The Rogers-Ramanujan Identities: Lie Theoretic Interpretation and Proof

James Lepowsky, and Robert Lee Wilson

PNAS 1981;78;699-701
doi:10.1073/pnas.78.2.699
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Proc. Nat. Acad. Sci. USA
Vol. 78, No. 2, pp. 699-701, February 1981
Mathematics
The Rogers-Ramanujan identities: Lie theoretic
interpretation and proof
(Euclidean Kac-Moody Lie algebras/standard modules/principally specialized characters/infinite-dimensional Heisenberg algebras)
JAMES LEPOWSKY AND ROBERT LEE WILSON
Department of Mathematics, Rutgers University New Brunswick, New Jersey 08903
Communicated by G. D. Mostow, November 17, 1980
ABSTRACT The two Rogers-Ramanujan identities, which
equate certain infinite products with infinite sums, are among the
most intriguing of the classical formal power series identities. It
has been found by Lepowsky and Milne that the product side of
each of them differs by a certain factor from the principally spe-
cialized character of a certain standard module for the Euclidean
Kac-Moody Lie algebra Al(l'. On the other hand, the present au-
thors have introduced an infinite-dimensional Heisenberg subal-
gebra of Al(l' which leads to a construction of Al(') in terms of
differential operators given by the homogeneous components of
an "exponential generating function." In the present announce-
ment, we use 6 to formulate a natural "abstract Rogers-Ramanujan
identity" for an arbitrary standard A,(l'-module which turns out
to coincide with the classical identities in the cases of the two cor-
responding standard modules. The abstract identity equates two
expressions, one a product and the other a sum, for the principally
specialized character of the space tk of highest weight vectors or
"vacuum states" for in the module. The construction of AlM
leads to a concrete realization of fi as the span of certain spaces
of symmetric polynomials occurring as the homogeneous compo-
nents of exponential generating functions. The summands in the
Rogers-Ramanujan identities turn out to "count" the dimensions
of these spaces. For general standard A (1)-modules, we conjec-
ture that the abstract identities agree witfh generalizations of the
Rogers-Ramanujan identities due to Gordon, Andrews, and
Bressoud.
It has recently been established (1-10) that many important
power series identities arise as specializations of the denomi-
nator and character formulas for Euclidean Kac-Moody Lie al-
gebras. These formulas also lead to many interesting new identi-
ties. In addition to the identities which have been proved by
using the theory of Kac-Moody Lie algebras, there are a num-
ber of other power series identities which are known to be re-
lated to Euclidean algebras but for which complete Lie theoretic
interpretations and proofs have not been found. The best-
known examples are the Rogers-Ramanujan identities:
1 oc
q
n2
H1 (1 - q5n 1I)(1 q~n-4)
- I: (1 q) (I q')
[1]
...
n=l
ndI
and
TI (1- q5n-2)(1 - q5n-3) = + E - q)... ( - qn)
n-Inl
(See ref. 11 for the history of these identities.)
In order to explain the known connection between these
identities and Euclidean Lie algebras, we describe the Euclid-
ean Lie algebra All, also called !t(2). For the definition of
Al(1) in terms of generators and relations and a general treat-
The publication costs of this article were defrayed in part by page charge
payment. This article must therefore be hereby marked "advertise-
ment" in accordance with 18 U. S. C. §1734 solely to indicate this fact.
ment of Kac-Moody Lie algebras, see refs. 12-14 and 8. Here
we use instead the basis and realization introduced in ref. 15.
Let Z be the polynomial algebra C[xl, X3, X5, .. .] on the in-
finitely many variables xi, X3, X5, ..., and let Z be the formal
power series algebra C[[xl, X3, X5, ...]]. Give Z the structure
of a graded algebra by setting deg xi = - i for i > 0, i odd. Then
Z = (jo Zj and Z' = llzo Z-,, where Ze denotes the fth ho-
mogeneous subspace of Z. Let X denote the operator
-l/2 exp (I4xJi) exp (-Ed/ xi)
from Z to Z (where we identify a E Z with the operator which
is multiplication by a, and where i ranges over all the positive
odd integers). Then X may be written as T~jEZ Xj, where Xj is
defined to be the jth homogeneous component (in the obvious
sense) of X. For i > 0, i odd, define Bi = (i/2)a/d xi and B_
= 2xi. Let z denote the identity operator. Then:
PROPOSITION 1 (15). The operators Xj, j E Z; B. and B_j, i
> 0, i odd; and z form a basis of a Lie subalgebra of End Z.
Furthermore, [Bj, Be] = jbj _ez if j, e E 2Z + 1; [Bj, Xj] =
2Xj +e if =j E 2Z + 1, e E Z;+[- Xe] = (-ljz if j + e = 0;
[Xi, Xe] 0 if j + e E 2Z, j 4?t 0; and [Xj, Xe] = 2(-1)
Bj+e if j + e E 2Z + 1.
We denote this Lie algebra by A bI(2)^ or 9.
The basis elements Bi, B ., and X. have operator degrees (on
Z) equal to their subscripts, and z has operator degree 0. The
resulting gradation g = (03>z Ij is a Lie algebra gradation of
g called the principal gradation. A subspace of g is principally
graded if it is the direct sum of its intersections with the gj.
Following ref. 15, we let B be the principally graded subal-
gebra of g spanned by z and the Bi. Then e is an infinite-di-
mensional Heisenberg subalgebra of q called the principal
Heisenbergsubalgebra.
Set b = go = Cz i CXO and define ho = 1/2z - XO, h, =
1/2z + Xo, a basis of f. Let hot h* E be the corresponding dual
V
basis. Let ko, k, E Z, ko, k, 2 0 and set A = koh* + klh*. The
standard a-module V with highest weight A (2) is the unique
irreducible module generated by an element vo (called the high-
est weight vector, unique up to a nonzero scalar factor) satisfying
h-vo = A(h)vo for h E b and gj v0 = 0 for allj > 0.
[2] Following ref. 7, we define the level of V to be the non-neg-
ative integer ko + kj. Since z is central in q and z = ho + hl,
z acts on V as multiplication by the level of V. Let V(e) (4 = 0,
1) be the standard module with highest weight he. The two
standard modules V(o), V(l) of level 1 are called the fundamental
or basic modules and may be described as follows:
PROPOSITION 2 (15). V(e) (4 = 0, 1) is isomorphic to Z, with
6 acting (irreducibly) as above, and with X acting as the jth
homogeneous component of
l/2 (-1)e 1 exp (I 4x1/i) exp (- a/a xi)
699
700 Mathematics: Lepowsky and Wilson
i ranging through the positive odd integers.
A XI ... X; * Vov j 2 0, where each xe E and at most n of the xe
The principal gradation of induces in the natural way the
gradation U(g) = EDj=1 U(j)j
of the universal enveloping algebra
of . Let V be a standard g-module, with highest weight vector
vo. The principal gradation of V is the decomposition V =
@fEZ V= Ej20 Vx where V. = U(g)j'vo. For both fundamental
modules V, V Z for allj 0-i.e., the principal gradation
agrees with the gradation of Z.
Let q be an indeterminate, and consider the formal power
series ring Z[[q]]. Let V be a standard module, and let W be
a principally graded subspace of V-i.e., W = ESj, W-, where
W,= wfn Vj. Following ref. 6, we define the principally
specialized character SEW) of W to be the power series
x(W) = E (dim Wj) qj EE Z[[q]].
p20
If U is a graded subspace of W, W/U has an obvious gradation,
and we extend the notion of principally specialized character
to this situation.
In refs. 5 and 6, the principally specialized character A(V) is
computed and is found to have an infinite product expansion:
PROPOSITION 3 (5, 6). Let V have highest weight X = kKh
+ klh;, with ko,ki 1EZ, ko, k 2: 0. Let F =H, 1 (1 -q21 )
Then
X(V) = F' H (1 qf)-l H (1 qfn)
n-1
-
n-1
-
n-O
HI (1 - q ) H (1 - qn),
n-1 n-1
n-ko+1 n-ki+1
where all the congruences are mod (ko + k, + 2). This expression
is symmetric in ko and kl. In particular, the level 3 modules have
the following principally specialized characters: If ko = 1, k,
= 2, then
X(V) = F.(IlnH l (1 - q5n-1)( -q5n-4))-l [4]
and if ko = 0, k, = 3, then
X(V) = F'(HIn:.l (1 - q5n-2)( -q5n-3))-l [5]
Thus it is known that the product sides of the Rogers-
Ramanujan identities are obtained (by dividing by F) from for-
mulas for the principally specialized characters of appropriate
Al"l)-modules. A complete Lie theoretic interpretation of these
identities would require explanations (in terms of the structure
of the module V) of the factor F and of the sum sides of the
identities. We announce such explanations in this note. The
details will appear in Advances in Mathematics.
Remark: For general ko and k, with ko 0 kj, [3] is F times
the product side of a generalized Rogers-Ramanujan identity
due to Gordon (16), Andrews (11, 17, 18), or Bressoud (19, 20).
Denote by o+ the abelian subalgebra of spanned by the B3
(i > 0, i odd), and by p the subalgebra Cz ED !+. Let V have
positive level, and set (1 = {v EE VI¢'+v = 0}, the space of
"vacuum states" for in V. View fl as a p-submodule of V, and
form the induced s-module U(Q) ®u(p,) Q. The map f: U(s)
OuM fl -* V sending u 09 w to u-w (u E U(!), w E fl) is a well-
defined B-module map. We have:
PROPOSITION 4. The map f is an u-module isomorphism, fl
is a principally graded subspace of V, and x(V) = F X(Q)
We define the !-filtration of V
as follows: For all n 2 0, V[n] is the span of all the expressions
Proc. Vad Acad. Sci. USA 78 (1981)
.
lie outside B. Each V[.j is principally graded, since we may
choose the xe in the definition to be elements of the homoge-
neous basis {Bk, Xi, z} of g. For n 2 -1, set Q[n] = a n v.
Then each [nj is principally graded, and
0= -ll C_ Rol C RI C.. C f
is a filtration of Q such that fl = U fl[n. Hence:
n
PROPOSmION 5. We have
X(Q) =
X(Z nj/1[n-11)
n-O
We call this formula the abstract Rogers-Ramanujan identity
for V, because of the following main result, which gives our Lie
theoretic interpretation and proof of [1] and [2]:
THEOREM 1. For V of level 3, the abstract Rogers-Ramanujan
identity coincides with the classical identity [1] or [2]. Specif-
ically, let X = koh; + k1h*. If ko = 1, k, = 2, then X(Q) is the
product side of [1] (see [4]) and for all n 2 0,
X(Q[n1/f[n-1]) = qn2/(1 - q) ... (1 - qn)
and if ko = 0, k1 = 3, then X(fQ) is the product side of [2] (see
[5]) and for all n > 0,
x(QIn]/Q[n-fl) = q"2n/(l - q) ... (1 - qfn).
[3] Let V be arbitrary of positive level k and highest weight
A = Who + k1h . Assume that ko ' k1. We have:
CONJECTURE. Let j = 0 if k is even, j = 1 if k is odd. Let t
= [k/2] + 1. Then for all n . 0,
W(Q E Cnf (ko, k1) qX
Q[n- 1]) =
too
where Cn]e (ko, k1) denotes the number of partitions d, + ...
+ dn of e such that 0 < di . di+,; di + 2 ' di+t-l; if diet+2
'd + 1 then di + ... +d+2 ko (mod 2 - j); and at most
ko of the di = 1.
This conjecture generalizes Theorem I and, for ko / k1, it
asserts that the abstract Rogers-Ramanujan identity for V agrees
with Bressoud's unified formulation (19, 20) of the generalized
Rogers-Ramanujan identity (due to Gordon, Andrews, or Bres-
soud) whose product side is the expression multiplying F in [3].
(The conjectured identities for the cases ko = k, > 1 appear to
be new; the identities for small values of ko and k, are trivial.)
The computation of x(n01W/AIn-k1) in Theorem 1 is difficult
and has several steps, which we now outline. Let V be as in the
conjecture. Define the completions of a, of U(g), and of V as
follows: C(g) = 1jEZ&' C(U(g)) = Ijnz U(g)j, and C(V) =
HIjEZ V.. For x E C(U(g)) and v E C(V), we say that x v is de-
fined if, for all t E Z, YjEz xj v, j is an absolutely convergent
series in Vt, with respect to any norm on the finite-dimensional
space V,. (The subscripts denote homogeneous components.)
In this case, we take x-v to be the element of C(V) with 1xyvt
as its component of degree t. For ; E C:*, define X(C) =
jeZ {iXJ E C(g) and
E-(;) =
exp (I-2;i/kj)B_ E C(U(g)).
j odd
We have:
THEOREM 2. Fix n 2 0. Let O s m s n, (l..., C. E C* and
..ll>... > 1I.mI Then
 Lepowsky and Wilson
Mathematics: Proc. Natl. Acad. Sci. USA 78 (1981) 701
E (E-(tj
( X.t@.
- )X(m-j)-... -VO of g isomorphic to g itself, and restricting V(1) to this subalgebra.
Theorem 1 is now proved by computing the dimensions of
is defined(vo being a highest weight vector of V), and fl[nl is the relevant concrete spaces of polynomials. We prove (equal)
the span of the homogeneous components of these elements of upper and lower bounds on these dimensions. The lower
C(V). bounds are obtained by reducing mod 2 and using the viewpoint
Recall the fundamental modules V(e), e = 0, 1 (Proposition of divided power algebras (cf. ref. 21).
2). By embedding V as the g-submodule of V(O)
... 01V(O) 0 V(1) ...09 V(1) (where there are ke factors We thank V. G. Kac for stimulating conversations. During this work,
V(e)) generated by 1 ...0 1, we can realize fln] concretely J.L. was partially supported by a Sloan Foundation Fellowship and
as a space of symmetric polynomials: Define sg(j) = 1 if 1 c
National Science Foundation Grants MCS76-10435 and MCS78-02439,
and R.L.W. was partially supported by National Science Foundation
j s ko, sg(j) = -1 if ko + 1 ' j ' k. Consider the polynomial Grant MCS77-03608 and a Faculty Academic Study Program Grant
algebra Cx[x. 1 ' j ' k; i > 0, i odd], with the grading given from Rutgers University.
by setting deg X, =-i. For in the set KN of functions from
{1, ..., n} into {1, k}, define sg(O) = HIe=1 sg[(fe)]. For 1. Macdonald, I. G. (1972) Invent. Math. 15, 91-143.
a fixed E KN, u, v E= {1, ..., n}, we say that u v if O(u) 2. Kac, V. G. (1974) Funkt. AnaL Ego Prilozheniya 8, 77-78. (English
= 4(v). For 1 j ' k, i > 0, i odd, define yj = 4xJ./i and zi translation: Functional Analysis and its Applications 8, 68-70).
3. Moody, R. V. (1975) Proc. Am. Math. Soc. 48, 43-52.
Y, - (1/k) (Y1, + + Yk,). Then {zj'|1 c j k - 1; i >
<
4. Lepowsky, J. (1978) Adv. Math. 27, 230-234.
0, i odd} is an algebraically independent set, but zjX =1 i = 0 5. Lepowsky, J. & Milne, S. (1978) Proc. Natl Acad. Sci. USA 75,
for all i > 0, i odd. Now define 578-579.
6. Lepowsky, J. & Milne, S. (1978) Adv. Math. 29, 15-59.
fn: ¢n C [[zj ill -- j c< k -1; i > 0, i odd]] 7. Feingold, A. & Lepowsky, J. (1978) Adv. Math. 29, 271-309.
8. Kac, V. G. (1978) Adv. Math. 30, 85-136.
by 9. Lepowsky, J. (1979) Ann. Sci. Ecole Norm. Sup. 12, 169-234.
In 10. Lepowsky, J. (1980) Adv. Math. 35, 179-194.
fn (vI,.v) sg(O) exp ( V4 Zoe) i) 11. Andrews, G. E. (1976) The Theory of Partitions, Encyclopedia
OEkkx e=1 i>O of Mathematics and its Applications, ed. Rota, G.-C. (Addison-
i odd Wesley, Reading, MA), Vol. 2.
12. Kac, V. G. (1968) Izv. Akad. Nauk SSSR Ser. Mat. 32, 1323-1367
(English translation: Mathematics of the USSR-Izvestija 2,
(Vu VV)2
- (V. + vV)2. 1271-1311).
U>t U>C
U-V U t 13. Moody, R. V. (1968) J. Algebra 10, 211-230.
14. Garland, H. & Lepowsky, J. (1976) Invent. Math. 34, 37-76.
Then: 15. Lepowsky, J. & Wilson, R. L. (1978) Comm. Math. Phys. 62,
THEOREM 3. Under the identification of V as a g-submodule 43-53.
of V(O) ... V(O) V(1) ... V(M), fl[n is the span of the 16. Gordon, B. (1961) Am. J. Math. 83, 393-399.
homogeneous components Of fm(V, ... ,vm)for 0 c m c n and 17. Andrews, G. E. (1967) J. Combin. Theory 2, 422-430.
18. Andrews, G. E. (1967)J. Combin. Theory 2, 431-436.
V1, ..., Vm E C.
19. Bressoud, D. (1979) J. Combin. Theory 27, 64-68.
For V of odd level, there is a second realization of Vas aspace 20. Bressoud, D. (1980) Mem. Am. Math. Soc. 24, No. 227.
of polynomials, obtained by viewing Eez §ke as a subalgebra 21. Block, R. & Wilson, R. L. (1975) Comm. Algebra 7, 571-589.