text:
# Compton scattering beyond the impulse approximation.

## I Introduction

Compton scattering is unique among spectroscopic techniques in that it allows direct experimental access to the ground state electron momentum density (EMD) $`\rho (𝐩)`$ of the target many body system 5 ; 6 . Recent high resolution Compton scattering studies using synchrotron light sources have revealed interesting electron correlation effects in a number of materials 9 ; 10 ; 11 ; 12 ; 13 ; al1 ; be3 ; 14 ; 15 ; 16 . The experimental work has been concentrated largely on the measurement of the double differential scattering cross section (for detecting energy transfer and solid angle of the outgoing photon), which yields the so-called Compton profile (CP) related to the two-dimensional (2D) integral of the EMD

$$J(p_z)=\rho (𝐩)𝑑p_x𝑑p_y,$$
(1)
or equivalently a one-dimensional projection of the EMD along the direction of the scattering vector $`p_z`$ of the incident photon.

Form (1) which is used in much of the existing analysis of CP’s is obtained within the framework of the impulse approximation (IA) platzman1 ; 7 . The fundamental scattering process considered in the IA is the scattering of a photon from a collection of free electrons. The IA is expected to be valid when the energy transferred in the scattering process is much larger than the binding energy of the electronic states involved. By its very nature, Eq. (1) lacks a systematic way of taking account of deviations from the IA. With this motivation, our purpose in this article is to consider the general scattering event in which the incoming photon is scattered from a bound many-electron system. We evaluate the resulting partial triple differential scattering cross section rigorously in terms of the so-called Dyson orbitals, which involve overlap of the $`N`$-body initial state wave function with the $`(N1)`$ body wave function of the singly ionized final state with an ejected electron. The physically relevant triple differential scattering cross section is then obtained by summing over final (ionic) states and the steps necessary to recover the IA are clarified. By going beyond the IA, our study provides a systematic scheme for understanding electronic structure and correlation effects via inelastic x-ray scattering (IXS), away from the deeply inelastic regime.

In this connection, it is important to recognize that the standard Compton scattering experiment does not involve the measurement of the kinematics of the outgoing (recoil) electron. This is the reason for the appearance of the 2D integral and the concomitant loss of information about $`\rho (𝐩)`$ in Eq. (1). As was pointed out first by Kaplan and Yudin 17  on the basis of their theoretical studies 18  of Compton scattering on bound electrons of light atoms and molecules, the full three-dimensional (3D) EMD can be determined, if the characteristics of the scattered photon and the ejected electron are measured in coincidence The authors 17 ; 18  have also shown that, if the ejected electrons are selected by energy, the EMD associated with individual electronic states can in principle be obtained.

Although coincidence experiments were undertaken quite early 19 ; 20 , results for 3D EMD were first reported by Bell and collaborators 21 ; 22 ; 23 ; 24 ; 25 ; 26 ; see also related work of Itoh and collaborators 27 ; 28 . Since the cross section for an incident photon to scatter into an outgoing electron and a photon is measured, such a measurement is often referred to as a $`(\gamma ,e\gamma )`$ experiment. From a formal viewpoint, the $`(\gamma ,e\gamma )`$ experiment provides a measurement of the triple differential scattering cross section, for which we present in this article a rigorous many-body expression .

For interpreting experimental CP’s using the IA based formula (1), actual computations in the literature largely employ the independent particle model (IPM). The many-electron wave function underlying the IPM is built from Slater determinants of single-electron orbitals obtained usually via unrestricted Hartree-Fock (UHF) approach or various versions of the density functional theory (DFT). With a growing interest in applying IXS for investigating electronic transitions in highly correlated systems using synchrotron light sources, we should keep in mind that one will need to take account of deviations not only from the IA but also from the IPM. Even in the relatively simple case of Li, substantial deviations in the EMD predicted by the local density approximation have been implicated in explaining the observed discrepancies between the computed and measured CP’s 38 .

Concerning other relevant literature related to the issue of going beyond the IA, several studies have considered the accuracy of the IA in describing core Compton profiles atom1 ; atom2 ; atom3 ; atom4 ; atom5 ; atom6 . A general method for introducing final-state-interaction effects has been discussed by Sears sears  in the context of deep-inelastic neutron scattering. This work also discusses the Björken-scaling and y-scaling properties of the IA which have been particularly useful in particle physics. Recently, high resolution valence Compton profiles (CP’s) of Li at a relatively low photon energy of 8-9 KeV were considered in Refs. sternemann ; soininen . The observed asymmetries in shape and smearing of the Fermi surface features in the CP’s were attributed to the breakdown of the IA. It is further shown that these discrepancies in Li can be understood in terms of a finite width of the final state spectral function111The approach of Refs.sternemann ; soininen  considers the dynamical structure factor in terms of a product of electron and hole single particle spectral functions. The relationship with our approach can be understood by noting that the Dyson orbital considered in this article is related to the hole wavefunction while the ejected electron goes in a high energy continuous state.. To our knowledge, all previous work concerning the breakdown of the IA has been dedicated to understanding the double differential scattering cross section. The present study focuses on the elementary $`(\gamma ,e\gamma )`$ scattering process and provides a clearer picture of the many-body effects and their connection with the IA and the IPM.

An outline of this article is as follows. These introductory remarks are followed in Section II.1 with a rigorous treatment of the partial triple differential scattering cross section in terms of Dyson orbitals. Section II.2 addresses the question of summing over final states to obtain the total triple differential cross section and how it reduces to the IA result proportional to the EMD. Section III makes a few concluding remarks.

## II General expressions for triple differential scattering cross section

### II.1 Partial triple differential cross section

We consider the non-relativistic elementary scattering process in which the incoming photon of energy $`\omega _1`$ (here and throughout this article, natural units, $`\mathrm{}=c=1`$, are assumed implicitly) and momentum $`𝐤_1`$ scatters from the N-electron many body ground state of the solid with energy $`E_0(N)`$. The final state consists of: an outgoing photon with energy $`\omega _2`$ and momentum $`𝐤_2`$; the $`(N1)`$ electron ionized state of the solid characterized by quantum number $`n`$ and energy $`E_n(N1)`$; a recoil electron carrying kinetic energy $`E_e^{(n)}`$ and momentum $`𝐩_n`$. We assume that the momentum transferred to the ionic system is $`𝐪`$ and the associated kinetic energy is neglected given the large mass of the target. The scattering process is illustrated schematically in Fig. 1(a). The total momentum $`𝐤`$ transferred through the scattering of the photon is

$$𝐤=𝐤_1𝐤_2=𝐪+𝐩_n,$$
(2)
where the second equality gives the momentum conservation condition, which is shown also in Fig. 1(b) 222An additional electron can also be knocked off from the ground state producing a doubly ionized state, see J.H. McGuire, J. Wang, and J. Burgdrfer, Phys. Rev. Lett.77, 1723 (1996). Multiple ionization processes are not consider here..

Care is needed in formulating the energy conservation condition. In the standard treatment of the Compton scattering process, one assumes independent electrons with various one-particle energies. However, the preceding discussion makes it clear that the general interacting system is more naturally characterized via the quantum number $`n`$ of the ionized target. Therefore the relvant binding energy $`E_b^{(n)}`$ is

$$E_b^{(n)}=E_n(N1)E_0(N)$$
(3)
in terms of the ground state energy of the N-particle system and that of the $`(N1)`$ particle ionized target. In the one-particle approximation, $`E_b^{(n)}`$ will correspond to the energy of the orbital from which the outgoing electron is ejected. The energy conservation then yields

$$\omega _1\omega _2=E_b^{(n)}+E_e^{(n)}.$$
(4)
In addition to energy and momentum, the total spin is also conserved in the scattering process. If the target is initially in an $`S=0`$ state, then the final state will also be a singlet, while for a magnetized sample in a triplet state, the final state can be a doublet or a quartet.

As shown in Ref. 7 , in the high energy transfer region, where $`\omega _1\omega _2>>E_b^{(n)}`$, the interaction between the electromagnetic field and the target can be approximated by 333The linear interaction term in $`𝐀`$ appears only in the second order cross section formula and can be neglected in the absence of resonances..

$$V_{int}=\frac{e^2}{2mc^2}A^2,$$
(5)
where $`𝐀`$ is the vector potential of the field. Using this form of the interaction, the expression for the double differential Compton scattering cross section in the IA was obtained in Ref. 7 . The IA corresponds in effect to modeling the scattering process as an elastic collision between a photon and an electron of a particular momentum with the target being represented by a distribution of such independent electronic states.

More relevant for our purposes is the treatment of Refs. 17 ; 18 . These authors obtain the cross section for the elementary Compton scattering process (in which the ion is left behind in a specific quantum state) from a many-body molecular system in the nonrelativistic $`A^2`$ approximation of Eq. (5). It is natural to refer to such a cross section as a partial triple differential scattering cross section (PTDSC), since the total triple differential scattering cross section (TTDSC) is obtained by summing the PTDSC over final states (see Section II.2 below). The expression for the PTDSC is 17 ; 18

$$\frac{d^3\sigma _n}{d\omega _2d\mathrm{\Omega }_2d\mathrm{\Omega }_e}=\frac{r_0^2}{2}(1+\mathrm{cos}^2\theta )\frac{\omega _2}{\omega _1}|M^{(n)}|^2\delta (\omega _1\omega _2E_b^{(n)}E_e^{(n)}),$$
(6)
where $`\delta `$ denotes the Kronecker symbol (here and elsewhere in this article) and reflects the energy conservation law in Compton scattering, $`r_0=e^2/mc^2`$ is the classical electron radius, $`\theta `$ is the scattering angle, and

$$M^{(n)}=<\mathrm{\Psi }_f^{(n)}(𝐱_1\mathrm{}.𝐱_N)|\underset{\nu =1}{\overset{N}{}}\mathrm{exp}(i\mathrm{𝐤𝐫}_\nu )|\mathrm{\Psi }_i(𝐱_1\mathrm{}.𝐱_N)>$$
(7)
is the transition matrix element calculated with $`N`$-electron wave functions of initial and final states of the target. Note that expression (6) for the PTDSC assumes an implicit summation over the vibrational states within the framework of the Born-Oppenheimer approximation; in any event, it will be difficult to resolve vibrational levels in the Compton scattering regime 18 ; 41 .

The antisymmetry of the many electron wavefunction implies that the contribution from each term in expression (7) is the same. Therefore, we may replace the summation over $`\nu `$ by the last term, which corresponds to the ejection of the $`N`$-th electron, yielding

$$M^{(n)}=N<\mathrm{\Psi }_f^{(n)}(𝐱_1\mathrm{}.𝐱_N)|\mathrm{exp}(i\mathrm{𝐤𝐫}_N)|\mathrm{\Psi }_i(𝐱_1\mathrm{}.𝐱_N)>.$$
(8)
We assume now that the initial state possesses a total spin $`S=0`$, as is the case in most nonmagnetic materials. The final state will then be a singlet state (due to spin conservation in the Compton scattering process) and the associated antisymmetric singlet wave function can be represented as

$`\mathrm{\Psi }_f^{(n)}(𝐱_1\mathrm{}.𝐱_N)`$ $`=`$ $`\widehat{𝒜}{\displaystyle \frac{1}{\sqrt{2}}}[\mathrm{\Psi }_{n\alpha }(𝐱_1\mathrm{}.𝐱_{N1})\psi _{𝐩\beta }(𝐱_N)`$ (9)
$`\mathrm{\Psi }_{n\beta }(𝐱_1\mathrm{}.𝐱_{N1})\psi _{𝐩\alpha }(𝐱_N)].`$
Here $`\psi _{𝐩\sigma }(𝐱_N)`$ is the wave function of the ejected electron with momentum $`𝐩_n`$ and spin projection $`\sigma `$ that can accept only two values: $`\sigma =1/2`$ denoted by $`\alpha `$ and $`\sigma =1/2`$ by $`\beta `$. $`\mathrm{\Psi }_{n\alpha }`$ and $`\mathrm{\Psi }_{n\beta }`$ are the two doublet components of the $`(N1)`$-electron ionic wave function in the $`n`$-th quantum state (in the one-electron picture, this describes an ion with a hole in the $`n`$-th shell). The ionic states are the eigenstates of the $`(N1)`$-electron Hamiltonian. $`\widehat{𝒜}`$ is an antisymmetrization operator given by

$$\widehat{𝒜}=\frac{1}{\sqrt{N}}(1\underset{\nu =1}{\overset{N1}{}}P_{\nu N}),$$
(10)
where the permutation $`P_{\nu N}`$ transposes the ejected $`N`$th electron with the $`\nu `$th electron in the ion.

Substituting the final state wave function (9) into Eq. (8) and invoking the condition of strong orthogonality

$$\begin{array}{c}[\mathrm{\Psi }_{n\alpha }(𝐱_1\mathrm{}.𝐱_{N1})\psi _{𝐩\beta }(𝐱_N)\\ \mathrm{\Psi }_{n\beta }(𝐱_1\mathrm{}.𝐱_{N1})\psi _{𝐩\alpha }(𝐱_N)]|\mathrm{\Psi }_i(𝐱_1\mathrm{}.𝐱_N)=0\end{array}$$
(11)
for all $`i`$, we obtain

$$\begin{array}{ccc}M^{(n)}=& \sqrt{\frac{N}{2}}<[\mathrm{\Psi }_{n\alpha }(𝐱_1\mathrm{}.𝐱_{N1})\psi _{𝐩\beta }(𝐱_N)& \\ & \mathrm{\Psi }_{n\beta }(𝐱_1\mathrm{}.𝐱_{N1})\psi _{𝐩\alpha }(𝐱_N)]|\mathrm{exp}(i\mathrm{𝐤𝐫}_N)& \\ & |\mathrm{\Psi }_i(𝐱_1\mathrm{}.𝐱_N)>.& \end{array}$$
(12)
This can be represented in terms of the Dyson spin-orbitals 42 ; 43 ; 43bis ; 44 ; 45 , defined by

$$g_n(𝐱_N)=\sqrt{N}\mathrm{\Psi }_n(𝐱_1\mathrm{}.𝐱_{N1})^{}\mathrm{\Psi }_0(𝐱_1\mathrm{}.𝐱_N)d𝐱_1\mathrm{}.d𝐱_{N1},$$
(13)
where the integration over $`d𝐱_i`$ includes a summation over the spin coordinates. The Dyson spin-orbitals $`g_n(𝐱_N)`$ may thus be thought of as generalized overlap amplitudes between the ground state and the ionized states of the many body system. They naturally appear in the spectral resolution of the one-particle Green function 46 ; 47 , and have been exploited successfully in some studies of ionization of atomic and molecular systems by electromagnetic radiation or fast electrons del1 ; del2 ; del3 . Note that in general Dyson orbitals do not form an orthonormal set. Some authors 45  define Dyson orbitals without the pre-factor of $`\sqrt{N}`$. The Dyson spin-orbital with the spin projection $`\sigma `$ may be written in terms of the spin function $`\sigma (\zeta )`$ as

$$g_n(𝐱_N)=g_n(𝐫_N,\sigma (\zeta _N))=g_n(𝐫_N)\sigma (\zeta _N).$$
(14)
The wave function of the ejected electron similarly is

$$\psi _{𝐩_n\alpha }(𝐱_N)=\psi _{𝐩_n}(𝐫_N)\alpha (\zeta _N).$$
(15)
Introducing definition (13) into Eq. (12) and performing spin integration, we obtain a compact general expression for the transition matrix element

$$M^{(n)}=\sqrt{2}g_n(𝐫)\mathrm{exp}(i\mathrm{𝐤𝐫})\varphi _{𝐩_n}^{}(𝐫)𝑑𝐫.$$
(16)
In the region of large energy transfer, Eq. (16) provides an exact expression for the matrix element in terms of the Dyson orbital $`g_n(𝐱_N)`$ and the wave function of the ejected electron in the potential field of the ion. Electron correlation effects enter through $`g_n(𝐱_N)`$ and can be included in any particular scheme to the extent to which these are incorporated in the computation of this quantity. In general, Dyson orbitals can be expanded into linear combinations of Hartree-Fock or other one-particle wave functions. In the so-called diagonal approximation, the Dyson orbital is equal to the square root of the pole strength times the HF orbital 43bis ; 45 , and can be calculated using special code 48  implemented into the Gaussian-98 program suite 49 ; see also Ref. 50 .

Under the condition $`\omega _1\omega _2>>E_b^{(n)}`$, the wave function of ejected electron $`\varphi _{𝐩_n}(𝐫)`$ may be approximated as a plane wave

$$\varphi _{𝐩_n}(𝐫)=\frac{1}{(2\pi )^{3/2}}\mathrm{exp}(i𝐩_n𝐫),$$
(17)
allowing the transition matrix element to be expressed via the Dyson orbital $`g_n(𝐪)`$ in momentum space

$$M^{(n)}=\frac{1}{2\pi ^{3/2}}g_n(𝐫)\mathrm{exp}(i\mathrm{𝐪𝐫})𝑑𝐫=\sqrt{2}g_n(𝐪),$$
(18)
Here, $`𝐪=𝐤𝐩_n`$ is the momentum transferred to the ion. Since the ejected electron is considered as being free (with energy $`p_n^2/2m`$), the absolute value of the vector $`𝐩_n`$ is completely determined by the energy conservation law and is equal to

$$p_n=\sqrt{2m(\omega _1\omega _2E_b^{(n)})}.$$
(19)
The direction of the vector $`𝐩_n`$ is undetermined so that only the maximum and minimum values of the vector $`𝐪`$ are constrained as follows

$$|kp_n|qk+p_n.$$
(20)
In this sense, vector $`𝐪`$ involves an implicit dependence on the index $`n`$.

Using Eqs. (17) and (6), we obtain the final expression for the PTDSC where the ion is created in a definite electronic state $`n`$ as

$$\frac{d^3\sigma _n}{d\omega _2d\mathrm{\Omega }_2d\mathrm{\Omega }_e}=r_0^2(1+\mathrm{cos}^2\theta )\frac{\omega _2}{\omega _1}|g_n(𝐪)|^2\delta (\omega _1\omega _2E_b^{(n)}\frac{p_n^2}{2m}).$$
(21)
Note that here the independent particle approximation (IPM) is not invoked. In the IPM, the Fourier component of the Dyson orbital in Eq. (21) reduces to the Fourier component of the Hartree-Fock or the Kohn-Sham orbital from which the electron is removed. Moreover, aside from the use of the plane wave form (17) for the ejected electron wave function, expression (21) does not invoke the impulse approximation.

The determination of the PTDSC and $`g_n(𝐪)`$ in Eq. (21) requires measurements of the angular and energy characteristics of both the scattered photon and the ejected electron taken in coincidence. In order to understand the relevant experimental geometries, it is helpful to refer to the momentum conservation condition depicted in Fig. 1b above. Kaplan and Yudin 17  suggested a scheme in which the characteristics of the outgoing photon beam (i.e. the angle $`\theta `$ and energy $`\omega _2`$ in Fig. 1(a)) are fixed, but the angle $`\theta _e`$ of the ejected electron is varied to access different $`𝐪`$-values. The fixed value of $`\omega _2`$ should be selected near the peak of the Compton line 17 ; 18  (i.e. close to the value given by the Compton formula for the scattering from a free electron at rest). By measuring the energy of the ejected electron then, one can, in principle, select the specific quantum state $`n`$ involved in the scattering process through the energy conservation condition (4). Another approach, followed more recently by Itoh and collaborators, is to fix the position of the electron as well as the photon detector (i.e. the angles $`\theta `$ and $`\theta _e`$ in Fig. 1(a)), but energy analyze both the scattered photon and the recoil electron in coincidence 27 ; 28 .

### II.2 Summation over final states

The TTDSC is obtained from Eq. (21) by summing over the available final states $`n`$ as 444The occupied Dyson orbitals $`g_n`$ are defined via the overlap of the $`N`$-electron ground state wavefunction and the $`(N1)`$-electron ionized states. Similary one can define unoccupied Dyson orbitals $`f_n`$ by considering states of the system with an additional added electron.

$`{\displaystyle \frac{d^3\sigma }{d\omega _2d\mathrm{\Omega }_2d\mathrm{\Omega }_e}}=r_0^2(1+\mathrm{cos}^2\theta ){\displaystyle \frac{\omega _2}{\omega _1}}`$
$`\times {\displaystyle \underset{n}{}}|g_n(𝐪)|^2\delta (\omega _1\omega _2E_b^{(n)}{\displaystyle \frac{p_n^2}{2m}}).`$ (22)
In the high-energy transfer region, $`\omega _1\omega _2>>E_b^{(n)}`$, the binding energy in the Kronecker $`\delta `$-function on the right hand side may be neglected, so that the absolute value of momentum $`𝐩_n`$ in Eq. (19) becomes independent of $`n`$ and the summation over $`n`$ simplifies to yield

$`{\displaystyle \underset{n}{}}|g_n(𝐪)|^2\delta (\omega _1\omega _2E_b^{(n)}{\displaystyle \frac{p_n^2}{2m}})`$ $`=`$
$`\delta (\omega _1\omega _2{\displaystyle \frac{p_e^2}{2m}}){\displaystyle \underset{n}{}}|g_n(𝐪)|^2,`$ (23)
where $`𝐩_n`$ is replaced by $`𝐩_e`$ to emphasize that the momentum of the outgoing electron is independent of state $`n`$.

The sum of $`|g_n(𝐪)|^2`$ over all occupied states $`n`$ can be expressed via the one-particle reduced density matrix 51 ; 52 ; 53  for an $`N`$-electron system defined as

$$\begin{array}{c}\mathrm{\Gamma }_1(𝐫;𝐫^{})=N\mathrm{\Psi }(𝐱_1\mathrm{}.𝐱_{N1},𝐫,\zeta )^{}\mathrm{\Psi }(𝐱_1\mathrm{}.𝐱_{N1},𝐫^{},\zeta )\\ \times d𝐱_1\mathrm{}.d𝐱_{N1}d\zeta .\end{array}$$
(24)
In the momentum space

$$\mathrm{\Gamma }_1(𝐪;𝐪)=\frac{1}{(2\pi )^3}\mathrm{\Gamma }_1(𝐫,𝐫^{})\mathrm{exp}(i𝐪(𝐫𝐫^{}))𝑑𝐫𝑑𝐫^{}.$$
(25)
We now recall the following decomposition of the one-particle reduced density matrix 47

$$\mathrm{\Gamma }_1(𝐫;𝐫^{})=\underset{n}{}g_n(𝐫)g_n(𝐫^{})^{}.$$
(26)
Substituting this decomposition into Eq. (25), one obtains

$$\underset{n}{}|g_n(𝐪)|^2=(2\pi )^3\mathrm{\Gamma }_1(𝐪;𝐪)(2\pi )^3\rho (𝐪).$$
(27)
Thus, in the high-energy transfer region, the TTDSC is directly related to the 3D EMD as follows

$$\frac{d^3\sigma }{d\omega _2d\mathrm{\Omega }_2d\mathrm{\Omega }_e}=(2\pi )^3r_0^2(1+\mathrm{cos}^2\theta )\frac{\omega _2}{\omega _1}\rho (𝐪)\delta (\omega _1\omega _2\frac{p_e^2}{2m}).$$
(28)
It is this TTDSC that is measured in the $`(\gamma ,e\gamma )`$ experiments by Bell and collaborators 24 ; 25 ; 26 , issues of experimental resolution notwithstanding. Note however that there is an interesting difference in the way the momentum density factor $`\rho `$ occurs in Eq. (28) compared to the analytical expressions employed by Refs. 24 ; 25 ; 26 . In our case, the EMD ($`\rho (𝐪)`$) is sampled at the momentum

$$𝐪=𝐤𝐩_e,$$
(29)
which is the momentum transferred to the ion, whereas in the cross section of Refs. 24 ; 25 ; 26 ; 27 ; 28 , the EMD involved is $`\rho (𝐩)`$, where $`𝐩`$ is the initial momentum of the electron before scattering. The reason is that the study of Refs. 24 ; 25 ; 26  is based on the formulae of Ribberfors 39  for double differential cross sections in the IA. As already noted, in the IA the scattering is the same as for free electrons, but weighted with the probability with which the plane-wave state of momentum $`𝐩`$ occurs in the ground state. For a system of bound particles, this picture does not constitute a useful starting point, and our more general treatment indicates that the quantity that occurs naturally is the momentum $`𝐪`$ transferred to the ion. Nevertheless, in the IA, the two pictures are equivalent because in this regime, from momentum conservation, one obtains:

$$𝐩+𝐤_1=𝐩_e+𝐤_2$$
(30)
or equivalently

$$𝐩=𝐩_e𝐤.$$
(31)
Comparing Eq. (29) and (31), we see that in the high energy transfer limit, $`𝐪`$ and $`𝐩`$ differ only by direction (they are opposite), as the outgoing electron loses all memory of the bound state it came from. The range of $`q`$ in formula (20) becomes

$$0q2k.$$
(32)
Thus, the maximum momentum transferred to the ion is given by $`2k`$. In the IA, $`2k`$ may be interpreted as the highest momentum of an electron in the initial system that can be ejected.

## III Summary and Conclusions

We start by considering the elementary process involved in Compton scattering, namely, the scattering of an incoming photon from the ground state of an $`N`$-electron target to yield a final state containing a singly ionized target with $`(N1)`$ electrons in a specific quantum state together with an outgoing photon and an ejected electron. The associated PTDSC (partial triple differential scattering cross section) is obtained rigorously without resorting to the approximations inherent in either the IA or the IPM. It is shown that the PTDSC can be expressed in terms of the Dyson orbitals, which give the overlap between the wave function of the ground state of the $`N`$-electron initial system with the $`(N1)`$ electron ionized final state wave function. The TTDSC (total triple differential scattering cross section) is then obtained by summing over final states, which is equivalent to summing over the occupied Dyson orbitals. Interestingly, in our general treatment, the momentum that plays a fundamental role in the formula for the cross section is the momentum $`𝐪`$ transferred to the ion in the scattering process and not the momentum $`𝐩`$ associated with the electronic system as is the case in the IA based treatment. We show how in the limiting case of the high energy transfer regime, our formalism reduces to the standard IA description. Although our treatment is non-relativistic, extension to the relativistic case is straightforward by using relevant results in the literature 39 ; rel .Our formalism will permit the analysis and interpretation of electronic transitions in correlated electron systems via IXS beyond the constraints of the IA and the IPM.

###### Acknowledgements.

We are grateful to N. Dobrodey, J.V. Ortiz, and V. Zakrzewski for useful discussions concerning the Dyson orbitals. This research was supported by the project 32227-E CONACyT (Mexico) and by the US Department of Energy under contract DE-AC03-76SF00098.

Figure Caption

Figure 1: (a) Schematic diagram of the elementary scattering event involved in the Compton scattering process. The incoming photon scatters from the target to produce an outgoing photon and an electron and leaves the singly ionized target (not shown) in a definite quantum state denoted by index $`n`$. The notation for kinematic variables is obvious. (b) Momentum conservation in the process of Fig. 1(a), where $`𝐪`$ is the momentum transferred to the ionized target.


format: text

text:
# Classification of simple modules over degenerate double Affine Hecke algebras of type 𝐴

## 1. Affine root system

Through this paper, we use the notation

$$[i,j]=\{i,i+1,\mathrm{},j\}$$

for $`i,j`$ with $`i<j`$.

Fix $`n_{>0}`$. Let $`\stackrel{~}{𝔥}`$ be an $`(n+2)`$-dimensional vector space over $``$ with the basis $`\{ϵ_1^{},ϵ_2^{},\mathrm{},ϵ_n^{},c,d\}`$: $`\stackrel{~}{𝔥}=_{i=1}^nϵ_i^{}cd`$.

Introduce the non-degenerate symmetric bilinear form $`(|)`$ on $`\stackrel{~}{𝔥}`$ by

$`(ϵ_i^{}|ϵ_j^{})`$ $`=\delta _{ij},(ϵ_i^{}|c)=(ϵ_i^{}|d)=0,`$
$`(c|d)`$ $`=1,(c|c)=(d|d)=0.`$
Put $`𝔥=_{i=1}^nϵ_i^{}`$ and $`\dot{𝔥}=𝔥c`$.

Let $`\stackrel{~}{𝔥}^{}=_{i=1}^nϵ_ic^{}\delta `$ be the dual space of $`\stackrel{~}{𝔥}`$, where $`ϵ_i`$, $`c^{}`$ and $`\delta `$ are the dual vectors of $`ϵ_i^{}`$, $`c`$ and $`d`$ respectively.

We identify the dual space $`\dot{𝔥}^{}`$ (resp. $`𝔥^{}`$) of $`\dot{𝔥}`$ (resp. $`𝔥`$) as a subspace of $`\stackrel{~}{𝔥}^{}`$ via the identification $`\dot{𝔥}^{}=\stackrel{~}{𝔥}^{}/\delta 𝔥^{}c^{}`$ (resp. $`𝔥^{}=\stackrel{~}{𝔥}^{}/(c^{}\delta )_{i=1}^nϵ_i`$).

The natural pairing is denoted by $`|:\stackrel{~}{𝔥}^{}\times \stackrel{~}{𝔥}`$. There exists an isomorphism between $`\stackrel{~}{𝔥}^{}`$ and $`\stackrel{~}{𝔥}`$ such that $`ϵ_iϵ_i^{}`$, $`\delta c`$ and $`c^{}d`$. We denote by $`\zeta ^{}\stackrel{~}{𝔥}`$ the image of $`\zeta \stackrel{~}{𝔥}^{}`$ under this isomorphism.

Put $`\alpha _{ij}=ϵ_iϵ_j(1ijn)`$ and $`\alpha _i=\alpha _{ii+1}(1in1)`$. Then

$`R`$ $`=\{\alpha _{ij}1ijn\},R^+=\{\alpha _{ij}1i<jn\},`$
$`\mathrm{\Pi }`$ $`=\{\alpha _1,\mathrm{},\alpha _{n1}\}`$
give the system of roots, positive roots and simple roots of type $`A_{n1}`$ respectively.

Put $`\alpha _0=\alpha _{1n}+\delta `$, and define the system $`\dot{R}`$ of roots, $`\dot{R}^+`$ of positive roots and $`\dot{\mathrm{\Pi }}`$ of simple roots of type $`A_{n1}^{(1)}`$ by

$$\begin{array}{c}\dot{R}=\left\{\alpha +k\delta \right|\alpha R,k\},\hfill \\ \dot{R}^+=\left\{\alpha +k\delta \right|\alpha R^+,k_0\}\left\{\alpha +k\delta \right|\alpha R^+,k_{>0}\},\hfill \\ \dot{\mathrm{\Pi }}=\{\alpha _0,\alpha _1,\mathrm{},\alpha _{n1}\}.\hfill \end{array}$$

## 2. Affine Weyl group

Let $`Q`$ denote the root lattice $`_{i=1}^{n1}\alpha _i`$ and let $`P`$ denote the weight lattice $`_{i=1}^nϵ_i`$ of $`𝔤l_n`$. Let $`W_n`$ denote the Weyl group of $`𝔤l_n`$, which is isomorphic to the symmetric group $`𝔖_n`$.

The extended affine Weyl group $`\dot{W}_n`$ (resp. the affine Weyl group $`\dot{W}_n^{}`$) of $`\widehat{𝔤l}_n`$ is defined as the semidirect product of $`W_n`$ and $`P`$ (resp. $`Q`$) with the relation $`wt_\eta w^1=t_{w(\eta )}`$, where $`w`$ and $`t_\eta `$ are the elements in $`\dot{W}`$ corresponding to $`wW`$ and $`\eta P`$ (resp. $`Q`$). In the following, we simply denote $`\dot{W}=\dot{W}_n,\dot{W}^{}=\dot{W}_n^{}`$ and $`W=W_n`$.

Let $`s_\alpha W`$ denote the reflection corresponding to $`\alpha R`$. For an affine root $`\beta =\alpha +k\delta \dot{R}(\alpha R,k)`$, define the corresponding affine reflection by $`s_\beta =t_{k\alpha }s_\alpha `$.

Put $`s_i=s_{\alpha _i}`$ for $`i[0,n1]`$ and put $`\pi =t_{ϵ_1}s_1\mathrm{}s_{n1}`$. The following fact is well-known.

###### Proposition 2.1.

$`(\mathrm{i})`$ The group $`\dot{W}`$ is isomorphic to the group defined by the following generators and relations$`:`$

$$\begin{array}{ccc}\text{generators}& :& s_i(i[0,n1]/n),\pi ^{\pm 1}.\hfill \\ \text{relations}& :& s_i^2=1,\hfill \\ & & s_is_{i+1}s_i=s_{i+1}s_is_{i+1}(i/n),\hfill \\ & & s_is_j=s_js_i(ij\pm 1modn),\hfill \\ & & \pi s_i=s_{i+1}\pi (i/n),\hfill \\ & & \pi \pi ^1=\pi ^1\pi =1.\hfill \end{array}$$

$`(\mathrm{ii})`$ The subgroup $`\dot{W}^{}`$ is generated by the simple reflections $`s_0,s_1,\mathrm{},s_{n1}`$.

The action of $`\dot{W}`$ on $`\stackrel{~}{𝔥}`$ is given by the following formulas:

(2.1)
$$\begin{array}{c}s_\alpha \left(h\right)=h\alpha |h\alpha ^{}(\alpha \dot{R},h\stackrel{~}{𝔥}),\hfill \\ \pi (ϵ_i^{})=ϵ_{i+1}^{}(i[1,n1]),\pi (ϵ_n^{})=ϵ_1^{}c,\hfill \\ \pi (c)=c,\pi (d)=d.\hfill \end{array}$$

It follows that the action of $`t_\eta `$ $`(\eta P)`$ is given by

$`t_\eta (h)=h+\delta |h\eta ^{}\left(\eta |h+{\displaystyle \frac{1}{2}}(\eta |\eta )\delta |h\right)c.`$
The dual action on $`\stackrel{~}{𝔥}^{}`$ is given by

$$\begin{array}{c}s_\alpha (\zeta )=\zeta (\alpha |\zeta )\alpha (\alpha \dot{R},\zeta \stackrel{~}{𝔥}^{}),\hfill \\ t_\eta (\zeta )=\zeta +(\delta |\zeta )\eta \left((\eta |\zeta )+\frac{1}{2}(\eta |\eta )(\delta |\zeta )\right)\delta (\eta P,\zeta \stackrel{~}{𝔥}^{}),\hfill \\ \pi (ϵ_i)=ϵ_{i+1}(i[1,n1]),\pi (ϵ_n)=ϵ_1^{}\delta ,\hfill \\ \pi (c^{})=c^{},\pi (\delta )=\delta .\hfill \end{array}$$

With respect to these actions, the inner products on $`\stackrel{~}{𝔥}`$ and $`\stackrel{~}{𝔥}^{}`$ are $`\dot{W}`$-invariant.

Note that the subspace $`\dot{𝔥}=𝔥c`$ is preserved by $`\dot{W}`$, and that the dual action of $`\dot{W}`$ on $`\dot{𝔥}^{}`$ (called the affine action) is given by

(2.2)
$$\begin{array}{c}s_\alpha \left(\zeta \right)=\zeta (\alpha |\zeta )\alpha ,\hfill \\ t_\eta (\zeta )=\zeta +(\delta |\zeta )\eta \hfill \end{array}$$

for $`\zeta \dot{𝔥}^{}`$, $`\alpha \dot{R}`$ and $`\eta P`$.

For $`w\dot{W}`$, set

$$R(w)=\dot{R}^+w^1\dot{R}^{},$$

where $`\dot{R}^{}=\dot{R}\dot{R}^+`$. The length $`l(w)`$ of $`w\dot{W}`$ is defined as the number $`\mathrm{}R(w)`$ of the elements in $`R(w)`$. For $`w\dot{W}`$, an expression $`w=\pi ^ks_{j_1}\mathrm{}s_{j_m}`$ is called a reduced expression if $`m=l(w)`$. It can be seen that

(2.3)
$$R(w)=\{s_{j_m}\mathrm{}s_{j_2}(\alpha _{j_1}),s_{j_m}\mathrm{}s_{j_3}(\alpha _{j_2}),\mathrm{},\alpha _{j_m}\}$$

if $`w=\pi ^ks_{j_1}\mathrm{}s_{j_m}`$ is a reduced expression.

The partial ordering $``$ is defined in the Coxeter group $`\dot{W}^{}`$ as follows: $`ww^{}`$ $``$ $`w`$ can be obtained as a subexpression of a reduced expression of $`w^{}`$. Extend this ordering $``$ to the partial ordering in $`\dot{W}`$ by $`\pi ^kw\pi ^k^{}w^{}k=k^{}\text{ and }ww^{}`$ ($`k,k^{},w,w^{}\dot{W}^{}`$).

Let $`I`$ be a subset of $`[0,n1]`$. Put

$`\dot{\mathrm{\Pi }}_I`$ $`=\{\alpha _iiI\}\dot{\mathrm{\Pi }},`$
$`\dot{W}_I`$ $`=s_i;iI\dot{W},`$
$`\dot{R}_I`$ $`=\{\alpha \dot{R}s_\alpha \dot{W}_I\}.`$
Note that $`\dot{W}_I`$ is the parabolic subgroup corresponding to $`\dot{\mathrm{\Pi }}_I`$. Define

$$\dot{W}^I=\{w\dot{W}R(w)\dot{R}^+(\dot{R}^+\dot{R}_I)\}.$$

The following fact is well-known.

###### Proposition 2.2.

For any $`w\dot{W}`$, there exist a unique $`w_1\dot{W}^I`$ and a unique $`u\dot{W}_I`$, such that $`w=w_1u`$. Their length satisfy $`l(w)=l(w_1)+l(u)`$. In particular, the set $`\dot{W}^I`$ gives a complete set of representatives in the coset $`\dot{W}/\dot{W}_I`$.

In the case $`I[1,n1]`$, we can define $`W_I(=\dot{W}_I)`$ and $`W^IW`$ analogously, and similar statements as Proposition 2.2 hold for them.

Put $`P^{}=\{\xi P(\xi \alpha )0\text{ for any }\alpha R^+\}.`$

###### Lemma 2.3.

Let $`\eta P`$. Let $`y`$ be a shortest element of $`W`$ such that $`y(\eta )P^{}`$. Then $`R(y)=\{\alpha R^+(\eta \alpha )>0\}.`$

Proof. Let $`\alpha R(y)=R^+y^1R^{}`$. Then $`(\eta \alpha )=(y(\eta )y(\alpha ))0`$. If $`(\eta \alpha )=0`$ then $`s_\alpha (\eta )=\eta `$. Hence we have $`ys_\alpha (\eta )P^{}`$ and $`l(ys_\alpha )<l(y)`$. This contradicts to the choice of $`y`$. Therefore we have $`(\eta \alpha )>0`$ and hence $`R(y)\{\alpha R^+(\eta \alpha )>0\}`$. It is easier to show the opposite inclusion. $`\mathrm{}`$

We denote by $`y_\eta `$ the (unique) shortest element of $`W`$ such that $`y_\eta (\eta )P^{}`$.

The following proposition follows from Proposition 2.2 and Lemma 2.3. We omit the detailed proof.

###### Lemma 2.4.

$`(\text{[AST]})`$ $`(\mathrm{i})`$ We have $`\dot{W}^{[1,n1]}=\{t_\eta y_\eta ^1\eta P\}.`$

$`(\mathrm{ii})`$ For a subset $`I[1,n1],`$ we have

$$\dot{W}^I=\dot{W}^{[1,n1]}W^I.$$

Moreover, $`l(w)=l(t_\eta y_\eta ^1)+l(u)`$ for $`w=t_\eta y_\eta ^1u`$ $`(\eta P`$, $`uW^I)`$.

## 3. Degenerate double affine Hecke algebra

Let $`[\dot{W}]`$ denote the group algebra of $`\dot{W}`$ and let $`S(\dot{𝔥})`$ denote the symmetric algebra of $`\dot{𝔥}=𝔥c`$.

The degenerate double affine Hecke algebra was introduced by Cherednik \[Ch1\].

###### Definition 3.1.

The degenerate double affine Hecke algebra $`\dot{H}_n`$ of $`𝔤l_n`$ is the unital associative $``$-algebra defined by the following properties:

(i) As a $``$-vector space,

$$\ddot{H}_n=[\dot{W}]S(\dot{𝔥}).$$

(ii) The natural inclusions $`[\dot{W}]\ddot{H}_n`$ and $`S(\dot{𝔥})\ddot{H}_n`$ are algebra homomorphisms (the images of $`w\dot{W}`$ and $`h\dot{𝔥}`$ will be simply denoted by $`w`$ and $`h`$).

(iii) The following relations hold in $`\ddot{H}_n`$:

(3.1) $`s_\alpha hs_\alpha (h)s_\alpha =\alpha |h(\alpha \dot{R},h\dot{𝔥}),`$
(3.2) $`\pi h=\pi (h)\pi (h\dot{𝔥}).`$
By definition, the element $`c\ddot{H}_n`$ belongs to the center $`𝒵(\ddot{H}_n)`$ of $`\ddot{H}_n`$. For $`\kappa ^{}`$, we set $`\ddot{H}_n(\kappa )=\ddot{H}_n/c\kappa `$.

###### Definition 3.2.

Define the degenerate affine Hecke algebra $`\dot{H}_n`$ as the subalgebra of $`\ddot{H}_n`$ generated by the elements in $`W`$ and the elements in $`𝔥`$:

$$\dot{H}_n=[W]S(𝔥)\ddot{H}_n.$$

###### Proposition 3.3.

For $`w\dot{W}`$ and $`h\dot{𝔥}`$, we have

$$hw=w\left(w^1(h)+\underset{\alpha R(w)}{}w(\alpha )|hs_\alpha \right).$$

In particular, $`hw=ww^1(h)+_{w^{}w}c_w^{}w^{}`$ for some $`c_w^{}`$.

Proof. The statement is shown by by the induction on $`l(w)`$ using the fact that $`R(s_iw)=R(w)\{w^1(\alpha _i)\}`$ if $`l(s_iw)=l(w)+1`$. $`\mathrm{}`$

It is easy to verify the following proposition directly (see e.g. \[AST, Lu1\]).

###### Proposition 3.4.

(i) The center of $`\ddot{H}_n`$ is given by $`𝒵(\ddot{H}_n)=[c]`$.

(ii) The center of $`\dot{H}_n`$ is given by

$$𝒵(\dot{H}_n)=\{\xi S(𝔥)w(\xi )=\xi \text{ for all }wW\}.$$

For $`i`$, we introduce the following notations:

(3.3) $`ϵ_i`$ $`=ϵ_{\underset{¯}{i}}k\delta \stackrel{~}{𝔥}^{},ϵ_i^{}=ϵ_{\underset{¯}{i}}^{}kc\stackrel{~}{𝔥},`$
where $`i=\underset{¯}{i}+kn`$ with $`\underset{¯}{i}[1,n]`$ and $`k`$.

Put $`\alpha _{ij}=ϵ_iϵ_j`$ (and $`\alpha _{ij}^{}=ϵ_i^{}ϵ_j^{}`$) for any $`i,j`$. Note that

$$\begin{array}{cc}\alpha _{ij}\dot{R}\hfill & ij\text{ mod }n,\hfill \\ \alpha _{ij}\dot{R}^+\hfill & ij\text{ mod }n\text{ and }i<j.\hfill \end{array}$$

Let $`J=\{j_1,j_2,\mathrm{},j_m\}`$ be a subset of $``$ such that $`\alpha _{j_aj_b}=ϵ_{j_a}ϵ_{j_b}\dot{R}`$ for $`ab`$. Then, in particular, we have $`mn`$.

Define $`\dot{H}_J`$ to be the subalgebra of $`\ddot{H}_n`$ generated by

$$ϵ_{j_1}^{},ϵ_{j_2}^{},\mathrm{},ϵ_{j_m}^{},s_{\alpha _{j_1j_2}},s_{\alpha _{j_2j_3}},\mathrm{},s_{\alpha _{j_{m1}j_m}}.$$

The following lemma will be used later.

###### Lemma 3.5.

Let $`J=\{j_1,j_2,\mathrm{},j_m\}`$ be a subset of $``$ such that $`j_aj_b`$ mod $`n`$ for $`ab`$. Suppose that $`j_1<j_2<\mathrm{}<j_m`$. Then, the algebra $`\dot{H}_J`$ is isomorphic to the degenerate affine Hecke algebra $`\dot{H}_m`$ of $`𝔤l_m`$.

Proof. Note that $`\alpha _{j_aj_{a+1}}\dot{R}^+`$ for all $`a[1,m1]`$. Using Proposition 3.3, it is verified that there exists an algebra homomorphism $`\dot{H}_m\dot{H}_J`$ such that $`ϵ_i^{}ϵ_{j_i}^{}`$ $`(i[1,m])`$ and $`s_is_{\alpha _{j_ij_{i+1}}}`$ $`(i[1,m1])`$. This gives an isomorphism. $`\mathrm{}`$

###### Example 3.6.

We have $`\dot{H}_{[1,n]}=\dot{H}_n`$ by definition. More generally, we have $`\dot{H}_{[j,j^{}]}\dot{H}_{j^{}j+1}`$ for any $`j,j^{}`$ such that $`j^{}j[1,n1]`$.

## 4. Set of parameters and affine Weyl group

We introduce some sets of parameters, which will index representations of $`\ddot{H}_n.`$

Fix $`p_{>0}`$. Put $`C_p(n)=\{(r_1,\mathrm{},r_p)(_0)^p_{i=1}^pr_i=n\}`$, and set

(4.1) $`_p`$ $`=\{(\lambda ,\mu )^p\times ^p\lambda \mu C_p(n)\},`$
(4.2) $`_p^{}`$ $`=\{(\lambda ,\mu )_p\lambda _i\mu _i>0\text{ for all }i[1,p]\}.`$
We denote the extended affine Weyl group of $`𝔤l_p`$ by $`\dot{𝔖}_p`$ instead of $`\dot{W}_p`$ in order to avoid confusion. The elements of $`\dot{𝔖}_p`$ corresponding to $`s_i,\pi `$ and $`t_{ϵ_i}`$ are denoted by $`\sigma _i,\varpi _p`$ and $`t_{e_i}`$ respectively. ($`\{e_i\}_{i[1,p]}`$ is the generators of the weight lattice $`P_p`$ of $`𝔤l_p`$: $`P_p=_{i=1}^pe_i`$.) We put $`\dot{𝔖}_1=\varpi _1`$ for convenience. The subgroups corresponding to $`\dot{W}_p^{}`$ and $`W_p`$ are denoted by $`\dot{𝔖}_p^{}`$ and $`𝔖_p`$ respectively:

$$\dot{𝔖}_p^{}=\sigma _0,\sigma _1,\mathrm{},\sigma _{p1},𝔖_p=\sigma _1,\mathrm{},\sigma _{p1}.$$

For $`\kappa `$, there exists an action of $`\dot{𝔖}_p`$ on the set $`^p`$ which is given by

$`\sigma _i\lambda =(\lambda _1,\mathrm{},\lambda _{i+1}1,\lambda _i+1,\mathrm{},\lambda _p)(i[1,p1]),`$
$`\sigma _0\lambda =(\lambda _p+\kappa p+1,\lambda _2,\mathrm{},\lambda _{p1},\lambda _1\kappa +p1),`$
$`\varpi _p\lambda =(\lambda _p+\kappa p+1,\lambda _1+1,\mathrm{},\lambda _{p1}+1)`$
for $`\lambda =(\lambda _1,\lambda _2,\mathrm{},\lambda _p)^p`$. It follows that the action of $`t_{e_i}`$ is given by

$$t_{e_i}\lambda =(\lambda _1,\mathrm{},\lambda _i+\kappa ,\mathrm{},\lambda _p)(i[1,p]).$$

If $`\kappa `$, then this action preserves $`^p`$ and induces an action of $`\dot{𝔖}_p`$ on $`_p`$ and $`_p^{}`$ via

(4.3)
$$w(\lambda ,\mu )=(w\lambda ,w\mu ).$$

In the following, we always assume $`\kappa `$.

For $`\lambda ^p`$, put

$`[\lambda ]_0`$ $`=\kappa p+1\lambda _1+\lambda _p,`$
$`[\lambda ]_i`$ $`=\lambda _i\lambda _{i+1}+1(i[1,p1]).`$
###### Remark 4.1.

It is natural to describe the action $``$ and the numbers $`[\lambda ]_i`$ in terms of the root system of type $`A_{p1}^{(1)}`$: Put $`\dot{𝔥}_p^{}=_{i=1}^pe_ic^{}`$, where notations are analogous to the $`A_{n1}^{(1)}`$ case, and regard $`\lambda ^p`$ as an element of $`\dot{𝔥}_p^{}`$ by $`\lambda =\lambda _ie_i+(\kappa p)c^{}`$. Then we have

$`w\lambda =w(\lambda +\rho )\rho (w\dot{𝔖}_p),`$
$`[\lambda ]_i=\lambda +\rho \alpha _i^{}(i[0,p1]),`$
where $`\rho =_{i=1}^p(i+1)e_i+pc^{}`$.

Set

$`𝒟_p`$ $`=\{\lambda ^p[\lambda ]_i0\text{ for all }i[1,p1]\},`$
$`\dot{𝒟}_{p,\kappa }`$ $`=\{\lambda ^p[\lambda ]_i0\text{ for all }i[0,p1]\}.`$
The following fact is well-known:

###### Lemma 4.2.

Let $`\kappa _{>0}`$.

$`(\mathrm{i})`$ $`𝒟_p`$ is a fundamental domain for the action of $`𝔖_p`$ on $`^p`$.

$`(\mathrm{ii})`$ $`\dot{𝒟}_{p,\kappa }`$ is a fundamental domain for the action of $`\dot{𝔖}_p^{}`$ on $`^p`$.

The proof of the following lemma is similar to the proof of Lemma 2.3.

###### Lemma 4.3.

Let $`\kappa _{>0}`$ and $`\lambda ^p`$. Let $`w`$ be the shortest element in $`\dot{𝔖}_p^{}`$ such that $`w\lambda \dot{𝒟}_{p,\kappa }`$. Then, we have $`[\sigma _{i_{k+1}}\sigma _{i_{k+2}}\mathrm{}\sigma _{i_l}\lambda ]_{i_k}<0`$ for each $`k=[1,l]`$, where $`w=\sigma _{i_1}\sigma _{i_2}\mathrm{}\sigma _{i_l}`$ is a reduced expression of $`w`$.

For $`\mu ^p`$, set

$`𝒟_p^\mu `$ $`=\{\lambda ^p[\lambda ]_i0\text{ for any }i[1,p1]\text{ such that }[\mu ]_i=0\},`$
$`\dot{𝒟}_{p,\kappa }^{}{}_{}{}^{\mu }`$ $`=\{\lambda ^p[\lambda ]_i0\text{ for any }i[0,p1]\text{ such that }[\mu ]_i=0\}.`$
Put

(4.4) $`_p^+`$ $`=\{(\lambda ,\mu )_p\mu 𝒟_p,\lambda 𝒟_p^\mu \},`$
(4.5) $`\dot{}_{p,\kappa }^+`$ $`=\{(\lambda ,\mu )_p\mu \dot{𝒟}_{p,\kappa },\lambda \dot{𝒟}_{p,\kappa }^{}{}_{}{}^{\mu }\},`$
(4.6) $`_p^+`$ $`=_p^{}_p^+,\dot{}_{p,\kappa }^+=_p^{}\dot{}_{p,\kappa }^+.`$
It is easy to show the following lemma:

###### Proposition 4.4.

Let $`\kappa _{>0}`$.

$`(\mathrm{i})`$ $`_p^+`$ $`(`$resp. $`_p^+)`$ is a fundamental domain for the action (4.3) of $`𝔖_p`$ on $`_p`$ $`(`$resp. $`_p^{})`$.

$`(\mathrm{ii})`$ $`\dot{}_{p,\kappa }^+`$ $`(`$resp. $`\dot{}_{p,\kappa }^+)`$ is a fundamental domain for the action (4.3) of $`\dot{𝔖}_p^{}`$ on $`_p`$ $`(`$resp. $`_p^{})`$.

$`(\mathrm{iii})`$ $`\varpi _p`$ preserves the sets $`\dot{}_{p,\kappa }^+`$ and $`\dot{}_{p,\kappa }^+`$ respectively.

## 5. Representations of degenerate affine Hecke algebras

We review some facts on the representation theory of the degenerate affine Hecke algebra $`\dot{H}_n`$ for later use.

For an $`\dot{H}_n`$-module $`N`$ and $`\zeta 𝔥^{}`$, define the weight space $`N_\zeta `$ and the generalized weight space $`N_\zeta ^{\mathrm{gen}}`$ of weight $`\zeta `$ by

$`N_\zeta `$ $`=\{vNhv=\zeta |hv\text{ for any }h𝔥\},`$
$`N_\zeta ^{\mathrm{gen}}`$ $`=\{vN(h\zeta |h)^kv=0\text{ for any }h𝔥,\text{ for some }k_{>0}\}.`$
Denote by $`P(N)`$ the set of all weights of $`N`$:

$$P(N)=\{\zeta 𝔥^{}N_\zeta \{0\}\}=\{\zeta 𝔥^{}N_\zeta ^{\mathrm{gen}}\{0\}\}.$$

Define $`𝒪(\dot{H}_n)`$ to be the category consisting of all finite-dimensional $`\dot{H}_n`$-modules $`N`$ such that $`N=_{\zeta P}N_\zeta ^{\mathrm{gen}}`$, i.e. $`P(N)P`$.

Let $`(\lambda ,\mu )_p`$. Put

(5.1) $`n_0=0,n_i`$ $`={\displaystyle \underset{j=1}{\overset{i}{}}}(\lambda _j\mu _j)(i=[1,p]).`$
Set $`I_{\lambda ,\mu }=[1,n1]\{n_1,n_2,\mathrm{},n_{p1}\}`$. Then $`W_{I_{\lambda ,\mu }}=W_{\lambda _1\mu _1}\times W_{\lambda _2\mu _2}\times \mathrm{}\times W_{\lambda _p\mu _p}`$. We denote $`W_{\lambda \mu }=W_{I_{\lambda ,\mu }}`$ and $`W^{\lambda \mu }=W^{I_{\lambda ,\mu }}`$. Define $`\dot{H}_{\lambda \mu }`$ as the subalgebra of $`\ddot{H}_n`$ generated by the elements in $`W_{\lambda \mu }`$ and the elements in $`S(𝔥)`$:

$$\begin{array}{cc}\dot{H}_{\lambda \mu }\hfill & =[W_{\lambda \mu }]S(𝔥)\hfill \\ & =\dot{H}_{[n_0+1,n_1]}\dot{H}_{[n_1+1,n_2]}\mathrm{}\dot{H}_{[n_{p1}+1,n_p]}\dot{H}_n,\hfill \end{array}$$

where $`\dot{H}_{[i,j]}`$ is as in Lemma 3.5.

Define $`\zeta _{\lambda ,\mu }`$ to be the element of $`𝔥^{}`$ such that

(5.2)
$$\zeta _{\lambda ,\mu }|ϵ_j^{}=\mu _ii+jn_{i1}\text{for}j[n_{i1}+1,n_i].$$

Note, in particular, that we have

(5.3)
$$\begin{array}{c}\zeta _{\lambda ,\mu }|ϵ_{n_{i1}+1}^{}=\mu _ii+1,\\ \zeta _{\lambda ,\mu }|ϵ_{n_i}^{}=\lambda _ii\end{array}$$

if $`n_{i1}<n_i`$. There exists a one-dimensional representation $`\mathrm{𝟏}_{\lambda ,\mu }`$ of $`\dot{H}_{\lambda \mu }`$ such that

(5.4)
$$\begin{array}{cc}w\mathrm{𝟏}_{\lambda ,\mu }=\mathrm{𝟏}_{\lambda ,\mu }\hfill & \text{for all }wW_{\lambda \mu },\hfill \\ h\mathrm{𝟏}_{\lambda ,\mu }=\zeta _{\lambda ,\mu }|h\mathrm{𝟏}_{\lambda ,\mu }\hfill & \text{for all }h𝔥.\hfill \end{array}$$

Define the induced representation $`\dot{M}(\lambda ,\mu )`$ of $`\dot{H}_n`$ associated with $`(\lambda ,\mu )`$ by

$$\dot{M}(\lambda ,\mu )=\dot{H}_n_{\dot{H}_{\lambda \mu }}\mathrm{𝟏}_{\lambda ,\mu }.$$

Clearly, $`\dot{M}(\lambda ,\mu )[W/W_{\lambda \mu }]`$ as a $`W`$-module.

The induced module $`\dot{M}(\lambda ,\mu )`$ is not irreducible in general. We will use the following criterion for the irreducibility in the case $`p=2`$. See e.g. \[Ze1\] or \[Su1, Su2\] for the proof.

###### Lemma 5.1.

Let $`(\lambda ,\mu )_2^{}`$ with $`\lambda =(\lambda _1,\lambda _2),\mu =(\mu _1,\mu _2)`$.

$`(\mathrm{i})`$ $`\dot{M}(\lambda ,\mu )`$ is reducible if and only if one of the following conditions hold$`:`$

$`(\mathrm{a})`$ $`\mu _2\mu _1\lambda _2+1`$ and $`\lambda _2\lambda _1`$.

$`(\mathrm{b})`$ $`\mu _1\mu _2\lambda _1+1`$ and $`\lambda _1\lambda _2`$.

In each case, there exist the following exact sequences$`:`$

$`(\mathrm{a})`$ $`0\dot{L}(\sigma \lambda ,\mu )\dot{M}(\lambda ,\mu )\dot{L}(\lambda ,\mu )0.`$

$`(\mathrm{b})`$ $`0\dot{L}(\sigma \lambda ,\sigma \mu )\dot{M}(\lambda ,\mu )\dot{L}(\lambda ,\sigma \mu )0.`$

Here $`\sigma =\sigma _1𝔖_2`$.

$`(\mathrm{ii})`$ If $`\dot{M}(\lambda ,\mu )`$ is irreducible, then $`\dot{M}(\lambda ,\mu )\dot{M}(\sigma \lambda ,\sigma \mu )`$.

The following lemma follows from Proposition 3.3.

###### Lemma 5.2.

We have

$`P(\dot{M}(\lambda ,\mu ))`$ $`=W^{\lambda \mu }\zeta _{\lambda ,\mu }:=\{w(\zeta _{\lambda ,\mu })wW^{\lambda \mu }\},`$
$`\mathrm{dim}\dot{M}(\lambda ,\mu )_\xi ^{\mathrm{gen}}`$ $`=\mathrm{}\{wW^{\lambda \mu }w(\zeta _{\lambda ,\mu })=\xi \}\text{for }\xi 𝔥^{}.`$
In particular, we have $`\mathrm{dim}\dot{M}(\lambda ,\mu )_{\zeta _{\lambda ,\mu }}^{\mathrm{gen}}=\mathrm{}\left(W^{\lambda \mu }W[\zeta _{\lambda ,\mu }]\right)`$, where $`W[\xi ]=\{wWw(\xi )=\xi \}`$ for $`\xi 𝔥^{}.`$

Let $`(\lambda ,\mu )_p`$. Take integers $`a_1<a_2<\mathrm{}<a_k`$ such that

$`\{a_1,a_2,\mathrm{},a_k\}=\{a[1,p][\lambda ]_a0\text{ or }[\mu ]_a0\}.`$
Put $`X_{\lambda ,\mu }=[1,n]\{n_{a_1},n_{a_2},\mathrm{},n_{a_k}\}`$, where $`n_i`$ is as in (5.1).

###### Lemma 5.3.

Let $`(\lambda ,\mu )_p^+`$. Then $`W^{\lambda \mu }W[\zeta _{\lambda ,\mu }]W_{X_{\lambda ,\mu }}.`$

Proof. Take integers $`b_1<b_2<\mathrm{}<b_l`$ such that

$`\{b_1,b_2,\mathrm{},b_l\}=\{a[1,p][\mu ]_a0\},`$
and put $`Y_\mu =[1,n]\{n_{b_1},n_{b_2},\mathrm{},n_{b_l}\}`$. Then $`W_{\lambda \mu }W_{X_{\lambda ,\mu }}W_{Y_\mu }`$.

Let $`wW^{\lambda \mu }W[\zeta _{\lambda ,\mu }]`$. First, we prove $`wW_{Y_\mu }`$.

It is enough to show $`w([1,n_{b_i}])=[1,n_{b_i}]`$ for all $`i[1,l]`$. Suppose $`w([1,n_{b_i}])[1,n_{b_i}]`$. Let $`m`$ be the smallest number such that $`m[1,n_{b_i}]`$ and $`w^1(m)[1,n_{b_i}]`$. Then it follows from $`wW^{\lambda \mu }`$ that $`w^1(m)=n_{b1}+1`$ for some $`b>b_i`$. Since $`wW[\zeta _{\lambda ,\mu }]`$, we have

$$\mu _bb+1=\zeta _{\lambda ,\mu }w^1(ϵ_m^{})=\zeta _{\lambda ,\mu }ϵ_m^{}\mu _{b_i}b_i+1.$$

This implies $`[\mu ]_{b_i}=0`$ as $`(\lambda ,\mu )_p^+`$, and this is a contradiction. Therefore we have $`wW_{Y_\mu }.`$

Next, let us see $`wW_{X_{\lambda ,\mu }}`$. Suppose that $`w([1,n_{a_i}])[1,n_{a_i}]`$ for some $`i[1,k]`$. Let $`m^{}`$ be the largest number such that $`m^{}[1,n_{a_i}]`$ and $`w(m^{})[1,n_{a_i}]`$. Then we have $`m^{}=n_a`$ for some $`a>a_i`$. By similar arguments as above, we have $`[\lambda ]_{a_i}=0`$, and this is a contradiction. Hence we have $`wW_{X_{\lambda ,\mu }}.`$ $`\mathrm{}`$

In \[Su2\], Lemma 5.3 is used to reduce the proof of the following proposition to the special case

$$\lambda =(m,m+1,\mathrm{},m+p1),\mu =(0,1,\mathrm{},p1)$$

with $`mp=n`$:

###### Proposition 5.4.

$`(\mathrm{Lemma}5.2\mathrm{in}\text{[Su2]})`$ Let $`(\lambda ,\mu )_p^+`$. Then we have $`\dot{M}(\lambda ,\mu )_{\zeta _{\lambda ,\mu }}=\mathrm{𝟏}_{\lambda ,\mu }`$.

As a direct consequence of Proposition 5.4, we have the following.

###### Theorem 5.5.

$`(\text{[Ro, Su2]})`$ Let $`(\lambda ,\mu )_p^+`$. Then $`\dot{M}(\lambda ,\mu )`$ has a unique simple quotient, which we denote by $`\dot{L}(\lambda ,\mu )`$.

Let $`\mathrm{Irr}(𝒪(\dot{H}_n))`$ denote the set of isomorphism classes of irreducible modules in $`𝒪(\dot{H}_n)`$. Then, by Theorem 5.5, we have correspondences $`_p^+\mathrm{Irr}(𝒪(\dot{H}_n))`$ $`(p[1,n])`$ given by $`(\lambda ,\mu )\dot{L}(\lambda ,\mu )`$.

The classification of simple modules described below is originally obtained by Zelevinsky \[Ze1\] (see also \[Ro\]) for the affine Hecke algebra. An alternative algebraic proof of the classification using Theorem 5.5 is given in \[Su2\].

###### Theorem 5.6.

$`(See\text{[Su2]}`$-$`\mathrm{\S }6.)`$ The correspondence

$$\underset{p=1}{\overset{n}{}}_p^+\mathrm{Irr}(𝒪(\dot{H}_n))$$

which maps $`(\lambda ,\mu )_p^+`$ $`(p[1,n])`$ to $`\dot{L}(\lambda ,\mu )`$ is a bijection.

Recall that $`𝔖_p`$ acts on $`_p^{}`$ and that $`_p^+`$ is a fundamental domain for this action (Proposition 4.4): $`_p^+_p^{}/𝔖_p`$. Hence Theorem 5.6 asserts that there exists a one to one correspondence

$$\underset{p=1}{\overset{n}{}}_p^{}/𝔖_p\mathrm{Irr}(𝒪(\dot{H}_n)).$$

## 6. Induced representations of $`\ddot{H}_n`$

Let $`\kappa `$. We consider representations of $`\ddot{H}_n(\kappa )`$, namely, representations of $`\ddot{H}_n`$ on which $`c𝒵(\ddot{H}_n)`$ acts as a constant integer $`\kappa `$. For an $`\ddot{H}_n`$-module $`N`$ and a weight $`\zeta \dot{𝔥}^{}`$, we use the same notations as those for $`\dot{H}_n`$-modules to denote the weight space, the generalized weight space and the set of all weights of $`N`$:

$`N_\zeta `$ $`=\{vNhv=\zeta |hv\text{ for any }h\dot{𝔥}\},`$
$`N_\zeta ^{\mathrm{gen}}`$ $`=\{vN(h\zeta |h)^kv=0\text{ for any }h\dot{𝔥},\text{ for some }k_{>0}\},`$
$`P(N)`$ $`=\{\zeta \dot{𝔥}^{}N_\zeta \{0\}\}.`$
If $`N`$ is an $`\ddot{H}_n(\kappa )`$-module, then any weight of $`N`$ is of the form $`\zeta +\kappa c^{}`$ for some $`\zeta 𝔥^{}`$. Put $`P_\kappa =P+\kappa c^{}\dot{𝔥}^{}`$. Note that $`P_\kappa `$ is preserved under the action (2.2) of $`\dot{W}`$.

###### Definition 6.1.

Define $`𝒪_\kappa (\ddot{H}_n)`$ to be the full subcategory of the category of finitely generated $`\ddot{H}_n(\kappa )`$-modules consisting of those $`\ddot{H}_n(\kappa )`$-modules $`N`$ such that

(i) $`N`$ is locally $`S(𝔥)`$-finite,

(ii) $`P(N)P_\kappa `$.

(Note the the condition (i) ensures the generalized weight space decomposition $`N=_{\zeta \dot{𝔥}^{}}N_\zeta ^{\mathrm{gen}}`$.)

###### Remark 6.2.

A similar category for the (non-degenerate) double affine Hecke algebra of general type is studied from a geometric viewpoint in \[BEG\], where Deligne-Langlands-Lusztig type conjecture concerning the classification of simple modules is proposed.

###### Remark 6.3.

There exists an algebra automorphism on $`\ddot{H}_n`$ such that

$$s_is_i,(i[0,n1]),\pi \pi ,ϵ_i^{}ϵ_i^{}(i[1,n]),cc.$$

This gives a categorical equivalence $`𝒪_\kappa (\ddot{H}_n)𝒪_\kappa (\ddot{H}_n)`$.

In the rest of this paper, we mostly consider the case $`\kappa _{>0}.`$

For $`(\lambda ,\mu )_p`$, put $`\zeta _{\lambda ,\mu }^\kappa =\zeta _{\lambda ,\mu }+\kappa c^{}P_\kappa `$, where $`\zeta _{\lambda ,\mu }`$ is given in (5.2). We regard the one-dimensional $`\dot{H}_{\lambda \mu }`$-module $`\mathrm{𝟏}_{\lambda ,\mu }`$ (defined by (5.4)) as an $`(\dot{H}_{\lambda \mu }[c])`$-module by letting $`c`$ act as a constant integer $`\kappa `$; we have

$$\begin{array}{cc}w\mathrm{𝟏}_{\lambda ,\mu }=\mathrm{𝟏}_{\lambda ,\mu }\hfill & \text{for all }wW_{\lambda \mu },\hfill \\ h\mathrm{𝟏}_{\lambda ,\mu }=\zeta _{\lambda ,\mu }^\kappa |h\mathrm{𝟏}_{\lambda ,\mu }\hfill & \text{for all }h\dot{𝔥}.\hfill \end{array}$$

Define an $`\ddot{H}_n`$-module $`\ddot{M}(\lambda ,\mu )`$ by

$$\ddot{M}(\lambda ,\mu )=\ddot{H}_n_{\dot{H}_{\lambda \mu }[c]}\mathrm{𝟏}_{\lambda ,\mu }.$$

Clearly,

$`\ddot{M}(\lambda ,\mu )`$ $`\ddot{H}_n(\kappa )_{\dot{H}_n}\dot{M}(\lambda ,\mu )\text{as an }\ddot{H}_n(\kappa )\text{-module},`$
$`[P]\dot{M}(\lambda ,\mu )\text{as an }\dot{H}_n\text{-module},`$
$`[\dot{W}/W_{\lambda \mu }]\text{as a }\dot{W}\text{-module}.`$
By Proposition 3.3, we have the following:

###### Proposition 6.4.

We have

$`(\mathrm{i})`$ $`P(\ddot{M}(\lambda ,\mu ))=\dot{W}^{\lambda \mu }\zeta _{\lambda ,\mu }^\kappa :=\{w(\zeta _{\lambda ,\mu }^\kappa )w\dot{W}^{\lambda \mu }\}.`$

$`(\mathrm{ii})`$ $`\mathrm{dim}\ddot{M}(\lambda ,\mu )_\xi ^{\mathrm{gen}}=\mathrm{}\{w\dot{W}^{\lambda \mu }w(\zeta _{\lambda ,\mu }^\kappa )=\xi \}`$ for all $`\xi \dot{𝔥}^{}`$, and it is finite if $`\kappa 0`$. In particular $`\mathrm{dim}\ddot{M}(\lambda ,\mu )_{\zeta _{\lambda ,\mu }^\kappa }^{\mathrm{gen}}=\mathrm{}\left(\dot{W}^{\lambda \mu }\dot{W}[\zeta _{\lambda ,\mu }^\kappa ]\right),`$ where $`\dot{W}[\xi ]=\{w\dot{W}w(\xi )=\xi \}`$ for $`\xi \dot{𝔥}^{}.`$

From Proposition 6.4, it follows that $`\ddot{M}(\lambda ,\mu )`$ is an object of $`𝒪_\kappa (\ddot{H}_n)`$ if $`\kappa `$.

###### Proposition 6.5.

Let $`(\lambda ,\mu )_p`$. Then $`\ddot{M}(\lambda ,\mu )\ddot{M}(\varpi _p(\lambda ,\mu ))`$.

Proof. Put $`\lambda ^{}=\varpi _p\lambda =(\lambda _p+\kappa p+1,\lambda _1+1,\mathrm{},\lambda _{p1}+1)`$ and $`\mu ^{}=\varpi _p\mu =(\mu _p+\kappa p+1,\mu _1+1,\mathrm{},\mu _{p1}+1)`$. Put $`m=\lambda _p\mu _p`$. If $`m=0`$, then $`\ddot{M}(\lambda ^{},\mu ^{})\ddot{M}(\lambda ,\mu )`$ because $`\zeta _{\lambda ^{}\mu ^{}}^\kappa =\zeta _{\lambda ,\mu }^\kappa `$ and $`W_{\lambda ^{}\mu ^{}}=W_{\lambda \mu }.`$

Suppose $`m0`$. Set $`v=\pi ^m\mathrm{𝟏}_{\lambda ,\mu }\ddot{M}(\lambda ,\mu )`$ (note that $`\pi \varpi _p`$).

It can be checked that the weight of $`v`$ is $`\pi ^m(\zeta _{\lambda ,\mu }^\kappa )=\zeta _{\lambda ^{},\mu ^{}}^\kappa `$, and that $`wv=v`$ for $`wW_{\lambda ^{}\mu ^{}}`$. Hence, there exists a unique $`\ddot{H}_n`$-homomorphism $`\psi :\ddot{M}(\lambda ^{},\mu ^{})\ddot{M}(\lambda ,\mu )`$ such that $`\psi (\mathrm{𝟏}_{\lambda ^{},\mu ^{}})=v=\pi ^m\mathrm{𝟏}_{\lambda ,\mu }`$. Similarly, there exists a unique homomorphism $`\psi ^{}:\ddot{M}(\lambda ,\mu )\ddot{M}(\lambda ^{},\mu ^{})`$ such that $`\psi ^{}(\mathrm{𝟏}_{\lambda ,\mu })=\pi ^m\mathrm{𝟏}_{\lambda ^{},\mu ^{}}`$. Now, it is easy to see that $`\psi `$ is an isomorphism with the inverse $`\psi ^{}`$. $`\mathrm{}`$

###### Proposition 6.6.

Let $`(\lambda ,\mu )_p`$ and $`w\dot{𝔖}_p^{}`$. Suppose $`w\mu =\mu `$. Then $`\ddot{M}(\lambda ,\mu )\ddot{M}(w\lambda ,\mu ).`$

Proof. It is enough to prove the statement when $`w`$ is a simple reflection.

Let us prove the statement in the case $`w=\sigma _1`$ first. Define $`(\overline{\lambda },\overline{\mu })_2`$ and $`(\underset{¯}{\lambda },\underset{¯}{\mu })_{p2}`$ by

$$\begin{array}{cc}\overline{\lambda }=(\lambda _1,\lambda _2),\hfill & \overline{\mu }=(\mu _1,\mu _2),\hfill \\ \underset{¯}{\lambda }=(\lambda _3,\mathrm{},\lambda _p),\hfill & \underset{¯}{\mu }=(\mu _3,\mathrm{},\mu _p).\hfill \end{array}$$

Putting $`n^{}=\lambda _1\mu _1+\lambda _2\mu _2`$, we have

$$\ddot{M}(\lambda ,\mu )\ddot{H}_n(\kappa )_{\dot{H}_n^{}\dot{H}_{nn^{}}}\left(\dot{M}(\overline{\lambda },\overline{\mu })\dot{M}(\underset{¯}{\lambda },\underset{¯}{\mu })\right).$$

Since $`\mu _1\mu _2+1=0`$, it follows from Lemma 5.1 that $`\dot{M}(\overline{\lambda },\overline{\mu })`$ is simple and $`\dot{M}(\overline{\lambda },\overline{\mu })\dot{M}(\sigma _1\overline{\lambda },\sigma _1\overline{\mu })`$. Hence $`\ddot{M}(\lambda ,\mu )\ddot{M}(\sigma _1\lambda ,\mu )`$.

Next, suppose $`\sigma _j\mu =\mu `$ $`(j[0,p1])`$. Then, we have $`\sigma _1\varpi _{p}^{}{}_{}{}^{1j}\mu =\varpi _{p}^{}{}_{}{}^{1j}\sigma _j\mu =\varpi _{p}^{}{}_{}{}^{1j}\mu `$. Using Proposition 6.5, we have

$$\begin{array}{cc}\ddot{M}(\lambda ,\mu )\hfill & \ddot{M}(\varpi _{p}^{}{}_{}{}^{1j}\lambda ,\varpi _{p}^{}{}_{}{}^{1j}\mu )\hfill \\ & \ddot{M}(\sigma _1\varpi _{p}^{}{}_{}{}^{1j}\lambda ,\varpi _{p}^{}{}_{}{}^{1j}\mu )\hfill \\ & \ddot{M}(\varpi _{p}^{}{}_{}{}^{j1}\sigma _1\varpi _{p}^{}{}_{}{}^{1j}\lambda ,\mu )=\ddot{M}(\sigma _j\lambda ,\mu ).\mathrm{}\hfill \end{array}$$

## 7. Uniqueness of simple quotient

We give a sufficient condition for an induced module $`\ddot{M}(\lambda ,\mu )`$ to have a unique simple quotient module.

Fix $`\kappa _{>0}`$. Let $`_p`$ and $`\dot{}_{p,\kappa }^+`$ be as in (4.1) and (4.5) respectively.

###### Proposition 7.1.

$`(\text{cf. Proposition 2.5.3. in }\text{[AST]})`$ Let $`\kappa _{>0}`$ and $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$. Then $`\ddot{M}(\lambda ,\mu )_{\zeta _{\lambda ,\mu }^\kappa }=\mathrm{𝟏}_{\lambda ,\mu }`$.

Proof. We denote $`\zeta _{\lambda ,\mu }^\kappa `$ simply by $`\zeta `$ till the end of the proof.

It is enough to prove the statement in the case $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$.

First, suppose $`[\mu ]_0=\kappa p+1(\mu _1\mu _p)>0`$. Take $`u\dot{W}^{\lambda \mu }\dot{W}[\zeta ]`$, where $`\dot{W}[\zeta ]=\{w\dot{W}w(\zeta )=\zeta \}.`$

By Lemma 2.4, we can write $`u=t_\eta y_\eta ^1w=y_\eta ^1t_{y_\eta (\eta )}w`$ $`(\eta P,wW^{\lambda \mu })`$.

Suppose $`\eta 0`$. Setting $`ϵ^{}=_{i=1}^nϵ_i^{}`$, we have

$$\zeta |ϵ^{}=u(\zeta )|ϵ^{}=t_{y_\eta (\eta )}w(\zeta )|ϵ^{}=\zeta |ϵ^{}+\kappa y_\eta (\eta )|ϵ^{},$$

and thus $`y_\eta (\eta )|ϵ^{}=0`$. This implies that $`r:=y_\eta (\eta )|ϵ_1^{}`$ is a positive integer as $`y_\eta (\eta )P^{}`$. Since $`t_{y_\eta (\eta )}w(\zeta )=y_\eta (\zeta )`$, we have

(7.1)
$$\begin{array}{cc}\hfill 0& =t_{y_\eta (\eta )}w(\zeta )y_\eta (\zeta )|ϵ_1^{}\hfill \\ & =w(\zeta )ϵ_1^{}+y_\eta (\eta )ϵ_1^{}\kappa y_\eta (\zeta )ϵ_1^{}\hfill \\ & =y_\eta (\eta )|ϵ_1^{}\kappa +\zeta |ϵ_{w^1(1)}^{}ϵ_{y_\eta ^1(1)}^{}.\hfill \end{array}$$

Put $`n_0=0`$ and $`n_i=_{j=1}^i(\lambda _j\mu _j)(i[1,p])`$ as before. Then $`w^1(1)=n_{a1}+1`$ for some $`a=[1,p]`$ since $`wW^{\lambda \mu }`$. Let $`b`$ be the number such that $`n_{b1}<y_\eta ^1(1)n_b`$. From the definition (5.2) of $`\zeta `$, it follows that $`\zeta ϵ_{w^1(1)}^{}=\mu _aa+1`$ and $`\zeta ϵ_{y_\eta ^1(1)}^{}=\mu _bb+y_\eta ^1(1)n_{b1}`$. Now, (7.1) leads

$`0`$ $`=r\kappa (\mu _a+1a)+\mu _bb+y_\eta ^1(1)n_{b1}`$
$`\kappa (\mu _aa)+(\mu _bb)`$
$`\kappa (\mu _11)+(\mu _pp)>0.`$
This is a contradiction. Hence $`\eta =0`$ and thus $`uW`$. Therefore

(7.2)
$$\dot{W}^I\dot{W}[\zeta _{\lambda ,\mu }^\kappa ]=W^IW[\zeta _{\lambda ,\mu }].$$

This implies $`\ddot{M}(\lambda ,\mu )_{\zeta _{\lambda ,\mu }^\kappa }^{\mathrm{gen}}=\dot{M}(\lambda ,\mu )_{\zeta _{\lambda ,\mu }}^{\mathrm{gen}}`$ and thus

$$\ddot{M}(\lambda ,\mu )_{\zeta _{\lambda ,\mu }^\kappa }=\dot{M}(\lambda ,\mu )_{\zeta _{\lambda ,\mu }}=\mathrm{𝟏}_{\lambda ,\mu }$$

by Proposition 5.4.

Next, suppose that $`[\mu _0]=0`$. Then there exists $`j`$ such that $`[\mu _j]=\mu _j\mu _{j+1}+1>0`$. Put

$$\lambda ^{}=\varpi _{p}^{}{}_{}{}^{pj}\lambda ,\mu ^{}=\varpi _{p}^{}{}_{}{}^{pj}\mu .$$

It is easy to check that $`(\lambda ^{},\mu ^{})\dot{}_{p,\kappa }^+`$ and $`[\mu ^{}]_0=[\mu ]_j>0`$. Moreover we have $`\zeta _{\lambda ^{},\mu ^{}}^\kappa =\pi ^{nn_j}(\zeta _{\lambda ,\mu }^\kappa )`$. The linear automorphism $`v\pi ^{nn_j}v`$ on $`\ddot{M}(\lambda ,\mu )`$ gives an isomorphism $`\ddot{M}(\lambda ,\mu )_{\zeta _{\lambda ^{},\mu ^{}}^\kappa }\ddot{M}(\lambda ,\mu )_{\zeta _{\lambda ,\mu }^\kappa }.`$ On the other hand, we have an $`\ddot{H}_n`$-isomorphism $`\ddot{M}(\lambda ,\mu )\ddot{M}(\lambda ^{},\mu ^{})`$ by Proposition 6.5, and thus we have $`\ddot{M}(\lambda ,\mu )_{\zeta _{\lambda ^{},\mu ^{}}^\kappa }\ddot{M}(\lambda ^{},\mu ^{})_{\zeta _{\lambda ^{},\mu ^{}}^\kappa }.`$ Therefore, $`\text{dim}\ddot{M}(\lambda ,\mu )_{\zeta _{\lambda ,\mu }^\kappa }=\text{dim}\ddot{M}(\lambda ^{},\mu ^{})_{\zeta _{\lambda ^{},\mu ^{}}^\kappa }=1`$. $`\mathrm{}`$

###### Theorem 7.2.

Let $`\kappa _{>0}`$ and $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$. Then $`\ddot{M}(\lambda ,\mu )`$ has a unique simple quotient module, which we denote by $`\ddot{L}(\lambda ,\mu )`$.

Proof. Let $`N`$ be a proper submodule of $`\ddot{M}(\lambda ,\mu )`$. By Proposition 7.1, we have $`\ddot{M}(\lambda ,\mu )_{\zeta _{\lambda ,\mu }^\kappa }=\mathrm{𝟏}_{\lambda ,\mu }`$. This implies $`N_{\zeta _{\lambda ,\mu }^\kappa }=\{0\}`$ since $`\mathrm{𝟏}_{\lambda ,\mu }`$ is a cyclic vector of $`\ddot{M}(\lambda ,\mu )`$. Hence $`\zeta _{\lambda ,\mu }^\kappa P(N)`$. Therefore the sum of the all proper submodules of $`\ddot{M}(\lambda ,\mu )`$ is the maximal proper submodule of $`\ddot{M}(\lambda ,\mu )`$. $`\mathrm{}`$

The condition $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$ in Theorem 7.2 can be relaxed by means of Proposition 6.6.

###### Corollary 7.3.

Let $`\kappa _{>0}`$. Let $`(\lambda ,\mu )_p`$ and $`\mu \dot{𝒟}_{p,\kappa }`$. Then $`\ddot{M}(\lambda ,\mu )`$ has a unique simple quotient module.

## 8. Classification of simple modules

Let $`\kappa _{>0}.`$ Let $`\mathrm{Irr}(𝒪_\kappa (\ddot{H}_n))`$ be the set of isomorphism classes of all simple modules in $`𝒪_\kappa (\ddot{H}_n)`$. Through Theorem 7.2, we can construct a correspondence

(8.1)
$$\stackrel{~}{\mathrm{\Phi }}:\underset{p=1}{\overset{n}{}}\dot{}_{p,\kappa }^+\mathrm{Irr}(𝒪_\kappa (\ddot{\mathrm{H}}_\mathrm{n}))$$

by $`(\lambda ,\mu )\ddot{L}(\lambda ,\mu )`$. The proofs of the following two theorems are given later.

###### Theorem 8.1.

Let $`\kappa _{>0}`$. Let $`K`$ be a simple module in $`𝒪_\kappa (\ddot{H}_n)`$. Then there exists $`p[1,n]`$ and $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$ such that $`K\ddot{L}(\lambda ,\mu )`$. In other words, the correspondence $`\stackrel{~}{\mathrm{\Phi }}`$ is surjective.

###### Theorem 8.2.

Let $`\kappa _{>0}`$. Let $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$ and $`(\beta ,\gamma )_{q,\kappa }^+`$. Then, the following are equivalent$`:`$

$`(\mathrm{a})`$ $`\ddot{M}(\lambda ,\mu )\ddot{M}(\beta ,\gamma )`$.

$`(\mathrm{b})`$ $`\ddot{L}(\lambda ,\mu )\ddot{L}(\beta ,\gamma )`$.

$`(\mathrm{c})`$ $`p=q`$ and $`(\beta ,\gamma )=\varpi _{p}^{}{}_{}{}^{r}(\lambda ,\mu )`$ for some $`r`$.

By Theorem 8.2 (or Proposition 6.5), the correspondence $`\stackrel{~}{\mathrm{\Phi }}`$ factors $`_{p=1}^n\dot{}_{p,\kappa }^+/\varpi _p`$, and we get the following.

###### Corollary 8.3.

The correspondence $`\stackrel{~}{\mathrm{\Phi }}:_{p=1}^n\dot{}_{p,\kappa }^+\mathrm{Irr}(𝒪_\kappa (\ddot{\mathrm{H}}_\mathrm{n}))`$ above induces a bijection

$$\mathrm{\Phi }:\underset{p=1}{\overset{n}{}}\dot{}_{p,\kappa }^+/\varpi _p\mathrm{Irr}(𝒪_\kappa (\ddot{\mathrm{H}}_\mathrm{n})).$$

Recall that $`\dot{}_{p,\kappa }^+_p^{}/\dot{𝔖}_p^{}`$ (Proposition 4.4) and $`\dot{}_{p,\kappa }^+/\varpi _p_p^{}/\dot{𝔖}_p.`$ Hence, we have a natural one to one correspondence

(8.2)
$$\underset{p=1}{\overset{n}{}}_p^{}/\dot{𝔖}_p\mathrm{Irr}(𝒪_\kappa (\ddot{\mathrm{H}}_\mathrm{n})).$$

###### Remark 8.4.

We treat the degenerate double affine Hecke algebra in this paper, but it is easy to modify the arguments to obtain the same results for the double affine Hecke algebra provided that a certain parameter (often denoted by $`q`$) of the algebra is not a root of one. In particular, the classification of simple modules over the double affine Hecke algebra of $`𝔤l_n`$ follows.

###### Remark 8.5.

(i) For (non-degenerate) double affine Hecke algebras of general type, a geometric proof of the classification of simple modules has been given by Vasserot in the preprint \[Va\].

Our parameterization by $`(\lambda ,\mu )`$ is related to Vasserot’s parameterization by $`\sigma =(\sigma _{a,b})`$ in \[Va\]–§8 through

$$\sigma _{a,b}=\mathrm{}\{i[1,p]a=\mu _ii+1,b=\lambda _ii\}(a,b,ab).$$

(cf. Remark 8.7.)

(ii) In the preprint \[Ch4\], Cherednik announces a similar classification for the double affine Hecke algebra of type $`A`$ by an alternative algebraic approach.

###### Remark 8.6.

In \[AST, Ch4\], another class of representations have been studied, that is, $`S(\dot{𝔥})`$-semisimple modules. They form a subcategory of $`𝒪_\kappa (\ddot{H}_n)`$, and the classification of simple modules in this category is given in \[Ch4\].

The method and results developed in our present paper are also effective for the study of $`S(\dot{𝔥})`$-semisimple modules. We have obtained an alternative proof of the classification of simple modules and some concrete results on the structure of simple modules of this class. These results will be presented in the forthcoming paper.

###### Remark 8.7.

It is known that the set $`_{p=1}^n_p^{}/𝔖_p\mathrm{Irr}𝒪(\dot{H}_n)`$ (Theorem 5.6) is naturally indexed by isomorphism classes of nilpotent representations of the quiver of type $`A`$ \[Ze2\].

It can be seen that the the set $`_{p=1}^n_p^{}/\dot{𝔖}_p`$ above is indexed by isomorphism classes of nilpotent representations of the cyclic quiver:

Let $`Q_\kappa `$ be the quiver of type $`A_\kappa ^{(1)}`$ with the cyclic orientation, i.e. the set of vertices is $`/\kappa `$ and the set of morphisms consists of the arrows $`ii+1`$ $`(i/\kappa )`$. Let $`S_n`$ be the set of isomorphism classes of $`n`$-dimensional nilpotent representations of $`Q_\kappa `$.

Let $`Z`$ be the set of all pairs $`(a,b)`$ of integers such that $`ab`$ and $`(a,b)`$ is defined up to simultaneous translation by a multiple of $`\kappa `$: $`(a,b)(a+m\kappa ,b+m\kappa ),m`$. It is known that isomorphism classes of indecomposable finite-dimensional representations of $`Q_\kappa `$ are indexed by elements of $`Z`$, and any finite-dimensional nilpotent representation of $`Q_\kappa `$ is decomposed into a sum of indecomposable representations (see \[Lu2\] for details). Let $`V(a,b)`$ denote the indecomposable representation corresponding to $`(a,b)Z`$.

Then, the correspondences $`_p^{}S_n`$ $`(p[1,n])`$ defined by

$$(\lambda ,\mu )\underset{i[1,p]}{}V(\mu _ii+1,\lambda _ii)$$

give rise to a bijection $`_{p=1}^n_p^{}/\dot{𝔖}_pS_n`$.

## 9. Proof of Theorem 8.1

In this section, we will give a proof of Theorem 8.1, which asserts the surjectivity of the correspondence $`\mathrm{\Phi }`$ in Corollary 8.3. For this purpose, we need to introduce some notations.

Fix $`\kappa _{>0}`$. For an $`\ddot{H}_n`$-module $`N`$ and $`(\lambda ,\mu )_p`$, set

$$N_{[\lambda ,\mu ]}=\{vN_{\zeta _{\lambda ,\mu }^\kappa }wv=v\text{ for }wW_{\lambda \mu }\}.$$

Set

$`_p(N)=\{\mu ^p\lambda ^p\text{ such that }(\lambda ,\mu )_p^{}\text{ and }N_{[\lambda ,\mu ]}0\}.`$
###### Example 9.1.

If $`p=n`$ then $`_n^{}=\{(\lambda ,\mu )^n\times ^n\lambda =(\mu _1+1,\mu _2+1,\mathrm{},\mu _n+1)\}`$. Hence, for $`(\lambda ,\mu )_n^{}`$, we have $`\zeta _{\lambda ,\mu }^\kappa =_{i=1}^n(\mu _ii+1)ϵ_i+\kappa c^{}`$ and $`N_{[\lambda ,\mu ]}`$ is nothing but the weight space $`N_{\zeta _{\lambda ,\mu }^\kappa }`$. In particular $`\mathrm{}_n(N)=\mathrm{}P(N)>0`$.

For $`\mu ^p`$, we put

$$[\mu ]_0=\kappa p+1(\mu _1\mu _p),[\mu ]_i=\mu _i\mu _{i+1}+1(i[1,p1])$$

as before.

###### Lemma 9.2.

Let $`K`$ be a simple module in $`𝒪_\kappa (\ddot{H}_n)`$ and let $`p`$ be the minimum integer such that $`_p(K)\mathrm{}`$. Suppose that $`[\mu ]_i<0`$ for $`\mu _p(K)`$ and $`i[0,p1]`$. Then $`\sigma _i\mu _p(K)`$.

Proof. Let $`\mu _p(K)`$. Let $`\lambda `$ be such that $`(\lambda ,\mu )_p^{}`$ and $`K_{[\lambda ,\mu ]}0`$. Put $`n_0=0,n_j=_{k=1}^j(\lambda _k\mu _k)(j[1,p]).`$

First, let us prove the statement when $`i[1,p1]`$. Suppose $`[\mu ]_i=\mu _i\mu _{i+1}+1<0`$. Put $`\lambda _{(i)}=(\lambda _i,\lambda _{i+1})^2`$ and $`\mu _{(i)}=(\mu _i,\mu _{i+1})^2`$. Consider the subalgebra $`A:=\dot{H}_{[n_{i1}+1,n_{i+1}]}`$ of $`\ddot{H}_n`$, which we identify with $`\dot{H}_{n_{i+1}n_{i1}}`$ through Lemma 3.5 and Example 3.6.

Take $`vK_{[\lambda ,\mu ]}\{0\}`$ and consider the $`A`$-module $`N:=Av`$. Then $`N`$ is a surjective image of $`\dot{M}(\lambda _{(i)},\mu _{(i)})`$.

If $`\dot{M}(\lambda _{(i)},\mu _{(i)})`$ is irreducible, then it follows from Lemma 5.1 that $`N\dot{M}(\lambda _{(i)},\mu _{(i)})\dot{M}(\lambda _{(i)}^{},\mu _{(i)}^{})`$, where $`\lambda _{(i)}^{}=(\lambda _{i+1}1,\lambda _i+1)`$ and $`\mu _{(i)}^{}=(\mu _{i+1}1,\mu _i+1)`$. Hence there exists $`aA\ddot{H}_n`$ such that $`avN_{[\lambda _{(i)}^{},\mu _{(i)}^{}]}\{0\}`$. Clearly, $`avK_{[\sigma _i\lambda ,\sigma _i\mu ]}\{0\}`$. Hence $`\sigma _i\mu _p(K)`$.

Suppose that $`\dot{M}(\lambda _{(i)},\mu _{(i)})`$ is reducible. Then, by Lemma 5.1, there exists an exact sequence

$$0\dot{L}(\lambda _{(i)}^{},\mu _{(i)}^{})\dot{M}(\lambda _{(i)},\mu _{(i)})\dot{L}(\lambda _{(i)},\mu _{(i)}^{})0.$$

Since $`N`$ is a surjective image of $`\dot{M}(\lambda _{(i)},\mu _{(i)})`$, it is isomorphic to either $`\dot{M}(\lambda _{(i)},\mu _{(i)})`$ or $`\dot{L}(\lambda _{(i)},\mu _{(i)}^{})`$. If $`N\dot{L}(\lambda _{(i)},\mu _{(i)}^{})`$, then we have $`K_{[\lambda ,\sigma _i\mu ]}0`$. (Note that $`(\lambda ,\sigma _i\mu )_p^{}`$ by the assumption of $`p`$.)

If $`N\dot{M}(\lambda _{(i)},\mu _{(i)})`$, then $`N`$ contains a submodule $`\dot{L}(\lambda _{(i)}^{},\mu _{(i)}^{})`$ and thus $`K_{[\sigma _i\lambda ,\sigma _i\mu ]}0`$. In both cases, we have $`\sigma _i\mu _p(K)`$.

Next, let us prove the statement for $`i=0`$. Suppose $`[\mu ]_0=\kappa +p1\mu _1+\mu _p<0.`$

Consider the subalgebra $`A^{}:=\dot{H}_{[n_{p1}+1,n+n_1]}`$ of $`\ddot{H}_n`$, which is identified with $`\dot{H}_{n+n_1n_{p1}}`$ through Lemma 3.5.

Put $`\lambda _{(0)}=(\lambda _p+\kappa p+1,\lambda _1+1)`$ and $`\mu _{(0)}=(\mu _p+\kappa p+1,\mu _1+1)`$. Take $`vK_{[\lambda ,\mu ]}\{0\}`$ and consider the $`A^{}`$-module $`N^{}:=A^{}v`$. Then $`N^{}`$ is a surjective image of the $`\dot{H}_{n+n_1n_{p1}}`$-module $`\dot{M}(\lambda _{(0)},\mu _{(0)})`$. By similar arguments as in the case $`i[1,p]`$, we have either $`K_{[\sigma _0\lambda ,\sigma _0\mu ]}0`$ or $`K_{[\lambda ,\sigma _0\mu ]}0`$. Therefore $`\sigma _0\mu _p(K)`$. $`\mathrm{}`$

###### Lemma 9.3.

Let $`\kappa _{>0}`$. Let $`K`$ be a simple module in $`𝒪_\kappa (\ddot{H}_n)`$. If $`_p(K)\dot{𝒟}_{p,\kappa }\mathrm{}`$, then there exists $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$ such that $`K\ddot{L}(\lambda ,\mu )`$.

Proof. By the assumption, there exists $`(\lambda ^{},\mu )_p^{}`$ such that $`\mu \dot{𝒟}_{p,\kappa }`$ and $`K_{[\lambda ^{},\mu ]}0`$. Take $`vK_{[\lambda ^{},\mu ]}\{0\}`$. Since $`K=\ddot{H}_nv`$, it is a surjective image of $`\ddot{M}(\lambda ^{},\mu )`$ and thus $`K\ddot{L}(\lambda ^{},\mu )`$ by Theorem 7.2. Noting that $`\mu \dot{𝒟}_{p,\kappa }`$, we can find $`w\dot{𝔖}_p`$ such that $`w\mu =\mu `$ and $`(w\lambda ^{},\mu )\dot{}_{p,\kappa }^+`$. Put $`\lambda =w\lambda ^{}`$. Now, Proposition 6.6 implies $`\ddot{L}(\lambda ,\mu )\ddot{L}(\lambda ^{},\mu )K`$. $`\mathrm{}`$

Proof of Theorem 8.1.

Let $`K`$ be a simple module in $`𝒪_\kappa (\ddot{H}_n)`$. Take the smallest integer $`p`$ such that $`_p(K)\mathrm{}`$.

By Lemma 9.3, it is enough to prove that $`_p(K)\dot{𝒟}_{p,\kappa }\mathrm{}`$. Take $`\mu _p(K)`$, and let $`\mu ^+`$ denote the unique element in $`\{w\mu \}_{w\dot{𝔖}_p^{}}\dot{𝒟}_{p,\kappa }`$. Take the shortest $`w\dot{𝔖}_p^{}`$ such that $`w\mu =\mu ^+`$. Let $`w=\sigma _{i_1}\sigma _{i_2}\mathrm{}\sigma _{i_l}`$ be a reduced expression. Then by Lemma 4.3, we have $`[\sigma _{i_{k+1}}\sigma _{i_{k+2}}\mathrm{}\sigma _{i_l}\mu ]_{i_k}<0`$ for $`k[1,l]`$. Now, Lemma 9.2 implies $`\mu ^+_p(K)\dot{𝒟}_{p,\kappa }`$. $`\mathrm{}`$

## 10. Proof of Theorem 8.2

We will give a proof of Theorem 8.2, which asserts the injectivity of the correspondence $`\mathrm{\Phi }`$ in Corollary 8.3.

Fix $`\kappa _{>0}`$. We start with some preparations.

###### Lemma 10.1.

Let $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$ and $`s_iW_{\lambda \mu }`$. Then $`s_i(\zeta _{\lambda ,\mu }^\kappa )P(\ddot{M}(\lambda ,\mu ))`$.

Proof. We will give a proof only for the case $`[\mu ]_0>0`$. Other cases can be shown similarly, using the same argument using Proposition 6.5 as in the proof of Theorem 7.2.

Assume that there exists $`s_iW_{\lambda \mu }`$ such that $`s_i(\zeta _{\lambda ,\mu }^\kappa )P(\ddot{M}(\lambda ,\mu ))=\dot{W}^{\lambda \mu }\zeta _{\lambda ,\mu }^\kappa `$ (Proposition 6.4). Then $`s_i(\zeta _{\lambda ,\mu })=x(\zeta _{\lambda ,\mu })`$ for some $`x\dot{W}^{\lambda \mu }`$. Putting $`w=s_ix`$, we have $`w\dot{W}^{\lambda \mu }\dot{W}[\zeta _{\lambda ,\mu }^\kappa ]`$ because $`R(s_ix)=R(x)\{x^1(\alpha _i)\}`$ or $`R(s_ix)=R(x)\{x^1(\alpha _i)\}`$.

Recall that we have proved $`\dot{W}^{\lambda \mu }\dot{W}[\zeta _{\lambda ,\mu }^\kappa ]=W^{\lambda \mu }W[\zeta _{\lambda ,\mu }]`$ when $`[\mu ]_0>0`$ in the proof of Theorem 7.2 (see (7.2)). Hence $`wW^{\lambda \mu }W[\zeta _{\lambda ,\mu }]`$.

First, we consider the case where

$$\lambda =(m,m+1,\mathrm{},m+p1),\mu =(0,1,\mathrm{},p1)\text{ with }mp=n.$$

Set $`I_j=\{k[1,n]\zeta _{\lambda ,\mu }ϵ_k^{}=\zeta _{\lambda ,\mu }ϵ_j^{}\}`$ for $`j[1,n]`$. Then, in particular, we have $`I_{i+1}=\{k+1kI_i\}`$. By induction on $`k`$, we have $`w(k+1)=w(k)+1`$ for all $`kI_i`$. Taking $`k=w^1(i)I_i`$, we have $`s_iw(k)=i+1`$ and $`s_iw(k+1)=i`$. This implies $`x=s_iw\dot{W}^{\lambda \mu }`$. This is a contradiction. The same contradiction is deduced for general $`(\lambda ,\mu )`$ through Lemma 5.3. $`\mathrm{}`$

Let $`\xi P_\kappa `$. Then, there exists a unique element $`(\xi ^L,\xi ^R)_{p=1}^n_p^{}`$ for which the following two conditions hold:

(10.1) $`s_iW_{\xi ^R\xi ^L}`$ $`\xi \alpha _i^{}=1(i[1,n1]).`$
(10.2) $`\zeta _{\xi ^L,\xi ^R}^\kappa `$ $`=\xi .`$
We denote $`h(\xi )=p`$ if $`(\xi ^L,\xi ^R)_p^{}`$.

In §6, we defined $`\zeta _{\lambda ,\mu }^\kappa P_\kappa `$ for each $`(\lambda ,\mu )_p`$. The correspondence $`\xi (\xi ^L,\xi ^R)`$ is a left inverse of $`(\lambda ,\mu )\zeta _{\lambda ,\mu }^\kappa `$ in the following sense:

###### Lemma 10.2.

If $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$ then $`((\zeta _{\lambda ,\mu }^\kappa )^L,(\zeta _{\lambda ,\mu }^\kappa )^R)=(\lambda ,\mu )`$ and $`h(\zeta _{\lambda ,\mu }^\kappa )=p`$.

Proof. The statement follows easily from the definition of $`(\xi ^L,\xi ^R)`$. $`\mathrm{}`$

###### Definition 10.3.

For a subset $`S`$ of $`P_\kappa `$. Define $`𝒞(S)`$ to be the subset of $`S`$ consisting of all elements $`\xi S`$ satisfying the following conditions:

$`(\mathrm{C1})`$ If $`\xi \alpha _i^{}<0`$ for $`i[0,n1]`$ then $`s_i(\xi )S`$.

$`(\mathrm{C2})`$ $`(\xi ^L,\xi ^R)_{p=1}^n\dot{}_{p,\kappa }^+.`$

For $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$, put $`𝒞_{\lambda ,\mu }=𝒞(P(\ddot{L}(\lambda ,\mu ))).`$

###### Lemma 10.4.

Let $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$. Then $`\zeta _{\lambda ,\mu }^\kappa 𝒞_{\lambda ,\mu }`$.

Proof. It is obvious that $`\zeta _{\lambda ,\mu }^\kappa `$ satisfies (C2) by Lemma 10.2. By $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$, we have

$$\zeta _{\lambda ,\mu }^\kappa \alpha _i^{}<0\zeta _{\lambda ,\mu }^\kappa \alpha _i^{}=1s_iW_{\lambda \mu }.$$

Now, it follows from Lemma 10.1 that $`\zeta _{\lambda ,\mu }^\kappa `$ satisfies (C1). $`\mathrm{}`$

We fix $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$ for a while. Let $`\xi 𝒞_{\lambda ,\mu }`$. Put $`q=h(\xi )`$ and put

(10.3) $`n_0=0,n_i={\displaystyle \underset{j=1}{\overset{i}{}}}(\lambda _j\mu _j)(i[1,p]),`$
(10.4) $`m_0=0,m_i={\displaystyle \underset{j=1}{\overset{i}{}}}(\xi _j^L\xi _j^R)(i[1,q]).`$
Noting that $`𝒞_{\lambda ,\mu }P(\ddot{L}(\lambda ,\mu ))P(\ddot{M}(\lambda ,\mu ))=\dot{W}^{\lambda \mu }\zeta _{\lambda ,\mu }^\kappa `$, take $`w\dot{W}^{\lambda \mu }`$ such that $`\xi =w(\zeta _{\lambda ,\mu }^\kappa )`$.

###### Lemma 10.5.

If $`\alpha _iR_{\lambda \mu }`$ $`(i[1,n1])`$ then $`w(\alpha _i)=\alpha _l`$ for some $`l[0,n1]`$.

Proof. Let $`\alpha _iR_{\lambda \mu }`$. We have $`w(ϵ_i)=ϵ_j^{}+k^{}\delta `$ and $`w(ϵ_{i+1})=ϵ_j+k\delta `$ for some $`j,j^{}[1,n]`$ and $`k,k^{}`$. We have $`w(\alpha _i)=ϵ_j^{}ϵ_j+(k^{}k)\delta \dot{R}`$ and

(10.5)
$$1=\zeta _{\lambda ,\mu }^\kappa \alpha _i^{}=\xi ϵ_j^{}^{}ϵ_j^{}+(k^{}k)\kappa .$$

Since $`\alpha _iR_{\lambda \mu }`$ and $`w\dot{W}^{\lambda \mu }`$, we have $`w(\alpha _i)\dot{R}^+`$. Note that $`w(\alpha _i)\dot{\mathrm{\Pi }}`$ if and only if $`j^{}j+(k^{}k)n=1`$. We assume that $`j^{}j+(k^{}k)n1`$ and will deduce a contradiction.

First, suppose $`\xi \alpha _{j1}^{}=1`$. Let $`A`$ be the subalgebra of $`\ddot{H}_n`$ generated by $`\{ϵ_j^{}^{}+k^{}c,ϵ_{j1}^{}+kc,ϵ_j^{}+kc,s_\alpha ^{},s_{\alpha _{j1}}\}`$, where $`\alpha ^{}=ϵ_j^{}ϵ_{j1}+(k^{}k)\delta \dot{R}^+`$. Then, it follows from Lemma 3.5 that $`A`$ is isomorphic to the degenerate affine Hecke algebra $`\dot{H}_3`$ of $`𝔤l_3`$.

Let $`v\ddot{L}(\lambda ,\mu )_\xi `$. Then we have

$`\alpha ^{}v=0,\alpha _{j1}^{}v=v,s_{\alpha _{j1}}v=v.`$
The subspace $`Av\ddot{L}(\lambda ,\mu )`$ is regarded as an $`A`$-module, and it a surjective image of the induced module $`\dot{M}(\underset{¯}{\lambda },\underset{¯}{\mu })`$ over $`\dot{H}_3`$ with $`\underset{¯}{\lambda }=(z+1,z+3),\underset{¯}{\mu }=(z,z+1)`$, where $`z=\xi ϵ_{j1}^{}`$. By Lemma 5.1, $`\dot{M}(\underset{¯}{\lambda },\underset{¯}{\mu })`$ is simple and thus $`Av\dot{M}(\underset{¯}{\lambda },\underset{¯}{\mu })`$. It follows from Lemma 5.2 that $`s_{\alpha _{j1}}(\xi )`$ is a weight of $`Av`$, and hence $`s_{\alpha _{j1}}(\xi )=s_{j1}(\xi )P(\ddot{L}(\lambda ,\mu ))`$. Combined with the assumption $`\xi \alpha _{j1}^{}=1`$, this contradicts to the condition (C1).

Therefore we must have $`\xi \alpha _{j1}^{}1`$. In this case, we have $`s_{j1}W_{\xi ^L\xi ^R}`$. This implies $`ϵ_j=ϵ_{m_{a1}+1}`$ for some $`a[1,q]`$. Let $`b[1,q]`$ be the number such that $`j^{}[m_{b1}+1,m_b]`$. Then, using (10.5), we have

$`\xi _b^Rb+1=\xi ϵ_{m_{b1}+1}^{}\xi ϵ_j^{}^{}`$
$`=\xi ϵ_{m_{a1}+1}^{}(k^{}k)\kappa 1`$
$`=\xi _a^Ra+1(k^{}k)\kappa 1.`$
Note that $`k^{}k0`$ as $`w(\alpha _i)\dot{R}^+`$. If $`ba`$, then the inequality $`\xi _b^Rb+1<\xi _a^Ra+1`$ contradicts to the condition $`(\xi ^L,\xi ^R)_{q,\kappa }^+`$. If $`b>a`$, then we have $`k^{}k>0`$ and $`(\xi _a^Ra+1)(\xi _b^Rb+1)1+(k^{}k)\kappa >\kappa `$. This is a contradiction too. Therefore we have $`j^{}j+(k^{}k)n=1`$, and hence $`w(\alpha _i)=\alpha _{j1}\dot{\mathrm{\Pi }}`$. $`\mathrm{}`$

###### Lemma 10.6.

$`(\mathrm{i})`$ For each $`i[1,q]`$, we have

(10.6) $`w^1(ϵ_{m_{i1}+1}^{})=ϵ_{n_{a_i1}+1}^{}+k_ic,`$
(10.7) $`w^1(ϵ_{m_i}^{})=ϵ_{n_{b_i}}^{}+l_ic`$
for some $`a_i,b_i[1,p]`$ and $`k_i,l_i`$. In particular, we have

$`\xi _i^Ri=\mu _{a_i}a_i+k_i\kappa ,\xi _i^Li=\lambda _{b_i}b_i+l_i\kappa (i[1,q]).`$
$`(\mathrm{ii})`$ If $`q=p`$ then $`a_i=b_i`$ and $`k_i=l_i`$ in (10.6)(10.7) for all $`i[1,p]`$.

$`(\mathrm{iii})`$ The correspondences $`[1,q][1,p]`$ given by $`ia_i`$ and $`ib_i`$ are injective. In particular $`qp`$.

Proof. (i)There exist $`r[1,n]`$ and $`k`$ such that $`w^1(ϵ_{m_{i1}+1}^{})=ϵ_r^{}+kc`$. Suppose $`n_{a1}+1<rn_a`$ $`(a[1,p])`$. Then $`\alpha _{r1}R_{\lambda \mu }`$ and $`\xi \alpha _{m_{i1}}^{}=\zeta _{\lambda ,\mu }^\kappa \alpha _{r1}^{}=1`$. This contradicts to the condition (10.1) and we have (10.6). Similarly, (10.7) follows.

(ii) The statement follows easily from Lemma 10.5.

(iii) Suppose that there exist $`i,j[1,q]`$ such that

$`w^1(ϵ_{m_{i1}+1}^{})=ϵ_{n_{a1}+1}^{}+k_ic,w^1(ϵ_{m_{j1}+1}^{})=ϵ_{n_{a1}+1}^{}+k_jc`$
for some $`a[1,p]`$. Then, we have $`w^1(\alpha )=0`$ for a root $`\alpha =ϵ_{m_{i1}+1}ϵ_{m_{j1}+1}(k_ik_j)\delta `$. This is a contradiction and thus the correspondence $`ia_i`$ is injective. $`\mathrm{}`$

Now, we show the key lemma to the proof of Theorem 8.2.

###### Lemma 10.7.

Let $`(\lambda ,\mu )\dot{}_{p,\kappa }^+`$. Let $`\xi 𝒞_{\lambda ,\mu }`$ and suppose that $`h(\xi )=\mathrm{max}\{h(\zeta )\zeta 𝒞_{\lambda ,\mu }\}`$. Then $`h(\xi )=p`$ and $`(\xi ^L,\xi ^R)=\varpi _{p}^{}{}_{}{}^{r}(\lambda ,\mu )`$ for some $`r`$.

Proof. We have $`h(\xi )=\mathrm{max}\{h(\zeta )\zeta 𝒞_{\lambda ,\mu }\}=p`$ by Lemma 10.4 and Lemma 10.6-(iii).

Take $`w\dot{W}^{\lambda \mu }`$ such that $`\xi =w(\zeta _{\lambda ,\mu }^\kappa )`$. By Lemma 10.6-(i)(ii), there exist $`a_i[1,p]`$ and $`k_i`$ such that

$`w^1(ϵ_{m_{i1}+1}^{})=ϵ_{n_{a_i1}+1}^{}+k_ic,w^1(ϵ_{m_i}^{})=ϵ_{n_{a_i}}^{}+k_ic`$
for each $`i[1,p]`$.

Let $`y`$ be the element of $`𝔖_p`$ such that $`y(i)=a_i`$ $`(i[1,p])`$, and put $`\nu =_{i=1}^pk_ie_i`$ ($`\nu `$ is an element of the weight lattice of $`𝔤l_p`$). Put $`x=t_\nu y\dot{𝔖}_p`$. Then, we have $`(\xi ^L,\xi ^R)=x(\lambda ,\mu )`$. Since $`\dot{}_{p,\kappa }^+`$ is a fundamental domain for the action of $`\dot{𝔖}_p^{}`$ on $`_p^{}`$, the condition $`(\xi ^L,\xi ^R)\dot{}_{p,\kappa }^+`$ implies $`(\xi ^L,\xi ^R)=\varpi _{p}^{}{}_{}{}^{r}(\lambda ,\mu )`$ for some $`r`$. $`\mathrm{}`$

Proof of Theorem 8.2.

The implication (a)$``$(b) is clear, and (c)$``$(a) follows from Proposition 6.5. Let us prove (b)$``$(c), which completes the proof of Theorem 8.2.

Suppose $`\ddot{L}(\lambda ,\mu )\ddot{L}(\beta ,\gamma )`$. Then we have $`P(\ddot{L}(\lambda ,\mu ))=P(\ddot{L}(\beta ,\gamma ))`$ and $`𝒞_{\lambda ,\mu }=𝒞_{\beta ,\gamma }`$. By Lemma 10.4, we have $`\zeta _{\beta ,\gamma }^\kappa 𝒞_{\beta ,\gamma }=𝒞_{\lambda ,\mu }`$. By Lemma 10.2, we have $`((\zeta _{\beta ,\gamma }^\kappa )^L,(\zeta _{\beta ,\gamma }^\kappa )^R)=(\beta ,\gamma )`$ as $`(\beta ,\gamma )_{q,\kappa }^+`$. On the other hand, Lemma 10.7 implies $`q=p`$ and $`((\zeta _{\beta ,\gamma }^\kappa )^L,(\zeta _{\beta ,\gamma }^\kappa )^R))=\varpi _p^r(\lambda ,\mu )`$ for some $`r`$. Therefore we have $`(\beta ,\gamma )=\varpi _{p}^{}{}_{}{}^{r}(\lambda ,\mu )`$. $`\mathrm{}`$


text:
# Dynamical Structure Factor in Cu Benzoate and other spin-1/2 antiferromagnetic chains

## I Introduction

Recent experiments magn ; dender  have investigated the behaviour of the quasi-one-dimensional spin-1/2 antiferromagnet Copper Benzoate in a magnetic field. Neutron scattering experiments dender  established the existence of field-dependent incommensurate low-energy modes in addition to low-energy modes at the antiferromagnetic wave number. The incommensurability was found to be consistent with the one predicted by the exact solution of the Heisenberg model in a magnetic field. However, the system exhibited an unexpected excitation gap, induced by the applied field. A theory for this effect was put forward by Oshikawa and Affleck in Ref. \[oa, \]. Application of a uniform magnetic field $`𝑯`$ induces a staggered field perpendicular to $`𝑯`$. The staggered field is generated both by a staggered $`g`$-tensor oshima  and a Dzyaloshinskii-Moriya (DM) interaction. The same physical mechanism has been found also in other materials. other  The effective Hamiltonian describing such field-induced gap systems is given by oa

$$\widehat{H}=\underset{i}{}J𝑺_i𝑺_{i+1}HS_i^z+h(1)^iS_i^x,$$
(1)
where

$$h=\gamma H.$$
(2)
The constant $`\gamma `$ is given in terms of the staggered $`g`$-tensor oshima  and the DM interaction. For Copper Benzoate the exchange constant is $`J1.57\mathrm{meV}`$ and the induced staggered field is much smaller than the applied uniform field, $`hH`$.

As long as $`hJ`$, or equivalently as long as the field induced gap $`\mathrm{\Delta }`$ is much smaller than $`J`$, it is possible to describe the low-energy degrees of freedom of (1) in terms of a massive, relativistic quantum field theory. This low-energy effective theory is obtained by abelian bosonization and is given by a Sine-Gordon model with Hamiltonian density oa

$`={\displaystyle \frac{v}{2}}[(_x\mathrm{\Phi })^2+(_x\mathrm{\Theta })^2]\mu (h)\mathrm{cos}(\beta \mathrm{\Theta }).`$ (3)
Here $`\mathrm{\Phi }`$ is a canonical Bose field, $`\mathrm{\Theta }`$ is the dual field and the coupling $`\beta `$ depends on the value of the applied uniform field and has been calculated in Refs. \[et, ; fab, ; oa2, \] by using the results of Ref. \[vladb, \]. The spin velocity $`v`$ also depends on $`H`$ and is shown in Fig. 9 of Ref. \[oa2, \]. It is useful to define

$$\xi =\frac{\beta ^2}{8\pi \beta ^2}.$$
(4)
The spectrum of the Sine-Gordon model (3) in the relevant range of $`\beta `$ consists of a soliton-antisoliton doublet and several soliton-antisoliton bound states called “breathers.”oa ; et  The soliton gap as a function of $`H`$ and $`h`$ was determined in Ref. \[oa2, \] in the regime $`\mathrm{\Delta }H`$, where

$`{\displaystyle \frac{\mathrm{\Delta }}{J}}\left({\displaystyle \frac{h}{J}}\right)^{(1+\xi )/2}`$
$`\times \left[B\left({\displaystyle \frac{J}{H}}\right)^{(2\pi \beta ^2)/4\pi }\left(2{\displaystyle \frac{\beta ^2}{\pi }}\right)^{1/4}\right]^{(1+\xi )/2}`$ (5)
with $`B=0.422169`$. Equation (5) is applicable as long as $`H`$ is sufficiently smaller than $`J`$ or to be more precise as long as the magnetization is small. For magnetic fields comparable to $`J`$ it is better to use the following expression zam

$`{\displaystyle \frac{\mathrm{\Delta }}{J}}`$ $``$ $`{\displaystyle \frac{2\stackrel{~}{v}(H)}{\sqrt{\pi }}}{\displaystyle \frac{\mathrm{\Gamma }(\frac{\xi }{2})}{\mathrm{\Gamma }(\frac{1+\xi }{2})}}\left[{\displaystyle \frac{c(H)\pi }{2\stackrel{~}{v}(H)}}{\displaystyle \frac{\mathrm{\Gamma }(\frac{1}{1+\xi })}{\mathrm{\Gamma }(\frac{\xi }{1+\xi })}}{\displaystyle \frac{h}{J}}\right]^{(1+\xi )/2}.`$ (6)
Here $`\stackrel{~}{v}=v/(Ja_0)`$ is the “dimensionless spin velocity”, $`a_0`$ is the lattice constant and $`c(H)`$ is given below. The breather gaps are given by

$$\mathrm{\Delta }_n=2\mathrm{\Delta }\mathrm{sin}\left(\frac{\pi \xi n}{2}\right),n=1,\mathrm{},\left[\frac{1}{\xi }\right].$$
(7)
## II Dynamical Structure Factor

The staggered/oscillating components of the spin operators are expressed in terms of the continuum fields $`\mathrm{\Phi }`$ and $`\mathrm{\Theta }`$ as

$`S_n^z`$ $``$ $`(1)^na(H)\mathrm{sin}\left({\displaystyle \frac{2\pi }{\beta }}\mathrm{\Phi }{\displaystyle \frac{2\delta }{a_0}}x\right),`$
$`S_n^x`$ $``$ $`(1)^nc(H)\mathrm{cos}(\beta \mathrm{\Theta }),`$
$`S_n^y`$ $``$ $`(1)^nc(H)\mathrm{sin}(\beta \mathrm{\Theta }).`$ (8)
Here $`x=na_0`$ and the incommensuration $`\delta `$ is determined from the exact solution of the Heisenberg model in a uniform magnetic field vladb ; fab  \[that is the Hamiltonian (1) for $`h=0`$\]. The amplitudes $`a(H)`$ and $`c(H)`$ are at present not known analytically, but can be determined numerically with high accuracy. We note that these amplitudes are also calculated in the absence of a staggered field, the expectation being that the changes due to a small $`hH`$ will be negligible. The data used in this work are obtained in the scheme of Refs. \[FH, ; HF2, \]: We calculate the spin polarization $`S_n^z`$ and the two-spin correlation function $`S_n^xS_n^{}^x`$ in the Heisenberg chain of $`200`$ spins using the density-matrix renormalization group method, and then, fit them to analytic formulas obtained from the abelian bosonization taking $`a(H)`$ and $`c(H)`$ as fitting parameters. The results as well as other parameters, which are determined exactly,et ; oa2  are listed in Table 1 for several typical values of the magnetization $`m`$.

The inelastic neutron scattering intensity is proportional to

$$I(\omega ,𝒌)\underset{\alpha ,\beta }{}\left(1\frac{k_\alpha k_\beta }{𝒌^2}\right)S^{\alpha \beta }(\omega ,𝒌),$$
(9)
where $`\alpha ,\beta =x,y,z`$ and the dynamical structure factor $`S^{\alpha \beta }`$ is defined by

$`S^{\alpha \beta }(\omega ,k)={\displaystyle \underset{l=1}{\overset{N}{}}}{\displaystyle _{\mathrm{}}^{\mathrm{}}}{\displaystyle \frac{dt}{2\pi }}e^{ikla_0+i\omega t}S_{l+1}^\alpha (t)S_1^\beta (0).`$
Here $`k`$ denotes the component of $`𝒌`$ along the chain direction. A schematic representation of which excited states will contribute to the various components of the dynamical structure factor at $`k=\pi /a_0`$ and $`k=(\pi \pm 2\delta )/a_0`$ is shown in Fig. 1. At the antiferromagnetic wave number there are several breather excitations and at higher energies multiparticle continua.et  These contribute to the $`xx`$ and $`yy`$ components of the dynamical structure factor, which have been determined in detail in Ref. \[et, \]. At the incommensurate wave numbers $`k=(\pi \pm 2\delta )/a_0`$ there are soliton and antisoliton states and at higher energies multiparticle scattering continua. In this paper we calculate the single particle soliton/antisoliton contributions to $`S^{zz}`$ and compare them to the dominant feature in the dynamical structure factor, the contribution of the lightest breather bound state $`B_1`$ to $`S^{yy}`$.

The lightest breather $`B_1`$ has a gap $`\mathrm{\Delta }_1`$ and contributes to $`S^{yy}`$ aset

$$S^{yy}(\omega ,\frac{\pi }{a_0}+q)|_{B_1}=C_y(H)\delta \mathbf{\left(}\omega ^2(vq)^2\mathrm{\Delta }_1^2\mathbf{\right)},$$
(11)
where

$`C_y(H)`$ $`=`$ $`2\stackrel{~}{v}Jc^2(H)\left[2\mathrm{cos}(\pi \xi /2)\sqrt{2\mathrm{sin}(\pi \xi /2)}\mathrm{exp}\left({\displaystyle _0^{\pi \xi }}{\displaystyle \frac{dt}{2\pi }}{\displaystyle \frac{t}{\mathrm{sin}t}}\right)\right]^2\left({\displaystyle \frac{\mathrm{\Delta }}{J\stackrel{~}{v}}}{\displaystyle \frac{\sqrt{\pi }}{2}}{\displaystyle \frac{\mathrm{\Gamma }\mathbf{\left(}(1+\xi )/2\mathbf{\right)}}{\mathrm{\Gamma }(\xi /2)}}\right)^{\beta ^2/2\pi }`$ (12)
$`\times \mathrm{exp}\left[2{\displaystyle _0^{\mathrm{}}}{\displaystyle \frac{dt}{t}}\left({\displaystyle \frac{\mathrm{sinh}^2(2\beta ^2t)}{2\mathrm{sinh}(\beta ^2t)\mathrm{sinh}(8\pi t)\mathrm{cosh}[(8\pi \beta ^2)t]}}{\displaystyle \frac{\beta ^2}{4\pi }}e^{16\pi t}\right)\right].`$
Here we have used the normalizations of Ref. \[lukyanov1, \]. The leading contributions to the longitudinal structure factor at the incommensurate wave numbers $`k=(\pi \pm 2\delta )/a_0`$ are due to soliton and antisoliton. Using the results of Ref. \[lukyanov2, \] we obtain

$`S^{zz}(\omega ,{\displaystyle \frac{\pi \pm 2\delta }{a_0}}+q)|_{s,\overline{s}}`$ $`=`$ $`C_z(H)\delta \mathbf{\left(}\omega ^2(vq)^2\mathrm{\Delta }^2\mathbf{\right)},`$
where

$`C_z(H)`$ $`=`$ $`{\displaystyle \frac{\stackrel{~}{v}J}{2}}a^2(H)\left({\displaystyle \frac{𝒞_1^4\xi }{4𝒞_2}}\right)^{1/4}\left({\displaystyle \frac{\sqrt{\pi }\mathrm{\Delta }\mathrm{\Gamma }\left(\frac{3}{2}+\frac{\xi }{2}\right)}{J\stackrel{~}{v}\mathrm{\Gamma }\left(\frac{\xi }{2}\right)}}\right)^{2\pi /\beta ^2}`$ (14)
$`\times \mathrm{exp}\left[{\displaystyle _0^{\mathrm{}}}{\displaystyle \frac{dt}{t}}\left({\displaystyle \frac{\mathrm{exp}[(1+\xi )t]1}{2\mathrm{sinh}(\xi t)\mathrm{sinh}[(1+\xi )t]\mathrm{cosh}(t)}}+{\displaystyle \frac{1}{2\mathrm{sinh}(t\xi )}}{\displaystyle \frac{2\pi e^{2t}}{\beta ^2}}\right)\right].`$
Here the constants $`𝒞_{1,2}`$ are given by

$`𝒞_1`$ $`=`$ $`\mathrm{exp}\left({\displaystyle _0^{\mathrm{}}}{\displaystyle \frac{dt}{t}}{\displaystyle \frac{\mathrm{sinh}^2(t/2)\mathrm{sinh}[t(\xi 1)]}{\mathrm{sinh}(2t)\mathrm{sinh}(\xi t)\mathrm{cosh}(t)}}\right),`$
$`𝒞_2`$ $`=`$ $`\mathrm{exp}\left(4{\displaystyle _0^{\mathrm{}}}{\displaystyle \frac{dt}{t}}{\displaystyle \frac{\mathrm{sinh}^2(t/2)\mathrm{sinh}[t(\xi 1)]}{\mathrm{sinh}(2t)\mathrm{sinh}(\xi t)}}\right).`$ (15)
As was pointed out in Ref. \[oa2, \], at $`H=0`$ the low-energy effective theory of (1) is SU(2) symmetric. In our notations this implies that

$`\underset{H0}{lim}{\displaystyle \frac{C_y}{c^2(H)}}=2\underset{H0}{lim}{\displaystyle \frac{C_z}{a^2(H)}}.`$ (16)
Equation (16) is easily verified numerically. In order to evaluate $`C_{y,z}`$ we need to know the constant of proportionality $`\gamma `$ that relates the induced staggered field $`h`$ with the applied uniform field $`H`$. This constant differs from compound to compound. On the other hand, $`\gamma `$ enters the expressions for $`C_{y,z}`$ only via the soliton gap $`\mathrm{\Delta }`$. Hence it is useful to isolate the $`\gamma `$ dependence and consider the quantities

$`C_y^{}(H)`$ $`=`$ $`C_y(H)\left({\displaystyle \frac{\mathrm{\Delta }}{J}}\right)^{\frac{\beta ^2}{2\pi }}J^1,`$
$`C_z^{}(H)`$ $`=`$ $`C_z(H)\left({\displaystyle \frac{\mathrm{\Delta }}{J}}\right)^{\frac{2\pi }{\beta ^2}}J^1.`$ (17)
The amplitudes $`C_{y,z}^{}(H)`$ are shown as functions of the magnetization in Fig. 2.

## III Copper Benzoate

We are now in a position to determine the ratio between the spectral weights of the first breather (seen in the transverse structure factor $`S^{yy}`$) and the soliton (seen in the longitudinal structure factor $`S^{zz}`$). In an ideal situation one would carry out measurements with momentum transfers only along the $`y`$ and $`z`$ directions respectively. In practice, the experiments on Copper Benzoate were carried out with momentum transfers $`𝒌_{1,2}`$ respectively, where

$`(𝒌_1𝒂,𝒌_1𝒃,𝒌_1𝒄)`$ $`=`$ $`2\pi (0.3,0,1),`$
$`(𝒌_2𝒂,𝒌_2𝒃,𝒌_2𝒄)`$ $`=`$ $`2\pi (0.3,0,1.12),`$ (18)
Here $`𝒄`$ points along the chain direction and the antiferromagnetic wave number corresponds to $`2\pi /c`$ ($`c=6.30A`$) as there are two copper atoms per unit cell along the $`c`$-axis. To make contact with our previous notations we need to set $`a_0=c/2`$. The measurements with momentum transfers $`𝒌_1`$ and $`𝒌_2`$ probe the dynamical structure factor around $`\pi /a_0`$ and the incommensurate wave number $`(\pi +2\delta )/a_0`$ respectively. In order to make direct comparisons with the experiments we need to relate the $`(a,b,c)`$ coordinate system describing the crystal axes to the $`(x,y,z)`$ spin coordinates. By definition $`z`$ and $`x`$ are the directions of the uniform and staggered fields respectively. In the experiments of Ref. \[dender, \] the uniform field was applied along the $`b`$-direction. Based on a polarization analysis it was suggested in Ref. \[oa2, \] that the staggered field lies in the $`ac`$ plane and encloses an angle of $`\alpha =72^{}`$ with the $`a`$-axis. In the vicinity of $`\pi /a_0`$ the dominant contribution to the structure factor comes from the transverse correlators. This implies that

$`I(\omega ,𝒌_1)`$ $``$ $`(0.083\mathrm{cos}^2\alpha +0.917\mathrm{sin}^2\alpha )S^{yy}(\omega ,{\displaystyle \frac{\pi }{a_0}})`$ (19)
$`+(0.083\mathrm{sin}^2\alpha +0.917\mathrm{cos}^2\alpha )S^{xx}(\omega ,{\displaystyle \frac{\pi }{a_0}})`$
$``$ $`0.84S^{yy}(\omega ,{\displaystyle \frac{\pi }{a_0}})+0.16S^{xx}(\omega ,{\displaystyle \frac{\pi }{a_0}}).`$
On the other hand at momentum transfer $`𝒌_2`$ the dominant contribution to the structure factor is due to the longitudinal component

$`I(\omega ,𝒌_2)`$ $``$ $`S^{zz}(\omega ,{\displaystyle \frac{\pi +2\delta }{a_0}}).`$ (20)
As was pointed out in Ref. \[oa2, \] there are unresolved issues concerning the polarization analysis and the estimate of the angle $`\alpha `$ should be regarded with some caution. It is possible to infer $`\alpha `$ by analyzing other experiments such as specific heat and ESR measurements. The analysis of the specific heat data suggests that $`\alpha 82^{}`$,fab  which leads to a contribution of about $`90\%`$ of $`S^{yy}`$ in (19).

The neutron scattering experiments of Ref. \[dender, \] were performed in a uniform magnetic field of $`7`$T, which corresponds to a magnetization per site of $`m0.06`$. The breather and soliton gaps were observed at

$$\mathrm{\Delta }0.22\mathrm{meV},\mathrm{\Delta }_10.17\mathrm{meV}.$$
(21)
Using the expression (5) for the soliton gap we can infer the coefficient of proportionality between the uniform field $`H`$ and the staggered field $`h`$ as $`\gamma 0.06`$. Taking $`\gamma =0.06`$ and $`m=0.06`$, Eq. (5) gives $`\mathrm{\Delta }=0.215\mathrm{meV}`$, $`\mathrm{\Delta }_1=0.171\mathrm{meV}`$ and we will use this set of parameters for our further analysis.

Under the above assumptions we may now determine the spectral weights of the coherent soliton and breather peaks in the dynamical structure factor. The results are shown in Fig. 3.

At a magnetization of $`m=0.06`$ we have

$$\frac{C_y(H)}{C_z(H)}2.88.$$
(22)
The spectral weights are obtained by integrating the respective structure factors over frequency at fixed momentum, i.e.,

$`I_{B_1}`$ $`=`$ $`{\displaystyle }d\omega S^{yy}(\omega ,{\displaystyle \frac{\pi }{a_0}})|_{B_1},`$
$`I_s`$ $`=`$ $`{\displaystyle }d\omega S^{zz}(\omega ,{\displaystyle \frac{\pi +2\delta }{a_0}})|_s.`$ (23)
The ratio of spectral weights between the first breather $`I_{B_1}`$ and the soliton $`I_s`$ is approximately

$$\frac{I_{B_1}}{I_s}=\frac{C_y(H)}{C_z(H)}\frac{\mathrm{\Delta }}{\mathrm{\Delta }_1}3.64.$$
(24)
In order to compare to experiment, we need to take into account the different momentum transfers in the measurements of $`S^{yy}`$ and $`S^{zz}`$ respectively. From (19) and (20) we arrive at the following theoretical prediction for the ratio of intensities

$`R=0.84{\displaystyle \frac{I_{B_1}}{I_s}}3.06.`$ (25)
The experimentally observed dender  ratio of peak heights between the breather and soliton peaks is approximately $`2.8`$. This is in reasonable agreement with our result. For a better comparison one should take into account the resolution function of the instrument in both momentum and energy, but this goes beyond the scope of our present analysis.

###### Acknowledgements.

Work at Brookhaven National Laboratory was carried out under contract number DE-AC02-98 CH10886, Division of Material Science, U.S. Department of Energy. The research of A.F. was supported in part by a Grant-in-Aid for Scientific Research on Priority Areas from the Ministry of Education, Culture, Sports, Science and Technology (Grant No. 12046238).