = Cki and write them as columns of a matrix [bi , bi+1 ]. Define the torsion of the acyclic complex C, by τ (C) := (−1)N +1

n

det[bi , bi+1 ](−1)

i

i=0 N

where (−1) is Turaev’s sign, see [15]. The result is independent of the choice of the bases bi and of the lifts bi cf. [22] [15], and leads to the function τ : Dac (k) → C∗ . Turaev provided a simple formula for this function, cf. [31], which permits to ˆ ac (k). recognize τ as the restriction of a rational function on D i t ki+1 ki ˆ → C the transpose of di : Cki → For C ∈ Dac (k) denote by (d ) : C ki+1 i−1 i−1 t i t i C , and define Pi = d ·(d ) +(d ) ·d . Define Σ(k) as the subset of cochain ˆ ac (k)\Σ(k) → C∗ defined ˆ ac (k) where ker P = 0, and consider Sτ : D complexes in D by −1 (det Pi )i (det Pi )i . Sτ (C) := i even

i odd

One can verify Proposition 3. Suppose k = (k0 , . . . , kn ) is admissible. ˆ ac (k). 1. Σ(k) is a proper subvariety containing the singular set of D 2 2. Sτ = τ and implicitly Sτ has an analytic continuation to Dac (k). In particular τ defines a square root of Sτ . We will not use explicitly Sτ in this writing however it justifies the definition of complex Ray–Singer torsion.

5. Analytic torsion Let M be a closed manifold, g Riemannian metric and (g, α) a representative of a coEuler structure e∗ ∈ Eul∗ (M ; R). Suppose E → M is a complex vector bundle and denote by C(E) the space of connections and by F (E) the subset of flat connections. C(E) is a complex affine (Fréchet) space while F (E) a closed complex analytic subset (Stein space) of C(E). Let b be a non-degenerate symmetric bilinear form and μ a Hermitian (fiber metric) structure on E. While Hermitian structures always exist, non-degenerate symmetric bilinear forms exist iff the bundle is the complexification of some real vector bundle, and in this case E E ∗ . The connection ∇ ∈ C(E) can be interpreted as a first-order differential operator d∇ : Ω∗ (M ; E) → Ω∗+1 (M ; E) and g and b resp. g and μ can be used ∇ ∇ resp. δq;g,μ : Ωq+1 (M ; E) → to define the formal b-adjoint resp. μ-adjoint δq;g,b q Ω (M ; E) and therefore the Laplacians ∇ q q Δ∇ q;g,b resp. Δq;g,μ : Ω (M ; E) → Ω (M ; E).

54


They are elliptic second-order differential operators with principal symbol σξ = |ξ|2 . Therefore they have a unique well-defined zeta regularized determinant (mod ∇ ∇ ified determinant) det(Δ∇ q;g,b ) ∈ C (det (Δq;g,b ) ∈ C∗ ) resp. det(Δq;g,μ ) ∈ R≥0 (det (Δ∇ q;g,μ ) ∈ R>0 ) calculated with respect to a non-zero Agmon angle avoiding the spectrum cf. [10]. Recall that the zeta regularized determinant (modified determinant) is the zeta regularized product of all (non-zero) eigenvalues. Denote by

Σ(E, g, b) := ∇ ∈ C(E) ker(Δ∇ ∗;g,b ) = 0

Σ(E, g, μ) := ∇ ∈ C(E) ker(Δ∇ ∗;g,μ ) = 0 and by

Σ(E) := ∇ ∈ F(E) H ∗ (Ω∗ (M ; E), d∇ ) = 0 .

Note that Σ(E, g, μ) ∩ F(E) = Σ(E) for any μ, and Σ(E, g, b) ∩ F(E) ⊇ Σ(E). Both, Σ(E) and Σ(E, g, b) ∩ F(E), are closed complex analytic subsets of F (E), ∇ and det(Δ∇ q;g,... ) = det (Δq;g,... ) on F (E) \ Σ(E, g, . . . ). even odd We consider the real analytic functions: Tg,μ : C(E) → R≥0 , Tg,μ : C(E) → even R≥0 , Rα,μ : C(E) → R>0 and the holomorphic functions Tg,b : C(E) → C, odd Tg,b : C(E) → C, Rα,b : C(E) → C∗ defined by: even q (∇) := (det Δ∇ Tg,... q;g,... ) , q even odd Tg,... (∇)

:=

q (det Δ∇ q;g,... ) ,

q odd ω(...,∇)∧α M

Rα,... (∇) :=e

(16)

.

even odd resp. Tg,... for the same formulas with det instead of det. We also write Tg,... even resp. These functions are discontinuous on Σ(E, g, . . . ) and coincide with Tg,... odd Tg,... on F (E) \ Σ(E, g, . . . ). Here . . . stands for either b or μ. For the definition of real or complex analytic space/set, holomorphic/meromorphic function/map in infinite dimension the reader can consult [13] and [19], although the definitions used here are rather straightforward. Let Er → M be a smooth real vector bundle equipped with a non-degenerate symmetric positive definite bilinear form br . Let C(Er ) resp. F (Er ) the space of connections resp. flat connections in Er . Denote by E → M the complexification of Er , E = Er ⊗ C, and by b resp. μ the complexification of br resp. the Hermitian structure extension of br . We continue to denote by C(Er ) resp. F (Er ) the subspace of C(E) resp. F (E) consisting of connections which are complexification of connections resp. flat connections in Er , and by ∇ the complexification of the connection ∇ ∈ C(Er ). If ∇ ∈ C(Er ), then ∇ Spect Δ∇ q;g,b = Spect Δq;g,μ ⊆ R≥0


55

and therefore

even/odd

even/odd (∇) = Tg,b (∇) = Tg,μ (∇),

even/odd even/odd even/odd Tg,b (∇) = Tg,b (∇) = Tg,μ (∇),

Rα,b (∇) = Rα,b (∇) = Rα,μ (∇). even/odd

Tg,b

(17)

Observe that Ω∗ (M ; E)(0) the (generalized) eigenspace of Δ∇ ∗;g,b corresponding to the eigenvalue zero is a finite-dimensional vector space of dimension the multiplicity of 0. The restriction of the symmetric bilinear form induced by b remains non-degenerate and defines for each component Ωq (M ; E)(0) ∗ an equivalence class ∇ ∇ of bases. Since d commutes with Δ∗;g,b , Ω (M ; E)(0), d∇ is a finite-dimensional complex. When acyclic, i.e., ∇ ∈ F (E) \ Σ(E), denote by Tan (∇, g, b)(0) ∈ C∗ the Milnor torsion associated to the equivalence class of bases induced by b. 5.1. The modified Ray–Singer torsion Let E → M be a complex vector bundle, and let e∗ ∈ Eul∗ (M ; R) be a coEuler structure. Choose a Hermitian structure (fiber metric) μ on E, a Riemannian metric g on M and α ∈ Ωn−1 (M ; OM ) so that [g, α] = e∗ , see Section 3.2. For ∇ ∈ F (E) \ Σ(E) consider the quantity even −1/2 odd (∇)/Tg,μ (∇) · Rα,μ (∇) ∈ R>0 Tan (∇, μ, g, α) := Tg,μ referred to as the modified Ray–Singer torsion. The following proposition is a reformulation of one of the main theorems in [2], cf. also [6] and [7]. Proposition 4. If ∇ ∈ F (E) \ Σ(E), then Tan (∇, μ, g, α) is gauge invariant and independent of μ, g, α. ∗

e When applied to Fρ the number Tan (ρ) := Tan (∇ρ , μ, g, α) defines a real ∗ M e e∗ is the analytic function Tan : Rep0 (Γ; V ) → R>0 . It is natural to ask if Tan absolute value of a holomorphic function. The answer is no as one can see on the simplest possible example M = S 1 equipped with the the canonical coEuler structure e∗0 . In this case RepM (Γ; C) = e∗ C \ 0, and Tan0 (z) = | (1−z) |, cf. [10]. However, Theorem 2 in Section 6.1 below z 1/2 provides the following answer to the question (Q) from the introduction. ∗

e Observation 4. If e∗ is an integral coEuler structure, then Tan is the absolute value M of a holomorphic function on Rep0 (Γ; V ) which is the restriction of a rational e∗ function on RepM (Γ; V ). For a general coEuler structure Tan still locally is the absolute value of a holomorphic function.

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5.2. Complex Ray–Singer torsion Let E be a complex vector bundle equipped with a non-degenerate symmetric bilinear form b. Suppose (g, α) is a pair consisting of a Riemannian metric g and a differential form α ∈ Ωn−1 (M ; OM ) with dα = e(g). For any ∇ ∈ F(E) \ Σ(E) consider the complex number even −1 odd ST an (∇, b, g, α) := Tg,b (∇)/Tg,b (∇) · Rα,b (∇)2 · Tan (∇, g, b)(0)2 ∈ C∗ (18) referred to as the complex-valued Ray–Singer torsion.9 It is possible to provide an alternative definition of ST an (∇, b, g, α). Suppose R > 0 is a positive real number so that the Laplacians Δ∇ q;g,b have no eigenvalues of R ∇ absolute value R. In this case denote by det Δq;g,b the regularized product of all eigenvalues larger than R w.r. to a non-zero Agmon angle disjoint from the specR,even R,even resp. Tg,b the quantities defined by the formulae (16) with trum and by Tg,b R,even/odd even/odd T (Δ) instead of T (Δ). Consider Ω∗ (M ; E)(R) to be the sum of ∇ generalized eigenspaces of Δ∗;g,b corresponding to eigenvalues smaller in absolute value than R. (Ω∗ (M ; E)(R), d∇ ) is a finite-dimensional complex. As before b remains non-degenerate and when acyclic (and this is the case iff (Ω∗ (M ; E), d∇ ) is acyclic) denote by Tan (∇, g, b)(R) the Milnor torsion associated to the equivalence class of bases induced by b. It is easy to check that R,even −1 R,odd ST an (∇, b, g, α) = Tg,b (∇)/Tg,b (∇) · Rα,b (∇)2 · Tan (∇, g, b)(R)2 (19) Proposition 5. 1. ST an (∇, b, g, α) is a holomorphic function on F (E)\Σ(E) and the restriction of a meromorphic function on F (E) with poles and zeros in Σ(E). 2. If b1 and b2 are two non-degenerate symmetric bilinear forms which are homotopic, then ST an (∇, b1 , g, α) = ST an (∇, b2 , g, α). 3. If (g1 , α1 ) and (g2 , α2 ) are two pairs representing the same coEuler structure, then ST an (∇, b, g1 , α1 ) = ST an (∇, b, g2 , α2 ). 4. We have ST an (γ∇, γb, g, α) = ST an (∇, b, g, α) for every gauge transformation γ of E. 5. ST an (∇1 ⊕ ∇2 , b1 ⊕ b2 , g, α) = ST an (∇1 , b1 , g, α) · ST an (∇2 , b2 , g, α). To check the first part of this proposition, one shows that for ∇0 ∈ F(E) one can find R > 0 and an open neighborhood U of ∇0 ∈ F(E) such that no eigenvalue R,even −1 R,odd (∇)/Tg,b (∇) of Δ∇ q;g,b , ∇ ∈ U , has absolute value R. The function Tg,b is holomorphic in ∇ ∈ U . Moreover, on U the function Tan (∇, g, b)(R)2 is meromorphic in ∇, and holomorphic when restricted to U \ Σ(E). The statement thus follows from (19). The second and third part of Proposition 5 are derived from formulas for d/dt(ST an (∇, b(t), g, α)) resp. d/dt(ST an (∇, b, g(t), α) which are similar to such idea of considering b-Laplacians for torsion was brought to the attention of the first author by W. M¨ uller [23]. The second author came to it independently.

9 The


57

formulas for Ray–Singer torsion in the case of a Hermitian structure instead of a non-degenerate symmetric bilinear form, cf. [10]. The proof of 4) and 5) require a careful inspection of the definitions. The full arguments are contained in [10]. As a consequence to each homotopy class of non-degenerate symmetric bilinear forms [b] and coEuler structure e∗ we can associate a meromorphic function on F (E). The reader unfamiliar with the basic concepts of complex analytic geometry on Banach/Fréchet manifolds can consult [13] and [19]. Changing the coEuler structure our function changes by multiplication with a non-vanishing holomorphic function as one can see from (18). Changing the homotopy class [b] is actually more subtle. However ST remains unchanged when the coEuler structure is integral. This fact was conjectured in [10] and is implied by the result of [28] or [11]. Denote by RepM,E (Γ; V ) the union of components of RepM (Γ; V ) which consists of representations equivalent to holonomy representations of flat connections in the bundle E. Suppose E admits non-degenerate symmetric bilinear forms and let [b] be a homotopy class of such forms. Let x0 ∈ M be a base point and denote by G(E)x0 ,[b] the group of gauge transformations which leave fixed Ex0 and the class [b]. In view of Proposition 5, ST an (∇, b, g, α) defines a e∗ ,[b] meromorphic function ST an on π −1 (RepM,E (Γ; V ) ⊆ F(E)/Gx0 ,[b] . Note that π : F (E)/Gx0 ,[b] → Rep(Γ; V ) is a principal holomorphic covering of its image which contains RepM,E (Γ; V ). The results in [28] and [11] imply that the absolute value of this function is the square of modified Ray–Singer torsion. We summarize this in the following theorem. Theorem 1. With the hypotheses above we have. 1. If e∗1 and e∗2 are two coEuler structures then ∗

∗

e1 ,[b] e2 ,[b] ST an = ST an · e2([ω(∇,b)],D

−1

∗ (e∗ 1 −e2 ))

with D : H1 (M ; R) → H n−1 (M ; OM ) the Poincaré duality isomorphism. e∗ ,[b] 2. If e∗ is integral then ST an is independent of [b] and descends to a rational ∗ M,E (Γ; V ) denoted ST ean . function on Rep 3. We have

e∗ ,[b]

e∗

ST an = (Tan · π)2 . (20) Observation 5. Property 5) in Proposition 5 shows that up to multiplication with a root of unity the complex Ray–Singer torsion can be defined on all components of RepM (Γ; V ), since F = ⊕k E is trivial for sufficiently large k.

6. Milnor–Turaev and dynamical torsion 6.1. Milnor–Turaev torsion Consider a smooth triangulation τ of M , and choose a collection of orientations O of the simplices of τ . Let x0 ∈ M be a base point, and set Γ := π1 (M, x0 ). Let V be a finite-dimensional complex vector space. For a representation ρ ∈ Rep(Γ; V ),

58


consider the chain complex (Cτ∗ (M ; ρ), dO τ (ρ)) associated with the triangulation τ which computes the cohomology H ∗ (M ; ρ). Denote the set of simplices of dimension q by Xq , and set ki := (Xi )·dim(V ). Choose a collection of paths σ := {σs | s ∈ τ } from x0 to the barycenters of τ as in Section 3.1. Choose an ordering o of the barycenters and a framing of V . Using σ, o and one can identify Cτq (M ; ρ) with Ckq . We obtain in this way a map tO,σ,o, : Rep(Γ; V ) → D(k0 , . . . , kn ) ) to Dac (k0 , . . . , kn ). A look at the explicit definition of which sends dO τ (ρ) implies that tO,σ,o, is actually a regular map between two algebraic sets. Change of O, σ, o, changes the map tO,σ,o,. Recall that the triangulation τ determines Euler vector fields Xτ which together with σ determine an Euler structure e ∈ Eul(M ; Z), see Section 3.1. Note that the ordering o induces a cohomology orientation o in H ∗ (M ; R). In view of the arguments of [22] or [29] one can conclude (cf. [7]): RepM 0 (Γ; V

Proposition 6. If ρ ∈ RepM 0 (Γ; V ) different choices of τ, O, σ, o, provide the same composition τ · tO,σ,o,(ρ) provided they define the same Euler structure e and homology orientation o. In view of Proposition 6 we obtain a well-defined complex-valued rational function on RepM (Γ; V ) called the Milnor–Turaev torsion and denoted from now e,o on by Tcomb . Theorem 2. e,o are contained in Σ(M ), the subvariety of rep1. The poles and zeros of Tcomb ∗ resentations ρ with H (M ; ρ) = 0. e,o (ρ) calculated on ρ ∈ RepM 2. The absolute value of Tcomb 0 (Γ; V ) is the modified ∗ e ∗ Ray–Singer torsion Tan (ρ), where e = PD(e). e2 ,o e1 ,o e,−o 3. If e1 and e2 are two Euler structures then Tcomb = Tcomb ·dete2 −e1 and Tcomb = e,o M dim V (−1) ·Tcomb where dete2 −e1 is the regular function on Rep (Γ; V ) defined in Section 4.1. 4. When restricted to RepM,E (Γ; V ), E a complex vector bundle equipped with ∗ e,o 2 a non-degenerate symmetric bilinear form b (Tcomb ) = ST ean , where e∗ = PD(e). Parts 1) and 3) follow from the definition and the general properties of τ , part 2) can be derived from the work of Bismut–Zhang [2] cf. also [6], and part 4) is discussed in [10], Remark 5.11. and established in the generality stated as a consequence of the results in [28] and [11]. 6.2. Dynamical torsion Let X be a vector field on M satisfying (H), (EG), (L), (MS) and (NCT) from Section 2.4. Choose orientations O of the unstable manifolds. Let x0 ∈ M be a base point and set Γ := π1 (M, x0 ). Let V be a finite-dimensional complex vector space. For a representation ρ ∈ Rep(Γ; V ) consider the associated flat bundle


59

q (Fρ , ∇ρ ), and set CX (M ; ρ) := Γ(Fρ |Xq ), where Xq denotes the set of zeros of index q. Recall that for x ∈ X , y ∈ X and every homotopy class α ˆ ∈ Px,y parallel transport provides an isomorphism (ptραˆ )−1 : (Fρ )y → (Fρ )x . For x ∈ Xq and y ∈ Xq−1 consider the expression: O (ρ)x,y := IX,O α)(ptραˆ )−1 . (21) δX x,y (ˆ α∈P ˆ x,y

If the right-hand side of (21) is absolutely convergent for all x and y they provide q−1 q O a linear mapping δX (ρ) : CX (M; ρ) → CX (M ; ρ) which, in view of Proposi∗ O tion 1(3), makes CX (M ; ρ), δX (ρ) a cochain complex. There is an integration ∗ ∗ ∇ρ O → CX (M ; ρ), δX (ρ) which does not homomorphism IntO X (ρ) : Ω (M ; Fρ ), d always induce an isomorphism in cohomology. Recall that for every ρ ∈ Rep(Γ; V ) the composition tr ·ρ−1 : Γ → C factors through conjugacy classes to a function tr ·ρ−1 : [S 1 , M ] → C. Let us also consider the expression PX (ρ) := ZX (γ)(tr ·ρ−1 )(γ). (22) γ∈[S 1 ,M]

Again, the right-hand side of (22) will in general not converge. Proposition 7. There exists an open set U in RepM (Γ; V ), intersecting every irreducible component, s.t. for any representation ρ ∈ U we have: a) b) c) d)

O The differentials δX (ρ) converge absolutely. The integration IntO X (ρ) converges absolutely. The integration IntO X (ρ) induces an isomorphism in cohomology. If in addition dim V = 1, then

−1

ZX (γ)(tr ·ρ )(γ)

(23)

σ∈H1 (M;Z)/ Tor(H1 (M;Z)) [γ]∈σ

converges, cf. (22). Here the inner (finite) sum is over all γ ∈ [S 1 , M ] which give rise to σ ∈ H1 (M ; Z)/ Tor(H1 (M ; Z)). This proposition is a consequence of exponential growth property (EG) and requires (for d)) Hutchings–Lee or Pajitnov results. A proof in the case dim V = 1 is presented in [9]. The convergence of (23) is derived from the interpretation of this sum as the Laplace transform of a Dirichlet series with a positive abscissa of convergence. We expect d) to remain true for V of arbitrary dimension.10 In this case we make (22) precise by setting ZX (γ)(tr ·ρ−1 )(γ). (24) PX (ρ) := σ∈H1 (M;Z)/ Tor(H1 (M;Z)) [γ]∈σ 10 Even

more, we conjecture that (22) converges absolutely on an open set U as in Proposition 7.

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Observation 6. A Lyapunov closed one form ω for X permits to consider the family of regular functions PX;R , R ∈ R, on the variety Rep(Γ; V ) defined by: ˆ ˆ tr(ρ(θ) ˆ −1 ). PX;R (ρ) := ( (θ)/p( θ)) ˆ ˆ θ,−ω( θ)≤R

If (23) converges then limR→∞ PX;R exists for ρ in an open set of representations. We expect that by analytic continuation this can be defined for all representations except those in a proper algebraic subvariety. This is the case when dim V = 1 or, for V of arbitrary dimension, when the vector field X has only finitely many simple closed trajectories. In this case limR→∞ PX;R has an analytic continuation to a rational function on Rep(Γ; V ), see Section 8 below. As in Section 6.1, we choose a collection of paths σ := {σx | x ∈ X } from x0 to the zeros of X, an ordering o of X , and a framing of V . Using σ, o, we q (M ; ρ) with Ckq , where kq := (Xq ) · dim(V ). As in the previous can identify CX section we obtain in this way a holomorphic map ˆ ac (k0 , . . . , kn ). tO,σ,o , : U → D An ordering o of X is given by orderings oq of Xq , q = 0, 1, . . . , n. Two orderings o1 and o2 are equivalent if o1,q is obtained from o2,q by a permutation πq so that q sgn(πq ) = 1. We call an equivalence class of such orderings a rest point orientation. Let us write o for the rest point orientation determined by o . Moreover, let e denote the Euler structure represented by X and σ, see Observation 1. As in the previous section, the composition τ · tO,σ,o , : U \ Σ → C∗ is a holomorphic map which only depends on e and o , and will be denoted by e,o . Consider the holomorphic map PX : U → C defined by formula (22). The τX dynamical torsion is the partially defined holomorphic function

e,o · ePX : U \ Σ → C∗ . TXe,o := τX

The following result is based on a theorem of Hutchings–Lee and Pajitnov [17] cf. [9].

Theorem 3. If dim V = 1 the partially defined holomorphic function TXe,o has an e,o analytic continuation to a rational function equal to ±Tcomb . It is hoped that a generalization of Hutchings–Lee and Pajitnov results which will be elaborated in subsequent work [12] might led to the proof of the above result for V of arbitrary dimension.

7. Examples 7.1. Milnor–Turaev torsion for mapping tori and twisted Lefschetz zeta function Let Γ0 be a group, α : Γ0 → Γ0 an isomorphism and V a complex vector space. Denote by Γ := Γ0 ×α Z the group whose underlying set is Γ0 × Z and group operation (g , n) ∗ (g , m) := (αm (g ) · g , n + m). A representation ρ : Γ → GL(V )


61

determines a representation ρ0 (ρ) : Γ0 → GL(V ) the restriction of ρ to Γ0 × 0 and an isomorphism of V , θ(ρ) ∈ GL(V ). Let (X, x0 ) be a based point compact space with π1 (X, x0 ) = Γ0 and f : (X, x0 ) → (X, x0 ) a homotopy equivalence. For any integer k the map f induces the linear isomorphism f k : H k (X; V ) → H k (X; V ) and then the standard Lefschetz zeta function det(I − zf k ) . ζf (z) := k even k k odd det(I − zf ) More general if ρ is a representation of Γ then f and ρ = (ρ0 (ρ), θ(ρ)) induce the linear isomorphisms fρk : H k (X; ρ0 (ρ)) → H k (X; ρ0 (ρ)) and then the ρ-twisted Lefschetz zeta function ζf (ρ, z) :=

− zfρk ) . k odd det(I − zfρ )

k even det(I k

Let N be a closed connected manifold and ϕ : N → N a diffeomorphism. Without loss of generality one can suppose that y0 ∈ N is a fixed point of ϕ. Define the mapping torus M = Nϕ , the manifold obtained from N × I identifying (x, 1) with (ϕ(x), 0). Let x0 = (y0 , 0) ∈ M be a base point of M . Set Γ0 := π1 (N, n0 ) and denote by α : π1 (N, y0 ) → π1 (N, y0 ) the isomorphism induced by ϕ. We are in the situation considered above with Γ = π1 (M, x0 ). The mapping torus structure on M equips M with a canonical Euler structure e and canonical homology orientation o. The Euler structure e is defined by any vector field X with ω(X) < 0 where ω := p∗ dt ∈ Ω1 (M ; R); all are homotopic. The Wang sequence ϕ∗ ρ −id

· · · → H ∗ (M ; Fρ ) → H ∗ (N ; i∗ (Fρ )) −−−−→ H ∗ (N ; i∗ (Fρ )) → H ∗+1 (M ; Fρ ) → · · · (25) implies H ∗ (M ; Fρ ) = 0 iff det(I − ϕkρ ) = 0 for all k. The cohomology orientation is derived from the Wang long exact sequence for the trivial one-dimensional real representation. For details see [7]. We have e,o Proposition 8. With these notations Tcomb (ρ) = ζϕ (ρ, 1).

This result is known cf. [18]. A proof can be also derived easily from [7]. 7.2. Vector fields without rest points and Lyapunov cohomology class Let X be a vector field without rest points, and suppose X satisfies (L) and (NCT). As in the previous section X defines an Euler structure e. Consider the expression (22). By Theorem 3 we have: Observation 7. With the hypothesis above there exists an open set U ⊆ RepM (Γ; V ) so that (24) converges, and ePX is a well-defined holomorphic function on U . The function ePX has an analytic continuation to a rational function on RepM (Γ; V ) e,o equal to ±Tcomb . The set U intersects non-trivially each connected component of M Rep (Γ; V ).

62


7.3. The Alexander polynomial If M is obtained by surgery on a framed knot, and dim V = 1, then Rep(Γ; V ) = e,o C \ 0, and the function (z − 1)2 Tcomb equals the Alexander polynomial of the e,o knot. see [32]. One can extend the definition of Tcomb to compact manifolds with boundary and recover Alexander polynomial from this function when applied to the complement of an open neighborhood of the knot, see [32]. Any twisted Alexander e,o for V of higher dimension. polynomial of the knot can be also recovered from Tcomb e,o One expects that passing to higher-dimensional representations Tcomb captures even more subtle knot invariants.

8. Applications ∗

8.1. The invariant Ae (ρ1 , ρ2 ) Let M be a V -acyclic manifold and e∗ a coEuler structure. Using the modified Ray– Singer torsion we define a R/πZ-valued invariant (which resembles the Atiyah– Patodi–Singer spectral flow) for two representations ρ1 , ρ2 in the same component of RepM 0 (Γ; V ). By a holomorphic path in RepM 0 (Γ; V ) we understand a holomorphic map ρ˜ : U → RepM (Γ; V ) where U is an open neighborhood of the segment of real 0 numbers [1, 2] × {0} ⊂ C in the complex plane. For a coEuler structure e∗ and a holomorphic path ρ˜ in RepM 0 (Γ; V ) define

2 e∗ ∂(Tan ◦ ρ˜) e∗ ρ) := 2/i arg (˜ mod π. (26) e∗ ◦ ρ Tan ˜ 1 Here, for a smooth function ϕ of complex variable z, ∂ϕ denotes the complexvalued 1-form (∂ϕ/∂z)dz and the integration is along the path [1, 2] × 0 ⊂ U . Note that Observation 8. 1. Suppose E is a complex vector bundle with a non-degenerate bilinear form b, (Γ; V ). Then and suppose ρ˜ is a holomorphic path in RepM,E 0 ∗ ∗ ∗ e ,[b] e ,[b] arge (˜ ρ) = arg ST an (˜ ρ(2)) ST an (˜ ρ(1)) mod π. As consequence 2. If ρ˜ and ρ˜ are two holomorphic paths in RepM ˜ (1) = ρ˜ (1) 0 (Γ; V ) with ρ and ρ˜ (2) = ρ˜ (2) then ∗

∗

ρ ) = arge (˜ ρ ) arge (˜

mod π.

˜ (1) = 3. If ρ˜ , ρ˜ and ρ˜ are three holomorphic paths in RepM 0 (Γ; V ) with ρ ρ˜ (1), ρ˜ (2) = ρ˜ (1) and ρ˜ (2) = ρ˜ (2) then ∗

∗

∗

arge (˜ ρ ) = arge (˜ ρ ) + arge (˜ ρ ) mod π.


63 ∗

Observation 8 permits to define a R/πZ-valued numerical invariant Ae (ρ1 ,ρ2 ) associated to a coEuler structure e∗ and two representations ρ1 , ρ2 in the same connected component of RepM 0 (Γ; V ). If there exists a holomorphic path with ρ˜(1) = ρ1 and ρ˜(2) = ρ2 we set ∗

∗

ρ) mod π. Ae (ρ1 , ρ2 ) := arge (˜ Given any two representations ρ1 and ρ2 in the same component of RepM 0 (Γ; V ) one can always find a finite collection of holomorphic paths ρ˜i , 1 ≤ i ≤ k, in RepM ˜i (2) = ρ˜i+1 (1) for all 1 ≤ i < k, and such that ρ˜1 (1) = ρ1 0 (Γ; V ) so that ρ and ρ˜k (2) = ρ2 . Then take ∗

Ae (ρ1 , ρ2 ) :=

k

∗

arge (˜ ρi ) mod π.

i=1

In view of Observation 8 the invariant is well defined, and if e∗ is integral it is actually well defined in R/2πZ. This invariant was first introduced when the authors were not fully aware of “the complex Ray–Singer torsion.” The formula (26) is a more or less obvious expression of the phase of a holomorphic function in terms of its absolute value, the Ray–Singer torsion, as positive real-valued function. By Theorem 2 the invariant can be computed with combinatorial topology and by Section 7 quite explicitly in some cases. If the representations ρ1 , ρ2 are unimodular then the coEuler structure is irrelevant. It is interesting to compare this invariant to the Atiyah–Patodi–Singer spectral flow; it is not the same but are related. 8.2. Novikov conjecture Let X be a smooth vector field which satisfies (H), (L), (MS), (NCT). Suppose ω is a real-valued closed one form so that ω(X)x < 0, x not a rest point (Lyapunov X : R → Z and Z X : R → Q by form). Define the functions Ix,y X,O (R) := IX,O α) Ix,y x,y (ˆ α, ˆ ω(α) 0} does not intersect conv σ(A), then the half-line {ρei(ϑ0 +t) ∈ C : ρ > 0} does not intersect conv σ(zA), where z = reit . If log is the branch of the logarithm defined on the complement of the real negative half-line, then ϕ(x) = i(ϑ0 − π) + log(e−i(ϑ0 −π) x) is suitable for defining detτ (A), while ψ(x) = i(ϑ0 + t − π) + log(e−i(ϑ0 +t−π) x) is suitable for defining detτ (zA). Moreover, if Γ is the boundary of a connected, simply connected region Ω containing conv σ(A), then zΓ is the boundary of a connected, simply connected region zΩ containing conv σ(zA). Therefore,

1 detτ (zA) = exp ◦ τ ψ(λ)(λ − zA)−1 dλ 2πi zΓ

1 −i(ϑ0 +t−π) it −1 = exp ◦ τ (i(ϑ0 + t − π) + log(e re μ))(μ − A) dμ 2πi Γ

1 −1 = exp ◦ τ (log r + it)I + ϕ(μ)(μ − A) dμ 2πi Γ = z τ (I) detτ (A). (ii) When A = U H is normal, U = [0,2π] eiϑ du(ϑ), H = [0,∞) r dh(r), then A = [0,∞)×[0,2π] reiϑ d(h(r) ⊗ u(ϑ)). The property 0 ∈ conv σ(A) is equivalent to the fact that the support of the measure d(h(r) ⊗ u(ϑ)) is compactly contained in some open half-plane {ρeiϑ : ρ > 0, ϑ ∈ (ϑ0 − π/2, ϑ0 + π/2)},

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D. Guido, T. Isola and M.L. Lapidus

or, equivalently, that the support of the measure dh(r) is compactly contained in (0, ∞), and the support of the measure du(ϑ) is compactly contained in (ϑ0 − π/2, ϑ0 + π/2). Therefore A ∈ A0 is equivalent to U, H ∈ A0 . Then (log r + iϑ) d(h(r) ⊗ u(ϑ)), log A = [0,∞)×(ϑ0 −π/2,ϑ0 +π/2)

which implies that

2

detτ (A) = exp ◦ τ

∞

3

ϑ0 +π/2

log r dh(r) +

iϑ du(ϑ) ϑ0 −π/2

0

= detτ (U ) · detτ (H).

(iii) Follows by the above argument.

Remark 5.5. We note that the above-defined determinant function strongly violates the product property detτ (AB) = detτ (A) detτ (B). Indeed, the fact that

1 0 A, B ∈ A0 does not imply AB ∈ A0 , as is seen, e.g., by taking A = B = . 0 i Moreover, even if A, B, AB ∈ A0 and A and B commute, the product property

1 0 may be violated, as is shown by choosing A = B = , and using the 0 e3iπ/4 normalized trace on 2 × 2 matrices.

6. The determinant formula In this section, we prove the main result in the theory of Ihara zeta functions, which says that Z is the reciprocal of a holomorphic function, which, up to a factor, is the determinant of a deformed Laplacian on the graph. We first√need some technical 2 results. Let us recall that d := supv∈V X deg(v), and α := d+ d2 +4d . Lemma 6.1. m (I − Au + Qu2 ) = (1 − u2 )I, for |u| < α1 , (i) mu m≥0 A [m/2] m (ii) A (I − Au + Qu2 ) = I, for |u| < m−2k u m≥0 k=0

1 α.

Proof. (i) From Lemma 3.1 we obtain

m Am u (I − Au + Qu2 ) = Am um − Am Aum+1 − Am Qum+2 m≥0

=

=

m≥0

m≥0

Am u − A0 Au − A1 Au + A0 Qu2 m≥0 − (Am−1 A − Am−2 Q) um

2

m

m≥3

Am um − Au − A2 u2 + Qu2 −

m≥0

m≥3

= I + Au + A2 u − Au − A u + Qu2 2

= (1 − u2 )I.

2 2

Am um

Ihara Zeta Functions for Periodic Simple Graphs I = (1 − u2 )−1

(ii)

=

Am u

∞

∞

u (I − Au + Qu2 ) 2j

j=0

m≥0

=

Am um (I − Au + Qu2 )

m≥0 m

115

Ak u

k+2j

(I − Au + Qu2 )

k≥0 j=0

=

[m/2] m≥0

Am−2j um (I − Au + Qu2 ).

Lemma 6.2. Denote by Bm := Am − (Q − I) Then (i) B0 = I, B1 = A, [m/2] (ii) Bm = QAm − (Q − I) k=0 Am−2k , (iii) T rΓ Bm =

(iv)

m≥1

Nm − T rΓ (Q − I) Nm

[m/2] k=1

Am−2k ∈ N(X, Γ), for m ≥ 0.

m even m odd,

−1 1 Bm um = Au − 2Qu2 I − Au + Qu2 , for |u| < . α

Proof. (i), (ii) follow from computations involving bounded operators. (iii) It follows from Lemma 3.2 (ii) that, if m is odd, T rΓ Bm = T rΓ (Am ) − tm = Nm , whereas, if m is even, T rΓ Bm = T rΓ (Am ) − tm − T rΓ ((Q − I)A0 ) = Nm − T rΓ (Q − I). (iv)

Bm um (I − Au + Qu2 )

m≥0

[m/2] m m = Q Am u − (Q − I) Am−2j u (I − Au + Qu2 ) m≥0

m≥0 j=0

[m/2] Am−2j um (I − Au + Qu2 ) = Q(1 − u2 )I − (Q − I) m≥0 j=0

= (1 − u )Q − (Q − I) = I − u2 Q, 2

j=0

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D. Guido, T. Isola and M.L. Lapidus

where the second equality follows by Lemma 6.1 (i) and the third equality follows by Lemma 6.1 (ii). Since B0 = I, we get

m Bm u (I − Au + Qu2 ) = I − u2 Q − B0 (I − Au + Qu2 ) m≥1

= Au − 2Qu2 .

Lemma 6.3. Let f : u ∈ Bε ≡ {u ∈ C : |u| < ε} → f (u) ∈ N(X, Γ), be a C 1 function, f (0) = 0, and f (u) < 1, for all u ∈ Bε . Then

d T rΓ − log(I − f (u)) = T rΓ f (u)(I − f (u))−1 . du 1 n Proof. To begin with, − log(I − f (u)) = n≥1 n f (u) , converges in operator norm, uniformly on compact subsets of Bε . Moreover, n−1 d f (u)n = f (u)j f (u)f (u)n−j−1 . du j=0

d j n−j−1 log(I − f (u)) = n≥1 n1 n−1 , so that Therefore, − du j=0 f (u) f (u)f (u)

n−1 1 d T rΓ − log(I − f (u)) = T rΓ f (u)j f (u)f (u)n−j−1 du n j=0 n≥1 = T rΓ (f (u)n−1 f (u)) n≥1

= T rΓ

f (u)n f (u)

n≥0

= T rΓ (f (u)(I − f (u))−1 ), where we have used the fact that T rΓ is norm continuous. Corollary 6.4. ⎛ T rΓ ⎝

m≥1

⎞

1 d Bm um ⎠ = T rΓ −u log(I − Au + Qu2 ) , |u| < . du α

Proof. It follows from Lemma 6.2 (iv) that

m T rΓ = T rΓ ((Au − 2Qu2 )(I − Au + Qu2 )−1 ) Bm u m≥1

d = T rΓ −u log(I − Au + Qu2 ) , du where the last equality follows from the previous lemma applied with f (u) := Au − Qu2 .

Ihara Zeta Functions for Periodic Simple Graphs

117

Observe that for the L2 -Euler characteristic of X we have 1 χ(2) (X) := − T rΓ (Q − I) = |V (B)| − |E(B)| = χ(B), 2 where χ(B) is the Euler characteristic of the quotient graph B = X/Γ. Theorem 6.5 (Determinant formula). 1 1 = (1 − u2 )−χ(B) detΓ (I − Au + Qu2 ), for |u| < . ZX,Γ (u) α

Proof.

T rΓ

Bm um

=

m≥1

T rΓ (Bm )um

m≥1

=

Nm u m −

m≥1

=

T rΓ (Q − I)u2k

k≥1

Nm um − T rΓ (Q − I)

m≥1

u2 , 1 − u2

where the second equality follows by Lemma 6.2 (iii). Therefore, d u logZX,Γ (u) = Nm u m du m≥1

u d d log(1 − u2 )T rΓ (Q − I) = T rΓ −u log(I − Au + Qu2 ) − du 2 du so that, dividing by u and integrating from u = 0 to u, we get 1 log ZX,Γ (u) = −T rΓ log(I − Au + Qu2 ) − T rΓ (Q − I) log(1 − u2 ), 2 which implies that, for |u|
0.

(1)

By the adiabatic limit, we will mean the asymptotic behavior of Riemannian manifolds (M, gh ) as h → 0. In this form, the notion of the adiabatic limit was introduced by Witten [38] in the study of the global anomaly. He considered a family of Dirac operators acting along the fibers of a Riemannian fiber bundle over the circle and gave an argument relating the holonomy of the determinant line bundle of this family to the adiabatic limit of the eta invariant of the Dirac operator on the total space. Witten’s result was proved rigorously in [6], [7] and [10], and extended to general Riemannian bundles in [5] and [13]. This study gave rise to the development of adiabatic limit technique for analyzing the behavior of certain spectral invariants under degeneration that has many applications in the local index theory (see, for instance, [8]). New properties of adiabatic limits were discovered by Mazzeo and Melrose [30]. They showed that in the case of a fibration, a Taylor series analysis of so called small eigenvalues in the adiabatic limit and the corresponding eigenforms leads directly to a spectral sequence, which is isomorphic to the Leray spectral sequence. This result was used in [13], and further developed in [16], where the very general setting of any pair of complementary distributions is considered. Nevertheless, the most interesting results of [16] are only proved for foliations satisfying very restrictive conditions. The ideas from [30] and [16] were also applied in the case of the contact-adiabatic (or sub-Riemannian) limit in [18, 36]. In this paper, we will discuss extensions of the results mentioned above to the adiabatic limits on foliated manifolds. For any h > 0, we will consider the Laplace operator Δh on differential forms defined by the metric gh . It is a selfadjoint, elliptic, differential operator with the positive, scalar principal symbol in the Hilbert space L2 (M, ΛT ∗ M, gh ) of square integrable differential forms on M , endowed with the inner product induced by gh , which has discrete spectrum. Denote by 0 ≤ λ0 (h) ≤ λ1 (h) ≤ λ2 (h) ≤ · · · the spectrum of Δh , taking multiplicities into account. In Section 1, we discuss the asymptotic behavior as h → 0 of the trace of f (Δh ): +∞ tr f (Δh ) = f (λi (h)), i=0

for any sufficiently nice function f , say, for f ∈ S(R). The results given in this section should be viewed as a very first step in extending the adiabatic limit technique to analyze the behavior of spectral invariants to the case of foliations. In Section 2 we study “branches” of eigenvalues λi (h) that are convergent to zero as h → 0 (the “small” eigenvalues) and the corresponding eigenspaces

Adiabatic Limits and the Spectrum of Foliations

125

and discuss the differentiable spectral sequence of the foliation, which is a direct generalization of the Leray spectral sequence, and its Hodge theoretic description. We will consider two basic classes of foliations – Riemannian foliations and one-dimensional foliations defined by the orbits of invariant flows on Riemannian Heisenberg manifolds. We remark that the adiabatic limit is, up to scaling, an example of collapsing (in general, without bounded curvature) in the sense of [9]. For a discussion of the behavior of the spectrum of the differential form Laplacian on a compact Riemannian manifold under collapse, we refer, for instance, to [4, 11, 17, 22, 27] and references therein. ´ We are grateful to J. Alvarez López for useful discussions. We also thank the referee for suggestions to improve the paper.

1. Adiabatic limits and eigenvalue distribution Let (M, F ) be a closed foliated manifold, endowed with a Riemannian metric g. In this section, we will discuss the asymptotic behavior of the trace of f (Δh ) in the adiabatic limit. 1.1. Riemannian foliations For Riemannian foliations, the problem was studied in [25]. Recall (see, for instance, [33, 34, 31, 32]) that a foliation F is called Riemannian, if there exists a Riemannian metric g on M such that the induced metric gτ on the normal bundle τ = T M/F is holonomy invariant, or, equivalently, in any foliated chart φ : U → I p × I q with local coordinates (x, y), the restriction gH of g to H = F ⊥ is written in the form q gαβ (y)θα θβ , gH = α,β=1 ∗

where θ ∈ H is the 1-form, corresponding to the form dy α under the isomorphism H∗ ∼ = T ∗ Rq , and gαβ (y) depend only on the transverse variables y ∈ Rq . Such a Riemannian metric is called bundle-like. It turns out that the adiabatic spectral limit on a Riemannian foliation can be considered as a semiclassical spectral problem for a Schrödinger operator on the leaf space M/F , and the resulting asymptotic formula for the trace of f (Δh ) can be written in the form of the semiclassical Weyl formula for a Schr¨ odinger operator on a compact Riemannian manifold, if we replace the classical objects, entering to this formula by their noncommutative analogues. This observation provides a very natural interpretation of the asymptotic formula for the trace of f (Δh ) (see Theorem 1.1 below). First, we transfer the operators Δh to the fixed Hilbert space α

L2 Ω = L2 (M, ΛT ∗ M, g),

126

Yu.A. Kordyukov and A.A. Yakovlev

using an isomorphism Θh from L2 (M, ΛT ∗ M, gh ) to L2 Ω defined as follows. With respect to a bigrading on ΛT ∗M given by Λk T ∗ M =

k 6

Λi,k−i T ∗ M,

Λi,j T ∗ M = Λi H ∗ ⊗ Λj F ∗ ,

i=0

we have, for u ∈ L (M, Λi,j T ∗ M, gh ), 2

Θh u = hi u. 2

(2)

∗

The operator Δh in L (M, ΛT M, gh ) corresponds under the isometry Θh to the 2 operator Lh = Θh Δh Θ−1 h in L Ω. With respect to the above bigrading of ΛT ∗M , the de Rham differential d can be written as d = dF + dH + θ, where 1. dF = d0,1 : C ∞ (M, Λi,j T ∗ M ) → C ∞ (M, Λi,j+1 T ∗ M ) is the tangential de Rham differential, which is a first-order tangentially elliptic operator, independent of the choice of g; 2. dH = d1,0 : C ∞ (M, Λi,j T ∗ M ) → C ∞ (M, Λi+1,j T ∗ M ) is the transversal de Rham differential, which is a first-order transversally elliptic operator; 3. θ = d2,−1 : C ∞ (M, Λi,j T ∗ M ) → C ∞ (M, Λi+2,j−1 T ∗ M ) is a zeroth-order differential operator. One can show that 2 dh = Θh dΘ−1 h = dF + hdH + h θ, and the adjoint of dh in L2 Ω is 2 ∗ δh = Θh δΘ−1 h = δF + hδH + h θ .

Therefore, one has Lh = dh δh + δh dh = ΔF + h2 ΔH + h4 Δθ + hK1 + h2 K2 + h3 K3 , where ΔF = dF d∗F + d∗F dF is the tangential Laplacian, ΔH = dH d∗H + d∗H dH is the transverse Laplacian, Δθ = θθ∗ + θ∗ θ and K2 = dF θ∗ + θ∗ dF + δF θ + θδF are of zeroth order, and K1 = dF δH + δH dF + δF dH + dH δF and K3 = dH θ∗ + θ∗ dH + δH θ + θδH are first-order differential operators. Suppose that F is a Riemannian foliation and g is a bundle-like metric. The key observation is that, in this case, the transverse principal symbol of the operator δH is holonomy invariant, and, therefore, the first order-differential operator K1 is a leafwise differential operator. Using this fact, one can show that the leading term in the asymptotic expansion of the trace of f (Δh ) or, equivalently, of the trace of f (Lh ) as h → 0 coincides with the leading term in the asymptotic expansion of ¯ h ) as h → 0, where the trace of f (L ¯ h = ΔF + h2 ΔH . L


127

More precisely, we have the following estimates (with some C1 , C2 > 0): ¯ h )| < C2 h1−q , 0 < h ≤ 1, | tr f (Lh )| < C1 h−q , | tr f (Lh ) − tr f (L where we recall that q denotes the codimension of F . ¯ h has the form of a Schr¨ We observe that the operator L odinger operator on the leaf space M/F , where ΔH plays the role of the Laplace operator, and ΔF the role of the operator-valued potential on M/F . Recall that, for a Schr¨ odinger operator Hh on a compact Riemannian manifold X, dim X = n, with a matrix-valued potential V ∈ C ∞ (X, L(E)), where E is a finite-dimensional Euclidean space and V (x)∗ = V (x): Hh = −h2 Δ + V (x),

x ∈ X,

the corresponding asymptotic formula (the semiclassical Weyl formula) has the following form: tr f (Hh ) = (2π)−n h−n Tr f (p(x, ξ)) dx dξ + o(h−n ), h → 0+, (3) T ∗X

∞

∗

where p ∈ C (T X, L(E)) is the principal h-symbol of Hh : p(x, ξ) = |ξ|2 + V (x),

(x, ξ) ∈ T ∗ X.

Now we demonstrate how the asymptotic formula for the trace of f (Δh ) in the adiabatic limit can be written in a similar form, using noncommutative geometry. (For the basic information on noncommutative geometry of foliations, we refer the reader to [26] and references therein.) Let G be the holonomy groupoid of F . Let us briefly recall its definition. Denote by ∼h the equivalence relation on the set of piecewise smooth leafwise paths γ : [0, 1] → M , setting γ1 ∼h γ2 if γ1 and γ2 have the same initial and final points and the same holonomy maps. The holonomy groupoid G is the set of ∼h equivalence classes of leafwise paths. G is equipped with the source and the range maps s, r : G → M defined by s(γ) = γ(0) and r(γ) = γ(1). Recall also that, for any x ∈ M , the set Gx = {γ ∈ G : r(γ) = x} is the covering of the leaf Lx through the point x, associated with the holonomy group of the leaf. We will identify any x ∈ M with the element of G given by the constant path γ(t) = x, t ∈ [0, 1]. Let λL denote the Riemannian volume form on a leaf L given by the induced metric, and λx , x ∈ M , denote the lift of λLx via the holonomy covering map s : Gx → Lx . Denote by π : N ∗ F → M the conormal bundle to F and by FN the linearized foliation in N ∗ F (cf., for instance, [32, 26]). Recall that, for any γ ∈ G, s(γ) = x, r(γ) = y, the codifferential of the corresponding holonomy map defines a linear map dh∗γ : Ny∗ F → Nx∗ F . Then the leaf of the foliation FN through ν ∈ N ∗ F is the set of all dh∗γ (ν) ∈ N ∗ F , where γ ∈ G, r(γ) = π(ν). The holonomy groupoid GFN of the linearized foliation FN can be described as the set of all (γ, ν) ∈ G × N ∗ F such that r(γ) = π(ν). The source map sN : GFN → N ∗ F and the range map rN : GFN → N ∗ F are defined as sN (γ, ν) = dh∗γ (ν) and rN (γ, ν) = ν. We have a map πG : GFN → G given by πG (γ, ν) = γ.

128


Denote by L(π ∗ ΛT ∗M ) the vector bundle on GFN , whose fiber at a point (γ, ν) ∈ GFN is the space of linear maps (π ∗ ΛT ∗ M )sN (γ,ν) → (π ∗ ΛT ∗ M )rN (γ,ν) . There is a standard way (due to Connes [12]) to introduce the structure of involutive algebra on the space Cc∞ (GFN , L(π ∗ ΛT ∗M )) of smooth, compactly supported sections of L(π ∗ ΛT ∗ M ). For any ν ∈ N ∗ F , this algebra has a natural representation Rν in the Hilbert space L2 (GνFN , s∗N (π ∗ ΛT ∗ M )) that determines its embedding to the C ∗ -algebra of all bounded operators in L2 (GFN , s∗N (π ∗ ΛT ∗ M )). Taking the closure of the image of this embedding, we get a C ∗ -algebra, called the twisted foliation C ∗ -algebra and denoted by C ∗ (N ∗ F , FN , π ∗ ΛT ∗ M ). The leaf space N ∗ F /FN can be informally considered as the cotangent bundle to M/F , and the algebra C ∗ (N ∗ F , FN , π ∗ ΛT ∗ M ) can be viewed as a noncommutative analogue of the algebra of continuous vector-valued differential forms on this singular space. Let gN ∈ C ∞ (N ∗ F ) be the fiberwise Riemannian metric on N ∗ F induced by the metric on M . The principal h-symbol of Δh is a tangentially elliptic operator in C ∞ (N ∗ F , π ∗ ΛT ∗ M ) given by σh (Δh ) = ΔFN + gN , where ΔFN is the lift of the tangential Laplacian ΔF to a tangentially elliptic (relative to FN ) operator in C ∞ (N ∗ F , π ∗ ΛT ∗ M ), and gN denotes the multiplication operator in C ∞ (N ∗ F , π ∗ ΛT ∗ M ) by the function gN . (Observe that gN coincides with the transversal principal symbol of ΔH .) Consider σh (Δh ) as a family of elliptic operators along the leaves of the foliation FN and lift these operators to the holonomy coverings of the leaves. For any ν ∈ N ∗ F , we get a formally self-adjoint uniformly elliptic operator σh (Δh )ν in C ∞ (GνFN , s∗N (π ∗ ΛT ∗M )), which essentially self-adjoint in the Hilbert space L2 (GνFN , s∗N (π ∗ ΛT ∗ M )). For any f ∈ S(R), the family {f (σh (Δh )ν ), ν ∈ N ∗ F } defines an element f (σh (Δh )) of the C ∗ -algebra C ∗ (N ∗ F , FN , π ∗ ΛT ∗ M ). The foliation FN has a natural transverse symplectic structure, which can be described as follows. Consider a foliated chart κ : U ⊂ M → I p × I q on M with coordinates (x, y) ∈ I p × I q (I is the open interval (0, 1)) such that the restriction of F to U is given by the sets y = const. One has the corresponding coordinate chart in T ∗ M with coordinates denoted by (x, y, ξ, η) ∈ I p × I q × Rp × Rq . In these coordinates, the restriction of the conormal bundle N ∗ F to U is given by the equation ξ = 0. So we have a coordinate chart κn : U1 ⊂ N ∗ F −→ I p × I q × Rq on N ∗ F with the coordinates (x, y, η) ∈ I p × I q × Rq . Indeed, the coordinate chart κn is a foliated coordinate chart for FN , and the restriction of FN to U1 is given by the level sets y = const, η = const. The transverse symplectic structure for FN is given by the transverse two-form j dyj ∧ dηj . The corresponding canonical transverse Liouville measure dy dη is holonomy invariant and, by noncommutative integration theory [12], defines the trace trFN on the C ∗ -algebra C ∗ (N ∗ F , FN , π ∗ ΛT ∗M ). Combining the Riemannian volume


129

forms λL and the transverse Liouville measure, we get a volume form dν on N ∗ F . For any k ∈ Cc∞ (GFN , L(π ∗ ΛT ∗ M )), its trace is given by the formula trFN (k) = k(ν)dν. N ∗F

The trace trFN is a noncommutative analogue of the integral over the leaf space N ∗ F /FN with respect to the transverse Liouville measure. One can show that the value of this trace on f (σh (Δh )) is finite. Replacing in the formula (3) the integration over T ∗ X and the matrix trace Tr by the trace trFN and the principal h-symbol p by σh (Δh ), we obtain the correct formula for tr f (Δh ) in the adiabatic limit. Theorem 1.1 ([25]). For any f ∈ S(R), the asymptotic formula holds: tr f (Δh ) = (2π)−q h−q trFN f (σh (Δh )) + o(h−q ),

h → 0.

(4)

The formula (4) can be rewritten in terms of the spectral data of leafwise Laplace operators. We will formulate the corresponding result for the spectrum distribution function Nh (λ) = {i : λi (h) ≤ λ}. Restricting the tangential Laplace operator ΔF to the leaves of the foliation F and lifting the restrictions to the holonomy coverings of leaves, we get the the Laplacian Δx acting in Cc∞ (Gx , s∗ ΛT ∗ M ). Using the assumption that F is Riemannian, it can be checked that, for any x ∈ M , Δx is formally self-adjoint in L2 (Gx , s∗ ΛT ∗ M ), that, in turn, implies its essential self-adjointness in this Hilbert space (with initial domain Cc∞ (Gx , s∗ ΛT ∗ M )). For each λ ∈ R, let Ex (λ) be the spectral projection of Δx , corresponding to the semi-axis (−∞, λ]. The Schwartz kernels of the operators Ex (λ) define a leafwise smooth section eλ of the bundle L(ΛT ∗ M ) over G. We introduce the spectrum distribution function NF (λ) of the operator ΔF by the formula Tr eλ (x) dx, λ ∈ R, NF (λ) = M

where dx denotes the Riemannian volume form on M . By [24], for any λ ∈ R, the function Tr eλ is a bounded measurable function on M , therefore, the spectrum distribution function NF (λ) is well defined and takes finite values. As above, one can show that the family {Ex (λ) : x ∈ M } defines an element E(λ) of the twisted von Neumann foliation algebra W ∗ (G, ΛT ∗ M ), the holonomy invariant transverse Riemannian volume form for F defines a trace trF on W ∗ (G, ΛT ∗ M ), and the right-hand side of the last formula can be interpreted as the value of this trace on E(λ).

130


Theorem 1.2 ([25]). Let (M, F ) be a Riemannian foliation, equipped with a bundlelike Riemannian metric g. Then the asymptotic formula for Nh (λ) has the following form: λ (4π)−q/2 Nh (λ) = h−q (λ − τ )q/2 dτ NF (τ ) + o(h−q ), h → 0. Γ((q/2) + 1) −∞ 1.2. A linear foliation on the 2-torus In this section, we consider the simplest example of the situation studied in the previous section, namely, the example of a linear foliation on the 2-torus. So consider the two-dimensional torus T2 = R2 /Z2 with the coordinates (x, y) ∈ R2 , taken modulo integer translations, and the Euclidean metric g on T2 : g = dx2 + dy 2 . be the vector field on R2 given by Let X = ∂ +α ∂ , X ∂x ∂y is translation invariant, it determines a vector field X on T2 . where α ∈ R. Since X The orbits of X define a one-dimensional foliation F on T2 . The leaves of F are (x ,y ) = {(x0 + t, y0 + tα) : t ∈ R}, parameterized the images of the parallel lines L 0 0 2 by (x0 , y0 ) ∈ R , under the projection R2 → T2 . In the case when α is rational, all leaves of F are closed and are circles, and F is given by the fibers of a fibration of T2 over S1 . In the case when α is irrational, all leaves of F are everywhere dense in T2 . The one-parameter family gh of Riemannian metrics on T2 defined by (1) is given by 1 + h−2 α2 2 1 − h−2 α2 + h−2 2 dx + 2α dxdy + dy . gh = 1 + α2 1 + α2 1 + α2 The Laplace operator (on functions) defined by gh has the form Δh = ΔF +h2 ΔH , where

2

2 ∂ ∂ ∂ 1 h2 ∂ + α + , Δ = − ΔF = − −α H 1 + α2 ∂x ∂y 1 + α2 ∂x ∂y are the tangential and the transverse Laplace operators respectively. The operator Δh has a complete orthogonal system of eigenfunctions ukl (x, y) = e2πi(kx+ly) ,

(x, y) ∈ T2 ,

with the corresponding eigenvalues

1 h2 2 2 λkl (h) = (2π)2 (k + αl) + (−αk + l) , 1 + α2 1 + α2

(k, l) ∈ Z2 .

The eigenvalue distribution function of Δh has the form

1 h2 2 2 Nh = #{(k, l) ∈ Z2 : (2π)2 (k + αl) + (−αk + l) < λ}. 1 + α2 1 + α2

(5)


131

Thus we come to the following problem of number theory: Problem 1.3. Find the asymptotic for h → 0 of the number of integer points in the ellipse

1 h2 2 2 {(ξ, η) ∈ R2 : (2π)2 (ξ + αη) + (−αξ + η) < λ}. 1 + α2 1 + α2 In the case when α is rational, this problem can be easily solved by elementary methods of analysis. In the case when α is irrational, such an elementary solution seems to be unknown, and, in order to solve the problem, the connection of this problem with the spectral theory of the Laplace operator and with adiabatic limits plays an important role. Theorem 1.4 ([40]). The following asymptotic formula for the spectrum distribution function Nh (λ) of the operator Δh for a fixed λ ∈ R holds: 1 For α ∈ Q, 1 −1 Nh (λ) = h λ + o(h−1 ), h → 0. (6) 4π p 2. For α ∈ Q of the form α = q , where p and q are coprime,

Nh (λ) = h−1

√

√k∈Z |k|< 2πλ p2 +q2

1 4π 2 ! (λ − 2 k 2 )1/2 + o(h−1 ), p + q2 π p2 + q 2

h → 0. (7)

Remark 1. The asymptotic formulas (6) and (7) of Theorem 1.4 look quite different. Nevertheless, it can be shown that 1 4π 2 1 ! lim λ. (λ − 2 k 2 )1/2 = 2 2 2 p→+∞ p +q 4π π p +q q→+∞ √k∈Z √ λ 2 2 |k|
0.

We get that the spectrum distribution function NF (λ) of the operator ΔF has the form: 1√ eλ (x, y)dxdy = λ, λ > 0. NF (λ) = π T2 By Theorem 1.2, we obtain 1 λ (λ − τ )1/2 dτ NF (τ ) + o(h−1 ) Nh (λ) = h−1 π −∞ 1 −1 h λ + o(h−1 ), h → 0. = 4π Case 2: α ∈ Q of the form α = pq , where p and q are coprime. In this case, the holonomy groupoid is T2 × (R/qZ). The leaf L(x,y) through any (x, y) is the ! circle {(x + t, y + αt) : t ∈ R/qZ} of length l = p2 + q 2 . The restriction of the operator ΔF to each L(x,y) coincides with the operator A=−

d2 1 , 2 1 + α dt2

√ acting in the space L2 (R/qZ, 1 + α2 dt).


133

Using the Fourier transform, √ it is easy to see that the kernel of the spectral projection χλ (A) in L2 (R/qZ, 1 + α2 dt) is given by the formula 2πi 1 e q k(t−t1 ) . Eλ (t, t1 ) = ! 2 2 p +q √k∈Z √ 2 2 λ |k|
0, we have as h → 0 2 η h−2 +∞ −tΔh tr e e−tη dη + o(h−2 ). = 4π −∞ sinh(tη)

(9)

Remark 3. The formula (9) looks quite different from what we have in the case of a Riemannian foliation. For instance, if F is a one-dimensional Riemannian foliation on a three-dimensional closed Riemannian manifold M given by the orbits of an non-singular isometric flow such that the set of closed orbits has measure zero, then, by Theorem 1.1 (or, equivalently, by Theorem 1.2), the asymptotic formula for the trace of the heat operator e−tΔh in the adiabatic limit has the following form: for any t > 0, h−2 +∞ −tη2 −tΔh = e dη + o(h−2 ) tr e 4πt −∞ h−2 = √ + o(h−2 ), h → 0. 4 πt3 So, in comparison with the case of Riemannian foliations, the formula (9) contains tη related with the distortion of the transverse part of an additional factor sinh(tη) the Riemannian metric along the orbits of the flow. Remark 4. It would be quite interesting to write the formula (9) in a form similar to the formula (4).

2. Adiabatic limits and differentiable spectral sequence In this section, we will discuss the problem of “small eigenvalues” of the Laplace operator in the adiabatic limit and its relation with the differentiable spectral sequence of the foliation. We will start with some background information on the differentiable spectral sequence. 2.1. Preliminaries on the differentiable spectral sequence As usual, let F be a codimension q foliation on a closed manifold M . The differentiable spectral sequence (Ek , dk ) of F is a direct generalization of (the differentiable version of) the Leray spectral sequence for fibrations, which converges to the de Rham cohomology of M . Denote by Ω the space of smooth differential forms and by Ωr the space of smooth differential r-forms on M . Similar to the bundle case, the differentiable


137

spectral sequence (Ek , dk ) of F is defined by the decreasing filtration by differential subspaces Ω = Ω0 ⊃ Ω1 ⊃ · · · ⊃ Ωq ⊃ Ωq+1 = 0 , r where the space Ωk of r-forms of filtration degree ≥ k consists of all ω ∈ Ωr such that iX ω = 0 for all X = X1 ∧ · · · ∧ Xr−k+1 , where the Xi are vector fields tangent to the leaves. Roughly speaking, ω in Ωrk iff it is of degree ≥ k transversely to the leaves. Recall that the induced spectral sequence (Ek , dk ) is defined in the following standard way (see, for instance, [28]): u,v Zku,v = Ωu+v , Z∞ ∩ d−1 Ωu+v+1 = Ωu+v ∩ ker d , u u u+k u,v u+v−1 u+v u,v u+v Bk = Ωu ∩ d Ωu−k , B∞ = Ωu ∩ Im d , Eku,v =

Zku,v u+1,v−1 u,v Zk−1 + Bk−1

,

u,v E∞ =

u,v Z∞ u+1,v−1 u,v . Z∞ + B∞

u,v u,v = 0, so E0u,v = Ωu+v /Ωu+v → We assume B−1 u u+1 . Each homomorphism dk : Ek u+k,v−k+1 is canonically induced by d. Ek The terms E10,∗ and E2∗,0 are respectively called leafwise cohomology and basic cohomology, and E2∗,p is isomorphic to the transverse cohomology [20] (also called Haefliger cohomology). The C ∞ topology of Ω induces a topological vector space structure on each term Ek such that dk is continuous. A subtle problem here is that Ek may not be Hausdorff [20]. So it makes sense to consider the subcomplex given by the closure k = Ek /¯0k , of the trivial subspace, ¯ 0k ⊂ Ek , as well as the quotient complex E whose differential operator will be also denoted by dk .

2.2. Riemannian foliations For a Riemannian foliation F , each term Ek of the differentiable spectral sequence k (Ek , dk ) is Hausdorff of finite dimension if k ≥ 2, and H(¯01 ) = 0. So Ek ∼ = E for k ≥ 2. The proof of this result given in [29] uses the structure theorem for Riemannian foliations due to Molino [31, 32] to reduce the problem to transitive foliations, and, for transitive foliations, it uses a construction of a parametrix for the de Rham complex given by Sarkaria [37]. Moreover, it turns out that, for k ≥ 2, the terms Ek are homotopy invariants of Riemannian foliations [3]. (This result generalizes a previous work showing the topological invariance of the basic cohomology [15].) Now return to adiabatic limits. So let g be a Riemannian metric on M and gh be the one-parameter family of metrics defined by (1). Denote by Δrh the Laplace operator on differential r-forms on M defined by gh , and by 0 ≤ λr0 (h) ≤ λr1 (h) ≤ λr2 (h) ≤ · · · its spectrum (with multiplicities). It is well known that the eigenvalues of the Laplacian on differential forms vary continuously under continuous perturbations of the metric, and thus the “branches” of eigenvalues λri (h) depend continuously

138


on h > 0. In this section, we shall only consider the “branches” λri (h) that are convergent to zero as h → 0; roughly speaking, the “small” eigenvalues. The asymptotics as h → 0 of these metric invariants are related to the differential r and the homotopy invariants E r , k ≥ 2, as follows. invariant E 1 k Theorem 2.1 ([1]). With the above notation, for Riemannian foliations on closed Riemannian manifolds we have

r = i λr (h) = O h2 dim E as h → 0 , 1 i

as h → 0 , k ≥ 2 . dim Ekr = i λri (h) = O h2k We refer to [23] for a particular form of this theorem in the case of Riemannian flows. As a part of the proof of Theorem 2.1 and also because of its own interest, the asymptotics of eigenforms of Δh corresponding to “small” eigenvalues were also studied. This study was begun in [30] for the case of Riemannian bundles, and continued in [16] for general complementary distributions. Here we formulate the results obtained in [1] for the case of Riemannian foliations. Recall that Θh is an isomorphism of Hilbert spaces, which moves our setting to the fixed Hilbert space L2 Ω (see (2)). The “rescaled Laplacian” Lh = Θh Δh Θ−1 h has the same spectrum as Δh , and eigenspaces of Δh are transformed into eigenspaces of Lh by Θh . It turns out that eigenspaces of Lh corresponding to “small” eigenvalues are convergent as h → 0 when the metric g is bundle-like, and the limit is given by a nested sequence of bigraded subspaces, Ω ⊃ H1 ⊃ H2 ⊃ H3 ⊃ · · · ⊃ H∞ . The definition of H1 , H2 was given in [2] as a Hodge theoretic approach to (E1 , d1 ) and (E2 , d2 ), which is based on the study of leafwise heat flow. The space H1 is defined as the space of smooth leafwise harmonic forms: H1 = {ω ∈ Ω : ΔF ω = 0}. As shown in [2], the orthogonal projection in L2 Ω on the kernel of ΔF in L2 Ω restricts to smooth differential forms, yielding an operator Π : Ω → H1 . We define the operator d1 on H1 as d1 = ΠdH . The adjoint of d1 in H1 equals δ1 = ΠδH . Finally, we take Δ1 = d1 δ1 + δ1 d1 on H1 and put H2 = ker Δ1 . The other spaces Hk are defined in [1] as an extension of this Hodge theoretic approach to the whole spectral sequence (Ek , dk ). In particular, 1 , Hk ∼ H1 ∼ =E = Ek , k = 2, 3, . . . , ∞ , as bigraded topological vector spaces. Thus this sequence stabilizes (that is, Hk = H∞ for k large enough) because the differentiable spectral sequence is convergent in a finite number of steps. The convergence of eigenforms corresponding to “small” eigenvalues is precisely stated in the following result, where L2 H1 denotes the closure of H1 in L2 Ω.


139

Theorem 2.2. For any Riemannian foliation on a closed manifold with a bundlelike metric, let ωi be a sequence in Ωr such that ωi = 1 and 2(k−1)

Lhi ωi , ωi ∈ o hi for some fixed integer k ≥ 1 and some sequence hi → 0. Then some subsequence of the ωi is strongly convergent, and its limit is in L2 H1r if k = 1, and in Hkr if k ≥ 2. 1r , and let mr = dim E r for each k = To simplify notation let mr1 = dim E k k 2, 3, . . . , ∞. Thus Theorem 2.1 establishes λri (h) = O h2k for i ≤ mrk , yielding λri (h) ≡ 0 for i large enough. For every h > 0, consider the nested sequence of graded subspaces Ω ⊃ H1 (h) ⊃ H2 (h) ⊃ H3 (h) ⊃ · · · ⊃ H∞ (h) , where Hkr (h) is the space generated by the eigenforms of Δh corresponding to eigenvalues λri (h) with i ≤ mrk ; in particular, we have Hk (h) = H∞ (h) = ker Δh for k large enough. Set also Hk (0) = Hk . We have dim Hkr (h) = mrk for all h > 0, so the following result is a sharpening of Theorem 2.1. Corollary 2.3. For any Riemannian foliation on a closed manifold with a bundlelike metric and k = 2, 3, . . . , ∞, the assignment h → Hkr (h) defines a continuous map from [0, ∞) to the space of finite-dimensional linear subspaces of L2 Ωr for all 1r < ∞, then this also holds for k = 1. r ≥ 0. If dim E By the standard perturbation theory, the map h → Hkr (h) is, clearly, C ∞ on (0, ∞) for any Riemannian foliation on a closed manifold with a bundle-like metric, k = 2, 3, . . . , ∞ and r ≥ 0. As shown in [30], this map is C ∞ up to h = 0, if the foliation is given by the fibers of a Riemannian fibration. In the next section, we will see an example of a Riemannian foliation and a bundle-like metric such that the map h → Hkr (h) is not C ∞ at h = 0. 2.3. A linear foliation on the 2-torus In this section, we consider the simplest example of the situation studied in the previous section, namely – the example of a linear foliation on the 2-torus. So, as in Section 1.2, consider the two-dimensional torus T2 = R2 /Z2 with the coordinates (x, y), the one-dimensional foliation F defined by the orbits of the vector field = ∂ + α ∂ , where α ∈ R, and the Euclidean metric g = dx2 + dy 2 on T2 . The X ∂x ∂y eigenvalues of the corresponding Laplace operator Δh (counted with multiplicities) are described as follows: spec Δ0h = spec Δ2h = {λkl (h) : (k, l) ∈ Z2 }, spec Δ1h = {λk1 l1 (h) + λk2 l2 (h) : (k1 , l1 ) ∈ Z2 , (k2 , l2 ) ∈ Z2 }, where λkl (h) are given by (5). So, for α ∈ / Q, small eigenvalues appear only if (k, l) = (0, 0) and (k1 , l1 ) = (k2 , l2 ) = (0, 0) and have the form λ00 (h) = λ20 (h) = 0,

λ10 (h) = λ11 (h) = 0.

(10)

140


For α ∈ Q of the form α = pq , where p and q are coprime, small eigenvalues appear only if (k, l) = t(p, q), t ∈ Z, and (k1 , l1 ) = t1 (p, q), (k2 , l2 ) = t2 (p, q), t1 , t2 ∈ Z. So there are infinitely many different branches of eigenvalues λh with λh = O(h2 ) as h → 0, and all the branches of eigenvalues λh with λh = O(h4 ) as h → 0 are given by (10). Now let us turn to the differential spectral sequence. By a straightforward computation, one can show that u,v = R, E2u,v = E∞

u = 0, 1,

v = 0, 1,

that agrees with the above description of small eigenvalues. The case of E1 is more interesting. First of all, it depends on whether α is rational or not. For α ∈ Q, F is given by the fibers of a trivial fibration T2 → S 1 , and, therefore, for any u = 0, 1 and v = 0, 1, we have u,v = Ωu (S 1 ) ⊗ H v (S 1 ) = C ∞ (S 1 ). E1u,v = E 1 For α ∈ / Q, we have

u,v = R, E 1

u = 0, 1,

v = 0, 1.

The description of E1 is more complicated and depends on the diophantine properties of α. Recall that α ∈ / Q is called diophantine, if there exist c > 0 and d > 1 such that, for any p ∈ Z \ {0} and q ∈ Z \ {0}, we have c |qα − p| > d . |q| Otherwise, α is called Liouville. It is easy to see that E11,0 = E10,0 and E11,1 = E10,1 . As shown in [21] and [35], we have • E10,0 = R; • E10,1 = R if α is diophantine and E10,1 is infinite-dimensional if α is Liouville. ¯1,1 So when α is a Liouville’s number, ¯ 00,1 1 = 01 = 0. As a direct consequence of this fact and [1, Theorem D], we obtain that, when α is a Liouville’s number, there 1 (h), which exists a bundle-like metric on T2 such that the associated map h → H∞ is continuous on [0, ∞) by Corollary 2.3 and C ∞ on (0, ∞), is not C ∞ at h = 0. 2.4. Riemannian Heisenberg manifolds In this section, we discuss similar problems for adiabatic limits associated with the Riemannian Heisenberg manifold (Γ\H, g) and the one-dimensional foliation F introduced in Section 1.3 (see [41]). We assume that g corresponds to the identity matrix, and the one-dimensional foliation F is defined by the vector field X(1, 0, 0). The corresponding Riemannian metric gh on Γ\H defined by (1) is given by the matrix ⎞ ⎛ 1 0 0 ⎝0 h−2 0 ⎠ , h > 0. 0 0 h−2


141

By Theorem 1.5, it follows that the spectrum of the Laplacian Δh on 0- and 3- forms on M (with multiplicities) is described as spec Δ0h = spec Δ3h = Σ1,h ∪ Σ2,h , where Σ1,h = {λh (a, b) = 4π 2 (a2 + h2 b2 ) : a, b ∈ Z}, Σ2,h = {μh (c, k) = 2πc(2k + 1)h + 4π 2 c2 h2 with mult. 2c, c ∈ Z+ , k ∈ Z+ ∪ {0}}. First, note that, for any a ∈ Z \ {0} and b ∈ Z \ {0}, λh (a, b) > 4π 2 h2 ,

h > 0,

and for any c ∈ Z and k ∈ Z ∪ {0}} +

+

μh (c, k) > 4π 2 h2 ,

h > 0.

Therefore, for any h > 0, λ00 (h) = λ30 (h) = 0,

λ01 (h) = λ31 (h) > 4π 2 h2 .

Next, we see that, for any b ∈ Z \ {0}, λh (0, b) = 4π 2 b2 h2 = O(h2 ),

h → 0.

Since we have infinitely many different branches of eigenvalues λh with λh = O(h2 ) as h → 0, we conclude that, for any i > 0, λ0i (h) = λ3i (h) = O(h2 ),

h → 0.

By Theorem 1.6, the spectrum of the Laplace operator Δh on one and two forms on M (with multiplicities) has the form spec Δ1h = spec Δ2h = Σ1,h ∪ Σ2,h ∪ Σ3,h , where Σ1,h ={λh,± (a, b) = 4π

2

2

2 2

a +h b

+

1±

! 1 + 16π 2 (a2 + h2 b2 ) 2

with mult. 2 : a, b ∈ Z}, Σ2,h ={μh (c, k) = 4π 2 c2 h2 + 2πc(2k + 1)h with mult. 2c : c ∈ Z+ , k ∈ Z+ ∪ {0}}, 2 2 2

Σ3,h ={μh,± (c, k) = 4π c h + 2πc(2k + 1)h +

1±

! (4πch + 1)2 + 16kπch 2

with mult. 2c : c ∈ Z+ , k ∈ Z+ ∪ {0}}. Observe that, for any b ∈ Z \ {0}, √ 1 − 1 + 16π 2 b2 h2 2 2 2 = 16π 4 b4 h4 + O(h4 ), λh,− (0, b) = 4π b h + 2

h → 0,

142


and, for any λ ∈ spec Δh \ {0}, λ > Ch4 ,

h > 0,

with some constant C > 0. Therefore, we have λ10 (h) = λ20 (h) = λ11 (h) = λ21 (h) = 0,

h > 0,

and, by the above argument, we obtain, for any i > 1 λ1i (h) = λ2i (h) = O(h4 ),

h → 0.

We now turn to the differentiable spectral sequence. By a straightforward r are infinite-dimensional computation, one can show that E3 = E∞ , all the terms E 1 and, for the basic cohomology, we have E20,0 = R,

E21,0 = R,

E22,0 = C ∞ (S 1 ).

So we get that, in this case, for r = 0 and r = 3,

r = i λr (h) = O h2 as h → 0 = ∞ , dim E 1 i

as h → 0 = 1 , dim Ekr = i λri (h) = O h2k

k≥2.

and, for r = 1 and r = 2

r = i λr (h) = O h2 as h → 0 = ∞ , dim E 1 i

as h → 0 = ∞ , dim E2r = i λri (h) = O h4

as h → 0 = 2 , dim Ekr = i λri (h) = O h2k

k≥3.

A more precise information can be obtained from the consideration of the corresponding eigenspaces that will be discussed elsewhere. Remark 5. It is quite possible that both the asymptotic formula of Theorem 1.7 and the investigation of small eigenvalues given in this section can be extended to the differential form Laplace operator on an arbitrary Riemannian Heisenberg manifold. Nevertheless, we believe that many essentially new features of adiabatic limits on Riemannian Heisenberg manifolds can be already seen in the particular cases, which were considered in this paper, and we don’t expect anything rather different in the general case.

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[25] Yu.A. Kordyukov, Adiabatic limits and spectral geometry of foliations. Math. Ann. 313 (1999), 763–783. [26] Yu.A. Kordyukov, Noncommutative geometry of foliations, Preprint math.DG/ 0504095, 2005. [27] J. Lott, Collapsing and the differential form Laplacian: the case of a smooth limit space. Duke Math. J. 114 (2002), 267–306. [28] J. McCleary, User’s Guide to Spectral Sequences, volume 12 of Mathematics Lecture Series. Publish or Perish Inc., Wilmington, Del., 1985. [29] X. Masa, Duality and minimality in Riemannian foliations. Comment. Math. Helv. 67 (1992), 17–27. [30] R.R. Mazzeo, R.B. Melrose, The adiabatic limit, Hodge cohomology and Leray’s spectral sequence for a fibration. J. Differential Geom. 31 (1990), 185–213. [31] P. Molino, Géométrie globale des feuilletages riemanniens. Nederl. Akad. Wetensch. Indag. Math. 44 (1982), 45–76. [32] P. Molino, Riemannian foliations, Progress in Mathematics. Vol. 73. Birkhäuser Boston Inc., Boston, MA, 1988. [33] B.L. Reinhart, Foliated manifolds with bundle-like metrics. Ann. of Math. (2) 69 (1959), 119–132. [34] B.L. Reinhart, Differential geometry of foliations, Springer-Verlag, Berlin, 1983. [35] C. Roger, Méthodes Homotopiques et Cohomologiques en Th´ eorie de Feuilletages. Université de Paris XI, Paris, 1976. [36] M. Rumin, Sub-Riemannian limit of the differential form spectrum of contact manifolds. Geom. Func. Anal. 10 (2000), 407–452. [37] K.S. Sarkaria, A finiteness theorem for foliated manifolds. J. Math. Soc. Japan 30 (1978), 687–696. [38] E. Witten, Global gravitational anomalies. Comm. Math. Phys. 100 (1985), 197–229. [39] A.A. Yakovlev, Adiabatic limits on Riemannian Heisenberg manifolds. Preprint, 2007, to appear in Mat. sb. [40] A.A. Yakovlev, The spectrum of the Laplace-Beltrami operator on the two-dimensional torus in adiabatic limit. Preprint math.DG/0612695, 2006. [41] A.A. Yakovlev, Adiabatic limits and spectral sequences for one-dimensional foliations on Riemannian Heisenberg manifolds, in preparation. Yuri A. Kordyukov Institute of Mathematics, Russian Academy of Sciences 112 Chernyshevsky str. 450077 Ufa, Russia e-mail: [email protected] Andrey A. Yakovlev Department of Mathematics, Ufa State Aviation Technical University 12 K. Marx str. 450000 Ufa, Russia e-mail: [email protected]


On the Non-standard Podle´s Spheres Ulrich Krähmer Abstract. It was shown in [1, 5] that the C∗ -completion of Podle´s’ generic quantum spheres Aqρ [4] is independent of the parameter ρ. In the present note we provide a proof that this is not true for the Aqρ themselves which remained a conjecture in [1]. As a byproduct we obtain that Aut(Aqρ ) = C×

1. Introduction The quantum spheres of Podle´s [4] constitute a family of algebras Aqρ , q ∈ C× = C \{0} not a root of unity, ρ ∈ C ∪ {∞}, that can be considered as deformations of the complex coordinate ring of the real affine variety S 2 ⊂ R3 . They can be embedded as left coideal subalgebras into the standard quantized coordinate ring Cq [SL(2)] and become in this way the paradigmatic examples of homogeneous spaces of quantum groups. If q ∈ R and ρ ∈ R∪{∞}, then Aqρ are ∗-subalgebras of the ‘compact real form’ of Cq [SL(2)]. See, e.g., [3] for details and more information. It was shown in [1, 5] that the C∗ -completion of these ∗-algebras does not depend on ρ, but it remained a conjecture that this is not the case for the Aqρ themselves. The present contribution gives a proof of this fact, see Theorem 3.1 below.

2. The algebras Aqρ and some of their properties Let q ∈ C× be not a root of unity and ρ ∈ C. Define Aqρ as the unital associative algebra with generators x−1 , x0 , x1 and relations x0 x±1 = q ±2 x±1 x0 ,

x∓1 x±1 = q ±2 x20 + (1 + q ±2 )ρx0 − 1.

(2.1)

Analogously one defines Aq∞ by the relations x0 x±1 = q ±2 x±1 x0 ,

x∓1 x±1 = q ±2 x20 + (1 + q ±2 )x0 .

(2.2)

This work was supported by the EU Marie Curie postdoctoral fellowship EIF 515144. It is a pleasure to thank the authors of [1] for pointing out to me this problem and for all the other discussions we had.

146

U. Kr¨ ahmer The defining relations imply (see [3], p. 125 for the details) that the elements 4 i j j≥0 x0 x1 , i ∈ N0 , j ∈ Z eij := i −j j < 0. x0 x−1

form a vector space basis of Aqρ . It is immediate that Aqρ is Z-graded, 6 Aqρ = Aj , Aj := span{eij | i ∈ N0 } = {f ∈ Aqρ | x0 f = q 2j f x0 }. j∈Z

We denote by I the ideal generated by x0 and by π : Aqρ → Aqρ /I the canonical projection. Using the basis {eij } one sees that I = x0 Aqρ = Aqρ x0 . Proposition 2.1. Aqρ is an integral domain and any invertible element is a scalar. Proof. Aqρ can be embedded into the quantized coordinate ring Cq [SL(2)] ([3], Proposition 4.31) which has these properties ([2], 9.1.9 and 9.1.14). Besides this we will need the well-known and easily verified fact that the following is a complete list of the characters of Aqρ : ρ = ∞, ±i :

χλ (x0 ) = 0, χλ (x±1 ) = λ±1 , ±1

λ ∈ C× , λ ∈ C× ,

ρ = ±i :

χλ (x0 ) = 0, χλ (x±1 ) = λ , χ (x±1 ) = 0, χ (x0 ) = ∓i,

ρ=∞:

± ± χ± λ (x±1 ) = χλ (x0 ) = 0, χλ (x∓1 ) = λ,

λ ∈ C.

We denote by J ⊂ Aqρthe intersection of the kernels of all characters. For ρ = ∞, ±i an element x = ij ξij eij ∈ Aqρ , ξij ∈ C, is mapped by χλ to f (λ), where f is the Laurent polynomial f (z) = j∈Z ξ0j z j . Thus χλ (x) = 0 for all λ ∈ C× iff f = 0. Hence J = I. The same is true for ρ = ∞ as one checks similarly. For ρ = ±i one obtains the smaller ideal I ∩ ker χ .

3. The algebra Aqρ depends on ρ The aim of this note is to prove the following fact that was conjectured in [1]: Theorem 3.1. The algebras Aqρ , Aqρ are isomorphic iff ρ = ±ρ (−∞ = ∞). Proof. We first note that Aq∞ cannot be isomorphic to Aqρ with ρ = ∞: Otherwise Aq∞ /J would be isomorphic to Aqρ /J. The first algebra is isomorphic to C[z]⊕C[z] with π(x±1 ) as generators. This follows from adding x0 = 0 to (2.2). For ρ = ∞, ±i the algebra Aqρ /J is instead isomorphic to C[z, z −1 ] with z ±1 corresponding to ±π(x±1 ). For ρ = ±i we have J = I∩ker χ ⊂ I, and Aq±i /I is as before isomorphic to C[z, z −1]. That is, C[z, z −1] is a quotient algebra of Aq±i /J, hence the latter can also not be isomorphic to Aq∞ /J = C[z] ⊕ C[z]. Suppose now that ψ : Aqρ → Aqρ is an isomorphism with ρ, ρ = ∞. We denote by Xi ∈ Aqρ the images of the generators of Aqρ under ψ. Since Xi generate Aqρ , π(Xi ) generate π(Aqρ ) = C[z, z −1 ]. This algebra is a commutative integral domain, so π(X0 )π(X±1 ) = q ±2 π(X±1 )π(X0 ) implies that

On the Non-standard Podle´s Spheres

147

either π(X0 ) or both π(X±1 ) vanish. But C[z, z −1 ] cannot be generated by a single element, so π(X0 ) = 0. Hence X0 = λ0 x0 for some λ0 ∈ Aqρ . Repeating the whole argumentation with the roles of xi and Xi interchanged one gets x0 = μ0 X0 , that × is, X0 = μ0 λ0 X0 for some μ0 ∈ Aqρ . Proposition 2.1 now implies λ0 = μ−1 0 ∈C . ±2 ±1 Therefore x0 X±1 = q X±1 x0 . Hence X±1 ∈ A , so X±1 = P± (x0 )x±1 for some polynomials P± ∈ C[z]. Inserting this into (2.1) one sees that both P± must be of degree zero. So Xi = λi xi for three non-zero constants λi . Inserting this again into the relations (2.1) we get q ±2 λ20 x20 + (1 + q ±2 )ρ λ0 x0 − 1 = λ1 λ−1 (q ±2 x20 + (1 + q ±2 )ρx0 − 1), which is equivalent to λ0 = ±1,

ρ = ±ρ,

λ1 λ−1 = 1.

If conversely ρ = −ρ, then it is immediate that the assignment x−1 , x0 , x1 → x−1 , −x0 , x1 extends to an isomorphism Aqρ → Aqρ . Note that we have proven en passant (only for ρ = ∞, but ρ = ∞ is treated analogously): Corollary 3.2. For ρ = 0, the map λ → σλ , σλ (xi ) = λi xi is an isomorphism × C → Aut(Aqρ ). For ρ = 0, it is an embedding, and Aut(Aq0 ) is a semidirect product of its image and the subgroup Z2 generated by the automorphism which fixes x±1 and maps x0 to −x0 .

References [1] P.M. Hajac, R. Matthes, W. Szyma´ nski: Quantum Real Projective Space, Disc and Sphere. Algebr. Represent. Theory 6 No. 2 (2003), 169–192 [2] A. Joseph: Quantum Groups and Their Primitive Ideals. Springer, 1995 [3] A.U. Klimyk, K. Schm¨ udgen: Quantum Groups and Their Representations. Springer, 1997 [4] P. Podle´s: Quantum Spheres. Lett. Math. Phys. 14 (1987), 193–202 [5] A. Sheu: Quantization of the Poisson SU (2) and its Poisson Homogeneous Space – The 2-Sphere. Comm. Math. Phys. 155 (1991), 217–232 Ulrich Kr¨ ahmer Mathematics Department University of Glasgow University Gardens Glasgow G12 8QW United Kingdom e-mail: [email protected]


Boundaries, Eta Invariant and the Determinant Bundle Richard Melrose and Frédéric Rochon Abstract. Cobordism invariance shows that the index, in K-theory, of a family of pseudodifferential operators on the boundary of a fibration vanishes if the symbol family extends to be elliptic across the whole fibration. For Dirac operators with spectral boundary condition, Dai and Freed [5] gave an explicit version of this at the level of the determinant bundle. Their result, that the eta invariant of the interior family trivializes the determinant bundle of the boundary family, is extended here to the wider context of pseudodifferential families of cusp type. Mathematics Subject Classification (2000). Primary 58J52; Secondary 58J28. Keywords. Eta invariant, determinant line bundle.

Introduction For a fibration of compact manifolds M −→ B where the fibre is a compact manifold with boundary, the cobordism of the index can be interpreted as the vanishing of the (suspended) family index for the boundary indAS : Kc1 (T ∗ (∂M/B)) −→ K1 (B)

(1)

on the image of the restriction map Kc (T ∗ (M/B)) −→ Kc (R × T ∗ (∂M/B)) = Kc1 (T ∗ (∂M/B)).

(2)

This was realized analytically in [9] in terms of cusp pseudodifferential operators, namely that any elliptic family of cusp pseudodifferential operators can be perturbed by a family of order −∞ to be invertible; this is described as the universal case in [1]. For the even version of (1) and in the special case of Dirac operators, Dai and Freed in [5], showed that the τ (i.e., exponentiated η) invariant of a The first author acknowledges the support of the National Science Foundation under grant DMS0408993,the second author acknowledges support of the Fonds québécois sur la nature et les technologies and NSERC while part of this work was conducted.

150

R. Melrose and F. Rochon

self-adjoint Dirac operator on an odd-dimensional compact oriented manifold with boundary, with augmented Atiyah-Patodi-Singer boundary condition, defines an element of the inverse determinant line for the boundary Dirac operator. Here we give a full pseudodifferential version of this, showing that the τ invariant for a suspended (hence ‘odd’) family of elliptic cusp pseudodifferential operators, P, trivializes the determinant bundle for the indicial family I(P ) τ = exp(iπη(P )) : Det(I(P ) −→ C∗ ,

(3)

which in this case is a doubly-suspended family of elliptic pseudodifferential operators; the relation to the Dirac case is discussed in detail. This paper depends substantially on [10] where the determinant on 2n times suspended smoothing families is discussed. This determinant in the doubly suspended case is used to define the determinant bundle for any doubly-suspended elliptic family of pseudodifferential operators on a fibration (without boundary). As in the unsuspended case (see Bismut and Freed [4]), the first Chern class of the determinant bundle is the 2-form part of the Chern character of the index bundle. The realization of the eta invariant for singly suspended invertible families in [7] is extended here to the case of invertible families of suspended cusp operators. In the Dirac case this is shown to reduce to the eta invariant of Atiyah, Patodi and Singer for a self-adjoint Dirac operator with augmented APS boundary condition. In the main body of the paper the consideration of a self-adjoint Dirac operator, ð, is replaced by that of the suspended family, generalizing ð + it, where t is the suspension variable. This effectively replaces the self-adjoint Fredholm operators, as a classifying space for odd K-theory, by the loop group of the small unitary group (see [2], p. 81). One advantage of using suspended operators in this way is that the regularization techniques of [7] can be applied to define the eta invariant as an extension of the index. In order to discuss self-adjoint (cusp) pseudodifferential operators using this suspension approach, it is necessary to consider somewhat less regular (product-type) families, generalizing A + it, so we show how to extend the analysis to this larger setting. As in [10], we introduce the various determinant bundles in a direct global form, as associated bundles to principal bundles (of invertible perturbations) instead of using the original spectral definition of Quillen [12]. In this way, the fact that the τ invariant gives a trivialization of the determinant bundle follows rather directly from the log-multiplicative property η(A ∗ B) = η(A) + η(B) of the eta invariant. The paper is organized as follows. In Section 1, we review the main properties of cusp operators. In Section 2, we consider a conceptually simpler situation which can be thought as an ‘even’ counterpart of our result. In Section 3, we present the determinant bundle as an associated bundle to a principal bundle; this definition is extended to family of 2n-suspended elliptic operators in Section 4. This allows us in Section 5 to rederive a well-known consequence of the cobordism invariance of

Boundaries, Eta Invariant and the Determinant Bundle

151

the index at the level of determinant bundles using the contractibility result of [9]. In Section 6, we introduce the notion of cusp suspended ∗-algebra, which is used in Section 7 to lift the determinant from the boundary. This lifted determinant is defined using the eta invariant for invertible suspended cusp operators introduced in Section 8. In Section 9, we prove the trivialization result and in Section 10 we relate it to the result of Dai and Freed [5] for Dirac operators. Finally, in Section 11, these results are extended to include the case of a self-adjoint family of elliptic cusp pseudodifferential operators. This involves the use of product-type suspended operators, which are discussed in the Appendix.

1. Cusp pseudodifferential operators This section is intended to be a quick summary of the main properties of cusp pseudodifferential operators and ellipticity. We refer to [6], [8] and [9] for more details. Let Z be a compact manifold with non-empty boundary ∂Z. Let x ∈ C ∞ (Z) be a defining function for the boundary, that is, x ≥ 0 everywhere on Z, ∂Z = {z ∈ Z; x(z) = 0} and dx(z) = 0 for all z ∈ ∂Z. Such a choice of boundary defining function determines a cusp structure on the manifold Z, which is an identification of the normal bundle of the boundary ∂Z in Z with ∂Z × L for a 1-dimensional real vector space L. If E and F are complex vector bundles on Z, then Ψm cu (Z; E, F ) denotes the space of cusp pseudodifferential operators acting from C ∞ (Z; E) to C ∞ (Z; F ) associated to the choice of cusp structure. Different choices lead to different algebras of cusp pseudodifferential operators, but all are isomorphic. We therefore generally ignore the particular choice of cusp structure. A cusp vector field V ∈ C ∞ (Z, T Z) is a vector field such that V x ∈ x2 C ∞ (Z) for any defining function consistent with the chosen cusp structure. We denote by Vcu (Z) the Lie algebra of such vector fields. The cusp tangent bundle cu T Z is the smooth vector bundle on Z such that Vcu = C ∞ (Z; cu T Z); it is isomorphic to T Z as a vector bundle, but not naturally so. Let cu S ∗ Z = (cu T ∗ Z \ 0)/R+ be the cusp cosphere bundle and let Rm be the trivial complex line bundle on cu S ∗ Z with sections given by functions over cu ∗ T Z \ 0 which are positively homogeneous of degree m. Proposition 1.1. For each m ∈ Z, there is a symbol map giving a short exact sequence m m ∞ cu ∗ m Ψm−1 cu (Z; E, F ) −→ Ψcu (Z; E, F ) −→ C ( S Z; hom(E, F ) ⊗ R ).

σ

(1.1)

Then A ∈ Ψm cu (Z; E, F ) is said to be elliptic if its symbol is invertible. In this context, ellipticity is not a sufficient condition for an operator of order 0 to be Fredholm on L2 .

152

R. Melrose and F. Rochon More generally, one can consider the space of full symbols of order m m Scu (Z; E, F ) = ρ−m C ∞ (cu T ∗ Z; hom(E, F )),

where ρ is a defining function for the boundary (at infinity) in the radial compactification of cu T ∗ Z. After choosing appropriate metrics and connections, one can define a quantization map following standard constructions m (Z; E, F ) −→ Ψm q : Scu cu (Z; E, F )

(1.2)

which induces an isomorphism of vector spaces m −∞ −∞ (Z; E, F )/Scu (Z; E, F ) ∼ Scu = Ψm cu (Z; E, F )/Ψcu (Z; E, F ).

(1.3)

If Y is a compact manifold without boundary and E is a complex vector bundle over Y, there is a naturally defined algebra of suspended pseudodifferential operators, which is denoted here Ψ∗sus (Y ; E). For a detailed discussion of this algebra (and the associated modules of operators between bundles) see [7]. An element A ∈ Ψm sus (Y ; E) is a one-parameter family of pseudodifferential operators in Ψm (Y ; E) in which the parameter enters symbolically. A suspended pseudodifferential operator is associated to each cusp pseudodifferential operator by ‘freezing ∞ coefficients at the boundary.’ Given A ∈ Ψm cu (Z; E, F ), for each u ∈ C (Z; E),

∞ ∞

Au ∂Z ∈ C (∂Z; F ) depends only on u ∂Z ∈ C (∂Z; E). The resulting operator A∂ : C ∞ (∂Z; E) −→ C ∞ (∂Z; F ) is an element of Ψm (∂Z; E, F ). More generally, if τ ∈ R then ix −i x ∈ Ψm Ψm cu (Z; E, F ) % A −→ e Ae cu (Z; E, F ) and τ

τ

I(A, τ ) = (ei x Ae−i x )∂ ∈ Ψm sus (∂Z; E, F ) (1.4) τ

τ

is the indicial family of A. Proposition 1.2. The indicial homomorphism gives a short exact sequence, I

m m xΨm cu (Z; E, F ) −→ Ψcu (Z; E, F ) −→ Ψsus (∂Z; E, F ).

There is a power series expansion for operators A ∈ Ψm cu (Z; E, F ) at the boundary of which I(A) is the first term. Namely, if x is a boundary defining function consistent with the chosen cusp structure there is a choice of product decomposition near the boundary consistent with x and a choice of identifications of E and F with their restrictions to the boundary. Given such a choice the ‘asymptotically translation-invariant’ elements of Ψm cu (Z; E, F ) are well defined by [x2 Dx , A] ∈ x∞ Ψm cu (Z; E, F )

(1.5)

where Dx acts through the product decomposition. In fact ∞ m m {A ∈ Ψm cu (Z; E, F ); (1.5) holds} /x Ψcu (Z; E, F ) −→ Ψsus (∂Z; E, F ) I

(1.6)


153

is an isomorphism. Applying Proposition 1.2 repeatedly and using this observation, any element of Ψm cu (Z; E, F ) then has a power series expansion ∞ 2 ∞ m A∼ xj Aj , Aj ∈ Ψm (1.7) cu (Z; E, F ), [x Dx , Aj ] ∈ x Ψcu (Z; E, F ) j=0

which determines it modulo x∞ Ψm cu (Z; E, F ). Setting Ij (A) = I(Aj ) this gives a short exact sequence x∞ Ψm cu (Z; E, F )

/ Ψm cu (Z; E, F ) I∗ (A) =

∞

I∗

/ Ψm sus (∂Z; E, F )[[x]], (1.8)

xj Ij (A)

j=0

which is multiplicative provided the image modules are given the induced product ∞ (ix2 )j j (Dτ I∗ (A))(Dxj I∗ (B)). (1.9) I∗ (A) ∗ I∗ B = j! j=0 This is equivalent to a star product although not immediately in the appropriate form because of the asymmetry inherent in (1.8); forcing the latter to be symmetric by iteratively commuting xj/2 to the right induces an explicit star product in x2 . In contrast to Proposition 1.2, the sequence (1.8) does depend on the choice of product structure, on manifold and bundles, and the choice of the defining function. A cusp pseudodifferential operator A ∈ Ψm cu (Z; E, F ) is said to be fully elliptic if it is elliptic and if its indicial family I(A) is invertible in Ψ∗sus (∂Z; E, F ); this is equivalent to the invertibility of I(A, τ ) for each τ and to I∗ (A) with respect to the star product. Proposition 1.3. A cusp pseudodifferential operator is Fredholm acting on the natural cusp Sobolev spaces if and only if it is fully elliptic. For bundles on a compact manifold without boundary, let Gm sus (Y ; E, F ) ⊂ ; E, F ) denote the subset of elliptic and invertible elements. The η invariant of Atiyah, Patodi and Singer, after reinterpretation, is extended in [7] to a map Ψm sus (Y

η : Gm sus (Y ; E, F ) −→ C,

m η(AB) = η(A) + η(B), A ∈ Gm sus (Y ; F, G), B ∈ Gsus (Y ; E, F ).

(1.10)

In [8] an index theorem for fully elliptic fibred cusp operators is obtained, as a generalization of the Atiyah-Patodi-Singer index theorem. Theorem 1.4 ([8]). Let P ∈ Ψm cu (X; E, F ) be a fully elliptic operator, then the index of P is given by the formula 1 (1.11) ind(P ) = AS(P ) − η(I(P )) 2 where AS is a regularized integral involving only a finite number of terms in the full symbol expansion of P, I(P ) ∈ Ψm sus (∂X; E) is the indicial family of P and η is the functional (1.10) introduced in [7].

154


Note that the ellipticity condition on the symbol of P implies that E and F are isomorphic as bundles over the boundary, since σm (P ) restricted to the inward-pointing normal gives such an isomorphism. Thus one can freely assume that E and F are identified near the boundary. In the case of a Dirac operator arising from a product structure near the boundary with invertible boundary Dirac operator and spectral boundary condition, the theorem applies by adding a cylindrical end on which the Dirac operator extends to be translation-invariant, with the indicial family becoming the spectral family for the boundary Dirac operator (for pure imaginary values of the spectral parameter). The formula (1.11) then reduces to the Atiyah-Patodi-Singer index theorem. The result (1.11) is not really in final form, since the integral AS(P ) is not given explicitly nor interpreted in any topological sense. However, since it is symbolic, AS(P ) makes sense if P is only elliptic, without assuming the invertibility of the indicial family. It therefore defines a smooth function AS : Ellm cu (X; E, F ) −→ C

(1.12)

for each m. We show in Theorem 2.3 below that this function is a log-determinant for the indicial family. Cusp operators of order −∞ are in general not compact, so in particular not of trace class. Nevertheless, it is possible to define a regularized trace which will be substantially used in this paper. Proposition 1.5. For A ∈ Ψ−n−1 (Z), n = dim(Z) and z ∈ C, the function z → cu Tr(xz A) is holomorphic for Re z > 1 and has a meromorphic extension to the whole complex plane with at most simple poles at 1 − N0 , N0 = {0, 1, 2, . . .}. For A ∈ Ψ−n−1 (Z), the boundary residue trace of A, denoted TrR,∂ (A), is cu the residue at z = 0 of the meromorphic function z → Tr(xz A). In terms of the expansion (1.7) 1 TrR,∂ (A) = Tr(I1 (A, τ ))dτ. (1.13) 2π R The regularized trace is defined to be

TrR,∂ (A) z Tr(A) = lim Tr(x A) − (Z). , for A ∈ Ψ−n−1 cu z→0 z (Z) this reduces to the usual trace but in general it is not a For A ∈ x2 Ψ−n−1 cu trace, since it does not vanish on all commutators. Rather, there is a trace-defect formula

1 ∂ Tr([A, B]) = Tr I(A, τ ) I(B, τ ) dτ, 2πi R ∂τ

m A ∈ Ψm cu (Z), B ∈ Ψcu (Z), m + m ≤ −n − 1. (1.14)


155

The sign of this formula is correct provided we use (1.4) to define the indicial family. Notice that there is a (harmless) sign mistake in the trace-defect formula of [9], where a different convention for the indicial family is used.

2. Logarithm of the determinant As a prelude to the discussion of the determinant bundle, we will consider the conceptually simpler situation of the principal Z-bundle corresponding to the 1dimensional part of the odd index. We first recall the generalization of the notion of principal bundle introduced in [10]. Definition 2.1. Let G be a smooth group (possibly infinite-dimensional), then a smooth fibration G −→ B over a compact manifold B with typical fibre G is called a bundle of groups with model G if its structure group is contained in Aut(G), the group of smooth automorphisms of G. Definition 2.2. Let φ : G −→ B be a bundle of groups with model G, then a (right) principal G-bundle is a smooth fibration π : P −→ B with typical fibre G together with a smooth fibrewise (right) group action h : P ×B G % (p, g) −→ p · g ∈ P which is free and transitive, where P ×B G = {(p, g) ∈ P × G;

π(p) = φ(g)}.

In particular, a principal G-bundle π : P −→ B is automatically a principal G-bundle where G is the trivial bundle of groups G = G × B −→ B given by the projection on the right factor. In that sense, definition 2.2 is a generalization of the notion of a principal bundle. Notice also that given a bundle of groups G −→ B, then G itself is a principal G-bundle. It is the trivial principal G-bundle. More generally, we say that a principal G-bundle P −→ B is trivial if there exists a diffeomorphism Ψ : P −→ G which preserves the fibrewise group action: Ψ(h(p, g)) = Ψ(p)g,

∀(p, g) ∈ P ×B G.

In this section, the type of principal G-bundle of interest arises by considering an elliptic family Q ∈ Ψm sus (M/B; E, F ) of suspended operators over a fibration Y

M φ

B

(2.1)

156


of compact manifolds without boundary (not necessarily bounding a fibration with boundary). Namely, it is given by the smooth fibration Q −→ B, with fibre at b∈B Qb = −1 Qb + Rb ; Rb ∈ Ψ−∞ ∈ Ψ−m sus (Yb , Eb , Fb ); ∃ (Qb + Rb ) sus (Yb ; Fb , Eb ) , (2.2) the set of all invertible perturbations of Qb . The fibre is non-empty and is a principal space for the action of the once-suspended smoothing group −∞ −1 G−∞ ∈ Id +Ψ−∞ (2.3) sus (Yb ; Eb ) = Id +A; A ∈ Ψsus (Y ; Eb ), (Id +A) sus (Y ; Eb ) acting on the right. Thus, Q is a principal G−∞ sus (M/B; E)-bundle with respect to the bundle of groups G−∞ sus (M/B; E) −→ B with fibre at b ∈ B given by (2.3). The structure group at each point is a classifying space for even K-theory and carries an index homomorphism

dA(t) 1 −∞ −1 (Id +A(t)) Tr ind : Gsus (Yb ; Eb ) −→ Z, ind(Id +A) = dt 2πi R dt (2.4) labelling the components, i.e., giving the 0-dimensional cohomology. For a suspended elliptic family this induces an integral 1-class on B; namely the first Chern class of the odd index bundle of the family. This can be seen in terms of the induced principal Z-bundle QZ associated to Q QZ = Q × Z/ ∼,

(Ag, m − ind(g)) ∼ (A, m),

∀g ∈ G−∞ sus (Y ; Eb ).

(2.5)

Since C∗ = C \ {0} is a classifying space for Z, such bundles are classified up to equivalence by the integral 1-cohomology of the base. More explicitly, any principal Z-bundle φ : P −→ B admits a ‘connection’ in the sense of a map h : P −→ C such that h(mp) = h(p) + m for the action of m ∈ Z. Then the integral 1-class of the principal Z-bundle P is given by the map e2πih : B −→ C∗

(2.6)

or the cohomology class of dh seen as a 1-form on B. The triviality of the principal Z-bundle is equivalent to the vanishing of the integral 1-class, that is, to the existence of a function f : B −→ C such that h − φ∗ f is locally constant. Moreover, restricted to the ‘residual’ subgroup G−∞ sus (Y ; E), the eta functional of (1.10) reduces to twice the index

(2.7) η G−∞ (Y ;E) = 2 ind . sus

In case the fibration is the boundary of a fibration of compact manifolds with boundary, as in [9], and the suspended family is the indicial family of an elliptic family of cusp pseudodifferential operators then we know that the whole odd index of the indicial family vanishes in odd K-theory. In particular the first Chern class vanishes and the associated principal Z-bundle is trivial.


157

Theorem 2.3. The eta invariant defines a connection 12 η(A) on the principal Zbundle in (2.5) (so the first odd Chern class is 12 dη) and in the case of the indicial operators of a family of elliptic cusp operators, the Atiyah-Singer term in the index formula (1.11) is a log-determinant for the indicial family, so trivializing the Zbundle. Proof. By (2.7), the function on Q × Z 1 η(A) + m 2 descends to QZ and defines a connection on it. Thus the map h(A, m) =

τ = exp(iπη) : B −→ C∗

(2.8)

(2.9)

gives the classifying 1-class, the first odd Chern class in H 1 (B, Z) of the index bundle. In general this class is not trivial, but when Q = I(Qcu ) is the indicial family of a family of fully elliptic cusp operators Qcu , the Atiyah-Singer term AS(Qcu ) is a well-defined smooth function which does not depend on the choice of the indicial family modulo G−∞ sus (Y ; E). From formula (1.11) 1 (2.10) h − AS(Qcu ) = −AS(Qcu ) + η(A) + m = − ind(Acu , b) + m 2 is locally constant. This shows that the Atiyah-Singer term explicitly trivializes the principal Z-bundle QZ .

3. The determinant line bundle Consider a fibration of closed manifolds as in (2.1) and let E and F be complex vector bundles on M. Let P ∈ Ψm (M/B; E, F ) be a smooth family of elliptic pseudodifferential operators acting on the fibres. If the numerical index of the family vanishes, then one can, for each b ∈ B, find Qb ∈ Ψ−∞ (Yb ; Eb , Fb ) such that Pb + Qb is invertible. The families index, which is an element of the even K-theory of the base K 0 (B) (see [3] for a definition), is the obstruction to the existence of a smooth family of such perturbations. This obstruction can be realized as the non-triviality of the bundle with fibre Pb = Pb + Qb ; Qb ∈ Ψ−∞ (Yb , Eb , Fb ), ∃ (Pb + Qb )−1 ∈ Ψ−k (Yb ; Fb , Eb ) . (3.1) As in the odd case discussed above, the fibre is non-trivial (here because the numerical index is assumed to vanish) and is a bundle of principal G-spaces for the groups (3.2) G−∞ (Yb ; E) = Id +Q; Q ∈ Ψ−∞ (Yb ; E), ∃ (Id +Q)−1 ∈ Ψ0 (Yb ; E) acting on the right. Thus, P −→ B is a principal G−∞ (M/B; E)-bundle for the bundle of groups G−∞ (M/B; E) −→ B with fibre at b ∈ B given by (3.2). The Fredholm determinant det : Id +Ψ−∞ (X; W ) −→ C

158


is well defined for any compact manifold X and vector bundle W. It is multiplicative det(AB) = det(A) det(B) and is non-vanishing precisely on the group G−∞ (X; W ). Explicitly, it may be defined by 2 3 det(B) = exp γ ∗ Tr(A−1 dA) (3.3) [0,1] −∞

where γ : [0, 1] −→ G (X; W ) is any smooth path with γ(0) = Id and γ(1) = B. Such a path exists since G−∞ (X; W ) is connected and the result does not depend 1 on the choice of γ in view of the integrality of the 1-form 2πi Tr(A−1 dA) (which gives the index for the loop group). Definition 3.1. If P ∈ Ψm (M/B; E, F ) is a family of elliptic pseudodifferential operators with vanishing numerical index and P −→ B is the bundle given by (3.1), then the determinant line bundle Det(P ) −→ B of P is the associated line bundle given by (3.4) Det(P ) = P ×G−∞ (M/B;E) C where G−∞ (Yb ; Fb ) acts on C via the determinant; thus, Det(P ) is the space P × C with the equivalence relation (A, c) ∼ (Ag −1 , det(g)c) for A ∈ Pb , g ∈ G−∞ (Yb ; Fb ), b ∈ B and c ∈ C. As discussed in [10], this definition is equivalent to the original spectral definition due to Quillen [12]. If P ∈ Ψm (M/B;E,F ) is a general elliptic family, with possibly non-vanishing numerical index, it is possible to give a similar definition but depending on some additional choices. Assuming for definiteness that the numerical index is l ≥ 0 one can choose a trivial l-dimensional subbundle K ⊂ C ∞ (M/B; E) as a bundle over B, a Hermitian inner product on E and a volume form on B. Then the fibre in (3.1) may be replaced by (3.5) Pb,K = Pb + Qb ; Qb ∈ Ψ−∞ (Yb , Eb , Fb ), ker(Pb + Qb ) = Kb . This fibre is non-empty and for each such choice of Qb there is a unique element Lb ∈ Ψ−m (Yb ; Fb , Eb ) which is a left inverse of Pb +Qb with range Kb⊥ at each point of B. The action of the bundle of groups G−∞ (M/B; F ) on the left makes this into a (left) principal G−∞ (M/B; F )-bundle. Then the fibre of the determinant bundle may be taken to be Det(P )b,K = Pb,K × C/ ∼, (A, c) ∼ (BA, det(B)c).

(3.6)

In case the numerical index is negative there is a similar construction intermediate between the two cases.


159

4. The 2n-suspended determinant bundle As described in [10], it is possible to extend the notion of determinant, and hence that of the determinant line bundle, to suspended pseudodifferential operators with an even number of parameters. Let L ∈ Ψm s(2n) (M/B; E, F ) be an elliptic family of (2n)-suspended pseudodifferential operators. Ellipticity (in view of the symbolic dependence on the parameters) implies that such a family is invertible near infinity in R2n . Thus the families index is well defined as an element of the compactly supported K-theory Kc (R2n ) = Z. By Bott periodicity this index may be identified with the numerical index of a family where the parameters are quantized, see the discussion in [10]. Even assuming the vanishing of this numerical index, to get an explicitly defined determinant bundle, as above, we need to introduce a formal parameter . Let Ψm s(2n) (Y ; F )[[ ]] denote the space of formal power series in with coeffi

m m cients in Ψm s(2n) (Y ; F ). For A ∈ Ψs(2n) (Y ; F )[[ ]] and B ∈ Ψs(2n) (Y ; F )[[ ]], consider

the ∗-product A ∗ B ∈ Ψm+m s(2n) (Y ; F )[[ ]] given by A ∗ B(u) = (

∞

aμ ) ∗ ( μ

μ=0

=

∞ ∞ μ=0 ν=0

∞

b ν ν )

ν=0

2

μ+ν

∞ p p

i ω(Dv , Dw )p A(v)B(w) v=w=u p 2 p! p=0

3

(4.1)

where u, v, w ∈ R2n and ω is the standard symplectic form on R2n , ω(v, w) = v T Jw with

0 − Idn . (4.2) J= Idn 0 That (4.1) is an associative product follows from its identification with the usual ‘Moyal product’ arising as the symbolic product for pseudodifferential operators on Rn . Definition 4.1. The module Ψm s(2n) (Y ; E, F )[[ ]] with ∗-product as in (4.1) will be (Y ; E, F )[[ ]] and the quotient by the ideal n+1 Ψm denoted Ψm s(2n) s(2n) (Y ; E, F )[[ ]], m n = dim(Y ), by Ψs(2n) (Y ; E, F ). The quotient here corresponds formally to setting n+1 = 0.

(4.3)

Proposition 4.2. (Essentially from [10]) The group −∞ G−∞ s(2n) (Y ; F ) = Id +S; S ∈ Ψs(2n) (Y ; F ),

∃ (Id +S)−1 ∈ Ψ0s(2n) (Y ; F ) , (4.4)

with composition given by the ∗-product, admits a determinant homomorphism det : G−∞ s(2n) (Y ; F ) −→ C, det(A ∗ B) = det(A) det(B),

(4.5)

160


given by

2 det(B) = exp

3 ∗

γ αn

(4.6)

[0,1]

where αn is the coefficient of n in the 1-form Tr(A−1 ∗ dA) and γ : [0, 1] −→ G−∞ s(2n) (Y ; F ) is any smooth path with γ(0) = Id and γ(1) = B. Proof. In [10] the determinant is defined via (4.6) for the full formal power series algebra with ∗-product. Since the 1-form αn only depends on the term of order n in the formal power series, and this term for a product only depends on the first n terms of the factors, we can work in the quotient and (4.5) follows. For the group G−∞ s(2) (X; E), the form α2 can be computed explicitly. Proposition 4.3. On G−∞ s(2) (X; E) 1 α2 = iπdμ(a) − 4πi

∂a0 −1 ∂a0 −1 )(a0 )a da0 Tr (a−1 0 ∂t ∂τ 0 R2 ∂a0 −1 ∂a0 −1 )(a0 )a0 da0 dtdτ, − (a−1 0 ∂τ ∂t

where 1 μ(a) = 2π 2 i

R2

Tr(a−1 0 a1 )dtdτ.

(4.7)

(4.8)

−1 of a with respect to the Proof. For a = a0 + a1 ∈ G−∞ s(2) (X; E), the inverse a ∗-product is i −1 −1 −1 −1 (4.9) a−1 = a−1 0 − (a0 a1 a0 − {a0 , a0 }a0 ) , 2 −∞ where a−1 0 is the inverse of a0 in Gs(2) (X; E) and

{a, b} = Dt aDτ b − Dτ aDt b = ∂τ a∂t b − ∂t a∂τ b is the Poisson Bracket. Hence, i −1 −1 −1 Tr(a−1 ∗ da) = Tr a−1 0 da0 + (− {a0 , da0 } − a0 a1 a0 da0 2

i −1 −1 + {a−1 , a }a da + a da ) 0 0 1 0 0 2 0 i −1 1 = Tr(a−1 0 da0 ) + Tr(− {a0 , da0 } 2π R2 2

i −1 −1 −1 −1 − a−1 {a a a da + , a }a da + a da ) dtdτ . 1 0 0 0 0 1 0 0 0 2 0 (4.10)

Boundaries, Eta Invariant and the Determinant Bundle So α2 (a) =

1 2π

Tr R2

i −1 − {a−1 , da0 } − a−1 0 a1 a0 da0 2 0

i −1 −1 + {a−1 , a }a da + a da 0 0 1 dtdτ . 0 0 2 0

161

(4.11)

On the right-hand side of (4.11), the first term vanishes since it is the integral of the trace of a Poisson bracket. Indeed, integrating by parts one of the terms with respect to t and τ, −1 Tr({a−1 , da })dtdτ = Tr(Dt a−1 0 0 0 Dτ (da0 ) − Dτ a0 Dt (da0 ))dtdτ 2 2 R R −1 = Tr(Dt a−1 0 Dτ (da0 ) + Dt Dτ a0 (da0 ))dtdτ (4.12) R2 −1 = Tr(Dt a−1 0 Dτ (da0 ) − Dt a0 Dτ (da0 ))dtdτ R2

= 0. Hence, 1 α2 (a) = 2π

R2

i −1 −1 −1 Tr( {a−1 , a0 }a−1 0 da0 + a0 da1 − a0 a1 a0 da0 )dtdτ. 2 0

(4.13)

The last two terms on the right combine to give iπdμ(a). Writing out the Poisson bracket in terms of t and τ , gives (4.7). Proposition 4.4. Integration of the 1-form α2 gives an isomorphism 1 (X; E) % f − → f ∗ α2 ∈ Z. φ : π1 G−∞ s(2) 2πi S1 Proof. By the previous proposition and Stokes’ theorem, 1 f ∗ α2 = g ∗ (Tr((a−1 da)3 )) 12πi 1 3 S S = 2πi g ∗ β2odd , ∀ f : S1 −→ G−∞ s(2) (X; E),

(4.14)

(4.15)

S3

where the map g is defined by g : S3 % (s, τ, t) −→ f (s)(t, τ ) ∈ G−∞ (X; E),

(4.16)

1 −1 and β2odd = 6(2πi) da)3 ). Our convention is that the orientation on R2 is 2 Tr((a given by the symplectic form ω = dτ ∧ dt. The 3-form β2odd on G−∞ (X; E) is such that (4.17) λ : π3 (G−∞ (X; E)) % h −→ S3 h∗ β2odd ∈ Z

is an isomorphism (see [9]) where G−∞ (X; E) = {Id +S; S ∈ Ψ−∞ (X; E), ((Id +S)−1 ∈ Ψ0 (X; E)} .

(4.18)

162


∼ 2 −∞ (X; E)], so the map f → g is an isoUp to homotopy, G−∞ s(2) (X; E) = [S , G −∞ ∼ morphism π1 (G−∞ (X; E)). Hence the proposition follows from s(2) (X; E)) = π3 (G (4.15) and (4.17). We may identify m Ψm s(2n) (M/B; E, F ) ⊂ Ψs(2n) (M/B; E, F )

(4.19)

as the subspace of elements independent of . For an elliptic family L with vanishing numerical index one can then consider in the same way as above the (non-empty) principal G−∞ s(2n) (Yb ; Fb ) spaces Lb = {Lb + Sb ; Sb ∈ Ψ−∞ s(2n) (Yb ; Eb , Fb ) ∃ (Lb + Sb )−1 ∈ Ψ−m s(2n) (Yb ; Fb , Eb )}

(4.20)

forming a smooth infinite-dimensional bundle over B. Definition 4.5. For an elliptic family L ∈ Ψm s(2n) (M/B; E, F ) with vanishing numerical index, the determinant line bundle is given by Det(L) = L ×G−∞

s(2n)

(M/B;E)

C

(4.21)

where each fibre of G−∞ s(2n) (M/B; E) acts on C via the determinant of Proposition 4.2.

5. Cobordism invariance of the index Suppose that the fibration (2.1) arises as the boundary of a fibration where the fibre is a compact manifold with boundary: ∂M Nn ∂Z Mm yy || ∂ y | y | yy || |yy ~| | ∂φ MD Z DD DD D φ DD " B,

(5.1)

∂

so Z and M are compact manifolds with boundary. Let E and F be complex vector bundles over the manifold M. Suspending the short exact sequence of Proposition 1.2 one arrives at the short exact sequence I

m m xΨm cs(k) (Z; E, F ) −→ Ψcs(k) (Z; E, F ) −→ Ψs(k+1) (∂Z; E, F ), k ∈ N.

(5.2)

Theorem 5.1. Let L ∈ Ψm s(2n) (∂M/B; E, F ) be an elliptic family of 2n-suspended pseudodifferential operators and suppose that the fibration arises as the boundary of a fibration as in (5.1) and that L is the indicial family L = I(P ) of an elliptic


163

family P ∈ Ψm cs(2n−1) (M/B; E, F ) of (2n − 1)-suspended cusp pseudodifferential operators, then the index bundle of (4.20) is trivial. Proof. Given b ∈ B, we claim that Pb can be perturbed by Qb ∈ Ψ−∞ cs(2n−1) (Mb ; Eb , Fb ) to become invertible. Indeed, we may think of Pb as a family of cusp operators on R2n−1 . To this family we can associate the bundle Ib over R2n−1 of invertible perturbations by elements in Ψ−∞ cu (Mb ; Eb , Fb ). This bundle is well defined in the sense that invertible perturbations exist for all t ∈ R2n−1 by Theorem 5.2 of [9]. The ellipticity of Pb ensures that there exists R > 0 such that Pb (t) is invertible for |t| ≥ R. By the contractibility result of [9], there exists an invertible section Pb (t) + Qb (t) of Ib such that Qb (t) = 0 for |t| > R. In particular Qb is an element of Ψ−∞ cs(2n−1) (Mb ; Eb , Fb ), and so Pb + Qb is the desired invertible perturbation. It follows that there exists Sb ∈ Ψ−∞ s(2n) (∂Zb ; Eb , Fb ) such that I(Pb ) = Lb is invertible. This could also have been seen directly using K-theory and the cobordism invariance of the index. In any case, this shows that the family P gives rise to a bundle Pcs(2n−1) on the manifold B with fibre at b ∈ B Pcs(2n−1),b = {Pb + Qb ; Qb ∈ Ψ−∞ cs(2n−1) (Zb ; Eb , Fb ), (Pb + Qb )−1 ∈ Ψ−k cs(2n−1) (Zb ; Fb , Eb )}. (5.3) If we consider the bundle of groups G−∞ cs(2n−1) (M/B; E) −→ B with fibre at b ∈ B −∞ G−∞ cs(2n−1) (Zb ; Eb ) = {Id +Qb ; Qb ∈ Ψcs(2n−1) (Zb ; Eb ),

(Id +Qb )−1 ∈ Ψ0cs(2n−1) (Zb ; Eb )}, (5.4) then Pcs(2n−1) may be thought as a principal G−∞ cs(2n−1) (M/B; E)-bundle, where −∞ the group Gcs(2n−1) (Zb ; Eb ) acts on the right in the obvious way. From [9] it follows G−∞ cs(2n−1) (Zb ; Fb ), is weakly contractible. Hence, Pcs(2n−1) has a global section defined over B, so is trivial as a principal G−∞ cs(2n−1) (M/B; E)-bundle. Taking the indicial family of this global section gives a global section of the bundle L which is therefore trivial as a principal G−∞ s(2n) (M/B; E)-bundle. As an immediate consequence, the determinant bundle of a 2n-suspended family which arises as the indicial family of elliptic cusp operators is necessarily trivial. Indeed, it is an associated bundle to the index bundle, which is trivial in that case. In the case of a twice-suspended family we will give an explicit trivialization in terms of the extended τ invariant of the elliptic cusp family. To do so we first need to define the η invariant in this context. As for the determinant of a suspended family discussed in [10] and in §4 above, the extended η invariant is only defined on the -extended operators which we discuss first.

164


6. Suspended cusp -algebra On a compact manifold Z with boundary, consider, for a given boundary defining function x, the space of formal power series Am (Z; E) =

∞

εj xj Ψm cs (Z; E)

(6.1)

j=0

in which the coefficients have increasing order of vanishing at the boundary. The exterior derivations Dt (differentiation with respect to the suspending parameter) and Dlog x can be combined to give an exterior derivative D = (Dt , Dlog x )-valued in R2 . Here, the derivation Dlog x is defined to be d z −z

x Ax z=0 . Dlog x A = dz for A ∈ Ψm cs (Z; E). It is such that (cf. [9] where a different convention is used for the indicial family) 1 I( Dlog x A)) = Dτ I(A) x where τ is the suspension variable for the indicial family. Combining this with the symplectic form on R2 gives a star product ip εj+k+p p ω(DA , DB )p Aj Bk , A∗B = 2 p! j,k,p (6.2) A= εj Aj , B = εk Bk . I(Dlog x A) = 0,

j

k p

Here, the differential operator ω(DA , DB ) is first to be expanded out, with DA being D acting on A and DB being D acting on B and then the product is taken in Ψm cs (Z; E). Note that p+1 m−1 Dlog x : xp Ψm Ψcs (Z; E) cs (Z; E) −→ x

so the series in (6.2) does lie in the space (6.1). The same formal argument as in the usual case shows that this is an associative product. We take the quotient by the ideal spanned by (εx)2 and denote the resulting algebra Ψm cs (Z; E). Its elements are sums A + εA , A ∈ xΨm cs (Z; E) and the product is just (A + εA ) ∗ (B + εB ) = AB + ε(AB + A B) iε − (Dt ADlog x B − Dlog x ADt B) mod ε2 x2 . (6.3) 2 The minus sign comes from our definition of the symplectic form (4.2). The boundary asymptotic expansion (1.8), now for suspended operators, extends to the power series to give a map into triangular, doubly-suspended, double power series I∗ : Am (Z; E) −→ Ψm (6.4) s(2) (∂Z; E)[[εx, x]].


165

To relate this more directly to the earlier discussion of star products on the suspended algebras we take the quotient by the ideal generated by x2 giving a map 0 1 m I˜ : Ψm (6.5) cs (Z; E) −→ a0 + xe + εxa1 , a0 , e, a1 ∈ Ψs(2) (∂Z; E) . The surjectivity of the indicial map shows that this map too is surjective and so induces a product on the image. Proposition 6.1. The surjective map I˜ in (6.5) is an algebra homomorphism for the product generated by i b0 = a0 b0 − εx (Dt a0 Dτ b0 − Dτ a0 Dt b0 ) , a0 , b0 ∈ Ψm a0 ˜ s(2) (∂Z; E) 2 extending formally over the parameters εx, x to the range in (6.5).

(6.6)

Proof. First observe that in terms of the expansions (1.7) for A ∈ Ψm cs (Z; E) and B ∈ Ψm (Z; E) at the boundary cs I∗ (AB) = A0 B0 + x(A0 F + EB0 ) + O(x2 ), A = A0 + xE + O(x2 ),

B = B0 + xF + O(x2 ).

It follows that for A = A0 + xE + εxA1 , B = B0 + xF + εxB1 the image of the product is i ˜ ∗ B) = I(A) ˜ I(B) ˜ I(A − εx (Dt a0 Dτ b0 − Dτ a0 Dt b0 ), 2 where a0 = I(A0 ) and b0 = I(B0 ). This is precisely what is claimed.

(6.7)

For any manifold without boundary Y we will denote by Ψm s˜ (2) (Y ; E) the corresponding algebra with the product coming from (6.7) so that (6.5) becomes the homomorphism of algebras m I˜ : Ψm cs (Z; E) −→ Ψs˜ (2) (∂Z; E).

(6.8)

As the notation indicates, this algebra is closely related to Ψm s(2) (Y ; E) discussed in §4. Namely, by identifying the parameter as = εx the latter may be identified with the quotient by the ideal xΨm s(2)

/ Ψm s˜ (2) (Y ; E)

=εx

/ Ψm s(2) (Y ; E).

(6.9)

Similarly, for the invertible elements of order zero, 0 (Y ; E) G s(2)

/ G0s˜(2) (Y ; E)

=εx

/ G0s(2) (Y ; E)

is exact, where 0 (Y ; E) = {Id +Q ∈ G0 (Y ; E); Q ∈ xΨ0 (Y ; E)}. G s(2) s˜ (2) s(2)

(6.10)

166


7. Lifting the determinant from the boundary As a special case of (6.10) the groups of order −∞ perturbations of the identity are related in the same way: −∞ (Y ; E) −→ G−∞ (Y ; E) G s(2) s˜ (2) 0 1 0 = Id +A0 + xE + εxA1 , A0 , E, A1 ∈ Ψ−∞ s(2) (Y ; E); Id +A0 ∈ Gs(2) (Y ; E) −→ G−∞ s(2) (Y ; E), (7.1) where −∞ (Y ; E) = {Id +Q ∈ G−∞ (Y ; E); Q ∈ xΨ−∞ (Y ; E)}. G s(2) s(2) s(2) The determinant defined on the quotient group lifts to a homomorphism on the larger group with essentially the same properties. In fact, it can be defined directly as 1

γ ∗α ˜2 , b ∈ G−∞ (7.2) det(b) = exp s˜ (2) (Y ; E) 0

where α ˜ 2 is the coefficient of εx in the expansion of a−1 ˜da and γ is a curve from the identity to b. Since the normal subgroup in (7.1) is affine, the larger group is contractible to the smaller. Certainly the pull-back of α ˜ 2 to the subgroup is α2 , with replaced by εx, so Proposition 4.4 holds for the larger group as well. Indeed a minor extension of the computations in the proof of Proposition 4.3 shows that at a = (a0 + xe2 + εxa1 ) ∈ G−∞ s˜ (2) (Y ; E)

−1 −1 i −1 −1 −1 −1 −1 −1 a = a0 − x a0 ea0 + εx a0 a1 a0 + {a0 , a0 }a0 2 (7.3) =⇒ α ˜ 2 = α2 in terms of formula (4.7). Since the group −∞ −1 G−∞ ∈ Id +Ψ−∞ (7.4) cs (Z; E) = Id +A, A ∈ Ψcs (Z; E); ∃ (Id +A) cs (Z; E) is homotopic to its principal part, and hence is contractible, the lift of d log det under I˜ must be exact; we compute an explicit formula for the lift of the determinant. Theorem 7.1. On G−∞ cs (Z; F ), ˜ det(I(A)) = eiπηcu (A) where 1 ηcu (A) = 2πi

∂A0 −1 −1 ∂A0 ˜ + A Tr A0 dt + μ(I(A)), ∂t ∂t 0 R

(7.5)

with μ defined in Proposition 4.3.

(7.6)


167

Proof. We proceed to compute dηcu , 1 ∂dA0 −1 ∂A0 d(ηcu − μ)(A) = Tr − (A−1 ) + A−1 0 dA0 )(A0 0 2πi R ∂t ∂t ∂A0 −1 ∂dA0 −1 A0 − ( A0 )(dA0 A−1 + 0 ) dt. (7.7) ∂t ∂t Integrating by parts in the second and third terms gives

1 ∂A0 −1 −1 ∂A0 −1 −1 , A0 dA0 ] − [ A , dA0 A0 ] dt. (7.8) d(ηcu − μ)(A) = Tr [A0 2πi R ∂t ∂t 0 Using the trace-defect formula, this becomes ∂a0 ∂ −1 1 a0 da0 Tr a−1 d(ηcu − μ)(A) = − 2 0 4π R2 ∂t ∂τ ∂a0 −1 ∂ a0 da0 a−1 dtdτ, − 0 ∂t ∂τ

(7.9)

where a0 = I(A0 ). Expanding out the derivative with respect to τ and simplifying ∂a0 −1 ∂a0 −1 1 )(a0 )a da0 Tr (a−1 d(ηcu − μ)(A) = 2 0 4π R2 ∂t ∂τ 0 ∂a0 −1 ∂a0 −1 )(a0 )a0 da0 dtdτ, (7.10) − (a−1 0 ∂τ ∂t ˜ which shows that iπdηcu (A) = d log det(I(A)). Now, consider the subgroup G−∞ (Z; E) ⊂ G−∞ cs (Z; E) ˜ cs,I=Id

(7.11)

˜ consisting of elements of the form Id +Q with Q ∈ Ψ−∞ cs (Z; F ) and I(Q) = 0. In particular (Z; E) =⇒ I(Q0 ) = 0. (7.12) Id +Q ∈ G−∞ ˜ cs,I=Id Proposition 7.2. In the commutative diagram (Z; F ) G−∞ ˜ cs,I=Id

/ G−∞ (Z; F ) cs

ind

Z

/C

I˜

/ G−∞ (∂Z; F ) s˜ (2)

1 2 ηcu

(7.13)

det exp(2πi·)

/ C∗

the top row is an even-odd classifying sequence for K-theory. Proof. We already know the contractibility of the central group, and the end groups are contractible to their principal parts, which are classifying for even (Z; E), Q = Q0 + Q1 , and odd K-theory respectively. For A = Id +Q ∈ G−∞ ˜ cs,I=Id

168


˜ and the condition I(Q) = 0 reduces to Q0 , Q1 ∈ x2 Ψ−∞ cs (Z; F ) so are all of trace class. Then 1 ∂A0 1 ηcu (A) = )dt (7.14) Tr(A−1 0 2 2πi R ∂t

which is the formula for the odd index (2.4).

8. The extended η invariant Next we show that the cusp η-invariant defined in (7.6) can be extended to a function on the elliptic invertible elements of Ψm cs (Z; E). To do so the boundaryregularized trace Tr(A), defined on operators of order − dim(Z) − 1, is replaced by a fully regularized trace functional on ΨZcs (Z; E) following the same approach as in [7]. For m ∈ Z arbitrary and A ∈ Ψm cs (Z; E), dp A(t) ∈ Ψm−p (Z; E), cs dtp so the function

hp (t) = Tr

dp A(t) dtp

∈ C ∞ (R),

(8.1)

(8.2)

is well defined for p > m + dim(Z) + 1. Since the regularization in the trace functional is in the normal variable to the boundary, hp (t) has, as in the boundaryless case, a complete asymptotic expansion as t −→ ±∞, m−p+dim(Z)−l h± . (8.3) hp (t) ∼ p,l |t| l≥0

So

gp (t) =

t

−t

tp 0

···

t1

hp (r)drdt1 . . . dtp

(8.4)

0

also has an asymptotic expansion as t → ∞, gp (t) ∼ gp,j tm+1+dim(Z)−j + gp (t) + gp (t) log t,

(8.5)

j≥0

where gp (t) and gp (t) are polynomials of degree at most p. Increasing p to p + 1 involves an additional derivative in (8.2) and an additional integral in (8.4). This changes the integrand of the final integral in (8.4) by a polynomial so gp+1 (t)−gp (t) is a polynomial without constant term. This justifies Definition 8.1. The doubly regularized trace is the continuous linear map Tr : ΨZcs (Z; E) −→ C given by the coefficient of t0 in the expansion (8.5).

(8.6)


169

When m < −1 − dim(Z), this reduces to the integral of the boundaryregularized trace Tr(A) = Tr(A(t))dt. (8.7) R

In general, the doubly regularized trace does not vanish on commutators. However, it does vanish on commutators where one factor vanishes to high order at the boundary so the associated trace-defect can only involve boundary terms. The trace-defect formula involves a similar regularization of the trace functional on the boundary for doubly suspended operators. So for a vector bundle over a compact manifold without boundary consider Tr(b)dtdτ, b ∈ Ψm (8.8) s(2) (Y ; E), m < − dim(Y ) − 2. R2

For general b ∈ ΨZs(2) (Y ; E) set p

∂ b(t, τ ) ˜ p (t) = h Tr dτ, p > m + dim(Y ) + 2. ∂tp R As t → ±∞, there is again a complete asymptotic expansion m+1+dim(Y )−p−l ˜ p (t) ∼ h± h p,l |t|

(8.9)

(8.10)

l≥0

so

g˜p (t) =

t

−t

tp

···

0

t1

˜hp (r)drdt1 . . . dtp

(8.11)

0

has an asymptotic expansion as t → +∞ g˜p,j tm+2+dim(Y )−j + g˜p (t) + g˜p (t) log t, g˜p (t) ∼

(8.12)

j≥0

where g˜p (t) and g˜p (t) are polynomials of degree at most p. Proposition 8.2. For a ∈ ΨZs(2) (Y ) the regularized trace Trs(2) (a), defined as the coefficient of t0 in the expansion (8.12) is a well-defined trace functional, reducing to Trs(2) (a) =

R2

Tr(a)dtdτ, when m < − dim(Y ) − 2

(8.13)

and it satisfies Trs(2) (

∂a ) = 0. ∂τ

(8.14)

Proof. That Trs(2) (a) is well defined follows from the discussion above. That it vanishes on commutators follows from the same arguments as in [7]. Namely, the dp derivatives of a commutator, dt p [A, B], are themselves commutators and the sums of the orders of the operators decreases as p increases. Thus, for large p and for a ˜ p (t) vanishes. The identity (8.14) follows similarly. commutator, the function h

170


Proposition 8.3 (Trace-defect formula). For A, B ∈ ΨZcs (Z),

1 ∂I(B, τ ) ∂I(A, τ ) 1 Tr([A, B]) = Trs(2) I(A, τ ) Trs(2) I(B, τ ) =− . 2πi ∂τ 2πi ∂τ (8.15) Proof. For p ∈ N large enough, we can apply the trace-defect formula (1.14) to get

p

p ∂ ∂ 1 ∂ I(B, τ ) dτ, Tr [A, B] = Tr I(A, τ ) ∂tp 2πi R ∂tp ∂τ from which the result follows. Using the regularized trace functional, μ may be extended from G−∞ s˜ (2) (Y ; E, F ) to m Gs˜(2) (Y ; E) by setting 1 m Trs(2) (a−1 (8.16) 0 a1 ), a = (a0 + xe + εxa1 ) ∈ Gs˜ (2) (Y ; E). 2π 2 i Proposition 8.4. For A = A0 +εxA1 ∈ Gm cs (Z; E, F ), the set of invertible elements of Ψm cs (Z; E, F ),

∂A0 −1 ∂A0 1 ˜ ηcu (A) := + A Tr A−1 + μ(I(A)), (8.17) 0 2πi ∂t ∂t 0 is log-multiplicative under composition μ(a) =

m ηcu (A ∗ B) = ηcu (A) + ηcu (B), ∀ A ∈ Gm cs (Z; E, F ), B ∈ Gcs (Z; F, G). (8.18)

˜ τ ) and b = I(B, ˜ Proof. If a = I(A, τ ) denote the associated boundary operators, a straightforward calculation shows that 1 −1 μ(a ∗ b) = μ(a) + μ(b) − 2 Trs(2) (b−1 (8.19) 0 a0 {a0 , b0 }). 4π On the other hand,

∂(A0 B0 ) −1 ∂(A0 B0 ) −1 + (A0 B0 ) Tr (A0 B0 ) ∂t ∂t

∂A0 −1 ∂B0 −1 −1 ∂A0 −1 ∂B0 + Tr B0 + α, (8.20) + A + B = Tr A0 ∂t ∂t 0 ∂τ ∂τ 0 where

∂A0 ∂B0 −1 −1 , B B ] + [A , A ] . (8.21) α = Tr [B0−1 A−1 0 0 0 ∂t ∂t 0 0 Using the trace-defect formula (8.15),

∂a0 ∂b0 −1 −1 1 −1 −1 ∂a0 ∂b0 − b a α= Trs(2) b0 a0 2πi ∂t ∂τ ∂τ ∂t 0 0 (8.22) 1 −1 =− Trs(2) b−1 a {a , b } . 0 0 0 0 2πi Combining (8.19), (8.20) and (8.22) gives (8.18).


171

9. Trivialization of the determinant bundle In §4 the determinant bundle is defined for a family of elliptic, doubly-suspended, pseudodifferential operators on the fibres of a fibration of compact manifolds without boundary. When the family arises as the indicial family of a family of oncesuspended elliptic cusp pseudodifferential operators on the fibres of fibration, (5.1), the determinant bundle is necessarily trivial, following the discussion in §5, as a bundle associated to a trivial bundle. Theorem 9.1. If P ∈ Ψm cs (M/B; E, F ) is an elliptic family of once-suspended cusp pseudodifferential operators and P is the bundle of invertible perturbations by elements of Ψ−∞ cs (M/B; E, F ) then the τ invariant τ = exp(iπηcu ) : P −→ C∗

(9.1)

descends to a non-vanishing linear function on the determinant bundle of the indicial family τ : Det(I(P )) −→ C. (9.2) Proof. As discussed in §5, the bundle P has non-empty fibres and is a principal G−∞ cs (M/B; E)-bundle. The cusp eta invariant, defined by (8.17) is a well-defined function ηcu : P −→ C. (9.3) Moreover, under the action of the normal subgroup G−∞ (M/B; E) in (7.13) ˜ cs,I=Id it follows that the exponential, τ, of ηcu in (9.1) is constant. Thus τ : P −→ C∗

is well defined where P =

P/G−∞ (M/B; E) ˜ cs,I=Id

(9.4) is the quotient bundle with fibres

which are principal spaces for the action of the quotient group G−∞ s˜ (2) (∂; E) in (2.9). ˜ In fact I identifies the fibres of P with the bundle L of invertible perturbations by Ψ−∞ s˜ (2) (∂Z; E, F ) of the indicial family of the original family P, so τ : L −→ C∗ .

(9.5)

Now, the additivity of the cusp η invariant in (8.19) and the identification in (7.13) of τ with the determinant on the structure group shows that τ transforms precisely as a linear function on Det(I(P )): τ : Det(I(P )) −→ C.

10. Dirac families In this section, we show that Theorem 9.1 can be interpreted as a generalization of a theorem of Dai and Freed in [5] for Dirac operators defined on odd-dimensional Riemannian manifolds with boundary. This essentially amounts to two things. First, that the eta functional defined in(8.17) corresponds to the usual eta invariant in the Dirac case, which is established in Proposition 10.2 below. Since we are only

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defining this eta functional for invertible operators, eiπη really corresponds to the τ functional which trivializes the inverse determinant line bundle in [5]. Secondly, that in the Dirac case, the determinant bundle det(I(P )) is isomorphic to the determinant line bundle of the associated family of boundary Dirac operators, which is the content of Proposition 10.3 below. As a first step, let us recall the usual definition of the eta function on a manifold with boundary (see [11]). Let X be a Riemannian manifold with nonempty boundary ∂X = Y . Near the boundary, suppose that the Riemannian metric is of product type, so there is a neighborhood Y × [0, 1) ⊂ X of the boundary in which the metric takes the form (10.1) g = du2 + hY where u ∈ [0, 1) is the coordinate normal to the boundary and hY is the pullback of a metric on Y via the projection Y × [0, 1) −→ Y. Let S be a Hermitian vector bundle over X and let D : C ∞ (X, S) −→ C ∞ (X, S) be a first-order elliptic differential operator on X which is formally selfadjoint with respect to the inner product defined by the fibre metric of S and the metric on X. In the neighborhood Y × [0, 1) ⊂ X of the boundary described above, assume that the operator D takes the form

∂ +A (10.2) D=γ ∂u

where γ : S Y −→ S Y is a bundle isomorphism and A : C ∞ (Y,S Y ) −→ C ∞ (Y,S Y ) is a first-order elliptic operator on Y such that γ 2 = − Id, γ ∗ = −γ, Aγ = −γA, A∗ = A.

(10.3)

∗

Here, A is the formal adjoint of A. Notice in particular that this includes the case of a compatible Dirac operator when S is a Clifford module and γ = cl(du) is the Clifford multiplication by du. If ker A = {0}, consider the spectral boundary condition

(10.4) ϕ ∈ C ∞ (X, S), Π− (ϕ Y ) = 0, where Π− is the projection onto the positive spectrum of A. In the case where ker A = {0}, a unitary involution σ : ker A −→ ker A should be chosen such that σγ = −γσ (such an involution exists), and the boundary condition is then modified to

(10.5) ϕ ∈ C ∞ (X, S), (Π− + P− )(ϕ Y ) = 0, where P− is the orthogonal projection onto ker (σ + Id). The associated operator Dσ is selfadjoint and has pure point spectrum. For this operator, the eta invariant is ∞ 2 1 1 s− 2 Tr(Dσ e−sDσ )ds. (10.6) ηX (Dσ ) = √ π 0 To make a link with the cusp calculus, we need to enlarge X by attaching the half-cylinder R+ × Y to the boundary Y of X. The product metric near the boundary extends to this half-cylinder, which makes the resulting manifold a complete Riemannian manifold. Similarly, the operator D has a natural extension to


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M using its product structure near the boundary. Denote its L2 extension (on M ) by D. The operator D is selfadjoint. The eta invariant of D is ∞ 1 1 ηM (D) = √ s− 2 tr(E(z, z, s))dzds, (10.7) π 0 M 2

where E(z1 , z2 , s) is the kernel of De−sD . One of the main result of [11] is to establish a correspondence between the eta invariants (10.6) and (10.7). Theorem 10.1 (M¨ uller). Let D : C ∞ (X, S) −→ C ∞ (X, S) be a compatible Dirac operator which, on a neighborhood Y × [0, 1) of Y in X, takes the form (10.2), let C(λ) : ker A −→ ker A be the associated scattering matrix (see [11] for a definition) in the range |λ| < μ1 , where μ1 is the smallest positive eigenvalue of A and put σ = C(0), then ηX (Dσ ) = ηM (D). Now, on M, it is possible to relate D to a cusp operator. Extending the variable u to the negative reals gives a neighborhood Y × (−∞, 1) ⊂ M of ∂X in M. The variable 1 x=− (10.8) u takes value in (0, 1) and by extending it to x = 0, gives a manifold with boundary M , with x as a boundary defining function so fixing a cusp structure. Denote by Dc the natural extension of D to M . Near the boundary of M ,

2 ∂ Dc = γ x +A (10.9) ∂x and so is clearly a cusp differential operator. If S = S + ⊕ S − is the decomposition of S as a superspace, then ˆ cs (t) = Dc + it ∈ Ψ1cs (M ¯ ; S) D

(10.10)

is a suspended cusp operator, where there are no x and εx terms. When Dc is ˆ cs is invertible as well and ηcu (D ˆ cs ) is well defined. invertible, D Proposition 10.2. Let X, Y, M, M be as above and let D be a compatible Dirac operator for some Clifford module S on X, which, on a neighborhood Y × [0, 1) of Y takes the form (10.2), suppose that D is invertible, and let Dc be its extension to M , then ˆ cs ), ηX (Dσ ) = ηcu (D ˆ cs = Dc + it ∈ Ψ1 (M ; S) and σ is trivial since A is invertible. where D cs ˆ cs ) = ηM (D). In Proof. By the theorem of M¨ uller, it suffices to show that ηcu (D order to do this, we closely follow the proof of Proposition 5 in [7], which is the same statement but in the case of a manifold without boundary.

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R. Melrose and F. Rochon 2

Let E(z1 , z2 , s) denote the kernel of De−sD , where D is the L2 extension of ð on M . In [11], it is shown that tr(E(z, z, s)) is absolutely integrable on M , so set tr(E(z, z, s))dz , s ∈ [0, ∞). (10.11) h(s) = M

Then, (see [11]) for n = dim(X) even, h(s) ∈ C ∞ ([0, ∞)), while for n = dim(X) 1 odd, h(s) ∈ s 2 C ∞ ([0, ∞)). Moreover, since ker D = {0}, h is exponentially decreasing as s → +∞. As in [7], consider ∞ 2 g(v, t) = e−st h(s)ds , v ≥ 0. (10.12) v 1 2

This is a smooth function of v in v ≥ 0 and t ∈ R, and as |t| → ∞, it is rapidly decreasing if v > 0. From the fact that h(s) ∈ C ∞ ([0, ∞)) for n even, 1 h(s) ∈ s 2 C ∞ ([0, ∞)) for n odd, and the exponential decrease, we get

∂ p

≤ Cp

t g(v, t) (10.13)

1 + t2 , v ≥ 0, t ∈ R.

∂t So g is uniformly a symbol of order −2 in t as v approaches 0. In fact, when n is odd, it is uniformly a symbol of order −3. Now,using the identity +∞ 1 1 s 2 exp(−st2 )dt , s > 0, (10.14) 1= √ π −∞ ηM (D) may be written as a double integral

∞ +∞ 2 1 1 1 ∞ s− 2 h(s)ds = e−st h(s)dt ds. ηM (D) = √ π 0 π 0 −∞

(10.15)

The uniform estimate (10.13) allows the limit and integral to be exchanged so +∞ 1 g(v, t)dt. (10.16) ηM (D) = lim π v→0 −∞ For p ∈ N0

gp (v, t) :=

t

−t

0

tp

··· 0

t1

∂p g(v, r)drdt1 . . . dtp , ∂rp

(10.17)

has a uniform asymptotic expansion as t → ∞ and ηM (D) is just the limit as v → 0 of the coefficient of t0 in this expansion. The kernel E(z1 , z2 , s) can also be thought as the kernel of Dc e−sDc , a cusp operator of order −∞ on M . This can be checked directly from the explicit construction of E(z1 , z2 , s) given in [11]. Therefore, 2

h(s) = Tr(Dc e−sDc ),

(10.18)

where Tr is the regularized trace defined in [9]. Note however that in this case, it is just the usual trace, that is, the integral of the kernel along the diagonal, since


175

the residue trace vanishes. Consider now the (cusp product-suspended) operator ∞ 2 2 Dc ˆ A(t) = e−st Dc e−sDc ds = 2 . (10.19) t + Dc2 0 ˆ is the coefficient of t0 in the asymptotic expansion as t → ∞ of Then, Tr(A) t tp t1 dp ˆ ··· Tr( p A(r))drdt (10.20) 1 . . . dtp dr −t 0 0 for p > n = dim(M ) and

p p ∞

d ˆ d −st2 −sDc2 A(t) = Tr Tr e Dc e ds dtp dtp 0 ∞ 2 2 dp dp = p e−st Tr(Dc e−sDc )ds = p g(0, t), dt 0 dt so ηM (D) =

1 ˆ π Tr(A). ∞

ˆ consider Instead of A, 2

2

e−st (Dc − it)e−sDc ds =

ˆ = B(t)

(10.21)

0

1 ˆ cs )−1 . = (D it + Dc

(10.22)

ˆ − A) ˆ = 0, so finally ˆ − A(t) ˆ is odd in t, Tr(B Since B(t)

1 ˆ cs )(D ˆ cs ) (10.23) ˆ cs )−1 ) = 1 Tr ∂ (D ˆ cs )−1 + (D ˆ cs )−1 ∂ (D ηM (D) = Tr((D π 2πi ∂t ∂t ˆ cs ). = ηcu (D Let ð be some compatible Dirac operator as in Proposition 10.2. Then near the boundary of M , its cusp version ðc takes the form ∂ ðc = γ(x2 + A). (10.24) ∂x Here, it is tacitly assumed that near the boundary, S is identified with the pull-back of S ∂M via the projection ∂M × [0, 1) −→ ∂M . Since the map T ∗ (∂M ) % ξ −→ cl(du)cl(ξ) ∈ Cl(M ), γ = cl(du),

1 x=− , u

(10.25)

extends to an isomorphism of algebras

Cl(∂M ) −→ Cl+ (M ) ∂M ,

(10.26)

where Cl(∂M ) and Cl(M ) are the Clifford algebras of ∂M and M , this gives an + action of Cl(∂M ) on S 0 = S + |∂M . If ν + : S∂M −→ S 0 denotes this identification, − S∂M can be identified with S 0 via the map

(10.27) ν − = ν + ◦ cl(du) : S − ∂M −→ S 0 . The combined identification ν : S|∂M −→ S 0 ⊕ S 0 allows us

∂ 0 ð0 + x2 ∂x 0 ðc = γ = ∂ −1 ð0 − x2 ∂x 0

to write ðc and γ as

1 (10.28) 0

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acting on S 0 ⊕S 0 , where ð0 is the Dirac operator associated to the Cl(∂M )-module S 0 . If instead we decompose the bundle S 0 ⊕ S 0 in terms of the ±i eigenspaces S ± of γ, then ðc and γ take the form 2∂

ix ∂x ð− i 0 0 ðc = , γ = (10.29) ∂ 0 −i ð+ −ix2 ∂x 0 + − with ð± 0 = ±ið0 , so that ð0 and ð0 are the adjoint of each other. In this notation, ˆcs (t) can be written as the suspended operator ð

∂ it + ix2 ∂x ð− 0 ˆ ðcs (t) = . (10.30) ∂ ð+ it − ix2 ∂x 0

ˆs(2) (t, τ ) is Thus, its indicial operator ð

ˆ s(2) (t, τ ) = e iτx D ˆ c (t)e− iτx

ð Note that ˆ ˆ∗ ð ð s(2) s(2) =

x=0

2 + t + τ 2 + ð− 0 ð0 0

it − τ = ð+ 0

ð− 0 it + τ

0 − 2 2 t + τ + ð+ 0 ð0

.

(10.31)

(10.32)

ˆs(2) is invertible which is invertible everywhere except possibly at t = τ = 0 so ð + − for every t, τ ∈ R if and only if ð0 (and consequently ð0 ) is invertible. ˆs(2) Now, we wish to relate the determinant bundle associated to the family ð + with the determinant bundle of the boundary Dirac family ð0 using the periodicity of the determinant line bundle discussed in [10]. For Dirac operators on a closed manifold, this can be formulated as follows. 1 Proposition 10.3. If ð+ 0 ∈ Diff (N/B; S) is a family of Dirac type operators on a fibration of closed manifold N −→ B with vanishing numerical index then the determinant bundle of ð+ 0 is naturally isomorphic to the determinant bundle of the associated family of twice suspended operators

it − τ ð− 0 ∈ Ψ1s(2) (N/B; S ⊕ S) ðs(2) (t, τ ) = ð+ it + τ 0 + ∗ where ð− 0 = (ð0 ) .

In [10], this periodicity is formulated in terms of product-suspended operators instead of suspended operators, since in general, given P ∈ Ψ1 (Y ; S), the family of operators

it − τ P∗ Ps(2) (t, τ ) = P it + τ is a twice product-suspended operator but not a suspended operator unless P is a differential operator. In this latter case, which includes Dirac operators, the periodicity of the determinant line bundle can be formulated using only suspended operators.


177

11. Generalization to product-suspended operators As written, Theorem 9.1 applies to elliptic families of once-suspended cusp pseudodifferential operators. As we discussed in §10, this includes the result of Dai and Freed [5] for a family of self-adjoint Dirac operators D on a manifold with boundary by passing to the associated family of elliptic cusp operators and then to the elliptic family of once-suspended cusp operators D + it, the suspension parameter being t. More generally, one can consider the case of an arbitrary elliptic family of first-order self-adjoint cusp pseudodifferential operators P. Then P + it is not in general a once-suspended family of cusp operators. Instead we pass to the larger algebra, and related modules Ψk,l cps (M/B; E, F ), of product-suspended cusp pseudodifferential operators since then 1,1 P + it ∈ Ψcps (M/B; E).

(11.1)

The ellipticity of P again implies the corresponding full ellipticity of P + it. Enough of the properties of suspended (cusp) operators extend to the product-suspended case to allow the various definitions of regularized traces and the eta invariant to carry over to the more general case. In this context, the proof of Proposition 8.4 still applies, so the eta invariant is also multiplicative under composition of invertible fully elliptic cusp product-suspended operators. So, given an elliptic family of cusp product-suspended operators (see Definition .2 in the Appendix), consider the bundle P of invertible perturbations by elements in (M/B; E, F ) = Ψ−∞ Ψ−∞,−∞ cps cs (M/B; E, F ). Again the fibres are non-empty since the full ellipticity of Pb implies that it is invertible for large values of the suspension parameter t. Then the same argument as in the proof of Theorem 7.1 of [9] applies, using the contractibility of G−∞ cu (Mb ; E), to show the existence of an invertible perturbation Pb + Qb . At the same time, this shows the existence of an invertible perturbation of the indicial family I(Pb ) ∈ Ψk,l ps(2) (Mb ; Eb , Fb ), and so the associated index bundle and determinant bundle of the indicial family are also well defined, in the latter case using the ∗-product as before. Consequently, we can formulate the following generalization of Theorem 9.1 with the proof essentially unchanged. Theorem 11.1. If P ∈ Ψk,l cps (M/B; E, F ) is a fully elliptic family of cusp productsuspended pseudodifferential operators and P is the bundle of invertible perturbations by elements of Ψ−∞ cs (M/B : E, F ), then the τ invariant τ = exp(iπηcu ) : P −→ C∗ descends to a non-vanishing linear function on the determinant line bundle of the indicial family τ : Det(I(P )) −→ C.

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As a special case, Theorem 11.1 includes elliptic families of self-adjoint firstorder cusp pseudodifferential operators P ∈ Ψ1cu(M/B; E, F ) by considering the cusp product suspended family P + it ∈ Ψ1,1 cps (M/B; E, F ).

Appendix. Product-suspended operators In this appendix, we will briefly review the main properties of product-suspended pseudodifferential operators and then discuss the steps needed to extend this notion to the case of the cusp algebra of pseudodifferential operators on a compact manifold with boundary as used in §11. For a more detailed discussion on productsuspended operators see [10]. For the case of a compact manifold without boundary, product-suspended operators are, formally, generalizations of the suspended operators by relaxing the conditions on the the full symbols. This is achieved by replacing the radial compactification Rp × T ∗ X by the following blown-up version of it X

Rp × T ∗ X = [Rp × T ∗ X; ∂(Rp × X)]

(A.2)

where X is understood as the zero section of T ∗ X. If ρr and ρs denote boundary defining functions for the ‘old’ boundary and the ‘new’ boundary (arising from the blow-up) then set

−z ∞ X p ∗ S z,z (X Rp × T ∗ X; hom(E, F )) = ρ−z r ρs C ( R × T X; hom(E, F )).

(A.3)

This is the space of ‘full symbols’ of product-suspended pseudodifferential operators (with possibly complex multiorders). After choosing appropriate metrics and connections, Weyl quantization gives families of operators on X which we inter pret as elements of Ψz,z ps(p) (X; E, F ), the space of product p-suspended operators of order (z, z ). However this map is not surjective modulo rapidly decaying smoothing operators as is the case for ordinary (suspended) pseudodifferential operators. Rather we need to allow as a subspace

−∞,z −z ∞ 2 p Ψ−∞,z ps(p) (X; E, F ) = ρs C (R ×X ; Hom(E, F ), ΩR )) ⊂ Ψps(p) (X; E, F ) (A.4)

considered as smoothing operators on X with parameters in Rp . The image of the symbol space (A.3) under Weyl quantization is, modulo such terms, independent of the choices made in its definition. The product-suspended operators form a bigraded algebra. Property 1. For all k, k , l and l and bundles E, F and G,

l,l k+l,k +l (X; E, F ). Ψk,k ps(p) (X; F, G) ◦ Ψps(p) (X; E, F ) ⊂ Ψps(p)

There are two symbol maps. The usual symbol coming from the leading part of the full symbol in (A.3) at the ‘old’ boundary (Bσ ) and the ‘base family’ which involves both the leading term of this symbol at the ‘new’ boundary and the leading


179

term of the smoothing part in (A.4). These symbols are related by a compatibility condition just corresponding to the leading part of the full symbol at the corner. Property 2. The two symbols give short exact sequences

k,k −k ∞ Ψk−1,k C (Bσ ; hom(E, F )), ps(p) (X; E, F ) −→ Ψps(p) (X; E, F ) −→ ρ σ

(A.5)

and

k,k −1 k p−1 Ψps(p) (X; E, F ) −→ Ψk,k )/Sp−1 ; E, F ) ps(p) (X; E, F ) −→ Ψ ((X × S β

(A.6)

and the joint range is limited only by the condition σ(β) = σ|∂Bσ .

(A.7)

Ellipticity of A is the condition of invertibility of σ(A) and full ellipticity is in addition the invertibility of β(A).

Property 3. If a fully elliptic product-suspended operator Q ∈ Ψk,k ps(p) (X; E, F ) is invertible (i.e., is bijective from C ∞ (X; E) to C ∞ (X; F )) then its inverse is an element of Ψ−k,−k ps(p) (X; F, E). In §11, we also make use of the following important properties. Property 4. For all k ∈ Z, Ψks(p) (X; E, F ) ⊂ Ψk,k ps(p) (X; E, F ), −∞,−∞ Ψ−∞ (X; E, F ). s(p) (X; E, F ) = Ψps(p)

Property 5. If P ∈ Ψ1 (X; E, F ) is any first-order pseudodifferential operator, then P + it ∈ Ψ1,1 ps(1) (X; E, F ) where t is the suspension parameter. Property 6. Given Q ∈ Ψk,l ps(p) (X; E, F ),

∂Q (X; E, F ), ∈ Ψk−1,l−1 ps(p) ∂ti where t = (t1 , . . . , tp ) is the suspension parameter and i ∈ {1, . . . , p}. Next we extend this to a construction of cusp product-suspended pseudodifferential operators on a compact manifold with boundary Z. Again, for suspended cusp operators, there is a Weyl quantization map from the appropriate space of classical symbols ρ−z C ∞ (Rp × cu T ∗ Z; hom(E, F )) which is surjective modulo cusp operators of order −∞ decaying rapidly in the parameters. To capture the product-suspended case consider the spaces of symbols analogous to (A.3)

−z ∞ p cu T ∗ Z; ∂(Rp × Z)]; hom(E, F )) ρ−z r ρs C ([R ×

with the corresponding ‘old’ and ‘new’ boundaries. Then an element of the space

A ∈ Ψz,z cps(p) (Z; E, F )

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is the sum of the Weyl quantization (for the cusp algebra) of an element of (11) plus an element of the residual space

−z ∞ C (Rp ; Ψ−∞ Ψ−∞,z cu (Z; E, F )). cps(p) (Z; E, F ) = ρ

(A.8)

Now, with this definition the properties above carry over to the boundary setting. Property 1 is essentially unchanged. The same two homomorphisms are defined, the symbol and base family, with the latter taking values in families of cusp operators. In addition the indicial family for cusp operators leads to a third homomorphism giving a short exact sequence

I

m,m cu k,l xΨm,m cps(p) (Z; E, F ) −→ Ψcps(p) (Z; E, F ) −→ Ψps(p),sus (∂Z; E, F )

where the image space has the same p product-suspended variables but taking values in the suspend operators on ∂Z. Since the suspended algebra may be realized in terms of ordinary pseudodifferential operators on R × ∂Z there is no difficulty in considering these ‘mixed-suspended’ operators.

Definition .2. A cusp product-suspended operator A ∈ Ψm,m cps(p) (Z; E, F ) is said to be elliptic if both its symbol σ(A) and its base family β(A) are invertible; it is fully elliptic if its symbol σ(A), its base family β(A) and its indicial family are all invertible.

References [1] P. Albin and R.B. Melrose, Fredholm realizations of elliptic symbols on manifolds with boundary, Arxiv: math.DG/0607154. [2] M.F. Atiyah, V.K. Patodi, and I.M. Singer, Spectral asymmetry and Riemannian geometry III, Math. Proc. Cambridge Philos. Soc. 79 (1976), 71–99. [3] M.F. Atiyah and I.M. Singer, The index of an elliptic operator IV, Ann. of Math. 93 (1971), 119–138. [4] J.-M. Bismut and D. Freed, The analysis of elliptic families, II, Comm. Math. Phys. 107 (1986), 103. [5] X. Dai and D.S. Freed, η-invariants and determinant lines, J. Math. Phys. 35 (1994), no. 10, 5155–5194, Topology and physics. [6] R. Mazzeo and R.B. Melrose, Pseudodifferential operators on manifolds with fibred boundaries, Asian J. Math. 2 (1999), no. 4, 833–866. [7] R.B. Melrose, The eta invariant and families of pseudodifferential operators, Math. Res. Lett. 2 (1995), no. 5, 541–561. MR 96h:58169 [8] R.B. Melrose and V. Nistor, Homology of pseudodifferential operators I. manifold with boundary. [9] R.B. Melrose and F. Rochon, Families index for pseudodifferential operators on manifolds with boundary, IMRN (2004), no. 22, 1115–1141. , Periodicity of the determinant bundle, Comm. Math. Phys. 274 (2007), no. 1, [10] 141–186.


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[11] W. M¨ uller, Eta invariants and manifolds with boundary, J. Diff. Geom. 40 (1994), 311–377. [12] D. Quillen, Determinants of Cauchy-Riemann operators over a Riemann surface, Funct. Anal. Appl. 19 (1985), 31–34. Richard Melrose Department of Mathematics MIT 77 Massachusetts Avenue Cambridge, MA 02139-4307 USA e-mail: [email protected] Frédéric Rochon Department of Mathematics University of Toronto 40 St. George Street Toronto, Ontario, M5S 2E4 Canada e-mail: [email protected]


Elliptic Theory on Manifolds with Corners: I. Dual Manifolds and Pseudodifferential Operators Vladimir Nazaikinskii, Anton Savin and Boris Sternin Abstract. In this first part of the paper, we define a natural dual object for manifolds with corners and show how pseudodifferential calculus on such manifolds can be constructed in terms of the localization principle in C ∗ algebras. In the second part, these results will be applied to the solution of Gelfand’s problem on the homotopy classification of elliptic operators for the case of manifolds with corners. Mathematics Subject Classification (2000). Primary 58J05; Secondary 47L15, 35S35. Keywords. Manifold with corners, elliptic operator, localization principle.

Introduction This paper deals with elliptic theory on manifolds with corners. Such manifolds arise for instance if one supplements the class of closed manifolds by manifolds with boundary and considers products of manifolds. A natural class of operators on such manifolds was introduced by Melrose [7, 8]. Operators on manifolds with corners have been actively studied; see, e.g., [1, 3, 4, 5, 6, 10, 11, 12, 13, 15]. The present paper consists of two parts. In the first part, we define a natural dual object for manifolds with corners and show how pseudodifferential calculus on such manifolds can be constructed in terms of the localization principle in C ∗ -algebras. In the second part, these results will be applied to the solution of Gelfand’s problem on the homotopy classification of elliptic operators for the case of manifolds with corners. Supported in part by RFBR grants 05-01-00982 and 06-01-00098, by President of the Russian Federation grant MK-1713.2005.1, and by the DFG project 436 RUS 113/849/0-1 “K-theory and Noncommutative Geometry of Stratified Manifolds.”

184

V. Nazaikinskii, A. Savin and B. Sternin

In more detail, the outline of the first part is as follows. In Section 1, we deal with the geometry of manifolds with corners. Specifically, • In Section 1.1 we recall some facts and definitions concerning manifolds with corners. Most of the material in this section is not new, except possibly in form. • In Section 1.2 we introduce a new geometric object, the dual manifold M # of a manifold M with corners, and study some structures on it. The importance of this space lies in the fact that, on the one hand, pseudodifferential operators on manifolds with corners can be naturally defined as operators local with respect to the action of the algebra of continuous functions on the dual manifold. On the other hand, as will be shown in the second part of this paper, under an additional assumption the K-homology of the dual manifold M # classifies the elliptic theory on M . In Section 2 we define zero-order pseudodifferential operators (ψDO) in L2 spaces on manifolds with corners. The definition is based on the localization principle in C ∗ -algebras (e.g., see [16, Proposition 3.1]), goes by induction over the depth of the manifold, i.e., the maximum codimension of the strata (one starts from smooth manifolds, which have depth zero), and naturally involves parameterdependent ψDO (which serve as symbols for ψDO at subsequent inductive steps). Hence we need some preliminaries: • In Section 2.1 we introduce L2 spaces on manifolds with corners. • In Section 2.2 we discuss translation-invariant operators in vector bundles over manifolds with corners and their relationship with parameter-dependent operators. • In Section 2.3 we present the adaptation [14] of the localization principle to operator families. The proofs are either contained in [14] or can be obtained from those in [14] by obvious modifications; hence we omit them altogether. After that, in Section 2.4 we give the definition of ψDO and prove their properties.

Nomenclature We shall use the following notation. L2 (X, μ, H) is the space of square integrable H-valued functions on a metric space X with respect to a measure μ (where H is a Hilbert space). We omit the argument H if H = C and also omit μ if it is clear from the context. BH and KH are the algebra of bounded operators and the ideal of compact operators in a Hilbert space H. C(X, A) is the C ∗ -algebra of continuous bounded functions on X ranging in ∗ a C -algebra A, and C0 (X, A) is the subalgebra of functions decaying at infinity. We omit the argument A if A = C.

Elliptic Theory on Manifolds with Corners: I

185

k=1

k=2

k=3 Figure 1. Manifolds with corners of depth k.

1. Geometry 1.1. Manifolds with corners and their faces Definition 1.1. A manifold of dimension n with corners is a Hausdorff topological space M in which each point x has a coordinate neighborhood of the form Rd+ × Rn−d , d = d(x) ∈ {0, . . . , n}, where x is represented by the origin. Moreover, the transition maps are smooth functions. Unless specified otherwise, we assume that M is connected and compact. The maximum number d is called the depth of the manifold and will be denoted by k = k(M ). Some examples of manifolds with corners are shown in Fig. 1. Open faces. The set Ml = {x ∈ M : d(x) = l} is a smooth manifold of codimension l in M . Its connected components are called open faces of codimension l. Let Γ◦j (M ), j = 0, . . . , N , be all possible open faces of M , and let dj be their codimensions. We assume that d0 = 0 (so that Γ◦0 (M ) = M ◦ is the interior of M ) and dj > 0 for j > 0. Thus M is represented as the disjoint union M=

N @

Γ◦j (M ) ≡ M ◦ & ∂M,

where ∂M =

j=0

Faces of codimension one are called hyperfaces.

N @ j=1

Γ◦j (M ) is the boundary of M .

186


Local defining functions. By definition, each point x ∈ F of a face of codimension d has a neighborhood U ⊂ M with local coordinates ρ1 , . . . , ρn such that the manifold is determined in these coordinates by the system of inequalities ρ1 ≥ 0, . . . , ρd ≥ 0.

(1)

The coordinates (ρ1 , . . . , ρd ) are called local defining functions of the face F . We point out the difference between the definition of manifold with corners used in this paper and the one in [7], where it is additionally assumed that the defining functions exist globally. Closed faces. Proposition 1.2. There exist canonically defined manifolds Γj (M ) with corners such that Γ◦j (M ) is the interior of Γj (M ) and the diagram / Γj (M ) Γ◦j (M ) II II II II ij i◦ j I$ M, where the horizontal arrow and i◦j are natural embeddings and ij is an immersion of manifolds with corners, commutes. The manifold Γj (M ) is called a closed face of M .

Proof is given in the Appendix. Since Γj (M ) is a compact manifold with corners, we have ∂Γj (M ) =

L @

Γ◦l (Γj (M )).

l=1

The image under ij of each open face Γ◦l (Γj (M )), l > 0, of the manifold Γj (M ) coincides with some open face Γ◦r (M ), r = r(l), of M with dr > dj . In this case, we say that the faces Γj (or Γ◦j ) and Γr (or Γ◦r ) are adjacent to each other and write Γj ' Γr . The restriction ijl := ij |Γ◦l (Γj (M)) : Γ◦l (Γj (M )) −→ Γ◦r(l) (M ) is a finite covering whose structure group is a quotient of the homotopy group π1 (Γ◦r(l) (M )). The compressed cotangent bundle. The compressed cotangent bundle T ∗ M of a manifold M with corners is defined in the usual way (see [7]). We take the subspace Vectb (M ) of the space Vect(M ) of vector fields on M formed by vector fields tangent to all open faces. The subspace Vectb (M ) is a locally free C ∞ (M )module. Indeed, in local coordinates (ρ1 , . . . , ρd , yd+1 , . . . , yn ) ∈ Rd+ × Rn−d


187

a local basis in Vectb (M ) is formed by the vector fields ρ1

∂ ∂ ∂ ∂ , . . . , ρd , ,..., . ∂ρ1 ∂ρd ∂yd+1 ∂yn

Consequently, Vectb (M ) is the section space of some vector bundle on M , which will be denoted by T M (the extended cotangent bundle of M ), and the compressed cotangent bundle T ∗ M is now defined as the bundle (R-)dual to T M . In the local coordinates (ρ1 , . . . , ρd , yd+1 , . . . , yn ), a basis in the module of sections of T ∗ M is given by the forms −1 ρ−1 1 dρ1 , . . . , ρd dρd , dyd+1 , . . . , dyn .

Conormal bundles of faces. Let F = Γ◦j (M ) be an open face of codimension d = dj in M . We define the conormal bundle of F as the subset N ∗ F ⊂ T ∗ M |F formed by functionals ξ vanishing on any vector v ∈ T M |F that can be continued to a vector field second-order tangent to all faces in ∂M . One readily sees that N ∗ F is indeed a vector bundle; a basis in its fiber consists of the 1-forms −1 ρ−1 1 dρ1 , . . . , ρd dρd .

This bundle can be canonically extended to a bundle over the closed face F ; the latter bundle is called the conormal bundle of F and is denoted by N ∗ F . Proposition 1.3. One has the canonical direct sum decomposition T ∗ M |F = T ∗ F ⊕ N ∗ F (where the bundle on the left-hand side is obtained as the pullback under the immersion of F in M ). Proof. The assertion is local, so that we can assume that F is embedded in M . Then the embedding T ∗ F ⊂ T ∗ M is obtained as the map dual to the restriction Vectb (M ) −→ Vectb (F ) of vector fields in Vectb (M )to F . Now the desired properties can be verified in coordinates. Normal bundles of faces. Let F = Γ◦j (M ) be again an open face of codimension ρ, y) be two coordinate systems on M in a d = dj in M , and let (ρ, y) and ( neighborhood of some point in F . Since ρ = ρ = 0 on F , we see that the change of variables (ρ, y) −→ ( ρ, y) has the form y = f (y) + O(ρ),

ρ = A(y)ρ + O(ρ2 ),

(2)

where A(y) is a smooth d × d matrix function. The mapping (2) should take the positive quadrant with respect to the variable ρ to itself, and hence, letting ρ tend to zero, we verify that A(y) = Π(y)Λ(y), where Π(y) is a permutation matrix (and hence is locally constant in y) and Λ(y) = diag{λ1 (y), . . . , λd (y)}

188


is a diagonal matrix with positive entries. The cocycle condition for the matrices A(y) implies that the matrices Π(y) themselves satisfy the same cocycle condition, so that we can define the d-dimensional real vector bundle N F over F for which the matrices Π(y) are the transition mappings. The change of variables tj = − ln ρj ,

j = 1, . . . , d,

clarifies the meaning of this bundle. The second component in (2) becomes t = Π(y)t + ln Λ(y) + O(e−2t ) = Π(y)t + O(1), tj → +∞,

j = 1, . . . , d.

Thus N F is the “bundle of logarithms of determining functions” of the submanifold F . We call it the logarithmic normal bundle of F . The matrices Π simultaneously d specify a bundle of positive quadrants R+ over F , which we denote by N+ F and call the normal bundle of F . We have the exponential mapping exp : N F −→ N+ F, (y, t) −→ (y, exp(−t)) = (y, e−t1 , . . . , e−td ), which diffeomorphically maps the first bundle onto the interior of the second. One readily sees that both bundles naturally extend to bundles N F and N+ F over the closed face F . By construction, the structure group of these bundles is a subgroup SF of the permutation group Sd . (Thus the numbering of the coordinates ρ in all charts is chosen in such a way that the transition matrices range in the subgroup SF .) Remark. We shall assume that the bundles N F and N ∗ F are reduced to the minimal possible permutation structure group SF . Proposition 1.4. The logarithmic normal bundle N F and the conormal bundle N ∗ F are canonically dual. Proof. It suffices to write out a natural invariant pairing; this can be done in the coordinates (ρ, y): for a form ∗ ω= aj ρ−1 j dρj ∈ N F and a vector ξ = (b1 , . . . , bd ) ∈ N F , we set

ω, ξ =

aj b j .

Under changes of coordinates, the components of ξ and ω are subjected to the same permutation, and the defining functions ρj are multiplied by nonzero numbers (the diagonal entries of the matrix Λ(y)), which does not affect the logarithmic derivatives, so that the numbers aj remain the same. Thus the pairing is independent of the choice of coordinates.


189

Remark. The bundles N F and N ∗ F viewed as bundles with the structure group SF are canonically isomorphic, since permutation matrices are unitary. Compatible exponential mappings. For each closed face Γj (M ) of a manifold M with corners, we have defined the normal bundle N+ Γj (M ). Just as with submanifolds of smooth manifolds, one can define exponential mappings of these bundles into the manifold M itself, which are local diffeomorphisms in a neighborhood of the zero section. Moreover, for adjacent faces these diffeomorphisms will be compatible in some sense. More precisely, the following theorem holds. Theorem 1.5. Let ε > 0 be sufficiently small. Then there exist smooth mappings fj : N+ Γj (M ) −→ M,

j = 1, . . . , N,

defined for |ρ| ≤ ε, where ρ is the variable in the fiber of the bundle N+ Γj (M ), such that the following conditions hold : 1. On the zero section, fj = ij . 2. fj is a local diffeomorphism. 3. The restriction fj |U of the mapping fj to some neighborhood of the open face Γ◦j (M ) in N+ Γj (M ) is a diffeomorphism. 4. If Γj (M ) ' Γl (M ), then the mappings fj and fl are locally compatible in the following sense. In a neighborhood of any point x ∈ Γl (M ), the diagram N+ Γj (M )

fl−1 ◦fj

π1

Γj (M )

/ N+ Γl (M )

(3)

π2

/ ϕ(Γj (M ))

fl−1 ◦fj

commutes, where π1 is the natural projection and π2 is the projection in the fibers of N+ Γl (M ) onto the coordinate subbundle into which Γj (M ) is mapped under the local diffeomorphism ϕ = fl−1 ◦fj , along the complementary coordinate subbundle.

Proof will be given in the Appendix. Remark. (a) Let Γj (M ) ' Γr (M ). Since N+ Γ◦l (Γj (M )) ⊂ i∗jl N+ Γr (M ),

r = r(l),

we see that by specifying a compatible tuple of exponential mappings fj for the faces of M we automatically specify such tuples for the faces of any closed face of M . (b) The composition fj = fj ◦ {t → e−t } : N Γj (M ) −→ M will also be referred to as the exponential map.

190


Corollary 1.6. The manifold M can be covered by finitely many coordinate neighborhoods U with coordinates ρU = (ρ1 , . . . , ρn ) such that M is given in these coordinates by the system of inequalities (1) and the following compatibility condition holds. Suppose that two charts U and U have a nonempty intersection. 1. If the number of defining functions in U and U is the same, then they coincide in U ∩ U up to a permutation. 2. Otherwise, the smaller set of defining functions is a subset of the larger set in U ∩ U . Remark 1.7. This assertion plays the same role in the theory of manifolds with corners as the collar neighborhood theorem does in the theory of manifolds with boundary. To be definite, we assume in the following that the defining functions specify coordinates in the domains where they are less than 3/2. 1.2. The dual manifold M # and the algebra C(M # ) Definitions. On the space Rkt × Rm x , we define the algebra C(k, m) of bounded continuous functions f (t, x) such that f (ω|t|, x) −→ F (ω) as |t| → ∞ uniformly with respect to x and ω = t/|t|, where F (ω) is some (continuous) function. In the algebra of continuous functions on the interior M ◦ of the manifold M , we single out a subalgebra C(M # ) as follows. We say that f ∈ C(M # ) if for each coordinate neighborhood U Rk+ × Rn−k on M the function F (t, x) = f |U (e−t1 , . . . , e−tk , xk+1 , . . . , xn ) can be extended to a function in C(k, n − k). One can readily see that each function f ∈ C(M # ) is constant on each hyperface of M . One can readily describe the space M # of maximal ideals of the algebra # C(M ). As a set, it is the disjoint union of the interior M ◦ of the manifold M and the following sets F # corresponding to faces F of positive codimension. • To each hyperface F , there corresponds a singleton F # . • To each face F of codimension k = codim F > 1, there corresponds a set F # that is the quotient of the open k − 1-simplex 0 1 ◦ (k−1 = x ∈ Rk : xi > 0, i = 1, . . . , k, xi = 1 by the action of the structure group SF of the bundle N F . We omit the straightforward but cumbersome description of the topology on M # , which can be derived from the preceding. We only note that, for two faces F1 and F2 , the set F1# is adjacent to F2# (the adjacency being induced by an embedding of a simplex of smaller dimension in the boundary of a simplex of larger dimension) if and only if F2 is adjacent to F1 .


191

Example 1.8. (1) If M is a manifold with boundary, then C(M # ) is the algebra of functions constant on connected components of the boundary. Hence M # is obtained by shrinking each boundary component into a point. (2) Any polyhedron in R3 in which exactly three edges (and hence three facets) meet at each vertex is a manifold with corners. For these polyhedra, our notion of duality coincides with the standard definition of the dual polyhedron. In particular, the dual of a cube is an octahedron, and the dual of a dodecahedron is an icosahedron. The tetrahedron proves to be self-dual. Fibered structure on the dual space. Here we assume that M is a manifold with corners such that the normal bundle of each face is trivial and show that a neighborhood of each simplex F # of the dual manifold M # is fibered over F # with fiber being a cone. This result will be used only in the proof of the classification theorem in the second part of this paper. Let F ⊂ M be an open face of codimension j. We shall construct a neighborhood U # of the simplex F # in the dual manifold M # . First, we construct a neighborhood U ⊂ N+ F . It is convenient to use the logarithmic coordinates ln : N+ F \ F (x, ρF )

−→ N F, → (x, y = − ln ρF ).

(4)

Here ρF = (ρ1 , . . . , ρj ) is the set of defining functions of F and the logarithm is taken componentwise. By virtue of the triviality assumption, it is globally defined. The image of the set in which ρl < 1 for all 1 ≤ l ≤ j will be denoted by N+ F ⊂ N F . In the coordinates y, it is given by the condition y > 0. We use similar coordinates in neighborhoods of all faces of the face F . Then F we obtain the following coordinates: the coordinates y ∈ Rj+ in in the space N+ the fibers; the coordinates in the neighborhood Rl+ × Rn−j−l ⊂ F of codimension l in F , which will be denoted by (x, ω), where (x1 , . . . , xl ) = (− ln ρ1 , . . . , − ln ρl ). (The coordinates x are uniquely determined up to permutation; the number of these coordinates is determined by the codimension in F of the face near which the point sits.) To construct the neighborhood U , on F we define the function |x| := s xs . This is invariant under permutations of defining functions and hence well defined. Now we globally define a set U ⊂ N+ F by the condition 0 1 U = (y, x, ω) ∈ N+ F | min y > |x| + 1 in local coordinates, where min y is the minimum of the coordinates y1 , . . . , yj . By way of example, Fig. 2 shows the case in which the manifold with corners is a 1-gon; the set U corresponding to the one-dimensional edge is shown in the lower part of the figure as a dashed infinite domain.

192


b)

a)

#

U

U

#

M M2

M

M1

c)

d) x=0 0,0

y x

y

0,0

x y

N+M1

U N+M1 U

x

x

0,0

x=0

0,0

y

Figure 2. a) the manifold M ; b) the dual space M # ; c) the positive quadrant in the normal bundle N+ M1 ; d) the neighborhood U ⊂ N+ M1 .

Consider the space # = M# \ M≥j

j−1

Mj# ,

j =1

obtained from M # by deleting all simplices of dimension ≤ j − 2. Lemma 1.9. 1. The restriction of the projection p : N+ F → M to U is one-toone (i.e., U can also be treated as an open set in M ; see top left in Fig. 2). 2. The dual space U # ⊂ M # is an open neighborhood of the open simplex F # # in M≥j (see top right in Fig. 2). Proof. Let us prove that p is one-to-one. This can be violated only where distinct parts of F meet each other. We should prove that the projections of components of U corresponding to two adjacent faces are disjoint. Indeed, let U be defined in the first part by the condition min y > |x| + 1.


193

Then in the second part some of the coordinates xI are interchanged with some of the coordinates yI for some nonempty index set I. Then the set U in the second part is described by the inequality min(xI , yI ) > |yI | + |xI | + 1 (in the original coordinates). Writing out these two systems componentwise, we see that they are inconsistent, so that the projections of the parts of U into M are disjoint. The second assertion holds by construction. Now we can prove that the neighborhood U # of the stratum F # is homeomorphic to the product of F # by the cone KΩ = [0, 1) × Ω/{0} × Ω. #

Here the base Ω of the cone is the dual space F of the closed face F . The dual manifold is well defined, since the closed face is a manifold with corners. As a result, we find that M # is a stratified manifold with singularities. Proposition 1.10. The projection p : U # → F # ,

p(y) := y/|y|,

is well defined. Its fiber is the cone KF # , and there is a homeomorphism U # F # × KF # . Proof. A straightforward computation shows that the projection p is well defined. We define the map U (y, x, ω)

−→ . F # × (0, 1) × F, / y |x| + 1 → , , (x, ω) , |y| min y

The inverse map has the form F # × (0, 1) × F (θ, r, x, ω)

−→ . →

U, / θ |x| + 1 , x, ω , min θ r

A routine verification of the fact that these mappings extend to homeomorphisms U # F # × KF # is left to the reader.

2. Pseudodifferential operators 2.1. The space L2 (M ) Our ψDO will act in the space L2 (M ), which is defined as follows. Let M be a compact manifold with corners, and let dvol be a smooth measure on M (obtained, say, via an embedding of M in a compact Riemannian manifold).

194


Now for each point x ∈ M we define a measure μx in M ◦ ∩ Ux , where Ux V ⊂ k R+ × Rn−k , k = d(x), is a coordinate neighborhood of x, by setting μx = (ρ1 ρ2 · · · ρk )−1 dvol,

(5)

where ρ1 , . . . , ρk are the coordinates in the R+ -factors. Next, we take a finite cover N M = j=1 Uxj and a subordinate partition of unity {ej } and set

μ=

N

ej μxj .

(6)

j=1

This measure is up to equivalence independent of the ambiguity in the construcdef

tion, and hence the space L2 (M ) ≡ L2 (M ◦ , μ) is well defined up to norm equivalence. For the following, we choose and fix such a measure and hence a Hilbert space structure in L2 (M ). Note that the interiors of M and M # are the same, and so L2 (M ) can also be viewed as L2 (M # ) (with respect to the same measure). Hence it bears the natural structure of a C(M # )-module. 2.2. Translation-invariant operators By Ss we denote the permutation group on s elements. Let M be a connected compact manifold with corners, and let E −→ M be a vector bundle on M with fiber Rs and structure group Ss acting by permutations of the standard basis vectors. We reduce E to a minimal structure group G ⊂ Ss (which is uniquely determined up to conjugacy) and consider the principal G −→ M associated with E. The following assertion is routine. bundle π : M is a connected manifold with corners equipped with Proposition 2.1. The space M , where U is a chart on M , the natural action of G given in any chart U × G on M −1 ∗ by the formula σ(z, g) = (z, gσ ), σ ∈ G. The lift π E is a trivial bundle, π ∗ E × Rs , where the trivialization is uniquely determined up to an automorphism of M Rs . The natural projection π ˆ : π ∗ E −→ E is given in coordinates by the formula U × G × Rs % (z, g, y) −→ (z, gy) ∈ U × Rs . The space L2 (E) (where the measure on E is locally chosen as the direct product of the measure on M constructed in the preceding subsection by the standard Lebesgue measure in the fibers) can be identified via the mapping π ˆ ∗ : L2 (E) −→ L2 (π ∗ E) with the subspace L2G (π ∗ E) ⊂ L2 (π ∗ E) formed by G-invariant functions u(x, y), i.e., functions satisfying the condition u(σx, σy) = u(x, y),

, x∈M

y ∈ Rs ,

Definition 2.2. A bounded operator A : L2 (E) −→ L2 (E)

σ ∈ G.


195

is said to be translation invariant if it is the restriction to L2G (π ∗ E) L2 (E) of a bounded operator : L2 (π ∗ E) −→ L2 (π ∗ E) A (7) 2 ∗ 2 ∗ such that AL (π E) ⊂ L (π E) and the condition G

G

[Au](x, y + t) = A[u(x, y + t)],

t ∈ Rs ,

of invariance under translations in Rs is satisfied. Proposition 2.3. If A : L2 (E) → L2 (E) is a translation-invariant operator, then the corresponding operator (7) is unique and commutes with the action of G. Moreover, A = A. Remark 2.4. Since the trivialization of π ∗ E is uniquely determined up to an au), the notion of a tomorphism of Rs (independent of the point of the base M translation-invariant operator in E is well defined. (Indeed, automorphisms of Rs take translations to translations.) Proof of Proposition 2.3. The translation-invariant operator (7) can be represented in the form

∂ A = B −i , (8) ∂y where ) −→ L2 (M ), p ∈ Rs , (9) B(p) : L2 (M is a bounded operator-valued function strongly measurable with respect to p. (This is well known routine fact; one possible proof is given in [14, Proposition 16].) In terms of the function B(p), the assertion of Proposition 2.3 acquires the form of the following lemma. (We give a slightly more general statement omitting the assumption that the group G acts by permutations of basis vectors.) Lemma 2.5. Let a finite group G act on the space L2 (Rs ; H), where H is a Hilbert space, by the formula [Tg f ](p) = Sg f (σg−1 p),

p ∈ Rs ,

where S is a representation of G on H and σ is a faithful representation of the same group on Rsp by linear transformations. Let B(p) : H −→ H,

p ∈ Rs ,

be a bounded strongly measurable operator-valued function such that the operator B : L2 (Rs ; H) −→ L2 (Rs ; H) induced by the pointwise application of B(p) preserves the subspace L2G (Rs ; H) = f ∈ L2 (Rs ; H) : Tg f = f ∀g ∈ G of G-invariant functions. Then

(10)

196


(i) The norm of B is equal to the norm of the restriction B ◦ of B to the subspace (10). In particular, if B(p)f (p) = 0 for almost all p for any element f ∈ L2G (Rs ; H), then B(p) = 0 for almost all p. (ii) The operator B is G-invariant, or, equivalently, the operator function B(p) satisfies B(p) = Sg−1 B(σg (p))Sg , g ∈ G, for almost all p ∈ Rs . Proof. (i) The norm of B is given by the formula B = ess sup B(p) = ess sup B(p) , p∈Rs

p∈Ω

where Ω ⊂ R is an arbitrary subset of full measure. For this set we take A Ω = Rs fix σg ), s

g∈G g =e

where fix σg is the set of fixed points of σg (which is at most a hyperplane, since σ is faithful). Let B = K and B ◦ = K ◦ . Then K ◦ ≤ K. To prove the opposite inequality, note that for each ε > 0 there exists a point p0 ∈ Ω such that ess sup B(p) > K − ε, p∈U

where U is an arbitrary neighborhood of p0 . It follows that there exists a function f ∈ L2 (Rs ; H) supported in U such that Bf ≥ (K − ε) f . Let U be so small that σg (U ) ∩ σh (U ) = ∅ Then the function ϕ(p) =

for g = h,

g, h ∈ G.

Sg f (p) if p ∈ σg (U ) for some g ∈ G, 0 otherwise

(11)

is well defined and G-invariant, and so Bϕ is also G-invariant by assumption. Since B acts by pointwise application of B(p), we have 1 ◦ 1 Bϕ < K ϕ = K ◦ f , Bf = |G| |G| so that K ◦ > K − ε. Since ε is arbitrary, we have K ◦ = K. (ii) The second assertion of the lemma is proved by the same method. Let U ⊂ Ω be an arbitrary sufficiently small open set, and let f ∈ L2 (Rs ; H) be a function supported in U and equal to an arbitrary vector v ∈ H there. Then the function (11) is well defined and G-invariant, and by applying to it the operator B we obtain the relation Sh B(σh−1 (p))Sh−1 v = B(p)v for almost all p ∈ U . Now the desired assertion readily follows.


197

This also completes the proof of our proposition. Note that the requirement for the representation σ to be faithful is important. Without this condition, the lemma fails. (One can only prove the assertion of the lemma on the subspace of elements invariant under Sg for g ∈ ker σ.) Definition 2.6. The function (9) is called the symbol of the translation-invariant operator B and is denoted by σ(B) ≡ σ(B)(p). In a special case, translation-invariant operators were called “suspended operators” [9]. 2.3. General local operators and localization principle Local operators with parameters. Let X be a Hausdorff compact metric space equipped with a nonatomic Borel measure μ such that μ(U ) > 0 for any nonempty open set U ⊂ X. We deal with local operators with a parameter q ∈ Rs in the C(X)module H = L2 (X, dμ). They are defined as operator families A ∈ C(Rs , BH) such that for each ϕ ∈ C0 (X) the commutator [A(q), ϕ] belongs to the ideal J = C0 (Rs , KH) of compact-valued families decaying in norm as q → ∞. Such families A obviously form a C ∗ -subalgebra in C(Rs , BH), which will be denoted by A = A(Rs , BH). Localization principle. For x ∈ X, let Jx ⊂ A be the ideal in A generated by the maximal ideal Ix ⊂ C(X) of functions vanishing at x, and let px : A −→ Ax be the natural projection into the local algebra Ax = A/Jx . Theorem 2.7 (localization principle; cf. [14, Theorem 3]). One has J = x∈X Jx , and hence an operator A ∈ A is 1. Compact with parameter q (A ∈ J ) if and only if all its local representatives px (A) ∈ Ax are zero. 2. Fredholm with parameter q (invertible modulo J ) if and only if all its local representatives px (A) ∈ Ax are invertible. The ideals Jx can be described as follows. For U ⊂ X and A ∈ A, set AU = sup A(q) |HU : HU −→ H , q∈Rs

where HU = {v ∈ H : supp v ⊂ U }. (12)

Proposition 2.8 (cf. [14, Proposition 4]). The ideal Jx is the set of elements A ∈ A such that (13) lim AU = 0. U↓x

(Here the limit is taken over the filter of neighborhoods of x, i.e., over a sequence of open sets U shrinking to x.) Remark 2.9. Condition (13) is stated in [14] in the different form lim Aϕ = 0, where |ϕ| ≤ 1 and the support of ϕ shrinks to x; the two forms are easily seen to be equivalent.

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Local representatives. Let us describe the range of the family {px }x∈X of “localizing homomorphisms.” Consider a family {ax ∈ Ax }x∈X . For each x, we arbitrarily pick up some representative Ax ∈ ax . Proposition 2.8 has an immediate corollary: Corollary 2.10. The family {ax } has the form ax = px (A) for some A ∈ A if and only if for any ε > 0 each point x ∈ X has a neighborhood U (ε, x) such that Ax − AU(ε,x) ≤ ε.

(14)

This is not especially useful, because one has to know A in advance. Fortunately, one can give a criterion that does not resort to A. Definition 2.11. The family {ax } is said to be continuous if for all ε > 0 and x ∈ X there exist neighborhoods U (ε, x) such that Ay − Ay U(ε,y)∩U(ε,y ) ≤ ε for any y, y ∈ X.

(15)

One can readily see that the definition of continuity is independent of the choice of Ax ∈ ax (but the neighborhoods U (ε, x) depend on this choice). Proposition 2.12 (cf. [14, Proposition 7]). (i) The family {ax } is continuous if and only if it has the form ax = px (A) for some A ∈ A. (ii) Under the assumptions of (i), if ax ∈ B/J for all x ∈ X, where B ⊂ A is a C ∗ -subalgebra containing J , then A ∈ B. Remark. For the general localization principle, the topology on the disjoint union A in which the x x families {px (A)}x∈X , A ∈ A, are exactly continuous sections of the projection x Ax −→ X is described, e.g., in [2, 17]. In our special case, these sections admit the simpler description given above. Infinitesimal operators. The study of local representatives of an operator A ∈ A is also local in the following sense. The class px0 (A) ∈ Ax0 remains unchanged if we multiply A (on the left or on the right) by any cutoff function f ∈ C0 (X) such that f (x0 ) = 1. (This can readily be derived from the fact that if K ∈ J , then KU → 0 as U ↓ x.) It follows that only what happens in an arbitrarily small neighborhood of x0 is actually important. Consequently, we can take another space and a homeomorphism f : U −→ U identifying some neighborhood U ⊂ X of X x0 with a neighborhood U ⊂ X of the point x 0 = f (x0 ); then we can interpret local representatives of A as operators in a Hilbert function space on X. will We systematically use this construction in what follows; the space X only reflect local properties of X near x0 and is usually noncompact. Such local representatives, uniquely determined by certain additional conditions, will also be called infinitesimal operators to emphasize the fact that X = X. Example 2.13. If A is a pseudodifferential operator on a smooth manifold X, then one can identify a small neighborhood of x0 with a small neighborhood of = Tx0 X via the geodesic exponential mapping and take the operator zero in X σ(A)(x0 , −i∂/∂y) with constant coefficients on Tx0 X for a local representative (infinitesimal operator) of A at x0 . (Here σ(A) is the principal symbol of A and


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y ∈ Tx0 X.) This infinitesimal operator is uniquely determined by the condition of invariance with respect to the dilations y −→ λy in Tx0 X. 2.4. Definition and properties of ψDO Now we are in a position to define pseudodifferential operators with a parameter q ∈ Rs on a manifold M with corners. They will be local operators with a parameter in the sense of Section 2.3 possessing a number of additional properties. We treat L2 (M ) as a module over C(M # ) (by interpreting elements u ∈ 2 L (M ) as functions on M ◦ = M #◦ ) and consider the algebra A(Rs , BL2 (M )) of operators with parameter q ∈ Rs local with respect to the action of C(M # ). Interior symbol. Let A ∈ A(Rs , BL2(M )). Definition 2.14. Let x ∈ M ◦ be an interior point of M . We say that the operator A is Agranovich–Vishik at x if, under the identification of a neighborhood of x in M ◦ with a neighborhood of the origin in Tx M via a coordinate system near x0 , A has a local representative of the form

∂ Ax0 = B q, −i , y ∈ Tx0 M, ∂y where B(q, ξ) is a function continuous for |q|+|ξ| = 0 and zero-order homogeneous: B(λq, λξ) = B(q, ξ),

λ ∈ R+ .

The function B(q, ξ) is called the interior symbol of A and is denoted by σ0 (A)(x, ξ, q) := B(q, ξ). Basically, the definition says that at the point x the operator A is a parameterdependent pseudodifferential operator with continuous symbol. Proposition 2.15. If A is Agranovich–Vishik at x, then σ0 (A) is a well-defined function on Tx∗ M × Rs outside zero (i.e., its existence and form are independent of the choice of the coordinate system). Sketch of proof. The operator

∂ B = B q, −i ∂y behaves as desired under linear changes of the variable y. Thus, essentially, one should prove that if f : Rn → Rn is a diffeomorphism with identity differential at ∗ define the same element in the local algebra A0 . and (f ∗ )−1 Bf the origin, then B To prove this, we approximate B by smooth classical symbols and use the theorem on the change of variables in a classical pseudodifferential operator.

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Face symbols. From now on, we choose and fix a compatible system of exponential maps from the normal bundles of the faces into their neighborhoods in M . Our definition of face symbols and of ψDO tacitly depends on the choice of this system. Let again A ∈ A(Rs , BL2 (M )), and let z ∈ F # be a point of the open face F # dual to a face F of positive codimension d ≥ 1 in M . Some neighborhood U of F can be identified via the exponential map with a neighborhood of the zero section in N+ F or (additionally applying the logarithmic map) with a neighborhood of the point at infinity in the positive quadrant in N F . Hence we have the embedding L2 (M )|U ⊂ L2 (N+ F ) L2 (N F ), which implies that we can treat a local representative of the operator A at a point z ∈ F # as an operator in the space L2 (N F ). Definition 2.16. We say that the operator A(q) has a translation-invariant infinitesimal operator at a point z ∈ F # if it has a representative at z which is a translation-invariant operator A∞ (q) in L2 (N F ) (see Definition 2.2). The symbol (Definition 2.6) of A∞ (q) will be called the symbol of A(q) at z and will be denoted by σz (A). Theorem 2.17. If A(q) has a translation-invariant infinitesimal operator, then it is unique. Thus the symbol σz (A) is well defined. It is a SF -invariant operator-valued function on Rd × Rs with values in BL2 (F ), where F is the principal SF -covering over F trivializing N F . Proof. It suffices to prove uniqueness for the case in which A(q) ≡ 0. Consider a sequence ϕn ∈ C0 (N F ) strongly convergent to the identity operator. Then ϕn A∞ ϕn strongly converges to A∞ . Passing to the cover N F, we see that the ∞ ϕ ∞ . product ϕ n A n of the corresponding lifted operators strongly converges to A n = 0 for all n. Indeed, for some On the other hand, let us show that ϕ n A∞ ϕ fixed n, let aj ∈ Rd be a sequence of vectors such that the supports of the functions n , where taj is the shift by the vector aj ∈ Rd , lie as j → ∞ in an arbitrarily t∗aj ϕ small neighborhood of some of the preimages z∗ of the point z (i.e., go to infinity in the positive quadrant along the corresponding ray). These functions are no longer SF -invariant. However, one can show that there exist functions ψj bounded by 1 with supports shrinking to z such that their invariant lifts satisfy the condition n = t∗aj ϕ n . ψj t∗aj ϕ Then, according to the properties of the local algebra Az , we have ∗ ∗ ∞ ψj (t∗ ϕ ∞ (t∗ ϕ n )A n )ψj A n )ψj A∞ ψj (t∗aj ϕ n ) → 0 (t∗aj ϕ aj n ) = (taj ϕ aj n ) = (taj ϕ

as j → ∞ (convergence in norm). Indeed, the extreme factors are uniformly bounded, and the middle factor converges to zero, since A∞ represents the zero class. Thus ∞ ϕ ∞ (t∗a ϕ (t∗aj ϕ n )A n ) = t∗aj ◦ ϕ n A n ◦ t∗−1 aj → 0. j


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∞ ϕ (We have used the translation invariance of A.) We see that ϕ n A n = 0 and, passing to the limit as n → ∞, find that A∞ and hence A∞ are zero. Pseudodifferential operators. Let M be a manifold with corners. Definition 2.18. The space Ψ(M ) ≡ Ψ(M, Rs ) of pseudodifferential operators consists of operator families A(q) satisfying the following conditions: 1. A(q) ∈ A(Rs , BL2 (M )). 2. For each interior point x ∈ M ◦ , the family A(q) is Agranovich–Vishik at x. 3. For each face F of codimension d = d(F ) > 0 in M , the family A(q) has a SF -invariant symbol σz (A) in the sense of Definition 2.16 at each point z ∈ F # , and σz (A) is independent of z. Moreover, σz (A) ∈ Ψ(F, Rd+s ); i.e., the symbol σz (A) is a SF -invariant ψDO with parameters (q, p) ∈ Rs ×Rd on the manifold F with corners, the covering of F trivializing the bundle N F . Since the symbol σz (A) is independent of z ∈ F # , it will be denoted by σF (A) in what follows. The interior symbol will be denoted by σ0 (A); it is defined on the interior of T ∗ M × Rs minus the zero section. Main theorem of the calculus. The localization principle (Theorem 2.7) readily implies the following assertion. Theorem 2.19 (main theorem of the calculus). A pseudodifferential operator A on a compact manifold M with corners is uniquely determined modulo the ideal J of compact operators with parameters by the symbol tuple (σ0 (A), {σF (A)}), where F runs over all faces of positive codimension. The map σ : A −→ (σ0 (A), {σF (A)}) that takes each ψDO A ∈ Ψ(M, Rs ) to it symbol tuple is a C ∗ -algebra homomorphism. The symbol algebra. Now let us describe the symbol algebra, i.e., the range of the symbol map σ. In other words, we should indicate conditions on the interior symbol and the face symbols on faces of positive codimension necessary and sufficient for the existence of a ψDO with these symbols. To avoid awkward formulas, we first do so for the case in which the normal bundles of all faces are trivial and then indicate the modifications needed in the general case. Thus let M be a manifold with corners such that the normal bundle N F is trivial for all faces F of M . Let the following data be given: • For each interior point x ∈ M ◦ , a continuous zero-order homogeneous function σx on (Tx∗ M × Rs ) \ 0. • For each face F of codimension d > 0, a pseudodifferential operator σF ∈ Ψ(F, Rd+s ).

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Theorem 2.20 (description of the symbol algebra). For the existence of a ψDO A ∈ Ψ(M, Rs ) such that σ0 (A) = σx

on (Tx∗ M × Rs ) \ 0 for each x ∈ M ◦ ,

(16)

σF (A) = σF

for each face F of positive codimension,

(17)

the following conditions are necessary and sufficient: 1. The functions σx form a continuous zero-order homogeneous function on the interior of (T ∗ M ◦ × Rs ) \ 0 and extend by continuity to a continuous function (which we denote by σ0 ) on the whole space (T ∗ M × Rs ) \ 0. 2. The restriction of σ0 to the boundary satisfies the compatibility conditions

(18) σ0 F = σ0 (σF ) for each face F of positive codimension, where the left-hand side is the restriction of σ0 to T ∗ M |F ⊕ Rs , naturally identified with T ∗ F ⊕ N ∗ F ⊕ Rs = T ∗ F ⊕ Rd+s . 3. If F1 ' F2 are two adjacent faces of M and Γ is a face of F1 mapped into F2 under the immersion of F1 in M , then σΓ (σF1 ) = σF2 .

(19)

Proof. First, note that routine computations based on composition formulas for pseudodifferential operators and standard norm estimates show that, being quantized, the symbols σx0 (q, p) and σF (q, ξ) give rise to the local representatives F = σF (q, −i∂/∂t) that belong to A(Rs , BL2 (M )). σ x = σx0 (q, −i∂/∂x) and σ By Proposition 2.12, to prove the theorem it remains to establish that conditions (1)–(3) are exactly equivalent to the continuity of this family of local representatives in the sense of Definition 2.11. (a) Let us show that the function σx continuously depends on x in the interior of M . Localizing our considerations, we can assume that M = Rn . The family σx is continuous if and only if for each ε > 0 each point has a neighborhood U (ε, x) such that σx − σ y U(ε,x)∩U(ε,y) ≤ ε for any x and y. The intersection U = U (ε, x) ∩ U (ε, y) is necessarily nonempty if y ∈ U (ε, x). Since the operator y is dilatation invariant, it follows that σ x − σ σx − σ y U = σx − σ y = max|σx − σy | p

(provided that U is nonempty). Combining this with the homogeneity of σx in (p, q), we see that the continuity of the family of local representatives in the sense of Definition 2.11 is equivalent to the continuity of the interior symbol. This is of course well known from the theory of ψDO on smooth manifolds. (b) Let us show that the interior symbol is continuous up to the boundary and satisfies the compatibility conditions (18) there. Fix a point z0 ∈ F . Multiplying by a cutoff function f ∈ C(M ), we can study the problem assuming that F = Rn−d and M ◦ = Rn−d × Rd . (Here we use the logarithmic coordinates y ∈ Rd , see (4), on the fibers of the normal bundle of F .) Let x0 ∈ F . Applying Corollary 2.10 and


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using the Fourier transform with respect to Rd , we see that for each ε > 0 there is a neighborhood Uε of x0 in F such that x0 (σF )Uε ×Rd < ε. σF − σ

(20)

(Here σx0 (σF ) is the symbol σ0 (σF ) restricted to the fiber over x0 .) On the other hand, the continuity of the family of local representatives on M near F # is equivalent to the existence of a neighborhood Wε of the point at infinity on the diagonal of the positive quadrant in Rd such that σF − σ x (F ×Wε )∩U(ε,x) < ε.

(21)

For x ∈ Uε × We , using the triangle inequality, from (20) and (21) we conclude that x0 (σF )U < 2ε (22) σx − σ on the nonempty set U = (Uε × We ) ∩ U (ε, x). Arguing as above, we see that |σx − σx0 (σF )| ≤ 2ε for these x. (c) In a similar way, one shows that condition (3) also follows from the continuity of local representatives and finally concludes that conditions (1)–(3) together are equivalent to the continuity. We leave the details to the reader. Remark 2.21. In particular, it follows from the compatibility condition that the symbol on a face of positive codimension determines the symbols on all adjacent faces of larger codimension. Let us now discuss how the compatibility conditions should be modified if the normal bundles of the faces are not trivial. Let again F 1 ' F 2 be two adjacent faces of M , and let Γ be a face of F 1 covering F 2 (there can be several such faces). The symbols σF1 (A) and σF2 (A) of A are operators with parameters on the minimum coverings F1 and F2 trivializing be the lift of Γ to F1 . The symbol the bundles N F1 and N F2 , respectively. Let Γ trivializing the bundle N Γ. The composite σΓ (σF1 (A)) is defined on the covering Γ −→ F2 trivializes N F2 (since it trivializes both direct summands N Γ covering Γ and N F1 |Γ ). Since the trivializing covering F2 −→ F2 is minimal and hence uni → F2 versal, there exists a unique (modulo permutation of the sheets) covering Γ− making the triangle π (23) >_ _ _/ F2 Γ >> >> >> > F2 commute. consisting of functions invariant with Let L2inv (π) be the subspace of L2 (Γ) respect to permutations of the sheets of π. The compatibility condition (19) in this

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situation is generalized to σΓ (σF1 (A))|L2inv (π) = σF2 (A).

(24)

The counterpart of the compatibility condition (18) reads σ0 (σF (A)) = πF∗ [σ0 (A)|T ∗ F ] ,

(25) ∗ where πF : T F −→ T F is the covering associated with the covering F −→ F . ∗

Appendix A. Proofs of some assertions Proof of Proposition 1.2. For brevity, we write F = Γ◦j (M ) d = dj . Let U Rs+ × Rn−s be a coordinate neighborhood on M . If the intersection U ∩ F is nonempty (which can happen only for s ≥ d), then it consists of finitely many (≤ ds ) connected components of the form V Rs−d × Rn−s , where the + of dimension s − d is singled out in Rs+ by the open coordinate quadrant Rs−d + relations xj1 = · · · = xjd = 0, xjd+1 , . . . , xjs > 0 for some (depending on V ) permutation j1 , . . . , js of the indices 1, . . . , s. If we accordingly permute the standard coordinates x1 , . . . xn in U , setting ρ1 = xj1 , . . . , ρd = xjd , yd+1 = xjd+1 , . . . , ys = xjs , ys+1 = xs+1 , . . . , yn = xn , then the variables y = (yd+1 , . . . , yn ) are coordinates in V and the variables ρ = (ρ1 , . . . , ρd ) are defining functions of V for the embedding V ⊂ U (and local defining functions of F ); i.e., locally the face is given by the conditions ρ = 0. We take a finite cover of M by coordinate neighborhoods U and various connected components V ⊂ U ∩ F and obtain a finite atlas s−d × Rn−s )} V, y : V −→ R+ on F such that associated with each coordinate neighborhood V of this atlas is a pair (U, V ) and coordinates (ρ, y) in U . Let V be another coordinate neighborhood , V ) with coordinates ( and suppose that the intersection V ∩ V is (U ρ, y) in U, nonempty. The change of variables y ◦ y −1 : y(V ∩ V ) −→ y(V ∩ V ) is obtained by restriction to y(V ∩ V ) from the change of coordinates (ρ, y) −→ on M and hence ( ρ, y) on the intersection of the coordinate neighborhoods U and U n−s . (The has a smooth continuation to the closure of the set y(V ∩ V ) in Rs−d + ×R continuation is obtained by restriction of the same change of coordinates to the closure.) These continuations determine the transition functions of some compact × Rn−s and into which F manifold F with corners whose local models are Rs−d + is naturally embedded as a dense open submanifold. This manifold F =: Γj (M ) is the closed face of M corresponding to the open face Γ◦j (M ). The embedding


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Γ◦j (M ) ⊂ M extends by continuity to Γj (M ); the resulting mapping is in general an immersion with self-intersections. Proof of Theorem 1.5. We need the following simple lemma. Lemma A.1. If smooth mappings gj : Rk+ −→ Rk+ ,

gj (0) = 0, j = 1, . . . , l,

are diffeomorphisms in a neighborhood of the origin, if all matrices gj (0) gi (0))−1 are diagonal, and if λ1 , . . . , λl are nonnegative numbers at least one of which is nonzero, then the mapping g≡

l

λj gj : Rk+ −→ Rk+

j=1

is also a diffeomorphism in a neighborhood of the origin. Indeed, the only nontrivial assertion is that g is epimorphic, but this can be −1 verified as follows. Since the matrices gj (0) gi (0)) are diagonal, it follows that all gj take any given coordinate quadrant of arbitrary dimension to one and the same coordinate quadrant. The lemma suggests that one can construct the desired mapping f = fj specifying it locally by the formula ρ = r,

(26)

where ρ is a local tuple of defining functions of the face Γj (M ) and r are the corresponding coordinates in the fiber of N+ Γj (M ) and then gluing the local mappings with the use of a partition of unity. We implement this idea and construct the mapping f , successively extending the set on which it is defined. Suppose that f has already been defined over some set O ⊂ Γj (M ), and let V be a local chart on Γj (M ) with the corresponding pair dj

(U = V × R+ , V ), so that over V the mapping can be given by formula (26). Let (ϕO , ϕV ) be a nonnegative partition of unity on O ∪ V subject to the cover by O and V . We construct the map over O ∪ V by setting fO over O \ supp ϕV , fO∪V = ϕO fO + ϕV fV over V , where the addition in the second line is carried out in the fibers of U −→ V (and is well defined in a sufficiently small neighborhood of V ). Since ϕO = 1 on V \ supp ϕV , it follows that both definitions are compatible on the set where they apply simultaneously, and the lemma now implies that we have defined a mapping with the desired properties over O ∪ V . To complete the proof of Theorem 1.5, it suffices to start from an empty set O and successively add to it all charts from a finite atlas on Γj (M ). To obtain compatible (in the sense that diagram (3) commutes) exponential mappings for all faces, one should start from faces of maximal codimension.

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References [1] U. Bunke, Index theory, eta forms, and Deligne cohomology, Preprint arXiv: math.DG/0201112. [2] J. Dauns and K.H. Hofmann, Representation of rings by sections, Memoirs of the American Mathematical Society, No. 83, Amer. Math. Soc., Providence, R.I., 1968. [3] T. Krainer, Elliptic boundary problems on manifolds with polycylindrical ends, J. Funct. Anal., 244 (2007), no. 2, 351–386. [4] R. Lauter and S. Moroianu, The index of cusp operators on manifolds with corners, Ann. Global Anal. Geom. 21 (2002), no. 1, 31–49. [5] P.-Y. Le Gall and B. Monthubert, K-theory of the indicial algebra of a manifold with corners, K-Theory 23 (2001), no. 2, 105–113. [6] P. Loya, The index of b-pseudodifferential operators on manifolds with corners, Ann. Global Anal. Geom. 27 (2005), no. 2, 101–133. [7] R. Melrose, Analysis on manifolds with corners, Lecture Notes, MIT, Cambrige, MA, 1988, Preprint. , Pseudodifferential operators, corners, and singular limits, Proceedings of the [8] International Congress of Mathematicians, Kyoto (Berlin–Heidelberg–New York), Springer-Verlag, 1990, pp. 217–234. , The eta invariant and families of pseudodifferential operators, Math. Re[9] search Letters 2 (1995), no. 5, 541–561. [10] R. Melrose and V. Nistor, K-theory of C∗ -algebras of b-pseudodifferential operators, Geom. Funct. Anal. 8 (1998), no. 1, 88–122. [11] R. Melrose and P. Piazza, Analytic K-theory on manifolds with corners, Adv. in Math. 92 (1992), no. 1, 1–26. [12] B. Monthubert, Groupoids and pseudodifferential calculus on manifolds with corners, J. Funct. Anal. 199 (2003), no. 1, 243–286. [13] B. Monthubert and V. Nistor, A topological index theorem for manifolds with corners, arXiv: math.KT/0507601, 2005. [14] V. Nazaikinskii, A. Savin, and B. Sternin, Pseudodifferential operators on stratified manifolds I and II, Differ. Equations, (2007) 43, no. 4, 536–549; 43, no. 5, 704–716. [15] V. Nistor, An index theorem for gauge-invariant families: The case of solvable groups, Acta Math. Hungarica 99 (2003), no. 2, 155–183. [16] B.A. Plamenevsky and V.N. Senichkin, Representations of C ∗ -algebras of pseudodifferential operators on piecewise-smooth manifolds, St. Petersbg. Math. J. 13 (2001), no. 6, 993–1032. [17] N. Vasilevski, Local principles in operator theory, Lineinye operatory v funktsionalnykh prostranstvakh. Tez. dokl. Severo-Kavkaz. reg. konf., Groznyi, 1989, pp. 32–33. Vladimir Nazaikinskii Institute for Problems in Mechanics, Russian Academy of Sciences pr. Vernadskogo 101-1, 119526 Moscow, Russia e-mail: [email protected] Anton Savin and Boris Sternin Independent University of Moscow, Bol’shoi Vlas’evskii per. 11, 119002 Moscow, Russia e-mail: [email protected] e-mail: [email protected]


Elliptic Theory on Manifolds with Corners: II. Homotopy Classification and K-Homology Vladimir Nazaikinskii, Anton Savin and Boris Sternin Abstract. We establish the stable homotopy classification of elliptic pseudodifferential operators on manifolds with corners and show that the set of elliptic operators modulo stable homotopy is isomorphic to the K-homology group of some stratified manifold. By way of application, generalizations of some recent results due to Monthubert and Nistor are given. Mathematics Subject Classification (2000). Primary 58J05; Secondary 19K33, 35S35. Keywords. Manifold with corners, elliptic operator, stable homotopy, K-homology, stratified manifold.

Introduction Recently there has been considerable progress in understanding the notion of ellipticity on noncompact manifolds and manifolds with singularities. For a wide class of manifolds, ellipticity conditions for operators were established and the corresponding finiteness theorems1 were proved; the corresponding operator C ∗ algebras were constructed. Hence the study of topological aspects of the theory of elliptic operators becomes topical. Here one mainly speaks of the classification problem and the index problem. Note that Gelfand’s homotopy classification problem for elliptic operators can naturally be restated in modern language as the problem of computing the K-groups of symbol algebras, which prove noncommutative in most cases. Thus Gelfand’s problem naturally fits in the framework of topical problems of Connes’s noncommutative geometry [4]. Supported in part by RFBR grants 05-01-00982 and 06-01-00098, by President of the Russian Federation grant MK-1713.2005.1, and by the DFG project 436 RUS 113/849/0-1 “K-theory and Noncommutative Geometry of Stratified Manifolds.” 1 Stating that an elliptic operator is Fredholm in certain function spaces.

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Aim of the paper. This paper deals with elliptic theory on manifolds with corners. Operators on manifolds with corners have been actively studied, and a number of important interesting results emerged recently. For example, the C ∗ -closure of symbol algebras was studied in [12], and a spectral sequence converging to the K-theory of the C ∗ -algebra of symbols was constructed. Monthubert [14] obtained a description of the operator algebra in the spirit of noncommutative geometry in terms of a special groupoid that can be associated with a manifold with corners (see also [9]). Bunke [3] constructed index theory of Atiyah–Patodi–Singer type for Dirac operators and studied cohomological obstructions to elliptic problems (see also [10, 8]); Monthubert and Nistor [15] produced a formula for the boundary map in the K-theory of symbol algebras in topological terms. Krainer [7] studied boundary value problems in this setting. Although these results permitted finding the group classifying the homotopy classes of elliptic operators in a number of special cases (e.g., see [13] or [16]), the homotopy classification problem remained open. We solve Gelfand’s problem for manifolds with corners. Our goal is to obtain a simple explicit formula for the classifying group in terms of Atiyah’s K-homology functor [1]. Elliptic operators and K-homology. Note that the idea of classifying elliptic operators by the K-homology functor has long been known. For the reader’s convenience, we recall it using operators on a smooth compact manifold M as an example. The commutator of an elliptic zero-order2 operator D on M with the operator of multiplication by a continuous function f ∈ C(M ) is compact, [D, f ] ∈ K.

(1) 0

By one definition, the contravariant K-theory K (C(M )) of the algebra C(M ) just consists of Fredholm operators for which the commutators (1) are compact. Thus D determines an element of the group K 0 (C(M )), which is isomorphic to the K-homology group of M : K 0 (C(M )) K0 (M ) by the Atiyah–Brown–Douglas–Fillmore–Kasparov theorem. Thus, assigning the corresponding class in the K-homology to each elliptic operator, we obtain a mapping Ell(M ) −→ K0 (M ), where Ell(M ) is the group of elliptic operators in sections of bundles on M modulo stable homotopy and K0 (M ) is the even K-homology group of M . Kasparov [6] showed this mapping to be an isomorphism. In other words, the K-homology group of a smooth manifold classifies elliptic operators on this manifold modulo stable homotopy. 2 Working solely with zero-order operators does not result in loss of generality, since order reduction (say, multiplication by an appropriate power of the Laplace operator) is always available.

Elliptic Theory on Manifolds with Corners: II

209

This approach to classification also proved fruitful in the case of compact stratified manifolds with singularities. Namely, it was shown in [18] that in this case the even K-homology group of the underlying compact topological space classifies elliptic operators on this manifold. However, no classification results were known for manifolds with corners of codimension ≥ 2. The classification in the form of the K-homology of the manifold with corners, which suggests itself, is too meagre to be true: one can always smooth the corners, and we see that the K-homology of the manifold with corners is too coarse an invariant, for it does not take into account the structure of a manifold with corners. Moreover, even the space whose K-homology would classify elliptic operators was unknown. Main result. We establish the isomorphism Ell(M ) K0 (M # ),

(2)

#

where M is a manifold with corners and M is the dual manifold (see Part I), which is a stratified manifold with singularities. More precisely, the isomorphism (2) will be established under the following assumption concerning the combinatorial structure of the faces of our manifold: The normal bundles of all faces of M are trivial. If this assumption fails, then, generally speaking, the isomorphism (2) does not hold. In this case, one should abandon the search for a classifying space and seek some algebra whose K-cohomology classifies elliptic operators. This algebra proves to be noncommutative, and one needs to use ideas of noncommutative geometry. These results will be considered elsewhere. Note an interesting special case: if a manifold with corners is a polyhedron with a given triangulation of the boundary, then the dual stratified space is also a polyhedron, namely, the one used in the classical proof of Poincaré duality in cohomology! For example, if M is a cube, then M # is an octahedron. Thus the construction of the dual manifold in the first part of the present paper generalizes the Poincaré dual polyhedron to the case of noncontractible faces. Manifolds with corners and manifolds with multicylindrical ends. Note that there is a different perspective on the theory of operators on manifolds with corners. An application of a logarithmic change of variables in a neighborhood of the boundary taking the boundary to infinity (see Fig. 1, where this is shown for manifolds with boundary) results in the class of so-called manifolds with multicylindrical ends. These two pictures give the same operator algebras. Thus the results of the present paper also provide classification on manifolds with multicylindrical ends. Outline of the paper. This is the second of the two parts of the paper. In the first part, the dual manifold of a manifold with corners was constructed and the calculus of pseudodifferential operators (ψDO) on manifolds with corners was developed in the C ∗ -algebraic context.

210


=e

Figure 1. Transition from a neighborhood of the boundary to an infinite cylinder.

The present part has the following structure. In the first section, we recall some information from Part I of the paper. In Section 2 we state the classification theorem. The proof occupies the next three sections. Note that the general scheme of the proof is the same as in [18], and we proceed by induction, passing from a smooth manifold to increasingly complex manifolds with singularities. In Section 6 we discuss the relationship with some results due to Monthubert and Nistor. As a consequence of the classification theorem, we obtain a K-homology criterion for the vanishing of the index and a formula for the K-group of the C ∗ -algebra of ψDO with zero interior symbol (this algebra corresponds to the C ∗ -algebra of the groupoid constructed by Monthubert). In the appendix, we prove a higher analog of the relative index theorem, which naturally arises when we obtain the classification of operators.

1. Manifolds with corners and dual stratified manifolds Manifolds with corners and faces. Here we recall some information given in the first part. Consider a manifold M with corners of depth k. It has a natural stratification M=

k

Mj ,

j=0

where the stratum M0 = M ◦ is just the interior of M and each stratum Mj is the union of connected components, open faces Mjα of codimension j in M . Each face F = Mja in the stratum Mj is isomorphic to the interior of a manifold F = M ja , which will be called a closed face of M . Faces of codimension one are called hyperfaces.


211

Main assumption. The main results of the paper will be obtained under the following assumption. Assumption 1.1. The normal bundle N+ F of each face F is trivial. In this case, the local defining functions ρ1 , . . . , ρj of F are globally defined as functions on the normal bundle N+ F . Remark. Assumption 1.1 holds if all hyperfaces are embedded, i.e., if there exists a global defining function for each hyperface F ⊂ M . However, it also holds for some manifolds with nonembedded hyperfaces, say, for the raindrop. The simplest example of a manifold with corners that does not satisfy Assumption 1.1 is the mapping cylinder of the raindrop (see Figure 1.2 in Part I) by the involution of the raindrop induced by the reflection in the bisector of the first quadrant. The dual space. The dual space M # of a manifold M with corners was introduced in Part I. If the original manifold is represented as the union M= Mj , Mj = Mjα , α

j≥0

then M

#

is the union of dual faces, # M# = Mj ,

Mj# =

# Mjα ,

α

j≥0

each of which is isomorphic to the interior of a simplex, # Mjα Δ◦j−1 .

Here, by definition, M0# := M0 is the interior of M . Thus to each face F of codimension j in M there corresponds a simplex F # of dimension j − 1 in the dual space. The fibration structure on M # . It was proved in Part I that a neighborhood U # of the stratum F # is homeomorphic to the product of F # by the cone KΩ = [0, 1) × Ω/{0} × Ω #

whose base Ω is the dual space F of the closed face F (which is well defined, since F itself is a manifold with corners). As a result, we find that M # is a stratified manifold with singularities.

2. Classification theorem Let M be a manifold with corners satisfying Assumption 1.1, and let Ψ(M ) be the C ∗ -algebra of zero-order ψDO in the space L2 (M ) (see Part I). The notion of a ψDO acting on sections of finite-dimensional vector bundles on M is introduced in the usual way. There is a natural equivalence relation, stable homotopy, on the set of elliptic operators. Recall the definition.

212


Definition 2.1. Two elliptic operators D : L2 (M, E) → L2 (M, F ) and D : L2 (M, E ) → L2 (M, F ) on M are said to be stably homotopic if there exists a continuous homotopy D ⊕ 1E0 ∼ f ∗ D ⊕ 1F0 e∗ of elliptic operators, where E0 , F0 ∈ Vect(M ) are vector bundles and e : E ⊕ E0 −→ E ⊕ F0 ,

f : F ⊕ F0 −→ F ⊕ E0

are bundle isomorphisms. Here ellipticity is understood as the invertibility of all components of the symbol of the operator, and only homotopies of ψDO preserving ellipticity are considered. Even groups Ell0 (M ). Stable homotopy is an equivalence relation on the set of elliptic ψDO acting in sections of vector bundles. By Ell0 (M ) we denote the corresponding quotient set. It is a group with respect to the direct sum of operators, and the inverse in this group is given by the coset of the almost inverse operator (i.e., an inverse modulo compact operators). Odd groups Ell1 (M ). Odd elliptic theory Ell1 (M ) is defined in a similar way as the group of stable homotopy classes of elliptic self-adjoint operators. Stabilization is defined in terms of the operators ±Id. Remark 2.2. An equivalent definition of the odd Ell-group can be given in terms of smooth operator families on M with parameter space S1 modulo constant families. We shall compute the groups Ell∗ (M ) for ∗ = 0 and ∗ = 1, i.e., find the classification of elliptic operators modulo stable homotopy. Our approach is based on the following fact (see the definition of ψDO in Part I): ψDO on M can be viewed as local operators in the sense of Atiyah on the dual manifold M # . Thus an elliptic ψDO defines a Fredholm module on the space L2 (M ) viewed as a C(M # )-module. (For Fredholm modules and K-theory, see [5] or [2].) Classification of elliptic operators. The following theorem is the main result of this paper. Theorem 2.3. The mapping that takes each elliptic ψDO to the corresponding Fredholm module defines the group isomorphism

Ell∗ (M ) −→ K∗ (M # ).

(3)

We shall obtain this theorem as a special case of the following more general theorem.


213

Classification of partially elliptic operators (cf. [18]). Let Ell∗ (M≥j ) be the group generated by operators whose symbols are invertible on the main stratum and all faces of codimension ≥ j. Thus we consider operators satisfying the ellipticity condition on part of the faces. The corresponding dual space # M≥j

:= M

#

\

j−1

Mj#

j =1

is obtained from M # by deleting all simplices of dimension ≤ j − 2. Lemma 2.4. An operator D such that [D] ∈ Ell∗ (M≥j ) defines a Fredholm module # over the algebra C0 (M≥j ) of functions on the dual space. Proof. We should verify the following properties of a Fredholm module: the expression f (DD∗ − 1) # is compact for all f ∈ C0 M≥j (here we assume that D is normalized by the condition σs∗ (D) = σs (D)−1 for s ≥ j). The compactness follows from the fact that, by construction, on each face F ⊂ M either the corresponding symbol of our # operator is invertible or the functions in the algebra C0 M≥j are zero. By Lemma 2.4, the mapping

ϕj # Ell∗ (M≥j ) −→ K∗ M≥j

(4)

that takes partially elliptic operators to the corresponding Fredholm modules is well defined (cf. [18]). Theorem 2.5. For each 1 ≤ j ≤ k + 1, the mapping (4) is an isomorphism. Theorem 2.3 is the special case of Theorem 2.5 for j = 1.

3. Beginning of proof of the classification theorem We prove Theorem 2.5 by induction on j decreasing from k + 1 (where k is the depth of M ) to 1. Inductive assumption. For j = k+1, the group Ell∗ (M≥j ) classifies elliptic interior symbols and hence is isomorphic to Kc∗ (T ∗ M ). Moreover, the mapping taking the symbol to the corresponding operator determines an isomorphism Kc∗ (T ∗ M ) K∗ (M0 ) (e.g., see [6]). On the other hand, the right-hand side of (4) in this case just contains the group K∗ (M0 ). Thus the theorem holds for j = k + 1. Inductive step. To justify the inductive step, we need to study exact sequences in K-homology and K-theory permitting one to relate the maps ϕj in (4) for two values of the subscript, j and j + 1.

214


3.1. Exact sequence in K-homology (see [18]) Consider the embedding # M≥j ⊃ Mj# . # M≥j

(5)

Mj#

\ is obviously equal to The complement sequence of the pair (5) in K-homology,

# M≥j+1 ,

and we have the exact

∂

# # · · · → K∗ (Mj# ) → K∗ (M≥j ) → K∗ (M≥j+1 ) → K∗+1 (Mj# ) → · · · .

(6)

All maps but the boundary map ∂ in this sequence correspond to a change of module structure on the corresponding Fredholm modules. The boundary map ∂ can be reduced to a form convenient for computations by the following standard method. # be the open neighborhood of the stratum Mj# constructed3 Let U # ⊂ M≥j in Section 1.2 in Part I. We have the homeomorphism U # Mj# × KM

# j

,

(7)

where the cone KΩj is the disjoint union of the cones corresponding to the connected components of the base Ωj . Then we have the mappings

π

l

# Mj# × (0, 1) ←− Mj# × (0, 1) × Ωj ← U # \ Mj# −→ M≥j+1

(by l we denote the embedding of an open manifold, and π is the projection onto the first two factors), which permit us to represent the boundary map ∂ in (6) as the composition l∗

π

β

# ∗ ) → K∗ (U # \ Mj# ) −→ K∗ ((0, 1) × Mj# ) K∗+1 (Mj# ) K∗ (M≥j+1

(8)

of the restriction l∗ of operators to an open set, the push-forward π∗ , and the periodicity isomorphism β. This representation follows from the fact that ∂ is natural. 3.2. Exact sequence related to elliptic operators (see [12]) Let M be a manifold with corners of depth k > 0, and let j, 1 ≤ j ≤ k, be some number. We denote the algebra formed by the symbols (σ0 , σj , σj+1 , . . . , σk ) of all ψDO on M by Σj = Im(σ0 , σj , σj+1 , . . . , σk ). Then we have the short exact sequence of C ∗ -algebras 0 → J → Σj → Σj+1 → 0.

(9)

Here the ideal J consists of the symbols (σ0 , σj , σj+1 , . . . , σk ) in which all components but σj are zero. From the compactness criterion for ψDO and compatibility conditions for symbols (see Part I), we see that under these conditions the symbol neighborhood U is defined as the union of neighborhoods of all simplices F # ⊂ Mj# . By construction, these neighborhoods are disjoint.

3 The


215

σj is a tuple of compact-valued families decaying at infinity, so that one has the isomorphism 6 J C0 (Rj , KL2 (F )), F ⊂Mj

where the sum is taken over faces F of codimension j in M . By virtue of this isomorphism, we can write out the exact sequence in Ktheory corresponding to the short sequence (9) in the form δ

· · · → K∗ (J) → K∗ (Σj ) → K∗ (Σj+1 ) −→ K∗+1 (J) → · · · .

(10)

Clearly, K∗ (J) K∗ (C0 (Rj )) ⊕ K∗ (C0 (Rj )) ⊕ · · · = Zl , where l is the number of connected components in Mj . In terms of this isomorphism, the boundary map δ can be represented (for ∗ = 1) in the following simple form. An arbitrary class [σ] ∈ K1 (Σj+1 ) is realized by an invertible symbol σ = (σ0 , σj+1 , σj+2 , . . . , σk ). (From now on, for brevity we carry out the computations only for K-theory elements representable by scalar operators; the consideration of the matrix case differs only in the awkwardness of formulas.) Take an arbitrary symbol σj compatible with σ. The symbol σj defines an elliptic family with parameters in Rj , and the index of that family is a well-defined element of the K-group with compact supports of the parameter space. One has 6 δ[σ] = ind σj ∈ K0 (C0 (Rj )). F ⊂Mj

There is a similar expression for the boundary map for the case ∗ = 0. (To obtain it, one can pass to the suspension.) 3.3. Comparison of exact sequences Let us show that the sequences (6) and (10) can be combined into the commutative diagram · · · → K∗ (J) ↓ ϕ0 · · · → K∗+1 (Mj# )

→ K∗ (Σj ) → ↓ ϕj

K∗ (Σj+1 ) ↓ ϕj+1

δ

−→ ∂

K∗+1 (J) ↓ ϕ0

# # → K∗+1 (M≥j ) → K∗+1 (M≥j+1 ) −→ K∗ (Mj# )

→ ···

→ ··· (11) (The construction of this diagram and the verification of its commutativity will be finished in Section 4.3.)

216


First, we define the vertical maps in the diagram. Without loss of generality, we can assume that M has no connected components with empty boundary, the classification on such components being well known. Then for all j we have the isomorphism [17]4 K∗ (Σj ) Ell∗+1 (M≥j ) ⊕ K∗ (C(M )).

(12)

Hence we define the maps ϕj , j ≥ 1, in diagram (11) as the composition # K∗ (Σj ) −→ Ell∗+1 (M≥j ) −→ K∗+1 (M≥j )

of the projection onto the Ell-group and the quantization (4). Thus these maps are induced by quantization, which takes symbols to operators. It remains to define the map ϕ0 . Just as the other vertical arrows in the diagram, it is defined by quantization, namely, by quantization of symbols σ = σj in the ideal J. The quantization of elements of the ideal differs from the quantization of general elements of the algebra Σj only in that the operator is considered in the L2 space in a small neighborhood U of the stratum Mj in M constructed in Lemma 1.9 of Part I. We denote the operator by σ j . Let us define a module structure on L2 (U ). To this end, recall that U can be Mj of the logarithmic norconsidered also as a subset of the positive quadrant N+ # mal bundle. Thus, this space is naturally a C0 (Mj )-module. (Elements of C0 (Mj# ) Mj as operators of multiplication by radially constant functions f (y), in act on N+ logarithmic coordinates y = − ln ρ.) The verification of locality of operators with respect to this module structure (i.e., proving that the operator σ j commutes with operators of multiplication by functions modulo compact operators) is immediate, and hence for the element [σj ] ∈ K∗+1 (J) we define the element σj ] ∈ K∗ (Mj# ). ϕ0 [σj ] := [

(13)

Diagram (11) commutes. The commutativity of the middle square of the diagram follows directly from definitions. Lemma 3.1. The left square of diagram (11) commutes. Proof. It is easy to see that the compositions of mappings passing through the right upper corner and lower left corner of the square K∗ (J) → K∗ (Σj ) ↓ ϕj ↓ ϕ0 # K∗+1 (Mj# ) → K∗+1 (M≥j ) both take an elliptic symbol σj to the operator σ j in the space L2 (U ), on a neigh# borhood U of the stratum Mj acting as the identity operator (modulo compact operators) outside Mj# , but the module structures are different. More precisely, 4 This isomorphism generalizes the well-known expansion K 1 (S ∗ M ) Ell(M ) ⊕ K 1 (M ) on a smooth closed manifold M on which there exists a nonzero vector field. Elimination of closed components permits us to claim that there exists a nonzero vector field in our situation.


217

let us take as U a neighborhood as in Proposition 1.10 of Part I. Then in the first # case we have a natural C0 (M≥j )-module structure, while in the second case the module structure is induced by the composition i∗

π∗

# ) → C0 (Mj# ) → C(U # ) → B(L2 (U )), C0 (M≥j # where π : U # → Mj# is a projection and i : Mj# ⊂ M≥j is the embedding. The two module structures are homotopic. Indeed, π ∗ i∗ = (iπ)∗ and the composition iπ is homotopic to the identity homeomorphism (in the notation of Proposition 1.10 of Part I the homotopy is (θ, r, x, ω) → (θ, εr, x, ω), where ε is the parameter of the homotopy). Since the module structures are homotopic, we obtain, by virtue of homotopy # ). invariance of K-homology, the equality of the two elements in K∗+1 (M≥j The commutativity of the square is thereby established.

Verification of the commutativity of the square containing the boundary maps is rather cumbersome, and so we make it in a separate section.

4. Boundary and coboundary maps In this section, we establish the commutativity of the square K∗ (Σj+1 ) ↓ ϕj+1

δ

−→

K∗+1 (J) ↓ ϕ0

(14)

∂

# K∗+1 (M≥j+1 ) −→ K∗ (Mj# )

containing the boundary maps in diagram (11). The scheme of proof is as follows. We 1. Compute the composition ϕ0 ◦ δ. 2. Compute the composition ∂ ◦ ϕj+1 . 3. Compare the resulting expressions. 4.1. Composition ϕ0 ◦ δ Let [σ] ∈ K∗ (Σj+1 ) be the element defined by some symbol σ = (σ0 , σj+1 , . . . , σk ). Take a symbol σj on Mj compatible with σ and denote by σ j : L2 (N Mj ) → L2 (N Mj )

(15)

the corresponding translation-invariant infinitesimal operator. (It is conjugate to σj by the Fourier transform.) Mj as the product N+ Mj Mj × Rj+ , we see Representing the space N+ that L2 (N Mj ) is a C0 ( Rj+ )-module. Here Rj+ is the disjoint union of as many open quadrants as there are faces of codimension j in M . The operator σ j is local

218


with respect to this module structure. We denote the corresponding element of the K-homology group by @

[ σj ] ∈ K∗+1 Rj+ . (16) Lemma 4.1. The element [σ] ∈ K∗ (Σj+1 ) satisfies the chain of relations ϕ0 δ[σ] = ϕ0 (ind σj ) = β[ σj ] ∈ K∗ (Mj# ),

(17) j # # where β : K∗+1 ( R+ ) = K∗+1 (Mj × R+ ) −→ K∗ (Mj ) is the Bott periodicity isomorphism, and the index is understood as the index @ ∗+1 Rj K∗+1 (J) ind σj ∈ K of the elliptic operator-valued symbol σj . Proof. For brevity, we assume that Mj consists of exactly one stratum. In this case, we have Mj# × R+ Rj+ . The first relation in (17) follows from definitions (since the boundary map in K-theory of algebras is the index map). 1. Let us establish the second relation ϕ0 (ind σj ) = β[ σj ]. The proof is based on the diagram ind σj / K∗ (J) K∗+1 (Σj+1 ) PPP PPP PPP ϕ0 PPP PPP PPP PPP PPP q ' ' β # / K∗ (Mj × R+ ) K∗+1 (Mj# ),

(18)

where the map K∗+1 (Σj+1 ) → K∗ (Mj# × R+ ) is induced by the map that takes the symbol σ to the operator σ j in (16). Finally, the group K∗ (J) K ∗ (Rj ) is interpreted as the K-group of the cotangent bundle to Rj+ , and the map q is induced by standard quantization (to a symbol on the cosphere bundle, one assigns a pseudodifferential operator). 2. We claim that diagram (18) commutes. Indeed, let us verify the commutativity of the left triangle, i.e., the relation [ σj ] = q[ind σj ].

(19)

Note that the operator σ j is given over the product N Mj = Mj × R . Moreover, it can be viewed as a ψDO on Rj with operator-valued symbol σj = σj (ξ), ξ ∈ Rj . This symbol is independent of x ∈ Rj . Without loss of generality, it can be assumed to be smooth with respect to the parameter ξ (since σj (ξ), just as any ψDO with a parameter, can be arbitrarily closely approximated by a smooth ψDO with a parameter; see Part I). Hence σj (ξ) is an operator-valued symbol in the sense of [11], i.e., has a compact variation with respect to ξ and all of its derivatives starting from the first decay at infinity. Now relation (19) follows by analogy with the generalized Luke theorem in [18]. j


219

The commutativity of the right triangle follows (see Corollary 5.2 in the appendix) from the higher relative index theorem. 3. The commutativity of diagram (18) implies the second relation (17). (The right-hand side is obtained if from the left top corner of the diagram we go directly to the group K∗ (Mj# × R+ ) and then apply the periodicity isomorphism β.) 4.2. Composition ∂ ◦ ϕj+1 Space N+ Mj as a manifold with corners. (See Section 1.2 of Part I for the nota Mj under the inverse of the logation.) The image of the positive quadrant N+ j

Mj rithmic map is the set Mj × [0, 1)j ⊂ Mj × R+ = N+ Mj . Hence we treat N+ as the interior of a manifold with corners, denoted by N+ Mj . We denote the cor#

M responding dual space by N+ j . On the complement N+ Mj well-defined projection M N+ j

#

\ Mj#

(y, x, ω)

π

−→ →

#

# M j × R+ y |x| + 1 , , |y| |y|

\ Mj# , there is a

(20)

whose fiber is the space (M j )# (see Proposition 1.10 of Part I). Reduction into a neighborhood of the edge. We have the diagram of embeddings Mj# ⊂

U#

# ⊂ M≥j

M #. N+ j

(21)

Let [σ] ∈ K∗+1 (Σj+1 ) be the element determined by the symbol σ as above. By passing to the corresponding operators, we obtain the element # ). ϕj+1 [σ] ∈ K∗ (M≥j+1

On the other hand, the infinitesimal operator σ j compatible with σ (see (15)) defines the element # [ σj ] ∈ K∗ (N+ M j \ Mj# ). This element is well defined, since the components of its symbol are elliptic on the corresponding strata. We use primes to distinguish this element from the element (16): although they are determined by one and the same operator, the module structures on the L2 -spaces are different. The naturality of the boundary map in K-homology results in the following lemma. Lemma 4.2. One has where ∂ : K∗ (N+ M j

∂ϕj+1 [σ] = ∂ [ σj ] , #

\ Mj# ) → K∗+1 (Mj# ) is the boundary map for the pair

#

Mj# ⊂ N+ M j . Proof. Let D be some operator on M with symbol σ.

220


1. The infinitesimal operator σ j is obtained from D by localization to the set Hence the restrictions D|U and σ j |U of these operators to a small neighborhood U of Mj are connected by a linear homotopy; i.e., one has

Mj# .

σj |U ] ∈ K∗ (U # ). [D|U ] = [

(22)

2. By applying the naturality of the boundary map in K-homology to the embedding diagram (21), we obtain ∂ϕj+1 [σ] ≡ ∂[D] = ∂ [D|U ], where ∂ is the boundary map for the pair Mj# ⊂ U # . Now if on the right-hand side of the last relation we replace the element [D|U ] according to (22) and once more use the naturality of the boundary map, then we obtain the desired relation σj |U ] = ∂ [ σj ] . ∂ϕj+1 [σ] = ∂ [

Thus in what follows, when computing the composition ∂ ◦ ϕj+1 , we can (and Mj . will) work with the operator σ j on N+ Homotopy of the module structure. By (8), the boundary map ∂ in Lemma 4.2 can be represented as the composition M K∗ (N+ j

#

β

π

∗ \ Mj# ) −→ K∗ (Mj# × R+ ) → K∗+1 (Mj# )

(23)

of the push-forward with respect to the projection π and the periodicity isomorphism. σj ] are determined by the Unfortunately, although the classes [ σj ] and π∗ [ same operator σ j , they have different module structures on the space L2 (N Mj ): in the first case, the structure is independent of the coordinate x, while in the second case it depends on it (see (23)). Let us make a homotopy of module structures. To this end, we define a homotopy M # \ M # −→ M # × R π ε : N+ + j j j of projections by the formula (cf. (20))

y ε|x| + 1 , π (y, x, ω) := . |y| |y| This formula defines a continuous family of maps for ε > 0. However, the family is not continuous as ε → 0.5 Nevertheless, continuity takes place for the Fredholm modules, as shown by the following lemma. ε

σj ) of Fredholm modules obtained by the change of Lemma 4.3. The family π∗ε ( module structure defines a homotopy in the sense of KK-theory, and one has σj ) = π∗0 ( σj ) , lim π∗ε (

ε→0

σj ] = [π∗0 ( σj )] ∈ K∗ (Mj# × R+ ). whence it follows that π∗ [ 5 And

hence the map π∗0 is not defined on the K-group.

(24)


221

Proof. For brevity, we assume that Mj consists of a single face, i.e., is connected. Then the homotopy in the sense of KK-theory means (e.g., see [2]) that for each function f ∈ C0 (Rj+ ) the family Mj ) −→ L2 (N+ Mj ) g ε = (π ε )∗ (f ) : L2 (N+

of operators of multiplication by the functions (π ε )∗ (f ) is strongly ∗-continuous and that the operator families j ], [g ε , σ

g ε ( σj σ j−1 − 1)

in L2 (N Mj ) are continuous families of compact operators as ε → 0. It suffices to prove all these facts for (a dense set of) smooth functions f . If f is smooth, then one can smooth the family g ε and use the composition formulas, which provide the desired compactness and continuity. 4.3. Comparison of the compositions ϕ0 ◦ δ and ∂ ◦ ϕj+1 Now let us use Lemmas 4.1–4.3. We obtain the chain of relations ∂ϕj+1 [σ]

Lemma 4.2

=

∂ [ σj ]

formula (23)

=

βπ∗1 [ σj ]

Lemma 4.3

=

β[π∗0 σ j ] =

= β[ σj ]

Lemma 4.1

=

ϕ0 δ[σ].

The equality at the end of the first row corresponds to the identical coincidence of the corresponding Fredholm modules. Thus the square (14) commutes, and we have established the commutativity of diagram (11).

5. Higher relative index theorem To prove Theorem 2.5, we need to show that the mapping ϕ0 in (11) is an isomorphism. This is done in this section. Consider the map (see Eq. (13)) ϕ0 : Kj (C0 (Rj )) → Kj−1 (Δ◦j−1 ), induced by the map taking a symbol σ(ξ), ξ ∈ Rj , to the corresponding translationinvariant operator σ : L2 (Rj ) −→ L2 (Rj ).

(25)

Here the space L2 (Rj ) is equipped with the following module structure over the algebra C0 (Δ◦j−1 ) of functions on the interior of the simplex: a function f ∈ C0 (Δ◦j−1 ) is viewed as a radially constant function equal to zero outside the positive quadrant Rj+ .

222


We shall prove that ϕ0 is an isomorphism. The first step is the following proposition. Proposition 5.1. For the index pairing of the element ϕ0 [σ] ∈ Kj−1 (Δ◦j−1 ) with an arbitrary element j−1 (Sj−1 ), [a] ∈ Kj−1 (C0 (Δ◦j−1 )) K is the reduced K-group, one has the formula where K

ϕ0 [σ], a = indt [σ] × [a] , (26) where the product [σ] × [a] is defined as the composition j−1 (Sj−1 ) → K 1 (S ∗ Rj ) → K 0 (T ∗ Rj ), K j (Rj ) × K and indt : K 0 (T ∗ Rj ) → Z is the topological Atiyah–Singer index for Rj . (We use topological K-groups with compact supports.) Remark. For j = 1, this assertion is reduced to the relative index theorem for operators on manifolds with conical points. We mean the formula for the difference of indices of operators with equal interior symbols, or, equivalently, for the index of elliptic operators of the form 1 + G ind(1 + G) = w(1 + g), where the interior symbol of G is zero and w(1 + g) is the winding number of the conormal symbol 1 + g. Hence the index formula (26) in the general case can be referred to as the higher relative index formula. Proof. To be definite, we consider the case of even j. (The odd case can be considered in a similar way.) 1. The element [σ] ∈ K0 (C0 (Rj )) is determined by some projection-valued function p(x) on Rj equal to the diagonal projection diag(1, 0) at infinity. Conversely, the element j−1 (Sj−1 ) [a] ∈ Kj−1 (C0 (Δ◦j−1 )) K is determined by some invertible function a(x) on the sphere Sj−1 . To simplify the notation, we assume that this is a scalar function. The matrix case can be considered in a similar way. 2. In this notation, the index pairing ϕ0 [σ], a is by definition equal to the index of the Toeplitz operator (e.g., see [5]) p a : Im p −→ Im p ,

(27)

where p : L (R ) −→ L (R ) – is the projection determined by the symbol p, as in (25). 3. To compute the index of the operator (27), we make the Fourier transform. Then the operator p becomes the projection p(x), and the space Im p becomes the space of sections of the bundle given by the range of p(x). Conversely, the operator 2

j

2

j


223

of multiplication by a passes into a translation-invariant ψDO in Rj with principal symbol a = a(ξ). Hence we obtain

ϕ0 [σ], a = ind (p a : Im p −→ Im p) .

(28)

4. The last operator coincides at infinity with a direct sum of the invertible operator a acting on functions. By the index locality property, the difference of their indices is given by the Atiyah–Singer formula, which gives the desired expression (26). Let us rewrite this index formula in the equivalent form. Corollary 5.2. The following triangle commutes: K∗ (C0 (Rj )) RRR RRR ϕ0 RRR q RRR R( β ◦ / K∗ (Δj−1 × (0, ∞)) K∗+1 (Δ◦j−1 ),

(29)

where β is the Bott periodicity isomorphism and q : K∗ (C0 (Rj )) = K ∗ (T ∗ Rj+ ) −→ K∗ (Δ◦j−1 × (0, ∞)) is the standard isomorphism induced by the pseudodifferential quantization in Rj+ = Δ◦j−1 × (0, ∞). Hence, ϕ0 is an isomorphism. Proof. All groups in the triangle (29) are isomorphic to Z and have natural Bott generators. It is known that the maps q and β take Bott elements to Bott elements. Hence to verify the commutativity of the diagram it suffices to verify this property for ϕ0 . But this readily follows from the index formula (26).

6. End of proof of the classification theorem By virtue of the isomorphism (12), we can single out and cancel the summand K∗ (C(M )) in diagram (11) in the terms K∗ (Σj ) and K∗ (Σj+1 ). We obtain the diagram · · · → K∗ (J) ↓ ϕ0

δ

→ Ell∗+1 (M≥j ) → Ell∗+1 (M≥j+1 ) −→ K∗+1 (J) → · · · ↓ ϕj ↓ ϕj+1 ↓ ϕ0

# · · · → K∗+1 (Mj# ) → K∗+1 (M≥j )→

# K∗+1 (M≥j+1 )

∂

−→ K∗ (Mj# ) → · · · (30) The map ϕj+1 is an isomorphism by the inductive assumption. The map ϕ0 is also an isomorphism (see Corollary 5.2). Since the diagram commutes, we can apply the 5-lemma and obtain the desired justification of the induction step in Theorem 2.5: if the map ϕj+1 is isomorphic on the Ell-group, then so is the map ϕj . The proof of Theorem 2.5 is complete.

224


7. Application to the Monthubert–Nistor index Let us discuss the relationship with the problems considered by Monthubert and Nistor [15]. In the notation of the present paper, for the case of manifolds with embedded corners they considered the short exact sequence σ

0 C(S ∗ M ) → 0, 0 → J −→ Ψ(M ) −→

(31)

where σ0 is the interior symbol map and the ideal J consists of operators with zero interior symbol. They studied the boundary map corresponding to this sequence: δ : K∗ (C(S ∗ M )) −→ K∗+1 (J). For a closed manifold, J is the ideal of compact operators (hence K∗ (J) Z) and the boundary map coincides with the analytic index. Moreover, Monthubert and Nistor showed that in the general case this map has an important topological meaning: it gives the obstruction to the existence of an invertible operator with a given interior symbol. For these reasons, Monthubert and Nistor call this map the analytic index of manifolds with corners. We claim that the classification theorem readily implies a K-homology criterion for the vanishing of the analytic index. Indeed, consider the diagram K∗+1 (M # ) −→ ϕ1 ↑ K∗ (Ψ(M ))

K∗+1 (M0 ) ↑ ϕk+1

−→ K∗ (C(S ∗ M ))

∂

−→ K∗ (M # \ M0 ) (32) δ

−→ K∗+1 (J),

where the lower row is the sequence induced by the short exact sequence (31) and the upper row is the exact sequence of the pair M # \ M0 ⊂ M # in K-homology. The maps ϕ1 and ϕk+1 are induced by quantization of elliptic symbols on M # and M0 , respectively (cf. (11)). The diagram is obviously commutative. From the exactness of the sequences and the obvious commutativity of the diagram, we obtain the following assertion. Let us assume for simplicity that M has no connected components with empty boundary. Proposition 7.1. The analytic index δ(x) ∈ K∗+1 (J) of x ∈ K∗ (C(S ∗ M )) vanishes if and only if ∂ϕk+1 (x) = 0. Proof. 1. There are splittings (cf. (12)) ∗+1 (M )⊕K∗ (C(M )), K∗ (Ψ(M )) Ell

K∗ (C(S ∗ M )) Ell∗+1 (M0 )⊕K∗ (C(M )),

is the reduced Ell-group generated by operators of index zero. Moreover, where Ell the direct summands K∗ (C(M )) can be cancelled in (32). This does not affect the boundary map. Hence, we obtain the commutative diagram ∗+1 (M # ) K ϕ1 ↑ K∗ (Ψ(M ))/K∗ (C(M ))

−→

K∗+1 (M0 ) ↑ ϕk+1

−→ K∗ (C(S ∗ M ))/K∗ (C(M ))

∂ ∗ (M # \ M0 ) −→ K δ

−→ K∗+1 (J),

(33) ∗ is the reduced K-homology group generated by operators of index zero. where K


225

3. By the classification theorem, the quantization maps ϕ in (33) induce isomorphisms. Hence, the commutativity of the diagram readily shows that vanishing of δ is equivalent to the vanishing of the boundary map ∂ in K-homology. The reader can readily rewrite this formula in a more explicit form as a condition on the interior symbol σ0 . There is also a cohomological form of this condition. Needless to say, the cohomological formula is only valid modulo torsion. Remark. One actually has the group isomorphism

∗ (M # \ M0 ) K∗ (J) −→ K determined by quantization of operators with zero interior symbol. (One can readily obtain this isomorphism by reproducing the proof of our classification theorem. In the proof, only the inductive assumption is changed: now for j = k + 1 we claim that 0 = 0.)

References [1] M.F. Atiyah, Global theory of elliptic operators, Proc. of the Int. Symposium on Functional Analysis (Tokyo), University of Tokyo Press, 1969, pp. 21–30. [2] B. Blackadar, K-theory for operator algebras, Mathematical Sciences Research Institute Publications, no. 5, Cambridge University Press, 1998, Second edition. [3] U. Bunke, Index theory, eta forms, and Deligne cohomology. Preprint arXiv: math.DG/0201112. [4] A. Connes, Noncommutative geometry, Academic Press Inc., San Diego, CA, 1994. [5] N. Higson and J. Roe, Analytic K-homology, Oxford University Press, Oxford, 2000. [6] G. Kasparov, Equivariant KK-theory and the Novikov conjecture, Inv. Math. 91 (1988), no. 1, 147–201. [7] T. Krainer, Elliptic boundary problems on manifolds with polycylindrical ends, J. Funct. Anal., 244 (2007), no. 2, 351–386. [8] R. Lauter and S. Moroianu, The index of cusp operators on manifolds with corners, Ann. Global Anal. Geom. 21 (2002), no. 1, 31–49. [9] P.-Y. Le Gall and B. Monthubert, K-theory of the indicial algebra of a manifold with corners, K-Theory 23 (2001), no. 2, 105–113. [10] P. Loya, The index of b-pseudodifferential operators on manifolds with corners, Ann. Global Anal. Geom. 27 (2005), no. 2, 101–133. [11] G. Luke, Pseudodifferential operators on Hilbert bundles, J. Diff. Equations 12 (1972), 566–589. [12] R. Melrose and V. Nistor, K-theory of C∗ -algebras of b-pseudodifferential operators, Geom. Funct. Anal. 8 (1998), no. 1, 88–122. [13] R. Melrose and P. Piazza, Analytic K-theory on manifolds with corners, Adv. in Math. 92 (1992), no. 1, 1–26. [14] B. Monthubert, Groupoids and pseudodifferential calculus on manifolds with corners, J. Funct. Anal. 199 (2003), no. 1, 243–286.

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[15] B. Monthubert and V. Nistor, A topological index theorem for manifolds with corners, arXiv: math.KT/0507601, 2005. [16] V. Nistor, An index theorem for gauge-invariant families: The case of solvable groups, Acta Math. Hungarica 99 (2003), no. 2, 155–183. [17] A. Savin, Elliptic operators on singular manifolds and K-homology, K-theory 34 (2005), no. 1, 71–98. [18] V.E. Nazaikinskii, A.Yu. Savin, and B.Yu. Sternin, On the homotopy classification of elliptic operators on stratified manifolds, Izvestiya: Mathematics, 71 (2007), no. 6, 91–118. Vladimir Nazaikinskii Institute for Problems in Mechanics Russian Academy of Sciences pr. Vernadskogo 101-1 119526 Moscow, Russia e-mail: [email protected] Anton Savin and Boris Sternin Independent University of Moscow, Bol’shoi Vlas’evskii per. 11 119002 Moscow, Russia e-mail: [email protected] e-mail: [email protected]


Dixmier Traceability for General Pseudo-differential Operators Fabio Nicola and Luigi Rodino Abstract. For H¨ ormander’s classes OPS(m, g) of pseudo-differential operators associated with a weight m and a metric g we prove (under an additional technical condition) that, if m is in the space L1 -weak, all operators in that class have finite Dixmier trace. Mathematics Subject Classification (2000). Primary 35S05; Secondary 58J42. Keywords. Pseudo-differential operators, Dixmier trace, Lorentz-Marcinkiewicz space.

1. Introduction A compact operator A in a separable Hilbert space H is in the Schatten-von Neumann class Sp (H), with 1 ≤ p < ∞, if the sequence of its singular values μj (A) + 0 is in lp , that is ∞ μj (A)p < ∞. j=1

Recall that the singular values of A are defined to be the eigenvalues of the positive self-adjoint compact operator |A| = (A∗ A)1/2 . The elements of S2 (H) are Hilbert-Schmidt operators, while S1 (H) is the algebra of trace class operators. Let us also write S∞ (H) for the class of bounded operators in H. Finally, A is in the Dixmier class L(1,∞) (H) if σN (A) =

N

μj (A) = O(log N ) as N → +∞.

j=1

Equivalently, we may require that μj (A) = O( 1j ) as j → ∞, or also assume λ 1 = #{μj (A) ≥ λ}λ = O(1) as λ → 0+ . μj (A)≥λ

228

F. Nicola and L. Rodino

We obviously have S1 (H) ⊂ L(1,∞) (H) ⊂

Sp (H).

(1.1)

p>1

As well as for A ∈ S1 (H), also for A ∈ L(1,∞) (H) a trace can be defined, called Dixmier trace (see Dixmier [9], Connes [5] and Schrohe [21] for the precise definition); operators in L(1,∞) (H) are also called Dixmier traceable. In this paper we discuss the case when H = L2 (Rn ) and A is a pseudodifferential operator with symbol a(x, ξ) defined in R2n . The natural problem is to read on the symbol a(x, ξ) whether A ∈ Sp , 1 ≤ p < ∞, or A ∈ L(1,∞) . In the following, we shall survey some recent results for the case of the Schattenvon Neumann classes Sp , and give a new result for L(1,∞) . Let us begin by observing that the pseudo-differential operator corresponding to a(x, ξ) can be defined in different ways. We recall the quantization of Kohn and Nirenberg Au(x) = (2π)−n

u(ξ) dξ. eixξ a(x, ξ)

In the following, we shall refer to Weyl quantization

x+y w w −n ixξ Au(x) = (a u)(x) = (Op (a)u) (x) = (2π) , ξ u(y) dy dξ, e a 2 see the next section for details. We also mention the Wick, anti-Wick quantizations, see for example Boggiatto, Buzano and Rodino [1]. We now describe the class of symbols we will consider. The standard setting is given by the Weyl-Hörmander classes, where one assumes a ∈ S(m, g), g being a H¨ ormander metric and m a g-admissible weight function, see [16], Chapter XVIII and the next Section 2 for precise definitions. The non-expert reader may think of to the special case of a metric g of the form gx,ξ (y, η) =

|dy|2 |dη|2 + , 2 φ(x, ξ) ψ(x, ξ)2

(1.2)

with φ > 0, ψ > 0. Then, a ∈ S(m, g) means that |∂xα ∂ξβ a(x, ξ)| ≤ Cm(x, ξ)φ(x, ξ)−|α| ψ(x, ξ)−|β| . In order to have good properties for composition, adjoints, etc., one assumes, among other things, the so-called uncertainty principle, i.e., that the Planck function h(x, ξ) associated with g satisfies h(x, ξ) ≤ 1. For the metric (1.2) one has h = (φψ)−1 . To understand the role of h one should recall, for example, that the w w symbol of the 1 , g), b ∈ S(m2 , g), has an asymptotic product a b , with a ∈ S(m expansion j≥0 cj , with cj ∈ S(m1 m2 hj , g), c0 = ab. The uncertainty principle therefore guarantees that each term cj is in S(m1 m2 , g) too, and so is the symbol of aw bw (see Theorem 2.1 below). Moreover, the uncertainty principle is also essential for symbols a ∈ S(1, g) to give rise to bounded operators in L2 (Rn ) (Calder` onVaillancourt Theorem). In some of the results below one actually assumes the

Dixmier Traceability for General Pseudo-differential Operators

229

strong uncertainty principle, that is h(x, ξ) ≤ C(1 + |x| + |ξ|)−δ , for some C > 0, δ > 0. Under this hypothesis one has a full symbolic calculus with asymptotic expansions and remainders with kernels in the Schwartz space S(Rn × Rn ). μ As main examples, we observe that Hörmander’s classes Sρ,δ correspond to μ 1 −δ m(x, ξ) = (1 + |ξ|) and to the metric (1.2) with φ(x, ξ) = ξ , ψ(x, ξ) = ξρ ; hence h(x, ξ) = ξδ−ρ and the uncertainty principle is satisfied if and only if δ ≤ ρ. Shubin’s classes Gμ (see [22]) correspond to m(x, ξ) = (1 + |x| + |ξ|)μ and to the metric (1.2) with φ(x, ξ) = ψ(x, ξ) = (1 + |x|2 + |ξ|2 )1/2 ; hence h(x, ξ) = 1 + |x|2 + |ξ|2 and the strong uncertainty principle is satisfied. Finally the so-called SG or scattering classes S k1 ,k2 (see Schulze [19]) correspond to m(x, ξ) = (1 + |x|)k2 (1 + |ξ|)k1 , and to the metric (1.2) with φ(x, ξ) = x and ψ(x, ξ) = ξ; therefore h(x, ξ) = x−1 ξ−1 and the strong uncertainty principle is still verified. Let us now come to the problem of characterizing the decay of the eigenvalues of a pseudo-differential operator in terms of its symbol. All the results are inspired by the rough conjecture that A ∈ Sp (L2 (Rn )) should be equivalent to a ∈ Lp (R2n ). As basic results in this direction we recall that a function a ∈ L1 yields a compact operator aw in L2 (Rn ). Moreover a ∈ L2 is equivalent to aw ∈ S2 (see, e.g., Folland [10]). By interpolation one then obtains that a ∈ Lp implies aw ∈ Sp , 1 ≤ p ≤ 2, 1/p + 1/p = 1. When p > 2 it is no longer true that aw is a bounded operator (Simon [20]), so that it is clear that some additional condition has to be imposed on a symbol a ∈ Lp for aw to be in Sp . Observe that, up to now, the function a is not assumed to be smooth. Robert [18] instead showed that if ∂xα ∂ξβ a ∈ L∞ ∩ L1 (|α| + |β| ≤ N , N large enough) then aw ∈ S1 . Another theorem due to H¨ ormander [15] states that if the weight m is in L1 then OPS(m, g) ⊂ S1 , namely all the operators with symbols in S(m, g) are trace class. This latter result was also generalized to the case p > 1 by Buzano and Nicola [3], where it was proved that m ∈ Lp is equivalent to OPS(m, g) ⊂ Sp if one assumes the strong uncertainty principle. Subsequently Toft [24] proved the same result without assuming the strong uncertainty principle. There is also a variety of related results in the framework of modulations spaces, proved by techniques from Time-Frequency Analysis (see Gr¨ ochenig [13]). We recall in particular from Gr¨ ochenig [12] that any function a ∈ L1 whose Fourier transform is in L1 gives rise to an operator aw ∈ S1 . Also, it is proved by Gr¨ ochenig and Heil [14] that a ∈ L2s ∩ H s , s ≥ 0, implies aw ∈ Sp with p > 2n/(n + s) (H s is the Sobolev space of order s while L2s is the L2 space with respect to the density (1 + |x|2 + |ξ|2 )s dxdξ). Important results when a is assumed in the modulation 1 As

usual, ξ = (1 + |ξ|2 )1/2 .

230


spaces M p,q were also obtained by Cordero and Gr¨ ochenig [7]. Generalizations within the framework of ultradistributions have recently appeared in Cordero, Pilipović, Rodino and Teofanov [8]. We now present our result for the Dixmier ideal L(1,∞) . Inspired by its role of threshold with respect to the summability of the singular values (see (1.1)) and taking into account the above-mentioned results, it is quite natural to look at the Lorentz-Marcinkiewicz space L1w of L1 -weak functions as a candidate for the following rough conjecture: a ∈ L1w (R2n ) =⇒ aw ∈ L(1,∞) (L2 (Rn )). We recall that the space L1w (RN ), also denoted also L1,∞ (RN ), is defined by L1w (RN ) = {f : RN → C measurable such that sup s · meas({|f | > s}) < +∞}, s>0

(see Stein and Weiss [23]). For example, the functions |x|−N and (1 + |x|2 )−N/2 are in L1w (RN ). Here is our main result. Theorem 1.1. Let g be a H¨ ormander metric and m a g-admissible weight function. Assume that, for some constants C > 0, δ > 0, h(x, ξ) ≤ C(1 + |x| + |ξ|)−δ .

(1.3)

Then, if m ∈ L1w (R2n ), it turns out OPS(m, g) ⊂ L(1,∞) (L2 (Rn )).

(1.4)

We consider now two simple examples which Theorem 1.1 applies to (see above for the definitions of the Shubin and SG classes). We have that any symbol a in the Shubin class G−2n gives rise to an operator aw ∈ L(1,∞) . Indeed, the corresponding weight (1 +|x|+ |ξ|)−2n is just in L1w (R2n ). Similarly, we see that any symbol in the SG classes S −n,−μ or in S −μ,−n , with μ > n, gives rise to an operator in L(1,∞) too, since the weights x−n ξ−μ and

x−μ ξ−n are in L1w (R2n ). We observe that, for these two classes of pseudodifferential operators, connections between the Dixmier trace and suitably defined Wodzicki’s residues were studied in Boggiatto and Nicola [2] and Nicola [17] respectively. Finally we observe that the characterization of the pseudo-differential operators which are in L(1,∞) is a subject of interest in noncommutative geometry (see Connes [4, 5], and Gayral, Gracia-Bond´ıa, Iochum, Sch¨ ucker, V` arilly [11]). Indeed, in the standard setting [5] one mostly deals with pseudo-differential operators on compact manifolds. Due to the requirements of invariance, the class of admissible operators is therefore essentially limited to the classical one or its anisotropic version, when the manifold is foliated (see Connes [6]). Instead, the case of operators in Rn is much more rich and one can consider a wide variety of classes as above. Notice that, similarly, pseudo-differential operators in Rn play an important role in noncompact noncommutative geometry, as it is shown in [11].


231

2. Preliminaries In order to fix notation, we recall some basic definitions concerning the WeylH¨ ormander calculus; see Chapter XVIII of [16] for details. A metric is a measurable function g : (x, ξ) → gx,ξ of R2n into the set of positive definite quadratic forms on R2n . With any metric gx,ξ it is associated the so-called Planck function h(x, ξ), defined by 31/2 2 gx,ξ (t, τ ) , h(x, ξ) := sup σ (t,τ ) gx,ξ (t, τ ) where g σ is the dual quadratic form: σ (t, τ ) := gx,ξ

sup

2 σ (t, τ ); (y, η) ,

gx,ξ (y,η)=1

with respect to the standard symplectic 2-form σ = A H¨ ormander metric is a metric which is

n i=1

dξi ∧ dxi in R2n .

• slowly varying, i.e., there exists C > 0 such that, with X, Y ∈ R2n , gX (Y − X) ≤ C −1 =⇒ C −1 gY (Z) ≤ gX (Z) ≤ CgY (Z) ∀Z ∈ R2n ; • σ-temperate, i.e., there exist constants C > 0, N ∈ Z+ such that σ gX (Z) ≤ CgY (Z)(1 + gX (Y − X))N

∀X, Y, Z ∈ R2n ;

• satisfying the uncertainty principle, namely h(x, ξ) ≤ 1 ∀(x, ξ) ∈ R2n . A g-admissible weight is a positive measurable function m : R2n → R+ , which is • g-continuous, i.e., there exists C > 0 such that gX (Y − X) ≤ C −1 =⇒ C −1 m(Y ) ≤ m(X) ≤ Cm(Y ); • (σ, g)-temperate, i.e., there exist constant C > 0, N ∈ Z+ such that σ (Y − X))N m(X) ≤ Cm(Y )(1 + gX

∀X, Y ∈ R2n .

We denote by S(m, g) the set of the smooth functions a : R2n → C satisfying |a|gk (x, ξ) < ∞, (x,ξ) m(x, ξ) sup

for all k ∈ Z+ ,

where |a|g0 (x, ξ) := |a(x, ξ)| and |a|gk (x, ξ)

|a(k) (x, ξ); T1 , . . . , Tk | := sup , 1/2 · · · g 1/2 x,ξ (Tk ) Tj ∈R2n gx,ξ (T1 )

for k ≥ 1,

where a(k) (X, ·) denotes the k-multi-linear form given by the differential of order k of a at X ∈ R2n .

232


The space S(m, g) is equipped with the Fréchet topology given by the seminorms agk (x, ξ) ||a||k;S(m,g) := sup , k ∈ Z+ , (x,ξ) m(x, ξ) where agk (x, ξ) := sup |a|gj (x, ξ). j≤k

Given a symbol a ∈ S(m, g) we define its Weyl quantization as the linear operator

x + y) w −n i(x−y)ξ , ξ u(y) dy dξ, a e (Op (a)u)(x) = (2π) 2 first for u in the Schwartz space S(Rn ) and then on the space S (Rn ) of temperate distributions. Sometimes it is also denoted by aw . Moreover OPS(m, g) stands for the space of such operators, whose symbol is in S(m, g). Finally we recall the composition formula of two pseudo-differential operators (Theorem 18.5.4 of [16]). Theorem 2.1. Given two symbols a ∈ S(m1 , g) and b ∈ S(m2 , g), we have that aw bw is a pseudo-differential operator with symbol a#b ∈ S(m1 m2 , g) such that RN (a, b) := a#b −

N {a, b}j j=1

(2i)j j!

∈ S(m1 m2 hN +1 , g),

for all N ∈ Z+ , where {a, b}0 = ab, and ⎡2 ⎤

3j n ∂ ∂ ∂ ∂ {a, b}j = ⎣ − a(x, ξ)b(y, η)⎦ ∂ξr ∂yr ∂xr ∂ηr r=1

, y=x,η=ξ

for j > 0. More precisely, for each N, k ∈ Z+ there exist an integer l and a constant C > 0 such that RN (a, b)k;S(m1 ,m2 hN +1 ,g) ≤ Cal;S(m1 ,g) bl;S(m2 ,g) for all a ∈ S(m1 , g) and all b ∈ S(m2 , g).

3. Proof of Theorem 1.1 We assume the hypotheses of Theorem 1.1. The proof consists of several steps and we start with the following result. Lemma 3.1. We have m(x, ξ) → 0 as (x, ξ) → ∞.


233

Proof. Let us suppose that m does not tend to 0 at ∞. Then there exist α > 0 and Xj ∈ R2n , j ∈ N, such that m(Xj ) ≥ α for every j. Since m is g-continuous, it follows that, with some constant C > 0 it turns out m(Y ) > αC −1 if Y ∈ Bj := {Y : gXj (Y − Xj ) < C −1 }. In order to compute the measure of Bj we observe that, by Lemma 18.6.4. of [16] for any given j we can perform a linear symplectic change of coordinates so that n gXj (Y ) = λk (yk2 + ηk2 ), k=1

with Y = (y, η) and that meas(Bj ) =

2

n

max λk = h(Xj ). It follows that there exists c > 0 such

k=1,...,n

3 λ−1 k

meas

k=1

n

B yk2

+

ηk2

αC

this contradicts the fact that m ∈ L1w .

We observe that the fact that m → 0 at ∞ is necessary for (1.4) to hold, since it is equivalent to saying that all operators in OPS(m, g) are compact in L2 (Rn ) (see [16], Theorem 18.6.6). Lemma 3.2. There exists an operator A = Opw (a), with a real symbol a ∈ S(m−1 ,g) such that (i) a ≥ Cm−1 for some constant C > 0; (ii) A is self-adjoint as an operator in L2 (Rn ) with domain D = {u ∈ L2 (Rn ) : Au ∈ L2 (Rn )}; (iii) A has a spectrum made of a sequence of eigenvalues 1 ≤ λj , +∞. (iv) A−1 is a compact pseudo-differential operator in OPS(m, g). Proof. Consider the operator Opw (m−1 ) (we are assuming, without loss of generality, that m is smooth; see [15], page 143). Since m tends to 0 at ∞ and (1.3) holds, it follows from Theorem 3.4 of [15] that it is a self-adjoint operator in L2 (Rn ), with a spectrum made of a sequence of eigenvalues bounded from below. It follows that A = Opw (m−1 + c) is bounded from below, say, by 1 if c is large enough. Consider then a parametrix B ∈ OPS(m, g): AB = I + R, where R has kernel in S(R2n ) (cf. Lemma 3.1 of [15] and the subsequent remark). We have B = A−1 + A−1 R on S(Rn ) (notice that S(Rn ) ⊂ D, and A−1 : D → L2 (Rn )). Since A is globally hypoelliptic, A−1 : S(Rn ) → S(Rn ), continuously by the closed graph theorem. It follows that A−1 R is an operator with kernel in S(R2n ). Hence, A−1 ∈ OPS(m, g). Finally, A−1 is compact in view of Theorem 18.6.6 of [16] so that, in particular, the sequence of eigenvalues of A tends to +∞.

234


We observe that Theorem 1.1 is proved if we verify that A−1 ∈ L(1,∞) . Indeed, given any operator P ∈ OPS(m, g) we can write P = P AA−1 . Since P A ∈ OPS(1, g) is bounded in L2 (Rn ) and L(1,∞) is an ideal in the space of bounded operators we deduce that P ∈ L(1,∞) . Thus we are reduced to prove that λ−1 j = O(1/j) as j → +∞.

(3.1)

Theorem 3.3. The operator e−tA , t ≥ 0 can be written as e−tA = bw t + S(t), where bt is bounded family of symbols in S(1, g) for t ≥ 0, satisfying |bt (x, ξ)| ≤ Ce−ta(x,ξ)/2 ,

∀t ≥ 0, ∀(x, ξ) ∈ R2n ,

and S(t) is a trace class operator with S(t)Tr ≤ Ct,

∀t ≥ 0.

Proof. We search bt ∈ S(1, g), satisfying (∂t + aw )bw t = K(t) bw = I, 0

(3.2)

(3.3)

for some trace class operator K. Precisely, we look for bt in the form bt (x, ξ) = N l −l j j=0 uj (t, x, ξ) with ∂t uj ∈ S(m h , g), for l ≥ 0. From (3.3) and Theorem 2.1 we obtain the following transport equations in S(m−1 hj , g): ⎧ {a,uk }l ⎪ ⎨∂t uj + k+l=j (2i)l l! = 0, (3.4) u0 (0, x, ξ) = 1, ⎪ ⎩ uj (0, x, ξ) = 0, if j > 0. For j = 0 we obtain u0 = e−ta . For j > 0, we have to solve the equations ⎧ {a,uk }l ⎪ =0 ⎨∂t uj + auj + (2i)l l! ⎪ ⎩

k+l=j k<j

(3.5)

uj (0, x, ξ) = 0,

from which one easily verifies by induction that uj can be written as uj = e−ta pj where pj (t, x, ξ) satisfies the estimates |∂tl pj |gq ≤ C

q+2j

ts as+l hj .

(3.6)

s=1

From these estimates it follows that |∂tl uj |gk ≤ Ce−ta/2 al hj . We now choose N so large that m−1 hN +1 ∈ L1 (R2n ) (this is possible, for m is N temperate and h satisfies (1.3)), and we set bt (x, ξ) = j=0 uj (t, x, ξ). Then bw t satisfies (3.3) with K(t) ∈ OPS(m−1 hN +1 , g) uniformly with respect to t ≥ 0. It


235

follows therefore from Theorem 3.9 of [15] that K(t) is trace class and K(t)Tr ≤ C for every t ≥ 0. In order to verify (3.2) we observe that, since the operator e−tA solves (3.3) with K = 0 we have t w −tA bt − e = e−(t−s)A K(s) ds. (3.7) 0

Then bw t

−e

−tA

Tr ≤

t

e

−(t−s)A

t

K(s)Tr ds ≤

0

e−(t−s)A L K(s)Tr ds ≤ Ct.

0

This concludes the proof. Proposition 3.4. We have +∞

e−tλj = O(t−1 ),

as t + 0.

j=1

Proof. We have +∞

e−tλj = Tr e−tA = e−tA Tr ≤ bw t Tr + S(t)Tr .

(3.8)

j=1

It follows from Theorem 3.9 of [15] that, for N and k large enough, N bw t Tr ≤ C(bt L1 + h L1 bt k;S(1,g) ).

(3.9)

The second term in the right-hand side (3.9) is O(1) as t + 0. As regards the first one, we have +∞ −ta(x,ξ)/2 bt L1 ≤ C e dx dξ = C e−ts dλ(s), (3.10) 0

where we set λ(s) = meas({a/2 ≤ s}). Now we have λ(s) = 0 for s in a right neighborhood of 0 and λ(s) ≤ Cs, since a−1 ∈ L1w (R2n ); this follows from (i) in Lemma 3.2, for m ∈ L1w (R2n ). Thus, integrating by parts in (3.10) yields +∞ +∞ +∞ −ts −ts e dλ(s) = t e λ(s)ds ≤ Ct e−ts s ds = Ct−1 . 0

0

0

−1 ) as t + 0, which together with (3.8) and (3.2) This shows that bw t Tr = O(t concludes the proof.

Let now N (λ) = #{λj : λj ≤ λ} be the so-called counting function of A (recall, the eigenvalues are repeated according to their multiplicity). Proposition 3.5. We have N (x) = O(x) as x → +∞.

236


Proof. Upon setting φt (λ) = N (t−1 λ) it turns out +∞ +∞ e−tλ dN (λ) = e−λ dφt (λ) 0

0

and N (t

−1

t−1

)=

dN (λ) =

χ[0,1] (λ)dφt (λ). 0

0

Hence we have N (t

+∞

−1

)≤e

+∞

e−tλ dN (λ).

0

On the other hand, the right-hand side of (3.11) is exactly e O(t−1 ) as t + 0 in view of Proposition 3.4.

(3.11) +∞ j=1

e−tλj , which is

We finally prove (3.1). Proposition 3.6. We have λ−1 j = O(1/j) as j → +∞. Proof. We know from Proposition 3.5 that N (x) ≤ Cx for x ≥ 0. Now, given any j, take j1 ≥ j such that λj = λj1 < λj1 +1 . Then N (λj1 ) = j1 so that j ≤ j1 ≤ Cλj1 = Cλj . This concludes the proof.

Theorem 1.1 is therefore proved.

References [1] P. Boggiatto, E. Buzano, L. Rodino, Global Hypoellipticity and Spectral Theory. Akademie Verlag, Berlin, 1996. [2] P. Boggiatto, F. Nicola, Non-commutative residues for anisotropic pseudo-differential operators in Rn . J. Funct. Anal. 203 (2003), 305–320. [3] E. Buzano, F. Nicola, Pseudodifferential operators and Schatten-von Neumann classes. In: P. Boggiatto, R. Ashino, M.W. Wong (Eds.), Advances in Pseudodifferential Operators (Proceedings ISAAC, Toronto 2003), Operator Theory Adv. Appl., vol. 155, Birkh¨ auser, Basel, 2004, 117–130. [4] A. Connes, The action functional in non-commutative geometry. Comm. Math. Physics 117 (1988), 673–683. [5] A. Connes, Noncommutative Geometry. Academic Press, New York, London, Tokyo, 1994. [6] A. Connes, H. Moscovici, The local index formula in noncommutative geometry. Geom. Funct. Anal. 5 (1995), 174–243. [7] E. Cordero, K.H. Gr¨ ochenig, Time-frequency analysis of localization operators. J. Funct. Anal. 205 (2003), 107–131. [8] E. Cordero, S. Pilipović, L. Rodino, N. Teofanov, Localization operators and exponential weights for modulation spaces. Mediterr. J. Math. 2 (2005), 381–394.


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[9] J. Dixmier, Existence de traces non normales. C.R. Acad. Sc. Paris, Série A, 262 (1966), 1107–1108. [10] G.B. Folland, Harmonic Analysis in Phase Space. Princeton University Press, 1989. [11] V. Gayral, J.M. Gracia-Bond´ıa, B. Iochum, T. Sch¨ ucker, J.C. V` arilly, Moyal planes are spectral triples. Comm. Math. Phys. 246 (2004), 569–623. [12] K.H. Gr¨ ochenig, An uncertainty principle related to the Poisson summation formula. Studia Math. 121 (1996), 87–104. [13] K.H. Gr¨ ochenig, Foundation of Time-Frequency Analysis. Birkh¨ auser, Boston, 2001. [14] K.H. Gr¨ ochenig, C. Heil, Modulation spaces and pseudo-differential operators. Integral Equations Operator Theory 34 (1999), 439–457. [15] L. H¨ ormander, On the asymptotic distribution of the eigenvalues of pseudo-differor Mat. 17 (1979), 297–313. ential operators in Rn . Arkiv f¨ [16] L. H¨ ormander, The analysis of linear partial differential operators III. SpringerVerlag, Berlin, 1985. [17] F. Nicola, Trace functionals for a class of pseudo-differential operators in Rn . Math. Phys. Anal. Geom. 6 (2003), 89–105. [18] D. Robert, Autour de l’approximation semi-classique. Birkh¨ auser, Boston, 1987. [19] B.-W. Schulze, Boundary value problems and singular pseudo-differential operators. Pure and Applied Mathematics, John Wiley & Sons, Chichester, England, 1998. [20] B. Simon, The Weyl transfrom and Lp functions on phase space. Proc. Amer. Math. Soc. 116 (1992), 1045–1047. [21] E. Schrohe, Wodzicki’s noncommutative residue and traces for operator algebras on manifolds with conical singularities. In L. Rodino, editor, Microlocal Analysis and Spectral Theory, 1997 Kluwer Academic Publishers, Printed in the Netherlands, 1997, 227–250. [22] M.A. Shubin, Pseudo-differential operators and spectral theory. Springer-Verlag, Berlin, 1987. [23] E.M. Stein, G. Weiss, Introduction to Fourier Analysis on Euclidean Spaces. Princeton University Press, 1971. [24] J. Toft, Schatten-von Neumann properties in the Weyl calculus, and calculus of metrics on symplectic vector spaces. Preprint 2004. Fabio Nicola Dipartimento di Matematica, Politecnico di Torino, Corso Duca degli Abruzzi, 24 10129 Torino, Italy e-mail: [email protected] Luigi Rodino Dipartimento di Matematica, Universit` a di Torino, Via Carlo Alberto, 10 10123 Torino, Italy e-mail: [email protected]


Topological Invariants of Bifurcation Jacobo Pejsachowicz Abstract. I will shortly discuss an approach to bifurcation theory based on elliptic topology. The main goal is a construction of an index of bifurcation points for C 1 -families of Fredholm maps derived from the index bundle of the family of linearizations along the trivial branch. As illustration, I will present an application to bifurcation of homoclinic solutions of non-autonomous differential equations from a branch of stationary solutions. Mathematics Subject Classification (2000). Primary 58E07, 58J55; Secondary 47A35, 34C23. Keywords. Bifurcation, Fredholm maps, Index bundle, J-homomorphism.

1. Introduction The classical topological approach to bifurcation of zeroes of parametrized families of maps is essentially of local nature [13, 14, 2, 3]. Sufficient condition for bifurcation are obtained by analyzing the behavior of the linearized family in a small enough neighborhood of an isolated point of the trivial branch at which the linearization fails to be invertible. Here, instead, I would like to discuss an alternative, non-local approach based on elliptic topology. I will consider families of C 1 -Fredholm maps of index 0 parametrized by topologically nontrivial spaces and will use the non-vanishing of a global invariant associated to the family of linearizations in order to find on the trivial branch at least one bifurcation point. This kind of argument, applied to families of linear Fredholm operators, was successfully used in many places (see for example [12], [23] among others). My point here is that, after adding one more tool, essentially the same method works for nonlinear Fredholm maps as well. Although some of the results stated here were already proved for families of Fredholm maps of special type in [20, 19], the general case is an ongoing work and full details will appear in [21]. In what follows I will describe more precisely what I mean by bifurcation from the trivial branch and the topological invariants under consideration.

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Let X, Y be Banach spaces and let P be an n-dimensional compact connected smooth manifold. Let f : P × O → Y be a continuously differentiable map defined on the product of P with an open neighborhood O of the origin in X. Assume that f (p, 0) = 0 for all p in P. Solutions of the equation f (p, x) = 0 of the form (p, 0) are called trivial and the set P × {0} is called the trivial branch. In what follows I will identify the parameter space P with the set of trivial solutions and will write the parameter variable as a subscript. Accordingly I will denote by fp : U → Y the map defined by fp (x) = f (p, x). A bifurcation point for solutions of the equation f (p, x) = 0 is a point p∗ in P such that every neighborhood of (p∗ , 0) contains nontrivial solutions of this equation. Let Lp = Dfp (0) be the Fréchet derivative of the map fp at 0. The map L sending p ∈ P to Lp is called the family of linearizations along the trivial branch. By the Implicit Function Theorem, bifurcation cannot occur at points where the operator Lp is an isomorphism. However, in general, the set Bif (f ) of bifurcation points of f is only a proper closed subset of the set Σ(L) = {p ∈ P | Lp is singular}. Assuming that Lp is a Fredholm operator of index 0 for all p ∈ P, sufficient conditions for the existence of bifurcation points can be obtained from homotopy invariants of the family of linearizations along the trivial branch. Since bifurcation arises only at points of Σ(L), the first invariant that comes in mind is the obstruction to the existence of a homotopy deforming the family L into a family of isomorphisms. This obstruction is given by an element Ind L of C ), called family the reduced Grothendieck group of virtual vector bundles KO(P index or index bundle [4, 16]. However, in dealing with nonlinear perturbations of the family L one has to consider a stronger invariant and, quite naturally, our bifurcation invariant is not Ind L but rather its image J(Ind L) under the generalized J-homomorphism which associates to each vector bundle the stable fiberwise homotopy class of its unit sphere bundle. Our main result asserts that if J(Ind L) does not vanish and Σ(L) is a proper subset of P then there exists at least one bifurcation point from the trivial branch for solutions of the equation f (p, x) = 0. The corresponding theorem together with some consequences and generalizations are stated in Section 2. Section 3 is devoted to a localized version of the basic invariant. To each admissible open subset U of the parameter space is assigned a bifurcation index σ(f, U ) belonging to the finite group J(P ) defined in [5] which gives a measure of the number of bifurcation points of f in U . It is related to the global invariant J(Ind L) much in the same way as the local fixed-point index is related to the Lefschetz number and provides an interpolation between the global invariant and the Alexander-Ize invariant at isolated bifurcation points [2]. The precise relation with the AlexanderIze invariant is discussed in Section 4. In Section 5 the previous theory is used in order to show how the topology of the parameter space leads to the appearance of homoclinic trajectories of non-autonomous differential equations emanating from a stationary solution.

Topological Invariants of Bifurcation

241

Few comments to related work: one-parameter families of C k -Fredholm mappings of index 0 were studied in [8, 18] among others. The well-known Global Bifurcation Theorem of P.Rabinowitz was extended to one parameter families of C 1 Fredholm maps in [22] using an appropriate degree theory (see also [11]). For a special class of bifurcation problems involving Fredholm maps a different method was developed by Zvyagin in [24] using a device due to Ize. Krasnosel’skij-Rabinowitz theory was carried to the setting of several-parameter families of compact perturbations of identity mainly by the work of Alexander and Ize [2, 3, 13, 14, 10]. The review paper [15] contains a complete reference list for this topic. In [6, 7] a different approach to local bifurcation index in the semilinear case was developed by Bartsch.

2. The main result Let us recall the definition of the index bundle. I will use here a construction slightly different from the one given by Atiyah in [4] but, of course, both approaches give the same element in K-theory. If P is a compact space, the Grothendieck group KO(P ) is the group completion of the abelian semigroup Vect(P ) of all isomorphisms classes of vector bundles over P. As a group KO(P ) = Vect(P ) × Vect(P )/Δ where Δ is the diagonal subsemigroup. The elements of KO(P ) are called virtual bundles. Each virtual bundle can be written as a difference [E] − [F ], where [E] is the equivalence class of (E, 0). Let X, Y be real Banach spaces, let Φ(X, Y ) be the space of all Fredholm operators. With Φk (X, Y ) I will denote the space of operators of index k. Given a continuous family L : P → Φ(X, Y ) of Fredholm operators parametrized by a compact topological space P, using compactness of P one can find a finitedimensional subspace V of Y transverse to the family L, i.e., such that Im Lp + V = Y for any p ∈ P.

(2.1)

It follows from 2.1 that the finite-dimensional spaces Ep = L−1 p (V ) are fibers of a vector bundle E over P. By definition the index bundle Ind L = [E] − [Θ(V )] ∈ KO(P ), where Θ(V ) = P × V denotes the trivial vector bundle over P with fiber V. That the above virtual bundle is independent from the choice of V follows easily from the identity [E] − [F ] = [E ⊕ H] − [F ⊕ H], which holds in KO(P ). It is easy to see that Ind L depends only on the homotopy class of L. It vanishes whenever L can be deformed by a homotopy to a family of invertible operators. The index bundle is functorial under the change of parameter space and moreover it has the logarithmic property of the ordinary index. Namely, Ind LM = Ind L + Ind M. I will need also the generalized J-homomorphism. Given a vector bundle E, let S[E] be the sphere bundle with respect to some chosen scalar product on E.

242

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Two vector bundles E, F are said to be stably fiberwise homotopy equivalent if for some n the sphere bundle S[E ⊕ Θ(Rn )] is fiberwise homotopy equivalent to the C ) be the kernel of the rank homomorphism sphere bundle S[F ⊕ Θ(Rn )]. Let KO(P C ) generated by elements rk : KO(P ) → Z and let T (P ) be the subgroup of KO(P [E] − [F ] such that S[E] and S[F ] are stably fiberwise homotopy equivalent. Put C )/T (P ). The projection to the quotient J : KO(P C ) → J(P ) is the J(P ) = KO(P generalized J-homomorphism. The groups J(P ) were introduced by Atiyah in [5] who also proved that J(S n ) coincides with the image in π s of the stable j-homomorphism. It follows from this that J(P ) is a finite group for any compact CW-complex P . Since Stiefel-Whitney characteristic classes can be obtained from the Thom class using Steenrod squares they depend only on the stable fiber homotopy type of the associated sphere bundle and hence are well defined on elements of J(P ). Theorem 2.1. [21] Let P be a compact connected orientable n-dimensional manifold and let f : P × O → Y be a C 1 -family of Fredholm maps of index 0 parametrized by P such that f (p, 0) = 0. Assume that the linearization Lp = Dfp (0) at the points of the trivial branch is nonsingular at some point p0 ∈ P and that J(Ind L) = 0 in J(P ), then the family f possesses at least one bifurcation point from the trivial branch. The next theorem uses Stiefel-Whitney classes in order to estimate the covering dimension of the set of bifurcation points. Theorem 2.2. [21, 6] Let f : P × X → Y be as in Theorem 2.1 and let m = min{k/ ωk (Ind L) = 0}, then the Lebesgue covering dimension of the set Bif (f ) of all bifurcation points of f is at least n − m. The proof uses the previous theorem and Poincaré duality. Remark 2.3. For P = S 1 this reduces to the bifurcation theorems proved in [11] and [22] by other means. However, in [11, 22] was proved that the bifurcating branch is global. In the remaining part of the paper, except when differently stated, Fredholm means Fredholm of index 0. Theorem 2.1 is a particular case of a slightly more general result. In order to formulate it I will need the degree theory constructed in [22]. The construction of the degree in [22] is based on a homotopy invariant of paths of Fredholm operators called parity. Given a path L : [a, b] → Φ0 (X, Y ) with invertible end points and transverse to the one-codimensional analytic variety Σ of all non-invertible Fredholm operators, its parity σ(L) ∈ Z2 is defined by σ(L) = #(L ∩ Σ)-mod 2. This definition can be extended to general paths with invertible end points using approximation by transversal paths (see [11] for this and for a different construction using parametrices).


243

Let f : X → Y be a C 1 -Fredholm map of index 0 that is proper on closed bounded subsets. In order to assign to each regular point of the map f an orientation (x) = ±1, with properties analogous to the sign of the Jacobian determinant in finite dimensions, we choose a fixed regular point b called base point and define “ad arbitrium” (b) = ±1. With this said, the multiplicity (x) at any regular point x is uniquely defined by the requirement (x) = (−1)σ(Df ◦γ) (b), where γ is any path in X joining b to x. The independence from the choice of the path follows from the homotopy invariance of the parity. If Ω is an open bounded subset of X such that 0 ∈ / f (∂Ω) and is a regular value of the restriction of f to Ω, then the base point degree of f is defined by degp (f, Ω, 0) = x∈f −1 (0) (x). It was proved in [22] that when 0 is not a regular value of f the degree can still be defined using approximation (although not by regular values since the Sard-Smale theorem does not extend to C 1 -Fredholm maps of index 1). Moreover, the above assignment defines an integral-valued degree theory for C 1 -Fredholm maps which are proper on closed bounded sets. The base point degree is invariant under homotopies only up to sign and, as a matter of fact, no degree theory for general Fredholm maps can be homotopy invariant. However, the change in sign can be determined as follows: let h : I × X → Y be a homotopy and let Ω be an open bounded subset of X such that 0 ∈ / h([0, 1] × ∂Ω). Assume (for simplicity) that b is a regular point both of h0 and h1 , then degb (h0 , Ω, 0) = (−1)σ(H) degb (h1 , Ω, 0),

(2.2)

where H is the path t → Dht (b). If f is a C 1 -Fredholm map and x0 is an isolated but necessarily regular zero its multiplicity m(f, x0 ) is defined by m(f, x0 ) = | degb (f, B(x0 , δ), 0)|, where B(x0 , δ) open ball centered at x0 and small enough radius δ and b is any regular point of f . Notice that properness need not be assumed since all Fredholm maps 1 ] the ring of all rational numbers are locally proper. Finally, let us denote by Z[ m whose denominator is a power of m. Theorem 2.4. Let P be as in 2.1, let O = B(0, δ) be an open ball in X and let f : P × O → Y be a C 1 -family of Fredholm maps parametrized by P. Assume that the only solutions of f (p, x) = 0 are those of the form (p, 0). Suppose moreover that for some (and hence all) q ∈ P we have that m = m(fq , 0) = 0, then i) the index bundle Ind L is orientable. 1 ]. ii) J(Ind L) = 0 in J(P ) ⊗ Z[ m Theorem 2.1 follows the above theorem with m = 1. Sketch of proof of Theorem 2.4. For the first claim one must show that ω1 (Ind L) vanishes. For this it is enough to check that for any closed path with γ(0) = q = γ(1), ω1 (Ind L); γ∗ [S 1 ] = ω1 (Ind L ◦ γ); [S 1 ] = 0. By Proposition 2.7 of [9], ω1 (Ind L ◦ γ), [S 1 ] = σ(L ◦ γ). Consider the homotopy h(t, x) = f (γ(t), x) and choose a regular base point b ∈ O for fq (there must be at least one since m = 0). The parity of the path t → Dht (b) equals

244

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σ(L ◦ γ). On the other hand, since there are no zeroes of h on I × ∂O we can apply the homotopy property (2.2) of the base point degree from which we obtain that σ(L ◦ γ) = 0 being m = 0. This proves the first claim. The proof of the second claim is roughly speaking as follows: using a modified version of the Caccioppoli reduction one shows that the zero-set of the map f coincides with the zero-set of a map f¯ defined on a finite-dimensional fiber bundle M over P with values in Rs and such that f¯ has degree ±m on each fiber. By construction, the bundle E of tangents to the fibers of M at the points of the trivial branch represents the index bundle. Composing f¯ with the fiberwise exponential map produces a map g from the sphere bundle S(E) to S s−1 of degree ±m on each fiber. With this, the second assertion follows from the first and the mod-k Dold’s theorem of Adams [1]. Corollary 2.5. If J(Ind L) = 0 and for some q ∈ P, the multiplicity m = m(fq , 0) is defined and is prime to the order of J(P ), then Bif (f ) = ∅. Proof. Assume that there are no bifurcation points. By ii) of theorem 2.4 for some k, mk J(Ind L) = 0. Hence the order of J(Ind L), divides both mk and the order of J(P ).

3. The local bifurcation index In this section I will assume that the range of the family, Y is a Kuiper space, i.e., that GL(Y ) is contractible. Let U be an open subset of a compact connected manifold P and let f : U × X → Y be a family of C 1 -Fredholm maps parametrized by U such that f (p, 0) = 0 for any p ∈ U. The pair (f, U ) will be called admissible if the singular set Σ(L) of the family L of linearizations along the trivial branch is a compact, proper subset of U. Theorem 3.1. There exists a function assigning to each admissible pair (f, U ) an element σ(f, U ) ∈ J(P ), called bifurcation index, verifying the following properties: P1) Existence – If σ(f, U ) = 0 then the family f has a bifurcation point. P2) Normalization – If U = P then σ(f, U ) = J(Ind L). P3) Homotopy invariance – Let h : [0, 1] × U × X → Y be a C 1 −Fredholm map of index 1 such that the set {(t, p)/Dh(t,p) (0) is singular } is compact, then σ(h0 , U ) = σ(h1 , U ). P4) Additivity – Let U ⊂ Ui . Put fi = f |Ui and Σi = Σ(f ) ∩ Ui . If (fi , Ui ) are admissible and Σi ∩ Σj = ∅, then σ(f, U ) = i σ(fi , Ui ). The construction of the local bifurcation index follows the approach of the previous section. If Y is a Kuiper space, then GL(X, Y ), when nonempty, is an open contractible subset of a Banach space. By a theorem of Borsuk any continuous map with values in GL(X, Y ) defined on a closed subset of a metric space can be extended. I will use this fact in order to define for any family L : U → Φ0 (X, Y ) such that Σ(L) is a compact subset of U a localized form of the index bundle C ). Ind(L, U ) belonging to KO(P


245

For this, let V be any neighborhood of Σ(L) in U such that Σ(L) ⊂ V ⊂ V¯ ⊂ U . The restriction L|∂V of L to the boundary of V can be extended to a family ˜ of Fredholm operators L : P −V → GL(X, Y ). Patching L with L gives a family L ˜ It parametrized by P which coincides with L in a neighborhood of Σ(L) = Σ(L). ˜ is easy to see that Ind( L) is independent of the choice of V and the extension. The ˜ ∈ KO(P C ). index bundle of the family L on U is defined by Ind(L, U ) = Ind(L) Now if (f, U ) is admissible we define its bifurcation index σ(f, U ) ∈ J(P ) by σ(f, U ) = J (Ind(L, U )) .

(3.1)

The verification of P2 − P4 is quite standard. The existence property P1 follows from Theorem 2.1 applied to an appropriate extension of the map f to P × X. This is the only point where the assumption that Y is a Kuiper space is essential since Ind(L, U ) can be alternatively constructed via K-theory of locally compact spaces. Remark 3.2. It follows easily from the results in [8] that if P = S 1 , viewed as a one point compactification of the real line R and U = (a, b), then the local index of bifurcation points σ(f, U ) coincides with the parity of the path L.

4. Comparison with the Alexander-Ize invariant Now let us discuss the relation of the local bifurcation index with the Alexander-Ize invariant. I will consider here only the stable version defined in [2]. Let g : Rk × Rn → Rn be a C 1 -family of maps, parametrized by Rk , such that gp (0) = 0. Assume that p0 is an isolated point in the set Σ(L). The homotopy class of the restriction of L to the boundary of a small closed disk D centered at p0 defines an element in the homotopy group πk−1 (GL(n)). Stabilizing this element through the inclusion of GL(n) into GL(m), n ≤ m, one obtains the Alexander-Ize invariant γg belonging to the homotopy group πk−1 (GL(∞)). Let s (S 0 ) = limm→∞ πm+k−1 (S m ) be the (k − 1)-stable homotopy group of S 0 . In πk−1 [2] it is shown that the point p0 is a bifurcation point of f provided the image of γf s by the classical j-homomorphism j : πk−1 (GL(∞)) → πk−1 (S 0 ) does not vanish in s 0 πk−1 (S ). In the remaining part of this section I will take as parameter space the sphere S n , viewed as one point compactification of Rn . The definition of γg can be easily extended to parametrized families of C 1 -Fredholm maps. ¯ × X → Y be a C 2 -Fredholm family such that f (p, 0) = 0. For this, let f : D Here D = D(p0 , r) ⊂ Rn be an open disk centered at p0 . Put Lp = Dfp (0) and assume that Σ(L) = {p0 }. Being D contractible by Theorem 1.6.3 of [8], the family L has a parametrix. In other words, there exists a family of isomorphisms ¯ where K : D ¯ → K(Y ) ¯ → GL(Y, X) such that Ap Lp = Id+Kp for any p in D, A: D is a family of operators such that the image of Kp is contained in a fixed finitedimensional subspace V of Y. Let Tp be the restriction of Id + Kp to V. By the

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preceding discussion the family T defines an element γf in πn−1 (GL(∞)) which can be easily shown to be independent from the choice of the parametrix. ¯ ⊂ S n × X → Y, p0 and D are as above, then, upon Theorem 4.1. If f : D identification of the group J(S n ) with Im j, σ(f, D) = j(γf ).

(4.1)

From the above theorem and the computation of j(γf ) in terms of the nth Radon-Hurwitz number cn obtained in [3] it follows: Corollary 4.2. Let f : S n × X → Y be a C 1 family of Fredholm maps such that f (p, 0) = 0. Assume that there exist > 0, δ > 0 such that |Lp x| ≥ |p||x|, for |p| ≤ δ. If D = D(0, δ), then, for n ≡ 1, 2, 4, 8 mod 8, dim ker L0 is divisible by cn . Moreover if dim ker L0 = k cn with k an odd integer then σ(f, D) = 0 in J(S n ).

5. Bifurcation of homoclinic trajectories This section is devoted to the application of the previous results to bifurcation of homoclinic solutions of systems of time dependent ordinary differential equations from the stationary solution. Let g : Λ×R × Rn → Rn be a smooth family of time dependent vector fields on n R parametrized by a compact connected manifold Λ of dimension m. I will assume that g(λ, t, 0) = 0, (thus u(t) ≡ 0 is a stationary solution of u (t)−g(λ, t, u(t)) = 0) and I will look for conditions on the linearization of gλ at u ≡ 0 which entails the appearance of nonvanishing (but close to zero) solutions to the problem: u (t) − g(λ, t, u(t)) = 0, (5.1) limt→∞ u(t) = limt→−∞ u(t) = 0. Nontrivial solutions of (5.1) are precisely the trajectories homoclinic to 0. The linearization of (5.1) at 0 is u (t) − A(λ, t)u(t) = 0, (5.2) limt→∞ u(t) = 0 = limt→−∞ u(t) where A(λ, t) = Du g(λ, t, 0). I will assume that g and Du g are bounded and that the following asymptotic condition holds true: (A1) As t → ±∞ the family A(λ, t) converges, to a family of matrices A(λ, ±∞), such that A(λ, ±∞) has no eigenvalues on the imaginary axis. As a consequence of (A1), the map λ → A(λ, ±∞) is continuous and by perturbation theory [17] the projectors onto the real part of the spectral subspaces of A(λ, ±∞) corresponding to the eigenvalues with negative (respectively positive) real part are continuous as well. It follows from this that the generalized eigenspaces E s (λ, ±∞) and E u (λ, ±∞) corresponding to the part of the spectrum


247

of A(λ, ±∞) on the left and right half-plane respectively, are fibers of a pair of vector bundles E s (±∞) and E u (, ±∞) over Λ which decompose the trivial bundle Θ(Rn ) with fiber Rn into a direct sum: E s (±∞) ⊕ E u (±∞) = Θ(Rn ).

(5.3)

The bundles E , E are called stable and unstable bundle at ±∞. They can be alternatively described by s

u

E s (λ, ±∞) = {v ∈ Rn | lim etA(λ,±∞) v → 0},

(5.4)

E u (λ, ±∞) = {v ∈ Rn | lim etA(λ,±∞) v → 0}.

(5.5)

t→∞

t→−∞

My final assumption is (A2) For some λ0 ∈ Λ both (5.2) and the adjoint problem u (t) + A∗ (λ0 , t)u(t) = 0, limt→∞ u(t) = 0 = limt→−∞ u(t)

(5.6)

admit only the trivial solution u ≡ 0. Let ω(E) = ω1 (E) + · · · + ωn (E) be the total Stiefel-Whitney class of E. Theorem 5.1. If the system (5.1) verifies (A1), (A2) and if ω(E s (+∞)) = ω(E s (−∞)),

(5.7)

then, at some λ∗ ∈ Λ, bifurcation of homoclinic trajectories from the stationary solution occurs. More precisely there is a sequence (λn , un ) where un = 0 is solution of (5.1) with λn → λ∗ and un → 0 in the space C01 (R; Rn ) of all C 1 functions vanishing at infinity together with its derivative. Moreover if k = min{i|ωi (E s (+∞)) = ωi (E s (−∞))} then the set of all bifurcation points has dimension not less than m − k. Proof. The space H 1 (R; Rn ) of all absolutely continuous functions u ∈ L2 (R; Rn ) with square integrable derivative is a natural function space for our problem since any function u ∈ H 1 (R; Rn ) has the property that limt→±∞ u(t) = 0. Let X = H 1 (R; Rn ), Y = L2 (R; Rn ) and let us consider the family of maps f : P × X → Y defined by (5.8) [f (λ, u)](t) = u (t) − g(λ, t, u(t)). Because of the continuous embedding of H 1 (R; Rn ) into C(R; Rn ) it follows that upon assumption (A1) the map f is C 1 and such that f (λ, 0) = 0. Moreover the Fréchet derivative Du f (λ, 0) is the operator Lλ : X → Y defined by [Lλ u](t) = u (t) − A(λ, t)u(t).

(5.9)

The next proposition shows that f is a C 1 -Fredholm map of index 0 and computes the index bundle of the family L defined by (5.9) in terms of the asymptotic bundles.

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Proposition 5.2. The family L defined by (5.9) verifies i) Lλ ∈ Φ0 (X, Y ) for all λ ∈ Λ C ii) Ind L = [E s (+∞)] − [E s (−∞)] ∈ KO(Λ) Proof. Let us split R into R = R+ ∪R− with R± = [0, ±∞) and denote with X ± , Y ± the spaces H 1 ( R± ; Rn ) and L2 (R± ; Rn ) respectively. Consider the op± erators L± → Y ± defined as in (5.9) by the restrictions of Aλ to R± . I λ : X ± will show that Lλ are Fredholm and compute their index bundles. Notice that, if Mλ± : X ± → Y ± are defined by [Mλ± u](t) = u (t) − A(λ, ±∞)u(t),

(5.10)

then Kλ± = Mλ± − L± λ is a compact operator for each λ ∈ Λ. Indeed, if φm is a smooth function in R+ such that φm ≡ 1 on [0, m − 1] and φm ≡ 0 on [m, +∞), then Kλ+ is limit of [Kλm u](t) = φm (t)[A(λ, +∞) − A(λ, t)](u(t).

(5.11)

Moreover the operator Kλm is compact because it can be factorized through the inclusion H 1 ([0, m]; Rn ) ⊂ L2 (R+ ; Rn ) which is compact. On the other hand it is well known that Mλ is surjective with ker Mλ = E s (λ, +∞). Indeed the second assertion is clear while for the first it is enough to observe that a right inverse for Mλ is is given by t ∞ (s−t)Aλ (s) Pλ e v(s)ds + (id − Pλ )e(t−s)Aλ (s) v(s)ds Sλ (v)(t) = 0

t

where Pλ is the projector onto E s (λ, +∞). Thus Mλ+ and hence also L+ λ are Fredholm operators whose numerical index equals dim E s (λ, +∞). Moreover by homotopy invariance of the index bundle Ind L+ = Ind M + = [E s (+∞)]. L− λ

(5.12)

Similarly we have that is Fredholm of index dim E (λ, −∞) by (A3) and Ind L− = [E u (−∞)]. In order to compute the index of L let us observe that the restriction map I : Y → Y − ⊕ Y + defined by Iv = (v| R− , v| R+ ) is an isomorphism, while the analogous map J : H → X − ⊕ X + is injective with u

Im J = {(u− , u+ )/u− (0) = u+ (0)}. Thus Im J = ker ψ where ψ(u− , u+ ) = u− (0) − u+ (0) and hence J is a Fredholm operator of index −n. Moreover there is a commutative diagram −

X ⊕X ⏐ J⏐ X

+

+ L− λ ⊕ Lλ −→

−→ Lλ

Y − ⊕Y + ⏐ I⏐ Y

(5.13)


249

It follows from (5.13) that Lλ is Fredholm. Moreover, by assumption (A2), the index of Lλ must be zero. This proves i). Now ii) follows from (5.13) by the logarithmic property of the index bundle. Indeed, considering I and J as constant families, Ind I = 0, Ind J = −Θ(Rn ). Hence, by (5.3), Ind L = [E u (−∞)] + [E s (+∞)] − [Θ(Rn )] = [E s (+∞)] − [E s (−∞)], as claimed.

Theorem 5.1 follows from Theorem 2.2 and the above proposition. Indeed, since L takes values in Φ0 (X; Y ) it follows that, for δ small enough, the restriction of f to Λ × B(0, δ) is a family of C 1 -Fredholm maps such that f (λ, 0) = 0. By hypothesis, the total Stiefel-Whitney class ω(Ind L) = 0 and hence by Theorem 2.2 the set of bifurcation points of H 1 -solutions of (5.1) must be of dimension at least m ≥ 0. Being H 1 (R; Rn ) ⊂ C(R; Rn ) the regularity and convergence in C01 (R; Rn ) are easily obtained by bootstrap.

References [1] J.F. Adams, On the groups J(X) – I. Topology 2 (1963), 181–195. [2] J.C. Alexander, Bifurcation of zeroes of parametrized functions. J. of Funct. Anal, 29 (1978), 37–53. [3] J.C. Alexander, James Yorke, Calculating bifurcation invariants as elements in the homotopy of the general linear group. J. of Pure and Appl. Algebra, 13 (1978), 1–9. [4] M.F. Atiyah, K-Theory. Benjamin, 1967. [5] M.F. Atiyah, Thom complexes. Proc. Lond. Math. Soc. 11 (1961), 291–310. [6] T. Bartsch, The global structure of the zero set of a family of semilinear Fredholm maps. Nonlinear Analysis 17 (1991), 313–331. [7] T. Bartsch, A global index for bifurcation of fixed points. J. reine angew. Math. 391 (1988), 181–197. [8] P.M. Fitzpatrick, J. Pejsachowicz, Fundamental group of the space of Fredholm operators and global analysis of non linear equations. Contemporary Math. 72 (1988), 47–87. [9] P.M. Fitzpatrick, J. Pejsachowicz, Nonorientability of the index bundle and severalparameter bifurcation. J. of Functional Anal. 98 (1991), 42–58. [10] P.M. Fitzpatrick, I. Massab` o, J. Pejsachowicz, Global several parameter bifurcation and continuation theorems. Math. Ann. 263 (1983), 61–73. [11] P.M. Fitzpatrick, J. Pejsachowicz, P.J. Rabier, The degree for proper C 2 -Fredholm mappings I . J. reine angew. Math. 424 (1992), 1–33. [12] N. Hitchin,Harmonic spinors, Adv. in Math. 14 (1974), 1–55. [13] J. Ize, Bifurcation theory for Fredholm operators. Mem. Am. Math.Soc. 174 (1976). [14] J. Ize, Necessary and sufficient conditions for multiparameter bifurcation. Rocky Mountain J. of Math 18 (1988), 305–337. [15] J. Ize, Topological bifurcation. Topological Nonlinear Analysis, Birkh¨ auser, Progress in nonlinear differential equations, 15 (1995), 341–463.

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[16] K. J¨ anich, Vektorraumb¨ undel und der Raum der Fredholm-Operatoren. Mathematische Annalen, 161 (1965),129–142. [17] T. Kato, Perturbation Theory for Linear Operators. Springer-Verlag, 1976. [18] H. Kielh¨ ofer, Multiple eigenvalue bifurcation for Fredholm mappings. J. reine angew. Math. 358 (1985), 104–124. [19] J. Pejsachowicz, K-theoretic methods in bifurcation theory. Contemporary Math., 72 (1988), 193–205. [20] J. Pejsachowicz , The Leray-Schauder Reduction and Bifurcation for Parametrized Families of Nonlinear Elliptic Boundary Value Problems. TMNA 18 (2001), 243–268. [21] J. Pejsachowicz, The index bundle and bifurcation theory of Fredholm maps. In preparation. [22] J. Pejsachowicz, P.J. Rabier , Degree theory for C 1 -Fredholm mappings of index 0. Journal d’Analyse Mathématique 76 (1998), 289–319. [23] C. Vafa, E. Witten, Eigenvalue inequalities for fermions in gauge theories. Comm. Math. Phys. 95 (1984), 257–276. [24] V.G. Zvyagin, On oriented degree of a certain class of perturbations of Fredholm mappings and on bifurcations of solutions of a nonlinear boundary value problem with noncompact perturbations. Mat. USSR Sbornik 74 (1993), 487–512. Jacobo Pejsachowicz Dipartimento di Matematica Politecnico di Torino Torino, To, Italy e-mail: [email protected]


Modified Hochschild and Periodic Cyclic Homology Nicolae Teleman Abstract. The Hochschild and (periodic) cyclic homology of Banach algebras are either trivial or not interesting, see Connes [2], [4], [6]. To correct this deficiency, Connes [3] had produced the entire cyclic cohomology (see also [4], [6], [5]). The entire cyclic cochains are elements of the infinite product (b, B) cohomology bi-complex which satisfy a certain bidegree asymptotic growth condition. The entire cyclic cohomology is a natural target for the asymptotic Chern character of θ-summable Fredholm modules. More recently, Puschnigg [15] introduced the local cyclic cohomology based on precompact subsets of the algebra in an inductive limits system setting. The main purpose of this paper is to create an analogue of the Hochschild and periodic cyclic homology which gives the right result (i.e., the ordinary Z2 -graded Alexander-Spanier co-homology of the manifold) when applied, at least, onto the algebra of continuous functions on topological manifolds and CW -complexes. This is realized by replacing the Connes periodic bi-complex (b, B), see Connes [2], [4] and Loday [12], by the bi-complex (˜b, d), where the operator ˜b is obtained by blending the Hochschild boundary b with the Alexander-Spanier boundary d; the operator ˜b anti-commutes with the operator d. The homologies of these complexes will be called modified Hochschild, resp. modified periodic cyclic homology. Our construction uses in addition to the algebraic structure solely the locality relationship extracted from the topological structure of the algebra. The modified periodic cyclic homology is invariant under continuous homotopies, while the others are invariant at smooth homotopies (diffeotopies) only. The modified Hochschild and periodic cyclic homology are directly connected to the Alexander-Spanier cohomology. Mathematics Subject Classification (2000). 13D03, 16E40. Keywords. Hochschild homology, cyclic homology, Alexander-Spanier co-homology.

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1. Introduction The Hochschild complex has the critical limitation that in the case of the C ∗ algebra of continuous functions on a compact topological space, its Hochschild homology vanishes in positive degrees. The purpose of the present paper is to correct this deficiency. The main idea of our procedure consists of replacing the Hochschild boundary operators b by operators of the form ˜b = bU b. Such operators will be called modified Hochschild operators and the corresponding homology will be called modified Hochschild homology. The pair (˜b, d) is an example of S 1 chain complex, see Burghelea [1], later renamed mixed complex by Kassel [10]. The effect of our construction is that in the modified Hochschild complex there are more ˜b-cycles and less ˜b-boundaries than those in the Hochschild complex and therefore the modified Hochschild homology is larger than the Hochschild homology. In addition, whilst the Hochschild boundary does not behave well with respect to the Alexander-Spanier boundary operator, the new operator ˜b anti-commutes with it. This crucial commutativity relation should facilitate the investigation of connections between non-commutative differential geometry and the classical differential geometry. As a next step in this direction, we replace the (b, B) Connes bi-complex by the modified periodic cyclic bi-complex (˜b, d); its total homology will be called modified periodic cyclic homology. The boundary operator ˜b will be realized by blending the Hochschild boundary b with the Alexander-Spanier boundary. In order to reach this objective we will have to restrict the Alexander-Spanier complex to germs of functions. In the sequel we will be careful to perform only operations which are compatible with the locality phenomena, to encompass at least the case of scalar functions, sections in vector bundles and quasi-local operators. We stress on the observation that the Hochschild homology is local in nature, see Connes [2] for compact manifolds and Teleman [17] for paracompact manifolds. The construction of the operator ˜b is based on the Karoubi operator [9] σ defined by the formula db + bd = 1 − σ, (1.1) discussed in Sections 4–5. Although the next considerations are general, to the end, in order to get interesting results, we will have to involve locality. As long as we perform algebraic operations only with the Alexander-Spanier and Hochschild operators, this objective is not obstructed. In this paper we show that the modified periodic cyclic homology of the algebra of continuous functions on a smooth manifold is isomorphic to the Z2 graded Alexander-Spanier cohomology of the manifold. As a collateral result we obtain that the modified periodic Hochschild homology of the algebra of continuous functions is not trivial. One of the main ideas of the non-commutative geometry consists of the delocalization of the classical differential geometry objects. The delocalized objects,

Modified Hochschild and Periodic Cyclic Homology

253

realized in the non-commutative geometry as operators, allow one to bypass one of the barriers of the classical analysis presented by the problem of multiplying distributions. It is known, however, that the Hochschild homology of commutative algebras is based on derivations, which involve, in change, too much locality. This is the reason why the Hochschild homology of the algebra of continuous functions is trivial. We expect that the modified Hochschild complex should provide the correct definition of non-commutative differential forms for algebras of functions which possess few or no non-trivial derivations. The homotopy invariance of the Alexander-Spanier homology implies that the modified periodic cyclic homology is a continuous homotopy invariant. We stress that all our considerations do not make any kind of commutativity assumption on the associative algebra or the ground ring of the algebra. Although some of the technicalities presented in this paper are closely related to different constructions/presentations of the non-commutative de Rham homology appearing in the literature, the author chose to make this paper selfcontained, stressing that the main objective of the present paper is to provide a non-commutative topologically natural homological environment which enables one to extract the right homology at least from the algebra of continuous functions. In a subsequent note we intend to show that the modified periodic cyclic homology allows one to extract the Chern character from continuous direct connections (for direct connections see Teleman [18], [19], Kubarski-Teleman [11]) in continuous vector bundles. For applications of linear direct connections, used as a tool, see Connes-Moscovici [6] and Mishchenko-Teleman [14]. The author thanks J.-M. Lescure for some corrections. The author thanks the referee for useful remarks which led to the improvement of this paper. Acknowledgement. The present research was funded by the Italian Ministry for University and Research grant Nr. 2005010942/2005.

2. Alexander-Spanier complex Let A be an arbitrary associative algebra with unit 1 over an arbitrary ring K. Any commutativity assumption is made neither on the algebra A nor on the ground ring K. We assume of course that A is a K-bimodule. In what follows we require only that the unit 1 commutes with all elements of the ring K and we assume that the tensor products are circular over K, i.e., f0 ⊗K f1 ⊗K · · · ⊗K fk .α = α.f0 ⊗K f1 ⊗K · · · ⊗K fk

(2.2)

for any α ∈ K. If K is a field, any tensor product over K is automatically circular. For any non negative integer r define Ck (A) := ⊗k+1 K A; its elements are called non commutative chains of degree k over A.

(2.3)

254

N. Teleman In the sequel the tensor product ⊗ is understood to mean ⊗K . The formula α(a0 ⊗ a1 ⊗ · · · ⊗ ak )β := (αa0 ) ⊗ a1 ⊗ · · · ⊗ (ak β)

(2.4)

defines an A bi-module structure on Ck (A). We define the Alexander-Spanier co-boundary face map di : Ck (A) → Ck+1 (A) by the formulas di (a0 ⊗ a1 ⊗ · · · ⊗ ak ) := a0 ⊗ · · · ⊗ 1 ⊗ ai ⊗ · · · ⊗ ak ,

for

0 ≤ i ≤ k,

(2.5)

and dk+1 (a0 ⊗ a1 ⊗ · · · ⊗ ak ) := a0 ⊗ a1 ⊗ · · · ⊗ ak ⊗ 1,

for

i = k + 1.

(2.6)

The Alexander-Spanier boundary is defined by d :=

i=k+1

(−1)i di ;

(2.7)

i=0

it agrees with the classical Alexander-Spanier co-boundary operator, see, e.g., Spanier [16]. It satisfies d2 = 0. In particular, for any a ∈ A one has da = 1 ⊗ a − a ⊗ 1

and d1 = 0.

(2.8)

If α ∈ K and a ∈ A, and as α.1 = 1.α then d(α.a) = 1 ⊗ (α.a) − (α.a) ⊗ 1 = 1.α ⊗ a − (αa) ⊗ 1 = α.da

(2.9)

The product (2.10) × : Cr (A) ⊗ Cs (A) → Cr+s (A) of chains over A is defined precisely as in the case of the classical Alexander-Spanier co-chains (a0 ⊗a1 ⊗· · ·⊗ar )×(b0 ⊗b1 ⊗· · ·⊗bs ) := a0 ⊗a1 ⊗· · ·⊗(ar b0 )⊗b1 ⊗· · ·⊗bs . (2.11) ∞ The complex C∗ (A) := { r=0 Cr (A), d} is a graded differential complex: for any ω ∈ Cr (A) and σ ∈ Cs (A) one has d(ω × σ) = (dω) × σ + (−1)r ω × (dσ).

(2.12)

If ρ : A → K is a K-homomorphism and ρ(1A ) = 1K , then h : Cr (A) → Cr−1 (A), defined by the formula h(a0 ⊗ a1 ⊗ · · · ⊗ ar ) = ρ(a0 )a1 ⊗ · · · ⊗ ar

(2.13)

satisfies the identity dh + hd = 1 (2.14) and hence the complex {C∗ (A), d} is acyclic. In the case of the classical AlexanderSpanier complex the homomorphism ρ is given by the valuation of functions at one point. If the algebra A has a locally convex topology, it is natural and customary (see Connes [2]) to replace the algebraic tensor product Ci (A) by a topological


255

tensor product completion Cî (A). The elements of Cˆr (A) are called continuous Alexander-Spanier co-chains. In the particular case of the algebra A = C ∞ (M ), endowed with the Fréchet topology, where M is a smooth manifold, for the projective tensor product completion, the continuous Alexander-Spanier co-chains consist of all smooth functions on various powers of M . The homology of this complex is acyclic, as explained above. If, however, the complex of continuous Alexander-Spanier chains is replaced by the complex of germs of such functions about the diagonals, the classical AlexanderSpanier theorem, see Spanier [16], states that its homology is canonically isomorphic to the de Rham cohomology. It is very important to recall that the Alexander-Spanier theorem holds if smooth functions are replaced by arbitrary functions, or by special classes of functions (like measurable, Lipschitz, etc.); such generalizations hold if M is merely a CW-complex. The main objective of this paper is to create an analogue of the Hochschild and periodic cyclic homology which does not give trivial results on algebras of functions as the algebra of continuous functions. This will be realized by blending the Hochschild boundary b with the Alexander-Spanier boundary d. Although the following considerations are general, in order to get interesting results, we will have to involve locality.

3. Recall of Hochschild and periodic cyclic homology In this section we recall some basic notions and results due to A. Connes [2], [4] which lay to the foundations of non-commutative geometry. We keep the hypotheses and notations from the previous section. Let br : Ck (A) → Ck−1 (A), be the Hochschild boundary face operator defined on generators by br (f0 ⊗ f1 ⊗ · · · ⊗ fk−1 ⊗ fk ) = f0 ⊗ f1 ⊗ · · · ⊗ (fr .fr+1 ) ⊗ · · · ⊗ fk , f or

0≤r ≤k−1

(3.15)

and bk (f0 ⊗ f1 ⊗ · · · ⊗ fk−1 ⊗ fk ) = (fk f0 ) ⊗ f1 ⊗ · · · ⊗ fk−1 ,

for

r = k.

(3.16)

Two boundary operators, b and b : Ck (A) → Ck−1 (A) are introduced by the formulas r=k−1 (−1)r br (3.17) b = r=0

and

b = b + (−1)k bk . 2

2

(3.18)

It is true that (b ) = b = 0. The complex {C∗ (A), b } is the bar complex; if the algebra A is unitary, as assumed, the bar complex is acyclic; it provides the so called bar resolution of

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the algebra A, see [13]. The acyclicity of the bar resolution is provided by the homotopy χ(f0 ⊗ f1 ⊗ · · · ⊗ fk−1 ⊗ fk ) = 1 ⊗ (f0 ⊗ f1 ⊗ · · · ⊗ fk−1 ⊗ fk ).

(3.19)

The complex {C∗ (A), b} is the Hochschild complex of the algebra A with coefficients in the bi-module A; its homology, denoted HH∗ (A), is the Hochschild homology of the algebra A with coefficients in itself. If A is a topological real or complex algebra, the homology of the complex {Cˆ∗ (A), b} is the continuous Hochschild homology of the algebra A, see A. Connes [2], [4]. The following theorem, proven by A. Connes [2] on compact manifolds was extended by N. Teleman [17] to paracompact manifolds. Theorem 3.1. For any smooth paracompact manifold HHk (C ∞ (M )) ≈ Ωk (M ),

(3.20)

where Ωk (M ) denotes the space of k forms.

4. The operator σ Definition 4.1. The operator σ given by the formula db + bd := 1 − σ.

(4.21)

is due to Karoubi [9]; see also [8] and [7]. A general remark shows that σ commutes both with d and b, that is σ is a chain homomorphism both in the Alexander-Spanier and in the Hochschild complex. Consequently, the range of the operator σ, and its (fixed) powers, are subcomplexes both in the Alexander-Spanier and Hochschild complexes. Additionally, as σ is homotopic to the identity, the inclusions of these subcomplexes into the Alexander-Spanier, resp. Hochschild, complexes induce isomorphisms between their respective homologies. Lemma 4.2. (i) b anticommutes with d b d + db = 0

(4.22)

(ii) σ verifies the formula σ(f0 ⊗ f1 ⊗ · · · ⊗ fk ) = (−1)k+1 ((dfk )f0 ) ⊗ f1 ⊗ · · · ⊗ fk−1

(4.23)

(iii) the k th power of σ has the explicit expression σ k (f0 ⊗ f1 ⊗ · · · ⊗ fk ) = df1 .df2 · · · dfk .f0 .

(4.24)


257

Proof of Lemma 4.2. (i) The Alexander-Spanier and Hochschild boundary face operators satisfy the following relations on Ck (A) di bj = bj+1 di

0≤i≤j ≤k−1

mboxf or

di bj = bj di+1

for 0 ≤ j < i ≤ k

di bi = bi−1 di = Id f or

0≤i≤k

b0 d0 = bk dk+1 = Id

(4.25) (4.26) (4.27) (4.28)

By virtue of the relations (4.25), (4.26) one has (−1)i+j di bj + (−1)i+j di bj db = 0≤i≤j≤k−1

=

0≤j 0 and p, q ∈ Proj(M ) with (p⊥ ⊗ q ⊥o )η = 0 and τ (p) + τ (q) ≤ [η] + ε. Specifying to ξ = a ⊗ bo , we get: λξ (η) = (a ⊗ bo )η = (a ⊗ bo )(1 ⊗ 1 − p⊥ ⊗ q ⊥o )η = (ap ⊗ bo )η + (ap⊥ ⊗ (qb)o )η. We compute: (r(ap)⊥ ⊗ 1)(ap ⊗ bo )η = 0 and hence [(ap ⊗ bo )η] ≤ τ (r(ap)) = τ (s(ap)) ≤ τ (p). Similarly, [(ap⊥ ⊗ (qb)o )η] ≤ τ (q) and hence [(a ⊗ bo )η] ≤ τ (p) + τ (q) ≤ [η] + ε. Again, since ε > 0 was arbitrary, we conclude [λa⊗bo (η)] ≤ [η]. If ξ = a1 ⊗ b1 + · · · + an ⊗ bn , we get from Lemma 2.1, that [λξ (η)] ≤ n · [η],

∀η ∈ L.

We conclude that λξ is Lipschitz for all ξ ∈ M ⊗ M o . Hence, there is an extension λξ : CS(L) → CS(L) which preserves ZS(L). Hence, there exists a bilinear map m : (M ⊗ M o ) × c(L) → c(L) which defines a module structure that is compatible with the module structure on L. It is clear that [m (ξ, η)] ≤ [ξ]. Indeed, (p⊥ ⊗ q ⊥o )ξ = 0 implies (p⊥ ⊗ ⊥o q )m(ξ, η) = 0. Hence m has a natural extension ˆ M o ) × c(L) → c(L). m : (M ⊗ Obviously, if L = M ⊗ M o , then m defines a multiplication that extends the ˆ M o is a multiplication on M ⊗ M o , i.e., the natural inclusion M ⊗ M o → M ⊗ ring-homomorphism. This shows (1) and (2). Assertion (3) is obvious. 2.2. Completion is exact Lemma 2.6. The functor of completion is exact. Proof. Let π

0→J →L→K→0 be an exact sequence of M -bi-modules. We have to show that the induced sequence 0 → c(J) → c(L) → c(K) → 0 is exact. First, we consider the exactness at c(K). Let (ξn )n∈N be a Cauchy sequence in K. Without loss of generality, we can assume that [ξn −ξn+1 ] ≤ 2−n . Lemma 2.3 implies that we can lift (ξn )n∈N to a sequence (ξn )n∈N ⊂ L with [ξn −ξn+1 ] ≤ 21−n , hence a Cauchy sequence. This shows surjectivity of c(π). We consider now the exactness at c(L). Obviously, im(c(J)) ⊂ ker (c(π)). Let (ξn )n∈N be a Cauchy sequence in L which maps to zero in c(K). This says that (π(ξn ))n∈N tends to zero. Again, by Lemma 2.3, we can lift (π(ξn ))n∈N to a zerosequence (ξn )n∈N ⊂ L. Now, (ξn − ξn )n∈N defines a Cauchy sequence in J, that is equivalent to the sequence (ξn )n∈N in the completion of L. Hence ker (c(π)) ⊂ im(c(J)) and the argument is finished.

272

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The exactness at c(J) is obvious since J ⊂ L is a contraction in the rank metric by Lemma 2.3. This finishes the proof. Theorem 2.7. Let M be a finite tracial von Neumann algebra. Consider the category BimodM of M -bi-modules and the full sub-category BimodM c of complete modules. 1. The completion functor c : BimodM → BimodM c is left-adjoint to the forgetful M to Bimod , i.e., whenever K is complete: functor from BimodM c homBimodM (c(L), K) = homBimodM (L, K). 2. The category BimodM c is abelian and has enough projective objects. 3. The completion functor c : BimodM → BimodM c preserves projective objects. 4. The kernel of the comparison map L → c(L) is {ξ ∈ L : [ξ] = 0}. Proof. (1) First of all, note that there is no need to distinguish morphisms beM tween complete modules in BimodM from morphisms in BimodM c , since Bimodc M is defined to be a full sub-category of Bimod . If K is complete, the natural map K → c(K) is an isomorphism, so that applying the functor c defines a natural map homBimodM (L, K) → homBimodM (c(L), K). A map in the inverse direction is provided by pre-composition with the map L → c(L). Assertion (1) follows easily by Lemma 2.3 since im(L) is dense in c(L) and {ξ ∈ K, [ξ] = 0} = {0}. (2) It follows from Lemma 2.6, that BimodM c is abelian. Indeed, by exactness, kernels and co-kernels can be formed in BimodM and hence all properties of those o o remain to be true in BimodM c . Let L = ⊕α M ⊗ M be a free M ⊗ M -module. By π M (1), c(L) is a projective object in Bimodc . If K is complete and ⊕α M ⊗M o → K is, using Lemma 2.6, c(π) is also a surjection onto K. I.e., there are enough projective objects. (3) follows from (1). (4) is obvious. 2.3. Completion is dimension-preserving It is major importance to understand the behaviour of the functor M ⊗M o

⊗ ?,

M⊗M 0

from the category BimodM to M ⊗ M o -modules. Here, M ⊗ M o denote the spatial tensor product of von Neumann algebras. We equip M ⊗ M o with the trace τ ⊗ τ . The next Lemma relates rank completion in BimodM to dimension isomorphisms in the category of M ⊗ M o -modules. It will be useful to prove the main result of this section, which is Theorem 2.9. Lemma 2.8. Let L be an M bi-module. The natural map M ⊗ M o ⊗M⊗M o L → M ⊗ M o ⊗M⊗M o c(L) is a dimension isomorphism. Proof. By Lemma 2.6, it suffices to show that ker (M ⊗ M o ⊗M⊗M o L → M ⊗ M o ⊗M⊗M o c(L))

L2 -invariants and Rank Metric

273

is zero-dimensional for all bi-modules L. Indeed coker (L → c(L)) has vanishing completion, and knowing the assertion for coker (L → c(L)) in place of L implies that coker (M ⊗ M o ⊗M⊗M o L → M ⊗ M o ⊗M⊗M o c(L)) has dimension zero. We want to apply the local criterion of Theorem 1.2. Let θ = ni=1 ηi ⊗ ξi ∈ M ⊗ M o ⊗M⊗M o L be in the kernel. This is to say that there exists some l ∈ N, ζi ∈ M ⊗ M o and zero-sequences (αi,k )k∈N , for 1 ≤ i ≤ l, such that n

ηi ⊗ ξi =

i=1

l

ζi ⊗ αi,k ,

∀k ∈ N.

i=1

Indeed, the map factorizes through the split-injection M ⊗ M o ⊗M⊗M o L → M ⊗ M o ⊗M⊗M o CS(L) and hence im(M ⊗ M o ⊗M⊗M o ZS(L)) ⊂ M ⊗ M o ⊗M⊗M o CS(L) contains the image of ker (M ⊗ M o ⊗M⊗M o L → M ⊗ M o ⊗M⊗M o c(L)) . Since αi,k → 0, for all 1 ≤ i ≤ l, for every ε > 0 there exists k big enough and ⊥o projections pi , qi ∈ Proj(M ), such that (p⊥ i ⊗ qi )αi,k = 0 and τ (pi ) + τ (qi ) ≤ ε/l. o ⊥o Let fi be projections in M ⊗ M , such that fi ζi (1 ⊗ 1 − p⊥ i ⊗ qi ) = ζi (1 ⊗ ⊥ ⊥o 1 − pi ⊗ qi ). One can choose fi to satisfy τ (fi ) ≤ τ (pi ) + τ (qi ) ≤ ε/l, for all 1 ≤ i ≤ l. We compute as follows: 2 l 3 2 l 3 l 3 l 2 l ⊥ ⊥ ⊥ ⊥o fi θ = fi ζi ⊗ αi,k = fi ζi ⊗ (1 ⊗ 1 − p⊥ i ⊗ qi )αi,k i=1

2 = 2 =

i=1 l

3 fi⊥

i=1 l i=1

3 fi⊥

i=1 l

i=1

i=1

⊥o ζi (1 ⊗ 1 − p⊥ i ⊗ qi ) ⊗ αi,k

i=1 l

⊥o fi ζi (1 ⊗ 1 − p⊥ i ⊗ qi ) ⊗ αi,k

i=1

= 0. Thus τ (∨li=1 fi ) ≤ ε and (∨li=1 fi )θ = θ. Hence ker (M ⊗ M o ⊗M⊗M o L → M ⊗ M o ⊗M⊗M o c(L))

is zero-dimensional by Theorem 1.2.

Theorem 2.9. Let φ : L → L be a morphism of M -bi-modules. If c(φ) is an isomorphism, then o

φ∗

o

(M ⊗ M o , L) → Tor M⊗M (M ⊗ M o , L ) Tor M⊗M i i is a dimension isomorphism.

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A. Thom

Proof. The exactness of c : BimodM → BimodM c implies the following natural identification among left-derived functors: Li (M ⊗ M o ⊗M⊗M o ?) ◦ c = Li (M ⊗ M o ⊗M⊗M o c(?)). Indeed, this follows from the fact that c : BimodM → BimodM c maps free mod. This implies the existence of ules in BimodM to projective objects in BimodM c a Grothendieck spectral sequence (see [Wei94, pp. 150]) that yields the desired result. Lemma 2.8 together with Lemma 1.1 implies the existence of a natural map o

(M ⊗ M o , ?) → Li (M ⊗ M o ⊗M⊗M o c(?)) Tor M⊗M i which is a dimension isomorphism. Combining the preceding two observations, we conclude that o

dimM⊗M o Tor M⊗M (M ⊗ M o , L) = 0, i

∀i ≥ 0,

whenever c(L) = 0. This implies the claim, since c(ker (φ)) = 0 and c(coker (φ)) = 0 by Lemma 2.6.

3. L2 -Betti numbers for tracial algebras 3.1. Preliminaries In [CS05], A. Connes and D. Shlyakhtenko introduced a notion of L2 -homology and L2 -Betti numbers for tracial algebras, compare also earlier work of W.L. Paschke in [Pas97]. The definition works well in a situation where the tracial algebra (A, τ ) is contained in a finite von Neumann algebra M , to which the trace τ extends. More precisely, using the dimension function of W. L¨ uck, see [L¨ uc02], they set: o

(2)

(M ⊗ M o , A) βk (A, τ ) = dimM⊗M o Tor A⊗A k Several results concerning these L2 -Betti numbers where obtained in [CS05] and [Tho06a, Tho06b]. In particular, it was shown in [CS05] that (2)

(2)

βk (CΓ, τ ) = βk (Γ), where the right side denotes the L2 -Betti number of a group in the sense of Atiyah, see [Ati76] and Cheeger-Gromov, see [CG86]. (2) It is conjectured in [CS05] that βk (M, τ ) is an interesting invariant for the von Neumann algebra. Several related quantities where studied in [CS05] as well. In particular, o

(M ⊗ M o , M ⊗A M ) Δk (A, τ ) = dimM⊗M o Tor M⊗M k was studied for k = 1.


275

3.2. Pedersen’s Theorem Lemma 3.1. Let (M, τ ) be a finite tracial von Neumann algebra and let A1 , A2 ⊂ M be ∗-sub-algebras of M . If A1 and A2 have the same closure with respect to the rank metric, then Δk (A1 , τ ) = Δk (A2 , τ ), ∀k ≥ 0. Proof. Without loss of generality, A1 ⊂ A2 . We show that π : M ⊗A1 M → M ⊗A2 M induces an isomorphism after completion with respect to the rank metric. The claim follows then from Theorem 2.9. By Lemma 2.6, it suffices to show that the kernel of π has vanishing completion. An element ξ in the kernel can be written as ξ=

n

ci ai ⊗ di − ci ⊗ ai di ,

i=1

for some ci , di ∈ M and ai ∈ A2 . Since A1 is dense in A2 there exists ai ∈ A1 with [ai − ai ] ≤ ε/n, for all 1 ≤ i ≤ n. The following equality holds in M ⊗A1 M : ξ=

n

ci ai ⊗ di − ci ⊗ ai di =

i=1

n

ci (ai − ai ) ⊗ di − ci ⊗ (ai − ai )di ,

i=1

Arguing as before, we see that there exists projections p, q of trace less than ε, such that p⊥ ξq ⊥ = 0. This implies that [ξ] ≤ ε. Since ε was arbitrary, we get that [ξ] = 0 for all ξ ∈ ker (π : M ⊗A1 M → M ⊗A2 M ) and thus c(ker (π)) = 0. The following result by G. Pedersen, see [Ped79, Thm. 2.7.3], is a deep result in the theory of operator algebras, which required a detailed analysis of the precise position of a weakly dense C ∗ -algebra inside a von Neumann algebra. It is a generalization of a more classical theorem of Lusin in the commutative case. Theorem 3.2 (Pedersen). Let (M, τ ) be a finite tracial von Neumann algebra and let A ⊂ M be a weakly dense sub-C ∗ -algebra. The algebra A is dense in M with respect to the rank metric. Corollary 3.3. Let (M, τ ) be a finite tracial von Neumann algebra and let A ⊂ M be a weakly dense sub-C ∗ -algebra. ∀k ≥ 0.

Δk (A, τ ) = Δk (M, τ ), (2)

(2)

Remark 3.4. In [Tho06b], it was shown that β1 (A, τ ) = β1 (M, τ ), whenever A is a weakly dense sub-C ∗ -algebra. In view of the factorization o

o

o

Tor A⊗A (M ⊗M o , A) Tor M⊗M (M ⊗M o , M ⊗A M ) → Tor M⊗M (M ⊗M o , M ), 1 1 1 the proof also shows that Δ1 (A, τ ) = Δ1 (M, τ ) holds. Hence we can view Corollary 3.3 as a generalization of this result from [Tho06b].

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4. Equivalence relations and Gaboriau’s Theorem 4.1. Equivalence relations and completion Most of the proofs in the section are parallel to proofs in Section 2 and 3 and hence we will give less detail and point to the relevant parts of Section 2 and 3. Let X be a standard Borel space and let μ be a probability measure on X. Given a discrete measurable equivalence relation (see [FM77a, FM77b] for the necessary definitions) R ⊂ X × X, we can form a relation ring R(X) as follows: B n ∞ fi φi : fi ∈ L (X), φi local isomorphism from R ⊂ L∞ (R). R(X) = i=1

Here, L∞ (R) denotes the generated von Neumann algebra, see [FM77a]. Note that R(X) is a L∞ (X)-bi-module with respect to the diagonal left action. (All L∞ (X)modules are bi-modules in this way.) The following observation is the key to our results. Proposition 4.1. Let Γ be a discrete group and let ρ : Γ × X → X be a measure preserving free action of Γ on X. We denote by Rρ the induced measurable equivalence relation on X. The natural inclusion ι : L∞ (X) alg Γ → Rρ (X) induces an isomorphisms after completion. Proof. According to the foundational work in [FM77a, FM77b], each local isomorphism φ which is implemented by the equivalence relation Rρ can be decomposed as a infinite sum of local isomorphism φi , each of which is a cut-down of an isomorphism which is implemented by the action of a group element. The sizes of the supports of the cut-down local isomorphisms φi in this decomposition sum to the size of the support of φ. It clearly implies, that φ can be approached by elements of L∞ (X) Γ in rank metric. This finishes the proof. Definition 4.2. Two group Γ1 and Γ2 are called orbit equivalent, if there exists a probability space X and free, measure preserving actions of Γ1 and Γ2 on X that induce the same equivalence relation. For an excellent survey on the properties of orbit equivalence and related notions, see [Gab02b]. Lemma 4.3. Let R ⊂ X × X. We denote the completion of R(X) by R(X). R(X) ∞ ∞ is a unital L (X)-algebra that contains R(X) as a L (X)-sub-algebra. Proof. First of all, R(X) is a R(X)-module. Indeed, left multiplication by ni=1 fi φi is easily seen to be Lipschitz with constant n. In particular, there exists a map m : R(X) × R(X) → R(X). As before, we easily see that m has an extension to an associative and separately continuous multiplication: m : R(X) × R(X) → R(X).


277

Lemma 4.4. Let L be a L∞ (X) alg Γ-module. The completion of L, with respect and in to the diagonal L∞ (X)-bi-module structure is naturally a R(X)-module particular a R(X)-module. ∞ Proof. By Proposition n 4.1 L (X) alg Γ is dense in R(X) and hence in R(X). Again, since x = i=1 fi φi acts with Lipschitz constant n on L, the action extends to c(L). Let xn be a Cauchy sequence in L∞ (X) Γ and ξ ∈ c(L). The rank of (xn − xm )ξ is less that the rank of xn − xm and if xn → 0, then xn ξ → 0. This finishes the proof. 4.2. Proof of Gaboriau’s Theorem The proof of Gaboriau’s Theorem which is presented in this section uses the technology of rank completion. It is very much inspired by a proof of Gaboriau’s Theorem given by R. Sauer in [Sau03]. In his proof, the local criterion was a crucial ingredient to make the arguments work. We hope that the concept of rank completion will provide a good understanding of why the Theorem is true. Lemma 4.5. Let Γ be a discrete group and let ρ : Γ × X → X be a measurable and measure preserving action on a probability space X. 1. CΓ ⊂ L∞ (X) alg Γ is flat. 2. LΓ ⊂ L∞ (X) Γ is flat and dimension preserving. Proof. The first assertion is obvious. Indeed, L∞ (X) alg Γ is a free CΓ-module. The second assertion follows from the fact that LΓ is semi-hereditary, see [Sau05]. Theorem 4.6. Let Γ1 and Γ2 are orbit equivalent groups, then (2)

(2)

βk (Γ1 ) = βk (Γ2 ),

∀k ≥ 0.

(2)

Proof. It suffices to write βk (Γ1 ) entirely in terms of the equivalence relation it generates. Using Lemma 4.5, we rewrite: (L∞ (X) Γ) ⊗LΓ Tor CΓ k (LΓ, C) = =

∞ Tor CΓ k (L (X) Γ, C) L∞ (X)alg Γ

Tor k

(L∞ (X) Γ, L∞ (X)).

Here, the second equality follows since (L∞ (X) alg Γ) ⊗CΓ C = L∞ (X) as L∞ (X) alg Γ-module. By Lemma 4.5 and Equation 1, we conclude that L∞ (X)alg Γ

(2)

βk (Γ) = dimL∞ (X)Γ Tor k

(L∞ (X) Γ, L∞ (X)). ∞

(2)

There exists an exact functor which completes the category of L (X) alg Γmodules with respect to the diagonal left L∞ (X)-bi-module structure. We have shown in Lemma 4.4 that the resulting full subcategory of those L∞ (X) alg Γmodules which are complete, is naturally a category of R(X)-modules. Let us denote the functor of completion by c : ModL

∞

(X)alg Γ

→ ModR(X) . c

278

A. Thom

Proposition 4.7. Let L be a L∞ (X) alg Γ-module. The completion map induces an dimension isomorphism: (L∞ (X) Γ) ⊗L∞ (X)alg Γ L → (L∞ (X) Γ) ⊗R(X) c(L). Proof. The map can be factorized as (L∞ (X) Γ) ⊗L∞ (X)alg Γ L → (L∞ (X) Γ) ⊗L∞ (X)alg Γ c(L) → (L∞ (X) Γ) ⊗R(X) c(L). We show that each of the maps is a dimension isomorphism. Let us start with the first one. Again, by exactness of c, it suffices to show that ker (L∞ (X) Γ) ⊗L∞ (X)alg Γ L → L∞ (X) Γ) ⊗L∞ (X)alg Γ c(L)) is zero-dimensional. As in the proof of Lemma 2.8, an element θ in kernel is of the form: l θ= ζi ⊗ αi,k , ∀k ∈ N, i=1

for some zero-sequences (αi,k )k∈N ⊂ L. The proof proceeds as the proof of Lemma 2.8. The second map can be seen to be a dimension isomorphism as follows. Clearly, the map is surjective and it remains to show that the kernel is zerodimensional. An element of the kernel is of the form: n θ= ξi ηi ⊗ ζi − ξi ⊗ ηi ζi , i=1 ∞

for some ξi ∈ L (X) Γ, ηi ∈ R(X) and ζi ∈ L. Approximating ηi by elements in L∞ (X) alg Γ we can assume (as in the proof of Lemma 3.1) that [ηi ] ≤ ε/(2n). The first summands are smaller than ε/(2n), since support and range projection have the same trace. The second summand are also smaller than ε/(2n) by the same argument and since projections in L∞ (X) can be moved through the tensor product. Hence [θ] ≤ ε. Since θ and ε were arbitrary, we conclude by Theorem 1.2 that ker (L∞ (X) Γ) ⊗L∞ (X)alg Γ c(L) → (L∞ (X) Γ) ⊗R(X) c(L) is zero-dimensional. This finishes the proof.

To conclude the proof of Theorem 4.6, we note that by Lemma 1.1 we get an induced map L∞ (X)alg Γ

Tor i

(L∞ (X) Γ, ?) → Li ((L∞ (X) Γ) ⊗R(X) c(?))

which is a dimension isomorphism. The right-hand side applied to L∞ (X) depends only on the generated equivalence relation. Indeed, as in the proof of Theorem 2.9, a Grothendieck spectral sequence shows Li ((L∞ (X) Γ) ⊗R(X) c(?)) = Li ((L∞ (X) Γ)⊗R(X) ?) ◦ c.


279

Here, we use implicitly that the category of complete R(X)-modules is abelian with enough projective objects. The proof of this fact can be taken verbatim from the proof of Theorem 2.7 and the adjointness relations: homL∞ (X)Γ (L, K) = homL∞ (X)Γ (c(L), K) = homR(X) (c(L), K). The projective objects are completions of free L∞ (X) Γ-modules.

Remark 4.8. There is a second major result of Gaboriau’s on proportionality of L2 Betti numbers for weakly orbit equivalent groups, see [Gab02b]. Sauer has shown in [Sau03], how homological methods and properties of the dimension function allow to deduce this result. The same arguments apply to our setting.

References [Ati76]

[CG86] [CS05] [FM77a]

[FM77b]

[Gab02a] [Gab02b]

[L¨ uc02]

[Pas97] [Ped79]

[Sau03]

M.F. Atiyah. Elliptic operators, discrete groups and von Neumann algebras. In Colloque “Analyse et Topologie” en l’Honneur de Henri Cartan (Orsay, 1974), pages 43–72. Astérisque, No. 32–33. Soc. Math. France, Paris, 1976. Jeff Cheeger and Mikhael Gromov. L2 -cohomology and group cohomology. Topology, 25(2):189–215, 1986. Alain Connes and Dimitri Shlyakhtenko. L2 -homology for von Neumann algebras. J. Reine Angew. Math., 586:125–168, 2005. Jacob Feldman and Calvin C. Moore. Ergodic equivalence relations, cohomology, and von Neumann algebras. I. Trans. Amer. Math. Soc., 234(2):289–324, 1977. Jacob Feldman and Calvin C. Moore. Ergodic equivalence relations, cohomology, and von Neumann algebras. II. Trans. Amer. Math. Soc., 234(2):325–359, 1977. Damien Gaboriau. Invariants l2 de relations d’équivalence et de groupes. Publ. ´ Math. Inst. Hautes Etudes Sci., (95):93–150, 2002. Damien Gaboriau. On orbit equivalence of measure preserving actions. In Rigidity in dynamics and geometry (Cambridge, 2000), pages 167–186. Springer, Berlin, 2002. Wolfgang L¨ uck. L2 -invariants: theory and applications to geometry and Ktheory, volume 44 of Ergebnisse der Mathematik und ihrer Grenzgebiete. 3. Folge. A Series of Modern Surveys in Mathematics [Results in Mathematics and Related Areas. 3rd Series. A Series of Modern Surveys in Mathematics]. Springer-Verlag, Berlin, 2002. William L. Paschke. L2 -homology over traced ∗-algebras. Trans. Amer. Math. Soc., 349(6):2229–2251, 1997. Gert K. Pedersen. C ∗ -algebras and their automorphism groups, volume 14 of London Mathematical Society Monographs. Academic Press Inc. [Harcourt Brace Jovanovich Publishers], London, 1979. Roman Sauer. Power series over the group ring of a free group and applications to Novikov-Shubin invariants. In High-dimensional manifold topology, pages 449–468. World Sci. Publishing, River Edge, NJ, 2003.

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Roman Sauer. L2 -Betti numbers of discrete measured groupoids. Internat. J. Algebra Comput., 15(5-6):1169–1188, 2005. [Tho06a] Andreas Thom. L2 -Betti numbers for sub-factors. to appear in the Journal of Operator algebras, arXiv:math.OA/0601408, 2006. [Tho06b] Andreas Thom. L2 -cohomology for von Neumann algebras. to appear in GAFA, arXiv:math.OA/0601447, 2006. [Voi05] Dan Voiculescu. Free probability and the von Neumann algebras of free groups. Reports on Mathematical Physics, 55(1):127–133, 2005. [Wei94] Charles A. Weibel. An introduction to homological algebra, volume 38 of Cambridge Studies in Advanced Mathematics. Cambridge University Press, Cambridge, 1994. [Sau05]

Andreas Thom Mathematisches Institut der Universit¨ at G¨ ottingen Bunsenstr. 3-5 D-37073 G¨ ottingen, Germany e-mail: [email protected] URL: http://www.uni-math.gwdg.de/thom


Group Bundle Duality, Invariants for Certain C*-algebras, and Twisted Equivariant K-theory Ezio Vasselli Abstract. A duality is discussed for Lie group bundles vs. certain tensor C*categories with non-simple identity, in the setting of Nistor-Troitsky gaugeequivariant K-theory. As an application, we study C*-algebra bundles with fibre a fixed-point algebra of the Cuntz algebra: a classification is given, and a cohomological invariant is assigned, representing the obstruction to perform an embedding into a continuous bundle of Cuntz algebras. Finally, we introduce the notion of twisted equivariant K-theory. Mathematics Subject Classification (2000). Primary 19L47; Secondary 46L05; 46M15.

1. Introduction An important branch of abstract harmonic analysis is group duality, whose task is to establish (possibly one-to-one) correspondences between groups and suitable tensor categories. For the case of a compact group G, the basic idea is to consider the tensor category of finite-dimensional, unitary representations of G; on the converse, given a tensor category T (carrying some additional structure), one has to construct an embedding functor F : T → hilb into the category of finite-dimensional Hilbert spaces, and define G as the group of natural transformations of F . The existence of F is a crucial step. In fact, in general T may be not presented as a subcategory of the one of Hilbert spaces. For example, this happens in the case of algebraic quantum field theory, where the involved category is the one of superselection sectors of a C*-algebra of localized quantum observables. The duality for compact groups proved by Doplicher and Roberts in [7] was motivated by such physical applications, and is the starting point for the work presented in the present paper.

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The main feature of a tensor category T is given by the fact that objects ρ, σ of T can be multiplied by means of the tensor product ρ, σ → ρσ: the existence of a unit object ι is postulated, in such a way that ρι = ιρ = ρ for every object ρ. One of the properties assumed for the duality proved in [7] is that ι is simple, i.e., that the algebra of arrows (ι, ι) reduces to the complex numbers; in general, the tensor categories considered in the above-cited reference are such that (ι, ι) is a commutative C*-algebra. This is an important point w.r.t. duality, because in such a case we have to look for an embedding functor into the category mod(ι, ι) of (ι, ι)-bimodules, instead of the one of Hilbert spaces. In the present work, we study a class of tensor categories with non-simple unit object: we give a classification, and discuss the existence of an embedding functor into mod(ι, ι). In particular, we show that such embedding functors may not exist, in contrast to the case (ι, ι) C. The Serre-Swan equivalence implies that we may equivalently consider the category of vector bundles over the spectrum of (ι, ι), instead of mod(ι, ι). Since structural properties of the categories that we consider are encoded by geometrical invariants, we adopt this last point of view. Our motivation arises from possible physical applications in low-dimensional quantum field theory. Anyway, at a purely mathematical level we note that actions in the setting of vector bundles have been object of interesting research ([12]). The present paper is intended to be more self-contained as possible, and most of the material exposed here is a friendly exposition of [17]. The only original part is Section 7, where we introduce a twisted equivariant topological K-functor. Our work is organized as follows. In Section 2, we associate a K-theory group to a given C*-category; our construction provides usual C*-algebra K-theory in the case in which the given C*-category is the one of finitely generated Hilbert modules over a fixed C*-algebra. In Section 3, we expose a simple cohomological construction for compact Lie groups, which will be applied in the following sections. In Section 4, we expose a version of the Serre-Swan equivalence for bundles of C*algebras. In Section 5, we give a procedure to construct tensor categories with non-simple units, in the way as follows. Let d ∈ N, U(d) denote the unitary group, and G ⊆ U(d) a compact group. We denote by N G ⊆ U(d) the normalizer of G in U(d), and by QG := N G/G the quotient group. If X is a compact Hausdorff space, we associate to every principal QG-bundle Q a tensor category T Q with unit ι, such that (ι, ι) C(X); roughly speaking, T Q is a bundles of tensor categories over X, with fibre the category of tensor powers of the defining representation G → U(d). Let Gab denote the (Abelian) quotient of G by the adjoint action of N G. We define a cohomology class δ(Q) ∈ H 2 (X, Gab ), encoding the obstruction to construct an embedding functor F : T Q → mod(ι, ι). If F does exist, then there is a G-bundle G → X such that T Q is the category of tensor powers of a G-equivariant vector bundle in the sense of [12]. Existence of F is equivalent to the condition that there is a principal N G-bundle N such that Q = N mod G. In Section 6, we provide a translation of the results of Section 5 in terms of C*-algebra bundles. We consider the Cuntz algebra Od , and the fixed point algebra OG w.r.t.

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a natural G-action; the invariant δ(Q) is now interpreted as the cohomological obstruction to embed a given OG -bundle into some Od -bundle. In Section 7, we 0 associate to Q a K-theory group KQ (X). If Q = N mod G for some principal 0 (X) can be N G-bundle N , then there exists a G-bundle G → X such that KQ 0 embedded into the gauge equivariant K-theory KG (X) defined in the sense of [12]. Notation and background references. Let X be a compact Hausdorff space. We denote by C(X) the C*-algebra of bounded, continuous, C-valued functions. If x ∈ X, we denote by Cx (X) the closed ideal of functions vanishing on x. If {Xi } is an open cover of X, we define Xij := Xi ∩ Xj , Xijk := Xij ∩ Xk . In the present work, we adopt the convention that the set N of natural numbers includes 0. If A is any set, then idA denotes the identity map on A. For topological K-theory, we refer to [10], while for (principal) group bundles our reference is [9]. About C*-algebras and Hilbert modules, we refer to [3].

2. C*-categories and K-theory A C*-category C is given by a collection of objects, denoted by obj C, such that for every pair ρ, σ ∈ obj C there is an associated Banach space (ρ, σ), called the space of arrows. A bilinear composition is defined, (σ, τ ) × (ρ, σ) → (ρ, τ ), t , t → t ◦ t, in such a way that t ◦ t ≤ t t, and an involution ∗ : (ρ, σ) → (σ, ρ) is 2 assigned, in such a way that the C*-identity t∗ ◦ t = t is satisfied. For every ρ ∈ obj C, we assume the existence of an identity 1ρ ∈ (ρ, ρ) such that 1ρ ◦ t = t, t ◦ 1ρ = t , t ∈ (σ, ρ), t ∈ (ρ, τ ). It is customary to postulate the existence of a zero object o ∈ obj C, such that ( o, ρ) = {0}, ρ ∈ obj C. For basic properties about C*-categories, we refer the reader to [7, §1]. As an immediate consequence of the above definition, we find that every (ρ, ρ) is a unital C*-algebra w.r.t. the Banach space structure, composition of arrows and involution; moreover, every (ρ, σ) is a Hilbert (σ, σ)-(ρ, ρ)-bimodule w.r.t. composition of arrows and the (ρ, ρ)-valued scalar product t, t → t∗ ◦ t , t, t ∈ (ρ, σ). If ρ, σ ∈ obj C, we say that ρ is unitarily equivalent to σ if there exists u ∈ (ρ, σ) with u ◦ u∗ = 1σ , u∗ ◦ u = 1ρ . We denote by {ρ} ⊆ obj C the set of objects which are unitarily equivalent to ρ. Let C, C be C*-categories. A functor φ : C → C is given by a map F : obj C → obj C and a family {Fρ,σ : (ρ, σ) → (F (ρ), F (σ))} of bounded linear maps preserving composition and involution. This implies that every Fρ,ρ , ρ ∈ obj C, is a C*-algebra morphism. We give some examples. A C*-category with a single object is clearly a unital C*-algebra. If A is a unital C*-algebra, then the category with objects right Hilbert A-modules and arrows adjointable, right A-module operators is a C*-category, denoted by mod(A). If X is a compact Hausdorff space, the category vect(X) with objects vector bundles over X and arrows morphisms of vector bundles is a C*-category (actually, by the Serre-Swan theorem [10, Thm. I.6.18] we may identify vect(X) with mod(C(X))).

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We now define some further structure. We say that C has subobjects if for every ρ ∈ obj C and projection E = E 2 = E ∗ ∈ (ρ, ρ), there is σ ∈ obj C and S ∈ (ρ, σ) such that 1σ = S ◦ S ∗ , E = S ∗ ◦ S. For every C*-category C, we may construct a ’larger’ C*-category Cs with subobjects, by defining obj Cs := E = E 2 = E ∗ ∈ (ρ, ρ), ρ ∈ obj C , (E, F ) := {t ∈ (ρ, σ) : t = t ◦ E = F ◦ t}. Cs is called the closure for subobjects of C. C has direct sums if for every ρ, σ ∈ obj C there exists τ ∈ obj C with ψρ ∈ (ρ, τ ), ψσ ∈ (σ, τ ) such that ψρ ◦ ψρ∗ + ψσ ◦ ψσ∗ = 1τ , ψρ∗ ◦ ψρ = 1ρ , ψσ∗ ◦ ψσ = 1σ . The object τ is called a direct sum of ρ and σ, and is unique up to unitary equivalence. If a C*-category C does not have direct sums, we can construct the additive completion C+ , having objects n-ples ρ := (ρ1 , . . . , ρn ), n ∈ N, and arrows spaces of matrices (ρ, σ) := {(tij ) : tij ∈ (ρj , σi )}. In the case in which C has direct sums, we define C+ := C. Note that the operations C → Cs and C → C+ do not commute, so that C+,s is not isomorphic to Cs,+ : in general, there is an immersion Cs,+ → C+,s , in fact every formal direct sum E := (E1 , . . . , En ), Ek ∈ obj Cs , k = 1, . . . , n, is a projection in the additive completion C+ . Let C be a C*-category with direct sums. Then, a semigroup S(C) is associated with C, in the following way: for every ρ, σ ∈ C, we consider a direct sum τ and the classes {ρ}, {σ}; then, we define {ρ} + {σ} := {τ }. Since {τ } does not depend on the order of ρ, σ, we find that (S(C), +) is an Abelian semigroup with identity {o}. Definition 2.1. Let C be a C*-category. The K-theory group of C is defined as the Grothendieck group K0 (C) associated with S(C+ ). We give a class of examples: if A is a unital C*-algebra, then K0 ( mod(A)) coincides with the usual K-theory group K0 (A). In particular, if A = C(X), then K0 ( mod(C(X))) coincides with the topological K-theory K 0 (X).

3. A cohomological construction for certain Lie groups Let L be a compact group. A L-cocycle over X is given by a pair L := ({Xi } , {gij }), where {Xi } is a finite open cover and {gij } is a family of continuous maps gij : Xij → L such that gik (x) = gij (x)gjk (x), x ∈ Xijk . L-cocycles ({Xi } , {gij }), ({Xl } , {glm }) are said equivalent if there are continuous maps uil : Xi ∩ Xl → L such that gij (x) = uil (x)glm (x)ujm (x)−1 , x ∈ Xij ∩ Xlm . The set of equivalence classes of L-cocycles is called cohomology set, and is denoted by H 1 (X, L). It is well known that H 1 (X, L) classifies principal L-bundles over X ([9, Chp. 4]); if L is Abelian, then H 1 (X, L) has a well-defined group structure, and coincides with the first cohomology group with coefficients in the sheaf of germs of continuous L-valued maps. H 1 (X, · ) satisfies natural functoriality properties: if φ : L → L is a group morphism, then the pair ({Xi } , {φ ◦ gij }) define a L -cocycle; thus, a map φ∗ : H 1 (X, L) → H 1 (X, L ) (3.1)


285

is defined. If L, L are Abelian, then φ∗ is a group morphism. As an example, let us consider the quotient Lab of L w.r.t. the adjoint action L → autL. Lab is an Abelian group, and there is a natural epimorphism πL : L → Lab , inducing a map πL,∗ : H 1 (X, L) → H 1 (X, Lab ). The following construction appeared in [17, §4]. Let d ∈ N, U(d) denote the unitary group, and G ⊆ U(d) a compact group. We define N G as the normalizer of G in U(d), and QG := N G/G. Both N G and QG are compact Lie group; there is an epimorphism p : N G → QG with kernel G, and a monomorphism iN G : G → N G. In general, the induced map p∗ : H 1 (X, N G) → H 1 (X, QG)

(3.2)

is not surjective. We now define a cohomological class measuring the obstruction for surjectivity of p∗ . Elementary computations (see [17, §4] for details) show that there is a commutative diagram i

/ NG

iab

/ N Gab

/G

1

πG

/ Gab

/ QG

/1

(3.3)

πQG

πN G

1

p

pab

/ QGab

/1

where 1 denotes the trivial group. By functoriality of H 1 (X, · ), and by applying the long exact sequence in sheaf cohomology, we obtain the commutative diagram H 1 (X, N G)

p∗

/ H 1 (X, QG)

πN G,∗

H 1 (X, N Gab )

(3.4)

πQG,∗ pab,∗

/ H 1 (X, QGab )

δab

/ H 2 (X, Gab )

Definition 3.1. Let d ∈ N, and G ⊆ U(d) be a compact (Lie) group. For every principal QG-bundle Q ∈ H 1 (X, QG), the Dixmier-Douady class of Q is defined by δ(Q) := δab ◦ πQG,∗ ∈ H 2 (X, Gab ) . If Q belongs to the image of the map p∗ : H 1 (X,N G) → H 1 (X,QG), then δ(Q) = 0. We conclude the present section with some notation. N G acts on G via the adjoint action, and is naturally embedded in U(d). Thus, we have maps ad : N G → autG , iU(d) : N G → U(d)

(3.5)

which induce maps 4

ad∗ : H 1 (X, N G) → H 1 (X, autG) iU(d),∗ : H 1 (X, N G) → H 1 (X, U(d)) .

(3.6)

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4. C(X)-algebras and C*-bundles In the present section, we expose some basic properties of C*-algebra bundles. Such properties will be applied in Section 6. Let X be a compact Hausdorff space. A unital C*-algebra A is said C(X)algebra if there is a unital morphism C(X) → A ∩ A; in the sequel, elements of C(X) will be identified with their image in A, so that C(X) may be regarded as a unital C*-subalgebra of A ∩ A. For every x ∈ X, we consider the ideal Ix := {f a : f ∈ Cx (X), a ∈ A}, and define the fibre Ax := A/Ix with the epimorphism πx : A → Ax ; this allows to regard at every a ∈ A as a vector field a := (πx (a))x∈X ∈ x Ax , a ∈ A. In general, the norm function na (x) := πx (a) , x ∈ X, is upper-semicontinuous. In the case in which every na , a ∈ A, is continuous, then A is called continuous bundle over X. A C(X)-algebra morphism φ : A → B is a C*-algebra morphism such that φ(f a) = f φ(a), f ∈ C(X), a ∈ A. If F is a fixed C*-algebra, we denote by bun(X, F ) the set of C(X)-isomorphism classes of C(X)-algebras having fibres isomorphic to F . Good references about C(X)-algebras are [4, 11]. There is categorical equivalence between C(X)-algebras and a class of topological objects, called C*-bundles (see [8, Thm. 5.13], [8, §10.18]). A C*–bundle is given by a Hausdorff space Σ endowed with a surjective, open, continuous map Q : Σ → X such that every fibre Σx := Q−1 (x), x ∈ X, is homeomorphic to a unital C*-algebra with identity 1x . Σ is required to be full, i.e., for every σ ∈ Σ there exists a continuous section a : X → Σ, a ◦ Q = idX , such that a ◦ Q(σ) = σ. Let Q : Σ → X be a C*-bundle. A C*-bundle morphism from Σ into Σ is given by a continuous map φ : Σ → Σ such that 1. Q ◦ φ = Q; this implies that φ(Σx ) ⊆ Σx , x ∈ X; 2. φx := φ|Σx : Σx → Σx is a C*-algebra morphism for every x ∈ X. φ is said isomorphism if every φx , x ∈ X, is a C*-algebra isomorphism. The set SX (Σ) of continuous sections of Σ is endowed with a natural structure of C(X)-algebra: for every a, a ∈ A, we define a + a , aa , a∗ as the maps (a + a )(x) := a(x) + a (x), (aa )(x) := a(x)a (x), a∗ (x) := a(x)∗ , x ∈ X, and introduce the norm a := supx a(x). Moreover, for every f ∈ C(X), it turns out that the map f 1(x) := f (x)1x , x ∈ X, belongs to SX (Σ). On the converse, if A is a unital C(X)-algebra, then the set A := x∈X Ax is endowed with a natural surjective map Q : A → X, Q ◦ πx (a) := x. For every open U ⊆ X, a ∈ A, ε > 0, we consider the following subset of A: 0 1 D D (4.1) TU,a,ε := σ ∈ A : Q(σ) ∈ U and Dσ − πQ(σ) (a)D < ε . It can be proved that The family {TU,a,ε } provides a basis for a topology on A. Q : A → X is a C*-bundle, and that there is an isomorphism A → SX (A), a → a := {X % x → πx (a)}.


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Theorem 4.1. Let X be a compact Hausdorff space. The map A → A provides an equivalence between the category of C(X)-algebras (with arrows C(X)-algebra morphisms) and the category of C*-bundles over X (with arrows C*-bundle morphisms). Some examples follow. If F is a unital C*-algebra, then A := C(X) ⊗ F is a C(X)-algebra with C*-bundle A = X × F, endowed with the projection Q(x, b) := x, x ∈ X, b ∈ F; A is called the trivial C*-bundle. Let C(X) → C(Y ) =: AY be an inclusion of unital, Abelian C*-algebras; then, a surjective map q : Y → X is defined, and the C*-bundle A Y → X has fibres Ax = C(q −1 (x)), x ∈ X. Let d ∈ N, and E → X denote a rank d vector bundle; then, the C*-algebra L(E) of endomorphisms of E is a continuous bundle of C*-algebras over X, with fibres isomorphic to the matrix algebra Md . We introduce some notation and terminology. Let L denote a compact group acting by automorphisms on F . Moreover, let A, A be C(X)-algebras with fibre F (i.e., Ax Ax F, x ∈ X), and β : A → A a C(X)-algebra isomorphism. Then, for every x ∈ X an automorphism βx ∈ autF is defined, in such a way that βx ◦ πx (a) = πx ◦ β(a), a ∈ A. If βx belongs to the image of the L-action for every x ∈ X, then we say that β is L-covariant, and use the notation β : A →L A .

(4.2)

Let now I : F0 → F be an inclusion of unital C*-algebras. Suppose that there are C(X)-algebras A0 ∈ bun(X, F0 ), A ∈ bun(X, F ), and a a C(X)- monomorphism φ : A0 → A such that φx = I for every x ∈ X. Then, we say that φ is I-covariant, and use the notation φ : A0 →I A . (4.3) We conclude the present section by presenting a construction for continuous bundles having as fibre a fixed C*-dynamical system. Let L be a compact group, and F a unital C*-algebra with an automorphic action α : L → autF . For every Lcocycle L := ({Xi } , {gij }), we define a C*-bundle Q : A L → X as the clutching of the family of trivial bundles {Xi × F } w.r.t. the maps {α ◦ gij : Xij → autF } (in the same way as in [10, I.3.2]). We denote by AL the C(X)-algebra of continuous sections associated with A L . If H is a L-cocycle equivalent to L, then it is easily verified that there is an isomorphism A L A H . In such a way, we defined a map α∗ : H 1 (X, L) → bun(X, F ) , L → AL .

(4.4)

In general α∗ is not injective, unless L autF ; in fact, cocycle equivalence gives rise to an L-covariant isomorphism.

5. Tensor C*-categories A tensor C*-category is a C*-category T endowed with a bifunctor ⊗ : T ×T → T , called the tensor product. In explicit terms, for every pair ρ, σ ∈ obj T there is an object ρσ ∈ obj T ; for every ρ , σ ∈ obj T , there are bilinear maps (ρ, σ)×(ρ , σ )

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→ (ρρ , σσ ), t, t → t ⊗ t . The existence of an identity object ι ∈ obj T is postulated, in such a way that ιρ = ρι = ρ, ρ ∈ obj T , t = t ⊗ 1ι = 1ι ⊗ t, t ∈ (ρ, σ). The data of a tensor C*-category with identity object ι will be denoted by the triple (T , ⊗, ι). For basic notions on tensor C*-categories, we refer to [7, §1]. It is a consequence of the above definition that the C*-algebra (ι, ι) is Abelian; we will denote by X ι , the (compact, Hausdorff) spectrum of (ι, ι), so that there is an identification (ι, ι) C(X ι ). Well-known examples of tensor C*-categories are the one of Hilbert spaces endowed with the usual tensor product, denoted by hilb, and the one of vector bundles over a compact Hausdorff space X, that we denote by vect(X). In the first case X ι reduces to a single point (ι = C, so that (ι, ι) C); in the second case X ι = X (ι = X × C). The eventual commutativity up-to-unitary-equivalence of the tensor product is described by the property of symmetry. A tensor C*-category (T , ⊗, ι) is said symmetric if for each ρ, σ ∈ obj T there is a unitary ‘flip’ ερσ ∈ (ρσ, σρ) such that εσσ ◦ (t ⊗ t ) = (t ⊗ t) ◦ ερρ , t ∈ (ρ, σ), t ∈ (ρ , σ ). A symmetric tensor C*-category is denoted by (T , ⊗, ι, ε). The tensor C*-categories hilb, vect(X) are symmetric. Another basic example is given by the dual of a compact group G, i.e., the category with objects unitary, finite-dimensional representations of G. 5.1. Duals of compact Lie groups Let G be a compact group endowed with a faithful representation over a rank d Hilbert space Hd , d ∈ N. We regard at G as a compact Lie subgroup of the unitary as the tensor C*-category with objects the r-fold tensor group U(d). We define G powers Hdr , r ∈ N (for r = 0 we define ι := Hd0 := C), and arrows the spaces (Hdr , Hds )G of linear operators t : Hdr → Hds such that gs ◦ t ◦ gr∗ = t ∀g ∈ G, where gr := ⊗r g ∈ Hdr .

(5.1)

It is well known that by performing the closure for subobjects and the additive we obtain all the finite-dimensional representations of G. G is completion of G, r+s r+s symmetric, in fact it is endowed with the flip operators θr,s ∈ (Hd , Hd )G , θr,s (ψ ⊗ ψ ) := ψ ⊗ ψ, ψ ∈ Hdr , ψ ∈ Hds . Thus, we have a symmetric tensor ⊗, ι, θ). C*-category (G, is given by a family F of Banach space isoA symmetric autofunctor of G morphisms F r,s : (Hdr , Hds )G → (Hdr , Hds )G , r, s ∈ N

such that F r,s (t ◦ t ) = F l,s (t) ◦ F r,l (t ), F r,s (t∗ ) = F r,l (t)∗ , F r+r ,s+s (t ⊗ t ) = F r,s (t) ⊗ F r ,s (t ), F r+s,r+s (θr,s ) = θr,s , t ∈ (Hdr , Hds )G , t ∈ (Hdr , Hds )G , t ∈ of symmetric autofunctors of G is endowed with a (Hdl , Hds )G . The set autθ G r,s r,s group structure w.r.t. r,s −1 the composition F, G → G ◦ F := {G ◦ F } and inverse −1 F := (F ) .


289

Now, every u ∈ N G defines maps u r,s : (Hdr , Hds )G → (Hdr , Hds )G , u r,s (t) := us ◦ t ◦ u∗r (the term us is defined according to (5.1)). A direct check show that that the In particular, we find family u := { ur,s }r,s defines an element of autθ G. g r+s,r+s (θr,s ) = θr,s

(5.2)

(see [6, §2]). Since by definition g r,s (t) = t , g ∈ G , t ∈ (Hdr , Hds )G ,

(5.3)

u =u g , u ∈ N G , g ∈ G ,

(5.4)

we conclude that so that {u → u } factorizes through a map , y → y . QG → autθ G

(5.5)

5.2. Special categories and group bundles Let X be a compact Hausdorff space, d ∈ N, G ⊆ U(d) a compact group. A special category is given by a symmetric tensor C*-category (T , ⊗, ι, ε) with objects the positive integers r ∈ N, and arrows the Banach C(X)-bimodules Mr,s of continuous sections of vector bundles Er,s → X with fibre (Hdr , Hds )G , r, s ∈ N (the left C(X)-action of Mr,s is assumed to coincide with the right one). The tensor product is defined as follows: 4 r, s → r + s , r, s ∈ N t, t → t ⊗X t ∈ Mr+r ,s+s , t ∈ Mr,s , t ∈ Mr ,s , where ⊗X denote the tensor product in the category of Banach C(X)-bimodules ([3, Chp.VI]). Note that ι := 0 ∈ N is the identity object, with (ι, ι) = C(X). We the set of isomorphism classes of special categories having denote by tens(X, G) spaces of arrows with fibres (Hdr , Hds )G , r, s ∈ N. with arrows As an example, we consider the trivial special category X × G X := 1X ⊗ θr,s }, M0,r,s = C(X) ⊗ (Hdr , Hds )G , r, s ∈ N, and symmetry θX := θr,s where 1X ∈ C(X) denotes the identity. Note that for every r, s ∈ N, it turns out that M0,r,s is the module of sections of E0,r,s := X × (Hdr , Hds )G . We now give a simple procedure to construct special categories. Let Q be a principal QG-bundle with associated cocycle ({Xi } , {yij }). For every r, s ∈ N, we denote by aut(Hdr , Hds )G the (topological) group of isometric linear maps of (Hdr , Hds )G . By composing with the isomorphism (5.5), we obtain maps r,s : Xij → aut(Hdr , Hds )G , x → y ij (x)r,s , y ij

bundle which define aut(Hdr , Hds )G -cocycles. We denote r,s by EQ,r,s → X the vector with fibre (Hdr , Hds )G and transition maps y ij . Now, for every r, s, r , s ∈ N, it turns out y ij (x)r,s ⊗ y ij (x)r ,s = y ij (x)r+r ,s+s , x ∈ Xij ;

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this implies that there are inclusions EQ,r,s ⊗ EQ,r ,s ⊆ EQ,r+r ,s+s ,

(5.6)

where ⊗ stands for the tensor product in vect(X). We denote by MQ,r,s the module of continuous sections of EQ,r,s , and define the following C*-category: 4 obj T Q := N T Q := (r, s)Q := MQ,r,s , r, s ∈ N . The relations (5.6) imply that MQ,r,s ⊗X MQ,r ,s ⊆ MQ,r+r ,s+s , so that T Q is a tensor C*-category. Note that (0, 0)Q = C(X); more in general, for every r ∈ N it turns out that MQ,r,r is a C(X)-algebra with fibre (Hdr , Hdr )G . About the symmetry, let us consider the constant maps εir,s (x) := θr,s , x ∈ Xi ; then, (5.2) implies that r,s (εir,s )|Xij = εjr,s |Xij . y ij The previous relations imply that we can glue the local sections εir,s : Xi → r,s Xi × (Hdr+s , Hdr+s )G by using the transition maps y ij , and obtain elements εr,s ∈ MQ,r+s,r+s . Some routine computations show that the family {εr,s } defines a It is easy to prove that if Q ∈ symmetry for T Q. Thus, T Q ∈ tens(X, G). 1 H (X, QG) is cocycle equivalent to Q then there is an C*-category isomorphism T Q T Q preserving symmetry and tensor product. Thus, we defined a map . T : H 1 (X, QG) → tens(X, G) Example (Tensor powers of a vector bundle). Let us consider the trivial group G := Id , so that N G = QG = U(d). Every U(d)-cocycle U := ({Xi } , {uij }) can be regarded as the set of transition maps of a rank d vector bundle E → X. For every r ∈ N, we denote by E r the r-fold tensor power of E. The tensor C*-category T U has spaces of arrows the bimodules of continuous sections of vector bundles EU ,r,s → X, having fibre (Hdr , Hds ) and transition maps u r,s ij . It is well known that every EU ,r,s can be identified with the vector bundle of morphisms from E r into E s (see [10, I.4.8(c)]). Thus, T U is isomorphic to the full C*-subcategory of vect(X) with objects the tensor powers of E. We denote by E such tensor C*-category. Example (The dual of a Lie group bundle). We recall the reader to the notation of Section 3 (in particular, the maps (3.5,3.6) ). Let N := ({Xi } , {uij }) ∈ H 1 (X, N G). We consider the vector bundle E → X with transition maps U := iU(d),∗ N ∈ H 1 (X, U(d)), and the QG-cocycle Q := p∗ (N ) ∈ H 1 (X, QG). The symmetric tensor C*-category T Q has arrows the bimodules of continuous sections of vector bundles EQ,r,s → X, which have fibre (Hdr , Hds )G and transition maps p◦u r,s ij . Let now EU ,r,s → X be the vector bundles associated with U, according to the previous example. Then, we may regard at each EQ,r,s as a vector subbundle of EU ,r,s ; in fact, by (5.4), every set of transition maps u acts in the same way r,s ij r,s r s as p ◦ u ij on the trivial bundles Xi × (Hd , Hd )G ⊆ Xi × (Hdr , Hds ). Thus, T Q Let now G → X be the group bundle is a symmetric tensor C*-subcategory of E. 1,1 , u ∈ N G, there is an with fibre G and transition maps ad∗ N . Since ad(u) = u


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inclusion G ⊂ EU ,1,1 . Since EU ,1,1 is the vector bundle of endomorphisms of E, we find that E is G-equivariant in the sense of [12, §1], i.e., there is an action G ×X E → E , (g, v) → g(v) ,

(5.7)

where G ×X E denotes the fibered cartesian product. Note that in (5.7) the base space of E coincides with the base space of G; in [12], the base space of E is a topological bundle carrying a G-action. Now, for every r, s ∈ N there is an action G ×X EU ,r,s → EU ,r,s , (g, t) → g r,s (t) . In particular, t ∈ EQ,r,s if and only if g r,s (t) = t for every g ∈ G, in the same way as in (5.3); in such a case, we say that t is G-equivariant. We conclude that T Q is the tensor C*-subcategory of E with arrows the bimodules of G-equivariant morphisms between tensor powers of E. We denote by E G such tensor C*-category. Let T Q be the special category associated with Q ∈ H 1 (X, QG). An embedding functor is given by a rank d vector bundle E → X and a C*-monofunctor preserving tensor product and symmetry. In the following results, we F : T Q → E, characterize tensor C*-categories T Q admitting an embedding functor, and give a cohomological obstruction for the existence. This provides a duality between group bundles and special categories admitting an embedding functor. Theorem 5.1 ([17], Thm.7.1, Thm.7.3). Let G ⊆ SU(d). The following are equivalent: and a fibred G-bundle G → X 1. there exists an embedding functor F : T Q → E, such that E is G-equivariant and T Q = EG ; 2. there exists a principal N G-bundle N such that p∗ N = Q. The interplay between the above objects is the following: if there exists N ∈ H 1 (X, N G) with p∗ N = Q, then E is defined by the cocycle iU(d),∗ N ∈ H 1 (X, U(d)), and G is defined by the cocycle ad∗ N ∈ H 1 (X, autG). The condition G ⊆ SU(d) is motivated by the fact that the proof of the previous theorem lies on the notion of special object ([7, §3, Lemma 6.7]); it is our opinion that it should suffice to assume G ⊆ U(d), and this point is object of a work in progress. As a direct consequence of the previous theorem, we obtain we define Theorem 5.2. For every T Q ∈ tens(X, G), δ(T Q) := δ(Q) ∈ H 2 (X, Gab ) (the Dixmier-Douady class of T Q) . then δ(T Q) = 0. In particular, If there exists an embedding functor F : T Q → E, if T Q is the trivial special category (i.e., Q X × QG) then δ(T Q) = 0. It is not difficult to construct special categories with δ(T Q) = 0. For example, let us suppose that the epimorphism πQG : QG → QGab admits a left inverse S : QGab → QG, πQG ◦ S = idQGab , and let X be a space such that there is z ∈ H 1 (X, QGab ) with δab (z) = 0. We define Q := S∗ z ∈ H 1 (X, QG); by construction, δ(T Q) = δ(Q) = δab (z) = 0. Explicit examples are given in [17, §7.0.8].

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6. C*-bundles with fibre OG The following construction appeared in [6], and can be interpreted as a C*algebraic version of the Tannaka duality. Let d ∈ N; we denote by Od the Cuntz algebra ([5]) generated by a multiplet {ψi }di=1 of isometries satisfying the relations ψi ψi∗ = 1 . (6.1) ψi∗ ψj = δij 1 , i

Let us denote by Hd ⊂ Od the Hilbert space spanned by {ψi }, endowed with the scalar product ψ, ψ 1 := ψ ∗ ψ , ψ, ψ ∈ Hd ; then, it is clear that Hd is isomorphic to the canonical rank d Hilbert space. Let now I := {i1 , . . . , ir } be a multiindex with length |I| := r ∈ N; we introduce the notation r ψI := ψik ∈ Od , k=1

and denote by Hdr the vector space spanned by {ψI }, which we identify with the r-fold tensor power of Hd . With the above notation, the Banach space (Hdr , Hds ) := span {ψI ψJ∗ , |I| = s, |J| = r} , r, s ∈ N , Hdr

(6.2) Hds .

into By can be naturally identified with the set of linear operators from identifying Hd with the canonical rank d Hilbert space, we get a natural U(d)action U(d) × Hd → Hd , u, ψ → uψ. Universality of the Cuntz algebra implies that there is an automorphic action , U(d) → autOd , u → u

(6.3)

u (ψ) := uψ, u ∈ U(d), ψ ∈ Hd . If we restrict (6.4) to elements of a compact group G ⊆ U(d), then we get an action G → autOd , g → g .

(6.4)

We denote by OG the fixed-point algebra of Od w.r.t. the action (6.4), and by iG : OG → Od the natural inclusion. Since g(t) = gs ◦ t ◦ gr∗ , g ∈ G, t ∈ (Hdr , Hds ), we may identify r s r s (Hd , Hd )G with (Hd , Hd ) ∩ OG . Let us now consider the normalizer N G ⊆ U(d). Then, every u ∈ N G defines an automorphism u ∈ autOG : in fact, if g ∈ G, t ∈ OG , then g( u(t)) = u ◦ g (t) = u (t), where g ∈ G. It is clear that u = u g for every g ∈ G, thus there is an automorphic action QG → autOG , y → y . (6.5) We now apply the construction (4.4) to the actions (6.3), (6.5), and obtain maps (6.6) H 1 (X, U(d)) → bun(X, Od ) , U → OU , H 1 (X, QG) → bun(X, OG ) , Q → OQ . (6.7) Let E → X be the vector bundle with associated U(d)-cocycle U, and SE the Hilbert C(X)-bimodule of continuous sections of E. It is proved in [15, Prop. 4.2]


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that OU is the Cuntz-Pimsner algebra associated with SE. The map (6.6) is not injective: if X is a finite-dimensional CW -complex, in order to obtain an isomorphism OU OV it suffices that U, V ∈ H 1 (X, U(d)) are transition maps of vector bundles having the same class in K 0 (X) ([16, Prop.10]). The following result is a translation of Thm. 5.1, Thm. 5.2 in terms of C(X)algebras (note that we use the notation (4.2,4.3)). Proposition 6.1 ([17, Prop.7.11]). Q = Q ∈ H 1 (X, QG) if and only if there is a QG-covariant C(X)-isomorphism α : OQ →QG OQ . Moreover, the class δ(OQ ) := δ(Q) ∈ H 2 (X, Gab ) measures the obstruction to find a vector bundle E → X with transition maps U ∈ H 1 (X, U(d)) implementing a C(X)-monomorphism OQ →iG OU : if δ(OQ ) = 0, then such a vector bundle does not exist.

7. Twisted equivariant K-theory Let X be a compact Hausdorff space, d ∈ N, and G ⊆ U(d) a closed group. For every Q ∈ H 1 (X, QG), we consider the associated special C*-category T Q ∈ and define the Abelian group tens(X, G), 0 (X) := K0 (T Q+,s ) , KQ 0 (X) KQ

(7.1)

is called the twisted equivariant K-theory of X. Note according to Def.2.1. that we close for subobjects after having performed the additive completion. This implies that there is an immersion vect(X) → T Q+,s , in fact every E ∈ vect(X) appears as a subobject of some ιn := (ι, . . . , ι) ∈ T Q+ . Thus, there is a morphism 0 0 K 0 (X) → KQ (X). We briefly discuss the relationship between KQ (X) and wellknown K-theory groups. 1. If X := {x} reduces to a single point, then the unique element of tens({x} , is the dual G. It is well known that by closing G w.r.t. direct sums G) and subobjects we get all the finite-dimensional representations of G. Thus, KQ ({x}) coincides with (the additive group) of the representation ring R(G). 2. If G = Id is the trivial subgroup of U(d) (so that QG = U(d)) and Q ∈ H 1 (X, U(d)), then T Q = E for some rank d vector bundle E → X. Thus, 0 (X) coincides with K 0 (X). KQ 3. Let X be a trivial G-space. We denote by Q0 the trivial principal QG-bundle over X. The tensor C*-category T Q0 is isomorphic to the trivial special Now, every finite-dimensional G-Hilbert space M appears category X × G. +,s obtained by closing G w.r.t. direct sums as an object of the category G and subobjects. Moreover, every G-vector bundle E → X in the sense of [14] is a direct summand of some trivial bundle X × M ([14, Prop. 2.4]). Thus, +,s , and K 0 (X) is isomorphic to the equivariant K-theory E ∈ obj (X × G) Q0 0 KG (X) in the sense of [14]. Note that for a trivial G-space, we find KQ (X) 0 0 KG (X) R(G) ⊗ K (X) (see [14, Prop. 2.2].

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4. Let Q ∈ H 1 (X, QG) such that Q = p∗ N for some N ∈ H 1 (X, N G), N := ({Xi } , {uij }). Then, there exists a vector bundle E → X with associated U(d)-cocycle iU(d),∗ N ∈ H 1 (X, U(d)), and a G-fibre bundle G → X with associated autG-cocycle ad∗ N ∈ H 1 (X, autG). By Ex. 5.2, we find that E is a G-equivariant vector bundle in the sense of [12, §1]. Now, T Q is isomorphic to the category E G introduced in Ex. 5.2, thus there is a morphism 0 (X) → KG0 (X) , KQ

(7.2)

where KG0 (X) denotes the gauge-equivariant K-theory of X in the sense of [12, §3]. At the present moment, it is not clear whether (7.2) is one-to-one. In fact, there is no evidence that by closing E G w.r.t. direct sums and subobjects we get all the G-equivariant vector bundles over X. Since it is possible to reconstruct G starting from the dual category E G (see [17, Thm. 7.3]), it is natural to conjecture that (7.2) is an isomorphism. This point is object of a work in progress. In the case in which Q does not belong to the image of the map (3.2), the 0 (X) cannot be interpreted in terms of usual (equivariant) K-theory; up group KQ 0 (X) arise from projections belonging to the to direct sums, the elements of KQ C(X)-algebras MQ,r,r , r ∈ N (see Section 5.2). These C(X)-algebras have fibre (Hdr , Hdr )G , anyway cannot be interpreted in terms of equivariant endomorphisms of the r-fold tensor power of some rank d vector bundle, as claimed in Thm. 5.2. Something similar happens in the setting of twisted K-theory considered in [1]: given an element P ∈ H 2 (X, T) H 3 (X, Z), a K-theory group KP0 (X) is constructed. The elements of KP0 (X) are projections of a C(X)-algebra AP with fibre the C*-algebra K of compact operators; if P = 0, then AP is not isomorphic to C(X) ⊗ K, and cannot be interpreted as the algebra of compact endomorphisms of some bundle of Hilbert spaces. P is called the Dixmier-Douady class of AP , and this is the reason why we adopted the same terminology for the invariant δ(Q). 0 (X) are objects of a work in progress. Basic properties and applications of KQ 0 We just mention the fact the KQ (X) has a natural ring structure arising from the tensor product of T Q; such a ring structure plays an important role in the computation of the K-theory of the C*-algebra OQ .

References [1] M.F. Atiyah, G. Segal: Twisted K-Theory, arXiv:math.KT/0407054 (2004). [2] M.F. Atiyah: K-Theory, Benjamin, New York, 1967. [3] B. Blackadar: K-Theory of Operator Algebras, MSRI Publications, 1995. [4] E. Blanchard: Déformations de C*-alg` ebres de Hopf, Bull. Soc. math. France 124 (1996), 141–215. [5] J. Cuntz: Simple C*-algebras Generated by Isometries, Comm. Math. Phys. 57 (1977), 173–185.


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[6] S. Doplicher, J.E. Roberts: Duals of Compact Lie Groups Realized in the Cuntz Algebras and Their Actions on C*-Algebras, J. Funct. Anal. 74 (1987) 96–120. [7] S. Doplicher, J.E. Roberts: A New Duality Theory for Compact Groups, Inv. Math. 98 (1989), 157–218. [8] G. Gierz: Bundles of topological vector spaces and their duality, Lecture Notes in Mathematics, 955, Springer-Verlag, 1982. [9] D. Husemoller: Fibre Bundles, Mc Graw-Hill Series in Mathematics, 1966. [10] M. Karoubi: K-Theory, Springer Verlag, Berlin-Heidelberg-New York, 1978. [11] M. Nilsen: C*-Bundles and C0 (X)-algebras, Indiana Univ. Math. J. 45 (1996), 463– 477. [12] V. Nistor, E. Troitsky: An index for gauge-invariant operators and the DixmierDouady invariant, Trans. AMS. 356 (2004), 185–218 [13] M. Pimsner: A Class of C*-algebras Generalizing both Cuntz-Krieger algebras and Cross Product by Z, in: Free Probability Theory, D.-V. Voiculescu Ed., AMS, 1993. ´ [14] G. Segal, Equivariant K-theory, Inst. Hautes Etudes Sci. Publ. Math. 34 (1968), 129–151. [15] E. Vasselli: Continuous Fields of C*-algebras Arising from Extensions of Tensor C*-Categories, J. Funct. Anal. 199 (2003), 122–152. [16] E. Vasselli: The C*-algebra of a vector bundle and fields of Cuntz algebras, J. Funct. Anal. 222(2) (2005), 491–502. [17] E. Vasselli: Bundles of C*-categories and Duality, arXiv math.CT/0510594, (2005); Bundles of C*-categories, J. Funct. Anal. 247 (2007), 351–377. Ezio Vasselli Dipartimento di Matematica Universit` a La Sapienza di Roma P.le Aldo Moro, 2 00185 Roma, Italy e-mail: [email protected]


A New Topology on the Space of Unbounded Selfadjoint Operators, K-theory and Spectral Flow Charlotte Wahl Abstract. We define a new topology, weaker than the gap topology, on the space of selfadjoint unbounded operators on a separable Hilbert space. We show that the subspace of selfadjoint Fredholm operators represents the functor K 1 from the category of compact spaces to the category of abelian groups and prove a similar result for K 0 . We define the spectral flow of a continuous path of selfadjoint Fredholm operators generalizing the approach of BoossBavnek–Lesch–Phillips. Mathematics Subject Classification (2000). 58J30; 46L80; 47A53. Keywords. Spectral flow, classifying space, K-theory, unbounded operators.

Introduction The space of bounded Fredholm operators on a separable Hilbert space endowed with the norm topology is a classifying space for the functor K 0 from the category of compact spaces to the category of abelian groups [J][A]. The index map realizes an isomorphism between the K-theory of a point and Z. Furthermore a particular connected component of the space of selfadjoint bounded Fredholm operators with the norm topology represents the functor K 1 [AS]. An isomorphism K 1 (S 1 ) ∼ =Z is given by the spectral flow, which was introduced in [APS]. These results can be applied to unbounded Fredholm operators by using 1 the bounded transform D → D(1 + D∗ D)− 2 . However, since many important geometric applications involve unbounded operators, it is more convenient to work directly with the space of unbounded selfadjoint Fredholm operators. The gap topology on the space of unbounded selfadjoint operators is the weakest topology such that the maps D → (D ± i)−1 are continuous. Gap continuity is weaker than This research was supported by a grant of AdvanceVT.

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continuity of the bounded transform. Booss-Bavnek–Lesch–Phillips defined the spectral flow for gap continuous paths [BLP] and Joachim proved that the space of unbounded selfadjoint Fredholm operators endowed with the gap topology is a classifying space for K 1 and the space of Fredholm operators with the subspace topology (see §1) is a classifying space for K 0 [Jo]. In the first part of this paper we define and study a new topology on the space of unbounded selfadjoint operators. In this topology a path (Dt )t∈[0,1] is continuous if and only if the resolvents (Dt ± i)−1 depend in a strongly continuous way on t and if there is an even function φ ∈ Cc∞ (R) with supp φ = [−ε, ε] and φ |(−ε,0) > 0 for some ε > 0 such that φ(Dt ) is continuous in t. This topology is weaker than the gap topology. Compared with the latter it has some additional useful properties: The bounded transform of a continuous path is again continuous. If (Dt )t∈[0,1] is a continuous path of Fredholm operators and (Ut )t∈[0,1] is a strongly continuous path of unitaries, then (Ut Dt Ut∗ )t∈[0,1] is again a continuous path of Fredholm operators. We show that the space of selfadjoint Fredholm operators endowed with this topology represents K 1 and the space of Fredholm operators with the subspace topology represents K 0 . Furthermore we illustrate with an example that families of Fredholm operators that are continuous with respect to this topology but not gap continuous arise naturally from differential operators on noncompact manifolds. Along the way we indicate how these results generalize to regular Fredholm operators on a Hilbert C ∗ -module. In the second part we define and study the spectral flow of a continuous path of selfadjoint Fredholm operators generalizing the approach of Booss-Bavnek– Lesch–Phillips and relate it to the winding number. The definition of the spectral flow given here is for paths with invertible endpoints equivalent to the definition of the noncommutative spectral flow in [W] applied to a separable Hilbert space. However, in [W] we used the theory of Hilbert C ∗ -modules in an essential way. One aim of this paper is to recover the results of [W] for a Hilbert space using classical functional analysis. We refer to [W] for applications.

1. A new topology on the space of unbounded selfadjoint operators Let H be a separable Hilbert space. Recall that a closed densely defined operator D on H is called Fredholm if 1 its bounded transform FD := D(1 + D∗ D)− 2 is Fredholm. We denote the set of selfadjoint unbounded operators on H by S(H) and the set of selfadjoint unbounded Fredholm operators on H by SF (H). As usual, B(H) is the space of bounded operators on H endowed with the norm topology and K(H) is the subspace of compact operators. Throughout let B be a compact space. For a Banach space V we denote by C(B, V ) the Banach space of continuous functions from B to V equipped with the supremum norm. We write C(R) for C(R, C). For b ∈ B the evaluation map is evb : C(B, V ) → V, f → f (b).

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For a map D : B → S(H) we define Dom D := {f ∈ C(B, H) | f (b) ∈ dom D(b) for all b ∈ B and Df ∈ C(B, H)} . Here Df : B → H is defined as b → D(b)f (b). First we note some useful facts about the functional calculus of selfadjoint operators. Proposition 1.1. Let D : B → S(H) be a map. The following conditions are equivalent: 1. At each point b ∈ B the set evb (Dom D) ⊂ dom D(b) is a core for D(b). 2. The resolvents (D(b) ± i)−1 depend in a strongly continuous way on b ∈ B. 3. For each φ ∈ C(R) the operator φ(D(b)) depends in a strongly continuous way on b ∈ B. Proof. Set Rλ (b) = (D(b) + λ)−1 . We show that (1) implies (2): Let λ = ±i. Since Rλ (b) is uniformly bounded, it is enough to prove that Dom Rλ is dense in C(B, H). Let f ∈ C(B, H) and let ε > 0. The assumption implies that the set evb ((D + λ)(Dom D)) is dense in H for any b ∈ B. Hence by compactness there is a finite open covering {Uj }j∈I of B and functions gj ∈ Dom D, j ∈ I, such that (D(b) + λ)g(b)j − f (b) < ε for all b ∈ Uj . Let {χj }j∈I be a partition of unity subordinate to the covering {Uj }j∈I and set fj (b) = (D(b) + λ)gj (b). Then j∈I χj fj ∈ Dom Rλ and f − j∈I χj fj < ε. (2) ⇒ (3): Let φ ∈ C(R). Since the algebra generated by the functions (x + i)−1 and (x − i)−1 is dense in C0 (R), the assertion holds for all ψ ∈ C0 (R), in particular for ψ(x) = φ(x)(x + i)−1 . Hence φ(D)f ∈ C(B, H) for f ∈ Ri C(B, H). By a similar argument as above, (2) implies that Ri C(B, H) is dense in C(B, H). Since φ(D(b)) is uniformly bounded, this implies the assertion. (3) ⇒ (2) ⇒ (1) is clear. Lemma 1.2. Let D : B → S(H) be a map such that the resolvents (D(b) ± i)−1 depend in a strongly continuous way on b ∈ B. Assume that for each b ∈ B there is given a symmetric operator K(b) with dom D(b) ⊂ dom K(b) such that K(b)(D(b) + i)−1 is compact and depends continuously on b. Then for each φ ∈ C0 (R) φ(D) − φ(D + K) ∈ C(B, K(H)) . Proof. It is enough to prove the assertion for the functions (x±i)−1 . Since Dom D = Dom(D + K), the previous proposition implies that (D(b) + K(b) ± i)−1 depends in a strongly continuous way on b. Hence (D(b)+ K(b)± i)−1 − (D(b)± i)−1 = −(D(b)+ K(b)± i)−1K(b)(D(b)± −1 i) is compact and depends continuously on b ∈ B. Lemma 1.3. Let X be a topological space. Let D : X → S(H) be a map such that the resolvents (D(x) ± i)−1 ∈ B(H) depend continuously on x ∈ X. Then φ(D(x)) depends continuously on x for any φ ∈ C0 (R).

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Proof. This follows again from the fact that the functions (x + i)−1 and (x − i)−1 generate a dense subalgebra of C0 (R). In particular, if D : X → B(H) is a continuous map such that D(x) is selfadjoint for each x ∈ X, then f (D(x)) depends continuously on x for all f ∈ C(R). Recall that the gap topology on S(H) is the weakest topology such that the maps S(H) → B(H), D → (D + i)−1 , S(H) → B(H), D → (D − i)−1 are continuous. We denote by S(H)gap resp. SF (H)gap the set S(H) resp. SF (H) equipped with the gap topology. We refer to [BLP] for its properties. In the following we introduce a new topology on S(H). Let φ ∈ Cc∞ (R) be an even function with supp φ = [−1, 1] and with φ (x) > 0 for x ∈ (−1, 0). Define φn ∈ Cc∞ (R) by φn (x) := φ(nx) for n ∈ N. Let Sn (H) be the set S(H) endowed with the weakest topology such that the maps Sn (H) → H, D → (D + i)−1 x , Sn (H) → H, D → (D − i)−1 x , Sn (H) → B(H), D → φn (D) are continuous for all x ∈ H. For any even function ψ ∈ Cc (R) with supp ψ ⊂ (− n1 , n1 ) there is g ∈ Cc (R) with g(0) = 0 such that ψ = g ◦ φn . Hence Sn (H) → B(H), D → ψ(D) is continuous. We will often make use of this property. It implies that the inclusion Sm (H) → Sn (H) is continuous for m ≤ n. Let S(H) be the set S(H) endowed with the direct limit topology. Define SFn (H) := {D ∈ SF (H) | φn (D) ∈ K(H)} and denote by SFn (H) the set SFn (H) endowed with the subspace topology of Sn (H). Let SF(H) be the inductive limit of the spaces SFn (H). An operator D ∈ S(H) is Fredholm if and only if FD is invertible in B(H)/K(H), and this is equivalent to φn (D) ∈ K(H) for n big enough. Hence the underlying set of SF(H) is SF (H). If D : B → S(H) is continuous, then f (D) : B → S(H) is continuous for any odd non-decreasing continuous function f : R → R with f −1 (0) = {0}. This can be seen as follows: Assume that D : B → Sn (H) is continuous. Since (f ± i)−1 ∈ C(R), we get from Prop. 1.1 that (f (D) ± i)−1 x : B → H is continuous for any x ∈ H. Furthermore for m big enough supp(φm ◦ f ) ⊂ (− n1 , n1 ), hence φm (f (D)) : B → B(H) is continuous. In particular the bounded transform B → S(H), b → FD(b) is continuous. The example of Fuglede presented in [BLP] shows that the bounded transform of a gap continuous family is in general not gap continuous.


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We need the following technical lemmata. Lemma 1.4. Assume that D : B → SFn (H) is continuous. Then for ψ ∈ Cc (R) with supp ψ ⊂ (− n1 , n1 ) we have that ψ(D) : B → K(H) is continuous. Proof. This follows from an elementary argument in the theory of Hilbert C ∗ modules: Let B(C(B, H)) be the algebra of strongly continuous families of bounded operators on H with parameter space B and with adjoint depending in a strongly continuous way on the parameter. Endowed with the supremum norm this is a C ∗ -algebra and C(B, K(H)) defines a closed ideal in B(C(B, H)). Let π : B(C(B, H)) → B(C(B, H))/C(B, K(H)) be the projection. Let g ∈ C(R) with g(0) = 0 be such that ψ 2 = g ◦ φn . We have that π(φn (D)) = 0, hence π(ψ(D))2 = g(π(φn (D))) = 0. Since π(ψ(D)) is selfadjoint in the C ∗ algebra B(C(B, H))/C(B, K(H)), it follows that π(ψ(D)) = 0, hence ψ(D) ∈ C(B, K(H)). Lemma 1.5. If (Fb )b∈B is a strongly continuous family of bounded selfadjoint operators such that (b → Fb2 − 1) ∈ C(B, K(H)), then for any function φ ∈ C(R) with φ(1) = φ(−1) = 1 we have that (b → φ(Fb ) − 1) ∈ C(B, K(H)). Proof. The argument is similar to the proof of Lemma 1.4. We use its notation. We have that π((Fb )b∈B )2 = 1; hence the spectrum of π((Fb )b∈B ) is a subset of {−1, 1}; thus φ(π((Fb )b∈B )) − 1 = 0. Since φ(π((Fb )b∈B )) = π((φ(Fb ))b∈B ), it follows that (b → φ(Fb ) − 1) ∈ C(B, K(H)). The following two properties of the space SF(H) are useful: • Assume that D : B → SF(H) is continuous and that B % b → U (b) is a map with values in the group of unitaries of B(H) such that U (b) depends in a strongly continuous way on b. Then U DU ∗ : B → SF(H) is continuous. • If D : B → SF(H) is continuous, then f (D) : B → SF(H) is continuous for any non-decreasing continuous function f : R → R with f −1 (0) = {0}. The first property follows from the fact that the composition of a continuous family of compact operators with of a strongly continuous family of bounded operators is again continuous if the parameter space is compact. Furthermore since U is bounded below, the adjoint depends also in a strongly continuous way on b. Note that the second property does not assume the function to be odd. Taking Lemma 1.4 into account one proves the property analogously to the corresponding one for S(H) from above. Lemma 1.6. Let D : B → SF(H) be continuous. Then there is an odd nondecreasing function χ ∈ C(R) with χ−1 (0) = {0} and limx→∞ χ(x) = 1 such that χ(D)2 − 1 : B → K(H) is continuous. Proof. There is n ∈ N such that D : B → SFn (H) is continuous. Then any nondecreasing χ ∈ C(R) with χ−1 (0) = {0} and such that supp(χ2 − 1) ⊂ (− n1 , n1 ) works.

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Definition 1.7. Let D : B → SF(H) be continuous. Then a function χ fulfilling the conditions of the previous lemma is called a normalizing function for D. The terminology is borrowed from [HR]. The definition in [HR] is different since it applies to a different class of operators, but the underlying idea is the same. The definition of the spaces S(H) and SF(H) generalizes in a straightforward way to the case where H is a Hilbert C ∗ -module. In this case we assume the unbounded operators to be regular. The spaces S(H) of S(H)gap share many properties as we will see in the following. We omit some details since the arguments resemble those in [BLP]. First we note that SF(H) is path-connected since SF (H)gap is path-connected by [BLP, Th. 1.10]. Let D0 ∈ S(H). For n ∈ N and ε > 0 we define U (ε, n, D0 ) := {D ∈ S(H) | φn (D) − φn (D0 ) < ε} . This is an open neighbourhood of D0 in Sn (H). Let (a, b) ⊂ R be in the resolvent set of φn (D0 ). Then there is ε > 0 such that (a, b) is in the resolvent set of φn (D) for all D ∈ U (ε, n, D0 ). Hence φ−1 n ((a, b)) is in the resolvent set of D for all D ∈ U (ε, n, D0 ). Furthermore if μ ∈ φ−1 n ((a, b)), μ > 0, then also −μ ∈ φ−1 n ((a, b)) and U (ε, n, D0 ) → B(H), D → 1[−μ,μ] (D) is continuous. This implies the following lemma, which will be used for the definition of the spectral flow: Lemma 1.8. If D0 ∈ SFn (H) and μ ∈ (0, n1 ) is such that ±μ are in the resolvent set of D0 , then there is ε > 0 such that ±μ are in the resolvent set of D for all D ∈ U (ε, n, D0 ). Furthermore 1[−μ,μ] (D) has finite-dimensional range for all D ∈ U (ε, n, D0 ) and the map Sn (H) ⊃ U (ε, n, D0 ) → K(H), D → 1[−μ,μ] (D) is continuous. In particular all operators in U (ε, n, D0 ) are Fredholm. Note that for a given D0 ∈ SFn (H) a μ fulfilling the assumption of the lemma always exists since the spectrum of D0 near zero is discrete. Proposition 1.9. 1. The identity induces a continuous map S(H)gap → S(H). 2. The space SF (H) is open in S(H). 3. The identity induces a homeomorphism from S(H) ∩ SF (H) to SF(H). Proof. The first assertion is a consequence of Lemma 1.3. The second assertion follows from the previous lemma and the subsequent remark. Since the remark is in general wrong for a Hilbert C ∗ -module, we give another argument which also works for Hilbert C ∗ -modules: Let D0 ∈ SFn (H) and let χ be a normalizing function for D0 with supp(χ2 −1) ⊂ (− n1 , n1 ). Then χ(D0 )2 is invertible in B(H)/K(H). Furthermore, since Sn (H) → B(H), D → (χ(D)2 − 1)


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is continuous, also Sn (H) → B(H)/K(H), D → χ(D)2 is continuous. Hence there is an open neighbourhood U of D0 in Sn (H) such that χ(D)2 is invertible in B(H)/K(H) for all D ∈ U . This implies that all D ∈ U are Fredholm. The proof of the third assertion is similar and left to the reader. We denote the space of (not necessarily selfadjoint) Fredholm operators on H by F (H). We identify F (H) with a subspace of SF (H ⊕ H) via the injection

0 D∗ F (H) → SF (H ⊕ H), D → . D 0 Note that if D ∈ F (H) and f : R → R is an odd non-decreasing continuous function with f −1 (0) = {0}, then f (D) ∈ F (H) is well defined. The space F (H) endowed with the subspace topology of SF(H ⊕ H) is denoted by F(H). For topological spaces X, Y we denote by [X, Y ] the set of homotopy classes of continuous maps from X to Y . Theorem 1.10. 1. The space SF(H) represents the functor B → K 1 (B) from the category of compact spaces to the category of abelian groups. 2. The space F(H) represents the functor B → K 0 (B) from the category of compact spaces to the category of abelian groups. Proof. We use the notation of [Jo]: Let KCsa (H) (where KC stands for “Kasparov cycles”) be the space of selfadjoint bounded operators F on H with F ≤ 1 and F 2 − 1 ∈ K(H) and endow it with the weakest topology such that the maps KCsa (H) → H, F → F x , KCsa (H) → K(H), F → F 2 − 1 are continuous for all x ∈ H. The inclusion KCsa (H) → SF(H) is continuous. Let KC(H) be the space of bounded operators F such that F ≤ 1 and F ∗ F − 1, F F ∗ − 1 ∈ K(H). Consider KC(H) as a subspace of KCsa (H ⊕ H) as above. By [Jo, Theorem 3.4], which is based on results of Bunke–Joachim–Stolz, the space KCsa (H) represents the functor K 1 and the space KC(H) represents K 0 . (1) Let D : B → SF(H) be a continuous map. Let χ be a normalizing function for D and let χt (x) = (1 − t)x + tχ(x). Then B → KCsa (H), b → χ1 (D(b)) and [0, 1] × B → SF(H), (t, b) → χt (D(b)) are continuous (here we use Prop. 1.1). It follows that the map [B, KCsa (H)] → [B, SF(H)] induced by the inclusion KCsa (H) → SF(H) is surjective. For injectivity let h : [0, 1] × B → SF(H) be a homotopy between continuous maps B → KCsa (H), b → h(i, b), i = 0, 1. Let χ be a normalizing function for h such that χ(1) = 1 and let χt (x) = (1 − t)x+ tχ(x). Since χ2t (1)− 1 = χ2t (−1)− 1 = 0, Lemma 1.5 implies that the map B → K(H), b → χt (h(i, b))2 − 1

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is continuous for i = 0, 1. Furthermore χt (h(i, b))2 − 1 is continuous in t since χ2t − 1 depends continuously on t in C([0, 1]). Hence the map ([0, 1] × {0, 1} × B) ∪ ({1} × [0, 1] × B) → KCsa (H), (t, x, b) → χt (h(x, b)) is continuous and defines a homotopy in KCsa (H) between χ0 (h(0, ·)) = h(0, ·) and χ0 (h(1, ·)) = h(1, ·). (2) The proof is analogous with the obvious modifications. It follows that π0 (F(H)) ∼ = Z. As usual an isomorphism is given by the index map. The results in the following section will imply that an isomorphism [S 1 , SF(H)] → Z is given by the spectral flow. The proof of the previous proposition carries over to the case where H is the standard Hilbert A-module HA of a unital C ∗ -algebra A implying that SF(HA ) is a representing space of the functor B → K1 (C(B, A)) from the category of compact spaces to the category of abelian groups and F(HA ) is a representing space for B → K0 (C(B, A)). The corresponding statements for SF (HA )gap have been proven in [Jo]. In the following we give two examples of maps with values in SF (H) that are continuous in SF(H) but not gap continuous. Both arise from elliptic differential operators on a noncompact manifold. Example. Let H = L2 (R) and let f ∈ C ∞ (R) be nonconstant, real-valued and bounded below by some c > 0. Set ft (x) = f (tx) for t ∈ [0, 1]. We define D(t) on L2 (R) to be the multiplication by ft . The path D : [0, 1] → SF (H) is not gap continuous at t = 0, but it is continuous as a path in SF(H). Even if the resolvents are compact, they need not depend in a continuous way of t: Example. Let H = L2 (R, C2 ). Let f ∈ C0∞ (R) be a nonnegative function and let g ∈ C ∞ (R) with g ≥ 0, g(0) = 1, g(1) = 0 and g(x) = 1 for |x| ≥ 2. Define ψt (x) := g(tx) f (x) + 1 for t ∈ [0, 1]. Note that ψt (x) is continuous in t and x. Define D(t) to be the closure of

0 ψt (1 − ∂x2 ) : Cc∞ (R, C2 ) → L2 (R, C2 ) . 0 (1 − ∂x2 )ψt Since ψ1t ∈ C0 (R), the operator ψ1t (1 − ∂x2 )−1 is compact on L2 (R) for any t, hence D(t)−1 is compact for any t. Furthermore D(t)−1 is uniformly bounded. Thus [0, 1] → SF(H), t → D(t) is continuous. It is easy to check that D(t)−1 is not continuous in t at t = 0. Hence D is not gap continuous. Note that these examples have in common that the coefficients are continuous as maps from [0, 1] to Cloc (R) but not continuous (in the second example even not well defined) as maps from [0, 1] to C(R). See [W, §6] for criteria for the continuity in SF(H) of families of elliptic operators on noncompact Riemannian manifolds and families of well-posed boundary value problems.


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2. Spectral flow In the following we generalize the definition of the spectral flow in [BLP], which is based on the approach of [P], to continuous paths in SF(H). Definition 2.1. Let (Dt )t∈[a,b] be a continuous path in SF(H) and assume that there is μ > 0 such that ±μ are in the resolvent set of Dt for all t ∈ [a, b] and 1[−μ,μ] (Dt ) has finite-dimensional range. We define sf((Dt )t∈[a,b] ) = dim Ran(1[0,μ] (Db )) − dim Ran(1[0,μ] (Da )) . If (Dt )t∈[a,b] is a general continuous path in SF(H), then we define its spectral flow by cutting the path into smaller pieces to which the previous situation applies and adding up the contributions of the pieces. (This is always possible by Lemma 1.8 and the subsequent remark.) Well-definedness can be proven as in [P]. The spectral flow has the following properties: 1. It is additive with respect to concatenation of paths. 2. For any non-decreasing continuous function f : R → R with f −1 (0) = {0} sf((Dt )t∈[a,b] ) = sf((f (Dt ))t∈[a,b] ) . 3. If (Ut )t∈[a,b] is a strongly continuous path of unitaries on H, then sf((Ut Dt Ut∗ )t∈[a,b] ) = sf((Dt )t∈[a,b] ) . 4. If Dt is invertible for all t ∈ [a, b], then sf((Dt )t∈[a,b] ) = 0 . 5. If (D(s,t) )(s,t)∈[0,1]×[a,b] is a continuous family in SF(H) such that D(s,a) and D(s,b) are invertible for all s ∈ [0, 1], then sf((D(0,t) )t∈[a,b] ) = sf((D(1,t) )t∈[a,b] ) . 6. If (D(s,t) )(s,t)∈[0,1]×[a,b] is a continuous family in SF(H) such that D(s,a) = D(s,b) for all s ∈ [0, 1], then sf((D(0,t) )t∈[a,b] ) = sf((D(1,t) )t∈[a,b] ) . The proof of the first three properties is not difficult and is left to the reader. The fourth property follows from the fact that by Lemma 1.8 and by compactness of [a, b] there is δ > 0 such that [−δ, δ] is a subset of the resolvent set of Dt for all t ∈ [a, b] if Dt is invertible for all t ∈ [a, b]. The following proposition implies the last two properties, namely homotopy invariance: Proposition 2.2. If (D(s,t) )(s,t)∈[0,1]×[a,b] is a continuous family in SF(H), then sf((D(0,t) )t∈[a,b] ) + sf((D(s,b) )s∈[0,1] ) − sf((D(1,t) )t∈[a,b] ) − sf((D(s,a) )s∈[0,1] ) = 0 . Proof. Let n ∈ N be such that the family (D(s,t) )(s,t)∈[0,1]×[a,b] is continuous in SFn (H).

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If there is μ ∈ (0, n1 ) such that ±μ are in the resolvent set of D(s,t) for all (s, t) ∈ [0, 1] × [a, b], then 1[−μ,μ] (D(s,t) ) has finite-dimensional range for all (s, t) and the assertion follows from the definition of the spectral flow. In general we find, by compactness of [0, 1]×[a, b] and by Lemma 1.8, an n ∈ N such that each of the rectangles [ (m1n−1) , mn1 ] × [a + (b − a) m2n−1 , a + (b − a) mn2 ] with m1 , m2 = 1, 2 . . . n has the following property: There is a μ ∈ (0, n1 ) such that ±μ are in the resolvent set of D(s,t) for all points (s, t) of the rectangle. Hence for each of the rectangles an analogue of the formula holds by the previous argument. Since for fixed n these rectangles constitute a subdivision of [0, 1] × [a, b], the formula follows from the additivity of the spectral flow with respect to concatenation. We draw some conclusions in the following two propositions. See [Le, §3] for similar results. If P, Q are projections with P − Q ∈ K(H), then QP : P (H) → Q(H) is Fredholm with parametrix P Q. Let ind(P, Q) := ind(QP : P (H) → Q(H)) . It is well known that sf((t(2P − 1) + (1 − t)(2Q − 1))t∈[0,1] ) = ind(P, Q) . Proposition 2.3. Let (Pt )t∈[0,1] , (Qt )t∈[0,1] be strongly continuous paths of projections on H such that Pt − Qt is compact and continuous in t. Then ind(P0 , Q0 ) = ind(P1 , Q1 ) . Proof. First we prove that the family (F(s,t) )(s,t)∈[0,1]2 defined by F(s,t) := t(2Ps − 1) + (2t − 1)(2Qs − 1) is continuous in SF(H): Clearly F(s,t) depends in a strongly continuous way on (s, t). Hence, by Prop. 1.1, the operators (F(s,t) ± i)−1 depend in a strongly continuous way on (s, t) as well. Furthermore F(s,t) − (2Ps − 1) is a compact operator depending continuously on (s, t). This and Lemma 1.2 imply that φn (F(s,t) ) − φn ((2Ps − 1)) is a compact operator depending continuously on (s, t) for any n ∈ N. From φn ((2Ps − 1)) = 0 it follows that φn (F(s,t) ) is a compact operator depending continuously on (s, t). This shows the continuity. Now by homotopy invariance sf((t(2P0 − 1) + (1 − t)(2Q0 − 1))t∈[0,1] ) = sf((t(2P1 − 1) + (1 − t)(2Q1 − 1))t∈[0,1] ) . The following technical lemma, which is an immediate consequence of [Le, Prop. 3.4] and Lemma 1.2, is needed for the proof of the subsequent proposition: Lemma 2.4. Let D ∈ S(H) and let K be a symmetric operator with dom D ⊂ dom K and such that K(D + i)−1 is compact. Then f (D + K) − f (D) ∈ K(H) for each function f ∈ C(R) for which lim f (x) and lim f (x) exist. x→∞

x→−∞


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Proposition 2.5. Let (Dt )t∈[a,b] be a continuous path in SF(H) with invertible endpoints and assume given a path of symmetric operators (Kt )t∈[a,b] with dom Dt ⊂ dom Kt for all t ∈ [a, b] such that Kt (Dt + i)−1 is compact and continuous in t and such that Dt + Kt is invertible for each t ∈ [a, b]. Then sf((Dt )t∈[a,b] ) = ind(1≥0 (Db ), 1≥0 (Db + Kb )) − ind(1≥0 (Da ), 1≥0 (Da + Ka )) . Proof. Let n be such that (Dt )t∈[a,b] is a continuous path in SFn (H). Lemma 1.2 implies that φn (Dt ) − φn (Dt + Kt ) is compact and continuous in t. In particular (Dt + Kt )t∈[a,b] is a continuous path in SFn (H). Since each Dt + Kt is invertible, by property (4) of the spectral flow sf((Dt + Kt )t∈[a,b] ) = 0 . Let ψ ∈ C(R) with ψ|(−∞, 13 ] = 0 and ψ|[ 23 ,∞) = 1. By homotopy invariance and additivity with respect to concatenation the spectral flow of the path (Dt )t∈[a,b] equals the spectral flow of the path ˜ t = Da + ψ(t − a + 1)Ka for t ∈ [a − 1, a], D ˜ t = Db + ˜ t )t∈[a−1,b+1] with D (D ˜ t = Dt + Kt for t ∈ [a, b]. Furthermore by (1 − ψ(t − b))Kb for t ∈ [b, b + 1] and D additivity with respect to concatenation and since sf((Dt + Kt )t∈[a,b] ) = 0, ˜ t )t∈[a,b] ) = sf((D ˜ t )t∈[a−1,a] ) + sf((D ˜ t )t∈[b,b+1] ) . sf((D ˜ t )t∈[a−1,a] ): Let χ ∈ C ∞ (R) be a normalizing function for We calculate sf((D ˜ (Dt )t∈[a−1,a] such that χ(Da ) = 2 · 1≥0 (Da ) − 1 and χ(Da + Ka ) = 2 · 1≥0 (Da + Ka ) − 1. By the previous lemma χ(Da ) − χ(Da + Ka ) ∈ K(H). Then ˜ t )t∈[a−1,a] ) sf((D

˜ t ))t∈[a−1,a] ) = sf((χ(D = sf(((1 − t)χ(Da ) + tχ(Da + Ka ))t∈[0,1] ) = ind(1≥0 (Da + Ka ), 1≥0 (Da )) ,

where the second equality follows from homotopy invariance and the third from ˜ t )t∈[b,b+1] ) = ind(1≥0 (Db ), the equation preceding Prop. 2.3. Analogously sf((D 1≥0 (Db + Kb )). Under slightly more restricted conditions (since the previous lemma has not been proven for Hilbert C ∗ -modules – the author did not check whether the rather complicated proof of [Le, Prop. 3.4] carries over) the statement of the proposition makes sense on a Hilbert C ∗ -module and was used as a definition of the noncommutative spectral flow in [W]. In the following we express the spectral flow in terms of a winding number. Let S 1 = [0, 1]/0∼1 with the standard smooth structure. Let U(H) ⊂ B(H) be the group of unitaries and let UK (H) = {U ∈ U(H) | U − 1 ∈ K(H)} .

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extending the classical winding number. In fact, if s : S 1 → UK (H) fulfills (x → s(x)−1) ∈ C 1 (S 1 , l1 (H)), where l1 (H) ⊂ B(H) is the ideal of trace class operators endowed with the trace class norm, then 1 1 w(s) = Tr(s(x)−1 s (x)) dx . 2πi 0 Proposition 2.6. Let (Dt )t∈[0,1] be a continuous path in SF(H) with invertible endpoints. Let χ ∈ C(R) be a normalizing function for the map t → Dt such that χ(D0 ) and χ(D1 ) are involutions. Then sf((Dt )t∈[0,1] ) = w([eπi(χ(Dt )+1) ]) . If (Dt )t∈[0,1] is a continuous path in SF(H) with D0 = D1 (not necessarily invertible), then the equation holds for any normalizing function of t → Dt . Proof. The term on the right-hand side is well defined by Lemma 1.5. We make use of the space KCsa (H), which was defined in the proof of Theorem 1.10. Let (Dt )t∈[0,1] be a continuous path in SF(H) with invertible endpoints. Since for any normalizing function χ of t → Dt sf((Dt )t∈[0,1] ) = sf((χ(Dt ))t∈[0,1] ) , we only have to show that for any continuous path (Ft )t∈[0,1] in KCsa (H) such that F0 , F1 are involutions sf((Ft )t∈[0,1] ) = w([eπi(Ft +1) ]) .

(∗)

Both sides of this equation remain unchanged if we replace (Ft )t∈[0,1] by (Ft ⊕ I)t∈[0,1] , where I is an involution on H with infinite-dimensional eigenspaces. Hence we may assume that the eigenspaces of F0 , F1 are infinite-dimensional. Then there is a unitary U with F0 = U F1 U ∗ . Furthermore by the contractibility of U(H) there is a continuous path (Ut )t∈[1,2] of unitaries, unique up to homotopy, with U1 = 1 ∗ for t ∈ [ 12 , 1]. The and U2 = U . Define Gt = F2t for t ∈ [0, 12 ] and Gt = U2t F1 U2t path (Gt )t∈[0,1] is a loop in KCsa (H) with sf((Ft )t∈[0,1] ) = sf((Gt )t∈[0,1] ) and w([eπi(Ft +1) ]) = w([eπi(Gt +1) ]) . Thus it is enough to prove equation (∗) for loops in KCsa (H). This will also show the second assertion of the proposition. By homotopy invariance of the winding number and of the spectral flow for loops (see property (6)) and by [S 1 , KCsa (H)] ∼ = K 1 (S 1 ) ∼ = Z it is sufficient to verify equation (∗) for some loop in KCsa (H) whose class generates K 1 (S 1 ). For example one can use the loop (Gt )t∈[0,1] arising as above from Ft = − cos(πt)P + (1 − P ), where P is a projection whose range has dimension one. In this case equation (∗) is well known since (Gt )t∈[0,1] is a norm-continuous path.


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References [A] M.F. Atiyah, K-theory, W.A. Benjamin, Inc., 1967. [APS] M.F. Atiyah & V.K. Patodi & I.M. Singer, Spectral asymmetry and Riemannian geometry III, Math. Proc. Camb. Philos. Soc. 79 (1976), 71–99. [AS] M.F. Atiyah & I.M. Singer, Index theory for skew-adjoint Fredholm operators, Inst. ´ Hautes Etudes Sci. Publ. Math. 37 (1969), 5–26. [BLP] B. Booss-Bavnbek & M. Lesch & J. Phillips, Unbounded Fredholm operators and spectral flow, Canad. J. Math. 57 (2005), 225–250. [HR] N. Higson & J. Roe, Analytic K-homology, Oxford Mathematical Monographs. Oxford University Press, 2000. [J] K. J¨ anich, Vektorraumb¨ undel und der Raum der Fredholm-Operatoren, Math. Ann. 161 (1965), 129–142. [Jo] M. Joachim, Unbounded Fredholm operators and K-theory, High-dimensional manifold topology, World Sci. Publishing, 2003, 177–199. [Le] M. Lesch, The uniqueness of the spectral flow on spaces of unbounded self-adjoint Fredholm operators, Spectral geometry of manifolds with boundary and decomposition of manifolds, Contemp. Math. 366, Amer. Math. Soc., 2005, 193–224. [P] J. Phillips, Self-adjoint Fredholm operators and spectral flow, Canad. Math. Bull. 39 (1996), 460–467. [W] C. Wahl, On the noncommutative spectral flow, J. Ramanujan Math. Soc. 22 (2007), 135–187. Charlotte Wahl Leibniz-Archiv Waterloostr. 8 30169 Hannover, Germany e-mail: [email protected]

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