Lie Algebras

Brooks Roberts
University of Idaho

Course notes from 2018–2019

Contents

1 Basic concepts 1
1.1 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.3 The definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.4 Some important examples . . . . . . . . . . . . . . . . . . . . . . 3
1.5 The adjoint homomorphism . . . . . . . . . . . . . . . . . . . . . 5

2 Solvable and nilpotent Lie algebras 7

2.1 Solvability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.2 Nilpotency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

3 The theorems of Engel and Lie 15

3.1 The theorems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
3.2 Weight spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
3.3 Proof of Engel’s Theorem . . . . . . . . . . . . . . . . . . . . . . 17
3.4 Proof of Lie’s Theorem . . . . . . . . . . . . . . . . . . . . . . . . 20

4 Some representation theory 23

4.1 Representations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.2 Basic results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
4.3 Representations of sl(2) . . . . . . . . . . . . . . . . . . . . . . . 25

5 Cartan’s criteria 33
5.1 The Jordan-Chevalley decomposition . . . . . . . . . . . . . . . . 33
5.2 Cartan’s first criterion: solvability . . . . . . . . . . . . . . . . . 34
5.3 Cartan’s second criterion: semi-simplicity . . . . . . . . . . . . . 40
5.4 Simple Lie algebras . . . . . . . . . . . . . . . . . . . . . . . . . . 42
5.5 Jordan decomposition . . . . . . . . . . . . . . . . . . . . . . . . 45

6 Weyl’s theorem 51
6.1 The Casmir operator . . . . . . . . . . . . . . . . . . . . . . . . . 51
6.2 Proof of Weyl’s theorem . . . . . . . . . . . . . . . . . . . . . . . 55
6.3 An application to the Jordan decomposition . . . . . . . . . . . . 58

iii
iv CONTENTS

7 The root space decomposition 63

7.1 An associated inner product space . . . . . . . . . . . . . . . . . 81

8 Root systems 83
8.1 The definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
8.2 Root systems from Lie algebras . . . . . . . . . . . . . . . . . . . 84
8.3 Basic theory of root systems . . . . . . . . . . . . . . . . . . . . . 85
8.4 Bases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
8.5 Weyl chambers . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
8.6 More facts about roots . . . . . . . . . . . . . . . . . . . . . . . . 101
8.7 The Weyl group . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
8.8 Irreducible root systems . . . . . . . . . . . . . . . . . . . . . . . 114

9 Cartan matrices and Dynkin diagrams 123

9.1 Isomorphisms and automorphisms . . . . . . . . . . . . . . . . . 123
9.2 The Cartan matrix . . . . . . . . . . . . . . . . . . . . . . . . . . 124
9.3 Dynkin diagrams . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
9.4 Admissible systems . . . . . . . . . . . . . . . . . . . . . . . . . . 130
9.5 Possible Dynkin diagrams . . . . . . . . . . . . . . . . . . . . . . 142

10 The classical Lie algebras 145

10.1 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
10.2 A criterion for semi-simplicity . . . . . . . . . . . . . . . . . . . . 147
10.3 A criterion for simplicity . . . . . . . . . . . . . . . . . . . . . . . 148
10.4 A criterion for Cartan subalgebras . . . . . . . . . . . . . . . . . 151
10.5 The Killing form . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
10.6 Some useful facts . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
10.7 The Lie algebra sl(` + 1) . . . . . . . . . . . . . . . . . . . . . . 155
10.8 The Lie algebra so(2` + 1) . . . . . . . . . . . . . . . . . . . . . 161
10.9 The Lie algebra sp(2`) . . . . . . . . . . . . . . . . . . . . . . . 174
10.10The Lie algebra so(2`) . . . . . . . . . . . . . . . . . . . . . . . . 182

11 Representation theory 193

11.1 Weight spaces again . . . . . . . . . . . . . . . . . . . . . . . . . 193
11.2 Borel subalgebras . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
11.3 Maximal vectors . . . . . . . . . . . . . . . . . . . . . . . . . . . 196
11.4 The Poincaré-Birkhoff-Witt Theorem . . . . . . . . . . . . . . . . 201
Chapter 1

Basic concepts

1.1 References
The main reference for this course is the book Introduction to Lie Algebras, by
Karin Erdmann and Mark J. Wildon; this is reference [4]. Another important
reference is the book [6], Introduction to Lie Algebras and Representation The-
ory, by James E. Humphreys. The best references for Lie theory are the three
volumes [1], Lie Groups and Lie Algebras, Chapters 1-3, [2], Lie Groups and Lie
Algebras, Chapters 4-6, and [3], Lie Groups and Lie Algebras, Chapters 7-9, all
by Nicolas Bourbaki.

1.2 Motivation
Briefly, Lie algebras have to do with the algebra of derivatives in settings where
there is a lot of symmetry. As a consequence, Lie algebras appear in various
parts of advanced mathematics. The nexus of these applications is the theory
of symmetric spaces. Symmetric spaces are rich objects whose theory has com-
ponents from geometry, analysis, algebra, and number theory. With these short
remarks in mind, in this course we will begin without any more motivation,
and start with the definition of a Lie algebra. For now, rather than be con-
cerned about advanced applications, the student should instead exercise critical
thinking as basic concepts are introduced.

1.3 The definition

Lie algebras are defined as follows. Throughout this chapter F be an arbitrary
field. A Lie algebra over F is an F -vector space L and an F -bilinear map

[·, ·] : L × L −→ L

that has the following two properties:

1
2 CHAPTER 1. BASIC CONCEPTS

1. [x, x] = 0 for all x ∈ L;

2. [x, [y, z]] + [y, [z, x]] + [z, [x, y]] = 0 for all x, y, z ∈ L.

The map [·, ·] is called the Lie bracket of L. The second property is called the
Jacobi identity.

Proposition 1.3.1. Let L be a Lie algebra over F . If x, y ∈ L, then [x, y] =

−[y, x].

Proof. Let x, y ∈ L. Then

0 = [x + y, x + y]
= [x, x] + [x, y] + [y, x] + [y, y]
= [x, y] + [y, x],

so that [x, y] = −[y, x].

If L1 and L2 are Lie algebras over F , then a homomorphism T : L1 → L2

is an F -linear map that satisfies T ([x, y]) = [T (x), T (y)] for all x, y ∈ L1 . If L
is a Lie algebra over F , then a subalgebra of L is an F -vector subspace K of
L such that [x, y] ∈ K for all x, y ∈ K; evidently, a subalgebra is a Lie algebra
over F using the same Lie bracket. If L is a Lie algebra over F , then an ideal
I of L is an F -vector subspace of L such that [x, y] ∈ I for all x ∈ L and y ∈ I;
evidently, an ideal of L is also a subalgebra of A. Also, because of Proposition
1.3.1, it is not necessary to introduce the concepts of left or right ideals. If L is
a Lie algebra over F , then the center of L is defined to be

Z(L) = {x ∈ L : [x, y] = 0 for all y ∈ L}.

Clearly, the center of L is an F -subspace of L.

Proposition 1.3.2. Let L be a Lie algebra over F . The center Z(L) of L is

an ideal of L.

Proof. Let y ∈ L and x ∈ Z(L). If z ∈ L, then [[y, x], z] = −[[x, y], z] = 0. This
implies that [y, x] ∈ Z(L).

If L is a Lie algebra over F , then we say that L is abelian if Z(L) = L, i.e.,

if [x, y] = 0 for all x, y ∈ L.

Proposition 1.3.3. Let L1 and L2 be Lie algebras over F , and let T : L1 → L2

be a homomorphism. The kernel of T is an ideal of L1 .

Proof. Let y ∈ ker(T ) and x ∈ L1 . Then T ([x, y]) = [T (x), T (y)] = [T (x), 0] =
0, so that [x, y] ∈ ker(T ).
1.4. SOME IMPORTANT EXAMPLES 3

1.4 Some important examples

Proposition 1.4.1. Let A be an associative F -algebra. For x, y ∈ A define

[x, y] = xy − yx,

so that [x, y] is just the commutator of x and y. With this definition of a Lie
bracket, the F -vector space A is a Lie algebra.
Proof. It is easy to verify that [·, ·] is F -bilinear and that property 1 of the
definition of a Lie algebra is satisfied. We need to prove that the Jacobi identity
is satisfied. Let x, y, z ∈ A. Then

[x, [y, z]] + [y, [z, x]] + [z, [x, y]] = x(yz − zy) − (yz − zy)x
+ y(zx − xz) + (zx − xz)y
+ z(xy − yx) + (xy − yx)z
= xyz − xzy − yzx + zyx
+ yzx − yxz − zxy + xzy
+ zxy − zyx − xyz + yxz
= 0.

This completes the proof.

Note that in the last proof we indeed used that the algebra was associative.
If V is an F -vector space, then the F -vector space gl(V ) of all F -linear
operators from V to V is an associative algebra over F under composition, and
thus defines a corresponding Lie algebra over F , also denoted by gl(V ), with Lie
bracket as defined in Proposition 1.4.1. Similarly, if n is a non-negative integer,
then F -vector space gl(n, F ) of all n × n matrices is an associative algebra under
multiplication of matrices, and thus defines a corresponding Lie algebra, also
denoted by gl(n, F ).
The example gl(n, F ) shows that in general the Lie bracket is not associative,
i.e., it is not in general true that [x, [y, z]] = [[x, y], z] for all x, y, z ∈ gl(n, F ).
For example, if n = 2, and
     
1 1
x= , y= , z=
1 1

then
  
1
[x, [y, z]] = x(yz − zy) = xyz − xzy = xyz − = xyz
1

and
    
1 1
[[x, y], z] = (xy − yx)z = xyz − yxz = xyz − = xyz − .
1

We describe some more important examples of Lie algebras.

4 CHAPTER 1. BASIC CONCEPTS

Proposition 1.4.2. Let n be a non-negative integer, and let sl(n, F ) be the

subspace of gl(n, F ) consisting of elements x such that tr(x) = 0. Then sl(n, F )
is a Lie subalgebra of gl(n, F ).
Proof. It will suffice to prove that tr([x, y]) = 0 for x, y ∈ sl(n, F ). Let x, y ∈
sl(n, F ). Then tr([x, y]) = tr(xy − yx) = tr(xy) − tr(yx) = tr(xy) − tr(xy) =
0.
The example sl(2, F ) is especially important. We have
 
a b
sl(2, F ) = { : a, b, c ∈ F }.
c −a

An important basis for sl(2, F ) is

     
1 1
e= , f= , h= .
1 −1

We have:
[e, f ] = h, [e, h] = −2e, [f, h] = 2f.
Proposition 1.4.3. Let n be a non-negative integer, and let S ∈ gl(n, F ). Let

glS (n, F ) = {x ∈ gl(n, F ) : t xS = −Sx}.

Then glS (n, F ) is a Lie subalgebra of gl(n, F ).

Proof. Let x, y ∈ glS (n, F ). We need to prove [x, y] ∈ glS (n, F ). We have
t
([x, y])S = t (xy − yx)S
= (t y t x − t xt y)S
= t y t xS − t xt yS
= −t ySx + t xSy
= Syx − Sxy
= S[y, x]
= −S[x, y].

This completes the proof.

If n = 2` is even, and  
1`
S= ,
1`
then we write
so(n, F ) = so(2`, F ) = glS (n, F ).
If n = 2` + 1 is odd, and  
1
S= 1`  ,
1`
1.5. THE ADJOINT HOMOMORPHISM 5

then we write
so(n, F ) = so(2` + 1, F ) = glS (n, F ).
Also, if n = 2` is even and  
1`
S= ,
−1`
then we write
sp(n, F ) = sp(2`, F ) = glS (n, F ).
If the F -vector space V is actually an algebra R over F , then the Lie algebra
gl(R) admits a natural subalgebra. Note that in the next proposition we do not
assume that R is associative.

Proposition 1.4.4. Let R be an F -algebra. Let Der(R) be the subspace of gl(R)

consisting of derivations, i.e., D ∈ gl(R) such that

D(ab) = aD(b) + D(b)a

for all a, b ∈ R. Then Der(R) is a Lie subalgebra of gl(R).

Proof. Let D1 , D2 ∈ Der(R) and a, b ∈ R. Then

[D1 , D2 ](ab) = (D1 ◦ D2 − D2 ◦ D1 )(ab)

= (D1 ◦ D2 )(ab) − (D2 ◦ D1 )(ab)
= D1 (D2 (ab)) − D2 (D1 (ab))
= D1 (aD2 (b) + D2 (a)b) − D2 (aD1 (b) + D1 (a)b)
= aD1 (D2 (b)) + D1 (a)D2 (b) + D2 (a)D1 (b) + D1 (D2 (a))b
− aD2 (D1 (b)) − D2 (a)D1 (b) − D1 (a)D2 (b) − D2 (D1 (a))b
= a([D1 , D2 ](b)) + ([D1 , D2 ](a))b.

This proves that [D1 , D2 ] is in Der(R).

1.5 The adjoint homomorphism

The proof of the next proposition uses the Jacobi identity.

Proposition 1.5.1. Let L be a Lie algebra over F . Define

ad : L −→ gl(L)

by

ad(x) (y) = [x, y]
for x, y ∈ L. Then ad is a Lie algebra homomorphism. Moreover, the kernel of
ad is Z(L), and the image of ad lies in Der(L). We refer to ad as the adjoint
homomorphism.
6 CHAPTER 1. BASIC CONCEPTS

Proof. Let x1 , x2 , y ∈ L. Then

ad([x1 , x2 ]) (y) = [[x1 , x2 ], y].

Also,




[ad(x1 ), ad(x2 )] (y) = ad(x1 ) ◦ ad(x2 ) (y) − ad(x2 ) ◦ ad(x1 ) (y)



= ad(x1 ) [x2 , y] − ad(x2 ) [x1 , y]
= [x1 , [x2 , y]] − [x2 , [x1 , y]].

It follows that



ad([x1 , x2 ]) (y) − [ad(x1 ), ad(x2 )] (y)
= [[x1 , x2 ], y] − [x1 , [x2 , y]] + [x2 , [x1 , y]]
= −[y, [x1 , x2 ]] − [x1 , [x2 , y]] − [x2 , [y, x1 ]]
=0

by the Jacobi identity. This proves that ad is a Lie algebra homomorphism. It

is clear that the kernel of the adjoint homomorphism is Z(L). We also have

ad(x)([y1 , y2 ]) = [x, [y1 , y2 ]]

and

[y1 , ad(x)(y2 )] + [ad(x)(y1 ), y2 ] = [y1 , [x, y2 ]] + [[x, y1 ], y2 ].

Therefore,

ad(x)([y1 , y2 ]) − [y1 , ad(x)(y2 )] − [ad(x)(y1 ), y2 ]

= [x, [y1 , y2 ]] − [y1 , [x, y2 ]] − [[x, y1 ], y2 ]
= [x, [y1 , y2 ]] + [y1 , [y2 , x]] + [y2 , [x, y1 ]]
= 0,

again by the Jacobi identity. This proves that the image of ad lies in Der(L).
The previous proposition shows that elements of a Lie algebra can always
be thought of as derivations of an algebra. It turns out that if L is a finite-
dimensional semi-simple Lie algebra over the complex numbers C, then the
image of the adjoint homomorphism is Der(L).
Chapter 2

Solvable and nilpotent Lie

algebras

In this chapter F is an arbitrary field.

2.1 Solvability
Proposition 2.1.1. Let L be a Lie algebra over F , and let I and J be ideals of
L. Define [I, J] to be the F -linear span of all the brackets [x, y] for x ∈ I and
y ∈ J. The F -vector subspace [I, J] of L is an ideal of L.

Proof. Let x ∈ L, y ∈ I and z ∈ J. We need to prove that [x, [y, z]] ∈ [I, J].
We have

[x, [y, z]] = −[y, [z, x]] − [z, [x, y]]

by the Jacobi identity. We have [z, x] ∈ J because J is an ideal, and [x, y] ∈ I

because I is an ideal. It follows that [x, [y, z]] ∈ [I, J]. Note that we also use
Proposition 1.3.1.

By Proposition 1.3.1, if L is a Lie algebra over F , and I and J are ideals of

L, then [I, J] = [J, I].
If L is a Lie algebra over F , then the derived algebra of L is defined to be
L0 = [L, L].

Proposition 2.1.2. The derived algebra of sl(2, F ) is sl(2, F ).

Proof. This follows immediately from [e, f ] = h, [e, h] = −2e, [f, h] = 2f.

Proposition 2.1.3. Let L be a Lie algebra over F . The quotient algebra L/L0
is abelian.

Proof. This follows immediately from the definition of the derived algebra.

7
8 CHAPTER 2. SOLVABLE AND NILPOTENT LIE ALGEBRAS

Let L be a Lie algebra over F . We can consider the following descending

sequence of ideals:

L ⊃ L0 = [L, L] ⊃ (L0 )0 = [L0 , L0 ] ⊃ ((L0 )0 )0 = [(L0 )0 , (L0 )0 ] · · ·

Each term of the sequence is actually an ideal of L; also, the successive quotients
are abelian. To improve the notation, we will write

L(0) = L,
L(1) = L0 ,
L(2) = (L0 )0 ,
···
L (k+1)
= (Lk )0
··· .

We have then
L = L(0) ⊃ L(1) ⊃ L(2) ⊃ · · · .
This is called the derived series of L. We say that L is solvable if L(k) = 0
for some non-negative integer k.
Proposition 2.1.4. Let L be a Lie algebra over F . Then L is solvable if and
only if there exists a sequence I0 , I1 , I2 , . . . , Im of ideals of L such that

L = I0 ⊃ I1 ⊃ I2 ⊃ · · · ⊃ Im−1 ⊃ Im = 0

and Ik−1 /Ik is abelian for k ∈ {1, . . . , m}.

Proof. Assume that a sequence exists as in the statement of the proposition; we
need to prove that L is solvable. To prove this it will suffice to prove that L(k) ⊂
Ik for k ∈ {0, 1, . . . , m}. We will prove this by induction on k. The induction
claim is true if k = 0 because L(0) = L = I0 . Assume that k ∈ {1, . . . , m} and
that L(j) ⊂ Ij for all j ∈ {0, 1, . . . , k − 1}; we will prove that L(k) ⊂ Ik . By
hypothesis, Ik−1 /Ik is abelian. This implies that [Ik−1 , Ik−1 ] ⊂ Ik . We have:

L(k) = [L(k−1) , L(k−1) ] ⊂ [Ik−1 , Ik−1 ] ⊂ Ik .

This completes the argument.

Lemma 2.1.5. Let L1 and L2 be Lie algebras over F . Let T : L1 → L2 be
a surjective Lie algebra homomorphism. If k is a non-negative integer, then
(k) (k)
T (L1 ) = L2 . Consequently, if L1 is solvable, then so is L2 = T (L1 ).
(k) (k)
Proof. We will prove that T (L1 ) = L2 by induction on k. This is clear if
k = 0. Assume that the statement holds for k; we will prove that it holds for
k + 1. Now
(k+1) (k) (k)
T (L1 ) = T ([L1 , L1 ])
2.1. SOLVABILITY 9

(k) (k)
= [T (L1 ), T (L1 )]
(k) (k)
= [L2 , L2 ]
(k+1)
= L2 .

This completes the proof.

Lemma 2.1.6. Let L be a Lie algebra over F . We have L(k+j) = (L(k) )(j) for
all non-negative integers k and j.

Proof. Fix a non-negative integer k. We will prove that L(k+j) = (L(k) )(j) by
induction on j. If j = 0, then L(k+j) = L(k) = (L(k) )(0) = (L(k) )(j) . Assume
that the statement holds for j; we will prove that it holds for j + 1. By the
induction hypothesis,

L(k+j+1) = [L(k+j) , L(k+j) ]

= [(L(k) )(j) , (L(k) )(j) ].

Also,

(L(k) )(j+1) = [(L(k) )(j) , (L(k) )(j) ].

The lemma is proven.

Lemma 2.1.7. Let L be a Lie algebra over F . Let I be an ideal of L. The Lie
algebra L is solvable if and only if I and L/I are solvable.

Proof. If L is solvable then I is solvable because I (k) ⊂ L(k) for all non-negative
integers; also, L/I is solvable by Lemma 2.1.5. Assume that I and L/I are
solvable. Since L/I is solvable, there exists a non-negative integer k such that
(L/I)(k) = 0. This implies that L(k) + I = I, so that L(k) ⊂ I. Since I is
solvable, there exists an non-negative integer j such that I (j) = 0. It follows
that (L(k) )(j) ⊂ I (j) = 0. Since L(k+j) = (L(k) )(j) by Lemma 2.1.6, we conclude
that L is solvable.

Lemma 2.1.8. Let L be a Lie algebra over F , and let I and J be solvable ideals
of L. Then I + J is solvable.

Proof. We consider the sequence

I + J ⊃ J ⊃ 0.

We have (I + J)/J ∼ = I/(I ∩ J) as Lie algebras. Since I is solvable, these

isomorphic Lie algebras are solvable by Lemma 2.1.5. The Lie algebra I + J is
now solvable by Lemma 2.1.7.

Proposition 2.1.9. Let L be a finite-dimensional Lie algebra over F . Then

there exists a solvable ideal I of L such that every solvable ideal of L is contained
in I.
10 CHAPTER 2. SOLVABLE AND NILPOTENT LIE ALGEBRAS

Proof. Since L is finite-dimensional, there exists a solvable ideal I of L of max-

imal dimension. Let J be a solvable ideal of L. The ideal I + J is solvable by
Lemma 2.1.8. Since I has maximum dimension we must have I + J = I, so that
J ⊂ I.

If L is a finite-dimensional Lie algebra over F , then the ideal from Proposi-

tion 2.1.9 is clearly unique; we refer to it as the radical of L, and denote it by
rad(L). We say that finite-dimensional Lie algebra L over F is semi-simple if
L 6= 0 and the radical of L is zero, i.e., rad(L) = 0. Because the center Z(L)
of a Lie algebra L is abelian, the center Z(L) is a solvable ideal of L. Hence,
rad(L) contains Z(L). If L is a semi-simple Lie algebra, then Z(L) = 0.

Proposition 2.1.10. Let L be a finite-dimensional Lie algebra over F . The

Lie algebra L/rad(L) is semi-simple.

Proof. Let I be a solvable ideal in L/rad(L); we need to prove that I = 0. Let

p : L → L/rad(L) be the projection map; this is a Lie algebra homomorphism.
Define J = p−1 (I). Evidently, J is an ideal of L containing rad(L). Let k be a
non-negative integer. By Lemma 2.1.5 we have p(J (k) ) = p(J)(k) = I (k) . There
exists a positive integer k such that I (k) = 0. It follows that p(J (k) ) = 0. This
implies that J (k) ⊂ rad(L). Since rad(L) is solvable, it follows for some positive
integer j we have (J (k) )j = 0. Consequently, by Lemma 2.1.6, the ideal J is
solvable. This implies that J ⊂ rad(L), which in turn implies that I = 0.

The following theorem will not be proven now, but is an important reduction
in the structure of Lie algebras.

Theorem 2.1.11 (Levi decomposition). Assume that the characteristic of F

is zero. Let L be a finite dimensional Lie algebra over F . Then there exists a
subalgebra S of L such that L = rad(L) ⊕ S as vector spaces.

Proposition 2.1.12. Assume that the characteristic of F is not two. The

Lie algebra sl(2, F ) is semi-simple. In fact, sl(2, F ) has no ideals except 0 and
sl(2, F ).

Proof. Let I be an ideal of sl(2, F ). Let x = ae + bh + cf be an element of I,

with a, b, c ∈ F . Assume that a 6= 0. We have

[h, x] = 2ae − 2cf,

[f, x] = −ah + 2bf,

so that

[f, [h, x]] = −2ah,

[f, [f, x]] = −2af.

It follows that h and f are contained in I. This implies that e is contained in

I, so that I = sl(2, F ). The argument is similar if b 6= 0 or c 6= 0.
2.1. SOLVABILITY 11

We say that a Lie algebra L over F is reductive if rad(L) = Z(L).

Proposition 2.1.13. Assume that the characteristic of F is not two. The Lie
algebra gl(2, F ) is reductive.
Proof. Since tr([x, y]) = 0 for any x, y ∈ gl(2, F ), it follows that sl(2, F ) is
an ideal of gl(2, F ). Let I = rad(gl(2, F )). Then I ∩ sl(2, F ) is an ideal of
gl(2, F ) and an ideal of sl(2, F ). By Proposition 2.1.12, we must have I ∩
sl(2, F ) = sl(2, F ) or I ∩ sl(2, F ) = 0. Assume that I ∩ sl(2, F ) = sl(2, F ), so
that sl(2, F ) ⊂ I. By Lemma 2.1.7, sl(2, F ) is solvable. This contradicts the fact
that sl(2, F ) is semi-simple by Proposition 2.1.12. We thus have I ∩ sl(2, F ) = 0.
Let  
a b
x=
c d
be in I. We have
 
d−a
c
[e, x] = ∈ I ∩ sl(2, F ) = 0,
−c
 
−b
[f, x] = ∈ I ∩ sl(2, F ) = 0.
a−d b

It follows that  
a
x ∈ Z(gl(2, F )) = { : a ∈ F },
a
so that I ⊂ Z(gl(2, F )). Since Z(gl(2, F )) ⊂ I = rad(gl(2, F )), the proposition
is proven.
Proposition 2.1.14. Let b(2, F ) be the F -subspace of gl(2, F ) consisting of
upper triangular matrices. Then b(2, F ) is a Lie subalgebra of gl(2, F ), and
b(2, F ) is solvable.
Proof. Let    
a1 b1 a2 b2
x1 = , x2 =
d1 d2
be in b(2, F ). Then
   
b1 d2 − b2 d1 + a1 b2 − a2 b1 ∗
[x1 , x2 ] = ∈ .

From this formula it follows that b(2, F ) is a Lie subalgebra of gl(2, F ). More-
over, it is clear that
 
∗
b(2, F )(1) = ,

b(2, F )(2) = 0,

so that b(2, F ) is solvable.

12 CHAPTER 2. SOLVABLE AND NILPOTENT LIE ALGEBRAS

The following corollary is a consequence of Proposition 2.1.14.

Corollary 2.1.15. The F -subspace of sl(2, F ) consisting of upper triangular

matrices is a Lie subalgebra of sl(2, F ) and is solvable.

More generally, one has the following theorem, the proof of which will be
omitted:

Theorem 2.1.16. Let b(n, F ) be the Lie algebra over F consisting of all upper
triangular n × n matrices with entries from F . Then b(n, F ) is solvable.

2.2 Nilpotency
There is a stronger property than solvability. Let L be a Lie algebra over F .
We define the lower central series of L to the sequence of ideals:

L0 = L, L1 = L0 , , Lk = [L, Lk−1 ], k ≥ 2.

Evidently, every element of the sequence L0 , L1 , L2 , . . . is an ideal of L. Also,

we have that
L = L0 ⊃ L1 ⊃ L2 ⊃ · · ·
and L(k) ⊂ Lk . The significant difference between the derived series and lower
central series is that while L(k) /L(k+1) and Lk /Lk+1 are both abelian, the quo-
tient Lk /Lk+1 is in the center of L/Lk+1 . We say that L is nilpotent if Lk = 0
for some non-negative integer k. It is clear that if L is nilpotent, then L is
solvable.
It is not true that if a Lie algebra is solvable, then it is nilpotent. Consider
b(2, F ), the upper triangular 2 × 2 matrices over F . We have
 
1 ∗
b(2, F ) = ,
 
∗
b(2, F )2 = ,

···
 
∗
b(2, F )k = , k ≥ 1.

On the other hand, the Lie algebra n(2, F ) of strictly upper triangular 2 × 2
over F is nilpotent:

n(2, F )k = 0, k ≥ 1.

Proposition 2.2.1. Let L be a Lie algebra over F . If L is nilpotent, then any

Lie subalgebra of L is nilpotent. If L/Z(L) is nilpotent, then L is nilpotent.
2.2. NILPOTENCY 13

Proof. The first assertion is clear. Assume that L/Z(L) is nilpotent. We claim
that (L/Z(L))k = (Lk + Z(L))/Z(L) for all non-negative integers k. This
statement is clear if k = 0. Assume that the statement holds for k; we will
prove that it holds for k + 1. Now

(L/Z(L))k+1 = [L/Z(L), (L/Z(L))k ]

= [L/Z(L), (Lk + Z(L))/Z(L)]
= (Lk+1 + Z(L))/Z(L).

This proves the statement by induction. Since L/Z(L) is nilpotent, there

exists a non-negative integer k such that (L/Z(L))k = 0. It follows that
(Lk + Z(L))/Z(L) = 0; this means that Lk ⊂ Z(L). Therefore, Lk+1 = 0.

Theorem 2.2.2. Let n(n, F ) be the Lie algebra over F consisting of all strictly
upper triangular n × n matrices with entries from F . Then n(n, F ) is nilpotent.
14 CHAPTER 2. SOLVABLE AND NILPOTENT LIE ALGEBRAS
Chapter 3

The theorems of Engel and

Lie

3.1 The theorems

In this chapter we will prove the following theorems:

Theorem 3.1.1 (Engel’s Theorem). Assume that F has characteristic zero

and is algebraically closed. Let V be a finite-dimensional vector space over F .
Suppose that L is a Lie subalgebra of gl(V ), and that every element of L is a
nilpotent linear transformation. Then there exists a basis for V such that in this
basis every element of L is a strictly upper triangular matrix.

Theorem 3.1.2 (Lie’s Theorem). Assume that F has characteristic zero and is
algebraically closed. Let V be a finite-dimensional vector space over F . Suppose
that L is a solvable Lie subalgebra of gl(V ). Then there exists a basis for V such
that in this basis every element of L is an upper triangular matrix.

3.2 Weight spaces

Let V be a vector space over F , and let A be a Lie subalgebra of gl(V ). Let
λ : A → F be a linear map; we refer λ as a weight of L. We define

Vλ = {v ∈ V : av = λ(a)v for all a ∈ A},

and refer to Vλ as the weight space for λ.

Lemma 3.2.1 (Invariance Lemma). Assume that F has characteristic zero. V

be a finite-dimensional vector space over F , and let L be a Lie subalgebra of
gl(V ), and let A be an ideal of L. Let λ : A → F be a weight for A. The weight
space Vλ is invariant under L.

15
16 CHAPTER 3. THE THEOREMS OF ENGEL AND LIE

Proof. Let w ∈ Vλ and y ∈ L. We must prove that yw is in Vλ , i.e., that

a(yw) = λ(a)yw for all a ∈ A. If w = 0, then this is clear; assume that w 6= 0.
Let a ∈ A. Let a ∈ A. We have

a(yw) = (ay)w
= ([a, y] + ya)w
= [a, y]w + yaw
= λ([a, y])w + λ(a)(yw).

Since w 6= 0, this calculation shows that we must prove that λ([a, y]) = 0.
To prove this, we consider the subspace U of V spanned by the vectors

w, yw, y 2 w, . . .

The subspace U is non-zero (because w 6= 0) and finite-dimensional (because V

is finite-dimensional). Let m be the largest non-negative integer such that

w, yw, y 2 w, . . . , y m w

are linearly independent. This set is a basis for U . We claim that for all z ∈ A
we have zU ⊂ U , and that moreover the matrix of z with respect to the basis
w, yw, y 2 w, . . . , y m w has the form
 
λ(z) ∗ ... ∗
 λ(z) . . . ∗ 
..  .
 
 . ..
 . 
λ(z)

We will prove this claim by induction on the columns. First of all, if z ∈ A,

then zw = λ(z)w; this proves that the first column has the claimed form for all
z ∈ A. For the second column, if z ∈ A, then

z(yw) = [z, y]w + yzw

= λ([z, y])w + λ(z)yw.

This proves the claim for the second column. Assume that the claim has been
proven for the first k columns with k ≥ 2; we will prove it for the k + 1 column.
Let z ∈ A. Then

z(y k w) = zyy k−1 w

= [z, y](y k−1 w) + yz(y k−1 w).

By the induction hypothesis, since [z, y] ∈ A, the vector u1 = [z, y](y k−1 w) is
in the span of w, yw, y 2 w, . . . , y k−1 w. Also, by the induction hypothesis, there
exists u2 in the span of w, yw, y 2 w, . . . , y k−2 w such that

z(y k−1 w) = λ(z)y k−1 w + u2 .

3.3. PROOF OF ENGEL’S THEOREM 17

It follows that

z(y k w) = u1 + y(λ(z)y k−1w + u2 )

= λ(z)y k w + u1 + yu2 .

Since the vector u1 + yu2 is in the span of w, yw, y 2 w, . . . , y k−1 w, our claim
follows.
Now we can complete the proof. We recall that we are trying to prove that
λ([a, y]) = 0. Let z = [a, y]; then z ∈ A. By the last paragraph, z acts on U , and
we have that the trace of the action of z on U is (m + 1)λ(z) = (m + 1)λ([a, y]).
On the other hand, z = [a, y] = ay−ya, and a and y both act on U . This implies
that trace of the action of z on U is zero. We conclude that λ([a, y]) = 0.

Corollary 3.2.2. Assume that F has characteristic zero and is algebraically

closed. Let V be a finite-dimensional vector space over C. Let x, y ∈ gl(V ). If
x and y commute with [x, y], then [x, y] is nilpotent.

Proof. Since our field is algebraically closed, it will suffice to prove that the only
eigenvalue of [x, y] is zero. Let c be an eigenvalue of [x, y].
Let
L = F x + F y + F [x, y].
Since [x, [x, y]] = [y, [x, y]] = 0, the vector space L is a Lie subalgebra of gl(V ).
Let
A = F [x, y].
Evidently, A is an ideal of L; in fact [z, a] = 0 for all z ∈ L. Let λ : A → F be
the linear functional such that λ([x, y]) = c. Then the weight space Vλ is

Vλ = {v ∈ V : av = λ(a)v for all a ∈ A}

= {v ∈ V : [x, y]v = cv}.

By the Lemma 3.2.1, the Invariance Lemma, Vλ is mapped by L into itself. Pick
a basis for Vλ , and write the action of x and y on Vλ in this basis as matrices X
and Y , respectively. On the one hand, we have tr[X, Y ] = 0, as usual. On the
other hand, [X, Y ] acts by c on Vλ , which implies that tr[X, Y ] = (dim Vλ )c. It
follows that c = 0.

3.3 Proof of Engel’s Theorem

Lemma 3.3.1. Let V be a finite-dimensional vector space over F , and let L be
a Lie subalgebra of gl(V ). Let x ∈ L. If x is nilpotent as a linear operator on
V , then ad(x) is nilpotent as an element of gl(L).

Proof. Let y ∈ L. By definition,

ad(x)(y) = [x, y] = xy − yx,

18 CHAPTER 3. THE THEOREMS OF ENGEL AND LIE

ad(x)2 (y) = ad(x)(ad(x)(y))

= ad(x)(xy − yx)
= [x, xy − yx]
= x(xy − yx) − (xy − yx)x
= x2 y − 2xyx + yx2 ,
ad(x)3 (y) = ad(x)(ad(x)2 (y))
= [x, x2 y − 2xyx + yx2 ]
= x(x2 y − 2xyx + yx2 ) − (x2 y − 2xyx + yx2 )x
= x3 y − 2x2 yx + xyx2 − x2 yx + 2xyx2 − yx3
= x3 y − 3x2 yx + 3xyx2 − yx3 .

We claim that for all positive integers n,

n  
n
X n
ad(x) (y) = (−1)k xn−k yxk .
k
k=0

We will prove this by induction on n. This claim is true if n = 1. Assume it

holds for n; we will prove that it holds for n + 1. Now

ad(x)n+1 (y)
= ad(x)(ad(x)n (y))
n  
X n
= [x, (−1)k xn−k yxk ]
k
k=0
n   n  
X n X n
= (−1)k xn−k+1 yxk − (−1)k xn−k yxk+1
k k
k=0 k=0
n   n+1
X 
X n n
= (−1)k xn−k+1 yxk + (−1)k xn−k+1 yxk
k k−1
k=0 k=1
n    
X n n
= xn+1 y + (−1)n+1 yxn+1 + ( + )(−1)k xn−k+1 yxk
k k−1
k=1
n  
n+1 n+1 n+1
X n+1
=x y + (−1) yx + (−1)k xn−k+1 yxk
k
k=1
n+1
X 
n+1
(−1)k xn+1−k yxk .
k
k=0

This proves our claim by induction.

From the formula we see that if m is positive integer such that xm = 0, then
ad(x)2m = 0.
3.3. PROOF OF ENGEL’S THEOREM 19

Lemma 3.3.2. Assume that F has characteristic zero and is algebraically

closed. Let V be a finite-dimensional vector space over F , and let L be a Lie
subalgebra of gl(V ). Assume that L is non-zero, and that every element is a
nilpotent linear transformation. Then there exists an non-zero vector v in V
such that xv = 0 for all x ∈ L.

Proof. We will prove this lemma by induction on dim L. We cannot have

dim L = 0 because L 6= 0 by assumption. Assume first that dim L = 1. Then
L = F x for some x ∈ L. By assumption, x is a non-zero nilpotent linear trans-
formation. This implies that there exists a positive integer such that xk 6= 0
and xk+1 = 0. Since xk 6= 0, there exists w ∈ V such that v = xk w 6= 0. Since
xk+1 = 0, we have xv = 0. This proves the lemma in the case dim L = 1.
Assume now that dim L > 1 and that the lemma holds for all Lie algebras
as in the statement of the lemma with dimension strictly less than dim L. We
need to prove that the statement of the lemma holds for L.
To begin, let A be a maximal proper Lie algebra of L; we will prove that A
is an ideal of L and that dim A = dim L − 1. Set L̄ = L/A; this is vector space
over F . Define
ϕ : A −→ gl(L̄)
by

ϕ(a) x + A = [a, x] + A
for a ∈ A and x ∈ L. The map ϕ is well-defined because A is a Lie subalgebra
of L. We claim that ϕ is a Lie algebra homomorphism. Let a, b ∈ A and x ∈ L.
Then



[ϕ(a), ϕ(b)](x + A) = ϕ(a) [b, x] + A − ϕ(b) [a, x] + A
= [a, [b, x]] − [b, [a, x]] + A
= [a, [b, x]] + [b, [x, a]] + A
= −[x, [a, b]] + A
= [[a, b], x] + A
= ϕ([a, b])(x + A).

This proves that ϕ is a Lie algebra homomorphism. Since ϕ is a Lie algebra

homomorphism, it follows that ϕ(A) is a Lie subalgebra of gl(L̄). We claim
that the elements of ϕ(A) are nilpotent as linear transformations in gl(L̄). Let
a ∈ A. By Lemma 3.3.1, ad(a) is a nilpotent element of gl(L), i.e., there exists
a positive integer k such that map ad(a)k : L → L, defined by x 7→ ad(a)k (x) =
[a, [a, [a, · · · [a, x] · · · ], is zero, i.e., [a, [a, [a, · · · [a, x] · · · ] = 0 for x ∈ L. The
definition of ϕ implies that ϕ(a)k = 0, as desired. We now may apply the
induction hypothesis to ϕ(A) and L̄. By the induction hypothesis, there exists
a non-zero vector y + A ∈ L̄ such that ϕ(a)(y + A) = 0 for all a ∈ A. This means
that [a, y] ∈ A for all a ∈ A. Now define the vector subspace A0 = A + F y of L
Since y + A is non-zero in L̄, this is actually a direct sum, so that A0 = A ⊕ F y.
Moreover, because [a, y] ∈ A for all a ∈ A, it follows that A0 is a Lie subalgebra
20 CHAPTER 3. THE THEOREMS OF ENGEL AND LIE

of L, and also that A is an ideal in A0 . By the maximality of A, we must have

L = A ⊕ F y. This proves that A is an ideal of L and dim A = dim L − 1.
We now use the induction hypothesis again. Evidently, dim A < dim L and
also the elements of the Lie algebra A ⊂ gl(V ) are nilpotent linear transforma-
tions. By the induction hypothesis, there exists a non-zero vector w ∈ V such
that aw = 0 for all a ∈ A. Define

V0 = {v ∈ V : av = 0 for all a ∈ A}.

We have just noted that V0 is non-zero. By the Invariance Lemma, Lemma

3.2.1, the vector subspace V0 of V is mapped to itself under the elements of L.
Recall the element y from above such that L = A ⊕ F y. We have yV0 ⊂ V0 .
Since y is a nilpotent linear transformation of V , the restriction of y to V0 is
also nilpotent. This implies that there exists a non-zero vector v ∈ V0 such that
yv = 0. We claim that xv = 0 for all x ∈ L. Let x ∈ L. Write x = a + cy for
some a ∈ A and c ∈ F . Then

xv = (a + cy)v = av + cyv = 0 + 0 = 0.

This proves that the assertion of the lemma holds for L. By induction, the
lemma is proven.
Proof of Theorem 3.1.1, Engel’s Theorem. We prove this theorem by induction
on dim V . If dim V = 0, then there is nothing to prove. Assume that dim V ≥ 1,
and that the theorem holds for all Lie algebras satisfying the hypothesis of the
theorem that have dimension strictly less than dim V .
By Lemma 3.3.2, there exists a non-zero vector v ∈ V such that xv = 0 for
all x ∈ L. Let U = F v. Define V̄ = V /U . We consider the natural map

ϕ : L −→ gl(V̄ )

that sends x to the element of gl(V̄ ) defined by w + U 7→ xw + U . This map is a

Lie algebra homomorphism. Consider ϕ(L). This is a Lie subalgebra of gl(V̄ ),
and as linear transformations from V̄ to V̄ , the elements of ϕ(L) are nilpotent.
By the induction hypothesis, there exists a ordered basis

v1 + U, . . . , vn−1 + U

of V̄ such that the elements of ϕ(L) are strictly upper triangular in this basis.
The vectors
v, v1 , . . . , vn−1
form an ordered basis for V . It is evident that the elements of L are strictly
upper triangular in this basis.

3.4 Proof of Lie’s Theorem

Lemma 3.4.1. Assume that F has characteristic zero and is algebraically
closed. Let V be a finite-dimensional vector space over F , and let L be a Lie
3.4. PROOF OF LIE’S THEOREM 21

subalgebra of gl(V ). Assume that L is solvable. Then there exists a non-zero

vector v ∈ V such that v is an eigenvector for every element of L.
Proof. We will prove this by induction on dim L. If dim L = 0, then there is
nothing to prove. If dim L = 1 then this follows from the assumption that F
is algebraically closed. Assume that dim L > 1, and that the assertion holds
for all Lie algebras as in the statement with dimension strictly less than dim L.
Since L is solvable, the derived algebra L0 , which is actually an ideal of L, is a
proper subspace of L. Choose a vector subspace A of L that contains L0 such
that dim A = dim L − 1. We claim that A is an ideal of L. Let x ∈ L and a ∈ A.
Then [x, a] ∈ L0 ⊂ A, so that A is an ideal of L. Since A is an ideal of a solvable
Lie algebra, A is also solvable; see Lemma 2.1.7. By the induction hypothesis,
there exists a non-zero vector v and a weight λ : A → F such that av = λ(a)v
for a ∈ A. Thus, the weight space

Vλ = {w ∈ V : aw = λ(a)w for a ∈ A}

is non-zero. By the Invariance Lemma, Lemma 3.2.1, the Lie algebra L maps
the weight space Vλ to itself. Since dim A = dim L − 1, there exists z ∈ L such
that L = A + F z. Consider the action of z on Vλ . Since F is algebraically
closed, there exists a non-zero vector w ∈ Vλ that is eigenvector for z; let d ∈ F
be the eigenvalue. We claim that w is an eigenvector for every element of L.
Let x ∈ L, and write x = a + cz for some a ∈ A and c ∈ F . Then

xw = (a + cz)w = aw + czw = λ(a)w + cdw = (λ(a) + cd)w,

proving our claim.

Proof of Theorem 3.1.2, Lie’s Theorem. The proof of this theorem uses the last
lemma, Lemma 3.4.1, and is almost identical to the proof of Engel’s Theorem.
The details will be omitted.
22 CHAPTER 3. THE THEOREMS OF ENGEL AND LIE
Chapter 4

Some representation theory

4.1 Representations
Let L be a Lie algebra over F . A representation consists of a pair (ϕ, V ), where
V is a vector space over F and ϕ : L → gl(V ) is a Lie algebra homomorphism.
Evidently, if V is a vector space over F , and ϕ : L → gl(V ) is a linear map,
then the pair (ϕ, V ) is a representation of L if and only if

ϕ([x, y])v = ϕ(x)(ϕ(y)v) − ϕ(y)(ϕ(x)v)

for x, y ∈ L and v ∈ V . Let (ϕ, V ) be a representation of L. We will sometimes

refer to a representation (ϕ, V ) of L as an L-module and omit mention of ϕ by
writing x · v = ϕ(x)v for x ∈ L and v ∈ V . Note that with this convention we
have
[x, y] · v = x · (y · v) − y · (x · v)
for x, y ∈ V and v ∈ V . If (ϕ, V ) is a representation of L, and W is an F -
vector subspace of V such that ϕ(x)w ∈ W for x ∈ L and w ∈ W , then we can
define another representation of L with F -vector space W and homomorphism
L → gl(W ) defined by x 7→ ϕ(x)|W for x ∈ L. Such a representation is a called
a subrepresentation of the representation (ϕ, V ). We will also refer to W as
an L-submodule of V . We say that the representation (ϕ, V ) is irreducible if
V 6= 0 and the only L-submodules of V are 0 and V . Let (ϕ1 , V1 ) and (ϕ2 , V2 )
be representations of L. An F -linear map T : V1 → V2 is a homomorphism
of representations of L, or an L-map, if T (ϕ1 (x)v) = ϕ2 (x)T (v) for x ∈ L
and v ∈ V .
Let L be a Lie algebra over F . An important example of a representation
of L is the adjoint representation of L, which has as F -vector space L and
homomorphism ad : L → gl(L) given by

ad(x)y = [x, y]

for x, y ∈ L.

23
24 CHAPTER 4. SOME REPRESENTATION THEORY

We have also encountered another fundamental example. Assume that V is

an F -vector space and L is Lie subalgebra of gl(V ). This situation naturally
defines a representation of L with F -vector space V and homomorphism L →
gl(V ) given by inclusion. This representation is often referred to as the natural
representation.

4.2 Basic results

Theorem 4.2.1. Assume that F has characteristic zero and is algebraically
closed. Let L be a solvable Lie algebra over F . If (ϕ, V ) is an irreducible
representation of L, then V is one-dimensional.
Proof. Assume that (ϕ, V ) is irreducible. We are given a Lie algebra homo-
morphism ϕ : L → gl(V ). Consider the image ϕ(L). By Lemma 2.1.5, the Lie
algebra ϕ(L) is solvable. The solvable Lie algebra ϕ(L) is a subalgebra of gl(V ).
By Lemma 3.4.1 there exists a non-zero vector v ∈ V that is an eigenvector of
every element of L. It follows that F v is an L-subspace of V . Since (ϕ, V ) is
irreducible, it follows that V = F v, so that V is one-dimensional.
Theorem 4.2.2 (Schur’s Lemma). Assume that F has characteristic zero and
is algebraically closed. Let L be a Lie algebra over F . Let (ϕ, V ) be a finite-
dimensional irreducible representation of L. If T : V → V is an homomorphism
of representations of L, then there exists a unique c ∈ F such that T v = cv for
v ∈V.
Proof. Since T is an F -linear map, and F is algebraically closed, T has a eigen-
vector, i.e., there exists a non-zero vector v ∈ V and c ∈ F such that T v = cv.
Set R = T − c1V . Then R is a homomorphism of representations of L. Con-
sider the kernel ker(T ) of T ; this is a nonzero L-submodule of V . Since V is
irreducible, we must have ker(T ) = V , so that T = c1V .
Corollary 4.2.3. Assume that F has characteristic zero and is algebraically
closed. Let L be a Lie algebra over F . Let (ϕ, V ) be a finite-dimensional irre-
ducible representation of L. There exists a linear functional λ : Z(L) → F such
that ϕ(z)v = λ(z)v for z ∈ Z(L) and v ∈ V .
Proof. To define λ : Z(L) → F let z ∈ Z(L). Consider the F -linear map
ϕ(z) : V → V . We claim that this is a homomorphism of representations of L.
Let x ∈ L and v ∈ V . Then

ϕ(x)(ϕ(z)v) = ϕ([x, z])v + ϕ(z)(ϕ(x)v)

= 0 + ϕ(z)(ϕ(x)v)
= ϕ(z)(ϕ(x)v).

This proves our claim. Applying Theorem 4.2.2, Schur’s Lemma, to ϕ(z), we
see that there exists a unique c ∈ F such that ϕ(z)v = cv for v ∈ V . We now
define λ(z) = c. It is straightforward to verify that λ is a linear map.
4.3. REPRESENTATIONS OF SL(2) 25

4.3 Representations of sl(2)

In this section we will determine all the irreducible representations of sl(2, F )
when F has characteristic zero and is algebraically closed.
We recall that
sl(2, F ) = F e + F h + F f
where      
1 1
e= , h= , f= .
−1 1
We have
[e, f ] = h, [e, h] = −2e, [f, h] = 2f.

Lemma 4.3.1. Let V be a vector space over F , and let ϕ : sl(2, F ) → gl(V ) be
an F -linear map. Define

E = ϕ(e), H = ϕ(h), F = ϕ(f ).

The map ϕ is a representation of sl(2, F ) if and only if

[E, F ] = H, [E, H] = −2E, [F, H] = 2F.

Proof. Assume that ϕ is a representation. Then, by definition, ϕ is a Lie algebra

homomorphism. Applying ϕ to [e, f ] = h, [e, h] = −2e, and [f, h] = 2f yields
[E, F ] = H, [E, H] = −2E, and [F, H] = 2F .
Now suppose that the relations [E, F ] = H, [E, H] = −2E, and [F, H] = 2F
hold. By linearity, to prove that ϕ is a Lie algebra homomorphism, it suffices
to prove that ϕ([e, f ]) = [ϕ(e), ϕ(f )], ϕ([e, h]) = [ϕ(e), ϕ(h)], and ϕ([f, h]) =
[ϕ(f ), ϕ(h)]; this follows from the assumed relations and the definitions of E,
F , and H.

Let d be a non-negative inteber. Let Vd be F -vector space of homogeneous

polynomials in the variables X and Y of degree d with coefficients from F . The
F -vector space Vd has dimension d + 1, with basis

X d, X d−1 Y, X d−2 Y 2 , ..., Y d.

We define linear maps

E, H, F : Vd −→ Vd
by

∂p
Ep = X ,
∂Y
∂p
Fp = Y ,
∂X
∂p ∂p
Hp = X −Y .
∂X ∂Y
26 CHAPTER 4. SOME REPRESENTATION THEORY

Lemma 4.3.2. Let d be a non-negative integer. The F -linear operators E, F

and H act on Vd and satisfy the relations [E, F ] = H, [E, H] = −2E, and
[F, H] = 2F .
Proof. Since E, F , and H are linear operators, it suffices to prove that the
claimed identities hold on the above basis for Vd . For k and integer we define

pk = X d−k Y k .

Let k ∈ {0, 1, 2, . . . , d}. We calculate:

Epk = E(X d−k Y k )

= kX d−(k−1) Y k−1
= kpk−1 ,
F pk = F (X d−k Y k )
= (d − k)X d−(k+1) Y k+1
= (d − k)pk+1 ,
Hpk = H(X d−k Y k )
= (d − k)X d−k Y k − kX d−k Y k
= (d − 2k)pk .

To summarize:

Epk = k · pk−1 , F pk = (d − k) · pk+1 , Hpk = (d − 2k) · pk .

These formulas show that E, F and H act on Vd . We now have:

[E, F ]pk = EF pk − F Epk

= (d − k)Epk+1 − kF pk−1
= (d − k)(k + 1)pk − k(d − k + 1)pk
= (d − 2k)pk
= Hpk .

This proves that [E, F ] = H. Next,

[E, H]pk = EHpk − HEpk

= (d − 2k)kpk−1 − k(d − 2k + 2)pk−1
= −2kpk−1
= −2Epk .

This proves that [E, H] = −2E. Finally,

[F, H]pk = F Hpk − HF pk

= (d − 2k)F pk − (d − k)Hpk+1
4.3. REPRESENTATIONS OF SL(2) 27

= (d − 2k)(d − k)pk+1 − (d − k)(d − 2k − 2)pk1

= 2(d − k)pk−1
= 2F pk .

This proves that [F, H] = F , and completes the proof.

Proposition 4.3.3. Let the notation be as in Lemma 4.3.2. The linear map
ϕ : sl(2, F ) → gl(Vd ) determined by setting ϕ(e) = E, ϕ(f ) = F , and ϕ(h) = H
is a Lie algebra homomorphism, so that (ϕ, Vd ) is a representation of sl(2, F ).

Proof. This follows from Lemma 4.3.2 and Lemma 4.3.1.

Let d be a non-negative integer. We note from the proof of Lemma 4.3.1

that the basis pk , k ∈ {0, . . . , d}, of Vd is such that

H · pk = (d − 2k)pk .

In other words, Vd has a basis of eigenvectors for H with one-dimensional

eigenspaces. Moreover, we see that the matrices of E, F , and H are:
 
0 1 0 0 ··· 0 0
0 0 2 0 · · · 0 0
 
0 0 0 3 · · · 0 0
matrix of E =  . . . .. ..  ,
 
..
 .. .. .. . . .
 
0 0 0 · · · 0 0 d
0 0 0 ··· 0 0 0
 
0 0 0 ··· 0 0
d
 0 0 · · · 0 0 
0 d − 1 0 · · · 0 0
matrix of F = 0 ,
 
 0 d − 2 · · · 0 0 
 .. .. .. .. .. 
. . . . .
0 0 0 ··· 1 0
 
d 0 0 ··· 0
0 d − 2 0 ··· 0 
 
matrix of H = 0
 0 d−4 ··· 0 .

 .. .. .. .. 
. . . . 
0 0 0 ··· −d

Proposition 4.3.4. Let d be a non-negative integer. The representation of

sl(2, F ) on Vd is irreducible.

Proof. Let W be a non-zero sl(2, F )-subspace of Vd . Since W is an sl(2, F )-

subspace, the characteristic polynomial of H|W divides the characteristic poly-
nomial of H. The characteristic polynomial of H splits over F with distinct
roots. It follows that the characteristic polynomial of H|W also splits over F
28 CHAPTER 4. SOME REPRESENTATION THEORY

with distinct roots. In particular, H|W has an eigenvector. This implies that
for some k ∈ {0, . . . , d} we have pk ∈ W . By applying powers of E and F we
find that all the vectors v0 , . . . , vd are contained in W . Hence, W = Vd and Vd
is irreducible.
Lemma 4.3.5. Let V be a representation of sl(2, F ). Assume that v is an
eigenvector for h with eigenvalue λ ∈ F . Either ev = 0, or ev is non-zero and
ev is an eigenvector for h such that

h(ev) = (λ + 2)ev.

Similarly, either f v = 0, or f v is non-zero and ev is an eigenvector for h such

that
h(f v) = (λ − 2)f v.
Proof. Assume that ev is non-zero. We have

h(ev) = (eh + [h, e])v

= (eh + 2e)v
= e(hv) + 2ev
= λev + 2ev
= (λ + 2)ev.

Assume that f v is non-zero. We have

h(f v) = (f h + [h, f ])v

= (f h − 2f )v
= f (hv) − 2f v
= λf v − 2f v
= (λ − 2)f v.

This completes the proof.

Lemma 4.3.6. Assume that F has characteristic zero and is algebraically
closed. Let V be a finite-dimensional representation of sl(2, F ). Then there
exists an eigenvector v ∈ V for h such that ev = 0.
Proof. Since F is algebraically closed, h has an eigenvector u with eigenvalue
λ. Consider the sequence of eigenvectors

u, eu, e2 u, ....

By Lemma 4.3.5, because the numbers λ, λ + 2, λ + 4, . . . are mutually distinct,

if infinitely many of these vectors are non-zero, then V is infinite-dimensional.
Since V is finite-dimensional, all but finitely many of these vectors are non-
zero. In particular, there exists a non-negative integer k such that ek u 6= 0 but
ek+1 u = 0. Set v = ek u. Then v 6= 0, and by Lemma 4.3.5, v is an eigenvector
for h and ev = 0.
4.3. REPRESENTATIONS OF SL(2) 29

Theorem 4.3.7. Assume that F has characteristic zero and is algebraically

closed. Let V be a finite-dimensional irreducible representation of sl(2, F ). Then
V is isomorphic to Vd where dim V = d + 1.

Proof. Since V is irreducible, we have dim V > 0 by definition. By Lemma 4.3.6,

there exists an eigenvector v ∈ V for h with eigenvalue λ such that Ev = 0.
Consider the sequence of vectors

v, f v, f 2 v, ....

By Lemma 4.3.5, because the numbers λ, λ − 2, λ − 4, . . . are mutually distinct,

if infinitely many of these vectors are non-zero, then V is infinite-dimensional.
Since V is finite-dimensional, all but finitely many of these vectors are non-
zero. In particular, there exists a non-negative integer d such that f d v 6= 0 but
f d+1 v = 0. We claim that the F -subspace W spanned by the vectors

v, f v, f 2 v, ..., f dv

is an sl(2, F )-subspace. Since f d+1 v = 0 it follows that W is invariant under

f . The subspace W is invariant under h by Lemma 4.3.5. To complete the
argument that W is invariant under sl(2, F ) it will suffice to prove that W
is invariant under e. We will prove that e(f j v) ∈ W by induction on j for
j ∈ {0, . . . , d}. We have ev = 0 ∈ W . If d = 0, then we are done; assume
that d > 0. Assume that j is a positive integer such that 1 ≤ j < d, and that
ev, e(f v), . . . , e(f j−1 v) ∈ W ; we will prove that e(f j v) ∈ W . We have

e(f j v) = ef (f j−1 v)
= (f e + [e, f ])(f j−1 v)
= (f e + h)(f j−1 v)
= f e(f j−1 v) + h(f j−1 v).

The vector f e(f j−1 v) is in W by the induction hypothesis, and the vector
h(f j−1 v) is in W because W is invariant under h. This proves our claim by
induction, so that W is an sl(2, F )-subspace of V . Since V is irreducible and W is
non-zero, we obtain V = W . In particular, we see that dim V = dim W = d + 1.
Next, we will prove that λ = d. To prove this, consider the matrix of h with
respect to the basis
v, f v, f 2 v, . . . , f d v
of V = W . The matrix of h with respect to this basis is:
 
λ

 λ−2 


 λ − 4 .


 . .. 

λ − 2d
30 CHAPTER 4. SOME REPRESENTATION THEORY

It follows that

trace(h) = (d + 1)λ − 2(1 + 2 + · · · + d)

= (d + 1)λ − d(d + 1)
= (d + 1)(λ − d).

On the other hand,

trace(h) = trace([e, f ])
= trace(ef − f e)
= trace(ef ) − trace(f e)
= trace(ef ) − trace(ef )
= 0.

Since F has characteristic zero we conclude that λ = d.

Now we define an F -linear map T : V → Vd by setting

T (f k v) = F k X d

for k ∈ {0, . . . , d}. This map is evidently an isomorphism. To complete the proof
we need to prove that T is an sl(2, F )-map. First we prove that T (f w) = F T (w)
for w ∈ V . To prove this it suffices to prove that this holds for w = f k v for
k ∈ {0, . . . , d}. If k ∈ {0, . . . , d − 1}, then

T (f (f k v)) = T (f k+1 v)
= F k+1 X d
= F T (f k v).

If k = d, then

T (f (f d v)) = T (0)
=0
= F d+1 X d
= F T (f d v).

Next we prove that T (hw) = HT (w) for w ∈ V . Again, it suffices to prove that
this holds for w = f k v for k ∈ {0, . . . , d}. Let k ∈ {0, . . . , d}. Then

T (h(f k v)) = T ((d − 2k)(f k v))

= (d − 2k)T (f k v)
= (d − 2k)F k X d
= H(f k X d )
= H(T (f k v)).
4.3. REPRESENTATIONS OF SL(2) 31

Finally, we need to prove that T (ew) = ET (w) for w = f k v for k ∈ {0, . . . , d}.
We will prove this by induction on k. If k = 0, this clear because T (ef 0 v) =
T (0) = 0 = EX d = ET (f 0 v). Assume that k ∈ {1, . . . , d} and T (e(f j v)) =
ET (f j v) for j ∈ {0, . . . , k − 1}; we will prove that T (e(f k v)) = ET (f k v). Now

T (e(f k v)) = T (ef f k−1 v)

= T ((f e + [e, f ])f k−1 v)
= T (f ef k−1 v) + T (hf k−1 v)
= F T (ef k−1 v) + HT (f k−1 v)
= F ET (f k−1 v) + HT (f k−1 v)
= (F E + H)T (f k−1 v)
= EF T (f k−1 v)
= ET (f k v).

By induction, this completes the proof.

32 CHAPTER 4. SOME REPRESENTATION THEORY
Chapter 5

Cartan’s criteria

5.1 The Jordan-Chevalley decomposition

Theorem 5.1.1. (Jordan-Chevalley decomposition) Assume that F has charac-
teristic zero and is algebraically closed. Let V be a finite-dimensional F -vector
space. Let x ∈ gl(V ). There exist unique elements xs , xn ∈ gl(V ) such that
x = xs + xn , xs is semi-simple (i.e., diagonalizable), xn is nilpotent, and xs and
xn commute. Moreover, there exist polynomials sx (X), nx (X) ∈ F [X] such that
sx (X) and nx (X) do not have constant terms and xs = sx (x) and n = nx (x).
Lemma 5.1.2. Assume that F has characteristic zero and is algebraically
closed. Let V be a finite-dimensional F -vector space. Let x, y ∈ gl(V ).
1. If x and y commute, then x, y, xs , xn , ys , and yn pairwise commute.
2. If x and y commute, then (x + y)s = xs + ys and (x + y)n = xn + yn .
Proof. Proof of 1. Assume that x and y commute. We have

xys = xsy (y)

= sy (y)x
= ys x.

Similarly, x commutes with yn , y commutes with xs , and y commutes with xn .

Also, we now have

xs ys = xs sy (y)
= sy (y)xs
= ys xs .

Similarly, xs commutes with yn , xn commutes with ys , and xn commutes with

yn .
Proof of 2. Assume that x and y commute. Evidently, x + y = (xs +
ys ) + (xn + yn ). Since xs and ys commute, xs and ys can be simultaneously

33
34 CHAPTER 5. CARTAN’S CRITERIA

diagonalized; this implies that xs + ys is semi-simple. Similarly, since xn and yn

commute and are nilpotent, xn + yn is also nilpotent. Since xs + xn and ys + yn
commute, by uniqueness we have (x + y)s = xs + ys and (x + y)n = xn + yn .

Lemma 5.1.3. Assume that F has characteristic zero and is algebraically

closed. Let V be a finite-dimensional F -vector space. Let x ∈ gl(V ), and con-
sider ad(x) : gl(V ) → gl(V ). We have ad(x)s = ad(xs ) and ad(x)n = ad(xn ).

Proof. Because x = xs + xn , we have ad(x) = ad(xs ) + ad(xn ). To complete

the proof we need to show that ad(xs ) is simi-simple, ad(xn ) is nilpotent, and
ad(xs ) and ad(xn ) commute. By Lemma 3.3.1 the operator ad(xn ) is nilpotent.
To see that ad(xs ) is diagonalizable, let v1 , . . . , vn be an ordered basis for V such
that xs is diagonal in this basis. Let λ1 , . . . , λn ∈ F be such that xs (vi ) = λi vi
for i ∈ {1, . . . , n}. For i, j ∈ {1, . . . , n} let eij ∈ gl(V ) be the standard basis for
gl(V ) with respect to the basis v1 , . . . , vn , so that the matrix of eij has i, j-th
entry 1 and all other entries 0. Let i, j ∈ {1, . . . , n}. We have

ad(xs )(eij ) = [xs , eij ]

= xs eij − eij xs
= λi eij − λj eij
= (λi − λj )eij .

It follows that ad(xs ) is diagonalizable. To see that ad(xs ) and ad(xn ) commute,
let y ∈ gl(V ). Then



ad(xs )ad(xn ) (y) = ad(xs ) ad(xn )(y)


= ad(xs ) [xn , y]
= [xs , [xn , y]]
= [xs , xn y − yxn ]
= xs (xn y − yxn ) − (xn y − yxn )xs
= xs xn y − xs yxn − xn yxs + yxn xs
= xn xs y − xs yxn − xn yxs + yxs xn
= xn (xs y − yxs ) − (xs y − yxs )xn
= [xn , xs y − yxs ]
= [xn , [xs , y]]


= ad(xn )ad(xs ) (y).

It follows that ad(xs ) and ad(xn ) commute.

5.2 Cartan’s first criterion: solvability

Lemma 5.2.1. Assume that F has characteristic zero and is algebraically
closed. Let V be a finite-dimensional F -vector space. Let A and B be F -vector
5.2. CARTAN’S FIRST CRITERION: SOLVABILITY 35

subspaces of gl(V ) such that A ⊂ B. Define

M = {x ∈ gl(V ) : [x, B] ⊂ A} = {x ∈ gl(V ) : ad(x)(B) ⊂ A}.

Let x ∈ M . If tr(xy) = 0 for all y ∈ M , then x is nilpotent.

Proof. Assume that x ∈ M and tr(xy) = 0 for all y ∈ M . Set s = xs and

n = xn . We need to prove that s = 0. Since s is diagonalizable, there exists an
ordered basis v1 , . . . , vn such that the matrix of s with respect to this basis is
diagonal, i.e., there exist λ1 , . . . , λn ∈ F such that the matrix of s in this basis
is:  
λ1
 .. .

 .
λn
We need to prove that this matrix is zero. Since F has characteristic zero, F
contains Q. Let W be the Q-vector subspace of F spanned by λ1 , . . . , λn , so
that
W = Qλ1 + · · · + Qλn .
We need to prove that W = 0. To prove this we will prove that every Q linear
functional on W is zero.
Let f : W → Q be a Q linear map. To prove that f = 0 it will suffice to
prove that f (λ1 ) = · · · = f (λn ) = 0. Define y ∈ gl(V ) to be the element with
matrix  
f (λ1 )
 .. 
 . 
f (λn )
with respect to the ordered basis v1 , . . . , vn . Let Eij , i, j ∈ {1, . . . , n} be the
standard basis for gl(V ) with respect to the ordered basis v1 , . . . , vn for V .
Calculations show that


ad(s) Eij = (λi − λj )Eij ,


ad(y) Eij = (f (λi ) − f (λj ))Eij = f (λi − λj )Eij

for i, j ∈ {1, . . . , n}. Consider the set

{(λi − λj , f (λi − λj )) : i, j ∈ {1, . . . , n}} ∪ (0, 0).

Let r(X) ∈ F [X] be the Langrange interpolation polynomial for this set. Then
r(X) does not have a contant term because r(0) = 0. Also,

r(λi − λj ) = f (λi − λj )

for i, j ∈ {1, . . . , n}. It follows that

r(ad(s)) = ad(y).
36 CHAPTER 5. CARTAN’S CRITERIA

By Lemma 5.1.3 we have ad(s) = ad(x)s . Hence, by Theorem 5.1.1, there exists
a polynomial p(X) ∈ F [X] with no constant term such that

ad(s) = p(ad(x)).

We now have
ad(y) = p(r(ad(x)).
Now, because x ∈ M , we have ad(x)(B) ⊂ A. We claim that this implies that
ad(x)k (B) ⊂ A for all positive integers k. We prove this claim by induction on
k. The claim holds for k = 1. Assume it holds for k. Then

ad(x)k+1 (B) = ad(x)(ad(x)k (B))

⊂ ad(x)(A)
⊂ ad(x)(B)
⊂ A.

This proves the claim. Since ad(y) is a polynomial in ad(x) with constant term
we conclude that ad(y)(B) ⊂ A. This implies that y ∈ M , by definition. By
our assumption on x we have tr(xy) = 0. This means that:

0 = tr(xy) = f (λ1 )λ1 + · · · + f (λn )λn .

Applying f to this equation, we get, because f (λ1 ), . . . , f (λn ) ∈ Q,

0 = f f (λ1 )λ1 + · · · + f (λn )λn
= f (λ1 )2 + · · · + f (λn )2 .

Since f (λ1 ), . . . , f (λn ) ∈ Q we obtain f (λ1 ) = · · · = f (λn ) = 0. This implies

that f = 0, as desired.
Lemma 5.2.2. Let L be a Lie algebra over F . Let K be an extension of F .
Define LK = K ⊗F L. Then LK is a K-vector space. There exists a unique
K-bilinear form
[·, ·] : LK × LK → LK
such that
[a ⊗ x, b ⊗ y] = ab ⊗ [x, y]
for a, b ∈ K and x, y ∈ L. With [·, ·], LK is a Lie algebra over K. The F -Lie
algebra L is solvable if and only if the K-Lie algebra LK is solvable. The F -Lie
algebra L is nilpotent if and only if the K-Lie algebra LK is nilpotent.
Proof. It is clear that the K-bilinear form mentioned in the statement of the
lemma is unique if it exists. To prove existence, we note first that the abelian
group HomK (LK , LK ) is naturally an K-vector space. For each (a, x) ∈ K × L,
let T(a,x) : LK → LK be the K-linear map such that T(a,x) (b ⊗ y) = ab ⊗ [x, y]
for b ∈ K and y ∈ L. The map T(a,x) is exists because the function K ×L → LK
defined by (b, y) 7→ ab ⊗ [x, y] for b ∈ K and y ∈ L is F -bilinear; a calculation
5.2. CARTAN’S FIRST CRITERION: SOLVABILITY 37

shows that it is K-linear. The map K × L → HomK (LK , LK ) defined by

(a, x) 7→ T(a,x) for a ∈ K and x ∈ L is an F -bilinear map. It follows that
there exists a unique F -linear map B : LK = K ⊗F L → HomF (LK , LK )
sending a ⊗ x to T(a,x) for a ∈ K and x ∈ L. Now define LK × LK → LK by
(z1 , z2 ) 7→ B(z1 )(z2 ). Let a, b ∈ K and x, y ∈ L. Then

B(a ⊗ x)(b ⊗ y) = T(a,x) (b ⊗ y)

= ab ⊗ [x, y].

It is easy to verify that the map LK × LK → LK is K-bilinear. It follows that

the desired K-bilinear form exists.
Next, a calculation shows that [·, ·] : LK × LK → LK is a Lie bracket, so
that LK is a Lie algebra over K with this Lie bracket.
Let k be a non-negative integer. We will prove by induction on k that
(k)
K ⊗F L(k) = LK . This is clear if k = 0. Assume it holds for k. We have

K ⊗F L(k+1) = K ⊗F [L(k) , L(k) ]

= [K ⊗F L(k) , K ⊗F L(k) ]
(k) (k)
= [LK , LK ]
(k+1)
= LK .

This completes the proof by induction. It follows that L(k) = 0 if and only if
(k)
LK = 0. Hence, L is solvable if and only if LK is solvable.
Similarly, L is nilpotent if and only if LK is nilpotent.

Lemma 5.2.3. Assume that F has characteristic zero. Let V be a finite-

dimensional F -vector space. Let L be a Lie subalgebra of gl(V ). If tr(xy) = 0
for all x ∈ L0 and y ∈ L, then L is solvable.

Proof. Assume that tr(xy) = 0 for all x ∈ L0 and y ∈ L. We need to prove that
L is solvable.
We will first prove that we may assume that F is algebraically closed. Let
K = F̄ , the algebraic closure of F . Define VK = K ⊗F V . Then VK is a
K-vector space, and dimK VK = dimF V . There is a natural inclusion

K ⊗ HomF (V, V ) ,→ HomK (VK , VK )

of K-algebras. As both of these K-algebras have the same dimension over K,

this map is an isomorphism. Moreover, the diagram
∼
K ⊗F HomF (V, V ) −−−−→ HomK (VK , VK )
 
 
id⊗try try

id
K −−−−→ K
∼
38 CHAPTER 5. CARTAN’S CRITERIA

commutes. Define LK = K ⊗F L; by Lemma 5.2.2, LK is a Lie algebra over K

with Lie bracket as defined in this lemma. Also, by this lemma, to prove that
L is solvable it will suffice to prove that LK is solvable. In addition, the proof
of Lemma 5.2.2 shows that L0K = K ⊗F L = K ⊗F L0 . Let a, b ∈ K, x ∈ L0 and
y ∈ L. Then by the commutativity of the diagram,

tr((a ⊗ x)(b ⊗ y)) = tr(ab ⊗ xy)

= ab ⊗ tr(xy)
= 0.

It follows that tr(wz) = 0 for all w ∈ L0K and z ∈ LK . Consequently, we may

assume that F is algebraically closed.
We have the following sequence of ideals of L:

0 ⊂ L0 ⊂ L.

The quotient L/L0 is abelian. Thus, by Proposition 2.1.4, to prove that L is

solvable it will suffice to prove that L0 is solvable; and to prove that L0 is solvable,
it will suffice to prove that L0 is nilpotent. By Engel’s Theorem, Theorem 3.1.1,
to prove that L0 is nilpotent it will suffice to prove that every element of L0 is
a nilpotent linear transformation (because any subalgebra of gl(n, F ) consisting
of strictly upper triangular matrices is nilpotent). Let x ∈ L0 . Define A = L0
and B = L. Evidently, A ⊂ B ⊂ gl(V ). If M is as in the statement of Lemma
5.2.1, then we have
M = {x ∈ gl(V ) : [x, L] ⊂ L0 }.
Evidently, L ⊂ M ; in particular, x ∈ M . Let y ∈ M . We claim that tr(xy) = 0.
Since x ∈ L0 , there exist a positive integer m and xi , zi ∈ L for i ∈ {1, . . . , m}
such that
x = [x1 , z1 ] + · · · + [xm , zm ].
Now
m
X
tr(xy) = tr([xi , zi ]y)
i=1
Xm
= tr((xi zi − zi xi )y)
i=1
Xm


= tr(xi zi y) − tr(zi xi y))
i=1
m
X

= tr(xi zi y) − tr(xi yzi ))
i=1
m
X
= tr(xi [zi , y])
i=1
5.2. CARTAN’S FIRST CRITERION: SOLVABILITY 39

m
X
=− tr([y, zi ]xi ).
i=1

If i ∈ {1, . . . , m}, then since y ∈ M , we have [y, zi ] ∈ L0 . By our assumption

we now have tr([y, zi ]xi ) = 0 for i ∈ {1, . . . , m}. This implies that tr(xy) = 0,
proving our claim. From Lemma 5.2.1 we now conclude that x is nilpotent.
Theorem 5.2.4 (Cartan’s First Criterion). Assume that F has characteristic
zero. Let L be a finite-dimensional Lie algebra over F . The Lie algebra L is
solvable if and only if tr(ad(x)ad(y)) = 0 for all x ∈ L0 and y ∈ L.
Proof. Assume that L is solvable; we need to prove that tr(ad(x)ad(y)) = 0
for all x ∈ L0 and y ∈ L. We will first prove that we may assume that F is
algebraically closed. Let K = F̄ be the algebraic closure of F . Define LK =
K ⊗F L. Then LK is a Lie algebra over K, with Lie bracket as defined in
Lemma 5.2.2. Moreover, by Lemma 5.2.2 and its proof, we also have that LK
is solvable, and that L0K = K ⊗F L0 . The natural inclusion

K ⊗ gl(L) ,→ gl(LK )

is an isomorphism of K-algebras. Let a, b, c ∈ K and x, y, z ∈ L. Then

ab ⊗ ad(x)ad(y) (c ⊗ z) = abc ⊗ ad(x)ad(y) (z)
= abc ⊗ ad(x)(ad(y)z))
= abc ⊗ ad(x)([y, z])
= abc ⊗ [x, [y, z]].

And



ad(a ⊗ x)ad(b ⊗ y) (c ⊗ z) = ad(a ⊗ x) ad(b ⊗ y)(c ⊗ z)


= ad(a ⊗ x) [b ⊗ y, c ⊗ z]
= [a ⊗ x, [b ⊗ y, c ⊗ z]]
= [a ⊗ x, bc ⊗ [y, z]]
= abc ⊗ [x, [y, z]].

It follows that
ab ⊗ ad(x)ad(y) = ad(a ⊗ x)ad(b ⊗ y).
The diagram
∼
K ⊗ gl(L) −−−−→ gl(LK )
 
 
id⊗try try

id
K −−−−→ K
commutes. Hence, we obtain


ab · tr(ad(x)ad(y)) = tr ad(a ⊗ x)ad(b ⊗ y) .
40 CHAPTER 5. CARTAN’S CRITERIA

It follows that if tr(ad(w)ad(z)) = 0 for all w ∈ L0K and z ∈ LK , then

tr(ad(x)ad(y)) = 0 for all x ∈ L0 and y ∈ L. Thus, we may assume that F
is algebraically closed.
Next, by Lemma 2.1.5, the Lie algebra ad(L) ⊂ gl(L) is solvable. By Lie’s
Theorem, Theorem 3.1.2, there exists a basis for L so that in this basis all the
elements of ad(L) are upper triangular; fix such a basis for L, and write the
elements of gl(L) as matrices with respect to this basis. Let x1 , x2 ∈ L. Then

ad([x1 , x2 ]) = [ad(x1 ), ad(x2 )].

Since ad(x1 ) and ad(x2 ) are upper triangular, a calculation shows that the up-
per triangular matrix [ad(x1 ), ad(x2 )] is strictly upper triangular. This implies
that all the elements of ad(L0 ) are strictly upper triangular matrices. Another
calculation now shows that ad(x)ad(y) is strictly upper triangular for x ∈ L0
and y ∈ L; therefore, tr(ad(x)ad(y)) = 0 for x ∈ L0 and y ∈ L.
Now assume that tr(ad(x)ad(y)) = 0 for x ∈ L0 and y ∈ L. Consider ad(L).
By Lemma 2.1.5, ad(L0 ) = ad(L)0 . Therefore, our hypothesis and Lemma 5.2.3
imply that ad(L) is solvable. Now ad(L) ∼ = L/Z(L) as Lie algebras. Hence,
L/Z(L) is solvable. Since Z(L) is solvable, we conclude from Lemma 2.1.7 that
L is solvable.

5.3 Cartan’s second criterion: semi-simplicity

Let L be a finite-dimensional Lie algebra over F . Define

κ : L × L −→ F

by
κ(x, y) = tr(ad(x)ad(y))
for x, y ∈ L. We refer to κ as the Killing form on L.

Proposition 5.3.1. Let L be a finite-dimensional Lie algebra over F . The

Killing form on L is a symmetric bilinear form. Moreover, we have

κ([x, y], z) = κ(x, [y, z])

for x, y, z ∈ L.

Proof. The linearity of ad and tr imply that kappa is bilinear. The Killing form
is symmetric because in general tr(AB) = tr(BA) for A and B linear operators
on a finite-dimensional vector space. Finally, let x, y, z ∈ L. Then

κ([x, y], z) = tr(ad([x, y])ad(z))

= tr([ad(x), ad(y)]ad(z))
= tr(ad(x)ad(y)ad(z)) − tr(ad(y)ad(x)ad(z))
= tr(ad(x)ad(y)ad(z)) − tr(ad(x)ad(z)ad(y))
5.3. CARTAN’S SECOND CRITERION: SEMI-SIMPLICITY 41

= tr(ad(x)[ad(y), ad(z)])
= tr(ad(x)ad([y, z]))
= κ(x, [y, z]).

This completes the proof.

Lemma 5.3.2. Let L be a finite-dimensional Lie algebra over F . Let I be an

ideal of L. Consider I as a Lie algebra over F , and let κI be the Killing form
for I. We have κ(x, y) = κI (x, y) for x, y ∈ I.

Proof. Fix a F -vector space basis for I, and extend this to a basis for L. Let
x ∈ I. Then because I is an ideal, we have ad(x)L ⊂ I. It follows that the
matrix of ad(x) in our basis for L has the form
 
M (x) ∗
ad(x) =
0 0

where M (x) is the matrix of ad(x)|I in our chosen basis for I. Let y ∈ I. Then

κI (x, y) = tr(ad(x)|I ad(y)|I )

= tr(M (x)M (y))
  
M (x) ∗ M (y) ∗
= tr( )
0 0 0 0
= tr(ad(x)ad(y))
= κ(x, y).

This completes the proof.

Lemma 5.3.3. Let L be a finite-dimensional Lie algebra over F . Let I be an

ideal of L. Define
I ⊥ = {x ∈ L : κ(x, I) = 0}.
Then I ⊥ is an ideal of L.

Proof. It is evident that I ⊥ is an F -subspace of L. Let x ∈ L, y ∈ I ⊥ and z ∈ I.

Then
κ([x, y], z) = κ(x, [y, z]) = κ(x, 0) = 0.
It follows that [x, y] ∈ I ⊥ , as required.

Let V be an F -vector space and let b : V × V → F be a symmetric bilinear

form. We say that b is non-degenerate if, for all x ∈ V , if b(x, y) = 0 for all
y ∈ V , then x = 0. Let L be a finite-dimensional Lie algebra over F . Evidently,
L⊥ = 0 if and only if the Killing form on L is non-degenerate.

Theorem 5.3.4 (Cartan’s Second Criterion). Assume that F has characteristic

zero. Let L be a finite-dimensional Lie algebra over F . The Lie algebra L is
semi-simple if and only if the Killing form on L is non-degenerate.
42 CHAPTER 5. CARTAN’S CRITERIA

Proof. Assume that L is semi-simple. We need to prove that L⊥ = 0. Set I =

L⊥ . By the definition of I, we have κ(I, L) = 0. This implies that κ(I, I 0 ) = 0.
By Lemma 5.3.2 we get κI (I, I 0 ) = 0. By Theorem 5.2.4, Cartan’s first criterion,
the Lie algebra I is solvable. Since L is semi-simple by assumption, we must
have I = 0, as required.
Now assume that the Killing form on L is non-degenerate. Assume that L
is not semi-simple; we will obtain a contradiction. By definition, since L is not
semi-simple, L contains a non-zero solvable ideal I. Consider the sequence I (k)
for k = 0, 1, 2, . . . . Each element of the sequence is an ideal of L; also, since I is
solvable, there exists a non-negative integer such that I (k) 6= 0 and I (k+1) = 0.
Set A = I (k) . Then A is a non-zero ideal of L, and A is abelian. Let x ∈ L and
a ∈ A. Let y ∈ L. Then

(ad(a)ad(x)ad(a))(y) = (ad(a)(ad(x)ad(a))(y))
= [a, (ad(x)ad(a))(y)]
= [a, [x, ad(a)(y)]]
= [a, [x, [a, y]]].

Since A is an ideal of L we have [a, y] ∈ A, and hence also [x, [a, y]] ∈ A. Since A
is abelian, this implies that [a, [x, [a, y]]] = 0. It follows that ad(a)ad(x)ad(a) =
0 and thus (ad(x)ad(a))2 = 0. Since nilpotent operators have trivial traces, we
obtain tr(ad(a)ad(x)) = 0. Thus, κ(a, x) = 0. Because x ∈ L was arbitrary, we
have a ∈ L⊥ = 0. Thus, A = 0, a contradiction.

5.4 Simple Lie algebras

Lemma 5.4.1. Let V be a finite-dimensional F -vector space and let b be a
symmetric bilinear form on V . Let W be a subspace of V . Then

dim W + dim W ⊥ ≥ dim V.

If b is non-degenerate, then

dim W + dim W ⊥ = dim V.

Proof. Let V ∨ be the dual space of V , i.e., V ∨ = HomF (V, F ). Define

V −→ V ∨

by v 7→ λv , where λv is defined by λv (x) = b(x, v) for x ∈ V . Let V ∨ → W ∨ be

the restriction map, i.e., defined by λ 7→ λ|W for λ ∈ V ∨ . This restriction map
is surjective. Consider the composition
∼
V −→ V ∨ −→ W ∨ .

The kernel of this linear map is W ⊥ . It follows that dim V − dim W ⊥ ≤

dim W ∨ = dim W , i.e., dim V ≤ dim W + dim W ⊥ .
5.4. SIMPLE LIE ALGEBRAS 43

Assume that b is non-degenerate. Then the map V → V ∨ is injective; since

V and V ∨ have the same finite dimension, this map is an isomorphism. It follows
that the above composition is surjective. Hence dim W + dim W ⊥ = dim V .

Let L be a Lie algebra over F . Let L1 , . . . , Lt be Lie subalgebras of L. We

say that L is the direct sum of L1 , . . . , Lt if L = L1 ⊕ · · · ⊕ Lt as vector spaces
and
[x1 + · · · + xt , y1 + · · · + yt ] = [x1 , y1 ] + · · · + [xt , yt ]

for xi , yi ∈ Li , i ∈ {1, . . . , t}.

Lemma 5.4.2. Let L be a Lie algebra over F . Let I1 , . . . , It be ideals of L. If

L is the direct sum of I1 , . . . , It as vector spaces, then L is the direct sum of
I1 , . . . , It as Lie algebras.

Proof. Assume L is the direct sum of I1 , . . . , It as vector spaces. To prove that

L is the direct sum of I1 , . . . , It as Lie algebras, it will suffice to prove that
[x, y] = 0 for x ∈ Ii and y ∈ Ij for i, j ∈ {1, . . . , t}. Let i, j ∈ {1, . . . , t}, x ∈ Ii
and y ∈ Ij . Then [x, y] ∈ Ii ∩ Ij because Ii and Ij are ideals. Since Ii ∩ Ij = 0
we have [x, y] = 0.

Lemma 5.4.3. Assume that F has characteristic zero. Let L be a semi-simple

finite-dimensional Lie algebra over F . Let I be a non-zero proper ideal of L.
Then L = I ⊕ I ⊥ and I is a semi-simple Lie algebra over F .

Proof. By Lemma 5.4.1 and Lemma 5.4.2, to prove that L = I ⊕I ⊥ it will suffice
to prove that I ∩ I ⊥ = 0. Let J = I ∩ I ⊥ . Then J is an ideal of L. By Lemma
5.3.2, we have κJ (J, J) = 0. In particular, κJ (J, J 0 ) = 0. By Theorem 5.2.4,
Cartan’s first criterion, the Lie algebra J is solvable. Since L is semi-simple, we
get J = 0, as desired.
By Theorem 5.3.4, Cartan’s second criterion, to prove that I is semi-simple,
it will suffice to prove that if x ∈ I and κI (x, y) = 0 for all y ∈ I, then x = 0.
Assume that x ∈ I is such that κI (x, y) = 0 for all y ∈ I. By Lemma 5.3.2,
κ(x, y) = 0 for all y ∈ I. Let z ∈ L. By the first paragraph, we may write
z = z1 + z2 with z1 ∈ I and z2 ∈ I ⊥ . We have κ(x, z) = κ(x, z1 ) + κ(x, z2 ). Now
κ(x, z1 ) = 0 because z1 ∈ I and the assumption on x, and κ(x, z2 ) = 0 because
x ∈ I and z2 ∈ I ⊥ . It follows that κ(x, z) = 0. Since z ∈ L was arbitrary, we
obtain x ∈ L⊥ . By Theorem 5.3.4, Cartan’s second criterion, L⊥ = 0. Hence,
x = 0.

Let L be a Lie algebra over F . We say that L is simple if L is not abelian

and the only ideals of L are 0 and L. From the definition, we see that a simple
Lie algebra is non-zero.

Lemma 5.4.4. Let L be a Lie algebra over F . If L is simple, then L is semi-

simple.
44 CHAPTER 5. CARTAN’S CRITERIA

Proof. Assume that L is simple. Since L is simple we must have rad(L) = 0

or rad(L) = L. If rad(L) = 0, then L is semi-simple by definition. Assume
that rad(L) = L; we will obtain a contradiction. Then L is solvable. By the
definition of solvability, and since L 6= 0, there exists a non-negative integer k
such that L(k) 6= 0 and L(k+1) = 0. Since L(k) is a non-zero ideal of L we must
have L(k) = L. Since L(k) is abelian, L is abelian, a contradiction.

Let L be a Lie algebra over F . Let I be an F -subspace of L. We say that I

is a simple ideal of L if I is an ideal of L and I is simple as a Lie algebra over
F.

Theorem 5.4.5. Assume that F has characteristic zero. Let L be a finite-

dimensional Lie algebra over F . The Lie algebra L is semi-simple if and only
if there exist simple ideals I, . . . , It of L such that

I = I1 ⊕ · · · ⊕ It .

Proof. Via induction on dim L, we will prove the assertion that if L is semi-
simple, then there exist simple ideals of L as in the theorem. The assertion is
trivially true when dim L = 0, because in this case L cannot be semi-simple.
Assume that the assertion holds for all Lie algebras over F with dimension less
than dim L; we will prove the assertion for L. Assume that L is semi-simple.
Let I be an ideal of L with the smallest possible non-zero dimension. Assume
that dim I = dim L, i.e., I = L. Then certainly L has no ideals other than 0 and
L. Moreover, L is not abelian because rad(L) = 0. It follows that L is simple.
Assume that dim I < dim L. By Lemma 5.4.3 we have L = I ⊕I ⊥ , and I and I ⊥
are semi-simple Lie algebras over F with dim I < dim L and dim I ⊥ < dim L.
By induction, there exist simple ideals I1 , . . . , Ir of I and simple ideals J1 , . . . , Js
of I ⊥ such that

I = I1 ⊕ · · · ⊕ Ir and I ⊥ = J1 ⊕ · · · ⊕ Js .

We have
L = I1 ⊕ · · · ⊕ Ir ⊕ J1 ⊕ · · · ⊕ Js
as F -vector spaces. It is easy to check that I1 , . . . , Ir , J1 , . . . , Js are ideals of L.
The assertion follows now by induction.
Next, assume that there exist simple ideals of L as in the statement of the
theorem. Let x, y, z ∈ L. Write x = x1 + · · · + xt , y = y1 + · · · + yt , and
z = z1 + · · · + zt with xi , yi , zi ∈ Ii for i ∈ {1, . . . , t}. We have

(ad(x)ad(y))(z) = [x, [y, z]]

t X
X t X
t
= [xi , [yj , zk ]]
i=1 j=1 k=1
t
X
= [xi , [yi , zi ]]
i=1
5.5. JORDAN DECOMPOSITION 45

t
X
= (ad(xi )ad(yi ))(zi ).
i=1

It follows that
 
ad(x1 )ad(y1 )
ad(x)ad(y) = 
 .. .

.
ad(xt )ad(yt )

Hence, using Lemma 5.3.2,

t
X t
X
κ(x, y) = tr(ad(x)ad(y)) = tr(ad(xi )ad(yi )) = κIi (xi , yi ).
i=1 i=1

By Theorem 5.3.4, Cartan’s second criterion, to prove that L is semi-simple it

suffices to prove that L⊥ = 0. Let x ∈ L⊥ . Let i ∈ {1, . . . , t} and y ∈ Ii .
Write x = x1 + · · · + xt with xj ∈ Ij for j ∈ {1, . . . , t}. By the above general
calculation we have 0 = κ(x, y) = κIi (xi , yi ). Since Ii is semi-simple by Lemma
5.4.4, by Theorem 5.3.4, Cartan’s second criterion applied to Ii , we must have
xi = 0. It follows that x = 0.

5.5 Jordan decomposition

Let R be an F -algebra; we do not assume that R is associative. We recall
from Proposition 1.4.4 the Lie algebra Der(R) of derivations on R, i.e., the Lie
subalgebra of gl(R) consisting of the linear maps D : R → R such that

D(ab) = aD(b) + D(a)b

for a, b ∈ R.
Proposition 5.5.1. Let F be a field of characteristic zero. Let L be a semi-
simple finite-dimensional Lie algebra over F . Then the ad homomorphism is an
isomorphism of L onto Der(L):
∼
ad : L −→ Der(L).

Proof. By Proposition 1.4.4, the kernel of ad is Z(L). Since L is semi-simple, we

have Z(L) = 0, so that ad is injective. Set K = ad(L). Because ad is injective,
K is isomorphic to L, and is hence also semi-simple.
By Proposition 1.4.4 we have K ⊂ Der(L); we need to prove that K =
Der(L). We first prove that K is an ideal of Der(L). Let x ∈ K and D ∈ Der(L).
Let y ∈ L. Then



[D, ad(x)] (y) = Dad(x) − ad(x)D (y)


= D ad(x)(y) − ad(x) D(y))
46 CHAPTER 5. CARTAN’S CRITERIA

= D([x, y]) − [x, D(y)]

= [x, D(y)] + [D(x), y] − [x, D(y)]
= [D(x), y]


= ad D(x) (y).

This implies that

[D, ad(x)] = ad D(x) ,
so that [D, ad(x)] ∈ K. Next, using the Killing form on Der(L), define as usual

K ⊥ = {D ∈ Der(L) : κDer(L) (D, K) = 0}.

By Lemma 5.3.3, K ⊥ is also an ideal of Der(L). Let x ∈ K ∩ K ⊥ . Then

0 = κDer(L) (x, K) = κK (x, K),

where the last equality follows from Lemma 5.3.2. Since K is semi-simple we
must have x = 0 by Theorem 5.3.4, Cartan’s second criterion. Therefore, K ∩
K ⊥ = 0. Now since K and K ⊥ are both ideals of Der(L) we have [K, K ⊥ ] ⊂ K
and [K, K ⊥ ] ⊂ K ⊥ , so that [K, K ⊥ ] ⊂ K ∩ K ⊥ . Thus, [K, K ⊥ ] = 0. Let
D ∈ K ⊥
and x ∈ L. Then [D, ad(x)]

= 0. From above, we also have [D, ad(x)] =
ad D(x) . Therefore, ad D(x) = 0. Since ad is injective, we get D(x) = 0.
Since x ∈ L was arbitrary, we obtain D = 0. Thus, K ⊥ = 0. Now by Lemma
5.4.1 we have dim K + dim K ⊥ ≥ dim Der(L); therefore, dim K = dim Der(L)
so that K = Der(L).
We recall the following theorem from linear algebra.
Theorem 5.5.2 (Generalized eigenvalue decomposition). Assume that F has
characteristic zero and is algebraically closed. Let V be a finite-dimensional
vector space and let T ∈ gl(V ). If λ ∈ F , then define Vλ (T ) to be the subset of
v ∈ V such that there exists a non-negative integer such that (T − λ1V )k v = 0.
For λ ∈ F , Vλ (T ) is an F -subspace of V that is mapped to itself by T . We have
M
V = Vλ (T ).
λ∈F

Factor the characteristic polynomial of T as

(X − λ1 )n1 · · · (X − λt )nt

where the λi ∈ F are pairwise distinct for i ∈ {1, . . . , t}, and n1 , . . . , nt are
positive integers such that n1 + · · · + nt = dim V . Define E(T ) = {λ1 , . . . , λt },
the set of eigenvalues of T . For λ ∈ F we have Vλ (T ) 6= 0 if and only if
λ ∈ E(T ), and dim Vλi = ni for i ∈ {1, . . . , t}. Let T = s + n be the Jordan-
Chevalley decomposition of T , with s diagonalizable and n nilpotent. The set of
eigenvalues for T is the same as the set of eigenvalues for s, and Vλ (s) = Vλ (T )
for λ ∈ E(T ) = E(s). Moreover, for every λ ∈ E(T ) = E(s), Vλ (s) is the usual
λ-eigenspace for s.
5.5. JORDAN DECOMPOSITION 47

Lemma 5.5.3. Let L be a Lie algebra over F . Let D ∈ Der(L). Let n be a

non-negative integer. Let λ, µ ∈ F and x, y ∈ L. Then
n  

n X n 
(D − λ1L )k x, (D − µ1L )n−k y .

D − (λ + µ)1L ([x, y]) =
k
k=0

Proof. We prove this by induction on n. The claim holds if n = 0. Assume it

holds for n for all x, y ∈ L; we will prove that it holds for n + 1 for all x, y ∈ L.
Now

(D − (λ + µ)1L )n+1 [x, y]

= (D − (λ + µ)1L )n (D − (λ + µ)1L )[x, y]

= (D − (λ + µ)1L )n D[x, y] − (λ + µ)[x, y]

= (D − (λ + µ)1L )n [Dx, y] + [x, Dy] − (λ + µ)[x, y]

= (D − (λ + µ)1L )n [(D − λ1L )x, y] + [x, (D − µ1L )y]

n  
X n 
(D − λ1L )k+1 x, (D − µ1L )n−k y

=
k
k=0
n
X n 
(D − λ1L )k x, (D − µ1L )n−k+1 y

+
k
k=0
n  
X n 
(D − λ1L )k+1 x, (D − µ1L )n+1−(k+1) y

=
k
k=0
n  
X n 
(D − λ1L )k x, (D − µ1L )n+1−k y

+
k
k=0
n+1
X 
n
(D − λ1L )k x, (D − µ1L )n+1−k y
 
=
k−1
k=1
n  
X n 
(D − λ1L )k x, (D − µ1L )n+1−k y

+
k
k=0
n    
X n n 
) (D − λ1L )k x, (D − µ1L )n+1−k y

= ( +
k−1 k
k=1
+ (D − λ1L )n+1 x, (D − µ1L )0 y + (D − λ1L )0 x, (D − µ1L )n+1 y
   

n+1
X n + 1 
(D − λ1L )k x, (D − µ1L )n+1−k y .

=
k
k=0

This completes the proof.

Lemma 5.5.4. Assume that F has characteristic zero and is algebraically
closed. Let L be a finite-dimensional Lie algebra over F . Let D ∈ Der(L),
and let D = S + N be the Jordan-Chevalley decomposition of D, with S ∈ gl(L)
diagonalizable and N ∈ gl(L) nilpotent. Then S and N are contained in Der(L).
48 CHAPTER 5. CARTAN’S CRITERIA

Proof. Using the notation of Theorem 5.5.2, we have

M
L= Lλ (D).
λ∈F

Let λ, µ ∈ F . We will first prove that

[Lλ (D), Lµ (D)] ⊂ Lλ+µ (D).

To prove this, let x ∈ Lλ (D) and y ∈ Lµ (D). Let n be a positive even integer
such that (D − λ1L )n/2 x = 0 and (D − µ1L )n/2 y = 0. By Lemma 5.5.3 we have
n  

n X n 
(D − λ1L )k x, (D − µ1L )n−k y .

D − (λ + µ)1L ([x, y]) =
k
k=0

If k ∈ {0, . . . , n}, then k ≥ n/2 or n − k ≥ n/2. It follows that

n
D − (λ + µ)1L ([x, y]) = 0

so that [x, y] ∈ Lλ+µ (D).

Now we prove that s is a derivation. We need to prove that S([x, y]) =
[S(x), y] + [x, S(y)] for x, y ∈ L. By linearity, it suffices to prove this for every
x ∈ Lλ (D) and y ∈ Lµ (D) for all λ, µ ∈ F . Let λ, µ ∈ F and x ∈ Lλ (D) and
y ∈ Lµ (D). From Theorem 5.5.2, Lλ (s) = Lλ (D), Lµ (D) = Lµ (S), Lλ+µ (D) =
Lλ+µ (S) and on these three F -subspaces of L the operator σ acts by λ, µ, and
λ + µ, respectively. We have [x, y] ∈ Lλ+µ (D) = Lλ+µ (S). Hence,

S([x, y]) = (λ + µ)[x, y]

= [λx, y] + [x, µy]
= [S(x), y] + [x, S(y)].

It follows that S is a derivation. Since N = D − S, N is also a derivation.

Theorem 5.5.5. Let F have characteristic zero and be algebraically closed.

Let L be a semi-simple finite-dimensional Lie algebra over F . Let x ∈ L. Then
there exist unique elements s, n ∈ L such that x = s + n, ad(s) is diagonalizable,
ad(n) is nilpotent, and [s, n] = 0. Moreover, if y ∈ L is such that [x, y] = 0,
then [s, y] = [n, y] = 0.

Proof. First we prove the existence of s and n. By Proposition 1.5.1 we have

ad(x) ∈ Der(L). Let ad(x) = S + N be the Jordan-Chevalley decomposition of
ad(x) with S diagonalizable and N nilpotent. By Lemma 5.5.4, S and N are
derivations. By Proposition 5.5.1, since L is semi-simple, there exist s, n ∈ L
such that ad(s) = S and ad(n) = N . We have ad(x) = ad(s + n). Since L is
semi-simple, ad is injective; hence, x = s + n. Also, ad([s, n]) = [ad(s), ad(n)] =
[S, N ] = 0 because the operators S and N commute. Since ad is injective, we
get [s, n] = 0. This proves the existence of s and n.
5.5. JORDAN DECOMPOSITION 49

To prove uniqueness, assume that s0 , n0 ∈ L are such that x = s0 + n0 , ad(s0 )

is diagonalizable, ad(n0 ) is nilpotent, and [s0 , n0 ] = 0. Set S 0 = ad(s0 ) and
N 0 = ad(n0 ). Then ad(x) = S 0 + N 0 , S 0 is diagonalizable, N 0 is nilpotent, and
S 0 and N 0 commute. By the uniqueness of the Jordan-Chevalley decomposition
for ad(x) we get ad(s) = S = S 0 = ad(s0 ) and ad(n) = N = N 0 = ad(n0 ). Since
ad is injective, s = s0 and n = n0 .
Finally, assume that y ∈ L is such that [x, y] = 0. Then [ad(x), ad(y)] = 0,
i.e., ad(y) commutes with ad(x). By Theorem 5.1.1, there exists a polynomial
P (X) ∈ F [X] such that S = P (ad(x)). Since ad(y) commutes with ad(x), we
get ad(y)P (ad(x)) = P (ad(x))ad(y). Hence, ad(y) commutes with S. Thus,
0 = [S, ad(y)] = [ad(s), ad(y)] = ad([s, y]). By the injectivity of ad, we obtain
[s, y] = 0. Similarly, [n, y] = 0.
We refer to the decomposition x = s+n from Theorem 5.5.5 as the abstract
Jordan decomposition of x. We refer to s as the semi-simple component
of x, and n as the nilpotent component of x.
50 CHAPTER 5. CARTAN’S CRITERIA
Chapter 6

Weyl’s theorem

6.1 The Casmir operator

Let L be a Lie algebra over F , let V be a finite-dimensional F -vector space, and
let ϕ : L → gl(V ) be a representation. Define
βV : L × L −→ F
by
βV (x, y) = tr(ϕ(x)ϕ(y))
for x, y ∈ L.
Lemma 6.1.1. Assume that F has characteristic zero. Let L be a semi-simple
finite-dimensional Lie algebra over F , let V be a finite-dimensional F -vector
space, and let ϕ : L → gl(V ) be a faithful representation. Then βV is an
associative and non-degenerate symmetric bilinear form on L.
Proof. It is clear that βV is a symmetric bilinear form. To see that βV is
associative, let x, y, z ∈ L. Then
βV ([x, y], z) = tr(ϕ([x, y])ϕ(z))
= tr([ϕ(x), ϕ(y)]ϕ(z))
= tr(ϕ(x)ϕ(y)ϕ(z)) − tr(ϕ(y)ϕ(x)ϕ(z))
= tr(ϕ(x)ϕ(y)ϕ(z)) − tr(ϕ(x)ϕ(z)ϕ(y))
= tr(ϕ(x)[ϕ(y), ϕ(z)])
= tr(ϕ(x)ϕ([y, z]))
= βV (, x, [y, z]).
Next, let
I = {x ∈ L : βV (x, L) = 0}.
To prove that βV is non-degenerate it will suffice to prove that I = 0. We
claim that I is an ideal of L. Let x ∈ I and y, z ∈ L. Then βV ([x, y], z) =

51
52 CHAPTER 6. WEYL’S THEOREM

βV (x, [y, z]) = 0. This proves that [x, y] ∈ I, so that I is an ideal of L. Since L
is semi-simple, to prove that I = 0 it will now suffice to prove that I is solvable.
Consider J = ϕ(I). Since ϕ is faithful, I ∼ = J; thus, it suffices to prove that J
is solvable. Now by the definition of I we have tr(xy) = 0 for all x ∈ J and
y ∈ ϕ(L); in particular, we have tr(xy) = 0 for all x, y ∈ J. By Lemma 5.2.3,
the Lie algebra J is solvable.
Let the notation be as in the statement of Lemma 6.1.1. Since the symmetric
bilinear form βV is non-degenerate, if x1 , . . . , xn is an ordered basis for L, then
there exists a unique ordered basis x01 , . . . , x0n for L such that

βV (xi , x0j ) = δij

for i, j ∈ {1, . . . , n}. We refer to x01 , . . . , x0n as the basis dual to x1 , . . . , xn with
respect to βV .
Lemma 6.1.2. Assume that F has characteristic zero. Let L be a semi-simple
finite-dimensional Lie algebra over F , let V be a finite-dimensional F -vector
space, and let ϕ : L → gl(V ) be a faithful representation. Let x1 , . . . , xn be an
ordered basis for L, with dual basis x01 , . . . , x0n defined with respect to βV . Define
n
X
C= ϕ(xi )ϕ(x0i ).
i=1

Then C ∈ gl(V ), the definition of C does not depend on the choice of ordered
basis for L, and Cϕ(x) = ϕ(x)C for x ∈ L. Moroever, tr(C) = dim L. We refer
to C as the Casmir operator for ϕ.
Proof. To show that the definition of C does not depend on the choice of basis,
let y1 , . . . , yn be another ordered basis for L. Let (mij ) ∈ GL(n, F ) be the
matrix such that
n
X
yi = mij xj
j=1

and let (nij ) ∈ GL(n, F ) be the matrix such that

n
X
xi = nij yj
j=1

for i ∈ {1, . . . , n}. We have

n
X n
X
δij = mil nlj , δij = nil mlj
l=1 l=1

for i, j ∈ {1, . . . , n}. We have, for i, j ∈ {1, . . . , n},

n
X n
X
βV (yi , nlj x0l ) = nlj βV (yi , x0l )
l=1 l=1
6.1. THE CASMIR OPERATOR 53

n
X n
X
= nlj βV ( mik xk , x0l )
l=1 k=1
n X
X n
= nlj mik βV (xk , x0l )
l=1 k=1
n X
X n
= nlj mik δkl
l=1 k=1
Xn X n
= nlj mil
l=1 k=1
= δij .

It follows that
n
X
yj0 = nlj x0l
l=1

for j ∈ {1, . . . , n}. Therefore,

n
X n X
X n X
n
ϕ(yi )ϕ(yi0 ) = mij nli ϕ(xj )
i=1 i=1 j=1 l=1
Xn X n X n
= ( mij nli )ϕ(xj )ϕ(x0l )
j=1 l=1 i=1
Xn X n
= δlj ϕ(xj )ϕ(x0l )
j=1 l=1
n
X
= ϕ(xl )ϕ(x0l ).
l=1

This proves that the definition of C does not depend on the choice of ordered
basis for L.
Next, let x ∈ L. We need to prove that Cϕ(x) = ϕ(x)C. Let (ajk ) ∈ M(n, F )
be such that
n
X
[xj , x] = ajk xk
k=1

for j ∈ {1, . . . , n}. We claim that

n
X
[x0j , x] = − akj x0k .
k=1

To see this, let i ∈ {1, . . . , n}. Then

n
X n
X
βV ([x0j , x] + akj x0k , xi ) = βV ([x0j , x], xi ) + akj βV (x0k , xi )
k=1 k=1
54 CHAPTER 6. WEYL’S THEOREM

= βV (x0j , [x, xi ]) + aij

X n
= βV (x0j , − ail xl ) + aij
l=1
n
X
=− ail βV (x0j , xl ) + aij
l=1
= −aij + aij
= 0.
Pn
Since βV is non-degenerate, we must have [x0j , x] = − k=1 akj x0k . We now
calculate:
Xn
Cϕ(x) − ϕ(x)C = ϕ(xj )ϕ(x0j )ϕ(x) − ϕ(x)ϕ(xj )ϕ(x0j )
j=1
n
X
= ϕ(xj )ϕ(x0j )ϕ(x) − ϕ(xj )ϕ(x)ϕ(x0j ) + ϕ(xj )ϕ(x)ϕ(x0j ) − ϕ(x)ϕ(xj )ϕ(x0j )
j=1
n
X
= ϕ(xj )[ϕ(x0j ), ϕ(x)] + [ϕ(xj ), ϕ(x)]ϕ(x0j )
j=1
n
X
= ϕ(xj )ϕ([x0j , x]) + ϕ([xj , x])ϕ(x0j )
j=1
n X
X n  
=− akj ϕ(xj )ϕ(x0k ) + ajk ϕ(xk )ϕ(x0j )
j=1 k=1
Xn X n n X
X n
=− akj ϕ(xj )ϕ(x0k ) + ajk ϕ(xk )ϕ(x0j )
j=1 k=1 j=1 k=1

= 0.
Finally, we have
Xn
tr(C) = tr( ϕ(xi )ϕ(x0i ))
i=1
n
X
= tr(ϕ(xi )ϕ(x0i ))
i=1
n
X
= βV (xi , x0i )
i=1
n
X
= 1
i=1
= dim L.
This completes the proof.
6.2. PROOF OF WEYL’S THEOREM 55

6.2 Proof of Weyl’s theorem

Lemma 6.2.1. Let L be a finite-dimensional semi-simple Lie algebra over F ,
and let I be an ideal of L. Then L/I is semi-simple.

Proof. By Lemma 5.4.3, I ⊥ is also a Lie algebra over F , I and I ⊥ are semi-
simple as Lie algebras over F , and L = I⊕I ⊥ as Lie algebras. We have L/I ∼
= I⊥
as Lie algebras; it follows that L/I is semi-simple.

Lemma 6.2.2. Let L be a finite-dimensional semi-simple Lie algebra over F .

Then L = L0 = [L, L].

Proof. By Theorem 5.4.5, there exist simple ideals I1 , . . . , It of L such that

L = I1 ⊕ · · · ⊕ It as Lie algebras. We have [L, L] = [I1 , I1 ] ⊕ · · · ⊕ [It , It ]. For
each i ∈ {1, . . . , t}, Ii is not abelian so that [Ii , Ii ] is non-zero; this implies that
[Ii , Ii ] = Ii . Hence, [L, L] = L.

Lemma 6.2.3. Let L be a Lie algebra over F , and let V and W be L-modules.
Let
M = Hom(V, W )
be the F -vector space of all F -linear maps from V to W . For x ∈ L and T ∈ M
define x · T : V → W by

(x · T )(v) = x · T (v) − T (x · v)

for v ∈ V . With this definition, M is an L-module. Moreover, the following

statements hold:

1. The F -subspace of T ∈ M such that x·T = 0 for all x ∈ L is HomL (V, W ),

the F -vector space of all L-maps from V to W .

2. If W is an L-submodule of V , then the F -subspaces

M1 = {T ∈ Hom(V, W ) : f |W is a constant}

and
M0 = {T ∈ Hom(V, W ) : f |W = 0}
are L subspaces of M with M0 ⊂ M1 and the action of L maps M1 into
M0 .

Proof. Let x, y ∈ L, T ∈ M , and v ∈ V . Then

([x, y] · T )(v) = [x, y] · T (v) − T ([x, y] · v)

= x(yT (v)) − y(xT (v)) − T (x(yv)) + T (y(xv))

and


x(yT ) − y(xT ) (v)
56 CHAPTER 6. WEYL’S THEOREM



= x(yT ) (v) − y(xT ) (v)
= x((yT )(v)) − (yT )(xv) − y((xT )(v)) + (xT )(yv)
= x(yT (v) − T (yv)) − y(T (xv)) + T (y(xv))
− y(xT (v) − T (xv)) + xT (yv) − T (x(yv))
= x(yT (v)) − xT (yv) − y(T (xv)) + T (y(xv))
− y(xT (v)) − yT (xv)) + xT (yv) − T (x(yv))
= x(yT (v)) + T (y(xv)) − y(xT (v)) − T (x(yv)).

It follows that
[x, y] · T = x(yT ) − y(xT )
so that with the above definition Hom(V, W ) is an L-module.
The assertion 1 of the lemma is clear.
To prove the assertion 2, let T ∈ M1 and let a ∈ F be such that T (w) = aw
for w ∈ W . Let x ∈ L. Let w ∈ W . Then

(xT )(w) = xT (w) − T (xw)

= axw − axw
= 0.

The assertion 2 follows.

Theorem 6.2.4 (Weyl’s Theorem). Let F be algebraically closed and have char-
acteristic zero. Let L be a finite-dimensional semi-simple Lie algebra over F .
If (ϕ, V ) is a finite-dimensional representation of L, then V is a direct sum of
irreducible representations of L.
Proof. By induction, to prove the theorem it will suffice to prove that if W is a
proper, non-zero L-subspace of V , then W has a complement, i.e., there exists
an L-subspace W 0 of V such that V = W ⊕ W 0 . Let W be a proper, non-zero
L-subspace of V .
We first claim that W has a complement in the case that dim W = dim V −1.
Assume that dim W = dim V − 1.
We will first prove our claim when W is irreducible; assume that W is irre-
ducible. The kernel ker(ϕ) of ϕ : L → gl(V ) is an ideal of L. By Lemma 6.2.1
the Lie algebra L/ ker(ϕ) is semi-simple. By replacing ϕ : L → gl(V ) by the
representation ϕ : L/ ker(ϕ) → gl(V ), we may assume that ϕ is faithful. Con-
sider the quotient V /W . By assumption, this is a one-dimensional L-module.
Since [L, L] acts by zero on any one-dimensional L-module, and since L = [L, L]
by Lemma 6.2.2, it follows that L acts by zero on V /W . This implies that
ϕ(L)V ⊂ W . In particular, if C is the Casmir operator for ϕ, then CV ⊂ W .
By Lemma 6.1.2, C is an L-map. Hence, ker(C) is an L-submodule of V ; we will
prove that V = W ⊕ ker(C), so that ker(C) is a complement to W . To prove
that ker(C) is a complement to W it will suffice to prove that W ∩ ker(C) = 0
and dim ker(C) = 1. Consider the restriction C|W of C to W . This is an L-map
6.2. PROOF OF WEYL’S THEOREM 57

from W to W . By Schur’s Lemma, Theorem 4.2.2, since W is irreducible, there

exists a constant a ∈ F such that C(w) = aw for w ∈ W . Fix an ordered basis
w1 , . . . , wt for W , and let v ∈
/ V . Then w1 , . . . , wt , v is an ordered basis for V ,
and the matrix of C in this basis has the form
 
a ∗
 .. 

 . ∗.
 a ∗
0

It follows that tr(C) = (dim W )a. On the other hand, by Lemma 6.1.2, we have
tr(C) = dim L. It follows that (dim W )a = dim L, and in particular, a 6= 0.
Thus, C is injective on W and maps onto W . Therefore, W ∩ ker(C) = 0, and
dim ker(C) = dim V − dim im(C) = dim V − dim W = 1. This proves our claim
in the case that W is irreducible.
We will now prove our claim by induction on dim V . We cannot have
dim V = 0 or 1 because W is non-zero and proper by assumption. Suppose
that dim V = 2. Then dim W = 1, so that W is irreducible, and the claim
follows from the previous paragraph. Assume now that dim V ≥ 3, and that
for all L-modules A with dim A < dim V , if B is an L-submodule of A of co-
dimension one, then B has a complement. If W is irreducible, then W has a
complement by the previous paragraph. Assume that W is not irreducible, and
let W1 be a L-submodule of W such that 0 < dim W1 < dim W . Consider
the L-submodule W/W1 of V /W1 . This L-submodule has co-dimension one in
V /W1 , and dim V /W1 < dim V . By the induction hypothesis, there exists an
L-submodule U of V /W1 such that

V /W1 = U ⊕ W/W1 .

We have dim U = 1. Let p : V → V /W1 be the quotient map, and set M =

p−1 (U ). Then M is an L-submodule of V , W1 ⊂ M , and M/W1 = U . We have

dim M = dim W1 + dim U = 1 + dim W1 .

Since dim M = 1 + dim W1 < 1 + dim W ≤ dim V , we can apply the induction
hypothesis again: let W2 be an L-submodule of M that is a complement to W1
in M , i.e.,
M = W1 ⊕ W2 .
We assert that W2 is a complement to W in V , i.e., V = W ⊕ W2 . Since
dim W2 = 1, to prove this it suffices to prove that W ∩ W2 = 0. Assume that
w ∈ W ∩ W2 . Then



w + W1 ∈ W/W1 ∩ M/W1 = 0.

This implies that w ∈ W1 . Since now w ∈ W2 ∩ W1 , we have w = 0, as desired.

The proof of our claim is complete.
58 CHAPTER 6. WEYL’S THEOREM

Using the claim, we will now prove that W has a complement. Set

M = Hom(V, W ),
M1 = {T ∈ Hom(V, W ) : f |W is multiplication by some constant},
M0 = {T ∈ Hom(V, W ) : f |W = 0}.

By Lemma 6.2.3, M , M1 , M0 are L-modules; clearly, M0 ⊂ M1 . We claim that

dim M1 /M0 = 1. To prove this, let w ∈ W be non-zero. Define

M1 −→ F w

by T 7→ T (w). This is a well-defined F -linear map. Clearly, since 1V ∈ M1 ,

this map is surjective; also, the kernel of this map is M0 . It follows that
dim M1 /M0 = 1. By the above claim, the L-submodule M0 of M1 has a com-
plement M10 in M0 , so that

M1 = M0 ⊕ M00 .

Since M00 is one-dimensional, M00 is spanned by a single element T ∈ M1 ; we

may assume that in fact T (w) = w for w ∈ W . Moreover, since M00 is one-
dimensional the action of L on M00 is trivial (see earlier in the proof for another
example of this), so that xT = 0 for x ∈ L. The definition of the action of L on
M implies that T is an L map. We now claim that

V = W ⊕ ker(T ).

To see this, let v ∈ V . Then v = T (v) + (v − T (v)). Evidently, T (v) ∈ W . Also,

T (v − T (v)) = T (v) − T (T (v)) = T (v) − T (v) = 0 because T (v) ∈ W , and the
restriction of T to W is the identity. Thus, V = W + ker(T ). Finally, suppose
that w ∈ W ∩ ker(T ). Then w = T (w) and T (w) = 0, so that w = 0.

6.3 An application to the Jordan decomposition

Lemma 6.3.1. Assume that F is algebraically closed and has characteristic
zero. Let V be a finite-dimensional F -vector space. Let L be a Lie subalgebra
of gl(V ), and assume that L is semi-simple. If x ∈ L, and x = xs + xn is the
Jordan-Chevalley decomposition of x as an element of gl(V ), then xs , xn ∈ L.

Proof. We will first prove that [xs , L] ⊂ L and [xn , L] ⊂ L. To see this, consider
adgl(V ) (x) : gl(V ) → gl(V ). This linear map has a Jordan-Chevalley decompo-
sition adgl(V ) (x) = adgl(V ) (x)s + adgl(V ) (x)n . Because x ∈ L, the linear map
adgl(V ) (x) maps L into L (i.e., [x, L] ⊂ L). Because adgl(V ) (x)s and adgl(V ) (x)n
are polynomials in adgl(V ) (x), these linear maps also map L into L. Now by
Lemma 5.1.3 we have adgl(V ) (x)s = adgl(V ) (xs ) and adgl(V ) (x)n = adgl(V ) (xn ).
It follows that adgl(V ) (xs ) and adgl(V ) (xn ) map L into L, i.e., [xs , L] ⊂ L and
[xn , L] ⊂ L.
6.3. AN APPLICATION TO THE JORDAN DECOMPOSITION 59

Define
N = {y ∈ gl(V ) : [y, L] ⊂ L}.
Evidently, L ⊂ N ; also, we just proved that xs , xn ∈ N . Moreover, we claim
that N is a Lie subalgebra of gl(V ), and that L is an ideal of N . To see that N
is a Lie subalgebra of gl(V ), let y1 , y2 ∈ N . Let z ∈ L. Then

[[y1 , y2 ], z] = −[z, [y1 , y2 ]]

= [y1 , [y2 , z]] + [y2 , [z, y1 ]].

This is contained in L. Hence, [z1 , z2 ] ∈ N . To see that L is an ideal of N , let

y ∈ N and z ∈ L; then [y, z] ∈ L by the definition of N , which implies that L
is an ideal of N .
Next, the Lie algebra L acts on V (since L consists of elements of gl(V )).
Let W be any L-submodule of V . Define

LW = {y ∈ gl(V ) : yW ⊂ W and tr(y|W ) = 0}.

Evidently, LW is a Lie subalgebra of gl(V ). We claim that L ⊂ LW , L is an

ideal of LW , and xs , xn ∈ LW . Since L is semi-simple, we have by Lemma
6.2.2 that L = [L, L]. Thus, to prove that L ⊂ LW , it will suffice to prove that
[a, b] ∈ LW for a, b ∈ L. Let a, b ∈ L. Since W is an L-submodule of V , we have
[a, b]W ⊂ W . Also,

tr([a, b]|W ) = tr(a|W b|W − b|W a|W ) = tr(a|W bW ) − tr(b|W a|W ) = 0.

It follows that L ⊂ LW . The argument that L is an ideal of LW is similar. Next,

since x maps W to W , xs and xn also map W to W . Since xn is nilpotent,
xn |W is also nilpotent. Since xn |W is nilpotent, tr(xn |W ) = 0. We have already
proven that tr(x|W ) = 0. Since x|W = xs |W +xn |W , it follows that tr(xs |W ) = 0.
Hence, xs , xn ∈ LW .
Now define
\
A = {y ∈ gl(V ) : [y, L] ⊂ L} ∩ LW .
W is an L-submodule of V

By the last two paragraphs, A is a Lie subalgebra of gl(V ), L ⊂ A, L is an ideal

of A, and xs , xn ∈ A. We will prove that A = L, which will complete the proof
since this implies that xs , xn ∈ L. We may regard A as an L-module via the
action defined by x · a = ad(x)a = [x, a] for x ∈ L and a ∈ A. Evidently, with
this action, L is an L-submodule of A. By Weyl’s Theorem, Theorem 6.2.4, L
admits a complement L1 in A so that A = L ⊕ L1 . We need to prove that the
L-module L1 is zero. We claim that [L, L1 ] = 0, i.e., the action of L on L1 is
trivial. To see this we first note that [L, L1 ] ⊂ L1 because L1 is an L-submodule.
On the other hand, since L is an ideal of A, we have [L, A] ⊂ L; in particular,
[L, L1 ] ⊂ L. We now have [L, L1 ] ⊂ L ∩ L1 = 0, proving that [L, L1 ] = 0. Next,
consider the action of L on V ; by again Weyl’s Theorem, Theorem 6.2.4, we can
write
V = W1 ⊕ · · · ⊕ Wt
60 CHAPTER 6. WEYL’S THEOREM

where Wi is an irreducible L-submodule of V for i ∈ {1, . . . , t}. Let i ∈

{1, . . . , t}. Let y ∈ L1 . Because y ∈ A we have y ∈ LWi . Thus, yWi ⊂ Wi .
Moreover, since [L, L1 ] = 0, the map y|Wi commutes with the action of L on
Wi . By Schur’s Lemma, Theorem 4.2.2, y acts by a scalar on Wi . Since we also
have tr(y|Wi ) = 0 because y ∈ LWi , it follows that y|Wi = 0. We now conclude
that y = 0, as desired.
Theorem 6.3.2. Assume that F is algebraically closed and has characteristic
zero. Let V be a finite-dimensional F -vector space. Let L be a Lie subalgebra
of gl(V ), and assume that L is semi-simple. If x ∈ L, x = xs + xn is the
Jordan-Chevalley decomposition of x as an element of gl(V ), and x = s + n is
the abstract Jordan decomposition of x, then xs = s and xn = n.
Proof. By Lemma 6.3.1 we have xs , xn ∈ L. By the uniqueness of the Jordan-
Chevalley decomposition of elements of gl(L), to prove the theorem it will
suffice to prove that adL (x) = adL (xs ) + adL (xn ), adL (xs ) is diagonalizable,
adL (xn ) is nilpotent, and [adL (xs ), adL (xn )] = 0, i.e., adL (xs ) and adL (xn )
commute. Since x = xs + xn we have adL (x) = adL (xs ) + adL (xn ). From the
involved definitions, is clear that adgl(V ) (xs )|L = adL (xs ) and adgl(V ) (xn )|L =
adL (xn ). By Lemma 5.1.3, adgl(V ) (xs ) is diagonalizable and adgl(V ) (xn ) is
nilpotent. This implies that adgl(V ) (xs )|L = adL (xs ) is diagonalizable and
adgl(V ) (xn )|L = adL (xn ) is nilpotent. Finally, since adgl(V ) (xs ) and adgl(V ) (xn )
commute, adgl(V ) (xs )|L = adL (xs ) and adgl(V ) (xn )|L = adL (xn ) commute.
Lemma 6.3.3. Let F have characteristic zero and be algebraically closed. Let
L be a semi-simple finite-dimensional Lie algebra over F . Let I be an ideal of L.
The Lie algebra L/I is semi-simple. Let x ∈ L, and let x = s + n be the abstract
Jordan decomposition of x, as in Theorem 5.5.5. Then x + I = (s + I) + (n + I)
is the abstract Jordan decomposition of x + I, with s + I and n + I being the
semi-simple and nilpotent components of x + I, respectively.
Proof. By Lemma 6.2.1 L/I is semi-simple. Since x = s + n, we have x + I =
(s + I) + (n + I). Let z ∈ L. Let y ∈ L. We have

ad(z + I)(y + I) = [z + I, y + I]
= [z, y] + I
= ad(z)(y) + I.

Similarly, if P (X) ∈ F [X] is a polynomial, then

P (ad(z + I))(y + I) = P (ad(z))(y) + I.

Let M (X) be the minimal polynomial of ad(s). Then

M (ad(s + I))(y + I) = M (ad(s))(y) + I = 0 + I = I.

Hence, M (ad(s + I)) = 0, so that the minimal polynomial of ad(s + I) divides

M (X). Since s is diagonalizable, M (X) has no repeated roots. Hence, the
6.3. AN APPLICATION TO THE JORDAN DECOMPOSITION 61

minimal polynomial of ad(s+I) has no repeated roots; this implies that ad(s+I)
is diagonalizable. Similarly, since ad(n) is nilpotent, we see that ad(n + I) is
nilpotent. Finally, we have [s + I, n + I] = [s, n] + I = 0 + I = I.
Theorem 6.3.4. Let F have characteristic zero and be algebraically closed.
Let L be a semi-simple finite-dimensional Lie algebra over F . Let V be a finite-
dimensional F -vector space, and let θ : L → gl(V ) be a homomorphism. Let
x ∈ L. Let x = s + n be the abstract Jordan decomposition of x as in Theorem
5.5.5. Then the Jordan-Chevalley decomposition of θ(x) ∈ gl(V ) is given by
θ(x) = θ(s) + θ(n), with θ(s) diagonalizable and θ(n) nilpotent.
Proof. Set J = θ(L); this is a Lie subalgebra of gl(V ). Since we have an
isomorphism of Lie algebras
∼
θ : L/ ker(θ) −→ J

and since L/ ker(θ) is semi-simple by Lemma 6.2.1, it follows that J is semi-

simple. Moreover, x + ker(θ) = (s + ker(θ)) + (n + ker(θ)) is the abstract Jordan
decomposition of x + ker(θ) by Lemma 6.3.3. Applying the above isomorphism,
it follows that θ(x) = θ(s) + θ(n) is the abstract Jordan decomposition of θ(x)
inside J. By Theorem 6.3.2, this is the Jordan-Chevalley decomposition of θ(x)
inside gl(V ).
62 CHAPTER 6. WEYL’S THEOREM
Chapter 7

The root space

decomposition

Let F have characteristic zero and be algebraically closed. Let L be a finite-

dimensional Lie algebra over F . Let H be a Lie subalgebra of L. We say
that H is a Cartan subalgebra of L if H is non-zero; H is abelian; all the
elements of H are semi-simple; and H is not properly contained in another
abelian subalgebra of L, the elements of which are all semi-simple.
Theorem 7.0.1 (Second version of Engel’s Theorem). Let L be a Lie algebra
over F . Then L is nilpotent if and only if for all x ∈ L, the linear map ad(x) ∈
gl(L) is nilpotent.
Proof. Assume that L is nilpotent. By definition, this means that there exists
a positive integer m such that Lm = 0. The definition of Lm implies that, in
particular,
[x, [x, [x, · · · , [x, y] · · · ]]]
| {z }
m x’s

for x, y ∈ L. This means that ad(x)m = 0. Thus, for every x ∈ L, the linear
map ad(x) is nilpotent. Conversely, assume that for every x ∈ L, the linear
map ad(x) ∈ gl(L) is nilpotent. Consider the Lie subalgebra ad(L) of gl(L). By
Theorem 3.1.1, the original version of Engel’s Theorem, there exists a basis for L
in which all the elements of ad(L) are strictly upper triangular; this implies that
ad(L) is a nilpotent Lie algebra. By Proposition 2.2.1, since ad(L) ∼ = L/Z(L) is
nilpotent, the Lie algebra L is also nilpotent.

Lemma 7.0.2. Let F have characteristic zero and be algebraically closed. Let
L be a semi-simple finite-dimensional Lie algebra over F . Then L has a Cartan
subalgebra.
Proof. It will suffice to prove that L contains a non-zero abelian subalgebra
consisting of semi-simple elements; to prove this, it will suffice to prove that L

63
64 CHAPTER 7. THE ROOT SPACE DECOMPOSITION

contains a non-zero semi-simple element x (because the subalgebra F x is non-

zero, abelian and contains only semi-simple elements). Assume that L contains
only nilpotent elements. Then by Theorem 7.0.1, the second version of Engel’s
Theorem, L is nilpotent, and hence solvable. This is a contradiction.
Proposition 7.0.3. Let F have characteristic zero and be algebraically closed.
Let L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L, and let H ∨ be HomF (H, F ), the F -vector space of all F -linear
maps from H to F . For α ∈ H ∨ , define

Lα = {x ∈ L : ad(h)x = α(h)x for all h ∈ H}.

Let Φ be the set of all α ∈ H ∨ such that α 6= 0 and Lα 6= 0. There is a direct

sum decomposition M
L = L0 ⊕ Lα .
α∈Φ

Moreover:
1. If α, β ∈ H ∨ , then
[Lα , Lβ ] ⊂ Lα+β .

2. If α, β ∈ H ∨ and α + β 6= 0, then

κ(Lα , Lβ ) = 0,

where κ is the Killing form on L.

3. The restriction of the Killing form κ to L0 is non-degenerate.
Proof. Consider the F -vector space ad(H) of linear operators on L. Since every
element of H is semi-simple, the elements of ad(H) are diagonalizable (recall the
definition of the abstract Jordan decomposition, and in particular, the definition
of semi-simple). Also, the linear operators in ad(H) mutually commute because
H is abelian. It follows that the elements of ad(H) can be simultaneously
diagonalized, i.e., the above decomposition holds.
To prove 1, let α, β ∈ H ∨ . Let x ∈ Lα and y ∈ Lβ . Let h ∈ H. Then

ad(h)([x, y]) = [h, [x, y]]

= −[x, [y, h]] − [y, [h, x]]
= [x, [h, y]] + [[h, x], y]
= [x, β(h)y] + [α(h)x, y]
= (α + β)(h)[x, y].

It follows that [x, y] ∈ Lα+β .

To prove 2, let α, β ∈ H ∨ and assume that α + β 6= 0. Let x ∈ Lα , y ∈ Lβ ,
and h ∈ H. Then

α(h)κ(x, y) = κ(α(h)x, y)
 65

= κ([h, x], y)
= −κ([x, h], y)
= −κ(x, [h, y])
= −κ(x, β(h)y)
= −β(h)κ(x, y).

It follows that (α+β)(h)κ(x, y) = 0. Since this holds for all h ∈ H and α+β 6= 0,
it follows that κ(x, y) = 0. That is, κ(Lα , Lβ ) = 0.
To prove 3, let x ∈ L0 . Assume that κ(x, y) = 0 for all y ∈ L0 . By 2, we
have then κ(x, L) = 0. Since κ is non-degenerate, we must have x = 0.

We refer to the decomposition of L in Proposition 7.0.3 as the root space

decomposition of L with respect to H; an element of Φ is called a root.

Lemma 7.0.4. Let F have characteristic zero and be algebraically closed. Let
L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L. Let h ∈ H be such that dim CL (h) is minimal. Then CL (h) =
CL (H).

Proof. We first claim that for all s ∈ H, we have CL (h) ⊂ CL (s). Let s ∈ H.
There are filtrations of F -vector spaces:

0 ⊂ CL (h) ∩ CL (s) ⊂ CL (s) ⊂ CL (h) + CL (s) ⊂ L,

0 ⊂ CL (h) ∩ CL (s) ⊂ CL (h) ⊂ CL (h) + CL (s) ⊂ L.

Consider the operators ad(h) and ad(s) on L. Since H is a Cartan subalgebra

of L, ad(h) and ad(s) commute with each other, and both operators are diago-
nalizable. The restrictions of ad(h) and ad(s) to CL (h) ∩ CL (s) are zero because
[h, CL (h)] = 0 and [s, CL (s)] = 0. Let

x1 , . . . , x k

be any basis for CL (h) ∩ CL (s). Next, consider the restrictions of ad(h) and
ad(s) to CL (s). Since [s, CL (s)] = 0, the restriction of ad(s) to CL (s) is zero.
We claim that ad(h) maps CL (s) to itself. To see this, let x ∈ CL (s). We
calculate:

[ad(h)x, s] = [[h, x], s]

= −[s, [h, x]]
= [h, [x, s]] + [x, [s, h]]
= [h, 0] + [x, 0]
=0

because [x, s] = 0 (since x ∈ CL (s)) and [s, h] = 0 (since H is abelian). It follows

that ad(h)x ∈ CL (s), as claimed. Since both ad(s) and ad(h) map CL (s) to
66 CHAPTER 7. THE ROOT SPACE DECOMPOSITION

itself, since ad(s) and ad(h) commute, and since both ad(s) and ad(h) are diag-
onalizable, the restrictions of ad(s) and ad(h) to CL (s) can be simultaneously
diagonalized, so that there exist elements y1 , . . . , y` in CL (s) so that

x1 , . . . , xk , y1 , . . . , y`

is a basis for CL (s), and each element is an eigenvector for ad(s) and ad(h) (the
elements x1 , . . . , xk are already in the 0-eigenspaces for the restrictions of ad(h)
and ad(s) to CL (s)). Since ad(s) is zero on CL (s), the elements y1 , . . . , y` are in
the 0-eigenspace for ad(s). Similarly, there exist elements z1 , . . . , zm in CL (h)
such that
x1 , . . . , xk , z1 , . . . , zm
is a basis for CL (h) and each element is an eigenvector for ad(s) and ad(h);
note that since ad(h) is zero on CL (h), the elements z1 , . . . , zm are in the 0
eigenspace for ad(h). We claim that

x1 , . . . , xk , y1 , . . . , y` , z1 , . . . , zm

form a basis for CL (h) + CL (s). It is evident that these vectors span CL (h) +
CL (s). Now

dim(CL (h) + CL (s))

= dim CL (s) + dim(CL (s) + CL (h))/CL (s)
= dim CL (s) + dim CL (h)/(CL (s) ∩ CL (h))
= dim CL (s) + dim CL (h) − dim(CL (s) ∩ CL (h))
= dim(CL (s) ∩ CL (h)) + dim CL (s) − dim(CL (s) ∩ CL (h))
+ dim CL (h) − dim(CL (s) ∩ CL (h))
= k + ` + m.

It follows that this is a basis for CL (s) + CL (h). Finally, there exist elements
w1 , . . . , wn in L such that

x1 , . . . , xk , y1 , . . . , y` , z1 , . . . , zm , w1 , . . . , wn

is a basis for L and w1 , . . . , wn are eigenvectors for ad(s) and ad(h). Since
w1 , . . . , wn are not in CL (s), it follows that the eigenvalues of ad(s) on these
elements do not include zero; similarly, the eigenvalues of ad(h) on w1 , . . . , wn
do not include zero. Let α, . . . , αn in F and β1 , . . . , βn be such that

ad(s)wi = αi wi , ad(h)wi = βi wi

for i ∈ {1, . . . , n}. Now let c be any element of F such that

c 6= 0, α1 + cβ1 6= 0, ..., αn + cβn 6= 0.

We have:

ad(s + c · h)xi = ad(s)xi + c · ad(h)xi = 0,

 67

ad(s + c · h)yi = ad(s)yi + c · ad(h)yi = c · ad(h)yi = non-zero multiple of yi ,

ad(s + c · h)zi = ad(s)zi + c · ad(h)zi = ad(s)zi = non-zero multiple of zi ,
ad(s + c · h)wi = (αi + cβi )wi = non-zero multiple of wi .

Here c · ad(h)yi is a multiple of yi because yi is an ad(h) eigenvector, and this

multiple is non-zero because otherwise [h, yi ] = 0, contradicting yi ∈
/ CL (s) ∩
CL (h). Similary, ad(s)zi is a non-zero multiple of zi . Because

x1 , . . . , xk , y1 , . . . , y` , z1 , . . . , zm , w1 , . . . , wn

is a basis for L we conclude that if x ∈ L is such that [s + c · h, x] = 0, then x

is in the span of x1 , . . . , xk ; this means that

CL (s + c · h) ⊂ CL (s) ∩ CL (h).

Since CL (s) ∩ CL (h) ⊂ CL (s + c · h) we get

CL (s + c · h) = CL (s) ∩ CL (h).

By the definition of h, we must have CL (h) ⊂ CL (s + c · h); hence

CL (h) ⊂ CL (s) ∩ CL (h).

This means that CL (h) ⊂ CL (s).

Finally, to see that CL (h) = CL (H), we note first that CL (H) ⊂ CL (h). For
the converse inclusion, we have by the first part of the proof:
\
CL (h) ⊂ CL (s) = CL (H).
s∈H

Hence, CL (h) = CL (H).

Proposition 7.0.5. Let F have characteristic zero and be algebraically closed.

Let L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L. Then CL (H) = H.

Proof. Clearly, H ⊂ CL (H). To prove the other inclusion, let x ∈ CL (H); we

need to prove that x ∈ H. By Lemma 7.0.4, there exists h ∈ H such that
CL (H) = CL (h). Hence, x ∈ CL (h). Let x = s + n be the abstract Jordan
decomposition of x. We have [x, h] = 0. By Theorem 5.5.5, we obtain [s, h] = 0
and [n, h] = 0. It follows that s, n ∈ CL (h) = CL (H). Consider the subalgebra
H 0 = H + F s of L. This subalgebra is abelian, and all the elements of it are
semi-simple. By the maximality property of H, we have H 0 = H; this implies
that s ∈ H. To prove that x ∈ H it will now suffice to prove that n = 0.
We first show that CL (h) is a nilpotent Lie algebra. By the second version
of Engel’s Theorem, Theorem 7.0.1, to prove this it will suffice to prove that
adCL (h) (y) is nilpotent for all y ∈ CL (h). Let y ∈ CL (h), and let y = r + m be
the abstract Jordan decomposition of y as a element of L, with r semi-simple
68 CHAPTER 7. THE ROOT SPACE DECOMPOSITION

and m nilpotent. As in the previous paragraph, r ∈ CL (h). Let z ∈ CL (h).

Then

adCL (h) (y)z = [y, z]

= [r, z] + [m, z]
= 0 + [m, z]
= ad(m)z.

The operator ad(m) : L → L is nilpotent; it follows that adCL (h) (y) is also
nilpotent. Hence, CL (h) is a nilpotent Lie algebra.
Now we prove that the n from the first paragraph is zero. Since CL (h) is a
nilpotent Lie algebra, it is a solvable Lie algebra. Consider the Lie subalgebra
ad(CL (h)) of gl(L). Since L is semi-simple, ad is injective (see Proposition
5.5.1). It follows that ad(CL (h)) is a solvable Lie subalgebra of gl(L). By Lie’s
Theorem, Theorem 3.1.2, there exists a basis for L in which all the elements of
ad(CL (h)) are upper-triangular. The element ad(n) is a nilpotent element of
gl(L), and is hence strictly upper triangular. Let z ∈ CL (h). Then

κ(n, z) = tr(ad(n)ad(z)) = 0

because ad(n)ad(z) is also strictly upper triangular. Now CL (h) = CL (H) = L0

for the choice H of Cartan subalgebra, and by Proposition 7.0.3, the restriction
of the Killing form to L0 is non-degenerate. This implies that n = 0.

Corollary 7.0.6. Let F have characteristic zero and be algebraically closed. Let
L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L. Then L0 = H.

Proof. By definition, and by Proposition 7.0.5,

L0 = {x ∈ L : [h, x] = 0 for all h ∈ H}

= {x ∈ L : x ∈ CL (H)}
= H.

This completes the proof.

Lemma 7.0.7. Let F have characteristic zero and be algebraically closed. Let
L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L, and let the notation be as in Proposition 7.0.3. If α ∈ Φ, then
−α ∈ Φ. Let α ∈ Φ, and let x ∈ Lα be non-zero. There exists y ∈ L−α such
that F x + F y + F [x, y] is a Lie subalgebra of L isomorphic to sl(2, F ).

Proof. Let x ∈ Lα be non-zero. By 3 of Proposition 7.0.3, the Killing form κ of

L is non-degenerate; hence, there exists z ∈ L such that κ(x, z) 6= 0. Write
X
z = z0 + zβ
β∈Φ
 69

for some z0 ∈ H = L0 and zβ ∈ Lβ , β ∈ Φ. By 2 of Proposition 7.0.3 we have

κ(x, Lβ ) = 0 for all β ∈ H ∨ such that β + α 6= 0. Therefore,
X
κ(x, z) = κ(x, z0 ) + κ(x, zβ )
β∈Φ
X
= κ(x, zβ ).
β∈Φ
α+β=0

Since κ(x, z) 6= 0, this implies that there exists β ∈ Φ such that α + β = 0, i.e,
−α ∈ Φ. Also, we have proven that there exists y ∈ L−α such that κ(x, y) 6= 0.
By 1 of Proposition 7.0.3 and Corollary 7.0.6 we have [x, y] ∈ L0 = H.
Let c ∈ F × . We claim that S(cy) = F x + F y + F [x, y] is a Lie subalgebra of
L. To prove this it suffices to check that [[x, y], x], [[x, y], y] ∈ S(cy). Now since
[x, y] ∈ H, we have by the definition of Lα ,

[[x, y], x] = α([x, y])x;

also, by the definition of L−α ,

[[x, y], y] = −α([x, y])y.

This proves that S(cy) is a Lie subalgebra of L.

To complete the proof we will prove that there exists c ∈ F × such that S(cy)
is isomorphic to sl(2, F ). Let c ∈ F × , and set

e = x, f = cy, h = [e, f ].

To prove that there exists a c ∈ F × such that S(cy) is isomorphic to sl(2, F ) it

will suffice to prove that there exists a c ∈ F × such that

h 6= 0, [e, h] = −2e, [f, h] = 2f.

We first claim that h is non-zero for all c ∈ F × . We will prove the stronger
statement that α([x, y]) 6= 0. Assume that α([x, y]) = 0; we will obtain a
contradiction. From above, we have that [x, y] commutes with x and y. This
implies that ad([x, y]) = [ad(x), ad(y)] commutes with ad(x) and ad(y); these
are elements of gl(L). By Corollary 3.2.2, the element ad([x, y]) is a nilpotent
element of gl(L). However, by the definition of a Cartan subalgebra, ad([x, y])
is semi-simple. It follows that [x, y] = 0. Since α 6= 0, there exists t ∈ H such
that α(t) 6= 0. Now

0 = κ(t, [x, y])

= κ(t, [x, y])
= κ([t, x], y)
= κ(α(t)x, y)
= α(t)κ(x, y).
70 CHAPTER 7. THE ROOT SPACE DECOMPOSITION

This is non-zero, a contradiction. Hence, α([x, y]) 6= 0 and consequently h 6= 0

for any c ∈ F × .
Finally, for any c ∈ F × we have

[e, h] = −[h, x]
= −α(h)x
= −α([x, cy])x
= −cα([x, y])x
= −cα([x, y])e

and

[f, h] = −[h, f ]
= −[[x, cy], cy]
= −c[[x, y], cy]
= −c(−α([x, y]))f
= cα([x, y])f

Setting c = 2/α([x, y]) now completes the proof.

Let the notation be as in Lemma 7.0.7 and its proof. We will write

eα = x, fα = (2/α([x, y]))y, hα = [eα , fα ].

We have eα ∈ Lα , fα ∈ L−α and hα ∈ H. The subalgebra F eα + F fα + F hα is

isomorphic to sl(2, F ). We will write

sl(α) = F eα + F fα + F hα .

We note that
α(hα ) = α((2/α([x, y]))[x, y]) = 2.
Consider the action of sl(α) on L. By Weyl’s Theorem, Theorem 6.2.4, L can be
written as a direct sum of irreducible sl(α) representations. By Theorem 4.3.7
every one of these irreducible representations is of the form Vd for some integer
d ≥ 0. Moreover, the explicit description of the representations Vd shows that
Vd is a direct sum of hα eigenspaces, and each eigenvalue is an integer. It follows
that L is a direct sum of hα eigenspaces, and that each eigenvalue is an integer.
As every subspace Lβ for β ∈ Φ is obviously contained in the β(hα )-eigenspace
for hα , this implies that for all β ∈ Φ we have that β(hα ) is an integer.
Proposition 7.0.8. Let F have characteristic zero and be algebraically closed.
Let L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L, and let the notation be as in Proposition 7.0.3. Let β ∈ Φ. The
space Lβ is one-dimensional, and the only F -multiples of β contained in Φ are
β and −β.
 71

Proof. Consider the set

X(β) = {c ∈ F : cβ ∈ Φ}.

We have 1 ∈ X(β). By the definition of Φ, we have 0 ∈

/ X(β). Let c ∈ X(β).
Let x ∈ Lcβ be non-zero. Then

[hβ , x] = (cβ)(hβ )x
= cβ(hβ )x
= 2cx.

By the remark preceding the proposition, 2c must be an integer; in particular,

we may say that c is positive or negative. Define

X+ (β) = {c ∈ F : cβ ∈ Φ and c > 0}

and
X− (β) = {c ∈ F : cβ ∈ Φ and c < 0}.
We have
X(β) = X− (β) t X+ (β).
To prove the proposition it will suffice to prove that

#X+ (β) = 1 and dim Lβ = 1.

Let c0 ∈ X+ (β) be minimal, and define

α = c0 β.

By definition, α ∈ Φ. The map

∼
X+ (β) −→ X+ (α), c 7→ c/c0

is a well-defined bijection. Evidently, 1 is the minimal element of X+ (α); in

particular, 1/2 ∈
/ X+ (α).
Now define M
M =H⊕ Lcα .
c∈X(α)

We claim that M is an sl(α) module. Let h ∈ H. Then

[eα , h] = −[h, eα ] = −α(h)eα ∈ Lα ,

[fα , h] = −[h, fα ] = α(h)fα ∈ L−α ,
[hα , h] = 0.

It follows that [sl(α), H] ⊂ M . Let c ∈ X(α). Let x ∈ Lcα . Then

[eα , x] ∈ [Lα , Lcα ] ⊂ Lα+cα = L(c+1)α ,

72 CHAPTER 7. THE ROOT SPACE DECOMPOSITION

[fα , x] ∈ [L−α , Lcα ] ⊂ L−α+cα = L(c−1)α ,

[hα , x] = (cα)(hα )x ∈ Lcα ;

here, we have used 1 of Proposition 7.0.3. This implies that [sl(α), Lcα ] ⊂ M .
Thus, sl(α) acts on M . The subspace M contains several subspaces. Evidently,

sl(α) ⊂ H ⊕ Lα ⊕ L−α ⊂ M.

It is clear that sl(α) is an sl(α) subspace of M . Also, let

K = ker(α) ⊂ H.

We claim that
K ∩ sl(α) = 0.
To see this, let k ∈ K ∩sl(α). Since K ⊂ H, we have k ∈ H ∩sl(α) = F hα ; write
k = ahα for some a ∈ F . By the definition of K, α(k) = 0. Since α(hα ) = 2,
we get a = 0 so that k = 0. Now let

N = K ⊕ sl(α).

We claim that N is an sl(α) subspace of M . To prove this it will certainly suffice

to prove that [sl(α), K] = 0. Let k ∈ K; since K ⊂ H, we have:

[eα , k] = −[k, eα ] = −α(k)eα = 0,

[fα , k] = −[k, fα ] = α(k)fα = 0,
[hα , k] = 0.

It follows that N is an sl(α)-subspace of M . Since K is the kernel of the non-

zero linear functional α on H, it follows that dim K = dim H − 1. Since hα ∈ H
but hα ∈ / K, we have H = K ⊕ F hα . In particular,

H ⊂ N.

By Weyl’s Theorem, Theorem 6.2.4, there exists an sl(α)-subspace W of M such

that
M = N ⊕ W.
We claim that W is zero. Assume that W 6= 0; we will obtain a contradiction.
By Weyl’s Theorem, Theorem 6.2.4, we may write W as the direct sum of
irreducible representations of sl(α); by Theorem 4.3.7, each of these representa-
tions is of the form Vd for some integer d ≥ 0.
Assume first that W contains a representation Vd with d even. By the explicit
description of Vd , there exists a non-zero vector v in Vd such that hα v = 0, i.e.,
[hα , v] = 0. Write
M
v =h⊕ vcα
c∈X(α)
 73

with h ∈ H and vcα ∈ Lcα for c ∈ {c ∈ F : cα ∈ Φ}. We have

0 = [hα , v]
X
= [hα , h] + [hα , vcα ]
c∈X(α)
X
=0+ cα(hα )vcα
c∈X(α)
X
= 2cvcα .
c∈X(α)

Since the vectors vcα lie in the summands of

M
Lcα
c∈X(α)

and this sum is direct, we must have vcα = 0 for all c ∈ X(α). Hence, v = h ∈
H ⊂ N . On the other hand, v ∈ W . Therefore, v ∈ N ∩ W = 0, so that v = 0;
this is a contradiction. It follows that the Vd that occur in the decomposition
of W are such that d is odd.
Let d be an odd integer with d ≥ 1 and such that Vd occurs in W . By the
explicit description of Vd , there exists a vector v in Vd such that hα v = v, i.e,
[hα , v] = v. Again write M
v =h⊕ vcα
c∈X(α)

with h ∈ H and vcα ∈ Lcα for c ∈ X(α). Then

v = [hα , v]
X
= [hα , h] + [hα , vcα ]
c∈X(α)
X
=0+ cα(hα )vcα
c∈X(α)
X
= 2cvcα .
c∈{c∈X(α)

Therefore, M M
h⊕ vcα = 2cvcα
c∈X(α) c∈X(α)

Since v 6= 0, this implies that for some c ∈ X(α) we have 2c = 1, i.e, c = 1/2 ∈
X(α). This contradicts the fact that 1/2 ∈ / X(α). It follows that W = 0.
Since W = 0, we have N = M . This implies that #X+ (α) = 1 and dim Lα =
1. Hence, #X+ (β) = 1. Since 1 ∈ X+ (β), we obtain X+ (β) = {1}, so that
c0 = 1. This implies that in fact β = α, so that dim Lβ = 1. The proof is
complete.
74 CHAPTER 7. THE ROOT SPACE DECOMPOSITION

Proposition 7.0.9. Let F have characteristic zero and be algebraically closed.

Let L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L, and let the notation be as in Proposition 7.0.3. Let α, β ∈ Φ
with β 6= ±α.
1. We have β(hα ) ∈ Z.
2. There exist non-negative integers r and q such that

{k ∈ Z : β + kα ∈ Φ} = {k ∈ Z : −r ≤ k ≤ q}.

Moreover, r − q = β(hα ).
3. If α + β ∈ Φ, then [eα , eβ ] is a non-zero multiple of eα+β .
4. We have β − β(hα )α ∈ Φ.
Proof. Proof of 1. Consider the action of sl(α) on L. By Weyl’s Theorem,
Theorem 6.2.4, L is a direct sum of irreducible representations of sl(α). By
Theorem 4.3.7, each of these representations is of the form Vd for some integer
d ≥ 0. Each Vd is a direct sum of eigenspaces for hα , and each eigenvalue for hα
is an integer. It follows that L is a direct sum of eigenspaces for hα , with each
eigenvalue being an integer. Let x ∈ Lβ be non-zero. Then [hα , x] = β(hα )x,
so that β(hα ) is an eigenvalue for hα . It follows that β(hα ) is an integer.
Proof of 2. Let M
M= Lβ+kα .
k∈Z

We claim that there does not exist a k ∈ Z such that β + kα = 0. For suppose
such a k exists; we will obtain a contradiction. We have β = −kα. Hence,
−kα ∈ Φ. By Proposition 7.0.8 we must have −k = ±1. Thus, β = ±α; this
contradicts our hypothesis that β 6= ±α and proving our claim. It follows that
for every k ∈ Z either β + kα ∈ Φ or Lβ+kα = 0. Next, we assert that M is an
sl(α) module. Let k ∈ Z and x ∈ Lβ+kα . Then

[eα , x] ∈ [Lα , Lβ+kα ] ⊂ Lβ+(k+1)α ,

[fα , x] ∈ [L−α , Lβ+kα ] ⊂ Lβ+(k−1)α ,
[hα , x] = (β + kα)(hα )x = (β(hα ) + kα(hα ))x = (β(hα ) + 2k)x.

Here we have used 1 of Proposition 7.0.3 and the fact that α(hα ) = 2. These
formulas show that M is an sl(α) module. We also see from the last formula
that M is the direct sum of hα eigenspaces because hα acts on the zero or
one-dimensional F -subspace Lβ+kα by β(hα ) + 2k for k ∈ Z; moreover, every
eigenvalue for hα is an integer, and all the eigenvalues for hα have the same
parity. As in the proof of 1, M is a direct sum of irreducible representations
of the form Vd for d a non-negative integer. The explicit description of the
representations of the form Vd for d a non-negative integer implies that if more
than one such representation Vd occurs in the decomposition of M , then either
some hα eigenspace is at least two-dimensional, or the hα eigenvalues do not
 75

all have the same parity. It follows that M is irreducible, and there exists a
non-negative integer such that M ∼= Vd . The explicit description of Vd implies
that
Md
M= M (d − 2n)
n=0

where
M (n) = {x ∈ M : hα x = nx}
for n ∈ {0, . . . , d}, and that each of the hα eigenspaces M (d − 2n) for n ∈
{0, . . . , d} is one-dimensional. Now consider the set

{k ∈ Z : β + kα ∈ Φ}.

This set is non-empty since it contains 0. Let

k ∈ {k ∈ Z : β + kα ∈ Φ}

Then Lβ+kα 6= 0, and from above β(hα ) + 2k is an eigenvalue for hα . This

implies that there exists n ∈ {0, . . . , d} such that d − 2n = β(hα ) + 2k. Solving
for k, we obtain k = (d − β(hα ))/2 − n. It follows that

q = (d − β(hα ))/2

is an integer; since k may assume the value 0, we also see that q is non-negative.
Continuing, we have

d ≥ n ≥ 0,
−d ≤ −n ≤ 0,
q−d≤q−n≤q
−(d − q) ≤ k ≤ q,
−r ≤ k ≤ q,

where r = d − q. Since k may assume the value 0, r is a non-negative integer.

We have proven that

{k ∈ Z : β + kα ∈ Φ} ⊂ {k ∈ Z : −r ≤ k ≤ q}.

Now
#{k ∈ Z : β + kα ∈ Φ} = dim M = dim Vd = d + 1.
Also,

#{k ∈ Z : −r ≤ k ≤ q} = q − (−r) + 1
=q+r+1
=q+d−q+1
= d + 1.
76 CHAPTER 7. THE ROOT SPACE DECOMPOSITION

It follows that

{k ∈ Z : β + kα ∈ Φ} = {k ∈ Z : −r ≤ k ≤ q},

as desired. Finally,

r − q = d − q − q = d − 2q = d − (d − β(hα )) = β(hα ).

This completes the proof of 2.

Proof of 3. Assume that α + β ∈ Φ. We have that α + β 6= 0, Lα+β is
non-zero, and Lα+β is spanned by eα+β . To prove 3, it will suffice to prove that
[eα , eβ ] is non-zero because by 1 of Proposition 7.0.3 we have [eα , eβ ] ∈ Lα+β .
Assume that [eα , eβ ] = 0; we will obtain a contradiction. Let M be as in the
proof of 2. Now eβ ∈ Lβ ⊂ M ; also, it was proven that M ∼ = Vd . Since
[eα , eβ ] = 0, by the structure of Vd , we have [hα , eβ ] = deβ . On the other hand,
since eβ ∈ Lβ , we have [hα , eβ ] = β(hα )eβ . It follows that d = β(hα ). This
implies that q = 0. By 2, we therefore have

1∈
/ {k ∈ Z : β + kα ∈ Φ}.

This contradicts the assumption that α + β ∈ Φ.

Proof of 4. We have

−r ≤ q − r ≤ q,
−r ≤ −(r − q) ≤ q,
−r ≤ −β(hα ) ≤ q.

Here, r − q = β(hα ) by 2. It now follows from 2 that β − β(hα )α ∈ Φ.

Proposition 7.0.10. Let F have characteristic zero and be algebraically closed.

Let L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L, and let the notation be as in Proposition 7.0.3.

1. If h ∈ H is non-zero, then there exists α ∈ Φ such that α(h) 6= 0.

2. The elements of Φ span H ∨ .

Proof. Proof of 1. Let h ∈ H be non-zero. Assume that α(h) = 0 for all α ∈ Φ.

Let α ∈ Φ. Then [h, Lα ] ⊂ α(h)Lα = 0. It follows that [h, x] = 0 for all x ∈ L.
Hence, h ∈ Z(L) = 0; this is a contradiction.
Proof of 2. Let W be the span in H ∨ of the elements of Φ. Assume that
W 6= H ∨ ; we will obtain a contradiction. Since W is a proper subspace of H ∨ ,
there exists a non-zero linear functional f : H ∨ → F such that f (W ) = 0. Since
the natural map H → (H ∨ )∨ is an isomorphism, there exists h ∈ H such that
f (λ) = λ(h) for all λ ∈ H ∨ . Now h 6= 0 because f is non-zero. If λ ∈ W , then
λ(h) = f (λ) = 0. This contradicts 1.
 77

Let F have characteristic zero and be algebraically closed. Let L be a semi-

simple finite-dimensional Lie algebra over F . Let H be a Cartan subalgebra of
L, and let the notation be as in Proposition 7.0.3. Consider the F -linear map

H −→ H ∨ (7.1)

defined by h 7→ κ(·, h). By 3 of Proposition 7.0.3 and Corollary 7.0.6, this map
is injective, i.e., the restriction of the Killing form to H is non-degenerate; since
both F -vector spaces have the same dimension, it is an isomorphism. There is
thus a natural isomorphism between H and H ∨ . In particular, for every root
α ∈ Φ there exists tα ∈ H such that

α(x) = κ(x, tα )

for x ∈ H.
Lemma 7.0.11. Let F have characteristic zero and be algebraically closed. Let
L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L, and let the notation be as in Proposition 7.0.3. Let α ∈ Φ.
1. For x ∈ Lα and y ∈ L−α we have

[x, y] = κ(x, y)tα .

In particular,
hα = [eα , fα ] = κ(eα , fα )tα .

2. We have
2
hα = tα .
κ(tα , tα )
and
κ(tα , tα )κ(hα , hα ) = 4.

3. If β ∈ Φ, then
2(α, β)
= β(hα ).
(α, α)

Proof. 1. Let h ∈ H, x ∈ Lα and y ∈ L−α . We need to prove that [x, y] −

κ(x, y)tα = 0. Now by 1 of Proposition 7.0.3 we have [x, y] ∈ L0 , and H = L0
by Corollary 7.0.6. Thus, [x, y] ∈ H. It follows that [x, y] − κ(x, y)tα is in H.
Let h ∈ H. Then

κ(h, [x, y] − κ(x, y)tα ) = κ(h, [x, y]) − κ(h, κ(x, y)tα )
= κ([h, x], y) − κ(x, y)κ(h, tα )
= κ(α(h)x, y) − κ(x, y)α(h)
= α(h)κ(x, y) − κ(x, y)α(h)
= 0.
78 CHAPTER 7. THE ROOT SPACE DECOMPOSITION

Since this holds for all h ∈ H, and since the restriction of the Killing form to
H is non-degenerate, we obtain [x, y] − κ(x, y)tα = 0. This proves the first and
second assertions.
2. We first note that

2 = α(hα )
= κ(hα , tα )
= κ(κ(eα , fα )tα , tα )
2 = κ(eα , fα )κ(tα , tα )
2
= κ(eα , fα ).
κ(tα , tα )
The first claim of 2 now follows now from 1 by substitution. Next, we have:
2 2
κ(hα , hα ) = κ( tα , tα )
κ(tα , tα ) κ(tα , tα )
22
= κ(tα , tα )
κ(tα , tα )2
4
= .
κ(tα , tα )
3. Using the definition of (·, ·) and tα and tβ , we have
2(α, β) 2κ(tα , tβ )
=
(α, α) κ(tα , tα )
2
= · κ(tα , tβ )
κ(tα , tα )
= κ(eα , fα ) · κ(tα , tβ )
= κ(κ(eα , fα ) · tα , tβ )
= κ(hα , tβ )
= β(hα ).

This completes the proof.

We note that by 2 of Lemma 7.0.11 the element hα is determined soley by
tα , which in turn is canonically determined by the Killing form.
Proposition 7.0.12. Let F have characteristic zero and be algebraically closed.
Let L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L, and let the notation be as in Proposition 7.0.3. If α, β ∈ Φ,
then κ(hα , hβ ) ∈ Z and κ(tα , tβ ) ∈ Q.
Proof. We begin by considering the matrix of the linear operator ad(hα ) = [hα , ·]
with respect to the decomposition
M
L=H⊕ Lγ .
γ∈Φ
 79

Since H is abelian, ad(hα ) acts by zero on H. If γ ∈ Φ, then ad(hα ) acts by

multiplication by γ(hα ) on Lγ (by the definition of Lγ ). It follows that the
matrix of ad(hα ), with respect to the above decomposition, is:
 
0
 .. 

 . 
.

 γ(hα ) 

..
.

Therefore, the matrix of ad(hα ) ◦ ad(hβ ) is

 
0
 .. 

 . 
.

 γ(hα )γ(hβ ) 

..
.
This implies that
X
κ(hα , hβ ) = tr(ad(hα ) ◦ ad(hβ )) = γ(hα )γ(hβ ).
γ∈Φ

By 1 of Proposition 7.0.9 the product γ(hα )γ(hβ ) is in Z for all γ ∈ Φ. This

implies that κ(hα , hβ ) ∈ Z. Next, using Lemma 7.0.11,
κ(tα , tβ ) = κ(2−1 κ(tα , tα )hα , 2−1 κ(tβ , tβ )hβ )
= 4−1 κ(tα , tα )κ(tβ , tβ )κ(hα , hβ )
4 4
= 4−1 κ(hα , hβ )
κ(hα , hα ) κ(hβ , hβ )
4κ(hα , hβ )
= .
κ(hα , hα )κ(hβ , hβ )
This completes the proof.
Let F have characteristic zero and be algebraically closed. Let L be a semi-
simple finite-dimensional Lie algebra over F . Let H be a Cartan subalgebra of L,
and let the notation be as in Proposition 7.0.3. We introduce a non-degenerate
F -symmetric bilinear form (·, ·) on H ∨ via the isomorphism
∼
H −→ H ∨
from (7.1). If α, β ∈ Φ, then we have
(α, β) = κ(tα , tβ ),
and by Proposition 7.0.12,
(α, β) ∈ Q.
Let K be a subfield of F . Evidently, Q ⊂ K. We define VK to be the K-subspace
of H ∨ generated by Φ.
80 CHAPTER 7. THE ROOT SPACE DECOMPOSITION

Proposition 7.0.13. Let F have characteristic zero and be algebraically closed.

Let L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L, and let the notation be as in Proposition 7.0.3. Let {α1 , . . . , α` }
be an F -basis for H ∨ with α1 , . . . , α` ∈ Φ; such a basis exists by 2 of Proposition
7.0.10. Let β ∈ Φ, and write

β = c1 α1 + · · · + c` α`

for c1 , . . . , c` ∈ F . Then c1 , . . . , c` ∈ Q.
Proof. Let i ∈ {1, . . . , `}. Then

(αi , β) = c1 (αi , α1 ) + · · · + c` (αi , α` ).

It follows that    
(α1 , β) c1
 ..   .. 
 . =S . 
(α` , β) c`
where  
(α1 , α1 ) · · · (α1 , α` )
S= .. ..
.
 
. .
(α` , α1 ) ··· (α` , α` )
Since (·, ·) is a non-degenerate symmetric bilinear form the matrix S is invertible.
Therefore,    
(α1 , β) c1
S −1  ...  =  ...  .
   

(α` , β) c`
By the remark preceding the proposition the entries of all the matrices on the
left are in Q; hence, c1 , . . . , c` ∈ Q.
Proposition 7.0.14. Let F have characteristic zero and be algebraically closed.
Let L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L, and let the notation be as in Proposition 7.0.3. As a Lie algebra,
L is generated by the root spaces Lα for α ∈ Φ.
Proof. By the decomposition
M
L=H⊕ Lα
α∈Φ

that follows from Proposition 7.0.3 and Corollary 7.0.6 it suffices to prove that
H is contained in the F -span of the F -subspaces [Lα , L−α ] for α ∈ Φ. By the
discussion preceding Proposition 7.0.8, the elements hα for α ∈ Φ are contained
in this F -span. By Lemma 7.0.11, this F -span therefore contains the elements tα
for α ∈ Φ. By Lemma 7.0.10, the linear forms α ∈ Φ span H ∨ ; this implies that
the elements tα for α ∈ Φ span H. The F -span of the F -subspaces [Lα , L−α ]
for α ∈ Φ therefore contains H.
7.1. AN ASSOCIATED INNER PRODUCT SPACE 81

7.1 An associated inner product space

Let F be algebraically closed and have characteristic zero. Then Q ⊂ F .

Lemma 7.1.1. Let V0 be a finite-dimensional vector space over Q, and assume

that (·, ·)0 : V0 × V0 → Q is a positive-definite, symmetric bilinear form. Let
V = R ⊗Q V0 , so that V is an R vector space. Let (·, ·) : V × V → R be the
symmetric bilinear form determined by the condition that

(a ⊗ v, b ⊗ w) = ab(v, w)0

for a, b ∈ R and v, w ∈ V0 . The symmetric bilinear form (·, ·) is positive-definite.

Proof. Let v1 , . . . , vn be an orthogonal basis for the Q vector space V0 ; then

1 ⊗ v1 , . . . , 1 ⊗ vn is an orthogonal basis for the real vector space V . Let x ∈ V .
There exist a1 , . . . , an ∈ R such that

x = a1 (1 ⊗ v1 ) + · · · + an (1 ⊗ vn ) = a1 ⊗ v1 + · · · + an ⊗ vn .

We have
n
X
(x, x) = (ai ⊗ vi , aj ⊗ vj )
i,j=1
Xn
= ai aj (vi , vj )0
i,j=1
X n
= a2i (vi , vi )0 .
i=1

Since (·, ·)0 is positive-definite, (vi , vi )0 > 0 for i ∈ {1, . . . , n}. It follows that if
(x, x) = 0, then a1 = · · · = an = 0, so that x = 0.

Proposition 7.1.2. Let F be algebraically closed and have characteristic zero.

Let L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L, and let the notation be as in Proposition 7.0.3. Let V0 be the
Q subspace of H ∨ = HomF (H, F ) spanned by the elements of Φ. We have
dimQ V0 = dimF H ∨ . The restriction (·, ·)0 of the symmetric bilinear form on
H ∨ (which corresponds to the Killing form) to V0 × V0 takes values in Q and is
positive-definite.

Proof. Let {α1 , . . . , α` } ⊂ Φ be as in the statement of Proposition 7.0.13. Then

by Proposition 7.0.13 the set {α1 , . . . , α` } is a basis for the Q vector space V0 ,
and is also a basis for the F vector space H ∨ . Hence, dimQ V0 = dimF H ∨ =
dimF H.
To see that (·, ·)0 takes values in Q it suffices to see that (α, β) ∈ Q for
α, β ∈ Φ. This follows from Proposition 7.0.12.
82 CHAPTER 7. THE ROOT SPACE DECOMPOSITION

Let y ∈ V0 . Regard y as an element of H ∨ . Let h be the element of H

∼
corresponding to y under the isomorphism H −→ H ∨ . By Corollary 7.0.6 and
Proposition 7.0.8 we have M
L=H⊕ Lα
α∈Φ

and each of the subspaces Lα is one-dimensional. Moreover, ad(h) acts by 0 on

H and by α(h) on Lα for α ∈ Φ. It follows that

(y, y) = κ(h, h)
= tr(ad(h) ◦ ad(h))
X
= α(h)2
α∈Φ
X
= κ(tα , h)2
α∈Φ
X
= (α, y)2 .
α∈Φ

Since (α, y) ∈ R for α ∈ Φ, we have (y, y) ≥ 0. Assume that (y, y) = 0. By the

above formula for (y, y) we have that α(h) = κ(tα , h) = (α, y) = 0 for all α ∈ Φ,
or equivalently, α(h) = 0 for all α ∈ Φ. By Proposition 7.0.10, this implies that
h = 0, so that y = 0.
Chapter 8

Root systems

8.1 The definition

Let V be a finite-dimensional vector space over R, and fix an inner product
(·, ·) on V . By definition, (·, ·) : V × V → R is a symmetric bilinear form such
that (x, x) > 0 for all non-zero x ∈ V . Let v ∈ V be non-zero. We define the
reflection determined by v to be the unique R linear map sv : V → V such
that sv (v) = −v and sv (w) = w for all w ∈ (Rv)⊥ . A calculation shows that sv
is given by the formula
2(x, v)
sv (x) = x − v
(v, v)
for x ∈ V . Another calculation also shows that sv preserves the inner product
(·, ·), i.e.,
(sv (x), sv (y)) = (x, y)
for x, y ∈ V ; that is, sv is in the orthogonal group O(V ). Evidently,

det(sv ) = −1.

We will write
2(x, y)
hx, yi =
(y, y)
for x, y ∈ V . We note that the function h·, ·i : V × V → R is linear in the first
variable; however, this function is not linear in the second variable. We have

sv (x) = x − hx, viv

for x ∈ V .
Let R be a subset of V . We say that R is a root system if R satisfies the
following axioms:

(R1) The set R is finite, does not contain 0, and spans V .

83
84 CHAPTER 8. ROOT SYSTEMS

(R2) If α ∈ R, then α and −α are the only scalar multiples of α that are
contained in R.

(R3) If α ∈ R, then sα (R) = R, so that sα permutes the elements of R.

(R4) If α, β ∈ R, then hα, βi ∈ Z.

8.2 Root systems from Lie algebras

Let F be algebraically closed and have characteristic zero. Let L be a semi-
simple Lie algebra over F . Let H be a Cartan subalgebra of L, and let
M
L = L0 ⊕ Lα
α∈Φ

be the root space decomposition of L with respect to L. Here, for a F linear

functional f : H → F ,

Lf = {x ∈ L : [h, x] = f (h)x for all h ∈ H}.

In particular,
L0 = {x ∈ L : [h, x] = 0 for all h ∈ H}.
Here, Φ is the subset of α in

H ∨ = HomF (H, F )

such that Lα 6= 0. The elements of Φ are called the roots of L with respect to
H. By Corollary 7.0.6 we have L0 = H so that in fact
M
L=H⊕ Lα .
α∈Φ

Previously, we proved that the F subspaces Lα for α ∈ Φ are one-dimensional

(Proposition 7.0.8). We also proved that the restriction of the Killing form κ to
H is non-degenerate (Proposition 7.0.3 and Corollary 7.0.6). Thus, there is an
induced F linear isomorphism
∼
H −→ H ∨ .

Via this isomorphism, we defined an F symmetric bilinear form on H ∨ (by

transferring over the Killing form via the isomorphism). Let

V0 = Q span of Φ in H ∨ .

By Proposition 7.1.2, we have

dimQ V0 = dimF H ∨ = dimF H,

8.3. BASIC THEORY OF ROOT SYSTEMS 85

and the restriction (·, ·)0 of the symmetric bilinear form on H ∨ to V0 is an inner
product, i.e., is positive definite, and is Q valued. Let
V = R ⊗Q V 0 ,
so that V is an R vector space, and define an R symmetric bilinear form (·, ·) on
V by declaring (a ⊗ v, b ⊗ w) = ab(v, w)0 for a, b ∈ R and v, w ∈ V0 . By Lemma
7.1.1, we have that (·, ·) is positive-definite.
Proposition 8.2.1. Let the notation be as in the discussion preceding the propo-
sition. The subset Φ of the inner product space V is a root system.
Proof. It is clear that (R1) is satisfied. (R2) is satisfied by Proposition 7.0.8.
To see that (R3) is satisfied, let α, β ∈ Φ. Then by 3 of Lemma 7.0.11,
2(β, α)
sα (β) = β − α = β − β(hα )α.
(α, α)
By 4 of Proposition 7.0.9 we have β − β(hα )α ∈ Φ. It follows that sα (β) ∈ Φ,
so that (R3) is satisfied. To prove that (R4) holds, again let α, β ∈ Φ. We have
2(α, β)
hα, βi = .
(β, β)
By 3 of Lemma 7.0.11 we have
2(α, β)
= α(hβ ).
(β, β)
Finally, by 1 of Proposition 7.0.9, this quantity is an integer. This proves
(R4).

8.3 Basic theory of root systems

Let V be a finite-dimensional vector space over R equipt with an inner product
(·, ·). The Cauchy-Schwartz inequality asserts that
|(x, y)| ≤ kxkkyk
for x, y ∈ V . It follows that if x, y ∈ V are nonzero, then
(x, y)
−1 ≤ ≤ 1.
kxkkyk
If x, y ∈ V are nonzero, then we define the angle between x and y to be the
unique number 0 ≤ θ ≤ π such that
(x, y) = kxkkyk cos θ.
The inner product measures the angle between two vectors, though it is a bit
more complicated in that the lengths of x and y are also involved. The term
“angle” does make sense geometrically. For example, suppose that V = R2 and
we have:
86 CHAPTER 8. ROOT SYSTEMS

θ
y

Project x onto y, to obtain ty:

z x

θ
y
ty

Then we have
x = z + ty.
Taking the inner product with y, we get

(x, y) = (z, y) + (ty, y)

(x, y) = 0 + t(y, y)
(x, y) = tkyk2
(x, y)
t = .
kyk2

On the other hand,

ktyk
cos θ =
kxk
kyk
cos θ = t
kxk
kxk
t = cos θ.
kyk

If we equate the two formulas for t we get (x, y) = kxkkyk cos θ. We say that
two vectors are orthogonal if (x, y) = 0; this is equivalent to the angle between
x and y being π/2. If (x, y) > 0, then we will say that x and y form an acute
angle; this is equivalent to 0 < θ < π/2. If (x, y) < 0, then we will say that x
and y form an obtuse angle; this is equivalent to π/2 < θ ≤ π.
Non-zero vectors also define some useful geometric objects. Let v ∈ V be
non-zero. We may consider three sets that partition V :

{x ∈ V : (x, v) > 0}, P = {x ∈ V : (x, v) = 0}, {y ∈ V : (x, v) < 0}.

8.3. BASIC THEORY OF ROOT SYSTEMS 87

The first set consists of the vectors that form an acute angle with v, the middle
set is the hyperplane P orthogonal to Rv, and the last set consists of the vectors
that form an obtuse angle with v. We refer to the first and last sets as the half-
spaces defined by P . Of course, v lies in the first half-space. The formula for
the reflection sv shows that

(sv (x), v) = −(x, v)

for x in V , so that S sends one half-space into the other half-space. Also, S
acts by the identity on P . Multiplication by −1 also sends one half-space into
the other half-space; however, while multiplication by −1 preserves P , it is not
the identity on P .

Lemma 8.3.1. Let V be a vector space over R with an inner product (·, ·).
Let x, y ∈ V and assume that x and y are both non-zero. The following are
equivalent:

1. The vectors x and y are linearly dependent.

2. We have (x, y)2 = (x, x)(y, y) = kxk2 kyk2 .

3. The angle between x and y is 0 or π.

Proof. 1 =⇒ 2. This clear.

2 =⇒ 3. Let θ be the angle between x and y. We have

(x, y)2 = kxk2 kyk2 cos2 θ

Assume that (x, y)2 = (x, x)(y, y) = kxk2 kyk2 . Then (x, y)2 = kxk2 kyk2 6= 0,
and cos2 θ = 1, so that cos θ = ±1. This implies that θ = 0 or θ = π/2.
3 =⇒ 2. Assume that the angle θ between x and y is 0 or π. Then
cos2 θ = 1. Hence, (x, y)2 = kxk2 kyk2 .
2 =⇒ 1. Suppose that (x, y)2 = (x, x)(y, y). We have

(x, y) (x, y) (x, y) (x, y)2

(y − x, y − x) = (y, y) − 2 (x, y) + (x, x)
(x, x) (x, x) (x, x) (x, x)2
(x, y)2 (x, y)2
= (y, y) − 2 +
(x, x) (x, x)
2
(x, y)
= (y, y) −
(x, x)
(x, x)(y, y)
= (y, y) −
(x, x)
= 0.

(x,y)
It follows that y − (x,x) x = 0, so that x and y are linearly dependent.
88 CHAPTER 8. ROOT SYSTEMS

Lemma 8.3.2. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let R be a root system in V . Let α, β ∈ R, and
assume that α 6= ±β. Then
hα, βihβ, αi ∈ {0, 1, 2, 3}.
Proof. Let θ be the angle between α and β. We have
2(α, β) 2(β, α)
hα, βihβ, αi =
(β, β) (α, α)
4(α, β)2
=
kαk2 kβk2
hα, βihβ, αi = 4 cos2 θ.
Since hα, βihβ, αi is an integer, the above equality implies that 4 cos2 θ is an
integer. Since 0 ≤ cos2 θ ≤ 1, we must have
hα, βihβ, αi = 4 cos2 θ ∈ {0, 1, 2, 3, 4}.
We claim that 4 cos2 θ = 4 is impossible. Assume that 4 cos2 θ = 4; then
cos2 θ = 1. This implies that θ = 0 or θ = π. By Lemma 8.3.1 it follows that
α and β are linearly dependent, and consequently that β is a scalar multiple of
α. By (R2), we must have β = ±α; this is a contradiction.
Lemma 8.3.3. Let V be a finite-dimensional vector space over R equipt with an
inner product (·, ·), and let R be a root system in V . Let α, β ∈ R, and assume
that α 6= ±β and kβk ≥ kαk. Let θ be the angle between α and β. Exactly one
of the following possibilities holds:

kβk
angle type θ cos θ hα, βi hβ, αi kαk
√ √
π/6 = 30◦ 3/2 1 3 3
√ √
strictly acute π/4 = 45◦ 2/2 1 2 2

π/3 = 60◦ 1/2 1 1 1

right π/2 = 90◦ 0 0 0 not determined

2π/3 = 120◦ −1/2 −1 −1 1

√ √
strictly obtuse 3π/4 = 135◦ − 2/2 −1 −2 2
√ √
5π/6 = 150◦ − 3/2 −1 −3 3

Proof. By the assumption kβk ≥ kαk we have (β, β) = kβk2 ≥ (α, α) = kαk2 ,
so that
2|(β, α)| 2|(α, β)|
|hβ, αi| = ≥ = |hα, βi|.
(α, α) (β, β)
8.3. BASIC THEORY OF ROOT SYSTEMS 89

By (R4) we have that hα, βi and hβ, αi are integers, and by Lemma 8.3.2 we
have hα, βihβ, αi ∈ {0, 1, 2, 3}. These facts imply that the possibilities for hα, βi
and hβ, αi are as in the table.
Assume first that hβ, αi = hα, βi = 0. From above, hα, βihβ, αi = 4 cos2 θ.
It follows that cos θ = 0, so that θ = π/2 = 90◦ .
Assume next that hβ, αi = 6 0. Now
hβ, αi 2(β, α) (β, β) (β, β)
= = ,
hα, βi (α, α) 2(α, β) (α, α)
hβ,αi
so that hα,βi is positive and
s
hβ, αi kβk
= ,
hα, βi kαk

This yields the kβk/kαk column. Finally,

2(α, β)
hα, βi =
(β, β)
2kαkkβk cos θ
=
kβk2
kαk
hα, βi = 2 cos θ
kβk

so that
1 kβk
cos θ = hα, βi.
2 kαk
This gives the cos θ column.
Lemma 8.3.4. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let R be a root system in V . Let α, β ∈ R. Assume
that α 6= ±β and kβk ≥ kαk.
1. Assume that the angle θ between α and β is strictly obtuse, so that by
Lemma 8.3.3 we have θ = 2π/3 = 120◦ , θ = 3π/4 = 135◦ , or θ = 5π/6 =
150◦ . Then α + β ∈ R. Moreover,

θ = 3π/4 = 135◦ =⇒ 2α + β ∈ R,
θ = 5π/6 = 150◦ =⇒ 3α + β ∈ R.

2. Assume that the angle between α and β is strictly acute, so that by Lemma
8.3.3 we have θ = π/6 = 30◦ , θ = π/4 = 45◦ , or θ = π/3 = 60◦ . Then
−α + β ∈ R. Moreover,

θ = π/4 = 45◦ =⇒ −2α + β ∈ R,

θ = π/3 = 60◦ =⇒ −3α + β ∈ R.
90 CHAPTER 8. ROOT SYSTEMS

Proof. 1. By (R3), we have sβ (α) = α − hα, βiβ ∈ R. Since the angle between α
and β is strictly obtuse, by Lemma 8.3.3 we have that hα, βi = −1. Therefore,
α + β ∈ R. Assume that θ = 3π/4 = 135◦ . By Lemma 8.3.3 we hβ, αi = −2.
Hence, sα (β) = β − hβ, αiα = β + 2α ∈ R. The case when θ = 5π/6 = 150◦ is
similar.
2. By (R3), we have sβ (α) = α − hα, βiβ ∈ R. Since the angle between α
and β is strictly acute, by Lemma 8.3.3 we have that hα, βi = 1. Therefore,
α − β ∈ R. Hence, −α + β ∈ R. Assume that θ = π/4 = 45◦ . By Lemma
8.3.3 we hβ, αi = 2. Hence, sα (β) = β − hβ, αiα = β − 2α ∈ R. The case
θ = π/3 = 60◦ is similar.
Proposition 8.3.5. Let V = R2 equipt with the usual inner product (·, ·), and
let R be a root system in V . Let ` be the length of the shortest root in R. Let S
be the set of pairs (α, β) of non-colinear roots such that kαk = ` and the angle
θ between α and β is obtuse, and β is to the left of α. The set S is non-empty.
Fix a pair (α, β) in S such that θ is maximal. Then
1. (A2 root system) If θ = 120◦ (so that kαk = kβk by Proposition 8.3.3),
then R, α, and β are as follows:

β α+β

60◦
60◦ 60◦
−α α
◦ ◦
60 60
60◦

−α − β −β

√
2. (B2 root system) If θ = 135◦ (so that kβk = 2kαk by Proposition 8.3.3),
then R, α, and β are as follows:

β α+β 2α + β

45◦ 45◦
◦
45 45◦
−α α
45◦ 45◦
45◦ 45◦

−2α − β −α − β −β
8.3. BASIC THEORY OF ROOT SYSTEMS 91
√
3. (G2 root system) If θ = 150◦ (so that kβk = 3kαk by Proposition 8.3.3),
then R, α, and β are as follows:

3α + 2β

β α+β 2α + β 3α + β

30◦ 30◦
30 ◦ 30◦
30◦ 30◦
−α α
30◦ 30◦
30◦ 30◦
30◦ 30◦

−3α − β −2α − β −α − β −β

−3α − 2β

4. (A1 × A1 root system) If θ = 90◦ (so that the relationship between kβk
and kαk is not determined by Proposition 8.3.3), then R, α, and β are as
follows:

90◦ 90◦
−α α
90◦ 90◦

−β

Proof. Let (α, β) be a pair of non-colinear roots in R such that kαk = `; such
a pair must exist because R contains a basis which includes α. If the angle
between α and β is acute, then the angle between α and −β is obtuse. Thus,
there exists a pair of roots (α, β) in R such that kαk = ` and the angle between
α and β is obtuse. If β is the right of α, then −β forms an acute angle with
92 CHAPTER 8. ROOT SYSTEMS

α and is to the left of α; in this case, sα (β) forms an obtuse angle with α and
sα (β) is to the left of β. It follows that S is non-empty.
Assume that θ = 120◦ , so that kαk = kβk by Lemma 8.3.3. By Lemma
8.3.4, α + β ∈ R. It follows that α, β, α + β, −α, −β, −α − β ∈ R. By geometry,
kα + βk = kαk = kβk. It follows that R contains the vectors in 1. Assume
that R contains a root γ other than α, β, α + β, −α, −β, −α − β. By Lemma
8.3.3 we see that γ must lie halfway between two adjacent roots from α, β, α +
β, −α, −β, −α − β. This implies that θ is not √ maximal, a contradiction.
Assume that θ = 135◦ , so that kβk = 2kαk by Lemma 8.3.3. By Lemma
8.3.4, we have α + β, 2α + β ∈ R. It follows that R contains α, β, α + β, 2α +
β, −α, −β, −α − β, −2α − β, so that R contains the vectors in 2. Assume that
R contains a root γ other than α, β, α + β, 2α + β, −α, −β, −α − β, −2α − β.
Then γ must make an angle strictly less than 30◦ with one of α, β, α + β, 2α +
β, −α, −β, −α − β, −2α − β. This is impossible√ by Lemma 8.3.3.
Assume that θ = 150◦ , so that kβk = 3kαk by Lemma 8.3.3. By Lemma
8.3.4 we have α + β, 3α + β ∈ R. By geometry, the angle between α and 3α + β
is 30◦ . By Lemma 8.3.3, −α + (3α + β) = 2α + β ∈ R. By geometry, the angle
between β and 3α + β is 120◦ . By Lemma 8.3.3, β + 3α + β = 3α + 2β ∈ R. It
now follows that R contains the vectors in 3. Assume that R contains a vector
γ other than α, β, α + β, 2α + β, 3α + β, 3α + 2β, −α, −β, −α − β, −2α − β, −3α −
β, −3α −2β. Then Then γ must make an angle strictly less than 30◦ with one of
α, β, α + β, 2α + β, 3α + β, 3α + 2β, −α, −β, −α − β, −2α − β, −3α − β, −3α − 2β.
This is impossible by Lemma 8.3.3.
Finally, assume that θ = 90◦ . Assume that R contains a root γ other than
α, β, −α, −β. Arguing as in the first paragraph, one can show that the set S
contains a pair with θ larger than 90◦ ; this is a contradiction. Thus, R is as in
4.

8.4 Bases
Let V be a finite-dimensional vector space over R equipt with an inner product
(·, ·), and let R be a root system in V . Let B be a subset of R. We say that B
is a base for R if
(B1) B is a basis for the R vector space V .
(B2) Every element α ∈ R can be written in the form
X
α= c(β)β
β∈B

where the coefficients c(β) for β ∈ B are all integers of the same sign (i.e.,
either all greater than or equal to zero, or all less than or equal to zero).
Assume that B is a base for R. We define
 
α is a linear combination of β ∈ B
R+ = α ∈ R : ,
with non-negative coefficients
8.4. BASES 93
 
α is a linear combination of β ∈ B
R− = α∈R: .
with non-positive coefficients

We have
R = R+ t R− .
We refer to R+ as the set of positive roots with respect to B and R− as the
set of negative roots with respect to B. If α ∈ R is written as in (B2), then
we define the height of α to be the integer
X
ht(α) = c(β).
β∈B

Let V be a finite-dimensional vector space over R equipt with an inner

product (·, ·), and let R be a root system in V . Let v ∈ V be non-zero. We will
say that v is regular with respect to R if (v, α) 6= 0 for all α ∈ R, i.e., if v does
not lie on any of the hyperplanes

Pα = {x ∈ V : (x, α) = 0}

for α ∈ R. If v is not regular, then we say that v is singular with respect to R.

Evidently, v is regular with respect to R if and only if

v ∈ V − ∪α∈R Pα .

We denote by Vreg the set of all vectors in V that are regular with respect to R,
so that
Vreg (R) = V − ∪α∈R Pα .
Evidently, Vreg (R) is an open subset of V ; however, it is not entirely obvious
that Vreg (R) is non-empty.

Lemma 8.4.1. Let V be a finite-dimensional vector space over R, and let

U1 , . . . , Un be proper subspaces of V . Define U = ∪ni=1 Ui . If Ui is a proper
subset of U for all i ∈ {1, . . . , n}, then U is not a subspace of V .

Proof. Assume that Ui is a proper subset of U for all i ∈ {1, . . . , n}. Since Ui is
a proper subset of U for all i ∈ {1, . . . , n} we must have n ≥ 2. After replacing
the collection of Ui for i ∈ {1, . . . , n} with a subcollection, we may assume that
Ui * Uj and Uj * Ui for i, j ∈ {1, . . . , n}, i 6= j. We will prove that U is not a
subspace for collections of proper subspaces U1 , . . . , Un with n ≥ 2 and such that
that Ui * Uj and Uj * Ui for i, j ∈ {1, . . . , n} by induction on n. Assume that
n = 2 and that U = U1 ∪ U2 is a subspace; we will obtain a contradiction. Since
U1 * U2 and U2 * U1 , there exist u2 ∈ U2 such that u2 ∈ / U1 and u1 ∈ U1 such
that u1 ∈/ U2 . Since U is a subspace we have u1 + u2 ∈ U . Hence, u1 + u2 ∈ U1
or u1 + u2 ∈ U2 . If u1 + u2 ∈ U1 , then u2 ∈ U1 , a contradiction; similary, if
u1 + u2 ∈ U2 , then u1 ∈ U2 , a contradiction. Thus, the claim holds if n = 2.
Suppose that n ≥ 3 and that the claim holds for n − 1; we will prove that
the claim holds for n. We argue by contradiction; assume that U is a subspace.
94 CHAPTER 8. ROOT SYSTEMS

We first note that U1 * ∪ni=1,i6=1 Ui ; otherwise, U = ∪ni=1,i6=1 Ui is a subspace,

contradicting the induction hypothesis. Similarly, U2 * ∪ni=1,i6=2 Ui . Let u1 ∈ U1
be such that u1 ∈ / ∪ni=1,i6=1 Ui and let u2 ∈ U2 be such that u2 ∈
/ ∪ni=1,i6=2 Ui . Let
λ1 , . . . , λn−1 be distinct non-zero elements of R. The n − 1 vectors

u1 + λ1 u2 , u1 + λ2 u2 , ..., u1 + λn u2

are all contained in U , and hence must each lie in some Ui with i ∈ {1, . . . , n}.
However, no such vector can be in U1 because otherwise u2 ∈ U1 ; similarly, no
such vector can be in U2 . By the pigeonhole principle, this means that there exist
distinct j, k ∈ {2, . . . , n} and i ∈ {3, . . . , n} such that u1 + λj u2 , u1 + λk u2 ∈ Ui .
It follows that (λj − λk )u2 ∈ Ui , so that u2 ∈ Ui . This is a contradiction.

Lemma 8.4.2. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let R be a root system in V . Assume that dim V ≥ 2.
There exists a v ∈ V such that v is regular with respect to R, i.e., Vreg (R) is
non-empty.

Proof. Assume that there exists no v ∈ V such that v is regular with respect
to R; we will obtain a contradiction. Since no regular v ∈ V exists, we have
V = ∪α∈R Pα . Since dim V ≥ 2, and since R contains a basis for V over R, it
follows that #R ≥ 2. Also, dim Pα = dim V − 1 for all α ∈ R. We now have a
contradiction by Lemma 8.4.1.

Assume that v is regular with respect to R. As we have mentioned before,

v can be used to divide V into three components:

{x ∈ V : (x, v) = 0} : the hyperplane of vectors orthogonal to v,

{x ∈ V : (x, v) > 0} : the vectors that form a strictly acute angle with v,
{x ∈ V : (x, v) < 0} : the vectors that form a strictly obtuse angle with v.

We will write

R+ (v) = {α ∈ R : (α, v) > 0},

R− (v) = {α ∈ R : (α, v) < 0}.

Evidently,
R = R+ (v) t R− (v).
Let α ∈ R+ (v). We will say that α is decomposable if α = β1 + β2 for some
β1 , β2 ∈ R+ (v). If α is not decomposable we will say that α is indecomposable.
We define
B(v) = {α ∈ R+ (v) : α is indecomposable}.

Lemma 8.4.3. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let R be a root system in V . Let v ∈ V be regular
with respect to R (such a v exists by Lemma 8.4.2). The set B(v) is non-empty.
8.4. BASES 95

Proof. Assume that B(v) is empty; we will obtain a contradiction. Let α ∈ R+

be such that (v, α) is minimal. Since α is decomposable, there exist α1 , α2 ∈ R+
such that α = α1 + α2 . Now

(v, α) = (v, α1 ) + (v, α2 ).

By the definition of R+ (v), the real numbers (v, α), (v, α1 ), and (v, α2 ) are all
positive. It follows that we must have (v, α) > (v, α1 ). This contradicts the
definition of α.

Lemma 8.4.4. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let R be a root system in V . Let v ∈ V be regular
with respect to R (such a v exists by Lemma 8.4.2). If α, β ∈ B(v) with α 6= β,
then the angle between α and β is obtuse, i.e., (α, β) ≤ 0.

Proof. Assume that the angle between α and β is strictly acute. With out loss
of generality, we may assume that kαk ≤ kβk. Since (v, α) > 0 and (v, β) > 0 we
must have α 6= −β. By Lemma 8.3.4 we have γ = −α + β ∈ R. Since γ ∈ R, we
also have −γ ∈ R. Since R = R+ (v)tR− (v), we have γ ∈ R+ (v) or −γ ∈ R+ (v).
Assume that γ ∈ R+ (v). We have γ+α = β with γ, α ∈ R+ (v). This contradicts
the fact that β is indecomposable. Similarly, the assumption that −γ ∈ R+ (v)
implies that α = γ + β, contradicting the fact that α is indecomposable. It
follows that the angle between α and β is obtuse, i.e., (α, β) ≤ 0.

Lemma 8.4.5. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·). Let v be a non-zero vector in V , and let B ⊂ V be a
finite set such that (v, α) > 0 for all α ∈ B. If (α, β) ≤ 0 for all α, β ∈ B, then
the set B is linear independent.

Proof. Assume that c(α) for α ∈ B are real numbers such that
X
0= c(α)α.
α∈B

We need to prove that c(α) = 0 for all α ∈ B. Suppose that c(α) 6= 0 for some
α ∈ B; we will obtain a contradiction. Since c(α) 6= 0 for some α ∈ B, we may
assume that, after possibly multiplying by −1, that there exists α ∈ B such
that c(α) > 0. Define X
x= c(α)α.
α∈B, c(α)>0

We also have X
x= (−c(β))β.
β∈B, c(β)<0

Therefore,
X X
(x, x) = ( c(α)α, (−c(β))β)
α∈B, c(α)>0 β∈B, c(β)<0
96 CHAPTER 8. ROOT SYSTEMS
X
(x, x) = c(α) · (−c(β))(α, β).
α∈B, c(α)>0
β∈B, c(β)<0

By assumption we have (α, β) ≤ 0 for α, β ∈ B. Therefore, (x, x) ≤ 0. This

implies that x = 0. Now
X
(v, x) = (v, c(α)α)
α∈B, c(α)>0
X
0= c(α)(v, α).
α∈B, c(α)>0

By the definition of B we have (v, α) > 0 for all α ∈ B. The last displayed
equation now yields a contradiction since the set of α ∈ B such that c(α) > 0
is non-empty.

Proposition 8.4.6. Let V be a finite-dimensional vector space over R equipt

with an inner product (·, ·), and let R be a root system in V . Let v ∈ V be
regular with respect to R (such a v exists by Lemma 8.4.2). The set B(v) is a
base for R, and the set of positive roots with respect to B(v) is R+ (v).

Proof. We will begin by proving that (B2) holds. Evidently, since R− (v) =
−R+ (v), to prove that (B2) holds it suffices to prove that every β ∈ R+ (v) can
be written as X
β= c(α)α, c(α) ∈ Z≥0 . (8.1)
α∈B(v)

Let S be the set of β ∈ R+ (v) for which (8.1) does not hold. We need to prove
that S is empty. Suppose that S is not empty; we will obtain a contradic-
tion. Let β ∈ S be such that (v, β) is minimal. Clearly, β ∈ / B(v), i.e., β is
decomposable. Let β1 , β2 ∈ R+ (v) be such that β = β1 + β2 . We have

(v, β) = (v, β1 ) + (v, β2 ).

By the definition of R+ (v), the real numbers (v, β), (v, β1 ), and (v, β2 ) are all
positive. It follows that we must have (v, β) > (v, β1 ) and (v, β) > (v, β2 ).
The definition of β implies that β1 ∈ / S and β2 ∈ / S. Hence, β1 and β2 have
expressions as in (8.1). It follows that β = β1 + β2 has an expression as in (8.1).
This contradiction implies that (B2) holds.
Now we prove that B(v) satisfies (B1). Since R spans V , and since every
element of R is a linear combination of elements of B(v) because B(v) satisfies
(B2), it follows that B(v) spans V . Finally, B(v) is linearly independent by
Lemma 8.4.4 and Lemma 8.4.5.

Lemma 8.4.7. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·). Let v1 , . . . , vn be a basis for V . There exists a vector
v ∈ V such that (v, v1 ) > 0, . . . , (v, vn ) > 0.
8.4. BASES 97

Proof. Let i ∈ {1, . . . , n}. The subspace Vi of V spanned by {v1 , . . . , vn } − {vi }

has dimension n − 1. It follows that the orthogonal complement Vi⊥ is one-
dimensional. Let wi ∈ V be such that Vi⊥ = Rwi . Evidently, by construction
we have (wi , vj ) = 0 for j ∈ {1, . . . , n}, j 6= i. This implies that (wi , vi ) 6= 0;
otherwise, wi is orthogonal to every element of V , contradicting the fact that
wi 6= 0. After possibly replacing wi with −wi , we may assume that (wi , vi ) > 0.
Consider the vector
v = w1 + · · · + wn .
Let i ∈ {1, . . . , n}. Then

(v, vi ) = (w1 + · · · + wn , vi ) = (wi , vi ) > 0.

It follows that v is the desired vector.

Lemma 8.4.8. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), let R be a root system in V , let B be a base for R, and
let R+ be the positive roots in R with respect to B. Let v ∈ V be regular with
respect R, and assume that R+ (v) = R+ . Then B(v) = B.

Proof. Let β ∈ B. By the assumption R+ (v) = R+ we have β ∈ R+ (v). We

claim that β is indecomposable as an element of R+ (v). Suppose not; we will
obtain a contradiction. Since β is decomposable there exist β1 , β2 ∈ R+ (v) such
that β = β1 + β2 . As R+ (v) = R+ and B is a base for R, we can write
X
β1 = c1 (α)α,
α∈B
X
β2 = c2 (α)α
α∈B

for some non-negative integers c1 (α), c2 (α), α ∈ B. This implies that

X

β= c1 (α) + c2 (α) α.
α∈B

Since B is a basis for V and β ∈ B, we obtain c2 (α) = −c1 (α) for α ∈ B, α 6= β,

and c2 (β) = 1 − c1 (α). As c1 (α) and c2 (α) are both non-negative for α ∈ B,
we get c1 (α) = c2 (α) = 0 for α ∈ B, α 6= β. Also, since c2 (β) = 1 − c1 (β) is
a non-negative integer, we must have 1 ≥ c1 (β); since c1 (β) is a non-negative
integer, this implies that c1 (β) = 0 or c1 (β) = 1. If c1 (β) = 0, then β1 = 0,
a contraction. If c1 (β) = 1, then c2 (β) = 0 so that β2 = 0; this is also a
contradiction. It follows that β is indecomposable with respect to v. Therefore,
B ⊂ B(v). Since #B = dim V = #B(v), we obtain B = B(v).

Proposition 8.4.9. Let V be a finite-dimensional vector space over R equipt

with an inner product (·, ·), and let R be a root system in V . If B is a base for
R, then there exists a vector v ∈ V that is regular with respect to R and such
that B = B(v).
98 CHAPTER 8. ROOT SYSTEMS

Proof. By Lemma 8.4.7 there exists a vector v ∈ V such that (v, α) > 0 for
α ∈ B. We claim that v is regular with respect to R. Let β ∈ R, and write
X
β= c(α)α,
α∈B

where the coefficients c(α) for α ∈ B are integers of the same sign. We have
X
(v, β) = (v, c(α)α)
α∈B
X
= c(α)(v, α).
α∈B

Since all the coefficients c(α), α ∈ B, have the same sign, and since (v, α) > 0
for α ∈ B, it follows that (v, β) > 0 or (v, β) < 0. Thus, v is regular with respect
to R. Next, since (v, α) > 0 for α ∈ B, we have R+ ⊂ R+ (v) and R− ⊂ R− (v).
Since R = R+ t R− and R = R+ (v) t R− (v) we now have R+ = R+ (v) and
R− = R− (v). We now have B = B(v) by Lemma 8.4.8.

8.5 Weyl chambers

Let V be a finite-dimensional vector space over R equipt with an inner product
(·, ·), and let R be a root system in V . We recall that each root α ∈ R defines
a hyperplane
Pα = {x ∈ V : (x, α) = 0}.
Also, recall that a vector v ∈ V is regular with respect to R if and only if

v ∈ Vreg (R) = V − ∪α∈R Pα .

Evidently, Vreg (R) is an open subset of V . A path component of the space

Vreg (R) is called a Weyl chamber of V with respect to R.
Lemma 8.5.1. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let R be a root system in V . Let v ∈ V be regular
with respect R. Let C be the Weyl chamber of V with respect to R that contains
the vector v. Then
C = X(v)
where
X(v) = {w ∈ V : (w, α) > 0, α ∈ B(v)}.
Proof. We need prove that X(v) ⊂ Vreg (R), v ∈ X(v), and that X(v) is exactly
the set of w ∈ Vreg (R) that are path connected in Vreg (R) to v.
To see that X(v) ⊂ Vreg (R) let w ∈ X(v). To prove that w ∈ Vreg (R)
it suffices to prove that (w, β) > 0 for all β ∈ R+ (v); this follows from the
definition of X(v) and the fact that B(v) is a base for R such that R+ (v) is the
set of the positive roots with respect to B(v). Thus, X(v) ⊂ Vreg (R).
8.5. WEYL CHAMBERS 99

By the definition of B(v) we have B(v) ⊂ R+ (v). It follows that v ∈ X(v).

Next, we show that every element of X is path connected in Vreg (R) to v.
Let w ∈ X(v). Define f : [0, 1] → Vreg (R) by f (t) = (1 − t)v + tw for t ∈ [0, 1].
To see that f is well-defined, let t ∈ [0, 1] and β ∈ R. We need to verify that
(f (t), β) 6= 0. We may assume that β ∈ R+ (v). Write
X
β= c(α)α, c(α) ∈ Z≥0 .
α∈B(v)

We have
X

(f (t), β) = (1 − t)v + tw, c(α)α
α∈B(v)
X
X

= (1 − t) c(α) v, α + t c(α) w, α .
α∈B(v) α∈B(v)

Since (v, α), (w, α) > 0 for α ∈ B(v) it follows that (f (t), β) > 0; thus, the image
of f is indeed in Vreg (R), so that f is well-defined. Evidently, f is continuous,
and f (0) = v and f (1) = w. It follows that every element of X is path connected
in Vreg (R) to v.
Finally, we prove that if u ∈ Vreg (R) and u ∈ / X(v), then u is not path
connected in Vreg (R) to v. Suppose that u ∈ Vreg (R), u ∈ / X(v), and that u is
path connected in Vreg (R) to v; we will obtain a contradiction. Since u is path
connected in Vreg (R) to v there exists a continuous function g : [0, 1] → Vreg (R)
such that g(0) = v and g(1) = u. Since u ∈ / X(v), there exists α ∈ B(v) such
that (u, α) < 0. Define F : [0, 1] → R by F (t) = (g(t), α) for t ∈ [0, 1]. We have
F (0) > 0 and F (1) < 0. Since F is continuous, there exists a t ∈ (0, 1) such
that F (t) = 0. This means that (g(t), α) = 0. However, this is a contradiction
since g(t) is regular with respect to R.

Proposition 8.5.2. Let V be a finite-dimensional vector space over R equipt

with an inner product (·, ·), and let R be a root system in V . The map

Weyl chambers in V ∼
−→ Bases for R
with respect to R

that sends a Weyl chamber C to B(v), where v is any element of C, is a well-

defined bijection.

Proof. Let C be a Weyl chamber in V with respect to R, and let v1 , v2 ∈ C. To

prove that the map is well-defined it will suffice to prove that B(v1 ) = B(v2 ).
Let α ∈ B(v1 ). By Lemma 8.5.1, since v1 and v2 lie in the same Weyl chamber
C, we have C = X(v1 ) = X(v2 ). This implies that (v2 , γ) > 0 for γ ∈ B(v1 ).
In particular, we have (v2 , α) > 0. Now let β ∈ R+ (v1 ). Write
X
β= c(α)α, c(α) ∈ Z≥0 .
α∈B(v1 )
100 CHAPTER 8. ROOT SYSTEMS

Then
X
(v2 , β) = c(α)(v2 , α).
α∈B(v1 )

Since (v2 , α) > 0 for all α ∈ B(v1 ) we must have (v2 , β) > 0. Thus, R+ (v1 ) ⊂
R+ (v2 ). Similarly, R+ (v2 ) ⊂ R+ (v1 ), so that R+ (v1 ) = R+ (v2 ). We now obtain
B(v1 ) = B(v2 ) by Lemma 8.4.8.
To see that the map is injective, suppose that C1 and C2 are Weyl chambers
that map to the same base for R. Let v1 ∈ C1 and v2 ∈ C2 . By assumption, we
have B(v1 ) = B(v2 ). Since B(v1 ) = B(v2 ) we have X(v1 ) = X(v2 ). By Lemma
8.5.1, this implies that C1 = C2 .
Finally, the map is surjective by Proposition 8.4.9.

Lemma 8.5.3. Let V be a finite-dimensional vector space over R equipt with an

inner product (·, ·), and let R be a root system in V . Let C be a Weyl chamber
of V with respect to R, and let B be the base of R that corresponds to C, as in
Proposition 8.5.2, so that

C = {w ∈ V : (w, α) > 0 for all α ∈ B}.

The closure C̄ of C is:

C̄ = {w ∈ V : (w, α) ≥ 0 for all α ∈ B}.

Every element of V is contained C̄ for some Weyl chamber C of V in R.

Proof. The closure of C consists of C and points w ∈ V with w ∈ / C such

that there exists a sequence (wn )∞n=1 of elements of C such that wn → w as
n → ∞. Let w be an element of C̄ of the this second type. Assume that there
exists α ∈ B such that (w, α) < 0. Since (wn , α) → (w, α) as n → ∞, there
exists a positive integer n such that (wn , α) < 0. This is a contradiction. It
follows that C̄ is contained in {w ∈ V : (w, α) ≥ 0 for all α ∈ B}. Let w be in
{w ∈ V : (w, α) ≥ 0 for all α ∈ B}; we need to prove that w ∈ C̄. Let w0 ∈ C.
Consider the sequence (w + (1/n)w0 )∞ n=1 . Evidently this sequence converges to
w and is contained in C. It follows that w is in C̄. This proves the first assertion
of the lemma. For the second assertion, let v ∈ V . If v ∈ Vreg (R), then v is by
definition in some Weyl chamber. Assume that v ∈ / Vreg (R). Then v ∈ ∪α∈R Pα .
Define Y
p : V −→ R by p(x) = (x, α).
α∈R

The function p is a non-zero polynomial function on V , and the set of zeros

of p is exactly ∪α∈R Pα . Thus, p(v) = 0. Since p is a non-zero polynomial
function on V , p cannot vanish on an open set. Hence, for each positive integer
n, there exists vn such that kv − vn k < 1/n and p(vn ) 6= 0. The sequence
(vn )∞
n=1 converges to v and is contained in Vreg (R); in particular every element
of the sequence is contained in some Weyl chamber. Since the number of Weyl
8.6. MORE FACTS ABOUT ROOTS 101

chambers of V with respect to R is finite by Proposition 8.5.2, it follows that

there is a subsequence (vnk )∞ ∞
k=1 of (vn )n=1 the elements of which are completely
contained in one Weyl chamber C. Let C correspond to the base B for R. We
have (vnk , α) ≥ 0 for all α ∈ B and positive integers k. Taking limits, we find
that (v, α) ≥ 0 for all α ∈ B, so that v ∈ C̄.

8.6 More facts about roots

Lemma 8.6.1. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·). Let α ∈ V be non-zero, let A be an open subset of V , and
let v ∈ A be such that (v, α) = 0. Then there exists w ∈ A such that (w, α) > 0.

Proof. Let e1 , . . . , en be the standard basis for V . Write α = a1 e1 + · · · + an en

for some a1 , . . . , an ∈ R, and v = v1 e1 + · · · + vn en for some v1 , . . . , vn ∈ R.
Since α 6= 0, there exists i ∈ {1, . . . , n} such that ai 6= 0. Let  ∈ R. Define
w = v + (/ai )ei . For sufficiently small  we have w ∈ A and

(w, α) = (v + (/ai )ei , α) = (v, α) +  =  > 0.

This completes the proof.

Lemma 8.6.2. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let R be a root system in V . Let α ∈ R. There exists
a base B for R that contains α.

Proof. We first claim that

[
Pα * Pβ .
β∈R,β6=±α

Suppose this is false; we will obtain a contradiction. Since Pα is contained in

the union of the sets Pβ , β ∈ R, β 6= ±α, we have
[
Pα = (Pα ∩ Pβ ).
β∈R,β6=±α

By Lemma 8.4.1, as Pα is a subspace of V , there exists β ∈ R, β 6= ±α, such

that Pα = Pα ∩ Pβ . This implies that Pα = Pβ ; taking orthogonal complements,
thisSimplies that Rα = Rβ, a contradiction. Since Pα isSnot contained in
Pβ , there exists a vector v ∈ Pα such that v ∈
/ Pβ . Define a
β∈R,β6=±α β∈R,β6=±α
function M
f :V →R⊕ R
β∈R,β6=±α

by M
f (w) = (w, α) ⊕ (|(w, β)| − |(w, α)|).
β∈R,β6=±α
102 CHAPTER 8. ROOT SYSTEMS

This function is continuous, and we have

M
f (v) = 0 ⊕ |(v, β)|
β∈R,β6=±α

with |(v, β)| > 0 for β ∈ R, β 6= ±α. Fix  > 0 be such that |(v, β)| >  > 0 for
β ∈ R, β 6= ±α. Since f is continuous, there exists an open set A containing v
such that M
f (A) ⊂ (−, ) ⊕ (|(v, β)| − , |(v, β)| + ).
β∈R,β6=±α

Moreover, by Lemma there exists w ∈ A such that (w, α) > 0. Let β ∈ R,

β 6= ±α. Since w ∈ A, we have

0 < |(v, β)| −  < |(w, β)| − |(w, α)| = |(w, β)| − (w, α)

so that
(w, α) < |(w, β)|.
Consider now the base B(w). We claim that α ∈ B(w). We have (w, α) > 0, so
that α ∈ R+ (w). Assume that α = β1 + β2 for some β1 , β2 ∈ R+ (w); we obtain
a contradiction, proving that α ∈ B(w). We must have β1 6= ±α1 and β2 6= ±α;
otherwise, 0 ∈ R or 2α ∈ R, a contradiction. Now

(w, α) = (w, β1 ) + (w, β2 ).

Since (w, β1 ) > 0 and (w, β2 ) > 0 we must have (w, α) > (w, β1 ). This contra-
dicts (w, α) < |(w, β1 )| = (w, β1 ).
Lemma 8.6.3. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let R be a root system in V . Let B be a base for R.
Let α be a positive root with respect to B such that α ∈ / B. Then there exists
β ∈ B such that (α, β) > 0 and α − β is a positive root.
Proof. By Proposition 8.4.9 there exists v ∈ Vreg (R) such that B = B(v). Since
α and the elements of B are all in R+ = R+ (v) (see Proposition 8.4.6) we have
(v, α) > 0 and (v, β) > 0 for β ∈ B. If (α, β) ≤ 0 for all β ∈ B, then by Lemma
8.4.4 Lemma 8.4.5, the set B t {α} is linearly independent, contradicting the
fact that B is a basis for the R vector space V . It follows that there exists β ∈ B
such that (α, β) > 0. By Lemma 8.3.4 we have α − β ∈ R. Since α is positive
we can write X
α = c(β)β + c(γ)γ
γ∈B,γ6=β

with c(β) ≥ 0 and c(γ) ≥ 0 for γ ∈ B, γ 6= β. Since α ∈ / B, we must have

c(γ) > 0 for some γ ∈ B with γ 6= β, or c(β) ≥ 2. Since
X
α − β = (c(β) − 1)β + c(γ)γ
γ∈B,γ6=β

we see that α − β is positive.

8.6. MORE FACTS ABOUT ROOTS 103

Lemma 8.6.4. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let R be a root system in V . Let B be a base for R.
If α ∈ R+ , then there exist (not necessarily distinct) α1 , . . . , αt ∈ B such that
α = α1 + · · · + αt , and the partial sums

α1 ,
α1 + α2 ,
α2 + α2 + α3 ,
···
α1 + α2 + α3 + · · · + αt

are all positive roots.

Proof. We will prove this by induction on ht(α). If ht(α) = 1 this is clear.
Assume that ht(α) > 1 and that the lemma holds for all positive roots γ with
ht(γ) < ht(α). We will prove that the lemma holds for α. If α ∈ B, then
ht(α) = 1, contradicting our assumption that ht(α) > 1. Thus, α ∈ / B. By
Lemma 8.6.3 there exists β ∈ B such that α − β is a positive root. Now
ht(α − β) = ht(α) − 1. By the induction hypothesis, the lemma holds for α − β;
let α1 , . . . , αt ∈ B be such that α − β = α1 + · · · + αt , and the partial sums

α1 ,
α1 + α2 ,
α2 + α2 + α3 ,
···
α1 + α2 + α3 + · · · + αt

are all positive roots. Since α = α1 + · · · + αt + β, the lemma holds for α.

Lemma 8.6.5. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let R be a root system in V . Let B be a base for R.
Let α ∈ B. The reflection sα maps R+ − {α} onto R+ − {α}.
Proof. Let β ∈ R+ − {α}. Write
X
β= c(γ)γ
γ∈B

with c(γ) ∈ Z≥0 for γ ∈ B. We claim that c(γ0 ) > 0 for some γ0 ∈ B with
γ0 6= α. Suppose this is false, so that β = c(α)α; we will obtain a contradiction.
By (R2), we have c(α) = ±1. By hypothesis, α 6= β; hence, c(α) = −1, so that
β = −α. This contradicts the fact that β is positive, proving our claim. Now

sα (β) = β − hα, βiα

X
= (c(α) − hα, βi)α + c(γ)γ.
γ∈B,γ6=α
104 CHAPTER 8. ROOT SYSTEMS

This is the expression of the root sα (β) in terms of the base B. Since c(γ0 ) > 0,
we see that sα (β) is a positive root and that sα (β) 6= α, i.e, sα (β) ∈ R+ −
{α}.
Lemma 8.6.6. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let R be a root system in V . Let B be a base for R.
Set
1 X
δ= β.
2 +
β∈R

If α ∈ B, then
sα (δ) = δ − α.
Proof. We have
1 1
sα (δ) = sα ( α) + sα (δ − α)
2 2
1 1 X
=− α+ sα (β)
2 2 +
β∈R −{α}
1 1 X
=− α+ β
2 2
β∈R+ −{α}
1 1 1 X
=− α− α+ β
2 2 2 + β∈R

= −α + δ.

This completes the proof.

8.7 The Weyl group

Let V be a finite-dimensional vector space over R equipt with an inner product
(·, ·), and let R be a root system in V . We define the Weyl group of R to be
the subgroup W of O(V ) generated by the reflections sα for α ∈ R.
Lemma 8.7.1. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let R be a root system in V . The Weyl group W of
R is finite.
Proof. Define a map

W −→ The group of permutations of R

by sending w to the permutation that sends α ∈ R to w(r). By (R3), this map

is well-defined. This map is a homomorphism because the group law for both
groups is composition of functions. Assume that w ∈ W maps to the identity.
Then w(α) = α for all α ∈ R. Since R contains a basis for the vector space V ,
this implies that w is the identity; hence, the map is injective. It follows to that
W is finite.
8.7. THE WEYL GROUP 105

Lemma 8.7.2. Let V be a finite-dimensional vector space over R equipt with an

inner product (·, ·). Let X be a finite subset of V consisting of non-zero vectors
that span V . Assume that for every α ∈ X, the reflection sα maps X into X.
Let s ∈ GL(V ). Assume that s(X) = X, that there is a hyperplane P of V
that s fixes pointwise, and that for some α ∈ X, s(α) = −α. Then s = sα and
P = Pα .

Proof. Let t = ss−1

α = ssα . We have

t(α) = s(sα (α)) = s(−α) = −(−α) = α.

We must have Rα ∩ P = 0; otherwise, α ∈ P , and so s(α) = α, a contradiction.

Therefore,
V = Rα ⊕ P.
On the other hand, by the definition of Pα = (Rα)⊥ , we also have

V = Rα ⊕ Pα .

It follows that the image of P under the projection map V → V /Rα is all of
V /Rα; similarly, the image of Pα under V → V /Rα is all of V /Rα. Since s fixes
P pointwise, it follows that the endomorphism of V /Rα induced by s is the
identity. Similarly, the endomorphism of V /Rα induced by sα is the identity.
Therefore, the endomorphism of V /Rα induced by t = ssα is also the identity.
Let v ∈ V . We then have t(v) = v + aα for some a ∈ R. Applying t again, we
obtain t2 (v) = t(v)+aα. Solving this last equation for aα gives aα = t2 (v)−t(v).
Substituting into the first equation yields:

t(v) = v + t2 (v) − t(v)

0 = t2 (v) − 2t(v) + v.

That is, p(t) = 0 for p(z) = z 2 − 2z + 1 = (z − 1)2 . It follows that the minimal
polynomial of t divides (z − 1)2 . On the other hand, s and sα both send X into
X, so that t also sends X into X. Let β ∈ X, and consider the sequence

β, t(β), t2 (β), ... .

These vectors are contained in X. Since X is finite, these vectors cannot be

pairwise distinct. This implies that there exists a positive integer k(β) such that
tk(β) (β) = β. Now define
Y
k= k(β).
β∈X

We then have tk (β) = β for all β ∈ X. Since X spans V , it follows that tk = 1.

This means that the minimal polynomial of t divides z k − 1. The minimal
polynomial of t now divides (z − 1)2 and z k − 1; this implies that the minimal
polynomial of t is z − 1, i.e., t = 1.
106 CHAPTER 8. ROOT SYSTEMS

Lemma 8.7.3. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let R be a root system in V . Let s ∈ GL(V ). Assume
that s(R) = R. Then
ssα s−1 = ss(α)
for all α ∈ R, and
hs(α), s(β)i = hα, βi
for all α, β ∈ R.

Proof. Let α ∈ R. We consider the element ssα s−1 of GL(V ). Let β ∈ R. We

have
(ssα s−1 )(s(β)) = (ssα )(β) = s sα (β) .

This vector is contained in R because sα (β) is contained in R, and s maps R

into R. Since s(R) = R, it follows that (ssα s−1 )(R) = R. Let P = s(Pα );
we claim that ssα s−1 fixes P pointwise. Let x ∈ P . Write x = s(y) for some
y ∈ Pα . We have

(ssα s−1 )(x) = (ssα s−1 )(s(y))

= s sα (y)


=s y
= x.

It follows that ssα s−1 fixes P pointwise. Also, we have:

(ssα s−1 )(s(α)) = s sα )(α)

= s(−α)
= −s(α).

By Lemma 8.7.2 we now have that ssα s−1 = ss(α) .

Finally, let α, β ∈ R. Since ssα s−1 = ss(α) , we obtain:

(ssα s−1 )(β) = ss(α) (β)

= β − hβ, s(α))is(α).

On the other hand, we also have:

(ssα s−1 )(β) = s sα (s−1 (β))

= s s−1 (β) − hs−1 (β), αiα

= β − hs−1 (β), αis(α).

Equating, we conclude that hβ, s(α))i = hs−1 (β), αi. Since this holds for all
α, β ∈ R, this implies that hs(α), s(β)i = hα, βi for all α, β ∈ R (substitute s(α)
for β and β for α).
8.7. THE WEYL GROUP 107

Lemma 8.7.4. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), let R be a root system in V , and let B be a base for
R. Let t ≥ 2 be an integer, and let α1 , . . . , αt be elements of B that are not
necessarily distinct. For convenience, write s1 = sα1 , . . . , st = sαt . If the root
(s1 · · · st−1 )(αt ) is negative, then for some integer k with 1 ≤ k < t,

s1 · · · st = s1 · · · sk−1 sk+1 · · · st−1 .

Proof. Consider the roots

β0 = (s1 · · · st−1 )(αt ),

β1 = (s2 · · · st−1 )(αt ),
β2 = (s3 · · · st−1 )(αt ),
···
βt−2 = st−1 (αt ),
βt−1 = αt .

We have

s1 (β1 ) = β0 ,
s2 (β2 ) = β1 ,
s3 (β3 ) = β2 ,
···
st−1 (βt−1 ) = βt−2 .

We also have that β0 is negative, and βt−1 is positive. Let k be the smallest
integer in {1, . . . , t − 1} such that βk is positive. Consider sk (βk ) = βk−1 . By
the choice of k, sk (βk ) = βk−1 must be negative. Recalling that sk = sαk , by
Lemma 8.6.5 we must have βk = αk . This means that

(sk+1 · · · st−1 )(αt ) = αk .

By Lemma 8.7.3,

(sk+1 · · · st−1 )st (sk+1 · · · st−1 )−1 = s(sk+1 ···st−1 )(αt )

sk+1 · · · st−1 st st−1 · · · sk+1 = sαk
sk+1 · · · st−1 st st−1 · · · sk+1 = sk
sk+1 · · · st−1 st = sk sk+1 · · · st−1 .

Via the last equality, we get:

s1 · · · st = (s1 · · · sk−1 )sk (sk+1 · · · st )

= (s1 · · · sk−1 )sk (sk sk+1 · · · st−1 )
= s1 · · · sk−1 sk+1 · · · st−1 .

This is the desired result.

108 CHAPTER 8. ROOT SYSTEMS

Proposition 8.7.5. Let V be a finite-dimensional vector space over R equipt

with an inner product (·, ·), let R be a root system in V , and let B be a base for
R. Let W be the Weyl group of R. Let s ∈ W with s 6= 1. Assume that s can
be written as a product of sα for α ∈ B. Let

s = sα1 · · · sαt

with α1 , . . . , αt ∈ B and t ≥ 1 as small as possible. Then s(αt ) is negative.

Proof. If t = 1 then s = sα1 , and s(α1 ) = −α1 is negative. We may thus assume
that t ≥ 2. Assume that s(αt ) is positive; we will obtain a contradiction. Now

s(αt ) = (sα1 · · · sαt )(αt )

= (sα1 · · · sαt−1 ) sαt (αt )


= (sα1 · · · sαt−1 ) − αt


= −(sα1 · · · sαt−1 ) αt .


Since this root is positive, the root (sα1 · · · sαt−1 ) αt must be negative. By
Lemma 8.7.4, this implies that t is not minimal, a contradiction.

Theorem 8.7.6. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), let R be a root system in V , and let W be the Weyl group
of R. The Weyl group W acts on the set of bases for R by sending a base B to
s(B) for s ∈ W, and the Weyl group acts on the set of Weyl chambers of V with
respect to R by sending a Weyl chamber C to s(C) for s ∈ W. These actions
are compatible with the bijection

Weyl chambers in V ∼
i: −→ Bases for R
with respect to R

from Proposition 8.5.2. These actions are transitive. If B is a base for R, then
the Weyl group W is generated by the reflections sα for α ∈ B. The stabilizer
of any point is trivial.

Proof. Let s ∈ W. If B is a base for R, then it is clear that s(B) is a base for
R. Let C be a Weyl chamber of V with respect to R. Let v ∈ C. By Lemma
8.5.1, we have

C = X(v) = {w ∈ V : (w, α) > 0 for α ∈ B(v)}.

It follows that

s(C) = s({w ∈ V : (w, α) > 0 for α ∈ B(v)})

= {x ∈ V : (s−1 (x), α) > 0 for α ∈ B(v)}
= {x ∈ V : (x, s(α)) > 0 for α ∈ B(v)}
= {x ∈ V : (x, β) > 0 for β ∈ s(B(v))}.
8.7. THE WEYL GROUP 109

Since

s(B(v)) = s({α ∈ R : (v, α) > 0})

= {β ∈ R : (v, s−1 (β)) > 0}
= {β ∈ R : (s(v), β) > 0}
= B(s(v)).

Hence,

s(C) = {x ∈ V : (x, β) > 0 for β ∈ B(s(v))}

= X(s(v)).

Thus, s(C) = X(s(v)) is another Weyl chamber of V with respect to R. To see

that the bijection i respects the actions, again let C be a Weyl chamber of V
with respect to R, and let v ∈ C. Then


i(s(C)) = i X(s(v))
= B(s(v))


= s B(v)
= s(i(C)),

proving that the actions are compatible with the bijection i.

To prove that the actions are transitive, fix a base B for R, and define R+
with respect to B. Let W 0 be the subgroup of W generated by the reflections
sα for α ∈ B. Let v ∈ Vreg (R) be such that B = B(v); the Weyl chamber of V
with respect to R corresponding to B = B(v) under the bijection i is X(v). Let
C be another Weyl chamber of V with respect to R, and let w ∈ C. Let
1 X
δ= α.
2 +
α∈R

Let s ∈ W 0 be such that (s(w), δ) is maximal. We claim that (s(w), α) > 0 for
all α ∈ B. To see this, let α ∈ B. Since sα s is also in W 0 we have, by the
maximality of (s(w), δ),

(s(w), δ) ≥ ((sα s)(w), δ)

= (s(w), sα (δ))
= (s(w), δ − α)
= (s(w), δ) − (s(w), α).

That is,
(s(w), δ) ≥ (s(w), δ) − (s(w), α).
This implies that (s(w), α) ≥ 0. If (s(w), α) = 0, then (w, s−1 (α)) = 0; this
is impossible since s−1 (α) is a root and w is regular. Thus, (s(w), α) > 0.
Since (s(w), α) > 0 for all α ∈ B it follows that s(w) ∈ X(v). This implies
110 CHAPTER 8. ROOT SYSTEMS

that s(C) = X(v), so that W 0 , and hence W, acts transitively the set of Weyl
chambers of V with respect to R. Since the bijection i is compatible with the
actions, the subgroup W 0 , and hence W, also acts transitively on the set of bases
of R.
Let B be a base for R, and as above, let W 0 be the subgroup of W generated
by the sα for α ∈ B. To prove that W = W 0 it suffices to prove that if α ∈ R,
then sα ∈ W 0 . Let α ∈ R. By Lemma 8.6.2, there exists a base B 0 for R such
that α ∈ B 0 . By what we have already proven, there exists s ∈ W 0 such that
s(B 0 ) = B. In particular, s(α) = β for some β ∈ B. Now by Lemma 8.7.3,
sβ = ss(α) = ssα s−1 ,
which implies that sα = s−1 sβ s. Since s−1 sβ s ∈ W 0 , we get sα ∈ W 0 , as desired.
Finally, suppose that B is a base for R and that s ∈ W is such that s(B) = B.
Assume that s 6= 1; we will obtain a contradiction. Write s = sα1 · · · sαt with
α1 , . . . , αt ∈ B and t ≥ 1 minimal. By Proposition 8.7.5, s(αt ) is negative with
respect to B. This contradicts s(αt ) ∈ B.
Let V be a finite-dimensional vector space over R equipt with an inner
product (·, ·), let R be a root system in V , and let W be the Weyl group of R.
Let s ∈ W with s 6= 1, and write
s = sα1 · · · sαt
with α1 , . . . , αt ∈ B and t minimal. We refer to such an expression for s as
reduced, and define the length of s to be the positive integer `(s) = t. We
define `(1) = 0.
Proposition 8.7.7. Let V be a finite-dimensional vector space over R equipt
with an inner product (·, ·), let R be a root system in V , and let W be the Weyl
group of R. Let s ∈ W. The length `(s) is equal to the number of positive roots
α such that s(α) is negative.
Proof. For r ∈ W let n(r) be the number of positive roots α such that r(α) is
negative. We need to prove that `(s) = n(s). We will prove this by induction on
`(s). Assume first that `(s) = 0. Then necessarily s = 1. Clearly, n(1) = 0. We
thus have `(s) = n(s). Assume now that `(s) > 0 and that `(r) = n(r) for all
r ∈ W with `(r) < `(s). We need to prove that `(s) = n(s). Let s = sα1 · · · sαt
be a reduced expression for s. Set s0 = ssαt . Evidently, `(s0 ) = `(s) − 1. By
Lemma 8.6.5,
s(R+ − {αt }) = s0 (sαt (R+ − {αt }))
= s0 (R+ − {αt }).
Also, by Proposition 8.7.5, s(αt ) is negative. Since
s(αt ) = s0 (sαt (αt ))
= −s0 (αt )
we see that s0 (αt ) is positive. It follows that n(s0 ) = n(s) − 1. By the induction
hypothesis, `(s0 ) = n(s0 ). This implies now that `(s) = n(s), as desired.
8.7. THE WEYL GROUP 111

3α + 2β
v

β α+β 2α + β 3α + β

30◦ 30◦ ◦
30◦ 30
30◦ 30◦
−α α
30◦ 30◦
30◦ 30◦
30◦ 30◦

−3α − β −2α − β −α − β −β

−3α − 2β

We consider bases, Weyl chambers, and the Weyl group for the root system
G2 , which appears in the above diagram. Define the vector v as in the diagram.
Then v ∈ Vreg (G2 ). By definition, R+ (v) consists of the roots that form a
strictly acute angle with v, i.e.,

R+ (v) = {α, 3α + β, 2α + β, 3α + 2β, α + β, β}.

By definition, R− (v) consists of the roots that form a strictly obtuse angle with
v, that is:

R− (v) = {−α, 3α − β, −2α − β, −3α − 2β, −α − β, −β}

Evidently, {α, β} is the set of indecomposable roots in R+ (v), so that B(v) =

{α, β} is a base for G2 . The Weyl chambers of V with respect to G2 consist
of the circular sectors with cental angle 30◦ that lie between the roots of G2 .
There are 12 such sectors, and hence 12 bases for G2 . The sector containing v
is
C = X(v) = {w ∈ V : (α, v) > 0, (β, v) > 0}.
This is the set of vectors that form a strictly acute angle with α and β, and is
shaded in blue in the diagram. We know that the Weyl group W of G2 acts
transitively on both the set of Weyl chambers and bases, with no fixed points.
This means that the order of W is 12. Define:

s1 = sα , s2 = sβ .

We know that W is generated by the two elements s1 and s2 which each have
order two. This means that W is a dihedral group (the definition of a dihedral
112 CHAPTER 8. ROOT SYSTEMS

group is a group generated by two elements of order two). Consider s1 s2 . This

is an element of SO(V ), and hence a rotation. We have


(s1 s2 )(α) = sα sβ (α)
= sα (α + β)
= sα (α) + sα (β)
= −α + 3α + β
= 2α + β

and


(s1 s2 )(β) = sα sβ (β)
= −sα (β)
= −3α − β.

It follows that s1 s2 is a rotation in the counterclockwise direction through 60◦ .

Thus, s1 s2 has order six. This means that

s1 s2 s1 s2 s1 s2 s1 s2 s1 s2 s1 s2 = 1.

This implies that:

s1 s2 s1 s2 s1 s2 = s2 s1 s2 s1 s2 s1
Set
r = s1 s2 .
We have

s1 rs−1 −1
1 = s1 (s1 s2 )s1
= s2 s1
= s−1 −1
2 s1
= (s1 s2 )−1
= (s1 s2 )5
= r5
= r−1 .

We have
W = hs1 s2 i o hs1 i = hri o hs1 i
The elements of W are:
1, s1 ,
r = s1 s2 , s2 ,
r2 = s1 s2 s1 s2 , s2 s1 s2 ,
r3 = s1 s2 s1 s2 s1 s2 , s2 s1 s2 s1 s2 ,
r4 = s2 s1 s2 s1 , s1 s2 s1 s2 s1 ,
r5 = s2 s1 , s1 s2 s1 .
8.7. THE WEYL GROUP 113

In the ordered basis α, β the linear maps s1 , s2 and r have the matrices
        
−1 3 1 0 −1 3 1 0 2 −3
s1 = , s2 = , r = s1 s2 = = .
0 1 1 −1 0 1 1 −1 1 −1
Using these matrices, it is easy to calculate that:
 

 α 7→ α, 
 α 7→ −α,
3α + β →
7 3α + β, 3α + β 7→ β,

 


 

2α + β 7→ 2α + β, 2α + β 7→ α + β,
 
1: s1 :

 3α + 2β →
7 3α + 2β, 
 3α + 2β 7→ 3α + 2β,
α + β →
7 α + β, α + β 7→ 2α + β,

 


 

β 7→ β, β 7→ 3α + β,
 
 

 α 7→ 2α + β, 
 α 7→ α + β,
3α + β →
7 3α + β, 3α + β 7→ 3α + 2β,

 


 

2α + β 7→ α + β, 2α + β 7→ 2α + β,
 
r: s1 r = s2 :

 3α + 2β →
7 β, 
 3α + 2β 7→ 3α + β,
α + β →
7 −α, α + β 7→ α,

 


 

β 7→ −3α − β, β 7→ −β,
 
 

 α 7→ α + β, 
 α 7→ 2α + β,
3α + β →
7 β, 3α + β 7→ 3α + β,

 


 

2α + β 7→ −α, 2α + β 7→ α,
 
2 2
r : s1 r :

 3α + 2β →
7 −3α − β, 
 3α + 2β 7→ −β,
α + β →
7 −2α − β, α + β 7→ −α − β,

 


 

β 7→ −3α − 2β, β 7→ −3α − 2β,
 
 

 α 7→ −α, 
 α 7→ α,
3α + β →
7 −3α − β, 3α + β 7→ −β,

 


 

2α + β 7→ −2α − β, 2α + β 7→ −α − β,
 
3 3
r : s1 r :

 3α + 2β →
7 −3α − 2β, 
 3α + 2β 7→ −3α − 2β,
α + β →
7 −α − β, α + β 7→ −2α − β,

 


 

β 7→ −β, β 7→ −3α − β,
 
 
 α
 7→ −2α − β,  α
 7→ −α − β,
3α + β →
7 −3α − 2β, 3α + β 7→ −3α − 2β,

 


 

2α + β 7→ −α − β, 2α + β 7→ −2α − β,
 
4 4
r : s1 r :

 3α + 2β →
7 −β, 
 3α + 2β 7→ −3α − β,
α + β →
7 α, α + β 7→ −α,

 


 

β 7→ 3α + β, β 7→ β,
 
 
 α
 7→ −α − β,  α
 7→ −2α − β,
3α + β →
7 −β, 3α + β 7→ −3α − β,

 


 

2α + β 7→ α, 2α + β 7→ −α,
 
5 5
r : s1 r :

 3α + 2β →
7 3α + β, 
 3α + 2β 7→ β,
α + β →
7 2α + β, α + β 7→ α + β,

 


 

β 7→ 3α + 2β, β 7→ 3α + 2β.
 

Using this and that Proposition 8.7.7, we can calculate the length of each ele-
ment of W. We see that the expressions of the elements of W in the list from
114 CHAPTER 8. ROOT SYSTEMS

above are in fact reduced, because of Proposition 8.7.7. Thus,

`(1) = 0, `(s1 ) = 1,
`(r = s1 s2 ) = 2, `(s2 ) = 1,
`(r2 = s1 s2 s1 s2 ) = 4, `(s2 s1 s2 ) = 3,
`(r3 = s1 s2 s1 s2 s1 s2 ) = 6, `(s2 s1 s2 s1 s2 ) = 5,
`(r4 = s2 s1 s2 s1 ) = 4, `(s1 s2 s1 s2 s1 ) = 5,
`(r5 = s2 s1 ) = 2, `(s1 s2 s1 ) = 3.

8.8 Irreducible root systems

Let V be a finite-dimensional vector space over R equipt with an inner product
(·, ·), and let R ⊂ V be a root system. We say that R is reducible if there exist
proper subsets R1 ⊂ R and R2 ⊂ R such that R = R1 ∪ R2 and (R1 , R2 ) = 0.
If R is not reducible we say that R is irreducible.
Lemma 8.8.1. Let V be a finite-dimensional vector space over R equipt with an
inner product (·, ·), and let R ⊂ V be a root system. Assume that R is reducible,
so that there exist proper subsets R1 ⊂ R and R2 ⊂ R such that R = R1 ∪ R2
and (R1 , R2 ) = 0. Let V1 and V2 be the subspaces of V spanned by R1 and R2 ,
respectively. Then V = V1 ⊥ V2 , and R1 and R2 are root systems in V1 and V2 ,
respectively.
Proof. Since (R1 , R2 ) = 0 it is evident that (V1 , V2 ) = 0. Since V1 ⊕ V2 ⊂ V
contains R and thus a basis for V , it follows now that V is the orthogonal direct
sum of V1 and V2 . It is easy to see that axioms (R1), (R2), and (R4) for root
systems are satisfied by R1 . To see that (R3) is satisfied, let α, β ∈ R1 ; we need
to verify that sα (β) ∈ R1 . Now
sα (β) = β − hβ, αiα.
This element of R is contained in R1 or in R2 . Assume that sα (β) ∈ R2 ; we
will obtain a contradiction. Since sα (β) ∈ R2 , we have
0 = (α, sα (β))
= (α, β) − hβ, αi(α, α)
(β, α)
= (α, β) − 2 (α, α)
(α, α)
0 = −(α, β),
so that (α, β) = 0. Hence, hα, βi = 0. We also have:
0 = (β, sα (β))
= (β, β) − hβ, αi(β, α)
0 = (β, β).
This implies that β = 0, a contradiction. It follows that R1 is a root system.
Similarly, R2 is a root system.
8.8. IRREDUCIBLE ROOT SYSTEMS 115

Lemma 8.8.2. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let R ⊂ V be a root system. Let B be a base for R.
The root system R is reducible if and only if there exist proper subsets B1 ⊂ B
and B2 ⊂ B such that B = B1 ∪ B2 and (B1 , B2 ) = 0.
Proof. Assume that R is reducible, so that there exist proper subsets R1 ⊂ R
and R2 ⊂ R such that R = R1 ∪ R2 and (R1 , R2 ) = 0. Define B1 = R1 ∩ B
and B2 = R2 ∩ B. Evidently, B = B1 ∪ B2 . We claim that B1 and B2 are
proper subsets of B. Assume that B1 = B; we will obtain a contradiction.
Since B1 = B we have B ⊂ R1 . Since B contains a basis for V and since
(R1 , R2 ) = 0, we obtain (V, R2 ) = 0. This is a contradiction since (R2 , R2 ) 6= 0.
Thus, B1 is a proper subset of B; similarly, B2 is a proper subset of B.
Conversely, assume that there exist proper subsets B1 ⊂ B and B2 ⊂ B such
that B = B1 ∪ B2 and (B1 , B2 ) = 0. Let W be the Weyl group of R. Define

R1 = {α ∈ R : there exists s ∈ W such that s(α) ∈ B1 },

R2 = {α ∈ R : there exists s ∈ W such that s(α) ∈ B2 }.

By Lemma 8.6.2 and Theorem 8.7.6, for every α ∈ R there exists s ∈ W such
that s(α) ∈ B. It follows that R = R1 ∪ R2 .
To prove (R1 , R2 ) = 0 we need to introduce some subgroups of W. Let W1
be the subgroup of W generated by the sα with α ∈ B1 , and let W2 be the
subgroup of W generated by the sα with α ∈ B2 . We claim that the elements
of W1 commute with the elements of W2 . To prove this, it suffices to verify
that sα1 sα2 = sα2 sα1 for α1 ∈ B1 and α2 ∈ B2 . Let α1 ∈ B1 and α2 ∈ B2 . Let
α ∈ B1 . Then

(sα1 sα2 )(α) = sα1 (α − hα, α2 iα2 )

= sα1 (α − 0 · α2 )
= sα1 (α)
= α − hα, α1 iα1 .

And

(sα2 sα1 )(α) = sα2 (α − hα, α1 iα1 )

= sα2 (α) − hα, α1 isα2 (α1 )


= α − hα, α2 iα2 − hα, α1 i α1 − hα1 , α2 iα2
= α − hα, α1 iα1 .

Thus, (sα1 sα2 )(α) = (sα2 sα1 )(α). A similar argument also shows that this
equality holds for α ∈ B2 . Since B = B1 ∪ B2 and B is a vector space basis
for V , we have sα1 sα2 = sα2 sα1 as claimed. By Theorem 8.7.6 the group W is
generated by the subgroups W1 and W2 , and by the commutativity property
that we have just proven, if s ∈ W, then there exist s1 ∈ W1 and s2 ∈ W2 such
that s = s1 s2 = s2 s1 . Now let α ∈ R1 . By definition, there exists s ∈ W and
α1 ∈ R1 such that α = s(α1 ). Write s = s1 s2 with s1 ∈ W1 and s2 ∈ W2 .
116 CHAPTER 8. ROOT SYSTEMS

Since s2 is a product of elements of the form sβ for β ∈ B2 , and each such sβ

is the identity on B1 (use the formula for sβ and (B1 , B2 ) = 0), it follows that
α = s1 (α1 ). Writing s1 as a product of elements of the form sγ for γ ∈ B1 ,
and using the formula for such sγ , we see that α = s(α1 ) is in the span of B1 .
Similarly, if α ∈ R2 , then α is in the span of B2 . Since (B1 , B2 ) = 0, it now
follows that (R1 , R2 ) = 0.
To see that R1 and R2 are proper subsets of R, assume that, say, R1 = R;
we will obtain a contradiction. Since (R1 , R2 ) = 0 we must have R2 = 0. This
implies that B2 is empty (because clearly B2 ⊂ R2 ); this is a contradiction.
Let V be a finite-dimensional vector space over R equipt with an inner
product (·, ·), and let R ⊂ V be a root system. Let B be a base for R. Let
v1 , v2 ∈ V , and write
X X
v1 = c1 (γ)γ, v2 = c2 (γ)γ.
γ∈B γ∈B

Here, we use that B is also a vector space basis for V . We define a relation 
on R by
v1  v2
if and only if
c1 (γ) ≥ c2 (γ) for all γ ∈ B.
The relation  is a partial order on V . Evidently,

R+ = {α ∈ R : α  0} and R− = {α ∈ R : α ≺ 0}.

We say that α is maximal if, for all β ∈ R, β  α implies that β = α.

Lemma 8.8.3. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let R ⊂ V be a root system. Assume that R is
irreducible. Let B be a base for R. With respect to , there exists a unique
maximal root β in R. Moreover, if β is written as
X
β= b(α)α,
α∈B

then b(α) > 0 for all α ∈ B.

Proof. There exists at least one maximal root in R; let β ∈ R be any maximal
root in R. Write X
β= b(α)α.
α∈B

Since β is maximal, we must have b(α) ≥ 0 for all α ∈ B. Define

B1 = {α ∈ B : b(α) > 0} and B2 = {α ∈ B : b(α) = 0}.

We have B = B1 ∪ B2 , and B1 is non-empty. We claim that B2 is empty.

Suppose not; we will obtain a contradiction. Since R is irreducible, by Lemma
8.8. IRREDUCIBLE ROOT SYSTEMS 117

8.8.2 we must have (B1 , B2 ) 6= 0. Proposition 8.4.9 and Lemma 8.4.4 imply that
(α1 , α2 ) ≤ 0 for all α1 ∈ B1 and α ∈ B2 . For α2 ∈ B2 we have
X X
(β, α2 ) = b(α)(α, α2 ) = b(α1 )(α1 , α2 )
α∈B α1 ∈B1

where each term is less than or equal to zero. Since (B1 , B2 ) 6= 0, there exist
α10 ∈ B1 and α20 ∈ B2 such that (α10 , α20 ) 6= 0, so that (α10 , α20 ) < 0. This implies
that (β, α20 ) < 0. By Lemma 8.3.4, either β = ±α20 or β + α20 is a root. Assume
that β = α20 . Then (β, α20 ) = (β, β) > 0, contradicting (β, α20 ) < 0. Assume
that β = −α20 . Then b(α20 ) = −1 < 0, a contradiction. It follows that β + α20 is
a root. Now β + α20  β. Since β is maximal, we have β + α20 = β. This means
that α20 = 0, a contradiction. It follows that B2 is empty, so that b(α) > 0 for all
α ∈ B. Arguing similarly, we also see that (β, α) ≥ 0 for all α ∈ B (if (β, α) < 0
for some α ∈ B, then β + α is a root, which contradicts the maximality of β).
Since B is a basis for V we cannot have (β, B) = 0; hence, there exists α0 ∈ B
such that (β, α0 ) > 0.
Now suppose that β 0 is another maximal root. Write
X
β0 = b0 (α)α.
α∈B
0
As in the last paragraph, b (α) > 0 for all α ∈ B. Now
X
(β, β 0 ) = b0 (α0 )(β, α).
α∈B
0
As (β, α) ≥ 0 and b (α) > 0 for all α ∈ B, and (β, α0 ) > 0, we see that
(β, β 0 ) > 0. By Lemma 8.3.4, either β = β 0 , β = −β 0 or β − β 0 is a root.
Assume that β = −β 0 . Then b(α) = −b0 (α) for α ∈ B; this contradicts the fact
that b(α) and b(α0 ) are positive for all α ∈ B. Assume that β − β 0 is a root.
Then either β − β 0  0 or β − β 0 ≺ 0. Assume that β − β 0  0. Then β  β 0 ,
which implies β = β 0 by the maximality of β 0 . Therefore, β − β 0 = 0; this is not
a root, and hence a contradiction. Similarly, the assumption that β − β 0 ≺ 0
leads to a contradiction. We conclude that β = β 0 .
Lemma 8.8.4. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let R ⊂ V be a root system. Assume that R is
irreducible. Let B be a base for R. Let β be the maximal root of R with respect
to B. We have β  α for all α ∈ R, α 6= β. Also, if α ∈ B, then (β, α) ≥ 0.
Proof. Let α ∈ R with α 6= β. Since α 6= β, α is not maximal by Lemma 8.8.3.
It follows that there exists γ1 ∈ R such that γ1  α and γ1 6= α. If γ1 = β, then
β  α. Assume γ1 6= β. Since γ1 6= β, γ1 is not maximal by Lemma 8.8.3. It
follows that there exists γ2 ∈ R such that γ2  γ1 and γ2 6= γ1 . If γ2 = β, then
β  γ1  α, so that β  α. If γ2 6= β, we continue to argue in the same fashion.
Since R is finite, we eventually conclude that β  α.
Let α ∈ B. Assume that (α, β) < 0. Then certainly α 6= β. Also, we cannot
have α = −β because β is a positive root with respect to B by Lemma 8.8.3.
By Lemma 8.3.4, α + β is a root. This contradicts the maximality of β.
118 CHAPTER 8. ROOT SYSTEMS

Lemma 8.8.5. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let R ⊂ V be a root system. Assume that R is
irreducible. The Weyl group W of R acts irreducibly on V .

Proof. Assume that U is a W subspace of V . We need to prove that U = 0 or

U = V . Assume that U 6= 0. Since the elements of W lie in the orthogonal
group O(V ) of V , the subspace U ⊥ is also a W subspace. We have V = U ⊕ U ⊥ .
Let α ∈ R. We claim that α ∈ U or α ∈ U ⊥ . Write α = u + u0 with u ∈ U and
u0 ∈ U ⊥ . We have

sα (α) = sα (u) + sα (u0 )

−α = sα (u) + sα (u0 )
−u − u0 = sα (u) + sα (u0 ).

Since sα ∈ W we have sα (u) ∈ U and sα (u0 ) ∈ U ⊥ . It follows that

sα (u) = −u and sα (u0 ) = −u0 .

These equalities imply that u ∈ Rα and u0 ∈ Rα. Since U ∩U ⊥ = 0, this implies

that u = 0 or u0 = 0, as desired. Now define

R1 = {α ∈ R : α ∈ U } and R2 = {α ∈ R : α ∈ U ⊥ }.

By we have just proven R = R1 ∪ R2 . It is clear that (R1 , R2 ) = 0. Since R is

irreducible, either R1 is empty or R2 is empty. If R1 is empty, then R ⊂ U ⊥ , so
that V = U ⊥ and thus U = 0; if R2 is empty, then R ⊂ U , so that V = U .

Lemma 8.8.6. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let R ⊂ V be a root system. Assume that R is
irreducible, and let W be the Weyl group of R. The function R → R>0 sending
α → kαk takes on at most two values. Moreover, if α, β ∈ R have the same
length, then there exists s ∈ W such that s(α) = β.

Proof. Suppose that there exist α1 , α2 , α3 ∈ R such that kα1 k < kα2 k < kα3 k;
we will obtain a contradiction.
We first assert that there exist roots α10 , α20 , α30 ∈ R such that

kα10 k = kα1 k, kα20 k = kα2 k, kα30 k = kα3 k

and
(α10 , α20 ) 6= 0, (α20 , α30 ) 6= 0, (α10 , α30 ) 6= 0.
To see this we note that by Lemma 8.8.5, the vectors s(α2 ) for s ∈ W span V ;
it follows that there exists s ∈ W such that (α1 , s(α2 )) 6= 0. Similarly, there
exists r ∈ W such that (s(α2 ), r(α3 )) 6= 0. If (α1 , r(α3 )) 6= 0, we define

α10 = α1 , α20 = s(α2 ), α30 = r(α3 )

8.8. IRREDUCIBLE ROOT SYSTEMS 119

and these vectors have the desired properties. Assume that (α1 , r(α3 )) = 0. In
this case we define

α10 = α1 , α20 = s(α2 ), α30 = ss(α2 ) (r(α3 )).

We have

(α20 , α30 ) = (s(α2 ), ss(α2 ) (r(α3 ))) = −(s(α2 ), r(α3 )) 6= 0.

And

(α10 , α30 ) = (α1 , ss(α2 ) (r(α3 )))

= (α1 , r(α3 ) − hr(α3 ), s(α2 )is(α2 ))
= (α1 , r(α3 )) − hr(α3 ), s(α2 )i(α1 , s(α2 ))
= −hr(α3 ), s(α2 )i(α1 , s(α2 ))
(r(α3 ), s(α2 ))
= −2 (α1 , s(α2 ))
(s(α2 ), s(α2 ))
6= 0.

Again, α10 , α20 and α30 have the desired properties.

We have kα10 k < kα20 k < kα30 k. Thus,

kα20 k kα30 k
1< < .
kα10 k kα10 k

Applying Lemma 8.3.3 to the pair α10 and α20 , and the pair α10 and α30 , and
taking note of the above inequalities, we must have
kα20 k √ kα30 k √
= 2 and = 3.
kα10 k kα10 k
This implies that √
kα30 k 3
= √ .
kα20 k 2
√ √
However, Lemma 8.3.3 applied to the pair α20 and α30 implies that 3/ 2 is not
an allowable value for kα30 k/kα20 k. This is a contradiction.
Assume that α, β ∈ R have the same length. Arguing as in the last para-
graph, there exists s ∈ W such that (s(α), β) 6= 0. If s(α) = β, then s is
the desired element of W. If s(α) = −β, then (sβ s)(α) = β, and sβ s is the
desired element. Assume that s(α) 6= ±β. Since s(α) and β have the same
length, we have by Lemma 8.3.3 that hs(α), βi = hβ, s(α)i = ±1. Assume that
hs(α), βi = 1. We have

(sβ ss(α) sβ )(s(α)) = (sβ ss(α) )(s(α) − hs(α), βiβ)

= (sβ ss(α) )(s(α) − β)
= sβ (−s(α) − ss(α) (β))
120 CHAPTER 8. ROOT SYSTEMS

= sβ (−s(α) − β + hβ, s(α)is(α))

= sβ (−β)
= β.

Assume that hs(α), βi = −1. Then hs(α), β 0 i = 1 where β 0 = −β = sβ (β). By

what we have already proven, there exists r ∈ W such that r(α) = β 0 . It follows
that (sβ r)(α) = β.

Let V be a finite-dimensional vector space over R equipt with an inner

product (·, ·), and let R ⊂ V be a root system. Assume that R is irreducible.
By Lemma 8.8.6, there are at most two possible lengths for the elements of R.
If {kαk : α ∈ R} contains two distinct elements `1 and `2 with `1 < `2 , then we
refer to the α ∈ R with kαk = `1 as short roots and the α ∈ R with kαk = `2
as long roots. If {kαk : α ∈ R} contains one element, then we say that all the
elements of R are long.

Lemma 8.8.7. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let R ⊂ V be a root system. Assume that R is
irreducible. Let B be a base for R, and let β ∈ R be maximal with respect to B.
Then β is a long root.

Proof. Let α ∈ R. We need to prove that (β, β) ≥ (α, α). By Proposition 8.4.9
there exists v ∈ Vreg (R) such that B = B(v). Let C be the Weyl chamber
containing v. By Lemma 8.5.1 we have

C = {w ∈ V : (w, γ) > 0 for all γ ∈ B = B(v)}.

By Lemma 8.5.3 there exists a Weyl chamber C 0 of V with respect to R such

that α ∈ C̄ 0 . Let B 0 be the base corresponding to C 0 , as in Proposition 8.5.2.
Now by Lemma 8.5.3 we have

C̄ = {w ∈ V : (w, α) ≥ 0 for all α ∈ B}

and
C̄ 0 = {w ∈ V : (w, α) ≥ 0 for all α ∈ B 0 }.
By Theorem 8.7.6 there exists s in the Weyl group of R such that s(C 0 ) = C
and s(B 0 ) = B. It follows that s(C̄ 0 ) = C̄. Replacing α with s(α) (which has
the same length as α), we may assume that α ∈ C̄. By Lemma 8.8.4 we also
have β ∈ C̄. Next, by Lemma 8.8.4, we have β  α. This means that
X
β−α= c(γ)γ
γ∈B

with c(γ) ≥ 0 for all γ ∈ B. Let w ∈ C̄. Then

X
(w, β − α) = c(γ)(w, γ) ≥ 0.
γ∈B
8.8. IRREDUCIBLE ROOT SYSTEMS 121

Applying this observation to α ∈ C̄ and β ∈ C̄, we get:

(α, β − α) ≥ 0, (β, β − α) ≥ 0.

This means that

(α, β) ≥ (α, α), (β, β) ≥ (β, α).
It follows that (β, β) ≥ (α, α), as desired.
122 CHAPTER 8. ROOT SYSTEMS
Chapter 9

Cartan matrices and

Dynkin diagrams

9.1 Isomorphisms and automorphisms

Let V1 and V2 be a finite-dimensional vector spaces over R equipt with an inner
product (·, ·)1 and (·, ·)2 , respectively, and let R1 ⊂ V1 and R2 ⊂ V2 be root
systems. We say that R1 and R2 are isomorphic if there exists an R vector
space isomorphism φ : V1 → V2 such that:

1. φ(R1 ) = R2 .

2. If α, β ∈ R1 , then hφ(α), φ(β)i = hα, βi.

We refer to such a φ as an isomorphism from R1 to R2 . Evidently, if φ is an

isomorphism from R1 to R2 , then φ−1 is an isomorphism from R2 to R1 .

Lemma 9.1.1. Let V1 and V2 be a finite-dimensional vector spaces over R

equipt with an inner product (·, ·)1 and (·, ·)2 , respectively, and let R1 ⊂ V1
and R2 ⊂ V2 be root systems. Let W1 and W2 be Weyl groups of R1 and R2 ,
respectively. Assume that R1 and R2 are isomorphic via the R vector space
isomorphism φ : V1 → V2 . If α, β ∈ R1 , then

sφ(α) (φ(β)) = φ(sα (β)).

The map given by s 7→ φ ◦ s ◦ φ−1 defines an isomorphism of groups

∼
W1 −→ W2 .

Proof. Let α, β ∈ R1 . We have

sφ(α) (φ(β)) = φ(β) − hφ(β), φ(α)iφ(α)

= φ(β) − hβ, αiφ(α)

123
124 CHAPTER 9. CARTAN MATRICES AND DYNKIN DIAGRAMS

= φ(β − hβ, αiα)

= φ(sα (β)).
0
Let s ∈ W1 , α ∈ R1 , and α ∈ R2 . Then
(φ ◦ sα ◦ φ−1 )(α0 ) = φ sα (φ−1 (α0 ))

= sφ(α) (α0 ).
It follows that φ◦sα ◦φ−1 = sφ(α) is contained in W2 , so that the map W1 → W2
is well-defined. This map is evidently a homomorphism of groups. The map
W2 → W1 defined by s0 7→ φ−1 ◦ s0 ◦ φ is also a well-defined homomorphism and
is the inverse of W1 → W2 .
Let V be a finite-dimensional vector space over R equipt with an inner
product (·, ·), and let R ⊂ V be a root system. If φ : V → V is an isomorpism
from R to R then we say that φ is an automorphism of R.
Lemma 9.1.2. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let R ⊂ V be a root system. A function φ : V → V is
an automorphism of R if and only if φ is an R vector space isomorphism from
V to V , and φ(R) = R. The set of automorphisms of R forms a group Aut(R)
under composition of functions. The Weyl group W of R is a normal subgroup
of Aut(R).
Proof. Let φ : V → V be a function. If φ is an automorphism of R, then φ is
a vector space isomorphism from V to V and φ(R) = R by definition. Assume
that φ is a vector space isomorphism from V to V and φ(R) = R. By Lemma
8.7.3 we have hφ(α), φ(β)i = hα, βi for all α, β ∈ R. It follows that φ is an
automorphism of R. It is clear that Aut(R) is a group under composition of
functions, and that W is a subgroup of Aut(R). To see that W is normal in
Aut(R), let α, β ∈ R and φ ∈ Aut(R). Then
(φ ◦ sα ◦ φ−1 )(β) = φ sα (φ−1 (β)

= sφ(α) (β).
Since R contains a basis for V this implies that φ ◦ sα ◦ φ−1 = sφ(α) . It follows
that W is normal in Aut(R).

9.2 The Cartan matrix

Let V be a finite-dimensional vector space over R equipt with an inner product
(·, ·), and let R ⊂ V be a root system. Let B be a base for R, and order the
elements of B as α1 , . . . , αt . We define
 
hα1 , α1 i · · · hα1 , αt i
C(α1 , . . . , αt ) = (hαi , αj i)1≤i,j≤t =  .. ..
.
 
. .
hαt , α1 i ··· hαt , αt i
Evidently, the entries of C(α1 , . . . , αt ) are integers.
9.2. THE CARTAN MATRIX 125

Lemma 9.2.1. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), let R ⊂ V be a root system, and let B and B 0 be bases
for R. Order the elements of B as α1 , . . . , αt and order the elements of B 0 as
α10 , . . . , αt0 . There exists a t × t permutation matrix P such that

C(α10 , . . . , αt0 ) = P · C(α1 , . . . , αt ) · P −1 .

Proof. By Theorem 8.7.6 there exists an element s in the Weyl group of R such
that B 0 = s(B). Since B 0 = s(B), there exists a t × t permutation matrix P
such that P −1 · C(α10 , . . . , αt0 ) · P = C(s(α1 ), . . . , s(αt )). Now

P −1 · C(α10 , . . . , αt0 ) · P = C(s(α1 ), . . . , s(αt ))

= (hs(αi ), s(αj )i)1≤i,j≤t
 2(s(α ), s(α )) 
i j
=
(s(αj ), s(αj )) 1≤i,j≤t
 2(α , α ) 
i j
=
(αj , αj ) 1≤i,j≤t
= (hαi , αj i)1≤i,j≤t
= C(α1 , . . . , αt ).

This is the assertion of the lemma.

Let t be a positive integer. We will say that two t × t matrices C and C 0

with integer entries are equivalent if there exists a permutation matrix P such
that C 0 = P CP −1 .
Let V be a finite-dimensional vector space over R equipt with an inner prod-
uct (·, ·), and let R ⊂ V be a root system. We define the Cartan matrix C(R)
of R to be the equivalence class determined by C(α1 , . . . , αt ) where α1 , . . . , αt
are the elements of a base for R. By Lemma 9.2.1, the Cartan matrix of R is
well-defined.

Lemma 9.2.2. Let V and V 0 be a finite-dimensional vector spaces over R equipt

with an inner product (·, ·) and (·, ·), respectively, and let R ⊂ V and R0 ⊂ V 0
be root systems. The root systems R and R0 are isomorphic if and only if R and
R0 have the same Cartan matrices.

Proof. Assume that R and R0 have the same Cartan matrices. Then V and
V 0 have the same dimension t, and there exists bases B = {α1 , . . . , αt } and
B 0 = {α10 , . . . , αt0 } for R1 and R2 , respectively, such that C(α1 , . . . , αt ) =
C(α10 , . . . , αt0 ). Define φ : V1 → V2 by φ(αi ) = αi0 for i ∈ {1, . . . , t}. We
need to prove that φ(R) = R0 and that hφ(α), φ(β)i = hα, βi for α, β ∈ R. Let
α, β ∈ B. Since C(α1 , . . . , αt ) = C(α10 , . . . , αt0 ) we have hφ(β), φ(α)i = hβ, αi.
Therefore,

φ(sα (β)) = φ(β − hβ, αiα)

= φ(β) − hβ, αiφ(α)
126 CHAPTER 9. CARTAN MATRICES AND DYNKIN DIAGRAMS

= φ(β) − hφ(β), φ(α)iφ(α)

= sφ(α) (φ(β)).

Since every element of R is a linear combination of elements of B, it follows

that
φ(sα (β)) = sφ(α) (φ(β))
holds for all α ∈ B and β ∈ R. More generally, let s be in the Weyl group of
R1 . By Theorem 8.7.6 there exist δ1 , . . . , δn ∈ B such that

s = sδ1 · · · sδn .

Let β ∈ R. Repeatedly using the identity we have already proved, we find that:


φ(s(β)) = φ (sδ1 · · · sδn )(β)


= sφ(δ1 ) φ (sδ2 · · · sδn )(β)


= sφ(δ1 ) sφ(δ2 ) φ (sδ3 · · · sδn )(β)
···


φ(s(β)) = sφ(δ1 ) · · · sφ(δn ) φ(β) .

Again let β ∈ R. By Lemma 8.6.2 and Theorem 8.7.6, there exists s in the Weyl
0
group of R such that s(β) ∈ B. We have φ(s(β))
∈ B . Write s as a0 product,
as above. Then φ(s(β)) = s φ(δ1 ) · · · sφ(δn ) φ(β) . Since φ(s(β)) ∈ B , we have
0


sφ(δ1 ) · · · sφ(δn ) φ(β) ∈ B . Applying the inverse of sφ(δ1 ) · · · sφ(δn ) , we see that
φ(β) ∈ R0 . Thus, φ(R) ⊂ R0 . A similar argument implies that φ(R0 ) ⊂ R, so
that φ(R) = R0 .
We still need to prove that hφ(α), φ(β)i = hα, βi for α, β ∈ R. By the
definition of φ, and since C(α1 , . . . , αt ) = C(α10 , . . . , αt0 ), we have hφ(α), φ(β)i =
hα, βi for α, β ∈ B. Since this formula is linear in α, the formula holds for all
α ∈ R and β ∈ B. Let β be an arbitrary element of R. As before, there
exists s in the Weyl group of R such that s(β) ∈ B, and δ1 , . . . , δn such that
δ1 , . . . , δn ∈ B and s = sδ1 · · · sδn . Let α ∈ R. Then

hα, βi = hs(α), s(β)i

= hφ(s(α)), φ(s(β))i


= hφ(s(α)), sφ(δ1 ) · · · sφ(δn ) φ(β) i
= hs−1 −1
φ(δn ) · · · sφ(δ1 ) φ(s(α)), φ(β)i

= hsφ(δn ) · · · sφ(δ1 ) φ(s(α)), φ(β)i

= hφ(sδn · · · sδ1 s(α)), φ(β)i
= hφ(α), φ(β)i.

This completes the proof.

9.2. THE CARTAN MATRIX 127

We list the Cartan matrices of the examples from Chapter 8.

1. (A2 root system)

β α+β

60◦
◦
60 60◦
−α α
60◦ 60◦
60◦

−α − β −β

   
hα, αi hα, βi 2 −1
Cartan matrix: = .
hβ, αi hβ, βi −1 2

2. (B2 root system)

β α+β 2α + β

45◦ 45◦
45◦ 45◦
−α α
◦ ◦
45 45
45◦ 45◦

−2α − β −α − β −β

   
hα, αi hα, βi 2 −1
Cartan matrix: = .
hβ, αi hβ, βi −2 2
128 CHAPTER 9. CARTAN MATRICES AND DYNKIN DIAGRAMS

3. (G2 root system)

3α + 2β

β α+β 2α + β 3α + β

30◦ 30◦ ◦
30◦ 30
30◦ 30◦
−α α
30◦ 30◦
30◦ 30◦
30◦ 30◦

−3α − β −2α − β −α − β −β

−3α − 2β

   
hα, αi hα, βi 2 −1
Cartan matrix: = .
hβ, αi hβ, βi −3 2

4. (A1 × A1 root system)

90◦ 90◦
−α α
◦ ◦
90 90

−β

   
hα, αi hα, βi 2 0
Cartan matrix: = .
hβ, αi hβ, βi 0 2
9.3. DYNKIN DIAGRAMS 129

9.3 Dynkin diagrams

Let V be a finite-dimensional vector space over R equipt with an inner product
(·, ·), and let R ⊂ V be a root system. We associate to R a kind of a graph D,
called a Dynkin diagram, as follows. Let B be a base for R. The vertices of
D are labelled with the elements of B. Let α, β ∈ B with α 6= β. Between the
vertices corresponding to α and β we draw

(α, β)2 (α, β)2

dαβ = hα, βihβ, αi = 4 =4 .
(α, α)(β, β) kαk2 kβk2

lines; recall that in Lemma 8.3.2 we proved that dαβ is in {0, 1, 2, 3}, and that
dαβ was computed in more detail in Lemma 8.3.3. By Lemma 8.3.3, if dαβ > 1,
then α and β have different lengths; in this case, we draw an arrow pointing
to the shorter root. We will also sometimes consider another graph associated
to R. This is called the Coxeter graph, and consists of the Dynkin diagram
without the arrows pointing to shorter roots.
We have the following of examples of Dynkin diagrams:

1. (A2 root system)

2. (B2 root system)

i

3. (G2 root system)

i

4. (A1 × A1 root system)

Lemma 9.3.1. Let V and V 0 be a finite-dimensional vector spaces over R equipt

with an inner product (·, ·) and (·, ·), respectively, and let R ⊂ V and R0 ⊂ V 0
be root systems. The root systems R and R0 are isomorphic if and only if R and
R0 have the same directed Dynkin diagrams.

Proof. Assume that R and R0 have the same directed Dynkin diagrams. Since
R and R0 have same directed Dynkin diagrams it follows that R and R0 have
bases B = {α1 , . . . , αt } and B 0 = {α10 , . . . , αt0 }, respectively, such that for i, j ∈
{1, . . . , t},
dij = hαi , αj ihαj , αi i = hαi0 , αj0 ihαj0 , αi0 i
and if dij > 1, then kαj k > kαi k and kαj0 k > kαi0 k (note that if i, j ∈ {1, . . . , t},
then hαi , αj i = hαj , αi i = hαi0 , αj0 i = hαj0 , αi0 i = 2). Let i, j ∈ {1, . . . , t}. We
claim that hαi , αj i = hαi0 , αj0 i and hαj , αi i = hαj0 , αi0 i. If i = j, then this is
clear by the previous comment. Assume that i 6= j. By Lemma 8.4.4, the angle
130 CHAPTER 9. CARTAN MATRICES AND DYNKIN DIAGRAMS

between αi and αj , and the angle between αi0 and αj0 , are obtuse. By Lemma
8.3.2 we have dij = 0, 1, 2 or 3. Assume that dij = 0. By Lemma 8.3.3 we
have hαi , αj i = hαj , αi i = hαi0 , αj0 i = hαj0 , αi0 i = 0. Assume that dij = 1. By
Lemma 8.3.3 we have hαi , αj i = hαi0 , αj0 i = −1 and hαj , αi i = hαj0 , αi0 i = −1.
Assume that dij = 2. By Lemma 8.3.3 we have hαi , αj i = hαi0 , αj0 i = −1 and
hαj , αi i = hαj0 , αi0 i = −2. Assume that dij = 3. By Lemma 8.3.3 we have
hαi , αj i = hαi0 , αj0 i = −1 and hαj , αi i = hαj0 , αi0 i = −3. Our claim follows. We
now have an equality of Cartan matrices:

C(α1 , . . . , αt ) = C(α10 , . . . , αt0 ).

By Lemma 9.2.2, R and R0 are isomorphic.

Lemma 9.3.2. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let R ⊂ V be a root system. Let D be the directed
Dynkin diagram of R. Then R is irreducible if and only if D is connected.
Proof. Assume that R is irreducible. Suppose that D is not connected. Let B
be a base for R. Since D is not connected there exist proper subsets B1 and B2
of B such that B = B1 ∪ B2 and (B1 , B2 ) = 0. By Lemma 8.8.2 R is reducible,
a contradiction. The opposite implication has a similar proof.

9.4 Admissible systems

We will determine the isomorphism classes of irreducible root systems by intro-
ducing a new concept.
Let V be a finite-dimensional vector space over R equipt with an inner
product (·, ·). Let A be a subset of V . We say that A is an admissible system
if A satisfies the following conditions:
1. A = {v1 , . . . , vn } is non-empty and linearly independent.
2. We have (vi , vi ) = 1 and (vi , vj ) ≤ 0 for i, j ∈ {1, . . . , n} with i 6= j.
3. If i, j ∈ {1, . . . , n} with i 6= j, then 4(vi , vj )2 ∈ {0, 1, 2, 3}.
Let V be a finite-dimensional vector space over R equipt with an inner product
(·, ·), and let A = {v1 , . . . , vn } ⊂ V be an admissible system. We associate to A
a graph ΓA as follows. The vertices of ΓA correspond to the elements of A. If
vi , vj ∈ A with i 6= j, then ΓA has dij = 4(vi , vj )2 edges between vi and vj .
We will classify all the connected ΓA for A an admissible system. We will use
these results to classify all irreducible root systems. For now, we note that there
is natural connection between irreducible root systems and admissible systems
that have connected graphs. Namely, supose that V is a finite-dimensional
vector space over R equipt with an inner product (·, ·), and let R ⊂ V be an
irreducibleproot system. Let B be a base for R. To B we associate the set A of
vectors v/ (v, v) for v ∈ B. Taking note of Lemma 8.4.4, we see that A is an
admissible system; by Lemma 9.3.2, ΓA is connected.
9.4. ADMISSIBLE SYSTEMS 131

Lemma 9.4.1. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let A = {v1 , . . . , vn } ⊂ V be an admissible system.
The number of pairs of vertices {v, w}, v 6= w, of ΓA that are joined by at least
one edge is bounded by #A − 1.
Pn
Proof. Consider the vector v = i=1 vi . Since A is linearly independent, the
vector v is non-zero. This implies that (v, v) > 0. Now
n
X
(v, v) = (vi , vj )
i,j=1
X n n
X
= (vi , vi ) + (vi , vj )
i=1 i,j=1, i6=j
n
X
=n+2 (vi , vj ).
i,j=1, i<j

Since (v, v) > 0, we obtain

n
X
n+2 (vi , vj ) > 0
i,j=1, i<j

which implies
n
X
n> −2(vi , vj ).
i,j=1, i<j

Now since (vi , vj ) ≤ 0 for i, j ∈ {1, . . . , n} with i 6= j, we have

n
X n
X q n
X p
−2(vi , vj ) = 4(vi , vj )2 = dij .
i,j=1, i<j i,j=1, i<j i,j=1, i<j

Let N be the number of pairs {vi , vj }, i, j ∈ {1, . . . , n}, i 6= j, that are joined
by at least one edge, i.e., for which dij ≥ 1. We have
n
X p
dij ≥ N.
i,j=1, i<j

In conclusion, we find that n > N . This means that N is bounded by n − 1 =

#A − 1.

Lemma 9.4.2. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let A ⊂ V be an admissible system. The graph ΓA
does not contain a cycle.
132 CHAPTER 9. CARTAN MATRICES AND DYNKIN DIAGRAMS

Proof. Assume that ΓA contains a cycle; we will obtain a contradiction. Let A0

be the set of edges involved in the cycle. Evidently, A0 is an admissible system.
Consider ΓA0 . Since ΓA0 contains the cycle, the number of pairs of vertices of
ΓA0 that are joined by at least one edge is at least #A0 . This contradicts Lemma
9.4.1.

Lemma 9.4.3. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let A ⊂ V be an admissible system. Let v be a
vertex of ΓA , and let v1 , . . . , vk be the list of distinct vertices of ΓA such that
w ∈ {v1 , . . . , vk } if and only if v and w are incident. Then k and all the edges
between v and the elements of {v1 , . . . , vk } are as in one of the following:

1. k = 1 and

v v1

2. k = 1 and

v v1

3. k = 1 and

v v1

4. k = 2 and

v1

v v2

5. k = 2 and

v1

v v2

6. k = 3 and

v1
v2
v v3
9.4. ADMISSIBLE SYSTEMS 133

Proof. By Lemma 9.4.2, ΓA does not contain a cycle; this implies that (vi , vj ) =
0 for i, j ∈ {1, . . . , k} with i 6= j. Consider the subspace U of V spanned by the
linearly independent vectors v1 , . . . , vk , v. There exists a vector v0 ∈ U such that
v0 , v1 , . . . , vk is a basis for U , (v0 , v0 ) = 1, and (v0 , vi ) = 0 for i ∈ {1, . . . , k}. It
follows that v0 , v1 , . . . , vk is an orthonormal basis for U . Now
k
X
v= (v, vi )vi .
i=0

It follows that
k
X k
X
(v, v) = ( (v, vi )vi , (v, vj )vj )
i=0 j=0
k X
X k
= (v, vi )(v, vj )(vi , vj )
i=0 j=0
k
X
= (v, vi )2 .
i=0

By the definition of an admissible system, (v, v) = 1. Therefore,

k
X
1= (v, vi )2 .
i=0

Now (v, v0 ) 6= 0 because otherwise (v0 , U ) = 0. It follows that

k
X
4> 4(v, vi )2 .
i=1

As 4(v, vi )2 is the number of edges between v and vi , it follows that 4(v, vi )2 ≥ 1

for all i ∈ {1, . . . , k}. We conclude that k ≤ 3; moreover, since 4(v, vi )2 is the
number of edges between v and vi for i ∈ {1, . . . , k}, the possibilities are as
listed in the lemma.
Lemma 9.4.4. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let A = {v1 , . . . , vn } ⊂ V be an admissible system.
Assume that ΓA is connected and has a triple edge. Then ΓA is:
Proof. By assumption, ΓA contains . Assume that ΓA contains another
vertex w not this subgraph; we will obtain a contradiction. Since ΓA is con-
nected, and since ΓA does not contain a cycle by Lemma 9.4.2, exactly one
vertex v of is on a path to w, and this path does not contain the other
vertex of . It now follows that v, the vertices that are incident to v,
and the edges between v and these vertices, are not as in one of the possibilities
listed in Lemma 9.4.3; this is a contradiction.
134 CHAPTER 9. CARTAN MATRICES AND DYNKIN DIAGRAMS

Lemma 9.4.5. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let A ⊂ V be an admissible system. Assume that ΓA
contains the line
...
v1 v2 vk

with no other edges between the shown vertices; here k ≥ 2. Define

k
X
v= vi .
i=1

Then v ∈
/ A. Define

A0 = A − {v1 , . . . , vk } ∪ {v}.

Then A0 is an admissible system, and the graph ΓA0 is obtained from ΓA by

shrinking the above line to a single vertex.

Proof. Since the set A is linearly independent and since k ≥ 2, we must have
v ∈/ A. Similarly, the set A0 is linearly independent. To show that property
2 of the definition of an admissible system is satisfied by A0 it will suffice to
prove that (v, v) = 1. Now by assumption we have that 4(vi , vi+1 )2 = 1 for
i ∈ {1, . . . , k − 1}, or equivalently, (vi , vi+1 ) = −1/2 for i ∈ {1, . . . , k − 1}. Also,
by assumption, (vi , vj ) = 0 for i, j ∈ {1, . . . , k} i < j and j 6= i + 1. We obtain:

k
X k
X
(v, v) = ( vi , vj )
i=1 j=1
k X
X k
= (vi , vj )
i=1 j=1
k
X k−1
X
= (vi , vi ) + 2 (vi , vi+1 )
i=1 i=1
k
X k−1
X
= 1+2 (−1/2)
i=1 i=1
= k − (k − 1)
= 1.

To prove that property 3 of the definition of an admissible system is satisfied

by A0 it will suffice to prove that 4(w, v)2 ∈ {0, 1, 2, 3} for w ∈ A − {v1 , . . . , vk }.
Let w ∈ A − {v1 , . . . , vk }. If 4(w, v)2 = 0 then 4(w, v)2 ∈ {0, 1, 2, 3}. Assume
that 4(w, v)2 6= 0. Then (w, v) 6= 0. This implies that for some i ∈ {1, . . . , k}
we have (w, vi ) 6= 0, so that 4(w, vi )2 6= 0. Therefore, there is at least one edge
between w and vi . By Lemma 9.4.2, ΓA does not contain a cycle. This implies
9.4. ADMISSIBLE SYSTEMS 135

that (w, vj ) = 0 for all j ∈ {1, . . . , k} with j 6= i. We now have (w, v) = (w, vi ),
so that 4(w, v)2 = 4(w, vi )2 ∈ {0, 1, 2, 3}, as desired.
Finally, consider ΓA0 . To see that ΓA0 is obtained from ΓA by shrinking the
above line to the single vertex v it suffices to see that, for all i ∈ {1, . . . , k}, if
there is an edge in ΓA between vi and a vertex w with w ∈ / {v1 , . . . , vk }, then
w is not incident to vj for all j ∈ {1, . . . , k} with i 6= j; this was proven in the
last paragraph.

Let V be a finite-dimensional vector space over R equipt with an inner

product (·, ·), and let A = {v1 , . . . , vn } ⊂ V be an admissible system. We say
that a vertex v of ΓA is a branch vertex of ΓA if v is incident to three distinct
vertices of ΓA by single edges, as in the following picture:
v1
v2
v v3

This is possibility 6 from Lemma 9.4.3.

Lemma 9.4.6. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let A = {v1 , . . . , vn } ⊂ V be an admissible system.
Assume that ΓA is connected. Then:

1. ΓA has at most one double edge.

2. ΓA does not have both a branch vertex and a double edge.

3. ΓA has at most one branch vertex.

Proof. By Lemma 9.4.4 we may assume that ΓA does not contain a triple edge.
Proof of 1. Assume that ΓA has at least two double edges; we will obtain
a contradiction. Since ΓA is connected, for every pair of double edges there
exists at least one path joining a vertex of one double edge to a vertex of the
other double edge; moreover, any such joining path must have at least one edge
by Lemma 9.4.3. Chose a pair such that the length of the joining path is the
shortest among all joining paths between pairs of double edges. Let v1 , . . . , vk
be the vertices on this shortest path, with v1 on the first double edge, vk on
the second double edge, and vi joined to vi+1 for i ∈ {1, . . . , k − 1} by at least
one edge. Since this is the shortest path we cannot have vi and vj joined by
an edge for some i, j ∈ {1, . . . , k}, i < j, and j 6= i + 1. Also, as this is the
shortest choice, it is not the case that vi is joined to vi+1 by a double edge for
i ∈ {1, . . . , k − 1}. Let A0 be as in Lemma 9.4.5; by Lemma 9.4.5, A0 is an
admissible system. It follows that

is a subgraph of ΓA0 ; this contradicts Lemma 9.4.3.

The proof of 2, and then the proof of 3, are similar and will be omitted.
136 CHAPTER 9. CARTAN MATRICES AND DYNKIN DIAGRAMS

Lemma 9.4.7. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let A ⊂ V be an admissible system. Assume that ΓA
contains the line
...
v1 v2 vk

with no other edges between the shown vertices; here k ≥ 1. Define

k
X
v= i · vi .
i=1

Then
k(k + 1)
(v, v) = .
2
Proof. Since the number of edges between vi and vi+1 is one for i ∈ {1, . . . , k −
1} it follows that 4(vi , vi+1 )2 = 1, so that (vi , vi+1 ) = −1/2 (recall that by
the definition of an admissible system we have (vi , vi+1 ) ≤ 0). Also, we have
(vi , vj ) = 0 for i, j ∈ {1, . . . , k} with i < j and j 6= i + 1. It follows that

k
X k
X
(v, v) = ( i · vi , j · vj )
i=1 j=1
k
X k−1
X
= i2 (vi , vi ) + 2 i(i + 1)(vi , vi+1 )
i=1 i=1
k
X k−1
X
= i2 + 2(−1/2) (i2 + i)
i=1 i=1
k−1
X k−1
X k−1
X
2 2 2
=k + i − i − i
i=1 i=1 i=1
k−1
X
= k2 − i
i=1
(k − 1)k
= k2 −
2
2k 2 − k 2 + k
=
2
k(k + 1)
= .
2
This completes the calculation.

Lemma 9.4.8. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let A = {v1 , . . . , vn } ⊂ V be an admissible system.
Assume that ΓA is connected. If ΓA contains a double edge, then ΓA is
9.4. ADMISSIBLE SYSTEMS 137

or one of graphs in the following list:

,
,
,
···

Proof. By Lemma 9.4.6, since ΓA has a double edge, ΓA has exactly one double
edge, ΓA has no triple edge, and ΓA does not contain a branch vertex. It follows
that ΓA has the form
... ...
v1 v2 vk wj wj−1 w1

with no other edges between the shown vertices; here k ≥ 1 and j ≥ 1. Without
loss of generality we may assume that k ≥ j. Define
k
X j
X
v= i · vi , w= i · wi .
i=1 i=1

By Lemma 9.4.7 we have

k(k + 1) j(j + 1)
(v, v) = , (w, w) = .
2 2
We have 4(vk , wj )2 = 2 since there is a double edge joining vk and vj , and
(vi , w` ) = 0 since no edge joins vi and w` for all i ∈ {1, . . . , k} and ` ∈ {1, . . . , j}
with i 6= k or ` 6= j. It follows that

Xk j
X
(v, w) = ( i · vi , ` · w` )
i=1 `=1
= kj(vk , wj ),

so that
k2 j 2
(v, w)2 = k 2 j 2 (vk , wj )2 = .
2
By the Cauchy-Schwarz inequality we have

(v, w)2 < (v, v)(w, w);

Note that v and w are linearly independent, so that the inequality is strict.
Substituting, we obtain:

k2 j 2 k(k + 1) j(j + 1)
< ,
2 2 2
2 2
2k j < k(k + 1)j(j + 1),
138 CHAPTER 9. CARTAN MATRICES AND DYNKIN DIAGRAMS

2k 2 j 2 < k 2 j 2 + jk 2 + j 2 k + jk,
2kj < kj + k + j + 1,
kj < k + j + 1,
kj − k − j < 1,
kj − k − j + 1 < 2,
(k − 1)(j − 1) < 2.

Recalling that k ≥ j ≥ 1, we find that k = j = 2, or k is an arbitrary positive

integer and j = 1. This proves the lemma.

Lemma 9.4.9. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let A = {v1 , . . . , vn } ⊂ V be an admissible system.
Assume that ΓA is connected, and that ΓA has a branch vertex. Then ΓA is
either

D` , ` ≥ 4 : ...

or

E6 :

or

E7 :

or

E8 : .

Proof. By Lemma 9.4.4 and Lemma 9.4.6, since ΓA is connected and contains
a double edge, ΓA contains exactly one branch vertex, no double edges, and no
triple edges. It follows that ΓA has the form
9.4. ADMISSIBLE SYSTEMS 139

u1

..
.
u`

... ...
v1 vk z w1 wj

with k ≥ j ≥ `. We define
k
X j
X `
X
v= i · vi , w= i · wi , u= i · ui .
i=1 i=1 i=1

Since there are no edges between the vertices in {v1 , . . . , vk } and the vertices
in {w1 , . . . , vj }, the vectors v and w are orthogonal. Similarly, v and u are
orthogonal, and w and u are orthogonal. Define
v w u
v0 = , w0 = , u0 = .
kvk kwk kuk

The vectors v 0 , w0 and u0 are also mutually orthogonal, and have norm one.
Let U be the subspace of V spanned by v 0 , w0 , u0 and z. This space is four-
dimensional as these vectors are linearly independent. The orthonormal vectors
v 0 , w0 , u0 can be extended to an orthonormal basis v 0 , w0 , u0 , z 0 for U . We have

z = (z, v 0 )v 0 + (z, w0 )w0 + (z, u0 )u0 + (z, z 0 )z 0

so that
1 = (z, z) = (z, v 0 )2 + (z, w0 )2 + (z, u0 )2 + (z, z 0 )2 .
The vector z 0 cannot be orthogonal to z; otherwise, (z 0 , U ) = 0, a contradiction.
Since (z, z 0 )2 > 0, we obtain

(z, v 0 )2 + (z, w0 )2 + (z, u0 )2 < 1.

Now
(z, v)2
(z, v 0 )2 =
(v, v)
Pk
2(z, i=1 ivi )2
=
k(k + 1)
2k (z, vk )2
2
=
k(k + 1)
k
= .
2(k + 1)
140 CHAPTER 9. CARTAN MATRICES AND DYNKIN DIAGRAMS

Similarly,
j `
(z, w0 )2 = and (z, u0 )2 = .
2(j + 1) 2(` + 1)
Substituting, we get:
k j `
+ + < 1,
2(k + 1) 2(j + 1) 2(` + 1)
k+1 1 j+1 1 `+1 1
− + − + − < 1,
2(k + 1) 2(k + 1) 2(j + 1) 2(j + 1) 2(` + 1) 2(` + 1)
1 1 1 1 1 1
− + − + − < 1,
2 2(k + 1) 2 2(j + 1) 2 2(` + 1)
3 1 1 1
− − − < 1,
2 2(k + 1) 2(j + 1) 2(` + 1)
1 1 1
3− − − < 2,
k+1 j+1 `+1
1 1 1
+ + > 1.
k+1 j+1 `+1
Now k ≥ j ≥ ` ≥ 1. Hence,

k+1≥j+1≥`+1≥2

and thus
1 1 1 1
≤ ≤ ≤ .
k+1 j+1 `+1 2
It follows that
1 1 1
+ + > 1,
k+1 j+1 `+1
1 1 1
+ + > 1,
`+1 `+1 `+1
3
> 1,
`+1
3 > ` + 1,
2 > `.

Hence, ` = 1. Substituting ` = 1, we have:

1 1 1
+ + > 1,
k+1 j+1 1+1
1 1 1
+ > ,
k+1 j+1 2
1 1 1
+ > ,
j+1 j+1 2
2 1
> ,
j+1 2
9.4. ADMISSIBLE SYSTEMS 141

2 1
> ,
j+1 2
3 > j.

It follows that j = 1 or j = 2. Assume that j = 2. Then the inequality is:

1 1 1
+ + > 1,
k+1 2+1 1+1
1 5
+ > 1,
k+1 6
1 1
> ,
k+1 6
5 > k.

This implies that k = 3 or k = 4. In summary we have found that

(k, j, `) ∈ {(k, 1, 1) : k ∈ Z, k ≥ 1} ∪ {(2, 2, 1), (3, 2, 1), (4, 2, 1)}.

This is the assertion of the lemma.

Theorem 9.4.10. Let V be a finite-dimensional vector space over R equipt with

an inner product (·, ·), and let A = {v1 , . . . , vn } ⊂ V be an admissible system.
Assume that ΓA is connected. Then ΓA is one of the following:

1. (` vertices, ` ≥ 1) ...

2. (` vertices, ` ≥ 2) ...

3. (` vertices, ` ≥ 3) ...

4.

5.

6.

7.

8. .
142 CHAPTER 9. CARTAN MATRICES AND DYNKIN DIAGRAMS

Proof. Let ` be the number of vertices of ΓA . If ` = 1, then ΓA is as in 1 with

` = 1. Assume that ` ≥ 2. By Lemma 9.4.3, there exist no two vertices of ΓA
joined by four or more vertices.
Assume that ΓA has a triple edge. By Lemma 9.4.4, ΓA is as in 4. Assume
for the remainder of the proof that ΓA does not have a triple edge.
Assume that ΓA has a double edge. Then by Lemma 9.4.8, ΓA must be as in
2 or 5. Assume for the remainder of the proof that ΓA does not have a double
edge.
Assume that ΓA has a branch vertex. By Lemma 9.4.9, ΓA must be as in
3, 6, 7, or 8. Assume for the remainder of the proof that ΓA does not have a
branch vertex.
Since no two vertices of ΓA are joined by two or or more vertices, since ΓA
does not have a branch vertex, and since ΓA does not contain a cycle by Lemma
9.4.2, it follows that ΓA is as in 1.

9.5 Possible Dynkin diagrams

Theorem 9.5.1. Let V be a finite-dimensional vector space over R equipt with
an inner product (·, ·), and let R ⊂ V be a root system. Assume that R is
irreducible. Let D be the Dynkin diagram of R. Then D belongs to one of the
following infinite families (each of which has ` vertices)

A` , ` ≥ 1: ...

B` , ` ≥ 2: ... i

C` , ` ≥ 3: ... h

D` , ` ≥ 4: ...

or D is one of the following five diagrams

G2 : i

F4 : i

E6 :

E7 :
9.5. POSSIBLE DYNKIN DIAGRAMS 143

E8 : .
Proof. Let B a base for R. Let A be the admissible system associated to R and
B as at the beginning of Section 9.4. Let C be the Coxeter graph of R; this is
the same as ΓA , the graph associated to A. By Theorem 9.4.10, ΓA = C must
be one of the graphs listed in this theorem. This implies the result.
144 CHAPTER 9. CARTAN MATRICES AND DYNKIN DIAGRAMS
Chapter 10

The classical Lie algebras

Let F have characteristic zero and be algebraically closed. The classical Lie
algebras over F are sl(` + 1, F ), so(2` + 1, F ), sp(2`, F ), and so(2`, F ) for ` a
positive integer. In this chapter we will prove that these Lie algebras are simple
(with the exception of so(2`, F ) when ` = 1 or ` = 2) We will also determine
the root systems associated to these classical Lie algebras.

10.1 Definitions

sl(` + 1, F )

Let F have characteristic zero and be algebraically closed, and let ` be a positive
integer. We define sl(` + 1, F ) to be the F -subspace of g ∈ gl(` + 1, F ) such that
tr(g) = 0. The bracket on sl(`+1, F ) is inherited from gl(`+1, F ), and is defined
by [X, Y ] = XY − Y X for X, Y ∈ sl(` + 1, F ). Note that [X, Y ] ∈ sl(` + 1, F )
for X, Y ∈ sl(` + 1, F ) because tr([X, Y ]) = tr(XY ) − tr(Y X) = XY − XY = 0.
The bracket on sl(` + 1, F ) satisfies 1 and 2 of the definition of Lie algebra
from Section 1.3 because the bracket on gl(` + 1, F ) satisfies these properties by
Proposition 1.4.1.
Lemma 10.1.1. Let n be a positive integer. Let S ∈ gl(n, F ). Let L be the
F -subspace of X ∈ gl(n, F ) such that
t
XS + SX = 0.

With the bracket inherited from gl(n, F ), so that [X, Y ] = XY − Y X for X, Y ∈

L, the subspace L is a Lie subalgebra of gl(n, F ). Moreover, if S is invertible,
then L ⊂ sl(n, F ).
Proof. Let X, Y ∈ L. Then
t
[X, Y ]S + S[X, Y ] = t (XY − Y X)S + S(XY − Y X)

145
146 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

= (t Y t X − t X t Y )S + SXY − SY X
= t Y t XS − t X t Y S + SXY − SY X
= −t Y SX + t XSY + SXY − SY X
= SY X − SXY + SXY − SY X
= 0.

It follows that [X, Y ] ∈ L. The bracket on L satisfies 1 and 2 of the definition

of Lie algebra from Section 1.3 because the bracket on gl(n, F ) satisfies these
properties by Proposition 1.4.1. Assume that S is invertible. Let X ∈ L; we
need to prove that tr(X) = 0. We have
t
XS + SX = 0
t
XS = −SX
t
X = −SXS −1
tr(t X) = tr(−SXS −1 )
tr(X) = −tr(S −1 SX)
tr(X) = −tr(X).

Since F has characteristic zero, this implies that tr(X) = 0.

so(2` + 1, F )

Let F have characteristic zero and be algebraically closed, and let ` be a positive
integer. Let S ∈ gl(2` + 1, F ) be the matrix
 
1
S= 1`  .
1`

Here, 1` is the ` × ` identity matrix. We define so(2` + 1, F ) to be the Lie

subalgebra of gl(2` + 1, F ) defined by S as in Lemma 10.1.1. By Lemma 10.1.1,
since S is invertible, we have so(2` + 1, F ) ⊂ sl(2` + 1, F ).

sp(2`, F )

Let F have characteristic zero and be algebraically closed, and let ` be a positive
integer. Let S ∈ gl(2`, F ) be the matrix
 
1`
S= .
−1`

Here, 1` is the `×` identity matrix. We define sp(2`, F ) to be the Lie subalgebra
of gl(2`, F ) defined by S as in Lemma 10.1.1. By Lemma 10.1.1, since S is
invertible, we have sp(2`, F ) ⊂ sl(2`, F ).
10.2. A CRITERION FOR SEMI-SIMPLICITY 147

so(2`, F )

Let F have characteristic zero and be algebraically closed, and let ` be a positive
integer. Let S ∈ gl(2` + 1, F ) be the matrix
 
1`
S= .
1`

Here, 1` is the `×` identity matrix. We define so(2`, F ) to be the Lie subalgebra
of gl(2`, F ) defined by S as in Lemma 10.1.1. By Lemma 10.1.1, since S is
invertible, we have so(2`, F ) ⊂ sl(2`, F ).

10.2 A criterion for semi-simplicity

Lemma 10.2.1. Assume that F has characteristic zero and is algebraically
closed. Let L be a finite-dimensional Lie algebra over F .

1. Assume that L is reductive. Then

L = [L, L] ⊕ Z(L)

as Lie algebras, and [L, L] is semi-simple.

2. Assume that V is a finite-dimensional vector space over F . Let L be a

non-zero Lie subalgebra of gl(V ), and assume that L acts irreducibly on
V . Then L is reductive and dim Z(L) ≤ 1. If L is contained in sl(V ),
then L is semi-simple.

Proof. Proof of 1. Assume that L is reductive. By Lemma 2.1.10, L/Z(L) is

semi-simple. Consider the ad action of L/Z(L) on L. By Theorem 6.2.4, Weyl’s
Theorem, this action is completely reducible; it follows that the ad action of
L on L is also completely reducible. Therefore, the L-submodule Z(L) has a
complement, i.e., there exists an L-submodule M of L such that L = M ⊕ Z(L)
as F -vector spaces. Since L acts on L via the ad action, M is an ideal of L. We
claim that M = [L, L]. Let x, y ∈ L, and write x = m + u and y = n + v with
m, n ∈ M and u, v ∈ Z(L). Then

[x, y] = [m + u, n + v] = [m, n] + [m, v] + [u, n] + [u, v] = [m, n].

Therefore, [x, y] ∈ [M, M ] ⊂ M . It follows that [L, L] ⊂ M . Now by Lemma

6.2.2, since L/Z(L) is semi-simple, we have [L/Z(L), L/Z(L)] = L/Z(L). This
implies that ([L, L] + Z(L))/Z(L) = L/Z(L), so that

dim[L, L] + dim Z(L) = dim L.

Since now dim[L, L] = dim L−dim Z(L) = dim M , we conclude that [L, L] = M .
Hence, L = [L, L]⊕Z(L) as Lie algebras. Since L = [L, L]⊕Z(L) as Lie algebras
148 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

we obtain [L, L] ∼= L/Z(L) as Lie algebras; since L/Z(L) is semi-simple, we

conclude that [L, L] is semi-simple.
Proof of 2. Let R = Rad(L). By definition, R is a solvable ideal of L.
By Lemma 3.4.1, there exists a non-zero vector v ∈ V , and a linear functional
λ : R → F such that rv = λ(r)v for all r ∈ R. Let x ∈ L and r ∈ R. Then
[x, r] ∈ R since R is an ideal. Hence,
[x, r]v = λ([x, r])v
xrv − rxv = λ([x, r])v
−r(xv) = −λ(r)xv + λ([x, r])v
r(xv) = λ(r)xv + λ([r, x])v.
By assumption, the action of L on V is irreducible. This implies that the vectors
xv for x ∈ L span V . Therefore, there exists vectors v1 , . . . , vm in V such that
v1 , . . . , vm , v is an ordered basis for V , and constants c1 , . . . , cm such that
rvi = λ(r)vi + ci v
for r ∈ R and i ∈ {1, . . . , m}. If r ∈ R, then the matrix of r in the basis
v1 , . . . , vm , v is  
λ(r) c1
 .. .. 

 . . 
.
 λ(r) cm 
λ(r)
In particular, we see that the tr(r) = λ(r) · dim V . Consider [L, R]. This ideal
of L is contained in R, and we have tr([L, R]) = 0. It follows that λ([L, R]) = 0.
From this, we conclude that in fact
r(xv) = λ(r)xv
for r ∈ R and x ∈ L. Since the action of L on V is irreducible, it follows that
r ∈ R acts by λ(r), i.e., the elements of R are contained in F ⊂ gl(V ). Thus,
R ⊂ Z(L), so that R = Z(L) and L is hence reductive. Also, dim Z(L) =
dim R ≤ 1. Finally, assume that L ⊂ sl(V ). Then tr(x) = 0 for all x ∈ L. Since
R ⊂ F ⊂ gl(V ), this implies that R = 0; i.e., L is semi-simple.

10.3 A criterion for simplicity

Lemma 10.3.1. Let L be a Lie algebra over F , and S ⊂ L be a subset. Let K be
the subalgebra of L generated by S. Let X ∈ L. If [X, S] = 0, then [X, K] = 0.
If [X, S] ⊂ K, then [X, K] ⊂ K.
Proof. Assume that [X, S] = 0. Inductively define subsets K1 , K2 , K3 , . . . by
letting K1 = S and
k−1
[
Kk = {[Y, Z] : Y ∈ Ki , Z ∈ Kk−i }.
i=1
10.3. A CRITERION FOR SIMPLICITY 149

Evidently, every element of K is a linear combination of elements from the union

∪∞k=1 Kk . Thus, to prove that [X, K] = 0 it suffices to prove that [X, Kk ] = 0
for all positive integers k. We will prove this by induction on k. The case k = 1
follows by hypothesis. Let k be a positive integer and that [X, K` ] = 0 for
all positiver integers ` ≤ k; we will prove that [X, Kk+1 ] = 0. To prove this
will suffice to prove that for every pair of positive integers i and j such that
i + j = k + 1 we have [X, [Y, Z]] = 0 for Y ∈ Ki and Z ∈ Kj . Let i and j be
positive integers such that i + j = k + 1 and let Y ∈ Ki and Z ∈ Kj . By the
Jacobi identity and the induction hypothesis we have

[X, [Y, Z]] = −[Y, [Z, X]] − [Z, [X, Y ]]

= −[Y, 0] − [Z, 0]
= 0.

We now obtain [X, K] = 0 by induction.

To prove the second assertion of the lemma, assume that [X, S] ⊂ K. To
prove that [X, K] ⊂ K it will suffice to prove that [X, Kk ] ⊂ K for all positive
integers k. We will prove this by induction on k. The case k = 1 is the hypothesis
[X, S] ⊂ K. Let k be a positive integer, and assume that [X, K` ] ⊂ K for all
positive integers ` ≤ k; we will prove that [X, Kk+1 ] ⊂ K. To prove this
will suffice to prove that for every pair of positive integers i and j such that
i + j = k + 1 we have [X, [Y, Z]] ∈ K for Y ∈ Ki and Z ∈ Kj . Let i and j be
positive integers such that i + j = k + 1 and let Y ∈ Ki and Z ∈ Kj . By the
Jacobi identity we have

[X, [Y, Z]] = −[Y, [Z, X]] − [Z, [X, Y ]].

By the induction hypothesis, [Z, X] = −[X, Z], [X, Y ] ∈ K. Since Y, Z ∈ K

we obtain [Y, [Z, X]], [Z, [X, Y ]] ∈ K. It now follows that [X, [Y, Z]] ∈ K, as
desired. We have proven that [X, K] ⊂ K by induction.

Proposition 10.3.2. Let F have characteristic zero and be algebraically closed.

Let L be a semi-simple finite-dimensional Lie algebra over F . Let H be a Cartan
subalgebra of L, and let Φ be the root system associated to the pair (L, H) as in
Section 8.2. Then L is simple if and only if Φ is irreducible.

Proof. To begin, we recall that as in Section 8.2 we have

M
L=H⊕ Lα .
α∈Φ

Assume that L is simple. Assume that Φ is not irreducible; we will obtain

a contradiction. Since Φ is not irreducible, there exist non-empty subsets Φ1
and Φ2 of Φ such that Φ1 ∩ Φ2 = ∅ and (Φ1 , Φ2 ) = 0. Let K be the subalgebra
generated by the Lα for α ∈ Φ1 . We claim that K is a non-zero, proper ideal
of L; this will contradict the assumption that L is simple. It is clear that K is
non-zero because Φ1 is non-empty.
150 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

To prove that K is a proper ideal of L we will first prove that [Lβ , K] = 0

for β ∈ Φ2 . Let β ∈ Φ2 . By Lemma 10.3.1, to prove that [Lβ , K] = 0 it will
suffice to prove that [Lβ , Lα ] = 0 for α ∈ Φ1 . Let α ∈ Φ1 . Now by Proposition
7.0.3, [Lβ , Lα ] ⊂ Lα+β . Assume that Lα+β 6= 0; we will obtain a contradiction.
Consider α + β. We have (α + β, α) = (α, α) + (β, α) = (α, α) + 0 = (α, α) > 0;
this implies that α + β 6= 0. Since Lα+β 6= 0, and since α + β 6= 0, we have, by
definition, α + β ∈ Φ. Hence, α + β ∈ Φ1 or α + β ∈ Φ2 . If α + β ∈ Φ1 , then
(α + β, β) = 0; since (α + β, β) = (β, β) > 0, this is a contradiction. Similarly,
if α + β ∈ Φ2 , then (α + β, α) = 0, a contradiction. It follows that Lα+β = 0,
implying that [Lβ , Lα ] = 0. Hence, [Lβ , K] = 0 for all β ∈ Φ2 .
To see that K is proper, assume that K = L. Then [Lβ , L] = [Lβ , K] = 0
for all β ∈ Φ2 . This means that Lβ ⊂ Z(L) for all β ∈ Φ2 ; since Z(L) = 0
(because L is simple), and since Φ2 is non-empty, this is a contradiction. Thus,
K is proper.
Finally,
L we need to prove that K is an ideal of L. By Lemma 10.3.1, since L =
H ⊕ α∈Φ Lα , to prove this it will suffice to prove that [H, Lα ] ⊂ K, [Lγ , Lα ] ⊂
K and [Lβ , Lα ] ⊂ K for all α ∈ Φ1 , γ ∈ Φ1 , and β ∈ Φ1 . Let α ∈ Φ1 , γ ∈ Φ1 ,
and β ∈ Φ1 . Then [H, Lα ] ⊂ Lα by the definition of Lα . Since Lα ⊂ K, we get
[H, Lα ] ⊂ K. We have [Lγ , Lα ] ⊂ K by the definition of K. Finally, we have
already proven that [Lβ , Lα ] = 0, so that [Lβ , Lα ] ⊂ K. It follows that K is an
ideal of K, completing the argument that L is irreducible.
Next, assume that Φ is irreducible, and that L contains a non-zero, proper
ideal I; we will obtain a contradiction. Since I is an ideal, the mutually com-
muting operators ad(h) ∈ gl(L) for h ∈ H preserve the subspace I. Since every
element of H is semi-simple, the elements of ad(H) ⊂ gl(L) are diagonalizable
(recall the definition of the abstract Jordan decomposition, and in particular,
the definition of semi-simple). The restrictions ad(h)|I for h ∈ H are therefore
also diagonalizable. Since the F -subspaces Lα for α ∈ Φ are one-dimensional
by Proposition 7.0.8, it follows that there exist an F -subspace H1 of H and a
subset Φ1 of Φ such that
M
I = H1 ⊕ Lα .
α∈Φ1

By Lemma 5.3.3 the subspace I ⊥ of L is also an ideal of L. Hence, there also

exist an F -subspace H2 of H and a subset Φ2 of Φ such that
M
I ⊥ = H2 ⊕ Lβ .
β∈Φ2

By Lemma 5.4.3 we have L = I ⊕ I ⊥ . This implies that H = H1 ⊕ H2 and

that there is a disjoint decomposition Φ = Φ1 t Φ2 . Assume that Φ1 is empty;
we will obtain a contradiction. Since Φ1 is empty, we must have Φ2 = Φ, so
that Lβ ⊂ I ⊥ for all β ∈ Φ. By Proposition 7.0.14, L ⊂ I ⊥ , implying that
I ⊥ = L and hence I = 0, a contradiction. Thus, Φ1 is non-empty. Similarly, Φ2
is non-empty. Let α ∈ Φ1 and β ∈ Φ2 ; we claim that (α, β) = 0. We have, by 3
10.4. A CRITERION FOR CARTAN SUBALGEBRAS 151

of Lemma 7.0.11,
2(α, β)
hα, βi = = α(hβ ).
(β, β)
Also, by the definition of Lα ,
α(hβ )eα = [hβ , eα ].
Consider [hβ , eα ]. On the one hand, since eα ∈ Lα ⊂ I, and since I is an ideal
of L, we have [hβ , eα ] ∈ I. On the other hand, hβ = [eβ , fβ ]; since fβ ∈ I ⊥ ,
and I ⊥ ; we must have hβ ∈ I ⊥ . Using again that I ⊥ is an ideal, we see that
[hβ , eα ] ∈ I ⊥ . Now we have [hβ , eα ] ∈ I ∩ I ⊥ = 0, proving that [hβ , eα ] = 0. It
follows from above that α(hβ ) = 0, and hence that hα, βi = 0, as claimed. This
contradicts the irreducibility of Φ.

10.4 A criterion for Cartan subalgebras

Lemma 10.4.1. Let F have characteristic zero and be algebraically closed.
Let n be a positive integer. Let h ∈ gl(n, F ) be diagonalizable. Then ad(h) :
gl(n, F ) → gl(n, F ) is diagonalizable.
Proof. Since h is diagonalizable, there exists a matrix A ∈ GL(n, F ) such that
AhA−1 is diagonal. Let d = AhA−1 , and let
" #
d1
d= ..
. d n

Consider ad(d). Let i, j ∈ {1, . . . , n}. We have

ad(d)(eij ) = [d, eij ]
= deij − eij d
= di eij − dj eij
= (di − dj )eij .
Thus, eij is an eigenvector for d with eigenvalue di − dj . Since the set {eij :
1 ≤ i, j ≤ n} is a basis for gl(n, F ) it follows that ad(d) is diagonalizable. Now
assume that x ∈ gl(n, F ) is an eigenvector for ad(d) with eigenvalue λ. We have
ad(h) A−1 xA = hA−1 xA − A−1 xAh

= A−1 (AhA−1 x − xAhA−1 )A

= A−1 [d, x]A
= A−1 ad(d)(x)A
= λA−1 xA.
It follows that A−1 xA is an eigenvector for ad(h) with eigenvalue λ. Since the
vectors A−1 eij A for i, j ∈ {1, . . . , n} are basis for gl(n, F ) and are eigenvectors
for ad(h), it follows that ad(h) is diagonalizable.
152 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

We remark that the content of the above lemma is already contained in

Lemma 5.1.3.
Lemma 10.4.2. Let F have characteristic zero and be algebraically closed. Let
n be a positive integer, and let L be a Lie subalgebra of gl(n, F ). Let H be the
abelian subalgebra of L consisting of the diagonal matrices in L; assume that H
is non-zero. Let W be the F -subspace of L consisting of elements with zeros on
the main diagonal. Assume that no non-zero element of W commutes with all
the elements of H, i.e.,

{x ∈ W : ad(h)(x) = [h, x] = 0, h ∈ H} = 0.

Then H is a Cartan subalgebra of L.

Proof. Evidently, H is abelian. Also, by Lemma 10.4.1, the operators ad(h) :
gl(n, F ) → gl(n, F ) for h ∈ H are diagonalizable. To prove that H is a Cartan
subalgebra it will suffice to prove that if H 0 is an abelian subalgebra of L, and
H ⊂ H 0 , then H = H 0 . Assume that H 0 is an abelian subalgebra of L such that
every element of H 0 and H ⊂ H 0 . Let x ∈ H 0 . Now

L = H ⊕ W.

The operators ad(h) for h ∈ H leave the subspace W invariant; since ad(h) is
diagonalizable, it follows that ad(h)|W is diagonalizable for h ∈ H. For a linear
functional β : H → F , let

Wβ = {x ∈ W : ad(h)x = β(h)x, h ∈ H},

and let B be the set of linear functionals β : H → F such that Wβ 6= 0. There

is a direct sum decomposition
M
W = Wβ .
β∈B

and hence a direct sum decomposition

M
L=H⊕ Wβ .
β∈B

The assumption of the lemma is that 0 ∈

/ B, i.e., β 6= 0 for all β ∈ B. Write
X
x = x0 + xβ
β∈B

where x0 ∈ H and xβ ∈ Wβ for β ∈ B. Let h ∈ H. Then ad(h)x = [h, x] = 0

because h, x ∈ H 0 and H 0 is abelian. Applying ad(h) to the above sum yields
X
ad(h)x = ad(h)x0 + ad(h)(xβ )
β∈B
10.5. THE KILLING FORM 153
X
0=0+ β(h)xβ
β∈B
X
0= β(h)xβ .
β∈B

Since the subspaces Wβ for β ∈ B form a direct sum, we must have β(h)xβ = 0
for all β ∈ B and h ∈ H. Since every β ∈ B is non-zero, we must have xβ = 0
for all β ∈ B. This implies that x = x0 ∈ H, as desired.

10.5 The Killing form

Lemma 10.5.1. Let F have characteristic zero and be algebraically closed. Let
n be a positive integer. For x, y ∈ gl(n, F ) define

t(x, y) = tr(xy).

The function t : gl(n, F ) × gl(n, F ) → F is an associative, symmetric bilinear

form. If L is a Lie subalgebra of gl(n, F ), L is simple, and the restriction of t
to L × L is non-zero, then L is non-degenerate.
Proof. It is clear that t is F -linear in each variable. Also, t is symmetric because
tr(xy) = tr(yx) for x, y ∈ gl(n, F ). To see that t is associative, let x, y, z ∈
gl(n, F ). Then

t(x, [y, z]) = tr(x(yz − zy))

= tr(xyz) − tr(xzy)
= tr(xyz) − tr(yxz)
= tr((xy − yx)z)
= t([x, y], z).

Assume that L is a subalgebra of gl(n, F ), L is simple, and the restriction of t

to L × L is non-zero. Let J = {y ∈ L : t(x, y) = 0, x ∈ L}. We need to prove
that J = 0. We claim that J is an ideal of L. Let y ∈ L and z ∈ J; we need to
see that [y, z] ∈ J. Let x ∈ L. Now t(x, [y, z]) = t([x, y], z) = 0 because z ∈ J.
It follows that J is an ideal. Since L is simple, J = 0 or J = L. If J = L, then
the restriction of t to L × L is zero, a contradiction. Hence, J = 0.
Lemma 10.5.2. Let L be a Lie algebra over F , and let (π, V ) be a representa-
tion of L. Let
V ∨ = HomF (V, F ),
and regard V ∨ as a vector space over F . Define an action π ∨ of L on V ∨ by
setting
(π ∨ (x)λ)(v) = −λ(π(x)v)
for x ∈ L, λ ∈ V ∨ , and v ∈ V . With this definition, V ∨ is a well-defined
representation of L.
154 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

Proof. We need to prove that the map π ∨ : L → gl(V ∨ ) is a well-defined

Lie algebra homomorphism. This map is clearly well-defined and linear. Let
x, y ∈ L, λ ∈ V ∨ , and v ∈ V . Then

(π ∨ ([x, y])λ)(v) = −λ(π([x, y])v)

= −λ(π(x)π(y)v − π(y)π(x)v).

And

π ∨ (x)π ∨ (y) − π ∨ (y)π ∨ (x) λ

= π ∨ (x) π ∨ (y)λ − π ∨ (y) π ∨ (x)λ ,

so that
 
(π ∨ (x)π ∨ (y) − π ∨ (y)π ∨ (x))λ (v)
= − π ∨ (y)λ (π(x)v) + π ∨ (x)λ (π(y)v)






= λ π(y)π(x)v − λ π(x)π(y)v) .

It follows that

π ∨ ([x, y])λ = (π ∨ (x)π ∨ (y) − π ∨ (y)π ∨ (x))λ,

proving that π ∨ is a Lie algebra homomorphism.

Lemma 10.5.3. Let F have characteristic zero and be algebraically closed. Let
L be a finite-dimensional simple Lie algebra over F . If t1 , t2 : L × L → F are
non-zero, associative, symmetric bilinear forms, then there exists c ∈ F × such
that t2 = ct1 .
Proof. Regard L as a representation π of L via the usual definition ad(x)y =
[x, y] for x, y ∈ L (see Proposition 1.5.1). Via Lemma 10.5.2 regard L∨ as a
representation of L. For v ∈ L, define r1 (v) ∈ L∨ by (r1 (v))(w) = t1 (v, w). We
claim that r1 : L → L∨ is a well-defined homomorphism of representations of
L. Let x ∈ L and v, w ∈ L. Then

r1 (ad(x)v)(w) = t1 (ad(x)v, w)
= t1 ([x, v], w)
= t1 (−[v, x], w)
= t1 (v, −[x, w])
= t1 (v, −ad(x)w)
= r1 (v)(−ad(x)w)
= ad∨ (x)(r1 (v)) (w).

This proves that r1 is a well-defined homomorphism. Since t1 is non-zero, r1 is

non-zero. The kernel of r1 is an L-subspace of L and hence is an ideal of L; since
r1 is non-zero and L is simple, the kernel of r1 is zero. Since L and L∨ have
10.6. SOME USEFUL FACTS 155

the same dimension, r1 is an isomorphism of representations of L. Similarly,

using t2 we may define another isomorphism r2 : LtoL∨ of representations of L.
Consider r1−1 ◦ r2 : L → L. This is also an isomorphism of representations of L.
By Schur’s Lemma, Theorem 4.2.2, there exists c ∈ F such that r1−1 ◦ r2 = cidL ,
or equivalently, r2 = cr1 . Let v, w ∈ L. Then
(r2 (v))(w) = c(r1 (v))(w)
t2 (v, w) = ct1 (v, w).
This completes the proof.
Lemma 10.5.4. Let F have characteristic zero and be algebraically closed. Let
n be a positive integer. Let L be a simple Lie subalgebra of gl(n, F ), and let κ be
the Killing form of L. There exists c ∈ F × such that κ = ct, where t : L×L → F
is defined by t(x, y) = tr(xy) for x, y ∈ L
Proof. This follows from Lemma 10.5.1 and Lemma 10.5.3.

10.6 Some useful facts

Let n be a positive integer. Let i, j ∈ {1, . . . , n}. We let ei j be the element
of gl(n, F ) that has 1 as the (i, j)-th entry and zeros elsewhere. Let i, j, k, ` ∈
{1, . . . , n} and a ∈ gl(n, F ). Then
[eij , ek` ] = δjk ei` − δ`i ekj ,
[eij , eji ] = eii − ejj ,
i 6= ` =⇒ [eik , ek` ] = ei` ,
j 6= k =⇒ [e`j , ek` ] = −ekj ,
i 6= j =⇒ [eij , [eij , a]] = −2aji eij .

10.7 The Lie algebra sl(` + 1)

Lemma 10.7.1. The dimension of the Lie algebra sl(` + 1, F ) is (` + 1)2 − 1.
Proof. A basis for the Lie algebra sl(`+1, F ) consists of the elements eij for i, j ∈
{1, . . . , ` + 1}, i 6= j, and the elements eii − e`+1,`+1 for i ∈ {1, . . . , n − 1}.
Lemma 10.7.2. Let F have characteristic zero and be algebraically closed. The
natural action of sl(`+1, F ) on V = M`+1,1 (F ) is irreducible, so that sl(`+1, F )
is semi-simple.
Proof. Let e1 , . . . , e`+1 be the standard basis for V . Let W be a non-zero sl(` +
1, F )-submodule of V ; we need to prove that W = V . Let w ∈ W be non-zero.
Write  
w1
w =  ...  .
 

w`+1
156 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

Since w is non-zero, there exists j ∈ {1, . . . , ` + 1} such that wj 6= 0. Applying

the elements eij ∈ sl(` + 1, F ) for i ∈ {1, . . . , ` + 1}, i 6= j, to w, we find that
the standard basis vectors ei of V for i ∈ {1, . . . , ` + 1}, i 6= j are contained in
W . Let k ∈ {1, . . . , ` + 1} with k 6= j. Applying the element ejj − ekk to w, we
get that wj ej − wk ek is in W ; this implies that ej is in W . Since W contains
the standard basis for V we have W = V , as desired. By Lemma 10.2.1, the Lie
algebra sl(` + 1, F ) is semi-simple.
Lemma 10.7.3. Let F have characteristic zero and be algebraically closed. The
set H of diagonal matrices in sl(` + 1, F ) is a Cartan subalgebra of sl(` + 1, F ).
Proof. Let W be the F subspace of sl(` + 1, F ) consisting of matrices with zeros
on the main diagonal. Let w ∈ W , and assume that w commutes with every
element of H. By Lemma 10.4.2, to prove that H is a Cartan subalgebra, it
suffices to prove that w = 0. Write
X
w= wij eij
1≤i,j≤`+1,
i6=j

for some wij ∈ F , 1 ≤ i, j ≤ ` + 1, i 6= j. Let h ∈ H, with

 
h11
h=
 .. 
. 
h`+1,`+1

for some h11 , . . . , h`+1,`+1 ∈ F . Then

X
[h, w] = wij [h, eij ]
1≤i,j≤`+1,
i6=j
X
0= wij (hii − hjj )eij .
1≤i,j≤n,
i6=j

Since the eij for i, j ∈ {1, . . . , ` + 1} are linearly independent, we get wij (hii −
hjj ) = 0 for all i, j ∈ {1, . . . , ` + 1} with i 6= j and all h ∈ H. Let i, j ∈
{1, . . . , ` + 1} with i 6= j. Set h = eii − ejj . Then h ∈ H, and we have
wij (hii −hjj ) = 2wij . Since F has characteristic zero, we conclude that wij = 0.
Thus, w = 0.
Lemma 10.7.4. Assume that the characteristic of F is zero and F is alge-
braically closed. Let H be the Cartan subalgebra of L = sl(` + 1, F ) consisting
of diagonal matrices in sl(` + 1, F ), as in Lemma 10.7.3. Then Φ consists of
the linear forms
αij : H −→ F
defined by
αij (h) = hii − hjj
10.7. THE LIE ALGEBRA sl(` + 1) 157

for h ∈ H; here, 1 ≤ i, j ≤ ` + 1 and i 6= j. Moreover

Lαij = F eij

Proof. Let 1 ≤ i, j ≤ ` + 1 with i 6= j. For h ∈ H we have

[h, eij ] = (hii − hjj )eij = αij (h)eij .

It follows that αij ∈ Φ and eij ∈ Lαij . Since

X X
sl(` + 1, F ) = H ⊕ F eij ⊂ H ⊕ Lαij ⊂ sl(` + 1, F )
1≤i,j≤`+1, 1≤i,j≤`+1,
i6=j i6=j

the inclusion must be an equality. This implies that Φ and Lαij for 1 ≤ i, j ≤
` + 1 with i 6= j are as claimed.

Lemma 10.7.5. Let F have characteristic zero and be algebraically closed. Let
` be a positive integer. Let H be the subalgebra of sl(` + 1, F ) consisting of
diagonal matrices; by Lemma 10.7.3, H is a Cartan subalgebra of sl(` + 1, F ).
Let Φ be the set of roots of sl(`+1, F ) defined with respect to H. Let V = R⊗Q V0 ,
where V0 is the Q subspace of H ∨ = HomF (H, F ) spanned by the elements of
Φ; by Proposition 8.2.1, Φ is a root system in V . Let i ∈ {1, . . . , `}, and define

βi : H −→ F

by
βi (h) = hii − hi+1,i+1
for h ∈ H. The set B = {β1 , . . . , β` } is a base for Φ. The positive roots in Φ
are the αij with i < j, and if i < j, then

αij = βi + βi+1 + · · · + βj−1 .

Proof. It was proven in Lemma 10.7.4 that the linear functionals αij : H → F
defined by αij (h) = hii − hjj for h ∈ H and i, j ∈ {1, . . . , ` + 1}, i 6= j,
constitute the set of roots Φ of sl(` + 1, C) with respect to H. Evidently, B ⊂ Φ.
Also, it is clear that B is linearly independent; since B has ` elements and the
dimension of V is ` (by Proposition 7.1.2), it follows that B is a basis for V .
Let i, j ∈ {1, . . . , ` + 1}, i 6= j. Assume that i < j. Then

αij = βi + βi+1 + · · · + βj−1 .

Assume that j < i. Then

αij = −αji = −(βj + βj+1 + · · · + βi−1 ).

It follows that B is a base for Φ and the positive roots in Φ are as described.
158 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

 
 h11 β1 = α12 α13 α14 α15 
 
 
−α h22 β2 = α23 α24 α25 
 12 
 
 
−α −α23 h33 β3 = α34 α35 
 13 
 
 
−α14 −α24 −α34 h44 β4 = α45
 

 
 
−α15 −α25 −α35 −α45 h55

Figure 10.1: The root spaces in sl(5, F ). For this example, ` = 3. The positions are labeled
with the corresponding root. Note that the diagonal is our chosen Cartan subalgebra. The
positive roots with respect to our chosen base {β1 , β2 , β3 , β4 } are boxed, while the colored
roots form our chosen base. The linear functionals αij are defined in Proposition 10.7.4.

Lemma 10.7.6. Assume that the characteristic of F is zero and F is alge-

braically closed. Let ` be a positive integer. The Killing form

κ : sl(` + 1, F ) × sl(` + 1, F ) −→ F

is given by
κ(h, h0 ) = (2` + 2) · tr(hh0 )
for h, h0 ∈ H. Here, H is the subalgebra of diagonal matrices in sl(` + 1, F ); H
is a Cartan subalgebra of sl(` + 1, F ) by Lemma 10.7.3.

Proof. Let h, h0 ∈ H. Then:

κ(h, h0 )
= tr(ad(h) ◦ ad(h0 ))
X
= α(h)α(h0 )
α∈Φ
X
= (hii − hjj )(h0ii − h0jj )
i,j∈{1,...,`+1},
i6=j
X X
= hii h0ii − hii h0jj
i,j∈{1,...,`+1}, i,j∈{1,...,`+1},
i6=j i6=j
X X
− hjj h0ii + hjj h0jj
i,j∈{1,...,`+1}, i,j∈{1,...,`+1},
i6=j i6=j
X X
= 2` hii h0ii − 2 hii h0jj
i∈{1,...,`+1} i,j∈{1,...,`+1},
i6=j
10.7. THE LIE ALGEBRA sl(` + 1) 159
X X
= 2` · tr(hh0 ) − 2 hii h0jj + 2 hii h0ii
i,j∈{1,...,`+1} i∈{1,...,`+1}

= 2` · tr(hh ) − 2 · tr(h) · tr(h ) + 2 · tr(hh0 )

0 0

= (2` + 2) · tr(hh0 ) − 2 · 0 · 0
= (2` + 2) · tr(hh0 ),

where we note that tr(h) = tr(h0 ) = 0 because h, h0 ∈ sl(` + 1, F ).

Lemma 10.7.7. Let the notation as in Lemma 10.7.5. If i ∈ {1, . . . , `}, then
1
tβi = (eii − ei+1,i+1 ).
2` + 2
Let i, j ∈ {1, . . . , `}. Then

 2

 if i = j,
2` + 2



−1

(βi , βj ) = if i and j are consecutive,


 2` + 2


0 if i 6= j and i and j are not consecutive.



Proof. Let i ∈ {1, . . . , `}, and let h ∈ H. Then

βi (h) = hii − hi+1,i+1 .

Also,
1
1 1
κ h, (eii − ei+1,i+1 ) = κ(h, eii ) − κ(h, ei+1,i+1 )
2` + 2 2` + 2 2` + 2
2` + 2 2` + 2
= · tr(heii ) − · tr(hei+1,i+1 )
2` + 2 2` + 2
= tr(heii ) − tr(hei+1,i+1 )
= hii − hi+1,i+1 .

By definition, tβi is the unique element of H such that βi (h) = κ(h, tβi ) for all
h ∈ H. The last two equalities imply that
1
tβi = (eii − ei+1,i+1 ).
2` + 2
Let i, j ∈ {1, . . . , `}. By the definition of the inner product on V and Lemma
10.7.6 we have

(βi , βj ) = κ(tβi , tβj )

= (2` + 2)tr(tβi tβj )
1

= tr (eii − ei+1,i+1 )(ejj − ej+1,j+1 )
2` + 2
160 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

1 
= tr(eii ejj ) − tr(eii ej+1,j+1 )
2` + 2

− tr(ei+1,i+1 ejj ) + tr(ei+1,i+1 ej+1,j+1 )
1  
= δij − δi,j+1 − δi+1,j + δi+1,j+1 .
2` + 2
The formula for (βi , βj ) follows.
Lemma 10.7.8. Let F have characteristic zero and be algebraically closed. The
Dynkin diagram of sl(` + 1, F ) is
A` : ...

and the Cartan matrix of sl(` + 1, F ) is

 
2 −1
−1 2 −1 
 

 −1 2 −1 

 .. .. .. 

 . . . 

 −1 2 −1
−1 2
The Lie algebra sl(` + 1, F ) is simple.
Proof. Let i, j ∈ {1, . . . , `} with i 6= j. We have by Lemma 10.7.7,
(βi , βj )
hβi , βj i = 2
(βj , βj )

−1 if i and j are consecutive,
=
0 if i and j are not consecutive.
Hence,
(βi , βj )2
hβi , βj ihβj , βi i = 4
(βi , βi )(βj , βj )

1 if i and j are consecutive,
=
0 if i and j are not consecutive.
It follows that the Dynkin diagram of sl(` + 1, F ) is A` , and the Cartan matrix
of sl(`+1, F ) is as stated. Since A` is connected, sl(`+1, F ) is simple by Lemma
9.3.2 and Proposition 10.3.2.
Lemma 10.7.9. Assume that the characteristic of F is zero and F is alge-
braically closed. Let ` be a positive integer. The Killing form
κ : sl(` + 1) × sl(` + 1) −→ F
is given by
κ(x, y) = (2` + 2) · tr(xy).
for x, y ∈ sl(` + 1, F ).
10.8. THE LIE ALGEBRA so(2` + 1) 161

Proof. By Lemma 10.5.3, there exists c ∈ F × such that κ(x, y) = ctr(xy) for
x, y ∈ sl(` + 1, F ). Let H be the subalgebra of diagonal matrices in sl(` + 1, F );
H is a Cartan subalgebra of sl(` + 1, F ) by Lemma 10.7.3. By Lemma 10.7.6 we
have κ(h, h0 ) = (2`+2)·tr(hh0 ) for h, h0 ∈ H. Hence, ctr(hh0 ) = (2`+2)·tr(hh0 )
for h, h0 ∈ H. Since there exist h, h0 ∈ H such that tr(hh0 ) 6= 0 we conclude
that c = 2` + 2.
Lemma 10.7.10. Let the notation as in Lemma 10.7.4 and Lemma 10.7.5. Let
1
i, j ∈ {1, . . . , ` + 1} with i 6= j. The length of every root is √`+1 .
Proof. Let α ∈ Φ+ . We know that α1 , . . . , α` is an ordered basis for V . By
Lemma 10.7.7 the matrix of the inner product (·, ·) in this basis is
 
2 −1
−1 2 −1 
 
1   −1 2 −1 
M= .

2` + 2 
 .. .. ..
 . . . 

 −1 2 −1
−1 2
The coordinate vector of α in this basis has the form
 
0
 .. 
.
 
0
 
1
 
c =  ...  .
 
 
1
 
0
 
.
 .. 
0
2 1
A calculation shows that (α, α) = t cM c = 2`+2 = `+1 ; hence the length of α is
√1 .
`+1

10.8 The Lie algebra so(2` + 1)

Lemma 10.8.1. The Lie algebra so(2` + 1, F ) consists of the x ∈ gl(2` + 1, F )
of the form
1 ` `
 
0 b c 1
 
x= t
− c f g 
 `
−t b G t
−f `

where g = −t g and G = −t G. The dimension of so(2` + 1, F ) is 2`2 + `.

162 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

Proof. Let x ∈ gl(2` + 1, F ), and write

1 ` `
 
a b c 1
 
x=
B f g `
C G h `

where a ∈ F , f ∈ gl(`, F ), h ∈ gl(`, F ), and b, c, g, B, C and G are appropriately

sized matrices with entries from F . By definition, s ∈ so(2` + 1, F ) if and only
if t xS = −Sx. We have
    
t
a tB tC 1 a tC tB
t
    
t t
xS = 
 b f t G
 t t
 =  b G f.
1`  t 

t
c tg th 1` t
c th tg

And:     
1 a b c −a −b −c
    
−Sx = − 
 1` 
 B
 f  = −C
g  −G −h.
1` C G h −B −f −g
It follows that x ∈ so(2` + 1, F ) if and only if:

a = 0,
B = −t c,
C = −t b,
G = −t G,
h = −t f,
g = −t g.

This completes the proof.

Lemma 10.8.2. Assume that the characteristic of F is not two. The Lie alge-
bras so(3, F ) and sl(2, F ) are isomorphic.
Proof. Recalling the structure of sl(2, F ), it suffices to prove that so(3, F ) has
a vector space basis e, f, h such that [e, f ] = h, [h, e] = 2e and [h, f ] = −2f .
Define the following elements of so(3, F ):
     
0 0 1 0 −2 0 0 0 0
e = −1 0 0 , f = 0 0 0 , h = 0 2 0  .
0 0 0 2 0 0 0 0 −2

Evidently, e, f and h form a vector space basis for so(3, F ), and calculations
prove that [e, f ] = h, [h, e] = 2e and [h, f ] = −2f .
10.8. THE LIE ALGEBRA so(2` + 1) 163

Lemma 10.8.3. Let ` be an integer with ` ≥ 2. Let x ∈ M`,1 (F ) be non-zero.

t
There exists w ∈ gl(`, F ) such that − w = w and wx 6= 0.

Proof. Since x 6= 0 there exists j ∈ {1, . . . , `} such that xj 6= 0. Since ` ≥ 2,

t
there exists i ∈ {1, . . . , `} such that i 6= j. Set w = eij − eij = eij − eji . Then
wx = xj ei − xi ej 6= 0.

Lemma 10.8.4. Let ` be an integer with ` ≥ 2. Assume that the characteristic

of F is zero and F is algebraically closed. The natural representation of so(2` +
1, F ) on M2`+1,1 (F ) given by multiplication of matrices is irreducible. The Lie
algebra so(2` + 1, F ) is semi-simple.

Proof. Assume that V is a non-zero so(2` + 1, F ) subspace of M2`+1,1 (F ); we

need to prove that V = M2`+1,1 (F ). We will write the elements of M2`+1,1 (F )
in the form  
x 1
y  ` .
z `
We first claim that V contains an element of the form
 
0
y 
0

with y 6= 0. To see this, let  

x
v = y 
z
be a non-zero element of V . Assume first that y = z = 0, so that x 6= 0. Let
c ∈ F ` be such that t cx ∈ M`,1 (F ) is non-zero. Since
      
0 0 c 0 0 c x 0
−t c 0 0 v = −t c 0 0  0  = −t cx ∈ V,
0 0 0 0 0 0 0 0

our claim holds in this case. We may thus assume that y 6= 0 or z 6= 0. Assume
that z 6= 0. Let g ∈ M`,` (F ) be such that −t g = g and gz 6= 0; such a g exists
by Lemma 10.8.3. Since
      
0 0 0 0 0 0 x 0
0 0 g  v = 0 0 g  y  = gz  ∈ V,
0 0 0 0 0 0 z 0

our claim holds in this case. We may now assume that z = 0 and y 6= 0 so that
v has the form  
x
v = y  .
0
164 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

Let f ∈ gl(`, F ) be such that f y 6= 0. Then

      
0 0 0 0 0 0 x 0
0 f 0  v = 0 f 0  y  = f y  ∈ V,
0 0 −t f 0 0 −t f 0 0

proving our claim in this final case. Thus, our claim holds; that is, V contains
a vector  
0
w = y 
0
with y 6= 0. If f ∈ gl(`, F ), then
      
0 0 0 0 0 0 0 0
0 f 0  w = 0 f 0  y  = f y  ∈ V.
0 0 −t f 0 0 −t f 0 0

Since the action of gl(`, F ) on M`,1 (F ) is irreducible, it follows that V contains

the subspace  
0
M`,1 (F ) .
0

Let G ∈ M`,` (F ) be such that −t G = G and Gy 6= 0; such a G exists by Lemma

10.8.3. We have
      
0 0 0 0 0 0 0 0
0 0 0 w = 0 0 0 y  =  0  ∈ V.
0 G 0 0 G 0 0 Gy

Acting on this vector by elements of so(2` + 1, F ) by elements of the form

 
0 0 0
0 f 0 
0 0 −t f

for f ∈ gl(`, F ) we deduce that V contains the subspace

 
0
 0 .
M`,1 (F )

Finally, let b ∈ M`,1 (F ) and y ∈ M1,` (F ) be such that by 6= 0. Then

    
0 b 0 0 by
 0 0 0 y  =  0  ∈ V.
−t b 0 0 0 0
10.8. THE LIE ALGEBRA so(2` + 1) 165

It follows that V also contains the one-dimensional space

 
F
0.
0

We conclude that V = M2`+1 (F ), as desired.

Finally, so(2`+1, F ) is semi-simple by Lemma 10.2.1 (note that so(2`+1, F )
is contained in sl(2` + 1, F ) by Lemma 10.1.1).

Lemma 10.8.5. Let F be a field, and let n be a positive integer. Let a ∈

gl(n, F ). If ah = ha for all diagonal matrices h ∈ gl(n, F ), then a is a diagonal
matrix. If F does not have characteristic two, and ah = −ha for all diagonal
matrices h ∈ gl(n, F ), then a = 0.

Proof. Assume that ah = ha for all diagonal matrices h ∈ gl(n, F ). Let h ∈

gl(n, F ) be a diagonal matrix. Then for all i, j ∈ {1, . . . , n} we have aij hjj =
hii aij , i.e., (hii − hjj )aij = 0. It follows that aij = 0 for i, j ∈ {1, . . . , n} with
i 6= j; that is, a is a diagonal matrix.
Assume that F does not have characteristic two. Assume that ah = −ha
for all diagonal matrices h ∈ gl(n, F ). Let h ∈ gl(n, F ) be a diagonal matrix.
Then for all i, j ∈ {1, . . . , n} we have aij hjj = −hii aij , i.e., (hii + hjj )aij = 0.
This implies that a = 0; note that this uses that F does not have characteristic
two.

Lemma 10.8.6. Let F have characteristic zero and be algebraically closed. The
set H of diagonal matrices in so(2`+1, F ) is a Cartan subalgebra of so(2`+1, F ).

Proof. By Lemma 10.4.2, to prove that H is a Cartan subalgebra of so(2`+1, F ),

it suffices prove that if w ∈ so(2` + 1, F ) has zero entries on the main diagonal
and wh = hw for h ∈ H, then w = 0. Let w be such an element of so(2` + 1, F ),
and write, as usual,
 
0 b c
w = −t c f g .
− b G −t f
t

Let h ∈ H, so that h has the form

   
0 0 0 0 0 0
h = 0 d 0  = 0 d 0
0 0 −t d 0 0 −d

with d ∈ gl(`, F ) diagonal. We have

    
0 b c 0 0 0 0 bd −cd
wh = −t c f g  0 d 0  = −t c f d −gd
−t b G −t f 0 0 −d −t b Gd t f d
166 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

and     
0 0 0 0 b c 0 0 0
hw = 0 d 0  −t c f g  = −dt c df dg  .
0 0 −d −t b G −t f dt b −dG dt f
It follows that
bd = 0,
cd = 0,
f d = df,
gd = −dg,
Gd = −dG.
Since these equations hold for all diagonal matrices d ∈ gl(`, F ), it follows that
b = 0 and c = 0. Also, by Lemma 10.8.5, f is a diagonal matrix and g = 0 and
G = 0. Since, by assumption, w has zero entries on the main diagonal, we see
that f = 0. Thus, w = 0.
Lemma 10.8.7. Let ` be an integer with ` ≥ 2. Let F have characteristic zero
and be algebraically closed. Let ` be a positive integer. Let H be the subalgebra
of so(2`+1, F ) consisting of diagonal matrices; by Lemma 10.8.6, H is a Cartan
subalgebra of so(2` + 1, F ). Let Φ be the set of roots of so(2` + 1, F ) defined with
respect to H. Let V = R⊗Q V0 , where V0 is the Q subspace of H ∨ = HomF (H, F )
spanned by the elements of Φ; by Proposition 8.2.1, Φ is a root system in V .
For j ∈ {1, . . . , `}, define a linear functional
αj : H −→ F
by  
0 0 0
αj (0 h 0 ) = hjj
0 0 −h
for h ∈ gl(`, F ) and h diagonal. The set Φ consists of the following 2`2 linear
functionals on H:
α1 , . . . , αn ,
−α1 , . . . , −αn ,
αi − αj , i, j ∈ {1, . . . , `}, i 6= j,
αi + αj , i, j ∈ {1, . . . , `}, i < j,
−(αi + αj ), i, j ∈ {1, . . . , `}, i < j.
The set
B = {β1 = α1 − α2 , β2 = α2 − α3 , . . . , β`−1 = α`−1 − α` , β` = α` }
is a base for Φ, and the positive roots with respect to B are
α1 , . . . , αn ,
10.8. THE LIE ALGEBRA so(2` + 1) 167

αi − αj , i, j ∈ {1, . . . , `}, i < j,

αi + αj , i, j ∈ {1, . . . , `}, i < j.
The root spaces are:
 
0 0 e1j
Lαj = F · −t e1j 0 0  , j ∈ {1, . . . , `},
0 0 0
 
0 e1j 0
L−αj = F · 0 0 0 , j ∈ {1, . . . , `},
−t e1j 0 0
 
0 0 0
Lαi −αj = F · 0 eij 0  , i, j ∈ {1, . . . , `}, i 6= j,
0 0 −eji
 
0 0 0
Lαi +αj = F · 0 0 eij − eji  , i, j ∈ {1, . . . , `}, i < j,
0 0 0
 
0 0 0
L−(αi +αj ) = F · 0 0 0 , i, j ∈ {1, . . . , `}, i < j.
0 eij − eji 0

Proof. Let h ∈ gl(`, F ) be a diagonal matrix. We have

   
0 0 0 0 e1j 0
[0 h 0  ,  0 0 0]
0 0 −h −t e1j 0 0
     
0 0 0 0 e1j 0 0 e1j 0 0 0 0
= 0 h 0   0 0 0 −  0 0 0 0 h 0 
0 0 −h −t e1j 0 0 −t e1j 0 0 0 0 −h
   
0 0 0 0 e1j h 0
= 0 0 0 − 0 0 0
ht e1j 0 0 0 0 0
   
0 0 0 0 e1j 0
= −hjj  0 0 0 − hjj 0 0 0
−t e1j 0 0 0 0 0
 
0 e1j 0
= (−hjj ) ·  0 0 0 .
−t e1j 0 0
That is,
     
0 0 0 0 e1j 0 0 e1j 0
[0 h 0 , 0 0 0] = (−hjj ) ·  0 0 0 .
0 0 −h −t e1j 0 0 −t e1j 0 0
168 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

Taking transposes of this equation yields:

     
0 0 −e1j 0 0 0 0 0 −e1j
[t e1j 0 0  , 0 h 0 ] = (−hjj ) · t e1j 0 0 
0 0 0 0 0 −h 0 0 0
     
0 0 0 0 0 −e1j 0 0 −e1j
−[0 h 0  , t e1j 0 0 ] = (−hjj ) · t e1j 0 0 
0 0 −h 0 0 0 0 0 0
     
0 0 0 0 0 e1j 0 0 e1j
[0 h 0  , −t e1j 0 0 ] = hjj · −t e1j 0 0 .
0 0 −h 0 0 0 0 0 0

And
   
0 0 0 0 0 0
[0 h 0  , 0 0 eij − eji ]
0 0 −h 0 0 0
     
0 0 0 0 0 0 0 0 0 0 0 0
= 0 h 0  0 0 eij − eji  − 0 0 eij − eji  0 h 0 
0 0 −h 0 0 0 0 0 0 0 0 −h
   
0 0 0 0 0 0
= 0 0 hii eij − hjj eji  − 0 0 −hjj eij + hii eji 
0 0 0 0 0 0
 
0 0 0
= 0 0 hii eij − hjj eji + hjj eij − hii eji 
0 0 0
 
0 0 0
= 0 0 (hii + hjj )eij − (hii + hjj )eji 
0 0 0
 
0 0 0
= (hii + hjj ) · 0 0 eij − eji  .
0 0 0

Taking transposes, we obtain:

     
0 0 0 0 0 0 0 0 0
[0 0 0 , 0 h 0 ] = (hii + hjj ) · 0 0 0
0 eji − eij 0 0 0 −h 0 eji − eij 0
     
0 0 0 0 0 0 0 0 0
−[0 h 0  , 0 0 0] = (hii + hjj ) · 0 0 0
0 0 −h 0 eji − eij 0 0 eji − eij 0
     
0 0 0 0 0 0 0 0 0
[0 h 0  , 0 0 0] = −(hii + hjj ) · 0 0 0 .
0 0 −h 0 eij − eji 0 0 eij − eji 0
10.8. THE LIE ALGEBRA so(2` + 1) 169

And
   
0 0 0 0 0 0
[0 h 0  , 0 eij 0 ]
0 0 −h 0 0 −eji
     
0 0 0 0 0 0 0 0 0 0 0 0
= 0 h 0  0 eij 0  − 0 eij 0  0 h 0 
0 0 −h 0 0 −eji 0 0 −eji 0 0 −h
   
0 0 0 0 0 0
= 0 hii eij 0  − 0 hjj eij 0 
0 0 hjj eji 0 0 hii eji
 
0 0 0
= 0 (hii − hjj )eij 0 
0 0 (hii − hjj )(−eji )
 
0 0 0
= (hii − hjj ) · 0 eij 0 .
0 0 −eji
These calculations show that the linear functionals from the statement of the
lemma are indeed roots, and that the root spaces of these roots are as stated
(recall that any root space is one-dimensional by Proposition 7.0.8). Since the
span of H and the stated root spaces is so(2` + 1, F ) it follows that these roots
are all the roots of so(2` + 1, F ) with respect to H. It is straightforward to
verify that B is a base for Φ, and that the positive roots of Φ with respect to
B are as stated. Note that the dimension of V is ` (by Proposition 7.1.2).

 
 0 −α1 −α2 −α3 α1 α2 β3 = α3 
 
 
 ∗ β1 = α1 − α2 α1 − α3
 
h11 0 α1 + α2 α1 + α3 
 
 
 
 ∗ α2 − α1 h22 β2 = α2 − α3 ∗ 0 α2 + α3 
 
 
 
 ∗ α3 − α1 α3 − α2 h33 ∗ ∗ 0
 

 
 
 ∗ 0 −(α1 + α2 ) −(α1 + α3 ) −h11 ∗ ∗
 

 
 
 ∗ ∗ 0 −(α2 + α3 ) ∗ −h22 ∗
 

 
 
∗ ∗ ∗ 0 ∗ ∗ −h33

Figure 10.2: The decomposition of so(7, F ) = so(2 · 3 + 1, F ). For this example, ` = 3.

The positions are labeled with the corresponding root. Note that the diagonal is our chosen
Cartan subalgebra. The positive roots with respect to our chosen base {β1 , β2 , β3 } are boxed,
while the colored roots form our chosen base. Positions labeled with ∗ are determined by
other entries. The linear functionals α1 , α2 and α3 are defined in Proposition 10.8.7.
170 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

Lemma 10.8.8. Assume that the characteristic of F is zero and F is alge-

braically closed. Let ` be a positive integer. The Killing form
κ : so(2` + 1, F ) × so(2` + 1, F ) −→ F
is given by
κ(h, h0 ) = (2` − 1) · tr(hh0 )
for h, h0 ∈ H. Here, H is the subalgebra of diagonal matrices in so(2` + 1, F );
H is a Cartan subalgebra of so(2` + 1, F ) by Lemma 10.8.6.
Proof. Let h, h0 ∈ H. Then
   
0 0 0 0 0 0
κ(0 h 0  , 0 h0 0 )
0 0 −h 0 0 −h0
   
0 0 0 0 0 0
= tr(ad(0 h 0 ) ◦ ad(0 h0 0 ))
0 0 −h 0 0 −h0
   
X 0 0 0 0 0 0
=2 α(0 h 0 )α(0 h0 0 )
α∈Φ+ 0 0 −h 0 0 −h0
X
=2 hi h0i
i∈{1,...`}
X
+2 (hi − hj )(h0i − h0j )
i,j∈{1,...,`},
i<j
X
+2 (hi + hj )(h0i + h0j )
i,j∈{1,...,`},
i<j
  
0 0 0 0 0 0
= tr(0 h 0  0 h0 0 )
0 0 −h 0 0 −h0
X
+2 (hi h0i − hi h0j − hj h0i + hj h0j + hi h0i + hi h0j + hj h0i + hj h0j )
i,j∈{1,...,`},
i<j
  
0 0 0 0 0 0 X
= tr(0 h 0  0 h0 0 ) + 4 (hi h0i + hj h0j )
0
0 0 −h 0 0 −h i,j∈{1,...,`},
i<j
  
0 0 0 0 0 0 X X
= tr(0 h 0  0 h0 0 ) + 4 hi h0i + 4 hj h0j
0
0 0 −h 0 0 −h i,j∈{1,...,`}, i,j∈{1,...,`},
i<j i<j
  
0 0 0 0 0 0
= tr(0 h 0  0 h0 0 )
0 0 −h 0 0 −h0
10.8. THE LIE ALGEBRA so(2` + 1) 171
X X
+4 (` − i)hi h0i + 4 (j − 1)hj h0j
i∈{1,...,`} j∈{1,...,`}
  
0 0 0 0 0 0 X
= tr(0 h 0  0 h0 0 ) + 4 (` − i + i − 1)hi h0i
0
0 0 −h 0 0 −h i∈{1,...,`}
  
0 0 0 0 0 0 X
= tr(0 h 0  0 h0 0 ) + 4(` − 1) hi h0i
0
0 0 −h 0 0 −h i∈{1,...,`}
     
0 0 0 0 0 0 0 0 0 0 0 0
= tr(0 h 0  0 h0 0 ) + 2(` − 1)tr(0 h 0  0 h0 0 )
0 0 −h 0 0 −h0 0 0 −h 0 0 −h0
  
0 0 0 0 0 0
= (2` − 1)tr(0 h 0  0 h0 0 ).
0 0 −h 0 0 −h0
This completes the proof.
Lemma 10.8.9. Let the notation as in Lemma 10.8.7. For i, j ∈ {1, . . . , `},

2
if i = j ∈ {1, . . . , ` − 1},






 4` −2

 1

 if i = j = `,
(βi , βj ) = 4` −2
 −1
if i and j are consecutive,


4` −2






 0 if i and j are not consecutive and i 6= j.


Proof. Let i ∈ {1, . . . , `}. We have

   
0 0 0 0 0 0
1
κ(0 h 0  , 0 eii 0 )
4` − 2
0 0 −h 0 0 −eii
  
0 0 0 0 0 0
2` − 1 
= tr( 0 h 0  0 eii 0 )
4` − 2
0 0 −h 0 0 −eii
2` − 1
= · 2hii
4` − 2
= hii
 
0 0 0
= α(0 h 0 ).
0 0 −h
It follows that  
0 0 0
1 
tαi = 0 eii 0 .
4` − 2
0 0 −eii
172 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

Also let j ∈ {1, . . . , `}. Then

(αi , αj ) = κ(tαi , tαj )

  
0 0 0 0 0 0
2` − 1 0 eii
= tr( 0  0 ejj 0 )
(4` − 2)2
0 0 −eii 0 0 −ejj
(
2` − 1 2 if i = j,
= ·
(4` − 2)2 0 if i 6= j

 1 if i = j,
= 4` − 2
0 if i 6= j.

Assume that i, j ∈ {1, . . . , ` − 1}. Then

(βi , βj ) = (αi − αi+1 , αj − αj+1 )

= (αi , αj ) − (αi , αj+1 ) − (αi+1 , αj ) + (αi+1 , αj+1 )

 2

 if i = j,
 4` − 2



= −1
if i and j are consecutive,


 4` − 2


 0 if i and j are not consecutive and i 6= j.


Assume that i ∈ {1, . . . , ` − 1}. Then

(βi , β` ) = (αi − αi+1 , α` )

= (αi , α` ) − (αi+1 , α` )
= −(αi+1 , α` )
 −1

if i = ` − 1,
= 4` − 2
0 6 ` − 1.
if i =

Finally,

(β` , β` ) = (α` , α` )
1
= .
4` − 2
This completes the proof.
Lemma 10.8.10. Let ` be an integer such that ` ≥ 2. Let F have characteristic
zero and be algebraically closed. Let ` be a positive integer. The Dynkin diagram
of so(2` + 1, F ) is

B` : ... i
10.8. THE LIE ALGEBRA so(2` + 1) 173

and the Cartan matrix of so(2` + 1, F ) is

 
2 −1
−1 2 −1 
 

 −1 2 −1 

 .. .. .. 

 . . . 


 −1 2 −1 

 −1 2 −2
−1 2

The Lie algebra so(2` + 1, F ) is simple.

Proof. Let i, j ∈ {1, . . . , `} with i 6= j. Then

(βi , βj )
hβi , βj i = 2
(βj , βj )

 −2 if i and j are consecutive and j = `,
= −1 if i and j are consecutive and j 6= `,
0 if i and j are not consecutive.


Hence,

(βi , βj )2
hβi , βj ihβj , βi i = 4
(βi , βi )(βj , βj )

 2 if i and j are consecutive and j = ` or i = `,
= 1 if i and j are consecutive and i 6= ` and j 6= `,
0 if i and j are not consecutive.


It follows that the Dynkin diagram of so(2` + 1, F ) is B` , and the Cartan matrix
of so(2` + 1, F ) is as stated. Since B` is connected, so(2` + 1, F ) is simple by
Lemma 9.3.2 and Proposition 10.3.2.
Lemma 10.8.11. Assume that the characteristic of F is zero and F is alge-
braically closed. Let ` be a positive integer. The Killing form

κ : so(2` + 1, F ) × so(2` + 1, F ) −→ F

is given by
κ(x, y) = (2` − 1) · tr(xy).
for x, y ∈ so(2` + 1, F ).
Proof. By Lemma 10.5.3, there exists c ∈ F × such that κ(x, y) = ctr(xy) for
x, y ∈ so(2`+1, F ). Let H be the subalgebra of diagonal matrices in so(2`+1, F );
H is a Cartan subalgebra of so(2`+1, F ) by Lemma 10.8.6. By Lemma 10.8.8 we
have κ(h, h0 ) = (2`−1)·tr(hh0 ) for h, h0 ∈ H. Hence, ctr(hh0 ) = (2`−1)·tr(hh0 )
for h, h0 ∈ H. Since there exist h, h0 ∈ H such that tr(hh0 ) 6= 0 we conclude
that c = 2` − 1.
174 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

10.9 The Lie algebra sp(2`)

Lemma 10.9.1. Let ` be a positive integer. The Lie algebra sp(2`, F ) consists
of the matrices  
a b
c −t a
for a, b, c ∈ gl(`, F ) with t b = b and t c = c. The dimension of sp(2`, F ) is
2`2 + `.

Proof. Let  
a b
x=
c d
t
with a, b, c, d ∈ gl(`, F ). Then, by definition, x ∈ sp(2`, F ) if and only if xS =
−Sx where  
0 1`
S= .
−1` 0
Thus,

x ∈ sp(2`, F )
t
⇐⇒ xS = −Sx
t     
a b 0 1` 0 1` a b
⇐⇒ =−
c d −1` 0 −1` 0 c d
t t     
a c 0 1` −c −d
⇐⇒ t t =
b d −1` 0 a b
 t t   
− c a −c −d
⇐⇒ t t = .
− d b a b

This is the first assertion of the lemma. Using this result it is straightforward
to see that dimF sp(2`, F ) = 2`2 + `.

Lemma 10.9.2. Let ` be a positive integer. Let F have characteristic zero

and be algebraically closed. The natural action of sp(2`, F ) on V = M2`,1 (F ) is
irreducible, so that sp(2`, F ) is semi-simple.

Proof. Let W be a non-zero sp(2`, F ) subspace of V ; we need to prove that

W = V . Since W is non-zero, W contains a non-zero vector
 
x
v= .
y

Assume first that x 6= 0 and y = 0. Now

      
a 0 a 0 x ax
t w = t =
0 − a 0 − a 0 0
10.9. THE LIE ALGEBRA sp(2`) 175

for a ∈ gl(`, F ). Since x 6= 0 and the action of gl(`, F ) on M`,1 (F ) is irreducible,

it follows that W contains all vectors of the form
 
∗
.
0

Now  
0 0
1` 0
is contained in sp(2`, F ) and
   0  
0 0 x 0
= 0
1` 0 0 x

for x ∈ M`,1 (F ). It follows that W contains all the vectors of the form
 
0
.
∗

We conclude that, in the current case, W = V . If x = 0 and y 6= 0, then a

similar argument shows that W = V . Assume that x 6= 0 and y 6= 0. Since
x 6= 0 and y 6= 0, there exists a ∈ GL(`, F ) such that ax = y. Now
 
a −1
t
0 − a

is contained in sp(2`, F ), and

    
a −1 x 0
t = t .
0 − a y − ay
t
Since a is invertible, and y 6= 0, we have − ay 6= 0. We are now in the situation
of a previous case; it follows that W = V .
Finally, sp(2`, F ) is semi-simple by Lemma 10.2.1 (note that sp(2`, F ) is
contained in sl(2`, F ) by Lemma 10.1.1).
Lemma 10.9.3. Let F have characteristic zero and be algebraically closed. The
set H of diagonal matrices in sp(2`, F ) is a Cartan subalgebra of sp(2`, F ).
Proof. By Lemma 10.4.2, to prove that H is a Cartan subalgebra of sp(2`, F ),
it suffices prove that if w ∈ sp(2`, F ) has zero entries on the main diagonal and
wh = hw for h ∈ H, then w = 0. Let w be such an element of sp(2`, F ), and
write, as usual,  
a b
w= t .
c − a
By assumption, a has zero on the main diagonal. Let h ∈ H, so that
 
d 0
h=
0 −d
176 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

where d ∈ gl(`, F ) is diagonal. We have

    
a b d 0 ad −bd
wh = t = t
c − a 0 −d cd ad
and     
d 0 a b da db
hw = t = t .
0 −d c − a −dc d a
It follows that
ad = da,
bd = −db,
cd = −dc,
t t
ad = d a.
Lemma 10.8.5 implies that b = c = 0 and that a is diagonal. Since a has zeros
on the main diagonal by assumption, we also get a = 0. Hence, w = 0.
Lemma 10.9.4. Let ` be an integer such that ` ≥ 2. Let F have character-
istic zero and be algebraically closed. Let ` be a positive integer. Let H be
the subalgebra of sp(2`, F ) consisting of diagonal matrices; by Lemma 10.9.3,
H is a Cartan subalgebra of sp(2`, F ). Let Φ be the set of roots of sp(2`, F )
defined with respect to H. Let V = R ⊗Q V0 , where V0 is the Q subspace of
H ∨ = HomF (H, F ) spanned by the elements of Φ; by Proposition 8.2.1, Φ is a
root system in V . For i ∈ {1, . . . , `}, define a linear functional
αi : H −→ F
by  
h 0
αi ( ) = hii
0 −h
for h ∈ gl(`, F ) and h diagonal. The set Φ consists of the following 2`2 linear
functionals on H:
αi − αj , i, j ∈ {1, . . . , `}, i 6= j,
2α1 , . . . , 2α` ,
−2α1 , . . . , −2α` ,
αi + αj , i, j ∈ {1, . . . , `}, i < j,
−(αi + αj ), i, j ∈ {1, . . . , `}, i < j.
The set
B = {β1 = α1 − α2 , β2 = α2 − α3 , . . . , β`−1 = α`−1 − α` , β` = 2α` }
is a base for Φ, and the positive roots with respect to B are the set P , where P
consists of the following roots:
αi − αj , i, j ∈ {1, . . . , `}, i < j,
10.9. THE LIE ALGEBRA sp(2`) 177

2α1 , . . . , 2αn ,
αi + αj , i, j ∈ {1, . . . , `}, i < j.

The root spaces are:

 
e 0
Lαi −αj = F · ij , i, j ∈ {1, . . . , `}, i 6= j,
0 −eij
 
0 eii
L2αi = F · , i ∈ {1, . . . , `},
0 0
 
0 0
L−2αi = F · , i ∈ {1, . . . , `},
eii 0
 
0 eij + eji
Lαi +αj = F · , i, j ∈ {1, . . . , `}, i < j,
0 0
 
0 0
L−(αi +αj ) = F · , i, j ∈ {1, . . . , `}, i < j.
eij + eji 0

Proof. Let h ∈ gl(`, F ) be a diagonal matrix. Let i, j ∈ {1, . . . , `} with i 6= j.

Then
         
h 0 e 0 h 0 eij 0 e 0 h 0
[ , ij ]= − ij
0 −h 0 −eij 0 −h 0 −eij 0 −eij 0 −h
   
h e 0 h e 0
= ii ij − jj ij
0 −hii eij 0 −hjj eij
 
e 0
= (hii − hjj ) ij .
0 −eij

This equation proves that αi − αj is a root and that Lαi −αj is as stated. Next,
let h ∈ gl(`, F ) be a diagonal matrix, and let i, j ∈ {1, . . . , `}. Then
         
h 0 0 eij + eji h 0 0 eij + eji 0 eij + eji h 0
[ , ]= −
0 −h 0 0 0 −h 0 0 0 0 0 −h
   
0 hii eij + hjj eji 0 −hjj eij − hii eji
= −
0 0 0 0
 
0 eij + eji
= (hii + hjj ) .
0 0

This proves that 2αi is a root for i ∈ {1, . . . , `} and that αi + αj is a root for
i, j ∈ {1, . . . , `} with i < j; also the root spaces of these roots are as stated.
Again let h ∈ gl(`, F ) be a diagonal matrix, and let i, j ∈ {1, . . . , `}. Taking
tranposes of the last equation, we obtain:
    t 
t h 0 0 eij + eji 0 eij + eji
[ , ] = (hii + hjj )
0 −h 0 0 0 0
     
0 0 h 0 0 0
[ , ] = (hii + hjj )
eij + eji 0 0 −h eij + eji 0
178 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS
     
h 0 0 0 0 0
[ , ] = −(hii + hjj ) .
0 −h eij + eji 0 eij + eji 0

This proves that −2αi is a root for i ∈ {1, . . . , `} and that −(αi + αj ) is a
root for i, j ∈ {1, . . . , `} with i < j; also the root spaces of these roots are as
described.
To see that B is a base for Φ we note first that dimF V = `, and that the
elements of B are evidently linearly independent; it follows that B is a basis for
the F -vector space V . Since B is the disjoint union of P and {−λ : λ ∈ P }, to
prove that B is a base for Φ it will now suffice to prove that every element of P is
a linear combination of elements from B with non-negative integer coefficients.
Let i, j ∈ {1, . . . , `} with i < j. Then

αi − αj = βi+1 + · · · + βj .

Also, we have

2α` = β` ,
2α`−1 = 2(α`−1 − α` ) + 2α` = 2β`−1 + β` ,
2α`−2 = 2(α`−2 − α`−1 ) + 2α`−1 = 2β`−2 + 2β`−1 + β` ,
···
2α1 = 2β1 + · · · 2β`−1 + β` .

Finally, let i, j ∈ {1, . . . , `} with i < j. Then

αi + αj = (αi − αj ) + 2αj = βi+1 + · · · + βj + 2β1 + · · · + 2β`−1 + β` .

This completes the proof.

 
 h11 β1 = α1 − α2 α1 − α3 2α1 α1 + α2 α1 + α3 
 
 
 α2 − α1 h22 β2 = α2 − α3 ∗ 2α2 α2 + α3
 

 
 
 
 α3 − α1 α3 − α2 h33 ∗ ∗ β3 = 2α3 
 
 
 
 −2α1 −(α1 + α2 ) −(α1 + α3 ) −h11 ∗ ∗
 

 
 
∗ −2α2 −(α2 + α3 ) ∗ −h22 ∗
 
 
 
 
∗ ∗ −2α3 ∗ ∗ −h33

Figure 10.3: The decomposition of sp(6, F ). For this example, ` = 3. The positions are
labeled with the corresponding root. Note that the diagonal is our chosen Cartan subalgebra.
The positive roots with respect to our chosen base {β1 , β2 , β3 } are boxed, while the colored
roots form our chosen base. Positions labeled with ∗ are determined by other entries. The
linear functionals α1 , α2 and α3 are defined in Proposition 10.9.4.
10.9. THE LIE ALGEBRA sp(2`) 179

Lemma 10.9.5. Assume that the characteristic of F is zero and F is alge-

braically closed. Let ` be a positive integer. The Killing form

κ : sp(2`, F ) × sp(2`, F ) −→ F

is given by
κ(h, h0 ) = (2` + 2) · tr(hh0 )
for h, h0 ∈ H. Here, H is the subalgebra of diagonal matrices in sp(2`, F ); H is
a Cartan subalgebra of sp(2`, F ) by Lemma 10.9.3.

Proof. Let h, h0 ∈ gl(`, F ) be diagonal matrices. Then

   0 
h 0 h 0
κ( , )
0 −h 0 −h0
   0 
h 0 h 0
= tr(ad( ) ◦ ad( ))
0 −h 0 −h0
X
= (hii − hjj )(h0ii − h0jj )
i,j∈{1,...,`},i6=j
X
+2 4hii h0ii
i∈{1,...,`}
X
+2 (hii + hjj )(h0ii + h0jj )
i,j∈{1,...,`},i<j
X
= (hii − hjj )(h0ii − h0jj )
i,j∈{1,...,`}
X
+8 hii h0ii
i∈{1,...,`}
X
+ (hii + hjj )(h0ii + h0jj )
i,j∈{1,...,`}
X
− (hii + hii )(h0ii + h0ii )
i∈{1,...,`}
X
= hii h0ii − hii h0jj − hjj h0ii + hjj h0jj
i,j∈{1,...,`}
X
+4 hii h0ii
i∈{1,...,`}
X
+ hii h0ii + hii h0jj + hjj h0ii + hjj h0jj
i,j∈{1,...,`}
X
= 2` hii h0ii
i∈{1,...,`}
X
+4 hii h0ii
i∈{1,...,`}
180 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS
X
+ 2` hii h0ii
i∈{1,...,`}
X
= (4` + 4) hii h0ii
i∈{1,...,`}
  0 
h 0 h 0
= (2` + 2) · tr( ).
0 −h 0 −h0

This completes the calculation.

Lemma 10.9.6. Let ` be an integer such that ` ≥ 2. Let the notation as in

Lemma 10.9.4. For i, j ∈ {1, . . . , `},

2
if i, j ∈ {1, . . . , ` − 1} and i = j





 4` +4
−1




 if i, j ∈ {1, . . . , ` − 1} and i and j are consecutive,
4` +4



−2

(βi , βj ) = if {i, j} = {` − 1, `},


 4` +4

 4
if i = j = `,


4` +4






 0

if none of the above conditions hold.

Proof. Let h ∈ gl(`, F ) be a diagonal matrix. Let i ∈ {1, . . . , `}. Then

      
h 0 1 eii 0 2` + 2 h 0 eii 0
κ( , )= tr( )
0 −h 4` + 4 0 −eii 4` + 4 0 −h 0 −eii
= hii
 
h 0
= αi ( ).
0 −h

Since this holds for all diagonal h ∈ gl(`, F ), it follows that

 
1 eii 0
tαi = .
4` + 4 0 −eii

Also let j ∈ {1, . . . , `}. Then

(αi , αj ) = κ(tαi , tαj )

   
1 eii 0 1 ejj 0
= (2` + 2) · tr( · )
4` + 4 0 −eii 4` + 4 0 −ejj

 1

 if i = j,
= 4` +4

 0 if i 6= j.

10.9. THE LIE ALGEBRA sp(2`) 181

Let i, j ∈ {1, . . . , ` − 1}. Then

(βi , βj ) = (αi − αi+1 , αj − αj+1 )

= (αi , αj ) − (αi , αj+1 ) − (αi+1 , αj ) + (αi+1 , αj+1 )

 2

 if i = j,
 4` + 4



= −1
if i and j are consecutive,


 4` +4


 0 if i 6= j and i and j are not consecutive.


Let i ∈ {1, . . . , ` − 1}. Then

(βi , β` ) = (αi − αi+1 , 2α` )

= 2(αi , α` ) − 2(αi+1 , α` )
= −2(αi+1 , α` )

 −2

 if i = ` − 1,
= 4` +4

 0 if i 6= ` − 1.


Finally,

(β` , β` ) = 4(α` , α` )
4
= .
4` + 4
This completes the proof.
Lemma 10.9.7. Let ` be an integer such that ` ≥ 2. Let F have characteristic
zero and be algebraically closed. Let ` be a positive integer. The Dynkin diagram
of sp(2`, F ) is

C` : ... h

and the Cartan matrix of sp(2`, F ) is

 
2 −1
−1 2 −1 
 

 −1 2 −1 

 .. .. .. 

 . . . 


 −1 2 −1 

 −1 2 −1
−2 2

The Lie algebra sp(2`, F ) is simple.

182 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

Proof. Let i, j ∈ {1, . . . , `} with i 6= j. Then

(βi , βj )
hβi , βj i = 2
(βj , βj )





 −1 if i, j ∈ {1, . . . , ` − 1} and i and j are consecutive,




 −1 if
 i = ` − 1 and j = `,
=




 −2 if i = ` and j = ` − 1,




 0
 if none of the above conditions hold.

Hence,

(βi , βj )2
hβi , βj ihβj , βi i = 4
(βi , βi )(βj , βj )


 1 if i, j ∈ {1, . . . , ` − 1} and i and j are consecutive,





= 2 if i = ` − 1 and j = `,





 0 if none of the above conditions hold.


It follows that the Dynkin diagram of sp(2`, F ) is C` , and the Cartan matrix
of sp(2`, F ) is as stated. Since C` is connected, sp(2`, F ) is simple by Lemma
9.3.2 and Proposition 10.3.2.

10.10 The Lie algebra so(2`)

Lemma 10.10.1. Let ` be a positive integer. The Lie algebra so(2`, F ) consists
of the matrices  
a b
c −t a
for a, b, c ∈ gl(`, F ) with −t b = b and −t c = c. The dimension of so(2`, F ) is
2`2 − `.
Proof. Let x ∈ gl(2`, F ). Write
 
a b
x=
c d
t
with a, b, c, d ∈ gl(`, F ). By definition, x ∈ so(2`, F ) if and only if xS + Sx = 0,
where  
0 1`
S= .
1` 0
10.10. THE LIE ALGEBRA so(2`) 183

Hence

x ∈ so(2`, F )
t
⇐⇒ xS = −Sx,
t t     
a c 0 1` 0 1` a b
⇐⇒ t t =−
b d 1` 0 1` 0 c d
t t   
c a −c −d
⇐⇒ t t = .
d b −a −b

This is the first assertion of the lemma.

Lemma 10.10.2. Let ` be an integer such that ` ≥ 2. Let F have charac-

teristic zero and be algebraically closed. The natural action of so(2`, F ) on
V = M2`,1 (F ) is irreducible, so that so(2`, F ) is semi-simple.

Proof. Let W be a non-zero so(2`, F ) subspace of V ; we need to prove that

W = V . Since W is non-zero, W contains a non-zero vector
 
x
v= .
y

Assume first that x 6= 0 and y = 0. Now

      
a 0 a 0 x ax
t w = t =
0 − a 0 − a 0 0

for a ∈ gl(`, F ). Since x 6= 0 and the action of gl(`, F ) on M`,1 (F ) is irreducible,

it follows that W contains all vectors of the form
 
∗
.
0
t
By Lemma 10.8.3 there exists c ∈ gl(`, F ) such that − c = c and cx 6= 0. The
matrix  
0 0
c 0
is contained in so(2`, F ) and
    
0 0 x 0
=
c 0 0 cx

This non-zero. An argument as above shows that W contains all the vectors of
the form  
0
.
∗
We conclude that, in the current case, W = V . If x = 0 and y 6= 0, then a
similar argument shows that W = V . Assume that x 6= 0 and y 6= 0. By Lemma
184 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

t
10.8.3 there exists b ∈ gl(`, F ) such that − b = b and by 6= 0. Since by 6= 0 and
x 6= 0, there exists a ∈ GL(`, F ) such that ax = −by. Now
 
a b
t
0 − a

is contained in so(2`, F ), and

    
a b x 0
t = t .
0 − a y − ay
t
Since a is invertible, and y 6= 0, we have − ay 6= 0. We are now in the situation
of a previous case; it follows that W = V .
Finally, so(2`, F ) is semi-simple by Lemma 10.2.1 (note that so(2`, F ) is
contained in sl(2`, F ) by Lemma 10.1.1).
Lemma 10.10.3. Let ` be an integer such that ` ≥ 2. Let F have characteristic
zero and be algebraically closed. The set H of diagonal matrices in so(2`, F ) is
a Cartan subalgebra of so(2`, F ).
Proof. By Lemma 10.4.2, to prove that H is a Cartan subalgebra of so(2`, F ),
it suffices prove that if w ∈ so(2`, F ) has zero entries on the main diagonal and
wh = hw for h ∈ H, then w = 0. Let w be such an element of so(2`, F ), and
write, as usual,  
a b
w= t .
c − a
By assumption, a has zeros on the main diagonal. Let h ∈ H, so that
 
d 0
h=
0 −d

where d ∈ gl(`, F ) is diagonal. We have

    
a b d 0 ad −bd
wh = t = t
c − a 0 −d cd ad

and     
d 0 a b da db
hw = t = t .
0 −d c − a −dc d a
It follows that

ad = da,
bd = −db,
cd = −dc,
t t
ad = d a.

Lemma 10.8.5 implies that b = c = 0 and that a is diagonal. Since a has zeros
on the main diagonal by assumption, we also get a = 0. Hence, w = 0.
10.10. THE LIE ALGEBRA so(2`) 185

Lemma 10.10.4. Let ` be an integer such that ` ≥ 2. Let F have charac-

teristic zero and be algebraically closed. Let ` be a positive integer. Let H be
the subalgebra of so(2`, F ) consisting of diagonal matrices; by Lemma 10.10.3,
H is a Cartan subalgebra of so(2`, F ). Let Φ be the set of roots of so(2`, F )
defined with respect to H. Let V = R ⊗Q V0 , where V0 is the Q subspace of
H ∨ = HomF (H, F ) spanned by the elements of Φ; by Proposition 8.2.1, Φ is a
root system in V . For i ∈ {1, . . . , `}, define a linear functional

αi : H −→ F

by  
h 0
αi ( ) = hii
0 −h
for h ∈ gl(`, F ) and h diagonal. The set Φ consists of the following 2`2 − 2`
linear functionals on H:

αi − αj , i, j ∈ {1, . . . , `}, i 6= j,
αi + αj , i, j ∈ {1, . . . , `}, i < j,
−(αi + αj ), i, j ∈ {1, . . . , `}, i < j.

The set

B = {β1 = α1 − α2 , β2 = α2 − α3 , . . . , β`−1 = α`−1 − α` , β` = α`−1 + α` }

is a base for Φ, and the positive roots with respect to B are the set P , where P
consists of the following roots:

αi − αj , i, j ∈ {1, . . . , `}, i < j,

αi + αj , i, j ∈ {1, . . . , `}, i < j.

The root spaces are:

 
eij 0
Lαi −αj = F · , i, j ∈ {1, . . . , `}, i 6= j,
0 −eij
 
0 eij + eji
Lαi +αj =F· , i, j ∈ {1, . . . , `}, i < j,
0 0
 
0 0
L−(αi +αj ) =F· , i, j ∈ {1, . . . , `}, i < j.
eij + eji 0

Proof. Let h ∈ gl(`, F ) be a diagonal matrix. Let i, j ∈ {1, . . . , `} with i 6= j.

Then
         
h 0 e 0 h 0 eij 0 e 0 h 0
[ , ij ]= − ij
0 −h 0 −eij 0 −h 0 −eij 0 −eij 0 −h
   
h e 0 h e 0
= ii ij − jj ij
0 −hii eij 0 −hjj eij
186 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS
 
eij 0
= (hii − hjj ) .
0 −eij
This equation proves that αi − αj is a root and that Lαi −αj is as stated. Next,
let h ∈ gl(`, F ) be a diagonal matrix, and let i, j ∈ {1, . . . , `} with i < j. Then
         
h 0 0 eij − eji h 0 0 eij − eji 0 eij − eji h 0
[ , ]= −
0 −h 0 0 0 −h 0 0 0 0 0 −h
   
0 hii eij − hjj eji 0 −hjj eij + hii eji
= −
0 0 0 0
 
0 eij − eji
= (hii + hjj ) .
0 0

This proves that that αi +αj is a root for i, j ∈ {1, . . . , `} with i < j; also the root
spaces of these roots are as stated. Again let h ∈ gl(`, F ) be a diagonal matrix,
and let i, j ∈ {1, . . . , `} with i < j. Taking tranposes of the last equation, we
obtain:
    t 
t h 0 0 eij − eji 0 eij − eji
[ , ] = (hii + hjj )
0 −h 0 0 0 0
     
0 0 h 0 0 0
[ , ] = (hii + hjj )
eji − eij 0 0 −h eji − eij 0
     
h 0 0 0 0 0
[ , ] = −(hii + hjj ) .
0 −h eij − eji 0 eij − eji 0

This proves that that −(αi + αj ) is a root for i, j ∈ {1, . . . , `} with i < j; also
the root spaces of these roots are as described.
To see that B is a base for Φ we note first that dimF V = `, and that the
elements of B are evidently linearly independent; it follows that B is a basis for
the F -vector space V . Since B is the disjoint union of P and {−λ : λ ∈ P }, to
prove that B is a base for Φ it will now suffice to prove that every element of P is
a linear combination of elements from B with non-negative integer coefficients.
Let i, j ∈ {1, . . . , `} with i < j. Then
j−1
X
αi − αj = (αk − αk+1 )
k=i
j−1
X
= βk .
k=i

Also, we have

αi + αj = (α`−1 + α` ) + (αi − α`−1 ) + (αj − α` )

= β` + (αi − α`−1 ) + (αj − α` ).

Since αi − α`−1 and αj − α` are both linear combinations of elements from B

with non-negative integer coefficients by what we have already proven, it follows
10.10. THE LIE ALGEBRA so(2`) 187

that αi + αj is linear combination of elements from B with non-negative integer

coefficients. This completes the proof.

 
 h11 β1 = α1 − α2 α1 − α3 0 α1 + α2 α1 + α3 
 
 
 α −α h22 β2 = α2 − α3 ∗ 0 β3 = α2 + α3 
 2 1 
 
 
 
 α3 − α1 α3 − α2 h33 ∗ ∗ 0 
 
 
 

 0 −(α1 + α2 ) −(α1 + α3 ) −h11 ∗ ∗ 

 
 

 ∗ 0 −(α2 + α3 ) ∗ −h22 ∗ 

 
∗ ∗ 0 ∗ ∗ −h33

Figure 10.4: The decomposition of so(6, F ). For this example, ` = 3. The positions are
labeled with the corresponding root. Note that the diagonal is our chosen Cartan subalgebra.
The positive roots with respect to our chosen base {β1 , β2 , β3 } are boxed, while the colored
roots form our chosen base. Positions labeled with ∗ are determined by other entries. The
linear functionals α1 , α2 and α3 are defined in Proposition 10.10.4.

Lemma 10.10.5. Assume that the characteristic of F is zero and F is alge-

braically closed. Let ` be a positive integer. The Killing form
κ : so(2`, F ) × so(2`, F ) −→ F
is given by
κ(h, h0 ) = (2` − 2) · tr(hh0 )
for h, h0 ∈ H. Here, H is the subalgebra of diagonal matrices in so(2`, F ); H is
a Cartan subalgebra of so(2`, F ) by Lemma 10.10.3.
Proof. Let h, h0 ∈ gl(`, F ) be diagonal matrices. Then
   0 
h 0 h 0
κ( , )
0 −h 0 −h0
   0 
h 0 h 0
= tr(ad( ) ◦ ad( ))
0 −h 0 −h0
X
= (hii − hjj )(h0ii − h0jj )
i,j∈{1,...,`},i6=j
X
+2 (hii + hjj )(h0ii + h0jj )
i,j∈{1,...,`},i<j
X
= (hii − hjj )(h0ii − h0jj )
i,j∈{1,...,`}
X
+ (hii + hjj )(h0ii + h0jj )
i,j∈{1,...,`},i6=j
188 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS
X
= (hii − hjj )(h0ii − h0jj )
i,j∈{1,...,`}
X
+ (hii + hjj )(h0ii + h0jj )
i,j∈{1,...,`}
X
− (hii + hjj )(h0ii + h0jj )
i,j∈{1,...,`},i=j
X
= hii h0ii − hii h0jj − hjj h0ii + hjj h0jj
i,j∈{1,...,`}
X
+ hii h0ii + hii h0jj + hjj h0ii + hjj h0jj
i,j∈{1,...,`}
X
−4 hii h0ii
i∈{1,...,`}
X X
= 4` hii h0ii − 4 hii h0ii
i∈{1,...,`} i∈{1,...,`}
X
= (4` − 4) hii h0ii
i∈{1,...,`}
  0 
h 0 h 0
= (2` − 2) · tr( ).
0 −h 0 −h0
This completes the calculation.
Lemma 10.10.6. Let ` be an integer such that ` ≥ 2. Let the notation as in
Lemma 10.10.4. Assume first that ` ≥ 3. For i, j ∈ {1, . . . , `} we have:

 2

 if i = j,


 4` −4
−1




 if i, j ∈ {1, . . . , ` − 1} and i and j are consecutive,
(βi , βj ) = 4` −4
 −1
if {i, j} = {` − 2, `},


4` −4






 0

if none of the above conditions hold.

Assume that ` = 2. Then:

1
(β1 , β1 ) = ,
2
1
(β2 , β2 ) = ,
2
(β1 , β2 ) = 0.

Proof. Let h ∈ gl(`, F ) be a diagonal matrix. Let i ∈ {1, . . . , `}. Then

      
h 0 1 eii 0 2` − 2 h 0 eii 0
κ( , )= tr( )
0 −h 4` − 4 0 −eii 4` − 4 0 −h 0 −eii
10.10. THE LIE ALGEBRA so(2`) 189

= hii
 
h 0
= αi ( ).
0 −h

Since this holds for all diagonal h ∈ gl(`, F ), it follows that

 
1 eii 0
tαi = .
4` − 4 0 −eii

Also let j ∈ {1, . . . , `}. Then

(αi , αj ) = κ(tαi , tαj )

   
1 eii 0 1 ejj 0
= (2` − 2) · tr( · )
4` − 4 0 −eii 4` − 4 0 −ejj

 1

 if i = j,
= 4` − 4

 0 if i 6= j.


Let i, j ∈ {1, . . . , ` − 1}. Then

(βi , βj ) = (αi − αi+1 , αj − αj+1 )

= (αi , αj ) − (αi , αj+1 ) − (αi+1 , αj ) + (αi+1 , αj+1 )

 2

 if i = j,
4` −4



−1

= if i and j are consecutive,


 4` −4


 0 if i 6= j and i and j are not consecutive.


Let i ∈ {1, . . . , ` − 1}. Assume that ` ≥ 3. Then

(βi , β` ) = (αi − αi+1 , α`−1 + α` )

= (αi , α`−1 ) + (αi , α` ) − (αi+1 , α`−1 ) − (αi+1 , α` )

 −1

 if i = ` − 2,
= 4` − 4

 0 if i 6= ` − 2.


Assume that ` = 2. Then necessarily i = 1, and

(βi , β` ) = (β1 , β2 )
= (α1 − α2 , α1 + α2 )
= (α1 , α1 ) + (α1 , α2 ) − (α2 , α1 ) − (α2 , α2 )
= 0.
190 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS

Finally,
(β` , β` ) = (α`−1 + α` , α`−1 + α` )
= (α`−1 , α`−1 ) + (α`−1 , α` ) + (α` , α`−1 ) + (α` , α` )
2
= .
4` − 4
This completes the proof.
Lemma 10.10.7. Let ` be an integer such that ` ≥ 3. Let F have characteristic
zero and be algebraically closed. The Dynkin diagram of so(2`, F ) is

D` : ...

and the Cartan matrix of so(2`, F ) is

 
2 −1
−1 2 −1 
 

 −1 2 −1 

 .. .. .. 

 . . . 


 −1 2 −1 −1
 −1 2 
−1 2
The Lie algebra so(2`, F ) is simple.
Proof. Let i, j ∈ {1, . . . , `} with i 6= j. Then
(βi , βj )
hβi , βj i = 2
(βj , βj )





 −1 if i, j ∈ {1, . . . , ` − 1} and i and j are consecutive,


= −1 if {i, j} = {` − 2, `},





 0
 if none of the above conditions hold.

Hence,
(βi , βj )2
hβi , βj ihβj , βi i = 4
(βi , βi )(βj , βj )


 1 if i, j ∈ {1, . . . , ` − 1} and i and j are consecutive,





= 1 if {i, j} = {` − 2, `},





 0 if none of the above conditions hold.

10.10. THE LIE ALGEBRA so(2`) 191

It follows that the Dynkin diagram of sp(2`, F ) is C` , and the Cartan matrix
of sp(2`, F ) is as stated. Since C` is connected, sp(2`, F ) is simple by Lemma
9.3.2 and Proposition 10.3.2.
192 CHAPTER 10. THE CLASSICAL LIE ALGEBRAS
Chapter 11

Representation theory

11.1 Weight spaces again

Let F be algebraically closed and have characteristic zero. Let L be a finite-
dimensional, semi-simple Lie algebra over F . Let H be a Cartan subalgebra of
L, let
M
L=H⊕ Lα
α∈Φ

be the root space decomposition of L with respect to L from Chapter 7. Let

(φ, V ) be a representation of L, so that V is an F -vector space, and φ : L →
gl(V ) is a homorphism of Lie algebras. If λ : H → F is a linear functional, then
we define
Vλ = {v ∈ V : φ(h)v = λ(h)v, h ∈ H}.

If λ : H → F is a linear functional and Vλ 6= 0, then we say that λ is a weight

of H on V , and refer to Vλ as a weight space.

Lemma 11.1.1. Let F be algebraically closed and have characteristic zero. Let
L be a finite-dimensional, semi-simple Lie algebra over F . Let H be a Cartan
subalgebra of L, let
M
L=H⊕ Lα
α∈Φ

be the root space decomposition of L with respect to L from Chapter 7. Let

(φ, V ) be a representation of L. Let V 0 be the F -subspace of V generated by the
subspaces Vλ for λ a weight of H on V .

1. Let λ : H → F be a linear functional, and let α ∈ Φ. If x ∈ Lα , then

φ(x)Vλ ⊂ Vλ+α .

2. the F -subspace V 0 of V is an L-subspace.

193
194 CHAPTER 11. REPRESENTATION THEORY

3. The F -subspace V 0 of V is the direct sum of the Vλ for λ a weight of H

on V , so that M
V0 = Vλ .
λ is a weight of H on V

4. If V is finite-dimensional, then V 0 = V .
Proof. Proof of 1. Let λ : H → F be a linear functional, and let α ∈ Φ. Let
x ∈ Lα and v ∈ Vλ . We have

φ([h, x])v = (φ(h)φ(x) − φ(x)φ(h))v

φ(α(h)x)v = φ(h) φ(x)v − φ(x) φ(h)v


α(h)φ(x)v = φ(h) φ(x)v − λ(h)φ(x)v



φ(h) φ(x)v = λ(h) + α(h) φ(x)v.

This implies that φ(x)v ∈ Vλ+α .

Proof of 2. Clearly, the operators φ(h) for h ∈ H preserve the subspace
V 0 . By 1, the operators φ(x) for x ∈ Lα , α ∈ Φ also preserve V 0 . Since
L = H ⊕ ⊕α∈Φ Lα , it follows that L preserves V 0 .
Proof of 3. Assume that V 0 is not the direct sum of the subspaces Vλ for
λ ∈ H ∨ ; we will obtain a contradiction. By our assumption, there exist an
integer t ≥ 2 and distinct λ1 , . . . , λt ∈ H ∨ such that Vλ1 ∩ (Vλ2 + · · · + Vλt ) 6= 0.
We may assume that t is the smallest integer with these properties. Let v1 ∈
Vλ1 ∩ (Vλ2 + · · · + Vλt ) be non-zero. Write

v 1 = v2 + · · · + vt

where vi ∈ Vλi for i ∈ {2, . . . , t}. The minimality of t implies that vi is non-zero
for i ∈ {2, . . . , t}. Let h ∈ H. Then

φ(h)v1 = φ(h)(v2 + · · · + vt )
λ1 (h)v1 = λ2 (h)v2 + · · · + λt (h)vt ,

and, after multiplying v1 = v2 + · · · + vt by λ1 (h),

λ1 (h)v1 = λ1 (h)v2 + · · · + λ1 (h)vt .

Subtracting, we obtain:

0 = (λ1 (h) − λ2 (h))v2 + · · · + (λ1 (h) − λt (h))vt .

The minimality of t implies that λ1 (h) − λi (h) = 0 for all h ∈ H and i ∈

{2, . . . , t}, i.e, λ1 = · · · = λt . This is a contradiction.
Proof of 4. Assume that V is finite-dimensional; we need to prove that V ⊂
V 0 . The operators φ(h) ∈ gl(V ) for h ∈ H are diagonalizable by Theorem 6.3.4
and the definition of a Cartan subalgebra. Since H is abelian, the operators φ(h)
for h ∈ H mutually commute. It follows that (see Theorem 8 from Section 6.5 of
11.2. BOREL SUBALGEBRAS 195

[5]) that there exists a basis v1 , . . . , vn for V such that each vi for i ∈ {1, . . . , n}
is an eigenvector for every operator φ(h) for h ∈ H. Let i ∈ {1, . . . , n}. For
h ∈ H, let λ(h) ∈ F be such that φ(h)vi = λ(h)vi . Since the map H → gl(V )
given by h 7→ φ(h) is linear, and vi is non-zero, the function λ : H → F is also
linear. It follows that λ is a weight of H on V and that vi ∈ Vλ . We conclude
that V ⊂ V 0 .

11.2 Borel subalgebras

Lemma 11.2.1. Let F be algebraically closed and have characteristic zero. Let
L be a finite-dimensional, semi-simple Lie algebra over F . Let H be a Cartan
subalgebra of L, let M
L=H⊕ Lα
α∈Φ

be the root space decomposition of L with respect to L from Chapter 7, and let
B be a base for Φ. Let Φ+ be the positive roots in Φ with respect to B. Define
X
N= Lα
α∈Φ+

and X
P =H +N =H + Lα .
α∈Φ+

Then N and P are subalgebras of L. Moreover,

[P, P ] = N,

N is nilpotent, and P is solvable.

Proof. Let α, β ∈ Φ+ ; we will first prove that [Lα , Lβ ] ⊂ N and that [H, Lα ] ⊂
Lα . Since α and β are both positive roots we must have α + β 6= 0. By
Proposition 7.0.3 we have [Lα , Lβ ] ⊂ Lα+β . If α + β is not a root, then, as
α + β 6= 0, we must have Lα+β = 0 (by definition), so that [Lα , Lβ ] ⊂ Lα+β =
0 ⊂ N . Assume that α + β is a root. Then α + β is a positive root because α
and β are positive. It follows that [Lα , Lβ ] ⊂ Lα+β ⊂ N . The definition of Lα
implies that [H, Lα ] ⊂ Lα .
Since [H, H] = 0, the previous paragraph implies that N and P are subal-
gebras of L, and also that [P, P ] ⊂ N . To prove that N ⊂ [P, P ] it suffices to
prove that Lα ⊂ [P, P ] if α is a positive root. Let α be a positive root. Let
x ∈ Lα . Let h ∈ H be such that α(h) 6= 0. We have [h, x] = α(h)x. Since
[h, x] ∈ [P, P ], it follows that α(h)x ∈ [P, P ]. Since α(h) 6= 0, we get x ∈ [P, P ].
It follows now that [P, P ] = N .
To see that N is nilpotent, we note that by Proposition 7.0.3, for k a positive
integer:
X
N 1 = [N, N ] ⊂ Lα1 +α2 ,
α1 ,α2 ∈Φ+
196 CHAPTER 11. REPRESENTATION THEORY
X
N 2 = [N, N 1 ] ⊂ Lα1 +α2 +α3 ,
α1 ,α2 ,α3 ∈Φ+

···
X
k+1
N = [N, N k ] ⊂ Lα1 +···+αk .
α1 ,...,αk ∈Φ+

For k a positive integer, define

Sk = {α1 + · · · + αk : α1 , . . . , αk ∈ Φ+ }.

Evidently, the sets Sk for k a positive integer do not contain the zero linear
functional. Recall the height function from page 93. Let m = max({ht(β) : β ∈
Φ+ }). Since ht(λ) ≥ k for all λ ∈ Sk , the set Sk for k ≥ m + 1 cannot contain
any elements of Φ+ . Also, it is clear that Sk does not contain any elements of
the set Φ− of negative roots (by the basic properties of the base B). Thus, if
k ≥ m + 1, then Lλ = 0 for all λ ∈ Sk . It follows that N m+2 = 0 so that N is
nilpotent.
Finally, P is solvable because [P, P ] = N and N is nilpotent.

We refer to P as in Lemma 11.2.1 as a Borel subalgebra.

11.3 Maximal vectors

Let F be algebraically closed and have characteristic zero. Let L be a finite-
dimensional, semi-simple Lie algebra over F . Let H be a Cartan subalgebra of
L, let M
L=H⊕ Lα
α∈Φ

be the root space decomposition of L with respect to L from Chapter 7, and

+
let B be a base
P for Φ. Let Φ be the positive roots in Φ with respect to B.
Define N = Lα as in Lemma 11.2.1. Let (φ, V ) be a representation of L.
α∈Φ+
Let v ∈ V . We say that v generates V if the vectors

φ(x1 ) · · · φ(xt )v,

for t a positive integer and x1 , . . . , xt ∈ L, span the F -vector space V . Assume

that λ is a weight of H on V , and let v ∈ Vλ be non-zero. We say that v is a
maximal vector of weight λ if φ(x)v = 0 for all x ∈ N .

Lemma 11.3.1. Let F be algebraically closed and have characteristic zero. Let
L be a finite-dimensional, semi-simple Lie algebra over F . Let H be a Cartan
subalgebra of L, let Φ be the roots of L with respect to H, and let B be a base for
Φ. Define N and the Borel subalgebra P as as in Lemma 11.2.1. Let (φ, V ) be
a representation of L. If V is finite-dimensional, then V has a maximal vector
of weight λ for some weight λ of H on V .
11.3. MAXIMAL VECTORS 197

Proof. Let P be the Borel subalgebra of L defined with respect to our chosen
base. By Lemma 11.2.1, P is solvable. Consider φ(P ) ⊂ gl(V ). Since φ is
a map of Lie algebras, φ(P ) is a Lie subalgebra of gl(V ). By Lemma 2.1.5,
φ(P ) is solvable. By Lemma 3.4.1, a version of Lie’s Theorem, there exists a
non-zero vector v of V such that v is a common eigenvector for the operators
φ(x) ∈ gl(V ), x ∈ P . For x ∈ P , let c(x) ∈ F be such that φ(x)v = c(x)v. It is
easy to see that the function c : P → F is F -linear. We claim that c(N ) = 0.
Let x, y ∈ P . Then

φ([x, y])v = c([x, y])v

(φ(x)φ(y) − φ(y)φ(x))v = c([x, y])v
φ(x)φ(y)v − φ(y)φ(x)v = c([x, y])v
c(x)c(y)v − c(y)c(x)v = c([x, y])v
0 = c([x, y])v.

Since v is non-zero, we see that c([x, y]) = 0. Since, by Lemma 11.2.1, N =

[P, P ], we get that c(N ) = 0. Define λ : H → F by λ(h) = c(h) for h ∈ H.
Evidently, v is in the weight space Vλ . Since c(N ) = 0 we also have φ(x)v = 0
for x ∈ N . It follows that v is a maximal vector for the weight λ of H on V .
Theorem 11.3.2. Let F be algebraically closed and have characteristic zero.
Let L be a finite-dimensional, semi-simple Lie algebra over F . Let H be a
Cartan subalgebra of L, let Φ be the roots of L with respect to H, and let B =
{α1 , . . . , αn } be a base for Φ. Define N and the Borel subalgebra P as as in
Lemma 11.2.1. Let (φ, V ) be a representation of L. Let v ∈ V . Assume that v
generates V , and that v is a maximal vector of weight λ. Then
M
V = Vµ .
µ is a weight of H on V

Moreover, if µ is a weight of H on V , then

µ = λ − (c1 α1 + · · · + cn αn )

for some non-negative integers c1 , . . . , cn . Thus, if µ is a weight of H on V , then

µ ≺ λ. Here, ≺ is the partial order from page 116. For every weight µ of H on V
the subspace Vµ is finite-dimensional, and the subspace Vλ is one-dimensional.
Proof. For each β ∈ Φ− , fix a non-zero element yβ in the one-dimensional space
Lβ . We first claim that the vector space V is spanned by v and the vectors

w = φ(yβ1 ) · · · φ(yβk )v

for k a positive integer and β1 , . . . , βk ∈ Φ− . To see this, we recall that, as

a vector space, L is spanned by H, Lα for α ∈ Φ+ and β ∈ Φ− , and that v
generates V . This implies that the vector space V is spanned by v and the
vectors of the form
φ(z1 ) · · · φ(z` )v
198 CHAPTER 11. REPRESENTATION THEORY

for ` a positive integer, and, for i ∈ {1, . . . , `}, the element zi is in H, or in Lα

for some α ∈ Φ+ , or in Lβ for some β ∈ Φ− . Since N = ⊕α∈Φ+ Lα acts by zero
on v (as v is a maximal vector), and since φ(h)v = λ(h)v for h ∈ H, our claim
follows.
Next, let w = φ(yβ1 ) · · · φ(yβk )v be a vector as above with k a positive
integer. By 1 of Lemma 11.1.1, w is contained in Vλ+β1 +···+βk . Let M be the
set of linear functionals µ : H → F such that µ = λ, or there exists a positive
integer k and β1 , . . . , βk ∈ Φ− such that µ = λ + β1 + · · · βk and Vµ 6= 0. The
result of the previous paragraph imply that the subspaces Vµ for µ ∈ M span
V . By 3 of Lemma 11.1.1, the span of the subspaces Vµ for µ ∈ M is direct,
i.e., V is the direct sum of the subspaces Vµ for µ ∈ M . Let ν : H → F be
any weight of H on V . Let u ∈ Vν be non-zero. There exist unique elements
µ1 , . . . , µt ∈ M and non-zero v1 ∈ Vµ1 , . . . , vt ∈ Vµt such that u = v1 + · · · + vt .
Let h ∈ H. Then

φ(h)u = φ(h)v1 + · · · + φ(h)vt

ν(h)u = µ1 (h)v1 + · · · + µt (h)vt
ν(h)(v1 + · · · + vt ) = µ1 (h)v1 + · · · + µt (h)vt
ν(h)v1 + · · · + ν(h)vt = µ1 (h)v1 + · · · + µt (h)vt .

Since this equality holds for all h ∈ H, and the sum of Vµ1 , . . . , Vµt is direct, we
must have ν = µ1 = · · · = µt . Since µ1 , . . . , µt are mutually distinct, we obtain
t = 1 and ν = µ1 . Recalling the definition of the set M , and the fact that every
element of Φ− can be uniquely written as a linear combination of the elements
of B = {α1 , . . . , αn } with non-positive integral coefficients, we see that ν has
the form as stated in the theorem.
Finally, let µ be a weight of H on V . Let u ∈ Vµ be non-zero. By the
first paragraph, w can be written as linear combination of v and elements of
the form w = φ(yβ1 ) · · · φ(yβk )v. Hence, there exists a positive integer `, ele-
ments c0 , c1 , . . . , c` of F , and for each i ∈ {1, . . . , `} a positive integer ki and
βi,1 , . . . , βi,ki ∈ Φ− such that

`
X
u = c0 v + ci φ(yβi,1 ) · · · φ(yβi,ki )v.
i=1

Since φ(yβi,1 ) · · · φ(yβi,ki )v is contained in Vλ+βi,1 +···+βi,ki , and since the sum of
weight spaces is direct by 3 of Lemma 11.1.1, we see that for each i ∈ {1, . . . , `},
if
ci φ(yβi,1 ) · · · φ(yβi,ki )v
is non-zero, then
µ = λ + βi,1 + · · · + βi,ki ,
or equivalently,
µ − λ = βi,1 + · · · + βi,ki .
11.3. MAXIMAL VECTORS 199

It follows that the dimension of Vµ is bounded by N , where N is 1 plus the

number of m-tuples (β1 , . . . , βm ), where m is a positive integer and β1 , . . . , βm ∈
Φ− , such that
µ − λ = β1 + · · · + βm .
If µ = λ, then N = 1, so that dim Vλ = 1. Assume µ 6= λ. Recall the height
function ht from page 93. If m is a positive integer and β1 , . . . , βm ∈ Φ− are
such that µ − λ = β1 + · · · + βm , then

ht(µ − λ) = ht(β1 + · · · + βm ) ≤ −m,

or equivalently, −ht(µ − λ) ≥ m. Since Φ− is finite, it follows that N is finite,

as desired.

Let the notation be is as in Theorem 11.3.2. We will say that λ is the

highest weight for V . By Theorem 11.3.2, if µ is a weight of H on V , then
λ  µ. In particular, if λ0 is a weight of H on V , and λ0  µ for all weights of
H on V , then λ0 = λ; this fact justifies the uniqueness part of the terminology
“the highest weight”.

Corollary 11.3.3. Let F be algebraically closed and have characteristic zero.

Let L be a finite-dimensional, semi-simple Lie algebra over F . Let H be a
Cartan subalgebra of L. Let (φ, V ) be a representation of L. Assume that V is
irreducible. If v1 ∈ V and v2 ∈ V are maximal vectors of weights λ1 and λ2 of
H on V , respectively, then λ1 = λ2 , and there exists c ∈ F × such that v2 = cv1 .

Proof. Since V is irreducible, the vectors v1 and v2 both generate V . By Theo-

rem 11.3.2 we have λ1 = λ2 . Therefore, Vλ1 = Vλ2 . Again by Theorem 11.3.2,
dim Vλ1 = dim Vλ2 = 1. This implies that v2 is an F × multiple of v1 .

Corollary 11.3.4. Let the notation and objects be as in Theorem 11.3.2. If W

is an L-subspace of V , then
M
W = Wµ .
µ is a weight of H on W

The L-representation V is indecomposable, and has a unique maximal proper

L-subspace U . The quotient V /U is irreducible, and if W is any L-subspace of
V such that V /W is non-zero and irreducible, then W = U .

Proof. Let W be an L-subspace of V ; we will first prove that W is the direct

sum of its weight spaces. By Theorem 11.3.2, if w ∈ W and is non-zero, then w
has a unique expression as

w = wµ1 + · · · + wµk ,

where µ1 , . . . , µk are distinct weights of H on V , and wµi is a non-zero element

of Vµi for i ∈ {1, . . . , k}; we need to prove that in fact wµi is contained in Wµi
for i ∈ {1, . . . , k}. If w is a non-zero element of W and wµi ∈ / W for some
200 CHAPTER 11. REPRESENTATION THEORY

i ∈ {1, . . . , k}, then we will say that w has property P. Suppose that there
exists a non-zero w ∈ W which has property P; we will obtain a contradiction.
We may assume that k is minimal. Since k is minimal, we must have k > 1:
otherwise, w = wµ1 ∈ W ∩ Vµ1 = Wµ1 , a contradiction. Also, we claim that
wµi ∈/ W for i ∈ {1, . . . , k}. To see this, let X = {i ∈ {1, . . . , k} : wµi ∈ W },
and assume that X is non-empty. Since w has property P , the set X is a proper
subset of {1, . . . , k}. We have
X X
w− wµi = wµj .
i∈X j∈{1,...,k}−X

This vector is contained W and has property P; since k is minimal, this is a

contradiction. This proves our claim. Next, since µ1 and µ2 are distinct, there
exists h ∈ H such that µ1 (h) 6= µ2 (h). Now

w = wµ1 + wµ2 + · · · + wµk

φ(h)w = φ(h)wµ1 + φ(h)wµ2 + · · · + φ(h)wµk
φ(h)w = µ1 (h)wµ1 + µ2 (h)wµ2 + · · · + µk (h)wµk .

Also, we have

µ2 (h)w = µ2 (h)wµ1 + µ2 (h)wµ2 + · · · + µ2 (h)wµk .

Subtracting yields:

φ(h)w − µ2 (h)w
= (µ1 (h) − µ2 (h))wµ1 + (µ3 (h) − µ2 (h))wµ3 + · · · + (µk (h) − µ2 (h))wµk .

Since W is an L-subspace, this vector is contained in W . Also, (µ1 (h) −

µ2 (h))wµ1 ∈/ W . It follows that this vector has property P. This contradicts
the minimality of k. Hence, W is the direct sum of its weight spaces, as desired.
To see that V is indecomposable, assume that there exists L-subspaces W1
and W2 of W and V = W1 ⊕ W2 ; we need to prove that W1 = V or W2 = V .
Write v = w1 + w2 with w1 ∈ W1 and w2 ∈ W2 . By the last paragraph,

w1 = w1,µ1 + · · · + w1,µk ,
w2 = w2,ν1 + · · · + w2,ν`

where µ1 , . . . , µk are distinct weights of H on W1 , ν1 , . . . , ν` are distinct weights

of H on W2 , and w1,µi ∈ W1,µi and w2,νj ∈ W2,νj are non-zero for i ∈ {1, . . . , k}
and j ∈ {1, . . . , `}. We have

v = w1 + w2 = w1,µ1 + · · · + w1,µk + w2,ν1 + · · · + w2,ν` .

Now v is a vector of weight λ. Since the weight space decomposition is direct,

one of µ1 , . . . , µk , ν1 , . . . , ν` is λ. Since Vλ is one-dimensional and spanned by v,
this implies that v ∈ W1 or v ∈ W2 . Therefore, W1 = V or W2 = V .
11.4. THE POINCARÉ-BIRKHOFF-WITT THEOREM 201

Let U be the F -subspace spanned by all the proper L-subspaces of V .

Clearly, U is an L-subspace. We claim that U is proper. To prove this it
suffices to prove that v ∈ / U . Assume v ∈ U ; we will obtain a contradic-
tion. Since v ∈ U , there exists proper L-subspaces U1 , . . . , Ut of V and vectors
w1 ∈ U1 , . . . , wt ∈ Ut such that v = w1 + · · · + wt . An argument as in the last
paragraph now implies that for some i ∈ {1, . . . , t} we have v ∈ Ui . This implies
that Ui = V , contradicting that Ui is a proper subspace. The construction of U
implies that U is maximal among proper L-subspaces of V , and that U is the
unique proper maximal L-subspace of V .
To see that V /U is irreducible, assume that Q is an L-subspace of V /U . Let
W = {w ∈ V : w + U ∈ Q}. Evidently, W is an L-subspace of V . If W = V ,
then Q = V /U . If W is a proper subspace of V , then by the definition of U ,
W ⊂ U , so that Q = 0. Thus, V /U is irreducible.
Finally, W be any L-subspace of V such that V /W is non-zero and irre-
ducible. Since V /W is non-zero, W is a proper subspace of V . By the definition
of U we get W ⊂ U . Now U/W is an L-subspace of V /W . Since V /W is
irreducible, we have U/W = 0 or U/W = V /W . If U/W = 0, then W = U , as
desired. If U/W = V /W , then V = U , a contradiction. Thus, W = U .

Corollary 11.3.5. Let F be algebraically closed and have characteristic zero.

Let L be a finite-dimensional, semi-simple Lie algebra over F . Let H be a
Cartan subalgebra of L. Let (φ1 , V1 ) and (φ2 , V2 ) be irreducible representations
of L. Assume that V1 and V2 are generated by the maximal vectors v1 ∈ V1
and v2 ∈ V2 of weights λ1 and λ2 , respectively. If λ1 = λ2 , then V1 and V2 are
isomorphic.

Proof. Assume that λ1 = λ2 . Let λ = λ1 = λ2 . Let V = V1 ⊕ V2 . The F -

vector space V is a representation of L with action φ defined by φ(x)(v1 ⊕ v2 ) =
φ1 (x)w1 ⊕ φ2 (x)w2 for w1 ∈ V1 , w2 ∈ V2 and x ∈ L. Let v = v1 ⊕ v2 , and
let V be the L-subspace of V1 ⊕ V2 generated by v. The vector v is a maximal
vector of V of weight λ. Let p1 : V → V1 and p2 : V → V2 be the projection
maps. The maps p1 and p2 are L-maps. Since p1 (v) = v1 and p2 (v) = v2 ,
and since V1 and V2 are generated by v1 and v2 , respectively, it follows that
p1 and p2 are surjective. Therefore, V / ker(p1 ) ∼ = V1 and V / ker(p2 ) ∼= V2 ;
since V1 and V2 are irreducible by assumption, the L-spaces V / ker(p1 ) and
V / ker(p2 ) are irreducible. By Corollary 11.3.4, we have ker(p1 ) = ker(p2 ), so
that V1 ∼= V / ker(p1 ) = V / ker(p2 ) ∼
= V2 .

11.4 The Poincaré-Birkhoff-Witt Theorem

Let F be a field, and let L be a Lie algebra over F . Let T be the tensor algebra
of the F -vector space L. We have

T = T0 ⊕ T1 ⊕ T2 ⊕ ···
202 CHAPTER 11. REPRESENTATION THEORY

where T 0 = F = F · 1, T 1 = L, T 2 = L ⊗ L, and if k is a positive integer, then

Tk = L ⊗ ··· ⊗ L.
| {z }
k

With tensor multiplication, T is an associative algebra with identity 1.

Let J be the two-sided ideal of T generated by all the elements of the form

x ⊗ y − y ⊗ x − [x, y]

for x, y ∈ L. We define
U (L) = T /J,
and refer to U (L) as the universal enveloping algebra of L. We let
p
T −→ T /L = U (L)

be the natural projection map. Evidently, U (L) is an associative algebra over

F . If u, v ∈ U (L), then we will write the product of u and v as uv. We will
write p(1) = 1. The element 1 ∈ U (L) is an identity for U (L). We have

p(T 0 ) = p(F · 1) = F · 1 ⊂ U (L).

Let
T+ = T 1 ⊕ T 2 ⊕ T 3 ⊕ · · · .
Then
T = T 0 ⊕ T+ = F · 1 ⊕ T+ .
Evidently, T+ is a two-sided ideal of T . Since x ⊗ y − y ⊗ x − [x, y] ∈ T+ for
x, y ∈ L, it follows that
J ⊂ T+ .
We claim that
p(T 0 ) ∩ p(T+ ) = 0.
To see this, let a ∈ F and z ∈ T+ be such that p(a·1) = p(z). Then p(a·1−z) = 0.
This means that a · 1 − z ∈ J. Since J ⊂ T+ , we get a · 1 − z ∈ T+ , and therefore
a · 1 ∈ T+ . As T 0 ∩ T+ = 0, this yields a = 0, as desired. Letting

U+ = p(T+ ),

we obtain the direct sum decomposition

U (L) = F · 1 ⊕ U+ .

If u ∈ U (L), then the component of u in F · 1 is called the constant term of u.

Let
σ : L −→ U (L)
be the composition
p
L −→ T −→ U (L)
11.4. THE POINCARÉ-BIRKHOFF-WITT THEOREM 203

where the first map is the inclusion map, and the second map is the projection
map p. We refer to σ as the canonical map of L into U (L). Let x, y ∈ L.
Then

σ(x)σ(y) − σ(y)σ(x) = (x + J)(y + J) − (y + J)(x + J)

= (x ⊗ y + J) − (y ⊗ x + J)
=x⊗y−y⊗x+J
= [x, y] + x ⊗ y − y ⊗ x − [x, y] + J
= [x, y] + J
= σ([x, y]).

That is,
σ(x)σ(y) − σ(y)σ(x) = σ([x, y])
for x, y ∈ L.
Lemma 11.4.1. Let F be a field, and let L be a Lie algebra over F . Let
σ : L → U (L) be the canonical map. Let A be an associative algebra with
identity, and assume that
τ
L −→ A
is a linear map such that

τ (x)τ (y) − τ (y)τ (x) = τ ([x, y])

for x, y ∈ L. There exists a unique F -algebra homomorphism

τ0
U (L) −→ A

such that τ 0 (1) = 1 and τ 0 ◦ σ = τ , so that

L
 τ
σy &

τ0
U (L) −→ A

commutes.
Proof. To prove the existence of τ 0 , we note first that by the universal property
of T , there exists an algebra homomorphism
ϕ
T −→ A

such that ϕ(1) = 1, and ϕ(x) = τ (x) for x ∈ L. Let x, y ∈ L. Then

ϕ(x ⊗ y − y ⊗ x − [x, y]) = ϕ(x ⊗ y) − ϕ(y ⊗ x) − ϕ([x, y])

= ϕ(x)ϕ(y) − ϕ(y)ϕ(x) − τ ([x, y])
= τ (x)τ (y) − τ (y)τ (x) − τ ([x, y])
204 CHAPTER 11. REPRESENTATION THEORY

= 0.

Since ϕ is an algebra homomorphism, and since ϕ is zero on the generators of

J, it follows that ϕ(J) = 0. Therefore, there exists an algebra homorphism
τ 0 : U (L) = T /J → A such that τ 0 (x + J) = ϕ(x) for x ∈ T . Evidently, since
ϕ(1) = 1, we have τ 0 (1) = 1. Also, if x ∈ L, then

(τ 0 ◦ σ)(x) = τ 0 (σ(x))
= τ 0 (x + J)
= ϕ(x)
= τ (x).

This proves the existence of τ 0 . The uniqueness of τ 0 follows from the fact that
U (L) is generated by 1 and σ(L), the assumption that τ 0 is determined on these
elements.
We will consider sequences (i1 , . . . , ip ) where p is as positive integer, i1 , . . . , ip
are positive integers, and
i1 ≤ · · · ≤ ip .
We let X be the set consisting of all such sequences, along with the empty set ∅.
Let I ∈ X. If I 6= ∅, so that there exists a positive integer p, and i1 , . . . , ip ∈ Z>0
such that I = (i1 , . . . , ip ) with i1 ≤ · · · ≤ ip , then we define

d(I) = p.

If I = ∅, then we define
d(∅) = 0.
Let F be a field, and let L be a Lie algebra over F . Assume that L is
finite-dimensional and non-zero. We fix an ordered basis

x1 , x2 , x3 , . . . , xn

for L as a vector space over F . We define the images of these vectors in U (L)
as
y1 = σ(x1 ), y2 = σ(x2 ), y3 = σ(x3 ), . . . , yn = σ(xn ).
Let I ∈ X. If I 6= ∅, so that there exists a positive integer p, and i1 , . . . , ip ∈ Z>0
such that I = (i1 , . . . , ip ) with i1 ≤ · · · ≤ ip , then we define

yI = yi1 yi2 yi3 · · · yip ∈ U (L)

If I = ∅, then we define
y∅ = 1 ∈ U (L).
Lemma 11.4.2. Let F be a field, and let L be a finite-dimensional Lie algebra
over F . Fix an ordered basis x1 , . . . , xn for L, and define yI for I ∈ X as above.
Then the elements yI for I ∈ X span U (L) as a vector space over F .
11.4. THE POINCARÉ-BIRKHOFF-WITT THEOREM 205

For k a non-negative integer, let Xk be the subset of I ∈ X such that

d(I) ≤ k.
Let n be a positive integer, and let z1 , . . . , zn be indeterminants. We define

P = F [z1 , . . . , zn ].

Let I ∈ X. If I 6= ∅, so that there exists a positive integer p, and i1 , . . . , ip ∈ Z>0

such that I = (i1 , . . . , ip ) with i1 ≤ · · · ≤ ip , then we define

zI = zi1 zi2 zi3 · · · zip ∈ F [z1 , . . . , zn ].

If I = ∅, then we define
z∅ = 1 ∈ F [z1 , . . . , zn ].
Evidently, the elements zI for I ∈ X form a basis for F [z1 , . . . , zn ]. For conve-
nience, we define
P = F [z1 , . . . , zn ].
Also, if k is a non-negative integer, then we let Pk be the F -subspace of P of
polynomials of degree less than or equal to k. Evidently, if k is a non-negative
integer, then Pk has as basis the elements zI for I ∈ Xk .
Let I ∈ X. Let i ∈ {1, . . . , n}. We say that i ≤ I if and only if I = ∅, or,
if I 6= ∅, so that I = (i1 , . . . , ip ) for some positive integers p and i1 , . . . , ip with
i1 ≤ · · · ≤ ip , then i ≤ i1 .

Lemma 11.4.3. Let L be a finite-dimensional Lie algebra over F , and let

x1 , . . . , xn be a basis for the F vector space L. Let the notation be as in the
discussion preceding the lemma. For every non-negative integer p, there exists
a unique linear map
fp : L ⊗ Pp −→ P
such that:

(Ap ) If i ∈ {1, . . . , n} and I ∈ Xp with i ≤ I, then

fp (xi ⊗ zI ) = zi zI .

(Bp ) If i ∈ {1, . . . , n}, q is a non-negative integer such that q ≤ p, and I ∈ Xq ,

then
fp (xi ⊗ zI ) − zi zI ∈ Pq .
In particular, fp (L ⊗ Pq ) ⊂ Pq+1 for non-negative integers q with q ≤ p.

(Cp ) If p ≥ 1, i, j ∈ {1, . . . , n} and J ∈ Xp−1 , then

fp (xi ⊗ fp (xj ⊗ zJ )) = fp (xj ⊗ fp (xi ⊗ zJ )) + fp ([xi , xj ] ⊗ zJ ).

Moreover, for every positive integer p, the restriction of fp to L ⊗ Pp−1 is fp−1 .

206 CHAPTER 11. REPRESENTATION THEORY

Proof. We will prove by induction that the following statement holds for all
non-negative integers p: (Sp ) there exists a unique linear map fp : L ⊗ Pp → P
satisfying (Ap ), (Bp ) and (Cp ) and such that the restriction of fp to L ⊗ Pp−1
is fp−1 when p is positive.
Suppose that p = 0. Clearly, there exists a unique linear map f0 : L⊗P0 → P
such that f0 (xi ⊗ 1) = zi for i ∈ {1, . . . , n}. It is clear that (A0 ), (B0 ) and (C0 )
hold; for this, note that, by definition, X0 = {I ∈ X : d(I) = 0} = {∅}, z∅ = 1,
and i ≤ ∅ for all i ∈ {1, . . . , n}. It follows that (S0 ) holds.
Suppose that p = 1. To define the linear map fp : L ⊗ P1 → P it suffices to
define f1 (xi ⊗ zI ) ∈ P for i ∈ {1, . . . , n} and I ∈ X0 t X1 . If i ∈ {1, . . . , n} and
I ∈ X0 , then I = ∅, and we define f1 (xi ⊗ zI ) = f0 (xi ⊗ zI ) = zi . Assume that
i ∈ {1, . . . , n} and I ∈ X1 . Write I = (j). There are two cases. Assume first
that i ≤ I, i.e., i ≤ j. In this case we define f1 (xi ⊗ zI ) = zi zj . Assume that
i 6≤ I, so that i > j. We define:

f1 (xi ⊗ zI ) = zi zI + f0 ([xi , xj ] ⊗ z∅ ),

i.e.,
f1 (xi ⊗ zj ) = zi zj + f0 ([xi , xj ] ⊗ 1).
It is straightfoward to verify that f1 satisfies (A1 ) and (B1 ). To see that f1
satisfies (C1 ), let i, j ∈ {1, . . . , n} and J ∈ X1−1 = X0 . Then J = ∅. We need
to prove that

f1 (xi ⊗ f1 (xj ⊗ z∅ )) = f1 (xj ⊗ f1 (xi ⊗ z∅ )) + f1 ([xi , xj ] ⊗ z∅ ),

which is
f1 (xi ⊗ zj ) = f1 (xj ⊗ zi ) + f0 ([xi , xj ] ⊗ 1).
Assume first that i ≤ j. In this case,

f1 (xi ⊗ zj ) = zi zj ,

and

f1 (xj ⊗ zi ) + f0 ([xi , xj ] ⊗ 1) = zj zi + f0 ([xj , xi ] ⊗ 1) + f0 ([xi , xj ] ⊗ 1)

= zj zi − f0 ([xi , xj ] ⊗ 1) + f0 ([xi , xj ] ⊗ 1)
= zi zj .

This proves (C1 ) in the case i ≤ j. Now assume that i > j. Then

f1 (xi ⊗ zj ) = zi zj + f0 ([xi , xj ] ⊗ 1),

and

f1 (xj ⊗ zi ) + f0 ([xi , xj ] ⊗ 1) = zj zi + f0 ([xi , xj ] ⊗ 1).

This proves (C1 ) in the remaining case i > j. It follows that (S1 ) holds.
11.4. THE POINCARÉ-BIRKHOFF-WITT THEOREM 207

Now suppose that p is a positive integer such that p ≥ 2 and that (Sk ) holds
for k = 0, . . . , p − 1. To define the linear map fp : L ⊗ Pp → P it suffices to
define fp (xi ⊗ zI ) ∈ P for i ∈ {1, . . . , n} and I ∈ Xq with q such that 0 ≤ q ≤ p.
Let i ∈ {1, . . . , n} and assume that I ∈ Xq with 0 ≤ q < p. In this case we
define fp (xi ⊗ zI ) = fp−1 (xi ⊗ zI ). Assume that i ∈ {1, . . . , n} and I ∈ Xp . If
i ≤ I, then we define
fp (xi ⊗ zI ) = zi zI .
Assume that i 6≤ I. To see how to define fp (xi ⊗ zI ) in this case, assume for
the moment that fk exists and satisfies (Ak ), (Bk ), and (Ck ) for non-negative
integers k and that fk−1 is the restriction of fk for k = 1, . . . , p; we will find a
formula for fp (xi ⊗ zI ) in terms of fp−1 . Let I = (j, i2 , . . . , ip ). By the definition
of X, j ≤ i2 ≤ · · · ≤ ip . Since i 6≤ I, we must have i > j. Define J = (i2 , . . . , ip );
note that the definition of J is meaningful since p ≥ 2. Clearly, J ∈ X with
d(J) = p − 1. We calculate, using (Ap−1 ) and then (Cp ):

fp (xi ⊗ zI ) = fp (xi ⊗ zj zJ )
= fp (xi ⊗ fp−1 (xj ⊗ zJ ))
= fp (xi ⊗ fp (xj ⊗ zJ ))
= fp (xj ⊗ fp (xi ⊗ zJ )) + fp ([xi , xj ] ⊗ zJ )
= fp (xj ⊗ fp−1 (xi ⊗ zJ )) + fp ([xi , xj ] ⊗ zJ ).

Now since (Sp−1 ) holds, we have by (Bp−1 ),

fp−1 (xi ⊗ zJ ) − zi zJ ∈ Pp−1 .

Define
w(i, J) = fp−1 (xi ⊗ zJ ) − zi zJ .
As just indicated, we have that w(i, J) ∈ Pp−1 . Continuing the calculation, we
get:

fp (xi ⊗ zI ) = fp (xj ⊗ fp−1 (xi ⊗ zJ )) + fp ([xi , xj ] ⊗ zJ )

= fp (xj ⊗ (zi zJ + w(i, J))) + fp ([xi , xj ] ⊗ zJ )
= fp (xj ⊗ zi zJ ) + fp (xj ⊗ w(i, J)) + fp ([xi , xj ] ⊗ zJ )
= zj zi zJ + fp−1 (xj ⊗ w(i, J)) + fp ([xi , xj ] ⊗ zJ )
= zi zI + fp−1 (xj ⊗ w(i, J)) + fp ([xi , xj ] ⊗ zJ ).

Dropping our temporary assumption, we are now motivated to define:

fp (xi ⊗ zI ) = zi zI + fp−1 xj ⊗ w(i, J) + fp−1 ([xi , xj ] ⊗ zJ ).

It is clear that fp extends fp−1 ; also, it is straightforward to verify that fp

satisfies (Ap ) and (Bp ). We need to prove that fp satisfies (Cp ). Assume that
i, j ∈ {1, . . . , n} and J ∈ Xp−1 . The case i = j holds trivially, so we assume
that i 6= j. There are 5 possible cases.
208 CHAPTER 11. REPRESENTATION THEORY

Case 1: assume that j < i and j ≤ J. We have

fp (xi ⊗ fp (xj ⊗ zJ )) = fp (xi ⊗ zj zJ )

= fp (xi ⊗ zI )


= zi zI + fp−1 xj ⊗ w(i, J) + fp−1 ([xi , xj ] ⊗ zJ )

where I = (j, j1 , . . . , jp−1 ), J = (j1 , . . . , jp−1 ) and we have used the definition
of fp (xi ⊗ zI ) from the last paragraph. We note that j ≤ I. Also,

fp (xj ⊗ fp (xi ⊗ zJ )) = fp (xj ⊗ fp−1 (xi ⊗ zJ ))

= fp (xj ⊗ (zi zJ + w(i, J)))
= fp (xj ⊗ zi zJ ) + fp (xj ⊗ w(i, J))
= zj zi zJ + fp−1 (xj ⊗ w(i, J))
= zi zI + fp−1 (xj ⊗ w(i, J)).

Substituting, we obtain (Cp ) in this case.

Case 2: assume that j < i and i ≤ J. We then have j < i and j ≤ J. Case
1 now applies to prove (Cp ).
Case 3: assume that i < j and i ≤ J. Then (Cp ) follows from Case 1 with i
replaced by j, j replaced by i and noting that [xj , xi ] = −[xi , xj ].
Case 4: assume that i < j and j ≤ J. We then have i < j and i ≤ J. Case
3 now applies to prove (Cp ).
Case 5: assume that i 6≤ J and j 6≤ J. Write J = (k, . . . , jp−1 ). By
assumption k < i and k < j. If p > 2, then define K = (j2 , . . . , jp−1 ); if p = 2,
then define K = ∅. We have k ≤ K. For the remainder of the proof we will
write fq (x ⊗ z) as x · z for q a non-negative integer with q ≤ p, x ∈ L, and
z ∈ Pq . Now

xj · zJ = xj · (zk zK )
= xj · (xk · zK )
= xk · (xj · zK ) + [xj , xk ] · zK

where the last equality follows from (Cp−1 ). Now xj · zK = zj zK + w for some
w ∈ Pp−2 . Therefore,

xj · zJ = xk · (zj zK ) + xk · w + [xj , xk ] · zK .

Applying xi , we get:

xi · (xj · zJ ) = xi · (xk · (zj zK )) + xi · (xk · w) + xi · ([xj , xk ] · zK ).

Consider xi · (xk · (zj zK )). We may write zj zK = zM where M is formed from

j and the entries of K. We have k < i and k ≤ M . By Case 1,

xi · (xk · (zj zK )) = xk · (xi · (zj zK )) + [xi , xk ] · (zj zK ).

11.4. THE POINCARÉ-BIRKHOFF-WITT THEOREM 209

Since w ∈ Pp−2 , we have by (Cp−2 ),

xi · (xk · w) = xk · (xi · w) + [xi , xk ] · w.
Substituting, this yields
xi · (xj · zJ ) = xk · (xi · (zj zK )) + [xi , xk ] · (zj zK )
+ xk · (xi · w) + [xi , xk ] · w + xi · ([xj , xk ] · zK )
= xk · (xi · (xj · zK )) + [xi , xk ] · (xj · zK ) + xi · ([xj , xk ] · zK )
= xk · (xi · (xj · zK )) + [xi , xk ] · (xj · zK )
+ [xj , xk ] · (xi · zK ) + [xi , [xj , xk ]] · zK ,
where we have applied (Cp−2 ) to xi · ([xj , xk ] · zK ). The same argument with i
and j interchanged yields
xj · (xi · zJ ) = xk · (xj · (xi · zK )) + [xj , xk ] · (xi · zK )
+ [xi , xk ] · (xj · zK ) + [xj , [xi , xk ]] · zK .
Therefore, the difference is:
xi · (xj · zJ ) − xj · (xi · zJ )
= xk · (xi · (xj · zK )) − xk · (xj · (xi · zK ))
+ [xi , [xj , xk ]] · zK − [xj , [xi , xk ]] · zK
 
= xk · xi · (xj · zK ) − xj · (xi · zK )
 
+ [xi , [xj , xk ]] − [xj , [xi , xk ]] · zK


= xk · ([xi , xj ] · zK ) + [xi , [xj , xk ]] + [xj , [xk , xi ]] · zK


= [xi , xj ] · (xk · zK ) + [xk , [xi , xj ]] + [xi , [xj , xk ]] + [xj , [xk , xi ]] · zK
= [xi , xj ] · zJ .
This is (Cp ).
Lemma 11.4.4. Let L be a finite-dimensional Lie algebra over F , and let
x1 , . . . , xn be a basis for the F vector space L. Let the notation be as in the
discussion preceding Lemma 11.4.3. There exists a representation ρ of L on
F [z1 , . . . , zn ] with the property that
ρ(xi )zI = zi zI
for i ∈ {1, . . . , n} and I ∈ X with i ≤ I.
Proof. We will use Lemma 11.4.3. For x ∈ L and p(z1 , . . . , zn ) ∈ F [z1 , . . . , zn ]
define
ρ(x) p(z1 , . . . , zn )) = fk (x ⊗ p(z1 , . . . , zn ))
where k is any non-negative integer such that p(z1 , . . . , zn ) ∈ Pk . The assertions
of Lemma 11.4.3 imply that ρ is a Lie algebra action with the stated property.
210 CHAPTER 11. REPRESENTATION THEORY

Theorem 11.4.5. Let F be a field, and let L be a finite-dimensional Lie algebra

over F . Fix an ordered basis x1 , . . . , xn for L, and define yI for I ∈ X as
preceding Lemma 11.4.2. Then the elements yI for I ∈ X are a basis for U (L)
as a vector space over F .
Proof. By Lemma 11.4.2 it suffices to prove that yI for I ∈ X are linearly
independent. Let ρ be the action of L on F [z1 , . . . , zn ] from Lemma 11.4.4.
By Lemma 11.4.1, there exists an action ρ0 of U (L) on F [z1 , . . . , zn ] such that
ρ0 ◦ σ = ρ. Let I ∈ X; we claim that

ρ0 (yI ) · 1 = zI .

We will prove this by induction on d(I). Assume that d(I) = 0. Then I = ∅.

We have yI = 1 so that ρ0 (yI ) = ρ(1) = 1, and zI = 1. Hence, ρ0 (yI ) · 1 = zI .
Assume that p is a positive integer and the claim holds for all I with d(I) < p.
Let I ∈ X be such that d(I) = p. Write I = (i1 , . . . , ip ) for some positive integer
p and i1 , . . . , ip ∈ {1, . . . , n} with i1 ≤ · · · ≤ ip . Let J = (i2 , . . . , ip ) if p ≥ 2 and
J = ∅ if p = 1. We have i1 ≤ J. Now

ρ0 (yI ) · 1 = ρ0 (yi1 yJ ) · 1
= ρ0 (yi1 )(ρ0 (yJ ) · 1)
= ρ(xi1 )(zJ )
= zi1 zJ
= zI .

This proves the claim by induction. It follows now that the yI for I ∈ X are
linearly independent because the zI are linearly independent for I ∈ X.
Index

L-map, 23 homomorphism of representations, 23

L-module, 23
ideal, 2
abelian, 2 indecomposable, 94
abstract Jordan decomposition, 49 irreducible, 23, 114
adjoint homomorphism, 5 isomorphic root systems, 123
adjoint representation, 23
admissible system, 130 Jacobi identity, 2
automorphism of root system, 124
Killing form, 40
base, 92
Borel subalgebra, 196 length, 110
branch vertex, 135 Lie algebra, 1
Lie bracket, 2
canonical map, 203 Lie’s Theorem, 15
Cartan matrix, 125 long roots, 120
Cartan subalgebra, 63 lower central series, 12
Cartan’s first criterion, 39
Cartan’s second criterion, 41 maximal, 116
Casmir operator, 52 maximal vector, 196
center, 2
constant term, 202 natural representation, 24
Coxeter graph, 129 negative roots, 93
nilpotent, 12
decomposable, 94 nilpotent component, 49
derivation, 5 non-degenerate bilinear form, 41
derived algebra, 7
derived series, 8 positive roots, 93
direct sum of Lie algebras, 43
radical, 10
Dynkin diagram, 129
reduced, 110
Engel’s Theorem, 15 reducible, 114
reductive, 11
generates, 196 reflection, 83
regular, 93
height, 93 representation, 23
highest weight, 199 root, 65
homomorphism, 2 root space decomposition, 65

211
212 INDEX

root system, 83

Schur’s lemma, 24
semi-simple component, 49
semi-simple Lie algebra, 10
short roots, 120
simple ideal, 44
simple Lie algebra, 43
solvable, 8
subalgebra, 2
subrepresentation, 23

universal enveloping algebra, 202

weight, 15, 193

weight space, 15, 193
Weyl chamber, 98
Weyl group, 104
Weyl’s Theorem, 56
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