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# 1 Introduction

## 1 Introduction

Vertex operators and their algebras have played an important rôle in the development of string theory  and constructions of algebras in mathematics . The most prominent examples have been chiral vertex algebras constructed from integral lattices which can be interpreted as quantized (bosonic) strings moving in toroidal spaces. Here the lattice is usually taken to be of Euclidean or Lorentzian signature corresponding to compact Euclidean internal spaces or Minkowskian spacetimes respectively and the rank of the lattice in this applicatio is restricted by the no-ghost theorem .

The formalisation and use of vertex algebra techniques eventually led to the proof of the moonshine conjectures by Borcherds . A major step on the road to this proof was the introduction of the notion of a generalized Kac-Moody algebra (GKM for short, see ). Algebras of this type can appear as Lie algebras derived from the vertex operator construction and have several nice properties, most notably the Weyl-Kac-Borcherds denominator formula

$`e^\rho {\displaystyle \underset{\alpha >0}{}}(1e^\alpha )^{mult(\alpha )}={\displaystyle \underset{wW}{}}det(w)w(e^\rho {\displaystyle \underset{\alpha }{}}ϵ(\alpha )e^\alpha ),`$ (1)
which served to provide many new product formulae for known automorphic forms .

Generalized Kac-Moody algebras111As the class of GKM algebras comprises the usual finite-dimensional and Kac-Moody algebras we restrict ourselves to discussing these. have also been proposed to underly several structures in theoretical physics. They have been shown to control threshold corrections in $`N=2,d=4`$ compactifications of the heterotic string , count degeneracies of certain black holes , be relevant in Gromov-Witten theory  and possibly also as symmetries of M-theory .

If the rank of the lattice is $`26`$ and there is at most one time-dimension, the no-ghost theorem from string theory implies that the resulting Lie algebra is of GKM type or has a quotient that is. For rank $`>26`$ arguments in  show that the algebra is still a GKM algebra.222I am grateful to N. R. Scheithauer for bringing this point to my attention. Less is known about Lie algebras associated to lattices of signature $`(p,q)`$ where both $`p,q>1`$. They have been proposed to be of relevance for the study of algebras associated with BPS states in toroidal compactifications of heterotic string theories .

This note aims at providing some results about the Lie algebras obtained by lattice vertex operator constructions based on even, self-dual lattices and to see how and where they differ from GKM type algebras. As the properties of the root systems of the algebras are intimately related to the geometry of the lattices, we proceed by first studying systems of fundamental roots of these lattices and then consider the implications for the algebras.

Our basic results deal with the existence of Weyl-like vectors and suitable height functions for the lattice roots and we prove that neither exist. This makes the existence of a nice set of fundamental roots unlikely. We present some further evidence for this statement and conjecture that the even, self-dual lattices of signature $`(p,q)`$ with both $`p,q>1`$ do not possess a system of simple roots.

Similarly, the Lie algebra associated to the lattice at hand can then not be written in terms of generators and relations in a fashion analogous to the way one can construct GKM algebras. They thus must be part of a wider class of Lie algebras with vastly different characteristics.

The structure of this note is as follows. To be mostly self-contained, we first introduce some notation and terminology for the lattices (section 2), vertex algebras and GKM algebras (section 3). We indicate how the Lie algebra of physical states corresponding to the lattice is constructed. In section 4 we discuss basic properties of the lattice and algebra root systems and what we understand by a set of fundamental or simple roots. The main results mentioned above are contained in section 5. Finally, we offer some concluding remarks and possible further directions.

## 2 Lattices

By an integral lattice $`\mathrm{\Lambda }`$ of rank $`n`$ we understand the free Abelian group on a finite number of generators $`𝐞_i`$ ($`i=1,..,n`$) together with a non-degenerate, symmetric bilinear form $`(,):\mathrm{\Lambda }\times \mathrm{\Lambda }`$ taking values in the integers, so that

$`\mathrm{\Lambda }=\left\{{\displaystyle \underset{i=1}{\overset{n}{}}}n_i𝐞_i\right|n_i\}.`$ (2)
Each such lattice can be seen as a discrete set of points in the real vector space $`𝔥=\mathrm{\Lambda }_{}`$ which inherits an inner product, also denoted $`(,)`$, from the bilinear form of the lattice. This inner product is not necessarily definite. We can associate to each integral lattice $`\mathrm{\Lambda }`$ a dual lattice $`\mathrm{\Lambda }^{}`$ in $`𝔥`$ by

$`\mathrm{\Lambda }^{}:=\left\{\xi 𝔥\right|(\xi ,\lambda )\text{for all }\lambda \mathrm{\Lambda }\}.`$ (3)
For integral lattices we obviously have $`\mathrm{\Lambda }\mathrm{\Lambda }^{}`$. We call a lattice even if the norm squares of all its elements are even, i.e. $`\lambda ^2=(\lambda ,\lambda )2`$ for all $`\lambda \mathrm{\Lambda }`$. We call a lattice self-dual if it is identical to its dual lattice, i.e. $`\mathrm{\Lambda }=\mathrm{\Lambda }^{}`$. Self-duality for integral lattices is equivalent to being uni-modular, i.e. the inner product matrix $`g_{ij}=(𝐞_i,𝐞_j)`$ has determinant of modulus one: $`|det(g_{ij})|=1`$. We say $`\mathrm{\Lambda }`$ has signature $`(p,q)`$ if the inner product $`(,)`$ has $`p`$ positive and $`q`$ negative eigenvalues. Necessarily we have $`p+q=n`$ and we assume $`pq`$ without loss of generality.

We will restrict our attention in this paper to even, self-dual lattices. It is a well-known result that such lattices exist if and only if $`(pq)0\text{mod }8`$ and are unique if $`q1`$ . These lattices are usually denoted by $`\mathrm{\Gamma }^{p,q}`$.

If $`q=0`$ we are dealing with Euclidean even, self-dual lattices. There is one such of rank $`8`$ (the root lattice $`\mathrm{\Gamma }^8`$ of the Lie algebra $`𝔢_8`$), two such of rank $`16`$ ($`\mathrm{\Gamma }^8\mathrm{\Gamma }^8`$ and $`\mathrm{\Gamma }^{16}`$, the root lattice of $`𝔢_8\times 𝔢_8`$ and half the weight lattice of $`𝔰𝔬(32)`$ respectively). In $`24`$ dimensions there are $`24`$ even, self-dual lattices, the so-called Niemeier lattices among which the Leech lattice is distinguished by having no elements of norm squared equal to $`2`$.

If $`q=1`$ the lattices are said to be of Lorentzian signature and sometimes also denoted by $`\mathrm{II}_{n1,1}`$ with $`n=2,10,18,26,\mathrm{}`$. The most prominent of these are $`\mathrm{II}_{1,1}`$ (the root lattice of the monster algebra ), $`\mathrm{II}_{9,1}`$ (the root lattice of the hyperbolic Kac-Moody algebra $`𝔢_{10}`$ ) and $`\mathrm{II}_{25,1}`$ (the root lattice of the fake monster algebra ).

If $`q>1`$ little seems to be known about these lattices in the literature and it is part of the aim of this note to establish a few basic properties of these lattices and their implications for the vertex algebras based on them.

## 3 Vertex Algebras of Lattices

We summarize the definition and the relevant properties of vertex algebras and their construction starting from integral lattice, including the associated Lie algebra of physical states. Relevant references are .

### 3.1 Vertex Algebras

A vertex algebra with conformal element is a quadruple $`(,𝒱,\omega ,\mathrm{𝟏})`$ consisting of a vector space $``$, called space of states, a map $`𝒱:(End)[[z,z^1]]`$, and distinguished elements $`\omega ,\mathrm{𝟏}`$, termed the conformal vector and the vacuum respectively. The map $`𝒱`$ is to be interpreted as associating to each state $`\psi `$ a vertex operator $`𝒱(\psi ,z)=_n\psi _nz^{n1}`$. One can think of a state $`\psi `$ as being generated from the vacuum as $`\psi =lim_{z0}𝒱(\psi ,z)\mathrm{𝟏}`$. A vertex algebra has to satisfy

1. Regularity: $`\psi _n\varphi =0\text{for }n\text{ sufficiently large}`$
2. Vacuum: $`\mathrm{𝟏}_n\psi =\delta _{n+1,0}\psi `$
3. Injectivity: $`\psi _n=0`$ for all $`n\psi =0`$
4. Conformal vector: $`\omega _{n+1}=L_n`$ and the $`L_n`$ obey the Virasoro algebra and $`L_0`$ gives an integer grading of the space of states

$`=_n_n`$
with

$`_n=\left\{\psi \right|L_0\psi =n\psi \}`$
5. Jacobi identity:

$`{\displaystyle \underset{i0}{}}(1)^i\left(\begin{array}{c}l\\ i\end{array}\right)\left(\psi _{l+mi}(\varphi _{n+i}\xi )(1)^l\varphi _{l+ni}(\psi _{m+i}\xi )\right)`$ (6)
$`={\displaystyle \underset{i0}{}}\left(\begin{array}{c}m\\ i\end{array}\right)(\psi _{l+i}\varphi )_{m+ni}\xi `$ (9)

The Jacobi identity contains the most information about the algebra. It comprises the ordinary Jacobi identity if evaluated for $`l=m=n=0`$ and generalizations thereof.

A vertex operator algebra is a vertex algebra for which the spectrum of $`L_0`$ is bounded below and all $`_n`$ are finite-dimensional. These conditions have obvious physical motivations. Interesting non-trivial examples are given by local vertex operators in a conformal field theory as in the case of a bosonic string compactified on an even and self-dual lattice.

### 3.2 Lattice construction

For an integral lattice $`\mathrm{\Lambda }`$ as in section 2 the space $`𝔥/\mathrm{\Lambda }`$ is a torus and the vertex algebra we wish to associate to the lattice $`\mathrm{\Lambda }`$ is given by quantisation of the space of maps from the circle $`S^1`$ into this torus. More precisely, we consider the space

$`\widehat{𝔥}=𝔥[z,z^1]K`$ (10)
of Laurent polynomials in $`V`$ with central extension. We write $`\alpha _{n,i}`$ for $`𝐞_i[z^n]`$ and $`\xi (n)=\xi ^i\alpha _{n,i}`$ for a general monomial $`\xi [z^n]`$ expanded in these basis vectors when $`\xi =\xi ^i𝐞_i`$. Define a Heisenberg Lie algebra structure on this space by

$`[\xi (m),\eta (n)]=m\delta _{m,n}(\xi ,\eta )K.`$ (11)
The space of states of the vertex algebra for the lattice $`\mathrm{\Lambda }`$ is

$`_\mathrm{\Lambda }=S(𝔥^{})\{\mathrm{\Lambda }\},`$ (12)
where $`𝔥^{}=z^1𝔥[z^1]`$ are the negative mode oscillators, $`S`$ denotes the symmetric algebra and $`\{\mathrm{\Lambda }\}`$ is the twisted group algebra of the lattice. Twisted here refers to the introduction of a 2-cocycle $`\epsilon :\mathrm{\Lambda }\times \mathrm{\Lambda }/2`$ which is necessary to obtain the right commutation relations, see  for details. Elements of the group algebra will be denoted by $`e^\alpha `$ with

$`e^\alpha e^\beta =e^{\alpha +\beta }.`$ (13)
The Sugawara construction supplies the Virasoro element by

$`\omega ={\displaystyle \frac{1}{2}}{\displaystyle \underset{i=1}{\overset{n}{}}}h^i(1)h_i(1)e^0,`$ (14)
where $`h^i,h_i`$ are dual bases of $`𝔥`$. The vacuum is given by $`1e^0`$.

The map $`𝒱`$ associating a vertex operator to each state is defined in the usual way using the normal ordering of the Heisenberg modes. It can be shown that with these choices we have constructed a vertex algebra with conformal element .

### 3.3 Lie algebra of physical states

We can use the conformal structure of the lattice vertex algebra to define a Lie algebra structure on the space of physical states. Define

$`P_n:=\{\psi _n:L_m\psi =0\text{for }m>0\}`$ (15)
to be the space of physical states with weight $`n`$. Then it can be shown  that the space $`P_1/L_1P_0`$ carries the structure of a Lie algebra with respect to the product

$`[\psi ,\varphi ]=\psi _0\varphi =Res_{z=0}𝒱(\psi ,z)\varphi .`$ (16)
This construction works for all vertex algebras with conformal vector but we will only consider the case of vertex algebras derived from a lattice construction for even, self-dual lattices $`\mathrm{\Gamma }^{p,q}`$. In this case the root lattice of the Lie algebra of physical states is just $`\mathrm{\Gamma }^{p,q}`$ and the roots are the non-zero elements with norm squared less than $`2`$ and the multiplicity of a root $`\alpha \mathrm{\Gamma }^{p,q}`$ is given by the classical partition function

$`\text{mult}(\alpha )=p_{d1}(1{\displaystyle \frac{1}{2}}\alpha ^2)p_{d1}({\displaystyle \frac{1}{2}}\alpha ^2),`$ (17)
where the two terms describe the number of independent elements for given norm squared in $`P_1`$ and $`P_0`$. $`p_k(M)`$ is the number of partitions of an integer $`M`$ into positive integers with $`k`$ colours and is generated by

$`{\displaystyle \underset{m0}{}}p_k(m)q^m={\displaystyle \underset{m1}{}}(1q^m)^k.`$ (18)
The Cartan subalgebra is given by all states with zero momentum and arbitrary polarization vector in $`\mathrm{\Gamma }^{p,q}`$.

If this construction is applied to the lattice $`\mathrm{II}_{25,1}`$ one arrives at the fake monster algebra  which is an example of a generalized Kac-Moody algebra (which will be defined in the following section 3.4) and in general for a Lorentzian lattice we obtain a GKM algebra . So the Lie algebras for $`\mathrm{\Gamma }^{p,q}`$ with $`q1`$ and are at most of generalized Kac-Moody type, often they are even finite-dimensional or of Kac-Moody type.

### 3.4 Generalized Kac-Moody Algebras

Following , we briefly review a few standard facts about generalized Kac-Moody algebras. A generalized Kac-Moody algebra is defined via a symmetrized Cartan matrix $`A=(a_{ij})`$, with $`i,j`$ in a possibly infinite but countable index set $`I`$, satisfying the following conditions

$`a_{ij}=a_{ji},`$
$`a_{ij}0\text{if }ij,`$ (19)
$`{\displaystyle \frac{2a_{ij}}{a_{ii}}}\text{if }a_{ii}>0.`$
We also assume the existence of a real vector space $`H`$ with symmetric bilinear inner product (not necessarily positive definite) and elements $`h_iH`$ ($`iI`$) such that $`(h_i,h_j)=a_{ij}`$. Then we define the generalized Kac-Moody algebra $`G`$ to be the Lie algebra generated by H and $`e_i`$ and $`f_i`$ subject to the relations

1. The image of $`H`$ in $`G`$ is commutative.
2. $`hH`$ acts diagonally on the $`e_i,f_i`$: $`[h,e_i]=(h,h_i)e_i`$ and $`[h,f_i]=(h,h_i)f_i`$.
3. $`[e_i,f_i]=h_i`$, $`[e_i,f_j]=0`$ if $`ij`$.
4. If $`a_{ii}>0`$ then $`(\text{ad}e_i)^{12a_{ij}/a_{ii}}e_j=0`$ and $`(\text{ad}f_i)^{12a_{ij}/a_{ii}}f_j=0`$ (Serre relations).
5. If $`a_{ij}=0`$ then $`[e_i,e_j]=[f_i,f_j]=0`$.

The main difference compared to finite-dimensional simple Lie algebras or Kac-Moody algebras is that imaginary simple roots are permitted as $`a_{ii}`$ can be less or equal to $`0`$. The multiplicity of an imaginary simple root can be greater than $`1`$. Also, the number of simple roots can be infinite dimensional. Most terminology and properties carry over. We extend the bilinear form on $`H`$ to the root lattice $`Q`$ which is the free Abelian group on the simple elements. The Weyl group is generated by reflections in the real simple roots, and roots can be grouped into positive or negative ones according to whether they are a sum of simple roots or the negative thereof.

Among the standard properties of GKM algebras we mention the following. The denominator formula (1) involving the Weyl vector determined by the real simple roots holds. Unless for extremely degenerate cases, a GKM algebra $`G`$ has an integer grading $`G=G_m`$ such that each $`G_m`$ is finite-dimensional if $`m0`$ and $`G_0`$ is Abelian.333This is true unless the Cartan matrix has a infinite number of identical rows. Similar to Kac-Moody algebras, $`G`$ has an invariant bilinear form such that $`G_\alpha `$ and $`G_\beta `$ are orthogonal unless $`\alpha +\beta =0`$, and the Hermitian form constructed from this by use of the Chevalley involution is positive definite on the root spaces.

## 4 Reflections, Algebra and Lattice Roots

In order to analyse the Lie algebra of physical states we construct from lattices further we need to understand the root system and the geometry of the root lattice. In this section we introduce the required notation.

### 4.1 Lattice Roots and Algebra Roots

Following , we call an element $`\alpha \mathrm{\Gamma }^{p,q}`$ a lattice root if the associated elementary reflection

$`w_\alpha (\gamma )=\gamma 2{\displaystyle \frac{(\gamma ,\alpha )}{(\alpha ,\alpha )}}\alpha ,\gamma \mathrm{\Gamma }^{p,q}`$ (20)
is a symmetry of the lattice. It is not difficult to see that for even, self-dual lattices the lattice roots are precisely the elements of norm squared $`2`$:

$`\mathrm{\Delta }^{latt}=\left\{\alpha \mathrm{\Gamma }^{p,q}\right|\alpha ^2=2\}.`$ (21)
The set of all reflection forms a group $``$, called the reflection subgroup of the automorphism group of the lattice.

If $`𝔤`$ is a Lie algebra with root lattice $`\mathrm{\Gamma }^{p,q}`$ and Cartan subalgebra $`𝔥`$ then it possesses a natural grading

$`𝔤={\displaystyle \underset{\alpha \mathrm{\Gamma }^{p,q}}{}}𝔤_\alpha =𝔥{\displaystyle \underset{0\alpha \mathrm{\Gamma }^{p,q}}{}}𝔤_\alpha ,`$ (22)
where

$`𝔤_\alpha =\left\{x𝔤\right|[h,x]=\alpha (h)x\text{for all }h𝔥\}.`$ (23)
If $`𝔤_\alpha \left\{0\right\}`$ and $`\alpha 0`$ then $`\alpha `$ is called an algebra root or root for short and $`𝔤_\alpha `$ the associated root space. If $`\alpha ^2>0`$, $`\alpha `$ is called real and imaginary otherwise, denoted by $`\mathrm{\Delta }^{re}`$ and $`\mathrm{\Delta }^{im}`$ respectively. For the lattice Lie algebras we are interested in all real roots have norm squared $`2`$. In fact, here all $`\alpha `$ with $`\alpha ^2=2`$ are algebra roots and

$`\mathrm{\Delta }^{latt}=\mathrm{\Delta }^{re}`$ (24)
for these lattice Lie algebras. This is not true in general, for instance for most Kac-Moody algebras. In a similar fashion to above, the real roots have reflection symmetries which form a group $`𝒲`$ called the Weyl group of the algebra. We note that the set of all roots is invariant under $`\alpha \alpha `$, also reflected in the Chevalley involution of the Lie algebra.

### 4.2 Fundamental and simple roots

It is an important question if the set of all roots can be conveniently described in terms of some generators as for GKM type algebras. As upon commutation $`[𝔤_\alpha ,𝔤_\beta ]𝔤_{\alpha +\beta }`$ an element which can be written as the sum (or commutator) of other elements cannot be part of a minimal generating set. It is natural to look for such a generating set by a minimality condition with respect to addition. For this it is first necessary to define the notion of positivity and negativity of a (lattice or algebra) root which respects the group operation on the lattice. This can be done, for instance, by finding a hyperplane in the vector space underlying the lattice not containing any of the roots (real or imaginary). Then call one side of the hyperplane positive, the other one negative.

For the case of the lattice roots, those positive roots which cannot be written as a sum of other positive roots will be called fundamental roots and are denoted $`(\alpha _i)`$ for $`i`$ in some index set $`I`$.444This notion is not fully equivalent to saying that the fundamental roots are orthogonal to the faces of a fundamental domain for the action of $``$ on $`𝔥`$. The image of the fundamental chamber $`_{iI}\left\{\xi 𝔥\right|(\alpha _i,\xi )0\}`$ under $``$ is the so-called Tits cone $`X`$. An example when $`X𝔥`$ is given by $`\mathrm{II}_{9,1}`$. Nevertheless, $`X`$ contains all lattice roots. The set of fundamental roots is sufficient to describe the reflection group $``$ and the information can be encoded in a Dynkin diagram or a Cartan-like matrix.

For the lattice Lie algebra, those positive roots whose root spaces contain elements which cannot be written as a commutator of elements of the root spaces of other positive roots will be called simple roots with multiplicity corresponding to the number of linearly independent such elements in their root spaces. The fundamental roots of the lattice will turn into simple real roots of the algebra and then in principle one might try to determine the additional simple roots recursively if one has a suitable grading like the distance to the hyperplane chosen for splitting the roots into positive and negative. Again, the simple roots will be denoted $`\alpha _i`$ ($`iI`$) and their inner-product matrix contains all information about the Lie algebra.

It seems an open question under which circumstances such a generating set exists and can actually be determined.

### 4.3 Weyl-like elements

An important quantity for generalized Kac-Moody algebras is the Weyl element $`\rho `$ which is defined by

$`(\rho ,\alpha _i)=1`$ (25)
for all real simple roots $`\alpha _i`$ where one might need to extend $`𝔥`$ by derivations if the Cartan matrix is singular. It derives its importance from the rôle it plays in the character formula and, in light of the discussion in the preceding paragraph, can be seen to be an optimal choice of grading for the positivity problem555For this we might require that the lattice roots span the lattice.. This said, we call an element $`\rho \mathrm{\Gamma }^{p,q}`$ Weyl-like if it has non-vanishing inner product with all lattice roots:

$`(\rho ,\alpha )0,\text{for all}\alpha \mathrm{\Delta }^{latt}.`$ (26)
Such an element can then be used to find the fundamental roots of the lattice.666For most purposes one might also require that to each integer $`m`$ there are only finitely many roots which have inner product $`m`$ with $`\rho `$. That this is not strictly necessary can be seen from the example of $`\mathrm{II}_{25,1}`$.

## 5 Properties of the Lie algebra of physical states based on the lattice $`\mathrm{\Gamma }^{p,q}`$ for $`q>1`$

Whereas the Lie algebra $`𝔤`$ of physical states for at most Lorentzian lattices can be classified as generalized Kac-Moody algebras (GKM), we will see that the situation is different as soon as $`q>1`$.

The lattice $`\mathrm{\Gamma }^{p,q}`$ can be written as

$`\mathrm{\Gamma }^{p,q}=\mathrm{\Gamma }^{8s}\underset{q}{\underset{}{\mathrm{II}_{1,1}\mathrm{}\mathrm{II}_{1,1}}},`$ (27)
where $`\mathrm{\Gamma }^{8s}`$ is a Euclidean lattice of rank $`8s`$ where $`s=(pq)/8`$ and there are $`q`$ summands of the basic light-cone lattice $`\mathrm{II}_{1,1}`$. For $`q>1`$, $`\mathrm{\Gamma }^{p,q}`$ contains at least one copy of $`\mathrm{\Gamma }^{2,2}=\mathrm{II}_{1,1}\mathrm{II}_{1,1}`$ as a sublattice. Many of the problems in analysing $`𝔤`$ based on $`\mathrm{\Gamma }^{p,q}`$ can already be understood by studying $`\mathrm{\Gamma }^{2,2}`$.

A convenient description of the lattice $`\mathrm{\Gamma }^{2,2}`$ is given in terms of a double set of light-cone co-ordinates:

$`\mathrm{\Gamma }^{2,2}=\left\{(k,l;m,n)\right|k,l,m,n\},`$ (28)
equipped with the metric

$`|(k,l;m,n)|^2=2kl2mn.`$ (29)
As discussed above. the lattice roots are exactly those elements of $`\mathrm{\Gamma }^{2,2}`$ with $`\alpha ^2=2`$ or, put differently, the integral solutions to the non-linear diophantine problem

$`kl+mn=1.`$ (30)
There is an obvious one-to-one correspondence between the lattice roots and elements of $`MSL(2,)`$ by making use of the bijection $`kk`$ and multiplying (30) by $`1`$.

Now we are able to show some interesting properties of the lattice.

###### Proposition 1

There is no Weyl-like element for the lattice $`\mathrm{\Gamma }^{2,2}`$.

Proof: Assuming that there is such an element $`\rho =(a,b;c,d)`$ which can be written as a $`2\times 2`$-matrix with integer entries

$`A=\left(\begin{array}{cc}b& c\\ d& a\end{array}\right),`$ (33)
we have to show that there always exists an element $`RSL(2,)`$

$`R=\left(\begin{array}{cc}k& m\\ n& l\end{array}\right)`$ (36)
(corresponding to a lattice root $`\alpha =(k,l;m,n)`$) such that

$`\text{tr}(RA)=al+bk+cn+dm=(\rho ,\alpha )=0.`$ (37)
The condition $`\text{tr}(RA)=0`$ for some $`RSL(2,)`$ is equivalent to the condition

$`\text{tr}(PAQ)=0,`$ (38)
for some matrices $`P,QSL(2,)`$. Hence, if we can bring $`A`$ to a traceless form by elementary row and column manipulations we are done. But by a variant of Euclid’s algorithm we can always arrive at the following form for $`A`$ by doing such manipulations

$`\left(\begin{array}{cc}d_1& 0\\ 0& d_1e\end{array}\right),`$ (41)
for some $`d_10`$ (unless $`A=0`$ to start with) and $`e`$. Now, we can add the first column to the second and then subtract $`e+1`$ times the first row off the second and the resulting matrix will be traceless.$`\mathrm{}`$

The significance of proposition 1 is that we cannot find a linear “height” function $`h:\mathrm{\Gamma }^{2,2}`$ which is non-vanishing on the lattice roots and can be used to distinguish positive and negative roots and to subsequently determine the fundamental roots. Conversely, supposing we have somehow arrived at a set of fundamental roots, so that all lattice roots can be written either as a sum or minus a sum of fundamental roots, there cannot be a Weyl vector for this set of fundamental roots in $`\mathrm{\Gamma }^{2,2}`$. Proposition 1 shows that $`\mathrm{\Gamma }^{2,2}`$ cannot be graded by integers in a fashion desirable for GKM algebras.

###### Proposition 2

Every group homomorphism $`h:\mathrm{\Gamma }^{2,2}`$ which is non-vanishing on $`\mathrm{\Delta }^{latt}`$ has zero as an accumulation point of its image.

Proof: By proposition 1 we only need to consider the case when $`h`$ takes irrational values, at least for some lattice roots. Let $`(k_0,l;m_0,n)`$ be such an element. We know that $`l,n`$ are coprime and that for all $`t`$

$`(k_0+tn,l;m_0tl,n)`$ (42)
is also a root777Actually, all solutions to the lattice root condition are of this form: For every coprime pair $`l,n`$ there is such a one-parameter family of solutions.. If $`h`$ is given by

$`h(k,l;m,n)=albkcndn,`$ (43)
let

$`h_{l,n}(t)`$ $`=`$ $`alb(k_0+tn)cnd(m_0tl)=(dlbn)talbk_0cndm_0`$ (44)
$`=`$ $`Mt+N.`$
There exists a $`t_0`$ such that $`h_{l,n}(t_0)(0,M)`$. Now approximate $`b`$ and $`d`$ over the rationals as

$`b{\displaystyle \frac{p_1}{q_1}},d{\displaystyle \frac{p_2}{q_2}}`$ (45)
with $`q_1p_2`$ and $`q_2p_1`$ coprime. Choosing $`l=q_2p_1`$ and $`n=q_1p_2`$ gives $`M=dlbn0`$. By increasing the accuracy of the approximation we can make $`M`$ arbitrarily small, showing that $`0`$ is an accumulation point of $`h(\mathrm{\Delta }^{latt})`$.$`\mathrm{}`$

Thus, even though it is possible to split the lattice roots into positive and negative roots by a general hyperplane there is never a minimal element that could be identified as fundamental. Combining proposition 1 and proposition 2, we get

###### Corollary 1

Let $`H\mathrm{\Gamma }^{2,2}`$ be a hyperplane. Then either $`H`$ contains an element of $`\mathrm{\Delta }^{latt}`$ or there is an element of $`\mathrm{\Delta }^{latt}`$ arbitrarily close nearby.

Interpreting the possible maps $`h`$ as points in $`\mathrm{\Gamma }^{2,2}`$ we also get that to each point in $`\mathrm{\Gamma }^{2,2}`$ there is a hyperplane orthogonal to a lattice root passing arbitrarily close by. This has implications for the reflection group $``$.

###### Corollary 2

Any potential fundamental domain of the group $``$ generated by reflections in the lattice roots of $`\mathrm{\Gamma }^{2,2}`$ acting on $`\mathrm{\Gamma }^{2,2}`$ has empty interior.

Proof: Splitting $`\mathrm{\Delta }^{latt}=\mathrm{\Delta }_+^{latt}\mathrm{\Delta }_{}^{latt}`$ every single reflection in an element $`\alpha \mathrm{\Delta }_+^{latt}`$ exchanges the two half spaces

$`H_\alpha ^+`$ $`=`$ $`\left\{\gamma \mathrm{\Gamma }^{2,2}\right|(\alpha ,\gamma )0\}\text{and}`$
$`H_\alpha ^{}`$ $`=`$ $`\left\{\gamma \mathrm{\Gamma }^{2,2}\right|(\alpha ,\gamma )0\},`$ (46)
leaving the orthogonal elements invariant. We pick the positive half space and try to construct a fundamental domain $`D`$ for the action of $``$ on $`\mathrm{\Gamma }^{2,2}`$.

$`D={\displaystyle \underset{\alpha \mathrm{\Delta }_+^{latt}}{}}H_\alpha ^+`$ (47)
is a closed set with the property that every reflection takes a point in the interior of $`D`$ to a point outside of $`D`$ and $`D`$ is bounded by hyperplanes orthogonal to the lattice roots. By corollary 1, any point in $`\mathrm{\Gamma }^{2,2}`$ has such a hyperplane nearby and thus the interior of $`D`$ has to be empty.$`\mathrm{}`$

This also relates to the absence of a Weyl vector which would lie in the interior of such a set and a “ball” of radius $`1`$ around its tip touching all the faces. We can describe $`D`$ more explicitly when we use a height function $`h`$ as above. Then $`D`$ is a ray in $`\mathrm{\Gamma }^{2,2}`$, precisely the one in the direction of the point determining $`h`$ and the Tits cone is $`(\mathrm{\Gamma }^{2,2})\backslash \mathrm{\Gamma }^{2,2}`$.

We have accumulated several pieces of evidence for

###### Conjecture 1

The lattice $`\mathrm{\Gamma }^{2,2}`$ does not possess a system of fundamental roots.

We remark that choosing non-linear orderings of the lattice roots like lexicographic ordering one can find a few fundamental elements which can be shown not be a generating set of all roots. Completing them to a set of fundamental roots cannot be done algorithmically as there is no analogue of height, i.e. a superlinear functional that ensures that one only has to consider a given set of roots when asking if a particular root can be written as a sum of “lower” roots. As the fundamental roots of the lattice carry over by construction to the real simple roots of the Lie algebra of physical states $`𝔤`$. As $`\mathrm{\Gamma }^{2,2}\mathrm{\Gamma }^{p,q}`$ for $`pq>1`$ we are led to the believe that $`𝔤`$ cannot have a system of simple roots analogous to the construction of generalized Kac-Moody algebras.

Using the results on the lattice $`\mathrm{\Gamma }^{2,2}`$ we can now prove

###### Proposition 3

The Lie algebra of physical states $`𝔤=P_1/L_{(1)}P_0`$ associated to the lattice $`\mathrm{\Gamma }^{p,q}`$ is not of generalized Kac-Moody type for $`q>1`$.

Proof: We restrict to the subalgebra where we only consider the lattice $`\mathrm{\Gamma }^{2,2}`$ and assume that $`𝔤`$ is a GKM algebra and show that this leads to a contradiction. So suppose $`𝔤`$ is generated by a set of simple roots $`\{\alpha _i:iI\}=\mathrm{\Pi }=\mathrm{\Pi }^{re}\mathrm{\Pi }^{im}`$ with generalized Cartan matrix $`a_{ij}=(\alpha _i,\alpha _j)`$ and we can exclude zero rows. We denote the set of roots of $`𝔤`$ as $`\mathrm{\Delta }^QQ`$ which splits into positive ($`\alpha >0`$) and negative ($`\alpha <0`$) roots $`\mathrm{\Delta }^Q=\mathrm{\Delta }_+^Q\mathrm{\Delta }_{}^QQ_+Q_{}`$. We define the fundamental set $`C=\{\alpha Q_+|(\alpha ,\alpha _i)0`$ for all real simple $`\alpha _i`$ and the support of $`\alpha `$ is connected$`\}\backslash _{j2}j\mathrm{\Pi }^{im}`$.

We know that our algebra is graded by the lattice $`\mathrm{\Gamma }^{2,2}`$ as $`𝔤=_{\alpha \mathrm{\Gamma }^{2,2}}𝔤_\alpha `$, where each $`𝔤_\alpha `$ is finite dimensional and we are abusing notation by denoting roots in $`Q`$ and $`\mathrm{\Gamma }^{2,2}`$ by $`\alpha `$. If $`𝔤`$ is a GKM algebra then $`\mathrm{\Gamma }^{2,2}`$ will be the quotient of $`Q`$ by the kernel $`K`$ of the Cartan matrix. Suppose the kernel contains a (positive) root $`\alpha `$ of $`𝔤`$ then the norm of this root is $`\alpha ^2=0`$ and thus $`\alpha `$ is an isotropic root in the Weyl chamber. As we excluded zero rows the support of $`\alpha `$ is affine. For a simple root $`\beta `$ from the support of $`\alpha `$, the elements $`\beta +n\alpha `$ would be roots for all natural $`n`$, giving rise to infinite multiplicities in the quotient contradicting what we know about $`𝔤`$. Hence $`K`$ does not contain any root.

Now suppose there are elements $`\alpha >0`$ and $`\beta <0`$ which differ by an element $`\kappa `$ of the kernel $`K`$, i.e. $`\alpha =\beta +\kappa `$. This $`\kappa `$ obviously has to be positive and lies in the Weyl chamber. As it is not a root it has to have disconnected support in order not to lie in the fundamental set. So it is the sum of null roots of disconnected subdiagrams of the Dynkin diagram of $`𝔤`$. But then each of the summands is also in the kernel (by disconnectedness) and thus a null root of $`𝔤`$ which contradicts the fact above that there are no roots in the kernel. Hence $`KQ_\pm =K\mathrm{\Delta }_\pm ^Q=\{0\}`$. This means that the quotient map takes $`Q_\pm `$ to disjoint, convex sets $`\mathrm{\Gamma }_\pm ^{2,2}`$ which by linearity are exchanged by $`pp`$ and thus can be split by a hyperplane in $`\mathrm{\Gamma }^{2,2}`$. By the properties of $`\mathrm{\Gamma }^{2,2}`$ such a hyperplane must have a normal vector $`\rho `$ with irrational coordinates and the fundamental domain is the ray in the direction of $`\rho `$. This is where all imaginary simple roots must live but as the coordinates of $`\rho `$ are irrational this ray does not contain any lattice points and so there are no imaginary simple roots for this Lie algebra. So $`𝔤`$ can be at most a standard Kac-Moody algebra  with an infinite number of (real) simple roots.

The set $`\mathrm{\Delta }_+^{im}`$ ($`\mathrm{\Delta }_{}^{im}`$) is Weyl invariant so that any sum of positive (negative) imaginary roots roots will again be an imaginary root if it is a root. If we separate the positive and negative roots in $`\mathrm{\Gamma }^{2,2}`$ by $`\rho =(a,b;c,d)`$, we can assume that $`b0`$ without loss of generality as we can swap $`a`$ and $`b`$ by a Weyl reflection and not both can vanish. Now consider the roots $`\beta _1=(N,0;1,0)`$ and $`\beta _2=(N,0;0,1)`$ which are both imaginary and if we choose $`N`$ large enough both are either positive or negative. Their sum is then also positive or negative but a real root contradicting the structure on $`\mathrm{\Delta }_\pm ^{im}`$ explained above.$`\mathrm{}`$

Hence, $`𝔤`$ is an element of a wider class of Lie algebras. As the defining relations of generalized Kac-Moody algebras are automatically satisfied due to the vertex operator construction, we observe that if there were simple roots for $`𝔤`$ they they would need to violate at least one of the basic properties of generalized Cartan matrices (3.4). Closer inspection reveals that their inner product matrix would need to have positive off-diagonal entries. For such Lie algebras we can work out the multiplicities for any given root inductively by height using the theory of generalized Kac-Moody algebras.

###### Theorem 1

For $`q>1`$, the Lie algebra $`𝔤`$ associated to $`\mathrm{\Gamma }^{p,q}`$ cannot be described in terms of simple generators and relations analogous to GKM algebras, say, encoded in Cartan matrices or Dynkin-like diagrams.

Proof: Assume there is a system of generators for $`𝔤`$ and as argued above they satisfy by construction relations similar to the ones of GKM algebras. But their Cartan matrix cannot be that of a GKM algebra as we have shown that this leads to a contradiction. So we have to relax the property that we only allow non-positive off-diagonal elements in the Cartan matrix. But for the elements used above we can view these as elements of an embedded GKM algebra (if we restrict the height accordingly) where we can still obtain the same contradiction as in the proof of proposition (3). $`\mathrm{}`$

## 6 Conclusions and Open Questions

The limitations on the type of Lie algebra one can obtain for this general lattice construction seem rather tight. Is there any other way to describe these algebras conveniently except for saying that they derive from the lattice construction? For instance, the class of algebras excluded here rest on amalgamating $`𝔰𝔩_2`$ subalgebras – maybe if one took other basic objects one can construct these Lie algebras. Is there some generalization of a character or denominator formula one could write down? As there is no Weyl-like vector and also the Weyl group seems rather unwieldy, it is not clear how to suitably replace the quantities appearing in the denominator formula (1). The representation theory for these algebras should also prove interesting.

Besides these mathematical questions it is not clear what the relevance of these algebras could be in theoretical physics, along the lines of . If algebras of BPS states turn out to be similar to these general lattice Lie algebras it is essential to get some handle on the underlying structure.

Acknowledgements
I would like to thank my supervisor P. Goddard and M. R. Gaberdiel for valuable support and stimulating advice. I am also grateful to T. Fisher, I. Grojnowski, D. Olive and S. Schäfer-Nameki for discussions and to N. R. Scheithauer for comments. Support by the Studienstiftung des deutschen Volkes, EPSRC, and the Cambridge European Trust is gratefully acknowledged.


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# References

Toward the spectral zone control

B. N. Zakhariev and V. M. Chabanov
Bogoliubov Laboratory of Theoretical Physics, Joint Institute for Nuclear Research,

141980 Dubna, Russia

e-mail: zakharev@thsun1.jinr.ru; chabanov@thsun1.jinr.ru

## Abstract

The desired shifts of the boundaries of spectral allowed zones of periodical systems are demonstrated. In particular, the phenomenon of merging neighbor allowed zones is exhibited and its simple explanation is given. It is also shown how to change the additional fundamental spectral parameter, the degree of exponential solution growth, at arbitrary given energy points inside the forbidden zones. This allows one to control tunneling through fragments of periodic structures at energies belonging to spectral gap. All the results are based on the finite interval inverse eigenvalue problem which provides us with complete sets of exactly solvable models. This is a radical extension (continuous ! multiplicity) in comparison to the famous finite-gap models.

PACS numbers: 03.65.-w; 02.30.Zz

The periodical structures represent an area of intensive research and diverse practical applications, e.g., in microelectronics. So it is important to extend as far as possible the class of spectral zone control algorithms. We suggest, in particular, potential transformations leading to given shifts of chosen zone boundaries.

We apply our experience (quantum intuition) in the finite interval inverse problem (IP) algorithms \[1-4\], which allow the construction of the potentials corresponding to a given set of spectral parameters, e.g., bound state energy levels and spectral weights $`\{E_\lambda ,c_\lambda \}`$, to periodic case. In the IP formalism \[5-8\] these parameters are input parameters uniquely determining the potential and so can be considered as spectral ”control levers”. Corresponding exact models form the complete sets. The next step is the periodical continuation over the whole axis the potential derived with the inversion procedure on finite interval. So we use the missed possibility to combine inverse problem approach on a finite interval with direct one of constructing solutions for the periodically continued potential (infinitely enriched Kronig-Penney-like procedure). This gives us additional flexibility of the formalism in comparison with the pure inverse finite gap theory of spectral band structures.

Let us use, for example, the formulae for energy level shift in infinite rectangular potential well of finite width. Let $`\psi _0(x,E_n)`$ be corresponding eigenfunction at the energy $`E_n`$. We assume $`\overline{\psi }_0(x,E_n+t)`$ to be a non-physical auxiliary solution in the initial potential at the shifted energy $`E_n+t`$ with the symmetry being opposite to one of the $`\psi _0(x,E_n)`$. With these solutions, we can construct the Wronskian

$`\theta (x)=\psi _0^{}(x,E_n)\overline{\psi }_0(x,E_n+t)`$
$`\psi _0(x,E_n)\overline{\psi }_0^{}(x,E_n+t).`$ (1)
The final expressions for the transformed potential and solutions are

$`V_2(x)=`$ (2)
$`V_0(x)2t{\displaystyle \frac{d}{dx}}\{\psi _0(x,E_n)\overline{\psi }_0(x,E_n+t)\theta (x)^1\};`$ (3)
$`\psi (x,E)=\psi _0(x,E)`$ (4)
$`t\overline{\psi }_0(x,E_n+t)\theta (x)^1{\displaystyle ^x}\psi _0(y,E_n)\psi _0(y,E)𝑑y;`$ (5)
$`\psi (x,E_n+t)=\psi _0(x,E_n)\theta (x)^1.`$ (6)
It appears that our ability to shift isolated bound state energy levels (over the $`E`$-scale) in the infinite potential well on a finite interval allows us to move some chosen upper (lower) boundaries of the spectral zones (bands) of periodic structures keeping infinite number of other upper (lower) boundaries unperturbed.

Let us consider instructive particular examples. The above formulae can be periodically continued and used for spectral control of the initial Dirac comb (equidistant $`\delta `$-potential barriers or wells $`_{m=\mathrm{}}^{\mathrm{}}\stackrel{}{V}\delta (xm\pi )`$. To be more precise, we get the following periodic potential: $`_{m=\mathrm{}}^{\mathrm{}}\stackrel{}{V}\delta (xm\pi )+V^{per}(x),V^{per}(x+l\pi )=V_2(x),l=0;\pm 1;\pm 2;\mathrm{}`$. In Fig.1a transformations of spectral zones in the case $`\stackrel{}{V}=4`$ corresponding to the successive shifts up of second level $`\underset{2}{\overset{}{E}}=4E=9`$ of the auxiliary problem are demonstrated. Pay attention to the merging of the second and third allowed zones at special value of $`\mathrm{\Delta }E=1`$ and their separating after further moving $`E_2`$ up.

It is remarkable that at first ($`\mathrm{\Delta }E1`$) the lower boundary of the upper neighbor allowed zone goes down to meet the approaching level $`E_2`$ until the second and the third allowed zones merge.

Compare it with the opposite situation on (in) Fig.1b when $`E_2`$ is shifted down, moving away from the third level. Then the zone below the fixed level $`E_3`$ shrinks and goes up until its complete disappearance. The second zone at $`\mathrm{\Delta }E=1.8`$ merges with the first zone and after that the first zone recoils down.

These points of zone junction are especially interesting. The phenomenon of zone merging can be clarified if we consider the continuous transformation of Dirac comb with $`\delta `$-barriers into one with $`\delta `$-wells. In the first case the allowed zones have the auxiliary levels as upper boundaries and in the second as lower ones . For zero $`V_\delta `$ all the gaps between zones disappear while transiting from repulsion to attraction. Then the auxiliary levels $`E_n`$ are simultaneously upper boundaries for the upper $`n`$th allowed zones and lower boundaries for the lower $`n1`$th zones and there is the continuous spectrum from $`E=0`$ to $`E\mathrm{}`$. This allows us to suppose that in the case of non-zero potentials there is ”balance” between attraction and repulsion only in the vicinity of $`E`$-point of zone junction where the $`E_2`$ level becomes a ”boundary” for both neighbor zones.

When shifting $`E_2`$ further upward there occurs the transition to the regime of a local prevalence of the attraction and $`E_2`$ ceases being the upper boundary of the second zone. This zone separates from its previous upper boundary $`E_2`$ and recoils downward.

The reappearance of the vanished gap between 2nd and 3rd zones can be explained as follows. During the further shifting the $`E_2`$ level up through the balance point, the local predominance of repulsion is changed by the prevalence of attraction. So the level $`E_2`$ becomes only the lower boundary of the upper zone abandoning the lower zone which moves down restoring the just disappeared gap. The same effects can be observed in Figs.1a,c.

Let us shift auxiliary energy levels starting from free motion without Dirac combs (continuous spectrum with all gaps collapsed). Then the experience we have already got allows one to predict the qualitative zone movement. For this it would be useful consideration of right sides of Figs.1a-c after the first zone merging.

Now we shall consider another example of zone control. Below are given the formulas for the potential and wave functions transformations corresponding to variations of spectral weight factor $`c_n`$ of a chosen bound state at the energy $`E_n`$ (see a general case in ): Let $`\underset{m}{\overset{}{\psi }}(x)`$ be an eigenfunction of the initial Hamiltonian corresponding to $`m`$th energy eigenvalue, $`\underset{m}{\overset{}{c}}`$’s are the initial spectral weight factors. Then changing $`\underset{m}{\overset{}{c}}c_m`$ gives

$`\psi _n(x)=\underset{n}{\overset{}{\psi }}(x)+{\displaystyle \frac{(1c_m^2/\underset{m}{\overset{2}{\stackrel{}{c}}})\underset{m}{\overset{}{\psi }}(x)}{1(1c_m^2/\underset{m}{\overset{2}{\stackrel{}{c}}})\underset{0}{\overset{x}{}}\underset{m}{\overset{2}{\stackrel{}{\psi }}}(y)dy}}`$
$`\times {\displaystyle \underset{0}{\overset{x}{}}}\underset{m}{\overset{}{\psi }}(y)\underset{n}{\overset{}{\psi }}(y)dy,`$ (7)
$`V(x)=\stackrel{}{V}(x)`$
$`+2{\displaystyle \frac{d}{dx}}{\displaystyle \frac{(1c_m^2/\underset{m}{\overset{2}{\stackrel{}{c}}})\underset{m}{\overset{2}{\stackrel{}{\psi }}}(x)}{1(1c_m^2/\underset{m}{\overset{2}{\stackrel{}{c}}})\underset{0}{\overset{x}{}}\underset{m}{\overset{2}{\stackrel{}{\psi }}}(y)dy}}.`$ (8)
The transformed solution $`\psi _n(x)`$ differs from the initial one by that varying the parameter $`c_n`$ changes the space distribution of wave function (localization) .

We need not restrict ourselves to the discret spectral points of the auxiliary infinite rectangular well and zero boundary conditions at its walls. In usual periodical problems there are no impenetrable walls. So, arbitrary homogeneous boundary conditions apply for our goals. Corresponding corrections for the above formulas can be easily derived

It turns out that the algorithms of shifting localization of eigenfunctions over the configurational axis x result in changing the degree of forbiddenness of the spectral gap at the chosen energy point, see Fig.1d. It can be easier understood in the case of symmetrical initial potentials with the (anti)symmetrical eigenfunctions. Then variation of $`c_n`$ violates the symmetry which results in exponential growth of the periodically continued solution swinging. This is peculiar to the forbidden zone. The more the change in $`c_n`$ the greater the degree of forbiddenness (i.e., $`c_n`$ is a ‘lever’ of direct control). The same is true for the general boundary conditions, i.e., arbitrary energy point in the forbidden zone. In particular, this drastically (‘continuous’ multiplicity) extends the class of exactly solvable models, which may be of great value in clarifying different aspects of periodic system theory.

The transformations based on shifting a chosen energy level $`E_\mu ^I`$ in one of two auxiliary spectra corresponding to the same system are equivalent to changing infinite spectral weight factors of another spectrum, e.g., increasing $`c_n^{II};n>\mu `$ and decreasing $`c_n^{II};n<\mu `$ . We have not still analyzed the influence of such shifts on band spectral structure.

Just before the submission of this paper we revealed unexpected symmetry. The shifts of ”nonphysical” levels $`EE\pm \mathrm{\Delta }E`$ in the infinite rectangular well give the same deformation (we started from free motion) of the band structure of the periodically continued potential for arbitrary $`\mathrm{\Delta }E`$ and $`E`$, which does not violate the rule: no crossing the levels of the physical spectrum while shifting energy level. It is an intriguing open problem to explain the phenomenon of coincidence of band structures for different periodic potentials, which (up to our knowledge) was never mentioned before.

Conclusions  – New status of quantum mechanics is due to achievements of the inverse problem approach . Instead of about ten exactly solvable models which serve as a basis of the contemporary research and education there are infinite (!) number, even complete sets of such models. So, the whole quantum mechanics is embraced by them. They correspond to all possible variations of spectral parameters which determine all properties of quantum systems. There appears a possibility to change at wish quantum objects by variation of these parameters as control levers and examine quantum systems in different thinkable situations. The regularities revealed by computer visualization of these models were reformulated into unexpectedly simple universal rules of arbitrary transformations and what is more, their elementary constituents were discovered. Of these elementary ‘bricks’ it is possible in principle to construct objects with any given properties. The embedding of potentially real objects into the continuum of all the thinkable exactly solvable models allows to unify the whole picture, gives a notion of the connections between the systems considered before as completely different ones. This simplifies the science and gives a significant economy of memory to be used for our further creative activity.

The well-known finite-gap potentials  might serve as a good example of corresponding exact models. At the same time these potentials have the obvious fault that they are not flexible enough: they have ‘frozen’ distribution of forbiddeness index.

FIGURE CAPTIONS

Fig.1a Shifting up the upper boundary of the second allowed zone for the Dirac comb (periodical $`\delta `$-barriers). This boundary coincides with the second energy level in the auxiliary well with impenetrable walls at the ends of finite period interval. It pools at first its zone while moving upward. And the lower boundary of the neighbor upper 3rd zone is lowering toward it until at $`\mathrm{\Delta }E=1`$ both neighbor zones merge. The second energy level of the transforming auxiliary well becomes the lower boundary of the upper zone at this moment. After that the zones are separating again $`\delta E=2,3,3.9`$, but the shifted level now remains with the upper zone. Its motion up squeezes the upper zone (between two levels) until annihilation, because its upper boundary $`E=9`$ remains unchanged according to the algorithm of shifting the only one energy level.

Fig.1b Shifting down the upper boundary of the 2nd allowed zone of the Dirac comb of $`\delta `$-barriers. This boundary pushes downward the 2nd zone before it until its lower boundary touches the lower first allowed zone which fixed boundary $`E=1`$ becomes at this moment also the lower boundary of the zone coming from above. After the zone merging the lower zone separates from the upper one and goes downward while the upper zone is squeezed between its boundaries: the fixed $`E=1`$ and lowering second energy level of the auxiliary well.

Fig.1c Shifting up the lower boundary of the second allowed zone of Dirac comb $`\delta `$-wells (ground state of the auxiliary eigenvalue problem on the period). This boundary pushes the zone upward from below until its upper boundary achieves the second fixed energy level $`E=4`$. At this moment the spectral gap between the two zones disappears. After that the squeezing of the lower zone begins similarly to the case of Fig.2. Simultaneously, the upper zone separates and goes upward restoring the just disappeared lacuna. The degeneration of auxiliary energy levels is followed by their effective annihilation  and by the collapse of all the allowed zones.

Fig.1d (upper part) Changes in zone structure corresponding to relative variations of spectral weight factors $`c/\stackrel{}{c}`$ at energy point $`E=2`$. The initial periodic potential $`\stackrel{}{V}\delta (xn\pi )`$ has Dirac comb peaks with the strength $`\stackrel{}{V}=4`$ and period $`\pi `$. The wave function at $`E=2`$ is on each period an eigenfunction of the eigenvalue problem with the boundary conditions on the edges of a period specified so that the auxiliary discrete energy level just coincides with the chosen point $`E=2`$. (Lower part) Changes of the imaginary part of quasi-momentum $`ImK(E)`$ which characterize the degree of forbiddeness, the index of exponential swinging of solutions.


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# Discovery of Two New Faint Cataclysmic VariablesBased on observations obtained at ESO La Silla (ESO Proposal 69.D-0142(A))

## 1 Introduction

Cataclysmic variables (CVs) are an important class of binary stars as they contain one of the most populous stars in the universe, a white dwarf. The other star in a CV is a low mass object, generally 0.8-0.1 M, which loses mass via Roche Lobe overflow toward the more massive primary. A review of the general properties of CVs is given in Warner (1995).

Recent theoretical work (e.g., Howell et al. 2001, Kolb 2001) has predicted that the majority of present day CVs will have very short orbital periods ($`<`$2 hours) and be of low luminosity (M$`{}_{V}{}^{}<`$11), i.e., they will be TOADs (Tremendous Outburst Amplitude Dwarf novae; Howell et al. 1995). These predictions are based on binary evolution models using the accepted, long held paradigms of CV evolution theory. However, recent new ideas related to the level at which magnetic fields drain orbital angular momentum, and if and when they cease to be important for the mass donor star, have been proposed (King et al. 2002; Howell et al. 2000). Additionally, the idea of circumbinary disks as an orbital angular momentum sink has been proposed (Taam and Spruit 2001, 2002), observationally searched for (Singha et al. 2002) and possibly discovered (Mouchet et al. 2002). If these new theoretical ideas are shown to be correct, the predicted plethora of short period, faint CVs may not really exist. However, it may be that the oldest systems no longer resemble CVs at all (e.g., Harrison et al. 2002).

Other imaging surveys with spectroscopic follow-up (SDSS, Szkody et al. 2002; 2dF, Marsh et al. 2002; HQS, Gänsicke et al. 2002) use different candidate selection criteria but also are discovering new CVs in the magnitude range of 16 to $``$21. The initial estimated space density of CVs from these surveys do not support the predicted numerous faint CV population. However, as we will see below, our survey type and candidate selection are based on different methods and we go to fainter magnitude limits. Fainter candidate search techniques are in line with theoretical predictions for a larger space density of low luminosity CVs (Politano et al. 1998). In any case, observational identification and study of faint CVs is needed in order to test our long held ideas about cataclysmic variables and to prove or eliminate the existence of a large group of faint CVs. The results of such programs also have a direct bearing on the white dwarf and binary star production within the Galaxy.

We present here our initial search for faint CVs by using candidate sources identified from two imaging surveys. These two surveys have been undertaken to provide candidate CVs for follow up spectroscopic confirmation. The Faint Sky Variability Survey (Groot et al. 2002) used the wide-field camera on the 2.5-m Isaac Newton telescope to provide candidate sources based on blue color (B-V, V-I) and intrinsic variability on time scales of minutes, hours, days and up to 1 year (see Huber et al. 2002). The FSVS has observed $``$20 square degrees and presents multi-color data on point and extended sources from V=16.5 down to V$``$24th magnitude. A second survey (Davenhall, Clowes, & Howell 2001; Clowes et al. 2002) used UK Schmidt plates in B, R, and H$`\alpha `$ to identify faint sources which are both blue (B-R) and likely to be H$`\alpha `$ sources. These candidates are of B magnitude 18 to $`>`$22. Details of the selection criteria for faint CV candidates from both of these surveys are discussed in the references given above.

## 2 Observations

Our observations were performed using the ESO New Technology Telescope (NTT) and the ESO Multi-Mode Instrument (EMMI) on the nights of 9-10 August 2002. We used EMMI in RILD (Red Imaging, Low Dispersion) mode with a 360 l/mm grism (grism #3) providing 2.3Å spectral resolution and wavelength coverage from 3400 to 9200Å. The grism efficiency drops blue-ward of 3800Å and red-ward of 9000Å. Minor second order overlap from 3400 to about 4200Å occurred but since the sources of interest were faint and blue, and the grism efficiency in second order at the overlap (red) wavelengths is only 20% of first order, we used no order sorting filter for these observations. This decision provided maximum throughput for the spectrograph.

The seeing was excellent on both nights, being between 0.4 to 0.6 arcsec for almost all times and sources. Sources at higher airmass (the northern sky sources had X=1.4-2.0) had slightly degraded seeing, near 0.8 arcsec. We used a 1.0 arcsec slit for all observations, thus all the source light entered the spectrograph. We observed spectrophotometric standards at the start and near the end of each night and bias, flat, and wavelength calibration arcs were obtained prior to and after each night of observing. EMMI is a Nasmyth focus instrument, so spectrograph flexure throughout the night does not occur. Our calibrated spectra have a wavelength scale uncertainty of 0.2 Å RMS and typical flux uncertainties are of order 10% over most of the range, degrading rapidly near the ends.

Candidate stars were chosen from the FSVS fields centered near RA 16-17 and DEC +21-28 and RA 21-0 and DEC +27 (see Groot et al. 2002). H$`\alpha `$ candidates were selected from a Schmidt field centered near RA 2:20, DEC -30 (see Clowes et al. 2002). In all, we observed 13 FSVS candidates which were known to be “CV-like” variables and bluer than B-V=1.0, and V-I=1.2, the CV color range. (see Huber et al. 2002). We also observed 12 H$`\alpha `$ candidates (Clowes et al. 2002) which were bluer than B-R=1.0 and in fact showed no appreciable H$`\alpha `$ emission (except for the discovered CVs and 1 red-shifted QSO line). This initial survey work was designed to explore the sensitivity of our selection criteria and has revealed that some emission is probably variable, our R, B, and H$`\alpha `$ source matching is not yet optimal and/or there is a broader main sequence component than we expected. From our initial small sample of 25 candidates, we discovered two new CVs, two stars with emission cores in H$`\alpha `$, and six extragalactic objects. The five QSOs observed will be discussed in detail in Clowes et al. (2002). Table 1 presents an observing log for the candidates and their identification.

## 3 Discussion

Both imaging surveys provide accurate positions and magnitudes for the candidates. We present finding charts for the new CVs in Figs. 1 & 3, our FSVS V-band light curve in Fig. 2, and the EMMI spectra in Fig. 4. Table 2 provides some details of the properties of the new CVs along with magnitude information obtained from the imaging surveys.

### 3.1 H$`\alpha `$0242-2802

H$`\alpha `$0242-2802 has the B-R color of a mid- to late A star, similar to the short period TOADs, WZ Sge and GO Com. In fact, the spectrum obtained for H$`\alpha `$0242-2802 (Fig. 4) has an appearance reminiscent of WZ Sge (also shown in Fig. 4) with strong, double peaked emission lines of H and He (the central absorption extending to near or below the local continuum for the He lines and later Balmer lines), and evidence for white dwarf absorption in the later Balmer lines. We also note that in H$`\alpha `$0242-2802 and WZ Sge the Paschen series lines are in emission as well. The continuum appearance, the white dwarf absorption, and the emission line structures in general are indicative of a high inclination, short orbital period, low mass transfer CV. A determination of the orbital period for H$`\alpha `$0242-2802 is needed and, if similar to WZ Sge as well, would provide confirmation of these inferences. Making a tentative guess, based on the assumed similarity with WZ Sge, we take the MV of H$`\alpha `$0242-2802 to be near 12 yielding a z height of 250 pc.

### 3.2 FSVSJ1722+2723

FSVSJ1722+2723 is a blue object with B-V=-0.147 and V-I=1.092, similar to the colors of the nova-like CV, UU Aqr. The emission lines are single peaked (see Fig. 2), He I (4471, 5876Å) is fairly strong and the Balmer decrement (H$`\alpha `$/H$`\beta `$) appears to be inverted. The continuum emission rising toward the blue and the high He I excitation level generally indicate a fairly high mass accretion rate. However, the weakness of the He II emission and the Balmer reversal are unusual. If FSVSJ1722+2723 is confirmed as a high mass transfer rate dwarf novae, then we can assume MV$``$7-9 which would imply a large distance to FSVSJ1722+2723, in excess of z=1000 pc.

## 4 Conclusion

Using our initial small sample of CV discoveries from two different surveys, we can estimate the total number of faint CVs which may be lurking in the remaining bulk of the datasets. We did not explicitly choose the most obvious or brightest candidates (given our ability to observe them at the NTT with EMMI) from our source lists as a starting point. Thus, our sample should be relatively unbiased in selection from the candidate lists but clearly biased in overall selection criteria as is true of every survey. The FSVS candidates were chosen as blue, variable sources and we found 1 CV out of 13 sources, $``$7% success. The H$`\alpha `$ survey candidates, picked by blue color and expected H$`\alpha `$ emission, netted 1 new CV out of 12 candidates, again $``$7% success. The FSVS has produced a list of $``$1200 CV candidates from the entire dataset (23 sq. degrees) covering the magnitude range of V=16.5-23 (see Huber et al. 2002) while the H$`\alpha `$ survey candidate list of CVs contains $``$500 candidates in three regions (RA,DEC’s 2:30,-30 and 10:40,+5, +10). Taking the $``$7% value as indicative of the success rate for each survey, we estimate that $``$100 additional CVs await discovery within our two survey candidate lists. This large number of low luminosity CVs within our survey areas, if in fact realized, would provide a space density consistent with the large (undiscovered) population predicted by theory (e.g., Howell et al. 2001). However, many additional candidates from these two imaging surveys as well as detailed phase-resolved spectroscopy must be obtained before such claims can verified.

###### Acknowledgements.

We wish to thank Jon Willis, Jorge Miranda and Karla Aubel for their expert help with the instrument and observations at La Silla.