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# The Wave Functions for the Free-Fermion Part of the Spectrum of the 𝑆𝑈_𝑞(𝑁) Quantum Spin Models

## Abstract

We conjecture that the free-fermion part of the eigenspectrum observed recently for the $`SU_q(N)`$ Perk-Schultz spin chain Hamiltonian in a finite lattice with $`q=\mathrm{exp}(i\pi (N1)/N)`$ is a consequence of the existence of a special simple eigenvalue for the transfer matrix of the auxiliary inhomogeneous $`SU_q(N1)`$ vertex model which appears in the nested Bethe ansatz approach. We prove that this conjecture is valid for the case of the $`SU(3)`$ spin chain with periodic boundary condition. In this case we obtain a formula for the components of the eigenvector of the auxiliary inhomogeneous 6-vertex model ($`q=\mathrm{exp}(2i\pi /3)`$), which permit us to find one by one all components of this eigenvector and consequently to find the eigenvectors of the free-fermion part of the eigenspectrum of the $`SU(3)`$ spin chain. Similarly as in the known case of the $`SU_q(2)`$ case at $`q=\mathrm{exp}(i2\pi /3)`$ our numerical and analytical studies induce some conjectures for special rates of correlation functions.

1. Introduction

It was found very recently that part of the eigenspectrum of some quantum spin models is given by a sum of free-fermion quasienergies . In particular, the ground state energy of the $`SU_q(N)`$ invariant Perk-Schultz Hamiltonian

$`H_q={\displaystyle \underset{j=1}{\overset{L1}{}}}H_{j,j+1}`$ (1)
where

$`H_{i,j}={\displaystyle \underset{a=0}{\overset{N1}{}}}{\displaystyle \underset{b=a+1}{\overset{N1}{}}}(E_i^{ab}E_j^{ba}+E_i^{ba}E_j^{ab}qE_i^{aa}E_j^{bb}1/qE_i^{bb}E_j^{aa})`$
and $`E^{ab}`$ are $`N\times N`$ matrices with elements $`(E^{ab})_{cd}=\delta _c^a\delta _d^b`$, is given by

$$E_0=1+2(1L+n)\mathrm{cos}(\frac{\pi }{N})\frac{\mathrm{sin}\pi (2n+1)/2L}{\mathrm{sin}\pi /2L}$$
(2)
for the special value of the deformation parameter

$$q=\mathrm{exp}\left(\frac{i\pi (N1)}{N}\right).$$
(3)
The lattice size defining the quantum chain is $`L`$ and the parameter $`n`$ in (2) is given by the integer part of $`L/N`$.

Moreover an amazingly simple formula was found (conjectured) for the ground state energy of $`SU_q(N1)`$ Hamiltonian for the same value of deformation parameter

$$\stackrel{~}{E}_0=2(L1)\mathrm{cos}(\frac{\pi }{N}).$$
(4)
While for the $`SU_q(N)`$ model many eigenenergies can be described as the sum of free-fermion quasienergies, in the case of the $`SU_q(N1)`$ there exists a single energy level in this class, namely the ground state energy given in (4). Actually this state can be considered as a special state of the $`SU_q(N)`$ model in the sector where only ($`N1`$) classes of particles are present (see conjecture 3 of ). We intend to show in this paper that the corresponding wave function possess nice combinatorial properties and its components play a very important role in the nested Bethe ansatz approach being used for the construction of all other free-fermion eigenstates. This comes from the fact that using the nested bethe ansatz (NBA) method for the $`SU_q(N)`$ invariant Hamiltonian (1) we obtain (see, for example, ) an auxiliary transfer matrix of the inhomogeneous $`SU_q(N1)`$ invariant vertex model. We conjecture that this matrix has an unique factorizable eigenvalue that reduces some of the NBA equations into a very simple form leading to the free-fermion-like structure. As a result we obtain the free-fermion part of the eigenspectrum of the Hamiltonian (1). All related eigenvectors can be found from the knowledge of this unique eigenvector of the transfer matrix of the inhomogeneous $`SU_q(N1)`$ vertex model. In the homogeneous case the transfer matrix commutes with the $`SU_q(N1)`$ invariant Hamiltonian and this special eigenvector reduces to the ground sate eigenvector with energy (4).

As far as a periodic boundary case is concerned, we have found the free-fermion spectrum only for the $`SU(3)`$ Perk-Schultz model with $`q=\mathrm{exp}(2i\pi /3)`$ (we do not consider here the free-fermion point of the $`SU(2)`$ model, or equivalently the standard $`XY`$ spin chain). We show below that the free-fermion part of the eigenspectrum of the $`SU(3)`$ model with periodic boundary condition can be explained by the existence of an unique factorizable eigenvalue for the transfer matrix of the inhomogeneous 6-vertex model with $`q=\mathrm{exp}(2i\pi /3)`$. We prove the existence of this eigenvalue using different methods described in papers ,. Comparison of these approaches sheads a new light on recently discovered combinatorial properties of the ground state wave function for the odd length XXZ spin model with ($`\mathrm{\Delta }=1/2`$) ,, (see also  for similar results for the XYZ spin chain).

2. The $`SU_q(N)`$ invariant model

The Hamiltonian (1) describes the dynamics of a system containing $`N`$ classes of particles (0,1,…,N-1) with on-site hard-core exclusion. The number of particles of each specie is conserved. Consequently we can separate the Hilbert space into block disjoint sectors labeled by $`(n_0,n_1,\mathrm{},n_{N1})`$, where $`n_i=0,1,\mathrm{},L`$ is the number of particle of specie i (i=0,1,…,N-1). The Hamiltonian has a $`S_N`$ symmetry due to its invariance under the permutation of particles species, that imply that all the energies can be obtained from the sectors $`(n_0,n_1,\mathrm{},n_{N1})`$, where $`n_0n_1\mathrm{}n_{N1}`$ and $`n_0+n_1+\mathrm{}+n_{N1}=L`$. Moreover the quantum $`SU(N)_q`$ symmetry of $`H`$ implies that all energies in the sector $`(n_0^{},n_1^{},\mathrm{},n_{N1}^{})`$ with $`n_0^{}n_1^{}\mathrm{}n_{N1}^{}`$ are degenerated with the energies belonging to the sectors $`(n_0,n_1,\mathrm{},n_{N1})`$ with $`n_0n_1\mathrm{}n_{N1}`$, if $`n_0^{}n_0`$ and $`n_0^{}+n_1^{}n_0+n_1`$ and so on up to $`n_0^{}+n_1^{}+\mathrm{}+n_{N2}^{}n_0+n_1+\mathrm{}+n_{N2}`$.

The nested Bethe ansatz equations (NBAE) for the $`SU_q(N)`$ Perk-Schultz model (1) are given by (see e. g. )

$`{\displaystyle \underset{j=1,ji}{\overset{p_k}{}}}F(u_i^{(k)},u_j^{(k)})={\displaystyle \underset{j=1}{\overset{p_{k1}}{}}}f(u_i^{(k)},u_j^{(k1)}){\displaystyle \underset{j=1}{\overset{p_{k+1}}{}}}f(u_i^{(k)},u_j^{(k+1)})`$ (5)
where $`k=0,1,\mathrm{},N2`$ and $`i=1,2,\mathrm{},p_k`$. The integer parameters $`p_k`$ depend on the particle occupation numbers $`\{n_i\}`$:

$`p_k={\displaystyle \underset{i=0}{\overset{k}{}}}n_i,k=0,1,\mathrm{},N2,p_1=0,p_{N1}=L,`$ (6)
and the functions $`F(x,y)`$ and $`f(x,y)`$ are defined by

$$F(x,y)=\frac{\mathrm{cos}(2y)\mathrm{cos}(2x2\eta )}{\mathrm{cos}(2y)\mathrm{cos}(2x+2\eta )},f(x,y)=\frac{\mathrm{cos}(2y)\mathrm{cos}(2x\eta )}{\mathrm{cos}(2y)\mathrm{cos}(2x+\eta )}.$$
(7)
In the NBAE (5) we have variables of different classes. The number of variables $`u_i^{(k)}`$ of class $`k`$ is equal to $`p_k`$ and the variables $`u_i^{(N1)}=0(i=1,\mathrm{},L)`$. The whole system of NBAE consists of subsets of equations labelled by $`k`$ and containing precisely $`p_k`$ equations $`(k=0,1,\mathrm{},N2)`$.

The eigenenergies of the Hamiltonian (1) in the sector $`(n_0,n_1,\mathrm{},n_{N1})`$ are given by

$$E=\underset{j=1}{\overset{p}{}}\left(q\frac{1}{q}+\frac{\mathrm{sin}(u_j\eta /2)}{\mathrm{sin}(u_j+\eta /2)}+\frac{\mathrm{sin}(u_j+\eta /2)}{\mathrm{sin}(u_j\eta /2)}\right)$$
(8)
where to simplify the notation $`pp_{N2}`$ and $`u_ju_j^{(N2)},j=1,2,\mathrm{},p`$.

All the solutions of NBAE (5) described in this and our previous paper  satisfy the additional ”free-fermion” conditions (FFC)

$`f^L(u_i,0)=1,i=1,\mathrm{},p.`$ (9)
Consequently from (8) and (9) the corresponding eigenenergies of the Hamiltonian (1) are given by

$$E=2\underset{j=1}{\overset{p_{N2}}{}}\left(\mathrm{cos}\eta +\mathrm{cos}\frac{\pi k_j}{L}\right),\mathrm{\hspace{0.25em}\hspace{0.25em}1}k_jL1$$
(10)
where $`\{k_j\}`$ is any set of distinct integers in the range $`1k_jL1`$.

In the derivation of the NBAE (5) it is necessary to find the eigenvalues of an auxiliary matrix that corresponds to the transfer matrix of an inhomogeneous $`SU_q(N1)`$ invariant vertex model on the square lattice of width $`p`$ in the horizontal direction. These eigenvalues enter into the NBAE (see equation (51) from )111All details related to the construction of the transfer matrix can be found in reference .:

$`\mathrm{\Lambda }_{\text{aux}}^{(N1)}(u_i)=f^L(u_i,0){\displaystyle \underset{j=1,ji}{\overset{p}{}}}F(u_i,u_j),i=1,\mathrm{},p.`$ (11)
We see that the FFC (9) could be explained if there exists an special eigenvalue for this transfer matrix:

$`\mathrm{\Lambda }_{\text{aux}}^{(N1)}(u)=F^1(u,u){\displaystyle \underset{j=1}{\overset{p}{}}}F(u,u_j).`$ (12)
This observation can be formulated in the following conjecture.

Conjecture: let $`q=\mathrm{exp}\frac{i\pi (N1)}{N}`$ and consider the inhomogeneous $`SU_q(N1)`$ invariant vertex model on the square lattice with p columns, where $`p=(N1)k+r`$, and $`0rN2`$. The inhomogeneity of the model in the horizontal direction are fixed by the vertical rapidities $`u_j,j=1,\mathrm{},p`$. The row-to-row transfer matrix, depending on the spectral parameter $`u`$ (horizontal rapidity), has a special factorizable eigenvalue given by formula (12). The corresponding eigenvector belongs to the sector $`S=\{n_0,n_1,\mathrm{},n_{N2}\}`$ where $`n_i=k,i=0,\mathrm{},r1`$ and $`n_i=k+1`$ for $`i=r,\mathrm{},N2`$.

3. The $`SU(3)`$ Perk-Schultz model with periodic boundary

The $`SU(3)`$ Perk-Schultz model  is the anisotropic version of the $`SU(3)`$ Sutherland model , with the Hamiltonian, in a periodic L-site chain, given by

$`H_q={\displaystyle \underset{j=1}{\overset{L}{}}}H_{j,j+1}(H_{L,L+1}H_{L,1}),`$ (13)
$`H_{i,j}={\displaystyle \underset{a=0}{\overset{1}{}}}{\displaystyle \underset{b=a+1}{\overset{2}{}}}(E_i^{ab}E_j^{ba}+E_i^{ba}E_j^{ab}qE_i^{aa}E_j^{bb}1/qE_i^{bb}E_j^{aa}).`$
In our previous paper (see  for details) it was shown for the periodic model that:

The Hamiltonian (13) with L sites at $`q=\mathrm{exp}(2i\pi /3)`$ has eigenvectors (not all of them) with energy and momentum given by

$`E_I={\displaystyle \underset{jI}{}}(1+2\mathrm{cos}{\displaystyle \frac{2\pi j}{L}}),`$ (14)
$`P_I={\displaystyle \frac{2\pi }{L}}{\displaystyle \underset{jI}{}}j`$ (15)
with $`I`$ being a subset of $``$ unequal elements of the set $`\{1,2,\mathrm{},L\}`$. The number $``$ has to be odd $`=2k+1`$ and the sector of appearance of the above levels is $`S_k(k,k+1,L2k1)`$, $`0k(L1)/2`$.

The corresponding solutions of the NBAE were described in  and we intend now to present a procedure that allow us to calculate the related wave functions. This procedure is based on the coordinate Bethe ansatz method and we follow here reference .

Due to the conservation of particles the total numbers of particles $`n_0`$, $`n_1`$ and $`n_2=Ln_0n_1`$ on classes 0, 1 and 2 are good quantum numbers, and consequently we can split the associated Hilbert space into block disjoint sectors labeled by the numbers $`n_0`$ and $`n_1`$. We consider the eigenvalue equation

$`H|n_0,n_1>=E|n_0,n_1>`$ (16)
where

$`|n_0,n_1>={\displaystyle \underset{\{Q\}}{}}{\displaystyle \underset{\{x\}}{}}f(x_1,Q_1;\mathrm{};x_n,Q_n)|x_1,Q_1;\mathrm{};x_n,Q_n>`$ (17)
and $`n=n_0+n_1`$. Here $`|x_1,Q_1;\mathrm{};x_n,Q_n>`$ means the configuration where a particle of class $`Q_i`$ ($`Q_i=0,1`$) is at position $`x_i`$ ($`x_i=1,\mathrm{},L`$). The summation $`\{Q\}=\{Q_1,\mathrm{},Q_n\}`$ extends over all (0,1) sequences in which $`n_0`$ terms are 0 and $`n_1`$ terms are 1. The summation $`\{x\}=\{x_1,\mathrm{},x_n\}`$ runs, e $`n`$ increasing positive integers with $`1x_1<\mathrm{}<x_nL`$. Before getting the results for general values of $`n`$ let us consider initially the simple cases where we have 1 or 2 particles.

n=1. For one particle on the chain (class 0 or 1), as a consequence of the translational invariance of (13) it is simple to verify directly that the eigenfunctions are the momentum-$`k`$ eigenfunctions

$`|1,0>={\displaystyle \underset{x=1}{\overset{L}{}}}f(x,0)|x,0>\text{or}|0,1>={\displaystyle \underset{x=1}{\overset{L}{}}}f(x,1)|x,1>`$ (18)
with

$`f(x,0)=f(x,1)=e^{ikx},k={\displaystyle \frac{2\pi l}{L}},l=0,1,\mathrm{},L1`$ (19)
and energy given by

$`E=e(k)e^{ik}e^{ik}+q+1/q.`$ (20)
n =2. For two particles of classes $`Q_1`$ and $`Q_2`$ ($`Q_1,Q_2=0,1`$) on the lattice, the eigenvalue equation (16) gives us two distinct relations depending on the relative location of the particles. The first relation comes from the amplitudes where a particle of class $`Q_1`$ is at position $`x_1`$ and a particle $`Q_2`$ is at position $`x_2`$, where $`x_2>x_1+1`$. We obtain in this case the relation

$`Ef(x_1,Q_1;x_2,Q_2)=`$ $``$ $`f(x_11,Q_1;x_2,Q_2)f(x_1,Q_1;x_2+1,Q_2)`$ (21)
$``$ $`f(x_1+1,Q_1;x_2,Q_2)f(x_1,Q_1;x_21,Q_2)`$
$`+`$ $`2(q+1/q)f(x_1,Q_1;x_2,Q_2).`$
This last equation can be solved promptly by the ansatz

$`f(x_1,Q_1;x_2,Q_2)=e^{ik_1x_1}e^{ik_2x_2}`$ (22)
with energy

$`E=e(k_1)+e(k_2).`$ (23)
Since this relation is symmetric under the interchange of $`k_1`$ and $`k_2`$, we can write a more general solution of (21) as

$`f(x_1,Q_1;x_2,Q_2)`$ $`=`$ $`{\displaystyle \underset{P}{}}A_{P_1,P_2}^{Q_1,Q_2}e^{i(k_{P_1}x_1+k_{P_2}x_2)}`$ (24)
$`=`$ $`A_{1,2}^{Q_1,Q_2}e^{i(k_1x_1+k_2x_2)}+A_{2,1}^{Q_1,Q_2}e^{i(k_2x_1+k_1x_2)}`$
with the same energy as in (23). In the last equation the summation is over the permutations $`P=P_1,P_2`$ of (1,2). The second relation comes from the amplitude where $`x_2=x_1+1`$ (matching condition). In this case instead of (21) we have

$`Ef(x_1,Q_1;x_1+1,Q_2)=f(x_11,Q_1;x_1+1,Q_2)f(x_1,Q_1;x_1+2,Q_2)`$
$`f(x_1,Q_2;x_1+1,Q_1)+(2q+1/q)f(x_1,Q_1;x_1+1,Q_2)Q_1<Q_2`$
$`Ef(x_1,Q_1;x_1+1,Q_2)=f(x_11,Q_1;x_1+1,Q_2)f(x_1,Q_1;x_1+2,Q_2)`$
$`+(q+1/q)f(x_1,Q_1;x_1+1,Q_2)Q_1=Q_2`$ (25)
$`Ef(x_1,Q_1;x_1+1,Q_2)=f(x_11,Q_1;x_1+1,Q_2)f(x_1,Q_1;x_1+2,Q_2)`$
$`f(x_1,Q_2;x_1+1,Q_1)+(q+2/q)f(x_1,Q_1;x_1+1,Q_2)Q_1>Q_2.`$
Since the ansatz (24) with (23) is also a solution of (21) with $`x_2=x_1+1`$, we obtain from (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models)

$`f(x_1,Q_1;x_1,Q_2)+f(x_1+1,Q_1;x_1+1,Q_2)=`$
$`1/qf(x_1,Q_1;x_1+1,Q_2)+f(x_1,Q_2;x_1+1,Q_1)Q_1<Q_2`$
$`f(x_1,Q_1;x_1,Q_2)+f(x_1+1,Q_1;x_1+1,Q_2)=`$
$`(q+1/q)f(x_1,Q_1;x_1+1,Q_2)Q_1=Q_2`$ (26)
$`f(x_1,Q_1;x_1,Q_2)+f(x_1+1,Q_1;x_1+1,Q_2)=`$
$`qf(x_1,Q_1;x_1+1,Q_2)+f(x_1,Q_2;x_1+1,Q_1)Q_1>Q_2.`$
If we now substitute the ansatz (24) into these equations the constants $`A_{1,2}^{Q_1,Q_2}`$ and $`A_{2,1}^{Q_1,Q_2}`$, initially arbitrary, should now satisfy

$`{\displaystyle \underset{P}{}}\{(\sigma _{P_1,P_2}+qe^{ik_{P_2}})A_{P_1,P_2}^{0,1}e^{ik_{P_2}}A_{P_1,P_2}^{1,0}\}=0`$
$`{\displaystyle \underset{P}{}}\sigma _{P_1,P_2}A_{P_1,P_2}^{Q,Q}=0Q=1,2`$ (27)
$`{\displaystyle \underset{P}{}}\{(\sigma _{P_1,P_2}+q^1e^{ik_{P_2}})A_{P_1,P_2}^{1,0}e^{ik_{P_2}}A_{P_1,P_2}^{0,1}\}=0`$
where

$`\sigma _{P_1,P_2}=1+e^{ik_{P_1}+ik_{P_2}}(q+q^1)e^{ik_{P_2}}.`$ (28)
The system (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) consists of 3 equations. The second equation can be easily rewritten as

$`A_{P_1,P_2}^{Q,Q}={\displaystyle \frac{\sigma _{P_2,P_1}}{\sigma _{P_1,P_2}}}A_{P_2,P_1}^{Q,Q}`$ (29)
and combining the first and the third equations we obtain

$`A_{P_1,P_2}^{0,1}=`$ $``$ $`{\displaystyle \frac{(1qe^{ik_{P_2}})(1q^1e^{ik_{P_1}})}{\sigma _{P_1,P_2}}}A_{P_2,P_1}^{0,1}`$ (30)
$`+`$ $`{\displaystyle \frac{(e^{ik_{P_1}}e^{ik_{P_2}})}{\sigma _{P_1,P_2}}}A_{P_2,P_1}^{1,0}`$
$`A_{P_1,P_2}^{1,0}=`$ $`+`$ $`{\displaystyle \frac{(e^{ik_{P_1}}e^{ik_{P_2}})}{\sigma _{P_1,P_2}}}A_{P_2,P_1}^{0,1}`$ (31)
$``$ $`{\displaystyle \frac{(1qe^{ik_{P_1}})(1q^1e^{ik_{P_2}})}{\sigma _{P_1,P_2}}}A_{P_2,P_1}^{1,0}.`$
The equations (29-31) can be written in a compact form

$`A_{P_1,P_2}^{Q_1,Q_2}={\displaystyle \underset{Q_1^{},Q_2^{}=0}{\overset{1}{}}}S_{Q_2^{},Q_1^{}}^{Q_1,Q_2}(k_{P_1},k_{P_2})A_{P_2,P_1}^{Q_1^{},Q_2^{}}(Q_1,Q_2=0,1)`$ (32)
where we have introduced the S-matrix

$`S_{0,0}^{0,0}(k_1,k_2)`$ $`=`$ $`S_{1,1}^{1,1}(k_1,k_2)={\displaystyle \frac{\sigma _{2,1}}{\sigma _{1,2}}}`$
$`S_{1,0}^{0,1}(k_1,k_2)`$ $`=`$ $`{\displaystyle \frac{(1qe^{ik_2})(1q^1e^{ik_1})}{\sigma _{1,2}}}`$
$`S_{0,1}^{1,0}(k_1,k_2)`$ $`=`$ $`{\displaystyle \frac{(1qe^{ik_1})(1q^1e^{ik_2})}{\sigma _{1,2}}}`$
$`S_{0,1}^{0,1}(k_1,k_2)`$ $`=`$ $`S_{1,0}^{1,0}(k_1,k_2)={\displaystyle \frac{(e^{ik_2}e^{ik_1})}{\sigma _{1,2}}}.`$
The equations (29-31) or (32) do not fix the ”wave numbers” $`k_1,k_2`$. In general, these numbers are fixed due to the cyclic boundary conditions:

$`f(x_1,Q_1;x_2,Q_2)=f(x_2,Q_2;x_1+L,Q_1)`$ (34)
which from (24) give us the relations

$`A_{P_1,P_2}^{Q_1,Q_2}=A_{P_2,P_1}^{Q_2,Q_1}e^{ik_{P_1}L}.`$ (35)
This last equation, when solved by exploiting (32) and (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models), gives us the possible values of $`k_1`$ and $`k_2`$, and from (23) the eigenenergies in the sectors containing 2 particles. Instead of solving these equations for the particular case $`n=2`$ let us now consider the case of general $`n`$.

General n. The above calculation can be generalized for arbitrary values of $`n_0`$ and $`n_1`$ of particles of classes 0 and 1, respectively ($`n_0+n_1=n`$). The ansatz for the wave function (17) becomes

$`f(x_1,Q_1;\mathrm{};x_n,Q_n)={\displaystyle \underset{P}{}}A_{P_1,\mathrm{},P_n}^{Q_1,\mathrm{},Q_n}e^{i(k_{P_1}x_1+\mathrm{}+k_{P_n}x_n)}`$ (36)
where the sum extends over all permutations $`P`$ of the integers $`1,2,\mathrm{},n`$. It is simple to see that the relations coming from the eigenvalue equation (16) for the components $`|x_1,Q_1;\mathrm{};x_n,Q_n>`$ where $`x_{i+1}x_i>1`$ for $`i=1,2,\mathrm{},n`$ are satisfied by the ansatz (36) with energy

$`E={\displaystyle \underset{j=1}{\overset{n}{}}}e(k_j).`$ (37)
On the other hand if a pair of particles belonging to classes $`Q_i,Q_{i+1}`$ is located at positions $`x_i,x_{i+1}`$, where $`x_{i+1}=x_i+1`$, equation (16) with the ansatz (36) and the relation (37) give us the generalization of relation (32), namely

$`A_{\mathrm{},P_i,P_{i+1},\mathrm{}}^{\mathrm{},Q_i,Q_{i+1},\mathrm{}}={\displaystyle \underset{Q_1^{},Q_2^{}=0}{\overset{1}{}}}S_{Q_1^{},Q_2^{}}^{Q_i,Q_{i+1}}(k_{P_i},k_{P_{i+1}})A_{\mathrm{},P_{i+1},P_i,\mathrm{}}^{\mathrm{},Q_2^{},Q_1^{},\mathrm{}}Q_i,Q_{i+1}=0,1`$ (38)
with $`S`$ given by (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models). Inserting the ansatz (36) in the boundary condition

$`f(x_1,Q_1;\mathrm{};x_n,Q_n)=f(x_2,Q_2;\mathrm{};x_n,Q_n;x_1+L,Q_1)`$ (39)
we obtain the additional relation

$`A_{P_1,\mathrm{},P_n}^{Q_1,\mathrm{},Q_n}=e^{ik_{P_1}L}A_{P_2,\mathrm{},P_n,P_1}^{Q_2,\mathrm{},Q_n,Q_1}`$ (40)
which together with (38) should give us the eigenenergies.

Successive applications of (38) give us in general distinct relations between the amplitudes. They are consistent because as we will see below the $`S`$ matrix (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) coincides with the famous 6-vertex $`R`$ matrix and satisfies the Yang-Baxter equation. Hence we may use these relations to obtain the eigenenergies of the Hamiltonian (13). Applying the relation (38) $`n`$ times we obtain from (40) a relation connecting the amplitudes with the same momenta, namely,

$`A_{P_1,\mathrm{},P_n}^{Q_1,\mathrm{},Q_n}=e^{ik_{P_1}L}A_{P_2,\mathrm{},P_n,P_1}^{Q_2,\mathrm{},Q_n,Q_1}=(1)^{n1}e^{ik_{P_1}L}`$
$`{\displaystyle \underset{Q_1^{},\mathrm{},Q_n^{}}{}}{\displaystyle \underset{Q_1^{\prime \prime },\mathrm{},Q_n^{\prime \prime }}{}}S_{Q_1^{},Q_1^{\prime \prime }}^{Q_1,Q_2^{\prime \prime }}(k_{P_1},k_{P_1})S_{Q_2^{},Q_2^{\prime \prime }}^{Q_2,Q_3^{\prime \prime }}(k_{P_2},k_{P_1})\mathrm{}`$ (41)
$`S_{Q_{n1}^{},Q_{n1}^{\prime \prime }}^{Q_{n1},Q_n^{\prime \prime }}(k_{P_{n1}},k_{P_1})S_{Q_n^{},Q_n^{\prime \prime }}^{Q_n,Q_1^{\prime \prime }}(k_{P_n},k_{P_1})A_{P_1,\mathrm{},P_n}^{Q_1^{},\mathrm{},Q_n^{}}`$
where we have introduced the harmless extra sum

$`1={\displaystyle \underset{Q_1^{\prime \prime },Q_2^{\prime \prime }=0}{\overset{1}{}}}\delta _{Q_2^{\prime \prime },Q_1^{}}\delta _{Q_1^{\prime \prime },Q_1}={\displaystyle \underset{Q_1^{\prime \prime },Q_2^{\prime \prime }=0}{\overset{1}{}}}S_{Q_1^{},Q_1^{\prime \prime }}^{Q_1,Q_2^{\prime \prime }}(k_{P_1},k_{P_1}).`$ (42)
In order to fix the values of $`\{k_j\}`$ we should solve (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models), i.e., we should find the eigenvalues $`\mathrm{\Lambda }(k)`$ of the matrix

$`𝒯(k)_{\{Q^{}\}}^{\{Q\}}={\displaystyle \underset{Q_1^{\prime \prime },\mathrm{},Q_n^{\prime \prime }=0}{\overset{1}{}}}\left\{\left({\displaystyle \underset{l=1}{\overset{n1}{}}}S_{Q_l^{},Q_l^{\prime \prime }}^{Q_l,Q_{l+1}^{\prime \prime }}(k_{P_l},k)\right)S_{Q_n^{},Q_n^{\prime \prime }}^{Q_n,Q_1^{\prime \prime }}(k_{P_n},k)\right\}`$ (43)
and the Bethe-ansatz equations which fix the set $`\{k_l\}`$ will be given from (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) by

$`e^{ik_jL}=(1)^{n1}\mathrm{\Lambda }(k_j)j=1,\mathrm{},n.`$ (44)
We identify $`𝒯(k)`$ as the transfer matrix of an inhomogeneous 6-vertex model, on a periodic lattice, with Boltzmann weights $`S_{Q_1^{},Q_2^{}}^{Q_1,Q_2}(k_{P_l},k)`$ ($`l=1,\mathrm{},n`$). Consequently, in order to obtain the eigenenergies of the quantum chain (13) we should diagonalize the above transfer matrix $`T(k)`$.

It is convenient to introduce the variables $`\{u_j\}`$ as in the NBAE of §2:

$`e^{ik}={\displaystyle \frac{\mathrm{sin}(u\pi /3)}{\mathrm{sin}(u+\pi /3)}}.`$ (45)
In terms of these variables the S-matrix (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) have a difference form

$`S_{0,0}^{0,0}(u_1u_2)`$ $`=`$ $`S_{1,1}^{1,1}(u_1u_2)={\displaystyle \frac{\mathrm{sin}(u_1u_2+\pi /3)}{\mathrm{sin}(u_2u_1+\pi /3)}},`$
$`S_{1,0}^{0,1}(u_1u_2)`$ $`=`$ $`{\displaystyle \frac{\sqrt{3}e^{i(u_1u_2)}}{2\mathrm{sin}(u_2u_1+\pi /3)}}`$
$`S_{0,1}^{1,0}(u_1u_2)`$ $`=`$ $`{\displaystyle \frac{\sqrt{3}e^{i(u_2u_1)}}{2\mathrm{sin}(u_2u_1+\pi /3)}}`$
$`S_{0,1}^{0,1}(u_1u_2)`$ $`=`$ $`S_{1,0}^{1,0}(u_1u_2)={\displaystyle \frac{\mathrm{sin}(u_2u_1)}{\mathrm{sin}(u_2u_1+\pi /3)}}.`$
where we should remind that we are considering $`q=\mathrm{exp}(2i\pi /3)`$.

Introducing for convenience the new amplitudes

$`A_{P_1,\mathrm{},P_n}^{Q_1,\mathrm{},Q_n}=\mathrm{exp}(i{\displaystyle \underset{j=1}{\overset{n}{}}}\delta _{Q_j,0}u_{P_j})\stackrel{~}{A}_{P_1,\mathrm{},P_n}^{Q_1,\mathrm{},Q_n}`$ (47)
we obtain instead of (38) a similar relation with $`\stackrel{~}{A}`$ instead of $`A`$ and with the $`\stackrel{~}{S}`$-matrix of the symmetric 6-vertex model, whose non-zero components are given by

$`\stackrel{~}{S}_{0,0}^{0,0}(u)`$ $`=`$ $`\stackrel{~}{S}_{1,1}^{1,1}(u)=\rho \mathrm{sin}(\pi /3u)`$
$`\stackrel{~}{S}_{0,1}^{0,1}(u)`$ $`=`$ $`\stackrel{~}{S}_{1,0}^{1,0}(u)=\rho \mathrm{sin}u`$ (48)
$`\stackrel{~}{S}_{1,0}^{0,1}(u)`$ $`=`$ $`\stackrel{~}{S}_{0,1}^{1,0}(u)=\rho \mathrm{sin}\pi /3`$
where $`\rho =1/\mathrm{sin}(\pi /3+u)`$.

The matrix (43) is the transfer matrix of an inhomogeneous 6-vertex model on the square lattice of width $`n=n_0+n_1`$. In the next section we show that for the case where $`n_0=k`$ and $`n_1=k+1`$ (sector (k,k+1) of the 6-vertex model on the lattice of width $`2k+1`$) this transfer matrix has the special eigenvalue $`\mathrm{\Lambda }=1`$ independently on the values of the parameters $`u`$ and $`u_j`$ ($`j=1,\mathrm{},2n+1`$). Consequently, since $`n=2k+1`$, (44) reduces to

$`e^{ik_jL}=1,j=1,\mathrm{},n,`$ (49)
and the associated energies of the quantum chain (13) are free-fermion-like.

4. The special eigenvalue

Applying the Bethe ansatz method to the auxiliary transfer matrix $`𝒯(k)=𝒯(u)`$ introduced in (43) one obtain the well known NBAE , which were considered in our paper . We have shown there that these NBAE are consistent with the FFC (49) for the sectors $`(n_0,n_1,n_2)=(k,k+1,L2k1)`$. However it is more convenient here to follow an early paper of Baxter  who considered the most general integrable inhomogeneous 6-vertex model. Any eigenvalue $`T(u)`$ of the inhomogeneous model with $`\rho =1`$ in (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) satisfy the equation

$`T(u)Q(u)=\left({\displaystyle \underset{j=1}{\overset{n}{}}}\mathrm{sin}(\pi /3u+u_j)\right)Q(u2\pi /3)`$
$`+\left({\displaystyle \underset{j=1}{\overset{n}{}}}\mathrm{sin}(uu_j)\right)Q(u+2\pi /3)`$ (50)
where $`Q(u)`$ is an auxiliary trigonometric polynomial of degree $`n_0`$, namely,

$`Q(u)={\displaystyle \underset{j=1}{\overset{n_0}{}}}\mathrm{sin}(u\alpha _j).`$ (51)
It is clear from (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) that $`T(u)`$ is a trigonometric polynomial of degree $`n`$ and from (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) the eigenvalues of (43) (where now $`\rho 1`$) are given by

$`\mathrm{\Lambda }(u)=T(u)/{\displaystyle \underset{j=1}{\overset{n}{}}}\mathrm{sin}(\pi /3+uu_j).`$ (52)
This last expression implies that we have an eigenvalue $`\mathrm{\Lambda }(u)=1`$ if

$`T(u)={\displaystyle \underset{j=1}{\overset{n}{}}}\mathrm{sin}(\pi /3+uu_j).`$ (53)
The existence of this special eigenvalue was argued by Baxter for the more general case of the 8-vertex model with special values of the crossing parameters . We can prove the existence of this eigenvalue for lattices with odd values of its width $`n`$. In this case we can rewrite Baxter’s T-Q equation (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) as

$`f(u)+f(u+2\pi /3)+f(u2\pi /3)=0`$ (54)
where

$`f(u)Q(u+2\pi /3){\displaystyle \underset{j=1}{\overset{n}{}}}\mathrm{sin}(uu_j).`$ (55)
It is now clear that $`f(u)`$ is a trigonometric polynomial of the degree $`n+n_0`$. Equation (55) coincides with (6) in , where $`f(u)`$ is also a trigonometric polynomial.

In  it is shown that for any set of complex numbers $`u_j`$, $`j=1,\mathrm{},2k+1`$, there exists a trigonometric polynomial $`Z(u)`$ of degree $`n`$ on the variable $`u`$ such that

$`f(u)Z(u){\displaystyle \underset{j=1}{\overset{2k+1}{}}}\mathrm{sin}(uu_j)`$ (56)
satisfies (54)222$`Z(u)`$ is the partition function of the inhomogeneous 6-vertex model with domain wall boundary conditions and with rapidities $`\{u,u_j\},j=1,\mathrm{},2k+1`$.. The degree of $`f`$ is equal to $`n+n_0=3k+1`$ and the degree of $`Z`$ is equal to the degree of $`Q`$, so that $`k=n_0`$. We obtain consequently that the construction of paper  correspond to $`n_0=k`$ and $`n=n_0+n_1=2k+1`$, i.e. $`n_1=k+1`$, that complete the proof of existence of the special eigenvalue (53) for odd values of $`n`$.

5. The special wave function of the inhomogeneous 6-vertex model at $`q^{2i\pi /3}`$

We consider several families of transfer matrices (43) corresponding to each distinct permutation $`P=\{P_1,\mathrm{},P_n\}`$. It follows from (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) that $`A_{P_1,\mathrm{},P_n}^{Q_1,\mathrm{},Q_n}`$ are the $`2^n`$ components ($`Q_1,\mathrm{},Q_n=0,1`$) of an eigenvector of the transfer matrix (43). Now we are going to investigate these components for our special eigenvalue $`\mathrm{\Lambda }=1`$ using the generalization arbitrary number of particles $`n`$, i. e.,

$`{\displaystyle \underset{P=\{P_l,P_{l+1}\}}{}}\{(\sigma _{P_l,P_{l+1}}+qe^{ik_{P_{l+1}}})A_{\mathrm{},P_l,P_{l+1},\mathrm{}}^{\mathrm{},0,1,\mathrm{}}e^{ik_{P_{l+1}}}A_{\mathrm{},P_l,P_{l+1},\mathrm{}}^{\mathrm{},1,0,\mathrm{}}\}=0`$
$`{\displaystyle \underset{P=\{P_l,P_{l+1}\}}{}}\sigma _{P_l,P_{l+1}}A_{\mathrm{},P_l,P_{l+1},\mathrm{}}^{\mathrm{},Q,Q,\mathrm{}}=0Q=1,2`$ (57)
$`{\displaystyle \underset{P=\{P_l,P_{l+1}\}}{}}\{(\sigma _{P_l,P_{l+1}}+q^1e^{ik_{P_{l+1}}})A_{\mathrm{},P_l,P_{l+1},\mathrm{}}^{\mathrm{},1,0,\mathrm{}}e^{ik_{P_{l+1}}}A_{\mathrm{},P_l,P_{l+1},\mathrm{}}^{\mathrm{},0,1,\mathrm{}}\}=0`$
where all indices shown by dots are fixed. When we constructed the $`S`$-matrix in (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) we expressed $`A_{P_1,P_2}^{Q_1,Q_2}`$ as a linear combination of $`A_{P_2,P_1}^{Q_1,Q_2}`$ and $`A_{P_2,P_1}^{Q_2,Q_1}`$. Now, on the other hand, we intend to express $`A_{P_1,P_2}^{Q_1,Q_2}`$ as a linear combination of $`A_{P_1,P_2}^{Q_2,Q_1}`$ and $`A_{P_2,P_1}^{Q_2,Q_1}`$ ($`Q_1Q_2`$). Combining the first and the third equation of the set (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) we obtain

$`A_{P_1,P_2}^{1,0}(e^{ik_{P_2}}e^{ik_{P_1}})`$ $`=`$ $`(1qe^{ik_{P_1}})(1q^1e^{ik_{P_2}})A_{P_1,P_2}^{0,1}`$ (58)
$`+`$ $`\sigma _{P_2,P_1}A_{P_2,P_1}^{0,1}`$
$`A_{P_1,P_2}^{0,1}(e^{ik_{P_2}}e^{ik_{P_1}})`$ $`=`$ $`(1q^1e^{ik_{P_1}})(1qe^{ik_{P_2}})A_{P_1,P_2}^{1,0}`$
$`+`$ $`\sigma _{P_2,P_1}A_{P_2,P_1}^{1,0}.`$
Changing the variables as in (45) these equations are replaced by

$`A_{P_1,P_2}^{1,0}\mathrm{sin}(u_{P_2}u_{P_1})`$ $`=`$ $`{\displaystyle \frac{\sqrt{3}}{2}}e^{i(u_{P_2}u_{P_1})}A_{P_1,P_2}^{0,1}`$ (59)
$`+`$ $`\mathrm{sin}(u_{P_1}u_{P_2}+\pi /3)A_{P_2,P_1}^{0,1}`$
$`A_{P_1,P_2}^{0,1}\mathrm{sin}(u_{P_2}u_{P_1})`$ $`=`$ $`{\displaystyle \frac{\sqrt{3}}{2}}e^{i(u_{P_1}u_{P_2})}A_{P_1,P_2}^{1,0}`$
$`+`$ $`\mathrm{sin}(u_{P_1}u_{P_2}+\pi /3)A_{P_2,P_1}^{1,0}.`$
Generalizing these equations for arbitrary $`n`$ and considering $`\stackrel{~}{A}`$ instead of $`A`$ (as in (47)) we obtain

$`\stackrel{~}{A}_{\mathrm{},P_l,P_{l+1},\mathrm{}}^{\mathrm{},1,0,\mathrm{}}\mathrm{sin}(u_{P_{l+1}}u_{P_l})`$ $`=`$ $`{\displaystyle \frac{\sqrt{3}}{2}}\stackrel{~}{A}_{\mathrm{},P_l,P_{l+1}\mathrm{}}^{\mathrm{},0,1,\mathrm{}}`$
$`+`$ $`\mathrm{sin}(u_{P_l}u_{P_{l+1}}+\pi /3)\stackrel{~}{A}_{\mathrm{},P_{l+1},P_l,\mathrm{}}^{\mathrm{},0,1,\mathrm{}}=0`$
$`\stackrel{~}{A}_{\mathrm{},P_l,P_{l+1},\mathrm{}}^{\mathrm{},0,1,\mathrm{}}\mathrm{sin}(u_{P_{l+1}}u_{P_l})`$ $`=`$ $`{\displaystyle \frac{\sqrt{3}}{2}}\stackrel{~}{A}_{\mathrm{},P_l,P_{l+1},\mathrm{}}^{\mathrm{},1,0,\mathrm{}}`$
$`+`$ $`\mathrm{sin}(u_{P_l}u_{P_{l+1}}+\pi /3)\stackrel{~}{A}_{\mathrm{},P_{l+1},P_l,\mathrm{}}^{\mathrm{},1,0,\mathrm{}}=0.`$
We have also a generalization of the second equation in (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models)

$`\mathrm{sin}(u_{P_{l+1}}u_{P_l}+\pi /3)\stackrel{~}{A}_{\mathrm{},P_l,P_{l+1},\mathrm{}}^{\mathrm{},Q,Q,\mathrm{}}=`$
$`\mathrm{sin}(u_{P_l}u_{P_{l+1}}+\pi /3)\stackrel{~}{A}_{\mathrm{},P_{l+1},P_l,\mathrm{}}^{\mathrm{},Q,Q,\mathrm{}}(Q=0,1).`$ (61)
Moreover due to FFC (49) equation (40) leads to the cyclic symmetry

$`A_{P_1,\mathrm{},P_n}^{Q_1,\mathrm{},Q_n}=A_{P_2,\mathrm{},P_n,P_1}^{Q_2,\mathrm{},Q_n,Q_1}`$ (62)
which is also valid for $`\stackrel{~}{A}`$.

Let us begin with the simplest nontrivial case $`k=1`$, where the sector of appearance of free-fermion levels is $`(1,2,L3)`$. Equation (17) for the eigenvectors can be written as follows

$`|n_0,n_1>=|1,2>=`$
$`{\displaystyle \underset{\{Q\}}{}}{\displaystyle \underset{1x_1,x_2,x_3L}{}}f(x_1,Q_1;x_2,Q_2;x_3,Q_3)|x_1,Q_1;x_2,Q_2;x_3,Q_3>`$ (63)
where we sum over the three sequences of $`\{Q\}`$: $`\{0,1,1\}`$, $`\{1,0,1\}`$ and $`\{1,1,0\}`$ that correspond to the configurations where $`n_0=1`$, $`n_1=2`$ $`(n=n_0+n_1=3)`$. The amplitudes are given by the ansatz (36)

$`f(x_1,Q_1;x_2,Q_2;x_3,Q_3)={\displaystyle \underset{P}{}}A_{P_1,P_2,P_3}^{Q_1,Q_2,Q_3}e^{i(k_{P_1}x_1+k_{P_2}x_2+k_{P_3}x_3)}.`$ (64)
In the above expression there are 3 types of parameters $`\{A\}`$ which are related among themselves by the cyclic symmetry:

$`\stackrel{~}{A}_{P_1,P_2,P_3}^{0,1,1}=\stackrel{~}{A}_{P_2,P_3,P_1}^{1,1,0}=\stackrel{~}{A}_{P_3,P_1,P_2}^{1,0,1}.`$ (65)
Before proceding let us introduce the simplified notations

$`s_{P_1,P_2}={\displaystyle \frac{\mathrm{sin}(u_{P_1}u_{P_2}+\pi /3)}{\mathrm{sin}(\pi /3)}}`$
$`d_{P_1,P_2}={\displaystyle \frac{\mathrm{sin}(u_{P_1}u_{P_2})}{\mathrm{sin}(\pi /3)}}.`$ (66)
The relation (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) can be reduced to the equation

$`s_{P_3,P_2}\stackrel{~}{A}_{P_1,P_2,P_3}^{0,1,1}=s_{P_2,P_3}\stackrel{~}{A}_{P_1,P_3,P_2}^{0,1,1}`$ (67)
so that due to (65)

$`\stackrel{~}{A}_{P_1,P_2,P_3}^{0,1,1}=\pm C\{P_1\}s_{P_2,P_3}`$ (68)
where the sign depends on the parity of the permutation $`P=\{P_1,P_2,P_3\}`$ and $`C\{i\},i=1,2,3`$ are unknown coefficients.

The relations (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) give us in particular the equation

$`\stackrel{~}{A}_{P_1,P_2,P_3}^{1,0,1}d_{P_2,P_1}=\stackrel{~}{A}_{P_1,P_2,P_3}^{0,1,1}+s_{P_1,P_2}\stackrel{~}{A}_{P_2,P_1,P_3}^{0,1,1}.`$ (69)
Using the cyclic symmetry (65) and (68) we obtain

$`C\{P_2\}s_{P_3,P_1}d_{P_2,P_1}=C\{P_1\}s_{P_2,P_3}C\{P_2\}s_{P_1,P_2}s_{P_1,P_3}`$ (70)
that together with the identity

$`s_{P_3,P_1}d_{P_2,P_1}+s_{P_1,P_2}s_{P_1,P_3}=s_{P_2,P_3}`$ (71)
give us $`C\{P_2\}=C\{P_2\}=C`$, i.e., up to a normalization factor we have

$`\stackrel{~}{A}_{P_1,P_2,P_3}^{0,1,1}=\pm s_{P_2,P_3}`$ (72)
where the sign depends on the parity of the permutation $`P`$.

Consider further the next sector $`(2,3,L5)`$, i.e., $`n_0=2`$, $`n_1=3`$ and $`n=n_0+n_1=5`$. In this case we have two sets of $`\{\stackrel{~}{A}\}`$, which are related due to the cyclic symmetry, namely,

$`\stackrel{~}{A}_{P_1,P_2,P_3,P_4,P_5}^{0,0,1,1,1}=\stackrel{~}{A}_{P_2,P_3,P_4,P_5,P_1}^{0,1,1,1,0}=\mathrm{}=\stackrel{~}{A}_{P_5,P_1,P_2,P_3,P_4}^{1,0,0,1,1}`$
$`\stackrel{~}{A}_{P_1,P_2,P_3,P_4,P_5}^{0,1,0,1,1}=\stackrel{~}{A}_{P_2,P_3,P_4,P_5,P_1}^{1,0,1,1,0}=\mathrm{}=\stackrel{~}{A}_{P_5,P_1,P_2,P_3,P_4}^{1,0,1,0,1}.`$ (73)
Let us begin with the first set. The relation (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) is solved by the ansatz

$`\stackrel{~}{A}_{P_1,P_2,P_3,P_4,P_5}^{0,0,1,1,1}=\pm C\{P_1,P_2\}s_{P_1,P_2}s_{P_3,P_4}s_{P_3,P_5}s_{P_4,P_5}`$ (74)
where the sign depends on the parity of the permutation $`P=\{P_1,P_2,P_3,P_4,P_5\}`$ and $`C\{i,j\},i,j=1,2,3,4,5`$ are symmetric unknown coefficients $`C\{i,j\}=C\{j,i\}`$. The system (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) contains in particular the three following equations:

$`\stackrel{~}{A}_{P_1,P_2,P_3,P_4,P_5}^{0,1,0,1,1}d_{P_3,P_2}=\stackrel{~}{A}_{P_1,P_2,P_3,P_4,P_5}^{0,0,1,1,1}+s_{P_2,P_3}A_{P_1,P_3,P_2,P_4,P_5}^{0,0,1,1,1}`$
$`\stackrel{~}{A}_{P_2,P_1,P_3,P_4,P_5}^{0,1,0,1,1}d_{P_3,P_1}=\stackrel{~}{A}_{P_2,P_1,P_3,P_4,P_5}^{0,0,1,1,1}+s_{P_1,P_3}A_{P_2,P_3,P_1,P_4,P_5}^{0,0,1,1,1}`$ (75)
$`\stackrel{~}{A}_{P_1,P_2,P_3,P_4,P_5}^{1,0,0,1,1}d_{P_2,P_1}=\stackrel{~}{A}_{P_1,P_2,P_3,P_4,P_5}^{0,1,0,1,1}+s_{P_1,P_2}\stackrel{~}{A}_{P_2,P_1,P_3,P_4,P_5}^{0,1,0,1,1}.`$
Excluding from this system $`\stackrel{~}{A}_{\mathrm{}}^{0,1,0,1,1}`$, using the cyclic symmetry

$$\stackrel{~}{A}_{P_1,P_2,P_3,P_4,P_5}^{1,0,0,1,1}=\stackrel{~}{A}_{P_2,P_3,P_4,P_5,P_1}^{0,0,1,1,1}$$

and limiting ourselves with the unit permutation we get

$`\stackrel{~}{A}_{2,3,4,5,1}^{0,0,1,1,1}d_{2,1}d_{3,2}d_{3,1}=(\stackrel{~}{A}_{1,2,3,4,5}^{0,0,1,1,1}+s_{2,3}\stackrel{~}{A}_{1,3,2,4,5}^{0,0,1,1,1})d_{3,1}+`$
$`(\stackrel{~}{A}_{2,1,3,4,5}^{0,0,1,1,1}+s_{1,3}\stackrel{~}{A}_{2,3,1,4,5}^{0,0,1,1,1})d_{3,2}s_{1,2}.`$ (76)
Inserting here the ansatz (74) and using the antisymmetry of $`d_{i,j}`$ we obtain

$`C\{1,2\}s_{1,2}s_{3,4}s_{3,5}(d_{2,3}s_{2,1}d_{1,3})+C\{1,3\}d_{1,3}s_{1,3}s_{2,3}s_{2,4}s_{2,5}+`$
$`C\{2,3\}d_{2,3}s_{2,3}(d_{1,2}d_{1,3}s_{4,1}s_{5,1}s_{1,2}s_{1,3}s_{1,4}s_{1,5})=0.`$ (77)
Using the identity

$`d_{2,3}s_{2,1}d_{1,3}=d_{1,2}s_{2,3}`$ (78)
and removing a common multiplier $`s_{2,3}`$ from (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) we obtain the more simple equation

$`C\{1,2\}d_{1,2}s_{1,2}s_{3,4}s_{3,5}+C\{1,3\}d_{1,3}s_{1,3}s_{2,4}s_{2,5}+`$
$`C\{2,3\}d_{2,3}(d_{1,2}d_{1,3}s_{4,1}s_{5,1}s_{1,2}s_{1,3}s_{1,4}s_{1,5})=0.`$ (79)
By interchaging indices 1 and 2 we obtain a distinct equation. If we now exclude $`C\{1,2\}`$ from these two equations we get a relation between $`C\{2,3\}`$ and $`C\{1,3\}`$, namely,

$`C\{2,3\}d_{2,3}(d_{1,2}d_{1,3}s_{2,1}s_{4,1}s_{5,1}+s_{1,2}s_{1,4}s_{1,5}(s_{2,3}s_{2,1}s_{1,3}))=`$
$`C\{1,3\}d_{1,3}(d_{1,2}d_{2,3}s_{1,2}s_{4,2}s_{5,2}+s_{2,1}s_{2,4}s_{2,5}(s_{1,2}s_{2,3}s_{1,3})).`$ (80)
This last relation takes a nice form if we use the identities

$`s_{2,3}s_{2,1}s_{1,3}=d_{1,2}d_{1,3}s_{1,2}s_{2,3}s_{1,3}=d_{1,2}d_{2,3}`$ (81)
and remove the common factors $`d_{1,2}`$, $`d_{1,3}`$ and $`d_{2,3}`$, i. e.,

$`C\{2,3\}(s_{2,1}s_{4,1}s_{5,1}+s_{1,2}s_{1,4}s_{1,5})=`$
$`C\{1,3\}(s_{1,2}s_{4,2}s_{5,2}+s_{2,1}s_{2,4}s_{2,5}).`$ (82)
Using standard trigonometric identities one can show that the left side combination

$`s_{2,1}s_{4,1}s_{5,1}+s_{1,2}s_{1,4}s_{1,5}={\displaystyle \frac{2}{3}}\{\mathrm{cos}(u_1+u_2u_4u_5)+`$
$`\mathrm{cos}(u_1u_2+u_4u_5)+\mathrm{cos}(u_1u_2u_4+u_5)\}`$ (83)
has a $`S_4`$ symmetry, and consequently (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) reduces to

$`C\{2,3\}=C\{1,3\}.`$ (84)
This means that $`C`$ does not depend on its indices and we have up to a normalization factor

$`\stackrel{~}{A}_{P_1,P_2,P_3,P_4,P_5}^{0,0,1,1,1}=\pm s_{P_1,P_2}s_{P_3,P_4}s_{P_3,P_5}s_{P_4,P_5}.`$ (85)
The second set of amplitudes can be found from the first relation in (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models). For example

$`\stackrel{~}{A}_{1,2,3,4,5}^{0,1,0,1,1}=d_{2,3}^1s_{4,5}(s_{1,3}s_{2,3}s_{2,4}s_{2,5}s_{1,2}s_{3,4}s_{3,5})`$
$`d_{2,3}^1s_{4,5}\{s_{2,3}s_{2,5}(s_{1,3}s_{2,4}s_{1,2}s_{3,4})+s_{1,2}s_{3,4}(s_{2,3}s_{2,5}s_{3,5})\}`$ (86)
and using the identities

$`s_{1,3}s_{2,4}s_{1,2}s_{3,4}=d_{2,3}s_{4,1}s_{2,3}s_{2,5}s_{3,5}=d_{2,3}s_{5,2}`$ (87)
we obtain

$`\stackrel{~}{A}_{1,2,3,4,5}^{0,1,0,1,1}=s_{4,5}(s_{2,3}s_{2,5}s_{4,1}+s_{1,2}s_{3,4}s_{5,2}),`$ (88)
or equivalently by using some additional identities we get

$`\stackrel{~}{A}_{1,2,3,4,5}^{0,1,0,1,1}=s_{4,5}(s_{2,3}s_{2,4}s_{5,1}+s_{1,2}s_{3,5}s_{4,2}).`$ (89)
In a similar way we can derive the general answer

$`\stackrel{~}{A}_{P_1,P_2,P_3,P_4,P_5}^{0,1,0,1,1}/s_{P_4,P_5}=s_{P_2,P_3}s_{P_2,P_5}s_{P_4,P_1}+s_{P_1,P_2}s_{P_3,P_4}s_{P_5,P_2}=`$
$`s_{P_2,P_3}s_{P_2,P_4}s_{P_5,P_1}+s_{P_1,P_2}s_{P_3,P_5}s_{P_4,P_2}.`$ (90)
Equations (72) and (85) induce us to conjecture that for an arbitrary $`n`$ the amplitudes $`\{\stackrel{~}{A}\}`$ of the special wave function of the inhomogeneous 6-vertex model are given by the ansatz

$`A_{P_1,\mathrm{},P_k,P_{k+1},\mathrm{},P_{2k+1}}^{0,\mathrm{},0,1,\mathrm{},1}={\displaystyle \underset{1i<jk}{}}s_{P_i,P_j}{\displaystyle \underset{k+1i<j2k+1}{}}s_{P_i,P_j}`$ (91)
where $`k`$ and $`k+1`$ are the numbers of particles of species 0 and 1, respectively. We checked this formula for $`n=7`$ analytically and for $`n=9`$ using a bruteforce diagonalization. It is a challenge to prove the validity of this formula for an arbitrary odd number $`n`$. The remaining amplitudes can be found by using this ansatz and sucessive application of the ”recursion” relation (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models). This completes our discussion of the $`SU(2)`$ periodic case.

6. Summary and Conclusions

In previous papers  it was shown the existence of free-fermion-like energies for the anisotropic $`SU(N)`$ Perk-Schultz model with anisotropy parameter $`q=\mathrm{exp}i\pi (N1)/N`$. These solutions were found for general values of $`N`$ in the case of free boundary condition, where the model is $`SU_q(N)`$ invariant and for the $`SU(3)`$ case in the periodic case.

In §2 of this paper we show that the above observations, for the case of free boundaries, could be explained by a conjecture stating the existence of a special factorizable eigenvalue of the auxiliary inhomogeneous transfer matrix of a $`SU_q(N1)`$ vertex model with the same value of the anisotropy. Although we believe that a general derivation of such factorizable eigenvalue would be possible we restricted our analytical work in the simplest case of the periodic $`SU(3)`$ Perk-Schultz model at $`q=\mathrm{exp}i\frac{2\pi }{3}`$. In this case the associated transfer matrix is that of the inhomogeneous 6-vertex model and the existence of the factorizable eigenvalue, as shown in §4, follows from the T-Q Baxter equation (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models).

In §3 we review the coordinate Bethe ansatz and show how to relate the wave function components of the eigenvectors of the $`SU(3)`$ quantum chain with periodic boundaries in terms of the components of the eigenvectors of the inhomogeneous 6-vertex model. In particular all the free-fermion-like energies are related to a single factorizable eigenvalue of the inhomogeneous 6-vertex model.

In §5 exploring the existence of the free-fermion-like solutions of the $`SU(3)`$ chain at $`q=\mathrm{exp}i\frac{2\pi }{3}`$ we show how to produce the recurrence relations that allows the computation of the wave vector amplitudes related to the special factorizable eigenvector of the 6-vertex model. These relations, although not simple, give us a systematic way to derive all the eigenfunctions of the free-fermion part of the eigenspectrum of the periodic $`SU(3)`$ Perk-Schultz model at $`q=\mathrm{exp}i\frac{2\pi }{3}`$.

As an application let us consider the free-fermion branch of this last model in the sector $`S_k=(k,k+1,L2k1)`$. From (14) the corresponding eigenenergies are given by

$$E_I=\underset{jI}{}(1+2\mathrm{cos}(2\pi j/L)),$$

where $`I`$ is any subset of $`(1,2,\mathrm{},L)`$ with $`n=2k+1`$ distinct elements. Enumerating these elements by the index $`\alpha =1,2,\mathrm{},n`$, the wave function is given by

$$f(x_1,Q_1;\mathrm{}.x_n,Q_n)=\underset{P}{}A_{P_1,\mathrm{},P_n}^{Q_1,\mathrm{},Q_n}e^{i(k_{P_1}x_1+\mathrm{}+k_{P_n}x_n)},$$

where $`k_\alpha =2\pi j_\alpha /L,\alpha =(1,2,\mathrm{},n)`$ are the momenta of the elementary free-fermion excitations.

Let us limit ourselves to the subsets $`I`$ with elements $`j_\alpha `$, satisfying the constraint $`j<m`$ or $`Lm<j`$, where $`m`$ is a positive integer. Due to conjecture 2 of () the lowest eigenenergy in the sector $`S_k=(k,k+1,L2k1)`$ belongs to this part of spectrum if we choose $`m>k`$.

Now we fix $`k`$ and $`m`$ with $`m>k`$ and consider the bulk limit $`L\mathrm{}`$. Due to above mentioned constrains for the values of $`k`$ we have two possibilities: $`k_\alpha 0`$ or $`k_\alpha 2\pi `$. Consequently from (The Wave Functions for the Free-Fermion Part of the Spectrum of the $`SU_q(N)`$ Quantum Spin Models) all the parameters $`u_\alpha `$ that fix the auxiliary 6-vertex model become equal to $`\pi /2`$ and we obtain the homogeneous model with the special eigenvector $`A^{Q_1,\mathrm{},Q_n}`$ which (up to a sign factor) does not depend on the particular permutation $`P`$! The wave function can then be written as

$$f(y_1,Q_1;\mathrm{};y_n,Q_n)=A^{Q_1,\mathrm{},Q_n}\underset{P}{}(1)^Pe^{2\pi i(j_{P_1}y_1+\mathrm{}+j_{P_n}y_n)},$$
(92)
where we introduced the new coordinates $`y_i=x_i/L`$ ($`i=1,\mathrm{},n`$). In particular this result shows that in the sectors ($`k,k+1,\mathrm{}`$) there exist a lot of eigenstates (including the one with lowest eigenenergy in the sector) whose wave functions components are given by the product of Slater determinants and the components of the ground state wave function of the XXZ model with $`2k+1`$ sites. Let us consider for example the sector $`S_2=(2,3,L5)`$. In order to obtain the lowest eigenenergy in this sector we chose $`I=1,2;L2,L1,L`$. The Slater determinant in (92) reduces to the Vandermonde determinant and we obtain (up to a normalization)

$$f(y_1,Q_1;\mathrm{},y_5,Q_5)=\underset{1j<k5}{}\mathrm{sin}\pi (y_jy_k)A^{Q_1,\mathrm{},Q_5},$$
(93)
where we have

$`A^{00111}=A^{01110}=A^{11100}=A^{11001}=A^{10011}=1`$
$`A^{01011}=A^{10110}=A^{01101}=A^{11010}=A^{10101}=2.`$
From these components we see, for example, that the probability to find 0-particles , separated by 1-particles is equal to $`22/(11+22)=4/5`$.

Moreover, it is important mention that when the inhomogeneity of the auxiliary 6-vertex model disappears, and the wave function that corresponds to the special factorizable eigenvalue is the same as that of the ground state of the XXZ spin chain with $`\mathrm{\Delta }=1/2`$, which possess for $`L=2n+1`$ quite interesting combinatorial properties.

Due to the conjecture announced at the end of section 2, we have a generalization of this special wave function to the $`SU(N1)`$ \- invariant case ($`q=e^{i(N1)\pi /N}`$). So we suspect that the ground state function of the $`SU(N1)`$ \- invariant spin chain can also exhibit interesting combinatorial properties for the special value $`q=e^{i(N1)\pi /N}`$. Indeed, using a bruteforce diagonalization of these quantum invariant chains we have found that the ratio defined by

$`R_L={\displaystyle \frac{(_iv_i)^2}{_iv_i^2}}`$ (94)
where $`\{v_i\}`$ are the wave function components of the ground state, has a simple form depending on the boundary condition and on the parity of the lattice size. For the $`L`$-sites XXZ spin chain at $`\mathrm{\Delta }=1/2`$ we have $`R_L=\sqrt{3}^\alpha `$ , where $`\alpha =L1`$ or $`\alpha =L`$ depending if the length $`L`$ of the chain is odd or even, respectively. In the case where $`L`$ is odd the chain has the boundary condition periodic or $`SU_q(2)`$ invariant, and for even values of $`L`$ the chain has boundary condition of twisted type or a $`SU_q(2)`$ invariant one. We can present these results in a compact form:

$`R_{L+2}/R_L=3,R_1=1,R_2=3.`$ (95)
The numerical results coming from bruteforce numerical diagonalizations of chains with $`SU_q(N)`$ symmetry (free boundary condition) followed by a fitting with special irrational numbers give us the values of $`R_L`$ for the next cases:

* $`SU_q(3)`$ with $`q=e^{i\pi /4}`$$`2L9`$

$`R_{L+3}/R_L=(1+\sqrt{2})^3`$ (96)
$`R_1=1R_2=1+\sqrt{2}R_3=(1+\sqrt{2})^3.`$
* $`SU_q(4)`$ with $`q=e^{i\pi /5}`$$`2L8`$

$`R_{L+4}/R_L=(5+2\sqrt{5})^2`$
$`R_1=1R_2=\sqrt{5}R_3=5+2\sqrt{5}R_4=(5+2\sqrt{5})^2.`$
* $`SU_q(5)`$ and $`q=e^{i\pi /6}`$$`2L7`$

$`R_{L+5}/R_L=(2+\sqrt{3})^5`$
$`R_1=1R_2=(2+\sqrt{3})/\sqrt{3}R_3=(2+\sqrt{3})^2/\sqrt{3}`$ (98)
$`R_4=(2+\sqrt{3})^3R_5=(2+\sqrt{3})^5.`$

The numbers $`R_L`$, $`L<N`$ which are necessary for the use of the recursion relations can be found from the explicit expression of the corresponding wave function. Using an approach, described in Appendix B of paper one can show that for $`L<N`$:

$`R_L=\left({\displaystyle \frac{1+x}{1x}}\right)^{L1}{\displaystyle \underset{k=2}{\overset{L}{}}}{\displaystyle \frac{1x^k}{1+x^k}}x=q=e^{i\pi /N}.`$ (99)
For the cases where $`LN`$ although we cannot prove, our numerical results indicate the nice recursion relation

$`R_{L+N1}=R_{N1}R_L.`$ (100)
Acknowledgments This work was supported in part by the brazilian agencies FAPESP and CNPQ (Brazil), by the Grant \# 01–01–00201 (Russia) and INTAS 00-00561.


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Singularities in String Theory

E. Witten* Institute For Advanced Study, Princeton NJ 08540, USA. E-mail: witten@sns.ias.edu

Abstract

String theory is a quantum theory that reproduces the results of General Relativity at long distances but is completely different at short distances. Mathematically, string theory is based on a very new — and little understood — framework for geometry that reduces to ordinary differential geometry when the curvature is asymptotically small. In the 1990’s, many interesting results were obtained about the behavior of string theory in spacetimes that develop singularities. In many cases, the physics at the singularity is governed by an effective Lagrangian constructed using an interesting bit of classical geometry such as the association of A-D-E groups with certain hypersurface singularities or the ADHM construction of instantons. In other examples, the physics at the singularity cannot be described in classical terms but involves a non-Gaussian conformal field theory.

2000 Mathematics Subject Classification: 51P05, 81T30.

Keywords and Phrases: String theory, Quantum field theory, Mathematical physics.

1. Introduction

The classical Einstein equations

$$R_{IJ}=0,$$

where $`R`$ is the Ricci tensor of a metric $`g`$ on spacetime, are scale-invariant. In other words, they are invariant under the scaling of the metric $`gtg`$, with $`t`$ a real number; the Ricci tensor is invariant under this scaling. A quantum theory of gravity, however, cannot have this symmetry, since quantum theory depends on the action, not just the field equations, and the Einstein-Hilbert action

$$I=\frac{1}{16\pi G}d^nx\sqrt{g}R$$

($`G`$ is Newton’s constant and $`n`$ is the dimension of spacetime) is not invariant under scaling. In fact, under $`gtg`$, the action scales as $`It^{n/21}I`$, and so is not scale-invariant in any dimension above two. (Two dimensions — a case that figures in string theory — is completely special as $`I`$ is a topological invariant, the Gauss-Bonnet integral.)

Generally speaking, the classical limit of quantum mechanics arises by making a stationary phase approximation to a function space integral. That integral is very roughly of the form

$$D\mathrm{\Phi }\mathrm{exp}(iI/\mathrm{}),$$

where the integral runs over all fields $`\mathrm{\Phi }`$. For example, for General Relativity, $`\mathrm{\Phi }`$ would be a metric tensor on spacetime, perhaps together with other fields, and $`I`$ would be the Einstein-Hilbert action defined in the last paragraph, together with a suitable action for the other fields, if any. Here $`\mathrm{}`$ is Planck’s constant, and the stationary phase approximation to the function space integral is valid when the appropriate $`I/\mathrm{}`$ is large. Note that in classical physics, $`I`$ is not a dimensionless number but has units of “action” or energy times time; it is only with the passage to quantum mechanics that there is a natural constant of action, namely $`\mathrm{}`$, and it makes sense to say that in a given physical situation the action is large or small.

As an example of this criterion, consider black holes. A classical black hole can, because of the scale invariance, have any possible mass $`M`$ or radius $`r`$; in four dimensions, for example, the mass and radius are related (for neutral, unrotating black holes) by $`M=rc^2/G`$, where $`c`$ is the speed of light. The value of $`I/\mathrm{}`$ integrated over the relevant time, which is the time for light to cross the black hole, is

$$\frac{I}{\mathrm{}}=Mc^2\frac{r}{c}\frac{1}{\mathrm{}}=\frac{GM^2}{\mathrm{}c}=\frac{r^2c^3}{G\mathrm{}}.$$

The classical description of black holes is valid if this expression is large, or in other words if $`M>>10^5`$ gm or $`r>>10^{33}`$ cm.

Known astrophysical black holes have masses comparable to that of the sun (about $`10^{33}`$ gm) and above, so unless we get lucky with mini-black holes left over from the Big Bang, we are not going to be able to observe what happens for black holes so light and small that the classical description fails. But curiosity compels us to ask how to describe a small black hole, or what happens near the Big Bang, where classical General Relativity breaks down for similar reasons to what I have just described for Black Holes.

Here we run into a problem. One can read a textbook recipe for quantization in Dirac’s old book or in more modern texts on quantum field theory. But these recipes, applied to the Einstein-Hilbert theory, do not work. Because of the highly nonlinear nature of Riemannian geometry, these methods fail to give a consistent and meaningful result.

This problem is very hard to convey to a mathematical audience because the whole question is about quantum field theory, which is not in clear focus as a mathematical subject. The foundation for our modern understanding of elementary particles and forces is the success in quantizing theories such as Yang-Mills theory, whose action is

$$I=\frac{1}{4e^2}\mathrm{Tr}FF,$$

where $`F`$ is the curvature of a connection, $`e`$ is a real constant, known as the gauge coupling constant, and $`\mathrm{Tr}`$ is an invariant quadratic form on the Lie algebra of the gauge group. Other somewhat analogous theories such as the quantum theory of maps from a Riemann surface to a fixed Riemannian manifold have also been extensively explored by physicists, with applications to both string theory and condensed matter physics. Apart from their central role in physics, quantum gauge theory and its cousins are the basis for the application of physical ideas to a whole range of mathematical problems, from the Jones polynomial to Donaldson theory and mirror symmetry.

But the understanding of quantum field theory that physicists have gained, though convincing and sufficient to make many computations possible, is hard to formulate rigorously. This makes it difficult for mathematicians to understand the questions of physicists, much less the partial results and approaches to a solution. In “constructive field theory,” some of the standard physical claims about quantum field theory have been put on a rigorous basis, but there is still a long way to go to effectively bridge the gap.

For physicists, quantum gravity is an important problem not only because we would like to understand black holes, the Big Bang, and the quantum nature of spacetime — but also because reconciling General Relativity and quantum mechanics is necessary if we are to unify the forces of nature. We cannot achieve a unified understanding of nature if gravity is understood one way and the subatomic forces are understood by a different and incompatible theory. Moreover, the difficulty in reconciling these theories is probably our best clue about understanding physics at a much deeper level than we understand now. So what has been accomplished toward reconciling General Relativity and quantum mechanics?

2. String theory

Not much has been learned by direct assault. But roughly thirty years ago, in trying to solve another problem, physicists stumbled in “string theory” onto a very rich and surprising new framework for physics and geometry, which apparently does yield a theory of quantum gravity, though we do not understand it very well yet. String theory introduces in physics a new constant $`\alpha ^{}(10^{32}\mathrm{cm})^2`$ (read “alpha-prime”), which is somewhat analogous to Planck’s constant $`\mathrm{}10^{27}\mathrm{erg}\mathrm{sec}`$, and modifies the concepts of physics in an equally far-reaching way.

If string theory is correct, then both $`\mathrm{}`$ and $`\alpha ^{}`$ are nonzero in nature. The deformation of classical physics in turning on nonzero $`\mathrm{}`$ is comparatively familiar to most in this audience, at least at the level of nonrelativistic quantum mechanics (as opposed to quantum field theory): classical concepts such as the position and velocity of a particle become “fuzzy” in the transition to quantum mechanics. Turning on $`\alpha ^{}0`$ introduces an additional fuzziness in physics, roughly as a result of turning particles into strings. One aims to unify the forces by interpreting all of the different particles in nature as different vibrational states of one basic string.

String theorists spend the late 1980’s and early 1990’s largely studying the $`\alpha ^{}`$ deformation. This work is hard to describe mathematically because it is all based on techniques of quantum field theory. Roughly it involves a new kind of geometry in which one is not allowed to talk about points or geodesics but one can talk about (quantum) minimal surfaces. This blurs all the classical concepts in geometry and makes possible nonclassical behavior. The new fuzziness has a characteristic scale $`\sqrt{\alpha ^{}}10^{32}\mathrm{cm}`$, and has many consequences. On much larger scales, just like the quantum uncertainty in gravity, the stringy fuzziness is unimportant. But it is important if one looks closely and can lead to nonclassical behavior, such as mirror symmetry.

A commonly encountered framework for nonclassical behavior in string theory is the following. Consider a family of classical solutions of string theory depending on several parameters; call the parameter space $`𝒩`$. At a generic point in $`𝒩`$, the stringy effects are important and one cannot usefully describe the situation in terms of a classical spacetime. As one approaches a special point $`P𝒩`$ (or more generally some locus in $`𝒩`$ of positive codimension), the relevant length scales in spacetime become large, the string effects become unimportant, and a classical spacetime $`X`$ emerges. ($`P`$ is typically a cusp-like point in $`𝒩`$; that is, there is typically a natural metric on $`𝒩`$, and $`P`$ is at infinite distance in this metric.) In that limit, the string equations reduce to the classical Einstein equations on $`X`$ (or more precisely, their appropriate supersymmetric extension, about which more later). To run what I have said so far in reverse, starting with a classical spacetime $`X`$ that is embedded in string theory, if the radius of $`X`$ (and every relevant length scale) is large compared to $`\sqrt{\alpha ^{}}`$, then classical geometry is a good approximation to the stringy situation. But by varying the parameters so that the “radius” of $`X`$ is not large compared to $`\sqrt{\alpha ^{}}`$, one can get a situation in which classical geometry is not a good approximation and must be replaced with stringy geometry. This situation is described by points in the interior of $`𝒩`$.

A more seriously nonclassical behavior arises if in addition to the point $`P`$, there are additional points $`Q,R𝒩`$ at which classical behavior again arises, but this time with different classical spacetimes $`Y,Z`$ of different topology. In this case, by moving in $`𝒩`$ from $`P`$ to $`Q`$, we can go smoothly from a situation in which classical geometry is a good approximation and the spacetime is $`X`$, to a situation in which classical geometry is again a good approximation but the spacetime is $`Y`$. For this process to occur smoothly even though the initial and final spacetimes have different topology, it inevitably happens that in interpolating from $`P`$ to $`Q`$, one has to pass through a region in which classical geometry is not a good approximation.

The example of what I have just described that is most discussed mathematically is that in which $`X`$ is a Calabi-Yau threefold, and, say, $`Y`$ is mirror to $`X`$ and $`Z`$ is another Calabi-Yau manifold that is birational to $`X`$ or $`Y`$.

Because the characteristic length scale of stringy behavior, in the simplest way of matching string theory with the real world, is about $`10^{32}`$ cm, way below the distance scale that we can probe experimentally, much of the structure of string theory, assuming it is right, is out of reach experimentally. Conceivably, we might one day be able to use string theory to calculate masses and interaction rates of the observed elementary particles, but this seems far off. It is also just possible that we might have the chance to observe one or another kind of massive string relic left over from the early universe. There is, however, another possibility that is much more likely for the immediate future; there is one important aspect of stringy geometry which may very well be accessible to experiments. This is “supersymmetry,” roughly the notion that spacetime is more accurately understood as a supermanifold, with both odd and even coordinates, rather than as an ordinary manifold. The theory of supermanifolds is more accessible and better known mathematically than some of the other things that I have mentioned. Most of the known geometrical applications of quantum field theory involve supersymmetry in one way or another.

If supersymmetry is relevant in nature, the oscillations of known particles in the “odd” directions in spacetime would give new elementary particles that could be discovered in accelerators. There are hints that these new particles exist at energies very close to what has already been reached experimentally. To me the most striking hint of this comes from the measured values of the strong, weak, and electromagnetic coupling constants, which are in excellent agreement with a prediction based on supersymmetric grand unification. If these hints have been correctly interpreted, we are likely to discover supersymmetric particles at accelerators in this decade, probably at the Fermilab accelerator in Illinois or at the Large Hadron Collider, which is being built at the European laboratory CERN near Geneva.

It is interesting to contemplate the impact on mathematics if supersymmetry is really discovered experimentally. When General Relativity emerged as an improvement on Newton’s theory of gravity, this gave a huge boost to the mathematical investigation of Riemannian geometry. Nonrelativistic quantum mechanics probably gave an equivalent boost to functional analysis. Quantum field theory is so multi-faceted that a simple summary of its mathematical influence is difficult; some aspects of quantum field theory have influenced mathematics considerably, but as I have explained, problems of rigor have kept the core ideas of this richest of physical theories inaccessible mathematically. Supersymmetry, I think, would fall somewhere in between. Its experimental discovery would greatly increase the interest of mathematicians in supermanifold theory, which is accessible mathematically, but the full impact on mathematics would be delayed because the real payoff of supersymmetry lies in the realm of quantum field theory and string theory.

3. Uniform breakdown of the “large, smooth” approximation

In recent years, the most significant development in string theory has been to understand some of the things that happen when both $`\mathrm{}`$ and $`\alpha ^{}`$ are important. One discovery is that the different models of string theory that we knew of in the 1980’s are related like the different classical spacetimes $`X,Y`$, and $`Z`$ that we discussed above. In an asymptotic expansion near $`\mathrm{}=0`$, they are different, but in a more complete description, the different string models arise as different semiclassical limits of one richer theory that has been dubbed $`M`$-theory. $`M`$-theory, though we do not really understand it yet, is thus the candidate for super-unification of the laws of nature.

Also, we have gained insight about what happens in many situations in which classical geometry breaks down. In the “large, smooth” limit of spacetime, in which all relevant length scales are large, classical geometry (enriched to include supersymmetry) is always a good approximation. But what happens when the “large, smooth” approximation breaks down?

Many interesting results were obtained in the 1990’s about situations in which the “large, smooth” approximation breaks down everywhere at once. I will give a few examples. These examples involve the basic ten-dimensional models of string theory, such as Type IIA and Type IIB superstrings and the heterotic string, and also the eleven-dimensional $`M`$-theory. Let $`𝐒^1(r)`$ denote a circle of circumference $`2\pi r`$. Then our first example is the assertion for any ten-dimensional spin manifold $`X`$, Type IIA superstring theory on $`X\times 𝐒^1(r)`$ is equivalent to Type IIB superstring theory on $`X\times 𝐒^1(\alpha ^{}/r)`$. If $`r>>(\alpha ^{})^{1/2}`$, the description via Type IIA superstring theory is transparent as ordinary geometrical concepts are valid, while for small $`r`$ the second description is better. Starting on the Type IIA side at large $`r`$, the “large, smooth” description breaks down for $`r0`$ (as there are closed geodesics of length $`2\pi r`$ in $`X\times 𝐒^1(r)`$), and the equivalence to Type IIB on $`X\times 𝐒^1(\alpha ^{}/r)`$ gives a description that is valid when the Type IIA description has failed.

My other examples will relate an eleven-dimensional description via $`M`$-theory to a ten-dimensional string theory. With $`X`$ as before a ten-dimensional spin manifold and $`Y`$ a seven-dimensional spin manifold, and letting $`\mathrm{K3}(r)`$ denote a K3 surface of radius $`r`$ and $`𝐈(r)`$ a length segment of length $`r`$, and $`𝐓^3`$ a three-torus, we have the following relations: (i) $`M`$-theory on $`X\times 𝐒^1(r)`$ is equivalent as $`r0`$ to Type IIA superstring theory on $`X`$; (ii) $`M`$-theory on $`Y\times \mathrm{K3}(r)`$ is equivalent as $`r0`$ to the heterotic string on $`Y\times 𝐓^3`$; and $`M`$-theory on $`X\times 𝐈(r)`$ is equivalent for $`r0`$ to the $`E_8\times E_8`$ heterotic string on $`X`$. In each of these examples, the “large, smooth” approximation is valid for large $`r`$ (if $`X`$ and $`Y`$ are large enough) and breaks down for small $`r`$. In each example, the string coupling constant in the string theory description vanishes for $`r0`$, so that the string theory description is useful in that limit — an asymptotic expansion valid for small $`r`$ can be explicitly worked out, giving a detailed answer to the question of what happens when the “large, smooth” approximation fails. Note that these examples involve highly nonclassical behavior, with change in the topology and even the dimension of spacetime — for example, a four-dimensional K3 surface at large $`r`$ is replaced by a three-dimensional torus when $`r`$ becomes small.

Relations of this type are “quantum” analogs (involving both $`\mathrm{}`$ and $`\alpha ^{}`$) of mirror symmetry (which from this standpoint involves only $`\alpha ^{}`$) and have led to the understanding that the different string models are different limits of the same things. Many other examples have been worked out in which the “large, smooth” approximation breaks down everywhere at once. I want to focus in the remaining time today, however, on another type of situation. This is the case in which, as some parameter is varied, the “large, smooth” approximation remains valid generically, but breaks down along some locus of codimension $`d>0`$ where spacetime develops a conical singularity.

4. Behavior at conical singularities

The behavior of string theory when spacetime develops a conical singularity in positive codimension can be investigated by methods that exploit the fact that the “large, smooth” approximation remains generically valid, away from the singularity. One often can identify an interesting mathematical and physical phenomenon supported at the singularity. I will select examples in which both $`\mathrm{}`$ and $`\alpha ^{}`$ play an important role. There also are many instances of conical singularities that can be studied at $`\mathrm{}=0`$, such as the string theory orbifolds that have motivated one of the satellite meetings of ICM-2002. But we will focus on problems that involve both $`\alpha ^{}`$ and $`\mathrm{}`$. I will give three examples; two involve known mathematical constructions that appear in a new situation, while in the third the key phenomenon is nonclassical — it can only be formulated quantum mechanically.

I. $`M`$-Theory At An A-D-E Singularity: The A-D-E singularities are codimension four singularities that look locally like $`𝐑^4/\mathrm{\Gamma }`$, where $`\mathrm{\Gamma }`$ is a finite subgroup of $`SU(2)`$, acting on $`𝐑^4𝐂^2`$ and preserving the hyper-Kahler structure of $`𝐑^4`$. An extensive mathematical theory relates the A-D-E singularity to the A-D-E Dynkin diagram and many associated bits of geometry and algebra. However, the role of the A-D-E group in relation to the singularity is elusive. Like other singular spaces, the A-D-E singularity is usefully studied as a limit of smooth spaces carrying the appropriate structure. In this example, the singular space $`𝐑^4/\mathrm{\Gamma }`$ has a hyper-Kahler resolution (due to Kronheimer) that contains exceptional divisors of area $`A_1,\mathrm{},A_r`$ which appear as parameters in the metric ($`r`$ is the rank of the relevant A-D-E group, and the intersection form of the divisors is minus the Cartan matrix of the group). In the context of $`M`$-theory or string theory, for $`A_1,\mathrm{},A_r`$ large, the “large, smooth” approximation is valid and classical geometry can be applied. We want to know what happens as $`A_1,\mathrm{},A_r0`$, giving a singularity at the origin in $`𝐑^4`$. This is the basic A-D-E singularity in $`𝐑^4`$; in eleven-dimensional $`M`$-theory, we would usually be working on an eleven-dimensional spacetime $`X`$, and the singularity arises on a codimension-four submanifold $`Q`$. The answer has turned out to be that in this limit, A-D-E gauge fields — and their supersymmetric extension — appear on $`Q`$. Assuming that the “large, smooth” approximation has failed only because of the A-D-E singularity, there is an effective description of the resulting physics that roughly speaking is governed by the action

$$I=_Xd^{11}x\sqrt{g}(R+\mathrm{})+_Q\mathrm{Tr}(FF+\mathrm{}),$$

where $`R`$ is the Ricci scalar, $`F`$ is the curvature of the A-D-E connection, and “$`\mathrm{}`$” refers to the supersymmetric extension. The supersymmetric extension of the gauge theory that is supported on $`Q`$ turns out to automatically contain the variables needed to parametrize Kronheimer’s hyper-Kahler resolution of the singularity.

II. Gauge Theory Instantons: My second example involves the instanton solutions of four-dimensional Yang-Mills theory. Like the Einstein equations, the equations for Yang-Mills instantons, which read $`F=F`$, where $`F`$ is the curvature of a Yang-Mills connection on $`𝐑^4`$, are scale invariant. (In fact, they have the much stronger property of conformal invariance.) Instantons therefore come in all sizes. One can scale the size of an instanton all the way down to zero, giving, in the limit, a singular, point-like instanton. So (even on a compact four-manifold) instanton moduli space is non-compact. This raises the question, “What happens when an instanton becomes small?”

The answer to this question depends on what one is trying to do. I will describe three possible answers. (i) Instantons were introduced in quantum field theory in the mid-1970’s. Traditionally, physicists were interested in certain integrals over instanton moduli space. From this point of view, the meaning of the noncompactness of instanton moduli space is clear: one should make sure that the integrals of interest converge, and one should be careful when integrating by parts. (ii) In Donaldson theory, one is interested in intersection theory on instanton moduli space; “instanton bubbling” — the shrinking of an instanton to a point — is the main source of technical difficulty. One deals with it by a variety of technical means such as considering cycles in moduli space whose intersections avoid the bubbling region. (iii) In string theory, one expects the classical instanton equation $`F=F`$ to be a good approximation for large instantons, this being an example of the validity of classical concepts in the “large, smooth” region. But one expects this description to break down as the instanton shrinks. The question here is to find a description that is valid for small instantons.

The instanton problem can be embedded in string theory in different ways, so there are several answers. I will give the answer in one case — Type I superstring theory or the $`SO(32)`$ heterotic string. (At the very end of this talk, I briefly point out a second case.)

Before going on, I should mention one surprising part of the mathematical theory of instantons. This is the ADHM construction (due to Atiyah, Drinfeld, Hitchin, and Manin) of instantons in $`𝐑^4`$. To describe a $`k`$-instanton solution of $`SU(N)`$ gauge theory on $`𝐑^4`$, the ADHM construction employs an auxiliary $`U(k)`$ group. (For example, the instanton moduli space is constructed as a hyper-Kahler quotient of a linear space divided by $`U(k)`$.) The interpretation of this group is somewhat mysterious in classical geometry, just at the role of the A-D-E group in relation to the A-D-E singularity is somewhat mysterious classically.

Instanton bubbling occurs at a point in $`𝐑^4`$, so in gauge theory in any dimension, it occurs on a submanifold of codimension four. In ten-dimensional Type I superstring theory on a ten-manifold $`X`$, the small instanton thus appears on a codimension four submanifold $`Q`$. The answer to the small instanton problem turns out to be that the $`U(k)`$ group of the ADHM construction appears as a gauge group in the physics on $`Q`$. The effective action that governs this situation turns out to be schematically

$$I=_Xd^{11}x\sqrt{g}(R+\mathrm{})+_Q\mathrm{Tr}(FF+\mathrm{}),$$

where in this case $`F`$ is the curvature of a $`U(k)`$ connection, while “$`\mathrm{}`$” refers to additional terms required by supersymmetry plus the additional variables used in the ADHM construction to describe the moduli space as a hyper-Kahler quotient.

So once again, an interesting and surprising bit of classical mathematics becomes important near the singularity. I move on now, however, to an example in which the key phenomenon cannot be described in classical terms.

III. Type IIB At An A-D-E Singularity: Here we consider again the A-D-E singularity, but now in Type IIB superstring theory rather than in $`M`$-theory. The answer turns out to be completely different: we do not get a description with new classical degrees of freedom; instead a “non-trivial” or “non-Gaussian” conformal field theory is supported on the locus $`Q`$ of the A-D-E singularity. The assertion that this theory is “non-trivial” means that it exists as a conformally invariant quantum field theory, but cannot be conveniently described in terms of classical or Gaussian fields.

This particular nontrivial conformal field theory might be described as a “nonabelian gerbe theory”; it is related to two-forms in roughly the way that nonabelian gauge theory is related to one-forms. Classically, one-forms have a nonabelian generalization in gauge theory, but to find an analogous theory for two-forms one must apparently go to quantum theory. The existence and basic properties of this particular six-dimensional conformal field theory can be used to deduce Montonen-Olive duality of quantum Yang-Mills theory in four dimensions, and this in turn has implications for certain four-manifold invariants.

So this example again involves interesting mathematics, but to describe the result requires use of quantum concepts in a more intimate way. The same happens if we consider the small instanton problem in the $`E_8\times E_8`$ heterotic string (rather than Type I or the $`SO(32)`$ heterotic string as considered above). There is no ADHM construction for $`E_8`$ instantons, so there is no candidate for an answer along the lines sketched above for Type I; instead, a non-Gaussian conformal field theory appears on the small instanton locus $`Q`$.

A general orientation to the subject matter discussed in this lecture can be found in the second half of volume 2 of . A few of the original research papers of relevance are  for the A-D-E singularities,  for the ordinary double point singularity in complex dimension three (we have not actually discussed this case in the present lecture, but it was important in the development of the ideas), and  for small instantons. In addition, I have discussed the small instanton problem from a different but related point of view in . Some readers may also want to consult general expositions of quantum field theory, such as the recent textbook  for physicists, or the exposition aimed at mathematicians in . Finally, a comparatively recent account of known rigorous results on quantum field theory can be found in .

References

 J. Polchinski, String Theory, Cambridge University Press.

 E. Witten, String Theory Dynamics In Various Dimensions, Nuclear Physics, B443 (1995), 85.

 A. Strominger, Massive Black Holes and Conifolds In String Theory, Nuclear Physics, B451 (1995), 96.

 E. Witten, Small Instantons In String Theory, Nuclear Physics, Nuclear Physics, B460 (1996), 541.

 E. Witten, Small Instantons In String Theory, in Prospects In Mathematics, ed. H. Rossi, American Mathematical Society (1999), 111.

 S. Weinberg, The Quantum Theory Of Fields, Cambridge University Press.

 P. Deligne et. al, eds., Quantum Fields and Strings: A Course For Mathematicians, American Mathematical Society (1999).

 V. Rivasseau, From Perturbative To Constructive Renormalization, Princeton University Press (1991).