format: text

text:
# The Basics of Lensing

## 1. Introduction

Gravitational lensing, the subject of this volume, is the name given to the phenomena that result from the bending of light rays by gravitational fields. The term ‘lensing’ is actually a little misleading: few opticians would be satisfied with the quality of lensing that gravitational lenses provide! Nevertheless, as the contributions to this winter school richly illustrate, gravitational lenses have grown into a very useful and powerful tool in astronomy over the last decade or two.

The aim of this lecture is to lay the foundations for what follows. It will highlight the essential aspects of light bending by gravitational fields, and illustrate the effect this has in the most commonly studied situations: strong lensing, weak lensing, and microlensing. However, a review of the results obtained with gravitational lensing is left to the other lecturers.

Much has already been written on gravitational lensing. An excellent in-depth description of the subject is given in Schneider, Ehlers and Falco (1992).

## 2. Basic equations

### 2.1. Deflection of light by a point mass

The starting point is to consider a light ray which passes close to a point mass (Fig. 1). A ray that passes within a distance $`b`$ (the impact parameter) of this mass feels a Newtonian acceleration component perpendicular to its direction of motion of

$$g_{}=\frac{GMb}{\left(b^2+z^2\right)^{3/2}}$$
(1)
(provided the deflection is small) which results in a total integrated velocity component $`v_{}=g_{}𝑑t=g_{}𝑑z/c=2GM/bc`$. The resulting deflection angle is then

$$\alpha =v_{}/c=\frac{2GM}{bc^2}\text{(Newton)}.$$
(2)
Now, it turns out that General Relativity (GR) predicts exactly twice the deflection angle of Newtonian theory—it was in fact this factor of two that was used as a test of GR during Eddington’s solar eclipse expedition of 1930—so that the deflection angle for a ray with impact parameter $`b`$ near a point mass $`M`$ is

$$\alpha =\frac{4GM}{bc^2}\text{(GR)}\text{provided }\alpha 1.$$
(3)
In typical astronomical situations, this angle is indeed very small; only near compact objects (white dwarfs, neutron stars, black holes) does the deflection angle reach values of well over a minute of arc (Table 1).

### 2.2. Extended lenses

The same description can be repeated for extended mass distributions $`\rho (x,y,z)`$, provided that it is still true that all lateral acceleration takes place before the light ray has appreciably deviated from its path (the ‘thin lens’ approximation). In that case we can derive the accelerations from the Newtonian potential $`\psi `$ of the lens’s mass distribution: assuming the light ray propagates along the $`z`$ axis, we can write the lateral velocity acquired due to the lens as

$$(\begin{array}{cc}v_x& \\ v_y& \end{array})=2(\begin{array}{cc}/x& \\ /y& \end{array})\psi 𝑑z/c$$
(4)
(where we have allowed for the factor of 2 Newton $``$ GR). If we now define the projected potential $`\mathrm{\Psi }(x,y)=\psi 𝑑z`$, we obtain the two-dimensional deflection angle $`(\alpha _x,\alpha _y)=(v_x,v_y)/c`$ as

$$𝜶=\frac{2}{c^2}\mathrm{\Psi }(x,y).$$
(5)
Note that $`\mathrm{\Psi }`$ satisfies the two-dimensional Poisson equation

$$^2\mathrm{\Psi }(x,y)=4\pi G\mathrm{\Sigma }(x,y)\text{where}\mathrm{\Sigma }(x,y)=\rho (x,y,z)𝑑z$$
(6)
is the mass surface density in the lens. This equation gives the recipe for calculating the deflection angle experienced by a light ray that passes through the lens plane at position $`(x,y)`$.

### 2.3. The ray-trace equation

The deflection angle of equation 5 now needs to be related to the geometry of the location of source, lens and observer, to determine the imaging properties of a gravitational lens. The relevant angles are shown in Fig. 2.

Application of the sine rule in the triangle observer-source-deflection point, combined with the approximation $`\alpha ,\theta ,\beta 1`$, yields $`\alpha /D_s=(\theta \beta )/D_{ds}`$, or

$$\beta =\theta \frac{D_{ds}}{D_s}\alpha (D_d\theta ),$$
(7)
which is known as the ray-trace equation. It allows a light ray to be traced back from direction $`\theta `$ at the observer, past the deflection at the location $`D_d\theta `$ in the lens plane, to the source plane, so that the image of the lensed sky can be built up pixel by pixel (surface brightness of the source is preserved under gravitational lensing). Note that the reverse, to find the image direction $`\theta `$ corresponding to a given source direction $`\beta `$, is a much more difficult problem because of the generally complicated dependence of the deflection angle on $`\theta `$, and may even have multiple solutions.

As a simple example, consider a Plummer model (a softened point mass) lens. This model has the potential and density

$$\psi (r)=\frac{GM}{\left(r^2+a^2\right)^{1/2}};\rho (r)=\frac{3Ma^2}{4\pi \left(r^2+a^2\right)^{5/2}};\mathrm{\Sigma }(s)=\frac{Ma^2}{\pi \left(a^2+s^2\right)^2}.$$
(8)
$`M`$ is the total mass of the model, and the parameter $`a`$ represents the core radius of the mass distribution. Using the results from the previous section we deduce a deflection angle, as a function of the projected radius $`s=(r^2z^2)^{1/2}`$, of

$$\alpha (s)=\frac{2}{c^2}_{\mathrm{}}^{\mathrm{}}\frac{\psi }{s}𝑑z=\frac{2}{c^2}\frac{GMs}{\left(a^2+s^2+z^2\right)^{3/2}}𝑑z=\frac{4GM}{c^2}\frac{s}{a^2+s^2}.$$
(9)
The lens equation thus becomes (using $`s=D_d\theta `$)

$$\beta =\theta \frac{D_{ds}}{D_s}\alpha =\theta \frac{4GM}{c^2}\frac{D_{ds}}{D_dD_s}\frac{\theta }{\left(a/D_d\right)^2+\theta ^2}.$$
(10)
For a given source position $`\beta `$, this is a cubic equation for the image position $`\theta `$; it can thus have one or three roots. For a source exactly behind the lens ($`\beta =0`$) the equation splits into two factors:

$$\theta =0\text{or}\theta ^2+\left(a/D_d\right)^2=\frac{4GM}{c^2}\frac{D_{ds}}{D_dD_s}$$
(11)
with the second equation having real roots provided

$$\frac{M}{\pi a^2}\mathrm{\Sigma }(s=0)>\frac{c^2}{4\pi G}\frac{D_s}{D_dD_{ds}}\mathrm{\Sigma }_{\mathrm{crit}}.$$
(12)
The critical density $`\mathrm{\Sigma }_{\mathrm{crit}}`$ will return later; any lens with a surface mass density above this value can generate multiple images. Note that the critical density decreases when the source distance is increased: it is easier to generate multiple images of more distant sources because the required bending angles get smaller as the source is placed further away. At a given source distance, the strongest lensing effect (lowest $`\mathrm{\Sigma }_{\mathrm{crit}}`$) is obtained with the lens roughly halfway between observer and source.

By symmetry, the image of a source exactly behind an axisymmetric lens will be ring-shaped—this is known as an Einstein Ring.

Returning to the lens equation for the Plummer model (eq. 10), the structure of the solution(s) can be illustrated graphically (Fig. 3). For a sufficiently high central lens surface mass density (equivalent to the central slope $`d\alpha /d\theta `$) multiple images can be formed of sources that project close to the lens; otherwise only a single image is formed, which is always further away from the lens than it would have been in the absence of lensing (since $`\alpha `$ is positive).

### 2.4. Arrival Time Delay and Fermat Potential

The geometry of lensing by more complicated mass distributions is most elegantly described by means of the Fermat potential formalism. Fermat’s principle states that light rays follow paths which represent stationary points in arrival time—in terms of wave optics, this corresponds to coherent phases along nearby paths, resulting in a positive interference.

In a weak gravitational field ($`\psi c^2`$), the space-time metric can be written as

$$ds^2\left(1+2\psi /c^2\right)c^2dt^2\left(12\psi /c^2\right)d𝐱^2.$$
(13)
For a light ray $`ds=0`$, and hence such a ray propagating along the $`z`$-axis will satisfy

$$cdt\left(12\psi /c^2\right)dz$$
(14)
The arrival time $`(dt/dz)𝑑z`$ for this light ray thus contains two terms: the path length $`z/c`$, and the Shapiro delay $`\frac{2}{c^3}\psi 𝑑z`$. If we add up both terms along a path that has been ‘broken’ as a result of a deflection by a gravitational lens, we obtain (see Fig. 4) a path length difference with respect to the unlensed path of

$$\delta l\frac{X^2}{2D_d}+\frac{X^2}{2D_{ds}}=\frac{D_s}{2D_dD_{ds}}X^2=\frac{D_dD_s}{2D_{ds}}\left(\beta \theta \right)^2$$
(15)
and a Shapiro delay of

$$\frac{2}{c^3}\psi 𝑑z=\frac{2}{c^3}\mathrm{\Psi }(D_d\theta )$$
(16)
so that the combined time delay with respect to the absence of the lens, for a path that emanates from a source in direction $`\beta `$ via a lens plane position in direction $`\theta `$ is given by

$$c\delta t=\frac{D_dD_s}{2D_{ds}}\left(\beta \theta \right)^2\frac{2}{c^2}\mathrm{\Psi }(D_d\theta )\mathrm{\Phi }(\beta ,\theta )$$
(17)
The quantity $`\mathrm{\Phi }`$ is knows as the Fermat potential. Fermat’s principle states that images are seen at the locations where $`\mathrm{\Phi }`$ is stationary with respect to varying paths, i.e., where $`_\theta \mathrm{\Phi }=0`$. It is a simple exercise to show that this corresponds to the ray-trace equation 7.

Extended sources are distorted by the lens mapping: light rays emanating from nearby points in the source plane will be deflected slightly differently. This distortion is measured by studying the Jacobian, or magnification matrix

$$A_{ij}\frac{\theta _i}{\beta _j}=(\delta _{ij}\frac{2}{c^2}\frac{D_{ds}D_d}{D_s}\mathrm{\Psi }_{ij})^1\left(\frac{^2\mathrm{\Phi }}{\theta _i\theta _j}\right)^1$$
(18)
where the $`\mathrm{\Psi }_{ij}`$ are the spatial second derivatives of the projected potential, and $`\delta _{ij}`$ the Kronecker delta. The matrix $`A`$ is usually written as

$$A=(\begin{array}{cc}1\kappa \gamma _1& \gamma _2\\ \gamma _2& 1\kappa +\gamma _1\end{array})^1\text{where}(\begin{array}{c}\kappa \\ \gamma _1\\ \gamma _2\end{array})=\frac{D_{ds}D_d}{c^2D_s}(\begin{array}{cc}\mathrm{\Psi }_{11}+\mathrm{\Psi }_{22}& \\ \mathrm{\Psi }_{11}\mathrm{\Psi }_{22}& \\ 2\mathrm{\Psi }_{12}& \end{array}).$$
(19)
Of course $`A`$ depends on the location in the image plane. $`\kappa `$ is known as the convergence of the mapping. Note that it is given by the divergence of the projected potential and hence proportional to the surface mass density of the lens: in fact $`\kappa =\mathrm{\Sigma }/\mathrm{\Sigma }_{\mathrm{crit}}`$ as defined in eq. 12. $`\gamma _1`$ and $`\gamma _2`$ affect different directions in the image plane differently, and are called the shear of the lens mapping.

The magnification $``$ of the lens mapping is given by the determinant of the Jacobian:

$$=\text{det}\left(A\right)=\left((1\kappa )^2\gamma _1^2\gamma _2^2\right)^1.$$
(20)
If the magnification is everywhere finite, the mapping from source to image plane is invertible and there is only one image of every source. However, if there are multiple images of any part of the source plane, then the mapping is no longer invertible, and the determinant of $`A^1`$ needs to pass through zero at some point—this corresponds to infinite magnification. From eq. 20 it is easy to see that a sufficient (though not necessary) condition for infinite magnification, and hence for multiple imaging, is for $`\kappa `$ to attain the value 1 somewhere (since at large angles $`\kappa `$ and $`\gamma _i`$ tend to zero). This corresponds to $`\mathrm{\Sigma }=\mathrm{\Sigma }_{\mathrm{crit}}`$.

In case the lens is weak ($`\kappa `$ and $`\gamma _i1`$), the magnification is approximately given by $`1+2\kappa `$, which is always positive. This is a consequence of the focusing effect of the mass over-density in the lens.

All the information of a lens mapping is thus contained in the Fermat potential. For a given $`\beta `$, the stationary points of $`\mathrm{\Phi }(\beta ,\theta )`$ delineate the images of a source in the direction $`\beta `$. The second derivatives of $`\mathrm{\Phi }`$ form the inverse magnification matrix $`A^1`$. At minima and maxima of $`\mathrm{\Phi }`$ the parity of the source is preserved; at a saddle point we see the source inverted.

One can visualize the action of a lens by considering how the Fermat potential changes as the lens is slowly ‘switched on’, e.g. by changing its mass or modifying the source distance. The shape of $`\mathrm{\Phi }`$ will then gradually change from the initial, no-lensing parabolic shape to a more complicated one: every lensing mass will generate a positive peak in this parabola. Initially the unlensed image will be slightly perturbed and ‘pushed’ away, downhill, from the lens, and slightly magnified. As the lens strength is increased, further stationary points may be formed in the Fermat potential; these always appear as a combination of a saddle point and a maximum or minimum, as an extra ‘ridge’ is created in the surface. Where a ridge is formed, the curvature of the surface passes through zero and the magnification of a point source is momentarily infinite before the two new images, of opposite parity, are created and move away from the ridge. New image pairs are therefore generated (and destroyed) near the critical lines.

This very geometric description of the image morphology allows a number of general laws of lensing to be stated. They apply to the case of smooth lensing potentials (and not, for example, to a point mass lens).

1. There is always at least one minimum of $`\mathrm{\Phi }`$, and hence at least one image.
2. The total number of finite-magnification images is always odd.
3. The number of even-parity images is always one more than the number of odd-parity images, and new images are formed in pairs of opposite parity.

### 2.5. Distances

Thus far all derivations have been in a flat background metric, and this makes the definition of a distance straightforward. However, in dynamic cosmologies such as our universe, one needs to be careful. Distance may be defined generically as $`(A/\mathrm{\Omega })^{1/2}`$ where $`A`$ is the size of an area element perpendicular to the line of sight, and $`\mathrm{\Omega }`$ the solid angle it subtends, but it is possible to make different choices for $`A`$ and $`\mathrm{\Omega }`$ (see fig. 5). All results shown above remain valid in dynamic cosmologies provided the angular diameter distance is used.

### 2.6. Caustics and Critical Curves

It is straightforward to apply the lens mapping: it is simply a question of defining the surface brightness in the source plane, and ray tracing using eq. 7 through the image plane to this source plane. The mapping is only as complicated as the gradient of the projected lens potential $`\mathrm{\Psi }`$.

Fig. 6 shows an example of such a ray tracing calculation, using a simple lens potential. On the right a number of round sources have been defined; on the left this source plane is seen as mapped through the lens. A number of features are clear. The lens does two things: it pushes the images outward, and generates new images in the interior. The outer images are tangentially distorted (radially squeezed) by the lens.

In the left-hand panel, the critical curves of infinite magnification ($`det(A^1)=0`$) have been drawn. It is clear that these mark the regions where new image pairs are generated. These curves are as smooth as the lensing potential, and are the place to look if one wants to see highly magnified sources.

In the right-hand panel the critical curves have been mapped back to the source plane, where they form the caustics. They are the locations in the source plane where multiple light rays traced back from the observer bunch up. Because of the way these are constructed, these need not be smooth, though they may be. Any source which falls near a caustic is highly magnified, and when a source crosses a caustic a pair of images is created or destroyed. The area of the caustics is important for evaluating lensing statistics.

The inner, diamond-shaped caustic corresponds to the outer critical line. Sources that fall near this caustic are tangentially stretched, and if they cross it they will spawn new images near the outer critical line. This diamond-shaped cusp is generic to elliptical lenses, and its area increases with the flattening of the lens.

The outer caustic maps to the inner critical curve, which is where radial arcs form. Its existence implies a core to the mass distribution as it marks the region where the radial component of the deflection angle peaks. Very concentrated lenses do not form radial arcs.

### 2.7. The mass-sheet degeneracy

Even though we can learn a lot from identifying multiple image pairs seen through a gravitational lens, it turns out to be impossible in principle to deduce the lensing potential completely from such data, no matter how detailed. The reason is that we do not have the luxury of being able to remove the lens and see the source plane undistorted. This unknown source plane propagates in the form of degeneracies in the lens model.

The most fundamental important degeneracy stems from the unknown scale of the source plane. If in the ray-trace equation 7 we scale the source location by a factor $`k`$, it is simple to construct a new lens which preserves all the image locations, as follows:

$$\beta =\theta \frac{D_{ds}}{D_s}\alpha (\theta )k\beta =\theta \frac{D_{ds}}{D_s}\left[k\alpha (\theta )+\frac{D_s}{D_{ds}}(1k)\theta \right]\theta \frac{D_{ds}}{D_s}\overline{\alpha }(\theta ).$$
(21)
Any source at location $`\beta `$ viewed through the lens with deflection angles $`\alpha `$ will be seen at the same location $`\theta `$ as a source at location $`k\beta `$ seen through the lens $`\overline{\alpha }`$. This new lens is obtained by rescaling the amplitude of the original lensing potential by a factor $`k`$, and adding a new quadratic lens potential

$$\mathrm{\Psi }_{\mathrm{sheet}}=\frac{c^2}{4}(1k)\frac{D_s}{D_dD_{ds}}s^2,$$
(22)
which corresponds to a sheet of constant surface mass density $`\mathrm{\Sigma }=(1k)\mathrm{\Sigma }_{\mathrm{crit}}`$.

This mass sheet degeneracy can only be broken if (i) there is independent knowledge of the scale of the source plane, e.g., via source densities, (ii) sources at very different distances behind the lens are multiply imaged, so that the distance dependence of $`\mathrm{\Sigma }_{\mathrm{crit}}`$ can be used to solve for $`k`$, or (iii) the lens model can be extended out to sufficiently large radii that a mass sheet can be ruled out on other grounds.

## 3. Strong lensing

Lenses in which $`\kappa `$ and $`\gamma `$ are of order 1 are termed strong. They produce multiple images, strong distortions, and very beautiful pictures of which a number can be found throughout this volume!

The two situations in which near-critical surface densities are attained are in the cores of massive galaxy clusters, and in the cores of galaxies (strictly speaking microlensing, described later, is also a form of strong lensing). Both galaxy and cluster lensing are discussed in detail in other contributions to this school.

Strong lenses are used in a number of applications: the main ones are non-dynamical mass measurements of galaxies and of clusters, determination of the Hubble constant, and studying distant galaxies with the aid of the lensing magnification.

### 3.1. Singular isothermal lens

A fiducial model for a galaxy or galaxy cluster lens is the pseudo-isothermal sphere,

$$\psi (r)=\sigma ^2\mathrm{ln}\left(a^2+r^2\right).$$
(23)
It produces an asymptotically constant bending angle of

$$\alpha =\frac{4\pi \sigma ^2}{c^2}\frac{s}{\left(a^2+s^2\right)}^{1/2}25{}_{}{}^{\prime \prime }\left(\frac{\sigma }{1000\mathrm{k}\mathrm{m}\mathrm{s}^1}\right)_{}^{2}\text{at large }s.$$
(24)
In this lens model, $`\kappa `$ and $`(\gamma _1^2+\gamma _2^2)^{1/2}`$ are everywhere equal, and fall off as $`s^1`$; on the critical line both are equal to $`\frac{1}{2}`$. The fact that the bending angle is constant outside the core means that all images are displaced radially outward by the same amount, and stretched tangentially along circles centered on the lens. The resulting arclets surrounding the lens are a generic feature of concentrated lenses, a manifestation of the lens’s outward ‘squeezing’ of the sky (Fig. 7). They are distinct from the giant arcs seen in elliptical lenses such as the one in Fig. 6: those are merging tangentially distorted image pairs.

### 3.2. The Hubble constant from time delays

If one ‘solves’ a lens system, this means that all angles between observer, lens and source have been defined. However there is no absolute distance scale that enters such a solution. The lens mass and the distances between lens, source and observer can be rescaled in proportion without any observable consequence to the images. However such a rescaling does scale the Fermat potential, and hence the time delay between images of the same source.

If a multiply-imaged source is variable, this offers the possibility to measure this time delay directly, and hence to set such a scale.

In practice this method suffers from some difficulties. The lens needs to be well-understood, which implies that either there is an independent measurement of its mass profile (including the environment of the lens itself)—the mass sheet degeneracy manifests itself here. The time delay needs to be unambiguously established, requiring long time series measurements, and feasible to monitor: this rules out cluster lenses where the delay runs into centuries. Also, the relative brightnesses of the images can be used as a further constraint on the model; however the magnification depends on higher derivatives of the potential and is therefore more sensitive to details. Furthermore, as discussed in §5 below, microlensing may affect the images in different ways which are unrelated to the large-scale lensing potential that determines the time delay.

The most robust systems for this work are four-image galaxy lenses. They provide a useful number of constraints on the lens, so that the potential may be sensibly constrained (although even here one quickly runs out of parameters!). They also yield a number of different time delay measurements, further tightening the model.

### 3.3. Clusters as Gravitational Telescopes

Though their imaging properties are far from ideal, cluster lenses can provide a useful peek at distant galaxies, magnifying detail that is otherwise inaccessible. They also can boost faint sources into the realm of detectability.

A nice example is provided by the ’baby galaxy’ discovered behind Abell 2218 by Ellis et al. (2001). The cluster is one of the most well-understood ones, with a number of multiple image systems for which redshifts have been determined. By surveying the critical lines of this cluster, a $`z=5.56`$ source was discovered which is magnified a factor of 33 by the lens (Fig. 8). Even so, the source is barely visible on deep HST exposures! The spectrum shows a single emission line at 800nm, but no detectable continuum. Using the lens model, it was possible to predict where other images of the source should be visible as a function of the redshift of the source. When the line is identified with Ly-$`\alpha `$, such a second image was indeed seen, and it proved to have an identical spectrum. The gravitational telescope thus brought this tiny galaxy into view, and the lensing was also instrumental in securing the redshift of this source.

## 4. Weak Lensing

In weak lensing $`\kappa ,\gamma 1`$. There is no multiple image formation, only the slight distortion is under consideration in this regime. Weak lensing is nevertheless a very powerful tool, which is a result of two key facts: (i) it is possible to measure very small distortions; and (ii) there is a nice inversion possible between the observed distortion field and the lens mass distribution.

The details of these techniques are described in the review by Peter Schneider elsewhere in this volume; here we sketch the principles.

### 4.1. Measuring distortions

If we were in the fortunate position that all galaxies were intrinsically round, then it would be simple to deduce the distortion matrix of the lens mapping: the circular images would be sheared into ellipses, and the size and direction of this shear would be easy to read off from the shape and orientation of the galaxies. This ideal can be approached by noting that while galaxies themselves come in many, basically elliptical shapes, they are randomly oriented. The average galaxy is thus round, in the sense that a stacking of a large number of galaxy images would give a round blob. If there is some distortion, this would affect all galaxy images equally, hence also the summed image. Consequently we should be able to measure the distortion from the way the blob is sheared.

In practice this is not the technique used to extract estimates of the lensing distortion, but it illustrates that the information is there. A different illustration of the same point is given in Fig. 9, where an ensemble of elliptical images is sheared, and the resulting systematic distortion uncovered by plotting the distribution of image polarizations

$$(\begin{array}{c}e_1\\ e_2\end{array})=\frac{1}{I_{11}+I_{22}}(\begin{array}{c}I_{11}I_{22}\\ 2I_{12}\end{array})$$
(25)
where the $`I_{ij}`$ terms are different second moments $`f(x_1,x_2)x_ix_j𝑑x_1𝑑x_2`$ of each galaxy’s light distributions $`f(x_1,x_2)`$ in the image plane.

A delicate point in weak lensing is correction for all kinds of atmospheric and instrumental effects, which often produce considerably stronger distortions than the gravitational lensing. With existing techniques it is possible to derived reliable distortions with an accuracy of better than a few tenths of a percent. By obtaining distortion estimates in various bins on an image, a distortion map can be generated, which lays bare the effect of weak lensing by, for example, a cluster of galaxies. Also statistical studies in the field are now underway, in order to estimate the power spectrum of the gravitational lensing distortions, which can be related to the power spectrum of mass density fluctuations at intermediate redshifts.

### 4.2. Mass reconstruction

Once the distortion map has been made, the next step is to turn this into information about the gravitational lens. This is possile, because in the weak lensing regime, the distortion is a rather direct masure of the gravitational shear $`\gamma _i`$ of the lens (though one still needs to deal with the mass-sheet degeneracy, e.g. by setting the average mass density at a large distance to zero). Using eq. 19, it is simple to show that the shear components are related to $`\kappa `$, and hence the surface mass density distribution in the lens, via

$$\gamma _{1,1}+\gamma _{2,2}=\kappa _1;\gamma _{2,1}\gamma _{1,2}=\kappa _2.$$
(26)
These equations, which are in fact redundant, allow the measured shear field to be transformed into a $`\kappa `$ field, i.e., a picture of the lensing mass distribution. Different techniques exist to perform this inversion in practical situations, employing various kinds of regularization, and handling boundary conditions in different ways, but the principle is the same.

## 5. Microlensing

The final context in which gravitational lensing is encountered in modern astronomy is microlensing. Microlensing is done by compact lenses such as stars, and described by the point-lens formalism. An important difference with weak and strong lensing is that the multiple images produced by a microlens are usually not resolved, but only the combined (enhanced) flux of both images is seen. Because of this lack of resolution, microlensing can only be detected when the lens-observer-source alignment changes, since this alters the combined fluxes of the images. Detecting microlensing thus involves monitoring sources for brightness variations.

In quasars lensed by galaxies microlensing can occur as a result of the grainy gravitational potential of the lens galaxy. This is known as the high optical depth regime: microlensing in this context is not well described by lensing due to a single point mass.

In a more local setting, on the other hand, microlensing is very rare (for example, of order one star per million in the Galactic bulge or in the Magellanic Clouds is microlensed at any time), and studying the rates and characteristics of such microlensing events provides important information on the number and masses of compact objects along the line of sight.

The first surveys for microlensing were started in 1993, and the results as well as future prospects are reviewed in detail in Wyn Evans’ article in this volume.

## 6. Conclusions

Gravitational lensing has matured into a standard tool of astrophysics. It remains an attractive field because of the rather clean concepts employed, the very different insight it offers into mass determinations and geometrical measurements of the universe, the occasional peek it grants into the distant universe, and the often stunningly beautiful images one is forced to work with. As is well illustrated in the rest of this volume, there is plenty more life in lensing yet!

## References

Schneider, P., Ehlers, J. & Falco, E.E. 1992, “Gravitational Lenses”, Springer.

Ellis, R.S., Santos, M.R., Kneib, J.-P. & Kuijken, K. 2001, ApJ, 560, L119


text:
# Equidistribution and Sign-Balance on 321-Avoiding Permutations

## 1 Introduction

### 1.1 Equidistribution

One of the frequent themes in combinatorics is identifying two distinct parameters on the same set which are equidistributed, i.e., share the same generating function. The first substantial result of this kind on permutations, by MacMahon , received a remarkable refinement by Foata and Schützenberger  (see also ). They proved the equidistribution of inversion number and major index, not only on the whole symmetric group, but also on distinguished subsets of permutations (those whose inverses have a prescribed descent set).

Equidistribution theorems on descent classes were shown to be closely related to the study of polynomial rings; see, e.g., . Motivated by the properties of certain quotient rings, studied by Aval and Bergeron  (see also Section 6 below), we looked for an analogue for the set of $`321`$-avoiding permutations of the above mentioned theorem of Foata and Schützenberger.

Let $`S_n`$ be the symmetric group on $`n`$ letters, and let

$$T_n:=\{\pi S_n|i<j<k\text{ such that }\pi (i)>\pi (j)>\pi (k)\}$$

be the set of $`321`$-avoiding (or two-row shaped) permutations in $`S_n`$. For $`\pi T_n`$ define the following statistics:

$`\mathrm{i}nv(\pi )`$ $`:=`$ inversion number of $`\pi `$
$`(=`$ $`\text{length of }\pi \text{ w.r.t. the usual generators of }S_n)`$
$`\mathrm{l}des(\pi )`$ $`:=`$ $`\text{last descent of }\pi =\mathrm{max}\{1in1|\pi (i)>\pi (i+1)\}`$
$`(\text{where }\mathrm{l}des(\pi ):=0\text{ for }\pi =id)`$
$`\mathrm{l}ind(\pi )`$ $`:=`$ $`\pi ^1(n),\text{ the index of the digit “}n\text{” in }\pi `$
$`\mathrm{D}es(\pi ^1)`$ $`:=`$ $`\text{descent set of }\pi ^1=\{1in1|\pi ^1(i)>\pi ^1(i+1)\}`$
The following theorem is a $`T_n`$-analogue of \[9, Theorem 1\].

###### Theorem 1.1

The statistics “ $`\mathrm{l}des`$” and “ $`\mathrm{l}ind1`$” are equidistributed over $`T_n`$. Moreover, for any $`B[n2]`$ they are equidistributed over the set

$$T_n(B):=\{\pi T_n|\mathrm{D}es(\pi ^1)[n2]=B\},$$

namely:

$$\underset{\pi T_n(B)}{}q^{\mathrm{l}des(\pi )}=\underset{\pi T_n(B)}{}q^{\mathrm{l}ind(\pi )1}.$$

Let $`𝒫_n`$ be the set of Dyck paths of length $`2n`$. For $`p=(p_1,\mathrm{},p_{2n})𝒫_n`$, let

$`\mathrm{l}des(p)`$ $`:=`$ $`\mathrm{max}\{1in1|p_i=+1,p_{i+1}=1\}`$
$`(\text{where }\mathrm{l}des(p):=0\text{ for }p=(+\mathrm{}+\mathrm{}))`$
$`\mathrm{l}ind(p)`$ $`:=`$ $`\mathrm{max}\{1in|p_i=+1,p_{i+1}=1\}`$
$`\mathrm{D}es(p^1)`$ $`:=`$ $`\{1in1|p_{2ni}=+1,p_{2ni+1}=1\}`$
###### Theorem 1.2

$$\underset{\pi T_n}{}q^{\mathrm{l}des(\pi )}=\underset{p𝒫_n}{}q^{\mathrm{l}des(p)}=\underset{p𝒫_n}{}q^{\mathrm{l}ind(p)1}.$$

Moreover, for any $`B[n2]`$,

$$\underset{\pi T_n(B)}{}q^{\mathrm{l}des(\pi )}=\underset{p𝒫_n(B)}{}q^{\mathrm{l}des(p)}=\underset{p𝒫_n(B)}{}q^{\mathrm{l}ind(p)1},$$

where $`T_n(B)`$ is as in Theorem 1.1 and

$$𝒫_n(B):=\{p𝒫_n|\mathrm{D}es(p^1)[n2]=B\}.$$

### 1.2 Signed Enumeration

Sign balance for linear extensions of posets was studied in . The study of sign balance for pattern-avoiding permutations started with Simion and Schmidt , who proved that the numbers of even and odd $`123`$-avoiding permutations in $`S_n`$ are equal if $`n`$ is even, and differ (up to a sign) by a Catalan number if $`n`$ is odd. Refined sign balance (i.e., a generating function taking into account the signs of permutations) was investigated by Désarmenien and Foata  and by Wachs . A beautiful formula for the signed Mahonian (i.e., the sign-and-major-index enumerator on $`S_n`$) was found by Simion and Gessel \[26, Cor. 2\]; see also .

The last descent statistic is a $`T_n`$-analogue of the major index on $`S_n`$, as demonstrated by Theorem 1.1 above; see also the discussion in Section 6. Thus, a $`T_n`$-analogue of the signed Mahonian on $`S_n`$ is the sum

$$\underset{\pi T_n}{}\mathrm{s}ign(\pi )q^{\mathrm{l}des(\pi )}.$$

For this sum we prove

###### Theorem 1.3

$`{\displaystyle \underset{\pi T_{2n+1}}{}}\mathrm{s}ign(\pi )q^{\mathrm{l}des(\pi )}`$ $`=`$ $`{\displaystyle \underset{\pi T_n}{}}q^{2\mathrm{l}des(\pi )}(n0),`$
$`{\displaystyle \underset{\pi T_{2n}}{}}\mathrm{s}ign(\pi )q^{\mathrm{l}des(\pi )}`$ $`=`$ $`(1q){\displaystyle \underset{\pi T_n}{}}q^{2\mathrm{l}des(\pi )}(n1).`$
This result refines (and is actually implicit in) some results in . Our approach is different from that of ; see Subsection 1.3 below. After the archive posting of the current paper, Theorem 1.3 has been followed by various extensions, analogues and refinements:

* A. Reifegerste gave a bivariate refinement \[18, Cor. 4.4\].
* T. Mansour proved an analogue for $`132`$-avoiding permutations .
* M. Shynar found analogues for the signed enumeration of tableaux with respect to certain natural statistics .

The following phenomenon appears, with small variations, in all these results: the standard enumerator of objects of size $`n`$ is essentially equal to the signed enumerator of objects of size $`2n`$. This phenomenon deserves further study; it seems to be related to the cyclic sieving phenomenon of .

### 1.3 Recursion

Our main tool in proving the above results is a new recursive formula for the multivariate generating function, on $`321`$-avoiding permutations, involving the inversion number, the last descent, the last index, and the descent set of the inverse (Theorem 2.1 below).

It should be noted that, shortly after the archive posting of this paper, bijective proofs of Theorems 1.1 and 1.3 were presented by A. Reifegerste .

## 2 A Recursion Formula

Define the multivariate generating function

$$f_n(\overline{t},x,y,z):=\underset{\pi T_n}{}t_{\mathrm{D}es(\pi ^1)}x^{\mathrm{i}nv(\pi )}y^{\mathrm{l}des(\pi )}z^{\mathrm{l}ind(\pi )},$$
(1)
where $`\overline{t}=(t_1,t_2,\mathrm{})`$ and $`t_D:=_{iD}t_i`$ for $`D[n1]`$.

###### Theorem 2.1

(Recursion Formula)

$$f_1(\overline{t},x,y,z)=z$$

and, for $`n2`$,

$`(xyz)f_n(\overline{t},x,y,z)`$ $`=`$ $`t_{n1}x^nyzf_{n1}(\overline{t},x,yz/x,1)`$
$`+(1t_{n1})x^nyzf_{n1}(\overline{t},x,1,yz/x)`$
$`+(xyz)z^nf_{n1}(\overline{t},x,y,1)`$
$`xy^nz^nf_{n1}(\overline{t},x,1,1)`$
Proof. The case $`n=1`$ is clear. Assume $`n2`$.

Given a permutation

$$\pi =(\pi (1),\mathrm{},\pi (n1))T_{n1},$$

insert the digit $`n`$ between the $`k`$th and $`(k+1)`$st places in $`\pi `$ ($`0kn1`$) to get a permutation

$$\overline{\pi }=(\pi (1),\mathrm{},\pi (k),n,\pi (k+1),\mathrm{},\pi (n1))S_n.$$

Clearly, a necessary and sufficient condition for $`\overline{\pi }T_n`$ is that $`\pi `$ has no descent after the $`k`$th place, i.e.,

$$\mathrm{l}des(\pi )kn1.$$
(2)
If $`\pi `$ has no descents, i.e. $`\pi =id`$, this still holds with $`\mathrm{l}des(\pi ):=0`$. The new statistics for $`\overline{\pi }`$ are:

$`\mathrm{i}nv(\overline{\pi })`$ $`=`$ $`\mathrm{i}nv(\pi )+(n1k)`$
$`\mathrm{l}des(\overline{\pi })`$ $`=`$ $`\{\begin{array}{cc}k+1,\hfill & \text{if }k<n1\text{;}\hfill \\ \mathrm{l}des(\pi ),\hfill & \text{if }k=n1\text{.}\hfill \end{array}`$
$`\mathrm{l}ind(\overline{\pi })`$ $`=`$ $`k+1`$
$`\mathrm{D}es(\overline{\pi }^1)`$ $`=`$ $`\{\begin{array}{cc}\mathrm{D}es(\pi ^1),\hfill & \text{if }\pi ^1(n1)k\text{;}\hfill \\ \mathrm{D}es(\pi ^1)\{n1\},\hfill & \text{if }k<\pi ^1(n1)\text{.}\hfill \end{array}`$
Note that, for any $`\pi T_{n1}`$,

$$\mathrm{l}des(\pi )\pi ^1(n1)n1;$$

and, actually, exactly one of the following two cases holds: either

$$\mathrm{l}des(\pi )=\pi ^1(n1)<n1(\text{if }n1\text{ is not the last digit in }\pi )$$

or

$$\mathrm{l}des(\pi )<\pi ^1(n1)=n1(\text{if }n1\text{ is the last digit in }\pi ).$$

We can therefore compute

$`f_n`$ $`=`$ $`f_n(\overline{t},x,y,z)`$
$`=`$ $`{\displaystyle \underset{\pi T_{n1}}{}}{\displaystyle \underset{k=\mathrm{l}des(\pi )}{\overset{n1}{}}}t_{\mathrm{D}es(\overline{\pi }^1)}x^{\mathrm{i}nv(\overline{\pi })}y^{\mathrm{l}des(\overline{\pi })}z^{\mathrm{l}ind(\overline{\pi })}`$
$`=`$ $`{\displaystyle \underset{\pi T_{n1}}{}}t_{\mathrm{D}es(\pi ^1)}x^{\mathrm{i}nv(\pi )}[{\displaystyle \underset{k=\mathrm{l}des(\pi )}{\overset{\pi ^1(n1)1}{}}}t_{n1}x^{n1k}y^{k+1}z^{k+1}`$
$`+{\displaystyle \underset{k=\pi ^1(n1)}{\overset{n2}{}}}x^{n1k}y^{k+1}z^{k+1}+y^{\mathrm{l}des(\pi )}z^n]`$
$`=`$ $`{\displaystyle \underset{\pi T_{n1}}{}}t_{\mathrm{D}es(\pi ^1)}x^{\mathrm{i}nv(\pi )}[t_{n1}x^{n1}yz{\displaystyle \underset{k=\mathrm{l}des(\pi )}{\overset{\pi ^1(n1)1}{}}}(yz/x)^k`$
$`+x^{n1}yz{\displaystyle \underset{k=\pi ^1(n1)}{\overset{n2}{}}}(yz/x)^k+y^{\mathrm{l}des(\pi )}z^n]`$
$`=`$ $`(1yz/x)^1{\displaystyle \underset{\pi T_{n1}}{}}t_{\mathrm{D}es(\pi ^1)}x^{\mathrm{i}nv(\pi )}`$
$`[t_{n1}x^{n1}yz((yz/x)^{\mathrm{l}des(\pi )}(yz/x)^{\pi ^1(n1)})`$
$`+x^{n1}yz((yz/x)^{\pi ^1(n1)}(yz/x)^{n1})+y^{\mathrm{l}des(\pi )}z^n(1yz/x)]`$
$`=`$ $`(1yz/x)^1[t_{n1}x^{n1}yzf_{n1}(\overline{t},x,yz/x,1)`$
$`+(1t_{n1})x^{n1}yzf_{n1}(\overline{t},x,1,yz/x)y^nz^nf_{n1}(\overline{t},x,1,1)`$
$`+(1yz/x)z^nf_{n1}(\overline{t},x,y,1)].`$
Multiply both sides by $`(xyz)`$ to get the claimed recursion.

$`\mathrm{}`$

###### Corollary 2.2

The first few values of $`f_n`$ are:

$`f_1(\overline{t},x,y,z)`$ $`=`$ $`z`$
$`f_2(\overline{t},x,y,z)`$ $`=`$ $`z^2+t_1xyz`$
$`f_3(\overline{t},x,y,z)`$ $`=`$ $`z^3+t_1(x^2y^2z^2+xyz^3)+t_2(x^2yz+xy^2z^2)`$
$`f_4(\overline{t},x,y,z)`$ $`=`$ $`z^4+t_1(x^3y^3z^3+x^2y^2z^4+xyz^4)`$
$`+t_2(x^4y^2z^2+x^3y^3z^3+x^2y^3z^3+x^2yz^4+xy^2z^4)`$
$`+t_3(x^3yz+x^2y^2z^2+xy^3z^3)+t_1t_3(x^3y^2z^2+x^2y^3z^3)`$
## 3 Equidistribution of $`\mathrm{l}des`$ and $`\mathrm{l}ind1`$

In this section we prove Theorem 1.1.

Note. Most of the permutations $`\pi T_n`$, namely those with $`\pi (n)n`$, satisfy $`\mathrm{l}ind(\pi )=\mathrm{l}des(\pi )`$. Nevertheless, the equidistributed parameters are not $`\mathrm{l}des`$ and $`\mathrm{l}ind`$ but rather $`\mathrm{l}des`$ and $`\mathrm{l}ind1`$.

Note. $`T_n(B)`$ “forgets” whether or not $`n1`$ belongs to $`\mathrm{D}es(\pi ^1)`$. The corresponding claim, without this “forgetfulness”, is false!

Proof of Theorem 1.1. We have to show that, letting $`x=1`$:

$$q\widehat{f}_n(\overline{t},1,q,1)=\widehat{f}_n(\overline{t},1,1,q),$$

where $`\widehat{f}`$ denotes $`f`$ under the additional substitution $`t_{n1}=1`$. This clearly holds for $`n=1`$ (as well as for $`n=2,3,4`$, by Corollary 2.2). By Theorem 2.1, for $`n2`$:

$`(1yz)\widehat{f}_n(\overline{t},1,y,z)`$ $`=`$ $`yzf_{n1}(\overline{t},1,yz,1)+(1yz)z^nf_{n1}(\overline{t},1,y,1)`$
$`y^nz^nf_{n1}(\overline{t},1,1,1).`$
Letting $`y=q`$ and $`z=1`$ gives

$`(1q)\widehat{f}_n(\overline{t},1,q,1)`$ $`=`$ $`qf_{n1}(\overline{t},1,q,1)+(1q)f_{n1}(\overline{t},1,q,1)`$
$`q^nf_{n1}(\overline{t},1,1,1)`$
$`=`$ $`f_{n1}(\overline{t},1,q,1)q^nf_{n1}(\overline{t},1,1,1),`$
whereas letting $`y=1`$ and $`z=q`$ yields

$`(1q)\widehat{f}_n(\overline{t},1,1,q)`$ $`=`$ $`qf_{n1}(\overline{t},1,q,1)+(1q)q^nf_{n1}(\overline{t},1,1,1)`$
$`q^nf_{n1}(\overline{t},1,1,1)`$
$`=`$ $`qf_{n1}(\overline{t},1,q,1)q^{n+1}f_{n1}(\overline{t},1,1,1).`$
This completes the proof. $`\mathrm{}`$

## 4 Sign Balance of $`T_n`$

In this section we prove Theorem 1.3.

Proof of Theorem 1.3. Substituting $`\overline{t}=(1,1,\mathrm{})`$, $`z=1`$, and $`x=1`$ in the generating function (1), denote

$$g_n(1,y):=f_n(\overline{1},1,y,1)=\underset{\pi T_n}{}(1)^{\mathrm{i}nv(\pi )}y^{\mathrm{l}des(\pi )}(n1).$$

This function records the sign and the last descent of $`321`$-avoiding permutations. Recall also the generating function for last descent, from Theorem 1.1:

$$g_n(1,y):=f_n(\overline{1},1,y,1)=\underset{\pi T_n}{}y^{\mathrm{l}des(\pi )}(n1).$$

Let $`g_0(1,y):=1`$. We have to prove that

$$g_{2n+1}(1,y)=g_n(1,y^2)(n0),$$

and

$$g_{2n}(1,y)=(1y)g_n(1,y^2)(n1).$$

By Theorem 2.1, the polynomial $`g_n(1,y)`$ satisfies the recursion formula

$`(1y)g_n(1,y)`$ $`=`$ $`(1)^nyg_{n1}(1,y)+(1y)g_{n1}(1,y)`$
$`+y^ng_{n1}(1,1).`$
Clearly,

$$g_1(1,y)=1=g_0(1,y^2)$$

and also

$$g_2(1,y)=1y=(1y)g_1(1,y^2).$$

We can proceed by induction. If

$$g_{2n}(1,y)=(1y)g_n(1,y^2)$$

then

$`(1y)g_{2n+1}(1,y)`$ $`=`$ $`yg_{2n}(1,y)+(1y)g_{2n}(1,y)`$
$`+y^{2n+1}g_{2n}(1,1)`$
$`=`$ $`y(1+y)g_n(1,y^2)+(1y)(1y)g_n(1,y^2)`$
$`+\mathrm{\hspace{0.17em}0}`$
$`=`$ $`(1y)g_n(1,y^2),`$
so that

$$g_{2n+1}(1,y)=g_n(1,y^2).$$

This, in turn, implies

$`(1y)g_{2n+2}(1,y)`$ $`=`$ $`yg_{2n+1}(1,y)+(1y)g_{2n+1}(1,y)`$
$`+y^{2n+2}g_{2n+1}(1,1)`$
$`=`$ $`yg_n(1,y^2)+(1y)g_n(1,y^2)+y^{2n+2}g_n(1,1)`$
$`=`$ $`g_n(1,y^2)+y^{2n+2}g_n(1,1)`$
and therefore

$$g_{2n+2}(1,y)=\frac{g_n(1,y^2)y^{2n+2}g_n(1,1)}{1+y}=(1y)h_n(y^2),$$

where

$$h_n(q)=\frac{g_n(1,q)q^{n+1}g_n(1,1)}{1q}.$$

We need to show that

$$h_n(q)=g_{n+1}(1,q).$$

Indeed, the equation

$$(1q)g_{n+1}(1,q)=g_n(1,q)q^{n+1}g_n(1,1)$$

follows immediately from Theorem 2.1.

$`\mathrm{}`$

###### Corollary 4.1

(equivalent to \[23, Prop. 2\])
The sign-balance enumerator for $`T_n`$

$$g_n(1,1):=f_n(\overline{1},1,1,1)=\underset{\pi T_n}{}(1)^{\mathrm{i}nv(\pi )}$$

is either a Catalan number or zero:

$`g_{2n+1}(1,1)`$ $`=`$ $`|T_n|={\displaystyle \frac{1}{n+1}}\left({\displaystyle \genfrac{}{}{0pt}{}{2n}{n}}\right)(n0)`$
$`g_{2n}(1,1)`$ $`=`$ $`0(n1)`$
The amazing connection between $`T_n`$, $`T_{2n}`$, and $`T_{2n+1}`$ calls for further study.

## 5 Dyck Paths

Let $`𝒫_n`$ be the set of Dyck paths of length $`2n`$. Thus, each $`p𝒫_n`$ is a sequence $`(p_1,\mathrm{},p_{2n})`$ of $`n`$$`+1`$”s and $`n`$$`1`$”s, with nonnegative initial partial sums:

$$p_1+\mathrm{}+p_i0(i).$$

Of course, $`p_1+\mathrm{}+p_{2n}=0`$ by definition.

A peak of a Dyck path $`p=(p_1,\mathrm{},p_{2n})𝒫_n`$ is an index $`1i2n1`$ such that $`p_i=+1`$ and $`p_{i+1}=1`$. Let $`\mathrm{P}eak(p)`$ be the set of all peaks of $`p`$. Define the Descent set of $`p`$ to be

$$\mathrm{D}es(p):=\{1in1|i\mathrm{P}eak(p)\}.$$

Define the inverse path $`p^1𝒫_n`$ to be

$$p^1:=(p_{2n},\mathrm{},p_1),$$

i.e., $`p^1`$ is obtained by reversing the order of steps as well as the sign of each step in $`p`$. Clearly,

$$i\mathrm{P}eak(p^1)2ni\mathrm{P}eak(p),$$

so that

$`\mathrm{D}es(p^1)`$ $`=`$ $`\{1in1|i\mathrm{P}eak(p^1)\}`$
$`=`$ $`\{1in1|\mathrm{\hspace{0.17em}2}ni\mathrm{P}eak(p)\}.`$
Thus the peaks strictly before the midpoint of $`p`$ record the descents of $`p`$, whereas those strictly after the midpoint of $`p`$ record the descents of $`p^1`$, in reverse order. The reason for this terminology is the following result.

###### Lemma 5.1

There exists a bijection $`\varphi :T_n𝒫_n`$ such that, if $`\pi T_n`$ and $`p:=\varphi (\pi )𝒫_n`$, then

$$\mathrm{D}es(p)=\mathrm{D}es(\pi )$$

and

$$\mathrm{D}es(p^1)=\mathrm{D}es(\pi ^1).$$

Proof. We shall define the bijection $`\varphi :T_n𝒫_n`$ in three steps.

First, let $`\varphi _1:T_n𝒮𝒴𝒯_2(n)`$ be the Robinson-Schensted correspondence, where $`𝒮𝒴𝒯_2(n)`$ is the set of all pairs $`(P,Q)`$ of standard Young tableaux of size $`n`$ with the same two-rowed shape.

Example.

$$\varphi _1(25134)=\left(\begin{array}{ccccccc}1& 3& 4& & 1& 2& 5\\ 2& 5& & ,& 3& 4& \end{array}\right)$$

Next, define $`\varphi _2:𝒮𝒴𝒯_2(n)𝒮𝒴𝒯(n,n)`$, where $`𝒮𝒴𝒯(n,n)`$ is the set of standard Young tableaux of (size $`2n`$ and) shape $`(n,n)`$. $`T=\varphi _2(P,Q)`$ is obtained by gluing $`Q`$ along its “eastern frontier” to the skew tableau obtained by rotating $`P`$ by $`180^0`$ and replacing each entry $`1jn`$ of $`P`$ by $`2n+1j`$.

Example.

$$\varphi _2\left(\begin{array}{ccccccc}1& 3& 4& & 1& 2& 5\\ 2& 5& & ,& 3& 4& \end{array}\right)=\begin{array}{ccccc}1& 2& 5& 6& 9\\ 3& 4& 7& 8& 10\end{array}$$

Finally, define $`\varphi _3:𝒮𝒴𝒯(n,n)𝒫_n`$ as follows: the increasing ($`+1`$) steps in $`\varphi _3(T)`$ are at places indexed by the entries in row $`1`$ of $`T`$, whereas the decreasing ($`1`$) steps are at places indexed by row $`2`$ of $`T`$.

Example.

$$\varphi _3\left(\begin{array}{ccccc}1& 2& 5& 6& 9\\ 3& 4& 7& 8& 10\end{array}\right)=(+++++)$$

The bijection we want is the composition $`\varphi =\varphi _3\varphi _2\varphi _1`$.

Let us examine what happens to the descent sets of $`\pi `$ and of $`\pi ^1`$ under this sequence of transformations.

By a well-known property of the Robinson-Schensted correspondence $`\varphi _1`$, if

$$\pi \stackrel{\varphi _1}{}(P,Q)\stackrel{\varphi _2}{}T\stackrel{\varphi _3}{}p$$

then

$$\pi ^1\stackrel{\varphi _1}{}(Q,P)\stackrel{\varphi _2}{}T^1\stackrel{\varphi _3}{}p^1.$$

Here $`T^1`$ is the tableau obtained from $`T𝒮𝒴𝒯(n,n)`$ by a $`180^0`$ rotation and replacement of each entry $`1j2n`$ by $`2n+1j`$.

For a standard two-rowed Young tableau $`P`$ of size $`n`$ define:

$$\mathrm{D}es(P):=\{1in1|i\text{ is in row 1 and }i+1\text{ is in row 2 of }P\}.$$

For $`T𝒮𝒴𝒯(n,n)`$ (of size $`2n`$) define

$`\mathrm{D}es_1(T)`$ $`:=`$ $`\mathrm{D}es(T)[n1]`$
$`=`$ $`\{1in1|i\text{ is in row 1 and }i+1\text{ is in row 2 of }T\}.`$
Using all this notation we now have, for $`\pi T_n`$,

$$\mathrm{D}es(\pi )=\mathrm{D}es(Q)=\mathrm{D}es_1(T)=\mathrm{D}es(p),$$

where the equality $`\mathrm{D}es(\pi )=\mathrm{D}es(Q)`$ is again a well-known property of the Robinson-Schensted correspondence. Similarly,

$$\mathrm{D}es(\pi ^1)=\mathrm{D}es(P)=\mathrm{D}es_1(T^1)=\mathrm{D}es(p^1).$$

This completes the proof.

$`\mathrm{}`$

Note. The bijection $`\varphi :T_n𝒫_n`$ in the proof of Lemma 5.1, so well suited for our purposes, is essentially due to Knuth \[13, p. 64\] (up to an extra rotation of $`T`$). Its ingredient $`\varphi _2`$ was already used by MacMahon \[15, p. 131\]. For other bijections between these two sets see .

For a Dyck path $`p=(p_1,\mathrm{},p_{2n})𝒫_n`$, let

$$\mathrm{l}des(p):=\mathrm{max}\mathrm{D}es(p)=\mathrm{max}\{1in1|p_i=+1,p_{i+1}=1\}.$$

If $`\mathrm{D}es(p)=\mathrm{}`$, i.e., if $`p=(+\mathrm{}+\mathrm{})`$ is the “unimodal path”, we define $`\mathrm{l}des(p):=0`$.

Define also

$$\mathrm{l}ind(p):=\mathrm{max}\{1in|p_i=+1,p_{i+1}=1\}.$$

In other words,

$$\mathrm{l}ind(p)=\{\begin{array}{cc}n,\hfill & \text{if }n\mathrm{P}eak(p)\text{;}\hfill \\ \mathrm{l}des(p),\hfill & \text{otherwise.}\hfill \end{array}$$

###### Lemma 5.2

Let

$$\pi \stackrel{\varphi _1}{}(P,Q)\stackrel{\varphi _2}{}T\stackrel{\varphi _3}{}p,$$

as in the proof of Lemma 5.1. The following conditions are equivalent:

1. $`\pi (n)=n`$.
2. $`n`$ is in row 1 of both $`P`$ and $`Q`$.
3. $`n`$ is in row 1 of $`T`$, and $`n+1`$ is in row 2 of $`T`$.
4. $`n\mathrm{P}eak(p)`$.

Proof. If $`\pi (n)=n`$ then $`n`$ is the last element inserted into $`P`$, and it stays in row 1 due to its size. Thus $`n`$ is in row 1 of both $`P`$ and $`Q`$. Conversely, if $`n`$ is in row 1 of both $`P`$ and $`Q`$ then it is necessarily the last element in each of these rows. Thus it is the last element inserted into $`P`$, i.e., $`\pi (n)=n`$. This proves the equivalence of conditions 1 and 2.

Conditions 2 and 3 are clearly equivalent, by the definition of $`\varphi _2`$.

Similarly for conditions 3 and 4, by the definitions of $`\varphi _3`$ and of $`\mathrm{P}eak(p)`$.

$`\mathrm{}`$

###### Lemma 5.3

If $`\pi T_n`$ and $`p:=\varphi (\pi )𝒫_n`$, then

$$\mathrm{l}des(p)=\mathrm{l}des(\pi )$$

and

$$\mathrm{l}ind(p)=\mathrm{l}ind(\pi ).$$

Proof. The first claim follows immediately from Lemma 5.1, since

$$\mathrm{l}des(p)=\mathrm{max}\mathrm{D}es(p)=\mathrm{max}\mathrm{D}es(\pi )=\mathrm{l}des(\pi ).$$

(If $`\mathrm{D}es(p)=\mathrm{D}es(\pi )=\mathrm{}`$ then $`\mathrm{l}des(p)=\mathrm{l}des(\pi )=0`$ by definition.)

If $`\pi (n)=n`$ then $`\mathrm{l}ind(\pi )=\pi ^1(n)=n`$, and also $`\mathrm{l}ind(p)=n`$ by Lemma 5.2.

Otherwise ($`\pi (n)n`$) clearly $`\pi ^1(n)\mathrm{D}es(\pi )`$; and $`\pi ^1(n)`$ is actually the last descent of $`\pi `$, because of the $`321`$-avoiding condition. Thus $`\mathrm{l}des(\pi )=\mathrm{l}ind(\pi )`$. On the other hand, $`n\mathrm{P}eak(p)`$ by Lemma 5.2 so that, by definition, $`\mathrm{l}ind(p)=\mathrm{l}des(p)`$. Thus

$$\mathrm{l}ind(p)=\mathrm{l}des(p)=\mathrm{l}des(\pi )=\mathrm{l}ind(\pi ),$$

as claimed.

$`\mathrm{}`$

Proof of Theorem 1.2. Combine Lemmas 5.1 and 5.3 with Theorem 1.1.

$`\mathrm{}`$

## 6 Final Remarks

The quotient $`P_n/QS_n`$ of the polynomial ring $`P_n=𝐐[x_1,\mathrm{},x_n]`$ by the ideal generated by the quasi-symmetric functions without constant term was studied by Aval, Bergeron and Bergeron . They determined its Hilbert series with respect to grading by total degree. For a Dyck path $`p𝒫_n`$, let

$$\mathrm{t}ail(p):=2n\mathrm{max}\{i|p_i=+1,p_{i+1}=1\}$$

be its “tail length”, i.e., the number of consecutive decreasing steps at its end. With this notation, the result of  can be formulated as follows.

###### Theorem 6.1

\[4, Theorem 5.1\] The Hilbert series of the quotient $`P_n/QS_n`$ (graded by total degree) is

$$\underset{p𝒫_n}{}q^{n\mathrm{t}ail(p)}=\underset{k=0}{\overset{n1}{}}\frac{nk}{n+k}\left(\genfrac{}{}{0pt}{}{n+k}{k}\right)q^k.$$

###### Corollary 6.2

The Hilbert series of the quotient $`P_n/QS_n`$ (graded by total degree) is equal to

$$\underset{\pi T_n}{}q^{\mathrm{l}des(\pi )}.$$

Proof. By the definitions in Section 5 above, for every Dyck path $`p𝒫_n`$,

$$\mathrm{t}ail(p)=2n\mathrm{max}\mathrm{P}eak(p)=\mathrm{min}\mathrm{D}es(p^1),$$

with the convention $`\mathrm{min}\mathrm{}:=n`$. Thus, by Lemma 5.1, if $`\pi =\varphi ^1(p)T_n`$ then $`\mathrm{t}ail(p)=\mathrm{min}\mathrm{D}es(\pi ^1)`$. Now, define a bijection $`\psi :T_nT_n`$ by

$$\psi (\pi ):=w_0\pi ^1w_0(\pi T_n),$$

where $`w_0=n\mathrm{}21`$ is the longest element in $`S_n`$. If

$$\pi \stackrel{\psi }{}\widehat{\pi }\stackrel{\varphi }{}p$$

then clearly

$$\mathrm{t}ail(p)=\mathrm{min}\mathrm{D}es(\widehat{\pi }^1)=n\mathrm{max}\mathrm{D}es(\pi )=n\mathrm{l}des(\pi ).$$

We conclude that

$$\underset{p𝒫_n}{}q^{n\mathrm{t}ail(p)}=\underset{\pi T_n}{}q^{\mathrm{l}des(\pi )}.$$

$`\mathrm{}`$

Theorem 6.1 was proved in  by constructing a monomial basis for the quotient ring $`P_n/QS_n`$. By the proof of Corollary 6.2, the elements of this basis may be indexed by permutations $`\pi T_n`$, with total degree given by $`\mathrm{l}des(\pi )`$. It is well known that the Hilbert series of the graded coinvariant algebra $`P_n/I_n`$, where $`I_n`$ is the ideal generated by the symmetric functions without constant term, is equal to

$$\underset{\pi S_n}{}q^{\mathrm{m}aj(\pi )},$$

where $`\mathrm{m}aj(\pi ):=_{i\mathrm{D}es(\pi )}i`$. A monomial basis idexed by permutations $`\pi S_n`$, with total degree given by $`\mathrm{m}aj(\pi )`$, was constructed in . In this sense, the last descent may be considered as a $`T_n`$-analogue of the major index.

###### Problem 6.3

Find algebraic interpretations and proofs for Theorems 1.1 and 1.3.

For a different algebraic interpretation of the generating function in Theorem 6.1 see .

Acknowledgments. Thanks to Nantel Bergeron for stimulating discussions, and to Astrid Reifegerste and an anonymous referee for their comments.


text:
# Banach 𝐾𝐾-theory and the Baum-Connes Conjecture

## 1. Banach $`𝑲𝑲`$-theory and the Baum-Connes conjecture

There are many surveys on Kasparov’s $`KK`$-theory and the Baum-Connes conjecture (see ) and on Banach KK-theory ().

### 1.1. Generalized Fredholm modules

We wish to define $`A`$-linear Fredholm operators (where $`A`$ is a Banach algebra), with an index in $`K_0(A)`$. If $`A=`$, this index should be the usual index of $``$-linear Fredholm operators in $`K_0()=`$.

We define a Banach algebra as a (non necessarily unital) $``$-algebra $`A`$ that is complete for a norm $`.`$ satisfying $`abab`$ for any $`a,bA`$. If $`A`$ and $`B`$ are Banach algebras a morphism $`\theta :AB`$ is an algebra morphism such that $`\theta (a)a`$ for any $`aA`$.

$`K_0`$ and $`K_1`$ are two covariant functors from the category of Banach algebras to the category of abelian groups. If $`X`$ is a locally compact space and $`C_0(X)`$ the algebra of continuous functions vanishing at infinity, $`K_0(C_0(X))`$ and $`K_1(C_0(X))`$ are the Atiyah-Hirzebruch K-theory groups. For technical reasons we shall restrict ourselves to unital Banach algebras in this subsection.

Let $`A`$ be a unital Banach algebra.

A right $`A`$-module $`E`$ is finitely generated projective if and only if it is a direct summand in $`A^n`$ for some integer $`n`$. The set of isomorphism classes of right finitely generated projective $`A`$-modules is a semigroup because the direct sum of two right finitely generated projective $`A`$-modules is a right finitely generated projective $`A`$-module. Then $`K_0(A)`$ is the universal group associated to this semigroup (i.e. the group of formal differences of elements of the semigroup). If $`\theta :AB`$ is a morphism of unital Banach algebras, and $`E`$ is a right finitely generated projective $`A`$-module then $`E_AB`$ is a right finitely generated projective $`B`$-module and this defines $`\theta _{}:K_0(A)K_0(B)`$.

There is another definition of $`K_0(A)`$ for which the functoriality is even more obvious : $`K_0(A)`$ is the quotient of the free abelian group generated by all idempotents $`p`$ in $`M_k(A)`$ for some integer $`k`$, by the relations $`\left[\left(\begin{array}{cc}p& 0\\ 0& q\end{array}\right)\right]=[p]+[q]`$ for any idempotents $`pM_k(A)`$ and $`qM_l(A)`$ and $`[p]=[q]`$ if $`p,q`$ are idempotents of $`M_k(A)`$ and are connected by a path of idempotents in $`M_k(A)`$ and $`[0]=0`$ where $`0`$ is the idempotent $`0`$ in $`M_k(A)`$. The link with the former definition is that any idempotent $`pM_k(A)`$ acts on the left on $`A^k`$ as a projector $`P`$ and $`\mathrm{Im}P`$ is a right finitely generated projective $`A`$-module (it is a direct summand in the right $`A`$-module $`A^k`$).

The following construction was performed for $`C^{}`$-algebras by Mischenko and Kasparov, in connection with the Novikov conjecture (). We adapt it to Banach algebras.

A right Banach $`A`$-module is a Banach space (with a given norm $`._E`$) equipped with a right action of $`A`$ such that $`1A`$ acts by identity and $`xa_Ex_Ea_A`$ for any $`xE`$ and $`aA`$. Let $`E`$ and $`F`$ be right Banach $`A`$-modules. A morphism $`u:EF`$ of right Banach $`A`$-modules is a continuous $``$-linear map such that $`u(xa)=u(x)a`$ for any $`xE`$ and $`aA`$. The space $`_A(E,F)`$ of such morphisms is a Banach space with norm $`u=sup_{xE,x_E=1}u(x)_F`$. A morphism $`u_A(E,F)`$ is said to be “$`A`$-rank one” if $`u=wv`$ with $`v_A(E,A)`$ and $`w_A(A,F)`$. The space $`𝒦_A(E,F)`$ of $`A`$-compact morphisms is the closed vector span of $`A`$-rank one morphisms in $`_A(E,F)`$. If $`E=F`$, $`_A(E)=_A(E,E)`$ is a Banach algebra and $`K_A(E)=K_A(E,E)`$ is a closed ideal in it.

###### Definition 1.1.1

A Fredholm module over $`A`$ is the data of a $`/2`$ graded right Banach $`A`$-module $`E`$ and an odd morphism $`T_A(E)`$ such that $`T^2\mathrm{Id}_E𝒦_A(E)`$.

In other words $`E=E_0E_1`$, $`T=\left(\begin{array}{cc}0& v\\ u& 0\end{array}\right)`$ and $`u_A(E_0,E_1)`$ and $`v_A(E_1,E_0)`$ satisfy $`vu\mathrm{Id}_{E_0}𝒦_A(E_0)`$ and $`uv\mathrm{Id}_{E_1}𝒦_A(E_1)`$.

If $`(E,T)`$ is a Fredholm module over $`A`$ and $`\theta :AB`$ a unital morphism then $`(E_AB,T1)`$ is a Fredholm module over $`B`$ (here $`E_AB`$ is the completion of $`E_A^{\mathrm{alg}}B`$ for the maximal Banach norm such that $`xbx_Eb_B`$ for $`xE`$ and $`bB`$).

Let $`A[0,1]`$ be the Banach algebra of continuous functions from $`[0,1]`$ to $`A`$ with the norm $`f=sup_{t[0,1]}f(t)_A`$ and $`\theta _0,\theta _1:A[0,1]A`$ the evaluations at $`0`$ and $`1`$. Two Fredholm modules on $`A`$ are said to be homotopic if they are the images by $`\theta _0`$ and $`\theta _1`$ of a Fredholm module over $`A[0,1]`$.

###### Theorem 1.1.2

There is a functorial bijection between $`K_0(A)`$ and the set of homotopy classes of Fredholm modules over $`A`$, for any unital Banach algebra $`A`$.

Let $`(E_0,E_1,u,v)`$ be a Fredholm module over $`A`$. Its index, i.e. the corresponding element in $`K_0(A)`$, is constructed as follows. It is possible to find $`n`$ and $`w𝒦_A(A^n,E_1)`$ such that $`(u,w)_A(E_0A^n,E_1)`$ is surjective. Its kernel is then finitely generated projective and the index is the formal difference of $`\mathrm{Ker}((u,w))`$ and $`A^n`$.

An ungraded Fredholm module over $`A`$ is the data of a (ungraded) right Banach module $`E`$ over $`A`$, and $`T_A(E)`$ such that $`T^2\mathrm{Id}_E𝒦_A(E)`$. There is a functorial bijection between $`K_1(A)`$ and the set of homotopy classes of ungraded Fredholm modules.

For a non-unital algebra $`A`$, $`K_0(A)=\mathrm{Ker}(K_0(\stackrel{~}{A})K_0()=)`$ and $`K_1(A)=K_1(\stackrel{~}{A})`$ where $`\stackrel{~}{A}=A1`$. In particular every idempotent in $`M_k(A)`$ gives a class in $`K_0(A)`$ but in general not all classes in $`K_0(A)`$ are obtained in this way. The definition of a Fredholm module should be slightly modified for non-unital Banach algebras, but the theorem 1.1.2 remains true.

### 1.2. Statement of the Baum-Connes conjecture

Let $`G`$ be a second countable, locally compact group. We fix a left-invariant Haar measure $`dg`$ on $`G`$. Denote by $`C_c(G)`$ the convolution algebra of complex-valued continuous compactly supported functions on $`G`$. The convolution of $`f,f^{}C_c(G)`$ is given by $`ff^{}(g)=_Gf(h)f^{}(h^1g)𝑑h`$ for any $`gG`$.

When $`G`$ is discrete and $`dg`$ is the counting measure, $`C_c(G)`$ is also denoted by $`G`$ and if $`e_g`$ denotes the delta function at $`gG`$ (equal to $`1`$ at $`g`$ and $`0`$ elsewhere), $`(e_g)_{gG}`$ is a basis of $`G`$ and the convolution product is given by $`e_ge_g^{}=e_{gg^{}}`$.

The completion of $`C_c(G)`$ for the norm $`f_{L^1}=_G|f(g)|𝑑g`$ is a Banach algebra and is denoted by $`L^1(G)`$.

For any $`fC_c(G)`$ let $`\lambda (f)`$ be the operator $`f^{}ff^{}`$ on $`L^2(G)`$. The completion of $`C_c(G)`$ by the operator norm $`f_{\mathrm{red}}=\lambda (f)_{_{}(L^2(G))}`$ is called the reduced $`C^{}`$-algebra of $`G`$ and denoted by $`C_{\mathrm{red}}^{}(G)`$. If $`G`$ is discrete $`(e_g^{})_{g^{}G}`$ is an orthonormal basis of $`L^2(G)`$ and $`\lambda (e_g):e_g^{}e_{gg^{}}`$.

For any $`fC_c(G)`$, $`f_{L^1}f_{\mathrm{red}}`$ and $`L^1(G)`$ is a dense subalgebra of $`C_{\mathrm{red}}^{}(G)`$. We denote by $`i:L^1(G)C_{\mathrm{red}}^{}(G)`$ the inclusion.

Assume now that $`M`$ is a smooth compact manifold, and $`\stackrel{~}{M}`$ a Galois covering of $`M`$ with group $`G`$ (if $`\stackrel{~}{M}`$ is simply connected, $`G=\pi _1(M)`$). Let $`E_0`$ and $`E_1`$ be two smooth hermitian finite-dimensional vector bundles over $`M`$ and $`u`$ an order $`0`$ elliptic pseudo-differential operator from $`L^2(M,E_0)`$ to $`L^2(M,E_1)`$. Since $`u`$ is elliptic there is an order $`0`$ pseudo-differential operator $`v:L^2(M,E_1)L^2(M,E_0)`$ such that $`\mathrm{Id}_{L^2(M,E_0)}vu`$ and $`\mathrm{Id}_{L^2(M,E_1)}uv`$ have order $`1`$ and therefore are compact. Let $``$ be the quotient of $`\stackrel{~}{M}\times C_{\mathrm{red}}^{}(G)`$ by the diagonal action of $`G`$ ($`G`$ acting on $`C_{\mathrm{red}}^{}(G)`$ by left translations) : $``$ is a flat bundle of right $`C_{\mathrm{red}}^{}(G)`$-modules over $`M`$, whose fibers are isomorphic to $`C_{\mathrm{red}}^{}(G)`$. Then $`L^2(M,E_0)`$ and $`L^2(M,E_1)`$ are right Banach (in fact Hilbert) modules over $`C_{\mathrm{red}}^{}(G)`$ and it is possible to lift $`u`$ and $`v`$ to $`\stackrel{~}{u}`$ and $`\stackrel{~}{v}`$ so that $`(L^2(M,E_0),L^2(M,E_1),\stackrel{~}{u},\stackrel{~}{v})`$ is a Fredholm module over $`C_{\mathrm{red}}^{}(G)`$, whose index lies in $`K_0(C_{\mathrm{red}}^{}(G))`$ and the index does not depend on the choice of the liftings.

The operator $`u`$ represents a “$`K`$-homology class” in $`K_0(M)`$, and using the classifying map $`MBG`$, it defines an element of $`K_{0,c}(BG)`$, the K-homology with compact support of the classifying space $`BG`$. For any discrete group $`G`$ we can define a morphism of abelian groups $`K_{,c}(BG)K_{}(C_{\mathrm{red}}^{}(G))`$ ($`=0,1`$). This morphism is the Baum-Connes assembly map when $`G`$ is discrete and torsion free. When $`G`$ is not discrete or has torsion, the index construction can be performed starting from a proper action of $`G`$ (instead of the free and proper action of $`G`$ on $`\stackrel{~}{M}`$ in the last paragraph), and therefore we have to introduce the space $`\underset{¯}{E}G`$ that classifies the proper actions of $`G`$. Using Kasparov equivariant KK-theory, the $`G`$-equivariant K-homology $`K_{}^G(\underset{¯}{E}G)`$ with $`G`$-compact support ($`=0,1`$) may be defined, and there is an assembly map

$$\mu _{\mathrm{red}}:K_{}^G(\underset{¯}{E}G)K_{}(C_{\mathrm{red}}^{}(G)).$$

In the same way we can define $`\mu _{L^1}:K_{}^G(\underset{¯}{E}G)K_{}(L^1(G))`$ and $`\mu _{\mathrm{red}}=i_{}\mu _{L^1}`$.

Baum-Connes conjecture  : If $`G`$ is a second countable, locally compact group then the assembly map $`\mu _{\mathrm{red}}:K_{}^G(\underset{¯}{E}G)K_{}(C_{\mathrm{red}}^{}(G))`$ is an isomorphism.

Bost conjectured : If $`G`$ is a second countable, locally compact group (and has reasonable geometric properties) then the assembly map $`\mu _{L^1}:K_{}^G(\underset{¯}{E}G)K_{}(L^1(G))`$ is an isomorphism.

In many cases $`K_{}^G(\underset{¯}{E}G)`$ can be computed. For instance if $`G`$ is a discrete torsion free subgroup of a reductive Lie group $`H`$ and $`K`$ is a maximal compact subgroup of $`H`$, then a possible $`\underset{¯}{E}G`$ is $`H/K`$ and $`K_{}^G(\underset{¯}{E}G)`$ is the K-homology with compact support of $`G\backslash H/K`$. This group may be computed thanks to Mayer Vietoris sequences. See part 2 for the case where $`G`$ is a Lie group.

### 1.3. $`𝑲𝑲`$-theory

For any $`C^{}`$-algebras $`A`$ and $`B`$, Kasparov  defined an abelian group $`KK(A,B)`$, covariant in $`B`$ and contravariant in $`A`$. There is a product $`KK(A,B)KK(B,C)KK(A,C)`$. Moreover $`KK(,A)=K_0(A)`$ and therefore the product gives a morphism $`KK(A,B)\mathrm{Hom}(K_0(A),K_0(B))`$. The definition of $`KK(A,B)`$ is like definition 1.3.1 below, but with Hilbert modules instead of Banach modules.

For any Banach algebras $`A`$ and $`B`$, we define  an abelian group $`KK^{\mathrm{ban}}(A,B)`$, covariant in $`B`$ and contravariant in $`A`$. There is no product, but a morphism $`KK^{\mathrm{ban}}(A,B)\mathrm{Hom}(K_0(A),K_0(B))`$. Assume that $`B`$ is unital (otherwise the definition has to be slightly modified).

###### Definition 1.3.1

$`E^{\mathrm{ban}}(A,B)`$ is the set of isomorphism classes of data $`(E,\pi ,T)`$, where $`E`$ is a $`/2`$-graded right Banach module, $`\pi :A_B(E)`$ is a morphism of Banach algebras and takes values in even operators, and $`T_B(E)`$ is odd and satisfies $`a(T^2\mathrm{Id}_E)K_B(E)`$ and $`aTTaK_B(E)`$ for any $`aA`$.

Then $`KK^{\mathrm{ban}}(A,B)`$ is the set of homotopy classes in $`E^{\mathrm{ban}}(A,B)`$, where the homotopy relation is defined using $`E^{\mathrm{ban}}(A,B[0,1])`$.

Remark : $`E^{\mathrm{ban}}(,B)`$ is the set of isomorphism classes of Fredholm modules over $`B`$ and $`KK^{\mathrm{ban}}(,B)=K_0(B)`$.

If $`p`$ is an idempotent in $`A`$, and $`(E,\pi ,T)E^{\mathrm{ban}}(A,B)`$, the image of $`[p]K_0(A)`$ by the image of $`[(E,\pi ,T)]KK^{\mathrm{ban}}(A,B)`$ in $`\mathrm{Hom}(K_0(A),K_0(B))`$ is defined to be the index of the Fredholm module over $`B`$ equal to $`(\mathrm{Im}\pi (p),\pi (p)T\pi (p))`$. When $`p`$ is an idempotent in $`M_k(A)`$, we use the image of $`p`$ by $`M_k(A)_B(E^k)`$. This is enough to define the morphism $`KK^{\mathrm{ban}}(A,B)\mathrm{Hom}(K_0(A),K_0(B))`$, when $`A`$ is unital.

The same definition with ungraded modules gives $`KK_1^{\mathrm{ban}}(A,B)`$, and, with the notation $`KK=KK_0`$, we have a morphism $`KK_i^{\mathrm{ban}}(A,B)\mathrm{Hom}(K_j(A),K_{i+j}(B))`$, where all the indices are modulo $`2`$.

### 1.4. Status of injectivity and the element $`𝜸`$

The injectivity of the Baum-Connes map $`\mu _{\mathrm{red}}`$ (and therefore of $`\mu _{L^1}`$) is known for the following very large classes of groups :

* a) groups acting continuously properly isometrically on a complete simply connected riemannian manifold with controlled non-positive sectional curvature, and in particular closed subgroups of reductive Lie groups (),
* b) groups acting continuously properly isometrically on an affine building and in particular closed subgroups of reductive $`p`$-adic groups (),
* c) groups acting continuously properly isometrically on a discrete metric space with good properies at infinity (weakly geodesic, uniformly locally finite, and “bolic” ), and in particular hyperbolic groups (i.e. word-hyperbolic in the sense of Gromov),
* d) groups acting continuously amenably on a compact space ().

In the cases a),b),c) above, the proof of injectivity provides an explicit idempotent endomorphism on $`K_{}(C_{\mathrm{red}}^{}(G))`$ whose image is the image of $`\mu _{\mathrm{red}}`$ (and the same for $`\mu _{L^1}`$). In case d), J.-L. Tu has also constructed such an endomorphism, but in a less explicit way.

To state this we need to understand a baby case of Kasparov’s equivariant KK-groups. Let $`G`$ be a second countable, locally compact group. We denote by $`E_G(,)`$ the set of isomorphism classes of triples $`(H,\pi ,T)`$ where $`H`$ is a $`/2`$-graded Hilbert space, $`\pi `$ a unitary representation of $`G`$ on $`H`$ (such that for any $`xH`$, $`ggx`$ is continuous from $`G`$ to $`H`$) and $`T`$ an odd operator on $`H`$ such $`T^2\mathrm{Id}_H`$ is compact and $`\pi (g)T\pi (g^1)T`$ is compact and depends norm continuously on $`gG`$. Then $`KK_G(,)`$ is the quotient of $`E_G(,)`$ by homotopy. Kasparov proved that $`KK_G(,)`$ has a ring structure (using direct sum for the addition and tensor products together with a quite difficult construction for the multiplication).

If $`\pi `$ is a unitary representation of $`G`$ on a Hilbert space $`H_0`$ and $`H_1=0`$ then $`(H,\pi ,0)E_G(,)`$ if and only if $`H_0`$ has finite dimension. If moreover $`H_0=`$ and $`\pi `$ is the trivial representation of $`G`$, the class of $`(H,\pi ,0)`$ is the unit of $`KK_G(,)`$ and is denoted by $`1`$. If $`G`$ is compact the classes of $`(H,\pi ,0)`$ with $`H_1=0`$ (and $`dimH_0<+\mathrm{}`$) generate $`KK_G(,)`$ and $`KK_G(,)`$ is equal to the representation ring of $`G`$.

The important fact is that there is a “descent morphism”

$$j_{\mathrm{red}}:KK_G(,)\mathrm{End}(K_{}(C_{\mathrm{red}}^{}(G))).$$

In fact it is a ring homomorphism and $`j_{\mathrm{red}}(1)=\mathrm{Id}_{K_{}(C_{\mathrm{red}}^{}(G))}`$. It is defined as the composite of two maps $`KK_G(,)KK(C_{\mathrm{red}}^{}(G),C_{\mathrm{red}}^{}(G))\mathrm{End}(K_{}(C_{\mathrm{red}}^{}(G)))`$. The construction of $`j_{\mathrm{red}}`$ is due to Kasparov. The construction of $`j_{L^1}`$ to be explained below is an adaptation of it.

The following extremely important theorem also contains earlier works of Mishchenko and Solovjev.

###### Theorem 1.4.1

(Kasparov, Kasparov-Skandalis ) If $`G`$ belongs to one of the classes a),b),c) above, the geometric conditions in a),b) or c) allow to construct an idempotent element $`\gamma KK_G(,)`$ such that $`\mu _{\mathrm{red}}`$ is injective and its image is equal to the image of the idempotent $`j_{\mathrm{red}}(\gamma )\mathrm{End}(K_{}(C_{\mathrm{red}}^{}(G)))`$.

### 1.5. Homotopies between $`𝜸`$ and $`\mathrm{𝟏}`$

We assume that $`G`$ belongs to one of the classes a),b),c). Then the injectivity of $`\mu _{\mathrm{red}}`$ is known and the surjectivity is equivalent to the equality $`j_{\mathrm{red}}(\gamma )=\mathrm{Id}\mathrm{End}(K_{}(C_{\mathrm{red}}^{}(G)))`$.

###### Theorem 1.5.1

We have $`\gamma =1`$ in $`KK_G(,)`$ if

1. $`G`$ is a free group (Cuntz, ) or a closed subgroup of $`SO(n,1)`$ (Kasparov, ) or of $`SU(n,1)`$ (Julg-Kasparov, ) or of $`SL_2(𝔽)`$ with $`𝔽`$ a local non-archimedian field (Julg-Valette, ),
2. $`G`$ acts isometrically and properly on a Hilbert space (Higson-Kasparov ).

In fact the second case contains the first one.

If $`G`$ has property (T) and is not compact, $`\gamma 1`$ in $`KK_G(,)`$ : it is impossible to deform $`1`$ to $`\gamma `$ in $`E_G(,)`$ because the trivial representation is isolated among unitary representations of $`G`$ if $`G`$ has property (T) and $`\gamma `$ can be represented by $`(H,\pi ,T)`$ such that $`H`$ has no invariant vector (and even $`H`$ is tempered). All simple real or $`p`$-adic groups of rank $`2`$, and $`Sp(n,1)`$ and $`F_{4(20)}`$, and all their lattices, have property (T) (see ).

It is then natural to broaden the class of representations in order to break the isolation of the trivial one. In  Julg proposed to use uniformly bounded representations on Hilbert spaces (to solve the case of $`Sp(n,1)`$).

For any non compact group $`G`$ the trivial representation is not isolated among isometric representations in Banach spaces (think of the left regular representation on $`L^p(G)`$, $`p`$ going to infinity).

###### Definition 1.5.2

Let $`E_G^{\mathrm{ban}}(,)`$ be the set of isomorphism classes of triples $`(E,\pi ,T)`$ with $`E`$ a $`/2`$-graded Banach space endowed with an isometric representation of $`G`$ (such that $`ggx`$ is continuous from $`G`$ to $`E`$ for any $`xE`$), $`T_{}(E)`$ an odd operator such that $`T^2\mathrm{Id}_E`$ belongs to $`𝒦_{}(E)`$ and $`\pi (g)T\pi (g^1)T`$ belongs to $`𝒦_{}(E)`$ and depends norm continuously on $`gG`$.

Then $`KK_G^{\mathrm{ban}}(,)`$ is defined as the quotient of $`E_G^{\mathrm{ban}}(,)`$ by homotopy.

Since any unitary representation of $`G`$ on a Hilbert space $`H`$ is an isometric representation on the Banach space $`H`$, there is a natural morphism of abelian groups $`KK_G(,)KK_G^{\mathrm{ban}}(,)`$.

To state our main theorem, we need to look at slightly smaller classes than a) and c) above. We call these new classes a’) and c’). They are morally the same, and in particular they respectively contain all closed subgroups of reductive Lie groups, and all hyperbolic groups (for general hyperbolic groups see , and  for a slightly different approach).

###### Theorem 1.5.3

 For any group $`G`$ in the classes a’), b), or c’), we have $`\gamma =1`$ in $`KK_G^{\mathrm{ban}}(,)`$.

In fact the statement is slightly incorrect, we should allow representations with a slow growth, but this adds no real difficulty. The proof of this theorem is quite technical. Let me just indicate some ingredients involved. If $`G`$ is in class a’) then $`G`$ acts continuously isometrically properly on a complete simply connected riemmannian manifold $`X`$ with controlled non-positive sectional curvature, and $`X`$ is contractible (through geodesics) and the de Rham cohomology of $`X`$ (without support) is $``$ in degree $`0`$ and $`0`$ in other degrees. It is possible to put norms on the spaces of differential forms (on which $`G`$ acts) and to build a parametrix for the de Rham operator (in the spirit of the Poincaré lemma) in order to obtain a resolution of the trivial representation, and in our language an element of $`E_G^{\mathrm{ban}}(,)`$ equal to $`1`$ in $`KK_G^{\mathrm{ban}}(,)`$. The norms we use are essentially Sobolev $`L^{\mathrm{}}`$ norms. Then it is possible to conjugate the operators by an exponential of the distance to a fixed point in $`X`$ and then to deform these norms to Hilbert norms (through $`L^p`$ norms, $`p[2,+\mathrm{}]`$) and to reach $`\gamma `$.

If $`G`$ belongs to class b) the de Rham complex is replaced by the simplicial homology complex (with $`L^1`$ norms) on the building. If $`G`$ belongs to class c’) a Rips complex plays the same role as the building in b).

It is not possible to apply directly this theorem to the Baum-Connes conjecture because there is no obvious descent map $`KK_G^{\mathrm{ban}}(,)\mathrm{End}(K_{}(C_{\mathrm{red}}^{}(G)))`$, and in the next subsection we shall see the difficulties encountered and the way one bypasses them in a few cases.

On the other hand, we may apply this theorem to Bost conjecture, because there is descent map $`j_{L^1}:KK_G^{\mathrm{ban}}(,)KK^{\mathrm{ban}}(L^1(G),L^1(G))`$.

We explain it when $`G`$ is discrete. Let $`(E,\pi ,T)E_G^{\mathrm{ban}}(,)`$. We denote by $`L^1(G,E)`$ the completion of $`EG`$ for the norm $`_{gG}x(g)e_g=_{gG}x(g)_E`$. Then $`L^1(G,E)`$ is a right Banach $`L^1(G)`$-module by the formula $`(xe_g)e_g^{}=xe_{gg^{}}`$ and there is a Banach algebra morphism $`\widehat{\pi }:L^1(G)_{L^1(G)}(L^1(G,E))`$ by the formula $`\widehat{\pi }(e_g^{})(xe_g)=\pi (g^{})(x)e_{g^{}g}`$. Then $`(L^1(G,E),\widehat{\pi }`$, $`T1)E^{\mathrm{ban}}(L^1(G),L^1(G))`$ gives the desired class in $`KK^{\mathrm{ban}}(L^1(G),L^1(G))`$.

This and section 1.3 imply the Bost conjecture in many cases.

###### Theorem 1.5.4

For any group $`G`$ in the classes a’), b) or c’), $`\mu _{L^1}:K_{}^G(\underset{¯}{E}G)K_{}(L^1(G))`$ is an isomorphism.

### 1.6. Unconditional completions

Let $`G`$ be a second countable, locally compact group. Let $`𝒜(G)`$ be a Banach algebra containing $`C_c(G)`$ as a dense subalgebra. We write $`𝒜(G)`$ instead of $`𝒜`$ for notational convenience. We ask for a necessary and sufficient condition such that there is a “natural” descent map $`j_𝒜:KK_G^{\mathrm{ban}}(,)KK^{\mathrm{ban}}(𝒜(G),𝒜(G))`$.

In order to simplify the argument below, we will assume $`G`$ to be discrete.

Let $`E`$ be a Banach space with an isometric representation of $`G`$. Then $`EG`$ has a right $`G`$-module structure given by $`(xe_g)e_g^{}=xe_{gg^{}}`$ and there is a morphism $`\widehat{\pi }:G\mathrm{End}_G(EG)`$ given by the formula $`\widehat{\pi }(e_g^{})(xe_g)=\pi (g^{})(x)e_{g^{}g}`$. We look for a completion $`𝒜(G,E)`$ of $`EG`$ by a Banach norm such that $`𝒜(G,E)`$ is a right Banach $`𝒜(G)`$-module and $`\widehat{\pi }`$ extends to a morphism of Banach algebras $`\widehat{\pi }:𝒜(G)_{𝒜(G)}(𝒜(G,E))`$.

In order to have enough $`𝒜(G)`$-rank one operators, it is quite natural to assume that the norm on $`𝒜(G,E)`$ satisfies : for any $`xE`$ and $`\xi _{}(E,)`$, if we denote by $`R_x:GEG`$ the map $`e_gxe_g`$ and by $`S_\xi :EGG`$ the map $`ye_g\xi (y)e_g`$, we have $`R_x(f)_{𝒜(G,E)}x_Ef_{𝒜(G)}`$ for any $`fG`$ and $`S_\xi (\omega )_{𝒜(G)}\xi _{_{}(E,)}\omega _{𝒜(G,E)}`$ for any $`\omega EG`$. Now fix $`xE`$ and $`\xi _{}(E,)`$ and denote by $`1`$ the unit in $`G`$. For any $`f=_{gG}f(g)e_gG`$, $`S_\xi (\widehat{\pi }(f)(R_x(e_1)))`$ is $`_{gG}\xi (\pi (g)(x))f(g)e_g`$ in $`G`$. For any function $`c`$ on $`G`$, we define the Schur multiplication by $`c`$ to be the pointwise product $`GG`$, $`_{gG}f(g)e_g_{gG}c(g)f(g)e_g`$.

In this way we obtain the following necessary condition : for any $`xE`$ and $`\xi _{}(E,)`$ the Schur multiplication by the matrix coefficient $`g\xi (\pi (g)(x))`$ is bounded from $`𝒜(G)`$ to itself and its norm (in $`_{}(𝒜(G))`$) is less than $`x_E\xi _{_{}(E,)}`$. But for any $`L^{\mathrm{}}`$-function $`c`$ on $`G`$ we can find an isometric representation $`\pi `$ of $`G`$ on a Banach space $`E`$ and $`xE`$ and $`\xi _{}(E,)`$ such that $`x_E\xi _{_{}(E,)}=c_L^{\mathrm{}}`$ and $`c(g)=\xi (\pi (g)x)`$ for any $`gG`$ (take $`E=L^1(G)`$, $`x=\delta _1`$, $`\xi =c`$). Therefore a necessary condition is that $`𝒜(G)`$ is an unconditional completion in the following sense.

###### Definition 1.6.1

A Banach algebra $`𝒜(G)`$ (with a given norm $`._{𝒜(G)}`$) containing $`C_c(G)`$ as a dense subalgebra is called an unconditional completion if the norm $`f_{𝒜(G)}`$ of $`fC_c(G)`$ only depends on $`g|f(g)|,G_+`$.

Remark that $`L^1(G)`$ is an unconditional completion of $`C_c(G)`$ but $`C_{\mathrm{red}}^{}(G)`$ is not.

In fact this condition is also sufficient to construct the descent map. For the sake of simplicity, we still assume that $`G`$ is discrete. If $`𝒜(G)`$ is an unconditional completion of $`G`$, and $`(E,\pi ,T)`$ is in $`E_G^{\mathrm{ban}}(,)`$, we define $`𝒜(G,E)`$ as the completion of $`EG`$ for the norm $`_{gG}x(g)e_g=_{gG}x(g)_Ee_g_{𝒜(G)}`$ and $`𝒜(G,E)`$ is a right Banach module over $`𝒜(G)`$ and there is a morphism $`\widehat{\pi }:𝒜(G)_{𝒜(G)}(𝒜(G,E))`$, and $`(𝒜(G,E),\widehat{\pi },T1)E^{\mathrm{ban}}(𝒜(G),𝒜(G))`$.

In this way, for any unconditional completion $`𝒜(G)`$ of $`G`$, we have a descent map $`j_𝒜^{\mathrm{ban}}:KK_G^{\mathrm{ban}}(,)KK^{\mathrm{ban}}(𝒜(G),𝒜(G))\mathrm{End}(K_{}(𝒜(G)))`$. We can also define an assembly map $`\mu _𝒜:K_{}^G(\underset{¯}{E}G)K_{}(𝒜(G))`$. If $`𝒜(G)`$ is an involutive subalgebra of $`C_{\mathrm{red}}^{}(G)`$, and $`i:𝒜(G)C_{\mathrm{red}}^{}(G)`$ denotes the inclusion, $`\mu _{\mathrm{red}}=i_{}\mu _𝒜`$.

###### Theorem 1.6.2

() For any group $`G`$ in the classes a’), b) or c’), and for any unconditional completion $`𝒜(G)`$ of $`C_c(G)`$, $`\mu _𝒜:K_{}^G(\underset{¯}{E}G)K_{}(𝒜(G))`$ is an isomorphism.

Let $`A,B`$ be Banach algebras and $`i:AB`$ an injective morphism of Banach algebras. We say that $`A`$ is stable under holomorphic functional calculus in $`B`$ if any element of $`A`$ has the same spectrum in $`A`$ and in $`B`$. If $`A`$ is dense and stable under holomorphic functional calculus in $`B`$ then $`i_{}:K_{}(A)K_{}(B)`$ is an isomorphism (see the appendix of ).

###### Corollary 1.6.3

For any group $`G`$ in the classes a’), b) or c’), if $`C_c(G)`$ admits an unconditional completion $`𝒜(G)`$ which is an involutive subalgebra of $`C_{\mathrm{red}}^{}(G)`$ and is stable under holomorphic functional calculus in $`C_{\mathrm{red}}^{}(G)`$, then $`\mu _{\mathrm{red}}:K_{}^G(\underset{¯}{E}G)K_{}(C_{\mathrm{red}}^{}(G))`$ is an isomorphism.

This condition is fulfilled for

* a) hyperbolic groups,
* b) cocompact lattices in a product of a finite number of groups among Lie or $`p`$-adic groups of rank one, $`SL_3(𝔽)`$ with $`𝔽`$ a local field (even $``$) and $`E_{6(26)}`$,
* c) reductive Lie groups and reductive groups over non-archimedian local fields.

In case c), $`𝒜(G)`$ is a variant of the Schwartz algebra of the group (). In this case the Baum-Connes conjecture was already known for linear connected reductive groups (Wassermann ) and for the $`p`$-adic $`GL_n`$ (Baum, Higson, Plymen ). In case a),b) this result is based on a property first introduced by Haagerup for the free group and called (RD) (for rapid decay) by Jolissaint (). In case a),b) G has property (RD) : this is due to Haagerup for free groups (), Jolissant for “geometric hyperbolic groups”, de la Harpe for general hyperbolic groups (), Ramagge, Robertson and Steger for $`SL_3`$ of a non-archimedian local field (), the author for $`SL_3()`$ and $`SL_3()`$ (), Chatterji for $`SL_3()`$ and $`E_{6(26)}`$ (), and the remark that it holds for products is due to Ramagge, Robertson and Steger () in a particular case, and independantly to Chatterji () and Talbi () in general. A discrete group $`G`$ has property (RD) if there is a lenght function $`\mathrm{}:G_+`$ (i.e. a function satisfying $`\mathrm{}(g^1)=\mathrm{}(g)`$ and $`\mathrm{}(gh)\mathrm{}(g)+\mathrm{}(h)`$ for any $`g,hG`$) such that for $`s_+`$ big enough, the completion $`H^s(G)`$ of $`G`$ for the norm $`f(g)e_g_{H^s(G)}=(1+\mathrm{}(g))^sf(g)e_g_{L^2(G)}`$ is contained in $`C_{\mathrm{red}}^{}(G)`$. Then, for $`s`$ big enough, $`H^s(G)`$ is a Banach algebra and an involutive subalgebra of $`C_{\mathrm{red}}^{}(G)`$ and is dense and stable under holomorphic functional calculus (); it is obvious that $`H^s(G)`$ is an unconditional completion of $`G`$.

As a consequence of this result the Baum-Connes conjecture has been proven for all almost connected groups by Chabert, Echterhoff and Nest ().

### 1.7. Trying to push the method further

In order to prove new cases of the surjectivity of the Baum-Connes map (when the injectivity is proven and the $`\gamma `$ element exists) we should look for a dense subalgebra $`𝒜(G)`$ of $`C_{\mathrm{red}}^{}(G)`$ that is stable under holomorphic functional calculus and a homotopy between $`\gamma `$ and $`1`$ through (perhaps special kind of) elements of $`E_G^{\mathrm{ban}}(,)`$ which all give a map $`K_{}(𝒜(G))K_{}(C_{\mathrm{red}}^{}(G))`$ by the descent construction. Thanks to the discussion in subsection 1. a necessary condition for this is that for any $`(E,\pi ,T)`$ in the homotopy between $`\gamma `$ and $`1`$, for any $`xE`$ and $`\xi _{}(E,)`$, the Schur multiplication by the matrix coefficient $`g\xi (\pi (g)(x))`$ is bounded from $`𝒜(G)`$ to $`C_{\mathrm{red}}^{}(G)`$ and has norm $`x_E\xi _{_{}(E,)}`$. So we should first look for a homotopy between $`\gamma `$ and $`1`$ such that the fewest possible matrix coefficients appear. For groups acting properly on buildings, this homotopy can be shown to exist. The problem for general discrete groups properly acting on buildings is to find a subalgebra $`𝒜(G)`$ of $`C_{\mathrm{red}}^{}(G)`$ that is stable under holomorphic functional calculus and satisfies the condition with respect to these matrix coefficients. The first step (the crucial one I think) should be to find a subalgebra $`𝒜(G)`$ of $`C_{\mathrm{red}}^{}(G)`$ that is stable under holomorphic functional calculus and satisfies the following condition : there is a integer $`n`$, a distance $`d`$ on the building and a point $`x_0`$ on the building such that the Schur product by the characteristic function of $`\{gG,d(x_0,gx_0)r\}`$ from $`𝒜(G)`$ to $`C_{\mathrm{red}}^{}(G)`$ has norm less than $`(1+r)^n`$, for any $`r_+`$.

### 1.8. The Baum-Connes conjecture with coefficients

Let $`G`$ be a second countable, locally compact group and $`A`$ a $`G`$-Banach algebra (i.e. a Banach algebra on which $`G`$ acts continuously by isometric automorphisms $`g:ag(a)`$). The space $`C_c(G,A)`$ of $`A`$-valued continuous compactly supported functions on $`G`$ is endowed with the following convolution product : $`ff^{}(g)=_Gf(h)h(f^{}(h^1g))𝑑h`$ and the completion $`L^1(G,A)`$ of $`C_c(G,A)`$ for the norm $`f=_Gf(g)_A𝑑g`$ is a Banach algebra. More generally for any unconditional completion $`𝒜(G)`$, we define $`𝒜(G,A)`$ to be the completion of $`C_c(G,A)`$ for the norm $`f_{𝒜(G,A)}=gf(g)_A_{𝒜(G)}`$.

For any $`G`$-Banach algebras $`A`$ and $`B`$, we define in  an abelian group $`KK_G^{\mathrm{ban}}(A,B)`$. This is a contravariant functor in $`A`$ and a covariant functor in $`B`$. When $`G=1`$ this is equal to $`KK^{\mathrm{ban}}(A,B)`$. For any unconditional completion $`𝒜(G)`$ of $`C_c(G)`$, there is descent morphism $`KK_G^{\mathrm{ban}}(A,B)KK^{\mathrm{ban}}(𝒜(G,A),𝒜(G,B))`$.

These constructions are adaptations of the classical constructions for $`C^{}`$-algebras : for any $`G`$-$`C^{}`$-algebra $`A`$ (i.e. $`G`$ acts continuously by $`C^{}`$-algebras automorphisms on $`A`$) we have a natural $`C^{}`$-algebra $`C_{\mathrm{red}}^{}(G,A)`$ containing $`L^1(G,A)`$ as a dense subalgebra. If $`B`$ is another $`G`$-$`C^{}`$-algebra, Kasparov defined an abelian group $`KK_G(A,B)`$. This is a contravariant functor in $`A`$ and a covariant functor in $`B`$. When $`G=1`$ this is equal to $`KK(A,B)`$. There is an associative and distributive product $`KK_G(A,B)KK_G(B,C)KK_G(A,C)`$ and a descent morphism $`KK_G(A,B)KK(C_{\mathrm{red}}^{}(G,A),C_{\mathrm{red}}^{}(G,B))`$.

Let $`K_{}^G(\underset{¯}{E}G,A)`$, $`=0,1`$, be the inductive limit over $`G`$-invariant $`G`$-compact subsets $`Z`$ of $`\underset{¯}{E}G`$ of $`KK_{G,}(C_0(Z),A)`$. Then the assembly map

$$\mu _{\mathrm{red},A}:K_{}^G(\underset{¯}{E}G,A)K_{}(C_{\mathrm{red}}^{}(G,A))$$

is defined in  and similar maps $`\mu _{L^1,A}`$, and more generally $`\mu _{𝒜,A}`$ for any unconditional completion $`𝒜(G)`$, can be defined.

The Baum-Connes conjecture “with coefficients” claims that $`\mu _{\mathrm{red},A}`$ is an isomorphism and the Bost conjecture “with coefficients” claims that $`\mu _{L^1,A}`$ is an isomorphism. Theorems 1.4.11.5.41.6.2 are still true with arbitrary coefficients.

The surjectivity of the Baum-Connes conjecture with coefficients has been counter-exampled recently (Higson, Lafforgue, Ozawa, Skandalis, Yu) using a random group constructed by Gromov () but Bost conjecture with coefficients still stands. If the Baum-Connes conjecture with coefficients is true for a group, it is true also for all its closed subgroups; the Baum-Connes conjecture with coefficients is also stable under various kinds of extensions (Chabert , Chabert-Echterhoff , Oyono , and Tu ).

Kasparov’s equivariant KK-theory was generalized to groupoids by Le Gall  and this generalized KK-theory was applied by Tu in  to the bijectivity of the Baum-Connes map for amenable groupoids and the injectivity for (the holonomy groupoids of) hyperbolic foliations. It is possible to generalize also Banach KK-theory and unconditional completions. In this way we obtain the Baum-Connes conjecture for any hyperbolic group, with coefficients in any commutative $`C^{}`$-algebra, and also for foliations with compact basis, admitting a (strictly) negatively curved longitudinal riemannian metric, and such that the holonomy groupoid is Hausdorff and has simply connected fibers (not yet published).

## 2. Discrete series representations of connected <br>semi-simple Lie groups

In this part we examine how the Baum-Connes conjecture for a connected semi-simple Lie group with finite center can be used to establish the construction of the discrete series by Dirac induction (). That this is morally true is known from the beginning of the conjecture (see for instance ). In the proof we shall introduce 3 ingredients : these are classical facts stated here without proof. Parts of the argument apply to more general groups (not connected, not semi-simple).

This work owes its existence to Paul Baum. He asked me to study the problem and we discussed a lot.

### 2.1. Dirac operators

Let $`G`$ be a Lie group, with a finite number of connected components, and $`K`$ a maximal compact subgroup. We assume that there exists a $`G`$-invariant orientation on $`G/K`$. For the sake of simplicity, we assume that $`G/K`$ admits a $`G`$-invariant spin structure (it is true anyway for a two fold covering of $`G`$). More precisely let $`𝔭`$ be a complementary subspace for the Lie algebra $`𝔨`$ of $`K`$ in the Lie algebra $`𝔤`$ of $`G`$. We choose $`𝔭`$ such that it is invariant for the adjoint action of $`K`$ and we endow it with a $`K`$-invariant euclidian metric. The above assumption means that the homomorphism $`K\mathrm{SO}(𝔭)`$ lifts to $`\mathrm{Spin}(𝔭)`$. We denote by $`S`$ the associated spin representation of $`K`$. If $`dim(G/K)`$ is even, $`S`$ is $`/2`$-graded. We write $`i=dim(G/K)[2]`$.

We denote by $`R(K)`$ the (complex) representation ring of $`K`$ and for any finite dimensional representation $`V`$ of $`K`$ we denote by $`[V]`$ its class in $`R(K)`$.

Let $`V`$ be a finite dimensional representation of $`K`$. Let $`E_V`$ be the right Banach (in fact Hilbert) module over $`C_{\mathrm{red}}^{}(G)`$ ($`/2`$-graded if $`i=0[2]`$) whose elements are the $`K`$-invariant elements in $`V^{}S^{}C_{\mathrm{red}}^{}(G)`$, where $`K`$ acts by left translations on $`C_{\mathrm{red}}^{}(G)`$. Let $`D_V`$ be the unbounded $`C_{\mathrm{red}}^{}(G)`$-linear operator on $`E_V`$ equal to $`1c(p_i)p_i`$, where the sum is over $`i`$, $`(p_i)`$ is an orthonormal basis of $`𝔭`$, $`p_i`$ denotes also the associated right invariant vector field on $`G`$, and $`c(p_i)`$ is the Clifford multiplication by $`p_i`$. Let $`T_V=\frac{D_V}{\sqrt{1+D_V^2}}`$. Then we define $`[d_V]K_i(C_{\mathrm{red}}^{}(G))`$ to be the class of the Fredholm module $`(E_V,T_V)`$ over $`C_{\mathrm{red}}^{}(G)`$.

In other words, $`E_V`$ is the completion of the space of smooth compactly supported sections of the bundle on $`K\backslash G`$ associated to the representation $`V^{}S^{}`$ of $`K`$, for the norm $`w=sup_{fL^2(G),f_{L^2(G)}=1}wf_{L^2((V^{}S^{})\times _KG)}`$, and $`D_V`$ is the Dirac operator, twisted by $`V^{}`$.

Connes-Kasparov conjecture. The group morphism $`\mu _{\mathrm{red}}:R(K)K_i(C_{\mathrm{red}}^{}(G))`$ defined by $`[V][d_V]`$ is an isomomorphism, and $`K_{i+1}(C_{\mathrm{red}}^{}(G))=0`$.

This is a special case of the Baum-Connes conjecture because we may take $`\underset{¯}{E}G=G/K`$ and thus $`K_i^G(\underset{¯}{E}G)=R(K)`$ and $`K_{i+1}^G(\underset{¯}{E}G)=0`$. It was checked for $`G`$ connected reductive linear in  and the Baum-Connes conjecture was proved for any reductive group in  (see c) of the corollary 1.6.3 above).

The following lemma has been suggested to me by Francois Pierrot. Assume that $`i`$ is even. Let moreover $`H`$ be a unitary tempered admissible representation of $`G`$. This implies that we have a $`C^{}`$-homomorphism $`C_{\mathrm{red}}^{}(G)𝒦(H)`$. For any element $`xK_0(C_{\mathrm{red}}^{}(G))`$ we denote by $`H,x`$ the image of $`x`$ by $`K_0(C_{\mathrm{red}}^{}(G))K_0(𝒦(H))=`$. If $`x`$ is the class of an idempotent $`pC_{\mathrm{red}}^{}(G)`$, the image of $`p`$ in $`𝒦(H)`$ is a finite rank projector, whose rank is $`H,x`$.

###### Lemma 2.1.1

We have $`H,[d_V]=dim(V^{}S^{}H)^K`$.

### 2.2. Dual-Dirac operators

From now on we assume that $`G`$ is a connected semi-simple Lie group with finite center and we still assume that $`G/K`$ has a $`G`$-invariant spin structure. Kasparov has constructed an element $`\eta \mathrm{Hom}(K_i(C_{\mathrm{red}}^{}(G)),R(K))`$ (coming from an element of $`KK_i(C_{\mathrm{red}}^{}(G),C_{\mathrm{red}}^{}(K))`$, itself coming from an element of $`KK_{G,i}(,C_0(G/K))`$). Kasparov has shown that $`\eta \mu _{\mathrm{red}}=\mathrm{Id}_{R(K)}`$ .

Here is the detail of the construction. The $`G`$-invariant riemannian structure on $`G/K`$ given by the chosen $`K`$-invariant euclidian metric on $`𝔭`$ has non-positive curvature. Let $`\rho `$ be the distance to the origin and $`\xi =d(\sqrt{1+\rho ^2})`$. Let $`V`$ be a finite dimensional complex representation of $`K`$, endowed with an invariant hermitian metric. Let $`H_V`$ be the space of $`L^2`$ sections of the hermitian $`G`$-equivariant fibre bundle on $`G/K`$ associated to the representation of $`K`$ on $`SV`$ and let $`c_{\xi ,V}`$ be the Clifford multiplication by $`\xi `$. In other words $`H_V`$ is the subspace of $`K`$-invariant vectors in $`L^2(G)SV`$, where $`K`$ acts by right translations $`L^2(G)`$, and $`c_{\xi ,V}`$ is the restriction to this subspace of the tensor product of the Clifford multiplication by $`\xi `$ on $`L^2(G)S`$ with $`\mathrm{Id}_V`$. Left translation by $`G`$ on $`G/K`$ or on $`L^2(G)`$ gives rise to a ($`C^{}`$-)morphism $`\pi _V:C_{\mathrm{red}}^{}(G)_{}(H_V)`$ and $`(H_V,\pi _V,c_{\xi ,V})`$ defines $`\eta _VKK_i^{\mathrm{ban}}(C_{\mathrm{red}}^{}(G),)`$ (in fact in $`KK_i(C_{\mathrm{red}}^{}(G),)`$). We denote by $`[\eta _V]\mathrm{Hom}(K_i(C_{\mathrm{red}}^{}(G)),)`$ the associated map, and $`\eta =_V[\eta _V][V]\mathrm{Hom}(K_i(C_{\mathrm{red}}^{}(G)),R(K))`$, where the sum is over the irreducible representations of $`K`$.

Since the Connes-Kasparov conjecture is true, $`\mu _{\mathrm{red}}:R(K)K_i(C_{\mathrm{red}}^{}(G))`$ and $`\eta :K_i(C_{\mathrm{red}}^{}(G))R(K)`$ are inverse of each other and $`K_{i+1}(C_{\mathrm{red}}^{}(G))=0`$.

Let $`H`$ be a discrete series representation of $`G`$, i.e. an irreducible unitary representation with a positive mass in the Plancherel measure. We recall that this is equivalent to the fact that some (whence all) matrix coefficient $`c_x(g)=x,\pi (g)x`$, $`xH`$, $`x=1`$, is square-integrable. Then $`c_x_{L^2(G)}^2`$ is independant of $`x`$, and its inverse is the formal degree $`d_H`$ of $`H`$, which is also the mass of $`H`$ in the Plancherel measure. We introduce a first ingredient.

Ingredient $`1`$. All discrete series representations of $`G`$ are isolated in the tempered dual.

In other words, all matrix coefficients belong to $`C_{\mathrm{red}}^{}(G)`$. In fact a standard asymptotic expansion argument shows that for any $`K`$-finite vector $`xH`$, $`c_x`$ belongs to the Schwartz algebra (, II, corollary 1 page 77).

Therefore there exists an idempotent $`pC_{\mathrm{red}}^{}(G)`$ such that the image in $`L^2(G)`$ of the image of $`p`$ by the left regular representation is $`H^{}`$ as a representation of $`G`$ on the right. In fact we can take $`p=d_H\overline{c_x}`$ for any $`xH`$, $`x=1`$, where $`\overline{c_x}(g)=\overline{c_x(g)}`$. The class of $`p`$ in $`K_0(C_{\mathrm{red}}^{}(G))`$ only depends on $`H`$ and we denote it by $`[H]`$. It is easy to see that $`i:_HK_0(C_{\mathrm{red}}^{}(G))`$, $`(n_H)_H_Hn_H[H]`$, where the sums are over the discrete series representations of $`G`$, is an injection. Indeed, if $`H`$ and $`H^{}`$ are discrete series representations of $`G`$, $`H^{},[H]=1`$ if $`H=H^{}`$ and $`0`$ otherwise.

As a corollary we see that if $`i=1[2]`$, $`G`$ has no discrete series representations. From now on we assume $`i=0[2]`$.

The first part of the following lemma was suggested to me by Georges Skandalis. Let $`H`$ be a discrete series representation of $`G`$. We write $`\eta ([H])=_Vn_V[V]`$ in $`R(K)`$ where the sum is finite and over the irreducible representations of $`K`$ (in the notation above, $`n_V=[\eta _V]([H])`$).

###### Lemma 2.2.1

If $`V`$ is an irreducible representation of $`K`$, $`n_V=dim(H^{}SV)^K`$ and therefore $`n_V=H,[d_V]`$.

We have $`1=H,[H]=H,\mu _{\mathrm{red}}\eta ([H])=_Vn_VH,[d_V]=_Vn_V^2`$. Therefore one of the $`n_V`$ is $`\pm 1`$ and the others are $`0`$.

Alternatively we can consider the morphisms

$`_V[V]=R(K)\stackrel{\mu _{\mathrm{red}}}{}K_0(C_{\mathrm{red}}^{}(G))\stackrel{𝜋}{}{\displaystyle \underset{H}{}}\text{ where }\pi (x)=(H,x)_H`$
$`\text{ and }_H\stackrel{𝑖}{}K_0(C_{\mathrm{red}}^{}(G))\stackrel{𝜂}{}R(K)=_V[V]`$
where the sums are over the irreducible representations $`V`$ of $`K`$ and the discrete series representations $`H`$ of $`G`$. Their product $`\pi \mu _{\mathrm{red}}\eta i=\pi i`$ is equal to the inclusion of $`_H`$ in $`_H`$ and their matrices in the base $`([V])_V`$ and the canonical base of $`_H`$ are transpose of each other. Therefore each column of the matrix of $`\eta i`$ contains exactly one non-zero coefficient, which is equal to $`\pm 1`$. A posteriori, $`\pi `$ takes its values in $`_H`$.

###### Corollary 2.2.2

The discrete series representations of $`G`$ are in bijection with a subset of the set of isomorphism classes of irreducible representations of $`K`$. The irreducible representation $`V`$ of $`K`$ associated to a discrete series representation $`H`$ is such that $`V=\pm (HS^{})`$ as a formal combination of irreducible representations of $`K`$, and $`H`$ occurs in the kernel of the twisted Dirac operator $`D_V`$.

###### Corollary 2.2.3

If $`\mathrm{rank}G\mathrm{rank}K`$, $`G`$ has no discrete series.

In this case $`S^{}`$ is $`0`$ in $`R(K)`$ (Barbasch and Moscovici  (1.2.5) page 156) : this was indicated to me by Henri Moscovici.

### 2.3. A trace formula

From now on we assume that $`\mathrm{rank}G=\mathrm{rank}K`$. Let $`T`$ a maximal torus in $`K`$ (therefore also in $`G`$). Choose a Weyl chamber for the root system of $`𝔤`$ and choose the Weyl chamber of the root system of $`𝔨`$ containing it. Let $`V`$ be an irreducible representation of $`K`$, $`\mu `$ its highest wheight, and $`\lambda =\mu +\rho _K`$ where $`\rho _K`$ is the half sum of the positive roots of $`𝔨`$.

We recall that the unbounded trace $`\mathrm{Tr}:C_{\mathrm{red}}^{}(G),ff(1)`$ gives rise to a group morphism $`K_0(C_{\mathrm{red}}^{}(G))`$. When $`H`$ is a discrete series representation of $`G`$, $`\mathrm{Tr}([H])`$ is the value at $`1`$ of $`p=d_H\overline{c_x}`$ for some $`xH`$, $`x=1`$, and therefore it is the formal degree $`d_H`$ of $`H`$ and is $`>0`$.

Ingredient 2. $`\mathrm{Tr}([d_V])=_{\alpha \mathrm{\Psi }}\frac{(\lambda ,\alpha )}{(\rho ,\alpha )}`$, where $`\mathrm{\Psi }`$ is the set of simple roots of the chosen positive root system in $`𝔤`$, and $`\rho `$ is the half sum of the positive roots of this system.

In this formula is used a right normalization of the Haar measure (if $`G`$ is linear it is the one for which the maximal compact subgroup of the complexification of $`G`$ has measure $`1`$). This formula is proven in  by a heat equation method, and in  by Atiyah’s $`L^2`$-index theorem.

###### Corollary 2.3.1

If $`\lambda `$ is singular for $`𝔤`$, $`[V]`$ does not correspond to a discrete series representation of $`G`$.

Ingredient 3. For any $`xK_0(C_{\mathrm{red}}^{}(G))`$ such that $`\mathrm{Tr}(x)0`$, there is a discrete series representation $`H`$ such that $`H,x0`$.

By the Plancherel formula, if $`\widehat{G}`$ is the tempered spectrum of $`G`$, $`\mathrm{Tr}(x)=_{\widehat{G}}H,x𝑑H`$. We have to prove that, for almost all $`H`$ outside the discrete series, $`H,x=0`$. There are several possible arguments :

* almost all $`H`$ outside the discrete series are induced from a parabolic subgroup and belong to a family of representations indexed by some $`^p`$, but $`H^{},x`$ is constant when $`H^{}`$ varies in this family and goes to $`0`$ when $`H^{}`$ goes to infinity,
* write $`x=[d_V]`$ for some $`V`$, then the $`H`$ outside the discrete series with $`H,x0`$ have measure $`0`$ by  p15 (3.19), p50 (9.8) and p51 (9.12) or by  p318-320.

###### Corollary 2.3.2

If $`\lambda `$ is not singular for $`𝔤`$, $`[V]`$ does correspond to a discrete series representation, whose formal degree is $`\left|_{\alpha \mathrm{\Psi }}\frac{(\lambda ,\alpha )}{(\rho ,\alpha )}\right|`$.

We have recovered some results proved in ,  and .