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MATHEMATICS RESEARCH DEVELOPMENTS SERIES

GROUP THEORY:
CLASSES, REPRESENTATION AND
CONNECTIONS, AND APPLICATIONS
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MATHEMATICS RESEARCH DEVELOPMENTS


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Group Theory: Classes,
Representation and Connections, and
Applications
Charles W. Danellis (Editor)
2010. ISBN: 978-1-60876-175-3

MATHEMATICS RESEARCH DEVELOPMENTS SERIES

GROUP THEORY:
CLASSES, REPRESENTATION AND
CONNECTIONS, AND APPLICATIONS

CHARLES W. DANELLIS
EDITOR

Nova Science Publishers, Inc.


New York

Copyright 2010 by Nova Science Publishers, Inc.

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Group theory : classes, representation and connections, and applications / [edited by] Charles W. Danellis.
p. cm.
Includes bibliographical references and index.
ISBN 978-1-61324-968-0 (eBook)
1. Group theory--Juvenile literature. I. Danellis, Charles W.
QA174.2.G756 2009
512'.2--dc22
2009034517

Published by Nova Science Publishers, Inc. New York

CONTENTS
Preface
Chapter 1

Chapter 2

vii
Application of Symmetry Analysis to Description of Ordered
Structures in Crystals
Wiesawa Sikora and Lucjan Pytlik

Higher Algebraic K Theory of G Representations for the


Actions of Finite and Algebraic Groups G
Aderemi Kuku

41

Chapter 3

Liberal Nationalism, Citizenship and Integration


Sune Lgaard

Chapter 4

The Consideration of Rape as Torture and as Genocide:


Some Implications for Group Theory
Daniela De Vito

103

Group Work Is Not One, But a Great Many Processes


Understanding Group Work Dynamics
Eva Hammar Chiriac

153

The Continuous Shearlet Transform in Higher Dimensions:


Variations of a Theme
Stephan Dahlke, Gabriele Steidl and Gerd Teschke

167

Chapter 5

Chapter 6

83

Chapter 7

Exceptional Groups, Symmetric Spaces and Applications


Sergio L. Cacciatori and B. L. Cerchiai

177

Chapter 8

A Survey of Some Results in the Lie Group Analysis


Phillip Yam

217

Chapter 9

On Graph Groupoids: Graph Groupoids and Corresponding


Representations
Ilwoo Cho

263

The Group Aspect in the Physical Interpretation of General


Relativity Theory
Salvatore Antoci and Dierck Ekkehard Liebscher

299

Chapter 10

vi
Chapter 11
Index

Contents
Long Time Behaviour of the Wiener Process on a Path Group
Rmi Landre

313
323

PREFACE
Group theory studies the algebraic structures known as groups. The concept of a group is
central to abstract algebra: other well-known algebraic structures, such as rings, fields, and
vector spaces can all be seen as groups endowed with additional operations and axioms.
Groups recur throughout mathematics, and the methods of group theory have strongly
influenced many parts of algebra. Linear algebraic groups and Lie groups are two branches of
group theory that have experienced tremendous advances and have become subject areas in
their own right. Various physical systems, such as crystals and the hydrogen atom, can be
modelled by symmetry groups. Thus group theory and the closely related representation
theory have many applications in physics and chemistry. This new and important book
gathers the latest research from around the globe in the study of group theory and highlights
such topics as: application of symmetry analysis to the description of ordered structures in
crystals, a survey of Lie Group analysis, graph groupoids and representations, and others.
Chapter 1 A typical situation in which symmetry analysis can be applied to the
description of ordering process in crystalline solids includes the following elements: a) welldefined high-symmetry phase, with a known symmetry space group, b) physical changes
lowering the crystal symmetry to a subgroup of the original space group, c) local physical
quantity (scalar, vector, or tensor type), responsible for deviation from the high-symmetry
phase of the crystal (the ordering quantity) and d) wave vector k , attributed to the ordering
process, which defines the relations between values of the ordering quantity in the
neighboring unit cells of the crystal.
The calculated BV-s can be used for construction of the ordering mode in the crystal by
taking linear combination of these BV-s, attributed to one ore more IR-s. The mixing
coefficients are used as components of the order parameters for a given phase transition. The
final form of the solution is determined by the mathematical conditions imposed on each
single-site part of the solution. For some quantities reality of the solution is the only
condition, while for some other additional conditions (tensor symmetry, zero-trace) have to be
taken into account. After imposing the conditions the number of free parameters in the
solution can be determined. The IR-s generating the solution also determine the symmetry
reduction, thus the symmetry group of the new structure, and the relations between the sets of
equivalent positions in the initial and final symmetry group. The type of symmetry lowering
determines also the accompanying changes (deformations) compatible with a given phase
transition. The present paper includes examples of such symmetry-adapted descriptions for
the most frequently encountered types of physical quantities.

viii

Charles W. Danellis

Chapter 2 Here is a brief outline of the contents of this article. As already remarked, the
theme of the article is to present computations of higher K - theory of various examples of
equivariant exact categories given in chapter I for the actions of finite and algebraic groups.
In chapter II, the authors introduce higher algebraic K theory of ordinary as well as
equivariant exact categories with capious examples for the actions of finite and algebraic
groups. In section 2 of chapter II, the authors discuss induction techniques for higher K
theory by realizing equivariant higher K theory as Mackey functors yielding some explicit
results on higher K theory of grouprings. Chapter III is devoted to presenting explicit
computations of higher K theory (including profinite higher K theory) of the various
examples of equivariant exact categories encountered in chapter I and II for the action of
finite and algebraic groups.
Time and space prevented us from discussing actions of other groups e.g. profinite
groups, compact Lie groups as well as group actions on objects of other categories e.g.
Waldhausen and symmetric monoidal categories. However, interested readers could see [39]
for more information.
Chapter 3 Liberal nationalists such as Will Kymlicka and David Miller have endorsed
the "revaluation of citizenship" currently expressed in more stringent naturalization
requirements across western states. Kymlicka and Miller claim that such measures are
nation-building policies and only make sense as attempts at cultural integration of
immigrants. The chapter discusses liberal nationalism as a view that assigns normative
significance to one sort of group membership, nationality, for the purpose of regulating access
to another kind of group, namely the political community of citizens. The chapter discusses in
which ways the recent revaluated naturalization requirements might be related to the aims
of liberal nationalism.
The paper raises some doubts about this possibility as well, however, since revaluated
naturalization requirements are exclusionary in a way that might be counterproductive from a
liberal nationalist point of view.
Chapter 4 This chapter determines and assesses some of the theoretical implications for
rape that emerge once it is placed within the international crimes of torture and genocide.
Specifically, the differences between rape as a form of torture with its emphasis on the
individual and rape as genocide which focuses on violations committed against the group will
form the basis of this theoretical analysis. The question therefore becomes, does the dynamic
of rape alter when it is subsumed within these complex and contrasting international crimes?
Furthermore, it will be argued that any study of group theory, as it relates to rape within the
context of international law, must appreciate the relationship between rape as it affects the
individual and rape as it affects the group.
Chapter 5 This chapter aims to present illustrative applications of the model as well as
explaining The periodic system for the understanding of group processes. A core question is
whether or not the model can contribute valuable information and if it is a practical tool for
describing and interpreting what happens in groups during work. Earlier research has shown
promising results indicating that this kind of tool can supply a better understanding of
interactional dynamics in groups, not only from a scientific perspective but also from users
applied perspective.
Chapter 6 This note is concerned with the generalization of the continuous shearlet
transform to higher dimensions. Quite recently, a first approach has been derived in [4]. The
authors present an alternative version which deviates from [4] mainly by a different

Preface

ix

generalization of the shear component. It turns out that the resulting integral transform is
again associated with a square-integrable group representation.
Chapter 7 In this article the authors provide a detailed description of a technique to
obtain a simple parametrization for different exceptional Lie groups, such as G 2 , F 4 and E 6
, based on their fibration structure. For the compact case, the authors construct a realization
which is a generalization of the Euler angles for SU(2), while for the non compact version of
G 2(2) #SO(4) the authors compute the Iwasawa decomposition. This allows us to obtain not
only an explicit expression for the Haar measure on the group manifold, but also for the
cosets G 2 #SO(4), G 2 #SU(3), F 4 #Spin(9), E 6 #F 4 and G 2(2) #SO(4) that the authors
used to find the concrete realization of the general element of the group. Moreover, as a
by-product, in the simplest case of G 2 #SO(4), the authors have been able to compute an
Einstein metric and the vielbein. The relevance of these results in physics is discussed.
Chapter 8 Lie Group Analysis as a mathematical discipline was born in the 1870s out of
some brilliant work that was done by the nineteenth-century mathematician Sophus Lie.
Working together with a fellow student called Felix Klein in Berlin during the year 1869 -70, Lie conceived the notion of studying mathematical systems from the perspective of the
transformation groups that leave the systems invariant. In his famous Erlanger program, Klein
subsequently pursued the role of finite groups in the study of regular bodies and the theory of
algebraic equations, while Lie developed his notion of continuous transformation groups and
their role in the theory of differential equations. Lie's work was a tour de force of the 19th
century, and today the theory of continuous groups is a fundamental tool in such diverse areas
as analysis, differential geometry, number theory, differential equations, quantum mechanics,
high energy physics and gauge theory. Lie's achievements are striking because he showed that
many of the ad hoc methods of integration for ordinary differential equations that were in use
before his time were actually direct consequences of his theory. Furthermore, Lie gave a
classification of ordinary differential equations in terms of their symmetry groups, thereby
identifying the full sets of equations that could be integrated or reduced to lower-order. Lie's
classification, in particular, showed that all second-order equations that are integrable by his
methods are reducible to one of exactly four distinct canonical forms simply by taking
suitable choices of change of variables. It follows therefore that by subjecting these four
canonical equations to suitable change of variables alone, all the known equations that are
integrable by the old methods are obtained as well as infinitely many more equations that are
integrable which are not yet known.
Chapter 9 The authors consider countable directed graphs and their corresponding
graph groupoids, and the canonical representations of them. The study of representations of
graph groupoids is based on the observation of the canonical representations of categorical
groupoids. The substructures of a fixed graph groupoid are considered, and the corresponding
sub-representations. In particular, the authors observe the representations and the
corresponding von Neumann algebras of (i) the subgroupoids induced by the towers of
full-subgraphs, (ii) the quotient groupoids, induced by the full-subgraph-inclusion, and (iii)
graph fractaloids which are the graph groupoids with fractal property.
Chapter 10 When, at the end of the year 1915, both Einstein and Hilbert arrived at what
were named the field equations of general relativity, both of them thought that their
fundamental achievement entailed, inter alia, the realisation of a theory of gravitation whose
underlying group was the group of general coordinate transformations. This group theoretical
property was believed by Einstein to be a relevant one from a physical standpoint, because the

Charles W. Danellis

general coordinates allowed to introduce reference frames not limited to the inertial reference
frames that can be associated with the Minkowski coordinate systems, whose transformation
group was perceived to be restricted to the Poincare group. Two years later, however,
Kretschmann published a paper in which the physical relevance of the group theoretical
achievement in the general relativity of 1915 was denied. For Kretschmann, since any theory,
whatever its physical content, can be rewritten in a generally covariant form, the group of
general coordinate transformations is physically irrelevant. This is not the case, however, for
the group of the infinitesimal motions that bring the metric field in itself, namely, for the
Killing group. This group is physically characteristic of any given spacetime theory, since it
accounts for the local invariance properties of the considered manifold, i.e., for its ``relativity
postulate''. In Kretschmann's view, the so called restricted relativity of 1905 is the one with
the relativity postulate of largest content, because the associated Killing group coincides with
the infinitesimal Poincare group, while for the most general metric manifold of general
relativity the associated Killing group happens to contain only the identity, hence the content
of its relativity postulate is nil. Of course, solutions to the field equations of general relativity
whose relativity postulate has a content that is intermediate between the two above mentioned
extremes exist too. They are the ones found and investigated until now by the relativists, since
the a priori assumption of some nontrivial Killing invariance group generally eases
Chapter 11 The authors show that the law of the Wiener process on a path group tends
to the Haar distribution on a path group

In: Group Theory


Editor: Charles W. Danellis, pp. 1-39

ISBN 978-1-60876-175-3
2010 Nova Science Publishers, Inc.

Chapter 1

APPLICATION OF SYMMETRY ANALYSIS TO


DESCRIPTION OF ORDERED STRUCTURES IN
CRYSTALS
Wiesawa Sikora and Lucjan Pytlik
Faculty of Physics and Applied Computer Science,
AGH University of Science and Technology,
Krakw, Poland

ABSTRACT
A typical situation in which symmetry analysis can be applied to the description of
ordering process in crystalline solids includes the following elements: a) well-defined
high-symmetry phase, with a known symmetry space group, b) physical changes
lowering the crystal symmetry to a subgroup of the original space group, c) local physical
quantity (scalar, vector, or tensor type), responsible for deviation from the high-symmetry
phase of the crystal (the ordering quantity) and d) wave vector k , attributed to the
ordering process, which defines the relations between values of the ordering quantity in
the neighboring unit cells of the crystal.
The symmetry analysis method is based on decomposition of the respective full
representation (permutational, structural, magnetic, quadrupolar etc.) of the crystal space
group, calculated for a given wave vector k and a given set of equivalent positions, into
its irreducible representations (IR-s). Such a decomposition takes place when the basis
(coordinate system) used for description of the original function space is transformed to
the special symmetry-adapted basis. The decomposition is equivalent to splitting the
original function space into sub-spaces attributed to individual IR-s. The new
coordinates, called basis vectors (BV-s), can be divided into subsets that are attributed to
individual IR-s and transform within the respective subspaces. The essential part of each
BV is defined for all considered sites of the unit cell, but it can be split into single-site
parts, with the number of elements dependent on the nature of the ordering quantity.
The calculated BV-s can be used for construction of the ordering mode in the crystal
by taking linear combination of these BV-s, attributed to one ore more IR-s. The mixing
coefficients are used as components of the order parameters for a given phase transition.
The final form of the solution is determined by the mathematical conditions imposed on

Wiesawa Sikora and Lucjan Pytlik


each single-site part of the solution. For some quantities reality of the solution is the only
condition, while for some other additional conditions (tensor symmetry, zero-trace) have
to be taken into account. After imposing the conditions the number of free parameters in
the solution can be determined. The IR-s generating the solution also determine the
symmetry reduction, thus the symmetry group of the new structure, and the relations
between the sets of equivalent positions in the initial and final symmetry group. The type
of symmetry lowering determines also the accompanying changes (deformations)
compatible with a given phase transition. The present paper includes examples of such
symmetry-adapted descriptions for the most frequently encountered types of physical
quantities.

INTRODUCTION
Theory of group representations had been applied for simplification of description of
many-body, complex physical systems many years ago. E. Wigner [1] G.J.Lubarski [2] and
A.P. Cracknell [3] introduced as symmetric coordinates set of basis vectors of irreducible
representations of molecules symmetry groups in calculations of molecules vibrations.
Lubarski discussed also the role of irreducible representations of crystal symmetry group in
crystallographic second order phase transitions. In the description of magnetic ordering in
crystals the symmetry analysis based on the theory of groups and representations was at first
introduced by E.F. Bertaut [4, 5]. He obtained the symmetry-adapted ordering modes, also
derived from the representation analysis by calculation of the basis vectors of irreducible
representations. Later that line of analysis has been developed by many other theoreticians,
like Izyumov [6, 7] and others and is known in the literature as the symmetry analysis
method. Up to now the algorithms and procedures of symmetry analysis have been developed
to the level of routine calculations and several dedicated applications are offered on the
Internet pages [8, 9, 10, 11,12]. The symmetry analysis method is able to predict all possible
channels of structural transformations from a well-known, high symmetry parent crystal
structure to structures with reduced symmetry groups, identical with one of subgroups of the
initial symmetry group.
These symmetry transformations can be described by a small number of parameters,
independently specifying the multiplicity and locations of occupied positions as well as other
types of physical quantities affected by the crystal transformation. In situations where the
microscopic picture is very complicated, as occurs often in investigations during last years,
the symmetry analysis method proves to be very helpful. In its present form it has been
successfully applied to the description of structural (both displacive and order-disorder) and
magnetic phase transitions and also to the ordering of quadrupols and clusters and it has lead
to many interesting results. The necessary conditions and general theoretical assumptions
resumed with special attention focused on constraints imposed on the solutions by the
symmetry and the remaining "internal degrees of freedom", specific for each application field
had been presented in [13] This chapter is the developing of presentation the symmetry
analysis method and possibility of its application to discussion of orderings of some physical
properties in crystals.

Application of Symmetry Analysis to Description of Ordered Structures

PHYSICAL CHARACTERISTICS OF THE PROBLEM


A typical situation in which the symmetry analysis is applied to the description of
ordering process in solids includes the following features:

there is a well-defined high-symmetry (high-temperature) phase, with a well-known


symmetry space group and with well-known sets of equivalent positions (Wyckoff
positions) in the unit cell
under some circumstances (e.g change of temperature or external pressure) some
changes take place, leading to lower crystal symmetry, with preservation of the
group-subgroup relation. (in most cases continuous or semi-continuous phase
transition)
a local physical quantity exists, with known rules of transformations under the action
of operations belonging to crystal symmetry group, defined on one or more
symmetry equivalent sets of sites in the unit cell, which becomes non-zero in the
low-symmetry phase, thus representing a deviation from the high-symmetry state of
the crystal
there is a wave vector (given in reciprocal lattice) responsible for the ordering
process, usually known from the experiment, which describes the propagation
direction and wavelength of ordering waves, thus defining the relations between the
values of the ordering quantity in neighboring unit cells of the crystal. The modulus
of the ordering wave vector k may be commensurate, leading to unit cell
multiplication in the low-symmetry phase, or incommensurate leading to an
incommensurately modulated phase. The set of symmetry equivalent k vectors is
denoted as {kL} and it is called the k vector star. Each individual k vector in the set is
called an arm of the star. The set of symmetry operations leaving the k vector
unchanged is called k vector symmetry group G(k).

In such circumstances the global (whole-crystal) physical quantity representing the nonzero deviation from the high-symmetry state is usually written as:

(1)

v v

where r1 , r2 ,..., rn denote the position of individual atomic sites in the unit cell, belonging to

one set of equivalent positions, u ( ri ) denotes the local ordering quantity at the i-th site, p,q,s

v v v

are integer numbers and a1 , a2 , a3 denote the lattice vectors of the high-symmetry crystal
phase. The block in square parenthesis is attributed to one unit cell, denoted by p,q,s. The

Wiesawa Sikora and Lucjan Pytlik

characteristics of u (ri ) depend on its physical nature and may be represented by a scalar,
vector or tensor quantity, with the respective number of elements.

SYMMETRY-ADAPTED DESCRIPTION OF THE ORDERING MODE


The symmetry analysis method has been derived from the theory of group and
representations and it is based on the decomposition of the full (permutational, quadrupolar,
structural or magnetic) representation of the crystal space group, calculated for a given star of
wave vectors {kL} and a given set of equivalent positions, into its irreducible representations
(IR-s). Such a decomposition takes place when the basis (coordinate system) used for
description of the function space is transformed to the special symmetry-adapted basis. It
represents the splitting of the whole function space into the direct sum of sub-spaces
attributed to individual IR-s. Which irreducible representations really appear in the sum and
how many times, depends on the chosen set of equivalent positions and the type of discussed
property. This choice decides about the accessible space of degree of freedom for discussed
phase transition. The symmetry analysis also allows calculation of the so called basis vectors
(BV-s) attributed to each individual IR, i.e. vectors, which under the action of symmetry
operations transform according to the respective IR. The number of BV-s attributed to a given
IR is equal to number of arms in k-vector star and dimension of irreducible representation of
G(k), and further-on each BV will carry three indices L,, , which represent respectively the
arm of k-vector star, IR number and the BV-s sequential number, running from 1 up to the
product of dimension of the IR and its multiplicity. Each BV is defined for all considered
sites of the crystal but can be split into local (or atomic-site) parts, with the number of
elements dependent on the nature of the ordering quantity. Because of translational symmetry
of crystals the BV-s closely resemble Bloch (Wannier) waves or Fourier components, because
their local parts fulfill the following relation:

(2)
The above-mentioned BV-s can be used for construction of the global vector describing
the ordering quantity in the whole crystal:

(3)

Application of Symmetry Analysis to Description of Ordered Structures

Such a construction of the global description as a linear combination of BV-s with


coefficients Ck,L has its local counterpart for the u components describing a given atomic
site:

(4)
Using the translation symmetry one is able to limit the problem to the elementary cell.
This significantly simplifies the procedure of detection, which IR-s appear in the
decomposition of function space under consideration [6]. At first the nu dimensional vector
(n is the number of equivalent positions in the elementary cell and u is the dimension of
discussed property) may be defined, where all components are equal 0 except one, which is 1.
The set of such nu vectors, which have the value 1 on different positions form the basis of
the reducible representation of the G(k) symmetry group, which includes all relevant degree
of freedom of given parent structure. This reducible representation , by using the general
formula known in the theory of group representations, decomposes into the set of irreducible
representations of given G(k) symmetry group. Only these IR-s, which appear in the
decomposition are allowed for the structure realized after the phase transition and are named
as active representations.

(5)

n determines how many times the -th representation occurs in the decomposition, for a
given Wyckoff set of positions and given type of investigated property, and indicates the
multiplicity of IR in . From the general rules of theory of representations one may construct
the corresponding representation of full space group related to the {kL} star and given active
representation of G(k).
As can be seen in order to construct a symmetry-adapted description of the ordering in
the low-symmetry phase one has to calculate the BV-s of IR-s of the high-symmetry space
group and then, knowing the BV-s, one has to adjust (fit) the linear combination coefficients
in order to describe the experimental results as close as possible. In many investigated
physical problems the translational properties of new structure are described by one k vector
from given star and description by the symmetry analysis method is limited to IR-s of G(k),
which have small dimension. The main advantage of the procedure is also the fact that usually
the number of IR-s that has to be included in the final combination is minimal; in most cases
one IR is enough. In the case of displacement type structural phase transitions it is proved that
one IR may be active (the soft mode concept). Participation in magnetic phase transition
more than one IR-s is able, when the energy of crystal states belonging to different
representations of crystal space group are very close. Such situation takes place when
anisotropy interactions are negligible and only exchange Hamiltonian may be taken into
account. Then the symmetry of such Hamiltonian is higher than symmetry of sites (described

Wiesawa Sikora and Lucjan Pytlik

by crystallographic space group). Irreducible representations of such exchange group


limited to the elements of corresponding G(k) group as usual are reducible. The
decomposition of one exchange representation into IR-s of considered G(k) indicates the set
of IR-s, which belongs to so named exchange multiplet, and may appear together in
creation the new structure. Another situation, when more than one IR-s is able, appears in the
case, when one of IR-s (named associated) leads to the higher symmetry of model structure
then the other one (named relevant). The detailed discussion of this problem is given in [6].
The coefficients C form good order parameters of the phase transitions, which can be
used for construction of invariants in the structure symmetry group. It is useful to mention
here, that the second order invariants, as follow from the theory of representations may be
constructed only with using functions belonging to the same representation. In the Landau
theory of phase transitions such invariants are connected with transition temperature. This is
the base for discussion of possible connections between different type of transitions (for
example possibility of occurrence at the same time magnetic and structural transitions). The
symmetry analysis also provides means to find the symmetry group of the new structure,
using the C and the given IR , active in the phase transition. The calculated basis vectors
transform under the action of elements of the parent symmetry group by matrices of the
respective IR . Because the coefficients C of the linear combination are the components of
the analyzed property in the frame of basis vectors, they transform according to inverse
matrices of . The symmetry elements, which leave the set of C components invariant,
belong to the new structure symmetry group. The symmetry considerations are also able to
indicate the relations between the old sets of equivalent positions (in the parent group) and the
new sets of equivalent positions (in the final subgroup). The group-subgroup relations and
relations between corresponding sets of positions are also given - between many others,
useful crystallographic information on Bilbao crystallographic server [9].
There is one more problem that complicates the actual procedure, namely the physical
conditions imposed on the local ordering quantities or their algebraic representations. For
most physical quantities there is a condition that they should be represented only by real
numbers, what becomes a problem when the obtained BV-s are complex. In such a way an
extra constraint is imposed on the set of C coefficients. If {kL} contains -k then the problem
is easily solved by including BV-s calculated for an inverse wave vector, with a proper phase
shift contained in the complex value of the respective coefficient of the combination. The
reality condition is one, rather general, requirement, but there are more specific ones,
depending on the nature of the ordering quantity and its algebraic representation. These
detailed conditions will be discussed in the following sections, devoted respectively to scalar,
vector and tensor quantities.

CONDITIONS IMPOSED ON PHYSICAL SOLUTIONS AND THE


NUMBER OF FREE PARAMETERS
As mentioned before the general requirement concerning the constructed physical
solution is its restriction to real values. The situation seems to be different for two classes of
problems. One class of solutions covers all the wave vectors for which their components take
the values Q=0 or Q= (in reciprocal lattice units). In such cases the wave vectors k and -k

Application of Symmetry Analysis to Description of Ordered Structures

are equivalent in the crystallographic sense, i.e. they are equal modulo the reciprocal lattice
vector. Therefore there is no reason to use the BV-s calculated for both k and k for
construction of the model structure. For such case an extra advantage is provided the fact that
the kt value is a multiple of giving always real values of exp(ikt). Unfortunately the above
statement does not apply to the BVs components, as they still can be complex. From the
experimental point of view that class of structures comprises the ferromagnetic and antiferromagnetic structures with doubled unit cell, i.e. structures in which the magnetic moments
in neighboring cells can be different only by their sign.
For the second class of solutions, i.e. for all the wave vectors different from the ones
mentioned above, the solution must be combined from the BV-s calculated for both wave
vectors i.e. k and k, as they are not equivalent. That class of solutions comprises both the
commensurate structures with bigger unit cells (k=1/3, 1/4, etc.) as well as the
incommensurately modulated structures. As mentioned above the only mathematical
condition imposed on the respective linear combinations of BV-s, is the condition that the
result should be real, i.e. the imaginary part of the linear combination should be equal to zero
for every component of the resulting vector. Below a short algebraic analysis of this condition
is provided, separately for both classes of wave vectors. The notation concerning the used
BV-s and coefficients of the linear combination will be as follows:

(6)
The k above denotes the unit-cell parts of -th BV, calculated for IR , for a given
wave vector k i.e. such symbol in fact denotes a vector consisting of pn elements, where p is
the number of components describing the quantity under consideration (1 for scalar, 3 for
vector and 9 for 3x3 tensor) and n is the number of sites in the symmetry equivalent set in the
unit cell. The vector elements are ordered by number of ion and the component of the
considered quantity.
It has been mentioned before that for the first class of solutions the magnetic structure
vector can be expressed as a linear combination of BVs calculated for positive ks only. For
that case the condition imposed on the solution, which can be expressed as Im {S} = 0, takes
the following form:

(7)
where i and denote the ion number and its component of physical quantity while u and w
denote the real and imaginary parts of the respective BV. Thus pn equations are obtained,
one for each ion and each component of physical quantity related to it. . The number of
unknown (real) variables depends on the number of IR-s taken into account and their
multiplicity and respective dimensions. In general:

Wiesawa Sikora and Lucjan Pytlik

(8)
where n is the multiplicity of the irreducible representation in the linear combination, and
d denotes the dimension of . In most cases the system of equations looks like highly overdetermined. However many of the obtained equations are linearly dependent and in order to
determine the actual status of the system of equations these equations have to be eliminated as
shown below.
The second class of solutions, i.e. wave vectors with components different from 0 and ,
mostly comprises what is usually called modulated structures, and includes both
commensurate and incommensurate (e.g. with k sweeping continuous range of values)
structures. For such cases the solution has to be built as a linear combination of BVs
calculated for both wave vectors k and k, in order to form a real solution, in the form of a
standing wave with a given amplitude and phase. If the described physical quantity is
supposed to be real for any cell in the crystal then the only possibility is making the
expressions multiplying the cos and sin terms respectively both equal to zero. This has to be
true for all components of the physical quantity vector. Thus two uniform systems of
equations are obtained for the unknown coefficients, each system consisting of pn equations.
This gives 2pn equations total and the systems of equations take the form:

(9)
where i=1,,n runs over the investigated ions in the symmetry equivalent set of sites, and
=1,..,p runs over the components of the physical quantity on each ion.
Now the number of unknown variables is doubled as the coefficients for both k and k
BV-s have to be determined. At first sight it seems that the system of equations should be
highly over-determined. However an additional aspect that should be remembered is the fact
that the equations have been generated for atomic sites that are symmetry related, so many of
the equations may be linearly dependent. Again the number of unknown coefficients depends
only on the number of IR-s taken into the model and their respective multiplicities and
dimensions:

(10)
As mentioned before the obtained homogenous system of equations is definitely
redundant as some of the equations are linearly dependent and should be eliminated. At first it
should be noticed that some of the equations contain only zero terms and have no relevancy at

Application of Symmetry Analysis to Description of Ordered Structures

all. Then in the second stage equivalent equations are eliminated by normalizing all the
equations (the greatest coefficient is made equal to one) and elimination of equations that are
identical (i.e. contain the same coefficients). In most cases the obtained set of equations does
not contain linearly independent equations. For the remaining cases the third stage of the
processing is applied. It consists of elimination of the redundant equations by applying a
Gram-Schmidt procedure (known from vector algebra textbooks). What is left after that
procedure is the minimal system of equations, containing Ne equations. Again a well-known
algebra theorem allows a direct determination of the number of free parameters (number of
the unknown variables that can be chosen at will). The obtained of free parameters was found
to be exactly half of the number of the unknown variables, i.e. equal to the number of
complex coefficients in the linear combination of BV-s.

(11)

"MODY" PROGRAM - A PRACTICAL IMPLEMENTATION OF


SYMMETRY ANALYSIS
As mentioned above the first part of the task is to calculate the basis vectors (BV-s) for a
given space group of the high-symmetry phase. There are well-elaborated algorithms leading
to calculation of the BV-s, using e.g. the projection operators technique, with a special
version using stabilizer [7]. There are several applications offered on the Internet [ 8, 9, 10,
11, 12] , which are dedicated to the same task, but differ in some aspects, as they have been
tailored to different application fields in solid state physics. One of the applications has been
written by the authors of the present paper and can be downloaded from its homepage [8].
The program, offering a full graphical user interface, in the first stage collects all the
necessary data from the user. In addition to the high-symmetry space group the user has to
specify the set of symmetry equivalent atomic positions, by choosing the first atom position
(the rest is generated by symmetry operations). Once this is known the user is asked to
specify the ordering wave vector and the exact arm of the wave vector star. The last thing the
user has to choose is the type of ordering quantity. At present the program offers four options:
scalars, polar vectors, axial vectors and 3x3 tensors. After completing the input data the
calculations of the ordering modes may be carried out and after that the user is offered the list
of output results. The results include the symmetry characteristics used in the calculations,
namely symmetry elements of the group, its irreducible representations, splitting of atoms
into independent G(k) orbits and transformation matrices for tensor quantities. The principal
result of the calculations contains the basis vectors attributed to individual atomic sites of a
given set of symmetry equivalent positions in the unit cell. By default the BV-s elements are
listed for the "zero" cell i.e. without the extra translation vector tp,q,s . In order to calculate the
BV components in the neighboring cells the user has to specify the translation vector tp,q,s for

10

Wiesawa Sikora and Lucjan Pytlik

eq. (1) in the input data. The construction of the final ordering modes is done by verifying the
constraints imposed on the final result (the described ordering quantity) and then solving for
or fitting the coefficients of the linear combinations of BV-s. This part of the procedure,
together with examples dedicated to different physical quantities, will be presented in the
following sections.

SCALAR ORDER PARAMETERS: SITE OCCUPATION PROBABILITY


The simplest case of symmetry analysis is encountered for physical quantities represented
by scalars. Good examples of physical properties represented by scalars are presented by
charge density or occupation probability of local ion sites in a given crystal structure. An
example of such calculations for hydrogen distribution on interstitial sites in an intermetallic
compound can be found in [14,15]. An essential physical assumption about the parent, high
symmetry phase, states that in the high-symmetry phase the occupation probability P on all
allowed symmetry equivalent interstitial sites should be the same. The actual value depends
on the hydrogen concentration, and the number of symmetry equivalent sites. The assumption
has two possible, physical explanations:

hydrogen atoms are localized on the set of equivalent positions in a given space
group with completely statistical (random) distribution,
hydrogen atoms execute random jumps within the sets of equivalent positions of a
given space group, thus giving equal values of timed averaged occupation
probability.

The calculated values, describing the ordering of H atoms leading to lowering the
symmetry, always denote the change P of the site occupation probability P from the
equilibrium values mentioned above. Each subset of symmetry equivalent sites, called an
orbit in the given subgroup, should be occupied with the same probability P'. If P' = 1 the
subgroup orbit is fully occupied, while P' = 0 means that the subgroup orbit is empty after the
ordering, while the condition 0<P'<1 means that the hydrogen diffusion takes place within the
given orbit. There is one more physical assumption that frequently applies: the sum of P
over all sites of the symmetry equivalent set has to be zero, what actually represents a kind of
"mass conservation law". The obtained probability changes do not depend on the total
concentration of hydrogen atoms in the structure. The study also shows that there is one more
physical aspect that is worth analyzing: because of strong coupling between the site position
and site occupation probabilities there are often atomic displacements observed, that
accompany the occupation probability changes. These atomic displacements can also be
calculated by symmetry analysis, as the IR active in the transition must be the same by the
requirements of symmetry consistency. The results of such occupation probability changes in
YMn2 obtained from symmetry analysis have been extensively described in [14]. In this
chapter is given as the example the discussion of structural changes leading by introducing
the deuterium, and possibilities of associated magnetic orderings in ErMn2D2 compound.
These calculations are the part of work, which had been presented in MH 2008 conference in
Reykjavik [15].

Application of Symmetry Analysis to Description of Ordered Structures

11

VECTOR QUANTITIES - MAGNETIC MOMENTS OR ATOMIC


DISPLACEMENTS
The most representative examples of physical quantities represented by vectors are the
magnetic moments localized on ions (axial vectors) or atomic displacements during structural
phase transitions (polar vectors). In both cases three-dimensional vectors are involved with
well-known transformation rules, thus for a set of n symmetry equivalent positions that can be
occupied by magnetic ions the ordering mode vector describing one unit cell of the system is
a 3n dimensional, vector.
The case of displacements of atom equilibrium positions from initial ones in high
symmetric phases (molecular vibrations) at first had been discussed in the frame of symmetry
adapted functions, calculated by using the theory of representations of point groups many
years ago [1], [2], [3]. The application of symmetry adapted functions to case of magnetic
moments ordering had been developed by Bertaut [4, 5], and Izyumov at all [6, 7]. The
symmetry analysis method using the BV-s of IR-s as a coordinate system is the best one
matching the symmetry of the problem and it provides the simplest form of the magnetic
structure description, because it requires the lowest number of independent parameters. The
information about relations between magnetic moments localised on crystal sites given by
minimal number of free parameters is very important in the work under the solving the
magnetic structure from diffraction pattern given in experiment. For given k-vector the G(k)
group as usual is a subgroup of the space group G. From this fact follows that the set of
equivalent positions in the group G (the so-called orbit in G), may split into independent sets
of equivalent positions in G(k). Thus, one orbit in the group G can lead to two or more orbits
in the G(k) subgroup. The possible relations between the magnetic moments inside a given
orbit are limited by symmetry and a single set of parameters describes the magnetic structure
of all atoms belonging to the same orbit. Symmetry allows independent magnetic orderings in
different orbits. For orbits belonging to different representations, the magnetic moments,
phases etc. differ and the magnetic moments localized at atoms belonging to one orbit may
order at temperature T1 while the moments belonging to another orbit at T2. The relations
between the different orbits depend on the minimum of energy of full structure, not on
symmetry.
For the case of magnetic ordering analysis in practice there is one more physical
requirement frequently imposed on the solution, usually called "constant moment" condition,
which seems particularly valid for magnetic ordering of 3d ions. Imposing it on the current
solution would additionally force additional conditions on free parameters. This condition
doesnt work when modulated and cycloid magnetic orderings are analyzed. There is also one
more aspect of the situation that should be mentioned, namely the relations between the free
parameters (amplitudes and phases) and energy of the configuration. It is not unexpected that
the amplitude changes will definitely affect the energy, but the situation with the free phases
is more complicated. The energy is not sensitive to global phase calibration, but it is
definitely affected by the phase differences, not only within one orbit of G(k), but also
between different orbits of G(k) and between different orbits of G. The application of
symmetry analysis to solving of complicated, incommensurate magnetic structures may be
found in [16-20]. In this chapter the example of evolution of magnetic structure models is
given, realized on simple, orthorhombic structure when k-vector changes from equal zero to

12

Wiesawa Sikora and Lucjan Pytlik

non zero but commensurate, and at least to incommensurate one. Here the detail calculations
based on the OUTPUT-s of MODY program are also quoted.

TENSORS - QUADRUPOLAR ORDERING IN SOLIDS


As it is well known the electric potential from any charge distribution may be written as a
sum of monopolar, dipolar, quadrupolar possibly and higher contributions. In our analysis it
is assumed that the dipole potential and higher order moments are absent and therefore the
initial form of the total potential exhibits spherical symmetry. For an initial spherical potential
shape the quadrupole moment tensor (QMT) form defines the directional deviations from the
spherical form, resulting from the presence of nonzero quadrupolar moment. The components
of 3x3 quadrupole moment tensor (QMT) are usually defined as volume integrals of charge
density with respective coordinate combinations [21]. The components values uniquely define
the orientational distribution of the quadrupolar potential.
The components of quadrupolar moment tensor (QMT) in orthogonal coordinate systems
are usually defined as [21]:

(12)
The definition implies two properties for QMT matrix: it is always symmetric i.e. Qij =
Qji and its the trace is always zero i.e. Q33 = -Q11 - Q22 . The general form of the QMT matrix
can always be transformed to the diagonal form by transformation to the local coordinate
system oriented along the so called principal axes of QMT tensor. The general and diagonal
forms of QMT look respectively as below:

(13)
The general form of QMT suggests that there should be five arbitrary parameters, but the
transformation to diagonal form shows that there are only two parameters characterizing the
shape of the potential itself: Qa and Qb . The other three parameters characterize the spatial
orientation of the potential (electron density) shape. It should be stressed that the presence of
two free parameters is a direct proof that not all shapes of the electron density cloud
(potential) can be described by a prolate or oblate spheroid. The diagonal forms of QMT can
be classified with respect to the signs and relative values of the Qa and Qb parameters, and the
resulting shapes can be attributed to the well-known classification quadrupolar operators Q.
For example the QMT matrix in Figure 1 and the corresponding shapes of the quadrupolar
and total potential surfaces can be attributed to the operator combination labeled as
(Qx 2 y 2 + Q yz ) .

Application of Symmetry Analysis to Description of Ordered Structures

13

Figure 1. An off-diagonal QMT form (left) and the respective shapes of the quadrupolar contribution
(center) and the total potential (right). The Qxx and Qyy elements control mainly the shape and the
nonzero Qyz elements control the orientation of principal axes.

The quadrupolar contribution to the electric potential can be characterized by its


expansion into spherical functions [21]. Such expansion has been used for visualization of the
angular dependence of both the quadrupolar potential contribution and the total potential. The
analyzed potential values are calculated for a fixed distance from the local center (r0=const).
In the program Tensor_Vis by J.Malinowski [22] the potential value for a given set of
spherical angles (,) is translated into the radial distance from the center, thus graphically
reflecting the spatial shape of the potential distribution.
The quadrupolar ordering concept is intended to characterize, at all atomic positions in
the crystal, the spatial shape of the surface associated with the quadrupolar potential (or the
surface associated with the deformed total potential) and the orientation of QMT's principal
axes in relation to the crystallographic system. The signs of QMT coefficients characterize the
type of deformation and their values characterize the magnitude of the potential surface
deformation. By the symmetry analysis method all types of quadrupolar ordering, allowed for
a given parent structure, are calculated, together with their resulting final symmetry groups.
An additional analysis can be also carried out to determine the possible patterns of atomic
displacements of the neighboring atoms, which are consistent with the symmetry imposed by
the quadrupolar ordering.
For the convenient application of symmetry analysis the components of quadrupolar
moment tensor are rearranged into a vector form, as shown in eq. (14):

(14)
Such rearrangement requires the redefinition of transformation matrices related to group
elements to the form being the direct product of usual matrices defined in the 3-dimensional
space. The requirements imposed on the symmetry-adapted solution for physical quantities

14

Wiesawa Sikora and Lucjan Pytlik

represented by tensors include the reality condition analyzed in the section discussing vectors,
but additionally there are the conditions imposed by the internal features of QMT (symmetric
and zero trace). These types of conditions are specific for a given physical quantity
represented by the tensor, and for e.g. moment of inertia the zero trace condition would be
absent. Thus the conditions are of physical origin, like the "constant moment" conditions for
magnetic ordering modes. In practice these extra requirements eliminate some of the solutions
obtained from symmetry analysis that conform to the reality requirement.

EXAMPLE 1: MAGNETIC ORDERING COMPARISON OF THREE


ORDERING WAVE-VECTORS IN
The selected example presented below presents the detailed calculations of ordering
models, for magnetic moments localized on 4b sublattice in compounds crystallizing in the
Pnma space group. Many such compounds can be found in the RTO3 system, where R
denotes rare earth ions and T transitional metals like Fe, Cr, Mn and other. In such
compounds the transition metal ions occupy the 4b sublattice, which is discussed below. For
majority of the magnetically ordered compounds the magnetic ordering wave vector is found
as k=(0, 0, 0) and therefore it has been chosen as the first case to be discussed. The
calculation has been done using the MODY program and exemplary outputs are shown
below. The outputs take the form of the following topical reports:
- Symmetry operations report
SYMMETRY OPERATIONS IN International SET:
---------------------------------------------------Space group G: 62 D_2h_16 {P n m a}
Type of cell= P
Wave vector: k=(0 0 0 ) k=(0,000 0,000 0,000)
Symmetry operations without lattice translations
(Set of translational coset representants) of G (8) :
1, 2, 3, 4, 25, 26, 27, 28,
Symmetry operations without lattice translations
(Set of translational coset representants) of G(k1) (8) :
1, 2, 3, 4, 25, 26, 27, 28,
Elements used as basic generators: 1, 2, 3, 25
t(1,0,0), t(0,1,0), t(0,0,1)
--- Augmented matrix representations of symmetry operations of G ---

Application of Symmetry Analysis to Description of Ordered Structures


element 1
| 1 0 0
| 0 1 0
| 0 0 1
| 0 0 0

0,00|
0,00|
0,00|
1,00|

element 25
|-1 0 0
| 0 -1 0
| 0 0 -1
| 0 0 0

element 2
|-1 0 0
| 0 1 0
| 0 0 -1
| 0 0 0

0,00|
0,00|
0,00|
1,00|

0,00|
0,50|
0,00|
1,00|

element 26
| 1 0 0
| 0 -1 0
| 0 0 1
| 0 0 0

element 3
| 1 0 0
| 0 -1 0
| 0 0 -1
| 0 0 0

0,00|
0,50|
0,00|
1,00|

15

0,50|
0,50|
0,50|
1,00|

element 4
|-1 0 0
| 0 -1 0
| 0 0 1
| 0 0 0

0,50|
0,00|
0,50|
1,00|

element 27
|-1 0 0 0,50|
| 0 1 0 0,50|
| 0 0 1 0,50|
| 0 0 0 1,00|

element 28
| 1 0 0
| 0 1 0
| 0 0 -1
| 0 0 0

0,50|
0,00|
0,50|
1,00|

Elements 1,2,3,4,25,26,27,28 denote respectively: (e), (2y), (2x), (2z), (I), (my), (mx), (mz)
- atomic positions and G(k1)-orbits report

**** ATOMS POSITIONS IN International SET ****


Space group G: 62 D_2h_16 {P n m a}
Type of cell= P
First atom: x=0,000; y=0,000; z=0,500
Lattice Translation: tx=0; ty=0; tz=0
Wave vector: k=(0 0 0 ) k=(0,000 0,000 0,000)
Number of atoms in elementary cell = 4
Number of orbits of G(k1)= 1
--- Positions of atoms: --Atom 1 : (0,000 0,000 0,500)
Atom 2 : (0,000 0,500 0,500)
Atom 3 : (0,500 0,500 0,000)
Atom 4 : (0,500 0,000 0,000)
--- Positions of atoms separated into orbits of G(k1): --atom atom coordinates how to get
-----------------------------------------------------------Orbit G(k1): 1
set of atoms in orbit G(k1): 4
Atom 1 : (0,000 0,000 0,500) Atom 1 * element(1)
Atom 2 : (0,000 0,500 0,500) Atom 1 * element(2)
Atom 3 : (0,500 0,500 0,000) Atom 1 * element(3)
Atom 4 : (0,500 0,000 0,000) Atom 1 * element(4)

16

Wiesawa Sikora and Lucjan Pytlik

- representation report
**** REPRESENTATIONS REPORT IN KOVALEV SET ****
----------------------------------------------Space group G: 62 D_2h_16 {P n m a}
Wave vector in Kovalev set: k=(0 0 0 )
Wave vector in Kovalev primitiv set: k=(0 0 0 )
Wave vector in International set: k=(0 0 0 )
Number of representations: 8
Symmetry operations without lattice translations
(Set of translational coset representants) of G(k1) (8) :
1, 2, 3, 4, 25, 26, 27, 28,
---------------------------------------------Tau: 1
dimension: 1
type: equivalent to real representation, Herring coefficient: 1
1: 1,00 2: 1,00 3: 1,00 4: 1,00 25: 1,00 26: 1,00 27: 1,00 28: 1,00
Tau: 2
dimension: 1
type: equivalent to real representation, Herring coefficient: 1
1: 1,00 2: 1,00 3: 1,00 4: 1,00 25:-1,00 26:-1,00 27:-1,00 28:-1,00
Tau: 3
dimension: 1
type: equivalent to real representation, Herring coefficient: 1
1: 1,00 2: 1,00 3:-1,00 4:-1,00 25: 1,00 26: 1,00 27:-1,00 28:-1,00
Tau: 4
dimension: 1
type: equivalent to real representation, Herring coefficient: 1
1: 1,00 2: 1,00 3:-1,00 4:-1,00 25:-1,00 26:-1,00 27: 1,00 28: 1,00
Tau: 5
dimension: 1
type: equivalent to real representation, Herring coefficient: 1
1: 1,00 2:-1,00 3: 1,00 4:-1,00 25: 1,00 26:-1,00 27: 1,00 28:-1,00
Tau: 6
dimension: 1
type: equivalent to real representation, Herring coefficient: 1
1: 1,00 2:-1,00 3: 1,00 4:-1,00 25:-1,00 26: 1,00 27:-1,00 28: 1,00

Application of Symmetry Analysis to Description of Ordered Structures

17

Tau: 7
dimension: 1
type: equivalent to real representation, Herring coefficient: 1
1: 1,00 2:-1,00 3:-1,00 4: 1,00 25: 1,00 26:-1,00 27:-1,00 28: 1,00
Tau: 8
dimension: 1
type: equivalent to real representation, Herring coefficient: 1
1: 1,00 2:-1,00 3:-1,00 4: 1,00 25:-1,00 26: 1,00 27: 1,00 28:-1,00
(As can be seen the representations are one-dimensional and real).
- basis vectors (modes) report produced for each representation present in the decomposition
**** AXIAL VECTOR (magnetic) MODES REPORT IN INTERNATIONAL SET ****
--------------------------------------------------------------Space group G: 62 D_2h_16 {P n m a}
Type of cell= P
First atom: x=0,000; y=0,000; z=0,500
Latice Translation: tx=0; ty=0; tz=0
Wave vector: k=(0 0 0 ) k=(0,000 0,000 0,000)
Arm of the k-vector star: k1=( 0,000 0,000 0,000)
________________________________________________________________________
MODES for Orbit G(k1) 1
(consisting of 4 atoms)
________________________________________________________________________
***********************************************************
REPRESENTATION tau 1, dim 1, occurring 3
1: Atom 1: (0,000 0,000 0,500)
----------------------------------------------ver: 1 | 1 ( 0,00 0,00)( 1,00 0,00)( 0,00 0,00)
ver: 2 | 1 ( 1,00 0,00)( 0,00 0,00)( 0,00 0,00)
ver: 3 | 1 ( 0,00 0,00)( 0,00 0,00)( 1,00 0,00)
2: Atom 2: (0,000 0,500 0,500)
-----------------------------------------------

18

Wiesawa Sikora and Lucjan Pytlik


ver: 1 | 1 ( 0,00 0,00)( 1,00 0,00)( 0,00 0,00)
ver: 2 | 1 (-1,00 0,00)( 0,00 0,00)( 0,00 0,00)
ver: 3 | 1 ( 0,00 0,00)( 0,00 0,00)(-1,00 0,00)
3: Atom 3: (0,500 0,500 0,000)
----------------------------------------------ver: 1 | 1 ( 0,00 0,00)(-1,00 0,00)( 0,00 0,00)
ver: 2 | 1 ( 1,00 0,00)( 0,00 0,00)( 0,00 0,00)
ver: 3 | 1 ( 0,00 0,00)( 0,00 0,00)(-1,00 0,00)
4: Atom 4: (0,500 0,000 0,000)
----------------------------------------------ver: 1 | 1 ( 0,00 0,00)(-1,00 0,00)( 0,00 0,00)
ver: 2 | 1 (-1,00 0,00)( 0,00 0,00)( 0,00 0,00)
ver: 3 | 1 ( 0,00 0,00)( 0,00 0,00)( 1,00 0,00)

The report is continued for all irreducible representations. As can be seen from the report
the IR Tau1 (1) is one-dimensional and there are three occurrences of it in the
decomposition, therefore three versions of the respective basis vector are produced. In
principle all BV components are complex, i.e. consist of real and imaginary part, but in
special cases like this one they can be strictly real. The components of the calculated basis
vectors can be rearranged and presented in the Table 1 Table 4 below:
Table 1. Components of basis vectors for 1 representation and wave vector k=(0,0,0)
Representation /
BV version
1 - ver 1
( 1,1 )
1 - ver 2
( 1,2 )
1 - ver 3
( 1,3 )

Atom 1

Atom 2

Atom 3

Atom 4

(0,000,00)
(1,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(1,000,00)

(0,00 0,00)
(1,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(0,00 0,00)
(0,000,00)
(1,000,00)

(0,00 0,00)
(1,000,00)
(0,000,00)
(1,00 0,00)
(0,000,00)
(0,000,00)
(0,00 0,00)
(0,000,00)
(1,000,00)

(0,000,00)
(1,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(1,000,00)

In order to obtain a general ordering, mode transforming according to IR 1, the three


BV-s can be combined, with arbitrary real coefficients:

r
M1 = c1 1,1 + c 2 1, 2 + c 31,3
The BV-s calculated for other IR-s present in the decomposition give:

Application of Symmetry Analysis to Description of Ordered Structures

19

Table 2. Components of basis vectors for 3 representation and wave vector k=(0,0,0)
Representation /
BV version
3 - ver 1
( 3,1 )
3 - ver 2
( 3,2 )
3 - ver 3
( 3,3 )

Atom 1

Atom 2

Atom 3

Atom 4

(0,000,00)
(1,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(1,000,00)

(0,00 0,00)
(1,000,00)
(0,000,00)
(1,00 0,00)
(0,000,00)
(0,000,00)
(0,00 0,00)
(0,000,00)
(1,000,00)

(0,00 0,00)
(1,000,00)
(0,000,00)
(1,00 0,00)
(0,000,00)
(0,000,00)
(0,00 0,00)
(0,000,00)
(1,000,00)

(0,000,00)
(1,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(1,000,00)

Table 3. Components of basis vectors for 5 representation and wave vector k=(0,0,0)
Representation /
BV version
5 - ver 1
( 5,1 )
5 - ver 2
( 5,2 )
5 - ver 3
( 5,3 )

Atom 1

Atom 2

Atom 3

Atom 4

(0,000,00)
(1,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(1,000,00)

(0,00 0,00)
(1,000,00)
(0,000,00)
(1,00 0,00)
(0,000,00)
(0,000,00)
(0,00 0,00)
(0,000,00)
(1,000,00)

(0,00 0,00)
(1,000,00)
(0,000,00)
(1,00 0,00)
(0,000,00)
(0,000,00)
(0,00 0,00)
(0,000,00)
(1,000,00)

(0,000,00)
(1,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(1,000,00)

Table 4. Components of basis vectors for 7 representation and wave vector k=(0,0,0)
Representation /
BV version
7 - ver 1
( 7,1 )
7 - ver 2
( 7,2 )
7 - ver 3
( 7,3 )

Atom 1

Atom 2

Atom 3

Atom 4

(0,000,00)
(1,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(1,000,00)

(0,00 0,00)
(1,000,00)
(0,000,00)
(1,00 0,00)
(0,000,00)
(0,000,00)
(0,00 0,00)
(0,000,00)
(1,000,00)

(0,00 0,00)
(1,000,00)
(0,000,00)
(1,00 0,00)
(0,000,00)
(0,000,00)
(0,00 0,00)
(0,000,00)
(1,000,00)

(0,000,00)
(1,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(1,000,00)

Thus four real ordering modes can be constructed, transforming accordingly to the
respective IR-s, by taking linear combinations with coefficients ci , di , ui and vi respectively.
Because all functions in this example are real, there are no additional conditions for the

20

Wiesawa Sikora and Lucjan Pytlik

mixing parameters. As a result each model includes three arbitrary parameters for description
of the ordering of magnetic moments localized on 4b set of atomic positions in this crystal.
The complete solutions shown below indicate, that the orientation of the first magnetic
moment at position (1) is arbitrary, by the orientations or the other moments are strictly
determined by the first.

r
M =

c2
u 2
d 2
v1
m1x

m1y
c1
d1
v2
u1



m1z
c3
d 3
u 3
v3

m2x
c 2
d 2
u 2
v1

c
u
d
v
m2y

1
1
1

z
c 3 r
u 3 r
d 3 r
v 3
m2 r
, M3 =
: M1 =
, M7 =
, M5 =

c3
d 2
v1
u 2
m3x

m3y
c1
u 1
d1
v2

d
v
u

m3z
c3
3
3
3

x
u 3
d2
v1
m4
c 3

c
d
u
v
m4y
1
1
1

z
c 3
m4
d 3
v 3
u 3

The second ordering wave vector in the example is a vector from Brillouine-zone
boundary, namely k=(0.5, 0, 0). The respective representation reports from the MODY
program shows that the IR-s involved are complex and two-dimensional, i.e. each symmetry
operation is represented by a 2x2 complex matrix. In such a case each IR copy in the
decomposition provides two basis vectors, as the respective subspace is two-dimensional. If
there are three copies of a given representation in the result then six version of the respective
basis vector are obtained. The basis vectors report, after necessary rearrangements, gives the
results as shown in Table 5 below:
Table 5. Components of basis vectors for 1 representation and wave vector k=(0.5,0,0)
Representation /
BV version
1- ver 1,1
(1,1 )
1 - ver 1,2
(1,2 )

Atom 1

Atom 2

Atom 3

Atom 4

(0,000,00)
(0,500,00)
(0,000,00)
(0,000,00)
(0,000,50)
(0,000,00)

(0,00 0,00)
(0,500,00)
(0,000,00)
(0,00 0,00)
(0,000,50)
(0,000,00)

(0,00 0,00)
(0,000,50)
(0,000,00)
(0,00 0,00)
(0,500,00)
(0,000,00)

(0,000,00)
(0,000,50)
(0,000,00)
(0,000,00)
(0,500,00)
(0,000,00)

Application of Symmetry Analysis to Description of Ordered Structures


Representation /
BV version
1 - ver 2 ,1
(1,3 )
1 - ver 2, 2
(1,4 )
1 - ver 3, 1
(1,5 )
1 - ver 3, 2
(1,6 )

Atom 1

Atom 2

Atom 3

Atom 4

(0,500,00)
(0,000,00)
(0,000,00)
(0,000,50)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,500,00)
(0,000,00)
(0,000,00)
(0,000,50)

(0,500,00)
(0,000,00)
(0,000,00)
(0,000,50)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,500,00)
(0,000,00)
(0,000,00)
(0,000,50)

(0,000,50)
(0,000,00)
(0,000,00)
(0,500,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,50)
(0,000,00)
(0,000,00)
(0,500,00)

(0,000,50)
(0,000,00)
(0,000,00)
(0,500,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,50)
(0,000,00)
(0,000,00)
(0,500,00)

21

Three models of magnetic structure may be presented by linear combinations of three


versions of BV-s associated with 1.
r
M 1(1) = ( B + iE ) 1,1 + ( P + iQ ) 1, 2
r
M1( 2 ) = (A + iD) 1,3 + ( R + iS) 1, 4
r
M1( 3) = (C + F) 1,5 + ( U + iV ) 1, 6

The set of equations ensuring real values of magnetic moments enforces the following
relations between the coefficients: B=Q, E=P, A=S, D=R, C=V, F=U. If the complex
coefficients are converted to exponential forms the solutions look as follows:

r
M1(1) = ic e i 1,1 + ce i 1, 2

r
M 1( 2 ) = id e i 1, 3 + d e i 1, 4
r
M 1( 3) = iu e i 1,5 + u e i 1, 6

A similar construction can presented for the 2 representation:


Table 6. Components of basis vectors for 2 representation and wave vector k=(0.5,0,0)
Representation /
BV version
2 - ver 1,1
( 2,1 )
2 - ver 1,2
( 2,2 )

Atom 1

Atom 2

Atom 3

Atom 4

(0,000,00)
(0,500,00)
(0,000,00)
(0,000,00)
(0,000,50)
(0,000,00)

(0,00 0,00)
(0,500,00)
(0,000,00)
(0,000,00)
(0,000,50)
(0,000,00)

(0,00 0,00)
(0,000,50)
(0,000,00)
(0,000,00)
(0,500,00)
(0,000,00)

(0,000,00)
(0,000,50)
(0,000,00)
(0,000,00)
(0,500,00)
(0,000,00)

22

Wiesawa Sikora and Lucjan Pytlik


Table 6. (Continued)
Representation /
BV version
2 ver 2 ,1
( 2,3 )
2 - ver 2, 2
( 2,4 )
2 - ver 3, 1
( 2,5 )
2 - ver 3, 2
( 2,6 )

Atom 1

Atom 2

Atom 3

Atom 4

(0,500,00)
(0,000,00)
(0,000,00)
(0,000,50)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,500,00)
(0,000,00)
(0,000,00)
(0,000,50)

(0,500,00)
(0,000,00)
(0,000,00)
(0,000,50)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,500,00)
(0,000,00)
(0,000,00)
(0,000,50)

(0,000,50)
(0,000,00)
(0,000,00)
(0,500,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,50)
(0,000,00)
(0,000,00)
(0,500,00)

(0,000,50)
(0,000,00)
(0,000,00)
(0,500,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,50)
(0,000,00)
(0,000,00)
(0,500,00)

The respective ordering mode solutions attributed to 2 representation look as follows:


r
M '2 (1) = ( B'+iE ' ) 2,1 + ( P'+iQ' ) 2, 2
r
M '2 ( 2 ) = ( A '+iD' ) 2,3 + ( R '+iS' ) 2, 4
r
M '2 ( 3) = (C'+ F' ) 2,5 + ( U '+iV ' ) 2, 6

(16)
and consequently:

r
M '12 = ic e i 11 c e i 21

r
M '22 = id e i 1 2 + d e i 2 2

r
M '32 = iu e i 13 u e i 23

The resulting general models of magnetic ordering associated with a given IR include
superposition of the all three versions:
The solution again allows a free choice of the orientation for the first magnetic moment,
but the other magnetic moments are not strictly determined by the first. In contrary to the
previous k=(0,0,0) case the orientation of the first magnetic moments determines only the one
at position (2). The moments at positions (3) and (4) are strictly related, but completely
independent from the moment at position (1), so in effect the solution contains two correlated
pairs of magnetic moments in each unit cell. Also in contrary to the k=(0,0,0) case the
magnetic moments in the neighboring elementary cells (related to the positions in the zero
cell by translation vector ax ) have opposite signs.

Application of Symmetry Analysis to Description of Ordered Structures

r
M =

m1x

m1y

m1z

m2x

m2y

m2z

m3x

m3y

m3z

m4x

m4y

m4z

2d sin = A

2c sin = B
2u sin = C

2d sin = A
2c sin = B

r 2u sin = C
M1 =

2d cos = D
2c cos = E

2u cos = F

2d cos = D
2c cos = E

2u cos = F

23

2d sin = A'

2c sin = B'
2u sin = C'

2d sin = A'
2c sin = B'

2u sin = C'
r
M2 =

2d cos = D'
2c cos = E'

2u cos = F '

2d cos = D'
2c cos = E'

2u cos = F '

The third case considered takes the ordering wave vector as k=(kx, 0, 0), thus it includes
a possibly modulated magnetic structure, with modulation along the OX axis. The atom
sequence in the MODY output obtained for this example differs from the sequence obtained
in previous examples. It results from the different wave vector symmetry group G(k) for
k=(kx,0,0) in comparison to k=(0,0,0) and k=(0.5,0,0). The program takes for the calculation
the atomic positions from the first position chosen by user, using the symmetry elements in
the sequence as given in the G(k).
The atomic positions report gives:
**** ATOMS POSITIONS IN International SET ****
Space group G: 62 D_2h_16 {P n m a}
Type of cell= P
First atom: x=0,000; y=0,000; z=0,500
Latice Translation: tx=0; ty=0; tz=0
Wave vector: k=(kx 0 0 ) k=(0,170 0,000 0,000)
Number of atoms in elementary cell = 4
Number of orbits of G(k1)= 1
Orbit G(k1): 1
set of atoms in orbit G(k1): 4
Atom 1 : (0,000 0,000 0,500) Atom 1 * element(1)
Atom 2 : (0,500 0,500 0,000) Atom 1 * element(3)
Atom 3 : (0,000 0,500 0,500) Atom 1 * element(26)
Atom 4 : (0,500 0,000 0,000) Atom 1 * element(28)
The respective basis vector report, after proper rearrangement, gives the following basis
vectors for representation 1 and an exemplary wave k=(0.17,0,0). For such a wave vector
value the solutions for (-k) are not equivalent to solutions for (k) and have to be calculated
separately. Such a wave vector value also means that the structure will be an incommensurate

24

Wiesawa Sikora and Lucjan Pytlik

modulated magnetic structure and the phase difference between magnetic moments in

r r

different unit cells will be given by: k t = xb1 n1t1 + n 2 t 2 + n3 t 3

Table 7. Components of basis vectors for 1 representation and wave vector k=(0.17,0,0)
Representation /
BV version
1 - ver 1
1,1 ( k)
1 - ver 1
1,1 (k)
1 - ver 2
1,2 ( k)
1 - ver 2
1,2 (-k)
1 - ver 3
1,3 , ( k)
1 - ver 3
1,3 , (-k)

Atom 1

Atom 2

Atom 3

Atom 4

(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(1,000,00)
(0,000,00)
(0,000,00)
(1,000,00)

(0,00 0,00)
(0,860,51)
(0,000,00)
(0,00 0,00)
(0,860,51)
(0,000,00)
(0,86 0,51)
(0,000,00)
(0,000,00)
(0,860,51)
(0,000,00)
(0,000,00)
(0,00 0,00)
(0,000,00)
(0,860,51)
(0,00 0,00)
(0,000,00)
(0,860,51)

(0,00 0,00)
(1,000,00)
(0,000,00)
(0,00 0,00)
(1,000,00)
(0,000,00)
(1,00 0,00)
(0,000,00)
(0,000,00)
(1,00 0,00)
(0,000,00)
(0,000,00)
(0,00 0,00)
(0,000,00)
(1,000,00)
(0,00 0,00)
(0,000,00)
(1,000,00)

(0,000,00)
(0,860,51)
(0,000,00)
(0,000,00)
(0,860,51)
(0,000,00)
(0,860,51)
(0,000,00)
(0,000,00)
(0,860,51)
(0,000,00)
(0,000,00)
(0,000,00)
(0,000,00)
(0,860,51)
(0,000,00)
(0,000,00)
(0,860,51)

Similar Tables can be obtained for other IR-s present in the decomposition i.e. 2, 3 , 4.
The positions of atoms 2 and 4 differ from position of atom 1 by a translation vector

r
1/2 t1 along the x-direction. Therefore the obtained modulated wave structure leads to a
specific value of the phase shift, and the mode components for these positions are multiplied
ix

by a phase factor e in relation to the mode components at atomic position 1. Additionally


the changes in signs may appear as a result of the transformations between different than
ix

translations. For kx = 0.17 the respective phase factorcan be calculated as: e =cos(kx) + i
sin(kx) = 0.86 +i 0.51,and can be often visible in the calculated basis vectors.
The possible models of the magnetic moment ordering may be again obtained by the
linear combination of basis vectors with mixing coefficients as given below for 1:

r
M1(1) = ce i 1(,1k ) + ce i 1(,1 k )
r
M1( 2 ) = de i 1(,k2) + de i 1(,2 k )
r
M1( 3) = ue i 1(,k3 ) + ue i 1(,3 k )

Application of Symmetry Analysis to Description of Ordered Structures

25

The resulting general solution can be obtained as linear combination of the three versions
and it takes the form:

M =

m1x

m1y

m1z

m2x

m2y

m2z

m3x

m3y

m3z

m4x

m4y

m4z

2d cos

2c cos

2u cos

2d cos( + x)
2c cos( + x)

r 2u cos( + x)
M1 =

2d cos

2c cos

2u cos

2d cos( + x)
2c cos( + x)

2u cos( + x)

The other representations lead to similar structures with various (+, -) sequences.

EXAMPLE 2: ORDERING SITE OCCUPATION PROBABILITIES AND


ACCOMPANYING ATOMIC DISPLACEMENTS IN ERMN2D2
The ordering of deuterium in ErMn2 compound over interstitial positions, leading to
lowering the symmetry of the parent structure found by the experiment, is indicated by the
symmetry analysis method in this example. Also the possible accompanying atoms
displacements and ordering of magnetic moments are discussed.
The ErMn2 Laves phase type intermetallic compound crystallizes in the C14 type
structure. After deuterization the single phases deuteride ErMn2D2 were obtained with
hexagonal structure (D6h4) P63/mmc at 298K and monoclinic structure (C2h3) B112/m at 150K
as determined from the diffraction using synchrotron radiation [23]. In RMn2 Hx compounds
the Mn atoms occupy two different Wyckoff positions in P63/mmc space group: Mn1 at 2a
and Mn2 at 6h. The R atoms are localised at 4f. Hydrogen (deuterium) is distributed over
A2B2 tetrahedral interstitial positions of P63/mmc space group, with k=(0,0,0). It means that
hydrogen occupies 24l, 12k, 6h-1 and 6h-2 Wyckoff positions, with sites occupation Pl, Pk,
Ph-1, Ph-2 which are less than one.
Representation following in phase transition from P63/mmc parent group to monoclinic
B112/m is two dimensional 9 irreducible representation related to k=(0,0,0), with set of
mixing parameters (Cei, Cei).

26

Wiesawa Sikora and Lucjan Pytlik

Hydrogen Ordering
For scalar type function localized on 24l positions 9 representation is allowed two times,
what means, that there are two sets of basic vectors, each of them containing two functions,
and set of parameters is: (cei, cei), (dei, dei) . Coefficients of linear combination of basic
vectors following to real quantity of function describing the change of site occupation P are
(cei, cei), (ce-i, ce-i). (The parameters should fulfill the relations: c = d and = -). As the
result the P(ri) = Pi in the elementary hexagonal cell are given with freedom of two
parameters c and as given in the Table 8.
Table 8. Changes of site occupations of D atoms at 24l sites for k=(0,0,0) and
9 representation
Atom positions 24l
Atom 1 : (0,057 0,312 0,573)
Atom 2 : (0,745 0,057 0,073)
Atom 3 : (0,688 0,745 0,573)
Atom 4 : (0,943 0,688 0,073)
Atom 5 : (0,255 0,943 0,573)
Atom 6 : (0,312 0,255 0,073)
Atom 7 : (0,943 0,255 0,427)
Atom 8 : (0,688 0,943 0,927)
Atom 9 : (0,745 0,688 0,427)
Atom 10: (0,057 0,745 0,927)
Atom 11: (0,312 0,057 0,427)
Atom 12: (0,255 0,312 0,927)
Atom 13: (0,943 0,688 0,427)
Atom 14: (0,255 0,943 0,927)
Atom 15: (0,312 0,255 0,427)
Atom 16: (0,057 0,312 0,927)
Atom 17: (0,745 0,057 0,427)
Atom 18: (0,688 0,745 0,927)
Atom 19: (0,057 0,745 0,573)
Atom 20: (0,312 0,057 0,073)
Atom 21: (0,255 0,312 0,573)
Atom 22: (0,943 0,255 0,073)
Atom 23: (0,688 0,943 0,573)
Atom 24: (0,745 0,688 0,073)

Change of site occupation Pi


2c cos()
2c cos(/3 + )
-2c cos(/3 )
-2c cos()
-2c cos(/3 + )
2c cos(/3 )
2c cos()
2c cos(/3 )
-2c cos(/3 + )
-2c cos()
-2c cos(/3 )
2c cos(/3 + )
2c cos()
2c cos(/3 + )
-2c cos(/3 )
-2c cos()
-2c cos(/3 + )
2c cos(/3 )
2c cos()
2c cos(/3 )
-2c cos(/3 + )
-2c cos()
-2c cos(/3 )
2c cos(/3 + )

As may be seen from the presented Table 8


P1 = P7 = P13 = P19 = 2c cos(),
P4 = P10 = P16 = P22 = -2c cos()
P2 = P12 = P14 = P24 = 2c cos(/3 + )
P3 = P11 = P15 = P23 = -2c cos(/3 )
P5 = P9 = P17 = P21 = -2c cos(/3 + )
P6 = P8 = P18 = P20 = 2c cos(/3 )

Application of Symmetry Analysis to Description of Ordered Structures

27

The monoclinic B112/m cell is twice as large as the corresponding hexagonal one and
contains 48 atom positions corresponding to 24l hexagonal positions. These positions are
splitted in B112/m on six nonequivalent Wyckoff sites-8j-1: (1, 7, 13, 19) and translated by
hexagonal (1, 1, 0) vector (monoclinic, centering vector (1/2, 0, 1/2)), 8j-2: (2, 12, 14, 24), 8j3: (3, 11, 15, 23), 8j-4: (4, 10, 16, 22), 8j-5: (5, 9, 17, 21) and 8j-6: (6, 8, 18, 20) all with
translations mentioned above. As may be seen this splitting is in full agreement with change
of sites occupation function.
For 12k positions and ordering of hydrogen the 9 representation is allowed only 1. The
coefficients of linear combination of basic vectors following to real quantity of function
describing the change of site occupation P are (dei, -de-i(/3 +)). As the result all P(ri) =
Pi in the elementary hexagonal cell are given with freedom of two parameters d and as
given in the second column of the Table 9. Because the 9 representation leads in phase
transition from P63/mmc parent group to monoclinic B112/m with set of parameters (cei,
cei), the phase = /3 gets the relation between the mixing coefficients, which fulfill both
conditions to be real and follow to B112/m group. By using this phase the Pi become as
given in the third column of the Table 9.
Table 9 Changes of site occupations of D atoms at 12k sites for k=(0,0,0) and
9 representation
Atomic positions 12k
Atom 1 : (0,455 0,910 0,640)
Atom 2 : (0,545 0,455 0,140)
Atom 3 : (0,090 0,545 0,640)
Atom 4 : (0,545 0,090 0,140)
Atom 5 : (0,455 0,545 0,640)
Atom 6 : (0,910 0,455 0,140)
Atom 7 : (0,545 0,455 0,360)
Atom 8 : (0,090 0,545 0,860)
Atom 9 : (0,545 0,090 0,360)
Atom 10: (0,455 0,545 0,860)
Atom 11: (0,910 0,455 0,360)
Atom 12: (0,455 0,910 0,860)

Changes of site occupations


Pi as functions of d and
2d cos()
2d cos(/3 + )
-2d cos(/3 )
-2d cos()
-2d cos(/3 + )
2d cos(/3 )
-2d cos(/3 + )
2d cos(/3 )
2d cos()
2d cos(/3 + )
-2d cos(/3 )
-2d cos()

Change of site occupation


Pi for = /3
d
-d
-2d
-d
d
2d
d
2d
d
-d
-2d
-d

Because the k = (0, 0, 0), no lattice translations change these quantities.


As may be seen from the Table 9 changes of site occupation Pi fulfill the relations:
P1= P5= P7= P9= d
P2= P4= P10= P12= -d
P3= P11= -2d
P6= P8= 2d
The monoclinic B112/m cell contains 24 atom positions corresponding to 12k hexagonal
positions. These positions are splitted in B112/m on four nonequivalent Wyckoff sites - 8j (1,
5, 7, 9) and translated by hexagonal (1,1,0) vector (monoclinic, centering vector (1/2, 0, 1/2)),

28

Wiesawa Sikora and Lucjan Pytlik

8j (2, 4, 10, 12), 4i (3, 11) and 4i (6, 8) all with translations mentioned above. As may be
seen this splitting similar as for 24l positions - is in full agreement with change of sites
occupation function.
For 6h positions the last type of Wyckoff positions occupied by hydrogen in hexagonal
Laves type compounds -the representation 9 is non-active , what means that over these
positions there are no ordering of hydrogen following to monoclinic B112/m symmetry.
The possible displacements of atom positions associated with change of sites occupations
following to monoclinic B112/m group should belong to the same k-vector and representation
k = (0,0,0) and IR 9.
From the symmetry analysis follows that the IR 9 is not allowed for 2a positions, what
means that these displacements of these positions dont accompany the hydrogen ordering
following to the B112/m group.
For 4f positions the symmetry analysis gives real quantities of displacements from linear
combination of 9 IR basis vectors, which occurs one time, with mixing coefficients C1=A ei,
C2=Ae-i(-/3). Then the displacements of atoms at 4f (presented in hexagonal setting) are as
given in the second column of the Table 10. The condition required for getting the symmetry
space group B112/m is C1=C2. It is fulfilled only for =/6. Then the displacements are as
indicated in the third column of the Table 10.
Table 10. Possible displacements of Mn atoms at 4f sites for k=(0,0,0) and 9
representation, accompanying the Deuterium ordering
Atom positions 4f

Atom 1 : (0,333 0,667 0,100)

Atom 2 : (0,667 0,333 0,600)

Atom 3 : (0,667 0,333 0,900)

Atom 4 : (0,333 0,667 0,400)

Displacements Ri as the
function of A and
R1x= 2A cos( /6)
R1y =2A cos( /2)
R1z =0
R2x =2A cos( /6)
R2y =2A cos( /2)
R2z =0
R3x = -2A cos( /6)
R3y = -2A cos( /2)
R3z =0
R4x = -2A cos( /6)
R4y= -2A cos( /2)
R4z =0

Displacements Ri as the
function of A and = /6
2A
A
0
2A
A
0
-2A
-A
0
-2A
-A
0

As may be seen from the Table R1 = R2 = -R3 = -R4 = (2A, A, 0) (in hexagonal setting). It
means that they are directed also along the x axis of monoclinic setting B112/m.
For displacements of atoms localized on 6h positions the 9 representation is allowed also
one time. The displacements may be getting as the real quantities from linear combination of
polar basic vectors of 9 with mixing coefficients, C1=-Ae-i(-/3), C2=A ei ,which follow to
the displacements along the z axis of hexagonal setting as given in the second column of the
Table 11. The condition required for getting the symmetry space group B112/m is the same as
for 4f positions. Then the displacements are as quoted in the third column of the Table 11.

Application of Symmetry Analysis to Description of Ordered Structures

29

Table 11. Possible displacements of Mn atoms at 6h sites for k=(0,0,0) and 9


representation, accompanying the Deuterium ordering
Atomic positions

Atom 1 : (0,100 0,200 0,250)

Atom 2 : (0,900 0,100 0,750)

Atom 3 : (0,800 0,900 0,250)

Atom 4 : (0,900 0,800 0,750)

Atom 5 : (0,100 0,900 0,250)

Atom 6 : (0,200 0,100 0,750)

Displacements Ri as functions
of A and
R1x =0
R1y =0
R1z = -2A cos (/3 )
R2x =0
R2y =0
R2z = -2A cos ()
R3x =0
R3y =0
R3z = -2A cos (/3 + )
R4x =0
R4y =0
R4z = 2A cos (/3 )
R5x =0
R5y =0
R5z =2A cos ()
R6x =0
R6y =0
R6z = 2A cos (/3 + )

Displacements Ri as the
function of A and = /6
0
0
A
0
0
-A
0
0
-2A
0
0
-A
0
0
A
0
0
2A

As may be seen the displacements (given in hexagonal setting) are:


R1 = -R4 = (0, 0, A)
R2 = -R5 = (0, 0, -A)
R3 = -R6 = (0, 0, -2A)
From the relation between hexagonal and monoclinic B112/m settings follows that
possible displacements of atoms at 6h positions are directed along y monoclinic axis.
Hexagonal 6h positions split on two monoclinic orbits. The atoms (1, 2, 4, 5) belong to 8j
monoclinic orbit and (3, 6) belong to 4i one- all with additional centering B112/m
translations. As may be seen the displacements of atoms 3 and 6 belonging to the second
monoclinic orbit are twice more than ones belonging to the first monoclinic orbit.
The magnetic ordering associated with change of sites occupations following to
monoclinic B112/m group should belong to the same k-vector and representation k = (0,0,0)
and IR 9.
The symmetry analysis gives real quantities of magnetic moments from linear
combination of IR basis vectors for this representation and 2a positions with mixing
coefficients C1 = Aei , C2 = -Ae-i(-/3). The condition required for getting the magnetic
symmetry group belonging to the family of B112/m space group is fulfilled for = /6. Then
C1 = -C2 = Aei/6. The resulting magnetic moments (presented in hexagonal setting) for
general and special are given in the Table 12.

30

Wiesawa Sikora and Lucjan Pytlik


Table 12. Possible magnetic moments of Mn atoms at 2a sites for k=(0,0,0) and 9
representation, accompanying the Deuterium ordering

Atomic positions

Atom 1 : (0,000 0,000 0,000)

Atom 2 : (0,000 0,000 0,500)

Magnetic moments as
functions of A and

M1x = 2A cos( /6)


M1y = 2A cos( /2)
0
M2x = 2A cos( /6)
M2y = 2A cos( /2)
0

Magnetic
moments as the
function of A
and = /6)
M1x =2A
M1y =A
M1z =0
M2x =2A
M2y =A
M2z =0

Magnetic
moments as the
function of A
and = -/3)
M1x =0
M1y =31/2 A
M1z =0
M2x =0
M2y =31/2 A
M2z =0

As may be seen the model presents the ferromagnetic ordering of magnetic moments
(2A,A,0),( what means, that the magnetic moments are directed along the x axis of
monoclinic setting) with the magnetic symmetry group B112/m. Another direction of
ferromagnetic moments (0, 31/2A, 0) (in hexagonal setting, what means, that the magnetic
moments are directed along the z axis of monoclinic setting)) is possible with coefficients C1
= C2 received for = -/3. It follows to the magnetic symmetry group B112/m.
The symmetry analysis gives the same results two models of ferromagnetic ordering of
R magnetic moments localized on 4f positions, in the same directions and with the same
magnetic symmetry groups as for 2a positions regarded above.
For magnetic moments localized on 6h positions the 9 representation is allowed three
times. The magnetic moments also may be received as the real quantities from linear
combination of basic vectors of first version, with mixing coefficients C1 = -C2 = Aei/6
(B112/m magnetic group). The second version with mixing coefficients D1 = -D2 = D and
the third version with mixing coefficients D1 = -D2 = -D together lead to the triangle type,
antiferromagnetic structure. Both types of models are given in the Table 13.
Table 13. Possible magnetic moments of Mn atoms at 6h sites for k=(0,0,0) and
9 representation, accompanying the Deuterium ordering
Atomic positions

Atom 1 : (0,100 0,200 0,250)

tom 2 : (0,900 0,100 0,750)

Atom 3 : (0,800 0,900 0,250)

Atom 4 : (0,900 0,800 0,750)

Magnetic moments
version I
M1x =A
M1y =0
M1z =0
M2x =A
M2y =A
M2z =0
M3x =0
M3y =0
M3z =0
M4x =A
M4y =0

Magnetic moments
version II + III
M1x = -D
M1y = D
M1z = 0
M2x = -D
M2y = -2D
M2z = 0
M3x = 2D
M3y = D
M3z = 0
M4x = -D
M4y = D

Application of Symmetry Analysis to Description of Ordered Structures


Atomic positions

Atom 5 : (0,100 0,900 0,250)

Atom 6 : (0,200 0,100 0,750)

Magnetic moments
version I
M4z =0
M5x =A
M5y =A
M5z =0
M6x =0
M6y =0
M6z =0

31

Magnetic moments
version II + III
M4z = 0
M5x = -D
M5y = -2D
M5z =0
M6x = 2D
M6y = D
M6z =0

Both models are in good agreement with splitting of 6h positions of P63/mmc group on
two orbits in the monoclinic B112/m. Positions 1,2,4 and 5 + (1/2,0,1/2) centring, monoclinic
translation follow to the 8j orbit and positions 3and 6 + (1/2,0,1/2) centring, monoclinic
translation follow to the 4i orbit. As may be seen, in the first model there are no moments on
the atoms localised on positions of the second orbit.

EXAMPLE 3: QUADRUPOLAR MOMENT TENSOR ORDERING IN UPD3


As the example the symmetry analysis of quadrupolar moment ordering of U atoms and
possible patterns of atomic displacements of the neighboring Pd atoms in the hexagonal UPd3
compound is given.This work had been presented in SSPCM in 2005 and published in the
proceedings of this conference [24].
The high-temperature structure of UPd3 - the parent structure - is described by the
hexagonal space group P63/mmc (D6h4) [25]. The atomic positions found from the diffraction
experiments are as follows: four uranium atoms are located in quasi-cubic 2a sites: U1(0,0,0),
U2(0,0,1/2) and hexagonal 2c sites: U3(1/3,2/3,1/4), U4(2/3,1/3,3/4) while the twelve
palladium atoms are located in 6h and 6g sites [29]. The experimental data from neutron and
X-ray diffraction, [26,27] as well as measurements of heat capacity, thermal expansion,
ultrasound attenuation [28], SR [29], magnetic susceptibility [30] indicate that a sequence of
phase transitions is encountered at temperatures T0=7.6K, T+1=6.9K, T-1=6.7K and T2=4.4K.
The analysis of diffraction data (neutrons, X-rays) indicates that below T0 various forms of
antiferroquadrupolar ordering are present, together with the accompanying structural changes,
and that some form of antiferroquadrupolar ordering coexists with antiferromagnetic ordering
below T2 [26, 30] The non-zero quadrupolar moments are found mainly for the U atoms
located in the quasi-cubic 2a sites. In the quadrupolar phase the ordering vector is found to be
k=(0.5,0,0) and principal axes of the quadrupolar moments coincide with orthorhombic
coordinate system axes. Below T+1 a deflection of the quadrupolar moments from the
coordinate system axes is observed [29].
Symmetry analysis of the quadrupolar ordering applied to the parent structure with the
P63/mmc symmetry group and U quadrupolar moments localized on 2a positions indicates,
that these positions belong to one orbit of the wave vector group G(k) for the ordering vector
k=(0.5,0,0). All irreducible representations for that k vector are real and one-dimensional. IRs that are potentially active in the quadrupolar phase transition are contained in the full
representation decomposition for U(2a) positions: 1 and 5 - five times each, 3 and 7 four
times each. It means, that we have five different basis vectors, which transform according to

32

Wiesawa Sikora and Lucjan Pytlik

the 1 representation, and which may be used in the linear combination, to produce a
quadrupolar structure solution leading to he final orthorhombic P mma symmetry,
corresponding to this representation. The similar situation occurs for 5, leading to
quadrupolar structure with the P nnm symmetry group, which differs from the 1 structure by
the sign of the QMT at the U2 site. For IR 3 we have four different basis vectors, which may
be used in the linear combination, leading to the structure with P nma symmetry group. The
same situation occurs for 7, leading to a structure for which the QMT signs at U2 sites are
opposite to the respective signs in 3 structure, and which exhibits the P bcn symmetry group.
The full representation decomposition for U(2c) positions contains: IR-s 1 and 8 - three
times each, and IR-s 2 ,3 ,4 ,5 6 and 7 two times each. The representations in QMT
ordering at U(2c), which are possibly present also for QMT ordering at U(2a) are: 1, 3 5,
and 7 . The BV functions calculated by the MODY program for P 63/mmc group are given in
the non-orthogonal, hexagonal setting. Therefore the linear combinations of basis vectors are
also calculated in the hexagonal system. For discussion of the minimal number of relevant
free parameters in the final solution, i.e. after applying the conditions imposed on the
coefficients of the linear combination and for drawing the shape of potential it is convenient
to transform these functions to the orthogonal system. Therefore for the discussion of
solutions the orthorhombic system is naturally chosen, in the setting related to the
orthorhombic cell of the structure after phase transition.
For U(2a) IR-s 1 and 5 the five unknown coefficients Cm (m=1,5) of the linear
combination in the hexagonal system are treated as free parameters (A,B,C,D,E). The
conditions imposed on the solution require that the parameters have to be related by the
following equations: A-B/2+E=0 and C=D. As can be seen from these equations two groups
of parameters may be regarded independently: (A,B,0,0,E) and (0,0,C,D,0). The same types of
QMT structures, which correspond to these two groups of parameters, are found for QMT
solutions at U(2c) sites, but in the 2c case the respective parameter sets are attributed to
different IR-s.
Table 14. The characteristic types of U(2a) QMT solutions for IR 1 and parameter set
(A,B,0,0,E), (valid also for U(2c) solutions for IR 8 and parameter set (A',B',E') )
Coefficie-nts
of linear
combinations

QMT matrix in hexagonal


setting Q(1)=Q(2)

A=-2Q
B=-2.5Q
E=0.75Q

0
2Q Q

0
.
25
0
Q
Q

0
0
0.75Q

0
0 Figure 2a
1.5Q

0
0
.
75
Q
0

0
0
0.75Q

[2 1 0]h
[0 1 0]h
[0 0 1]h

E=Q
B=2Q
E=0

0.5Q 0
Q

0
.
5
Q

0.5Q 0

0
0
0

0
0
0.75Q

0.75Q 0
0
0
0
0

[2 1 0]h
[0 1 0]h
[0 0 1]h

QMT matrix in
orthogonal setting
Q(1)=Q(2)

Angular
distribution
of

Directions of
principal axes

Figure 2b

The characteristic types of quadrupolar structures for these types of parameter sets are
given in the Table 14 and Table 15 correspondingly. The axis shown in boldface in the last
column denotes that QMT principal direction where deformation of spherical potential is

Application of Symmetry Analysis to Description of Ordered Structures

33

zero. The amplitude parameter Q changes only the amplitude of deformation, without
changing the type of potential shape or directions of QMT principal axes.
Table 15. The characteristic types of U(2a) QMT solutions for IR 1 and parameter set
(0,0,C,D,0) (valid also for U(2c) solutions for IR 5 and parameter set (C',D') )
Atom

U1 (0,0,0)
C=D=Q

QMT matrix in
hexagonal setting
Q(1)= -Q(2)

QMT matrix in orthogonal


setting
Q(1)= -Q(2)

0
Q 0
0
0


0
0.5Q 0
0
0

Q 0.5Q

0 3Q 2 0

Angular
distribution
of

Directions
principal axes

3Q 2 Figure 2c

[0 1 0]h [0 1 0]o
[1 0 1]o
[1 0 -1]o

As shown in Table 14, essentially different choices of A,B,E parameters, which all fulfill
the equation (4) condition, lead to quadrupolar orderings with QMT principal axes directed
along the other two axes of orthogonal system. The respective solutions at U(2a) for 5 are
different by the QMT sign at the U2 site. The same types of solutions are obtained for U(2c)
sites, but the one which corresponds to IR 5 and (A,B,0,0,E) at U(2a) is attributed to and
(A',B',E') at U(2c), while the one corresponding to 5 and (0,0,C,D,0) at U(2a) is attributed to
4 and (C',D') at U(2c).
For U(2a) QMT solutions for IR 3 and 7 the sets of four parameters (A',B',C' D') in the
hexagonal system, which fulfill the Eq.(4) conditions, have to be obey the following
equations: A'=C' and B'=D'. Now it can be seen that the following parameter sets may be
considered independently: (A',0,A',0) and (0,B',0,B').

Figure 2. The angular distributions of q and for IR 1 and the following parameter sets: a) (-2Q,2.5Q,0,0,0.75Q); b) (Q,2Q,0,0,0); c) ( 0,0,Q,Q,0).

34

Wiesawa Sikora and Lucjan Pytlik

Table 16. The characteristic types of U(2a) QMT solutions for IR 3, and parameter set
(A,B,A,B) (valid also for U(2c) QMT solutions for IR-s 6 and 7 ) and independent
parameter sets (A,0,A,0) and (0,B,0,B)
Coefficients of
linear
combinations

QMT matrix in
hexagonal setting

p=(A;B;A;B)
U(2a): 3
U(2c): 6+7

0 0
0 A


A A B 3A 2
0 B 0

0
0
0 A 0

3A 2
A A 0

0 0 0
0

p=(A;0;A;0)
Q(1)=Q(2)
U(2a): 3
U(2c): 6
p=(0;B;0;B)
Q(1)= -Q(2)
U(2a): 3
U(2c): 7

QMT matrix in
orthogonal setting

Angular
distribution of

q
Figure 3a
3A 2 0

0
B

B
0
Figure 3b
3A 2 0

0
0

0
0

0
0 0 0
0 0


0 0 B 0 0 B
0 B 0 0 B 0

Figure 3c

Direction
of
principal
axes
[k 0 l]o

[0 0 1]o
[1 -1 0]o
[1 1 0]o

[1 0 0]o
[0 1 1]o
[0 1 -1]o

Figure 3. The angular distribution of q and for 3 and sets of coefficients: a) (A,B,A,B); b)
(A,0,A,0); c) (0,B,0,B).

Also in this case the types of U(2a) QMT structures, which correspond to these two
groups of parameters, are similar to QMT solutions at U(2c) sites, but again in 2c both cases
are attributed to different IR-s. The characteristic types of QMT structures for these parameter
sets and for their combination (A',B',A',B') are given in the Table 16. The respective solutions
for IR 7 are different only by the QMT sign at the U2 site. The same type of solutions are

Application of Symmetry Analysis to Description of Ordered Structures

35

obtained for U(2c) sites, but the one corresponding to IR 7 and (A',0,A',0) at U(2a) sites is
attributed to IR 3.and (A',A') at U(2c), and the solution type which belongs to 7 and
(0,B',0,B') at U(2a) sites is attributed to 2 and (B',B') at U(2c) sites.
The symmetry analysis calculations carried out for different arms of the k-vector star
(k2=(0,0.5,0) and k3=(-0.5,0.5,0)) lead to quadrupolar structures, which are simply different
domain orientations of the structures proposed for the k1=(0.5,0,0) and described above.

SYMMETRY ANALYSIS OF THE ACCOMPANYING STRUCTURAL


DEFORMATIONS
The structural deformations, accompanying the quadrupolar ordering, should exhibit the
same final symmetry, i.e. they should be described by the same active IR-s. The
decomposition of reducible mechanical (crystal) representation carried out for U atoms
localized at 2a positions of P 63/mmc group, with the same k-vector as for quadrupolar
ordering indicates, that the IR-s active in these structural changes are 2,4,6 and 8. None of
them appears as representation possibly active in the quadrupolar ordering. It indicates, that
the displacements of U(2a) atoms are not directly associated with quadrupolar phase
transition. For U(2c) sites the possible active representations are 1,2,3 , but only 1 and 3
are shared with the quadrupolar ordering. The respective displacements of U(2c) atoms are
shown in Table 21.
Table 17. Splitting of 6(h) positions on two orbits in G(k), and corresponding IR-s active
in the structural deformations
Orbit
1

Atomic positions
(x,2x,0.25)
Pd2
(1-x,1-2x,0.75)

Active representations

Pd1
Pd3

(1-x,x,0.75)

Pd4

(x,1-x,0.25)

5 , 2 6 , 7 , 2 8

Pd5

(1-2x,1-x,0.25)

Pd6

(2x,x,0.75)

1 , 3 , 4 , 5 , 6 , 8

2 1 , 2 , 2 3 , 4 ,

Table 18. Splitting of 6(g) positions on two orbits in G(k), and corresponding IR-s active
in the structural deformations
Orbit
1

Atomic positions
Pd2
(0.5,0,0.5)

Active representations
3 1 , , 3 3 ,

Pd1

(0.5,0,0)

Pd3

(0.5,0.5,0)

Pd4

(0.5,0.5,0.5)

3 5 , 3 7

Pd5

(0,0.5,0)

Pd6

(0,0.5,0.5)

2 , 2 4 , 6 , 2 8

The atoms of Pd located at 6h and 6g positions in the parent UPd3 structure split into two
orbits in the G(k1) group. They are given in Table 17 and Table 18, together with
corresponding active IR-s. The active IR-s common for Pd displacements and quadrupolar
ordering are 1, 3, 5 and 7. Because these representations are real and one dimensional, the
BV-s calculated by the MODY program give directly the possible displacements of Pd atoms

36

Wiesawa Sikora and Lucjan Pytlik

leading to the structures with the symmetry groups discussed earlier for the quadrupolar
ordering. They are listed in the Tables 19 and 20.
Table 19. Possible displacements of Pd atoms at 6h sites for k=(1/2,0,0) accompanying
the quadrupolar ordering
IR

Version

Atom positions
Orbit 1

Orbit 2

Pd1

Pd2

Pd3

Pd4

Pd5

Pd6

(A,0,0)

(A,0,0)

(A,A,0)

(A,A,0)

(2C,C,0)

(2C,C,0)

(0,B,0)

(0,B,0)

(0,-B,0)

(0,-B,0)

(A,0,0)

(A,0,0)

(-A,-A,0)

(-A,-A,0)

(0,C,0)

(0,C,0)

(0,B,0)

(0,B,0)

(0,B,0)

(0,B,0)

(0,0,A)

(0,0,A)

(0,0,A)

(0,0,A)

(0,0,C)

(0,0,C)

(0,0,A)

(0,0,A)

(0,0,-A)

(0,0,-A)

Table 20. Possible displacements of Pd atoms at 6g sites for k=(1/2,0,0) accompanying


the quadrupolar ordering
IR

Version

Atom positions
Orbit 1

Orbit 2
Pd6

Pd1

Pd2

Pd3

Pd4

Pd5

(A,0,0)

(A,0,0)

(A,A,0)

(A,A,0)

non-related

(0,B,0)

(0,B,0)

(0,-B,0)

(0,-B,0)

(0,0,A)

(0,0,-A)

(0,0,A)

(0,0,-A)

(A,0,0)

(A,0,0)

(-A,-A,0)

(-A,-A,0)

(0,B,0)

(0,B,0)

(0,B,0)

(0,B,0)

(0,0,A)

(0,0,-A)

(0,0,-A)

(0,0,A)

(A,0,0)

(-A,0,0)

(A,A,0)

(-A,-A,0)

(0,B,0)

(0,-B,0)

(0,-B,0)

(0,B,0)

(0,0,A)

(0,0,A)

(0,0,A)

(0,0,A)

(A,0,0)

(-A,0,0)

(-A,-A,0)

(A,A,0)

(0,B,0)

(0,-B,0)

(0,B,0)

(0,-B,0)

(0,0,A)

(0,0,-A)

(0,0,A)

(0,0,-A)

non-related

non-related

non-related

Application of Symmetry Analysis to Description of Ordered Structures

37

Table 21. Possible displacements of uranium atoms in 2c positions for k=(0.5,0,0)


accompanying quadrupolar ordering with active IR-s , 2 and 3
IR

2
3

U3
(2A,A,0)
(0,A,0)
(0,0,A)

U4
(2A,A,0)
(0,A,0)
(0,0,A)

In UPd3 for U(2a) sites the experimental data are consistent with the model of
quadrupolar ordering described by 5, and the set of parameters given by p=(Q;2Q;0,0,0)
leading to the P nnm symmetry group. Such quadrupolar ordering may be accompanied by
displacements parallel to the z axis for Pd atoms at 6h sites, and parallel to the z axis or
located in the basal plane for Pd atoms at 6g sites (see Table 19 and Table 20). Magnitudes
and signs of displacements for atoms belonging to the first orbit are independent to the
magnitudes and signs of displacements of the atoms belonging to the second orbit. Within
each orbit in one hexagonal elementary cell the displacements are parallel. One of the
possible models of common quadrupolar and structural ordering in this temperature range is
shown in Figure 4.

Figure 4. One of the possible models of common quadrupolar and structural ordering for IR 5 ,
quadrupolar parameter set (Q,2Q,0,0,0) and independent amplitudes of atomic displacements for
various orbits of Pd atoms.

38

Wiesawa Sikora and Lucjan Pytlik

Below T+1=6.9K and T-1=6.7K temperatures further deviations of the QMT principal axes
directions are observed, leading to further symmetry reductions of AFQ ordering at U(2a)
sites, which are respectively described by (Qx 2 y 2 , Q yz ) and (Qx 2 y 2 , Q yz , Qzx ) quadrupolar
operators. It corresponds to the symmetry analysis result described by the 3 IR, with the set
of parameters given by p=(0,B,0,B). The addition of emergence of 3 solution leads to the
rotation of the 5 QMT shape along the orthorhombic x axis (Q1 and Q2 in antiphase) and
change of the QMT shape. Next the 1 solution is added, with the set of parameters given by
p=(0,0,Q',Q',0), leading to the rotation of the 5 QMT shape along the y axis (Q1 and Q2 also
in antiphase) and further change of the QMT shape. Such quadrupolar ordering may be also
accompanied by additional displacements of Pd atoms in the basal plane at 6h and 6g sites,
which are given in the Table 19 and 20. Below T1 the possible ( Q zx ) deviations at U(2c)
sites [26] correspond to the 5 IR and parameter set p'=(C',C') The resulting type of structure
belongs to the monoclinic symmetry. The last stage described above (for T<T-1) is probably
not a valid description of the situation in UPd3 as the experimental data [30] strongly indicate,
that a triple-q phase is formed below T-1 temperature in a discontinuous phase transition.

REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
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G.T. Rado, H. Suhl, Treatise on Magnetism, vol. 3, Chapt. 4 by E. F. Bertaut ,
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E.F. Bertaut, J. Phys., 32 C1 (1971) 462.
Yu. A. Izyumov, V. E. Naish, R. P. Ozerov, Neutron Diffraction of Magnetic Materials,
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Yu.A. Izyumov, V.N. Syromyatnikov, Phase Transitions and Crystal Symmetry,
Dordrecht: Kluwer Academic Publishers, 1990, Chapt. 2.
W.Sikora, F.Biaas and L.Pytlik, J. Appl. Cryst. 37 (2004) 1015-1019. Program
available from: http://novell.ftj.agh.edu.pl/sikora/mody.htm
bilbao crystallographic server http://www.cryst.ehu.es
C.Capillas , E.Kroumova, M.I.Aroyo, J.M.Perez-Mato, H.T.Stokes and D.M.Hatch, J.
Appl. Cryst., 36 (2003) 953-954. Program available from: http://www.physics.byu.edu
/~stokesh/isotropy.html
A.S.Wills, Physica B, 276 (2000), 680. Program available from:
ftp://ftp.ill.fr/pub/dif/sarah
J.Rodrigues-Carvajal,
BasIreps.
Program
available
from:
http://www.ccp14.ac.uk/ccp/ccp14/ftp-mirror/fullprof/pub/divers/BasIreps/
W. Sikora, L. Pytlik, F. Biaas , J. Malinowski J. Alloys Compd. 442 (2007), 61-69
doi:10.1016/j.jallcom.2006.08.345.
W. Sikora ,J. Malinowski, H. Figiel Symmetry analysis of hydrogen related structural
transformations in laves phase intermetallic compounds, J. Alloys Compd. 446-447
(2007), 423-428 doi:10.1016/j.jallcom.2006.12.092.

Application of Symmetry Analysis to Description of Ordered Structures

39

[15] W. Sikora, A. Budziak, H. Figiel, B. Ouladiaf Calculated and experimental structure


of ErMn2D2 hydride, International Symposium on Metal-Hydrogen Systems MH 2008,
June 24-28, 2008, Reykjavik, Iceland
http://nsm.raunvis.hi.is/~nsm/abstracts/F4-CrystStrTransf%2048/Oralrequest/sikora@novell.ftj.agh.edu.pdf
[16] P.Fischer, V. Pomjakushin, L.Keller, A. Daoud-Aladine, W.Sikora, A. Domman and F.
Hulliger, Antiferromagnetic three-sublattice Tb ordering in Tb14Ag51, Phys. Rev. B
72, 134413, (2005).
[17] E.Wawrzyska, S.Baran, J.Leciejewicz, W.Sikora, N.Stusser, A.Szytua; "Magnetic
Structures of R3Mn4Sn (R=La, Pr i Nd), J. Phys. Condens. Matter 15, (2003), 803-814.
[18] S.Baran, M.Baanda, P.Fischer, W.Sikora, A.Szytua: "Magnetic phase transitions in
TbRhSn"; J.M.M.M., 261, (2003), 369-376.
[19] E. Wawrzyskaa # J. Hernandez-Velascob B. Penca W. Sikorac A. Szytuaa A. Zygmuntd
Magnetic Structures of R3Cu4Sn4 (R =Tb, Dy, Ho and Er), J. Phys. Condens. Matter
15, (2003), 5279-5296.
[20] A.Gil, A.Ole, W.Sikora, A.Szytua, Neutron diffraction studt of PrMn0.5Sn1.83 J. of
Alloys and Compounds, 360, (2003), 21-23.
[21] D.Jackson, Classical Electrodynamics, Chapter 4, John Wiley and Sons, Inc., 1975.
[22] Sikora W, Bialas F, L.Pytlik, J.Malinowski, Solid State Sciences 7 (2005) 645-655
(Tensor_Vis
program
available
at:
http://novell.ftj.agh.edu.pl/~malinowski
/opis/Tensor_Vis_en.html).
[23] J.P.Maehlen, V.A.Yartys and A.B.Riabov, H.Figiel, A.Budziak J. Alloys Compd.437,
(2007), 140 - 145]
[24] W.Sikora. F.Biaas, L.Pytlik, J. Malinowski; Symmetry analysis of the quadrupolar
and structural ordering in single-q phases of UPd3, Journal of Physics: Conference
Series 30, (2006), pp. 237-248.
[25] Heathman S et al. (2003) Phys.Rev B 67 180101-1 - 180101-4.
[26] McEwen K A, Steigenberger U, Clausen K N, Kulda J, Park J-G, Walker M B 1998 J.
Magn.Magn.Mat. 177-181 37.
[27] McMorrow D F, McEwen K A, Steigenberger U, Ronnow H M, Yakhou F (2001)
Phys.Rev.Lett. 87 057201.
[28] Lingg N, Maurer D, Mueller V, McEwen K A (1999) Phys.Rev.B 60 R8430.
[29] Schenck A, Gynax F N, McEwen K A (2002) J. Phys.: Condensed Matter 14 4595.
[30] McEwen K A, Park J-G, Gipson A J, Gehring G A (2003) J. Phys.: Condensed Matter
15 S1923.

In: Group Theory


Editor: Charles W. Danellis, pp. 41-82

ISBN 978-1-60876-175-3
2010 Nova Science Publishers, Inc.

Chapter 2

HIGHER ALGEBRAIC K THEORY OF


G REPRESENTATIONS FOR THE ACTIONS OF FINITE
AND ALGEBRAIC GROUPS G
Aderemi Kuku
Department of mathematics and computer Science,
Grambling State University, Grambling, LA 71245

INTRODUCTION
The subject of K theory of grouprings RG, (R a commutative ring with identity, G a
group) was recognized since its classical days as belonging to Group representation theory.
Indeed, when R is a field F, say of characteristic zero, G a finite group, P (F) the category
of finite dimensional vector spaces over F, and P ( F )G the category of representations of G in
P (F), then the Grothendieck of P ( F )G , K 0 (P ( F )G ) coincides with the Abelian group of

generalized characters x: G F. ( See [6], [39]). If we denote by M(F) the category of


finitely generated F modules, then P (F) = M (F) since a vector space, by definition, is just
a module over F and a finite dimensional vector space over field F is just a finitely generated
F module. Hence, K 0 (P ( F )G ) K 0 (M( F )G ) . Now P ( F )G = M( F )G can be identified
with

the

so K 0 (P ( F )G )

category

M( FG ) of

K 0 (M( F )G )

finitely

generated

FG

modules

and

K 0 (M( FG )) , where K 0 (M( FG )) is usually denoted

by G0 ( FG ) , a K group of the group algebra FG.


Now let G be an algebraic group over a field F, H a subgroup of G, and G/H a
homogeneous G space which is usually a quasi projective variety. If X is any G space (
a G variety or G scheme) and we denote by VBG ( X ) the categories of (algebraic) G
vector bundles on X, then there is an equivalence of categories between the category
P ( F ) H of representations of H in P (F) and the category VBG (G H ) of algebraic G

Aderemi Kuku

42

vector
bundles
on
G/H.
Hence K 0 (M( F ) H ) = K 0 (P ( F ) H ) = K 0 (VBG (G H )) .

We

(See
denote

the

[55]).
group

K 0 (VBG (G H )) by K 0G (G H ) . For a G scheme X, we denote K 0 (VBG ( X )) by


K 0G ( X )
Note that for any scheme X, (no G action), the category P(X) of locally free sheaves
of OX -modules, and VB(X) the category of algebraic vector bundles on X are equivalent and
P(X), VB(X) and P(F) are examples of (ordinary) exact categories. More over, if X is a G

space, G an algebraic group, the category of G modules that are locally free OX -modules
(see [14] [50]), then P (G, X) is equivalent to VBG ( X ) and P (G, X), VBG ( X ) and

P ( F )G are examples of equivariant exact categories. Our aim in this article is to present
computations of K n of the various equivariant exact categories specified in chapter I of this
article.
Now observe that any vector space V P(F) is free and hence projective and so, for any
ring R with identity, the category P (R)of finitely generated projective R modules is a
natural generalization of P(F) since P(R) = P(F) when R = F. If we write M(R) for the
category of finitely generated R modules, then the categories P ( R )G , (resp M( R)G )
makes sense. Indeed the category CG of representations of G in arbitrary category C makes
sense. (see [39]). Now, when R is commutative and G is finite P ( R )G can be identified with
the category PR ( RG ) of RG lattices i.e. RG modules that are finitely generated and Rprojective. Again P(R), M(R) are examples of (ordinary) exact categories yielding (ordinary)
higher K groups K n (M( R )) := Gn ( R ) and K n (P ( R )) := K n ( R ) while M( R)G , P ( R )G
are

examples

K n (M( R)G )

of

categories yielding higher K groups


K n (M( RG ) := Gn ( RG ) and
K n (P ( R)G ) K n (PR ( RG ) := Gn ( R, G ) .

When R is the ring

equivariant

exact

, , P , P or more generally the ring of integers R ( resp P ) in

number field F (resp

FP where P is a prime ideal of R), computations of

K n ( RG ) , Gn ( RG ) , K n ( R P G ) , Gn ( R P G ) n 0 belong to the realm of integral


representation theory and we present computations of these groups copiously in section 1 of
chapter III.
Here is a brief outline of the contents of this article. As already remarked, the theme of
the article is to present computations of higher K - theory of various examples of equivariant
exact categories given in chapter I for the actions of finite and algebraic groups. In chapter II,
we introduce higher algebraic K theory of ordinary as well as equivariant exact categories
with capious examples for the actions of finite and algebraic groups. In section 2 of chapter II,
we discuss induction techniques for higher K theory by realizing equivariant higher K
theory as Mackey functors yielding some explicit results on higher K theory of grouprings.
Chapter III is devoted to presenting explicit computations of higher K theory (including

Higher Algebraic K Theory of G Representations

43

profinite higher K theory) of the various examples of equivariant exact categories


encountered in chapter I and II for the action of finite and algebraic groups.
Time and space prevented us from discussing actions of other groups e.g. profinite
groups, compact Lie groups as well as group actions on objects of other categories e.g.
Waldhausen and symmetric monoidal categories. However, interested readers could see [39]
for more information.

CHAPTER I. EQUIVARIANT EXACT CATEGORIES


We shall in this article focus on exact categories which already yield many examples,
even though analogous constructions and results can be obtained for other categories e.g.
symmetric monoidal categories and Waldhausen categories (See [39].)

Section 1. Exact Categories and Some Relevant Examples


1.1. Definition
An exact category is a small additive category C embeddable as a full subcategory of an
Abelian category A such that C is equipped with a class E of short exact sequences 0
MMM 0 (1) satisfying
(1) E is the class of sequences (1) in C that are exact in A.
(2) C is closed under extensions in A. that is, if (1) is an exact sequence in A, and M,
M ob(C), then Mob(C).

1.2. Examples
1.2.1. Let A be any ring with identity. Then P (A), the category of finitely generated
projective A-modules is an exact category. We shall be interested in A = RG where R is a
Dedekind domain with quotient field F (e.g. R = ring of integers in a number field or p-adic
field). More generally, A could be an R- order in a semi simple F algebra (see [6].
[39])
If A = RG, we shall also be interested in the group ( RG ) [T ] = RV where V=G | T

G a finite group, and the action of the infinite cyclic group T = < t > on G is given by

( g ) = tgt 1 for all g G. Note that V is called a virtually infinite cyclic group. These

groups are important in the context of Farrell Jones conjecture in K-theory (see [39])
1.2.2. Let A be a Noetherian ring. Then M (A) the category of finitely generated A modules. is an exact category.

1.2.3. Let X be a scheme. Recall that X is a ringed space ( X,OX ) where X is covered by

open sets U i such that U i ,O XUi is an affine scheme (see [14]). Then P(X), the category

Aderemi Kuku

44

of locally free sheaves of O X -modules is exact. Note that this category is identified as the
category of sheaves of sections of the algebraic vector bundles on X (where an algebraic
vector bundle is a scheme morphism : E X together with maps E x E E ; :

A1

E E , satisfying axioms similar to those of topological vector bundles, together

Spec ( )

with local triviality, that is there exists an open covering X= U of X together with
isomorphism. E | U

1 (U ) AUn See [14]. As such, P (X) is equivalent to the

category VB(X) of algebraic vector bundles on X.


Note that if X = Spec (R) where R is a commutative ring with identity, then we have an

equivalence of categories P ( X )

P ( X ) : E (X, E) = {R-module of global sections}

with inverse equivalence P(R) P(X) given by P P : U O X ( U ) R P . (See [14] or


[36])
1.2.4. Let X be a Neoetherian scheme. Then M(X), the category of coherent sheaves of
O -modules is an exact category. Note also that if X = Spec (R) where R is a commutative
X

ring with identity then we have an equivalence of categories M(X)

M(R) (see [14] or [65])

1.2.5. Let X be a compact space, F = or . Then the category of finite dimensional

topological F-vector bundles over X is an exact category denoted by VBF ( X ) ( See [36]).

Section 2. Equivariant Exact Categories for the Action of Finite Groups


2.1. Category of G- Representations
2.1.1. Let G be a finite group, C an exact category. A representation of G in C is a pair

(X,), X obC and : G Aut(X) where Aut(X) is the group of C- automorphisms of X.


The representations of G in C also form a category which we denote by CG where for (X,),
(X,) ob CG , a CG morphism (X,)(X,) consists of a C-morphism : X X
such that for each g G, the diagram

Commutes

Higher Algebraic K Theory of G Representations

45

2.2. Examples
2.2.1. Let F be a field and P (F) the category of finite dimensional vector spaces over F
an exact category. If : G Aut(V) (VP(F)) is a representation of G in P(F), then there is

a unique way of extending to a representation of FG with representation space V ( that is

( ag g ) = ag ( g ) ) where a g F. Conversely, every representation of FG, when

restricted to G yields a representation of G. Hence, there is a one one correspondence


between representations of G in P (F) and the category M(FG) of finitely generated FG-

modules. This in fact presents the first connection between K-theory of P ( F )G and K-theory

of the group algebra FG as we shall see in II, section 1. More precisely

K 0 (P ( F )G

K 0 ( M ( FG ) ) G 0 ( FG ) can be identified with the abelian group of

generalized F-characters of G (See [6]). We shall sometimes just refer to a representation of G


as a G module.
2.2.2. Let R be a commutative ring with identity and G a finite group. The category
PR ( RG ) of RG -lattices (i.e. RG -modules that are finitely generated and projective as Rmodules) is the category of representations of G in P(R) i.e. PR ( RG )
when R is a field F, we recover P ( F )G

P ( R)G . Note that

M( FG ) . We shall denote K 0 (PR ( RG )) by

G0 ( R, G ) .
2.3. G-Representations as Functor Categories
In this sub-section, we indicate how to realize the category CG of G-representations as
functor categories which will be useful in various other contexts.
2.3.1. Let G be a finite group. We can regard G as a category G with one object and
whose morphisms are elements of G.
Let [ G ,C] be the category of covariant functors from G to C. Then [G,C ] is an exact
category (see [39]).
2.3.2. As a generalization of the situation in 2.3.1, let S be a (finite) G-set. We can
associate to S a category
S as follows: ob( S ) = elements of S.

Hom S ( s, t ) = {( g , s )g S , gs = t} . Composition of morphisms is defined by

( h, t ) o ( g , s ) = ( hg , s ) and the identity morphism S S is (e, s) where e is the identity of


G. Call S the translation category of S. Note that S can be written as disjoint union of G-sets
of the form G/H where H is a sub group of G. See [39] or [27] or [8])
2.3.3. Let S be as in 2.3.2, C an exact category, [ S , C] the category of covariant
functors : S C. Define a sequence 0 0 to be exact in [ S , C] if

for each s S, 0 (s) (s) (s) 0 is exact in C.


One easily checks that [ S , C] is an exact category (see [39]).

Aderemi Kuku

46

CG

If S = G/G, then [ G G , C]

Hence if F is field G G , P ( F )

If R is commutative ring with identity then G G , M( R )

M ( FG )

P ( F )G

M( R ) G

M ( RG )

where M ( RG ) is the category of finitely generated RGmodules If S = G/H, then

[G

H , M( R)] M( RH ) (see [39])

If R is commutative ring with identity, then G G , P ( R )

P ( R )G

generated

PR ( RG )

where PR ( RG ) is the category of RG- lattices i.e.: RG modules that are finitely

[G

and

projective

H , P ( R)] P ( R) H

over

R.

If

PR ( RH ) Note also that [ G H ,C ]

G/H,

then

[ H H ,C] . for

any category C (See [39])

It is also desirable to understand the category P ( RG ) of finitely generated


projective RG-modules also as a category of representations as we have done for

M ( RG ) and PR ( RG ) . We do this 2.4 below.

2.4. Relative G- Representations as Functor Categories

The aim of this subsection is to realize the category P ( RG ) of finitely generated

projective RG-modules as functor categories This is done by first discussing the relative
version of 2.3 and interpreting this situation in terms of groupings ( see 2.4.3 below)
2.4.1. Definition. Let S, T be G-sets. Then the projection map : S x T S induces a
functor

: S T S . If C is an exact category, and [ S , C], we write

= o : S T S C , Then, a sequence 1 2 3 of functors in [ S , C] is said


to be T-exact if the sequence ' ' ' of restricted functors S T S C is split
1
2
3

[ S , C] , as follows ob T [ S , C] = ob [ S , C] .
T
Exact sequences in [ S , C ] are T-exact sequences in [ S , C ] .

exact. We now define a new exact category

2.4.2. Let S = G/H, H G, R a commutative ring with identity, T a G- set. Then a

sequence of functors

T- exact if
where T

H'

1 ( ) 2 ( ) 3 ( )

in [G H , M( R )] (resp G H , P ( R ) is said to be

is RH - split exact for all H H such that T

= {tTgt = t for all g H}. Recall that G H , M( R )

H'

M ( RH ) and

G H , P ( R ) = PR ( RH ) . Hence the sequence is G/H exact (resp G/G exact) iff the
corresponding sequence of RH modules (resp RG modules) is split exact. If e is the trivial
subgroup of G, then the sequence is G/e exact if it is split exact as a sequence of R-modules.

Higher Algebraic K Theory of G Representations

47

G H , P ( R ) (resp T G H , M( R ) ) is the exact category of M PR ( RH )

(resp M M ( RH ) ) with respect to exact sequence that split when restricted to various
So,

subgroups H of H such that T

H'

Definition 2.4.3. Let S, T be G-sets , C an exact category. A functor [ S , C ] is said to

be T-projective if any T-exact sequence

is split exact . Let [ S , C ]T be the

additive category of T-projective functors in [ S , C ] considered as an exact category with


respect to split exact sequences .
If S = G/H, C = P ( R ) T= G/e then G H , P ( R )

G e

P ( RH )

Section 3. Equvariant Exact Categories for the Actions of Algebraic Groups


In this section, we shall be concerned with actions of algebraic groups on P(X) (resp
M(X)), the exact category of locally free (resp coherent) sheaves of O

- modules where X

is a G - scheme. We shall also consider actions of G on various ramifications of P(X) and


M(X) that we shall define below. While the meaning of group- action on objects of an exact
category as discussed in section 2 is also valid here, the notations in section 2 would be rather
cumbersome especially for various ramifications of the exact categories P(X), M(X) and so
we adopt notations originally due to R- Thomason(see [72]).

3.1. Some Generalities on Algebraic Groups


3.1.1. Definition. A (linear) algebraic group over a field F is an affine F-variety together
1
with F- morphisms G x G G: (x, y) x y (multiplication); G G : x x (inversion)
such that the usual group axioms are satisfied and such that the unit element 1 is F rational.
We sometimes write G (F) for G and also call it an affine algebraic group. It follows from this
definition that G (F) is an algebraic group for any extension field F of F. We also denote G
(F) by G F ' . We shall often omit the word linear and just call G an algebraic group or
F

call G an F-group.
Note that every algebraic group G can be embedded as a closed F-subgroup of some

GLn ( F )
3.1.2. Examples.

(1) GLn ( F ) = ( x, y ) F n

( )

+1

det( xi j ) y = 1

( )

(2) SLn ( F ) = { xij GLn ( F )det xij 1 = 0}


(3) The additive group Ga is defined by Ga (K) =K

Aderemi Kuku

48
(4) The

multiplicative

Gm ( F ) = ( x, y ) F

group

is

given

by

Gm = GL1

i.e.

x. y = 1

(5) The symplectic group Sp2n ( F ) is defined by Sp2 n ( F ) = {x GL2 n ( F ) xJx = J


t

0
In

In
GL2 n ( F )
0

where J =

(6) Let q be a regular quadratic form on an n-dimensional vector space V over a field F.
Then its associated bilinear form is < x, y > = q ( x + y ) q ( x ) q ( y ) for

x, y V.
If {e1....en } is a basis of V, the form
matrix

A=

( e ,e )
i

i . j =1... n

by Oq ( F ) = x GLn ( F )

GLn ( F ) .

Then the orthogonal group of q is defined

} while the special orthogonal group of q


xAx A = 0, det x 1 = 0}

xAx t A = 0

defined by SOq ( F ) = x GLn ( F )

q is represented by the symmetric

is

3.1.3. Note that an algebraic group is said to be connected (resp irreducible) if it is


connected (resp irreducible) as a variety. The connected component of G containing the
identity is called its 1-component and denoted by G0 . G0 has finite index in G.
For example GLn , SLn , SOq , Sp2 n ( F ) , Ga , Gm are all connected. The 1-connected
component of Oq is SOq
3.1.4. An algebraic group G is said to be unipotent if any x in G is unipotent. If we
regard G as a matrix group, this means that x 1n is nilpotent i.e. the only eigenvalue of x is
1.
G is said to be solvable if G is solvable as an abstract group. In particular, unipotent
groups are solvable.
The radical r(G) (resp unipotent radical ru (G ) ) of G is the unique maximal closed
connected solvable (resp unipotent) normal subgroup of G. We have ru (G ) r (G ) and

ru (G ) = r (G )u . G is said to be reductive (resp semi-simple) if ru (G ) = {e} (resp


r (G ) = {e} )
3.1.5. (a) We also have the concepts of quotients. If H is a closed subgroup of G, there is
an essentially unique quotient F-variety G/H which is an algebraic group if H is normal. As a
variety G/H is not necessary affine (see [64]). We next introduce the notion of homogeneous
space. (b) Let G be an algebraic group. X an algebraic variety. An action of G on X is a
morphism G x X X: (g, x ) g x such that

Higher Algebraic K Theory of G Representations

49

(a) g (h x ) = (g h)( x ) for all g, h G, x X


(b) e x = x for all x X. X, equipped with a G-action is called a G variety or Gspace. If X is a scheme, call X a G-scheme.
(c) A homogeneous space for G is a G-space X on which G acts transitively i.e. there
exists only one G-orbit. In this case, all the isotropy groups (stabilizers) Gx , x X
are conjugate in G. If we fix a point x0 X and H = Gx 0 G , we have a bijection

X G H : gx0 gH
Thus, if H is closed subgroup of G, a quotient of G by H is a pair ( X , x0 ) , x0 X with
isotropy group H = Gx0 such that the following universal property holds. For any pair

(Y , y0 ) consisting of homogeneous space Y for G and y0 Y, such that Gy


exists a unique G-morphism : X Y such that ( x0 ) = y0 .
Note that X

H , there

G H is usually a quasi-projective variety.

3.1.6. (a) An algebraic group T over F is called an F-torus if over some algebraic field
extension F over F, T F ' Gm is a (finite) product of multiplicative groups Gm
F

In particular T F Fs = Gm for a separable closure Fs of F. We shall also sometimes


write Fsep for separable closure of F. (b) An F-torus T is said to be split if T

Gm over F.

Say that T is anisotropic if it does not contain any split subtorus (see [64]) For example

x
T ( ) =
y

2
2
SL2 ( ) x + y = 1 is an anisotropie torus since it is compact and
x

(c) Let T be an F-torus, and Fs a separable closure of F.


hence cannot be isomorphic to
Then the Abelian group of characters X ( T ) = HomFs (T , Gm ) is a module over the Galois
group = Gal ( Fs / F ) .
Note:
(1) X(T) is free Abelian group and T splits if and only if operates trivially on X(T)

(2) T is a anisotropic iff X (T ) = {0}

(3) There exists a unique maximal anisotropic F-sub torus Ta of T and Ta .Ts = T and

Ta Ts is finite (see [64]) where Ts is a unique maximal split K-subtorus of T


(d) 1) A torus is connected and Abelian and hence solvable and all its elements are semi
simple. Conversely if G is connected Abelian algebraic group, all of whose elements are semi
simple, then G is torus
2) The set of closed tori in G, ordered by inclusion, has a maximal element a maximal
torus. The maximal tori are all conjugate and lie in G0 . Hence we may assume that G is
connected

Aderemi Kuku

50

(e) If G = GLn , the F-subgroup T of diagonal matrices is a maximal torus in G


3.1.7. Let G be a connected F-group. A maximal connected solvable F-subgroup of G is
called a Borel subgroup of G and usually denoted by B
An F-subgroup of G is called a parabolic subgroup if it contains a Borel subgroup.
It is usual to denote a parabolic subgroup by P.
If G = GLn , then the F-subgroup B of upper triangular matrices is a Borel subgroup of G
Note:
(1) Every maximal torus is connected and solvable and hence is contained in some Borel
subgroup.

(2) All Borel subgroups in G are conjugate over F . Every element of G is contained in
such a group.
(3) Let P be a closed F-subgroup of G. The quotient G/P is projective iff P is parabolic.
If P is a parabolic subgroup of C, then it is connected and equal to its own normalizer
in G (i.e. P = NG ( P ) )

(4) If P,Q are two parabolic subgroups of G, and if they are conjugate then P = Q
3.1.8. Let G, G be F-groups. An F-morphism : GG is called an isogeny if ker is

finite and is surjective over F (This means that G,G are of the same dimension). An
isogeny is central if ker centre of G. Two F-groups G, H are said to be strictly
isogeneous if there exists an F-group G and central isogenies : GG and : G H
A semi-simple F-group G is simply connected if there is no proper isogeny G G with
a semi-simple F-group G. G is adjoint if its centre is trivial.
3.1.9. (a) A connected solvable F-group G is called split if there exist a series of
subgroups Gi +1 Gi ... such that Gi Gi +1 is isomorphic to either Ga or Gm for

i = 0,1,...., n 1 .

A reductive F-group G is called split if it has a maximal torus which splits over F
A reductive group G over F is called quasi-split if it has a Borel subgroup defined
over F
(b) Let G, H, be algebraic groups over F G is called a twisted form of H if Gsep and H sep

are isomorphic ova Fsep where Fsep is the separable closure of F.

3.2. Representations of G in P (F)


3.2.1. Let G an F - group, P(F) the category of finite-dimensional vector spaces over F,

P ( F )G or RepF ( G ) the category of representations of G in P(F). Recall from section 2 that

objects of P ( F )G are of the form (V, : G Aut(V)) where V P(F)


3.2.2. Now, for any G-scheme X, Let VBG ( X ) be the category of G-equivariant

(algebraic) vector bundles or X. This category is also denoted by P(G, X) (see 3.3.2)
Let H be a closed subgroup of G and X the homogeneous space G/H.
Then we have an equivalence of categories

Higher Algebraic K Theory of G Representations

51

ind

VBG (G / H )
Re pF ( H )
res

where ind and res are defined as follows:

res: For any vector bundle E


G H , p (e ) Re p F ( H ) ( where e =eH=H)
P

since the stabilizer of H in G/H = e .

ind: Let ( V, : H Aut(V)) Re pF ( H ) . Then, one has a vector bundle


(G x V) / H G/H where H acts on
[64]. We denote (G x V)/H by V% . Here

( G V ) / H by ( g , V ) h = ( g h, h 1V ) , see

(h 1 )V .

3.2.3. Let G% be a semi-simple connected and simply connected, F-split algebraic group

% containing the torus T% . The factor


over a fiel F. Let P% G% be a parabolic subgroup of G
variety F = G% P% is smooth and projective (see [64], [65]). Call F = G% P% a flag variety.

( )

% , W: = N % (T% ) / T% the Wey1 group of


be the normalizer of T% in G
G

Let N G% T%

G a finite group. Let WP := {w W wPw1 = P} . Put s(F) = W : WP% .


% and Z% * = Hom ( Z% , G ) the group of characters of Z% .
Let Z% be the center of G
m
*
Note that Z% is a finite group.

Let

( )

Z% and Re pG P%
X

( )

those V Re pF P%

( )

be the full subcategory of Re pF P% consisting of

such that Z% acts on V by the character X . The F-group

scheme Z% acts on V by the charater X and hence on every V% = (G% V ) / P%

VBG% ( F ) See 3.2.2 above.

We write VBG% ( F, X ) for the full subcategory of VBG% ( F ) consisting of V% such


that Z% acts on every fibre of V% by the character X

3.3. G- Modules on G-spaces X


3.3.1. Let G be an F-group and X a G-scheme with G-action on X given by

: G X X , ( g , x ) gx . Let p2 : G X X : ( g , x ) x be the projection onto

X, M(X) the category of coherent O


coherent O

-modules. Then a coherent G-module on X is a

-module F together with an isomorphism : *F

X
modules on G X .

p2*F of O
G X

3.3.2. Let M (G, X) be the category of coherent G-modules that are coherent as O

modules. Then M (G, X) is an Abelian category (which is also exact).

Aderemi Kuku

52

Let P (G, X) be the subcategory of those coherent modules that are vector bundles on X
(i.e. locally free sheaves of O

-modules. Then P (G, X) is an exact category and P2* , * :

P(X) P(G, X) are exact functors where P(X) is the category of locally free sheaves of

O -modules (or equivalently vector bundles on X)


X
3.3.3. We have the following elaborations on the situation in 3.3.2. (a) Let A be a finite
dimensional separable F-algebra, G an algebraic F-group and X a G-scheme. A G-A-module
over a G-scheme X is a G-module M which is also a left A F OX -module such that

g ( am) = ga gm for g G, m M. (b) Let M(G, X, A) be the category whose objects are
G-A-modules over X and whose morphisms are A F OX - and G-module morphism. Then,
M (G, X, A) is an Abelian category.

Let P (G, X, A) be the full subcategory of M (G,X,A) consisting of locally free OAO X

module. Then P (G, X, A) is an exact category.

CHAPTER II. HIGHER K-THEORY OF EQUIVARIANT EXACT


CATEGORIES DEFINITIONS, EXAMPLES, AND SOME RESULTS
Section 1. Brief Review of K n (C) , n 0, C an Exact Category
In this section, we provide definitions and relevant examples of higher K-theory of exact
categories C (including equivariant exact categories), thus developing notations for later use
in the envisaged results.

1.1. Definition of K n (C)


1.1.1. Definition Let be category defined as follows: ob(): = { n ={0 < 1< < n}}

Hom (m, n ) = {monotonic maps f , m n i.e., f ( i ) f ( j ) for i < j }. For any category
A, a simplical object in A is a contravariant functor X: A. Write X n for X ( n ) A

cosimplical object in A is a covariant functor X: A.

Equivalently, one could define a simplical object in a category A as a set of objects

X n (n0) in A and a set of morphisms i : X n X n +1 (0 i n) called face maps as


well as a set of morphisms s j : X n X n +1 (0 j n) called degeneracies satisfying

certain simplical identities (see [57])


The
geometric
n-simplex
n

= {( x0 , x1 ,...., xn ) R

n +1

is

the

0 xi 1i and xi = 1}

: Spaces : n n is a co-simplical space.

topological
and

space
A

functor

Higher Algebraic K Theory of G Representations

53

1.1.2. Definition: Let X be a simplical set. The geometric realization of X written

X is defined by X = X = U X n n / where the equivalence relations is

generated by

n0

( x , ( y ) ) ( ( x ) , y )

for any x X n y Ym and : m n in and

is given the product topology and X is considered as a discrete space.


where X n
n
n

1.1.3. Definition. Now let A be a small category. The nerve of A, written NA, is the
simplical set whose n-simplices are diagrams:
fn
f1
An = { A0
A1 ...
An } where the Ai s are A-objects and the f i are A-

morphisms. The classifying space of A is defined as NA and denoted by BA.


Remarks: BA is a CW-complex whose n-cells are in one-one correspondence with the

non-degenerate diagram An above.(see [57])


1.1.4. Definition Now let C be an exact category. We form a new category QC such that

ob(QC) = ob C and morphisms from M to P, say is an isomorphism class of diagrams


j
i
M
N
P where i an admissible monomorphism ( or inflation) and j is an

admissible epi morphism or deflation) in C i.e., i and j are part of some exact sequences
i
j
0 N
P P ' 0 and 0 N '' N
M 0 , respectively.

Composition is also well defined (see [57]).


1.1.5. Definition: For n 0, define K n (C) := n +1 ( BQC) n 0, where for any
topological space Y,

n +1 (Y ) is the (n+1)- homotopy group of Y.

1.1.6 Note: The definition above due to D.Quillen [57] coincides with the classical
definition of K 0 (C) as the Abelian group on the isomorphism classes (C) of C-objects

subject to relations (C) + (C) = (C) wherever 0 C ' C + C '' 0 is an exact sequence in
C (see [57]).

1.2. The Plus Construction Another Definition of K n (P ( A)) = K n ( A) n 1


There is an alternative definition of K n (P ( A)) = K n ( A) , n 1 also due D. Quillen . This
definition, which is also very useful for computations, arises from the following theorem.
1.2.1. Theorem [65] Let X be a connected CW-complex, N a perfect normal subgroup
of 1 ( X ) . Then there exists a CW-complex X (depending on N) and a map i : X X +
+

such that (i ) i* : 1 ( X ) 1 ( X + ) is the quotient map

1 ( X ) 1 ( X ) / N (ii ) For any

1 ( N ) / N -module L, there is an isomorphism i* : H * ( X , i* L ) H * ( X + , L) where i* L


is L considered as a

1 ( X ) -module. (iii) The Space X + is universal in the sense that if Y is

any CW-complex and

f : X Y is a map such that

f : 1 ( X ) 1 (Y ) satisfies

f* ( N ) =0 then there exists a unique map f + : X + Y such that f + i = f

Aderemi Kuku

54

1.2.2. Definition Now Let A be a ring with identity and put X=BGL(A) in above theorem.
Then 1 BGL( A) = GL( A) contains E(A) as perfect normal subgroup. Hence by the theorem

above, there exists a space BGL( A) . Define K n ( A) = n ( BGL ( A) + ) for all n 1.


+

1.3. Examples of K n of Ordinary And Equivariant Exact Categories


1.3.1. Let C=P (A), the category of finitely generated projective modules over a ring A

with identity. We write K n ( A) for K n (P ( A) = n +1 (BQP ( A)) .


1.3.2. If C=M (A), the category of finitely generated modules over a Noetherian ring A.

We write Gn ( A) for K n (M( A)) = n +1 (BQM( A))

.
Note. In 1.3.1 and 1.3.2 above, we shall be interested the group ring A=RG where G is a
finite group and R is the ring of integers in a number field or p-adic field F. We have indeed
identified P (RG), M (RG) with some categories of G-representations in Chapter I. Since RG
is an R-order in the semi-simple F-algebra FG, we shall also be interested in K n ( A) , Gn ( A)
where A is an R-order in a semi-simple F-algebra . Recall that A is a sub ring of such
that R is contained in the centre of A, A is a finitely generated R-module and F R A = .
1.3.3. Also the inclusion functor P (RG)M(RG) induces Abelian group homomorphism

K n ( RG ) Gn ( RG ) n 0 which generalizes to higher dimensions the Cartan map


K 0 ( RG ) G0 ( RG ) (see [6] or [39])
1.3.4. When C = PR ( RG ) , the category of RG-lattices where R is a commutative ring

with identity, we shall write Gn ( R, G ) for K n (PR ( RG )) . It is well know that when R is
regular, then Gn ( R, G ) Gn ( RG ) (see [39] [28]).
When R is a field of characteristic zero, and G a finite group, then
G0 ( F , G ) G0 ( FG ) coincides with the Abelian group of generalized characters x : G F
and this provides the initial connection between representation theory and K-theory of the
group-algebra FG.
1.3.5. Let X be a scheme, and P(X) the category of locally free sheaves of OX -modules
(or equivalently the category VB(X) of (algebraic) vector bundles on X. We shall write

K n ( X ) for K n (P ( X )) or K npr ((c F , B ),

K n ((c F , B);

) K n ( VB( X )) : Recall

that if X=spec(R) for a commutative ring R with identity, we shall recover K n ( R ) as in 1.3.1
1.3.6 Let X be a Noetherian scheme and M(X) the category of coherent sheaves of OX -

modules. We shall write Gn ( X ) for K n (M( X )) with the observation that if X= spec(R), we
recover Gn ( R ) as in 1.3.2
1.3.7 Let G be an algebraic group over a field F (i.e. an F-group), X a G-scheme,
M(G,X) the category of coherent G-modules that are also coherent as OX -modules. We write

Gn (G, X ) for K n (M(G , X ) for all n 0. If A is a finite dimensional separable F-algebra, X

Higher Algebraic K Theory of G Representations

55

a G-scheme, M(G,X,A) as defined in I,3.3.3 (b), we shall write Gn (G , X , A) for

K n (M(G, X , A) for all n 0


1.3.8 If G is an F-group and X a G-scheme and P (G,X) as in I 3.3.2, then we shall write

K n (G , X ) for K n (P (G, X ))
Note that P (G , X ) can be identified with the category VBG ( X ) of G-equivariant

(algebraic) vector bundles on X and so K n (G, X )

K n (P (G, X ))

K n VBG ( X ) for all n

0. We shall also write this group as K nG ( X )


If A is a finite dimensional separable F-algebra, and P (G , X , A) as in I3.3.3 (b), we
shall write K n (G , X , A) for K n (P (G, X , A)) n 0
1.3.9 Let G be an F - group and H a closed subgroup of G. In I,3.2.2 we saw that there is
an equivalence of categories between the exact category P ( F ) H or equivalently Re p F ( H )

of representation of H in P(F) and the exact category VBG (G H ) of G-equivariant vector


bundles on G/H. Note that K 0 (P ( F ) H )

K 0 (V BG (G H )) where the latter group is

G
denoted by K 0 (G H ) . It is also usual to denote the representation group of H (i.e. the

group of generalized characters of H) by R(H). In fact R (H) is a ring called representation


ring of H. (see [64]) .Note that for any algebraic group G over F, K 0 (Re p F (G ) R (G ) is a
free Abelian group generated by the classes of irreducible representations and that R (G) also
has the structure of a ring induced by tensor product.
1.3.10 Now, in the notation of I 3.2.3, let G% a semi-simple connected and simply

connected, F-split algebraic group over F, T% G% be a maximal F-split torus of G% , P% G% a

%
parabolic subgroup of G

( )

W = N G% T%

containing the torus T% , F = G% P%

the flag variety. Let

% 1 = P% }
T% be the Weyl group of G% (a finite group), WP% :{w W wPw

put s (F ) = [W : WP% ] . Then we have the following.


1.3.11. Theorem [55] R( P% ) is a free R (G% ) -module of rank s ( F ) .
1.3.12 In the notation of I,3.2.3 let VBG (F : X) be the full subcategory of

VBG (F ) consisting of those V% such that Z% acts on every fibre of V% by the character X .
We shall write K n ( F,X ) for K n ( VBG% ( F,X )) and R ( P% ) for K 0 (Re pFX ( P% ))
X

G% , Z% , T% , P%
be
as
in
I,3.2.3
put
G = G% Z% ,
P = P% Z% , T = T% Z% , F = G% P% = G P put G = Gal ( Fsep / F ) where Fsep is the
1.3.13

Let

separable closure of F. Let c: G G ( Fsep ) be the 1 co cycle (see [55]) and


twisted form of F corresponding to c (see [55]. [40])
G

We shall write K n

( c F ) for

K n (VBG ( c F ))

F the

Aderemi Kuku

56

1.3.14. Let B be a finite dimensional separable F-algebra, X a smooth projective variety


equipped with the action of an affine algebraic group G over F, c X the twisted form of X via

a 1-cocycle c. Let VBG ( c X , B ) be the category of vector bundles on

X equipped with

left B-module structure. We write K nG ( c X , B ) for K n ( VBG ( c X , B )) .


1.3.15. a) Let G be a finite group, S a G-set and S the translation category of S (see

I,2.3.2), C an exact category. We saw in I, 2.3.3 that the category [ S , C ] of covariant functor

: S C is an exact category. For all n 0, let K nG ( S , C) be the nth algebraic K-group of


the category [ S , C] with respect to fibre wise exact sequences.

Recall that if C = M( R ) and S=G/H, H G, Then [G H , M( R) ]

K nG ( G H , M( R) )

K n (M( RH )) Gn ( RH ) for all n 0

C=P(R)

If

K nG ( G H , P( R) )

M( RH ) and so

[G

then

H , P ( R)] PR ( RH ) and

so

K n (PR ( RH )) Gn ( R, H ) for all n 0

1.3.16. Let S, T be G-sets, C an exact category. Recall from I 2.4.1, that we obtained an

exact category

[ S , C]

as follows: ob( [ S , C ]) = ob [ S , C ] while exact sequences in


T

[ S , C] are T-exact sequences in [ S , C] . We now denote by


T
K-group K n ( [ S , C ]) .
T

K nG ( S , C, T ) the nth algebraic

Note that K nG (G H , P ( R ), T ) (resp K nG (G H , M( R ), T ) is the nth algebraic K-

group of PR ( RH ) resp (M( RH )) with respect to exact sequences that split when restricted
to the various subgroups H of H such that T H ' 0
1.3.17. Let S, T be G-sets, C an exact category. Recall from I, 2.4.3 that we have an exact

category [ S , C ]T of T-projective functors in [ S , C] with respect to split exact sequences. We


G
write Pn ( S , C, T ) for K n ([ S , C ]T )

[G

Note

that

H , P ( R ) ]G e

if

T=G/e

where

is

the

P ( RH ) and K n ([G H , P ( R )]G e )

identity

element

of

G,

then

K n ( RH ) for all n 0.

1.4. Mod- l s higher K-theory (ordinary and equivariant)


n +1

1.4.1. Let C be an exact category, l a rational prime, s a positive integer, M ls the (n+1)

- dimensional mod- l s space i.e. the space obtained from S n by attaching an (n+1)-cell via a
s

map of degree l (see [5], [53])

If X is an H-space, we write n +1 ( X ,
n +1

l s ) for M ins +1 , X , the set of homotopy classes

of maps from M ls to X. If C is an exact category and X=BQC, we write K n (C,

l s ) for

Higher Algebraic K Theory of G Representations

n+1 ( BQC,

l s ) for K 0 (C)

l s ) for n 1 and K 0 (C,

57

l s . Call K n (C,

l s ) mod-

l s K-theory of C.
1.4.2. Examples
(i) If A is a ring with identity, and C =P (A) the category of finitely generated projective
A-modules, write K n ( A,
also n ( BGL ( A) + ,

l s ) for K n (P ( A),

l s ) . Note that K n ( A,

l s ) is

ls ) .

(ii) If Y is a scheme and C = P (Y), the category of locally free sheaves of OY -modules,
write K n (Y ,

l s ) for K n (P (Y ),

we recover K n ( A,

l s ) . Note that for Y=Spec(A), A commutative,

ls) .

(iii) Let A be a Noetherian ring and M (A) the category of finitely generated A-modules.

l s ) for K n (M( A),

We write Gn ( A,

ls ) .

(iv) If Y is a Noetherian scheme, C = M(Y) the category of coherent sheaves of OY -

l s ) for K n (M(Y ),

modules, write Gn (Y ,

ls) .

(v) Let G be algebraic group over field F, X a G-scheme and C=M (G,X). Write

Gn ((G , X ),

l s ) for K n (M(G , X ),

(vi) If C=P(G,X) write K n ((G , X ),

l s ) for K n (P (G , X ),

C = VBG ( c X , B) ,

(vii) If

K n (VBG (c X , B),

ls )

we

ls )

K n ((c X , B),

write

ls )

for

ls )

(viii) If C = M(G,X,A) we Write Gn ((G , X , A),

l s ) for K n (M(G , X , A),

ls )

1.5. Profinite Higher K-Theory (Ordinary and Equivariant)

n +1 = lim M n +1 , We define the profinite K-theory of an exact


s

l
s
pr
n +1
by K n C, l = M l ; BQC . We also write
K n C, l for

1.5.1. Now put M

category

lim K n (C,

ls )

1.5.2.Examples
C

(i) If

=P(A),

we

write

K npr A, l

K n A, l = K n P ( A), l for A any ring

for

K npr P ( A), l and

Aderemi Kuku

58

K npr Y , l for K npr P (Y ), l

(ii) If C=P(Y), we write

and

K n Y , l for

K n P (Y ), l ,Y a scheme
(iii) If C = M(A), we write

for K n M( A),

) , A a Noetherian ring

(iv) If

Gnpr ( A,

) for Gnpr M( A), l and Gn A, l

M(Y),

Gnpr Y , l for

write

K npr M(Y ), l Gn (Y , l ) for K n (M(Y ), l ) Y a Noetherian Scheme


C

(v) If

M(G,X),

Gnpr (G , X ), l

write

for

K npr M(G, X ), l ; Gn ((G , X ), l ) for K n (M(G, X ), l ) G an algebraic


group, Z a G-Scheme.
(vi) If C= P(G,X), write K n

pr

( (G, X ), ) for K ( P(G, X ), ) G ((G, X ),


l

pr
n

K n (M(G, X ), l ) X a G scheme, G an algebraic group


C

(vii) If

VBG (c X , B ) ,

) for

K npr ( c X , B), l for

write

K npr VBG (c X , B ), l ; K n (c X , B), l ) for K n (VBG (c X , B), l ) (See earlier


definitions)
(viii) If C = M (G, X, A), write Gn

pr

( (G, X , A), ) for K ( M(G, X , A), ) .and


l

pr
n

Gn ((G, X , A), l ) for K n (M(G, X , A), l ) ( see earlier definitions)


(ix) If

C=

P(G,X,A),

write

K npr (G, X , A), l for K npr P (G, X , A), l K n ((G, X , A), l ) for
K n (P (G, X , A)

Section 2. Induction Techniques for finite group actions ; Mackey functors


2.1. Mackey functors Brief Review
In this section, we briefly introduce Mackey functors in a way relevant to our context.
For more general definition and presentation see ([39] [27])
Mackey functors are functors satisfying certain functorial properties in particular, the
categorical version of Mackey subgroup theorem in representation theory. Induction theory
has always aimed at computing various invariants of certain classes of subgroups of a group
G. It turns out that for such a Mackey functor M, one can always find a canonical smallest
class UM of subgroup of G such that the values of M an any G-set can be computed from

Higher Algebraic K Theory of G Representations

59

their restrictions to the full subcategory of G-sets of the form G/H, H UM . For more details
(see [39] [27]).

2.1.1. Definition
Let G be a finite group, GSet the category of (finite) G-sets. A pair ( M * , M * ) of
functors GSet R-Mod is a Mackey functor if
(i) M * : GSet R-Mod is covariant and M : GSet R Mod is contravariant and
*

M * ( X ) = M * ( X ) = M ( X ) for any G-set X


(ii) M transforms finite disjoint unions in GSet into finite products in R-Mod, i.e., the
*

embeddings

& Xi
Xi

& X2
& ...
& Xn)
M ( X1

induce

isomorphism

M ( X 1 ) M ( X 2 ) ... M ( X n )

(iii) For any pull-back diagram

commutes (Mackey subgroup property).


2.1.2. A morphism (or natural transformation) of Mackey functors : M N consists
of a family of homomorphism ( X ) : M ( X ) N ( X ) , indexed by the objects X in GSet,
such that

is a natural transformation of M * as well as of M * , i.e. such that for any G-map

f : X Y the diagrams.

Aderemi Kuku

60

are commutative.
2.1.3. A pairing M x N L of two Mackey functors M and N into a third one, called L, is
a family of R-bilinear maps

such that for any G map f : X Y the following diagrams commute

(the last two being related to Frobenius reciprocity)


2.1.4. A Green functor is a Mackey functor G: GSet R Mod together with pairing
G x G G such that an R-bilinear map G(X) x G(X) G(X) turns G(X) into an R-algebra

with

unit

1G ( x ) and

such

f * (Y )(1G (Y ) ) = 1G ( X ) holds.

that

for

each

G-map f : X Y ,

the

equation

Higher Algebraic K Theory of G Representations

61

2.1.5. If G is a green functor, M a Mackey functor and G x M M a pairing such that

1G ( X ) acts as identify on M(X),we shall call M with respect to this pairing a G-module.
2.2. Higher K-Theory as Mackey Functors (For Finite Group Actions)
2.2.1. Let G be finite group, S, T, G-sets; and C an exact category. In I, section 2 and
section 1 of this chapter, we obtained three equivariant exact categories with associated
higher K-groups as follows:

[ S , C] with

(1) K nG ( S , C ) is the nth algebraic K-group (n 0) of the exact category

respect to fibre-wise exact sequences. Recall that if C=P(R), S = G/H, then

K nG (G H , P ( R ))

Gn ( R, H ) and

K nG (G H , M( R ))

Gn ( RH ) and that when R is regular Gn ( R, H )

that

if

M(R),

(2) K n ( S , C, T ) is the nth algebraic K-group (n 0) of the exact category


G

then

Gn ( RH )
T

[ S , C] with

respect to T-exact sequences in [ S , C] . Note that when S = G/H, C=M(R), (resp. C=


P(R)) then K nG (G H , M( R ), T ) resp.K nG (G / H , P ( R ), T )) is the nth algebraic

K-group of the exact category M(RH) (resp PR ( RH ) with respect to exact


sequences which split when restricted to the various subgroups, H of H such that

T H ' (recall that T H ' = {t T / gt = t for all g H}


th
(3) Pn ( S , C, T ) is the n algebraic K-group (n 0) of the exact category [ S , C ]T with
G

respect to split exact sequences.


(4) If

C=P(R)

G/H,

(resp

M(R)),

then

PnG (G H , P ( R ), T ) (resp

PnG (G H , M( R ), T ) ) is the nth algebraic K-group of the exact category

PR ( RH ) (resp M( RH ) ) consisting of objects that are relatively H - projective for


subgroups H of H such that T

H'

with respect to split exact sequences.

Note in particular that Pn (G H , P ( R ), G e) = K n ( RH ) . For details and properties of


G

this construction see [39]. [10] We now have the following.

2.2.2. Theorem [10] [39]


Let G be a finite group, T a G-set, C an exact category, Ab the category of Abelian
groups .Then K n ( , C ) , K n ( , C, T ) , Pn ( , C, T ) : GSet Ab are Mackey functors for
G

all n 0. If the pairing C x C C is naturally associative and commutative and contains a


natural unit, then K 0G ( , C) , K 0G ( , C, T ) GSet Ab are Green functors ; K nG ( , C ) is a
unitary

K 0G (, C ) -module and K nG (, C, T ) and PnG ( S , C, T ) are K 0G (, C, T ) -

modules.
For a proof see [10].[39].

Aderemi Kuku

62

2.2.3. Remarks
(1) It is well known that the Burnside functor : GSet Ab is a Green functor and that
any Mackey functor M : GSet Ab is an -module and any Green Functor is an algebra
(see
[39],[7],
[27]).
Hence
the
above
K-functors

K nG (, C, T ) , PnG ( S , C, T ) and K nG (, C ) are -modules, and K 0G ( , C, T )


and K 0G ( , C ) are -algebra.
(2) Let M be any Mackey functor : GSet Ab, X a G-set. Define K M ( X ) as the kernel
of M(G/G) M(X) and I M ( X ) as the image of M(X) M(G/G). An important
induction result is that GM (G/G) K M ( X ) + I M ( X ) for any Mackey functor
M and G-set X. ([39] [7]). This result also applies to all the K-theoretic functors
defined above.
(3) If M is any Mackey functor: GSet Ab; X a G-set, define a Mackey functor

M X :GSet Ab by

M X (Y ) = M ( X Y ) . The projection map pr:

X Y Y defines a natural transformation X : M X M where X (Y ) = pr:


M ( X Y ) M (Y ) . M is said to be X-projective if X is split surjective (see
[39], [27]). Now define the defect base DM of M by DM = {H GX

} where

X is a G-set (called the defect set of M) such that M is Y-projective iff there exists a
G-map f : X Y (see [39]). If M is a module over Green functor G, then M is Xprojective iff G is X-projective iff the induction map G(X) G(G/G) is surjective. In
general, proving induction results reduce to determining G-sets X for which
G(X) G(G/G) is surjective and this in turn reduces to computing DG . Thus, one
could apply induction techniques to obtain results on higher K-groups which are
modules over the Green functor K 0 ( , C) and K 0 ( , C, Y ) for suitable exact
G

categories C e.g. C = P(R) or M(R) (see [39])


(4) One can show via general induction theory principles that for suitably chosen C, all
the higher K-functor K n ( , C) , K n ( , C, T ) are hyper elementary computable
G

see ([39], [24]) or below.

2.3. Some Consequent Results on Higher K-Theory of Grouprings


In this subsection, we provide some specific results on higher K-theory of grouprings that
are consequences of the techniques briefly outlined in 2.1 and 2.2. For proofs of these results,
see [39].
2.3.1. Theorem [39] [10]
Let G be a finite group, T a G-set, k a field of characteristic p , p 0 then, there exists
an
isomorphism
of
Mackey
functors
:

Higher Algebraic K Theory of G Representations

63

1
G
Pn ( , P (k ), T )
p

the

Cartan

1
G
K n ( , M(k ), T ) : GSets Ab. Hence for all n 0,
p

K n (kG ) Gn (kG ) induces
isomorphismes
map

1
1
K n ( kG ) Gn ( kG )
p
p
Proof : see [39] [9]
We also have the following consequences of 2.3.1.

2.3.2. Theorem [39] [9]


Let p be a rational prime, k a field of characteristic p, G a finite group. Then for all n 1
K 2 n ( kG ) is a finite p-group
The Cartan homomorphism

2 n 1 : K 2 n 1 (kG ) G2 n 1 (kG ) is surjective and

Ker 2 n 1 is the Sylow p-subgroup of K 2 n 1 ( kG )


2.3.3. To be able to state the next results, we need an alternative characterization of
Mackey functors as functors on a category of subgroups of G rather than on G-sets.
Let

G denote the subgroup category whose objects are the various subgroups of G with

G ( H1 , H 2 ) = {( g , H1 , H 2 ), g G, gH1 g 1 H 2 } and

composition

of

( h, H 2 , H 3 ) G ( H 2 , H 3 ) defined

( g , H1 , H 2 ) G ( H1 , H 2 ) and

by ( h, H 2 , H 3 ) o ( g , H1 , H 2 ) = ( hg , H1 , H 3 ) , so that (e, H , H ) G ( H , H )

is the

identity where H G and e G is the trivial element.


There is a canonical functor C, the coset functor from G into GSet : H G/H and with
each

morphism

( g , H1 , H 2 ) G ( H1 , H 2 ) ,

the

G-map

g 1 : G H1 G H 2 : xH1 xg H 2 .

= M o C : G Ab is
If M: GSet Ab is a Mackey functor , then the composite M
a bifunctor which can be shown to describe situations similar to the Mackey subgroup
theorem (see [11] for details). Call M a G-functor as so christened by J.A Green (see [11])
It can be shown that there is a one-one correspondence between the G-functors

M : G Ab and Mackey functors M: GSets Ab. So we can identify any Mackey


functor M: GSet Ab with M : G Ab and thus sometimes write M(H) instead of
M(G/H). (See [39]). To be able to state the next result we need the following definition.

Definition 2.3.4.
Let G be a finite group, U a collection of subgroups of G closed under subgroups and
isomorphic images, A a commutative ring with identity. Then a Mackey functor. M : G

Aderemi Kuku

64

A-Mod is said to be U-computable if the restriction maps M (G ) M ( H ) induces an


H U

isomorphism

M (G ) lim M ( H ) where

lim M ( H )

H U

H U

is

the

subgroup

of

all

( x) M ( H ) such that for any H, HU, and g G with gH ' g 1 H ,


H U

: H ' H given by h ghg 1 , then M ( )( xH ) = xH ' .


Now, if A is a commutative ring with identity, M : G Ab a Mackey functor, then

A M : G A -Mod is also a Mackey functor where ( A M )( H ) = A M ( H ) .


Now, let P be a set of rational primes,

q P ,C(G) the collection of all


q

cyclic subgroups of G, hP C ( G ) the collection of all P-hyperelementary subgroups of G, ie

hP C(G ) = {H G there exists H ' H , H ' C(G ), H H ' is a p-group for some p P}
Recall that if R is Dedekind domain with quotient field F, G a finite group, we define for

0
all
n
SK n ( RG ) := Ker ( K n ( RG ) K n ( FG ) , SGn ( RG ) := Ker (Gn ( RG ) Gn (( FG ))
We now have the following result.

2.3.5. Theorem [39] [24]


Let R be aDedekind ring , G a finite group, M any of the modules
K n ( R ) , Gn ( R ) , SGn ( R ) over G0 ( R ) then P M is hP (C(G )) -computable

CHAPTER III. SOME RESULTS ON THE ACTION OF FINITE AND


ALGBRAIC GROUPS
Section 1. Some results on K n ( RG ), Gn ( RG ), C l n ( RG ), SK n ( RG ), SGn ( RG ) n 0
(G finite) and consequences for some infinite groups
1.1. On K n ( RG ) , Gn ( RG ) , SK n ( RG ) , SGn ( RG ) , G finite
1.1.1. Let R be a Dedekind ring with quotient field F, G a finite group. Recall that
K n ( RG ) : = K n (P ( RG )) and Gn ( RG ) : = K n (M( RG )) where we have earlier identified

P ( RG ) and M( RG ) as categories of G-representations. Hence , the study of

K n ( RG ) , Gn ( RG ) belongs to integral representation theory


Define: SK n ( RG ) := Ker ( K n ( RG ) K n ( FG )

SGn ( RG ) := Ker (Gn ( RG ) Gn (( FG )) for all n 0

Higher Algebraic K Theory of G Representations

65

Define: Cl n ( RG ) = Ker ( SK n ( RG )) SK n ( R P G )) where R is the ring of integers


p

in a number field F and where p runs through all prime ideals of R and R p is the completion
of R at p . Call C l n ( RG ) the n-dimensional (higher) class group of RG. Note that

C l o ( RG ) coincides with the usual class goups C l( RG ) of RG. (See [39], [6])
We

shall
provide
in
this
section
some
important
results
on K n ( RG ) , Gn ( RG ) , SK n ( RG ) , SGn ( RG ) and C l n ( RG ) which constitute the core
results of studies on higher K-theory of integral grouprings.

1.1.2. Remarks
We shall be interested mostly in R being the ring of integers in a number field or a p-adic
field. Note that the phenomenal growth of K-theory has been due partly to the fact that the
classical K-groups of groupings (i.e. above groups for n = 0; 1,2) house various interesting
topological/geometric invariants . For example
(1) C l 0 ( RG ) = C l( RG ) house Swan-Wall invariants see [74].
(2) K1 ( RG ), SK1 ( RG ) house Whitehead torsion and is also useful in the classification
of manifolds (see [54] [51])
(3) K 2 ( RG ) helps in the understanding of pseudo-isotopy of manifolds. See [15], [39]
First

we
give
finiteness
results
on
K n ( RG ) , Gn ( RG ) , SK n ( RG ) , SGn ( RG ) , C l n ( RG ) . Note that these results are proved

in [39] in the generality of arbitray R-orders in a semi-simple F-algebra , which


invariably apply to = RG

1.1.3. Theorem [39] [28] [37]


Let R be the ring of integers in a number field F, G a finite group. Then for all n 1
K n ( RG ) is finitely generated Abelian group and K 2 n ( RG ) is finite.

SK n ( RG ) is a finite group. Hence C l n ( RG ) is finite.


SK ( R G ) is also finite.
n

If G is a finite p-group, then SK n ( RG ), SK n ( R p G ) are finite p-groups


(See [39] [28] [37] ) for the proofs.)

1.1.4. Theorem [39] [47] [24]


Let R be the ring of intergers in a number field F, G a finite group. Then for all n 1
Gn ( RG ) is finitely generated Abelian group

SGn ( RG ) = 0

Aderemi Kuku

66

SGn ( R p G ) = 0 where p is prime ideal of R and R p is the completion of R at p .


For proofs see [39] [40] [24]
Next we present a result on the ranks of K n ( RG ) , Gn ( RG )

1.1.5. Theorem [39] [31]


Let R be the ring of integers in a number field F, G a finite group; a maximal R-order
containing RG . Then for all n 1, rank K n ( RG ) =rank Gn ( RG ) =rank K n () .
For proof see [39] or [31]
Our next aim is to present a decomposition of Gn ( RG ) n 0, G a finite Abelian group
and extend these results to some non-Abelian groups e.g. quaternion and dihedral groups.
First we have to develop some notations.
1.1.6. Let R be a left Noetherian ring and C a finite cyclic group of order n, generated by
t, say. We write C = < t >. If f : C C is a ring homomorphism which is injective when
restricted to C, then kerf is generated by n (t ) , the nth cyclotomic polynomial. Then the
ideal n (t ) C is independent of the choice of generators.
Definie R (C ) = RC / n (t ) RC for any Noetherian ring R. Then

(C ) is an integral

domain isomorphic to

[ n ] where n is the primitive nth root of 1. We identify

the field of fractions of

[ n ] with

that R (C ) = R

( n ) ,

1
1
(C ) . We write R C = R(C )( ) = R n , . Note
n
n

(C ) and R C = R

Now, Let G be a finite Abelian group, X (G) the set of cyclic quotients of G. Then,

CX ( G )

C X ( G )

(C ) . If

is a maximal order in

G containing

G , then

(C ) . So, for any ring R, R = R(C ) and R A = R C


cX ( G )

C X ( G )

1.1.7. Theorem [39] [77]


Let G be a finite Abelian group R a Noetherian ring. Then, for all n 0,

Gn ( RG ) Gn ( R A)

Gn ( R C )

C X ( G )

proof see [39] or [77].


1.1.8. Our next aim is to obtain some extensions of theorem 1.1.7 to some non-Abelian
groups . e.g. Dihedral and Quaternion groups. We first give some definitions and fix
notations.
Let R be a ring and G a group acting on R by ring automorphism. Call R a G-ring. The
twisted groupring R # G is defined as the R-module R G with elements a g (a R, g

G) denoted a # g and multiplication defined by (a # g) (a # g) =ag (a) # gg. If G acts


trivially on R, then R # G = RG. A sub ring G of G is cocyclic G/G is cyclic.

Higher Algebraic K Theory of G Representations

67

1.1.9. Theorem [39] [77]


Let H = G|G1 be the semi-direct product of G and G1 , where G is a finite Abelian
group and G1 any finite group such that the action of G1 on G stabilizes every cocyclic
subgroup of G , so that G acts on each cyclic quotient C of G . Let R be a Noetherian ring.
Then for all n 0, Gn ( RH )

Gn ( R C # G1 ) .

C X ( G )

Remarks.This leads to the following result on the dihedral group. Note that
D2 n = G|G1 where G is a cyclic group of order n and G1 is a group of order 2.
1.1.10.

Let

Theorem

D2 n be

the

dihedral

group

1
1
Gn ( D2 n ) = Gn ( [ d , ]+ ) Gn ( [ ]) G* ( ) where
2
d
dd 2n
1
[ d , ]+ is the ring of integers in
d
cyclotomic field ( d )

( d ) + =

of

order

={

2n .Then

1 if n is od d
2 if n is even

and

( d + d1 ) the maximal subfield of the

1.1.11. We next consider the generalized quaternion group of order 4.2 s . In general, let R
be a commutative G-ring with identity (G a finite group), c : G G R* a normalized 2*

cocycle with values in R (see [76]). Then the crossed product ring R #c G is the R-module

R G with multiplication given by ( a # g )( a '# g ') = ag ( a ')c( g , g ') # gg ' . So R #c G is


an associative ring with identity 1#1G . If c =1, then we obtain the twisted groupring. Now let
H be a generalized quaternion group of order 4.2 s .Then H has a presentation

H = x, y|x 2 = y 2 , y 4 = 1, yxy 1 = x 1 Let G1 = {1, } be a two element group acting on


s

[ 2s ] by complex conjugation with fixed field Q( 2s ) + =


subfield of

( 2s + 2 ) the maximal real

( 2s ) . Let c : G1 G1 ( 2n+1 )* be the normalized co cycle given by

c ( v, v ) = 1 ,and let = Q ( 2s+1 ) #c G1 be the crossed product algebra, and a maximal


-order in . Then, we have the following result
1.1.12. Theorem.
In
the
notation

1.1.11,

we

have

1
1
1
G* ( [ 2s , s ]+ ) G* ([ s +1 ]) G* ( [ ]) 2 .
j =0
2
2
2
s

Gn ( H )

Note: It is still an open problem to obtain a decomposition for Gn ( H ) for an arbitrary

finite group H.
1.1.13. Recall that if R is the ring of integers in a number field F, G a finite group, then
the
higher
dimensional
class
group
of
RG
is
defined
by

Aderemi Kuku

68

Cl n ( RG ) := Ker ( K n ( RG ) K n ( R p G ) for all n 0, where R p is the completion of R


p

at p and p runs through all the prime ideals of R .


Note that C l 0 ( RG ) coincides with the usual class group C l( RG ) , which houses some
topological/geometric invariants e.g. Swan-Wall invariants -Morever C l1 ( RG ) is intimately
connected with Whitehead torsion. It is also classical that C l 0 ( RG ) , C l1 ( RG ) are finite
groups. We now present the following results

1.1.14. Theorem [39] [18]


(1) Let R be the ring of integers in a number field, G a finite group. Then
C l n ( RG ) is a finite group for all n 1
(2) For all n 1, the only possible p-torsion in C l 2 n 1 ( RG ) is for those primes p
dividing the order of G.
For the proof of (1) see [39] or [28].
For the proof of (2) see [39] or [18].

1.1.15. Remarks
Observe that theorem 1.1.14 (2) above was stated for odd dimensional class groups.
Proving analogous result for even-dimensional class groups is still open. We also present the
following result.
1.1.16. Theorem. [39] [18]
Let S r be the symmetric group of degree r and let r 0. Then C l 4 n +1 ( Sr ) is a finite 2torsion group and the only possible odd torsion in C l 4 n 1 ( S r ) that can occur are for those
odd primes p such that

p 1
divides n.
2

For a proof see [39] or [18].

1.2. Consequences for Some Infinite Groups


In this subsection, we indicate how results on K n ( RG ) , Gn ( RG ) could be extended to
yield results on K n ( RV ), Gn ( RV ) where RV is a group ring of an infinite group V.
1.2.1. Let be an automorphism of a ring A, with identity . We shall write

A [T ] = A [t , t 1 ] the -twisted Laurent series ring over A. Here T= < t > is the infinite
cyclic group generated by t. Note that additively
multiplication given by ( at ) (bt ) = a (b)t
i

i+ j

A [T ] = A[T ] = A[t , t 1 ] with

for a, b A.

Now let be an automorphism of a finite group G, R the ring of integers in a number


field F. We also denote by the automorphism induced on RG by . Then

Higher Algebraic K Theory of G Representations

69

( RG ) (T ) = RV where V = G T and the action of the infinite cyclic group T = < t > on

G is given by ( g ) = tgt for all g G.V is called a virtually infinite cyclic group and K1

theory of RV is fundamental to the Farrell Jones conjecture which asserts that K-theory of
an arbitrary discrete group should have as building blocks the K-theory of finite groups and
virtually infinite cyclic groups
Note that an R-automorphism of RG extends to an F-auto morphism of FG, which we
also denote by . We now have the following result.

1.2.2. Theorem [41]


Let V = G T be a virtually infinite cyclic group where G is a finite group, Aut(G)

and the action of T on G is given by

( g ) = tgt 1 . Then

(1) Gn ( RV ) is a finitely generated Abelian group for all n 1


(2)

K n ( RV )

Gn ( RV )

K n ( FV ) for all n 2.

Proof : See [41]. Note that the proof of the theorem above like many others, is in the
generality of replacing RG by an arbitrary R-order in a semi-simple F-algebra . One
then deduces above result for = RG , = FG .

We also have the following result which shows that G2( m +1) ( [T ]) is actually finite for
all odd positive integers m where F is a totally real field, when = RG .

1.2.3. Theorem [41]


Let R be the ring of integers in a number field, G a finite group, T = < t > the infinite
cyclic group and V = G T where Aut (G) and the action of T on G is given by

( g ) = tgt . Then for all odd positive integers m, G2 m +1 ( RV ) is a finite group when F is a
1

totally real field.


Proof: See [41].

1.3. Profinite higher K-theory of RG, RV


1.3.1. Recall that in II, 1.3, we defined profinite K-theory of an exact category C by

K npr (C,

n +1
M lns+1 .
) := [ M ln+1 ; BQC] where M l = lim

We

also

defined K n (C, l ) := lim K n (C,

/ l s ) See page [39] [33]


K npr ( A, l ) for
pr
write Gn ( A, l ) for

Recall also that for any ring A with identity we write

K npr (P( A), l ) and for any Noetherian ring A we


K npr (M( A), l ) We call K npr ( A, l ) (resp Gnpr ( A, l ) ) the profinite K-theory(resp. G

Aderemi Kuku

70
theory),

of

A.

Similarly

we

write

K n ( A, l )

K n (P ( A), l ) for

for

and

Gn ( A, l ) K n (M( A), l )
We shall be interested in the cases A = RG and A = RV where R is a Dedekind domain
(e.g. R=ring of integers in a number field or p-adic field F) and V = G T where

Aut (G) is given by

( g ) = tgt and T = < t > is the infinite cyclic group.


1

1.3.2. Remarks
Note that the profinite higher K-theory K n (C, l ) for exact categories C (including
pr

equivariant exact categories) is a cohomology theory which generalizes classical profinite


topological

K-theory

K 0 (C) l where for a compact topological space X,

C = VB ( X ) (resp VB G ( X ) ) is the category of (finite dimensional)


X, ( resp. category of G equivariant

-vector bundles on

-vector bundles on a G space X where G acts

continuously on X) see [1]. The theory K (C, l ) is also a K-theory analogue of classical
pr
n

continuous cohmology of schemes rooted in Arithmetic algebraic geometry. As such

K npr (C, l ) could be called continuous K-theory of C. The following exact sequence
provides a standard mechanism for computing K n (C, l ) .
pr

1.3.3. Theorem [39] [33]


If C is an exact category, l a rational prime, then for all n 1, there exists an exact
sequence 0 lim K n +1 (C,
1

l s ) K npr (C, l ) K n (C, l ) 0

Proof see [39] or [33].

1.3.4. Remarks
It follows from 1.3.3 that
(1) If

is

any

0 lim K n +1 ( A,
1

(2) If

is

with

identity

we

have

exact

sequences.

l ) K ( A, l ) K n ( A, l ) 0
s

Noetherian

0 lim Gn +1 ( A,
1

ring

pr
n

ring

then

we

have

an

exact

sequence

l ) G ( A, l ) Gn ( A, l ) 0
s

pr
n

In particular if R is the ring of integers in a number field or a p-adic field F,G a finite
group, T = < t > an infinite cyclic group, V = G T , then A = RG and A=RV fit into the

exact sequences in (1) and (2) above.

Higher Algebraic K Theory of G Representations

71

1.3.5. Definition: Let l be a rational prime. An Abelian group G is said to be l -complete

if G

lim(G l s G ) .

1.3.6 Theorem [39] [33]


Let C be an exact category such that K n (C) is a finitely generated Abelian group for all n
1. Let l be a rational prime. Then K n (C, l ) is an l -complete profinite Abelian group
pr

for all n 2 Moreover, K n (C, l )


pr

K n (C) l

K n (C, l ) .

Proof: see [39] or [33].


1.3.7. Corollary
Let R be the ring of integers in a number field F, G a finite group.
Then K n ( RG, l ) , Gn ( RG, l ) are l -complete profinite Abelian groups for all n2.
pr

pr

K npr ( RG, l ) K n ( RG ) l
Gnpr ( RG, l ) Gn ( RG ) l Gn ( RG, l )

Moreover,

K n ( RG, l )

and

Proof: Follows from the fact that K n ( RG ) , Gn ( RG ) are finitely generated Abelian
groups for all n 1 ( see 1.1.3 and 1.1.4).

1.3.8. Corollary [40]


Let R be the ring of integers in a number field F, G a finite group, V = G T where T =

< t > is the infinite cyclic group.


Then Gn ( RV , l ) is an l -complete profinite Abelian group for all n 2.
pr

Moreover Gn ( RV , l )
pr

Gn ( RV ) l

Gn ( RV , l ) .

Proof: Follows since Gn ( RV ) is finitely generated for all n 1 (See [40])

1.3.9. Remarks
When R is the ring of integers in a p-adic field, K n ( RG ) , Gn ( RG ) are no longer
finitely generated. However, one can, through other techniques (see [39]) obtain the following

l -completeness result for Gnpr ( RV ,

).

1.3.10. Theorem [39] [40]


Let R be the ring of integers in a p-adic field F, G a finite group. Then for all n 2,

Gnpr ( RV , l ) is an l -complete profinite Abelian group.


1.3.11. Before stating the next result ( 1.3.12), we first explain the construction of the
map in the theorem.

Aderemi Kuku

72

Note that for any exact category C, the natural map M ln+1 S n +1 induces a map

[S n +1 , BQC]
[ M ln+1 , BQC] i.e. K n (C)
K npr (C, l ) . So when C = M(RV),

where V = G T , G a finite group, T = < t > the infinite cyclic group and Aut(G) given

by

( g ) = tgt 1 , we obtain a map ; Gn ( RV ) Gnpr ( RG,

If B is an Abelian group, we write div B for the subgroup of divisible element of B.


We now state the following result.

1.3.12. Theorem [40]


Let R be the ring of integer in a number field F, G a finite group V = G T where

= < t > is the infinite cyclic group and Aut(G) is given by

( g ) = tgt 1 , RV the group

ring of V over R. Then for all n 2


(i) div Gn ( RV , l ) =0
pr

(ii) Gn ( RV , l )

Gn ( RV , l ) is an l -complete profinite Abelian group


pr
(iii) The map : Gn ( RV ) Gn ( RV , l ) is injective with uniquely l -divisible
pr

cokernel

Section 2. Some Results on the Actions of Algebraic Groups


2.1. The representation ring R (H) and the group K 0 (VBG (G H ))
2.1.1. Let F be a field, G an algebraic F-group, P ( F )G the category of representations of
G in P (F) where P (F) is the category of finite-dimensional vector spaces over F. We shall
also denote this category by Re p F (G ) . Note that Re p F (G ) is an exact category and we
denote K 0 (Re p F (G )) by RF (G ) or R (G,F) or just R(G) when the context is clear .
Note that R(G) is a free Abelian group generated by the classes of irreducible
representations and that R(G) also has a ring structure induced by tensor product. Call R(G)
the representation ring. (see [50] [55])
Since Re p F (G ) is an exact category, K n (Re p F (G )) is defined for all n 0 and we
denote K n (Re p F (G )) by Gn (G, F ) .
2.1.2. For any G-scheme X, let VBG ( X ) be the exact category of G-equivariant
(algebraic) vector bundles on X. We saw in I, 3.2.2 that if H is a subgroup of G and X = G/H
the homogeneous G-space, then we have an equivalence of categories:

Higher Algebraic K Theory of G Representations

Re p F (G)

ind
res

73

VBG (G / H ) where the maps ind and res were described in I, 3.2.2.

So, we have an Abelian group isomorphism R ( H )

K 0 VBG (G H ) . We shall denote

K 0 (VBG (G H )) by K (G H )
G
0

: H G be a homomorphism of algebraic group; then f induces a ring


*
homomorphism : R(G ) RH . Hence we can consider R ( H ) as an R (G ) - module. If f
*
is an embedding of a subgroup H into G, call a restriction map.
2.1.3. Let

If E is a field extension of F and we write GE for G ( E ) = G E , then the exact functor


F

Rep(G ) Rep(GE ) :[V ] [V E ] induces a ring homomorphism. If E/F is a finite


F

extension, we also have an exact functor Re p(G E ) Rep(G) which takes a GE -module
M over E to itself considered as a G-module over F. This induces a corestriction
map: R (GE ) R(G) . Note that the composition R (G ) R(G E ) R(G) coincides
with multiplication by [E, F]. In particular the homomorphism R (G ) R (GE ) is injective
(see [50]).

2.2. The groups K n (G , X ), Gn (G, X ) , X a G-Scheme


2.2.1. Let G be an F-group and X a G-scheme. In I, 3.3.2 we defined equivariant exact
categories
M(G,
X),
P(G,
X).
Let

K n (G , X ) denote K n (P (G , X )), Gn (G, X ) .denote K n (M(G ), X )) .


o Note
that
if
X
= Spec ( F ) ,
and
n

then

R(G ) = G0 (G, Spec( F ) = K 0 (G, Spec( F ))


o

When X = G/H is a homogeneous space where H is subgroup of G,

R( H )
o

G0 (G , G / H )

K 0 (G , G / H )

K 0G (G / H ) (see 2.1)

If U is a unipotent subgroup of G, then, there is a natural bijection between the sets


of irreducible representation of G and irreducible representations of G/U. Hence the
natural map R (G / U ) R (U ) is an isomorphism. (See [50])

Gn (G, ) is contravariant with respect that G-morphism and is covariant with

respect to projective G-morphisms of G-schemes (See [50])


K n (G, ) is contravariant with respect to G-morphisms of G-varieties. ( see [50])

The inclusion of categories P (G , X ) M(G , X ) induces a homomorphism

K n (G , ) Gn (G, )
o

morphism : G H induces
M (G , X ) M ( H , X ) , P (G , X ) P ( H , X )

exact
and

hence

homomorphism Gn (G, X ) Gn ( H , X ) , K n (G, X ) K n ( H , X )

functors
group

Aderemi Kuku

74

2.2.2. The restriction functor M(G, X )


M( X ) induces a group homorphism
f

f*
Gn (G , X )
Gn ( X ) . The next few results provide information on the map f* , which

links equivariant K-theory to ordinary K-theory of X. Note that P (G , X ) P ( X ) also


induces K n (G , X ) K n ( X ) .

2.2.3. Theorem [50]


If G0 (G, X ) G0 ( X ) surjective, then Pic(G E ) = 0 for any finite extension E/F. If

Pic(G E ) = 0 and X is affine, then G0 (G, X ) G0 ( X ) is surjective


proof; see [50].

2.2.4. Theorem [50]


Let G be an algebraic F-group. For all n 0 Gn (G, X ) Gn ( X ) is a split surjection if
X is a smooth projective variety.
Proof see [50]

2.2.5. Theorem [50]


Let G be a split reductive F-group. Then for any G-scheme X, the homomorphism

G0 ( X ) .
G0 (G , X ) G0 ( X ) induces an isomorphism R ( G ) G0 (G, X )
Proof: See [50].

2.2.6. Theorem [50]


Let G be a split reductive group, X a smooth projective variety. Then the homomorphism
K n (G, X ) K n ( X ) induces an isomorphism R (G ) K n (G , X ) K n ( X )
Proof See [50].

2.2.7. Theorem [50]


Let U be a split unipotent group, X a U -scheme. Then the restriction homomorphism
Gn (U , X ) Gn ( X ) is an isomorphism.
2.2.8. Recall from 2.1.3 and 2.2.1 that a group homomorphism

: H G induces a ring

: R(G ) RH as
well
as
group
homomorphism
Gn (G , X ) Gn ( H , X ) and K n (G, X ) K n ( H , X ) . The next few results present some

homomorphism

information on Gn (G, X ) Gn ( H , X )

Higher Algebraic K Theory of G Representations

75

2.2.9. Theorem [50]


Let G be an F-group and H a closed subgroup of G such that the factor variety G/H is
1
isomorphic to AF . Then for any G-scheme X, the restriction map Gn (G, X ) Gn ( H , X ) is
an isomorphism for all n 0.
Proof See [50].

2.2.10. Theorem [50]


Let G be a split solvable group, T G a split maximal torus, X a G scheme. Then the
restriction homomorphism Gn (G , X ) Gn (T , X ) is an isomorphism.

2.3. Higher K-theory of Twisted Flag Varieties


2.3.1 Recall from I, 3.2.3, that if G% is a semi-simple, connected and simply connected Fsplit algebraic group over a field F, and P% G% a parabolic subgroup of G% containing the
maximal torus T .then F = G% / P% is a flag variety We also saw in II, 1.3.11 that R ( P% ) is a
free R (G% ) -module of rank s (F ) where s (F ) = [W ;WP ] , W = the Weyl group of G% ,

%
and WP% = {w W wPw

= P%} .

F be the twisted flag variety relative to the co cycle


c : Gal ( Fsep / F ) G% ( Fsep ) (see II 1.3.13 and [55] [40]).
Now for any V% VBG (F ) (see II, 1.3.8), let c V% be the vector bundle over c F obtained
by
twisting
V%
by
c.
Then
we
have
a
biexact
% P (F) VB% ( F ) : (V , M ) V% M which induces a pairing
functor Rep (P)
Now

let

P c

c : RF ( P% ) K n ( F ) K n (c F ) . We now have the following result.


2.3.2. Theorem [55]
In the notation of 2.3.1, we have
(1)

c : RF ( P% ) K n ( F ) K n (c F ) is surjective for all n 0.

(2)

c induces a graded ring isomorphism RF ( P% ) % K* ( F )


K* ( c F )
RF ( G )

(3) RF ( P% )

RF (G% ) s (F ) where RF ( P% ) is considered as an RF (G% ) - module by

restriction of representatives.
s

(4) If {ai i = 1, 2...s} is a free RF (G% ) -basis of RF ( P% ) then K n ( F )


i =1

isomorphism.
Proof See [55]

K n ( c F ) is an

Aderemi Kuku

76

2.3.3. Theorem [40]


In the notation of 2.3.1 and 2.3.2, let F be a number field. Then for all n 1,
1) K 2 n +1 ( c F, B ) is a finitely generated Abelian group.
2) K 2 n (c F, B ) is a torsion group and has no non-trivial divisible subgroups
Proof: see [40].
We next present the following result on the local structure.

2.3.5. Theorem [40]


Let F be a p-adic field, l a rational prime such that l p . Then for all n 1, and any
separable F-algebra B, K n ( c F, B) l is a finite group.
Proof : See [40]

2.4. Finiteness Results for Some Objects of the Motivic Category C (G)
2.4.1. Let G be an algebraic group over a field F. By considering a smooth projective G
scheme as an object of a category C (G) defined below, we have similar finiteness results to
those for K n (c X , B ) where c is a 1 co-cycle,

X is the c-twisted form of X and B is a

separable F-algebra.
2.4.2. The category C (G) is constructed as follows (the construction is due to I. Panin see
[55], or [40]. The objects of C (G) are pairs (X, A) where X is a smooth projective G
scheme and A is a finite dimensional separable F algebra on which G acts by F algebra
Define HomC (G ) (( X , A), (Y , B )) := K 0 (G, X Y , A F B ) .
op

automorphisms.
Composition

of

morphisms

is
defined
as
follows:
if
u : ( X , A) (Y , B ) , v : (Y , B ) ( Z , C ) are two morphisms, then the composite is defined
*
v o u := p13* ( p23
(v) B p12* (u )) where p12 : X Y Z X Y ,

by

p13 : X Y Z X Z ,and p23 : X Y Z Y Z . The identity endomorphism


of (X, A) in C (G) is the class [ A F O ] (where X X is the diagonal) in

K 0 (G, X X , A( ) F A) = End C (G) (X,A) . We now have the following results.


2.4.3. Theorem. [40]
Let

: C
( X , F ) be

an

isomorphism

in

the

category

C(G),

i.e., : ( Spec ( F ), C )
( X , F ) . For every 1 cocycle: Gal ( Fsep / F ) GF sep and
any finite dimensional separable F-algebra B, let K n ( c Y , B ) be as defined in II, 1.2.3.
a) If F is a number field, then for n 1,
(i) K 2 n +1 ( c X , B) is a finitely generated Abelian group.
(ii) K 2 n (c X , B ) is a torsion group and has no non-trivial divisible elements.

Higher Algebraic K Theory of G Representations

77

b) If F is a p-adic field, l a rational prime such that l p ,then for all n 1 and any
separable F-algebra B, K n (c X , B )l is a finite group.
Proof : See [40]

2.5. Profinite Higher K-Theory of Twisted Flag Varieties


In this subsection, we obtain some l -completeness and other results for some twisted flag
varieties as well as Brauer- Severi varieties over number fields and p-adic fields. Recall that if

l is a rational prime an Abelian group H is said to be l -complete if H = lim H / l s H . Recall

the definition of profinite K-theory K n ( c F , B ),


pr

) from II, 1.5.2 (vii)

2.5.1. Theorem [40]

% a semi-simple, connected, simply connected split algebraic


Let F be a number field, G
group over F , P% a parabolic subgroup of G% , B a finite dimensional separable F-algebra.
Then for all n 1,
(1) K n (( c F , B ),
pr

) is an l -complete profinite Abelian group.

(2) divK npr (( c F , B ),

)=0

Proof see [40]

2.5.2. Remarks
The following results can be proved by procedures similar to those used to prove the
result above. See [40] for details.
(1) If F a number field, then K 2 n ( F , l ) = 0 .
pr

(2) If V is a Brauer-Severi variety over a number field F, then for all n 2,

K 2prn (V , l ) is l -complete and divK 2prn (V , l ) = 0


2.5.3. Our next aim is to consider the situation when F is a p-adic field. Before doing this,
we make some general observations. Note that for any exact category C, the natural map

M ln+1 S n +1 induces a map [ S n +1 , BQC ]


[ M ln+1 , BQC ] .

i.e., (I) K n (C)


K n (C, l ) and hence maps
pr

(II) K n (C) / l K n (C, l ) / l and


s

pr

(III) K n (C) /[l ] K n (C, l )[l ]


s

pr

We denote the maps in (II) and (III) also by by abuse of notation. We now present the
following result.

Aderemi Kuku

78

2.5.4. Theorem. [40]

% a semi-simple connected and simply


Let p be a rational prime, F a p-adic field, G
connected split algebraic group over

F , P% a parabolic subgroup of G% , c a 1-

cocycle Gal ( Fsep / F ) G% ( Fsep ) , c F the c-twisted form of F , B a finite dimensional


separable F-algebra, l a rational prime such that l p . Then for all n 2.
(a) K n (( c F , B); l )) is an l -complete profinite Abelian group.
pr

(b) K n ((c F , B ),
pr

K n ((c F , B);

).

(c) The map : K n (c F , B) K n ((c F , B); l ) induces isomorphisms


pr

(1) K n (c F , B)[l s ]

K npr ((c F , B); l )[l s ]

(2) K n (c F , B) / l s

K npr ((c F , B); l ) / l s .

(d) Kernel and cokernel of K n (c F , B) K n ((c F , B); l ) are uniquely l -divisible.


pr

(e) divK n ((c F , B); l ) = 0 for n 2


pr

Proof : See [40]

2.5.5. Remarks
(a) Let V be a Brauer-Severi variety over a p-adic field F. By a similar proof to that of
2.5.4 we have
(i) K n (V , l )
pr

(ii) K n (V ) / l

K n (V , l ) is an l -complete profinite Abelian group.


K pr (V , ) / l s and K (V )[l s ] K pr (V , )[l s ] .
n

Kernel and cokernel of K n (V ) K (V , l ) are uniquely l -divisible.


pr
n

divK npr (V , l ) = 0
b) Finally, if c X is as in 2.4.3, we have similar results to those of 2.5.4 for

K npr (c X , B) , etc.

ACKNOWLEDGMENT
I like to thank Ivan Tatchim for helping to type the manuscript for this chapter

Higher Algebraic K Theory of G Representations

79

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[65] V. Srinivas, Algebraic K-theory. Progress in Math 90.
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In: Group Theory


Editor: Charles W. Danellis, pp. 83-101

ISBN 978-1-60876-175-3
2010 Nova Science Publishers, Inc.

Chapter 3

LIBERAL NATIONALISM, CITIZENSHIP AND


INTEGRATION
1

Sune Lgaard
Centre for the Study of Equality and Multiculturalism,
University of Copenhagen

ABSTRACT
Liberal nationalists such as Will Kymlicka and David Miller have endorsed the
"revaluation of citizenship" currently expressed in more stringent naturalization
requirements across western states. Kymlicka and Miller claim that such measures are
nation-building policies and only make sense as attempts at cultural integration of
immigrants. The chapter discusses liberal nationalism as a view that assigns normative
significance to one sort of group membership, nationality, for the purpose of regulating
access to another kind of group, namely the political community of citizens. The chapter
discusses in which ways the recent revaluated naturalization requirements might be
related to the aims of liberal nationalism.
It is argued that revaluated naturalization requirements can indeed be characterised
as a kind of nation-building policies and as attempts at cultural integration, but that the
applicable sense of nationality is too thin to serve the functions shared nationality is
supposed to according to liberal nationalism. Even if the there is no positive connection
between liberal nationalism and revaluated citizenship, such policies might still be
preferable on the basis of liberal nationalism.
The paper raises some doubts about this possibility as well, however, since
revaluated naturalization requirements are exclusionary in a way that might be
counterproductive from a liberal nationalist point of view.

Earlier versions of this paper were presented in spring 2006 at the university of Copenhagen and at a conference
on Globalisation and the Political Theory of the Welfare State and Citizenship at Aalborg University, and at
the Association for Legal and Social Philosophy conference Aliens and Nations: Citizenship, Sovereignty and
Global Politics in the 21st Century at Keele University, April 2007. Thanks to Joe Carens, Abraham Doron,
Nir Eyal, Nils Holtug, Kasper Lippert-Rasmussen, Anne Phillips, and Anne Julie Semb for comments.

84

Sune Lgaard

INTRODUCTION
This chapter concerns the relationship between liberal nationalism and citizenship
policies. More specifically, focus is on the claim made by the prominent representatives of
liberal nationalism David Miller and Will Kymlicka that citizenship policies currently
fashionable in Europe, sometimes known as revaluated citizenship, are properly understood
as nation-building policies in the sense relevant to liberal nationalism, i.e. as attempts at
integrating immigrants into a national culture and identity. The policies in question include
the introduction or strengthening of language tests and tests of knowledge of society as
additional conditions for naturalization. The chapter considers whether such policies in fact
involve integration in the sense relevant to liberal nationalism. After a sketch of the type of
policies in question and of liberal nationalism as a normative position, this chapter discusses
the concepts of nation-building, integration and the nation. On this basis, it is argued that the
naturalization policies in question do not involve nation-building or national integration in the
sense relevant to liberal nationalism.
The significance of the discussion of these questions is first of all theoretical. Liberal
nationalism is a political theory that posits the political significance of a certain kind of group,
namely the nation. The chapter takes up one specific aspect of the political significance of
nations advocated by proponents of liberal nationalism as a theoretical position, namely the
application of this general normative claim to the regulation of access to another kind of
political group, that of citizens of the state. Liberal nationalists envisage nationality as a
requirement for access to citizenship, and as an aim and justification for naturalization
policies regulating such access. The discussion is theoretical in the sense that it explicates and
assesses the pretensions in these respects of liberal nationalism. The chapters main claim in
this regard is that nationality in the sense presupposed by versions of liberal nationalism does
not function as well as supposed by proponents of liberal nationalism as a requirement for
naturalization and does not justify the kind of naturalization policies endorsed by liberal
nationalists. This is an internal critique of liberal nationalism on the basis of conceptions of
nationality and liberal constraints on state policies that liberal nationalists themselves
advocate. So at the theoretical level, the chapter suggests that the positive claims of liberal
nationalists that revaluated naturalization policies are necessarily justified or best understood
on the basis of liberal nationalist concerns are unfounded. But the chapter furthermore
considers the possibility that the kind of naturalization policies in question may actually be
problematic from the point of view of liberal nationalism. Together, these criticisms suggest
that liberal nationalism is deficient as a theory of access to citizenship.

REVALUATED CITIZENSHIP
The revaluation of citizenship has been used as a label for the simultaneous trends,
the United States with its history of a quite inclusive citizenship regime, to restrict access
citizenship and reserve substantial benefits and privileges to citizenship status, and,
Europe, to provide opportunities for long settled immigrants and their descendants

in
to
in
to

Liberal Nationalism, Citizenship and Integration

85

naturalise and to encourage this.2 What these apparently opposite developments supposedly
have in common is to reaffirm citizenship as the dominant membership principle [Joppke
and Morawska, 2003: 1] which is now being described as an important value and identity
[Kymlicka, 2003a: 195]. This general description is compatible, however, not only with the
noted differences in policies, but also with different basic justifications or rationales.3 For
present purposes, revaluated citizenship (RC) will therefore be used in a more precise and
restricted sense as a label for specific empirical developments in citizenship policies currently
fashionable in Europe [De Hart and Van Oers, 2006: 318]. RC policies primarily include
stricter naturalization requirements in the form of the introduction or strengthening of
language tests and tests for knowledge of society as well as pledges of allegiance as
additional conditions of attaining citizenship [Baubck, et al, 2006: 24; Joppke, 2007: 41, 44;
Kymlicka, 2003a: 195; Waldrauch, 2006: 151f].
RC policies are prominent in countries such as the UK, the Netherlands and Denmark.
The new Dutch Nationality Act, which was approved in 2000 and entered into force in 2003,
includes a naturalization exam consisting of a societal knowledge test and a test of
proficiency in Dutch [De Hart and Van Oers, 2006: 326f; Entzinger, 2003: 75ff, 84; Van
Oers, De Hart and Groenendijk, 2006: 414; Waldrauch, 2006: 151f]. The British government
announced an examination for citizenship including tests of language skills and knowledge of
society and a citizenship ceremony in its 2002 white paper [Home Office, 2002, cf.
Kostakopoulou, 2003], which was legally implemented in the 2002 Nationality, Immigration
and Asylum Act [Dummett, 2006: 574; Waldrauch, 2006: 151ff].4 In Denmark, a requirement
for documented knowledge of Danish language, society, culture and history was introduced in
2002. The level of language proficiency was raised and the documentation requirement
transformed into a formal nationality test in 2005 [De Hart and van Oers, 2006: 326f; Ersbll,
2006: 128f, 131f; Waldrauch, 2006: 151ff].
Taking these empirical developments as paradigm examples of the revaluation of
citizenship, the question at hand concerns the normative rationale for RC policies, more
specifically whether and to what extend RC should be understood as a sort of liberal
nationalism? One reason for this focus is that the general political context in which RC
policies are introduced is focused on the relationship between immigrants and established
societies, which is often, at least in Europe, conceived and expressed in nationalist terms.
Naturalization is accordingly often debated in explicitly nationalist terms as a matter of
becoming a member of the nation as a cultural community, as well as of the state as a political
community, and more restrictive naturalization requirements are often demanded on the basis
that citizenship should be reserved for members of the nation. These features of everyday
political debate are reflected at the level of political theory. Here, the two most prominent
theoretical advocates of liberal nationalism, David Miller and Will Kymlicka, endorse RC
2

Joppke and Morawska, 2003: 16f. The term was originally coined with reference to the American case by Peter
Schuck, cf. Schuck, 1998, chap. 8.
3
The US Welfare Reform Act of 1996, which cut back on the social entitlements of non-citizens, was arguably
primarily a budget issue, whereas the changes in European naturalization procedures are not (only)
economically motivated, but are also premised on a concern with a common identity, i.e. with sending a
message about what it means to be British, Dutch, Danish etc. The question is whether this identity
concern is necessarily nationalist in a relevant sense. Thanks to Joe Carens, Anne Phillips and Nils Holtug for
discussion on this point.
4
The British citizenship test can be found at www.lifeintheuktest.gov.uk/.

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Sune Lgaard

policies [Kymlicka, 2003a, 2006: 136f; Banting and Kymlicka, 2004: 21f; Miller, 2006: 335;
2008: 385], and they do so, moreover, on the basis that RC policies are a proper response to
the underlying concerns of liberal nationalism. In order to assess their claim about the
relationship between RC policies and liberal nationalism, it is necessary to specify what
liberal nationalism is, and hence in what sense RC policies are claimed to be nationalist.

LIBERAL NATIONALISM
Nationalism, for present purposes, is characterised by operating with the existence of a
certain kind of group, nations, and by making the normative claim that nationality should play
a political role. Different kinds of nationalism can then be distinguished depending on their
conception of what nationality is, or should be, and on which kind of political significance it
should have. These are in principle two different issues: how the kind of group in question is
understood, i.e. what defines nations in general and membership of specific nations in
particular, is in principle independent from what political significance this kind of groups is
accorded, e.g. whether it is appealed to in claims for political self-determination or as
justification for specific cultural policies. Membership of states is one of the most important
nationalist concerns. Given a specific conception of the nation, it is an open question whether
it should have political significance in any particular respect, although some ways of
understanding nations will of course be better suited or more obvious candidates for specific
roles. If the nation is primarily understood in linguistic terms, for instance, then it is most
obviously relevant to language policies. But if the nation is understood as a community with
pretensions for political self-determination and perhaps as having pre-political claims to a
certain territory, then nations will more obviously be relevant to the drawing of boundaries of
states.
One respect in which liberal nationalists often claim that nationality should be considered
politically relevant is in relation to immigration, i.e. admission to and residence in the state.5
Another aspect, which is the subject of this chapter, concerns citizenship as the full and equal
kind of membership of the state as a political community which is partly formal state
membership and partly an attendant set of legally enforceable rights and duties; the status
and rights aspects of citizenship, respectively [Joppke, 2007: 38]. Nationalism in this
respect, then, is the claim that all citizens should be members of the nation, which might also
be formulated as the claim that what is sometimes known as the identity aspect of
citizenship should refer to the nation as a community [Joppke, 2007: 38, cf. Kymlicka and
Norman, 2003: 211]. This normative claim implies that nationality, whatever exactly it is
taken to be, must be distinct from, i.e. not equivalent to, citizenship [Miller, 1995: 18f,
contrary to the legal use of nationality in Baubck, et al, 2006: 17], since the prescription
that all citizens should be members of the nation would otherwise be a tautological claim. The
claim implies that considerations of nationality should matter with respect to access to
citizenship, in particular when granting the status of citizenship to immigrants through
naturalization. This is not to say that nationalism necessarily claims this; only that it follows

See Lgaard, 2007a, and 2009, for discussions of liberal nationalism in this regard.

Liberal Nationalism, Citizenship and Integration

87

from requiring a sufficiently close connection between nationality and citizenship. As will be
evident below, prominent liberal nationalists do make this claim.
Liberal nationalism denotes versions of nationalism that seek to be compatible with
liberal concerns about respect for the equal moral status of persons. Liberal nationalism is
liberal in virtue of a) a constrained conception of what shared nationality can legitimately
consist in, b) instrumental justifications of the nationalist requirement with reference to more
fundamental liberal ideals and values, and c) the liberal constraints it accepts on the political
means states can employ in order to secure the nationalist goal [Kymlicka, 2001a: 39f;
2006].6 With respect to a), liberal conceptions of nationality are characterised by a denial that
common nationality can be based on race, descent or ethnicity [Miller, 1995: 20; Kymlicka,
2001a: 40] but can only concern public matters such as a shared language, history and
public culture [Miller, 1995: 26, 87, 158, 172; Kymlicka, 2001a: 40] in order for the common
national identity to be compatible with cultural pluralism [Miller, 1995: 137, 142, 172, 179f;
Kymlicka, 2006: 130].7 With respect to b), one justification for nationalism with reference to
liberal ideals and values appeals to the importance of a cultural context of choice and sense of
identity to free or autonomous choice, and identifies the national culture as such a context and
source of identity [Kymlicka, 1989, chap. 8, 1995, chap. 5, 2001a: 208ff, 227ff, 2004, cf.
Margalit and Raz, 1990; Tamir, 1993]. Another instrumental justification appeals to an
empirical claim to the effect that a common national identity is a practical precondition, or at
least strongly facilitating condition, for the trust and solidarity necessary for upholding liberal
political ideals such as social justice and deliberative democracy. The claim then is that
supporters of such liberal values must therefore also support liberal nationalism [Miller, 1995,
chap. 4, 2000; Kymlicka, 2001a: 212-215, 225-27]. With respect to c), liberal constraints
require that long-term residents who are as such subjected to the political authority of the
state should be able to become citizens within a reasonable timeframe [Carens, 1989, 2002,
2005; Miller, 2008: 7, cf. Baubck, et al, 2006: 30], which sets additional practical limits to
the degree of acculturation that can be required of applicants.

REVALUATED CITIZENSHIP AS NATION-BUILDING


Nationalism is, as noted, premised on a distinction between two kinds of groups, namely
the state as a political community, which primarily involves citizenship as legal status and
rights, and the nation as an identity conferring community of sentiment and shared culture.
Given this distinction, nationalism as a political theory makes the normative claim that there
should be a specific kind of relationship between state and nation and the corresponding kinds
of group membership. One way of formulating this is in terms of nation-building [see
Weinstock, 2004, on different kinds hereof]. Almost all states are in fact nation-building
6

There are also attempts at justifying liberal nationalism in non-instrumental terms, e.g. Miller 1995, chap. 3, but
this raises the question whether such non-instrumentally justified forms of nationalism can be liberal; e.g.
what the relationship is between the resulting special obligations among members of the same nation and the
obligations arising from liberal principles. Kymlickas form of liberal nationalism is purely instrumental, and
thus avoids this issue.
7
Liberal nationalist conceptions of nationality in cultural terms as opposed to ethnicity understood as biological
descent may be problematic, however, insofar as membership in a nation is nevertheless characterised in terms
of ascriptive properties such as belonging, origins or even descent, cf. Joppke 2005b: 7f.

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Sune Lgaard

states in the sense that they have attempted to diffuse a single national culture, including a
common national language, throughout their territory, promoted a particular national identity
based on participation in that culture, and encouraged and sometimes forced all the citizens
on the territory of the state to integrate into common public institutions operating in the
national language [Kymlicka, 1995: 76-80, 2001a: 1, 25ff, 2003b: 267-270]. One formulation
of nationalism as a normative view is the claim that it is a legitimate function of the state to
protect and promote a national culture and language within its borders, which is to say that
nation-building is permissible and maybe even required [Kymlicka, 2001a: 39; Weinstock,
2004: 56].
Citizenship policies, including naturalization requirements, are commonly listed among
the tools states use in nation-building along with standardized public education, official
languages, compulsory military service, public symbols etc. [e.g. Kymlicka, 2001a: 1, 155,
2003b: 267; Banting and Kymlicka, 2004: 21, 2006: 40]. Kymlicka describes RC policies as
strengthened and more robust nation-building policies [Banting and Kymlicka, 2004: 21f,
2006: 40]. Miller argues that the prevalence of these sorts of citizenship programmes confirm
the liberal nationalist thesis that formal citizenship alone is not a sufficiently strong cement
to hold together a democratic welfare state, whose successful working depends upon
relatively high levels of interpersonal trust and co-operation, but which also requires citizens
to share a cultural identity of the kind that common nationality provides [Miller, 2008:
378]:
If democratic states require nothing more of their citizens than subscription to some
formal set of constitutional principles, then citizenship programmes which include, for
instance, learning the national language and some aspects of the nations history and political
culture would amount to a misguided attempt at cultural integration where none is needed.
[Miller, 2008: 380]

This claim that the RC policies should be understood as attempts at cultural integration
echoes Kymlickas characterisation of them as nation-building policies. But Millers claims
furthermore seems to be that RC only makes sense as an attempt at integration into a national
culture, i.e. that cultural integration is the only plausible rationale for such policies [cf. also
Kostakopoulou, 2003].
But on what basis are RC policies classified as policies of nation-building and cultural
integration, and in what sense are they a kind of nationalism? If the claim merely is that one
way of justifying RC is by appeal to liberal nationalism, but that there might be other equally
good justifications, this would certainly be plausible, but it would not establish that RC is a
kind of nationalism in any strong or interesting sense. In that case nationality would not have
any particular theoretical significance in relation to citizenship. But as noted, liberal
nationalists have not only argued that nationality might play a role in relation to citizenship,
but that RC policies as such are nation-building policies and that a concern with nationality is
necessary to make sense of them. This means that RC policies are nationalist in virtue of their
content or character, and are thus only justifiable, rather than merely potentially justifiable, on
the basis of a concern with nationality [Miller, 2008, see Kymlicka, 2001b, for an analogous
claim regarding territorial borders and membership practices of liberal states].
This claim raises the question whether it is indeed the case that RC is necessarily
nationalist, or whether there might be alternative justifications for these policies. But it also

Liberal Nationalism, Citizenship and Integration

89

invites discussion of the notions that liberal nationalists rely upon in making their claims, i.e.
the concepts of cultural integration and of the nation. Since the significance of the former
claim and of liberal nationalism as a political theory more generally depends on what is meant
by the latter terms, there is reason to discuss them in more detail.

THE CONCEPT OF INTEGRATION


Nationalism has been formulated in terms of the view that the state may and even should
pursue nation-building policies in order to ensure that all citizens are members of the nation.
In relation to naturalization requirements, this normative view finds expression in the demand
that immigrants should integrate into the national culture as a condition for attaining
citizenship, and RC policies have been characterised as attempts at cultural integration by
liberal nationalists and have been endorsed by them as such. But the use of the concept of
integration in this context is not unproblematic.
According to one common usage, integration denotes a liberal approach to ethnic and
cultural diversity. On this usage, integration is opposed to assimilation, which is understood
as the nationalist demand that all members of society adopt the national culture and abandon
all cultural attachments and practices that are incompatible herewith. In Britain, this usage
became prominent in 1968 when the then British home secretary, Roy Jenkins, stated in
response to Enoch Powell that:
I do not regard [integration] as meaning the loss, by immigrants, of their national
characteristics and culture. I do not think that we need in this country a melting pot, which
will turn everybody out in a common mould, as one of a series of carbon copies of someones
misplaced vision of the stereotyped Englishman I define integration, therefore, not as a
flattening process of assimilation but as equal opportunity, coupled with cultural diversity, in
an atmosphere of mutual tolerance. [Quoted in Parekh, 1990: 64, cf. Mason, 2000: 121, note
17]

This usage is common in political theory as well [e.g. Parekh, 1990: 63ff, cf. Joppke and
Morawska, 2003: 4f; Joppke, 2008: 541]. There are several problems with it, however: First
of all, liberalism and nationalism are not necessarily opposites, or this is at least what liberal
nationalists claim. To what degree nationalism can actually be liberal, and in what specific
senses and respects, is debatable, but the possibility should not be ruled out by mere
stipulation. The same is the case with respect to integration and assimilation, which, on more
precise and reasonable definitions, need not be opposed or conceptually incompatible. The
concept of assimilation is potentially much broader than allowed by the traditional images of
melting pot and carbon copies. On one fruitful conception, assimilation does not denote
complete similarity but the process whereby a group of people becomes gradually more like
another group in certain respects [Brubaker, 2004: 119f]. Policies with the aim of making
members of minorities abandon at least some of their customs and practices can therefore be
said to be assimilationist in a relevant sense [Mason, 2000: 121]. This means that not only
nationalism, but liberalism too, implies policies that are properly described as assimilationist,
to some degree and in some respects, even though the liberal reason for requiring the

Sune Lgaard

90

abandonment of a given practice will normally be that it infringes the rights of individuals
[e.g. Mason, 2000, chap. 3].
So the interesting question is not integration or assimilation?, but in which respects
immigrants are required to integrate, to what degree this requires them to abandon their
customs and practices, and what political means the state can use to secure the relevant kind
of integration. Regarding the first question, Kymlicka writes in general terms about
integration into society [e.g. 2001a: 51, 155] or into the societal culture [e.g. 2001a: 54,
156, 161f, 171]. But society and the societal culture are vague and complex notions (for
the latter concept, see below). The common assumption that society is unitary and that
immigrants integrate into society as whole persons is problematic [Joppke and Morawska,
2003: 3; Joppke, 2005b: 10f]. So it is necessary to specify the notion of integration of
immigrants in different respects, which Kymlicka actually does in several places. Although
his usage is not entirely systematic, he distinguishes between the following respects in which
immigrants can integrate:

Linguistic integration, i.e. learning the national language [e.g. 2001a: 51, 54, 174],
which is a practical precondition for successful integration in the second sense,
namely:
Institutional integration [e.g. 2001a: 51, 54, 155, 162, 164f, 167, 169], i.e.
participation in shared institutions functioning in the national language according to
the applicable rules, which includes abiding by the law and respecting the rights and
duties of citizens. This subdivides into:
(a) public institutional integration, i.e. subjection to, participation in and
employment in common state institutions,
(b) civil society integration, i.e. participation in shared associations, the labour and
housing markets etc. (Institutional integration can then proceed on more or less
fair terms, cf. 2001a: 162-172).
Civic integration, i.e. civic engagement and (active, participatory) democratic
citizenship in the political community [2001a: 168].
Psychological integration [2001a: 167f], i.e. a personal sense of identification with
and belonging to the new society and/or community.

The kind of integration that can reasonably be required of immigrants, according to


Kymlicka, is linguistic and institutional integration (provided the terms of integration are
fair). Civic and psychological integration cannot be normatively required, but may follow as
empirical side effects of linguistic-institutional integration.
The requirement of linguistic-institutional integration is not only reasonable on liberal
grounds; it is also widespread across western states. Immigrants are everywhere required to
accept political principles of democracy and toleration or pluralism that do not mark a
difference between different liberal societies but are characteristic requirements of any liberal
democratic society [Carens, 2000: 120-123]. The only really distinctive cultural commitment
setting requirements on immigrants to different liberal democratic states apart is knowledge
of the particular national languages [Carens, 2000: 131, 2005: 45; Joppke, 2007: 45, 2008:
539], i.e. the specific form of linguistic integration. This thin notion of integration requiring
acceptance of basic liberal values and knowledge of the national language and institutions is
similar across liberal states [Joppke and Morawska, 2003: 5-9; Joppke, 2005b: 237ff]. In one

Liberal Nationalism, Citizenship and Integration

91

sense, contemporary Western states membership policies, even after the revaluation of
citizenship, are therefore no longer in the service of reproducing particular nationhood
[Joppke 2005a: 50]:
Their membership policies may still be notionally nation-building, but only in the
generic sense of forging non-ethnic, liberal-democratic collectivities that are not different here
from elsewhere. [Joppke 2005a: 53f, cf. 2005b: 239]

This is said to be the case because purely linguistic-institutional integration is neither


especially substantial in cultural terms, nor involves much national particularity; it is a
minimalist kind of nation-building [Weinstock, 2004].
Even if linguistic-institutional integration may over time lead, as a side effect, to some
degree of civic and psychological integration, the resulting participation need not be in the
national culture as a set of cultural practices and customs distinct from the political
institutions of the state. Similarly, psychological identification resulting from linguisticinstitutional integration need not be directed at the nation as a community distinct from the
state, but may concern the society in a broader sense and the public institutions that have
come to provide the setting for the life of the immigrant. So the question is whether, and in
what sense, linguistic-institutional integration can amount to integration into a nation or
national culture that would qualify it as a nationalist aim?

SOCIETAL CULTURES AND NATIONS


The reason why Kymlicka considers policies aimed at linguistic-institutional integration
as nation-building policies [e.g. Kymlicka, 2003b: 289f] revolves around his notion of
societal culture and his identification of societal cultures with nations. For a societal culture
to exist, what matters is not the presence of culture in any ordinary (quasi)anthropological
sense, but established institutions operating in a shared language within a delimited territory
[Kymlicka, 1995: 76, 2001a: 25]. Here, institutions are not primarily to be thought of in the
general theoretical sense as practices governed by public rules [Rawls, 1971/1999: 55f/47ff],
which might apply to most established social practices, but in a more specific, ordinary and
very concrete and material sense, as schools, media, economy, government etc. Kymlickas
emphasis is on such individually identifiable institutions operating in a shared language
within a given territory, so it might have been just as appropriate to characterise this social
complex as an organized society (often a state). Societal institutions do embody culture in a
sense beyond a shared language, of course, in the sense of conventions and practices, but
Kymlicka stresses that such abstract cultural forms must be institutionalised in the noted
concrete and material sense in order for a societal culture to exist. Since a societal culture
primarily denotes a set of territorially concentrated institutions operating in a shared
language, linguistic-institutional integration is in fact equivalent to integration into a societal
culture, more or less as a matter of definition.
Kymlicka furthermore equates societal cultures with nations:
The capacity and motivation to form and maintain such a distinct culture is characteristic
of 'nations' or 'peoples' (i.e. culturally distinct, geographically concentrated, and institutionally

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Sune Lgaard
complete societies). Societal cultures, then, tend to be national cultures. [Kymlicka, 1995: 80,
cf. 2004: 120f]

Given this understanding, linguistic-institutional integration is not only equivalent to


integration into a societal culture, but can be characterised as integration into a national
culture. And it is in this sense that the diffusion by the state of a societal culture throughout a
society, as well as policies aimed at securing linguistic-institutional integration, such as RC
naturalization policies, are nation-building policies.
So in Kymlickas sense, becoming a member of a nation or integrating into a national
culture simply means functioning as a member of a society with public institutions operating
in a shared language [cf. Weinstock, 2004: 55f]. But this is not equivalent to Millers stronger
sense of integration into the cultural nation [Miller, 2008: 376, cf. Weinstock, 2004: 53].
According to Miller, becoming a member of the nation crucially involves people's sense of
identity as well as their ways of thinking, behaving and sentiments toward other members of
the nation [Miller, 1995: 21-27]. Millers conception of what it means to integrate into the
nation may be characterised by way of Kymlickas notion of psychological integration, with
the important difference that subjective identification for Miller is not merely a possible side
effect of institutional integration, but the primary constituent of nationality. Millers
fundamentally subjective conception of nationality also includes objective elements,8 but
where Kymlicka focuses on participation in public institutions, Miller focuses more on what
was termed civil society integration above, i.e. the informal social norms and expectations
governing interaction in everyday life. So the concept of nationality is used by Kymlicka as
denoting a thin sort of societal membership and by Miller as a label for thicker (although
still liberally constrained) membership of a nation as a primarily cultural and affective
community.

NATIONALITY AND THE INSTRUMENTAL ARGUMENTS


When it comes to the instrumental justifications for the need for common nationality,
however, liberal nationalism depends on a more substantial form of nationality than
Kymlickas societal one. As noted above, liberal nationalists justify the nationalist aim with
reference to empirical claims about the instrumental functions of common nationality in
relation to liberal political ideals such as individual freedom, social justice and deliberative
democracy [Kymlicka, 1989, chap. 8, 1995, chap. 5, 2001a: 208-215, 225-29, 2004; Margalit
and Raz, 1990; Tamir, 1993; Miller, 1995, chap. 4, 2000]. The sort of nationality that is
important in these respects is nationality as a cultural precondition for choice and as an
affective identity providing a sense of social trust and solidarity.

Mason, 2000: 116f, categorises Miller as an objectivist with respect to what it means to share a national identity,
since Miller also claims that common nationality depends on objective characteristics such as a shared public
culture. But Mason also notes that Millers conception of nationality depends in part on subjective beliefs, and
that objective commonalities are necessary for shared nationality, according to Miller, because the subjective
beliefs otherwise are impossible to uphold. All this is compatible with my characterisation of Millers
conception of nationality as involving a necessary and strong subjective component that is apparently missing
in Kymlickas societal conception.

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93

Nationality in Kymlickas thin societal sense might certainly be an important


precondition for individual freedom, since the institutions constituting the societal culture
provide many of the options among which individuals can choose. But his point is that in
order for choice to be genuinely free, options should not only be materially available, but
must also be meaningful from the point of view of individuals [Kymlicka, 1995: 83, 2001a:
209f, 227f, 2004: 117f, cf. Miller, 1995: 85f.]. This requires a kind of correspondence
between the societal institutions providing options and the cultural frame of reference of
individuals who are to choose among them. But for this to make sense, the cultural frame of
reference must refer to something internalised by persons, not just to the institutionally
embodied vocabulary of tradition and convention [Kymlicka, 1995: 76, 2004: 117]. This
means that the context of choice argument for liberal nationalism not only requires the
existence of a societal culture as defined by Kymlicka, but also that the individuals who are to
make choices within this cultural structure have internalised the relevant cultural traditions
and conventions. So if institutional integration of immigrants is to be understood as national
integration in a way connecting with the context of choice argument, it must involve a
measure of psychological integration and cultural assimilation enabling immigrants to
understand the options provided by the institutions.9
The need for a more substantial conception of nationality is even more evident in relation
to the other two instrumental justifications for liberal nationalism. Taking social justice and
deliberative democracy as given liberal ideals, the argument is that these ideals make
motivational demands on people to trust and to feel solidarity with one another, and that a
common national identity provides such sentiments [Miller, 1995: 90-98; Kymlicka, 2001a:
225f, cf. Lgaard, 2006]. What is required here is an affective, subjective or psychological,
sense of national identity rather than (or in addition to) participation in a set of institutions
operating in a shared language. The premise of these instrumental arguments is precisely,
pace Rawls [1971], that people cannot be relied on to support institutions, not even if they are
publicly known to be just; there must be something external that motivates them to do so. If
nationality is what is supposed to motivate people to support democratic and redistributive
institutions, then it cannot simply consist in their participation in these institutions, for this is
exactly what supposedly cannot be taken for granted. So once again the arguments for liberal
nationalism require a more substantial notion of common nationality than suggested by
Kymlickas primarily institutionally defined concept of a societal culture.
To sum up: The strengthened naturalization requirements characteristic of revaluated
citizenship can be characterised as linguistic-institutional integration, and even as policies of
nation-building in the thin sense defined in relation to Kymlickas notion of societal cultures.
But the kind of common nationality required by liberal nationalism cannot be secured by
mere linguistic-institutional integration understood along the lines of a societal culture, which
9

The individuals with whose meaningful choices this argument for integration is concerned might be the
immigrants, the existing citizens, or both. In the case of the immigrants, the point of the argument is to secure
their opportunity for making free choices in their new society. To require them to integrate for this purpose
might seem paternalist and as such potentially problematic from a liberal perspective. According to
Kymlickas liberalism [1989, chaps. 2-4, 1995: 80ff] this is nevertheless consistent with respect for the equal
moral status of the immigrants, since the liberal ideal of individual freedom is concerned with the right
rather than with a specific conception of the good, and the integration requirement is justified instrumentally
with reference to this ideal. As a concern for the context of choice of existing citizens, the argument might
alternatively be invoked as a reason against immigration, but for it to be plausible as such immigration must
destroy the context of choice provided by established institutions, cf. Lgaard, 2007a.

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is primarily institutionally defined. Whether one prefers to say that linguistic-institutional


integration is insufficient or that successful linguistic-institutional integration also requires
psychological integration and a degree of cultural assimilation in addition to the institutional
participation suggested by Kymlickas characterisation of a societal culture is a merely
terminological issue.
This conclusion might seem to support Millers formulation of the relationship between
RC policies and liberal nationalism, but there are also problems with his position: a) The
kinds of RC policies regarding naturalization supported by Miller are not sufficient to secure
the kind of cultural integration required by his more substantive version of liberal
nationalism, and b) naturalization policies that would be sufficient, would not be liberally
acceptable. As to the first point, Miller asks if immigrants can be required to absorb some
aspects of national culture as a condition of being admitted to citizenship? [2008: 385] But
the answer he gives only refers to teaching citizenship formally to make people understand
whats expected of them as citizens, which is spelled out in terms of distinctively political
values such as active participation. He concludes that the RC policies involving citizenship
tests can be defended on national culture grounds. But these tests merely concern a working
knowledge of the national language and, and some familiarity with the history and institutions
of the country [2008: 385]. As an affirmative answer to the question whether immigrants can
be required to absorb some aspects of the national culture as a condition of being admitted to
citizenship, his claim only makes sense if a) the national culture in question only concerns
the obligations of citizenship, proficiency in the official language and the noted kind of
familiarity, and b) if successful performance at tests of these things can be taken as evidence
that immigrants have in fact absorbed the culture in question. But both assumptions are
problematic on Millers own conception of nationality, since his point is exactly that
nationality must consist in more than acceptance of political principles and knowledge of
political institutions and must be an internalised aspect of subjective and affective identity in
order to motivate people in the required way.
The substantial lesson is that the sort of integration involved in RC policies is not
sufficient to secure the kind of integration required by liberal nationalist arguments. And this
means that the RC naturalization requirements are only nationalist in the weak sense that they
might be favoured on liberal nationalist grounds over more lenient conditions, not in any
stronger sense. One might take this point, however, as an argument for much stricter
naturalization requirements. This would reveal liberal nationalism as implying a much more
exclusionary position conditioning access to citizenship on full psychological integration and
a substantial degree of cultural assimilation. But here the third element of liberal nationalism
as sketched in the introduction becomes relevant, namely its acceptance of liberal constraints
on nation-building policies. One such constraint derives from the requirement that all longterm residents of a state should be able to become citizens within a reasonable period of time,
because their subjection to the political authority of the state and its coercive imposition of
rules and legislation is only justifiable if they themselves can come to participate as equal
citizens in the democratic determination of the states policies [Miller, 2008: 377]. Taken in
isolation, this democratic principle implies that access to citizenship should only be
conditional on residence and sets limits to the period of residence that can be required
[Baubck et al, 2006: 32; Carens, 1989, 2002, 2005]. Access to citizenship should therefore
be a right governed by objective conditions rather than a discretionary act of the state
premised on individually examined ability to assimilate [Joppke, 2005a: 52]. This stress on

Liberal Nationalism, Citizenship and Integration

95

justifiability arguably fails to capture other aspects of citizenship, e.g. those related to
obligations, but as an acknowledged component of liberal nationalism it suggests that it must
be possible to satisfy any additional naturalization requirements, including demands for
cultural integration, within such a limited period.
The acceptance of this liberal constraint means that a liberal nationalism cannot simply
extend the residence requirement as a means toward securing psychological integration. Add
to this the practical problems of determining the degree of psychological integration, together
with the lack of any necessary or even merely reliable connection between length of residency
and psychological integration, and the conclusion seems to be the following: Even though
liberal nationalism is fundamentally concerned with psychological integration and a
substantial degree of cultural assimilation, it cannot secure this aim through naturalization
requirements, both for practical reasons and since it would then cease being liberal.

NATURALIZATION REQUIREMENTS: INCLUSION OR EXCLUSION?


The foregoing discussion of liberal nationalism has assessed the claims of liberal
nationalists regarding RC policies on the basis of assumptions internal to liberal nationalism.
From this perspective the relevant or interesting function of naturalization policies is to secure
integration of would-be citizens into the nation. The general aim of liberal nationalism as
applied to the issue of access to citizenship is that all citizens should be members of the
nation, and naturalization policies must be designed and evaluated in terms of how they
contribute towards this end. This is an example of how membership of one group (the
community of citizens of a state) is made conditional on membership of another (the nation).
Because liberal nationalists both think it possible and desirable for non-members to become
members of a nation, this is not equivalent to complete exclusion of non-nationals from
citizenship. And because liberal nationalists are liberals, they do not require complete
assimilation as a condition for naturalization. The tests characteristic of RC policies rather
require applicants for naturalization to display a sufficient degree of effort to attain
knowledge and abilities relevant to membership of the nation, and this is then taken by liberal
nationalists as evidence that the aim of such policies is integration into the nation and that
such requirements are also likely to be sufficiently effective tools in securing this aim. I have
argued that there are reasons from within liberal nationalism for thinking that RC policies are
neither necessary nor sufficient for this purpose.
If this conclusion holds, then the positive claims of liberal nationalists about the close
link between RC policies and liberal nationalist concerns are unfounded. But this leaves the
possibility that there might be a weaker relation of support from liberal nationalism to RC
policies; such naturalization requirements might be preferable from a liberal nationalist point
of view over less exacting conditions, even though RC policies do not secure the liberal
nationalist correlation between citizenship and nationality. This section briefly considers
whether there might be reasons to doubt even this weaker claim. The reason for doubt has to
do with the way in which RC policies are exclusionary, and the way in which this exclusion is
related to nationality.
RC policies, as all policies regulating membership of a group, might be considered as
both inclusionary and exclusionary [Joppke, 2008: 542]. According to the liberal nationalist

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interpretation of these policies, their aim is inclusion of a specific kind, namely integration
into the nation. But precisely because the overall aim of liberal nationalism is that all citizens
should be members of the nation, RC policies understood as instruments for this purpose will
equally have exclusionary functions, namely to deny naturalization to those who do not
qualify for membership in the nation by not performing sufficiently well at the tests. Inclusion
and exclusion are necessary compliments to each other as long as the requirements of
membership of the nation are substantial and not merely formal; if the conditions for
inclusion are so demanding that not all applicants will automatically meet them (for instance,
after a certain length of residence), some will inevitably be excluded.
If one takes up an external perspective on liberal nationalism as a view about
naturalization, or on RC policies in general, there may be all kinds of reasons to criticise
exclusionary implications of liberal nationalism or the exclusionary functions and effects of
RC policies. Such discussions go beyond the scope of the present chapter. But there is
nevertheless reason, even from the point of view of liberal nationalism, to consider the
exclusionary effects of naturalization requirements like those embodied in RC policies. Even
if, contrary to what has been argued hitherto, there actually is a close link between liberal
nationalism and RC policies, such policies might also be problematic from the point of view
of liberal nationalism.
One way to frame the inclusion/exclusion issue is to say that RC policies seem to mark a
shift in political emphasis from the status aspect to the identity aspect of citizenship [Joppke,
2008: 534]. Insofar as liberal nationalists are right in understanding RC policies as attempts at
securing that all citizens are also members of the nation, it is true that such policies are
motivated by what might be termed an identitarian concern for unity among and integration
of citizens. But at the same time RC policies in fact regulate access to the status of citizen. So
even if the link between RC policies and the nation as an identity community holds, one
should not say that these policies indicate a shift from citizenship status to citizenship
identity, but rather that access to citizenship status has been made conditional on
considerations of identity.
But even if the strong link between RC policies and liberal nationalist concerns does not
hold, for instance because the national identity in question is too thin, without any
cultural particular content [Joppke, 2008], the problem still is that even apparently thin
identity political aspects of RC policies might be problematic from a liberal nationalist point
of view. The problem is that, even if the content of the identity promoted by way of RC
policies is purely universalistic, in terms of liberal values of equality, democracy and respect
for individual rights, for instance, the institutionalisation of naturalization requirements
making access to citizenship conditional on a properly expressed acceptance of these
national values might have exclusionary effects that contradict the liberal nationalist aim of
inclusion [Lgaard, 2007b].
The aim of liberal nationalism is to secure integration into the nation of all prospective
citizens, and liberal nationalists understand RC policies in this light, that is, as mechanisms
making demands on applicants that are likely to result in the required kind of identity. The
mechanisms by which liberal nationalists suggest this inclusionary aim be pursued, in this
case naturalization policies, are exclusionary since applicants who fail at the tests will be
denied citizenship. This might not be a great problem if all that is required for membership of
the nation is basic proficiency in the national language and rudimentary knowledge about
institutions, i.e. something like Kymlickas societal notion of nationality. A argued above,

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97

however, this conception of nationality is insufficient in relation to the instrumental


arguments on which liberal nationalism is based. But if the valued kind of nationality is more
akin to Millers thicker notion of affective identification with a cultural community, the
association of this aim with exclusionary naturalization policies might be problematic from
the point of view of the very same aim of inclusion. If applicants for naturalization are
presented with strict requirements in the form of tests that have to be passed in order to gain
access to the desired status of citizenship, and the level required for passing is considerable,
the notion of nationality associated with these tests is just as likely to be viewed as a source of
opposition to be overcome rather than as an object of affective identification. Rather than
identifying with the nation in the relevant sense, applicants might view the requirements in a
purely instrumental and strategic perspective, i.e. as obstacles to be overcome in the most
efficient manner, or they might even develop negative relations to the national ideal that
threatens to prevent them from gaining the full rights of citizenship of the country in which
they reside. But in that case, which is not improbable given the level of requirements of many
RC policies, the naturalization policies advocated by liberal nationalists on the basis of a
concern with securing affective identification not only do not secure this aim but directly
contradict and oppose its realisation.

CONCLUSION
RC policies have been claimed, by some, to be a form of liberal nationalism [Kymlicka,
2003a], and, by others, to be at most nationalist in name [Joppke and Morawska, 2003;
Joppke, 2005a, 2005b]. The present paper has attempted to show that both views may in a
sense be right. The sense in which RC policies regarding naturalization can be nationalist is
minimal, however, in that they only involve linguistic-institutional integration and acceptance
of liberal principles, and not a more substantial cultural form of assimilation. Whether one
would call this a kind of nation-building is really a matter of taste, but insofar as one does, it
should be stressed that the sense of nationality involved is extremely thin, to the extent that it
really only involves participation in societal institutions operating in a shared language,
including a demand for acceptance of the liberal values on which the institutions are based.
As such, this kind of nationality does not in itself involve the kind of affective national
identity and national culture on which the instrumental arguments for liberal nationalism rely.
The upshot is that liberal nationalism as a substantial and not merely nominal position is
not plausible as a view about access to citizenship, i.e. the status dimension of citizenship.
This is not a claim that nationalism simply is a claim about citizenship and that it is
problematic as such, nor is it to deny that nationalism is often plausibly taken to have
implications for which naturalization policies states should pursue. As noted in the beginning
of this chapter, nationalism as a political theory can be formulated in many ways depending
on the conception of the nation and on the political significance that is claimed for it. The
chapter has solely been concerned with one particular application of a particular form of
liberal nationalism, which is completely compatible with acknowledgement that nationalism
is usually not only, or even primarily, a claim about citizenship. And many forms of
nationalism do of course have clear implications for naturalization policy. Assessments of
these implications will usually take an external perspective, i.e. evaluate whether the implied

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policies are acceptable on the basis of other values or principles. The main claim of the
present chapter is different from such external criticisms, since it is based on internal features
of liberal nationalism, i.e. the conceptions of the nation and the liberal constraints that
Kymlicka and Miller accept. The suggestion is that these internal characteristics of liberal
nationalism do not underwrite the claims about RC policies that Kymlicka and Miller make.
RC policies are not nation-building policies in the relevant sense, and do not only make sense
as attempts at integration of immigrants into the cultural nation. Because of the liberal
nationalist view of nationality and the nature of RC policies, there is no reason to see these
policies as confirmations of the normative claims of liberal nationalism, or reason to think
that liberal nationalism is necessary in order to justify such policies. So liberal nationalism
does not, on its own premises, provide a very strong or specific position on naturalization
policies.
This claim does not rule out the possibility that liberal nationalism may have more to say
with respect to the content of citizenship in terms of the identity and culture that citizens can
be expected and encouraged by the state to adopt and engage in, i.e. the identity aspect of
citizenship as independent from the issue of access to the status of citizenship. But a liberal
nationalism that is still substantive cannot, then, be a view about the conditions for
membership of the state. It might more plausibly, when this is once again understood as an
internal claim, be a view about the cultural and educational policies that the state should
pursue with respect to its members. On this basis, Millers claim that revaluated citizenship
only makes sense as nation-building is true in the thin linguistic-institutional sense, but
false in the thicker psychological sense. The true version of the claim depends, however, on
a conception of the nation that is too thin for Miller and Kymlickas purposes. The second
version is false, insofar as naturalization requirements and policies concerning the identity
aspect of citizenship can be sufficiently justified without reference to an affectively
internalised national culture.

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In: Group Theory


Editor: Charles W. Danellis, pp.103-152

ISBN 978-1-60876-175-3
2010 Nova Science Publishers, Inc.

Chapter 4

THE CONSIDERATION OF RAPE AS TORTURE


AND AS GENOCIDE: SOME IMPLICATIONS
FOR GROUP THEORY
Daniela De Vito
Roehampton University, London, United Kingdom

...there is no pain that lasts a hundred years,


nor a body that will endure it ,...
there is no pain greater than the pain of being alive
- a Nicaraguan saying 1

INTRODUCTION
Within the past few decades, relatively rapid developments have occurred in relation to
the promotion, protection, and even at certain levels the enforcement of human rights norms.
A plethora of international, regional and national human rights instruments and mechanisms
have been established. Despite these critical steps, the human rights discourse which involves
States, international organisations such as the United Nations (UN), non-governmental
organisations, the media, individuals, theoretical and legal developments, etc., continues to
adapt and to reveal discrepancies between what is required and what in reality occurs.
How rape has been conceptualised, placed, and treated by various institutions and
instruments within international human rights and humanitarian law presents both
inconsistencies and, in recent times, innovative conclusions. With respect to inconsistency,
when rape is mentioned explicitly within, for instance, the context of international

Quote taken from: James Quesada. Suffering Child: An Embodiment of War and Its Aftermath in PostSandinista Nicaragua. P. 51.

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Daniela De Vito

humanitarian law, it tends to be associated with a womans honour and not as a crime of
2
violence.
Alternatively, an emphasis is placed on the protection of women and not on the
prohibition of rape. As long as there is no single authoritative instrument or provision that
exists for defining rape within regional and United Nations (UN) human rights instruments, it
will not be possible to point to an overarching definition of rape that can be utilised within the
context of international humanitarian law. However, in 1998, the Trial Chamber for the
International Criminal Tribunal for Rwanda (ICTR) included within its Judgement in the case
3
of the Prosecutor v. Jean-Paul Akayesu an attempt to define rape within international law.
Highly innovative, this definition has been used as a starting point for subsequent
international criminal tribunal reflections on how rape can be categorised. (See also Elements
of Crimes, Rome Statute, International Criminal Court, War Crime of Rape and Crime against
Humanity of Rape)
4
In contrast, there is a series of international crimes, such as torture, that have been
conceptualised and treated as crimes of violence and as such their prohibition within
5
international law is considered paramount.
Furthermore, beyond rape being subsumed within the categories of such international
crimes as torture, genocide, the grave breaches provisions of the Geneva Conventions (1949),
or crimes against humanity, rape currently does not stand on its own as an enumerated
international crime. Rape is prohibited under international law, but is not specifically
designated as an international crime. The result of this process is that rape must be subsumed
within an established international crime, such as genocide, crimes against humanity, war
crimes, etc. if it is to be prosecuted within an international criminal tribunal or the recently

Rhonda Copelon has argued that where rape is mentioned in the Geneva Convention (1949) it is conceptualised as
an attack against honour, rather than depicted as a crime of violence. She argues this is problematic, because
it marginalises the seriousness as well as the violent nature, of rape under international humanitarian law. She
urges that rape should be viewed as a form of torture, in order to remove the ambiguity that is the legacy of
sexism and to place such crimes against women on a par with crimes against men
Rhonda Copelon, 1999: 337.
3
In its findings, the Trial Chamber defined rape as a physical invasion of a sexual nature, committed on a
person under circumstances which are coercive.
The Chamber also stated:
rape is a form of aggression and that the central elements of the crime of rape cannot be captured in a
mechanical description of objects and body parts. This approach is more useful in international law.
ICTR, Prosecutor v. Jean-Paul Akayesu (Case No. ICTR-96-4-T, 2 September 1998): 138.
The Akayesu Judgement provided an overarching and potentially progressive definition of rape where none had
existed before in instruments of international law. The case also established that rape could be tried as a
component of genocide if committed with the intent to destroy a targeted group.
4
There remains dispute over what is considered an international crime (crime under international law?). Overall,
an international crime, in relation to State responsibility, may be understood as those acts which the
international community as a whole considers to be serious breaches of obligations essential for the
protection of fundamental interests of that community.
UN Document A/CN.4/453 and Add. 1-3, Fifth Report on State responsibility by Mr. G. Arangjio-Ruiz, Special
Rapporteur, Yearbook of the International Law Commission II (1) (1993): 31.
5
See Articles 1, 2, 4 and 5 from the United Nations Convention against Torture and other Cruel, Inhuman or
Degrading Treatment or Punishment (1984).
P.R. Ghandhi, 2000: 109.

The Consideration of Rape as Torture and as Genocide

105

established International Criminal Court. As such, determining and assessing some of the
theoretical implications for rape that emerge once it is subsumed into an established
international crime will form the crux of this study.
This chapter determines and assesses some of the theoretical implications for rape that
emerge once it is placed within the international crimes of torture and genocide. Specifically,
the differences between rape as a form of torture with its emphasis on the individual and rape
as genocide which focuses on violations committed against the group will form the basis of
this theoretical analysis. The question therefore becomes, does the dynamic of rape alter
when it is subsumed within these complex and contrasting international crimes?
Furthermore, it will be argued that any study of group theory, as it relates to rape within the
context of international law, must appreciate the relationship between rape as it affects the
individual and rape as it affects the group.
In general rape has been conceptualised as a crime committed against individual victims.
In turn, the international crime of torture has been constructed as a human rights violation
committed against the individual. The consideration of rape as a form of torture is a recent
innovation. At the international level, the first formal association was made by the United
Nations (UN) Special Rapporteur in 1986. Rape as torture still emphasises the individual
victim/survivor. In contrast, the critical focus of genocide is the protection of entire human
groups. It is the right to existence of human groups and not of individuals which is the
7
concern. When rape has been considered as genocide which is conceived as a crime
committed against certain groups its dynamic changes. Rape is no longer just a violation
against the individual. Rape becomes part of a notion set up to protect the group. The
determination of this chapter is that there is still a place for the individual victim of genocide
or of rape as genocide. However, as with the current concept of human rights, this space is
unequal and at times uncomfortable. Crucially, even with innovative jurisprudence there is a
need to assess the complex relationship between rape that affects the individual and rape as
genocide which is placed within the group dynamic.
Although the chapter will touch upon international human rights and humanitarian law, it
will not function within a traditional legal framework. Analysing recent changes achieved
within the human rights discourse, in relation to how rape has been conceptualised, placed
and treated, will instead be driven by conceptual resources found within the broad discipline
of political theory. For instance, when is a human rights violation a public/private matter?
Also, when are rights concerns for individuals or for groups?
Underlying the chapter are two fundamental questions:
(1) What are some of the theoretical implications of considering rape as a form of torture
when committed within the spheres of international human rights and humanitarian
law? and;
(2) What are some of the theoretical implications of considering rape as genocide?

For more on this, please refer to the Statutes for the International Criminal Tribunal for Rwanda, the International
Criminal Tribunal for the Former Yugoslavia, the Sierra Leone Special Court, and the International Criminal
Court.
7
See for instance, Prosecutor v. Jean- Paul Akayesu (International Criminal Tribunal for Rwanda (ICTR), Trial
Chamber Judgement, 1998). Hereinafter the Akayesu case.

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Daniela De Vito

Three main areas of discussion, emanating from two real-life international criminal
tribunal cases, have been identified to arrive at an understanding of some of the theoretical
implications that can affect rape. These two cases, one taken from the International Criminal
Tribunal for the Former Yugoslavia (ICTY) and the other from the International Criminal
Tribunal for Rwanda (ICTR) offer an opportunity to extract and to assess certain theoretical
issues that could affect the understanding of rape. The ICTY case (2001) discusses rape and
torture and also acknowledges the individual component of rape with references to violations
8
of sexual autonomy. In contrast, the ICTR case (Akayesu case, 1998) proposes for the first
time that under specific circumstances rape could be genocide thereby constructing rape
within the formulation of genocidea crime against the group (Akayesu case, 1998).
The three main areas of deliberation are: possible tensions within the current concept of
human rights between the individual and the group; understanding rape as a violation
committed against the individual; and what can occur to rape once it has been subsumed
within an established international crime such as torture or genocide. These factors are crucial
to determining and assessing some of the theoretical implications emerging from recent and
innovative international jurisprudence.
The chapter is organised into six sections, including this Introduction:
Torture and Genocide Briefly Defined
Setting the Theoretical Framework: Subsuming Rape into Established International
Crimes (Torture and Genocide)
Rape as a Form of Torture: Arriving at an Understanding of the Political
Rape as Genocide: Theoretical Implications for the Group
Conclusion

TORTURE AND GENOCIDE BRIEFLY DEFINED


Torture
The right not to be subjected to torture is listed in several international and regional
9
human rights instruments. The non-derogable nature of this right, meaning that even under
declared states of emergency it can never be suspended, is well founded within several
regional and international human rights instruments and within international humanitarian
law. Its position within what is referred to as general international law is commonly
accepted. Briefly on this subject, through various international, regional, and even domestic
developments achieved since the establishment of the UN, the prohibition of torture fits into
8

Prosecutor v. Dragolijub Kunarac, Radomir Kovac and Zoran Vukovic, ICTY, IT-96-23-T & IT-96-23/1-T,
Judgement, 22 February 2001. Hereinafter the Foca Case.
Although the Kunarac et al cases focuses on Crimes Against Humanity, it has been chosen for analysis due to the
discussions of rape and torture and the notion of sexual autonomy.
9
For example, this right is explicitly noted in the Universal Declaration of Human Rights (1948), Declaration on
the Protection of All Persons from Being Subjected to Torture and Other Cruel, Inhuman or Degrading
Treatment or Punishment (1975), Convention against Torture and Other Cruel, Inhuman or Degrading
Treatment or Punishment (1984), Inter-American Convention to Prevent and Punish Torture (1985), European
Convention for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment (1987), Body
of Principles for the Protection of All Persons under any Form of Detention or Imprisonment (1988), Code of
Conduct for Law Enforcement Officials (1979), etc.

The Consideration of Rape as Torture and as Genocide

107

the category of general international law which emanates from certain established sources of
international law such as treaties or custom. (Nigel Rodley, 1999)
What constitutes torture? More than one definition of torture exists, such as those
outlined under the UN and the Inter-American human rights regimes. The understanding of
torture varies. For example, the UN Convention (1984) mentions that torture involves the
infliction of severe pain or suffering while the Inter-American Convention (1985) leaves out
10
this element of severity. In contrast, the European Convention (1987) does not include a
11
definition of torture. Torture, as outlined in the Greek Case , can be understood from the
perspective of a sliding scale with a series of phases surpassed in order to arrive at this
international crime:
So, for torture to occur, a scale of criteria has to be climbed. First, the behaviour must be
degrading treatment: second, it must be inhuman treatment; and third, it must be an
aggravated form of inhuman treatment, inflicted for certain purposes. (Nigel Rodley, 1999:
77-78. See also: OSCE, 1999: 37 Duncan Forrest, 1991: 1-20 Bertil Duner, 1998: 3-62 and
Michael Peel, 2005: 7-19)

A more contemporary examination of these degrees of acts can be found in the


International Criminal Tribunal for the Former Yugoslavia (ICTY) Trial Chambers decision
in the Celebici case. Due to how the charges of rape were formulated, namely under the
heading of Torture and Cruel Treatment, the Trial Chamber had to work through not only
what constituted torture and cruel treatment, but also into which category rape should be
placed in this particular case. In a detailed analysis the Trial Chamber, albeit within the
context of an international armed conflict, examined the various components of torture;
wilfully causing great suffering or serious injury to body or health; inhuman treatment; and
12
cruel treatment.
Which definition of torture, then, will be most useful for this chapter? The two cases
mentioned emanate from the UN human rights system and address situations of international
10

Article 1 of the UN Declaration (1975) reads torture means any act by which severe pain or suffering, whether
physical or mental, is intentionally inflicted
Article 1 of the UN Convention (1984) reads 1. For the purposes of this Convention, the term torture means any
act by which severe pain or suffering, whether physical or mental, is intentionally inflicted on a person
Article 2 of the Inter-American Convention (1985) reads torture shall be understood to be any act intentionally
performed whereby physical or mental pain or suffering is inflicted
P.R. Ghandhi. Pp. 109 and 315.
N. Rodley. P.389.
11
The Greek Case was, in 1967, brought before the European Commission of Human Rights by four member
States alleging violations committed by the Greek Government of human rights violations including tortureunder the European Convention for the Protection of Human Rights and Fundamental Freedoms (1950).
In the words of the Commission:
for all torture must be inhuman and degrading treatment, and inhuman treatment also degrading. The notion of
inhuman treatment covers at least such treatment as deliberately causes severe suffering mental or physical,
which, in the particular situation, is unjustifiable. The word torture is often used to describe inhuman
treatment, which has a purpose, such as the obtaining of information or confessions, or the infliction of
punishment, and it is generally an aggravated form of inhuman treatment.
Yearbook of the European Convention on Human Rights (The Greek Case). V. 12. 1969: Introduction and 186.
The inclusion, by the Commission, of an element of justifiability has been criticised since it could be construed that
in particular circumstances such acts could be acceptable. Nigel Rodley, 1999: 78-84.
12
Prosecutor v. Zejnil Delali et al. ICTY, IT-96-21-T, Judgement, 16 November 1998. Hereinafter the Celibici
case). Pp. 161-162.

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Daniela De Vito

or non-international armed conflicts. It is not set in stone that the UN Convention (1984) and
its definition of torture must be followed for situations of armed conflict. Yet, in an
interesting assessment, the ICTY Trial Chamber has argued:
It may therefore be said that the definition of torture contained in the Torture
Convention (1984) includes the definitions contained in both the Declaration Against Torture
and the Inter-American Convention and thus reflects a consensus which the Trial Chamber
considers to be representative of customary international law. (Celebici case, 1998: 170)

In contrast, however, the ICTY Trial Chamber in another decision concludes


that the definition of torture under international humanitarian law does not comprise
the same elements as the definition of torture generally applied under human rights law. In
particular, the Trial Chamber is of the view that the presence of a state official or of any other
authority-wielding person in the torture process is not necessary for the offence to be regarded
as torture under international humanitarian law.

13

As such, the Trial Chamber used customary international law to define torture within the
confines of international humanitarian law as involving
(i) The infliction, by act or omission of severe pain or suffering, whether physical or
mental.
(ii) The act or omission must be intentional.
(iii) The act or omission must aim at obtaining information or a confession, or at
punishing, intimidating or coercing the victim or a third person, or at discriminating,
on any ground, against the victim or a third person. (Foca case, 2001: 170)
Furthermore, in the Rome Statute for the recently established International Criminal
Court there has been a shift away from the requirement of an official link in the commission
of torture and under certain circumstances (Crimes against humanity) a specific purpose is
14
not required.
Regardless, the definition of torture as found under the UN Convention
(1984) will be used for relevant cases. In other circumstances, the appropriate instrument or
interpretation will be referenced on a case by case scenario.

13

Prosecutor v. D. Kunarac (et al). IT-96-23-T & IT-96-23/1-T (hereinafter the Foca case). Judgement. 22
February 2001.
14
The UN Human Rights Committee, in reference to Article 7 of the ICCPR has also argued this point in 1992.
It is the duty of the State party to afford everyone protectionagainst acts prohibited by article 7, whether inflicted
by people acting in their official capacity, outside their official capacity or in a private capacity.
Foca Case. P. 164.
See also the Rome Statute for the International Criminal Court (ICC) Elements of Crimes in relation to the issue
of an official capacity and purpose.
Articles 7 and 8.

The Consideration of Rape as Torture and as Genocide

109

Genocide
Considering rape as genocide may have an impact on the prohibition of rape and on rape
as a form of torture. Why is it necessary to formulate a definition of genocide? Such
definition making is critical for any attempt to understand what has taken place in a particular
situation. Without a definition, it is not possible to determine if genocide was/is present.
However, Helen Fein is correct in asserting that at times the term genocide is overly used,
thereby watering down its meaning. (Helen Fein, 1993:4) A definition is also necessary for
prevention in the face of a potential or developing crisis. . (George J. Andreopoulos
(ed.), 1994: 4) Despite the need to define genocide, its formulation is fraught with difficulties.
That is, There is no single correct definition of genocide waiting to be discovered. (Michael
Freeman, 1991: 186) This is not to say that the more definitions of genocide exist, the better.
Rather, as witnessed by the Genocide Convention (1948), gaps can exist or clarifications need
to be made in terms of what constitutes genocide. One key difference from earlier episodes of
genocide is that the twentieth century versions had increasingly involved genocide committed
by the State against its own citizens under situations outside inter-State wars. In other words,
conditions not necessarily involving conflict between States. (Chalk & Jonassohn, 1990: 9)
Therefore, genocide has taken place, more and more, within the parameters of intra-State 15
within the State - realities.
The push to place the prevention and punishment of genocide within the paradigm of post
W.W.II international legal norms originated with Raphael Lemkin. Specifically, he wanted
the newly formed United Nations (UN) - 1945 - to tackle the subject. However, the roots of
trying to deal with some of the issues involved in genocide can be traced centuries earlier to
even the 17th Century. The religious wars and inhumane international conditions in Europe
during the 1600s prompted the legal theorist Hugo Grotius (1583-1645) to push for reforms.
He urged the powers at the time to resolve conflicts via legal structures rather than wars. He
believed that this method would promote, ...co-operation, peace and more humane treatment
of people.(Kegly & Wittkopf, 2003: 481)
In his examination of genocide, Raphael Lemkin determined that it was the ...denial of
the right of entire groups to exist (and that) the punishment of the crime of genocide is a
matter of international concern. In December 1948, the UNs General Assembly
16
unanimously adopted the Genocide Convention (1948).
It entered into force in January
1951.
Precisely defining what constitutes genocide was not only difficult in 1948, but is still
contentious today. (Damien Short, 2008 Adam Jones, 2006 Martin Shaw, 2006 and Martin
Shaw, 2007) One of the most serious problems is deciding what constitutes a victim group of
17
genocide. For example, the Genocide Convention (1948), under article II, attempts to define
potential victim groups. It sees that genocide is the crime of ...acts committed with the intent
to destroy, in whole or in part, a national, ethnic, racial or religious group. One ongoing
15

This fact could have important implications, for example, in relation to the tensions between State sovereignty
and the issue of humanitarian intervention under international law.
16
GA Res. 260A(III), UN Doc. A/760.
Ratner & Abrams, 2001: 27-28 and n. 11.
17
Other concerns stem from the precise meaning of in whole or in part and how to determine intent.
For more on these issues, please see below and also refer to George J. Andreopoulos.

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Daniela De Vito

concern is that this definition does not provide protection to those who do not technically fall
into these categories, such as members of political groups. In turn, Kelly Dawn Askin
proposes that gender- in particular women as a gender - be added as one of the groups
18
outlined in the Genocide Convention. She notes that gender, as it is understood, would not
go beyond the intentions of those who framed the Genocide Convention since they wanted
to extend protection to stable groups only groups having an enduring identity. (Kelly
Dawn Askin, 1997: 342) In the Akayesu case (ICTR), rape constituted genocide since it was a
method used against Tutsi women. The aim was to destroy in whole or in part the ethnic
group of Tutsis via rape. The effects of being raped, of witnessing relatives being raped, and
of unwanted pregnancies contributed to this destruction. According to the ICTR Trial
Chamber, the women were targeted due to their membership in the Tutsi group. However,
and with the understanding that the Genocide Convention (1948) is the basis for any
examination of genocide, only focussing on the fact that these women were Tutsi and putting
aside the idea that they were raped because they were women or individuals may present an
incomplete overview of the crimes that occurred in Rwanda.
Even with a working definition of genocide, the Genocide Convention does not include
all potential acts. The issue of cultural genocide as an enumerated act under the Genocide
Convention (1948), such as prohibiting the use of a language and destroying or preventing
the use of libraries, etc., was discussed at the General Assembly and at the UNs Economic
and Social Council (ECOSOC). This section was not included in the final draft of the
19
Genocide Convention passed in 1948. In addition, the tension created by defining who is
a potential victim and what genocide could reflect, highlights the need to move beyond an
understanding of the subject that is solely framed by the horrible events of the Holocaust.
(Alan J. Rosenbaum, 2001: 22) In other words, genocide can involve several types of groups
and methods/realities beyond only ...the complete biological destruction... of a group.
(Ratner & Abrams, 2001: 22) Away from a working definition of genocide, what are some of
the other issues that the Genocide Convention (1948) outlines? Under article III, the 1948
20
Convention provides for the punishment of genocide. It also provides for the prevention of
this crime. Under article VIII, any Contracting party may ask the UN to take ...action
under the UN Charter (1945) for the prevention and suppression of acts of genocide or any of
the acts in article III. (P.R. Ghandi, 2000: 20) Once again, Article 4 of the ICTY Statute
borrows language from the relevant sections of the Genocide Convention (1948).
Furthermore, genocide is considered an international crime whether it occurs during war or
21
during peacetime.
Although this provision of the Genocide Convention (1948) is not
explicitly found in Article 4 of the ICTY Statute, the Final Report of the Commission of
18

The connection is between sex crimes and genocide: The sex crimes against women occur specifically because
of their gender.
Kelly Dawn Askin, 1997: 342 and n. 1072.
19
One concern was that a definition of cultural genocide would be difficult to develop and therefore could be
open to abusive and illegitimate claims of genocide. Cultural genocide had been included in two earlier
drafts of the Genocide Convention.
Ratner & Abrams, 2001: 31.
20
In relation to genocide and permissive universal jurisdiction.
21
Article I of the Genocide Convention reads genocide whether committed in time of peace or in time of war, is
a crime under international law.
P.R. Ghandhi, 2001: 19.

The Consideration of Rape as Torture and as Genocide

111

Experts for the Former Yugoslavia highlights both when genocide can take place and that it
22
is an international crime.
Article II of the Genocide Convention (1948) which is repeated in the ICTY Statute
23
mentions the important component of intent. That is, for genocide to be proven it must be
24
demonstrated that the perpetrator(s) had the intent to destroy in whole or in part a group(s).
The individual on its own is not the focus. Rather, several individuals as members of a
25
national, ethnical, racial or religious group as such are the concern.
The Final Report of
the Commission of Experts describes intent overall as the subjective or mental
26
In relation to genocide, the Commission focused on
constituent element of a crime.
whether there was enough evidence to show reasonably that the perpetrator would have been
aware of the consequences that his or her actions would have inflicted onto the target
27
group(s).
For the Commission this would reveal intent but not necessarily the motive
28
behind the acts or omissions. Despite this attempt to work through what constitutes intent,

22

In particular, the Commission noted Thus, irrespective of the context in which it occurs (for example, peace
time, internal strife, international armed conflict or whatever the general overall situation) genocide is a
punishable international crime.
Bassiouni & Manikas. Quoting from the Final Report of the Commission of Experts pursuant to Security Council
Resolution 780 (1992), UN SCOR (Security Council Official Record), Annex, UN Doc. S/1994/674 (27 May
1994): 523.
23
The ICTY Statute reads Genocide means any of the following acts committed with intent to destroy, in whole or
in part, a national, ethnical, racial or religious group, as such:
Ibid: 521.
Social and political groups are also excluded from protection under Art 4 of the ICTY Statute.
Id. 526.
24
Article 4 (2) of the ICTY Statute includes a list of act(s) - actus reus (guilty act) - which inter alia are killing (a),
causing serious bodily or mental harm (b), the forcible transfer of children (e), etc.
Id. 521-522.
25
According to the Final Report of the Commission of Experts the wording of as such allows for an
understanding of genocide to include the crimes against a number of individuals must be directed at them
in their collectivity or at them in their collective character or capacity.
Id. 524.
The categories of national, ethnic and racial be understood as follows: the term national group as a set of
individuals whose identity as such is distinctive in terms of nationality or national originsThe difference
between the terms ethnic and racial is perhaps harder to grasp. It seems that the ethnic bond is more
culturalThe racial element, on the other hand, refers more typically to common physical traits.
Morris & Scharf, 1998: 173 at n. 698-700.
It should be noted that membership in a particular group may also involve a subjective element. This means that a
person may consider themselves as being part of a group even if technically they do not fit all the parameters.
Prosecutor v. Alfred Musema, Judgement. Para. 161.
26
Id.
27
Id.
Intent, in relation to genocide, is described as the criminal mens rea.
Kelly Dawn Askin,1997: 338.
Mens rea (guilty mind) involves The state of mind that the prosecution must prove a defendant to have had at the
time of committing a crime in order to secure a conviction.
Elizabeth A. Martin (ed.). Oxford Dictionary of Law. P. 290.
28
Id.
To elaborate, most commentators agree that so long as the requisite intent is established, underlying motives are
irrelevant.
Ratner & Abrams, 2001: 38.

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Daniela De Vito

it nonetheless remains unsettled. (Ratner & Abrams, 2001: 36) One area of debate relates to
29
the issue of evidence, since often it may be circumstantial or indirect.
Using the Genocide Convention (1948) as a starting point, what does genocide consist
of? Steven Ratner and Jason Abrams outline three main elements. They are as follows:
the commission of at least one of the acts enumerated in Article II(a) through
(e);
the direction of that act at one of the enumerated types of groups; and
30
the intent to destroy the group in whole or in part.

Thus, the process of defining genocide continues today. The very real tensions created by
this debate must be addressed. If not, and unless workable definitions exist in international
law and in relevant academic disciplines, acting on the prevention and punishment of this
crime will continue to be bogged down by situations such as States incorrectly claiming that
genocide is not technically taking place as defined by the Genocide Convention (1948). The
measures undertaken during 2004 at the UN and within the broader international community,
regarding whether or not the human rights violations that have taken place in the Darfur
region of Sudan constitute genocide is one example of this difficulty. The purpose of
illustrating these shifting debates is not intended as a precursor to solving the tensions
31
involved. Rather, it is meant to elucidate the point that definitions of genocide do not offer a
complete picture of what genocide can constitute. The same can be true for any definition of
32
rape, torture, and rape as a form of torture.

29

Ibid and Supra n. 27 in relation to the lack of a plan per se.


Ibid: 27.
In terms of who can commit genocide that is, does it have to be the State or can other actors through their acts
also commit genocide? - during the deliberations to formulate the Genocide Convention it was decided by the
Ad Hoc Committee not to insert in definition any words to the effect that genocide must be committed,
encouraged or tolerated by heads of state or by those who lawfully or factually exercise governmental
authority.
Bassiouni & Manikas, 1999: 527 and n. 100.
31
For example the 1985 Whitaker Report of the UN called for decisive amendment of the Convention to
include all political mass murders.
George J. Andreopoulos, 1994: 75.
Whitaker Report:
Revised and updated report on the question of the prevention and punishment of the crime of genocide prepared by
Mr. B. Whitaker, Review of Further Developments in Fields with which the Sub-Commission Has Been
Concerned. UN Doc. E/CN.4/Sub.2/1985/6 (2 July 1985).
Also, the International Criminal Tribunal for Rwanda (ICTR) Trial Chamber in the Akayesu Judgement (at para.
516) stated that the list of four groups in the Convention (Genocide) is not exclusive insofar as the
Conventions drafters sought to protect any stable and permanent group.
Ratner & Abrams, 2001: 42.
32
I am grateful to Nigel Rodley for insisting on this point.
30

The Consideration of Rape as Torture and as Genocide

113

SETTING THE THEORETICAL FRAMEWORK: SUBSUMING RAPE INTO


ESTABLISHED INTERNATIONAL CRIMES (TORTURE AND GENOCIDE)
As outlined in the Overall Introduction, the approach taken is an analytical one driven by
the resources of political theory, while touching upon international law (human rights and
humanitarian). The reason for adopting this interdisciplinary format is to effectively examine
some of the theoretical arguments that underpin claims to human rights, and to assess the
ways in which the crime of rape has been conceptualised, placed and treated within
international law. Undertaking this broader approach offers a more comprehensive discourse;
theory and law should not be viewed as necessarily mutually exclusive and more importantly
each discipline can assist the other.
This section sets out the broad theoretical framework underpinning the work. The aim is
to highlight some of the critical themes such as how the status, role, and rights of the
individual have changed and adapted over time to be able to fit within the current concept of
human rights and how an emphasis on the individual exists within current understandings of
human rights. The final aspect outlines a process whereby under certain circumstances rape
can be subsumed into the established international crimes of torture and genocide. This will
provide the grounding which will enable the exploration of the two theoretical implications
identified: what can occur when rape is linked to torture and what can occur when rape is
associated with genocide. It is the individual and the group elements of torture and genocide
that will affect this analysis.

The State, the Individual and Human Rights


We can at first glance, see an important connection between liberalism and the concept of
human rights, the emphasis on the individual. Again, one can debate to what degree the
concept of human rights allows for notions such as the collective, group rights, and the
community. In essence, there are three main features that link the political ideology of
liberalism with human rights:
-

individualism
universalism
all individuals as being morally equal

These features, it can be argued, evoke a certain level of controversy. Yet, if one looks at
Article 1 of the UDHR (1948) echoes of this liberalism emerge:
All human beings are born free and equal in dignity and rights. They are endowed with
reason and conscience and should act towards one another in a spirit of brotherhood. (P.R.
Ghandhi, 2000: 22
33

33

Beyond liberalism the UDHR also echoes the broader notion of natural rights. As Johannes Morsink points out
Thus the similarity of language between the Universal Declaration and the eighteenth-century declarations of
rights should not be taken too lightly. Morsink, however, adds Thus it is clear that although natural rights
philosophy does inform the Universal Declaration, it does not inform all parts equally.

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Daniela De Vito

The seeds leading to the development of the concept of human rights are not only found
in liberalism. Furthermore, other traditions may understand and present human rights
differently. The implications of this may or may not adversely affect the overall concept of
human rights. So, for the sake of clarity I will understand the current concept of human rights
as emphasising the individual. However, this individual can to varying degrees also have a
place, role, and duties and receive benefits within his or her respective community. This
34
approach will, hopefully, allow for more flexibility in the theoretical discussions to follow.
During the 17th and 18th centuries changes occurred in the relationship between the state
and the individual where it was understood that the former existed for the individual and not
the inverse. (Noberto Bobbio, 1995: 41) Regardless, due to how the current international
system has been developed and continues to function, the role of the State in vis vis the
individual and his or her human rights continues to be paramount. First, and with reference to
the UN, its Charter and how it operates is State-centred. Human rights are indeed mentioned
in the UN Charter. However, these passages must be considered alongside Article 2(7), which
addresses State sovereignty and domestic jurisdiction matters, since these are still relevant
despite the plethora of human rights instruments and mechanisms subsequently developed
35
within UN structures.
Second, and in a twist of irony, despite the fact that human rights are to be used as a
buffer in the face of abusive State power and violence it is these very entities that are charged
with upholding lofty human rights norms. Taken to the extreme, this set-up is similar to a
scenario whereby the fox is charged with protecting the chickens it also feeds upon. As
Article 2(1) of the International Covenant on Civil and Political Rights (1966) reads
Each State Party to the present Covenant undertakes to respect and ensure to all
individuals within its territory and subject to its jurisdiction the rights recognised in the
present Covenant. (P. R. Ghandhi, 2000: 64)

Bringing complaints of human rights violations to international and regional human


rights mechanisms are considered options of last resort. The State that violates the human
rights of individuals within its jurisdiction, either through acts or omissions must, in theory at
36
least also rectify the situation.

Johannes Morsink, 1984: 311 and 334.


34
For details on additional themes associated with human rights such as theories of rights (choice and benefit, etc.);
the justification of human rights; and universality v. cultural relativism please refer to the relevant sections of
Jack Donnelly (1989), Michael Freeman (2002) and Peter Jones (1994).
35
To elaborate: International relations is structured around the principle of sovereignty, which grants a state
exclusive jurisdiction over its own territory and resources, including its population. Sovereignty in turn implies
non-intervention in the internal affairs of other states.
Jack Donnelly, 1996: 232.
36
A States involvement within the jurisdiction of another State can also be called into question. The International
Court of Justice (ICJ), in its examination of the United States activities during Nicaraguas civil war,
concluded in relation to international humanitarian law - violations of common article 3, including
torture and ill-treatment, are violations of the laws and customs of war relevant to any armed conflict.
Nigel Rodley, 1999 P. 72 (in reference to Military and Paramilitary Activities in and against Nicaragua (Nicaragua
v. United States of America), Merits,ICJ Rep. (1986), para. 218.

The Consideration of Rape as Torture and as Genocide

115

The Individual/Group Schism


The current concept of human rights, as incorporated by national, regional, and
international human rights mechanisms, places an emphasis on the individual. Theoretically,
as argued by authors such as Jack Donnelly, these rights exist outside the reality of the
modern State. Human rights are not given to human beings by the State. Individuals, by the
mere fact that they are human beings, already exist with certain rights. The process that
entrenches human rights into law is separate. Yet, the individual still has a place and a role
within larger frameworks such as society or the State. Individual human rights and notions
such as the group and the State do not always co-exist without conflict. For instance, a group
of immigrants living in a Canadian city attempted to change their districts by-laws to install
permanent separate swimming areas between men and women at the municipal pool. In this
case, the group, other individual bathers who did not support the need for separate swimming
areas at the public pool, and the local council had to negotiate according to their respective
needs, rights, and constraints. The process was protracted and complex. In the end, the
request from the immigrant group was not granted since, according to the council, it did not
match the overall culture of the local community and the rights of other individual swimmers.
This example demonstrates how at times and depending on the human rights violation under
scrutiny, the individual has to navigate a narrower and more precarious path. Within torture
and rape as torture, the individual victim has a distinctive and well-established place. Within
genocide and rape as genocide, the place for the individual is less defined and more
complicated due to the nature of a crime rooted in the protection of human groups. The
individual has to operate within the reality of the group. The degree of this accommodation
would vary from case to case.

Rape, Torture, and the Political


Returning to the crime of rape, whether occurring under national jurisdictions or
international mechanisms, rape is committed against the individual. National courts and
37
Similarly, the international crime of
international entities address the individual victim.
torture is a violation against the individual. When rape is committed in situations that could
fall within the criteria of torture, it is also committed against an individual. For example, if a
prisoner is raped by a prison official, and the rape occurred in an attempt to elicit information
from this individual, the act could be deemed rape as a form of torture. The act of rape as
torture would be a violation of that individuals human rights. In this case, the emphasis is on
the individual and on his/her individual human rights. Therefore, and following the
framework within the current concept of human rights and as applied under international law,
the individual as a victim of rape (be it as a form of torture or as genocide) should be the
focus of the theoretical analysis.

37

Although rape as a criminal offence is formulated under a trial system with the perpetrator and the State as
participants, I wish to emphasise for the purpose of this chapter that rape is a crime (or under international law
and within the rubric of human rights violation) committed against the individual victim.

I am grateful to Sam Ashenden for insisting on this clarification.

Daniela De Vito

116

An additional and critical layer of complexity emerges when rape is considered as a form
of torture. Individual victims of torture, recognised under international law, tend to have been
politically active or have political connections. Both men and women suffer rape under
conditions covered by human rights and humanitarian law. Yet women are more likely to be
subjected to rape both in situations of armed conflict and in situations outside of armed
conflict, than men are. In a study (1990) comparing 56 politically active men and women who
had been tortured in Latin America, it was found that 12 of the 28 women and 5 of the 28
men had been raped while in custody. (F. Allodi & S. Stiasny, 1990: 144-146) The results
confirmed the hypothesis that for women torture was more frequently sexual (in nature),
38
and its consequences more often affected the womens sexual adaptation. Furthermore, for
acts falling short of rape, the report states menwere, as often as women, subjected to
sexual humiliation and abuse. (Ibid: 147) The report also added that both men and women
who were politically active suffered higher levels of persecution and torture. (Id) A later
study conducted by TAT [non-governmental association against torture] of men (47) and
women (17) from the Basque region of Spain who had been arrested during 1992-1993 found
significantly more women than men being subject to such abuse (sexually tortured)
(94% vs 66%).(The Lancet, 1993: 1307) The two studies just quoted examine the numbers
of men and women who have been raped and focussed on those who had been politically
active in their respective countries. Does this emphasis on political involvement provide an
accurate description of all torture victims? Moreover, and critically for this discussion, what
is meant by the political and can this include a broad notion of the concept? Lastly, is this
the best option? Similar questions will be posed in conjunction with rape as genocide, in light
of what constitutes the current concept of human rights the individual v. the group
dynamics.
At the United Nations (UN) level, this focus has been addressed with the
acknowledgement that in reality the majority of individuals who have been tortured were not
politically active or associated with persons who had been political. Specifically, the UN
Special Rapporteur on Torture has outlined:
It is true that many of the more high-profile cases of torture that come to international
attention concern people involved in political activities of various sorts. Such victims of
torture may well be of a class or connected with organisations that have international
contacts.

39

Beyond such a perception of who is a victim of torture, the Special Rapporteur on Torture
instead asserts: the overwhelming majority of those subjected to torture and ill-treatment
40
are ordinary common criminals from the lowest strata of society.
Even in terms of
considering rape as a form of torture, proponents have also at times presented their case with
an emphasis on the political. For instance, Evelyn Mary Aswad has argued that rape may be
considered as a form of torture if for example government officials rape for political
38

Women reportedmuch higher incidence of sexual dysfunction, namely sexual anxiety and avoidance.
Id: 146-147. Parenthesis added by this author.
39
UN doc. A/55/290. P. 8.
40
It should be noted that these two comments were made in reference to a link between torture and poverty.
Id.

The Consideration of Rape as Torture and as Genocide

117

purposes (Evelyn Mary Aswad, 1996: 1930) More recently, such an association has been
presented by the Medical Foundation for the Care of Victims of Torture:
For example, how is raped used politically and what impact does it have when
perpetrated in the context of torturePolitical beliefs and political identity as a context.
(Michael Peel, 2005: 23)

The Medical Foundation, from their own files (from 2000-2003), examined one hundred
cases whereby women had been raped (as torture). Of the 100 cases, 39 women said they
were raped due to their direct political involvement and 21 stated they were raped due to a
political association via a family member or partner. (Ibid: 45-47) It is interesting to note that
the Medical Foundation does not consider the second category (21 cases) as falling into the
active political camp. (Id: 47)
What could be the link between torture and the political? The traditional view behind the
use of torture may be an important indicator. For example, according to Nigel Rodley, torture
has historically been used as a way of arriving at the truth. (Nigel Rodley, 1999: 7) In
ancient Greece and Rome, torture occurred to extract the truth in relation to serious crimes. In
Roman times, torture was also used in cases of treason. (Ibid: 7-8) By the middle ages in
Europe, the use of torture had become more formalised within a rationalised approach to
getting at the truth via proof. The need for a confession and arriving at what was then known
as the queen of proofs seems to have resulted in the use of torture within the legal process.
Technically, there were strict rules in place as to when torture could be used (for example, as
a last resort). However, religious inquisitions in Europe led to the abuse of these so-called
safeguards. Despite attempts to end its use during the Enlightenment period, torture did not
vanish throughout the world. In Europe its use by the Nazis, especially against individuals
suspected of participating in the resistance, is well documented. Even with the Universal
Declaration of Human Rights (1948), and subsequent international and regional conventions
prohibiting the use of torture, the practice is in use extensively throughout the world. The
purposes behind the use of torture tend to be limited in scope. Most often, the torture attempts
to extract information from the victim in relation to either his/her activities or the activities of
others associated with the victim. Such activities may be political or criminal in nature. The
torturer may also want to intimidate the victim or others. The torturer may want a confession.
(Id: 8-11)
The purposes behind the use of torture, some of which have been identified, do not
adequately explain why political activities tend to be associated with individual victims of
torture. Therefore, it must be as the UN Special Rapporteur on Torture and authors such as
Nigel Rodley have proposed, victims of torture with political involvement are more likely to
report the violations to relevant human rights mechanisms and/or organisations. The reasons
for this includes, inter alia, the victims may be better educated and more aware of existing
reporting mechanisms and organisations, or these individuals may be less likely to remain
silent about their experiences. (Id: 10) It may also have been due to the mandate of some of
the human rights organisations operating within this field. For instance, in its early days
Amnesty International focussed heavily on releasing Prisoners of Conscience and to ensure
that these individuals were not subjected to torture. Imprisoned or disappeared for their
beliefs and opinions (without advocating or using violence), many of these individuals were
politically active or were associated with those who were involved in political, trade union, or

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Daniela De Vito

other movements. This may have contributed to a perception that most victims of torture also
had a political connection. There is, however, no clear demarcation as to why the focus of
recognised cases of torture has been on the political. This fact does not reflect the nature of
torture per se. It also does not have to do with how torture has been defined under
international law. Instead, this reality leads to two key analytical questions: what is the
political and what are the implications of referring to torture (or rape as a form of torture)
within the political activities of the victims or of those associated with the victims?
Finally, what is the justification for linking the individual component of the current
concept of human rights (in this case torture or rape as a form of torture) with the political?
On the surface, it may seem that the best way to address the emphasis placed on the
individual within the concept of human rights is to examine in detail what is the individual
and what is the individuals place within the development of the concept of human rights.
Although important, there is another layer of analysis utilised that will complement and
contribute to the process of understanding the implications of considering rape as a form of
torture a crime committed against the individual. As such, the interest lies in working
through the type of individual who has been subjected to torture, including rape as a form of
torture. Since reported cases tend to include a political element, the task will be to assess what
is meant by the political involvement or association of the individual victim of torture. The
focus still remains on the individual, a key component within the concept of human rights, but
the approach undertaken will bring into the discussion what makes up this individual? In the
case of torture and rape as a form of torture, this includes examining and understanding the
political.

Rape as Genocide
Recently, the International Criminal Tribunal for Rwanda (ICTR) in the Akayesu
Judgement (1998) determined that rape could constitute genocide. According to the Trial
Chamber, Tutsi women were raped because of their membership in an ethnic group. This was
genocide since these were acts that contributed to bring about its (the Tutsi ethnic group)
physical destruction in whole or in part. (1948, Article II c) Genocide, according to the UN
Convention on Prevention and Punishment of Genocide (1948), is a crime against a group be
it a national, ethnical, racial, or religious group. A theoretical complexity emerges once rape
(which is constructed as a violation against the individual) is subsumed into a crime such as
genocide (which is focussed on protecting the group). Subsequently there will be an analysis
of the theoretical implications for rape when it attempts to operate both as a construct for the
individual and within the confines of a crime developed for the group. What will develop is
an understanding that rape can benefit from being subsumed into the crime of genocide and
that it must find space for both the individual and the group. Due to how genocide has been
presented within international law, this space will be unequal and may change how rape is
conceived, placed and treated.
With the advent of human rights, what then, happens to the individual and to the
individual in relation to the group? Prior to World War II, the term human rights was not
specifically referenced within international law. Issues such as the international movement to
abolish slavery and to protect minorities through the defunct League of Nations - and trade
union rights did exist during the 19th and early 20th centuries. In 1919 the International Labour

The Consideration of Rape as Torture and as Genocide

119

Organisation (ILO) was established by the Treaty of Versailles. The ILOs work included, for
instance, initiating international provisions to protect freedom of association. In 1926, the
Slavery Convention came into being. There were also steps in relation to protecting noncombatants during war and constraints on the conduct of war. (Nigel Rodley, 1999: 1-2)
Despite this slow evolution, the individual did not possess a prime position. The State was the
critical player. International relations and even international law as it was understood
depended on State to State relations, needs and interests. This is evident with human rights
before the 1940s whereby such matters tended to be considered within the domaine rserv,
or domestic jurisdiction, of states. (Ibid: 2) To elaborate, during this period for most
purposes governments could do what they wished with those under their jurisdiction and
international law had no opinion on the matter, much less any means to act. (Id)
After World War II, the international community understood that what a State does in its
own back garden was indeed the business of others. (Id) It was not enough to be simply
concerned with how a State acted in response to another State. Individuals, in relation to the
protection of their human rights, needed not only their respective States to comply with norms
but also other States had to be involved. How deeply and under which circumstances this
involvement should occur was not only a concern during the early days of the UN and the
first human rights instruments, but these tensions continue to be problematic today. Yet, and
taking into account counteracting opinions and interpretations mentioned throughout this
chapter, what emerges over the past sixty years is indeed a remarkable picture. The individual
has a set of human rights outside any references of the State. The individual does not receive
his/her human rights from the State. This set of rights may change over time and the rights
may not universally be replicated exactly. Regardless, States have a responsibility to uphold
these rights. Within later human rights conventions that include such provisions, which unlike
the UDHR are legally binding for States parties, the individual has a right to seek redress for
violations of their human rights. The emphasis is for this redress to take place within the State
in question, but if this process is not possible or fails then international and regional
mechanisms are in place.
In a dissenting voice to this overview J. Shand Watson argues:
The traditional position on the status of the individual is thus a practical and efficacious
one. First, there must be state consent for the creation of rights because this is the only way to
ensure tangible results. Second, only states can be the subjects of rights because only states
have the political power to create and enforce them. Since individuals lack such power, they
are dependent on representation by states and are thus the objects rather than the subjects of
rights. (J. Shand Watson, 1999: 295)

Although I concur with Watsons understanding of the reality that States still wield an
enormous amount of power, the position of the individual has changed over the centuries.
There continues to be variations, to the overview mentioned above, that understand the
individual as primarily existing within the group and within the state. Watson, in his book,
correctly points out the inconsistencies within human rights theory and State practice.
However, theoretical developments are important and should be considered as part of a more
complete picture. The system is not perfect and individuals are still limited in their capacities.
Human rights violations committed by the State through its acts or omissions take place.
Redress is not always possible, sometimes it takes several years, or the outcome may not be

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Daniela De Vito

beneficial. What must, however, be emphasised is that the relationship between the State and
the individual who possesses human rights has transformed. This changed relationship
continues even with the difficulties or inconsistencies that exist within the concept of human
rights and within the system evolved to uphold these norms. In theory, at the very least, the
individual now has a place at the table.
The implications of this means that when rape is considered as a form of torture or as
genocide the degree to which the individual is addressed within the constraints of these varied
human rights violations must be factored. In other words, although the individual has gained a
firm place within the human rights discourse, variations still exist due to the specific nature of
particular violations such as torture and genocide. In the former, the individual will have a
stronger role while in the latter the individual will have to make room for the group. Rape
and rape as a form of torture are violations against the individual. Rape as genocide is a crime
against a particular group. As noted, the current concept of human rights emphasises the
individual and yet makes room under certain conditions for the group. A similar schism had
developed between the individual and society. However, the differences between the
individual and the group/society and the current concept of human may not always be at odds
or in conflict. For instance, it may be necessary to create space for a Tutsi woman who has
been raped because of her membership within this ethnic group, to view the act of rape as a
violation committed against the Tutsi group and not as a violation against her as an
individual. 41 This may be the solution if the aim is to bring closer together the schism created
by the individual/group dilemma found within the current concept of human rights. How,
then, can these differently constructed crimes (rape as a form of torture and rape as genocide)
be compatible? In addition, how does each notion fit into the current concept of human
rights? These critical theoretical questions will be now be discussed.

RAPE AS A FORM OF TORTURE: ARRIVING AT AN


UNDERSTANDING OF THE POLITICAL
As argued prior, the concept of human rights, as developed through the United Nations
42
and other components of the human rights regime, tends to emphasise the human rights of
individuals and human rights violations committed against individuals. Within the confines of
international human rights and humanitarian law, rape, torture, and the consideration of rape
as a form of torture are violations committed against the individual. With specific reference to
rape, this conceptualisation is evident with the International Criminal Tribunal for the Former
Yugoslavia (ICTY) case Foca. According to the Trial Chamber in its Judgement, rape is a
serious violation of sexual autonomy. (Foca case, 2001: 208) As with torture, rape therefore
constitutes a violation against the individual. A similar approach can be taken with the
consideration of rape as a form of torture.

41
42

I am grateful to Sam Ashenden for pointing out this possibility.


A variety of components make up the human rights regime including inter alia the United Nations, regional
bodies such as the European Commission on Human Rights, international and regional instruments such as the
Universal Declaration on Human Rights (1948), and non-governmental organisations.

The Consideration of Rape as Torture and as Genocide

121

43

Beyond presenting the individual as a victim/survivor , torture and the consideration of


rape as a form of torture bring out an additional layer of complexity an association of the
individual with the political. Even in terms of considering rape as a form of torture,
proponents have also at times presented their case with an emphasis on the political.
Evelyn Mary Aswad maintains that rape may be considered as a form of torture if for
example government officials rape for political purposes (Evelyn Mary Aswad, 1996:
1930)
Despite the fact that this is a critical issue, I am not at this point interested in examining
why? victims/survivors of torture have been perceived as being associated with the
political. Briefly, this formulation has taken place in connection to his/her own activities,
his/her association with others such as family members, and/or the purpose behind the
44
torture. Rather, I wish to unpack the political and determine some of the implications for
the individual if the political is emphasised when considering rape as a form of torture. As
will be demonstrated, this process involves several components and cannot be settled with a
singular approach. That is, to determine what can be understood as the political and how
this could impact on the individual it is necessary to include an examination of the following
two elements.
First, what are the possible contexts or circumstances under which the label political is
attached to an individual victim of torture or rape as torture? For example, is it only an
individual who is a member of a trade union or an opposition political party member who can
be given the label of political activist? Second, since the issue of torture will be the
underlying theme of this overview of the political and the definition of torture developed
earlier will be utilised, it was extremely important to also incorporate the notion of the
purpose behind an act of torture to determine what the political can entail. That is, an
individual who is in prison may not be involved with a trade union or may not be a member
of an opposition political party but this individual may have been tortured to inter alia
intimidate fellow prisoners. Also, since this section focuses on the constituent elements of
torture as outlined in the UN Convention (1984), for an act of rape to qualify as a form of
torture it must also meet the three-part criteria developed in this definition of torture. That is,
rape as a form of torture must have involved severe pain or suffering; must have been
committed for a prohibited purpose; and must have been carried out by a public official or by
45
an individual(s) acting in an official capacity.
Once again, influencing this study is the current concept of human rights with its focus on
the individual. As such, individuals who have suffered torture and the reality that an emphasis
is placed on survivors/victims who have been politically active or were linked to others who
are politically active, along with an examination of what constitutes the political will form
the basis of this examination. Thus, the purpose is to understand some of the theoretical
43

The distinction between victims and survivors is used in order to denote those who have been tortured and died
either as a result of injuries inflicted during the torture, or in connection with any circumstances surrounding
the torture - and those who did not. It is not, however, used to distinguish between levels of suffering.
44
I am grateful to Stanley Cohen, from his comments on an earlier version of this chapter, for identifying a third
possible contextual element to the political dimension of torture the relationship between the offender and
victim. However, as I will develop the focus of the inquiry will be on what constitutes the political and how an
emphasis on the political can affect the individual victim of torture.
45
Once again, the official link or specific purpose may not be a requirement for all definitions of torture such as
with the International Criminal Court (ICC) in its Elements of Crimes.

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Daniela De Vito

implications emanating when the label of political is attached to individuals who have been
tortured or who have been raped under situations that can be considered as torture. In turn,
determining whether a broader or a narrower notion of this concept is more useful when
examining which ideas, issues, and acts could be considered as political is critical to this
discussion. Does the label of political victim expand or restrict the category of victim of
torture or victim of rape as a form of torture? Controversially, does the label of political
make the individual victim more acceptable within the international human rights discourse
thereby affecting how the group is perceived?

Working Through what is The Political?


Any attempt to grasp an essentially contested concept, such as the political, is fraught
with interesting challenges. However, this is not to say that these challenges are
insurmountable. Much depends on the endeavour(s) and the approach (es) undertaken. In
order to arrive at a more solid understanding of the political the use of two avenues is
foreseen, which when combined will enable the emergence of a broader or a narrower notion
of this concept. On the one hand it is necessary to determine the nuts and bolts involved in
any understanding of the political. Questions such as what is it? and which issues can be
placed in the political? are some of the considerations involved in this phase. My aim is not
to attempt the formulation of an all-encompassing definition, but to present and assess a range
of perceptions that can subsequently be used, adapted, or even discarded. At the outset it may
seem as if by using this approach I will be in fact be moving away from a more solid view of
the political. On the contrary, it is by exploring a variety of options that one can appreciate
the critical nuances that make up the overall process of working through the political. On the
other hand it is also important to gage where the political is applicable. This second avenue
will involve outlining realms such as the public, the social, and the private since any
definition of the political will need a depository or perhaps even a number of depositories.
Alternatively, these avenues can be understood as developing the nature and boundaries of
46
the political.(Judith Squire, 1999: I)
47
In combination, a broader or a narrower notion of the political can emerge.
With
reference to rape as a form of torture, it will be argued that even if a broader understanding of
the political is used - when it is attached to individual victims the end result will still restrict
which individuals are considered to have suffered rape as a form of torture. Key, instead, will
be to move beyond insisting on the focus of a correlation between the individual and political
activities or associations without fully expanding on its meanings. It is to these tasks that I
now turn.

46

Also:
Adriano Cavaro in Stephen K. White (Ed.) and Donald J. Moon (Ed.), 2004.
47
Although I shall be outlining each avenue separately and then combining them to see how a broader or a
narrower notion of the political can emerge, the entire process will not unfold in a clearly demarcated manner.
Instead, this exercise could be understood as each stage having the potential to flow into another. Much like
the image of sharing a certain amount of water between three glasses.

The Consideration of Rape as Torture and as Genocide

123

What is the Political?


Introducing the political as a part of the State and its institutions offers an initial albeit
limited understanding of the concept. Although several options are available in order to move
beyond this juncture only institutional/instrumentalist understandings of the political will be
briefly outlined. However, framing the political as I will develop into a more expansive
48
perspective will be the focus. Judith Squires writes about recent approaches used to work
through definitions of the political. During the 1950s/1960s it was the positivist perspective
(endorsing objectivity) which prevailed, while during the 1970s/1980s the focus was on
socially constructed and historically variable forces. (Judith Squires, 1999: 7) During the
last decade of the twentieth century, this second approach also referred to as contextualist,
witnessed the development of deconstructionist methodologies. (Ibid: 8) More recently, the
positivist and contextualist approaches were joined by a third perspective which argues
Definitions of the politicalare neither empirically true nor simply reflections of underlying
social relations, but rather active means to shape the real world. Despite these varied
perspectives Squires sees that an overall split has emerged in political studies between
institutional and instrumental standpoints. (Id)
Therefore, an institutional understanding of the political means that politics occurs in
government institutions, whereas an instrumental understanding asserts that politics is
concerned with power and decision-making. It should be noted that although the issue of
power and relationships of power are extremely important when attempting any formulation
of the political, due to the scope of this chapter the concept will be left to one side. Yet, as
Noel Wood succinctly remarks ...every exercise of power usually contains some element of
the political. (Neil Wood, 2002: 27 and Noel OSullivan, 2000)
What are some of the concerns with this so-called divide? William E. Connolly points out
that politics becomes bifurcated between principle and instrumentality. In the former
camp, one finds individualists such as rights and justice theorists, and in the latter camp are
utilitarians, pragmatists who focus on instrumentality over principle. (William E. Connolly,
1983: 8) One result of this bifurcation is that two separate notions emerge in terms of how to
distinguish between the political and the rest of society, one based on principle and the other
on instrumentalism. Another worry for Connolly is that both understandings emphasise the
individual as opposed to groups. (Ibid: 9)
What does this mean? It is possible that what is linked to one or the other understanding
of the political such as rights and justice or power and policy - can also be found in its
opposite viewpoint. To elaborate, in an attempt to understand the political A. W. Sparkes has
developed a model which I would argue includes the potential for such overlaps. (A.W.
Sparkes, 1994: 61-69) It is for this reason that Sparkes model has been used, as a starting
point for the development of my understanding of the political as a more expansive
perspective and for its potential transfer to the issue of rape as a form of torture. Rather than
calling this model a definition of the political per se, Sparkes refers to it as a list of ten
political-making characteristics. (Ibid) For the sake of brevity I shall not replicate the model
nor shall I delve into how/why the author arrived at its ten components. However, it should be
48

The inspiration for this term comes from an article by Jean Bethke Elshtain entitled Displacement of Politics
where she mentions boundary shifts in our understanding of the political in Weintraub & Kumar
(Eds.), 1997: 169.

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noted that at its crux the model is divided between the Quasi-Polis and the Politician which
49
he calls poles.
Using this model as a backdrop the divide between institutionalism and instrumentalism
begins to loose its absoluteness. This occurs not because these two understandings of the
political are outlined in an unclear manner but, rather, due to the fact that overlap can exist.
Although Sparkes does emphasise the polity, his model of the political does not read in
terms of an institutional/instrumental divide.
This can be understood with reference to characteristic (vi) power which straddles
50
the quasi-polis and the politician planes
and to characteristic (x) politics of a
collective law and order
Taking a momentary step back from what Sparkes is attempting to do with this model,
and without presuming that this was his intention, I would suggest that point (vi) power
is an instrumental component and point (x) politics of a collective law and order is an
51
institutional one. In other words, the former involves instrumental issues, whilst the latter
involves juridical considerations and matters of principle. If both can operate in the
consideration of Quasi-polis & its Governance, then they can also overlap. This is what I
mean by the so-called divide between institutionalism and instrumental understandings of
the
political.
Beyond
introducing
the
possibility
of
overlaps
in
institutionalism/instrumentalism, Sparkes model also brings into play the notion of framing
the political as a more expansive perspective.
What then does a more expansive perspective of the political entail? Critically, it should
not be understood solely as how Sparkes has presented his ideas. That is, there are several
additional understandings of the political which attempt to break through supposedly set
boundaries. One such example would be Jean Bethke Elshtain who advocates the existence
of boundary shifts in our understanding of the political but that a limit needs to be present.
(Jean Bethke Elshtain, 1981: 169) In other words, But minimally, a political perspective
requires that some activity called politics be differentiated from other activities,
relationships, and patterns of action. (Ibid: 170)
Thus, and in simple terms, a more expansive perspective of the political should include
52
the following three basic points. First, this perspective should approach formulating both
what is the political? and where should the political be placed? flexibly. For example, it
would not be adequate to say that the political only pertains to the State and its institutions.
Second, an understanding of the political should accept that due to the topic(s) in hand it
operates on an open-ended plane.
49

Sparkes argues I am quite sure that primarily the concept of the political refers to the polity, so that its
applicability to the governance and internal affairs of other groups depends on certain significant resemblances
between them and the polity. With reference to quasi-polis he adds I shall use the word quasi-polis to refer
to the polity and other groups.
Sparkes, 1994: 65.
50
Sparkes refers to this area as the Equator.
Ibid: 65 and 68.
51
Sparkes presents law as something imposed on those subject to it. But a respect for persons, a commitment to
autonomyrequires that, so far as possible, it should not be pure imposition
Sparkes, 1994: 195.
52
I am not claiming that these points are all encompassing. Neither am I assuming that only these three are
relevant. Instead, they have been included as an introduction to the idea that the political can be understood in
this manner.

The Consideration of Rape as Torture and as Genocide

125

Third, although a more expansive perspective of the political is at its essence more open
to accepting varied issues and institutions, this does not mean that everything could be placed
in the political or that the political can be found everywhere. To consider the act of playing
fetch with ones dog - in a dog-friendly park - as political would be contestable. Whereas
the act of stealing a loaf of bread, if one were hungry and if ones government refused to
provide programmes which could help alleviate poverty, would be easier to include in an
53
understanding of the political. In relation to rape as a form of torture, and its links with the
political involvement or association of individual victims, it is necessary to understand where
the political can be found. Is it only within government institutions; within political
activities such as trade union membership; or is the political also found in broader social
relationships such as neighbourhood watch schemes, etc.
This last point brings up an interesting consideration that of politicisation. In other
words, when is an issue, act, thought, etc. political? In a sense the answer to this question is
twofold. Initially it is necessary to bring into the discussion the possibility that something can
indeed be non-political. At a certain level this could be upheld. For instance, one way to
understand hedonism is to view it as the doctrine that only bodily sensations are real, is but
the most radical form of a non-political, totally private way of life, the true fulfilment of
Epicurus (live in hiding and do not care about the world). (Hannah Arendt, 1994: 11254
113) However, someone like Sparkes would counter this idea by insisting that while there
are things which are essentially political and things which are not essentially political, there
are no things which are essentially non-political. (A. W. Sparkes, 1994:70) It may seem that
in using Squires quote I have in fact contradicted myself on two counts. One in relation to
the playing fetch with a dog example and the other with regards to the third point for a more
expansive perspective of the political. In the former, my focus was solely on the act of, for
instance, throwing a ball for the dog to chase. However, a link could in turn be made to the
political process that resulted in the park being converted into a dog friendly area or under
what conditions and where the ball was manufactured. This is how I understand Sparkes idea
that there are no things which are essentially non-political. So, and in this case, an
individual throwing a ball for their dog is not essentially political but how the dog friendly
park came about is essentially political. The latter count is more difficult to resolve. One
way would be to emphasise that the understandings of the political that have been presented
all include certain limits. The main consideration would therefore be the degrees involved. As
linked to a more expansive perspective of the political, Sparkes limits his model to the quasipolis and to the politician. In contrast, Elshtain goes beyond this and asserts By the political
here I refer to a specific version of what is public: that which is, in principle, held and
considered in common and which is, in principle, open to public scrutiny. (Jean Bethke
Elshtain, 1981: 170) So, for Elshtain the political would go beyond the limits of the quasipolis as framed by Sparkes but remain within the public realm. In other words, Elshtain
55
does not uncritically accept the notion that The personal is political. Why should such
53

Although I have used acts in these two examples the political can also involve other aspects such as thought.
Arendt distinguishes between ancient and modern varieties of hedonism, 310.
55
This phrase is associated with feminism and the move to expand where the political could be found. One way to
understand this idea is to state that the personal is legally constructed, culturally defined, and the site of
power relations.
Jean L. Cohen in Weintraub &Kumar, 1997: 136.
54

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Daniela De Vito

limitations be included? One concern has to do with the possibility of creating an


understanding of the political that is so wide as to lose its specificity and usefulness. (A. W.
Squires, 1994: 9) Alternatively this can be understood as something which has become
one of those sponge concepts that C. Wright Mills mocked as it sweeps together and
56
liquidates indifferently whatever crosses its path. A comparison can, at this point, be made
to torture. References to the term have also been used to elucidate situations that are outside
formal definitions.
One such example would be the following: Waiting for the exam results was sheer
torture! Despite the idea that a built-in caveat concerning limits has also been included in a
more expansive perspective of the political, individual or group perceptions of what should be
considered political and in which realm(s) should it be deposited - which may go beyond the
above-mentioned limitations - cannot be placed to one side and completely ignored.
Therefore, a more expansive perspective of the political can include limits in terms of
content and applicability, but these other perceptions may in turn be looking in and at times
may need to enter into the fold. A secondary, and complementary, way to answer when is an
issue political? involves an examination of the process by which particular issues or acts gain
the mantle of the political. In other words, There is, in fact, nothing more political than the
57
constant attempts to exclude certain types of issues from politics.

Depositing the Political


Determining where to deposit the political should not take place in isolation from the
process of working out what makes up the political. Both tasks are intertwined and are crucial
in any attempt to understanding the political. In this part of the chapter I will examine the
realms of the public, private and social, and their connection to the political.
Traditionally, political discourse has included a distinction between the public and private
realms. Even the ancient Greeks dealt with this split. In contrast to later developments
Aristotle thought that economics and family matters took place in the private realm (or oikos
household), and that the political community was to be found in the public realm.
58
(Weintraub & Kumar, 1997: 13 and 25) More recently, however, there have been attempts
to work through this dichotomy. The essays in Public and Private in Thought and Practice
offer one such alternative in that they include not a single paired opposition, but a complex
family of them, neither mutually reducible nor wholly unrelated. (Ibid, 1997: xii) With
Advocates of a strict notion of the personal is political would insist the claim (is) not that the personal and
political are interrelated in important and fascinating waysbut that the personal is political.
Elshtain, 1981: 171.
To elaborate, Elshtain does think that considering political issues which were previously hidden behind a gloss of
professed concern for the sanctity of the private realm may be laudable, but she goes on to point out several
concerns including the idea that Nothing personal was exempt from political definition
Elshtain, 1981: 171-172.
56
The concept being examined in this quote is revolution. However, in this paper the quote has been used in
relation to the political and to torture.
Dick Howard, 1988: 110.
57
Leftwich and Held quoted in Squires, 1994: 9.
58
For an interesting overview of how economics/private realm links were dealt with by seventeenth century
Natural Law theorists and subsequent developments please see
Gobetti, Daniela in Weintraub & Kumar, 1997: 108-111.

The Consideration of Rape as Torture and as Genocide

127

reference to rape conceptualising and placing this violation beyond notions that it should
remain within the private realm has been and continues to be discussed. Whether rape is
committed as a crime or as a human rights violation, a process still exists (despite recent
advances in this area) in changing perceptions and legal practices to ensure that it is not left
within the private sphere and thus not adequately addressed as a matter for State or
international mechanisms involvement. Even if rape is subsumed into the international crime
of torture, a long established human rights violation often linked to activities or associations
that take place within the public realm there must be an understanding of how rape can
operate within the formulation of rape as a form of torture. This is especially critical when the
label of political is associated with an individual victim of torture or of rape as a form of
torture, since this firmly places the activity/association within the public sphere. It is with this
spirit in mind that I approach this part of the discussion. Within these realms it has been
assumed and at times challenged - that the public contains the political and the private
contains the non-political. However, even this idea is not so straightforward. In other words,
depending on which understanding of the political is utilised within these parameters the
public realm can also be transformed. For example, Jeff Weintraub outlines two perspectives
of the public as political where one means the administrative state and the other means a
world of discussion, debate, deliberation, collective decision making and action in concert.
(Wintraub & Kumar, 1997: 10-11) In turn, the political theorist Carole Pateman in The Sexual
Contract challenges accepted liberal discourse that the private and public realms are so
clearly demarcated. For Pateman, understanding how each sphere operates and affects both
how politics function and how individuals carry out their private lives is critical. The goal is
not to merge the two realms, but to examine their respective effects within each sphere.
(Carole Pateman, 1988)
Accepting the possibility of multiple publics, or even varied alternatives including ones
that aim to articulate what is involved in a single public realm, raises the question of whether
this means that the private realm is completely emptied of its contents? Two points are
relevant to this inquiry. First, leaving some issues within the private realm may be necessary
and a positive aspect of this discourse. As Hannah Arendt outlines
The distinction between the private and public realms, seen from the viewpoint of
privacy rather than of the body politic, equals the distinction between things that should be
shown and things that should be hidden. (Hannah Arendt, 1998: 73)

In a textured analysis of the political Hannah Arendt contributes to the discussion by


59
outlining the social realm.
Arendt begins by considering the Latin roots of social
(societas) which originally had a clear, though limited, political meaning; it indicated an
alliance between people for a specific purpose, as when men (sic) organise in order to rule
others or to commit a crime. Such an alliance could also be concluded for business
60
purposes. Later in history the term social begins to acquire the general meaning of a
59

Nicolas Rex outlines what he has termed the ...invention of the social at the beginning of the 20th Century.
Nicolas Rex, 1999: 112.
60
Briefly, for Arendt the political realm rises directly out of acting together, the sharing of words and deeds. As
such The distinction between a private and a public sphere of life corresponds to the household and the
political realms
Arendt, 1998: 28 & 198.

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Daniela De Vito
61

fundamental human condition. (Ibid: 23 at note 3) Arendt considers that the social realm
proper and not the private/public worlds which according to her is a more recent
development. (Id: 28) This is due to the idea that from families, a greater entity emerged
that of society which in turn became the nation. (Id: 29)
62
For Arendt this social realm is a characterisation of modern civil society. Arendt is
concerned with the development of this curiously hybrid realm where private interests
assume public significance that we call society. (Hannah Arendt, 1998: 35)
Before proceeding to the final section I would like to develop a schema which includes
the understandings of the political and the depositories for the political which have been
discussed. Schema 1 includes the following realms: Public = P1, Social = S and Private = P2
along the line. These are not plotted in an exact manner but are placed to simply signify
which one(s) a particular understanding of the political emphasises. Of course, this does not
mean that some viewpoints could not also include elements from the social. In addition,
both endpoints would relate to all three realms. These areas have been presented as extremes
and their plausibility in real life would require additional analysis. Moving away from them
means re-adjusting how the political could be understood and potentially which realms are
applicable. To summarise this section, if I was urged to express my own viewpoint it would
rest within a more expansive perspective of the political including the limits outlined; it
would be closer to the endpoint everything as political to signify a broader notion of the
political; and it would involve all three realms, in a potentially overlapping manner, as
possible depositories for the political. I have not articulated an exact map of which issues or
acts could be considered as political, or, how each of the three realms could appear. The
reason, as noted at the beginning of this section, is that the aim was to work through how the
political could be understood and not to develop a particular formulation of this concept. This
area on Schema 1 has been marked with an *.

61

Id., 24 (and Supra nn. 29 & 30).


Jeff Weintraub offers this assessment and links it to how he uses the term civil society in his essay:
I will use civil society to refer to the social world of self-interested individualism, competition, impersonality,
and contractual relationships centred on the market which as thinkers in the early modern West slowly
came to recognise, seemed somehow able to run itself. In turn, Liberalism is associated with civil society in
that its tendency is to reduce society to civil society.
Weintraub & Kumar, 1997: 13 & 35.

62

The Consideration of Rape as Torture and as Genocide

129

Schema 1

Public = P1, Social = S and Private = P2

Associating the Political with Rape as a Form of Torture


In the overview of this section I pointed out two elements that could be examined in
connection to the political and its association with torture. One was rooted in the contexts or
circumstances under which individuals had been subjected to torture, and the other was linked
63
In this section both aspects will be applicable to the
with the purpose for the torture.
consideration of rape as a form of torture, and some of the possible implications if this
association is emphasised will be examined.
Even if rape is considered as a form of torture, can its conceptualisation be problematic?
In short, the answer is yes for several reasons. That is, at times, when proponents for the
consideration of rape as a form of torture present their arguments one criterion discussed
involves the existence of a political component to the act. For example, Evelyn Mary Aswad
63

A connection to political actions could occur if an individual is related to or associated with someone who was
politically active. That is, the victim/survivor of torture would not necessarily have had to participate in a
political activity, etc. for this association between the political and torture to exist.
In addition:
Rape, particularly when used as a political weapon, meets the definitional criteria for torture under international
law.
Deborah Anker, 1995: 784.
At the same time, the political motivations of the perpetrator or torturer in selecting rape as a method of abuse are
largely ignored.
Deborah Blatt, 1994: 846.
Also:
Politically and socially active women are particularly vulnerable to rape under these circumstances. and in terms
of refugee women Public officials with authority over a womans fate, such as border guards, soldiers, and
refugee camp administrators, extort sexual favours in exchange for food, services, or a positive determination
of the womans refugee statusSexual extortion of refugee women constitutes a method of torture under
Article 1 of the torture convention. It should be noted, however, that in the example given concerning refugee
women, sexual extortion is not mentioned as rape but as a distinct form of torture.
Ibid, 859 & 862.

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Daniela De Vito

presents if government officials rape for political purposes, those rapes should be classified
as torture if they inflict severe pain. (Evelyn Mary Aswad, 1996: 1930)
In this instance the link to the political falls within one of the three components of the
definition of torture namely the purpose behind an action.
Two points must be made about this emphasis on the political. First, it could be argued
that the political should be broadly interpreted. Or, to borrow from Schema 1, a more
expansive notion of the political should be applied. Certain components of the human rights
64
In 1997 an Expert
regime have tried to work through an understanding of the political.
Group Meeting under the auspices of the UN Division for the Advancement of Women
(DAW) took place. The overall topic of the meeting related to Gender-based persecution,
but in a section pertaining to the UNs 1951 Convention Relating to the Status of Refugees
(hereinafter the Refugee Convention) the meeting addressed political opinion:
The meeting agreed that feminism constitutes political opinion for the purpose of
defining who is a refugee in the context of the Refugee Convention. It considered that political
opinion or imputed political opinion may be determined from behaviour as well as expressed
opinion. It noted that behaviour by a woman that does not conform to cultural or social norms
with respect to gender roles may be construed as political opinion with respect to gender roles
or the political opinion, feminism. The meeting also pointed out that peaceful activities by
women in the course of armed conflict may be construed by opposing groups to impute
political opinion. Political opinion may also be imputed to women as a result of the political
opinion of male family members. 65

The key aspects of this meetings understanding of the concept albeit in terms of the
Refugee Convention - are that it could involve several layers beyond simply the act of
expressing ones political opinion, and that the political can also be linked to cultural, social,
or gender factors. Another attempt to understand the political is in relation to the Rome
Statute of the International Criminal Court (1998) which establishes the permanent
International Criminal Court (ICC). The ICC has jurisdiction over the most serious crimes of
concern to the international community as a whole and the list includes genocide, crimes
66
against humanity, war crimes and aggression.
Commenting on Article 7 of the Rome
Statute (crimes against humanity), and in particular how to understand one of the grounds
for persecution listed persecution on political grounds, M. Boot & C. Hall speculate that it
could be related to the State or its government, or public affairs generally and its
institutions but also that it might not be limited to grounds that concern membership of a
particular political party or adherence to a particular ideology. (M. Boot & C.Hallin
Triffterer (ed.), 1999: 148) In turn, the word political might be understood as including
public affairs issues such as environment and health; a political ground for persecution would
then cover at least the existence of a difference of opinion concerning these issues as a reason
for committing the acts concerned. (Ibid) The authors go on to add, Remarkably, social

64

Attention to the following example came from a section in:


Triffterer, Otto (ed.), 1999: 148-149.
65
UN doc. EGM/GBP/1997/Report, 10.
66
The crime of aggression still needs to be worked out.

The Consideration of Rape as Torture and as Genocide

131

grounds have not been expressly included in the Rome Statute. (Id: 150) In terms of rape as
a form of torture, it could be argued that the political should be broadly interpreted.
Therefore, a more expansive notion of the political would not only include the scenario
whereby a government official subjects an individual to torture in order to gain information
about a political opposition party, but it could also include the situation whereby a woman is
tortured because she works for an organisation that is demanding better social services for
women from the government.
Even if a more expansive notion of the political is accepted a secondary point reveals
itself. Emphasising the political broadly or narrowly limits which particular acts of rape
can be considered as a form of torture. Furthermore, I would argue that emphasising the
political, as for instance part of a purpose, has the effect of constraining the definition of
torture. If a prison guard rapes a woman who has been convicted of stealing money from her
employer, would this not be considered a form of torture? Alternatively, Article 1 of the
Torture Convention (1984) includes the following:
for such purposes as obtaining from him or a third person information or a confession,
punishing him for an act he or a third person has committed or is suspected of having
committed, or intimidating or coercing him or a third person, or for any reason based on
discrimination of any kind. (Nigel Rodley, 1999: 391)

This understanding of what constitutes a purpose is quite broad. By emphasising the


political even this can become lost. If a woman has been raped not while being interrogated to
gain information about a political organisation or because of her involvement with a social
organisation, but because the prison guard uses this method in order to keep the female
prisoners in-line would this also not constitute torture? The answer to both questions is yes, if
all three elements of torture are present. So, if a prison guard rapes the woman who stole
money from her employer in order to intimidate her and her fellow inmates, and she suffered
severe pain (physical or mental) then she would have been subjected to torture. I am not
asserting that authors such as Anker, Aswad and Blatt are deliberately excluding such
possibilities, and these may not be applicable in terms of rape that occurs during situations of
armed conflict. However, by emphasising the political - either in relation to the
victim/survivor or to the purpose for torture - the net result is a restraint in terms of which acts
of rape should be considered as a form of torture. Having said that, the political must not be
completely disregarded either. As such, a more appropriate understanding can be found with
the UN Special Rapporteur on Violence against Women:
Rape committed as a part of political oppression is prohibited under international law as
torture or cruel, inhuman or degrading treatment and Numerous international authorities
have also recognised rape as a form of torture when rape is used to punish, coerce or
intimidate, and is performed by State agents or with their acquiescence.

67

Key is to understand the implications of associating individuals who have been raped
within the context of torture with the label of political. It is not adequate to merely state that
such individuals have been politically active or have had a political association. One must
67

UN doc. E/CN.4/1999/68/Add.4, 6.

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Daniela De Vito

also develop what is meant by this concept. Furthermore, the reality that most
victims/survivors of torture have not been politically active or have a political link must be
emphasised. Otherwise, and I return to the controversial questions posed in the introduction to
this section, the net effect of this pattern may be that such a political connection does indeed
make the victim/survivor of rape as a form of torture more acceptable.
The individual has a special place within the human rights discourse. Most of the human
rights violations listed in a multiplicity of regional and international human rights documents
relate to the individual and to his/her rights. The right not to be subjected to torture as well as
rape as a form of torture are both formulated for and addressed to individuals. Furthermore,
and as noted from the ICTY Foca case, rape is a violation against ones sexual autonomy. I
did not delve into what makes up an individual in relation to the current concept of human
rights or what it means to violate the human rights of an individual. Rather, I was interested in
addressing the complex fact that many individuals who have been tortured or raped under
circumstances that can be considered as torture have also been constrained with the additional
layer of political involvement or association. I was also concerned about individuals who had
not been deemed to have this political label. As such, I have explored how the political as an
essentially contested concept can be understood and where it can be deposited. A less
restrictive approach was promoted which resulted in a more expansive perspective of the
political. This in turn meant that a broader notion of the political could emerge.
Regardless, I argued that emphasising the political when considering rape as a form of
torture is too restrictive. The political would not be swept away. Yet, it is also critical to
recognise that the overall realities in which rape as a form of torture occurs is multidimensional. In turn, these factors must be considered even while acknowledging contexts or
circumstances whereby the individual victim does indeed have a political affiliation or
whereby the purpose behind the act of torture or rape as torture is political.
Thus, rape as torture fits more comfortably within the current concept of human rights
with its emphasis on the individual. Rape and torture respectively are acts committed against
the individual. In addition, this section has demonstrated that torture via its frequent but
incomplete perception affects the individual who is placed within and confined by the
parameters of the political even if it is a broader understanding of the political. Rape as
torture is also committed against the individual and in turn must negotiate these complex
realities. It was therefore necessary to elaborate on this tripartite relationship of the individual
influenced by the current concept of human rights, of rape as torture, and of the political in
order to appreciate what can occur to rape when it is placed within such constructs. The next
step is to outline the theoretical implications for the group when rape is subsumed within the
international crime of genocide and to determine what happens to the individual.

RAPE AS GENOCIDE: THEORETICAL IMPLICATIONS FOR THE GROUP


This section examines the second theoretical implication to emerge from the international
cases mentioned earlier. Specifically, acknowledging the possible implications of considering

The Consideration of Rape as Torture and as Genocide

133

rape a crime committed against the individual as genocide which has been constructed as
68
a crime against the group, will unfold.
From this analysis, two interesting questions emerge:
a) Does compatibility exist when rape is subsumed within the category of a group
violation (genocide), if rape is constructed as a violation of an individuals sexual
autonomy? 69
b) Is the link between rape and genocide necessarily problematic within this notion of
autonomy for the individual victim of rape?

Once again, this process unfolds within an analytical political theory approach that
touches upon the current concept of human rights with its focus on the individual. Although
the key element is the individual, the concept of human rights also creates a space, albeit
limited and at times controversial, for the group. The analysis brings out some of the
theoretical implications when rape is subsumed within the international crime of genocide,
which is defined as a violation committed against particular groups. Rape as genocide is a
recent occurrence within international law. As Catherine A. Mackinnon observes Each time
a rape law is created or applied, or a rape case is tried, communities rethink what rape is.
(Catherine A. MacKinnon, 2006: 941) Rape as a crime or as a human rights violation is
70
conceptualised and treated as an act committed against the individual. In contrast, genocide
under the Convention on the Prevention and Punishment of the Crime of Genocide (1948),
includes a series of acts committed with intent to destroy, in whole or in part, a national,
ethnical, racial or religious groups, as such (P. R. Ghandhi, 2000: 19) In other words,
genocide has been conceived, placed and treated as a denial of the right to life of certain
human groups.
In 1998, the Trial Chamber for the International Criminal Tribunal for Rwanda (ICTR)
delivered an innovative judgement in the case of the Prosecutor v. Jean-Paul Akayesu.
(Akayesu case, 1998: 165-166) Jean-Paul Akayesu was a local official (bourgemestre) when
the genocide against the Tutsi group in Rwanda began. Although he did not commit the
particular acts of genocide - such as the rapes and killings himself, he was found guilty of
genocide due to the authority he wielded in the region. The Akayesu case was the first time
that an international criminal body considered the possibility of rape as genocide. In its
Judgement, the Trial Chamber argued that women were raped because they were members of
the Tutsi ethnic group. Because genocide had been deemed by the Trial Chamber to have
occurred in Rwanda during 1994, rape in relation to this case constituted genocide. Individual
68

Since this chapter is firmly grounded within recent international human rights and humanitarian law
developments in relation to rape, the author acknowledges earlier definitions and a cultural perspective found
in national definitions of rape, but has not addressed these in an expansive manner. For more on these issues,
such as the emphasis on either consent or coercion elements please refer to:
Catherine A. Mackinnon, 2006: 940.
69
The Trial Chamber from the International Criminal Tribunal for the former Yugoslavia (ICTY) argued that rape
constitutes a violation of an individuals sexual autonomy. More on this subsequently.
International Criminal Tribunal for the Former Yugoslavia (ICTY), Prosecutor v. Dragoljub Kunarac (et al), (IT96-23-T & IT-96-23/1-T, Judgement, 22 February 2001), 208.
70
As noted , and when brought to trial at the national or international level, it is the Prosecutor who faces the
defendant in a rape case it is also the individual victims story that is considered. Furthermore, and if
appropriate, it is the individual victim who testifies before the court.

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Daniela De Vito

victims of rape testified within the context of the trial against Jean-Paul Akayesu. It was these
individuals who were raped, and they were in turn members of the Tutsi ethnic group.
One possible way to approach the questions posed earlier is to consider that in some
situations it may be more beneficial to subsume rape within the international crime of
genocide. Genocide is often characterised as the most heinous of all human rights violations.
71
Its long history (pre-1940s and during more recent events such as in Rwanda), its
devastating impact on groups and societies, etc. contribute to this conclusion. By recognising
rape as part of genocide, it could be argued that the result is to elevate rape above other
international crimes and human rights violations. Since rape is absent in much of international
human rights law or as noted is distorted within international humanitarian law, this approach
may be helpful as one option to counter these imbalances.
On the other hand, some women who have been raped during genocidal events may deem
for themselves that an association between rape and genocide is of greater consequence than
to solely focus on the individual component of rape. It may be that the need to ensure a record
of this association, for instance Tutsi women were raped because they were part of the Tutsi
ethnic group, is more important than to keep the violations within the parameters of an act
solely committed against the individual. In addition, the issue of harm as associated with rape
can affect this discourse. An article so imbedded in theoretical discussions cannot forget these
components. Furthermore, emphasising the importance of placing rape within the crime of
genocide has been criticised since the effect may be to lessen the importance of other types of
rape. As Rhonda Copelon argues By treating genocidal rape differently, one is in effect
saying that all these terrible abuses of women can go forward without comparable sanction.
Rhonda Copelon, 1995: 67) Although this caveat is an important consideration, depending on
the circumstances, it may also be argued that it is crucial for rape to be considered as
genocide for the victims and/or to more precisely reflect the context of a particular genocide.
If an area of accommodation, which includes both the individual and the group, can be
created within the crime of genocide, then rape as genocide can operate both as a violation
against the group and as a violation against the individual. This area of accommodation can
never involve an equal share of the space, for genocide will always need to occupy the
majority of the surface area since its key concern is the survival of human groups. When rape
is subsumed into genocide, which is conceived, placed and treated as a crime against
enumerated groups, its dynamic changes. Rape is no longer just a violation against the
individual. Rape becomes part of a notion developed to protect the group. Once again, this
process relates to what can occur on a theoretical level when rape is subsumed within the
international crime of genocide. Therefore, the determination of this chapter from an
analytical political theory perspective will be that there is still a place for the individual
victim of genocide or the individual victim of rape as genocide. However, as with the current
concept of human rights, this space is unequal and not always comfortable. Crucially, even
with innovative jurisprudence such as the ICTR case (Jean-Paul Akayesu, 1998) and literature
on this issue, there is a need to assess this complex relationship between rape which affects
the individual and rape as genocide which is placed within the group dynamic.
71

For instance, the opening sections of the Convention on Prevention and Punishment of Genocide (1948) reads
Recognising that at all periods of history genocide has inflicted great losses on humanity; and Being
convinced that, in order to liberate mankind from such an odious scourge, international co-operation is
required:
P. R. Ghandi, 2000: 19.

The Consideration of Rape as Torture and as Genocide

135

The Group and the Contention of Group Rights


Which areas of international law, and even general theoretical traditions, have influenced
the deliberation and the creation of a definition of the crime of genocide? Raphael Lemkin
focussed on the life of the group and in particular on national groups.
According to Lemkin, genocide could be understood as
the criminal intent to destroy or to cripple permanently a human group. The acts are
directed against groups, as such, and individuals are selected for destruction only because they
belong to these groups. (Raphael Lemkin, 1947: 146)

With this quote, one begins to see that both the group and the individual function within
the concept of genocide. However, individuals are targeted due to their membership within a
particular group. The implications of this for rape as genocide will be explored later.
In 1946, the newly formed UN General Assembly passed resolution (96-I) which stated:
Genocide is a denial of the right of existence of entire human groups, as homicide is the
denial of the right to live of individual human beings

72

Within the United Nations three types of law were interwoven into a concept of genocide
international criminal law (for individual criminal responsibility), human rights law, and
humanitarian law. (William A. Schabas, 2000: 5) From international human rights law, a
critical connection emerges. The right to life, outlined in the Universal Declaration of Human
Rights (1948) and in the International Covenant on Civil and Political Rights (1966), is a
human right accorded to individuals. The right to life is not an absolute right, since in times of
war and under certain circumstances this right may be breached. There is also capital
punishment, which technically is not prohibited under international human rights law, but
whose eventual cessation is encouraged in human rights instruments. Although the right to
life is imprinted within the Genocide Convention (1948), it is the right to life of human
groups that is in fact protected. In particular, it is the right of these human groups to exist
(the right to existence) that should be protected. (Ibid: 6) Furthermore, the prohibition against
genocide is pivotal since it is a crime directed against the entire international community
rather than the individual. However, genocide has also been described by William A.
Schabas as a violent crime against the person. (Id) It is this two-pronged interplay, a
violation against the group and a violation against the individual which makes genocide and
rape as genocide, such textured concepts.
What then is a group? In simple terms, groups consist of individuals. (Id: 106) At the
UN level, the term group or groups is noted in several instruments. For instance, the
Universal Declaration of Human Rights (UDHR, 1948) mentions the family as a
fundamental group unit of society and that education will promote understanding,
73
tolerance and friendship among all nations, racial or religious groups.
The UDHR in
Article 30 speaks of any State, group or person, which means that a group consists of more
than one individual. (William A. Schabas, 2000: 106) Other instruments, such as the
72
73

UN General Assembly Resolution, 96-I, 11 December 1946.


P.R. Ghandi, 2000: especially Articles 16(3), 26(2) and Article 30, 21-25.

136

Daniela De Vito

International Covenant on Civil and Political Rights (ICCPR, 1966) and the International
Convention for the Elimination of All Forms of Racial Discrimination (ICERD, 1966), speak
of peoples having the right to self-determination and of racial or ethnic groups
74
respectively. In the latter Convention (1966), Article 14 addresses the right of petition for
individuals or for groups of individuals whom have suffered racial discrimination.
A more formal understanding, within the framework of international law, has been
proposed by Natan Lerner:
In international law, the notion of group requires the presence of those already
mentioned unifying, spontaneous (as opposed to artificial or planned) and permanent factors
that are, as a rule, beyond the control of the members of the group. (William A. Schabas,
2000: 107 & Natan Lerner, 2003: 84)

Critically, what emerges from this proposal is that groups consist of individuals and that
groups protected under international law involve a degree of permanence such as race or
ethnicity. It may be more difficult to place religious groups, since some may argue that
religious beliefs can change, within Lerners understanding of a group. The Genocide
Convention (1948), including the reference to religious groups, was framed with the notion of
75
focussing on the permanence of groups thereby excluding other groups.
However,
Lerners wording does allow for some flexibility because he includes the words permanent
factors that are, as a rule, beyond the control of members. Furthermore, and specifically with
reference to minority rights the right extends to persons belonging to such minorities,
and not the minority as a group. (Bill Bowring, 1999: 3-4) Key is the individual members of
a minority group.
How can this understanding of individuals, being part of a minority group, relate to
genocide? The groups outlined in the Genocide Convention (1948) national, ethnical, racial
or religious are not framed solely within a minority standing. That is, these groups can be in
the minority or these groups can make up the majority population in a State, or they can lack
power within the State. There are no restrictions within the Convention. Genocide is an
international crime aimed at national, ethnical, racial or religious groups. An additional
component is attached since individuals, as members of said groups, are the particular victims
of genocide. With reference to when rape is considered as genocide, individuals are victims of
this crime due to their membership in one or more of the enumerated groups. This may
76
contradict the UNs vision with reference to this crime. Specifically, in its 1946 Resolution ,
a distinction was made between the right to life of human groups and of individuals. Leo
Kupers work on this subject, is a characteristic of a contrasting view to this approach. For
Kuper argued that genocide is a crime against a collectivity, it implies an identifiable
group as victim. (Leo Kuper, 1981: 53) However, as this section will argue, there must be
the possibility within any understanding of genocide to include an examination of not only
what occurs to the group as a whole but also to individual victims of genocide within the
74

P.R. Ghandhi, 2000: Article 1(1). P. 64. Article 1(4), 56.


There was and continues to be concern with the Genocide Conventions limited enumeration of groups that can
be targeted. The exclusion of political groups is one such example. There have also been calls to consider the
category of female as a group that can suffer genocide. For more on these issues please refer to:
Lisa Sharlach, 2000: 91-92.
76
Supra note 72.
75

The Consideration of Rape as Torture and as Genocide

137

group. This overall conclusion may, or may not, seem to follow the ICTR Judgement in the
Jean-Paul Akayesu case. Within the Akayesu Judgement, genocide was understood to involve
an act (taken from the list of five which are enumerated in the Genocide Convention 1948)
that is committed with the specific intent to destroy, in whole or in part, a particular group
targeted as such. (Akayesu case, 1998: 731)
It is necessary to briefly re-visit the dichotomy between individual human rights and the
suggestion of group rights. For if rape as genocide is conceptualised as a violation against an
individual who is part of a group, and not as a violation exclusively committed against the
group as a whole and without considering the individual, then the implications of formulating
this crime within the accepted understanding of the current concept of human rights must be
assessed. This will involve a brief re-visit of the current concept of human rights, with its
emphasis on the individual and its acknowledgement of the group, and an introduction to
the debate of whether human rights are applicable to groups as a whole and not just for
individual members of a group.
It was not until the Second World War and with the rise of Nazism that the current
concept of human rights emerged. After the end of World War II, the newly formed United
Nations (UN) set about articulating the idea of human rights. This process can be found inter
alia in the UN Charter (1945) and in the Universal Declaration of Human Rights (UDHR,
1948). The current concept of human rights addresses the rights and freedoms of the
individual. However, this individual can to varying degrees also have a place, a role, and
duties and receive benefits within his or her respective community. As Jack Donnelly sets out
in Universal Human Rights in Theory and Practice, theoretically human rights exist outside
the reality of the modern State. Human rights are not given to human beings by the State.
Individuals, by the mere fact that they are human beings, already exist with certain rights. The
process that entrenches these rights into law is separate. (Jack Donnelly, 1996: 12) Yet, the
individual still has a place and a role within larger frameworks such as society or the State.
Furthermore, the current concept of human rights does acknowledge the group under certain
circumstances. There is Article 16(1) of the UDHR (1948) which mentions family and in
the Preamble to the ICCPR (1966) peoples are said to have the right to self-determination.
(Michael Freeman, 2002: 75) Critically, at the UN level, and for instruments that have such
mechanisms it is the individual who petitions the relevant bodies such as the Committee
against Torture. Furthermore, human rights violations are determined with the individual in
mind. (Koen de Feyter in De Feyter and Pavlakos, 2008: 22) This leads to an important
debate within the human rights discourse. Does a group have human rights? Or, as Jack
Donnelly and others insist, is it only individuals as members of particular groups that bring
human rights to the table? Koen De Feyter mentions the construction of some human rights
instruments that address categories of human beings such as women or children but in turn he
acknowledges the difficulty in recognising collective rights per se. (Ibid: 19)
Returning to genocide and to rape as genocide, the implications of considering these acts
as either violations committed against the group or against the individual as part of the group
are critical. As stated earlier, if an individual is raped within the context of genocide it may be
the case that placing this act within a crime carried out against the group is more important
for the victim than if it were to remain as a crime against the individual. In turn, the

Daniela De Vito

138

implications of this approach may be to remove the individuality of rape and of rape as
77
genocide.
This section will address minority and group rights to bring out a clearer understanding of
the challenges that still exist within the current concept of human rights between the
individual and the group. The purpose will be to understand how the individual and the
individual as part of a group is able to function, and to determine if compatibility between the
individual and the group exists within differently constructed violations such as rape and rape
78
as genocide. Finally, although a distinction exists between group rights (such as the right of
peoples to self-determination) and minority rights, the emphasis is to clarify the notion of
the individual as opposed to the group within the framework of rights. With reference to the
right of peoples to self-determination, there is continued debate as to its exact place within
international law in general. The only established parameter for this right has been in relation
to peoples extracting themselves from situations of colonialism. Once colonialism has been
removed, then this right has been interpreted to mean States. Recent and ongoing efforts, with
reference to the rights of indigenous peoples, seem to be moving more in the direction of
groups of peoples having rights. Yet, this is far from being a settled and accepted approach.
79
(Nigel Rodley, 1999: 61)
However, as Jack Donnelly notes:
What is one to conclude? Is there an internationally recognised collective human right of
peoples to self-determination? It is hard to say. Maybe. Sort of. Not exactly. Therefore, I
propose to set this right aside. But even if there is such a right, the fact that there is (at most)
precisely one internationally recognised human right of peoples can be seen largely as
confirmation of the rule that human rights are the rights of individuals. (Jack Donnelly, 2003:
132-133)
80

International law
and theory in general, have had a difficult time in accepting that
human rights could be applicable to groups. Another term for this concept is collective
81
One concern, if group rights are subsumed into the
rights. (Bill Bowring, 1999: xiii)
77

The inspiration for this the term individuality, in conjunction with genocide, comes from Leo Kupers phrase
As a crime against a collectivity, it (genocide) sets aside the whole question of individual responsibility; it is
a denial of individuality.
Leo Kuper, 1981: 86.
78
The aim of this section is not to outline or to resolve all the various positions within the human rights discourse
related to who is the bearer of rights the individual; the individual as a member of a group; or the group as a
whole? As such, the position used will remain within the notion that human rights are individual rights but
that the group based on factors such as race, ethnicity, gender, etc. also has an important role.
79
The recently passed (2008) UN Declaration on the Rights of Indigenous Peoples (1994/95) speaks of indigenous
peoples in its articles. It is, however, a declaration and the document remained in a draft for over a decade due
to its contentious content.
80
As Jack Donnelly, in reference to minority rights, observes:
I am not, let me repeat, challenging the idea of minority rights as they are already established in the major
international human rights instruments (i.e., as individual rights that provide special protections to members of
minority groups).
Jack Donnelly in Gene M. Lyons & James Mayall (eds.), 2003: 37.
Danilo Turk in De Feyter and Pavlakos, 2008: p. 4.
81
Gerrit-Bartus Dielissen, within the context of his article, offers a more narrow definition of groups rights
to mean the rights of any minorities.
Gerrit-Bartus Dielissen in De Feyter and Pavlakos, 2008: 41.

The Consideration of Rape as Torture and as Genocide

139

category of human rights, is that all the initiatives and accomplishments since the
Enlightenment period, which led to the current concept of human rights with a prime place
given to the role and placement of the individual, would be negated.
As Jack Donnelly argues:
I must insist that there are collective rights, just not collective human rights, and that a
number of human rights are exercised by individuals as members of a collective group. (Jack
Donnelly, 1993: 149-150)

For Donnelly, to change the idea that collective rights should be considered as another
branch of human rights would significantly alter the concept of human rights, which
developed to protect individuals. (Ibid: 145) This viewpoint, whereby individuals as members
of groups can exercise human rights, tends to reflect the current approach within international
law. Neus Torbisco Casals, 2006: 44 and David Ingram, 2000: 242) However, discourse has
taken place whereby the rights of groups are considered an essential component or addition to
the concept of human rights. As Lyons and Mayall predict The question is whether the
existing regime can be expanded to include group rights or whether a new set of obligations
need to be added. (Lyons & Mayall, 2003: 6) One approach is to develop group rights as a
branch of human rights. Another standpoint is to leave human rights with its focus on the
individual as rights bearer. (Neus Torbisco Casals, 2006: 37) In turn, there may even be a
possibility to create a new category of group rights that are separate to but influenced by the
82
current human rights regime.
K. De Foeter has written about this issue in terms of the
collective rights of groups. In addition, these rights would not be about the duties of the
State but would in fact challenge the authority of the State. As correctly noted, when framed
in such a manner, the collective rights of groups are extremely contentious and have not
found much support within the established international community. (Koen De Feyter in De
Feyter and Pavlakos, 2008) These are but a few examples of how the discourse surrounding
the issue of group rights has emerged. As noted, the aim is not to outline in a detailed manner
the varied approaches, nor is its purpose to reconcile group rights with the concept of human
rights. Rather, it should be emphasised that this section and its theoretical analysis of rape as
genocide is situated within the realities of current international law whereby human rights
norms and regimes tend to emphasise the individual but also acknowledge possible complex
83
notions vis vis thegroup.
82

This possibility has been articulated in relation to certain minority groups.


Jennifer Jackson-Preece in Lyons & Mayall (eds.), 2003: 68.
In general, the line of inquiry can be understood as attempts to distinguish between, on the one hand, rights that
depend on an individuals belonging to a group or community, and, on the other, individual rights common to
all human beings.
Neus Torbisco Casals, 2006: 57.
83
As Hurst Hannum, with reference to indigenous rights , succinctly expresses:
This chapter does not attempt to resolve the philosophical clashes over individual versus collective rights or
majority versus minority rights.
Hurst Hannum in Lyons & Mayall (eds.), 2003: 94.
Furthermore, and as a caution against placing women as a group within human rights, Eva Brems argues
In years to come, the collective dimension of womens rights may come to the forefront, for example, as a
framework for addressing the root causes of gender discrimination. However, from an inclusive perspective,
this would be a step in the wrong direction, as the same structural problems usually also affect men, and
remedies created in response to womens group claims risk excluding them.

140

Daniela De Vito

John Rawls, in The Idea of Public Reason Revisited, attempts to bring the individual
and the group together. In this article, Rawls writes about the place and role of citizens when
dealing with the State and its institutions. In one section, he tries to link the family with the
idea that equal justice can be applied to men and women within these entities. However, even
Rawls is clear that any rights or responsibilities found within the family unit are very much
attached to its individual members as part of the group and not to the group as a whole. As
Rawls argues:
Now consider the family. Here the idea is the same: political principles do not apply
directly to its internal life, but they do impose essential constraints on the familyand so
guarantee the basic rights and libertiesof all its members. (John Rawls, 1999: 595-597)

At the UN level, Donnellys and Rawls arguments are evident. Article 27 of the
International Covenant of Civil and Political Rights (ICCPR, 1966) outlines the rights of
individuals as part of a listed minority group(s) In those States in which ethnic, religious or
linguistic minorities exists, persons belonging to such minorities This article, however,
does not set out rights for the minority group as a whole. (Bill Bowring, 1999: 4)
Even in a more recent UN instrument, Declaration on the Rights of Persons Belonging to
National or Ethnic, Religious and Linguistic Minorities (1992), the emphasis is on persons
belonging to such groups. (P. R. Ghandhi, 2000: 132-134) In other words, as currently
framed, minority rights are individual rights. (Bill Bowring, 1999: 14) However, Bill
Bowring argues that international human rights law must move beyond this narrow
interpretation and that it should recognise group and minority rights as such. (Ibid)
An attempt to expand on this formulation has been proposed by Will Kymlicka in
Mutlicultural Citizenship: A Liberal Theory of Minority Rights. His focus is on the possibility
of developing minority rights. Human rights, it was argued by liberal thinkers after World
War II, would protect and thus solve the problems faced by, for instance, ethnic and national
minorities. (Will Kymlicka, 1997: 2-3) In the face of discrimination, the newly developed
international human rights instruments would protect individual members of minority groups.
There would be no need to include minority group rights. In fact, with this background in
mind, the UN removed any reference to ethnic and national minorities in the Universal
Declaration of Human Rights (1948). (Ibid: 3) In other words, post-war liberals around
the world have repeatedly opposed the idea that specific ethnic or national groups should be
given a permanent political identity or constitutional status. (Id: 4) For Kymlicka, the
concept of human rights alone is not adequate to address the needs of minority groups. For
example, the individual right of free speech does not outline what sort of minority language
policy a State should enact. It is for this reason that he proposes to enhance human rights with
a theory of minority rights. (Id: 5)
In his words, group-differentiated rights whereby
members of certain groups have rights regarding land, language, representation, etc
that the members of other groups do not have. (Id: 34)

Eva Brems in Lyons & Mayall (eds.), 2003: 121.

The Consideration of Rape as Torture and as Genocide

141

In a similar vein, Charles Taylors Multiculturalism and The Politics of Recognition


examines this interplay between the individual and the group. Writing about the importance
of recognising the needs, identities, etc. of individuals, Taylor presents the idea that
individuals define their respective identities with the help of others:
We define our identity always in dialogue with, sometimes in struggle against, the
things our significant others want to see in us. Thus, the contribution of significant
otherscontinues indefinitely. (Charles Taylor, 1992: 33)

Individuals, for the most part, operate both on their own stage and within the constraints
and advantages of the larger community or group such as the family. Once again, for Taylor,
the group is addressed in terms of its individual members along with the potential collective
84
goals linked to members of the community. The contribution that Kymlickas thesis can
offer towards understanding the implications of genocide and of rape as genocide is that he
makes a connection between individual and group rights a theme hinted at within the
international crime of genocide. Kymlicka acknowledges that group-differentiated rights
may seem to counter efforts to emphasise the individual in that his theory focuses on the
group. (Will Kymlicka, 1997: 34) Yet, Kymlicka argues that there can be compatibility
between individual rights and group-differentiated rights. For instance, minority language
rights is an area whereby a right is attached to an individual member of a group and to the
group as a whole. In Canada, as his example follows, the right of francophones to use French
in courts is one enacted on by individuals.
The right may be aimed at the entire francophone group, but it is exercised by individual
85
francophones.
Other rights in Canada, such as fishing/hunting rights for indigenous
peoples, are accorded to groups. Working with both the individual and group elements of the
issues, Kymlicka points out:
Just as certain individual rights flow from each individuals interest in personal liberty,
so certain community rights flow from each communitys interest in self-preservation. These
community rights must then be weighed against the rights of the individuals who compose the
community. (Will Kymlicka, 1997: 47)

Hence, the preservation of the group which is deemed critical can operate alongside the
rights and needs of individual members of the community or group. There may be conflict
such as if groups impose restrictions on its members, but Kymlicka differentiates between
internal (claims of a group against its own members) and external (claims of a group
against the larger society) protections, both of which have limitations such as fitting within
human rights or to balance opportunities, etc. between groups. (Ibid: 35)
Returning to genocide, acts associated with this crime are aimed at destroying in whole or
in part a national, ethnical, racial or religious group. In turn, it is individual members of said
groups who are killed, harmed, etc. The two components of Kymlickas vision, the group and
84

Taylor is speaking about the collective goals of French speaking Qubecois.


Charles Taylor, 1992: 39 and 53-58.
85
Kymlicka insists that French Canadians are a national minority thereby ensuring they can be accorded groupdifferentiated rights.
Will Kymlicka, 1997: 45- 46.

Daniela De Vito

142

the individual within the group, are able to co-exist within this formulation. This does not
exclude the current concept of human rights with its emphasis on the individual and his/her
human rights. This part of Kymlickas approach does not, as warned by Jack Donnelly,
completely subsume the category of group rights within human rights thereby negating a
place for the individual. Rather an area of accommodation has been created whereby both the
group is protected, and where the individual within the group is also protected and in turn
acknowledged and can play an active role. The next question becomes, if rape as genocide
can also be placed within this area of accommodation?

Rape as Genocide
The international crime of genocide emerges first and foremost as the destruction in
whole or in part of a national, ethnical, racial or religious group. Yet, by delving further into
this violation and by incorporating certain elements from Kymlickas work, one is able to find
a space for individual members of said groups since the acts of genocide enumerated in the
Genocide Convention are committed against individuals.
As Jack Donnelly emphasises with direct reference to genocide:
Therefore, it is individual members of threatened groups who must exercise the right.
(Jack Donnelly in Catherine Brolman et al (eds.), 1993: 131-132)

Is it acceptable, therefore, for rape as genocide to be placed within Kymlickas


formulation? Any response to this question should simultaneously consider some of the
implications emanating from the two International Criminal Tribunal Judgements mentioned
in the introduction to this chapter. The reason is that these Judgements offer quite distinct
presentations of rape.
In the International Criminal Tribunal for the former Yugoslavia Judgement (Kunarac et
al - Foca case, ICTY 2001: 441), the Trial Chamber considered that rape could be
understood as a serious violation of sexual autonomy. (Catherine A. MacKinnon, 2006:
950) In its overview of several common and civil law jurisdictions in relation to definitions of
rape, the Trial Chamber concluded that the main principle linking these systems is that
serious violations of sexual autonomy are to be penalised. In turn, Sexual autonomy is
violated wherever the person subjected to the act has not freely agreed to it or is otherwise not
a voluntary participant. (Foca case, 2001: 457) As with the international crime of torture,
this conclusion emphasises that rape should be conceptualised as a crime committed against
the individual. As such, rape is an act perpetuated against the individual and it specifically
86
violates the sexual components of the individual.
As Catherine Mackinnon observes within the context of consent definitions of rape, This
crime (rape) basically occurs in individual psychic space.
Sexual Autonomy, can be understood as having three components:
The first two are mental an internal capacity to make reasonably mature and rational
choices, and an external freedom from impermissible pressures and constraints. The third
86

As Catherine A. Mackinnon states Force abrogates autonomy just as denial of self-determination is coercive.
Catherine A. Mackinnon , 2006: 941.

The Consideration of Rape as Torture and as Genocide

143

dimension is equally important. The core concept of the personthe bodily integrity of the
individual. (Stephen J. Schulhofer, 1998: 111)

Although this definition of sexual autonomy crucially includes both mental and physical
aspects, there is concern with the notion of making choices. A similar link can be made with
theories of human rights whereby the capacity to claim human rights implies the ability to
hold human rights. One concern, if taken to the extreme, would be to contemplate if an
87
individual in a coma truly has human rights?
In his examination of sexual autonomy,
Stephen J. Schulhofer goes on to add that determining if a violation of sexual autonomy
constitutes rape is an additional step and one that can be linked to cultural factors or social
conditions.
As Schulhofer clarifies:
In sexual crimes, however, the labelling decision may be very important. A persistent
pitfall of rape reform has been the tenacity of common culture and its influence over the
interpretation of ambitious reforms. (Ibid: 104)

In contrast, the International Criminal Tribunal for Rwanda (ICTR) in its pivotal
Judgement (Prosecutor v. Jean-Paul Akayesu, 1998), for the first time in international law
88
conceptualises rape under certain circumstances as genocide. The women who were raped
during the genocide of 1994 were, according to the Trial Chamber, targeted for rape because
they were members of the Tutsi ethnic group.
The rapes were therefore considered as genocide within this context since, in the words
of the Chamber,
the Chamber is satisfied that the acts of rape and sexual violence described above,
were committed solely against Tutsi womenand specifically contributing to their
destruction and to the destruction of the Tutsi group as a whole. 89

The chamber added,


These rapes resulted in physical and psychological destruction of Tutsi women, their
families and their communities. (Akayesu case, 1998: 731)

One way in which the rapes contributed to the destruction of the Tutsi group, was due to
the fact that many of the Tutsi women and girls who were raped were killed afterwards or
died from their injuries. (Angela M. Banks, 2005: 9-10) Another critical point, in relation to
how rape was deemed as genocide, relates to the reality that Tutsi women were considered as
sexual objects and as the Trial Chamber in the Akayesu case observed sexual violence
87

For more on this topic, please refer to Peter Jones, 1994: 67-71.
Jean-Paul Akayesu did not rape the women directly. Instead, the charges of rape in his case stem from the fact
that he had administrative control and authority in the region where the rapes occurred.
Akayesu case (ICTR-96-4-T, Judgment, 2 September 1998): Indictment.
89
Akayesu case, 1998: 165-166.
It should be noted, in the Akayesu Judgement, that rape and other sexual violence within the parameters of genocide
was defined by whatever causes serious bodily or mental harm. This is due to how the Genocide
Conventiuon (1948) has been formulated.
Catherine A. Mackinnon, 2006: 941.
88

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Daniela De Vito

was a step in the process of destruction of the Tutsi group destruction of the spirit, of the
will to live, and of life itself. (Kelly Dawn Askin, 2005: 1010) The rapes of Tutsi women,
within this context, could be placed under the legal definition of genocide because they
represent the enemys intent to destroy. (Lisa Sharlach, 2000: 93) In addition, rape as
90
and a way to
genocide can be understood as a particularly effective tool of genocide
inflict serious bodily or mental harm onto a group.
As the Akayesu Trial Chamber observed,
Indeed, rape and sexual violence certainly constitute infliction of serious bodily and
mental harm on the victims and are even, according to the Chamber, one of the worst ways of
inflicting harm on the victim as he or she suffers both bodily and mental harm. (Akayesu
case, 1998: 731)

Some of the after effects of the rapes that took place within the context of genocide in
Rwanda included survivors becoming socially outcast and excluded. (Lisa Sharlach, 2000:
91) That is to say, an additional layer of complexity emerges linked to cultural opinions and
sensitivities.
As Lisa Sharlach argues in her overview of genocide in Rwanda, Bangladesh and the
former Yugoslavia, in general rape as genocide stigmatises the survivor and that,
In such communities, women in their roles as mothers of the nation and as transmitters
of culture symbolise the honour of the ethnic group. When a womans honour is tarnished
through rape, the ethnic group is also dishonoured. (Ibid: 90)

If both cases (Kunarac and Akayesu) are considered together, does the innovative link
between rape and genocide as presented in the Akayesu case result in rape losing its
understanding as a violation of autonomy? Upon closer examination of the Akayesu Trial
Chamber comments quoted above, it would appear that the compatibility found within
genocide as discussed earlier between the individual and the group can be located in this case.
Yes, the Trial Chamber focuses on the fact that individual victims were targeted due to their
membership in the Tutsi ethnic group. However, the Trial Chamber also acknowledges that
both the Tutsi group and the individual victims of rape were targeted for genocide.
Recalling the words of the Chamber: and specifically contributing to their destruction
and to the destruction of the Tutsi group as a whole. Therefore, in this particular case, the
crime of rape as genocide is conceived as both an act committed against an individual and as
an act committed against the group. As such, rape as genocide has retained its understanding
as a violation against ones autonomy, but also as a violation against the group as a whole.
The ICTR Trial Chamber in this particular Judgement has created an area of accommodation
whereby the group (Tutsi ethnic group) and the individual (Tutsi women) are acknowledged
with the aim of hopefully protecting both in the future. Even with this compatibility, between
the group and the individual, it should be emphasised that the Trial Chamber insisted that the
women who were raped were victims because they were Tutsi. The attachment to the group is
not completely removed despite the fact that the Chamber has also acknowledged space for
90

This reference relates to The devastation that follows rape makes it a particularly effective tool of genocide
because it destroys the morale of a woman, her family, and perhaps her entire community.
Lisa Scharlach.

The Consideration of Rape as Torture and as Genocide

145

the individual. This means that the individual victims of rape were not targeted because they
were individual women, but because they were Tutsi women. This approach may further deny
the individuality of the victims since they have been placed by the Trial Chamber within the
category of Tutsi women and not within the general category of women. The construct of
the Genocide Convention (1948), which the ICTR Trial Chamber must follow, would explain
the restriction of only focussing on the Tutsi ethnic group.

CONCLUSION
Does this insistence on a strong connection with the group diminish the so-called
compatibility between rape (autonomy) and genocide (group)? I would argue it does not since
a key component found within the definition of genocide is the protection of groups. As noted
by the United Nations Commission of Experts (for the Former Yugoslavia), with reference to
this authors argument that the relationship between rape and genocide is a compatible one
but inevitablydue to how genocide has been constructed in international lawan unequal
relationship:
the crimes against a number of individuals must be directed at them in their
collectivity or at them in their collective character or capacity.

91

However, if deemed necessary, this compatibility should also be arrived at via a decision
made by those who have suffered these crimes. As mentioned at the very beginning of this
chapter, it may be beneficial for such a label to exist if the individual victims of rape as
genocide consider this proposition to be so. These victims must also have a voice in the
process that constructs and interprets such international law judgements. As such, and this
was a key aim of this chapter, some of the theoretical implications have been examined
emanating from a situation whereby international law has placed rape simultaneously as a
violation against the individual and as a violation against the group.
In contrast to rape as a form of torture with its association to the individual, this chapter
has determined that rape as genocide has to operate within the confines of genocide with its
links to the group. Although genocide has been conceived as a denial of the right to life of
human groups, it also includes scope for the individual. In other words, genocide is an attack
against a national, ethnic, racial, or religious group, but it is also an attack against individual
persons within these groups. This complex interplay, found within genocide, between the
group and the individual, affects how rape as genocide is understood. This means that
individuals are victims of rape as genocide due to their membership in one or more of the
enumerated groups in the Genocide Convention (1948), and within circumstances found
under the definition of genocide. Therefore, this author has presented that there must be an
opportunity to consider rape as genocide to be conceived as a violation against an individual
because they are part of a group, and not as a violation solely committed against the group as
a whole. If this formulation is not possible, within international law cases addressing such

91

UN Document S/1994/674, Final Report of the Commission of Experts, (1992): 524.

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Daniela De Vito

issues, then the result will be an exclusion of the construction of rape as a violation of an
individuals sexual autonomy.
Despite the definition of genocide under international law, it cannot completely remove
the notion that rape is a violation committed against the individual. Victims of rape who
appeared before the ICTR in the case of the Prosecutor v. Jean-Paul Akayesu, albeit within
limits set out by the Tribunal and the Trial Chambersuch as time limits and the rigours of
cross-examination 92 do have an opportunity to recount what happened to them as
individuals during the 1994 genocide in Rwanda. The context of the genocide in Rwanda,
namely that it was committed with the purpose to destroy in whole or in part the Tutsi ethnic
group, was in turn a necessary component attached to the Akayesu (1998) Judgement. As
such, the Trial Chamber in this case did acknowledge that the women were raped because
they were members of the Tutsi ethnic group but also that they were individual Tutsi victims.
As developed in this chapter, the definition of genocide outlined in the Genocide
Convention (1948) and as utilised by the international criminal tribunalscan offer a
compatible space for rape. Although constrained by this definition, the group elements of this
international crime can create room for the individual components of rape. For example,
insisting on this connection with the group, an individuals sexual autonomy does at a certain
level become enmeshed within the group. Does this change the nature of rape? To a certain
degree the answer is yes since rape is not solely associated with the sexual autonomy of an
individual. Yet, the construction of rape as a violation committed against the individual does
not completely disappear. An unequal space is indeed created whereby the group elements of
genocide and the individual aspects of rape operate once rape is considered as genocide. The
point is not to shift and to re-configure this unequal space, but rather to accept that this is the
reality and the consequence of innovative international jurisprudence, once rape is subsumed
into genocide, such as with the Akayesu Judgement (1998). In turn, victims of rape as
genocide must also have the opportunity to decide for themselves how it is beneficial to
consider rape as genocide. Linked to this, they must also be able to determine which aspects
are held onto in terms of if the violation affects the individual, the group, or a combination of
the two. As argued in relation to both rape as torture and rape as genocide, such theoretical
implications and perhaps others must also be considered when assessing juridical innovations.
Theoretical challenges for group theory emerge when assessing a violation such as rape
and within the context of international human rights or humanitarian law. Rape is generally
constructed as an act committed against the individual. Currently rape is not an enumerated
international crime and must be subsumed into an established crime to be prosecuted. In this
instance the focus was on rape as torture and rape as genocide. As such, any discussion of the
group or of group rights must also consider the theoretical implications of what can occur to
rape since it must navigate through constructs that focus on the individual, on the group or at
times on both parameters. Thus, the consideration of rape as torture and of rape as genocide is
not an insurmountable challenge for group theory but one that must address both the
individual and the group due to how rape is understood. As noted, the harm of rape for both
the individual and at times the group was an important example of this juxtaposition. This is
why seemingly unrelated concepts such as human rights, the individual, and the political were

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Rwanda Today: The International Criminal Tribunal and the Prospects for Peace and Reconciliation. An
Interview with Helena Cobban.

The Consideration of Rape as Torture and as Genocide

147

in turn associated with group theory and in particular group rights. If the outsider 93 of group
rights is to develop a firmer place within current theoretical and legal discourse then the
implications of such concepts must be fully explored.

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In: Group Theory


Editor: Charles W. Danellis, pp.153-166

ISBN 978-1-60876-175-3
2010 Nova Science Publishers, Inc.

Chapter 5

GROUP WORK IS NOT ONE, BUT A GREAT MANY


PROCESSES UNDERSTANDING GROUP WORK
DYNAMICS
Eva Hammar Chiriac
Department of Behavioural Sciences and Learning
Linkping University, SE-581 83 Linkping
Sweden

ABSTRACT
When people come together in order to collaborate with each other, lots of group
processes arise.
Earlier research has shown that group work is not just one single activity but is
comprised of several activities with different goals and conditions. That implies that
group work may change character several times during its functioning and in the groups
lifetime. In a simplified way, this may be described as certain working modes being
better suited for some parts of the group work, while others are not. Consequently, group
work functions on several levels during different parts of the groups work. This may
result in high quality group work but also in the exact opposite. Such different conditions
emanate from different dynamic processes that can either facilitate or hamper the groups
work.
In order to better understand and interpret processes that might arise when people
come together in a group and work together on a common task, a new model will be
presented, namely The periodic system for the understanding of group processes. The
model represents a contemporary approach of categorising group processes and can
hopefully provide a better understanding of interactional dynamics in groups and account
for a greater explanation value with respect to the group processes.
This chapter aims to present illustrative applications of the model as well as
explaining The periodic system for the understanding of group processes. A core question
is whether or not the model can contribute valuable information and if it is a practical tool
for describing and interpreting what happens in groups during work. Earlier research has

E-mail: eva.hammar.chiriac@liu.se; Tel. no.: +46 13 285735; Fax no.: +46 13 282145

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Eva Hammar Chiriac


shown promising results indicating that this kind of tool can supply a better
understanding of interactional dynamics in groups, not only from a scientific perspective
but also from users applied perspective.

INTRODUCTION
How to establish a well functioning group work in education is not self-evident. All
educators and students who use or participate in group work know that it may function in
various ways. Such a mode of working sometimes ends up with positive experiences and
learning, however in other cases the outcome could be the reverse. When people come
together in order to collaborate, lots of group processes arise within the group, which
probably have an influential impact on the groups production and the quality of learning.
Previous research has shown that group work is not just one single activity but is comprised
of several activities each with different goals and conditions (Hammar Chirac, 2003, 2008;
Steiner, 1972, 1976). That implies that the groups work may change character several times
during the work and its lifetime. In a simplified way, this may be described as certain working
modes are better suited in some parts of the group work, while others are not. Additionally,
this also implies that the group may need different kinds of support and assistance during
various parts of its work. The question of why some group work turns out being successful
and others a failure is still to be decided. What is the essence behind quality group work and
can participants actions influence the process and outcome, and if so, how? Certainly it is
possible for both educators and students to affect the group work in several ways. This
chapter will address the issue of group processes connected to the type of task and activity in
the group, in other words What do the group members do and how do they do it?

TYPE OF TASK
Research concerning the groups productivity as superior to the individual is
contradictory. There appears to exist several reasons as to why individual performance either
may increase or decrease in group context, such as category of group work and type of task.
That category of group work has a great importance on the groups work and processes seem
to be well documented (Barkeley, Cross and Major, 2005; Brown, 2000; Forsyth, 2005;
Hammar Chiriac, 2008). Lotan (2006) also asserts that various group tasks require different
kinds of co-operation. Some group variables might provide more significant information
about group work and the interaction dynamics in groups. One variable that seems to account
for a greater explanation value regarding group processes is type of task.
Type of task, is an important, or possibly the most important feature as regards work
outcome and processes in group work. Earlier research has, for instance, shown that type of
task has an even greater impact than group size, group composition or even the participants
motivation (Steiner, 1972; Hammar Chiriac, 2003; 2008; Hammar Chriac and Granstrm,
2008, in progress). The educators may through the task contemplated influence the groups
working process without directing the students entirely (Hammar Chiriac, 2003, 2008;
Hammar Chiriac and Hempel 2008). If the educators want to encourage real group work, i.e.
a group work characterised by a common effort, utilization of the groups competence and

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joint problem solving and/or reflection, the teacher ought to design a task that stimulates that
specific kind of group activity. To be able to design a task corresponding to the desirable
group activity and outcome, the educator requires knowledge, applicable tools and a better
understanding of group work as a function on various levels in separate parts of the groups
work.
Students may also influence group work by selecting how to approach the provided
task. Even if the educator composes the group task in a certain way, there is no guarantee that
the group members will really approach the task in the anticipated way. Thus, even if the
teacher introduces, a real group work, the students may still choose an alternative working
mode to solve the task. The participants may prefer a more convenient approach, associated
with more effectiveness or being less provocative.
Two theories, Steiners theory about group processes and productivity (1972) and Bions
theory concerning the professional group (1961), have each proved to be usable tools for
describing what happens in groups. Steiners theory, which displays various way to cooperate in groups, only acknowledges the working group but neglects the socio-emotional
aspects of the groups life. Bions theory, which focuses mainly on what the group is taking
an interest in doing, pays attention to and emphasizes that both work and emotions must be
allowed to influence the group if it is to survive.

STEINERS THEORY OF GROUP PROCESSES AND PRODUCTIVITY


In his theory, Steiner (1966, 1972, 1976) suggests the integrative role of task demands
and processes in the group, and how these factors influence the groups actual productivity.
Steiner is mainly interested in small, task-oriented groups where the members could influence
each other directly, generally in face-to-face interaction. The groups are supposed to be
completely concerned with task performance and not at all concerned with sociability.
Additionally, Steiner (1966, 1972, 1976) considers that a groups performance depends on
three factors; (a) task demands, (b) resources of the group, and (c) group processes.
Task demands are the requirements imposed on the group by the task itself. The nature of
the task also specifies the kind and amount of resources that are needed and the utilisation for
optimal group performance. Task demands encompass all the prescriptions listed in a
complete job-manual and determine (a) which resources (knowledge, ability, skill or tool) are
relevant for the assignment, (b) how much of each kind of resource is needed for optimal
performance, and (c) how the various resources must be combined in order to produce the
best possible outcome (Hammar Chiriac, 2000, 2001; Steiner, 1966, 1972, 1976). Task
demands are characterised by three different features. The first one deals with whether the
task is divisible or unitary. If the task is divisible, it can be divided into sub tasks, which then
can be distributed among the group members while a unitary task is impossible to divide in a
beneficial way. The second characteristic for classifying tasks and demands is whether the
demands are maximising or optimising. If they are maximising, it involves more quantity and
high-speed as opposed to an optimising task, which will be adjusted to some predetermined
standard or preferred outcome. The third characteristic concerns the process by which a group
interacts to accomplish the task. It deals with how the group combines their concentration,
force and effort on the work. In short, task demands are the requirements imposed on the

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group by the task itself. The nature of the task also specifies the kind and amount of resources
that are needed and the utilisation for optimal group performance.
The groups resources in the group are decided by which group members are included in
the group. The resources consist of all relevant knowledge, abilities, skills, or tools and
specify the resources actually possessed by the group. Furthermore they include the
distribution of resources among group members. If the group wants to obtain maximum
productivity, assets must be combined and utilised in the best possible way.
The processes in the group are determined by how the group members choose to combine
their resources and efforts. In order to perform such high quality group work all resources
must be utilized and coordinated in the best possible way. In a simplified way, group
processes may be described as all actions by which the group transforms its resources into a
product. It also includes all non-productive actions prompted by inadequate understanding
and frustration. Task demands and resources are therefore possible to evaluate before the
work begins contrary to processes that can not be predicted or evaluated in advance. Different
types of task may be combined in several ways depending on these three factors (task
demands, resources of the group and group processes in the group). Based on type of
problems Steiner (1972) has identified five different forms of group work: additive,
disjunctive, conjunctive, compensatory and complementary group work.
An additive task requires that all members contributions to the work are weighted
equally and then added together. The groups product depends on the sum all members
effort. The added sum is the groups result (e.g. pulling a rope). An additive task is unitary,
maximising and the members must combine their efforts simultaneously (process: all
together) in order to achieve an optimal outcome.
The disjunctive task depends only on the most successful member to find and present the
solution to the problem (e.g. problem-solving). The members must make an either-or
decision, where one members contribution equals the groups product. One members
solution is given all the weight and all the other members proposals are rejected.
Consequently, in a disjunctive task group members do not have to co-operate to accomplish
the task. A disjunctive task may be characterised as divisible, optimising or maximising and
there is no need to combine or utilise any efforts, on the contrary is the process is dependent
on the most successful group member (individual process).
Working with a conjunctive task the group is dependent on the weakest member, i.e. all
members in the group must complete the task (e.g. mountain climbing). The group might be
compared with a chain not being stronger than it weakest link. Conjunctive types of tasks are
typically unitary and optimising. The members need to jointly co-operate and coordinate
contributions with a high degree of interdependence (common process) in order to accomplish
their assignment.
The group must balance the average from all group members opinions when they work
with a compensatory task. All members are obliged to participate and give independent
individual judgments and so all contributions are added together and divided into a mean. The
average is the groups result (e.g. estimate the temperature in a room). A compensatory task
could also include an assignment where all members are to give ones vote to choose a
candidate for a commission. The groups average is equivalent to who gets the majority of the
votes (e.g. choose the best schoolmate in a class). Accordingly, a compensatory task is
unitary, optimising and the process involves a combination of all members contribution
(common process).

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157

A complementary task also involves the entire groups performance. The group work
depends on the distribution of work among group members and that each individual takes
responsibility for his or her part of the work. The assignment is divided into sub-tasks and
distributed among the groups members. Each person is responsibility for his part and may
work on his own premises. The result is the sum of all members contributions (e.g. writing
an anthology). A complementary task is divisible, optimising and the process concerns how to
appropriately match the group members to their sub-task (process: each member doing their
own part).
The conclusion of Steiners theory is that the nature of the task has a great impact on the
groups productivity.

BIONS THEORY OF THE PROFESSIONAL WORK GROUP


The purpose of a group is not always obvious to the members. Bion (1961) holds the
opinion that all groups can act on two different levels. One is where the group acts in a
mature and task oriented way. The other is characterised by the group acting in an immature
and regressive mode. Bion labelled these conditions work group versus basic-assumption
group. According to Granstrm (1986) Bion assumes that when disturbed or threatened, the
group will act in a regressive way as a collective defence in the form of basic-assumption
behaviour. The group acts as if a certain condition exists and the group members have a
common interest in managing anxiety.
A group may act in three different basic-assumption modes; dependency, fight/flight and
pairing (Bion 1961, 1998). Several authors and interpreters of Bion (e.g. Armelius and
Armelius, 1985: Boalt Bothius, 1983; Granstrm, 1986; Karetrud, 1989; Sjvold. 1995,
1998) prefer to separate fight and flight groups and regards them as two different basicassumption conditions even though Bion himself did not make this distinction.
The purpose of a work group is to manage the task, not only in a rational but also on
effective way (Bion, 1961). The leader serves the groups purpose, and feelings such as
responsibility and co-operation are predominant. The work group handles changes and
conflicts in a rational way.
In the dependent condition the groups aim is to obtain security and protection from the
leader. The leader is perceived as omnipotent and the members depend on him/her. Feelings
such as helplessness and inability of critical thinking are predominant. The dependence group
will act against changes and denies conflicts.
The fight group tries to subdue anxiety through fighting against a presumed shared
enemy, and the leader is expected to identify the enemy and command the fight. Feelings like
aggression, hostility and paranoiac imaginations occur frequently. The fight group is
suspicious of new ideas and conflicts are solved through fight.
The flight group tries to suppress anxiety through flight and hides from an experienced
threat. The leader is expected to have a strategy for relieving the threat. Daydreaming,
suspicion and generalisation dominate the atmosphere of the group. The members forget,
ignore or laugh off suggestions for changes. Conflicts are rare, but if a conflict would occurs,
common strategies are flight or denial.

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The pairing group tries to reproduce itself. Two members in the group, a pair, are usually
more active than the other members. The main emotion expressed in the group is expectation
and hopeful anticipation. The leader is not born yet but the group is waiting for its saviour.
Members have fantasies about a better future, and conflicts are not allowed to surface. The
leader must remain unborn or the groups basic-assumption will disappear and the group has
no longer any function. The pairing group has proved to be more difficult to isolate in a study
than the other basic-assumption groups (Granstrm, 1986; Hammar Chiriac, 2003).
The basic-assumption group activity can serve several purposes for the group, either
helping or hampering a groups work. Thus, it is important to consider that basic-assumption
activity in a group does not always have a negative impact on the group, but can also serve
the groups purpose. Granstrm (1986) found that basic-assumption activity could serve three
different functions for the group (a) to support group work activity (support function), (b) to
release the group from anxiety (release function) and (c) to substitute an inactive release
mode (substitute function).
The ideal situation in a group work can be an oscillation between work and basicassumption activity, as long as the latter doesnt become predominant.
Several studies have been carried out on Bions theory on professional work groups and it
appears that this theory is applicable in several different domains, for example meetings
(Granstrm, 1986), decision processes (Sjvold, 1995, 1998).

A COMBINATION OF THE TWO THEORIES


Both Steiners and Bions theories have separately proved to be practicable tools for
group analyses. The question is whether a combination of the two theories can be one way to
identify, describe and interpret dynamics in study groups. Can Steiners and Bions theories
support and enrich each other and unravel new information, which would account for greater
explanatory value with respect to group processes.
One way to develop the theories was to combine the theories in a form of a model. This
model may be compared to the periodic system in chemistry. All cells in that system
theoretically can be filled with a formula, but in reality all cells in the periodic system do not
hold an authentic element. Table 1 presents a theoretical combination of the two theories.
Table 1 illustrates the theoretical model, based on Steiners and Bions theories, in a
simplified and schematic way. All cells in the table represent one form of emotional level in
the group (work or basic-assumption) combined with one type of activity (additive,
disjunctive, conjunctive, compensatory or complementary).
In the model prototypical metaphors are inserted in most of the cells, which theoretically
can be filled with a group process. The qualitative prototype can be considered a metaphor for
each group process and gives the reader a mental picture of the process in question. The use
of prototypes as metaphors for the different processes can give illustrative descriptions of
variations in group behaviour. The main purpose of Table 1 is to illustrate the combination in
a simplified way. In addition it is also to construct a tool that can be used for interpretations
of empirical data.

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Table 1. The periodic system for the understanding of group processes


Type of
activity
Additive
Disjunctive
Conjunctive
Compensatory

Work group Dependence


group
Tug-of-war
Expert
Leader
Dependence
Mountaineering
Jury

Complementary Anthology

Fight
group
Bullying
Troublemaker
Guerrilla

Groupthink
Stoning

Flight
group
Stalling
Slacker

Pairing
group

A pair of
lovers

Extended
breaks
Keeping
piecework down
Coffee party

THE PERIODIC SYSTEM FOR THE UNDERSTANDING OF


GROUP PROCESSES
The periodic system for the understanding of group processes contains several (17)
different possible ways for groups to use, and actually are using in practice, when cooperating to solve a task (Hammar Chiriac, 2000, 2001, 2003, 2008). In a simplified way, the
combination is based on what do the group members do and how do they do it? What the
group members are doing is described in the horizontal dimension of the model and is based
on Bions theory (1961, 1998). This dimension reveals that the group members are either
working with the allotted task or with something else. The first-mentioned is in the model
described as the work group, while dependence, fight, flight and pairing modes implies that
the group members are doing something else than the prearranged task (Bion 1961, 1998).
The vertical dimension in the model discloses how group members do perform the
activity in question and is founded on Steiners theory (1966, 1972, 1976). The periodic
system for the understanding of group processes discloses that groups may use five different
modes to carry out the activity, namely in an additive, disjunctive, conjunctive, compensatory
or complementary way.
In the model well-known group processes are inserted. All processes comprise a
combination of what group members are doing and how the members are doing what they
actually are doing. For example in the first cell on the top to the left side in the model entitled
tug-of-war, describes a group working on the allotted task (work group) in an additive way.
To further elucidate the group processes which are being illustrated and the concepts, which
characterises that type of process each cell will be illustrated below.

The Work Column


The first column in the model, the work group, discloses that when the group members
are focusing on the task they can use five possible modes of co-operation, namely additive,
disjunctive, conjunctive, compensatory or complementary. In the column describing the
working group are the prototypical metaphors tug-of war, expert, mountaineering, jury and

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anthology given as examples of processes occurring in these tasks oriented ways. To


additionally increase the comprehension of the meaning of these concepts some examples will
be given.
The concept brainstorming (work group/additive) illustrates a group work where all
members jointly and at the same moment help each other to accomplish the task. In a study
group this type of co-operation might be found in a brainstorming activity. All members of
the group participate in the brainstorming by suggesting relevant words. The words are added
together to a pooled collection of word, which all group members are free to use.
The expert (work group/disjunctive) is distinguished by the fact that only one member,
who is or consider himself to be particularly familiar with the concerned question, takes the
lead and controls the work in the group. One example concerning the expert might be a
teacher, who shares his knowledge with the purpose of teaching as much as possible to the
pupils. The students who are mutually focusing on the assignment, ask task-oriented
questions which the teacher tends to answers. Both sides co-operate in the most profitable
way to ensure that the students attain as much as possible from the teachers expert
knowledge.
Expert is a disjunctive concept and the prototypical metaphors in line in the model differ
from the other concepts by means of describing something you are, i.e. property of
individuals, while the other concepts in the model illustrates something you do or a process.
This might be explained by the fact that the disjunctive activities exemplify separate
individuals behaviour while remaining activities demonstrate group behaviours, which
involve several individuals. The concept expert is an example of a prototypical metaphor
describing properties of individuals. A corresponding process could be develop expert
knowledge, which presents a misrepresentation of that the group members are active and not
the leader.
Mountaineering illustrates a group process describing a work group, which perform a
conjunctive type of task. All members must jointly climb the mountain before the group has
completed the project. Quality, in this case safety rather than speed (quantity) is more
important. The mountain climbers are dependent on the least enabled climber in the group. In
a study group this processes might be found when all students are active and participate in the
groups work and for example tries to solve a problem or generate the best idea.
In a jury (work group/compensatory) the jury members are on a regular basis request to
state their opinion before a decision is rendered. All judgments are weighted equally and
added together before the verdict is announced. The verdict constitutes the mean value of all
jury members opinions. In a study group this mode of co-operation might be illustrated by a
group, which is asked to elect a representative for the group. All students are allowed to vote
and the members average is the groups decision. The group member with the strongest
support will be elected the groups representative.
Finally, the concept anthology (work group/complementary) exemplifies the models last
work group approach. Several authors each write a chapter to a book and thereafter all
individual contributions are added together to a common volume. The various persons are
responsible for his or her part but are free to work when and where he or she prefer, in fact it
is not necessary for the writers to meet at all in order to complete the task. The anthology is
dependent on that each author takes responsibility for, and accomplishes his or her welldefined part of the book. All contributions are required and are likely to affect the outcome of
the work. This book in your hand is an example of a complementary type of task.

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161

Working with Something Else


The periodic system for the understanding of group processes demonstrates that a group
can choose to do something else than the prearranged task in four different ways: in a
dependent, fight, flight or paring mode. Remember that this is a normal behaviour in all
groups. There are no groups, which can be in a working condition through out the entire
group work. The columns in the model describing fight or flight groups are, in conformity
with the work group column, filled with concepts while the dependent and pairing columns
only consist of one prototypical metaphor each, revealing a disjunctive condition.

The Dependent Column


In the column for the dependent group only the cell corresponding to the disjunctive type
of activity is filled with a concept. The concept leader dependence displays a group lacking in
independence towards its leader. The person in charge controls and decides what is needed in
the group and the group members do not question the leaders authority. An educator and his
students may serve as an example again. In the dependent group the teacher is contemplated
as an almighty and omnipotent leader and the pupils are dependent of his willingness to share
his knowledge with them in their education and training. The students act helpless and as if
the teacher possesses the right answer. In addition, they do not consider themselves as having
anything to provide in their own learning process but transfer all knowledge and wisdom to
the teacher.

The Fight Column


The third column in the model, the fight column, contains prototypical metaphors
describing processes or properties adherent to a fight group. This implies that fight activities
might occur in five potential modes. The processes inserted in the periodic system for the
understanding of group processes are bullying, troublemaker, guerrilla, groupthink and
stoning.
Bulling (fight/additive) is probably the easiest process to recognise. Bullying is a
violating act against an individual with difficulties to defend oneself. It is easy to associate to
a schoolyard where one poor scapegoat stands in the middle of a circle of schoolmates. Quiet
a few shout out words of abuse directed to the scapegoat while others just stand there in
silence and let this happen. All schoolmates join hands (shouters as well as those who are
quiet) together and at the same time expose the pupil for this violent action. The more
schoolmates surrounded in the circle, the severer violation and feelings of being vulnerable
contained by the victim.
The troublemaker (fight/disjunctive) may serve as an example for that a disorderly pupil
in a class might sabotage the entirely lesson for them all. (The troublemaker is just like all the
other concepts in the disjunctive line a prototypical metaphor describing properties of
individuals). In accordance with earlier examples this is a situation familiar to a school
teacher. All educators have probably experienced that a classroom situation have been
disrupted for the whole class on behalf of one or two pupils sabotage or acting troublesome.

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The next cell exhibits the concept guerrilla (fight/conjunctive). If the guerrilla wants to
succeed they are dependent on that the attack is accomplished according to the prearranged
plan and that everyone is performing optimal, i.e. the behaviour of the weakest guerrilla
member determines the outcome of the attack. In conformity with the guerrillas fight against
authorities, students may carry out a fight against their educators. If they are to succeed in
their attempt dependents on if all students hold the same opinion and if they carry out a
jointly fight. If for example the students experience an examination as being to hard and starts
a common fight in order to lower the limit for the passing grade, it is crucial that all students
agree and support each other, or the fight will be in vane. Another example is when all pupils
in a school class decide to hand in blank papers in an exam. No one is going to answer any
questions but handing in blank tests. Before the exam takes place all students come to an
agreement, but if only one student decide to take the exam and answer the question the entire
action is lost.
Groupthink (fight/compensatory) may be exemplified by a group of politicians taking
poor quality decisions. An executive political group are often comprised of a cohesive group
of men, participating in long meetings, which includes a lot of decision-making under time
pressure. Through the group member is striving for unanimity and consensus decisions,
neglect to reality testing or critical thinking, shield off from outside information and used
deficient decision-making processes, which may pose a risk for the politicians to overestimate
the groups own competence and therefore make poor quality decisions. The decision-making
process may include voting where every contribution is weighted equally.
The last concept in the fight column is stoning (fight/complementary). The concept is
based on the old biblical proverbial phrase he without any sin should through the first stone.
There are several individuals who through a stone each at the enemy included in the fight.
This is not an unusual situation in an educational group. If the students for example, are
annoyed over that their results are not reported in time for their application for a renewed
study loan, the students may blame the educator (who becomes the enemy). One by one bring
forward arguments blaming the teacher and imploring their own innocence.

The Flight Column


The flight columns cells are also filled prototypical metaphors. Flight is the most
common mode for study groups to escape during work and employ in something else than the
prearranged task. The most ordinary way is to fly from work for a while by joking or
laughing. The group members can fly in five different ways and the emanate concepts for
these flight processes are stalling, slacker, extended breaks, keeping piecework down and
coffee party.
Stalling (flight/additive) occurs with the purpose of postponing or escaping some task.
For instance may a group of students who experience a compulsory lecture as unjustified
choose to appear late in class. By means of students dripping in one by one into the hall the
lecture is progressing slowly. The more students who are turning up late so the more the
lecture turns out to be behind schedule and thereby also shortened. Pupils may also stall if one
by one they ask for permission to sharpen their pencils claming they want to take notes. If the
educator wants the students to put down any annotations he must allow the sharpening of
pencils and wait until all pupils have finished the sharpening procedure. The class is

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postponed until everybody in the classroom have functioning writing materials and if the
pupils are highly successful the class will be drawn to an end before the work is done.
The concept slacker (flight/disjunctive) describes how one group member slips away
from work and responsibility. This may also depict properties of individuals known as freerider. A free-rider in a group work is a pupil how uses the groups common resources without
making any contribution himself.
Common extended breaks (flight/conjunctive) comprises when all group members join
each other in a common flight from work through an extended long break for lunch. In a
group work this might be disclosed by members taking too long pauses and lunch breaks or in
other ways reduce allotted time for the task performance. Socialising and being together is
more importent than returning to work.
The last but one concept in the flight column is keeping piecework down
(flight/compensatory) and may be depicted by a working team with an agreement on a certain
level of piecework. The groups lower level of piecework is based on for the group just right
level, starting from the teams average working pace. Nobody exceed this level of capacity
even if they could. In a study group this behaviour might be seen when the work capacity is
lower than the groups actually ability. Even if one of the pupils has the capacity of higher
performance he or she will not outdo the others. Everybody keeps within the predetermined
common working level. This kind of behaviour is easily connected to social loafing, which is
a tendency in individuals working in a group to work less hard when they know others are
working on the same task. The difference is that keeping the piece work down do not imply
that the students loaf about dedicated to unessential but that each pupil produce exactly as
much as the group have decided on, even if they could do better.
Finally the last prototypical metaphors found in the fight column is coffee party
(flight/complementary). In a coffee party each attendant contribute with a piece of gossip. The
various contributions must not really be connected but constitute one small part of the topic of
conversation during the coffee party. Altogether provide the different contributions the
groups common topic of discussion throughout the coffee party. A Dutch treat is another
useful example of this mode of group process, when each person brings a dish to the pooled
meal. A corresponding process might appear in a work group when one student begins to talk
about something else, for instance about how the last group work degenerated. One by one,
the other group members throw in information about previous groups and group work. One
and all are contributing to the common flight by talking about their respective experiences of
earlier group work.

The Pairing Column


In the last column there is only one concept inserted, a pair of lovers
(pairing/disjunctive). The pair of lovers is foremost interested in themselves. Now when they
have found each other everything will turn out right and the group will survive through
reproduction. In a group work this process may occur when two members, not necessary with
different sexes, dominate a non-productive activity. The pair might in a familiar way discuss
a better future in the group, often founded on fantasies or wishes. If only we do like this
everything will be better. Sexual allusions or internal individual insinuations unknown to the
other group members are frequently occurring within the pair of lovers.

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If a group work gets stuck in a non-working condition, then that might be a sign that
something in the working situation creates anxiety. This state of anxiety might be caused by
too-difficult tasks, sensitive questions, too little time, or a lack of similarities or supervision.
It may also result from the socio-emotional aspects in the group being allowed to take up a
great deal of time. Therefore it is important to search for, understand and attend to the causes
of why the groups is in a state of anxiety.
On the other hand, it might be wise to consider the beneficial aspects of the non-task
oriented activities (Granstrm, 1986; Hammar Chiriac, 2003, 2008). The dependent, fight,
flight and pairing approaches may serve the groups purpose and relieve the pressure on the
group. Shorter periods of non productive behaviour may be positive under certain
circumstances to facilitate the groups work and process.

CONCLUSION
To conclude, the periodic system for the understanding of group processes demonstrates a
contemporary approach to categorising group processes. The model addresses the issue of
group processes connected to the type of task and activity in the group, in other words What
do the group members do and how do they do it? Well-known group processes or properties
of individuals illustrate the various group activities. The model supports the implication that
certain working modes are better suited in some parts of the group work, while others are not
and that group work is not one, but a great many processes.

SUMMARY
Group work is not just one single activity but is comprised of several activities with
different goals and conditions. Such different conditions emanate from different dynamic
processes that may either facilitate or hamper the groups work. This chapter addresses the
issue of group processes connected to the type of task and activity in the group, in other
words What do the group members do and how do they do it?
A contemporary new approach of categorising group processes has been presented,
namely The periodic system for the understanding of group processes, as well as illustrative
applications of the concepts inserted in the model.
The model discloses that a combination of Steiners theory (1972) and Bions theory
(1961) may be one possible way to give a comprehensive and descriptive picture of group
processes and also can be a practical tool for describing and interpreting what happens in
groups during work.

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Barkley, E.F., Cross, K. P., and Major, C.H. (2005). Collaborative learning techniques. San
Francisco: Jossey-Bass.
Bion, W.R. (1961). Experiences in groups. London: Tavistock Publications Limited.
Bion Talamo, P., Borgogno, F. and Merciai, A. A. (Eds.), (1998). Bions legacy to groups.
London: Karnac Books.
Boalt Bothius, S. (1983). Autonomy, coping and defense in small work groups. Stockholm:
Almqvist and Wiksell International.
Brown, R. (2000). Group processes. Dynamics within and between groups. Oxford:
Blackwell Publishers.
Forsyth, D.R. (2005). Group Dynamics. Belmont: Wadsworth Publishing Company.
Granstrm, K. (1986). Dynamics in meetings. On leadership and followership in ordinary
meetings in different organizations. Linkping: Linkping Studies in Art and Science.
Hammar Chiriac, E. (2008) A scheme for understanding group processes in problem-based
learning. Higher Education, 55, 505 518.
Hammar Chiriac, E. (2003). Grupprocesser i utbildning. En studie av gruppers dynamik vid
problembaserat lrande. [Group processes in education. On dynamics in problem-based
learning.] Linkping: Linkping Studies in Education and Psychology.
Hammar Chiriac, E. (2001). Group processes in problem-based learning. Paper presented at
the oral symposium Whatever happened to the group dynamics in problem based
learning tutorial groups?, at the VIIth European Congress of Psychology, 16 July 2001,
London.
Hammar Chiriac, E. (2000). Group processes in PBL tutorial groups. Paper presented at the
Second International Conference on Problem-Based Learning in Higher Education, 17
20 September 2000, Linkping University, Sweden.
Hammar Chiriac, E. and Granstrm, K. (2008). Prerequisites for meaningful group work
Students experiences of co-operation. In Jern, S. and Nslund, J. (Eds.), Proceedings
from the 6th Nordic Conference on Group and Social Psychology, Lund University, May
2008.
Hammar Chiriac, E., and Granstrm, K. (in progress). Students experiences of group work in
school. [Manuscript to be submitted to an innternational journal].
Hammar Chiriac, E., and Hempel, A. (Eds.), (2008). Handbok fr grupparbete att skapa
fungerande grupparbete i undervisning. [Handbook for group work to establish well
functioning group work in education.] Lund: Studentlitteratur.
Karterud, S. (1989). A study of Bions basic assumption groups. Human Relations, 42, 315
335.
Lotan, R.A. (2006). Managing groupwork in the heterogeneous classroom. In C. M. Evertson
and C. S. Weinstein (Eds.), Handbook of classroom management. Research, practice,
and contemporary issues. (pp. 525-540) Mahwah: Lawrence Erlbaum Associates,
Publisher.
Sjvold. E. (1995). Groups in harmony and tension. The development of an analysis of
polarization in groups and organization based on SYMLOG-method. University of
Trondheim, Departement of Organisation and Work Science.
Sjvold, E. (1998). Group and organizational culture from the viewpoint of polarization. In K.
Granstrm (Ed.). Small group studies. Proceedings from a conference on group and
social psychology, Linkping University, May 1998. Linkping University, Skapande
Vetande.

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Steiner, I.D. (1966). Models for inferring relationship between group size and potential
productivity. Behavioural Science, 11, 273283.
Steiner, I.D. (1972). Group process and productivity. New York: Academic Press.
Steiner, I.D. (1976). Task-performing groups. In: J.W. Thibaut, J.T. Spence, and R.C. Carson
(Eds.), Contemporary topics in social psychology (pp. 393422). Morristown, N.J.:
General learning Press.

In: Group Theory


Editor: Charles W. Danellis, pp. 167-174

ISBN 978-1-60876-175-3
c 2010 Nova Science Publishers, Inc.

Chapter 6

T HE C ONTINUOUS S HEARLET T RANSFORM IN


H IGHER D IMENSIONS : VARIATIONS OF A T HEME
Stephan Dahlke1, Gabriele Steidl2 and Gerd Teschke3
1
Philipps-Universitat Marburg, FB12 Mathematik und Informatik,
Hans-Meerwein Strae, Lahnberge, 35032 Marburg, Germany
2
Universitat Mannheim, Fakultat fur Mathematik und Informatik,
Institut fur Mathematik, 68131 Mannheim, Germany
3
Hochschule Neubrandenburg - University of Applied Sciences,
Institute for Computational Mathematics in Science and Technology,
Brodaer Str. 2, 17033 Neubrandenburg, Germany

Key Words: Shearlets, Lie groups, square-integrable group, representations.


2000 Subject Classification: 22D10, 42C15, 46E35, 47B25.
Abstract
This note is concerned with the generalization of the continuous shearlet transform to higher dimensions. Quite recently, a first approach has been derived in [4].
We present an alternative version which deviates from [4] mainly by a different generalization of the shear component. It turns out that the resulting integral transform is
again associated with a square-integrable group representation.

1.

Introduction

Modern technology allows for easy creation, transmission and storage of huge amounts of
data. Confronted with a flood of data, such as internet traffic, or audio and video applications, nowadays the key problem is to extract the relevant information from these sets. To
this end, usually the first step is to decompose the signal with respect to suitable building

E-mail address: dahlke@mathematik.uni-marburg.de


E-mail address: steidl@math.uni-mannheim.de

E-mail address: teschke@hs-nb.de; G.T. gratefully acknowledges partial support by Deutsche Forschungsgemeinschaft Grants TE 354/5-1 and TE 354/4-1.

168

Stephan Dahlke, Gabriele Steidl and Gerd Teschke

blocks which are wellsuited for the specific application and allow a fast and efficient extraction. In this context, one particular problem which is currently in the center of interest is
the analysis of directional information. In recent studies, several approaches have been suggested such as ridgelets [1], curvelets [2], contourlets [5], shearlets [11] and many others.
For a general approach see also [10]. Among all these approaches, the shearlet transform
stands out because it is related to group theory, i.e., this transform can be derived from a
square-integrable representation : S U (L2 (R2)) of a certain group S, the so-called
shearlet group, see [3]. Therefore, in the context of the shearlet transform, all the powerful
tools of group representation theory can be exploited.
So far, the shearlet transform is well developed for problems in R2 . However, for analyzing higher-dimensional data, there is clearly an urgent need for further generalization.
In [4], a first approach in this direction has been presented. Similar to the twodimensional
case, the approach outlined there is based on translations, anisotropic dilations and specific shear matrices. It has been shown that the associated integral transform originates
from a square-integrable representation of a group, the full n-variate shearlet group. Moreover, a very useful link to the important coorbit space theory developed by Feichtinger and
Grochenig [6, 7, 8] has been established and the potential to detect singularities has been
demonstrated. In this note, we want to present a slightly different approach. It deviates from
[4] mainly by the choice of the shear component. Instead of the block form used in [4], we
work here with a suitable subgroup of Toeplitz matrices of the group of upper triangular
matrices. Moreover, in contrary to the anisotropic (parabolic) dilation employed in [4], we
restrict ourselves to isotropic dilations here. This setting yields a different generalization
of the continuous shearlet transform. Nevertheless, similar to [4], the associated integral
transform stems from a square-integrable group representation of a specific group, so that
again all the powerful tools of group representation theory can be used.
This note is organized as follows. In Section 1, we establish our new underlying group
and compute the associated Haar measures. Then, in Section 2, we show that this group
indeed possesses a strictly continuous representation in L2(Rn ) which is moreover square
integrable.

2.

The Group Structure

In this section, we introduce a new version of the shearlet transform on L2 (Rn ). This
requires the generalization of the shear matrix. For a R := R \ {0} and s Rn1 , we
set

1 s1 s2 . . . sn1

..
0 1 s1 s2
a ... 0
.

.. . .

.
.. . .
.. .
.. ..
Aa = .
. .. = aIn and Ss =
.
.
.
.

.
..
0 ... a
..
. 1
s1
0 ... ... 0
1
Lemma 2..1 The set R Rn1 Rn endowed with the operation
(a, s, t) (a0, s0, t0 ) = (aa0, [SsT0 SsT ]1, t + Aa Ss t0 ) ,

The Continuous Shearlet Transform in Higher Dimensions

169

where the bracket operation []1 extracts the last n 1 elements of the first column, is a
locally compact group S. The left and right Haar measures on S are given by
dl (a, s, t) =

1
da ds dt and
|a|n+1

dr (a, s, t) =

1
da ds dt.
|a|

A direct computation shows that e := (1, 0, 0) is the neutral element in S. Let us denote
SsT = (Ss1)T and observe that S[SsT ]1 = Ss . The inverse of (a, s, t) R Rn1 Rn
is given by


1
1
T
1
(a, s, t) =
, [S ]1 , Ss A 1 t ,
a
a s
since
(a, s, t)

1
, [S T ]1 , Ss1A 1 t
a
a s

1
=
a, [SsT SsT ]1, AaSs Ss1A 1 t + t
a
a
= (1, 0, 0).

Note that by induction arguments one easily verifies that Ss1 is again of Toplitz type as Ss .
Furthermore, the multiplication is associative. With the observation that for s, r Rn1
and a R


T

S[SsT SrT ]1

= SsT SrT and Aa Ss = Ss Aa,

we have
a, s,
t) = (aa0 , [SsT0 SsT ]1, t + Aa Ss t0 ) (
a, s,
t)
((a, s, t) (a0 , s0, t0)) (
0
T T T
, [Ss Ss0 Ss ]1, S[S T0 SsT ]1 Aaa0
t + t + Aa Ss t0 )
= (aa a
s

= (aa0
a, [SsT SsT0 SsT ]1, SsSs0 Aa Aa0 t + Aa Ss t0 + t)
t + t0 ) + t)
= (aa0
a, [SsT SsT0 SsT ]1, AaSs (Aa0 Ss0
, [SsT SsT0 ]1, Aa0 Ss0 t + t0 )
= (a, s, t) (a0a
= (a, s, t) ((a0, s0, t0) (
a, s,
t)).
It remains to compute the Haar measures. Observing that the vector [SsT SsT0 ]1 can be seen
as a translation of s, we have for a function F on S
Z
Z Z
da
F (a0 a, [SsT SsT0 ]1, t0 + Aa0 Ss0 t) dt ds n+1
|a|
R Rn1 Rn
Z
Z Z
da
dt
ds n+1
=
F (a0 a, [SsT SsT0 ]1, t)

n1 Rn
| det(Aa0 Ss0 )|
|a|
Z
ZR ZR
da
=
F (a0 a, s, t) dt ds 0 n n+1
|a
|
|a|

n1
n
ZR
ZR ZR
d
a
=
F (
a, s, t) dt ds 0 n a n+1 0
|a | | a0 | |a |
R Rn1 Rn
Z
Z Z
d
a
F (
a, s, t) dt ds n+1 ,
=

n1
n
|
a
|
R
R
R

170

Stephan Dahlke, Gabriele Steidl and Gerd Teschke

so that dl is indeed the left Haar measure on S. Similarly we can verify that dr is the
right Haar measure on S.
In the following, we will use only the left Haar measure and use the abbreviation d =
dl .

3.

The Representation

For f L2(Rn ) we define for (a, s, t) S


1
((a, s, t)f )(x) = fa,s,t (x) =: |a|n/2 f (A1
a Ss (x t)).

(1)

It is easy to check that : S U (L2(Rn )) is a mapping from S into the group


U (L2(Rn )) of unitary operators on L2(Rn ). The Fourier transform of fa,s,t is given by

1

(
(a, s, t)f)()
= |a|n/2 f (A1
()
a Ss ( t)
n/2
1 1 1 T T
| det(A S )| f (S A )e2iht,i
= |a|
a

= |a|n/2f(SsT ATa )e

s
2iht,i

(2)

Recall that a unitary representation of a locally compact group G with the left Haar measure
on a Hilbert space H is a homomorphism from G into the group of unitary operators
U (H) on H which is continuous with respect to the strong operator topology.
Lemma 3..1 The mapping defined by (1) is a unitary representation of S.
Note that the representations and
are equivalent. Let L2 (Rn ), Rn , and
0 0 0
(a, s, t), (a , s , t ) S. Therefore, we obtain


(a, s, t)
(a0, s0, t0)() =
(a, s, t)
(a0, s0, t0 ) ()

(a0, s0, t0 ) (SsT ATa )e2iht,i
= |a|n/2
0

= |a|n/2|a0|n/2 (SsT0 ATa0 SsT ATa )e2iht ,Ss Aa i e2iht,i


0

= |aa0|n/2 (SsT0 SsT ATaa0 )e2ihAa Ss t +t,i



=
(a, s, t) (a0 , s0, t0) ().

A nontrivial function L2 (Rn ) is called admissible, if


0<

|h, (a, s, t)i|2d(a, s, t) < .


S

If is irreducible and there exits at least one admissible function L2(R3 ), then
is called square integrable. The following result shows that the unitary representation
defined in (1) is square integrable.

The Continuous Shearlet Transform in Higher Dimensions

171

Theorem 3..2 A function L2 (Rn ) is admissible if and only if it fulfills the admissibility
condition
Z
2

|()|
d < .
(3)
0 < C :=
n
Rn |1 |
Then, for any f L2(Rn ), the following equality holds true:
Z
S

|hf, a,s,ti|2 d(a, s, t) = C kf k2L2 (Rn ) .

(4)

In particular, the unitary representation is irreducible and hence square integrable.


Observe that
1

SHf (a, u, t) := hf, a,s,ti = hf, |a|n/2(A1


a Ss ( t))i = f a,s,0 (t),

(5)

(x) :=
where a,s,t
a,s,t (x). Employing the Plancherel theorem, (2), and (5) we obtain

da
|hf, a,s,ti|
ds dt =
|a|n+1
S

da

|f a,s,0
(t)|2dt ds n+1
|a|
Z
ZS Z
da
2 c

=
|f()|
| a,s,0()|2d ds n+1

n1
n
|a|
ZR
ZR ZR
2

T AT )|2d ds da
=
|f()|
|a|1 |(S
s a

n1
n
ZR ZR Z R
2

T AT )|2 ds da d.
=
|f()|
|a|1 |(S
s a

Rn

Rn1

Observing that

SsT ATa

1
s1

s2

.
..
sn1

0
1

...
0

s1
..
.
sn2

1
..
.
...

0
..
.
s1

a1
0
a2

.
...
.. =

.
.

0
.

an

a1
s1 a1 + a2
..
.
..
.
sn1 a1 + asn2 2 + . . . + an

we may subsequently substitute sn1 := sn1 a1 + . . . + an , sn2 := sn2 a1 + . . . +


an2 , . . . , s1 := s1 a1 + a2 . This yields
Z
S

|hf, a,s,t i|2

da
ds dt
|a|n+1

Z
Rn

Rn

Rn

Z
R

|f()|2 |a|n |1 |(n1) |(a


1 , . . . , sn1 )|2 d
s da d
1, s
Rn1

a, s1 , . . . , sn1 )|2 d
|f()|2 |
a|n |(
s d
a d
Rn1

|f()|2 d

Z
Rn

|()|
d.
n
|1 |

172

Stephan Dahlke, Gabriele Steidl and Gerd Teschke

4.

Retrieval of Geometric Information

In this section, we deal with the decay of the shearlet transform at hyperplane singularities.
An (n m)-dimensional hyperplane in Rn , 1 m n, not containing the x1 -axis can be
written w.l.o.g. as

x1
xm+1
0
p1
..
..
..
..
m,nm
.
. + P . = . , P := . R
xm
| {z }
xA

xn
{z
xE

pTm

A characterization of this hyperplane is given via the Delta distribution by m := (xA +


P xE ) with Fourier transform m () = (E P T A ).
The following theorem describes the decay of the shearlet transform at hyperplane singularities. We use the notation SH f (a, s, t) |a|r as a 0, if there exist constants
0 < c C < such that
c|a|r SH f (a, s, t) C|a|r

as a 0.

Theorem 4..1 Let L2 (Rn ) be a shearlet satisfying C (Rn ). Assume that

for some k > 1 the shearlet is defined by ()


= 1 (1)2(
/1k ), where supp 1
[a1 , a0] [a0, a1] for some a1 > a0 > 0 and supp 2 ([b1, b0] [b0, b1])n1
for b1 > b0 > 0. Furthermore, let S denote the shear matrix generated by
(s1 , . . . , sn2 ) and let s = ST s. If
(
sm , . . . , sn1 ) = (1, s1, . . . , sm1 ) P
then

and
n

(t1, . . . , tm ) = (tm+1 , . . . , tn ) P T ,

SH m (a, s, t) |a| 2 m

as a 0.

(6)

Otherwise, the shearlet transform SH m decays rapidly as a 0.


The support condition on 1 and 2 can be relaxed toward a rapid decay of the functions.
An application of Plancherels theorem for tempered distribution yields
SH m (a, s, t) := hm , a,s,ti
= h
m , a,s,ti



Z
n
A
2ihtA +P tE ,A i
T T

2
= |a|
Ss Aa
dA
e
P T A
Rm
with A = (2 , . . . , m)T . Rewriting

a
1



s1


A

T T

Ss A a
=
,

.
A
P T A

a1 .. + aST
T
P A
sn1

The Continuous Shearlet Transform in Higher Dimensions

173

where S is the (n 1) (n 1) submatrix of Ss , which is also a shear matrix generated


by (s1 , . . ., sn2 ), it follows by the definition of that
SH m (a, s, t) =

|a| 2



A

e2ihtA+P tE ,Ai 1(a1 )2 a1k (11k s + 1k ST


T
P
A
m
R

) dA.Substituting A = (2, . . . , m)T := A /1k , i.e., d


A = |1|k(m1) dA , we get

k T T
e2ihtA +P tE ,(1,1 A ) i 1(a1 )|1|k(m1)
Rm


 
A

T 1k 1k T
1k

) dA d1
2 S (a 1 S s + a
T T
P T (11k , A
)

SH m (a, s, t) = |a|

n
2

and by setting s = ST s, sa = (
s1 , . . ., sm1 )T , and se = (
sm , . . . , sn1 )T we obtain by
1k
1k
substituting A := a (1 sa + A )
SH m (a, s, t)

|a|

n +(m1)(k1)
2

2 ST

1k

e2ihtA+P tE ,(1 ,(1 /a

T )T i

a )
A 1 s

Rm

a1k 11k (
se + P T

If the vector
se P T

A

1 (a1 )|1 |k(m1)

1
0 d
A d1
) + PT

sa


1
6= 0nm
sa

(7)

then at least one component of its product with a1k becomes arbitrary large as a 0. By
the support property of 2, we conclude that 2(ST(
A , )T) becomes zero if
A is not in
m1
m1
m1
R
. But for all
A ([b1, b0] [b0, b1])
at least
([b1, b0] [b0, b1])
one component of
 
 
1 
0
1k 1k
T
T
+P
a 1
se P
sa

A
is not within the support of 2 for a sufficiently small so that 2 becomes zero again.
Assume now that we have equality in (7). Then
SH m (a, s, t)

Z
T T
n
k
1k
|a| 2 +(m1)(k1)
e2ihtA+P tE ,(1 ,(1 /a A 1 sa ) ) i 1 (a1 )|1 |k(m1)
m
R

A
 

T
A d1
2 S T 0 d
P

A
Z
Z
1
k1 T
T T
n
|a| 2 m
e2i a htA+P tE ,(1,1 A sa) i1 (1 )|1 |k(m1) d1
Rm1 R

A 


A .
2 ST T 0 d
P

Consequently, for tA + P tE = 0, we have


SH m (a, s, t)

|a|

n m
2

Z
R

1 (1 )|1 |k(m1) d1

A 

n

T
A |a| 2 m .
2 S T 0 d
P
m1
R

174

Stephan Dahlke, Gabriele Steidl and Gerd Teschke

k T T

For tA +P tE 6= 0, consider a,A (1) := e2ihtA +P tE ,(1 ,1 A ) i/a 1(1)|1|k(m1) which


is for all
A and a again in C . Due to the support property of 2, the integration with re
sTa)T i/a)
spect to
A is over some finite domain. Therefore, lima0 a,A (htA + P tE , (1,

is uniformly in
A . Hence, limes and integration can be exchanged and since a,A is a
rapidly decaying function, the limes for a 0 is zero implying that SH m (a, s, t) decays rapidly as well. (Since the parameter a in the definition of a,A only appears in the
exponential term, general results on Fourier transform imply that the dependency on a does
not effect these arguments, see, e.g., [9], proof of Corollary 8.23 for details).

References
[1] E. J. Cand`es and D. L. Donoho, Ridgelets: a key to higher-dimensional intermittency?,
Phil. Trans. R. Soc. Lond. A. 357 (1999), 24952509.
[2] E. J. Cand`es and D. L. Donoho, Curvelets - A surprisingly effective nonadaptive representation for objects with edges, in Curves and Surfaces, L. L. Schumaker et al.,
eds., Vanderbilt University Press, Nashville, TN (1999).
[3] S. Dahlke, G. Kutyniok, P. Maass, C. Sagiv, H.-G. Stark, and G. Teschke, The uncertainty principle associated with the continuous shearlet transform , Int. J. Wavelets
Multiresolut. Inf. Process. 6 (2008), 157-181.
[4] S. Dahlke, G. Steidl, and G. Teschke, The continous shearlet transform in arbitrary
space dimensions, Preprint Nr. 2008-7, Philipps-University of Marburg, 2008, to appear in: Appl. Comput. Harmon. Anal.
[5] M. N. Do and M. Vetterli, The contourlet transform: an efficient directional multiresolution image representation, IEEE Trans. Image Process. 14(12) (2005), 20912106.
[6] H. G. Feichtinger and K. Grochenig, A unified approach to atomic decompositions via
integrable group representations , Proc. Conf. Function Spaces and Applications,
Lund 1986, Lecture Notes in Math. 1302 (1988), 5273.
[7] H. G. Feichtinger and K. Grochenig, Banach spaces related to integrable group representations and their atomic decomposition I, J. Funct. Anal. 86 (1989), 307340.
[8] H. G. Feichtinger and K. Grochenig, Banach spaces related to integrable group representations and their atomic decomposition II, Monatsh. Math. 108 (1989), 129148.
[9] G.B. Folland, Real Analysis, John Wiley & Sons, (1999).
[10] K. Guo, W. Lim, D. Labate, G. Weiss, and E. Wilson, Wavelets with composite dilations and their MRA properties, Appl. Comput. Harmon. Anal. 20 (2006), 220236.
[11] K. Guo, G. Kutyniok, and D. Labate, Sparse multidimensional representations using
anisotropic dilation und shear operators, in Wavelets und Splines (Athens, GA, 2005),
G. Chen und M. J. Lai, eds., Nashboro Press, Nashville, TN (2006), 189201.

The Continuous Shearlet Transform in Higher Dimensions

175

[10] K. Guo, W. Lim, D. Labate, G. Weiss, and E. Wilson, Wavelets with composite dilations and their MRA properties, Appl. Comput. Harmon. Anal. 20 (2006), 220236.
[11] K. Guo, G. Kutyniok, and D. Labate, Sparse multidimensional representations using
anisotropic dilation und shear operators, in Wavelets und Splines (Athens, GA, 2005),
G. Chen und M. J. Lai, eds., Nashboro Press, Nashville, TN (2006), 189201.

In: Group Theory


Editor: Charles W. Danellis, pp. 177-215

ISBN 978-1-60876-175-3
c 2010 Nova Science Publishers, Inc.

Chapter 7

E XCEPTIONAL G ROUPS , S YMMETRIC S PACES AND


A PPLICATIONS
Sergio L. Cacciatori1 and B. L. Cerchiai2
Dipartimento di Fisica e Matematica, Universit`a dellInsubria Milano,
22100 Como, Italy, and I.N.F.N., sezione di Milano, Italy.
2
Lawrence Berkeley National Laboratory, Theory Group, Bldg 50A5104,
1 Cyclotron Rd, Berkeley CA 94720-8162, USA and
University of California Berkeley, Center for Theoretical Physics,
366 LeConte Hall #7300, Berkeley, CA 94720-7300, USA.
1

Abstract
In this article we provide a detailed description of a technique to obtain a simple
parametrization for different exceptional Lie groups, such as G2 , F4 and E6 , based
on their fibration structure. For the compact case, we construct a realization which
is a generalization of the Euler angles for SU (2), while for the non compact version
of G2(2)/SO(4) we compute the Iwasawa decomposition. This allows us to obtain
not only an explicit expression for the Haar measure on the group manifold, but also
for the cosets G2/SO(4), G2/SU (3), F4/Spin(9), E6/F4 and G2(2) /SO(4) that we
used to find the concrete realization of the general element of the group. Moreover,
as a by-product, in the simplest case of G2 /SO(4), we have been able to compute an
Einstein metric and the vielbein.
The relevance of these results in physics is discussed.

1.

Introduction

In this article we describe our technique to analyze the structure of exceptional Lie groups,
which is based on constructing a generalized Euler parametrization by starting from a suitable fibration. We review our results on G2 [1, 2], F4 [3] and E6 [4]. We also provide some
new insights on the geometry of the non compact versions of these groups, by using the
Iwasawa decomposition, and in particular we apply it to G2(2). Our method allows us to

E-mail address: sergio.cacciatori@uninsubria.it


E-mail address: BLCerchiai@lbl.gov

178

Sergio L. Cacciatori and B. L. Cerchiai

explicitly calculate the Haar measure for the group manifold, and, as it is compatible with
the fibration used to compute it, it naturally provides a metric for the corresponding coset
as well.
The layout of this paper is as follows. In section 2 we recall some of the basic facts
about Lie groups and Lie algebras, that we need later. In section 3 we explain in detail how
the generalized Euler parametrization is defined and we study some toy model to exemplify
it. Then in the following sections we apply it to different exceptional Lie groups. In section
4 we construct G2 in two different ways as a fibration, first with SU (3) as a fiber and then
with SO(4) as a fiber. In section 5 we determine the Spin(9) Euler angles for F4 , which we
then use in section 6 to obtain the F4 Euler angles for E6. Finally, in section 7 we introduce
the Iwasawa decomposition for the non compact version of the Lie groups, which we then
apply to G2(2) in section 8.
Since we are able to get an explicit expression for the Haar measure on the group manifold, the most immediate application of our results is the possibility of evaluating integrals
[5]. Until now the only available method to compute some of them was to use the invariance properties of the Haar measure, but knowing its explicit form gives an analytic way to
calculate many of them directly.
In physics exceptional Lie groups appear naturally as the symmetry (gauge) groups of
field theories which are low energy limits of certain heterotic string models [6]. Besides
from being relevant for string phenomenology, these theories are interesting by themselves,
e.g. E6 as a candidate for the symmetry group in a grand unified theory of high energy
physics [7] and G2 as a possible example of a non confining gauge theory [8]. While the
local properties of a field theory are determined exclusively at the level of the corresponding
Lie algebra, in order to obtain non-perturbative results it is necessary to make use of the full
global structure of the Lie group, because of the need for evaluating integrals on the group
manifold. Being able to solve them analytically has drastically reduced the computer power
required to run a lattice simulation. For instance our expressions for G2 are the base for the
Montecarlo analysis presented in [9].
Moreover, our technique can also be applied to the noncompact versions of the Lie
groups, such as G2(2), F4(4), E6(6) or E7(7). In this case, another parametrization is the
Iwasawa decomposition. As its construction uses a nilpotent subalgebra, it is particularly
simple and is therefore very useful. In physics these groups represent the U-duality of
supergravity theories in different dimensions.
One of the most interesting features of our method is that it is based on identifying a
suitable subgroup and in studying the corresponding fibration. As a consequence it automatically yields an explicit expression for the coset space as well as for its metric, measure
and vielbein, since the geometry on the group induces a geometry on the base. In the case
of the maximal compact subgroups of noncompact exceptional Lie groups, e.g. SO(4) for
G2(2) or SU (8) for E7(7), these symmetric spaces turn out to be Einstein spaces. Being
solutions of Einstein equations, they are relevant by themselves for general relativity.
In supergravity some of these cosets are interpreted as the scalar fields of the associated
sigma model [10]. Moreover, they can represent the charge orbits of black holes when the
attractor mechanism is studied [11] and they also appear as the moduli spaces for black
holes. In [12] they are used to investigate the deep connection between black holes properties, duality and supergravity.

Exceptional Groups, Symmetric Spaces and Applications

179

As an example, the coset space G2(2)/SO(4) studied in section 8 is relevant for black
ring solutions in 5-dimensional supergravity [13].
Finally, these symmetric spaces can be used to describe the entanglement of qubits and
qutrits in information theory [14].

2.

General Settings

Because of their importance for the rest of the chapter and in order to set our conventions,
we recall here some basic facts about semisimple Lie groups (see [15]).

2.1.

Lie algebras from Lie groups

A Lie group G is a group which is also a differential manifold and for which the group
structure and the differential structure are compatible. This means that the two basic group
operations, the product and the inversion, are required to be differentiable maps with respect
to the differential structure. The dimension of the group is the dimension of G as a manifold.
Here we consider only finite dimensional groups. In this case the differentiability of the
inverse map is a consequence of the differentiability of the product map and of the implicit
function theorem. We use the symbol e for the unit element, which therefore identifies a
particular point on G.
For any g G we can define two maps
Lg : G G, h 7 gh,
Rg : G G, h 7 hg,
called the left and the right translation respectively. Note that with respect to the composition product, Lg and Rg0 commute. They define a left and a right action of the group on
itself:
L : G G G; (g, h) 7 Lg (h),
R : G G G; (g, h) 7 Rg (h).
Note that Lg and Rg are not homomorphisms. A homomorphism associated to a left action
is
(1)
g : G G; h 7 Rg1 Lg h = ghg 1.
Differentiating the Lg map at the identity, we have
(dLg )e : Te G Tg G.
This operation associates to each vector Te G a non vanishing vector field X
X : G T G; g 7 (dLg )e () Tg G.
which is well defined globally. Note that X (e) = . In this way, given a basis {1, . . . , n}
of Te G, at each point g we can obtain a set of vector fields which determine a basis for Tg G.
This shows that the tangent bundle of G is trivial.

180

Sergio L. Cacciatori and B. L. Cerchiai

An important property of the field X is that it is Lg -invariant (left invariant). This means
(Lg )X = X . Viceversa, given a left invariant vector field V , it can be verified that
V (e) Te G and V = XV (e) . Thus, the left invariant vector fields form a finite dimensional
vector space XL (G) ' Te G. Moreover, XL (G) is closed under the Lie bracket of vector
fields:
for all
X, Y XL(G) ([X, Y ] = LX Y )
[X, Y ] XL(G),
where LX is the Lie derivative along X. Thus,
g Lie(G) := {XL (G), [, ]}
defines an algebra: the Lie algebra associated to G. The Lie product has the properties of
being antisymmetric and of satisfying the Jacobi identity.

2.2.

Adjoint representations and the Killing form

A powerful way to describe the structure of a group is by means of its representations. A


representation of a group G on a vector space V (real or complex) is a homomorphism r :
G Aut(V ), where Aut(V ) is the group of automorphisms of V with the composition
as product. A representation is irreducible if V does not admit proper invariant subspaces,
and it is faithful if Ker(r) = e. In a similar way, a representation of a Lie algebra on V is
a homomorphism : g End(V ), where End(V ) is the Lie algebra of endomorphisms
of V with the bracket of operators as Lie product. Noting that End(V ) = Lie(Aut(V ))
and identifying Lie(G) with Te G, it can be seen that a representation of the algebra can be
obtained from a representation of the group as = dre .
Among the representations of a group, an example which can be constructed in a natural
way is the Adjoint. It is the representation over the Lie algebra V = g obtained in the
following way through the homomorphism g introduced above. For any fixed g, we define
the map:
Adg : Te G Te G
Adg := (dg )

(2)

where d is the differential of g at the identity. Then the Adjoint representation of the group
is defined by
(3)
Ad : G Aut(Te G); g 7 Adg .
Differentiating at the identity yields the adjoint representation of the Lie algebra
ad : g End(TeG); a 7 ada

(4)

where ada (b) = [a, b] for all b g.


Next, from the adjoint representation of the algebra, the Killing form on g can be constructed as follows:
K : g g K; (a, b) 7 K(a, b) := Tr(adaadb ),

(5)

where K = R, C is the field of g. The Killing product is symmetric and ad-invariant, which
means
K(ada(b), c) + K(b, ada(c)) = 0.

Exceptional Groups, Symmetric Spaces and Applications

181

This defines a symmetric two form over Te G which in turn, using the left translation, induces a symmetric two form over the whole group:
KG : G T G T G; g 7 Lg1 K,

(6)

the pullback of K under Lg1 . In general the Killing form is degenerate. It is obviously left
invariant. If we choose
{i } for g and define the corresponding structure constants
Pn a basis
k
k
fij as [i , j ] = k=1 fij k , then the Killing form is computed to be Kij = K(i, j ) =
P
m
l
l
l,m fil fjm . The ad-invariance implies that the covariant tensor fijk := fij Klk is totally
i
i
antisymmetric. In the basis { } which is canonically dual to j , (i.e. (j ) = ji ), the
P
Killing form has the particularly simple expression K = ij Kij i j .
Finally, an important
by the Cartan 1-form. It is a Lie algebra valued form
P role is playedP
defined as J := i (Lg ) (i i ) = i J i Xi and it can be used to rewrite the Killing form
P
as KG = K(J, J) = ij J i J j Kij .

2.3.

Simple Lie algebras classification

Starting from a finite dimensional Lie group the associated Lie algebra can be easily determined. Being a linear space, it is much easier to analyze than the group itself. There is a
very interesting class of Lie algebras, which are completely classified: the semisimple Lie
algebras. A semisimple Lie algebra is a Lie algebra of dimension higher than 1, which does
not admit any Abelian proper ideals. If it does not contain any proper ideal at all, it is called
a simple Lie algebra. It can be shown that any semisimple Lie algebra can be written as a
direct sum of simple algebras in a unique manner (apart from isomorphisms). An important
result is that a Lie algebra is semisimple if and only if the corresponding Killing form is
non degenerate.
From the definition, it follows that for a semisimple algebra Ker(ad) = 0, so that the adjoint
representation is faithful. The Lie algebra can then be identified with its adjoint representation. This allows a classification of all complex (finite dimensional) simple Lie algebras by
performing a classification of their adjoint representation. As the main ingredients will be
used later, let us recall the main steps.
Any simple Lie algebra contains a unique (apart from isomorphisms) Cartan subalgebra,
a maximal Abelian h g subalgebra such that for each h h, adh is diagonalizable.
r = dim(h) is called the rank of g. All such operators adh are simultaneously diagonalizable and define the roots h of the algebra, defined by the eigenvalue equations
adh () = (h),

0 6= g.

Since g is finite dimensional, the set N


of all roots Root(g) is finite. If is the eigenspace of
then 0 is a root, 0 = h, and g = Root(g) . One easily sees that [, ] + ,
and vanish if + is not a root.
From ad-invariance it follows that K(, ) = 0 if + 6= 0. It also can be shown that
if is a non vanishing root, then k is a root if and only if k = 0, 1 and dim() = 1. If
KC is the restriction of the Killing form to the Cartan subalgebra it follows that KC is non
degenerate and then defines a natural isomorphism between h and h, and a bilinear form (|)
on h in an obvious way. It also follows that Root(g) is real in the sense that contain a basis

182

Sergio L. Cacciatori and B. L. Cerchiai

for h , such that the remaining roots are real combinations and than one can consistently
define the r-dimensional real space hR = hRoot(g)iR. Apart from a multiplicative constant,
(|) defines an Euclidean scalar product on hR . The main step is:
(|)
The Cartan Theorem: If and are two non vanishing roots, then n := 2 (|) Z
and n is also a root (Weyl reflection).
This strongly constraints the relations between roots, because if || and are the norm
and the angle between roots defined by the Euclidean scalar product, then
n
||2
=
,
2
||
n

cos2 =

1
n n.
4

At this point it is clear that all information on the algebra is contained in the root system.
A simple root system SR is defined to be a basis of roots such that all remaining roots are
combinations of this with only positive or negative integer coefficients. It always exists
(not unique) and defines separates the roots in positive and negative Root(g) = R+
R . Given a simple root system SR = {1, . . . , r }, then the associated numbers nij
associated by the Cartan Theorem must be all non positive if i 6= j, whereas ni i = 2
(moreover, one of |nij | or |nji | is always 1 if i 6= j) They characterize completely SR
(apart from obvious equivalences) and define the the Cartan matrix Cij = nij . It has the
properties Cii = 2, Cij 0 and Cij 6= 0 iff Cij 6= 0, i 6= j. To classify all simple Lie
algebras, one classify all SR systems and equivalently all Cartan matrices compatible with
them. This is done graphically by means of the Dynkin diagrams: A dot is signed for
each simple root (there are r). Two root are connected by Nij = nij nji lines with a >
indicating the direction from the longer root to the shorter one. Simple algebras correspond
to connected Diagram. It results that all admissible Dynkin diagrams are divided in four
classical series: Ar , Br , Cr , Dr , r being the rank of the corresponding algebras, and five
exceptional algebras: G2 , F4 , E6, E7, E8 . The Dynkin corresponding diagrams can be
found for example in [15].
Real Lie algebras can be next classified searching for generators of the complex algebra
which also generate a real algebra (thus having real structure constants). This are called the
real forms of the algebra. In particular, each simple algebra admits the compact form, the
real algebra over which the Killing form is negative definite. The corresponding Lie Group
is compact. All real forms are classified and are described for example in [16].

2.4.

Lie groups from Lie algebras

As we have seen in the previous sections, from a Lie group it is easy to obtain the associated
Lie algebra by simple differentiation. Less trivial is the issue of recovering the group from
the algebra. This is indeed the main argument of the remaining sections. Here we are
simply going to recall some properties of a key instrument, the exponential map:
exp : Lie(G) G; X 7 gX (1)
where gX (t) is the integral curve on G associated to the left invariant vector field X, with
gX (0) = e. The main properties are
exp(0) = e;

Exceptional Groups, Symmetric Spaces and Applications

183

exp(X + Y ) = exp(X) exp(Y ) if [X, Y ] = 0;


exp is differentiable and
d exp0 : T0Lie(G) Te G
realizes the natural isomorphism between Lie(G) and Te G;
exp is a local diffeomorphism between an open neighborhood of 0 Lie(G) and an
open neighborhood of e G.
In general the exponential map is not surjective, however it permits to generate the whole
group starting from the algebra. For matrix groups it is easy to show that
exp(X) = eX :=

X
1 n
X
n!
n=0

. As we will work with definite representations, this will be our case. In this case, given a
matrix realization of the group an opportune parametrization g(x1, . . ., xn ), it follows that
the Cartan 1-form is
X
J i i
(7)
J = g 1dg =
i

where i is a base for the Lie algebra. The 1-forms J i in Physics are also called the leftinvariant currents. They will play a central role in our construction.
The main problem is now to search for opportune parameterizations of the group which
permit to describe the whole group in a practical way, suitable for concrete physical applications. This means that we must be able not only to explicitly individuate the elements
of the group, but also to specify the complete range for the parameters, and to be able to
compute explicitly the significant quantities as for example the left invariant currents, the
invariant measure and the Killing form.

3.
3.1.

Construction of Compact Lie Groups


A toy model

We start by illustrating the main ideas of our strategy with the simplest possible example,
the construction of the SU (2) group, the set of all unitary matrices with unitary determinant.
The associated Lie algebra su(2) is generated by the Pauli matrices
1 =

0 1
1 0

2 =

0 i
i 0

3 =

1 0
0 1

(8)

which, after multiplication by i, indeed gives a basis for the 2 2 anti Hermitian matrices.
It is a well known fact that the generic element of SU (2) can be expressed in the form
g = ei

3
2

ei

1
2

ei

3
2

(9)

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Sergio L. Cacciatori and B. L. Cerchiai

where [0, 2], [0, ], [0, 4] are called the Euler angles for SU (2). Let
us first recall the definition of the Euler angles traditionally used in classical mechanics to
describe the motion of a spin. Fix a Cartesian frame (x, y, z) an suppose for the spin to be
a rod of length L, with an end fixed in the origin and the other one in the starting position
~ (0, 0, L). The top of the spin can be moved in a generic position in the following way:
L
first, rotate the system by an angle around the x axis. The x axis will rotate by to
a new axis x0 on the x y plane and similarly for the y axis.
Then we can take a rotation of the system around the axis x0 by an angle . The z
axis will be rotated to a new axis z 00 by in the y 0 z plane.
Finally we can take a rotation by around the z 00 axis.
Essentially these movements represent the inclination of the spin with respect to the vertical
axis, the rotation around the vertical axis and the rotation around its proper axis. To describe
these operations mathematically note that a rotation Rn () by around an (oriented) axis
specified by a unit vector n
(nx, ny , nz ) can be written as
Rn () = e(nx 1 +ny 2 +nz 3 )

(10)

where

0 0 0
1 = 0 0 1 ,
0 1 0

0 0 1
2 = 0 0 0 ,
1 0 0

0 1 0
3 = 1 0 0 , (11)
0 0 0

are the generators of the infinitesimal rotations. Thus, the generic final position of the top
of the spin will be
~ 0 = e300 e10 e3
L

(12)

where 10 and 300 are the generators of rotations around the x0 and z 00 axis respectively
10 = cos 1 + sin 2 = e3 1e3 ,
300

= cos 3

sin 20

=e

10

10

3 e

(13)
(14)

Using
A BeA

ee

= eA eB eA

and substituting in (12) we find


~ 0 = e3 e1 e3 L.
~
L

(15)

From the construction it is evident that for the range of the Euler angles we can take for
example , [0, 2], [0, ]. This is very similar to (9)and one is tempted to identify
, and with , and . Note however that for SU (2) we have [0, 4] which is a
consequence of the fact that SU (2) is a spin 12 representation of SO(3) (and is its double
cover).

Exceptional Groups, Symmetric Spaces and Applications

185

Let us now look at the structure of the construction (9). We identified a maximal subgroup
3
U (1)[] = ei 2 . Its Lie algebra is obviously a subalgebra of su(2). We then add a second
generator 1 not in the subalgebra, and after noting that all the remaining generators can
1
be obtained by commuting 1 with the subalgebra, we act on ei 2 with the subgroup both
from the left and from the right:
g = U (1)[]ei

1
2

U (1)[].

(16)

This provides the structure of the generic element of the group, but one needs more information to determine the correct range for the parameters.
For completeness, let us look how one can look at the geometric properties of the group
and use them to identify the parameters. It is known that the group SU (2) is geometrically
equivalent to a three-sphere S 3 , and admits a Hopf fibration structure with fiber S 1 over the
base S 2 ' CP1 . To see this, note that the generic U (2) element by definition can be written
in the form


u1 w1
g=
u2 w2
where
~u =

u1
u2

w
~=

w1
w2

determine an orthonormal basis for C2 . After imposing the condition det g = 1 we find
that it becomes


u1 u1
g=
u2 u2
where |u1|2 + |u2|2 = 1. Setting u1 = x + iy and u2 = t + iz we see the correspondence
with S 3 . As we seen in the previous section, SU (2) being a real compact form is naturally
endowed with an invariant metric given by the Killing product. Suitably normalized this is
ds2 = 12 Tr(g 1dg g 1dg), so that we find
ds2 =


1
Tr(dg dg) = (dx2 + dy 2 + dt2 + dz 2 ) x2 +y2 +t2 +z2 =1
2

(17)

which is the usual round metric on the sphere S 3. To determine the ranges for the parameters
in (9) we can compute the associated metric, identify it with the round metric and choose
the range to cover the whole S 3. From (9) we get
ds2 =

1
(d2 + d2 + d 2 + 2 cos dd)
4

(18)

which can be obtained from (17) setting


i
u1 = cos e 2 1 (+)+i1 ,
2

i
u2 = sin e 2 2 ()+i2
2

(19)

where i are signs and i constant phases. We do not need to determine these quantities to
find the ranges. Indeed for any fixed value of these parameters, to cover S 3 we need to take
1
( + ) [0, 2],
2

1
( ) [0, 2],
2

[0, ]

(20)

186

Sergio L. Cacciatori and B. L. Cerchiai

which are equivalent to the announced ones after (9).


Note that in this very simple case all the phases and signs can be determined noting that
!
i
i

e 2 (+) cos 2
ie 2 () sin 2
i 23 i 21 i 23
(21)
e
e
=
e
i
i
ie 2 () sin 2 e 2 (+) cos 2
which gives 1 = 1, 2 = 1, 1 = 0 and 2 = 2 .
This is a way to determine the ranges, but there is another way which is much simpler for
higher dimensional groups G. It consists in studying the maximal subgroup U of G and the
quotient G/U separately. In our case we can take U = U (1)[]. This is a circle with metric
1
2
4 d . The range of must be a period to cover the circle, and being
i

U (1)[] = e

3
2

e2
0
i
0 e 2

we can take [0, 4]. The points of the quotient are parameterized by
!
i
i

ie 2 sin 2
e 2 cos 2
i 23 i 21
H(, ) = e
e
=
i
i
ie 2 sin 2 e 2 cos 2

(22)

with a residual action of U (1)[] on the right. For example we see that, in the quotient,
H(, 0) degenerate in a single point and similarly for H(, ), because
! 
! 


i
i
e2
1 0
e2
1 0
0
0
H(, 0) =
=

i
i
0 1
0 1
0 e 2
0 e 2
!
!




i
i
0
ie 2
0 i
0 e 2
0 i
H(, ) =
=

.
i
i
i 0
i 0
ie 2
0
e2
0
Indeed, we can first take for the quotient the representative


iei sin 2
cos 2
H(, )U (1)[] =
iei sin 2
cos 2

(23)

so that when and vary in their ranges, this traces a two dimensional semi sphere x 0
in the (x, 0, t, z) space. However the equator x = 0 is contracted to a point and the semi
sphere reduces to a sphere S 2 of radius 1/2. This is the celebrated Hopf fibration. To see
this we can compute the metric on the quotient set. This is not simply
1
ds2H = Tr(H 1dH H 1dH)
2
because JH = H 1 dH is not cotangent to the quotient, having a component cotangent to
the fiber. Using (22) we have indeed
JH =

i
(d1 + sin d2 + cos d3 ).
2

(24)

Exceptional Groups, Symmetric Spaces and Applications

187

However, we can simply project out the component along the fiber (t. i. the 3 part) so that

and

i
JH := (d1 + sin d2 )
2

(25)


1
1 2
ds2H = TrJH JH =
d + sin2 d2 .
2
4

(26)

This is just the metric of a two sphere of radius 12 . Passing the complex coordinate z =
tan ei and its complex conjugate, this metric reduces to the standard Fubini-Study metric
for CP1. However, we can assume the ranges of the parameters for the quotient space to be
unknown. They can thus be deduced from (26) as follows: the metric becomes degenerate
at = 0, . This is because fixing theta and varying along a period we obtain a circle
with radius 12 sin . Thus we must restrict to [0, ]. has not such a constraint and could
in principle vary in a period which we know to be 4 as for . However, this is not the right
0
period in the quotient. Indeed, note that I = (1
0 1 ) U (1)[] and is in the center of the
group, so that
H(, ) H(, )(I) = H(, ) = H(4 , )
so that 4 and then 0 2 which reduces the period to [0, 2].

3.2.

The generalized Euler construction.

Let us now generalize the previously described construction to the compact form of a
generic finite dimensional simple Lie group G, n = dimG. In this case, our construction is
not unique but is related to the choice of a maximal subgroup H. Because G is compact, the
Killing product defines a scalar product (|) on g = Lie(G) and it is convenient to choose
an orthonormal basis {i}ni=1 of g. In particular, let us assume that the first k := dimH
generators are a base for h = Lie(H). Finally, let us call p the subspace generated by the
remaining generators. Note that [h, p] p. Indeed, orthogonality and ad-invariance imply
([p, h]|h0) = (p|[h, h0]) = 0
for any p p and h, h0 h. This means that G/H is reductive. From this, it follows that
any g G can be written in the form
g = exp a exp b ,

ap, bh.

(27)

For compact simple Lie groups such a parametrization is surjective, a proof can be found in
[3].
We can now suppose to have an explicit parametrization for H. This will be obviously a
generalized Euler parametrization obtained inductively choosing a maximal subgroup H 0
of H and proceeding in the same way. This means that exp b can be substituted by such
parametrization at the end. Actually we would like to improve the expression for exp a. To
this purpose we can search for a subset of linearly free elements 1 , . . . , l p with the
following properties

188

Sergio L. Cacciatori and B. L. Cerchiai

if V is the linear subspace generated by i , i = 1, . . ., l, then p = AdH (V ), that is,


the whole p is generated from V through the adjoint action of H;
V is minimal, in the sense that it does not contain any proper subspaces with the
previous property.
Using simplicity it is not hard to show that such subspace V of p always exists. This means
that the general element g of G can be written in the form
g = exp(b) exp(v) exp(b) ,

b, b h , v V .

(28)

This parametrization is obviously redundant, being in general 2k + l n. The point is that


one does not need the whole H to generate V by adjunction, because of H will contain
some subgroup Ho generating automorphisms of V
AdHo : V V .

(29)

Then Ho must be r-dimensional, where r = 2k+ln is the redundancy, and the generalized
Euler decomposition with respect to H will finally take the form
G = B exp(V )H ,

(30)

where B := H/Ho. We seen that even for the simplest case of SU (2) the automorphism
group Ho is non trivial (even though it acts trivially on V ) and coincide with Z2 .

3.3.

Determination of the range of parameters

The symbolic expression (30) means that the generic element of G can be written in the
form
g = bev h,

b B, v V, h H,

(31)

where h, v and b are function of k, l and n l k parameters respectively. Locally they


define a coordinatization for the group. However, being the parametrization surjective, the
parameters can be chosen to cover the whole group. As the group is in general a non trivial
manifold, a surjective parametrization will not in general injective. A good choice for the
range of the parameters is to chose a maximal open subset on which the parametrization
is injective, so that its closure covers all the group. We will call this closure the range of
parameters. In general the determination of the range is an highly non trivial task. We
discuss here two practical methods.
3.3.1. Geometric identification
After the parametrization g[~x] is given, one can use it to describe the geometry of the group
or of its quotient with the maximal subgroup. If such geometry is known from theoretical
arguments, the related information can be used to determine the range of the parameter.

Exceptional Groups, Symmetric Spaces and Applications

189

The metric on the group can be computed starting from the Killing metric and the Cartan 1form. The parametrization provides a local coordinatization which can be used to determine
a local expression for the Cartan 1-form
g
dxJ = J i i ,
(32)
xJ
where i , i = 1, 2, . . . , n is a basis for the Lie algebra. This defines the structure constants
fij k so that the Killing metric has components
J = g 1

Kij = kfil m fjm l ,

(33)

where k is some normalization constant. As we are working with a compact form, the
metric is positive definite when k is positive. We may assume to chose the basis and k such
that Kij = ij . The metric induced on the manifold is then
ds2 = gij dxi dxj = J l J m lm .

(34)

In other words, the 1-forms J l represent the vielbein one forms on the group. In particular
they can be used to compute the invariant volume n-form
= J 1 . . . J n = det(J)dx1 . . . dxn

(35)

and the corresponding Haar measure


d = | det(J)|

n
Y

dxI .

(36)

I=1

From our parametrization (30), we can write the general element g G in the form
g(x1, . . . , xs, y1 , . . ., xm ) = p(x1, . . . , xs )h(y1, . . . , ym )

(37)

where h H, p B exp(V ), m = dimH and m + s = n. We can assume for simplicity


that a , a = s+1, . . . , n generate H. Note that only H is a subgroup so that Jh h1 dh
Lie(H) whereas in general Jp p1 dp Lie(G). However, for the subgroup, in place of
the left-invariant form we prefer to use the right-invariant form Jh dh h1 . In this way,
setting
Jp =

n
X

Jpi i

n
X

Jh =

i=1

Jhi i ,

(38)

i=s+1

and using orthonormality, after a simple calculation we get


2

ds =

n 
X

Jpi

+ Jhi

2

i=s+1

s
X

Jpi

2

(39)

i=1

From this expression for the metric we can read the structure of the fibration with fiber
H over G/H. Indeed, the forms Jpi + Jhi , i = s + 1, . . ., n lie on the fiber, whereas Jpa ,
a = 1, . . ., s are orthogonal to the fiber. This means that
2

d =

s
X
i=1

Jpi

2

(40)

190

Sergio L. Cacciatori and B. L. Cerchiai

defines the metric on the quotient space G/H, as defined by the s-dimensional vielbein Jp
obtained from Jp by projecting out the components along the fiber. At practical level, this
decomposition not only permit the computation of the metric on the quotient space, but it
also greatly simplifies the explicit computation of the metric on the whole group.
To conclude, this method can be used to provide an explicit characterization of the geometry
of the group and its quotients. If some of the geometrical notions on the group or its fibration
are known by theoretical framework, by comparison we can determine the range of the
parameters. We will see an explicit example later.
3.3.2. A topological method
In general, however, the theoretical information about the group does not suffice to determine the explicit range for the parameters. In this case, we need to introduce an alternative
method which requires a minimal information to work. Fortunately, such a method, which
we called the topological method, is provided by a powerful theorem due to I.G. Macdonald
which provides a simple way to compute the total volume of a compact connected simple
Lie group. Let c Lie(G) a Cartan subalgebra, and cZ the integer lattice generated in c by
a choice of simple roots (the root lattice). Then, the first geometrical ingredient is the torus
T := c/cZ, whose dimension is r = rankLie(G). The second ingredient is a well known
result due to Hopf [17]: the rational homology of G is equal to the rational homology of a
product of odd-dimensional spheres
!
k
Y
H (G, Q) ' H
(S 2i+1)ri , Q ,
i=1

where ri is the number of times the given sphere appears, and r1 + . . . + rk = r. The result
of Macdonald [18] can thus be stated as follows:
if we assign a Lebesgue measure on a compact simple Lie group G by means of an
Euclidean scalar product h , i on g = Lie(G), then the measure of the whole group is
(G) = o (T )

k
Y

V ol(S 2i+1)ri

i=1

Y
R(g)

2
||

(41)

where R(g) is the set of non vanishing roots, o is the Lebesgue measure on g induced by
the scalar product and V ol(S 2i+1) = 2 i+1/i! is the volume of the unit sphere S 2i+1 .
On the other side, we can in principle compute the measure of the whole group, induced by
the Killing scalar product, by using (36) integrated over the range of the parameters. Using
(39) we get
n
Y
dxI .
(42)
d = | det(J p)|| det(Jh )|
I=1

Now, we assume to dispose of a good parametrization, which means that the one parameter
subgroups selected by the orbits exp(ti ), where {i} is the selected basis of the Lie algebra,
are embedded subgroups of G1. Then, such orbits are compact (for a compact group) and
1

This can be even accomplished for simple groups

Exceptional Groups, Symmetric Spaces and Applications

191

exp(ti ) is periodic in T . The point is that if we choose correctly the range R for the
parameters, then
Z
d.
(43)
(G) =
R

A suitable range correspond to cover each point of G exactly one times, a part from a
subset of vanishing measure. Let us look at the measure weight f := | det(J)|. In general
it will depend explicitly on the parameter but not on all the parameters. For each parameter
the range for
which does not appears in f we choose its period as a range. Let us call R
has a boundary defined by f = 0. This equation in
the remaining parameters. Then, R
general will define infinitely many fundamental regions all equivalent for our purposes.
With such a choice Ro for the range, we are sure that its image under our parametrization
map g : Ro G will define a closed n-dimensional variety on G. As G is connected,
g(Ro) will cover G an integer number m of times
Z
1
d.
(44)
m=
(G) Ro
If m > 1 it means that it exist an automorphism group : Ro Ro of order m, such that
g(x) = g(x). In this case we determine the suitable range as
R = Ro /.

(45)

This is indeed what we done at the end of section 3.1.. Let us now illustrate our procedure
for some exceptional examples.

4.
4.1.

Generalized Euler Angles for G2


The Lie algebra

The exceptional group G2 can be realized as the automorphism group of the octonionic
algebra [19, 23]. In place of providing a theoretical proof of this fact, we will explicitly
construct such a group starting for its Lie algebra which will result to be of G2 type.
The octonionic algebra O is the eight dimensional real vector field generated by a real unit
e0 1 and seven imaginary units ei , i = 1, . . ., 7. It is endowed wit a distributive but non
associative product defined by the relations
e0 a = a e0 = a
e2i

= e0 ,

a O,

ei ej = ej ei ,

1i<j7

and the Fano diagram, see fig. 4.1.. Each oriented line can be thought as an oriented circle,
on which the lie three distinct imaginary roots ei , ej , ek whose products are ei ej = ek ,
the sign being positive iff the triple {ei , ej , ek } follows the orientation of the arrow. For
example e1 e3 = e2 and e1 e2 = e3 . Note that each circle generates a quaternionic
subalgebra. An automorphism of the algebra is an invertible linear map
A : O O

192

Sergio L. Cacciatori and B. L. Cerchiai

Figure 1. The Fano diagram.

which must satisfy


a, b O.

A(a b) = A(a) A(b),

The set of all automorphisms is a group with respect to the composition product, and is
indeed a Lie group. From this it follows immediately that its Lie algebra is the set of
derivations D(O), the linear operators
B : O O

(46)

satisfying
a, b O,

B(a b) = B(a) b + a B(b),

(47)

and with the commutator as Lie product. Note that B(1) = 0 for all B D(O), so that we
can search for a matrix representation of D(O) on the real space spanned by the imaginary
units. This will give the smallest fundamental representation of G2, the 7 representation.
Imposing the condition (47), with the help of a computer, we find a set of 14 linearly
independent matrices

C1 =

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
1

0
0
0
0
0
1
0

0
0
0
0
1
0
0

0
0
0
1
0
0
0

C2 =

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
1
0

0
0
0
0
0
0
1

0
0
0
1
0
0
0

0
0
0
0
1
0
0

Exceptional Groups, Symmetric Spaces and Applications

C3 =

C5 =

C7 =

1
C9 =
3

C11

1
=
3

C13

1
=
3

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
1
0

0
0
0
0
0
0
1

0
0
0
1
0
0
0

0
0
0
0
1
0
0

0
0
0
0
1
0
0

0
0
0
1
0
0
0
0
0
0
0
0
0
0

0
1
0
0
0
0
0

0
0
0
0
0
0
1

0
0
0
0
0
0
0

0
0
1
0
0
0
0

0
0
0
0
0
1
0

0
1
0
0
0
0
0
0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
1
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
1

0
0
0
0
0
1
0

0
0
0
0
1
0
0

0
0
0
1
0
0
0

0
0
0
2
0
0
0

0
0
0
0
0
0
1

0
0
0
0
0
1
0

2
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
1
0
0
0
0

0
1
0
0
0
0
0

0
0
0
0
0
2
0

0
0
0
0
1
0
0

0
0
0
1
0
0
0

2
0
0
0
0
0
0

2
0
0
0
0
0
0

0
1
0
0
0
0
0

0
2
0
0
0
0
0

0
0
1
0
0
0
0

0
0
0
0
0
0
0

C4 =

C6 =

1
C8 =
3

C10

0
0
0
0
0
1
0

0
0
0
0
0
0
0

0
0
0
0
1
0
0

0
0
0
1
0
0
0

0
0
2
0
0
0
0

0
2
0
0
0
0
0

0
0
2
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
2
0
0

0
0
0
0
0
1
0

0
0
0
0
0
0
1

0
0
0
0
0
0
2

0
0
0
1
0
0
0

0
0
0
0
1
0
0

0
0
0
0
0
0
0

1
=
3

C12

0
0
0
0
0
0
1

0
0
0
0
0
0
0

1
=
3

C14

1
=
3

193

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
1
0
0
0
0

0
1
0
0
0
0
0

0
0
1
0
0
0
0

0
1
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
1
0
0
2
0
0
0
0
0
0

0
0
0
1
0
0
0
0
0
0
0
0
1
0

0
0
0
0
0
0
1
0
0
0
0
0
0
0

0
1
0
0
0
0
0

0
0
0
0
0
0
1

0
0
0
0
0
1
0

0
0
0
1
0
0
0
2
0
0
0
0
0
0

0
0
1
0
0
0
0

0
0
0
0
1
0
0

0
1
0
0
0
0
0
0
0
0
0
0
0
0

0
0
1
0
0
0
0
2
0
0
0
0
0
0

It is easy to check that these matrices define a Lie algebra with the commutator
product, and R7 is irreducible under their action, so that they realize an irreducible
representation. A rank two Cartan sub algebra is generated by C5 , C11 and passing to the
adjoint representation it is easy to compute all roots which result to be the roots of G2, as
expected (see for example [1]).

194

4.2.

Sergio L. Cacciatori and B. L. Cerchiai

Two Euler parameterizations

We can now realize two distinct Euler parameterizations for G2, based on different choices
of the maximal subgroup H. The first one is based on H = SU (3), [2], and the second one
on H = SO(4), [1]. The first one will permit us to adopt the geometrical method, whereas
for the second one we will need the topological method. We will call them the SU (3)-Euler
parametrization and the SO(4)-Euler parametrization.
4.2.1. The SU (3)-Euler parametrization
Among the automorphisms of the octonions, we can look at the subgroup which fixes an
imaginary unit. This is a subgroup of G2 and will be contained in the SO(6) group which
rotates the remaining six imaginary units. Indeed, it results to be an SU (3) group. We can
see it immediately from our matrices: the first 8 matrices have the first row and column null,
so that leave e1 fixed. They generate a subalgebra, and the associated adjoint representation
provides the roots of SU (3). It acts transitively on the subset of imaginary units orthogonal
to e1 , which defines a six dimensional sphere S 6 , so that G2/SU (3) ' S 3.
We then choose Ci , i = 1, 2, . . ., 8 as generators for H, so that Ca , a = 9, . . . , 14 generate
p. To identify V (see (30)) we note that C9 generates all p under the action of H = SU (3),
so that V = RC9 . Finally, note that the subalgebra of H commuting with C9 is the su(2)
algebra generated by Ci , i = 1, 2, 3. Thus B = SU (3)/SU (2).
As a first step we need to construct the SU (3) subgroup H. We could proceed in the same
way, but as the construction of SU (3) is well known, we report here the final result, see
[20, 21, 2]:
H[x1, . . ., x8] = ex1 C3 ex2 C2 ex3 C3 ex4 C5 e

3x5 C8 xC3 xC2 x8 C3

(48)

h i
,
x4 0 ,
2
x8 [0 , ] .

(49)

with range
h i
,
x2 0 ,
2
x6 [0 , 2] ,

x1 [0 , ] ,
x5 [0 , 2] ,

x3 [0 , ] ,
h i
,
x7 0 ,
2

We only note that (48) has the structure of (30) with


V = RC5 ,

B = SO(3) = SU (2)/Z2,

H = U (2).

(50)

Then, our SU (3)-Euler parametrization is


g[x1, . . . , x14] = e

x1 C3 x2 C2 x3 C3

3
x C
2 4 8

x5 C5

3
x6 C9
2

H[x7 , . . . , x14],

(51)

where we need to determine the range for x1 , . . ., x6, whereas the remaining parameters
have the range of SU (3). To this aim, we will use the information
G2/SU (3) ' S 3.
From

x1 C3 x2 C2 x3 C3

p[x1, . . . , x6] = e

3
x4 C8
2

x5 C5

3
x6 C9
2

(52)

Exceptional Groups, Symmetric Spaces and Applications

195

we can compute Jp = p1 dp and then the metric (40) induced on the quotient. By a direct
computation, we get
(
"

2 #)
1
4 2
(53)
d = dx26 + sin2 x6 dx25 + cos2 x5dx24 + sin2 x5 s21 + s22 + s3 + dx4
3
2
where
s1 = sin(2x2) cos(2x3)dx1 + sin(2x3 )dx2
s2 = sin(2x2) sin(2x3)dx1 + cos(2x3)dx2
s3 = cos(2x2)dx1 + dx3.

(54)

We can recognize this as the metric of a round six sphere S 6 of radius 3/2, with coordi~ where x6 is an azimuthal coordinate, x [0, ], and X
~ cover a five sphere
nates (x6 , X),
3
embedded in C via


x
x
~ = (z1 , z2 , z3 ) = cos x5 eix4 , sin x5 cos x2 ei(x1 +x3 + 24 ) , sin x5 sin x2 ei(x1 x3 24 ) ,
X
h i
h i
,
x3 [0 , 2] ,
.
x2 0 ,
x4 [0 , 2] ,
x5 0 ,
x1 [0 , ] ,
2
2

Computing the metric ds2S 5 = |dz1|2 + |dz2|2 + |dz3|2 in these coordinates we find


4 2
d = dx26 + sin2 x6 ds2S 5 .
3

(55)

This complete our identification for the range of the parameters.


4.2.2. The SO(4)-Euler parametrization
The maximal subgroup SO(4) can be singled out as follows. We know that 1, e1, e2, e3 generate a quaternionic subalgebra H. We look at the subgroup H which leaves this subalgebra
invariant. This will be generated by block diagonal matrices of the form {3 3} {4 4}.
These are the matrices Ci , i = 1, 2, 3, 8, 9, 10. Indeed, C1 , C2, C3 generate an SU (2) subalgebra which leaves invariant each element of H. Let us call this group SU (2)I . C8 , C9, C10
define a second SU (2) group (SU (2)II ) whose action restricted to e1 , e2, e3 generates the
automorphisms of H. Note that the two subgroups commute. We can then realize the surjective homomorphism
: SU (2)I SU (2)II H
(a, b) ab.

Because of Ker is the Z2 subgroup generated by the element (exp(C1), exp( 3C8 )) =
(z, z) with z = diag{I3 , I4}, In being the n n identity matrix. Thus
H SU (2)I SU (2)II /Z2 = SO(4).

(56)

As for SU (3), the construction of SO(4) is very easy, and, starting from the construction
of SU (2)I and SU (2)II , we get

H(x1, . . ., x6) = ex1 C3 ex2 C2 ex3 C3 e

3x4 C8

3x5 C9
3x6 C8

(57)

196

Sergio L. Cacciatori and B. L. Cerchiai

with range
x1 [0, 2],
x4 [0, ],

x2 [0, /2],
x5 [0, /2],

x3 [0, ]
x6 [0, ].

(58)

We also know that C5 , C11 generate a Cartan subalgebra, not contained in Lie(H). The
action of H on this Cartan subalgebra generates the complement of Lie(H), so that we can
take V = RC5 RC11 . Finally, because of
dimB = dimG2 dimH dimV = 6 = dimH,
we expect for the subgroup Ho of H which commute with exp V to be a finite group. This
means that the SO(4)-Euler parametrization will take the form

g[x1, . . ., x14] = H(x1, . . . , x6)e

3x7 C11 +x8 C5

H(x9, . . . , x14),

(59)

where x9 , . . . , x14 will take the range of the whole SO(4), whereas the range of the first six
parameters will be restricted by the action of Ho .
Before to determine Ho , we remark that in this case the quotient manifold M = G2 /SO(4)
is known to be the eight-dimensional variety of the quaternionic subalgebras of O. Unfortunately, we cannot use this information as before because an invariant metric on M
(independent from the one we can compute by group theory) is not known, so we must use
the topological method.
Let us now proceed with the determination of Ho . This is the subgroup of 7 7 orthogonal
matrices A of SO(4), whose adjoint action leave invariant the Cartan subalgebra:
ACi At = Ci ,

i = 5, 11.

(60)

A direct computation shows that it is the finite group Z2 Z2 generated by the idempotent
matrices ( = 1) and ( = 1 )
1 0 0 0 0 0 0
1 0 0 0 0 0 0

0
0
0
0
0
0

1
0
0
0
0
0

0
1
0
0
0
0

0
0
1
0
0
0

0
0
0
1
0
0

0
0
0
0
1
0

0
0
0
0
0
1

0
0
0
0
0
0

0
1
0
0
0
0

1
0
0
0
0
0

0
0
1
0
0
0

0
0
0
1
0
0

0
0
0
0
0
1

0
0
0
0
1
0

(61)
We need to look at the action of Ho on H to reduce the range of x1 , . . ., x6. Starting with
we see that
g = H(x1, x2, x3, x4, x5, x6)eV H(x9, x10, x11, x12, x13, x14)

).
= H(x1, x2, x3 + , x4, x5, x6 + )eV H(x9 + , x10, x11, x12 + , x13, x14(62)
2
2
2
2
This shows that we can restrict 0 a6 < 2 to avoid redundancies. A similar computation
can be done for the action of , showing that redundancies are avoided restricting a2
[0, /4]. The details can be found in [1]. At this time we partially determined the ranges
x1 [0, 2],

x2 [0, /4],

x3 [0, ],

Exceptional Groups, Symmetric Spaces and Applications


x4 [0, ],
x9 [0, 2],
x12 [0, ],

x5 [0, /2],
x10 [0, /2],
x13 [0, /2],

x6 [0, /2],
x11 [0, ],
x14 [0, ].

197

(63)

To apply the topological method we must now determine the form of the invariant measure.
This is easily computed using (42), (59) (and eventually the help of Mathematica):
14
Y

dxi ,
d = 27 3f (2x7 , 2x8) sin(2x2) sin(2x5) sin(2x10) sin(2x13)

(64)

i=1

where
+
3
+ 3

) sin(
) sin(
) sin(
) sin() sin()
f (, ) = sin(
2
2
2
2
1
(cos() cos())(cos(3) cos()) sin() sin().
(65)
=
4
We see that for certain values of the angles x2, x5, x7, x8, x10, x13 the measure (64) vanishes. Apart from x7 , x8, however, this happens only on the boundary of the chosen ranges.
This means that the condition of non vanishing measure determines the range for x7, x8 by
means of the equation
f (2x7 , 2x8) > 0.

Note that the period of exC5 , as for e xC11 , is 2, so that we must solve this equation inside
the square [0, 2] [0, 2]. This provides a tiling of the square, but it is easy to see that all
the regions of such tiling are equivalent so that we can choose any one, see [1]. We choose
a7 [0, /6],

3a7 a8 /2.

(66)

Our choice for the range R determine a covering G of G2 , whose volume is easily computed
to be
Z
8
V ol(G) =
(67)
d = 9 3 .
20
R
The final step consists in evaluating the volume of G2 by means of the formula of Macdonald (41). This can be easily applied to our case, to give exactly V ol(G2) = V ol(G), so
that we see that with our range, the group is covered exactly one time. In place of show the
details of such calculations here, we use the previously determined SU (3)-parametrization
to compute the volume of G2. In that case, the measure was
(SU (3))

dG2
so that

as expected.

27 5
sin x6 cos x5 sin3 x5 sin(2x2)dSU (3)dx6dx5dx4 dx3dx2dx1 ,
32
8
V ol(G2) = 9 3
20

(68)

198

5.

Sergio L. Cacciatori and B. L. Cerchiai

Generalized Euler Angles for F4

A very simple construction for the Lie algebras of the exceptional Lie groups F4 and E6 is
suggested by a theorem of Chevalley and Schafer [22] which states
Theorem 5..1. The exceptional simple Lie algebra f4 of dimension 52 and rank 4 over K is
the derivation algebra D of the exceptional Jordan algebra J of dimension 27 over K. The
exceptional simple Lie algebra e6 of dimension 78 and rank 6 over K is the Lie algebra
D + {RY } ,

T rY = 0 ,

(69)

spanned by the derivations of J and the right multiplications of elements Y of trace 0.


Se also [23]. To make it workable we must explain the main ingredients. For our
purposes, K = R. The exceptional Jordan algebra is the 27 dimensional real vector space
spanned by the 3 3 octonionic hermitian matrices endowed with the Abelian product
1
(AB + BA) ,
(70)
2
that is the symmetrization of the usual matrix product.
Searching for the derivation algebra of J, we would then find a 27 dimensional representation of the Lie algebra for F4 . However, it admits a decomposition in irreducible subspaces
R27 = R26 R, which is provided by the homomorphism
A B :=

` : J R ,

A 7

3
X

Aii .

(71)

i=1

Its kernel is a 26 dimensional invariant subspace. We could restrict to this space from the
beginning, but, because of the 27 dimensional representation will extend to an irreducible
representation of an E6 algebra, we prefer to work with the whole space.
To concretely construct the representation, let us first realize an explicit isomorphism between the space of exceptional Jordan matrices and R27 :

a1
(o1)

a1 o1 o2
(o2)
27


: J R ,
o1 a 2 o3
(72)
a2

o2 o3 a 3
(o3)
a3
where ai , i = 1, 2, 3 are real numbers, oi , i = 1, 2, 3 are octonions and
0
o
o1
2
o
3
7
X
o
8
i

: O R ,
o ei 7
o4 .

i=0
o5

o6
o7

(73)

Exceptional Groups, Symmetric Spaces and Applications

199

In this way, the set of derivations D is mapped into the set of endomorphisms of R27 .
Indeed, choosing Ai = 1 (ri), ri R27, the identity
J(A B) = J(A) B + A J(B)

(74)

provides a set of equations for the 27 27 matrix M := J1 . This equation can be


easily solved by means of a computer. This gives a set of 52 linearly independent matrices.
The matrices, with their structure constants and the program generating them can be found
in [3]. We chosen to normalize the matrices with the conditions 16 T race(MI MJ ) = IJ ,
P
I, J = 1, . . ., 52, and [Mi , Mj ] = 3k=1 ijk Mk for i, j {1, 2, 3}. Now, we need to
recognize the 261 irreducible representation. We said that this is determined by the kernel
of the map ` defined in (71). Looking at the map , we see that ker` 1 = Rf27, where

(75)
f27 = (e1 + e18 + e27)/ 3,
and ea , a = 1, . . . , 27 is the standard basis of C27. Indeed, f27 kerMI for all I =
1, . . . , 52.
27
With respect to the new basis {fa }27
a=1 for C

f1 = (e1 e18 )/ 2 ,
(76)

f18 = (e1 + e18 2e27)/ 6 ,


(77)

(78)
f27 = (e1 + e18 + e27)/ 3 ,
fa = ea , in the other cases,

(79)

all matrices will have the last row and column null, so evidencing the decomposition. We
will call ci, i = 1, . . ., 52, the resulting 2727 matrices. The 26 dimensional representation
can thus be obtained simply by deleting from each matrix the last row and the last column.
However, we remark here that the 27 27 matrices will constitute the first 52 elements of
the 27 dimensional irreducible representation of E6.
Before starting with the construction of the group, let us stop momentarily to look at some
properties of the algebra. Starting by the constructed matrices we can easily construct the
52 dimensional adjoint representation. Let us call Ci the corresponding matrices. We can
easily check that the associated Killing form is negative definite and indeed Kij ij so
that we can choose the constant to fix the Euclidean metric as invariant metric. A possible
choice for a Cartan subalgebra is H = RC1 RC6 RC15 RC36 and the roots can then
be easily computed diagonalizing simultaneously the generators Ca , a = 1, 6, 15, 36,
Ca~vi = a,i~vi ,

i = 1, . . . , 27,

~vi C52.

The resulting vectors (1,i, 6,i, 15,i, 36,i), i = 1, . . ., 27 represent the root which indeed
coincide with the roots of F4 . Thus we have obtained a compact form of F4 .
To construct the group it is useful to look at the subalgebras. Looking at the commutators,
we see that the first 21 matrices generate an so(7) subalgebra, whose so(i) subalgebras,
with i = 6, 5, 4, 3, are generated by the first i(i 1)/2 matrices, respectively. A possible
choice for the relative Cartan subalgebras is C1 for so(3), C1 , C6 for so(4) and so(5) and
C1 , C6 , C15 for so(6) and so(7). This can be used to compute the roots and check the

200

Sergio L. Cacciatori and B. L. Cerchiai

algebras. If to so(7) we add the matrices ci , with i = 30, . . ., 36, we obtain an so(8)
subalgebra. This is the Lie algebra associated to the Spin(8) subgroup of F4 which leaves
invariant the three Jordan matrices Ji , i = 1, 2, 3, where Ji has {Ji }ii = 1 as the unique
non-vanishing entry. Indeed, we find that (Ji) are in the kernel of the so(8) matrices.
The so(8) algebra can be extended to a so(9) subalgebra in three different ways: the algebra
so(9)1 obtained adding c45, . . . , c52 to so(8) and corresponding to the subgroup Spin(9)1
of F4 which leaves J1 invariant. The algebra so(9)2 is obtained by adding c37, . . . , c44 to
so(8), and corresponds to the subgroup Spin(9)2 of F4 which leaves J2 invariant. The
so(9)3 is obtained adding c22, . . . , c29 to so(8), and corresponds to the subgroup Spin(9)3
of F4 which leaves J3 invariant. Again, this can be checked by applying the given matrices
to (J1 ), (J2) and (J3) respectively. We will use Spin(9)1 which we will refer to
simply as Spin(9).
Finally, recall that if p is the linear complement of so(9) in F4 , from ad-invariance and
orthogonality it follows

5.1.

[so(9), p] p ,

(80)

[p, p] so(9) .

(81)

The generalized Spin(9)-Euler construction.

5.1.1. The maximal subgroup


As maximal subgroup of F4 we take H = Spin(9). In particular, as we said, we identified
it with Spin(9)1 . Then, the complementary subalgebra p is the 16 dimensional real vector
space generated by the matrices ci , with i = 22, . . ., 29, 37, . . ., 44. A look to the structure
constants shows that as subspace V (see (30)) we can take any one dimensional subspace of
p. We choose c22 as generator for V . Since dimG dimH dimV = 21 we expect for Ho
to be a Spin(7) subgroup of Spin(9). To check that this is true, let us first recall that first 21
matrices generate an so(7) algebra. We are now able to construct a new set of 21 generators
ci , i = 1, . . ., 21 which commute with c22 and having the same structure constants as ci .
To this end we start with the so(8) subalgebra generated by cI , I = 1, . . . , 21, 30, . . ., 36.
From c, = 30, . . ., 36 we can generate all the matrices of so(7) as
c k(k1) +i+1 = [c30+i, c30+k ] , k = 1, . . . , 6, i = 0, . . ., k 1 .

(82)

Note that for a, b {22, . . ., 29} the commutator [ca, cb] is a combination of four elements
of so(8), all having the same commutator with c22. With this in mind, let us define
c30+i := [c22, c23+i] ,

i = 0, . . ., 7 ,

(83)

and then
c30+i, c30+k ] , k = 1, . . . , 6, i = 0, . . ., k 1 .
c k(k1) +i+1 = [

(84)

Thus, the matrices cI , I = 1, . . ., 21, 30, . . ., 36 have exactly the same structure constants
of cI and [
ci , c22] = 0 for i = 1, . . ., 21. This is the so(7) we were searching for, let us call
it ho , so that Ho = exp(ho). In order to apply (30) we need to construct H. This can be

Exceptional Groups, Symmetric Spaces and Applications

201

done using the same methodology, choosing SO(8) as a maximal subgroup, which can be
constructed from its SO(7) maximal subgroup and so on. To avoid annoying repetitions to
the reader, we limit here to expose the final expression for H:
Spin(9)[x1, . . . , x36] = ex1 c3 ex2 c16 ex3 c15 ex4 c35 ex5 c5 ex6 c1 ex7 c30 ex8 c45 ex9 c3 ex10 c16 ex11 c15
ex12 c35 ex13 c5 ex14 c1 ex15 c30 ex16 c3 ex17 c5 ex18 c4 ex19 c7 ex20 c11 ex21 c16
ex22 c3 ex23 c5 ex24 c4 ex25 c7 ex26 c11 ex27 c3 ex28 c5 ex29 c4 ex30 c7 ex31 c3 ex32 c5
ex33 c4 ex34 c3 ex35 c2 ex36 c3 ,
(85)
with ranges
xi [0, 2],
i = 1, 2, 3, 9, 10, 11, 16, 22, 27, 31, 34,
i = 4, 8, 12, 17, 21, 23, 26, 28, 30, 32, 33, 35,
xi [0, ],

xi [ , ],
i = 5, 13, 18, 19, 20, 24, 25, 29,
2 2

i = 6, 7, 14, 15,
xi [0, ],
2
x36 [0, 4],

(86)

and measure
dSpin(9) [x1, . . . , x36] = sin x4 cos x5 cos x6 sin2 x6 cos4 x7 sin2 x7 sin7 x8
sin x12 cos x13 cos x14 sin2 x14 cos2 x15 sin4 x15
sin x17 cos2 x18 cos3 x19 cos4 x20 sin5 x21
sin x23 cos2 x24 cos3 x25 sin4 x26
36
Y
2
3
2
sin x28 cos x29 sin x30 sin x32 sin x33 sin x35
dxi(87)
.
i=1

5.1.2. The whole F4


To construct the quotient B we need to individuate the subgroup SO(7) in H. We seen that
this group is generated by the matrices ci , i = 1, . . ., 21. Now, we seen that this matrices
satisfy the same commutation relation of ci . Thus, if we are able to extend this to the
whole so(9) algebra, we can use the same expression (85) with the ci matrices to our scope.
Fortunately, we see that it suffices to add the matrices
ci = ci+8 ,
ci = ci+16,

i = 22, . . ., 28,
i = 29, . . ., 36,

(88)

to obtain the desired set ca, a = 1, . . ., 36 generating the Spin(9) group. Because the last
21 exponentials in (85) generate SO(7) = Ho, group, we get
B[x1 , . . . , x15] = ex1 c3 ex2 c16 ex3 c15 ex4 c35 ex5 c5 ex6 c1 ex7 c30 ex8 c45 ex9 c3 ex10 c16 ex11 c15
ex12 c35 ex13 c5 ex14 c1 ex15 c30 .
(89)
Thus, the resulting Euler parametrization of F4 is
F4 [x1, . . . , x52] = B[x1 , . . ., x15]ex16 c22 Spin(9)[x17, . . . , x52] .

(90)

202

Sergio L. Cacciatori and B. L. Cerchiai

It remains to determine the range for the parameters x1 , . . ., x16, the others ranges being the
ones of Spin(9). We will apply the topological method. To this hand, we need to compute
det(Jp ) as in (42). This is a quite involved computation, and requires some technical trick
to be performed. We refer to [3] for the details. The resulting measure is
dF4 [x1 , . . . , x52 ] = do [x1, . . . , x16 ]dSpin(9) [x17 , . . . , x52 ],
(91)
7
7 x16
15 x16
2
4
2
7
sin
sin x4 cos x5 cos x6 sin x6 cos x7 sin x7 sin x8
do [x1 , . . . , x16 ] = 2 cos
2
2
16
Y
sin x12 cos x13 cos x14 sin2 x14 cos2 x15 sin4 x15
dxi .
(92)
i=1

From this we can select the ranges along the lines explained in section 3.3.2.. Note that the
exponentials are trigonometric functions of xi /2 so that the periods are 4 so that we should
take the range xi = [0, 4] for i = 1, 2, 3 and i = 9, 10, 11. However, for all ci so(7) we
have that e2ci commute with cj and with c22, so that it can be reabsorbed in the Spin(9)
factor of F4 and these periods can be reduced to [0, 2]. The ranges determined by the
topological method are then
x1 [0, 2] , x2 [0, 2] , x3 [0, 2] , x4 [0, ] ,

x5 [ , ] , x6 [0, ] , x7 [0, ] , x8 [0, ] ,


2 2
2
2
x9 [0, 2] , x10 [0, 2] , x11 [0, 2] , x12 [0, ] ,

x13 [ , ] , x14 [0, ] , x15 [0, ] , x16 [0, ] .


2 2
2
2

(93)

With this range, we cover the whole group at least one time. Let us call M the obtained
homological cycle. Integrating the measure on the full range we obtain
(M ) =

226 28
.
37 54 72 11

(94)

To be sure that we covered F4 exactly once, we must compute the volume of the group by
means of the Macdonald formula. Its Betty numbers were computed in [24]. For F4 there
are four free generators for the rational homology, corresponding to four spheres having
dimensions
d1 = 3, d2 = 11, d3 = 15, d4 = 23 .

(95)

They contribute to the volume with a term


V ol(S 3)V ol(S 11)V ol(S 15)V ol(S 21) = 2 22

5 7 11
2 2
.
4! 6! 10!

(96)

The simple roots are [15]


r1 = L2 L3

(97)

r2 = L3 L4

(98)

r3 = L4
L1 L2 L3 L4
r4 =
2

(99)
(100)

where Li , i = 1, . . ., 4 is an orthonormal base for the dual Cartan algebra. The volume
of the fundamental region representing the torus is then 1/2. Finally, there are 48 non

Exceptional Groups, Symmetric Spaces and Applications


203

vanishing roots, 24 of with length 1, and 24 with length 2. We found explicitly these
roots which correspond to the one just presented, with Li = ei , the canonical base of R4 .
This contribute with the term
Y

2
= 248( 2)24.
(101)
||
R(F4)

The volume of the group is then


226 28
.
37 54 72 11
We conclude that the range determined covers the group exactly a single time.
V ol(F4 ) =

6.

(102)

The F4 - Euler Angles for E6

As the construction of the Euler parametrization of E6 is very similar to the one of F4 , here
we will be very short, see [4]. From the theorem of Chevalley and Schafer cited above,
we can extend the representation of the F4 algebra to the 27 irreducible representation of
the whole E6 algebra, adding the realization of the matrices representing the action of RY .
We only need to associate a 27 27 matrix M (A) to each A J, in such the way that, if
v R27 then
M (A)v = (A 1 (v)).
(103)
The set of traceless Jordan matrices being 26-dimensional, this adds 26 new generators
which complete the F4 algebra to the 78-dimensional E6-algebra. However, computing
the Killing form we can easily check that this is not the compact form having signature
(52, 26). This is indeed the split form E6(26). Fortunately, we can obtain the compact
form multiplying the 26 added generators by i. The In this way, the algebra remains real
and the representation becomes complex, being now V = C27. We realized such matrices
using Mathematica and using the basis

o2
a 1 o1

o1 a2
(104)
o3

o2 o3 a1 a2
for the traceless Jordan matrices. They can be found in [4].
We must now choose a maximal compact subgroup. It is convenient to select the largest one,
which we know to be H = F4 , in our case the group generated by the firsts 52 matrices. Its
linear complement p (in the algebra) contains two preferred elements associated to the two
diagonal matrices (104) with a1 = 1, a2 = 0 and a1 = 0, a2 = 1 respectively. Following
the order dictated by the map , after orthonormalization w.r.t. the product (J|J 0 ) =
Trace(J J 0 ) in J, these will correspond to the matrices c53 and c70 respectively. This
is indeed the expression we used in [4] to do the computer calculations. There, we have
found convenient a posteriori to recombine these two matrices in the new generators

1
3
c53 = c53 +
c70,
2
2
1
3
c70 =
c53 + c70.
2
2

204

Sergio L. Cacciatori and B. L. Cerchiai

These, added to the four matrices previously considered for the Cartan subalgebra of a
F4 , generate a Cartan subalgebra of E6 and the corresponding roots are exactly the ones
described for example in [15], with Li replaced by the elements ei of the standard basis of
R6 .
In any case, it is easy to check that c53,
c70 can be taken as generators of V . Evidently they
commute. To realize the Euler parametrization, we note that the redundancy is now 28dimensional, so that we expect to find a 28 dimensional subgroup Ho of H which commute
with V . In fact this happen to be the SO(8) subgroup generated by the first 28 matrices ci ,
i = 1, 2, . . ., 28. We can then write
E6 [x1, . . . , x78] = BE6 [x1 , . . ., x24]ex25 c53 +x26 c70 F4 [x27, . . ., x78] ,
with BE6 = F4 /SO(28) and F4 as in the previous section. This means that in particular
BE6 [x1 , . . . , x24] = B[x1 , . . . , x15]ex16 c22 B9 [x17, . . . , x23]ex24 c37 ,

(105)

where B is given by (89) and


B9 [x1 , . . ., x7] = ex1 c3 ex2 c16 ex3 c15 ex4 c35 ex5 c5 ex6 c1 ex7 c30 .
We can now compute the associated invariant measure. The calculation is quite involved
and details can be found in [4]. Here we report the result only:
dE6 = 27 sin x4 cos x5 cos x6 sin2 x6 cos4 x7 sin2 x7 sin7 x8
x16
x16
sin7

sin x12 cos x13 cos x14 sin2 x14 cos2 x15 sin4 x15 cos15
2
2
2
2
4
7
sin x20 cos x21 cos
x24
x22 sin x22!cos x23sin x23 sin !
x
x
3
3
25
25
sin8 x25 sin8
x26 +
x26
sin8

2
2
2
2
dF4 [x27, . . . , x78]

26
Y

dxi.

(106)

i=1

Proceeding as for F4 , from this measure we can determine the range R for the parameters:
x1 [0, 2] , x2 [0, 2] , x3 [0, 2] , x4 [0, ] ,

x5 [ , ] , x6 [0, ] , x7 [0, ] , x8 [0, ] ,


2 2
2
2
x9 [0, 2] , x10 [0, 2] , x11 [0, 2] , x12 [0, ] ,

x13 [ , ] , x14 [0, ] , x15 [0, ] , x16 [0, ] ,


2 2
2
2
x17 [0, 2] , x18 [0, 2] , x19 [0, 2] , x20 [0, ] ,

x21 [ , ] , x22 [0, ] , x23 [0, ] , x24 [0, ] ,


2 2
2
2

x25
x25
x25 [0, ] , x26 ,
2
3
3

(107)

and xj , j = 27, . . ., 78, chosen to cover the whole F4 group. This choice defines a 78
dimensional closed cycle W having volume

Z
3 217 42
dE6 = 10 5 3
V ol(W ) =
.
(108)
3 5 7 11
R

Exceptional Groups, Symmetric Spaces and Applications

205

To complete the work we need to check that this is indeed the volume of Q
E6 as given by
the Macdonald formula. The rational homology of E6 is H(E6) = H ( 6i=1 S di ), with
([24])
d1 = 3, d2 = 9, d3 = 11, d4 = 15, d5 = 17, d6 = 23 .

(109)

E6 is simply laced, with simple roots


r1 = L1 + L2

(110)

r2 = L2 L1

(111)

r3 = L3 L2

(112)

r4 = L4 L3

(113)

r5 = L5 L4

L1 L2 L3 L4 L5 + 3L6
r6 =
2

(114)
(115)

where Li , i = 1, . . . , 6 is an orthogonal base for the dual of the Cartan algebra. The volume
of the associated torus is then L2 . As a check for the algebra, one can explicitly check that

the 72 roots of the algebra are indeed the roots of E6, each one having length 2. They have
indeed the structure given in [15], with Li = ei , the canonical base of R6 . The Macdonald
formula then provides the result

3 217 42
V ol(E6) = 10 5 3
,
(116)
3 5 7 11
which concludes our check.

7.

Construction of Non Compact Split Forms and Their Coset


Manifolds

Up to now we considered compact groups only. However, as discussed in the introduction,


it is important to be able to concretely realize non compact groups also. A particular class
is given by the split forms. A particularly suitable technique for this cases is the Iwasawa
decomposition which we will discuss in this section. To make the advantage of such method
more evident, in the next section we will compare the construction of a splitting form obtained by analytic continuation of a compact one, with the direct Iwasawa construction.

7.1.

Analytic continuation of the generalized Euler angles

A first way to realize a split form starting from the compact one is the following. Suppose
to have realized an Euler parametrization of the compact group G with respect to a maximal
subgroup H, say
G[x1 , . . . , xp ; y1 , . . . , yr ; z1 , . . . , zm ] = B[x1 , . . . , xp ]eV [y1 ,...,yr ] H[z1, . . . , zm ],

p + r + m = n.

This will be originated by the orthogonal decomposition g = h+p. We know that [h, h] h
and [h, p] p. Let us now suppose that the further condition [p, p] h is satisfied. This

206

Sergio L. Cacciatori and B. L. Cerchiai

condition is also called symmetry. This is a non trivial condition and require for h to be a
maximal subalgebra. Indeed, suppose to start with such a decomposition and fix a subgroup
H 0 H. This determine the new orthogonal decomposition
g = h0 + p0 = h0 + p + p00,
with p00 = p0 h. Thus,
[p, p00] p p0
violates symmetry.
On the other hand we can easily see that symmetry is satisfied by all examples we considered, and indeed this happens to be true for all simple Lie groups [16]. Thus, we can pass
from the compact form to the split form relative to the given maximal subgroup, simply by
the Weyl unitary trick [16, 15]:
p 7 ip,
i being the imaginary unit. Thus, the Euler parametrization of the split form is given by
Gsplit[x1, . . . , xp; y1, . . . , yr ; z1, . . . , zm ] = G[ix1, . . . , ixp; iy1, . . . , iyr ; z1, . . . , zm ].

7.2.

The Iwasawa decomposition

If the Euler decomposition is particularly efficient for realizing compact Lie groups, for
the non compact split forms a much more suitable realization is provided by the Iwasawa
decomposition[25]. This is based on the Cartan decomposition relative to a maximal subgroup H, g = h s, where h is the Lie algebra associated to K and s its linear complement.
The Cartan decomposition requires the existence of a linear involution : g g such
that restricted to s the quadratic form
B : s s R,

(a, b) 7 B(a, b) = K(a, (b)).

Recall that the Killing form on the compact form is negative definite. Starting from our
orthogonal decomposition g = p h we see that the map
: g g,

(a, b) 7 (a, b),

(a, b) p h,

satisfy the required conditions so that we can identify p with s.


The next step consist in selecting a Cartan subalgebra of p. We call it a and A is the
generated group. Being a Cartan subalgebra, the adjoint action a is diagonalizable and we
can associate to a complete set of positive roots. The associated eigenmatrices generate a
nilpotent subalgebra n, as follows from the basic properties of the root spaces. The Iwasawa
decomposition states that the split form of G associated to the maximal subgroup H can be
realized as
G = HAN = eh ea en .

(117)

Note that for H, being a compact group, we can use our Euler parametrization. Then all
novelties are contained in the non compact quotient G/H. Before to look how this can
handled, let us make some further comment on the comparison between Euler and Iwasawa

Exceptional Groups, Symmetric Spaces and Applications

207

constructions. On one hand, there is not any compact counterpart of the Iwasawa construction but surely there are many other possibilities, as for example the exponential map itself.
In this case, the big advantage of the Euler construction is that involves only parametric
angles, which appear in the group elements in trigonometric form. Computationally, this is
not immediately an advantage because of the difficulties to handle trigonometric simplifications by means o a computer calculation. Indeed, it can be checked that, at some steps,
at hand manipulations are necessary and much simpler then direct computer computing.
However, the true advantage arises when the explicit range of the parameters must be established. In this case, as we have seen, the trigonometric expressions provide a quite simple
way to determine such ranges, whereas for a generic parametrization this involves the task
to solve certain transcendental equation which can be handled only numerically.
On the other hand, when we work with a split form the difficult task to determine the explicit range for the parameters restricts to the compact part only. Thus, we need to take
the trigonometric expressions for the compact subgroup only, but it now possible to use a
simpler realization of the non compact part, possibly much easier to handle. This is provided by the Iwasawa decompositions where, apart from the compact part, only Abelian or
nilpotent matrices appear. In particular, from the structure of the root spaces the nilpotency
of the non compact part will be at most the rank r of the group, so that we expect for the
non compact part to appear polynomial terms of degree at most r, in place of trigonometric
expressions (or hyperbolic after the Weyl trick).

7.3.

The coset manifold

Let us now look at the construction of the non compact quotient G/K. We need to compute
the induced metric (40) starting from the Iwasawa expression. Obviously we can proceed
exactly as for the compact case. However, following the tradition, we written the decomposition taking H as a left factor in place of a right factor, so that it will be convenient here to
exchange left invariant forms with right invariant form. This does not change the substance,
being the Killing form bi invariant. Thus, let us introduce the one form
R
= dG G1 = HAdN N 1A1 H 1 + HdA A1 H 1 + dH H 1
JG
HAJN A1 H 1 + HJA H 1 + JH .
R along the
To compute the metric of M = G/H we need to eliminate the components of JG
0
fibers (h), so defining the reduced form JG
, giving the metric
0
0
JG
),
d 2 = Tr(JG

being a normalization constant. Let us look at the structure of this metric. First, note that
R
0
the term JH which appears in JG
is projected out to obtain JG
. Moreover, the adjoint action
of H commute with the projection, because it respects the direct decomposition g = h p.
Thus, if we define
Jp := (AJN A1 )
where is the projection out from the fibers, then
d 2 = Tr(Jp Jp ) + Tr(JA JA ).

208

Sergio L. Cacciatori and B. L. Cerchiai

NoteP
that Jp is orthogonal to JA . Indeed, JA is easily computed because of A =
exp( ri=1 )yi Hi , where Hi individuate an orthonormal basis (w.r.t. the product Tr) for
P
the Cartan subspace, define an Abelian group so that JA = ri=1 )dyi Hi and
r
X
)dyi2.
Tr(JA JA ) =
i=1

On the other side, Jp , can be easily determined using the simple properties of N . Recall
that the generators of N are the positive root matrices Rl , l = 1, . . ., m := (n r)/2,
so that two of such matrices commute if the sum of the corresponding roots is not a root,
otherwise the commutator
is proportional to the matrix associated to the resulting root. Now
P
N (x1, . . . , xm) = e i=1m xi Ri , so that we will get
JN =

m
X

m
X

n (~x)Ri,

n (~x) =

i=1

nij (~x)dxj

(118)

j=1

where the nij (x1, . . . , xm) are all polynomials of degree at most r in the xi . Now, Ri are
eigenmatrices for the action of A so that we have
Pr

ARi A1 = e

a=1 ri,a ya

Ri,

(119)

where ~ri = (ri,1, . . ., ri,r ) are the positive roots whose components are the eigenvalues ri,a ,
a = 1, . . ., r of Ha with eigenvector Ri. Thus,
A Jn A1 =

m
X

Pr

a=1 ri,a ya

ni (~x)Ri,

(120)

i=1

and to obtain Jp we only need to take the projection on p. The metric on the quotient is then
d 2 =

r
X
i=1

dyi2 +

r
X

ei ei ,

(121)

i=1

ei = Tr[A Jn A1 Pi ],

(122)

where Pi , together with Ha realize an orthonormal basis of p with respect to the product
(a|b) = Tr(ab).

8.

Realizing G2(2) and G2(2)/SO(4)

The non compact form G2(2) is the split form of G2 associated to the maximal compact subgroup SO(4). Referring to section 4., we know that SO(4) is generated by Ci ,
i = 1, 2, 3, 8, 9, 10, and p is generated by Ca , a = 4, 5, 6, 7, 11, 12, 13, 14. To determine
the split form we could multiply Ca by the imaginary unit i. Alternatively, noting that all
matrices are antisymmetric, we prefer to transform the matrices Ca into symmetric matrices. The representative matrices obtained this way are normalized with the condition

Exceptional Groups, Symmetric Spaces and Applications

209

T r(QI QJ ) = IJ , where = diag{1, 1, 1, 1, 1, 1, 1, 1, 1, 1, 1, 1, 1, 1}:

Q1 =

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
0

Q5 =

0
0
0
0
0
0
0

Q7 =

1
Q9 =
3

1
Q11 =
3

1
Q13 =
3

0
0
0
0
0
1
0

0
0
0
0
1
0
0

0
0
0
0
0
0
0

0
0
0
0
1
0
0

0
0
0
1
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
1
0

0
0
0
0
0
0
1

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
1
0
0
0

0
0
0
0
1
0
0

0
1
0
0
0
0
0

0
2
0
0
0
0
0
0
0
0
2
0
0
0

0
0
0
0
0
2
0

0
0
0
0
0
0
1

0
0
0
0
0
0
0

Q3 =

0
0
0
0
0
0
0

2
0
0
0
0
0
0
0
0
0
0
0
0
1
0
0
0
0
1
0
0

0
0
0
0
0
0
0

0
0
0
1
0
0
0

0
0
0
0
0
1
0

0
0
0
0
1
0
0
0
0
0
0
0
0
0
0
1
0
0
0
0
0

0
0
1
0
0
0
0

Q2 =

0
0
0
0
0
1
0

0
1
0
0
0
0
0
0
0
0
0
0
0
0

2
0
0
0
0
0
0
0
0
1
0
0
0
0

0
0
0
0
0
0
1

0
0
1
0
0
0
0

0
0
0
0
0
0
1
0
0
0
0
0
1
0

0
0
0
1
0
0
0

0
0
1
0
0
0
0
2
0
0
0
0
0
0

Q4 =

Q6 =

0
0
0
0
0
0
0

0
0
0
1
0
0
0

0
0
0
0
0
0
0

0
0
2
0
0
0
0
0
0
2
0
0
0
0

1
Q12 =
3

0
0
0
0
0
1
0

0
0
0
0
0
0
1

0
0
0
1
0
0
0

0
0
0
0
1
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
1
0
0
0
0

0
1
0
0
0
0
0

0
0
0
0
0
1
0

0
0
0
0
1
0
0

1
Q10 =
3

0
0
0
0
0
0
0

0
0
0
0
0
0
1

0
0
0
0
0
0
0

0
0
0
0
0
0
0

1
Q8 =
3

0
1
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
1
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
0

1
Q14 =
3

0
0
1
0
0
0
0
0
2
0
0
0
0
0

0
0
0
0
0
0
0
0
0
0
0
2
0
0

0
0
0
0
0
1
0

0
0
0
0
0
0
2

0
0
0
0
0
0
0

0
0
0
0
1
0
0

0
0
0
1
0
0
0

0
0
0
0
0
0
1

0
0
0
0
0
0
1

0
0
0
1
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
1
0

0
0
0
0
0
0
1
0
0
0
0
0
0
0

0
0
0
0
1
0
0

0
1
0
0
0
0
0

2
0
0
0
0
0
0

0
0
0
0
0
1
0

0
0
0
1
0
0
0
2
0
0
0
0
0
0

0
1
0
0
0
0
0

0
0
1
0
0
0
0

0
0
0
0
1
0
0
0
1
0
0
0
0
0

0
0
1
0
0
0
0
0
0
0
0
0
0
0

2
0
0
0
0
0
0

The matrices {Q1 , Q2 , Q3 , Q8 , Q9 , Q10} generate the Lie algebra of SO(4), and
the elements Q5 and Q11 commute, and generate a non compact Cartan subalgebra
contained in p.

8.1.

Euler construction of G2(2) /SO(4)

As we seen, a first way to realize the split form is by analytic continuation. In this case it
simply means that we have to substitute the matrices CI with QI in (59):
g[x1, . . ., x14] = H(x1, . . . , x6)e

3x7 Q11 +x8 Q5

H(x1, . . . , x6) = ex1 Q3 ex2 Q2 ex3 Q3 e

H(x9, . . . , x14),

3x4 Q8

3x5 Q9

3x6 Q8

(123)
(124)

210

Sergio L. Cacciatori and B. L. Cerchiai

We can then proceed with the computation of the invariant measure exactly as for the compact space. We will skip all details here and give only the final result
14
Y

dG2(2) = 27 3f (2x7 , 2x8) sin(2x2) sin(2x5) sin(2x10) sin(2x13)


dxi ,

(125)

i=1

where
f (, ) = sinh(

+
3
+ 3

) sinh(
) sinh(
) sinh(
) sinh() sinh()
2
2
2
2

(126)
from which we can determine the range for the parameters
0 a1 ,
0 a4 2 ,
0 a9 2 ,
0 a12 ,
0 a7 ,

,
0 a3 ,
2
2

0 a6 ,
0 a5 ,
4

0 a11 ,
0 a10 ,
2

0 a13 ,
0 a14 ,
2
3a7 a8 .

0 a2

(127)

Next, we can also compute the metric (40) on the quotient G2(2)/SO(4). The details are
very similar to the ones in [1]. Introducing the 1forms
I1(x, y, z) := sin(2y) cos(2z)dx sin(2z)dy,
I2(x, y, z) := sin(2y) sin(2z)dx + cos(2z)dy,
I3(x, y, z) := dz + cos(2y)dx,

(128)

one gets


ds2G2(2) /SO(4) = da28 + da27 + sinh2 a8 cosh2 a7 + cosh2 a8 sinh2 a7 da25 + sin2 (2a5 )da24

+3da22 + 3 sin2 2a2da21
n
1
2
+ cosh(2a8 ) cosh(2a7 ) sinh2(2a7 ) [I1 (a4 , a5 , a6) + 3I2(a1 , a2, a3)]
2
o
2
+ [I2 (a4 , a5 , a6) 3I1(a1 , a2, a3)]
3
2
+ sinh2(2a7 ) [I3 (a4 , a5, a6) I3 (a1, a2, a3)]
4
1
+ sinh2(2a8 ) [I3 (a4 , a5, a6) + 3I3(a1 , a2, a3)]2 .
(129)
4

Such computation is quite complicated for the G2 group already and for higher dimensional
groups it becomes prohibitive.

8.2.

Iwasawa construction of G2(2) /SO(4)

The Iwasawa parametrization is the most suitable for the computation of the metric on
G2(2)/SO(4). We know that the Cartan subalgebra of p is generated by H1 := C11 and

Exceptional Groups, Symmetric Spaces and Applications

211

H2 := C5 . The roots of G2 can thus been computed diagonalizing the adjoint action of Hi .
We obtain

2
1
r3 = ( , 1);
r1 = ( , 0);
r2 = ( 3, 1);
3
3

1
r5 = ( , 1);
r6 = ( 3, 1),
r4 = (0, 2);
3
where we write only a choice of positive roots. The corresponding eigenmatrices (apart
from some normalization constants) are

R1 = 3C3 C8 + 2C12 ;
(130)
1
(131)
R2 = (C1 C2 + C6 C7 ) C9 + C10 + C13 + C14 ;
3

R3 = 3(C1 + C2 + C6 + C7 ) + C9 + C10 C13 + C14 ;


(132)

R4 = C3 2C4 + 3C8 ;
(133)

(134)
R5 = 3(C1 C2 + C6 C7 ) C9 + C10 + C13 + C14 ;
1
R6 = (C1 + C2 + C6 + C7 ) + C9 + C10 C13 + C14 .
(135)
3
Q
If we choose to parameterize the nilpotent subgroup N as N (x1, . . . , x6) = 6i=1 exi Ri we
get
n1 = dx1;
n2
n3
n4
n5
n6

(136)

64
= dx2 4 3x1 dx3 + 16x21 dx5 x31dx6 ;
3 3
8
16 2
= dx3 x1 dx5 + x1 dx6;
3
3
8
= dx4 + 8x3 dx5 x2dx6 ;
3
4
= dx5 x1 dx6;
3
= dx6.

(137)
(138)
(139)
(140)
(141)

As we see, this are polynomials whose higher order is 2. Then


2

d =

dy12

dy22

6
X

e i ei

(142)

i=1

with



8
e1 = 2e2y2 dx4 + 8x3 dx5 x2dx6 ,
3



1
64 3
2
3y1 y2
2
3y1 y2

e
x
(dx2 4 3x1 dx3 + 16x1 dx5
dx6
e =
1 dx6 ) e
3 
3 3


1
8
16 2
4

13 y1 y2
y1 y2
3
+ 3 e
(dx3 x1dx5 + x1 dx6) e
(dx5 x1dx6)
3
3
3



1
64
3
3y1 y2
2
3
3y1 y2
e =
e
(dx2 4 3x1dx3 + 16x1dx5 x1 dx6) + e
dx6
3
3 3

212

Sergio L. Cacciatori and B. L. Cerchiai





1
8
16
4

1 y y
y y
+ 3 e 3 1 2 (dx3 x1dx5 + x21 dx6) + e 3 1 2 (dx5 x1dx6)
3
3
3
e4 = 2e

y
3 1

dx1,

64
(dx2 4 3x1 dx3 + 16x21dx5 x31 dx6) e 3y1 y2 dx6
3 3
1
1
4
8
16

y
y

y
y
1
2
1
2
+e 3
(dx5 x1 dx6) e 3
(dx3 x1dx5 + x21 dx6),
3
3
3

64
e6 = e 3y1 y2 (dx2 4 3x1 dx3 + 16x21dx5 x31 dx6 + e 3y1 y2 dx6
3 3
1
4
8
16

y y
1 y y
+e 3 1 2 (dx5 x1 dx6)) + e 3 1 2 (dx3 x1dx5 + x21 dx6),
3
3
3

e5 = e

3y1 y2

e7 = dy1 ,
e8 = dy2 .

The polynomial dependence on the variables makes the computation feasible by a computer
even for higher dimensional groups.

9.

Conclusions

We have given a detailed explanation of the methods for studying the geometry of exceptional Lie groups that we have first introduced in [1] for G2. Indeed, here we have seen
the elementary reasonings which constitute the basis of our ideas and provide a powerful
tool for computing global parameterizations of Lie groups. Recall that a parametrization
differs from a coordinatization in that it does not provide a diffeomorphism between the
manifold and the space of parameters. However, a parametrization locally yields a coordinatization and it is global when it covers the whole group. This means that, if R is the space
of parameters and G the group, then the parametrization
p : R G
is surjective. In general, however, it cannot be injective. Indeed, in general group manifolds
have a non vanishing curvature tensor and cannot be globally covered by a single chart.
Nevertheless, a parametrization can be considered good when it is minimal, in the sense
that R is the closure of an open local chart. This means that the bijectivity of p is lost only
on a subset of vanishing measure, which is the boundary R of R. In this case we call the
set R the range of the parameters.
In general, for a finite dimensional simple Lie group the true difficulty lies not so much in
constructing a global parametrization, but rather in determining the range. Here is where
the idea of the generalized Euler angles comes into play, as it is particularly suitable for
computing the full range of the parameters, as it allows to express them in terms of Cartesian
products.
In particular, we have seen that there are essentially two methods to determine the range.
The first is geometric and is based on the detailed knowledge of the geometry of the quotient
space of the group and its maximal subgroup. We have described it for the example of the
SU (3)-Euler parametrization of G2, but it can be adopted for the Euler parametrization of
any of the compact classical simple Lie groups, as for example SU (N ), [20]. The second

Exceptional Groups, Symmetric Spaces and Applications

213

method is topological and can be used when the geometrical information on the quotient
space is lacking or the geometrical method is not sufficient to fix the range, as for example
for the SO(4)-Euler parametrization of G2 [1] or for the parameterizations of F4 [3] and
E6 [4].
Finally, we have also considered the construction of non compact Lie groups. In that case
the Iwasawa construction is easier the Euler one. In particular, we have shown how to it can
be applied to the non compact Lie group G2(2). The material exposed in the last section is
all new.

Acknowledgments
B.L.C. would like to thank S. Ferrara and A. Marrani for enlightening discussions. The
work of B.L.C. has been supported in part by the Director, Office of Science, Office of High
Energy and Nuclear Physics, Division of High Energy Physics of the U.S. Department of
Energy under Contract No. DE-AC02-05CH11231, and in part by NSF grant 10996-1360744 PHHXM.

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Mathematics, Springer.
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SU(N), J. Phys. A: Math. Gen. 35 (2002) 10467-10501; Generalized Euler Angle
Parameterization for U (N ) with Applications to SU (N ) Coset Volume Measures,
J. Geom. Phys. 52, 3 (2004) 263-283.
[22] C. Chevalley, R. D. Schafer, The exceptional simple Lie algebras F4 and E6, PNAS
36 (1950), pp. 137-141.
[23] J. F. Adams, Lectures on Exceptional Lie Groups, The University of Chicago Press.
[24] C. Chevalley, The Betti numbers of the exceptional Lie groups , Proceedings of
the international congress of Mathematicians, Cambridge, Mass., 1950, Vol.2,
Amer. Math. Soc., Providence, R. I. , 1952, pp. 21-24.
[25] K. Iwasawa, On some types of topological groups, Annals of Mathematics (2) 50,
(1949), 507558.

In: Group Theory


Editor: Charles W. Danellis, pp. 217-261

ISBN 978-1-60876-175-3
c 2010 Nova Science Publishers, Inc.

Chapter 8

A S URVEY OF S OME R ESULTS IN


LIE G ROUP A NALYSIS

THE

Phillip Yam
Department of Applied Mathematics, Hong Kong Polytechnic University,
Kowloon, Hong Kong

Lie Group Analysis as a mathematical discipline was born in the 1870s out of some
brilliant work that was done by the nineteenth-century mathematician Sophus Lie. Working together with a fellow student called Felix Klein in Berlin during the year 1869 70,
Lie conceived the notion of studying mathematical systems from the perspective of the
transformation groups that leave the systems invariant. In his famous Erlanger program,
Klein subsequently pursued the role of finite groups in the study of regular bodies and the
theory of algebraic equations, while Lie developed his notion of continuous transformation
groups and their role in the theory of differential equations. Lies work was a tour de force
of the 19th century, and today the theory of continuous groups is a fundamental tool in
such diverse areas as analysis, differential geometry, number theory, differential equations,
quantum mechanics, high energy physics and gauge theory.
Lies achievements are striking because he showed that many of the ad hoc methods of
integration for ordinary differential equations that were in use before his time were actually direct consequences of his theory. Furthermore, Lie gave a classification of ordinary
differential equations in terms of their symmetry groups, thereby identifying the full sets
of equations that could be integrated or reduced to lower-order. Lies classification, in
particular, showed that all second-order equations that are integrable by his methods are reducible to one of exactly four distinct canonical forms simply by taking suitable choices of
change of variables. It follows therefore that by subjecting these four canonical equations
to suitable change of variables alone, all the known equations that are integrable by the old
methods are obtained as well as infinitely many more equations that are integrable which
are not yet known.
Subsequent developments showed that Lies theory can in fact be used as a universal
tool for tackling a large class of differential equations, both of ordinary and partial type,
when all other means of integration fail. It is known, for example, that group analysis

218

Phillip Yam

is the only effective and universally used method for solving many nonlinear differential
equations, e.g. the KdV equation, analytically. Group theory considers the symmetry of
the underlying problems in formulating mathematical models, with the result that new and
often better approaches to solving complex problems are revealed. Despite its great importance and depth of insight, however, the idea of Lie groups had not enjoyed widespread
acceptance in the past and the subject had been largely neglected in mathematics. Applications of Lie groups in the area of finance and financial engineering, therefore, is almost
unheard of. Ad hoc methods are still being used today instead of Lies canonical equations.
4.1 Some Useful Results in the Theory of Ordinary Differential Equations
Existence theorems furnish the core of the general theory of differential equations. In particular, the classical existence and uniqueness theorems for systems of ordinary differential
equations of the first order plays a central role in the theory of Lie groups, their invariants
and invariant equations.
Definition 4.1 A function y = (x), defined in a neighborhood of x0 and continuously
differentiable n times, is said to be a solution of a differential equation F (x, y, y 0(n)) = 0 if
F (x, (x), 0 (x), . . ., (n) (x)) = 0 identically for all x in an interval (x0 , x0 + ), for
some  > 0. Since any function y = y(x) represents a curve in the (x, y) plane, solutions
of ordinary differential equations are also called integral curves.
We first consider the existence of solutions of the initial value problem for the general
first-order equation:
dy
= f (x, y), y(x0) = y0
(4.1)
dx
where f (x, y) is a single-valued continuous function of two variables defined in a rectangular domain |x x0| a, |y y0 | b, for some a, b > 0.
The question of the existence of solutions to the initial value problem (4.1) was first
investigated by Cauchy. For this reason, initial value problems are also called Cauchy
problems. Cauchy obtained sufficient conditions for the existence of integral curves passing
through any given point (x0, y0 ) within the domain of f . Furthermore, Cauchy showed that
the solutions may not be unique if only the continuity of f is required. For example, the
initial value problem
p
dy
= 2 |y|, y(x0) = 0
(4.2)
dx
has two solutions, y = 0 and y = |x x0 |(x x0).
Cauchy continued his investigations and proved the existence and uniqueness theorem
for analytic differential equations, i.e. when f is analytic. His proof is based on the ingenious method of majorants and is applicable to both ordinary and partial differential equations.
An alternative appproach, known as the method of successive approximations, furnishes
s simple proof of the existence and uniqueness theorm for ordinary differential equations
satisfying the so-called Lipschitz condition. In fact, this method can be generalized to
provide proofs for some major results in functional analysis.
Definition 4.2 We say that a function f (x, y) satisfies the Lipschitz condition if there exists

A Survey of Some Results in the LIE Group Analysis

219

a positive constant K such that


|f (x, y1) f (x, y2)| K|y1 y2 |

(4.3)

for any points (x, y1) and (x, y2) within the domain of f .
Proposition 4.1 (Existence and uniqueness of solutions for initial value problems) Let
f (x, y) satisfy the Lipschitz condition in its domain. Then the initial value problem has one
and only one solution y = (x) defined in a neighborhood of x0 .
Proof: See Taylor (1996). 
The above result can be generalized to systems of first-order differential equations.
Indeed, let y = (y1, y2 , . . ., yn ), f = (f1, f2 , . . ., fn ) and consider an initial value problem:
dy
= f (x, y), y(x0) = y0
(4.4)
dx
where f (x, y) is a single-valued continuous vector-function in a domain |x x0| a, ky
y0k b, for some a, b > 0.
Definition 4.3 The function f is said to satisfy the Lipschitz condition if there exists a positive constant K such that
kf (x, y1) f (x, y2)k Kky1 y2 k

(4.5)

for any values of (x, y1) and (x, y2) in the domain of f
Proposition 4.2 There exists a unique solution to the initial value problem for system of
first-order equations if f satisfies the Lipschitz condition.
Proof: See Taylor (1996). 
It follows that the general solution of a system of n first-order differential equations
dy
= f (x, y)
dx

(4.6)

is dependent on precisely n arbitrary constant C1 , . . . , Cn , e.g. n arbitrarily chosen initial values y10, . . . , yn0 for the dependent variables at x = x0 . Consequently, the general
solution is written as
yi = i (x, C1, . . . , Cn ), i = 1, 2, . . ., n.

(4.7)

A single equation of the nth order,


y (n) = f (x, y, y 0(n1)).

(4.8)

can be rewritten as a system of n first-order equations by considering the function y and its
successive derivatives as new dependent variables, y1 = y, y2 = y 0 , . . . , yn = y (n1) . The
nth order equation is therefore equivalent to the system
dy(n1)
dy1
dy2
dyn
= y2 ,
= y3 , . . .,
= yn ,
= f (x, y1, . . . , yn ),
dx
dx
dx
dx

(4.9)

220

Phillip Yam

and so a similar result is obtained ( by applying Proposition 4.2 ) for the initial value problem of an nth order equation:
y (n) = f (x, y, y 0(n1)),

(4.10)
(n1)

y(x0) = y0 , y 0(x0 ) = y00 , . . . , y (n1)(x0) = y0

(4.11)

(n1)

Proposition 4.3 Let f be continuous in a neighborhood of x0 , y0, y00 . . . , y0


fies the Lipschitz condition:
(n1)

|f (x, y1, y10 , . . . , y1

(n1)
Kk(y1 , y10 , . . . , y1
)

(n1)

) f (x, y2, y20 . . . , y2

)|

and satis-

(4.12)

(n1)
(y2 , y20 . . . , y2
)k

for some constant K. Then the initial value problem of the nth order equation (4.10-11)
has a unique solution defined in a neighborhood of x0 .
Again, it follows that the general solution of the nth-order differential equation is dependent
on precisely n arbitrary constants C1 , . . ., Cn .
Let a function f (x, y) be locally analytic at a point (x0, y0 ), i.e. expandable in a power
series in x and y that converges near the point (x0 , y0) in the (x, y) plane. Let us first
reduce, for the sake of brevity, the initial point x0 to zero by merely changing x into x x0 .
Proposition 4.4 For the Cauchy problem
dy
= f (x, y), y(0) = y0
dx

(4.13)

with a locally analytic function f (x, y), the solution y = y(x) is locally analytic near zero
Proof: See Taylor (1996). 
Proposition 4.5 Given a Cauchy problem
dy
= f (x, y), y(0) = y0
dx

(4.14)

if f (x, y) is analytic in x, y in a neighborhood of (0, y0), then the solution y = y(x) is


analytic near x = 0.
Proof: See Taylor (1996). 
Definition 4.4 Given a differential equation, its singular solution is an integral curve such
that, for any point (x0, y0 ) on this curve, there are at least two different solutions of the
differential equation passing throught (x0, y0).
Example 4.1 Consider Clairauts equation
y = xp + (p).

(4.15)

A Survey of Some Results in the LIE Group Analysis

221

By taking p = y 0 and differentiating both sides, we obtain


(x + 0(p))

dp
= 0.
dx

(4.16)

dp
= 0, we get p = C.
Now, by equating to zero the second factor in the left-hand side,
dx
Finally, by applying Clairauts equation again, one obtains a solution that depends on one
arbitrary constant C:
y = Cx + (C).
(4.17)
An alternative solution is obtained by considering the first factor in the left-hand side of
equation (4.16), i.e. x + 0 (p) = 0. We have
x = 0 (p),
0

y = p (p) + (p),

(4.18)
(4.19)

which give a parametric representation of an isolated solution that is distinct from the former
family of straight lines. In fact, by eliminating p from equations (4.18) and (4.19), one
obtains the so called envelope of the former family. The general solutions of Clairauts
equation, therefore, is made up of the one-parameter family of straight lines (4.17) and
its envelope. In particular, for every point (x0, y0 ) lying on the envelope of the family
(4.17), two distinct integral curves of Clairauts equation exist that passes through that
point; namely the envelope itself and a straight line of the family (4.17) with a particular
value assigned to C. Hence (x0 , y0) is a singular point of the problem and the envelope is a
singular solution of Clairauts equation. 
The existence theorems in Propositions 4.1-3 describe only the local behavior of integral curves in the vicinity of ordinary points. A global investigation of the existence of
solutions in the whole domain requires an analysis of the behavior of integral curves near
singular points as well where the prescribed conditions (e.g. the Lipschitz condition) for the
existence and uniqueness of solutions cease to hold. It appears, from our previous studies
of analytic solutions, that a natural setting for the investigation of the true nature of solutions , including their singularities, is the extension of differential equations to the complex
domain. Indeed, the method of majorants immediately applies to equations
dw
= f (z, w)
dz

(4.20)

with complex variables z, w and f (z, w) being a complex-valued function. The existence
theorem can now be reformulated as:
Proposition 4.6 Let the function f (z, w) be analytic in a neighborhood of (z0 , w0). Then
the equation (4.20) has a unique solution which reduces to w0 for z = z0 and is analytic in
an open disc in the complex z-plane with the center at z0.
Proof: Details of the proof are given in Taylor (1996). Even though the given proof is only
valid for points in the the disc of convergence of the power series, global analytic solutions
in the whole domain can consequently be determined from results in the theory of analytic
functions. One advantage of the extension of differential equations to the complex domain

222

Phillip Yam

is resulting ability to determine the existence of analytic continuations. In particular, when


the general solution is given in closed form, this virtually determines the solution together
with all its singularities in the whole domain of existence. 
4.2 Some Useful Results in the Theory of Partial Differential Equations
An acquaintance with the elements of the theory of first-order partial differential equations
is a prerequisite for Lies theory. This section contains the basic classical devices for solving
a single differential equation as well as systems of linear homogeneous equations with one
dependent variable. The coefficients of all equations are assumed to be locally analytic.
Let x = (x1, x2, . . . , xn ) be n 2 independent variables and u is a single dependent
u
variable. We denote the gradient of u by p = (p1, p2, . . . , pn ), where pi = x
. An
i
equation is said to be of the first order if the partial derivatives of the highest order that occur
are of order one. A single partial differential equation of the first order with one dependent
variable is written as F (x, u, p) = 0. The following definition of the solutions to a partial
differential equation is classical and similar to that for ordinary differential equations.
Definition 4.5 A function u = (x), defined and continuously differentiable in a neighborhood of a point x0, is said to be a solution of the partial differential equation F (x, u, p) = 0
(x)
if the substitution u = (x), pi = xi converts into an identity in a neighborhood of the
point x0 . In the case of two independent variables, a solution of that partial differential
equation defines a surface in three-dimensional space and therefore it is termed, in the
classical literature, an integral surface.
The standard form of the linear partial differential equation of the first order is
1 (x)p1 + + n (x)pn + c(x)u = f (x),

(4.21)

where i (x), c(x), f (x) are given functions of the independent variables. In particular, the
equation is called homogeneous if both c(x) and f (x) are identically zero. In this case, the
left-hand side of (4.21) is exactly a linear form in p, i.e. every term involves a derivative pi
that occurs in the first power only.
The general quasi-linear equation of the first order is
1 (x, u)p1 + + n (x, u)pn = g(x, u)

(4.22)

where i and g are given functions of both the independent and dependent variables. Equations that are neither linear nor quasi-linear are termed nonlinear partial differential equations. When several partial differential equations of the first order are given instead of a
single one, they furnish a simultaneous system of partial differential equations of the first
order. The differential equations that form a simultaneous system may be linear, quasilinear or nonlinear.
Consider a system of ordinary differential equations of the first order with n 1 dependent variables:
dyi
= fi (x, y1, . . . , yn1 ), i = 1, . . . , n 1.
(4.23)
dx
By the existence theorem of Proposition 4.2, its general solution has the form
yi = i (x, C1, . . . , Cn1 ), i = 1, . . . , n 1,

(4.24)

A Survey of Some Results in the LIE Group Analysis

223

so that by the implicit function theorem and the analytic continuation of the i s, the system
(4.24) can be solved for the constants of integration Ci :
i (x, y1, . . . , yn1 ) = Ci , i = 1, . . ., n 1.

(4.25)

Each relation in this collection (4.25) is called a first integral of the system and the collection of all the first integrals is called the general solution of (4.23). This set (4.25) of n 1
first integrals, however, is not the only possible representation of the general solution of
(4.23). Indeed, it can be verified that every relation of the form (1 , . . . , n1 ) = C is a
first integral, and so one can replace the functions i s by n 1 functionally independent
functions i (1 , . . ., n1 ), i = 1, . . ., n 1.
Definition 4.6 Given a system of n 1 first order equations (4.23), any relation of the form
(x, y1, . . ., yn1 ) = C,

(4.26)

that is satisfied by all its solutions yi = yi (x), i = 1, . . . , n 1 for some function , not
identically constant, is called a first integral.
In fact, the system of first order equations (4.23) can be rewritten in the form
dyn1
dy1
dx
= =
,
=
1
f1
fn1

(4.27)

which, because the denominators can be multiplied by any function distinct from zero,
can further be rewritten ( replacing x by x1 and yi by xi+1 , for i = 1, . . . , n 1) in the
symmetric form
dx1
dxn
= =
.
(4.28)
1 (x)
n (x)
This form is called symmetric because of the absence of the independent variable in the n1
first order ordinary differential equations. Indeed, any one of the n variables x1, . . . , xn can
now be taken to be the independent variable. A first integral of the system can now be
written as
(x) = C.
(4.29)
Definition 4.7 A set of n 1 first integrals
k (x) = Ck , k = 1, . . ., n 1,

(4.30)

is said to be independent if the functions k (x) are functionally independent, i.e. if no


relations of the form F ( 1, . . . , n1 ) = 0 exist.
Clearly, any set of n 1 independent first integrals can be used to represent the general
solution of the system (4.23). Furthermore, since the general solution of a system of n 1
first order equations is dependent precisely on n 1 arbitrary constants, one arrives at the
following proposition.
Proposition 4.7 Every system of n 1 first order ordinary differential equations has n 1
independent first integrals 1 , . . ., n1 . Any other first integral of the system can be
expressed as
= F ( 1, . . . , n1 ),
(4.31)

224

Phillip Yam

for some analytic function F .


Proposition 4.8 A function (x1 , x2, . . ., xn ) is a first integral of the system
dx1
dxn
= =
1 (x)
n (x)

(4.32)

if and only if it is a solution of the partial differential equation


1 (x)

+ + n (x)
= 0.
x1
xn

(4.33)

Proof: See Taylor (1996). 


Proposition 4.9 Let
x0i = i (x),

i = 1, . . . , n

(4.35)

be an invertible transformation. Then the first-order operator


X = 1 (x)

+ + n (x)
x1
xn

(4.34)

can be written in terms of the new independent variables x01 , . . . , x0n in the form
= X(1 ) + + X(n ) ,
X
x01
x0n
where
X(1 ) = i

+ + n i .
x1
xn

(4.36)

(4.37)

Proof: See Taylor (1996). 


The following homogeneous first-order linear equation can be readily solved by applying propositions 4.8 and 4.9.
Proposition 4.10 The general solution to the homogeneous linear partial differential equation
u
u
+ + n
=0
(4.38)
X(u) 1
x1
xn
is
u = F (1 (x), . . . , n1 (x)),
(4.39)
where F is an arbitrary function of n 1 variables and
1 (x) = C1 , . . ., n1 (x) = Cn1

(4.40)

is a set of n 1 independent first integrals of the system


dx1
dxn
= =
.
1 (x)
n (x)

(4.41)

A Survey of Some Results in the LIE Group Analysis

225

Proposition 4.11 Given a particular solution u = (x) of the non-homogeneous equation


X(u) = f (x),

(4.42)

its general solution is obtained by adding to (x) the general solution of the corresponding
homogeneous equation X(u) = 0. Thus, by virtue of Proposition 4.10, the general solution
of the equation is
(4.43)
u = (x) + F (1 (x), . . ., n1 (x)),
where F is an arbitrary function.
The proposition 4.11 reduces the problem of integration of a non-homogeneous linear partial differential equation X(u) = f (x) to that of the associated system of ordinary differential equations
dx1
dxn
= =
,
1 (x)
n (x)
provided that a particular solution (x) of the non-homogeneous equation is known. In
general, it is not a simple matter to find a solution (x). However, one can easily find a
desired particular solution in some special cases.
Proposition 4.12 For every partial differential operator X, there exist variables x0i such
that X is reduced to the one-dimensional form
X = (x0)

.
x0n

(4.44)

The variables x01 , . . . , x0n can be determined by solving the homogeneous equation X(u) =
0.
Proposition 4.13 (Laplaces method) Suppose n (x) 6= 0. Then there exist variables x0i
such that the non-homogeneous equation
X(u) = g(x, u)

(4.45)

can be written in the form of the first-order ordinary differential equation


n (x)

u
= g(x, u).
x0n

(4.46)

Proof: Choose
x01 = 1 (x), . . ., x0n1 = n1 (x), x0n = xn ,

(4.47)

where z (x), . . ., n1 (x) are any n 1 functionally independent solutions of the associated homogenerous equation X(u) = 0. 
Now, consider the general quasi-linear equation
1 (x, u)

u
u
+ + n (x, u)
= g(x, u).
x1
xn

(4.48)

226

Phillip Yam

Let us define u as a function of x implicitly by


V (x, u) = 0

(4.49)

and treat V as an unknown function of n + 1 variables, x and u. Let


Di =

+ pi
xi
u

(4.50)

be the operator of total differentiation with respect to xi . We have, upon differentiation of


equation (4.49),
V
V
+ pi
Di V
= 0,
(4.51)
xi
u
whence
pi =

V V
/
,
xi u

i = 1, . . ., n.

(4.52)

Replacing pi by the above expressions, one obtains the homogeneous linear equation
1 (x, u)

V
V
V
= 0.
+ + n (x, u)
+ g(x, u)
x1
xn
u

(4.53)

Proposition 4.14 Suppose the system of equations


dx1
dxn
du
= =
=
1(x, u)
n (x, u)
g(x, u)

(4.54)

has a set of n independent first integrals


1(x, u) = C1 , . . . , n (x, u) = Cn .

(4.55)

Then the general solution of the quasi-linear equation (4.48) is defined implicitly by
V (x, u) F ( 1(x, u), . . ., n (x, u)) = 0. In particular, if V /u 6= 0, then the solution can be written explicitly as u = (x).
Proof: This is a direct consequence of Proposition 4.10. 
We now turn to the problem of solving a system of homogeneous linear equations.
Consider the general system of r homogeneous linear partial differential equations in one
unknown function u = u(x):
n
X

i (x)pi = 0,

= 1, . . ., r,

(4.56)

i=1

where x = (x1 , . . . , xn) are the independent variables and pi = u/xi are the partial
derivatives. By introducing the differential operators
X = 1 (x)

+ + n (x)
,
x1
xn

= 1, . . ., r,

(4.57)

A Survey of Some Results in the LIE Group Analysis

227

the system (4.56) can be rewritten in the compact form


X1 (u) = 0, . . ., Xr (u) = 0.

(4.58)

Clearly, the system (4.58) has a trivial solution u = constant, which is of no interest to us. It
r, then it also satisfies
is also clear that if u solves s equations X(u) = 0, a = 1, . . . , sP
s
their linear combination with arbitrary variable coefficients, i.e.
=1 (x)X(u) = 0.
This therefore motivates the following definitions.
Definition 4.8 Differential operators X1 , . . . , Xs are said to be connected if there exist
functions (x), not all zero, such that
1 (x)X1 + + s (x)Xs = 0,

(4.59)

where equation (4.59) is satisfied as an operator identity in a neighborhood of a generic


point x. If equation (4.59) implies that 1 = = s = 0, then we say that the operators
X1, . . . , Xs are unconnected. In the latter case, the corresponding differential equations
X1(u) = 0, . . . , Xs(u) = 0 are said to be independent.
Definition 4.9 Let Z s be r linear combinations of the operators X s:
Z =

r
X

h, (x)X ,

= 1, . . . , r,

(4.60)

=1

where h, (x) are variable coefficients such that the determinant |h, (x)| is not zero.
The system of linear homogeneous equations Z1 (u) = 0, . . . , Zr (u) = 0 has the same set
of solutions as the original system X1(u) = 0, . . . , Xr(u) = 0. Consequently, these two
systems, as well as the operators X and Z , are siad to be equivalent.
Now, the total number of unconnected operators in any given collection is determined by
the following well-known algebraic proposition.
Proposition 4.15 The number r of unconnected operators in a collection X is equal to
the rank of the r n matrix of their coefficients i(x):
r = rank ( i ) .

(4.61)

The number r is the same for any equivalent operators Z .


Proof: See Taylor (1996). 
According to the last result, any system of r homogeneous linear equations can be replaced
by a system of r independent equations. It is clear that the system cannot be independent
when there are more than n equations. Furthermore, if r = n and those operators are
unconnected, i.e. r = r = n, the determinant of thePcoefficients will be non-zero. In
this case, the linear homogeneous algebraic equations ni=1 i(x)pi = 0, = 1, . . . , r,
with respect to p = (p1 , . . ., pn ) yield p = 0, and hence the solution of the system is
trivial, u = constant. Thus, a necessary condition for the existence of non-trivial solution

228

Phillip Yam

is r < n. However, the condition r < n alone is not sufficient for the existence of
non-trivial solutions. Let see this from the following example.
Example 4.2 Consider the system of two equations:
u
u
y
=0
y
z
u
u
X2(u) y
+z
=0
x
y

(4.62)

X1(u) z

(4.63)

It is evident that these equations are independent since they involve differentiations in different variables. One readily
p obtains the general solution of the first equation in the form
u = v(x, ), where = y 2 + z 2 . Substituting this expression into the second equation
and dividing by y/, we get
v z v
+
=0
(4.64)
x
Since v does not involve the variable z explicitly, it follows that v/ = 0 and hence
v/x = 0. Consequently, u = v = constant. Thus, the equations do not have a nontrivial solution, even though r = r = 2 is less than the number n = 3 of independent
variables. 
Any solution u of the system of r equations X1(u) = 0, . . ., Xr (u) = 0 must satisfies the second-order equations X(X (u)) = 0 for any values of the indices and .
Consequently, u also solves the following equations of the first order:
n
X
u
(X (i ) X ( i ))
=0
X(X (u)) X (X(u))
xi

(4.65)

i=1

Hence one can state that u annuls, together with the operators X , all their commutators
defined as:
Definition 4.10 The commutator of any two operators, X and X , is the differential operator [X, X ] of the first order defined by
[X, X ] = X X X X,

(4.66)

or in the following equivalent form exhibiting the coefficients explicitly:


[X, X ] =

n
X
i=1

(X(i, )) X ( i,))

u
.
xi

(4.67)

Therefore, any solution of the system of equations also solves the equations [X, X ](u) =
0. We now have two alternatives: either some of the commutators are independent of the
original operators X, or the commutators are linear combinations with variable coefficients
of the original operators. The latter case means that the combined set of operators, those
original operators together with their commutators, is connected. In the first case, one
should consider an extended system of differential equations of the first order obtained
by combining X1 (u) = 0, . . . , Xr (u) = 0 with all independent commutator equations

A Survey of Some Results in the LIE Group Analysis

229

[X, X ](u) = 0. Then one can apply the previous procedure to this new system again.
Proceeding in this manner, one ultimately reaches the second case and hence arrives at what
is called a complete system.
Definition 4.11 Let X1(u) = 0, . . . , Xr (u) = 0 be a system of independent equations. It is
called a complete system if all commutators are dependent on the operators X:
[X, X ] =

r
X

h, (x)X .

(4.68)

=1

If h, (x) = 0, i.e. if all commutators of the operators X vanish, we have a special case
of a complete system known as a Jacobian system.
The theory of complete systems is based on the following properties.
Proposition 4.16 The commutator of [X, X ] is invariant under changes of variables.
Namely, let x0i = i (x), i = 1, . . ., n, be new variables and let X denote the operators
X written in the variables x0i . Then
[X, X ] = [X,X ]

(4.69)

Therefore, we conclude that a system is complete independently on the choice of variables.


Proof: For details, also see Taylor (1996). 
Proposition 4.17 If the system X1 (u) = 0, . . ., Xr (u) = 0 is complete, then any equivalent
system Z1(u) = 0, . . . , Zr (u) = 0 is also complete.
Proof: Directly follows from the definition on equivalent systems. 
Proposition 4.18 Any complete system is equivalent to a Jacobian system.
Proof: Since within any complete system, equations X1 (u) = 0, . . . , Xr(u) = 0 are, by
definition, independent. Hence they can be solved with respect to particular r derivatives.
Without loss of generality, we assume that the system is solved for the r derivatives with
respect to the first r variables, x1, . . . , xr :
Z1 (u)

u
u
+ = 0, , Zr (u)
+ = 0,
x1
xr

(4.70)

where the dots denote terms not involving the derivatives with respect to x1 , . . ., xr .
The previous system is complete since it is equivalent to the original complete system. It is evident that the commutators [Z , Z ](u) may involve only the derivatives
u/xr+1, . . . , u/xn, whereas the first r operators z , = 1, . . ., r contain differentiations with respect to x1, . . . , xr . Consequently, [Z, Z ] can be expressed as a linear
combination of z only if [Z , Z ] = 0. 
According to the preceeding discussion, every system of homogeneous linear partial differential equations can be converted into a complete system by simply adding all independent
commutators. The following proposition provides a practical guide for integrating a complete system of independent equations X1(u) = 0, . . . , Xr(u) = 0.

230

Phillip Yam

Proposition 4.19 A complete system of r independent equations X1(u) = 0, . . ., Xr (u) =


0 has n r functionally independent solutions, u = 1 (x), . . ., u = nr (x). The general
solution is an arbitrary function F of these n r particular solutions:
u = F ( 1(x), . . ., nr (x)).

(4.71)

Proof: Firstly, we integrate one of the equations, e.g. X1(u) = 0, and suppose 1,1(x) 6= 0,
one can obtains n 1 independent solutions u = 1,1(x), . . ., u = n1,1 (x). Then, one
can introduces a change of variables, x01 = 1 (x), x02 = 1,1(x), . . ., x0n = n1,1 (x),
where 1 is functionally independent of i,1s, and reduces the operator X1 to the form
Y1 = f (x)/x01. Consequently, the original system is equivalent to a new complete
system in the form
Y1 (u)

u
=0
x01

n
X
u
u
Y (u)
+
s, 0 = 0, = 2, . . . , r
x0
x1

(4.72)
(4.73)

s=r+1

Therefore, u = v1 (x02, . . . , x0n), a function of n 1 variables x02, . . . , x0n only. According


to the proof of proposition 4.18, we can conclude that the system (4.7273) is a Jacobian
system. Hence, all commutators of the operators Y vanish. In particular,
n
X
s,
= 0, = 2, . . ., n
[Y1 , Y] =
x01 x0s

(4.74)

s=r+1

whence s, /x01 = 0, i.e. every s, is a function of x02, . . . , x0n only. Therefore, the
set of solutions of the original system is the same as the set of solutions of the new system
Y2 (u) = 0, . . . , Yr (u) = 0, which forms a Jacobian system of r 1 equations with n 1
independent variables x02, . . . , x0n now. By applying the preceeding procedure to this new
system and continuing in this manner for r 2 more times, one ultimately reduces the
original system to a single homogeneous linear equations with n r + 1 independent
variables. Its integration provides the general solution (4.71). 
In practice, if some operators
X do not enter in the right-hand sides of the commutator
Pr
relations, [X, X ] = =1 h, (x)X , then it is better to start the integration of the
system by first solving the sub-system X (x) = 0 with those X involved in the right-hand
sides of the commutator relations.
Example 4.3 In the space of four variables x = (x, y, z, t), consider the system of two
equations
u
u
y
= 0,
y
z
u
u
u
X2(u)
+t
+y
= 0,
x
y
t
X1 (u) z

(4.75)
(4.76)

A Survey of Some Results in the LIE Group Analysis

231

Their commutator has the form [X1, X2] = X3 , where


X3 t

+z
z
t

(4.77)

The three equations X1(u) = 0, X2(u) = 0 and X3(u) = 0 form a complete system since
[X1, X2] = X3
t
y
[X1, X3] = X1 + X3
z
z
[X2, X3] = X1.

(4.78)

Since all the commutator relations contain no X2, we solve the equations X1(u) =
0, X3(u) = 0. The first equation yields u = v(x, t, ), where = y 2 + z 2 . Then X3(u) = 0
reduces to the equation
v v
+
= 0,
(4.79)
2t

t
whence v = w(x, ), where = t2 = y 2 + z 2 t2 . Now, the last equation X2(u) = 0,
reduces to w/x = 0. Thus, the general solution is written
u = F (y 2 + z 2 t2 )

(4.80)

where F is an arbitrary function. 

APPLICATIONS OF LIE GROUP ANALYSIS TO


PARTIAL DIFFERENTIAL EQUATIONS ARISEN IN FINANCE
The concept of a group is closely related to that of invariance or symmetry of mathematical
objects - surfaces, functions, differential equations, etc. Indeeed, given any object M, the
set G of all invertible transformations T leaving the object M unaltered:
T :MM

(5.1)

contains the identity transformation I, the inverse T 1 of any transformation T G and


the composition T1 T2 of any transformations T1 , T2 G. Therefore, G is a group, and is
usually called a symmetry group of the object M. The symmetry of algebraic equations is
discussed in Galois theory, whereas Lie group theory deals with symmetries of differential
equations. Nevertheless, Lie groups, unlike Galois groups, contain infinitely many transformations and depend on continuous parameters. Consequently, Lies theory deals with
continuous groups. The crucial idea of this theory is to employ infinitesimal transformations instead of finite group transformations. Any Lie group is uniquely detemined by its
infinitesimal transformations. These infinitesimal transformations, in turn, form a vector
space closed under the commutator, i.e. they form a Lie algebra. For general discussions
on the theory of Lie groups, see Broker and Dieck (1985), Chevalley (1946). Also see
Jacobson (1979) for general discussions on Lie algebras.
5.1

An Overview of the Theory of Lie Groups

232

Phillip Yam

5.1.1 Applications of Lie Groups to Differential Equations


A set G of invertible point transformations in the (x, y) plane,
x
= f (x, y, ), y = g(x, y, ),

(5.2)

f (x, y, 0) = x, g(x, y, 0) = y,

(5.3)

with
depending on a parameter  is called a one-parameter continuous group, if G contains the
identity transformation as well as the inverse of its elements and their composition. It is
said that the totality of all these transformations forms a symmetry group of a differential
equation F (x, y, y 0(n)) = 0, or a group admitted by this equation if the equation is form
invariant with respect to the group, i.e. F (
x, y, y0, . . . , y(n)) = 0 whenever F (x, y, y 0(n)) =
0.
Lies theory reduces the construction of the largest symmetry group G to the determination of the its infinitesimal transformations,
x
x + (x, y) and y y + (x, y),

(5.4)

defined as the linear parts, with respect to , in the Taylor series expansions of finite transformations of G. It is convenient to represent an infinitesimal transformation by a linear
differential operator

X = (x, y)
+ (x, y)
(5.5)
x
y
called the infinitesimal operator or the generator of the group G. The generator X of the
group admitted by a differential equation is also termed an operator admitted by the equation.
An infinitesimal operator admitted by the differential equation satisfies a system of
linear partial differential equations termed the determining equations of the infinitesimal
symmetries. The chief property of the determining equation is that the vector space of its
solution is closed under the commutator, i.e. the commutator X = [X1, X2] of infinitesimal operators X1, X2 is again an infinitesimal operator admitted by the same differential
equation. In turn, the infinitesimal operators of a given differential euqation form a Lie
algebra.
An essential feature of a symmetry group G is that it conserves the set of solutions of the
differential equation admitting this group. Namely, the symmetry groups merely permute
the integral curves among themselves. It may happen that some of the integral curves are
individually unaltered under G. Such integral curves are termed invariant solutions.
Consider an n-th order ordinary differential equation F (y 0(n)) = 0. Since this equation
does not explicity contain the independent variable x, it does not alter after any transformation x
= x +  with an arbitrary parameter . These transformations form a group known as
the group of translations along the x-axis. In fact, this differential equation is the most general one admitting the group of translations along the x-axis. Moreover, any one-parameter
group reduces, after change of variables, to the group of translations. These new variables,
called canonical variables t and u, are obtained by solving the equations
X(t) = 1 and X(u) = 0

(5.6)

A Survey of Some Results in the LIE Group Analysis

233

Therefore, we have an n-th-order ordinary differential equation F (x, y, y 0(n)) = 0 admitting a one-parameter group reduces to the form G(u, u0(n)) = 0, and hence once can reduce
its order to n 1. In particular, any first-order equation with a known one-parameter symmetry group can be integrated by quadrature using canonical variables. On the other hand,
integrations of the second-order equations require two independent infinitesimal symmetries, i.e. two dimensional Lie algebra, etc.
The great success in integration using symmetries provided Lie with an incentive to
begin the classification of all ordinary differential equations of an arbitrary order in terms of
symmetry groups, and thus to describe the whole set of equations integrable by his methods.
The result of implementing this idea, as it applies, e.g. to second-order equations, was
sensational. At that time, several hundreds of special types of differential equations of the
second order were integrated by ad hoc methods. Lies classification showed that most of
these equations can be integrated by a single method furnished by group theory and that
they can be simplified by a mere change of variables and sorted into only four basic types!
Lies four canonical equations, admitting two-dimensional Lie aglebras, are:
y 00 = f (y 0 ), y 00 = f (x), y 00 =

1
f (y 0), y 00 = f (x)y 0,
x

(5.7)

for arbitrary function f . It is readily seen that each of these equations is integrable by
quadratures.
In 1881, Lie gave a group classification of linear second-order partial differential equations with two independent variables, x and y:
a11 uxx + 2a12uxy + a22 uyy + b1ux + b2 uy + cu = 0,

(5.8)

where the coefficients aij , bi, and c are arbitrary functions of x and y. Lie also developed
a new method for constructing exact solutions known today as invariant solutions. In addition, one can also find, in his papers, many of Lies original ideas on symmetry analysis and
can serve as a concise introduction to practical methods of group classification of partial
differential equations. Finally, for general discussions on applications of Lies theory to
differential equations, see Olver (1986), Ovsyannikov (1982) and Steeb (1996).
5.1.2 Tangent Transformations
In addition to point transformation given early in the last subsection, contact transformations (first-order tangent transformations) have been found to be useful in mechanics, optics
and geometry. Furthermore, Lie showed that the theory of partial differential equations of
the first order reduces to the theory of groups of contact transformations. This is due to
the fact that any first order partial differential equations, F (x, u, p) = 0, can be mapped
into any other equation of the first order, H(x, u, p) = 0, by means of a suitable contact
transformation.
Contact transformations exist, in general, in the case of an arbitrary number of independent variables, but a single dependent variable only. These transformations involve independent variables x, a dependent variable u anad its partial derivatives p. Thus, a contact
) R2n+1 :
x, u
, p
transformation maps the points (x, u, p) R2n+1 into new positions (
x
= f (x, u, p), u = g(x, u, p), p = h(x, u, p),

(5.9)

234

Phillip Yam

such that the transformation satisfies the contact condition


X
X
pi d
xi = (x, u, p)(du
pi dxi ),
d
u
i

(5.10)

where (x, u, p) is an indeterminate multiplier.


Furthermore, contact transformations are of considerable use in the Hamilton-Jacobi
theory of integration of Hamiltons equations of motion and are known in mechanics as
canonical transformations. The latter term reflects the chief property of contact transformations, considered in mechanics, to preserve the canonical form
H
H
dxi
dpi
=
=
and
, i = 1, . . . , n,
dt
pi
dt
xi

(5.11)

of the equations of motion. The crux of the matter is that one can simplifies an arbitrary
Hamilton-Jacobi equation
S
+ H(t, x, 5S) = 0,
(5.12)
t
e.g. reduces it to that with H = 0 by a suitable canonical transformation, and hence
immediately integrates the new canonical equations of motion. It is clear that the inverse
of canonical transformations and their composition are again canonical transformations,
therefore the totality of all canonical transformations constitutes a group. Thus, HamiltonJacobi theory reduces mechanical problems to the theroy of contact transformation groups.
In the case of several dependent variables, contact transformations are trivial, i.e. they
are mere extended point transformations.
The definition of a one-parameter group of point transformations can naturally be generalized to contact transformations depending upon a parameter . Lie showed that all oneparameter groups of contact transformatios are determined by infinitesimal contact transformations
x
i xi + i (x, u, p), u
u + (x, u, p), pi pi + i (x, u, p),
where
i =

W
W
W
W
, = W pi
, i =
+ pi
pi
pi
xi
u

(5.13)

(5.14)

with an arbitrary function W = W (x, u, p) called by Lie, the characteristic function of the
infinitesimal contact transformation.
According to the previous discussions, the variety of contact transformations is confined
to the set of functions W (x, u, p). This set is adequate for a group-theoretic description of
first-order partial differential equations, but it is not sufficient for tackling higher order
equations in a similar way. Therefore, Lie raised the question on the existence of higher
order tangent transformations and emphasized their importance for the theory of higher
order partial differential equations.
Independently, A.V. Backlund encountered the question on whether there are surface
transformations for which the second order tangency conditions,
X
X
ui dxi = 0, dui
uij dxj = 0,
(5.15)
du
i

A Survey of Some Results in the LIE Group Analysis

235

are invariant rather than the first order tangency condition. He investigated this question in
the more general context of arbitrary finite-order tangent transformations of plane curves
and surfaces in a three-dimensional space. However, Backlund came to a negative answer
to this question. When the result was published in 1874, Backlund learned that the idea
underlying the existence of higher order tangent transformations and possible applications
in the theroy of differential equations had been discussed by Lie. This fact encourages him
to prepare and publish in 1876 a revised and enlarged version of his work.
Backlund began with the most general transformations written in the form:
x
i = fi (x, u, u(1), u(2), . . .), u
= g(x, u, u(1), u(2), . . .), i = 1, . . . , n,

(5.16)

where u(1) = {ui }, u(2) = {uij }, . . . are the sets of partial derivatives of the first, second
and higher orders. These transformations are extended to all derivatives through differentiation and elimination to obtain
ij = hij (x, u, u(1), u(2), . . .), . . .
u
i = hi (x, u, u(1), u(2), . . .), u

(5.17)

The resulting extended transformations leave invariant the contact conditions of any order:
X
X
ui dxi = 0, dui
uij dxj = 0, . . .
(5.18)
du
i

Hence, they can be regarded as infinite-order tangent transformations.


The main emphasis of Backlunds work was on the restricted types of extended transformations. He extensively discussed the following two types. The first type comprises those
extended transformations that are closed and invertible in a finite-dimensional space of variables (x, u, u(1), . . ., u(s) ), for some fixed finite s:
= f, u
i1 is = hi1 is ,
x
= g, u
i = hi , . . ., u

(5.19)

where f , g, hi, . . . , hi1is are functions of the variables x, u, u(1), . . . , u(s) only. The point
and contact transformations belong to this type with s = 0 and s = 1, respectively. However, Backlund proved that they are the only possible candidates in this type of transformations. Nevertheless, the limiting case s , i.e. the case of infinite-order tangent
transformations, remains as a possible candidate for a non-trivial generalization of contact
transformations. Backlund himself did not investigate the details of this possibility. The
second type consists of infinite-valued transformations widely known in the literature as
Backlund transformations. Various Backlund transformations were found in later times and
were widely used in problems of geometry and the theroy of differential equations. However, a possible path of generalization provided by infinite-order tangent transformations
was not elaborated until recently. The main obstacle in this direction of study is the fact
that the definition and invertibility test of the extended transformations involving infinitely
many variables are, in general, incomprehensible.
Recently, an attempt was undertaken to tackle the problem by imposing the oneparameter Lie group structures on these transformations and using Lies infinitesimal technique. A Lie group of invertible infinite-order tangent transformations is now termed as
Lie-Backlund transformation group in recognition of the fundamental contribution of Lie

236

Phillip Yam

and Backlund. The extension of point and contact transformation groups to all derivatives
provide examples of Lie-Backlund transformation groups.
In modern group analysis, there exists a variety of so-called generalized symmetries
which generalize Lies infinitesimal operators of point and contact transformation groups.
However, the problem still remains whether these generalized symmetries generate, via the
Lie equations, a group.
The problem thus far is solved for the generalization furnished by Lie-Backlund operators,
n
m
X
X

i
+
j j + ,
(5.20)
X=
xi
u
i=1

j=1

where i , j are arbitrary locally analytic functions of the independent and dependent variables x, u, and of the derivatives u(1) = uji , . . . , u(s) = uji1 is up to a finite order s. The
dots mean that the action of X is extended to all derivatives u(2), u(3), . . .. The main theorem states that a Lie-Backlund operator generates a group of Lie-Backlund transformations
represented by the exponential map:
s s
X (xi ) + ,
s!
s
u
j = eX (uj ) uj + X(uj ) + + X s (uj ) + .
s!
x
i = eX (xi ) xi + X(xi) + +

(5.21)
(5.22)

5.1.3 Modern Theory of Lie Groups


The rich store of results of Lies work remained for a long time the special preserve of
a few. Consequently, symmetry analysis of differential equations laid dormant until the
1950s. In the 1960s, however, the group theoretic approach to differential equations was
restored and tested in new situations. The result was widespread interest and a flurry of
activity in applied group analysis which was regarded as a tool to search for exact solutions
of differential equations as well as conservation laws, in particular first integrals of ordinary
differential equations.
Conservation equations express unalterable laws of nature. Consequently, fundamental
mathematical models are formulated in the form of conservation laws. The concept of a
conservation law generalizes the notion of first integrals of systems of ordinary differential
equations of the first order to arbitrary ordinary and partial differential equations. The term
conservation law is motivated by the conservation of such physical quantities as energy,
monentum, etc. It has been known for a long time that the conservation laws of mechanics
are connected with the symmetry properties of the physical system. E. Noether, in her paper
written in 1918 under the influence of F. Klein, combined the methods of variational calculus with the theory of Lie groups and offer a general approach for constructing conservation
laws for Euler-Lagrange equations when their symmetries are known. The general result
exhibited by the Noether theoremRstates, e.g. in the case of Lagrangian of the first order,
L(x, u, u(1)), that if the integral Ldx is invariant under an infinitesimal transformation
j = uj + j , then the quantities
x
i xi + i , u
Ti = L i +

X
j

(j

X
k

k ujk )

L
j

ui

, i = 1, . . ., n

(5.23)

A Survey of Some Results in the LIE Group Analysis

237

satisfy the conservation equation


Di Ti = 0, i = 1, . . ., n,

(5.24)

whenever the function uj solve the Euler-Lagrange equations:


L
L
Di ( j ) = 0, i = 1, . . . , n
uj
ui

(5.25)

where Di is the total differential operator


Di =

X j
X

+
ui j +
ukij k
xi
u
uj
j

(5.26)

j,k

The application of Lies theory of differential equations to mathematical models in natural sciences has been essentially advanced in the 1960s, to a great extent due to the work of
L.V. Ovsyannikov. For details, see Ovsyannikov (1982). His research has awoken a broad
interest in the subject amongst applied mathematicians. He had supplemented Lies group
classification of linear second-order differential equations in two independent variables and
discovered new invariants of differential equations. Ovsyannikovs invariants are closely
related to the Laplace invariants and are used in modern group analysis, e.g. for the group
theoretic treatment of Riemanns method of solution of Cauchy problem.
Special types of exact solutions, widely known today as invariant solutions, have long
been successfully applied to the analysis of specific problems and were in common use in
mechanics and physics prior to the popularity of group theory. Lie came to these solutions
from the point of view of group invariance and proved the main theorem on invariant solutions of partial differnetial equations. Ovsyannikovs work made it possible to clarify many
intuitive ideas and apply them to numerous equations of mechanics, as a result of which
the method of invariant solutions could be included as an important integral part of modern
group analysis. It was precisely through the concept of an invariant solution that the theater
of action of group analysis shifted in the 1960s from ordinary differential equations to problems of mechanics and mathematical physics. In addition, Ovsyannikov introduced a new
class of solutions called partially invariant solutions. He also suggested to classify all distinctly different invariant and partially invariant solutions by constructing optimal systems
of subalgebras of Lie algebras. Invariant and partially invariant solutions are represented
via invariants. Finally, the search for these types of solutions reduces the total number of
variables of the differential equations under consideration. For example, first order ordinary
differential equations reduce to algebraic equations.
Example 5.1 Consider a partial differential equation of the second order
a11uxx + 2a12 uxy + a22uyy + b1ux + b2uy + cu = 0

(5.27)

where aij , bi, c are arbitrary functions independent of y. Now it is obvious that the equation
admits the following generator with an arbitrary constant :
X=

+ u .
y
u

(5.28)

238

Phillip Yam

The equation X(J) = 0 provides two independent invariants, x and uey . Hence, one
can take invariant solutions in the form u = ey v(x). Then the above partial differential
equation reduces to
a11v 00 + (2a12 + b1)v 02a22 + b2 + c)v = 0

(5.29)

If a11 6= 0, the ordinary differential equation has two linearly independent solutions, v1 =
1 (x, ) and v2 = 2 (x, ), involving . A solution of the original equation containing
to arbitrary functions, f1 () and f2 (), is given by the integral with any constant limits,
1 , 1 , 2 , 2 :
Z 2
Z 1
y
f1 ()e 1 (x, )d +
f2 ()ey 2 (x, )d.
(5.30)
u=
1


When we pass from ordinary to partial differential equations, it becomes impossible
(with rare exceptions) and anyway virtually futile to write out general solutions. But mathematical physics in any case seeks only those solutions that satisfy given boundary conditions. Group invariant solutions can serve in the solution of invariant boundary-value
problem. This application is governed by the following rule.
Invariance principle: If a boundary value problem is invariant under a group G, then we
should seek a solution among functions invariant under G. Here, invariance of a boundary
value problem means that the differential equation, the manifold where the data are given,
and the data themselves are invariant under G.
Invariant solutions are usually regarded to be not particularly useful for solving boundaryvalue problems because arbitrary data are not invariant. It seems that this argument is
irrefutable. However, it was shown recently that the invariance principle furnishes a systematic method suited to purposes of solving linear initial-value problems when it is combined
with the theory of distributions and fundamental solutions. The new approach, however,
necessitates an extension of Lie group methods to differential equations in distribtions. In
this thesis, I investigate this application on solving a number of boundary-value problems
arisen in mathematical finance.
5.2

Lie Groups of transformations and Infinitesimal Transformations

Consider invertible trnsformations in a region D of Rn defined by equations of the form


x
i = fi (x), i = 1, . . . , n,

(5.31)

, x D. We call a transformation to be smooth if it is infinitely dfferentiable. From


where x
hereafter, we shall assume every transformation to be at least smooth.
Definition 5.1 (Group of transformations) A group if transformations in D Rn is a set
G of transformations in the form (5.31) such that it contains the identity transformation, I,
as well as the inverse and the product (composition) of all transformations pertaining to G.
5.2.1. One-parameter Lie Groups of Transformations

A Survey of Some Results in the LIE Group Analysis

239

Definition 5.2 (One-parameter (continuous) group of transformations) Let x lie in a


region D Rn . A group of transformations,
= f (x, ),
x

(5.32)

with each transformation being indexed by  lying in an interval U R, is called a oneparameter (continuous) group of transformation, if the following conditions hold:

(i) f is smooth in both x and .


(ii) The law of composition (, ), , U , is smooth in its arguments.
(iii) There is a unique e in U providing the identity transformation, i.e. f (x, e) = x.
(iv) For any , , we have f 1 (x, ) = f (x, 1 ) and f (f (x, ), ) = f (x, (, )), here
we require ()1 to be a smooth function in U .
If one think of  as a time variable and x as spatial variables, then a one-parameter group of
transformations in effect defines a stationary flow in D. We call the locus traced by a point
x0, a path curve or G-orbit of the point under the action of G.
Definition 5.3 (One-parameter Lie group of transformations) A one-parameter Lie
group of transformations is a one-parameter group of transformations if, in addition, we
have U is itself a group under the law of composition .
Example 5.2 Consider the one-parameter family G of projective transformations T :
x
=

x
1 x

(5.33)

One could immediately verify that G satisfies group axioms formally. Indeed, the consecutive application of two transformations T , T yields
=
x

x
1 ( + )x

(5.34)

However, to conclude that G is a group, we presume that three three expressions, 1


x, 1 x, 1 ( + )x, do not vanish. This simple observation is, however, of fundamental
significance for the theory of Lie group analysis. To discern the true nature of the situation,
let us consider a fixed point x0 > 0 and move along the path curve through x0 when 
ranges over all real numbers from a small interval 0  . Any two transformations
T , T are well defined in the previous interval. but their consecutive application may give
the prohibited value  + = 1/x0. It can be readily seen that iterated multiplication of the
projective transformations inevitably leads to the prohibited value of the group parameter.
One cannot solve the problem by merely fixing a tiny interval, the true nature of the
problem being that the orbit of any point x (excluding the isolated point x = 0) has a
singularity when  = 1/x. 

240

Phillip Yam

This projective group provides an example of what is called a local group, meaning that
the composition is defined only for those transformations sufficiently closed to the identity. The vicinity of the identity transformation, where the composition is determined, may
depend upon a transformed point x. On the other hand, a global group is a transformation group such that the composition of any transformation is defined simultaneously at all
generic points x. A common representative of a global group is the Euclidean group of rigid
motions.
Definition 5.4 (One-parameter connected local Lie group of trasformations) Let x lie
in a region D Rn . A group of transformations,
= f (x, ),
x

(5.35)

with each transformation being indexed by  lying in an interval U R, is called a oneparameter connected local Lie group of trnasformations, if the following conditions hold:
(i) f is smooth in both x and .
(ii) There is a subinterval U 0 U , such that a law of composition (, ) (not necessarily
lie in U 0 but pertain to U ), defined for , U 0 , is smooth in its arguments.
(iii) There is a unique e in U 0 providing the identity transformation, i.e. f (x, e) = x.
(iv) For any , U 0 , we have 1 U 0 and f 1 (x, ) = f (x, 1 ), f (f (x, ), ) =
f (x, (, )), here we require ()1 to be a smooth function in U ,
Consider a one-parameter connected local Lie group G,
= f (x, )
x

(5.36)

Expanding the equation (5.36) with respect to  in a neighborhood of the identity  = e, we


have
= f (x, e) + (x)( e) + O(( e)2)
(5.37)
x
where

f
(x, e)
(5.38)

Now, the linear part of the transformation is called the infinitesimal transformation of the
group G. Geometrically the infinitesimal transformation defines the tangent vector (x), at
the point x, to the G-orbit of x. Therefore, is called the tangent vector field of the group
G.
(x) =

Proposition 5.1 (Lies first fundamental theorem) Let G be a local group of f with infinitesimal transformation . There exists a parameterization () such that the transfor = f (x, ) solve the system of first - order ordinary differential equations, named
mation x
as Lie equations
d
x
= (
x)
d

(5.39)

A Survey of Some Results in the LIE Group Analysis

241

= x when = 0. Conversely, the solution of arbitrary initial value problems of Lie


with x
equations defines a local group of transformations
= f (x, ) defined G. Now, we have an identity
Proof: Suppose x
f (x, (, e + )) = f (f (x, ), e + )

(5.40)

Expanding the left - hand side of (5.40) about  and notice that (, e) = ,

f (x, (, e + )) = f (x, ) +


Since

d
x
((, e + ) (, e)) + O(((, e + ) (, e))2)
d
(5.41)


(, e + ) (, e) =
b

 + O(( )2)

(5.42)

b=e

we can substitute it into the equation (5.42), and hence


 
d
x
 + O(()2 )
f (x, (, e + )) = f (x, ) +
d b b=e

(5.43)

Expanding the right - hand side of (5.40) about e, we get


f (f (x, ), e + ) = f (x, ) + (
x) + O(()2)

(5.44)

Equating the coefficients of the term  in the two expressions (5.43) and (5.44), we get
 
d
x
= (
x)
(5.45)
d b b=e
Denote H() = [/b]b=e; Clearly, H(e) = 1, so by continuity, H 6= 0 near e.
Consider the parameterization (), near e,
Z 
dt
() =
e H(t)

(5.46)

and we substitute it into equation (5.45), we then have


d
x
( = 0) = x
= (
x), x
(5.47)
d
Therefore, the first part of the theorem follows.
To prove the second part of the theorem, it is only needed to verify that the solution
= f (x, ) of the initial value problems of Lie equations,
x
d
x
(0) = x
= (
x), x
d

(5.48)

f (f (x, ), ) = f (x,  + )

(5.49)

satisfies the condition

242

Phillip Yam

Define
u() = f (f (x, ), )

(5.50)

v() = f (x,  + )

(5.51)

Both of them satisfy the initial - value problem:


dw
= (w), w(0) = f (x, )
(5.52)
d
By uniqueness theorem of initial - value problems, u = v in some neighborhood of =
0. 
Definition 5.5 The group parameter is said to be canonical if the composition law reduces
to the addition, i. e. (, ) =  + .
According to the Lies first fundamental theorem, after a suitable reparameterization, we can
make arbitrary composition law reduced to addition. From hereafter, we shall adopt the
canonical parameter when referring to one - parameter groups unless otherwise stipulated.
Consider a one - parameter connected local Lie group with infinitesimal transformation , which is an analytic function. The solution of the corresponding Lie equations will
also be analytic, i. e.
= f (x, ) = x +
x

x
 d
s ds x
|0 + +
|0 +
1! d
s! ds

(5.53)

For any function h(


x), by the chain rule of differentiation,
(

X h
X h
d
xk
dh
)0 =
)0 =
(
)0 (
k
,
d
x
k
d
xk
k

(5.54)

or (dh/d)0 = X(h), where X is the linear partial differential operator of the first order,
called the infinitesimal generator of the connected local Lie group, defined by
X=

X
k

xk

(5.55)

It is evident that X(x) = . Consequently, one obtains, by repeated differentiations:


(

ds x
)0 = X s (x)
ds

(5.56)

Hence, we have

s
X(x) + + X s (x) +
1!
s!
Thus we proved the following proposition.
= x+
x

Proposition 5.2 Let eX be the operator defined by the power series expansion:

(5.57)

A Survey of Some Results in the LIE Group Analysis



s
2
X + X2 + + Xs +
1!
2!
s!
The one - parameter connected local Lie group of transformations is equivalent to
eX = 1 +

= eX (x)
x

243

(5.58)

(5.59)

Definition 5.6 A function F (x) is called an invariant of a connected local Lie group G
of transformarions if F remains unaltered when one moves along any path curve of the
group G. In other words, F is an invariant if F (f (x, )) = F (x) identically in x and  in a
neighborhood of  = 0.
It should noted that for any given invariant F , any function (F ) is also an invariant.
Proposition 5.3 A smooth function F is an invariant of the group G with infinitesimal
generator X if and only if it solves the homogeneous linear partial equation
X(F )

X
k

F
=0
xk

Proof: As a direct consequence of propositions 4.8.

(5.60)

Proposition 5.4 Any one - parameter connected local Lie group G of transformations has
precisely n 1 functionally independent invariants. Any set of independent invariants,
1 , . . . , n1 , is termed a basis of invariants of G. Of course, basis need not be unique.
One can find a basis, by finding n1 independent first integrals of the characteristic system
for equation
dx1
dxn
= =
1
n

(5.61)

An arbitrary invariant F of G is given by the formula


F = (1 , . . ., n1 )
Proof: As a direct consequence of propositions 4.10 and 5.3.

(5.62)


Definition 5.7 Given a connected local Lie group G, canonical variables x0 are defined by
the condition that G reduces to translations, e. g. in the direction of the x0n -axis:
0n1 = x0n1 , x0n = x0n + 
x
01 = x01 , . . . , x

(5.63)

Proposition 5.5 For any one - parameter connected local Lie group, there exists a set of
canonical variables
Proof: As a direct consequence of propositions 4.12 and setting = 1. 
Consider a system of s equations in Rn :

244

Phillip Yam
F (x) = 0,

= 1, . . ., s,

(5.64)

where x Rn and s < n. We impose the condition that the Jacobian matrix (F/x) is of
rank s, at all points x satisfying the system of equations. The collection of all solutions of
the system of equations is an (n s) -dimensional manifold M Rn .
Definition 5.8 The system (5.64) is said to be invariant with respect to a connected local
= f (x, ), or the system admits G, if
Lie group G of transformations x
F (
x) = 0, = 1, . . ., s,

(5.65)

whenever x solves the system (5.64). Geometrically, it means that transformations of the
group G carry any point of the variety M along this variety. In order words, the path curve
of the group G passing through any point x M lies in M . Consequently, M is termed an
invariant manifold for G.
Proposition 5.6 A system of equations F (x) = 0, = 1, . . ., s, is invariant under the
group G with infinitesimal generator X if and only if
XF (x) = 0, = 1, . . ., s

(5.66)

whenever x solves the system of equations.


Proof: For details, see Olver (1986). 
Consider a connected local Lie group of transformations of the form

f (x, )

(5.67)

g(x, )

(5.68)

and act on space of n + m variables x = (x1, . . . , xn ) and u = (u1, . . . , um ), where x


corresponds to the n independent variables and u corresponds to the m dependent variables
appearing in a given system of differential equations. A group of transformations is said to
be admitted by the system if the group induces a mapping that maps any solution u = (x)
of the system into another solution of the same system and leaving the system invariant
in the sense that it reads the same in terms of the transformed variables for any solution
u = (x). In addition, the derivatives of the dependent variables u with respect to the
independent variables x are transformed naturally in order to preserve contact conditions.
For k 1, let u(k) denote the set of coordinates corresponding to all kth order partial
derivatives of u with respect to x; a coordinate in u(k) is denoted by u
i1 i2 ...ik with =
1, 2, . . ., m and ij = 1, 2, . . . , n, j = 1, . . . , k. Before proceeding further, the following
notations are very convenient:
Definition 5.9 The total differential operator is given by the following formal infinite sums:
Di =

X
X

+
u
+
u
+
i
ii1

xi
u
u
i1

,i1

(5.69)

A Survey of Some Results in the LIE Group Analysis

245

where i = 1, . . . , n. The total differential operator Di acts on functions involving any finite
number of variables x, u, u(1), . . . . For simplicity, in the case with one dependent and
independent variables, the total differential operator is denoted by
D=

+ + yn+1
+
+ y1
+ y2
x
y
y1
yn

(5.70)

In studying the invariance properties of a kth order ordinary differential equation


with independent variable x and dependent variable y, we are aim to find an admitted one parameter Lie group of transformations of the form:
x
= f (x, y, )

(5.71)

y = g(x, y, )

(5.72)

where y = y(x). We naturally extend the group action to (x, y, y1, . . . , yk ) -space, by
demanding each transformation preserves the contact conditions:
dy = y1 dx
dyk = yk+1 dx,

(5.73)

k = 1, 2, . . .

(5.74)

In other words, the transformed derivatives yk , k = 1, 2, . . . are defined successively by


d
y = y1 d
x

(5.75)

x
d
yk = yk+1 d

(5.76)

Therefore, we have the following relations


Proposition 5.7 A one - parameter connected local Lie group of transformations
x
= f (x, y, )

(5.77)

y = g(x, y, )

(5.78)

can be extended to its kth extension, k 1, which is a one - parameter connected local Lie
group of transformations acting on (x, y, y1, . . ., yk ) -space, such that:
x

= f (x, y, )
= g(x, y, )

yi = gi (x, y, y1, . . . , yi, ) =

(5.79)
(5.80)
Dgi1
, i = 1, 2, . . ., k,
Df

(5.81)

where g0 = g(x, y, ).


Suppose that the one - parameter connected local Lie group of transformations

246

Phillip Yam
x
= f (x, y, )

(5.82)

y = g(x, y, )

(5.83)

has infinitesimal generator


X = (x, y)

+ (x, y)
x
y

(5.84)

and the corresponding kth extension has the infinitesimal generator

X (k)

+ (x, y)
+ (1) (x, y, y1)
x
y
y1

,
+ + (k) (x, y, y1, . . . , yk )
yk

(x, y)

(5.85)

where k = 1, 2, . . .. Then, the explicit formulas for the extended infinitesimal (k) can be
found recursively according to the following proposition.
Proposition 5.8 For (0) = (x, y), we have
(k) (x, y, y1, . . ., yk ) = D(k1) yk D(x, y),

k = 1, 2, . . .

(5.86)

In particular, we have the first three infinitesimals as


(1)

(2)

=
=

x + (y x )y1 y (y1 )2,

(5.87)
2

xx + (2xy xx )y1 + (yy 2 xy )(y1 )

(5.88)

yy (y1 )3 + (y 2 x)y2 3y y1 y2 ,
(3)

xxx + (3xxy xxx )y1 + 3(xyy xxy )(y1)2

(5.89)

+ (yyy 3 xyy )(y1)3 yyy (y1 )4 + 3(xy xx)y2


+ 3(yy 3 xy )y1 y2 6yy (y1)2 y2 3 y (y2)2
+ (y 3 x)y3 4y y1 y3 .
Proof: For details, see Olver (1986).

Proposition 5.9 For k = 2, 3, . . . , we have (k) being linear in yk . Furthermore, (k) is


also a polynomial in y1 , y2, . . . , yk whose coefficients are linear homogeneous in and
up to their kth order partial derivatives.
Proof: For detail, see Olver (1986). 
In studying invariance properties of a kth order partial differential equation with
dependent variables u and independent variables x = (x1, x2, . . . , xn), we are naturally led to the problem on finding the extension of transformations on (x, u) -space to

A Survey of Some Results in the LIE Group Analysis

247

(x, u, u(1), . . . , u(k)) -space. Consider a one - parameter connected local Lie group of transformations

= f (x, u, )

(5.90)

= U (x, u, )

(5.91)

acting on (x, u) -space which preserves the contact conditions


du =

ui dxi , , dui1i2 ij =

ui1 i2 ...ij i dxi ,

(5.92)

where j = 1, 2, . . ., k 1 and il = 1, 2, . . . , n. Accordingly, the transformed derivatives


u
(k) , k = 1, 2, . . ., are defined successively by
d
u=

u
i d
xi , , d
ui1 i2 ...ij =

u
i1 i2 ...ij i d
xi ,

(5.93)

Proposition 5.10 The corresponding kth extension to (x, u, u(1), . . . , u(k)) -space of the
one - parameter connected local Lie group of transformations (5.90 - 91) is given by

f (x, u, )

(5.94)

U (x, u, )

(5.95)

u
i1 i2 ...ij

Ui1 i2 ...ij (x, u, u(1), . . . , u(j), )

(5.96)

such that

u
i1 i2 ...ik1 1
u
i1 i2 ...ik1 2
..
.
u
i1 i2 ...ik1 n

u
1
u
2
..
.

u
n

U1
U2
..
.

= A1

Un

Ui1 i2 ...ik1 1
Ui1 i2 ...ik1 2
..
.
Ui1 i2 ...ik1 n

D1U
D2U
..
.
Dn U

= A1

D1Ui1 i2 ...ik1
D2Ui1 i2 ...ik1
..
.
Dn Ui1 i2 ...ik1

(5.97)

(5.98)

where A is given by the n n matrix (Di fj ).


Proof: For details, see Olver (1986). 
Consider a one - parameter connected local Lie group of transformations acting on
(x, u) -space with infinitesimal generator
X=

X
i

i (x, u)

+ (x, u) .
xi
u

(5.99)

248

Phillip Yam

The explicit formulas for the extended infinitesimals (k) of the corresponding kth extension
with infinitesimal generator

X (k) =

X (1)

+
+ (x, u)
i (x, u, u(1))
xi
u
ui
i
i
X (k)

i1 i2 ...ik
, k = 1, 2, . . .
++
ui1 i2 ...ik

i (x, u)

(5.100)

i1 i2 ik

is given by:

Proposition 5.11

(k)

i1 i2 ik1 1

(k)
i i i 2
1 2 k1

..

.
i1 i2 ik1 n

(1)

1
(1)
2
..
.
(1)

D1
D2
..
.
Dn

(k1)

D1i1 i2 ik1


(k1)

D2i1 i2 ik1
=
..


.

(k1)
Dn i1 i2 ik1

u1
u2
..
.
un

ui1 i2 ik1 1

ui i i 2

1 2 k1
B
..

ui1 i2 ik1 n

(5.101)

(5.102)

where i1 = 1, 2, . . . , n, for l = 1, 2, . . ., k 1 with k = 2, 3, . . . and the n n matrix


B = (Di j ). In particular, we have the infinitesimals, up to order 2, as:

A Survey of Some Results in the LIE Group Analysis

(1)

+[
1 ]u1 2 u2 1 (u1 )2 2 u1 u2,
x1
u x1
x1
u
u
2

1
2

(u2 )2 1 u1 u2,
=
+[
]u2
u1
x2
u x2
x2
u
u
2
2
2
2


2

= 2 + [2
]u1
u2 + [

2 1 ]u11
x1u
u
x1
x1
x21
x21
2
2 1
22

2 2 u12 + [ 2 2
](u1)2 2
u1 u2
x1
u
x1u
x1u
2 1
22

(u
)

(u1 )2u2 3 1 u1u11 2 u2u11


1
2
2
u
u
u
u
2
u1 u12,
2
u
(2)
= 21

1 =
(1)

(2)

11

(2)

12

249

(5.103)
(5.104)
(5.105)

(5.106)


2
1
+[
]u2 + [
]u1

x1 x2
x1u x1x2
x2u x1x2

2 u22 + [
1 2 ]u12 1 u11
x1
u x1 x2
x2
2
2
2
2
2

1
2 1
2

(u2)2 + [ 2

]u1 u2
(u1 )2
x1u
u
x1u x2 u
x2u

21

22 u1 (u2 )2
(u1 )2u2 2 2 u2u12 2 1 u1 u12
2
u
u
u
u
1
2
u2 u11
u1 u22,

u
u
2
2
21

22

= 2 + [2
]u

u1 + [
(5.107)

2 2 ]u22
2
2
2
x2u
u
x2
x2
x2
x2
2
2
2 1

uu1u2
2 1 u12 + [ 2 2
](u2)2 2
x2
u
x2u
x2
2 2
21

(u
)

u1 (u2 )2 3 2 u2u22 1 u1u22


2
2
2
u
u
u
u
1
u2 u12.
2
u
=

(2)

22

Proof: For details, see Olver (1986).

5.2.2 Multi - parameter Lie groups of Transformations and Lie Algebras


So far we have only considered one - parameter Lie groups of transformations. In this
subsection, we discuss some key results pertaining to multi - parameter Lie groups of transformations. From hereafter, we assume only a finite number r of parameters. Each parameter of an r -parameter Lie group of transformations leads to an infinitesimal generator.
These infinitesimal generators belong to an r -dimensional linear vector space on which
there is an additional structure, called the commutator. This special vector space is called a
r -dimensional Lie algebra.

250

Phillip Yam
For an r -parameter connected local Lie group of transformations,
= f (x, ),
x

(5.108)

where  = (1, . . . , n ). Let the law of composition of parameters be denoted by


(, ) = (1(, ), . . ., n (, ))

(5.109)

where , being analytic in its domain of definition, satisfies the group axioms with 0 corresponding to the identity.
Proposition 5.12 (Lies first fundamental theorem) The r-parameter connected local Lie
group of transformations is equivalent to the solution of the initial - value problem for the
system of nr first order partial differential equations in some neighborhood of  = 0:

x
1
1

..
.

x
1
r

..
.

x
n
1

x
n
r

x)
= ()(

..
.

(5.110)

= x at  = 0 where is the r n infinitesimal matrix with entries


with x
j (x) =

x
j
|=0


(5.111)

for = 1, 2, . . ., r, j = 1, 2, . . ., n and is the r r matrix


() = (
Proof: For details, see Olver (1986).

(, )
|=0 )1

(5.112)

Definition 5.10 The infinitesimal generator X, corresponding to the parameter  of the


r-parameter connected local Lie group of transformations, is
X =

n
X

j (x)

j=1

, = 1, 2, . . . , r,
xj

(5.113)

Proposition 5.13 The r-parameter Lie group of transformations is equivalent to both


= e
(i) x

Pr

(5.114)

e X x,

(5.115)

=1

where , 1 , . . ., r are arbitrary constants.


=
(ii) x

r
Y
=1

where 1 , . . . , r are arbitrary real constants.


Proof: For details, see Olver (1986).

A Survey of Some Results in the LIE Group Analysis

251

Definition 5.11 (Lie algebra) A Lie algebra L is a vector space over some field F in which a
bilinear composition [x, y], called a Lie bracket or commutator, is defined for any x, y L,
i.e. [x, y] L. In addition, the Lie commutator satisfies the following conditions:
(i)
[1 x1 + 2 x2 , 1 y1 + 2 y2 ] = i,j=1,2 i j [xi, yj ]
(ii) [x, x] = 0
(iii) [[x, y], z] + [[y, z], x] + [[z, x], y] = 0
for any x, xi, y, yi, z L and i , i F, i = 1, 2. The third condition is often called the
Jocobi identity.
Definition 5.12 Given an r-parameter connected local Lie group of transformations with
infinitesimal generators X, = 1, 2, . . ., r,. The commutator of X and X is another
first order operator
[X,X ] = XX X X =

n
X

j=1

,
xj

(5.116)

where
j =

n 
X
i=1

j
j
i
i
xi
xi

(5.117)

Proposition 5.14 (Lies second fundamental theorem) The commutator of any two infinitesimal generators of an r-parameter Lie group of transformations is also an infinitesimal generator, in particular
[X, X ] =

C
X

(5.118)

are constants called the structure constants, , , = 1, 2, . . . , r.


where the coefficient C
Hence the infinitesimal generators X form an r-dimensional Lie algebra over the real
field.

Proof: For details, see Olver (1986).


(k)

(k)

Proposition 5.15 Let X , X be the kth extended infinitesimal generators of the infinitesimal generators X, X and let [X, X ](k) be the kth extended infinitesimal gener(k)
(k)
ator of the commutator [X, X ]. Then [X, X ](k) = [X , X ], k = 1, 2, . . ..
Proof: For details, see Olver (1986).

Definition 5.13 A subspace J L is called a subalgebra of the Lie algebra L if J itself is


a Lie algebra under the induced Lie commutator from L.
5.3 Lie Group Analytical Approach for Valuation of Financial Derivatives
Consider a kth order partial differential equation represented by
F (x, u, u(1), u(2), . . . , u(k)) = 0.

(5.119)

252

Phillip Yam

Definition 5.14 A one-parameter connected local Lie group of transformations


= f (x, u, )
x
u
= U (x, u, )

(5.120)

leaves the partial differential equation (5.119) invariant if and only if its kth extension
leaves the surface F = 0 invariant.
Proposition 5.16 Given a one - parameter connected local Lie groups of transformations
having
X

X=

i (x, u)

+ (x, u)
xi
u

as its infinitesimal generator with


X
X (1)

X (k) =
i (x, u)
+ (x, u)
i (x, u, u(1))
+
xi
u
xi
i
i
X (k)

i1 ,i2 ,...,ik (x, u, u(1), . . ., u(k))


++
ui,i2 ,...,ik

(5.121)

(5.122)

i1 ,...,ik

as the kth extended infinitesimal generator. The Lie group leaves the equation (5.119)
invariant if and only if X (k)F = 0 whenever F = 0.
Proof: For details, see Olver (1986).

Definition 5.15 u = (x) is an invariant solution of F = 0 corresponding to a one parameter connected local Lie group of transformations admitted by this equation of and
only if
(i) u = (x) is an invariant manifold of the Lie group.
(ii) u = (x) solves F = 0.
Proposition 5.17 Suppose that f is a function not depending on ui1...i . A kth order partial
differential equation (k 2)
ui1 ...i1 = f (x, u, u(1), u(2), . . . , u(k))

(5.123)

admits an infinitesimal generator


X=

i (x, u)

+ (x, u)
xi
u

(5.124)

if and only if
(l)

i1 ...il =

f X (1)
f
+
j
+
xj
u
uj
j

+ +

X
j1 ,...,jk

(k)

j1 ...jk

f
uj1 ...jk

(5.125)

A Survey of Some Results in the LIE Group Analysis

253

whenever ui1 ...ik = f . In addition,


(p)
(i)
j1 ...jp is linear in the components of u(p) if p 2;
(ii)

(p)

j1 ...jp is a polynomial in the components of u(1), . . . , u(p) whose coefficients


are linear homogeneous in i and and in their partial derivatives with
respect to (x, u) of order up to p.

Proof: For details, see Olver (1986). 


If f is a polynomial in the components of u(1) , . . ., u(k), then the equation (5.125) is a
polynomial equation in u(1), . . . , u(k) whose coefficients are linear homogeneous in i ,
and in their partial derivatives up to kth order. Clearly, at any point x, one can assign an arbitrary values to each u, u(1), . . . , u(k) provided the partial differential equation ui1 ...il = f
is satisfied; In other words, one can assign any values to u, u(1), . . . , u(k) except to the coordinates ui1 ...il . Therefore, after replacing ui1 ...,il , the resulting polynomial equation must
holds for arbitrary values of u(1), . . . , u(k). Consequently, the coefficients of the polynomial must vanish separately, resulting in a system of linear homogenous partial differential
equation for n + 1 functions i and . This resulting system is called the set of determining
equations for the infinitesimal generator X admitted by ui1 ...il = f . In general, there are
usually more than n + 1 determining equations, hence the set of determining equations is
an overdetermined system. For f is non - polynomial function, one can still break up the
equation
(l)

i1 ...il =

X (k)
f
f
f
+
j1 ...jk
++
xi
u
uj1 ...jk

(5.126)

j1 ...jk

into a system of linear homogeneous partial differential equations for i and by using
similar arguments.
(l)

Proposition 5.18 Suppose ui1 ...il = f is of order k 2 and is a linear partial differential
equation which admits infinitesimal generator
X=

X
i

+ .
xi
u

(5.127)

for i = 1, 2, . . ., n

(5.128)

Then
i
=0
u
2
=0
u2

hence for n = 2, the infinitesimal generator in of the form.

X = 1 (x1, x2)

+ 2 (x1, x2)
+ [f (x1, x2)u + g(x1, x2)] .
x1
x2
u

According to the proposition 5.11, we get

(5.129)

254

Phillip Yam

(1)
1
(1)

(2)

11



g
f
1

u1 2 u2
=
+
u+ f
x1 x1
x1
x1


g
f
1
2
u2
=
+
u
u1 + f
x2 x2
x2
x2


2g 2 f
f
2 1
2 2
u
= 2+
u
+
2

u2
1
x1
x1 x21
x21
x21



+ f 2 1 u11 2 2 u12
x1
x1

(2)

(2)

12 =21

(2)

2f

f
1
u1
u+

x1x2 x1x2
x2 x1x2


f
22

u2 2 1 u11
x
x1x2
x2
 1

1
2

+ f

u12 2 u22
x1 x2
x1


2
2
2
g f
1
f
22
u2
= 2+
u
u1 + 2

x2
x2 x22
x22
x22


1
2
u22 .
2
u12 + f 2
x2
x2

22

2g

(5.130)
(5.131)
(5.132)

(5.133)

(5.134)

Proof: For details, see Ovsyannikov (1982). 


Consider a boundary value problem of a kth order partial differential equation in
the form F (x, u, u(1), . . . , u(k)) = 0 defined on a domain x in x-space with boundary
conditions
B (x, u, u(1), . . . , u(k1)) = 0

(5.135)

prescribed on boundary surfaces


(x) = 0,

(5.136)

where = 1, 2, . . ., s. From hereafter, we only deal with those boundary values problems
having unique solutions. Therefore, the invariant solution is precisely the unique solution.
Definition 5.16 An infinitesimal generator X is said to be admitted by the boundary value
problem (5.135 - 136) if and only if
(i) X (k)F = 0 whenever F = 0
(ii) X = 0 whenever = 0, for = 1, 2, . . ., s.
(iii) X (k1)B = 0 whenever B = 0 on = 0, for = 1, 2, . . ., s.
Proposition 5.19 Suppose that the boundary value problem (5.135 - 136) admits
a one - parameter connected local Lie group of transformations.
Let =

A Survey of Some Results in the LIE Group Analysis

255

(1(x), 2(x), . . ., n1 (x)) be n 1 independent group invariants of the Lie group depending only on x. Let (x, u) be a group invariant of the Lie group such that
u 6= 0.
Then (5.135 - 136) reduces to
G(, , (1), . . . , (k)) = 0

(5.137)

defined on some domain in -space with boundary conditions


C (, , (1), . . . , (k1) ) = 0

(5.138)

prescribed on boundary surfaces


() = 0

(5.139)

for some G, C, , for = 1, 2, . . ., s. In particular, if the infinitesimal generator is of


the form
X=

i (x)

+ f (x)u .
xi
u

(5.140)

u
then = g(x)
for a known function g and hence an invariant solution arising from X is of
the separated form

u = g(x)()

(5.141)

for an arbitrary function of = (1 (x), 2 (x), . . ., n1 (x)).


Proof: For details, see Ovsyannikov (1982). 
The Constant Elasticity of Variance (CEV) model with time - dependent model parameters for a standard European call option is described by the boundary value problem
2V
1
V
V
+ 2 (t)S
r(t)V = 0
+ (r(t) d(t))S
t
2
S 2
S
with boundary condition
V (S, T ) = (S S0 )

(5.142)
(5.143)

precribed on boundary surface


tT

(5.144)

S0
where is the Dirac -function, T is the expiry date and S0 is the strike price.
Firstly, for ease of calculation, we transform the boundary value problem to standard
form, by incorporating the transformation:
V
S

V e(t)

Se

(t)

(t)

(5.145)

256

Phillip Yam

where , and are determined as follow:


V
t
V
S
2V
S 2

=
=
=





V
V

+ S V e(t)

t
S

V (t) (t)
e e
S
2V (t) 2 (t)
(e ) e
S2

(5.146)
(5.147)
(5.148)

On substituting (5.146 - 148) into (5.142), we have

V
2 V
1
V

S ( + r)V = 0
+ 2(t)e(2)(t) S 2 + (r d + )

t
2
S
S

(5.149)

Choosing , , and such that:

= (r d)
= r
1
= 2 (t)e(2)(t)
2

Zt T

Zt
t

r d dt0

r dt0
1 2 0(2)(t0) 0
(t
dt
2

Equation (5.149) can now be reduced to


2 V
V
= S 2

t
S
In addition, the original boundary condition and surface are now transformed to:
0) = (S S0 )
V (S,

(5.150)

(5.151)

and
t
S

0
0

respectively.
t by x2 in (5.150),
For the sake of reference, we replace V by u, S by x1 and
i.e.
2u
u
= x1 2
x2
x1
or

(5.152)

A Survey of Some Results in the LIE Group Analysis


u2 = x1u11

257
(5.153)

According to the proposition 5.17, the system of determining equations can be found from:
(1)

(2)

2 = x1
1 1 u11 + x1 11
(1)

(5.154)

(2)

According to the proposition 5.18, 2 , 11 and the infinitesimal generator L are given by:


g
f
1
2
u2
=
+
u
u1 + f
x2 x2
x2
x2


2g 2 f
f
2 1
2 2
(2)
22 = 2 +
u
+
2

u2
u
1
x1
x1 x21
x21
2x21



1
u11 2 2 u12
+ f 2
x1
x1

d
L = 1
+ 2
+ (f u + g)
x1
x2
u
(1)
2

(5.155)
(5.156)

(5.157)

On substituting (5.155 - 156) into (5.154), we get




f
1
2
g
+
u
u1 + f
u2
x2 x2
x2
x2
=x1
1 1 u11
 2





g 2f
f
2 1
2 2
1
2
u
u
+ x1
+
u
+
2

u
+
f

2
u
1
2
11
12
x1
x1
x1
x21 x21
x21
x21






2g
2f
f
2 1
g
f

+ x1 2
u + 2x1
0 = x1 2
x1
+ 1 u1
2
x2
x1
x2
x
x1 x2
x1


 1 2



1
u11
+ x1
f 2 u2 + x1
1 1 + x1 f 2x1
2
x1
x2
x2


2
u12
+ 2x1
x1
Since u2 = x1u11 , therefore (5.154) is equivalent to
 

2
g
f
f
+ x1 2
u

0=
x2
x1 x2


2
1
f
1
u1
+ 2x1
x1 2 +
x1
x2
x1


2 2
1
2
1
u11
+ x2
+
x
+
x

2x
1
1
1
1
1
x21
x2
x1


2
+ 2x1
u12
x1


2g
x1 2
x1

(5.158)

258

Phillip Yam

On equating the coefficients of u and the derivatives of u to zero, we get the system of
determining equations:
2g
g
= x1 2
(1)
x2
x1
f
2f
(2)
= x1 2
x2
x1

f
2
(3)
2x1
= x1 21 1
x1
x2
x1
2

1
2 2
(4)
x1

2x
=
x
x1 2
1
1
1
1
2
x1
x2
x1
2
(5)
=0
x1
On solving this system, we get

1
(c1x2 + c2 )x1
2
x2
c1 2 + c2x2 + c3
2

2


1 1
1
1
2
c1 x1
c1 x2 + c4

2 2
2 2
0

(5.159)
(5.160)
(5.161)
(5.162)

where c1 , c2, c3 and c4 are undetermined constants.


The invariance of boundary condition and surfaces imposes further restriction on these constants ci s
(i) The condition x1 > 0 implies 1 (0, x2) = 0 no restriction.
(ii) The condition x2 > 0 implies 2 (x1, 0) = 0 c3 = 0
(iii) The condition u(x1, 0) = (x1 x
1 ), where 0 < x
1 < implies
f (x1 , 0)u(x1, 0)

1 )
f (x1, 0)(x1 x

1 (x1, 0)0(x1 x
1 )

1 (x1, 0) (x1 x
1 )

Equation (5.163) is satisfied if


i. 1(
x1 , 0) = 0 i.e.

1
c2 x
1 = 0
2
c2 = 0
1
1
c1 (0) = 0
(
x1, 0) =
ii. f (
x1 , 0) =
x1
2

2
1
1

c1x
2
+ c4 = 0
1
2 2 
2
1
1
c1x
2
c4 =
1
2 2
Hence, we have

(5.163)

A Survey of Some Results in the LIE Group Analysis

1
(c1x1 x2)
2
x2
c1 2
2

1 1 2 2 1 1
1 1 2 2
1
(
) x
x2 (
) x1
c1
2 2
22
2 2

259

(5.164)
(5.165)
(5.166)

and the infinitesimal generator

1
x2
x1 x2
+ 2
(5.167)
2
x1
2 x2


1 1 2 2
1 1 2 2 1 1

1 (
+
(
) x
)x2 (
) x1
u
2 2
2 2
2 2
u

According to the proposition 5.19, the corresponding invariant solution is




u=

1
2

x2
Denote

2
x1 2
x2

2

1 2 1 2
x1 2
2
exp (
(
x
+ x1 ) F (
)
)
2 x2 1
x2

(5.168)

by z. Now, the partial derivatives of u can be rewritten as:




1
1 2 1 2
u
2
= 1 exp (
(
x
+ x1 ) .
)
x2
2 x2 1
2
x2

1 1
2
2
2
1 2 x

x1
+ x1
0
) ( 1

F +(
)F

2 x2
2
x22
x22

1 2 1 2
2
exp (
(
x
+ x1 ) F
)
2 x2 1
x22


2
1
2
1 2 1 2
1
2
2
)
+
x
exp (
(
x
+ x1 ) F 0
1
+1 2
2
2 x2 1
2
x2

1
u
=
x1
2

2u
x1 2
x1

x1
1
+1 1

1
1
2


1 2 1 2
2
)
exp (
(
x
+ x1 )
2 x2 1

x2

1 2 1 2
1 2
1 1
F +(
) 2 x1 F 2 x1 2 F 0

2 x2
2 x2
x2

2
2 2
2 2 1 00
1 2 0
+
F +(
(
1) x1
) 2F
2
2
x2
2
x2

(5.169)

(5.170)

(5.171)

260

Phillip Yam

On substituting (5.170) and (5.171) into (5.153), we get


1 1 0
) F x
2
F =0
(5.172)
1
2 z
which is a modified Bessel equation of the second type and its solution is readily be found
in any standard table of Bessel functions. For a general discussion on Bessel equations, see
Watson (1952). Therefore, the explicit pricing formula for a European call option is:
F 00 + (1

Pc (S, t)

Se

RT
t

d(t0 )dt0

X
1
z n ez
G(n + 1 +
, )
(n + 1)
2

(5.173)

n=0

S0 e

RT
t

r(t)0 dt0

z n+ 2 ez
G(n + 1, )
1
(n + 1 + 2
)
n=0

where

S 2 e(2)
(2 )2

(5.174)

(2)

G(a, )

S0
(2 )2
Z
1
a1 e d.
(a)

(5.175)
(5.176)

REFERENCES
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Black, F. (1975), Studies of stock price volatility changes, Proceedings of the Centre
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Black, F. and Scholes, M. (1973), The pricing of options and corporate liabilities.
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ocker, T. and Dieck, T. T. (1985), Representations of Compact Lie groups , GTM98,
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261

Cox, J. C. and Ross, S. A. (1976), The valuation of options for alternative stochastic
processes, J. Fin. Econ., 3, pp.145 - 166.
Cox, J. C., Ross, S. A., and Rubinstein, M. (1979), Option pricing: A simplified
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Goldenberg D. H. (1991), A unified method for pricing options on diffusion processes,
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Heaton, J., and Lucas, D. (1996), Evaluating the effects of incomplete markets for
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Hull, J. (1997), Options, futures and other derivatives , 3rd ed. Prentice Hall, Englewood
Cliffs (New Jesey).
Jacobson, N. (1979), Lie Algebras, Dover
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Lauterbach, B. and Schultz, P. (1990), Pricing warrants: An empirical study of
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Merton, R. C. (1973), Theory of rational option pricing, Bell J. Economics
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Oksendal, B. (1998), Stochastic Differential Equations: an introduction with
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In: Group Theory


Editor: Charles W. Danellis, pp. 263-297

ISBN 978-1-60876-175-3
c 2010 Nova Science Publishers, Inc.

Chapter 9

O N G RAPH G ROUPOIDS : G RAPH G ROUPOIDS AND


C ORRESPONDING R EPRESENTATIONS
Ilwoo Cho
Saint Ambrose University, Department of Mathematics, 421 Ambrose Hall,
518 W. Locust St., Davenport, Iowa, 52803, U. S. A.

Abstract
We consider countable directed graphs and their corresponding graph groupoids,
and the canonical representations of them. The study of representations of graph
groupoids is based on the observation of the canonical representations of categorical
groupoids. The substructures of a fixed graph groupoid are considered, and the corresponding sub-representations. In particular, we observe the representations and the
corresponding von Neumann algebras of (i) the subgroupoids induced by the towers
of full-subgraphs, (ii) the quotient groupoids, induced by the full-subgraph-inclusion,
and (iii) graph fractaloids which are the graph groupoids with fractal property.

Key Words: Connected Directed Graphs, Groupoids, Graph Groupoids, Full-Subgraphs,


Subgroupoids, Quotient Graphs, Quotient Groupoids, Graph Fractaloids, Canonical Representations, Groupoid W -Algebras, Graph von Neumann Algebras. Subject Classification:
05C99, 18B40, 47A99.
In this paper, we consider the canonical representations of groupoids. We restrict our
interests to the case where we have groupoids induced by countable directed graphs, called
the graph groupoids, and their canonical representations.
Throughout this paper, let G be a countable directed graph. We consider G as a combinatorial object (V (G), E(G), s, r), consisting of the vertex set V (G), the edge set E(G),
the source map s, and the range map r. In particular, the maps s and r are defined from
E(G) to V (G), completely dependent upon the direction on G. For instance, if an edge e
has its initial vertex (or the source) v, and its terminal vertex (or the range) v 0, then s(e) = v
and r(e) = v 0. Remark that, here, the vertices v and v 0 are not necessarily distinct in V (G).

Email address: chowoo@sau.edu

264

Ilwoo Cho

We construct an algebraic structure G from this combinatorial object G. This algebraic


structure G of G is called the graph groupoid of G (See below). In [3] through [18], we
introduced graph groupoids and we investigate some operator algebraic application of them.
Also, in [20] and [22], the general (categorical) groupoids are introduced and considered.
In fact, all our graph groupoids are groupoids, but the converse does not hold true. In this
paper, we will concentrate on observing certain pure algebraic properties induced by graph
groupoids. Such algebraic properties can be explained canonically by the certain natural
representations of graph groupoids.
One of the most interesting algebraic properties of graph groupoids would be their substructures and certain quotient structures induced by them, which are known little (Also,
see [11] and [7]]). Groupoids are not groups, however, they are group-like structures.
Roughly speaking, they are group-like structures having multi-units. In fact, all groups
are groupoids. So, it is natural to consider the certain generalized group-like properties in
the study of groupoids. Then, how can we construct the subgroupoids of graph groupoids,
and the quotient groupoids from graph groupoids? And how their corresponding representations work? In this paper, we answer these questions.
In [12] through [15], other representations of graph groupoids are considered. In particular, the representations for the fixed operator algebra B(H), where certain graph groupoids
are acting on, are observed, where H is a separable infinite dimensional Hilbert space. We
realized that the C -subalgebras of B(H), generated by (finitely many) partial isometries
are -isomorphic to groupoid C -algebras, where the groupoids are the graph groupoids,
induced by partial isometries. However, in this paper, we will concentrate on the canonical
representations of graph groupoids and the corresponding graph von Neumann algebras, as
in [3] through [11], and [16], [17], and [18].
In [16], and [18], we observed the fractal property on graph groupoids. We call the
graph groupoids with the fractal property the graph fractaloids. In Section 5, we introduce
what we found in [16], [17], and [18], in representation theory point of view.
Throughout this paper, we will restrict our interests to the cases where we have countable connected directed graphs. i.e., for any pair of distinct vertices, we can have at least
one reduced finite path connecting them (See Section 2).The general disconnected case
can be regarded as the direct sum of connected case, by our representations. This means
that it suffices to consider connected case.
In Section 1, we introduce the categorical groupoids and their canonical representations.
In Section 2, we define graph groupoids and their canonical representations which are our
main objects of this paper. In Section 3, we consider the towers (or the chains) of fullsubgraphs of a fixed connected directed graph and their canonical (sub-)representations.
Also, we introduce the corresponding graph von Neumann algebras. In Section 4, the algebraic, and operator-algebraic quotient structures induced by graph groupoids are observed.
With respect to these structures and the representations, we realize that the interesting (freeprobabilistic) W -algebraic structures are embedded in our graph von Neumann algebras,
in general. In the final section, we consider the connected finite directed graphs generating graph fractaloids. Also, their canonical representations are reviewed.
Most of the results in this paper are recently known (See [3] through [11], and [16]
through [18]). But we approach these known results in the sense of representation theory. In
particular, they are re-explained or re-proven by the canonical representations of (general)

On Graph Groupoids: Graph Groupoids and Corresponding Representations

265

groupoids in the sense of Section 1.

1.

Groupoids

In this section, we introduce categorical groupoids and the corresponding canonical representations of them.

1.1.

Groupoids

Lets define the categorical groupoids in the sense of [20].


Definition 1..1 We say an algebraic structure (X , Y, s, r) is a (categorical) groupoid if
it satisfies (i) Y X , and (ii) for all x1 , x2 X , there exists a partially defined binary
operation (x1, x2 ) 7 x1 x2 , for all x1 , x2 X , depending on the source map s and the
range map r satisfying the following:
(ii-1) the operation x1 x2 is well-determined, whenever s(x1 ) = r(x2) Y.
(ii-2) the operation (x1 x2 ) x3 = x1 (x2 x3 ) is defined, if the constituents are welldetermined in the sense of (ii-1), for x1, x2 , x3 X ,
(ii-3) if x X , then there exist y, y 0 Y such that s(x) = y and r(x) = y 0, and satisfies
x = y 0 x y,
(ii-4) if x X , then there exists a unique groupoid-inverse x1 satisfying x x1 = r(x)
and x1 x = s(x), in Y.
By definition, we can conclude that every group is a groupoid (X , Y, s, r) with |Y| =
1 (and hence s = r on X ). The subset Y of X is said to be the base of X . Remark that
we can naturally assume that there exists the empty element in a groupoid X , to avoid the
partially-definedness of the binary operation on X (See [3] through [18]). i.e., by adding
the empty element in X , the binary operation on it is totally-defined. Roughly speaking,
the empty element means the element in X , representing the products x1 x2 , which are
not well-defined in the sense of the above definition, for x1 , x2 X . Notice that if |Y| = 1
(equivalently, if X is a group), then the empty word is not contained in the groupoid X .
However, in general, whenever |Y| 2, a groupoid X always has the empty word . So, if
there is no confusion, we automatically assume that the empty element is contained in X .
Let Xk = (Xk , Yk , sk , rk ) be groupoids, for k = 1, 2. We say that a map f : X1 X2
is a groupoid morphism, if (i) f (Y1 ) Y2 , (ii) s2 (f (x)) = f (s1 (x)) in X2 , for all x X1 ,
and (iii) r2 (f (x)) = f (r1 (x)) in X2 , for all x X1 . Thus it is natural that f () = , by
the definition of f. If a groupoid morphism f is bijective, then we say that f is a groupoidisomorphism, and that the groupoids X1 and X2 are groupoid-isomorphic . Assume that if f
: X1 X2 is a groupoid-isomorphism, then
f (x1 x2) = f (x1 ) f (x2) in X2 , for all x1 , x2 X .
Let X = (X , Y, s, r) be a groupoid. We say that this groupoid X acts on a set X,
if there exists a groupoid action of X such that: (i) (x) : X X is a well-defined
function, and (ii) (x1 x2) = (x1) (x2 ) on X, for all x1 , x2 X , where () means the

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Ilwoo Cho

usual composition. Sometimes, we call the set X, a X -set. We are interested in the case
where a X -set X is a Hilbert space.
Let X1 X2 be given and assume that Xk = (Xk , Yk , s, r) are groupoids, for k = 1, 2.
If Y1 = X1 Y2 , then the groupoid X1 is said to be a subgroupoid of X2 .
Assume that X1 and X2 are groupoids and suppose X1 is a subgroupoid of X2 . If X1
satisfies the following relation in X2 :
x X1 x1 X1 , for all x X2 ,
then as usual, we can construct the quotient structure X2 / X1 , algebraically. This
structure X2 / X1 is called the quotient groupoid (Also, see [22] and [7]).

1.2.

Canonical Representations of Groupoids

For any given groupoid X , we can have the corresponding canonical representation (H, L),
where H is a Hilbert space and L is a groupoid action of X , acting on H. The construction
of the representations is a natural extension of that of groups. Fix a groupoid X = (X , Y,
s, r). Define a Hilbert space H by

H = y YC y (x X \ (Y {})C x ) = x X \ {} C x .
i.e., define H by the Hilbert space with its Hilbert basis { x : x X \ {}}. This Hilbert
space H is called the groupoid Hilbert space of X .
Remark that the Hilbert basis elements {x }xX \{} satisfies the following multiplication rule:

if x1 x2 6=
x1 x2
x1 x2 =
def =0H otherwise,
for all x1 , x2 X . By the above multiplication rule on the Hilbert basis of H, we can
define the operators Lx on H, for all x X , where Lx is the multiplication operator on H,
with its symbol x , for all x X . It is easy to check that
Lx1 Lx2 = Lx1 x2 , for all x1 , x2 X ,
and
Lx = Lx1 , for all x X .
Therefore, if y Y X , then Ly is a projection on H, since
Ly = Ly1 = Ly = Ly2 = L2y .
And hence, if x X \ Y, then Lx is a partial isometry on H, since
Lx Lx = Lx1 Lx = Lx1 x
and

On Graph Groupoids: Graph Groupoids and Corresponding Representations

267

Lx Lx = Lx Lx1 = Lxx1 ,
for all x X . Recall that, for any x X , the elements x1 x and x x1 are contained
in the base Y of X , so, Lx1 x and Lxx1 are projections on H.
Define now a groupoid action
L : X B(H)
by
L(x) def = Lx , for all x X ,
where Lx is the multiplication operator on H, with its symbol x , for all x X . This is
a well-defined action of X , acting on H, since L(x) = Lx is a (bounded) operator in B(H),
and it satisfies that
L(x1x2 ) = Lx1 x2 = Lx1 Lx2 = L(x1) L(x2 ) on H,
for all x, x1 , x2 X . This groupoid action L of X , acting on H, is called the canonical
(left) action of X .
Definition 1..2 Let X be a groupoid and let H be the groupoid Hilbert space and L, the
canonical action of X , acting on H. Then the pair (H, L) induced by X is called the
canonical (left) representation of X .
By the above canonical representation of a groupoid X , each element x of X can be
understood as an operator Lx in B(H). In particular, the C -subalgebra C (X ) of B(H),
generated by {Lx : x X } is called the groupoid C -algebra of X (See [20]), and the W subalgebra vN (X ) of B(H), generated by {Lx : x X } is called the groupoid W -algebra
of X . We are interested in the von Neumann algebras generated by groupoids.
Let Xk be groupoids, and (Hk , L(k)), the corresponding canonical representations of
Xk , for k = 1, 2. We say that the representations are equivalent, if there exists a groupoid
(2)
(1)
isomorphism : X1 X2 such that L(x) and Lx are unitarily equivalent, for all x X1 .

2.

Representations of Graph Groupoids

In this section, we construct the graph groupoids from the given countable directed graphs.
Also, we construct the suitable canonical representations of graph groupoids.

2.1.

Graph Groupoids

Let G be a countable directed graph with its vertex set V (G) and its edge set E(G). Denote
the set of all finite paths of G by F P (G). Clearly, the edge set E(G) is contained in F P (G).
Let w be a finite path in F P (G). Then it is represented as a word in E(G). Conversely, if
e1 , ..., en are connected directed edges (in the order of indices) in E(G), for n N, then
we have a finite path w = e1 ... en in F P (G). If there exists a finite path w = e1 ... en in

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Ilwoo Cho

F P (G), then we say that the directed edges e1 , ..., en are admissible (or connected in the
order (e1 , ..., en )) and then the length |w| of w is defined to be n, which is the cardinality
of the admissible edges generating w. Also, we say that finite paths w1 = e11 ... e1k1 and
w2 = e21 ... e2k2 are admissible (or connected in the order (w1, w2)), if w1 w2 = e11 ...
e1k1 e21 ... e2k2 is again in F P (G), where e11 , ..., e1k1 , e21 , ..., e2k2 E(G). Otherwise,
we say that w1 and w2 are not admissible. By definition, |w1w2| = |w1 | + |w2 | , whenever
w1 and w2 are admissible in F P (G), for w1, w2 F P (G). Suppose that w is a finite path
in F P (G) with its initial vertex v1 and its terminal vertex v2 . We will write w = v1 w or w
= w v2 or w = v1 w v2 , for emphasizing the initial vertex of w, respectively, the terminal
vertex of w, respectively, both the initial vertex and the terminal vertex of w. Suppose w =
v1 w v2 in F P (G), with v1 , v2 V (G). Then we say that v1 and w are admissible and
w and v2 are admissible.
Notice that even though finite paths w1 and w2 are admissible, w2 and w1 are not admissible, in general. For instance, if e1 = v1 e1 v2 is an edge with v1 6= v2 in V (G) and
e2 = v2 e2 v2 is a loop-edge in E(G), then there is a finite path e1 e2 in F P (G), but there
is no (nonempty) finite path e2 e1 in F P (G). This example shows that, in general, the
admissibility on the set V (G) F P (G) is partially defined.
The free semigroupoid F+ (G) of G is defined by a set
F+ (G) = {} V (G) F P (G),
with its binary operation () on F+ (G), defined by

w1

w1
w2
(w1, w2) 7 w1 w2 =

w w

1 2

ifw1 = w2inV (G)


ifw1 F P (G), w2 V (G)andw1 = w1w2
ifw1 V (G), w2 F P (G)andw2 = w1w2
ifw1 , w2inF P (G)andw1w2 F P (G)
otherwise,

where is the empty word in V (G) E(G). The binary operation on F+ (G) is called
the admissibility. i.e., the algebraic pair (F+ (G), ) is the free semigroupoid of G. For
convenience, we denote the free semigroupoid of G, simply by F+ (G). (In fact, there are
free semigroupoids which do not contain the empty word. For instance, if a graph G is a
one-vertex-N -loop-edge graph with N -loop-edges, for N N, then the free semigroupoid
F+ (G) of G does not contain the empty word, because all finite paths are admissible from
each other via the unique vertex of G. But, in general, if the vertex set V (G) of G contains
more than one vertex, then the empty word is always contained in F+ (G). So, we assume
automatically that free semigroupoids contain the empty word, if there is no confusion.)
For the given countable directed graph G, we can define a new countable directed graph
G1 which is the opposite directed graph of G, with
V (G1 ) = V (G) and E(G1) = {e1 : e E(G)},
where e1 E(G1) is the opposite directed edge of e E(G). i.e., if e = v1 e v2
with v1 , v2 V (G), then e1 = v2 e1 v1 with v2, v1 V (G1 ) = V (G). The graph
G1 is called the shadow of G. Similar to the previous paragraph, we can construct the

On Graph Groupoids: Graph Groupoids and Corresponding Representations

269

set F P (G1 ) of all finite paths on G1 and the free semigroupoid F+ (G1 ) of G1 . The
admissibility on F+ (G1) is oppositely preserved by that on F+ (G). In other words, if
there is a finite path w in F+ (G), then there is the corresponding shadow w1 in F+ (G1 ),
and vice versa. More precisely, if w = e1 ... en in F P (G), then there always exists a unique
1
1
shadow w1 = e1
n ... e1 of w in F P (G ), and vice versa. It is trivial that
(G1 )1 = G.
Definition 2..1 Let G be a countable directed graph and let G1 be the shadow of G. The
countable directed graph G is called the shadowed graph of G if it is a directed graph
with its vertex set
V (G) = V (G) = V (G1 ),
and its edge set
E(G) = E(G) E(G1).
Remark that even though E(G) = E(G) E(G1),
F P (G ) 6= F P (G) F P (G1 ),
1
1
in general. Suppose that e1 e2 F P (G) and e1
2 F P (G ). Then e1 e2 e2
F P (G ), but it is contained in neither F P (G) nor F P (G1 ). So, in general,


F P (G ) F P (G) F P (G1 ) .
Therefore, the free semigroupoid F+ (G) satisfies that

F+ (G) F+ (G) F+ (G1 ) ,
too. Now, we will define the graph groupoid of G.
Definition 2..2 Let G be a countable directed graph and G , the shadowed graph of G,
and let F+ (G) be the free semigroupoid of G . Define the reduction (RR) on F+ (G) by
(RR)
ww1 = v and w1 w = v 0,
whenever w = vwv 0 in F P (G ) with v, v 0 V (G ). The set F+ (G) with this reducing

relation (RR) is denoted by F+


r (G ) and this set with inherited admissibility from F (G )

is called the graph groupoid of G. Denote this algebraic pair (F+


r (G ), ), simply by G. Let

w G \ {} be an element satisfying w
/ V (G ). Then we will say that w is a reduced
finite path. The subset G \ (V (G ) {}) of G is said to be the reduced finite path set of
G, and we denote it by F Pr (G).

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Ilwoo Cho

Let e1 , e2 E(G) and assume e1 e2 F P (G) F P (G ). Then we have a finite path


1

w = e1 e2 e1
2 in F P (G ) F (G ). Under the reduction (RR), the element e2 e2 is
1
+
identified with the initial vertex of e2 , and hence the finite path w = e1 e2 e2 in F (G) is
1
+

e1 (e2 e1
2 ) = e1 in Fr (G ). i.e., the finite path w = e1 e2 e2 in F (G ) is identified with
the reduced finite path e1 in G. This shows that even though we use the same notation w1
w2 for the product of w1 and w2 in G, this notation w1 w2 means the reduced product of
w1 and w2, under (RR).
Notice that all elements in the graph groupoid G can be regarded as the reduced words
in E(G), under the reduction (RR).
In fact, the graph groupoid G is a (categorical) groupoid with its base V (G), in the
sense of Section 1.1. Now, we will define a certain inside structure of graph groupoids.
Definition 2..3 Let G be a countable directed graph and G, the graph groupoid of G.
Suppose X1 and X2 are subsets of G and assume that Xk are self-adjoint in the sense that
Xk = Xk1, where Xk1 = {w1 : w Xk }, for k = 1, 2. Define the subset X1 X2 of G
by the set consisting of all reduced words in X1 X2 . Let X1 X2 be the subset of G and
assume that it has the inherited admissibility on G. Then the algebraic structure (X1 X2,
) is called the (reduced) free product of X1 and X2, inside G. For convenience, we denote
(X1 X2, ) simply by X1 X2.
Let X1 and X2 be self-adjoint subsets of G. Then the free product X1 X2 inside G is
regarded as the sub-structure of G. Notice that if either X1 or X2 is not self-adjoint in G,
then the pair X1 X2 is not a substructure of G, in general.
Proposition 2..1 Let G be a countable directed graph with its graph groupoid G, and let X
be a self-adjoint subset of G. Suppose the set X is the subset of G consisting of all reduced
words in X. Then there exists a graph GX having its graph groupoid X.
Proof. Construct the sets
V0 = V (G ) X,
V1 = {v V (G) : w = vw or w = wv, w X}
and
E0 = F Pr (G) X.
Construct a graph GX with its vertex set V (GX ) = V0 V1 and its edge set E(GX ) =
E0. Then we can have a graph GX having its shadowed graph GX . The choice of GX is
not unique. This graph GX has its graph groupoid X.
The above proposition means that a subset X of a graph groupoid G, consisting of all
reduced words in an arbitrary self-adjoint subset X, is regarded as an other graph groupoid
of a certain directed graph GX , and the graph GX is induced by G, as a part of it.
Let X1 and X2 be self-adjoint subset of G. Then the free product X1 X2 inside G is
also regarded as a graph groupoid of a certain directed graph, by the previous proposition.
Notice that all the admissibility of such structures are depending on the admissibility on G.
The following theorem provides the algebraic structure theorem of graph groupoids.
Theorem 2..2 Let G be a countable directed graph with its graph groupoid G. Then G =
e E(G) Xe , where Xe = {e, e1 }, for all e E(G). Equivalently, if Xe is the collection
of all reduced words in Xe , for e E(G), then G = e E(G) Xe .

On Graph Groupoids: Graph Groupoids and Corresponding Representations

271

Proof. By definition, the free product G = e E(G) Xe is a sub-structure of the graph


groupoid G. So, it is sufficient to show that G is a sub-structure of G. To show that we need
to show all elements in G are the alternating product of Xe s, for e E(G). Let v V (G)
G. Then v G, since if e = v e v 0 is an edge in E(G) with v, v 0 V (G), then e e1 = v
in Xe G. Assume now that w = et11 ... etnn F Pr (G ) G, where e1, ..., en E(G) and
t
t1 , ..., tn {1, 1}, for n N. Then w is contained in j = 1n Xej G, since ejj Xej ,
for any tj {1, 1}, for j = 1, ..., n. Finally, let be the empty word of G. Suppose e =
v e v 0 E(G) with v 6= v 0 V (G). Then the sub-structure Xe contains the empty word ,
since v v 0 = = v 0 v. Therefore, G. Therefore, set-theoretically, G G. By definition
of Free Product Inside a Graph Groupoid, G has the same admissibility with G. Thus the
algebraic structures G and G are identical.
Definition 2..4 Let G be the graph groupoid of a directed graph G, and let Xe and Xe be
given as in the previous theorem, for all e E(G). Then the subsets Xe of G consisting of
all reduced words in Xe are called the (reduced) free blocks of G.
Let e E(G) and let Xe and Xe be given as above. Then the substructure Xe of G
is either the set Z of all integers or Xe {, v, v 0}, set-theoretically. In particular, if e is
a loop-edge, then Xe is identical to Z, and if e is a non-loop edge, then it is identical to
the set Xe {, v, v 0}, where v and v 0 are the initial and the terminal vertices of e, in G.
The above theorem shows that every graph groupoid is a free product of certain free blocks.
And we can characterize the free blocks Xe of G as follows:
Theorem 2..3 Let e E(G) and let Xe and Xe be given as above. Then Xe is a substructure of G, under the inherited admissibility on G, and it is either the infinite cyclic Abelian
group Z or the graph groupoid Ge of the two-vertices-one-edge graph Ge , as an algebraic
structure.
Proof. Fix an edge e E(G), and let Xe = {e, e1 } and Xe , the collection of all reduced
words in Xe , under the inherited admissibility on the graph groupoid G of G. There are two
cases where e is a loop-edge and where e is a non-loop edge.
Assume that e = v e v is a loop-edge with v V (G). Then we have
Xe = {ek : k Z},
set-theoretically. Thus the substructure Xe of G can be regarded as the cyclic group
< e > generated by the generator e. (See (1) of Example 1.1) It is a group-isomorphic to
Z.
Assume now that e = v1 e v2 is a non-loop edge with v1 6= v2 V (G). Notice that e
and itself is not admissible, and hence, in general, em = , whenever m N \ {1}. And,
by (RR) on G, we have that e e1 = v1 and e1 e = v2 . So, the substructure Xe is identical
to
{, v1, v2 } Xe ,

272

Ilwoo Cho

set-theoretically. Construct the one-edge graph Ge with V (Ge ) = {v1 , v2 } and E(Ge)
= {e = v1 e v2 }. Then the graph groupoid Ge of Ge is identified with Xe , as algebraic
structures.
The above theorem provides the full characterization of free blocks Xe s of the graph
groupoid G, for e E(G). Now, we can understand the graph groupoid G as a free product
of the free blocks Xe s, for all e E(G), where Xe s are completely characterized by the
above theorem. Also, by the previous two theorems, we can have the following isomorphism theorem for graph groupoids.
Theorem 2..4 (See [4] and [5]) Let G1 and G2 be countable directed graphs with their
graph groupoids G1 and G2 , respectively. If G1 and G2 have graph-isomorphic shadowed
graphs G1 and G2 , then G1 and G2 are isomorphic, as graph groupoids. 
Example 2..1 (1) Let Ge be an one-edge graph with V (Ge ) = {v, v 0 } and E(Ge) = {e =
v e v 0 }, where v and v 0 are not necessarily distinct. Assume that v = v 0, and denote it by
v0 . Then the only edge e of Ge is a loop-edge. So, we can find that the graph groupoid Ge
of G is determined by
Ge = {en : n G, e0 def = v0 }.
Notice that the graph groupoid Ge does not contain the empty word, since all reduced
words (the vertex and the reduced finite paths) in V (G) E(G) are admissible from each
other via v0 . We can easily check that Ge satisfies that:
(i) (ek1 ek2 ) ek3 = ek1 +k2 +k3 = ek1 (ek2 ek3 ), for all k1, k2 , k3 Z,
(ii) ek v0 = ek = v0 ek , for all k Z,
(iii) For any ek G \ {v0}, there exists unique ek such that ek ek = v0 = ek ek ,
for all k Z, and
(iv) ek1 ek2 = ek1 +k2 = ek2 +k1 = ek2 ek1 , for all k1 , k2 Z.
By (i) (iv), the graph groupoid Ge is an Abelian group. Furthermore, as a group, it
is cyclic, because it is generated by e. i.e., Ge = < e > . This shows that Ge is the infinite
Abelian cyclic group. Therefore, Ge is group-isomorphic to Z.
Assume now that v 6= v 0 in V (Ge ). Then we can have that
Ge = {} {v, v 0 } {e, e1 },
by the reduction (RR).
(2) Let GN be the one-vertex-N -loop-edge graph with V (GN ) = {v} and E(GN ) =
{ej = v ej v : j = 1, ..., N }, for N N \ {1}. The case where N = 1 is observed in (1). The
graph groupoid GN of GN is a group < e1 , ..., eN > generated by E(GN ). Notice that,
by the admissibility on GN , GN does not contain the empty word. By the previous theorem,
the graph groupoid GN is the free product j = 1N Xej , where Xej are the subset of G
consisting of all reduced words in {ej , e1
j }, for all j = 1, ..., N. We can regard each Xej
as a graph groupoid of certain directed graph. In fact, Xej is the graph groupoid of the
one-edge graph Gej with V (Gej ) = {v} and E(Gej ) = {ej }, for all j = 1, ..., N. By (1),
Xej s are group-isomorphic to Z, for all j = 1, ..., N. Therefore, the graph groupoid GN
of GN is identified with

On Graph Groupoids: Graph Groupoids and Corresponding Representations

273

N timesZ
{z Z}.
| ...........
By the definition of the reduced free product inside graph groupoids, it is the group free
product, in this case. Therefore, GN is a group, moreover, it is group-isomorphic to the free
group FN with N -generators.
Notice that, if two countable directed graphs G1 and G2 are graph-isomorphic, via a
graph-isomorphism g : G1 G2 , in the sense that: (i) g is bijective from V (G1) onto
V (G2), and (ii) g is bijective from E(G1) onto E(G2), and (iii) g(e) = g(v1 e v2 ) = g(v1)
g(e) g(v2) in E(G2), for all e = v1 e v2 E(G1), with v1 , v2 V (G1), then the graph
groupoids G1 and G2 are groupoid-isomorphic.
More generally, if G1 and G2 have graph-isomorphic shadowed graphs G1 and G2 , via
a graph-isomorphism h : G1 G2 , then G1 and G2 are groupoid-isomorphic. Indeed, we
can create the groupoid-isomorphism : G1 G2 determined by

(w) def =

h(w)

ifw V (G1 ) E(G1)

h(e1)...h(en )

if w = e1...en F Pr (G1)
withe1 , ...,en E(G1),
f orn N \ {1},

in G2 , for all w G1 . This groupoid-isomorphism is called the groupoidisomorphism induced by a graph-isomorphism h.


Recall that a graph G1 is a full-subgraph of G, if
E(G1) E(G),
and
V (G1) = {v, v 0 V (G) : e = v e v 0, e E(G1)}.
Let G1 be the graph groupoid of a full-subgraph G1 of G. Then G1 is a subgroupoid of
G, in the sense of Section 1. Remark the difference between subgraphs and full-subgraphs:
we say that G2 is a subgraph of G, if
V (G2) V (G)
and
E(G2) = {e E(G) : e = v e v 0, with v, v 0 V (G2)}.
By definition, all subgraphs are full-subgraphs.

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Ilwoo Cho

2.2.

Canonical Representations

By the very definition of graph groupoids, all graph groupoids are (categorical) groupoids
in the sense of Section 1. Indeed, if G is the graph groupoid of a countable directed graph
G, then the quadruple G = (G, V (G), s, r) is a groupoid, where s and r are the extended
source map, respectively, the extended range map on G, defined by
s(w) = s(vw) = v and r(w) = r(wv 0) = v 0,
for all w = v w v 0 G, with v, v 0 V (G) = V (G), where G is the shadowed graph
of G.
Since G is a groupoid in the sense of Section 1, we can construct the canonical representation (HG , L) of G. The groupoid Hilbert space HG of G is defined by


HG = v V (G)C v w F Pr (G)C w ,
where

F Pr (G) def = G \ V (G) {}
is the reduced finite path set in G. To emphasize that this groupoid Hilbert space HG is
induced by a graph G, we call HG the graph Hilbert space, as in [3] and [4]. The canonical
(left) action L of G is also similarly determined;
L(w) def = Lw , for all w G,
as the multiplication operator on HG , with its symbol w .
Notation The canonical representation (HG , L) of a graph groupoid G is called the
canonical (graph) representation of G (or G). 
The following theorem provides the characterization on graph representations.
Theorem 2..5 Let G1 and G2 be graphs. If they have graph-isomorphic shadowed graphs
G1 and G2 , then the canonical representations (HGk , L(k) ) of Gk are equivalent, for k =
1, 2.
Proof. Since the shadowed graphs G1 and G2 are graph-isomorphic, the graph groupoids
G1 and G2 are groupoid-isomorphic. Indeed, if g is a graph-isomorphism, then there exists
the groupoid-isomorphism g induced by g.
Let G be a graph with its graph groupoid G, and let (HG , L) be the canonical representation of G. Then the groupoid W -algebra vN (G) is well-defined, as a W -subalgebra of
the operator algebra B(HG ).
w

Definition 2..5 Let vN (G) = C[L(G)] be the groupoid W -subalgebra of B(HG ). We


call vN (G), the graph von Neumann algebra of G. For convenience, we denote vN (G) by
MG .

On Graph Groupoids: Graph Groupoids and Corresponding Representations

275

Recently, the graph von Neumann algebras have been studied (See [3], [4], [5], [7]
through [11], [16], [17], and [18]). For the readers, we refer [4], for the basic graph von
Neumann algebra theory. The following proposition is the direct consequence of the previous theorem.
Proposition 2..6 (Also, see [3] and [4]) Let G1 and G2 be directed graphs and assume that
G1 and G2 have the graph-isomorphic shadowed graphs. Then the graph von Neumann
algebras MG1 and MG2 are -isomorphic. 
Recall that the graph groupoid G of a graph G is the free product of the free blocks
Xe of G, where Xe s are the subgroupoid of G, consisting of all reduced words only in {e,
e1 }, for all e E(G). So, we have that
w

MG def=C[L(G)] = C[G]



w
w
= C [e E(G)Xe ] = e E(G)rDG vN C[Xe ] , DG

= e E(G)rDG Me ,
by [3] and [4], where DG is the diagonal subalgebra of MG , defined by
DG def = v V (G) (C Lv ) MG
and where


w
Me def = vN C[Xe] , DG , for all e E(G),
where vN (S1, S2 ) means the von Neumann algebra generated by the sets S1 and S2.
Notice that the symbol rDG means the amalgamated reduced free product with amalgamation over DG . Therefore, we obtain the following theorem.
Theorem 2..7 (See [3] and [4]) Let MG be the graph von Neumann algebra of G. Then
MG is -isomorphic to the DG -valued reduced free product algebra of W -subalgebras


w
Me def = vN C[Xe ] , DG , for all e E(G),
where the reduction is totally depending on the admissibility on G. 
Actually, the proof is not easy because we need the amalgamated free probability background. However, the meaning of the above theorem is simple. The free block structures
of graph groupoids effect the operator algebraic free block structures of the von Neumann
algebras generated by graph groupoids. However, we need to keep in mind that the operator
algebraic freeness is determined with the amalgamations.

276

Ilwoo Cho

2.3. Connected Graphs


Let G be a countable directed graph with its graph groupoid G. We say that the graph G
is connected, if, for any pair (v1 , v2) of distinct vertices v1 and v2 in V (G), there always
exists at least one reduced finite path w F Pr (G) G, such that w = v1 w v2 and w1
= v2 w1 v1 . Otherwise, we say that G is disconnected.
Suppose a graph G is disconnected. Then there exists t N and the family G = {G1,
..., Gt} of full-subgraphs Gj of G, for j = 1, ..., t, such that: (i) Gj s are the connected
full-subgraphs, (ii) V (G) = j = 1tt V (Gj ), (iii) E(G) = j = 1tt E(Gj ), (iv) G is the
minimal family satisfying the conditions (i), (ii), and (iii), where t means the disjoint
union. Notice that such a minimal family exists, by the axiom of choice. The elements of
G are called the connected components of G.
Let G be a disconnected graph with its connected components G1 , ..., Gt , for t N \
{1}. Then the shadowed graphs G of G is also disconnected with its connected components G1 , ..., Gt , where Gj are the shadowed graphs of Gj , for all j = 1, ..., t. Therefore,
we can have that:
Lemma 2..8 Let G be the graph groupoid of a disconnected graph G, and assume that G
has its connected components G1, ..., Gt , for t N \ {1}. Then the graph groupoid G is
decomposed by
G = j = 1tt Gj ,
where Gj are the graph groupoids of Gj , for all j = 1, ..., t. 
By the above lemma, we can obtain the following theorem.
Theorem 2..9 Let G be a directed graph with its connected components G1 , ..., Gt , for t
N, and let G be the graph groupoid of G. Then the canonical representation (HG , L) of G
satisfies that:
P
HG = j = 1t HGj and L = j = 1t LGj ,
where (HGj , LGj ) are the canonical representations of the graph groupoid Gj of Gj ,
for all j = 1, ..., t. 
The following corollary is the direct consequence of the previous theorem.
Corollary 2..10 Let G be a graph with its graph groupoid G, and let (HG , L) be the
canonical representation of G. Assume that G is a graph with its connected components
w
G1, ..., Gt . Then the graph von Neumann algebra MG = C[L(G)] of G is -isomorphic
w
to j = 1t MGj , where MGj = C[L(Gj )] are the graph von Neumann algebras of Gj ,
for all j = 1, ..., n. 
By the previous theorem and corollary, we can realize that it is sufficient to consider
connected graphs.
Assumption In the rest of this paper, we restrict our interests to the case where we have
connected directed graphs. All graphs are automatically assumed to be connected, if there
is no special cases. 

On Graph Groupoids: Graph Groupoids and Corresponding Representations

3.

277

Subgroupoids Induced by Full-Subgraphs

Throughout this section, let G be a connected countable directed graph. Define the collecG
by the set of all connected full-subgraphs of G, containing the trivial graphs,
tion Gconnet
G
consisting of only one vertex. Let G0 Gconnect
be a trivial full-subgraph of G with V (G0)
0
= {v}, and E(G ) = , where means the empty set. Denote G0 by Gv . Similarly, if G00
G
Gconnect
be an one-edge full-subgraph of G with V (G00) = {v, v 0 } and E(G00) = {e}, for
e E(G), then we denote G00 by Ge . Here, remark that the vertices v and v 0 of Ge are not
necessarily distinct. For example, if e is a loop-edge, then v = v 0 in V (Ge ).
G
Define the partial ordering on Gconnect
by
G1 G2 def G1 is a full-subgraph of G2 ,
G
G
for all G1 , G2 Gconnect
. The pair (Gconnect
, ) is a POset (or a partially ordered set ).
G
Then we can take a subset {G1, ..., Gk } of Gconnect , satisfying that

G1 G2 ... Gk .
Then, such a subset {G1 , ..., Gk } is called a chain (or a totally ordered subset ) of
G
. In particular, under the above setting, we say that G1 is the minimal element of the
Gconnect
chain {G1, ..., Gk }, and Gk is the maximal element of the chain {G1, ..., Gk }. To emphasize
the totally ordering relation on the chain {G1, ..., Gk }, we denote it by [G1, ..., Gk ].
Example 3..1 Let G be the one-flow circulant graph with
V (G) = {v1, v2 , ..., vn },
and
E(G) = {ej = vj ej vj+1 : j = 1, ..., n, with vn+1 def = v1 }.
G
Then we can take a chain [G1, G2 , ..., Gn ] in Gconnect
such that

G1 = Gv1 , G2 = G[v1 ,v2 ], G3 = G[v1 ,v2 ,v3 ],


, Gn1 = G[v1 ,...,vn ] , and Gn = G,
where G[v1 ,...,vk ] are the full-subgraphs of G with
V (G[v1 ,...,vk ] ) = {v1, ..., vk },
and
E(G[v1,...,vk ] ) = {e1, ..., ek1 },
where ei = vi ei vi+1 , for all i = 1, ..., k, for all k = 1, ..., n.
G
Let [G1, ..., Gk ] be a chain of Gconnect
, for an arbitrary fixed connected graph G. Then
the graphs G1 , ..., Gk generate the tower of graphs, in the sense of [11]: a tower of graphs

278

Ilwoo Cho
G1 G2 ... Gn ,

for n N, is the set of graphs G1, ..., Gn , satisfying the (full-subgraph) partial ordering
, as above, up to graph-isomorphisms. (Notice that, in [11], we do not assume the connectedness on graphs. However, as we assumed before, all our graphs are connected, by
G
Section 2.3.) i.e., for any chain [G1, ..., Gk ] of Gconnect
, we can have the tower of graphs
G1 G2 ... Gk ,
determined by the partial ordering . By [11], we can obtain the following result.
G
be a chain. Then the canonical representations
Theorem 3..1 Let [G1 , ..., Gk ] Gconnect
Gj
(HGj , L ) of Gj s are the sub-representations of the canonical representation (HG , LG )
of G, satisfying that:

HGj Subspace HG , and LGj = LG |Gj ,


for all j = 1, ..., k, where Gj are the graph groupoids of Gj . 
By the previous theorem, we can get the tower of von Neumann algebras,
MG1 MG2 ... MGk ,
G
whenever we have a chain [G1, ..., Gk ] of Gconnet
. Moreover, all graph von Neumann

algebras MGj are the W -subalgebras of the graph von Neumann algebra
w

MG = C[LG(G)] of G, in B(HG ),
G
,
where (HG , LG ) is the canonical representation of G. Indeed, if [G1, ..., Gk ] Gconnect
then we have the corresponding towers

G1 G2 ... Gk
of (connected) shadowed graphs, and hence we obtain the towers
G1 Subgroupoid G2 Subgroupoid ... Subgroupoid Gk
of graph groupoids, where Gj are the graph groupoids of Gj , for all j = 1, ..., k.
Therefore, by the previous theorem, we have the towers of graph von Neumann algebras as
above.
G
Corollary 3..2 Let [G1, ..., Gk ] Gconnet
be a chain. Then we can obtain the tower of
graph von Neumann algebras,

MG1 MG2 ... MGn ,


where the graph von Neumann algebras MGk are the W -subalgebras of the graph von
Neumann algebra MG of G. 

On Graph Groupoids: Graph Groupoids and Corresponding Representations

279

G
Thus, by the previous corollary, whenever we have a chain [G1, ..., Gk ] Gconnect
, we
can get a tower of graph von Neumann algebras,

MG1 MG2 ... MGk .


Also we can construct the corresponding tower of diagonal subalgebras,
DG1 DG2 ... DGk .
Since DGj MGj , for all j = 1, ..., k, we obtain the ladder of von Neumann algebras,
MG1

DG1

MG2

DG2

... MGk

.
... DGk

As we have seen in [10] and [11], the free probability works well on such ladders. More
precisely, if we define the natural surjections
Fj : MGj MGj1
by
Fj w Gj


P
tw LG
ty LG
w def = y Gj1
y,

P
for all w Gj tw LG
w MGj (with tw Gj ), for all j = 2, 3, ..., k, and if we have
the conditional expectations
Ei : MGi DGi ,
defined by
Ei w Gi


P

tw LG
tv LG
w def = v V (Gi )
v,

for all i = 1, 2, ..., k, then the diagram


MG1
E1
DG1

F2 MG2
E2
0
F2 DG2

F3 ... Fk MGk
Ek
0
0
F3 ... Fk DGk

commutes, where
Fi0 def = Fi |DGi , for all i = 1, ..., k.
Notice that, here LG means the canonical groupoid action of the graph groupoid G of
G, representing LGj , for all j = 1, ..., k, by the previous theorem. Also, note that every
element x of MG has its expression,
x=wG

tw LG
w , with tw C.

280

Ilwoo Cho
So, every element x0 in MGj , has its expression,
x0 = w Gj

tw Lw j ,

where Gj are the graph groupoids of Gj , for all j = 1, ..., k. Therefore, we obtain that:
G
Proposition 3..3 If [G1, ..., Gk ] is a chain in Gconnect
, then the pairs (MGj , Fj ... Fji

Eji ) is an amalgamated W -probability space over Dji , in the sense of Voiculescu, for
j = 1, ..., k, and i = 0, ..., j 1, where Fn s and En s are given as in the above diagram.


We will not explain deeply about the above proposition. The meaning of the above
proposition is that: whenever we have a chain of connected full-subgraphs, the operatoralgebraic free probability works well on the ladder induced by the chain (Also, see [11]).

4.

Quotient Graphs and Quotient Groupoids

Fix a full-subgraph K of G. Then, as a new directed graph, the graph K has its own graph
groupoid K. We can understand the graph groupoid K of K as a sub-structure of the graph
groupoid G of G. Indeed, K is a subgroupoid of G, in the sense of Section 1. Then we can
consider the quotient structure G / K, in the natural manner.
The main purpose of this section is to find a directed graph GK having its graph
groupoid G / K, if the quotient groupoid G / K is well-determined. If we can find a
suitable graph GK having its graph groupoid G / K, which is the quotient groupoid in
the sense of Section 1, then this shows that such quotient algebraic structures are also a
graph groupoid of certain graphs, and hence they are also understood as graph groupoids.
Since we know the structures and representations of (arbitrary) graph groupoids, the study
of quotient groupoids induced by graph groupoids is also to study graph groupoids.
Notice that the quotient groupoid G / K, induced by the subgroupoid inclusion K
G, is pure algebraic. So, if such quotient groupoidal structures are again graph groupoids
of certain graphs, then this relation provides another bridge between combinatorics and
algebra.As before, we assume that all our graphs are connected.

4.1. Quotient Graphs


In this section, we will introduce a new type of directed graphs so-called the quotient
graphs. To define a quotient graph GK induced by the partial ordering K G, called
the full-subgraph-inclusion from now on, we need to define the collapsing.
Definition 4..1 Let G be a countable directed graph and let K G be a full-subgraph
of G. Lets identify all elements in V (K) E(K) to the ideal vertex vK , inside G. This
process is called the collapsing K in G, and the identified vertex vK is said to be the
collapsed vertex of K.
By doing the collapsing a full-subgraph K in G, we can create a new directed graph
GK .

On Graph Groupoids: Graph Groupoids and Corresponding Representations

281

Definition 4..2 Let G be a countable directed graph and assume we have a full-subgraphinclusion K G. Suppose we do the collapsing K in G and let vK be the collapsed vertex
of K. Define a new directed graph GK by a graph with its vertex set
V (GK ) = {vK } (V (G) \ V (K))
and its edge set
E(GK ) = E(G) \ E(K),
under the identification (or collapsing) rule: if e E(G) \ E(K), with e = e v or e =
e = vK e
e.
v e, for v V (K), then identify it to the new edge ee = e
e vK , respectively, e
This new graph GK is said to be the quotient graph of G by K.
Notation and Assumption In the rest of this paper, whenever we mention a quotient
graph GK or the construction of a quotient graph GK , if we write the set E(G) \ E(K),
then this means not only a set-theoretical notation, but also our edge set E(GK ) of the
graph GK , under the identification (or collapsing) rule. 
Example 4..1 (1) Let G be a countable directed graph. Then the graph G, itself is a fullsubgraph of G. Then we can do collapsing G in G and we can create the collapsed vertex
vG . By definition, the quotient graph GG is nothing but the trivial graph with V (GG ) =
{vG } and E(GG) = , where means the empty set.
(2) Let G be a countable directed graph and let Gv be a full-subgraph with V (Gv ) =
{v} and E(Gv ) = . Then, by doing the collapsing Gv in G, we can get the collapsed
vertex vGv = v. So, the quotient graph GGv is G, itself.
(3) Let ON be the one-vertex-N -loop-edge graph with V (ON ) = {v} and E(ON ) =
{ej = v ej v : j = 1, ..., N }. Then we can take a full-subgraph K of G with E(K) = {ei1 ,
..., eik } and V (K) = {v}, where k < N. Then this full-subgraph K is graph-isomorphic to
the one-vertex-k-loop-edge graph Ok . By the collapsing K in ON , we can get the collapsed
vertex vK , identified with v. Then the quotient graph (ON )K is graph-isomorphic to the
one-vertex-(N k)-loop-edge graph ON k .
(4) Let C3 be the one-flow circulant graph with V (C3 ) = {v1, v2 , v3 } and E(C3) =
{e12, e23 , e31 }, where eij means a directed edge connecting the initial vertex vi to the
terminal vertex vj . Take a full-subgraph K of G with E(K) = {e12, e23 } and V (K) =
{v1, v2, v3} = V (G). By collapsing K in G, we can get the collapsed vertex vK and the
quotient graph GK , which is the graph with V (GK ) = {vK } and E(GK ) = {e31}. Here,
notice that the vertices v3 and v1 are identified with vK , by the collapsing K. Therefore,
we can understand the edge e31 as e31 = vK e31 vK which is a loop-edge. So, the quotient
graph GK is graph-isomorphic to the one-vertex-one-loop-edge graph O1.
(5) Let C3 be given as in (4). Now, take a full-subgraph K with E(K) = {e12 } and
V (K) = {v1, v2 }. Then the quotient graph GK is a graph with V (GK ) = {vK , v3} and
E(GK ) = {e23 , e31 }. Since v1 and v2 are collapsed to vK , we can rewrite E(GK ) =
{e23 = vK e23 v3 , e31 = v3 e31 vK }. Therefore, GK is graph-isomorphic to the one-flow
circulant graph C2 .
(6) Let T23 be the 2-regular 3-story growing tree with its root v1 ,

282

Ilwoo Cho
v1111
%

v11
%

v111
v1112
%
v112 & v1121
v1122

T23 = v1

.
&

v1211
v12 v121 % v1212
&
v1221
v122
&
v1222

Take a full-subgraph K of G by the graph with E(K) = {[v11, v111], [v11, v112]} and
V (K) = {v11, v111, v112}, where [v, v 0] means an edge connecting the vertex v to the vertex
v 0. Then, by doing the collapsing K in G, we can have the following quotient graph (T23)K ,

vK
%

v1111
% v1112
& v1121
v1122

v1
(T23)K =

&
v12
&

v121
v122

v1211
% v1212

&

v1221
v1222

Let K1 and K2 be full-subgraphs of G. Then we can construct a new full-subgraph K


= K1 K2 by a directed graph with
V (K) = V (K1) V (K2)
and
E(K) = E(K1) E(K2).
We can find the relation between the quotient graphs GK1 , GK2 and GK .
Theorem 4..1 Let G be a countable directed graph and let K1 and K2 be full-subgraphs
of G. Also, let K be a full-subgraph defined by K1 K2, as above. Then
GK Graph= (GK1 )K 1 Graph= (GK2 )K12 ,
2

where Graph= means graph-isomorphic and Ki are the full-subgraph of GKj


with its edge set

On Graph Groupoids: Graph Groupoids and Corresponding Representations

283

E(Kij ) = E(Ki) \ E(Kj )


and its vertex set
V (Kij ) = {vKj } (V (Ki) \ V (Kj )) ,
for i 6= j {1, 2}. Here, vKi means the collapsed vertex of Ki in G, for all i {1, 2}.
Proof. Let G, K1 and K2 be given as above. By the previous paragraph, we can construct a
new full-subgraph K = K1 K2. Then we can create the quotient graph GK , by collapsing
K in G. Then the graph GK has its edge set E(GK ) = E(G) \ E(K) and its vertex set
V (GK ) = {vK } (V (G) \ V (K)), where vK is the collapsed vertex of K. Fix the fullsubgraph K1 G. Then the quotient graph GK1 is the graph with its edge set E(GK1 ) =
E(G) \ E(K1) and its vertex set V (GK1 ) = {vK1 } (V (G) \ V (K1)). Now, define a
directed graph K21 with its edge set
E(K21) = E(K2) \ E(K1)
and its vertex set
V (K21 ) = {vK1 } (V (K2) \ V (K1)) ,
where vK2 is the collapsed vertex of K2 in G. Then this new directed graph K21 is a
full-subgraph of GK1 . Indeed, the edge set E(K21) satisfies
E(K21) = E(K2) \ E(K1) = E(GK1 ) \ E(K1)
and the vertex set V (K21) satisfies
V (K21) = {v V (GK1 ) : e = v e or e = e v, e E(GK1 )}.
By regarding K21 as a full-subgraph of GK1 , we can do collapsing K21 in GK1 . The
collapsed vertex vK21 is determined (and it is identified with vK1 ). So, we have the quotient
graph (GK1 )K21 . This graph has its vertex set


V (GK1 )K 1 = {vK 1 = vK1 } (V (G) \ (V (K1) V (K2)))
2

and it has its edge set




E (GK1 )K21 = E(G) \ (E(K1) E(K2)) .
Since the full-subgraph K = K1 K2 , the quotient graph GK is a directed graph with
V (GK ) = {vK } (V (G) \ V (K))
= {vK } (V (G) \ (V (K1) V (K2)))

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Ilwoo Cho
and
E(GK ) = E(G) \ E(K)
= E(G) \ (E(K1) E(K2)) .

Therefore, we can see that the graphs GK and (GK1 )K21 is graph-isomorphic, by identifying vK and vK 1 . Similarly, we can check that the quotient graph (GK2 )K 2 is graph2
1
isomorphic to GK , too.
The above theorem shows that a quotient graph GK of G by a full-subgraph K = K1
K2 of G, where K1 and K2 are full-subgraphs of G, can be understood as a quotient graph
(GKi )K i of GKi by Kji , where Kji is a full-subgraph of GKi determined by Kj , for i 6= j
j

{1, 2}. The graphs Kij are said to be the full-subgraphs of GKj determined by Ki , for i
6= j {1, 2}.
Notation Let G be a countable directed graph and let K be a full-subgraph of G. And
let GK be the quotient graph of G by K. Assume that H is a full-subgraph of GK . Then
the quotient graph (GK )H of GK by H is denoted by GK:H . Inductively, we can have a
quotient graph GH1 :H2 :...:Hn of GH1 :...:Hn1 , for all n {3, 4, ...}. 
The following corollary is the direct consequence of the above theorem.
Corollary 4..2 Let K1, ..., Kn be full-subgraphs of G, for n N, and let K = nj=1 Kj be
a full-subgraph with
V (K) = nj=1 V (Kj ) and E(K) = nj=1 E(Kj ).
Then the quotient graph GK is graph-isomorphic to
GK

(1)
(1),(2)
(1) :K(2) : K(3)

(1), ..., (n1)

... : K(n)

,
(1)

for all Sn , where Sn is a symmetric group for n N, and where K(2) means
(1),(2)

the full-subgraph of K(1) determined by K(2), and K(3)


(1)

(1),...,(t1)

of K(2) determined by K(3), and, inductively, K(t)


(1),...,(t2)
K(t1)

means the full-subgraph

means the full-subgraph of

determined by K(t) , for all t = 4, ..., n. 

Example 4..2 Let G be a one-flow circulant graph C5 with V (G) = {v1 , ..., v5} and E(G)
= {e12, e23, e34 , e45 , e51}. Fix the full-subgraphs K1 and K2 with
V (K1) = {v1, v2 , v3 } and E(K1) = {e12 , e23},
and
V (K2) = {v2, v3 , v4 } and E(K2) = {e23 , e34}.
Then we can create a new full-subgraph K = K1 K2 of G by a directed graph with

On Graph Groupoids: Graph Groupoids and Corresponding Representations

285

V (K) = {v1, v2 , v3 , v4} and E(K) = {e12, e23, e34 }.


By collapsing K in G, we can have the collapsed vertex vK , and hence we can have the
quotient graph GK with
V (GK ) = {vK , v5 }
and
E(GK ) = {e45 = vK e45 v5, e51 = v5 e51 vK }.
We can easily see that the quotient graph GK is graph-isomorphic to the one-flow circulant graph C2 .
Now, consider the quotient graph GK1 of G by K1. By collapsing K1 in G, we can find
the collapsed vertex vK1 and we can create GK1 by a directed graph with
V (GK1 ) = {vK1 , v4 , v5},
and
E(GK1 ) = {e34 = vK1 e34 v4, e45 = v4 e45 v5 , e51 = v5 e51 vK1 }.
Consider the full-subgraph K21 of GK1 determined by K2. Then it is a full-subgraph of
GK1 with
V (K21) = {vK1 , v4 } and E(K21) = {e34 = vK1 e34 v4 }.
Now do collapsing K21 in GK1 . Then we can get the collapsed vertex vK21 , and we have
the quotient graph GK1:K21 with
V (GK1 :K 1 ) = {vK 1 , v5 }
2

and
E(GK1:K 1 ) = {e45 = vK 1 e45 v5 , e51 = v5 e51 vK 1 }.
2

The graph GK1:K21 is graph-isomorphic to the one-flow circulant graph C2 . Thus we


can see that the graphs GK and GK1 :K21 are graph-isomorphic, too.

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Ilwoo Cho

4.2. Quotient Groupoids Induced by Graph-Groupoid Inclusions


Let G be a countable directed graph and let K G be a full-subgraph of G. And let G
and K be the graph groupoids of G and K, respectively. In this section, we will construct a
quotient groupoid G / K, if exists, from the groupoid inclusion K G. To do that, we will
consider the conditions when we can construct quotient groupoids G / K. Notice that, even
though the groupoids G and K are constructed by directed graphs G and K, respectively,
the quotient groupoid (if exists) G / K is defined pure algebraically, for the given inclusion
K G, as groupoidal algebraic quotient structure.
It is easy to see that the graph groupoid K of a full-subgraph K of the given graph G is
a subgroupoid of the graph groupoid G of G. Pure algebraically, we can define the quotient
structure G / K, generated by the inclusion K G, if
wKw1 K, for all w G.
Then the quotient groupoid G / K is well-defined and it is again a (categorical) groupoid
(in the sense of Section 1).
Let K G be a subgroupoid inclusion, where K and G are groupoids. Then under
certain condition, we can define the quotient groupoid G / K by the quadruple (G / K, B /
K, s, r) with
G / K def = {x K, K x : x G \ K}, B / K def = {y K, K y : y B \ K},
s (x K) = s(x) K, r (xK) = K,
and
s (Kx) = K,

r (Kx) = K r(x).

However, to construct the quotient groupoid G / K, we need the following condition:


x K x1 K, for all x G.
In such case, the algebraic structure G / K, induced by the subgroupoid inclusion K
G, is again a groupoid.
Definition 4..3 Let K G be a subgroupoid inclusion, where G is a groupoid and K is a
subgroupoid of G. Suppose K satisfies that
x K x1 K, for all x G.
Construct the groupoid G / K as in the previous paragraph. This groupoid G / K is
called the quotient groupoid of G by K.
Since graph-groupoid inclusion K G, generated by the full-subgraph inclusion K
G, is again a subgroupoid inclusion, we may define the corresponding quotient groupoid G
/ K, under certain condition.
Let K G be a full-subgraph inclusion and let K G be the corresponding subgroupoid inclusion. Consider the quotient-groupoid-condition,

On Graph Groupoids: Graph Groupoids and Corresponding Representations

287

w K w1 K, for all w G.
Let w K. Then, clearly, w K w1 K. Assume now that w G \ K, and let w = v w
v 0, with v, v 0 V (G). Remark that the vertices v and v 0 for w are not necessarily distinct
in V (G). Moreover, w = w w w can be a vertex in V (G ). Suppose w = v is a vertex in
V (G), then v K v is either {} or loopv (K ), where
loopv (K ) def = {w K : w = v w v} K.
In particular, if v V (G) \ V (K ), then v K v = {}, and if v V (K ), then v K v
= loopv (K ).
Lemma 4..3 Let v V (G). Then v K v is identified with either {} or loopv (K ) K.
This shows that v K v K, for all v V (G). 
The above lemma shows that to check the quotient-groupoid-condition for the subgroupoid inclusion K G, it is sufficient to consider the reduced finite paths w F Pr (G)
of the shadowed graph G, weather w K w1 K or not.
Our main purpose is to find the graph-theoretical characterization of the quotientgroupoid-condition for the groupoid inclusion K G induced by a full-subgraph inclusion
K G. Suppose now that w = v w v 0 F Pr (G), with v, v 0 V (G), in G. To satisfy
w K w1 K,
the fixed reduced finite path w = v w v 0 must satisfy that: the initial vertex v of w is
contained in V (K ) ( V (G)).
Lemma 4..4 Let K G be the given subgroupoid inclusion induced by a full-subgraph
inclusion K G, and let w = v w v 0 F Pr (G) be a reduced finite path with v, v 0
V (G), in G. Then w K w1 K, if and only if the initial vertex v of w is contained in
V (K ).
Proof. To prove the above characterization, we will use the quotient-graph technique. Let
K G be given, induced by K G. Then we can construct the quotient graph GK of
G by K, by collapsing K into the collapsed vertex vK . In other words, the full-subgraph
K is identified with the vertex vK of GK . Then we can construct the corresponding graph
groupoid GK of GK .
() Suppose w = v w v 0 F Pr (G ) is a reduced finite path with v, v 0 V (G), and
assume that the initial vertex v of w is contained in the vertex set V (K ) = V (K). Then,
after the collapsing K into the collapsed vertex vK of the quotient graph GK , the element
w is identified with the element w = vK w v 0 in the shadowed graph GK of the quotient
graph GK of G by K. Since the graph groupoid K of the given full-subgraph K is identical
to the trivial subgroupoid {vK } of GK , the subset w K w1 of G is identified with w vK
w1 = w w1 = v, and, by hypothesis, it is contained in V (GK ) GK . This is equivalent
to w K w1 K, in G.
() Suppose w = v w v 0 F Pr (G) and let w K w1 K. Notice that the graph
groupoid K of K is identified with the collapsed vertex vK in the graph groupoid GK of the

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Ilwoo Cho

quotient graph GK of G by K. By hypothesis, the subset w K w1 of G is also identical to


the collapsed vertex vK of GK . Assume now that v is not contained in V (K ). Then, inside
the graph groupoid GK of the quotient graph GK , the subset w K w1 is identified with w
vK w1 . Since v is not in V (K ), the element w vK w1 = or v(6= vK ) in GK . If it is
(where w and vK , or equivalently, v 0 and vK , are not admissible), then it is okay, but if it is
nonempty, then w vK w1 = w w1 = v 6= vK , in general. This shows that w K w1 * K
in G, in general. This contradict our assumption.
Thus, we can obtain the following theorem.
Theorem 4..5 Let K G be a subgroupoid inclusion of graph groupoids G and K, induced
by a full-subgraph inclusion K G. Then the quotient groupoid G / K is well-determined,
if and only if all reduced finite paths, contained in G \ K, satisfy that both the initial and
terminal vertices are in the vertex set V (K) = V (K ) of the full-subgraph K.
Proof. By the quotient-groupoid-condition, by regarding the graph-groupoid inclusion K
G as a subgroupoid inclusion, the quotient groupoid G / K is a well-defined groupoid if
and only if w K w 1 K in G, for all w G. And, by the previous lemmas, it is enough
to consider where ws are reduced finite paths. i.e., the quotient-groupoid-condition holds
if and only if w K w1 K, for all w F Pr (G). Furthermore, we observed that, for
any fixed w0 F Pr (G), the set-inclusion w0 K w01 K in G, if and only if w0 = v0
w0, with v0 V (K) = V (K ) V (G ). Therefore, the quotient groupoid G / K is welldetermined if and only if, every reduced finite path w = v w v 0 in F Pr (G), with v, v 0
V (G), satisfies v, v 0 V (K ).
The above theorem provides a characterization of the existence of quotient groupoids.
Proposition 4..6 Let K G be a subgroupoid inclusion of graph groupoids, induced by
a full-subgraph inclusion K G. Suppose that there exists the corresponding quotient
groupoid G / K. Then it is identified with the graph groupoid GK of the quotient graph GK
of G by K.
Proof. Let K G be given as above, and assume that the corresponding quotient groupoid
G / K is well-defined. Equivalently, assume that w K w1 K, for all w G. Then,
by the very definition of quotient groupoids and by the previous observations, the quotient
groupoid G / K and the graph groupoid GK of GK are groupoid-isomorphic. Indeed, we
can define a groupoid-isomorphism : G / K GK by
(wK) = w vK = w GK
and
(Kw) = vK w = w GK ,
for all w K, K w G / K.
By the above theorem, we can get the following theorem. The following theorem gives
us the graph-theoretical characterization of the existence of quotient groupoids. However,
remark and recall that all our graphs are connected.

On Graph Groupoids: Graph Groupoids and Corresponding Representations

289

Theorem 4..7 Let K G be a full-subgraph inclusion with its corresponding subgroupoid


inclusion K G. Then the vertex sets of G and K satisfy V (G) = V (K), if and only if the
subgroupoid inclusion induces the quotient groupoid G / K.
Proof. () Assume that V (G) = V (K). Then, for any w = v w v 0 F Pr (G), with v,
v 0 V (G), the initial and the terminal vertices v and v 0 of w are contained in V (K ) =
V (K) = V (G) = V (G). Therefore, by the previous theorem, the quotient groupoid G /
K is well-determined.
() Assume now that the quotient groupoid G / K is well-determined by the given
subgroupoid inclusion K G. By the previous proposition, this quotient groupoid G / K
is groupoid-isomorphic to the graph groupoid GK of the quotient graph GK of G by K.
Again, by the previous theorem, the quotient graph GK is graph-isomorphic to the onevertex-multi-loop-edge graph. Indeed, all edges e E(G) F Pr (G) should satisfy the
above theorem for the existence of G / K. i.e., to satisfy both
e K e1 K and e1 K e K, in G,
every edge e should satisfy e = v1 e v2 E(G) with v1 , v2 V (K). This shows
that the existence of the quotient groupoid G / K guarantees the equality of the vertex sets
V (G) and V (K).
The above theorem provides the graph-theoretical characterization of the existence of
quotient groupoids for subgroupoid inclusions induced by full-subgraph inclusions (where
the given graphs are connected). As we have seen in the proof of the previous theorem, we
can get the following another graph-theoretical characterization of the existence of quotient
groupoids:
Theorem 4..8 Let K G be a full-subgraph inclusion with the corresponding subgroupoid
inclusion K G. Then the quotient groupoid G / K is well-defined, if and only if the quotient graph GK of G by K is graph-isomorphic to the one-vertex-multi-loop-edge graph.
Proof. The proof is easy, by the previous theorem. We know that the quotient groupoid
G / K is well-determined if and only if V (G) = V (K). This shows that, in the quotient
graph GK of G by K, the only vertex of it is the collapsed vertex vK . i.e., V (GK ) = {vK }.
Therefore, all nonempty edges of GK should be loop-edges.
Example 4..3 Let Gn be the one-vertex-n-loop-edge graph, for all n N. Assume that n
> 1, and take k < n in N. Then we can define a full-subgraph K of Gn consisting of kloop-edges. i.e., the graph K is graph-isomorphic to the one-vertex- k-loop-edge graph Gk .
Then both the initial and terminal vertices of any reduced finite paths of Gn are contained
in V (Gk ), since V (Gn ) = V (Gk ). Therefore, w Gk w1 Gk , for all w Gn , where
Gp is the graph groupoid induced by the one-vertex- p-loop-edge graph Gp , for all p
N. Therefore, the quotient groupoid Gn / Gk is well-defined, by the previous theorem.
Moreover, by the previous corollary, this quotient groupoid Gn / Gk is groupoid-isomorphic
to the graph groupoid Gn:k of the quotient graph Gn:k of Gn by Gk . It is easy to check that
the graph Gn:k is graph-isomorphic to Gnk (See [4], [5] and [8]). So, by [4] and [5],
the graph groupoid Gn:k is groupoid-isomorphic to Gnk . Therefore, the quotient groupoid
Gn / Gk is groupoid-isomorphic to Gnk . i.e.,

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Ilwoo Cho
Gn / Gk Groupoid= Gn:k Groupoid= Gnk , for all k < n N,

where Groupoid= means being groupoid-isomorphic. Recall that, in [4] and [5],
we show that the graph groupoid Gn of Gn is a group, which is group-isomorphic to the
free group Fn with n-generators, for all n N. Therefore, we can have that
Fn / Fk Group= Fnk , for all k < n N,
where Group= means being group-isomorphic.
The above theorem shows that the quotient groupoid G / K is well-defined, if and
only if the full-subgraph inclusion K G induces the quotient graph GK , which is graphisomorphic to the one-vertex-multi-loop-edge graph. Since G / K (if exists) is groupoidisomorphic to the graph groupoid GK of the quotient graph GK , we can obtain the following
corollary.
Corollary 4..9 Suppose the quotient groupoid G / K is well-determined, where K G are
subgroupoid inclusion induced by the full-subgraph-inclusion K G. Then the groupoid
G / K is a group, and it is group-isomorphic to the free group F|E(GK )| , where E(GK ) is
the edge set of the quotient graph GK .
Proof. Since the quotient groupoid G / K is well-defined, the quotient graph GK is graphisomorphic to the one-vertex-multi-loop-edge graph G(n) , where n = |E(GK )| . We know
that the graph groupoid G(n) of G(n) is a group, which is group-isomorphic to the free
group Fn , with n-generators. So, the graph groupoid GK is groupoid-isomorphic to Fn ,
too. Therefore, the quotient groupoid G / K is groupoid-isomorphic to the group Fn , too.

4.3. Representations of Quotient Groupoids


Let be a group. Then the group Hilbert space H is defined to be the l2-space l2()
generated by . The canonical (left) group action : B(H ) is defined by the left
regular representation,
(g) def = ug B(H ),
where ug is the unitary operator with its adjoint ug = ug1 , for all g . Then we can
get the canonical representation (H, ) of a group . The group von Neumann algebra
L() denote= vN () def = C[()]

is naturally defined, as a W -subalgebra of B(H ).


Again, recall that all our graphs are connected. Fix now a full-subgraph inclusion K
G, and the corresponding subgroupoid inclusion K G. We observed that the quotient
groupoid G / K is well-defined, if and only if the quotient graph GK is graph-isomorphic to
the one-vertex-multi-loop-edge graph. This shows that, whenever the quotient groupoid G
/ K, induced by the subgroupoid inclusion K G, (if exists) is groupoid-isomorphic to the
free group, since G / K is groupoid-isomorphic to the graph groupoid GK of the quotient
graph GK induced by K G. Therefore, we can obtain the following theorem.

On Graph Groupoids: Graph Groupoids and Corresponding Representations

291

Theorem 4..10 Let K G be a full-subgraph inclusion and K G, the corresponding


subgroupoid inclusion. Assume that the quotient groupoid X = G / K is well-defined, and
suppose it is non-trivial. Then the canonical representation of the groupoid X is equivalent
to the canonical (group) representation (l2(Fn ), ), for n = |E(GK )| N, where is the
left regular representation of the free group Fn . 
By the previous theorem, we can obtain the following corollary.
Corollary 4..11 Let K G, and K G be given as in the above theorem, and assume
that the quotient groupoid G / K is non-trivially well-determined. Then the groupoid W algebra vN (G / K), induced by the canonical representation of G / K, is -isomorphic to
the group von Neumann algebra L(Fn ), for some n N. 
Assume now that the quotient groupoid G / K is trivial, equivalently, assume that
the quotient graph GK , induced by K G, is graph-isomorphic to the trivial graph.
Then, clearly, the groupoid W -algebra vN (G / K) is -isomorphic to C, since the trivial groupoid has its canonical representation (C, 1). So, more generally, we can have the
following theorem.
Theorem 4..12 Let K G be a full-subgraph inclusion and K G, the corresponding
subgroupoid inclusion. Assume that the quotient groupoid X = G / K is well-determined.
Then the canonical representation of X is equivalent to either the canonical group representation (l2(Fn ), ) of the free group Fn , for some n N, or the trivial representation (C,
1). So, the groupoid W -algebra vN (X ) is -isomorphic to either L(Fn ), or C. 
Independent from our topic, the study of group von Neumann algebras L(Fn ) is one
of the most interesting area in von Neumann algebra theory. It is somewhat shocking that
we still do not know whether the group von Neumann algebras L(F2) and L(F3 ) are isomorphic or not. The famous Radulescus alternative theorem says that: either (1) or (2)
holds true, where
(1) L(Fn ) isomorphic= L(F ), for all n N,
(2) L(Fn ) isomorphic6= L(Fm ), for all m 6= n N {},
where F means the free group with (countably) infinitely many generators (See [24]).

5.

Finite-Graph Fractaloids and Representations

As before, all graphs in this section are automatically assumed to be connected. In this
section, we briefly introduce graph fractaloids in the sense of [16]. In [2], [16], [17], and
[18], we considered a special kind of graph groupoids, as groupoids with fractal property.
Let X be a groupoid and assume that X has fractal property. Then we call X , a fractaloid. In
other words, the word fractaloid means a groupoid with fractal property. If a fractaloid
is a graph groupoid, then we call it a graph fractaloid to emphasize it is induced by a graph.
Then how we can define the fractal property, sometimes, called fractality? The fractality of
groupoids would be extended from the fractality of groups. Recently, the fractal groups and
fractality are widely studied in pure math, applied math and many other science fields.

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Assumption In this section, for convenience, we restrict our interests to the case where
all graphs are connected and finite. 
Recall that a graph G is finite, if
|V (G)| < and |E(G)| < .
Let G be a connected finite graph and let v V (G). Define the in-degree degin (v) in
G, and the out-degree degout (v) in G, by
degin (v) def = |{e E(G) : e = ev}| ,
respectively,
deg out (v) def = |{e E(G) : e = ve}| ,
for all v V (G). The degree deg(v) of v V (G) in G is defined to be the sum of
degin (v) and degout (v), i.e.,
deg(v) def = degin (v) + degout (v),
for all v V (G). Under the finiteness of graphs, deg(v) < , for all v V (G).
Originally, like fractal groups (See [1]), we defined the graph fractaloids by help
of automata theory. By using the automata-theoretical labeling (or weighting) on graph
groupoids, if a given graph groupoid G satisfies the fractality, then G is defined to be a
graph fractaloid (See [16]). Here, we only introduce the main results of [16], which are the
characterizations of graph fractaloids (Also, see [17]).
But notice that, the graphs in [16] and [17] are connected and locally finite. Recall
that a graph G is locally finite, if G is a graph satisfying that
deg(v) < , for all v V (G).
So, in general, locally finite graphs can be infinite. For instance, all regular trees are
locally finite graphs. But here we only consider finite graphs, which are automatically
locally finite. The following theorem is the summary of the main results of [16]:
Theorem 5..1 (See [16] and [17]) Let G be a connected locally finite (finite or infinite)
directed graph with its graph groupoid G, and let AG be the automaton induced by G, in
the sense of [16]. Suppose TG is the automata tree of AG , in the sense of [16] (and [1]).
Then the following statements are equivalent:
(1) G is a graph fractaloid.
(2) the automata actions {Aw : w F+ (G)} act fully on TG .
(3) the automata trees TG is graph-isomorphic to the 2N -regular tree T2N , where
N = max{degout (v) : v V (G)}.


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293

The characterization (1) (2) provides the automata-theoretical characterization of


graph fractaloids, induced by connected locally finite directed graphs. And the characterization (1) (3) provides the algebraic characterization of graph fractaloids, induced
by connected locally finite directed graphs. Based on the previous characterizations, we
could find the graph-theoretical characterization of graph fractaloids, induced by connected
finite directed graphs in [18].
Theorem 5..2 (See [18]) Let G be the graph groupoid of a connected finite directed
graph G. Then G is a graph fractaloid, if and only if the out-degrees of all vertices are
identical in G. i.e., G is a graph fractaloid, if and only if
N = degout (v), for all v V (G),
where
N = max{degout (v) : v V (G)}.

If we consider infinite directed graphs G, generating their graph fractaloids G, then,
unfortunately, the above characterization does not hold true. For instance, the n-regular tree
Go satisfies that all vertices of Go have the same out-degrees, which are identical to n, for
n N. However, the graph groupoid Go of Go is not a graph fractaloid, since the root vo of
Go has its in-degree 0, but all other vertices have their in-degree 1. This makes the automata
actions do not act fully on automata tree (See [2], [16], and [18]).
Only under the finiteness of graphs, the above theorem works well. In [18], however,
we could find the partial graph-theoretical characterization of graph fractaloids, induced
by connected locally finite (finite or infinite) graphs:
Theorem 5..3 (See [18]) Let G be a connected locally finite (finite or infinite) graph with
its graph groupoid G. Assume that G has neither sinks or sources. Then G is a graph
fractaloid, if and only if the out-degrees of all vertices are identical in G. 
Let G be an arbitrary graph and v V (G). Recall that the vertex v is a sink (resp., a
source), if degout (v) = 0 (resp., degin (v) = 0), in G.
Again, remark that all graphs are connected, and finite. We will use the above characterization for defining the fractal graphs and the graph fractaloids.
Definition 5..1 Let G be a connected finite directed graph with its graph fractaloid G. We
say that the graph G is fractal (or G is a fractal graph), if the out-degrees of all vertices are
identical. In this case, the graph groupoid G is said to be a graph fractaloid. To emphasize
that we restrict our interests to the case where G is finite, we call G the fractal finite graph,
and G, the finite-graph fractaloid.
In [18], we showed that there are sufficiently many finite-graph fractaloids.

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Ilwoo Cho

Example 5..1 (1) Every one-vertex-multi-loop-edge graph is fractal. Indeed, the graph
groupoids of them are groups, which are group-isomorphic to the free groups. Notice that
free groups are fractal groups (See [1]).
(2) Every one-flow circulant graph is fractal. It shows that there are fractaloids
(groupoids with fractality) which are not fractal groups.
(3) All graphs which are graph-isomorphic to the shadowed graphs of one-flow circulant graphs are fractal, too.
(4) We say that a (finite) graph G is complete, if (i) G does not have loop-edges, (ii) for
any pair (v1, v2 ) of distinct vertices, there always exists a unique edge e such that e = v1 e
v2 (Remark that, if we take (v2 , v1 ), then there exists a unique edge e0 6= e, such that e0 =
v2 e0 v1 .). Every complete graph with finite vertices is fractal.
(5) For any arbitrary given connected finite graph G, there always exists a unique graph
Go , such that (i) G Go, and (ii) Go is fractal (See [18] and [2]). Such a graph Go is
called the finitely fractalized graph of G. Finitely fractalization is studied in [2], in detail.
For more interesting examples, see [2], and [18].
Let G be a fractal finite graph with its finite-graph fractaloid G. Then, as a graph
groupoid, G has its canonical representation (HG , L), and we can construct the graph von
w
Neumann algebra MG = C[L(G)] , which is the groupoid W -algebra, generated by G, in
B(HG ).
Definition 5..2 Let G be a fractal (finite) graph, and let MG be the graph von Neumann
algebra of G. Define an operator TG in MG by
P
TG def = w E(G) (Le + Le1 ) .
This operator is called the radial operator of G on HG (or, in MG ).
Remark that, in [16] and [17], the radial operator TG of G is defined by the labeling
operator, in terms of the labeling on G, via automata theory. However, without using the
automata language, we can define the same Hecke-type operator as above. And it is defined
like the radial operators of groups, determined by the generators of the groups. Notice that
the graph groupoid G is generated by the edge set E(G) of G (or the self-adjoint set E(G),
the edge set of the shadowed graph G of G). In [16] and [17], we showed that the spectral
information of the operator TG explains how fractality of G acts on HG .
Let MG be the graph von Neumann algebra of a fractal graph G, and let DG be the
diagonal subalgebra of MG . Then we can define the conditional expectation E : MG
DG , as a continuous C-linear map, satisfying (i) E(d) = d, for all d DG , (ii) E(d1md2)
= d1 E(m) d2 , for all d1, d2 DG , m MG , and (iii) E(m) = E(m) in DG , for all
m MG . In particular, we can have the canonical conditional expectation E : MG DG ,
defined by
P
P
E (w G tw Lw ) def = v V (G) tv Lv ,
P
for all w G tw Lw MG , with tw C. Then we can have the free distributional
data E(mn ) of an operator m MG , called the DG -valued free moments of m. In particular, if m MG is self-adjoint, then the DG -valued moments {E(mn)}
n=1 provides the

On Graph Groupoids: Graph Groupoids and Corresponding Representations

295

spectral information of the operator m over DG . So, if we compute the DG -valued moments E(TGn ), for all n N, we can obtain the spectral data of the radial operator TG over
DG , since TG is self-adjoint in MG (See [10], [16], and [17]).
In [16], we compute the DG -valued moments of TG , and it is completely characterized
by certain scalar-values. It provides the spectral information of the graph fractaloid G.
Before introducing the complete computation of the DG -valued free moments E(TGn) of
TG , we define some terminology.
Let N N be a fixed number. Define the lattices lk in the real plane R2 by

lk = (1, ek ), for all k = 1, ..., N,

where (t1 , t2) means the vector connecting the origin (0, 0) to the point (t1 , t2 ) in R2.
We call l1 , ..., lN , the upward lattices induced by N. Define now the downward lattices l1,
..., lN induced by N, by

lk = (1, ek ), for all k = 1, ..., N.


For the given lattices l1 , ..., lN , we can define the lattice paths in R2, by the rule: the
lattice path li lj is a vector addition of li and lj , by identifying the end point (1, i ei ) of li
and the starting point (0, 0) of lj , where

1
ifi > 0
i def =
1
ifi < 0,
for all i = 1, ..., N. Inductively, we can determine the lattice paths li1 li2 ... lin ,
where ij {1, ..., N }, for j = 1, ..., n, for all n N. Let l = li1 ... lin be a lattice
path, generated by l1 , ..., lN . Then the length |l| of the lattice path l is defined to be n,
the cardinality of the lattices generating l. Define the set LN be the collection of all lattice
paths generated by l1 , ..., lN . Define now the subsets LN (n) of LN by
LN (n) def = {l LN : |l| = n},
for all n N. Then the lattice path set LN is decomposed by
LN = k = 1t LN (k).
Consider special lattice paths in LN (k), for k N. Let l LN (k), and assume that it
starts at (0, 0), and it ends on the horizontal axis. Then we say that the lattice path l satisfies
the (horizontal) axis property. Define the subsets LoN (n) of LN (n) by
LoN (n) def = {l LN (n) : l satisfies the axis property},
for all n N. It is easy to check that LoN (k) is empty, whenever k is odd. So, LoN (n)
are nonempty only when n is even. In [16], we computed that:
Theorem 5..4 (See [18]) Let G be a fractal graph with its graph fractaloid G, and let MG
be the graph von Neumann algebra of G. Let TG MG be the radial operator of G. If

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Ilwoo Cho
N = max{degout (v) : v V (G)},
then the DG -valued free moments E(TGn ) of TG are
 o
|LN (n)| 1DG if niseven
n
E(TG) =
if nisodd,
0DG
for all n N. 

The above theorem shows how the fractality of graph fractaloids works on graph Hilbert
spaces under the canonical representations. The following proposition is introduced in [16]
and [17].
Proposition 5..5 Let N N. Then
2n
|LoN (2n)| = (i1, ...,i2n) CN

ci1 ,...,i2n ,

where


i1, ...,i2n {1, ..., N }

2n =
i1 i2 ... i2n
,
CN
(i1, ..., i2n)
P2n


ik = 0

k=1

and where ci1 ,...,i2n satisfies the following recurrence relation:



ci1 ,...,ij ,ij+1 ,...,i2n = ci1 ,...,ij (2n C2nj ) ,
whenever ij+1 = ij+2 = ... = i2n , for all n N. Here, n Ck def =
n N. 

n!
k!(nk)! ,

for all k

For instance, if N = 1, then


|Lo1 (2n)| = 2n Cn , for all n N.
The following example helps to understand the computation of ci1 ,...,i2n , where (i1, ...,
2n
i2n ) CN
, for n, N N.
c3,2,2,1,1,2,2,3
= (c3,2,2,1,1,2,2) (8C1 )
= (c3,2,2,1,1) (7 C2 ) (8C1 )
= (c3,2,2) (5 C2 ) (7 C2 )(8C1 )
= (c3 ) (3C2 ) (5C2 )(7C2 )(8C1 )
= (1C1 ) (3C2 )(5C2 )(7C2 )(8C1 ).

References
[1] A. G. Myasnikov and V. Shapilrain (editors), Group Theory, Statistics and Cryptography,
Contemporary Math, 360, (2003) AMS.

On Graph Groupoids: Graph Groupoids and Corresponding Representations

297

[2] I. Cho, Fractalized Graphs and Corresponding von Neumann Algebras, (2008) Preprint.
[3] I. Cho, Graph von Neumann Algebras, ACTA Applied Math, 95, (2007) 95 - 134.
[4] I. Cho, Characterization of Amalgamated Free Blocks of a Graph von Neumann Algebra,
Compl. Anal. Oper. Theor. 1, (2007) 367 - 398.
[5] I. Cho, Group Freeness and Certain Amalgamated Freeness, J. of KMS, 45, no. 3, (2008),
597 - 609.
[6] I. Cho, Measures on Graphs and Certain Groupoid Measures, CAOT, 2, (2008) 1 - 28.
[7] I. Cho, Operator Algebraic Quotient Structures Induced by Graphs, CAOT, (2008) To
Appear.
[8] I. Cho, Vertex-Compressed Subalgebras in a Graph von Neumann Algebra, ACTA Appl.
Math., (2008) To Appear.
[9] I. Cho, Von Neumann Algebras Generated by Automata, Graphene: Research, Technology,
and Application, NOVA publisher, (2008) To Appear.
[10] I. Cho, C-Valued Free Probability on a Graph von Neumann Algebra, J. of KMS, (2008)
To Appear.
[11] I. Cho, Towers of Graphs, and Towers of Graph von Neumann Algebras, (2008) Submitted
to B. of KMS.
[12] I. Cho, and P. E. T. Jorgensen, C -Algebras Generated by Partial Isometries, JAMC, (2008)
To Appear.
[13] I. Cho, and P. E. T. Jorgensen, C -Subalgebras Generated by Partial Isometries, JMP
(2008) To Appear.
[14] I. Cho, and P. E. T. Jorgensen, C -Subalgebras Generated by a Single Operator in B(H),
(2008) Submitted to JMP.
[15] I. Cho, and P. E. T. Jorgensen, C -Dynamical Systems Induced by Partial Isometries,
(2008) Preprint.
[16] I. Cho, and P. E. T. Jorgensen, Application of Automata and Graphs: Labeling Operators
in Hilbert Space I, ACTA Appl. Math.: Special Issues, (2008) To Appear.
[17] I. Cho, and P. E. T. Jorgensen, Application of Automata and Graphs: Labeling Operators
in Hilbert Space II, (2008) Submitted to JMP.
[18] I. Cho, and P. E. T. Jorgensen, Graph Fractaloids: Graph Groupoids with Fractal Property,
(2008) Submitted to J. of Phy. A.
[19] I. Raeburn, Graph Algebras, CBMS no 3, AMS (2005).
[20] P. D. Mitchener, C -Categories, Groupoid Actions, Equivalent KK-Theory, and the BaumConnes Conjecture, arXiv:math.KT/0204291v1, (2005), Preprint.
[21] R. Gliman, V. Shpilrain and A. G. Myasnikov (editors), Computational and Statistical
Group Theory, Contemporary Math, 298, (2001) AMS.
[22] W. Dicks and E. Ventura, The Group Fixed by a Family of Injective Endomorphisms of a
Free Group, Contemp. Math 195, AMS, (2000)
[23] V. Vega, Finite Directed Graphs and W -Correspondences, (2006) Ph. D thesis, Univ. of
Iowa.
[24] F. Radulescu, Random Matrices, Amalgamated Free Products and Subfactors of the von
Neumann Algebra of a Free Group, of Noninteger index, Invent. Math., 115, (1994) 347 - 389.

In: Group Theory


Editor: Charles W. Danellis, pp. 299-312

ISBN 978-1-60876-175-3
c 2010 Nova Science Publishers, Inc.

Chapter 10

T HE G ROUP A SPECT IN THE P HYSICAL


I NTERPRETATION OF G ENERAL R ELATIVITY
T HEORY
Salvatore Antoci 1 and Dierck Ekkehard Liebscher2
1
Dipartimento di Fisica A. Volta and IPCF of CNR, Pavia, Italia
2
Astrophysikalisches Institut Potsdam, Potsdam, Deutschland

Abstract
When, at the end of the year 1915, both Einstein and Hilbert arrived at what were
named the field equations of general relativity, both of them thought that their fundamental achievement entailed, inter alia, the realisation of a theory of gravitation
whose underlying group was the group of general coordinate transformations. This
group theoretical property was believed by Einstein to be a relevant one from a physical standpoint, because the general coordinates allowed to introduce reference frames
not limited to the inertial reference frames that can be associated with the Minkowski
coordinate systems, whose transformation group was perceived to be restricted to the
Poincare group.
Two years later, however, Kretschmann published a paper in which the physical
relevance of the group theoretical achievement in the general relativity of 1915 was
denied. For Kretschmann, since any theory, whatever its physical content, can be
rewritten in a generally covariant form, the group of general coordinate transformations is physically irrelevant. This is not the case, however, for the group of the infinitesimal motions that bring the metric field in itself, namely, for the Killing group.
This group is physically characteristic of any given spacetime theory, since it accounts
for the local invariance properties of the considered manifold, i.e., for its relativity
postulate.
In Kretschmanns view, the so called restricted relativity of 1905 is the one with the
relativity postulate of largest content, because the associated Killing group coincides
with the infinitesimal Poincare group, while for the most general metric manifold of
general relativity the associated Killing group happens to contain only the identity,
hence the content of its relativity postulate is nil.
Of course, solutions to the field equations of general relativity whose relativity
postulate has a content that is intermediate between the two above mentioned extremes
exist too. They are the ones found and investigated until now by the relativists, since
the a priori assumption of some nontrivial Killing invariance group generally eases

300

Salvatore Antoci and Dierck Ekkehard Liebscher


the finding of solutions to the above mentioned equations. In the present chapter it
is shown what are the consequences for the physical interpretation of some of these
solutions whose relativity postulate is of intermediate content, when Kretschmanns
standpoint is consistently adhered to.

1.

Introduction

It may seem strange that, in the year 2009, one may conceive writing a text with the title
given above. So many years have elapsed since Einstein [1] and Hilbert [2] eventually
wrote the final equations of general relativity theory, and it might be reasonable to believe
that by now the issue hinted at in the title should have been settled once and for all. The role
played by group theory in the so called general theory of relativity should be clear beyond
discussion, and no further paper should need to be written on this subject.
However, this is not the case. Moreover, this problem has emerged as early as in the year
1917, when Erich Kretschmann defied the group theoretical assessment given by Einstein
[3], and proposed an alternative of his own [4], whose validity in principle was to be soon
acknowledged by Einstein himself [5]. In Franks review [6] of Kretschmanns paper one
finds a short, but precise account of the main points considered by Kretschmann. It reads,
in English translation:
Einstein understands, under his general principle of relativity, the injunction that the
laws of nature must be expressed through equations that are covariant with respect to arbitrary coordinate transformations. The Author shows now that any natural phenomenon
obeying any law can be described by generally covariant equations. Therefore the existence of such equations does not express any physical property. For instance the uniform
propagation of light in a space free from gravitation can be expressed also in a covariant
way. However, there is a representation of the same phenomena, that admits only a more
restricted group (the Lorentz tranformations). This group, that cannot be further restricted
by any representation of the phenomena, is characteristic of the system under question.
The invariance with respect to it is a physical property of the system and, in the sense of the
Author, it represents the postulate of relativity for the corresponding domain of phenomena.
In Einsteins general theory of relativity, through appropriate choice of the coordinates,
the field equations can be converted in a form that is no longer covariant under the group of
coordinate transformations. The Author provides a series of examples of such conversions.
But the equations converted in this way in general no longer admit any group, and in this
sense Einsteins theory of general relativity is an absolute theory, while the special theory
of relativity satisfies the postulate of relativity for the Lorentz transformations also in the
sense of the Author.
When reading Kretschmanns paper today, one confronts its lengthy, sometimes obscure
pages with a growing sense of admiration for the keen physical intuition that drove its author
to a right conclusion despite his lack of the correct mathematical tools for tackling the
difficult questions that he addressed, and forced him to try, one after another, several paths
of thought that he critically evaluated not to be fully satisfactory in one way or another.
In the present chapter Kretschmanns comparison between the group theoretical assessment of the special and of the general theory of relativity is reconsidered by availing of
the mathematical tool that is lacking in Kretschmanns work, i.e. the group of infinitesimal

The Group Aspect in the Physical Interpretation of General Relativity Theory

301

Killing motions to be associated to each theory endowed with a metric tensor. If the group
properties of both flat and curved spaces need to be compared through the same mathematical tool, it is this group that must take the role of what Kretschmann calls the group
of invariance, the one endowed with physical meaning, that he so many times invokes in
his paper as the one needed for properly assessing the relativity postulate of each theory.
From this recognition several relevant consequences immediately follow for the way that
must be kept when physically interpreting the solutions to the field equations of general
relativity endowed with nontrivial groups of invariance.
But let us go back at present to special relativity and to its group theoretical assessment, that has constituted the mathematically and physically sound paradigm from which
Kretschmann has moved for building his interpretation of general relativity as an absolute
theory.

2.

Finding the group of invariance in special and in general relativity

The reader shall forgive us if we recall here concepts that have been perused in all the
textbooks of relativity since a long time. We need to do so for retrieving a mathematical
formulation, that may have the distinct advantage of being applicable without change both
to the special and to the general theory of relativity.
The Poincare group of transformations between the inertial coordinate frames 1 of special relativity can be given in principle many representations. The generally adopted one
relies on what Landau and Lifshits [7] once called Galilean coordinates x1 = x, x2 = y,
x3 = z, x4 = t, and on the Minkowski metric, expressed with respect to these coordinates:
ik = diag(1, 1, 1, 1),

(1)

that is invariant 2 under the coordinate transformations of the Poincare group. When this
representation is adopted, the coordinates are not just labels for identifying events; due to
the particular form of ik , they have a direct metric reading, i.e. to each particular system of
coordinates a physically admissible reference frame, to be built with rods, clocks and light
signals, is directly associated in one-to-one correspondence. As a consequence, by availing
of this representation, one recognizes that the Poincare group, besides being, from a mathematical standpoint, the group of invariance of ik , is endowed with direct physical meaning.
The invariance of ik under the Poincare group constitutes what Kretschmann once called
the physically meaningful relativity postulate of the original theory of relativity.
However, it is quite possible, and Kretschmann was fully aware of this [9, 4], that one
accounts for special relativity by adopting a general system of curvilinear coordinates, with
the associated group of general coordinate transformations. This move has the distinct advantage of freeing the coordinate systems from the duplicity of function that they play in the
1

The notion reference frame acquired in the meantime a meaning different from coordinate system, although
in special relativity both are usually intimately connected.
2
One cannot help recalling here the ironic sentence by Felix Klein: Was die modernen Physiker
Relativitatstheorie nennen, ist die Invariantentheorie des vierdimensionalen Raum-Zeit-Gebietes, x, y,
z, t (der Minkowskischen Welt) gegen u ber einer bestimmten Gruppe von Kollineationen, eben der
Lorentzgruppe[8].

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Salvatore Antoci and Dierck Ekkehard Liebscher

previous account, i.e. both providers of labels for the identification of the events, and elements to which the transformations of the invariance group directly apply. We do not know
whether these coordinate systems can maintain a physical role beyond the purely topological one of identifying the events, namely, whether reference frames can be associated with
these curvilinear coordinates too, as it was hoped for by Einstein [3]; today, the answer to
the above question is the identification of a reference frame at a given event with the vector
base in its tangent Minkowski space-time 3. However, we are sure that in general relativity the latter coordinate systems have no relation whatsoever with the physically relevant
invariance group of the special relativity theory 4 .
The adoption of curvilinear coordinates for expressing the theory of special relativity
is fundamental for acknowledging that the restriction of the allowed coordinate systems to
the ones corresponding to the inertial frames, although very intuitive and convenient for the
calculations, is conceptually inessential. The eventual recognition of the group of invariance
of the metric in a given theory is the true scope that we aim at, either in the special or in the
general theory of relativity, and we shall equip ourselves with the appropriate mathematical
tool. Since the absolute differential calculus of Ricci and Levi Civita is naturally expressed
with curvilinear coordinates, these shall constitute an appropriate choice for accomplishing
our task.
There is a fundamental difference between the special and the general theory of relativity, that is decisive for the very choice of the group of invariance that we shall look at
in both cases, and for the unique mathematical tool that we shall eventually adopt for the
comparison. In special relativity, as it is evident just because Galilean coordinates can be
used in the double role explained above, the representation of the group of invariance has
a global character, while in a nontrivial pseudo Riemannian manifold a group of invariance
of the metric, if it exists at all, in general can be identified mathematically only in the infinitesimal neighbourhood of each event. The several, keen but unsuccessful attempts by
Kretschmann to provide a global identification of the invariance group through explicit analytic or geometric procedures both in the case of special relativity as seen in curvilinear
coordinates, and in the case of general relativity, testify the difficulty of the global problem,
on which scarce progress has occurred since Kretschmanns times.
Happily enough, if we investigate the invariance group of the metric in the infinitesimal
neighbourhood of each event, by availing of the powerful tools provided by Lie and by
Killing [10] we can identify and use the algebra of the Killing vectors that prevails in each
one of these neighbourhoods, both in the special and in the general theory of relativity. The
conceptual problem is thereby reduced to the mathematical problem of finding the solutions
of the Killing equations (14) of Appendix A and of studying the group properties of the infinitesimal Killing motions found in this way. As it is evident from Appendix A, the group
of the infinitesimal Killing motions does not deal with infinitesimal point transformations:
by its very nature, this method analyses the invariance group of the metric under infinitesimal Mitschleppen (dragging along). This change of objective may appear inessential for
3
In this way, one obtains a field of frames which generates a teleparallel transport with torsion instead
of curvature. The transformations of the frames form the Lorentz group at each point separately, and eventdependent Lorentz transformations for the field of frames. Eventually, already Einstein tried to generalize the
theory to implement the electromagnetic field in this direction.
4
The choice of the coordinate system as well as that of the field of frames do not enter any observable here.

The Group Aspect in the Physical Interpretation of General Relativity Theory

303

special relativity, due to the homogeneous character of the considered manifold. In this
case, the global answer that the invariance group of the metric is the Poincare group can
be reached anyway, by starting from the infinitesimal Killing group, only through a more
complicated argument. The study of the invariance group for infinitesimal Mitschleppen,
however, is the only one that is possible in general for a pseudo Riemannian, curved manifold. The infinitesimal Killing vector group is therefore the tool for realizing Kretschmanns
program of comparison of the invariance groups of the metric that prevail in the special and
in the general theory of relativity respectively.
The search for the Killing group for both special and general relativity is straightforward
and confirms Kretschmanns objection of 1917: while the Killing group of the metric of
special relativity is the Poincare group for infinitesimal motions, for a general solution of
the field equations of general relativity the Killing group reduces to the identity, i.e. general
relativity, despite its very name, is indeed an absolute theory.

3.

Applying Kretschmann standpoint to solutions with intermediate relativity postulate

Finding exact solutions to the field equations of general relativity is a very demanding
task; no wonder then if in the decades-long search for new solutions, since when Karl
Schwarzschild discovered the spherically symmetric, static solution that bears his name
[13], the problem has been eased by limiting the search to the simpler solutions for which
the Killing groups of the metric are intermediate between the one of special relativity and
the one, endowed only with the identity, of the most general solutions of general relativity.
As a consequence, the invariance groups of the metric fields that we can really explore are
nontrivial and, according to Kretschmanns standpoint, intrinsic physical content is introduced a priori. Let us notice that the idea of a particular physical content associated with
a particular nontrivial invariance group of the metric is fully in keeping with the findings
by Hilbert, Klein and with the fundamental result by Noether [2, 11, 12] about the essential
link between invariance and conservation laws.
We are therefore confronted with a very interesting, but really difficult situation. The
very fact that in general relativity each particular solution of the field equations exhibits its
own particular content of the physically relevant invariance group is a novel feature that
counters our expectations. We were prepared to search for a unique, once for all theory
of the observables of general relativity, like it happens in special relativity, for which the
Killing group is fixed from the outset. In general relativity these observables should behave
as scalars under the group of coordinate transformations, because tensor quantities depend
on the choice of the coordinates, which are today generally presumed to be mere labels for
identifying events, otherwise devoid of physical meaning 5 . But we do not know how to find
general exact solutions, for which these observables might display their full structure and
meaning, and even if we could find these solutions and calculate their observables, the latter
could not have any resemblance to the observables of special relativity. In fact, besides being invariant quantities, we know in advance that they would obey no genuine conservation
5

Scalars obtained by considering the tetrad components of some tensor with respect to some tetrad field
would be equally devoid of physical meaning, due to the arbitrariness in the choice of the tetrad field.

304

Salvatore Antoci and Dierck Ekkehard Liebscher

law, since the Killing group of such general solutions would contain only the identity. We
must content ourselves, however, with the examples provided by the particular solutions
endowed with a nontrivial Killing group which, if the Riemann tensor is nonvanishing, is
different from and endowed with less elements than the Poincare group.
Let us explore, by availing of Kretschmanns and Noethers standpoint, some well
known solutions of general relativity, like the Schwarzschild solution, both with the original, pondered choice of the manifold done by Schwarzschild [13] himself and in the form,
endowed with an inequivalent manifold, accidentally introduced 6 by Hilbert [14], as well
as its Kruskal-Szekeres maximal extension [17, 18]; the Kerr-Newman solution [19, 20]
will be considered too. There is also a body of literature on the so-called boost-rotation
symmetric solutions 7 that seems worth of analysis. The perusal of these manifolds from
the above mentioned standpoint leads to disconcerting results. All these solutions, with
the exception of Schwarzschilds original manifold [13], have one feature in common: the
manifold, on which the solution is defined, happens to be built from the juxtaposition of
submanifolds endowed with different invariance groups of the metric, hence with different intrinsic physical meaning, because, according to Noether [12], the quantities that are
conserved in each one of the submanifolds are physically different.
This peculiar behaviour, common to the solutions mentioned above, with the exception
of Schwarzschilds original solution, is invariably due to the presence, within the manifold, of surfaces on which the character of one Killing vector field changes from timelike
to spacelike or vice versa, with a consequent change of the physical meaning of the prevailing Killing group when one crosses one such surface of junction between neighbouring
submanifolds. This is a well known behaviour, but the danger of allowing in this way for
intrinsically nonsensical, patchwork manifolds, with unrelated physical processes, subject
to unrelated conservation laws going on severally in each of the submanifolds, has been
intimated only recently [33].
The adoption of such composite manifolds as models of some physical reality has occurred because the criteria adopted for their selection have been based exclusively on the
two very important notions of local singularity and of geodesic completeness. The two notions are deeply intertwined in the studies that have been developed during many years while
searching for a general, invariant and physically satisfactory definition of singular boundary in general relativity 8 . It is not here the place for recalling them in extenso. Suffice it
to say that the notion of intrinsic, local singularity has been associated with the divergent
behaviour of the polynomial invariants built with the metric gik , with the Levi-Civita symbol iklm , with the Riemann tensor Riklm and with its covariant derivatives, when some
limit boundary is approached along a geodesic path. A manifold is said to be geodesically
complete when its geodesics either can be defined for any value of their affine parameter,
or meet some limit boundary where some of the above mentioned polynomial invariants
diverge. The occurrence of the latter divergence is of course an appropriate, sufficient condition for defining a singularity intrinsic to the manifold, and the requirement of geodesic
6
For a historical account on Schwarzschilds original manifold and on the inequivalent choice of the manifold done by Hilbert, one may consult [15] and [16].
7
From the references on the subject let us quote here only the solutions with nonspinning sources, reported
and investigated in [23], [24], [25], [26], [27, 28, 29], [30, 31], [32].
8
see for instance [34, 35, 36, 37] [38, 39, 40, 41].

The Group Aspect in the Physical Interpretation of General Relativity Theory

305

completeness is likely to be a geometrically and physically correct regularity criterion for a


general solution, for which the Killing group reduces to the identity.
When this criterion is applied to the solutions mentioned above, for which the Killing
group does not reduce to the identity, the following assessment is reached:
Schwarzschilds original manifold [13] is defective, because of geodesic incompleteness. No geodesic reaching an intrinsic singularity due to the divergence of some
polynomial invariant of the Riemann tensor can be drawn on it.
Hilberts manifold is defective due to geodesic incompleteness too. Geodesics hitting
an intrinsic singularity of the previously defined kind, or emanating from it, can be
drawn, but one fails to assign to them a proper arrow of time 9 .
The Kruskal-Szekeres manifold [17, 18] is geodesically complete and has a proper
arrow of time.
The Kerr-Newman manifold [19, 20] lacks geodesic completion and does not have a
proper arrow of time. Both the Kerr and the Reissner-Nordstrom [21, 22] manifolds
have been severally completed.
The so-called boost-rotation symmetric manifolds of [23]-[32] generally await
geodesic completion.
When confronted with the diagram of the Kruskal-Szekeres manifold, the perception that a
consequent reasoning has eventually led us to acknowledge the need of these four quadrants
for properly describing, in general relativity, the gravitational field of one material particle at
rest, this perception has been sufficient to raise in some relativists the following doubt. The
faultless logic of the program of geodesic completion is of course likely to be quite correct
for a general solution to the field equations of general relativity, for which the invariance
group of the metric contains only the identity, hence it is irrelevant. Is not it possible
that the same program may instead lead us astray when applied to manifolds that happen
to be invariantly, intrinsically divided in submanifolds, because nontrivial and physically
different invariance groups of the metric prevail in different parts of the complete manifold?
The further consideration of the infinite repetitions occurring in the diagrams needed to
perfect the program of geodesic completion for both the Kerr and the Reissner-Nordstrom
solutions cannot but strengthen the doubt raised already by the Kruskal-Szekeres manifold,
and leads one to wonder whether something similar to what occurred to Goethes Zauberlehrling is happening here.
If one imposes instead the condition that, in order to be a model of some physical reality,
a manifold must not contain in its interior local, invariant, intrinsic singularities, and must
be endowed with a unique group of invariance, the assessment of the solutions previously
considered becomes the following:
9
As required by Synge [42], a proper arrow of time shall satisfy both the postulate of order, according
to which the affine parameter on one geodesic is always increasing or decreasing when one goes along the
geodesic in a given sense, and the non-circuital postulate, according to which one cannot build, with segments
of geodesics, a closed loop on which the time arrow always points in the same sense. For the arrow of time in
Hilberts manifold see also [43, 16].

306

Salvatore Antoci and Dierck Ekkehard Liebscher

Schwarzschilds original manifold fulfills the condition.


Hilberts manifold, that we consider here in the usual coordinate system due to Hilbert
[14], does not fulfill the condition because the hypersurface orthogonal, timelike
Killing vector that can be uniquely drawn at each event for which r > 2m becomes
spacelike for 0 < r < 2m.
The Kruskal-Szekeres manifold does not fulfill the condition for the same reason as
the one prevailing with Hilberts manifold.
The interval of the Kerr-Newman manifold, expressed in Boyer-Lindquist coordinates, reads:
%2 2
sin2 2
((r + J 2 )d Jdt)2
dr %2d2

%2

+
(dt J sin2 d)2,
%2
= r2 + J 2 + Q2 2M r,

ds2 =

(2)

%2 = r2 + J 2 cos2 ,
and the manifold does not fulfill
p the condition. A uniform Killing group structure
prevails for r > r0 = M + M 2 J 2 Q2 . One can fulfill the condition by
ending the manifold there.
The boost-rotation symmetric manifolds quoted in footnote [7] do not fulfill the condition, because they are obtained through the juxtaposition of submanifolds endowed
with physically different groups of invariance. Again, we are confronted with a hypersurface orthogonal, timelike Killing vector that becomes spacelike on crossing
certain hypersurfaces [33].

4.

The singular border between submanifolds endowed with different invariance groups

Despite the fact that the submanifolds into which the previously considered solutions have
been divided are invariantly defined, one might still wonder why one should truncate manifolds that are geodesically complete, when no singularities defined through the polynomial
invariants of the Riemann tensor occur at the borders produced in that way, and when regular geodesics can be drawn across them. The question can be answered by remarking
that geodesics are very special worldlines, and that the regularity of all the wordlines either
crossing such borders or lying closer and closer to them should be investigated.
With the manifolds considered in the previous section, however, one does not need
to accomplish such a cumbersome program for reaching the answer. The nontrivial Killing
structure of the considered solutions allows in fact the definition of local, invariant, intrinsic
quantities besides the just mentioned polynomial invariants, and these quantities happen to
exhibit a divergent, singular behaviour when the borders between submanifolds endowed
with different invariance groups are approached.

The Group Aspect in the Physical Interpretation of General Relativity Theory

307

The Killing group of Schwarzschilds original manifold [13], hence the Killing structure
of both the submanifold of Hilberts solution [14] for r > 2m, and of the left and right
quadrants of the Kruskal-Szekeres manifold [17, 18], define at each event a unique [44],
hypersurface-orthogonal, timelike Killing vector i :
i i > 0, i;k + k;i = 0, [i k,l] = 0.

(3)

Due to its uniqueness, and since each hypersurface orthogonal to it is spacelike, this vector
defines the unique direction of absolute rest in the manifold where it prevails, and allows to
build congruences of absolute rest. Let us calculate the first curvature of one such congruence, i.e. the four-acceleration
ai =

Dui
dui

+ ikl uk ul ,
ds
ds

(4)

where D/ds indicates the absolute derivative, and ui = dxi /ds is the four-velocity tangent
to the chosen congruence. From it one builds the norm
= (ai ai )1/2.

(5)

Due to its very definition, this local, invariant quantity is also intrinsic to the manifold where
it prevails. When Schwarzschilds solution is written by using Hilberts coordinates x1 = r,
x2 = , x3 = , x4 = t, its interval reads
ds2 = (1 2m/r)dt2

dr2
r2 (d2 + sin2 d2 ).
1 2m/r

(6)

We evaluate now the norm of the four-acceleration along a congruence of absolute rest
for Schwarzschilds manifold, that is accounted for in Hilberts coordinates by (6) with
r > 2m. It reads
"
#1/2
m2
.
(7)
= 3
r (r 2m)
This local, invariant, intrinsic quantity diverges for r 2m. It defines a singularity that one
meets when considering congruences of absolute rest closer and closer to the inner border
of Schwarzschild manifold, i.e. closer and closer to the borders drawn in the interior of both
the Hilbert and the Kruskal-Szekeres manifolds.
In this case the answer to the previous question is therefore simply: the border between
the submanifolds endowed with different invariance groups of the just examined solutions
is to be considered singular from a geometric standpoint, as soon as one does not limit the
attention to the polynomial invariants built with the Riemann tensor. As noticed long ago
10 by Whittaker [45] and by Rindler [46], besides the geometrical meaning, , and its singularity, have an immediate physical meaning too. Let us consider a test body of unit mass
kept on a congruence of absolute rest by a dynamometer of negligible mass; also the other
end of the dynamometer is assumed to follow a congruence of absolute rest. According
10

before Synge [48] eventually convinced the relativists that the wise plan is to forget about Newtons arrow
and say gravitational field = curvature of space-time.

308

Salvatore Antoci and Dierck Ekkehard Liebscher

to Whittaker and Rindler, the quantity then equals the strength of the gravitational pull
measured by the dynamometer [47].
Also the left and right quadrants of the so called boost-rotation symmetric solutions
of footnote [7] are endowed, at each event, with a unique timelike Killing vector that is
hypersurface-orthogonal with respect to a hypersurface of spacelike character 11 . Therefore, this Killing vector too uniquely defines a direction of absolute rest, and from it a
unique congruence of absolute rest is again obtained. Since the worldlines of the material
particles of these solutions never cross the congruences of absolute rest, they can only be
interpreted as worldlines of particles in a condition of absolute rest. Their current interpretation as worldlines of particles executing a uniformly accelerated motion with respect to
an asymptotic reference system at spatial infinity is problematic [33], because it relies on an
approximate asymptotic symmetry that contradicts the exact invariance group of the metric
prevailing everywhere in the submanifolds of the left and right quadrants.
Like it happens in the Kruskal-Szekeres manifold, on crossing the boundaries between
the left and right submanifolds and the upper and lower submanifolds of these solutions the
unique timelike, hypersurface-orthogonal Killing vector becomes null and then spacelike.
Let us calculate the norm of the four-acceleration along congruences of absolute rest
lying closer and closer to the boundaries of the left and right submanifolds with the upper
and lower submanifolds of the solutions of footnote [7]. We can expect 12 that we shall find
a local, invariant, intrinsic singularity of nonpolynomial kind, associated with the change
of the invariance group that prevails there. This is indeed the case, as it was already shown
in [33], to which the interested reader is referred for details.
In the Kerr-Newman solution, defined in Boyer-Lindquist coordinates by the interval
(2), no unique, hypersurface-orthogonal, timelike Killing vector exists. However,
a singular
p
2
behaviour of on approaching the boundary located at r = r0 = M + M J 2 Q2
can be invariantly proved as follows. Let and be two constants. The elements
k

= +
xk
t

(8)

of the Killing group prevailing for r > r0 define invariantly a set of orbits. The squared
norm of the first curvature on these orbits
2 = gij ai aj = gij (

p
i k j l
);k ( );l , with N = gmn m n ,
N N N N

(9)

contains always the factor 1/ and p


diverges for orbits taken closer and closer to the surface
= 0, for which r = r0 = M + M 2 J 2 Q2. All Killing congruences defined by
(8) are spacelike in the limit 0 except p
for the case given by = J/(r02 + J 2 ) . This
congruence is timelike for r > r0 = M + M 2 J 2 Q2 and null in the limit r r0 .
The norm of its first curvature, i.e. the norm of its acceleration diverges in the same limit
13 . Hence, in the Kerr-Newman case, at the surface r = r a local, invariant, intrinsic
0
11
In fact, the manifolds of these quadrants are diffeomorphic to the Weyl-Levi Civita manifolds [49, 50], for
which the Killing group structure was examined in [44].
12
in complete agreement with what occurs to the norm of the four-acceleration calculated along a congruence of absolute rest in the left and right quadrants of the Kruskal manifold.
13
In the case of a static metric, J = 0, the congruence turns out to be the hypersurface-orthogonal one.

The Group Aspect in the Physical Interpretation of General Relativity Theory

309

singularity is defined, despite the fact that the polynomial invariants built with the Riemann
tensor are regular there.

5.

Conclusion

We all learned that the Riemann curvature is the root of all scalar invariants that can be
constructed at a certain event when only the metric in its infinitesimal neighbourhood is
known. In the generic case (the case with trivial Killing group) this is not questioned. However, when the Killing group of a manifold is not trivial, its properties may produce local,
intrinsic, invariant quantities without counterpart in quantities built with the polynomial
invariants of the Riemann tensor.
Pasting together submanifolds endowed with nontrivial, physically different Killing
groups, besides being a move not to be recommended per se, may produce a divergent
behaviour when such invariant, intrinsic quantities are calculated at events closer and closer
to the borders between the above mentioned submanifolds, even if the polynomial invariants
of the Riemann tensor are not divergent there.

A The infinitesimal Killing vectors


A very simple definition of the infinitesimal Killing vectors is given by [7] and is reproduced
here for the readers convenience. Let us consider a pseudo Riemannian manifold equipped
with two coordinate systems x0i and xi such that
x0i = xi + i ,

(10)

where i is an infinitesimal four-vector. Under this infinitesimal coordinate transformation,


the components of the metric tensor g 0ik in terms of g ik read
g 0ik (x0p) =

k
i
x0i x0k lm p
ik p
im
km
g
(x
)

g
(x
)
+
g
+
g
.
xl xm
xm
xm

(11)

The quantities in the first and in the last term of (11) are calculated at the same event (apart
from higher order infinitesimals). We desire instead to compare quantities calculated for the
same coordinate value, i.e. evaluated at neighbouring events separated by the infinitesimal
vector i . To this end, let us expand g 0ik (xp + p ) in Taylors series in powers of p . By
neglecting higher order infinitesimal terms, we can also substitute g ik for g 0ik in the term
containing i of the expansion truncated at the first order term, and find:
g 0ik (xp) = g ik (xp ) + g im

i
g ik m
k
km
+
g

.
xm
xm xm

(12)

But the difference g ik (xp) = g 0ik (xp)g ik (xp ) has tensorial character and can be rewritten
as
(13)
g ik (xp ) = i;k + k;i
in terms of the contravariant derivatives of i . When
i;k + k;i = 0

(14)

310

Salvatore Antoci and Dierck Ekkehard Liebscher

the metric tensor g ik goes into itself under Lies Mitschleppen [10]. An infinitesimal
Killing vector is a four-vector i that fulfills (14).

References
[1] Einstein, A., (1915). Sitzungsber. Preuss. Akad. Wiss., Phys. Math. Kl. , 844 (submitted
25 Nov. 1915).
[2] Hilbert, D., (1915). Nachr. Ges. Wiss. Gottingen, Math. Phys. Kl., 395 (submitted 20
Nov. 1915).
[3] Einstein, A., (1916). Annalen der Physik 49, 769.
[4] Kretschmann, E., (1917). Annalen der Physik 53, 575.
[5] Einstein, A., (1918). Annalen der Physik 55, 241.
[6] Frank, Ph., (1917). Jahrbuch Forts. Math. 46, 1292.

[7] Landau, L. and Lifshits, E., (1970). Theorie des champs , Editions
Mir, Moscou.
[8] Klein, F. (1910). Jhrber. d. d. Math. Vereinig. 19, 287.
[9] Kretschmann, E., (1915). Annalen der Physik 48, 907.
[10] Schouten, J.A., (1954). Ricci-calculus; an introduction to tensor analysis and its geometrical applications, Springer, Berlin.
[11] Klein, F., (1917). Nachr. Ges. Wiss. Gottingen, Math. Phys. Kl., 469.
[12] Noether, E., (1918). Nachr. Ges. Wiss. Gottingen, Math. Phys. Kl., 235.
[13] Schwarzschild, K., (1916). Sitzungsber. Preuss. Akad. Wiss., Phys. Math. Kl. , 189.
[14] Hilbert, D., (1917). Nachr. Ges. Wiss. Gottingen, Math. Phys. Kl., 53.
[15] Antoci, S., and Liebscher, D.-E., (2003). Gen. Relativ. Gravit. 35, 945.
[16] Antoci, S., and Liebscher, D.-E., (2006). General Relativity Research Trends ,
Albert Reimer ed., pp. 177-213, Nova Science Publishers, New York. See also:
http://arxiv.org/abs/gr-qc/0406090.
[17] Kruskal, M.D., (1960). Phys. Rev. 119, 1743.
[18] Szekeres, G., (1960). Publ. Math. Debrecen 7, 285.
[19] Kerr, R. P., (1963). Phys. Rev. Lett. 11, 237.
[20] Newman, E. T., Couch, E., Chinnapared, K., Exton, A., Prakash, A., and Torrence, R.,
(1965). J. Math. Phys. 6, 918.
[21] Reissner, H., (1916). Annalen der Physik 50, 106.

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[22] Nordstrom, G., (1918). Proc. R. Acad. Amsterdam 20, 1238.


[23] Bondi, H. (1957). Rev. Mod. Phys. 29, 423.
[24] Bonnor, W.B., and Swaminarayan, N.S., (1964). Zeits. f. Phys. 177, 240.
[25] Israel, W., and Khan, K.A., (1964). Nuovo. Cim. 33, 331.
[26] Bonnor, W.B., (1966). Wiss. Zeits. Jena (Math-Nat. Reihe) 15, 71.
[27] Bica k, J. (1968). Proc Roy. Soc. A 302, 201.
[28] Bica k, J., Hoenselaers, C., and Schmidt, B.G., (1983). Proc. Roy. Soc. Lond. A 390,
397, 411.
[29] Bica k, J., and Schmidt, B.G., (1984). J. Math. Phys. 25, 600.
[30] Bonnor, W.B., (1983). Gen. Rel. Grav. 15, 535.
[31] Bonnor, W.B., (1988). Gen. Rel. Grav. 20, 607.
[32] Bica k, J., and Schmidt, B.G., (1989). Phys. Rev. D 40, 1827.
[33] Antoci, S., Liebscher, D.-E., and Mihich, L., (2006). Gen. Rel. Grav. 38, 15. See also:
http://arxiv.org/abs/gr-qc/0412102.
[34] Geroch, R., (1968). J. Math. Phys. 9, 450.
[35] Geroch, R., (1968). Annals of Physics 48, 526.
[36] Schmidt, B.G., (1971). Gen. Rel. Grav. 1, 269.
[37] Geroch, R., Kronheimer, E.H., and Penrose, R., (1972). Proc. R. Soc. Lond. A 327,
545.
[38] Ellis, G.F.R., and Schmidt, B.G. (1977). Gen. Rel. Grav. 8, 915.
[39] Thorpe, J.A., (1977). J. Math. Phys. 18, 960.
[40] Geroch, R., Liang Can-bin, and Wald, R.M., (1982). J. Math. Phys. 23, 432.
[41] Scott, Susan M., and Szekeres, P., (1994). J. Geom. Phys. 13, 223.
[42] Synge, J.L., (1950). Proc. R. Irish Acad. 53A, 83.
[43] Rindler, W., (2001). Relativity, special, general and cosmological , Oxford University
Press, Oxford, pp. 265-267.
[44] Ehlers, J., and Kundt, W., (1964). Gravitation, An Introduction to Current Research ,
L. Witten ed., Wiley, New York, pp. 49-101.
[45] Whittaker, E. T., (1935). Proc. R. Soc. London A 149, 384.
[46] Rindler, W., (1960). Phys. Rev. 119, 2082.

312

Salvatore Antoci and Dierck Ekkehard Liebscher

[47] Antoci, S., Liebscher, D.-E., and Mihich, L., (2001). Class. Quantum Grav. 18, 3463.
Also: http://arxiv.org/abs/gr-qc/0104035.
[48] Synge, J. L., (1966). What is Einsteins Theory of Gravitation? , in: Hoffman, B. (ed.),
Essays in Honor of Vaclav Hlavaty , Indiana University Press, Bloomington, p. 7.
[49] Weyl, H., (1917). Annalen der Physik 54, 117.
[50] Levi-Civita, T., (1919). Rend. Acc. dei Lincei 28, 3.

In: Group Theory


Editor: Charles W. Danellis, pp. 313-322

ISBN 978-1-60876-175-3
c 2010 Nova Science Publishers, Inc.

Chapter 11

L ONG T IME B EHAVIOUR OF THE W IENER P ROCESS


ON A PATH G ROUP
Remi Leandre
Institut de Mathematiques, Universite de Bourgogne, 21000, Dijon, France.

Abstract
We show that the law of the Wiener process on a path group tends to the Haar
distribution on a path group

1.

Introduction

Let us recall the definition of a Borelian positive measure. Let be a metric separable
space. Let F be its Borelian -algebra. A positive Borelian measure is a map from F
into R+ {} such that:
-)If A and B are two elements of F with an empty intersection
(A B) = (A) + (B)

(1)

-)If An is an increasing family of F ,


(An ) = lim (An )

(2)

(A) <

(3)

-)If A is relatively compact,


be a topological separable group. The Haar measure on it is the unique positive
Let G
for all borelian A
measure
if it exists such that for all g G,
=
g) =

(
gA)
(A
(A)

(4)

It is a classical result of measure theory that the Haar measure exists on a topological group
if and only the group is locally compact. In such a case the Haar measure is unique, modulo
a normalization.

Remi.leandre@u-bourgogne.fr

314

Remi Leandre

Let us consider a compact connected d dimensional Lie group G. We can suppose


without any restriction that is a subgroup of S0(n), the group of orthogonal transformation
of the Euclidean space Rn . We do this remark only to simplify the exposition. The Haar
probability mesure is denoted dg.
Let us consider the Brownian motion on Lie(G) t Bt , t 0, starting from 0. Its law
is caracterized by the following two facts for all t > s:
-i)Bt Bs is independent of the family of all Bs0 s0 s.
-ii)Bt Bs has the law of a Gaussian variable on Lie(G) of average 0 and covariance
(t s)Id.
By the Kolmogorov lemma ([14], [16]), t Bt has a continuous version. We can
introduce the stochastic linear equation in the Stratonovitch sense ([8], [16])
dxt(g) = xt (g)dBt ; x0 (g) = g

(5)

In order to understand it, we can consider the Wong-Zakai approximation of it ([8]). Let us
consider the polygonal approximation Btn of the Leading Brownian motion with mesh 1/n.
We consider the ordinary random differential equation:
dxnt (g) = xnt dBtn ; xn0 (g) = g

(6)

The Wong-Zakai theorem states that xnt (g) tends in all the Lp to xt (g). t xt (g) is called
the Brownian motion on G. It defines a semi-group of C (G). If f C (g),
Pt [f ](g) = E[f (xt(g))]

(7)

Pt satisfies the following properties:


Pt Ps [f ](g) = Pt+s [f ](g)
Pt [f ](g) f (g)
= 1/2Lf (g)
t0
t
where L is the Canonical Laplacian on G:
X
L=
i2
lim

(8)
(9)

(10)

where i is a orthogonal basis of the Lie algebra of G (The elements of the Lie algebra
are left invariant vector fields on G). The Haar probability measure is the unique invariant
measure for the Brownian motion on G. This means that
Z
Z
Pt [f ](g)dg =
f (g)dg
(11)
G

Moreover, if f is smooth ([8]),


lim Pt [f ](g) =

f (g)dg

(12)

We are motivated in this work by an extension in infinite dimension of these classical


results. There are two difficulties to overcome:

Long Time Behaviour of the Wiener Process on a Path Group

315

-)We have to define a suitable extension of the Haar measure for a non locally compact group. It is provided by the theory of Hida distribution in infinite dimension with a
geometrical meaning of Leandre ([10], [11], [13]).
-)We have to define a suitable extension of the Brownian motion on a infinite dimensioal
Lie group. It is provided by the theory of the Brownian motion on a current group of AiraultMalliavin-Baxendale ([1], [3], [9]).
We consider in this work the simplest case.
Let G be a compact connected Lie group and let C([0, 1], G) be the set of continuous
paths in G starting from e.
On C([0, 1], G) is constructed the Wiener process t {s xt (s)} starting from the
unit path (See [9] for a review on applications on the infinite dimensional Wiener process
on a mapping space). Leandre ([11]) has shown that the invariant measure of the semigroup associated to the Wiener process on the path group is the Haar distribution on the
path group. The Haar measure on a group exists as a measure if and only if the group is
locally compact. So the Haar measure on the path group does not exist as a measure but as a
distribution in the Hida-Streit approach of functional integral. For a review on geometrical
functional integrals in the Hida-Streit approach, we refer to the review of Leandre ([10]).
Let W.N some weighted Hida test functional space associated to the group G. If
W.N , we associate a functional () on the path group.
The formal Haar measure
R
dD is defined on such functional (). We get a quantity ()dD which is continuous
on W N . We get the main theorem of this work:
RTheorem 1 For any element of W.N , E[()(xt(.))] tends when t to
C([0,1],G) ()dD.
We deduce easily from the main theorem the two following corollaries:
R
Corollary 2 If W.N and if () 0, then C([0,1],G) ()dD 0.
Corollary 3 If W.N and if () = 0, then

C([0,1],G) ()dD

= 0.

We consider the simple example of a path group in order to simplify the exposition, because
this case leads to simple computations. Only rough estimates in this work are performed in
order to simplify the exposition.
Readers interested for others point of view for this type of problems can look at [2] and
[15].

2.

The Airault-Malliavin-Baxendale equation

Let us recall the theory of the Airault-Malliavin-Baxendale equation (See [9] chapter 4).
Let H1 be a real Hilbert space of maps S h(S) from a compact Riemannian manifold
M with boundary into R. We perform the following hypothesis:
Hypothesis H: There exists a maps (S, S 0) eS (S 0) such that
-i)h(S) =< h, eS (.) >H1 .
-ii)(S, S 0) eS (S 0) is Hoelder with Hoelder exponent .

316

Remi Leandre

We consider the Brownian motion t Bt (.) with values in H1 . For all s < t, all Si ,
all s0j all Sj0 s the Gaussian random variable (Bt (S1) Bs (S1), .., Bs(Sr ) Bt (Sr )) is
independent of the family Bsj (Sj0 ). Moreover
E[Bt(S)Bt(S 0)] = teS (S 0)

(13)

Let Bi (t) a countable family of independent R valued Brownian motion. Let hi (.) an
orthonormal basis of H1. We get
X
Bi (t)hi (S)
(14)
Bt (S) =
Namely, we have
eS (S 0) =

hi (S)hi(S 0)

(15)

The series (14) does not converge in H1 but in a convenient Hoelder space by Hypothesis
H and the Kolmogorov lemma ([14], [16]). Let us recall the statement of the Kolmogorov
lemma. Let M be a compact Riemannian manifold with boundary. S denotes the generic
element of M and d the Riemannian distance. Let S X(S) be a Rd -valued process. We
suppose that
(16)
E[|X(S0)|p] Cp <
E[|X(S) X(S 0)|p] Cp1 d(S, S 0)p

(17)

Then S X(S) has a version which is -Hoelder and the Lp -norms of his Hoelder
norms can be estimated with the system of Cp and Cp1 only.
Let ei , i = 1, .., d be an orthonormal basis of Lie(G) and Bti (.) d independent Brownian
motion with valued in H1. We consider the family of Brownian motion with valued in G
parametrized by S M :
X
xt (S)eidBti (S) ; x0(S) = e
(18)
dxt (S ==
i

(e is the unit of G). The main result concerning the Airault-Malliavin-Baxendale equation
(18) is that S x1(S) has almost surely an /2  Hoelder version (See [9], chapter 4).
In the sequel, we will choose M = [0, 1] and H the Hilbert space of maps from [0,1]
into LieG s h(s) such that
Z 1
kh0 (s)k2ds = khk2 <
(19)
0

We have
h(s) =

h0 (u)du

(20)

(21)

such that
es (s0 ) = s s0

ei

which satisfies clearly Hypothesis H.


Therefore we can consider the Brownian motion with values in H (t, s) Bt (s). t is
the dynamical time and s the internal time. We consider the Airault-Malliavin-Baxendale
equation on C([0, 1], G), the continuous path space of G (The set of continuous functions
from [0,1] into G starting from e).
dxt (s) = xt (s)dBt(s) ; x0(s) = e

(22)

Long Time Behaviour of the Wiener Process on a Path Group

3.

317

Finite dimensional approximation

Let us consider a compact connected Lie group endowed with its normalized Haar probability measure dg. On Lie(G) we consider the biinvariant Killing metric. We consider on
G the canonical biinvariant Laplacian L. If ei is an orthonormal basis of Lie(G), it corresponds to left-invariant
P first order differential operators i . We can consider the canonical
Laplacian L = di=1 i2 . The semi-group associated Pt is represented by the stochastic
differential equation in the Stratonovitch sense (5), (7). We can consider A = (Ai,j ) a
positive symmetric definite matrix on Rd . The self-adjoint operator associated to A is given
by
X
Ai,j i j f
(23)
LA =
i,j
A
A
This is the generator
of a diffusion semi-group Pt . Pt has the following stochastic representation. Let A be a symmetric square root of A. Let us consider the following
Stratonovitch equation:

A
A
(24)
dxA
t (g) = xt (g) AdBt ; x0 (g) = g

Then
PtA [f ](g) = E[f (xA
t (g))]

(25)

Moreover, the diffusion semi group is left invariant. This means that
PtA [f ](g) = PtA [f (g.)](e)

(26)

because xt(g) = gxt(e). The unique invariant probability measure of PtA is the Haar
probability measure on G. If f is smooth,
Z
f (g)dg
(27)
lim PtA [f ](g) =
t

We consider a set I = (0 < s1 < .. < sn 1) with |I| = n and m(I) = inf(si+1 si ).
If m(I) 6= 0, the diffusion t (xt (si )) = xIt , (si I) constitutes a symmetric leftinvariant diffusion on G|I|. Associated to this diffusion there is a Laplacian LI , and a
semi-group PtI of the considered before when we consider the Lie group G|I|. dg |I| is the
unique invariant measure of PtI which satisfies (27).

4.

Haar distribution on a path group

Let us recall what is the Hida test functional space in a simple case ([7]). Let H2 be the
Hilbert space of L2 functions h(.) from R+ into R. We consider the symmetric tensor
n
product H2 of H2 . It can be realized as the set of symmetric maps hn from (R+ )n into R
such that
Z
|hn (s1 , .., sn)|2ds1 ..dsn = khn k22 <
(28)
(R+ )n

318

Remi Leandre

The P
symmetric Fock space W N0 coincides with the set of formal series =
that n!khn k2 < . To each hn we associate the nth Wiener chaos
Z
n
(h ) =
hn (s1 , .., sn)Bs1 ...Bsn

hn such

(29)

(R+ )n

if Bs is a standard R-valued Brownian motion with law dP .


Moroever EP [|(hn )|2] = n!khn k22 and (hn ) and (hm ) are orthogonal in L2 (dP ).
The L2 of the Brownian motion can be realized as the symmetric Fock space through the
isometry .
We introduce the Laplacian + on (R)+ and we consider the Sobolev space H2,k assoP n
h , we choose a slightly different
ciated to (+ + I)k . On the set of formal series =
Hilbert structure:
X
kk2k,C =
n!C n khn k22,k <
(30)
We get another symmetric Fock space denoted W Nk,C . The Hida test function space
W.N. is the intersection of W.Nk,C k 1, C 1 endowed with the projective topology. The map Wiener chaos realized a map from W.N into the set of continuous
Brownian functional dense in L2(dP ).
In infinite dimensional analysis, there are basically two objects:
-i)An algebraic model.
-ii)A mapping space and a map from the algebraic model into the space of functionals
on this mapping space.
Getzler in his seminal paper [5] was the first to consider another map than the map
Wiener chaos. Getzler was motivated by the heuristic considerations of Atiyah-BismutWitten relating the structure of the free loop space of a manifold and the Index theorem on
a compact spin manifold. Getzler was using as algebraic space a Connes space and as map
the map Chen iterated integrals.
Getzlers idea was developped by Leandre ([10]) to study various path integrals in the
Hida-Streit approach with a geometrical meaning. Especially Leandre ([11], [13]) succeeded to define the Haar measure as a distribution on a current group. Let us recall quickly
the definition on it. We consider a compact Riemannian manifold M (S M ) and a compact Lie group G (g G). We consider the current group C(M, G) of continuous maps
S g(S) from M into G.
-i)Construction of the algebraic model . We consider the positive self-adjoint Laplacian
on M G M G . We consider the Sobolev space Hk of maps from h M G into R such
that
Z
((M G + 2)k h)2 dSdg = khk2k
(31)
M G

We consider the tensor product Hkn associated to it and we consider the natural Hilbert
norm on it (dS and dg are normalizedP
Riemannian measures on M and G respectively).
hn such that
W.Nk,C is the set of formal series =
X
C n khn k2k = kk2k,C <
(32)
The Hida test functional space is the space W.N = W.Nk,C endowed with the projective topology.

Long Time Behaviour of the Wiener Process on a Path Group

319

-ii)Construction of the map . To hn we associate


Z
n
hn (g(S1), .., g(Sn), S1, .., Sn)dS1...dSn
(h )(g(.)) =

(33)

Gn

We put if =

hn
() =

(hn )

(34)

The map realizes a continuous map from W.N into the set of continuous functional
on C(M, G).
-iii)Construction of the path integral. We put if hn belongs to all the Sobolev Hilbert
spaces Hk
Z
Z
(hn )dD =
F (g1, .., gn, S1, .., Sn)dg1..dgndS1..dSn
(35)
C(G,M )

M n Gn

This map can be extended into a linear continuous application from W.N (We say it
is a Hida distribution) into R. This realizes our definition ([10], [11], [13]) of the Haar
distribution on the current group C(M, G).
Let I [0, 1]n. We consider the normalized Lebesgue measure d n on [0, 1]n. Let Li
be the ith partial Laplacian on Gn . We consider the total operator
Lnt =

(Li + 2)

Y 2
( 2 + 2)
si

(36)

which operates on function hn on Gn [0, 1]n and we consider its power (Lnt )k . Let
hn (g n, I) be a function on Gn [0, 1]n. We put
Z
n 2
n
kh kC,k = C
|(Lnt )k hn (g n, I)|2dg nd n (I)
(37)
Gn [0,1]n

We put
=

hn

(38)

kk2k,C =

khn k2k,C

(39)

and we consider the Hilbert norm

Definition 4 The Hida Fock space W.N is the space constituted of the defined above
such that for all k N, C > 0 kk2k,C <
If belongs to W.N , we associate
XZ
()(x(.)) =

hn (g(s1), .., g(sn), I)d n(I)

(40)

[0,1]n

where s g(s) belongs to C([0, 1], G). We have a result analog of [13], but we repeat the
proof to be self-consistent.
Theorem 5 If W.N , () is a continuous bounded function on C([0, 1], G)

320

Remi Leandre

Proof:Let k an orthonormal basis of eigenvectors for the Laplacian L + 2 on G associated


to the eigenvalues k of L. g k denotes the trigonometric function on [0,1] conveniently
normalized, except for g 0(t) = t (or g 0(t == 1 t))(still conveniently normalized) which
2
are associated to the eigenvalues k of the operator s
2 + 2 on [0, 1].
Let K = (k1, .., kn, k10 , .., kn0 ), |K| = n. We introduce
hK (g n, I) =
We have:
(khn kC,k )2 = C n

f ki (gi)

Z
Gn [0,1]n

g ki (si )

(41)

|(Lnt )k hn (g n , I)|2dg nd n (I)

(42)

on the associated Hida Fock space W.N. If


X
hn =
K h K ,

(43)

|K|=n

hn belongs to the Hida Fock space means that for all C > 0, all k
Z
X
|K|
|K| 2
C K
|(Lt )k hK (g |K|, I)|2dg |K|d |K| <
(44)

the fact that =

G|K| [0,1]|K|

But
|K|

(Lt )k hK = kK hK
where K denotes the product of the eigenvalues considered.
Therefore (44) reads:
X
C |K| 2K 2k
K <

(45)

(46)

for all k N and all C > 0.


By the Sobolev imbedding theorem ([6]), the supremum norm of hK can be estimated
in C |K| kK0 .
It remains to show that
X
kK0 |K |C |K| <
(47)
K

as soon as (46) is checked. This come from the fact there exists a small C > 0 and a big k
such that
X
Y
1
<
(48)
C |K| k
K =
k
(1

C
)
l
l
It remains to apply the Cauchy-Schwartz inequality in the left-hand side of (34) in order to
conclude.

We put
Z
Z
(hn )dD =

C([0,1],G)

By doing as in the previous theorem, we get

hn (g n, I)dg nd n

Gn [0,1]n

(49)

Long Time Behaviour of the Wiener Process on a Path Group


321
P n
Theorem
6 The map whichR to =
h belonging to W.N associates
R
P
n
C([0,1],G) (h )dD =
C([0,1] ()dD is a continuous linear application from
W.N into R.
Remark:We could choose a symmetric Fock space in order that hn (g1, .., gn, s1, .., sn) is
symmetric in gi and in si

5.

Proof of the main theorem

For I [0, 1]|I| I = (s1, .., s|I|), we can introduce m(I) = infi6=j |si sj |. If m(I) 6= 0,
we remark that if |I| = n is fixed
Z
K I
hK (g n, I)dg n
(50)
E[h (xt , I)]
Gn

due the fact that the Haar measure on Gn is the unique invariant measure associated to LI .
Morever the supremumu norm of hK is bounded by C |K| kk0 by the Sobolev imbedding
theorem ([6]). Since
Z
E[hK (xIt , I)]d |I|
(51)
E[(hK )(xt (.))] =
[0,1]n

we deduce since we consider probability measures by the dominated Lebesgue convergence the following statement:
Z
K
lim E[(h )(xt(.))] =
(hk )dD
(52)
t

C([0,1],G)

The final result holds from the


Lebesgue convergence and from the next elemenPdominated
tary considerations: let =
K hK , we have
X
E[()(xt(.))] =
K E[(hK )(xt(.))]
(53)
Moreover, since we consider probability measures,
|E[(hK )(xt(.))]| C |K| kK0
And finally by (48)

|K |C |K| kK0 C2 kkC1,k1

(54)

(55)

for some big k1 , C1, C2.

References
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Remi Leandre

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Cambridge University Press (1990).
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INDEX
A
accommodation, 115, 134, 142, 144
acculturation, 87
achievement, iii, 299
adaptation, 116
administrators, 129
Africa, 80, 150
aggression, 104, 130, 157
algebraic geometry, 70
alternative, ii, 53, 63, 88, 126, 155, 167, 190,
218, 221, 260, 291, 300
ambiguity, 104
amplitude, 8, 11, 33
anisotropy, 5
anxiety, 116, 157, 158, 164
applied mathematics, 322
argument, 93, 94, 145, 182, 238, 303
Aristotle, 126
armed conflict, 107, 108, 111, 114, 116, 130, 131
arrow of time, 305
Asia, 150
assessment, 108, 128, 300, 305
assets, 156, 261
assignment, 155, 156, 157, 160
assimilation, 89, 90, 93, 94, 95, 97
assumptions, 94, 95
atomic positions, 9, 13, 15, 20, 23, 31
atoms, 9, 10, 11, 13, 15, 17, 23, 24, 25, 26, 27,
28, 29, 30, 31, 35, 36, 37, 38
attachment, 144
authority, 87, 94, 108, 112, 129, 133, 139, 143,
161
automata, 292, 293, 294
autonomy, 106, 120, 124, 132, 133, 142, 143,
144, 145, 146
avoidance, 116

B
Banach spaces, 174
Bangladesh, 144, 151
behavior, 221
Beijing, 149
beliefs, 92, 117
binding, 119
black hole, 178
blame, 162
blocks, 168, 271, 272, 275
Bosnia, 148, 149
boundary surface, 254, 255
boundary value problem, 238, 254, 255
brainstorming, 160
breaches, 104
Britain, 89, 98, 99, 149
Brownian motion, 314, 315, 316, 318
buffer, 114
building blocks, 69
Bulgaria, 148
bullying, 161

C
calculus, 302, 310, 322
calibration, 11
Canada, 141
candidates, 86, 235
capital punishment, 135
carbon, 89
category a, 47, 52, 56, 72
category b, 72
category d, 44, 52
Cauchy problem, 220, 237
Cauchy-Schwartz inequality, 320
cell, 1, 3, 5, 7, 8, 9, 11, 14, 15, 17, 22, 23, 26, 27,
32, 37, 56, 159, 161, 162

324
channels, 2
chaos, 318
charge density, 10, 12
children, 111, 137
Chile, 149
citizenship, ii, 83, 84, 85, 86, 87, 88, 89, 90, 91,
93, 94, 95, 96, 97, 98, 99
civil law, 142
civil society, 90, 92, 128
civil war, 114
classes, 6, 7, 53, 55, 56, 58, 72
classical mechanics, 184
classification, iii, 12, 65, 181, 217, 233, 237
classroom, 161, 163, 165
classroom management, 165
closure, 49, 50, 55, 188, 213
clusters, 2
coercion, 133
coffee, 162, 163
Cold War, 150
coma, 143
combinatorics, 280
community, ii, 83, 85, 86, 87, 90, 91, 92, 95, 96,
97, 104, 112, 113, 114, 119, 126, 130, 135,
137, 139, 141, 144
compatibility, 133, 138, 141, 144, 145
competence, 154, 162
competition, 128
complement, 118, 196, 200, 204, 206
complexity, 116, 118, 121, 144
components, i, 1, 4, 5, 6, 7, 8, 9, 12, 13, 18, 24,
107, 120, 121, 123, 130, 134, 141, 142, 146,
189, 190, 208, 253, 276, 303, 309
composition, 63, 73, 154, 180, 192, 231, 232,
234, 238, 239, 240, 242, 250, 251, 266
compounds, 14, 25, 28
comprehension, 160
computation, 80, 169, 190, 195, 196, 197, 202,
210, 211, 213, 295, 296
computing, 58, 62, 70, 203, 207, 213
concentration, 10, 155
conception, 86, 87, 89, 92, 93, 94, 97, 98
concrete, iii, 91, 177, 183
conditioning, 94
confession, 108, 117, 131
confessions, 107
configuration, 11
conflict, 108, 109, 115, 116, 120, 141, 157
conformity, 161, 162
confusion, 265, 268
Congress, 165
congruence, 307, 308
conjecture, 43, 69, 215

Index
conjugation, 67
consensus, 108, 162
consent, 119, 133, 142
conservation, 10, 236, 237, 303, 304
construction, i, 1, 4, 5, 6, 7, 10, 21, 61, 71, 76,
137, 146, 178, 183, 184, 185, 187, 194, 196,
198, 199, 200, 203, 206, 207, 210, 211, 213,
214, 232, 266, 281
consumption, 260
continuity, 218, 241
control, 13, 136, 143
convergence, 221, 321
conviction, 111
correlation, 95, 122
coupling, 10
covering, 44, 197
crime, 104, 105, 106, 107, 109, 110, 111, 112,
113, 115, 118, 120, 127, 130, 132, 133, 134,
135, 136, 137, 138, 141, 142, 144, 146
criminals, 116
critical thinking, 157, 162
crystal structure, 2, 10
crystalline, i, 1
crystalline solids, i, 1
crystals, i, 2, 4
cultural practices, 91
culture, 85, 87, 88, 89, 90, 91, 92, 93, 94, 98,
115, 143, 144, 164

D
danger, 304
Darfur region, 112
decay, 172
decision making, 127
decision-making process, 162
decisions, 162
decomposition, iii, 1, 4, 5, 6, 17, 18, 20, 24, 31,
32, 35, 66, 67, 174, 177, 178, 188, 190, 198,
199, 206, 207, 208
defence, 157
defense, 165
definition, 12, 41, 47, 53, 58, 63, 77, 91, 104,
107, 108, 109, 110, 112, 121, 122, 123, 126,
130, 131, 135, 138, 143, 144, 145, 146, 173,
174, 181, 184, 185, 222, 229, 234, 235, 250,
265, 268, 271, 273, 274, 281, 288, 304, 306,
307, 309, 313, 318, 319
deflation, 53
deformation, 13, 32
degenerate, 53, 181, 186, 187
democracy, 87, 90, 92, 93, 96
denial, 87, 109, 133, 135, 138, 142, 145, 157

Index
Denmark, 85, 99
density, 12
dependent variable, 219, 222, 233, 234, 244, 245,
246
derivatives, 219, 222, 226, 229, 233, 235, 236,
244, 245, 246, 247, 253, 258, 259, 261, 304,
309
destruction, 110, 118, 135, 142, 143, 144
detection, 5
deviation, i, 1, 3
differential equations, iii, 217, 218, 219, 221,
222, 227, 228, 231, 233, 235, 236, 237, 238,
244, 322
differentiation, 182, 226, 242
diffraction, 11, 25, 31, 39
diffusion, 10, 92, 260, 261, 317, 322
diffusion process, 260, 261, 322
dignity, 113
dilation, 168, 175
discipline, iii, 105, 113, 217
discourse, 103, 105, 113, 120, 122, 126, 127,
132, 134, 137, 138, 139, 147
discrimination, 131, 136, 139, 140
disorder, 2
displacement, 5
distribution, iv, 10, 12, 13, 32, 33, 34, 156, 157,
172, 260, 313, 315, 317, 318, 319
divergence, 304, 305
diversity, 89
division, 80, 81
draft, 110, 138
duties, 86, 90, 114, 137, 139

E
earth, 14
economics, 126
education, 165
elasticity, 260, 261
electromagnetic, 302
electron, 12
emotion, 158
employment, 90
energy, iii, 5, 11, 178, 217, 236
engagement, 90
environment, 130
equality, 96, 171, 173, 289
equating, 221, 258
equilibrium, 10, 11
ethnic groups, 136
ethnicity, 87, 136, 138
Euclidean space, 314
Europe, 84, 85, 99, 100, 109, 117

325
European Commission, 107, 120
evolution, 11, 119
exclusion, 95, 96, 136, 146
exercise, 112, 122, 123, 139, 142

F
face-to-face interaction, 155
failure, 154
family, 29, 59, 60, 117, 121, 126, 130, 135, 137,
140, 141, 144, 221, 239, 276, 313, 314, 316
family members, 121, 130
feelings, 157, 161
female prisoners, 131
feminism, 125, 130
fibers, 208
field theory, 178
finance, 218, 238
First World, 150
fishing, 141
flexibility, 114, 136
flight, 157, 159, 161, 162, 163, 164
flood, 167
Fock space, 318, 319, 320, 321
focusing, 159, 160
food, 129
fractality, 291, 292, 294, 296
framing, 123, 124
France, 80, 150, 313
free choice, 22, 93
freedom, 2, 4, 5, 26, 27, 92, 93, 119, 142
friendship, 135
frustration, 156
functional analysis, 218

G
gauge theory, iii, 178, 217
gender, 110, 130, 138, 139
gender role, 130
general relativity, 299, 301, 303, 305, 307, 309,
310, 311
generalization, ii, iii, 42, 45, 167, 168, 177, 235,
236
generation, 81
Geneva Convention, 104
genocide, ii, 104, 105, 106, 109, 110, 111, 112,
113, 115, 116, 118, 120, 130, 132, 133, 134,
135, 136, 137, 138, 139, 141, 142, 143, 144,
145, 146
Germany, 167
girls, 143

Index

326
glasses, 122
goals, 141, 153, 154, 164
gossip, 163
governance, 124
government, 85, 91, 116, 119, 121, 123, 125,
130, 131
grants, 114
graph, i, iii, 263, 264, 267, 268, 269, 270, 271,
272, 273, 274, 275, 276, 277, 278, 279, 280,
281, 282, 283, 284, 285, 286, 287, 288, 289,
290, 291, 292, 293, 294, 295, 296
gravitation, iii, 299, 300
gravitational field, 305, 307
gravitational pull, 308
Greece, 117
grounding, 113
group activities, 164
group membership, ii, 83, 87
group processes, ii, 153, 154, 155, 156, 158, 159,
161, 164, 165
group size, 154, 166
group work, 153, 154, 155, 156, 157, 158, 159,
160, 161, 163, 164, 165
groups, i, ii, iii, 2, 11, 13, 30, 32, 34, 36, 42, 43,
47, 48, 49, 50, 61, 62, 64, 65, 66, 68, 69, 71,
73, 79, 80, 81, 86, 87, 105, 109, 110, 111, 112,
115, 123, 124, 130, 133, 134, 135, 136, 137,
138, 139, 140, 141, 142, 145, 153, 154, 155,
156, 157, 158, 159, 160, 161, 162, 163, 164,
165, 166, 177, 178, 179, 183, 186, 190, 206,
211, 213, 216, 217, 231, 232, 233, 234, 236,
242, 264, 266, 291, 292, 294, 301, 303, 304,
305, 306, 307, 309, 321, 322
groupthink, 161
growth, 65
guilty, 111, 133

H
Hamiltonian, 5
hands, 161
harm, 111, 134, 143, 144, 146, 165
harmony, 165
health, 107, 130
heat, 31, 322
heat capacity, 31
hedonism, 125
helplessness, 157
Hilbert space, 170, 264, 266, 267, 274, 290, 315,
316, 317
homicide, 135
Hong Kong, 217
hostility, 157

housing, 90
H-space, 56
human condition, 128
human rights, 103, 104, 105, 106, 107, 108, 112,
113, 114, 115, 116, 117, 118, 119, 120, 121,
127, 130, 132, 133, 134, 135, 137, 138, 139,
140, 141, 142, 143, 146, 149
humanitarian intervention, 109
hunting, 141
hybrid, 128
hydrogen, i, 10, 25, 27, 28, 38
hydrogen atoms, 10
hypothesis, 116, 287, 288, 315

I
ICC, 108, 121, 130, 152
identification, 90, 91, 92, 97, 188, 195, 281, 302
identity, iv, 41, 42, 43, 44, 45, 46, 48, 54, 56, 57,
63, 64, 67, 68, 69, 70, 76, 84, 85, 86, 87, 88,
92, 93, 94, 96, 98, 99, 110, 111, 117, 140, 141,
179, 180, 196, 199, 222, 227, 231, 232, 238,
239, 240, 241, 250, 251, 299, 303, 304, 305
ideology, 113, 130
images, 63, 89
imbalances, 134
immigrants, ii, 83, 84, 85, 86, 89, 90, 93, 94, 98,
115
immigration, 86, 93
incidence, 116
inclusion, iii, 49, 54, 73, 96, 97, 107, 263, 280,
281, 286, 287, 288, 289, 290, 291
independence, 161
independent variable, 222, 223, 224, 226, 230,
232, 233, 237, 244, 245, 246
indices, 4, 228, 267
indigenous, 138, 139, 141
indigenous peoples, 138, 141
individual rights, 96, 138, 139, 140, 141
individualism, 113, 128
individuality, 138, 145
induction, ii, 42, 62, 169
inertia, 14
infinite, 43, 64, 68, 69, 70, 71, 72, 80, 235, 244,
264, 271, 272, 292, 293, 305, 314, 315, 318,
321, 322
inflation, 53
injuries, 121, 143
inmates, 131
innocence, 162
innovation, 105
insight, 218
inspiration, 123, 138

Index
institutionalisation, 96
institutions, 88, 90, 91, 92, 93, 94, 96, 97, 103,
123, 124, 125, 130, 140
instruments, 96, 103, 104, 106, 114, 119, 120,
135, 137, 138, 140
insurance, 261
integration, ii, iii, 83, 84, 88, 89, 90, 91, 92, 93,
94, 95, 96, 97, 98, 174, 217, 223, 225, 230,
233, 234, 322
integrity, 143
intentions, 110
interaction, 5, 92, 154
interdependence, 156
interface, 9
intermetallic compounds, 38
internal time, 316
internalised, 93, 94, 98
International Covenant on Civil and Political
Rights, 114, 135, 136
International Criminal Court, 104, 105, 108, 121,
130, 147, 151
International Labour Organisation, 119
international law, ii, 104, 105, 106, 108, 109,
110, 112, 113, 115, 116, 118, 129, 131, 133,
135, 136, 138, 139, 143, 145, 146, 147
internet, 167
interval, 218, 239, 240, 306, 307, 308
intervention, 114
intuition, 300
invariants, 6, 58, 65, 68, 218, 237, 238, 243, 255,
304, 306, 307, 309
inversion, 47, 179
involution, 207
ions, 8, 11, 14
isolation, 94, 126
Israel, 311
Italy, 177

327

L
labeling, 292, 294
labour, 90
land, 140
Landau theory, 6
language, 84, 85, 86, 87, 88, 90, 91, 92, 93, 94,
96, 97, 110, 113, 140, 141, 294
language policy, 140
language proficiency, 85
language skills, 85
Latin America, 116
lattices, 42, 45, 46, 54, 295
laughing, 162
laws, 114, 115, 236, 300, 303, 304
leadership, 165
learning, 88, 90, 154, 161, 165, 166
learning process, 161
legislation, 94
liberal states, 88, 90
liberalism, 89, 93, 113, 114
Lie algebra, 178, 179, 180, 181, 182, 183, 185,
189, 190, 191, 192, 194, 198, 200, 206, 210,
216, 231, 233, 237, 249, 251, 314
Lie group, i, ii, iii, 43, 167, 177, 178, 179, 181,
182, 187, 190, 192, 198, 206, 213, 214, 215,
216, 218, 231, 235, 236, 238, 239, 240, 242,
243, 244, 245, 247, 249, 250, 251, 252, 254,
255, 260, 314, 315, 317, 318
lifetime, 153, 154
links, 74, 125, 126, 128, 145
local community, 115
local order, 3, 6
locus, 239
lying, 221, 239, 240, 306, 308

M
J
Jordan, 198, 200, 203, 204
jurisdiction, 110, 114, 119, 130
justice, 123, 140
justification, 84, 86, 87, 114, 118

K
killing, 111
Kosovo, 150

magnetic moment, 7, 11, 14, 20, 21, 22, 24, 25,


29, 30
magnetic structure, 7, 11, 21, 23, 24
manifolds, 65, 79, 213, 304, 305, 306, 307, 308,
322
mantle, 126
mapping, 170, 244, 315, 318, 322
markets, 90, 128, 261
mathematics, i, 41, 218
matrix, 12, 14, 20, 32, 33, 34, 48, 168, 172, 173,
182, 183, 192, 196, 198, 199, 203, 208, 227,
244, 247, 248, 250, 317
meanings, 122
measures, ii, 83, 112, 168, 169, 318, 321, 322

Index

328
media, 91, 103
melting, 89
membership, 85, 86, 87, 88, 91, 92, 95, 96, 98,
110, 111, 118, 120, 125, 130, 135, 136, 144,
145
men, 104, 115, 116, 127, 139, 140, 162
metals, 14
metaphor, 158, 160, 161
military, 88
minorities, 89, 118, 136, 138, 139, 140, 141
minority groups, 138, 139, 140
mixing, i, 1, 20, 24, 25, 27, 28, 29, 30
models, 11, 14, 21, 22, 24, 30, 31, 37, 178, 215,
218, 236, 237, 304
modules, 41, 42, 43, 44, 45, 46, 47, 51, 52, 54,
57, 61, 62, 64, 80, 81
modulus, 3
molecules, 2
money, 131
Moon, 122, 148
morale, 144
mothers, 144
motion, 184, 234, 308, 316
motivation, 91, 154
motives, 111
movement, 118
multidimensional, 175
multiplication, 3, 47, 66, 67, 68, 73, 169, 183,
239, 266, 267, 274
multiplier, 234

N
nation, ii, 83, 84, 85, 86, 87, 88, 89, 91, 92, 93,
94, 95, 96, 97, 98, 99, 128, 144, 232
national culture, 84, 87, 88, 89, 91, 92, 94, 97, 98
national identity, 87, 88, 92, 93, 97
national origin, 111
nationalism, ii, 83, 84, 85, 86, 87, 88, 89, 92, 93,
94, 95, 96, 97, 98, 100
nationality, ii, 83, 84, 85, 86, 87, 88, 92, 93, 94,
95, 96, 97, 98, 99, 111
nation-building, ii, 83, 84, 87, 88, 89, 91, 92, 93,
94, 97, 98, 99
Nd, 39
negative relation, 97
neglect, 162
nerve, 53
Netherlands, 85, 99, 100
neutrons, 31
NGOs, 147, 149
Nicaragua, 103, 114
noise, 322

non-citizens, 85
normalization constant, 189, 208, 212
North America, 99

O
objectivity, 123
observations, 77, 288
omission, 108
one dimension, 35, 200
operator, 9, 12, 170, 224, 225, 226, 227, 230,
232, 236, 237, 242, 244, 245, 251, 264, 266,
267, 274, 275, 280, 290, 294, 295, 317, 319,
320, 322
oppression, 131
optimal performance, 155
orbit, 10, 11, 15, 23, 29, 31, 37, 49, 239, 240
ordinary differential equations, iii, 217, 218, 222,
223, 233, 237, 240
organizational culture, 165
orientation, 12, 13, 20, 22, 191
orthogonality, 187, 200
OSCE, 107, 151
oscillation, 158

P
Pacific, 150
pain, 103, 107, 108, 121, 130, 131
pairing, 60, 61, 75, 157, 158, 159, 161, 163, 164
palladium, 31
parameter, 32, 33, 34, 37, 38, 138, 174, 188, 190,
191, 221, 232, 233, 234, 235, 238, 239, 240,
242, 243, 245, 247, 249, 250, 251, 252, 254,
304, 305
partial differential equations, 222, 226, 232, 233,
234, 236, 238, 250, 253
particles, 308
path integrals, 318
perceptions, 122, 126, 127
permit, 183, 190, 194
personality, 164
phase transitions, 2, 5, 6, 11, 31, 39
phenomenology, 178
physical properties, 2, 10
physics, i, iii, 9, 38, 177, 178, 217, 237, 238
plausibility, 128
pluralism, 87, 90
Poland, 1
polarization, 165
political aspects, 96
political opposition, 131

Index
political power, 119
politics, 123, 124, 126, 127
poor, 161, 162
population, 114, 136
portfolio, 260
poverty, 116, 125
power, 114, 119, 123, 124, 125, 136, 178, 220,
221, 222, 242, 319
power relations, 125
pressure, 3, 164
prevention, 109, 110, 112
prisoners, 121
privacy, 127
probability, 10, 275, 279, 280, 314, 317, 321
problem solving, 155
problem-based learning, 165
problem-solving, 156
production, 154
productivity, 154, 155, 156, 157, 166
program, iii, 9, 12, 13, 14, 20, 23, 32, 35, 39, 199,
217, 303, 305, 306
propagation, 3, 300
proposition, 145, 223, 225, 227, 229, 230, 242,
246, 253, 257, 259, 270, 275, 280, 289, 296
prototype, 158
psychotherapy, 164
public affairs, 130
public education, 88
punishment, 107, 109, 110, 112
pupil, 161, 163

Q
quantum mechanics, iii, 217
qubits, 179

R
race, 87, 136, 138
radial distance, 13
radiation, 25
radius, 186, 187, 195
range, 8, 37, 122, 183, 184, 185, 186, 188, 190,
191, 194, 195, 196, 197, 202, 203, 205, 207,
211, 213, 263, 265, 274
rape, ii, 103, 104, 105, 106, 107, 109, 110, 112,
113, 115, 116, 118, 120, 121, 122, 123, 125,
127, 129, 131, 132, 133, 134, 135, 136, 137,
138, 139, 141, 142, 143, 144, 145, 146, 151
reading, 300, 301
real forms, 182
real numbers, 6, 199, 239

329
reality, i, 2, 6, 14, 103, 115, 116, 118, 119, 121,
132, 137, 143, 146, 158, 162, 304, 305
reasoning, 305
recall, 61, 178, 179, 181, 182, 184, 200, 288, 290,
301, 313, 315, 316, 317, 318
recalling, 301, 304
reciprocity, 60
recognition, 235, 301, 302
reconcile, 139
recurrence, 296
redistribution, 99, 100
redundancy, 188, 204
reference frame, iv, 299, 301, 302
reference system, 308
reflection, 155, 182
reforms, 109, 143
refugee status, 129
regulation, 84
relationship, ii, 84, 85, 87, 94, 105, 114, 120,
121, 132, 134, 145, 166
relatives, 110
relativity, iii, 178, 299, 300, 301, 302, 303, 304,
305
relevance, iii, iv, 177, 299
religious beliefs, 136
repetitions, 201, 305
reproduction, 163
resistance, 117
resolution, 135
resources, 105, 113, 114, 155, 156, 163
returns, 260
revaluation, ii, 83, 84, 85, 91
Riemann tensor, 304, 305, 306, 307, 309
right to life, 133, 135, 136, 145
rings, i, 80, 81, 215
risk, 139, 162, 261
rods, 301
rotations, 184
Rwanda, 104, 105, 106, 110, 112, 118, 133, 134,
143, 144, 146, 151

S
sabotage, 161
safety, 160
scalar field, 178
schema, 128
school, 91, 161, 162, 165
Schwarzschild solution, 304
search, 164, 183, 187, 192, 236, 237, 303
searching, 182, 201, 304
Second World, 137
securities, 260

330
selecting, 129, 155, 207
self-interest, 128
sensations, 125
severity, 107
sex, 110
sexism, 104
sexual violence, 143, 144
shape, 12, 13, 32, 33, 38, 123
shares, 160
sharing, 122, 127
shear, iii, 167, 168, 172, 173, 175
side effects, 90
Sierra Leone, 105
sign, 7, 32, 33, 34, 164, 191
signals, 301
signs, 12, 13, 22, 24, 32, 37, 185, 186
similarity, 89, 113
simulation, 178
skills, 156
slavery, 118
sociability, 155
social justice, 87, 92, 93
social norms, 92, 130
social psychology, 165, 166
social relations, 123, 125
social relationships, 125
social services, 131
solid state, 9
solidarity, 87, 92, 93
sovereignty, 109, 114
spacetime, iv, 299
Spain, 116
special relativity, 301, 302, 303
specificity, 126
speech, 140
speed, 155, 160
spin, 184, 318
stabilizers, 49
stock, 260
stock price, 260
storage, 167
strategies, 157
strength, 308
stress, 94
structural changes, 10, 31, 35
structural transformations, 2, 38
structural transitions, 6
students, 154, 155, 160, 161, 162, 163
subgroups, 2, 47, 50, 56, 58, 61, 63, 64, 76, 178,
190, 195
substitution, 222
successive approximations, 218
Sudan, 112

Index
summer, 148
supergravity, 178, 179
supervision, 164
supply, ii, 154
suppression, 110
surface area, 134
survival, 134
survivors, 121, 132, 144
susceptibility, 31
Sweden, 153, 165
symbols, 88
symmetry, i, iii, 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12,
13, 14, 20, 23, 25, 28, 29, 30, 31, 35, 36, 37,
38, 178, 206, 217, 218, 231, 232, 233, 236,
308

T
task demands, 155, 156
task performance, 155, 163
tau, 17
teachers, 160
teaching, 94, 160
temperature, 3, 11, 31, 37, 38, 156
tension, 110, 165
territory, 86, 88, 91, 114
tetrad, 303
textbooks, 9, 301
theoretical assumptions, 2
thermal expansion, 31
thinking, 92, 95
Third World, 147
threat, 157
time pressure, 162
topology, 53, 81, 170, 318
torture, ii, 104, 105, 106, 107, 108, 109, 112, 113,
114, 115, 116, 117, 118, 120, 121, 122, 123,
125, 126, 127, 129, 130, 131, 132, 142, 145,
146, 149
torus, 49, 50, 51, 55, 75, 190, 203, 205
trade, 117, 118, 121, 125
trade union, 117, 118, 121, 125
tradition, 93, 208
traffic, 167
training, 161
traits, 111
transformations, iii, 2, 3, 24, 231, 232, 233, 234,
235, 236, 238, 239, 240, 241, 243, 244, 245,
246, 247, 249, 250, 251, 252, 254, 299, 300,
301, 302, 303
transition, i, 1, 3, 4, 5, 6, 10, 14, 25, 27, 31, 32,
35, 38
transition metal, 14

Index
transition metal ions, 14
transition temperature, 6
translation, 5, 9, 22, 24, 31, 45, 56, 169, 179, 181,
300
transmission, 167
transport, 302
treaties, 107
trees, 292
trial, 115, 133, 134
trust, 87, 88, 92, 93

U
ultrasound, 31
United Nations (UN), 103, 104, 105, 106, 107,
108, 109, 110, 111, 112, 114, 116, 117, 118,
119, 120, 121, 130, 131, 135, 136, 137, 138,
140, 145, 147, 150, 151, 152
uncertainty, 261
uniform, 8, 300, 306
unions, 59
United Kingdom, 98, 103
United States, 84, 114
Universal Declaration of Human Rights, 117,
135, 137, 140
universality, 114
uranium, 31, 37

V
validity, 300
values, i, 1, 3, 6, 8, 10, 12, 13, 21, 58, 67, 87, 90,
94, 96, 97, 98, 197, 219, 228, 253, 254, 295,
316
variables, iii, 7, 8, 9, 154, 213, 217, 218, 221,
222, 223, 224, 225, 226, 228, 229, 230, 232,
233, 235, 237, 239, 243, 244, 245
variance, 260, 261
vector, i, 1, 3, 4, 5, 6, 7, 8, 9, 11, 13, 14, 15, 16,
17, 18, 20, 22, 23, 24, 27, 28, 29, 31, 35, 41,
42, 44, 45, 48, 50, 51, 52, 54, 55, 56, 70, 72,
75, 169, 173, 179, 180, 182, 184, 191, 198,

331
200, 219, 231, 232, 240, 249, 251, 295, 302,
303, 304, 306, 307, 308, 309, 310, 314
vein, 141
velocity, 307
victims, 105, 116, 117, 121, 122, 125, 132, 134,
136, 144, 145, 146
violence, 104, 114, 117
violent crime, 135
vision, 89, 136, 141
visualization, 13
vocabulary, 93
voice, 119, 145
volatility, 260
voting, 162

W
war, 104, 110, 114, 119, 130, 135, 140, 159
war crimes, 104, 130
warrants, 261
wave vector, i, 1, 3, 4, 6, 7, 8, 9, 14, 18, 19, 20,
21, 23, 24, 31
welfare, 88, 99, 100
welfare state, 88, 99, 100
women, 104, 110, 115, 116, 117, 118, 129, 130,
131, 133, 134, 137, 139, 140, 143, 144, 146
World War I, 118, 119, 137, 140
worry, 123
writing, 157, 163, 300

X
X-ray diffraction, 31

Y
yield, 43, 68, 227
Yugoslavia, 105, 106, 107, 111, 120, 133, 142,
144, 145, 147, 148, 150, 151

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