ERIC
FRED FAURE AND MASATO TSUJII
Contents
1. Introduction 2
2. Grassmann extension 8
3. Comments 14
4. Linear models 18
5. Local charts and partitions of unity 33
6. Modified anisotropic Sobolev spaces Kr, pK0 q 38
7. Properties of the transfer operator Lt 44
8. Proof of the main theorems (1): Theorem 2.2 48
9. Some preparatory lemmas 61
10. Components of lifted operators 68
11. Properties of the lifted operators 77
Appendix A. Proof of Lemma 11.15 92
Appendix B. Proof of the main theorem (2): Theorem 2.3 96
References 104
1. Introduction
The dynamical zeta functions for flows are introduced by S. Smale in the mon
umental paper Differentiable dynamical systems [40]. In the former part of the
paper, he discussed about the ArtinMasur zeta function for discrete dynamical
systems among others and showed that it is a rational function for any Anosov
diffeomorphism. Then, in the latter part, he considered a parallel object for con
tinuous dynamical systems (or flows). He defined the dynamical zeta function for
a (nonsingular) flow by the formula
8 8 8
ps`kq eps`kqm
(1.1) Zpsq : 1e exp ,
P k0 P k0 m1
m
where denotes the set of prime periodic orbits for the flow and  denotes the
period of P . This definition, seemingly rather complicated, is motivated by a
famous result of Selberg [38]. For the geodesic flow on a closed hyperbolic surface,
i.e. a closed surface with negative constant curvature ( 1), Zpsq coincides with
the Selberg zeta function and the result of Selberg gives1 the following analytic
properties of Zpsq: (See Figure 1.)
(a) The infinite product and sum on the righthand side of (1.1) converge ab
solutely when Repsq 1. Hence Zpsq is initially defined as an analytic
function without zeros on the region tRepsq 1u.
(b) The function Zpsq thus defined extends analytically to the whole complex
plane C.
(c) The analytic extension of Zpsq has zeros at s n for n 0, 1, 2, and
the order of the zero s n is p2n ` 1qpg 1q, where g 2 is the genus of
the surface. The other zeros are exactly
c
1 1
s i , i 0, 1, 2,
2 4
where 0 0 1 2 are the eigenvalues of the Laplacian on the
surface. In particular, all of the zeros of the latter kind (called nontrivial
zeros) are located on the line Repsq 1{2 with finitely many exceptions.
(d) The analytic extension of Zpsq satisfies the functional equation2
s1{2
Zp1 sq Zpsq exp 2pg 1q x tanpxqdx .
0
Smales idea was to study the dynamical zeta function Zpsq defined as above
in more general context. The main question3 ought to have been whether the
properties (a)(d) above hold for more general types of flow, such as the geodesic
1 The paper [38] treats much more general setting and the results are stated in terms of
geometry. Since the closed geodesics correspond to the periodic orbits of the geodesic flow, we
may interpret the results in terms of dynamical systems. For the result mentioned here, we refer
[31, 41].
2The line integral on the righthand side may change its value by an integer multiple of 2i
when we consider a different path for integration. But this ambiguity is cancelled when it is put
in the exponential function and therefore the factor exppq on the righthand side is welldefined.
3There are many other related problems. For instance the relation of special values of the
dynamical zeta function to the geometric properties of the underlying manifolds is an interesting
problem. See [12, 21, 32].
THE SEMICLASSICAL ZETA FUNCTION 3
Impsq
1
1 0 1 Repsq
2
flows on manifolds with negative variable curvature or, more generally, to general
Anosov flows. But it was not clear whether this idea was reasonable, since the
results of Selberg were based on the Selberg trace formula for the heat kernel on
the surface and depended crucially on the fact that the surface was of negative
constant curvature. This must be the reason why Smale described his idea wild.
In [40], he showed that Zpsq has meromorphic extension to the whole complex
plane if the flow is a suspension flow of an Anosov diffeomorphism by a constant
roof function. However the main part of the wild idea was left as a question.
Later the dynamical zeta function Zpsq is generalized and studied extensively
by many people not only in dynamical system theory but also in the fields of
mathematical physics related to quantum chaos. In dynamical system theory,
the dynamical zeta function Zpsq and its variants are related to semigroups of
transfer operators associated to the flow through the AtiyahBottGuillemin trace
formula, as we will explain later. We refer the papers [36, 37] for the development
in the early stage and the paper [22] (and the references therein) for the recent
state of related researches.
For the extensions of the claim (a) and (b) above, we already have satisfactory
results: for instance, the dynamical zeta function Zpsq for a C 8 Anosov flow is
known to have meromorphic extension to the whole complex plane C. (See [22, 11].
Note that the arguments in these papers are applicable to more general dynamical
zeta functions.) However, to the best of authors understanding, not much is known
about the extension of the claims (c) or (d), or more generally on the distributions
of singularities of the (generalized) dynamical zeta functions. In this paper, we
consider an extension of the claim (c) in the case of geodesic flows on negatively
curved manifolds or, more generally, contact Anosov flows.
Before proceeding with the problem, we would like to pose a question whether
the zeta function Zpsq introduced by Smale is the right candidate to be studied.
In fact, there are variety of generalized dynamical zeta functions which coincide
4 ERIC
FRED FAURE AND MASATO TSUJII
b
b b
Impsq
b
b
b
b
b
b
b
b
b b
b
b
b b
0 b
0 b Repsq
b
b
b
b b
b
b b
b
b
b b
b
b
b
b
b
with Zpsq in the cases of geodesic flows on closed hyperbolic surfaces, because so
do some dynamical exponents. Each of such generalized dynamical zeta functions
may be regarded as an extension of Selberg zeta function in their own rights and
their analytic property will be different when we consider them in more general
cases. And there is no clear evidence that Zpsq is better or more natural than the
others. This is actually one of the question that the authors would like to address
in this paper. For the geodesic flows on a negatively curved closed manifold N (or
more generally nonsingular flows with some hyperbolicity), the semiclassical or
GutzwillerVoros zeta function Zsc psq is defined by
8
esm
(1.2) Zsc psq exp
P m1
m  detpId Dm q1{2
where D is the transversal Jacobian matrix4 along a prime periodic orbit . (See
[6] for instance.) As we will see, this is a variant of the dynamical zeta function Zpsq
and coincides with the dynamical zeta function Zpsq if N is a closed surface with
constant negative ( 1) curvature5, with shift of the variable s by 1{2. Hence
we may regard Zsc psq as a different generalization of Selberg zeta function than
Zpsq. As the main result of this paper, we show that an extension of the claim (c)
holds for Zsc psq in the case of the geodesic flows on manifolds with negative variable
curvature (and more generally for contact Anosov flows), that is, countably many
zeros of the analytic extension of Zsc psq concentrate along the imaginary axis and
there are regions on the both sides of the imaginary axis with only finitely many
zeros. (See Figure 2 and compare it with Figure 1.) It seems that this result
4This is the Jacobian matrix of the Poincare map for the orbit at the intersection.
5For the case of a surface with constant negative curvature ( 1), the eigenvalues of D are
exppq. Hence we can check the equality Zsc psq Zps ` 1{2q by simple calculation.
THE SEMICLASSICAL ZETA FUNCTION 5
and the argument in the proof are suggesting that the semiclassical zeta function
Zsc pq is the right generalization of the Selberg zeta function when we consider
the extension of the claim (c) (and (d)).
Below we describe our result more precisely. Let M be a closed C 8 manifold of
odd dimension, say, 2d`1. We consider a C 8 contact Anosov flow f t : M M . By
definition, the flow f t preserves a contact form on M , that is, a differential 1form
for which ^ pdq^d vanishes nowhere. (We may and do assume pV q 1 for the
generating vector field V of the flowf t by multiplying by a C 8 function.) Also
there exist constants 0 0, C 0 and a Df t invariant continuous decomposition
T M E0 Es Eu
of the tangent bundle T M such that E0 is the onedimensional subbundle spanned
by the generating vector field V of the flow f t and that
(1.3) }Df t Es } Ce0 t and }Df t Eu } Ce0 t for t 0.
Remark 1.1. The geodesic flow f : t
T1 N T1 N on a
closed negatively curved
manifold N is a contact Anosov flow, where T1 N is the
unit cotangent bundle of
N and the contact form preserved by the flow is the restriction of the canonical
one form on T N .
From the definitions, it is not difficult to see that
Es Eu ker and dim Eu dim Es d.
We henceforth fix 0 0 satisfying (1.3) and call it the hyperbolicity exponent
of the flow f t . Note that the subbundles Es and Eu are in general not smooth
but only Holder continuous. Below we suppose that the subbundles Es and Eu are
Holder continuous with exponent
(1.4) 0 1.
The main result of this paper is the following theorem.
Theorem 1.2. If f t : M M is a contact Anosov flow, its semiclassical zeta
function Zsc psq, which is initially defined 6 by (1.2) as a holomorphic function with
out zeros on the halfplane
(1.5) Repsq Ptop pf t , p1{2q log Df t Eu q 0,
extends to a meromorphic function on the whole complex plane C. For arbitrarily
small 0, the zeros of the meromorphic extension of Zsc psq are contained in the
region
(1.6) U p0 , q : tz P C  Repzq or Repzq 0 ` u
up to finitely many exceptions7, while there are at most finitely many poles on the
region Repsq 0 ` . There do exist infinitely many zeros on the strip
(1.7) U0 p q tz P C  Repzq u
6Since the factor  detpId D m q in the definition of Z psq is positive and proportional to
sc
 detpDf m Eu px qq for x P , the sum in the definition of Zsc psq converges absolutely if and
only if (1.5) holds. (See [29, Theorem C] for the definition of topological pressure Ptop pq and its
expression in terms of periodic orbits in the case of Anosov flow.) Further Zsc psq has its rightmost
zero at Ptop pf t , p1{2q log Df t Eu q. For the proof, see [37] and the expression (1.13).
7The number of exceptional zeros may increase as becomes smaller.
6 ERIC
FRED FAURE AND MASATO TSUJII
and a (weak) analogue of Weyl law holds for the distribution of the imaginary part
of the zeros in U0 p q, that is, for any 0, there exists a constant C 1 such
that, for arbitrarily small 0 0 , the estimate
d #t zeros of Zsc psq  Repsq , Impsq `  u
(1.8) Cd
C 
holds for any real number with sufficiently large absolute value.
The last claim implies in particular that
d`1
# t zeros of Zsc psq  Repsq , Impsq u C 1 d`1
C1
for some constant C 1 0 and for sufficiently large 0.
Remark 1.3. In (1.8) above, the estimate from below is the main assertion. In
similar problems (such as density of RuellePollicott resonances and resonances in
the scattering problems), reasonable estimates from below are usually much more
difficult to obtain compared with those from above. (For estimates from above,
we refer [8, 15].) It will be possible to make the estimate (1.8) more precise by
replacing the factors  in it by smaller factor such as log  or even by some
fixed large constant. Also, by analogy with the Weyl law for the Laplacians, it is
natural to expect that the ratio
#tzeros of Zsc psq  Repsq , Impsq `  u
d`
converges to p2qd1 VolpM q as 8 where Vol denotes the contact volume,
i.e. Vol ^ pdq^d . But we do not go farther into these problems in this paper.
We deduce the theorem above from spectral properties of some transfer operators
associated to the flow f t . Let us recall an idea due to Ruelle. Let V : V M be a
complex vector bundle8 over M and write 0 pV q for the set of continuous sections
of V . Let F t : V V be a oneparameter group of vector bundle maps which
makes the following diagram commutes:
Ft
V V
V
V
ft
M M
We consider the oneparameter group of vectorvalued transfer operators
Lt : 0 pV q 0 pV q, Lt vpxq F t pvpf t pxqqq.
The flat (or AtiyahBottGuillemin) trace of Lt is calculated as
8
 Tr Em
(1.9) Tr5 Lt pt m q,
P m1
 detpId Dm q
Remark 1.4. The flat trace in (1.9) is defined as the integral of the Schwartz kernel
of Lt on the diagonal set in M M . The integral is welldefined as a distribution
(see [27, Ch. 8], [25, Th.8]), because hyperbolicity of the flow f t ensures that the
graph of pt, xq f t pxq is transversal to the diagonal set x y in R` M M .
But, for our argument, it will be more convenient to interpret the definition as
follows. First we consider the case where V is onedimensional and trivial, so that
Lt may be regarded as scalarvalued. Let Kpx, y; tq be the Schwartz kernel of the
operator Lt and let K px, y; tq for 0 be a oneparameter family of smoothings
of Kpx, y; tq by using mollifier, which converges to Kpx, y; tq as `0. We define
the distribution Tr5 Lt on p0, 8q by the relation
5 t
xTr L , y : lim K px, x; tqptqdx
`0
9As careful readers may have realized, the subbundles E (and E ) are not smooth in general
u s
and this will cause many technical difficulties in the argument. Indeed this is the main issue of
this paper in technical sense. We will address this problem in the next section. For a while, we
assume that Eu is smooth or just ignore the problem.
8 ERIC
FRED FAURE AND MASATO TSUJII
2. Grassmann extension
A technical difficulty in dealing with the semiclassical zeta functions Zsc psq is
that the coefficient  det Df t Eu 1{2 and also the vector bundle pEu q^k in the defini
tion (1.11) of the corresponding transfer operators Ltk is not smooth but only H older
continuous. To avoid this difficulty, we actually consider the corresponding transfer
operators on a Grassmann bundle G over the manifold M . (In the literature, this
kind of idea is found in the papers [7, 24].)
10The lower bound `0 in the integration indicates some small positive number that is smaller
than the minimum of the periods of periodic orbits for the flow.
THE SEMICLASSICAL ZETA FUNCTION 9
ft ft
M M M M
Since image Impeu q of the section eu is an attracting isolated invariant subset for the
t
extended flow fG , we can take a small relatively compact absorbing neighborhood
U0 of it so that
t t
fG pU0 q U0 for t 0, and fG pU0 q Impeu q.
t0
t
The semiflow : U0 U0 for t 0 is hyperbolic in the following sense: There is
fG
a continuous decomposition of the tangent bundle
(2.1) ru E
T U0 E rs E
r0
rs : D 1 pEs q, E
where E r0 : xBt f t y and E
ru is a complement of E r0 E
rs
G G
1
G pE0 Es q such that DG pE ru q Eu ; The semiflow f : U0 U0 (t 0) is
t
G
exponentially contracting (resp. expanding) on E rs (resp. E
ru ), that is11,
(2.2) t
}DfG Ers } Ce0 t t
and }DfG Eru }min C 1 e0 t for t 0
where } }min in the latter inequality denotes the minimum expansion rate
t
}DfG t
Eru }min mint}DfG ru , v 1u.
v}  v P E
11We can and do take the constant same as that in (1.3), though this is not necessary.
0
10 ERIC
FRED FAURE AND MASATO TSUJII
where DK is the restriction of the transversal Jacobian matrix for the prime periodic
t
orbit ptq eu pptqq of the flow fG to V K ker DG . We define the dynamical
t
Fredholm determinant of Lk, by
8 st
e 5 t
(2.6) dk, psq exp Tr Lk, dt .
`0 t
Computation as in the last section then gives
2
`d
d d
k`
(2.7) Zsc psq dk, psqp1q
k0 0
provided that Eu is orientable. (Note that d2 ` d is even and recall Remark 1.5.)
Remark 2.1. This argument using the Grassmann extension resolves the problems
related to nonsmoothness of the coefficient of the transfer operators Ltk in the
formal level. However the things are not that simple. The attracting section eu is
not smooth and we will find some technical problems (and solutions to them) in
the course of the argument. See Subsection 5.1 for instance.
The next theorem on the spectral property of the generators of oneparameter
semigroups Ltk, is the main ingredient of this paper.
both on the real and frequency spaces) and look how the action of the transfer
operator transform one wave packet to another (or to a cloud of wave packets more
precisely). For simplicity, let us consider the case Lt0,0 of scalarvalued transfer
operators. In our argument, the wave packets are parametrized by the points in
the cotangent bundle T U0 T G and the transformation of the wave packets
t
that Lt0,0 induces is closely related to the map pDfG q : T U0 T U0 , called
t
the canonical map. Notice that, since the flow f preserves the contact form , the
t
action of the canonical map pDfG q preserves the submanifold
(2.8) X ts G pqpwq P T U0  s P R, w P Impeu qu T U0 ,
which is called the trapped set13, and the action on the outside of a small neigh
t
borhood of X is not recurrent as a consequence of hyperbolicity of the flow fG . This
fact suggests that, concerning the spectrum and trace, the most essential is the ac
tion of the transfer operators on the wave packets corresponding to the points in a
small neighborhood of X. This idea has been used in the previous papers [42, 43]
and led to the results which essentially correspond to the claim (2) of Theorem 2.2.
Remark 2.5. If the reader is familiar with Dolgopyat argument [9], the idea behind
the claim (2) of Theorem 2.2 (and the reason for the factors  detpDfxt Eu q1{2 in
the definitions of transfer operators) may be understood roughly as follows. For
simplicity, let us forget about the Grassmann extension for the moment and consider
the simple transfer operator u uf t on M . The trapped set in such setting is the
onedimensional vector subbundle of T M spanned by . Consider the situation
where the transfer operator Lt0 for t " 1 acts on wave packets that have high
frequency in the direction of with spatial size 0 ! 1 As usual in Dolgopyat
argument, we suppose that this action of the transfer operator Lt0 is followed by a
smoothing (or averaging) operation14 along the stable foliation in the scale . The
last smoothing enlarge the supports of the images of wave packets in the stable
direction by the rate proportional to  detpDfxt Es q1  detpDfxt Eu q. Hence, on
the one hand, the L2 norms of the images of wave packets decrease by the rate
proportional to  detpDfxt Eu q1{2 and, on the other hand, makes overlaps of the
images of wave packets at points that were separated in the stable direction. The
analysis of interference (or cancellation by difference of complex phase) between
such overlapping images is equivalent to the essential part of Dolgopyat argument.
In the papers [42, 43], we showed basically that the overlapping images are almost
orthogonal to each other in L2 , using complete nonintegrability of the contact form
, and concluded that the essential spectral radius of the (simple) transfer operator
is bounded by supx  detpDfxt Eu q1{2 . With the same idea, we can show the claim
corresponding to Theorem 2.2 (2) for Lt0 , because the coefficient of Lt0 balances the
rate  detpDfxt Eu q1{2 .
However, in order to get more information on the spectrum as described in the
claim (3), we have to analyze more precisely the action of transfer operators on the
wave packets associated to the points in a neighborhood of the trapped set X. Such
action is modeled by the socalled prequantum map and has already been studied
in the paper [13] in the linear setting and then extended to the nonlinear setting
13In terminology of dynamical system theory, this is nothing but the nonwandering set for
t
the dynamics of pDfG q .
14Here we do not explain why we apply this smoothing along stable foliation. Let us just note
that the effect of this smoothing will decreases exponentially fast in further evolution.
THE SEMICLASSICAL ZETA FUNCTION 13
smoothing along
stable foliation
Lt
in the previous paper [18] of the authors. (The explanation in [18, Section 2.3] will
be useful to understand the idea that leads to the main theorems.) We are going
to put the argument developed in those papers into the setting of contact Anosov
flows. Note that, in [13, 18], it was crucially important that the trapped set was an
invariant symplectic submanifold of the phase space and normally hyperbolic for
the induced dynamical system on the phase space. In our setting of contact Anosov
flows, this corresponds to the fact that the projection of the trapped set X above
to T M ,
(2.9) ts pxq P T M  s P R, x P M u T M,
X
is an invariant symplectic submanifold of T M on the outside of the zero section
and is normally hyperbolic with respect to the flow pDf t q .
t
with the semiclassical zeta function and the Grassmann extension fG : G G,
we actually need a generalization of such results. This is not be difficult to obtain.
Though a different kind of Banach spaces is used in [22], it is possible to show that
the discrete spectrum does not depend essentially on the function space. (See [5,
Appendix A].) We present a proof of Theorem 2.3 for completeness, based on the
idea presented in [5] in the case of hyperbolic discrete dynamical systems.
3. Comments
3.1. About this paper and a few related works of the authors. A few years
ago, the authors started the joint project studying transfer operators for geodesic
flows on negatively curved manifolds (or more general contact Anosov flows) from
the viewpoint of semiclassical analysis. In the first paper [18] of the project, we
considered prequantum Anosov maps and studied the associated transfer operators
in detail. A prequantum Anosov map is a Up1qextension of a symplectic Anosov
map, equipped with a specific connection. It may be regarded as a model of contact
Anosov flow because its local structure is very similar to that of the timetmaps
of a contact Anosov flow and, in technical sense, it is more tractable because the
associated transfer operator is decomposed into the Fourier modes with respect to
the Up1q action. (See [18] for more explanation.)
In this paper and [17], we extend the argument in [18] to the contact Anosov
flows. This paper concerns the results about the semiclassical transfer operators
and also the semiclassical zeta functions. In the other paper [17], we consider the
band structure of the spectrum of the generators and also on the semiclassical
aspect of the argument. (A part of the results in [17] has been announced in [16].)
3.2. Recent related works. During the period the authors were writing this
paper and the previous paper [18], there have been some related developments.
We give a few of them that came into the authors knowledge. Recently, Giulietti,
Liverani and Pollicott published a paper [22] on dynamical zeta functions for Anosov
flows. They proved among others that the dynamical zeta functions (including Zpsq
defined by Smale) has meromorphic extension to the complex plane C if the flow is
C 8 Anosov.
In the proofs of the main theorems, we will regard the transfer operator as a
Fourier integral operator and consider its action in the limit of highfrequency.
(See [18] for more explanation.) Therefore the main part of the argument is natu
rally in the realm of semiclassical analysis. From this view point, the terminology
and techniques developed in semiclassical analysis must be very useful. (But this
sounds somewhat strange because the geodesic flow is completely a classical ob
ject!). A first formulation of transfer operators and Ruelle spectrum in terms of
semiclassical analysis was given in the papers of the first author with N. Roy and
J. Sjostrand [14, 15]. It was shown there that Ruelle resonances are quantum
resonances for a scattering dynamics in phase space. Recently a few papers au
thored by K. Datchev, S. Dyatlov, S. Nonnenmacher and M. Zworski gave precise
results for contact Anosov flows using this semiclassical approach: spectral gap es
timate and decay of correlations [35], Weyl law upper bound [8] and meromorphic
properties of dynamical zeta function [11]. We would like to mention also a closely
related work: in [10], for a problem concerning decay of waves around black holes,
S. Dyatlov shows that the spectrum of resonances has a band structure similar to
what we observe for contact Anosov flows. In fact these two problems are very
THE SEMICLASSICAL ZETA FUNCTION 15
similar in the sense that in both cases the trapped set is symplectic and normally
hyperbolic. This geometric property is the main reason for the existence of a band
structure. However in [10], S. Dyatlov requires and uses some regularity of the
hyperbolic foliation that is not present for contact Anosov flows.
3.3. Why do we consider the semiclassical zeta function? The semi
classical (or GutzwillerVoros) zeta function is related to the transfer operator with
nonsmooth coefficient if we do not consider the Grassmann extension. From this
aspect, the semiclassical zeta function is a rather singular and difficult object to
study. This may be one reason why the semiclassical zeta function has not been
well studied in mathematics, at least compared with in physics. But here we would
like to explain that the semiclassical zeta function is a very nice object to study
among other kind of dynamical zeta functions.
3.3.1. Zeros along the imaginary axis. In physics, there is a clear reason to study
the semiclassical zeta function Zsc psq rather than the zeta function Zpsq. The
semiclassical zeta function appears in the semiclassical theory of quantum chaos
in physics [44, 45, 6]. If we consider the semiclassical approximation of the kernel
of the semigroup generated by the Schrodinger equation (or the wave equation) on
a manifold N , we get the Gutzwiller trace formula [26]. This formula is actually
for some fixed range of time and for the limit where the Plank constant ~ goes to
zero (or the energy goes to infinity). But, if we suppose that the formula holds
for long time and if the longtime limit t 8 and the semiclassical limit ~
0 were exchangeable, we would expect that the zeros of the semiclassical zeta
function, which is defined from the Gutzwiller trace formula, is closely related to
the spectrum of the Laplacian on the manifold N . Thus the semiclassical zeta
function is an object that connects the spectral structure of the quantized system
(or the Schrodinger equation) and the structure of the periodic orbits for the chaotic
classical dynamical systems. For this reason, the semiclassical zeta function and its
zeros have been discussed extensively in the field of quantum chaos. Of course,
as any mathematician can imagine, there is much difficulty in making such idea
into rigorous argument. Still the semiclassical zeta function and its zeros are
interesting objects to study. To date, mathematically rigorous argument on semi
classical zeta function seems to be limited to the special case of constant curvature,
where Selberg trace formula is available. To the authors knowledge, Theorem 1.2
is the first rigorous result for the semiclassical zeta function for the geodesic flows
on manifolds with negative variable curvature. We hope that our results will shed
light on the related studies.
3.3.2. Cohomological argument. There is some hope that we can relate the semi
classical zeta function Zsc psq to transfer operators on some cohomological spaces
(rather than those on the spaces of differential forms as in (2.7)) and get more
precise results on its analytic properties. Though the idea is not new and may be
well known, we would like to present it here and discuss how we may be able to go
further than the main results of this paper. First of all, let us recall the following
argument in the case of Anosov diffeomorphism. Let f : M M be an Anosov
diffeomorphism. The ArtinMazur zeta function of f is defined by
8
zn n
pzq exp #Fixpf q
n1
n
16 ERIC
FRED FAURE AND MASATO TSUJII
where #Fixpf n q denotes the number of fixed points for f n . The flat trace of the
transfer operator Lk : k pM q k pM q associated to the natural action of f on
the space k pM q of kforms is
Tr pDfp q^k
Tr5 Lk
 detp1 Dfp q
pPFixpf q
complicated. The similar will be true in the case of Anosov flows, so that we will
have to choose a good dynamical zeta function, although we do not know whether
there do exists such choice. For instance, let us consider the Smales zeta function
Zpsq. As is presented in [22] (and in many other places), it is expressed as follows.
Let f t : M M be a contact Anosov flow. Let kK pM q be the space of kforms on
M which vanish for the generating vector field of the flow. If we write dK k psq for the
dynamical Fredholm determinant of the natural (pushforward) action of the flow
p1qk
on kK pM q, we have Zpsq 2d K
k0 pdk psqq . But, unfortunately, the exterior
derivative d does not preserves the space K k pM q. This is one reason why we
k
can not apply the cohomological argument to the zeta function Zpsq. (Of course
there is possibility that some better expression of the zeta function Zpsq works.)
Let us now turn to the case of the semiclassical zeta function Zsc psq. For sim
plicity, we assume that Es is orientable and the the stable foliation is smooth. (The
latter is a strong assumption.) As we discussed in Section 1, Zsc psq is expressed as
an alternative product (1.12) of dynamical Fredholm determinants for the transfer
operators on differential forms. But here we consider in a slightly different way. Let
: L M be the line bundle L pEu q^d . Since Eu is assumed to be orientable, L
is trivial and therefore we can consider the square root L1{2 of L. Note that there
is a natural dynamically defined connection along the unstable manifolds on the
line bundles L and L1{2 , in which two elements , 1 P L (or L1{2 ) on an unstable
manifold are parallel if and only if the ratio between pDf t q pq and pDf t q p 1 q
(considered in some local chart) converges to 1 as t `8. By definition, these
connections are flat (along unstable manifolds) and preserved by the natural ac
tion of the flow f t . Let k be the space of smooth sections of the vector bundle
L1{2 b pEu q^k . In other words, this is the space of differential kforms along the
stable foliation that take values in L1{2 . Let Ltk : k k be the natural (push
forward) action of the flow f t . Then these transfer operators are equivalent to
those in Section 1 denoted by the same symbol and therefore the expression (1.13)
holds with dk psq the dynamical Fredholm determinant for Ltk defined above. One
definitely better fact in this expression is that we have the commutative diagram:
D D D
0 0
u
1
u u
d 0
(3.3) Lt Lt Lt
0 1 dim M
D D D
0 0
u
1
u u
d 0
where Du is the covariant exterior derivative along the stable manifolds. (Again
this observation is not new. For instance, we can find it in the paper [25] by
Guillemin.) We therefore expect that large part of the zeros of the dynamical
Fredholm determinant dk psq will cancel each other in the expression (1.13). In fact,
under some strong assumptions on smoothness of the unstable foliation, it seems
possible to prove this. But, for more general contact Anosov flows, it is not clear
whether we can set up appropriate Hilbert spaces as completions of k so that the
commutative diagram above is extended to them. Also it is not clear to what extent
the cancellation between zeros will be complete. Still, to be optimistic, we would
like to put the following conjecture.
18 ERIC
FRED FAURE AND MASATO TSUJII
Conjecture. The semiclassical zeta function Zsc psq for contact Anosov flows will
have holomorphic extension to the whole complex plane C. Its zeros will be con
tained in the region tz P C  Repsq or Impsq Cu for some C 0 and
arbitrarily small 0 up to finitely many exceptions.
4. Linear models
In this section, we discuss about a oneparameter family of partially hyperbolic
t
linear transformations. This is a linearized model of the Grassmann extension fG
t
of the flow f viewed in local coordinate charts. The main statement, Theorem
4.17, of this section is a prototype of Theorem 2.2. The idea presented below is
initially given in [13] and the following is basically a restatement of the results there
in a modified setting and in a different terminology. We have given a very similar
argument in our previous paper [18, Chapter 3 and 4] on prequantum Anosov maps.
Since the argument there is selfcontained and elementary, we will refer [18] for the
proofs of some statements and also for more detailed explanations.
t
4.1. A linear model for the flow fG .
4.1.1. Euclidean space and coordinates. Let us consider the Euclidean space
1 1
R2d`d `1 R2d Rd R
as a local model of the Grassmann bundle G, where we suppose that the component
1
Rd in the middle is the fiber of the Grassmann bundle and the last component R
1
is the flow direction. We equip the space R2d`d `1 with the coordinates
1
(4.1) px, y, zq with x P R2d , y P Rd and z P R.
We suppose that the qaxis and the paxis are respectively the expanding and
contracting subspaces. Also we sometimes write the coordinates (4.1) above as
1
(4.3) pw, zq with setting w px, yq P R2d`d
2d`1 2d`1
We suppose that the space Rpx,zq Rpq,p,zq is equipped with the contact form
T RD 2D D D
w Rpw,w q Rw Rw ,
Here we make a convention that we use the volume form dwdw {p2~qD in defining
the L2 norm on L2 pR2D
pw,w q q. Then we have
is an orthogonal projection onto the image of B and called the Bargmann projector.
It is expressed as an integral operator
dwdw
P~ vpw1 , w
1
q KP,~ pw1 , w
1
; w, w qvpw, w q
p2~qD
with the kernel
1 1 1 1 2
(4.14) KP,~ pw1 , w
1
; w, w q eippw ,w q,pw,w qq{p2~qpw ,w qpw,w q {p4~q
,
where ppw1 , w
1 1
q, pw, w qq w ww1 w is the standard symplectic form on R2D
pw,w q .
4.2.2. Lift of transfer operators with respect to the Bargmann transform. Let Q :
RD D D D
w Rw be an invertible affine transformation. Let Q0 : Rw Rw be its linear
part and q0 : Qp0q P R be the constant part. Let LQ : L pRw q L2 pRD
D 2 D
w q be
the L2 normalized transfer operator defined by
(4.15) LQ upwq  det Q0 1{2 upQ1 wq.
We call the operator
Llift 2 2D 2 2D
Q : B~ LQ B~ : L pRpw,w q q L pRpw,w q q
the lift of the operator LQ with respect to the Bargmann transform B~ , as it makes
the following diagram commutes
Llift
Q
L2 pR2D 2 2D
pw, q q L pRpw,w q q
w
B~
B~
LQ
L2 pRD
wq L2 pRD
w q.
D: Q : R2D 2D
pw,w q Rpw,w q , D: Qpw, w q pQw, Q:0 w q pQw, pt Q0 q1 w q.
Let LD: Q be the associated (L2 normalized) transfer operator, which is defined by
(4.15) with A replaced by D: Q, that is, LD: Q u : u pD: Qq1 .
THE SEMICLASSICAL ZETA FUNCTION 21
Lemma 4.4 ([18, Lemma 3.2.2 and Lemma 3.2.4]). The lift Llift
Q is expressed as
iw q0 {p2~q
Llift
Q vpw, w q dpQq e P~ LD: Q P~ vpw, w q
where dpQq  detppQ0 ` t Q1
0 q{2q
1{2
. If Q is isometric, we have rLD: Q , P~ s 0
and therefore P~ LD: Q P~ LD: Q P~ P~ LD: Q .
4.3. Partial Bargmann transform.
4.3.1. Definition. The partial Bargmann transform, which we will use in later sec
2d`d1 `1
tions, is roughly the Fourier transform along the zdirection in Rpx,y,zq combined
with the Bargmann transform B~ in the transverse directions, where the parameter
~ is related to the frequency z in the zdirection as ~ xz y1 . Here and hence
forth, we let xsy be a smooth function of s P R such that xsy s if s 2 and
that xsy 1 for all s P R.
2d`d1 `1
As the (partial) cotangent bundle of Rpx,y,zq , we consider the Euclidean space
1
`1
R4d`2d
px,y,x ,y ,z q equipped with the coordinates
1
px, y, x , y , z q with x, x P R2d , y, y P Rd , z P R.
1
`1
We regard it as the cotangent bundle of the Euclidean space R2d`d px,y,zq , where x ,
y , z are regarded as the dual variable of x, y, z respectively. (But notice that we
omit the variable z. This is because we consider the Fourier transform along the
zaxis.) For simplicity, we sometimes write the coordinates above as
pw, w , z q with setting w px, yq, w px , y q.
Also, according to (4.2), we sometimes write the coordinate x P R2d as
x pq , p q with q , p P Rd .
Instead of the functions w,w pq in (4.10), we consider the functions
1 1
2d`d `1
(4.16) x,y,x ,y ,z : Rpx,y,zq C for px, y, x , y , z q P R4d`2d `1
defined by
x,y,x ,y ,z px1 , y 1 , z 1 q
1 1 1 w1 w2
a pxz y q exp iz z ` ixz y w pw pw{2qq xz y
2d`d1
2
1
` 1 1 1
a2d`d1 pxz y q exp iz z ` ixz y x px px{2qq ` ixz y y py py{2qq
x1 x2 y 1 y2
exp xz y xz y
2 2
where aD pq is that in (4.11). For brevity, we sometimes write w,w ,z pw1 , z 1 q for
x,y,x ,y ,z px1 , y 1 , z 1 q.
Remark 4.5. Note that z in (4.16) indicates the frequency of x,y,x ,y ,z pq in z,
and that the frequency in w px, yq is actually xz yw xz ypx , y q, that is, it is
rescaled by the factor xz y.
The partial Bargmann transform
1 1
`1 4d`2d `1
B : L2 pR2d`d 2
px,y,zq q L pRpx,y,x ,y ,z q q
22 ERIC
FRED FAURE AND MASATO TSUJII
is defined by
1 1
(4.17) Bupx , y , x1 , y1 , z1 q x1 ,y1 ,x1 ,y1 ,z1 px, y, zq upx, y, zqdxdydz.
4.3.2. Basic properties of the partial Bargmann transform. The following is a basic
property of the partial Bargmann transform B, which follows from those of the
Bargmann transform and the Fourier transform.
Lemma 4.6. The partial Bargmann transform B is an L2 isometric injection and
B is a bounded operator such that B B Id. The composition
1 1
4d`2d `1 4d`2d `1
(4.20) P : B B : L2 pRpx,y,x ,y ,z q
q L2 pRpx,y,x ,y ,z q
q
1 L 1
L2 pR2d`d `1 q B L2 pR2d`d `1 q.
The next lemma is a consequence of Lemma 4.4 and gives an expression of Llift
B .
THE SEMICLASSICAL ZETA FUNCTION 23
Lemma 4.7. The lift Llift
B : B LB B is expressed as
1
pixz y{2qw b0 iz pC0 B0 pwb0 q`c0 q
Llift
B vpw, w , z q dpB0 qe PLD: B Pvpw, w , z q
If B is isometric, we have rP, LD: B s 0 and therefore
1
pixz y{2qw b0 iz pC0 B0 pwb0 q`c0 q
Llift
B v e LD: B Pvpw, w , z q.
Remark 4.8. The relation between (the lift of) the transfer operator LB and its
canonical map D: B given in the lemma above realizes the idea explained in the
latter part of Section 2 in a simple setting. Here note that the kernel of the partial
Bargmann projector P is of the form kpw1 , w 1
; w, w q pz1 z q and we have
kpw1 , w
1
; w, w q C xxz y1{2 w w1 y xxz y1{2 w w
1
y
for arbitrarily large 0, where C is a constant depending on .
4.4. A coordinate change on the phase space.
4.4.1. The lift of the transfer operators Lt and the trapped set. Let us now consider
the family of transfer operators Lt defined in (4.9) and its lift with respect to the
partial Bargmann transform:
(4.21) pLt qlift B Lt B .
Below we keep in mind that Lt is a model of the transfer operator Lt0,0 viewed in the
local coordinate charts. As we explained at the end of Section 2, we mainly consider
the action of the transfer operator Lt on the wave packets (with high frequency)
corresponding to the points near the trapped set X given in (2.8). In our linear
model, we understand that the hyperplane
1 1
2d`d `1
tpx, y, zq P R2d`d `1  y 0u Rpx,y,zq
corresponds to the section eu in the global setting. Then the trapped set X0 , which
corresponds to X in (2.8), must be
X0 : t ppx,zq 0 px, 0, zq  P R, px, zq P R2d`1 u.
Since we consider the rescaled coordinates, as mentioned in Remark 4.5, the subset
X0 is given by the equations
(4.22) xz yp z q, xz yq z p, y 0, y 0, z 0
4d`2d1 `1
in the coordinates pq, p, y, q , p , z q on R .
By Lemma 4.7, the lift pLt qlift of Lt is expressed as a composition of the transfer
operator LD: B t with the Bargmann projectors P and some multiplication operator,
where D: B t is the linear map
1 1 1
D: B t : R4d`2d `1 R4d`2d `1 , D: B t : R4d`2d `1 pw, w , z q pB t w, B0: w , z q
with B0 : A A: A p : R2d`d1 R2d`d1 and B : : pt B0 q1 . Note that this linear
w w 0
: t
map D B preserves the trapped set X0 .
Let us consider the level sets of the coordinate z ,
1
Zc : tpx, y, x , y , z q P R4d`2d `1  z cu,
which is preserved by D: B t . This level set Zc carries the canonical symplectic form
dw ^ dw , which is also preserved by D: B t . Observe that the subspace X0 X Zc
is a symplectic subspace of Zc with respect to this symplectic structure, provided
24 ERIC
FRED FAURE AND MASATO TSUJII
and
1 1
2d`d `1 `1
B : L2: pRpx,y,zq q L2: pR4d`2d
px,y,x ,y ,z q q.
The operator
pdq pd`d1 q 1 1
U B pB1 b B1 b Idq : L2: pR2d`d `1
p ,p ,
2d`d `1
q L2: pRpx,y,zq q
q p y q,z q
1 p 1{2
 det A
LA u u A1 , LAAp: u p: q1 .
u pA A
 det A1{2  det A1{2
For the proof, we refer [18, Proposition 7.1.2 and Proposition 4.3.1].
1
4.5. Anisotropic Sobolev space Hr pR2d`d `1 q. We introduce the anisotropic
Sobolev spaces in order to study spectral properties of transfer operators. This
kind of Hilbert spaces have been introduced (in the context of dynamical systems)
by Baladi [3] and the related argument is developed in the papers [4, 5, 42, 14, 15].
This is a kind of (generalized) Sobolev space with the weight function adapted
to hyperbolicity of the dynamics (and is anisotropic accordingly). Note that the
anisotropic Sobolev space is not contained in the space of usual functions but con
tained in the space of distributions.
4.5.1. The definition of the anisotropic Sobolev space. For each r 0, we will define
1
the anisotropic Sobolev space Hr pR2d`d `1 q. For the construction below, we do not
need any assumption on the range of the parameter r. But, for the argument in
the later subsections, we assume
(4.28) r 2 ` 2p2d ` d1 q
and also
(4.29) p 1
r1  det A  det A
in relation to the affine transformation B t given in (4.8).
For each 0, let us consider the cones
pd`d1 ,d`d1 q 1
(4.30) C` p q tpp , y , q , yq P R2d`2d  pq , yq pp , y qu and,
1 1 1
pd`d ,d`d q
(4.31) C p q tpp , y , q , yq P R2d`2d  pp , y q pq , yqu
1 1
in R2d`2d equipped with the coordinates p , q P Rd and y , y P Rd . Next we take
1
and fix a C 8 function on the projective space PpR2d`2d q,
1
ord : P R2d`2d r1, 1s
so that
# 1 1
1,
pd`d ,d`d q
if pp , y , q , yq P C` p1{2q;
(4.32) ord rpp , y , q , yqs pd`d1 ,d`d1 q
`1,
if pp , y , q , yq P C p1{2q
and that
pq1 , y1 q pq , yq
ord rpp1 , y1 , q1 , y1 qs ord rpp , y , q , yqs if .
pp1 , y1 q pp , y q
We then consider the smooth function
1
W r : R2d`2d R` , W r pp , y , q , yq xpp , y , q , yqyrordprpp ,y ,q ,yqsq .
By definition, we have that
#
pd`d1 ,d`d1 q
xpp , y , q , yqyr on C` p1{2q;
W r pp , y , q , yq pd`d1 ,d`d1 q
xpp , y , q , yqy`r on C p1{2q.
THE SEMICLASSICAL ZETA FUNCTION 27
17Notice that this function Wr is continuous despite of the discontinuity of the coordinates
pp , y , q , yq at points on the hyperplane z 0.
28 ERIC
FRED FAURE AND MASATO TSUJII
(Here we use the factor 21{2 for concreteness, but it could be any real number
greater than 1.) We define
1
W r, : R2d`2d R` , W r, pp , y , q , yq xpp , y , q , yqyrord prpp ,y ,q ,yqsq .
From (4.37), we have
1
(4.38) W r, pp , y , q , yq W r, pp , y , q , yq if 1 .
These functions also satisfy the properties parallel to (4.33) and (4.34).
1
The functions Wr, pq, the norms } }Hr, and the Hilbert spaces Hr, pR2d`d `1 q
1
are defined in the same manner as Wr , } }Hr and Hr pR2d`d `1 q respectively, with
the function W r pq replaced by W r, pq. In particular, we have
1 1
W r,0 pq W r pq, Wr,0 pq Wr pq, Hr,0 pR2d`d `1 q Hr pR2d`d `1 q.
From (4.38), we have
(4.39) }u}Hr,1 }u}Hr, if 1 ,
and hence
1 1 1
Hr, pR2d`d `1 q Hr, pR2d`d `1 q if 1 .
The partial Bargmann transform B extends to isometric embeddings
1 1
B : Hr, pR2d`d `1 q L2 pR4d`2d `1 , pWr, q2 q for P .
1
if t 0 and , where U is an isomorphism. (Here we use the subscript : in
1
2d`d1 `1
H:r, pRpx,y,zq q in the same meaning as noted in Remark 4.11.)
1 1 1
2d`d `1 2d`d `1
Therefore the operator Lt : Hr, pRpx,y,zq q Hr, pRpx,y,zq q is identified with
the tensor product of the three operators
(4.41) LA : L2 pRdq q L2 pRdq q,
1{2
(4.42) r :  det A
L LAAp: : H r, pRd`d
1 1
q H r, pRd`d
1
q,
p 1{2 p ,
q p ,
yq
 det A p y p
and
The first and third operators are unitary. In [18, Chapter 3], we studied the second
operator Lr to some detail, which we recall below.
Let us consider the projection operator
1 1
(4.44) T0 : SpRd`d
p , q
q SpRd`d
p , q
q1 , T0 puqpxq up0q 1
p y p y
1
where 1 denotes the constant function on Rd`d pp ,y q
with value 1. This is a simple
operation that extracts the constant term in the Taylor expansion of a function
pd`d1 q 1 1
at the origin. Letting B1 : L2 pRd`d
pp ,y q
q L2 pR2d`2dpp ,y ,q ,
yq
q be the Bargmann
transform with ~ 1, we set
pd`d1 q pd`d1 q 1 1
(4.45) T0lift : B1 T0 pB1 q : L2 pR2d`2d
p , , yq
q L2 pR2d`2d
p , , yq
q.
p y q , p y q ,
Lemma 4.14 ([18, Lemma 3.4.2 and its proof]). The operator T0lift is written as
an integral operator
T0liftupp1 , y1 , q1 , y1 q K` pp1 , y1 , q1 , y1 qK pp , y , q , yqupp , y , q , yqdp dy dq d
y
and
(4.48) W r, pp , y , q , yq1 K pp , y , q , yq C0 xpp , y , q , yqyr
for a constant C0 0. Hence, for any , 1 P , T0lift extends to a rankone operator
1 1 1
T0lift : L2 pR2d`2d , pW r, q2 q L2 pR2d`2d , pW r, q2 q.
Corollary 4.15. The operator T0 extends naturally to a rankone operator
1 1 1
T0 : H r, pRd`d
p , q
q H r, pRd`d
p , q
q for any , 1 P .
p y p y
The next lemma is a rephrase of the main statement in [18, Chapter 3]. Note
p: : Rd`d1 Rd`d1 is an expanding map satisfying (4.6) for some 1.
that A A
Lemma 4.16 ([18, Proposition 3.4.6 and Section 4]). (1) The operator L r in (4.42)
1 1 1
r : H r, pR
extends to a bounded operator L d`d d`d
q H r, pRp , q q for , 1 P with
p , q p y p y
1 and the operator norm is bounded by a constant independent of A. Further,
if is sufficiently large, say 10, then this is true for any , 1 P .
(2) The operator L r : H r, pRd`d1 q H r, pRd`d1 q commutes with T0 . And it
p , q p , q
p y p y
1
preserves the decomposition H r, pRd`d
p , q
q H0 H1 where
p y
1
H0 Im T0 tc 1  c P Cu and H1 Ker T0 tu P H r, pRd`d
p , q
q  up0q 0u.
p y
30 ERIC
FRED FAURE AND MASATO TSUJII
Note that, by the definitions and the relation (4.27), we may write it as
pdq
(4.51) T0lift B U pId b T0 b Idq U1 B pP1 b T0lift b Idq p q1 .
The next is a simple consequence of this expression and Lemma 4.14.
Corollary 4.18. The operator T0lift is written as an integral operator
T0lift upw1 , w
1
, z q Kpw1 , w
1
; w, w ; z qupw, w , z qdwdw
where K pq are the functions in Lemma 4.14 and kp, 1 q is the kernel of the
pdq
Bargmann projector P1 , which satisfies
kp, 1 q Cm x 1 ym for any m 0.
4.7. Fibered contact diffeomorphism and affine transformations. In this
subsection and the next, we prepare a few definitions and related facts for the
argument in the following sections. We first introduce the following definition.
Definition 4.19. We call a C 8 diffeomorphism f : V V 1 f pV q between open
2d`d1 `1
subsets V, V 1 Rpx,y,zq a fibered contact diffeomorphism if it satisfies the following
conditions:
(1) f is written in the form
(4.52) f px, y, zq pfpxq, fpx, yq, z ` pxqq,
(2) the diffeomorphism
f : ppx,zq pV q ppx,zq pV 1 q, fpx, zq pfpxq, z ` pxqq
preserves the contact form 0 given in (4.5).
Remark 4.20. We can always extend a fibered contact diffeomorphism f : V V 1
to f : ppx,yq pV qq Rz ppx,yq pV 1 q Rz by the expression (4.52). We will assume
this extension in some places.
The diffeomorphism f above is called the base diffeomorphism of f . The diffeomor
phism
(4.53) f : ppx,yq pV q ppx,yq pV 1 q, fpx, yq : pfpxq, fpx, yqq
is called the transversal diffeomorphism of f . We have the commutative diagrams
f f
V V1 V V1
ppx,zq
ppx,zq
ppx,yq
ppx,yq
f f
ppx,zq pV q ppx,zq pV q ppx,yq pV q ppx,yq pV 1 q
The function pxq in (4.52) is determined by the transversal diffeomorphism f
up to an additive constant. In particular, we have
Lemma 4.21 ([43, Lemma 4.1]). If f : V V 1 is a fibered contact diffeomorphism
as above and suppose that the transversal diffeomorphism preserves the origin, i.e.
fp0q 0, then the function pxq in the expression (4.52) satisfies
Dx p0q 0, Dx2 p0q 0.
Proof. The first equality D p0q 0 is obvious. The second is also easy to prove
but we need a little computation. See the proof of [18, Lemma 5.4.3].
Next we restrict ourselves to the case of affine transformations and introduce the
following definitions.
32 ERIC
FRED FAURE AND MASATO TSUJII
1
Definition 4.22 (Groups A0 A1 A2 of affine transforms on R2d`d `1 ).
2d`d1 `1 2d`d1 `1
(1) Let A0 be the group of affine transformations a : Rpx,y,zq Rpx,y,zq that are
1
fibered contact diffeomorphisms (with setting V V 1 R2d`d `1 ).
(2)Let A1 A0 be the subgroup of all the affine transformations in A0 of the form
1
`1 2d`d1 `1 : p
(4.54) a : R2d`d
pq,p,y,zq Rpq,p,y,zq , apq, p, y, zq pAq`q0 , A p`p0 , Ay, z`bpq, pq`z0q
Remark 4.23. Suppose that a P A1 is of the form (4.54). Then, from the condition
that the base diffeomorphism preserves the contact form 0 , we see that the linear
map bpq, pq is determined by A, p0 and q0 . In fact, by simple calculation, we find
bpq, pq pt Ap0 q q ` pA1 q0 q p.
We use the next lemma in setting up the local charts on G in the next section.
1
2d`d `1
Lemma 4.25. Let and 1 be ddimensional subspaces in Tw Rpx,y,zq at a point
1 1
`1 2d`d `1
w P R2d`d 2d`1
px,y,zq . Suppose that the projection ppx,zq : Rpx,y,zq Rpx,zq maps and
1
1
bijectively onto the images ppx,zq pq and ppx,zq p q and that we have
ap0q w, pDaq0 pRdq t0u t0u t0uq , pDaq0 pt0u Rdp t0u t0uq 1 .
Note that a linear map a : R2d`1 R2d`1 preserves the contact form 0 if and
px, zq pa0 pxq, zq and a0 : R2d R2d preserves the sym
only if it is of the form a
plectic form d0 (identifying R2d with R2d t0u). Since the subspaces ppx,zq pq and
ppx,zq p1 q are Lagrangian subspaces (i.e. the restriction of d0 to those subspaces
: R2d`1 R2d`1
are null) transversal to each other, we can find a linear transform a
preserving d0 so that (4.55) holds true.
THE SEMICLASSICAL ZETA FUNCTION 33
Our solution for this problem is rather simpleminded: We choose the system
of local charts so that the section Im eu looks horizontal. (See Figure 4.) More
precisely, we choose local coordinate charts for the parameter P Z so that the
objects look contracted by the rate xyp1qp1{2q4 in the fiber directions of
the Grassmann bundle. Then the vertical variation of the section Im eu in such
coordinates will be bounded by
xyp1{2q xyp1qp1{2q4 xy1{23 ! xy1{2
so that the section Im eu will look horizontal in the scale xy1{2 . Of course,
there are some drawbacks of such choice of (asymptotically) singular local charts.
18This definition of pq may look a bit strange for the argument below. Since we use this
function pq later in a different context, we define it in this way.
34 ERIC
FRED FAURE AND MASATO TSUJII
Im eu
1
R2d`d `1
At least, we have to be careful about the nonlinearity of the flow viewed in such
local charts. Also we will find a related technical problem, as discussed in the
beginning of the next section.
Remark 5.1. The idea mentioned above is equivalent to consider a generalization
of Bargmann transform using eccentric wave packets.
t t
5.2. Hyperbolicity of the flow fG . The flow fG is hyperbolic in the neighbor
hood U0 of the section Im eu with hyperbolic decomposition given in (2.1), as we
noted in Section 2. For the argument below, we take the maximum exponent
max 0 so that
(5.3) t
DfG pvq C0 emax t v for any t P R and v P T U0
with some constant C0 0.
Remark 5.2. The hyperbolicity exponent 0 0 was taken as the constant satis
fying the condition (2.2). But, in what follows, we additionally suppose that the
condition (2.2) remains true if we replace 0 with 0 ` for some small 0.
Since we have not used 0 from Section 4 to this point and since the equalities
in the main theorems related to 0 are strict ones, this does not cause any loss of
generality.
In the next lemma, we introduce a continuous (but not necessarily smooth)
Riemann metric   on U0 G which is adapted to the flow.
Lemma 5.3. There exists a H older continuous Riemann metric   on U0 G
such that, for the decomposition T U0 E ru E
rs Er0 in (2.1), we have
(1) DfG t
pvq e0 t v for v P E ru and t 0,
t
(2) DfG pvq e 0 t
v for v P E rs and t 0,
(3) v pvq for v P E0 , r
(4) Ers , Eru and Er0 are orthogonal to each other with respect to the metric   ,
(5) v suptdpv, v 1 q  v 1 P E rs , v 1  1u for v P E
ru .
THE SEMICLASSICAL ZETA FUNCTION 35
t
(4) the pullback of the generating vector field of fG by a is the (constant)
2d`d1 `1
vector field Bz on Rpx,y,zq .
Proof. The Darboux theorem for contact structure gives the Darboux charts a,
a P A, satisfying the condition (2). The generating vector field viewed in those
2d`1
coordinates are the constant vector field Bz on Rpx,zq because it is characterized as
the Reeb vector field of . Then we can easily define the extended charts a for
a P A so that the conditions (1), (3) and (4) hold.
We henceforth fix the local charts a in the lemma above. The timetmap of
t
the flow fG viewed in those local charts are
t 1 t 1 t 1 t
faa 1 : a1 fG a : a pUa X fG pUa1 qq a1 pfG pUa q X Ua1 q.
t 1 t 1 t
Lemma 5.5. The mappings faa 1 : a pUa X fG pUa1 qq a1 pfG pUa q X Ua1 q are
see that pDa,x q0 restricted to t0u t0u t0u Rz and Rdq t0u t0u t0u are also
isometric and then, from (4), we obtain the isometric property of pDa,x q0 .
5.5. The local coordinate charts parametrized by P Z. For each integer
P Z, we set up a finite system of local charts and an associated partition of unity.
Following the idea explained in the beginning of this section, we define the local
charts as the composition of the charts a,x introduced in the last subsection with
the partially expanding linear map
1 1
2d`d `1 2d`d `1
(5.5) E : Rpx,y,zq Rpx,y,zq , E px, y, zq px, xyp1qp1{2q`4 y, zq.
Remark 5.7. We will use the numerical relation
(5.6) p1 qp1{2 q p1 q{2 1{2 10,
which follows from the choice of the constant 0 in (5.1).
For each a P A and P Z, we consider the following finite subset of R2d :
Npa, q tn P R2d  n P pxy1{2` Z2d q X px pVa qu.
pq
For each element n P Npa, q, we define the local chart a,n by
(5.7) pq pq 1 1
a,n : a,n E : Va,n : E Aa,n pVa q Ua ,
where a,n is the local chart a,x defined in Proposition 5.6 for x n.
Next, for each integer P Z, we introduce a partition of unity associated to the
pq
system of local coordinate charts ta,n uaPA,nPNpa,q . First we take and fix a smooth
function 0 : R r0, 1s so that the support is contained in the cube p1, 1q2d
2d
and that
(5.8) 0 px nq 1 for all x P R2d .
nPZ2d
2d
(For instance, set 0 pxq i1 ppxi ` 1q pxi ` 2qq for x pxi q2d 2d
i1 P R , using
the function pq in (5.2). ) For a P A and n P Npa, q, we define the function
pq 2d`d1 `1
a,n : Rpx,y,zq r0, 1s by
(5.9) pq 1 1 1
a,n px, y, zq a px , y , z q 0 pxy
1{2 1
px nqq
where px1 , y 1 , z 1 q Aa,n E px, y, zq. From this definition, we have
(5.10) pq pq 1
a,n pa,n q ppq a 1
a ppq 0 pxy
1{2
ppx 1
a,n ppq nqq.
Hence, from (5.8) and the choice of a , we have, for each P Z, that
#
1 on K0 ;
pq pq 1 1
a,n pa,n q a a
aPA nPNpa,q aPA
0 on a neighborhood of GzU0 .
6.1. The problems caused by the factor E . A simple idea to define the Hilbert
1
spaces in Theorem 2.2 is to patch the anisotropic Sobolev spaces Hr, pR2d`d `1 q
pq pq
using the local charts a,n and the partition of unity a,n . But, proceeding with
pq
this idea, we face one problem caused by the singularity of the local charts a,n .
This forces us to give a more involved definition of the modified anisotropic Sobolev
space Kr, pK0 q in the following subsections.
The difficulty may be explained as follows. (The explanation below may not be
very clear and is not indispensable for the argument in the following subsections.)
2d`1 2d`d1 `1
For facility of explanation, suppose that M Rpx,zq and G Rpx,y,zq and that
the the local chart to look functions with frequency around P Z along the flow
direction (or the zaxis) is just the partial expanding map E in (5.5). Then, if
we follow the idea mentioned above, the norm that we consider for a function u on
2d`d1 `1
G Rpx,y,zq will look like
}u} }Wr Bu}L2 with Wr pw, w , z q : q pz q Wr D E pw, w , z q
1 1
`1 `1
where D E : R4d`2d
pw,w ,z q R4d`2d denotes the pullback by E . The problem
pw,w ,z q
r
with this norm is that the function W pq is rather singular in the limit w  8.
To be more precise, let us consider two integers 0 ! ! 1 . Since the nonconformal
property of D E depends on and since the weight function Wr is anisotropic,
1
we can find w P R2d`d such that
Wr p0, s w , q
(6.2) lim 8.
s`8 Wr p0, s w , 1 q
while the distance between the points p0, s w , q and p0, s w , 1 q is bounded
uniformly in s. With this singularity19 of Wr , even multiplications by moderate
smooth functions will be unbounded with respect to the norm above.
We emphasize that the problem mentioned above does not affect the most es
sential part of our argument because it happens only for the action of transfer
operators on the wave packets that are very far from the trapped set. (Recall the
explanation at the end of Section 2.) The modification of the definition of the
Hilbert spaces will be described in the following subsections. The idea is simply to
19In terms of the theory of pseudodifferential operator, this implies that the function Wr does
not belong to an appropriate class of symbols.
THE SEMICLASSICAL ZETA FUNCTION 39
relax the nonconformal property of the factor E gradually and sufficiently slowly
as we go far from the trapped set.
6.2.1. Interpolating E and the identity map. We first construct a family of linear
maps E,m for m 0, which interpolates the linear map E and the identity map.
To begin with, we introduce two constants
1 1 2 .
These constants will be used to specify the interval of integers m where we do the
relaxation of the singularity (or nonconformal property) of the local coordinate
charts. The choice of these constant are rather arbitrary. But, to make sure that
the relaxation takes place sufficiently slowly, we suppose
max
(6.3) 2 1 10 10,
0
so that
p1 qp1{2 q ` 4 1{2 0 1
(6.4) : .
2 1 2 1 20 max 20
For each P Z, we set
(6.5) n0 pq : r logxys , n1 pq : r1 logxys , n2 pq : r2 logxys
so that
en0 pq xy , en1 pq xy1 and en2 pq xy2 .
Then we define a function e : Z` R by
$
&1, if m n1 pq;
(6.6) e pmq epmn1 pqq , if n1 pq m n2 pq;
% p1qp1{2q`4
xy , if m n2 pq.
From the choice of the constants above, this function varies slowly satisfying
e pmq 1 1
(6.7) 1
epmm `2q epmm `2q{20 .
e pm q
1 1
2d`d `1 2d`d `1
We define the family of linear maps E,m : Rpx,y,zq Rpx,y,zq for P Z and
m P Z` by
E,m px, y, zq px, e pmq y, zq.
From the definition, this family interpolates E and the identity map in the sense
that E,m Id if m n1 pq and E,m E if m n2 pq.
4d`2d1 `1 4d`2d1 `1
Let D E,m : Rpx,y, x ,y ,z q
Rpx,y,x ,y ,z q
be the natural pullback action of
E,m on the cotangent bundle:
6.2.2. A partition of unity on the phase space. We next define partitions of unity
1
`1
on the phase space R4d`2d
px,y,x ,y ,z q . Recall the periodic partition of unity tq uPZ on
the real line R and also the function pq, defined in (6.1) and (5.2) respectively.
We define a family of functions
1
`1
(6.9) Xm : R4d`2d
px,y,x ,y ,z q r0, 1s for m P Z`
by
Xm px, y, x , y , z q pem pp , y , q , yqq
1
where p , q , y, y are coordinates on R4d`2d `1
px,y,x ,y ,z q introduced in (4.24). Then we
define the functions
r,m : R4d`2d1 `1
X px,y,x ,y ,z q r0, 1s for P Z and m P Z with m n0 pq
by
#
r,m Xn0 pq q pXn0 pq D E,m
1
q q if m n0 pq;
X 1 1
pXm D E,m Xm1 D E,m1 q q if m n0 pq
Remark 6.1. The index m above is related to the distance of the support of X r,m
from the trapped set X0 , while indicates the values of the coordinate z . When
m n0 pq, the support is contained in the e2 xy neighborhood of the trapped
set X0 in the standard Euclidean norm in coordinates introduced in (4.24). When
n0 pq m n1 pq, it is contained in the region where the distance from the
trapped set X0 is in between em2 and em`2 . When m n1 pq, the situation is a
little more involved because the modification by the family of linear maps D E,m
1
1
takes effect. (If we look things through the linear map D E,m , we have a parallel
description.)
1
`1
Next, for P , we define the functions Z`
, Z : R4d`2d
px,y,x ,y ,z q zt0u r0, 1s by
1
Z` px, y, x , y , z q p1 ord prpp , y , q , yqsqq
2
and
1
Z px, y, x , y , z q pord prpp , y , q , yqsq ` 1q.
2
Obviously we have Z` pq ` Z pq 1. (Recall (4.32) and (4.36) for the definition
of the function ord pq.) For each m P Z with m 0, we set
Z`,,m
Z` D E,m
1
and Z,,m
Z D E,m
1
.
Again we have Z`,,m pq ` Z,,m pq 1 for each integer and m 0.
THE SEMICLASSICAL ZETA FUNCTION 41
Remark 6.2. The supports of Z pq are contained in some conical subsets in the
coordinates pp , y , q , yq in the stable or unstable direction. For instance, we have
pd`d1 ,d`d1 q
Z`
px, y, x , y , z q 0 only if pp , y , q , yq belongs to the cone C` p22{2 q.
This is true also for the supports of Z,,m pq, but the corresponding cones will be
distorted by the factor D E,m .
Finally we define the functions
1
4d`2d `1
,m : Rpx,y,x ,y ,z q
r0, 1s, for P Z, m P Z and P
by
$
r,n pq ,
X if m 0;
0
&0, if 0 m n0 pq;
(6.10) ,m
r,m Z`,,m
X
, if m n0 pq;
%r
X,m Z,,m , if m n0 pq.
For each P , the family of functions t,m  P Z, m P Zu is a partition of
1
`1
unity on R4d`2d
px,y,x ,y ,z q . For the support of the function ,m , the index indicates
the approximate value of z , the absolute value of m indicates the distance from
the trapped set, and the sign of m indicates the (stable or unstable) directions from
the trapped set.
Remark 6.3. In the definitions above, we suppose that the coordinates pw, w , z q
pq
corresponds to those given by the distorted local charts a,n in (5.7). Note that,
by definition, the supports of the functions ,m in the partition of unity above
will look somewhat regular if m n1 pq and they become distorted gradually by
the factor D E,m as m increase. If m n2 pq and  is large, the supports
of ,m will be strongly distorted. However, if we look things in the usual local
pq
coordinate charts (say, a,n without the factor E in its definition (5.7)), they will
look reversely: The supports of ,m for m n1 pq will look strongly distorted
while those for m n2 pq will look regular in such coordinates.
6.3. The decomposition of functions. Suppose P . For each u P C 8 pU0 q,
we assign a countable family of functions
4d`2d1 `1
ua,,n,m ,m B pq
a,n u pq 8 8
a,n P C psupp ,m q C pRpx,y,x ,y ,z q q
pq pq
for a P A, P Z, n P Npa, q and m P Z, where a,n a,n for a P A, P Z and
n P Npa, q are those introduced in Subsection 5.5 and ,m for , m P Z are those
introduced in the last subsection. For simplicity, we set
J tj pa, , n, mq  a P A, P Z, n P Npa, q, m P Z s.t. m 0 or m n0 pqu
and write
uj ua,,n,m for j pa, , n, mq P J.
We will refer the components of j pa, , n, mq P J as
apjq a, pjq , npjq n, mpjq m.
Also we set, for j P J,
ppjqq ppjqq ppjqq
(6.11) j : apjq,npjq , j : apjq,npjq , j : apjq,npjq and j : pjq,mpjq .
42 ERIC
FRED FAURE AND MASATO TSUJII
for any R 0, where }}H R denotes the norm on the Sobolev space H R pK0 q of order
R. (For the definition of the Sobolev spaces using Bargmann transform, we refer
[34, Ch.1].) Hence the range of I above is indeed contained in jPJ L2 psupp j q.
A left inverse of I is defined as
pI q : jPJ
L2 psupp j q L2 pU0 q, pI q ppuj qjPJ q j B uj q 1
p j .
jPJ
2
Note that this is not the L adjoint of I . The following is not trivial.
Lemma 6.5. pI q pI q Id on C 8 pK0 q for any P .
Proof. From Remark 6.4, we can see also that the composition pI q pI q is well
defined from C 8 pK0 q to itself. To prove the claim, it is enough to show
` `
(6.12) j B j Bpj pu j qq 1
j u
jPJ
8
for u P C pK0 q. The proof is simple if we take the sum in an appropriate order.
On the left hand side of (6.12), we first take the sum over j with apjq a, pjq
and npjq n P Npa, q fixed. Then the sum is
pq
a,n p pq 1
a,n q pB
Mpq q Bqp pq
a,n u pq
a,n q ppq
a,n q
1
a,,n
where Mpq q is the multiplication by the function q . Recall that the partial
Bargmann transform B is a composition of the Fourier transform in the variable
z and the Bargmann transforms in the variable w with scaling depending on the
frequency z . From this, we see that the operator B Mpq q B above is a
convolution operator which involves only the variable z and commutes with the
pq
action of the fibered contact diffeomorphism pa,n q1 a . In the definition (5.11) of
pq
a,n pq, the latter factor does not depend on the variable z so that the multiplication
by that factor commutes with the operator B Mpq q B. Using these facts with
(5.8) and (5.10), and taking the sum over n P Na, , we see that the left hand side
of (6.12) equals
a pB Mpq q Bqpa pu a qqq 1
p a .
a,
Taking sum with respect to P Z and then to a P A, we see that this equals u.
THE SEMICLASSICAL ZETA FUNCTION 43
6.4. The modified anisotropic Sobolev space Kr, pK0 q. We define the Hilbert
space Kr, pK0 q for r 0 and P as follows. Though the definition makes sense
for any r 0, we henceforth assume that r satisfies (4.28) and
(6.13) pr 1q0 4pd ` d1 qmax
which corresponds to (4.29), in order to make use of the results in Section 4.
Definition 6.6. Let Kr, be the completion of jPJ L2 psupp j q with respect to
the norm
}u}2Kr, }Wr, uj }2L2 ` 2rmpjq }uj }2L2 for u puj qjPJ .
jPJ:mpjq0 jPJ:mpjq0
Then let K r,
pK0 q be the completion of the space C 8 pK0 q with respect to the norm
}u}Kr, : }I puq}Kr, .
For any compact subset K 1 K0 , Kr, pK 1 q denotes the subspace of Kr, pK0 q that
consists of elements supported on K 1 .
Remark 6.7. From Remark 6.4 and geometric consideration about the position of
the supports of functions j pjq,mpjq , we see that the inequality
Remark 6.8. We could define the modified anisotropic Sobolev space Kr, pK0 q in
1
2d`d1 `1
the same spirit as in the definition of Hr, pR2d`d `1 q. Let Wr,
:R R be
the function defined by
1{2
Wr,
pWr, ,0 q2 ` 2rm 2,m .
mn0 pq
44 ERIC
FRED FAURE AND MASATO TSUJII
This definition looks a little simpler than the definition given above, since it avoids
the decomposition of functions with respect to the integer m. But the definition
that we gave in the text is more useful in our argument.
Remark 6.9. In this section, we have defined the modified anisotropic Sobolev
spaces Kr, pK0 q as a completion of the space of C 8 functions. This is enough for
the purpose of considering the scalarvalued transfer operators Lt Lt0,0 . When
we consider the vectorvalued transfer operators Ltk, , we have to define the similar
Hilbert spaces as a completion of 8 pK0 , Vk, q. The extension of the definition
is straightforward once we fix some local trivializations of Vk, subordinate to the
local charts a .
Remark 7.2. Since the operator Q may enlarge the support of functions, each of
Q pC 8 pK1 qq will not be contained in C 8 pK1 q.
Remark 7.3. The equality (7.3) is valid for any distribution u P D1 pK1 q if we regard
the both sides as distributions.
In the next definition, we introduce the operator T , which corresponds to T0 in
(4.49) on local charts (restricted to the frequency around )..
1 1
Definition 7.4. For P Z and , 1 P 0 , let T : Kr, Kr, be the
operator defined by
#
1 Xn0 pq T0lift uj , if mpjq 0 and pjq with20  3;
(7.4) pT uqj
0, otherwise,
for u puj qjPJ . See (4.50) and (6.9) for the definitions of T0lift and Xn0 pq . Then
we define
1 1
(7.5) T MpK1 q pI q T
I : C 8 pK0 q C 8 pK1 q.
Notice that the righthand side actually does not depend on , 1 P .
Remark 7.5. The multiplication by Xn0 pq in (7.4) is inserted in order that the
1 1
operator T is welldefined as that from Kr, to Kr, . (Note that the operator
T0lift does not enlarge the support of the function in the z direction.) Similarly
the multiplication operator MpK1 q in (7.5) is inserted so that the image of T is
supported on K1 .
1
Remark 7.6. Since the definition of T
above involves only finitely many com
ponents in effect (and erase the other components), it is easy to see that T for
each is continuous from Kr, pK0 q to C 8 pK1 q.
7.2. Properties of the operators Lt , Q and T .
46 ERIC
FRED FAURE AND MASATO TSUJII
7.2.1. Boundedness and continuity of the operators Lt . First of all, we give a basic
statement on continuity of the family Lt . From the fact noted in the beginning of
Subsection 4.5.2, we unfortunately do not know whether Lt : Kr, pK0 q Kr, pK0 q
is bounded when t 0 is small. Instead, we prove the following proposition. Note
that, from (4.39), we have
(7.6) Kr,` pK0 q Kr pK0 q Kr, pK0 q.
Remark 7.7. Here and henceforth, we write Kr, pK0 q, Kr pK0 q and Kr,` pK0 q for
the Hilbert space Kr, pK0 q with 1, 0, `1 respectively. Similarly we will write
} }Kr, , } }Kr and } }Kr,` for the norms on them.
1
Proposition 7.8. Suppose that , 1 P . The operator Lt : Kr, pK0 q Kr, pK0 q
is bounded if
(7.7) either (i) t 0 and 1 or (ii) t t0 (and any , 1 ).
1
In the latter case (ii), the image is contained in Kr, pK1 q. Further there exists a
constant C 0 such that
1
}Lt : Kr, pK0 q Kr, pK0 q} CeCt
provided that the condition (7.7) holds true.
7.2.2. The operator Q . Since the operator Q extracts the parts of functions whose
frequencies in the flow direction is around , the claims of the next lemma is natural.
Lemma 7.9. Suppose that , 1 P satisfy 1 . The operator Q extends
1
naturally to a bounded operator Q : Kr, pK0 q Kr, pK0 q. There exists a constant
C0 0 such that
(7.8) }Q u}2Kr,1 C0 }u}2Kr, for u P Kr, pK0 q.
PZ
Remark 7.10. The claim of the lemma above will not hold for the case 1
because of the anisotropic property of our Hilbert spaces. (Note that the operator
Q involves the coordinate change transformations.)
7.2.3. The operator T . From Lemma 4.14, the (Schwartz) kernel of the operator
T0lift concentrate around the trapped set if we view it through the weight function
Wr, . Also the operator T concerns the part of functions whose frequency in the
flow direction is around . Hence it is not difficult to see that this is a compact
operator. More precise consideration leads to the following lemma.
Lemma 7.11. Let , 1 P 0 . The operator T extends to a trace class operator
1
T : Kr, pK0 q Kr, pK1 q. There is a constant C0 0 such that, for any subset
Z Z, we have
1
(7.9) T : Kr, pK0 q Kr, pK1 q C0 .
PZ
Further there exist constants C0 1 and 0 0 such that, for each P Z with
 0 , we have
(a) the estimate
1
(7.10) C01 xyd }T : Kr, pK0 q Kr, pK1 q}Tr C0 xyd
where } }Tr denotes the trace norm of an operator, and
THE SEMICLASSICAL ZETA FUNCTION 47
(b) there exists a subspace V pq Kr, pK1 q with dim V pq C01 xyd such
that
(7.11) }T u}Kr,1 C01 }u}Kr, for all u P V pq.
Further there exists a constant C 0 for 0 such that
(7.12) pT u, T1 vqKr,  C x 1 y }u}Kr, }v}Kr,
for u P V pq and v P V p 1 q provided ,  1  0 .
7.2.4. The transfer operators Lt . We give two propositions on the transfer operators
Lt . The first one below is in the same spirit as Theorem 4.17 in Section 4.
Proposition 7.12. Let , 1 P 0 . There exist constants 0 and C 1 for any
0 such that, for , 1 P Z and 0 t 2tpq, we have
1
(7.13) }T1 Lt T : Kr, pK0 q Kr, pK1 q} C x 1 y ,
1
(7.14) }pQ1 T1 q Lt T : Kr, pK0 q Kr, pK0 q} C xyx 1 y ,
1
(7.15) }T1 Lt pQ T q : Kr, pK0 q Kr, pK1 q} C xyx 1 y
and, under the additional condition (7.7) on t, also
1
(7.16) }pQ1 T1 q Lt pQ T q : Kr, pK0 q Kr, pK0 q} C e0 t x 1 y .
In particular, from the four inequalities above, it follows that
1
(7.17) }Q1 Lt Q : Kr, pK0 q Kr, pK0 q} C x 1 1 y
for , 1 P Z and 0 t 2tpq satisfying (7.7) with respect to and 1 .
We need the next proposition when we consider the resolvent of the generator
of Lt . This is essentially an estimate on Lt for negative t 0. The transfer
operators Lt with negative t ! 0 will not be a bounded operator on our modified
anisotropic Sobolev spaces. But, since T u for u P Kr, pK0 q is a smooth function
as we noted in Remark 7.6, its image Lt pT uq for t 0 is well defined and smooth.
More precise consideration leads to
Proposition 7.13. Let , 1 P 0 . There exist constants 0, C0 0 and C 0
for any 0 such that, for u P Kr, pK0 q, P Z and 0 t 2tpq, there exists
1
v P Kr, pK1 q such that
(7.18) }Lt v T u}Kr, C0 xy }u}Kr,
For the generator A : limt`0 pLt 1q{t of Lt , we have, for u P Kr, pK0 q,
(7.22) }pi Aq Q u}2Kr,1 C0 }u}2Kr,
PZ
and
(7.23) }Q pi Aqu}2Kr,1 C0 }u}2Kr, .
PZ
Further the claims (7.22) and (7.23) remain valid when Q is replaced by T .
Remark 7.15. For the vectorvalued transfer operators Ltk, with pk, q p0, 0q,
we consider their action on the Hilbert spaces given in Remark 6.9 and prove the
propositions parallel to those stated in this section, except for Lemma 7.11 and
Proposition 7.13. The extensions of the proofs given in later sections to such cases
are straightforward. We will not need Lemma 7.11 and Proposition 7.13 for the
vectorvalued cases.
Remark 8.2. The Hilbert space Kr r pK0 q is contained in Sobolev space H R pK0 q of
some negative order R 0, since Lt0 pK r r pK0 qq Kr pf t0 pK0 qq H R pf t0 pK0 qq
t0
from Remark 6.7 and L is bounded from H R pf t0 pK0 qq to H R pK0 q.
Proposition 8.3. The transfer operators Lt : C 8 pK0 q C 8 pK0 q for t 0 extend
to a strongly continuous oneparameter semigroup of bounded operators
r r pK0 q K
L : tLt : K r r pK0 q, t 0u.
Proof. The claims follow from the definition of } }K r r and Proposition 7.8. Indeed,
for 0 t t0 , we have
t0 t0 t
t 2 s`t 2
}L u}K
rr }L u}Kr, ds }L u}Kr, ds ` }Lt0 Ls u}2Kr, ds
s 2
0 t 0
t0 t
}Ls u}2Kr, ds ` C }Ls u}2Kr, ds p1 ` Cq}u}2K
r r.
t 0
Then we use this estimate recursively to get (8.3). The correspondence t Lt puq P
r r pK0 q for u P C 8 pK0 q is continuous at t 0 from Remark 6.7. Since
C 8 pK0 q K
8
C pK0 q is dense in K r r pK0 q by definition, we obtain strong continuity of the semi
group L by approximation argument.
We will denote the generator of the oneparameter semigroup L by
A : DpAq K r r pK0 q K
r r pK0 q.
By general argument (see [33, 1.4 p.51]), this is a closed operator defined on a
r r pK0 q that contains C 8 pK0 q.
dense linear subspace DpAq K
8.2. Meromorphic property of the resolvent. In the following, we suppose
that 0 is that in the statement of Theorem 2.2, given as an arbitrarily small
positive real number. The resolvent of the generator A is written
Rpsq ps Aq1 .
As the second step toward the proof of Theorem 2.2, we prove
Proposition 8.4. The resolvent Rpsq is meromorphic on the region
ts P C  Repsq 0 ` , Impsq s0 u
if s0 0 is sufficiently large. Further there exists a constant C0 0 such that, for
P Z with sufficiently large absolute value, there exist at most C0  d poles of
the resolvent Rpsq (counted with multiplicity) in the region
(8.4) Rp q ts P C  0 ` 2 Repsq 1, Impsq  1 u.
Remark 8.5. We actually can prove the meromorphic property of the resolvent
Rpsq ps Aq1 on much larger region. (See Remark B.10 in Appendix B.)
Proof. For each integer P Z with sufficiently large absolute value, we prove that
the resolvent Rpsq is meromorphic on the rectangle
r q : ts P C  Repsq 0 ` , Impsq  2u Rp q.
Rp
Let us consider the operator
1
Tr T : Kr, pK0 q Kr, pK1 q
 2
where the integer will be specified in the course of the argument below. (But note
that we will choose uniformly for .) Below we write C0 for large constants that
are independent of and . From Lemma 7.11, we have
r 1
(8.5) T : Kr, pK0 q Kr, pK1 q C0
and also
1
(8.6) r : Kr, pK0 q Kr, pK1 q}Tr C0  d
}T
50 ERIC
FRED FAURE AND MASATO TSUJII
We postpone the proof of Lemma 8.6 and finish the proof of Proposition 8.4.
From Proposition 8.3, the resolvent Rpsq ps Aq1 : K r r pK0 q K
r r pK0 q is a
uniformly bounded holomorphic family of isomorphisms on the region Repsq C1
if we take sufficiently large C1 . Let us write the operator s A as
(8.7) s A ps A1 q Upsq r .
where Upsq : 1 0 ps A1 q1 T
From Lemma 8.6, the operator ps A1 q1 T r belongs to the trace class and is
r q. Thus the resolvent Rpsq extends
holomorphic with respect to s on the region Rp
r q. This
as a meromorphic family of Fredholm operators of index 0 to the region Rp
gives the former claim of the proposition. Below we provide a more quantitative
argument21 to get the latter claim. To begin with, note that the resolvent Rpsq has
r q if and only if
a pole of order m at s0 P Rp
kpsq : det Upsq
has a zero of order m at s s0 .
Remark 8.7. The determinant det Upsq is welldefined since Upsq is a perturbation
of the identity by a trace class operator. We refer [23] for the trace and determinant
of operators on Hilbert (or Banach) spaces.
From (8.6) and Lemma 8.6, we have
(8.8) log kpsq C0  d r q.
uniformly for s P Rp
r q with Repsq C1 as
We may write Upsq1 for s P Rp
r .
Upsq1 ps Aq1 ps A1 q Id ` 0 ps Aq1 T
1 1
(8.10) }Id ps A1 q QR }K
rr , }Id QL ps A1 q}K
rr .
2 2
Once we obtain such operators QL and QR , we can prove Lemma 8.6, constructing
the resolvent R1 psq ps A1 q1 by iterative approximation. Indeed, if we define
8
8
r R : QR
Q pId ps A1 qQR qk r L :
and Q pId QL ps A1 qqk QL
k0 k0
r R } r r C01 , }Q
we have }Q r L } r r C01 and
K K
r R Id,
ps A1 q Q r L ps A1 q Id,
Q rR Q
Q r L ps A1 q Q
rR Q
rL.
Then we have }
u}Kr,` C0 }u}Kr r from Proposition 7.8 and Lemma 7.11. We define
r r
the operator QR : K pK0 q Kr pK0 q by setting
r
t0
p1q p2q p3q
QR u : QR u ` QR u ` QR u ` est Lt udt
0
where
tp q
p1q
QR u eps`0 qt Lt T u
dt,
:  0
tp q
p2q
QR u est Lt pQ T q
udt,
:  0
p3q
QR u ps iq1 Q u.
 
pkq
We have }QR u}K r r C0 }u}Kr r for k 1, 2, 3. In the cases k 1, 2, this follows
from Proposition 7.12. In the case k 3, this follows from Lemma 7.9 and Schwarz
inequality.
Since pd{dtqpest Lt uq ps Aqest Lt u, we have
t0 t0
ps A1 q r
est Lt udt u est0 Lt0 u ` 0 T est Lt udt u u
.
0 0
and, similarly,
p2q
ps A1 qQR u
u estp q Ltp q pQ T q
pQ T q u
: 
tp q
` 0 r Lt pQ T q
est T udt.
:  0
we can deduce the claims (1) and (2), provided that and   are sufficiently large.
To prove the claim (3), we write
p3q
A i 0
ps A1 qQR u Q u Q u ` r Q u .
T
s i s i
 
r r norm by
The sum of the second terms on the righthand side is bounded in the K
1{2 1{2
1 }u}K rr
C0 }2Kr C0 1{2
}pi Aq Q u
s i2
   
from Lemma 7.14. Hence, if we take sufficiently large and then let be suffi
ciently large, we obtain the claim (3).
For the construction of QL , we modify the definition of u as
t0
est0 Lt0 u ` 0
u r udt
est Lt T
0
p1q p2q
and replace Lt T and Lt pQ T q in the definitions of QR and QR respectively
by T Lt and pQ T q Lt . Then we can follow the argument above with obvious
modifications and obtain the latter claim in (8.10) for QL .
From the argument in the proof above, we get the following corollary, which we
will use later in the proof of Proposition 8.12 in Subsection 8.4.
Corollary 8.8. There exists a constant C0 1 and 0 0 such that, if P Z
satisfies   0 , there exists some P R with   1 such that
(8.11) r r pK0 q K
sup }Rp ` iq : K r r pK0 q} exppC0  d q.
Pr, s
Remark 8.9. The estimate (8.11) seems very coarse. But for the moment we do
not know whether we can give better estimates.
THE SEMICLASSICAL ZETA FUNCTION 53
Proof. Let us recall the subharmonic function23 log kpsq log  det Upsq and the
constant C1 in the proof of the last proposition. By the Riemann mapping theorem,
we take a biholomorphic mapping : int Rpr q D which maps the region Rp r q
r q is mapped
onto the unit disk D tz 1u so that the point s C1 ` i P Rp
to the origin 0. Let pzq log kp1 pzqq for z P D and observe that
(1) pzq C0  d uniformly on D from (8.8),
(2) pzq is a subharmonic function with at most C0  d points wi for 1 i I
(with I C0  d ) such that
I
pzq wi ,
i1
(3) p0q log kps q C0  d from (8.9) and the choice of s above.
Let i , 1 i I, be the Greens function on D at wi , which is by definition the
subharmonic function satisfying i wi and i 0 on BD. Then we see
I
pzq 0 pzq ` i pzq
i1
where 0 is the harmonic function which takes the same boundary values as .
From the property (3) and the subharmonic property of , it follows
1 1
0 pzqdz pzqdz p0q C0  d .
2 BD 2 BD
I
pzq C0  d ` i pzq for z P pRp qq D.
i1
Note that the distortion of the Riemann map on the compact subset Rp q D
is bounded uniformly in , that is,
because the pairs pRp q, Rpr qq for different are translations of each other.
1
Since i pzq log z wi  C0 , we obtain that
I
log kpsq C0  d ` plog s wi1  C0 q for s P Rp q,
i1
23We suppose that subharmonic functions can take value 8 and that log 0 8.
54 ERIC
FRED FAURE AND MASATO TSUJII
C0   C0 I C0  d .
d
we obtain that
}Upsq1 }2 C0 exppC0 }X}Tr q  det Upsq2 for s P Rp q.
Estimating the trace norm }X}Tr by (8.6) and Claim 3 and recalling the relation
(8.7), we conclude
}Rpsq} C0 }Upsq1 } C0 exppC0  d q kpsq1 for s P Rp q.
Therefore (8.12) implies the required estimate.
8.3. Boundedness of the resolvent. The third step toward the proof of Theorem
2.2 is to prove that there are only finitely many eigenvalues of the generator A on
the outside of U p0 , q. (See (1.6) for the definition of U p0 , q.)
Proposition 8.10. There exists s0 0 such that the resolvent Rpsq is bounded as
an operator on Kr r pK0 q uniformly for s P CzU p0 , q satisfying Repsq 0 `
and Impsq s0 .
Proof. We consider s P CzU p0 , q satisfying Repsq 0 ` and Impsq s0
r r pK0 q, there
and take psq so that s P Rp q. We show that, for any u P K
r pK0 q such that }w} r r C0 }u} r r and that
exists w P Kr
K K
1
(8.13) }ps Aqw u}K
rr
}u}K
r r.
2
By iterative approximation as in the proof of Lemma 8.6, this implies that ps Aq
has a right inverse whose operator norm is bounded by C0 . Then, by Lemma 8.6
and the relation (8.7), we see that the right inverse thus obtained is actually the
resolvent Rpsq and therefore obtain the conclusion of the proposition.
The following argument is mostly parallel to that in the proof of Lemma 8.6. In
the case Repsq , we set
t0
w w1 ` w2 ` w3 ` est Lt udt
0
The proofs of the claims (1) and (2) are obtained from that of the corresponding
claims in the proof of Lemma 8.6, letting 0 be 0 in some places. But, in the case
Repsq , we need to modify the proof of (2) slightly as follows: We write
tp q
ps Aqw1 esptp qtq Lt v dt
:  0
restp q v Ltp q v s
: 
and check that the claim follows from the choice of v . The proof of the claim (3)
is again parallel to that in Lemma 8.6.
Remark 8.11. In the cases of vectorvalued transfer operators Ltk, with pk, q
p0, 0q, we can get the proof of the corresponding claims of Theorem 2.2 by the
argument parallel to that in this section for the case Repsq . (See Remark 6.9
and Remark 7.15 also.) Note that we do not need statements corresponding to
Lemma 7.11 and Proposition 7.13 for these cases.
56 ERIC
FRED FAURE AND MASATO TSUJII
8.4. Lower bound for the density of eigenvalues. To complete25 the proof
of Theorem 2.2, it is enough to prove the following lower bound on the density of
eigenvalues of the generator A.
From (7.11) and (7.12) in Lemma 7.11, the subspaces Vr ppjqq for 1 j k
are almost orthogonal to each other (and linearly independent) provided that is
25As we noted in Remark 8.5, we actually have proved discreteness of the spectral set of the
generator A only on the region Repsq 0 ` and Impsq s0 for some large s0 . We will see
that this is true for the region Repsq r0 {4 in Appendix B.
THE SEMICLASSICAL ZETA FUNCTION 57
sufficiently large. More precisely, if we set vj Tpjq vj P Vr ppjqq for any given
vj P V ppjqq for 1 j k, we have
(8.18) vi , vj qKr,  C0
p xpiq pjqy2 }vi }Kr, }vj }Kr,
i,j:ij i,j:ij
C0 1 }vj }2Kr, C0 1 vj }2Kr, .
}
j j
1
Hence, provided that is so large that C0 1, we see
k
k
 d`
dim W p q dim Vr ppjqq dim V ppjqq .
j1 j1
4C0
From our assumption (for the proof by contradiction), we can take arbitrarily
large P Z and an element w Kr 1 that belongs to ker .
P W p q with }w}
We express w as
k
w Tpjq wpjq with wpjq P V ppjqq
j1
from the choice of V ppjqq and the uniform boundedness of the operators T in .
We choose an integer 1 k k so that }wpk q}Kr is the largest among }wpjq}Kr
for 1 j k.
For further argument, we introduce an entire holomorphic function
(8.20) : C Czt0u, psq : expp1 cospsqq.
This function converges to zero rapidly when s 8 in the strip Repsq {3.
More precisely, we have
psq expp1 Repcospsqqq expp1 exppImpsqq{4q
for s P C with Repsq {3, because, if s x ` iy with x P r{3, {3s,
Repcospsqq cospxq coshpyq exppyq{4.
Also we can check that y px ` iyq for x P r{3, {3s is a function in the
Schwartz class SpRq and uniformly bounded.
Let b 0 be a small constant, which we will specify in the last part of the proof,
and define the Kr pK0 qvalued function
Y : Rectp q Kr pK0 q, Ypsq pbps ipk qqq Rpsqw.
Since w belongs to the kernel of the spectral projector , this is holomorphic on
a neighborhood of the rectangle Rectp q and hence we have
(8.21) Ypsqds 0.
BRectp q
58 ERIC
FRED FAURE AND MASATO TSUJII
Below we show that this can not be true. In fact, we claim that, if   is sufficiently
large, we have
1
(8.22) Q q }wpk
Ypsqds wpk q}Kr
BRectp q r
2
K
where
Q Q .
:pk q
Hence, using (7.13) and (7.14) for t 0 and also (8.19), we can check (8.23).
Let us write B h Rectp q and B v Rectp q for the horizontal and vertical sides of
the rectangle Rectp q. For the integral (8.21) restricted to the horizontal sides,
we have, from the choice of , 1 0 in the definition of Rectp q and (8.20), that
`
(8.24) Ypsqds exp expp  1q{4 exp C0  d }w} Kr .
Bh Rectp q r
K
Since }w}
Kr C0   }wpk q}Kr from the choice of k , this part of integral is
much smaller than }wpk q}Kr provided   is large.
To evaluate the integral on the vertical sides, we prepare the next lemma. Recall
that 0 is the constant that appear in the definition (7.1) of tpq.
Lemma 8.13. Suppose that P R satisfies     ` 1. There exists a
constant C0 0, independent of and , such that, for 1 j k, we have
tp q
p `iqt t
Rp ` iqwpjq
e
L wpjqdt C0   0 }wpjq}
Kr
0 r
K
and further that, for the function vpjq given in Proposition 7.13 for the setting
1 0, u wpjq, pjq and t tp q 2tppjqq, we have
tp q
p `iqt tp qt
Rp ` iqwpjq
` e L vpjq dt C0   0 }wpjq}
Kr .
0 r
K
Proof. Since
tp q
p `iqt
pp ` iq Aq e t
L dt 1 ep `iqtp q Ltp q ,
0
THE SEMICLASSICAL ZETA FUNCTION 59
This is the first claim. We can get the second inequality by a similar manner. Since
tp q
p `iqt tp qt
pp ` iq Aq e L dt ep `iqtp q Ltp q ,
0
we have
tp q
tp q p `iqt tp qt
Rp ` iq L e L dt ` ep `iqtp q Rp ` iq.
0
We obtain the second inequality by applying this operator to vpjq and using the
estimate
Rp ` iq Ltp q vpjq Rp ` iqwpjq
r C0   }wpjq}Kr
K
that follows from the condition (7.18) in the choice of vpjq . (We choose 0 so small
that 0 .)
k `8 tp q
d b,` p pk qqeippk qqt ep ipk qqt Q Lt wpjq
r dt
j1 8 0
k `8
tp q
` d b, p pk qqeippk qqt ep `ipk qqt Q Ltp qt vpjq dt
j1 8 0
`
` OKr   0 ` }wpk
q}Kr
where we set
b, pq pbp ` iqq.
`
Remark 8.14. The last term OKr   0 ` }wpk q}Kr denotes an error term
whose Kr norm is bounded by C  0 ` }wpk
q}Kr . We use this notation below.
Note that the integration along the horizontal sides of Rectp q and also the
integration with respect to on the outside of the interval
r   ` , `   1 s
60 ERIC
FRED FAURE AND MASATO TSUJII
is included in the last error term. (The former is small as we have seen in (8.24).
The latter is also very small because of the property of the function pq in the
integrand.)
Performing integration with respect to , we get
k tp q
Q Ypsqds p b,` ptq ep ipk qqt Q Lt wpjq
r dt
Bv Rectp q j1 0
k tp q
` p b, ptq ep `ipk qqt Q Ltp qt vpjq dt
j1 0
`
` OKr   0 ` }wpk
q}Kr
p b, pq is the Fourier transform of b, pq,
where
8
p b, ptq 1 1 8 it
eit b, pqd e pbp ` iqqd.
2 8 2 8
In both of the sums over 1 j k on the righthand side above, the contribution
from the terms other than j k is relatively small provided that 0 is large
enough (independently of ). In fact, from Proposition 7.12 and the choice of k ,
C }wpjq}
Kr C }wpk
q}Kr
Q Lt wpjq
r Kr
xpjq pk q y xpjq pk q y
for j k and 0 t tp q, with arbitrarily large 0. Similarly, from (7.19)
in the choice of v , we have
C
Q Lt vpjq r }wpk
q}Kr .
K xpjq pk q y
Therefore the sum of contributions from the integrals for j k is bounded by
C`2 }wpk
q}Kr in the Kr norm. That is, we have
tp q
Q Ypsqds Q p b,` ptq e
p ipk qqt t
r q dt
L wpk
Bv Rectp q 0
tp q
` Q p b, ptq ep `ipk qqt Ltp qt vpk q dt
0
`
` OKr p`1 `   0 ` q }wpk
q}Kr .
We (finally) fix the constant 0 so that the last error term is bounded by
q}Kr {10 when is sufficiently large. (Since we have only to prove Proposition
}wpk
8.12 for sufficiently small , we assume 0 .)
Now we let the constant b be small. Then the functions p ptq concentrate
`8 0 b,
1
around 0 (in the L sense) and, further, 0 p b, ptqdt and p ptqdt become
8 b,
close to 1{2 by symmetry. By (7.21) in Lemma 7.14, we have
}ep ipk qqt Lt wpk q}Kr C0 t}wpk
q wpk q}Kr .
Similarly, by (7.21) in Lemma 7.14 and (7.18) in the choice of vpk q , we have also
q}Kr C0 pt `   q}wpk
}ep `ipk qqt Ltp qt vpk q wpk q}Kr .
Therefore each of the integrations on the righthand side above become close to
q{2 in Kr pK0 q as b `0 uniformly in . Recalling (8.23), we conclude
Q wpk
THE SEMICLASSICAL ZETA FUNCTION 61
1
Setting I: For each P Z, there is a given set X of C 8 functions on R2d`d `1
such that the following conditions hold for all P Z and P X with uniform
positive constants C and C,k (independent of and ):
(C1) the support of P X is contained in
1 1
Dp2dq pCxy1{2` q Dpd q pCq Dp1q pCq R2d`d `1
where DpDq pq RD is the disk of radius with center at the origin.
(C2) P X satisfies the uniform estimate
1
Bw Bz pw, zq C,k xyp1q{2 ,
k
@w P R2d`d , @z P R,
1
2d`d
for any multiindices P Z` and k P Z` .
Remark 9.1. The conditions (C2) above means that the normalized family
r tpw,
X zq pxyp1q{2 w, zq  P X u
is uniformly bounded in C k norm for any k, that is, they look very smooth (or
almost constant) in the variable w if we view them in the scale xy1{2 . This
observation is basic in the following argument.
Remark 9.2. If we set X tj  j P J with pjq u where j are those defined
in (5.9) and (6.11), then the conditions (C1) and (C2) above hold. But notice
that a little stronger condition than (C2) holds: we may replace xyp1q{2 by
xyp12q{2 ! xyp1q{2 in (C2).
In the next lemma, we consider the lifted multiplication operator Mpqlift for P
X precomposed by Mpq q and approximate it by a simpler operator constructed
as follows. For P X , let p be the Fourier transform of along the zaxis:
p 1 1
(9.2) pw, z q eiz z pw, zqdz, w P R2d`d , z P R.
2
62 ERIC
FRED FAURE AND MASATO TSUJII
Note that, from the conditions (C1) and (C2) in Setting I, there exists a constant
2d`d1
C, 0 for any P Z` and 0 such that
p
(9.3) Bw pw, z q C, xyp1q{2xz y for P X .
1 1
We then define the operator Cpq : SpR4d`2d `1 q SpR4d`2d `1 q by
Cpqupw1 , w
1 p 1 , 1 z q upw, px 1 y{xz yq 1 , z q dz .
, z1 q pw z z w
This is essentially the convolution operator in the variable z but looks a little
more complicated because of the rescaling mentioned in Remark 4.5. Recall the
Bargmann projection operator P from (4.20). For brevity of notation, we will write
1
L2 pWr, q for L2 pR4d`2d `1 ; pWr, q2 q below.
Lemma 9.3. Let P . There exists a constant C 0 for each 0 such that,
for any , 1 P Z and any P X , we have
where
pw, w2 , z1 , z q
1
xz yp2d`d q{4 p 2 1 1 2 2
p
pw , z z q epxz yxz yqw w {2 pw, z1 z q .
xz1 yp2d`d1 q{4
Remark 9.4. Schur test mentioned above reads as follows: For an integral operator
T : L2 pRD q L2 pRD q of the form T f pxq Kpx, yqdy, we have
1{2 1{2
2 D 2 D
}T : L pR q L pR q} sup Kpx, yqdy sup Kpx, yqdx .
x y
Setting II: For each P Z, there is a given set G of fibered contact diffeo
1 1
morphisms g : Ug R2d`d `1 whose domain Ug R2d`d `1 contains
1
Dp2dq pCxy1{2` q Dpd q pCq Dp1q pCq
where C is the constant in Setting I and, further, the following conditions hold
for P Z and g P G with positive constants C 1 and C uniform for and g:
1
(G0) gp0, 0, 0q p0, y , 0q where y P Rd satisfies y  C 1 xy1{23 .
1
(G1) For the first derivative of g at the origin 0 P R2d`d `1 , we have
}Dgp0q Id} C 1 maxtxyp1{2q, xyp1qp1{2q2 u.
(G2) We have
}Bw gpw, zq} C xypp1qp1{2q`4qp1q`{2 on Ug
2d`d1
for P Z` with  1. Further, for the base diffeomorphism
(defined in Definition 4.19) g : ppx,zq pUg q R2d`1 of g , we have
}Bx,z gpx, zq} C xy{2 on ppx,zq pUg q
1
2d`d
for P Z` .
Remark 9.8. From the numerical relation (5.6) given in Remark 5.7, the conditions
above implies that the diffeomorphisms in G is close to identity including their
derivatives when we look them in the scale xy1{2 (or even in a little more larger
scale) in the source and target. The exponents in the conditions above are slightly
different from those in the corresponding argument in the previous paper [18, Ch. 7].
r,m introduced
This is because of the involved definition of the partition of unity X
in Subsection 6.2. But the difference is not essential.
Remark 9.9. We will see in Corollary 10.7 that we can set up the sets G of diffeo
morphisms satisfying the conditions as above so that each of the diffeomorphisms
1 t 1
j1 fG j with pjq pj q and 0 t 2tpq is expressed as a composition
of a diffeomorphism in G with some affine maps.
For a pair of a function P X and a diffeomorphism g P G , we consider the
transfer operator
(9.10) Lpg, qu pu g 1 q
and also its lift with respect to the partial Bargmann transform
Lpg, qlift B Lpg, q B .
Remark 9.10. The assumption on the support Ug in Setting II is actually not
indispensable for the argument below. In fact, since we will consider the transfer
operator as above, it is enough to assume that Ug contains the support of .
In the next lemma, we would like to show that the diffeomorphism g in the oper
ator Lpg, qlift will not take much effect in its action and, consequently, Lpg, qlift
is well approximated by LpId, qlift Mpqlift . But, actually, this conclusion is
not true if we consider the action of the operator Lpg, qlift on a region far from
THE SEMICLASSICAL ZETA FUNCTION 65
the trapped set X0 . In order to restrict the action of the lifted transfer operator
Lpg, qlift to a region near the trapped set X0 , we introduce the C 8 function
1
(9.11) 4d`2d `1
Y : Rpw,w ,z q
r0, 1s, Y pw, w , z q pxz y2 pp , y , q , yqq
where p , q , y, y are the coordinates defined in (4.24).
Lemma 9.11. Let P . There exist constant C 0 for each 0 such that,
for any , 1 P Z, P X and g P G , we have
}Mpq1 q pLpg, qlift Mpqlift q MpY q Mpq q}L2 pWr, q C xy{2 x 1 y
and
}Mpq1 q MpY q pLpg, qlift Mpqlift q Mpq q}L2 pWr, q C xy{2 x 1 y .
Proof. Below we prove the former inequality. The latter is proved in a parallel
manner. For the proof, it is enough to show that the kernel Kpw1 , w
1
, z1 , w, w , z q
of the operator
Mpq1 q pLpg, q Mpqqlift MpY q Mpq q
satisfies
xy{2 xxy1{2 w1 wy
(9.12) Kpw1 , w
1
, z1 , w, w , z q C
xxy1{2 xz1 yw
1 x y y x 1 y
z w z z
for arbitrarily large 0. Indeed we can deduce the former inequality in the
lemma as a consequence of (9.12) by Schur test. From the definitions, we have
(9.13) Kpw1 , w
1
, z1 ; w, w , z q
2 2 1 1
eipw ,z ;w ,z ;w ,z q pw2 , z 2 ; w1 , w
1
, z1 ; w, w , z qdw2 dz 2
where
pw2 , z 2 ; w
1
, z1 ; w , z q pxz yw xz1 yw
1
q w2 ` pz z1 qz 2
and
pw2 , z 2 ; w1 , w
1
, z1 ; w, w , z q
1 2 1 2 2 2
a2d`d1 pxz1 y1 q a2d`d1 pxz y1 q pw2 , z 2 q exz yw w  {2xz yww  {2
2 2 1 2 2 2 1 2 2
1 ` eiz pw qixz yw pw g pw qq`xz yww  {2xz ywg pw q {2q .
In the last line, the function pwq and the diffeomorphism g1 are those in the
expression of the fibered contact diffeomorphism g 1 ,
g 1 pw2 , z 2 q p
g 1 pw2 q, z 2 ` px2 qq for pw2 , z 2 q px2 , y 2 , z 2 q
in Definition 4.19. Note that we neglected the multiplication operators Mpq1 q,
MpY q and Mpq q on the righthand side of (9.13), though we will remember and
use the fact that the kernel Kpq vanishes unless z P supp q1 , z1 P supp q and
pw, w , z q P supp Y .
For the proof of the estimate (9.12), we apply integration by parts several times
2 2 1 1
regarding the term pw2 , z 2 q eipw ,z ;w ,z ;w ,z q as the oscillatory part and using
the differential operators
1 ipz1 z qBz2
(9.14) D0
1 ` z1 z 2
66 ERIC
FRED FAURE AND MASATO TSUJII
and D1 in (9.5). In order to get the required estimate (9.12), it is enough to show
k 2 1 1 1 C,k, xy{2`{2
(9.15) Bw 2 Bz 2 pw ; w , w , z ; w, w , z q
xx 1 yw1 w2 y xxyw w2 y
for pw1 , w1
, z1 q P supp q1 , pw, w , z q P supp pY q q and w2 P ppx,yq psupp q.
To proceed, it is convenient to consider the two cases in (9.7) separately, as in the
proof of Lemma 9.3. In the case (ii), we have (9.8) and hence each application of
integration by parts using D0 yields a small factor xz1 z y1 C0 xy1{2 . Hence
it is actually enough to prove (9.15) with an extra factor xym for some m 0 on
the righthand side. But such estimate can be obtained by plane estimates using
the conditions in Setting I and II and also noting (5.6) for the exponents.
We next consider the case (i) in (9.7), where we need more precise estimate. Let
1 1
us write w, w1 w2 P R2d`d R2d Rd as w px, yq, w1 px1 , y 1 q, w2 px2 , y 2 q.
The condition w2 P ppx,yq psupp q implies that x2  Cxy1{2` . Also the con
dition pw, w , z q P supp Y implies that y Cxy1{2`2 . Below we assume that
w, w1 , w2  are bounded by Cxy1{2`2 for some large C 0 because, otherwise,
1 2 1 2 2 2
the factor exz yw w  {2xz yww  {2 is bounded by C xy for arbitrarily large
and we can get (9.15) by easy estimate as in the case (ii). Then, under such an
assumption, the condition pw, w , z q P supp pY q q implies w  Cxy1{2`2 .
Let us write 0 pw2 ; w1 , w 1
, z1 ; w, w , z q for the term in the square bracket rs in
the expression of pq above. The required estimate (9.15) follows immediately if
we show
2 1 1 1 {2`{2
(9.16) Bw 2 0 pw ; w , w , z ; w, w , z q C xy .
2 {2
From the condition (G2) in Setting II, we have Bw 2 px q C xy for any
multiindex . Hence, from Lemma 4.21 and Taylor theorem, we get
2 p3qp1{2q`p3{2q
Bw 2 px q Cxy if 0  2
provided x2  Cxy1{2 . Also, by Taylor theorem for g1 at the origin and using
the conditions in Setting II, we have
g 1 pw2 q w2  Cxy1{23 ` Cxymaxtp1{2q,p1qp1{2q2uxy1{2`2

` Cxypp1qp1{2q`4q` xy2p1{2`2q
C 1 xy1{23 by (5.1).
The last estimate gives for instance
w w2 2 {2 w g1 pw2 q2 {2 Cxy1{2`2 xy1{23 Cxy1
and further, together with the conditions (G1) and (G2) in Setting II,
`
Bw2 w w2 2 {2 w g1 pw2 q2 {2 C xy1`{2 .
It is now straightforward to show the claim (9.16) by using the estimates above,
(9.9) and the conditions in Setting II.
9.3. The projection operator T0 and its lift. We next consider the lift T0lift of
the projection operator T0 defined in (4.45). Recall from Corollary 4.18 that the
kernel of the operator T0lift concentrates around the trapped set X0 if we view it
through the weight Wr, . The following two lemmas are direct consequences of this
fact and Lemma 9.3. We omit the proofs since they are straightforward. (Similar
statements and their proofs can be found in [18, Lemma 5.1.6, Lemma 5.3.1].)
THE SEMICLASSICAL ZETA FUNCTION 67
Lt 1
Kr, pK0 q Kr, pK0 q
commutes where I : Kr, pK0 q Kr, is the natural isometric embedding.
1
The lifted transfer operator Lt, in (10.1) is expressed as an infinite matrix
of operators:
1 t,1
(10.3) Lt, u Ljj1 uj for u puj qjPJ .
jPJ j1 PJ
1 1
The components Lt,
jj1 : L2 psupp j q L2 psupp j1 q are the operators written
in the form
1 1
(10.4) Lt, Mpj1 q B Lp fjj
t t t
1 , bj1 jj1 q B
jj1
where Lpg, q denotes the transfer operator defined by (9.10). The diffeomorphism
t t
fjj1 and the function jj1 in (10.4) are defined by
t 1 t
(10.5) fjj j f G j
1 : 1
and
1
(10.6) tjj1 : j1 p t
j pfjj1q q.
THE SEMICLASSICAL ZETA FUNCTION 69
(See (6.11) and also (5.7), (5.9) for the definitions of j and j , j .) The function
bt1 pq in (10.4) is defined from bt pq in (2.4) by
j
where dm is the volume form given in (4.17). The kernel is expressed as the integral
1
t,
(10.8) Kjj1 pw1 , w
1
, z1 ; w, w , z q
1 1 1 1 t 2 2 1 1 1 2 2
j1 pw , w , z q kjj 1 pw , z ; w , w , z ; w, w , z qdw dz
where
t 2 2 1 1 1
kjj1 pw , z ; w , w , z ; w, w , z q
pbt1 t 1 qpw2 , z 2 q w1 ,1
j jj 1
w ,z
t
pw2 , z 2 q w,w ,z ppfjj1q
1
pw2 , z 2 qq.
t
For further argument, it is convenient to write the last function kjj1 pq in the form
t 2 2 1 1 1
(10.9) kjj1 pw , z ; w , w , z ; w, w , z q
2
,z 2 ;w 1 ,w
1
,z1 ;w,w ,z q
eipw pw2 , z 2 ; w1 , w
1
, z1 ; w, w , z q
with setting
pw2 , z 2 ; w1 , w
1
, z1 ; w, w , z q xz1 yw
1
w2 ` xz yw pfjj
t
1q
1
pw2 q pz1 z qz 2
and
(10.10) pw2 , z 2 ; w1 , w
1
, z1 ; w, w , z q
a2d`d1 pxz y1 q a2d`d1 pxz1 y1 q exppixz1 yw 1
w1 {2 ixz yw w{2q
pbtj1 tjj1 qpw2 , z 2 q exppiz jj1 px2 qq
exppxz1 yw2 w1 2 {2 xz ypfjj
t
1q
1
pw2 q w2 {2q,
1
where x2 P R2d is the first component of w2 px2 , y 2 q P R2d`d and jj1 and
pfjj
t
1q
1
are those in the expression
t
pfjj1q
1
pw2 , z 2 q ppfjj
t
1q
1
pw2 q, z 2 ` jj1 px2 qq
t 1
of the fibered contact diffeomorphism pfjj 1q corresponding to (4.52).
We may then regard the integral (10.8) as an oscillatory integral and expect
that it becomes small if the term eipq oscillates fast with respect to w2 or z 2 .
Though we will give precise statements later, it is reasonable to make the following
t,1
observations for the kernel Kjj 1 pw1 , w
1
, z1 ; w, w , z q at this moment:
70 ERIC
FRED FAURE AND MASATO TSUJII
(Ob1) It decays rapidly as the distance z1 z  gets large. This is because the
term eipq oscillates fast with respect to z 2 (while the other terms do not).
(Ob2) It decays rapidly as the distance fjjt 1
1 pwq w  gets large in the scale
where
(10.12) htjj1 : 1 t
apj1 q,npj1 q fG apjq,npjq .
The local charts a,n are composition of the coordinate charts a and bijective
affine maps whose derivatives and their inverses are bounded uniformly. Hence we
have, for any j, j1 P J and any multiindex , that
hjj1 pw, zq C emax t
t
Bw
1
2d`d `1
for t P R and pw, zq P Rpw,zq at which htjj1 pw, zq is defined. In particular, we
have the estimate
t
(10.13) Bw hjj1 pw, zq C xy{4 for 0 t 2tpq
if we let the constant 0 in the definition of tpq be small.
Recall that there was some arbitrariness in the choice of the local coordinate
charts a : Ua Va and the associated family of functions a in Subsection 5.3. By
modifying them if necessary (so that the supports of the functions a a become
smaller), we may assume the following estimate on the diffeomorphism htjj1 for
uniformly bounded time, that is, for 0 t 2t0 .
Lemma 10.3. For 0 t 2t0 , j, j1 P J and pw, zq P Epjq psupp j q, we have
}pDhtjj1 qpw,zq B 1 Id} 102
with some linear map of the form
1 1
(10.14) 2d`d `1
B : Rpx,y,zq 2d`d `1
Rpx,y,zq , p zq.
Bpq, p, y, zq pAq, A: p, Ay,
THE SEMICLASSICAL ZETA FUNCTION 71
(10.16) fjj
t t
1 : pajj1 q
1 t
fjj1 satisfies fjj
t
1 p0, 0, 0q p0, y , 0q.
Recall, from Lemma 4.24, that the transfer operator associated to atjj1 is a unitary
1
operator on Hr, pR2d`d `1 q and therefore basically negligible.
Lemma 10.4. There exist constants C 0 and C 0 for each multiindex
2d`d1
P Z` such that, for j, j1 P J and 0 t 2tppjqq, the following hold true:
t
(1) For px , y , z q fjj1 p0, 0, 0q, we have
atjj1 q1 fjj
Also its base diffeomorphism p t
1 satisfies
}Bx,z atjj1 q1 fjj
pp t
1 q} C xpjqy
{4
72 ERIC
FRED FAURE AND MASATO TSUJII
2d`1
for any multiindex P Z` with  2.
Remark 10.5. For the derivatives of fjj t t
1 and fjj1 with respect to z, we always
contact diffeomorphisms.
Proof. Since htjj1 defined in (10.12) is a fibered contact diffeomorphism, its Taylor
expansion up to the first order at the origin is of the form
x x0 A1,1 0 0 x h1 pxq
htjj1 y y0 ` A2,1 A2,2 0y ` h2 px, yq.
z z0 A3,1 0 1 z h3 pxq
We have the following estimates when 0 t 2tppjqq:
(1) x0  Cxpj1 qyp1{2q , y0  Cxpj1 qyp1{2q and z0  C.
(2) }A1,1 } xpjqy{4 , }A2,1 } xpjqy{4 , }A2,2 } e0 t , and26
t
(3) }Bw hjj1 }8 C xpjqy{4 for with  2, from (10.13),
provided that we take sufficiently small constant 0 0 in the definition of tpq.
Remark 10.6. For the second estimate on y0  in (1) above, recall that the origin
of the local chart j corresponds to a point on the section eu which is Holder
continuous.
From the relation (10.11) and the choice of atjj1 , we see that the diffeomorphism
fjj
t
1 is expressed as
x 0
fjj
t
1
y xpj1 qy y0
z 0
A1,1 0 0 x
` xpj1 qy A2,1 xpjqy xpj1 qy A2,2 0y
0 0 1 z
g1 pxq
` xpj1 qy g2 px, xpjqy yq
g3 pxq
where we put p1 qp1{2 q ` 4 for brevity and the functions gi pq for
i 1, 2, 3 are those obtained from hi pq by changing the variable x by a translation.
The required estimates follow immediately from this expression.
In the case where pjq and pj1 q are relatively close to each other, we have
Corollary 10.7. Suppose that j, j1 P J satisfies the condition
(10.17) xy x 1 y xy1{2
with pjq and 1 pj1 q. Then the diffeomorphism fjj
t
1 for 0 t 2tppjqq
where
(1) atjj1 P A2 is the affine transform that we chose just before Lemma 10.4,
26We do not need the estimate on }A } as it is determined by x and A .
3,1 0 1,1
THE SEMICLASSICAL ZETA FUNCTION 73
t
(2) Bjj 1 is a linear map of the form (10.14) (or (4.8) with t 0) with the linear
t 1 1
G tgjj1  pjq , pj q satisfies (10.17), and 0 t 2tpqu
z 0 0 0 1 z
where a2,2 is that in the claim of Lemma 10.4. This corresponds to the differential
Dfjj
t
1 in Lemma 10.4 (2). But notice that we omitted the term a2,1 , which enjoys
the estimate
}a2,1 } Cxpjqyp1qp1{23q Cxpjqy3
and is incorporated in the nonlinear term
t t 1 t t 1
gjj1 pajj1 q fjj1 pBjj1 q .
The claims other than (3) are obvious. We can check that Claim (3) follows from
t
Lemma 10.4 by elementary estimates using the fact that the expansion rate of fjj 1
t 2max tpq
and Bj,j1 (and their inverses) for 0 t 2tppjqq are bounded by Ce
Cxpjqy{4 , provided that we choose sufficiently small 0 in the definition of tpq.
We next consider the functions btj1 tjj1 that appears as the coefficient in the
1
definition (10.4) of Lt,
jj1 . As a bound for this function, we define
(10.19) bt1 : maxtbt1 px, y, zq  px, y, zq P supp j1 u.
j j
Corollary 10.8. There exists a constant C,k 0 for each multiindices and
integer k 0 such that
(10.20) }B B k pbt1 t 1 q}8 C,k bt1 maxtxpjqy, xpj1 qyup1q{2
w z j jj j
Proof. From Remark 9.2, the functions j1 and j satisfy the conditions on the
derivatives stronger than that given in the condition (C2). This is also true for
the function btj1 fjj
t t
1 b j . Hence we can get the corollary by estimating the
t
distortion of fjj 1 using Lemma 10.4, recalling Remark 10.5 for the derivatives with
t
From Lemma 4.6, the operator norm of Lpfjj j1 qlift with respect to the L2 norm
1,
t
is bounded by that of Lpfjj1 , j1 q and hence by some uniform constant C. Note
t
that, since the function j1 px, y, zq does not depend on z and since fjj 1 is a fibered
contact diffeomorphism, this operator will not enlarge the support of the function
in the z direction. Hence, for the proof of the lemma, it is enough to show
}Mpbtj1 tjj1 qlift : L2 psupp qpjq q L2 psupp qpj1 q q} C btj1 xpj1 q pjqy
t
for any t 0 with a uniform constant C 0. Since fjj 1 is a fibered contact
diffeomorphism and is just a translation in the lines parallel to the zaxis, there
exists a constant Ck 0 for each k 0 such that
}Bzk pbtj1 tjj1 q}8 Ck btj1 for any t 0.
p
If we set btj1 tjj1 and let pw, z q be that defined in (9.2), we have
p
sup pw, z q Ck btj1 xz yk
w
1
In the next lemma, we give a coarse estimate on the component Lt,
jj1 . This
is a crude estimate and will be used to get rough bounds for components that are
far from the trapped set X0 . (So we do not pursue optimality in any sense for this
lemma and its consequences.) We set
A E1{2 1
p, w q xyp1`q{2 xy1{24 w  for P Z and w P R2d`d
so that
#
xyp1`q{2 , if w  xy1{2`4 ;
p, w q
xy1{4p3{2q pxyw q1{2 , if w  xy1{2`4 .
t
We actually state the lemma for the operator B Lp fjj t t
1 , bj1 jj1 q B . Recall
1 1
from (10.4) that Lt,
jj1 is just this operator followed by the multiplication by j1 .
and the function Kpq in the integrand satisfies the following estimate: There exists
a constant C 0 for each 0 (independent of j, j1 and t), such that
(10.21) Kpw2 , z 2 ; w1 , w
1
, z1 ; w, w , z q
A E
C xy p, w q1 xz yppDfjj t 1
1 qw 2 q w xz1 yw
1

xxy1{2 pfjj t
1q
1 pw2 q wy xx 1 y1{2 w2 w1 y x 1 y
To proceed, we again consider the two cases in (9.7) separately. In the case (ii),
we may suppose that we have an extra factor xym with arbitrary m 0 on the
righthand side of (10.23) and (10.24), as we noted in the proof of Lemma 9.11.
Then such an estimate can be obtained by crude estimates using Lemma 10.4.
In the case (i), we need more precise estimates, but the estimates are still easy.
The condition w2 px2 , y 2 q P ppx,yqpsupp tjj1 q implies that x2  Cxy1{2` .
Then, from Lemma 4.21 and Lemma 10.4(3), it is easy to see
z Bx2 jj1 px2 q C p, w q for any multiindex H.
We may and do assume that w w and pfjj
2 t
1q
1
pw2 q w is bounded by
Cxy1{2` for some constant C 0, because, otherwise, the last factor on the right
hand side of (10.10) is bounded by C xym for arbitrarily large m and, hence, we
can prove the claims easily as in the case (ii). Then, under such an assumption, it
is straightforward to check the claims (10.23) and (10.24) using (9.9), Lemma 10.4
and Corollary 10.8.
For ease of use in the next section, we derive a corollary from the last lemma.
1
We write t,
jj1 for the supremum of the quantity appearing in (10.21),
A E1
ppjq, w q1 xz yppDfjj
t 1
1 qw 2 q w xz1 yw
1

(10.25)
xxpjqy1{2 pfjj
t
1q
1 pw2 q wy xxpj1 qy1{2 w2 w1 y xpj1 q pjqy
Hpw, w , z q
inftxz z2 y xxz y1{2 w w
2
y xxz y1{2 w w2 y  pw2 , w
2
, z2 q P supp j1 u,
1
4d`2d `1
which measures the distance of a point pw, w , z q P Rpw,z ,z q
from the support of
1
the function j1 . We regard the operator Lt,
jj1 as the composition of
1
(10.27) MpH q B Lpfjj
t t t
1 , bj1 jj1 q B
: Kr, L2 pR4d`2d `1 q
j
and
1 1
(10.28) j1 q B MpH q : L2 pR4d`2d `1 q Kr,
Mpj1 q B Mp j1
for some large 0. We already have estimates on the kernels of
B Lpf t 1 , bt1 t 1 q B and B Mp
jj j jj j1 q B
in Lemma 10.11 and (in the proof of) Lemma 9.3 respectively. With using those
estimates, we see that, if is sufficiently large, the kernels of these operators are
THE SEMICLASSICAL ZETA FUNCTION 77
1
squareintegrable as functions on pR4d`2d `1 q2 and therefore the operators (10.27)
and (10.28) are HilbertSchmidt operators27. Their HilbertSchmidt norms are
just the L2 norm of their kernels and easy to estimate. Indeed, for a very crude
1
bound for the volume of the supports of j and j1 , we may take some power
1
of maxtxpjqy, xpj1 qy, empjq , empj q u. Then, from the estimates on the kernels men
1
tioned above and the definition of t, jj1 , the HilbertSchmidt norms of the op
erators above are bounded respectively by
1 1
t,
C pjj1 q maxtxpjqy, xpj1 qy, empjq , empj q um0 {2
and
1
C maxtxpjqy, xpj1 qy, empjq , empj q um0 {2
1
for sufficiently large m0 . Since the trace norm of Lt,
jj1 is bounded by the product
of the HilbertSchmidt norms of (10.27) and (10.28), we obtain the claim.
we will see that the weight 2rmpjq in the definition (6.14) of the norm on Kr,
takes effect and makes the operator norms small (at least if the constants k0 0
and r 0 are sufficiently large).
Correspondingly to the classification of the components above, we decompose
1
the transfer operator Lt, into three parts:
1 1 1 1
(11.1) Lt, Lt,
low ` Lt,
ctr ` Lt,
hyp
1 1
where the low frequency part Lt,
low (resp. the central part Lt,
ctr , the hyperbolic
1
t,
part Lhyp ) is defined as the operator that consists of only the low frequency (resp.
1
central, hyperbolic) components of Lt, . For instance, the low frequency part
1
Lt,
low is defined by
t,1
t,1
Llow u Ljj1 uj for u puj qjPJ ,
low j1 PJ
1
where low is the sum over j P J such that Lt,
jj1 is a low frequency component.
Remark 11.2. In some places below, we will let the constant k0 be larger to get
preferred estimates. If we let k0 be larger, the components classified as central
and hyperbolic components will become fewer and this will enable us to get better
uniform estimates for the corresponding parts. Of course then the components
classified as low frequency components will increase. But, since we need only a few
simple estimates for this part, this will not cause any problem.
11.2. The central part. For the central components, we prove two propositions.
The first one below is a counterpart of Proposition 7.12 for the lifted operators
and corresponding to Theorem 4.17 in the linear setting. Let us recall the operator
1 1
T
from Definition 7.4. For simplicity, we write T for T
when 1 .
Proposition 11.3. Let , 1 P . There exist constants 0 and C 1 for each
0 such that
1 1 1
t,
}T 1 Lctr T : Kr, Kr, } C x 1 y ,
1 1 1
}T1 Lt,
ctr p T q : Kr, Kr, } C xy x 1 y ,
1 1 1
}p1 T1 q Lt,
ctr T : Kr, Kr, } C xyx 1 y
for any , 1 P Z and 0 t 2tpq, and further, if the condition (7.7) with respect
to and 1 holds, then we have
1 1 1
}p1 T1 q Lt,
ctr p T q : Kr, Kr, } C e0 t x 1 y
for any , 1 P Z and 0 t 2tpq.
Proof. We prove the claims assuming that the condition (10.17) for and 1 holds
because, otherwise, the claims follow immediately from Lemma 10.9. (See Remark
11.6.) The following lemma is the componentwise version of Proposition 11.3, in
which we write T for the restrictions of T T
to each Kr,
j with mpjq 0.
Lemma 11.4. There exist constants 0 and C 0 for each 0, independent
1
of , 1 P Z, such that, for any central component Lt,
jj1 with pjq , pj1 q 1
THE SEMICLASSICAL ZETA FUNCTION 79
for 0 t 2tppjqq, and further, if the condition (7.7) with respect to and 1
holds for t in addition, then
1 1 1
}p1 T1 q Lt,
jj1 p1 T q : Kr,
j Kr,
j1 } C e
0 t
x 1 y .
Proof. We first prove the claim that, if 0 t 2tpq satisfies the condition (7.7)
with respect to and 1 , then
1 1
}Lt,
jj1 : Kr,
j Kr, 1
j1 } C x y
.
t
We express the diffeomorphism fjj1 as in Corollary 10.7 and correspondingly write
1
the operator Lt,
jj1 as
1
r,
MpXn0 ppj1 qq qpj1 q q Llift
a M
lift t
pjj1 atjj1 q Llift lift
g L B : Kj Kr,
j1
where Llift
a , Lg
lift
and Llift t t
B are the lifts of transfer operators for ajj1 , gjj1 and
t lift
Bjj1 respectively. We regard that the rightmost factor LB above as an operator
1
from Kr,
j to L2 pWr, q : L2 pR4d`2d `1 , pWr, q2 q and that the rest is that from
1 1
L2 pWr, q to Kr, lift 2
j1 . For the latter, we also note that T0 : L pW
r,
q L2 pWr, q
1
is bounded for any combination of , P from Theorem 4.17 (1).
Recall the function Y defined in (9.11) and also Lemma 4.7 and Remark 4.8 for
the operator Llift
a . Then we see
1
}MpXn0 ppj1 qq qpj1 q q Llift 2
a Mp1 Y q : L pW
r,
q Kr, 1
j1 } C x y .
From this and Theorem 4.17 (2) for Llift B , we see that the difference between the
t,1
operator Ljj 1 and
r, 1
MpXn0 ppj1 qq qpj1 q q Llift
a MpY q M
lift t
pjj1 atjj1 q Llift
g Llift
B : Kj Kr,
j1
Corollary 9.6 and Corollary 10.8 yield the estimate that the operator norm of the
operator above other than the rightmost factor Llift t 1
B is bounded by C bj1 x y .
On the other hand, from Theorem 4.17, the operator norm of bj1 LB is bounded
t lift
by a constant C0 . (For this, recall the definition (4.9) of the operator Lt appearing
in Theorem 4.17.) Therefore we obtain the claim.
Now we prove the claims of the lemma. The proofs of the four claims are all
similar to that in the preceding paragraphs. Below we prove the second claim and
1 1
mention for the other cases at the end. We write T1 Lt,jj1 p1 T q as
(11.2) MpXn0 ppj1 qq q T0lift MpXn0 ppj1 qq qpj1 q q Llift
a
Let us denote by 11jj1 (resp. 1jj1 ) the indicator function of the subset
1
r jj
tpx, y, x , y , z q P R4d`2d `1  px, yq P D t t
1 (resp. px, yq P Djj1 qu.
1
We first approximate the operator Mt,
jj1 by
1 1
(11.5) t,
M Mp11jj1 q Mt, Mp1jj1 q,
jj1 jj1
by cutting off the tail part. By crude estimates using the localized properties of
1
the kernels of the operators Tpjq and Lt,
jj1 , given in Corollary 4.18 and Lemma
r 1 and Dt 1 , we see that
10.11, together with the definitions of D t
jj jj
1 1 1
}Mt, t,
M : Kr, Kr,
x 1 y
(11.6) jj1 jj1 j j1 } C xy
for puj qjPJ P Kr, . Therefore the claims of Proposition 11.3 follow if we prove the
t,1 t,
1
required estimates with Mjj 1 replaced by M jj1 .
By boundedness of the intersection multiplicities of (11.4), we have
2
1
Mjj1 uj
t,
j1 :pj1 q 1 ,mpj1 q0 j:pjq,mpjq0 r,1
Kj1
2
t,1 r, r,1
C Mjj1 : Kj Kj1 }Mp1jj1 quj }2Kr,
j
j1 :pj1 q 1 ,mpj1 q0 j:pjq,mpjq0
and also
}Mp1jj1 quj }2Kr, C}uj }2Kr, .
j j
j1 :pj1 q 1 ,mpj1 q0
1 1
Hence, applying the claims of Lemma 11.4 to the term }Mt,
jj1 : Kr,
j Kr,
j1 },
we obtain the required estimates.
Remark 11.6. In the case where (10.17) does not hold, we have
x 1 y maxtxy1{2 , x 1 y1{2 u{2,
and we can prove Lemma 11.4 by crude estimate using Lemma 10.11. We do not
need the argument on the intersection multiplicity as above because we have the
factor x 1 y maxtxy, x 1 yu{2 . (See Remark 11.5.)
The second proposition below is essentially same as Proposition 7.13 but stated
in terms of lifted operators.
82 ERIC
FRED FAURE AND MASATO TSUJII
ptt1 q,1
where Ljj1 is defined in (10.4), but we read (10.6) as
ptt1 q ptt1 q 1 1 1
jj1 bj1 tt
ppK1 fG t
K 0 f G q j1 q j1 j fjtt
1 j .
1 1
tt t
Here we have the additional factor pK1 fG K 0 f G q j1 , but this hardly
affects the argument below as we noted in Remark 10.1. The following lemma is
the componentwise version of the claims (11.8) and (11.9).
Lemma 11.9. There exist constants 0 and C 0 for any 0, independent
of , 1 P Z and 0 t1 2tpq, such that we have
1 ptt1 q,1 1
(11.10) }T1 Ljj1 T : Kr,
j Kr, 1
j1 } C x y
THE SEMICLASSICAL ZETA FUNCTION 83
and
1 ptt1 q,1 1
(11.11) }p1 T1 q Ljj1 T : Kr,
j Kr, 1
j1 } C xy x y
(1) at
jj1 is an affine transform in the group A2 ,
t
(2) the inverse of Bjj 1 is a hyperbolic linear map of the form (4.8) with the
t 1 1
G tgjj1  pjq , pj q satisfy (10.17), and 0 t 2tpqu,
Since bt
j1 C det Ap 1  det A1{2 , the claim (11.10) follows from these estimates.
To prove the claim (11.11), we express the operator on its lefthand side as the
composition of (11.13) and (11.14), with T0lift in (11.13) replaced by p1 T0lift q. The
ptt1 q 1
operator T0lift commutes with BLpBjj1 , 1qB and approximately with Mpj q
84 ERIC
FRED FAURE AND MASATO TSUJII
The claims of Proposition 11.7 are obtained by summing the estimates for the
components in Lemma 11.9. We actually have to deal with the same problem as
that in deducing Proposition 11.3 from Lemma 11.4. But we omit it because the
argument is exactly same as that in the proof of Proposition 11.3.
1
11.3. The hyperbolic part. We next consider the hyperbolic part Lt, hyp . We
decompose it further into two parts. For this, we first introduce the new index
$
&mpjq ` p1{2q logxpjqy, if mpjq 0;
(11.15)
mpjq mpjq p1{2q logxpjqy, if mpjq 0;
%
0, if mpjq 0.
Recall that the frequency vector of the wave packet w,w ,z pq is pxz yw , z q and
its distance from the trapped set X0 , disregarding the normalization mentioned in
Remark 4.5, is xz y1{2 pp , y , q , yq. The absolute value of mpjq
is directly related
to this distance (without normalization). Indeed, from the definition, we have
empjq1
xz y1{2 pp , y , q , yq empjq`1
for pw, w , z q P supp j ,
provided that 0 mpjq n1 pq. (In the case mpjq n1 pq, we can get a similar
estimate but need modification related to the factor E,n in the definition of j .)
Motivated by the observations (Ob3) in Subsection 10.1, we introduce
Definition 11.11 (The relation t ). We write j t j1 for j, j1 P J and t 0 if
either of the following conditions holds true:
(1) mpjq
1 q 0, or
0 and mpj
1
(2) mpjq
mpj 1 q mpjq
q 0 and mpj ` rt0 s 10.
Otherwise we write j t j1 .
Remark 11.12. For the argument below, we ask the readers to observe that the
1
relation j t j1 implies that ppDfjj
t
1q
1
q psupp j q is separated from supp j1
for t satisfying the condition (7.7), at least if pjq and 1 pj1 q satisfy
(10.17) and that mpjq, mpj1 q n1 pq. (For this, Remark 6.1 will be useful.) We
will give a related quantitative estimate in Lemma 11.15.
THE SEMICLASSICAL ZETA FUNCTION 85
and
1 1
Lt,
hyp, u Lt,
jj1 uj
j:jt j1 j1 PJ
1
where the sum j:jt j1 (resp. j:jt j1 ) denotes that over j such that Lt,
jj1 is a
t 1 t 1
hyperbolic component and that j j (resp. j j ) holds. Obviously we have
1 1 1
(11.16) Lt,
hyp Lt, t,
hyp, ` Lhyp, .
and
1 1
(11.18) }1 Lt, t, 1
hyp, } } 1 Lhyp, }Tr C xy
x 1 y
for any , 1 P Z and 0 t 2tpq provided that the condition (7.7) holds.
Proof. The first claim follows from the claims (11.17) and (11.18). Below we first
1
prove (11.17) on the part Lt,
hyp, . We restrict ourselves to the case where (10.17)
holds for , 1 P Z by the same reason as in the proofs of a few previous propositions.
First we prove the following lemma for the components.
Proof. In the case where mpjq 0 and mpj1 q 0, the conclusion is a direct con
sequence of Lemma 10.9 and the definition (6.14) of the weight on Kr,j . Below
we prove the lemma for the case mpjq 0, but the case mpj1 q 0 is proved in a
parallel manner.
Recall that the image and target spaces of Ltjj1 are
1 1 1
Kr,
j1 L2 psupp j1 , 22rmpj q q, Kr,
j L2 psupp j , pWr, q2 q.
1
If er0 t erpmpj qn0 ppjqqq , we get the required estimate easily by Lemma 10.9
because C 1 ern0 pq Wr, pq Ce`rn0 pq on supp j supp ,0 . Below we
1
assume er0 t erpmpj qn0 ppjqqq . But this implies
1 1
(11.20) empj qn0 ppjqq e0 t xpj1 qy and so empj q xpj1 qy2
1
and hence both of the supports of j1 and j are contained in that of the func
tion Y in (9.11). This enables us to use the argument we have used in the
t
proof of Lemma 11.4. We express fjj 1 as in Corollary 10.7 and note that, if
t
the nonlinear diffeomorphism gjj1 were identity, we could conclude (11.19) with
pm, ; m1 , 1 ; tq er0 t x 1 y immediately from the precise estimate on
the kernel of Ltjj1 in Lemma 9.11 and Lemma 4.7. But, by virtue of Lemma 9.3
t
and the estimate (9.12) in its proof, we may indeed replace gjj 1 by the identity
We deduce the claim (11.17) from the estimates (11.19) by the argument parallel
to that in the latter part of the proof of Proposition 11.3. To begin with we note
the following estimate; Since btj1 ep1{4qr0 t from the choice of r in (6.13), we have
(11.21) sup bt1 pm, ; m1 , 1 ; tq C ep1{2qr0 t x 1 y
j
m m1
and
(11.22) sup bt1 pm, ; m1 , 1 ; tq C ep1{2qr0 t x 1 y .
j
m1 m
1
We write Ljj1 for the j j1 component of Lt,hyp, for brevity. As in the proof
r
of Proposition 11.3, we approximate it by Ljj1 Mp11jj1 q Ljj1 Mp1jj1 q
where 11jj1 and 1jj1 are those defined in the paragraph preceding (11.5). It is not
difficult to see
1
r jj1 : Kr, Kr,
}Ljj1 L 2
pmpjq, pjq; mpj1 q, pj1 q; tq
j j1 } C xy
THE SEMICLASSICAL ZETA FUNCTION 87
from the proof of Lemma 11.14. Hence, from the uniform boundedness of the
intersection multiplicity of the sets (11.4) and Remark 11.5, we obtain
2
t,1
2
}1 Lhyp, u}Kr,1 r
Ljj1 uj
1 1 1 1
m j : ,m m j:,m
r,1
Kj1
1
` C xy x y }u}2Kr,
r,
for u puj qjPJ P K , where j:,m denotes the sum over j P J such that pjq
and mpjq m and so on. For the sum of the righthand side, we have
2
r jj1 uj
L
m1 1 1 1 m
r,1
j : ,m j:,m Kj1
2
r0 t{2 1 t 1 1 1
C e x y pbj1 p, m; , m ; tqq Ljj1 uj
m,m1 j1 : 1 ,m 1
1
j:,m Kr,
j1
C er0 t{2 x 1 y bt1 p, m; 1 , m1 ; tq }uj }2 r,
j K j
m,m1 j:,m
2 2
C er0 t x 1 y2 }uj }Kr, C er0 x 1 y2 }u}Kr,
j
m j:,m
consideration. Also, from Remark 11.12 and the construction of E,m in Subsection
6.2, the claim may be intuitively rather obvious. This is indeed the case, however,
because of the involved definition of ,m , we need to separate several cases and go
through cumbersome estimates that are not very essential. Thereby we defer the
proof of Lemma 11.15 to Section A in the appendix.
Once we obtain Lemma 11.15, we combine it with Corollary 10.12 to bound the
1
t,1
trace norms of the components of Lt,
hyp, . Observe that the term pjj1 q in the
bound thus obtained dominates the latter factor in (10.26) provided is sufficiently
large. Hence we conclude the claim (11.18) simply by summing such bounds on the
trace norms.
Remark 11.16. For the proof of Theorem 2.3 in Section B in the appendix, we
will actually need a little more information above the constants C and C1 in the
claims of Proposition 11.13. Note that the constant C in (11.17) comes from that
88 ERIC
FRED FAURE AND MASATO TSUJII
1 1
11.5. The operator T . Let us recall the operator T
from Definition 7.4.
The following is the counterpart of Lemma 7.11.
1 1
Lemma 11.20. Let , 1 P . The operator T : Kr, Kr, is bounded and
its operator norm is bounded uniformly in . There is a constant C0 0 such that
1 1
(11.27) }I Mp1 K1 q pI q T : Kr, Kr, } C0 xy
for any P Z. For the trace norm, we have that
1 1
(11.28) }I MpK1 q pI q T : Kr, Kr, }Tr C0 xyd
for any P Z. Further, for each P Z with  k0 , there exists a finite dimen
sional vector subspace V pq Kr, pK1 q with dim V pq xyd{C0 such that
1
(11.29) }I MpK1 q pI q T I u}Kr,1 C01 }u}Kr, for all u P V pq.
1
Proof. Recall the definition (7.4) of T
and note that we have a precise de
scription of the kernel of T0lift from Corollary 4.18. Then we obtain the uniform
1
boundedness of the operator norm of T and the claim (11.27) as immediate
consequences. To prove (11.28), it is enough to show, for some constant C 0
independent of , that
1 1
}I MpK1 q pIj q MpXn0 pq q T0lift : Kr,
j Kr, }Tr Cxy2d
for any j P J with pjq and mpjq 0, because the cardinality of the element
j P J satisfying pjq and mpjq 0 is bounded by Cxyp1{2q2d . To prove
this claim, we express the operator on the lefthand side above as integration of
rank one operators by applying Corollary 4.18 to T0lift . Applying Lemma 9.11 to
1
the j j1 component of I MpK1 q pI q with mpjq 0, we see that those rank
one operators are uniformly bounded. Therefore we get the required inequality by
using triangle inequality on the trace norm.
We prove the last claim as a consequence of Lemma 9.14. Suppose that c 0
is sufficiently small. Then, for each P Z, we can choose a finite subset J in
tj P J  pjq , mpjq 0u so that #J cxyp1{2q2d and that the supports of
j 1
j for j P J are separated by distance not less than cxy1{2` . By choosing
the points in J appropriately (and also a if necessary), we may and do assume
that, for some 0 independent of , the function j for each j P J takes constant
value 1 on the subset
1
tpw, zq P R2d`d `1  w xy1{2` , z u.
Let W pq be the finite dimensional subspace given in Lemma 9.14 and put
1
V pq : pj q pW pqq C 8 pK0 q.
jPJ
This is a direct sum because the subspaces on the righthand side are almost or
thogonal28 from the assumption made above. Hence we have
dim V pq dim W pq #J C01 xyd
for some constant C0 0 independent of . From (9.19), we have (11.29) for
v P p1
j q W pq and j P J . Then it extends to all v P V pq again by almost
1
orthogonality between the images of p1
j q pW pqq by I MpK1 qpI q T .
28Here and a few lines below, we mean by almost orthogonal that we have the estimate
corresponding to (8.18).
90 ERIC
FRED FAURE AND MASATO TSUJII
11.6. Short time estimates. Lastly we give an estimate on the lifted operator
1
Lt, for small t 0. This is the counterpart of Lemma 7.14.
Lemma 11.21. Suppose that , 1 P satisfies 1 . Then there exist constants
t 0 and C 0 for each 0 such that
1 1 1
(11.30) }1 peit Lt, L0, q : Kr, Kr, } C t x 1 y
for 0 t t and , 1 P Z. The limit
1 1 1
(11.31) A,1 : lim 1 peit Lt, L0, q
t`0 t
1
exists and is a bounded operator from Kr, to Kr, satisfying
1
(11.32) }A,1 : Kr, Kr, } C x 1 y .
Proof. From the expression (10.4), we can write the j j1 component of
1
(11.33) 1 peit Lt L0 q
t
with pjq and pj1 q 1 as
1 it t 0 0
Mppj1 q,mpj1 q q B e t
Lpfjj t 0
1 , bj1 jj1 q Lpfjj1 , bj1 jj1 q B .
t
t 0
Note that we have fjj 1 px, y, zq fjj1 px, y, z ` tq for sufficiently small t, provided
that the both sides are defined. Therefore, setting Tt px, y, zq px, y, z ` tq, we
rewrite the operator above in the middle as
1 it t t t 0 0 0
(11.34) e Lpfjj 1 , bj1 jj1 q Lpfjj1 , bj1 jj1 q
t
1 1
t
peit ei t q Lpfjj t t
1 , bj1 jj1 q
t
1 t
i 1 t t t 0 0
`e L fjj1 , b 1 jj1 pbj1 jj1 q Tt
t j
1
ei t 0 0 0
` LpTt , 1q Id Lpfjj 1 , bj1 jj1 q.
t
Correspondingly we decompose (11.33) into three parts L0 , L1 and L2 , which have
the first, the second and the third operators on the righthand side above respec
tively in their pj j1 qcomponents.
To prove the former claim in the lemma, it is enough to prove
1
(11.35) }Lk : Kr, Kr, } C x 1 y for k 0, 1, 2
uniformly for small t 0. The case k 0 is obvious, because we have the same
1
estimate for 1 Lt, by Proposition 11.3, Proposition 11.13 and Lemma
1
11.18 and because t1 peit ei t q is bounded by 2x 1 y. For the case k 1,
1
we note that the only difference between the operators 1 Lt, and L1
is that the multiplication by btj1 tjj1 in each component is replaced with that by
pbtj1 tjj1 pb0j1 0jj1 q Tt q{t. Since the last function satisfies the similar estimates
for the derivatives and the support as btj1 tjj1 , we can follow the argument in the
previous subsections to get (11.35) for k 1. For the case k 2, we regard the
0,1
components of the operator L2 as the operators Ljj 1 postcomposed by the lift
THE SEMICLASSICAL ZETA FUNCTION 91
of t1 peit LpTt , 1q Idq. Since the supports of the functions in Kr, j1 is contained
in r 1 1, 1 ` 1s in the coordinate z , the operator norm of
lift
1 i1 t 1 1 1
pe LpTt , 1q Idq P Mpt1 peipz qt 1qq : Kjr,
1 Kr,
j1
t
is bounded by 2. Therefore we obtain (11.35) in the case k 2.
To prove the latter claim on A,1 , we consider the limit t `0 in the argument
above. Convergence of (11.31) is clear from the expression (11.34). Then the
estimate (11.32) follows from (11.30).
Proof of Proposition 7.8. Applying Proposition 11.3, Proposition 11.13 and Lemma
1
11.18 to the central, hyperbolic and low frequency parts of Lt, respectively, we
see that there exists a constant C 0 for any 0 such that
1
(11.36) }1 Lt : Kr, Kr, } C x 1 y
for 0 t 2t0 satisfying (7.7). (Note that tpq t0 by definition.) By the
definition of the norm on Kr, , this implies
1
(11.37) }Lt : Kr, Kr, } C for 0 t 2t0 satisfying (7.7).
Then, in view of the commutative diagram (10.2), we get
1
}Lt : Kr, pK0 q Kr, pK0 q} C for 0 t 2t0 satisfying (7.7).
We obtain the last claim of Proposition 7.8 by iterative use of this estimate.
Proof of Lemma 7.9. We consider the inequality (11.36) for the case t 0, but
with Lt replaced by Lt MpKi q, i 0, 1. (Recall Remark 10.1.) Then we have
1 1
(11.38) }1 I MpKi q pI q : Kr, Kr, } C x 1 y
and hence
1 1
(11.39) }I MpKi q pI q : Kr, Kr, } C
1
provided . From the definition of the norm } }Kr, in Definition 6.6, we have
}u}2Kr, } I u}2Kr, and
1
}Q u}2Kr,1 }p1 I MpK0 q pI q q I u}2Kr,1 .
1
Proof of Lemma 7.11. We deduce the claims from Lemma 11.20. From uniform
1 1
boundedness of T
given in Lemma 11.20 and the fact that T
for different
acts on different components in effect, there exists a constant C 0 such that
the operator norm of
1 `1 1
T : Kr, Kr, `1
PZ
92 ERIC
FRED FAURE AND MASATO TSUJII
for any subset Z Z is bounded uniformly by C. The claim (7.9) follows from this
and (11.39) because the operator norm in (7.9) is bounded by that of
1 1 `1 1 `1 1
I MpK1 q pI q T : Kr, Kr, .
PZ
We next prove the latter claims (a) and (b) in Lemma 7.11. Since
1 1 1
}T : Kr, pK0 q Kr, pK0 q}Tr }I MpK1 q pI q T : Kr, Kr, }Tr ,
the upper bound in (7.10) follows from (11.28). The claim (b) is basically a literal
translation of the latter claim in Lemma 11.20. The estimates (7.11) and (7.12)
are immediate consequences of (11.29) and (11.38). Finally we see that the lower
bound in (7.10) is a consequence of the claim (b).
Proof of Proposition 7.12. We first prove the claim (7.13). From (11.39) and the
commutative diagram (10.2), we have that
1
}T1 Lt T : Kr, pK0 q Kr, pK0 q}
1 1 1 1
`1
C}I MpK1 q pI `1 q T1
1 Lt,1 T : Kr, Kr, }
1 1
`1
C}T1
1 Lt,1 T : Kr, Kr, `1 }
1 1 1
C}T1`1 Lt, `1 T : Kr, Kr, `1 }
where Lt,1 is to be read as the lift of Lt MpK1 q. (Recall Remark 10.1.) We
1
decompose Lt, `1 as in (11.1) and apply Proposition 11.3, Lemma 11.17 and
Lemma 11.18 to each part, noting uniform boundedness of T and the relation
1 1 1
(11.40) T
T
T
.
Then we obtain the first claim:
1
}T1 Lt T : Kr, pK0 q Kr, pK0 q}
C x 1 y ` C xy x 1 y ` C x 1 y xy C x 1 y .
We can prove (7.14), (7.15), (7.16) in a parallel manner. Just note that, in proving
the last inequality, we apply Proposition 11.13 instead of Lemma 11.17 for the
hyperbolic part.
11.7.1. Proof of Proposition 7.13. The statements are direct consequences of those
in Proposition 11.7. In proving (7.19) and (7.20), we use (11.27) and (11.39) to
deal with the multiplication operators MpK0 q and MpK1 q.
11.7.2. Proof of Lemma 7.14. The statements are direct consequences of those in
Lemma 11.21, but with Lt replaced by Lt MpK0 q. (Recall Remark 10.1 again.)
For the last statement on replacement of Q with T , we use the relation (11.40).
The cases where these conditions do not hold are treated in a parallel and simpler
manner. (See Remark A.2.) Further we may and do assume
1
(3) mintmaxtempjq , xpjqyu, maxtempj q , xpj1 qyuu is large, and
(4) emax 2tpq xy{10
by choosing large constant k0 in the definition of the lowfrequency part and small
constant 0 0 in the definition of tpq in (7.1) respectively.
For simplicity, we set pjq, 1 pj1 q, m mpjq, m1 mpj1 q. Below we
consider points
(A.1) w2 P supp tjj1 ,
(A.2) p pw, w , z q pq, p, y, q , p , y , z q P supp j and
1
1 1 1
(A.3) p pw , w , z1 q 1 1
pq , p , y 1
, q1 , p1 , y1 , z1 q P supp j1
and estimate the quantity (10.25). By changing the coordinates by a transformation
in A2 , we may and do assume
(5) ppx,zq pw2 q 0 and ppx,zq ppft 1 q1 pw2 qq 0
jj
1
without loss of generality. From the assumption that Lt,
jj1 is a component of
1
Lt, 1
hyp, , we have m m 0 and hence
1
(A.4) emaxtm,m u en0 pq C 1 xy .
We can get the conclusion of the lemma for small 0 easily by using (A.4) if either
1 1
x 1 y1{2 w1 w2  emaxtm,m u{3 or xy1{2 w pfjj
t
1q
1
pw2 q emaxtm,m u{3 .
Therefore we will assume
1
(6) maxt x 1 y1{2 w1 w2 , xy1{2 w pfjj
t
1q
1
pw2 q u emaxtm,m u{3 .
We prove the following claim under the additional assumptions above.
Sublemma A.1. There exists a constant C0 0 such that
(A.5) pD E,m q1 pfjj
t t 1
1 pwq, ppD fjj1 qw 2 q w , z q pw1 , pxz1 y{xz yqw
1
, z q
1
C01 ep2{3q maxtm,m u xy1{2 ,
where D E,m is the linear map defined in (6.8).
We defer the proof of this sublemma for a while and finish the proof of Lemma
11.15. We show that wcomponent of the quantity on the left hand side of (A.5),
i.e. E,m pfjj
t 1
1 pwq w q, is much smaller than the righthand side of (A.5). In
than the righthand side of (A.5) from (4), (5), (6) and (A.4). In the case
m n1 pq, we have em C01 xy1 and hence
E,m pfjj
t 1 t 1
1 pwq w q e pmq fjj1 pwq w  xy
p1qp1{2q`4
fjj
t 1
1 pwq w 
To finish, we prove
(A.7) xyp1`q{2 xxy1{24 w y1{2 ppDfjj
t 1
1 qw 2 q pxz yw q xz1 yw
1

1
pC02 q1 maxt, 1 , em , em  u0
for a small constant 0 0. Clearly the required estimate in Lemma 11.15 follows
from this claim. In the case xy1{24 w  2, we may neglect the second factor
on the left hand side and hence obtain (A.7) immediately using (A.4) and (A.6).
Thus we consider the case xy1{24 w  2 below. In this case, we have
1
xy1{2 w  emaxtm,m u`2 e pmq
from (A.2), (5) and (6). Hence it holds
1
xxy1{24 w y1{2 xy1{4`2 w 1{2 e maxtm,m u{21 xy2 e pmq1{2
and the lefthand side of (A.7) is bounded from below by
1
peC01 q1 xyp3{2q emaxtm,m u{6 e pmq1{2 .
1 1
Since e pmq e maxtm,m u emaxtm,m u{20 , we obtain (A.7) again.
Proof of Sublemma A.1. For the points p and p1 in (A.2) and (A.3), we set
(A.8) x, y, x , y , z q : pD E,m q1 ppq pD E,m q1 pw, w , z q,
p
(A.9) x1 , y1 , x1 , y1 , z q : pD E,m1 q1 pp1 q pD E,m1 q1 pw1 , w
p 1
, z q,
and
1 1 1
(A.14) pq , p q 21{2 xz1 y1{2 pq1 , p1 q Cemaxtm,m u{3 x 1 y1{2 .
THE SEMICLASSICAL ZETA FUNCTION 95
From the former estimate and the condition (A.2), we see that the point (A.8)
1
satisfies the following conditions up to errors bounded by Cemaxtm,m u{3 xy1{2 :
For the distance from the origin,
(A.15) em1 xy1{2 pq , y, p , y q em`1 xy1{2 if m 0,
(A.16) pq , y, p , y q e xy1{2` if m 0
(A.19) y  e0 t 
 y  ` Ce pmq xyp1{2`3q .
Recall the diffeomorphism htjj1 in (10.12), which is roughly the flow fG
t
viewed in
the local charts without the factor E,m . By the relation (10.11), we have
(A.20) px , y , z q pE,m
q1 E1 ppDhtjj1 qw q pE q1 E,m
px , y , z q
where w zq E pw2 , zq.
is chosen so that pw,
To proceed, let us first consider the case where m n1 pq and m1  n1 p 1 q.
In this case, we have e pmq e1 pm1 q 1, E,m E1 ,m1 Id and therefore the
t
correspondence (A.20) is given by nothing but the map fjj 1 . Then, by Lemma 10.4,
the errors mentioned about the estimates (A.15) (A.18) and the corre
sponding estimates on py 1 , x1 , y1 q, and
the difference between xz1 y{xz y and 1,
t
then the conclusion (A.11) is an easy consequence of hyperbolicity of fjj 1 . But we
can check easily that the differences above are negligible in fact.
Next we consider the case m n2 pq and m1  n2 p 1 q, the other extreme. In
this case, we have E,m E and E1 ,m1 E1 and therefore the correspondence
(A.20) is given by the map htjj1 . Note that htjj1 is given as iteration of the
maps satisfying the conditions in Lemma 10.3 and therefore have nice hyperbolic
property. (Note that Lemma 10.3 is valid only for 0 t 2t0 .) Then we can get
the conclusion (A.11) by essentially same manner as in the previous case.
The situations in the middle, i.e. the case where either n1 pq m n2 pq or
n1 p 1 q m1  n2 p 1 q is slightly more complicated. If m m1  2max t, it is
1
easy to get the conclusion (A.11) because the ratio between em and em  is much
larger (or smaller) than the expansion (or contraction) given by the correspondence
(A.20). So we may assume m m1  2max t. If we have e pmq e1 pm1 q and
E,m E1 ,m1 , we can see that the correspondence (A.20) has good hyperbolic
property in the same manner as in the proof of Lemma 10.4 and hence we can get
the conclusion (A.20) again. But, from the slowly varying property (6.7) of e pmq,
it is clear that the conclusion remains true without this assumption.
96 ERIC
FRED FAURE AND MASATO TSUJII
Remark A.2. In the case where the condition (i) in (7.7) holds and 0 t t0 ,
we can follow the argument given in the proof above. The only difference is that,
t
instead of the condition t t0 that ensure enough hyperbolicity of fG , we use the
1
fact that in the estimates. In the case where the condition (10.17) does not
hold, the proof is much simpler. We can obtain the conclusion immediately unless
both of mpjq and mpj1 q satisfy mpjq n2 pq and mpj1 q n2 p 1 q. But, in such
case, the conclusion is again easy to obtain as we mentioned in the proof above.
Proof. The part L p is upper triangular and satisfies }L} p C by the definition of
t
the relation in Definition 11.11 and Proposition 11.13. From Lemma 11.18 and
Proposition 11.13, we know that the operators Lslow and Lshyp, are trace class
operators and their trace
norms are bounded uniformly for30 s P rt0 , 2t0 ` 2s. It
remains to show that ps tq Lsctr ds and Ltctr Lpq are trace class operators and
that their traces are uniformly bounded for t0 t 2t0 and P P. These claims
follow if we show
(B.6) }pLpq Lt qjj1 : Krj Krj1 }Tr C xpjqy xpjq pj1 qy xmpjqy
30Actually we proved this for s P rt , 2t s. But it is easy to see that the estimates remain true
0 0
for rt0 , 2t0 ` 2s.
THE SEMICLASSICAL ZETA FUNCTION 99
for j, j1 P J with mpj1 q 0 and t0 t 2t0 . Note that, if we apply the argument
in the proofs of Lemma 10.11 and Corollary 10.12 to pLpq Lt qjj1 , we obtain
the required estimate (B.6) without the term xpjqy on the righthand side. To
retain the term xpjqy , we make use of the additional integration with respect
t`t1 t 1 1
to time in Lpq. Since fjj 1 pw, zq fjj1 pw, zq ` p0, t q when t  is sufficiently
small, such integration will reduce the j1 components of the image with large pj1 q.
Indeed, if we (additionally) apply integration by parts to that integral with respect
to time using the differential operator D p1 iz1 Bt qp1 ` z1 2 q for several times,
we obtain the extra factor xpjqy .
Proof. From the proof of Lemma B.5 above, we see that Tr5 Lpq is welldefined,
that is, the sum over j P J in the definition converges absolutely. Hence we obtain
Tr5 Lt Tr5 pI Lt pI q q Tr5 pLt pI q I q Tr5 Lt
by rotating the order of composition in the middle.
B.3. The flat trace of the iteration of the resolvent. Let us put
8
pnq tn1 ets0
(B.7) R p1 pt{p2t0 qqq Lt dt
0 pn 1q!
and
8
pnq tn1 ets0
(B.8) R p1 pt{p2t0 qqq Lt dt
0 pn 1q!
where the function pq is that in (5.2).
Remark B.7. The operator Rpnq above is defined as an approximation of Rps0 qn
and the difference is
8
r pnq : Rps0 qn Rpnq tn1 ets0
(B.9) R pt{p2t0 qq Lt dt.
0 pn 1q!
We put the part Rr pnq aside because we can not treat the operators Lt with small
t 0 in the same way as those with large t 0. Since the flat trace and also
the operator norm of R r pnq on K
r r pK0 q converges to zero superexponentially fast
as n 8, this does not cause any essential problem, though it introduces some
complication in a few places below.
We take constants r01 r02 such that
r0 Reps0 q ` p1{4qr0 r01 r02 Reps0 q ` p1{2qr0 .
Lemma B.8. There exists a constant C 0, independent of n, such that the
operator Rpnq is expressed as a sum Rpnq R p pnq ` R
q pnq and
q pnq : Kr Kr is a trace class operator, while
(1) R
p pnq : Kr Kr is upper triangular and satisfies
(2) R
p pnq } Cpr02 qn .
}R
100 ERIC
FRED FAURE AND MASATO TSUJII
Proof. Using the periodic partition of unity tq uPZ defined in (6.1), we set31
tn1 es0 t
qpnq ptq q ptq p1 pt{p2t0 qq ,
pn 1q!
pnq
so that r2t0 s1 q ptq p1 pt{p2t0 qq ptn1 es0 t q{pn 1q! and that
8
Rpnq Lpqpnq q
r2t0 s1
from the definition (B.5). We deduce the claims of the lemma from
Claim 1. For arbitrarily small 0, there exists a constant C 0, independent
pnq
of n, such that the operators Lpq q for n 1 are decomposed as
p pnq q ` Lpq
Lpqpnq q Lpq q pnq q
p pnq q} C n1
(B.10) }Lpq epReps0 q`p1{2qr0 q` n ,
pn 1q!
q pnq q are trace class operators satisfying
while Lpq
8
(B.11) q pnq q}Tr `8.
}Lpq
r2t0 s1
Then the first claim (1) of the lemma follows from (B.11). The second claim (2)
p pnq is upper triangular from Lemma B.4 and because
also follows because R
8
8
p pnq } p pnq q} C n1
}R }Lpq epReps0 q`p1{2qr0 q` n
pn 1q!
r2t0 s1 r2t0 s1
8 n1
t
C epReps0 q`p1{2qr0 qt` n dt
0 pn 1q!
8 n
pReps0 q`p1{2qr0 qt
n
Ce e dt Cpr02 qn
0
from (B.10). We give the proof of Claim 1 below to complete the proof.
31Note that the variable P Z does not indicate the frequency as in the previous sections but
the range of time, now and henceforth.
THE SEMICLASSICAL ZETA FUNCTION 101
Note that, from Lemma B.5 and the estimate noted in the beginning, we see
pn 1q! n`1 eReps0 q n Lp p `L
qpnq q Lt1 L q
p is upper triangular and }L}
where L p C while L
q is in the trace class and }L}
q Tr C,
with C 0 a constant independent of n and . So we may rewrite the first term
on the righthand side of (B.13) as
n1 tkpq p
(B.14) eReps0 q` n Lhyp, Lthyp,
2
L
pn 1q!
n1 tkpq q
` eReps0 q` n Lhyp, Lthyp,
2
L.
pn 1q!
p pnq q in Claim 1 be the first term of (B.14) above and Lpq
Let Lpq q pnq q be the
remainder, that is, the sum of the second term in (B.14) and the sum on the second
line of (B.13). By Lemma B.4, Lpqp pnq q is upper triangular. Since
t n1 eReps0 q` n
}pLtj Lhyp,
j
qpnq q}Tr C
q Lp
pn 1q!
102 ERIC
FRED FAURE AND MASATO TSUJII
for a constant C 0 independent of n and , from the latter claim of Lemma B.5
and uniform boundedness of P. Hence we have
kpq
t t t
kpq
}Lhyp, j`1
Lhyp, pLtj Lhyp,
j
qpnq q Ltj1 Lt1 }Tr
q Lp
j2
kpq
t t t
kpq
}Lhyp, j`1
} }Lhyp, } }pLtj Lhyp,
j
qpnq q}Tr }Ltj1 Lt1 }
q Lp
j2
n1 epReps0 qP q` n
C by (B.1) and (B.15).
pn 1q!
This bound is again summable with respect to , provided is sufficiently small.
Therefore we obtain the estimate (B.11).
r r pK0 q K
Corollary B.9. The essential spectral radius of Rps0 q : K r r pK0 q is
2 1
bounded by pr0 q .
r r pK0 q K
Proof. We consider the decomposition of Rps0 qn : K r r pK0 q into
r pnq ,
R p pnq I R
R p pnq I q pnq I R
and R q pnq I
where Rr pnq is that in (B.9). From the last lemma, the operator norm of R p pnq on
r 2 n
K pK0 q is bounded by Cpr0 q with C 0 independent of n, and R q on K pK0 q is
pnq r
a trace class operator. Further it is not difficult to see that these remain true when
we regard Rp pnq and Rq pnq as operators on K r r pK0 q Kr pK0 q
r r pK0 q, because Lt0 : K
is bounded from Proposition 7.8. Therefore, recalling Remark B.7 for R r pnq , we
n 2 n
obtain that the essential spectral radius of Rps0 q is bounded by Cpr0 q and
hence by pr02 qn from the multiplicative property of essential spectral radius.
r r pK0 q K
Corollary B.9 implies that the spectral set of Rps0 q : K r r pK0 q on the
1 1
outside of the disk z pr0 q consists of discrete eigenvalues i , 1 i m,
counted with multiplicity. Since ARps0 q s0 Rps0 q ` 1, we have
`
Rps0 q ps0 1 q A Rps0 q.
This implies that i s are in onetoone correspondence to the eigenvalues i , 1
i m, of the generator A in the disk Dps0 , r01 q by the relation
8
1
i es0 t ei t dt.
s 0 i 0
Remark B.10. Since the argument above holds for any s0 satisfying Reps0 q P ,
the spectrum of the generator A on the halfplane Repsq p1{4qr0 consists of
discrete eigenvalues with finite multiplicity and the resolvent Rpsq is meromorphic
on that halfplane.
r r pK0 q K
Let : K r r pK0 q be the spectral projector of Rps0 q for the spectral set
ti ui1 on the outside of the disk z r01 . This is also the spectral projector of
m
Proof of Claim 2. Below we prove the claim in the case I 1 I 2 because, otherwise,
we can get the conclusion by a similar but much easier argument using Remark B.9.
We translate the claim to that on the lifted operators. Let us put
lift : I I : Kr Kr .
We write
8
r pnq tn1 ets0
(B.18) R pt{p2t0 qq Lt dt,
0 pn 1q!
so that 8
pnq tn1 ets0
r pnq I Rps0 qn I
R `R Lt dt.
0 pn 1q!
Then, from Corollary B.6, the inequality in Claim 2 is equivalent to
2 1
I I
5 r pn2
piqq pn1
piqq
(B.19) lift
Tr p1 q R R Cr0n 2I .
i1 i1
Since we are assuming I 1 I 2 and since the operators on the left hand side above
commute, we may write the operator on the lefthand side above as
#
I1 r pn2 piqq Rpn1 piqq ,
lift R if 1 i I 2 ;
(B.20) pp1 q Ri q setting Ri 1
i1
Rpn piqq , if I 2 i I 1 .
104 ERIC
FRED FAURE AND MASATO TSUJII
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