in Physics
Edited by H. Araki, Kyoto, J. Ehlers, Mijnchen, K. Hepp, Zijrich
R. Kippenhahn, Mijnchen, H. A. Weidenmiiller, Heidelberg
and J. Zittartz, KGln
Managing Editor: W. Beiglbijck
246
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Universite Pierre et Marie Curie, L.P.T.H.E.
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N. Sanchez
Observatoire de Paris, Section dAstrophysique de Meudon
5, place Jules Janssen, F92195 Meudon Principal Cedex, France
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PREFACE
THE SOLUTION OF THE CARTAN EQUIVALENCE PROBLEM FOR d2y = F(x,y, dy)
UNDER THE PSEUDOGROUP~ = ~(X), y = ~ ( x , y ) ~ dx
N. Kamran(*) and W.F. Shadwick . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320
L i s t of Contributors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
S, W. Hawking
Silver Street,
1. IntroduoUon,
should be the way it is. For this purpose one constructs a mathematical model of
the universe and a set of rules which relate elements of the model to observable
[11 Local Laws which govern the physical fields in the model, tn classical
weighted with e x p ( i I ),
[2] Boundary Conditions which pick out one particular state from among the
set of those allowed by the Local Laws. The classical state can be
some initial time and the quantum state can be determined by the
Many people would say that the boundary conditions for the universe
were not a question for science but for metaphysics or religion. However. in
classical general relativity one cannot avoid the problem of boundary conditions
b e c a u s e there are a number of t h e o r e m s ['1] which show that the universe must
ture. At this singularity all the Laws of physics would break down. Thus one
could not predict how the universe would e m e r g e from the Big Bang singularity but
the singularity t h e o r e m s in a different way: namely, that they indicate that the g r a v i 
tational field was so strong in the very early universe that classical g e n e r a l relativity
breaks down and that quantum gravitational effects have to be taken into account.
There does not seem to be any necessity for singularities in quantum gravity and.
In this one performs a path integral over Euclidean i.e. positive definite metrics
rather than over metrics with Lorentzian signature ( + + +) and then analytically
continues the result to the Lorentzian regime. The basic assumption of the
i[g/Lv,~] = .P
z6rr
/2
_ ~ 2KhZ/2d3x
aM (1.2)
 f(R  2A  m(g~v,~'))gl/2d4x
M P
a) C o m p a c t Metrics
Boundary conditions of type b) define the usual vacuum state. In this state the
not o as much Interest as the quantum state of the universe. In particle scattering
calculations one starts with the vacuum state and one c h a n g e s the state by creating
particles by the action of field o p e r a t o r s at infinity in the infinite past. One lets the
field o p e r a t o r s at future infinity. This gets one back to the vacuum state. If one
s u p p o s e d that the quantum state of the universe was s o m e such particle scattering
state, one one would loose all ability to p r e d i c t the state of the universe b e c a u s e
one would have no idea what was coming in. One would also e x p e c t that the
matter In the universe would become concentrated in a certain region and that it
the class C which defines the quantum state of the universe consists of metrics of
4
part
One cannot exclude d i s c o n n e c t e d metrics from the path integral b e c a u s e they can
thin tubes. The tubes could be chosen to have n e g l i g i b l e action. Similarly, topo
without any singularities at which the laws of physics break clown and without any
emphasised, however, that this is only a orocosal for the quantum state of the
universe. One cannot derive It from some other principle but merely show that It
can be derived from the basic probability ( ] . ] ) by Integrating over the unobserved
quantities. A particularly Important case Is the probability P [ h i j , ~ o ] of finding a
is
where the Integral Is taken over all 4  m e t r i c s and matter field configurations b e l o n g 
Ing to the class C which contain the submanlfold S on which the Induced 3  m e t r i c
is h i j and the matter field configuration Is Do, This probability can be factorized
P [ h i j , ~ O] = ~ ' + [ h i j , C ~ o ] ~ _ [ h i j , ~ o ] where
The path integral Is over the classes C+ of metrics on the compact manifolds M+
with boundary S. With the choice of c o m p a c t metrics for C, ~z+ = ~_ and both
are real. I shall therefore drop the subscripts + and  and refer to ~z as the
in the 3 + 1 form
A Lorentzian metric corresponds to the lapse N being real and a Euclidean metric
where
I
Kij = ~N  at + 2N( ilJ ) J (2.6)
f
I 2 a~ _ 2N ia~a~ (2.8)
N2
[hiJ NiN___3_'
_a_~_N
2 J]axiax
jS~ m2~21
c a n o n i c a l l y c o n j u g a t e momenta are
, a~ hh ~"m
m 2
7r13 =  =  16
167/P ( K i j  hiJK) (2.9)
at%ij
an
TP4~ = _ _ m _ Nlhlh I~  t"ia+]
axZJ (2.10)
8+
The H a m l l t o n l a n Is
= I(NH 0 + NiHi)d3x
where
k
+ ~,2h]/z 7r + hiJ a~. a. + m2~2
axZax 3 1
H i = _ 2 ijl j + hiJ a~. (2.18)
ax 3
and
the zero e n e r g y S c h r o e d l n g e r e q u a t i o n .
H~ = 0 (2.15)
8
where the Hamlltonian operator is obtained from the classical Hamiltonian by the
replacements
3 Quantlzatlon
H~' = 0 (3.2)
This Implies that ~" is the same on 3  m e t r i c s and matter field configurations that
equation, c o r r e s p o n d i n g to
HI~ = o (3.4)
ambiguity in the choice of operator ordering in these equations but this will not
affect the results of this paper. We shall assume that II I has the form 2
where v 2 is the Laplacian in the metric F(N). RE is the curvature scalar of this
2 /
V = j.hl/ZN _ mp 3R + E + U d3x (3.6)
167r
T OO 2
where U ~'2n,. The c o n s t a n t E can be r e g a r d e d as a renormalization of
Any wavefunctton ~I, which satisfies the momentum constraint and the
which represents the quantum state defined by a path integral over compact 4
where I is the Euclidean action obtained by setting N negative imaginary. One can
that tI, tends to a constant, which can be normalized to one. as h i 3 goes to zero.
10
of a F r i e d m a n m o d e l with m e t r i c
has been included for convenience, The model contains a scalar field (21/2T/O)I~
with mass ulm which is constant on surfaces of constant t. One can easily gen
The classical H a m l l t o n l a n Is
H = ~2N(  al~ a
2 + a  3 n~2  a + a3m2~ 2) (4.3)
where
+ = o (4.5)
a t tN + a d d t
Nd f! da N2am2~2
11
The W h e e l e r  D e W i t t e q u a t i o n is
]/zNe3a[ (35
a2
a,2
+ 2Vl~(a,#) = 0 (4.7)
where
dary condition, one finds that the wavefunction starts oscillating in the region
V >0, I#1 > 1 (this has been c o n f i r m e d numerically 5). One can i n t e r p r e t the
= Re ( C e iS ) (4.9)
where
~'a = aa~'
s
~~ = as
a~ (4,11)
where V 2 is the Laplacian in the metric l a b ' One can ignore the first term in
equation ( 4 . 1 4 ) and can integrate the equation along the trajectories of the vector
of the Minisuperspaee model start out at V = O, I~J > 1 with ~da = d_~
dt = o.
They expand exponentially with
dl~l 1
~ = ml~l =  zm (4.16)
dt ' dt
After a time of order 3 m  ] ' ( l # . l l  1), where ~1 is the initial value of ~. the field
starts to oscillate with frequency m. The solution then becomes matter dominated
and expands with e a proportional to t 2/3. If there were other fields present, the
massive scalar particles would decay Into light particles and then the solution would
expand with e ~z proportional to t z/z, Eventually the solution would reach a maximum
9~ 2
radius of order e x 9 (  ' ~  ) or e x p ( 9 ~ l ) depending on whether it is radiation or matter
dominated for most of the expansion. The solution would then recollapse in a
similar manner.
13
We assume that the metric is of the form ( 2 . 3 ) except the right hand
2
side has been multiplied by a normalization factor o The 3metric h i 3 has the
form
2
hij = a (nij + Eij) (5.])
where Nij Is the metric on the unit 3sphere and Eij Is a perturbation on this
+ 2%/2 c e e n d 0 n de Ge n ] (5.2)
nm (Sij)Im + 2 nm (Gij)Im + 2 nero ( ij)~m I
The coefficients a . m , b . ,c .
d de ,c e
n n~m' nm' n~m are functions of the time c o o r 
nLm nm
i
dlnate t but not the three spatial coordinates x .
1
Pij (n 2 1 I) Qlij + 3~ijQ (5.3)
i
They are traoeless, P i = 0. The S i j are defined by
where Si are the transverse vector harmonics, sillo. The Gij are the
The lapse, shift and the scalar field ~(xi,t) can be expanded in terms
of harmonics:
{
N = N O i + 6 ~ F. gnm Qm
n, ,m
n) (5.5)
n + 2 ~ Jnm (Si);m ]
N i . e (= Y. {6]/2 knm (Pi)m (5.6)
n, ,m
1
where P i Qli" Hereafter. the labels n , 9 . , m , o and e will be denoted
(n 2  l)
simply by n. One can then expand the action to all orders in terms of the "back
a n , b n , On, t i n , f n , g n , k n , j n :
I = I o ( a , # , N O) + F.I (5.8)
n n
One can define conjugate momenta in the usual manner. They are:
2
= NLIe3U iD__=_~I [~n + 4&bn  ~l e  a k n,] (5.12)
~bn (n 2  1)
15
(5. ] 4 )
I
~rf = Nole3(~ fn + ~(3an  gn )
n l (5. 15)
ties:
The subscripts 0,1,2 on the "1 and H_ d e n o t e the o r d e r s of the quantities in the
S n Vn Tn
The s e c o n d order Hamlitonian is given by H i 2 = E H / 2 = F.( HI2 + Hi2 + HI2)
n  13
where
+ n,.
 2)an + (n~i) n
16
+ e'=m
[ n + 6anfn~)l + [2 n 
(n2_l) nJj (5. ]8)
H[1 1/'ze 3a
= an n
(5.22)
_1 = "~e  nan n (n2_1) nj ~z
H~!" = 0 (5.24)
17
S n i 3~ a _ + 4(n 2 4) bn Ba
H_.I~, =  ~e a~n I I an (n 2  1) 1
a 3fn ~l~!, = 0 ( 5, 25)
ab n
H..,].~" = e
I ~ < + 4(n 2  4) c n ~" = 0 (5.26)
n
The first order Hamiltonians Hll give a series of finite dimensional
that we are using, the ambiguity in the o p e r a t o r o r d e r i n g will consist of the possible
a
addition o f terms linear in ~~. The effect of such terms can be c o m p e n s a t e d for
by multiplying the wavefunction by powers of e a. This will not affect the relative
2 4e 2
(5.27)
I.,o + ~.,s.?2
+. v"?2+ T.~2,1. = o (5.28)
and
aa
VHI2n = ]/2e3(~
t t (ga
a2 1 j__2_2_
(n24) (9cn
8Cna ~(gu *
n
T lIf2
n = ]he3a  d 2 [10 a2 + 6
n( aa2 ad 2 8d na~~na~
a a
+
n
a2 S n
tlve second derlvatlves
aa 2 in e a c h Hi2. However. one can use the m o m e n t u m
n
c o n s t r a i n t (5, 25) to substitute for the partial derivatives with r e s p e c t to a n and then
solve the resultant differential equation on a n = o. Similarly, one can use the
and c n .
6 The WavefuncUon
= Re (~I,0(z,@)I[tI,(n)(cz,#,an,bn,Cn,dn,fn)) (6. l )
n
= Re ( Ce is )
of all the variables, If one substitutes (6. ] ) Into the m a s t e r equation and divides
by ~, one obtains
(6.2)
n~m 2~!'(n)~!
"(m)
+ E t, + e _ 3 a V(~,~) = o
n
20
of the sums in the third and fourth terms in equation ( 6 . 2 ) . Thus these terms can
be replaced by
(v2~I,(n)) I v "#'(n)]2
"  n In1,"
,fE " tJ
In order that the ansatz (6.]) be valid, the terms in (6.2) that depend on
V ~,(n)
2
where J = ~..:::
~ ~,(n)
~, one can neglect the second term in ( 6 . 4 ) In comparison with the first term.
One can also replace the T/'CZ and Tt# which appear in H~2 by _~S and ~ respec
tively. The vector X a = f a b 8_S_ obtained by raising the covector v2S by the
aq b
a
inverse minisuperspace metric f a b can be regarded as ~ where t is the time
21
parameter of the classical Friedman metric that corresponds to 1/, by the WKB
approximation. One then obtains a time dependent Schroedtnger equation for each
a~.( n )
i H:L~(n)n (6.6)
at iz
two dimensional minlsuperspace model with an extra term ] / z J . J arising from the
curvature squared counterterm, The effect of such higher derivative terms in the
6
action has been considered elsewhere
7 The B o u n d a r y Conditions
where the integral is taken over all c o m p a c t 4  m e t r i c s and matter fields which are
tive but keeps the other p a r a m e t e r s fixed, the Euclidean action I tends to zero like
e 2a. Thus one would expect ~ to tend to one as ~z tends to minus infinity.
One can estimate the form of the scalar, vector and tensor parts
S~(n),V~'(n),T~ t(n) of the perturbation ~(n) from the path integral (7. "1). One
where
23
(7.4)
.2
+ 4iN0 e3a + Vze2a 3 2,2 _ _..!__#. 3&2 1 df }l
 ~m ~ 2(iN O)2 2(iN O)2
The last term In (7.4) vanishes If the background metric s a t i s f i e s the background
TD d = o (7,5)
n
]
T~el l e3a[ d (~ + 4&d21 (7.6)
n = 2iN 0 [ n n nj
One now has to integrate (7.7) over different background metrics to obtain the
wavefunction T~(n) One expects the dominant contribution to come from back
b o u n d a r y c o n d i t i o n d n = 0 at t = o is
for which
I~001 ~ ne a
(7.9)
Euclidean solution of the background field equations, then I~ool<ea. Thus the
the solution of the background field equations becomes Lorentzian and the WKB
(7. I0)
in the Euclidean region, ~" will be real and positive. For large values of n,
will be c o m p l e x but It will still have a positive real part and c o t h ( v T ) will still be
a p p r o x i m a t e l y 1 for l a r g e n. Thus
q u a n t u m m e c h a n i c a l l y in the c o n s t r a i n t
where the d e p e n d e n c e on the other variables has been suppressed, One can also
aS
replace ~ by i~F. One can then solve for V~,(n).
the behavlour of the tensor and vector perturbations. The scalar part of the action
tions
NO d( e 3aan.
No )
+ l(n2  4)No2ea(an+ bn) + 3e3a(~n 
No2m2@fn) =
d le2(zknl
N2{3e3am2@2  ~(n2+2)ealgn + e3a~gn  3/N ~[ N0J (7. 15)
d e3a~n 1 2
N O dr( ~0 )  ~n _
1 )No2e~(a n + bn) =
~n 2 _
1 )N2e~gn
NO ~t (e 3afn
NO ) +
3e3~a
n
+
tWo[m2 e3 a
.2[
+
(n2l)e~Z]fn
.2
3an ( _ &2 + ) + 2(~ n _ &~n)
.2
=2&eUk3 n + 2gn( _ &2 + @ ) ( 7 19)
respectively. The Euclidean action for a solution to equations (7. "15) to (7. ]9) is
(7.20)
(nZ_z) njj
However, this gauge does not allow one to find a compact 4  m e t r i c which Is
tion of the equations (7. ]5) to (7. ]7) and the constraint equations. Instead, we
shall use the gauge a n = b n = 0 and shall solve the constraint equations ( 7 . 1 8 )
27
(7,21)
(n24)& ~ + s ~2
" I I 
k = 3 ( n 2  1 ) e a~. . . . . . (7.22)
NO dt~ No + N.2[
0[m 2e 3a + (n2_l)e=]fnj =
(7.23)
. 2o~.2 . aS ]
S~(n)(u,~, 0 , 0 ,fn) *, e x 9  ~2ne rn  ]/2Z~gnf n (7.25)
This Is of the ground state f o r m apart from a smal l phase factor. The val ue of
The tensor and scalar modes start off In thetr ground states, apart p o s 
sibly from the modes at low n. The vector modes are pure g a u g e and can be
H(n)t,(n)
neglected. Thus the total e n e r g y E = n ~   ~ (  ~  of the perturbations will be small
when the ground state energies are subtracted. But E = i(vzS).J where
V2~( n )
J = F. t,(n" ~  Thus J is small. This means that the wavefunction ~0 will obey
n
the WheelerDeWitt equation of the unperturbed m i n i s u p e r s p a c e model and the phase
mode # will not start out in its ground state. There are two reasons for this:
require # = o. Second, the classical field equation for ~ i s o f the form f o r a damped
of such solutions is small, so large values of I$1 are not d a m p e d as they are for
the other variables. Thus the WKB trajectories which start out from large values of
I$1 have high probability. They will c o r r e s p o n d to classical solutions which have a
realistic model which included other fields of low rest mass, the matter e n e r g y in
the oscillations of the massive scalar field would d e c a y into light particles with a
universe.
8 Growth of Perturbations
iaT~ (n)
at THI2T~(n ) (8. I)
8dn i ~ a
n [ [~J adn 2 ad n
29
then
.aT$1n)
I at ~ze Sa I _ ___
a2
ad2 + d2(n2_l)e4~
j
T~(n)
v (8.4)
T~o(n) , exp
{  ~ne
1 (8.6)
where a, is the value of <z at which the mode goes outside the horizon. The
One can then apply the adiabatic a p p r o x i m a t i o n again to (8.4) but T~n)r will no
excited states, This is the phenomenon of the amplification of the ground state
The behaviour of the scalar modes is rather similar but their description
prescription. The ground state form ( in f n ) that we found will be valid until the
C = l[aS]
2 [ a a J if [8S}
Lao~J 2  l(n24)e4(Z] (8.8)
At the time the wavelength of the mode equals the horizon d i s t a n c e during the infla
where Y, is the value of y = ~r~l.~.~a[a.~jz when the mode leaves the horizon,
aS (n)
tO
z at ]/ze 3a _ y2 6a 2
Tt(on)(dn), (8.4), except that the kinetic term is multiplied by a factor y 2 and the
2
potential term is divided by a factor y . One would therefore expect that for
wavelengths within the horizon, St(on) would have the ground state form
exp(
.. 2 2aa2n )
%,2ny e and this is bourne out by ( 8 . 9 ) . On the other hand. when
the wavelength becomes larger than the horizon, t h e S c h r o e d i n g e r equation (8. ]0)
indicates that Tt(on) will freeze in the form ( 8 . 9 ) until the mode r e  e n t e r s the h o r 
izon In the matter dominated era. Even if the equation of state of the Universe
changes to radiation dominated during the period that the wavelength of the mode is
greater than the horizon size. it will still be true that St(on) is frozen in the form
(8.9). The ground state fluctuations in the scalar modes will therefore be amplified
the rms fluctuation in the scalar modes, in the gauge in which b = f = o. will
n n
be greater by the factor y , than the rms fluctuation in the tensor modes of the
same wavelength.
32
From a knowledge of T~(on) and S~(on) one can calculate the relative
at large values of ,v. This means that we can treat their development as an
homogeneous background scalar field . If the scalar particles decay Into light
particles and heat up the universe, the surfaces with b n = f n = 0 will be surfaces
o b s e r v e d t e m p e r a t u r e will be
T
T s (9. "I)
o I + z
33
1 + z = .t/Zn /z (9.2)
d fl;Ln/zJ]
di[ = n ~ ; v t'p't'v (9.3)
where k is the afflna parameter on the null geodesic, The only n o n  z e r o com
p o n e n t s of n # . ; v are
on the scale of the horlzon, will be t h o s e involving & a n and &dn. These will give
t e m p e r a t u r e a n i s o t r o p i e s of the form
The dominant contribution comes from the scalar modes which give
<(AT/T)2> ~, y,n
2 2 e 2~, (9.8)
a.
But ne *, & , , the value of the Hubble constant at the time that the present
horizon size left the horizon during the inflationary period. The observational upper
limit of about 10 8 on < ( A T / T ) 2> restricts this Hubble constant to be less than
about 5.105m (Ref. ]0) which in turn restricts the mass of the scalar field to be
P
less than 1014 GeV .
We started from the proposal that the quantum state of the Universe is
boundary condition for the WheelerDeWltt equation for the wavefunctlon of the
considered finite dimensional approximations to superspace and had shown that the
Ing to a family of classical solutions which were homogeneous and isotropic and
we extended this work to the full superspace without restrictions, We treated the
two basic homogeneous and Isotroplc degrees of freedom exactly and the other
that the inhomogeneous or anisotropic modes started out in their ground states.
35
showed that they r e m a i n e d In the ground state until their wavelength e x c e d e d the
horizon size during the Inflationary period. In the s u b s e q u e n t expansion the ground
state fluctuations got frozen until the wavelength r e  e n t e r e d the horizon during the
the inflationary universe but It has the a d v a n t a g e that the assumptions of a period of
exponential expansion and of an initial ground state for the perturbations are justi
tions of the microwave b a c k g r o u n d if the s c a l a r field that drives the Inflation has a
.2
<(Ap/p)2> ==
},2 Pe .2
(2, (lO.l)
.2 2
aeO e
tuations can evolve a c c o r d i n g to the classical field equations to give rise to the f o r 
mation of galaxies and all the other structure that we observe in the Universe.
Thus all the c o m p l e x i t i e s of the present state of the Universe have their origin In the
ground state fluctuations In the tnhomogeneous modes and so arise from the
H e l s e n b e r g Uncertainty Principle.
36
Referenoes
3 S,W. Hawklng In: "Relativity. Groups and Topology I1", Los Houches
]983, Session XL, edited by B.S. DeWitt & R. Stora (North Holland
Amsterdam. ]984)
7 V.A. Rubakov. M.V. Sazhin & A, V. Veryaskin. Phys. Lett. 1,15B ,189
(]982)
8 L.P. Grischuk, Zh, Eksp. Teor, Fiz 6_7 825 ( ] 9 7 4 ) [Sov, Phys, JETP
12 A . H . Guth & S.Y. Pi, Phys. Rev. Lett. 49 1110 (,1982) [JETP Lett. 30
682 (,1979)]
the line e l e m e n t is
metric R i j ' Indices i,j,k are raised and lowered using R i j "
Q(n) Ik (n 2 I) Q(n)
Ik . . . . n = 1,2,3... (A2)
ni J
Q(n)(x,O,~ ) ~ ~ An n (A3)
= =o m =  Im Q ~ m (x''~)
by
n
Qjm(X,e,) = n;(x)Ytm(e,#) ( A4 )
on S 3.
38
satisfy the e i g e n v a l u e e q u a t i o n
and the t r a n s v e r s e c o n d i t i o n
ni
s(n)(x,8,#) = E E Bn n
~=I m= ~m (Si)~m(X'e'#) (A7)
( n , , m s u p p r e s s e d )
n
Using the scalar harmonics Qm we may construct a third vector
n
harmonic (Pi)m. defined by ( n , . m suppressed)
1
Pi  Qli n = 2,3,4... (AS)
(n 2  1)
Ik ( n 2  3) P. and p. I i =  Q (A9)
Pilk =  z x
39
n
The transverse traceless tensor harmonics (Gi3)9.m (x,e,~) are tensor
ni
G(.n)(x,8,#) = )'1 ~" C n (Gij); (A12)
13 9=2 m= P. Em m( x ' e ' # )
where Cnm are a set of arbitrary constants. As in the vector case they
( Gei j )9,m
n are given In r e f e r e n c e 14
i
and thus S , = 0 since S . is transverse. In addition, the S i j may be
1 1
shown to satisfy
40
S.. Ij = ._ ( n 2 _ 4 ) S, (A]4)
13 1
S,,.i~l i = o (A]5)
13
Ik (n 2 6) (AI6)
Sijlk =  _ Si3
n
Using the scalar harmonics Qm" we may construct two tensors
n n
(Qij)Jtm and ( P i j )~m defined by ( n , . m suppressed)
1
Qij = 3flijQ n = 1,2,3 (A17)
1
and Pij (n 2  i) Qlij 3~ij Q n ~ 2,3,4 (A]8)
i
The Pij are traceless "Pi = 0, and in addition, may be shown to
satisfy
Ij 2 2
Pij =  ~n  4) Pi (A19)
.
]ij = ~2( n 2  4) Q (A2I)
P13
tensor field on S 3,
dp.. Thus
41
n
The _Otto are normalized so that
fd# Qim
n Q~'m'
n' = onn' 8~, 8mm, (A23)
This implies
and
n (S z )'m'
;d# (Si)m n' = 8nn' 8, 8mm, (A26)
This implies
The action
I = lo((Z,~,N0) + EI (Bl)
n rl
Io =  %fdt
.
SOe
3a{&
/~
2 e
2a

.2
_~_ + m z c z
2
j (B 2 )
[N o NO
In = Idt(L3 + L mn ) (B3)
where
2 .2
3(z _ ~2 LD/4)62 ~ (n2 4)62 + d
+ I~ 0 n (n2_l) n  n
+ 21  ~32
an + 6 02+
(n21) n
6(n2  4)C2n + 60:I
and
!
L n = VaNo e3a 1 f n + j _ m 2 .2 +  (  )n
m
I
 gn 2m2fn@ + 3m2an 2 + 2~2 + 3~D'~
NO
fn~ "21
ea
N 2 J  ~knfn
" (B5)
7/'a ++3+,
~0 [  & + F..
n
I_ anon 2
+ 4(n 4)b 6 + 4(n24)Cn6 n + 4rindn
(n2 I) n n
1
n 2 n (n2_l) n
The classical field equations may be obtained from the action (B1) by
varying with respect to each of the fields in turn. Variation with respect
44
d. 3dan.
NO ~E(e
1 2
~ ; ) + ~ ( n  4)N20en'(an f b n ) + 3 e 3 e ( ~nf ,  No2m2#fn ) 
d e3Ul~n 1 2 2 a 1 n2
~(
N O dt( N;)  ~n  l)Noe (an + bn ) =  1 )N2eagn
(8ll)
+ ?o dt! "ol
d. 3c~Cn. d [ 2aJn}
~(e Eo,= ~{e EoI (812)
d e3adn (B'I3)
NO dt( ~00 ) + (n2  l)N2e~dn = 0
" n [~o[m
N O d~tt(e3afN~) + 3e3a~a . 2[ 2 e 3a + (n21 ) e a l f n =
0
45
In obtaining (Bl0)  (B14). the field equations (B8) and (89)have been
6 n = eaJn (816)
.2
.2
G.W. Gibbons
Department of A p p l i e d M a t h e m a t i c s and T h e o r e t i c a l Physics,
University of Cambridge, Silver Street, C a m b r i d g e CB3 9EW
U.K.
Contents
I) Introduction
2) Topology and Initial Data
3) The Black Hole as Soliton
4) Solitons in 5dimensions
5) PyrgonMonopole duality
I. Introduction
~ ZI # Z2 "'" # Zn (I)
S3 : Z # ~ (2)
s s
P # (S 2 S I) ~ P # P (3)
will be just one large b l a c k hole. Again there will be no sign in the
external metric of the initial exotic topology.
V.VIv = 0 (4)
1
R = 0 (5)
l]
3. The B l a c k Hole as S o l i t o n
M ~ IQI/K (6)
Since the e x t r e m e holes (which need not all have the same mass),
can remain in e q u i l i b r i u m it is r e a s o n a b l e to c o n s i d e r departures
from e q u i l i b r i u m perturbatively. To lowest order they should move
on g e o d e s i c s on a suitable "moduli space", that is to lowest order the
parameters specifying the solution should change slowly. This is the
same approximation as has been used successfully in Y a n g  M i l l s theory
[21,22]. In the p r e s e n t case the P a p a p e t r o u  M a j u m d a r solution
(representing N b l a c k holes) is s p e c i f i e d by giving the positions of
N points in ~3 . In p r i n c i p a l the points could coincide though I will
argue in a short w h i l e that this doesn't happen. If the holes, having
equal masses, were identical one w o u l d factor by the a c t i o n of the
permutation group SN on the N positions. Thus we k n o w the m o d u l i
space. The m e t r i c is not known. However if one makes the a p p r o x i m a t i o n
that one hole is very m u c h smaller than all the others one can anticipate
that the m o t i o n of the small hole in the field of the others should be
g i v e n by the s t a n d a r d equation for a charged g e o d e s i c (with charge =
mass x K). In the slow m o t i o n limit this does indeed give nonrelativistic
geodesic motion in the m e t r i c
ds 2 = U3dx 2 (7)
w here
i=N1 GM.
l
U = I + Z (8)
i=I Ix 
4. Solitons in 5  d i m e n s i o n s
H o w e v e r there is an i m p o r t a n t d i f f e r e n c e . We are no l o n g e r o b l i g e d
nor w o u l d we w i s h to c o n f i n e o u r s e l v e s to i n i t i a l d a t a w h i c h are
asymptotically Euclidean. If we do so the a r g u m e n t that the v a n i s h i n g
of the Ricci t e n s o r implies that the 4  s p a c e is flat still goes t h r o u g h
a c c o r d i n g to S c h o e n and Yau's P o s i t i v e A c t i o n T h e o r e m [25]. If we
d o n ' t r e q u i r e that the 4  m e t r i c be a s y m p t o t i c a l l y E u c l i d e a n there are
m a n y c o m p l e t e Ricci flat 4metrics, i n c l u d i n g one  t h a t on the K3
s u r f a c e  w h i c h is compact. Any gravitational i n s t a n t o n will give a
static 5  m e t r i c w i t h no horizons. Note that if we have no h o r i z o n we
are still f o r c e d to have V = I, that is the m e t r i c m u s t be a p r o d u c t
on ~ x M , where M is the 4manifold. In the o l d e r l a n g u a g e the
s p a c e t i m e w o u l d be said to be "ultrastatic".
eP = 2~ (10)
M  1 (11)
4~<e
5. PyrgonMonopole duality
m = n lel
2K (12)
w here n = 1,2,3,...
monopole ++ pyrgon
antimonopole + antipyrgon.
56
~ = [~ ~i (~)]~
There are no bound states, just scattering states. Since the radial
equation (15) is a Coulomb one one might anticipate that scattering is
better described using parabolic coordinates, defined by
= (I + cose)
q = (I  cose) (16)
This is in fact true. The wave equation also separates in the t,~,~,q
coordinates. Using them one can give a simple description of the
scattering. The classical orbits are especially simple being conic
sections. They are, when projected into the 3space spanned by
p, 8 and ~, the intersection of a cone centred at p=0 with a plane,
the intersection being a hyperbola in general.
M~ R2N~
(mass)2 = i=0[ (!lR
2 + ___~i)~,2 + _~2~, (NO + No ) (17)
R 0 and ~'
R constant = I
References
[33] C. Montonen and D.I. Olive, Phys. Lett. 72B 117 (1977).
[34] H. Osborn, Phys. Lett. 115B 226 (1982).
BoYu. Hou, Phys. Lett. 125B 389 (1983).
[35] A. Hoysoyer et al., Phys. Lett. 134B (1984).
[36] P.C. Nelson, Nucl. Phys. 238B 638 (1984).
H. Ezawa and A. Iwasaki, Phys. Lett. 138B 81 (1984).
M. Kobayashi and A. Sugamoto, Prog. Theor. Phys. 72 122 (1984).
F.A. Bais and P. Batenburg, Nucl. Phys. B245 469 (1984).
[37] V. Rubakov., Pisma Zh. Eksp. Teor. Fiz. 33 658 (1981); Nucl.
Phys. 203B 311 (1982).
C.G. Callan, Phys. Rev. D25 2141 (1981).
[38] A. Salam and J. Strathdee, Annals of Phys. 141 316 (1982).
L. Dolan and M.J. Duff, Phys. Rev. Lett. 52 14 (1984).
[39] M. Green "The Status of Superstrings" undated Queen Mary College
preprint.
TRUNCATIONS IN KALUZAKLEIN THEORIES
C.N. Pope
i. INTRODUCTION
KaluzaKlein theories provide a natural and geometrical unification
of gravity and gauge fields, in which general coordinate invariance and
local gauge invariance both arise as subsectors of general coordinate
invariance in a higher dimension. However, in a successful unification
of all the fundamental forces in nature, one would like the unifying
theory to be unique, and in this respect KaluzaKlein theories seem at
first sight to fare rather badly. Not only does one have the usual
freedom , as with fourdimensional theories, to pick and choose what
fields are to be included in the Lagrangian, but one also has the
additional freedom to choose one's favorite dimension!
In order to try to single out the 'right' theory from all the
candidate theories, one requires some rather powerful criteria which
can be used to restrict the possibilities. Broadly speaking, such
criteria tend to divide into two categories; on the one hand there are
those based on physical principles derived from phenomenological
considerations, while on the other hand there are mathematical
principles based on the requirement of selfconsistency of the theory.
Examples of physical principles would be the requirement that the
theory admit a realistic gauge group with chiral fermions, and a
Minkowski space ground state. Superficially such requirements seem
very reasonable, but it should be borne in mind that the natural
unification sca~ of any quantum theory of gravity is the Planck scale,
19
I0 GeV or i0 cm, whilst the physical principles mentioned above are
based on observations in particle accelerators at energy scales lower
by about 17 orders of magnitude, and cosmological comparisons involve
a ~urther extrapolation of about 40 orders of magnitude. Seen in this
light, it is perhaps rather premature to be imposing these physical
requirements from the outset. Of course the 'correct' theory should
ultimately be able to explain the observed phenomena, but it may well
61
  R + A = 0, (i)
~N 2 %N %N
We use the notation that the (4+k)dimensional fields are 'hatted', and
M,N,... are world indices running over 4+k values. These will be
decomposed as M=(~,m), etc., where ~ runs over M4and m runs over M k.
Equation (I) admits ground state solutions of the form M4 x Mk,
where Mk is a compact Einstein space satisfying
2A
Rmn = gmn' (2)
k+2
^ A ^ B
gMN = eM eN ~AB' (3)
where
I Ki a Kj Fi Fj Y (6)
R~ = R~ 2 a ~y ~ '
^ i Ki K3 b Fi Fje~
Rab = Rab + ~ a e8 , (7)
^ 1 F i ~ (8)
R~b  2 K1b DI3 ~ '
where
[K i , K j ] = cij k K k , (io)
 R + A = O. (ii)
RAB 2 "lAB 'lAB
Substituting (6) , (7) and (8) into II) now reveals the
inconsistencies. There are three cases to consider, corresponding to AB
= ~, ~b and ab in (ii). The first of these yields
' 4
Since (16) implies that each Killing vector has constant (unit) length,
the subgroup G' can be nontrivial only if the Euler number X of Mk
vanishes (since if X ~ 6 then all vector fields must vanish somewhere).
Even if X = O, then G' is usually a lot smaller than G. For example if
Mk is the SO(k+l)invariant ksphere, then G' is SU(2) when k=4n+3, and
G' can only be U(1) when k=4n+l. On a group manifold H, with G = HL x
HR, G' can be either HLOr HR .
If one were prepared to include more 4dimensional fields in the
ansatz (4), (5), consistency could be restored for the entire isometry
group G by including massive spin 2 fields, which would introduce a
balancing ydependence on the lefthandside of (12). But we know on
general grounds that massive spin 2 can only beconsistently coupled to
5
gravity by coupling infinitely many such fields , which would defeat
the object of the truncation. If the entire isometry group G is
retained, then setting, these massive ~pin 2 fields to zero is
inconsistent with their equations of motion
The ~b components of (ii) present no difficulties, yielding the
YangMills equation
65
D F = 0. (17)
I ~ 1 ^ ~BCD E I ^~
RAB . 2 . ~AB . ~ .( FACDE
. 8 F ~ ~AB )
' (19)
^VA 9ABCD _ i
576
BCDEI...E8 ?E ?E5
E I...E4 ...E8 , (20)
A
where FABCD = 4 ~[A ABCD]' and we are using local Lorentz indices.
9
These admit ground state FreundRubin solutions on M 4 x M7, in which
A
one sets all components of FABCD t o zero except in spacetime, where
~e~y6 = 3m~e~y6; M7 is an Einstein space satisfying Rab = 6m 2 6ab , and
in spacetime M4, R ~ =  1 2 m 2 ~ .
One can easily show that already at the linearized level it is
necessary to augment the elfbein ansatz (4) and (5) by an ansatz on
~ABCD including the gauge bosons, in order to extract the massless spin
A
1 degrees of freedom in M 4. The correct ansatz for FABCD turns out to
be '
^ = !_ F i~6 Ki (21)
~y6 = 3m g ~ y 6 ' F~cd 2m E ~ Y 6 Vc d"
1 1
  R 12m 2 =  T i3 K ia Kj + 1  2 YaK i b yaK jb ) (22)
R8 2 ~ ~ 2 e~ a
2m
'a i Ki, a
It is easy to see that if Ki satisfies (16) then  satisfies
2
(23), so the question arises as to whether more Killing vectors can
satisfy (23) than (16). For a generic Einstein space M7 the answer
seems to be no, but in just one case the situation is different. On the
SO(8~invariant round 7sphere, all 28 Killing vectors of S0(8) satisfy
(23) .
Of course the above calculation has only been concerned with the ~
components of the Einstein equation (19). Full consistency of (19) and
(20) would certainly require the inclusion of KaluzaKlein scalars in
the ansatze for ~MN and AMN P. However, the calculation has already
exhibited a property of the 7sphere compactification of d=ll
supergravity that seems to be unique; no other known KaluzaKlein
theory could possibly yield all the gauge bosons of a nonabelian
isometry group G in 4dimensions, since all other known theories yield
an inconsistency in the ~ components of the Einstein equation.
In fact there are strong indications that the full d=ll supergravity
7
theory, compactified on S , can be consistently truncated to just the
massless N=8 supergravity multiplet, whose bosonic sector comprises
the graviton, 28 gauge bosons, and 35 each of scalars and pseudo
scalars. The complexities of the spin 0 sector have so far defeated all
attempts to perform a complete check of the consistency, but partial
ii 12
results in this direction are encouraging ' . Note that the fact that
only a 35 of scalars is needed is another remarkable property of this
truncation. Generically, one would have expected to need all the
r e p r e s e n t a t i o n s occuring in the symmetric product of 28 with itself.
The full N=8 truncation has been intractable to date because of the
complications due to the spin 0 fields. A simpler problem, which still
e x h i b i t s some remarkable properties of the theory, is to first truncate
to N=3 supergravity (for which the supermultiplet contains no spin 0
fields) and then discard the fermions. One is then left with just the
EinsteinYangMills system, with SU(2) gauge group. The remarkable
point here is that consistency should be achievable with no scalar
fields atall. The calculations, which is still quite involved, is
described in detail in ref. 13. Restricting to the appropriate SU(2)
subgroup of S O ( 8 ) , it t u r n s out t h a t the a n s a t z (21) for ~ A B C D is
correct to all orders, and one finds that (4), (5) and (21) yield an
68
i
exact solution of (19) and (20), where ( g~v(x), A ~(x)) is an
arbitrary solution of the 4dimensional EinsteinYangMills equations
with SU(2) gauge group. There is no other theory known to admit this
kind of nontrivial embedding of solutions of the EinsteinYangMills
equations.
A remarkable feature of this SU(2) truncation is that consistency of
the purely bosonic subsector depends crucially upon the presence in the
M.. S ^ A A
eleven dimensional theory of the ~ " FM...N Fp...Q AR... S term in
the Lagrangian, with precisely the coefficient demanded by super
symmetry. Thus consistency and supersymmetry seem to be intimately
related, although the precise way in which this works remains unclear.
4. CONCLUSION
We have seen in section 2 that in a generic KaluzaKlein theory it
is often not possible to make an ansatz which extracts just the
massless fourdimensional fields and which satisfies the higher
dimensional equations of motion. In such cases the only way to restore
consistency is to reinstate some of the previously truncated fields. In
the example of section 2, this would include infinitely many massive
spin 2.
Suppose, however, that one were prepared to take the point of view
that one should simply take the massless ansatz (even though it is
inconsistent) and substitute it into the higherdimensional action,
thereby obtaining an effective fourdimensional action describing just
the massless fields. What would go wrong?
As discussed in ref.3, the problem is one of nonuniqueness.
Specifying that one should make a massless ansatz is merely a statement
that at the linearized level the fluctuations around the ground state
are to be expanded as spacetime fields times zeromode harmonics of the
relevant massoperators on M k. Provided that one respects the
symmetries of the system, one is free to make any nonlinear
modification of this prescription that one wishes, since it will not
affect the criterion of masslessness. For example, one could add a term
2 y(1)
(x) (y) to the righthandside of the massless ansatz ~(x,y)=(x)
y(0)(y)," where yt0)" " is a zeromode and ykI)~" is a nonzero mode of the
relevant mass operator. Although such a modification will leave the
quadratic terms in the effective fourdimensional Lagrangian unchanged,
it will of course drastically alter the interaction terms. Which is the
correct choice?
In the case of a KaluzaKlein theory admitting a consistent
truncation, the answer is unambiguous: the correct choice is the one
69
that ensures that the ansatz satisfies the equations of motion. (Of
course one still has the freedom to make field redefinitions amongst
the massless fields.) However if there is no consistent truncation,
then there simply is no unique choice of massless ansatz, and so most
of the interaction terms in the effective fourdimensional Lagrangian
are arbitrary, i.e. their coefficients depend upon which particular
massless ansatz one chooses. Thus only for a consistent truncation does
it make sense to study the nonlinear structure of a KaluzaKlein
theory.
ACKNOWLEDGEMENT
I would like to thank M.J. Duff, G.W. Gibbons, B.E.W. Nilsson and
K.S. Stelle for many helpful discussions.
REFERENCES
I) J.A. Wheeler, in: Relativity, groups and topology, eds B.S. deWitt
and C.M. deWitt (Gordon and Breach, New York, 1964).
3) M.J. Duff, B.E.W. Nilsson and C.N. Pope, Phys. Report, in print.
4) M.J. Duff, B.E.W. Nilsson, C.N. Pope and N.P. Warner, Phys. Lett.
149B (1984) 90.
7) M.J. Duff and C.N. Pope, Nucl. Phys. B255 (1985) 355.
9) P.G.O. Freund and M.A. Rubin, Phys. Lett. 97B (1980) 233.
i0) M.J. Duff and C.N. Pope, in: Supersymmetry and supergravity 82, eds
S. Ferrara, J.G. Taylor and P. van Nieuwenhuizen (World Scientific,
Singapore, 1983).
12) B. de Wit, H. Nieolai and N.P. Warner, Nucl. Phys. B255 (1985) 29.
P. Hajicek
I n s t i t u t e for Theoretical Physics
University of Bern
Sidlerstrasse 5, CH3012 Bern, Switzerland
I . Introduction
Most of the today investigations are based on the expansion in the number of
loops. This means that the true l i g h t cones are approximated by the l i g h t cones of a
given, fixed classical solution (corresponding, say, to the ground state). However,
such an approximation is dangerous even in the purely classical theory  t h e series
leading to divergent integrals in higher order contributions 12] .
Another way to avoid the problem seems to be offered by the Euclidean regime: the
dynamical equations become e l l i p t i c and there is no e x p l i c i t causal structure. How
ever, the d i f f i c u l t y seems to reappear at a d i f f e r e n t l e v e l : the corresponding quantum
theory becomes acausal [4 , nonunitary [4] , not asymptotically complete [5] ,
and leads to the loss of quantum coherence [4] .
Within the canonical quantization, the above problem takes on the following form.
For any canonical formalism to work, we have to f o l i a t e the spacetime by Cauchy hyper
71
Sometimes, one compares the general r e l a t i v i t y with the string theory. Any clas
sical ( i . e . nonquantized) string i s , on one hand, a twodimensional spacetime with
welldefined dynamics. On the other hand, changes in topology of the timeconstant
folii of the classical string manifold are possible (and even necessary in order that
there is any interaction between s t r i n g s ) . Why, so one asks, are these two facts com
patible in the s t r i n g theory, and not compatible in the general r e l a t i v i t y ? The
72
answer is simple: the strings are able to join t h e i r ends to form a regular internal
string point or to be torn into pieces with regular end points. No such discontinu
i t i e s are allowed for classical spacetimes.
For some theories, there is no gauge condition which works for the whole space
time manifold and for the t o t a l i t y of possible f i e l d s (Gribov ambiguity, see, e.g.
[II I ). However, what we r e a l l y want to do is the deparametrization of the system,
that i s , only a partial reduction so that the gauge condition fixes j u s t the space
like foliation. This should always be possible, or else no reasonable dynamics would
exist.
Within the reduction method, the problems with causal structure become even more
numerous and involved. F i r s t , the family of hypersurfaces defined by the gauge condi
tion can become degenerate (containing, e.g. intersection of the hypersurfaces)
73
In many proofs, the requirement al) can be weakened. However, in this i n i t i a l state
of investigation of these problems, i t is very comfortable. The assumption a2) means
that (M',g) has a complete ~ [12] ; scattering problems can be formulated.
c) Let there be some C> 0 such that the hypersurfaces t = t o for all t o <  C can be
extended, as solutions of ~ = 0 in M', to form a regular spacelike f o l i a t i o n of
some part Nl of M' by hypersurfaces, each of which is complete with respect to
the positive definite metric induced on i t by the metric of (M',g).
Let us call the points c) and d) together with the assumption that one can con
struct a reasonable quantum dynamics with them, a Quantum Weak Cosmic Censorship Hypo
thesis. I t is clear that the quantum censorship could be true even i f the classical
one is invalid.
Thus, at the end, the singularities beyond the apparent horizon are not v i s i b l e from
75
3. BCMNmodel
The most simple known f i e l d theoretical model in which the dynamics can lead to
a t r u l y nontrivial causal structure (namely the ~ormation of black hole horizons)
is the BergerChitreMoncriefNutku model [14~. We show in this section that the
model is completely foliable.
(see [151 ). Here, G is the Newton constant, Q and P are the electric and the magnetic
charges of the possible (incoming) black hole, g is the determinant of gab and R is the
curvature scalar corresponding to gab"
where na is a normal vector to the t = const surfaces, and supplement i t by the bound
ary condition at i n f i n i t y
(3) }oo :
where ~a and ka are the two independent null directions at p. Thus, p is a future and
past AH simultaneoulsy, or "double" AH (DAH).
f~
~x
C6) w'X )_ (~,) = ~ I ( ~
(~ 0 ,
 ~ , ~ = 9 ~~
 C
77
I t has been shown in [17! that the three equations (4), (5) and (6) are equi
valent to the following tensorial equation:
SI
Using the theorems 1 and 2, one can show that the FAH cannot be v i s i b l e from ~+
the the PAH cannot be influenced from ~  , as well as that the world tube of an ap
parent horizon at the boundary of M is not timelike.
Theorem 3: All hypersurfaces t = const in M are complete with respect to the induced
n~tri c.
In [16] , this question has been discussed at some length. One possibility, due
to Ashtekar and Horowitz [18] , is the following: i f a given general property of all
kinematically possible trajectories can be considered as a property of the configura
tion space of the system, then i t will survive the quantization. Such properties are,
for example, the absence of AH in M (this is the absence of critical points of
along t = const surfaces), or the fact that M is asymptotically Minkowskian.
i
b
where
= 4 G
&
with ~(y) being the canonical momentum and ~(y) the canonical coordinate (true dynam
ical variables), gll(x) is clearly positive classically, but can i t be made to an
operator with positive spectrum ? Some subtraction procedure is necessary to define
g l l ( x ) ; for example, i f this procedure can be applied directly to T(x)  T(y) (so
that the exponential of i t is already welldefined), then gll(x) will be positive even
i f T(x)  T(y) i t s e l f is not.
I ) Choose other variable ( l i k e log Q) and i t s conjugate [20] , or 2) use the pair
{Q~(Q~Q)} as the pair of variables whose CCR determine the operator algebra [21] . A
t h i r d solution, possfble only within the reduction method, is to choose such a quantity
as a dependent one. (This is analogous to what one does in ordinary quantum mechanics
with the canonically conjugated pair {time, energy}).
There was another school of thinking about the Hawking e f f e c t [22] , l e t us call
i t Boulware school, which localized the o r i g i n of Hawking radiation to the inside of
the collapsing object. The energy of the radiation was taken d i r e c t l y from the object
so that the horizon could never form. The calculations of the Boulware school, however,
did not reveal any better information transfer than Hawking's. This was due to the as
sumption that a fixed classical background gravitational f i e l d was welldefined every
where and that i t was the only source of the radiation; such a f i e l d had certain proper
t i e s which did not depend on the d e t a i l s of the collapse. The struggle about where the
o r i g i n of Hawking radiation is to be localized has been won by the Hawking school a f t e r
the consens has been achieved about the regularization and renormalization of the
80
References
Denis BERNARD
Groupe d'Astrophysique Relativiste
C.N.R.S.  Observatoire de ParisMeudon
92195 Meudon Principal Cedex  France.
Abstract :
0. INTRODUCTION
VI. Discussion.
I. QUANTUM FIELD THEORY IN RINDLER FRAME : THE ROLE OF THE P.C.T. SYMMETRY.
We shall begin with the DaviesUnruh's III result about the quantification of a sca
lar field ~ in a uniformly accelerated frame (Rindler frame). There are many ways
based on Bogoliubov transformations, Green's functions, and others 121, to obtain
this famous result . But here, we want to present a global description where the
role of the P.C.T. symmetry is illustrated 13l. In particular this symmetry becomes
crucial for the analysis of the state identification proposed by t'Hooft. First in
flat spacetime, accelerated trajectories are completely describe by the transport
law of the tetrad carrying by the observers. This equation is the FermiWalker
transport equation 141 which reads :
+ ._._7 A n
Jet,r) + e. w re(r)  0
(1.1) ~.f_
where + ~'n(r) is the tetrad and O m~r) the generator of this transport. @~m
is a generator of Lorentz transformation and can be written as
for any timelike vector . y ~ < ~ are the translation generators). ~t is interes
ting to introduce the noninertial coordinates ( ~p ~ ) defined with respect to
the inertial ones ~ by
where J =
dr' ~'
In terms of these coordinates, the metric take the form
84
Then t h e h a m i l t o n i a n
.A
(1.~) ILl _ _ i
(1.9)
L.
where ~ and ~ are respectively the boostgenerator and the angularmomentum
in the direction i. Moreover, the previous noninertial coordinates become the rota
ting Rindler coordinates
(I.i0)
p=fJ
in cylindrical coordinate
The accelerated coordinates (~ ~ ~I ~) cover only a s u b m a n i f o l d ~ 7 of the
~
Minkowski space. (see figure) ~+
)X
E~ d
The region ~ = ~ , >0 , is the field of communi
cation of "Rindler accelerated observers". Rand ~*J are the past and futur event
horizons of these regions.
The quantum particle states for this "observers" are chosen to be eigenfunctions of
85
the hamiltonian
planewave
decomposition(l.13)
16, /(I~ ~{~" ~) 6E,,
~.l~,~) = ~ ,~(~) ; Ek= f d ~
 C,2~)~ o ~
Use of (1.12), yields a differential equation for
(1.16)
the value of the wave function inside R I to that inside R]I. From (1.13) and (1.15)
we get :
(1.17) ~c(~,m
: e [o,
(In this region, the logarithm in the equation (1.15) has been defined on the half
upper complex plane). Since,
(1.18)
we have
,I
and a similar relation for ~ ~O .
Therefore, the states
~aemD],"
I ~'
'~,~,~
. 7~ &ml..~
x 1
J6,'l,,~ J
vanish in the region R ~ and are eigenfunctions of H.
Similarly, we define
(1.23) " ~
(,q,m
I3~C6j~119 16,q,m 4 ~[ ,q,m 6,~,m ]
(1.26)
The pure Minkowski vacuum state contains pairs of Rindler modes. (like the B.C.S.
state). Each pair contains one "particle" created in the region R I and another crea
ted outside the horizons ~ o But, if we restrict ourselves to observable, ~ say
whose support is restricted to the region RI, it is better to introduce a density
matrix ~ by
(1.27) : IO><O1
that is, by taking the trace over the states built from ~+ Then, the expecta
tion of the observable ~ , in the Minkowski vacuum takes the form :
A
And the density matrix ~ , describing a thermal mixed state, is
I
(1.29) = I
n
where I~)~,~,~> = (~!)~ (~q~m)I0~ are the nRindler mode states.
This thermal character persists in the presence of interactions. By using a path
integral approach, W. Unruh and N. Weiss i51 have shown that a thermal quantum field
theory in a Rindler frame coincides, for the HawkingUnruh temperature, with the eu
clidean Q.F.T. in an inertial frame.
88
where =
T  .lm _ eft
~]Crn
The thermal effects analyzed in the previous section are net restricted to the Rind
ler rotating coordinate (i.i0), but persist for a large class of accelerated coordi
nates. Following on from the work of Sanchez j6j we generalize 17] the formulation of
quantum field theories based on analytical mappings in twodimensional spacetimes
to the massive case in four dimensions by including possible rotation or drifting.
We describe the submanifold by the curvilinear or accelerated coordinates,
, defined by the transformation law :
/:z._ t = ~ 
If U+_ =+ ~O , there is no horizon, but if ~ are finite the accelerated coordina
tes only cover a limited region of total spacetime (Minkowski spacetime)
and the whole cinematic of the "observers" inside the static regions :~')~#~ A(~,~')
or ~ i ~ A(~I ~' ) is determined by the mapping.
However at the quantum level, the two statements (i) and (3) are not sufficient and
/
it is necessary to make clear the behaviour of ~{ioo) so as to define a Q.F.T. in
accelerated coordinates. To illustrate what precedes we limit ourselves to a sub
manifold with only one horizon : U_= O and U~=+co and to a mapping which has
the asymptotic behaviour :
l )
(A and B.4) ~(_oo)= O
s3~(~) L, : ~(u')
2 S'
90
Figure
The Fock space associated with the quantization of a massive scalar field is
built up from a bas~s of wave functions which are solutions of
Relative to the global coordinates ~ff, ~) , the Fock space is built upon the cyl~n
drical waves of positive energy :
With accelerated coordinates, we must define the quantum states which can be associa
ted with accelerated "observers" in the region ~ . These wave functions do not
make up a complete basis for global space and thus are not sufficient to build a
Fock space. In order to form a complete basis from these states we use the PCT sym
metry. The wave functions ~ ~ relative to the region ~ T are defined by certain
Cauchy data on ~" whose support is included in ~I~ ~n~~ . Under the
se conditions, ~ are always null on ~~ (but not on F and P). Each ~
 is
il.
The PCT construction ensures that the theory in accelerated coordinates is complete
ly determined by its formulation in the region R I. Indeed~we have
@J
where ~ is the antiunitary PCT operator. The Bogoliubov transformation between
the two representations of the Fock space is written as
(l and B. 7 )
and ~@= ~+ ~@
and ~'[~'=~"~'~4~: + ~:
The asymptotic condition (5) implies that the effective mass A[X~I~/) N 4 is null at
the horizons and that it is infinite at infinity so that no particle can escape. So
we can choose as the base functions, the functions i +:
 ) which satisfy =
V.
,~
UI> +
where explicitly : u)
V~+ee
In the first case, the vacuum is denoted I0' ; in > whereas in the second the vacu
um will be called I0' ; out >. In general, the nonstationary character makes the
two vacuums inequivalent (only for the Rindler mapping is 10';in> = 0';out>). From
here on, we write I0'> for 10';in> unless explicitly stated.
With respect to the region RI, we note that, by construction, the states defined by
d~ are not observable. The commutator, [ ~Ej ~ ~= O expresses the absence of
a causal relationship between R I and R~. So, relative to the region RI, the pure
state I0> which corresponds to the global vacuum is described by the density matrix
obtained by tracingout the states ~ :
A
An e x p l i c i t calculation gives =
a 'AX' o CU  h~t+ ; E )e
.o. _ i~,,v (u)_.il,~v~L,9
a ~&&' e
with
So the Bogoliubov coefficients ~g$ and ~ ) ~ are not the same as in the nonmas
sive case but ~(~j~l) and ~ ( ~ i ) are not dependent on the mass as the asympto
tic condition imposes a total redshift on the past horizon (see dispersion relation).
Thus it is the asymptotic behaviour which determines the thermal properties. Indeed
the results already obtained by N. Sanchez can be extended.
p
i) The relation between the mapping and ~(~, ~') is reciprocal and we can
invert the relation
du/L a
where N l is defined by
A.9)
ii) The above relation makes it possible to show that the Rindler mapping,
4~(UI)=eX~(tltl/), is the only one which satisfies the global thermal balance
~y~) is the population function for a unity of volume and, in the Rindler c a s e ,
we obtain :
94
Wil~ =
Contrary to the previous case, there is no global thermal equilibrium but only an
asymptotic thermal equilibrium in the region where the coordinates and tend
towards infinity.
Moreover, in order to extend the analogy between the examination of the thermal
properties linked to these mappings (but in flat spacetime) and those that can
exist in curved spacetime, it is useful to introduce the surface gravity'. ~ can be
defined by the ratio of the proper acceleration, a', to the temporal compenent,'1) ~j
of the speed of the observers that follow the flux lines defined by the normals to
the hypersurfaees, t' = constant. Then the asymptotic temperatures are
H'I ='
I Vl= *
This relation can also be interpreted as a generalisation of the UnruhHawking tem
perature T=o/~ for uniformly and linearly accelerated observers. The asymptotic
character of the thermal effect, and the link between flat spacetime and curved spa
cetime effects are clearly shown. In particular, near the horizon of a Kerr black
hole the transformation between the Kruskal coordinates (JI~ Vk. ) and the "tortoise"
coordinates ( II / r~./S ) f ~)
95
with~L=~Li~ the angular velocity of the horizon of the black hole a n d ~ the sur
face gravity of the Kerrblackhole:
The Hawking temperature follows from this analogy. But the analogy cannot be pursued
further. In particular, the supperradiance effect cannot be reproduced as is shown
by the expression (~o~0)o~ ~{~l~. If one wished to show schematically such an effect
with another mapping, better reflecting the properties of the Kerr metric~ the sta
tionary character would be lost ; the vacua 10';in> and 10'~out> are then no longer
equivalent. In that case, it is no longer possible to distinguish the effects of
nonstationarity from the effects of superradiance due to a difference between asym
ptotic frequencies. The same problems would present themselves if one wished to re
establish the isotropy : the stationary character is destroyed.
This previous study can he extended to mappings with nonconstant rotation or drif
ting unless they becomes constant at the horizons.
Remark i.
In a thermal equilibrium situation at a temperature T, we typically define the ther
mal average of an observable ~ , by computing the expectation of ~ at the tempe
rature T and by substracting its value at  ~ = O . i.e. :
In this spirit, the natural definition of the average in an accelerated frame seems
to be
gives us this transformation law. Explicitely, this equation breaks up 191, in the
two dimensional case, into a geometrical equation and into a set of equations linking
the accelerated frames to the vacuum states. This relation tell us how to transform
the vacuum by frame transformation in order to compensate the noncovariant charac
ter of the renormalization scheme.
Remark 2.
It will be observed that our study yields a temperature T = o / ~ in the Rindler
case, and not  ~ = O / ~ as t'Hooft suggested recently II01. This ambiguity is due
to the procedure adopted by t'Hooft for the definition of the associated states in
the region R I. In order to define a quantum covariance principle and to secure a one
toone correspondance between the global space ~ and the region RI, he identifies
the physics of the left region R I with that of the right region and, he defines a
linear relation between a quantum state in ~ and a density matrix in R I. In order
to describes his proposal, we introduce the P.C.T. symmetry and we link the Fockspa
ce W E associated to the operators C~ to the Fock space ~ associated to the
a by, 0 0
where O is the P.C.T. antiunitary operator.
is now, a thermal state with a temperature twice the standard one. But the hermitici
ty condition for the density matrix restrict the~/~ by reality conditions. Therefo
re, we must restrict ourselves to a real quantum mechanics. More accurately, the
density matrix ~ is a hermitian operator only if the state I ~ > is P.C.T.
invariant. We do ~ot know if such a real formalism has a physical meaning.
Recently, an approach to this problem, based on the construction of symmetric wave
functions has been given Iiii. Even if after identification, the period in the imagi
97
nary time appears to be half the standard one, the resulting Q.F.T. does not have
a finite temperature at all.
The previous study has shown the asymptotic character of the thermal effects. The
temperature (8AI) depends only on the behavior of the mapping at the asymptotic re
gions of the spacetime, in particular at the horizon. Recently, Haag and coworkers
1121 have deduced the Hawking temperature from a local principle, implemented outsi
de and on the horizon. Contrary to the commutator ~(~j~l)= [ ~ ) p ~ t ~ which is
stateindependant 1131 (in a globally hyperbolic spacetime), the anticommutator
function G (%~)= (x)) (~q) is statedependent. This function can be used in
order to implement a local criterion satisfied by the "physically allowed" states.
Haag and coworkers have chosen to define their local principle on the tangentspace
of the s p a c e  t i m e ~ .
Let ~ a map from the tangentspace  ~ at ~ to~
such that
r o =
t
where N~)=U(r)n U(r) ~ and L l ( r ) i s the evolutionoperator with respect to
the ~ time independent hamiltonian.
It is desirable to introduce the commutator IA,BI, and therefore to write the K.M.S.
condition as
98
In particular for A and B being the field operator at different points we get
In order to analyse the singular part of the ~{I) function, we express the commuta
tor function G in terms of the solutions of the KleinGordon equation in theRindler frame
We take : ~= ~i+ ~Z o
It is easy to show that the equation ( ~ ) with the local principle (3.2) imposed
outside the horizon allows any value of the temperature, because the Singular
part of the r~h.s, of (3.5) is independent of ~ . But on the horizon ~ ~ I _ _ ~ O j
the behavior of the modified Hankel function becomes
(3.9) Q
Thus the comparison with (3.2) on the horizon shows that the local principle is sa
tisfied only for the Hawking temperature
99
For quantum fields in accelerated frames, the event horizon plays the role of a ther
mostat and fixes the temperature.
Remark
This local principle is in fact based on the most singular term of the Hadamard
development I15,161 which postulates the expression of the function as
~ ' ~...~q
with an arbitrary number of derivatives and an arbitrary number of products of fields.
4. A HAMILTONIAN FORMULATION
A hamiltonian formulation of these effects is crucial for the study of the Wheeler
De Witt equation for quantum gravitational fields. The equation governing the evolu
tion of scalar field is built on from the action
ds .. +
3T' ~
~()~) __ JRi f
(4.~)
(4.5) ~L
We shall compare the hamiltonian formulation in Minkowski and Rindler frames and in
particular, we analyse the ground states of the differents hamiltonians. For the sa
ke of simplicity, we restrict ourselves to the two dimensional massless case. The
other cases are similar and can be found in the reference 1191. The Rindler coordi
nate system is chosen to be ( ~ ) :
op
: e s,~auj
(4.6) OZ : e Oy COSk(Qr) ~e : O~ ~= eY
fi
Taking q~ as canonical variable, the Schrodinger equation can be written as :
.,1,oo
O
(4.,) ~. (%)=
For the Rindler case, we expand t~ as
101
(4.1o) Y = l a l ) Q~ i1"~
Taking Q~ as canonical variable, the Schr~dinger equation (~ %) is
% =
We way now substitute this relation into the expression (49) for the Minkowski
ground state and we obtain in terms of Rindler modes :
~OO
The two ground state appear clearly different. For high p.momentum, the structure
of ~ approaches that of ~7~ . The difference between ~o and ~ o is signi
ficant only for small pmomentum, reflecting the infrared (large distance) nature of
the HawkingUnruh effect. The average of the Rindler number operator for the pth
momentum mode, ~I~) say, can be calculated directly by analogy with the simple har
monic oscillator problem :
(4.16)
d
e ~I?I/a _
102
Remark
In a nonstationary metric, the choice of the vacuum state as the ground state of
the hamiltonian becomes delicate. In particular, it does not satisfy the local prin
ciple (911). Therefore it does not satisfy the unitary condition and it does not
possess a well defined renormalized stresstensor (at least within the standard re
normalization schemes Ii81).
The orbits of the Killing vector can be identified with world lines, ~ ) say, of
some observers. The normalized velocity vector is
(5.3) ~
We opt for the following definition of the density of particles , (n) and the energy
density (e) seen by those observers
(5.4)
103
Now, interpreting ~J as the frequency measured (with respect to the proper time
) by a detector moving along these trajectories, ~j~) and ~~ become
the particle and energy densities, respectively.
For inertial observers, we get :
(5.8) 
(5.9) + ~v~/~o~
e _7
where O~o ~ is the (local) acceleration of these trajectories.
The particles densities are equal in both cases and express that there is "one parti
cle" in each phasespace cell. But the zeropoint energy has, in the Rindler case, an
additional Planckian term. This is the distortion of the zeropoint energy due to the
acceleration in agreement with the interpretation of Boyer, Sciama and others.
DISCUSSION
It is quite surprising to note that, despite of its asymptOtic character, the Unruh
effect admits a local description via the detector models 1241. This special feature
has its origin in the high degree of symmetry of the Rindler accelerated frame. The
lines, ~ i = constant, coincide with the worldlines of a system of uniformly accelera
ted observers and furthermore, every where in the region RI, this coordinate system is
locally the FermiWalker coordinate system associated with these hyperbolic trajecto
ries. For this reason, the Rindler frame appears as the most adapted one to these
104
ACKNOWLEDGMENTS
REFERENCES
M.R. Brown and A.C. Ottewill, Proc.Roy. Soc.Lond. A389, 379 (1983).
19. K. Freese, C.T. Hill and R. Mueller, Nucl. Phys. B , (1985).
20. T.D. Lee, Columbia University Preprint (1985).
21. D.W. Sciama, P. Candelas and D. Deutsch, Adv. Phys. 30, 327 (1981).
22. T.H. Boyer, Phys.Rev. D2!, 2137 (1980).
23. S. Hacyan et al., Phys. Rev. D32, 914 (1985).
24. W.G. Unruh, Phys.Rev. DI4, 870 (1976).
B.S. de Witt, in General Relativity : an Einstein centenary survey, edited by
S.W. Hawking and W. Israel, (Cambridge University Press, Cambridge, 19 ).
W.G. Unruh and R.M. Wald, Phys.Rev. D29, 1043 (1984).
25. J.R. Letaw, Phys.Rev. D23, 1709 (1981).
26. J.R. Letaw and J.D. Pfautsch, Phys.Rev. D24, 1491 (1982).
27. N. Myhrwold, Phys. Lett., 100A, 345 ( 1 9 8 ~ .
28. K.J. Hinton, J. Phys. A : Math.Gen., 16, 1937 (1983).
K.J. Hinton, Class. Quantum Gray., i, 27, (1984).
29. P.C.W. Davies, in Essays in Honor of the Sixtieth Birthday of B.S. deWitt ; edi
ted by S. Christensen. (Adam Hilger, Bristol~ 1984).
30. N. S~nchez, to appear in Phys.Lett.A
K. Hinton, P.C.W. Davies, J. Pfautsch, Phys. Lett. 120B, 88 (1983).
W. Israel, J.M. Nester, Phys.Lett., 98A, 329 (1983).
STOCHASTIC DE SITTER (INFLATIONARY) STAGE
IN THE EARLYUNIVERSE
A.A. STAROBINSKY
Landau Institute for Theoretical Thysics,
Moscow, 117334, U.S.S.R.
and
Abstract
1. Introduction
trum and amplitude of metric perturbations for the subsequent evolution. These per
turbations break the homogeneity and isotropy achieved earlier at the inflationary
stage and can, in the worst case, destroy all the advantages of i n f l a t i o n . Two ways
of decay of the effective cosmological constant are possible : via (quasi) homogene
ous classical i n s t a b i l i t y and via inhomogeneous quantum fluctuations. In the f i r s t
case, the amplitude of perturbations of the de Sitter spacetime in the modes which
preserve (exactly or approximately) the isotropy and homogeneity of the 3space in
some frame of reference is much more than the amplitude of other, inhomogeneous per
turbations. Thus, we have a classical (quasi)homogeneous perturbation from the very
beginning and the subsequent evolution is deterministic ; the duration of the de
S i t t e r stage is t o t a l l y determined by the i n i t i a l amplitude of this perturbation.
This type of decay takes place, for example, in the author's model i l t for the case
of the closed 3space section i f the spatial dimension of this section was of the
order of H "4 at the beginning of the de Sitter stage (in the paper, we put
= c = 1 ; a(t) is the scale factor of the FriedmannRobertsonWalker isotropic
cosmological model ; ~ = J/a).
The existence of a quasihomogeneous classical scalar f i e l d is also assumed in the
"chaotic" inflationary scenario 151 (for the inclusion of the R2 term where R is the
Ricci scalar, see 161). Here, the term "chaotic" simply means the unspecified depen
dence of the metric and the scalar f i e l d on space coordinates though this dependence
is weak enough, so that the spatial derivatives of all variables are much less than
the temporal ones.
In the second case, we have no large (quasi) homogeneous perturbation at the begin
ning of the de Sitter stage. This p o s s i b i l i t y was f i r s t pointed in 171 in connection
with the model i l i . But, in fact, this situation is more typical for the models whe
re the de Sitter stage arises from the i n i t i a l l y radiationdominated, "hot" universe
in the course of a nonequilibrium, close to the ~ order phase transition (for exam
ple, the "new" inflationary scenario). Here, nevertheless, a large quasihomogeneous
"classical" perturbation with characteristic wavelengths >>H"1 can arise during the
de Sitter stage from smallscale quantum perturbations. In other words, "classi
cal order" appears from "quantum chaos". In spite of being effectively classical, the
evolution of this largescale perturbation and the spacetime metric as a whole is
essentially stochastic. The duration of the de Sitter stage also becomes a stochastic
quantity in this case.
This is just the process we are interested in. I t belongs to the class of the socal
led "synenergetic" problems which arise in different branches of science and attract
much interest at the present time. We shall consider the new inflationary scenario
where the role of the abovementioned perturbation is played by the nonzero large
scale scalar f i e l d ~) . I t is assumed that ~ ~ 0 (or s u f f i c i e n t l y small) at the
beginning of the de Sitter stage. We shall obtain the FokkerPlanck equation for the
evolution of the probability distribution of ~ (Sec.2) and calculate the average
duration of the de S i t t e r stage in the new inflationary scenario in Sec.3 (only par
109
(i)
2,
where the vacuum e f f e c t i v e potential V~) has the f o l l o w i n g properties :
v(@.) : o (2)
I M,~ ~ _v 4 3 ~ ~
M2 can have both signes. ~_. g o is the flat spacetime (true vacuum). ~  0 is
the f a l s e vacuum. We include the term in to describe the case of the s o  c a l l e d
"primordial" i n f l a t i o n I l l l simultaneously. At the nonzero temperature T, the po
t e n t i a l V acquires the additional thermal term which is either small or, with the
sufficient accuracy, has the form ~B'I "L ~ ' , B(41, T:~a I.
At the de Sitter stage, H = Ho = const, a = ao exp (Hot), where ~o~= ~a~C~Vo/.~
(the spatial curvature is negligable). In order to have enough long de Sitter stage
and enough small perturbations at the subsequent stages, the following conditions
should be f u l f i l l e d :
?.
IMP! ~ H/Zo ; v/t.t. ~ to" ; ~ ~o'" (3)
that is of the order of 10 t y p i c a l l y . After that, the cold (vacuum) period begins
where T << Hoand, in fact, temperature effects can be neglected (except only for the
calculation of the i n i t i a l dispersion of ~ ; see Eq.(13) below). This period is
the most interesting because quantumgravitational effects connected with the space
time curvature play the decisive role here (we denote its beginning by to).
To obtain q u a n t i t a t i v e l y (not only qualitatively) correct results one should not
use such quantities as < ~l~ > or < ~ 2 > (the approaches based on these quantities
have been correctly c r i t i c i z e d in [12, 131), Instead of t h i s , we represent the quan
tum scalar f i e l d (]~ (the Heisenberg operator) in the form :
't , ~)o
k =
Here, ~ ' ( t , ~)
, oct) :
t
contains only long wavelength modes with k<< Hoa(t),
&:o~Y:.
~(~
4< : .
is the
small correction that can be neglected in the leading order in small parameters
NM21/Ho2, ~/H o, ~ and the second integral term in Eq. (5) satisfies the free
massless scalar wave equation in the de S i t t e r background : [ ~ = O. Thus,
(6)
and ~ and a% are the usual creation and annihilation Boseoperators. The a u x i l i a r y
small parameter 6~ is introduced to refine the derivation, i t w i l l not appear in all
final equations. ~n fact, i t cannot be a r b i t r a r i l y small ; the immediate comparison
of d i f f e r e n t terms in Eq. (5) suggests that ~ >> IMI/H o but more refined treatment
consisting in the substitution of the solution (6) by the solution of the free
massive wave equation O ~ + M2~ = 0 in the de S i t t e r background (that does not
change Eq. (8) below in the leading approximation in [M21/Ho2) shows that the signi
f i c a n t l y weaker condition i ~n& I << max (Ho2/M2 , Ho/P , ~  i ) is s u f f i c i e n t .
I t can be also seen immediately that the account of the abovementioned thermal
correction to V ( ~ ) results in the substitution
(7)
in Eq. (6). This gives an effective infrared c u t  o f f that can be important in some
problems.
The scalar f i e l d ~ satisfies the operator equation of motion [ ~ ' + dV /d~ = 0
111
exactly. Using (5, 6) and the conditions of "slow r o l l i n g " (3), one obtains the
following equation f o r ~ in the leading order :
a Wo oL (8)
(zn')#" ,, +
That is the main point : the largescale scalar f i e l d ~l~ changes not only due to
the classical force d V ( ~ ) / d ~ but also due to the flow of i n i t i a l l y smallscale
quantum fluctuations across the de S i t t e r horizon k = a(t)H o in the process of expan
sion. Moreover, the evolution of inhomogeneous fluctuations is l i n e a r inside the de
S i t t e r horizon and even in some region outside i t ; on the other hand, the evolution
of ~ is nonlinear but here the spatial and second time derivatives o f ~ are small.
Below, we shall omit the bar above ~ , so ~ w i l l mean the largescale f i e l d only.
Two important consequences follow from Eq. (8). F i r s t l y , there are no spatial deri
vatives in Eq (8) at a l l . This means that the evolution of ~ can be studied
l o c a l l y , in the "point" ( t h i s "point" has, in f a c t , spatial dimension ~ Ho" I ) . The
temporal evolution o f ~ ) i s slow as compared to HoI ( i f the i n f l a t i o n exists at a l l ) ,
so our time " d i f f e r e n t i a l " dt can be also chosen .,, Ho1 ; only the processes with
characteristic times ~>> Hoi w i l l be considered. Secondly, though ~ and f have
a complicated operator structure, i t can be immediately seen that a l l terms in
Eq. (8) commute with each other because ~k and ~k+ appear only in one combination for
each possible ~ ! Thus, we can consider ~)and f as c l a s s i c a l , cnumber quantities.
But they are c e r t a i n l y stochastic, simply because we can not ascribe any d e f i n i t e
numerical value to the c o m b i n a t i o n [ ~ ~:C.~(~ ~ )  ( ~ ~ ) ] . As
a r e s u l t , the peculiar properties of the de S i t t e r spacetime  t h e existence of the
horizon and the appearance of the large " f r i c t i o n " term 3Ho~ in the wave equation
s i m p l i f y the problem of a nonequilibrium phase t r a n s i t i o n greatly and make i t s solu
tion possible, in contrast to the case of the f l a t spacetime.
I t is clear now that Eq. (8) can be considered as the Langevin equation f o r ~ b ( t )
with the stochastic force f ( t ) . The calculation of the correlation function for f ( t )
is straighforward and gives ( ~ i s the same throughout) :
< = Ho3
(9)
Thus f ( t ) has the properties of white noise. This appears to be the case because
d i f f e r e n t moments of time correspond to d i f f e r e n t k because of the ~ function
112
< > :
e.,~., 14.0 I~~1 "(10)
We are interested in the average values <F(~ )> where F is an arbitrary function.
For that case, one can introduce the normalized probability distribution ~ ( ~ ,t)
for the classical stochastic quantity (~
= ) so that
(too
~o,O
Now we have to introduce the i n i t i a l condition for ~ at the beginning of the "cold"
part of the i n f l a t i o n : ~ : I o ( ~ a t t = t O. The simplest possible choice would be
te(~) : ~ ) In f a c t , the situation is more complicated and depends on the
initial conditions at the Planckian moment tip = G. I f one assumes thermal e q u i l i 
brium before the de S i t t e r stage, then the contribution of thermal quanta of the
scalar f i e l d ~ with the rest mass m2(T) << T2 (B<<1) to ~ e ( ~ ) is gaussian with
the dispersion
< : L el,)
IT~ o
At T <<Ho, the main contribution to the integral is due to the region k~ko <<aT,
I ~ I < < 1 . Using (6,7), we obtain [I0,141 :
CW~
i f thermal equilibrium is assumed in the whole region inside the horizon at the
beginning of the de S i t t e r stage.
Thus, the i n i t i a l dispersion of ~ , in general, exceeds Ho2 s i g n i f i c a n t l y . Never
theless, i t appears (see below) that i f
then the i n i t i a l dispersion can be neglected because its effect on the average dura
tion of the de Sitter stage proves to be small. Therefore, there exists a set of pos
s i b l e (though not necessary) i n i t i a l conditions at t = t~,for which we can use the
i n i t i a l condition ~)o(~)=~(~)at t = to"
Note that, i f the last term in Eq.(12) can be neglected (that takes place in the be
114
ning of the "cold" period of i n f l a t i o n ) , then Eq. (12)is the usual diffusion equa
tion. Thus, the i n i t i a l l y gaussian distribution ~C(~) remains gaussian in the
course of time evolution and its dispersion changes as
~rr {
This is just the result obtained in [9,10,15J. In the presence of the quadratic po
tential V = M2~2/2, the distribution remains gaussian and the dispersion can be
obtained from the "oneloop" equation 1101
In this case, Eq.(20) below reduces to that of the harmonic o s c i l l a t o r and can be
solved analytically.
In the general case, the solution of Eq.(12) is :
3
a# ~ /
where ~ ( ~ } i s the complete orthonormal set of eigenfunctions of the Schrodinger
equation
i  2,
I t was explained at the end of Sec.2 that we may set V(eo) : JV(~)I =  ~ . Therefo
re, W(%m) = ~ and Eq.(20) has the discrete spectrum of eigenvalues only. For V(~)
given in Eq.(2), i t is the equation of the anharmonic (or doubly anharmonic) oscil
lator. The coefficients cn are obtained from the i n i t i a l condition for ~)(!T~, ~ )
at t = t o :
115
where g is some unknown function that has to be determined from the previous evolu
tion. The form of the solution represents the fact that the p r o b a b i l i t y is transpor
ted without changing along the classical paths
along the path (23). I f we do not make difference between r o l l i n g down to the l e f t
and to the r i g h t sides, then the resulting expression for w(ts) is
_ 3Uo
(26)
Then
(27)
C ~, ~ ~
a,:
I f the r o l l i n g is possible to the r i g h t ( l e f t ) side only, then C=O (C=1). For the
symmetric case V(~) = V(~) and ~ (  ~ ) = ~ ( ~ ) , C : . Now,
Con~".
(32)
~/Ho 
: (34)
(the constant term in the potential may be omitted because i t cancels in Eq.(35)).
After some manipulation, the expression (35) can be represented in the form contai
ning only one integration : 4
i
' o
] (3,)
where *'6"= 0.577 ... is the Euler constant. In this case, oneloop approximation
which consists in the substitution of <~4> by 3(<~2>)2 in the equation for <~2>
gives the result which is correct with the logarithmic accuracy :
H~
4~,,A~'> = No ae~ + 3
o.n,...Lo,,f ~ I m~'l R 71 ,qo ~ (38)
However, more accurate approach was developed in 1101 for this case which gave the
right answer. I t consists in the observation that in this case the stochastic force
f ( t ) in Eq.(8) is important then and only then when the classical force (dV(~)/d~)
can be neglected and vice versa. Thus, Eq.(8) can be integrated directly that gives
the following result for the stochastic quantity t s i t s e l f 1101 :
where ~ I is a gaussian stochastic quantity with zero average and the dispersion
:, (40)
Oneloop approximation gives the numerical coefficient in the second term equal to
~2 / ~ ' ~ 6 . 9 8 that is 2.56 times less.
It is intructive to consider the case of a manycomponent scalar field ~a with the
symmetry group O(N) and see how the oneloop approximation becomes exact in the limit
N  ~ . Let ~ = (~.a~a) . The strightforward application of the developed approach
shows that the corresponding generalization of Eq.(12) to the N{I case is :
W~ /
o
119
where SN is the area of the Ndimensional sphere (O(N)symetrical initial condition
for ~ is also assumed). If ~(~,t) =~(~) at t = t o, then, instead of Eq.(35), the
following expression for the average duration of the de Sitter stage results :
~ t ~ ~"~
where F(~,k) is the elliptic integral of the f i r s t kind. Also interesting is to cal
culate the change in the result (41) due to the spreading of the initial condition
at t = t o (the "thermal" correction). If .~C~}is the gaussian distribution with
the zero average and the dispersion ~)~ (see Eqs.(14,15), then by applying Eq.(29)
with C = the following result can be found :
z Z
_ ~n~ @ T Ho ;
(46)
q'~'~, << Ho
Thus, i f the condition (16) is satisfied, then the thermal correction is small ; in
the opposite case, the inflationary stage is very short.
3) ~ Ho2 ~ M2 ~ Ho2 ; IX~ i.
In this case, the result (36) simplifies to the form :
C.&rr= M ~ )
~EM" e ~ , . z, 3 Ho ~ (47)
120
The exponent j u s t coincides with the r e s u l t obtained by Hawking and Moss 181 with
the help of the de S i t t e r instanton. Thus, our approach reproduces the instanton re
sults without using instantons at a l l . Moreover, we have obtained a l i t t l e more 
the c o e f f i c i e n t of the exponential, that corresponds to the summation of a l l oneloop
diagrams on the instanton background in the standard functional integral approach.
The corresponding p r o b a b i l i t y d i s t r i b u t i o n w(ts) is determined by the lowest energy
level Eo of Eq.(20) with the excellent accuracy and, thus, is purely exponential :
4~'~ 4It ~
~oI4; _ ~M" ( _ 2. ~ M ,) "/ , ' ~ , / , ( 4 8 )
I t is clear in our approach that the transition of the scalar f i e l d through the po
tential barrier takes place only locally, that is, in the volume.~.Ho"3 (in fact,
somewhat larger), but not in the whole 3space. This fact can be also understood
in the functional integral approach i f one rewrites the de Sitter instanton in the
static, "thermal" form :
_ + (t_ +
~. {.,, M "B""I`
where "~ is periodic with the period 2 ~ H o  l . Then the instanton t e l l s us that
has reached the top of the potential b a r r i e r inside the horizon (r < Ho1) but gives
us no information about the behaviour of ~ outside the horizon.
That is enough for the case of the "new" i n f l a t i o n . Now we shall turn to the socal
led "primordial" i n f l a t i o n i l l 1 where i t is assumed that P ~ O, ~ = 0 and present
the most i n t e r e s t i n g results b r i e f l y . In t h i s case, the average duration of the de
S i t t e r stage is given by Eqs.(34,29) with C = O. Two l i m i t i n g cases are the most
important and representative.
i ) IM21 ~ Ho4/3 V 2 / 3 .
Then
/ ,~ F'("/s)(_g.)i4"o /s
(5o)
,.o ( " % , ) v, .
2) Ho4/3 ~ 2/3 ~ M2 ~ Ho2.
In t h i s case,
~,," U2 (51)
M~ q Hoe "v'~
121
Again, the exponent is j u s t the action for the HawkingMoss instanton which is equal
to the difference between the actions for the de S i t t e r instantons (49) with ~  m ~ x
: M~/p and ~: ~m{~=O. The third case M2<O, Ho4/3 ~ 2/3C IM21 ~ Ho2 reduces, in
fact, to the second one a f t e r s h i f t i n g the scalar f i e l d : ~ . = ~ E I  M~Jj/~ )
The quantitative results presented in the Sec. 2,3 were f i r s t published by the au
thor in the shorter form in Russian in i16,171. Two points should be emphasized,
however.
Firstly, though the quantity Y,~(a(ts)/a(to) ) = H o ( t s  t o ) has the welldefined probabi
l i t y d i s t r i b u t i o n w(ts), the quantity a ( t s ) / a ( t o ) does not, because EoHo2~l in all
cases. Thus, i t seems that the quantity ~na(t) is more suitable for the description
of the stochastic i n f l a t i o n than the scale factor a(t) i t s e l f .
Secondly, the calculated duration of the de S i t t e r stage gives us the typical size
of causally connected regions. However, only a minor last part of this i n f l a t i o n pro
duces regions those remain approximately homogeneous and isotropic in the course of
subsequent evolution. This follows from the fact that a f t e r the inflation~the space
time metric at scales much larger than the cosmological p o s t  i n f l a t i o n a r y particl~ol,~
horizon has the following simple structure in the proper ("ultrasynchronous") gauge.
ds 2 = d t 2  e x p ( h ( ~ ) ) a 2 ( t ) ( d x 2+dy2+dz 2) ; (52)
#I
h(~) = 2 ~(a(ts(3m))/a(to)),
where h(~) is not assumed to be small and a(t) is the scale factor for the s t r i c t l y
isotropic and homogeneous solution. The quantity h(~~) is essentially stochastic, its
rms value is of the order of its average (see, e.g., Eq.(45)). Thus, the metric (52)
becomes anisotropic and inhomogeneous in the course of the a f t e r  i n f l a t i o n a r y expan
sion when spatial gradients of h ( ~ (omitted in Eq.(52) in the leading approximation)
come into play. This situation i l l u s t r a t e s the wellknown fact that "general" i n f l a 
tion produces neither isotropy nor homogeneity of the presentday universe and, there
fore, cannot "explain" them without further assumptions. Nevertheless, i f the condi
tions (3) are f u l f i l l e d , then the last, "useful" part of i n f l a t i o n does produce suf
ficiently large regions with the degree of homogeneity and isotropy that matches the
observations. I t is important that during this part of i n f l a t i o n the stochastic force
f ( t ) in Eq.(8) becomes small as compared to the classical force (  d V ( ~ ) / ( d ~ . Then,
for regions those are not too large, h(~) can be represented in the form which was
used in 110,18211 :
~A~ 3H ~ ~ ~I (55)
123
Then the corresponding FokkerPlanck equation takes the form (H2can be expressed
through V(~)) :
?)
 4 { (5e)
I t is worthwhile to note that this equation has just the form one would expect to
follow from quantum cosmology because i t is no longer depends on such classical
quantities as t or H, but contains only fundamental variables ~ a and ~ which
remain in quantum case.
Now, the problem of the initial condition for j O ( ~ a ) arises In the studies
of classical chaotic i n f l a t i o n , i t is usually assumed that = ~Po at t=tp that
corresponds to 
'%eC~) (. ~ C ~  ~ ) f o r some . ~ 0 ~ . But such a condition con
tradicts the whole s p i r i t of quantum cosmology. A natural idea is to consider sta
tionary solutions (e.g., independent of ~ v ~ ) of Eq.(56). They can be thought of as
being in "equilibrium with spacetime foam" which may arise at planckian curvatures.
At f i r s t , we introduce the notion of the probability f l u x j ( ~ j ~ ) by rewriting
Eq.(56) in the form
"a~o.
(57)
S
Then, two types of stationary solutions arise : with no f l u x and with a constant f l u x
Jo
:~9 = const. V l e x p ( 3 / e G 2 v )  ~
3 ~Jo(GV)I exp(3/8 G2 V) J d ~ l exp(3/8 G2 V(~l)).
 
(58)
I t is interesting that the second solution with j { 0 does not, in fact, contain any
exponential at a l l . For G2V(~)~I that corresponds to curvatures much less than the
planckian one, its form for Jo<O is :
In this case, the stochastic force is unimportant. Thus, we have only two possibi
l i t i e s : e i t h e r the stationary solution contains the instanton contribution exp(S)
(where S is the action for the instanton, S<O) or the solution is nonexponential.
We have not obtained the solution proportional to exp(S) =exp(ISl) which was advo
cated by several authors (including the author of this paper) some time ago 128301.
I t seems that the l a t t e r solution describing the process of "quantum creation" of the
universe via quantum tunneling to the de Sitter stage, though possible formally, has
a very small probability also (with the same order of magnitude as above). This con
clusion is similar to that obtained by Rubakov 1311 thoughwe suppose that his ter
minology of "catastrophic particle creation in the process of quantum tunneling" is
inadequate ; in fact, no real particle creation takes place at the de Sitter instan
ton solution.
We introduced and elaborated the approach consisting in taking into account the chan
ge in a largescale scalar f i e l d due to the continuous flow of smallscale quantum
perturbations of the same scalar f i e l d across the de Sitter horizon during the de
Sitter (inflationary) stage. That gave us the p o s s i b i l i t y to find the e x p l i c i t expres
sions for the average duration of the de Sitter stage (and for any higher moment i f
necessary) in the case when the i n i t i a l probability distribution of the scalar f i e l d
before the beginning of de Sitter stage was known. Certainly, the method used in the
paper (as any other mathematical method) cannot solve the problem of i n i t i a l prein
flationary conditions ; new physical hypothesises (or "principles") are necessary
for this purpose.
What can be said now about the p o s s i b i l i t y of "spontaneous quantum creation of the
universe" which was so extensively discussed in 132351 ? To make the terminology
more precise, the author proposed some time ago 1361 (see also 130i) to call the
"quantum creation of the universe" the situation when we have a solution for the wave
function of the universe with a nonzero probability flux emerging from the region
of small values of a (or, equivalently, large values of spacetime curvature). This
proposal can be used in our stochastic approach also. Then the f i r s t stationary solu
tion of Eq.(56) (the f i r s t term in Eq.(58)) corresponds to the timesymmetric univer
se which has no beginning and was not created. This coincides with the Hawking's
interpretation of the HartleHawking wave function in quantum cosmology. In the case
of our f i r s t solution, we encounter the serious d i f f i c u l t y connected (as was explai
125
ned in Sec. 4) with the very small p r o b a b i l i t y of having the large duration of the
"useful" part of i n f l a t i o n .
The second s t a t i o n a r y solution with the nonzero p r o b a b i l i t y f l u x does correspond to
the "creation" of the universe but t h i s creation has very l i t t l e in common with the
picture that was introduced in 13235J. In p a r t i c u l a r , no quantum tunneling takes
place, and the evolution of the metric and the scalar f i e l d remains classical up
to the planckian curvatures. This type of creation was called the "classical crea
t i o n " in ]28J but i t should be clear that the "classical creation" is not a new con
cept but simply the paraphrase of the standard classical picture of a s i n g u l a r i t y as
a boundary of the spacetime through which the spacetime cannot be continued ; the
only difference is that now t h i s boundary is assumed to have a f i n i t e thickness o
The d i f f i c u l t i e s with the second solution are connected with our i m p o s s i b i l i t y at
the present time to prove the very existence of such a solution (in other words, to
prove the p o s s i b i l i t y of the quantum change of topology) and to say something d e f i 
n i t e about the value of Jo, i f i t is nonzero. Thus, the problem of the p o s s i b i l i t y
of the quantum creation of the universe remains open.
The author would l i k e to thank Prof. Norma Sanchez for the h o s p i t a l i t y in the Groupe
d'Astrophysique R e l a t i v i s t e de l'Observatoire de ParisMeudon where t h i s paper was
completed and the Centre National de la Recherche S c i e n t i f i q u e for f i n a n c i a l support.
References
G.JonaLasinlo
Dipartimento dl Fislca  Universit~ "La Sapienza",
GNSM and INFN  Rome
F_c(]) "a
(i)
/
where S(~) is the Euclidean action describing the system and W(x,t)
in the Wiener process characterized by the covarlance
(I .4)
is the L a p l a c i a n .
~0
where G satisfies
i
w h e r e ~= is a solution of the linear homogeneous part of (1.4). The
next step depends crucially on the dimensionality ~ .
E w (~(t I, X l ) ~ (t 2, x 2 )   ~ (t n, xl~))
field. The Wick product can be taken with respect to the covarianee
130
=  C *: V ( ): + Z (t.8)
where
EZo (d d   ~ ) = 1 (i.li)
z% A
(1.12)
+ 0Tdt (Z 3
with O ~ I and
In/9/ it was shown that for ~ L T ~ the methods used for P ( j )2 are
sufficient to prove the existence of an ergodie weak solution of
(1.13). The previous equation (1.8) corresponds to ~ = i. The
approach to e q u i l i b r i u m is slower for (1.13).
References
2) For a review see for example B.Saklta, 7th Johns Hopkins Work
shop, ed. G.Domokos, S . K o v e s i  D o m o k o s (World Scientific, Singa
pore 1983).
Michael B. G r e e n ,
P h y s i c s D e p a r t m e n t , Queen Mary College, U n i v e r s i t y o f L o n d o n , U.K.
The q u e s t i o n of how to r e c o n c i l e t h e c l a s s i c a l d e s c r i p t i o n o f t h e g r a v i t a t i o n a l
force embodied in Einstein's general theory of relativity with the principles of
q u a n t u m t h e o r y is a c e n t r a l i s s u e in t h e o r e t i c a l p h y s i c s . A simple a p p l i c a t i o n of t h e
u n c e r t a i n t y p r i n c i p l e s h o w s t h a t a t a d i s t a n c e , Ax, a r o u n d t h e P l a n c k scale, i.e.
S0(32) o r E8 x E8 (2)
D = 10 (3)
CHIRALITY
CHIRAL ANOMALIES
A n y c h i r a l t h e o r y is l i k e l y to b e p l a g u e d b y i n c o n s i s t e n c i e s k n o w n a s c h i r a l
gauge "anomalies". These represent the breakdown in the quantum theory of
s a c r o s a n c t c o n s e r v a t i o n laws t h a t w e r e built into the classical theory. Anomalies
may in general arise in the conservation of YangMills currents and in the
c o n s e r v a t i o n of g r a v i t a t i o n a l c u r r e n t s i.e. t h e e n e r g y  m o m e n t u m t e n s o r (as well a s in
the supersymmetry current). I n f o u r d i m e n s i o n s a t h e o r y w i t h Weyl f e r m i o n s also
contains a n t i  f e r m i o n s of the opposite chirality. Only if the fermions lie in a
complex r e p r e s e n t a t i o n of a gauge group (so that the antifermions lie in the
complex c o n j u g a t e r e p r e s e n t a t i o n ) is t h e t h e o r y c h i r a l . I n t h a t c a s e t h e r e may b e
YangMills a n o m a l i e s b u t no g r a v i t a t i o n a l a n o m a l i e s s i n c e g r a v i t y is i n s e n s i t i v e to
the gauge group quantum numbers. H o w e v e r , in t e n d i m e n s i o n s ( a n d g e n e r a l l y in
4n+2 d i m e n s i o n s ) a f e r m i o n a n d i t s a n t i  p a r t i c l e h a v e t h e same c h i r a l i t y a n d there
can be both YangMills anomalies (with fermions in any representation) and
g r a v i t a t i o n a l anomalies.
The e x i s t e n c e of anomalies r e n d e r s a t h e o r y i n c o n s i s t e n t b e c a u s e t h e y lead to a
violation o f u n i t a r i t y d u e to t h e c o u p l i n g of u n p h y s i c a l l o n g i t u d i n a l m o d e s of g a u g e
p a r t i c l e s to t h e p h y s i c a l t r a n s v e r s e modes. Up to l a s t s u m m e r it h a d b e e n t h o u g h t
that there were no anomalyfree chiral theories with gauge groups in ten
dimensions. I t was t h e n d i s c o v e r e d 3 t h a t a n o m a l i e s may be a b s e n t f r o m t h e o r i e s
with the gauge groups mentioned earlier.
Superstring t h e o r i e s with t h e s e g a u g e g r o u p s a r e b o t h f r e e f r o m a n o m a l i e s a s
well a s t h e i n f i n i t i e s t h a t p l a g u e q u a n t u m t h e o r i e s of g r a v i t y (as f a r a s h a s b e e n
checked). T h e s e s u c c e s s e s a r e u n p r e c e d e n t e d in a n y q u a n t u m t h e o r y o f g r a v i t y .
A ( m a s s ) 2 = 2~T (4)
137
These states also have spins which increase without bound since they lie on
straightline Regge trajectories (with s l o p e c~'  1/2zyT). This is n o t a n a c c i d e n t 
s t r i n g t h e o r y o r i g i n a t e d in t h e l a t e 1960's w i t h t h e d u a l r e s o n a n c e model 4 w h i c h was
developed to explain h a d r o n i c phenomena. The e a r l i e s t s t r i n g theory (the bosonic
string t h e o r y 5) h a d a c r i t i c a l d i m e n s i o n D   2 6 while t h e spinning6 string theory
w h i c h also i n c o r p o r a t e d f e r m i o n s had D  10. I t was n o t i c e d t h a t t h e s p e c t r u m of
t h e s p i n n i n g s t r i n g t h e o r y c o u l d be t r u n c a t e d to g i v e a s u p e r s y m m e t r i c s p e c t r u m 7
i.e. a t every mass level t h e r e are an equal n u m b e r of b o s o n a n d f e r m i o n s t a t e s .
This gave rise to the explicit construction of theories with spacetime
supersymmetry over the last five y e a r s 8. I shall refer to these theories as
superstring theories. The g r o u n d s t a t e s of s u p e r s t r i n g theories are m a s s l e s s (in
contrast to the earlier string theories which were plagued by having tachyonic
ground states i.e. states with negative (mass)2). These massless states form
supersymmetry multiplets corresponding to the familiar massless states in
tandimensional superYangMills and supergravity.
The m a s s s c a l e s e t b y t h e s t r i n g t e n s i o n is s u p p o s e d t o b e t h e P l a n c k s c a l e (in
ten dimensions). T h i s m e a n s t h a t , f o r m a n y p u r p o s e s , w h e n c o n s i d e r i n g momentum
scales much less than the Planck scale the higher mass states are effectively
infinitely massive and t h e y decouple leaving an effective " l o w  e n e r g y " t h e o r y of the
massless ground states. This is just a conventional point field theory such as
supergravity and superYangmills. The f u n d a m e n t a l p a r t i c l e s o b s e r v e d in n a t u r e
(the quarks, leptons, gauge particles,....) should occur among the massless g r o u n d
s t a t e s s i n c e t h e i r m a s s e s a r e n e g l i g i b l e c o m p a r e d to t h e P l a n c k mass. However, t h e
fact that the low e n e r g y theory has arisen from an almost unique superstring
theory suggests t h a t t h e p a r a m e t e r s m e a s u r e d in e x p e r i m e n t s ( s u c h a s t h e m a s s e s
and coupling strengths) s h o u l d b e d e t e r m i n e d w i t h little a m b i g u i t y f r o m t h e t h e o r y .
At m o m e n t u m s c a l e s a r o u n d t h e P l a n c k s c a l e t h e m a s s i v e s t a t e s of t h e s t r i n g c a n
b e e x c i t e d so t h a t superstring theory then d i f f e r s r a d i c a l l y from a n y p o i n t field
theory. T h i s s c a l e is j u s t where the problems with quantum gravity arise. I t is
because they differ from E i n s t e i n ' s t h e o r y (or a n y supergravity field theory) at
these scales that certain superstring theories avoid quantum inconsistencies. In a
spacetime picture the strings h a v e a n a v e r a g e s i z e of t h e P l a n c k l e n g t h so t h e y
appear as points when looked at c o a r s e l y b u t their n o n  z e r o e x t e n s i o n is c r u c i a l
w h e n c a l c u l a t i n g q u a n t u m f l u c t u a t i o n s a t small s c a l e s .
SUPERSTRING DYNAMICS
I will g i v e a v e r y s k e t c h y o u t l i n e o f t h e w a y in w h i c h t h e d y n a m i c s of a f r e e
superstring is f o r m u l a t e d .
As a string moves through spacetime it sweeps out a (twodimensional)
worldsheet just as a point particle traces out a worldline. The spacetime
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c o o r d i n a t e o f a n y p o i n t on t h e s t r i n g a t a g i v e n time, X~(O,r), is a f u n c t i o n o f t h e
two p a r a m e t e r s o f t h e w o r l d  s h e e t , a a n d T, a n d /J ( = 0,1,...9) is a s p a c e  t i m e v e c t o r
index. In superstring theories there are additionally one or two anticommuting
coordinates oa(a,T) which are Weyl spinets (which have 16 components in ten
d i m e n s i o n s ) l a b e l l e d b y t h e i n d e x a = 1,2,...16. These spinor coordinates embody the
s u p e r s y m m e t r y of t h e t h e o r y (X~ a n d e a a r e s u p e r s p a c e c o o r d i n a t e s ) .
The classical dynamics of a relativistic string is obtained from an action
principle t h a t g e n e r a l i z e s t h a t of a relativistic point particle. J u s t as the action for
a r e l a t i v i s t i c p o i n t p a r t i c l e is t h e l e n g t h of i t s w o r l d  l i n e , t h e a c t i o n f o r a s t r i n g is
taken to b e p r o p o r t i o n a l to t h e a r e a of t h e w o r l d  s h e e t 9. This is a g e o m e t r i c a l
quantity which does not depend on the way in which the worldsheet is
parametrized. In t h e case of the s u p e r s t r i n g theories the notion of the a r e a is
g e n e r a l i z e d so t h a t , r o u g h l y s p e a k i n g , t h e a c t i o n i s p r o p o r t i o n a l t o t h e a r e a o f t h e
worldsheet in superspace. The fact that the action, S, is i n d e p e n d e n t of the
p a r a m e t r i z a t i o n o f t h e t w o  d i m e n s i o n a l w o r l d  s h e e t m a k e s i t like a t h e o r y o f g r a v i t y
in t h e t w o  d i m e n s i o n a l a  r s p a c e 10
theories.
The solutions of the classical equations, derived from the action, can be
e x p a n d e d in a n i n f i n i t e s e t of normal m o d e s w h i c h c a n then be q u a n t i z e d . The
s p e c t r u m d e p e n d s on the b o u n d a r y conditions.
A string with free e n d p o i n t s can c a r r y internal quantum numbers associated
w i t h a c l a s s i c a l g r o u p 12 (SO(n), U(n) o r U S p ( n ) ) . The c h a r g e s a r e a t t a c h e d t o t h e
e n d s o f t h e s t r i n g ( r a t h e r like t h e old p i c t u r e of a m e s o n a s a s t r i n g w i t h a q u a r k
at one end and an a n t i  q u a r k at the other). It turns out that a string with free
e n d p o i n t s has a massless v e c t o r particle among its massless states. This a p p a r e n t l y
a c c i d e n t a l f e a t u r e is t h e r e a s o n w h y s t r i n g t h e o r i e s r e d u c e to YangMills t h e o r i e s in
t h e l o w  e n e r g y limit 13 ( w h e n all t h e m a s s i v e s t a t e s e f f e c t i v e l y d e c o u p l e ) .
A closed string contains a massless spin2 particle which is the graviton
associated with the fact that the low energy effective theory contains general
r e l a t i v i t y 14.
When t h e interactions between strings are included there is a remarkable
u n i f i c a t i o n b e t w e e n g r a v i t y a n d YangMills. In the t h e o r i e s c o n t a i n i n g o p e n s t r i n g s
( k n o w n a s t y p e I t h e o r i e s ) two o p e n s t r i n g s interact by joining at their endpoints
to f o r m a s i n g l e o p e n s t r i n g o r a n o p e n s t r i n g s p l i t s i n t o two s t r i n g s .
Fig.(1)
T h i s is a local i n t e r a c t i o n a n d consistency requires t h e same i n t e r a c t i o n to c o u p l e
t h e two e n d s o f a s i n g l e o p e n s t r i n g to f o r m a c l o s e d s t r i n g a s i l l u s t r a t e d b y
Fig.(2)
so t h a t t h e e x i s t e n c e o f o p e n s t r i n g s ( a n d h e n c e t h e YangMills s e c t o r ) r e q u i r e s t h e
existence of closed strings (and hence the gravity sector). The gravitational
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c o n s t a n t j K, a n d t h e YangMills c o u p l i n g , g, a r e r e l a t e d b y K ~ g2T.
T h e r e a r e also t h e o r i e s w i t h o n l y c l o s e d s t r i n g s . For example, t y p e II t h e o r i e s
describe closed strings which have an orientation i.e. they have excitations
c o r r e s p o n d i n g to waves r u n n i n g a r o u n d the s t r i n g i n d e p e n d e n t l y in e i t h e r direction
( t h e II r e f e r s to t h e f a c t t h a t t h e s e t h e o r i e s h a v e twice a s much s u p e r s y m m e t r y ) .
T h e s e t h e o r i e s may h a v e no n e t c h i r a l i t y ( t y p e IIa) o r may b e c h i r a l ( t y p e IIb).
The l a t t e r t h e o r y is s t r i k i n g s i n c e i t s low e n e r g y limit y i e l d s a p o i n t f i e l d t h e o r y 15
w h i c h is f r e e from all g r a v i t a t i o n a l a n o m a l i e s 16. H o w e v e r , t y p e II t h e o r i e s do n o t
have an internal symmetry group and so do n o t r e d u c e in a n y o b v i o u s way to a
chiral fourdimensional theory.
The m o s t i n t e r e s t i n g k i n d of s u p e r s t r i n g t h e o r y is t h e h e t e r o t i c s u p e r s t r i n g 17,
This d e s c r i b e s c l o s e d s t r i n g s w h i c h c a r r y i n t e r n a l s y m m e t r y ( u n l i k e t h e o t h e r c l o s e d
superstring theories} with charges which are smeared out as densities along the
string. These theories are built from m o d e s of t h e tendimensional superstring
running around the string in o n e s e n s e w i t h m o d e s o f t h e 2 6  d i m e n s i o n a l b o s o n i c
s t r i n g t h e o r y r u n n i n g a r o u n d in t h e o t h e r s e n s e : This a p p a r e n t l y bizarre mixture
o f d i m e n s i o n a l i t i e s is reconciled by the i d e n t i t y 18 26 = 10+16 w h e r e t h e f i r s t ten
d i m e n s i o n s o f t h e r i g h t p o l a r i z e d m o d e s a r e t a k e n to be t h e s p a c e  t i m e d i m e n s i o n s .
The other sixteen dimensions become i n t e r n a l coordinates forming a hypertorus
associated with a sixteen dimensional lattice. The c o n s i s t e n c y of t h e t h e o r y r e q u i r e s
this lattice to be even and selfdual. There are known to be only two such
l a t t i c e s 19 w h i c h a r e r e l a t e d to t h e r o o t l a t t i c e s o f t h e g r o u p s E 8 x E 8 a n d SO(32)
(or, more accurately, the group (Spin 32)/Z 2 which has the same algebra as SO(32)).
Therefore the heterotic string theory is only consistent for the two groups that
were already k n o w n to be selected by requiring the absence of anomalies. In the
heterotic string theory K g/CT.
SUPERSTRING INTERACTIONS
Superstring s c a t t e r i n g a m p l i t u d e s c a n b e c a l c u l a t e d in p e r t u r b a t i o n theory by
c o n s t r u c t i n g a s e r i e s o f d i a g r a m s t h a t g e n e r a l i z e t h e F e y n m a n d i a g r a m s o f familiar
point field theories.
Tree Diagrams
Fig.(3)
This diagram describes two i n c o m i n g c l o s e d s t r i n g s which join together by touching
at a point to form one intermediate closed string which subsequently splits into the
two f i n a l s t r i n g s (time is t a k e n to b e i n c r e a s i n g f r o m l e f t to r i g h t ) . I t is p o s s i b l e
t o d e r i v e t h e a m p l i t u d e f o r d i a g r a m s l i k e fig.(3) e i t h e r b y a s t r i n g g e n e r a l i z a t i o n of
Feynman's path integral approach to q u a n t u m m e c h a n i c s o r f r o m a s e c o n d  q u a n t i z e d
formalism expressed in terms of s t r i n g fields which create and destroy complete
strings. Unfortunately, f o r t h e m o m e n t t h e o n l y c o m p l e t e f o r m u l a t i o n of t h e f i e l d
theory of s t r i n g s 20 is i n a s p e c i a l g a u g e 21 ( t h e lightcone gauge) which is not
satisfactory for understanding the geometric structure of t h e theory but suffices
for perturbative calculations. A string field, ~[X(a),e(a)], is a f u n c t i o n a l of t h e
string configuration. A particularly important aspect of c l o s e d string theories is
that the interactions only involve terms which are cubic in closedstring f i e l d s (as
can be seen by slicing through the worldsheet of fig.(3) a t t h e p l a c e w h e r e o n e of
the interactions takes place) corresponding to t h e local j o i n i n g o r s p l i t t i n g of t h e
strings
Fig.(4)
( w h i c h is t h e c l o s e d  s t r i n g a n a l o g u e of t h e o p e n  s t r i n g i n t e r a c t i o n of fig.(1). There
are no higher order contact interactions whereas in the perturbative treatment of
gravity based on the EinsteinHilbert action there are an infinite number of
interaction terms involving contact interactions between arbitrary numbers of
gray/tons. All t h e s e contact terms emerge as low e n e r g y effective interactions
arising from the exchange of the massive string states between cubic string
vertices. T h i s is a n a l o g o u s t o t h e w a y i n w h i c h t h e f o u r  F e r m i model of t h e w e a k
i n t e r a c t i o n s i s now k n o w n to e m e r g e a s a n e f f e c t i v e t h e o r y f r o m t h e W e i n b e r g  S a l a m
t h e o r y a t e n e r g i e s m u c h l e s s t h a n t h e W o r Z b o s o n mass.
142
Fig.(3) g e n e r a l i z e s t h e f o u r  g r a v i t o n t r e e d i a g r a m c o n t r i b u t i o n to t h e s c a t t e r i n g
amplitude of E i n s t e i n ' s theory (since the graviton is o n e of t h e massless string
states). T a k i n g t h e e x t e r n a l s t a t e s to b e g r a v i t o n s t h i s a m p l i t u d e is g i v e n b y
Loop D i a g r a m s
Ca) (b)
Fig.(~)
T h e r u l e s of s t r i n g t h e o r y m a k e t h e s e two d i a g r a m s e q u i v a l e n t b e c a u s e t h e y c a n b e
distorted into each other. This equivalence between different distortions of t h e
worldsheet is a striking property of string theories {"duality") which has no
a n a l o g u e in p o i n t field t h e o r y . Fig. 5(a) l o o k s like a s t r i n g box d i a g r a m while fig.
5(b) looks like a tadpole diagram. In the original bosonie and spinning string
theories there is a n i n f i n i t y 22 i n t h i s a m p l i t u d e . This infinity has a very simple
interpretation in terms of the tadpole diagram configuration (fig. 5(b)). The
propagator i n t h e leg of t h e t a d p o l e is s i n g u l a r s i n c e i t i n c l u d e s ( a m o n g a n i n f i n i t e
set of s t a t e s ) the contribution from the massless scalar partner of the graviton
which has the form 1/k 2 where t h e m o m e n t u m i n t h e leg, k, i s z e r o b y m o m e n t u m
conservation. T h i s d e s c r i p t i o n of t h e d i v e r g e n c e of a loop d i a g r a m a s a n i n f r a  r e d
e f f e c t is u n i q u e to s t r i n g theories. The discovery that the type II s u p e r s t r i n g
t h e o r i e s a r e f i n i t e a t o n e loop 23 was t h e f i r s t i n d i c a t i o n t h a t superstring theories
143
might be consistent quantum field theories (remember that the loop integral is
evaluated in 10 dimensions where ordinary point field theories have terribly
ultraviolet divergences). This result h a s also r e c e n t l y been established for the
heterotic superstring t h e o r y 24.
I t h a s a l s o now b e e n e s t a b l i s h e d t h a t t h e o p e n  s t r i n g oneloop amplitudes with
gauge group SO(32) a r e f i n i t e w i t h f o u r 25 (or m o r e 26) e x t e r n a l s t a t e s a n d i n f i n i t e
for any other gauge group.
It is probable that any possible divergences at higher loops can also be
associated with the emission of massless scalar particles at zero momentum via
generalized tadpoles. F o r example, a t t w o l o o p s t h e d i v e r g e n t t a d p o l e c o n t r i b u t i o n
to a c l o s e d  s t r i n g a m p l i t u d e is r e p r e s e n t e d b y t h e ("E.T.") d i a g r a m .
Fig.(6)
From t h i s it follows t h a t t h e c o n d i t i o n f o r a n a m p l i t u d e to be f i n i t e a t a n y n u m b e r
of loops is t h a t ~ = 0 where ~ is t h e o n  s h e l l c o u p l i n g o f t h e
m a s s l e s s s c a l a r p a r t i c l e to t h e g e n e r a l t a d p o l e . But t h i s c o n d i t i o n is p r e c i s e l y t h e
requirement that there be an u n b r o k e n supersymmetry. Since s u p e r s y m m e t r y can
o n l y b e b r o k e n in p e r t u r b a t i o n t h e o r y in t e n d i m e n s i o n s if t h e r e a r e a n o m a l i e s it
follows t h a t f r e e d o m f r o m a n o m a l i e s *~ f i n i t e n e s s 27.
I t is i m p o r t a n t to e s t a b l i s h b y e x p l i c i t c a l c u l a t i o n w h e t h e r t h e t h e o r i e s a r e f i n i t e
to all o r d e r s . This is being intensively studied at the present time28, 29 a n d a
complete p r o o f of f i n i t e n e s s (at least for the type II and heterotic superstring
t h e o r i e s ) s h o u l d b e f o r t h c o m i n g in t h e n e a r f u t u r e .
A N O M A L I E S A N D THEIR C A N C E L L A T I O N
The s i g n a l f o r a n a n o m a l y is t h e p r e s e n c e of a n o n  z e r o c o u p l i n g b e t w e e n a n
u n p h y s i c a l l o n g i t u d i n a l mode of a g a u g e p a r t i c l e a n d a n y p h y s i c a l t r a n s v e r s e modes.
Just a s in f o u r dimensions an anomaly can arise from a triangle diagram, in ten
dimensions an anomaly can arise from a hexagon diagram with c i r c u l a t i n g ehiral
fermions and external gauge particles. F o r example, t h e e v a l u a t i o n o f t h e a n o m a l y in
t h e YangMills c u r r e n t in a t y p e I t h e o r y r e q u i r e s t h e c a l c u l a t i o n of
144
Fig.(7)
where the i n t e r n a l lines are o p e n s t r i n g p r o p a g a t o r s and one of the external s t a t e s
is a longitudinal mode o f a YangMills p a r t i c l e while the others are transverse
modes. The r e s u l t of t h i s c a l c u l a t i o n is t h a t t h e anomaly v a n i s h e s 3 w h e n t h e g a u g e
g r o u p is SO(32).
T h i s may a p p e a r p u z z l i n g b e c a u s e t h e h e x a g o n d i a g r a m s o f t h e c o r r e s p o n d i n g
low e n e r g y massless point field theory do not give a vanishing anomaly. The
explanation is b as ed on the fact t h a t c e r t a i n o p e n  s t r i n g hexagon diagrams contain
closedstring bound states in v a r i o u s channels. These bound states include the
massless s t a t e s of the s u p e r g r a v i t y sector which means that the lowenergy theory
(in w h i c h all t h e m a s s i v e s t a t e s d e c o u p l e ) g e t s c o n t r i b u t i o n s f r o m t h e s e s t a t e s in
addition to the expected anomalous c o n t r i b u t i o n from the massless hexagon diagrams.
These extra terms have the form of tree diagrams in which the supergravity
particles are exchanged and w h i c h h a v e anomalies w h i c h e x a c t l y c a n c e l t h e usual
a n o m a l y of t h e m a s s l e s s h e x a g o n d i a g r a m s . This explains the a b s e n c e of an anomaly
in t h e l a n g u a g e o f t h e l o w  e n e r g y p o i n t f i e l d t h e o r y a s b e i n g d u e to a c a n c e l l a t i o n
b e t w e e n t h e e x p e c t e d q u a n t u m a n o m a l y ( d u e to t h e u s u a l h e x a g o n d i a g r a m s ) a n d a
new, a n o m a l o u s , t e r m in t h e c l a s s i c a l t h e o r y (associated with these tree diagrams).
The new t e r m c a n b e t h o u g h t of a s a n a d d i t i o n a l (anomalous) t e r m in t h e e f f e c t i v e
p o i n t f i e l d t h e o r y a c t i o n w h i c h is a local polynomial in t h e f i e l d s . This m e c h a n i s m
d e p e n d s o n a d e l i c a t e i n t e r p l a y b e t w e e n g r a v i t a t i o n a l a n d YangMills e f f e c t s .
The a n o m a l i e s a s s o c i a t e d w i t h g r a v i t a t i o n a l c u r r e n t s ( d u e to h e x a g o n d i a g r a m s
with external gravitons) and the mixed a n o m a l i e s (due to h e x a g o n d i a g r a m s with
e x t e r n a l YangMiUs p a r t i c l e s t o g e t h e r w i t h g r a v i t o n s ) h a v e n o t y e t b e e n c a l c u l a t e d
in t h e superstring theories. However, t h e a n a l y s i s of t h e low e n e r g y p o i n t field
theory was carried out for these a n o m a l i e s also 3. It turned out that all the
anomalies can be cancelled by adding local a n o m a l o u s terms to t h e a c t i o n if t h e
YangMills g r o u p , G, is s u c h t h a t :
(a) The d i m e n s i o n of t h e a d j o i n t r e p r e s e n t a t i o n of G  496 (which g u a r a n t e e s
the a b s e n c e of the gravitational anomalies).
(b) An a r b i t r a r y matrix, F, in t h e a d j o i n t r e p r e s e n t a t i o n of G satisfies
(which ensures the absence of the YangMills and mixed anomalies). The only
g r o u p s f o r w h i c h t h e s e c o n d i t i o n s a r e s a t i s f i e d a r e S0(32) a n d E8 x E8 ( a p a r t f r o m
t h e p r e s u m a b l y u n i n t e r e s t i n g c a s e s (U(1) 496 a n d E 8 x U(1)248). The t y p e I t h e o r i e s
do n o t a d m i t e x c e p t i o n a l g r o u p s b u t t h e h e t e r o t i c s t r i n g i n c o r p o r a t e s b o t h of t h e m .
F o r c o m p l e t e n e s s i t w o u l d b e d e s i r a b l e f o r t h e a n a l y s i s of p o s s i b l e s u p e r s y m m e t r y
a n o m a l i e s to b e c a r r i e d o u t 30.
The p r e c e d i n g discussion referred to a n o m a l i e s a s s o c i a t e d w i t h i n f i n i t e s s i m a l
gauge transformations. There is still t h e p o s s i b i l i t y of a n o m a l i e s in the "large"
transformations which are n o t c o n t i n u o u s l y c o n n e c t e d to t h e i d e n t i t y . There are,
f o r example, k n o w n to b e 991 t y p e s of l a r g e g e n e r a l c o o r d i n a t e t r a n s f o r m a t i o n s in
ten dimensional spherical spacetime. T h e s e h a v e b e e n s h o w n n o t to b e a n o m a l o u s
for the cases in which the gauge group is one of those free of infinitessimal
anomalies31. T h i s r e s u l t h a s a l s o b e e n g e n e r a l i z e d 32 with some a s s u m p t i o n s to more
general spaces than the tensphere in t h e c a s e of t h e E 8 x E 8.
___ly + L
H~9 = a l i v e ] 30 ~ e w~ (8)
T h i s c o h o m o l o g y c o n s t r a i n t h a s two immediate a n d i m p o r t a n t c o n s e q u e n c e s :
(a) It is t h e condition that ensures that the anomalies which were previously
s h o w n to v a n i s h in f l a t t e n  d i m e n s i o n a l s p a c e continue to be a b s e n t when some
146
d i m e n s i o n s are curved.
(b) It indicates that in general w h e n there is nonzero curvature, so that R~aj*0,
the YangMills field strength is also nonzero, i.e. F~#0. This is just what is
needed, since a nonzero field strength will lead to a breaking of the (very large)
gauge group of the tendimensional theory to a smaller group in the compactified
theory (which will hopefully be of more direct interest for physics).
R~, ~ F ~ (i0)
(suppressing the matrix indices) so that the field strength is also nonzero in an
SU(3) subgroup of E 8 x E 8 (the SO(32) case does not appear to hold m u c h prospect
of describing physics). As a result the symmetry is broken down to a subgroup
that commutes with that SU(3), namely
E6 E8 (11)
The E6 factor plays the r61e of a Grand Unified group for the effectively
fourdimensional theory (familiar from t h e P h e n o m e n o l o g y o f t h e m i d  1 9 7 0 ' s 35) but
with certain novel features. The E 8 f a c t o r d e s c r i b e s a n o t h e r s e c t o r o f m a t t e r ( t h a t
has been dubbed ' s h a d o w m a t t e r ' ) c o n s i s t i n g of p a r t i c l e s w h i c h a r e n e u t r a l u n d e r
t h e E6 f o r c e s a n d t h e r e f o r e u n d e t e c t a b l e e x c e p t via t h e i r g r a v i t a t i o n a l i n t e r a c t i o n s
w i t h t h e m a t t e r t h a t we o b s e r v e . I t i s h i g h l y n o n  t r i v i a l t h a t i t is p o s s i b l e f o r t h e
147
symmetry to break in this manner and yet be consistent with the topological
c o n d i t i o n s implied b y eq.(9).
Consequences
There isn't yet any systematic procedure f o r c l a s s i f y i n g all p o s s i b l e C a l a b i  Y a u
spaces but it has been conjectured by Yau that there are a discrete but large
n u m b e r of s u c h s p a c e s ( a p p r o x i m a t e l y 10000!) a n d s o it i s to b e h o p e d t h a t f u r t h e r
theoretical constraints will restrict the choice. For the moment the particular
CalabiYau space used for t h e six compact d i m e n s i o n s is a d i s c r e t e parameter that
can be c h o s e n a r b i t r a r i l y . However, the phenomenological considerations described
below provide such severe restrictions that no single space so far constructed
encompasses all desirable features. Nevertheless, the way in which s o m e of the
known spaces come close to explaining various aspects of "low energy" physics
m a k e s u s e of s u c h r e m a r k a b l e f e a t u r e s t h a t it s e e m s l i k e l y t h a t t h e s c h e m e h a s t h e
potential for making contact with physics. Some of the major features of this
s c h e m e follow.
(a) U n l i k e w i t h c o n v e n t i o n a l k i n d s of u n i f i e d t h e o r i e s , t h e r e a r e f e w a d j u s t a b l e
parameters once the CalabiYau space has been selected. For example, t h e n u m b e r
of s p e c i e s of m a s s l e s s p a r t i c l e s (and hence the number of fermion g e n e r a t i o n s ) is
determined by a topological property of t h e s p a c e , n a m e l y , it i s e q u a l to ~ x ( E u l e r
characteristic). An aspect of this scheme that is crucial for describing E6
phenomenology is that the massless chiral fermions in the effectively
fourdimensional theory lie in the complex E6 representation 27 (which is again
consistent with eq.(9)). T h e r e is no f r e e d o m to a d j u s t the particle c o n t e n t so t h i s
is a l r e a d y a notable s u c c e s s for t h e scheme.
(b) T h o s e s p a c e s w h i c h g i v e r i s e to a s m a l l n u m b e r o f f e r m i o n f a m i l i e s ( t h e E6
phenomenology restricts t h e n u m b e r to b e t h r e e o r f o u r ) t u r n o u t to h a v e h o l e s i n
them (they are not simply connected). This in turn p l a y s a k e y rble in allowing t h e
E6 s y m m e t r y to b r e a k d o w n to a r e a l i s t i c low e n e r g y symmetry. In conventional
unified point field theories symmetry breaking can be introduced by arbitrarily
adding Higgs fields. This cannot be d o n e i n s u p e r s t r i n g theories s i n c e t h e y allow
no s u c h adjustable parameters. However, loops of E 6 flux can become trapped in
the holes in t h e compact space, which has the same effect as having an effective
Higgs field in the adjoint representation. With t h i s t o p o l o g i c a l m e c h a n i s m t h e v a l u e s
of t h e e f f e c t i v e Higgs fields a r e d e t e r m i n e d , u p to a d i s c r e t e c h o i c e , w h i c h in t u r n
determines, u p to a d i s c r e t e choice, t h e way in which E6 b r e a k s to a low e n e r g y
symmetry group. A m o n g p o s s i b l e low e n e r g y symmetry groups a r e 36
SU(3) x SU(2) x U(1) x U(1) x U(1), SU(3) x SU(2) x S U ( 2 ) , ... A g e n e r i c f e a t u r e of
t h i s m e c h a n i s m is t h a t t h e r e i s a l w a y s e x t r a low e n e r g y s y m m e t r y in a d d i t i o n to t h e
standard m o d e l ( t h e r e s i d u a l g r o u p h a s to h a v e a t l e a s t r a n k 5).
The m e c h a n i s m of b r e a k i n g t h e s y m m e t r y by flux loops c a n n o t be c o n t i n u o u s l y
s w i t c h e d off. T h i s m e a n s t h a t t h e E6 s y m m e t r y i s n e v e r a n e x a c t s y m m e t r y o f t h e
148
p a r t i c l e s a n d t h e e x i s t e n c e of s h a d o w m a t t e r . ]
THEORETICAL DEVELOPMENTS
(a) S t r i n g T h e o r i e s i n C u r v e d S p a c e  T i m e .
The s t r i n g a c t i o n s o f t h e f o r m o f eq. (5), w h i c h d e s c r i b e t h e motion of a s t r i n g
in a flat Minkowski space background (with metric ~) can be thought of as
t w o  d i m e n s i o n a l field t h e o r i e s of g r a v i t y (in w h i c h t h e " f i e l d s " a r e t h e s u p e r s p a c e
coordinates}. The t r e e d i a g r a m s of t h e c l o s e d  s t r i n g t h e o r y a r e a s s o c i a t e d w i t h a
twodimensional worldsheet (as in fig. 3) which is a closed surface that is
t o p o l o g i c a l l y e q u i v a l e n t to a s p h e r e . The n  l o o p c o r r e c t i o n s ( i l l u s t r s t e d i n fig. 5)
c o r r e s p o n d to t w o  d i m e n s i o n a l s u r f a c e s w i t h n h a n d l e s . T h e r e f o r e to a n y o r d e r in
string perturbation theory a string theory is equivalent to a twodimensional
g r a v i t a t i o n a l t h e o r y e v a l u a t e d o n a manifold of p a r t i c u l a r g e n u s . This v i e w p o i n t is
a t h e m e in m a n y i n t e r e s t i n g d e v e l o p m e n t s .
(i) The heterotic s u p e r s t r i n g 17 possesses not only twodimensional
(worldsheet) coordinate invariance and twodimensional supersymmetry in common
with the other superstring t h e o r i e s b u t is also c h i r a l in t h e t w o  d i m e n s i o n a l s e n s e
(due to t h e asymmetric t r e a t m e n t of the right and left polarized modes). It is
noteworthy that all these properties are also properties of the theory in the
tendimensional sense. C o n s i s t e n c y of string theory requires it to be free of
a n o m a l i e s in t w o  d i m e n s i o n a l c o o r d i n a t e t r a n s f o r m a t i o n s t h a t c a n n o t be C o n t i n u o u s l y
connected to the identity (these "large" coordinate transformations are modular
transformations). This is t h e i n g r e d i e n t in t h e h e t e r o t i c s u p e r s t r i n g theory that
r e s t r i c t e d the possible g a u g e g r o u p s to j u s t t h o s e p r e v i o u s l y o b t a i n e d b y r e q u i r i n g
t h e a b s e n c e o f t h e i n f i n i t e s s i m a l t e n  d i m e n s i o n a l c h i r a l anomalies. Furthermore, this
g e n e r a l i z e s to t h e s i t u a t i o n in w h i c h t h e t e n  d i m e n s i o n a l s p a c e is c u r v e d provided
t h e i d e n t i f i c a t i o n in eq.(10) is made 43. T h i s i d e n t i f i c a t i o n is also r e q u i r e d in o r d e r
to e n s u r e t h a t t w o  d i m e n s i o n a l c h i r a l a n o m a l i e s v a n i s h in t h e c o m p a c t i f i e d t h e o r y 44.
(ii) In o r d e r to d e s c r i b e a s t r i n g p r o p a g a t i n g in a c u r v e d background it is
n e c e s s a r y to r e p l a c e t h e f l a t m e t r i c in eq.(5) b y a c u r v e d m e t r i c , G ~ ( X ) , w h i c h is a
function of X. This gives the action of a nonlinear sigma model m a p p i n g the
worldsheet into the curved spacetime. T h e r e a r e , h o w e v e r , s t r o n g c o n s t r a i n t s on
formulating consistent string theories in a curved background due to the
r e q u i r e m e n t t h a t t h e t h e o r y c a n be f o r m u l a t e d i n a p a r a m e t r i z a t i o n i n w h i c h it is
c o n f o r m a l l y i n v a r i a n t ( r e c a l l t h a t t h i s w a s n e c e s s a r y to p r o v i d e t h e g a u g e c o n d i t i o n s
r e q u i r e d to decouple t h e n e g a t i v e  n o r m e d states). I n g e n e r a l t h i s will r e q u i r e t h e
presence of o t h e r terms in the twodimensional action involving, in addition to
G~(X)9 a n a n t i s y m m e t r i c t e n s o r b a c k g r o u n d , B ~ ( X ) , a s c a l a r b a c k g r o u n d , (X), a n d
fermionic t e r m s 45. [These background fields correspond to the massless field
content of the string field theory.] In addition, in order for one of these
150
b a c k g r o u n d s f o r t h e t y p e I t h e o r i e s 53 ( a n d , r e c e n t l y , f o r t h e t y p e II t h e o r i e s 5 4 ) .
(b) T o w a r d s a g a u g e  i n v a r i a n t field t h e o r y of s u p e r s t r i n g s .
I n o r d e r to a r r i v e a t a more g e o m e t r i c a l u n d e r s t a n d i n g of s t r i n g f i e l d t h e o r y it
is p r o b a b l y n e c e s s a r y to f o r m u l a t e it i n a g a u g e  i n v a r i a n t manner. A preliminary
step was the understanding of the free bosonic string field theory in a
Lorentzcovarlant gauge using the BRS t e c h n i q u e 55. This has led to a gauge
i n v a r i a n t f o r m u l a t i o n o f t h e f r e e s t r i n g field t h e o r y 56 {as well a s some a s p e c t s o f
the interactions57).
(c) O t h e r T o p i c s
(i) Throughout the d e v e l o p m e n t of s t r i n g t h e o r i e s t h e r e has b e e n a parallel
d e v e l o p m e n t o f KacMoody a l g e b r a s in m a t h e m a t i c s . The representation theory of
KacMoody a l g e b r a s has deep c o n n e c t i o n s with the d y n a m i c s of s t r i n g t h e o r i e s 58,
These infinitedimensional algebras express the algebra o f local currents in the
string worldsheet. The c o n n e c t i o n b e t w e e n KacMoody a l g e b r a s a n d s t r i n g t h e o r i e s
h a s b e e n a c t i v e l y s t u d i e d a n d w a s c r u c i a l in d e v e l o p i n g t h e h e t e r o t i c s u p e r s t r i n g 59,
(ii) A l t h o u g h a p p e a l i n g f r o m a g e o m e t r i c a l p o i n t of v i e w , t h e f o r m u l a t i o n of
superstring theories in terms of a manifestly supersymmetric Lorentzcovariant
a c t i o n like eq.(5) h a s n o t b e e n q u a n t i z e d in a c o v a r i a n t m a n n e r . This s e e m s l i k e l y
to b e s o l v e d b y e x t e n d i n g t h e s y m m e t r i e s o f t h e a c t i o n 60. Furthermore, there has
been progress towards formulating a manifestly supersymmetric firstquantized
theory by directly constructing t h e q u a n t u m o p e r a t o r s o f t h e t h e o r y 61. This may
l e a d to a p r o o f of t h e a b s e n c e of s u p e r s y m m e t r y a n o m a l i e s a t n l o o p s f o r t h e t y p e
II a n d h e t e r o t i c s u p e r s t r i n g t h e o r i e s , a n d h e n c e to t h e i r f i n i t e n e s s .
(iii) I t is now p l a u s i b l e t h a t t h e r e q u i r e m e n t s that a chiral tendimensional
t h e o r y w i t h a YangMills g a u g e g r o u p b e s u p e r s y m m e t r i c a n d also f r e e of a n o m a l i e s
l e a d s i n e x o r a b l y to s u p e r s t r i n g theory. The "minimal" t e n  d i m e n s i o n a l f i e l d t h e o r y
of s u p e r  Y a n g  M i l l s c o u p l e d to s u p e r g r a v i t y h a s anomalies. These can be cancelled
by adding extra terms to the theory3 (motivated by the low energy limit of
superstring theory) which spoil its s u p e r s y m m e t r y . The p r o c e s s o f r e s t o r i n g the
supersymmetry b y a d d i n g y e t more t e r m s s h o u l d e v e n t u a l l y r e c o n s t r u c t the infinite
n u m b e r o f t e r m s t h a t c o n s t i t u t e t h e e x a c t e x p a n s i o n of t h e superstring theory in
terms of the massless fields. At t h e l o w e s t n o n  t r i v i a l o r d e r in t h i s e x p a n s i o n t h i s
152
h a s b e e n s h o w n 62 to imply t h e e x i s t e n c e of t e r m s i n t h e low e n e r g y a c t i o n w h i c h
are quadratic in the Riemann curvature and which have the structure initially
c o n j e c t u r e d in r e f . 63.
CONCLUSION
D=4
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CONFORMALLY INVARIANT FIELD THEORIES IN TWO DIMENSIONS
CRITICAL SYSTEMS AND STRINGS
J.L. GERVAIS
Physique Theorlque, Ecole Normale Superieure
24 rue Lhomond 75231 Paris cedex 05
= (4)
where F is an arbitrary complex function of one variable.
In genera)~, a quantity ~ ( % . ~ ]
~ ~
is called
l ~ 4
eonformally
.
oovarlant ) if it transforms accordlng to
(s)
)( T: 1 o (in)
~ (Too , T ~ ) = Z L~.~ ~ ; 3 ;
(li)
~ C~~)
(i2)
 ~ +(~)i] 0
The operators Lm and Lm each satisfy the Virasoro
algebra
C = ~) (14)
. e (15)
<01
Hence ~ gives the power behaviour of the two point
function at the critical point. It is quite obvious that
must be positive for physical operators since the
correlation f u n c t i o n s must decrease when the separation
increases.
As it is well known (~)(9] ,the derivative of a covariant
operator is not covariant in general. An important
exception is the case of an operator of vanishing
weight, lts derivative with respect to has ~ =i , ~ = Q
Conversely, assume there exists an operator I(z) with
=i Then it is obvious that
=o (18)
~5_ ~  C (23)
If C is an integer larger than one, this will effectively
allow to lower the space time dimension.
At this point it is useful to recall some general
properties of representations of the Virasoro
algebra( 13).From the group theory viewpoint it can be
regarded as being in a Weyl Caftan basis,Lo being the
only operator of the commuting subalgebra, and L,t with
n O being step operators. Hence a highest weight vector
will be such that
o (24)
An irreducible representation is characterized by the
values of E and C .The corresponding vector space which
is called a Verma module, is spanned by all vectors of the
form
(28)
cc )
we obtain the correct n u m b e r of spin components i.e. Q=2,3
for the Ising and the three state Potts model
respectively. The Q state Potts model can be d e f i n e d for
continuous values of Q if we t r a n s f o r m it into the random
cluster model. For C<I there exist various equivalent
critical models. In p a r t i c u l a r the Q state critical Ports
model is e q u i v a l e n t to a C o u l o m b gas model. For C<I we have
Q<4 and one is in a C o u l o m b phase. The point Q=4
corresponds to a point of transition of
KosterlitzThouless. Above Q=4 one enters into the p l a s m a
phase and the t r a n s i t i o n becomes first order. We shall come
back to this below.
IIThe region C>25
This region has some similarities with the region C<I
since in both cases the square root of formula (28) is
real. A d i f f e r e n t approach is needed, however, since now the
Kac d e t e r m i n a n t s do not vanish for positive .The region
C>l is n a t u r a l l y covered b y the quantum L i o u v i l l e field
t h e o r y since its central charge is given by(9)
c= + (34)
where 4% is the Planck constant. The region C>25
corresponds to ~ <i/8 i.e. to the w e a k coupling regime of
Liouville theory which is c o n n e c t e d to the semi classical
limit ~ n~ O. In the exact quantum solution (9) ,special
values of C were again found
REFERENCES
(I) J.L.GERVAIS, B. SAKIT A Nucl. Phys. B34(1971)832
(2) J.L.GERVAIS, B. SAKITA Nucl. Phys. B34(1971)477
(3) A.A. Belavin, A.M. Polyakov ,A.B. Zamolodchikov Nucl. Phys.
B241(1980}333
(4) D. Friedan Les Houches Lectures Notes 1982
(5) V. KAC. Proceeding of the International Congress of
Mathematicians Helsinsky 1978;Lecture Notes in Physics
voi.94 p.441 Springer Verlag
(6) J.L.GERVAIS, A. NEVEU COM. MATH.PHYS. IO0(1985)I5
(7) D.FRIEDAN, Z.QIU, S. SHENKER in Vertex Operabor in
Mathematics and Physics ed.J.LEPOWSKY et al. Springer;
Phys. Rev. lett. 52(1984)1575
(8) J.L. GERVAIS, A. NEVEU Nucl. Phys. B257 FS14(1985)59
(9) J.L.GERVAIS, A.NEVEU NucL.Phys. B224(IS83)329;B238(1984)
125
(i0) J.L. GERVAIS, A.NEVEU Phys. lett. 151B(1985) 271
(ii) J.F.ARVIS Nucl. Phys. B212(1983) 151; B218(1983) 303.
O.BABELON Nucl. Phys. B258(1985)680
LIOUVILLE MODEL ON THE LATTICE
Abstract :
Liouville e q u a t i o n is put on the lattice in a c o m p l e t e l y integrable
way. The classical version is i n v e s t i g a t e d in details and a lattice
deformation of the V i r a s o r o algebra is obtained. The q u a n t u m v e r s i o n
still lacks a s a t i s f a c t o r y definition of th~ Hamiltonian.
The L i o u v i l l e equation
e. ~. 0
(i)
1. C l a s s i c a l continuous model.
(2)
will be used. The main idea of t2]  131 is to use the change of
variables
(3)
(4)
(5)
188
Q ..
e~ _~ 1 (6)
Using the n o t a t i o n
Tc~,o) = To,,) = I
!
gc~))
(7)
I Co;
(8)
cx) C cJ
(9)
and
(i0)
(il)
where ~ plays the role of the coupling constant, leads to the fun
d a m e n t a l Poisson bracket relations
(13)
0 0 o 0
0 ~' :~" o
r" .
(14)
0 o ~ o
0 o o 0
15
Y [~,.~  ~e~) ~]
+
16
170
(18)

~ 4 J
4 X~"
,~, '~,' 2.. ,~..~.' (19)
I2o)
(22)
(23)
171
x~) (24)
(25)
Z
(27)
~(o) = 4
(30
Ia~, ~} = r Ec.~)[,~c~)~,~;] ~ +
(33)
173
(34)
and
(35)
L. =  +. ~ e t ~ 0(~) (38)
4 + ~#' e Ae
L4~. = ~ ; ~r (40)
A~ g~
L (41)
we let
(42)
A~ C~
The essential role of local relation (39) consists in the fact that
it leads the same relation for ~'~
17,5
(44)
(45)
I i n > m
~ 0 n = m (47)
i n < m
(48)
We let
(49)
and a n a l o g u o u s l y for ~ .
and
2
(54
4
(56)
is a natural g e n e r a l i z a t i o n of (26).
The e q u a t i o n s of m o t i o n
(57)
3. Partial q u a n t u m results.
This L~ must turn to (40) in the c l a s s i c a l limit and satisfy the fun
damental commutation relation
with a p a r t i c u l a r C  n u m b e r ~ x ~ matrix ~
The formula
178
60)
/~e ~ e
I1 0
0
0
0
e i~"
01
0 (61)
0 ei~" l_e2i~ 0
0 0 0 1
Now we literally repeat what was done before, namely introduce the
transport matrix
= (62)
and the operators
(65)
179
References.