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# Solar reaction rates, non-extensivity and quantum uncertainty

## Abstract

We show that in weakly non-ideal plasmas, like the solar interior, both non-extensivity and quantum uncertainty (à la Galitskii and Yakimets) should be taken into account to derive equilibrium ion distribution functions and to estimate nuclear reaction rates and solar neutrino fluxes.

PACS: 26.; 24.10.-i; 96.60.Jw; 05.20.-y
Keywords: Nuclear reaction rates; Non-extensive statistics; Solar plasma

It is well known that Boltzmann-Gibbs statistics does not describe correctly the statistical behavior of particles with long-range interaction, non-Markovian memory and multifractal boundary conditions . The treatment in the frame of the extensive description is based on short-range interaction, on neglecting surface effects and on fluctuations of thermodynamic quantities relatively too small to be observed.

The solar core plasma represents a system of particles that, for many reasons, has an equilibrium distribution deviating very slightly from the Maxwell-Boltzmann (MB) distribution. In fact, the mean Coulomb energy is not much smaller than the thermal kinetic energy; the Debye length is of the order of the inter-ionic distance $`a_i`$; it is not possible to clearly separate collective and individual degrees of freedom; the presence of the scales of energies of the same size produces deviations from the standard statistics .

In the region of plasma parameter $`\mathrm{\Gamma }=Z^2e^2/(a_ikT)0.1`$, to which the solar core plasma belongs, the Debye character of the screening is maintained but strong interactions at distances of the order of $`n^{1/3}`$ ($`n`$ is the particle density) become the main interactions while involving multiple particles. The reaction time to build up screening after a hard collision is the inverse of the plasma frequency; the collision time is comparable to it. Therefore many collisions are necessary before particles loose memory of the initial state and the scattering process can not be considered Markovian, non-extensive effects should be included . Tsallis non-extensive thermostatistics is actually a well-known tool successfully applied to many different physical problems and can account quite naturally of all the above mentioned features of the solar core plasma by means of the entropic parameter $`q`$ .

Recently, in Ref.s  the Green’s function technique has been used to examine tunneling reaction probability and the rôle of the many-body effects (or quantum uncertainty effect, following Galitskii and Yakimets ) on the rates of nuclear reactions in the laboratory fusion plasma and in the weakly non-ideal sun core. The implications of such effects in the evaluation of the solar neutrino fluxes are discussed in Ref.  (for an updated reading on the solar neutrino problem one can refer to Ref.s  and to the recent Ref.  where neutrino decay solution is reexamined in the light of the SuperKamiokande data).

The aim of this paper is twofold: 1) we find a microscopic interpretation of the non-extensive parameter $`q`$ in the solar core (in other words, the entity of deviation of the Maxwellian distribution of the ionic equilibrium distribution we use in this work) in terms of the plasma parameter and the ion correlation parameter; 2) we study both the non-extensive ($`q`$) and the quantum uncertainty ($`Q`$) effects , in the calculation of the solar reaction rates and in the solar neutrino fluxes. The two effects should be simultaneously active if the collision frequency is comparable with the plasma frequency; this requirement is fulfilled in the solar core.

Electrical microfields and validity of the Tsallis distribution in the solar core -  Basic quantities influencing the microscopic processes and the nuclear rates are the electrical microfields acting on the nuclei in the plasma: the time-spatial fluctuations in the particles positions produce specific fluctuations of the microscopic electric field in a given point of the plasma. The rates are changed respect to the standard ones because of the presence of microfield distributions (with energy density of the order of $`10^{16}`$ MeV/fm3) which modifies, under particular conditions, the ion distribution tail. The influence of microfields on the rates of nuclear tunneling reactions has been widely studied since the early work of Holtsmark  and later, for instance, in the Ref.s .

In the solar core, the effects of random electric microfields are of crucial importance. These microfields have in general long-time and long-range correlations, can generate anomalous diffusion and may be decomposed in three main components: 1) A slow varying component due to plasma oscillations. The particles see this component as an almost constant external mean field over several collisions. 2) A fast random component related to the diffusive cross section ($`\sigma _d1/v`$); this component does not affect the distribution that remains Maxwellian. 3) The third component is related to a short-range two-body strong Coulomb effective interaction. As we will see later, this is the component that alters the distribution.

Let us derive the ion distribution function to be used to calculate tunneling reactions rates in solar plasma, when an electric microfield distribution is present. The equilibrium distribution we are deriving differs from the MB distribution, if particular conditions are fulfilled. In fact, the presence of the electric microfield average energy density, $`E^2`$, modifies the stationary solution of the Fokker-Planck equation and the ion equilibrium distribution can be written as

$$f(v)=C\mathrm{exp}\left\{_0^v\frac{mvdv}{kT+\frac{2}{3}\frac{e^2E^2}{xm\nu ^2}}\right\},$$
(1)
where $`\nu `$ is the total collision frequency, $`x`$ the elastic energy-transfer coefficient between two particles of the plasma, $`x=2m_1m_2/(m_1+m_2)^2`$, $`m`$ the reduced mass, $`T`$ the temperature, $`C`$ the normalization constant.
Defining a critical field $`E_c=\nu \sqrt{3xmkT/2e^2}`$, we can see from Eq.(1) that if $`EE_c`$ the distribution is Maxwellian whatever be the value of the frequency $`\nu `$; if $`EE_c`$ and $`\nu `$ is not a constant but depends on $`v`$, the distribution is a Druyvesteyn like distribution . In the solar core being $`E`$ not too larger than $`E_c`$, the distribution of Eq.(1) differs slightly from the Maxwellian but such small deviation is quite important in the evaluation of the nuclear rates.
The condition that $`\nu `$ be a function of velocity $`v`$ is verified by the fact that the elastic collision cross section is $`\sigma =\sigma _d+\sigma _0`$, where $`\sigma _d1/v`$ is the elastic diffusion cross section and $`\sigma _0`$ is the enforced Coulomb cross section. The total frequency $`\nu =\sigma vn`$ satisfies the relation $`\nu ^2=\nu _d^2+\nu _0^2`$ without interference terms.
The expression of $`\sigma _0`$ is due to Ichimaru  which developed a strict enforcement of the Wigner-Seitz ion sphere model yielding the elastic cross section $`\sigma _0=2\pi (\alpha a)^2`$ where $`a`$ is the inter-particle distance, $`\alpha `$ is a one dimensional parameter related to the probability that the nearest neighbor be at a distance R and therefore related to the pair-correlation function $`g(R,t)`$.

The explicit expression of the equilibrium distribution (1) for the solar interior can be written as a function of the kinetic energy $`ϵ_p`$

$$f(ϵ_p)=N\mathrm{exp}\left[\phi \frac{ϵ_p}{kT}\delta \left(\frac{ϵ_p}{kT}\right)^2\right],$$
(2)
where $`N`$ is the normalization constant and

$$\phi =\frac{\widehat{\phi }}{1+\widehat{\phi }},\widehat{\phi }=\frac{9}{2}x\frac{n^2(kT)^2}{Z^2e^2E^2}\sigma _d^2,$$
(3)
$$\delta =\left(\frac{3\sigma _d^2}{\sigma _0^2}+\frac{1}{\widehat{\delta }}\right)^1,\widehat{\delta }=\widehat{\phi }\frac{\sigma _0^2}{3\sigma _d^2}.$$
(4)
In solar interior $`\phi 1`$ ($`\widehat{\phi }1`$), therefore the equilibrium distribution function containing random microfields with collision frequency depending on the velocity, is given by the Maxwellian distribution times the factor $`\mathrm{exp}[\delta (ϵ_p/kT)^2]`$. It represents, if we recall $`\delta `$ as $`\delta =(1q)/2`$, the approximation of the Tsallis distribution when $`q1`$ . It is remarkable that such distribution has been postulated ad hoc by Clayton more than twenty years ago in the solution of the solar neutrino problem .

By means of Eq.s(2)-(4) we have established a strict connection between the entity of the deviation from the MB in the solar interior, the $`\delta `$ ($`q`$) parameter, and the elastic diffusion and Coulomb cross sections. Expliciting such cross sections in terms of the Ichimaru parameter $`\alpha `$ and the plasma parameter $`\mathrm{\Gamma }`$, after straightforward calculations, we obtain that, in the small correction limit relevant to the solar core ($`\phi 1`$), the $`\delta `$ parameter can be written as

$$|\delta |\frac{\sigma _0^2}{3\sigma _d^2}=12\alpha ^4\mathrm{\Gamma }^21.$$
(5)
Eq.(5) is a crucial result of this paper because it establishes that the presence of electric microfields implies a deviation from the MB distribution, the entity depending on the value of the plasma parameter and the collision frequency by means of the $`\alpha `$ parameter. As we will see, very small deviations from the Maxwellian tail can produce strong deviations of the reaction rates from their standard values.

Let us remark that we do not discuss the electron screening effect . We can realize that at the temperature, elemental densities and plasma parameter of the sun core, the rates of the reactions could be modified of only few per cent and even less by the screening factor $`f_0`$. Its value can be taken equal to unity because its effect on the rates is negligible if compared to the depletions (or enhancements) of the rates due to other effects (electromagnetic fluctuations in a plasma) responsible of the equilibrium distribution function we are considering and evaluating in this work.

The quantum uncertainty effect -  Galitskii and Yakimets  showed that in dense or low temperature plasma, due to quantum uncertainty effect, the particle distribution function over momenta acquires a power-like tail even under conditions of thermodynamic equilibrium

$$f(𝐩)=_{\mathrm{}}^+\mathrm{}f(ϵ,𝐩)𝑑ϵ=f_M(𝐩)+\frac{\mathrm{}\nu kT}{2\pi ϵ_p^2}e^{\mu /kT},$$
(6)
where $`f_M(𝐩)`$ is the equilibrium MB distribution over momenta.
The distribution function of Eq.(6) is an approximation of the correct solution, not valid for $`\mathrm{}\nu /kT1`$ (non-ideal plasma of high density and low temperature), and is correct in the case of solar core $`\mathrm{}\nu /kT0.1`$ (we remember, as already mentioned, that $`\nu \omega _{pl}`$). At sufficiently high values of $`𝐩`$, the magnitude of the tail can be many times greater than the Maxwellian distribution. Since is the momentum rather than the energy that enters into the scattering amplitude in the gas approximation, fusion reaction rates in equilibrium systems can be calculated by averaging the reaction cross section $`\sigma (ϵ_p)`$ over the momentum distribution function, rather than the energy distribution .

Let us briefly summarize the results obtained in Ref.  taking into account the uncertainty quantum effects $`Q`$ alone. We indicate the corrections derived respect to the standard results based on Maxwellian distributions.
Although the $`pp`$ reaction rate should be corrected by a factor $`r_{11}3.510^3`$, (at $`r=0.0759R_{}`$) nevertheless the solar luminosity is maintained unchanged respect to the observed value because: a) the 3He-3He rate should be increased by a factor $`r_{33}4.510^8`$, b) the 3He-4He rate should be increased by a factor $`r_{34}3.110^9`$, at $`r=0.00759R_{}`$ and $`r_{34}5.910^8`$, at $`r0`$, c) the 4He density is unchanged, d) 3He density is decreased by $`10^8`$, e) electronic capture (that is not a tunneling reaction) rate by $`{}_{}{}^{7}Be`$ is unchanged, f) p-7Be rate is increased by a factor $`r_{17}410^5`$, at $`r0`$, g) the density of $`{}_{}{}^{8}B`$ is increased by $`810^3`$, h) other reaction rates to burn 8B are increased by $`10^{30}`$, i) the flux of 7Be neutrinos is decreased by a factor $`50`$.

The authors argue that because the mean average molecular weight A is left unchanged then, the sound speed does not change respect to the standard prediction. This should be proved, because locally in interior shells, where several reactions are mostly active, different density (from standard) might induce quite different speed of sound and helioseismology constraints can be not fulfilled. The aim of Ref.  was to check if the calculated quantum uncertainty $`Q`$ rates contradict solar data and found it do not. Solar interior conditions require the inclusion of the $`Q`$ corrections. Nevertheless, because results are quite different from solar standard model (SSM) results we will see that only within non-extensive thermostatistics these corrections can be adequately arranged to agree with the experimental results.

Nuclear reaction rates with non-extensive and quantum uncertainty corrections -  We know that a solution which coincides with a non-extensive distribution can be obtained only if the electric microfield $`E`$ is greater than a certain critical value $`E_c`$, and if the frequency of collision depends on $`v`$. This condition is verified if the Coulomb collisional cross section, which describes the strong part of the collision, is a constant: $`\sigma _0=2\pi (\alpha a)^2`$ and is due to the random contribution of the electric microfield. The above assumptions do not modify the treatment of Galitskii and Yakimets (they consider the Coulomb interaction, but the random part of it is not taken into account), rather are responsible of some changements in the final rates.

The non-extensive distribution function, given by Eq.(2), modifies the reaction rate $`R_q`$ and can be written as

$$R_q=R_Me^{\delta \gamma _{ij}},$$
(7)
where $`R_M`$ are the Maxwellian rates, $`\delta =(1q)/2`$, $`\gamma _{ij}=(ϵ_0^{ij}/kT)^2`$, $`ϵ_0^{ij}=5.64(Z_iZ_jA_iA_j/(A_i+A_j)T_c/T)^{1/3}`$, is the most effective energy and $`T_c=1.36`$ keV is the temperature at the center of the Sun.

If we consider only the quantum effect $`Q`$, the correction $`r_{ij}`$ to the Maxwellian rate ($`R_Q=R_Mr_{ij}`$) can be written as

$`r_{ij}={\displaystyle \frac{3^{19/2}}{8\pi ^{3/2}}}{\displaystyle \underset{b}{}}{\displaystyle \frac{h\nu }{kT}}\left({\displaystyle \frac{m_{\mathrm{coll}}}{m_r}}\right)^{7/2}{\displaystyle \frac{e^{\tau _{ij}}}{\tau _{ij}^8}},`$ (8)
$`m_{coll}={\displaystyle \frac{m_rm_b}{m_r+m_b}},m_r={\displaystyle \frac{m_im_j}{m_i+m_j}},`$ (9)
$`\tau _{ij}=3({\displaystyle \frac{\pi }{2}})^{2/3}\left(100Z_i^2Z_j^2{\displaystyle \frac{A_iA_j}{A_i+A_j}}T_{\mathrm{keV}}^1\right)^{1/3},`$ (10)
where $`m_b`$ is the mass of the background particles colliding with tunneling particles.

Including the Tsallis non-extensive effects, the total rate (i.e. including both the $`q`$ and $`Q`$ effects) is

$$R=R_q+R_Qe^{\delta \gamma _{ij}^{}}=R_M(e^{\delta \gamma _{ij}}+r_{ij}e^{\delta \gamma _{ij}^{}}),$$
(11)
where $`\gamma ^{}=(ϵ_Q/kT)^2`$ and $`ϵ_Q`$ is the effective energy of the quantum correction. Considering the appropriate expression of the collision frequency $`\nu `$ in terms of $`\sigma _0`$ and $`\sigma _d`$, we can verify that approximately holds the numerical relation: $`ϵ_Q3ϵ_0`$. Although the values $`r_{ij}`$ calculated in Ref. are of order $`10^8÷10^9`$, the factor $`e^{\delta \gamma ^{}}`$ has a large exponent and can strongly suppress the enhancement given by $`r_{ij}`$. In fact, the quantum uncertainty corrections calculated on the basis of Tsallis distribution $`r_{ij}e^{\delta \gamma ^{}}`$ are of the same order of $`e^{\delta \gamma }`$ and even less (if $`\delta 10^2÷10^3`$, as we can deduce from Eq.(5)). Solar conditions admit small non-extensive statistics effects in the equilibrium distribution, showing very small deviations in the Maxwellian tail. By using a numerical code based on a complete evolutionary stellar model, it has been verified that the consequence of this statement are compatible to the experimental results on neutrino fluxes .

Let us now define the following quantities:

$`A={\displaystyle \frac{\mathrm{\Phi }(Be^7)/\mathrm{\Phi }^M(Be^7)}{\mathrm{\Phi }(B)/\mathrm{\Phi }^M(B)}},B={\displaystyle \frac{\mathrm{\Phi }(B)}{\mathrm{\Phi }^M(B)}},C={\displaystyle \frac{\mathrm{\Phi }(Be^7)}{\mathrm{\Phi }^M(Be^7)}},`$ (12)
and $`k_{e7}=zk_{17}^M`$, $`k_{e,7}=yk_{17}`$, where $`k_{ij}`$ and $`k_{ij}^M`$ are respectively the modified and Maxwellian rates; the value of the constant $`z=227`$ can be found, for instance, in Ref..
We can take the usual time-dependent equations of the rates with the solar luminosity constraint (as reported for instance in Ref.) to derive the steady state solutions for the elemental densities. Using the expressions of the rates of Eq.(11) with quantum uncertainty and non-extensive corrections, the following set of equations can be derived:

$`A={\displaystyle \frac{C}{B}}={\displaystyle \frac{e^{\delta _{17}\gamma _{17}^{}}}{r_{17}}}e^{\delta _{17}\gamma _{17}}r_{17}e^{\delta _{17}\gamma _{17}^{}},{\displaystyle \frac{y}{z}}{\displaystyle \frac{1}{A}}=1,`$ (13)
$`{\displaystyle \frac{n_{Be^7}}{n_{Be^7}^M}}={\displaystyle \frac{n_3}{n_3^M}}(e^{\delta _{34}\gamma _{34}}+r_{34}e^{\delta _{34}\gamma _{34}^{}}){\displaystyle \frac{1}{[1+(e^{\delta _{17}\gamma _{17}}+e^{\delta _{17}\gamma _{17}^{}})/(2z)]}}.`$ (14)
A reasonable evaluation of $`\alpha `$ gives: $`\alpha =0.55`$, with $`\mathrm{\Gamma }0.1`$ we obtain $`q=0.990`$ ($`\delta =0.005`$) for all components (see the Conclusions for a comment on the uncertainty of these values).

If we assume $`n_3/n_3^M310^3`$ (let us remark that density is not changed alone, but all the tunneling rates are changed consistently solving the set of the mentioned equations) we obtain

$`{\displaystyle \frac{\mathrm{\Phi }(Be^7)}{\mathrm{\Phi }^M(Be^7)}}={\displaystyle \frac{1}{50}},{\displaystyle \frac{\mathrm{\Phi }(B)}{\mathrm{\Phi }^M(B)}}{\displaystyle \frac{1}{2}},`$ (15)
$`\mathrm{Gallium}=81\mathrm{SNU},\mathrm{Chlorine}=2.8\mathrm{SNU},`$ (16)
$`\mathrm{\Phi }(pp)`$ and luminosity are practically unchanged respect to the SSM values.

The CNO rates that are strongly enhanced by the quantum uncertainty effect are remarkably reduced by the factor $`e^{\delta \gamma ^{}}`$. We have introduced the assumption that $`n_3`$ is of the order of about $`10^3`$ reduced respect SSM and consistent with the set of time-dependent equations of the rates. This value is within the constraints actually imposed by helioseismology because in the region $`r/R_{sun}<0.2`$ the value of $`n_3`$ can be submitted to a large variability . The results presented, that are in very good agreement with the experimental data , do not pretend to demonstrate that the solar neutrino problem is solved, but rather that a path to solution along this procedure can be found.

Conclusions -  In a weakly non-ideal plasma, like the solar interior, ions and electrons behave like quasi-particles and, due to the quantum uncertainty, momentum and energy of colliding particles are independent variables. This many-body effect is responsible of an additional power-law tail to the Maxwellian momentum equilibrium distribution, as discussed by Galitskii and Yakimets , while the energy particle distribution remains Maxwellian. The central and more important quantity that enters into the quantum correction of the distribution is the elastic collision frequency which, in these weakly non-ideal plasmas, has a value of the same order as the collective plasma frequency. Being such a value of collision frequency in systems of particles with long-range interactions related also to memory effects with long-time tails, the equilibrium non-extensive statistics appears to be the most suitable statistics to use and it can take into account, in a very natural way, both quantum and non-extensive effects.
Savchenko  has shown that the rigorous procedure of averaging of tunneling probability, based on Green function technique, gives results nearly coincident with the results obtained by the simple averaging. Therefore, we can show that, by using the modified distribution function, Eq.(2), (which corresponds to the equilibrium Tsallis distribution when deviations from standard statistics are small) instead of the MB one, the strong increase of the nuclear reaction rates caused by quantum uncertainty effects alone is greatly (or fully) reduced. We can confirm the validity of the Tsallis statistics to describe weakly non-ideal plasmas such as the solar core and of its use to calculate solar neutrino fluxes towards a closer agreement to the experimental measurements than standard calculations. In fact, the calculated fluxes are in good agreement with the experimental results using the reaction rates of Eq.(11) with quantum uncertainty and non-extensive corrections and a $`{}_{}{}^{3}He`$ density (in the core) $`10^3`$ times the value usually taken in SSM. This figure is consistent with helioseismology constraints. Finally, we have justified the entropic parameter $`q`$ ($`\delta `$) of the non-extensive statistics because we have related this quantity to the electric microfields distribution in the plasma (or explicitly, to the plasma parameter $`\mathrm{\Gamma }`$ and to $`\alpha `$, the ion correlation function). Therefore the quantity $`q`$ cannot be considered a free parameter. However, the evaluation of $`q`$ (or $`\delta `$) by means of Eq.(5) is not absent of some uncertainty because the quantity $`\alpha `$ ($`\delta `$ depends on the fourth power of $`\alpha `$) is still to be deeply analyzed and evaluated, in spite of the many efforts spent in the past on space-time correlation functions of ions in stellar plasma. Our results are, of course, not conclusive on the problem of solar neutrinos, rather they represent an indication that, possibly, an astrophysical solution can be found once nuclear reactions in weakly non-ideal astrophysical plasma be fully understood or measured in laboratories with ad hoc experimental facilities.

This work is supported in part by MURST.


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# 𝑅⁴ couplings, the fundamental membrane and exceptional theta correspondences

## Introduction.

Despite considerable insights brought about by the discovery of dualities, a tractable microscopic definition of non-perturbative string theory remains an outstanding problem hindering further progress. While several definitions are available, computational power is the issue: the eleven-dimensional membrane is strongly interacting, whereas the large-$`N`$ limit of its M(atrix) theory cousins is still largely untamed. For particular supersymmetric situations however, one would expect all quantum fluctuations to cancel, leaving a hopefully tractable zero-mode problem. For example, the spectrum of BPS states in toroidal compactifications of M-theory has been reproduced from the BPS five-brane  or from M(atrix) theory (see e.g.  for a review along these lines). This amounts to a rather trivial check of the duality invariance of the proposed classical action. Somewhat less trivial would be to give a microscopic derivation of a particular amplitude, receiving contributions from supersymmetric states but still with a non-trivial summation measure. Such is the case of the eight-derivative $`R^4`$ couplings, exactly known in toroidal compactifications of M-theory on the basis of duality and supersymmetry . In this work, we attempt a microscopic derivation of these couplings, contending that the eleven-dimensional membrane gives the fundamental degrees of freedom of M-theory. Due to our limited understanding of the quantization of the membrane, we proceed by analogy with the BPS string, and try to construct a partition function for a toroidal BPS membrane exhibiting at the same time world-volume modular invariance and target-space U-duality.111Our goal bears some resemblance to the work , where a modular invariant partition function for the fivebrane is proposed; unfortunately their result is not invariant under target-space duality. The classical membrane partition function reproduces the correct BPS spectrum and instanton saddle points, but is not U-duality invariant. We propose that the appropriate quantum modification is provided by exceptional theta correspondences from the theory of automorphic forms, in analogy with the symplectic theta correspondence arising in string theory. The explicit construction of such correspondences is outlined but left for future work. It is nevertheless expected to provide important clues about the quantization of the membrane, and possibly give a mechanism for the finiteness of membrane theory and unification of membranes and five-branes.

## One-loop string amplitude.

In order to motivate our approach, recall the computation of $`R^4`$ couplings in type-II string theory . The four-graviton scattering amplitude at eight derivative order receives contributions from tree-level, one-loop, together with an infinite series of D-instanton corrections,

$$f_{R^4}=\frac{2\zeta (3)V}{g_s^2l_s^2}+f_{1\text{-}\mathrm{loop}}+𝒪\left(e^{1/g_s}\right).$$
(1)
The tree-level term is essentially field-theoretical and depends only on the total volume $`V`$ of the internal torus $`𝕋^d`$. The one-loop term on the other hand is a complicated function of the torus moduli, invariant under target space duality $`SO(d,d,)`$. It can be written as an integral over the fundamental domain of the Poincaré upper half-plane,

$$f_{1\text{-}\mathrm{loop}}=2\pi _{}\frac{d^2\tau }{\tau _2^2}Z_{d,d},(\tau ;g,B),$$
(2)
where $`Z_{d,d}`$ is the partition function (or theta function) of the even self-dual lattice describing the toroidal compactification,

$$Z_{d,d}(\tau ;g,B)=V\underset{(m^i,n^i)^{2d}}{}e^{\frac{\pi }{\tau _2}(m^i+\tau n^i)g_{ij}(m^j+\overline{\tau }n^j)+2\pi im^iB_{ij}n^j}.$$
(3)
Notice that only the zero-modes of the string coordinates contribute, all bosonic and fermionic oscillators having canceled in this supersymmetric amplitude. Their weight is given by the Polyakov action

$$S=d^2\sigma \sqrt{\gamma }g_{ij}\gamma ^{ab}_aX^i_bX^j+2\pi iϵ^{ab}B_{ij}_aX^i_bX^j,$$
(4)
evaluated on the classical (zero-mode) configuration and worldsheet unit-volume metric

$$X^i=m^i\sigma _1+n^i\sigma _2,\gamma _{ab}=\frac{1}{\tau _2}\left(\begin{array}{cc}1& \tau _1\\ \tau _1& |\tau |^2\end{array}\right).$$
(5)
## Sum over states.

For the purpose of generalization to the eleven-dimensional membrane, it will be useful to understand this one-loop amplitude from several viewpoints. First, let us Poisson resum the windings $`m^i`$ along the $`\sigma _1`$ direction into momenta $`m_i`$, and rewrite

$$f_{1\text{-}\mathrm{loop}}=2\pi _{}\frac{d^2\tau }{\tau _2^{2(d/2)}}\underset{m_i,n^i}{}e^{\pi \tau _2\left[(m_i+B_{ij}n^j)^2+(n^i)^2\right]2\pi \tau _1im_in^i}.$$
(6)
Ignoring for a moment the restriction $`|\tau |>1`$ on the fundamental domain $``$, we recognize $`\tau _2`$ as the Schwinger parameter, while the integral over $`\tau _1[1/2,1/2]`$ imposes the BPS constraint $`m_in^i=0`$. The one-loop amplitude can therefore be viewed as a *regulated* sum over the one-loop contributions of all perturbative half-BPS states, with internal momentum $`m_i`$, winding $`n^i`$ and mass

$$^2=\left(m_i+B_{ij}n^j\right)^2+\left(n^i\right)^2.$$
(7)
In fact, one could have started from the light-cone description of the string to find the integrand in (6), discovered its hidden modular invariance under $`Sl(2,)`$, and by hand restricted the integration to the fundamental domain, to render the integral UV finite. The Polyakov description produces this result automatically, and shows that all string theory amplitudes are UV finite.

## Worldsheet instantons.

Let us now revert to the “lagrangian” representation (3), and consider the large volume expansion (or equivalently the Fourier expansion in the periodic modulus $`B_{ij}`$) of the one-loop result. By the standard orbit decomposition method , the fundamental domain can be unfolded to produce

$`f_{1\text{-}\mathrm{loop}}`$ $`=`$ $`{\displaystyle \frac{2\pi ^2}{3}}V+2V{\displaystyle \underset{m^i0}{}}{\displaystyle \frac{1}{m^ig_{ij}m^j}}+`$ (8)
$`+\mathrm{\hspace{0.17em}4}\pi V{\displaystyle \underset{m^{ij}/Sl(2)}{}}\mu \left(m^{ij}\right){\displaystyle \frac{\mathrm{exp}[2\pi \sqrt{(m^{ij})^2}+2\pi iB_{ij}m^{ij}]}{\sqrt{(m^{ij})^2}}}`$
corresponding to the rank 0, 1 and 2 orbits of the integers $`(m^i,n^i)`$ under the modular group $`Sl(2,)`$, respectively. Again, the first and second term can be interpreted as the regulated contribution from the Kaluza-Klein states propagating in the loop, while the last term corresponds to worldsheet instantons wrapping subtori $`𝕋^2𝕋^d`$ with homology $`m^{ij}=m^in^jm^jn^i`$. Their classical action is recognized as the Nambu-Goto action, which follows from the fact that the Polyakov and Nambu-Goto action are equivalent upon imposing the equations of motion for the worldsheet metric $`\gamma _{ab}`$. More interestingly, the summation measure can be computed as the number theoretic function

$$\mu \left(m^{ij}\right)=\underset{n|m^{ij}}{}n$$
(9)
which is also fixed by requiring T-duality invariance. The measure (9) follows from the fact that the sum over the integers $`(m^i,n^i)`$ is restricted to $`Sl(2,)`$ orbits, which can be parameterized as

$$\left(\begin{array}{c}m^i\\ n^i\end{array}\right)=\left(\begin{array}{ccccc}m& j& m^3& m^4& \mathrm{}\\ 0& n& n^3& n^4& \mathrm{}\end{array}\right)$$
(10)
with $`m,n>0`$ and $`0j<n`$. The factor $`n`$ in (9) arises from summing over $`j=0,\mathrm{},n1`$. Clearly, this factor would not be accessible from a Nambu-Goto description of the string.

## Automorphic forms and theta lift.

Finally, the one-loop result (8) can be encapsulated into a manifestly T-duality invariant result, using Eisenstein series of the T-duality group . A particularly convenient representation is in terms of the vector representation,222More precisely, the one-loop amplitude is equal to the *residue* of the Eisenstein series at the pole at $`s=d/21`$. We thank D. Kazhdan for pointing this out to us.

$$f_{1\text{-}\mathrm{loop}}=2\frac{\mathrm{\Gamma }(d/21)}{\pi ^{d/22}}_{𝐕;s=d/21}^{SO(d,d,)},$$
(11)
where the divergence is regulated by analytic continuation to the complex $`s`$-plane, as in standard zeta function regularisation. This identification is in particular supported by the identity

$$\left[\mathrm{\Delta }_{SO(d,d)}2\mathrm{\Delta }_{Sl(2)}+\frac{d(d2)}{4}\right]Z_{d,d}=0$$
(12)
satisfied by the BPS string partition function: after integrating by parts, this implies that the one-loop contribution is an eigenmode of the invariant laplacian on $`SO(d,d,)/SO(d)\times SO(d)`$ with eigenvalue $`d(d2)/4`$, as is the case of the r.h.s. in (11). In fact, $`Z_{d,d}`$ and $`f_{1\text{-}\mathrm{loop}}`$ are eigenmodes of all invariant differential operators on $`Sl(2)/U(1)\times [SO(d,d,)/SO(d)\times SO(d)]`$.

For higher point functions, the structure of the one-loop amplitude remains essentially as in (2), except for the insertion of a modular form $`\mathrm{\Phi }(\tau ,\overline{\tau })`$ incorporating the effect of the oscillators and vertex insertions. The integrated amplitude is still T-duality invariant. From the mathematical point of view, this provides a “theta” lift of $`Sl(2,)`$ modular forms to automorphic forms on $`SO(d,d,)/SO(d)\times SO(d)`$,

$$\mathrm{\Phi }_{(Sl(2,))}\frac{d\tau d\overline{\tau }}{\tau _2^2}Z_{d,d}(\tau ;g,B)\mathrm{\Phi }(\tau ,\overline{\tau }),$$
(13)
where the “correspondence” $`Z_{d,d}`$ of (3) is invariant under $`Sl(2,)\times SO(d,d,)`$.

## The exact $`R^4`$ couplings.

Our goal in this paper is to generalize these considerations to the eleven-dimensional membrane, and derive the exact non-perturbative $`R^4`$ couplings for M-theory compactified on a torus $`𝕋^{d+1}`$. Using arguments from supersymmetry and U-duality, it was indeed shown in  that the complete non-perturbative $`R^4`$ coupling could be written in terms of Eisenstein series of the U-duality group $`E_{d+1(d+1)}`$

$$f_{R^4}=_{\mathrm{𝐬𝐭𝐫𝐢𝐧𝐠};s=3/2}^{E_{d+1(d+1)}()}+_{\mathrm{𝐦𝐞𝐦𝐛𝐫𝐚𝐧𝐞};s=1}^{E_{d+1(d+1)}()}.$$
(14)
The Eisenstein series appearing in the r.h.s.333The two terms correspond to different kinematic structures $`(t_8t_8\pm ϵ_8ϵ_8)R^4`$, and become equal for $`d>2`$ . We work in units of Planck length, so that $`V_{d+1}/l_M^9=1`$. are eigenmodes of the U-duality invariant laplacian , as required by supersymmetry . The tree-level, one-loop and D-instanton terms in (1) arise upon expanding the Eisenstein series at weak coupling. For our present purposes, it is however more appropriate to consider the expansion in the limit of large volume, which commutes with the eleven-dimensional Lorentz group. Using the techniques in , we obtain

$`f_{R^4}`$ $`=`$ $`{\displaystyle \frac{\pi ^2l_M^6}{3}}+{\displaystyle \underset{m^i^{d+1}}{}}{\displaystyle \frac{l_M^9}{[(m^i)^2]^{3/2}}}+\pi {\displaystyle \underset{m^30}{}}{\displaystyle \frac{l_M^9}{\sqrt{(m^3)^2}}}+`$ (15)
$`+\pi l_M^6{\displaystyle \underset{m^30}{}}\left[{\displaystyle \frac{l_M^6}{(m^3)^2}}\right]^{1/2}\mu (m^3)\mathrm{exp}({\displaystyle \frac{2\pi }{l_M^3}}\sqrt{(m^3)^2}+2\pi im^3C_3)\times `$
$`\times \left(1+𝒪\left({\displaystyle \frac{1}{l_M^3}}\right)\right)`$
which reveals a sum of “perturbative terms” and membrane instantons , wrapping subtori $`𝕋^3𝕋^{d+1}`$ with wrapping number $`m^{ijk}:=m^3`$ (similarly, $`C_3`$ denotes the 3-form gauge field $`C_{ijk}`$.) The instanton summation following from the previous computation is the number theoretic function

$$\mu \left(m^{ijk}\right)=\underset{n|m^{ijk}}{}n.$$
(16)
It is therefore uniquely fixed by U-duality invariance.

Although the four-graviton amplitude is known exactly, the derivation we have outlined is very indirect, and tells little about the underlying fundamental degrees of freedom of M-theory. By contrast, a first-principle derivation, would give support to the fundamental nature of the purported degrees of freedom, as well as important practical insights into their quantization. In this paper, we test the proposal of the eleven-dimensional membrane as the elementary excitation of M-theory. In particular, we would like to rederive the summation measure (16) for membrane instantons, together with the perturbative terms in (15).

## The BPS eleven-dimensional membrane.

At this stage, given our lack of understanding of the fundamental degrees of freedom of M-theory, we need an act of faith. In this paper, we will contend that at least for the purposes of deriving this BPS amplitude,

* *the eleven-dimensional membrane provides the relevant degrees of freedom*. The membrane degrees of freedom are certainly needed, since the large volume expansion of the second term (and the first term for $`d+1>3`$) in (14) exhibit a sum over membrane instantons. For $`d+16`$, there are also 5-brane instantons, and therefore our computation will certainly not give the complete result there. Finally, the first term (for $`d+1<3`$) was reproduced in  from a supergravity computation, and the second term for $`d=1`$ in , but in both cases the divergence had to be fixed by hand. One may hope that a hypothetical modular invariance of the membrane might render the amplitude manifestly finite;
* *the only topology contributing is the torus $`𝕋^3`$*. This assumption is based on the fact that the only membrane instantons appearing in the expansion (15) are subtori $`𝕋^3𝕋^d`$. In particular, the amplitude should have $`Sl(3,)`$ modular invariance on the membrane world-volume;
* *all quantum fluctuations cancel, leaving only the contribution from the zero-modes*. This is in analogy with the string theory computation.

Points (ii) and (iii) are supported by a light-cone treatment of the four-graviton amplitude using the membrane vertex operators of . In a hamiltonian formalism the $`𝕋^3=S^1\times 𝕋^2`$ topology corresponds to a one-loop closed supermembrane amplitude given by

$$𝒜_4=STr\left(V^1\mathrm{\Delta }V^2\mathrm{\Delta }V^3\mathrm{\Delta }V^4\mathrm{\Delta }\right).$$
(17)
Here the $`V^i`$ denote the graviton vertex operators separated by the propagator $`\mathrm{\Delta }=_0^{\mathrm{}}𝑑t\mathrm{exp}[tH]`$ and the supertrace $`STr`$ is over the Hilbert space of $`H`$. As we are dealing with a compactified theory the membrane spectrum becomes discrete in a semiclassical quantization of the non-zero winding sector . By expanding around the classical winding configurations the hamiltonian splits into $`H=H_{\mathrm{class}}+H_0+H_{\mathrm{int}}`$: the bosonic zero mode piece $`H_{\mathrm{class}}`$, a superharmonic oscillator of the quantum fluctuations $`H_0`$ with masses given by the windings, along with an interaction term $`H_{\mathrm{int}}`$. Therefore the Hilbert space is spanned by the discrete and continuous bosonic zero modes $`|x^i`$, the fermionic zero modes $`|𝒩`$ comprising the $`\mathrm{𝟒𝟒}+\mathrm{𝟖𝟒}`$ bosonic and $`\mathrm{𝟏𝟐𝟖}`$ fermionic transverse states of the massless $`D=11`$ supermultiplet, along with the discrete eigenstates $`m`$ of $`H_0+H_{\mathrm{int}}`$. As the fermion zero modes $`\theta _0`$ do not appear in the hamiltonian and sixteen insertions of $`\theta _0`$ in the trace over $`|𝒩`$ are needed for a non-vanishing result, only the terms in $`V^i`$ of highest fermionic degree (being four) enter the amplitude. The trace in (17) then factorizes as

$`𝒜_4`$ $`=`$ $`{\displaystyle _0^{\mathrm{}}}dt{\displaystyle }d^{11}xx|e^{tH_{\mathrm{class}}}|x\times {\displaystyle \underset{𝒩}{}}𝒩|()^FV^1|_{\theta _0^4}V^2|_{\theta _0^4}V^3|_{\theta _0^4}V^4|_{\theta _0^4}|𝒩\times `$ (18)
$`\times {\displaystyle \underset{m}{}}m()^Fe^{t(H_0+H_{\mathrm{int}})}m.`$
The trace over the fermionic zero modes yields the appropriate tensor structure of the $`R^4`$ term

$`STr\left(V^1|_{\theta _0^4}V^2|_{\theta _0^4}V^3|_{\theta _0^4}V^4|_{\theta _0^4}\right)_{|𝒩}`$ $`=`$ $`\epsilon ^{\alpha _1\mathrm{}\alpha _{16}}\mathrm{\Gamma }_{\alpha _1\alpha _2}^{j_1j_2}\mathrm{}\mathrm{\Gamma }_{\alpha _{15}\alpha _{16}}^{j_{15}j_{16}}R_{j_1j_2j_3j_4}\mathrm{}R_{j_{13}j_{14}j_{15}j_{16}}`$ (19)
$`=`$ $`𝒞^{pqrs}𝒞_{pq}{}_{}{}^{tu}𝒞_{rt}^{}{}_{}{}^{vw}𝒞_{suvw}^{}`$
$`\mathrm{\hspace{0.17em}4}𝒞^{pqrs}𝒞_p{}_{r}{}^{t}{}_{}{}^{u}𝒞_{t}^{}{}_{q}{}^{v}{}_{}{}^{w}𝒞_{uvsw}^{}+\text{Ricci}\text{-}\text{terms},`$
where $`\mathrm{\Gamma }_{\alpha _1\alpha _2}^j`$ denote the transverse $`SO(9)`$ Dirac matrices and $`𝒞^{pqrs}`$ ($`p,q,\mathrm{}=0,\mathrm{}10`$) is the covariant Weyl tensor.444 This $`R^4`$ coupling based on $`SO(9)`$ Dirac matrices is indeed equal to the $`SO(8)`$ based $`t_8t_8R^4`$ coupling  in the Weyl sector, they differ however by $`R_{pq}`$ and $`R`$ terms, a fact also noted in . Due to supersymmetry and the discreteness of the spectrum of $`H_0+H_{\text{int}}`$, the (non zero-mode) last term in (18) is nothing but the Witten index associated with this Hamiltonian. Closer inspection reveals that this index equals one for all configurations with non-degenerate winding. We are thus left to compute the *classical* partition function $`𝒜_{\mathrm{BPS}}`$, to which we now turn.

## Polyakov action of the membrane.

In order to keep the modular symmetry $`Sl(3,)`$ of the toroidal membrane manifest, let us use the Polyakov action of the euclidean membrane as our starting point:

$$S=d^3\sigma \sqrt{\gamma }\left(g_{ij}\gamma ^{ab}_aX^i_bX^j1\right)+iϵ^{abc}C_{ijk}_aX^i_bX^j_cX^k.$$
(20)
Note that the cosmological constant term $`\sqrt{\gamma }`$ is necessary in order to ensure the classical equivalence with the Nambu-Goto action on-shell, and therefore reproduce the correct weight for the membrane instantons. In particular, the determinant of the metric does not decouple as in the string theory case. In line with our discussion above, we restrict ourselves to classical embeddings $`X^i=m_a^i\sigma ^a`$ and constant worldvolume metrics $`\gamma _{ab}=u\widehat{\gamma }_{ab}`$ where $`\widehat{\gamma }_{ab}`$ is the unit volume metric. We therefore propose to consider the integral

$$𝒜_{\mathrm{BPS}}=_0^{\mathrm{}}\frac{du}{u}u^\alpha _{_{Sl(3,)}}𝑑\widehat{\gamma }\underset{m_a^i^{3d+3}}{}e^{\pi u(m_a^ig_{ij}\widehat{\gamma }^{ab}m_b^j)+\pi u^3+2\pi iC_{ijk}ϵ^{abc}m_a^im_b^jm_c^k}$$
(21)
as a candidate to reproduce the exact $`R^4`$ couplings in (14) — we shall refer to it as the *covariant* amplitude. Here $`_{Sl(3,)}`$ denotes the fundamental domain of $`Sl(3,)\backslash Sl(3,)/SO(3)`$, and the integration measure $`d\widehat{\gamma }`$ is the $`Sl(3,)`$ invariant measure.555$`Sl(3,)`$ modular forms have been constructed in , with a different motivation. A mathematical introduction to $`Sl(n,)`$ modular forms can be found in . The exponent $`\alpha `$ is left unspecified at this stage, and will be fixed to $`\alpha =6`$ later by comparing with the light-cone amplitude. The restriction to the fundamental domain makes the integral over $`\widehat{\gamma }`$ manifestly finite, but, in sharp contrast to the string theory case, the integral over the volume factor $`u`$ remains potentially divergent and requires regularization. A natural prescription is to rotate the integration domain of $`u`$ to the semi-infinite line $`ui^+`$ in the complex plane. As in the integral representation of the Airy function $`\text{A}i(x)=_0^{\mathrm{}}𝑑u\mathrm{cos}(ux+u^3/3)`$, the oscillations render the $`u\mathrm{}`$ integration finite, and yield the correct Nambu-Goto euclidean saddle points. The behavior in the small volume limit $`u0`$ is however not controlled, and is at the source of the difficulties in membrane theory.

For explicit computations, it is useful to parameterize the metric through a 3-bein $`\nu _c^a`$ such that $`\widehat{\gamma }^{ab}=\nu _c^a\nu _c^b`$,

$$\nu _b^a=\frac{1}{\lambda ^{1/3}}\left(\begin{array}{ccc}\frac{1}{\sqrt{\tau _2}}& & \\ & \sqrt{\tau _2}& \\ & & \lambda \end{array}\right)\left(\begin{array}{ccc}1& \tau _1& \omega _1\\ & 1& \omega _2\\ & & 1\end{array}\right),X^i=m^i\sigma _1+n^i\sigma _2+p^i\sigma _3.$$
(22)
For such a configuration, the classical action reads

$$S=\frac{\pi u}{\lambda ^{2/3}}\left[\frac{|m^i+\tau n^i+\omega p^i|^2}{\tau _2}+\lambda ^2\left(p^i\right)^2\right]\pi u^3+2\pi iC_{ijk}m^in^jp^k,$$
(23)
where $`\tau =\tau _1+i\tau _2`$ and $`\omega =\omega _1+i\tau _2\omega _2`$, and is integrated against the summation measure

$$𝒜_{\mathrm{BPS}}=_0^{\mathrm{}}\frac{du}{u}u^\alpha _{_{Sl(3,)}}\frac{d\lambda d\tau _2d\tau _1d\omega _1d\omega _2}{\lambda ^3\tau _2^2}\underset{(m^i,n^i,p^i)^{3d+3}}{}e^S.$$
(24)
The precise definition of the fundamental domain $`_{Sl(3,)}`$ will be given below. At this stage we simply note that the Borel subgroup of $`Sl(3,)`$ allows to restrict the integration of $`(\tau _1,\omega _1,\omega _2)`$ to a period $`[1/2,1/2]`$, while the integration on the volume factor $`u`$ is not restricted by modular invariance.

## From Polyakov to light-cone.

In analogy with the string case, let us Poisson resum the windings $`m^i`$ into momenta $`m_i`$. Changing variables from $`(u,\tau _2,\lambda )`$ to $`(x,y,t)`$ with

$$u=(xyt)^{1/3},\tau _2=x^{1/2}t,\lambda =\frac{(yt)^{1/2}}{x^{1/4}}$$
(25)
the action becomes

$`\stackrel{~}{S}`$ $`=`$ $`\pi t\left[\left(m_i+C_{ijk}n^jp^k\right)^2+x\left(n^i+\omega _2p^i\right)^2+y\left(p^i\right)^2xy\right]+`$ (26)
$`+\mathrm{\hspace{0.17em}2}\pi im_i\left(\tau _1n^i+\omega _1p^i\right),`$
to be integrated against the measure

$$_{_{Sl(3,)}\times ^+}\frac{(xyt)^{\alpha /3}dxdydtd\tau _1d\omega _1d\omega _2}{xy^2t^3}\underset{m_i,n^i,p^i}{}e^{\stackrel{~}{S}}.$$
(27)
Now the integral over $`(\omega _2,x,y)`$ is dominated by a saddle point at

$$\omega _2=\frac{n^ip^i}{(p^i)^2},x=\left(p^i\right)^2,y=\left(n^i\frac{n^jp^j}{(p^j)^2}p^i\right)^2.$$
(28)
The saddle point action reads

$$\stackrel{~}{S}=\pi t\left[\left(m_i+C_{ijk}n^jp^k\right)^2+\left(n^i\right)^2\left(p^i\right)^2\left(n^ip^i\right)^2\right]+2\pi im_i\left(\tau _1n^i+\omega _1p^i\right),$$
(29)
and dominates the amplitude

$$𝒜_{\mathrm{BPS}}=𝑑t𝑑\tau _1𝑑\omega _1t^{(d8)/2+\alpha /3}\underset{m_i,m^{ij}}{}\left[(m^{ij})^2\right]^{(\alpha 6)/3}e^{\stackrel{~}{S}},$$
(30)
where $`m^{ij}=n^ip^jn^jp^i=\{X^i,X^j\}`$, the Poisson bracket on the $`𝕋^2`$ membrane worldvolume. The real part of eq. (29) is the membrane light-cone hamiltonian

$$H=\frac{1}{P_+}\left[(P_i)^2+\{X^i,X^j\}^2\right],$$
(31)
where $`1/P_+=t`$ is the Schwinger proper time. In particular, we recognize the U-duality invariant mass spectrum

$$^2=\left(m_i+C_{ijk}m^{jk}\right)^2+\left(m^{ij}\right)^2.$$
(32)
The parameters $`\tau _1`$ and $`\omega _1`$ are Lagrange multipliers enforcing the constraints

$$m_in^i=0,m_ip^i=0m_im^{ij}=0$$
(33)
which are precisely the BPS constraints. Finally, we fix the parameter $`\alpha `$ by matching the measure factor to the one-loop supergravity amplitude . The latter receives contributions from four vertex insertions and an integral over $`(10d)`$ continuous momenta, i.e. $`\frac{dt}{t}t^4t^{(d10)/2}`$, yielding $`\alpha =6`$. Happily, the factor $`[(m^{ij})]^{(\alpha 6)/3}`$ in (30) drops at the same time. Note that this derivation of the standard light-cone membrane hamiltonian from the Polyakov action is essentially a zero-mode version of the original argument in .

## Fundamental domain of $`Sl(3,)`$.

In order to further analyze the proposed one-loop membrane amplitude (24), it is necessary to specify the fundamental domain of integration. The latter can be determined as follows. The modular group acts by right multiplication of the 3-bein (22) by $`Sl(3,)`$ matrices. It is generated by its Borel subgroup, namely the discrete Heisenberg group

$$\{\begin{array}{cc}\tau _1\tau _1+a\hfill & \\ \omega _1\omega _1+b+c\tau _1\hfill & \\ \omega _2\omega _2+c\hfill & \end{array},(a,b,c)^3$$
(34)
and its Weyl group, namely the group of permutations of the columns of the 3-bein. Using the Weyl group, we may thus choose a fundamental Weyl chamber, i.e. to order the squared norms of the three columns of (22) as

$$\frac{1}{\tau _2}<\frac{\tau _1^2+\tau _2^2}{\tau _2}<\frac{\omega _1^2+\tau _2^2\omega _2^2}{\tau _2}+\lambda ^2$$
(35)
and restrict the Borel moduli to

$$\frac{1}{2}<(\tau _1,\omega _1,\omega _2)<\frac{1}{2}.$$
(36)
In other words, $`\tau =\tau _1+i\tau _2`$ is restricted to the standard fundamental domain of $`Sl(2,)`$, $`\omega _1+\tau \omega _2`$ is restricted to the torus of complex modulus $`\tau `$, while the extra modulus $`\lambda `$ takes values on the half-line

$$\lambda ^2\tau _2>\tau _1^2+\tau _2^2(1\omega _2)^2\omega _1^2.$$
(37)
The volume modulus $`u`$, on the other hand, should be integrated from 0 to $`\mathrm{}`$.

## Membrane instantons.

Let us now consider the large volume expansion of (24), or equivalently the Fourier expansion in the periodic modulus $`C_{ijk}`$. In analogy with the one-loop string amplitude, one should decompose the summation over the integers $`(m^i,n^i,p^i)`$ into their orbits under $`Sl(3,)`$, and unfold the integration region accordingly. Orbits of $`Sl(3,)`$ are classified by the rank of the matrix $`(m^i,n^i,p^i)`$, hence we have now four different contributions. The simplest case to consider is the non-degenerate orbit of rank 3: the fundamental domain can be unfolded to the full “upper half plane”

$$(\tau _2,\lambda ,u)^+,(\tau _1,\omega _1,\omega _2).$$
(38)
The integral over the Borel parameters $`(\tau _1,\omega _1,\omega _2)`$ of (23) and (24) is exactly gaussian, and gives a classical action

$`\mathrm{}(S)`$ $`=`$ $`{\displaystyle \frac{\pi u}{\lambda ^{2/3}\tau _2(m^{ij})^2\left(p^i\right)^2}}\{\left(m^{ijk}\right)^2\left(p^i\right)^2+\tau _2\lambda ^2\left(m^{ij}\right)^2\left[(p^i)^2\right]^2+`$ (39)
$`+\tau _2^2\left[(m^{ij})^2\right]^2\}\pi u^3`$
supplemented by the same coupling $`2\pi iC_{ijk}m^in^jp^k`$ to the background 3-form. Here $`m^{ij}=n^{[i}p^{j]}`$ and $`m^{ijk}=m^{[i}n^jp^{k]}`$. In terms of the $`(x,y,t)`$ variables this is

$$S=\pi \left\{\frac{(m^{ijk})^2}{t(m^{ij})^2}+\frac{(m^{ij})^2}{(p^i)^2}xt+\left(p^i\right)^2yt\right\}\pi xyt+2\pi iC_{ijk}m^{ijk}.$$
(40)
Finally, we can integrate over $`(x,y,t)`$, and obtain in the saddle point approximation

$$A_{\mathrm{nondeg}}=\underset{m^{ijk}}{}\mu ^{}\left(m^{ijk}\right)\frac{e^{2\pi \sqrt{(m^{ijk})^2}+2\pi iC_{ijk}m^{ijk}}}{\sqrt{(m^{ijk})^2}}.$$
(41)
The summation measure $`m^{ijk}`$ can be computed by noting that the sum has to go over $`Sl(3,)`$ orbits of the integer matrix $`(m^i,n^i,p^i)`$: a representative can be chosen as

$$\left(\begin{array}{c}m^i\\ n^i\\ p^i\end{array}\right)=\left(\begin{array}{cccccc}m& j& k& m^4& m^5& \mathrm{}\\ 0& n& l& n^4& n^5& \mathrm{}\\ 0& 0& p& p^4& p^5& \mathrm{}\end{array}\right)$$
(42)
with $`m,n,p>0`$ and $`0j<n,0k,l<p`$. Hence the summation measure is given by the number-theoretic function

$$\mu ^{}\left(m^{ijk}\right)=\underset{n|m^{ijk}}{}\underset{p|(m^{ijk}/n)}{}np^2.$$
(43)
Importantly, this geometric summation measure disagrees with the summation measure predicted by U-duality in (24). In addition to these instanton contributions, the amplitude also contains perturbative terms corresponding to the degenerate orbits of rank 0,1,2, which should reproduce the first three terms in (15), respectively. In view of the discrepancy already observed at the level of the non-degenerate orbit, we will refrain from discussing those in detail. We however observe that, had our semi-classical proposal succeeded in reproducing the membrane instantons, it would also have produced the correct perturbative terms, since those are related by U-duality.

## Intermezzo.

Before proceeding, some comments are in order.

* the covariant amplitude (21) reproduces both the correct BPS mass spectrum (32) and classical saddle point values (41) for membrane instantons. This comes as no surprise, given the equivalence between the Polyakov, light-cone and Nambu-Goto formulations of the membrane at the classical level.
* one advantage of the covariant amplitude is its manifest modular invariance under $`Sl(3,)`$, which is hidden in the standard light-cone approach. One should therefore restrict to the fundamental domain of $`Sl(3,)`$ in order to avoid multiple countings; in contrast to the string theory case, modular invariance however does not imply the finiteness of membrane theory yet, since the integration on the volume $`u`$ remains unbounded.
* while the classical saddle points are correctly reproduced, the covariant amplitude predicts the wrong instanton summation measure; in particular, it is not U-duality invariant — in fact, this is easily seen in the $`d=2`$ case with $`C=0`$. Although the classical Bianchi identities and equations of motion following from the Polyakov action for the membrane do fall into U-duality multiplets , this is not sufficient to ensure the invariance of the classical partition function. In particular, U-duality requires the exchange of momentum $`P_i`$ and the composite winding number $`\{X^i,X^j\}`$, under which the measure is not manifestly invariant.
* in order to generate the proper $`R^4`$ amplitude, the membrane partition function should be an eigenmode of a combination of the $`Sl(3,)/SO(3)`$ and $`E_{d+1(d+1)}`$ laplacian. This is not the case, even though the values of the saddle points are indeed eigenmodes of the $`E_{d+1(d+1)}`$ laplacian.
* the discrepancy between the geometric summation measure (43) and the one predicted by U-duality in (24) implies that the contribution of the non-zero modes to the covariant amplitude is not unity as a naive extrapolation from the string case might have suggested, but instead should be given by the ratio $`\mu (N)/\mu ^{}(N)`$ where $`N=m^{ijk}`$. This is an interesting prediction about the interacting world-volume theory of the membrane that would be interesting to verify.

Keeping with our act of faith, we now propose that the shortcomings of our proposal (21) can be repaired by enforcing modular invariance and U-duality explicitly. More precisely, our task is *to construct a partition function $`\mathrm{\Xi }_{d+1}(\gamma _{ab};g_{ij},C_{ijk})`$ for mappings of $`𝕋^3`$ into $`𝕋^{d+1}`$, invariant under $`Sl(3,)\times E_{d+1(d+1)}()`$*, such that, upon integration on the fundamental domain of $`Sl(3,)`$,666Here we include the integration on the volume factor $`det(\gamma )`$ in $`\mathrm{\Xi }_{d+1}`$. we reproduce the non-perturbative $`R^4`$ couplings:

$$_{(Sl(3,))}\mathrm{\Xi }_{d+1}=_{\mathrm{𝐬𝐭𝐫𝐢𝐧𝐠};s=3/2}^{E_{d+1(d+1)}()}+_{\mathrm{𝐦𝐞𝐦𝐛𝐫𝐚𝐧𝐞};s=1}^{E_{d+1(d+1)}()}.$$
(44)
More generally, integrating $`\mathrm{\Xi }_{d+1}`$ against an $`Sl(3,)`$ automorphic form should produce a lift to a $`E_{d+1(d+1)}()`$ modular form. This is a standard problem in the theory of automorphic forms, that goes under the name of “theta” correspondence.

## Theta correspondences.

In order to gain further insight into this problem, it is useful to return to the one-loop string amplitude (2) once again. The invariance under $`Sl(2,)\times SO(d,d,)`$ of the partition function $`Z_{d,d}(\tau ;g,B)`$ of the string zero-modes is a rather subtle phenomenon: only the modular invariance $`Sl(2,)`$ is manifest in the lagrangian picture (3), while the $`SO(d,d,)`$ symmetry becomes apparent in the hamiltonian picture (6), at the cost of losing the manifest modular symmetry. Indeed, the partition function (3) is a special case of a theta series

$$\theta _{Sp(g)}(\mathrm{\Omega }_{AB})=\underset{m^A^g}{}e^{\pi m^A\mathrm{\Omega }_{AB}m^B}$$
(45)
invariant under the symplectic group $`Sp(g,)`$ acting by fractional linear transformations on the period matrix $`\mathrm{\Omega }Sp(g,)/U(g)`$, through Poisson resummation on the integers $`m^A`$. In fact,

$$Z_{d,d}(\tau ;g,B)=\theta _{Sp(2d)}(\tau (g+b)),$$
(46)
where the tensor product provides an embedding $`Sl(2)\times SO(d,d)Sp(2d)`$. The pair $`Sl(2)\times SO(d,d)`$, such that the centralizer of either group is equal to the other, is known as a dual pair . In fact, there exists a discrete set of elements in $`Sp(2d)`$ preserving the decomposition $`Sl(2)\times SO(d,d)Sp(2d)`$, so that the partition function $`Z_{d,d}`$ is actually invariant under a bigger group mixing target-space and world-sheet . If our proposal holds, we would therefore also have a symmetry mixing target-space and world-volume in membrane theory.

Our task is therefore to find a generalization of $`\theta _{Sp(g)}`$, such that the restriction to an $`Sl(3,)\times E_{d+1(d+1)}()`$ subgroup will provide our $`\mathrm{\Xi }_{d+1}`$. Remarkably, such problems are the subject of much interest in the theory of automorphic forms, and many results are available in the mathematical literature. The relevant results for us are the following:

* A classification of dual pairs $`G_1\times G_2G`$ exists . The part of it relevant for our purposes is reproduced in table 1. For the problem at hand, we are interested in the following pairs,

$`^+\times Sl(3)\times Sl(2)`$ $``$ $`Sl(5),`$
$`^+\times Sl(3)\times Sl(2)\times Sl(3)`$ $``$ $`Sl(3)^3E_{6(6)}.`$
$`^+\times Sl(3)\times Sl(5)`$ $``$ $`Sl(8),`$
$`^+\times Sl(3)\times SO(5,5)`$ $``$ $`Sl(4)\times SO(5,5)E_{8(8)},`$
$`Sl(3)\times E_{6(6)}`$ $``$ $`E_{8(8)}`$ (47)
which allow to lift $`Sl(3,)`$ modular forms to $`E_{d+1(d+1)}()`$ for $`d=1,2,3,4,5`$, respectively. We have included the $`d=5`$ example for completeness, although for M-theory on $`𝕋^6`$, due to M5-brane instantons, one should not expect that the membrane provide all the relevant degrees of freedom. This last example is nevertheless quite attractive, since it contains all the other ones, and involves no volume factor at all: the integral becomes manifestly finite when restricting to the fundamental domain of $`Sl(3,)`$. The other examples listed in table 1 might have some relevance in other M-theoretical contexts.
* For any simply-laced split group $`G`$  (and for some non simply-laced groups, see e.g. ), there exists an essentially unique minimal unitary representation $`\pi `$ of $`G`$, on a Hilbert space $`H`$ of functions of $`n`$ variables . This is analogous to the Weyl representation of the symplectic group $`Sp(g)`$ on functions of $`g`$ variables , where the generators of a maximal Heisenberg subgroup are represented by the translations and multiplications by characters of the Schrödinger representation, and the action of the Heisenberg subgroup is extended to that of the full group $`G`$ by a Weyl reflection represented by the Fourier transform with respect to the $`n`$ variables. These minimal representations, and in particular the 29-dimensional representation of $`E_{8(8)}`$ and the associated modular forms, remain to be constructed explicitly. A first step in this direction was taken in  with the explicit construction of a quasi-conformal (non-unitary) representation of $`E_{8(8)}`$ on $`^{57}`$. The dimension of the minimal representation was first derived in , and is shown in table 1 for various groups of interest. In contrast to the symplectic case, the representation of the Heisenberg subalgebra requires some cubic characters, and the closure of the algebra implies some important identities for their Fourier transform.
* There exists a vector $`fH`$ invariant under the maximal compact subgroup $`KG`$; and a distribution $`\delta `$ in $`H^{}`$ invariant under a discrete subgroup $`G()`$ generated by the integer translations and Weyl reflections. From these two objects one can construct an automorphic form $`\theta `$ on $`G()\backslash G/K`$, given by the matrix element $`\theta (\mathrm{\Omega })=\delta ,\pi (\mathrm{\Omega })f`$. This generalizes the theta function for the symplectic case, where $`f(x)=e^{\pi (x^A)^2}`$, and $`\delta (x)=_{m^g}\delta (xm)`$. In general, one expects $`\delta `$ to involve a sum on a $`n`$-dimensional lattice, where $`n`$ is the dimension in which the minimal representation is realized. The invariance of $`\theta `$ under Weyl reflection requires a Poisson resummation, which follows from the Fourier transform identity for the non-gaussian character found in (ii).

Unfortunately, although theta correspondences are known to exist, they remain elusive objects. It would therefore be very desirable to construct explicit formulas analogous to (3). From the mathematical point of view, this would provide a wealth of new Poisson resummation formula for non-gaussian characters777In fact cubic, since the membrane couples to the $`C`$-field through a cubic coupling, while the Polyakov action becomes also cubic when the volume $`u`$ is eliminated. generalizing the ones found in , and may have interesting applications in number theory. For our purposes, it would be very interesting to compare them to our proposal in (24) in order to extract the quantum measure for the membrane theory. An exciting possibility is that the $`Sl(3)\times E_{6(6)}E_{8(8)}`$ exceptional theta correspondence in (47) would reproduce the full $`R^4`$ couplings: in addition to curing the small volume divergence of the membrane, it would also imply that BPS membranes contain five-branes. This we believe would be an important hint that membranes may indeed be the fundamental degrees of freedom of M-theory.

###### Acknowledgments.

The authors are grateful to P. Etingov, E. Kiritsis, N. Obers, K. Peeters, A. Polishchuk, J. Russo, P. Vanhove and N. Wyllard for useful discussions, to R. Borcherds and E. Rabinovici for directing them to the right door, and especially to D. Kazhdan for enlightening discussions and useful guidance in the math literature. B.P. and A.W. express gratitude to AEI for hospitality during the beginning of this project. Research supported in part by NSF grant PHY99-73935, the David and Lucile Packard foundation, and the European network HPRN-CT-2000-00131.


text:
# The virtual Poincaré polynomials of homogeneous spaces

## Introduction and statement of the results

One associates to every complex algebraic variety $`X`$ (possibly singular, or reducible) its virtual Poincaré polynomial $`P_X(t)`$, uniquely determined by the following properties:

(i) (additivity) $`P_X(t)=P_Y(t)+P_{XY}(t)`$ for every closed subvariety $`Y`$.

(ii) If $`X`$ is smooth and complete, then $`P_X(t)=_mdimH^m(X)t^m`$ is the usual Poincaré polynomial.

Then $`P_X(t)=P_Y(t)P_F(t)`$ for every fibration $`FXY`$ which is locally trivial for the Zariski topology.

Specifically, we have

$$P_X(t)=\underset{j,m}{}(1)^{j+m}dim\mathrm{gr}_W^m(H_c^j(X))t^m,$$

where $`gr_W^m(H_c^j(X))`$ denotes the $`m`$-th subquotient of the weight filtration on the $`j`$-th cohomology group of $`X`$ with compact supports and complex coefficients (see  4.5 and ). More generally, the mixed Hodge structure on $`H_c^{}(X)`$ yields a polynomial $`E_X(s,t)`$ in two variables, satisfying the same properties of additivity and multiplicativity, and such that $`P_X(t)=E_X(t,t)`$ (see  and  §3 for more details).

In this paper, we investigate the $`E`$-polynomials of homogeneous spaces under linear algebraic groups, and of their regular embeddings in the sense of . It turns out that these polynomials behave much better than the usual Poincaré polynomials; the latter are generally unknown for homogeneous spaces. To state our main results, we introduce the following notation.

Let $`G`$ be a complex connected linear algebraic group and let $`H`$ be a closed subgroup. Let $`r_H`$ (resp. $`u_H`$) be the rank (resp. the dimension of a maximal unipotent subgroup) of $`H`$, and define similarly $`r_G`$, $`u_G`$. Choose maximal reductive subgroups $`H^{\mathrm{red}}H`$, $`G^{\mathrm{red}}G`$ such that $`H^{\mathrm{red}}G^{\mathrm{red}}`$, and maximal tori $`T_HH^{\mathrm{red}}`$, $`T_G=TG^{\mathrm{red}}`$ such that $`T_HT`$; let $`W_H`$, $`W_G=W`$ be the corresponding Weyl groups. The Lie algebras of $`G`$, $`H,\mathrm{}`$ will be denoted $`𝔤`$, $`𝔥,\mathrm{}`$

The group $`W_H`$ acts on the Lie algebra $`𝔱_H`$ and on its ring of polynomial functions, $`[𝔱_H]=R(T_H)`$. The invariant subring $`[𝔱_H]^{W_H}=R(H)`$ is a finitely generated, graded algebra over $``$, isomorphic to $`[𝔥^{\mathrm{red}}]^{H^{\mathrm{red}}}`$. Its Hilbert series $`_{m=0}^{\mathrm{}}dimR(H)_mt^m`$ is the expansion of a rational function of $`t`$, denoted $`F_H(t)`$.

Since $`G`$ is connected, $`R(G)`$ is a polynomial ring, and there exists a graded subspace $``$ of $`R(T)`$ such that the multiplication map induces an isomorphism of $`R(G)`$ onto $`R(T)`$. Moreover, $``$ is isomorphic to the cohomology space of the flag variety $`(G)`$, with complex coefficients. This isomorphism doubles degrees, and the Hodge structure on $`H^{}((G))`$ is pure. Therefore, the Poincaré polynomial $`P_{(G)}`$ is even, and we have

$$E_{(G)}(s,t)=P_{(G)}((st)^{1/2})\text{ and }\frac{1}{(1t)^{r_G}}=F_T(t)=F_G(t)P_{(G)}(t^{1/2}).$$

Moreover, we have

$$P_{(G)}(q^{1/2})=|(G)(𝔽_q)|$$

for every finite field $`𝔽_q`$ with $`q`$ elements. Here $`|(G)(𝔽_q)|`$ denotes the number of points over $`𝔽_q`$ of $`(G)`$ regarded as the flag variety of the split $``$-form of $`G^{\mathrm{red}}`$.

Our first main result generalizes this to an arbitrary homogeneous space $`G/H`$, with some twists. Notice that both $`G`$ and its closed subgroup $`H`$ are defined over a finitely generated subring of $``$, so that $`(G/H)(𝔽_q)`$ makes sense for a large power $`q`$ of a large prime number.

###### Theorem 1.

(a) With preceding notation, the virtual Poincaré polynomial $`P_{G/H}`$ is even, and we have

$$E_{G/H}(s,t)=P_{G/H}((st)^{1/2})\text{ and }F_H(t)=F_G(t)t^{dim(G/H)}P_{G/H}(t^{1/2}).$$

Moreover, we have for all large $`q`$:

$$|(G/H)(𝔽_q)|=P_{G/H}(q^{1/2}).$$

(b) There exists a polynomial $`Q_{G/H}`$ with non-negative integer coefficients, such that

$$P_{G/H}(t^{1/2})=t^{u_Gu_H}(t1)^{r_Gr_H}Q_{G/H}(t).$$

Moreover,

$$Q_{G/H}(t)=Q_{G^{\mathrm{red}}/H^{\mathrm{red}}}(t).$$

The degree of $`Q_{G/H}`$ equals $`dim(G)dim(H^0)`$, with leading coefficient $`1`$, and $`Q_{G/H}(1)`$ equals $`\frac{|W_G|}{|W_H|}`$.

(c) If $`H`$ is connected, then

$$Q_{G/H}(t)=\frac{P_{(G)}(t^{1/2})}{P_{(H)}(t^{1/2})}=t^{dim(G)dim(H)}Q_{G/H}(t^1).$$

In particular, $`Q_{G/H}(0)=1`$.

It follows that $`u_Gu_H`$, $`r_Gr_H`$ and $`Q_{G/H}`$ depend only on the complex algebraic variety $`G/H`$ (in fact, $`r_Gr_H`$ is a topological invariant, see  4.3).

As another consequence, the Poincaré polynomial of the flag variety of a semi-simple group is divisible by the Poincaré polynomial of the flag variety of every semi-simple subgroup, and the quotient has non-negative coefficients.

Theorem 1 is proved in Section 1 by arguments of equivariant cohomology ; it would be interesting to deduce it from a deeper motivic result. Notice that (a) can be deduced from the fibration

$$G/HBHBG,$$

where $`BH`$ (resp. $`BG`$) denotes the classifying space of $`H`$ (resp. $`G`$); then the cohomology ring of $`BH`$ is isomorphic to $`R(H)`$ with degrees doubled, so that the Poincaré series of $`BH`$ is $`F_H(t^2)`$. If moreover $`H`$ is connected, then

$$P_{G/H}(t^{1/2})=\frac{P_G(t^{1/2})}{P_H(t^{1/2})}=t^{u_Gu_H}(t1)^{r_Gr_H}\frac{P_{(G)}(t^{1/2})}{P_{(H)}(t^{1/2})},$$

as follows from  Theorem 6.1 (ii); and a similar relation holds for $`|(G/H)(𝔽_q)|`$, by Lang’s theorem.

So the main point of Theorem 1 is (b), especially the non-negativity of coefficients of $`Q_{G/H}`$. We deduce it (together with (a) and (c)) from a geometric construction that may be of independent interest. In loose words, we obtain a locally trivial fibration (for the Zariski topology)

$$SG/HZ$$

where $`S`$ is a torus of dimension $`r_Gr_H`$, and $`Z`$ is an algebraic variety satisfying Poincaré duality and whose cohomology is purely algebraic (see Lemmas 3 and 4 for a precise statement). Thus, $`E_{G/H}(s,t)=(1st)^{r_Gr_H}E_Z(s,t)`$, and $`E_Z(s,t)`$ is the value at $`(st)^{1/2}`$ of the Poincaré polynomial of $`H_c^{}(Z)`$. In the case where $`G`$ and $`H`$ have the same rank, it follows that $`P_{G/H}(t)`$ is the Poincaré polynomial of $`H_c^{}(G/H)`$.

Next we turn to the $`E`$-polynomials of regular embeddings. Recall from  that a regular embedding of $`G/H`$ is a smooth complex algebraic variety $`X`$ endowed with an algebraic action of $`G`$, such that:

(i) $`X`$ contains an open orbit isomorphic to $`G/H`$.

(ii) The complement of this open orbit is a union of smooth irreducible divisors (the boundary divisors), with normal crossings.

(iii) Every orbit closure is a partial intersection of the boundary divisors, and its normal bundle contains an open orbit.

Recall also that those homogeneous spaces under a connected reductive group $`G`$ which admit a complete regular embedding are exactly the spherical homogeneous spaces, i.e., those where a Borel subgroup of $`G`$ acts with an open orbit.

Since every regular embedding $`X`$ contains only finitely many orbits, we have

$$E_X(s,t)=P_X((st)^{1/2})$$

by Theorem 1 and additivity. Therefore, it suffices to consider the virtual Poincaré polynomial $`P_X`$. Our second main result yields a factorization of that polynomial:

###### Theorem 2.

Let $`X`$ be a regular embedding of $`G/H`$, where $`H`$ is connected. Then, for every orbit $`G/H^{}`$ in $`X`$, the polynomial $`Q_{G/H}(t)`$ divides $`Q_{G/H^{}}(t)`$, and the quotient has non-negative integer coefficients.

As a consequence, there exists a polynomial $`R_X(t)`$ with integer coefficients, such that

$$P_X(t^{1/2})=Q_{G/H}(t)R_X(t).$$

If moreover $`X`$ is complete, then the coefficients of $`R_X(t)`$ are non-negative.

The assumption that $`H`$ is connected cannot be suppressed, as shown by an example at the end of Section 2. This section is devoted to the proof of Theorem 2. Again, the main point is the non-negativity of coefficients of $`R_X(t)`$; for this, we show that the equivariant cohomology ring of $`X`$ is a free module of finite rank over a polynomial subring generated by $`R(H)`$ and indeterminates of degree $`2`$. It would be interesting to obtain a topological interpretation of the polynomial $`R_X(t)`$. However, the factorization $`P_X(t^{1/2})=Q_{G/H}(t)R_X(t)`$ does not originate in a fibration with total space $`X`$, as shown by the following simple example.

Consider the complex projective space $`X=^{2m+1}`$ of odd dimension, where the projective special orthogonal group $`G=SO(2m+2)/\{\pm 1\}`$ acts linearly. Then $`X`$ consists of $`2`$ orbits: the quadric $`Q^{2m}`$, and its complement with isotropy group $`HO(2m+1)/\{\pm 1\}SO(2m+1)`$, a connected subgroup; one checks that $`X`$ is a regular completion of $`G/H`$. We have

$$P_{G/H}(t^{1/2})=P_{^{2m+1}}(t^{1/2})P_{Q^{2m}}(t^{1/2})=t^m(t^{m+1}1),$$

so that $`Q_{G/H}(t)=t^m+t^{m1}+\mathrm{}+1`$ and that $`R_X(t)=t^{m+1}+1`$. How to explain the factorization

$$P_{^{2m+1}}(t^{1/2})=t^{2m+1}+t^{2m}+\mathrm{}+1=(t^m+t^{m1}+\mathrm{}+1)(t^{m+1}+1)$$

in topological terms ?

Notice that the complex projective space $`^{2m}`$ of even dimension is a regular completion of the homogeneous space $`SO(2m+1)/O(2m)`$ (where $`O(2m)`$ is not connected) by the quadric $`^{2m1}`$; this yields $`Q_{SO(2m+1)/O(2m)}(t)=1`$.

These are examples of complete symmetric varieties. In fact, the Poincaré polynomials of all such varieties were determined by De Concini and Springer (see ) who deduced the virtual Poincaré polynomials of adjoint symmetric spaces. Their results were the starting point for the present work, as the factorizations of Theorems 1 and 2 can be seen on examples of .

For instance, by Theorem 2, the virtual Poincaré polynomial of any regular embeding $`X`$ of a connected reductive group $`G`$ (viewed as a homogeneous space under the action of $`G\times G`$ by left and right multiplication) is divisible by $`Q_G(t^2)=P_{(G)}(t^2)`$. When $`G`$ is semi-simple adjoint and $`X`$ is its canonical completion, this agrees with the closed formula for $`P_X(t)`$ given in  p. 96.

## 1. Proof of Theorem 1

In what follows, we use  as a general reference for mixed Hodge structure, and  for algebraic groups.

We begin with an easy reduction to the case where both groups $`G`$ and $`H`$ are reductive. Let $`R_u(H)`$ be the unipotent radical of $`H`$. This unipotent group is isomorphic, as an algebraic variety, to some $`^u`$. Since $`H`$ is the semi-direct product of $`R_u(H)`$ with $`H^{\mathrm{red}}`$, we have $`u=u_Hu_{H^{\mathrm{red}}}`$. The quotient map $`GG/H`$ factors through

$$p:G/H^{\mathrm{red}}G/H,$$

a fibration with fiber $`R_u(H)^u`$. Thus, the pullback map $`H^{}(G/H^{\mathrm{red}})H^{}(G/H)`$ is an isomorphism of mixed Hodge structures. By Poincaré duality, it follows that

$$E_{G/H^{\mathrm{red}}}(s,t)=(st)^uE_{G/H}(s,t).$$

We now show that

$$|(G/H^{\mathrm{red}})(𝔽_q)|=q^u|(G/H)(𝔽_q)|$$

for $`q`$ such that $`H^{\mathrm{red}}`$ is defined over $`𝔽_q`$ and that $`H`$ is the semidirect product of $`R_u(H)`$ with $`H^{\mathrm{red}}`$ over $`\overline{𝔽_q}`$. This follows from Grothendieck’s trace formula; as an alternative proof using elementary arguments of Galois descent, we check that

$$\pi :(G/H^{\mathrm{red}})(𝔽_q)(G/H)(𝔽_q)$$

is surjective with all fibers of order $`q^u`$. We denote $`\mathrm{Fr}_q`$ the Frobenius endomorphism of $`G(\overline{𝔽_q})`$, with fixed point subgroup $`G(𝔽_q)`$.

Let $`xG(\overline{𝔽_q})`$ such that $`xH(G/H)(𝔽_q)`$. Then $`x^1\mathrm{Fr}_q(x)H(\overline{𝔽_q})`$. Thus, we can write $`x^1\mathrm{Fr}_q(x)=yz`$ where $`yR_u(H)(\overline{𝔽_q})`$ and $`zH^{\mathrm{red}}(\overline{𝔽_q})`$. Since $`R_u(H)(\overline{𝔽_q})`$ is connected and invariant under $`\mathrm{Int}(z)\mathrm{Fr}_q`$, there exists $`hR_u(H)(\overline{𝔽_q})`$ such that $`y=hz\mathrm{Fr}_q(h^1)z^1`$. Thus, $`x^1\mathrm{Fr}_q(x)=hz\mathrm{Fr}_q(h^1)`$. Replacing $`x`$ by $`xh`$, we may assume that $`x^1\mathrm{Fr}_q(x)H^{\mathrm{red}}(\overline{𝔽_q})`$. This proves the surjectivity of $`\pi `$.

Let now $`x,yG(\overline{𝔽_q})`$ such that $`xH^{\mathrm{red}},yH^{\mathrm{red}}(G/H^{\mathrm{red}})(𝔽_q)`$ and that $`yxH`$. We may assume that $`y=xz`$ where $`zR_u(H)(\overline{𝔽_q})`$. Then $`H^{\mathrm{red}}(\overline{𝔽_q})`$ contains $`x^1\mathrm{Fr}_q(x)`$ and $`y^1\mathrm{Fr}_q(y)=z^1x^1\mathrm{Fr}_q(x)\mathrm{Fr}_q(z)`$. Since $`H^{\mathrm{red}}(\overline{𝔽_q})`$ normalizes $`R_u(H)(\overline{𝔽_q})`$ and their intersection is trivial, it follows that $`z^1x^1\mathrm{Fr}_q(x)\mathrm{Fr}_q(z)\mathrm{Fr}_q(x^1)x=1`$. Therefore, $`xzx^1(xR_u(H)x^1)(𝔽_q)`$, and $`xR_u(H)x^1`$ is a $`\mathrm{Fr}_q`$-stable connected unipotent group of dimension $`u`$. So every fiber of $`\pi `$ has order $`q^u`$.

Therefore, if Theorem 1 holds for $`G/H^{\mathrm{red}}`$, then it holds for $`G/H`$, and

$$Q_{G/H^{\mathrm{red}}}(t)=Q_{G/H}(t).$$

So we may assume that $`H=H^{\mathrm{red}}`$. Then, using the fibration

$$G/HG/R_u(G)HG^{\mathrm{red}}/H^{\mathrm{red}}$$

with fiber $`R_u(G)`$, one reduces similarly to the case where $`G=G^{\mathrm{red}}`$.

We assume from now on that $`G`$ and $`H`$ are reductive; as a consequence, $`G/H`$ is affine.

###### Lemma 3.

The following conditions are equivalent for a subtorus $`S`$ of $`T`$, with Lie algebra $`𝔰𝔱`$:

(i) All isotropy subgroups of $`S`$ acting on $`G/H`$ are finite, and $`S`$ is maximal for this property.

(ii) $`𝔰w𝔱_H=𝔱`$ for all $`wW`$.

As a consequence, there exist subtori $`S`$ satisfying (i), and all of them have dimension $`r_Gr_H`$. Moreover, the double coset space $`S\backslash G/H`$ is an affine algebraic variety, with at worst quotient singularities by finite abelian groups.

###### Proof.

Let $`gG`$, then the finiteness of the isotropy group of $`gH`$ in $`S`$ is equivalent to: $`𝔰\mathrm{Ad}(g)𝔥=0`$. As there are only finitely many isotropy groups for a torus action on an algebraic variety, the finiteness of all isotropy groups for the $`S`$-action on $`G/H`$ is equivalent to: $`𝔰\mathrm{Ad}(G)𝔥=0`$. Since

$$𝔰\mathrm{Ad}(G)𝔥=𝔰(𝔱\mathrm{Ad}(G)𝔱_H)=𝔰W𝔱_H,$$

this amounts to: $`𝔰w𝔱_H=\{0\}`$ for all $`wW`$.

Now $`𝔱`$ has a $`W`$-invariant rational structure, defined by the lattice of differentials at $`1`$ of one-parameter subgroups of $`T`$; the rational subspaces are exactly the Lie algebras of subtori. Moreover, any rational subspace $`𝔰`$ intersecting trivially all subspaces $`w𝔱_H`$ is contained in a rational complement to all these subspaces. This proves equivalence of conditions (i) and (ii), and the assertion on existence of subtori $`S`$ and their dimension. For any such subtorus $`S`$, all orbits in the affine variety $`G/H`$ are closed, and the isotropy groups are finite abelian groups. This implies the latter assertion. ∎

Remark. Lemma 3 extends to arbitrary homogeneous spaces $`G/H`$, except for the assertion that $`S\backslash G/H`$ is an affine algebraic variety. In fact, the quotient space $`S\backslash G/H`$ may well be non-separated if $`G/H`$ is not affine. For example, let $`G=\mathrm{SL}(2)`$ and let $`H`$ be its standard unipotent subgroup. The diagonal torus $`D^{}`$ of $`G`$ acts on $`G/H^2\{0\}`$ by $`t(x,y)=(tx,t^1y)`$. All isotropy groups are trivial, but the quotient space is a classical example of a non-separated scheme : the affine line with its origin doubled.

Next choose a subtorus $`S`$ of $`T`$ satisfying the conditions of Lemma 3 and let

$$Z=S\backslash G/H$$

with quotient map $`f:G/HZ`$. Then there exists a decomposition of $`Z`$ into finitely many disjoint, locally closed subvarieties $`Z_j`$ ($`jJ`$), together with finite subgroups $`F_j`$ ($`jJ`$) of $`S`$, such that every $`f^1(Z_j)`$ is equivariantly isomorphic to $`S/F_j\times Z_j`$. Since $`S/F_j`$ is a torus of dimension $`r_Gr_H`$, we have $`E_{S/F_j}(s,t)=(st1)^{r_Gr_H}`$, whence

$$E_{G/H}(s,t)=(st1)^{r_Gr_H}E_Z(s,t).$$

Likewise, we have for all large $`q`$:

$$|(G/H)(𝔽_q)|=(q1)^{r_Gr_H}|Z(𝔽_q)|.$$

Since $`Z`$ has at worst finite quotient singularities, it satisfies Poincaré duality over $``$. As a consequence, each closed algebraic subvariety of codimension (say) $`r`$ in $`Z`$ has a cohomology class in $`H^{2r}(Z)`$. This yields the (degree doubling) cycle map

$$\mathrm{cl}:A^{}(Z)H^{}(Z),$$

where the left hand side is the Chow group of $`Z`$, graded by codimension (see  Chapter 19).

###### Lemma 4.

With preceding notation, $`\mathrm{cl}`$ is an isomorphism over $``$. Moreover, the graded ring $`H^{}(Z)`$ is isomorphic to $`R(S)_{R(G)}R(H)`$, and the usual Poincaré polynomial of $`Z`$ equals

$$\frac{F_S(t^2)F_H(t^2)}{F_G(t^2)}=\frac{F_H(t^2)}{(1t^2)^{r_Gr_H}F_G(t^2)}.$$

###### Proof.

We use equivariant cohomology, see e.g. . Consider the action of $`T`$ on $`G/H`$, then the equivariant cohomology ring $`H_T^{}(G/H)`$ is clearly isomorphic to $`H_H^{}(G/T)`$. Since $`H_G^{}(G/T)=H^{}(BT)=R(T)`$ is a free module of rank $`|W|`$ over $`H_G^{}(pt)=H^{}(BG)=R(G)`$, the Eilenberg-Moore spectral sequence (see  III.2) yields an isomorphism

$$H_H^{}(G/T)H^{}(BH)_{H^{}(BG)}H_G^{}(G/T),$$

that is,

$$H_T^{}(G/H)R(T)_{R(G)}R(H).$$

This is a commutative, positively graded algebra, finite and free of rank $`|W|`$ over its subring $`R(H)`$. The latter is a Cohen-Macaulay ring of dimension $`r_H`$. Thus, the ring $`H_T^{}(G/H)`$ is Cohen-Macaulay of dimension $`r_H`$ as well, with Poincaré series

$$\frac{F_T(t^2)F_H(t^2)}{F_G(t^2)}=\frac{F_H(t^2)}{(1t^2)^{r_G}F_G(t^2)}.$$

Since the subtorus $`S`$ of $`T`$ acts on $`G/H`$ with finite isotropy groups, we have

$$H_T^{}(G/H)H_{T/S}^{}(S\backslash G/H)H_{T/S}^{}(Z).$$

This is a finitely generated module over $`H_{T/S}^{}(pt)=R(T/S)`$. But $`T/S`$ is a torus of dimension $`r_H`$, so that $`R(T/S)`$ is a polynomial ring in $`r_H`$ variables. Since $`H_T^{}(G/H)`$ is Cohen-Macaulay of dimension $`r_H`$ and finite over $`R(T/S)`$, it is a free module over that ring, by the Auslander-Buchsbaum formula (see  19.3). By the Eilenberg-Moore spectral sequence again, it follows that the canonical map

$$_{R(T/S)}H_{T/S}^{}(Z)H^{}(Z)$$

is an isomorphism. Therefore, we have

$$H^{}(Z)_{R(T/S)}R(T)_{R(G)}R(H).$$

But $`_{R(T/S)}R(T)R(S)`$; thus, we obtain $`H^{}(Z)R(S)_{R(G)}R(H)`$. Moreover, $`H^{}(Z)`$ is the quotient of $`H_{T/S}^{}(Z)`$ by a regular sequence consisting of $`r_H`$ homogeneous elements of degree $`2`$. Therefore, the usual Poincaré polynomial of $`Z`$ equals

$$(1t^2)^{r_H}\frac{F_T(t^2)F_H(t^2)}{F_G(t^2)}=\frac{F_H(t^2)}{(1t^2)^{r_Gr_H}F_G(t^2)}.$$

It remains to compare cohomology of $`Z`$ with its Chow group. For this, we use equivariant intersection theory, see  and also . The equivariant Chow group with complex coefficients (graded by codimension) $`A_T^{}(G/H)_{}`$ is again isomorphic to $`R(T)_{R(G)}R(H)`$, by  Corollary 12. Moreover, for any scheme $`X`$ with an action of $`T`$, the natural map

$$R(S)_{R(T)}A_T^{}(X)_{}A_S^{}(X)_{}$$

is an isomorphism (to see this, one reduces to the case where the quotient $`XX/T`$ exists and is a principal $`T`$-bundle, and one argues as in , p. 17). As a consequence, the map

$$R(S)_{R(G)}R(H)A_S^{}(G/H)_{}$$

is an isomorphism; it follows that the cycle map

$$\mathrm{cl}:A_S^{}(G/H)_{}H_S^{}(G/H)=H^{}(Z)$$

defined in  2.8, is an isomorphism as well. Finally, $`A_S^{}(G/H)_{}A^{}(S\backslash G/H)_{}=A^{}(Z)_{}`$ by  Proposition 4 and Theorem 4. ∎

Remark. By Lemma 4, the Betti numbers of $`Z=S\backslash G/H`$ are independent of the choice of $`S`$. But the algebra structure of $`H^{}(Z)`$ may depend on $`S`$, as shown by the example where $`H=\mathrm{SL}(2)\times \mathrm{SL}(2)`$ is embedded diagonally in $`H\times H=G`$. Furthermore, there may exist no subtorus $`S`$ acting on $`G/H`$ with finite constant isotropy groups; this happens, for instance, if $`G=\mathrm{SL}(3)`$ and $`H=\mathrm{SO}(3)`$.

As a final preparation for the proof of Theorem 1, we need the following easy result of invariant theory.

###### Lemma 5.

We have

$$\underset{t1}{lim}(1t)^{r_H}F_H(t)=\frac{1}{|W_H|}.$$

Moroever, the degree of the rational function $`F_H(t)`$ is at most $`dim(H^0)`$, with equality if $`H`$ is connected.

###### Proof.

The former assertion is a (well-known) consequence of Molien’s formula for the invariant ring $`R(H)=[𝔱_H]^{W_H}`$:

$$F_H(t)=\frac{1}{|W_H|}\underset{wW_H}{}\frac{1}{det_{𝔱_H}(1tw^1)}.$$

For the latter assertion, recall that $`R(H^0)`$ is a graded polynomial ring with homogeneous generators of degrees $`d_1\mathrm{}d_r`$, where $`r=r_H`$. Thus, the degree of $`F_{H^0}(t)`$ is $`d_1\mathrm{}d_r=dim(H^0)`$. Moreover, denoting $`\mathrm{\Gamma }`$ the finite group $`H/H^0`$, we have an exact sequence

$$1W_{H^0}W_H\mathrm{\Gamma }1.$$

Thus, $`\mathrm{\Gamma }`$ acts on $`R(H^0)`$ with invariant subring $`R(H)`$. Since $`R(H^0)`$ is a graded polynomial ring, it contains a graded $`\mathrm{\Gamma }`$-stable subspace $`V`$ such that the map $`\mathrm{Sym}(V)R(H^0)`$ is an isomorphism. It follows that $`V`$ decomposes as a direct sum of homogeneous components $`V_d`$ ; the increasing sequence of their degrees (with multiplicities given by the dimensions of the $`V_d`$) is the same as $`(d_1,\mathrm{},d_r)`$. Now

$$F_H(t)=\frac{1}{|\mathrm{\Gamma }|}\underset{\gamma \mathrm{\Gamma }}{}\frac{1}{_ddet_{V_d}(1t^d\gamma ^1)}$$

is a sum of rational functions of the same degree, equal to $`d_1\mathrm{}d_r=dim(H^0)`$. ∎

We can now complete the proof of Theorem 1. By Lemma 4, the cohomology of $`Z`$ vanishes in all odd degrees, and every space $`H^{2m}(Z)`$ is generated by algebraic classes. Thus, the Hodge structure on that space is pure of type $`(m,m)`$, and the same holds for the dual space $`H_c^{2m}(Z)`$. In other words,

$$E_Z(s,t)=\underset{m}{}dimH_c^{2m}(Z)(st)^m.$$

Using Poincaré duality and Lemma 4, it follows that

$$E_Z(s,t)=(st)^{dim(Z)}\frac{F_H((st)^1)}{(1(st)^1)^{r_Gr_H}F_G((st)^1)},$$

so that

$$E_{G/H}(s,t)=\frac{(st)^{dim(G/H)}F_H((st)^1)}{F_G((st)^1)}.$$

On the other hand, we have

$$|Z(𝔽_q)|=\underset{m}{}dimH_c^{2m}(Z)q^m.$$

For, by Grothendieck’s trace formula , one has

$$|Z(𝔽_q)|=\underset{m}{}(1)^m\text{Tr}(\mathrm{Fr}_q,H_c^m(Z_{\overline{𝔽}_q},_l))$$

the equality, for large $`q`$, then follows from the proper base change theorem and the fact that the cycle class map is an isomorphism. (alternatively, one may show directly that

$$|(G/H)(𝔽_q)|=\frac{q^{dim(G/H)}F_H(q^1)}{F_G(q^1)},$$

by arguments of Galois descent). This implies (a). Taking degrees in the equality of rational functions

$$F_H(t)=F_G(t)t^{dim(G/H)}P_{G/H}(t^{1/2})$$

and using Lemma 5, we obtain that $`P_{G/H}(t^{1/2})`$ is divisible by

$$t^{dim(G/H)dim(G)+dim(H)}=t^{u_Gu_H}.$$

Thus, we can write $`P_{G/H}(t^{1/2})=t^{u_Gu_H}(t1)^{r_Gr_H}Q_{G/H}(t)`$ for a polynomial $`Q_{G/H}(t)`$ with integer coefficients. Since $`P_Z(t)=t^{u_Gu_H}Q_{G/H}(t)`$, these coefficients are non-negative. Moreover, Lemma 5 implies that $`Q_{G/H}(1)=\frac{|W_G|}{|W_H|}`$.

For any irreducible variety $`X`$, the degree of $`P_X(t)`$ is $`2dim(X)`$, with leading coefficient $`1`$. It follows that the degree of $`Q_{G/H}(t)`$ is $`dim(G)dim(H^0)`$, with leading coefficient $`1`$. This completes the proof of (b). Finally, (c) follows from (a), (b) and Poincaré duality for $`(G)`$ and $`(H)`$.

## 2. Proof of Theorem 2

Let $`Y`$ be an orbit in $`X`$. Replacing $`X`$ by the union of all orbits whose closure contains $`Y`$ (an open $`G`$-invariant subset of $`X`$), we may assume that $`Y`$ is closed in $`X`$. Then $`Y`$ is the transversal intersection of boundary divisors, say $`X_1,\mathrm{},X_r`$. Choose $`xY`$ and denote by $`H^{}`$ its isotropy subgroup. Then $`H^{}`$ acts on the normal space to $`Y`$ at $`x`$; this action is diagonalizable and given by $`r`$ linearly independent characters, see . This defines a surjective group homomorphism $`H^{}(^{})^r`$, whence an exact sequence

$$1KH^{}(^{})^r1$$

where $`K`$ is the kernel of the $`H^{}`$-action on the normal space. Let $`K^{\mathrm{red}}`$ be a maximal reductive subgroup of $`K`$.

We claim that $`K^{\mathrm{red}}`$ is contained in a conjugate of $`H`$. To check this, consider the linear action on $`K^{\mathrm{red}}`$ on the tangent space $`T_xX`$ and choose a $`K^{\mathrm{red}}`$-invariant complement $`N`$ to the $`K^{\mathrm{red}}`$-invariant subspace $`T_xY`$; by construction, $`K^{\mathrm{red}}`$ fixes $`N`$ pointwise. Then we can choose a $`K^{\mathrm{red}}`$-invariant subvariety $`Z`$ of $`X`$, such that $`Z`$ is smooth at $`x`$ and that $`T_xZ=N`$. Therefore, $`K^{\mathrm{red}}`$ fixes pointwise a neighborhood of $`x`$ in $`Z`$, and this neighborhood meets the open orbit $`G/H`$.

Thus, we may assume that $`K^{\mathrm{red}}`$ is contained in $`H`$. Since $`H`$ is connected, we can apply  Theorem 6.1 (ii) to the fibration $`G/K^{\mathrm{red}}G/H`$ with fiber $`H/K^{\mathrm{red}}`$, to obtain

$$P_{G/K^{\mathrm{red}}}(t)=P_{G/H}(t)P_{H/K^{\mathrm{red}}}(t).$$

Together with Theorem 1, it follows that

$$Q_{G/K}(t)=Q_{G/H}(t)Q_{H/K^{\mathrm{red}}}(t).$$

On the other hand, the right action of $`H^{}/K(^{})^r`$ on $`G/K`$ defines a principal $`(^{})^r`$-bundle $`G/KG/H^{}`$. All such bundles are locally trivial, whence $`P_{G/K}(t)=(t^21)^rP_{G/H^{}}(t)`$, and

$$Q_{G/K}(t)=Q_{G/H^{}}(t).$$

So, $`Q_{G/H}(t)`$ divides $`Q_{G/H^{}}(t)`$ and the quotient has non-negative coefficients.

By additivity, it follows that $`Q_{G/H}(t)`$ divides $`P_X(t^{1/2})`$ ; the quotient is an even polynomial, $`R_X(t)`$. Since $`Q_{G/H}(0)=1`$, the coefficients of $`R_X(t)`$ are integers. However, their non-negativity for complete $`X`$ is not an obvious fact, because of the factor $`t^{u_Gu_H^{}}(t1)^{r_Gr_H^{}}`$ in each $`P_{G/H^{}}(t^{1/2})`$. For this reason, we shall present an alternative proof of the existence of $`R_X(t)`$, which will also yield this non-negativity property.

We begin by relating the virtual Poincaré polynomial $`P_X(t)`$ to equivariant cohomology of $`X`$. If $`V`$ is a $``$-graded complex vector space such that every homogeneous component $`V_m`$ is finite dimensional, let $`F_V(t)=_{m=\mathrm{}}^{\mathrm{}}dim(V_m)t^m`$ be its Poincaré series. If $`X`$ is a variety where $`G`$ acts algebraically, then $`H_G^{}(X)`$ is a finitely generated, graded module over $`H^{}(BG)=R(G)`$. As a consequence, the series $`F_{H_G^{}(X)}(t)`$ is the expansion of a rational function, for which we use the same notation.

###### Lemma 6.

For every regular embedding $`X`$, the rational function $`F_{H_G^{}(X)}(t)`$ is even, and

$$F_{H_G^{}(X)}(t^{1/2})=F_G(t)t^{dim(X)}P_X(t^{1/2}).$$

###### Proof.

In the case where $`X=G/H`$ is a unique orbit, we have $`H_G^{}(X)H^{}(BH)R(H)`$, whence $`F_{H_G^{}(X)}(t)=F_H(t^2)`$. So the assertion follows from Theorem 1.

In the general case, choose a closed orbit $`Y`$ in $`X`$, of codimension $`r`$, with complement $`U`$. The inclusion map $`i:YX`$ defines a Gysin morphism

$$i_{}:H_G^{}(Y)H_G^{}(X),$$

of degree $`2r`$. By , this map and the restriction map $`H_G^{}(X)H_G^{}(U)`$ fit into a short exact sequence

$$0H_G^{}(Y)H_G^{}(X)H_G^{}(U)0.$$

It follows that

$$F_{H_G^{}(X)}(t)=t^{2r}F_{H_G^{}(Y)}(t)+F_{H_G^{}(U)}(t).$$

Since $`P_X=P_Y+P_U`$, our assertion follows by induction. ∎

Remark. Lemma 6 admits a simpler formulation in terms of equivariant Borel-Moore homology $`H_{}^G(X)`$, as defined in . Indeed, by Poincaré duality, the rational function $`F_{H_{}^G(X)}(t)`$ is even, and

$$F_{H_{}^G(X)}(t^{1/2})=F_G(t^1)P_X(t^{1/2}).$$

In fact this holds, more generally, for every variety $`X`$ where $`G`$ acts with finitely many orbits.

Next let $`X_1,\mathrm{},X_n`$ be the boundary divisors of the regular embedding $`X`$, and let $`z_1,\mathrm{},z_nH_G^2(X)`$ be their equivariant cohomology classes. In the ring $`H_G^{}(X)`$, consider the ideal $`I_X`$ of $`H_G^{}(X)`$ generated by $`z_1,\mathrm{},z_n`$, and the ideal $`J_X`$, kernel of the restriction map

$$\rho :H_G^{}(X)H_G^{}(G/H)R(H).$$

Clearly, $`I_X`$ is contained in $`J_X`$, and the latter ideal is prime. Moreover, $`\rho `$ is surjective by , so that we have an exact sequence

$$0J_XH_G^{}(X)R(H)0.$$

Examples show that $`I_X`$ may differ from $`J_X`$; but these ideals are closely related, as shown by the following result.

###### Lemma 7.

We have $`J_X^{2^N}I_X`$, where $`N`$ denotes the number of $`G`$-orbits in $`X`$.

###### Proof.

We argue by induction on $`N`$. If $`N=1`$, then $`X=G/H`$ so that both $`I_X`$ and $`J_X`$ are trivial. In the general case, we use the notation of the proof of Lemma 6. The (surjective) restriction map $`H_G^{}(X)H_G^{}(U)`$ sends $`I_X`$ (resp. $`J_X`$) onto $`I_U`$ (resp. $`J_U`$).

Let $`\alpha J_X`$. Since $`J_U^{2^{N1}}I_U`$ by the induction assumption, we may assume that

$$\alpha ^{2^{N1}}=i_{}\beta $$

for some $`\beta H_G^{}(Y)`$. Now we have in $`H_G^{}(X)`$:

$$\alpha ^{2^N}=(i_{}\beta )(i_{}\beta )=i_{}(\beta i^{}i_{}\beta )=i_{}(\beta ^2i^{}i_{}1)=(i_{}\beta ^2)(i_{}1),$$

by the projection formula. Moreover, $`i_{}1`$ is the equivariant cohomology class of $`Y`$ in $`X`$. Since $`Y`$ is a transversal intersection of $`r`$ boundary divisors, say $`X_1,\mathrm{},X_r`$, we have $`i_{}1=z_1\mathrm{}z_rI_X`$, and $`\alpha ^{2^N}I_X`$ as well. ∎

Since $`H`$ is connected, $`R(H)`$ is a graded polynomial ring, so that we can choose a graded subalgebra $`R`$ of $`H_G^{}(X)`$ that restricts isomorphically to $`H_G^{}(G/H)R(H)`$ via $`\rho `$.

###### Lemma 8.

$`H_G^{}(X)`$ is finite over its subring generated by $`R`$ and $`z_1,\mathrm{},z_n`$.

###### Proof.

Since the algebra $`H_G^{}(X)`$ is positively graded, it suffices to prove that the quotient

$$H_G^{}(X)/(z_1,\mathrm{},z_n)=H_G^{}(X)/I_X$$

is a finitely generated $`R`$-module. By Lemma 7, $`H_G^{}(X)/I_X`$ is a quotient of $`H_G^{}(X)/J_X^m`$ for some positive integer $`m`$. Consider the finite filtration of $`H_G^{}(X)/J_X^m`$ by the powers of the image of $`J_X`$, and notice that all the subquotients $`J_X^pH_G^{}(X)/J_X^{p+1}H_G^{}(X)`$ are finite modules over $`H_G^{}(X)/J_X=R(H)`$. Since the latter is isomorphic to $`R`$, the assertion follows. ∎

We now need the following variant of the Noether normalization theorem.

###### Lemma 9.

Let $`A`$ be a finitely generated, positively graded algebra over an infinite field $`k`$. Let $`y_1,\mathrm{},y_m`$ be homogeneous, algebraically independent elements of $`A`$ and let $`z_1,\mathrm{},z_n`$ be homogeneous elements of degree $`1`$, such that $`A`$ is finite over its subalgebra generated by $`y_1,\mathrm{},y_m,z_1,\mathrm{},z_n`$. Then there exist a non-negative integer $`n^{}`$ and homogeneous elements $`y_1^{},\mathrm{},y_m^{},z_1^{},\mathrm{},z_n^{}^{}`$ of $`A`$ such that:

(i) $`y_i^{}y_ik[z_1,\mathrm{},z_n]`$ for $`1im`$.

(ii) $`z_1^{},\mathrm{},z_n^{}^{}`$ are linear combinations of $`z_1,\mathrm{},z_n`$.

(iii) $`y_1^{},\mathrm{},y_m^{},z_1^{},\mathrm{},z_n^{}^{}`$ are algebraically independent, and $`A`$ is finite over the subring that they generate.

###### Proof.

The argument is similar to that of the classical Noether normalization theorem, see  13.1; we present it for completeness. We argue by induction on $`n`$, the case where $`n=0`$ being trivial. In the general case, we may assume that $`y_1,\mathrm{},y_m,z_1,\mathrm{},z_n`$ are algebraically dependent, and we choose a polynomial relation

$$P(y_1,\mathrm{},y_m,z_1,\mathrm{},z_n)=0.$$

We may assume that this relation is homogeneous and involves $`z_n`$. Let $`d_1,\mathrm{},d_m`$ be the degrees of $`y_1,\mathrm{},y_m`$. Define $`y_1^{},\mathrm{},y_m^{},z_1^{},\mathrm{},z_{n1}^{}`$ by

$$y_i=y_i^{}+a_iz_n^{d_i},z_j=z_j^{}+b_jz_n$$

where $`a_1,\mathrm{},a_m,b_1,\mathrm{},b_{n1}`$ are in $`k`$. Then

$$P(y_1^{}+a_1z_n^{d_1},\mathrm{},y_m^{}+a_mz_n^{d_m},z_1^{}+b_1z_n,\mathrm{},z_{n1}^{}+b_{n1}z_n,z_n)=0.$$

Regarding the right-hand side as a polynomial in $`z_n`$, the coefficient of the leading term equals $`P(a_1,\mathrm{},a_m,b_1,\mathrm{},b_{n1},1)`$. Since $`k`$ is infinite and by our assumptions on $`P`$, we may choose $`a_1,\mathrm{},a_m,b_1,\mathrm{},b_{n1}`$ so that this coefficient is non-zero. Then $`z_n`$ is integral over the subring $`A^{}`$ of $`A`$ generated by $`y_1^{},\mathrm{},y_m^{}`$ and $`z_1^{},\mathrm{},z_{n1}^{}`$. We conclude by the induction assumption for $`A^{}`$. ∎

We can now show that $`Q_{G/H}(t)`$ divides $`P_X(t^{1/2})`$. Apply Lemma 9 to the algebra $`H_G^{}(X)`$ and to homogeneous, algebraically independent generators of its polynomial subalgebra $`R`$; then we obtain another polynomial subalgebra $`R^{}`$ (restricting isomorphically to $`R(H)`$) and linear combinations $`z_1^{},\mathrm{},z_n^{}^{}`$ of $`z_1,\mathrm{},,z_n`$, such that $`H_G^{}(X)`$ is finite over its polynomial subring $`R^{}[z_1^{},\mathrm{},z_n^{}^{}]`$. Let $`f(t)`$ be the associated Hilbert polynomial, then

$$F_{H_G^{}(X)}(t^{1/2})=\frac{F_H(t)f(t)}{(1t)^n^{}}.$$

Moreeover, $`f(1)`$ is the rank of the $`R^{}[z_1^{},\mathrm{},z_n^{}^{}]`$-module $`H_G^{}(X)`$, a positive integer. On the other hand, we have by Lemma 6:

$$F_{H_G^{}(X)}(t^{1/2})=F_G(t)t^{dim(G/H)}P_X(t^{1/2})$$

and, by Theorem 1:

$$F_H(t)=F_G(t)t^{dim(G/H)u_G+u_H}(t^11)^{r_Gr_H}Q_{G/H}(t^1).$$

This yields

$$P_X(t^{1/2})=t^{n^{}+u_Gu_H}(t1)^{r_Gr_Hn^{}}Q_{G/H}(t)f(t^1).$$

Since $`f(1)Q_{G/H}(1)0`$, we must have $`r_Gr_Hn^{}0`$; and since $`Q_{G/H}(0)=1`$, the Laurent polynomial $`t^{n^{}+u_Gu_H}(t1)^{r_Gr_Hn^{}}f(t^1)`$ must be a polynomial. Thus, $`Q_{G/H}(t)`$ divides $`P_X(t^{1/2})`$.

If moreover $`X`$ is complete, then the $`R(G)`$-module $`H_G^{}(X)`$ is free by . Thus, the ring $`H_G^{}(X)`$ is Cohen-Macaulay of dimension $`r_G`$. Since this ring is finite over $`R^{}[z_1^{},\mathrm{},z_n^{}^{}]`$, a polynomial subring, $`H_G^{}(X)`$ is a free module over that subring, and we have $`r_G=r_H+n^{}`$. Therefore, the Hilbert polynomial $`f(t)`$ has non-negative coefficients, so that the same holds for the polynomial

$$t^{n^{}+u_Gu_H}f(t^1)=\frac{P_X(t^{1/2})}{Q_{G/H}(t)}.$$

Example. We show that Theorem 2 does not extend to all homogeneous spaces $`G/H`$. Let $`G=\mathrm{SL}(2)\times \mathrm{SL}(2)`$ with maximal torus $`T=D\times D`$, where $`D`$ denotes the diagonal torus of $`\mathrm{SL}(2)`$. Let $`n=\left(\begin{array}{cc}0& 1\\ 1& 0\end{array}\right)`$, then the element $`(n,n)`$ of $`G`$ normalizes $`T`$. Let $`H`$ be the subgroup of $`G`$ generated by $`T`$ and by $`(n,n)`$. The homogeneous space $`G/H`$ is spherical, and we have $`T_H=T`$. Denoting by $`x`$, $`y`$ the obvious coordinates on $`𝔱`$, one obtains $`R(G)=[x^2,y^2]`$ and $`R(H)=[x^2,xy,y^2]`$, whence

$$F_G(t)=\frac{1}{(1t^2)^2},F_H(t)=\frac{1+t^2}{(1t^2)^2},P_{G/H}(t^{1/2})=t^4+t^2\text{ and }Q_{G/H}(t)=1+t^2.$$

We now construct a regular completion $`X`$ of $`G/H`$, such that $`P_X(t^{1/2})`$ is not divisible by $`Q_{G/H}(t)`$. Consider the variety $`Y=^1\times ^1\times ^1\times ^1`$ where $`G`$ acts by $`(g_1,g_2)(a,b,c,d)=(g_1a,g_1b,g_2c,g_2d)`$. Then $`Y`$ is a regular embedding of $`G/T`$. Moreover, the right action of $`(n,n)`$ on $`G/T`$ extends to the involution $`\sigma `$ of $`Y`$, defined by $`\sigma (a,b,c,d)=(b,a,d,c)`$. The fixed point subset $`Y^\sigma `$ is the closed $`G`$-orbit, $`\mathrm{diag}(^1)\times \mathrm{diag}(^1)`$. Since the actions of $`G`$ and $`\sigma `$ commute, $`G`$ acts on the quotient $`Y/\sigma `$. The latter is singular along the image $`Z`$ of $`Y^\sigma `$; the normal space to $`Y/\sigma `$ at every point of $`Z`$ is isomorphic to the quotient of $`^2`$ by the involution $`(s,t)(s,t)`$. Thus, blowing up $`Z`$ along $`Y/\sigma `$ yields a smooth projective embedding $`X`$ of $`G/H`$.

One may check that $`X`$ is regular and that $`P_X(t^{1/2})=t^4+3t^3+6t^2+3t+1`$, which is prime to $`Q_{G/H}(t)=t^2+1`$. One may also check that $`Q_{G/H^{}}(t)`$ equals $`t+1`$ or $`(t+1)^2`$ for the other orbits; thus, $`Q_{G/H}(t)`$ is prime to all other $`Q_{G/H^{}}(t)`$.