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# Entropy and induced dynamics on state spaces

## 1. Introduction

Entropy is a numerical invariant measuring the complexity of a dynamical system. For homeomorphisms of a compact metric space, topological entropy can be defined using either open covers  or separated and spanning sets . For automorphisms of unital nuclear $`C^{}`$-algebras, a notion of entropy based on approximation was introduced by Voiculescu , and this was subsequently extended to automorphisms of exact $`C^{}`$-algebras by Brown . By \[29, Prop. 4.8\] the topological entropy of a homeomorphism $`T`$ of a compact metric space $`X`$ coincides with the Voiculescu-Brown entropy of the automorphism $`ffT`$ of $`C(X)`$. In other words, the Voiculescu-Brown entropy of an automorphism of a separable unital commutative $`C^{}`$-algebra coincides with the topological entropy of the induced homeomorphism on the pure state space. This paper is principally aimed at examining the relationship between the Voiculescu-Brown entropy of an automorphism of a general unital exact $`C^{}`$-algebra and the topological entropy of the induced homeomorphism on the state space (or quasi-state space if we drop the requirement that the algebra be unital) with the hope of being able to obtain information about one from information about the other.

A basic problem in dynamics is to determine whether or not a given system has positive entropy, i.e., whether or not it is “chaotic”. In  Glasner and Weiss proved that if a homeomorphism of a compact metric space has zero topological entropy, then the induced homeomorphism on the space of probability measures also has zero topological entropy. We thus have in this case that zero Voiculescu-Brown entropy implies zero topological entropy on the state space. Our main result (Theorem 3.3) shows that this implication holds for automorphisms of any separable unital exact $`C^{}`$-algebra, and moreover asserts that, in the general separable exact setting, zero Voiculescu-Brown entropy implies zero topological entropy on the unit ball of the dual (which is in fact equivalent to zero topological entropy on the quasi-state space—see Lemma 2.2 and the paragraph preceding it). This has the particular consequence that if an automorphism $`\alpha `$ of a $`C^{}`$-algebra has positive topological entropy on the quasi-state space (for example, if $`\alpha `$ arises from a homeomorphism of a compact metric space with positive topological entropy), then any automorphism of a separable exact $`C^{}`$-algebra which can be obtained from $`\alpha `$ as a dynamical extension will have positive Voiculescu-Brown entropy. Thus in many cases we can obtain some information about the behaviour of Voiculescu-Brown entropy under taking noncommutative dynamical extensions, about which little seems to be known in general (it is unknown whether Voiculescu-Brown entropy can strictly decrease, or even become zero, under taking dynamical extensions of a positive entropy system).

The main body of the paper is divided into three parts. In Section 2 we recall the definition of topological entropy and show that, for an automorphism of a unital $`C^{}`$-algebra, the entropy of the induced homeomorphism on the state space is either zero or infinity. As an example we demonstrate that the shift on the full group $`C^{}`$-algebra $`C^{}(𝔽_{\mathrm{}})`$ of the free group on countably many generators falls into the latter case. In Section 3 we begin by recalling the definition of Voiculescu-Brown entropy and then proceed to the proof of our main result, for which we develop a matrix version of an argument from  that uses results from the local theory of Banach spaces. In our case the key geometric fact concerns the relationship between $`n`$ and $`k`$ given an approximately isometric embedding of $`\mathrm{}_1^n`$ into the space of $`k\times k`$ matrices with the $`p=\mathrm{}`$ Schatten norm. We round out Section 3 with some applications and examples. In particular we show that the shift on the reduced group $`C^{}`$-algebra $`C_r^{}(𝔽_{\mathrm{}})`$ has zero topological entropy on the state space in contrast to its full group $`C^{}`$-algebra counterpart. Finally, in Section 4 we apply our main result (or rather a local version that follows from the same proof) to show that the topological Pinsker algebra from topological dynamics admits a simple description in terms of local Voiculescu-Brown entropy.

Acknowledgements. This work was supported by the Natural Sciences and Engineering Research Council of Canada and was carried during stays at the University of Tokyo and the University of Rome “La Sapienza” over the academic years 2001–2002 and 2002–2003, respectively. I thank Yasuyuki Kawahigashi at the the University of Tokyo and Claudia Pinzari at the University of Rome “La Sapienza” for their generous hospitality. I thank Nate Brown and Hanfeng Li for helpful comments and Nicole Tomczak-Jaegermann for providing Lemma 3.1. I also thank one of the referees for valuable suggestions regarding the connection with the local theory of Banach spaces, and in particular for drawing my attention to the references  and suggesting Lemma 3.2, which, superceding our original lemma, captures the geometric phenomena underlying Theorem 3.3 in a general Banach space framework.

## 2. Topological entropy and state space dynamics

To start with we recall the definition of topological entropy for a homeomorphism $`T`$ of a compact metric space $`(X,d)`$ (see  for general references). For an open cover $`𝒰`$ of $`X`$ we denote by $`N(𝒰)`$ the smallest cardinality of a subcover and set

$$h_{_{\text{top}}}(T,𝒰)=\underset{n\mathrm{}}{lim}\frac{1}{n}\mathrm{log}N(𝒰T^1𝒰\mathrm{}T^{(n1)}𝒰),$$

and we define the topological entropy of $`T`$ by

$$h_{_{\text{top}}}(T)=\underset{𝒰}{sup}h_{_{\text{top}}}(T,𝒰)$$

where the supremum is taken over all finite open covers $`𝒰`$. We may equivalently express the topological entropy in terms of separated and spanning sets as follows. A set $`EX`$ is said to be $`(n,\epsilon )`$-separated (with respect to $`T`$) if for every $`x,yE`$ with $`xy`$ there exists a $`0kn1`$ such that $`d(T^kx,T^ky)>\epsilon `$, and $`(n,\epsilon )`$-spanning (with respect to $`T`$) if for every $`xX`$ there is a $`yE`$ such that $`d(T^kx,T^ky)\epsilon `$ for each $`k=0,\mathrm{},n1`$. Denoting by $`\mathrm{sep}_n(T,\epsilon )`$ the largest cardinality of an $`(n,\epsilon )`$-separated set and by $`\mathrm{spn}_n(T,\epsilon )`$ the smallest cardinality of an $`(n,\epsilon )`$-spanning set, we then have

$$h_{_{\text{top}}}(T)=\underset{\epsilon >0}{sup}\underset{n\mathrm{}}{lim\; sup}\frac{1}{n}\mathrm{log}\mathrm{sep}_n(T,\epsilon )=\underset{\epsilon >0}{sup}\underset{n\mathrm{}}{lim\; sup}\frac{1}{n}\mathrm{log}\mathrm{spn}_n(T,\epsilon ).$$

Let $`A`$ be a unital $`C^{}`$-algebra. We denote by $`S(A)`$ the state space of $`A`$, i.e., the convex set of positive linear functionals $`\varphi `$ on $`A`$ with $`\varphi (1)=1`$. We equip $`S(A)`$ with the weak topology, under which it is compact. Given a automorphism $`\alpha `$ of $`A`$ we will denote by $`T_\alpha `$ the homeomorphism of $`S(A)`$ given by $`T_\alpha (\sigma )=\sigma \alpha `$ for all $`\sigma S(A)`$.

The following result is a generalization of the proposition on p. 422 of  (which treats homeomorphisms of compact metric spaces), and in fact the same proof also works here. For convenience we will give a version of the argument in our broader context.

###### Proposition 2.1.

Let $`A`$ be a separable unital $`C^{}`$-algebra and $`\alpha `$ an automorphism of $`A`$. Then either $`h_{_{\text{top}}}(T_\alpha )=0`$ or $`h_{_{\text{top}}}(T_\alpha )=\mathrm{}`$.

###### Proof.

We define a metric $`d`$ on the dual $`A^{}`$ by taking a dense sequence $`x_1,x_2,x_3,\mathrm{}`$ in the unit ball of $`A`$ and setting

$$d(\sigma ,\omega )=\underset{i=1}{\overset{\mathrm{}}{}}2^i|\sigma (x_i)\omega (x_i)|.$$

The metric $`d`$ is compatible with the weak topology on bounded subsets of $`A^{}`$.

Now suppose that $`h_{_{\text{top}}}(T_\alpha )>0`$. Then for some $`\epsilon >0`$ we have

$$\underset{n\mathrm{}}{lim\; sup}\frac{1}{n}\mathrm{log}\mathrm{sep}_n(T_\alpha ,\epsilon )>0.$$

Fix an $`r`$. Set $`\theta =(1\lambda )/(1\lambda ^r)`$, and choose a $`\lambda >0`$ with $`\lambda <\mathrm{min}(1,2^1\theta \epsilon )`$, and set

$$\epsilon ^{}=\theta \lambda ^{r1}(\epsilon 2\lambda \theta ^1)>0.$$

For each $`n`$ let $`E_nS(A)`$ be an $`(n,\epsilon )`$-separated set of largest cardinality, and consider the subset

$$E_n^r=\{\theta \underset{i=1}{\overset{r}{}}\lambda ^{i1}\sigma _i:\sigma _1,\mathrm{},\sigma _rE_n\}$$

of $`S(A)`$. We will show that $`E_n^r`$ is an $`(n,\epsilon ^{})`$-separated set of cardinality $`|E_n|^r`$.

Indeed suppose that $`(\sigma _1,\mathrm{},\sigma _r)`$ and $`(\omega _1,\mathrm{},\omega _r)`$ are distinct $`r`$-tuples of elements in $`E_n`$. Then for some $`1jr`$ we have $`\sigma _i=\omega _i`$ for each $`i=1,\mathrm{},j1`$ and $`\sigma _j\omega _j`$. Since $`E_n`$ is $`(n,\epsilon )`$-separated there is a $`0kn1`$ such that $`d(T_\alpha ^k\sigma _j,T_\alpha ^k\omega _j)>\epsilon `$. Observe that if $`j<r`$, then in view of the definition of the metric $`d`$ we have

$`d(T_\alpha ^k\left(\theta {\displaystyle \underset{i=j}{\overset{r}{}}}\lambda ^{i1}\sigma _i\right),T_\alpha ^k\left(\theta \lambda ^{j1}\sigma _j\right))`$ $`=d(T_\alpha ^k\left(\theta {\displaystyle \underset{i=j+1}{\overset{r}{}}}\lambda ^{i1}\sigma _i\right),0)`$
$`\theta {\displaystyle \underset{i=j+1}{\overset{r}{}}}\lambda ^{i1}`$
$`=\lambda ^j{\displaystyle \frac{1\lambda ^{rj}}{1\lambda ^r}}`$
$`\lambda ^j`$
and similarly $`d(T_\alpha ^k\left(\theta _{i=j}^r\lambda ^{i1}\omega _i\right),T_\alpha ^k(\theta \lambda ^{j1}\omega _j))\lambda ^j`$. Thus when $`j<r`$ we have

$`d(T_\alpha ^k\left(\theta {\displaystyle \underset{i=1}{\overset{r}{}}}\lambda ^{i1}\sigma _i\right),T_\alpha ^k\left(\theta {\displaystyle \underset{i=1}{\overset{r}{}}}\lambda ^{i1}\omega _i\right))`$
$`=d(T_\alpha ^k\left(\theta {\displaystyle \underset{i=j}{\overset{r}{}}}\lambda ^{i1}\sigma _i\right),T_\alpha ^k\left(\theta {\displaystyle \underset{i=j}{\overset{r}{}}}\omega ^{i1}\sigma _i\right))`$
$`d(T_\alpha ^k\left(\theta \lambda ^{j1}\sigma _j\right),T_\alpha ^k\left(\theta \lambda ^{j1}\omega _j\right))d(T_\alpha ^k\left(\theta {\displaystyle \underset{i=j}{\overset{r}{}}}\lambda ^{i1}\sigma _i\right),T_\alpha ^k\left(\theta \lambda ^{j1}\sigma _j\right))`$
$`d(T_\alpha ^k\left(\theta {\displaystyle \underset{i=j}{\overset{r}{}}}\lambda ^{i1}\omega _i\right),T_\alpha ^k\left(\theta \lambda ^{j1}\omega _j\right))`$
$`\theta \lambda ^{j1}d(T_\alpha ^k\sigma _j,T_\alpha ^k\omega _j)2\lambda ^j`$
$`\theta \lambda ^{j1}(\epsilon 2\lambda \theta ^1)`$
$`>\epsilon ^{},`$
while in the case $`j=r`$ the first expression in this display is simply $`\theta \lambda ^{r1}d(T_\alpha ^k\sigma _r,T_\alpha ^k\omega _r)`$, which again is strictly greater than $`\epsilon ^{}`$. It follows that $`E_n^r`$ is an $`(n,\epsilon ^{})`$-separated set of cardinality $`|E_n|^r`$ as we wished to show, and so

$$h_{_{\text{top}}}(T_\alpha )\underset{n\mathrm{}}{lim\; sup}\frac{1}{n}\mathrm{log}\mathrm{sep}_n(T_\alpha ,\epsilon ^{})r\underset{n\mathrm{}}{lim\; sup}\frac{1}{n}\mathrm{log}\mathrm{sep}_n(T_\alpha ,\epsilon )$$

Since $`r`$ was arbitrary we conclude that $`h_{_{\text{top}}}(T_\alpha )=\mathrm{}`$. ∎

We point out that the above argument can also be used to obtain the same dichotomy for the values of topological entropy among continuous maps of state spaces induced by positive unital linear maps of separable operator systems or order-unit spaces, as well as among homeomorphisms of quasi-state spaces induced by automorphisms of general separable $`C^{}`$-algebras (see Section 3).

As an example we will show that, for the shift on the full group $`C^{}`$-algebra $`C^{}(𝔽_{\mathrm{}})`$ of the free group on countably many generators, the topological entropy on the state space is infinite (Proposition 2.4). Although this is an immediate consequence of the fact that the $`C^{}`$-dynamical system arising from the topological $`2`$-shift is a $`C^{}`$-dynamical factor of the shift on $`C^{}(𝔽_{\mathrm{}})`$ (see the paragraph following Proposition 2.4), we will give here a more explicitly geometric proof in anticipation of the arguments in Section 3. In addition, the following two lemmas which we will require are of use in other situations. For example, Lemma 2.2 implies that the values of topological entropy on the state space and quasi-state space agree (see the second paragraph of Section 3), and its proof can also be used to show that the values of topological entropy on the quasi-state space and on the unit ball of the dual agree. Lemma 2.3, on the other hand, will be of convenience in Example 3.6.

###### Lemma 2.2.

Let $`A`$ be a separable unital $`C^{}`$-algebra and $`\alpha `$ an automorphism of $`A`$. Let $`S_\alpha `$ be the homeomorphism of the closed unit ball $`B_1(A^{})`$ of the dual of $`A`$ (with the weak topology) given by $`S_\alpha (\sigma )=\sigma \alpha `$. Then

$$h_{_{\text{top}}}(S_\alpha )=h_{_{\text{top}}}(T_\alpha ).$$

###### Proof.

Since $`T_\alpha `$ is the restriction of $`S_\alpha `$ to $`S(A)`$, we have $`h_{_{\text{top}}}(S_\alpha )h_{_{\text{top}}}(T_\alpha )`$. Thus, in view of Proposition 2.1, we need only show that $`h_{_{\text{top}}}(T_\alpha )=0`$ implies $`h_{_{\text{top}}}(S_\alpha )=0`$. Suppose then that $`h_{_{\text{top}}}(T_\alpha )=0`$. Let $`x_1,x_2,x_3,\mathrm{}`$ be a dense sequence in the unit ball of $`A`$ and define on $`A^{}`$ the metric

$$d(\sigma ,\omega )=\underset{i=1}{\overset{\mathrm{}}{}}2^i|\sigma (x_i)\omega (x_i)|,$$

which is compatible with the weak topology on bounded subsets of $`A^{}`$. Let $`\epsilon >0`$, and pick an integer $`r>\epsilon ^1`$. Let $`E_nS(A)`$ be an $`(n,\epsilon )`$-spanning set (with respect to $`T_\alpha `$) of smallest cardinality. Now if $`\tau B_1(A^{})`$ then we can write

$$\tau =\sigma _1\sigma _2+i(\sigma _3\sigma _4)$$

where each $`\sigma _j`$ is a positive linear functional of norm at most $`1`$ \[17, Thm. 4.3.6 and Cor. 4.3.7\]. Since $`E_n`$ is $`(n,\epsilon )`$-spanning, for each $`j=1,2,3,4`$ for which $`\sigma _j0`$ we can find an $`\omega _jE_n`$ such that

$$d(T_\alpha ^k\omega _j,T_\alpha ^k(\sigma _j/\sigma _j))\epsilon $$

for every $`k=0,\mathrm{},n1`$, and we can also find an $`m_j\{0,1,\mathrm{},r\}`$ such that $`\left|m_j/r\sigma _j\right|\epsilon `$, so that, for every $`k=0,\mathrm{},n1`$,

$`d(S_\alpha ^k((m_j/r)\omega _j),S_\alpha ^k\sigma _j)`$ $`d(S_\alpha ^k((m_j/r)\omega _j),S_\alpha ^k(\sigma _j\omega _j))`$
$`+d(S_\alpha ^k(\sigma _j\omega _j),S_\alpha ^k\sigma _j)`$
$`\left|m_j/r\sigma _j\right|+\sigma _jd(T_\alpha ^k\omega _j,T_\alpha ^k(\sigma _j/\sigma _j))`$
$`\epsilon +\sigma _j\epsilon `$
$`2\epsilon .`$
For any $`j=1,2,3,4`$ for which $`\sigma _j=0`$, let $`\omega _j`$ be any bounded linear functional on $`A`$ and set $`m_j=0`$. Set $`\tau ^{}=(m_1\omega _1m_2\omega _2+im_3\omega _3im_4\omega _4)/r`$. Then $`\tau ^{}4`$, and if $`\stackrel{~}{S}_\alpha `$ denotes the homeomorphism of the closed ball $`B_4(A^{})=\{\sigma A^{}:\sigma 4\}`$ given by $`\stackrel{~}{S}_\alpha (\sigma )=\sigma \alpha `$, then in view of the definition of the metric $`d`$ we have

$$d(\stackrel{~}{S}_\alpha ^k\tau ^{},\stackrel{~}{S}_\alpha ^k\tau )\underset{i=1}{\overset{4}{}}d(S_\alpha ^k((m_i/r)\omega _i),S_\alpha ^k\sigma _i)8\epsilon +8\epsilon =16\epsilon $$

for all $`k=0,\mathrm{},n1`$. Let $`F_n`$ be the subset of $`B_4(A^{})`$ consisting of all $`\tau ^{}`$ which arise in the above way with respect to some $`\tau B_1(A^{})`$. We have thus shown that $`F_n`$ is $`(n,16\epsilon )`$-spanning for $`B_1(A^{})`$ with respect to $`\stackrel{~}{S}_\alpha `$ (in the obvious sense which relativizes the definition of an $`(n,\epsilon )`$-spanning set to a subset of the space—see Definition 14.14 of ), and hence that the smallest cardinality $`\mathrm{spn}_n(\stackrel{~}{S}_\alpha ,16\epsilon ,B_1(A^{}))`$ of an $`(n,16\epsilon )`$-spanning set for $`B_1(A^{})`$ with respect to $`\stackrel{~}{S}_\alpha `$ is bounded above by $`|F_n|`$, which is in turn bounded above by $`|E_n|^{4(r+1)}`$. Since $`r`$ does not depend on $`n`$ we therefore obtain

$$\underset{n\mathrm{}}{lim\; sup}\frac{1}{n}\mathrm{log}\mathrm{spn}_n(\stackrel{~}{S}_\alpha ,16\epsilon ,B_1(A^{}))4(r+1)\underset{n\mathrm{}}{lim\; sup}\frac{1}{n}\mathrm{log}|E_n|=0.$$

Now Proposition 14.15 of  shows that the supremum of the first expression in the above display over all $`\epsilon >0`$ is in fact equal to the topological entropy of $`S_\alpha =\stackrel{~}{S}_\alpha |_{B_1(A^{})}`$, and so we conclude that $`h_{_{\text{top}}}(S_\alpha )=0`$, as desired. ∎

###### Lemma 2.3.

Let $`A`$ be a unital $`C^{}`$-algebra and $`\alpha `$ an automorphism of $`A`$. Suppose that there exists an $`xA`$ and a $`K1`$ such that, for each $`n`$, the linear map $`\mathrm{\Gamma }_n:\mathrm{}_1^n\mathrm{span}\{x,\alpha (x),\mathrm{},\alpha ^{n1}(x)\}`$ which sends the $`i`$th standard basis element of $`\mathrm{}_1^n`$ to $`\alpha ^{i1}(x)`$ for each $`i=1,\mathrm{},n`$ is an isomorphism whose inverse has norm at most $`K`$. Then $`h_{_{\text{top}}}(T_\alpha )=\mathrm{}`$.

###### Proof.

Let $`xA`$, $`K1`$, and $`\mathrm{\Gamma }_n`$ for $`n`$ be as in the hypotheses. For each $`n`$ we denote by $`\mathrm{\Lambda }_n`$ the collection of functions from $`\{0,\mathrm{},n1\}`$ to $`\{1,1\}`$. For each $`f\mathrm{\Lambda }_n`$ we define the linear functional $`\sigma _f`$ on $`\mathrm{span}(x,\alpha (x),\mathrm{},\alpha ^{n1}(x))`$ by specifying

$$\sigma _f\left(\alpha ^k(x)\right)=K^1f(k)$$

for each $`k=0,\mathrm{},n1`$. Since $`\mathrm{\Gamma }_n^1`$ has norm at most $`K`$, it follows that $`\sigma _f`$ has norm at most one. By the Hahn-Banach theorem we can extend $`\sigma _f`$ to an element $`\sigma _f^{}`$ in the dual $`A^{}`$ of norm at most one. Let $`𝒰`$ be the open cover of the closed unit ball $`B_1(A^{})`$ consisting of the two open sets

$$\{\sigma B_1(A^{}):|\sigma (x)K^1|<2K^1\},$$

$$\{\sigma B_1(A^{}):|\sigma (x)K^1|>K^1\}.$$

Let $`S_\alpha :B_1(A^{})B_1(A^{})`$ be the homeomorphism given by $`S_\alpha (\sigma )=\sigma \alpha `$. For every $`n`$, each element of $`𝒰S_\alpha ^1𝒰\mathrm{}S_\alpha ^{(n1)}𝒰`$ contains precisely one linear functional of the form $`\sigma _f`$ for $`f\mathrm{\Lambda }_n`$, from which it follows that

$$N(𝒰S_\alpha ^1𝒰\mathrm{}S_\alpha ^{(n1)}𝒰)=2^n.$$

Consequently

$$h_{_{\text{top}}}(S_\alpha )\underset{n\mathrm{}}{lim}\frac{1}{n}\mathrm{log}N(𝒰S_\alpha ^1𝒰\mathrm{}S_\alpha ^{(n1)}𝒰)=\mathrm{log}2,$$

and so $`h_{_{\text{top}}}(T_\alpha )=\mathrm{}`$ by Lemma 2.2 and Proposition 2.1. ∎

Let $`\{u_i\}_i`$ be the set of canonical unitaries associated to the generators in the full group $`C^{}`$-algebra $`C^{}(𝔽_{\mathrm{}})`$. The shift $`\alpha `$ on $`C^{}(𝔽_{\mathrm{}})`$ is the automorphism defined by specifying $`\alpha (u_i)=u_{i+1}`$ for all $`i`$.

###### Proposition 2.4.

For the shift $`\alpha `$ on $`C^{}(𝔽_{\mathrm{}})`$ we have

$$h_{_{\text{top}}}(T_\alpha )=\mathrm{}.$$

###### Proof.

For each $`n`$, the linear map from $`\mathrm{span}(u_0,\mathrm{},u_{n1})`$ to $`\mathrm{}_1^n`$ which sends $`u_i`$ to the $`i`$th standard basis element of $`\mathrm{}_1^n`$ is an isometry, as pointed out in \[24, Sect. 8\]. This follows from the observation that, for any scalars $`c_0,\mathrm{},c_{n1}`$,

$$\underset{i=0}{\overset{n1}{}}c_iu_i=sup\underset{i=0}{\overset{n1}{}}c_iv_i$$

where the supremum is taken over all unitaries $`v_0,\mathrm{},v_{n1}(\mathrm{}_2)`$. We can thus appeal to Lemma 2.3 to obtain the result. ∎

Proposition 2.4 can also be established by observing that if $`T`$ is the left shift on $`X=\{1,1\}^{}`$ and $`\beta `$ is the automorphism of $`C(X)`$ defined by $`\beta (f)=fT`$ for all $`fC(X)`$, then $`\beta `$ is a $`C^{}`$-dynamical factor of $`\alpha `$. Indeed if we consider for each $`n`$ the function $`g_nC(X)`$ given by

$$g_n((a_k)_k)=a_n$$

for all $`(a_k)_kX`$, then we can define a -homomorphism $`\gamma :C^{}(𝔽_{\mathrm{}})C(X)`$ by specifying $`\gamma (u_n)=g_n`$ for each $`n`$. By the Stone-Weierstrass theorem $`\gamma `$ is surjective, and evidently $`\gamma \alpha =\beta \gamma `$. It follows that $`T_\alpha `$ contains a subsystem conjugate to $`T_\beta `$ and hence has infinite entropy by Proposition 2.1.

In contrast we will show in Proposition 3.7 that, for the corresponding shift on the reduced group $`C^{}`$-algebra $`C_r^{}(𝔽_{\mathrm{}})`$, the topological entropy on the state space is zero.

## 3. Zero Voiculescu-Brown entropy implies zero topological entropy on the unit ball of the dual

We begin this section by recalling the definition of Voiculescu-Brown entropy, which is an extension to exact $`C^{}`$-algebras  of the approximation-based entropy for automorphisms of unital nuclear $`C^{}`$-algebras introduced in . Let $`A`$ be an exact $`C^{}`$-algebra, and let $`\pi :A()`$ be a faithful representation. For a finite set $`\mathrm{\Omega }A`$ and $`\delta >0`$ we denote by $`\mathrm{CPA}(\pi ,\mathrm{\Omega },\delta )`$ the collection of triples $`(\varphi ,\psi ,B)`$ where $`B`$ is a finite-dimensional $`C^{}`$-algebra and $`\varphi :AB`$ and $`\psi :B()`$ are contractive completely positive linear maps such that $`(\psi \varphi )(x)\pi (x)<\delta `$ for all $`x\mathrm{\Omega }`$. This collection is non-empty by nuclear embeddability . We define $`\mathrm{rcp}(\mathrm{\Omega },\delta )`$ to be the infimum of $`\mathrm{rank}B`$ over all $`(\varphi ,\psi ,B)\mathrm{CPA}(\pi ,\mathrm{\Omega },\delta )`$, where rank refers to the dimension of a maximal Abelian $`C^{}`$-subalgebra. As the notation indicates, this infimum is independent of the particular faithful representation $`\pi `$, as demonstrated in the proof of Proposition 1.3 in . For an automorphism $`\alpha `$ of $`A`$ we set

$`ht(\alpha ,\mathrm{\Omega },\delta )`$ $`=\underset{n\mathrm{}}{lim\; sup}{\displaystyle \frac{1}{n}}\mathrm{log}\mathrm{rcp}(\mathrm{\Omega }\alpha \mathrm{\Omega }\mathrm{}\alpha ^{n1}\mathrm{\Omega },\delta ),`$
$`ht(\alpha ,\mathrm{\Omega })`$ $`=\underset{\delta >0}{sup}ht(\alpha ,\mathrm{\Omega },\delta ),`$
$`ht(\alpha )`$ $`=\underset{\mathrm{\Omega }}{sup}ht(\alpha ,\mathrm{\Omega })`$
with the last supremum taken over all finite sets $`\mathrm{\Omega }A`$. We refer to $`ht(\alpha )`$ as the Voiculescu-Brown entropy of $`\alpha `$.

For any $`C^{}`$-algebra $`A`$, the quasi-state space $`Q(A)`$ of $`A`$ is defined as the convex set of positive linear functionals $`\varphi `$ on $`A`$ with $`\varphi 1`$. Equipped with the weak-topology, $`Q(A)`$ is compact. Given an automorphism $`\alpha `$ of $`A`$ we denote by $`\stackrel{~}{T}_\alpha `$ the homeomorphism $`\sigma \sigma \alpha `$ of $`Q(A)`$. As in the previous section, when $`A`$ is unital we denote by $`T_\alpha `$ the homeomorphism $`\sigma \sigma \alpha `$ of the state space $`S(A)`$, (i.e., the restriction of $`\stackrel{~}{T}_\alpha `$ to $`S(A)`$), and for general $`A`$ we denote by $`S_\alpha `$ the homeomorphism $`\sigma \sigma \alpha `$ of the closed unit ball $`B_1(A^{})`$ of the dual of $`A`$ with the weak topology. Note that, since $`Q(A)`$ is a subset of the unit ball of the dual $`A^{}`$, by Lemma 2.2 we have $`h_{_{\text{top}}}(\stackrel{~}{T}_\alpha )=h_{_{\text{top}}}(T_\alpha )`$ in the separable unital case. The argument in the proof of Lemma 2.2 can also be used to show that $`h_{_{\text{top}}}(S_\alpha )=h_{_{\text{top}}}(\stackrel{~}{T}_\alpha )`$ in the general separable case.

Before coming to the statement of our main result we establish two lemmas. These involve problems of a typical nature in the local theory of Banach spaces and will be proved using methods from this theory. For the basic background we refer the reader to  and . Here we may take our Banach spaces to be over either the real or complex numbers, but it is the complex case which is relevant for our applications. For $`1p\mathrm{}`$ we denote by $`C_p^k`$ the Schatten $`p`$-class, i.e., the space of $`k\times k`$ matrices with norm $`x_p=\mathrm{Tr}(|x|^p)^{1/p}`$ in the case $`1p<\mathrm{}`$ (where $`\mathrm{Tr}`$ is the trace taking value $`1`$ on minimal projections), or the operator norm (with the matrices operating on $`\mathrm{}_2^k`$) in the case $`p=\mathrm{}`$. Given isomorphic Banach spaces $`X`$ and $`Y`$ and $`K1`$, we say that $`X`$ and $`Y`$ are $`K`$-isomorphic if the Banach-Mazur distance

$$d(X,Y)=inf\{\mathrm{\Gamma }\mathrm{\Gamma }^1:\mathrm{\Gamma }:XY\text{ is an isomorphism}\}$$

is no greater than $`K`$.

The following lemma and its proof were communicated to me by Nicole Tomczak-Jaegermann.

###### Lemma 3.1.

Let $`X`$ be an $`n`$-dimensional subspace of $`C_{\mathrm{}}^k`$ which is $`K`$-isomorphic to $`\mathrm{}_1^n`$. Then

$$naK^2\mathrm{log}k$$

where $`a>0`$ is a universal constant.

###### Proof.

The idea, which is standard in the local theory of Banach spaces, is to compare (Rademacher) type $`2`$ constants. It can be seen from the proof of Theorem 3.1(ii) in  that the type $`2`$ constant of the Schatten $`p`$-class for $`2p<\mathrm{}`$ satisfies

$$T_2(C_p^k)C\sqrt{p}$$

where $`C`$ is a universal constant. Thus, since the Banach-Mazur distance $`d(C_{\mathrm{}}^k,C_p^k)`$ is equal to $`k^{1/p}`$ for $`2p<\mathrm{}`$ \[27, Thm. 45.2\], we have

$$T_2(C_{\mathrm{}}^k)d(C_{\mathrm{}}^k,C_p^k)T_2(C_p^k)Ck^{1/p}\sqrt{p}$$

for every $`2p<\mathrm{}`$. Setting $`p=\mathrm{log}k`$ we obtain for sufficiently large $`k`$ the bound

$$T_2(C_{\mathrm{}}^k)Ce\sqrt{\mathrm{log}k},$$

and since the type $`2`$ constant for $`\mathrm{}_1^n`$ satisfies $`T_2(\mathrm{}_1^n)\sqrt{n}`$ (see §4 in ) it follows that

$$\sqrt{n}T_2(\mathrm{}_1^n)KT_2(X)KT_2(C_{\mathrm{}}^k)KCe\sqrt{\mathrm{log}k},$$

yielding the assertion of the lemma. ∎

The next lemma is a matrix analogue of Proposition 2.1 of . I thank one of the referees for suggesting its formulation as a general Banach space result. The main part of its proof is concerned with symmetric convex subsets of the unit cube which contain many $`\epsilon `$-separated points, and was first established by Elton  in the real case and Pajor  in the complex case. Our general line of argument follows , with the part involving almost Hilbertian sections of unit balls being replaced in our case with an appeal to Lemma 3.1. As is our convention, for a Banach space $`X`$ we write $`B_r(X)`$ to refer to the closed ball $`\{xX:xr\}`$.

###### Lemma 3.2.

Given $`\epsilon >0`$ and $`\lambda >0`$ there exists a $`\mu >0`$ such that, for all $`n1`$, if $`\varphi :C_1^{r_n}\mathrm{}_{\mathrm{}}^n`$ is a contractive linear map such that $`\varphi (B_1(C_1^{r_n}))`$ contains an $`\epsilon `$-separated set of cardinality at least $`e^{\lambda n}`$, then $`r_ne^{\mu n}`$.

###### Proof.

It is well known in Banach space theory that for every $`\epsilon >0`$ and $`\lambda >0`$ there exist $`d>0`$ and $`\delta >0`$ such that the following holds for all $`n1`$: if $`SB_1(\mathrm{}_{\mathrm{}}^n)`$ is a symmetric convex set which contains an $`\epsilon `$-separated set $`F`$ of cardinality at least $`e^{\lambda n}`$ then there is a subset $`I_n\{1,2,\mathrm{},n\}`$ with cardinality at least $`dn`$ such that

$$B_\delta (\mathrm{}_{\mathrm{}}^{I_n})\pi _n(S)$$

where $`\pi _n:\mathrm{}_{\mathrm{}}^n\mathrm{}_{\mathrm{}}^{I_n}`$ is the canonical projection. In the real case this is implicit in the argument on p. 117 in , while in the complex case it follows immediately from Théorème 5 of  (take $`t=\epsilon /2`$; then, with $`K=B_1(\mathrm{}_{\mathrm{}}^n)`$, the cubes $`x+tK`$ for $`xF`$ have pairwise disjoint interiors, whence $`\mathrm{Vol}(S+tK)t^n2^ne^{\lambda n}`$, yielding the conclusion with, e.g., $`\delta =(e^\lambda 1)\epsilon /4`$, assuming $`\epsilon 1/2`$). Thus taking $`S=\varphi (B_1(C_1^{r_n}))`$ we obtain

$$B_\delta (\mathrm{}_{\mathrm{}}^{I_n})\pi _n(\varphi (B_1(C_1^{r_n}))).$$

Hence the dual map $`(\pi _n\varphi )^{}`$ from $`(\mathrm{}_{\mathrm{}}^{I_n})^{}\mathrm{}_1^{I_n}`$ to $`(C_1^{r_n})^{}C_{\mathrm{}}^{r_n}`$ is an embedding of norm at most $`1`$ whose inverse has norm at most $`1/\delta `$. Since these bounds do not depend on $`n`$, by Lemma 3.1 there is a $`c>0`$ such that, for all $`n1`$,

$$|I_n|c\mathrm{log}r_n$$

and hence $`dnc\mathrm{log}r_n`$. Setting $`\mu =d/c`$ we obtain the assertion of the lemma. ∎

###### Theorem 3.3.

Let $`A`$ be a separable exact $`C^{}`$-algebra and $`\alpha `$ an automorphism of $`A`$. Then $`ht(\alpha )=0`$ implies $`h_{_{\text{top}}}(S_\alpha )=0`$, and hence also $`h_{_{\text{top}}}(\stackrel{~}{T}_\alpha )=0`$ and (when $`A`$ is unital) $`h_{_{\text{top}}}(T_\alpha )=0`$.

###### Proof.

Let $`K`$ be any compact subset of the unit ball of $`A`$ whose linear span is dense in $`A`$ (for example, we may take $`K=\{k^1x_k\}_k`$ where $`\{x_k\}_k`$ is a dense sequence in the unit ball of $`A`$). The metric $`d`$ on $`B_1(A^{})`$ defined by

$$d(\sigma ,\omega )=\underset{xK}{sup}|\sigma (x)\omega (x)|$$

for all $`\sigma ,\omega B_1(A^{})`$ is readily seen to give rise to the weak topology. Now suppose $`h_{_{\text{top}}}(S_\alpha )>0`$. Then there exist an $`\epsilon >0`$, a $`\lambda >0`$, and an infinite set $`J`$ such that for all $`nJ`$ there is an $`(n,4\epsilon )`$-separated set $`E_nB_1(A^{})`$ of cardinality at least $`e^{\lambda n}`$. By compactness there is a finite set $`\mathrm{\Omega }K`$ such that, for all $`\sigma ,\omega B_1(A^{})`$,

$$d(\sigma ,\omega )\underset{x\mathrm{\Omega }}{sup}|\sigma (x)\omega (x)|+\epsilon .$$

We will show that $`ht(\alpha ,\mathrm{\Omega },\epsilon )>0`$.

Let $`\pi :A()`$ be any faithful representation. For each $`nJ`$, let $`(\varphi _n,\psi _n,B_n)`$ be an element in $`\mathrm{CPA}(\pi ,\mathrm{\Omega }\mathrm{}\alpha ^{n1}\mathrm{\Omega },\epsilon )`$ with $`B_n`$ of smallest possible rank, and set $`r_n=\mathrm{rank}B_n`$. Writing $`\mathrm{\Omega }=\{x_1,\mathrm{},x_m\}`$ we define a map $`\mathrm{\Gamma }_n`$ from the Schatten class $`C_1^{r_n}`$ to $`(\mathrm{}_{\mathrm{}}^n)^m\mathrm{}_{\mathrm{}}^{nm}`$ by

$$\mathrm{\Gamma }_n(h)=((\mathrm{Tr}(h\varphi _n(\alpha ^k(x_i))))_{k=1}^{n1})_{i=1}^m$$

for all $`hC_1^{r_n}`$, where $`\mathrm{Tr}`$ is the trace on $`M_{r_n}()`$ taking value $`1`$ on minimal projections and $`B_n`$ is considered as a $`C^{}`$-subalgebra of $`M_{r_n}()`$ under some fixed embedding. Note that $`\mathrm{\Gamma }_n`$ is contractive, since $`\mathrm{\Omega }\alpha \mathrm{\Omega }\mathrm{}\alpha ^{n1}\mathrm{\Omega }`$ lies in the unit ball of $`A`$, $`\varphi _n`$ is contractive, and $`|\mathrm{Tr}(hx)|\mathrm{Tr}(|h|)x`$ for all $`hC_1^{r_n}`$ and $`xB_n`$.

For each $`\sigma B_1(A^{})`$ we can extend $`\sigma \pi ^1`$ on $`\pi (A)`$ to a contractive linear functional $`\sigma ^{}`$ on $`()`$ by the Hahn-Banach theorem. Now if $`\sigma `$ and $`\omega `$ are distinct elements of $`E_n`$ then there is a $`k`$ with $`0kn1`$ such that $`d(T_\alpha ^k\sigma ,T_\alpha ^k\omega )>4\epsilon `$. Then

$$\underset{x\mathrm{\Omega }}{sup}\left|(\sigma \alpha ^k)(x)(\omega \alpha ^k)(x)\right|>3\epsilon ,$$

and since for every $`x\mathrm{\Omega }`$ we have

$$(\psi _n\varphi _n)(\alpha ^k(x))\pi (\alpha ^k(x))<\epsilon $$

it follows by the triangle inequality that

$$\underset{x\mathrm{\Omega }}{sup}\left|(\sigma ^{}\psi _n)(\varphi _n(\alpha ^k(x)))(\omega ^{}\psi _n)(\varphi _n(\alpha ^k(x)))\right|>\epsilon .$$

Taking a conditional expectation $`P:M_{r_n}()B_n`$ and isometrically identifying a linear functional on $`M_{r_n}()`$ with its density matrix in $`C_1^{r_n}`$, we thus have that the image of the subset $`\{\sigma ^{}\psi _nP:\sigma E_n\}`$ of $`B_1(C_1^{r_n})`$ under $`\mathrm{\Gamma }_n`$ is an $`\epsilon `$-separated set with cardinality at least $`e^{\lambda n}`$. Since $`m`$ does not depend on $`n`$, by Lemma 3.2 there is a $`\mu >0`$ such that $`r_ne^{\mu n}`$ for all $`nJ`$, and so $`ht(\alpha ,\mathrm{\Omega },\epsilon )\mu >0`$, yielding the result. ∎

###### Remark 3.4.

Notice that in the proof of Theorem 3.3 we made no use of the order structure. In fact Pop and Smith have shown in  that Voiculescu-Brown entropy can be alternatively defined using completely contractive linear maps.

The following corollary is an immediate consequence of Theorem 3.3 and the fact that topological entropy does not increase under taking factors or restrictions to closed invariant subsets.

###### Corollary 3.5.

Let $`A`$ and $`B`$ be separable exact $`C^{}`$-algebras and $`\alpha :AA`$ and $`\beta :BB`$ automorphisms with $`h_{_{\text{top}}}(S_\alpha )>0`$. Suppose that there exists a surjective contractive linear map $`\gamma :BA`$ such that $`\alpha \gamma =\gamma \beta `$, or an injective contractive linear map $`\rho :AB`$ such that $`\beta \rho =\rho \alpha `$. Then $`ht(\beta )>0`$. This conclusion also holds more generally if $`\alpha `$ can be obtained from $`\beta `$ via a finite chain of intermediary automorphisms intertwined in succession by maps of the same form as $`\gamma `$ or $`\rho `$.

###### Example 3.6.

Using Theorem 3.3 we can exhibit positive Voiculescu-Brown entropy in a large class of systems constructed in a operator-theoretic fashion as demonstrated by the following examples. Let $`f\{1,0,1\}^{}`$ be a sequence in which every finite string of $`1`$’s and $`1`$’s is represented. For each $`i=1,0,1`$ we set $`E_i=\{k:f(k)=i\}`$. Let $`x(\mathrm{}_2(E_1E_1))`$ be the operator obtained by specifying by

$$x\xi _k=f(k)\xi _k$$

on the set $`\{\xi _k:kE_1E_1\}`$ of standard basis elements. Let $`y`$ be any self-adjoint operator in $`(\mathrm{}_2(E_0))`$ of norm at most $`1`$ and set $`a=(x,y)(\mathrm{}_2(E_1E_1))(\mathrm{}_2(E_0))(\mathrm{}_2())`$. Let $`u`$ be the shift $`u\xi _k=\xi _{k+1}`$ on $`(\mathrm{}_2())`$ with respect to the canonical basis $`\{\xi _k:k\}`$, and let $`A(\mathrm{}_2())`$ be the $`C^{}`$-algebra generated by $`\{u^nau^n\}_n`$. By restricting $`\mathrm{Ad}u`$ to $`A`$ we obtain an automorphism $`\alpha `$ of $`A`$. By our assumption on $`f`$, for every $`g\{1,1\}^{\{0,\mathrm{},n1\}}`$ we can find a $`j`$ such that for each $`k=0,\mathrm{},n1`$ we have $`a\xi _{jk}=g(k)\xi _{jk}`$ and hence

$$\alpha ^k(a)\xi _j=g(k)\xi _j.$$

As a consequence, for each $`n`$ the real linear map which sends the $`k`$th standard basis element of $`\mathrm{}_1^n`$ over the real scalars to $`\alpha ^k(a)`$ for each $`k=0,\mathrm{},n1`$ is an isometry, and the complexification of this map is an isomorphism of norm at most $`2`$ with inverse of norm at most $`2`$. Lemma 2.3 then yields $`h_{_{\text{top}}}(T_\alpha )=\mathrm{}`$, and so it follows from Theorem 3.3 that $`ht(\alpha )>0`$ whenever $`A`$ is exact (this can in fact also be deduced directly from Lemma 3.1—see Remark 3.10). In the case that $`a`$ is a diagonal operator with respect to the canonical basis of $`\mathrm{}_2()`$, the $`C^{}`$-algebra $`A`$ is commutative and the topological entropy of the induced homeomorphism of the pure state space coincides with $`ht(\alpha )`$ by Proposition 4.8 of  and hence is positive (as can also be seen from Theorem A of ). The main point of these examples is to demonstrate that positive Voiculescu-Brown entropy can be established in many systems without having either to relate the given system to a topological dynamical system which is known a priori to have positive topological entropy or to rely on measure-theoretic dynamical invariants like CNT or Sauvageot-Thouvenot entropy. It is sufficient, for example, that the eigenspaces of the iterates of an operator of norm $`1`$ corresponding to the respective eigenvalues $`\pm 1`$ are sufficiently mixed along their intersection.

Using Theorem 3.3 we can also show that, for the shift on the reduced crossed product $`C_r^{}(𝔽_{\mathrm{}})`$ of the free group on countably many generators, the topological entropy on the state space is zero (cf. Proposition 2.4):

###### Proposition 3.7.

With $`\alpha `$ the shift on $`C_r^{}(𝔽_{\mathrm{}})`$ we have

$$h_{_{\text{top}}}(T_\alpha )=0.$$

###### Proof.

By  or  the Voiculescu-Brown entropy of $`\alpha `$ is zero, and so we can apply Theorem 3.3. ∎

We don’t know whether or not the converse of Theorem 3.3 holds. As a test case for this problem we might consider the class of automorphisms of rotation $`C^{}`$-algebras arising from a matrix in $`SL(2,)`$ with eigenvalues off the unit circle . By  such a noncommutative $`2`$-toral automorphism has positive Voiculescu-Brown entropy, but the arguments in  using opposite maps and tensor products give no clue about the value of topological entropy on the state space, which we have been unable to determine in the case of irrational rotation parameters. Note that for rational rotation parameters the topological entropy on the state space is infinite since we obtain the corresponding commutative $`2`$-toral automorphism as a subsystem by restricting to the centre of the $`C^{}`$-algebra.

We conclude this section with three remarks.

###### Remark 3.8.

To show in the proof of Proposition 4.8 in  that the Voiculescu(-Brown) entropy dominates the topological entropy on the pure state space in the separable commutative setting, Voiculescu applies the classical variational principle along with several properties of the Connes-Narnhofer-Thirring entropy. It has been a problem to find a proof of this inequality that does not involve measure-theoretic entropies. In this regard Theorem 3.3 at least gives a geometric picture of why positive topological entropy on the pure state space yields positive Voiculescu-Brown entropy at the $`C^{}`$-algebra level.

###### Remark 3.9.

As a corollary to Theorem 3.3 we recover the result of Glasner and Weiss asserting that if a homeomorphism of a compact metric space has zero topological entropy then the induced homeomorphism on the space of probability measures also has zero topological entropy . To obtain this corollary we merely need the fact that the topological entropy of a homeomorphism dominates the Voiculescu-Brown entropy of the induced $`C^{}`$-algebra automorphism, and this can be established by a straightforward partition of unity argument (see the proof of Proposition 4.8 in ). Now in the geometric approach of  the construction of the key Banach space map is most easily managed in the zero-dimensional situation, and indeed an auxiliary reduction result is invoked to handle the general case. Thus by adopting a $`C^{}`$-algebraic viewpoint we have obtained a functional-analytically more streamlined geometric proof of Glasner and Weiss’s result.

###### Remark 3.10.

Lemma 3.1 also yields a means for obtaining lower bounds for Voiculescu-Brown entropy directly at the completely positive approximation level, and is particularly useful when dealing with dynamical extensions. To illustrate, let $`\mathrm{\Omega }=\{x_1,\mathrm{},x_n\}`$ be a subset of the unit ball of an exact $`C^{}`$-algebra $`A`$, and suppose that the linear map $`\mathrm{\Gamma }:\mathrm{}_1^n\mathrm{span}\mathrm{\Omega }`$ which sends the $`i`$th standard basis element of $`\mathrm{}_1^n`$ to $`x_i`$ for each $`i=1,\mathrm{},n`$ is an isomorphism whose inverse is bounded in norm by some $`K1`$. Since $`\mathrm{\Gamma }`$ is necessarily contractive, it is a $`K`$-isomorphism, i.e., $`\mathrm{\Gamma }\mathrm{\Gamma }^1K`$. Now if $`(\varphi ,\psi ,B)\mathrm{CPA}(\pi ,\mathrm{\Omega },\delta )`$ for some faithful representation $`\pi :A()`$ and $`0<\delta <K^1`$, then for any linear combination $`c_ix_i`$ of the elements of $`\mathrm{\Omega }`$ we have

$`{\displaystyle c_ix_i}`$ $`\pi \left({\displaystyle c_ix_i}\right)(\psi \varphi )\left({\displaystyle c_ix_i}\right)+(\psi \varphi )\left({\displaystyle c_ix_i}\right)`$
$`\delta {\displaystyle |c_i|}+\varphi \left({\displaystyle c_ix_i}\right)`$
$`K\delta {\displaystyle c_ix_i}+\varphi \left({\displaystyle c_ix_i}\right)`$
so that $`\varphi \left(c_ix_i\right)(1K\delta )c_ix_i`$, and since $`\varphi `$ is contractive it follows that $`\varphi |_{\mathrm{span}\mathrm{\Omega }}`$ is a $`(1K\delta )^1`$-isomorphism onto its image. Hence the Banach-Mazur distance between $`\mathrm{}_1^n`$ and the image of $`\mathrm{span}\mathrm{\Omega }`$ under $`\varphi `$ is at most $`K(1K\delta )^1`$, and so by Lemma 3.1 we conclude that

$$\mathrm{log}\mathrm{rcp}(\mathrm{\Omega },\delta )na^1K^2(1K\delta )^2$$

where $`a>0`$ is a universal constant. Thus if $`\alpha `$ is an automorphism of $`A`$ and $`x`$ is an element of $`A`$ such that there exists a $`K1`$ such that for every $`n`$ the linear map which sends the $`i`$th standard basis element of $`\mathrm{}_1^n`$ to $`\alpha ^{i1}(x)`$ for each $`i=1,\mathrm{},n`$ is an isomorphism whose inverse has norm at most $`K`$, then

$$ht(\alpha )\underset{\delta >0}{sup}ht(\alpha ,\{x\},\delta )\underset{\delta (0,K^1)}{sup}a^1K^2(1K\delta )^2=a^1K^2.$$

This lower bound for entropy also applies to any automorphism $`\beta `$ of an exact $`C^{}`$-algebra $`D`$ such that there exists a surjective -homomorphism $`\gamma :DA`$ with $`\gamma \beta =\alpha \gamma `$, for in such a case we can lift $`x`$ under $`\gamma `$ to a element $`yD`$ of the same norm, and the linear map sending the $`i`$th standard basis element of $`\mathrm{}_1^n`$ to $`\beta ^i(y)`$ for each $`i=1,\mathrm{},n`$ is an isomorphism with inverse of norm at most $`K`$, as is easily checked. More generally, we also obtain $`ht(\beta )>0`$ for any automorphism $`\beta `$ of a separable exact $`C^{}`$-algebra such that $`\alpha `$ can obtained from $`\beta `$ via a finite chain of intermediary automorphisms intertwined in succession by contractive linear surjections or linear isometries in the reverse direction (cf. Corollary 3.5).

## 4. A description of the topological Pinsker algebra in terms of local Voiculescu-Brown entropy

Let $`T:XX`$ be a homeomorphism of a compact metric space and $`\alpha _T`$ the automorphism of $`C(X)`$ given by $`\alpha _T(f)=fT`$ for all $`fC(X)`$. We recall from  that a pair $`(x,y)X\times X\mathrm{\Delta }`$ (with $`\mathrm{\Delta }`$ denoting the diagonal) is called an entropy pair if $`h_{_{\text{top}}}(T,𝒰)>0`$ for every two-element open cover $`𝒰=\{U,V\}`$ with $`x\mathrm{int}(XU)`$ and $`x\mathrm{int}(XV)`$. We denote by $`E_X`$ the set of entropy pairs in $`X\times X`$. The topological Pinsker factor is defined as the quotient system arising from the closed $`T`$-invariant equivalence relation on $`X`$ generated by the collection of entropy pairs  (here we have adopted the terminology of ). This translates at the $`C^{}`$-algebra level as the $`\alpha _T`$-invariant $`C^{}`$-subalgebra $`P_{X,T}`$ of $`C(X)`$ consisting of all $`fC(X)`$ satisfying $`f(x)=f(y)`$ for every entropy pair $`(x,y)`$. Note that $`P_{X,T}`$ is indeed $`\alpha _T`$-invariant because $`E_X`$ is invariant under $`T\times T`$ by Proposition 3 of . We refer to $`P_{X,T}`$ as the topological Pinsker algebra. It is an analogue of the Pinsker $`\sigma `$-algebra in ergodic theory (see ).

The main goal of this section is to apply the argument of the proof of Theorem 3.3 to show that $`P_{X,T}`$ is equal to the set of all $`fC(X)`$ such that the local Voiculescu-Brown entropy of $`\alpha _T`$ with respect to the singleton $`\{f\}`$ is zero. Thus by viewing the dynamics at the function level we are able to obtain a simple description of the topological Pinsker factor/algebra that avoids entropy pairs and the awkward fact that the set $`E_X\mathrm{\Delta }`$ does not always form an equivalence relation (see ). As shown in , our functional-analytic description of $`P_{X,T}`$ can be applied to obtain some information concerning the positivity of local Voiculescu-Brown entropy with respect to products of canonical unitaries for certain noncommutative toral automorphisms.

For economy, in this section we will simply write $`ht(T,f)`$ instead of $`ht(\alpha _T,\{f\})`$ (as it appears in the definition of Voiculescu-Brown entropy) for any function $`fC(X)`$. Also, given a function $`fC(X)`$ we define the pseudo-metric $`d_f`$ on $`X`$ by

$$d_f(x,y)=|f(x)f(y)|$$

for all $`x,yX`$. We furthermore need to extend the metric space formulation of topological entropy to pseudo-metrics. Thus for any pseudo-metric $`d`$ on $`X`$ we set

$$h_d(T)=\underset{\epsilon >0}{sup}\underset{n\mathrm{}}{lim\; sup}\frac{1}{n}\mathrm{log}\mathrm{sep}_n(T,\epsilon )$$

where $`\mathrm{sep}_n(T,\epsilon )`$ is the largest cardinality of an $`(n,\epsilon )`$-separated set, with the latter defined in the same way as for metrics (see Section 2).

The following lemma is a local version of Theorem 3.3 at the level of a single element in the $`C^{}`$-algebra.

###### Lemma 4.1.

Let $`fC(X)`$. Then $`h_{d_f}(T)>0`$ implies $`ht(T,f)>0`$.

###### Proof.

Notice that, in the proof of Theorem 3.3, if the compact set $`K`$ is taken to be finite, then the argument still shows that if we define the pseudo-metric

$$d(\sigma ,\omega )=\underset{xK}{\mathrm{max}}|\sigma (x)\omega (x)|$$

on the unit ball of the dual and take $`h_d(S_\alpha )>0`$ as our hypothesis, then $`ht(\alpha ,K)>0`$. Thus in our present context we can take $`K`$ in the proof of Theorem 3.3 to be the singleton $`\{f\}`$ to obtain the desired conclusion. ∎

###### Lemma 4.2.

If $`(x,y)`$ is an entropy pair then $`ht(T,f)>0`$ for every $`fC(X)`$ with $`f(x)f(y)`$.

###### Proof.

Suppose $`(x,y)`$ is an entropy pair and $`f`$ is a function in $`C(X)`$ with $`f(x)f(y)`$. Set $`\delta =|f(x)f(y)|/3`$ and define the two open sets

$`U`$ $`=\{zX:|f(x)f(z)|>\delta \},`$
$`V`$ $`=\{zX:|f(x)f(z)|<2\delta \}.`$
Then $`𝒰=\{U,V\}`$ is an open cover with $`x\mathrm{int}(XU)`$ and $`y\mathrm{int}(XV)`$, and so $`h_{_{\text{top}}}(T,𝒰)>0`$ by virtue of the fact that $`(x,y)`$ is an entropy pair. Now if $`n`$ and $`𝒱`$ is a subcover of $`𝒰T^1𝒰\mathrm{}T^{(n1)}𝒰`$ of smallest cardinality then in each element of $`𝒱`$ we can choose a point which is not contained in any other element of $`𝒱`$, for otherwise $`𝒱`$ would not be a minimal subcover. The set $`E`$ obtained by collecting these points together is $`(n,\delta /2)`$-separated relative to the pseudo-metric $`d_f`$ and has the same cardinality as $`𝒱`$. Hence

$$h_{d_f}(T)h_{_{\text{top}}}(T,𝒰)>0$$

and so $`ht(T,f)>0`$ by Lemma 4.1, yielding the result. ∎

The converse of Lemma 4.2 is false. This is a consequence of the fact that set $`E_X\mathrm{\Delta }`$ is not necessarily transitive as a relation (see ). Indeed if $`(x,y)`$ and $`(y,z)`$ are elements of $`E_X\mathrm{\Delta }`$ such that $`(x,z)E_X\mathrm{\Delta }`$, and if $`fC(X)`$ satisfies $`f(x)f(z)`$, then we cannot have both $`f(x)=f(y)`$ and $`f(y)=f(z)`$, whence $`ht(T,f)>0`$ by Lemma 4.2.

###### Theorem 4.3.

The topological Pinsker algebra $`P_{X,T}`$ is equal to the set of all $`fC(X)`$ such that $`ht(T,f)=0`$.

###### Proof.

What we need to prove is that for any $`fC(X)`$ we have $`ht(T,f)=0`$ if and only if $`f(x)=f(y)`$ for all entropy pairs $`(x,y)`$. The “only if” direction follows immediately from Lemma 4.2. For the “if” direction, let $`fC(X)`$ and suppose $`ht(T,f)>0`$. Let $`B`$ be the unital $`\alpha _T`$-invariant $`C^{}`$-subalgebra of $`C(X)`$ generated by $`\{\alpha _T^n(f)\}_n`$, i.e., the closure in $`C(X)`$ of the set of polynomials in $`\{\alpha _T^n(f)\}_n`$. For convenience, in the rest of the proof we will identify points in a compact metric space with pure states on the corresponding unital $`C^{}`$-algebra. Now if $`T_B`$ denotes the homeomorphism induced by $`\alpha _T|_B`$ on the pure state space of $`B`$, then since $`ht(\alpha _T|{}_{B}{}^{})ht(T,f)>0`$ we have $`h_{_{\text{top}}}(T_B)>0`$ by \[29, Prop. 4.8\], and so by \[2, Props. 1 and 2\] there are pure states $`\sigma ,\omega `$ on $`B`$ such that $`(\sigma ,\omega )`$ is an entropy pair with respect to $`T_B`$. We must then have $`\sigma (\alpha _T^n(f))\omega (\alpha _T^n(f))`$ for some $`n`$ since $`\sigma `$ and $`\omega `$ are distinct, and since the set of entropy pairs is $`T\times T`$-invariant \[2, Prop. 3\] we may assume that $`n=0`$, i.e., $`\sigma (f)\omega (f)`$. By \[2, Prop. 4\] there are pure states $`\sigma ^{}`$ and $`\omega ^{}`$ on $`C(X)`$ extending $`\sigma `$ and $`\omega `$, respectively, such that $`(\sigma ^{},\omega ^{})`$ forms an entropy pair, and we have $`\sigma ^{}(f)\omega ^{}(f)`$, completing the proof. ∎

The system $`(X,T)`$ is said to have completely positive entropy if each of its non-trivial factors has positive topological entropy . Since positive entropy systems always have an entropy pair \[2, Props. 1 and 2\], $`P_{X,T}`$ is equal to the scalars (resp. $`C(X)`$) precisely when the system $`(X,T)`$ has completely positive entropy (resp. zero entropy), and so we obtain the following corollaries to Theorem 4.3.

###### Corollary 4.4.

The system $`(X,T)`$ has completely positive entropy if and only if $`ht(T,f)>0`$ for all non-constant functions $`fC(X)`$.

###### Corollary 4.5.

We have $`h_{_{\text{top}}}(T)>0`$ if and only if $`ht(T,f)>0`$ for some $`fC(X)`$.


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# Theory of the NMR relaxation rates in cuprate superconductors with field induced antiferromagnetic order

## I introduction

Intensive efforts have been focused recently on the nature of low-lying excitation spectra around a vortex core in high temperature superconductors (HTS). The excitations around the core play a fundamental role in determining physical property of a superconductor. It has now been established both experimentally Lake01 ; Miller ; NMR ; NMR1 ; NMR2 ; NMR3  and theoretically Arovas97 ; Demler ; Ogata99 ; Machida ; Zhu01 ; chen01 ; Zhu02 ; Chen02 ; DChen ; Franz  that a spin density wave (SDW) order could be induced and pinned at the vortex lattice by a strong magnetic field for both under- and optimally- doped HTS. In neutron scattering experiments by Lake et al. Lake01 , a remarkable antiferromagnetic (AF)-like SDW was observed in optimally- and under-doped La2-xSrxCuO4 under a strong magnetic field. The muon spin rotation measurement by Miller et al. Miller  studied the internal magnetic field distribution in the vortex core of underdoped YBa2Cu3O6+x, and it was revealed a feature in the high-field tail which fits well to a model with static alternating magnetization. Recent nuclear magnetic resonance (NMR) measurements by Mitrovic et al. NMR  studied the spatially resolved NMR signal in the mixed state of optimally doped YBa2Cu3O7-δ, and they found strong AF fluctuations outside the cores and rather different electronic states inside the vortex cores. Another NMR experiment by Kakuyanagi et al. NMR3  investigated the magnetism in and around the vortex core of nearly optimally-doped Tl2Ba2CuO6+δ, the NMR signal rate $`T_1^1`$ at Tl site provides a direct evidence that the AF spin correlation is significantly enhanced in the vortex core region. From theoretical point of view, various approaches Arovas97 ; Demler ; Ogata99 ; Machida ; Zhu01  suggest the existence of an induced AF order inside the core. Some recent studies chen01 ; Zhu02 ; Chen02 ; DChen ; Franz  also reveal that the AF order could propagate outside the vortex cores and form a SDW.

As proposed in several articles Taki99 ; wortis ; Morr , that the spatially imaging NMR experiment can be a powerful tool to investigate the exotic electronic structure around the vortex cores. The frequency dependence of NMR signal rate reflects the internal magnetic field distribution and the electronic and magnetic excitations in the mixed state can be probed through the temperature and site -dependence of $`T_1^1`$. The spatial variation of the vortex lattice in the NMR experiments can be resolved by the distribution of internal magnetic field. In the present paper, we study the NMR theory for HTS with the effect of the magnetic field induced SDW being taken into account. Our approach is based upon an effective model Hamiltonian with a $`d`$-wave pairing interaction $`V_{DSC}`$ between nearest neighboring sites and a competing onsite Coulomb repulsion $`U`$ which may generate a competing AF order. The parameters are chosen in such a way that only $`d`$-wave superconductivity (DSC) prevails in the optimally doped HTS samples when the magnetic field B=0. Using the Bogoliubov-de Gennes (BdG) equations, The dynamic spin-spin correlation function between site i and site j can be numerically obtained. From this correlation function and the established methods Shastry , we are able to derive the NMR relaxation rates $`T_1^1`$ on $`{}_{}{}^{17}O`$ and on $`{}_{}{}^{63}Cu`$ nuclei, and from which the NMR signals as a function of temperature T and site location chenAPS  can be determined. Our calculation is performed for an optimally doped HTS sample with the chosen $`U`$ so that the B induced SDW would appear only below a critical temperature $`T_{AF}`$ which is considerably smaller than the superconductivity transition temperature $`T_c`$. We find that there exists no simple direct relationship between the NMR signal rate $`T_1^1`$ and the low energy local density of states (LDOS) while these two quantities are linearly proportional to each other in a pure $`d`$-wave superconductor ($`U=0`$). In the core region, we find that $`T_1^1`$ exhibits a double-peak behavior, one sharp and one broad, as the temperature is increased to $`T_c`$, in contrast to a single broad peak for a pure $`d`$-wave superconductor. It is found that the low temperature peak becomes sharper and moves to lower T when $`T_{AF}`$ becomes lower. This result is consistent with the NMR experiments NMR ; NMR1 ; NMR2 ; NMR3 . We also show the differences between $`T_1^1`$ on $`{}_{}{}^{17}O`$ and that on $`{}_{}{}^{63}Cu`$ as a function of lattice site at different temperatures and magnetic fields. In general the NMR signal at the $`{}_{}{}^{63}Cu`$ site is larger than that at $`{}_{}{}^{17}O`$ site, and its magnitude can be quite enhanced at higher magnetic field. In section II we will outline our method and the numerical scheme for calculating the NMR relaxation rate. In section III, we will present our numerical results and their comparison with the experimental measurements. In addition we are also going to compare our work with other similar theoretically studies Taki99 ; Knapp ; Taki02 , there the articles Taki99 ; Knapp  only consider the case for a pure $`d`$-wave superconductor. In all these works Taki99 ; Knapp ; Taki02 , the NMR signals are calculated for the square lattice sites which may not rigorously related to the $`{}_{}{}^{17}O`$ and $`{}_{}{}^{63}Cu`$ sites as discussed in the present paper. In the last section, we will give a summary and discussion of our results.

## II Formalism

Let us begin with a phenomenological model in which interactions describing both DSC and SDW order parameters in a two-dimensional lattice are considered. The effective Hamiltonian can be written as:

$`H`$ $`=`$ $`{\displaystyle \underset{i,j,\sigma }{}}t_{ij}c_{i\sigma }^{}c_{j\sigma }+{\displaystyle \underset{i,\sigma }{}}(Un_{i\overline{\sigma }}\mu )c_{i\sigma }^{}c_{i\sigma }`$ (1)
$`+{\displaystyle \underset{i,j}{}}(\mathrm{\Delta }_{ij}c_i^{}c_j^{}+h.c.),`$
where $`c_{i\sigma }^{}`$ is the electron creation operator, $`\mu `$ is the chemical potential, and the summation is over the nearest neighboring sites. In the presence of magnetic field $`B`$ normal to the two dimensional plane, the hopping integral can be expressed as $`t_{ij}=t_0\mathrm{exp}[i\frac{\pi }{\mathrm{\Phi }_0}_{𝐫_j}^{𝐫_i}𝐀(𝐫)𝑑𝐫]`$ for the nearest neighboring sites $`(i,j)`$, with $`\mathrm{\Phi }_0=h/2e`$ as the superconducting flux quantum. We assume that the strength of B is large enough such that it can be regarded as uniform. Here we choose the Landau gauge for the vector potential $`𝐀=(By,0,0)`$. Since the internal magnetic field induced by the supercurrent around the vortex core, as it will be numerically shown later, is so small as compared with B, the above assumption should be justified. The induced SDW and the DSC orders in our system are respectively defined as $`\mathrm{\Delta }_i^{SDW}=Uc_i^{}c_ic_i^{}c_i`$ and $`\mathrm{\Delta }_{ij}=V_{DSC}c_ic_jc_Ic_j/2`$, where $`U`$ and $`V_{DSC}`$ represent the interaction strengths for SDW and DSC. The mean-field Hamiltonian (1) can be diagonalized by solving the resulting BdG equations self-consistently

$$\underset{j}{}\left(\begin{array}{cc}_{ij,\sigma }& \mathrm{\Delta }_{ij}\\ \mathrm{\Delta }_{ij}^{}& _{ij,\overline{\sigma }}^{}\end{array}\right)\left(\begin{array}{c}u_{j,\sigma }^n\\ v_{j,\overline{\sigma }}^n\end{array}\right)=E_n\left(\begin{array}{c}u_{i,\sigma }^n\\ v_{i,\overline{\sigma }}^n\end{array}\right),$$
(2)
where the single particle Hamiltonian $`_{ij,\sigma }=t_{ij}+(Un_{i\overline{\sigma }}\mu )\delta _{ij}`$, and $`n_i=_n|u_i^n|^2f(E_n)`$, $`n_i=_n|v_i^n|^2(1f(E_n))`$, $`\mathrm{\Delta }_{ij}=\frac{V_{DSC}}{4}_n(u_i^nv_j^n+v_i^{}u_j^n)\mathrm{tanh}\left(\frac{E_n}{2k_BT}\right)`$, with $`f(E)`$ as the Fermi distribution function and the electron density $`n_i=n_i+n_i`$. The DSC order parameter at the $`i`$th site is $`\mathrm{\Delta }_i^D=(\mathrm{\Delta }_{i+e_x,i}^D+\mathrm{\Delta }_{ie_x,i}^D\mathrm{\Delta }_{i,i+e_y}^D\mathrm{\Delta }_{i,ie_y}^D)/4`$ where $`\mathrm{\Delta }_{ij}^D=\mathrm{\Delta }_{ij}\mathrm{exp}[i\frac{\pi }{\mathrm{\Phi }_0}_{𝐫_i}^{(𝐫_i+𝐫_j)/2}𝐀(𝐫)𝑑𝐫]`$ and $`𝐞_{x,y}`$ denotes the unit vector along $`(x,y)`$ direction. The main procedure of our self-consistent calculation is summarized as follows. For a random set of initial parameters $`n_{i\sigma }`$ and $`\mathrm{\Delta }_{ij}`$, the Hamiltonian is numerically diagonalized and the obtained quasiparticle wave functions $`u_{i,\sigma }^n`$ and $`v_{i,\sigma }^n`$ are used to calculate the new parameters for the next iteration step. The iteration continues until the relative difference of order parameter between two consecutive iteration steps is less than $`10^4`$.

In the following section, we need to calculate the local density of states (LDOS) according to the formula:

$$\rho _𝐢(E)=\underset{n}{}[|u_{𝐢,}^n|^2f^{}(E_nE)+|v_{𝐢,}^n|^2f^{}(E_n+E)],$$
(3)
where $`f^{}(E)df(E)/dE`$. The LDOS is proportional to the local differential tunneling conductance at low temperature which can be measured by STM experiments. In addition, we also need to calculate the internal magnetic field distribution of the vortex state. The internal magnetic field is computed through the Maxwell equation, $`\times 𝐇_{int}(𝐫)=\frac{4\pi }{c}𝐣(𝐫)`$, where the current $`𝐣(𝐫)`$ is calculated as:

$`j_{𝐞_{𝐱,𝐲}}(𝐫_i)`$ $`=`$ $`2|e|\mathrm{Im}\{t_{𝐢+𝐞_{𝐱,𝐲},𝐢}{\displaystyle \underset{n}{}}[u_{𝐢+𝐞_{𝐱,𝐲}}^nu_𝐢^nf(E_n)`$ (4)
$`+v_{𝐢+𝐞_{𝐱,𝐲}}^nv_𝐢^n(1f(E_n))]\}.`$
The nuclear spin relaxation rate $`T_1^1`$ can be obtained from the spin-spin correlation function $`\chi _{+,}(i,j,\mathrm{\Omega })`$ at zero energy through the following site dependent function Leadon ; Taki99 ,

$`R(i,j)`$ $`=`$ $`\mathrm{Im}\chi _{+,}(i,j,i\mathrm{\Omega }_n\mathrm{\Omega }+\mathrm{i}\eta )/(\mathrm{\Omega }/T)|_{\mathrm{\Omega }0}`$ (5)
$`=`$ $`{\displaystyle \underset{n,n^{}}{}}u_i^nu_i^n^{}[u_j^nu_j^n^{}+v_j^nv_j^n^{}]`$
$`\times \pi Tf^{}(E_n)\delta (E_nE_n^{}).`$
Since all of the experiments NMR ; NMR1 ; NMR2 ; NMR3  are performed at the oxygen, copper, or other nuclei in HTS, we need the expressions of the NMR relaxation rate at these sites. In this paper we shall mainly consider the contribution from the planar oxygen ($`{}_{}{}^{17}O`$) and copper ($`{}_{}{}^{63}Cu`$) nuclei. The oxygen nucleus is located between two $`Cu`$ nuclei along the $`x`$ or $`y`$ axis. The internal magnetic field $`H_{int}`$ on $`{}_{}{}^{17}O`$ site is averaged over its two nearest neighboring $`{}_{}{}^{63}Cu`$ sites. The NMR relaxation rate form factor on nuclei $`{}_{}{}^{17}O`$ and $`{}_{}{}^{63}Cu`$ in momentum space is: $`F_{O,x}1+cos(q_x/2)`$ and $`F_{Cu}(cos(q_x)+cos(q_y))^2`$. It can be expressed in terms of the real-space spin-spin correlations as follows Shastry :

$`1/^{17}T_1T`$ $`=`$ $`C[R(i,i)+1/2{\displaystyle \underset{j,x}{\overset{^{}}{}}}R(i,j)],`$ (6)
$`1/^{63}T_1T`$ $`=`$ $`B[R(i,i)+1/2{\displaystyle \underset{j}{\overset{^{\prime \prime }}{}}}R(i,j)`$ (7)
$`+1/4{\displaystyle \underset{j}{\overset{^{\prime \prime \prime }}{}}}R(i,j)],`$
here the notation of $`_x^{^{}}`$, $`^{^{\prime \prime }}`$ and $`^{^{\prime \prime \prime }}`$ means summation over two nearest-neighboring sites along the $`x`$ axis, four next-neighboring-sites, and four next-next-neighboring sites, respectively. Here we calculate $`T_1^1`$ in terms of arbitrary unit and choose the ratio of the coefficients Bulut  $`B/C=1.583`$.

Throughout this paper, we use the following parameters: $`U=2.4`$, $`V_{DSC}=1.2`$, the linear dimension of the unit cell of the vortex lattice is chosen as $`N_x\times N_y=40\times 20`$ sites and the number of the unit cells $`M_x\times M_y=20\times 40`$, and the hole doping level $`x=0.15`$. This choice corresponds to a uniform magnetic field $`B37T`$. We set $`t_0=a=1`$. The standard procedures Wang95  are followed to introduce magnetic unit cells, where each unit cell contains two superconducting flux quanta. By introducing the quasi-momentum of the magnetic Bloch state, we obtain the wave function under the periodic boundary condition whose region covers many unit cells.

## III Numerical Results and Comparing with Experiments

Our previous numerical calculations chen01  show clearly that the induced AF order exists both inside and outside the vortex cores, and behaves like an inhomogeneous SDW with the same wave length in the $`x`$ and $`y`$ directions. Fig. 1 depicts the SDW amplitude or the staggered magnetization $`M_𝐢^s`$=$`\mathrm{\Delta }_i^{SDW}`$/$`U`$ distribution in a square lattice. It is seen that the induced SDW order reaches its maximum value at the vortex core center (V), zero value at the saddle-point midway between two nearest neighboring vortices (S), and in between at the center of the squared vortex lattice unit cell (C). Using Eq.(2.4), the internal magnetic field $`H_{int}`$ at different site can be numerically determined. In the upper right inset of Fig. 1 we show the histogram of $`H_{int}`$, where $`P(H_{int})`$ measures the number of lattice sites (or plaquettes) with fixed $`H_{int}`$. We can approximately identify each site (V, S, C) including the sites around it in the vortex lattice to the distribution. The correspondence between the site position and $`H_{int}`$ can roughly be established. It is easy to see that the magnitude of $`H_{int}`$ is decreasing along the path (V$``$S$``$C) and its direction is always perpendicular to the lattice plane. In a narrow region, $`H_{int}`$ may even become negative. This is very different from the case for a pure DSC where $`H_{int}`$ is always positive Taki99 . Our histogram of $`H_{int}`$ distribution is consistent with the experimental data NMR  except there the region of negative $`H_{int}`$ is somewhat wider than ours. The experimentally observed negative $`H_{int}`$ may indicate the existence of magnetic field induced SDW around the vortex cores.

The NMR signal at the maximum cutoff of the histogram as a function of internal magnetic field comes from the V-site. The minimum cutoff is from the C-site. The peak value of the internal magnetic field comes from the S-site. Contrary to the case for a pure $`d`$-wave superconductor, the SDW order outside the vortex core may have a remarkable contribution to both the internal magnetic distribution and the NMR signal. It is supposed that $`{}_{}{}^{17}O`$ NMR experiment can provide direct information on the LDOS as the antiferromagnetism spin fluctuation is cancelled Taki91 ; Bulut92 . From our study, we find that in the presence of SDW vortex cores, the internal magnetic field on $`{}_{}{}^{17}O`$ site can not be cancelled exactly and appreciable residue exists.

Next, we study the relationship between low energy LDOS and NMR signal rate $`1/T_1`$. In a pure $`d`$-wave superconductor(DSC), a linear relationship is found between $`1/T_1(i)R(i,i)`$ and the LDOS $`\rho _i(E=0)`$ Taki99  at zero temperature. We have checked our program and reproduced similar results. Figure 2 depicts the spatial distribution images of LDOS $`\rho _i(E=0)`$ (a), and $`1/T_1(i)T`$ (b) for a pure DSC with $`U`$=0 at low temperature. In this case, the core state shows zero-energy peak Wang95  and nodal directions are along $`x=y`$ and $`x=y`$. The images in Fig. 2(a) and 2(b) are similar to each other and the results can be regarded as linearly proportional to each other. Thus the NMR signal for a pure DSC can be estimated quantitatively from its corresponding zero energy LDOS according to the linear relationship.

From Fig. 2(a), the LDOS of quasiparticles decreases along the path (V$``$C$``$S). In the nodal directions, appreciable weight of the low-energy states extending from the vortex core still remains there. Our numerical result indicates that the LDOS of the low-energy states at the C-site is slightly larger than that of the S-site, although C-site is farther away from the vortex center. This is different from the work by Takigawa et alTaki99  where the LDOS at the S site is found to be larger than that at the C site. The authors Taki99  there employed the symmetrical gauge and they found that their unit vector of vortex lattice is oriented along $`45^o`$ from the Cu-O bond. But our result is consistent with the study of Knapp et al. Knapp who used a different approach and calculated the NMR signal at various sites for a pure DSC. Furthermore, a recent small-angle neutron scattering measurement smallangle  for La1.83Sr0.17CuO4+δ indicates that the unit vector of vortex lattice is clearly oriented along the Cu-O bonds, consistent with our result in Fig. 1. The NMR experiments NMR ; NMR1 ; NMR2 ; NMR3  also show that the NMR signal first decreases as one moves away from the V-site to S-site and then increases at the C-site, consistent with the results in Fig. 2. Here we notice that the NMR signal at C site is slightly larger than that at S-site, their difference could be seen in Fig. 6 and Fig. 7. It appears that the above analysis could provide a basic understanding of the spatial distribution of the experimentally observed NMR relaxation rates in HTS in the framework of pure DSC. However, it is well known that the theoretical predicted LDOS Wang95 , which shows a strong zero energy peak for a pure DSC at the vortex core is in contradictory to the STM measurements Renner ; Pan  on HTS. In order to overcome this difficulty, the magnetic induced AF order has been introduced Zhu01  to account for the experiments. In the following we shall investigate the effect of induced AF or SDW order on the NMR theory in HTS.

The presence of the induced SDW order in the mixed state may lead to violation of the linear relationship between the LDOS at $`E`$=0 and the NMR relaxation rate $`1/T_1(i)`$ . This can be seen clearly in Fig. 3, where we show the spatial images of the LDOS (a) and the $`1/T_1(i)T`$ (b) according to our numerical calculations for $`U`$=2.4. There is little resemblance between Figs. 3(a) and 3(b), and the linear relationship does not exists here. Fig. 3(a) indicates that the LDOS is smallest at V-site, and largest at S-site, it clearly can not be applied to explain the NMR experiments NMR ; NMR1 ; NMR2 ; NMR3  as in the case for a pure DSC .

But the LDOS obtained here exhibits no zero energy peak at the vortex core which is consistent with the STM experiments Renner ; Pan . The averaged LDOS of quasiparticles in Fig. 3(a)($`U`$=2.4) is greatly suppressed than that in Fig. 2(a)($`U`$=0). This is because the presence of the induced SDW enhances the insulating nature of the system and thus reduces the number of the quasiparticles. When $`U`$=2.4, there are two contributions to the NMR signal $`1/T_1(i)T`$, at the low temperature, the dominant one is from the induced SDW order and the minor one is from the low energy quasiparticle states. The LDOS is the smallest at the vortex core center but the SDW order is at its maximum as shown in Fig. 1. From Fig. 3(b), it is easy to see that the spatially distributed NMR signal $`1/T_1(i)T`$ which has the largest value at the vortex center because of the induced AF order there and decreases along the path (V$``$C$``$S). This feature is consistent with what has been observed by the experiments NMR ; NMR1 ; NMR2 ; NMR3  and in sharp contrast with Takigawa et al.’s results Taki02 . They claimed that $`T_1^1`$ at V-site is smaller than the neighboring sites and the NMR signal rate at S-site is higher than that of C-site. The choice of lattice size in their calculations corresponds to a very strong magnetic field at about 51 Tesla. Their results seem to be inconsistent with the measurement of $`1/^{17}T_1`$ on YBa2Cu3O7-δ NMR .

The NMR signals also exhibit the temperature T and magnetic field B dependences. Our approach described in Section II is easily extended to study the finite T case, but not the B dependence because weaker B implies larger size calculation which we are not able to do at the present moment. Since the observed NMR signals are coming from the oxygen, copper, or other atoms in HTS, here we shall mainly consider the temperature dependence of the NMR signal rate $`1/^{17}T_1`$ from the $`{}_{}{}^{17}O`$ sites using Eq. (2.6). It needs to be point out that the value of $`R(i,ji)`$ in Eq. (2.6) is of the same order with $`R(i,i)`$ and its contribution should not be neglected. In Fig. 4, the NMR relaxation rates $`1/T_1`$=$`1/^{17}T_1`$ on $`{}_{}{}^{17}O`$ site normalized by its value $`1/T_1^c`$ at $`T_c`$ as a function of T are plotted for sites V, C and S. The calculations are performed using $`U`$=2.4 except the dashed curve associated with the V site where $`U`$=0 and is obtained for a pure DSC. The inset plots the temperature dependence of the staggered magnetization at V-site and DSC order at S-site.

Our calculations show that the vast majority sites outside the vortex core exhibit long relaxation time, but few sites around the vortex core exhibit short relaxation time, which contains useful information on the site-dependent low energy excitations around the vortex. The maximum magnitude of $`{}_{}{}^{17}T_{1}^{1}`$ at V-site is about two orders of magnitude larger than that far from the vortex core, and the NMR signal rate at C-site is also larger than that at S-site. Because both NMR signals at C and S sites are very weak as compared to that at V site, their distinction is not reflected in Fig. 4 below $`T<0.4T_c`$. The minimal value of the staggered magnetization occurs near the saddle point S. It reflects the fact that the SDW order at C site is larger than that at S site as shown in Fig. 1. This result clearly indicates that the presence of the induced SDW order makes remarkable contribution to NMR signals. At the vortex core center V, the evolution of $`T_1^1`$ with temperature exhibits a double peak structure below $`T_c`$; the sharp peak occurs at lower T and the broad peak is at higher T. This is in contrast to a single peak obtained with $`U`$=0 for a pure DSC Taki99 , and it can be clearly seen from the dashed curve below a critical temperature $`T_{AF}0.54T_c`$ and the solid curve above $`T_{AF}`$ associated with the V site in Fig. 4. The inset shows that above the temperature $`T_{AF}`$, the induced staggered magnetization vanishes and only DSC order prevails up to $`T_c`$. The sharp peak at 0.45$`T_c`$ is below $`T_{AF}`$ and the broad peak at 0.64$`T_c`$ is originated in the pure DSC order. It is obvious that the value of the critical temperature $`T_{AF}`$ is $`U`$ or sample dependent, and the position of the sharp peak can made to a lower T if a smaller $`U`$ or $`T_{AF}`$ is chosen for the calculation. In case the value of $`T_{AF}`$ is slightly higher than the position of the broad peak, only a single peak for the NMR signal is predicted. When $`T_{AF}`$ is close or larger than $`T_c`$, the NMR signal would be a increasing function of T and may not show any peak structure. We also have done the same calculation for the NMR relaxation rates on $`{}_{}{}^{63}Cu`$ nuclei on our model lattice sites $`(1/T_1(i))`$, and found similar T and site dependence as shown in Fig. 4. In the experimental aspect, a sharp peak has been observed at $`T0.235T_c`$ NMR3  in Tl2Ba2CuO6 while there is no observed peak in YBa2Cu3O7 up to $`T0.272T_c`$ NMR . Therefore the value $`U`$ in YBa2Cu3O7 should be larger than that in Tl2Ba2CuO6. This conclusion is opposite to the theoretical prediction made by Takigawa et al. Taki02

We also would like to examine the difference in the spatial distributions of the NMR signals from $`{}_{}{}^{63}Cu`$ and $`{}_{}{}^{17}O`$ nuclei. In Fig. 5, The site distribution maps of $`T_1^1`$ for $`{}_{}{}^{63}Cu`$ and for $`{}_{}{}^{17}O`$ in a pure DSC ($`U`$=0) are respectively illustrated in (a) and (b). Both of these maps reach a similar peak value at the vortex core and then fall away smoothly from it. In the vortex core, the magnitude of $`T_1^1`$ at the $`{}_{}{}^{63}Cu`$ site is about three times larger than that at the $`{}_{}{}^{17}O`$ site. In Figs. 5(c) and 5(d), we present the results for $`{}_{}{}^{63}Cu`$ and $`{}_{}{}^{17}O`$ nuclei in a DSC with induced SDW ($`U`$=2.4). The site-dependent spectra for both nuclei show staggered oscillations in the vortex core, there the NMR signal rate from the $`{}_{}{}^{17}O`$ site is about one fourth of the value from that of $`{}_{}{}^{63}Cu`$ site. This is because the AF order at the $`{}_{}{}^{17}O`$ sites could be dramatically weakened by the partial cancellation of the staggered magnetization between two nearest neighboring sites on the original lattice. It is useful to point out that the NMR signal $`{}_{}{}^{17}T_{1}^{1}`$ outside the vortex core region is one order of magnitude smaller than that of $`{}_{}{}^{63}T_{1}^{1}`$. In the presence of the induced SDW, the NMR signal rate is enhanced at the core center and suppressed away from the vortex core. For both $`U`$=0 and $`U`$=2.4 cases, $`T_1^1`$ reaches a maximum at the core center while its value at the C-site is always larger than that at the S-site.

Next, the temperature dependence of NMR signal rates for the case of $`U`$=2.4 is examined. Here, we plot the variation of $`T_1^1`$ along the path $`VSC`$ for $`{}_{}{}^{63}Cu`$ nuclei in Fig. 6(a) and for $`{}_{}{}^{17}O`$ nuclei Fig. 6(b) at two different temperatures. The values of $`T_1^1`$ in Figs. 6(a) and 6(b) exhibit similar behavior and oscillate from site to site. The amplitude of the oscillation reflects the underlying staggered magnetization and is apparently weakened at higher temperature. In fact, the T dependence of NMR signal rate at three typical points has been seen from Fig. 3. Figure 6 shows more clearly that NMR signal rate at each site increases with temperature and its value at site C is always larger than that at site S. We have reproduced the power law relation $`T_1^1T^3`$ for a pure DSC Taki99  at zero magnetic field and at low temperature. In the presence of vortices with induced SDW order, it should not be surprised that $`T_1^1`$ does not follow this $`T^3`$ law.

Finally, we show the site dependence of NMR signal rates on $`{}_{}{}^{63}Cu`$ and on $`{}_{}{}^{17}O`$ nuclei at two different magnetic field B respectively in Figs. 7(a) and 7(b). The NMR signals $`T_1^1`$ in Figs. 7(a) and 7(b) are similar to each other. Since the magnitude of the induced SDW order is strongly dependent on the external magnetic field B — higher B leads to more pronounced SDW order which may in turn yield a larger NMR signal. This conclusion is consistent with the NMR experiments NMR3 . As a result, the amplitude of oscillation at different sites, which measures the strength of the induced staggered magnetization, is dramatically reduced when the magnetic field B is decreased from 37T to 27T as shown in Fig. 7. Here $`B=27T`$ corresponds to a vortex lattice unit cell of $`48\times 24`$ sites. On the other hand, the NMR signal rate at V-site is suppressed with increasing B for a pure DSC Taki99  which reflects the density of quasiparticle around the vortex core is reduced due to the enhancement of quasiparticle leakage along the nodal directions. It was argued by Takigawa et al. Taki02  that when AF order inside the vortex core is large enough, $`T_1^1`$ becomes the absolute minimum at V-site. This conjecture Taki02  is based on the assumption that the linear relation between $`T_1^1`$ and LDOS still exists even in the presence of the SDW order. On the other hand, our results indicate strongly that with the increasing B, the enhancement of AF order inside the vortex core may lead to more pronounced $`T_1^1`$ value at the V-site. This is very different from what has been predicted in Ref. 31. Finally we point out that existing experimental data NMR  show the presence of appreciable NMR signal rate at S-site and its value is insensitive to T. But in our calculations there is a very weak NMR signal at S-site. The discrepancy between experimental data and our results may be due to the reason unclear to us at this moment.

## IV Summary

Based on a model Hamiltonian as described in Sections I and II, we have investigated the site- and temperature- dependence of NMR signal rate $`T_1^1`$ near the vortex core in an optimally doped HTS. The calculations are carried out with ($`U=2.4`$) and without ($`U=0`$) the magnetic field induced SDW order. Although the relative values of $`T_1^1`$ at V, S, and C sites near the vortex core obtained theoretically for a pure DSC are consistent with recent experiments NMR ; NMR1 ; NMR2 ; NMR3 , the temperature dependent of $`T_1^1`$ thus derived fails to explain the sharp peak observed in NMR experiments NMR3  for Tl2Ba2CuO6+δ at low temperature. Moreover, the LDOS obtained for a pure DSC Wang95  has a zero energy peak at the core center and this is in contradictory to the STM observations Renner ; Pan . All these difficulties could somewhat be removed by introducing the field induced SDW pinned at the vortex cores as it has been studied in the present paper. With the induced SDW order, the LDOS exhibits no zero energy peak at the core center and is consistent with experiments. Unlike the case for a pure DSC, there exists no linear relationship between zero energy LDOS and $`T_1^1`$. We show that SDW order could strongly enhance the NMR signal rate, and as a result, the NMR signal $`T_1^1`$ from $`{}_{}{}^{17}O`$ site has its largest value at the core center V, and smallest value at the saddle point S site (see Figs. 6 and 7). The temperature dependent of $`T_1^1`$ at V site exhibits a sharp peak at low temperature which is in agreement with the NMR experiments NMR ; NMR3 . Since the strength of the SDW order depends on the magnitude of B, the value of $`T_1^1`$ should also be enhanced by increasing B. We also compare $`T_1^1`$ from $`{}_{}{}^{63}Cu`$ and $`{}_{}{}^{17}O`$ nuclei at different T and B, their essential features are similar to each other. The magnitude of $`{}_{}{}^{17}T_{1}^{1}`$ outside the vortex core region is about one order of magnitude smaller than that of $`{}_{}{}^{63}T_{1}^{1}`$ while these two values are closer to each other inside the vortex core. Finally, we would like to point out that the difference between our results and those of a similar work Taki02  has been discussed in detail in Section III. Another fundamental difference is that their LDOS Taki02  at the vortex center for a pure DSC ($`U=0`$) shows double peaks near E=0 while only a single peak is obtained in previous Wang95 and present works. It is our hope that the present calculation may shed more light on the understanding of recent NMR and STM experiments for the mixed state of HTS in a unified picture, and stimulate more theoretical activity in this field.

###### Acknowledgements.

We are grateful to S. H. Pan, B. Friedman, G. -q. Zheng and Z. D. Wang for useful discussions. This work was supported by a grant from the Robert A. Welch Foundation and by the Texas Center for Superconductivity at the University of Houston through the State of Texas (YC and CST), and the Department of Energy (JXZ).