NONCOMMUTATIVE

HARMONIC ANALYSIS

MICHAEL E. TAYLOR

American Mathematical Society

Providence, Rhode Island
 Contents

Introduction ix

0. Some Basic Concepts of Lie Group Representation Theory 1

1. One parameter groups of operators 1
2. Representations of Lie groups, convolution algebras, and Lie algebras 9
3. Representations of distributions and universal enveloping algebras 17
4. Irreducible representations of Lie groups 27
5. Varieties of Lie groups 34

1. The Heisenberg Group

1. Construction of the Heisenberg group Hn
2. Representations of Hn
3. Convolution operators on Hnand the Weyl calculus
4. Automorphisms of Hn; the symplectic group
5. The Bargmann-Fok representation
6.(Sub)Laplacians on Hnand harmonic oscillators
7. Functional calculus for Heisenberg Laplacians and for harmonic
oscillator Hamiltonians
8. The wave equation on the Heisenberg group

2. The Unitary Group 87

1. Representation theory for SU(2), S0(3), and some variants 87
2. Representation theory for U(n) 92
+
3. The subelliptic operator X i X: on SU(2) 98

3. Compact Lie Groups 104

1. Weyl orthogonality relations and the Peter-Weyl theorem 104
2. Roots, weights, and the Borel-Weil theorem 110'
3. Representations of compact groups on eigenspaces of Laplace
operators 119
 CONTENTS vii

12. Spinors
1. Clifford algebras and spinors
2. Spinor bundles and the Dirac operator
3. Spinors on four-dimensional Riemannian manifolds
4. Spinors on four-dimensional Lorentz manifolds
13. Semisimple Lie Groups
1. Introduction to semisimple Lie groups
2. Some representations of semisimple Lie groups
Appendixes
A. The Fourier transform and tempered distributions 287
B. The spectral theorem 292
C. The Radon transform on Euclidean space 298
D. Analytic vectors, and exponentiation of Lie algebra representations 300
References 313
Index 327
mi INTRODUCTION

up a great deal of information about harmonic analysis on spheres and hyperbolic

space. For the past twenty years or so it has been an active line of inquiry to see
how the spectral analysis of the Laplacian on a general manifold (especially in
the compact case) stores up geometric information, and how such analysis can
be achieved by parametrices for the heat equation and for the wave equation.
To give another illustration of this point of view, we mention a PDE approach
to the proof of the subordination identity (1.11). We begin with the observation

Some Basic Concepts of

. - Lie Group Representation Theory
obtain proof of the Poisson integral formula for n = 1. But

The purpose of this introductory chapter is to provide some background for

the analysis to be presented in subsequent chapters. We give precise notions
of strongly continuous representations of Lie groups, and show how they give
= (2~)-'[(y - is)-' + (y +is)-'] rise to various sorts of representations of convolution algebras, Lie algebras,
and universal enveloping algebras. We point out some special features of ir-
= n-'y/(y2 +
s2).
reducible representations, particularly irreducible unitary representations. We
This proves the subordination identity (1.11). A more classical method of proof will be mainly concerned with unitary representations in this monograph, but
we have included general discussions of Banach space representations in this in-
troductory chapter, since on the general level considered here it does not matter
~ " ~ r ( 2 z=) 222-'I?(2)I?(z + 4) usually; we do not hesitate to retreat to unitary representations when a more
general situation would entail the slightest additional complication.
for the gamma function. The subordination identity will make another appear- We also recall some of the order that has been imposed on the panoply of Lie
ance, in Chapter 1, $7, in a study of various PDEs on the Heisenberg group. groups. We assume the reader has had an exposure to Lie groups, so many of the
The reader will find that, once the material of the introductory Chapter 0 is subjects of this introductory chapter should be familiar. We have concentrated
understood subsequent chapters can be read in almost any order, and by and on some of the technical elementary aspects, which tend not to be covered in
introductory Lie group texts, having to do with the fact that infinite-dimensional
representations generally have unbounded generators. $1 gets things started,
with a discussion of one parameter groups of operators and their generators.

can be bypassed without affecting one's understanding of subsequent chapters. 1. One parameter groups of operators. In this section we look at r e p
resentations of the Lie group R of real numbers. If B is a Banach space, a one
parameter group of operators on B is a set of bounded operators

satisfying the group homomorphism property

(1.2) V(s + t) = V(s)V(t), for all s, t E R,

and

(1.3)
 BASIC CONCEPTS 3

The groups we will mainly be considering are unitary groups, i.e., strongly
continuous groups of operators U(t)on a Hilbert space H such that
(1.10) U(t)*= U(t)-' = U(-t).
Clearly, in this case, IIU(t)ll = 1. The translation group 72 on L2(R),a special
case of (1.5)-(1.6), is a unitary group.
A one parameter group V ( t )of operators on B has associated an infinitesimal
generator A, which is an operator, often unbounded, on B, defined by
(1.11) Au = lim h-'(V(h)u - u )
h-+O
on the domain
(1.12) D(A) = { u E B : s- lim h-'(V(h)u - u ) exists in B}.
h-0
PROPOSITION
1.2. The infinitesimal generator A of V ( t )9.i a closed, densely
defined operator. We have
(1.13) V ( t )D(A) c D(A) for all t E R,
and
(1.14) AV(t)u = (d/dt)V(t)u for u E D(A).
If (1.9) holds and ReX > K , then X belongs to the resolvent set of A and

An operator A with domain D(A) is said to be closed provided

or equivalently, that the graph

is closed in B $ B.
Our proof of Proposition 1.2 follows some notes of Nelson [184],as will our
proof of Proposition 1.3. First, if u E D(A), then, for t E R,
(1.18) hdl(V(h)V(t)u- V ( t ) u )= V(t)h-l(V(h)u- u),
which immediately gives (1.13),and also (1.14),if we replace V ( h ) V ( t )in (1.18)
+
by V ( t h). To show D(A) is dense in B, let u E B, and consider

(1.19) u, = E-' ~ ( dt.

t ) ~

A brief calculation gives

(1.20) h-'(V(h)u, - u,) = E-'
[h-' v ( t ) udt - h-I bhv ( ~ ) u
dt]
 BASIC CONCEPTS 5

We will not take the space to characterize which operators A in general are
generators of one parameter groups, but we will characterize the generators of
unitary groups, as skew adjoint operators. We define this notion.
For a densely defined operator A on a Hilbert space H, its adjoint A* has
domain

and we define A* by
(1.27) (A'u,v ) = (u,Av) . for u E D(A'), v E D(A).
An operator is called selfadjoint if
(1.28) D(A) = D ( A ' ) and A* = A,
and skew adjoint if
(1.29) D(A) = D(A*) and A' = -A.
Note that A is selfadjoint if and only if i A is skew adjoint.
We say that A is symmetric (resp. skew symmetric) if D(A) C D(A') and
A'u = Au (resp. A'u = -Au) for u E D(A). If A is symmetric, then
(1.30) Im((Af i)u,u ) = I I u I ~ ~ for u E D(A),
so clearly the maps

are injective, with closed range if A is closed. The following result, due to von
Neumann, can be found in many functional analysis books, e.g., [49, 192, 193,
2561.
THEOREM 1.4. Let A be a closed symmetric operator. Then A is selfadjoint
if and only if the maps (1.31) are both onto, equivalently, i f and only ifi and -i
belong to the resolvent set of A. In such a case, the operators
Ul = (A+i)(A-i)-' and U2 = (A-i)(A+i)-'
are unitary.

- As shown in these references, a densely defined operator A has a closure

A, i.e., a linear operator whose graph is the closure of Qa, if and only if
the adjoint is densely defined (in which case 3 = A"). In particular, if A is
symmetric (or skew symmetric) then A has a closure ?. We say A is essentially
selfadjoint provided its closure is selfadjoint. A corollary of Theorem 1.4 is that
+
a symmetric operator A is essentially selfadjoint if and only if A i and A - i
both have dense range.
Skew adjoint operators are related to unitary groups as follows.
 BASIC CONCEPTS 7
6 BASIC CONCEPTS

THEOREM1.5. If U(t) is a unitary group, its infinitesimal generator is skew For these concepts to be significant, we need to know these spaces are dense
in B. Such facts are easily proved by refinements of the argument in Proposition
adjoint.
1.2, showing that D(A) is dense in B. In fact, for u E B, consider
PROOF.
Suppose u, v E D(A). Then
(1.32) (Au, u) = lim h-'((U(h)
h-+O
- I)u, v ) .
For each h # 0, the right side of (1.32) is equal to Here we will take the notation j(-iA) to be merely symbolic for the right side
of (1.39). Motivation for this notation can be found in the discussion of the
(1.33) h-l(u, (U(-h) - I)u), spectral theorem in Appendii B. If p E C r ( R ) , then the identity
which tends in the limit h + 0 to (u, -Au), i.e., m

(1.34) (Au, U) = -(u, Au) for u, u E D(A).

(1.40) V(s)j(-iA)u =
Lm m
p(t)V(s + t)udt
Hence A is skew symmetric. Now Proposition 1.2 implies A is closed and f1 are
in the resolvent set of A, so Theorem 1.4 implies A is skew adjoint.
= Lm p(t - s)V(t)u dt

This is half of a theorem of Stone. The other half is the converse: clearly shows that j(-iA)u is a Cm vector. Note that

THEOREM1.6. If A is a skew adjoint operator on a Hilbert space, then A

generates a unitary group
(1.41) A'$(-i~)u = Lm
m
p(k)(t)~(t)udt.

Now if p E C r ( R ) is picked, so that Jp(t)dt = 1, set pj(t) = jp(jt), so p, E

(1.35) U(t) = etA.
C r ( R ) , and, by the strong continuity (1.4),
This converse is intimately related to the spectral theorem, and is proved
in Appendii B. Note that, if A is bounded and skew adjoint, the power series
expansion
00 It follows that, for any strongly continuous group V(t) on a Banach space B,
(1.36) etA = C ( l / n ! ) t n ~ " the space of smooth vectors is dense in B. More generally, the same arguments
n=O show that
is easily verified, via power series manipulation, to define a unitary group.
More generally, if A is any bounded operator on a Banach space B, the power
series (1.36) defines a one parameter group V(t) on B. for k = O,1,2,. .., where D(Ak) is given the usual graph norm.
If the group V(t) has a bounded infinitesimal generator A, not only is the We can derive results on analytic vectors by looking at (1.39) with
power series (1.36) valid, but also, for any u E B, F(t) = V(t)u is a Cw, indeed
a real analytic function o f t E R, with values in B. Indeed, F(t) extends to an
entire analytic function of t E C, in this case. If the infinitesimal generator A By (1.9), the formula (1.39) is well defined, with p = p,, for each E > 0. Fur-
of V(t) is not bounded (equivalently, by the closed graph theorem, if A is not thermore, we continue to have (1.40), i.e.,
everywhere defined) then of course if u E B but u 4 D(A), then F(t) = V(t)u is
not even C1. We shall say u E B is a "Cm vectorn for V provided F(t) = V(t)u
is a Cm function o f t with values in B. It is clear that
(1.45) V(s)fi,(-iA)u = (4n~)-'/'
1 e - ( t - 9 ) 2 / 4 E ~ ( tdt.
)~

(1.37) u is a Cw vector e u E D(Ak) for all k.
Furthermore, we say u is an "analytic vector" for V provided F(t) = V(t)u is a
real analytic function oft. It is easy to see this condition is equivalent to having
F(t) extend to a strip (Imtl < K, by exploiting the group property. Also,
(1.38) u is an analytic vector e l l ~ ~ u5l l~ ( C l c ) ~
for some C = C(U).
Now it is clear that the right side of (1.45) is holomorphic in s E C. Since one
has
for s1,s2 E R, by analytic continuation, this continues to hold for sl,sz E C,
if (1.45) defines V(s)j,(-iA)u for s E C. Thus, for each E > 0, each u E B,
j,(-iA)u is an analytic vector (in fact, an entire analytic vector) for V(t). In
8 BASIC CONCEPTS
analogy with (1.42), it is clear that for each u E B,j,(-iA)u -+ u as E -, 0,so
it follows that the space of analytic vectors for V(t) is dense in B.
In the case when U(t) = eitA is a unitary group on a Hilbert space H, so
A is selfadjoint, then the algebraic linear span of the ranges of the projections
E((-j, j ) ) , where E is the spectral measure of A, is dense in H , and each el-
ement in this linear span is an analytic vector. In the noncommutative case,
the denseness of smooth and analytic vectors requires an argument generalizing
that of the previous paragraph, rather than a simple application of the spectral
theorem. We say more about this in the next section.
Another notation for (1.39) is V(p):
(1.47) V(p)u = / p(t)V(t)udt.
As we noted, this is well defined for p E C r ( R ) . If V(t) is uniformly bounded,
particularly if it is a unitary group, then (1.4) defines a bounded operator for
any p E L1(R). A simple calculation shows that
(1.48) V(PI * ~ 2 =) V ( P ~ ) ~ ( P Z )
where the convolution pl * pz is defined by
The identity (1.48) is equivalent to
(1.50) (jlj2)(-iA) = jl(-iA)j2(-iA),
in the notation of (1.39), where jj is the Fourier transform of pj. We will make
extensive use in the next section of the natural generalization of (1.47) to the
case of a representation of a Lie group, so we will not dwell further on it here.
To end this section, we specify the infinitesimal generators for the groups 7,
on LP(R), 15 p < oo,given by (1.6). Clearly u E LP(R) belongs to the domain
D(Ap) of the generator if and only if
(1.51) h-'(f (X- h) - f (XI)
converges in LP norm as h 4 0, to some limit. Note that the limit of (1.51)
always exists in the distribution space D1(R), and is equal to
(1.52) -(dldx)f,
where dldx is applied in the sense of distributions. Using the theory of distri-
butions, one can show that
(1.53) D(Ap) = {f E LP(R): (d/dx)f E LP(R))
and
(1.54) A, f = -(d/dx) f for f E D(Ap),
where in (1.53) and (1.54), dldz is applied a priori in the distributional sense.
Indeed, from what has just been said, it is clear that D(Ap) is contained in
the right side of (1.53). To prove the reverse containment, one could apply the
following general result.
BASIC CONCEPTS 9
LEMMA1.7. Let V(t) be a one parameter group on B, with infinitesimal
generator A. Let L be a weak' dense linear subspace of the dual space B*.
Suppose that u, v E B, and that
(1.55) lim h-'(~(h)u - u, w)= (v, w) for all w E L.
h-0
Then u E D(A), and Au = v .
PROOF. The hypothesis (1.55) implies (V(t)u, w)is differentiable, and
(dldt)(V(t)u, w)= (V(t)v, w)
for all w E L. Hence (V(t)u - u, w)= $(v(s)v, w)ds for all w E L. The weak'
denseness of L implies V(t)u - u = Sj V(s)v ds, so the convergence in B-norm
of h-'(V(h)u - u) = h-' J: V(s)v ds to v as h -+ 0 is apparent.
2. Representation8 of Lie groups, convolution algebras, a n d Lie
algebras. Let G be a Lie group, with identity element e, and let B be a Banach
space. A representation n of G on B is a family of bounded operators
satisfying the properties of being a group homomorphism:
and
and satisfying the condition of strong continuity:
If, in addition, B = H is a Hilbert space, and each n(g) is a unitary operator on
H, so that
then we say ir is a unitary representation of G.
As the results on the special case G = R in $1suggest, to develop the theory of
representations of the group G, it is important to be able to integrate over G. We
endow G with a smooth left invariant measure, called a Haar measure, as follows.
We define an n-form on G, n = dim G. First, pick a nonvanishing element w(e) E
An T:(G); this is determined up to a scalar multiple since dim/\" T,'(G) = 1. If
is defined by
(2.7) lg(g1) = 991,
then define w(g) E An T,'(G) by
 11
10 BASIC CONCEPTS BASIC CONCEPTS

where As indicated in $1, it is very useful to consider the action a representation n

of G on B induces on C r (G). We set
(2.9) Dlg-1 : Tg(G) + TJG)
is the natural derivative map and (Dl,-,)* is its adjoint. This defines a left
(2.14) n(f )u = lD f (g)n(g)u dg.
invariant differential form w on G: If f E Cg(G), or more generally if f is any integrable function on G with
compact support, then (2.14) defines a bounded operator on B. If {n(g) : g E G)
(2.10) liw=w forallgcG. is uniformly bounded, in particular if n is a unitary representation of G, then
This form w is nowhere vanishing, and is clearly determined uniquely, up to a (2.14) defines a bounded operator for all f E L1(G). Note that, for gl E G,
constant factor. In particular, it defines an orientation on G. Integration of w
with respect to this orientation defines a left invariant measure, which we denote
(2.15) .(g~)*(f)u = /o f (g)r(!J~!I)udg
dg. Note that
= jc f (g~~s)n(g)u&.
(2.11) f (s) do = j
G
f (glg) dg
It follows that
for all g1 E G. The measure dg depends on our choice of w(e) E An T,'(G).
Another choice wl(e) would differ by a scalar factor c, and then the new form
(2.16) n(f2)r(fi) = 11 hb1)n(P1) dg~fi(g)n(g)dg

would differ from w by the constant factor c, and hence d'g would differ from dg
by the constant factor icl, so Haar measure is well defined by the prescription
= / h(g~)f~(g;l)x(g)dg~dg,

above, up to a constant factor. i.e.,

In a similar fashion, using right translation, one can construct a smooth right (2.17) r(fi)n(fi) = 4 f 2 * fi)
invariant measure d,g on G, well defined up to a constant multiple. Left and
where the convolution j2* fi is defined by
right invariant measures may or may not coincide, depending on the nature of G.
We will say more about this later. If they do coincide, G is called unimodular. (2.18) f2 * fib) = f2(rl)fI(e;'s)dgl.
The term "Haar measure" in this context is a slight misnomer. Haar solved
the more delicate problem of showing that every locally compact topological Another immediate implication of (2.15) is that, for any u E B, any f E
group has a locally finite left invariant Baire measure. The construction given C r ( G ) , n(f)u is a Cm vector, where we say v E B is a Cm vector for a
above for Lie groups is quite simple and was known long before Haar's work. representation n provided that F(g) = n(g)v is a Cm function on G, with values
These notes restrict attention to Lie groups. For foundational material on more in B. Let us denote the space of Cm vectors for n by
general locally compact topological groups, see, 1111,158, 2591. (2.19) Cm (n).
In analogy with the translation groups defined by (1.5)-(1.6), we have the
following representations of G on B = LP(G) = LP(G,dg), 15 p < a. It is clear that, if f j E C r ( G ) is a sequence of functions, each satisfying
Sc fj(g) dg = 1, supported in a sequence of small neighborhoods of e, shrinking
(2.12) XP(g)u(x) = u(~-'x), u E LP(G). to e, then
As in $1, we easily see that Xp satisfies (2.1)-(2.3). Also llXp(g)ll = 1 for all (2.20) n(fj)u +u in B
g E G, and IJXp(gl)- Xp(g2)11 = 2 if gl # 92. TO see that A, satisfies the for all u E B. It follows that the space Cm(n) of smooth vectors for n is dense
condition (2.4) of strong continuity, we can also argue as in $1.The convergence
in B. (In particular, if B is finite-dimensional, every vector is a smooth vector.)
1' (2.4) in LP(G) norm for u E CF(G) is elementary. But C r ( G ) is dense in LP(G)
More precisely, set
for 1 5 p < a,so (2.4) follows in general, by Lemma 1.1. The representations

j1:. (2.12) are called the left regular representations of G on LP(G). Similarly one
has right regular representations on LP(G, d,g):
(2.13) ~p(g)u(z)= u(x!J), U E LP(G,dl.9).
i
(2.21) $(n) = {n(f)u: u E B, f E C,"(G)).
g(n) is called the ''Gkding space" for n, following the important work of [08).
What we have shown is that
c CW(n),

1: Of course, the representations X2 and p2 are unitary representations of G. (2.22)

I

i
I
1 r
1
12 BASIC CONCEPTS BASIC CONCEPTS

and that $(n) is dense in B, for any (strongly continuous) representation n of for XI Y E g. (Compare (2.44).) It follows that
G on B. Fkom (2.15), it is clear that
(2.23) n(g) $ (T) c 5(n) for all g E G.
We are now ready to define the action which a representation n of G induces
on the Lie algebra g of G. We identify g with the tangent space T,G. Each
X E g is associated to a one parameter subgroup of G:
that is,
(2.24) 7x(t) = ex~(tX).
(2.36) n([X,Y])u = [r(X),n(Y)]u for u E $(n).
Thus,
In particular, if B is finite-dimensional, (2.36) holds for all u E B.
(2.25) Vx(t) = n(7x(t)) It is important to know that the Ghding space $(n) is dense in other spaces
is a (strongly continuous) one parameter group of operators on B. In $1 we besides the representation space B. For example, we claim $(n) is dense in the
discussed the infinitesimal generator of a one parameter group: domain D(a(X)) for each nonzero X E g, i.e.,

(2.26) Ax = lim h-'(Vx(h) - I) p is the closure

PROPOSITION2.1. The operator r(X) generating ~ ( e x tX)
h-0 of its restriction to $(n).
with domain
PROOF. This is a formal consequence of (2.29)-(2.31), in view of the following
(2.27) D(Ax) = {u E B : lim h-' (Vx(h)u - u) exists). general result.
h-0
We will denote this closed densely defined operator by n(X), PROPOSITION2.2. Let V(t) be a group (even a semigroup) of operators on
a Banach space B, with generator A. Let L C D(A) be a dense linear subspace
(2.28) a(X)u = lim h-'(~(exp hX)u - u), of B and suppose V(t)L c L for all t. Then A is the closure of its restriction to
h-0
L.
on the domain (2.27).
A special case of (2.23) is that PROOF. By Proposition 1.2, it suffices to show (A - A)(L) is dense in B if
ReX is sufficiently large. So suppose w E B* annihilates this range. Pick u E LI
(2.29) v x ( t ) $ ( ~ )c $(TI.
such that (u, w) # 0. Now (d/dt)(V(t)u, w) = (AV(t)u, w ) = (XV(t)u,w) since
We also note that V(t)u E f!. This implies (V(t)u, w) = eXt(u,w). But if X is picked so that
ReX > K where IIV(t)ll 5 MeKltl, this is impossible unless (u,w) = 0. This
(2.30) $(TI c D(n(X)) proves the proposition.
and Proposition 2.2 provides a very nice tool for obtaining results on essential
selfadjointness of iA, when V(t) is unitary, and also of all powers (iA)k. See
(2.31) 4x1 - c $(4.
Appendix B for more on this. As slick as arguments using Proposition 2.2 can
Indeed, let X$ be the right invariant vector field on G defined by be, it is also instructive to see directly that, for an appropriate approximate
identity f j E C r ( G ) , if u E D(r(X)), then n(fj)u -+ u in the topology of
(2.32) G f (9) = If5h-'[f ((exp hX)g) - f (g)] D(T(X)), i.e., n(X)a(fj)u converges to n(X)u in B. A direct attack on this in-
for f 6 Cm(G). From (2.15) we have volves comparing n(X)n(fj) with n(fj)a(X). This gives us an excuse to analyze
analogues of (2.15) and (2.33), with the order of the operator factors reversed.
For a(f)n(gl), gl E G, we have, in place of (2.15),

which gives (2.30)-(2.31). We note that the correspondence X

the Lie bracket structure as follows:
H X$ respects (2.37) n(f)nbi)u = 1 G
f(g)*(ggi)u 4.
Now the Haar measure dg was constructed to be left invariant, not necessarily
right invariant. But a right translate of dg is clearly still left invariant, so, as
 BASIC CONCEPTS BASIC CONCEPTS 15

stated before, it must be a scalar multiple of dg. Hence, for any integrable PROPOSITION 2.3. If u E D(n(X)), X E g, then
function h on G,
n(fj)u -* u in D(n(X))

where the factor A(gl), called the modular function, defines a homomorphism PROOF. What we must show is that
A:G-Rf
of G into the multiplicative group of positive real numbers. Hence (2.37) yields Since we know n(fj)n(X)u -
n(X)n(fj)u -n(X)u in B.

n(X)u, consider the sequence of commutators

Kju = n(X)a(fj)u - n(fj)n(X)u,
Now, for X E g, 7x(t) = exp tX, defined a priori for u E D(n(X)). We want to show that
Kju 0 for u E D(n(X)).
f (9) + A(X)f (9)
-+
(dldt)A(.yx(t))f (grx(t)-')lt=o = -Xf
where X z is the left inva~iantvector field on G matching up with X at T,G. By (2.33) and (2.43), we have
Note that, since Xf generates the flow of right translation by .yx(t), Kju = n((Xf - X$) fj) - A(X)n(fj).
div Xf = A(X). Clearly each K j extends uniquely to a bounded operator on B. In fact, we claim
Consequently, from (2.40) we derive, for u {Kj) is a unformly bounded family of operators on B. This follows because
D(n(X)),
Xf - XE is a vector field on G whose coefficients vanish at e. From the given
(2.43) n(f)n(X)u = a(-Xf f)u + A(X)n(f)u = n((Xf)* f)u, form of f j in local coordinates, it easily follows that
where (3:)' = -Xf +A(X) is the formal adjoint of Xf, as a first order Il(Xf - x$)fjllLl(G) 5 K < oo.
differential operator.
We remark that the Lie bracket on g is defined so that Since all f j are supported in a fixed compact set 8 , and since, by the uniform
boundedness theorem, we have a bound 11n(g)ll 5 M for g E 8 , the uniform
boundedness of {Kj) follows from (2.51). Thus, by Lemma 1.1, it suffices to

-
The difference in sign in (2.34) is explained as follows. Consider the diffeomor-
phism n: G G given by n(g) = g-l. This map produces a map n* on vector
fields, and, for X E g = T,G, we have
show that (2.49) holds on a dense linear subspace of B. In particular, it now
suffices to show (2.47) holds for any u = n(fo)u belonging to $(n). But, by
(2.33) and (2.17),
n(X)n(fj)*(fo)v = -n(X$fj)n(fo)v
= -n(X$ f j * fo)v.
Since n* preserves Lie brackets, this shows that (2.44) and (2.34) are equivalent.
One could imagine reversing conventions, i.e., reversing the signs in (2.34) and As j 4 oo, f j + 6, in E1(G), the space of compactly supported distributions on
(2.44), but this would mess up the signs in (2.36). This gives one reason for the
convention (2.44).
Suppose a sequence f j E C r ( G ) is picked as follows. Fix some coordinate
chart U about e E G, identified with the origin; you could use exponential
G, and it follows that
x$ f j * fo
This shows that n(X)n(fj)n(fo)v
-- X$ fo in CF(G).
n(X)n(fo)v as j -+ oo, and completes the
coordinates. Put Lebesgue measure on U, matching up with the coordinate proof of Proposition 2.3.
expression for Haar measure at e = 0. Let fl(z) E C r ( U ) , SU fl(z) dx = 1, A further denseness result is that $(n) is dense in Cw(n), where the space of

aj -+ 1 as j-
and set fj(z) = jnfi(jx), n = dimG. Then Su fj(x) dx = 1, and SG fj(g) dg =
co. We now establish the following result, which provides a
second proof of Proposition 2.1.
smooth vectors for n is given an appropriate Frkhet space topology. We shall
prove this in the next section, where we look at representations of distributions,
a topic suggested by the role of (2.53) in the proof of the last proposition. One
16 BASIC CONCEPTS BASIC CONCEPTS 17

consequence of the denseness of $(n) in Cm(n) would be to generalize (2.36) to exponentiated to Lie group representations, as explained in Appendix D. On the
u E Cw(a). However, it is better to show this directly: other hand, it is an important fact that for any Lie group representation n of G
on B, there is a dense subspace of B consisting of analytic vectors. This is also
PROPOSITION 2.4. We have, for X, Y E g, proved in Appendii D. It involves approximating u E B by a sequence
(2.54)
and
n(X) : Cm (n) -+ Cw (T),
(2.60) = lG fj(g)x(g)udg

(2.55) n([X,Y]) = [n(X),n(Y)]u, u E Cm(n). where f j is a sequence, not in CF(G) as before, but of strongly peaked functions
PROOF. The statement that @(g) = a(g)u is a C
O O function on G with which are analytic on G, with appropriate estimates. It is harder to construct
such f j than in the case of C?(G), but one can let fj(g) = h(tj, g), t j 1 0,
values in B implies that, for any differential operator P with smooth coefficients,
where h(t, g) is the fundamental solution to the heat equation (slat - A)h =
P@(g)is Cm also. Suppose P = Xf. Differentiability of n(g)u at g = e implies
0, t > 0, where A is the Laplace operator on G, endowed with some left invariant
u E D(n(X)), and
Riemannian metric. For details, see Appendii D.
(2.56) ~ $ n ( ~=
) ua(g)n(X)u. Once such a left invariant metric is imposed, one can show that, for any t > 0,
Since the left side of (2.56) is clearly C m with values in B, this proves (2.54). h(t,g) decreases faster than any exponential e-Kdist(g*e),as g + oo. If n is a
Furthermore, (2.56) implies strongly continuous representation of G on a Banach space B, it is easy to show
A(s)[A(X),r(Y)lu = n(g)n(X)r(Y)u - n(g)r(Y)n(X)u
= XfX;n(g)u - x;xfs(g)u for some C, M < m, in analogy with (1.9). Furthermore, because G with a left
= xpYIn(g)u = s(g)n([X,Y])u, invariant Riemannian metric is a homogeneous space, one can obtain an estimate
and setting g = e gives (2.55). (2.62) vol B R ( ~5) CeKR for all R,
The following is a useful characterization of the space of smooth vectors for
for some C, K < oo,where BR(e) = {g € G: dist(g, e) 5 R). It follows that
a representation r. We recall that if A1, A2 are (possibly unbounded) operators
on B with domains D(A1), D(A2), then the domain of AlA2 is defined to be
(2.57) D(AiA2) = {u E D(A2): A ~ Eu D(A1)).
is well defined for any continuous f on G satisfying an estimate of the form
PROPOSITION 2.5. Ij n is a representation of G on B, then u E B belongs
to Cm (n) if and only if
(2.58) u E D(n(Xjl). ..a(Xj,)) +
where L > M K. One can generalize this in various ways. As already stated,
for all Xj,E g, any k. if n is uniformly bounded, particularly if it is unitary, (2.63) is well defined for
any f E L1(G).
PROOF. As basically noted in the proof of Proposition 2.4, a(g)u is C1 if and
only if u E D(n(Xj)) for all X j E g, in which case Xfn(g)u is given by (2.56) 3. Representations of distributions a n d universal enveloping al-
for all X E g. Reasoning by induction on m shows that n(g)u is Cm if and only gebras. We want to extend the representation n(f) considered in $2 for f E
if (2.58) holds for all k 5 m, in which case CF(G) to the case where f is a compactly supported distribution on G, i.e.,
(2.59) X p .. X F n(g)u = x(g)n(Xjl) a(Xjk)u. f E &'(G). As we will see, this extension will specialize to a representation
of the universal enveloping algebra of g. As before, n is a strongly continuous
This proves the proposition. representation of G on a Banach space B. For simplicity we will assume B is
A class of vectors more restricted than smooth vectors is the class of analytic reflexive. We will first define
vectors, discussed in Appendii D. A vector u E B is an analytic vector for a
representation n of G provided n(g)u is an analytic function on G with values (3.1) n(k) : Cm (n) -, B
in B. Alternatively, one can impose appropriate estimates on (2.59) at g = e, to for k E &'(G). Recall that to say u E Cm(n) is to say
define the concept of an analytic vector for a Lie algebra representation. Analytic
vectors are useful objects to have, to show Lie algebra representations can be
 BASIC CONCEPTS
BASIC CONCEPTS 19
is a Cw function of g E G with values in B. Given w E B*, set
This implies @ is strongly Lipschitz (in particular, strongly continuous). This
= (A(s)u, 4.
(OU,W(S) gives ID,(@(x),w)l 5 CIIIWII,and hence there are unique Qj(x) E B such that
Clearly (pU,, E Cw(G). We want Dj(@(x),w)= (Q~(x),w);IIQj(z)II 5 GI.
Now if 8 is weakly C2, then each Q, is weakly C' and by the argument given
( m u , w) = ((OU,W, k) Q3 is continuous. Furthermore, if we write
to define n(k)u. Note that the right side of (3.4) is well defined. Since k acts as
a continuous linear functional on Cm(G), for some C,m and some compact 8 , (@(z+ Y),w)= (@(z),w)3. C Y J ( Q J ( ~ ) I W )
+ D2(@(z),w). Y . Y 3.R ~ ( z , YW)
,
I ( P u , w , ~5) ~CII(Ou,wllc-(~)5 CIIIPU~~C~(U)II~IIB.. where I Y ~ - ~ R ~y,(W)
Z , -,0 as y -t 0 and apply the uniform boundedness the*
If B is reflexive, this estimate shows that (3.4) defmes a unique element n(k)u E rem, we get
B. It is clear that, for u E Cw(a) fixed, the map
l ~ l - - ~ I l @ ( ~-+@(z)
Y ) - ~ Y , Q , ( ~ )5I(72.
I

is a continuous linear map of E1(G) into B. We can show that, for u E Cw(a),
a(k)u belongs to a subspace of B, as follows.
Note that, for g E G, from (2.15) and a limiting argument, we have
(n(g)n(k)u, w) = ((Ou,w,X(g)k) = (n(X(g)k)u,w)
where X(g): E' -,E' is the natural extension of X(g) : C r 4 C r defined by
This implies 8 is strongly differentiable, with derivative (Ql(z), ...,Qn(z)).
Thus, if @ is weakly C2 it is strongly C1. It follows easily that if 8 is weakly Ck
then it is strongly Ck-', and this proves the lemma.
Consequently we can elevate (3.10) to
~ ( k ) Cw(a)
: -,Cm(a) for k E E1(G).

X(g)f (gl) = f(g-'gl). It is now time to topologize the linear space Cw(r). For U c G relatively
In fact, (3.9) defines X(g) : Cw -, Cm, and on E' we define compact, XI,. ..,Xn a basis for g, and a = (a(l),. .., a ( N ) ) E (1,. .., n I N ,
consider the seminorms
X(g) = X(g-l)*.
It is clear that (3.7) is a smooth function of g E G, for any w E B*. In other = SUP
PU,~(U)
gEU
11~2")x S ~ . ( ~ ) T ( ~ ) ? & I I B
'''

words, for k E Et(G),

= SUP I l a ( x a ( ~ ) ).. ? ~ ( X ~ ( I ) ) ~ ~ ) U I I B .
n(k): Cm(a) -,CE(a) ~ E U

where we define C z ( a ) , the space of "weakly smooth" vectors, to consist of all The collection of these seminorms is easily seen to define a complete metric
u E B such that, for each w E B*, the function (o,,, on G defined by (3.3) topology on Cw(a), making Cw(a) a Fr6chet space. Note that an equivalent
belongs to Cm(G). We have the following useful result. family of seminorms defining the topology of Cw(n) is

LEMMA3.1. p ~ , ~ (= ) I I X ~ .I.),x L~
u sup a(g)ulls
Q ( ~ )
C$('n) = Cw (a). L7Er-J

PROOF.Let @(z) be a function from a closed set 8 in G (which we take to

be a ball in Rn, in some coordinate system) to B which is weakly C1. That is,
Consequently, another equivalent family of seminorms is
forw€B*,z,z+y€U,
(3.11) ( @ ( ~ + Y ) , w=)(@(z),w)+ C Y ~ D ~ ( @ ( X )+RI(z,Y,w)
,W) P)(.: = l l ~ ( X ~ ( 1..) .~(XQ(N))UIIB.
)
where lyl-'Rl(z, y, w) -, 0 as y -, 0 in Rn. The uniform boundedness theorem The estimate (3.5) shows that the map (3.1) is continuous. By the closed graph
theorem, we deduce the following.
+
~ Y ~ - ~Y)~-~@(z)ll
@ (5 ~GI. PROPOSITION
3 . 2 . For each k E E1(G), the map (3.15) is continuow.
 BASIC CONCEPTS BASIC CONCEPTS 21

Furthermore, the continuity of (3.6) from E1(G)to B together with the closed
graph theorem yields
( Y ) = f (g-ly)
PROPOSITION
3.3. For each u E Cm(n), the map
and we set
E' (G) 4 Cm ( n )
i l ( Y 1 = fl(9-l).
It is clear that (3.29) is well defined if
fi E Cm(G), f2 E E1(G),
is continuous.
With this result, we easily deduce
PROPOSITION
3.4. The Girding space $(n) is dense in Cm(n).
1 , f2 E D1(G),

PROOF.Let f, E C r ( G ) be such that

and we have bilinear maps ( f l ,f 2 ) H f2 * fi:
Cm (G) x E1(G)-, Coo(G)
f, 4 C5'= in E1(G).
Then, for any u E Cm(n),
C r ( G )x D1(G)--+ Cm(G).
n(f,)u -+ n(6=)u= u
in the topology of Cm(n). Since n(f,)u E $(a), the proof is complete. These also restrict to a bilinear map
Note that if we set C r ( G ) x E1(G)4 CF(G).
We can extend to fl E f l ( G ) by duality. To do this, we need to consider the
so that, for f E Cm(G), adjoint of the convolution operator
K f i : Cm (G) -+ Cm (G),
( f l k )= -X$f(e),
we have, for p,,, given by (3.3),u E Cm(n),
k ) = - ~ $ ( n ( g ) uw)l,=,
, = -(n(X)u, 4. K f , ( f i )= f2 * fl, f2 E &'(GI.
In other words, Let h E C r ( g ) . I f ( f l ,h ) = SGfl(g)h(g)dg,we have, for f2 E C,"(G),
~ ( X ~ S , )=
U -T(X)U for u E c m ( n ) . (f2 * fl,h) = / / i l ( y - 1 ) f 2 ( g y ) ~ d g d y .
Note the resemblance between (3.26) and (2.33). Both results are special cases
In order to compute this, let us note that, as a simple consequence of (2.38),
A(g) is the Radon-Niodjrm derivative of d,g with respect to dg, i.e.,
(3.27) n(X)n(k)u= - r ( ~ $ k ) u , u E Cm(n),k E E1(G).
Indeed, such results are special cases of the behavior of n(kl * k2),where we put lg f (9-l) dg = lg f ( g ) drg = G
f (g)A(g)dg.
an operation of convolution on P1(G)as follows. Then we have
Recall the convolution on C r ( G )is given by

f2 * fib)= l l
f 2 ( ~ ) f l ( y - ~ g=) d ~ fl(y-')f2(gy) d ~ .
(3.41) (f2 * f1,h) = // ~ I ( Y ) ~ ~ ( ~ - ' Y - ' ) w A ( ~ ) A ( Y )dgdy

We can rewrite this as = /1 flcY)c~i2)cYg)hrg-l)

dg dy

f2 * fi(g) = ( x ( ~ - ~ ) f ~ =, i (f2,x(g)i1),
,) = / f 1 ( y ) ( ~ i *2 ~) ( Y M Y .
 BASIC CONCEPTS BASIC CONCEPTS 23

In other words, with 3.6. For u E Cw(a),kl, k2 E E1(G),we have

PROPOSITION
fi#(s)= a(g)j2(g)= a(g)f2(g-'), a(kl)n(kz)u= a ( k l * k2)u.
PROOF.Suppose u = a ( f ) v ,v E B, f E C r ( G ) . By Lemma 3.5 we have

Kj, = K j t , for f 2 ~ C p ( G ) . r(kl)n(kz)u= a(kl)n(kz* f ) v = n(kl* k2 * f ) v

= r ( k l * k2)a(f)v.
This identity continues to hold for f 2 E E1(G),in the context of (3.37),provided
we define the map fa H f2#
for f 2 E P1(G)by the identity Hence (3.51) holds for u E $(a). Since $(n) is dense in Cm(a),on which the
operators s ( k 3 )are continuous, this completes the proof.
( f , fi#) = (7,f 2 ) , f E Cw(G). Let X E g, with associated left and right invariant vector fields X f and x;.
If k3 E E1(G),then
Thus, for any f 2 E E1(G),
X;(kl * k2) = ( ~ g k l* )k2
Kj2 : E1(G)4 E1(G)
is defined via (3.37) by
X f ( k l * k2) = kl * ( X f k 2 ) .
These identities follow for k3 E C r ( G )by a simple computation from the defini-
This gives our convolution product tion (3.28),and for k3 E E1(G)they follow by a limiting argument. In particular,
P1(G)x E1(G)-+ E1(G).
k*Se=Se*k=k
It is clear that, for f l E C?(G) fixed, (3.36) extends the convolution C r ( G )x
C r ( G ) 4 C r ( G ) from f 2 E C r ( G ) to f2 E E1(G),continuously in f2. Also, for any k E E1(G),where 6, is the point mass at e:
for f 2 E C1(G)fixed, the map (3.47) extends the convolution (3.36) from fl E (f,Se) = f (e),
C p (G)to f 1 E E1(G),continuously in f l . Thus simple limiting arguments verify,
for example, the associative law we have

(kl * k2) * k3 = kl * (k2 * k3), k3 E E1(G), Xgk = (Xgb,) * k

for convolutions, as a consequence of such an identity for k3 E C r ( G ) .
With the convolution of compactly supported distributions defined, we easily X f k = k * (Xf6,).
are able to derive their basic properties vis a vis representations. First, we see
how a ( k ) for k E E1(G)acts on the Gkding space $(a). These results can be generalized. Indeed, suppose PR is any right invariant
differential operator. Generalizing (3.53) and (3.57),we have
LEMMA 3.5. For u E B, f E C r ( G ) ,k E E1(G),we have P R =~ (PRSe)* k.
a ( k ) a ( f ) u= n(k * f ) ~ . Similarly, if PL is any left invariant differential operator, we have
PROOF.Note that k * f E C,"(G), by (3.36). Pick k3 E C r ( G ) such that PLk = k * (PL6,).
k3 -t k in E1(G).Then (2.17) implies
Note that P R ~ and
, PLS, are distributions supported at {e). Conversely, let v
~ ( k 3 ) 4 f = A& * f )U be any distribution in E1(G)which is supported at {e). A basic result in the
theory of distributions is that v must be obtained from 6, and its derivatives. In
for each j. We know the left side of (3.50) tends to n ( k ) n ( f ) uas j -+ oo, since
n ( f ) uE Cw(a). Meanwhile, k, * f -+ k * f in C r ( G ) ,so the right side tends to a local coordinate system U about e,
s ( k * f)u. This proves the lemma. v= a, DaSe = P(D)Se.
Now we can generalize (2.17) to compactly supported distributions. lal<m
 24 BASIC CONCEPTS BASIC CONCEPTS

Now the differential operator P(D) can be written as a linear combination, with ' Then we set
coefficients in Cw(U) (all on the right), of products of vector fields, either of the (3.70) u(g) = @ ~ C I J .
form X F or of the form x?, where {XI,. ..,Xn) is some basis of g. It follows . .
that, for some constants a;, a,: The correspondence

(3.62) v= a',~p"' ...~ > ' ~ ' 6 =

, pR6,
(3.71) X,(q @ - €3Xu(k)H X?(I)
- a ...xPck)
k<m gives rise to a homomorphism of algebras
and (3.72) @ BC DL(G).
c
+

(3.63) v= a g ~ ~ ."..'~ 2 ( ' ) 6 ,= pLse. By virtue of the characterization of the Lie bracket on g, X p Y 1= [x;, X l ] , we
k<m see that J is in the kernel of this homomorphism, so we have a homomorphism
Here PR and PL are right and left invariant differential operators on Cw(G),
which in fact are polynomials in right (resp. left) invariant vector fields. We have
proved the following result.
of algebras
(3.73) a: L((g)
Note that U(g) and DL(G) possess filtrations
- DL(G).

PROPOSITION 3.7. The following three classes of operators coincide:

(a) left invariant differential operators PL with Cw coeficients;
(b) polynomials over C in the left invariant vector fields,
(c) convolution operators P k = k * v, for v E &'(GI supported at {e). where ilk(g) is the image of $I,k @'gc under the natural projection @ g c -,
We have an analogow statement for right invariant diferential operators. U(g), and D;(G) consists of left invariant differential operators of order 5 k.
Denote the set of left invariant differential operators on G by
Clearly a preserves the filtration
(3.75) a: uk(g) - D,~(G).
For a closer study of the relation between U(g) and DL(G),it is convenient to
Its algebraic structure of course agrees with the algebraic structure of convolution pick a basis XI, ...,Xn of g, and define linear maps
on &'(G), restricted to distributions supported at {e), with the factors reversed, (3.76) P:Pn+u(g), ~:P~+DL(G),
since
as follows. P, is the set of polynomials in n variables. We set
(3.77) P(ai ,... int;' ...t k ) = a; ,... i,,xF1)
8 . .. @ ~ f i )
1 Consequently, if for PL E DL(G) we define
where
(3.78) x?) = Xl @ ...@ XI (iI factors),
for u E Cm(a), we see that (3.66) defines a representation of DL(G) on C w (n), and we set
i.e., n(PLPt) = a(PL)n(Pt). Note that the special case PL= X z yields
(3.79) ?(ai ,...i,t? ...t k ) = ai,...in( X P ) .~..~(XP)in.
(3.67) ~ ( 3 2=) a((Xf)*S,)u
~ = -n(X$6, f A(X)6,)21
Rorn (3.71) it follows that the following is a commutative diagram.
= -a(X$6,)u = n(X)u
U(g) 5 DL(G)
for u E Cw(a), by formulas (2.43) and (3.24). (3.80) P \ 2-i
The algebra DL(G) is intimately related to the universal enveloping algebra
U(g), associated to the Lie algebra g as follows. Form the tensor algebra Pn
Note that Pn has a natural filtration; Pn = Uk20:P where P,k consists of poly-
(3.68) @BC=C@~C@BC@QC@-. nomials of degree 5 k, and ,B and -y preserve filtrations
where g c is the complexification of g. Let J be the two-sided ideal in @ g c (3.81) P:P:-+u~(~), 7:~,k--,~i(~).
generated by all elements of the form
The following result, which complements Proposition 3.7, is known as the Poin-
(3.69) X @ Y- Y @ X - [ X , Y ] . cariBirkhoff-Witt theorem.
 26 BASIC CONCEPTS BASIC CONCEPTS 27

PROPOSITION 3.8. The maps a , P, 7 are all linear isomorphisms. In partic- limiting procedures. Since specific classes of distributions for which it is natural
ular, a is an isomorphism of algebras. to do this vary strongly from group to group, we will not discuss any general
results here. -
PROOF. From Proposition 3.7 we know a is surjective. To complete the proof,
it will suffice to show that 7 is injective and p is surjective.

I
4. Irreducible representations of Lie groups. Let a be a (strongly con-
So let p be a polynomial in ker 7. Say p € P,k, with leading term tinuous) representation of a Lie group G on a Banach space B. We say n is
(3.82) p(t) = aatT'...tzn +.... topologically irreducible, or simply irreducible, provided B has no closed proper
lal=k I
subspace invariant under n(g) for all g E G. We will mainly be interested in the
I case when B = H is a Hilbert space, and n is a unitary representation. In that
Consider the differential operator ~ ( p )in
, an exponential coordinate system cen- I case, if E c H is a closed proper invariant subspace, it is clear that its orthogonal
tered at e. 7(p) is an operator of order 5 k, and its leading term at e is precisely complement is also invariant, so a unitary representation which is not irreducible
(3.83) aaDyL...Dgn. can be written as a direct sum of smaller representations. In case H is also finite-
lal=k dimensional, this process of reduction could be carried out a finite number of
If 7(p) = 0, then (3.83) must vanish. Thus actually p E ~,k-'. An inductive
argument shows p = 0 if p E ker 7.
Since 7 is injective, commutativity of (3.80) implies P is also injective. To see
I I
times and would stop, and any finite-dimensional unitary representation would
be broken into a finite direct sum of irreducible representations.
This need not happen for nonunitary representations. Consider the represen-
0 is surjective, let T E U(g); say T E Uk(g), e.g., tation of R on R2 given by

(3.84) T= x
Ilk
a,X,(l) .
8 . . 8Xu(,) mod J. (4.1) n ( t ) = e x p t ( Oo 0l ) = (Ai).
Using the identities It is clear that the linear span of (A)
is invariant, but has no invariant comple-
(3.85) X, 8 X3 = X3 8 X, + [x,, x3] mod J I
mentary subspace. For a certain class of Lie groups, the semisimple ones, it can
be shown that any finitedimensional representation is completely reducible to
we can reorder the factors Xu(,) in (3.84) so a(j) is increasing, to write I a direct sum of irreducible representations. This result, known as Weyl's "uni-
(3.86) T= ~,X!~')~...@XF)+T'
modJ tary trick," involves reducing to the case of compact groups, via an analytic
continuation. See Chapter 13 for a brief discussion of this.
lal=k
For a unitary representation, the following version of Schur's lemma is often
where x?') is given by (3.78), and T' E Ilk-'(g). Then, clearly, useful.

(3.87) T =P x
iI.l=k
bat:' ...t?
1 modUk-'(g).

Again by induction, we construct a polynomial p in P,k, with leading term given

I

1
above, so that T = B(p). Thus P is surjective. Hence P is bijective.
Since /3 and a are surjective, commutativity of (3.80) implies 7 is surjective,
so 7 is also bijective. Finally, since P and 7 are isomorphisms, so is a = 7 0 P-',
and the proposition is proved.
In view of (3.67), the representation of DL(G)defined by (3.66) coincides
with the natural representation induced from g to U(g). This representation of
(
the universal enveloping algebra of g is an important tool in understanding the
representation of G from which it arises.
As mentioned in $2, there is use for considering n(f) for f not necessarily
compactly supported, for example, for f E L1(G), if n is unitary. Similarly, we
can define n(k) for certain distributions, not compactly supported, by various
PROPOSITION4.1. A group G of unitary operators on a Hilbert space H is
irreducible if and only if, for any bounded linear operator A on H,
(4.2) U A = AU for all U E G =+ A = X I .
This can be proved as a simple consequence of the spectral theorem; see
Appendix B for such a proof.
As one example of a situation where Proposition 4.1 applies, let n be a unitary
representation of a Lie group GI and let Z denote the center of G. Thus, for
each go E 2 , n(go) must commute with all n(g), g E G. By Proposition 4.1, this
implies for n irreducible:
(4.3) dgo) = X(go)I, for go E Z,
,
where X(g0) is a complex number of absolute value 1 for each go E 2. The
Heisenberg group Hn,studied in Chapter 1, has a one-dimensional center. Many
noncommutative Lie groups, however, have no center, or a very small center. It

1
1
?
1 .1 -
28 BASIC CONCEPTS BASIC CONCEPTS 29

is important that other operators arise which commute with r(g) for all g E G, has compact closure in G. In such cases, the center of the convolution algebra
and hence act as scalars if n is an irreducible unitary representation. C$ (G) is zero.
For example, suppose fo E C r ( G ) belongs to the center of the convolution We can also look for elements in the center of the convolution algebra E1(G).
algebra C r ( G ) , i.e., In analogy with (4.12), the condition for ko E Pt(G) to belong to the center is

(4.4) fo*f=f*fo forallf~Cr(G). (4.15) Aiko = A ( ~ - ' ) M A ~ ofor all g E G,

Then, if n is a unitary representation of G on H, where
(4.5) n(fo)n(f) = n(f)n(fo) for all f E Cr(G).
Given g E G, pick a sequence f j E C r ( G ) converging in E1(G) to 6,, and is the adjoint of

(4.6) .(fib -
uniformly bounded in L1-norm. It follows that
747)~
for all u E Cm(x); since the operators x(fj) are uniformly bounded, (4.6) holds
(4.17)
defined by
A, : Cm (G) -+ Cm (G),

for all u E H. Hence (4.5) implies

If G is connected, (4.15) holds provided it is valid for all g in some neighborhood
(4.7) n(fo)n(g) = ~(g)n(fo) for all g E G. U of e. This in turn holds provided (4.15) works for all g in one parameter
Again, if a is irreducible, Proposition 4.1 applies to yield subgroups of G, which in turn holds if and only if
(4.8) 4 f o ) = a(fo)I
for all fo in the center of C r ( G ) , where a(fo) E C. If, for all yo # e, the set (4.14) does not have compact closure in G, we are forced
Let us see under what conditions an element fo can belong to the center of to conclude that any ko in the center of Pt(G) must be supported at {e), i.e.,
CF(G). Comparing the formulas

for some PLE DL(G), identified with the universal enveloping algebra U(g) by
Proposition 3.8. In such a case, (4.19) is equivalent to XS6, * PL6, = PL6, *
+ +
(XZ6, A(X)6,). Now generally X$6, = Xf6, A(X)6,, so (4.20) defines an
and element of the center of E1(G) if and only if

(4.11) Xf6e * PLQ = P L ~* ,Xf6, for all X E g,

which is equivalent to having
we see that, for fo to belong to the center of CP(G), we must have
(4.21) X ~ P L = P L X ~f o r d l x ~ g .
(4.12) fo(gy-')A(y) = fo(~-'g) for all y,g E G.
In view of Proposition 3.7, this is equivalent to saying
In particular, fo(y)A(y-l) = fo(y) for all y, so = 1 on supp fo. But
if A(y) = 1 on any open set it is identically 1. Thus, for a nonzero element fo (4.22) PLbelongs to the center of DL(G).
in the center of Cg(G) to exist, G must be unimodular, and the requirement In other words, the elements of the center P1(G) supported at {e) correspond
(4.12) is equivalent to precisely to the elements of the center a(g) of the universal enveloping algebra
(4.13) f o ( ~=
) fob-'YS) for all Y,g E G. Ll(g). We formalize this last part.
Such functions exist in fair profusion when G is compact. However, in many PROPOSITION 4.2. The center a(g) of U(g) is naturally contained in the
cases, such as many noncompact semisimple Lie groups, for no yo E G, yo # e, center of E1(G), if G tk connected.
is it the case that The good news is: Even those nasty noncompact semisimple Lie groups men-
(4.14) {g-1~o/09:9 E tioned before have enough elements in the center of their universal enveloping
30 BASIC CONCEPTS
algebras to be of some use. But there is a problem. Given such Po E d(g), and a
strongly continuous irreducible unitary representation n of G, there may be no a
priori guarantee that n(PO)is bounded. Hence Proposition 4.1 is not applicable.
What is required is a substantial technical improvement of Schur's lemma, which
we now discuss, largely following Kirillov [134].
We use the fact that an irreducible unitary representation satisfies the follow-
ing condition of complete irreducibility. A representation n of G on a Banach
space B is said to be completely (topologically)irreducible provided that
(4.23) II = algebraic linear span of { ~ ( g: g) E G )
is dense in the algebra L(B) of all bounded linear transformations on B , in
the strong operator topology. That is to say, given any T E f ( B ) , any finite
collection ( ~ 1 ,... ,u N )c B , and any E > 0, there exists To 6 ll such that
(4.24) IITouj - T u j l l ~< E for j = 1,. ..,N.
It is easy to see that this condition implies topological irreducibility. For general
representations, the converse need not hold, but it does hold for unitary rep
resentations, as we now show. This is a simple consequence of von Neumann's
double commutant theorem, which states the following. Let B = H be a Hilbert
space, and let Q c f ( H ) be an algebra of bounded operators. Suppose Q is
selfadjoint, i.e., T E I# +-T* E 0. Let Q', the commutant of 0, denote the set
of bounded operators on H commuting with all operators in Q:
(4.25) 0' = {T E f ( H ) :T S = ST for all S E Q).
Let Q" = (0')'denote the commutant of I#'. Von Neumann's theorem states
where a, denotes the closure of Q in the strong operator topology (and a,
denotes the closure in the weak operator topology). For a proof of the double
commutant theorem see [47] or [50].
PROPOSITION 4.3. If a is an irreducible unitary representation of G on H I
then n is completely irreducible.
PROOF.Let II be given by (4.23). By Proposition 4.1, II' consists of only
multiples of the identity. Hence II" = f ( H ) . But II is clearly a selfadjoint
algebra of operators (e.g., n(g)*= n(g-I)), so the double commutant theorem
implies n,= IX" = L (H). This completes the proof.
One can define an infinite sequence of notions of irreducibility, connecting
topological irreducibility to complete topological irreducibility, as follows. We
say a representation n of G on B is k-irreducible provided that, for any two sets
of k' elements of B, {ul,...,ukt} (linearly independent) and {vl,...,vkj), and
any E > 0, there exists T E II, given by (4.23),such that
(4.27) IITuj - vjllB < E for 1 5 j 5 k', i f k' 5 k.
BASIC CONCEPTS 31
It is easy to see that n is completely irreducible if and only i f it is k-irreducible
for all k.
There is a useful alternative characterization of k-irreducibility. Let Ik denote
the trivial representation of G on Ck. The standard basis of C k gives natural
isomorphisms
(4.28) B 8 ckx L(Ck,B ) = B $ ... $ B (k terms).
A representation a of G on B gives rise to representations n81k of G on B 8 C k .
PROPOSITION 4.4. A representationn of G on B is k-irreducible i f and only
i f every closed subspace of B 8 C k that is invariant under n 8 Ik is of the form
B 8 V , for some linear subspace V of C k .
PROOF.Look on n 8 Ik as acting on B $ ... $ B, as n $ .. $ a. With -
u = ('111,. ..,uk), ( A 8 Ik)(g)u = (n(g)ul,...,a(g)uk). The condition that n
is k-irreducible implies the property that, for any u = ( u l , ...,u k ) such that
{ u ~ ,... ,uk) is linearly independent in B, the linear span of ( n 8 Ik)(g)ufor
g E G is dense in B @ C k . In other words, if u = (211,. . .,u k ) is contained
in some proper closed invariant subspace of B 8 C k , then { u l ,...,u k ) must be
linearly dependent. In such a case, reordering the uj, we can assume without loss
of generality that {ul,... ,uk,) forms a basis for the linear span of {ul,. ..,uk).
Then, with
we see that, i f n is k-irreducible, the first factor spans a dense linear subspace of
B 8 Cko as g runs over G, and the second factor is a fixed linear function of the
first factor, of the following form. With ajl complex numbers such that
ko
(4.30) uj 'Z1=1a j l W for ko + 1 5 j 5 k,
we have
ko
(4.31) r(g)uj = xajrn(g)ur for ko + 1 5 j 5 k.
1=1
This implies the linear span of { ( n8 Ik)(g)u:g E G ) has closure of the form
B 8 V with V a linear subspace of C k , and the proof is easily completed.
It is clear that a representation n of G on B is topologically irreducible if and
only i f it is 1-irreducible. The following is the improved Schur's lemma.
PROPOSITION 4.5. Let n be a 2-irreducible representation of G on B. Let A
be a (possibly unbounded) linear operator on B, wzth dense domain f . Suppose
that n(g)L C for each g E G. Also suppose A is closable, i.e., the closure of
the graph $ A of A is the graph of a linear operator. Then, if
(4.32) n(g)Au= An(g)u for all u E L, g E G,
32 BASIC CONCEPTS
it follows that 2 is a multiple of the identity
- representation of G on H, ( E H a unit vector, consider
(4.33) A = XI.
PROOF. The graph QA = {(u, Au) E B $ B : u E f ) is a linear subspace
of B $ B, and (4.32) implies $ A is invariant under the action n 8 I2of G on
B $ B. Hence $A is invariant and is a proper invariant subspace of B $ B. By
Proposition 4.4, $A must be of the form B 8 V for some proper linear subspace
V of C2; hence dimc V = 1. Such spaces are precisely the graphs of operators
of the form (4.33) (together with 0 $ B, which is not a graph), so the proof is
complete.
A densely defined operator A is closable if and only if its adjoint A* is densely
defined. In particular, if B = H is a Hilbert space, then A is closable if it is
symmetric. In general, it might not be a priori clear that such a symmetric
A even has a selfadjoint extension, so Proposition 4.5 is a strong result. A
consequence of principal interest is
PROPOSITION4.6. Let n be an irreducible unitary representation of G on
H. Suppose k E E1(G) belongs to the center of E1(G). Then n(k) is a scalar
multiple of the identity
(4.34) n(k) = X I .
PROOF. Regard n(k) as an operator on H with domain f = Cw(n). We
know that n(g)f C f for all g. Also, if k is in the center of E1(G),
(4.35) n(g)n(k) = n(6,)n(k) = n(6, * k)
= n(k * 6,) = n(k)n(6,) = n(k)n(g)
for all g E G, these operators acting on Cm(n). Finally, note that, for k E
cr(G),
and more generally, or k E tl(G),
(4.37) n(k)* 2 n(k#),
where k# E E1(G) is defined by (3.44). In particular, the domain of n(k)*
contains Cm(n) = f , and so n(k) is closable. Since any irreducible unitary
representation is 2-irreducible, Proposition 4.5 applies, and we are done.
It is a general fact that any Lie group has lots of irreducible unitary represen-
tations. We will sketch the argument for this here, referring to 1111,1341,for
details. It exploits the relation between unitary representations of a Lie group
(or even a locally compact group) G and positive definite functions on G. A
bounded continuous function p(g) is said to be positive definite provided the
operation of convolution on the right by p is a positive semidefinite operator,
i.e., if for all u E C$('G),
BASIC CONCEPTS 33
One connection with unitary representations is the following. If r is a unitary
In this case, a short calculation gives
so p is positive definite. Conversely, let p E C(G) satisfy (4.38). We put an
"inner product'' on Mo = C r ( G ) by
(4.41) 1
((u, v)) = (u * P , ~ ) L ~ (=
G ) /u(y)p(y-'g)mdy dg.
Since p is continuous, we can throw in more general u and v, including at least
MI = {compactly supported measures on G). Let X C MI be the set of elements
u such that ((u,u)) = 0. Form the quotient M2 = Ml/X, and complete U2 with
respect to the induced norm, to get a Hilbert space H. A dense subspace of
H is given by equivalence classes of compactly supported measures on G, or
even by equivalence classes containing elements of Cr(G). G acts on H via
its left regular representation on C r ( G ) . Note that, if X,u(z) = u(gF1z) for
u E C g (G) , then
(4.42) ((A,'-', Xgv)) = (Xg(u * P), X,V)L~(G)
= (21 * P, u)L~(G)
= ((u, v)).
This action extends naturally to measures, and we get an action of G on H by
unitary operators; strong continuity can be checked, and we have associated a
unitary representation np of G to a positive definite continuous function p on
G. This sketches the famous Gelfand-Naimark-Segal construction. Note that, if
( E H is taken to be the image of the point mass 6,, we have
In this case, 5 has the property that {n(g)(: g E G) is dense in H; such a vector
is called a cyclic vector.
It can be shown that, if n is any unitary representation of G, with a cyclic
vector (a separable H is a sum of cyclic subspaces; note that ?r is irreducible if
and only if all nonzero vectors are cyclic), and we consider p(g) = (n(g)<,E), then
n is unitarily equivalent to the representation above. Thus we have a surjective
map
(4.44) GNS: P --+ C
where P is the set of continuous positive definite functions on G and C is the set
of equivalence classes of cyclic unitary representations of G. We could replace
P in (4.44) by PI = {p E P: llpllL.. = p(e) 5 I), which is a convex subset of
Lw(G), which is also compact in the weak* topology. It is not empty; after all,
34 BASIC CONCEPTS BASIC CONCEPTS 35

the regular representation exists: applying (4.39) to the regular representation, so G acts as a group of inner automorphisms on itself. Identifying T,G, on which
with [ = 8 E L2(G) gives the derivative DCB(e) acts, with g, we define
(5.3) Ad(g) = DC,(e).
This is equivalent to the identity
as a rich class of positive definite functions on G.
Now it can be shown that irreducible representations correspond precisely to (5.4) exp(tAd(g)X) = gexp(tx)g-', X E g,
extreme points of PI, under the mapping (4.44). By the Krein-Milman theorem, since both sides of (5.4) clearly defme one parameter subgroups of G, with the
PI has a lot of extreme points, of which it is the closed convex hull. In such same initial direction at t = 0. The adjoint representation of G induces a Lie
a fashion the existence of a lot of irreducible unitary representations is estab- algebra representation of g into End(g), given by the usual Lie bracket,
lished. One can also relate the decomposition of a given representation s into ad Y (X) = [Y,XI,
(5.5)
irreducibles to the expression of p(g) = (s(g)<, E), for some cyclic vector (, as
a barycenter of the set of extreme points of PI, with respect to some proba- which follows by setting g = expsY in (5.4) and evaluating the s derivative at
bility measure, via Choquet's theorem. For more on this, see [ I l l , 1341, and s = 0. Consequently,
references given there. (5.6) Ad(exp Y) = ead', Y E g.
The approach this affords to representation theory is somewhat abstract. An If G is connected, a subspace gl of g is invariant under Ad(g) for all g G if
effective way to decompose representations does not follow easily. There may and only if it is invariant under ad X for all X E g. The statement
be many different ways to express an element p E PI as the center of mass of
extreme points, so the uniqueness of a decomposition of a given representation (5.7) X E g , Y E g l * [X,Y] E g i
into irreducibles is left open. A related matter is that the equivalence relation on is the statement that gl is an ideal in the Lie algebra g. If a Lie algebra g has
the set of extreme points of PI, specifying when the associated representations no proper ideals (and g # R), g is said to be simple. Simple Lie algebras are in
are equivalent, is not given explicitly. The set of equivalence classes of irreducible a sense the furthest away from the Lie algebras of the commutative groups Rn,
unitary representations, the natural quotient of the set of extreme points of PI, all of whose linear subspaces are not only subalgebras but ideals.
could conceivably have a very messy structure. Some order can be imposed on the variety of Lie algebras by considering
In fact, it turns out that Lie groups (and other locally compact groups) fall various properties they can share or fail to share with the commutative Lie
into two classes, "type I" and "nontype I." The type I groups have unique de- algebras. Of course, the adjoint representation is trivial on Rn and zero on its
composition properties and other nice representation theoretic behavior. Groups Lie algebra. On the other hand,
studied in this monograph are of type I, usually. Nontype I groups are related
to exotic von Neuman algebras, and used to be regarded as hopeless from a r e p (5.8) ad: g + End(g)
resentation theoretic point of view. Recent advances of A. Connes on the theory is clearly injective if g is simple. In fact the kernel of ad is an ideal 8 in g, the
of von Neumann algebras have stimulated interest in representations of nontype center of g:
I groups; see Sutherland [232]. We will say nothing further about type I and
(5.9) a = { X ~ g :[ X , Y ] = O f o r a l l Y ~ g ) .
nontype I groups, referring to [168, 2561, and particularly [161]for an extended
discussion. The map (5.8) is injective precisely when the center of g is 0.
From some points of view, the closest a nonabelian Lie algebra can come to
5. Varieties of Lie groups. A very important representation of a Lie group being abelian is to have the property that a d X is a nilpotent transformation for
G, which plays a key role in the study of the structure of G as well as its each X E g, i.e.,
representation theory, is the adjoint representation of G on its Lie algebra g, (5.10) X E g =+ 3k = k(X) such that ad^)^ = 0.
defined as follows. For g E G, define In such a case, we say g is a nilpotent Lie algebra. A (connected) Lie group with
such a Lie algebra is said to be a nilpotent Lie group. A nilpotent Lie algebra has
a lot of ideals. In fact, there exist ideals gj, with d
im g j = j, j = 0, 1, ...,dim g,
such that
(5.11) 18,gjl C gj-1.
36 BASIC CONCEPTS BASIC CONCEPTS 37

This result, a consequence of Engel's theorem, is proved in Chapter 6. Note every simple Lie algebra is semisimple. It can be proved that every semisimple
in particular that gl is nonzero and is contained in the center of g. Another Lie algebra is a direct sum of simple ideals. See 1100, 129, 2461.
characterization of nilpotent Lie algebras is the following. Let +
If g is a Lie algebra, and a and b are two solvable ideals, clearly a b = c is
(5.12) Dg = [g,g] = linear span of {[X, Y]: X, Y E g). an ideal, and since c/a R b/b n a, c/a is solvable, so c can also be shown to be
solvable. Hence any Lie algebra g has a unique maximal solvable ideal
By the Jacobi identity, [g, g] is an ideal in g (maybe not proper). More generally,
if $ is an ideal in g, then (5.17) q = radg.
Clearly g/radg contains no solvable ideals, i.e., it is semisimple. An important
(5.13) [g, t)] = linear span of {[XIY] : X E g, Y E t)) theorem of Levi is that there exists a subalgebra m of g such that
is an ideal in g. Set (5.18) q+m=g, qnm=O.
(5.14) B(o) = 8, g(1) = 181gI, g(j) = [BI~ ( j - l ) ] . In such a case,
Then g is nilpotent if and only if some g ( ~ = ) 0. The simplest nonabelian (5.19) m e g/radg
situation would be when g(l) # 0 but g(2) = 0. The g is said to be a step is semisimple, and we have the Levi decomposition
two nilpotent Lie algebra. The most basic example is the Lie algebra of the
Heisenberg group Hn,studied in Chapter 1. As noted, a nilpotent Lie algebra g (5.20) Bwqxm,
always has a nontrivial center 3. It is easy to see that g/d is nilpotent also. g is of a general Lie algebra g as a semidirect product of a solvable ideal q and a
put together from these simpler pieces. This fact permits inductive arguments semisimple Lie algebra m (which acts on q). For a proof, see 1129, 2461. Impor-
to work in analyzing the representation theory of nilpotent Lie groups, as shown tant examples of Lie groups which have natural semidirect product structures
in Chapter 6, after certain requisite tools are developed in Chapter 5. include the Euclidean groups E(n), which are semidirect products of SO(n) and
More generally, one considers Lie algebras g with the following property: g Rn, where SO(n) acts on Rn in the natural fashion, and also the Poincart?
has a nontrivial center 3, g/3 has a nontrivial center 31, and so forth, until one groups, semidirect products SO(n, 1) x Rn+', where the Lorentz group SO(n, 1)
reaches a commutative quotient. The inverse images of these respective centers acts on Rn+' so as to preserve the Lorentz metric. Both SO(n) and SO(n, 1) are
in g form a chain of ideals semisimple. The representation theory of the Euclidean and Poincare groups is
discussed in Chapter 5.
(5.15) g = 8 1 > 8 2 _ > ' " > g ~ > ~ ~ + l = O( B K = ~ )
In addition to the adjoint representation, another representation of G of fun-
<
such that gj/gj+l is abelian, for 1 j 5 K. In such a case, one says g is a damental importance is the coadjoint representation, a representation of G on
solvable Lie algebra, and G is a solvable Lie group. Another characterization is the dual space g' defined by
the following. With Dg given by (5.12), set (5.21) Ad*(g) = Ad(g-')*,
(5.16) DPg = D(Dp-lg). i.e.,
Then g is solvable if and only if Dpg = 0 for some p. The simplest example of a (5.22) (XIAd' (g)w) = (Ad(g-I)X, w), X E g , w E g'.
(nonnilpotent) solvable Lie algebra is the tw*dimensional Lie algebra of Aff (R1),
The adjoint and coadjoint representations are not necessarily equivalent, al-
the group of &ne transformatiocs of the real line, also called the "ax+b group," though sometimes they are. An intertwining operator between the two arises
studied in Chapters 5 and 7. The representation theory of solvable Lie groups is via the Killing form
also amenable to inductive methods, with considerably more effort than required
in the nilpotent case. Only a few specific examples are treated in these notes. (5.23) B(X,Y) = tr(adXadY),
One complication that arises is that some solvable groups are not "type I." Very which is a symmetric bilinear form B: g x g -,R. Since B(X, .) acts as a linear
detailed results on when such a group is type I and if so how its representation form on g, (5.23) induces a linear map
theory goes are given in [9, 10).
Fkom the characterization (5.15) of solvable Lie algebras, it follows that a Lie
(5.24) P : g + g'.
algebra g contains a (nonzero) solvable ideal if and only if it contains a (nonzero) It is easy to see that, for g E GI
abelian ideal. A Lie algebra with no such ideals is said to be semisimple. Clearly (5.25) B(Ad(g)X, Ad(g)Y) = B(XIY)I
38 BASIC CONCEPTS
which is equivalent to the intertwining property
Note that rewriting (5.25) as
and differentiating gives
(5.28) B(ad ZX, Y) = -B(X, ad ZY), X, Y, Z E g.
The map (5.24) is an isomorphism if and only if B is nonsingular. Often P
is far from an isomorphism. For example, if g is abelian, B is identically zero.
More generally, a theorem of Cartan states that a Lie algebra g is solvable if and
only if
(5.29) B(X, [Y, Z]) = 0 for all X, Y, Z E g.
For a proof, see [129,2461. In such a case, B is clearly degenerate. Another
important theorem of Cartan, proved in these references, is that B is nondegen-
erate, i.e., nonsingular, if and only if g is semisimple. In such a case it can be
shown that, if gl is an ideal, then B restricted to gl x gl, which coincides with
the Killing form of 01, is nonsingular, and the orthogonal complement g2 with
respect to B of g1 is an ideal: g = gl $02. Inductively, such a semisimple Lie
algebra g is a sum of simple ideals.
Semisimple Lie groups arise as symmetry groups of spaces with the most nat-
ural and pleasing sorts of symmetries. The paradigm examples of such spaces,
whose perfection has been admired since the time of the Greeks, are the spheres
+
Sn. The group of isometries of Sn is O(n I), the orthogonal group on Rn+l,
which has two connected components; the connected component of the identity
+ + +
is SO(n 1); its Lie algebra so(n 1) is semisimple (for n 1 2 3); in fact it
+
is simple except for n 1 = 4; so(4) x so(3) @ so(3). These compact groups
act on Rn+l , provided with a positive definite (Euclidean) metric. Noncom-
pact analogues, made significant by relativity theory, are the groups O(n, 1) of
linear transformations on Rn+', preserving the indefinite, nondegenerate forms
+ +
z: ... xz - z:+,. The group O(n, 1) also acts as a group of isometries of
hyperbolic space Un, which, as opposed to Sn, has constant negative curva-
+
ture. Sn sits as an ideal boundary of Un+', and the group O(n 1,l) induces
a group of conformal transformations on Sn. These facts and some of their
implications are investigated in Chapter 10. More generally than O(n, I), we
can consider O(p,q), the group of linear transformations on RP+q preserving
+
the form x: .. . + 2; - - .. . - xi+,. Linear transformations of determi-
nant one on a complex vector space preserving a nondegenerate Hermitian inner
product form the semisimple groups SU(p, q). These and other semisimple Lie
groups, compact and noncompact, are studied in Chapters 2-3 and 8-13. One
other series of semisimple groups we mention here is Sp(n, R), the group of lin-
ear transformations on R2n preserving a certain nondegenerate skew-symmetric
BASIC CONCEPTS 39
bilinear form on Rn, the symplectic form. This group, the symplectic group,
arises in Chapter 1 as a group of automorphisms of the Heisenberg group Hn,
and is studied further in Chapter 11. Interestingly, there is a complete classifi-
cation of the semisimple Lie algebras, while solvable Lie algebras seem to exist
in profusion beyond classification.
Some of the semisimple Lie groups we just mentioned are compact. An im-
portant theorem of Weyl is that, if a connected Lie group G is semisimple, then
G is compact if and only if the Killing form (5.23) is negative definite. In such a
case, the negative of the Killing form induces a bi-invariant Riemannian metric
on G. Generally, averaging any left invariant metric on a compact Lie group G
produces a bi-invariant metric. Some compact Lie groups are not semisimple,
such as the tori Tk,and also the unitary groups U(n), which contain the simple
subgroups SU(n) but have the unitary scalars cI, Icl = 1, as a one-dimensional
center. Their Lie algebras belong to a class slightly larger than semisimple,
called reductive. Generally, a reductive Lie algebra is one for which [g,g] = Dg
is semisimple, in which case it can be shown that g is the direct sum of its center
and Dg. Examples of noncompact reductive Lie algebras include gl(n, C) and
u(p, q), whose derived algebras Dg are, respectively, the semisimple Lie algebras
sl(n, C) and ~ u ( Pq).
,
From the point of view of a student of multidimensional Fourier series, i.e.,
harmonic analysis on the torus, the natural generalization is the study of har-
monic analysis on compact Lie groups. The discreteness of the representation
theory carries over, and a fairly complete representation theory exists for com-
pact Lie groups, some of which is discussed in Chapter 3.
We will say a little about when a Lie group G is unimodular, i.e., when its
left invariant Haar measure is also right invariant. Recall the modular function
A(g), defined by (2.38) and (3.40). Since dg and d,g are gotten by left and right
translation of some nonvanishing element w E An T:G, n = dim G, it is clear
that, at g, they differ by the factor which Ad*(g) induces on AnT;, so
Classes of groups we can be sure are unimodular include compact groups. This
is clear since the image of G under the homomorphism A : G -+ R+ must be a
compact subgroup of R+, hence (1). Also, any semisimple Lie group is unimod-
ular. Indeed, since Ad(g) preserves the nondegenerate metric B(X,X) in this
case, it a fortiori preserves a volume element on g. Using (5.6),we can write
If g is nilpotent, by (5.11) we can choose a basis of g with respect to which adX
is strictly upper triangular, so clearly tr a d X = 0, and we see that any nilpotent
Lie group is unimodular. Solvable Lie groups need not be unimodular; indeed,
the "az + b group," Aff (R1),is not.
Lie groups are mainly classified-by their Lie algebras. Indeed, a connected
and simply connected Lie group G is uniquely determined by its Lie algebra
 I
!

BASIC CONCEPTS BASIC CONCEPTS 41

g. If a: g -+ Ij is a Lie algebra homomorphism and Ij is the Lie algebra of a
Lie group H, then a necessarily exponentiates to a Lie group homomorphism
a: 6 --t H. This follows from an even stronger statement of the influence the
algebra structure on g has on the group structure of 6,the Campbell-Hausdorff
formula, which says
(exp X) (exp Y) = exp @(XIY)
where @(X,Y) is given by a certain convergent power series, for X and Y small.
This power series is of a "universal" sort:
I semidirect product Sp(n, R) X , Hn, where the symplectic group acts as a group
of automorphisms of the Heisenberg group Hn, as discussed in Chapter 1. As
for the semidirect product listed in dimension seven, SU(2) acts on C2 in the
t
natural fashion.
We hope that the reader of this monograph will become comfortable and
< familiar with such groups as listed above, and various natural generalizations,
and some of their diverse roles in analysis.

@(X,Y)=X+Y+3[X,Y]+...

where the terms homogeneous of degree k are sums of k - 1 fold Lie brackets
of X and Y, with coefficients which do not depend on g. This result is also
useful for exponentiating infinite-dimensional representations of g, when one has
a dense space of analytic vectors to work with; see Appendix D for more on this.
We refer to [129,2461 for a proof of the Campbell-Hausdorff formula, and the
precise expression for the general term in (5.33), which is fairly complicated.
We end this section with a list, by no means exhaustive, of some of the garden
variety Lie groups in dimensions one through ten.

Dimension Groups
R' -+ S' = U(l) = SO(2) I
R2 -+ T 2 , Aff(R1)
R3 -+ T3, SU(2) + S0(3), Sp(1, R) = SL(2, R) 4 SOe(2,I),
E(2), H1

R6 T6,SL(2, C) SOe(3,I), Spin(4) -+ S0(4),

-+ -+

S0(2,2), Aff(R2),E(3), Sp(1,R) X , H',R3 X A A2 R~ I

R7 -+ T7, SU(2) x p C2, H3 I

R8 4 T8, SU(3), SU(2, I), SL(3, R), GL(2,C) I
R9 -+ TI U(3), GL(3, R), U(2, I), H4 I
RO
' TI0, S0(5), SOe(4, l), SOe(3,2) = Sp(2, R), Sp(2), 1
i
-+

R4 x A A2 R ~E(4)
,

Arrows indicate covering groups. Two of the groups on this list are semidirect
products, with Lie algebras of the form g = Rn x A A2 Rn, having Lie bracket \

[(x, a), (Y,b)] = (0, x A Y), XI v E Rn, a, b E A2 Rn.

These are the nilpotent Lie algebras, free of Step 2, studied in Chapter 6, 52.
The semidirect product Sp(1, R) x, H1 in dimension six is a special case of a
 THE HEISENBERG GROUP

where

(1.6)

Note that rP and m, both preserve C r ( R n ) :

(1.7) T , C ~ ( R " ) C C ~ ( R " ) ;m q C ? ( R n ) ~ C p ( R n ) .

The Heisenberg Group
It is on the Heisenberg group Hn that harmonic analysis will be pursued
first, and furthest, in analogy with Fourier analysis on Rn. A primary goal of
this chapter is to develop harmonic analysis on Hn far enough to solve natural
classes of PDEs that arise on Hn and R x Hn, analogous to the Laplace, heat,
and wave equations discussed in the introduction for Rn. Some of the rich and
It follows that p . D and q X , defined with domains C r ( R n ) ,have unique
selfadjoint extensions, equal to their closures. (See Proposition 2.2 of Chapter
0.) Also, if we define the Schwartz space S(Rn) of rapidly decreasing functions
by
+I z I ) ~ I D ~ u ( z ) ]
(1.8)

where
S(Rn) = { U E CDD(Rn):
sup(1
1
< m for all N , o ,

beautiful structures that arise naturally in this pursuit will stimulate numerous
investigations in subsequent chapters. The operators 11, and Pa which we study
in §§6-8, analopes of the Laplacian, are not elliptic, but, excluding exceptional with Dj = ( l / i ) d / d z j ,we see that
values of a,possess the property of hypoellipticity, discussed in $86 and 7. We
call such operators Usubelliptic!l (1.10) .rpS (Rn)C S (Rn) and m, S (Rn)c S (Rn).
We begin to investigate the group structure of (1.1)-(1.2) by comparing rpmq
1. Construction o f the Heisenberg group Hn. Here we want to construct
and mqrp. Indeed, we have
the group of unitary operators on L2(Rn)generated by the n-dimensional group
of translations

(1.1) T ~ U ( Z=
) U(Z + p), p E Rn, and
and the n-dimensional group of multiplications (1.12) m , ~ ~ u (=z e) i q ' z ( ~ p u )=
( zeiq"u(z
) + p).
(1.2) mqu(z)= eiq.zu(z), q E Rn. Comparing (1.11) and (1.12),we get the identity
+
We will see that such a group is a (2n 1)-dimensional Lie group; Hn will be
(1.13) eip.Deiq,X = eiq.peiq.X ip.D
its universal covering group. Note that the infinitesimal generators of T, and mq e ,
are easily identified. In analogy with (1.54)of Chapter 0,we have known as the Weyl commutator relations, the identity
(1.3) P -
-eip.D

where being known as the Heisenberg commutator relations.

n

(1.4) ( p .D)u(x) = ( l / i )
j=1
CPjau/azj. From this it is clear that the group generated by (1.1) and (1.2) consists
precisely of all operators of the form

Also, clearly,
mq = eiq.X
(1.5) We prefer to express such operators in the form
(1.16) ei(t+~.X+~.D), q, p E Rn, t E R.
 THE HEISENBERG GROUP 45

We use this to define the Heisenberg group Hn. As a Cw manifold, H n = RZn+l.

If we denote points in H n by ( t j , q j , p j ) , with t j E R , qj,pj E Rn,we define the
group operation by
(1.26) ( t i , q i , p r ) . ( t z * q z , p z )= ( t i + t z + ;pi .qz - BPZ . q ~ , q +i q z , p i +pz).
It is straightforward to verify that this is a group operation, with the origin
0 = ( 0 , 0 , 0 ) as the identity element, which makes H n a Lie group. Note that the
inverse of ( t ,q , p ) is given by (-t, -9, -p). It is also easy to show that Lebesgue
measure on RZn+' = H n is left invariant and right invariant under the group
action defined by (1.26). Thus Lebesgue measure gives the Haar measure on H n ,
and this group is unimodular.
The Lie algebra of left invariant vector fields on H n is spanned by the vector
fields

Note that

all other commutators being zero, where the commutator [X,Y] of two vector
fields is XY - YX.
We could use a parametrization of H n suggested by the representation (1.15),
instead of (1.16). Indeed, replacing (1.25) by

which follows from (1.13), we see we get a group Hn isomorphic to H n if the

group law is

The isomorphism from H n to H" is given by

Note that matrix multiplication for ( n + 2) x ( n + 2) matrices of the form

gives the group law (1.30). The parametrization of H n giving the group law
(1.26) has the advantage of being more symmetrical, which will make more
apparent the action of the automorphisms of Hn, as we will see in $4.
 THE HEISENBERG GROUP 47
46 THE HEISENBERG GROUP
This implies a,(x) = a,(z) a.e. for x E B,, if p 2 v, so a(x),set equal to a,(%)
2. Representations of Hn. If Hn is the Heisenberg group constructed in on B,,, is well defined a.e., and (2.7) holds for all u E CF(Rn). It follows that
$1, the operators (1.17) in Proposition 1.1 give a unitary representation of Hn a E Lm(Rn),with llall~m= IIAll, and (2.7) holds for all u E L2(Rn).
on L2(Rn),which we will denote by all Now if A commutes with s l ( g ) for all g , we also have
s1 (t,9, P ) = e
i(t+q.X+pD),
(2.1) (2.8) A~'P=
' ~e ' p D ~ for all p E Rn,
or equivalently which implies
(2.2) sl (t,q, p)u(z)= ei(t+q.z+**/2)~(~p). +
The group homomorphism property This implies a(z) is constant a.e., and the proof of Theorem 2.1 is complete.
We sketch a second proof of Theorem 2.1. Suppose a1 = sI $ a11 is an
(2.3) a1(991)= s1(g)s1(91) orthogonal decomposition on L2(Rn)= HI $ HII. Pick tq E HI, v r ~E HII,unit
follows from the identity (1.25) and the definition (1.26) of the group operation vectors. Then sl(g)w is always orthogonal to Q I , so we have
on Hn. The strong continuity property
(2.4) gj -* g in Hn, u E L 2 ( ~ n+) sl(gj)u+ T I ( ~ ) U in L2(Rn)
for all q,p - E Rn. In particular, for each p E Rn, the Fourier transform
follows from Lemma 1.2.
The building blocks for representations of a Lie group are the irreducible
+
of tq(z p ) q ~ ( z )an , element of L'(Rn), vanishes identically. This implies
v ~ ( z + p ) v ~= ) for each p, which in turn implies V I = 0 a.e. if v I I ( z #
~ (0za.e., ) 0
unitary representations. Recall that a representation s of G on H is irreducible on a set with positive measure. This contradiction proves the irreducibility of
if and only if the only closed linear subspaces of H invariant under a(g)for all
T I . A variant of this second argument, with some needed additional technical
g G are V = H and V = 0. We now show that irreducibility is a property of details, will appear in the proof of Lemma 5.1.
TI.
Let us identify the space Cm(nl)of smooth vectors for the representation nl.
THEOREM2.1. sl, given by (2.2), is an irreducible unitary rep~esentation Recall that to say u E L2(Rn)belongs to Cw(nl)is to say that
of Hn. (2.10) F(t,q, P) = ~ l ( 9,
t ,P)U
PROOF. By the easy part of Schur's lemma, to prove n1 is irreducible it is a Cm function of ( t , q , p ) E Hn with values in L2(Rn). From the explicit
suffices to show that, if A is a bounded operator which commutes with s l ( g ) for formula (2.2), it is clear that every u E S(Rn), defined by (1.8), belongs to
all g E Hn, then it is a scalar. So let A be such an operator. In particular, Cm(al). In fact, this gives all smooth vectors:
(2.5) ~ e ' *= ~ ' P ' ~
forAall q E Rn. PROPOSITION2.2. We have
Using the Fourier decomposition (2.11) CW(nl)= S(Rn).
In order to prove that C w ( s l )c S (Rn),it is convenient to have the following
analysis of smooth vectors for the subgroup of operators (7,: p E Rn).
we deduce that, for all b E S(Rn), PROPOSITION 2.3. Suppose u E L2(Rn)i s a Ck vector for the group (7,: p E
(2.6) A(b(z)u(z))= b(z)Au(x) in L2(Rn),for all u E L2(Rn). +
Rn). If k > n/2, then u is bounded and continuous. If k = IQ I , IQ > 4 2 ,
1 2 0, then D"u is bounded and continuow for all la1 5 1.
We claim this implies
PROOF.By Proposition 2.5 of Chapter 0, u is a Ck vector for 7, if and only
(2.7) Au(z) = a(z)u(x) if
for some a E Lm(Rn). Indeed, let x,(x) be the characteristic function of B, = (2.12) DUuE L ~ ( R ~for) all la1 5 k.
{ z E Rn: 1x1 < v), and let a,(x) = Ax,(x). Note that, if p 2 v and f E
CF(B,), then applying (2.6) to b = f , u = X , gives
<
Thus EuO(<) E L2(Rn)for la[ k, i.e.,

A f = A ( f x p )= a,(z)f ( z ) .
48 THE HEISENBERG GROUP THE HEISENBERG GROUP

But for k > n 12, using Cauchy's inequality, we have is given explicitly on L2(Rn) by
(2.23) T*X (t, q, p)U(z) = e'(*XtkX1'1q.~+~~~/2) +
U(Z x ' / ~ ~ ) .
We remark that r x is unitarily equivalent to rf (A E R \ 0), defined by
(2.24) = r ( t , Q,p) = ei(?t+h.X+~D)
< m,
and given explicitly on L2(Rn) by
i.e., S E L1(Rn). The Fourier inversion formula
(2.25) +
nx#(t, q,p)u(x) = eiX(t+q'2+q'p/2)~(zp), \ 0.
(2.15) u(z) = (21)-~/' / i ( ~ e ~dt. (
ER
There are also the following one-dimensional representations of Hn, which of
course are irreducible. For (y, q ) E RZn,set
then implies u is bounded and continuous. This proves the first part of Propo-
sition 2.3, and the rest follows easily. (2.26) n(,,,) (t, q,p) = ei(~.q+"p).
Proposition 2.3 is a special case of a Sobolev imbedding theorem. For further
Two unitary representations n and p of a Lie group G on Hilbert spaces
studies of Sobolev spaces, see [121,234,239,267]. We now show how it applies H and H' are unitarily equivalent provided there is a unitary transformation
U: H -+ H' such that
(2.27) Ux(g)U-I = p(g) for all g E G.
Such an operator U is called an intertwining operator between s and p.
PROPOSITION2.4. No two dgerent representations of H n given by (2.22)
and (2.26) are unitarily equivalent.
PROOF.The only point with is not completely trivial is the impossibility of
(2.28) U T ~ ( ~ ) U -=' xx*(g) for d l g E Hn,
if A # A'. Indeed, letting g = (t,O, 0), we see that (2.28) implies
u~"~U-' = eixtt for all t E R,

and since eiXt is scalar, this implies eiXt = eixft for all t E R, which implies
X = A'.
We will call the representations xkx the Schrijdinger representations of Hn.
The following important result is due to Stone and von Neumann. A proof
will be given in Chapter 5.
THEOREM 2.5. Every irreducible unitary representation of H n is unitarily
equivalent to one of the form (2.22) or (2.26).
In analogy with the study of the exponential functions ei2.e, which give the
irreducible unitary representations of Euclidean space Rn, we associate to a
function f on G a "Fourier transform"

which will be discussed further in the next section. In analogy with the Plan-
cherel theorem for Euclidean space, there is the following result for Hn.
50 THE HEISENBERG GROUP THE HEISENBERG GROUP 51

THEOREM2.6 ( PLANCHEREL
THEOREM FOR THE HEISENBERG
GROUP). and the operator KR defined by
m
(2.30) /Hn ~ f ( z ) ~=
~ en[_
dz II*A(~)II~SI~I~~A- (3.5) KRf = k * f
is right invariant, i.e., commutes with the operators &, w E G, defined by
Here llTll& = tr(T'T) is the squared Hilbert-Schmidt norm. This result will
be proved in $3. Note that polarization of (2.30) gives (3.6) RUf ( 4 = f (.zw).
If a is a unitary representation of G on a Hilbert space H, then, as seen in
SG
Chapter 0, we can define a(f) = f (z)n(z) dz for f E L1(G). Also, in Chapter
0, a(k) is defined on Cm(a) for any compactly supported distribution, k E E1(G).
If we replace g by a sequence in C$('Hn) tending to the delta function and pass We have seen that, generally, n(k1 * k2) = n(kl)n(k2), given, e.g., kj E E1(G).
to the limit, we get Thus we expect knowledge of a(k) for all irreducible unitary representations of
THEOREM2.7 (INVERSION
FORMULA FOR THE HEISENBERG
GROUP). G to give a great deal of information about the operators KL and KR defined
by (3.3) and (3.5). Here we look into this for G = Hn.
Recall from $2 the representations

Note that the representations (2.26) do not appear in (2.30)-(2.32). One says
this set of representations has zero Plancherel measure. Formula (2.30) can be and
stated as saying that cn(XlndX on R \ 0 is the Plancherel measure on the set of ( t=, ei(y.q+7.p).
~ ( ~ , ~q,) p)
(3.8)
equivalence classes of irreducible unitary representations of Hn.
The way the representations a*x and a(,,,) act on the Lie algebra of H n is We get
easily read off from (2.22) and (2.26). We have
(2.33) akx(T) = fiX, a*x(Lj) = f i ~ ' / ~ z j , rrtx(Mj) = ~ ' / ~ a / d z ~ ,
and
Here I(T,y, 7) denotes the Euclidean inverse Fourier transform
(2.34) r(y,tl)(T) = 09 r(y,g)(Lj) = iyj, r(y,tl)(Mj) = iVj.
(3.10) L(T, y, 7)) = (2r)-(2n+1)/2 / k(t, p)e'(t'+q'yip'd dt dq dp,
3. Convolution operators on H n and the Weyl calculus. Recall from
and the operator k(&X,~ Z X * / ~X1I2D),
X, of the form a(X, D), with f X as a
Chapter 0 that, if f and g are two functions on a Lie group G, the convolution
parameter, is defined by the Weyl functional calculus, as
f * g is defined by
(3.11) a ( x , D) = (2a)-" 1 ~ ( qp)e'
, (vxi'D) dqdp,

where I(q, p) = (2a)-" S a(z, t)e-'("q+e.p) dz d t denotes the Fourier transform

-
Here dw is Haar measure on G; as mentioned, Haar measure on Hn is Lebesgue of a(z, 0.The following gives a constant alternate formula for the Weyl calculus.
measure on R2n+1. This convolution is defined on various classes of functions
and distributions, and we recall that (f, g) f *g defines various bilinear maps, PROPOSITION 3.1. We have, fo~.well-behaved a(z, t),
including
(3.12) a(X, D)u(z) = (2~)-" a(&(zi-y), <)ei(Z-~)'~u(y)
dy dt.
(3.2)
L' (G) x L~(G) -+ L' (G), CF (G) x c?(G) -+ c,"(G),
E1(G) x E1(G) -,E1(G).
PROOF.
By (1.17), we have /
Given a function or distribution k on G, the operator KL defined by
(3.3) K~f=f*k
is left invariant, i.e., commutes with the operators Lw, w E G, defined by
(3.4) Lwf (2)= f (w-'4,
52 THE HEISENBERG GROUP THE HEISENBERG GROUP

First doing the integral with respect to q gives Hence

(3.13)
(2~)-" / a(y, 0 6 ( x - y + $p)e-'('Pu(x + p) dpdz d l (3.20)

= (27r)-n2-n J a(y, <)e"(z-y).' + 2 ( -~ 2)) dy dE,

4% so (3.9) implies

and a simple change of variables gives (3.12).

The operator calculus was introduced by Weyl(2621, and studied by a number
1
(3.21)
cnIIriz~(f)118s
= k,* lj(+.\, +A'/~x,A ' A E )dzd<
~~

of people. Notable investigations include [86] and (1191, on the application to

pseudodifferentialoperators. The pseudodifferentialaspects of the Weyl calculus
= IV/ R1"
li(*',u,r)12 d~ an.
will not concern us here, though they play an important role in the more ad- and hence
vanced treatment of harmonic analysis on the Heisenberg group, given in Chapter
I1 of Taylor [235].
We note that, for any a(x, <) E S'(R2n), the space of tempered distributions,
described in Appendix A, we have a(X, D) defined as a continuous linear operator I so (3.18) is seen to be equivalent to the ordinary Euclidean space Plancherel
theorem
from S(Rn) to S'(Rn). In particular, if a(%,<) is a polynomial in (z, c), then
a(X, D) can be seen to be a differential operator, whose nature we leave as an
exercise for the reader.
i /enI / ( ~ ) Pdz =
This completes the proof of (3.18).
J
Rl"i1
ii('. Y,v)l2 dy dq.

Returning to (3.9), we can state that result a s We take a paragraph to describe convolution operators on the group Bn
(isomorphic to Hn), with the group law given by (1.30), and representations
7rLA given by
where
q,p) = e*iAtef i A 1 / l q . ~ e i ~ l / l p . ~
7rIT;A(t,

or equivalently
I
I
(3.22)
We have
(3.16) k(&.r, y, q) = u ~ ( f . r ) ( f ~ - ' / ~ y~,- ' / ~ q ) , T > 0.
The behavior of n(,,,)(k) is given simply by This is seen to give a representation slightly different from the Weyl calculus,

(3.17)
qY,,)(k) = 1 (,k(t, p)ei(~.q+'.p)dt dq dp defined by (3.11), (3.12). Indeed, for an operator of the form

1
= k(0, y, q) . ( 2 ~ ) ~ .
Formulas (3.14)-(3.16) reduce the study of harmonic analysis on Hn to a
I.
1
(3.24)

we obtain
Au(x) =
J 6(q, p)eiq'Xei~.Du(z)dq dp,

study of one parameter families of operators on Rn. As a simple application of

these formulas, we give here a proof of the Plancherel formula stated in $2, as
formula (2.30):
Au(z) =
J +
~ ( q , p ) e ~ ~ ~p)
u dqdp
(z

In general the squared Hilbert-Schmidt norm of an operator

is $ IA(z, y))2dzdy. By (3.12), we have a(X, D)u(z) = $A(z, y)u(y) dy with which is the Kohn-Nkenberg representation, given in 11411,and in many subse-
quent publications on pseudodifferential operators; we write
(3.19)
J
A(x, y) = ( 2 ~ ) - ~a(; (z + y), ~ ) e ~ ( ~ - yd<.
)'C
54 THE HEISENBERG GROUP THE HEISENBERG GROUP 55

Consequently we have flows generated by Hamiltonian vector fields, defined as follows. If f (q, p) is a
smooth function on (some domain in) Rzn, the Hamiltonian vector field Hs is
given as
i.e., the operator &(k) is naturally expressed in terms of the Kohn-Nirenberg (4.5) H f = C ( a f / d q j ) d / d ~ j- (af /d~j)d/dqj.
formalism rather than the Weyl calculus. A comparison of (3.25) with (3.11), j
using the identity (1.18), shows that As proved in the references above, the flow generated by such a vector field
preserves the form w. If such a flow consists of linear transformations, then of
course the bilinear form u is also preserved. Given f , g E Cw(Rzn),
with
(4.6) Hs9 = {f!9)
(3.29) S(q,p) = ei~.pl2b(q,p), is called the Poisson bracket. Note that {f,g) = -{g, f). Also the Jacobi iden-
which is the same as saying tity holds, so Cw(Rzn) is an infinite-dimensional Lie algebra under the Poisson
bracket. The set P of polynomials in (q,p) is a Lie subalgebra.
(3.30) b(z, E ) = e('/2)D=.D~XI 0. A further basic result in Hamiltonian mechanics is that any vector field X
For more on the relation between the Weyl calculus and the Kohn-Nirenberg defined on a region R C R2n whose flow preserves w is locally of the form (4.5),
calculus, see Hcrmander [119]. with f(q,p) uniquely determined up to an additive constant. If R is simply
The advantage of using the Weyl calculus over the Kohn-Nirenberg calculus connected, in particular if R = RZn,then X is globally of the form (4.5).
in developing harmonic analysis on the Heisenberg group arises partly for the Now if Q is a second order homogeneous polynomial on Rzn, then HQ is a
same reason that the group law (1.26) manifests symmetries more transparently vector field with linear coefficients; hence it generates a flow consisting of linear
than the group law (1.30). transformations preserving w , and hence u, i.e., a one parameter subgroup of
Sp(n, R). We claim this gives an isomorphism of Lie algebras:
4. Automorphisms of Hn; the symplectic groups. The formula (1.26) (4.7) sp(n, R) = {Q: Q is a second order homogeneous polynomial on Rzn).
for the group action on Hn can be written
To establish (4.7), it remains to consider the generator of a general one parameter
(4.1) ( t 1 , ~ l )(t2,w2)
. = (tl +t2 + &u(w1,w2),w1+ wz), subgroup of Sp(n, R). This is a vector field X on R2", with coefficients which
are linear in (q,p), and the flow generated by X preserves w. As mentioned, this
where, if wj = (qj,pj) E RZn,we set
implies X = HQ for some Q E Cw(Rzn), uniquely determined up to an additive
(4.2) , = Pl .q2 - q1 ' p2.
4 ~ 1WZ) constant. Since all the first order partial derivatives of Q(q,p) are functions
which are linear in (q,p), we see that Q must be a polynomial in (q, p) of degree
Thus u is a nondegenerate, antisymmetric bilinear form, called the symplectic
form. We have written, set theoretically,
5 2. Any linear term in Q would lead to unwanted constant terms among the
coefficients of X, so Q must be the sum of a homogeneous second order term and
a constant. The constant makes no contribution to HQ, so we can drop it. Since
It follows that, for any linear map T on RZn, preserving the symplectic form u generally [HQ,HP] = HtQ,p), the Lie bracket is preserved in the identification
given by (4.2), the map (4.7), which is now established. Similarly, for the Lie algebra bn of Hn,we have
(4.8) bn = (1: 1 polynomial of degree 5 1 on Rzn).
The Poisson bracket (4.6) gives (4.8) as a module over (4.7) and this is the
is an automorphism of Hn. We say T belongs to Sp(n, R), the symplectic group. infinitesimal action of Sp(n, R) as a group of automorphisms of bn, induced by
The symplectic group will get a fuller treatment in Chapter 11, but we need its action as a group of automorphisms of Hn, given by (4.4). Note that the
to introduce some concepts here, making some use of the theory of Hamiltonian direct sum of (4.7) and (4.8), P(2), the space of polynomials in (z, 5) of degree
vector fields as presented in a number of basic texts, such as Arnold 141, or [I, < 2, is also a Lie algebra.
-
2391. The representations a&xof H n given by (2.6) give rise to representations of
A linear symplectic map on R2n is a special case of a canonical transformation, the Lie algebra bn of Hn, by the usual formula
which is a map p: RZn -+ R2n preserving the differential form w = zYzl dqj A
(4.9) nkx(X) = lim t-'(n*x(exPtX) - I).
dpj, i.e., cp'w = w. Examples of such canonical transformations are elements of t-0
56 THE HEISENBERG GROUP THE HEISENBERG GROUP 57

We see that, if the description (4.8) of fin is used, we have that 3 has two irreducible components, respectively the even and odd parts of
L2(Rn). The proof is similar to that of Theorem 2.2.
It is useful to know that the Schwartz space S(Rn), consisting of Cm func-
tions which, together with all their derivatives, decrease more rapidly than any
negative power of 121 at infinity, is invariant under the action of 3. We have
We define a representation w of the Lie algebra sp(n, R), given by (4.7), as PROPOSITION
4.1. For all g E s ~ K R ) ,
w(pjpk) = (lli)(alazj)(a/azk),
(4.11) ~ ( q j q k=
) izjxk, PROOF. The group S P ~ R is) connected, so it suffices to show (4.17) for g
~ ( p j p k=
) .$[zk(d/dzj) (a/dzj)zk]. in a small neighborhood of the identity element. Thus one need only show
A unified definition of (4.11) is (4.18) e'tQ(xlD): S(Rn) -, S(Rn),
(4.12) w(&) = iQ(X, Dl, in the special case when iQ(X, D) is one of the operators (4.11), since clearly
finite products of corresponding one parameter subgroups of S P ~ R fill
) out a
where Q(X, D) is defined by the Weyl calculus, extended to polynomials, as
neighborhood of the identity in Sp(n, R). The case iQ(X, D) = ixjxk is trivial,
indicated in the remark preceding (3.22). Note that x l and w fit together to give
and the case iQ(X, D) = (l/i)(d/dxj)(d/azk) follows by taking the Fourier
a representation of the larger Lie algebra P(l).
transform. It remains to investigate the case
For each (real valued) second order polynomial Q, the symmetric operator
Q(X, D) = A is essentially selfadjoint, so the exponential eiQ(X*D)is well defined.
(4.19)
+
iQ(X, D) = i[zk(d/dzj) ( d / d ~ j ) ~ k ]
One way to prove this is to show that the linear space +
= ~ k ( d / d ~ j );6jk.
(4.13) ll= {p(z)e-lzl' : p polynomial on Rn), In this case, integrating an ODE shows
which is clearly dense in L2(Rn), is a space of analytic vectors for A, i.e., (4.20) e'tQ(xJJ)u(z) = dt'ik/2u(z + tzkej),
(4.14) ( I A k u l (5~ ~c ( C ~ k ) for
~ u E ll. where e j is the j t h coordinate vector. This makes (4.18) clear for this case too.
The proposition is proved.
See Appendix D for a discussion of analytic vectors. The proof that (4.14) holds
for A = Q(X, D), Q a second order polynomial, can be reduced to an estimate It is clear that each u E S(Rn) is a smooth vector for 3. By considering
of high order derivatives of e-IzIa, which in turn follows from the estimate
the special case Q(X, D) = -A + )xi2, it can be deduced that conversely each
smooth vector belongs to S(Rn), i.e., S(Rn) is precisely the space of smooth
vectors for 3. It is easy to show that each xkx representing H n leaves S(Rn)
which is proved in Appendix D. We leave the details as an exercise, noting that invariant, and that S(Rn) is precisely the space of smooth vectors for each such
the square root in (4.15) explains why Z l is analytic for second order Q(X, D), representation.
not merely first order. On the other hand, llis not analytic for higher order The following important result relates the representations x * ~and w.
Q(X, D), and there exist such operators which are symmetric but not essentially THEOREM4.2. Let T = exp HQ E Sp(n, R). Then
selfadjoint.
(4.21) n*x(t, Tw) = e-'Q(X*D)nhA(t,W ) ~ " ( ~ I ~ ) .
General results about analytic vectors, described in Appendix D, imply that
the representation w of the Lie algebra sp(n, R) generates a unitary representa- PROOF. If we set w = (q,p) E RZn,then
tion (4.22) w(X,D) = q . X + p . D ,

-
of the universal covering group Sp(n, R) of Sp(n, R). Actually, w can be exponen-
and (4.21) follows from

tiated to a representation of the two-fold c z e r of Sp(n, R), commonly denoted

which we restate as
Mp(n, R), which in turn is covered by Sp(n, R). This representation is called
the metaplectic representation, and will be studied in Chapter 11. We remark (4.24) [(expsHQ)w](X,D) = e-iaQ(XsD)w(~,
~)e;'Q(~g~).
 THE HEISENBERG GROUP THE HEISENBERG GROUP 59

The identity (4.24) is equivalent to the operator differential equation with inner product
(4.25) (d/ds)[(exp sHQ)wl(X,D) = -i[&(X, D), e ex^ ~ H Q ) W )Dl].
(~,
Now the left side of (4.25) is
The operators u H c,u and u H du/13<, are closed linear operators on U sat-
(x,
[HQ(exp ~ H Q ) W I D), isfying the commutation relation [d/dc,, c,] = 1. These operators are not skew
so to prove (4.25), it suftices to show adjoint. In fact, integration by parts and use of the Cauchy-Riemann equations
give
{Q, v)(X, D) = -i[Q(X, Dl, v(X, Dl1
(5.3) (aulafJ, v) = (u, 6v).
for any linear v(z, [) and any second order polynomial Q(z, [). This is readily
It follows that
verified, and the proof of the theorem is complete.
If the covering homomorphism is denoted (5.4)
PI(T) = 2, P~(L,)= (i/t/Z)(a/ac, + $1, A(M,) = (i/JZ)(a/at - $1,
j: S P R ) -, Sp(n, R), i defines a skew-adjoint representation of bn. It generates a unitary representation
and if, for T E Sp(n, R), the automorphism (4.4) of Hn is also denoted T, then I +
Pi of Hn, defined as follows. For (t,q,p) E Hn, let z = q ip, so we write
we can restate Theorem 4.2 as ( 4 % ~=) (t,z), z E Cn. Then h ( t , z) acts on M by
(4.28) n*x(j(g)z) = G(g)-ln*x(z)G(g), z E Hn39 E SPKR). (5.5) &(t, z)u(c) = eat+(a/fi)cz-1z12z~(f+ i ~ l f i ) .
The formula We claim pi is unitarily equivalent to nl. First we give a direct proof of its
irreducibility.
LEMMA5.1. The representation P1 of Hn on M is irreducible.
then yields the following result, known as metaplectic covariance of the Weyl Suppose we have an orthogonal decomposition M = UI
PROOF. $ MII, with
calculus. I MI and MII closed and each invariant under PI, so & = PI @ PII. Pick Q E MI,
PROPOSITION 4.3. or g E s ~ K R ) ,let QI E MII, both unit vectors. We can assume q and VII are analytic vectors, since
analytic vectors are dense (see Appendix D). Such functions are in particular
a q b , 0 = a(j(g)(x, 0). analytic vectors for the operations of multiplication by 5, and of d/ag,; hence,
for some E > 0, ly(c)leEI*Iand Ivr~(c)le'l~Iare square integrable with respect to
aq(X, D) = ~ ( ~ ) - l a ( X
D)G(g).
, the measure e-lcla/2 dc, and, for Icl small,
In addition to the automorphisms of H n given by (4.4), there is also the family (5.6) + +
( ~ I ( s C),~II(S c)) = 0.
of "dilations," given by Making a change of variable in the integral (5.2) for (5.6) gives
-
Q x ( t , q,p) = (&At, f~ " ~ A1I2p),
q,
which was introduced in $2, As pointed out there, we have
A > 0, (5.7)
J vr(f)~I(f)e-Re(~
for c E Cn,Icl small. This implies that
c)e-lcl"2 dc = 0

(6*rtxz) = n*x(z), z E H".

5. The Bargmann-Fok representation. There is a representation of H n
(unitarily equivalent to nl) on a Hilbert space of entire functions on Cn, intro-
duced by Bargmann and Fok, which provides a useful alternative perspective on
the representation theory. Consider the Hilbert space
(5.8)
-
v1(c)vI1(~)e-icl'/~ on R2n = Cn
has a Fourier transform which is holomorphic in a tube and vanishes for small
purely imaginary values. Hence the Fourier transform of (5.8) vanishes identi-
cally, which implies (5.8) vanishes identically. Since vI(c) and vII(c) are holo-
morphic, this forces either VI or VII to be identically zero. This contradiction
proves irreducibility of Dl.
We remark that the delicate argument of Appendix D showing that analytic
vectors are dense is not needed here. Indeed, it is easy to show that the space P

,
 THE HEISENBERG GROUP THE HEISENBERG GROUP 61

of polynomials in < is a dense linear subspace of M, consisting of analytic vectors Here, as in (5.5), our dot product is bilinear. Computing K'K reduces to com-
for pi. If Dl = fi $ PIr, then the projections of P onto MI and MII clearly would puting Gaussian integrals; for K to be unitary, one takes CT = .R-"/~.We omit
provide dense linear subspaces of these Hilbert spaces, consisting of analytic the details.
vectors. I If we use the complex vector fields on Hn,
Since we have (5.18) +
ZJ = LJ iMJ, -
ZJ = LJ - iMJ,
then (5.4) implies
the Stone-von Neumann theorem implies Dl must be unitarily equivalent to TI.
(5.19) pi (2,) = i\/Za/d~J, (ZJ) = ifit.
In fact, we can produce a unitary intertwining operator Considering both the Bargmann-Fok and the Schrodinger representations of
~,)M
K: L ~ ( R - H n leads to many useful insights, as we will see in the following two sections,
and also in Chapter 11.
such that
al = K-'&K, 6. ( S u b ) ~ a p l a c i a n so n Hn a n d harmonic oscillators. A central object
in the application of harmonic analysis on Hn to partial differential equations is
in the form the "Heisenberg Laplacian"
n
(6.1) fo=z(L: + Mi).
with K(z,<) constructed below. We remark that, once the formula (5.12) for J=I
K is obtained, one can verify directly that it defines a unitary transformation This second order differential operator is not elliptic; it is associated to a degen-
satisfying (5.10)-(5.11), so in the end we do not need to depend on the Stone- erate metric on Hn. We also study certain other sub-Laplacians in this section.
I In particular, we need to understand the spectrum of the operator nkx(Lo) for
von Neumann theorem.
Since we have for the Schrijdinger representation i each f A. Note that
n
nl(T) = il, al(LJ) = iz,, rl(MJ) = a/azJ,
\
(6.2) fl(y,r))(fo)= E(Y:
+ $1,
3=1
and, by (2.14),
n
z, K(x, $1 = (1/h)(a/as3 + c3)K(x,S), (6.3) n,tx(fo) = z ( a 2 / a ~ , 2- 2;) = -A(-A +
[xi2).
- (a/azJ)K(z, 5) = ! l / f i ) ( a / a ~ - $)K(Z, 5)- 3=1
as well as being holomorphic in c; thus K(z, $) is determined by its values for
<EE If we first consider the case n = 1, we see that, given K(0,O) = Ci, the
first equation specifies K(O,<) uniquely as
I Thus understanding the spectrum of x*x(fo) is equivalent to understanding the
spectrum of the operator
H = -A + 1zl2.
This operator is called the harmonic oscillator Hamiltonian, as it arises in the
Schrtidinger equation du/at = iHu for the quantum mechanical harmonic oscil-
Subtracting the second equation in (5.14) from the first gives
(a/azJ + zJ)K(z, S) = f i $ ~ ( z ,c), To analyze the spectrum of (6.4), it suffices to treat the one-dimensional case
so we can integrate in the x variable from (5.15) to get H = -d2/dx2 + z2.
K(x,5) = C1 e x p ( h < z - $(c2 + x2)), We have seen in $4 that eatHpreserves the Schwartz space S(R). It follows that
H is essentially selfadjoint on S(R) (see Appendix A). In this case, it is easy to
in case n = 1. We can take products to get for general n. see that the domain of H is precisely
K(z, S) = C; e x p ( f i ~x. - $(<. 5 + Id2)). (6.6) D(H) = {u E L2(R): uU(z)E L 2 ( ~and
) x2u(z) E L 2 ( ~ ) ) .
62 THE HEISENBERG GROUP THE HEISENBERG GROUP 63

We can also deduce that a bounded subset B of D(H) is relatively compact then
in L2(R). In fact, from uy(x) bounded in L 2 ( R ) it follows that u$ is locally (6.17) A : V, -,
uniformly bounded and hence u j is locally uniformly Lipschitz, so a subsequence
can be selected, converging locally uniformly, uj, -t u. On the other hand, and
if ( 1 + x2)ui is bounded in L 2 ( R ) , then for any E > 0 there is an interval (6.18) A* :V -,V,+2.
[-N, N ] = I such that SRiI ) U ~ ( dx Z ) <~ E~ for all j. Hence ujk -+ u in the
In particular, if p E spec H , then either p - 2 E spec H or A annihilates V,.
L 2 ( R ) norm. It follows that
From (6.10) we see A annihilates only the linear span of
(6.7) ( I + H)-' is a compact operator on L2(R).
(6.19) hO(x)= ~ - l / ~ e - ~ ' / 2 .
Thus L2(R) has an orthonormal basis consisting of eigenfunctions for H. Each
eigenspace has finite dimension (dimension one for (6.5), as we will see in a The factor A-'I4 has been thrown in to make ho a unit vector in L2(R). Thus
moment), and the eigenvalues of H must tend to +oo. In a moment we will see we see that Vi is the linear span of ho and that
exactly what they are. (6.20) spec H = {1,3,5,7,. ..).
Generalizing (6.6), we find
By (6.11), A : V, 4 V,-2 is an isomorphism for p 2 3 an odd integer, so each
(6.8) D(Hk) = {U E L 2 ( R ) :z j ~ k Eu L 2 ( R ) for j + 1 5 2 k ) . V2k+' is one-dimensional and is the linear span of
In particular, (6.21) hk(%)= ck(d/dz - ~ ) ~ e =- ~ ~k ~~ k /( ~~ ) e - ~ ' / ~ ,
(6.9) nmk)
k
= where Hk(x) is the Hermite polynomial
H k ( x ) = (-1) kez' (dldx)ke-2'
so all the eigenfunctions of H belong to S ( R ) .
As is emphasized in quantum mechanics texts, one easy way to analyze the (6.22) [k/21
= ( - l ) j [ k ! / j ! ( k- 2 j ) ! ] ( 2 ~ ) ~ - ~ 3 .
spectrum of (6.5) is to use the operators
j=O
(6.10) A = -d/dx - x, A' = d/dz - x. The constants ck are chosen so llhkll = 1; they will be specified shortly. Since
A calculation gives the eigenspaces V, are mutually orthogonal, we know the h k ( x ) are mutually
orthogonal, i.e.,
(6.11) A*A=H-1, AA*=H+l. 00

The first identity shows 1 is the smallest possible eigenvalue of H . These iden-
tities imply
(6.23)
1, H ~ ( Z ) H ~ ( Z ) ~d-s~=' 0 if j

We can evaluate the ck in (6.21) by noting that, with hk E V2k+l,

# k.

(6.12) AH=AA*A+A, HA=AA'A-A,

and hence
(6.24) IlA*hkJ12= (AA8hk,hk)= 2(k + l)lJhk112.
Consequently, if llhkll = 1, in order for
(6.13) [A,HI = 2A.
(6.25) hk+l = -lk+lA8hk
Similarly,
to have unit norm, we need
(6.14) [A*,HI = -2A'.
(6.26) yk+l = (2k + 2)-'I2.
The identities (6.13)-(6.14) are equivalent to
Thus the constants ck in (6.21) are given by
(6.15) H A = A(H - 2), HA' = A'(H + 2). (6.27) ck = [ ~ ' / ~ 2 ~ ( k ! ) ] - ' / ~ .
Hence, if the eigenspace decomposition of H is
Another approach to (6.27) is to use the recursion formula
(6.16) L 2 ( R )= $ vp,
pEspec H
(6.28) +
Hk+l ( x ) - 2%Hk( x ) 2kHk-l(x) = 0 (convention: H-1 ( x ) = o),

I
A
64 THE HEISENBERG GROUP THE HEISENBERG GROUP 65

which can be deduced from the generating function identity We can use this result on the spectrum of the harmonic oscillator Hamiltonian
m H to determine invertibility of the operators nkx (f,), where
(6.29) Hk(z)tk/k! = e2zt-t'.
k=O (6.36) LI, = Lo + iaT.
See Lebedev 11541 for details on this. Note that (6.29) follows immediately from Note, from (2.14) and (6.3),
(6.22). (6.37) nkx(f2,) = -AH 'F Xa = -X(H f a).
Having shown that the spectrum of -d2/dz2 +z2 consists of the positive odd
integers, all simple eigenvalues, we deduce that the spectrum of -A + )zI2on From the analysis of the spectrum of H , we have
+
L2(Rn) consists of all the positive integers of the form n 2j, j = 0,1,2,. ..: PROPOSITION
6.1. n*x(LI,) 6 invertible, for all X E (0, m), if and only if
(6.38) Fa avoids the set { n + 2 j : j = 0,1,2,. ..).
Note that, for H = -A + ]%I2 on Rn, an orthonormal basis of the n +2j As will be seen later, this condition is equivalent to hypoellipticity of the
eigenspace of H is given by operator La.
We now consider more general second order differential operators on Hn,
namely operators of the form
The combinatorially rather complicated form of the Hermite functions given
by (6.21)-(6.22) induces one to seek a simpler approach. In fact, use of the
Bargmann-Fok representation provides a cleaner route to understanding the
spectrum of H. Note, from formula (5.4), where
n

(6.40) Y3.-- L . 3 , . - M3,.

Yn+j- 11j1n,
and (ajk) is a symmetric, positive definite matrix of real numbers. By (2.14) we
have
(6.41)
which is equivalent to saying H and W are intertwined by the unitary operator
=*A(%) = f i ~ ' / ~ z j ,n*x(Yn+j) = ~ ' / ~ a / d =
z j~ x ' / ~ D ~ ,1 5 j 5 n,
K defined by (5.6)-(5.14).
so if Po is given by (6.39),

Now it is very easy to verify that

where

is an orthonormal basis of the Hilbert space U of entire functions on Cn defined

by (5.1), and, by (6.32),
with
(6.34) Ww, = x ( 2 a j + l)w, +
= (2(al n)w,,
j=1
so the spectrum of W is precisely {n + 2j: j = 0,1,2,. ..), and an orthonormal The operator Q(&X, D) appearing in (6.42) is a positive selfadjoint second or-
basis for the 2 j + n eigenspace of W is given by {w,: la1 = j). The formula der differential operator, and we want to find its spectrum. This is gotten from
(6.32) also implies that the unitary group eitw generated by the skew adjoint studying the interplay between the quadratic form Q(x, () on R2n and the sym-
operator iW is given by plectic form

(6.35) ei" f (s) = eintf(e2its), f E U. (6.43) u((z, t ) , (z', 0 ) ) = z . - x' . E on R2n

This is a neat formula. The formula for eitH, which we will consider in the next We define the Hamilton map of Q(z, 4) to be the linear map F on R2" given by
section, is more complicated. (6.44) u(u, Fv) = Q(u, v), U,v E R ~ ~ ,
 THE HEISENBERG GROUP THE HEISENBERG GROUP 67

where Q(u,v) is the symmetric bilinear form on R2" polarizing the quadratic PROPOSITION 6.3. IfQ(z, E) is a second order homogeneous positive definite
form Q(u), i.e., Q(u) = Q(u, u). We are assuming Q is positive definite. So we polynomial, then the spectrum of Q(X, D) is
see that F is skew symmetric and invertible, so its eigenvalues must all be pure
imaginary, nonzero, and occur in complex conjugate pairs, i.e., be of the form
fipj, 15j 5 n, p j > 0.
It turns out that we can pick a symplectic basis of RZn, diagonalizing Q, as where fip,, 1 5 j 5 n, are the eigenvalues of the Hamilton map F associated
with Q by (6.44), p j > 0.
LEMMA6.2. If Q is positive definite, there is a symplectic basis of RZn, Note that changing (z, E) to (-2, <) changes the sign of the symplectic form on
{e,, fj: 1 5 j 5 n), i.e., a basis satisfying Rn, so the Hamilton map of Q(-z, () is similar to the negative of that of Q(z, t).
Thus the two Hamilton maps of Q ( f z, t ) have the same set of eigenvalues, so
, = 0 = ~ ( f jfk),
~ ( e jek) , , = 6jky
~ ( e jfk) Q(-X, D) has the same spectrum as Q(X, D); the two operators are unitarily
such that, if equivalent.
n
Generalizing Proposition 6.1, we can determine invertibility of the operators
U= ~~~jej+pjfj,
j=1 m x (Pa), where
(6.53) +
Pa = Po iaT, Po given by (6.39).
n
Note that
Q(u, 4 = C p j ( a j 2 + P;),
j=1 (6.54) w ( p a ) = -X[Q(fX, D) f a].
w"thp j given by (6.45). We have
PROOF. F-I is characterized by u(u,v) = Q(u, F-'v), so F-' is skew sym- PROPOSITION6.4. T*~(P,) is invertible for all X E (0,m), if and only if
metric with respect to the inner product Q. Thus there is a basis {Ej, F!: 1 5 (6.55) fa avoids the set (6.52).
j 5 n) of R2", orthonormal with respect to Q, such that This condition turns out to be equivalent to hypoellipticity of Pa, and also
F-'Ej = -Aj$, F-'Fj = AjEj, Xj > 0. implies hypoellipticity of any operator of the form

(6.56) P = Po +iaT + x
2n

j=1
ajYj, a j E C.

An operator P is said to be hypoelliptic if, for any u E D', u is smooth wherever

Pu is. The connection between Proposition 6.4 and hypoellipticity is exploited
in many places; we mention (64, 108, 204, 235, 173).We will say a little more
about this in the next section.

G(g)-lQ(X, D)3(9) = Q g G , D)

n
(6.57) + +
p j ( L j Mj) iaT.
Qg(xl €1 = x ~ j ( $+
j= 1
b), That this can be arranged is also a consequence of Lemma 6.2.

so Q(X, D) is unitarily equivalent to 7. Functional calculus for Heisenberg Laplaciane and for harmonic
oscillator Hamiltonians. We would like to understand the behavior of func-
xn

j=1
pi(-a2/az; + 2;).
I
1 tions f(-fa), f(-Pa) of the selfadjoint operators f a , Pa considered in 56.
Recall that
Our analysis of the spectrum of the one-dimensional harmonic oscillator then
yields the following result.
j= 1
68 THE HEISENBERG GROUP THE HEISENBERG GROUP 69

and, more generally, The Weyl symbol ht(z, F ) is related to the kernel of the operator e-tH, defined
2n by
(7.2) Pa = ajkqYk + iaT,
j,k=l
where
Yj = Lj, Yj+, = Mj, 1 5 j 5 n,
and (ajk) is a positive definite symmetric matrix of real numbers. The operators
f (-La) and f (-Pa) are defined by the spectral theorem. Recall that
(7.14) Kt (z, y) = (2n)-"
J ht (4 (z + y), <)ei(z-y)'Cdt.
Consequently, the identity (7.11) (for n = 1) is equivalent to
(7.3) ur,(iA)(X, D) = -A(-A +
1zI2f a),
(7.4) up, (kA)(X, D) = -A[Q(f X, D) 5 a].
We have also set This is Mehler's formula for the hdamental solution to auldt = Hu. By virtue
of the analysis of spec H and the formula (6.21) of 56, thii is in turn equivalent
(7.5) .*x(k) = UK(* Dl, to the generating function identity
for K u = u * k, as defined in (3.14). m

It follows that
(7-7) uf(r,)(f A)(X, D) = f (-A(-A + 1zI2f a)),
and more generally,
for products of Hermite functions. A direct proof of (7.16) is given in Lebedev
(7.8) ~~(P,)(*X)(X,D)= f(-A[Q(fX,D) f 01). [154], pages 61-63.
Thus we need to understand The next proof we give of Proposition 7.1 is independent of the above, and
this provides a proof of (7.16), as remarked by Peetre 11941, whose derivation
(7.9) f (H), H = -A 1xI2,+ we follow in (7.21)-(7.24). First we derive a general formula for (the Fourier
and more generally to understand f (Q(X, D)), hopefully with a parameter X transform of) the Weyl symbol of an operator.
thrown in. LEMMA7.2. We have
The first case of (7.9) we study is f (H) = e-tH. We produce the Weyl symbol
of such operators, as follows.
PROPOSITION7.1. We have PROOF. We will apply the inversion formula on the Heisenberg group, which
reads
(7.10) e-tH = ht (X, D) Pca

with
(7.11) ht(x, 5) = (COsht)-ne-(tanht)(lz12+l~12). Now, if (%g)(A,q,p) denotes the Fourier transform with respect to the first
variable, we have, setting A = 1,
Equivalently,
(7.12) At (q,P) = (2 sinh t)-ne-('/4)(coth t)(l'?12+l~I".
Now we can apply this to any case where q ( g ) = F(X, D), and given any
This result goes back to Mehler [154]. As it is a central result, we will give
F(X, D) there exist many such g. Since according to (3.16) we have F(y,q) =
several proofs.
i(1, y, q), we get (7.17), upon taking Fourier transforms.
First note that, by commutativity, e-tH = e-tHl ..-e-tHn where H j =
-a2/azj2 + 2;. Thus ht(x, t ) = ht(xl, 51) ...ht(zn, t,), and kt(q,p) satisfies
We now turn to a second proof of Proposition 7.1. We have already reduced
to the case n = 1. Now (7.17) implies
the analogous multiplicativity conditions. Hence it suffices to prove the propo-
sition for H = -dl/dz2 +
z2, acting on functions of one variable.
70 THE HEISENBERG GROUP THE HEISENBERG GROUP 71

In order to calculate this trace, one would naturally choose a basis for L2(R) We can use Proposition 7.2 to analyze the solution operator
diagonalizing H, i.e., the basis hj(z) given by (6.21). We can avoid a lot of (7.29) esL o
combiiatorial work in evaluating the result if we instead use the Bargmann-Fok
representation Dl, defined by (5.5). Note that to the "Heisenberg group heat equation"
(7.21) n ( 0 , q,p)f (HI= K-'P1(0, q,p)f (W)K,
where K is the unitary operator given by (5.8) and W is given by (6.32), i.e., In fact, by (3.16), we have
(7.22) W = 2$/a$ + 1 (for n = 1).
In this case, recall the orthonormal basis of U diagonalizing W is
with
(7.23) wj(<) = (2/j!)112<j. I,(&T, y, q) = ue.to( f ~ ) ( f ~ - l / ~ y- ,l / ~ q )
+
Hence, if (q,p) is identified with z = q ip E C, (7.32) = ha,(& T - ' / ~ ~ , T - ' / ~ ~ ) .
(7.24) czlLt(z)
Hence, if
= tr(pl(O, - ~ ) e - ~ ~ )
(7.33) i = 1 w

-00
e-"*kS(t,q.p) dt,
we have, by (7.12),
(7.34) (?ik,)(~, q, p) = cnTn(sinhST)-" exp[-(T coth s7)(lqI2 lpI2)/4], +
which implies
(7.35)
w
ks(t, q, p) = cn /__ eiTtrn(sinhST)-" exp[-(T coth s ~ ) ( l q+l ~Ip/2)/4]dr

Note that the right side of (7.35) is equal to ~ - ~ - l k l ( t / s , q / f i , p / f i ) , with

This proves (7.12), and (7.11) follows by taking Fourier transforms.
A third proof of Proposition 7.1 will be given after the proof of Lemma 7.8. (7.36) kl(t, q, p) = c, e i t T ( ~ / s i n h ~exp[-(?coth~)(l~)~
)n +
Ipl2)/4]dr,
We can use the same multiplicativity argument as above to deduce that, if
n a smooth rapidly decreasing function on R2n+1, i.e., an element of the Schwartz
(7.25) &(X,D) = x & ( - a 2 / a z j + zj), pj > 0, space S(R2*+l). This gives the following conclusions for the "heat kernel."
j=1 7.3. We have, for s > 0,
PROPOSITION
then
(7.37) eSL060(t,q , ~ =
) ks(t, q , ~ ) ,
(7.26) e-tQ(xJ"' = (x,D),
with
with
r -I
(7.38) ks(t, Q,P) = ~ - ~ - ' k(tls,
i q/&, P l f i ) ,
and kl E S(R2"+') given by (7.36).
and This result was obtained by B. Gaveau 1701, by a different method, utilizing
a diffusion process construction. See also Hulanicki [127].
We can more generally construct the kernel of the "heat semigroup" e-tpa
for an operator Pa of the form (7.2), with (Real sufficiently small, as follows.
II 72 THE HEISENBERG GROUP

First, as noted in 56, by choosing an appropriate automorphism of Hn, we can

f
1

I
:

n
THE HEISENBERG GROUP

suppose (7.48)
n I n ( ~ / s i n h p j . r )= ( - T - ~det
j=1
~ sinh(~/i)~~)-'/~.
(7.39) Po = C p J ( ~ j 2 + Mj), Now let
j=1
! (7.49) AQ = ( - ~ 6 ) ' / ~
and then (7.4) holds with Q(X, D) given by (7.25). Thus we have !
be the unique square root of the matrix -F$ with positive spectrum, and define
a quadratic form 7 on RZnby
with

H
i
@(&T, y,q) = ue.PO( * ~ ) ( * ~ - l / ~,y~ - l / ~ q ) We see that, in the symplectic coordinate system on RZn such that Q(z, z) =
(7.41) I
= h27(&~-1/2y,r-llZq), i C ~ ( q j 2 + ~ ; )z, = ( q , ~ )wehave?(z,
, 2) = C(q;+pj2), and thus r ( f ( A ~ ) z , z =
)
where h$(z, <) is given by (7.27). Hence if (71kf)(~,q,p)denotes the partial
+
f (pj)(q; p?). Consequently,
n
Fourier transform of :k with respect to the first variable, we have, by (7.28), I - (712) C(cothpjT)(q; + p;) = - ( T / ~ ) Y ( c o ~ ~ T A2)
Qz,
(7.50) j=1
n
(3k?)(7, q, P) = cn n ( ~ sinh
j=l
/ S7/lj) exp
j=1
iI = - ( T / ~ ) Q ( A QC~O ~ ~ T A8).
QZ,
I Thus we can rewrite the heat kernel (7.45) invariantly as
As before, we obtain 1 (7.51) k?(t, I) = & LWm
~"'@Q(T,z) dr
II (7.43)
7.4. With Po given by (7.39), we have, for s > 0,
PROPOSITION
) k?(t, Q, PI,
esP060(t,q , ~ =
i with
(7.52)
with @Q(T,t ) = ( - T - ~det
~ sinh(~/i)FQ)-'/~ e x p [ - ( ~ / 4 ) Q ( ~coth
~ ' T A ~ zt)].
,

(7.44) k?(t, q, p) = s-"-'k?(tls, qlJ;j,~l&),

Note that, if Pa = Po iaT, +
+
II and kp E S(RZn+') given by I (7.53)
eSPe6o(t,q, p) = esP060(t isa, q, p)
= s-"-lk?((t/s) + i a , q / 6 , plfi)
where k?(t + icr,q,p) is defined from (7.51) by analytic continuation, as long as
n
(7.54) (Real < C ~ j .
j=1
We proceed now to some general observations about functions of the harmonic
It is desirable to express this kernel in invariant form, not depending on the +
oscillator Hamiltonian H = -A 1 ~ ) It ~ .is no accident that the symbol ht(z, <)
I coordinate system chosen to implement (7.39). We do this using the Hamilton of e-tH, given by (7.11), is a function of 1xI2 +
This result, for general
i map FQassociated with the quadratic form Q, as defined in $6, i.e., f (H), follows by symmetry, using the metaplectic representation discussed in
I 54. Recall the formula
(7.46) U(U,FQV)= Q(u, v), u, v E R ~ ~ . I
/ 11 From the discussion of FQin the proof of Lemma 6.2, it follows that
I with g E s ~ K R )and j: s ~ K R )-, Sp(n, R) the covering homomorphism,
where the symplectic group acts on RZn,preserving the symplectic form
(7.47) det sinh(7/i)FQ = -
74 THE HEISENBERG GROUP
I THE HEISENBERG GROUP 75

Note that we can write (noncanonically), RZn = C n with z = z + i t , and then (4.12). In fact, the Lie algebra of such infinitesimal generators (with A selfadjoint
u(z,zl) = Imz - 2. This makes it clear that the unitary group U(n) on C n on Cn) has dimension n2 and is spanned by
preserves the symplectic form. Since the unitary group acts transitively on the
unit sphere in Cn, we have immediately I (7.60) +
~i~= i(cja/ack ckalacj), M ~=
! ~cja/ack - 6ka/afj.
PROPOSITION7.5. The symbol a(z, <) is a function of 1zI2 + /<I2 alone Q 1 These operators are intertwined by K to
and only if a(X, D) commutes with 3(g) for all g E j-'U(n).
We will suppose the amplitude a(z, 5) is sufficiently well behaved. One tacit
restriction we make is a(X, D) maps S to S and S' to S'. We define Rad to
1 where

consist of a(z, E) of the form b ( ( ~ ( ~ + l E

and
( ~OPRad
) to consist of the associated
a(X, D). Proposition 7.5 yields
PROPOSITION7.6. If f : Rf 4 R is polynomially bounded, then f (H) E I In turn it is easy to verify that the vector fields HA,, and H,., generate U(n) in
+
Sp(n, R). All the functions (7.62) have zero Poisson bracket with 1zI2 I<I2,and
U(n) is precisely the subgroup of Sp(n, R) leaving invariant the quadratic form
OPRad.
In fact, the converse is true.
I +
lz12 [El2. This proves that every element of (7.60) comes from some element
of the Lie algebra of j-'U(n) via the homomorphism w', which is enough to
establish the lemma.
PROPOSITION7.7. If A E OPRad, then A = f (H) for some (polynomially Now the unitary representation p of U(n) on K, given by (7.59), restricts to
bounded) f (A). a unitary representation on 4, the space of polynomials in c homogeneous of
PROOF. Note that under the representation 3 of j-'U(n) on L2(Rn), each degree j , which we shall label Dj. Then (7.56) is equivalent to the irreducibility
eigenspace of H is invariant. We claim that any A E OPRad acts as a scalar on of Dj on Pj. This, finally, is a classical result in the representation theory of
each eigenspace of H, which, by Proposition 7.5, is equivalent to the assertion the unitary group U(n), which will be proved in Chapter 2, so Proposition 7.7
that \ is proved.
We now give a third proof of Proposition 7.1, which is taken from Appendix
(7.56) Gjj-'U(n) acts irreducibly on each eigenspace of H. A of (2351. We can deduce from Proposition 7.6 that ht(z, E) is a function of
In order to establish (7.56), it is convenient to work with the form of the
metaplectic representation associated with the Bargmann-Fok representation of
I +
1zI2 /El2. If we set

Hn, namely, let

then we can deduce a formula for bt(z, E). In fact, for a general quadratic
Q(X, D), and a general Weyl operator a(X, D), a straightforward calculation
shows
Then w'j-'U(n) acts on each eigenspace of W = KHK-', and we have seen I
+
(recall (6.16)), that these eigenspaces (associated to eigenvalue 2 j 1) consist
precisely of the polynomials in c, homogeneous of degree j.
with
LEMMA7.8. The action of w'j-'U(n) on K is given up to scalar multipli- b(z, €1 = Q(z, E)a(z, 9 - ${Q, a)(z, €1
cation by (7.65)
3
- Ck(a2/aykatk - a 2 / a ~ k a ~ k ) 2 Q
<)a(Y,O)
(~,
where the last term is evaluated at y = z, = 6. In our case, where Q(z, [) =
where +
1zI2 1(12, we have {Q, ht) = 0, so
(7.66) bt(zl E ) = ~ ( 2o,h t ( z jE) - t zk(a2/az: + a2/at:)ht(z, €1.
PROOF. The infinitesimal generator of any one parameter group f(c) H
I
I Hence ht(z, 6) must satisfy the equation
f (eitAc) is a first order differential operator in a/dcj, 15 j 5 n, with coefficients
linear in ck, which is intertwined by K with some operator Q(X, D), of the form
76 THE HEISENBERG GROUP THE HEISENBERG GROUP 77

If we write where
(7.68) ht(z, <I= g(t,Q), Q = 1212+ IEI2, (7.78) +
+,(q,p) = ~ ~ - ' ( 2 1 ~21pl2)e-lql"I~Ig.
)~
then (7.67) becomes It seems that any concrete information on f (H) obtainable from (7.72), (7.73),
could be obtained just as easily from the formula (7.11) for e-tH, by some kind
(7.69) + +
a d a t = - ~ g QaZg/aQ2 nag/ag. of synthesis. For example, if we denote the resolvent of H by
Now, having grown accustomed to (7.11), we make the "inspired guess" that (7.79) (H + a)-' = ra(X, D),
(7.70) ht(z, 5) = a(t)e-b(t)(lzla+lela), i.e., g(t, Q) = a(t)e-*@IQ. then
Then the left side of (7.69) is (ai/a-VQ)g and the right side is (-Q+Qb2 -nb)g,
so the identity (7.69) is equivalent to
(7.71) ai(t)/a(t) = -nb(t) and bi(t) = 1- b(t)2.
We can solve the second equation for b(t) by separation of variables. Since
ho(z, E) = 1, we need b(0) = 0, so the unique solution is seen to be b(t) = tanht.
Then the equation a'la = -ntanht, with a(0) = 1, gives a(t) = (cosht)-".
This completes the third proof of the identity (7.11).
We now obtain the following general formula for an operator f (H). An equiv-
alent result was obtained by Peetre [194]; see also Miller [175], Geller [75], and
Nachman [181]. where the identity is fist seen to be valid for Re a > 0. We leave it as an exercise
PROPOSITION
7.9. We have to the reader to analytically continue (7.80) to all complex a not an integer of
the form -2j - n, i.e., not in the spectrum of -H.
(7.72) f (H) = cn xf
m

j=O
(2j + 1)1Zj(x,D) One can also analytically continue the formulas associated with e-tH to an-
alyze eitH, t E R, and synthesize operators from this unitary group. This is
with discussed in Taylor 12351.
Formula (7.80) could be used to get a formula for
(7.73) qj(z, E) = (-1)j~jn-l(41~12+ $1zl2)e-('/*)(1~1~+IEI~).
Here Ly-' is the Laguerre polynomial: Alternatively, as pointed out by Gaveau [70], we can get a formula for I , from
the identity

For properties of Laguerre polynomials, see Lebedev [154], page 76. The one
property we use here is the generating function identity
(7.82) .ti1= 1 w
eaPods, [Real < n,

w
as follows. The formulas (7.36)-(7.38) give
(7.75)
j=O
Ljm(z2 + t2)0j = (1 - e)-"-' eq[-e(z2 + t2)/(1 - e)]. l,(t,q,p) = /
0
03

s-n-lkl((t/d + ia, q/&, P / J ~ )ds

In fact, this identity makes (7.73) an immediate consequence of (7.11). Similarly,

(7.12) and the same generating function identity yield
(7.83)
=LmL
.
8-n-leir[(t/a)+ia] (T/ sinh T ) ~

e - ( r ~ o t h r)(191a+l~la)/2s
dTds.
(7.76) f (HI = F(X, D)
If we first integrate with respect to s and use
with
 THE HEISENBERG GROUP THE HEISENBERG GROUP 79

we get, for lRe a1 < n, We see that P, is smooth in (t, q,p), for s > 0. Note the homogeneity
Ps(t, q, P) = s-2n-1Pl (tls2, qls,pls).
Note that (7.91) continues naturally for complex s such that 1 argsl < z/4.
= ck /__ e - " ' [ ( c o s h ~ ) ( ~+~ ~lpI2)/2
m
~ - i(sinh~)t]-'dr. Note that e-s(-CO)lll is a holomorphic semigroup for Re s 2 0, and it is desirable
to understand its kernel, particularly for s = iu, pure imaginary. Analytic
continuation of (7.91) and application to the study of the wave equation on the
Note the mixed homogeneity:
Heisenberg group will be made in the next section.
l,(rt, r'/2q, ~ ' 1 =
~ renl,(t,
~ ) q,p). We end this section with a brief look at spectral asymptotics for the Heisenberg
Laplacian f o and certain other operators, on compact quotients of Hn. Let
We leave it as an exercise to the reader to verify that (7.85) defines a function r c H n be a discrete subgroup such that H n / r is compact. Such co-compact
smooth for (t, q,p) # (0,0,0), smooth even near the rays q = p = 0, t # 0. We
groups appear naturally if one ~ n s i d e r H",
s isomorphic to Hn, as the group of
also leave it as an exercise to analytically continue (7.85) to a E C such that matrices (1.32). One can take r to be the set of s_uch matrices such that t,q,p
+
f a avoids the set {n 2j: j = 0,1,2,. ..}. Integration by parts is effective. It have all integer~ntries,for example, in which case r is a discrete subgroup of H"
is perhaps convenient to write (7.85) as such that Hn/r is diffeomorphic to a circle bundle over T2". The formula for
(7.87) l.(t,q,p) = c; /-
-W
+
[(z2 l)ll2 - zla[($ + 1)1/2(1q12+ lpI2)/2 - izt]-" esC0 on H n / r is obtained from that on Hn by the standard method of images
(also called Poisson summation). If kf (t, q,p) denotes esLO&(t,q,p) on Hn/I',
(z2 + 1)-'12 dz. we have

Equivalent formulas were given in Folland and Stein [64]. The smoothness of (7.93) k,#(t, q, P) = C kS(7 .(t, q, PI)
(7.85) away from (t,q,p) = (0,0,0) implies that, if f E E'(Hn), then f is fzl -fa-
smooth where f is. Hence if u E &' and f p u = f , then u is smooth where f is, where k8(t,q,p) is given by (7.35). The rapid decrease of this function implies
i.e., La is hypoelliptic. the sum in (7.93) is convergent, to a smooth function, for s > 0. Thus, for s > 0,
We can also calculate the kernel esC0 is a smoothing operator. In particular it is a compact selfadjoint operator
in L2(Hn/I').
t , = Ps(t, q,p)
( - f o ) - 1 / 2 e - s ( - L o ) 1 1 a 6 ~ (q,p) We deduce that Lo has a discrete spectrum tending to -m, on L2(Hn/I').
from the heat kernel (7.35), using the subordination identity (which follows by We can study the asymptotic distribution of the eigenvalues of Lo by examining
taking the A-derivative of the formula (1.11) in the Introduction): the asymptotic behavior as s 10 of
(7.94) tr esCO = e-~13
3

where { - p J } is the set of eigenvalues of Lo, repeated according to multiplicity.

with y = 8, A = (-f!0)'I2. We get
Since H n / r is homogeneous, we have
00

( t q p) = z 2 e-s1/4vv-1/2kv(t,q,p) dv (7.95) tr eSCo= (volHn/r)k,#(O,0,O).

0
i
V-n-3/2 e-s1/4v ett+/v(r/sinh~)" 1 In light of (7.93) and the behavior of k3(t, q, p), we deduce
(7.96) tr esCo= (volHn/I')k8(0, 0,O) O(sw), + s 10.
I
Thus, from (7.39), we have
and if we first do the v integral, using (7.84), we get tr eSeo= r,(~olH"/I')s-~-' + O(sw), 8 10,
as a complete asymptotic expansion for the trace, where

I
rn = kl(O,O, 0) = c, /-w
w
(r/ sinh r)" dr.

I
I

I
80 THE HEISENBERG GROUP

This is a special case of "heat asymptotics" for some general classes of subelliptic
operators, studied in greater generality in [171, 15, 2351. More generally, one
gets an infinite sum involving increasing powers of s, rather than just one term.
This is analogous to the complete asymptotic expansion for the trace of the
ordinary heat kernel on a general compact Riemannian manifold (see [166]),
compared to that for the torus Tn.
A standard Tauberian argument, due to Karamata (see, e.g., 12341, Chapter
XII), shows that (7.97) has the following implication on the counting function
(7.99) N ( p ) = cardinality of {-pj spec Lo : <j < <}.
Namely,
(7.100) lim <-"-'N(P)
Ir-'=Q
= m(vo1 Hn/r)/r(n + 2).
On Hn/I' is also a family of Riemannian metrics, depending on a parameter E,
degenerating (or rather exploding) as E 10, characterized by having associated
Laplace operators

It is desirable to consider the spectral asymptotics of L, as E 10. The analysis

given here arose in conversations between the author and Jeff Cheeger. We will
produce a uniform analysis of

for E E [0, El, a compact interval in R f .

The same computations giving the kernel of esLo on H n in Proposition 7.3
show that, on Hn,
(7.103) esLc60(t,q, P) = kE,,(t, 9 , ~ )
with
(7.104)
m

1,
kE,S(tlq, p) = c ~ s - ~ - ~ei+(t/s)(T/sinh T ) n e - ( ~ ~ ~ t h r ) ( ~ q 1 2 + l ~ 1 2 ) dT

= s - n - l ~ ( t l s ,Q/&, P/&,E/s),
/~e-~+2/~

where

Now, if H n / r is compact, the same Poisson summation arguments used above

show that

uniformly for E E [0,El. Here, the volume element on H n / r is induced from a

fixed Haar measure on Hn. The degenerating metrics give a family of volume
 THE HEISENBERG GROUP

Now f (c) has poles at < = n, 2n, 3a,..., so we can deform 7 as indicated in
Figure 8.2.
It is clear that we can continue P,(t,O) to the entire half plane {s E C: Re s >
01, and, on the boundary of this region, i.e., the imaginary axis, P,(t,O) con-
tinues analytically as long as -s2/A avoids the points jn, j = 1,2,3,. ... Thus
P;,(t,O) = ( - ~ ~ ) - ~ / ~ e ' ~ ( - ~ 0 ) ~ is' ~analytic 0 ) long as s2 # 4ltljn, j =
6 ~ ( t , as
1,2,3,. ... Note also that P;,(t,O) and P-i,(t,O) agree for s2/41tl < n , so
(-L0)-1/2 ~ i n s ( - L 0 ) ~ / ~ 6 ~ ( tvanishes
,0) for It1 > s2/4n. This is a special case
of the finite propagation speed which we will derive.
We want in general to deform the contour 7 so that its image g(7') will hug
a segment of the positive real axis. Let us note that, for z E R, scot z is
monotonically decreasing from 1 to -w for z E [O,n), with derivative zero at
z = 0, going to -co as z -+ n. Thus, assuming A > 0, for x E [O,n), g(z)
increases from g(0) = B to a maximum at x = xo and then decreases to -w as
x -,?r. The point zo = xo(A, B) E [0,n) is defined by gl(zo) = 0, i.e.,

(8.12) A sin2 so = B(zo - sin zo cos zo),

since

(8.13) gl(q) = [Asin2 5 - B(< - sin 5 cos <)I/ sin2<.

Thus deforming the path 7 so it crosses the real axis at xo and proceeds for a
while along the curve orthogonal to the real axis through zo along which g(<)
is real-valued, effects a deformation of the contour g(7) to a curve which hugs a
+
segment of the real axis [E, E E ) . See Figure 8.3.
Here

(8.14) E = E(A,B) = ~ ~ x { ~ A , B (0x5) z: < R).

 THE HEISENBERG GROUP THE HEISENBERG GROUP 85

In particular, if g(5) is real, then B cos <+Asin < is either real or pure imaginary.
It follows that, if
(8.19) < = u + iv, u, v real,
then either < is real, or
(8.20) B c o s u + A s i n u = 0 or - Bsinu+Acosu=O.
Now, write
cos = cos u cosh v - i sin u sinh v,
(8.21)
sin < = sin u cosh v + i cos u sinh v.
If g1(<)= 0, we must have, by (8.17),
FIGURE
8.3 (8.22) c = cos < sin + (AIB) sin2 5,
and substituting in (8.21) and equating real and imaginary parts, respectively,
We see that Pts(t, Z) and P-,,(t, z ) agree for s2 < E , which gives us our result gives
on finite propagation speed:
+
u = (sin u cos u (AIB) sin2 u) cosh2v
PROPOSITION
8.1. The fundamental solution of the wave equation (8.23) + (sin u cos u - (AIB) cos2u) sinh2v,
sins(-L0)'/~60(t, Z) +
v = (cos2u - sin2 u 2(A/B) sin u cos u) sinh v cosh v.

vanishes for E(41t1, 2 1 ~ 1 >

~ )s2, where E(A, B) is defined by (8.14). Now, the first possibility in (8.20) yields

Note the simple estimate (8.24) +

u = -(A/B)[l (AIB)'] sin2 usinh2 v,
(8.25) +
v = -11 (A/B)~]sin2usinhv coshv,
E(A, B) 2 B + coA
and dividing these equations gives
for some positive co.
We proceed to make a more global deformation of the path y, to a path y1 on (8.26) u = (A/B)v tanhv.
which the function g(<) is real. Start at so and go along the path y1 orthogonal Note that (8.24) implies (B/A)u 5 0 and (8.26) implies (B/A)u 2 0. Thus we
to the real axis at zo, on which g(<) is real. Continue until you hit a point < see that the first possibility in (8.20) does not allow for a nonreal < satisfying
where gl(<) = 0. Then make a turn of n/2 counterclockwise (if g" # 0 there) I the hypotheses of the lemma.
and continue, still keeping g(<) real. In order to analyze what sort of path we On the other hand, the second possibility in (8.20) yields
I
get, it is useful to have the following result.
(8.27) +
u = (AIB) [I (BIA)'] sin2 u cosh2v,
LEMMA8.2. If g(<) is real and gl(() = 0, then 5 is real. +
v = [I (BIA)'] sin2 u sinh v cosh v.
PROOF.Note that Also cos u = (BIA) sin u implies

g(<) = (51sin <)(Bcos < + A sin <) 1 = [ I + (BIA)~]

sin2 u,
which, together with (8.28), yields

gl(<) = (B cos < + A sin < - B</ sin <)/sin <. (8.29) v l sinh v = cosh v.
But the left side of (8.29) is 5 1 and the right side is 2 1, with equality only at
Thus, if gl(<) = 0,
v = 0. Again we get no nonreal s satisfying the hypotheses of the lemma, so the
g(<) = B ( < / ~ i n <=) ~B-'(Bcos< + as in^)^. proof is complete.
 I

THE HEISENBERG GROUP

It remains to study the real numbers x such that gi,B(x) = 0. We have

already discussed the unique such point in the interval [O,r), denoted so(A, B).
1
11
1 From the way scot < decreases from +co to -aon any interval (jn, ( j l)n), +
j 2 1, one can see that on each such interval, gi.B(x) vanishes either nowhere,
or on a pair of points xj(A, B) < yj(A, B), which for certain values of A and B
coalesce to a double root xj(A, B) = yj(A, B). For given A, B, there are only
finitely many such points. These points approach the poles {kn) as B + 0.
The deformation of 7 to take is now clear. Starting on the path described
above through zo, proceed into the complex domain on a path on which g(<) The Unitary Group
is real, which either remains away from the real axis indefinitely and on which
\ is never zero, or which returns to the real axis,. say at xi(A, B). Proceed
o"'(c,-,
from zj(A, B) to y i ( ~B), along the real axis, and then take off into the complex The unitary groups U(n) have the simplest structure of all the compact Lie
domain, along a path orthogonal to the real axis at yj(A, B) on which g(<) is groups (other than the tori Tk).We will give a full account in this chapter of the
real. Continue in this fashion, to effect an analytic continuation of P,(t, z) to representations of SU(2), and also of SU(3), granted some arguments to be pre-
{s E C : Res > 0). At regular points of this curve, it is possible to continue a sented in Chapter 3. This chapter also presents the basics of the representation
little further, so we obtain our result on the singularities of the kernel Pi,(t, z). theory of U(n) for general n. A complete parametrization of the irreducible r e p
THEOREM 8.3. The fundamental solution of the wave equation, resentations of SU(n) for general n will be given in Chapter 3, as an application
of some general results about compact Lie groups, which will be seen to gen-
(-fo)-1/2sins(-f0)1/26~(t,z)
eralize the development of $2 of this chapter. More detailed accounts of SU(n)
has singularities only where, for some j, and U(n) can be found in Zelobenko [268]and Weyl [261].We also consider
(8.30) s2 = gA,~(xj(A,B)) 07 SA,B(Y~(A~ B)), a subelliptic operator on SU(2), whose behavior is analogous to the behavior of
) given by (8.9), A = 4(tl, B = 2(zI2, and the points xj,yj are
where g a , ~ ( <is the subelliptic operator Lo studied in Chapter 1, but here the analysis is not
the real zeros of gjq,B(x). pursued in nearly as much detail.
We can also describe the fundamental solution to the wave equation In considering irreducible unitary representations of U(n), we will automat-
ically restrict attention to finite-dimensional representations. As shown in the
(8.31) ' (a2/ds2 - f L 2 = ) ~0, next chapter, any irreducible unitary representation of a compact Lie group is
for IReal < n. Indeed, from the formula (7.53) for the heat kernel eSfa, it is finite-dimensional.
clear that
(8.32) (-fL2)-1/2e-s(-fa)"26~(trz) = ~,,,(t, z) 1. Representation theory for SU(2), S0(3), and some variants. The
has the same representation as (8.7), with f (c) = replaced by group SU(2) is the group of 2 x 2 complex unitary matrices of determinant 1. .
Recall that a k x k matrix A is unitary provided A'A = I. Then SU(2) is the -
(8.33) f (s) = eimS((/sin c ) ~ . set of matrices
Consequently all the arguments above apply without change to this more general
case, yielding the results given above on finite propagation speed and location
of singularities.

Note that, as a set, SU(2) is naturally identified with the unit sphere S3 in C2.
Its Lie algebra su(2) consists of 2 x 2 complex skew adjoint matrices of trace 0.
A basis of su(2) consists of
 THE UNITARY GROUP THE UNITARY GROUP 89

Note the commutation relations for some X E R (since x(A) is a sum of squares of skew adjoint operators, it
must be negative). Let
[X1,X2]=X3, [X2,X3l=X1, [X3,X11=X2.
These are the same as the relations i x j = k, j x k = i, k x i = j so su(2) is (1.12) Lj = r(Xj), C = n(A).
seen to be isomorphic to R3 with the cross product. Now we will diagonalize L1 on V. Say
Note that the following generators of the Lie algebra so(3) of SO(3) have the
same commutation relations as (1.3). Indeed, so(3) is spanned by (1.13) V, = {v E V: Llv = ipv),

(1.14) V= $ V,.
ipEapec L1

The structure of n is defined by how L2 and L3 behave on V,. This is equivalent

generating rotations about the 21,22, and z3 axis, respectively. to how L* behave, where we set
Thus SU(2) and SO(3) have isomorphic Lie algebras. In fact, there is an
(1.15) L* = L2 'f iL3.
explicit homomorphism
Note that the commutation relations (1.3) yield [X1,X*] = fix* if X* =
p: SU(2) 4 SO(3)
X2 iX3, so
which exhibits SU(2) as a double cover of SO(3). One way to construct p is the
following. The linear span g of (1.2) is a threedimensional real vector space, (1.16) [Ll, L*] = fiL*.
with an inner product given by The identity (1.16) is the key to the structure of L*. It yields the following
(X, Y) = -tr XY. result.
It is clear that the representation p of SU(2) as a group of linear transformations PROPOSITION
1.1. We have
on g given by (1.17) L*: V, 4 V,*l.
P(!?)X = In particular, if i p E spec L1, then either L+ = 0 on V, (resp. L- = 0 on V,),
preserves the inner product (1.6) and gives (1.5). Note that kerp = {I, -I). +
or p 1 E spec L1 (resp. p - 1E spec L1).
We now tackle the problem of classifying all the irreducible unitary repre- PROOF. Let 6 E V,. By (1.16), we have
sentations of SU(2). We will work with the complexified Lie algebra, and with
polynomials in the Xj, i.e., with the universal enveloping algebra. Indeed, let LIL*E = L*LIE f iL*[ = i(p f l)L*€,
A=x;+X;+x;. which establishes the proposition.
If x is irreducible on V, we claim that spec L1 must consist of a sequence
Here we are identifying X j with a vector field on SU(2), and A is a left invariant
differential operator on Cw(SU(2)). One easily verifies using (1.3) that Xj and (1.18) spec Li = {PO,po + 1,. ..,po + k = pl),
A commute: with
AXj = XjA, <
1 5 j 3. (1.19) L+: V,,,+j -,V,,+j+l isomorphism for 0 5 j 5 k - 1,
Suppose n is an irreducible unitary representation of SU(2) on V. Then T
and
induces a skew adjoint representation of the Lie algebra su(2), and an algebraic
representation of the universal enveloping algebra, which we will also denote n. (1.20) L- : V,,-j V,,-j-l isomorphism for 0 < j 5 k - 1.
Note that, by (1.9), In fact, we can compute
n(A)r(Xj) = a(Xj)n(A), j = 1,2,3. +
L-L+ = L: L i + i[L3,L2]
Thus, if n is irreducible, Schur's lemma implies =C-Lf-iL1
n(A) = -X21 = -A2 - L: - iLl on V,
90 THE UNITARY GROUP THE UNITARY GROUP 91

and We leave it to the reader to check that this has the same structure as indicated in
Figure 1.1. Note that p1 = k/2, and if the complexification of su(2) is identified
L+L- = C - L: + i ~ ~
with the set of 2 x 2 complex matrices of trace zero in such a way that
+
= -A2 - L: iL1 on V.
Thus (1.28) L+ = (: :), L = ( ), Ll = (i/2)
(1.21) L-L+ = P(P + 1) - X2 on V,, we have, for 0 < j5 k,
and
(1.29) V-kI2+j = linear span of z f - j d .
(1.22) L+L- = p(p - 1) - X2 on V,.
We can deduce the classification of irreducible unitary representations of
Note that, since L1 and L2 are skew adjoint, we have SO(3) from the discussion above as follows. We have a double covering ho-
L+L- = -(L2 + iL3)*(L2+ iL3), momorphism p: SU(2) -+ S0(3), with
negative selfadjoint, and also L- L+ is negative selfadjoint. We see that ker L+ = (1.30) ker p = {fI}.
ker L-L+; ker L- = ker L+L-. These observations make the assertions (1.18)- Now each irreducible representation dj of SO(3) defines an irreducible represen-
(1.20) fairly transparent. We indicate the situation pictorially: tation dj op of SU(2), which must be equivalent to one of the ?rk given by (1.26),
(1.27). We see that nk factors through to a representation of SO(3) if and only
if nk is the identity on kerp, i.e., if and only if nk(-I) = I. Clearly this holds if
and only if k is even. Thus all the irreducible unitary representations of SO(3)
are given by representations dj on Pzj, uniquely defined by
(1.31) dj(p9) = 72j(g), E SU(2).
In other words, half of the representations (1.26), (1.27) of SU(2) give rise to
From (1.21) and (1.22) we see that pl(pl + 1) = X2 = ,uO(pO- 1). In particular, representations of S0(3), namely those on vector spaces of odd dimension. Note
if that in this case the operator A is represented by
(1.23) (1.32) dj(A) = - j ( j + 1).
then We note that the irreducible representations of U(2) can be classified, using
the results of SU(2). Indeed, we have the exact sequence
(1.24)
0 -+ K -+ S1 x SU(2) -+ U(2) -, 0
and
(1.25) X2 = k(k + 2)/4 = (dimv2 - 1)/4. where
K = {(w, g) E S1 x SU(2) : g = w-'I, w2 = 1)
Since L+ and L- are inverses of each other, up to a well-defined scalar multiple, (1.34)
on each segment of Figure 1.1, and each V, is onedimensional (by (1.24), or = {(l,I), (-1, -I)}.
directly from irreducibility), we see that an irreducible representation n of SU(2) The irreducible representations of S1 x SU(2) are given by
on V is determined uniquely up to equivalence by dimV. Thus there is precisely
one equivalence class of irreducible representations of SU(2) on Ck+l for k = nmk(~,g)= wmrk(g) on Pk,
0,1,2,. ... A convenient model for this is i
with m E Z, k E Z+ U (0). Those giving the complete set of irreducible represen-
(1.26) Pk = {p(z): p homogeneous polynomial of degree k on C2), tations of U(2) are those for which rmk(K) = I , i.e., for which (-l)"nk(-I) = I.
4
with SU(2) acting on Pk by
+
Since nk(-I) = (-l)kI, we see the condition is that m k be an even integer.
Finally let us note that SO(4) is covered by SU(2) x SU(2). To see this, equate
(1.27) =)f ( g - l ~ ) ,
~k(g)f(~ g E SU(2), z E C2. the unit sphere S3c R4, with its standard metric, to SU(2), with a bi-invariant
 THE UNITARY GROUP THE UNITARY GROUP 93

metric. Then SO(4) is the connected component of the identity in the isometry Z+ (resp., Z-) the group of upper (resp., lower) triangular matrices in GL(n, C)
group of S3. Meanwhile, SU(2) x SU(2) acts as a group of isometries, by with ones on the diagonal, then
(gltg2) ' X = 9;'~92, gj,z E SU(2)- Z-DZ+ = Greg
Thus we have a map is a dense subset of GL(n, C). For a proof, see Zelobenko [268], page 28, or the
reader can try it as an exercise. We note that a weaker result is easy to prove.
Namely, the Lie algebras of D,Z+, and Z- span M(n, C), and hence, by the
This is a group homomorphism. Note that (gl, g2) E kerr implies gl = 92 = fI , inverse function theorem, 2-DZ+ contains a neighborhood of the identity in
GL(n, C). For a study of holomorphic functions on GL(n, C), this weaker result
can be just as effective.
SO(4) x SU(2) x SU(B)/{f(I, I)),
Let Tn be the group of diagonal elements of U(n); it is an n-torus. Let its
since a dimension count shows r must be surjective. Lie algebra be denoted by H. Then the action of n on T" and on H can be
In the next chapter we will prove the following proposition. Let G1,G2 be simultaneously diagonalized. We can set, for an element X E H', the dual space
compact Lie groups, G = G1 x G2. Then the set of all irreducible unitary to H,
representations of G, up to unitary equivalence, is given by
(2.1) Vx = {v E V: .rr(h)v = iX(h)v, Vh E H),
( ~ ( 9=
) ~ l ( g 1@
) ~2(92):rj E Ej),
and we have a finite direct sum
where g = (gl, 92) E G and n j E Ej is a general irreducible unitary representa-
tion of Gj. In particular, the irreducible unitary representations of SU(2) xSU(2), (2.2) v=$v..
up to equivalence, are precisely the representations of the form If X E H' is such that Vx # 0, we call X a weight, and any nonzero v E Vx a
Jkl(g)=rk(gl)@nl(g2), k,1EZ+U{O), weight vector. We will see that, for certain e;j E gl(n, C), n(e;j) acts on the Vx's
in a revealing fashion, similar to the operators LA of f 1.
acting on Ckfl 8 C1+l, where r k is given by (1.26)-(1.27). By (1.38), the Let e;j be t h e n x n matrix with 1at row i, column j , and 0 in all other spots.
irreducible unitary representations of SO(4) are given by all Jkl such that k 1+ We have the commutation relations
is even, since, for po = (-I, -I) E SU(2) x SU(2), 6kl(p0) = (-I)~+'I.
(2.3) [e;,, ekr] = Gjkeil - b k j .
2. Representation theory for U(n). Let n be a finite-dimensional uni-
tary representation of U(n), on a vector space V. For the moment we will not Note that, if i < j and k < 1, the nontrivial commutation relations among e;j
assume a is irreducible. Then there is induced a skew adjoint representation and ekl reduce to j = k and
(also denoted n) of the Lie algebra u(n) of skew adjoint n x n complex matrices, (2.4) [eij, ejk] = e;k if i < j < k.
and a complex linear representation of its complexification, which is naturally
isomorphic to gl(n, C) = M(n, C), the algebra of n x n complex matrices, since Let
+
any element of M(n,C) can be uniquely written as A iB, with A and B
(2.5) ej = iejj.
skew adjoint. The complexified representation on M(n, C) is also denoted a.
M(n, C ) has a natural structure as a complex Lie algebra, and is the Lie algebra Then {ej: 15 j 5 n) spans H. If h E H is of the form
of GL(n, C), the group of invertible n x n complex matrices, which has a nat-
ural structure as a complex Lie group. This complex linear representation a of
M(n, C ) on V exponentiates to a representation (also denoted n) of GL(n, C)
(2.6) h= x tjej,
then
on V which is holomorphic, in the sense that, with respect to a basis of V, the
matrix entries of such a representation are holomorphic functions on GL(n, C). (2.7) [h,eij] = i(ti - tj)eij.
A useful tool in the study of representations of U(n), in addition to their
analytic continuations to GL(n, C) defined above, is the Gauss decomposition,
Thus the element wjk of H' is defined by
which is the following. If D denotes the group of diagonal matrices in GL(n, C), (2.8) wjk(h) = t j - tk
 THE UNITARY GROUP THE UNITARY GROUP 95

is a weight for the adjoint representation of U ( n ) ;we call wjk a root. Similarly It is very interesting that this can be used as a tool for establishing that certain
we call ejk a root vector in gl(n, C ) . representations of U ( n )are irreducible. In fact, we have the following
PROPOSITION 2.3. Let n be a unitary representation of U ( n ) on V , dim V <
w. Suppose the set of vectors E E V annihilated by all raising operators which are
also weight vectors, is equal to the set of nonzero multiples of a single element.
The commutation relation (2.7) implies Then n is irreducible.
+
s ( h ) E j k = Ejk(n(h) iwjk(h)I). PROOF.Otherwise, V = V1$V2 with a acting on each factor, and Proposition
We can utilize this identity in a fashion parallel to our use of (1.10) of the last 2.2 produces two linearly independent weight vectors tj E I$ annihilated by all
section. raising operators.
As an example, consider the natural action of U ( n ) on S k C n , the k-fold
PROPOSITION
2.1. We have symmetric tensor product of Cn. We can identify this with

Ejk : V X -+ Vx+wjk. (2.15) Pk = { p ( z ) :p homogeneous polynomial of degree k in z E C n ) ,

In particular, if X E H' is a weight for the representation n, then either Ejk with the action given by
+
annihilates Vx 07 X wjk is a weight. (2.16) nk(g)f(4= f ( 9 - w e
PROOF. Let E E Vx. By (2.10), we have We see that, for la1 = k, za is a weight vector, with weight a E Rn = HI. The
action of the operators Eij on Pk is defined by
* ( h ) E j k t = Ejkn(h)E + iEjkwjk(h)<
= i(X(h)+ wjk(h))Ejktl (2.17)
Eijp(z) = (d/dt)p(zl,...,zj-1, zj + tzi, zj+l,. .. ,zn)It=o
= zi(a/azj)p(t).
which establishes the proposition.
Note that, if we factor i out of the diagonal skew adjoint matrices making In particular, the only weight vector za annihilated by all raising operators is
up the Lie algebra H of T n , we have, by reading down the diagonal, a natural z f . We see that nk is an irreducible representation of U ( n )on Pk.
isomorphism of H with Rn. If a,P E Rn, we say a < P, or P - cu > 0, if the As a second example, consider the natural action of U ( n ) on Cn. We
first nonzero coordinate of p - a is positive. Thus there is a natural ordering denote this representation dk,
of the weights. For a given finite-dimensional representation n , with respect to
this ordering there will be a highest weight A, (also called a maximal weight),
(2.18) dk(g)(vlA . .. A v k ) = gvl A . - A gvk, g E U ( n ) ,v j E Cn.
and also a lowest weight A,. From Proposition 2.1 and (2.12), we see that If u l , ...,un denotes the standard orthonormal basis of C n , we see that

Ejk = 0 on Vx, if j < k,
Ejk = 0 on V x , if j > k.
We call Ejk a mising operator if j < k and a lowering operator if j > k. Thus all
raising operators annihilate Vx, and all lowering operators annihilate VA,. More
generally, we say a weight X is nonraisable if all raising operators annihilate V A
and nonlowerable if all lowering operators annihilate V x . In a little while we will
show that, if n is irreducible, then the only nonraisable weight is maximal. At
present, we record the following progress.
PROPOSITION 2.2. If n is a unitary representation of U ( n ) on V , dimV <
oo, then there ezists a nonzero highest weight vector5, and in particular there
ezists a nonzero E Vannihilated by all raising operators, which is also a weight
ujl A ... A ujk = u7 (jl < < jk)
is a weight vector, with weight 7 = ( 7 1 , . ..,rn) E Rn = HI, where 7 j = 1 if j is
some jk occurring in (2.19), 7 j = 0 otherwise. The action of the operators Eij
EijujL A . .- A ujk =
In particular, the only weight vector u., annihilated by all raising operators is
u l A.. .Auk. We see that dk is an irreducible representation of U ( n )on l\k Cn.
Note that, in each of the two examples above, V = S k C n and V = l\kC n ,
the action of U ( n ) on V is generated by the action of SU(n) on V and the
action of scalars eiaI on V , a E R. Thus, all these representations restrict to
representations of SU(n) which are irreducible.
 96 THE UNITARY GROUP THE UNITARY GROUP

Another class of representations of U(n) (and of SU(n)) is on the subspace Thus

(of codimension 1) of SkCn 8 S1(Cn)* consisting of tensors which are
annihilated by the contraction operator (2.29)
a(&) = a(6) = expi(X(h1) + iX(h2))a(e)
= expi(p(h1) + i~(h2))a(e).
Now we claim a(e) # 0. Otherwise a(g) z 0. But if
v=l
In this case, one can verify the weight vectors are given by monomials and the (2.30) VO= ( E E V : (n(g)F, 710) = 0 Vg E Gl(n, C))
unique weight vector annihilated by all raising operators is defined by then Vo is invariant, and since clearly Vo # V, we have Vo = 0 if n is irreducible.
(2.22) This shows a(e) # 0. From (2.29) we can deduce the following important result.
1 if (il,. ..,il) = (0,. ..,O, 1) and (jl,. . .,jk) = (l,O,. ..),
0 otherwise. PROPOSITION 2.4. If n is irreducible on V, then there is only one weight X
Thus we obtain a two parameter family of irreducible unitary representations of which is nonraisable, namely the highest weight. Furthermore, the highest weight
SU(n). For n = 3, this list turns out to be exhaustive. vector k unique, up to scalar multiple. Finally, if n and n' are irreducible and
We return to our general study. Let s be an irreducible representation of U(n) have the same highest weight, they are unitarily equivalent.
on a complex vector space, and retain the conventions of the first paragraph of PROOF. The identity X = p proves the uniqueness of A. Note that if we nor-
this section. We define the representation ?i, contragredient to n, of U(n) on V*, malize the weight vectors so a(e) = 1, the function a(g) is uniquely characterized
by by the following three properties:
(2.23) (E,?i(g)q) = (7r(g-')E,rl). (2.31) a(g) E Cm(Gl(n, C)) (in fact, holomorphic),
The pairing in (2.23) is taken to be bilinear. Now suppose b E V is a nonraisable (2.32) a(cgz) = 491, c E 2-,z E Z+,
weight vector for n, with weight X E HI, and suppose 40 E V* is a nonlowerable
weight vector for ?i, with weight -p E HI. We will study the function
(2.33) a(6) = expi(A(h1) + iX(h2)) for 6 = exp(hl i-ih2) E D.
Thus, if were another highest weight vector, also normalized so (&, qo) = 1,
(2.24) ~ ( g =) (n(s)h,vo).
we would have (n(g)&,qo) = a(g), so
We can take the extension of n to a representation of Gl(n, C), as mentioned in
the first paragraph, so a(g) is defined for g E Gl(n, C), the complexification of (.(s)(& - 50),90) = 0 v9,
U(n), and holomorphic. Let Z+ be the subgroup of Gl(n, C) whose Lie algebra or
a+ is generated by the raising operators Eij, i < j, and let Z- be the subgroup (G - lo,ii(g)rlo) = 0 Vg.
of Gl(n,C) whose Lie algebra 3- is generated by the lowering operators Eij,
i > j. Then Z+ (resp. Z-) consists of matrices which are upper triangular Since iT is irreducible, this implies = to.
(resp. lower triangular), with ones along the diagonal. Let D denote the group As for the final assertion of the proposition, let a' be an irreducible representa-
of diagonal matrices in Gl(n, C). There is the Gauss decomposition, mentioned tion on V'. Pick a maximal weight vector <h for n' and a minimal weight vector
qh for its contragredient representation %', normalized so (€6,qh) = 1 (which
II above, which says is possible by the argument above implying the inner product is nonzero), and
I (2.25) Z-DZ+ = Greg form
is a dense subset of Gl(n, C), or (in a weaker form) contains a neighborhood of ~ ' ( g )= (nl(g)EA,96).
the identity. Let Since al(g) satisfies the conditions (2.31)-(2.33) provided X is also the highest
(2.26) g=$&z, ~EZ-,~ED,~EZ+. weight for r', we see that a(g) = al(g). But if r' and n are not equivalent, the
Weyl orthogonality relations (see Chapter 3) imply the restrictions of a and a'
We see that, if 6 = exp(hl + ih2), hj E H , to U(n) must be orthogonal, and certainly cannot coincide. This proves that two
(2.27) a(@) = a(g), 4 6 9 ) = ei(x(hl)+ix(hz))a(g) irreducible representations n and n' must be equivalent if their maximal weights
and coincide.
The classification of the irreducible unitary representations of U(n) requires
(2.28) a(gz) = a(g), = ei(J'(hl)+ip(hd))crg). us to specify which elements X E fi' can be highest weights. We will wait until
98 THE UNITARY GROUP < THE UNITARY GROUP 99

Chapter 3 to discuss the general case; see the end of $2, Chapter 3 for this, By (3.8), we deduce
including some details for the closely related group SU(n).
PROPOSITION
3.1. On the -k(k + 2)/4 eigenspace Vk of A , the operator
3. T h e subelliptic operator X: + X $ o n SU(2). The Laplace operator on -f! has k + 1 eigenvalues, ranging from a minimum of k / 2 to a maximum of
k ( k + 2)/4 or k ( k + 2)/4 - 114, for k even or odd, respectively.
SU(2)
Suppose u E D1(SU(2))satisfies the equation
is elliptic. We want to study the nonelliptic operator
We want to examine smoothness of u given smoothness of f . Note that Propo-
sition 3.1 implies is invertible on { f E L 2 : $ f = 01, and
Note that f! and A commute, so L acts on each eigenspace of A. In particular, the
spectrum of L is discrete. We can examine the spectrum of l by decomposing (3.12) I l ( - ~ ) ' / ~l lf ~ 5
l CllLf l l ~ l .

L2(SU(2)) into eigenspaces of A , which is equivalent to decomposing it into We can take, for example, C = 4. More generally,
subspaces irreducible for the regular action of SU(2) x SU(2) given by
(3.13) Il(-A)k'2f l l ~ a5 ckllLkfllLz.
(3.3) (gl,g2)' f ( 5 ) = f ( g ; l ~ g 2 ) , gj,z E SU(2).
Given f E L2(SU(2)),write
Note, by the Peter-Weyl theorem (discussed in Chapter 3), the irreducible sub-
spaces of L2(SU(2))are precisely the spaces of the form
k
It is well known, and easy to prove, that
where 1 ~ kis the representation of SU(2) on Ck+' described by (1.26), (1.27), (3.15) f E Cw(SU(2)) 11 fkllL2 5 c N ~ - for
~ all N ,
with matrix representation rF(2).Of course, each space Vk is an eigenspace of
the Laplace operator A ; by (1.25) the associated eigenvalue is -k(k $ 2 ) / 4 . and
If we consider the left regular representation (3.16) f is real analytic e 11 fkllLa 5 Cee-Ek for some E > 0.
(3.5) 9 . f ( 2 )= f ( g - l z ) , Note that the solution u to (3.11) satisfies
+
then Vk is a direct sum of k 1 representations of SU(2), each equivalent to T k .
One decomposition of Vk into irreducible subspaces for (3.5) is .
with uk = f!-I fk and, by Proposition 3.1,
k+l
(3.6) vk = $vkl (3.18) llukll~l5 C k - l l l f k l l ~ l .
1=1
Thus, from (3.15) and (3.16), it is clear that u E Cw(SU(2)) if f E C w and
< +
where Vkl = linear span of ni1(z),1 i 5 k 1. Each Vkl breaks up into u is real analytic if f is. We say L is globally C m hypoelliptic and globally
eigenspaces for the operator X I , as discussed in $1: analytic hypoelliptic. It is a special case of general theorems (see Hormander
(3.7) [120],Boutet de Monvel et al. [25])that f! is actually locally C m hypoelliptic
and in fact (see Tartakoff [233],Treves [240]),even locally analytic hypoelliptic.
where The C w and analytic hypoellipticity of L are properties shared with the
Laplace operator A . Since A is elliptic, these properties are classical in this
case. There is another property of A which is not shared by L , namely the
and Kotake-Narasimhan theorem says
(3.19) IIAkullLa c ( c ~Vk) ~u ~is real analytic.
=$

Since L = A - X i , we have Note that the hypothesis of (3.19) implies the function
 THE UNITARY GROUP THE UNITARY GROUP 101

is a convergent series for y in some interval (-E, E), and we see u satisfies the There is a natural equivalence between the set of operators on Cw(SU(2))
which are left invariant and the set of operators on S(R2) which commute with
(a2/ay2 + A)V= 0. the harmonic oscillator Hamiltonian H = -A+ 1zI2, or equivalently with the set
of operators on the Bargmann-Fok space U which commute with the operator
+
Since a2/ay2 A is elliptic, local analytic hypoellipticity implies u is analytic, W = 2(zla/azl +z2a/az2)+2 (described in Chapter 1, §6), which we now define.
Let jik denote the natural representation of SU(2) on U (given by iik(g)u(z) =
+
~(g-'z), g E SU(2), z E C2), restricted to the 2k 2 eigenspace of W, which
II.CkullL2S C(Ck)2k, all k E Z+. consists of polynomials in z E C2 homogeneous of degree k. Let ~k denote the
+
associated representation of SU(2) on the 2k 2 eigenspace of H , i.e.,
We can form
a (3.29) ~ k ( g=
) K-l%k(g)K,
U(Y,X) = ~ I Y ~ ~ I ( ~ ~ ) ! ] ( - L ) ~ U ( ~ ) , where K : L2(R2) + U is the unitary operator intertwining the Schradinger and
k=O Bargmann-Fok representations of the Heisenberg group, defined by (5.8), (5.9)
and also get convergence for y in some interval (-E, E), and ) JSU(2) f (g)~(g)
of Chaper 1. I f f E Cw(SU(2)) and ~ ( f = dg, we set
+ L)V= 0.
+
(a2/ay2
Now the operator a2/ay2 f , which has double characteristics, is locally Cw
(3.30) Tf = x
k S'J(2)
f (g)nk(g) dg,
hypoelliptic. But its characteristic set is not a symplectic manifold, so general and
results on analytic hypoellipticity do not apply. In fact, we will show that (3.21)

Indeed, pick wk E Vk such that

+
does not imply u is analytic, and hence a2/ay2 C. is not analytic hypoelliptic. (3.31) f =
k
1 S'J(2)
f ( g ) hb ) &I

so Tf is an operator on L2(R2) commuting with H and ?fis an operator on U

Wk 6 Vk,l,k/2t IIwkllLl = 1,
commuting with W.
It follows from Lemma 7.8 of Chapter 1, and the formulas (7.60)-(7.62) in the
W =
k=l
c
m
eeJi;Wk.
proof of that lemma, the generators Xl, X2,X3 of su(2) are taken by T to
(3.32) T(X3) = ia, (X, D)
By (3.16), we see that w is definitely not real analytic. Note that where
w
ekw= x ~ e - J ; ( j / 2 ) ~ w ~ , al(z,5) = t(z:+ €: - zf - EZ),
3=1 (3.33) az(z,E) = 4(51~2+ E l t ) ,
a d z , 0 = i(zlE2 - z2G).
w
In particular, for the Laplace operator (3.1) on SU(2), we have
IlLkwlli2 = e-2fi(j/2)2k.
j=1 (3.34) T(-A) = a(-a2/az: - a2/dzi + z: + zf) - 1= HI + H z ) - 1,
and for the subelliptic operator 1:= X; + Xi,we have
(3.35) T(-e) = (-a2/az: + ~ : ) ( - a ~ / a ~+; z;) - I = H~H~- 1.
Once again our analysis of subelliptic operators leads us to harmonic oscillator
Hamiltonians. Compare with Chapter 1, $7.
I
t
We now obtain an inversion formula for the transformation T, so that we
which is finite if lyl < 2 4 . This shows that the hypothesis (3.21) is satisfied. could analyze functions of the operator .C in terms of functions of the operator
Hence the hypothesis (3.21) does not imply u is analytic; the Kotake-Narasimhan H1H2 - 1, which appears on the right side of (3.35). First we impose a Hilbert
theorem fails for L, and in particular a2/ay2+L cannot be analytic hypoelliptic. space structure on some subspace of D'(R2 x R2) containing C r ( R 2 x R2) SO
 THE UNITARY GROUP 103
102 THE UNITARY GROUP

that T maps L2(SU(2))isometrically into this Hilbert space. Then T' will map Returning to our subelliptic operator l,we have
the range of T isometrically onto L2(SU(2))and will provide the inverse. The PROPOSITION 3.2. Let f ( - 4 6 , = kl(g) E D1(SU(2))and let f (H1H2 - 1)
orthogonality relations, which will be proved in Chapter 3, imply have kernel k2(z,Y ) E D'(R2 x R2). Then
(3.36) l l f 1l&(su(z))= x ( k + l)ll~k(f)ll2Hs.
k
Thus the Hilbert space norm ( I ( I ( ( on C?(R2 x R 2 ) should satisfy the identity
(3.37) IIITfI1I2 = C ( k + l)IIrk(f)IIZ1(RaxRa),
k
and since the harmonic oscillator Hamiltonian H on R 2 is equal to 2(k + 1) on
VTk,we have
IIlTfIl12 = $ ( H i T f , T f ) ~ a ( ~ g x ~ a )
(3.38)
= 4 w 1 + H 2 ) T f ,T f )L"R')
where HI + H z is the harmonic oscillator Hamiltonian on R4. Thus we pick our
pre-Hilbert space norm on C$(R2 x R2) to be
(3.39) 111~1112 = HI + H ~ ) v I ~ ) L ~ ( R ~ ) .
Hence
(3.40) ) )$ ( ( H I + H ~ ) V , T ~ ) L ~ ( R ' ) .
(T'v, ~ ) L z ( s u ( ~=
To get a more explicit formula for T'v, v an operator on L2(R2) commuting
with H , we want to compute T f in the limit when f is the delta function 6,,
g E SU(2). Note that the operator 5?bg is defined by
(3.41) (!f'hg)u(z)= u(g-lz), g E SU(2),z E C2.
Since
(3.42) ~f = K * ( ? ~ ) K
with

and
(3.44)
where, as given in Chapter 1, $5,we have
(3.45) K ( z , z ) = exp[fiz. z - ( z . z 1zI2)/2], +
we obtain the formula for the operator Thg: C r ( R 2 )-r C O O ( R ~ ) :
(3.46) (Tbg)w(z)= //Ra
-~ Ca
-
~ ( yg -, l z ) ~ ( zz)e-IzIa/2w(Y)
, dvol(z)dy.
Thus we have the inversion formula

(3.47)
T'v(g) = // /RaxRa C2
+
( H I H2)v(z,y) K ( y , g-lz)

~ ( z~ ), e - l ~ l ' / ~ dvol(z)
w ( ~ ) d z dy.

SL(2, C) and More General Lorentz Groups
As we saw in the last chapter, there is a double covering SL(2, R) + SOe(2, 1).
This happy situation is repeated for the Lorentz group on four-dimensional
Minkowski space. We have a double covering SL(2, C ) + SOe(3, I), as will
be shown in 81. Another happy coincidence which will be exploited heavily is
that the complexification of the Lie algebra sl(2, C) is isomorphic to a direct
sum of two copies of the complexification of sl(2, R). This will make it easy to
understand the structure of the universal enveloping algebra of sl(2, C). In $2 we
describe the irreducible unitary representations of SL(2, C). Our treatment is
adapted from that of Gelfand, Minlos, and Shapiro [73], but emphasizes the role
of the Casimir operators in U(sl(2, C)) and identities involving these operators.
Further results on harmonic analysis on SL(2, C) are given in [73], and also in
the books [71, 741 of Gelfand et al. $3 of this chapter discusses the structure and
a little of the representation theory of more general Lorentz groups SOe(n,1).
1. Introduction to SL(2, C). The group SL(2, C) is the group of all 2 x 2
complex matrices of determinant 1. Thus SL(2, C) is a six-dimensionalconnected
Lie group. Its Lie algebra sl(2, C) consists of all 2 x 2 complex matrices of trace
zero. The group SL(2, C) contains the compact subgroup SU(2), which plays a
role in some ways analogous to that played by SO(2) in SL(2, R), since in both
cases they are maximal compact subgroups, and in some ways different, since
SU(2) is not commutative (and hence is not a "Cartan subgroup" of SL(2, C)).
As a basis for sl(2, C), we can take
and we have the commutation relations
(1.2) [Z, A] = 2B, [Z,B] = -2A, [A,B] = -42,
SL(2, C) AND MORE GENERAL LORENTZ GROUPS 205
as in Chapter 8, and if one term on the left of these formulas is replaced by
its prime, replace the right term by its prime, and if both terms on the left are
replaced by their primes, leave the right side unprimed but change its sign. Of
course, Z and Z' commute, as do A, A' and also B, B'.
The Lie algebra sl(2, C) possesses the structure of a complex Lie algebra, with
Z' = iZ, etc. However, we are viewing SL(2, C) as a real Lie group, and 4 2 , C)
as a real Lie algebra, in which context such an identity is meaningless. Since we
will also want to examine the complexification g c of g = sI(2, C) (in gc, i Z is
defined, but i Z # Z'), it is useful to represent sl(2, C) as an algebra of 4 x 4 real
matrices. Indeed, replacing i by (! 7) = J , we can replace (1.1) by
The group SL(2, C) covers the Lorentz group SOe(3, 1). This can be seen as
follows. Consider the set of selfadjoint matrices
(1.4)
x = ( 2zz0 -+2i3z l +
22-izl
20 z3
Then
and if g E SL(2, C), then g'Xg is selfadjoint, provided X is, and det(ggXg) =
det X. Since g'Xg = X for all such X if and only if g = f I , we have
(1.6) SOe(3, 1) x SL(2, C)/{f I).
Note that SOe(3, 1) acts as a group of isometries of the three-dimensional hy-
perbolic space, which we can describe as the orbit in R4 satisfying
with the metric (of constant negative curvature), induced from the Minkowski
metric (1.5) on R4.
We now want to look a little at the structure of the complexified Lie algebra
C sl(2, C), and its universal enveloping algebra. Clearly {Z, A, B) generates
sl(2, R) as a real Lie subalgebra of 4 2 , C). We will see Csl(2, R) as a subalgebra
of Csl(2, C) in various other ways. Let
Then {Z+,A+,B+) and {Z-,A_, B-) span over C a pair of mutually com-
muting subalgebras, each isomorphic to Csl(2, R), in view of the easily verified
commutation relations
(1.9) [Z*, A*] = 4B*, [Z*, B*] = - 4 4 , [A*, Bf] = -Z*,
 206 SL(2, C) AND MORE GENERAL LORENTZ GROUPS SL(2, C) AND MORE GENERAL LORENTZ GROUPS 207

with coherently chosen signs, and representation n of G gives a representation of U(g) such that n(T') = n(T)*
on Cm(n), for T E U(g). With this definition of *: U(g) -+ LL(g), note that
*;-.& (1.18) 2; = -2-, A; = -A_,
Consequently, if we denote Cg+ the linear span over C of {Z+, A+, B+), and ,B B; = -B-,
define Cg- similarly, 3;
SO

(1.11) Csl(2, C) = Cg+ + Cg- = Csl(2, R) + Csl(2, R). v

(1.19) (Xf)*=-XI, (X_f)*=-X;.
In particular, the construction in Chapter 8 of the Casimir operator carries Note also that
over to produce a pair of "Casimir operators,"

Now it is clear that, unlike (2.7) of Chapter 8, which is an expression for

belonging to the center of the universal enveloping algebra LL = U(sl(2, C)).
We can construct 'kaising" and "lowering" operators in Cg+ and Cg-, anal-
ogous to the elements X+ and X- in the complexified Lie algebra of 4 2 , R)
constructed in Chapter 8. Set
Ilf i
-4RjR+, the identities (1.17) do not constitute an expression for -4(X$)*Xf.
As in the case of SL(2, R), an important tool in the analysis of an irreducible
unitary representation of SL(2, C) is the study of the decomposition of the r e
striction to a maximal compact subgroup K. For G = SL(2, C), we take K to
be SU(2). Note that a basis of the Lie algebra t = su(2) is given by Z, A', B'.
Recalling our analysis of the representations of SU(2), we set

We have

(1.14) [z+, x,f] = 4 i x z , [Z+, X?] = 4 x 5 ,

[Z-, X;] = 4iX;, [Z-, XI] = 4x1. I Then {Z, R+, R-) spans over C the complexification Csu(2), and we have

As for commutation relations among x:, we have (1.22) [Z, R+I= 2iR+, [Z, R-] = -2iR-, [R+,R-] = iZ.
Note that
Other commutation relations follow from the fact that everything in Cg+ com-

I
mutes with everything in Cg-. In direct analogy with (1.27) of Chapter 8, we Since we have noted the special properties of ,x: it is useful to understand
have their interactions witha. A straightforward calculation gives

In concert with (1.15), this yields

To capture the essence of these commutator identities, it is convenient to s u p
with analogous identities for X ; X and XIX;, respectively, in terms of Z- plement the set {Z, R+, R-) with three more elements of Csl(2, C), to obtain a
and 0-. basis. This additional set should contain raising operators formed from x:. In
The identities (1.15) and (1.17) do not play the same role in the analysis of view of (1.21), symmetry suggests looking at
irreducible unitary representations of SL(2, C) as did the identities (2.6)-(2.8)
of Chapter 8 in the analysis of SL(2, R), for the following reason. In (2.6)-
(2.8) of Chapter 8, a(Z) is skew adjoint and n(X+)* = -n(X-) on Cm(n). The and since we are loath to choose Z+ or Z-, we should throw in 2'. So we consider
behavior of the adjoints of representations of z*, ,x: is quite different, so (1.17) the basis
does not lead immediately to identities for the operator norms of Xf or X? on
linear subspaces, for example.
+
In fact, defme a conjugation on U(g) as follows. For X iY E Cg, X, Y E g,
set (X+iY)* = -X+iY, and extend to U(g) so (AB)' = B'A*. Then a unitary
I of Csl(2, C). In addition to (1.22), by routine calculation, we have
 SL(2, C) AND MORE GENERAL LORENTZ GROUPS SL(2, C) AND MORE GENERAL LORENTZ GROUPS 211

pt(Z) = 2im on K,,.

For the sake of compactness, we will denote n ( Z ) simply by Z , and similarly ... R+ R+
.-.---a.
n ( T ) by T , for other elements T of g = sl(2, C), or even its universal enveloping
algebra. Eventually we will show that each H1,, consists of COD,even analytic,
vectors, and also has dimension one, if not zero, but provisionally let us set
~,=HI,,nCm(a), HP=HtnCm(n).
It is clear that H t , is dense in HI,,, and that HI,, n HP = H!,.
. R- R- R- R-

The nature of the action of K, and hence of the operators Z , R+, R-, on Ht,
has been thoroughly discussed in Chapter 2. In addition to (2.3), which implies
Z = 2im on HI,,,we have
FIGURE2.1
PROOF. To say v E WIf is to say that v E C m ( n ) and that
R+v = 0, Z v = 2ilv, Kv = -21(21+ 2)v.
The structure of R+ and R- is revealed in the following identity for the action
of K , defined by (1.39)-(1.40): Since [Y+,R+] = 0, by (1.28), we see that, given (2.15),

K=.Z2-2iZ+4R+R-=Z2+2iZ+4R-R+. R+ (Y+v) = 0.
Applying K to an element of HlS1,knowing that K acts as a scalar on H l , we Using the commutation relation [Z,Y+] = 2iY+, from (1.28), we have
Z(Y+v) = Y+Zv + 2iY+v = 2i(l+ l)(Y+v).
Ku = -21(21+ 2)u for u E HF To analyze K(Y+v), use (1.43). Since R+v = 0, we have
+
K(Y+v) = Y+(K 4iZ - 8)v
4R-R+u = [-21(21+ 2) + 2m(2m + 2)]u, = Y+(-412 - 41 - 81 - 8)v
4R+ R-u = [-21(21+ 2) + 2m(2m - 2)]u, = -(21+ 2)(21+ 4)Y+v.
The next task confronting us is to analyze the action of Z', Y+, and Y- on These calculations, in fact any two of the three identities (2.16)-(2.18), prove
these spaces. First we see how Y+ ties together various highest weight vectors the lemma for Y+, and the proof of Y- is similar.
for the K-action. Let Let us schematically indicate our situation as follows. Each dot will represent
some space HI,,; adjacent horizontal dots are connected by R+ and R-, and
span Hi; 1 increases as you go down (see Figure 2.1).
denote the space of (smooth) highest weight vectors for the action of K on H:: We next show that the norm of Y+: W: -, W&, is determined, for each 1,
H& = { U E H ? : R+u=o). by the values of the Casimir operators under the representation. Irreducibility
of s implies that, for some real scalars p1 and p2,
Similarly, let W; = HFW1= { u E @: R-u = 0).
0 1 u = p1u, 0 2 u = p2u, U E CW(n).
LEMMA 2.1. We have
The identities (1.37), (1.38) for the Casimir operator lead to the following two

+
plu = 2(Z2 - Zr2)u 8iZu - 2Y-Y+u 8R_R+u, +
Y - : W; -+ W&. +
p2u = 4ZZ'u 8iZ'u - 4R-Y+u - 4Y-R+u,
 SL(2, C) AND MORE GENERAL LORENTZ GROUPS SL(2, C) AND MORE GENERAL LORENTZ GROUPS 213

for u E Cw(n). For v E W l f , these specialize to

(2.22) 2Zl2v = (-p1 + 22' + 8iZ)v - SY-Y+v, v E W:,

4(Z + 2i)Z'v = p2v + 4R-Y+v, v E Wlf.

... .
Since Z v = 2ilv for v E W?, we can write equivalently
+ +
2ZI2v = -(pi 812 161)v - 2Y-Y+v,
+
8i(l+ 1)Z'v = p ~ v 4R-Y+v,
v E Wlf,
v E Wlf.
These two identities will simultaneously determine 11Z'v11 and IIY+vII. If we take
... .
the inner product of both sides of (2.24) with v we obtain
= (p1
211Z'~11~ + 812 + 161)11v11' -21(~+v([~,
FIGURE
2.2
while if we note that the right side of (2.25) is an orthogonal decomposition, we
We will eventually show U = e l , , Hl,, = Hl. We first specify the action of
64(1+ 1)211~'~112 = pi11~11' +
32(1+ l)llY+v11' g on U ; the action of { Z , R+, R - ) on U already being given as a consequence of
(2.5)-(2.10). From now on, the dots in such figures as Figure 2.1 stand for U1,,.
+
in view of the fact that llR-E112 = (21 2)115112 for E E W G 1 ,which is a conse- So far we have Y+ on el,r:
quence of (2.10). Comparing (2.26) and (2.27), we obtain
(2.28) ++
32[2(1+ 1)2 1 1]11Y+v11' = [32(1+ l ) ' ( p l + 81' + 161) - p$]ll~11~,
Y+ell = qlel+l,l+l,

for v E W l f . Note that the coefficient of I I Y + v ~is~ ~> 0, in fact 2 96, for all where ql 2 0 , and, by (2.28),
>
1 0. Thus the coefficient of lv11' must be 2 0 for all 1 such that Hl # 0, i.e., (2.35) + + 161) - &]/32[2(1+ 1)2+ 1 + I].
qf = [32(1+ ~ ) ~ ( p 81l'
(2.29) 32(1+ 1)'(p1 + 81' + 161) - pi > 0 for all 1 such that Hl # 0. In other words, we have defined Y+ on U n ker R+. Furthermore, the identity
We also have the formula for IIZ'vl12: (2.25) specifies Z' on U n ker R+. We have

+
(2.30) 16[4(1+ 1)2 2(1+ l)](IZ'vllz= [16(l+ l ) ( p l + 812 + 161) + d]ll~11~, 8i(l+ 1)Z'ell = pzerl + 4R-Y+ell
= pzell +4 r n q r e 1 + 1 , i ,
(2.1) is nonzero. We say plo is the lowest K-type of K = SU(2) occurring in the
representation n of G. Pick a unit vector elo,lo E Hlo,lo. Let er,,, E Hl0,, be
(2.37) Z'en = atell + &et+l,l, a1 = p2/8i(l+ 1), pi = q r l i m .
the image of elo,lo under repeated powers of R - , normalized by positive scalars In Figure 2.2, we schematically indicate the operators Y+ and 2' specified, so
so Ilelo,mll = 1. Let ero+j,lo+j E Hlo+j,lo+j denote the image of elo,lo under Y$, far, on ker R+.
normalized, so Our next objective will be to specify Z' on all of U . To this end, following
(731, we will use the identity
(qto+j-l ."7llo)elo+i,lo+j = yielO,lo,
[R+,[R-, Z']]= -2Z1,
where mO+k L 0 is defined by IIY+vll = qlo+kllvll, v 6 W l + k , which in turn
is defined by (2.28). If qlo+k = 0, pick elo+k,lo+k E arbitrarily, with a consequence of (1.28), which is equivalent to
unit norm; shortly we will show that this possibility cannot arise. Then let
elo+j-k,lo+j, 0 Ik I: lo+j, denote the image of elo+j,l,+j under R k , normalized
R+ZIR- + R-Z'R+ = R+R-Z' + Z'R-R+ + 22'.
by multiplying by a positive quantity so that Ilelo+j-k,lo+jll = 1. Let This will provide a three-term recurrence relation, for Z'el,m-l in terms of Z1erm
and Z'el,,+l. We will use this in concert with the identity
U =$ UL,, = linear span of {el,,).
[Z,Z'] = 0,
214 SL(2, C) AND MORE GENERAL LORENTZ GROUPS SL(2, C) AND MORE GENERAL LORENTZ GROUPS 215

FIGURE 2.3
which implies that

We first apply (2.39) to analyze Z'el,l-l; applying both sides of (2.39) to ell and Now Z' fl-l,l-l is analyzed as in (2.36), and via (2.28) is seen to be orthogonal
using to el,l-l, so (2.45) vanishes. This proves
R-ell = JZier,r-l,
we have
In Figure 2.4, we record schematically our progress in understanding 2'.
From here, for each m I 1 - 2, the recurrence (2.39) uniquely determines the
into which we substitute (2.36). Using component of Z1erm in Ul-l,m @ Ul, €3 Ul+l,,. We claim this is everything, i.e.,

Indeed, any extra components of Z'er, must belong to $X<1-2 H:. The analysis
from (2.10), we have an explicit formula for R+(Z'el,l-l): +
we have so far shows Z 1 ( H f )I H: for p 2 1 2, and so skew-symmetry of Z'
implies Z1(HP)I H i for X I 1 - 2. This proves (2.47) and shows that Z' has
been uniquely determined on U . Then, Y+ and Y- are uniquely specified on U
by the identities
where a1 and fi are defined in (2.37). We indicate our situation in Figure 2.3.
Note that R+(Z'el,l-l) E Ull@Ml+l,l.NOWR+ is injective on each H k except
the highest weight spaces H i . In view of (2.41), we see that (2.43) uniquely
from (1.28). Note that, by (2.47),
determines Z'el-l,r, modulo an element of We want to identify this
element, and show that it actually belongs to Ur-l,l-l, i.e., is a multiple of
el-1,~-1. and
Specifying the component of Z'el,l-l in Ul-l,l-l is easy; skew symmetry of
Z' implies
Thus, the complexified Lie algebra Csl(2,C ) acts on U .

and the right side of (2.44) is defined by (2.36), with 1 replaced by 1 - 1:
so the right side of (2.44) is equal to -ivl-l/a. On the other hand, suppose
fi-1,i-1 E Hr-l,I-l is orthogonal to el-1.1-1. We have
LEMMA 2.2. Each el, E Ulm is an analytic vector for the action of Csl(2,C )
induced by n.
PROOF. This follows from estimates of operator norms of R*, Z, Y*, Z' on
the spaces Ul,. We know the norms of 4 and Z . To estimate those of Y* and
Z', we use the following consequence of (1.45):
 216 SL(2, C) AND MORE GENERAL LORENTZ GROUPS SL(2, C) AND MORE GENERAL LORENTZ GROUPS 217

Applying this to el, and taking the inner product with el,, using Z" = -Z' for1 = l o + k , k = 0 , 1 , 2 ,..., m E {-1,-1+1, ...,1-1,l). Thisinturnhas
and Y; = -Y-, we have been specified in terms of {lo, p1, p2) in the argument presented above. There
(2.52) +
211~'e1,11~ II~-er,ll~ + ll~+er,11~= p i + 81(1+ I), is one further analysis to be made, giving p2 in terms of lo and p1. Before we
get to this, we make some comments on specific formulas for the action of these
which provides adequate estimates to prove analyticity. Details are left to the Lie algebra elements on el,. Of course, we have
reader.
Since power series expansions for exp(s1Z+s2A+s3 B+s4Z1+s5A'+s6B')el,
are consequently convergent for C lsj12 small, it follows that X, the closure of and, by (2.10), we can write
U in H, is invariant under T. If n is irreducible, this implies X = H , so we have
proved (2.58) +
R+elm = plmel,m+ir R-elm = pLel,,-l
with
and in particular (2.59) ph= + 1) - m(m + I), pk= 1) - m(m - 1).
dim HI, = 1 if HI, # 0, To start the recursion for the action of Y+ and Z', recall that
(2.54)
+
dim Hl = 21 1 if HI # 0. (2.60) Y+etr = qret+l,l+l,
We see that H1 # 0 only for integers (resp., nonintegral half-integers) 2 lo, if where ql > 0 satisfies (2.37), and, by (2.36),
lo is an integer (resp., nonintegral half-integer). Furthermore, if a is not the
trivial representation, HI # 0 for each such 1. For if not, say if a possibility l1 is
excluded, then $lo51511-l HI is a (finite-dimensional) proper invariant subspace where
for T,which would have to be all of H. But an argument as in Chapter 8 shows
that SL(2, C) cannot have any nontrivial finite-dimensional irreducible unitary (2.62) = -ip2/8(1+
f f ~ I), PI = - i q l / m .
representation, so this possibility is excluded. The analysis of Z' on U I , ~ -discussed
~ above yields the formula
In our analysis so far, we have not excluded the possibility that some qro+k =
0, i.e., Y+ell = 0 for some 1 = lo + k. We now take care of this. (2.63) Z'~I,I-1= -P~-le~-l,r-l + urer,l-l + T ~ ~ I + I , I - I
LEMMA2.3. If lo is minimal such that Hlo # 0, k E Z+U{O) = {0,1,2,. ..), for 1 2 lo + 1, where PI-1 is defined by (2.62), and
+
1 = lo k, then (2.64) I =a -2 , 71 = 2ad5i/&iT2.
We have
i.e., Y+ell is a nonzero multiple ofer+l,l+l. (2.65) Z'elo,lo-l = u ~ ~ e r ~ , l ~ +
Tloelo+l,lo-~
-l
PROOF. If q1 = 0, then, by (2.36), Z1err I el+l,l, so, by skew-symmetry, These formulas determine Y-err = i[R-, Z']ell; we have
Z1el+l,l Iell. Hence Z' maps both er+l,l+l and el+l,l to Hl+l $ Hlf2 in such
a case, and hence, by (2.48), Y+,Y-: Hl+l,l+l + Hlfl $ H1+2. Inductively,
one has that the Lie algebra action leaves $x,l+l HAinvariant, so the G-action
must leave its closure invariant. If a is irrehcible, this is impossible, so the
lemma is proved. Note that -ipiPl-l = -ql-l. Again, for 1 = lo, the first term on the right is
Consequently, the inequality (2.29) can be strengthened to a strict inequality: taken to be 0. If 1 = lo = 0, then of course uo and TO are to be replaced by 0, in
both (2.65) and (2.66); one would have
+ +
32(1+ 1)'(p1 812 161) - p; > 0 for 1 = lo + k, k = 0, l,2,. ..,
'b3 which in turn is equivalent to its special case
which parallels the identity Y+eoo = qoell, from (2.60).
1 (2.56) +
32(10 1)'(p1 + 81; + 1610)- p i > 0. Note that, in the event that lo = 0, if we apply the identities -2iZ' = [R+,Y-]
iI Thus the action of Csl(2, C) on H defined by a given irreducible unitary and 2iZ1 = [R-,Y+] to eoo, we obtain 2iZ'eoo = R-Y+eoo = q~p;~elo,and
representation of SL(2, C) is determined by the action of {Z, R*, Z', Y*) on elm -2iZ1eoo = R+Y-eoo = qoPt-lelo; in either case, Z'eoo = -i(qo/d)eto.
iE
218 SL(2,C) AND MORE GENERAL LORENTZ GROUPS SL(2,C) AND MORE GENERAL LORENTZ GROUPS 219

Comparing the formula (2.61) for 1 = 0 yields a0 = 0. Since, by (2.62), a0 = Whenever this condition on p2 holds, the construction above based on {lo,pl,
-ip2/8, we have established p2) yields an irreducible unitary representation of SL(2, C). The fact that it
yields a Lie algebra representation of sl(2, R) by skew-symmetric operators could
be checked by explicitly solving the recursion formula (2.29) for Z1elm;such ex-
This is the first case of a constraint on p2 implied by a specification of lo; the plicit formulas are given in [73]. Rather than produce such formulas here, we will
constraint for general lo > 0 is given by the following result. Define $, for any be content with the realizations of the principal and supplementary series given
real 1 > -1, by the formula (2.35). below, which establish the existence of all irreducible unitary representations
described by the parametrization {lo, p i , p2) above, subject to (2.77)-(2.78), for
LEMMA2.4. If the lowest K-type of n is the representation on HI,, then s E R or is E (-1,l). We state the result on the classification of the irreducible
2
(2.69) qlO-1 = O. unitary representations of SL(2, C), first derived by Gelfand et al. 1741.
PROOF. We will deduce this by examining the identity [Y+,Y-] = -4iZ, THEOREM2.5. Each nontrivial unitary irreducible representation of the
applied to ell, for 1 2 lo: group SL(2, C) is equivalent to one of the following sort:
(2.79) Principal series: nl,,,,
For 1 > lo, the left side, (Y+Y- - Y-Y+)erl, is a sum of four terms: where lo E (0, $, I,;,. ..}, s E R. This is determined by the condition that
(2.71) component of ell in Y-(-qrer+l,l+l), (2.77)- (2.78) hold.
(2.72) component of err in Y+(el+l,r-l component of Y-ell), (2.80) Complementary series: nopit (t # O),
(2.73) component of err in Y+(el,l-l component of Y-ell), where t t (-1,l); p2 = 0 and (2.77) holds with s = it. These representations are
(2.74) component of ell in Y+(el-l,l-l component of Y-ell). mutually inequivalent, ezcept nogsx and n0,it x no,-it, and all irreducible.
All these coefficients are algebraic functions of 1, and they sum to 81 for each The mutual inequivalence is clear since for different parameters the triples
1 = lo + k, k 6 {1,2,3,. ..). The fourth term is equal to -&,. For 1 = lo, the {l0,p1,p2} differ. Other than the realizations of these representations, which
left side of (2.70) is the sum (2.71)-(2.73), with (2.74) omitted. Now, for 1 = lo, we will undertake shortly, the only point of the theorem which remains to be
the sum (2.71)-(2.74) must also continue to equal 810 if (2.74) is replaced by established is the irreducibility of each of these representations. This can be
-T;-~. The only way this can happen is for the conclusion (2.60) to hold. accomplished in the same fahion as the proof of irreducibility for SL(2, R), in
The identity (2.69) is equivalent to Theorem 2.2 of Chapter 8. Namely, by (2.54), each G-invariant subspace of
$121, HI must be a direct sum of certain HI'S, so if the representation n = nl,,,
of G = SL(2, C) were not irreducible, there must be an identity of the form
This is also consistent with the result (2.68) derived in case lo = 0. If lo > 0, it
is convenient to set (2.81) (n(g)elm,er~,~)= 0 for all g € SL(2, C ) ,
(2.76) s2 = (pi + 81; - 8)/8, for some pair el,, el,,t, which in turn implies
which is 2 0. Then we can write p1 and p2 as (2.82) (Tei,, el^,^) = 0 for all T E %(s1(2,C)).
(2.77) p1 = 8(s2 + 1- I:), Setting T equal to an appropriate product of powers of R+, Y+, and R- produces
(2.78) p2 = 16105. a contradiction, thus proving irreducibility.
We turn to the construction of realizations of the representations in the prin-
i,
As we will see shortly, for any choice of s E R and lo E (0, I,$,. ..), this cipal series. In parallel with the case for SL(2, R), we can construct these by
produces members of the principal series of representations of SL(2, C). In case decomposing the regular representation of SL(2, C) on L2(C2) = L2(R4):
lo = 0, when pl,p2 satisfy (2.77)-(2.78), the associated representation is also a
member of the principal series. But the inequality (2.56) only requires p i > 0 in
this case, whereas (2.77), with s real, requires pl 2 8. We also have irreducible In this case, R(g) commutes with the group of complex dilations:
unitary representations such that (2.77)-(2.78) hold, with lo = p2 = 0, and
s = it, t E (-1, I), called representations of the complementary series.
 SL(2, C ) AND MORE GENERAL LORENTZ GROUPS SL(2, C) AND MORE GENERAL LORENTZ GROUPS 221

We expect to decompose R into irreducible via the spectral decomposition of D.

Since C* = S' x R f , this decomposition is accomplished by combining Fourier
series and the Mellin transform. Thus, given P(0, t) on S' x R+, set
By restricting the argument of an element of Un,, to the hyperplane z2 = i
rather than to S3, we can make Un,, unitarily equivalent to a representation,
denoted D(x+I,~+I) in [TI], of SL(2, C) on L2(C) = L2(R2), given by
for n E Z, s E R. Then we get the inversion formula

p(e, t) = ( b ) - 2 2 LI
n=-m
sp(n, a)einotis-' ds,

and the Plancherel formula

(2.87) //
R+ S'
Ip(0, t)12td0 dt = ( 2 ~ ) - ~
n=-m
2 1- -00
lsp(n,s)12 ds.

Thus, if we define
f (z) =
pnSs kl
lw f (reioz)e-iner-is d0 dr,
and is unitary provided
A+l=p+l=t

we see that, for f E C r ( R 4 ) , Pn,af belongs to the space -1 < t < 1,

if we use the inner product
(2.99) (u, v) = (i/2l2 L2 -
la - . ~ I - ~ ~ - ~ u ( a ) u dzl
( z 2d)t l dz2 di2.
For further analysis of the complementary series, see (71, 731.
We make Un,= into a Hilbert space, with norm square ss31gI2; note that the
homogeneity condition - 3. The Lorentz groups SO(n, 1). The group O(n, 1) is the group of linear
transformations of Rn+' preserving the metric
g(reie,) = ris-'eineg(z)
g(x,x) = 2: + . . . + x i -xic1.
makes g E Un,, uniquely determined by its restriction to s3.In fact, Un,, is
naturally isomorphic to the space of L~ sections of the line bundle The subgroup SO(n, 1) consists of elements with determinant 1, and has two
connected comporients. We denote the component of the identity by SOe(n, 1).
It is useful to note some special subgroups of SOe(n, I), the study of which is
gotten from the principal S1-bundle S3--+ S2via the representation of S' on C crucial to our understanding of SOe(n,I), which we will also call G in the rest of
given by e" B eino. this section. First, we have the subgroup consisting of rotations in the variables
One realization of the principal series representation rn,,of SL(2, C) described
in Theorem 2.5 is as a representation on Un,, given by K = SO(n).
~n,s(g)f(2) = f (gtz), f E Xn,s- K is a maximal compact subgroup of G. Another important subgroup is the
group of Lorentz transformations affecting only the variables (x,, x,+~),
The fact that this has the Lie algebra action described above can be deduced
from the expression of the action of R, defined by (2.83), on the Lie algebra A = SOe(l, 1).
sl(2, C), in parallel with the analysis for SL(2, R) in Chapter 8. We omit the The interaction of K and A is obviously important, and we single out the sub-
group of K consisting of elements which commute with A, namely the rotations
Another way to describe the homogeneity condition (2.90) is to write in the variables (XI,...,xn-1) alone,
g(az) = aXiipg(z), a E C*, M = SO(n - 1).
 222 SL(2, C) AND MORE GENERAL LORENTZ GROUPS 1*% SL(2, C) AND MORE GENERAL LORENTZ GROUPS 223

t1 There are a couple of other special subgroups of G we need to pick out, which
are best produced by looking at the action of a, the Lie algebra of A, on g, the
1" where N is the connected Lie group in G generated by the Lie algebra n. This is
a special case of the "Iwasawa decomposition." For details, see Helgason [loo].
Lie algebra of G. The algebra a is one-dimensional here, with generator The Iwasawa decomposition is discussed further in Chapter 13.
/- . - \ There is another decomposition of G, known as the Cartan decomposition.
which we need to describe. It can be given a very geometrical interpretation.
Consider the action of G = SO,(n, 1) on the upper sheet z,+l > 0 of the 2-
sheeted hyperboloid

if we identify g with a subalgebra of the (n+ 1) x (n+ 1) matrices in the standard

fashion. If we diagonalize the action of adao on g, we find that I This is hyperbolic space Un, with the induced metric, and G acts transitively
(3.6) g=g-l@Bo@gl on Un by a group of isometries. K = SO(n) is the subgroup fixing the pole
p = (0,. . . ,0,1) E U", so
where
(3.7) go = {X E g: adao(X) = PX).
It is easy to verify that The tangent space to Xn at p is naturally isomorphic to g/C. In fact, there
is a natural subspace of g, complementary to O, which we denote p. It is the
(3.8) go=rn$a orthoeonal com~lementto e in a. with resnect t.n t,he followine nnnd~upnprate
where rn is the Lie algebra of M. A complementary space to go in g, invariant bilinear form,
under ad ao, is (3.17) B(X, Y) = -tr(XY),

I
+
where we view X E g as an (n 1) x (n f 1) matrix. This is proportional to the
Killing form, introduced in Chapter 0. We have
: Vj column vectors in Rn-' .

Thus
The condition [ao,X] = X is equivalent to Vl = -V2 and the condition [ao,X] = (3.19)
-X is equivalent A-cu Tv? l =
-'vp,
I?
-- --.-
.I
JU wr: uavc
It is easy to verify the relations
(3.10) n = g l = { X E c: Vl = -V2)
(3.20) i t el c c, it, PI c P, [P,P] c t.
and
Furthermore, there is an automorphism 6'of g, known as the Cartan involution,
(3.11) ii=g-l={X~~:Vl=Vp).
defined for g = so(n, 1) by
We have introduced the standard notations n and Ti for these (abelian) subalge-
bras. Note that
(3.12) [gar BPI C Ba+p such that

A s we will see in Chapter 13, these constructions apply to other semisimple (3.22) e = {XE g: e ( x ) =XI,
groups, though in general a has dimension greater than one and n need not be and
abelian, but it will always be nilpotent.
Here, it is easy to verify that (3.23) p={X~g:6'(X)=-X).

(3.13) g=O@a@n, This involution defines an involutory automorphism 8" of G = SO,(n, I), which is
the identity on K , and hence there is defined an involution on G I K = Un. In fact,
where O is the Lie algebra of K = SO(n). With some effort one can show that the involution of Un is inversion through the point p = (0,. ..,0,1) E Un, sending
I
i (3.14) G = KAN, (21,. .., X ~ , Z , + E~ Un
) to (-21,. ..,-zn,zncl) We remark that O(n) =Ti.
224 SL(2, C) AND MORE GENERAL LORENTZ GROUPS SL(2, C) AND MORE GENERAL LORENTZ GROUPS 225

The decomposition (3.19) is the Cartan decomposition of g. On the Lie group we obtained representations of SL(2, R) on L2(S'), given by formula (3.23) of
level, one has the decomposition Chapter 8. In this case, M is trivial for SOe(2, 1) = PSL(2, R), and K -t S'
is a trivial fibration. In $2 of this chapter, we made an analogous construction
of the principal series for SL(2, C), covering SOe(3, I), and obtained representa-
mapping K x p diffeomorphically onto G. This is different from the Iwasawa tions of PSL(2, C) on sections of line bundles over S2, corresponding to various
decomposition (3.13)-(3.14). p is not a subalgebra of g, as is a @ n, in view of representations of the group M = SO(2) = S1. In this case K -r S2is the Hopf
the inclusion fibration. One can verify that the definition of the principal series representa-
(3.25) tions of SL(2, C) given by (2.89)-(2.92) in this chapter make them of the form
[a,nl C n,
(3.31).
which follows from (3.12), or even (3.7). AN is a solvable subgroup of G, while In the previous discussion of the principal series for SL(2,R) and SL(2, C), we
expp is not a subgroup. Let us note that, in light of the fact that m centralizes saw that, by restricting homogeneous functions to a hyperplane rather than to
a, we have a sphere, we could represent these groups on L2(R') and L2(R2), respectively,
(3.26) adm: g, -,g, rather than on L2(S') and L2 sections of line bundles over S2. The geometrical
correspondences between Rn and Sn in these two cases are stereographic pro-
for each g,, and hence jections, discussed in more detail in Chapter 10. This alternate description of
(3.27) [m, n]C n. the principal series can be generalized. It turns out that
Thus m $ a $ n is a subalgebra of g, and in fact (3.32) G = BR, modulo a set of measure zero,
where = expii, and we can define a representation equivalent to n(x,,) on
is a subgroup of G. Note that L2(R,VA),with Haar measure on R , by picturing a section of the appropriate
vector bundle over Sn-' as a function on G with values in Vx, satisfying a p
propriate compatibility conditions on the right B-cosets, and restricting such
It turns out that, if Sn-' is given its unique (up to a constant) K-invariant functions to m. We omit the details; see 1481 for a discussion of SOe(n, 1) in
metric, i.e., the standard metric, then G = SOe(n,1) acts as a group of conformal particular, and [27,2561,for a general discussion.
automorphisms of Sn-'. For more on this, see Chapter 10. As we have seen, SL(2, R), which covers SOe(2, I), has discrete series r e p
We give a brief description of some of the irreducible unitary representations resentations. On the other hand, SL(2, C), which covers S0,(3, I), does not.
of SOe(n,1). First, there is the principal series. An element of this series is It turns out that generally SOe(2n,1) has discrete series representations, while
constructed by taking a certain finite dimensional unitary representation of the +
S0,(2n 1,l) does not. We refer to Chapter 13 for a further discussion of the
group B = MAN, and constructing the induced representation on G. More discrete series. For G = SOe(n,I), the principal series and discrete series make
precisely, let X E M be an irreducible unitary representation of M and let v E a*. up "almost all" the irreducible unitary representations, in the sense that there
D e h e a unitary representation (A, v) of MAN by is a Plancherel measure p supported on this set C of representations such that,
(3.30) (A, V)(man) = ~ ( m ) e a).
" ~ ~ ~ ~ for f 6 C r (G),

Here log is the inverse of the exponential map of a onto A. l?rom (3.25)-(3.27)
and the fact that m and a commute, we see that this is a representation of B.
So define The measure p is atomic on discrete series representations. A detailed analysis
+
of this for SOe(2n 1 , l ) is given in the last chapter of Wallach [253].There
(3.31) ~ ( x , w )= I n d g ( ~v).
, are also certain "supplementary" series of representations, of total Plancherel
Note that the representation space for R(x,,) is the space of L2 sections of a vector measure zero. A study of the irreducible unitary representations of SOe(n,1)
bundle over Sn-', with fiber isomorphic to the representation space Vx 8 C of was made in Hirai [113,114,1151.
(X,v) E B.
We have seen examples of this before. When the principal series of SL(2, R),
covering SOe(2, I), was obtained in Chapter 8, $3, by decomposing-the regu-
lar action of SL(2, R) on L2(R2) by (purely imaginary) degree of homogeneity,
 SPINORS 247

e j = -Q(ei) . 1, we can, starting with terms of highest order, rearrange each

monomial in such a polynomial so the ej appear with j in ascending order, and
no exponent greater than one occurs on any ej. In other words, each element
ul E Cl(V, Q) can be written in the form

We claim this representation is unique, i.e., if (1.5) is equal to 0 in Cl(V, Q),

Spinors then all coefficients ail ...in vanish. This can be seen as follows. Denote by A the
linear space of expressions of the form (1.5), so dim A = 2". We have a natural
linear map
In previous chapters, we have seen the double coverings
SU(2) 4 S0(3), SU(2) x SU(2) -,S0(4),
and by the discussion above pQ is surjective. We want to show DQ is injective.
and First consider the (most degenerate) case Q = 0. In such a case, Cl(V,O) is
SL(2, R) 4 S0,(2, I), SL(2, C) -+ S0,(3,1). the ezte~ioralgebra A* V; (1.5) is customarily written
Generally, the orthogonal groups SO(n) and their noncompact analoguesSO(p, q)
have double coverings, denoted Spin(n), and more generally Spin(p, q). We study
these spin groups here. We also consider spinor bundles and Dirac operators on
The rule ej h ek = -ek A ej defines an algebraic structure on A, in this case. By
manifolds with a spin structure.
the universal property mentioned above, we have a surjective homomorphism of
1. Clifford algebras a n d spinors. To a real vector space V (dimV = n) algebras a:Cl(V, 0) -, A. To compose this with the linear map Do: A 4 Cl(V, 0),
equipped with a quadratic form Q(v), with associated bilinear form Q(u, v), we which we also see to be a homomorphism of algebras, we note that aDo and ,Boa
associate a Clifford algebra Cl(V, Q), which is an algebra with unit, containing are clearly the identity on V, which generates each algebra, so a and & are
V, with the property that, for v E V, inverses of each other. Hence (1.6) is seen to be an isomorphism of algebras for
Q = 0:
(1.1) v . v = - Q(v). 1.
(1.8) Do: A 5 Cl(V, 0) = A* V.
We can define Cl(V, Q) as the quotient of the tensor algebra @ V by the two-
+
sided ideal J generated by v @ v Q(v) . I , v E V: Using this, we will identify A and A* V as linear spaces. If we write
n
(1.2) Cl(V, Q) = Q9 v/ J. (1.9) A'V = @ A ~ v ,
Note that, for u, v E V, k=O

(1.3) u.v+v.u=-2Q(u,v).1.
+ +
where Ak v is the linear span of (1.7) for il .. . in = k, we have a natural
identification of Ak V with the space of antisymmetric k-linear forms V' x . .. x
By construction, Cl(V, Q) has the following universal property. Let A. be any V' 9 R (V' = dual space to V), via
associative algebra over R, with unit, containing V as a linear subset, generated
by V, and such that (1.1) holds in Ao, for all v E V. Then there is a natural (1.10) (vl A.. .hvk)(Xl,. .. , Xk) = (l/k!) (sgno)(vl,X,(l)) ... (vk,Xu(k)),
surjective homomorphism UEsk

a: Cl(V,Q) 4 Ao. for vj E V, Xl E V'.

(1.4)
In order to show (1.6) is an isomorphism for general Q, we produce an alge-
If {el,. ..,en) is a basis of V, any element of Cl(V, Q) can be written as braic structure on A* V = A, for each quadratic form Q on V. Note that such
a polynomial in the ej. Since ejek = -ekej - 2Q(ej, ek) 1 and in particular Q defines a linear map
 SPINORS SPINORS 249

(w, Q(v)) = &(v,w), v,W E v. M,1 =v.

We will use both the ezterior product on A* V, i.e., the product v h w in Cl(V, 0), Thus the algebra M in End(A* V) generated by {M,:v E V} naturally con-
and the interior product, deiined as follows. First, for X € V', we define tains V, and by the anticommutation relations (1.24) and the universal property
of Cl(V,Q), we conclude that there is a natural surjective homomorphism of
'X: Akv+ I \ k - l v
P:Cl(V, Q) -+ M,
( L X W ) ( X ~ ~ - . . ~=w(X,Xlr
X ~ - ~ ) ..-,Xk-l), extending v H Mu. Define a linear map
where we have identified w E I\kV with an antisymmetric k-linear form, as 7: Cl(V, Q) -+ A*V
described above. Then, for v E V, the interior product
j,: A ~ V
-+
7(s) = P(z)(~).
If we use (1.8) to identify A and A* V, we have a commutative diagram
Cl(V,Q) 3 A* V
with Q given by (1.11)-(1.12). Let us consider the algebraic relations among OQ T :a
these operators and the operators A
Po
kv
A,: A ~ -+
V hkC1v, v E V,
defining a map q: A* V -+ I\*V. We see that
) Po(x) E $A'V if P d x ) E Akv.
r P ~ ( z-
hv(Vl A ... A vk) = V A V l A . .. A Vk. l<k
The algebraic properties of these operators are the following. Clearly Hence q = I+a with u nilpotent on I\*V. This implies q is a linear isomorphism.
The commutativity of the diagram above then implies that PQ is injective, hence
A,Aw = - A, A,
an isomorphism, so 7 is an isomorphism. This implies p is injective, hence an
for all v,w E V, and also a simple calculation shows that LXLX = 0 for all isomorphism. We have proved
X E V', hence juju= 0 for all v E V, and thus
PROPOSITION
1.1. The maps (1.6), (1.27), and (1.28) are all isomorphisms.
jwjw
= -jwjv Thus we make the identification
for all v, w E V. Finally, a calculation yields
Cl(V, Q) = A*V,
(LXA, + A, LX)W= (X, W)W via (1.28). In particular
dim Cl(V, Q) = 2" if dim V = n.
jvAw + Aw jv= Q(v, w)I. From now on, we will suppose Q is nondegenerate, though not necessarily
In particular, if we define linear operators M, on A* V by positive definite.
The Clifford algebra has a natural Z2 grading. Set
Mu = A , -j,, VEV,
clO(v,Q) = linear span of {vl ...vk: v, E V, k even),
we have the anticommutation relations
Cll (v, Q) = linear span of {vl . . . vk: ~3 V, k odd}.
MUMw+ M,:M, = -2Q(v, w)I, It follows that
for v, w E V, as a consequence of (1.19)-(1.22). Note also that c l O .c1° c clO, Cll .C1° c cll,
M,v = -Q(v). 1 ClO.Cll c Cll, Cll .C1' c clO.
 SPINORS SPINORS 251

We are now going to define the spinor groups Pin(V, Q) %d Spin(V,Q). We matrix, we can reduce our considerations to a product of planar rotations, hence
to a single planar rotation, which is trivially representable as a product of two
reflections.
(1.33) Pin(V, Q) = {vl. ..vk E Cl(V, Q):vj E V, Q(vj) = h l ) , Now we consider the case of a general nondegenerate Q, i.e., g E SOe(p, q),
with the induced multiplication. Since (vl ...vk)(vk ...vl) = h l , it follows that p+q = n. As described in Chaper 9, we have a maximal compact subgroup K x
Pin(V, Q) is a group. We can define an action of Pin(V, Q) on V as follows. If SO(p) x SO(q). For any g E K, the fact that g is a product of reflections follows
+
u E V and z E V, then uz zu = -2Q(z, u) .1 implies from the argument in the previous paragraph. Now, for any h E G = SO.(p, q),
the conjugated operator h-'gh can be regarded as the operator g viewed in
uzu = -zuu - 2Q(z,u)u = Q(u)z - 2Q(z,u)u. another coordinate system. Since the description (1.41) is coordinate invariant,
Note that, if also y E V, this implies any conjugate g' in
Q(UZU,UYU)= Q(u)~Q(z,Y) IZL = {h-lgh: g E K, h E G = SO,(P, q ) )
= Q(z, y) if Q(u) = f1. is a product of reflections (1.41). However, it is easy to see that this set contains
Thus, if u = vl ...vk E Pin(V, Q), and if we define a conjugation on CI(V, Q) by an open set 0 in G. Since, for general X E &,Y E g, we have
exp(sY) exp(tX) exp(-sY) = exp(tedad'x)

it follows that
= exp(tX + st[Y,X]+ O(s2)),
this openness can be deduced from the implicit function theorem, together with
ZHUZU*, zEV, +
the observation that {X [X,Y]:X E e, Y E g) = g for g = so(p,q). Thus
is a Q-isometry on V for each u E Pin(V, Q). It will be more convenient to use any element of 0 , and hence also any element of 0-', is a product of reflections
(1.41). But any element of G is a finite product of elements of 0 and 0-l, for
U# = U* (Q(v1) + ..Q(vk))-' any open set 0 , so the proof is complete.
for u = vl . ..vk E Pin(V, Q). Then we have a group homomorphism Note that each isometry (1.41) is orientation reversing. Thus, if we define
T: Pin(V, Q) -r 0(V, Q), Spin(V,Q) = {vl ...vk:vj E V, Q(vj) = f 1, k even)
where O(V, Q) denotes the orthogonal group, defined by = Pin(V, Q) r l c1° (v, Q)

r(u)z=uzu#, zEv,u~Pin(V,Q).
Note that if u E V, then, by (1.34),
T(U)Z= z - Q(u, u)-lQ(z, u)u,
which is reflection across the hyperplane in V orthogonal to u. We will next
show that any element of O(V, Q) can be written as a product of isometries of
the type (1.41), so 7 is onto.
LEMMA 1.2. Any g E O(V, Q) can be written as a product of the reflections
PROOF. If we pick a coordinate system in which Q is diagonal, we see that
any g E O(V, Q) is a product of reflections across coordinate hyperplanes and
an element of the connected component of the identity Oe(V,Q) = SOe(p, q),
so we can suppose g E SOe(p,q). We first consider the case of Q definite, so
g E Oe(V,Q) = SO(n). In this case, we can write g = expX for some X E so(n),
a skew symmetric real n x n matrix. Choosing an orthonormal basis of Rn with
respect to which X is an orthogonal sum of 2 x 2 matrices, plus perhaps a zero
r: Spin(V, Q) -+ SO(V, Q),
and in fact Spin(V, Q) is the inverse image of SO(V, Q) under T in (1.39). We
now show that T is a two-fold covering map.
PROPOSITION
1.3. T is a two-fold covering map. In fact, ker T = (51).
PROOF. Note that f1 E Spin(Q,V) c CI(V, Q) and f 1 acts trivially on V,
via (1.40). Now, if u = vl... vk E kerr, we know k is even (since orientation is
preserved), so uu# = 1. Also, since uxu# = z for all x E V, we have uz = xu,
so xuz = -Q(z)u, z E V. Now pick an orthonormal basis el,. ..,en of V, so
&(el) = ... = Q(ep) = 1, and Q(eP+l) = ... = Q(ep+,) = -1, n = p q. We +
have Q(ej)u = -ejuej, if u E kerr. If we write u = Cai,...i,e;L ...e> where
+
each ij is equal to 0 or 1, il . . . + in even, we have, for all j,
~ = ~ ( - l ) ~ j a i , . . . i , e : ' . . . e ~ifuEkerr.
Hence ij = 0 for all j, so u is a scalar. Hence u = f1.
We next consider the connectivity properties of Spin(V, Q).
252 SPINORS

PROPOSITION1.4. Spin(V, Q) is the connected 2-fold cover of SO(V, Q) if the universal property of Cl(n $2) gives the isomorphism (1.49).
Q is positive definite or negative definite. By induction, we deduce the following.
PROOF. It suffices to connect -1 E Spin(V, Q) to the identity element 1 E COROLLARY
1.7. We have the isomorphisms of algebras
Spin(V,Q) via a continuous curve in Spin(V, Q). In fact, pick orthogonal unit
(1.50) Cl(2k) x ~ n d ( ~ ~ ~ ) ,
vectors el, ez, with Q(el) = Q(e2) = +I, and set
(1.44) +
) el . (- costel sintez),
~ ( t= 0 5 t 5 n. (1.51) Cl(2k + 1) x ~ n d ( @~~ ~n d~ ( ) ~ ~ ~ ) .
I£ Q is nondegenerate but not definite, then it is easy to see that SO(V, Q) has There is also an analysis of the algebraic structure of Cl(V, Q), which we shall
two connected components, rather than one. In this case, let SOe(V,Q) denote +
not give in detail. If V = Rn, n = p q, and Q is defined by
the connected component of the identity in SO(V, Q), and let Spin,(V, Q) denote Q(alel+...+a,e,)=a:+...+a~-a~+, -...-
the connected component of the identity in Spin(V, Q). aX+v
let us adopt the notation
PROPOSITION1.5. Ezcept in the case where Q has signature (1, I),
(1.52)
7: Spin,(V, Q) + SOe(V, Q) Cl(p, q) = Cl(Rn, Q), Spin(p, q) = Spin(Rn, Q), Spin(n) = Spin(n, 0).
is a 2-fold covering map. The proof of (1.49) shows that
PROOF.You can still pick orthogonal vectors el, e2 with Q(el) = Q(e2) = *l,
and then (1.44) still gives a curve connecting 1 to -1 in Spine(V,Q).
Note that if Q has signature (1, I), then SOe(V,Q) x R is simply connected, F'rom this it is possible to deduce
so a 2-fold cover cannot be connected.
If Q is definite then, as is well known, SO(V, Q) has fundamental group Z2,
and Spin(V,Q) is hence simply connected. It does not follow that Spine(V,Q) In low dimensions, one has
is simply connected if Q is indefinite. For example, as we saw in Chapter 8,
SL(2,R)/Z2 SOe(2, l ) , so Spine(2, 1) x SL(2, R). However, SL(2, R) is not
simply connected; it is homeomorphic to S1 x R2.
Before defining the spaces of spinors, we want to take a brief look at the
structure of the complexified Clifford algebra
For a more complete description, see Lawson and Michelson [149].Here, H is
(1.45) Cl(V, Q) = C 8 Cl(V, Q). the quarternionic field, and H(k) is the ring of k x k quarternionic matrices.
If V = Rn, this is just the Clifford algebra over C of Cn with a nondegenerate We want to associate a space of spinors with (V,Q). In fact, one needs to
bilinear form. Since on Cn all nondegenerate bilinear forms are equivalent, impose more structure to obtain a spinor space; there is no canonicdly defined
the algebraic structures of Cl(V, Q) and Cl(V, Q') are isomorphic, for any two S(V,Q). This fact will have a profound influence on the structure of spinor
nondegenerate forms Q, Q'. We can write bundles, as we will see in the following sections.
(1.46) Cl(V, Q) x Cl(n), n = dim V. As one example, suppose dimV = 2k is even, and that V has a complex
structure J (i.e., a linear map J : V + V with J2= -I) which is an isometry
PROPOSITION1.6. We have the isomorphisms relative to Q, i.e., Q(u,v) = Q(Ju, Jv). This implies Q(u, Jv) = -Q(Ju,v).
(1.47) Cl(1) x C C , + Denote the complex vector space (V, J ) by V. On V we have the Hermitian
(1.48) Cl(2) x Endc(C2), form (nondegenerate, but perhaps indefinite if Q is)
(1.49) +
Cl(n 2) x Cl(n) 8 Cl(2).
PROOF.We leave (1.47) and (1.48) as exercises. As for (1.49), if you embed
Form the complex exterior algebra
Rn+2 into Cl(n)@C1(2)by picking an orthonormal basis el, .. .,e,+2 and taking
ej H ej 8 en+len+2 for 1 5 j 5 n,
ej H 18 ej for j = n + l , n + 2 ,
 SPINORS SPINORS 255

(note that A* V = $ikO A3 V) with its natural Hermitian form. For v E 2), one If V = R2k with its standard (positive) Euclidean metric, standard orthonor-
has the exterior product UA: A& + A&+' V; denote its conjugate by the interior mal basis el,. ..,ezk, we impose the complex structure
product j,: A&+' V + A& V. Set Jet = et+kr Je,+k = -et, 1s < k,
2

M,cp=vAp-j,~, v E V , cp€KcV. and we set

Note that v A p is C-linear in v , j,cp conjugate linear in v; so Mu is R-linear in S(2k) = S(RZk,11 112,51,
v. As in the analysis of (1.24) we obtain M,M,cp = -Q(v)p, so Mu extends to s;t(2k) = S * ( R ~ 11~112,
a homomorphism of C-algebras:
-
p: Cl(V, Q) Endc (&V) .
Now ker p would have to be a two-sided ideal, and sinct clearly v # 0, v E V *
and (1.66) defines representations
D:/~
, J),

of Spin(2k) on S*(2k).
v $ ker p, and since Cl(V, Q) is isomorphic to End(C2 ), which has no proper
two-sided ideals, it follows that p is injective. Since both sides of (1.59) have the
same dimension, p is an isomorphism.
Using the inclusions
If V = RZk-', we use the isomorphism

produced by the map

Cl(2k - 1) - c1°(2k)

Pin(V, Q) c Cl(V, Q) c C V , Q),

we have the representation v H Z)l?2kl vER ~ ~ - ~ .
p: Pin(V, Q) -+ Aut (AbV) . Then the inclusion
Thus, when V has a complex hermitian structure, we can associate the spinor Spin(2k - 1) c Cl(2k - 1) = c1°(2k)
gives an inclusion
S(V, Q, J) = AbV,
Spin(2k - 1) c Spin(2k),
and we have canonically defined a representation of Pin(V, Q) on S(V, Q, J ) .
PROPOSITION 1.8. The representation p of Pi@, Q) is irreducible.
PROOF. Since the C-subalgebra of Cl(V, Q) generated by Pin(V, Q) is all of
Cl(V, Q), the isomorphism (1.59) makes this clear.
so we have a representation
D:,~: Spin(2k - 1) - Aut S+(2k).

We also have a representation DG2 of Spin(2k- 1) on S-(2k), but these two r e p

The restriction of p to Spin(V, Q) is not irreducible. In fact, set
resentations are equivalent. They are intertwined by the map p(e2k): S+(2k) -+
s+(v,Q, J) = $ A&v,
J even We produce the spinor representation of Spin(p, q) via the inclusions
s-(V,Q, J) = $ A&V. (1.75) Spin(p, q) C C ~ O (q)~ ,c C €3 clO(p,q) x Cl(n); n =p + q,
3 odd

It is clear that under p, the action of Spin(V, Q) preserves both S+ and S-. In and the action of Cl(n) on Sh(2k), n = 2k or 2k - 1.
fact, we have (1.59) restricting to Let us remark that the definition (1.58) of Muon S(V, Q, J ) shows that Mu is
P: clO(v,&) + Endc(S+(V,Q, J)) @ Endc(S-(V, Q, J)), skew adjoint with respect to the natural Hermitian metric on S(V, Q, J ) = Kc V,
for any v E V. It follows that, if p , $ E A; V, (vp,v$) = -(p,vv$) =

~ ( z )S+
: -
From (1.64), we get representations
S- and ~ ( z )S-
: -
this map being an isomorphism. On the other hand, if z E Cll(V, Q), then
S+.
Q(v)(p, $). In particular this implies p: Spin,(V, Q) -, U (A; V, ( , )), the space
of unitary maps. If Q is positive definite, so is the Hermitian metric on A; V,
and hence the representations Df12 of Spin(2k) are unitary. Of course, since
Spin(2k) and Spin(2k - 1) are compact, their representations would necessarily
DS2: Spin(V,Q) + Aut(S*(V, Q, J)) be unitarizable. Since the representations DF12 are irreducible, the invariant
which are irreducible. Hermitian metric on the representation space is unique, up to a scalar multiple.
256 SPINORS
2. Spinor bundles and t h e Dirac operator. Let M be a smooth manifold
with a nondegenerate metric tensor g. Say n = dim M and g has signature (p, q),
p+q = n. Associated with the tangent bundle T M is the bundle of orthonormal
frames, which is a principal O(p, q) bundle. Suppose we can reduce the group
to SO,(p,q). In case the metric is positive definite, this amounts to putting
an orientation on M; if M is Lorentzian, it amounts to also imposing a causal
structure on M. So we have the principal SOe(p,q) bundle
Now recall the double covering
Certainly, locally, the principal SO,(p, q) bundle can be lifted to a principal
Spin,(p,q) bundle, doubly covering P. There are topological obstructions to
implementing this globally, which we shall not discuss here (see [196]), beyond
mentioning that the obstruction is an element of H2(M, Z2), whose vanishing
guarantees the existence'of a lift, and in general there are inequivalent bundles
lifting P 4 M , parametrized by elements of H1(M, Zz). We will suppose that
is a given lift of P to a Spin,(p, q) bundle.
The Levi-Civita connection determined by the metric tensor g gives a connec-
tion on P 4 M , which in turn determines a unique connection on 3 + M.
Using the representation
from $1, where p+q = n = 2k or 2k - 1, we form the bundle of spinors associated
with P:
Thus s(P) is a vector bundle over M. The sections of s(P) are in natural one-
to-one correspondence with the functions on P , taking values in the vector space
S(2k), which satisfy the compatibility conditions
(2.6) ~ ( S P O=) ~ ( 9 )(PO),
f PO E F , 9 E Spin,(p,q).
We also have the Clifford bundle
where the representation T of Spin,(p, q) on Cl(p, q) is given by
Compare with (1.16).
Recall from $1that S(2k) is a Cl(p, q) module. It is an extremely important
fact that this extends to the bundle level.
SPINORS 257
PROPOSITION 2.1. The spinor bundle S(P) is a natural Cl(TM, g) module.
PROOF. Given a section u of Cl(TM,g) and a section cp of ~ ( p )we , need to
define u .cp as a section of s(P). We regard u as a function on P with values in
Cl(p, q) and cp as a function on P with values in S(2k). Then u .cp is a function
on P with values in S(2k); we need to verify the compatibility condition (2.6).
Indeed, for po E E?, g E Spine(p,q),
since gg# = 1 for g E Spin,(p,_q). This completes the proof.
The natural connection on P gives a covariant derivative on any vector bundle
E = E? X, V, where -y is a representation of Spine(p,q) on V. In fact, if X is a
vector field on M, XH its horizontal lift to E?, and if a section w of E is identified
with a function w# on E? with values in V, satisfying the compatibility condition
analogous to (2.6), then Vxw, as a section of E, is identified with xHw#. In
particular, we have covariant derivatives on the bundles Cl(TM, g) and s(F),
and it is clear that the appropriate derivation identities hold. For example, if u
is a section of Cl(TM, g), cp a section of s(P)!
We are now in a position to_define the Dirac operator on r ( M , ~ ( p ) ) the
,
space of smooth sections of S(P). The covariant derivative defines
(2.11) v : r ( ~ , s ( F ) ) ~ ( M , T - M8 ~ ( p ) ) .
-+
Using the metric g we identify T'M with TM, and write
(2.13) TM -
Meanwhile, we have the natural inclusion
Cl(TM, g),
and hence Clifford multiplication induces a map
DEFINITION.The Dirac operator
is given by
If we pick a local orthonormal frame field el,. . .,en on TM, so g(e,, ej) is 1
< < + < +
for 1 j p, -1 for p 1 j < p q, then, locally,
258 SPINORS SPINORS 259

Note that Riemannian manifold. We assume M is oriented. We can associate to T M -+ M

the bundle of Clifford algebras
(2.18) 0: r ( M , s*(P)) -+ r(M, sF(P))
(2.27) Cliff M -+ M.
where S* (P) = P x, S* (2k).
The operator D is selfadjoint with respect to the natural inner product on the If a connection V is chosen for this vector bundle, we can define a "Dirac oper-
space of sectiots of s(P), as we will now show. If ( , ) denotes the natural inner ator"
product on S(P), or on S(2k), we define (2.28) D#: r(M, Cliff M) -+ r(M, Cliff M)
(2.19) (cp,4 ) = /
M
(9, $)(z) dvol(z) = 1P
(v(P). $(PI) dvol(p).
PROPOSITION2.2. We have, for cp or .J, with compact support,
in analogy with (2.16), where here
(2.30) m: T M 8 Cliff M -+ Cliff M
PROOF.Write
is given by Clifford multiplication, with T M ct Cliff M. More generally, if
E -+ M is a vector bundle with connection V, which is a Cliff M module, we
The integrand is equal to can define
(2.31) D $ : ~ ( M E)
, -+ r ( M ,E )
by the identity (2.29), where
for any local orthonormal frame el,. ..,en. For a given so E M, pick the (2.32) m:TM@E-+E
orthonormal frame field el,. .. ,en on a neighborhood of so so that, at so,
is given by the action of T M C Cliff M on E .
Ve,ek = 0. Thus, at so,the expression (2.22) is equal to
Under a topological restriction on M , substantially weaker than that required
(2.23) - C(ve,cp, ej4) + (9, Ve,(ej$)) =- vej C
ejl~). for M to give a spin structure, there may exist a vector bundle S + M such
3 3 that, for all z E M, S, is an irreducible Cliff M, module. In such a case, we
Now the codifferential 6 = *d*, acting on 1-forms, is given by say an oriented manifold M is a spinC manifold; S -+ M is a spinC structure.
Clearly a spin structure, yielding the bundle s(@), gives a spinCstructure. Given
(2.24) SP = - z ( v e j ~ ) ( e j ) .
a connection on S , we can define a Dirac operator
j
Thus, if /I,,+ is the 1-form on M defined by (2.33) D: r(M, S) -+ r(M, S)
as before, and also, given a vector bundle F -+ M , we can regard E = F 8 S as
a Cliff M module and, bringing in a connection on this vector bundle, we have
we see that an associated Dirac operator, as above.
(2.26) (Dc.$) - (W Ddl) = *6~,,+ = * I M d ( * P V l ~=) 0 Dirac operators on spinc manifolds retain a lot of important properties of the
.M special case of spin manifolds. This is important in index theory, particularly
by Stokes's theorem. This completes the proof. since spinc manifolds exist in fair profusion. For example, as the construction
If M is a Riemannian manifold (g positive definite) then the inner product (1.57)-(1.62) implies, any almost complex manifold M , i.e., any M with a com-
( , ) is a positive definite (pre-Hilbert) inner product, and in this case (2.20) plex structure on the tangent bundle, not necessarily integrable, has a natural
says D is a formally selfadjoint operator. If M is complete, D is selfadjoint. For spinCstructure. Symplectic manifolds are examples of almost complex manifolds,
M compact, this is elementary; for noncompact complete M, see Chernoff [38]. since as shown in Chapter 11 a symplectic vector space with an inner product
We remark that (2.16) also serves to define the Dirac operator D on sections of imposed has a complex structure. Thus a Riemannian metric on a symplectic
s(P) tensored with any vector bundle with connection. manifold determines an almost complex structure, and hence a spinc structure.
There are useful notions of Dirac operators even on a manifold M which does There are similar constructions for dim M odd, replacing Cliff M by its even
not have a spin structure. Suppose for simplicity that M is an even dimensional part.
 SPINORS SPINORS 261

3. Spinors on four-dimensional Riemannian manifolds. Let M be where ( , ) is the natural inner product on A* V extending the inner product
a four-dimensional oriented Riemannian manifold, with metric tensor g, whose Q( , ) on V, and w is the positively oriented unit element of AnV. If Q is
principal SO(4) frame bundle lifts to a Spin(4) bundle, positive definite, we have
** = ( - I ) ~ ( ~ - ~On) Akv.
Special properties of the spinor bundle S(P) = P xSpinC4) S(4) arise from special In particular, if dimV = 4, we have
properties of a four-dimensional oriented vector space V with a positive definite
quadratic form Q, which we will investigate in this section. *: A'V -+ A2v and * * = 1 on A2v.
Recall from $1that, in general, for dimV = 2k, if a complex structure J is Since * is readily verified to be an isometry with respect to the natural inner
imposed such that Q(Ju) = Q(u), u E V, and if the associated k-dimensional product on A* V, we see that, if dim V = 4,
complex vector space is denoted by V, then Cl(V, Q) acts on Kc V = S. If we
l\"=~r\:@$?v
S+=$ALV, S-=$&v,
3 even 3 odd
* = & I on A:V.
Calculations which we shall perform shortly will show that, for dimV = 4,
P l : C e V -,Hom(S+,S-),
(3.12) L+(*a) = L+(a), L-(*a) = -L-(a), a E A2v.
P2: C e V -+ Horn($-, S+). Thus, L* annihilates A: V. What we will then show is that if, for a vector
Recall that dimc S+ = dimc S- = 2k-1, and
End(E)O = {T E End(E): t r T = 01,
dim Hom(S+, S-) = dimHom(S-, S+) = 22k-2.
then we have
In particular, if dimV = 4 = 2k, then both sides of (3.3) and (3.4) have the
same dimension. Thus the following should be no surprise. PROPOSITION3.2. If dimV = 4, we have isomorphisms
3.1. If dim V = 4, PI and Pz are isomorphisms.
PROPOSITION L*:Av: eC -+ End(&)'.
PROOF.It is easy to see that in general Pl and PZare injective, so this follows Let us now make some explicit computations of the action of V and A2 V on
from the remarks above on dimensions. S = Kc V. Let el, ez, es,e4 be an orthonormal basis of V, positively oriented.
In addition to the maps (3.1), (3.2), in general, for dimV = 2k, we have the A complex structure is defined on V by
Jel=eg, Jez=e4.
L*: A2v@ C + End(&).
Thus V has basis el, ez, and es = iel, er = iez. We have
Here the left side has complex dimension (y)
= k(2k - 1) and the right side has
S- = V.
dimension 22k-2. If 2k = 4, these dimensions are, respectively, six and four. We S+ = c @ A ~ v ,
will show that L+ and L- are isomorphisms from appropriate linear subspaces A basis for S+ is
of A2 V 8 C to certain subspaces of End(S+) and End(%), respectively. The
Hodge star operator plays a role in this analysis. 1, el A ez,
Generally, for n = dimV, the Hodge star operator and a basis for S- is
*: Akv-+I \ n - k ~ el, ez.
Recall the action of V on V is given by
*a A p = (a, p)w v.cp=vAcp-j,cp.
262 SPINORS SPINORS 263

In particular we have, for v E V, Using (3.24), we easily find that the map L+: A2 V C3 C + End(S+) has matrix
representation

Here ( , ) denotes the natural Hermitian inner product on Kc V.

With respect to the bases (3.17) and (3.18), we can write Pl(v) and P2(v) as
2 x 2 complex matrices, for each v E V. If
(3.21) v = ale1 + azez + a s e ~+ a4e4,
a straightforward computation gives This calculation directly verifies the first part of (3.12), and a similar calculation
verifies the analogous assertion for L-, since we have
(3.22) +
a1 ia3 az + ia4 * (el A e3) = e4 A ez, * (el A e4) = ez A e3.
a2 - ia4 - a1 + ia3 (3.29) *(el A e2) = e3 A e4,

and We can also read off a proof of Proposition 3.2 directly from these calculations.
Note that all the matrices in (3.28) are skew adjoint. We thus have
(3.23) - a1 + ias - a2 - ia4
Pz(v) =
- az + ia4 a1 + ia3 PROPOSITION 3.3. If dimV = 4 (with positive definite inner product) we
have the R-isomorphisms
TOrecord this differently, we have
(3.30) L*: AilJ + Skew(S*)O
where Skew(S*)O denotes the space of traceless endomorphisms of S*, skew ad-
joint with respect to the natural inner product on S*.
We next want to see explicitly the action of Spin(4) on S+ and S-. It is
convenient to derive first the action of the Lie algebra of Spin(V, Q) on S+ and
S-. We need therefore to identify this Lie algebra. Note that Spin(V,Q) is a
Lie subgroup of CIX(V, Q), the group of invertible elements of Cl(V, Q). Since
C1(V, Q) is an associative algebra with unit, CIX(V, Q) is open in Cl(V, Q), and
its Lie algebra is naturally identified with Cl(V, Q), with [p, $1 = p.$-$.p. We
want to identify the Lie algebra of Spin(V, Q) as a subspace of Cl(V, Q). Using
Note that P1(ej) = -Pz(ej) (in this 2 x 2 matrix representation) if j # 3, the natural identification Cl(V, Q) w A* V, we have
PI(e3) = Pz(e3). Simple calculations show Pl(ej)Pz(ej) = - I , consistent with
the fact that Pl(v)Pz(v) isequal to theactionof v.von S-, whi1ev.v = -ll~11~-1. PROPOSITION3.4. The Lie algebra of Spin(V,Q) is equal to
These calculations clearly reprove Proposition 3.1. Let us turn to calculations A2v c Cl(V, 9).
~ s*.InCl(V,Q), we h a v e v . w = v ~ w - Q ( v , w ) . l , so
o f t h e a c t i o n o f A 2 on
(3.25) (~Aw)~p=v~(w~p)+Q(v,w)p
This holds for a form Q of signature (p, q), p + q = n = dimV.
PROOF.It is easy to check that A2 V is a Lie subalgebra of Cl(V, Q). Denote
for v, w E V, p E V. In particular by Gothe connected Lie group it generates. One can verify that y E A2 V implies
(3.26) (ejAek).p=ej.(ekep), +
[ y , ~E] V for all s E V, and y y* = 0. If u = exp(y) E Go, then s ++ usu*
gives a homomorphism from Cl(V, Q) to itself, since uu* = 1 in this case, and
Thus
V is preserved. Furthermore, the restriction to V preserves Q. The universal
(3.27) (ej A ek) ' = PZ(ej)Pl(ek)'P, 'P E S+, property of Cl(V, Q) implies such a homomorphism is uniquely determined by
(ej A ek) "P = P~(ej)Pz(ek)rp, 'P E S-. its action on V. But there is a v E Spin,(V, Q) giving such an action on V, since
264 SPINORS

Spin,(V, Q) covers SO,(V, Q), so vzv* = uzu* for all z E Cl(V, Q). This implies
v = fu. It follows that Go = Spin,(V, Q), and the proof is complete.
From Proposition 3.4 we can read off the action of spin(4) on S+ from (3.28),
and similarly analyze the action on S-. Using Proposition 3.3, we have
PROPOSITION3.5. The representation Thus ll~o11~ = -1, and ll~111~= 1 1 ~ 2 1 1= = 1. We can thus identify the
~ 11~311~
complexified Clifford algebra C 8 Cl(3,l) with C 8 C1(4) = C1(4), and hence
(3.31) D S 2 @ Dy,: Spin(4) --, Aut(S+) x Aut(S-) Cl(3,l) acts by Clifford multiplication on S = A; V = I\; C2.
gives an isomorphism As in $3, we set S+ = $, ,
(3.17) and (3.18). The inclusion V = R311
to (3.3), (3.4):
- ej
,,,A& V, S- = odd A& V, with the bases
Cl(3,l) induces maps analogous

PROOF. Since a traceless skew adjoint operator on S* generates an element

of SU(2), the map (3.31) defines a homomorphism of Spin(4) onto SU(2) x SU(2)
which is a local isomorphism. Since all these groups are simply connected, this
homomorphism is an isomorphism.
I (4.3)
Pi: C 8 R3*' --, Hom(S+, S-),
Pi: C 8 R311 -,Horn(%, S+).
In addition to invariant inner products on S*, there are invariant complex With respect to the bases we have chosen for S+ and S-, PJv) are represented
volume elements, i.e., invariant elements w i E S*, because the group actions by 2 x 2 matrices. In fact, we see that
on S* are given by SU(2). The elements w* give rise to isomorphisms
(3.33) 5%:s*-, s i ,
where S$ is the dual of S*, the space of C-linear maps from Si to C. Note I Hence the calculations (3.24) yield
that these maps intertwine each of the representations ~ f with
/ their
~ adjoints, I
and are uniquely determined by this property, up to a (complex) scalar. These
isomorphisms in turn give rise to isomorphisms
(3.34) i?,: End(&)' -,Symm(S*),

the space of symmetric C-bilinear forms on Si. Thus Proposition 3.2 yields
isomorphisms
II The matrices oO,ol, 02,03 are called Pauli matrices. As in $3, we have

(4.6) pi(&^) = pI(60); P6(Ej) = -PJ!(&j) for 1 5 j < 3.

4. Spinors on four-dimensional Lorentz manifolds. Let M be a four-
dimensional Lorentz manifold, with orientation and causal structure, and with I These computations immediately prove

metric tensor g, whose principal S0,(3, 1) bundle lifts to a Spine(3, 1) bundle

I 4.1. The maps Pi and Pi are isomorphisms.
PROPOSITION

As in $3, special properties of the spin bundle s(P) = x~,,i~,(3,1)S(4) arise

I We next investigate the action of A2 R3J on S*. We have

from special properties of a four-dimensional vector space V with a quadratic

form Q of Lorentz signature, which we will investigate in this section. and with respect to the bases we have chosen for these spaces they are given
It is convenient to think of R3v1 as a real linear subspace of R4 8 C , which is explicitly by
equipped with a complex bilinear form induced from the Euclidean inner product
on R4. For example, we could take the real linear span of el, e2, e3, and i 4 .
However, in order for our computations analogous to (3.24) to take a form which
 SPINORS SPINORS 267

in analogy with (3.27). Using (4.5) and (4.6), we obtain We see that S+ and S- do not possess a Spine(3, 1) invariant inner product.
However, by Proposition 4.3, they do possess Spine(3, 1) invariant complex vol-
ume elements, i.e., invariant elements w* of A: S*. These induce isomorphisms
3*:s*-, s;
where Si denotes the dual of S*, the space of complex linear maps from S+ to
C. In other words, an antisymmetric second order "tensor" on S* is used to
"lower (or raise) indices" of spinors. The maps (4.15) in turn give isomorphisms
R*: ~ n d ( ~ * )-', Symm(S+),
and analogous results for LL. We deduce the following result, which is in inter.
esting contrast with Proposition 3.2. the space of symmetric C-bilinear forms on S+. If we let
r*=R*oL',
PROPOSITION4.2. We have R-linear isomorphisms
we deduce, from Proposition 4.2,
LL: r \ 2 ~ 3 , -+' Endc(S*)'.
COROLLARY 4.4. We have the R-linear isomorphhms
Of course, the kernel of Lk on A2 R33' @ C is a complex three-dimensional
linear space, but its intersection with the real vector space A2 R3v1 is zero. The r*:A 2 ~ 3 >-+1 Symm(S5).
difference is partly due to the different behavior of the Hodge star operator on Thw 2-forms on R39' are represented by symmetric 2-component spinors.
A* R33'. Instead of having (3.9), a s is readily verified, one has From the analysis of the action of R3,' on Hom(S+, S-) and on Horn($-, S+)
*: A2R3,' -+ A2R3*' and r * = -1 on r\2~3-1. derived in this section, we can derive the following explicit representation of the
In other words, * imposes a complex structure on A2 ~The computation
~ 9 ' .
Dirac operator on flat Minkowski space R39'. With S = S+$S- % c 4 , we have
(4.9) and its analogue for LL show that, instead of (3.12), one has D: I?(R~-',S) 4 I?(R3,', S)
L;(*a) = iL;(a), L'_ (*a) = -il;'_ (a), a E A2~ ~ 7 ' .
3
The result (4.10) on the action of A2 R39' on End(&), together with the
identification of r\2 R3J with the Lie algebra of Spin,(3,1) given by Proposition
P= r"(alazJ
w=O

where (zo,. ..,23) denote coordinates on R3s1 with respect to the basis EO,...,E3,
PROPOSITION
4.3. The representations and are given by
D$,: Spine(3,1) -,Aut(S+)
both give isomorphisms
The 4 x 4 matrices r O , ...,r3 are known as the Dirac matrices. Recall that
Spine(3, 1) SL(2, C).
a',. .., a 3 are the Pauli matrices, given by (4.5).
PROOF.In view of the fact that, for a matrix A, det(esA) = e s t r A , we see
that Spine(3, 1) is represented by elements of SL(2, C ) in both cases (4.13). The
isomorphism (4.10) shows that the maps DfI2:Spin(3, 1) 4 SL(2, C) are local
isomorphisms. Since both Spine(3, 1) and SL(2, C) are connected double covers
of SOe(3, I), it follows that these maps are isomorphisms.
It can be verified that the two representations D S 2 of Spin,(3,1) on C 2 are
not equivalent. Their characters are complex conjugates of each other. Thus
D,/, is the adjoint of DS,.
 ANALYTIC VECTORS

by constructing a right inverse Q, of a,, defined on a neighborhood of e in G,

into R ~such
, that Q,,(e) = 0 and Q, maps the one parameter group in G in the
direction x,, = zp, E g = .T,G to the line through the first coordinate vector
in RL. This can be arranged by the implicit function theorem. We can finally I
conclude that (D.79) implies (D.80).
\
We are now able to say that (D.77)-(D.78) produces a uniquely defindl func- I

tion a: G -,U ( H ) ,and it is automatic from (D.78) that a is a group homomor-

phism. To check the strong continuity of a and verify (D.59), we will again use
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Index

+ adjoint representation, 34 finite propagation speed, xi, 83, 297,

analytic vectors, 16, 300
I
+
ax b group, 149, 163
Bargmann-Fok representation, 58
Borel-Weil theorem, 116
Cartan decomposition, 224, 239, 271
Cartan involution, 223, 239, 274
303
Fourier inversion formula, ix, 288
Fourier transform, ix, 287
fundamental weight, 117, 126
Gtding space, 11
Gegenbauer polynomial, 136 ,

Cartan subgroup, 204,276 Haar measure, 9

Casimir operator, 124, 180, 188, 206,
211
character, 127
class one representation, 121
Clifford algebra, 246
Clifford multiplication, 246
coadjoint representation, 37
compact Lie group,' 104
compact real form, 274
complexification, 269
conformal transformation, 224, 226
convolution, 11
diffracted wave, 176
dilations, 58, 154, 163
Dirac matrices, 267
Dirac operator, 257
discrete series, 186, 193, 282
dominant integral weight, 117
i ergodic flow, 199
essential selfadjointness, 5, 297
Hamilton map, 65, 72
Hamiltonian iector field, 54, 236
Hankel transform, xiii, 166
Harmonic oscillator, 61, 101, 203
heat equation, ix, 71, 132, 303
Heisenberg group, 42
Hermite polynomial, 63, 305
highest weight, 94, 113
theorem of, 117
Huygens principle, xi
hyperbolic space, 132, 223, 230
hypoelliptic, 67, 99
imprimitivity theorem, 144
induced representation, 143
infinitesimal generator, 3
inversion formula
Fourier, ix
for Heisenberg group, 50
intertwining operator, 37, 49, 60
irreducible, 27

t Euclidean group, 150 Iwasawa decomposition, 223, 278