§ 3. Subalgebras of split semi-simple Lie algebras
In this paragraph, we denote by (g,h) a split semi-simple Lie algebra, and by R its root system.
1. Subalgebras stable under ad h
Let V be a vector subspace of g and R(V) the set of α∈R such that gα⊂V. Then, (V∩h)+∑α∈R(V)gα is the largest vector subspace of V stable under ad h.
A vector subspace W of V is stable under ad h if and only if
W=(W∩h)+α∈R∑(W∩gα)
(Algebra, Chap. VII, §2, no. 2, Cor. 1 of Th. 1). The largest vector subspace of V stable under ad h is thus (V∩h)+∑α∈R(V∩gα). But V∩gα=gα for α∈R(V), and V∩gα=0 for α∈/R(V) since dim gα=1. Q.E.D.
For any subset P of R, put
gP=α∈P∑gαhP=α∈P∑hα
If P⊂R and Q⊂R, we clearly have
[h,gP]⊂gP(1)
[gP,gQ]=g(P+Q)∩R+hP∩(−Q)(2)
Recall (Chap. VI, §1, no. 7, Def. 4) that a subset P of R is said to be closed if the conditions α∈P,β∈P,α+β∈R imply α+β∈P, in other words if (P+P)∩R⊂P.
Let h′ be a vector subspace of h and P a subset of R. Then h′+gP is a subalgebra of g if and only if P is a closed subset of R and
h′⊃hP∩(−P)
Indeed,
[h′+gP,h′+gP]=[h′,gP]+[gP,gP]=hP∩(−P)+[h′,gP]+g(P+P)∩R
Hence h′+gP is a subalgebra of g if and only if
hP∩(−P)⊂h′ and g(P+P)∩R⊂gP
which proves the lemma.
Proposition 1 00ZQ
(i) The subalgebras of g stable under adh are the vector subspaces of the form h′+gP, where P is a closed subset of R and h′ is a vector subspace of h containing hP∩(−P).
(ii) Let h′,h′′ be vector subspaces of h and P,Q closed subsets of R, with h′⊃hP∩(−P),h′′⊂h′ and Q⊂P. Then h′′+gQ is an ideal of h′+gP if and only if
(P+Q)∩R⊂Q and hP∩(−Q)⊂h′′⊂⋂α∈P,α∈/Q Ker α.
Assertion (i) follows immediately from Lemmas 1 and 2. Let h′,h′′,P,Q be as in (ii). Then
[h′+gP,h′′+gQ]=hP∩(−Q)+[h′,gQ]+[h′′,gP]+g(P+Q)∩R
Hence, h′′+gQ is an ideal of h′+gP if and only if
hP∩(−Q)⊂h′′,[h′′,gP]⊂gQ,g(P+Q)∩R⊂gQ
This implies (ii).
Proposition 2 00ZR
Let a be a subalgebra of g stable under adh, and let h′⊂h, P⊂R be such that a=h′+gP.
(i) Let k be the set of x∈h′ such that α(x)=0 for all α∈P∩(−P). The radical of a is k+gQ, where Q is the set of α∈P such that −α∈/P. Moreover, gQ is a nilpotent ideal of a.
(ii) a is semi-simple if and only if P=−P and h′=hP.
(iii) a is solvable if and only if P∩(−P)=∅. In that case [a,a]=gS, where
S=((P+P)∩R)∪{α∈P∣α(h′)=0}
(iv) a is reductive in g if and only if P=−P.
(v) a consists of nilpotent elements if and only if h′=0. Then P∩(−P)= ∅, and a is nilpotent.
We prove (v). If a consists of nilpotent elements, a is clearly nilpotent, and h′=0 since the elements of h are semi-simple. Assume that h′=0. By Prop. 1 (i), P∩(−P)=∅. By Chap. VI, §1, no. 7, Prop. 22, there exists a chamber C of R such that P⊂R+(C). Hence, there exists an integer n>0 with the following properties: if α1,...,αn∈P and β∈R∪{0}, then
α1+⋯+αn+β∈/R∪{0}
This implies that every element of gP is nilpotent, hence (v).
We prove (iii). If P∩(−P)=∅,gP is a subalgebra of g (Prop. 1 (i)), and is nilpotent by (v). Now
[a,a]=[h′,gP]+[gP,gP]=[h′,gP]+g(P+P)∩R⊂gP
so a is solvable and [a,a] is given by the formula in the proposition. If P∩(−P)=∅, let α∈P be such that −α∈P. Then hα+gα+g−α is a simple subalgebra of a so a is not solvable.
We prove (i). Since P is closed, (P+Q)∩R⊂P. If α∈P,β∈Q and α+β∈R, we cannot have α+β∈−P, for, P being closed, this would imply that −β=−(α+β)+α∈P whereas β∈Q; thus, (P+Q)∩R⊂Q. This proves that gQ is an ideal of a, nilpotent by (v). We have P∩(−Q)=∅, and P∩(−P)=P∩∁Q, so hP∩(−Q)⊂k⊂⋂α∈P,α∈/Q Kerα. By Prop. 1 (ii),
k+gQ is an ideal of a. Since Q∩(−Q)=∅, this ideal is solvable by (iii). It is therefore contained in the radical r of a. Since r is stable under every derivation of a,r is stable under ad h. Hence there exists a subset S of P such that r=(r∩h)+gS. Suppose that α∈S and that −α∈P. Then hα=[gα,g−α]⊂r, so g−α=[hα,g−α]⊂r=0, so that −α∈S; by (iii), this contradicts the fact that r is solvable. Consequently, S⊂Q. Finally, if x∈r∩h and if α∈P∩(−P), then [x,gα]⊂gα∩r=0, so α(x)=0; this shows that x∈k. Hence r⊂k+gQ and the proof of (i) is complete.
We prove (iv). By (i), the adjoint representation of a on g is semi-simple if and only if adgx is semi-simple for all x∈k+gQ (Chap. I, §6, no. 5, Th. 4); by (v), this is the case if and only if Q=∅, in other words P=−P.
We prove (ii). If a is semi-simple, P=−P by (i), so hP⊂h′; further, a=[a,a]⊂hP+gP and consequently h′=hP. If P=−P and h′=hP,a is reductive by (iv), and a=∑α∈Psα, so a=[a,a] and a is semi-simple.
Proposition 3 00ZS
Let a be a semi-simple subalgebra of g stable under ad(h) and let P be the subset of R such that a=hP+gP.
(i) hP is a splitting Cartan subalgebra of a.
(ii) The root system of (a,hP) is the set of restrictions to hP of elements of P.
Since hP is stable under ad h, its normalizer in a is stable under ad h, and hence is of the form hP+gQ where Q⊂P (Lemma 1). If α∈Q,
gα=[hα,gα]⊂[hP,gα]⊂hP
which is absurd. Thus Q=∅ and hP is its own normalizer in a. This proves that hP is a Cartan subalgebra of a. If x∈hP, adgx, and a fortiori adax, are triangularizable. Thus (i) is proved, and (ii) is clear.
By Prop. 1 (i), the subalgebras of g containing h are the sets h+gP where P is a closed subset of R. By Chap. VII, §3, Prop. 3, every Cartan subalgebra of h+gP is a Cartan subalgebra of g.
Proposition 4 00ZT
Let a be a subalgebra of g containing h,x an element of a,s and n its semi-simple and nilpotent components. Then s∈a and n∈a.
We have (ad x)a⊂a, so (ad s)a⊂a and (ad n)a⊂a. Since a is its own normalizer in g (Chap. VII, §2, no. 1, Cor. 4 of Prop. 4),s∈a and n∈a.
Proposition 5 00ZU
Let P be a closed subset of R.
(i) h+gP is solvable if and only if P∩(−P)=∅. In that case, [h+gP,h+gP]=gP.
(ii) h+gP is reductive if and only if P=−P.
Assertion (i) follows from Prop. 2 (iii). If P=−P,h+gP is reductive (Prop. 2 (iv)). Assume that a=h+gP is reductive. Then
gP=[h,gP]⊂[a,a]⊂h+gP
so [a,a] is of the form h′+gP with h′⊂h; since [a,a] is semi-simple, P=−P (Prop. 2 (ii)).
2. Ideals
Proposition 6 00ZV
Let R1,...,Rp be the irreducible components of R. For i=1,...,p, put gi=hRi+gRi. Then g1,...,gp are the simple components of g.
The gi are ideals of g (Prop. 1 (ii)). It is clear that g is the direct sum of the gi, hence the product of the gi. Let a and b be complementary ideals of g. Then a and b are semi-simple and stable under ad h, so there exist subsets P,Q of R such that a=hP+gP,b=hQ+gQ. Then hP,hQ are orthogonal complements of each other in h for the Killing form, so P and Q are unions of irreducible components of R. This proves that the gi are minimal ideals of g.
Corollary 1 01IZ
g is simple if and only if R is irreducible (in other words, its Dynkin graph is connected).
This follows from Prop. 6.
A Lie algebra a is said to be absolutely simple if, for every extension k′ of k, the k′-Lie algebra a(k′) is simple.
Corollary 2 00ZW
A splittable simple Lie algebra is absolutely simple.
This follows from Cor. 1.
If g is of type Al(l≥1) or Bl(l≥1) or Cl(l≥1) or Dl(l≥3),g is said to be a classical splittable simple Lie algebra. If g is of type E6,E7,E8,F4, or G2,g is said to be an exceptional splittable simple Lie algebra.
3. Borel subalgebras
Proposition 7 00ZX
Let b=h+gP be a subalgebra of g containing h. The following conditions are equivalent:
(i) b is a maximal solvable subalgebra of g;
(ii) there exists a chamber C of R such that P=R+(C);
(iii) P∩(−P)=∅ and P∪(−P)=R.
(i) =⇒ (ii): If b is solvable, P∩(−P)=∅. Then there exists a chamber C of R such that P⊂R+(C) (Chap. VI, §1, no. 7, Prop. 22). Then h+gR+(C) is a solvable subalgebra of g containing b, hence equal to b if b is maximal.
(ii) =⇒ (iii): This is clear.
(iii) =⇒ (i): Assume that P∩(−P)=∅ and that P∪(−P)=R. Then b is solvable. Let b′ be a solvable subalgebra of g containing b. There exists a subset Q of R such that b′=h+gQ. Then Q∩(−Q)=∅ and Q⊃P, so Q = P and b′=b.
Definition 1 00ZY
A subalgebra of g containing h and satisfying the equivalent condition in Prop. 7 is called a Borel subalgebra of (g,h).
A subalgebra b of a splittable algebra g is called a Borel subalgebra of g if there exists a splitting Cartan subalgebra h′ of g such that b is a Borel subalgebra of (g,h′).
Let (g,h) be a split reductive Lie algebra. Let g=c×s with c commutative and s semi-simple. A subalgebra of g of the form c×b, where b is a Borel subalgebra of (s,h∩s), is called a Borel subalgebra of (g,h).
With the notations of Prop. 7, we also say that b is the Borel subalgebra of g defined by h and C (or by h and the basis of R associated to C).
Proposition 8 0100
Let b be a subalgebra of g,k′ an extension of k. Then b⊗kk′ is a Borel subalgebra of (g⊗kk′,h⊗kk′) if and only if b is a Borel subalgebra of (g,h).
This is clear from condition (iii) of Prop. 7.
Proposition 9 0101
Let b be the Borel subalgebra of (g,h) defined by a chamber C of R. Let n=gR+(C)=∑α∈R,α>0gα. Let l= dimh.
(i) If h∈h and x∈n, the characteristic polynomial of adg(h+x) is Tl∏α∈R(T−α(h)).
(ii) The largest nilpotent ideal of b is equal to n and to [b,b]. This is also the set of elements of b nilpotent in g.
(iii) Let B be the basis of R associated to C. For all α∈B, let Xα be a non-zero element of gα. Then (Xα)α∈B generates the Lie algebra n. We have [n,n]=∑α∈R,α>0,α∈/Bgα.
There exists a total order on hQ∗ compatible with its vector space structure and such that the elements of R+(C) are >0 (Chap. VI, §1, no. 7). Let h,x be as in (i) and y∈gα. Then [h+x,y]=α(h)y+z where z∈∑β>αgβ. Then,
with respect to a suitable basis of g, the matrix of adg(h+x) has the following properties:
1) it is lower triangular;
2) the diagonal entries of the matrix are the number 0(l times) and the α(h) for α∈R.
This proves (i). It also shows that the characteristic polynomial of adb(h+x) is T∏α∈R+(C)l(T−α(h)). It follows from the preceding that the
set of elements of b nilpotent in g, as well as the largest nilpotent ideal of b, are equal to n. We have n=[b,b] by Prop. 5 (i). Finally, assertion (iii) follows from §2, Prop. 4 (ii) and Chap. VI, §1, no. 6, Prop. 19.
Corollary 0102
Let b be a Borel subalgebra of g.
(i) Every Cartan subalgebra of b is a splitting Cartan subalgebra of g.
(ii) If h1,h2 are Cartan subalgebras of b, there exists x∈[b,b] such that eadgxh1=h2.
Assertion (i) follows from Prop. 9 (i) and Chap. VII, §3, no. 3, Prop. 3. Assertion (ii) follows from Prop. 9 (ii) and Chap. VII, §3, no. 4, Th. 3.
Proposition 10 0103
Let b,b′ be Borel subalgebras of g. There exists a splitting Cartan subalgebra of g contained in b∩b′.
Let h be a Cartan subalgebra of b,n=[b,b],n′=[b′,b′],p=b∩b′, and s a vector subspace of g complementary to b+b′. Denote by s⊥,b⊥,b′⊥ the orthogonal complements of s,b,b′ with respect to the Killing form of g. Put l= dimh,n= dimn,p= dimp. Then dimb= dimb′=l+n,
dims⊥= dim(b+b′) =2(l+n)−p,
and so
dim(s⊥∩p)≥ dims⊥+ dimp− dimg (3)
=2(l+n)−p+p−(l+2n)=l
By Prop. 1 of §2, no. 2,n⊂b⊥,n′⊂b′⊥. The elements of p∩n are nilpotent in g (Prop. 9 (ii)), and belong to b′, and hence to n′ (Prop. 9 (ii)). Consequently, p∩n⊂n∩n′⊂b⊥∩b′⊥, so s⊥∩p∩n=0. In view of (3), we see that s⊥∩p is a complement of n in b. Let z be an element of h regular in g; there exists y∈n such that y+z∈s⊥∩p; by Prop. 9 (i), adg(y+z) has the same characteristic polynomial as adgz, so x=y+z is regular in g and a fortiori in b and b′ (Chap. VII, §2, no. 2, Prop. 9). Since g,b,b′ have the same rank, b0(x)=g0(x)=b′0(x) is simultaneously a Cartan subalgebra of b, of g and of b′ (Chap. VII, §3, no. 3, Th. 2). Finally, this Cartan subalgebra of g is splitting by the Cor. of Prop. 9.
Corollary 0104
The group Aute(g) operates transitively on the set of pairs (t,b) where t is a splitting Cartan subalgebra of g and b is a Borel subalgebra of (g,t).
Let (t1,b1) and (t2,b2) be two such pairs. There exists a splitting Cartan subalgebra t of g contained in b1∩b2 (Prop. 10). By the Cor. of Prop. 9, we are reduced to the case in which t1=t2=t. Let S be the root system of (g,t). There exists bases B1,B2 of S such that bi is associated to Bi(i=1,2), and there exists s∈W(S) which transforms B1 into B2. Finally, there exists a∈ Aute(g) such that a∣t=s(§2, no. 2, Cor. of Th. 2). Then a(t)=t and a(b1)=b2.
4. Parabolic subalgebras
Proposition 11 0105
Let p=h+gP be a subalgebra of g containing h. The following conditions are equivalent:
(i) p contains a Borel subalgebra of (g,h);
(ii) there exists a chamber C of R such that P⊃R+(C);
(iii) P is parabolic, in other words (Chap. VI, §1, no. 7, Def. 4), P∪(−P)= R.
Conditions (i) and (ii) are equivalent by Prop. 7. Conditions (ii) and (iii) are equivalent by Chap. VI, §1, no. 7, Prop. 20.
Definition 2 0106
A subalgebra of g containing h and satisfying the equivalent conditions of Prop. 11 is called a parabolic subalgebra of (g,h). A parabolic subalgebra of g is a parabolic subalgebra of (g,h′) where h′ is a splitting Cartan subalgebra of g.
This definition extends immediately to the case in which (g,h) is a split reductive Lie algebra.
Let V be a finite dimensional real vector space, S a root system in V∗,P the set of parabolic subsets of S; let H be the set of Ker α for α∈S, and F the set of facets of V relative to H (Chap. V, §1, no. 2, Def. 1).
If P∈P, let F(P) be the set of v∈V such that α(v)≥0 for all α∈P. If F∈F, let P(F) be the set of α∈R such that α(v)≥0 for all v∈F.
Then F→P(F) is a bijection from F to P; for all F∈F, F(P(F)) is the closure of F.
a) Let P∈P. There exists a chamber C of S and a subset Σ of the basis B(C) such that P=S+(C)∪Q where Q is the set of linear combinations of elements of Σ with non-positive integer coefficients (Chap. VI, §1, no. 7, Prop. 20). Put
B(C)={α1,...,αl},Σ={α1,...,αm}
If v∈V, we have the following equivalences:
α(v)≥0 for all α∈P
⇐⇒α1(v)≥0,...αl(v)≥0,α1(v)≤0,...,αm(v)≤0
⇐⇒α1(v)=⋯=αm(v)=0,αm+1(v)≥0,...,αl(v)≥0
so F(P) is the closure of the set
{v∈V∣α1(v)=⋯=αm(v)=0,αm+1(v)>0,...,αl(v)>0}
a set which is a facet F relative to H since every element of S is a linear combination of α1,...,αl in which the coefficients are either all ≥0 or all ≤0. Moreover, if β=u1α1+⋯+ulαl∈S,
β∈P(F)⇐⇒um+1≥0,...,ul≥0
⇐⇒β∈S+(C) or (−β∈S+(C) and um+1=...=ul=0)
⇐⇒β∈S+(C)∪Q=P
so P(F) = P.
b) Let F∈F. It is clear that P(F)∈P. On the other hand, F is contained in the closure of a chamber relative to H (Chap. V, §1, no. 3, formulas (6)), and so is a facet relative to the set of walls of this chamber (Chap. V, §1, no. 4, Prop. 9). Consequently, F is of the form {v∈V∣α(v)≥0 for all α∈T}, where T is a subset of S which we can clearly take to be equal to P(F). Thus, F=F(P(F)). Q.E.D.
If P∈P, the facet F such that P = P(F) is said to be associated to P; we denote it by F(P). We extend these conventions to the case in which (g,h) is split reductive.
Proposition 12 0109
Let H be the set of hyperplanes of hR consisting of the kernels of the roots in R. Let F be the set of facets of hR relative to H. Let S be the set of parabolic subalgebras of (g,h). For every p=h+gP∈S, let F(p) be the facet associated to P. Then p→F(p) is a bijection from S to F. If p1,p2∈P,
p1⊃p2⇐⇒F(p1)⊂F(p2)
This follows immediately from Lemma 3.
The facets corresponding to the parabolic subalgebras of (g,h) containing a Borel algebra b are the facets contained in the closure of the chamber associated to b (cf. the Remark above).
Proposition 13 010B
Let p=h+gP be a parabolic subalgebra of (g,h), Q the set of α∈P such that −α∈/P, and s=h+gP∩(−P). Then p=s⊕gQ,s is reductive in g, and gQ is the largest nilpotent ideal of p and the nilpotent radical of p. The centre of p is zero.
By Prop. 2,s is reductive in g and gQ is a nilpotent ideal of p. If n is the largest nilpotent ideal of p,gQ⊂n⊂h+gQ (Prop. 2 (i)); if x∈n∩h, adpx is nilpotent, so α(x)=0 for all α∈P, and hence x=0; this proves that n=gQ. Since [h,gQ]=gQ, the nilpotent radical of p contains gQ and consequently is equal to gQ. Let z=h+∑α∈Puα (where h∈h,uα∈gα) be an
element of the centre of p. For all h′∈h,0=[h′,z]=∑α(h′)uα, so uα=0 for all α∈P; it follows that [h,gβ]=0 for all β∈P, so h=0.
5. Non-split case
Proposition 14 010C
Let k′ be an extension of k and g′=g⊗kk′. Let m be a subalgebra of g and m′=m⊗kk′. If m′ is a parabolic (resp. Borel ) subalgebra of g′,m is a parabolic (resp. Borel ) subalgebra of g.
By Prop. 8 and 11, it suffices to prove that m contains a splitting Cartan subalgebra of g. Let b be a Borel subalgebra of g. Then b′=b⊗kk′ is a Borel subalgebra of g′, so m′∩b′ contains a Cartan subalgebra of g′ (Prop. 10). Let t be a Cartan subalgebra of m∩b. Then t⊗kk′ is a Cartan subalgebra of m′∩b′, and hence of g′ (Chap. VII, §3, no. 3, Prop. 3). Consequently, t is a Cartan subalgebra of g, and it is splitting since it is contained in b.
Definition 3 010D
Let a be a semi-simple (or more generally reductive) Lie algebra and k an algebraic closure of k. A subalgebra m of a is said to be parabolic (resp. Borel ) if m⊗kk is a parabolic (resp. Borel ) subalgebra of a⊗kk.
If a is splittable, Prop. 14 shows that this definition is equivalent to Definition 2 (resp. to Definition 1).
Proposition 15 010E
Let a be a reductive Lie algebra, k′ an extension of k, and m a subalgebra of a. Then m is a parabolic (resp. Borel ) subalgebra of a if and only if m⊗kk′ is a parabolic (resp. Borel ) subalgebra of a⊗kk′.
This follows immediately from Prop. 14.
Exercises
See the exercises for § 3.