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Almost commuting self-adjoint operators and measurements

Published online by Cambridge University Press:  06 April 2026

Huaxin Lin*
Affiliation:
Shanghai Institute for Mathematics and Interdisciplinary Sciences (SIMIS) , Shanghai, China
*
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Abstract

We study the problem when an n-tuple of self-adjoint operators in an infinite-dimensional separable Hilbert space H with small commutators is close to an n-tuple of commuting self-adjoint operators on $H.$ We give an affirmative answer to the problem when the synthetic-spectrum and the essential synthetic-spectrum are close. Examples are also exhibited that, in general, the answer to the problem when $n\ge 3$ is negative even the associated Fredholm index vanishes. This is an attempt to solve a problem proposed by David Mumford related to quantum theory and measurements.

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© The Author(s), 2026. Published by Cambridge University Press on behalf of Canadian Mathematical Society

1 Introduction

At the First International Congress of Basic Science held in 2023, David Mumford delivered the opening plenary lecture on Consciousness, Robots, and DNA [Reference Mumford32]. He began by cautioning the audience that there would be no mathematics in his talk. Nevertheless, by the very end of this magnificent lecture – which culminated with the idea of DNA as a measuring instrument opening a Pandora’s box – he proposed an unexpected problem in $C^*$ -algebras: determining when almost commuting self-adjoint operators can be approximated by commuting ones.

A version of this problem proposed by Mumford may be reformulated as follows: Let $\epsilon>0$ and $n\in \mathbb {N}$ be a positive integer. When is there a constant $\delta>0$ such that the following statement holds? For any separable Hilbert space H and self-adjoint operators $T_1, T_2,\ldots ,T_n$ (with $\|T_j\|\le 1$ ) satisfying

(e1.1) $$ \begin{align} \|T_iT_j-T_jT_i\|<\delta,\,\,\, 1\le i,j\le n, \end{align} $$

there exist self-adjoint operators $S_1,S_2,\ldots ,S_n$ on H such that

(e1.2) $$ \begin{align} S_iS_j=S_jS_i\,\,\,\mathrm{and}\,\,\, \|S_j-T_j\|<\epsilon,\,\, \, 1\le i,j\le n. \end{align} $$

In the case that $n=2$ and H is any finite-dimensional Hilbert space (no bound on the dimension) the exactly the same problem is known as von-Neumann–Kadison–Halmos problem for almost commuting self-adjoint matrices (see [Reference Halmos12, Reference Halmos13]). In this setting, the problem has an affirmative solution [Reference Lin21] (see also [Reference Friis and Rørdam9, Reference Hastings14], and [Reference Luxembourg and Taylor30] for fixed dimensions). However, in an infinite-dimensional Hilbert space $H,$ as Mumford noted in his recent book (p. 182 of [Reference Mumford31]) – and as was previously known – the answer is negative in general (see also Example 4.6 of [Reference Friis and Rørdam9]).

The affirmative solution for almost commuting self-adjoint matrices has spurred further research in the study of weak semi-projectivity in $C^*$ -algebras. It also has a deep impact on the Elliott program of classification of amenable $C^*$ -algebras (see [Reference Elliott, Gong, Lin and Pasnicu8, Reference Lin24, Reference Lin25, Reference Lin27, Reference Lin28]). Moreover, Mumford’s problem opens new avenues for applying this branch of $C^*$ -algebra theory to previously unexpected fields, such as DNA research and artificial intelligence [Reference Mumford31].

The first main result of this article is as follows.

Theorem 1.1. Let $n\in \mathbb {N}$ and $\epsilon>0.$ There exists $\delta (n, \epsilon )>0$ satisfying the following: Suppose that H is an infinite-dimensional separable Hilbert space, and $T_1, T_2,\ldots ,T_n$ are self-adjoint linear operators on H with $\|T_i\|\le 1$ ( $1\le i\le n$ ) such that

(e1.3) $$ \begin{align} \|T_iT_j-T_jT_i\|<\delta,\,\,\, 1\le i,j\le n\,\,\,\text{and}\,\,\, d_H(X, Y)<\epsilon/8, \end{align} $$

where $X=s\mathrm {Sp}^{\epsilon /8}(T_1, T_2,\ldots ,T_n)$ and $Y=s\mathrm {Sp}^{\epsilon /8}_{ess}((T_1, T_2,\ldots ,T_n)).$ Then there are bounded self-adjoint linear operators $S_1, S_2,\ldots ,S_n$ on H such that

(e1.4) $$ \begin{align} S_iS_j=S_jS_i,\,\,\, 1\le i,j\le n\,\,\,\text{and}\,\,\, \|T_j-S_j\|<\epsilon,\,\,\, 1\le j\le n. \end{align} $$

(See Remark 6.5 for the case that each $T_j$ is compact.)

Here, $s\mathrm {Sp}^\eta ((T_1, T_2,\ldots ,T_n))$ and $s\mathrm {Sp}_{ess}^\eta ((T_1, T_2,\ldots ,T_n))$ are the sets of $\eta $ -synthetic-spectrum and essential $\eta $ -synthetic-spectrum, respectively (see Definition 2.8). In (e 1.3), $d_H(X,Y)$ is the Hausdorff distance between the two compact subsets of ${\mathbb {I}}^n,$ the n-dimensional unit cube. In the special case that $s\mathrm {Sp}^{\epsilon /8}_{ess}((T_1, T_2,\ldots ,T_n))$ is full, that is, it contains the whole ${\mathbb {I}}^n,$ then the second part of (e 1.3) is automatically satisfied.

Remark 6.6 provides some justification of the second condition related to macroscopic observables and measurements, and a discussion of the Mumford problem.

More generally, let H be a Hilbert (right) module over a $C^*$ -algebra $A,$ let $L(H)$ be the $C^*$ -algebra of all bounded module maps on H with adjoints, and let $F(H)$ be the linear span of rank one module maps T of the form $T(x)=z\langle y,x\rangle $ (for all $x\in H$ ), where $y, z\in H.$ Denote by $K(H)$ the closure of $F(H)$ which is a $C^*$ -algebra. We also have the following theorem.

Theorem 1.2. Let $n\in \mathbb {N}$ and $\epsilon>0.$ There exists $\delta (n, \epsilon )>0$ satisfying the following: Suppose that H is a countably generated Hilbert-module over a $\sigma $ -unital purely infinite simple $C^*$ -algebra A, and $T_1, T_2,\ldots ,T_n\in L(H)$ are self-adjoint bounded module maps with $\|T_i\|\le 1$ ( $1\le i\le n$ ) such that

(e1.5) $$ \begin{align} \|T_iT_j-T_jT_i\|<\delta,\,\,\, 1\le i,j\le n. \end{align} $$

Suppose also

(i) $\ \ K(H)=L(H),$ or

(ii) $K(H)\not =L(H),$ and $ d_H(X, Y)<\epsilon /8,$ where $X=s\mathrm {Sp}^{\epsilon /8}(T_1, T_2,\ldots ,T_n)$ and $Y=s\mathrm {Sp}^{\epsilon /8}((\pi _c(T_1), \pi _c(T_2),\ldots ,\pi _c(T_n))),$ and $\pi _c: L(H)\to L(H)/K(H)$ is the quotient map.

Then there are $S_1, S_2,\ldots ,S_n\in L(H)_{s.a.}$ such that

(e1.6) $$ \begin{align} S_iS_j=S_jS_i,\,\,\, 1\le i,j\le n\,\,\,\text{and}\,\,\, \|T_j-S_j\|<\epsilon,\,\,\, 1\le j\le n. \end{align} $$

While we are mostly interested in the case that $n>2,$ we also look the special case when $n=2.$ For a pair of self-adjoint operators, we have a more definite answer for some Hilbert modules.

Theorem 1.3. Let $\epsilon>0.$ There exists $\delta (\epsilon )>0$ satisfying the following: Suppose that (i) H is an infinite-dimensional separable Hilbert space, or (ii) H is a countably generated Hilbert module over a $\sigma $ -unital purely infinite simple $C^*$ -algebra A such that $L(H)$ has real rank zero, or (iii) H is a countably generated Hilbert module over a $\sigma $ -unital simple $C^*$ -algebra B of stable rank one such that $L(H)$ has real rank zero and $L(H)/K(H)$ is simple.

Suppose also that $T_1, T_2\in L(H)$ are self-adjoint bounded module maps on H with $\|T_i\|\le 1$ ( $i=1,2$ ) such that

(e1.7) $$ \begin{align} \|T_1T_2-T_2T_1\|<\delta\,\,\,\text{and}\,\,\, \kappa_1(\lambda-\pi(T_1+iT_2))=0 \end{align} $$

for all $\lambda \not \in s\mathrm {Sp}^\delta ((\pi (T_1), \pi (T_2))),$ where $\pi : L(H)\to L(H)/K(H)$ is the quotient map. Then there are self-adjoint bounded module maps $S_1, S_2\in L(H)$ such that

(e1.8) $$ \begin{align} S_1S_2=S_2S_1\,\,\,\text{and}\,\,\, \|S_j-T_j\|<\epsilon,\,\,\, j=1,2. \end{align} $$

Moreover, the condition that $L(H)$ has real rank zero can be removed if we assume that $s\mathrm {Sp}^\delta ((\pi (T_1), \pi (T_2)))$ is connected.

The second condition in (e 1.7) means that a Fredholm index vanishes (see Definition 2.4). Note that both cases (ii) and (iii) generalize case (i). In case (ii), $K(H)$ is stable (whenever H is not a finitely generated projective Hilbert module), and $L(H)/K(H)$ is simple (analogous to the Calkin algebra). Moreover, in case (ii), $L(H)/K(H)$ retains its simplicity while $L(H)$ has real rank zero.

Case (i) in Theorem 1.3 is a more definite result than that of Theorem 1.1 for $n=2.$ In fact, we prove a slightly more general result (see Theorem 5.3 below). One should also compare (i) in Theorem 1.3 to Theorem 1.1 of [Reference Kachkovskiy and Safarov16] (see Remark 5.6). Theorem 1.1 of [Reference Kachkovskiy and Safarov16] provides a more definitive estimate of $\mathrm {dist}(a, N_f(A)),$ the distance from an element to the set of normal elements with finite spectrum in $C^*$ -algebras with real rank zero. However, when $K_1(K(H))\not =0,$ normal elements $N=S_1+iS_2$ may not be approximated by normal elements in $K(H)$ with finite spectrum. Thus, cases (ii) and (iii) in Theorem 1.3 cover scenarios where almost normal elements are close to normal elements that cannot be approximated normal elements with finite spectra – complementing the results in [Reference Kachkovskiy and Safarov16].

We further demonstrate that the vanishing index condition for the operator pair is necessary. Given well-known instability of the spectrum (and essential spectrum) of bounded operators under perturbations, it becomes essential to consider some version of $\delta $ -spectrum (typically larger than the spectrum). For $n\ge 2,$ we introduce the concept of $\delta $ -synthetic-spectrum for n-tuples of self-adjoint elements in a unital $C^*$ -algebra (see Definition 2.8). We will also show that, unfortunately, the version of Mumford’s problem formulated above has a negative solution in general – even the associated Fredholm index vanishes when $n>2.$

In quantum mechanics, one often encounters the statement, “when the commutators go to zero, we recover the classical system.” If “recover” means that the observables are approximated by commuting observables, then the example in (iii) of Chapter 14 of [Reference Mumford31] (Example 4.6 of [Reference Friis and Rørdam9]), and Propositions 5.5 and 6.4 all reveal significant topological obstructions to such claims. Nevertheless, Theorem 1.1, interpreted as in Remark 6.6, may offer an alternative perspective.

The article is organized as follows. Section 2 contains some notations used in the article, gives the definition of $\delta $ -synthetic-spectrum and $\delta $ -near-spectrum for n-tuples of self-adjoint operators, and discusses the relationship between them (see also Proposition 2.17). Section 3 is a study of n-tuples of almost commuting self-adjoint elements in a unital purely infinite simple $C^*$ -algebra. Section 4 presents the proof of Theorems 1.1 and 1.2. In Section 5, we will discuss the case of a pair of almost commuting self-adjoint bounded module maps and provide a proof of Theorem 1.3. In Section 6, the last section, we show why the Fredholm index does not appear in the statement of Theorem 1.1. We then present an example that an n-tuple version of Theorem 1.3 does not hold in general. A final remark was added which contains the justification of the second condition in (e 1.3) and its connection to the Mumford original question.

2 Preliminaries

Definition 2.1. Let A be a $C^*$ -algebra. Denote by $A_{s.a.}$ the set of all self-adjoint elements in $A.$ Denote by $M(A)$ the multiplier algebra (the idealizer of A in $A^{**}$ ). If $x, y\in A$ and $\epsilon>0,$ we write

(e2.9) $$ \begin{align} x\approx_\epsilon y,\,\,\, \mathrm{if}\,\,\, \|x-y\|<\epsilon. \end{align} $$

For unital $C^*$ -algebra $A,$ denote by $GL(A)$ and $GL_0(A),$ the group of invertible elements and the path connected component of $GL(A)$ containing the identity of $A,$ respectively.

Definition 2.2. Let H be an infinite-dimensional separable Hilbert space. Denote by $B(H)$ the $C^*$ -algebra of all bounded linear operators on H and by ${\cal K}$ the $C^*$ -algebra of all compact operators on $H.$ Denote by $\pi _c: B(H)\to B(H)/{\cal K}$ the quotient map.

Let $T\in B(H).$ Recall that the essential spectrum of $T, \mathrm {sp}_{ess}(T)=\mathrm {sp}(\pi _c(T)),$ is the spectrum of $\pi _c(T).$

Definition 2.3. Let A be a $C^*$ -algebra and H be a Hilbert (right) module over A (or Hilbert A-module; see [Reference Kasparov17]). Denote by $L(H)$ the $C^*$ -algebra of all bounded module maps on H with adjoints. A rank-one module map $T\in L(H)$ is a bounded module map of the form $T(x)=z\langle y,x\rangle $ for all $x\in H$ (and fixed $y, z\in H$ ), where $\langle \cdot , \cdot \rangle $ is the A-valued inner product on $H.$ Denote by $F(H)$ the linear span of rank-one module maps and $K(H)$ the (norm) closure of $F(H).$ Following Theorem 1 of [Reference Kasparov17], we identify $L(H)$ with $M(K(H)).$

Definition 2.4. Let A be a unital $C^*$ -algebra, and $x\in A$ be an invertible element. Define $u_x=x(x^*x)^{-1/2}.$ Note that $u_x$ is a unitary. Define

(e2.10) $$ \begin{align} \kappa_1(x)=[u_x]\in K_1(A). \end{align} $$

Then $\kappa _1(x)=0$ if and only if $x\in GL_0(A),$ when $K_1(A)=U(A)/U_0(A).$ Let $T\in B(H)$ be such that $\pi _c(T)$ is invertible in $B(H)/{\cal K}.$ Then

(e2.11) $$ \begin{align} \mathrm{Ind}(T)=\kappa_1(\pi_c(T))=[u_{\pi_c(T)}]\,\,\, \mathrm{in}\,\,\, K_1(B(H)/{\cal K})\cong\mathbb{Z}. \end{align} $$

Definition 2.5. In $\mathbb {R}^n,$ by $\mathrm {dist}(x,y),$ we mean the Euclidean distance between x and $y,$ that is, $\|x-y\|_2.$ Denote by ${\mathbb {I}}^n=\{(r_1, r_2,\ldots ,r_n)\in \mathbb {R}^n: |r_i|\le 1\}.$ If $\eta>0$ and $x\in {\mathbb {I}}^n,$ define $B(x, \eta )=\{y\in {\mathbb {I}}^n: \mathrm {dist}(x, y)<\eta \}.$ Let $e_0(\xi )=1$ for all $\xi \in {\mathbb {I}}^n$ be the constant function, $e_i\in C({\mathbb {I}}^n)$ be defined by $e_i((r_1, r_2,\ldots ,r_n))=r_i$ for $(r_1, r_2,\ldots ,r_n)\in {\mathbb {I}}^n, i=1,2,\ldots ,n.$ This notation will be used throughout this article. Note that $C({\mathbb {I}}^n)$ is generated by $\{e_i: 0\le i\le 1\}.$

Definition 2.6. Let X be a metric space with a fixed metric. Suppose that $Y\subset X.$ For any $\eta>0,$ define

(e2.12) $$ \begin{align} Y_\eta=\{\xi\in X: \mathrm{dist}(\xi, Y)< \eta\}. \end{align} $$

Definition 2.7. Fix $M\ge 1.$ Fix an integer $k\in \mathbb {N}.$ Define

$$ \begin{align*}P_k=\{\xi=(x_1,x_2,\ldots,x_n)\in \mathbb{R}^n: x_j=m_j/k, |m_j|\le M k, m_j\in \mathbb{Z},\,\,1\le j\le n\}.\end{align*} $$

$P_k$ has only finitely many points. Most of the time, we choose $M=1.$

Definition 2.8. Let $n\in \mathbb {N}$ and $M>0.$ In what follows, for each $0<\eta <1,$ we choose a fixed integer $k=k(\eta )\in \mathbb {N}$ such that $k=\inf \{l\in \mathbb {N}: (M+1)/l<{\eta \over {1+2\sqrt {n}}}\}.$ Denote $D^\eta =P_k.$ We write $D^\eta =\{x_1,x_2,\ldots ,x_m\}.$ Then $D^\eta $ is $\eta /2$ -dense in $M^n=\{(t_1,t_2,\ldots ,t_n)\in \mathbb {R}^n: |t_i|\le M\}.$ Moreover, $D^\eta \subset D^\delta $ if $0<\delta <\eta .$

Let A be a unital $C^*$ -algebra and $(a_1,a_2,\ldots ,a_n)$ be an n-tuple of self-adjoint elements in A with $\|a_i\|\le M$ ( $1\le i\le n$ ). Fix $\xi =(\lambda _1, \lambda _2,\ldots ,\lambda _n)\in {\mathbb {I}}^n.$ Let $\theta _{\lambda _i,\eta }\in C([-M, M])$ be such that $0\le \theta _{\lambda _i, \eta }\le 1, \theta _{\lambda _i, \eta }(t)=1,$ if $|t-\lambda _i|\le 3\eta /4, \theta _{\lambda _i,\eta }(t)=0$ if $|t-\lambda _i|\ge \eta ,$ and $\theta _{\lambda _i \eta }$ is linear in $(\lambda _i-\eta , \lambda _i-3\eta /4)$ and in $(\lambda _i+3\eta /4, \lambda _i+\eta ),$ $i=1,2,\ldots ,n.$ Define, for $(t_1, t_2,\ldots ,t_n)\in M^n,$

(e2.13) $$ \begin{align} \Theta_{\xi, \eta}(t_1,t_2,\ldots,t_n)&=\prod_{i=1}^n\theta_{\lambda_i, \eta}(t_i)\,\,\,\mathrm{and}\,\,\, \end{align} $$
(e2.14) $$ \begin{align} \Theta_{\xi, \eta}(a_1,a_2,\ldots,a_n)&=\theta_{\lambda_1,\eta}(a_1)\theta_{\lambda_2,\eta}(a_2)\ldots \theta_{\lambda_n,\eta}(a_n). \end{align} $$

Note that we do not assume that $a_1, a_2,\ldots ,a_n$ mutually commute and the product in (e2.14) has a fixed order.

For $x_j\in D^\eta ,$ write $x_j=(x_{j,1}, x_{j,2},\ldots ,x_{j,n})\in D^\eta .$ We may sometime write $\theta _{j,i, \eta }:=\theta _{x_{j,i},\eta }$ and $\Theta _{j, \eta }:=\Theta _{x_j, \eta }, 1\le i\le n, j=1,2,\ldots ,m.$ Set

(e2.15) $$ \begin{align} s\mathrm{Sp}^\eta((a_1,a_2,\ldots, a_n))= \bigcup{}_{_{\|\Theta_{x_j, \eta}(a_1,a_2,\ldots,a_n)\|\ge 1-\eta}} \overline{B(x_j, \eta)}. \end{align} $$

This union of finitely many closed balls $s\mathrm {Sp}^\eta ((a_1,a_2,\ldots ,a_n))$ is called $\eta $ -synthetic-spectrum of the n-tuple $(a_1,a_2,\ldots ,a_n)$ which, by the definition, is compact.

In what follows, we are particularly interested in the case that $M=1.$

If $A=B(H)$ for some infinite-dimensional separable Hilbert space, define

(e2.16) $$ \begin{align} s\mathrm{Sp}^\eta_{ess}((a_1,a_2,\ldots,a_n))=s\mathrm{Sp}^\eta((\pi_c(a_1), \pi_c(a_2),\dots,\pi_c(a_n))) \end{align} $$

which will be called essential $\eta $ -synthetic-spectrum. It is clear that

(e2.17) $$ \begin{align} s\mathrm{Sp}^\eta_{ess}((a_1,a_2,\ldots,a_n))\subset s\mathrm{Sp}^\eta((a_1,a_2,\ldots,a_n)). \end{align} $$

Definition 2.9. Let A and B be $C^*$ -algebras. A linear map $L: A\to B$ is a c.p.c. map if it is completely positive and contractive.

Definition 2.10. Let A be a unital $C^*$ -algebra and $a_1,a_2,\ldots ,a_n\in A_{s.a.}$ for some $n\in \mathbb {N}.$ Let us assume that $\|a_i\|\le 1, i=1,2,\ldots ,n.$ Fix $0<\eta <1/2.$ Suppose that $X\subset {\mathbb {I}}^n$ is a compact subset and $L: C(X)\to A$ is a unital c.p.c. map such that

(e2.18) $$ \begin{align} \mathrm{(i)} &\quad\|L(e_j|_X)-a_j\|<\eta,\,\,\, 1\le j\le n, \end{align} $$
(e2.19) $$ \begin{align} \mathrm{(ii)}&\quad\|L((e_ie_j)|_X)-L(e_i|_X)L(e_j|_X)\|<\eta, \,\,\, 1\le i,j\le n,\,\,\,\mathrm{and}\,\,\, \end{align} $$
(e2.20) $$ \begin{align} \mathrm{(iii)} &\quad \|L(f)\|\ge 1-\eta \end{align} $$

for any $f\in C(X)_+$ which has value $1$ on an open ball with the center $x\in X$ (for some x) and the radius $\eta .$ Then we say that X is an $\eta $ -near-spectrum of the n-tuple $(a_1, a_2,\ldots ,a_n).$ We may write

$$ \begin{align*}X=nSp^\eta((a_1,a_2,\ldots,a_n)) \end{align*} $$

for convenience. The reader is recommended to read Remark 2.11 for clarification.

If L is, additionally, a unital homomorphism, then we say that X is an $\eta $ -spectrum of the n-tuple $(a_1,a_2,\ldots ,a_n).$ In this case, let $J=\mathrm {ker}L\subset C(X)$ (L is now a homomorphism). Then $C(X)/J\cong C(Z)$ for some compact subset $Z\subset X$ and, by (iii) above, we may assume that $Z\subset X\subset Z_\eta $ (see Definition 2.6). In other words, there is an injective homomorphism $\varphi : C(Z)\to A$ such that

(e2.21) $$ \begin{align} \|\varphi(f|_Z)-L(e_j|_X)\|<\eta \,\,\,\mathrm{and}\,\,\, L=\varphi\circ \pi_Z, \end{align} $$

where $\pi _Y: C(X)\to C(Z)$ is the quotient (restriction) map.

Let H be an infinite-dimensional separable Hilbert space and let $T_1, T_2,\ldots ,T_n\in B(H)_{s.a.}.$ If X is an $\eta $ -spectrum of $(\pi _c(T_1), \pi _c(T_2),\dots ,\pi _c(T_n)),$ we say that X is an essential $\eta $ -spectrum for $(T_1, T_2,\ldots ,T_n).$ In this case, we write

$$ \begin{align*}Sp_{ess}^\eta((a_1,a_2,\ldots,a_n)):=X. \end{align*} $$

Remark 2.11. Here are some clarifications:

1. It should be noted that $nSp^\delta ((a_1, a_2,\ldots ,a_n))$ is not uniquely determined and depends on the choice of the c.p.c. map. Writing $X=nSp^\delta ((a_1,a_2,\ldots ,a_n))\not =\emptyset $ simply means that there exists a non-empty compact subset X and a unital c.p.c. map $L: C(X)\to A$ satisfying conditions (i)–(iii) of Definition 2.10. This convention is adopted for notational convenience. Moreover, if we write $n\mathrm {Sp}^\eta ((a_1, a_2,\ldots ,a_n))=\emptyset ,$ we mean that no such X and L exist which satisfy (i)–(iii).

2. However, we will later show that $\delta $ -near spectra are unique up to an $\eta $ -neighborhood when the n-tuple self-adjoint operators are almost commuting within $\delta $ as elaborated in Proposition 2.16.

3. On the other hand, the $\delta $ -synthetic-spectrum is always uniquely defined and – importantly – computable in the context of computations. Their relationship is described in Proposition 2.16 below (see also Proposition 2.17).

4. Let X be an $\eta $ -near-spectrum and Y be a $\delta $ -near-spectrum for $(a_1,a_2,\ldots ,a_n),$ respectively. Suppose that $\delta <\eta ,$ then, by the definition, Y is also an $\eta $ -near-spectrum. In particular, if $nSp^\delta ((a_1,a_2,\ldots ,a_n))\not =\emptyset ,$ then $nSp^\eta ((a_1,a_2,\ldots ,a_n))\not =\emptyset .$

5. In practice, computing the spectrum of an operator $T_1+i T_2$ (where $T_1, T_2\in B(H)_{s.a.}$ ) may be more challenging than computing the norm of $\Theta _{j, \eta }((T_1, T_2)).$

Proposition 2.12. Fix $n\in \mathbb {N}.$ For any $\eta>0,$ there exists $\delta (n,\eta )>0$ satisfying the following: Suppose that A is a unital $C^*$ -algebra and $a_i\in A_{s.a.}$ with $\|a_i\|\le 1, 1\le i\le n,$ such that

(e2.22) $$ \begin{align} \|a_ia_j-a_ja_i\|<\delta,\,\,\, 1\le i,j\le n. \end{align} $$

Then

(1) $X:=s\mathrm {Sp}^\eta ((a_1,a_2,\ldots ,a_n))\not =\emptyset $ , and

(2) $Y:=nSp^\eta ((a_1,a_2,\ldots ,a_n))\not =\emptyset ,$ that is, there exists a non-empty compact subset $Y\subset {\mathbb {I}}^n$ and a c.p.c. map $L: C(Y)\to A$ satisfies conditions (i)–(iii) in Definition 2.10.

Proof. Suppose that the lemma is false. Then we obtain an $\eta>0$ and a sequence of unital $C^*$ -algebras $\{A_k\}$ and a sequence of n-tuples $\{a_{j,k}\}\subset \{(A_k)_{s.a.}\}$ with $\|a_{j,k}\|\le 1$ ( $1\le j\le n$ ), $k\in \mathbb {N}$ such that

(e2.23) $$ \begin{align} \lim_{k\to\infty}\|a_{i,k}a_{j,k}-a_{j,k}a_{i,k}\|=0,\,\,\, 1\le j\le n, \end{align} $$

and, for case (1), $s\mathrm {Sp}^\eta ((a_{1, k}, a_{2,k},\ldots ,a_{n,k}))=\emptyset , k\in \mathbb {N},$ (or, for case (2), $nSp^\eta ((a_{1,k},a_{2,k},\ldots ,a_{n,k}))=\emptyset , k\in \mathbb {N}.$ )

Consider $B=\prod _kA_k$ and quotient map $\Pi : B\to B/\bigoplus _kA_k.$ Let $s_j=\Pi (\{a_{j,k}\}), j=1,2,\ldots ,n.$ Then $s_is_j=s_js_i, 1\le i,j\le n.$ Let C be the $C^*$ -subalgebra of $B/\bigoplus _k A_k$ generated by $s_0=1, s_1,s_2,\ldots ,s_n.$ Then $C=C(X_0)$ for some non-empty compact subset $X_0$ of ${\mathbb {I}}^n.$ Let $\varphi : C(X_0)\to B/\bigoplus _kA_k$ be the monomorphism given by C with $\varphi (e_j|_{X_0})=s_j, j=0,1,2,\ldots ,n.$

To show (1), consider $D^\eta =\{x_1,x_2,\ldots , x_m\}$ (see Definition 2.8). Fix $x\in X_0.$ Choose $x_j\in D^\eta $ such that $\mathrm {dist}(x_j, x)<\eta /2,$ then $\|\Theta _{x_j, \epsilon }|_{X_0}\|=1.$ Hence, since $\varphi $ is a monomorphism,

(e2.24) $$ \begin{align} \|\varphi(\Theta_{x_j,\eta}|_{X_0})\|=1. \end{align} $$

Recall that $\Pi (\{\Theta _{x_j,\eta }(a_{1,k}, a_{2,k},\ldots ,a_{n,k})\}_{k\in \mathbb {N}})=\varphi (\Theta _{x_j,\eta }|_{X_0}).$ Hence, there is an infinite subset $S\subset \mathbb {N}$ such that, for all $k\in S,$

(e2.25) $$ \begin{align} \|\Theta_{x_j,\eta}(a_{1,k}, a_{2,k},\ldots,a_{n,k})\|\ge 1-\eta. \end{align} $$

It follows that $X_0\subset \bigcup _{\|\Theta _{x_j,\epsilon }(a_{1,k},a_{2,k},\ldots ,a_{n,k})\|\ge 1-\eta }B(x_j, \eta )$ for all $k\in S.$ In other words, $(a_{1,k}, a_{2,k},\ldots ,a_{n,k})$ has $\eta $ -synthetic-spectrum containing $X_0\not =\emptyset $ for all $k\in S.$ This contradicts “ $s\mathrm {Sp}^\eta ((a_{1, k}, a_{2,k},\ldots ,a_{n,k}))=\emptyset , k\in \mathbb {N}$ .” Thus (1) follows.

For (2), we obtain, by the Choi–Effros Theorem [Reference Choi and Effros4], a c.p.c. map $L: C(X_0)\to B$ such that $\Pi \circ L=\varphi .$ Write $L=\{L_k\},$ where each $L_k: C(X_0)\to A_k$ is a c.p.c map, $k\in \mathbb {N}.$ Then

(e2.26) $$ \begin{align} \lim_{k\to\infty}\|L_k(e_j|_{X_0})-a_{j,k}\|=0. \end{align} $$

Let $\{x_1, x_2,\ldots ,x_m\}\subset X_0$ be an $\eta /4$ -dense subset, and $f_1, f_2,\ldots ,f_m\in C(X_0)_+$ with $0\le f_j\le 1, f_j(x)=1$ if $\mathrm {dist}(x, x_j)\le \eta /4$ and $f_j(x)=0$ if $\mathrm {dist}(x, x_j)\ge \eta /2, j=1,2,\ldots ,m.$

Since $\Pi \circ L=\varphi $ is injective, there exists a subsequence $\{k(l)\}\subset \mathbb {N}$ such that

(e2.27) $$ \begin{align} \|L_{k(l)}(f_j)\|\ge (1-\eta/4),\,\,\,j=1,2,\ldots,m. \end{align} $$

Let $f\in C(X_0)_+$ and $x\in X_0$ be such that $f(y)\ge 1$ for all $y\in \overline {B(x, \eta )}.$ Since $\{x_1,x_2,\ldots ,x_l\}$ is $\eta /4$ -dense in $X_0,$ there is $x_j$ such that $\mathrm {dist}(x, x_j)<\eta /4.$ Then $f\ge f_j.$ It follows that

(e2.28) $$ \begin{align} \|L_{k(l)}(f)\|\ge \|L_{k(l)}(f_j)\|\ge (1-\eta/4),\,\,\, j=1,2,\ldots,m. \end{align} $$

Thus, since $\{e_j|_{X_0}: 0\le j\le n\}$ generates $C(X_0),$ by (e 2.26) and (e 2.28), for all large $k(l), X_0$ is an $\eta $ -near-spectrum of $(a_{1,k},a_{2,k},\ldots ,a_{n,k}).$ A contradiction.

Lemma 2.13. Let X be a compact metric space and ${\cal G}\subset C(X)$ be a finite generating subset.

Then, for any $\epsilon>0$ and any finite subset ${\cal F}\subset C(X),$ there exists $\delta ({\cal F}, \epsilon )>0$ satisfying the following: Suppose that A is a unital $C^*$ -algebra and $\varphi _1, \varphi _2: C(X)\to A$ are unital c.p.c. maps such that

(e2.29) $$ \begin{align} \|\varphi_1(g)-\varphi_2(g)\|<\delta \,\,\,\mathrm{and}\,\,\, \|\varphi_i(gh)-\varphi_i(g)\varphi_i(h)\|<\delta \,\,\,\text{for all}\,\,\, g, h\in {\cal G},\,\,\, i=1,2. \end{align} $$

Then, for all $f\in {\cal F},$

(e2.30) $$ \begin{align} \|\varphi_1(f)-\varphi_2(f)\|<\epsilon. \end{align} $$

Moreover, if $X\subset {\mathbb {I}}^n$ and ${\cal G}=\{1, e_1|_X,e_2|_X,\ldots ,e_n|_X\},$ then, for any $\epsilon>0$ and any finite subset ${\cal H}\subset C({\mathbb {I}}^1),$ we may also require that, for all $h\in {\cal H},$

(e2.31) $$ \begin{align} \|\varphi_1(h(e_j)|_X)-h(\varphi_1(e_j|_X))\|<\epsilon,\,\,\, 1\le j\le n.\end{align} $$

Proof. Suppose that the lemma is false. Then there exist $\epsilon _0>0,$ a finite subset ${\cal F}\subset C(X)$ and a sequence of unital $C^*$ -algebras $\{A_n\},$ and two sequences of unital c.p.c. maps $\varphi _{1,n}, \varphi _{2, n}: C(X)\to A_n$ such that

(e2.32) $$ \begin{align} &\lim_{n\to\infty}\|\varphi_{1,n}(g)-\varphi_{2, n}(g)\|=0\,\,\,\mathrm{for\,\,\,all}\,\,\, g\in {\cal G}, \end{align} $$
(e2.33) $$ \begin{align} &\lim_{n\to\infty}\|\varphi_{i,n}(gh)-\varphi_{i,n}(g)\varphi_{i,n}(h)\|=0\,\,\,\mathrm{for\,\,\,all}\,\,\, g,h\in {\cal G},\,\,i=1,2,\,\,\,\mathrm{and}\end{align} $$
(e2.34) $$ \begin{align} &\max\{\|\varphi_{1,n}(f)-\varphi_{2,n}(f)\|: f\in {\cal F}\}\ge \epsilon_0\,\,\,\mathrm{for\,\,\,all}\,\,\, n\in \mathbb{N}. \end{align} $$

Moreover, in the case that $X\subset {\mathbb {I}}^n$ and ${\cal G}=\{e_j|_X: 0\le j\le n\},$ there exists $\epsilon _1>0$ and a finite subset ${\cal H}_0$ such that

(e2.35) $$ \begin{align} \max\{\|\varphi_{1,n}(h(e_j))-h(\varphi_{1,n}(e_j))\|: h\in {\cal H}_0,1\le j\le n\}\ge \epsilon_1 \end{align} $$

for all $n\in \mathbb {N}.$

Put $B=\prod _nA_n.$ Let $\Pi : B\to B/\bigoplus _nA_n$ be the quotient map. Then, since ${\cal G}$ is a generating set of $C(X),$ by (e 2.33), $\psi _i:=\Pi \circ (\{\varphi _{i,n}\}): C(X)\to B/\bigoplus _nA_n$ is a unital homomorphism, $i=1,2,$ and by (e 2.32), $\psi _1=\psi _2.$ Hence,

(e2.36) $$ \begin{align} \psi_1(f)=\psi_2(f)\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C(X). \end{align} $$

But this implies that, for all sufficiently large $n,$

(e2.37) $$ \begin{align} \|\varphi_{1,n}(f)-\varphi_{2,n}(f)\|<\eta_0/2\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in {\cal F}. \end{align} $$

This leads a contradiction to (e 2.34). The first part of the lemma then follows.

For the second part, since $\psi _1$ is a unital homomorphism, for any $h\in {\cal H}_0,$

(e2.38) $$ \begin{align} \psi_1(h(e_j|_X))=h(\psi_1(e_j|_X)),\,\,\, 1\le j\le n. \end{align} $$

It follows that, for all large n and $h\in {\cal H}_0,$

(e2.39) $$ \begin{align} \|\varphi_{1,n}(h(e_j|_X))-h(\varphi_{1,n}(e_j|_X)\|<\epsilon_1,\,\,\, 1\le j\le n. \end{align} $$

Another contradiction. So the lemma follows.

Corollary 2.14. Fix $n\in \mathbb {N}$ and $0<\eta <1.$ There exists $\delta (n, \eta )>0$ satisfying the following: Suppose that A is a unital $C^*$ -algebra, $a_1, a_2,\ldots ,a_n\in A_{s.a.}$ with $\|a_i\|\le 1$ ( $1\le i\le n$ ), $Y\subset {\mathbb {I}}^n$ is a compact subset, and $L: C(Y)\to A$ is a unital c.p.c. map such that

(e2.40) $$ \begin{align} \|L(e_ie_j|_Y)-L(e_i|_Y)L(e_j|_Y)\|<\delta\,\,\,\mathrm{and}\,\,\, \|L(e_i|_Y)-a_i\|<\delta, \,\,\, i,j=1,2,\ldots,n. \end{align} $$

Then, for $D^\eta =\{x_1, x_2,\ldots ,x_m\},$

(e2.41) $$ \begin{align} \|L(\Theta_{x_j, \eta}|_Y)-\Theta_{x_j, \eta}(a_1,a_2,\ldots,a_n)\|<\eta, \,\,\, 1\le j\le m. \end{align} $$

Proof. Let $D^\eta =\{x_1,x_2,\ldots ,x_m\}\subset {\mathbb {I}}^n$ be as defined in Definition 2.8, where $x_j=(x_{j,1}, x_{j,2},\ldots ,x_{j,n}\}$ ( $1\le j\le m$ ). There is $\delta _1(\eta )>0$ satisfying the following: for any unital $C^*$ -algebra A and any pair of self-adjoint elements $a, b\in A_{s.a.}$ with ${\|a\|, \|b\|\le 1,}$ if $\|a-b\|<\delta _1,$ then

(e2.42) $$ \begin{align} \|\theta_{j,i, \eta}(a)-\theta_{j,i,\eta}(b)\|<\eta/2(n+1),\,\,\, 1\le j\le m, \end{align} $$

where $\theta _{j,i,\eta }$ is defined in Definition 2.8.

Let ${\cal G}=\{e_i: 1\le i\le n\}\cup \{1\}$ and ${\cal H}=\{\theta _{j,i,\eta }: 1\le i\le m, \,\, 1\le j\le n\}.$ For $X={\mathbb {I}}^n,$ choose $\delta _2(n, \eta /4)>0$ such that (the second part of) Lemma 2.13 holds for ${\cal H}, {\cal G}$ above and $\eta /4(n+1)$ (in place of $\eta $ ). Choose $\delta _3>0$ such that, for any unital c.p.c. map $\Phi : C(Y)\to A$ (any unital $C^*$ -algebra A), that

(e2.43) $$ \begin{align} \|\Phi(e_ie_j|_Y)-\Phi(e_i|_Y)\Phi(e_j|_Y)\|<\delta_3\,\,\, (1\le i, j\le n) \end{align} $$

implies, for $1\le j\le m,$

(e2.44) $$ \begin{align} \|\Phi(\Theta_{x_j,\eta}|_Y)-\Phi(\theta_{j,1, \eta}|_Y)\Phi(\theta_{j,2, \eta}|_Y)\ldots \Phi(\theta_{j,n, \eta}|_Y)\| <\eta/4. \end{align} $$

Choose $\delta =\min \{\delta _1, \delta _2, \delta _3\}.$

Suppose that L and $\{a_i: 1\le i\le n\}$ satisfy the assumption of this lemma for $\delta .$ Since $\Theta _{x_j,\eta }=\theta _{j,1,\eta }\theta _{j,2,\eta }\ldots \theta _{j,n,\eta }$ and

(e2.45) $$ \begin{align} \Theta_{x_j,\eta}(b_1, b_2,\ldots,b_n)=\theta_{j,1,\eta}(b_1)\theta_{j,2,\eta}(b_2)\ldots \theta_{j,n,\eta}(b_n) \end{align} $$

for any n-tuple $(b_1,b_2,\ldots ,b_n)$ of self-adjoint elements in A with $\|b_i\|\le 1$ ( $1\le i\le n$ ), by the choice of $\delta $ (and $\delta _1$ ) and by the second part of (e 2.40) and (e 2.42), we have, for each $1\le j\le m,$

(e2.46) $$ \begin{align} \|\Theta_{x_j,\eta}(L(e_1|_X), L(e_2|_X),\ldots, L(e_n|_X))-\Theta_{x_j,\eta}(a_1, a_2,\ldots,a_n)\|<\eta/2. \end{align} $$

By the choice of $\delta _3,$ we also have

(e2.47) $$ \begin{align} \|L(\Theta_{x_j,\eta}|_X)-L(\theta_{j,1, \eta}(e_1|_X))L(\theta_{j,2, \eta}(e_2|_X))\ldots L(\theta_{j,n, \eta}(e_n|_X))\| <\eta/4. \end{align} $$

Define $\tilde L: C({\mathbb {I}}^n)\to A$ by $\tilde L(f)=L(f|_Y)$ for all $f\in C(Y).$ By the choice $\delta $ and applying (the second part of) Lemma 2.13 to $\tilde L_i=\tilde L, i=1,2,$ we obtain

(e2.48) $$ \begin{align} \|\tilde L(\theta_{j,i,\eta}(e_i))-\theta_{j,i,\eta}({\tilde L}(e_i))\|<\eta/4(n+1),\,\,\,1\le i\le n, \,\,\, 1\le j\le m. \end{align} $$

In other words,

(e2.49) $$ \begin{align} \|L(\theta_{j,i,\eta}(e_i)|_Y)-\theta_{j,i,\eta}(L(e_i|_Y))\|<\eta/4(n+1),\,\,\,1\le i\le n, \,\,\, 1\le j\le m. \end{align} $$

Note that $\theta _{j,i,\eta }(e_i)|_Y=\theta _{j,i,\eta }(e_i|_Y).$ It follows that (keeping in mind of (e 2.45))

(e2.50) $$ \begin{align}\nonumber &L(\theta_{j,1, \eta}(e_1|_Y))L(\theta_{j,2, \eta}(e_2|_Y))\ldots L(\theta_{j,n, \eta}(e_n|_Y))\\ &\quad\approx_{n\eta\over{4(n+1)}}\Theta_{x_j,\eta}(L(e_1|_Y), L(e_2|_Y),\dots, L(e_n|_Y)). \end{align} $$

Combining (e 2.50) with (e 2.47), we obtain

(e2.51) $$ \begin{align} \|L(\Theta_{x_j, \eta}|_Y)-\Theta_{x_j,\eta}(L(e_1|_Y), L(e_2|_Y),\dots, L(e_n|_Y))\|<\eta/2,\,\,\, 1\le j\le n. \end{align} $$

We conclude that, by (e 2.51) and (e 2.46),

(e2.52) $$ \begin{align} &\|L(\Theta_{x_j, \eta}|_Y)-\Theta_{x_j,\eta}(a_1, a_2,\ldots,a_n)\|\nonumber \\&\quad\le \|L(\Theta_{x_j, \eta}|_Y)-\Theta_{x_j,\eta}(L(e_1|_Y), L(e_2|_Y), L(e_n|_Y))\| \end{align} $$
(e2.53) $$ \begin{align} &+ \|\Theta_{j,\eta}(L(e_1|_Y), L(e_2|_Y), L(e_n|_Y))-\Theta_{x_j,\eta}(a_1, a_2,\ldots,a_n)\| \end{align} $$
(e2.54) $$ \begin{align} &<\eta/2+\eta/2<\eta.\\[-33pt] \nonumber \end{align} $$

Definition 2.15. Let M be a metric space (we only consider the case that $M\subset \mathbb {R}^n$ is compact such as the case that $M={\mathbb {I}}^n$ ). Recall that the Hausdorff distance of two compact subsets of $X, Y\subset M$ is defined by

(e2.55) $$ \begin{align} d_H(X, Y)=\max\{\sup_{x\in X} \{\mathrm{dist}(x, Y)\}, \sup_{y\in Y}\{\mathrm{dist}(y, X)\}\}. \end{align} $$

Let $F(M)$ be the set of all non-empty compact subsets of $M.$ Then $(F(M), d_H)$ is a compact metric space with the metric $d_H$ when M is compact.

Proposition 2.16. Fix $k\in \mathbb {N}.$ For any $\eta>0,$ there exits $\delta (k, \eta )>0$ satisfying the following:

(1) Suppose that A is a unital $C^*$ -algebra and $a_1, a_2,\ldots ,a_k\in A_{s.a.}$ with $\|a_i\|\le 1$ ( $1\le i\le k$ ) such that $(a_1, a_2,\ldots ,a_k)$ has a non-empty $\delta $ -near-spectrum $X=nSp^\delta ((a_1,a_2,\ldots ,a_n)).$ If Y is also a non-empty $\delta $ -near-spectrum of $(a_1,a_2,\ldots ,a_k),$ then $Z=s\mathrm {Sp}^\eta ((a_1,a_2,\ldots ,a_k))\not =\emptyset ,$ and

(e2.56) $$ \begin{align} d_H(X, Y)<\eta\,\,\,\mathrm{and}\,\,\, X, Y\subset Z\subset X_{2\eta}. \end{align} $$

(2) Suppose, in addition to (1), A has a (closed two-sided) ideal $J\subset A, \pi : A\to A/J$ is the quotient map, and $\Omega _1=s\mathrm {Sp}^\eta ((\pi (a_1), \pi (a_2),\dots ,\pi (a_n))$ and $\Omega _2=nSp^\delta ((\pi (a_1), \pi (a_2),\dots ,\pi (a_n))\not =\emptyset .$ Then

(e2.57) $$ \begin{align} \Omega_1\subset Z,\,\,\, \Omega_2\subset \Omega_1\subset (\Omega_2)_{2\eta}\,\,\,\mathrm{and}\,\,\, \Omega_2\subset \overline{X_\eta}. \end{align} $$

Proof. We may assume that $0<\eta <1.$ We first prove (1).

Let $\{x_1, x_2,\ldots , x_m\}$ be an $\eta /8$ -dense subset of ${\mathbb {I}}^n.$ Choose $f_j\in C({\mathbb {I}}^n)_+$ with $0\le f_j\le 1, f_j(x)=1$ if $\mathrm {dist}(x, x_j)\le \eta /4,$ and $f_j(x)=0,$ if $\mathrm {dist}(x, x_j)\ge \eta /2, j=1,2,\ldots ,m.$ Put ${\cal F}=\{f_j: 1\le j\le m\}.$

Note that $\{e_j: 0\le j\le n\}$ is a generating set of $C({\mathbb {I}}^n).$ Let $\delta _1:=\delta ({\cal F}, \eta /32)>0$ be given by Lemma 2.13 (for $\eta /32$ and ${\cal F}$ as well as ${\mathbb {I}}^n$ ) and $\delta _2:=\delta (n,\eta /2)>0$ be given by Corollary 2.14. Choose $\delta =\min \{\delta _1/2, \delta _2/2, \eta /33\}.$

Now suppose that X and Y are $\delta $ -near-spectra of the n-tuple $(a_1,a_2,\ldots ,a_n).$ Let $L_1,\, L_2: C(X)\to A$ be unital c.p.c maps such that

(e2.58) $$ \begin{align} &\|L_1(e_ie_j|_X)-L_1(e_i|_X)L_1(e_j|_X)\|<\delta,\,\,\,1\le i,\, j\le n, \,\,\, \end{align} $$
(e2.59) $$ \begin{align} &\|L_2(e_ie_j|_Y)-L_2(e_i|_Y)L_2(e_j|_Y)\|<\delta,\,\,\,1\le i,\, j\le n, \,\,\, \end{align} $$
(e2.60) $$ \begin{align} &\|L_1(e_j|_X)-a_j\|<\delta, \,\,\, \|L_2(e_j|_Y)-a_j\|<\delta, \,\,\, 1\le j\le n,\,\,\,\mathrm{and}\,\,\, \end{align} $$
(e2.61) $$ \begin{align} &\|L_1(f|_X)\|\ge (1-\delta) \,\,\,\mathrm{and}\,\,\, \|L_2(f|_Y)\|\ge (1-\delta) \end{align} $$

for any $f\in C({\mathbb {I}}^n)_+$ with $f(x)=1$ for all $x\in B(\xi , \delta ),$ for some $\xi \in X$ (for $L_1$ ), or $\xi \in Y$ (for $L_2$ ).

Let $\xi \in X.$ We may assume that $\xi \in B(x_j, \eta /8).$ Then $B(x_j, \delta )\subset B(\xi , \eta /4).$ On the other hand, by (e 2.61), one must have, as $\eta /4>\delta ,$

(e2.62) $$ \begin{align} \|L_1(f_j|_X)\|\ge (1-\delta). \end{align} $$

Define $L^{\prime }_l: C({\mathbb {I}}^n)\to A$ ( $l=1,2$ ) by $L^{\prime }_1(f)=L_1(f|_X)$ and $L_2'(f)=L_2(f|_Y)$ for all $f\in C({\mathbb {I}}^n).$ By (e 2.59) and applying Lemma 2.13, we have, for $1\le j\le m,$

(e2.63) $$ \begin{align} \|L_1'(f_j)-L_2'(f_j)\|<\eta/32,\,\,\, \mathrm{or}\,\,\, \|L_1(f_j|_X)-L_2(f_j|_Y)\|<\eta/32. \end{align} $$

Then, by (e 2.62), we obtain, for $1\le j\le m,$

(e2.64) $$ \begin{align} \|L_2(f_j|_Y)\|\ge \|L_1(f_j|_X)\|-\eta/32\ge 1-\delta-\eta/32>3/4. \end{align} $$

Since $f_j(x)=0,$ if $\mathrm {dist}(x, x_j)\ge \eta /2,$ we must have $\mathrm {dist}(x_j, Y)<\eta /2.$ Therefore,

(e2.65) $$ \begin{align} \mathrm{dist}(\xi, Y)\le \mathrm{dist}(\xi, x_j)+\mathrm{dist}(x_j, Y)<\eta/8+\eta/2=5\eta/8. \end{align} $$

This holds for all $\xi \in X.$ Exchanging the role of X and $Y,$ we obtain

(e2.66) $$ \begin{align} d_H(X, Y)<\eta. \end{align} $$

Let $D^\eta =\{\xi _1,\xi _2,\ldots ,\xi _N\}$ and $Z=\bigcup _{\|\Theta _{\xi _j, \eta }(a_1,a_2,\ldots ,a_k)\|\ge 1-\eta } \overline {B(\xi _j, \eta )}.$

By the choice of $\delta $ and applying Corollary 2.14, we have that

(e2.67) $$ \begin{align} \|L_1(\Theta_{\xi_j,\eta}|_X)-\Theta_{\xi_j,\eta}(a_1,a_2,\ldots,a_k)\|<\eta/2,\,\,\, j=1,2,\ldots,N. \end{align} $$

Pick $\xi \in X.$ There is $\xi _j\in D^\eta $ such that $\mathrm {dist}(\xi , \xi _j)<\eta /2.$ Recall that $\Theta _{\xi _j,\eta }(y)=1$ if $\mathrm {dist}(y, \xi _j)\le 3\eta /4.$ As $\delta <\eta /32,$ we have $\eta /2+\delta <3\eta /4.$ Hence, $\Theta _{\xi _j, \eta }(y)=1$ for all $y\in B(\xi , \delta )\subset B(\xi _j, 3\eta /4).$ It follows that

(e2.68) $$ \begin{align} \|L_1(\Theta_{\xi_j,\eta}|_X)\|\ge 1-\delta. \end{align} $$

Thus, by (e 2.67),

(e2.69) $$ \begin{align} \|\Theta_{\xi_j,\eta}(a_1,a_2,\ldots,a_k)\|\ge 1-\delta-\eta/2\ge 1-\eta. \end{align} $$

This implies that

(e2.70) $$ \begin{align} X\subset \bigcup_{\|\Theta_{\xi_j,\eta}(a_1,a_2,\ldots,a_k)\|\ge 1-\eta}\overline{B(\xi_j, \eta)}=s\mathrm{Sp}^\eta((a_1,a_2,\ldots,a_k)). \end{align} $$

Since $X\not =\emptyset ,$ we conclude that $Z\not =\emptyset .$ The same argument shows that $Y\subset s\mathrm {Sp}^\eta ((a_1,a_2,\ldots ,a_k)).$

Next, let $\|\Theta _{\xi _j,\eta }(a_1,a_2,\ldots ,a_k)\|\ge 1-\eta .$ By (e 2.67),

(e2.71) $$ \begin{align} \|L_1(\Theta_{\xi_j, \eta}|_X)\|\ge 1-\eta-\eta/2>1/4. \end{align} $$

Hence, $\Theta _{\xi _j, \eta }|_X\not =0.$ Thus,

(e2.72) $$ \begin{align} X\cap B(\xi_j, \eta)\not=\emptyset. \end{align} $$

It follows that

(e2.73) $$ \begin{align} B(\xi_j, \eta)\subset X_{2\eta}. \end{align} $$

Hence,

(e2.74) $$ \begin{align} Z\subset X_{2\eta}. \end{align} $$

This completes the proof of part (1).

For (2), let us keep notation above. Then $\Omega _1\subset Z$ is immediate.

Suppose that $\Omega _2\not =\emptyset .$ Then that $\Omega _2\subset \Omega _1 \subset (\Omega _2)_{2\eta }$ follow from part (1). It remains to show that $\Omega _2\subset \overline {X_\eta }.$

There is a unital c.p.c. map $\Phi : C(\Omega _2)\to A/J$ such that

(e2.75) $$ \begin{align} &\|\Phi(e_ie_j|_{\Omega_2})-\Phi(e_i|_{\Omega_2})\Phi(e_j|_{\Omega_2})\|<\delta,\,\,\, 1\le i,j\le k; \end{align} $$
(e2.76) $$ \begin{align} &\|\Phi(e_j|_{\Omega_2})-\pi(a_j)\|<\delta,\,\,\, 1\le j\le k,\,\,\,\mathrm{and}\,\,\, \end{align} $$
(e2.77) $$ \begin{align} &\|\Phi(f)\|\ge 1-\delta \end{align} $$

for any $f\in C(\Omega _2)_+$ with $f(x)=1$ if $x\in B(\zeta , \delta )$ for some $\zeta \in \Omega _2.$

Choose $y\in \Omega _2.$ We may assume that $\mathrm {dist}(y, x_j)<\eta /8.$ Hence, $B(y, \delta )\subset \mathrm {dist}(x_j,\eta /4).$ It follows from (e 2.77) that

(e2.78) $$ \begin{align} \|\Phi(f_j)\|\ge 1-\delta. \end{align} $$

Let $\tilde L_1: C({\mathbb {I}}^n)\to A/J$ be defined $\tilde L_1(f)=\pi \circ L_1(f|_X)$ and $\tilde \Phi : C({\mathbb {I}}^n)\to A/J$ by $\tilde \Phi (f)=\Theta (f|_{\Omega _2})$ for all $f\in C({\mathbb {I}}^n).$ By the choice of $\delta ,$ (e 2.59), (e 2.76), and (e 2.60), and applying Lemma 2.13 to $\pi \circ \tilde L_1$ and $\tilde \Phi ,$ we have

(e2.79) $$ \begin{align} \|\pi\circ \tilde L_1(f_j)-\tilde \Phi(f_j)\|<\eta/32,\,\,\, 1\le j\le m. \end{align} $$

In other words,

(e2.80) $$ \begin{align} \|\pi\circ L_1(f_j|_X)-\Phi(f_j|_{\Omega_2})\|<\eta/32, \,\,\, 1\le j\le m. \end{align} $$

Thus,

(e2.81) $$ \begin{align} \|L_1(f_j|_X)\|\ge \|\pi\circ L_1(f_j|_X)\|\ge 1-\delta-\eta/32\ge 3/4. \end{align} $$

Hence, $f_j|_X\not =0.$ It follows that $\mathrm {dist}(x_j, X)<\eta /2.$

(e2.82) $$ \begin{align} \mathrm{dist}(y, X)<\eta/2+\eta/8<\eta. \end{align} $$

Hence, $\Omega _2\subset \overline {X_\eta }.$

Proposition 2.17. Let $\eta>0.$ There exists $\delta (\eta )>0$ satisfying the following: Suppose that A is a unital $C^*$ -algebra and $a_1, a_2\in A_{s.a.}$ such that $\|a_i\|\le 1$ ( $i=1,2$ ), and

(e2.83) $$ \begin{align} \|a_1a_2-a_2a_1\|<\delta. \end{align} $$

Then $\mathrm {sp}(a_1+ia_2)\subset s\mathrm {Sp}^\eta ((a_1,a_2)).$

Proof. By Proposition 2.16, it suffices to show that ${\mathrm sp}(a_1+a_2)\subset n{\mathrm Sp}^\eta((a_1,a_2))$ . Otherwise, one obtains $\eta _0>0,$ a sequence of unital $C^*$ -algebras $\{A_n\},$ a sequence of elements $a_n, b_n\in (A_n)_{s.a.}$ with $\|a_n\|, \|b_n\|\le 1$ such that

(e2.84) $$ \begin{align} \lim_{n\to\infty}\|a_nb_n-b_na_n\|=0, \end{align} $$

and a sequence of numbers $\lambda _n\in \mathrm {sp}(a_n+ib_n) \setminus s\mathrm {Sp}^{\eta _0}((a_n, b_n)).$ Put $c_n=a_n+ib_n$ and $Z_n=n\mathrm {Sp}^{\eta _0/4}((a_n, b_n)), n\in \mathbb {N}.$ Note that $\lambda _n\in {\mathbb {I}}^2\subset \mathbb {C}$ and $Z_n\subset {\mathbb {I}}^2, n\in \mathbb {N}.$ Since $(F({\mathbb {I}}^2), d_H)$ is compact, without loss of generality, by passing to a subsequence, we may assume that $Z_n\to Z$ for some compact subset $Z\subset {\mathbb {I}}^n$ in $(F({\mathbb {I}}^2), d_H)$ as $n\to \infty ,$ and $\lambda _n\to \lambda \in {\mathbb {I}}^2.$

By (4) of Remark 2.11, $(n\mathrm {Sp}^{\eta _0/4}((a_n, b_n)))_{\eta _0/4}\subset n\mathrm {Sp}^{\eta _0}((a_n, b_n)), n\in \mathbb {N}.$ It follows that

(e2.85) $$ \begin{align} \mathrm{dist}(\lambda_n, Z_n)\ge \eta_0/4,\,\,\,n\in \mathbb{N}. \end{align} $$

Hence, there exists $n_0\in \mathbb {N}$ such that

(e2.86) $$ \begin{align} \mathrm{dist}(\lambda, Z_{n})\ge \eta_0/5 \,\,\,\mathrm{for\,\,\,all}\,\,\, n\ge n_0. \end{align} $$

Let $B=\prod _nA_n$ and $\Pi : B\to B/\bigoplus _nA_n$ be the quotient map. Put $x=\Pi (\{c_n\}).$ Then, by (e 2.84), x is normal. Let $\mathrm {sp}(x)=X.$ Then $\varphi : C(X)\to B/\bigoplus _nA_n$ defined by $\varphi (f)=f(x)$ for $f\in C(X)$ is a unital monomorphism. By the Choi–Effros Lifting Theorem [Reference Choi and Effros4], there is a sequence of unital c.p.c. maps $L_n: C(X)\to A_n$ such that $\Pi \circ \{L_n\}=\varphi .$ Let $\delta :=\delta (2, \eta _0/4)$ be as in Proposition 2.16. Then, since $\varphi $ is a homomorphism, for all large $n, X$ is a (non-empty) $\delta $ -near-spectrum for $(a_n, b_n).$ Applying Proposition 2.16, we may assume that, for all $n,$

(e2.87) $$ \begin{align} X\subset Z_n. \end{align} $$

Note that, by (e 2.86) and (e 2.87), $\lambda \not \in X.$ Let $y=(\lambda -x)^{-1}.$ Note that $\Pi (\{\lambda _n-(a_n+ib_n)\})=\lambda -x.$ Hence, there are $y_n\in A_n$ such that ( $\|y_n\|\le \|y\|+1$ )

(e2.88) $$ \begin{align} \Pi(\{y_n\})=y\,\,\,\mathrm{and}\,\,\, \lim_{n\to\infty}\|y_n(\lambda_n-(a_n+ib_n))-1\|=0. \end{align} $$

Hence, for all large $n,$

(e2.89) $$ \begin{align} \lambda_n\not\in \mathrm{sp}(a_n+ib_n). \end{align} $$

This is a contradiction. So the proposition follows.

3 Purely infinite simple $C^*$ -algebras

Recall that the Calkin algebra $B(H)/{\cal K}$ (when H is infinite-dimensional separable Hilbert space) is purely infinite and simple. The results in the section will be used in the next four sections.

Definition 3.1. An even $1/k$ -brick $\mathtt {b}=\mathtt {b}^k$ with corner $\xi =(x_1, x_2,\ldots ,x_n)\in P_k$ (with $M=1$ – see Definition 2.7) is a subset of ${\mathbb {I}}^n$ of the form

(e3.90) $$ \begin{align} \{(y_1,y_2,\ldots,y_n): x_i\le y_i\le x_i+1/k,\, \,x_i, x_i+1/k\in P_k\}. \end{align} $$

For the remaining of this article, all 1/k-bricks are assumed to be even and have their corner $\xi \in P_k.$ An open $1/k$ -brick $\mathtt {b}^o$ is the interior of the $1/k$ -brick $\mathtt {b}.$ The boundary $\partial (\mathtt {b})$ of a $1/k$ -brick $\mathtt {b}$ is defined as $\mathtt {b}\setminus \mathtt {b}^o.$

A 1/k-brick combination $\mathtt {B}^{k}$ is a finite union of $1/k$ -bricks. Since two distinct $1/k$ -bricks have distinct corners, a $1/k$ -brick combination $\mathtt {B}^k$ has the following easy property: If $\mathtt {b}_1, \mathtt {b}_2$ are two distinct $1/k$ -bricks of $\mathtt {B}^k,$ then $\mathtt {b}_1^o\cap \mathtt {b}_2^o=\emptyset .$

We believe that Proposition 3.2 to be well-known.

Proposition 3.2. If Y is a union of finitely many compact convex subsets in $\mathbb {R}^n$ (for some integer $n\in \mathbb {N}$ ), then $K_i(C(Y))$ is finitely generated, $i=0,1.$

Proof. We prove this by induction on the number of convex sets.

If Y is convex, then Y is contractive. Hence, $K_0(C(Y))=\mathbb {Z}$ and $K_1(C(Y))=\{0\}.$

Suppose that the proposition is proved for m many closed convex sets, $m\ge 1.$

Now suppose that Y is a union of $m+1$ many compact convex sets in $\mathbb {R}^n.$ Write $Y=\cup _{i=1}^{m+1} Y_i,$ where each $Y_i$ is a compact convex subset of $\mathbb {R}^n.$

Put $X_1=\cup _{i=1}^m Y_i.$ Then $Y_{m+1}\cap X_1=\cup _{i=1}^m (Y_i\cap Y_{m+1})$ which is a union of m many compact convex subsets. By the induction assumption, $K_i(C(X_1\cap Y_{m+1}))$ is finitely generated ( $i=0,1$ ).

Then

(e3.91) $$ \begin{align} C(Y)=\{(f, g): (f, g)\in C(X_1)\oplus C(Y_{m+1}): f|_{X_1\cap Y_{m+1}}=g|_{X_1\cap Y_{m+1}}\} \end{align} $$

is a pull back. By the Mayer–Vietoris sequence in K-theory for $C^*$ -algebras (see [Reference Hilgert15]), we obtain the following commutative diagram:

(e3.92) $$ \begin{align} \begin{array}{ccccc} {\small{K_0(C(Y))}} & {\longrightarrow}& K_0(C(X_1))\oplus K_0(C(Y_{m+1})) & {\rightarrow} & K_0(C(X_1\cap Y_{m+1}))\\ \uparrow & && & \downarrow\\ K_1(C(X_1\cap Y_{m+1})) & {\leftarrow}& K_1(C(X_1))\oplus K_1(C(Y_{m+1})) & {\leftarrow} & K_1(C(Y))\,. \end{array} \end{align} $$

Since we have established that $K_i(C(X_1)), K_i(C(Y_{m+1})),$ and $K_i(C(X_1\cap Y_{m+1}))$ are all finitely generated abelian groups, we conclude that $K_i(C(Y))$ is also finitely generated. This ends the induction.

Definition 3.3. Let X be a compact subset of ${\mathbb {I}}^n.$ Define $\mathtt {B}_X^k$ to be the union of all even $1/k$ -bricks (in ${\mathbb {I}}^n$ with corners at $P_k$ – see Definition 2.7) which has a non-empty intersection with $X.$

We will use the following easy facts:

(i) $X\subset \mathtt {B}_X^k;$ (ii) if $\mathtt {b}^k$ is one of the bricks in $\mathtt {B}_X^k,$ then $\mathtt {b}^k\cap X\not =\emptyset ;$ (iii) for any $\zeta \in \mathtt {B}_X^k, \mathrm {dist}(\zeta , X)\le \sqrt {n}/k;$ and (iv) $K_i(C(\mathtt {B}_X^k)$ is finitely generated (this follows from Proposition 3.2).

In what follows, $\mathtt {B}_X^k$ is called the $1/k$ -brick cover of $X.$ (The introduction of even $1/k$ -bricks is for convenience not essential.)

Definition 3.4. Let X be a compact metric space. We say that X has property (F), if $X=\sqcup _{i=1}^m X_i$ is a disjoint union of finitely many path connected compact metric spaces $X_i$ such that $K_i(C(X_j))$ is finitely generated ( $i=0,1$ ), $j=1,2,\ldots ,m.$ Choose a base point $x_i\in X_i.$ Write $Y_i=X_i\setminus \{x_i\}, i=1,2,\ldots ,m.$ Denote by $\Omega (X)=\sqcup _{i=1}^m Y_i.$

Let B be a $C^*$ -algebra and $\varphi : C(X)\to B$ be a homomorphism. Denote by $\varphi ^\omega =\varphi |_{C_0(\Omega (X))}: C_0(\Omega (X))\to B$ the restriction.

Every finite CW complex X has property (F). If X is a $1/k$ -brick combination in ${\mathbb {I}}^n,$ then (by Proposition 3.2) X also has property (F).

Recall that if $\psi : C(X)\to B$ has finite-dimensional range, then there are mutually orthogonal projections $p_1, p_2,\ldots ,p_l\in B$ and $x_1, x_2,\ldots ,x_l\in X$ such that

(e3.93) $$ \begin{align} \psi(f)=\sum_{i=1}^l f(x_i)p_i\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C(X). \end{align} $$

Theorem 3.5. Let X be a compact metric space with property (F). Suppose that B is a unital purely infinite simple $C^*$ -algebra and $\varphi : C(X)\to B$ is a unital injective homomorphism such that

(e3.94) $$ \begin{align} [\varphi^\omega]=0\,\,\,\mathrm{in}\,\,\, KK(C_0(\Omega(X)), B) \end{align} $$

(see Definition 3.4 for $\varphi ^\omega $ ). Then, for any $\epsilon>0$ and any finite subset ${\cal F},$ there exists a set of finitely many mutually orthogonal projections $p_1,p_2,\ldots ,p_k$ with $\sum _{i=1}^kp_i=1$ and $x_1, x_2,\ldots ,x_k\in X$ such that

(e3.95) $$ \begin{align} \|\psi(f)-\varphi(f)\|<\epsilon \,\,\,\text{for}\,\,\,\text{all}\,\,\, f\in {\cal F}, \end{align} $$

where $\psi (f)=\sum _{j=1}^k f(x_j)p_j$ for all $f\in C(X).$ Moreover, if X is connected, we may require that either $[p_j]=0,$ or $[p_j]=[1_B],$ in $K_0(B), j=1,2,\ldots ,k.$

Proof. Since X has property (F), we may write $C(X)=C(\sqcup _{i=1}^m X_i)=\bigoplus _{i=1}^m C(X_i),$ where each $X_i$ is path connected and $K_j(C(X_i))$ is finitely generated ( $j=0,1$ ), $ 1\le i\le m.$ Let $d_i\in C(X)$ be such that ${d_i}|_{X_i}=1$ and $d_i(x)=0$ if $x\not \in X_i, 1\le i\le m.$ Put $E_i=\varphi (d_i)$ ( $1\le i\le m$ ). By considering $\varphi |_{C(X_i)}\to E_iBE_i$ for each $i,$ we reduce the general case to the case that X has only one path connected component. Note that, if originally, X is not connected, then we do not need to consider the “Moreover” part of the theorem. If X is connected, then we need to point out that $\varphi (1_{C(X)})=1_A.$

So now we assume that X is connected. Put $\Omega :=\Omega (X)=X\setminus \{x\}$ for some $x\in X.$ Then we have a splitting short exact sequence

$$ \begin{align*}0\to C_0(\Omega)\to C(X)\to \mathbb{C}\to 0. \end{align*} $$

Recall that $K_i(C(X))$ is finitely generated ( $i=0,1$ ). It follows that, for any unital $C^*$ -algebra $B,$

(e3.96) $$ \begin{align} KK(C(X), B)=KK(C_0(\Omega), B)\oplus KK(\mathbb{C}, B). \end{align} $$

Define $\varphi _1: C(X)\to B$ by $\varphi _1(f)=f(x)\cdot 1_B$ for all $f\in C(X).$ Then one computes that, by (e 3.94),

(e3.97) $$ \begin{align} [\varphi_1]=[\varphi]\,\,\,\mathrm{in}\,\, \, KK(C(X), B). \end{align} $$

Fix $\epsilon>0$ and finite subset ${\cal F}\subset C(X).$ Applying Theorem A of [Reference Dadarlat6], we obtain an integer $k,$ a unitary $u\in M_{k+1}(B),$ and $x_1, x_2,\ldots ,x_k\in X$ such that, for all $f\in {\cal F},$

(e3.98) $$ \begin{align}& \|\mathrm{diag}(\varphi(f), f(x_1), f(x_2),\ldots,f(x_k))\nonumber\\&\qquad -u^*\mathrm{diag}(\varphi_1(f), f(x_1),f(x_2),\ldots,f(x_k))u\|<\epsilon/3. \end{align} $$

Define $\varphi _0: C(X)\to M_k(B)$ by $\varphi _0(f)=\mathrm {diag}(f(x_1), f(x_2),\ldots ,f(x_k))$ for all $f\in C(X).$ Then we may rewrite $\varphi _0(f)=\sum _{i=1}^k f(x_i)p_i$ for all $f\in C(X),$ where $\{p_1, p_2,\ldots ,p_k\}$ is a set of mutually orthogonal projections such that $\sum _{i=1}^k p_i=1_{M_k}.$ Choose mutually orthogonal projections $p_{0,1}, p_{0,2},\ldots ,p_{0,k}\in M_{k+1}(B)$ such that $p_01_{M_k}=1_{M_k} p_0=0,$ where $p_0=\sum _{i=1}^k p_{0,i},$ and $[p_{0,i}+p_i]=0$ in $K_0(B)$ (recall that B is purely infinite simple). Define $\varphi _{00}: C(X)\to (1_{M_k}+p_0)M_{k+1}(B)(1_{M_k}+p_0)\subset M_{k+1}(B)$ by $\varphi _{00}(f)=\sum _{i=1}^k f(x_i)(p_i+p_{0,i})$ for all $f\in C(X).$ By replacing $\varphi _0$ by $\varphi _{00}$ and u by $u\oplus 1_B,$ we may assume, without loss of generality, that $[p_i]=0, i=1,2,\ldots ,k,$ and

(e3.99) $$ \begin{align} \|\mathrm{diag}(\varphi(f), \varphi_0(f))-u^*\mathrm{diag}(\varphi_1(f), \varphi_0(f))u\|<\epsilon/3\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in {\cal F}. \end{align} $$

(But then u is a unitary in $M_{k+2}(B)$ .)

Recall that, by Zhang’s theorem [Reference Zhang37], B has real rank zero. Since $\varphi $ is injective, by applying Lemma 4.1 of [Reference Elliott, Gong, Lin and Pasnicu8], we obtain a set of mutually orthogonal nonzero projections $q_1, q_2,\ldots ,q_k\in B$ with $q=\sum _{i=1}^kq_i<1_B$ such that

(e3.100) $$ \begin{align} \left\|\varphi(f)-\left((1-q)\varphi(f)(1-q)+\sum_{i=1}^k f(x_i) q_i\right)\right\|<\epsilon/3\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in {\cal F}. \end{align} $$

There are nonzero subprojections $q_i'\le q_i$ such that $[q_i']=0$ in $K_0(B), i=1,2,\ldots ,k$ (recall again that B is purely infinite simple). We may then write

(e3.101) $$ \begin{align} \left\|\varphi(f)-\left(\gamma(f)+\sum_{i=1}^kf(x_i)q_i'\right)\right\|<\epsilon/3\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in {\cal F}, \end{align} $$

where $\gamma (f)=(1-q)\varphi (f)(1-q)+\sum _{i=1}^k f(x_i)(q_i-q_i')$ for all $f\in C(X).$ There are $w_i\in M_{2k+3}(B)$ such that

(e3.102) $$ \begin{align} w_i^*w_i=q_i'\,\,\,\mathrm{and}\,\,\, w_iw_i^*=q_i'\oplus p_i,\,\,\, i=1,2,\ldots,k. \end{align} $$

Let $w=(1-q)+\sum _{i=1}^k (q_i-q_i')+\sum _{i=1}^k w_i.$ Then $w^*w=1_B$ and $ww^*=1_{M_{k+1}}+\sum _{i=1}^k p_i.$ Moreover,

(e3.103) $$ \begin{align} \ \ w^*(\mathrm{diag}\left(\gamma(f)+\sum_{i=1}^k f(x_i)q_i', \varphi_0(f)\right)w=\gamma(f)+\sum_{i=1}^kf(x_i)q_i' \end{align} $$

Hence,

(e3.104) $$ \begin{align} \|\varphi(f)-w^*(\mathrm{diag}\left(\gamma(f)+\sum_{i=1}^k f(x_i)q_i', \varphi_0(f)\right)w\|<\epsilon/3\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in {\cal F}. \end{align} $$

Define, for all $f\in C(X),$

(e3.105) $$ \begin{align} \psi(f)=w^*u^*(\mathrm{diag}(\varphi_1(f), \varphi_0(f))uw= f(x) w^*u^*1_Au^*w+\sum_{i=1}^k f(x_i)w^*u^*p_iuw. \end{align} $$

Then $\psi $ is a unital homomorphism from $C(X)$ to B with finite-dimensional range and, by (e 3.99), (e 3.101), and (e 3.104), for all $f\in {\cal F},$

$$ \begin{align*}\nonumber &\|\varphi(f)-\psi(f)\| \le \|\varphi(f)-w^*(\mathrm{diag}(\gamma(f)+\sum_{i=1}^k f(x_i)q_i', \varphi_0(f)))w\|\\\nonumber &\quad +\|w^*(\mathrm{diag}(\gamma(f)+\sum_{i=1}^k f(x_i)q_i', \varphi_0(f)))w-w^*u^*\mathrm{diag}(\varphi_1(f), \varphi_0(f))uw\|\\\nonumber &\quad<\epsilon/3+\|\mathrm{diag}(\gamma(f)+\sum_{i=1}^k f(x_i)q_i', \varphi_0(f))-u^*\mathrm{diag}(\varphi_1(f), \varphi_0(f))u\|\\\nonumber &\quad<\epsilon/3+\epsilon/3+\|\mathrm{diag}(\varphi(f), \varphi_0(f))-u^*\mathrm{diag}(\varphi_1(f), \varphi_0(f))u\|<2\epsilon/3+\epsilon/3=\epsilon. \end{align*} $$

Finally, since $[p_i]=0$ in $K_0(B)$ as we arranged earlier, by (e 3.105), the “Moreover” part of the statement also holds.

Let $X\subset {\mathbb {I}}^n$ be a compact subset. We use the usual Euclidean metric. Recall that, for any $\eta>0,$

(e3.106) $$ \begin{align} X_\eta=\{\xi\in {\mathbb{I}}^n: \mathrm{dist}(\xi, X)< \eta\}. \end{align} $$

Theorem 3.6. Fix $n\in \mathbb {N}.$ For any $\epsilon>0$ and finite subset ${\cal F}\subset C({\mathbb {I}}^n),$ there exists $\delta (n, \epsilon )>0$ satisfying the following.

Let X be a compact subset of ${\mathbb {I}}^n.$ Suppose that B is a unital purely infinite simple $C^*$ -algebra and $\varphi : C(X)\to B$ is a unital injective homomorphism. If Y is any compact subset with property (F) such that $X \subset Y\subset X_\delta ,$ then there is a unital injective homomorphism $\psi : C(Y)\to B$ such that

(e3.107) $$ \begin{align} \|\varphi(f|_X)-\psi(f|_Y)\|<\epsilon\,\,\,\text{for}\,\,\,\text{all}\,\,\, f\in {\cal F}, \,\,\, [\psi]=[\varphi\circ \pi_X]\,\,\,in\,\,\, KK(C(Y), B), \end{align} $$

where $\pi _X: C(Y)\to C(X)$ is the quotient map by restriction ( $\pi _X(g)=g|_X$ for all $g\in C(Y)$ ).

Proof. Let $\epsilon>0$ and finite subset ${\cal F}\subset C({\mathbb {I}}^n)$ be given. Choose $0<\delta <\min \{\epsilon /2, 1/8\}$ such that, for all $g\in {\cal F},$

(e3.108) $$ \begin{align} |g(\xi)-g(\xi')|<\epsilon/4\,\,\,\mathrm{for\,\,\,all}\,\,\, \xi, \xi'\in {\mathbb{I}}^n\,\,\,\mathrm{with}\,\,\, \mathrm{dist}(\xi, \xi')<2\delta. \end{align} $$

Suppose that Y is a compact subset of ${\mathbb {I}}^n$ such that $X\subset Y\subset X_\delta $ which has property (F). Since Y is compact, there is $\delta _1>0$ with $0<\delta _1<\delta $ such that

(e3.109) $$ \begin{align} Y\subset X_{\delta_1}. \end{align} $$

Put $\eta _0={\delta -\delta _1\over {4}}>0$ and $r=\delta _1+\eta _0.$ Then $0<r=\delta _1+\eta _0<\delta _1+2\eta _0<\delta .$ There is a finite $\eta _0$ -net $\{\xi _1, \xi _2,\ldots , \xi _m\}\subset X$ such that $\cup _{i=1}^m B(\xi _i,\eta _0)\supset X,$ where $B(\xi _i, \eta _0)=\{\xi \in \mathbb {R}^n: \mathrm {dist}(\xi , \xi _i)< \eta _0\}.$ Then $\cup _{i=1}^m B(\xi _i, r)\supset Y.$ Note that we assume that $\xi _i\not =\xi _j,$ if $i\not =j.$

Choose a nonzero projection $p\in B$ with $[p]=0$ in $K_0(B)$ and $1-p\not =0.$ Since $pBp$ is a purely infinite simple $C^*$ -algebra, there is a unital embedding $\Phi : O_2\to pBp.$ Applying Theorem 2.8 of [Reference Kirchberg and Phillips18], one obtains a unital embedding $\psi _0: C(Y)\to \Phi (O_2)\subset pBp.$ Note $[\psi _0]=0$ in $KK(C(Y),pBp).$ There is a partial isometry $w\in B$ such that $w^*w=1-p$ and $ww^*=1.$ Define $\psi _1: C(Y)\to B$ by $\psi _1(f)=w^*\varphi (f|_X)w\oplus \psi _0(f)$ for all $f\in C(Y).$ Then $\psi _1$ is a unital injective homomorphism.

Choose mutually orthogonal nonzero projections $p_1, p_2,\ldots ,p_m\in \Phi (O_2)\subset pBp$ such that $\sum _{i=1}^m p_i=p.$ Define $\varphi _0: C(X)\to \Phi (O_2)\subset pBp$ by $\varphi _0(f)=\sum _{i=1}^mf(\xi _i)p_i.$ Then $[\varphi _0]=0$ in $KK(C(X),B).$ Define $\varphi _1: C(X)\to B$ by $\varphi _1(f)=w^*\varphi (f)w+\varphi _0(f)$ for all $f\in C(X).$ Then $\varphi _1$ is injective. One computes that

(e3.110) $$ \begin{align} [\varphi]=[\varphi_1]\,\,\, \mathrm{in}\,\,\, KK(C(X), B). \end{align} $$

It follows from Theorem 1.7 of [Reference Dadarlat6] that there is a unitary $u\in B$ such that

(e3.111) $$ \begin{align} \|\varphi(f|_X)-u^*\varphi_1(f|_X)u\|<\epsilon/4\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in {\cal F}. \end{align} $$

Applying Theorem 3.5, there is a unital homomorphism $\psi _{00}: C(Y)\to \Phi (O_2)\subset pBp$ with finite-dimensional range such that

(e3.112) $$ \begin{align} \|\psi_0(g|_Y)-\psi_{00}(g|_Y)\|<\epsilon/4\,\,\,\mathrm{for\,\,\,all}\,\,\, g\in {\cal F}. \end{align} $$

We may write $\psi _{00}(g)=\sum _{j=1}^K g(y_j) d_i$ for all $g\in C(Y),$ where $y_j\in Y$ and $d_1, d_2,\ldots ,d_K$ are mutually orthogonal nonzero projections in $\Phi (O_2)$ with $p=\sum _{j=1}^K d_j.$ By choosing a better approximation if necessary, without loss of generality, we may assume that $\{y_1, y_2,\ldots ,y_K\}$ is $\eta _0$ -dense in $Y, K\ge m.$ Recall that $\{\xi _1, \xi _2,\ldots ,\xi _n\}$ is $\eta _0$ -dense in X and r-dense in $Y.$ For each $i,$ choose exactly one $y_{(i,1)}\subset \{y_1, y_2,\ldots ,y_K\}$ such that $\mathrm {dist}(y_{(i,1)}, \xi _i)<\eta _0.$ Then, we may assume $\cup _{i=1}^m\{y_{(i, j)}: 1\le j\le k(i)\}=\{y_1, y_2,\ldots ,y_K\},$ where $\{y_{(i,j)}: 1\le j\le k(i), 1\le i\le m\}$ is a set of distinct points such that

(e3.113) $$ \begin{align} \mathrm{dist}(y_{(i,j)}, \xi_i)<\delta_1+2\eta_0<\delta,\,\,\,1\le j\le k(i),\,\,\,1\le i\le n. \end{align} $$

Note that we view $(i,j)\in \{1,2,\ldots ,K\}.$ Then set $q_i'=\sum _{j=1}^{k(i)}d_{(i,j)}.$ Put $\psi _{00}': C(Y)\to \Phi (O_2)\subset pBp,$ where $\psi _{00}'(g)=\sum _{i=1}^m g(\xi _i)q_i'$ for all $g\in C(Y).$

By the choice of $\delta ,$ we have, for all $g\in {\cal F},$

(e3.114) $$ \begin{align} \|\psi_{00}(g|_Y)-\psi_{00}'(g|_Y)\|<\epsilon/4. \end{align} $$

Recall that $p_i, q_i'\in \Phi (O_2).$ Hence, $[p_i]=[q_i']=0$ in $K_0(B).$ There are partial isometries $w_i\in pB(u^*pu)$ such that $w_i^*w_i=u^*p_iu$ and $w_iw_i^*=q_i', i=1,2,\ldots ,m.$ Define $v=(1-p)u\oplus \sum _{i=1}^m w_i.$ Then

(e3.115) $$ \begin{align} v^*v&=u^*(1-p)u\oplus \sum_{i=1}^m u^*p_iu=u^*(1-p)u+u^*pu=1\,\,\,\mathrm{and}\,\,\, \end{align} $$
(e3.116) $$ \begin{align} vv^*&=(1-p)uu^*(1-p)\oplus \sum_{i=1}^m q_i'=(1-p)+\sum_{i=1}^Kd_i=1. \end{align} $$

So v is a unitary in $B.$ Note that

(e3.117) $$ \begin{align} v^*\psi_{00}'(g)v=v^*\left(\sum_{i=1}^n g(\xi_i)q_i'\right)v= \sum_{i=1}^n g(\xi_i) u^*p_iu=u^*\varphi_0(g|_X)u \,\,\,\mathrm{for\,\,\,all}\,\,\, g\in C(Y). \end{align} $$

Then, combining with (e 3.112) and (e 3.114), for all $g\in {\cal F},$

(e3.118) $$ \begin{align}\nonumber \|v^*\psi_0(g|_Y)v-u^*\varphi_0(g|_X)u\|&=\|v^*\psi_0(g|_Y)v-v^*\psi_{00}(g|_Y)v\|\\&\quad+ \|v^*\psi_{00}(g|_Y)v-v^*\psi_{00}'(g|_Y)v\|\nonumber\\ &\quad<\epsilon/4+\epsilon/4=\epsilon/2. \end{align} $$

Define $\psi : C(Y)\to B$ by

(e3.119) $$ \begin{align} \psi(g)=v^*(w^*\varphi(g|_X)w+\psi_0(g|_Y))v \,\,\,\mathrm{for\,\,\,all}\,\,\, g\in C(Y). \end{align} $$

Then $\psi $ is a unital injective homomorphism. Moreover, for all $g\in {\cal F},$ by (e 3.111), the definition of $\varphi _1$ and v above and by (e 3.118),

(e3.120) $$ \begin{align}\nonumber \|\varphi(g|_X)&-\psi(g|_Y)\|=\|\varphi(g|_X)-u^*\varphi_1(g|_X)u\|+\|u^*\varphi_1(g|_X)u-\psi(g|_Y)\|\\\nonumber &<\epsilon/4+\|u^*w^*\varphi(g|_X)wu\oplus u^*\varphi_0(g|_X)u-v^*(w^*\varphi(g|_X)w\oplus \psi_0(g|_Y))v\|\\\nonumber &=\epsilon/4+\|u^*w^*\varphi(g|_X)wu\oplus u^*\varphi_0(g|_X)u-v^*\nonumber\\&\times((1-p)w^*\varphi(g|_X)w(1-p)\oplus \psi_0(g|_Y))v\|\nonumber\\\nonumber &=\epsilon/4+\|u^*w^*\varphi(g|_X)wu\oplus u^*\varphi_0(g|_X)\nonumber\\&\quad u-u^*w^*\varphi(g|_X)wu\oplus v^*\psi_0(g|_Y))v\|\nonumber\\ &=\epsilon/4+\|u^*\varphi_0(g|_X)u-v^*\psi_0(g|_Y)v\|<\epsilon/4+\epsilon/2<\epsilon. \end{align} $$

To see the second formula in (e 3.107), we may write, from (e 3.119), since $\psi _0$ factors through $\Phi (O_2),$

(e3.121) $$ \begin{align} [\psi]=[\varphi\circ \pi_X]+[\psi_0]=[\varphi\circ \pi_X] \,\,\, \mathrm{in}\,\,\, KK(C(Y), B).\\[-33pt] \nonumber\end{align} $$

Corollary 3.7. Fix an integer $n\in \mathbb {N}$ and $1>\epsilon >0.$

Suppose that X is a compact subset of ${\mathbb {I}}^n,$ B is a unital purely infinite simple $C^*$ -algebra, and $\varphi : C(X)\to B$ is a unital injective homomorphism. If Y is any compact subset with property (F) such that $X\subset Y\subset X_\epsilon ,$ then there is a unital injective homomorphism $\psi : C(Y)\to B$ such that

(e3.122) $$ \begin{align} \|\varphi(e_j|_X)-\psi(e_j|_X)\|<\epsilon\,\,\,\text{and}\,\,\, \,\,\, [\psi]=[\varphi\circ \pi_X]\,\,\,\mathrm{in}\,\,\, KK(C(Y), B), \end{align} $$

where $\pi _X: C(Y)\to C(X)$ is the quotient map by restriction ( $\pi (g)=g|_X$ for all $g\in C(Y)$ ).

Proof. At the beginning of the proof of Theorem 3.6, choose ${\cal F}=\{e_j: 1\le j\le n\}.$ Then, with $\delta :=\epsilon /8,$ when $\mathrm {dist}(\xi , \xi ')<2\delta ,$

(e3.123) $$ \begin{align} |e_j(\xi)-e_j(\xi')|<\epsilon/4. \end{align} $$

Then the rest of the proof of Theorem 3.6 applies (with $\delta =\epsilon /8$ ).

In the proof of Theorem 3.6, we may choose Y to be a $1/k$ -brick combination with $\sqrt {n}/2k<\delta $ (the same $\delta $ in the proof of Theorem 3.6). Thus, we may state a variation of Theorem 3.6 as follows.

Corollary 3.8. Let $n\in \mathbb {N}.$ Then, for any $\epsilon>0$ and any finite subset ${\cal F}\subset C({\mathbb {I}}^n),$ there exists $0<\eta <\epsilon /2$ satisfying the following: Suppose that B is a purely infinite simple $C^*$ -algebra and $\varphi : C(X)\to B$ is a unital injective homomorphism, where $X\subset {\mathbb {I}}^n$ is a compact subset. For any integer $k\in \mathbb {N}$ with $\sqrt {n}/k<\eta ,$ there exists a unital injective homomorphism $\psi : C(\mathtt {B}_X^k)\to B$ such that

(e3.124) $$ \begin{align} \|\varphi(f|_X)-\psi(f)\|<\epsilon\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in {\cal G}\,\,\,\text{and}\,\,\, [\psi]=[\varphi\circ \pi]\,\,\,\mathrm{in}\,\,\, KK(C(\mathtt{B}_X^k), B), \end{align} $$

where $\pi : C(\mathtt {B}_X^k)\to C(X)$ is the quotient map by restriction, ${\cal G}\subset C(\mathtt {B}_X^k)$ is a finite subset such that ${\cal F}\subset \{g|_X: g\in {\cal G}\}$ (and where $\mathtt {B}_X^k$ is a $1/k$ -brick cover of X).

Theorem 3.9. Let $\epsilon>0$ and $n\in \mathbb {N}.$ There is $\delta =\delta (n,\epsilon )>0$ satisfying the following: If A is a unital purely infinite simple $C^*$ -algebra and $s_1, s_2,\ldots ,s_n\in A_{s.a.}$ with $\|s_j\|\le 1$ ( $1\le j\le n$ ) such that

(e3.125) $$ \begin{align} \|s_is_j-s_js_i\|<\delta,\,\,\, i,j=1,2,\ldots,n, \end{align} $$

then there is integer $k\in \mathbb {N}$ with $2\sqrt {n}/k<\delta $ and $1/k\le \eta <\delta ,$ and a $1/k$ -brick combination $X\subset I^n$ and a unital injective homomorphism $\varphi : C(X)\to A$ such that

(e3.126) $$ \begin{align} \|\varphi(e_j|_X)-s_j\|<\epsilon,\,\,\, j=1,2,\ldots,n. \end{align} $$

Proof. Let $\epsilon>0.$ It follows from Corollary 1.20 of [Reference Lin22] that there exists $\delta _1>0$ such that when $\|s_is_j-s_js_i\|<\delta _1,$ there are $a_1, a_2,\ldots ,a_n \in A_{s.a.}$ such that

(e3.127) $$ \begin{align} a_ia_j=a_ja_i\,\,\,\mathrm{and}\,\,\, \|s_i-a_i\|<\epsilon/2\,\,\,\mathrm{for\,\,\,all}\,\,\, 1\le i,\,j\le n. \end{align} $$

Let C be the commutative $C^*$ -subalgebra generated by $a_1,a_2,\ldots ,a_n.$ Then there exists a unital homomorphism $\varphi _0: C({\mathbb {I}}^n)\to C$ such that $\varphi _0(e_j)=a_j, j=1,2,\ldots ,n.$ Hence, $C\cong C(X_0)$ for some compact subset of ${\mathbb {I}}^n.$ Denote $\varphi _1: C(X_0)\to C$ the isomorphism given above. We may assume that $\varphi _1(e_j|{X_0})=a_j, j=1,2,\ldots ,n.$

Put $\delta =\min \{\epsilon /2, \delta _1/2\}.$ Choose any $k\in \mathbb {N}$ with $2\sqrt {n}/k<\delta $ and $1/k\le \eta <\delta .$ By Corollary 3.8, we obtain a $1/k$ -brick combination $X\subset {\mathbb {I}}^n$ and a unital injective homomorphism $\varphi : C(X)\to B$ such that

(e3.128) $$ \begin{align} \|\varphi(e_j|_X)-a_j\|<\epsilon/2, \,\,\, j=1,2,\ldots,n. \end{align} $$

Hence,

(e3.129) $$ \begin{align} \|\varphi(e_j|_X)-s_j\|<\epsilon,\,\,\, j=1,2,\ldots,n.\\[-33pt] \nonumber \end{align} $$

4 Multiple self-adjoint operators

The main purpose of this section is to prove Theorem 4.6.

The following lemma is a known (see the proof of Proposition 3.15 of [Reference Brown and Pedersen3]).

Lemma 4.1. Let A be a unital $C^*$ -algebra, and J be an ideal of A which is a $\sigma $ -unital $C^*$ -algebra of real rank zero. Suppose that $q\in A/J$ is a projection such that $[q]\in \pi _{*0}(K_0(A)),$ where $\pi : A\to A/J$ is the quotient map. Then there is a projection $p\in A$ such that $\pi (p)=q.$

Lemma 4.2. Fix $n\in \mathbb {N}.$ For any $\epsilon>0,$ there exists $\delta (n,\epsilon )>0$ satisfying the following: Suppose that A is a unital $C^*$ -algebra with an ideal J such that:

1. J is separable and has real rank zero;

2. the quotient $A/J$ is purely infinite and simple;

3. $T_1, T_2,\ldots ,T_n\in A_{s.a.}$ with $\|T_i\|\le 1$ ( $1\le i\le n$ );

4. the n-tuple has a $\delta $ -near-spectrum X and $(\pi (T_1), \pi (T_2),\ldots ,\pi (T_n))$ has a $\delta $ -spectrum $Y,$ where $\pi : A\to A/J$ is the quotient map. Then, there are mutually orthogonal nonzero projections $p_1, p_2,\ldots ,p_m\in A\setminus J,$ a $\delta $ -dense subset $\{\lambda _1, \lambda _2,\ldots ,\lambda _m\}$ in $Y,$ and a c.p.c. map $L: C(X)\to (1-p)A(1-p),$ where $p=\sum _{k=1}^m p_k,$ such that

(e4.130) $$ \begin{align} &\|\sum_{k=1}^m e_j(\lambda_k)p_k+L(e_j|_X)-T_j\|<\epsilon, \end{align} $$
(e4.131) $$ \begin{align} &\|L(e_ie_j|_X)-L(e_i|_X)L(e_j|_X)\|<\epsilon,\,\,\, 1\le i, j\le n, \end{align} $$

and $1-p\not \in J.$

Proof. Let $\epsilon>0.$ Choose $\delta =\epsilon /128.$ Since X is a $\delta $ -near-spectrum of $(T_1,T_2,\ldots ,T_n),$ by Definition 2.10, there is a unital c.p.c. map $\Phi : C(X)\to A$ such that

(e4.132) $$ \begin{align} \|\Phi(e_j|_X)-T_j\|<\delta \,\,\,\mathrm{and}\,\,\, \|\Phi(e_ie_j|_X)-\Phi(e_i|_X)\Phi(e_j|_X)\|<\delta,\,\,\, i,j\in \{1,2,\ldots,n\}. \end{align} $$

Since Y is a $\delta $ -spectrum of $(\pi (T_1),\pi (T_2),\ldots , \pi (T_n)),$ there exists, by Definition 2.10 (near (e 2.21)), a compact subset $Z\subset {\mathbb {I}}^n$ such that $Z\subset Y\subset Z_\delta $ and a unital monomorphism $\varphi : C(Z)\to A/J$ such that

(e4.133) $$ \begin{align} \|\varphi(e_j|_Z)-\pi(T_j)\|<\delta,\,\,\, j=1,2,\ldots,n. \end{align} $$

Let $e'\in A/J$ be a nonzero projection such that $1-e'\not =0.$ Choose a partial isometry $w\in A/J$ such that

(e4.134) $$ \begin{align} w^*w=1\,\,\,\mathrm{and}\,\,\, ww^*=e\le e'. \end{align} $$

It follows that $[1-e]=0$ in $K_0(A/J).$ Let $\{\lambda _1, \lambda _2,\dots ,\lambda _m\}$ be a $\delta /2$ -dense subset of Z which is also $\delta $ -dense in $Y.$ Let $q_1, q_2,\ldots ,q_m$ be mutually orthogonal nonzero projections in $(1-e)(A/J)(1-e)$ such that $[q_i]=0$ in $K_0(A/J).$ Define $\psi : C(Z)\to A/J$ by

(e4.135) $$ \begin{align} \psi(f)=\sum_{k=1}^m f(\lambda_k)q_k+w\varphi(f)w^*\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C(Z). \end{align} $$

Note that $[\varphi ]=[\psi ]$ in $KK(C(Z), A/J).$ Then, since $A/J$ is purely infinite and simple, by Theorem 1.7 of [Reference Dadarlat6], there exists a unitary $u\in A/J$ such that

(e4.136) $$ \begin{align} \|u\psi(e_j|_Z)u^*-\varphi(e_j|_Z)\|<\delta/16\,\,\,\mathrm{for\,\,\,all}\,\,\, j=1,2,\ldots,n. \end{align} $$

Let $q_k'=uq_ku^*, k=1,2,\ldots ,n,$ and

$$ \begin{align*}\varphi_0: C(Z)\to ueu^*(A/J)ueu^* \,\,\,\mathrm{by}\,\,\, \varphi_0(f)=uw\varphi(f)w^*u^*\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C(Z). \end{align*} $$

Then we may write

(e4.137) $$ \begin{align} u\psi(f)u^*=\sum_{k=1}^m f(\lambda_k)q_k'+\varphi_0(f)\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C(Z). \end{align} $$

Since $[q_k']=0$ in $K_0(A/J),$ by applying Lemma 4.1, we obtain projections $P_k\in A$ such that

(e4.138) $$ \begin{align} &\pi(P_k)=q_k',\,\,\, k=1,2,\ldots,m, \,\,\, \pi(1-\sum_{k=1}^m P_k)=ueu^*\,\,\,\mathrm{and}\,\,\, \end{align} $$
(e4.139) $$ \begin{align} & P_kP_{k'}=P_{k'}P_k=0,\,\,\,\mathrm{if}\,\,\, k\not=k'. \end{align} $$

Let $P=\sum _{k=1}^m P_k.$ Then $P\in A\setminus J$ is a projection. By the Choi–Effros lifting Theorem [Reference Choi and Effros4], there is a c.p.c. map $\Psi : C(Y)\to (1-P)A(1-P)$ such that $\pi \circ \Psi =\varphi _0\circ \pi _Z,$ where $\pi _Z: C(Y)\to C(Z)$ is the quotient map.

Then, by (e 4.132), (e 4.133), and (e 4.136), there are $h_j\in J, j=1,2,\ldots ,n,$ such that

(e4.140) $$ \begin{align} \|\Phi(e_j|_X)-\left(\sum_{k=1}^m e_j(\lambda_k)P_k+\Psi(e_j|_Y)\right)-h_j\|<2\delta+\delta/16,\,\,\, j=1,2,\ldots,n. \end{align} $$

Let $\{d_{k, l}\}$ be an approximate identity for $P_kJP_k, k=1,2,\ldots ,m,$ and $\{d_{0, l}\}$ be an approximate identity for $(1-P)J(1-P)$ consisting of projections. Put

$$ \begin{align*}d_l=d_{0,l}+\sum_{k=1}^m d_{k,l}\,\,\,\mathrm{and}\,\,\, d_l'=\sum_{k=1}^m d_{k,l},\,\,\,l\in \mathbb{N}. \end{align*} $$

Then $\{d_l\}$ is an approximate identity for J, and $\{d_l'\}$ is an approximate identity for $PJP.$ Choose l such that

(e4.141) $$ \begin{align} \|(1-d_l)h_j\|<\delta/64\,\,\,\mathrm{and}\,\,\, \|h_j(1-d_l)\|<\delta/64,\,\,\, j=1,2,\ldots,n. \end{align} $$

Hence, since $P-d_l'\le 1-d_l,$

(e4.142) $$ \begin{align} \|(P-d_l')h_j\|<\delta/64\,\,\,\mathrm{and}\,\,\, \|h_j(P-d_l')\|<\delta/64,\,\,\, j=1,2,\ldots,n. \end{align} $$

Put $p_k=P_k-d_{k,l}, k=1,2,\ldots ,m.$ Then, by (e 4.140), for $j=1,2,\ldots ,n,$

(e4.143) $$ \begin{align} (P-d_l')\Phi(e_j|_X)&\approx_{33\delta/16} (P-d_l')\left(\sum_{k=1}^m e_j(\lambda_k)P_k+\Psi(e_j|_Y)+h_j\right) \end{align} $$
(e4.144) $$ \begin{align} &\approx_{\epsilon/64}\sum_{k=1}^m e_j(\lambda_k)p_k. \end{align} $$

Similarly, for $j=1,2,\ldots ,n,$

(e4.145) $$ \begin{align} \Phi(e_j|_X)(P-d_l')&\approx_{33\delta/16} \left(\sum_{k=1}^m e_j(\lambda_k)P_k+\Psi(e_j|_Y)+h_j\right)(P-d_l') \end{align} $$
(e4.146) $$ \begin{align} &\approx_{\delta/64}\sum_{k=1}^m e_j(\lambda_k)p_k. \end{align} $$

Put $p=P-d_l'.$ Then

(e4.147) $$ \begin{align} &\|p\Phi(e_j|_X)-\sum_{k=1}^m e_j(\lambda_k)p_k\|<33\delta/16+\delta/64, \end{align} $$
(e4.148) $$ \begin{align} &\|p\Phi(e_j|_X)p-\sum_{k=1}^m e_j(\lambda_k)p_k\|<33\delta/16+\delta/64\,\,\,\mathrm{and}\,\,\, \end{align} $$
(e4.149) $$ \begin{align} &\|p\Phi(e_j|_X)-\Phi(e_j|_X)p\|<33\delta/8+\delta/32,\,\,\,\,\,\, j=1,2,\ldots,n. \end{align} $$

Put $L(f)=(1-p)\Phi (f)(1-p)$ for $f\in C(X).$ Then it is a c.p.c. map. Moreover,

(e4.150) $$ \begin{align} \Phi(e_j|_X)&=p\Phi(e_j|_X)+(1-p)\Phi(e_j|_X) \end{align} $$
(e4.151) $$ \begin{align} &\approx_{33\delta/8+3\delta/64} \sum_{k=1}^m e_j(\lambda_k)p_k +(1-p)\Phi(e_j|X)(1-p). \end{align} $$

Hence, using the inequality above and (e 4.132),

(e4.152) $$ \begin{align}\nonumber &\|\sum_{k=1}^m e_j(\lambda_k)p_k+L(e_j|_X)-T_j\| \\&\quad \le \|\sum_{k=1}^m e_j(\lambda_k)p_k+L(e_j|_X)-\Phi(e_j|_X)\|+ \|\Phi(e_j|_X)-T_j\|\nonumber\\ &\quad<33\delta/8+3\delta/64+\delta<\epsilon,\,\,\,\,\,\, j=1,2,\ldots,n. \end{align} $$

To arrange $(1-p)\not \in J,$ we may split $p_1.$ We write $p_1=p_1'+p_1",$ where $p_1', p_1"\in p_1Ap_1$ are two mutually orthogonal projections and both are not in J as $p_1\not \in J.$ Then define $L': C(X)\to (1-p+p_1")A(1-p+p_1")$ by $L'(f)=f(\lambda _1)p_1"+L(f)$ for all $f\in C(X).$ We then replace L with $L'$ and replace $p_1$ with $p_1'.$

Finally, by (e 4.149) and (e 4.132),

$$ \begin{align*}\nonumber &L(e_ie_j|_X)-L(e_i|_X)L(e_j|_X)=(1-p)\Phi(e_ie_j|_X)(1-p)\nonumber\\&\quad -(1-p)\Phi(e_i|_X)(1-p)\Phi(e_j|_X)(1-p)\\\nonumber &\quad\approx_{33\delta/8+\delta/32}(1-p)(\Phi(e_i|_X)-\Phi(e_i|_X)\Phi(e_j|_X))(1-p)\approx_\delta 0. \end{align*} $$

Thus (e 4.131) also holds.

The following proposition is a list of easy facts. We refer to Definition 2.1 of [Reference Gong and Lin11] for the definition of these properties. It is certainly known that $M(A\otimes {\cal K})$ has these properties and some of these may also stated in various places. We put here for our convenience.

Proposition 4.3. Let A be a $\sigma $ -unital $C^*$ -algebra. Then $M(A\otimes {\cal K})$ has the following property:

(1) $K_0$ -r-cancellation with $r(n)=1$ for all $n\in \mathbb {N};$

(2) $K_1$ -r-cancellation with $r(n)=1$ for all $n\in \mathbb {N};$

(3) $K_1$ -stable rank 1;

(4) $K_0$ -stable rank 1;

(5) stable exponential length $b=3\pi ;$

(6) stable exponential rank $4;$

(7) $K_0$ -divisible rank $T(n,m)=1$ (for $(n,m)\in \mathbb {N}^2$ );

(8) $K_1$ -divisible rank $T(n,m)=1$ (for $(n,m)\in \mathbb {N}^2$ );

(9) exponential length divisible rank $E(r, n)=3\pi $ (for all $r\in \mathbb {R}_+, n\in \mathbb {N}$ ).

Proof. First, by [Reference Cuntz and Higson5], $K_i(M(A\otimes {\cal K}))=\{0\}, i=0,1.$ We also have, for any $k\in \mathbb {N}, M_k(M(A\otimes {\cal K}))\cong M(A\otimes {\cal K}).$ For any projection $p\in M(A\otimes {\cal K}),$ we have $p\oplus 1_{M(A\otimes {\cal K})}\sim 1_{M(A\otimes {\cal K})}.$ This immediately implies (1), (4), and (7).

It follows from Theorem 1.1 of [Reference Zhang38] that $\mathrm {cel}(M(A\otimes {\cal K}))\le 3\pi $ and $\mathrm {cer}(M(A\otimes {\cal K}))\le 4.$ Therefore, (2), (3), (5), (6), (8), and (9) hold.

Definition 4.4. Let A be a unital $C^*$ -algebra. Let $r, b: \mathbb {N}\to \mathbb {N}$ and $T: \mathbb {N}^2\to \mathbb {N}$ be maps, and $R,\,s>0.$ We say that A satisfies condition $(R, r, b, T, s)$ if A has $K_i$ -r-cancellation, $i=0,1,$ $K_1$ -stable rank $s, K_0$ -divisible rank $T, \mathrm {cer}(M_m(A))\le R$ for all $m\in \mathbb {N},$ and $\mathrm {cel}(M_m(A))\le b(m)$ for all $m\in \mathbb {N}.$

If A is a unital purely infinite simple $C^*$ -algebra, then A satisfies condition $(R, r, b,T, s)$ for $R=2, s=1,$ any r and T and $b=2\pi .$ If A has stable rank one and real rank zero, then A satisfies condition $(R, r, b, T, s)$ for $R=2, s=1,$ any $r, T, $ and $b=2\pi .$

We will apply the following theorem which is a variation of Theorem 3.1 of [Reference Gong and Lin11].

Theorem 4.5. Fix $n\in \mathbb {N}.$ Let $r, b: \mathbb {N}\to \mathbb {N}, T : \mathbb {N}^2\to \mathbb {N}$ be maps, and $R>0,\, s > 0.$

For any $\epsilon> 0,$ there exist a positive number $\delta> 0$ and an integer $l> 0$ satisfying the following: Suppose that A is a unital $C^*$ -algebra such that:

1. A satisfies condition $(R, r, b,T, s)$ ;

2. $K_i(A\otimes C(Y))=0, i=0,1,$ for any compact metric space $Y.$

Let X be a compact subset of ${\mathbb {I}}^n,$ and let $L_1, L_2: C(X)\to A$ be unital c.p.c. maps such that

(e4.153) $$ \begin{align} \|L_k(e_ie_j|_X)-L_k(e_i|_X)L_k(e_j|_X)\|<\delta,\,\, \, 1\le i,j\le n, \,\,\, k=1,2. \end{align} $$

Then, there are a unitary $u\in M_{l+1}(A)$ (for some $l\in \mathbb {N}$ ) and a homomorphism $\sigma : C(X) \to M_l(A)$ with finite-dimensional image, such that

(e4.154) $$ \begin{align} \|u^*\mathrm{diag}(L_1(e_j|_X), \sigma(e_j|_X))u - \mathrm{diag}(L_2(e_j|_X), \sigma(e_j|_X))\|<\epsilon,\,\,\, 1\le j\le n. \end{align} $$

Proof. Let us first fix a compact subset $X.$ Let $\epsilon>0$ and ${\cal F}=\{e_j|_X: 0\le j\le n\}.$

Since we assume that $K_i(A\otimes C(Y))=0$ for any compact metric space $Y, i=0,1,$ for any finite subset ${\cal P}$ as in Theorem 3.1 of [Reference Gong and Lin11], we have that $[L]|_{\cal P}=0$ for any sufficiently multiplicative c.p.c. maps $L: C(X)\to A.$ Then, by Proposition 4.3 and applying Theorem 3.1 of [Reference Gong and Lin11], we obtain $\delta _0$ and a finite subset ${\cal G}_0\subset C(X)$ such that, if

(e4.155) $$ \begin{align} \|L_i(fg)-L_i(f)L_i(g)\|<\delta_0\,\,\,\mathrm{for\,\,\,all}\,\,\, f,g\in {\cal G}_0,\,\,\, i=1,2, \end{align} $$

there exists an integer $l>0,$ a unital homomorphism $\sigma : C(X)\to M_l(A)$ with finite-dimensional range, and a unitary $u\in M_{l+1}(A)$ such that

(e4.156) $$ \begin{align} \|u^*\mathrm{diag}(L_1(e_j|_X), \sigma(e_j|_X))u - \mathrm{diag}(L_2(e_j|_X), \sigma(e_j|_X))\|<\epsilon/2,\,\,\, 1\le j\le n. \end{align} $$

(Note as mentioned above, that $[L_i]|_{\cal P}=0,$ whenever it makes sense, since $K_i(A\otimes C(Y))=0$ for any compact metric space $Y, i=0, 1.$ )

However, since $\{e_j: 0\le j\le n\}$ generates $C(X)$ as $C^*$ -algebra, one obtains $\delta (n, \epsilon )>0$ such that when (e 4.153) holds, then

(e4.157) $$ \begin{align} \|L_i(fg)-L_i(f)L_i(g)\|<\delta_0\,\,\,\mathrm{for\,\,\,all}\,\,\, f,g\in {\cal G}_0,\,\,\, i=1,2. \end{align} $$

So Theorem 3.1 of [Reference Gong and Lin11] applies and the theorem would follow if we fix X first.

To find a common $\delta $ and $l,$ independent of $X\subset {\mathbb {I}}^n,$ we note that there are finitely many compact subsets $X_1, X_2,\ldots ,X_m$ of ${\mathbb {I}}^n$ such that, for any non-empty compact subset $X,$ there is $s\in \{1,2,\ldots ,m\}$ such that

(e4.158) $$ \begin{align} d_H(X, X_s)<\epsilon/6 \end{align} $$

(see Definition 2.15). Let $\Omega _s=\{x\in {\mathbb {I}}^n: \mathrm {dist}(x, X_s)\le \epsilon /6\}, s=1,2,\ldots ,m.$ Then, for any non-empty compact subset X of ${\mathbb {I}}^n,$ there is $s\in \{1,2,\ldots ,m\}$ such that

(e4.159) $$ \begin{align} d_H(X, \Omega_s)\le \epsilon/3 \,\,\,\mathrm{and}\,\,\, X\subset \Omega_s. \end{align} $$

When $\epsilon>0$ is given, by the first part of the proof, we obtain $\delta _s>0$ and $l_s\in \mathbb {N}$ such that the conclusion of the first part holds for $\Omega _s, s=1,2,\ldots , m.$ Choose $\delta =\min \{\delta _1, \delta _2,\ldots ,\delta _m\}$ and $l=\max \{l_1,l_2,\ldots ,l_m\}.$

Now suppose $X\subset {\mathbb {I}}^n$ and $L_1, L_2: C(X)\to A$ are unital c.p.c. maps satisfying the assumption (e 4.153). Suppose that

(e4.160) $$ \begin{align} d_H(X,\Omega_s)\le \epsilon/3\,\,\,\mathrm{and}\,\,\, X\subset \Omega_s. \end{align} $$

Define $\tilde L_k: C(\Omega _s)\to A$ by $\tilde L_k(e_j|_{\Omega _s})=L_k(e_j|_X)$ (this makes sense as $X\subset \Omega _s$ ), $j=1,2,\ldots ,n, k=1,2.$ Therefore,

(e4.161) $$ \begin{align} \|\tilde L_k(e_ie_j|_{\Omega_s})-\tilde L_k(e_i|_{\Omega_s})\tilde L_k(e_j|_{\Omega_s})\|<\delta,\,\,i,j\in \{1,2,\ldots,n\} \end{align} $$

and $k=1,2.$ Hence, with the choice of $\delta ,$ we obtain homomorphism $\sigma ': C(\Omega _s)\to M_l(A)$ with finite-dimensional range and a unitary $u\in M_{l+1}(A)$ such that, for $j=1,2,\ldots ,n,$

(e4.162) $$ \begin{align} \|u^*\mathrm{diag}(L_1(e_j|_{\Omega_s}), \sigma'(e_j|_{\Omega_s}))u - \mathrm{diag}(L_2(e_j|_{\Omega_s}), \sigma'(e_j|_{\Omega_s}))\|<\epsilon/2. \end{align} $$

We may write $\sigma '(e_j|_{\Omega _s})=\sum _{k=1}^K e_j(\xi _k) p_k,$ where $\xi _k\in \Omega _s$ ( $k=1,2,\ldots ,K$ ) and $\{p_1,p_2,\ldots ,p_K\}$ is a set of mutually orthogonal projections in $M_l(A).$ Since $d_H(X, \Omega _s)\le \epsilon /4,$ for each $\xi _k,$ we may choose $x(\xi _k)\in X$ such that

(e4.163) $$ \begin{align} \|\xi_k-x(\xi_k)\|_2=\mathrm{dist}(\xi_k, x(\xi_k))\le \epsilon/3,\,\,1\le k\le K. \end{align} $$

Define $\sigma : C(X)\to M_{l}(A)$ by

(e4.164) $$ \begin{align} \sigma(f)=\sum_{k=1}^K f(x(\xi_k))p_k \,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C(X). \end{align} $$

Note that

(e4.165) $$ \begin{align} \|\sigma(e_j|_X)-\sigma'(e_j|_{\Omega_s})\|\le \epsilon/3,\,\,\, 1\le j\le n. \end{align} $$

Hence, by (e 4.162), for $1\le j\le n,$

(e4.166) $$ \begin{align} \|u^*\mathrm{diag}(L_1(e_j|_{X}), \sigma(e_j|_{X}))u - \mathrm{diag}(L_2(e_j|_{X}), \sigma(e_j|_{X}))\|\le \epsilon/2 +\epsilon/3<\epsilon. \end{align} $$

Theorem 4.6. Let $n\in \mathbb {N}$ and $\epsilon>0.$ Let $R\in \mathbb {R}_+\setminus \{0\}, r, b: \mathbb {N}\to \mathbb {N}$ and $T: \mathbb {N}^2\to \mathbb {N}$ be maps and $s>0.$ There exists $\delta (n, \epsilon )>0$ satisfying the following:

Suppose that A is a unital $C^*$ -algebra such that:

1. A satisfies condition $(R, r, b, T, s);$

2. $K_i(A\otimes C(Z))=0$ for any compact metric space Z ( $i=0,1$ );

3. $J\subset A$ is an essential ideal which has real rank zero such that $A/J$ is purely infinite simple;

4. for any $l\in \mathbb {N}$ and any nonzero projection $e\in M_l(A)\setminus M_l(J),$ we have $e\sim 1.$

Suppose further that $T_1, T_2,\ldots ,T_n\in A_{s.a.}$ with $\|T_i\|\le 1$ ( $1\le i\le n$ ) satisfy:

(e4.167) $$ \begin{align} \|T_iT_j-T_jT_i\|<\delta,\,\,\, 1\le i,j\le n\,\,\,\text{and}\,\,\, d_H(X, Y)<\epsilon/8 \end{align} $$

(recall Definition 2.15), where $X=s\mathrm {Sp}^{\epsilon /8}(T_1, T_2,\ldots ,T_n), Y=s\mathrm {Sp}^{\epsilon /8}((\pi (T_1), \pi (T_2),\ldots ,\pi (T_n)),$ and where $\pi : A\to A/J$ is the quotient map.

Then there are $S_1, S_2,\ldots ,S_n\in A_{s.a.}$ such that

(e4.168) $$ \begin{align} S_iS_j=S_jS_i,\,\,\, 1\le i,j\le n\,\,\,\mathrm{and}\,\,\, \|T_j-S_j\|<\epsilon,\,\,\, 1\le j\le n. \end{align} $$

Proof. Fix $n\in \mathbb {N}.$ Let $\epsilon>0.$ We will apply Theorem 4.5. Let $\delta _1>0$ (in place of $\delta $ ) be given by Theorem 4.5 for $\epsilon /16.$

Put $\epsilon _0=\min \{\epsilon /128,\delta _1/4\}.$ Let $\delta _2'>0$ (in place of $\delta $ ) be given by Lemma 4.2 for $\epsilon _0$ (in place of $\epsilon $ ). Choose $\delta _2=\min \{\delta _2', \epsilon _0/2\}.$ Put $\epsilon _1=\min \{\epsilon _0/2, \delta _2/4\}.$

Let $\delta _3>0$ be given by Proposition 2.16 for $\epsilon _1$ (in place of $\eta $ ). Choose $\epsilon _2=\min \{\epsilon _1/2, \delta _3/2\}.$ Let $\delta _4>0$ be given by Proposition 2.12 for $\epsilon _2$ (in place of $\eta $ ) and let $\delta _5>0$ be given by Theorem 3.9 for $\epsilon _2.$

Let $\delta :=\min \{\delta _1/2, \delta _2/2, \delta _4, \delta _5/2, \epsilon _2\}.$

Now suppose that $T_1, T_2,\ldots ,T_n\in A_{s.a.}$ with $\|T_i\|\le 1$ ( $1\le i\le n$ ) such that

(e4.169) $$ \begin{align} \|T_iT_j-T_jT_i\|<\delta\,\,\,\mathrm{for\,\,\,all}\,\,\, 1\le j\le n\,\,\,\mathrm{and}\,\,\, d_H(X, Y)<\epsilon/8. \end{align} $$

By the choice of $\delta $ (and $\delta _4, \delta _5$ ) and, applying Proposition 2.12, we obtain non-empty sets $X=s\mathrm {Sp}^{\epsilon /8}((T_1, T_2,\ldots ,T_n))$ and $Y=s\mathrm {Sp}^{\epsilon /8}((\pi (T_1), \pi (T_2),\ldots ,\pi (T_n)),$ and the n-tuple $(T_1, T_2,\ldots , T_n)$ has an $\epsilon _2$ -near-spectrum $X_1$ and, by Theorem 3.9, $(\pi (T_1), \pi (T_2),\ldots ,\pi (T_n))$ has an $\epsilon _2$ -spectrum $Y_1.$ Moreover (by the choice of $\delta _3$ ), since $\epsilon _2=\min \{\epsilon _1/2, \delta _3/2\},$ we have (by applying Proposition 2.16)

(e4.170) $$ \begin{align} Y_1\subset \overline{(X_1)_{\epsilon_1}},\,\,\, X_1\subset X\subset \overline{(X_1)_{2\epsilon_1}}, \,\,\,\mathrm{and}\,\,\, Y_1\subset Y\subset \overline{(Y_1)_{2\epsilon_1}}. \end{align} $$

By the choice of $\delta _2$ (and $\epsilon _2<\delta _2'$ ), applying Lemma 4.2, we obtain mutually orthogonal nonzero projections $p_1,p_2,\ldots ,p_m\in A\setminus J,$ a $\delta _2$ -dense subset $\{\lambda _1, \lambda _2,\ldots ,\lambda _m\}\subset Y_1,$ and a c.p.c. map $L: C(X_1)\to (1-p)A(1-p)$ such that (with $p=\sum _{i=1}^m p_i$ )

(e4.171) $$ \begin{align} &\|\sum_{i=1}^m e_j(\lambda_i)p_i+L(e_j|_{X_1})-T_j\|<\epsilon_0<\delta_1\,\,\,\mathrm{and}\,\,\, \end{align} $$
(e4.172) $$ \begin{align} &\|L(e_ie_j|_X)-L(e_i|_X)L(e_j|_X)\|<\epsilon_0, \end{align} $$

$j=1,2,\ldots ,n,$ and $1-p\not \in J.$ Put

$$ \begin{align*}\Phi_1(f)=\sum_{i=1}^m f(\lambda_i)p_i+L(f|_{X_1})\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C({\mathbb{I}}^n). \end{align*} $$

Note that, since $(1-p)\sim 1, (1-p)A(1-p)\cong A.$ Choose $\xi _0\in X_1$ and define $\Phi _0: C(X_1)\to (1-p)A(1-p)$ by $\Phi _0(f)=f(\xi _0)(1-p).$

By the choice of $\delta _1$ and (e 4.172), as $(1-p)A(1-p)\cong A,$ and applying Theorem 4.5, we obtain a unital homomorphism $\sigma : C(X_1)\to M_l((1-p)A(1-p))$ (for some integer $l\in \mathbb {N}$ ) with finite-dimensional range and a unitary $u_1\in M_{l+1}((1-p)A(1-p))$ such that

(e4.173) $$ \begin{align} \|u_1^*\mathrm{diag}(\Phi_0(e_j|_{X_1}), \sigma(e_j|_{X_1}))u_1-\mathrm{diag}(L(e_j|_{X_1}), \sigma(e_j|_{X_1}))\|<\epsilon/16, \,\,\, 1\le j\le n. \end{align} $$

Since $\sigma $ has a finite-dimensional range, there are mutually orthogonal projections $q_1,q_2,\ldots ,q_L\in M_{l}((1-p)A(1-p))$ (for some integer $L\ge 1$ ) such that

(e4.174) $$ \begin{align} \sigma(e_j|_{X_1})= \sum_{k=1}^L e_j(\xi_k)q_k,\,\,\, 1\le j\le n, \end{align} $$

where $\xi _k\in X_1, k=1,2,\ldots ,L.$ Put $q=\sum _{i=1}^L q_i.$ Note that, without loss of generality, by replacing l by $l+1$ and adding a projection $q_i"\in M_l((1-p)A(1-p))\setminus M_l((1-p)J(1-p))$ to each $q_i,$ if necessarily, we may assume that $q_i\not \in M_l((1-p)A(1-p))\setminus M_l((1-p)J(1-p)), i=1,2,\ldots ,L.$

Define $\Phi _2: C({\mathbb {I}}^n)\to M_{l+1}((1-p)A(1-p))$ by

(e4.175) $$ \begin{align} \Phi_2(f)=u_1^*\mathrm{diag}(\Phi_0(f|_{X_1}), \sigma(f|_{X_1}))u_1\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C({\mathbb{I}}^n). \end{align} $$

Let $\{e_{i,j}\}_{1\le i,j\le l+1}$ be a chosen matrix unit for $M_{l+1}(A).$ In what follows, we identify $1-p$ with $(1-p)\otimes e_{1,1}$ and $M_l(A)$ above with $EM_{l+1}(A)E,$ where $E=\sum _{i=2}^{l+1}1\otimes e_{i,i}.$ In particular, we view $q\in EM_{l+1}(A)E.$

Recall that $\{\lambda _1, \lambda _2,\ldots ,\lambda _m\}$ is $\delta _2$ -dense in $Y_1.$ By the assumption that $d_H(X,Y)<\epsilon /8$ and (e 4.170), we conclude that $\{\lambda _1, \lambda _2,\ldots ,\lambda _m\}$ is $\delta _2+2\epsilon _1+\epsilon /8$ -dense in $X_1.$ Note that

(e4.176) $$ \begin{align} \delta_2+2\epsilon_1+\epsilon/8<\epsilon/256+\epsilon/128+\epsilon/8=35\epsilon/256. \end{align} $$

Hence, $\{\lambda _1, \lambda _2,\ldots ,\lambda _m\}$ is $35\epsilon /256$ -dense in $X_1.$ Let

(e4.177) $$ \begin{align} \kern0.1pt F_1&= \{\xi_1,\xi_2,\ldots,\xi_L\}\cap B(\lambda_1,35\epsilon/256),\qquad \end{align} $$
(e4.178) $$ \begin{align} F_2&=(\{\xi_1, \xi_2,\ldots,\xi_L\}\setminus F_1)\cap B(\lambda_2, 35\epsilon/256). \end{align} $$

By induction, since $\{\lambda _1, \lambda _2,\ldots ,\lambda _m\}$ is $35\epsilon /256$ -dense in $X_1,$ we obtain mutually disjoint subsets $F_1, F_2,\ldots , F_{m'}$ such that $\sqcup _{i=1}^{m'} F_i=\{\xi _1, \xi _2,\ldots ,\xi _L\},$ and $F_j\subset B(\lambda _j, 35\epsilon /256), j=1,2,\ldots ,m',$ where $m'\le m.$

Put $q_k'=\sum _{\xi _j\in S_k}q_j, k=1,2,\ldots ,m'.$ Define

(e4.179) $$ \begin{align} \sigma_1(e_j|_X)=\sum_{k=1}^{m'} e_j(\lambda_k)q_k'. \end{align} $$

Then

(e4.180) $$ \begin{align} \|\sigma_1(e_j|_X)-\sigma(e_j|_X)\|<35\epsilon/256,\,\,\, 1\le j\le n. \end{align} $$

Recall that, $e\sim 1$ for any nonzero projection $e\in M_{l+1}(A)\setminus M_{l+1}(J).$ Thus, in $M_{l+1}(A),$ viewing $q\in EM_{l+1}(A)E,$ we have a partial isometry w such that $qwp=w,$

$$ \begin{align*}\nonumber w^*q_k'w=p_k,\,\,\, k=1,2,\ldots,m'\,\,\,\mathrm{and}\,\,\, w_1^*\sigma_1(e_j|_X)w_1=\sum_{k=1}^{m'} e_j(\lambda_k)p_k,\,\,\, 1\le j\le n. \end{align*} $$

Then put $w_1=(1-p)+ w.$ Then

(e4.181) $$ \begin{align} w_1^*w_1=(1-p) +\sum_{k=1}^{m'}p_k\,\,\,(\le (1-p)+p\le 1\otimes e_{1,1}). \end{align} $$

It follows that

(e4.182) $$ \begin{align} \Phi_1(e_j|_X)&= w_1^*\mathrm{diag}(L(e_j|_X), \sigma_1(e_j|_X))w_1\oplus \sum_{k=m'}^m e_j(\lambda_k)p_k \end{align} $$
(e4.183) $$ \begin{align} &\qquad= L(e_j|_X)+\sum_{k=1}^m e_j(\lambda_k)p_k, \,\,\, 1\le j\le n. \end{align} $$

Put

(e4.184) $$ \begin{align} \psi_0(f)=\sum_{k=m'}^m f(\lambda_k)p_k\,\,\,\mathrm{and}\,\,\, \Phi_3(f)=w_1^*\mathrm{diag}(L(f|_{X_1}), \sigma(f|_{X_1}))w_1 \end{align} $$

for all $f\in C({\mathbb {I}}^n).$ Then, by (e 4.173), (e 4.175), (e 4.180), (e 4.183), and (e 4.171), for $1\le j\le n,$

(e4.185) $$ \begin{align} w_1^*\Phi_2(e_j)w_1\oplus \psi_0(e_j)\approx_{\epsilon/16} \Phi_3(e_j) \oplus \psi_0(e_j) \approx_ {35\epsilon/256}\Phi_1(e_j|_{X_1})\approx_{\epsilon_0} T_j. \end{align} $$

Put

(e4.186) $$ \begin{align} S_j=w_1^*\Phi_2(e_j)w_1\oplus \psi_0(e_j),\,\,\, 1\le j\le n. \end{align} $$

Then, since $\epsilon /16+35\epsilon /256+\epsilon _0<\epsilon ,$ by (e 4.185),

(e4.187) $$ \begin{align} \|S_j-T_j\|<\epsilon,\,\,\, 1\le j\le n. \end{align} $$

Since $\Phi _0$ is a homomorphism so is $\Phi _2.$ Hence,

(e4.188) $$ \begin{align} S_iS_j=S_jS_i,\,\,\, 1\le i,j\le n. \end{align} $$

Proof of Theorem 1.1:

Proof. Let $A=B(H)$ and $J={\cal K}.$ By [Reference Cuntz and Higson5], $K_i(B(H)\otimes C(Y))=0$ for all compact metric space $Y, i=0,1.$ By Proposition 4.3, we may apply Theorem 4.6.

4.7. Proof of Theorem 1.2

Proof. Let B be a $\sigma $ -unital purely infinite simple $C^*$ -algebra and H be a countably generated Hilbert B-module. Let $H_B=\{\{b_n\}: \sum _{n=1}^\infty b_n^*b_n \,\,\, \mathrm {converges\,\, in\,\, norm}\}.$ Then, by Kasparov’s absorbing theorem (Theorem 2 of [Reference Kasparov17]), H is an orthogonal summand of $H_B$ and hence $K(H)$ is isomorphic to a hereditary $C^*$ -subalgebra of $B\otimes {\cal K}$ which is purely infinite simple. If $K(H)$ is unital, by Theorem 1 of [Reference Kasparov17], $L(H)=K(H).$ Then the conclusion of Theorem 1.2 follows from Theorem 3.9 (without referring to synthetic spectra).

Otherwise, since H is countably generated, $C:=K(H)$ is non-unital but $\sigma $ -unital (see Proposition 3.2 of [Reference Brown and Lin2]). By Theorem 1 of [Reference Kasparov17], $L(H)\cong M(K(H))=M(C).$ Note that $B\cong B\otimes {\cal K}$ (see Remark 2.5 (c) of [Reference Lin and Zhang29]) which has real rank zero by [Reference Zhang35]. It follows from Theorem 3.3 of [Reference Zhang36] (see also Remark 2.5 (b) of [Reference Lin and Zhang29]) that $M(B)/B$ is purely infinite simple, and every projection in $M(B)\setminus B$ is equivalent to $1_{M(B)}.$ Thus, by Proposition 4.3, Theorem 4.6 applies.

5 A pair of almost commuting self-adjoint operators on Hilbert modules

Definition 5.1 (Definition 3.1 of [Reference Friis and Rørdam9])

For a unital $C^*$ -algebra $A,$ denote by $R(A)$ the set of elements $x\in A$ with the property that for no ideal I of A is $x+I$ one-sided and not two-sided invertible in $A/I.$ Recall that A is said to have property (IR) if all elements in $R(A)$ belong to the norm closure of $GL(A),$ the group of invertible elements.

A non-unital $C^*$ -algebra A has property (IR), if the $C^*$ -algebra obtained by adjoining a unit to A has property (IR).

It follows from Lemma 4 of [Reference Lin23] that, if A has property (IR), then for any nonzero projection $p\in A, pAp$ also has (IR).

Every $C^*$ -algebra of stable rank one has property (IR), and every purely infinite simple $C^*$ -algebra has property (IR).

Lemma 5.2. Let $\epsilon>0.$ There exists $\delta (\epsilon )>0$ satisfying the following: Let B be a unital purely infinite simple $C^*$ -algebra, $a_1, a_2\in B$ be self-adjoint elements such that $\|a_i\|\le 1, i=1,2,$ and

(e5.189) $$ \begin{align} \|a_1a_2-a_1a_2\|<\delta. \end{align} $$

Then there exists a pair of commuting self-adjoint elements $s_1, s_2\in B$ such that

(e5.190) $$ \begin{align} \|s_i-a_i\|<\epsilon\,\,\,\mathrm{and}\,\,\, \kappa_1(\lambda-(s_1+is_2))=\kappa_1(\lambda-(a_1+ia_2)) \end{align} $$

(recall Definition 2.4), whenever $\mathrm {dist}(\lambda , \mathrm {sp}(s_1+is_2))\ge \epsilon .$

(Note that the identity in (e 5.190) also implies that $\lambda \not \in \mathrm {sp}(a_1+ia_2).$ )

Proof. It follows from Theorem 3.9 that exists $\delta>0$ such that, whenever

(e5.191) $$ \begin{align} \|a_1a_2-a_2a_1\|<\delta, \end{align} $$

there exists a compact subset $X\subset {\mathbb {I}}^2$ and a unital injective homomorphism $\varphi : C(X)\to B$ such that

(e5.192) $$ \begin{align} \|\varphi(e_i|_X)-a_i\|<\epsilon/2,\,\,\, i=1,2. \end{align} $$

Put $s_i=\varphi (e_i|_X), i=1,2,$ and $b=s_1+is_2.$ Then b is a normal element in B and $\mathrm {sp}(b)=X.$ Moreover,

(e5.193) $$ \begin{align} \|b-(a_1+i a_2)\|<\epsilon. \end{align} $$

Suppose that $\lambda \in \mathbb {C}$ such that $\mathrm {dist}(\lambda , X)\ge \epsilon .$ Then

(e5.194) $$ \begin{align} \|(\lambda-b)^{-1}\|={1\over{\mathrm{dist}(\lambda, X)}}\le 1/\epsilon. \end{align} $$

Hence (also by (e 5.193)),

(e5.195) $$ \begin{align} \|1-(\lambda-b)^{-1}(\lambda-(a_1+ia_2))\|<1. \end{align} $$

It follows that $(\lambda -b)^{-1}(\lambda -(a_1+ia_2))\in GL_0(B).$ Hence, $(\lambda -b)$ and $(\lambda -(a_1+i a_2))$ are in the same path connected component of $GL(B).$ It follows that $\kappa _1(\lambda -b)=\kappa _1(\lambda -(a_1+ia_2)).$

Theorem 5.3. Let $\epsilon>0.$ There exists $\delta (\epsilon )>0$ satisfying the following: Suppose that A is a unital $C^*$ -algebra with an essential ideal J such that:

1. J is $\sigma $ -unital, has real rank zero, and satisfies property (IR);

2. the quotient $A/J$ is purely infinite simple.

Let $T_1, T_2\in A_{s.a.}$ with $\|T_i\|\le 1$ ( $i=1,2$ ) such that:

(e5.196) $$ \begin{align} \|T_1T_2-T_2T_1\|<\delta\,\,\,\text{and}\,\,\, \kappa_1(\lambda-(\pi(T_1+iT_2)))=0 \end{align} $$

for all $\lambda \not \in s\mathrm {Sp}^\delta (\pi (T_1+iT_2)),$ where $\pi : A\to A/J$ is the quotient map.

Then, if either:

$\bullet \ \ A$ has real rank zero, or

$\bullet \ \ s\mathrm {Sp}^\delta (\pi (T_1+iT_2))$ is path connected,

there are $S_1, S_2\in A_{s.a}$ such that

(e5.197) $$ \begin{align} S_1S_2=S_2S_1\,\,\,\mathrm{and}\,\,\, \|S_i-T_i\|<\epsilon,\,\,\, i=1,2. \end{align} $$

Proof. Fix $0<\epsilon <1.$ Let $\delta _1(\epsilon /32)>0$ be given by Theorem 4.4 of [Reference Friis and Rørdam9] for $\epsilon /32$ in place of $\epsilon .$

Choose $\epsilon _1=\min \{\epsilon /64, \delta _1/64\}.$ Let $\delta _2(\epsilon _1)>0$ be given by Proposition 2.16 for $\epsilon _1$ (in place of $\eta $ ) and $k=2.$ Choose $\epsilon _2=\min \{\epsilon _1/32, \delta _2/32\}.$

Let $\delta _3:=\delta (\epsilon _2/2)>0$ be given by Theorem 5.2 for $\epsilon _2/2$ (in place of $\epsilon $ ). Put $\epsilon _3:=\min \{\delta _3, \epsilon _2/4\}>0.$

Let $\delta _4>0$ be given by Proposition 2.17 for $\epsilon _1$ (in place of $\eta $ ).

Choose $\delta =\min \{\delta _4, \delta _3, \epsilon _2/4, \delta _2/2,\epsilon _1/4\}>0.$

Now assume that $T_1, T_2\in A_{s.a.}$ satisfy the assumption for $\delta .$ By Proposition 2.17,

$$ \begin{align*}Z:=s\mathrm{Sp}^{\epsilon_1}((\pi(T_1), \pi(T_2))\not=\emptyset. \end{align*} $$

Recall that $A/J$ is a purely infinite simple $C^*$ -algebra. Therefore, by the choice of $\delta $ and applying Theorem 5.2, we obtain a compact subset $X\subset {\mathbb {I}}^2$ and a unital injective homomorphism $\varphi : C(X)\to A/J$ such that

(e5.198) $$ \begin{align} \|{\bar s_j}-\pi(T_j)\|<\epsilon_2/2,\,\,\, j=1,2, \,\,\,\mathrm{and}\,\,\, \kappa_1(\lambda-t)=\kappa_1(\lambda-\pi(T_1+iT_2)) \end{align} $$

for those $\lambda \in {\mathbb {I}}^2$ for which $\mathrm {dist}(\lambda , X)\ge \epsilon _2/2,$ where ${\bar s}_j=\varphi (e_j|_X), j=1,2,$ and $t={\bar s}_1+i {\bar s}_2.$ In particular, the pair $(\pi (T_1), \pi (T_2))$ has an $\epsilon _2/2$ -spectrum $X.$ We may view it as an $nSp^{\delta _2}(\pi (T_1), \pi (T_2)).$ On the other hand, by the choice of $\delta _2$ and applying Proposition 2.16, we have

(e5.199) $$ \begin{align} X\subset Z\subset X_{2\epsilon_1}. \end{align} $$

We claim: Suppose that $\Omega \subset \mathbb {C}\setminus X$ is a bounded path connected component and that there is $\xi \in \Omega $ such that $\mathrm {dist}(\xi , X)\ge 2\epsilon _1.$ Then, for any $\lambda \in \Omega ,$

(e5.200) $$ \begin{align} \kappa_1(\lambda-({\bar s_1}+i{\bar s}_2))=0. \end{align} $$

To see the claim, we note that, by (e 5.199), $\xi \not \in Z.$ Then, by (e 5.198) and by the assumption (e 5.196),

(e5.201) $$ \begin{align} \kappa_1(\xi-({\bar s_1}+i{\bar s}_2))=\kappa_1(\xi-(\pi_c(T_1)+i\pi_c(T_2)))=0. \end{align} $$

It follows that, for any $\lambda \in \Omega ,$

(e5.202) $$ \begin{align} \kappa_1(\lambda-({\bar s_1}+i{\bar s}_2))=\kappa_1(\xi-({\bar s_1}+i{\bar s}_2))=0 \end{align} $$

and the claim follows.

Choose $k\in \mathbb {N}$ such that $2\sqrt {2}/k<\epsilon _2/16.$

Note that, if Z is path connected, then $X_{2\epsilon _1}=\cup _{x\in X}B(x, 2\epsilon _1)$ is also path connected.Footnote 1 Let ${\overline {X_{2\epsilon _1}}}=\{z\in {\mathbb {I}}^2: \mathrm {dist}(z, X)\le 2\epsilon _1\}.$ Choose $Y:=\mathtt {B}_{\overline {X}_{2\epsilon _1}}^k$ the $1/k$ -brick cover of $\overline {X}_{2\epsilon _1}$ (see Definition 3.3). Note that if $\overline {X}_{2\epsilon _1}$ is path connected then Y is also connected.

Put $\epsilon _4=2\epsilon _1+2\sqrt {2}/k<2\epsilon _1+\epsilon _1/128.$ Then $X_{\epsilon _1}\subset Y\subset X_{\epsilon _4}.$

By Corollary 3.7, there is a unital injective homomorphism $\psi : C(Y)\to A/J$ such that

(e5.203) $$ \begin{align} \|\psi(e_j|_Y)-{\bar s}_j\|< \epsilon_4,\,\,\, j=1,2,\,\,\,\mathrm{and}\,\,\, \psi_{*1}=\varphi_{*1}\circ \pi^X_{*1}, \end{align} $$

where $\pi ^X: C(Y)\to C(X)$ is the quotient map by restriction. Put $s_j=\psi (e_j|_Y), j=1,2,$ and $r=s_1+i s_2.$ Then $\mathrm {sp}(r)=Y.$

Denote by $\Omega _\infty $ the unbounded path connected component of $\mathbb {C}\setminus X.$ Let $\Omega '\subset \mathbb {C}\setminus Y$ be a bounded path component. Then there are two cases:

(i) $\Omega '\subset \Omega _\infty ;$

(ii) if $z\in \Omega ',$ then $\mathrm {dist}(z, X)\ge 2\epsilon _2.$

To see this, let us assume it is not case (i). If $z\in \Omega ',$ then z is in a bounded path connected open component $\Omega '\subset \mathbb {C}\setminus X.$ But since $X_{2\epsilon _2}\subset X_{\epsilon _1}\subset Y,$ one must have $z\not \in X_{2\epsilon _2}.$ Hence, $\mathrm {dist}(z, X)\ge 2\epsilon _2.$

Next, we will show that $\psi _{*1}=0.$ To see this, let $\lambda \in \Omega '\subset \mathbb {C}\setminus Y,$ where $\Omega '$ is a bounded path connected component of $\mathbb {C}\setminus Y.$ Put

(e5.204) $$ \begin{align} u=(\lambda-(e_1+i e_2)|_Y)([(\lambda-(e_1+i e_2)|_Y)^*(\lambda-(e_1+i e_2)|_Y)]^{-1/2})\in C(Y). \end{align} $$

If $\Omega '\subset \Omega _\infty $ (i.e., it is case (i)), then, for $\lambda \in \Omega ',$

(e5.205) $$ \begin{align} \pi^X_{*1}([u])=[u|_X]=0\,\,\,\mathrm{in}\,\,\, K_1(C(X)). \end{align} $$

Hence, by the second part of (e 5.203),

(e5.206) $$ \begin{align} \psi_{*1}([u])=\varphi_{*1}\circ \pi^X_{*1}([u])=0. \end{align} $$

If $\xi \in \Omega '$ and $\mathrm {dist}(\lambda , X)\ge 2\epsilon _2$ (i.e., in case (ii)), by the second part of (e 5.203) and the claim above, one computes that

(e5.207) $$ \begin{align} \psi_{*1}([u])=\varphi_{*1}([u|_X])=\kappa_1(\lambda-({\bar s}_1+i {\bar s}_2))=0. \end{align} $$

Hence,

(e5.208) $$ \begin{align} \psi_{*1}=0. \end{align} $$

Since $Y\subset \mathbb {C}$ and $K_0(C(Y))$ is finitely generated, $K_0(C(Y))$ is free. Therefore, $[\psi ^w]=0$ in $KK(C(Y), A/J).$ Then, by Theorem 3.5, there is a normal element $r_0=t_1+i t_2\in A/J$ with $t_1, t_2\in (A/J)_{s.a.}$ which has finitely many points in the spectrum contained in Y such that

(e5.209) $$ \begin{align} \|r-r_0\|<\epsilon_2/16. \end{align} $$

Then, by (e 5.198), (e 5.203), and (e 5.209),

(e5.210) $$ \begin{align} \|\pi(T_1+iT_2)-r_0\| &\le \|\pi(T_1+iT_2)-({\bar s_1}+i{\bar s_2})\|+\|({\bar s_1}+i{\bar s_2})-r\|+\|r-r_0\| \end{align} $$
(e5.211) $$ \begin{align} &<\epsilon_2/2+\epsilon_4+\epsilon_2/16\le \epsilon_2/2+2\epsilon_1+\epsilon_1/128+\epsilon_2/16<3\epsilon_1. \end{align} $$

We may write $r_0=\sum _{l=1}^m \lambda _i p_i,$ where $\lambda _i\in Y$ and $p_1, p_2,\ldots ,p_m$ are mutually orthogonal nonzero projections in $A/J$ and $\sum _{k=1}^m p_k=1_{A/J}.$ There are two cases: (1) A has real rank zero, then, by Theorem 3.14 of [Reference Brown and Pedersen3], every projection in $A/J$ lifts and (2) if Z is path connected, by the “Moreover” part of Theorem 3.5, we may arrange such that $[p_k]=0$ or $[p_k]=[1_{A/J}]$ in $K_0(A/J).$ Since A is unital, $[p_k]\in \pi _{*0}(K_0(A)).$ Thus, by Lemma 4.1, in both cases, there are mutually orthogonal projections $P_1, P_2,\ldots ,P_m\in A$ such that $\pi (P_j)=p_j, j=1,2,\ldots ,m.$ There exists $H\in {\cal K}$ such that

(e5.212) $$ \begin{align} \|(T_1+iT_2)+H-\sum_{j=1}^m \lambda_j P_j\|<\epsilon_1. \end{align} $$

Then, there are projections $Q_j\in P_j{\cal K}P_j, j=1,2,\ldots ,m,$ such that, with $Q=\sum _{j=1}^m Q_j,$

(e5.213) $$ \begin{align} \|QH-HQ\|<\epsilon_1/16\,\,\,\mathrm{and}\,\,\, \|(1-Q)H\|<\epsilon_1/16. \end{align} $$

Note that

(e5.214) $$ \begin{align} Q(\sum_{j=1}^m \lambda_j P_j)=\sum_{j=1}^m \lambda_jQ_j=(\sum_{j=1}^m \lambda_j P_j)Q. \end{align} $$

Moreover, by the second part of (e 5.213) and (e 5.212), and then, by the first part of (e 5.213), (e 5.212), and (e 5.214), we obtain

(e5.215) $$ \begin{align} &\|(1-Q)(T_1+iT_2)(1-Q)-\sum_{j=1}^m \lambda_j (P_j-Q_j)\|<\epsilon_1/16+\epsilon_1=17\epsilon_1/16 \end{align} $$
(e5.216) $$ \begin{align} &\mathrm{and}\,\,\, Q(T_1+iT_2)-(T_1+iT_2)Q\approx_{\epsilon_1/16} Q(T_1+iT_2+H)-(T_1+iT_2+H)Q \end{align} $$
(e5.217) $$ \begin{align} &\approx_{2\epsilon_1} Q(\sum_{j=1}^m \lambda_jP_j)-(\sum_{j=1}^m \lambda_jP_j)Q=0. \end{align} $$

Hence,

(e5.218) $$ \begin{align} \|(T_1+iT_2)-((1-Q)(T_1+iT_2)(1-Q)+Q(T_1+iT_2)Q)\|<2(2+1/6)\epsilon_1. \end{align} $$

It follows from (e 5.216) and (e 5.217), and by the assumption on $T_1$ and $T_2$ that

(e5.219) $$ \begin{align} Q(T_1+iT_2)QQ(T_1-iT_2)Q\approx_{(2+1/6)\epsilon_1} Q(T_1+iT_2)(T_1-iT_2)Q \end{align} $$
(e5.220) $$ \begin{align} \approx_{2\delta} Q(T_1-iT_2)(T_1+iT_2)Q. \end{align} $$

Note that $(2+1/16)\epsilon _1+2\delta < 3\epsilon _1+\epsilon _2<\delta _1.$ Note also that $QJQ$ has property (IR). By the choice of $\delta _1$ and applying Theorem 4.4 of [Reference Friis and Rørdam9], there is a normal element $ L\in QJQ$ such that

(e5.221) $$ \begin{align} \|Q(T_1+iT_2)Q-L\|<\epsilon/16. \end{align} $$

Put $N=\sum _{j=1}^m \lambda _j(P_j-Q_j)+L.$ Then N is normal and, by (e 5.218) and (e 5.215),

(e5.222) $$ \begin{align} \|(T_1+iT_2)-N\|<2(2+1/6)\epsilon_1+17\epsilon_1/16+\epsilon/16<\epsilon/8. \end{align} $$

Put $S_1=(1/2)(N+N^*)$ and $S_2=(1/2i)(N-N^*).$ Then, since N is normal, $S_1S_2=S_2S_1.$ Moreover,

(e5.223) $$ \begin{align} \|S_j-T_j\|<\epsilon,\,\,\, j=1,2.\\[-33pt]\nonumber \end{align} $$

The proof of Theorem 1.3:

Proof. For (i), choose $A=B(H)$ and $J={\cal K}.$ Note that ${\cal K}$ has real rank zero and stable rank one and has property (IR). So Theorem 5.3 applies.

For (ii), let $A=L(H)$ and $J=K(H).$ If $K(H)$ is unital, then $L(H)=K(H).$ As in 4.7, this case follows from Theorem 3.9 (regardless of Fredholm index).

Also in the proof of Theorem 1.2 (see 4.7), when $K(H)$ is not unital, it is a $\sigma $ -unital purely infinite simple $C^*$ -algebra which has real rank zero and has property (IR). The fact that $A/J$ is purely infinite is also discussed in 4.7 (the proof of Theorem 1.2). Thus, Theorem 5.3 applies.

For (iii), let $A=L(H)$ and $J=K(H).$ As in 4.7 (the proof of Theorem 1.2), by Kasparov’s theorems, $L(H)=M(K(H))$ and $K(H)$ is a $\sigma $ -unital hereditary $C^*$ -subalgebra of a $\sigma $ -unital simple $C^*$ -algebra of real rank zero and stable rank one. Hence, $J=K(H)$ is also a simple $C^*$ -algebra of real rank zero and stable rank one, whence J has property (IR). If $K(H)$ is unital, then $J=K(H)=L(H).$ Therefore, the conclusion follows from Theorem 4.4 of [Reference Friis and Rørdam9]. Otherwise, by the assumption, $M(J)/J$ is simple. It follows that J has continuous scale (see [Reference Lin26]). Hence, by Corollary 3.3 of [Reference Lin26], $A/J$ is a purely infinite simple $C^*$ -algebra. Thus, Theorem 5.3 applies.

Corollary 5.4. For $\epsilon>0,$ there exists $\delta (\epsilon )>0$ satisfying the following: Suppose that H is an infinite-dimensional separable Hilbert space and $T_1, T_2\in B(H)_{s.a.}$ with $\|T_i\|\le 1$ ( $i=1,2$ ) such that

(e5.224) $$ \begin{align} \|T_1T_2-T_2T_1\|<\delta\,\,\,\text{and}\,\,\, \mathrm{Ind}(\lambda-(T_1+iT_2))=0 \end{align} $$

for all $\lambda \not \in \overline {(\mathrm {sp}_{ess}(T_1+iT_2))_\delta }.$ Then there are $S_1, S_2\in B(H)_{s.a.}$ such that

(e5.225) $$ \begin{align} S_1S_2=S_2S_1\,\,\,\mathrm{and}\,\,\, \|S_i-T_i\|<\epsilon,\,\,\, i=1,2. \end{align} $$

Proof. Fix $\epsilon>0.$ Let $\eta$ be as in Theorem 1.3 for $\epsilon .$ We may assume that $\eta<\epsilon .$ Let $\delta :=\delta (\delta _1/4)$ be in Proposition 2.17 for $\delta _1/4$ (in place of $\eta $ ). Then, if $T_1, T_2\in B(H)_{s.a.}$ satisfy the assumption (e 5.224), then, by the proof of Proposition 2.17 and (4) of Remark 2.11,

(e5.226) $$ \begin{align} \mathrm{sp}_{ess}(T_1+iT_2)\subset n\mathrm{Sp}^{\delta_1/4}_{ess}((T_1, T_2))\subset (n\mathrm{Sp}^{\delta_1/4}_{ess}(T_1, T_2))_{\delta_1/4}\subset n\mathrm{Sp}^{\delta_1}_{ess}((T_1, T_2))\subset s\mathrm{Sp}^{\eta}(T_1, T_2). \end{align} $$

Then, for any $\lambda \not \in s\mathrm {Sp}^{\delta _1}_{ess}((T_1, T_2)), \mathrm {Ind}(\lambda -(T_1+iT_2))=0.$ So Theorem 1.3 applies.

The next proposition provides a short way to see the second condition in (e 5.196) is necessary. We also provide a direct proof.

Proposition 5.5. Let $1>\epsilon >0.$ There is $\delta>0$ satisfying the following: Suppose that $T_1,T_2\in B(H)_{s.a.}$ and there are $S_1, S_2\in B(H)_{s.a.}$ such that

(e5.227) $$ \begin{align} \|T_j-S_j\|<\delta,\,\,\,j=1,2, \,\,\,\text{and}\,\,\, S_1S_2=S_2S_1. \end{align} $$

Then, for any $\lambda \not \in s{\mathrm Sp}_{ess}^{\epsilon} (T_1+iT_2),$

(e5.228) $$ \begin{align} \mathrm{Ind}(\lambda-(T_1+iT_2))=0. \end{align} $$

Note that (e 5.228) also implies that $\lambda -(T_1+i T_2)$ is invertible.

Proof. Let $\delta _1:=\delta (2, \epsilon /4)$ be given by Proposition 2.16 for $\epsilon /4$ (in place of $\eta $ ). Choose $\delta>0.$ Suppose that $T_j$ and $S_j$ are in the statement of the theorem, $j=1,2.$ Put $L=T_1+i T_2$ and $N=S_1+iS_2.$ Then

(e5.229) $$ \begin{align} \|L-N\|<2\delta. \end{align} $$

Since N is normal, by choosing sufficiently small $\delta$ , $X:=\mathrm {sp}_{ess}(N)$ is an essential $\delta _1$ -near-spectrum of and $L$ and $X_{\delta_1/2}$ is a $\delta_1$ -near spectrum of $L.$ We may also assume that $\delta< \delta_1/16.$ By Proposition 2.16, we have

(e5.230) $$ \begin{align} X\subset X_{\delta_1/2}\subset Z, \end{align} $$

where $Z=sSp^{\epsilon}((\pi _c(T_1), \pi _c(T_2))).$

Since N is normal, $\mathrm {Ind}(\lambda -N)=0\,\,\,\mathrm {for\,\,\,all}\,\,\, \lambda \not \in X.$ Note, for any $\lambda \in \mathbb {C},$

(e5.231) $$ \begin{align} \|(\lambda-\pi_c(L))-(\lambda-\pi_c(N))\|<2\delta<\delta_1/8.\end{align} $$

Now if $\lambda \not \in sSp^{\epsilon }_{ess}((T_1+iT_2)),$ then, by (e 5.230), $\mathrm {dist}(\lambda , \pi _C(N))\ge \delta_1 /2.$ Since N is normal,

(e5.232) $$ \begin{align} \|(\lambda-\pi_c(N))^{-1}\|={1\over\mathrm{dist}(\lambda, \pi_c(N))}. \end{align} $$

Hence, by (e 5.231),

(e5.233) $$ \begin{align} \|(\lambda-\pi_c(L))(\lambda-\pi_c(N))^{-1}-1\|<{2\delta\over{\delta_1/2}}<{1\over{4}}<1. \end{align} $$

This implies that $(\lambda -\pi _c(L))(\lambda -\pi _c(N))^{-1}$ is invertible and

$$ \begin{align*}\nonumber (\lambda-\pi_c(L))(\lambda-\pi_c(N))^{-1}\in GL_0(B(H)/{\cal K}), \,\mathrm{or}\,\,\, \kappa_1((\lambda-\pi_c(L))(\lambda-\pi_c \\ (N))^{-1})=0. \end{align*} $$

Since $\mathrm {Ind}(\lambda -N)=0,$ we conclude that

$$ \begin{align*}\nonumber \mathrm{Ind}((\lambda-\pi_c(L))=0.\\[-33pt] \end{align*} $$

Remark 5.6. Let us compare the results in this section and Theorem 1.1 of [Reference Kachkovskiy and Safarov16].

While there is significant overlap between the results in this section and Theorem 1.1 of [Reference Kachkovskiy and Safarov16], the proofs are quite different. Theorem 1.1 of [Reference Kachkovskiy and Safarov16] provides a quantitative estimate for the distance from $T_1+iT_2$ to the set of normal elements with finite spectrum (though the explicit computation of $d_1(T_1+iT_2)$ may not be straightforward). In contrast, Theorem 5.3 here is a more conceptual result. In the special case of Theorem 1.3 (i), the condition $d_1(T_1+iT_2)=0$ (defined in [Reference Kachkovskiy and Safarov16]) is equivalent to $\mathrm {Ind}(\lambda -(T_1+iT_2))=0$ for all $\lambda \not \in \mathrm {sp}(T_1+iT_2).$

$\mathbf {\bullet }$ Key differences and limitations:

However, when $K_1(A)\not =\{0\},$ or $K_1(J)\not =\{0\},$ a normal element $x\in A$ (as in Theorem 5.3) may not be approximable by normal elements with finite spectrum even if $\kappa _1(\lambda -\pi (x))=0$ for all $\lambda \not \in \mathrm {sp}(\pi (x)).$ In such cases, $d_{1}(x)$ (from Theorem 1.1 of [Reference Kachkovskiy and Safarov16]) can be large. For instance, if x is a unitary with $[x]\not =0$ in $K_1(A),$ then $d_1(x)=1,$ rendering Theorem 1.1 of [Reference Kachkovskiy and Safarov16] inapplicable (see Example 5.7 for details).

Moreover, if a unital $C^*$ -algebra A has property (IR), then by Theorem 4.4 of [Reference Friis and Rørdam9], any pair of almost commuting self-adjoint elements $T_1$ and $T_2$ is close to a commuting pair – regardless of the size of $d_1(T_1+i T_2)$ (see also Example 5.7 below).

$\mathbf {\bullet }$ Computational aspects of $\delta $ -synthetic spectrum:

From a computational standpoint, the $\delta $ -synthetic spectrum X is tractable: it consists of finitely many balls, and its complement has only finitely many bounded connected components. Since the index remains constant in each such component, it suffices to test one point per bounded components. This avoids the complication of infinitely many “holes” in the spectrum.

$\mathbf {\bullet }$ Further points:

– The second condition in (e5.196) does not imply $d_1(T_1+iT_2)=0.$

– More importantly, it should be noted that Theorems 1.1 and 1.2 here primarily address cases where $n>2,$ which lie outside the scope of [Reference Kachkovskiy and Safarov16].

Example 5.7. Let $B_1$ be a unital separable purely infinite simple $C^*$ -algebra with $K_0(B_1)=0$ and $K_1(B_1)\not =\{0\}$ and J be a non-unital separable simple $C^*$ -algebra with $K_1(J)\not =\{0\}.$ We assume that either J is purely infinite simple, or J is a separable simple $C^*$ -algebra of real rank zero and stable rank one. Consider any unital $C^*$ -algebra A which is given by the following essential extension:

$$ \begin{align*}\nonumber 0\to J\to A\to B_1\to 0. \end{align*} $$

Let $\pi : A\to B_1$ be the quotient map. Note that $\pi (A)\cong A/J\cong B_1$ is purely infinite, J has property (IR). Since $K_0(B_1)=0,$ every projection in $B_1=A/J$ lifts to a projection in A (see Lemma 4.1). It follows from Corollary 3.16 of [Reference Brown and Pedersen3] that A has real rank zero. Hence, Theorem 5.3 applies in this case. However, from the six-term exact sequence in K-theory, one computes that $K_1(A)\not =\{0\}.$ Denote by $N(A)$ the set of normal elements of A and $N_f(A)$ the set of those elements in $N(A)$ which has finite spectrum, respectively. Then the closure $\overline {N_f(A)}\not =N(A).$

Let $p\in J$ be a nonzero projection. Since $pJp$ is either purely infinite or stable rank one, $K_1(pAp)=K_1(pJp)\cong K_1(J)\not =\{0\}.$ Thus, there is a unitary $u_0\in pJp$ with ${[u_0]\not =\{0\}.}$ Let $x=(1/4)(1-p)+u_0.$ Then x is a normal element with ${\pi (x)=(1/4)1_{A/J}.}$ Hence, $\kappa _1(\lambda -\pi (x))=0$ for any $\lambda \not \in \mathrm {sp}(\pi (x))=\{1/4\}$ (so Theorem 1.3 (iii) applies).

Then $\mathrm {sp}(x)=\mathbb {T}\cup \{1/4\}.$ Choose $d=1/32.$ Put $X=\{z\in \mathbb {C}: \mathrm {dist}(z, \mathrm {sp}(x))\le d\}.$ Suppose that $y\in A$ with $\|x-y\|<d/2.$ Then, for any $\lambda \not \in X,$

(e5.234) $$ \begin{align} \|1-(\lambda-x)^{-1} (\lambda-y)\|<{d/2\over{d}}=1/2. \end{align} $$

It follows that $\lambda \not \in \mathrm {sp}(y).$ In other words, $\mathrm {sp}(y)\subset X.$

Let D be the disk in $\mathbb {C}$ with center at $0$ and radius $3/2.$ Then $X\subset D.$ Choose $g\in C([0, 3/2])_+$ such that $g(r)=1,$ if $r\in [1-d, 3/2], 0\le g(r)\le 1,$ if $1/4+d< r\le 1, g(r)=0$ if $r\in [0, 1/4+d].$ Define $f\in C(D)$ such that $f(re^{2\pi i \theta })= g(r)e^{2\pi i \theta }$ ( $\theta \in [0,1)$ ). Note that $f(X)\subset \mathbb {T}\cup \{0\}$ and $f(0)=0.$ Then, there exists $0<\delta _1<1/2$ such that, for any pair of normal elements $y_1, y_2$ with $\|y_i\|\le 3/2$ and with $\|y_1-y_2\|<\delta _1,$ then

(e5.235) $$ \begin{align} \|f(y_1)-f(y_2)\|<1/16. \end{align} $$

Put $\delta =\min \{d, \delta _1\}>0.$

Claim: $\mathrm {dist}(x, N_f(A))\ge \delta $ but $\mathrm {dist}(x, N(A))=0.$

In fact, suppose otherwise there is $y\in N_f$ such that

(e5.236) $$ \begin{align} \|x-y\|<\delta. \end{align} $$

Then, since $\delta \le d, \mathrm {sp}(y)\subset X,$ and

(e5.237) $$ \begin{align} \|f(x)-f(y)\|<1/16. \end{align} $$

Hence, $f(x)=u_0$ and $\mathrm {sp}(f(y))\subset \mathbb {T}\cup \{0\}.$ Therefore, $f(y)$ is a normal partial isometry. Moreover,

(e5.238) $$ \begin{align} |p-f(y)f(y)^*\|\le \|u_0u_0^*-f(y)u_0^*\|+\|f(y)u_0^*-f(y)f(y)^*\|<1/8. \end{align} $$

There exists a unitary $w\in A$ such that

(e5.239) $$ \begin{align} \|w-1\|<1/4\,\,\,\mathrm{and}\,\,\, w^*f(y)f(y)^*w=p. \end{align} $$

Also

$$ \begin{align*}\nonumber \|u_0-w^*f(y)w\| &\le \|u_0-f(y)\|+\|f(y)-w^*f(y)\|+\|w^*f(y)-w^*f(y)w\|\\\nonumber &<1/16+1/4+1/4<1. \end{align*} $$

Note that $w^*f(y)w$ is a unitary in $pJp$ with finite spectrum, hence $w^*f(y)w\in U_0(pJp).$ This contradict the fact that $[u_0]\not =0$ in $pJp,$ which proves the claim.

In other words, Theorem 1.1 in [Reference Kachkovskiy and Safarov16] could not be applied to determine $\mathrm {dist}(s_1+is_2, N(A)),$ when $s_1$ and $s_2$ are almost commuting (see also Theorem in [Reference Lin23]).

6 Epilogue

In this final section, we examine the connection between the vanishing Fredholm index condition and the closeness of the (synthetic) spectrum to the essential (synthetic) spectrum (Corollaries 6.2 and 6.3). We also present an example (Proposition 6.4) where a higher-dimensional analog of Theorem 1.3 fails – highlighting the obstructions and subtleties behind this failure. Finally, we conclude with a remark on Mumford’s original question regarding quantum theory and measurements, relating it to the second condition in Theorem 1.1.

Let us first state the following corollary of Theorem 4.6.

Corollary 6.1. Let $n\in \mathbb {N}$ and $\epsilon>0.$ There exists $\delta (n, \epsilon )>0$ satisfying the following: Suppose that $T_1, T_2,\ldots ,T_n\in B(H)_{s.a.}$ with $\|T_i\|\le 1$ ( $1\le i\le 1$ ) such that

(e6.240) $$ \begin{align} \|T_iT_j-T_jT_i\|<\delta,\,\,\, 1\le i,j\le n \end{align} $$

and $Y=s\mathrm {Sp}^{\epsilon /4}_{ess}((T_1, T_2,\ldots ,T_n))\supset {\mathbb {I}}^n.$ Then there are $S_1, S_2,\ldots ,S_n\in B(H)_{s.a.}$ such that

(e6.241) $$ \begin{align} S_iS_j=S_jS_i,\,\,\, 1\le i,j\le n\,\,\,\mathrm{and}\,\,\, \|T_j-S_j\|<\epsilon,\,\,\, 1\le j\le n. \end{align} $$

Proof. This follows from Theorem 4.6 and the fact that

$$ \begin{align*}\nonumber s\mathrm{Sp}_{ess}^{\epsilon/4}((T_1, T_2,\ldots,T_n))\subset s\mathrm{Sp}^{\epsilon/4}((a_1,a_2,\ldots,a_n))\subset {\mathbb{I}}^n.\\[-33pt] \end{align*} $$

The next corollary shows that, when $n=2,$ the second condition in (e 4.167) is stronger than that of vanishing index in Theorem 1.3.

Corollary 6.2. For any $\eta>0,$ there exists $\delta>0$ satisfying the following: Let A and H be in all cases (i)–(iii) of Theorem 1.3. Suppose that $T_1, T_2\in L(H)_{s.a.},$

(e6.242) $$ \begin{align} \|T_1T_2-T_2T_1\|<\delta\,\,\,\mathrm{and}\,\,\, d_H(s\mathrm{Sp}^{\eta}((T_1, T_2)), s\mathrm{Sp}^\eta((\pi(T_1), \pi(T_2)))<\eta. \end{align} $$

Then, for any $\lambda \not \in s\mathrm {Sp}^{4\eta }((\pi (T_1), \pi (T_2))),$

(e6.243) $$ \begin{align} \mathrm{\kappa_1}(\lambda-(\pi(T_1+iT_2)))=0. \end{align} $$

Proof. Let $\delta _1:=\delta (\eta )>0$ be given by Proposition 2.16 for $\eta.$ Let $\delta_2:=\delta(\eta/4)>0$ be given by Proposition 2.17 for $\delta_1/2.$

Then we choose $\delta _3>0$ such that the conclusion of Proposition 2.12 holds for $\delta _2/2.$ Choose $\delta =\delta _3.$ Suppose that (e6.242) holds. Put $L=T_1+iT_2.$ Thus (applying Proposition 2.12) $Z:=s\mathrm {Sp}^{\delta _1}((T_1, T_2)), Z_e:=s\mathrm {Sp}^{\delta _1}(\pi (T_1), \pi (T_2)), X:=nSp^{\delta _2}((T_1, T_2)),$ and $X_e:=nSp^{\delta _2}( \pi (T_1), \pi (T_2))$ are all non-empty sets.

By applying the proof of Proposition 2.17, we have

(e6.244) $$ \begin{align} \mathrm{sp}(T_1+iT_2)\subset n\mathrm{Sp}^{\eta/4}((T_1, T_2)) \,\,\,\mathrm{and}\,\,\, \mathrm{sp}(\pi(T_1+iT_2))\subset n\mathrm{ Sp}^{\eta/4}((\pi(T_1),\pi(T_2))). \end{align} $$

Applying Proposition 2.16, we obtain

(e6.245) $$ \begin{align} \mathrm{sp}(T_1+iT_2)\subset (n\mathrm{Sp}^{\delta_1/2}((T_1, T_2))_{\delta_1/2}\subset n{\mathrm{Sp}}^{\delta_1}((T_1, T_2))\subset{\mathrm{Sp}}^\eta((T_1, T_2)). \end{align} $$

Since

(e6.246) $$ \begin{align} d_H(s\mathrm{Sp}^\eta((T_1,T_2)), s\mathrm{Sp}^{\eta}(\pi(T_1), \pi(T_2)))<\eta, \end{align} $$

one has

(e6.247) $$ \begin{align} \mathrm{sp}(T_1+iT_2)\subset ({s\mathrm{Sp}^{\eta}(\pi(T_1), \pi(T_2)))_{\eta}} \end{align} $$

So, if $\lambda \not \in (s\mathrm {Sp}^{\eta }((\pi (T_1), \pi (T_2)))_\eta,$ then $\lambda \not \in \mathrm {sp}(T_1+iT_2).$ By [Reference Cuntz and Higson5], in cases (i) and (ii), since A is stable, $K_1(L(H))=K_1(M(A))=\{0\}.$ For case (iii), $K_1(L(H))=K_1(M(A))=0$ follows from Lemma 3.3 of [Reference Lin20] (note that, proved in [Reference Lin19], if C has real rank zero, then $\mathrm {cer}(C)\le 1+\epsilon \le 2$ ). Therefore,

(e6.248) $$ \begin{align} \kappa_1(\lambda+(T_1+iT_2))=0. \end{align} $$

Hence,

(e6.249) $$ \begin{align} \kappa_1(\lambda-\pi(T_1+iT_2))=0\,\,\, \mathrm{in}\,\,\, K_1(L(H)/K(H)).\\[-33pt] \nonumber \end{align} $$

In general, we have the following statement, which follows immediately from Theorem 4.6. Following the same spirit as the proof of Corollary 6.2, one could alternatively give a direct proof without invoking Theorem 4.6. However, since this approach is already demonstrated in Corollary 6.2, we avoid introducing additional $KK$ -theoretic technicalities – particularly to spare readers less familiar with $KK$ -theory.

Corollary 6.3. Let $n\in \mathbb {N}.$ For any $\epsilon>0,$ there exists $\delta (n, \epsilon )>0$ satisfying the following: Suppose that $T_1,T_2,\ldots ,T_n\in B(H)_{s.a.}$ with $\|T_i\|\le 1$ ( $i=1,2$ ) such that

(e6.250) $$ \begin{align} \|T_iT_j-T_jT_i\|<\delta,\,\,\, 1\le i, j \le n, \,\,\,\text{and}\,\,\, d_H(X, Y)<\epsilon/8, \end{align} $$

where $X=s\mathrm {Sp}^{\epsilon /8}((T_1, T_2,\ldots ,T_n))$ and $Y=s\mathrm {Sp}_{ess}^{\epsilon /8}((T_1,T_2,\ldots ,T_n)).$ Then there exists a $1/k$ -brick combination $\Omega \subset {\mathbb {I}}^n$ and a unital monomorphism $\varphi : C(\Omega )\to B(H)/{\cal K}$ such that

(e6.251) $$ \begin{align} &\|\varphi(e_j|_\Omega)-\pi_c(T_j)\|<\epsilon,\,\,\, 1\le j\le n, \,\,\,\mathrm{and}\,\,\, \end{align} $$
(e6.252) $$ \begin{align} & [\varphi^\omega]=0\,\,\,\mathrm{in}\,\,\, KK(C(\Omega), B(H)/{\cal K}). \end{align} $$

Proof. Applying Theorem 4.6, one obtains commuting n-tuple of self-adjoint operators $S_1,S_2,\ldots ,S_n\in B(H).$ Let $C=C(\Omega )$ be the $C^*$ -subalgebra of $B(H)$ generated by $1, S_1, S_2,\ldots ,S_n.$ Define $\psi : C(\Omega )\to B(H)$ to be the embedding. Since $K_i(B(H)\otimes C(Y))=0$ for any compact metric space $Y, i=0,1,$ we conclude that $KK([\psi ])=0.$ Consequently, $[\varphi ^\omega ]=0,$ where $\varphi =\pi _c\circ \psi .$

We now present a counterexample demonstrating that the n-dimensional analog of Theorem 1.3 (i) is false when $n\ge 3.$ Note that, in the next proposition, the triple $(T_1, T_2,T_3)$ has only a single point in the essential $\eta $ -spectrum. Hence, the $KK$ -theory obstruction vanishes in $B(H)/{\cal K}.$ This example also underscores the significance of Theorems 1.1 and 1.2.

Proposition 6.4. There exists $0<\epsilon _0<1$ and a sequence of triples of self-adjoint operators $T_{n,1}, T_{n,2},T_{n,3}\in B(H)$ such that $\|T_{n,j}\|\le 1$ (for all n),

$$ \begin{align*}\nonumber \lim_{n\to\infty}\|T_{n,i}T_{n,j}-T_{n,j}T_{n,i}\|=0,\,\,\, \pi_c(T_j)=1_{B(H)/{\cal K}},\,\,\,\, 1\le i,j\le 3, \,\,\,\text{and}\,\,\,\\\nonumber \inf\{\max_{1\le j\le 3}\{\|T_{n,j}-S_{n,j}\|: S_{n,j}\in B(H)_{s.a.} \,\,\,\mathrm{and}\,\,\, S_{n,j}S_{n,i}=S_{n,i}S_{n,j},\,\,1\le i,j\le 3\}\}\ge \epsilon_0, \end{align*} $$

where infimum is taken from all possible commuting triples $\{S_{n,j}: 1\le j\le 3\}$ of self-adjoint operators and all $n\in \mathbb {N}.$

Proof. Let $\mathbb D^3$ be the three-dimensional unit ball in ${\mathbb {I}}^3.$ By Theorem 4.1 of [Reference Gong and Lin10], there exists a sequence of contractive linear maps $\Lambda _n: C(\mathbb D^3)\to M_{n^3}$ and $a>0$ which satisfy the following:

(e6.253) $$ \begin{align} &\lim_{n\to \infty}\|\Lambda_n(fg)-\Lambda_n(f)\Lambda_n(g)\|=0\,\,\,\mathrm{for\,\,\,all}\,\,\, f, g\in C(\mathbb D^3)\,\,\,\mathrm{ and}\,\,\, \end{align} $$
(e6.254) $$ \begin{align} &\inf \{\sup\{\|\Lambda_n(e_j|_{\mathbb D^3})-\varphi_n(e_j|_{\mathbb D^3})\|: 0\le j\le 3\}\}\ge a, \end{align} $$

where the infimum is taken among all homomorphism s $\varphi _n: C(\mathbb D^3)\to M_{n^3}.$

Let $B_1=\prod _nM_{n^3}$ and $\Pi _1: B_1\to B_1/\bigoplus _n M_{n^3}$ be the quotient map. Then $\psi =\Pi _1\circ \{\Lambda _n\}: C(\mathbb D^3)\to B_1/B_1/\bigoplus _nM_{n^3}$ is a homomorphism. Theorem 4.1 of [Reference Gong and Lin10] allows each $\Lambda _n$ to be $\sigma _n$ -injective (see Definition 0.3 in [Reference Gong and Lin10]) with $\sigma _n\to 0.$ This feature implies that $\psi $ is injective. Let $q=\psi (1).$ Then there exists a sequence of projections $p_n\in M_{n^3}$ such that $\Pi _1(\{p_n\})=q.$ Put $D_n=p_nM_{n^3}p_n, n\in \mathbb {N}.$ Note that

(e6.255) $$ \begin{align} \lim_{n\to \infty}\|\Lambda_n(1)-p_n\|=0. \end{align} $$

Hence,

(e6.256) $$ \begin{align} \lim_{n\to\infty}\|p_n\Lambda_n(1)p_n-p_n\|=0. \end{align} $$

There are $d_n\in D_n$ such that, for all sufficiently large $n,$

(e6.257) $$ \begin{align} d_np_n\Lambda_n(1)p_nd_n=p_n \,\,\,\mathrm{and}\,\,\, \lim_{n\to\infty}\|d_n-p_n\|=0. \end{align} $$

Therefore, by replacing $\Lambda _n$ with $d_np_n\Lambda _np_nd_n,$ we may assume that $\Lambda _n$ maps $C(\mathbb D^3)$ into $D_n$ and each $\Lambda _n$ is unital.

Choose $\lambda _0=(1,1,1)\in {\mathbb {I}}^3.$ Identify $M_{n^3}$ with a $C^*$ -subalgebra of ${\cal K}\subset B(H)$ such that $1_{M_{n^3}}$ becomes a projection of rank $n^3.$ In particular, $p_n\in B(H)$ as a finite rank ( $\le n^3$ ) projection. Put $X=\mathbb D^3\sqcup \{(1,1,1)\}.$ Define $\Phi _n:C(X)\to B(H)$ by

(e6.258) $$ \begin{align} \Phi_n(f)=f((1,1,1))(1-p_n)+\Lambda_n(f|_{\mathbb D^3})\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C({\mathbb{I}}^3). \end{align} $$

Choose (with $e_0=1$ )

(e6.259) $$ \begin{align} T_{n,j}=\Phi_n(e_j)=(1-p_n)+\Lambda_n(e_j|_{\mathbb D^3}),\,\,\,j=0,1,2, 3. \end{align} $$

So $T_{n,j}\in B(H)_{s.a.}$ and $\|T_{n,j}\|\le 1, 0\le j\le 3.$ Moreover,

(e6.260) $$ \begin{align} \lim_{n\to\infty}\|T_{n,i}T_{n,j}-T_{n,j}T_{n,i}\|=0,\,\,\, 1\le i,j\le 3. \end{align} $$

Furthermore,

(e6.261) $$ \begin{align} \pi_c(T_{n,j})=\pi_c(e_j((1,1,1))(1-p_n))=e_j((1,1,1))1_{B(H)/{\cal K}}=1_{B(H)/{\cal K}},\,\, \, 1\le j\le 3, \end{align} $$

where $\pi _c: B(H)\to B(H)/{\cal K}$ is the quotient map.

Let $B=\prod (\{B(H)\})$ and $\Pi : B\to B/\bigoplus (\{B(H)\})$ be the quotient map. Define $\tilde \varphi : C(X)\to B/\bigoplus (\{B(H)\})$ by $\tilde \varphi (f)=f((1,1,1))(1-q)+\varphi (f|_{\mathbb D^3})$ for $f\in C(X).$

If there is a sequence of commuting triples of self-adjoint operators $S_{n,j}\in B(H)$ such that

(e6.262) $$ \begin{align} \lim_{n\to\infty}\|S_{n,j}-T_{n,j}\|=0,\,\,\, 1\le j\le 3, \end{align} $$

then one obtains a sequence of unital homomorphism s $\psi _n: C({\mathbb {I}}^3)\to B(H)$ such that

(e6.263) $$ \begin{align} \lim_{n\to\infty}\|\psi_n(e_j)-T_{n,j}\|=0,\,\,\, 1\le j\le 3. \end{align} $$

Hence,

(e6.264) $$ \begin{align} \lim_{n\to\infty}\|\psi_n(f)-\Phi_n(f|_X)\|=0\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C({\mathbb{I}}^3). \end{align} $$

Then $\Pi \circ \{ \psi _n\}=\tilde \varphi \circ r,$ where $r: C({\mathbb {I}}^3)\to C(X)$ is defined by $r(f)=f|_X$ for $f\in C({\mathbb {I}}^3).$

Choose $f_0\in C({\mathbb {I}}^3)$ such that $0\le f_0\le 1, f_0(\xi )=0,$ if $\mathrm {dist}(\xi , \mathbb D^3)\ge 1/32$ and $f_n(\xi )=1,$ if $\mathrm {dist}(\xi , \mathbb D^3)<1/64.$ Note that $f_0((1,1,1))=0$ and

(e6.265) $$ \begin{align} \Phi_n(f_0|_X)=p_n \,\,\,\mathrm{and}\,\,\, \Phi_n(f_0e_j|_X)=\Lambda_n(e_j|_X),\,\, 1\le j\le 3,\,\,\,n\in \mathbb{N}. \end{align} $$

Put $c_{n,j}=\psi _n(f_0e_j), 1\le j\le 3$ and $c_{n,0}=p_n, n\in \mathbb {N}.$ Then

(e6.266) $$ \begin{align} \lim_{n\to\infty} \|c_{n,j}-\Lambda_n(e_j|_{\mathbb D^3})\|=0\,\,\,\text{for}\,\,\,\text{all}\,\,\, 1\le j\le 3. \end{align} $$

Recall that

(e6.267) $$ \begin{align} \sqrt{\|e_1^2|_{\mathbb D^3}+e_2^2|_{\mathbb D^3}+e_3^2|_{\mathbb D^3}\|}\le 1. \end{align} $$

Put ${\bar c}_{n,j}={c_{n,j}\over {\|\sum _{j=1}^3 c_{n,j}^2\|^{1/2}}}, 1\le j\le 3, {\bar c}_{n,0}=p_n,$ and $n\in \mathbb {N}.$ It follows that

(e6.268) $$ \begin{align} \lim_{n\to\infty}\|{\bar c}_{n,j}-\Lambda_n(e_j|_{\mathbb D^3})\|=0. \end{align} $$

Let $C_n$ be the (commutative) $C^*$ -subalgebra of $B(H)$ generated by $\{{\bar c}_{n,j}, 0\le j\le 3\}.$ Then there is an isomorphism $h_n: C_n\cong C(Y_n)$ for some compact subset $Y_n\subset \mathbb D^3$ such that $h_n^{-1}(e_j|_{Y_n})={\bar c}_{n,j}, 0\le j\le 3,$ and $n\in \mathbb {N}.$ Define $H_n:C(\mathbb D^3)\to C\subset B(H)$ by $H_n(f)=h_n^{-1}(f|_{Y_n})$ for $f\in C(\mathbb D^3).$ Since $\{e_j|_{\mathbb D^3}:0\le j\le 3\}$ generates $C(\mathbb D^3),$ we have

(e6.269) $$ \begin{align} \lim_{n\to\infty}\|H_n(f)-\Lambda_n(f)\|=0\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C(\mathbb D^3). \end{align} $$

Let $E_n=H_n(1_{C(\mathbb D^3)}), n\in \mathbb {N}.$ Then,

(e6.270) $$ \begin{align} \lim_{n\to\infty}\|E_n-p_n\|=0. \end{align} $$

Thus, for all large $n,$ there exist unitaries $w_n\in B(H)$ such that

(e6.271) $$ \begin{align} w_n^*p_nw_n=E_n, w_nE_nw_n^*=p_n\,\,\,\mathrm{and}\,\,\, \lim_{n\to\infty}\|w_n-1\|=0. \end{align} $$

Define $\Psi _n: C(\mathbb D^3)\to p_nB(H)p_n$ by $\Psi _n(f)=w_nH_n(f)w_n^*$ for $f\in C(\mathbb D^3).$ Then

(e6.272) $$ \begin{align} \lim_{n\to\infty}\|\Psi_n(f)-\Lambda_n(f)\|=0\,\,\,\mathrm{for\,\,\,all}\,\,\, f\in C(\mathbb D^3). \end{align} $$

This contradicts (e 6.254). Therefore, there is no homomorphism s $\psi _n$ such that (e 6.264) holds. In other words, there is $\epsilon _0>0$ such that

(e6.273) $$ \begin{align} \inf \{\sup\{\|\psi_n(e_j)-T_{n,j}\|: 1\le j\le 3\}\}\ge \epsilon_0, \end{align} $$

where the infimum is taken among all homomorphism s $\psi _n: C({\mathbb {I}}^3)\to B(H).$ Combining this with (e 6.261), the proposition follows.

Remark 6.5. By Lin’s theorem for almost commuting self-adjoint matrices ([Reference Lin21], see also [Reference Friis and Rørdam9]), when $n=2,$ the answer to the version of the Mumford problem ((e1.1) and (e1.2)) is affirmative if each $T_j$ is compact. However, if $n>2,$ the answer is negative even each $T_j$ is compact in general, by Theorem 4.2 of [Reference Gong and Lin10], also, for $n=3,$ an earlier counterexample was given by Davidson (Theorem 2.3 of [Reference Davidson7], and for a pair of unitaries, see [Reference Voiculescu34]).

Remark 6.6. This remark was added to the original version of the article after we had the opportunity to study Chapter 14 of David Mumford’s insightful new book [Reference Mumford31], kindly provided by the author.

Some terminologies and motivation are drawn from this work.

In quantum theory, macroscopic observables may be modeled as self-adjoint operators $T_1, T_2,\ldots ,T_n$ on an infinite-dimensional separable Hilbert space $H.$ Let A be the unital $C^*$ -subalgebra generated by $\{T_j: 1\le j\le n\}$ and $1$ (assuming $\|T_j\|\le 1$ for convenience). Suppose that $\{e_m\}$ is an orthonormal basis of $H,$ and suppose that, for any $\epsilon>0,$ there is $N\in \mathbb {N}$ such that for all $m\ge N,$ $ \|T_je_m\|<\epsilon. $ In this case, these observables collapse uniformly and any measurements outside (orthogonal to) a finite-dimensional subspace vanish, meaning an external observer would detect nothing. We exclude this case by assuming none of $T_j$ ’s are compact (see also Remark 6.5).

Given a state defined by a unit vector $x\in H,$ the expected value of observable T is $\exp _T(x)=\langle Tx,x\rangle $ (see p. 178 of [Reference Mumford31]). Mumford introduces Approximately Macroscopically Unique (AMU) states as “near eigenvectors”: for a small $\sigma>0,$

$$ \begin{align*}\mathrm{AMU}(\{T_j: 1\le j\le n, \sigma\})=\{x\in H: \|x\|=1, \mathrm{sd}_{T_j}(x)<\sigma,\,\,1\le j\le n\}, \end{align*} $$

where $\mathrm {sd}_{T_j}(x)=\|(T_j-\exp _{T_j}(x) I)x\|$ (see Chapter 14 of [Reference Mumford31]). Mumford asked whether AMU exist. As noted in [Reference Mumford31], for AMU to be non-empty, it is natural to require the commutators $\|[T_i,\, T_j]\|$ to be small. If the question posed in the introduction (see (e1.1) and (e1.2)) had an affirmative answer, then the quantum system could be approximated by a classical one, ensuring the existence of AMU states. However, as observed by Mumford, small commutators alone are insufficient in general. (Proposition 6.4 further shows the complexity of the problem.)

In an infinite-dimensional separable Hilbert space $H,$ a self-adjoint operator, such as $T_j$ , may lack eigenvalues but admit approximate eigenvalues. However, if one allows non-normal states of $B(H),$ or that of $A+{\cal K}$ (where ${\cal K}$ is the ideal of compact operators), then $T_j$ does have eigenstates and eigenvalues in the atomic representation of $B(H),$ or $A+{\cal K}$ (see, e.g., Proposition 4.3.10 of [Reference Pedersen33]). In particular, one should consider those states of $B(H)$ which vanish on ${\cal K}.$

For a point $\xi =(t_1, t_2,\ldots ,t_n)$ in the unit cube of $\mathbb {R}^n$ to be a joint approximate eigenvalue, we may test it using the function $\Theta _{\xi ,\eta }$ defined in Definition 2.8. In order to have $\|\Theta _{\xi , \eta }(T_1, T_2,\ldots ,T_n)\|\ge 1-\eta $ (for small $\eta $ ), one only needs one vector state $\varphi (\cdot )=\langle \,\cdot \,\, x_1, x_1\rangle $ (with a unit vector $x_1\in H$ ) such that

(e6.274) $$ \begin{align} \langle \Theta_{\xi,\eta}(T_1, T_2,\ldots,T_n)x_1, x_1\rangle\ge 1-\eta. \end{align} $$

One may expect this can be repeatedly measured. Suppose that $y_1,\ldots ,y_{l_1}$ are unit vectors and $H_1$ is a finite-dimensional subspace spanned by $x_1, y_1,\ldots ,y_{l_1}.$ Suppose that there is another unit vector $x_2\in H_1^\perp $ such that (e6.274) also holds for $x_2$ (in place of $x_1$ ), and this persists. Then we obtain a sequence of $\{x_m\}$ ( $x_{m+1}\perp H_m$ ) such that (e6.274) holds for each $x_m$ (in place of $x_1$ ). Note that unit vector states given by $\{x_m\}$ have limit points which give states $\varphi $ of $A+{\cal K}$ vanishing on ${\cal K}$ and $\varphi (\Theta _{\xi ,\eta }(T_1, T_2,\ldots ,T_n))\ge 1-\eta .$

Let $\pi _c: B(H)\to B(H)/{\cal K}$ be the quotient map and $\psi $ be a state of the corona algebra $B(H)/{\cal K}$ (or that of $(A+{\cal K})/{\cal K}$ ). Then the composition $\psi \circ \pi _c$ provides a quantum state which may be better suitable to this setting. Indeed, one may expect at least for one such quantum state $\psi \circ \pi _c$ satisfying

(e6.275) $$ \begin{align} \psi\circ \pi_c (\Theta_{\xi,\eta}(T_1, T_2,\ldots,T_n))\ge 1-\eta. \end{align} $$

Such measurements, given by states of the form $\psi \circ \pi _c,$ may be called outside measurements. Via the Gelfand–Naimark construction, this state $\psi \circ \pi _c$ corresponds to a vector state y in the atomic representation space $H_a,$ yielding

(e6.276) $$ \begin{align} \langle \Theta_{\xi,\eta}(T_1, T_2,\ldots,T_n)y,y\rangle\ge 1-\eta. \end{align} $$

If inequality (e6.275) holds whenever (e6.274) does, then the second condition in (e1.3) always satisfies (in fact, in this case $X=Y$ ).

Let us temporarily propose the following terminology:

– A unit vector $x\in H$ satisfying (e6.274) is a synthetic-AMU state, with $\xi $ a synthetic-joint-expected value.

– A state of the form $\psi \circ \pi _c$ satisfying (e6.275) is an essential synthetic-AMU state, with $\xi $ an essential synthetic-joint-expected value.

Note that any AMU state (with sufficiently small $\sigma $ ) is an ( $\eta $ )-synthetic-AMU state. Moreover, by Proposition 2.12, the set of synthetic-AMU states is non-empty, when $\|[T_i, T_j]\|$ is small (independent of $T_j$ ). The second condition in Theorem 1.1 then may be reformulated as:

(C): All synthetic-joint-expected values lie in a sufficiently small neighborhood of the set of essential synthetic-joint-expected values.

This seems to suggest a physical constraint on macroscopic systems: local measurement should not deviate significantly from outside measurements (or a long-term measurements along an orthonormal basis of the Hilbert space). Under this constraint, when commutators tend to zero, by Theorem 1.1, the quantum system becomes approximable by a classical commutative one.

Footnotes

This work was supported by the Research Start-Up Fund of Shanghai Institute for Mathematics and Interdisciplinary Sciences (SIMIS).

1 If $y_i\in B(x_i, 2\epsilon _1),$ for some $x_i\in X\subset Z, i=1,2,$ then there is a path in $Z\subset X_{2\epsilon _1}$ connecting $x_1$ to $x_2,$ and there is path connecting $y_i$ to $x_i$ in $B(x_i, 2\epsilon _1), i=1,2.$

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