Symmetry, Integrability and Geometry: Methods and Applications SIGMA 3 (2007), 002, 11 pages
Raising and Lowering Operators
for Askey–Wilson Polynomials?
Siddhartha SAHI
Department of Mathematics, Rutgers University, New Brunswick, NJ 08903, USA
E-mail: sahi@math.rutgers.edu
Received September 20, 2006, in final form December 27, 2006; Published online January 04, 2007
Original article is available at http://www.emis.de/journals/SIGMA/2007/002/
Abstract. In this paper we describe two pairs of raising/lowering operators for Askey–
Wilson polynomials, which result from constructions involving very different techniques.
The first technique is quite elementary, and depends only on the “classical” properties of
these polynomials, viz. the q-difference equation and the three term recurrence. The second
technique is less elementary, and involves the one-variable version of the double affine Hecke
algebra.
Key words: orthogonal polynomials; Askey–Wilson polynomials; q-difference equation; three
term recurrence; raising operators; lowering operators; root systems; double affine Hecke
algebra
2000 Mathematics Subject Classification: 33D45; 33D52; 33D80
Dedicated to the memory of Vadim Kuznetsov
1 Introduction
One of the approaches to proving integrality of the (q, t)-Kostka coefficients is the idea, due to
Kirillov–Noumi [9, 10] and Lapointe–Vinet [16, 17], of using raising operators for Macdonald
polynomials. (See also [6, 7, 11, 21] for other approaches.) In their proof Kirillov and Noumi
give an explicit construction of such raising operators for the Macdonald polynomials Jλ (x; q, t)
for the root system of type An−1. They also pose the problem of finding analogous operators
for the six-parameter Koornwinder corresponding to the BCn root system.
This question was also raised by Tom Koornwinder at the Edinburgh conference on symmetric
functions organized by Vadim Kuznetsov. The case n = 1 corresponds to the celebrated Askey–
Wilson polynomials and Koornwinder’s paper [14] from that conference contains partial results
in this direction as well as a survey of earlier results.
In this paper we such construct raising/lowering operators for Askey–Wilson polynomials.
In fact we describe two such pairs of operators, which result from constructions involving very
different techniques.
The first technique is quite elementary, and depends only on the “classical” properties of
these polynomials, viz. the q-difference equation and the three term recurrence. Therefore it
can be applied to all the polynomials in the Askey scheme. After this work was completed, we
obtained a recent preprint by T. Koornwinder [15], the main result of which is very close to this
approach. Also through [15] we discovered still earlier work of G. Bangerezako [2] which obtains
similar operators based on an ad-hoc factorization of the Askey–Wilson operator. Our approach
however is more direct and quite short.
?This paper is a contribution to the Vadim Kuznetsov Memorial Issue “Integrable Systems and Related Topics”.
The full collection is available at http://www.emis.de/journals/SIGMA/kuznetsov.html
2 S. Sahi
The second technique is less elementary and involves the one-variable version of the powerful
Hecke algebra method as described in [18, 19, 20, 22, 23, 24]. This approach is related to a
fairly remarkable mathematical object – the double affine Hecke algebra (see [3, 4, 5, 22]).
The calculations, while non-trivial to carry out, are conceptually rather straightforward. The
raising/lowering operators so obtained are different from those coming from the “classical”
method. This method also provides a new factorization of the Askey–Wilson operator described
in Lemma 3, which is much simpler than that of Bangerezako.
In subsequent work, we hope to extend these methods to construct raising operators for
Koornwinder polynomials [13, 25, 22, 23].
2 The classical approach
2.1 Askey Wilson polynomials
The q-hypergeometric series is given by the formula
rφs
(
a1, . . . , ar
b1, . . . , bs
∣
∣
∣
∣ q; y
)
=
∑
k≥0
(a1, . . . , ar)k
(b1, . . . , bs)k
(−1)(1+s−r)k q(1+s−r)(
k
2) y
k
(q)k
,
where the “q-Pochhammer symbols” are defined by
(a, b, c, . . .)k := (a)k (b)k (c)k · · · ,
(a)k := (1− a) (1− aq) · · ·
(
1− aqk−1
)
.
The Askey–Wilson polynomials [1] are defined by the formula
Pn (z; a, b, c, d|q) =
(ab, ac, ad)n
an (abcdqn−1)n
4φ3
(
q−n, abcdqn−1, az, az−1
ab, ac, ad
∣
∣
∣
∣ q; q
)
.
Since (q−n)k vanishes for k > n, we have
4φ3 (· · · ) =
n∑
k=0
[(
abcdqn−1
)
k
(ab, ac, ad)k
] [
(q−n)k q
k
(q)k
]
(az)k
(
az−1
)
k .
It follows that Pn is a Laurent polynomial of degree n, which is moreover symmetric in z
and z−1 and is of the form
Pn (z; a, b, c, d|q) =
(
zn + z−n
)
+ lower terms.
It is also symmetric in {a, b, c, d} although this is not entirely obvious from the formula above.
We have chosen to normalize Pn in order to make it monic. Of course there are several other
possible normalizations, and we discuss some of these below.
First of all, we remark that formula (3.1.7) of [12] considers the polynomial
(ab, ac, ad)n
an 4
φ3
(
q−n, abcdqn−1, az, az−1
ab, ac, ad
∣
∣
∣
∣ q; q
)
which is
(
abcdqn−1
)
n times our Pn.
Next, since the Askey–Wilson polynomial is symmetric in z, z−1, it can be expressed as an
(ordinary) polynomial of degree n in
x =
(
z + z−1
)
/2.
Raising and Lowering Operators for Askey–Wilson Polynomials 3
The function pn (x) considered in (3.1.5) of [12], is monic in x, and hence is related to our
normalization Pn by the formula
pn
(
z + z−1
2
)
= 2−nPn (z) .
Finally, the polynomials Pn are orthogonal with respect the inner product 〈·, ·〉 defined in
(3.1.2) of [12]. If we define
Qn = γnPn, (1)
where
γn =
(abqn, acqn, adqn, bcqn, bdqn, cdqn, qn+1)∞
(abcdq2n)∞
(
abcdqn−1
)
n .
Then Qn is dual to Pn in the sense that
〈Pm, Qn〉 = δm,n.
2.2 Raising and lowering operators
The main result of this section are the following raising and lowering operators for the Askey–
Wilson polynomials:
Theorem 1. For all n > 1, the Askey–Wilson polynomials satisfy the relations
[
D
(
z + z−1
)
− λn−1
(
z + z−1
)
− αn (λn − λn−1)
]
Pn = (λn+1 − λn−1)Pn+1,
[
D
(
z + z−1
)
− λn+1
(
z + z−1
)
− αn (λn − λn+1)
]
Qn = (λn−1 − λn+1)Qn−1,
where D, λn and αn are as in (3) and (6) below.
Proof. The proof involves two key properties of the Askey–Wilson polynomials.
The first property is the ‘q-difference equation’ from (3.1.7) ) of [12] which asserts that Pn
is an eigenfunction for the Askey–Wilson operator, i.e.
DPn (z) = λnPn (z) . (2)
The operator and its eigenvalue are defined by
D = A (z) (Tq − 1) + A
(
z−1
) (
Tq−1 − 1
)
, (3)
λn =
(
q−n − 1
) (
1− abcdqn−1
)
=
(
q−n + abcdqn−1
)
−
(
1 + abcdq−1
)
,
where A (z) is the rational function
A (z) =
(az, bz, cz, dz)1
(z2)2
=
(1− az) (1− bz) (1− cz) (1− dz)
(1− z2) (1− qz2)
(4)
and Tq is the shift operator
Tqf (z) = f (qz) .
(To forestall possible confusion we emphasize that, in accordance with custom, we think of f (z)
as a Laurent polynomial rather than as a function of z. This means that we have Tq
(
zk
)
= qkzk
rather than Tq
(
zk
)
= q−kzk.)
4 S. Sahi
The second key property of these polynomials is the ‘normalized recurrence relation’ from
(3.1.5) of [12] which can be rewritten in the form
(
z + z−1
)
Pn = Pn+1 + αnPn +
γn−1
γn
Pn−1 for n > 1, (5)
where
αn = a + 1/a−
a
(
bcqn−1, bdqn−1, cdqn−1, qn
)
1
(abcdq2n−2)2
−
(
abqn, acqn, adqn, abcdqn−1
)
1
a (abcdq2n−1)2
. (6)
We combine these two properties as follows:
First apply the operators D− λn−1 and D− λn+1, respectively, to the recurrence relation to
get
(D − λn−1)
(
z + z−1 − αn
)
Pn = (λn+1 − λn−1)Pn+1,
(D − λn+1)
(
z + z−1 − αn
)
Pn =
γn−1
γn
(λn−1 − λn+1)Pn−1.
Finally simplify, using the q-difference equation (2), to get
[
D
(
z + z−1
)
− λn−1
(
z + z−1
)
− αn (λn − λn−1)
]
Pn = (λn+1 − λn−1)Pn+1,
[
D
(
z + z−1
)
− λn+1
(
z + z−1
)
− αn (λn − λn+1)
]
Qn = (λn−1 − λn+1)Qn−1
as desired. 
3 The Hecke algebra approach
In this section we provide raising/lowering operators for Askey–Wilson polynomials based on
Hecke algebra considerations [22, 23]. Once again the main idea is quite straightforward, al-
though the calculations are a little more intricate. The resulting formulas are different and
perhaps slightly simpler.
3.1 The Hecke algebra
The key to this approach are the involutions s1, s0 which act on Laurent polynomials as follows:
s1f (z) = f
(
z−1
)
and s0f (z) = f
(
qz−1
)
.
Once again we regard these operators as acting on polynomials, rather than functions, so that
we have
s1
(
zk
)
= z−k and s0
(
zk
)
= qkz−k.
These operators provide a factorization of the q-shift operators, and one has
s1s0 = Tq and s0s1 = Tq−1 .
The affine Hecke algebra [22, 23] is the algebra of operators generated by the two operators T0
and T1 defined as
Ti := ti + ri (si − 1) ,
where
t0 = −cd/q, r0 =
(z − c) (z − d)
(z2 − q)
, (7)
t1 = −ab, r1 =
(1− az) (1− bz)
(1− z2)
.
Raising and Lowering Operators for Askey–Wilson Polynomials 5
Remark 1. The operator Ti as defined here is t
1/2
i times the corresponding operator from [22,
23]. This accounts for the slight difference between the formulas here and in [23].
From the definition of T1 it follows that a polynomial f is symmetric in z, z−1, if and only if
T1f = t1f. (8)
Consequently, if g is any polynomial, then the quadratic relation (9) implies that (T1 + 1) g
is a symmetric polynomial. The operators Ti are deformations of si and satisfy a quadratic
relation. For the convenience of the reader unfamiliar with the Hecke algebra, we give a proof
this relation.
Lemma 1. The operators Ti satisfy the relation
(Ti − ti) (Ti + 1) = 0. (9)
Proof. Define si (ri) = r′i, then we claim that
ri + r
′
i = ti + 1 (10)
To see this, we calculate for i = 0,
r0 + r
′
0 =
(z − c) (z − d)
(z2 − q)
+
(
qz−1 − c
) (
qz−1 − d
)
(q2z−2 − q)
=
(z − c) (z − d)
(z2 − q)
−
(q − cz) (q − dz)
q (z2 − q)
=
q
(
z2 − cz − dz + cd
)
−
(
q2 − qcz − qdz + cdz2
)
q (z2 − q)
=
qz2 + qcd− q2 − cdz2
q (z2 − q)
=
(q − cd)
(
z2 − q
)
q (z2 − q)
= 1−
cd
q
= 1 + t0.
The calculation for i = 1 is similar and simpler.
Now the quadratic relation can be proved as follows:
(T1 − t1) (T1 + 1) = ri (si − 1) [ti + 1 + ri (si − 1)]
= ri [(ti + 1) (si − 1) + (siri) (si − 1)− ri (si − 1)]
= ri
[
(ti + 1) (si − 1) +
(
r′isi
)
(si − 1)− ri (si − 1)
]
= ri
[
(ti + 1) (si − 1) + r
′
i (1− si)− ri (si − 1)
]
= ri
(
ti + 1− ri − r
′
i
)
(si − 1)
by (10)
= 0. 
The following result is an immediate consequence
Corollary 1. The operators Ti are invertible, with
tiT
−1
i = Ti − ti + 1. (11)
We will also need a number of commutation results between the Ti and the multiplication
operator by z. They follow directly from the definition, and we leave the (easy) proof to the
reader.
Lemma 2. The operators Ti satisfy the following commutation relations
zt0T
−1
0 = qT0z
−1 + c + d,
(T1 + 1) z
−1 = t1z
−1 + zT1 + a + b,
(T1 + 1) z = z + t1z
−1T−11 − (a + b) .
6 S. Sahi
3.2 Nonsymmetric Askey–Wilson polynomials
The next ingredient in the Hecke algebra method are the nonsymmetric Askey–Wilson polyno-
mials. These are certain Laurent polynomials, En, n ∈ Z, which can be characterized up to
multiples as eigenfunctions of the operator
Y = T1T0.
More precisely, one has
Y En = µnEn, (12)
where
µn =
{
qn for n < 0,
qnt1t0 = qn−1abcd for n ≥ 0.
The symmetric Askey–Wilson polynomials P|n| are closely related to E±n. Up to normaliza-
tion, one has P0 = E0 = 1, while for n > 0 we have up to a scalar
P|n| ∼ (T1 + 1)E±n = c
±
nEn + c
±
−nE−n. (13)
The explicit formula for the coefficients c±n and c
±
−n is known, but will not be needed in what
follows.
We now define a slight variant of the Askey–Wilson operator, as follows:
D′ = A (z) (Tq − s1) + A
(
z−1
) (
Tq−1s1 − 1
)
. (14)
Observe that D and D′ have the same action on functions which are symmetric z and z−1,
thus the Askey–Wilson polynomials satisfy
D′Pn = DPn = λnPn.
Just as the operator s0 and s1 factorize the q-shift operator, it turns out that the operators T0
and T1 provide a factorization of D′.
Lemma 3. The operator D′ of formula (14) admits the following factorization:
D′ = (T1 + 1) (T0 − t0) .
Proof. To prove this, we calculate as follows
(T1 + 1) (T0 − t0) = (t1 + r1 (s1 − 1) + 1) (r0 (s0 − 1))
by(10)
=
(
r′1 + r1s1
)
(r0s0 − r0)
= r′1r0 (s0 − 1) + r1r˜0 (s1s0 − s1) = r
′
1r0
(
T−1q s1 − 1
)
+ r1r˜0 (Tq − s1) ,
where r′1 = r1
(
z−1
)
and r˜0 = r0
(
z−1
)
.
Comparing the formulas for ri (7) and A (z) (4), we conclude that
A (z) = r1r˜0 and A
(
z−1
)
= r′1r0
which completes the proof. 
Raising and Lowering Operators for Askey–Wilson Polynomials 7
3.3 Raising and lowering operators
To state our main result we need some notation. We write
e1 = a + b + c + d, e3 = abc + abd + acd + bcd. (15)
Also recall that for n ≥ 0, λn is the symmetric Askey–Wilson eigenvalue as in (3). For n < 0
we define
λn = λ|n|
and for all integral n we set
βn =
λn + 1− µn−1
µn−1 − µ−n
e1 −
1− µn−1
µn−1 − µ−n
e3. (16)
Theorem 2. The Askey–Wilson polynomials satisfy the following relations:
[
D′z +
(
1− q1−n
) (
z + z−1
)
+ β−n
]
Pn =
(
qnabcd− q1−n
)
Pn+1, n ≥ 0, (17)
[
D′z + (1− qnabcd)
(
z + z−1
)
+ βn
]
Qn =
(
q1−n − qnabcd
)
Qn−1, n > 0. (18)
The key for the proof is the “affine intertwiner” for the nonsymmetric Askey–Wilson polyno-
mials from [23]. This involves the additional parameters u0 and u1, which satisfy the relations
a = t1/21 u
1/2
1 , b = −t
1/2
1 u
−1/2
1 , c = q
1/2t1/20 u
1/2
0 , d = −q
1/2t−1/20 u
1/2
0 .
Now from Theorem 1.2 of [23] we have, up to a multiple,
En ∼ (anU0 + bn)E−n−1, (19)
where
an =
(
qn − q−n−1
)
and bn = q
n(u−1/20 − u
1/2
0
)
+ q−1/2
(
u−1/21 − u
1/2
1
)
with
qn = µnt
1/2
1 t
1/2
0
and U0 is the operator
U0 = q
−1/2t1/20 T
−1
0 z.
We will derive Theorem 2 from formula (19); however some remarks are in order before we
proceed:
1. There is a typo in the statement of formula (19) in Theorem 1.2 of [23], namely n and −n−1
have been inadvertently switched. This is easily seen by comparison with Theorem 4.1
from which Theorem 1.2 is derived.
2. The formula for U0 here is slightly different from that in [23] because of the difference
in T0 – see Remark 1).
3. Although Theorem 1.2 in [23] is only stated (and needed) for n ≥ 0, it is easy to see that
after the correction above it holds for all integer n.
8 S. Sahi
4. Finally, we note that the ideas of [22] and [23] work in the more general setting of Koorn-
winder polynomials, and they involve the affine intertwiner S0, which can also be written
as
S0 =
[
Y, z−1T−11
]
.
It is expected that this operator will play a key role in the raising operators for Koorn-
wonder polynomials.
We now give the proof of Theorem 2.
Proof. We first simplify (19) by multiplying through by q1/2t1/21 t0. This gives
En ∼
[
(µn − µ−n−1) t0T
−1
0 z − µn (c + d)− t0 (a + b)
]
E−n−1
∼
[
t0T
−1
0 z −
µn (c + d) + t0 (a + b)
µn − µ−n−1
]
E−n−1.
Replacing n by n− 1, we get
En−1 ∼
[
t0T
−1
0 z −
µn−1 (c + d) + t0 (a + b)
µn−1 − µ−n
]
E−n.
For ease in subsequent calculations, we write this as
En−1 ∼
(
t0T
−1
0 z − κn
)
E−n, (20)
where
κn =
µn−1y + t0x
µn−1 − µ−n
, x = a + b, y = c + d. (21)
The key idea to obtain a raising operator for Pn is as follows: By formula (13), for n > 1, P|n| is
a combination of En and E−n. We first kill off the En component. This can be accomplished
by applying the operator Y −µn to Pn. However it is more convenient (and equivalent) to apply
the operator
t1t0
(
Y −1 − µ−1n
)
= t1t0T
−1
0 T
−1
1 −
t1t0
µn
For n 6= 0 we have t1t0µn = µ−n. Thus since Pn is symmetric, formula (8) implies that up to
a non-zero multiple, one has
(
t0T
−1
0 − µ−n
)
Pn ∼ E−n. (22)
Although the argument given above only applies for n 6= 0, it is easy to see that formula (22) is
true (up to a non-zero multiple) for n = 0 as well! Now combining formulas (13), (20), and (22)
we conclude that up to a multiple, we have
P|n−1| ∼ RnP|n|,
where
Rn = (T1 + 1)
(
t0T
−1
0 z − κn
) (
t0T
−1
0 − µ−n
)
.
The main problem now is to simplify the expression of the operator Rn using properties
of P|n|.
Raising and Lowering Operators for Askey–Wilson Polynomials 9
We first calculate using Lemma 2 and (11), as follows
(
t0T
−1
0 z − κn
) (
t0T
−1
0 − µ−n
)
= t0T
−1
0 zt0T
−1
0 − t0T
−1
0 (µ−nz + κn) + κnµ−n
= t0T
−1
0
(
qT0z
−1 + y
)
− t0T
−1
0 (µ−nz + κn) + κnµ−n
= t0T
−1
0 (y − µ−nz − κn) + qt0z
−1 + κnµ−n
= (T0 − t0 + 1) (y − µ−nz − κn) +
(
qt0z
−1 + κnµ−n
)
.
Applying T1 + 1 to this, we get by Lemma 3
Rn =
(
D′ + T1 + 1
)
(−µ−nz + y − κn) + (T1 + 1)
(
qt0z
−1 + κnµ−n
)
.
To simplify this further we note that the commutation relations of Lemma 2 can be rewritten
as and hence imply
(T1 + 1) z
−1 = t1z
−1 + zT1 + x,
(T1 + 1) z = z + t1z
−1T−11 − x.
Also on P|n|, D
′ acts by λn while T1 acts by t1. Therefore Rn acts by the operator
−µ−n
[
D′z + z + z−1 − x
]
+ (λn + t1 + 1) (y − κn)
+ qt0
[
t1
(
z + z−1
)
+ x
]
+ (t1 + 1)κnµ−n.
Dividing by −µ−n, we see that up to a multiple
[
D′z +
(
1−
qt1t0
µ−n
)
(
z + z−1
)
+ β′n
]
P|n| ∼ P|n−1|, (23)
where
β′n = −x−
qt0
µ−n
x−
λn + t1 + 1
µ−n
(y − κn)− (t1 + 1)κn.
We now show that β′n is equal to βn from formula (16). For this we simplify the expression,
substituting for κn, using (20) above to get
β′n = −x−
qt0
µ−n
x +
(λn + t1 + 1)
µ−n
µ−ny + t0x
µn−1 − µ−n
− (t1 + 1)
µn−1y + t0x
µn−1 − µ−n
=
λn + 1− µn−1
µn−1 − µ−n
y +
1− µn−1
µn−1 − µ−n
t1y + c1x + c2 (qt0x) ,
where c1 and c2 are moderately complicated expressions which can be computed explicitly.
However, we can save some computation by observing that since the result is a priori symmetric
in {a, b, c, d}, c1 and c2 must reduce to the coefficients of y and −t1y respectively.
It follows then that we have
β′n =
λn + 1− µn−1
µn−1 − µ−n
(x + y) +
1− µn−1
µn−1 − µ−n
(qt0x + t1y)
=
λn + 1− µn−1
µn−1 − µ−n
e1 −
1− µn−1
µn−1 − µ−n
e3 = βn.
Replacing n by −n, formula (23) becomes
[
D′z +
(
1−
qt1t0
µn
)
(
z + z−1
)
+ β−n
]
P|n| ∼ P|−n−1|.
10 S. Sahi
For n ≥ 0, we have µn = qnt1t0 and this becomes
[
D′z +
(
1− q1−n
) (
z + z−1
)
+ β−n
]
Pn ∼ Pn+1 (24)
which is (17) up to a multiple.
For n ≥ 1, we have µ−n = q−n and formula (23) becomes
[
D′z + (1− qnabcd)
(
z + z−1
)
+ βn
]
Pn ∼ Pn−1 (25)
which is (18) up to a multiple.
It remains then only to calculate the multiples in (24), (25).
To determine the multiple (24), it suffices to calculate the coefficient of zn+1 on the left. For
this we divide the left side of (24) by zn+1 and take the limit as z → ∞. This gives
lim
z→∞
1
zn+1
(
A (z) qn+1zn+1 −A
(
z−1
)
zn+1 +
(
1− q1−n
)
zn+1
)
=
abcd
q
qn+1 − 1 + 1− q1−n = qnabcd− q1−n
which proves formula (17).
To determine the multiple in (25), we rewrite (25) in the form
[
D′z + (1− qnabcd)
(
z + z−1
)
+ βn
]
Pn = cn
(
q1−n − qnabcd
) γn−1
γn
Pn−1, n > 0
for some unknown constant cn. It then suffices to show that cn = 1. Subtracting this from (17)
we have
[(
qnabcd− q1−n
) (
z + z−1
)
+ β−n − βn
]
Pn
=
(
qnabcd− q1−n
)
(
Pn+1 + cn
γn−1
γn
Pn−1
)
or
(
z + z−1
)
Pn = Pn+1 +
βn − β−n
qnabcd− q1−n
Pn + cn
γn−1
γn
Pn−1.
Comparing this with the recurrence relation (5) we deduce cn = 1, which proves formula (18)
and completes the proof of the theorem.
We note in passing that comparison with (5) also proves the following identity (which can be
verified independently):
αn =
βn − β−n
qnabcd− q1−n
. 
Acknowledgements
We would like to thank the (anonymous) referee for several insightful suggestions which have
improved the paper considerably. The referee has also pointed out that one can give an alterna-
tive proof of formulas (17) and (18) by combining Theorem 1 with the following identity relating
the operators D and D′ :
[
(1− q2)D′z + q2D(z + z−1)− q(z + z−1)D
]
f
= (1− q)
[
(e1 − e3)− (1− abcd)(z + z
−1)
]
f,
which holds for all symmetric Laurent polynomials f .
Raising and Lowering Operators for Askey–Wilson Polynomials 11
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