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# Quantum Hall states and boson triplet condensate for rotating spin-1 bosons

\[

## Abstract

We propose and analyze two series of clustered quantum Hall states for rotating systems of spin-1 bosons. The first series (labelled SU$`(4)_k`$) includes the exact ground states of a model Hamiltonian at large angular momentum $`L`$, and also for $`N=3k`$ particles at $`L=N`$. The latter is a spin-singlet boson triplet condensate (BTC). The second series, labelled SO$`(5)_k`$, includes exact ground states at large $`L`$ for different parameter values.

\]

In the study of the phenomenon of Bose-Einstein condensation (BEC) of cold atoms, the possibility of using bosons with internal degrees of freedom (spin 1 in particular), and of rotating the condensate has led to fascinating new possibilities for the states of matter that can be formed and observed. A multicomponent BEC can be realized by trapping higher spin atoms such as 87Rb  and 23Na  in optical traps, which do not affect the spin degeneracy, and spin-1 or “vector” BEC’s have been realized and studied . In a model description, the 2-body interactions of the spin-1 atoms are written as $`\delta (𝐫_1𝐫_2)[c_0+c_2𝐒_1𝐒_2]`$, with $`c_0=(g_0+2g_2)/3`$, $`c_2=(g_2g_0)/3`$, and $`g_S=4\pi \mathrm{}^2a_S/M_b`$ with $`M_b`$ the boson mass and $`a_S`$ the $`s`$-wave scattering length in the total spin $`S`$ channel . In the case of 23Na one has $`c_2>0`$, and hence “anti-ferromagnetic” spin correlations. The “polar” ground state  has $`𝐒=0`$; it supports many interesting collective excitations (see  for a review). The case of 87Rb has $`c_2<0`$, leading to a spin-polarized (ferromagnetic) ground state.

The effect of rotating a “scalar” BEC of spinless or spin-polarized atoms in an isotropic harmonic trap of frequency $`\omega _0`$ can be studied at mean field level (the Gross-Pitaevskii equation), and a vortex lattice is found at sufficiently high rotation frequency $`\omega `$, in agreement with experimental observations . At still higher frequencies, quantum fluctuations become important and it has been argued that the vortex lattice is replaced by a sequence of distinct quantum fluids, which can be understood using a mapping to the fractional quantum Hall (qH) effect . In this paper, we explore the corresponding possibilities in a rotating system of spin-1 bosons.

In the regime $`\omega _0\omega \omega _0`$ and very weak interaction, only the lowest-energy single-particle states in the trap are of interest. These have non-negative angular momentum $`m=0`$, $`1`$, …about the rotation axis, and no excitation of the motion along the axis, so the motion is effectively in the $`xy`$-plane. The $`x`$, $`y`$ dependence of these wave functions is $`\psi _m(z)z^me^{|z|^2/2}`$ (where $`z=x+iy`$, and the quantum length $`(\mathrm{}/M_b\omega _0)^{1/2}`$ of the trap, and $`\mathrm{}`$, have been set to 1); they correspond to the lowest Landau level (LLL) .

We consider the interaction Hamiltonian for bosons $`i`$, $`j=1`$, …, $`N`$, restricted to the LLL,

$$H_{\mathrm{int}}=\underset{i<j}{}\delta (𝐫_i𝐫_j)[c_0+c_2𝐒_i𝐒_j].$$
(1)
The ground state (GS) for the system rotating at frequency $`\omega `$ is found by minimizing $`H_{\mathrm{tot}}=H_{\mathrm{int}}+(\omega _0\omega )L`$ , where $`L=_im_i`$ is the total angular momentum. For $`N`$ particles in the LLL with zero center-of-mass angular momentum, the average “filling factor” of the occupied states can be defined as $`\nu =N/(N_V+1)`$, where $`N_V=2L/N`$ is the number of vortices there would be if there were a Bose condensate (we assume here a uniform average occupation of states up to $`m=N_V`$). The use of only the LLL states is physically reasonable when $`\omega _0\omega \omega _0/N_V`$ (so that particles in the LLL with $`m=N_V`$ cannot lower their energy by moving to a non-LLL state with $`m=0`$) and $`\nu c_S\omega _0`$, $`S=0`$, $`2`$ (so that perturbative corrections from mixing non-LLL states into the GS are negligible).

For the scalar case (in the LLL, without $`c_2`$), a study  using periodic boundary conditions found that the vortex lattice melts at a critical $`\nu =\nu _c10`$, that incompressible fluid states occur at $`\nu =\frac{1}{2}`$, $`1`$, $`\frac{3}{2}`$, $`2`$, …$`<\nu _c`$, and that the corresponding GS wavefunctions have large overlaps with the Read-Rezayi (RR)  series of fractional qH states.

Here, for the case of vector bosons, we first propose two series of spin-singlet generalizations of the RR states (labelled SU$`(4)_k`$ and SO$`(5)_k`$, respectively, and $`k=1`$, $`2`$, …), and explain their structure. In a thermodynamic limit $`N\mathrm{}`$ with $`\nu `$ fixed, they each represent incompressible liquid phases of the system, with $`\nu =3k/4`$ for the SU$`(4)_k`$ states and $`\nu =k`$ for the SO$`(5)_k`$ series. Then we present results for the GS’s of $`H_{\mathrm{int}}`$ as a function of $`L`$, $`c_0`$, and $`c_2`$. We identify a region in the $`c_0`$$`c_2`$ plane where the proposed qH states with $`k=1`$ give the exact GS’s at high values of $`L`$. We demonstrate that the $`k=N/3`$ member of the SU$`(4)_k`$ series is an exact eigenstate and, apparently, the GS of $`H_{\mathrm{int}}`$ with $`c_2=0`$, $`c_0>0`$, at angular momentum $`L=N`$. In second quantization, this state, a spin-singlet boson-triplet condensate (BTC), takes the form

$$|\mathrm{BTC}=[ϵ^{\mu _1\mu _2\mu _3}b_{0\mu _1}^{}b_{1\mu _2}^{}b_{2\mu _3}^{}]^{N/3}|0,$$
(2)
where $`b_{m\mu }^{}`$ is a creation operator for the single-particle state $`\psi _m(z)`$ with spin $`\mu `$, where $`\mu =x`$, $`y`$, $`z`$. Finally, we show the GS’s of $`H_{\mathrm{tot}}`$ as a function of $`\omega `$.

We now explain our analysis, starting with the construction of spin-singlet qH states for spin-1 bosons. This construction is a generalization of similar constructions for scalar and spin-1/2 particles (either of which could be electrons or bosons) . These papers all employed a correspondence  between qH states and specific conformal field theories (CFT’s). This connection allows one to obtain trial qH wavefunctions as chiral correlators in CFT’s that are associated to a Lie algebra $`G`$ and integers $`k1`$ and $`M0`$, where $`M`$ is even (odd) for bosons (fermions). These states generalize the pairing familiar from the theory of superconductivity to the formation of “clusters”. The structure of these CFT’s is such that the resulting qH wavefunctions have a property that guarantees that they are exact zero-energy eigenstates of certain model Hamiltonians. For example, starting from $`G=`$ SU$`(n+1)`$ and putting $`M=0`$, one can find completely symmetric wavefunctions that obey

$`\stackrel{~}{\mathrm{\Psi }}(z_1,z_2,\mathrm{},z_N)0`$ for $`z_1=\mathrm{}=z_l(lk),`$ (3)
$`\stackrel{~}{\mathrm{\Psi }}(z_1,z_2,\mathrm{},z_N)=0`$ for $`z_1=\mathrm{}=z_{k+1},`$ (4)
independent of the spins of the particles involved. Hence, these are zero-energy eigenstates of a Hamiltonian with a repulsive $`k+1`$-body $`\delta `$-function interaction , and are the unique states of the lowest $`L`$ with this property. The existence of such a Hamiltonian and the fact that it has a gap in its energy spectrum ensures that a corresponding incompressible liquid phase of matter exists (when $`N\mathrm{}`$ at fixed $`k`$, $`M`$) over a range of interaction parameters, not just for the $`k+1`$-body model. The filling factors of these SU$`(n+1)_k`$ states are

$$\nu (n,k,M)=\frac{nk}{nkM+n+1}.$$
(5)
The parameter $`n`$ corresponds to the number of components of an internal degree of freedom of the particles, and these models have U$`(n)`$ symmetry; the clusters contain $`nk`$ particles. For $`n=1`$ this construction gives the RR states, while for $`n=2`$ it produces spin-singlet states for spin-1/2 particles . Finally, clustered qH states admit excitations (quasiparticles) of effectively fractional “charge” (i.e. particle number). The simplest of these can be viewed as the result of the adiabatic insertion of a fraction of a quantum of magnetic flux (or vorticity), where the allowed fraction is $`1/nk`$ in the present cases. States with more than three quasiparticles at well-separated fixed positions display large degeneracies, which give rise to “non-abelian statistics”  and are understood for $`n=1`$, $`2`$ .

Our first series of clustered spin-singlet qH states of spin-1 bosons consists of the SU$`(4)_k`$ states ($`n=3`$ above), where we put $`M=0`$. The filling factor is $`\nu =3k/4`$. The CFT construction guarantees that, for $`N`$ divisible by $`3k`$, this state is a singlet under SU(3), and hence also under its SO($`3`$) subgroup, the usual spin rotation group. The wavefunction for $`N=3kp`$ particles can be written in terms of its components for particular spin states $`\mu =x`$, $`y`$, $`z`$ specified for each particle (similar to ), as

$`\stackrel{~}{\mathrm{\Psi }}_k^{\mathrm{SU}(4)}=𝒮_{\mathrm{groups}}\left[P_{\mathrm{groups}}\stackrel{~}{\mathrm{\Psi }}^{2,2,2,1,1,1}\right],`$ (6)
where

$`\stackrel{~}{\mathrm{\Psi }}^{2,2,2,1,1,1}(z_1^x,\mathrm{},z_p^x;z_1^y,\mathrm{},z_p^y;z_1^z,\mathrm{},z_p^z)=`$ (8)
$`{\displaystyle \underset{\mu =x,y,z}{}}{\displaystyle \underset{i<j}{}}(z_i^\mu z_j^\mu )^2{\displaystyle \underset{\mu ^{}<\mu ^{\prime \prime }}{}}{\displaystyle \underset{i,j}{}}(z_i^\mu ^{}z_j^{\mu ^{\prime \prime }}).`$
In words, the operations $`P_{\mathrm{groups}}`$ and $`𝒮_{\mathrm{groups}}`$ in eq. (6) tell one to divide the $`3pk`$ bosons into $`k`$ groups of $`3p`$ bosons each ($`p`$ of each spin polarization), to write a factor $`\stackrel{~}{\mathrm{\Psi }}^{2,2,2,1,1,1}`$ as in eq. (8) for each group, and finally, to symmetrize over all ways the particles can be divided over the $`k`$ groups. For $`k=1`$ there is a single group, and one finds a state of total degree $`L=3p(2p1)`$ that generalizes the Laughlin and Halperin states for scalar and spin-$`1/2`$ particles, respectively, and which is a zero-energy eigenstate of $`H_{\mathrm{int}}`$ for all $`c_0`$, $`c_2`$, and the unique GS when both $`g_0`$, $`g_2>0`$ since $`H_{\mathrm{int}}`$ is then positive. Putting instead $`k=N/3`$ gives $`k`$ groups of $`3`$ particles each, the resulting state being the $`L=N`$ BTC, eq. (2). The fundamental quasiparticles over the SU$`(4)_k`$ qH liquids have fractional “charge” equal to $`\pm 1/4`$, and spin 1, for all $`k`$. We note however that such assignments, while meaningful for $`Nk`$, may be meaningless when $`N3k`$, where the quasiparticle size is comparable to the size of the fluid drop.

An important point is that for $`c_2=0`$, the Hamiltonian (1) has SU$`(3)`$, not just SO$`(3)`$, spin-rotation symmetry. Therefore, we expect the SU$`(4)_k`$ states to be relevant near this line when $`c_0>0`$, for sufficiently large $`L`$.

Our second series of qH states for spin-1 bosons is obtained from a CFT with $`G=`$ SO$`(5)`$, and generalizes the construction in Ref. . The GS’s possess a symmetry under an SO$`(3)`$ subgroup of SO$`(5)`$. The general construction, which involves spin-singlet clusters of $`2k`$ particles, gives states of filling factor $`\nu =k/(kM+1)`$. Putting $`M=0`$, we obtain qH states with $`\nu =k`$. For $`k=1`$, the wavefunction with values in the spin space of $`N`$ spin-1 particles can be written as

$$\stackrel{~}{\mathrm{\Psi }}_{k=1}^{\mathrm{SO}(5)}(z_i)=\mathrm{Pf}\left[\frac{\rho _i\rho _j+\sigma _i\sigma _j+\tau _i\tau _j}{(z_iz_j)}\right]\stackrel{~}{\mathrm{\Psi }}_\mathrm{L}^1(z_i).$$
(9)
Here $`\stackrel{~}{\mathrm{\Psi }}_\mathrm{L}^1(z_i)=_{i<j}(z_iz_j)`$ is a spin-independent Laughlin factor in all $`N`$ particle coordinates; the Pfaffian $`\mathrm{Pf}`$ is defined, as usual, by

$$\mathrm{Pf}\left(M_{ij}\right)=𝒜\left(M_{12}M_{34}\mathrm{}M_{N1,N}\right),$$
(10)
where $`M_{ij}`$ are the elements of an antisymmetric matrix, and $`𝒜`$ denotes the operation of antisymmetrization; $`\rho _i`$, $`\sigma _i`$, $`\tau _i`$ are basis vectors in the spin space for particle $`i`$, that correspond to $`x`$, $`y`$, $`z`$, and the product is the tensor product. For $`k=1`$, $`N`$ must be even, and the clustering (or pairing) of particles is seen explicitly. Clearly, there must be even (but otherwise arbitrary) numbers of particles in each of the three spin states $`\rho `$, $`\sigma `$, $`\tau `$. The $`k=1`$ wavefunction for $`N=2q`$ particles has total degree $`L=2q(q1)`$. The function (9) can be viewed as spin-singlet p-wave pairing of composite fermions of spin 1 (for a review, see Ref. ). There are also excited states with unpaired “charge”-neutral spin-1 fermions. We note that, in the state (9), two bosons are found at the same point only if the total spin of the pair is zero, not if it is 2, and hence the state is an exact zero-energy eigenstate, of lowest $`L`$, for a $`\delta `$-function interaction that includes a projection onto spin 2. In our parameterization, that is $`c_2=c_0/2`$ or $`g_0=0`$, and if also $`c_0>0`$, then $`H_{\mathrm{int}}`$ is positive, so our $`k=1`$ state is the GS at this $`L`$. For general $`k`$, the SO$`(5)_k`$ wavefunction can be written as a CFT chiral correlator, and is an exact zero-energy eigenstate of a certain $`k+1`$-body $`\delta `$-function interaction (details will appear elsewhere). In general, the quasiparticles over the SO$`(5)_k`$ qH state have “charge” $`\pm 1/2`$ and spin $`1/2`$, thus displaying a fractionalization of both “charge” and spin.

We next report on our study (numerical and analytic) of the GS phase diagram of the model $`H_{\mathrm{int}}`$. The numerical work is restricted to small values of $`N`$ (up to 12), but it indicates many features which we believe to hold for general values of $`N`$. To guide our discussion we have displayed in Fig. 1 various special directions (rays) and regions in the $`c_0`$$`c_2`$ plane.

For $`L=0`$, the GS has total spin $`S=N`$ for $`c_2<0`$ (ferro regime) and $`S=0`$ ($`1`$) for $`N`$ even (resp., odd) for $`c_2>0`$ (anti-ferro regime). For $`c_2=0`$, there is a single SU$`(3)`$ multiplet of spin states, decomposing into unique SO($`3`$) multiplets of each spin $`S=N`$, $`N2`$, ….

As $`L`$ increases, these two phases survive in part of the phase diagram, as compact drops of fluid, with the center of mass carrying all the angular momentum. Meanwhile, the positive $`c_0`$ axis gradually opens into a region that contains other phases. By the time $`L`$ is $`N`$, the $`c_0`$$`c_2`$ plane contains the three regions labelled Ia, Ib, and II in Fig. 1. The GS’s in regions Ia and Ib are similar to the GS in the “attractive” regime in the scalar case . The orbital part of the GS wavefunction is of the form $`\stackrel{~}{\mathrm{\Psi }}(z_i)z_c^L`$, with $`z_c=_iz_i/N`$ the center of mass (CM) coordinate. In region Ia ($`c_0<0`$, $`c_2>0`$), the spin state is the same spin-singlet as for the $`L=0`$ GS, and the GS energy becomes $`[c_0N(N1)/2Nc_2](2\pi )^{3/2}`$ . In region Ib ($`c_2<0`$, $`c_0<c_2`$), the spin state is ferro, $`S=N`$, giving energy $`(c_0+c_2)N(N1)(2\pi )^{3/2}/2<0`$ . At $`c_2=0`$, $`c_0<0`$, the spin states again form the SU$`(3)`$ multiplet. In the “repulsive” region II, the GS is in general not a common eigenstate of the $`c_0`$ and $`c_2`$ parts of the interaction, and the GS energy depends non-linearly on the ratio $`c_2/c_0`$. The $`L=N`$ GS’s all have $`S=0`$ or $`S=1`$ (depending on the value of $`N`$ modulo 6, and on the ratio $`c_2/c_0`$). For $`L>N`$, larger values of $`S<N`$ do occur near the boundary at $`c_2=c_0`$ ($`g_2=0`$).

Turning to $`LN`$ in region II, we have already pointed out that the SU$`(4)_1`$ state is the zero-energy GS for $`N=3p`$ particles at $`L=3p(2p1)`$ when $`g_0`$ and $`g_2>0`$, while the SO$`(5)_1`$ state is the zero-energy GS for $`N=2q`$ particles at $`L=2q(q1)`$ for $`g_0=0`$. (For $`N=3`$, $`4`$, these states occur at $`L=N`$). For even larger $`L`$, each of these model cases possesses many degenerate GS’s of zero energy. This implies that, within our model, the SU$`(4)_1`$ and SO$`(5)_1`$ GS’s are those found (for the parameters as stated) at the critical rotation frequency $`\omega =\omega _0`$, and so the lowest possible filling factor is $`3/4`$ in the region $`g_0`$, $`g_2>0`$, but is $`1`$ when $`g_0=0`$.

At intermediate $`L>N`$ values in this region, we expect similar physics. Thus, for $`c_2=c_0/2>0`$, ($`g_0=0`$), the system can lower its energy by forming SO$`(3)`$ singlet pairs of bosons. For $`L<2q(q1)`$ ($`N=2q>4`$) we do not have exact eigenstates, but we expect that, similar to Ref. , for $`\nu =k`$ less than some critical value $`\nu _c^{}>1`$, the bulk of the fluid will be in the SO$`(5)_k`$ state. For $`c_2=0`$, $`c_0>0`$, the preferred behavior is singlet formation via triples of bosons of spin zero; each such three bosons must be in an antisymmetric orbital state as well. For $`L<3p(2p1)`$ ($`N=3p>3`$), we do not generally have exact eigenstates, but we expect the bulk of the fluid to be the SU$`(4)_k`$ states for $`\nu =3k/4`$ less than another critical $`\nu _c^{\prime \prime }>3/4`$.

We also found that the exact GS for $`N=6`$, $`L=6`$ at $`c_2=0`$ is the SU$`(4)_2`$ or BTC state (2). Prompted by this, we have proved analytically that for $`N=3p`$ particles the SU$`(4)_p`$ state is an exact eigenstate of $`H_{\mathrm{int}}`$ with $`c_2=0`$, with eigenvalue

$$E=\frac{11}{48}N(N3)(2\pi )^{3/2}c_0.$$
(11)
We have numerically checked that for $`N=3`$, $`6`$, $`9`$, $`12`$ this state is the GS and believe this is true for all $`N=3p`$. \[The energy eq. (11) is lower than the value $`\frac{1}{4}N(N2)(2\pi )^{3/2}c_0`$ of an SU$`(3)`$ multiplet of vortex states for spin-1 bosons, that have the same orbital wavefunction as the $`c_0>0`$ vortex state in the scalar case.\]

The BTC state in eq. (2) has a clear experimental signature, that is the density profile given in Fig. 2, whose form is independent of $`N`$. We caution again that one should probably not think of the limit $`N=3k`$ as a qH state, since the drop is so small. We identified the state as an extreme member of the SU$`(4)_k`$ qH series, but it might be more useful to view it as a boson-triplet analog of the BCS paired electron states, or alternatively as an SU$`(3)`$ analog of a skyrmion spin texture (see Ref. ).

The response of the spin-1 boson system to a rotation frequency $`\omega `$ is found by minimizing $`H_{\mathrm{tot}}`$. In Fig. 3 we display the result for $`N=6`$ particles. The BTC is at $`L=6`$, and the SU$`(4)_1`$ state is at $`L=18`$. The degenerate spin multiplets listed at the steps at $`L<6`$ each form a single SU(3) multiplet. The wavefunctions of these GS’s at $`LN`$ are uniquely determined by their SU$`(3)`$ and $`L`$ quantum numbers.

The SO$`(5)_1`$ state found here will survive for some distance off $`g_0=0`$. For $`N`$ large at fixed $`\nu `$, there will be several phases within region II, and in particular a boundary between the SO$`(5)_1`$ and SU$`(4)_1`$ phases that approaches $`g_0=0`$ as $`\omega \omega _0`$.

Our constructions for $`c_2=0`$ directly generalize to an $`n`$-component rotating Bose gas with repulsive spin-independent $`\delta `$-function interactions, implying SU$`(n)`$ symmetry. In particular, we expect a “boson $`n`$-plet condensate” at $`L=(n1)N/2`$, and SU$`(n+1)_k`$ states at sufficiently small $`\nu =nk/(n+1)`$.

To conclude, we have found several interesting states of matter, not containing vortices, in rotating spin-1 bosons.

As this manuscript was prepared, two preprints appeared  that also address a rotating BEC. These papers point out the relevance of the SU$`(n+1)_1`$ states at large $`L`$, but do not discuss the other qH states or the BTC state that we consider.

We thank E. Rezayi, M. Kasevich, S.M. Girvin, T.-L. Ho, and E. Mueller for helpful discussions. This research was supported by the Netherlands Organisation for Scientific Research, NWO, and the Foundation FOM of the Netherlands (JWR, FJMvL and KS), and by the NSF under grants nos. DMR-98-18259 (NR) and DMR-98-02813 (KS).


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# Banach space properties forcing a reflexive, amenable Banach algebra to be trivial

## Introduction

The question of whether a reflexive, amenable Banach algebra $`𝔄`$ has to be trivial, i.e. if it is necessarily of the form

$$𝔄𝕄_{n_1}\mathrm{}𝕄_{n_k}$$

with $`n_1,\mathrm{},n_k`$, was apparently raised for the first time by J. E. Galé, T. J. Ransford, and M. C. White in . In the same paper, they showed that every reflexive, amenable Banach algebra all of whose primitive ideals have finite codimension must be trivial. Generalizing this result, B. E. Johnson proved in  that every reflexive, amenable whose maximal left ideals are complemented has to be trivial. This implies, for instance, that the underlying Banach space of an amenable Banach algebra cannot be a Hilbert space (). For a recent refinement of Johnson’s result, see .

In general, complemented subspaces are rather the exception than the rule in functional analysis (except, of course, in the Hilbert space setting), which makes theorems involving hypotheses of complementedness often less applicable than one would like them to have. In this paper, we establish criteria for the triviality of reflexive, amenable Banach algebras which avoid complemented subspaces in their hypotheses. Instead, we require certain Banach spaces properties such as the (bounded) approximation property.

In the $`C^{}`$-algebra situation, the connection between amenability and Banach space properties is well established: An amenable $`C^{}`$-algebra is nuclear (), and thus has the (metric) approximation property (). In , this fact was used to prove that $`\mathrm{}^{\mathrm{}}\text{-}_{n=1}^{\mathrm{}}𝕄_n`$ cannot be amenable. In , we showed that any reflexive, amenable Banach algebra with the approximation property such that every bounded linear map from $`𝔄`$ into $`𝔄^{}`$ is compact, has to be trivial (in fact, it is sufficient that the almost periodic functionals separate the points of $`𝔄`$; see ). In conjunction with Pitt’s theorem (\[10, p. 208\]), this implies that the underlying Banach space of an amenable Banach algebra cannot be $`\mathrm{}^p`$ with $`p>2`$.

In this paper, we shall first establish a general theorem — involving no complemented subspaces in its hypotheses — which gives two sufficient conditions for a reflexive, amenable Banach algebra to be trivial. We shall then apply this theorem to Banach algebras whose underlying Banach spaces are $`^p`$-spaces in the sense of  with $`p(1,\mathrm{})`$.

## 1 Preliminaries

Amenable Banach algebras were introduced by B. E. Johnson in  in terms of a cohomological triviality condition. In this paper, however, we require a characterization of amenable Banach algebras given in .

We write $``$ for the algebraic tensor product of Banach spaces, $`\widehat{}`$ for the projective tensor product, and $`\stackrel{ˇ}{}`$ for the injective tensor product; our standard source on Banach space tensor products is . If $`𝔄`$ is a Banach algebra, then $`𝔄\widehat{}𝔄`$ (and $`𝔄\stackrel{ˇ}{}𝔄`$, as well) is a Banach $`𝔄`$-bimodule with the operations

$$a(xy):=axy\text{and}(xy)a:=xya(a,x,y𝔄).$$

We use $`\mathrm{\Delta }:𝔄\widehat{}𝔄𝔄`$ to denote the linear operator induced by the algebra multiplication, i.e. $`\mathrm{\Delta }(ab)=ab`$ for $`a,b𝔄`$.

An approximate diagonal for a Banach algebra $`𝔄`$ is a bounded net $`(m_\alpha )_\alpha `$ in $`𝔄\widehat{}𝔄`$ such that

$$am_\alpha m_\alpha a0(a𝔄)$$
(1)
and

$$a\mathrm{\Delta }m_\alpha a(a𝔄).$$
(2)
As was shown in , a Banach algebra $`𝔄`$ is amenable if and only if it has an approximate diagonal. If an amenable Banach algebra has an approximate diagonal bounded by $`\lambda 1`$, we say that $`𝔄`$ is $`\lambda `$-amenable.

For any two Banach spaces $`E`$ and $`F`$, we write $`(E,F)`$ for the bounded finite rank operators from $`E`$ into $`F`$; by $`𝒜(E,F)`$, we denote the approximable operators from $`E`$ into $`F`$, i.e. the norm closure of $`(E,F)`$. We simply write $`(E)`$ and $`𝒜(E)`$ insteady of $`(E,E)`$ and $`𝒜(E,E)`$, respectively. A Banach space $`E`$ is said to have the approximation property, if there is a net $`(T_\alpha )_\alpha `$ in $`(E)`$ such that $`T_\alpha \mathrm{id}_E`$ uniformly on compact subsets of $`E`$. If this net $`(T_\alpha )_\alpha `$ can be chosen to be bounded in norm by some $`\lambda 1`$, we say that $`(T_\alpha )_\alpha `$ has the $`\lambda `$-approximation property; the $`1`$-approximation property is also called metric approximation property. If a Banach space has the $`\lambda `$-approximation property for some $`\lambda 1`$, it is said to have the bounded approximation property. All these approximation properties can also be defined in terms of nets in $`𝒜(E)`$.

In general, the approximation property is not inherited by closed subspaces or quotients (see ). For certain amenable Banach algebras (and the appropriate sub- and quotient structures), however, such hereditary properties exist. We say that a Banach algebra $`𝔄`$ has compact multiplication if, for each $`a𝔄`$, the operators $`L_a`$ and $`R_a`$ of multiplication by $`a`$ from the left and from the right, respectively, are compact.

###### Proposition 1.1

Let $`𝔄`$ be a semisimple $`\lambda `$-amenable Banach algebra with compact multiplication which has the approximation property. Then each closed, one-sided ideal of $`𝔄`$ and each quotient of $`𝔄`$ by such an ideal has the $`\lambda `$-approximation property. In particular, $`𝔄`$ itself has the $`\lambda `$-approximation property.

* Let $`(m_\alpha )_\alpha `$ be an approximate diagonal for $`𝔄`$ bounded by $`\lambda `$. Then, by (1) and (2), $`(\mathrm{\Delta }m_\alpha )_\alpha `$ is a bounded approximate identity for $`𝔄`$ bounded by $`\lambda `$. From the structure result \[15, Corollary 3.3\], it follows that $`𝔄`$ has a bounded approximate identity $`(e_\beta )_{b𝔹}`$ bounded by $`\lambda `$ such that, for each $`\beta 𝔹`$, the operators $`L_{e_\beta }`$ and $`R_{e_\beta }`$ belong to $`(𝔄)`$.

Let $`L`$ be a closed left ideal of $`𝔄`$ (right ideals can be treated analoguously). Then $`(L_{e_\beta }|_L)_{\beta 𝔹}`$ is a net in $`(L)`$ bounded by $`\lambda `$ such that $`L_{e_\beta }|_L\mathrm{id}_L`$ pointwise and hence uniformly on compact subsets of $`L`$. A similar argument shows that $`𝔄/L`$ has the $`\lambda `$-approximation property. $``$

* If we only require $`𝔄`$ to have a left approximate identity bounded by $`\lambda 1`$ and that $`𝔄`$ has compact left multiplication, we can still show that, for each closed left ideal $`L`$ of $`𝔄`$, both $`L`$ and $`𝔄/L`$ have what one might call the compact $`\lambda `$-approximation property (see \[14, I, p. 94\] for the definition of the compact approximation property).

## 2 A general theorem

In this section, we shall prove a general theorem which establishes that a reflexive, amenable Banach algebra $`𝔄`$ has to be trivial provided that two additional demands are satisfied. The first of these requirements is that every quotient of $`𝔄`$ modulo a maximal left ideal has to have the approximation property, and the second one is that a certain tensor product of maps between injective tensor products has to be open (or, equivalently, surjective).

The technical heart of our argument is the following lemma (if $`F`$ is a subspace of a Banach space $`E`$, we write $`F^{}`$ for its annihilator in $`E^{}`$):

###### Lemma 2.1

Let $`𝔄`$ be an amenable Banach algebra, and let $`L𝔄`$ be a closed left ideal of $`𝔄`$ such that:

1. $`𝔄/L`$ has the bounded approximation property;
2. if $`\pi _L:𝔄𝔄/L`$ is the canonical surjection and, $`\pi _L\mathrm{id}_L^{}:𝔄\stackrel{ˇ}{}L^{}(𝔄/L)\stackrel{ˇ}{}L^{}`$ is open.

Then there is $`e𝔄^{}L^{}`$ such that $`Le=\{0\}`$.

* Let $`(m_\alpha )_{\alpha 𝔸}`$ be an approximate diagonal for $`𝔄`$. For each $`\alpha 𝔸`$, $`m_\alpha `$ has the form

$$m_\alpha =\underset{n=1}{\overset{\mathrm{}}{}}a_n^{(\alpha )}b_n^{(\alpha )},$$

where we may suppose that $`_{n=1}^{\mathrm{}}a_n^{(\alpha )}<\mathrm{}`$ and $`lim_n\mathrm{}b_n^{(\alpha )}=0`$. It follows that, for each $`\alpha 𝔸`$, the set $`\{\pi _L(b_n^{(\alpha )}):n\}`$ is relatively (norm) compact. Since $`𝔄/L`$ was supposed to have the bounded approximation property, there is $`\lambda 1`$ such that, for each $`\alpha 𝔸`$ and for each $`ϵ>0`$, there is $`S_{\alpha ,ϵ}(𝔄/L)`$ with $`S_{\alpha ,ϵ}\lambda `$ and

$$S_{\alpha ,ϵ}(\pi _L(b_n^{(\alpha )}))\pi _L(b_n^{(\alpha )})<\frac{ϵ}{1+_{n=1}^{\mathrm{}}a_n^{(\alpha )}}(n).$$

Since $`(𝔄/L)^{}L^{}`$, we may identify $`𝒜(𝔄/L)`$ with $`(𝔄/L)\stackrel{ˇ}{}L^{}`$ (\[4, 4.2\]). By (ii) there is a constant $`C1`$ such that, for each $`𝐱(𝔄/L)\stackrel{ˇ}{}L^{}`$, there is $`𝐲𝔄\stackrel{ˇ}{}L^{}`$ with $`𝐲C𝐱`$ and $`(\pi _L\mathrm{id}_L^{})(𝐲)=𝐱`$. We may thus find, for each $`\alpha 𝔸`$ and $`ϵ>0`$, an operator $`T_{\alpha ,ϵ}𝒜(𝔄/L,𝔄)𝔄\stackrel{ˇ}{}L^{}`$ with $`T_{\alpha ,ϵ}\lambda C`$ such that $`\pi _LT_{\alpha ,ϵ}=S_{\alpha ,ϵ}`$. Define

$$e_{\alpha ,ϵ}:=\underset{n=1}{\overset{\mathrm{}}{}}a_n^{(\alpha )}T_{\alpha ,ϵ}(\pi _L(b_n^{(\alpha )}))(\alpha 𝔸,ϵ>0).$$

It is easy to see that $`(e_{\alpha ,ϵ})_{\alpha ,ϵ}`$ is a bounded net in $`𝔄`$ and thus has a $`w^{}`$-accumulation point $`e𝔄^{}`$. Without loss of generality suppose that $`e=w^{}\text{-}lim_{\alpha ,ϵ}e_{\alpha ,ϵ}`$. We show that $`\pi _L^{}(e)0`$. We have:

$`\pi _L^{}(e)`$ $`=`$ $`w^{}\text{-}\underset{\alpha ,ϵ}{lim}\pi _L\left({\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}a_n^{(\alpha )}T_{\alpha ,ϵ}(\pi _L(b_n^{(\alpha )}))\right)`$
$`=`$ $`w^{}\text{-}\underset{\alpha ,ϵ}{lim}{\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}a_n^{(\alpha )}\pi _L(T_{\alpha ,ϵ}(\pi _L(b_n^{(\alpha )})))`$
$`=`$ $`w^{}\text{-}\underset{\alpha ,ϵ}{lim}{\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}a_n^{(\alpha )}S_{\alpha ,ϵ}(\pi _L(b_n^{(\alpha )})),\text{by the choice of }T_{\alpha ,ϵ},`$
$`=`$ $`w^{}\text{-}\underset{\alpha }{lim}{\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}a_n^{(\alpha )}\pi _L(b_n^{(\alpha )}),\text{by the choice of }S_{\alpha ,ϵ},`$
$`=`$ $`w^{}\text{-}\underset{\alpha }{lim}\pi _L\left({\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}a_n^{(\alpha )}b_n^{(\alpha )}\right)`$
$``$ $`0,\text{by (}\text{2}\text{)}.`$
Let $`aL`$. Then

$$\underset{n=1}{\overset{\mathrm{}}{}}a_n^{(\alpha )}T_{\alpha ,ϵ}(\pi _L(b_n^{(\alpha )}a))=0(\alpha 𝔸,ϵ>0)$$
(3)
since $`L`$ is a left ideal. We then have:

$`ae`$ $`=`$ $`w^{}\text{-}\underset{\alpha ,ϵ}{lim}{\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}aa_n^{(\alpha )}T_{\alpha ,ϵ}(\pi _L(b_n^{(\alpha )}))`$
$`=`$ $`w^{}\text{-}\underset{\alpha ,ϵ}{lim}{\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}a_n^{(\alpha )}T_{\alpha ,ϵ}(\pi _L(b_n^{(\alpha )}a)),\text{by (}\text{1}\text{)},`$
$`=`$ $`0,\text{by (}\text{3}\text{)}.`$
This completes the proof. $``$

* We do not know if condition (ii) of Lemma 2.1 is automatically satisfied: There are examples of Banach spaces $`E`$ and $`X`$ and of a closed subspace $`F`$ of $`E`$ such that $`\pi _F\mathrm{id}_X:E\stackrel{ˇ}{}X(E/F)\stackrel{ˇ}{}X`$ is not open (\[4, 4.3\]). These examples, however, do not involve any Banach algebra structure, let alone amenability.

###### Theorem 2.2

Let $`𝔄`$ be a reflexive, amenable Banach algebra such that for each maximal left ideal $`L`$ of $`𝔄`$:

1. $`𝔄/L`$ has the approximation property;
2. if $`\pi _L:𝔄𝔄/L`$ is the canonical surjection, $`\pi _L\mathrm{id}_L^{}:𝔄\stackrel{ˇ}{}L^{}(𝔄/L)\stackrel{ˇ}{}L^{}`$ is open.

Then $`𝔄`$ is trivial.

* Let $`L`$ be a maximal left ideal of $`𝔄`$. Since $`𝔄`$ is reflexive, so is $`𝔄/L`$. Hence, by \[4, 16.4, Corollary 4\], $`𝔄/L`$ has the metric approximation property. By Lemma 2.1, there is thus an element $`e𝔄L`$ such that $`Le=\{0\}`$. Since $`L`$ was arbitrary, it follows that $`𝔄/\mathrm{rad}(𝔄)`$ is a modular right annihilator algebra in the sense of \[16, 8.4.6 Definition\]. By \[16, 8.4.14 Proposition\], this means that $`𝔄/\mathrm{rad}(𝔄)`$ is finite-dimensional. It follows from standard results on the splitting of exact sequences (compare the proof of \[17, Proposition 2.3\]) that $`𝔄`$ must be trivial. $``$

Let $`𝔄`$ be a Banach algebra, and let $`L`$ be a complemented left ideal in $`𝔄`$. Then $`\pi _L\mathrm{id}_L^{}:𝔄\stackrel{ˇ}{}L^{}(𝔄/L)\stackrel{ˇ}{}L^{}`$ has a bounded right inverse, and thus, in particular, is open. As a special case of Theorem 2.2 we therefore obtain \[6, Proposition 1.10\]:

###### Corollary 2.3

Let $`𝔄`$ be an amenable Banach algebra whose underlying Banach space is a Hilbert space. Then $`𝔄`$ is trivial.

## 3 $`^p`$-spaces for $`p(1,\mathrm{})`$

Of course, it would be rather unsatisfactory if all what Theorem 2.2 could accomplish were to recover the Hilbert space case. In this section, we consider Banach algebras whose underlying Banach space is an $`^p`$-space for $`p(1,\mathrm{})`$. For $`p[1,\mathrm{}]`$, the $`^p`$-spaces were introduced in , and were later investigated in greater detail in . All $`L^p`$-spaces are $`^p`$-spaces. For $`p(1,\mathrm{})`$, the $`^p`$-spaces are reflexive (\[13, Theorem I(i)\]), and are isomorphic to complemented subspaces of $`L^p`$-spaces (\[13, Theorem I(ii)\]).

We shall work, however, in a more abstract framework:

###### Definition 3.1

Let $`E`$ be a Banach space, and let $`\lambda 1`$. Then:

1. $`E`$ has property $`(P_\lambda )`$ if, for each finite-dimensional subspace $`F`$ of $`E`$, there is a finite-dimensional subspace $`X`$ of $`E`$ containing $`F`$ such that there is a projection of norm not greater than $`\lambda `$ onto $`X`$.
2. $`E`$ has property $`(Q_\lambda )`$ if, for each closed subspace $`F`$ of $`E`$ with finite codimension, there is a closed subspace $`X`$ of $`F`$ with finite codimension in $`E`$ such that the canonical surjection $`\pi _X:EE/X`$ has a bounded right inverse of norm not greater than $`\lambda `$.

* Trivially, every Banach space with property $`(P_\lambda )`$ for some $`\lambda 1`$ has the $`\lambda `$-approximation property.

* 1. Every Hilbert space has both property $`(P_1)`$ and $`(Q_1)`$.
    2. If $`E`$ is an $`^p`$-space with $`p[1,\mathrm{}]`$, then $`E`$ has property $`(P_\lambda )`$ for some $`\lambda 1`$ (\[13, Theorem III(c)\]).

There is a natural relation between properties $`(P_\lambda )`$ and $`(Q_\lambda )`$:

###### Lemma 3.2

Let $`E`$ be a Banach space, let $`\lambda 1`$, and suppose that $`E^{}`$ has property $`(P_\lambda )`$. Then $`E`$ has property $`(Q_{\lambda (1+ϵ)})`$ for every $`ϵ>0`$.

* Let $`F`$ be a closed subspace of $`E`$ with finite codimension. Then $`F^{}`$ is a finite-dimensional subspace of $`E^{}`$. Since $`E^{}`$ has property $`(P_\lambda )`$, there is a finite-dimensional subspace $`Y`$ of $`E^{}`$ containing $`F^{}`$ such that there is a projection $`P:E^{}Y`$ with $`P\lambda `$. Let $`X={}_{}{}^{}Y`$. Then $`X`$ is a closed subspace of $`E`$ with finite codimension such that $`E/XE^{}/X^{}Y^{}`$ isometrically. Let $`\pi _X:EE/X`$ be the canonical projection. With the appropriate identifications in place, it follows that $`P^{}:E/XE^{}`$ is a right inverse of $`\pi _X^{}`$ with $`P^{}\lambda `$.

Let $`ϵ>0`$, and let $`\varphi _1,\mathrm{},\varphi _nE^{}`$ be a Hamel basis of $`Y`$. Since $`\mathrm{Im}P^{}`$ is finite-dimensional, it follows from the principle of local reflexivity (see, e.g., \[4, 6.6\]) that there is a linear map $`T:\mathrm{Im}P^{}E`$ with $`T1+ϵ`$ such that $`T_{E\mathrm{Im}P^{}}=\mathrm{id}_{E\mathrm{Im}P^{}}`$ and

$$TP^{}x,\varphi _j=\varphi _j,P^{}(xE^{},j=1,\mathrm{},n).$$
(4)
Let $`Q:=TP^{}`$. Then (4) implies that $`Q:E/XE`$ is a right inverse of $`\pi _X`$, and certainly $`Q\lambda (1+ϵ)`$. $``$

* If $`E`$ is reflexive, the application of the local reflexivity principle in the proof of Lemma 3.2 becomes unnecessary, so that property $`(P_\lambda )`$ for $`E^{}`$ implies property $`(Q_\lambda )`$ for $`E`$.

The relevance of property $`(Q_\lambda )`$ in connection with condition (ii) of Lemma 2.1 becomes apparent in our next lemma:

###### Lemma 3.3

Let $`E`$ be a reflexive Banach space which has property $`(Q_\lambda )`$ for some $`\lambda 1`$, let $`F`$ be a closed subspace of $`E`$, and let $`\pi _F:EE/F`$ be the canonical map. Then, for any Banach space $`X`$, $`\pi _F\mathrm{id}_X:E\stackrel{ˇ}{}X(E/F)\stackrel{ˇ}{}X`$ is open.

* We consider $`\pi _F\mathrm{id}_X:EX(E/F)X`$. We shall prove that, for each $`𝐲(E/F)X`$ there is $`𝐱EX`$ with $`(\pi _F\mathrm{id}_X)(𝐱)=𝐲`$ and $`𝐱\lambda 𝐲`$, where the norm is the injective norm. Certainly, $`𝐲(E/F)Z`$ for some finite-dimensional subspace $`Z`$ of $`X`$. Since the injective norm respects subspaces isometrically (\[4, 4.3, Proposition\]), we may suppose without loss of generality that $`dimX<\mathrm{}`$. Note that under this hypothesis, $`EX=E\stackrel{ˇ}{}X`$ is a reflexive Banach space.

Let $`𝒴`$ be the collection of all closed subspaces of $`E`$ containing $`F`$ and having finite codimension. Defining

$$Y_1Y_2:Y_1Y_2(Y_1,Y_2𝒴)$$

Since $`E`$ has property $`(Q_\lambda )`$, there is, for each $`Y𝒴`$, a closed subspace $`\stackrel{~}{Y}`$ of $`Y`$ with finite codimension in $`E`$ such that the canonical surjection $`\pi _{\stackrel{~}{Y}}:EE/\stackrel{~}{Y}`$ has a right inverse of norm not greater than $`\lambda `$.

Let $`𝐲(E/F)X`$. Then, by the foregoing, there is, for each $`Y𝒴`$, an element $`𝐱_YEX`$ with $`𝐱_Y\lambda 𝐱`$ such that $`(\pi _Y\mathrm{id}_X)(𝐱_Y)=(\stackrel{~}{\pi }_Y\mathrm{id}_X)(𝐲)`$ (here, $`\stackrel{~}{\pi }_Y:E/FE/Y`$ is the map induced by the canonical surjection $`\pi _Y:EE/Y`$). The net $`(𝐱_Y)_{Y𝒴}`$ is bounded in $`EX`$ and thus has a weak accumulation point $`𝐱`$. It follows that

$$(\pi _Y\mathrm{id}_X)(𝐱)=(\stackrel{~}{\pi }_Y\mathrm{id}_X)(𝐲)(Y𝒴),$$

and hence that $`(\pi _F\mathrm{id}_X)(𝐱)=𝐲`$. $``$

As an immediate consequence of Theorem 2.2 and Lemma 3.3, we obtain:

###### Theorem 3.4

Let $`𝔄`$ be a reflexive, amenable Banach algebra such that:

1. $`𝔄/L`$ has the approximation property for each maximal left ideal $`L`$ of $`𝔄`$;
2. $`𝔄`$ has property $`(Q_\lambda )`$ for some $`\lambda 1`$.

Then $`𝔄`$ is trivial.

For $`^p`$-spaces, we obtain:

###### Corollary 3.5

Let $`𝔄`$ be an amenable Banach algebra whose underlying Banach space is an $`^p`$-space with $`p(1,\mathrm{})`$. Then one of the following holds:

1. $`𝔄`$ is trivial;
2. there is a maximal left ideal $`L`$ of $`𝔄`$ such $`𝔄/L`$ lacks the approximation property.

* By \[13, Theorem I(i)\], $`𝔄`$ is reflexive, and by \[13, Theorem III(a)\], $`𝔄^{}`$ is an $`^q`$-space, where $`q^1+p^1=1`$. As we already noted after Definition 3.1, $`𝔄^{}`$ has property $`(P_\lambda )`$ for some $`\lambda 1`$. Hence, by the remark following Lemma 3.3, $`𝔄`$ has property $`(Q_\lambda )`$ as well. Consequently, if $`𝔄/L`$ has the approximation property for each maximal left ideal $`L`$ of $`𝔄`$, Theorem 3.4 forces $`𝔄`$ to be trivial. $``$

* 1. Let $`p(1,\mathrm{})\{2\}`$, and let $`E`$ be an $`^p`$-space. Then it follows from \[13, Theorem I(iv)\] and either \[14, I, Theorem 2.d.6\] (for the case $`p<2`$) or \[14, II, Theorem 1.g.4\] (for the case $`p>2`$) that $`E`$ has a quotient which lacks the approximation property. For $`p2`$, we thus cannot a priori rule out case (ii) in Corollary 3.5.
    2. Both \[14, I, Theorem 2.d.6\] and \[14, II, Theorem 1.g.4\] are pure Banach space results, i.e. they involve no Banach algebra structure whatsoever. Hence, it may well be that case (ii) of Corollary 3.5 does never occur. In view of Proposition 1.1, we raise the following formal question: If $`𝔄`$ is an amenable Banach algebra which has the approximation property, does $`𝔄/L`$ have the approximation property for each closed left ideal $`L`$ of $`𝔄`$?

| Address: | Department of Mathematical Sciences |
| --- | --- |
|  | University of Alberta |
|  | Edmonton, Alberta |
|  | Canada T6G 2G1 |
| E-mail: | runde@math.ualberta.ca |