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Proc. NatL Acad. Sci. USA
Vol. 78, No. 12, pp. 7254-7258, December 1981
Mathematics
ABSTRACT The classical Rogers-Ramanujan identities have 1v commutes with the action of B and, hence, preserves [1 and
been interpreted by Lepowsky-Milne and the present authors in acts richly enough on it essentially to "untwist" the action of
terms of the representation theory of the Euclidean Kac-Moody g to the tensor product of two commuting actions.
Lie algebra A('). Also, the present authors have introduced certain A striking feature of 1v is that, in its action on V, it satisfies
"vertex" differential operators providing a construction of A(') on identities that are themselves the "generating functions" of in-
its basic module, and Kac, Kazhdan, and we have generalized this finite systems of identities. In this paper, these identities are
construction to a general class of Euclidean Lie algebras. Starting presented for g = A(')
from this viewpoint, we now introduce certain new algebras 2v We obtain a new proof of the main result (Theorem 1) of ref.
which centralize the action ofthe principal Heisenberg subalgebra 6, interpreting the classical Rogers-Ramanujan identities as the
of an arbitrary Euclidean Lie algebra g on a highest weight g- formula
module V. We state a general (tautological) Rogers-Ramanujan-
type identity, which by our earlier theorem includes the classical
identities, and we show that 2v can be used to reformulate the Z X41[n/A[n-11)
=01)
general identity. For g = A('), we develop the representation the- n-0
ory of 2v in considerable detail, allowing us to prove our earlier for the level 3 standard A(') modules, where f[nj designates the
conjecture that our general Rogers-Ramanujan-type identity in- I-filtration of fQ (6). The content of the Conjecture of ref. 6,
cludes certain identities of Gordon, Andrews, and Bressoud. In whose proof is presented here, is that this same formula, for
the process, we construct explicit bases of all of the standard and general standard A(')-modules, coincides with the generalized
Verma modules of nonzero level for A('), with an explicit reali- Rogers-Ramanujan identities of Gordon, Andrews, and Bres-
zation of A() as operators in each case. The differential operator soud. However, we do not have an independent proof of these
constructions mentioned above correspond to the trivial case 2v identities. The first section of this study is devoted to the def-
= (1) of the present theory. inition and general properties of the algebras 2v, in the setting
In this paper, we launch a program to give explicit constructions of Euclidean Lie algebras as discussed in ref. 2. We also note
of general standard modules of general Euclidean Lie algebras a slight simplification of the proof of the main result of ref. 2,
and, hence, to produce a wide variety of new realizations of from the present viewpoint.
these Lie algebras as algebras of operators. The first construc- The second section contains the deeper analysis of the case
tion (1) of a Euclidean Lie algebra, namely A('), by differential g = A('). The details will appear elsewhere.
operators on a "Fock space" and its sequel (2) for a general class
of Euclidean Lie algebras turn out to be the "trivial" cases of THE ALGEBRAS £v
the present theory, in a sense to be made precise below.
The discovery of the ideas presented here was motivated by We shall introduce algebras 2v in the generality of Euclidean
a desire to understand more deeply the Lie theoretic signifi- Lie algebras. We shall generally use the notation ofref. 2, whose
cance of the Rogers-Ramanujan identities, continuing a pro- results will be summarized below.
gram begun in refs. 3-7. In this paper, by introducing new al- Let A = (ay).=0 be a Euclidean generalized Cartan matrix
gebras 2v associated with arbitrary Euclidean Lie algebras g (8, 9)-i.e., one listed in tables 1, 2, or 3 of ref. 2. Let the cor-
and certain g-modules V, we reduce the problems of inter- responding Euclidean Kac-Moody Lie algebra g = g(A) over
preting Rogers-Ramanujan-type identities and of explicitly con- C (which we say is oftype 1, 2, or 3, respectively) have canonical
structing the modules V to the representation theory of Zv. generators ei, fi, hi,, i = 0, ---, N.
For g = A(), we develop the representation theory of 2v Define a Z-gradation of g, called the principal gradation, by
deeply enough to prove the Conjecture in ref. 6 relating the the conditions
?-filtrations of the standard A(')-modules to the generalized
Rogers-Ramanujan identities of Gordon, Andrews, and Bres- deg ei = -degfi = 1, deg hi = 0, i = 0,', N.
soud. In the process, we obtain explicit bases of all the standard
and Verma modules of nonzero level and an explicit recursive
description of the action of Iv and, hence, of A('), in each case. Let z (normalized as in ref. 2) span the center of , and let lr:g
The modules V under consideration may each be viewed as
g/Cz denote the canonical map. Set
N
the tensor product of a "Fock space" with a "vacuum space" Ql, T-' (X(9y7(e))
for the principal Heisenberg subalgebra ? of g. Our algebra e = ei, and =
i=O
The publication costs ofthis article were defrayed in part by page charge
payment. This article must therefore be hereby marked "advertise- t Presentaddress: Department of Mathematics, Rutgers University,
ment" in accordance with 18 U. S. C. §1734 solely to indicate this fact. New Brunswick, NJ 08903.
7254
Mathematics: Lepowsky and Wilson Proc. NatL Acad. Sci. USA 78 (1981) 7255
where the superscript denotes centralizer. As in ref. 2, denote (u E U(B), w E flv) is a well-defined b-module map. Note that
by bl, b2, *-- the sequence the A-module U(?) ®U(t) flv is semisimple and, in fact, is a direct
sum of copies of Mk.
m(e) + dh('), j = 1, *--, r; d = 0, 1,2, *- PROPOSION 2 (cf. refs. 6 and 7). Suppose that k E C*. Then
the map f is an b-module isomorphism. In particular,
arranged in nondecreasing order; here e is the type, and the
positive integers hWe) and m -, m(t) are the (generalized) Cox- x(V) = F * x(flv),
eter numbers and exponents listed in table Eo of ref. 2. (For
e = 1, these are the classical Coxeter number and exponents where
of the underlying finite-dimensional simple Lie algebra; for e
> 1, see ref. 10.) F = H| (1 - qbJ)
PROPOSMION 1 (1, 2). The algebra B is a (principally) graded j21
Heisenberg subalgebra of g with basis {z, pi, qi i = 1,2, }, The principally specialized characters y(V) of the standard
where modules V have known product expansions given by the "nu-
merator formula" (4, 10, 12). Thus, the characters xf() for these
[pipj] = 0= [qiqj], [pi,qj] = 6ijz for a ij = 1,2, modules have known product expansions. For the case g =
and
A('), see refs. 3 and 4 (cf. ref. 6, Proposition 3). For Verma
modules, we easily obtain:
PROPOSMON 3. If V is a Verma module (i.e., a universal
deg z = 0, deg pi = bi = -deg qj for all i = 1,2, highest weight module), then
We call B the principal Heisenberg subalgebra of g. AXfi) = f| (1I q-
The principal gradation of g induces in the natural way the j21
gradation U(g) = 3 U, of the universal enveloping algebra of
g. For k E C, we say that a g-module has level k if z acts as the Let V be a graded highest weight g-module with highest
scalar k on it. Denote by wk the category of level k g-modules weight vector vo. The &-filtration of V,
V with a nonpositive integer grading V = V. such that each 0 = V_1] 5 V[o]C V[1l c- C V,
Vj is finite-dimensional and Uj * Vj 5 Vi+j for alij E Z (taking
Vj = (0) forj > 0). is defined as follows (6): For all n 2 0, V[n( is the span of all the
A highest weight vector in a g-module is a nonzero vector expressions x, *- x; v, j 2 0, where each xe E g and at most
annihilated by eo, ., eN and whose span is preserved by ho, n of the xe lie outside ?. Each V[n] is clearly graded. For n 2
-, hN. Let V be a graded highest weight g-module, i.e., a g- -1, set fl[n = Q f V[n1. Then each f[n] is graded, and
module generated by a highest weight vector, say vo, such that
the sum Ej<o V., where V = Uy* vo, is direct. This defines the =
[1]] C ROl []CCfl
principal gradation of V. If k E C is the level of V, then, of is a filtration of fQ such that fQ = Un £l[n]. Hence (6):
course, V 8 %k. The standard g-modules, i.e., the irreducible PROPOSMON 4. We have
g-modules with dominant highest weight (11), are graded high-
est weight modules, and our definition of "level" generalizes
the usual definition (cf. ref. 5) for standard modules. A0) = > Ai[nl/fi[n-1l)- [1]
n-0
For a nonpositively graded vector space W = }920 W_1, with
dim Wj finite for each j, we define the character of W to be Eq. 1, which is a tautology as it stands, includes the classical
the formal power series Rogers-Ramanujan identities, as the cases of the level 3 stan-
dard A(')-modules, by the detailed study of the sum side for
x(W) = > (dim W-j)qJ these cases in refs. 6 and 7. The primary goal of the present
jpo paper is to introduce new algebras that implement the sum side
of Eq. 1 in great generality.
in the indeterminate q. Let Wbe a graded subspace ofa module The completion C(g) of g is defined to be the vector space
V in %k-i.e., W = ESO W_, where Wj = wnvJ. If Y is a HJEEZ gj. Note that g acts on its completion.
graded subspace of W, then W/Y has an obvious gradation. In PROPOSmON 5 (1, 2). The completion C(g) contains elements
particular, y(W) and A(W/Y) are defined. Characters associated
with the principal gradation ofa graded highest weight module X(M) =
are called principally specialized characters (cf. ref. 4). -_)
In 1, *) N
Denote by B+ the subalgebra @D>j, Bj of B and by p the sub- jez
algebra Cz (3 B+. For k 8E C*, let Ck, denote the one-dimen- (subscript denoting homogeneous component) such that g has
sional p module on which z acts as k and ?+ acts as 0. The in- basis
duced ? module Mk = U(0) ®u(P) Ck is irreducible. For V E
Ck, denote by fQv (or by fQ, if there is no confusion) its vacuum {z, pi, qi, Xjm) > 0; m = 1, , N;j E Z}
space
(see Proposition 1) and such thatfor certain scalars
Qv = {v 8 V V = 0,
Ami, vmi (m = 1, -, N; i > 0),
which is graded. The map [pi,X(m)] =-AmiX(m) and [qi, X(m)] = vmAX(m)
fi U(M) ®U(P)) QV V in C(g).
Let k E C and V E %k, and define the completion C(V) of
u 0 w k-+ u * w V to be the vector space 1j,5O Vj. Then g acts on the completion
7256 Mathematics: Lepowsky and Wilson Proc. Nad. Acad. Sci. USA 78 (1981)
of V, and every element of C(g) may be viewed as a linear op- X(M) = cm(Em)) (Em))
erator from V to C(V).
Assume that k E C*. For m = 1, , N, define the following for each m.
linear operators (cf. ref. 6): As in refs. 1 and 2, we now may view B and the X(m), and hence
g, as differential operators.
E(m) = exp I umiqi/km
Ez End C(V)
i>O
THE STANDARD MODULES FOR A(')
E(+m) = exp E Vmip/k) E End V,
Now we specialize to the case g = A('). We obtain explicit bases
i>O
of all the standard modules and Verma modules of nonzero
where exp denotes the formal exponential series, and level, and an explicit description of the action ofA(1) in each case.
Z(m) = E(m)X(m)E+) 8 Hom(V,C(V)). As noted above, the original construction of Al') on its basic
module through differential operators (1) amounts to the trivial
For each j E Z, let one-dimensional case dim fv = 1, dim Lv = 1, of the present
z7m) E End V theory.
Because N = 1, we write Z for Z(m).
be the homogeneous component of degree j (in the obvious THEOREM 1. Let k E C* and V E8 Ck For an indeterminate,
sense) of Z(m), so that Z(m) = jzEZZ(m) A, set
Definition: Let k E C*, and let V E wk. Denote by 2v or
2 the subalgebra of End V generated by Z(C)= > ,
jez
{7J) j E Z, m = 1, *E, N} aformal Laurent series in C with coefficients in End V. Let {1,
Note that the associations V Z~m), V -+ v, etc., have ob- C2 be two commuting indeterminates. We have
vious functorial properties.
Propositions 1 and 5 and elementary properties of exponen- (1 C1/)2 k(1 + C/f2)lkZ(lIZ(.2)
-
fj (I qj)-1
- q n/(l - q) (I q2) (1 qn)
...
R(v)= v` + E
j<t
rjij = H1 (M-k + 4e),
e=o
ja1 n-0 jet mod 2 t-2
of Euler. S(v)= vt+ sP = vJ7 (V- k+ 2+ 4f).
S
j<t
D(ij) = [ij]-' + [ji]'. jet mod 2
Nj = fo [em],
ce<msj
There is a generalized Rogers-Ramanujan identity, due to
Gordon (14), Andrews (15-17), or Bressoud (18, .19), whose
C{ij} = C(i,i + 1)C(i + 1,i + 2) ... CU - 1j,
product side coincides with XIfv) for V the most general stan-
dard A(')-module of.positive level (3, 4; cf. ref. 6). (Bressoud's
D{ij} = D(i,i + 1)D(i + 1,i + 2) ... DU - 1,j). unified proof (18) of these identities does indeed include the
case ko = k1 excluded in ref. 6.) Combining these identities with
Also define the infinite systems of new identities for which Eqs. 5, 6, and
C{Gj} = C{1j}, D{Gj} = D{lj}. 7 are the generating functions, we can prove the Conjecture of
ref. 6:
Given an expression fl1, , i) involving the first i indeter- THEOREM 5. In the notation of Theorem 4, let
minates, write
ko= min(A(ho),A(hl)),
fl 1),
Ofi = Orif(g1, 0,) = (1/i!) N , {<i)), and let J = 0 if k is even, J = 1 if k is odd. Then for all n 2 0,
IT
x( [n]Q[n-1]) = ECneq
where the sum ranges over the symmetric group of {1, , i}, ego
and set
where Cnt denotes the number of partitions d, + + dn of
e such that 0 < di di+,; di + 2 i-
-
d,+,,; if di+t_2 di + 1,
then di + *i + di+, 2-ko (mod 2-J); and at most ko of the di
THEOREM 4. Let V be a standard A(')-module of level k > = 1. In particular, Eq. 1 for V coincides with the generalized
0, with highest weight A. Let E = (-1)A ho) and t = [k/2] + 1. Rogers-Ramanujan identity of Gordon, Andrews, or Bressoud.
Set zo 1, and for j > 0 define In particular, we have a new proof of the main result (Theo-
rem 1) of ref. 6, our interpretation of the classical Rogers-
Z) Z,
= *, vj) =
2icoj (MjNj Hz(;i)) Ramanujan identities by the ?-filtration of fl for the level 3 stan-
dard Ar1-modules. At the same time, we obtain a new explicit
(where the noncommutative product is Z(;1) ...
Z(;j)), so that also construction of A(,') for each standard module V of positive level,
via an explicit basis for fQv:
= 2 jNj2/k H Z(-v)) THEOREM 6. In the notation of Theorems 4 and 5, let vo be
a highest weight vector of V. Then Qv has basis
Suppose that k is odd, and define the polynomial {Z-dnZ-dn- .
Z-di Vo}
7258 Mathematics: Lepowsky and Wilson Proc. Natl. Acad. Sci. USA 78 (1981)
where n 2 0 and the di vary as in Theorem 5. The identities 5, 1. Lepowsky, J. & Wilson, R. L. (1978) Comm. Math. Phys. 62,
6, 7 give effective recursive definitions of the action of the gen- 43-53.
erators Z ofL on fQv with respect to this basis, and Propositions 2. Kac, V. G.,Kazhdan, D. A., Lepowsky, J. & Wilson, R. L. (1981)
2 and 7 give a corresponding explicit construction of A(') Adv. Math. 42; 83-112.
Remark: The case k = 2 of the present theory is much simpler 3. Lepowsky, J. & Milne, S. (1978) Proc. NatL Acad. Sci. USA 75,
578-579.
than the cases of larger k because for k = 2, M2N2-2/k in Theo- 4. Lepowsky, J. & Milne S. (1978) Adv. Math. 29, 15-59.
rem 4 is the constant 2, and our algebra 2 is just an infinite- 5. Feingold, A. & Lepowsky, J. (1978) Adv. Math. 29, 271-309.
dimensional Clifford algebra. The vacuum space Q is the Fock 6. Lepowsky, J. & Wilson, R. L. (1981) Proc. NatL Acad. Sci. USA
space for2, and the module Vis realized in this case very simply 78, 699-701.
as the tensor product of a symmetric Fock space, on which e 7. Lepowsky, J. & Wilson, R. L. (1982) Adv. Math., in press.
acts through creation and annihilation operators, with an anti- 8. Kac, V. G. (1968) Izv. Akad. Nauk SSSR Ser. Mat. 32, 1323-1367.
symmetric Fock space, on which the generators ofZ act through (English translation: Math. USSR-Izvestija 2, 1271-1311.
9. Moody, R. V. (1968)J. Algebra 10, 211-230.
creation and annihilation operators. 10. Kac, V. G. (1978) Adv. Math. 30, 85-136.
Remark: The similarity ofthe polynomials in Theorem 4 with 11. Kac, V. G. (1974) Funkt. AnaL Ego Prilozheniya 8, 77-78 (English
"conical polynomials" (20, 21) is tantalizing. translation: Funct. AnaL AppL 8, 68-70.
12. Lepowsky, J. (1980) Adv. Math. 35, 179-194.
We are indebted to H. Garland for informing us of his and I. Bars' 13. Lepowsky, J. (1978) Adv. Math. 27, 230-234.
new proof of our original construction (1) of A('). Their proof involved 14. Gordon, B. (1961) Am. J. Math. 83, 393-399.
inserting formal variables in a manner which inspired our directions of 15. Andrews, G. E. (1976) The Theory ofPartitions, Encyclopedia of
investigation. We are grateful to D. Bressoud for informing us that the Mathematics and its Applications, ed. Rota, G.-C. (Addison-
ko = k, identities that we conjectured on page 700 of ref. 6 had already Wesley, Reading, MA), Vol. 2.
been proved by him (ref. 18). We also thank I. Frenkel and S. Milne 16. Andrews, G. E. (1967), J. Combin. Theory 2, 422-430.
for stimulating conversations. Both authors gratefully acknowledge the 17. Andrews, G. E. (1967) J. Combin. Theory 2, 431-436.
hospitality of the Institute for Advanced Study during part of the prep- 18. Bressoud, D. (1979) J. Combin. Theory 27, 64-68.
aration of this work and partial support from the Rutgers University 19. Bressoud, D. (1980) Mem. Am. Math. Soc. 24, No. 227.
Faculty Academic Study Program and National Science Foundation 20. Lepowsky, J. (1975) Trans. Am. Math. Soc. 208, 219-272.
Grant MCS 80-03000. 21. Lepowsky, J. (1975) Ann. Math. 102, 17-40.