Miransky, Dynamical Symmetry Breaking in Quantum Field Theories

DYNAMICAL SYMMETRY
BREAKING IN QUANTUM
FIELD THEORIES
V AMiransky
Institute for Theoretical Physics
Academy of Sciences of Ukraine
Kiev, Ukraine
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World Sci ntific
Published by
World Scientific Publishing Co. Pte. Ltd.

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DYNAMICAL SYMMETRY BREAKING IN QUANTUM FIELD THEORIES

Copyright 1993 by World Scientific Publishing Co. Pte. Ltd.
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Preface
Dynamical symmetry breaking
IS
one of the deepest, most important and most
beautiful phenomena in physics.

In condensed matter physics, the phenomenon of dynamical symmetry breaking is
synonymous with superconductivity. In particle physics, dynamical chiral symmetry
breaking is the main source of hadron masses and governs the low energy hadron dynamics. All, or almost all, high energy physicists believe that the W and Z vector
bosons are massive because of spontaneous electroweak symmetry breaking, and some
of us believe that this breakdown may be dynamical in origin.
The first physical theory in which dynamical symmetry breaking was encountered
was the Bardeen-Cooper-Schrieffer (BCS) theory of supreconductivity. The BCS theory not only explained a marvelous phenomenon in nature, but also introduced a new
concept in physics: the dynamical rearrangement of the ground state (vacuum) which
results from fermion pairing.
The univers ality of this concept was first recognized by Nambu who interpreted the
fermion pairing as generating a fermion mass. The universal definition of the latter
(valid both in relativistic and nonrelati vis tic physics) is as a gap in a fermion spectrum.
Nambu then introduced the radi cal hypothesis that the pairing mechanism is responsible
for generating the masses of elementary particles. At present, it is difficult for us to assess
how revolutionary this idea was in 1960. One should recall that one of the paradigms in
particle physics at that time was that the vacuum in relativistic quantum field theory
IS unique. Since vacuum degen eracy is inevitable in systems with dynamical (and , more
ge nerally, sponta neous) symmetry breaking, the accepted wisdom therefore excluded
the exis tence of s uch a phenomenon in relativistic physics.
Th e firs t mo lei with dynamical symmetry breaking in relativistic quantum field
t heory
W,t S
constructed by Nambu and Jona-Lasinio. Their model still remains a basic
rXil.lllpl r of Illo<l \: 1 bnil din g in pa.rti clc physics wh ere dynamical sy mmetry breaking is
now 011 (' of til (' cC II!.ra,1 co ncc pts .
11 1'1'..i'1I11 'y, 1.lli s s hort inl. roti lldi()11 11.0"
d YII '"II; e ,.I
~I Y IIIIII ( I" .y
() II V; 'II
,d till' r(, a,(k rs thil.t t h(' phCnolllcllon of
hll,oil;lI f\ ei<-H("V('~ d.~ e'WIl 1",,,11 !
;\1.
I.h,' 1"'''1; 1111;11 1-\ ofl.h; H prnj<'(' I"
vi
Preface
I had decided that it should be really a book and not just a review. Shortly after
starting, I recognized that writing such a book is a rather difficult task. The point
is that dynamical symmetry breaking is not a closed, isolated, subject. It is a part of
quantum field theory and is, despite its beauty, rather technical. Without knowing about
such technical machinery as the equations for Green's functions on the nonperturbative
vacuum, the Bethe-Salpeter equation for bound states, the effective action for composite
operators and so on, it is impossible to work in this area. Therefore I decided to discuss
this material in detail. I hope, however, that the technical content does not overwhelm
the rest of the book.
In order to understand better the ph~nomenon of dynamical (and, more generally,
spontaneous) symmetry breaking in relativistic physics, it is extremely useful, I believe,
to consider first the realization of this phenomenon in condensed matter physics. The
condensed matter examples provide a clear and rather general physical picture which is
very useful in the discussion of their much less visual analogues in particle physics. I
have therefore devoted one chapter of the book to superfluidity and superconductivity.
The description of dynamical symmetry breaking can be divided into two parts:
the first part is th e description of the microscopic dynamics (as the BCS theory in
superconductivity), the second part is the derivation of the low energy effective action
(as the Ginzburg-Landau action in superconductivity). I consider both these approaches
in detail.
The last four chapters in the book are devoted to the consideration of dynamical
symmetry breaking in such realistic theories as quantum chromodynamics (QCD) and
electroweak theory: spontaneous chiral symmetry breaking in QCD and electroweak
symmetry breaking. At present, there exist whole "industries" studying spontaneous
chiral symmetry breaking in hadronic physics and electroweak symmetry breaking in
electroweak dynamics . The aim of the present book is not to review all of the directions
in these two subjects but rather to give a detailed treatment of the key physical ideas .
I hope that my initial goal, to write a book and not a review , has bccn achicvcd at
least in part : but above all my great hope is that the book will bc usdlli.
I am indebted to many collcagucs wh o ov(' r I.h(' yca.rs h,lv('
1)('(' 11 'l S() IJI" ("('
of st illlll-
lation a nd cnco llril.gc lllc lll. I gr;\.I,dllll y ;, ckll ow l!'dw' 1.1". I()flg ,11,,1 f'llil 1'111 c()lI a.l )(Jr"tioli
with Illy l\i ('V coll ('agll('s I' 1 1'1 ,",;" , V I' (:II HY ""' 11,,,1 \,,, 1\
~ d l "k " .
1 illli gr, >I (' f,,1
Preface
vii
to W. A. Bardeen , S. T. Love, R. R. Mendel, S. Peris, S. Raby, M. Tanabashi and

K. Yamawaki for enjoyable collaboration which has increased my depth of understand-
ing of this subject. I would also like to thank T. W. Appelquist, D. Atkinson, M. Bando,
S. R. Chivukula, R. E. Cutkosky, M. B. Einhorn, V. Elias, A. T. Filippov, K.
Higashijima, C. T. Hill, B. Holdom, P. W. Johnson, J. B. Kogut, T. Kugo, M. G.
Mitchard, T. Muta, Y. Nambu, K. Nishijima, J. Shigemitsu and L. C. R. Wijewardhana
for numerous
discu~sions
which certainly influenced this book.
I also would like to express my thanks to V. Elias, M. Harada, A. Kovner, T. Kugo,

M. G. Mitchard and B. Rosenstein for their remarks and suggestions concerning the
book.
This book has been written during the 1992-93 academic year while I was at the
Yukawa Institute for Theoretical Physics at Kyoto University. I am grateful to Professor
Y. N agaoka and all the members of the Institute for their hospitality. Special thanks to
Dr. M. Toya and the members of the Institute Secretariat for their help in preparing
the manuscript. In particular, I want to express my gratitute to Ms. M. Imanishi and
Ms. A. Yamaguchi for patiently typing the manuscript in
TEX.
The book is essentially an extended version of the course of lectures that I gave to
graduate students of the Department of Physics of Kiev State University, the Department of Applied Mathematics of the University of Western Ontario, and the Department
of Physics of Ohio State University. I thank all the students involved for asking good
questions.
I also would like to thank the students of the Department of Physics of Kyoto
University T. Hamazaki, K .-1. Izawa, T . Kawano, S. Miyazaki, J . Sato, M. Sato,

T. Takahashi and Y. Taniguchi for reading the manuscript, finding typos and asking
good questions.
Finally I thank my mother and my family for their support, although from a long
way off.
Vla.climir Miransky
Kyoto, S(' ptcrnbc r 1993
Contents
Pre face
. . . . ..... ................... . . ....... . . . . . ...... . . . ..... . .
Chapter 1
The Theory of Free Fields and Nonequivalent Representations of the Canonical Commutation Relations
in Field Theories . .. .. .. ... ..... . ....... . . . . .. .... . . . ...
1.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
1.2
The Klein-Gordon Field ....... .... . ... ..... . ..... . ..
1.3
The Spin-
1.4
The Notion of the Vacuum. Nonequivalent Represent ations of the Canonical Commutation Relations in
Quantum Field Theory .. . .. ... . . ................ . .. . 9
Chapter 2
.. .. . ........ . . ..... .. . .. ....... . .. . 4
Spontaneous Symmetry Breaking in Condensed

Matter. Superfiuidity and Superconductivity . . . .. ... . 15
2.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2.2
Ideal Bose Gas . .. .. . ... .. ... . ..... . . . .... . ... . .. . ..
15
2.3
Spontaneous Symmetry Breaking in an Ideal Bose Gas.
16
2.4
Superfluidity. Landau Criterion .. . ... ... . . . . . . . . . . . .. 20
2.5
Superfluidity in an Almost Ideal Bose Gas ... .........
21
2.6
Super conductivity. General Remarks ... ... . ... . ......
24
2.7
Ideal Fermi Gas. Fermi Gas with the Majorana Mass .. 25
2.8
BCS Model of Superconductivity ..... . ... . . .. .... ... 31
2.9
Dynamical U(l) Gauge Symmetry Breaking in the

BCS Model.... . ........... ......... .. .. .. ..... . ...
2.10
C hapte r 3
t Field
34
The Ginzburg- Landau Effective Action. The Meissner

Effect .. ... . ........ . ...... ..... . . . . .. .. .... . ... . . . 35
S ponta ne ous Symmetry Breaking in Relativistic

Qua ntum Fie ld The ory. General Consideration ... ... . 40
3.1
Int rodu ct ioll . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
40
:1 .2
T ill' ;o ld" t,, " 1<' Mo d,I" .. .... . ..... . .... . ............
41
Content6
Chapter 4
Chapter 5
Chapter 6
3.3
Why Do We Need the Infinite Volume for Spontaneous

Symmetry Breaking? ........... ... ....... ...... . ... 46
3.4
The Coleman Theorem and the Goldstone Theorem . .. 49
3.5
Higgs Mechanism ................................ . . 54
3.6
Higgs Phenomenon in Non-Abelian Gauge Field

Theories ...... . ... ....... .. .. ... .. .. . ........... .. 57
3.7
Higgs Phenomenon in Non-Abelian Gauge Field

Theories. Concrete Gauges ..........................
61
Introduction to Chiral Dynamics . . ..... ......... . ... ..
65
4.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 65
4.2
Symmetries and Currents in the Lagrangian Formalism
65
4.3
Chiral Symmetry in Theory of Free Fermions . . . . ... ..
69
4.4
Linear cr-Model . .. . ...... ...... ..... .... . . ..... .. . . 72
4.5
The PCAC Hypothesis and the Goldberger-Treiman

Relation ...........................................
78
Nonlinear Realization of Spontaneous Symmetry

Breaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
84
5.1
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 84
5.2
Nonlinear Limit of the Linear cr-Model . ...... ... ..... 84
5.3
More on Nonlinear Chiral Theories
5.4
Nonlinear Realization of Spontaneous Symmetry

Breaking. General Theory .. ................ .. . .. .. . 98
5.5
Where are Nonlinear Lagrangians Useful? . ....... . . . 104
.... .... ..........
92
The Nambu-Jona-Lasinio Model. The First

Acquaintance ................... . ..... . ...... .. .. . . . ..
111
6.1
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
111
6.2
Dynamic Chiral Symmetry Breaking in the NambllJona-Lasinio Model ............. ... ..... . .. .. . .. ..
111
6.3
The Structure of the Vacllllm ill I,h (' N.] L Modc" .... ..
116
6.4
Dynamic: CC' Il Cratioll
or It
Ma.jo l'nll ll. MILHH . .. . ,., .', . . ,
117
..............
~~~----------------~~~--------------~==~--------- .
Content&
Chapter 7
The Effective Action Method in Quantum Field

Theory ........ . ......................... .. . . ... . . .... 120
7.1
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 120
7.2
Effective Action (Generating Functional for Proper

Vertices) ............. .......... ... . ......... ... .. 120
7.3
The Physical Meaning of the Effective Action .. .. .... 125
7.4
The Loop Expansion . ....... ................. .. . . . 130
7.5
One-Loop Effective Potential. Concrete Examples . ... 140
7.6
Renormalization Group Improvement of the Effective

Action ........ . ..... ........ ........ . . .... ... . . ..
152
More about the Physical Meaning of the Effective

Potential .. ...... .... .... . ..... .. ....... . ....... ..
159
7.7
Chapter 8
C h apter 9
xi
Effective Action for Composite Operators and

Equations for Green's Functions on the Nonperturbative Vacuum .. .......................... .. ... 164
8.1
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 164
8.2
Effective Action for Composite Operators. The General

Formalism. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 165
8.3
The Loop Expansion for r( <pc, G) ......... .. .... .. ..
8.4
The Two-Loop Effective Potential in the Nambu-JonaLasinio Model and QED ...... . . .. ...... . ..... . .... 174
8.5
The Schwinger-Dyson Equation and the Bethe-Salpeter

Equation. General Consideration .......... . .... .. .. 179
8.6
The Bethe-Salpeter Equation in the Nambu-JonaLasinio Model and QED ..... . ... .. . . ....... . ...... 187
8.7
Physical Interpretation of the Effective Action for

Composite Operators. The Stability Criterion ........ 189
169
Dynamical Chiral Symmetry Breaking. General

Consideration ... ... ....... .. . ... .. ... . ... .. . .... ..... 194
9.1
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..
9.2
Chiral
9.3
TI,e
Wa.rd - Talmh ;L~ lu
8 Xll,ct,
Ll OHO Il H
11"11,1.;",,
.,
194
Identities ............ . ...... 195
r",. 1.Ill' Mass of Ps{'udosc:alar

202
xii
Content;
Chapter 10
9.4
The Exact Relation for the Decay Constant .......... 206
9.5
Bound States and Decay Constant in the Nambu-JonaLasinio Model ... . ...................... . ......... 207
9.6
Why Does the Fermion Dynamical Mass Stabilize

the Vacuum? ......... . ......... .. ................ 220
Critical Coupling Constant in the Problem of

Dynamical Chiral Symmetry Breaking in Gauge
Theories ..................... . ........................ 222
10.1
Introduction... . ...... .... . ...... .... ... .......... 222
10.2
The Schwinger-Dyson Equation in the Rainbow

(Ladder) Approximation in QED ...... ..... .... ....
225
10.3
The Bethe-Salpeter Equation in Ladder QED
230
10.4
The Supercritical Dynamics and the Collapse

Phenomenon ......... . .... . ....... .... . . . . . . . . . . .. 239
10.5
The Gauge Invariance in the Problem of Dynamical

Mass Generation in QED ............ . ............. 244
10.6
The Critical Coupling Constant in Dynamical Symmetry Breaking Problem in Asymptotically Free Theories
247
10.7
The Conservation Current Condition and the Proper

Definition of Equations for Green's Functions.
The Solution of the Goldstein Problem ... .......... . 248
10.8
The Breakdown of Scale Symmetry in QED. Composite

Operators with Large Anomalous Dimensions ........ 254
10.9
Spontaneous Chiral Symmetry Breaking in QED

Beyond the Quenched Approximation ...... . ........ 261
10.10 Nonperturbative Dynamics in QED and Beyond:

Miscellaneous ............. . ... . . .. ................ 265
Chapter 11
Spontaneous Symmetry Breaking and Critical

Phenomena . ... ...... .... . ... . . .. ... .......... . ....... 269
11.1
Introduction.................. .. ...... .. ... .. .. ...
2G9
11.2
Renormalizations and Relevant , Marginal am I

Irrelevant Interactions ......... .... .............. ..
27]
Transmllbltioll of DYIla.JlIiCld Di'lIl1"lIsiolls .. f C.. , IIposi 1,(.

Operators Ill, S tl"OlI g CO li pii "!'; ......................
. 77
11.3
Contents
Chapter 12
xiii
11.4
Universality, Critical Exponents and Fine Tuning .... 291
11.5
The Four-Fermion Interaction Model in D Dimensional

Space-Time (2 S; D S; 4) . .... . .... ... . ... .. . ... . .... 295
11.6
Running Parameters and Renormalization of Bare Parameters . More about the Phase Transition in QED . . . . 298
11. 7
The Second Coleman Theorem: There are no Goldstone

Bosons in Two Dimensions . . . .. ...... . . .. . . .. . ... . . 301
Dynamical Chiral Symmetry Breaking in QCD .. .... 304

12.1
Introduction. ..... . . .. .... .. .. .. . .. . ...... . . . . .. . . 304
12.2
Perturbative Dynamics in QCD .. . . . .. .... .......... 306
12.3
The Ultraviolet Asymptotics of the Dynamical Mass

Function of Quarks . . . .. .. ..... . .. . . . . . . . .. . . . . .... 308
12.4
The Exact Relation for the Mass of Pseudoscalar

Mesons. Hadrons are Loose Bound States .. ... ...... 312
12.5
The Equation for the Mass Function of Quarks. . . . . . . 314
12.6
Two Scales in QCD Non-perturbative Dynamics.

Dynamics Underlying Spontaneous Chiral Symmetry
Breaking in QCD ...... . ... . . . ...... .......... .... 319
12.7
More about the Dynamics of Chiral Symmetry

Breaking in QCD . .. ....... . ..... . ... .. .... . . ... . . 322
12.8
Masses of Pseudoscalar Mesons . . . ... . ...... . . ... ... 328
12.9
The Pagels-Stokar Formula for the Decay Constant
331
12.10 The Low Energy Effective Action in the Extended

Nambu-Jona-Lasinio Model: Preliminaries . .... . . .. . . 333
12.11 The Derivation of the Low Energy Effective Action
in the Extended Nambu-Jona-Lasinio Model . . ....... 338
12.12 The Strong Us (1) Anomaly. Effective Lagrangians
Obeying the Anomalous Conservation Law . .. . .. .. . . 348
12.13 Chiral Effective Lagrangian in QCD: General
Structure and Comparison with the ENJL Model
351
12.14 Morc abollt Ch iral Effective Lagrangians in QCD .

Naiv( ' Di lll!' lIsioli al Allalysis . .... .. . . ..... ... .......
357
XIV
COn/en/8
12.15 Why are all these Models so Successful?

Green's Functions of Composite Operators in QCD
Chapter 13
Chapter 14
Chapter 15
364
Introduction to Electroweak Symmetry Breaking .... 370

13.1
Introduction ....... .. .. .. .. ............... ........ . 370
13.2
The Higgs Mechanism in the Standard Model ........ 370
13.3
Quarks and Leptons in the Standard Model. . . . . . . . .. 374
13.4
Flavor-Changing Neutral Currents in the Standard

Model ........................ .. .... ... ........ .. . 380
13.5
The Technicolor Scenario ..........................
383
13.6
Extended Technicolor ..............................
389
13.7
Problems in the ETC Model Building .... ........... 394
13.8
The Appelquist-Carazzone Decoupling Theorem.

Can One Detect the Electroweak Symmetry Breaking
Mechanism in Low Energy Experiments? ............ 400
13.9
Radiative Corrections to Electroweak Interactions

and Technicolor Models .. . ......... .... . .... .... ... 407
New Technicolor Scenarios ........................... 416

14.1
Introduction ....... .... ................ .... ...... . 416
14.2
The Gauged Nambu-Jona-Lasinio Model as a Basic

Model for New Dynamical Electroweak Symmetry
Breaking Scenarios ................................ 419
14.3
More About New Technicolor Models ............... 430
14.4
Nondecoupling Effects in New Technicolor Scenarios
14.5
Tight Bound States in New Technicolor Scenarios.

Bosonic Technicolor ....... . ........ . ..... ..... .... 438
14.6
New Technicolor Scenarios and Lattice Computer

Simulations ....................................... 442
433
Top Mode Standard Model and Beyond . .... ........ 445

15.1
Introduction ...................................... 445
15.2
Top Mode Standard Model .. . . . ........ . ...... .. ... 447
15.3
Renormalizalioll Group MdllOd ill lilt' Top ModeSlalld,ud Mod,,1 .. . . .. . . . . . . ..... ...... . . . .........
452
Content$
xv
15.4
What Does the Top Mode Standard Model Explain in

Electroweak Dynamics? Is it Equivalent to the
Standard Model? ........... . ..... . . .. ... ... ...... 457
15.5
Dynamical Origin of the Top Mode Standard Model .. 463
15.6
Why is the t Quark Much Heavier than the b Quark?
15.7
More about Modifications of the Top Mode Standard

Model ........ . ....... . . .. . . ...................... 474
467
Appendix A
Dirac Equation ................... . ......... . ....... 477
Appendix B
Some Useful Formulas and Relations ......... . .... 485
Appendix C
Renormalization Schemes and Path Integral

Representation for Green's Functions. . . . . . . . . . . . .. 491
Appendix D
The Dirac Equation with the Supercritical

Coulomb Potential ........... . ...... . .............. 498
Appendix E
The Calculation of the Determinant of the

Dirac Operator .............. . . . . . . . . . . . . . . . . . . . . . . . 502
References
506
Subject Index
531
DYNAMICAL SYMMETRY
BREAKING IN QUANTUM
FIELD THEORIES
Chapter 1
The Theory of Free Fields and Nonequivalent Representations of the

Canonical Commutation Relations in Field Theories
1.1.
INTRODUCTION
One of the differences between field theoretical and mechanical systems is that field
theories have an infinite number of degrees of freedom. This is important because, as
we shall see, in most cases, spontaneous symmetry breaking can only occur in systems
with an infinite number of degrees of freedom .
A local field <p(x, xo) describes the dynamics of degrees of freedom labeled by the
coordinates x. Because of the complication of dealing with infinite degrees of freedom, it
is often convenient to define the field theoretical system as a limit of systems with finite
degrees of freedom. The usual construction has two steps: we start by enclosing the
system in a finite rectangular box of size V and assume that <p'(x, xo) satisfies periodic
boundary conditions. In this finite volume, momenta can take only discrete values:
when we take the limit V
-+ 00
we have the equivalence
V-I
-+
(27l')-3
d'k .
(1.1)
The next step is to introduce an ultraviolet cutoff A in momentum space; there now
remain only a finite number of momentum modes, and so a finite number of degrees
of freedom , in the system. We recover the field theory by taking the limits V
and A
-+ 00.
-+ 00
The introduction of the volume V and the cutoff A are both examples
of regularization in quantum field theory. In many cases, particularly those involving

nonperturbative dynamics, regularization is not just convenient but in fact necessary in
ord er to define properly field theoretical systems.
SOllle pec uliarities in the behavior of field theoretical systems as the regulators are
removed a. re evid ent in free field th eori es. In this chapter we give a brief summary of
tile tll l'OI' y of fr C'c fi elds, and usin g free fiel d th eory
pa rti r ll!;'" pro perl.y or (j l'ld tll C'o ry I.lI a l. will give'
" I'
li S
a~
an example, we then discuss one
ph ys ica l in sight into the phenomenon
Hpur il.. 'II "O IlH H,Y IIIIIII I., .y hr('a,kin g : loll" ('XII. I (' II< ,.
" I'
n() II I'ljlli va.I{'nl. rl' pl'('se lil,itl.i o ns
or
Dynamical Symmetry Breaking in Quantum Field Theorie8
canonical commutation relations. The demonstration of this property is the central

point of the present chapter.
1.2.
THE KLEIN-GORDON FIELD
In order to introduce our notation we briefly recall the properties of the KleinGordon field. The lagrangian density of a real free scalar field 'P(x) takes the form
(1.2)
The equation of motion for 'P( x) corresponding to this lagrangian is the free KleinGordon equation
(1.3)
w here the operator D is
I'
0 0
0 0
D=oo
= - - - - . -..
I'
oxo oxo ox' ox'
An arbitrary solution of this equation may be expanded as a Fourier integral over elementary plane-wave solutions
( 1.4)
where
(1.5)
If we follow the canonical quantization procedure, we find that a(k) and at(k) satisfy
the following commutation relations
[a(k), a(k'))
[at(k), at(k'))
=0
and
[a(k), at(k'))
= c5 3 (k -
k') .
(1.6)
The total energy-momentum vector for the free Klein-Gordon fi eld ta kes th e fo rm
PI'
J
J
=~
=
d\:.kl' [at(k)a(k)
d\:. k" at(k) a(k ) +
+ a(k)at(k)]
~b';l(oj.! (('I< k"
( 1.7)
The meaning of th e ~e( lid tr l"ll1 ill I;q.( 1.7) hl"('OIlH"H cI"lIl' ir 1.1". Hf ll lM li"ld
IH
('\l ItHid, ... d
Nonequivalent Repre&entation& oj the Canonical Commutator&
in a finite volume V, Then, since
(1.8)
we obtain the following (somewhat heuristic) relation
(1. 9)
valid in the limit of large volume V, If we further assume that the field 'P( x) obeys
periodic boundary conditions on the surfaces the volume V , we find that the number of
states in the interval d'k around the momentum k is
(1.10)
Therefore in a large but finite volume V, the expression for PI' can be rewritten as
PI' =
kl'a!ak
+~
where the operators ak and
kl' ,
(1.11)
at defined by
(1.12)
sati sfy the commutation relations

[ak,ak']
[ak,
[aLa!,] = 0
aU = "kk' '
(1.13)
T il e expression (1.11) corresponds to a system of the harmonic oscillators in the volume

II; th e
S(,CO II
I term in the sum (1.11),
1 "" k" -_ 2(),

1< Q "
2L...
L..."
k
11 ' 1'1 ("(' 101 "
tI",
'/, ( ' 1< .
poi III.
(' II P If \'y III
t III'
~ 1' ,, 1 " 1I1
WI: ,
The energy operator pO is positive definite and the ground state or vacuum is by
definition a state with the lowest energy. In this case, the vacuum is the state devoid of
excitations created by the operators at, that is, the state annihilated by all operators
ak
Its energy is just the zero-point energy
"2 ~
Wk
and is infinite.
One can easily extend this discussion to a model with a complex field 'P(x), This
field can be written as
(1.14)
where 'PI and 'P2 are real fields. The lagrangian density for the complex field 'P is
(1.15)
We also recall that the propagator of a free scalar field is
D(x)
= i(OIT'P(x)'Pt(O)IO) = -211"1)4
( Jd 4 k m 2 -
12
. ek - Zf
ikx
( 1.16)
where the time-ordered product T'P(x )'Pt(O) is
(1.17)
1.3.
THE SPIN-} FIELD
As is well known [ 1 ], for a spin-t field there are two inequivalent representations
of 5 L(2, C), the double cover of the Lorentz group:
~a E (}, 0) with
0'
= 1,2 and
~ix E (0, t) with Ii = 1,2.
Under
(: ~)
,
E 5L(2, C) , 0'0 -
"1(3 =
1,
these spinors transform as
e' = O'e
e' =
+ (3e ,
"I~ I + 6e ,
(1.18)
Nonequivalent Repre&entation& of the Canonical Commutator&
and
~
i'
= a*~i
2'
= ,y*~i
+ (J*e ,
+ 5*~2 ,
(1.19)
where a* denotes the complex conjugate of a, and so on.

The metric spinor of 5L(2, C) is ta(J with t 12
=-
t2l
= 1, tll = t22 = 0, and ~ata(JrI
is a 5L(2, C) invariant . The spinors ~a and ~a = ta(Je are referred to as contravariant

and covariant spinors respectively.
ta/J = taP' and we define
~a =
For the dotted representation the metric spinor
ta/J'ri.
With the respect to the subgroup of rotations 5U (2), we note that these represen-
ee* + ee* is invariant under rotations.
tations are unitary, so that the combination
Under this subgroup, the conjugate ~a* transforms as tape = ~a (that is, they belong
to the same representation which we will denote by
~a* '" ~a).
However under the
full 5L(2, C) group the conjugate ~a* is assigned to the dotted representation (0,
~a* '" ~a
!),
A four -dimensional vector
al'
is assigned to the representation
(!, !),
and can be
represented explicitly as
(1.20)
where a1, a2 and a3 are the Pauli matrices and ao is the identity matrix:
a1
0 1)
(1 0
,a2
(0i
-i)
0
,a3
(10 -1
0)
,ao
(10 0)
1
(1.21)
The Dirac equation for a particle of mass m can be written in momentum space in
terms of two spinors 17/J E (0,
!) and ~a E (!, 0) as
pa/J17/J = m~a ,
P/Ja~a = m17/J
( 1.22)
with
(1.23)
This formalism will be use ful when we later discuss chiral symmetry (see Chapter 4),
since th<' cqua,tiolls (J .22) decouple wil<'li
1IJ, -
0, The Dira, <'q uation may be rewritten
Dynamical Symmetry Breaking in Quantum Field Theories
in the standard form by introducing the Dirac matrices
-l=
1= (0
(ao0 ao),
0
a
-a)
(1.24)
and the bispinor

( 1.25)
which transforms in the reducible representation
G,
0) EB (0, t).
Eq.(1.22) now becomes

( 1.26)
The Dirac equation (1.26) can be derived from the lagrangian density
( 1.27)
where the Dirac adjoint 1(; is defined by 1(; = 1jJt-yo. This lagrangian density is invariant
under the U(l) transformation
(1.28)
Because of the Noether theorem, this invariance leads to the conservation of the current
l'(x) = 1(;(x)-yI'1jJ(x), 0I'JI'(x) = 0, i.e. to the conservation of the fermion number (the
Noether theorem is discussed in Sec. 4.2).
We emphasize that in relativistic physics, a mass term which conserves fermion
number can be constructed only when there is a bispinor 1jJ assigned to the reducible
representation
(!, 0)
EB
(0, !).
For example, the combination ~a ~a transforms as the
po-component of a vector under Lorentz transformations (although it is invariant under

SU(2) transformations) so that it cannot be used as a mass term. However if one does
not require fermion number conservation, one can also construct the following SL(2, C)invariant mass term
(1. 29)
where H.c. denotes the hermitean conjugated term. This mass term is not invariant
under the U(l) rotation Eq.(1.28) and so violates fermion number conservation. Such a
term is called a Majorana mass term. We note that since ~(t~a = ~fJffJa~(t, the Majo ran a
mass can appear o nly ciu to th e a.nti cO IlIITlIII. ;d.ivity of E,C"< ; E,fiE," = - E,"E,fJ
Nonequivalent Repre6entations of the Canonical Commutators
The general solution of the Dirac equation

(1.30)
in coordinate space takes the form
(1.31 )
where, as usual, pO =
Vp2 + m 2 , and spinors u(p, s) and v(p, s) are taken to be helicity
eigenstates:
Ep
lP/u(p,s) = su(p,s) ,
Ep
lP/v(p,s) = -sv(p,s) for
s = l ,
(1.32)
where
(1.33)
Properties of these spinors are considered in Appendix A.

They individually satisfy the Dirac equations
('/'PJ.l- m)u(p,s) =0,

(-yJ.lPJ.l
+ m) v(p, s) =0 ,
(1.34)
which in terms of the adjoints are
u(p, s) ('yI'PJ.l - m) = 0 ,
v(p, s) (-yJ.lPJ.l
+ m) =
(1.35)
0.
We will lise a normalisation which leads to the orthogonality relations
ut(p, s)u(p, s')
= vt(p, s)v (p, s') = 8.. ,
v (p, s )l~(TJ, s) - v t (I', s )u( -p, 5') = 0

wit.h 1/.( p, s )
11(710,
p , s) .
(1.36)
To quantize, we impose the canonical equal time anticommutation relations
{"p(x) , ~(y)}lxo=Yo ='Yo 83 (x-y),
{"p(x),,,p(y)}lxo=yo =N(x),~(y)} l xo=yO =
o.
(1.37)
This leads to the following anticommutation relations for band d
with all other anticommutators being zero. The operators bt (b), dt (d) are creation
(annihilation) operators of fermions and antifermions respectively.
The energy-momentum vector of the free Dirac field is
PI'
J d,\>pl' [bt(p,s)b(p,s)+dt(p,s)d(p, s)] -28 3 (0) J d'\>pl'.
(1.39)
.=l
If we consider the system in a large volume V, we can rewrite pI' as
PI' =
.=l
2.::: pI' [b!(s)bp(s) + d!(s)dp(s)] - 22.::: pI' ,

p
(1.40)
where we have defined
bp(s) =(21r)3/2V- 1 / 2b(p, s) ,

dp(s) =(21r)3/2V- 1/ 2d(p, s) ,
(1.41 )
with similar definitions for b~(s) and d~(s), so that

(1.42)
The last term on the right hand side of Eq.(1.40) represents the negative zeropoint energy of the fermion system, in contrast to the expression for the scalar field in
Eq.(l.1l).
We recall that the Dirac propagator is
S(x)
~ -i(OIT"p(x)~(O) IO) =
-1)4
(
21r
Jd 4p 2 fJ+;n . e- ipx ,
p - m
+ IE
(1.43)
where fJ = PI''YI', and the time-ordered product T"p(x)~(O) is
(1.44)
Nonequivalent Repre&entation$ of the Canonical Commutators
1.4.
THE NOTION OF THE VACUUM. NONEQUIVALENT REPRESENTATIONS OF THE
CANON ICAL COMMUTATION RELATIONS IN QUANTUM FIELD THEORY
A universal definition of the vacuum for any hamiltonian system is that the vacuum
is the state with the lowest energy.
In the case of hamiltonian systems with a finite number of degrees of freedom (quantum mechanical systems), different hamiltonians posses different vacua, however all these
vacua lie in the same Hilbert space (in a sense which we will discuss later). As we shall
show below, this is not true for field theoretical systems, or even for free field theories.
In a more formal language, this difference can be characterized in the following
way. For a system with a finite number of creation and annihilation operators, all
representations of their commutation relations are unitarily equivalent. However for field
theoretical systems, there are an infinite number of unitary inequivalent representations
of the commutation relations. In this section we consider two examples which illustrate
this point .
Let us consider two real scalar fields 'PI and 'P2 with different masses, J.lI and J.l2,
defined in finite volume V
(l.4S)
Since these differential equations are second order, we can subject them to the Xo = 0
boundary conditions
( 1.46)
where <p == ft'P' Using the Fourier expansions for 'PI and 'P2,
'Pi(X) = V- I / 2
L (2Wik)-1/2 [aike-ikX + alke ikx ] ,
(1.47)
we find th e relation
(l.48)
10
Dynami cal S ymmetry Breaking in Quantum Field Theorie6
The vacua 101) and 102) satisfy the conditions

(1.49)
and are normalized so that
( 1.50)
Taking into account the relation (1.48), one can check that
(1.51)
where
(1.52)
with the normalization factor
]{ = exp [
~ LIn (1- (W2k -
(W2k
Wlk):) ]
(1.53)
+ Wlk)
To check these equations, it is convenient to use the relation

Ok
exp
ooexp
with
(O'ola~k)
fJ
[0' (a6
10) =
O'a~k exp ( O'ala~k) 10)
10) = 2O' o6ex p
fJ
[0' (a6
; k
# 0,
(1.54)
10)
0' an arbitrary c-number.
In the large volume limit, V
]{ ~ exp
--+ 00,
[ V!
--3
4(27r)
the normalization factor is (see Eq.(1.1))
J.
dKln
Wlk)2)]
1 - (W2k(
)2'
W2k
+ WU,
(1.55 )
The crucial point is the appearance of the factor V in the exponent; as a result ]{ rapidly
goes to zero as V
--+ 00.
Eqs.(1.51) - (1.53) imply that the scalar product

( 1.56)
vanishes in the infinite volume limit. Moreover, using Eqs.(J.48) and (l.51) , one can
check that (nllmz)
at V =
00
for a.ny pail'
In,)
and 1m2 ) of vectors fr om th e Fock
Nonequivalent Representations of the Canonical Commutators
11
spaces Fl and F2 corresponding to the fields 'PI and 'P2 respectively (recall that the Fock
spaces Fi are' built on a basis of eigenstates of the number operators N; =
2::::aJkaik with
k
finite eigenvalues ).
What is the physical meaning of this somewhat mysterious result? In the case
of quantum mechanical systems, eigenvalues of different hamiltonians lie in the same
Hilbert space, the space of square integrable functions L 2 For example, although the
vacuum of the hamiltonian of the quantum harmonic oscillator 10) is an excited state
with respect to the hamiltonian of the hydrogen atom H h, the value (OIH hiD) is finite. A
similar situation holds for the 'PI and 'P2 systems with ultraviolet momentum cutoff in a
finite volume. The transformation (1.48) preserves the canonical commutation relations
and is unitary. One can expand the Inl) states in the 1m2) basis and vice versa. In
particular, (01102) = ]{
i= 0 in
finite volume. What happens in the limit V
- t 00
is the
following: although the coefficients (nllm2) in the expansion
(nIl =
go to zero as V
- t 00,
Lm, (nllm2)(m21
the norm
(nllnl) =
L (nd m2)(m2Inl) == 1 ,
m,
independent of the value of V. This implies that the larger V, the more terms with a
large particle number dominate in the sum
L . In other words, as V
---> 00,
the number
m,
of 'P2 particles in the Inl) states goes to infinity. Let us make this concrete: defining
N2
by
( 1.57)
where N2 =
Lk a~ka2k
is the number operator for 'P2 particles, and using Eqs.(1.51)
and (1.52) , we find that
(1.58)
As V
,\.lid so th e vectors 111, 1) dis. apear from the s pace F2 (and vice
12
versa).')
We note also the following interesting point. If we define the average energy E2 to
be
we find
where A is the ultraviolet momentum cutoff which we introduce in order to define the
divergent integral which appears. Now as A -;.
=,
the energy E2( 101)) is infinite even
when the volume V is finite. From the formal point of view this means that although
at finite V, the state 101) is in the Fock space F2 (since N2 is finite), it is out of the
domain D(H 2 ) of the hamiltonian H2 (that is, the action of H2 on 101) is not properly
defined).
This example shows that, besides volume divergences, there is another source of
infinities in field theory, ultraviolet divergences connected with the high momentum
region. This point will become clearer in the next example.
Let us consider now two free fermion fields 7/;1 and 7/;2 with different masses m1 and
m2. We choose m1
and m2 = m. This example will be very useful when we discuss
dynamical dural symmetry breaking in Chapter 6. The Dirac equations for 7/;1 and 7/;2
take the form.
(1.59)
We subject the fields to the following boundary condition at Xo = 0:
( 1.60)
,) This example gives a simple illustration of the Haag theorem [2] asserting that in relativistic field
theory th ere is no tl nitary operator transforming a local theory with interac ti on into a free theory.
Indeed, in this example, o ne may choose th e th eo ry with the mass Ji- I as a "genuin e" free th eo ry;
tll e n, th e th eo ry with til \: 11I '~," JI.2 can be consid ered as a th eory with th e sup e rre normalizabl e
"interacti on" [,111,' = (fI r _ 11 ~ ) cp2.
Nonequivalent Representations oj the Canonical Commutators
13
The Fourier expansion for the fields takes the form (see Eqs.( 1.31) and (1.41) ):
1f!1,2(X,0) = V- 1/
2
P,
[b 1,2P(S)U1,2(P, s)e
ip x
.
+ dt,2P(S)Vl,2(P, s)e- iPX ]
(1.61)
s=l
This equation and Eq.(1.60) imply
L
L
[b 1P (s)Ul(P,S) + d!(_p)(S)V1(-P,S)]
s=l
[hp(s )U2(p, s)
+ d~( _p)(s )V2( -P , s)]
(1.62)
s=l
Taking into account the explicit form of the spinors Ui(p, s) and Vi(p, S), (see Eq.( A.15)
in Appendix A), we find the relations
b2p (s) = apb1p (s)
+ fJpdi(_p)(s)
,
(1.63)
d2p (s) = apd1p(s) - fJpb!(_p)(s) ,

where
_ (w + p) 1/2
ap -
2w
'
w-p 1/2
fJp= ( ~ )
,
T he vacua 101) and 102) are defined by the relations
b1p(s)101) =d1p (s)1 01)
(1.65)
b2p(s)102) =d 2p (s)I 02) = 0.

Using Eq.(1.63), we can check that
II
102) =
P,
rap - fJpbtp(s)di(_p)(s)] 101) ,
s= 1
(1.66)
a nd so we find that the scalar product (01102) is
(0112)=
II
a =exP (2L lna ~exp[2V J(_7r)
:3 Inap]
s=l
p
P,
Since In a p ~ _ m 2 /8p 2 as P -+
p)
(1.67)
00,
we find that
(1.68)
he re II is t he ultr ;w iole t mome ntum cutoff. Thus the scalar product (01102) goes to
Y, ('I'()
I,uthin 1.1)(' in finit e volume limi t
;t ile!
in tlte limit II
-+ 00 .
14
Dynamical Symmetry Breaking in Quantum Field Theorie&
One can check that the scalar product (ndm2) of any pair of vectors from the Fock
spaces Fl and F2 goes to zero with both A
-+ 00
and V
-+ 00 .
This example is even more striking than the previous one . We see how the two
sources of the infinite number of degrees of freedom (infinite volume and infinite ultraviolet cutoff) lead to the appearance of nonequivalent representations of the canonical
commutation relations for fermion fields .
The main goal of the present chapter was the demonstration of the existence of
nonequivalent representations of the canonical commutation relations in field theories.
As will be shown in the next chapters, this point has a direct relation to the phenomenon of spontaneous symmetry breaking. However its manifestation is much more
sophisticated in that case. In the case of spontaneous symmetry breaking, different
representations of the canonical commutation relations relate to the same dynamical
system. Moreover, the energies of the vacua from different representations are equal, a
manifestation of the phenomenon of the vacuum degeneracy for such systems.
Chapter 2
Spontaneous Symmetry Breaking in Condensed Matter. Superfluidity

1IIId
Superconductivity
2.1. INTRODUCTION
In this chapter, we consider the phenomenon of spontaneous symmetry breaking

III
condensed matter physics . We shall discuss two remarkable examples, superfiuidity
:wei superconductivity, which are particularly important because of their relativistic
a.lla.logues in particle physics.
The condensed matter examples provide a clear and
fa.tll er general physical picture which will be very useful in our later discussions of their
IIl uch less visual analogues in particle physics.
2 .2. IDEAL BOSE GAS
The lagrangian density of an ideal Bose gas of particles of mass m is

L = i<pt!....<p _ _l_a<pt alP..
at
2m ax' ax'
The
~ e ld
(2.1)
<p satisfies the Schrodinger equation
.a
z-<p + -t:..<p = 0
at
2m
a2
where t:..- - - -
(2.2)
aXiaXi .
The general solution of this equation in a finite volume V can be written as

<p(x , t)
= V- l / 2 ' " ake-(ik)t-ikx)

~
with
c(k)
where the operators
= -k == -k
2m
2m '
(2.3)
ak and at satisfy the commutation relations [ak,at,] = 0kk"
The hamiltonian H and the particle number operator
N are
then
(2.4)
Sin ce [fI , Nl
0, particle number is conserved. Therefore one can consider the

15
16
system with a fixed particle number

(2.5)
The ground state (which we call the vacuum) of this N -particle system is
(2.6)
where the "bare" vacuum satisfies the condition

(2.7)
Because of the constraint Eq.(2.5), the vacuum, Eq.(2.6), is unique.

Up to now we have considered the system in a finite volume V. Let us show that
the situation changes drastically when V
-+ 00 .
2.3. SPONTANEOUS SYMMETRY BREAKING IN AN IDEAL BOSE GAS
In the infinite volume limit , V
-+ 00,
it is appropriate to consider not the particle
number but the particle density, n, defined by

N
n= - .
(2.8)
As V
-+ 00
with fixed n, N goes to infinity. We will show that in this limit the ideal
Bose gas provides an example of a system with spontaneous symmetry breaking. The
symmetry which is broken is associated with particle number conservation,
(2.9)
The lagrangia.n density (2.1) is of course invariant under this transformation.

A general discussion of spontaneous symmetry breaking will be given in the next
chapter. Here we need to know only that spontaneous symmetry breaking occurs when
the action of a dynamical system is invariant under some symmetry transformation but
the ground state or vacuum of th e system is not assign ed to a
~inglct
representation of
Spontaneous Symmetry Breaking in Condensed Matter
17
the symmetry group. Since in the case of spontaneous symmetry breaking, the vacuum
is assigned to a nonsinglet representation of a group connected with the symmetry, and
since the group generators commute with the hamiltonian, a vacuum degeneracy takes
place in such field systems.
The ground state IN) (see Eq.(2 .6 is an eigenvector of the operator
N,
and there-
fore in the ideal Bose gas with this vacuum the U(l) symmetry (2 .9) is explicitly realized.
We will now show that as V
-+ 00
with fixed particle density n, the U(l) symmetry
(2.9) is spontaneously broken in the ideal Bose gas.

We begin by considering the coherent states defined by
(2 .10)
Under the transformation (2.9), 18)0 transforms as
(2.11)
where the unitary operator
(2.12)
Uo = exp(i8N)
Since H18}0 = 0 , all these states have the same energy E = 0 . However, although
these states are eigenvectors of the operators ak,
(2 .13)
t hey are not eigenvectors of the operators
N. On the other hand , as Eq.
(2.13) implies,
t he average number of particles for all 18)0 is equal to N :

(2.14)
Let us consider now the limit V
-+ 00 .
First of all, using the Baker - Hausdorf
formula,
exp(Q'a) exp(,Ba t ) = exp(,Ba t ) exp(Q'a) exp(Q',B) ,
(2.15)
we find th at
0(8'1 8)0 = exp{N[cos(8 - 8') - ]
+ isin(8 -
'.('. si'I('(' N /V o is fi xed , le}u-sl. ;tI.CS Iwco lIl(' ClI'tluHlor""tl
8')]}
;lq
--> 000'
N- oo
-+ 00.
'
(2.16)
Moreover, one
18
can check that all vectors from the Fock space Fo with the vacuum !e)o are orthogonal
to vectors from the space Fo',
e' =I e, as V --> CXJ.

N as we noted
N but the density operator
In a finite volume, the states !e)o are not eigenvectors of the operator
above. However, as V
h = lim
V-oo
NIV .
-->
CXJ, the appropriate operator is not
Let us calculate the dispersion of the density for the states !e)o :
D =[o(e!h 2 !e)o - (O(e!h!e)O)2 P/2
=v-1[o(e!(a6ao)2!e)O - (O(e!a6 ao!e)O)2p/2

=V- 1 N 1 / 2 = nN- 1 / 2
-->
(2.17)
0.
V~oo
Thus, with V
-->
CXJ, the fluctuations of the density
suppressed. What have happened looks as a miracle:
III
these states are completely
as N
-->
CXJ(V
-->
CXJ), we find
a continuum set of different states with the same n = lim N IV and the same energy
V-oo
E =O!
What we have shown is that the Bose - Einstein condensate gives a realization (apparently the simplest one) of the phenomenon of spontaneous symmetry breaking: while
the lagrangian density (2.1) is invariant under the transformations (2.9) , the vacua !e)o
of the system are not (see Eq. (2.11)).
We would like to point out the following characteristic features of the phenomenon:
a)
The degeneracy of the vacua !e)o reflects the presence of the "excitations"
(created by the operator a6) with zero energy. This in turn connected with a specific
dispersion law for the ideal Bose gas: f(k) = 2k~, and f(k )
-->
0 with k
-->
o.
This point
is a manifestation of a general phenomenon known as the Goldstone theorem in particle

physics:
spontaneous breakdown of a continuous symmetry leads to the appearance
of an excitation branch with f(k )
-->
0 as k
-->
0 (a gapless mode). The situation in
particle physics is in a sense even simpler:
since the Poincare group fixes the form

of the dispersion law for one particle states as f(k) = (k 2 + m 2)1/2, the gapless mode
corresponds to a massless particle with (k) = k (see Chapter 3 for a more detail);
b) Why should we consider the vacua !e)o instead the vacuum !N) (2.6) in the infinite volume? The latter choice would give us a system without spontaneous brea.kdown
of the U (1) symmetry.
The
ans~er
19
to this question is connected with the so called clusterization property
of the vacuum. Let us consider a Green's function

k
C<n+k) =
(OITII A;(x;)
i=1
II Bj(Yj)IO}
(2.18)
j=1
where Ai(Xi), Bj(Yj) are some local operators. The clusterization property implies that
when
r;j --; 00 (rlj
= (Xi -
Yj)2) for all i and j, the Green's function then factorizes as
follows:
G(n+k) --;
(OIT
i=1
j=1
II Ai(X;}IO)(OIT II Bj(Yj )IO) .
(2.19)
T he physical meaning of this property is clear: ciusterization implies the absence of

instantaneous long-range correlations in the system, so that the dynamics in two distant
spatially-separated regions are independent.
Let us now consider the Green's function
(2.20)
T he clusterization decomposition would imply that
lim
x 2 ----..oo
d 2l(x) =
(Nl cp(x) IN}(Nl cpt(O) IN) = 0
(2.21)
in the infinite volume. However, since
(Nl cp(x) IN
+ I) #-
we see that G(2)(x) does not vanish as
0, (N
+ llcpt(O)IN) #-
x2 --; 00.
(2.22)
0 ,
(We note that in the infinite volume,
ho th the state IN}and the state IN + I) have the same density n, therefore we must take
i"l,o account the contribution of the IN
+ I}-state).
T hus the ciusterization property does not take place for the IN } - vacuum.
On the other hand, since all vectors from the Fock space Fo built on the vacuum
I()} II a re orthogonal to the vectors from Fo', 81
#- 8,
the ciusterization property does take
" Ia.ce for th e 18}0 - vacua;
<:) Although all th ese statements are strictly valid only at V =
00,
the physical
1'1ct. ll r(' rCi11 ains I rad ically th e same in a finite but sufficiently large volume (though
l iN cor recti ons
("(HI
he interestin g for SO lll (' purposes, t hey are pract ically irrelevant for
"",s l, ph'ysica.! qllalltil.i (s).
20
2.4 .
SUPERFLUIDITY. LANDAU CRITERION
Superfluidity is the property of a liquid of flowing through capillaries without exhibiting viscosity.
Superfluidity is a quantum phenomenon. In classical physics, interactions of a liquid
with capillary walls will always cause the liquid velocity to decrease:
Mv 2
2
Mv'2
2
= - - -> E' = - - < E
(2.23)
if v' < v,
where E(E'), v(v ' ) are initial (final) energy and velocity of a liquid (with a mass M),
respectively.
In classical physics, such a process is never forbidden by the energy-
momentum conservation.
In quantum physics, as it was shown by Landau, the situation is essentially different
1, 2]. Following Landau, let us consider the flow in a coordinate system moving
with the liquid. The key point in the Landau consideration was that the interactions
of the liquid with the walls of the capillary (moving with velocity - v in this frame)
cannot initiate movement of the liquid as a whole. The interactions initially lead to the
appearance of elementary excitations in the liquid.
An elementary excitation appears with momentum k and energy E(k). Therefore the
energy
Eb of the liquid becomes equal to E( k) and its momentum P~ =
k. Transforming
the liquid to the coordinate system where the capillary is at rest, one finds:
2
Mv-=Ek
()
E I =EI o +P IoV++kv+E,
2
pI =k+Mv.
(2.24)
Since the energy of the liquid must decrease as a result of the appearance of the elementary excitation, we come to the condition:
E(k)
+ k v < o.
Since minimum of the combination E(k)
+ k v
(2.25)
appears with antiparallel k and v, we
find from Eq. (2.25):
v> E(k)jk .
(2.26)
If this criterion is not upheld at any k, sli pe rfluiclity ta kes pl ace (the La nd a u criteri on) .
21
We can now understand impossibility of superfluidity in classical physics in a somewhat different way. As " elementary excitations" in a classical liquid, one can consider
small pieces of the liquid with masses m ~ M. Then the energy c( k) is c(k) = k 2 /2m.
We find that the Landau criterion (2.26) is upheld at any v provided k < 2mv, consequently superfluidity is impossible in a classical liquid.
Since the energy of the excitations in an ideal Bose gas is also c(k) = k 2 /2m, we
conclude that superfluidity is impossible for this case as well.
In the next section, we consider a soluble model (an almost ideal Bose gas) in which
superfluidity is realized.
2.5. SUPERFLUIDITY IN AN ALMOST IDEAL BOSE GAS
We will discuss here the model of an almost ideal Bose gas first considered and
solved by Bogolyubov [ 3, 2].
The hamiltonian of the model takes the form:
(2.27)
One assumes that the hamiltonian describes a weakly interacting gas, I.e. that
f!.
n l / 3 ~ 1, where a is the scattering length (see below) .

Because of this assumption, the vacua
ap proximations for the vacua
Ie)
le)o of the ideal Bose gas should be good zero
of the hamiltonian (2.27). In particular one can expect
tha.t
(2.28)
The operator ao is nearly classical, since while
(2.29)
til (' COlllll llltil.tor
[ao, a6] is
(2.30)
22
a6ao +
I>tak
= N
(2.31)
k;to
to express a6ao in terms of atak (k
-I
0) in the leading (a6)2(ao)2 term. After this
substitution, the remaining ao and (a6) are approximated by

(2.32)
and the hamiltonian takes the form:
Following Bogolyubov, we use the transformation

(2.34)
to diagonalize this hamiltonian. The coefficients
Uk
and
Uk
satisfy the condition

(2.35)
in order to retain the canonical commutation relations for bk ,
bt.
Consequently, the
transformation (2.34) can be rewritten in the form:
(2.36)
where the quantity Lk is constructed to eliminate nondiagonal terms like bkLk and
btb ~k in the hamiltonian:

(2.37)
with
(2.38)
The scattering length a is a = : Uo.
23
The hamiltonian now takes the form:

(2.39)
with E(k) given by Eq.(2.38) and
(2.40)
Thus E(k) determines the dispersion law for the excitations in this system. The crucial
point is that
(2.41)
E(k)::=uk
(and not
E '"
k 2 ) as k
-+
0. Comparing this relation with the Landau criterion (2.26),
one finds that when the velocity v is smaller than u, superfluidity occurs in the system.
Let us consider the content of the vacua IB) in the terms of the initial particles
connected with the operators ak, at.
Since bklB) = 0, the relation (2.36) implies that
(2.42)
In particular the density nk = Nk/V goes to zero as V
no = No/V is finite at V =
00.
-+ 00.
However the density
In fact we have
V / d3 kNk
No =N - (21r)3
(2.43)
_
[ 1-8 (Na3)
1/2]
-N
3 7rV
By using the same approach as in the section 1.4, we find the explicit representation
of the vacua IB):
10) =
exp( - N/2)exp(N~/2eiOa6) II(1- L~)1/4. exp Ge 2iO Lkata~k)
10bare)
(2.44)
k;lo
(COI llpa.rc with I ~q . (l. c l) a.nd 8q .(2. 10) ). (Jlldcr th c U(1) t.r ansformations (2.9), the
24
Dynamical Symmetry Breaking in Qu.antu.m Field Theories
vacua transform as
Ie)
uo, le)
Ie + e').
(2.45)
Therefore the spontaneous breakdown of the U(l) symmetry takes place in the system.
Since Uo commutes with the hamiltonian, the vacua
Ie)
have the same energy. The
degeneracy of the vacuum in this case is connected with the presence of a gapless mode
with E(k)
uk at small k (phonon excitations).
It is convenient to introduce a wave function for the condensate 'Pc(x, t). In the
ground state,
(2.46)
is independent of x and t. In the general case (for a moving liquid, for example), 'Pc can
depend on x and t : 'Pc(x, t) = n~/2 (x, t)eiO(x,t). The current density of the superfluid
condensate is
i
Z
[
<li.
<li 1
1 <lie
J c = 2m 'Pc U 'Pc - 'Pc u 'Pc = m nou .
2.6.
(2.47)
SUPERCONDUCTIVITY. GENERAL REMARKS
The phenomenon of superconductivity can be considered as superfluidity of a charged

fermion gas (or liquid). Therefore the Landau criterion (2.26) of superfluidity is applicable to superconductivity as well.
In an ideal Fermi gas, with the dispersion law E(p) =
fi., superconductivity is impos2
sible, as is evident from this criterion. Therefore the phenomenon of superconductivity

implies an essential alteration of the form of the spectrum in a superfluid Fermi gas.
A theory of superconductivity was elaborated by Bardeen, Cooper and Schrieffer
(the BCS theory)[ 4] . The key physical phenomenon underlying the BCS theory is
the creation of an energy gap near the Fermi surface in the spectrum of one fermion
excitations. The gap appears as a result of the interactions of electrons with phonons.
We emphasize however that although the presence of the gap implies the validity
of the Landau criterion for fermion excitations (if the velocity v of the fermi on gas
is sufficiently low) , it itself is not sufficient to reali ze supe rcondu ctiv ity. In fact, a n
energy gap is present in th e elect ron spect rllm of ;tII illslIl ",(.or ill whi ch th e re is
11 0
evell
25
electrical conductivity! The essence of superconductivity is that the generation of the

gap in superconductors is related to the spontaneous (dynamical) breakdown of the
U(l) gauge symmetry that generates the superconductivity current analogous to the
superfluid current (2.47).
Our aim here is to discuss superconductivity from the field theoretical point of view
in order to exhibit its deep connection with the phenomenon of dynamical generation of
fermion masses in pa.rticle physics. In particular, we will show that the BCS theory can
be regarded as a theory of dynamical generation of a nonrelativistic Majorana mass for
electrons in metals.
2 .7. IDEAL FERMI GAS. FERMI GAS WITH THE MAJORANA MASS
The lagrangian density of an ideal Fermi gas is
=
where
,p is
i,pt
:t,p +,pt C~ + 1') ,p ,
(2.48)
a two component fermion field, and pis the chemical potential which is equal
to the energy on the Fermi surface:

p2
(2.49)
1'=1.
2m
The Fermi momentum PF is expressed through the gas density [ 2 1:
(2.50)
The lagrangian density (2.48) implies the following equation of motion:
(2.51)
Its general solution takes the form:
(2 .52)
whe re c(p) =
f,:;;: -
1', and the spinors v(s) are

v( +I} =
' I'h(
f\ "(J lllld HUrt.(
C) ,
of ,1.11 ide:'! 1,'( , ", i
1) (- 1} =
KlI'i
C)
iN 1.11(' ,.,1.1,.1." ill whi ch a.II levels with
(2.53)
Ipi :S PF
26
are filled by fermions . Let us define Ep ==

Ep = (p) at
Ipi >
PF.
1(p)1.
i.e. Ep = -(p) at
Let us also define b~(s) == a_p(-s) at
Ipi
Ipi
~ PF ,
and
PF. Then the
general solution (2.52) can be rewritten in a form similar to that of the general solution
of the Dirac equation (see Eq.(1.31)) :
(2.54)
The ground state satisfies the condition :
(2.55)
The operators a~(s) and b~(s) create the fermion (electron) and hole excitations, respectively.
Let us now alter the lagrangian density (2.48) :
(2.56)
The new term here is a Majorana mass term (compare with Eq.(1.29)). It is invariant
with respect to the 50(3) (rotational) group, although it violates the conservation of
the fermion number connected with the U(l) transformations:
(2.57)
As we shall see in the next section, this model is very useful in studying the BCS model
of superconductivity.
We introduce a bispinor
(2.58)
Then the equations of motion corresponding to the lag ra.ngia.n density (2.56) take the
27
following form in the momentum space:
(2 .59)
(2.60)
The dispersion law implied by there equations is
w = Ep
= (E2(p) + IMI 2)1/2
(2.61)
with IMI = (M M*)l/2 and E(p) = ~ - J.l.

After rather long but routine algebraic manipulations, we obtain the following general solution for 1/;M :
1/;M = (2:)3
L
s=1
d3p{ e-i(Ept-px) [e(lpl- PF)Cp(S)up(s)
+ei(Ept-px) [ e(lpl- PF)4(s)u p(S)
+ e(pF -Ipl)dp(s)vp(s) 1
+ e(pF -lpI)4(s)vp(S)
] },
(2.62)
where the four component bispinors are :
Up(S) = (
+ E(P)) 1/2 (
p2E
p
Up(S) = (Ep
p)+Ep v
+ E(P)) 1/2
2Ep
vp(S) = (
v(s)
(-l)'M" (_)
(-l)'M
p)+Ep v(-s)
v(s)
E _E(P))1/2 (
v(-s)
)
P2E
(-1)~M () ,
p
p)-Ep v S
Vp(S) = (Ep - E(P))

2Ep
1/2
(-1)~M
( ))
p)-Ep v S
v( -s)
(2.63)
(2.64)
(2.65)
(2.66)
T he ground state satisfies the condition :
(2.67)
T he ope ra tors c~( s ) , 4( s ) create ra th er unusual excitations which are a coherent mixt ure o r elect ro n and ho le exc ita ti on. o r a.n ide al Fe rmi gas. Fermi on number becomes a
ha.d q ua llt'"11 " ,""be r ill th e
~'ys t C Il1 .
28
Let us consider in more detail the structure of the ground state JOM) in the terms
of the dynamics of the usual ideal Fermi gas. We shall see that JOM) coincides in fact
with the ground state in the BCS model.
To obtain the structure JOM), we will follow the methodology of the analysis of the
ground state of the massive Dirac field (see Sec.1.4). As in that case, we utilize the
boundary condition
(2.68)
where
.,pM=O
(:t )
with
.,p being given by Eq. (2.54) .
Eqs. (2.54), (2.62) and (2 .68) yield the relations:
d~(s) = a(p)b~(s)
+ e2i0f3.(p)Lp(_s)
dp(s) = a(p)bp(s) + e-2i0f3.(p)b~p(_s) ,

4(s) = &(p)a~(s) + e- 2iOp.(p)a_ p(_s) ,
cp(s) = &(p)ap(s)
(2 .69)
+ e2iOp.(p)a~p(_s) ,
where M = JMJe 2iO and where
1 (
a(p) = [ 2"
f3.(p) = (-1)
a(p) =
1-
'~. [~ (1 + iJ;)] 1/2 ,

(2.70)
[~(1 + E~)) f/2
Ps(p) = (-1)It'
We note that
E(P))] 1/2
E;
,
(1-
E~)) f/2
SpontaneO'U6 Symmetry Breaking in Conden6ed Matter
29
Eqs. (2.67) and (2.69) imply that
10M)
IT
(a(p) - e-2iO,B,(p)b~(s)b~p(-s)) .
I pi :::;'PF
S
= 1
(2.71)
IT'
I pi > PF
S
= 1
where 10) = 10M=O) is the ground state of the ideal Fermi gas. The symbol II' means
that in order to avoid the double counting, we consider here the vectors n = P /IPllying
in the upper semisphere (nz > 0) only.
Thus 10M) is a superposition of states with differing eigenvalues for fermion number.
Let us find the average of the fermion number operator
N=
Wc see that
(2'71-)2
Ipi > PF
s = 1
s = 1
N =(OMINIOM)
b~(s)bp(s)
Ipi :::;. PF
a~(s)ap(s)
,B;(p) +
Ipi :::;. PF
Ipi > PF
s = 1
s = 1
f(p)
(2.72)
P;(p)
(2.73)
f(P) ]
P dp 1 + B(PF -lpD-e; - B(lpl- PF)-e;
N goes to infinity with V
00,
so that the state 10M) lies outside of the
Fock space of the ideal Fermi gas FMIM=O in the infinite volume. The same is true
for any state with a finite number of c and d excitations possessing the Majorana mass
!vi . This of co urse implics th at the Fock spaces
FM=o and FM with M
i=
0 correspond
to tw o in <'q llivil.lcJlt rcp resentations of t.he canon ical commutation relat.ions for the field
1/1AI (0, x)
'I/I AI
o(O , x) .
30
Let us now calculate the fermion propagator
(2.74)
We rewrite the equation for
1/iM
in the matrix form:
(2.75)
where
fo =
(1o 0)
(2.76)
-1
The equation for the propagator is
(2.77)
or
(2.78)
with
G( w, p) =
d4 xei(wt-px)G( x) .
(2.79)
The solution of the equation (2.78) is
fow+
G(w , p) =
(~- J.l)
+ IMl f2
2
w2 -
IMI2 - (~ - J.l) + iO
fo
(2.80)
Rewriting the propagator G(x) as
(2.81)
Spontaneou& Symmetry Brealcing in Conden3ed Matter
31
we find that
(2.82)
with
(2.83)
FaP(w,p) =
-Meap
w 2-IMI2
- (~ - J.t) + iO
(2 .84)
==F(w, p)eap .
The function Fap describes the "anomalous" part of the propagator connected with
the Majorana mass M and, consequently, with the violation of the fermion number
conservation. As we shall see in the next section, the fermion propagator in the BCS
model has exactly the same structure as Gap(w, p) in Eq. (2.82).
2.8. BCS MODEL OF SUPERCONDUCTIVITY

We are ready now to discuss the BCS model. We will do this comparing BCS
dynamics with those of the Fermi gas with a Majorana mass.
The BCS lagrangian density takes the form
(2.85)
T hus, instead of a Majorana term, a four-fermion term appears in
LEGS.
This inter-
action, unlike the Majorana mass term, is invariant under the U(l) transformations
(2.57) .
The four-fer mion term of (2.85) describes the interactions of electrons with phonons
near th e Fermi surface. The BCS model can be considered as an effective theory one
o btain ~
III 0 f r
a ft er integ ra.ting Ollt th e phonon degrees of freedom in the pa.t.h integral of a
flllld ;ulI (' lIta.1 l
hl'ory.
32
The equation of motion in the BCS model is
:t 7/l",(x) + (2~ + p) 7/l",(x) + g7/l~(x)7/lp(x)7/l",(x) 0,

=
(2.86)
a rather complicated nonlinear equation. The BCS approximation to its solution occurs
upon making the following substitution into (2.86):
7/lp(x)7/l",(x)
----->
(OI7/lp(x)7/l",(x) IO)
= lim(O IT (7/lp(x)7/l",(y)) 10}

x-y
== iF(O)cp", ,
(2.87)
where 10} is the ground state of the model, and F(x - y)cp", is the anomalous part of
the fermion propagator (compare with Eq.(2 .81).
This substitution reflects the essence of the dynamics
III
the BCS model.
The
composite operator 7/lp(x)7/l",(x) describes a condensate of electrons. The substitution

corresponds to the approximation in which this operator is treated as the c-number
iF(O)c",p, i.e. it is assumed that its classical part dominates. One can see a striking
similarity of the BCS approximation with the approximation used before in the problem
of a nonideal Bose gas (see Sec.2.5). In that case the condensate was described by the
elementary field rp( x) ; the condensate led to the spontaneous breakdown of particle
number conservation. In the BCS model the condensate described by the composite operator 7/lp(x )7/l",(x) leads to the spontaneous breakdown of the U(l) symmetry connected
with the conservation of the electric charge.
With this substitution, equation (2.86) simplifies to become the equation
(2.88)
where Md
== -igF(O) can be considered as a dynamical Majorana mass. Indeed, if we
replace Md with M , this equation exactly coincides with that of the Fermi gas with a
Majora.na mass. Therefore we can use freely the results of the preceding section.
In particular the fermion propagator (see Eqs. (2.80) a.nd (2.84) is given by
(2. 89)
Spontaneou& Symmetry Breaking in Conden&ed Matter
33
(2.90)
However we now have an additional constraint for Md :
3
Md = -igF(x)lx=o = (2;)4i / dwd pF(w,p) .
(2 .91)
Substituting the expression (2.90) for F(w, p) in the equation (2.91), we find
(2.92)
Thus, Md is a dynamical quantity and not a free parameter like the Majorana mass M
of the preceding section.
To solve the equation (2.92), we need to know the following additional information.
The BCS model describes the interactions of electrons near the Fermi surface. It means
~
that the quantity E
==
r.;, is in the interval

(2.93)
where EF = ~ and
WD
is the Debye frequency which is an important (and measurable)
property of crystals. Thus
WD
plays the role of an ultraviolet cutoff in the problem.
Therefore equation (2 .92) becomes
(2.94)
The solution of this equation is

(2.95)
where
I/F
(dNF =
is the energy density of the number of states of electrons on the Fermi surface
8(~~y3}dp)
,
(2.96)
Tlills because of th e presence of the Fermi surface (l/F > 0), the mass (gap) Md
"ppei"l,l's for itll y positive value of the cO llpling constant
d,t.l.I';,cl.ioll i'lItCl'ildioli s between elect rons) .
g(g > 0 corresponds to the
34
A characteristic point of the expression (2.95) for IMdl is an essential singularity at

9 =
D. Another characteristic point is that equation (2.94) determines the absolute
value but not the phase of Md (Md = IMdle2iO). This is a signature of the vacuum
degeneracy in the BCS model associated in turn with the spontaneous breakdown of the
U (1) gauge symmetry. We shall discuss this point in more detail in the next section.
2.9.
DYNAMICAL
U(I)
GAUGE SYMMETRY BREAKING IN THE BCS MODEL
Dynamical symmetry breaking is a special case of spontaneous symmetry breaking

in which the condensate (order parameter) is given by the vacuum average of a composite
(and not elementary) operator.
In the case of the BCS model, such an operator is 1jJp(x)1jJe.(x) , and the order
parameter is
(2.97)
It is clear that Md
# D implies noninvariance of the
vacuum with respect to the gauge
U(I) transformations (2.57). Indeed, if UoID) = ID), then

(DI1jJp (x )1jJa (x) ID) =(D!UO-l1jJp( x )Uo Ui I1jJa( X )VoiD)
(2.98)
=e -2iO (0 I1jJp (x )1jJa( X )ID)

in which case />,tId is necessarily zero.
Let us consider the structure of the BCS ground state.
First of all, let us recall that in the case of the Fermi gas with a Majorana mass
M = IMl e2io , the vacuum state is given by the expression (2.71). Since in the BCS
approximation, the equation of motion (2.88) coincides with that of the Fermi gas with
a Majorana mass Md = IMdie2io, we can write immediately the ground state:
II'
Ie) =
( a(p) - e -2i.B.(p)b~(s)b~p( -s))
Ipi ~PF
5
II'
Ipi > PF
5
with a(p), .B. (p), &(p), iJ. (p) are given in 8q.(2 .7D) .
(2.99)
Spontaneotl.$ Symmetry Breaking in Conden&ed Matter
35
However there is a crucial difference between the dynamics of these two cases. In the
case of the Fermi gas, there is one-to-one correspondence between the vacua Ie) and the
lagrangians with different M =
IMle 2io .
In the case of the BCS model, the equations
of motion do not determine the phase e ; therefore all vacua Ie) correspond to the same
lagrangian density (2.85).
Under the transformations (2.57), the vacuum Ie) transforms as
Uo'le) = Ie + e') .
(2.100)
Since the operators Uo commute with the BCS hamiltonian, Eq.(2.100) implies spontaneous breakdown of the U(l) gauge symmetry and the degeneracy of the vacua Ie) .
Although in the present approximation, the equation for the fermion propagator in the BCS model coincides with that in a Fermi gas with a Majorana mass,
the physical content of the two cases is essentially different. In the Fermi gas, the
spectrum of the hamiltonian is very simple (the excitations created by the operators
4(s),db(s) with Ep = (E2(p) + IMI2)1/ 2). By contrast, the vacuum degeneracy in the
BCS model implies that these excitations are accompanied by some collective excitations, such as those in the superfluid Bose gas.
The study of the spectrum of excitations in a system with dynamical symmetry
breaking is a rather complicated problem equivalent
to :~hat
of bound states (electron -
electron bound states in the case of the BCS model)(see Sec.9.5). In the next section,
we will use a rather heuristic approach to address this problem.
2 .10. THE GINZBURG-LANDAU EFFECTIVE ACTION. THE MEISSNER EFFECT
The characteristic quantity in superconductivity is the condensate
(ell/Ja(x)l/Jp(x)le) = iEapF(x, x) .
(2.101)
In th e absence of external fields, F(x, x) is independent of x (F(x, x) = F(O)); in

gell eral, however, it depends on x . This function describes the dynamics of super("o llducling electron pairs (Cooper pairs) in a superconductor. In particular, collective
('xcita,ti
li S
ca.n be described as small variations (fluctuations) of the condensate near
1,11 (' gro lill os t atc with
P( x, x ) = 1'(0) .
36
The form of the effective adion describing such low frequency fluctuations was
established by Ginzburg and Landau on the basis of the general Landau theory of
the second order phase transitions [5 ,2]. In the case of superconductivity, the phase
transition is a transition in temperature. At T < T e , the wave function
'Pe{X) == iF{x, x)
(2.102)
is nonzero, and therefore the U{l) gauge symmetry is spontaneously broken. At T > T e ,
the function 'Pe{x) = 0, and the symmetry is restored.
In the absence of an external electromagnetic field, the Ginzburg-Landau (GL) effe ctive action at zero temperature takes the form:
(2.103)
where a, b, c, d are some parameters; the coefficient
4!"
is fixed so that the mass of a
Cooper pair is 2m.

Because of the action SaL describes low energy fluctuations , all terms with higher
derivatives are neglected {there are some general arguments in support of the absence
of terms with one derivative in SaL [ 2 D. The Landau theory implies that a
< 0 and
b > 0 at T < Te ; this provides the spontaneous breakdown of the U (I) symmetry.
In principle, SaL can be derived from the BCS action [6] (see Sec. 11.3) , however
some important information can be obtained directly from SaL.
The value of 'P1'Pe corresponding to the ground state ('P1'Pe = <p1<Pc ) is independent
of t and x, and therefore it is given by the minimum of the potential
(2.104)
We find
<P!<Pe = -alb > 0 .
(2.105)
'Pe {X) = n!/\x) exp (2ie{x)) ,
(2.106)
Let us rewrite 'Pe{x ) as
where n.{x) can be treated
<IS
the densit.y of s' lpcrcon<i'ld ing ('I('ctro n pairs.
SpontaneOU6 Symmetry Breaking in Conden6ed Matter
37
The dispe.rsion law for the excitations connected with the fluctuations of the density
ns{x) and the phase e{x) can be found from SGL. Since the phase e{x) appears only in
the terms with derivatives, it is associated with a gapless mode in which
(2.107)
as k
-+
o.
On the other hand, there is a gap in the spectrum of the excitations connected
with ns(x):
(2.108)
as k
-+
o.
In fact one can show that J.l = 21Mdl in this approximation (see Sec. 9.5).
The gapless mode (2.107) is intimately connected with spontaneous U(1) symmetry
breaking (see Sec. 3.4). However , as shown by Anderson and Nambu [7, 8,], the character
of the spectrum changes dramatically in the presence of an external electromagnetic field .
This can be shown in GL framework in the following way.
In the presence of an external electromagnetic field, the GL action is
SGL =
dtd3x{ -~F"vF"V + c [d{at + 2ieAo) 'P1 (at - 2ieAo) 'Pc
4~n (ai + 2ieAi) 'P1 (ai -
2ieA;) 'Pc - a'Pct'Pc -
~b ('P ct'Pc) 2]};
(2.109)
F"v = a"Av - avA" .

T he appearance of 2e follows from having the charge of a Cooper pair be equal to 2e.
The remarkable point of the action (2.109) is that the phase e( x) appears only in the
combination a"e - eA" . Therefore it can be removed by the local gauge transformation
a"e - eA"
---+
-eA" . Thus we conclude that the phase e(x) disappears from the
dynamics.
What happens to the excitations associated with e(x) ? Let us consider the Maxwell
equations for AI' :
a"F"v =Jv,
(2.110)
where, as it follows from Eq.(2.109), the current Jv is
(2.111)
38
Let us consider a rather weak external field when cp!CPc =::: 0!0c
= n.,
where
n.
is
the density of the Cooper pairs in the ground state. Now one can see that the terms
8e 2 cdn.A6 and 2e 2 cn.AI in the equation (2.109) reveal themselves to be mass terms for
Ao and Ai, respectively.
Let us consider the case of an external, time-independent, magnetic field B = curlA.

The Maxwell equations (2.110) for Bare
curlB
(2.112)
=} ,
divB =
o.
(2.113)
On the other hand, Eq.(2.111) implies that

2
curl}
= - -2e-mcn.
-B .
(2.114)
This is the famous London equation. Substituting} from Eq.(2 .112) in Eq.(2.114) and
taking into account that, because of Eq.(2.113), curl curl B =
-~B,
we obtain the
equation
(2.115)
Let us consider a superconductor with the surface in xy - plane, and an external B

field depending only on the coordinate z. Then Eqs. (2.113) and (2.115) imply that
Bz =
o.
The equation (2.115) now takes the simple form:
(2.116)
Its solution is
B(z) = Boexp(-z/8) ,
(2.117)
where Bo = (Box, Boy, 0) is the field on the surface of the superconductor.

Thus the magnetic field decreases exponentially into the superconductor. This phenomenon is known as the Meissner effect .
Spontaneou& Symmetry Breaking in Conden&ed Matter
39
e in
the
Now we can answer the question concerning the fate of the gapless mode
external field. As we already noted, the Meissner effect can be treated as the appearance
of a mass for the electromagnetic field. The massive vector field has not only transverse
components but also a longitudinal one . This degree of freedom is just the transformation of the gapless mode in the electromagnetic field (the plasmon excitation).
The Meissner effect is a nonrelativistic analog of the Higgs mechanism of generating
the mass for vector fields in particle physics (see Chapter 3).
In this chapter, we considered two remarkable phenomena in condensed matter
physics, superfluidity and superconductivity. These phenomena reveal all essential features of the spontaneous symmetry breaking and dynamical symmetry breaking mechanisms. In particular they can serve as laboratories for studying these phenomena in
particle physics. Being much more visual, they will help us to obtain clearer insight in
the physical content of these phenomena.
Chapter 3
Spontaneous Symmetry Breaking in Relativistic Quantum Field Theory.

General Consideration
3.1.
INTRODUCTION
In this chapter, we consider general properties of the phenomenon of spontaneous

symmetry breaking in relativistic quantum field theory.
We shall consider relativistic field systems at zero temperature and zero particle
density. Our everyday intuition suggests that the vacuum of such systems should be
an "empty" state containing "nothing". This is of course connected with the point
that the vacuum must be invariant under the Lorentz transformations (if one does not
consider the possibility of spontaneous Lorentz symmetry breaking). It is very difficult
to imagine another medium than "nothing" being the same in all Lorentz frames.
On the other hand, by definition, in the case of spontaneous symmetry breaking, an
invariance of the action of a system is not an invariance of its vacuum. It is difficult to
imagine how "empty" state ("nothing") can have a lower symmetry than the action.
This point was a severe psychological obstacle for introducing the concept of spontaneous symmetry breaking in particle physics and was overcome only in the sixties. The
concept was introduced in the classical papers of Nambu, Nambu and Jona-Lasillio, and
Goldstone [1, 2, 3]. Remarkably, Nambu suggested the first and most important example of a spontaneously broken symmetry in particle physics -
the chiral symmetry,
intimately connected with the dynamics generating masses of elementary particles .

One should also indicate the important paper of Vaks and Larkin [4], unfortunately
almost unknown outside of the former USSR. They also considered the dynamics generating fermion masses. It is interesting that in their paper, Vaks and Larkin discussed
a model in which a Majorana mass was dynamically generated (see Sec. 6.4).
Spontaneous (dynamic) chiral symmetry breaking is the main subject of the present
book. In this chapter, we will discuss general characteristics of spontaneous symmetry
breaking phenomenon.
'to
Symmetry Breaking in Relativi6tic Quantum Field Theory
41
3.2. THE GOLDSTONE MODELS

As we already know, spontaneous symmetry breaking corresponds to the situation
in which the symmetry of the action of a system is higher than the symmetry of its
vacuum. The simplest examples of this phenomenon are given by the Goldstone models
(3].
The first Goldstone model is the model of a real scalar field with the lagrangian
density
(3.1)
where the potential U is
J.l2
U(rp) = -rp
2
,\
+ Irp
4.
; ,\
>0
(3.2)
The lagrangian density is invariant under the discrete transformation

rp --+ -rp .
(3.3)
The energy density of the system is
1l =
:21 (Oarp) 2 +:21 (Vrp) 2 + U(rp)
(3.4)
Let us first consider the classical limit in which the field rp(x) is a c-number field. Eq.(3.4)
implies that a solution with the lowest energy density is x-independent, i.e. rp = canst ..
In this case
1l = U(rp) ,
(3.5)
and rp satisfies the equation:
(3.6)
When J.l2 > 0, th e potential U(rp) has only one minimum at rp = 0 (see Fig.3.1).
II oweyer, when J.l2
< 0,
the form of the potential changes dramatically (see Fig.3 .2):
42
now the trivial solution 'P =
corresponds to its maximum, and there are two nontrivial
solutions corresponding to the two minima:
'P = ( -:-
2) 1/2
(3.7)
== v .
----~~----~'P
Fig. 3.1
Fig. 3.2
The trivial solution is invariant under the transformation (3.3), so that when p.2
> 0,
this discrete symmetry is the symmetry both of the action and of the vacuum solution.
However, when p.2 < 0, the two solutions (3.7) are noninvariant under this transformation:
(3.8)
In this case the symmetry of the vacuum solutions is lower than the symmetry of the
action. Therefore the spontaneous breakdown of the discrete symmetry (3.3) takes place
in the system.
Since the hamiltonian is invariant under this transformation, the energy density of
the solutions 'P is the same
(3. 9)
Thus the va.cuum dege neracy takes plitCe in th e sys te lll .
Symmetry Breaking in
Relativi~tic
Quantum Field Theory
43
In the case with p2 > 0, p is the mass of the field 'P. To determine its mass at
p2
< 0, it is convenient to introduce a field

'PI = 'P - (v)
(3 .10)
(one can choose either sign here; for the sake of definiteness, we shall use +v). Then
one finds:
..\v2
U ('P) = -'P
6
Therefore the parameter
t2
..\V 13
..\ 14
+ -'P
+ -'P
6
4!
..\
-v .
24
(3.11)
Af is the mass square of the field 'PI.
Let us make the following remark. Although we used the classical approximation,
the treatment of the phenomenon is in fact quantum: the Planck relation was used to
express the mass (the rest energy) through the frequency of the classical field .
Beyond the classical (tree) approximation the interpretation will be slightly changed
in that the field 'P is an operator, and one should consider its matrix element
(3.12)
(see Chapter 7).

One can see that 'Pc
symmetry, 'P
--+
=I
0 is a signature of the spontaneous breakdown of the P -
p-1'PP = -'P. Indeed, the invariance of the vacuum under P, PIO) =
10) , implies that

(3 .13)
i.e. 'Pc =
o.
The matrix element 'Pc = (01'P10) is called the order parameter. It defines
to what extent the symmetry is spontaneously broken in a system~)

Let us now consider the second Goldstone model giving an example of the spontaIl CO II S
breakdown of a continuous symmetry. It is a model of a complex scalar field with
.) Th e ge ne ral de"fi niti on of an o rde r parameter of a spontaneously broken symmetry is the followil'l~: a n o rd e r p a ra me te r is a non- vanishin g vacu um expectation value of some local fi eld which
tl' a ll x fo nll ~ no n- trivi cdly un d e r th e sy rnm e try gro up .
44
the lagrangian density

(3.14)
where
(3 .15)
This lagrangian density is invariant under the continuous U(l) - transformations
'P
At p2
--->
exp(iw)'P,'P t
--->
> 0, the minimum of the potential is at
exp(-iw)'P t
'P = 0; however, at p2
(3.16)
< 0, the minima
lie on the circle
(3.17)
where 'P =
72 ('PI + i'P2)' These minima correspond to a continuum set of the degener-
ate vacua.
Choosing the minimum with
'PI
= v,
'P2
=0
(3.18)
and shifting the fields,

<p'
= <PI
- V,
<P; =
(3.19)
'P2 ,
we find that the potential is (up to some inessential constant)
U ('PI, 'P2 ) =
,)2
4!..\(/212
'PI + 'P2 + 2V'PI
(3.20)
The dynamics describes two real scalar fields: the massive 'P~ field with th e mass Pl =
(
).~') 1/2
and the massless fi eld
'P~
Symmetry Breaking in Re/ativi8tic Quantum Field Theory
45
That the presence of the massless field is not an accident can be seen from the
following consideration. Let us introduce new (angular) variables:
'PI
= Pcos 8, 'P2 = Psin 8
(3.21)
The transformation (3.16) for them is
p(x)
->
p(x), 8(x)
->
8(x)
+w
(3.22)
Since is invariant under this transformation, the potential U is independent of the

angular variable 8(x). Therefore 8(x) appears in only through the derivative 8,,8.
This implies that the excitation connected with 8( x) is massless.
As will be shown in the section 3.4, the existence of such massless particles in
relativistic theories with spontaneous breakdown of a continuous symmetry follows from
very general principles. They are called Nambu-Goldstone (NG) particles .
Let us show, following Ref.[5], how NG particles appear in a system with spontaneous
breakdown of an arbitrary continuous symmetry including
f{
real scalar fields ,assigned
to a representation D(k) of the group.

Let us write an element 9 of the group in the D(k) representation as
9 = exp [iQ"'w",] ,
(3 .23)
where N matrices Q'" are generators of the corresponding Lie algebra.

Under the group transformations,
'P
->
(3.24)
exp [iQ"'w",] 'P ,
t he lagrangian density does not change, and therefore
U('P) = U(exp[iQ"'w",]'P)
Let
li S
(3.25)
assume that a solution corresponding to the minimum of the potential U is
'" I,' -d imcnsio nal vector v. Let us also assume that the subgroup with elements
9 = exp [iQ"'w",]
with n''']><'ct 1.0 whi ch th e vecto r v is inva,ria,nl. (gv = v) contain
(3.26)
R generators. Then
grll ilp ('1(, IIWlltS ('(w r('spo ndill f!, 1.0 t he r('rlla illill f!, N - N f!,c ll C'ra tors chan ge th e vector
46
v (in the example with the lagrangian density (3.14), N is N = 1 and fI is fI = 0) .

Therefore there is an (N - fI)-dimensional surface corresponding to the same value of
U but different values of the vector v. This implies that the potential U is independent
of these (N - fI) variables, and there are (N - fI) NG massless scalar particles in the
system.
We shall consider a more rigorous proof of this fact known as the Goldstone theorem
in the section 3.4. In the next section, we shall discuss the role of the thermodynamic
limit V
--+
3.3.
WHY
(Xl
in spontaneous symmetry breaking phenomenon in relativistic systems.
Do
WE NEED THE INFINITE VOLUME FOR SPONTANEOUS SYMMETRY
BREAKING?
In the previous chapter, it was shown that the spontaneous breakdown of the U(l)
symmetry in superfluidity and superconductivity can be realized only in the infinite
volume. Let us consider the role of V in relativistic systems. For simplicity, we shall
consider only the lagrangian density (3.14) with the U(l) symmetry.
As it was shown above, there is a NG field cp
==
cp~
when the spontaneous breakdown
of this symmetry takes place. Let us consider the mean-field approximation in which
the interactions between the fields cp~ and cp~ = cp are neglected. Then the lagrangian
density for cp is that of massless free field,
= -21()l m8
r /1r,
invariant under the transformations cp(x)
--+
(3.27)
In
cp(x)
+ const .
The conserved current
connected with these transformations is
(3.28)
The commutator [80cp(x) ,cp(y)]lxo=yo is
(3.29)
Therefore
i[Q, cp(x)] = 1 ,
(3 .30)
Symmetry Breaking in Relativistic Quantum Field Theory
47
where the conserved charge Q is
(3.31)
Let us consider the system in a finite volume. Then (see Sec. 1.2)
'P(x) = T
1 2
1 2
/ V- /
Lk-
1 2
/
(ake- ikx
+ al eikx )
(3.32)
(aleikx - ake- ikx ) ,
(3.33)
OO'P(x) = T
1 2
1 2
/ V- / i
Lk
1 2
/
(3.34)
One can see that
[Q ,q] =
~,
(3.35)
where the collective coordinate
(3.36)
is the coordinate of the centre of the mass of the system in the volume V.
Identifying Q with the momentum [;, [P, q] = Iii, one might think that what we have
e nco untered is the dynamics of the harmonic oscillator,
[;2
mw2q2
H=-+-2m
2
with the "mass" m
as k
-+
=V
and the frequency w
= k -+ O.
(3.37)
Naively one might expect that
0, there is an infinite number of degenerate vacua, ~

~, 10). However, as k
the hamiltonian H (3.37) reduces to that of a free particle, H =
W = - 2lr
2
82
8 2,
-+
0,
with
eigenvectors
(3.38)
The refo re th ere is no vacuum degeneracy in a finite volume; the unique vacuum (ground
s ta te) is th e s t ~. t (' 'Ij)p=o(q) = 1.
48
Dynamical Symmetry Breaking in Q'Uant'Km Field Theorie$
Thus we conclude that there is no spontaneous breakdown of the U(1) symmetry

in a finite volume. We note, however, that as the volume V grows, we have "almost"
vacuum degeneracy in the system: all eigenvectors 1f;p(q) with p2 V- 1 ~ v practically
have the same energy (v is the characteristic energy of the system (see Eq. (3.17)).
As V
--t
00,
we get a continuum set of degenerate vacua Ie) characterized by
(el'Plc) = e.
Actually, we have somewhat simplified the situation.
The symmetry of the la-
grangian density (3.27) is not U(I) but R(1) symmetry under which 'P
e <
+00 .
--t
'P+e,
- 00
<
The lagrangian density for the NG field corresponding to the spontaneous
breakdown of the U(I) symmetry is (in the mean field approximation)

(3.39)
with 0 ::;
e < 21T and p == v (see Eq.(3.21)), i.e.
with p being equal the value of the field
at the minimum of the potential.

The hamiltonian for the collective coordinate q (with k
->
0) has the same form as
before,
H = fi/2V ,
however, since q is now the subject of the constraint 0 ::; q
(3.40)
< 21TV , the wave functions
are periodic functions (1f;( q + 21TV) = 1f;( q)) . Therefore the eigenvectors of Hare:
(3.41)
1f;n(q) = exp(inq/v), n = 0, 1, 2....
The spectrum of H coincides with the spectrum of the hamiltonian of the quantum
rotator:
(3.42)
It is clear that when q
21TV, this dynamical system is practically identical to the
system with the plane wave eigenvectors (3.38).

This simple example clearly illustrates the role of the limit V
- - t 00
in spontaneous
symmetry breaking phenomenon . When V is finite, there is no vacuum degeneracy; one

must consider the coll ective coordina.te q describing the movement of the box containing
Symmetry Breaking in RelativilJtic Quantum Field Theory
49
the whole volume V . In this case, there is the unique vacuum with the momentum p = O.
As V
---> 00,
the states with such p2 that p 2V- 1
--->
0 become degenerate, and the
phenomenon of spontaneous symmetry breaking is realized .

We emphasize once again that in a finite but rather large volume the states with
p2V-l ~ v are almost degenerate. It implies that the conception of spontaneous sym-
metry breaking is practically applicable for such systems too~)
3.4.
THE COLEMAN THEOREM AND THE GOLDSTONE THEOREM
The vacuum plays a very special role in describing the character of the realization of
invariance in quantum field theory. In this section, we consider two theorems establishing
this special role of the vacuum in an explicit form.
Let us first consider the Coleman theorem [7] .
Theorem. If the vacuum in a Lorentz and translational invariant local theory is
invariant under the group generated by the space integral of the time component of a
local current ]j1., then the current satisfies the conservation law 8j1. ]j1.(x) = O.
Coleman also expressed this theorem as the statement that "the invariance of the
vac uum is the invariance of the World" .
Below, we shall present the original proof of the theorem given by Coleman. Alt hough, strictly speaking, this proof is not rigorous (see [7] and below), it expresses the
physical essence of the theorem in the best way. For a rigorous proof, see Ref.[8].
P 7OOf.
Due to the condition of the theorem, the charge Q =
J d3 x]o(x) annihilates
I.he vacuum:
QIO)
I.et
(3.43)
= 0 .
In) be an arbitrary state with vanishing 3-momentum. Then,

(3.44)
II lI t because of th e choice of the momentum p of the state
In) being equal zero, we have
11",.1. (nl.7o( x)IO) = eiPot(nlJo(O) IO) is independent of x, and therefore Eq.(3.44) implies
I ) Son , "y ""n 'Iri 's c n nee l ' d wilh Iransfo rm " li o ns of sp in va ri ables can be sp ontan eously broken
('V(' II "ill quu,lllufn Inrc ha. lli n.1 Mys l " Il Hi , ''I'll illl po rl fwt examples are give n by supersymmetri c
q ll lLUl ulI1 IIl c,(' h n,lli ('ll.1 ~ yN l (' rn li wil h lL ~p O ll l". lI tO U N l y br k(, u slI pc rsy ml'l1e try [6].
50
that
(3.45)
(nlJo(x)IO) = 0 .
This relation implies in turn that
(3.46)
But Lorentz invariance guarantees that, if this is valid in anyone Lorentz frame, it is also
valid in all Lorentz frames. Therefore Eq.(3.46) is valid for any momentum eigenstate
(nl with
P6 -
p2 >
o.
The only exception could be eigcnstates with p2 =
o.
since 'P(x) == 8"'J",(x) is a scalar field , we find that in this case (nI81'J",(x)10)
However,
rv
p2----'0.
p'=o
Thus the states (nl in Eq. (3.46) are a complete set, and therefore
(3.47)
Then the Federbush-Johnson (F J) theorem [9], which states that if a local operator
acting on the vacuum gives zero, the operator itself is equal to zero, implies that
8"'J",(x) = 0, i.e. the current is conserved (for comments concerning the FJ theorem,
see below).
Thus the invariance of the vacuum implies the invariance of the World.
Let us comment some points in this theorem.
The theorem is heavily based on the Lorentz invariance and the locality. There
is no analogue of the Coleman theorem in nonrelativistic field theory. In particular,
the physical meaning of the F J theorem is that any local operator in relativistic field
theory includes a term containing creation operators onl/) This point, evident in free
theory, is intimately connected with the PCT theorem [10]. The fact that a nonzero
local operator contains such a term implies that it cannot annihilate the vacuum.
One can show that the action of a charge operator Q =
J d3 xJo(x)
on the vacuum
10) is properly defined only if it annihilates 10). Indeed, let us assume that QIO) = 1',0) "I
o.
Then, because Q commutes with the momentum operator, 1',0) is a translation ally
*) Here under th e creation operators we und erstand the creation ope rato rs a) from th e inte rpo lat in g
fi elds
'P l
in
')
in a sys te m , i.e., th e o pe rators u, a n nihil ate th e physical vaCI! U m.
51
invariant state, and therefore (O IJo(x)I'P) is independent of x. As the result , the norm
of I'P) goes to infinite with V
--+ 00:
(3.48)
l.e. the action of Q on 10) is not properly defined.
In particular, since in the case of spontaneous symmetry breaking, the charge operators Qa connected with the symmetry do not annihilate the vacuum, their action
on 10) is not properly defined . This mathematical statement corresponds to less rigorous one that the action of the operators U = exp( iQaga) connects the different vacua
I{ga }) corresponding to the different Fock spaces
F{04} (
compare with the discussion
in Secs.2.3 and 2.5). Although the operator U is not, strictly speaking, a well defined
unitary operator, it is often visual and useful to use it in such a heuristic way.
We also emphasize that the local currents
J~ (x)
are well defined objects even in the
case th ey are connected with a spontaneously broken symmetry.

In the Coleman proof, momentum eigenstates are used. One can show that, although
the action of Q is properly defined on a dense set of states in the Fock space, the set
cioes no t include the momentum eigenstates. This is reason why the above proof is not
rigo rous. However the rigorous proof (based on the same idea) of the theorem also exists
T he Coleman theorem tells us what happens if the vacuum is invariant under some
f;ro up transformations. The Goldstone theorem establishes a general characteristic of
,,' Ia.tivistic field systems with spontaneous breakdown of continuous symmetries.
Fi rst of all, let us give a more precise definition of the spontaneous breakdown of a
, () lI ti II II 0 LIS symmetry in field theories.
Let
li S
assume that a lagrangian density is invariant under some Lie group G. Then,
I"'ca ll se of the Noeth er theorem (see Sec.4 .1), there exist the conserved currents J~(X),
,)1'.1;:(1: ) = 0 , with a = 1,2,

, ' " ls('rvcd cha rge operators
"'J
n, where n is the number of the group generators. The
Q a - , r.,:1 X}oll()
1;
(3.49)
52
Dynamical Symmetry Breaking in Quantum Field Th.eories
the lagrangian are

(3.50)
where
ea are infinitesimal parameters .
Spontaneous breaking of the symmetry implies that

(3 .51)
at some Ii. As we showed above, Eq. (3.51) implies that the action of Qa on the vacuum
is not properly defined. However, because of the locality, the commutators of Qa with
local fields are well defined and expressed through some linear combinations of the local
fields. Spontaneous breaking of the symmetry can be characterized by the condition
that there is some local fields <Pk( x) with
(3.52)
at some Ii. Eq. (3.52) implies Eq. (3.51).
We emphasize that the fields <Pk(X) can be elementary (some of the fields 'Pi(X) in
the lagrangian) or composite (like in superconductivity). In the latter case, we shall say
that there is dynamic breakdown of the symmetry.
Let us formulate now the Goldstone theorem suggested by Goldstone [4] and proved
by Goldstone, Salam and Weinberg [11].
Theorem. Let us consider a Lorentz and translational invariant local field theory
with conserved currents
J~
relating to a Lie group G . Let us assume that this symmetry
is spontaneously broken so that the equation (3.52) holds. Then there are massless
spinless particles (N ambu-Goldstone (NG) bosons) which couple to both the currents
J~ and fields <Pk.
Proof. Let us consider the Green's functions
(3.53)
The Lorentz and translational invariance implies that
(3 .511)
Symmetry Breaking in
Relativi~tic
Quantum Field Theory
53
Since fY' J~ =.0, we find that

(3.55)
Therefore this equation and Eq.(3.52) yield
(3.56)
Because of the relation (3.54), we find from Eq. (3.56) that
(3.57)
T his relation implies that there is a NG boson state Iq) which couples both to the J~
(/Jk:
and
(OIJ!(x)lq) = ijiiql'e- iqx

(qlk(X )10) =Z~/2 eiqx
with
(3.58)
r and Z~/2 satisfying the relation

(3.59)
where the state Iq) is normalized as

(3.60)
We emphasize that this proof is heavily based on the Lorentz and translational
i" viI. ri ance of a theory. There is an analogue of the Goldstone theorem, known as the
lIogolyubov "1/q2 - theorem", in condensed matter physics [12). This theorem asserts
I. h".1. if there is spontaneous symmetry breaking in a system in which the interaction falls
"fl" s liffi ciently rapidly with the distance, then in the spectrum of the hamiltonian there
"('c<!;;sa.ri ly exists a branch of elementary excitations whose energy t(q) goes to zero as
1.1". lI,omentum q goes to zero.
I" parti cular the th eo rem implies that th ere must be a gapless mode in a superII"id H()~c gas bllt tha,t s lich
"1,,
t,f( II " " fI 'l(' t.i c i 1I1. ('l'aC ti()" H.
it
lI,od(' is ;d )s(' lIt in sliperconductors due to long range
54
On the other hand, there is no such a restriction for the validity of the Goldstone
theorem. So it might seem that it is impossible to overcome it in relativistic. systems
without destroying such fundamental properties as the Lorentz and translational invariance or locality. However, as will be shown in the next section, there is a possibility to
overcome it in the physical space of gauge field theories . In that case, the theorem is
still valid , however, the corresponding NG bosons become unphysical particles like the
longitudinal and time photon modes in QED.
3.5.
HIGGS MECHANISM
To consider the fate of the Goldstone theorem in gauge theories, we begin with the
simplest case of the Abelian modeL
The lagrangian density of the model is
(3.61)
where
(3.62)
with
Dp.rp = op.rp + igAp.rp, Dp.rpt = op.rpt - igAp.rpt,

U (rpt, rp) = jJ2rptrp +
~ (rptrp
r;).
2: 0 .
(3 .63)
Comparing Eq.(3.61) with Eq.(3.14), we see that this model is just the gauged
Goldstone modeL
The lagrangian density is invariant under the U(I) gauge transformations:
rp
---->
Dp.rp
AI'
exp( iw( x) )rp, rpt
---->
---->
---->
exp( -iw( xrp t,
exp(iw(xDp.rp, Dp.rpt
---->
exp( -iw(xDp.rpt ,
(3.64)
AI' - g-lOp.w(x) .
These transformations include in particular the transformations (3.16) with w being

independent of x (global U(I) transformations).
55
Let us consider the model with J-L2 < O. The minima of the potential (3.62) are given
by (see Eq.(3.17)):
(3 .65)
Introducing the angular field variables
<p =
1 2
/ p
exp( i8), <pt =
1 2
/ p
exp( -i8) ,
(3.66)
we can rewrite the lagrangian density in the form
= -
~ (0I'Av -
ovAI' ) (01' AV - OV AI')
112
(01'P') + 2 (p' + v) (0/J8
+ 2 (01'P')
(3.67)
+ gA/J) (01'8 + gA/J) -
U (P'
+ v)
with pi = P - v.
We note that under the transformations (3.64),
8(x)
---->
8(x)
+ w(x)
(3.68)
T herefore one can always choose the gauge in which
8(x)=0
(3.69)
( I.he unitary gauge). As can be seen from Eq.(3.67), in this gauge, there is a massive
s("ala r boson with M p' =
(A~ 2) 1/2 , and also there is a massive vector boson with MA =
(I ( I . T he NG massless boson disappeared from the spectrum!
T his phenomenon, discovered by Englert and Brout, Higgs, and Guralnik, Hagen
" lid Kibbl e [13] (and which possibility was first pointed out by Schwinger and Anderson
11'11)
is kn own in the literature as the Higgs phenomenon.
A few comments are now in order. The lagrangian density (3.60) is nothing but a
,, iod.ivi st.i( ,tIlaJ ogli c of th c Ginzbllrg-Land a.u (GL) model (see Sec.2.10) . In particular
I I,, lIi ~l;s ph(, ll olllr non is t.h e rei;,l.ivist.i (" "" alog lle of th e Meissner effect in supercon-
dll ri.nrs. I\ s ill 1.11(' r asc' of t.h, M.iMH III ' dr" d, il. Ca.ll 1)(' inl.<'rpr<'i.cd as a transformation
" 1'1.1,,. N<: h,,:<oll to 1.1", 1" " fJ, it,ndi" ,I ( " 'II "' " Pnl. of 1.111' IIIH ss ivr v('(i.o r fi ('ld.
56
Why does the Goldstone theorem unfulfil in the unitary gauge with e( x) = O? The
answer is simple: in this gauge, the lagrangian (3.67) with
e=
0 is no longer invariant
under the U(l) transformations (3 .16). Since any trace ofthe U(l) symmetry disappears
in this gauge, the Goldstone theorem is no longer applicable either.
How does this phenomenon look in other gauges?
Let us add a gauge term -HF(x)F to the lagrangian density (3.61), where (~is a
gauge parameter)
(3.70)
Here we use the fields 'PI and 'P2 connected with 'P through 'P = 2- 1/ 2 ( 'PI +i'P2); 'P~+'P~ =
v 2 (see Eq.(3.17)). The gauge (3.70) is an example of the so called R~ gauges for gauge
theories with spontaneous symmetry breaking. In these gauges, there is no term mixing
AI' with 'P2 in the quadratic part of lagrangians (see Eq. (3.71) below).
The quadratic part of the lagrangian density is in this gauge:

1
II
- "4 FI'IIFI' + Z(gv)
AI'A
I'
1
I'
1 (>.v2) I I
+ Z 0I''P2 0 'P2 3 'Pl'Pl
1
- Z[F(x)F =
1 (>. v )
- Z
-3-
'PI 'PI
1
2
Z~ (01' AI')
I'
'PI
+ gvo I' 'P2AI'

1
-"4 F l'vFl'lI + Z(gv)2AI'AI' + Z(OI''P~)(ol''P~)
+ Z01' 'PI 0
(3.71)
1
1 1 2 2 2
+ Z(
01''P2)( 01''P2) - zC 9 V 'P2
+ gvol' ( 'P2 A I')
where 'P~ = 'PI - v. Since the last term in Eq.(3.71) is a total derivative, it can be
omitted.
Eq.(3.71) implies the following propagators for the fields in the tree approximation:
(3.72)
Where is the NG boson in this gauge? To answer this question, we note that the
lagrangian density (3.71) preserves th e U( l) glob,,1 syrnmcl.ry on ly if ~
---+ 00.
As one
Symmetry Breaking in Relatilli$tic Quantum Field Theory
57
can see in Eq.(3.72), in this limit, the propagator DCP' becomes the propagator of the
massless NG boson. However this particle is unphysical like the longitudinal and time
components of photon in QED . Indeed, its mass depends on the gauge parameter ,;; in
particular Mcp,
----> 00
with';
-4
O.
One can see that the gauge with'; = 0 is in fact unitary one in which there retain
only physical degrees of freedom: the field 'P2, with Mcp,
-4
00,
decouples, and the
propagator of the vector field takes the canonical form

(3.73)
This example clearly shows the essence of the Higgs phenomenon.
In the next
section, we consider it in non-Abelian gauge field theories.
3.6.
HIGGS PHENOMENON IN NON-ABELIAN GAUGE FIELD THEORIES
Let us consider some compact Lie group

(3 .74)
where every Gi is a simple Lie group or U(l). An element 9 of G can be represented as
9
= exp [iQ"w"l ; O! = 1, 2, ... , N,
(3.75)
where Q" are generators of the corresponding Lie algebra, and w" are continuous par,tll1eters.
An element gx of the gauged group G can be represented as
(3.76)
where w,,(x) are functions of the space-time coordinate xl'.
Th e ge nera tors Q" satisfy the commutation relations
(3 .77)
58
Let us consider the following fields :

a) N massless vector fields A~ assigned to the adjoint representation of G;
b)
f{
scalar fields 'Pa assigned to a D(J() representation (possibly reducible) of G;
c) F spinor fields 1/J1 assigned to some D(F) representation of G.

The infinitesimal gauge transformations of these fields take the form:
A~(x) ~ A~(x) - faP,,!A~(x)owp(x) - g;;JoJjowp(x) ,
+ ia:b'Pb(x)OWa(x) ,
1/J1(X) + iTIc:n1/Jm(X)ow a(x) ,
'Pa(x) ~ 'Pa(x)
1/J1(X) ~
(3 .78)
where aa and Ta are matrices of the generators Qa in the representations D(In and
D(F), respectively; gaf3 = gaoaf3 and ga = gf3 when the indices ex and f3 relate to the
same subgroup Gi.
One can always choose the
A~
and 'Pa fields to be real; then faP"! are real , and the
matrices aa are imaginary and antisymmetric.

The most general renormalizable lagrangian density invariant under the transformations (3.78) takes the form:
L=
(3.79)
where the covariant derivatives are
+ igaa:b'PbA~ ,
OJj1/J1 + igaTIc:n1/JmA~ ,
(DJj'P)a = oJj'Pa
(DJj1/J)1 =
(3 .80)
and
(3.81)
The derivatives DJj'P , DJj 1/J are assigned to the representations D(I<) and D(P), rcspcc-
tively, and
59
F;:" is assigned to the adjoint representation:

(3.82)
Also, the invariance of with respect to G implies that
(3.83a)
(3.83b)
oU(cp) Cl
- - a abCPb = 0 .
ocpa
(3.83c)
To get a renormalizable theory, the power of the potential U (cp) has to be not larger
than four.
Spontaneous breakdown of the G symmetry takes place if the equation
(3.84)
has a nontrivial solution
CPa = Va
=f. 0
(3.85)
and the mass matrix
(3.86)
has nonnegative eigenvalues .
The quadratic part of the lagrangian density (3.79) takes the form:
free
~ (& ACl _ &"1'

A Cl ) (&1' A",Cl _ &" AI',Cl)
4 1'"
1
1
1
+ 2(M2)Cli9A~AI',i9 + 20I'CP~ol'cp~ - 2(M2)abCP~CP~
= _
+ i1!rYI'0I'1/; -1{;m1/; + igClOl'cp~a~bVbA~
(3.87)
where cP~ = CPa - Va , and
(3.88)
(3.89)
Th e
1.1"('('
rO J"l1I
o f Lr".o im pli es t.hitt th e mil.trices M and M are the mass matrices (in the
approxil!"lt.i o ll) o f v(!c t o r ,lilt! soda.1" ~dd H, I"('s ped ivcly.
60
We note, however, that there is a term mixing A~ and <p~ in the lagrangian density
(3.87); as will be shown below, it can be removed in some gauges.
Let us introduce the eigenstates for the matrices M2 and M2:
(r = 1, ... , AT; 0 S AT S N) ,
(s = 1, .. . , N - AT) ,
(p = 1, ... , K; 0 S K S K) ,
(q = 1, ... , K - K) .
(3.90)
(3.91)
(3 .92)
(3.93)
One can show (for the proof, see, for example, Ref.[15]) that
(3.94)
that is, the number of would be NG bosons coincides with the number of massive vector
bosons. This of course reflects the essence of the Higgs phenomenon : NG bosons are
transformed into longitudinal components of massive vector bosons. This point will
become clearer below when we introduce concrete gauges.
Let us also indicate two useful relations:
(3.95)
K
aa'U c =
be
ig aL..Ja
- 1 " " E(P)M P
e(p)
b
(3.96)
p=l
The relation (3.95) follows from Eq.(3.83c) and Eqs.(3.84), (3.86); the relation (3.96)
follows from Eqs.(3.91) (3.92) and Eq.{3.95).
3.7.
61
HIGGS PHENOMENON IN NON-ABELIAN GAUGE FIELD THEORIES . CONCRETE
GAUGES
As is well known, a consistent perturbative theory in gauge field theories requires

fixing a gauge [16]. The most common way to do this is to add a gauge term, -HF<>(x}F ,
to the gauge invariant lagrangian (3.79):
(3.97)
where F<> is a functional of gauge and scalar fields .

The appearance of the gauge term in
is accompanied,
III
general case, by the
appearance of additional (ghost) fields (the Faddeev-Popov (FP) fields [16]) in the lagrangian. These fields provide the unitarity of the 5 matrix in the subspace of physical
states.
In this section we consider the Higgs phenomenon in non-Abelian gauge theories
III
some commonly used gauges. We limit ourselves here to considering the tree ap-
proximation; in this approximation, the FP fields can be neglected. We shall find the
propagators for vector and scalar fields; the form of the propagator for spinor fields is
the same in all gauges: G(p) = (PJ.!'YJ.! - m)-l.
a) Lorentz gauge:
(3.98)
with
~<> = ~fJ
if a, (3 relate to the same subgroup Gi (there is no summation in a in
(3.98)).
It is convenient to rewrite the propagators DJ.!<>,vfJ and Dab of vector and scalar
fi el I. , respectively, by using the eigenstates of the mass matrices M2 and M2 (see Eqs.
p .90)- (3.93)):
(3.99)
62
(3.100)
We also note that there is the vertex
(3.101)
in the lagrangian density (3.87). It mixes the vector and scalar fields.
This gauge preserves the invariance of the lagrangian under global G transformations. Therefore, in accordance with the Goldstone theorem, there are J? massless NG
bosons in this gauge. However, as it will be seen below, they are unphysical particles.
b)R~
gauge (compare with Eq.(3.70)):
(3.102)
with 'P~ = 'Pa - Va

In this case, the mixing
A~-'Pb
term disappears in the lagrangian.
We find
(3.103)
From here and Eq.(3.96), we get
(3.104)
The propagator of vector fields is (compare with Eq.(3.72))
(3.105)
As ~
->
0, the propagator Dab is red uced t.o t.he canoni cal form for (f( - fl) milssive scala r
fields; the NG bosons eli appear in this ga uge . Also, as
~ -+
0, th e v('clor propagato r
Symmetry Breaking in Rtlatividic Quantum /",,1.1 Ilfro TY
63
D J),(JI,vf3 consists <?f two parts; the first part ,
(3. l Ull)
is the canonical propagator for (N - N) massive vector fields; the secolld

If
~ -(r) -(r) 1 (
~ - lk/lkv)
D/la,vf3 = ~~L..,.Ea Ef3 k2 g/lV - -~-k2
C1I1 <',
(:.1 . 107)
'
coincides with the propagator of massless vector fields in the Lorentz gauge with
o.
A gauge in which only physical degrees of freedom are retained is called the unitary
gauge. The propagators of all fields take the canonical form in this gauge. Because of
the noncanonical form (3.107) for the propagator of massless vector fields, the R~ gauge
with
= 0 is not unitary one. However one can generalize this gauge in order to get the
canonical form (coincident with that in the Coulomb gauge) also for the propagator of
massless vector fields . This is the so called generalized
c) Generalized
R~
R~
gauge [17] .
gauge.
This is an example of a strictly unitary gauge.

Let us introduce the projection operat.ors in the subspaces of massive and massless
vector particles, respectively:
(3.108)
- (r) -(r)
Paf3 - L..,. Ea Ef3
(3.109)
The gauge function is now
(3.110)
64
Dynamical Symmetry Breaking in Quantum Field Theorie.
This choice of FO: does not change the propagators Dab and D~o:,v/3 in Eqs.{3.104) and
(3.106) but it changes the propagator D~o:,v/3' It becomes now
(3.111)
With
nl"
= (1,0) and T/ -+
the propagator D~a,v/3 takes the Coulomb gauge
00,
form:
DI/
- - ' " p;(r) p;(r)-.!...

~ 0:
/3 k2 '
00:,0/3 -
DI/ . . - - ' " p;(r) p;(r) (0" _ k;k j

IO,J/3 ~ 0:
/3
'J
k2
-.!...
k2'
(3.112)
Thus the gauge becomes unitary in this limit.

The present consideration clearly demonstrates the essence of the Higgs phenomenon. The main point is that in gauge theories, the Goldstone theorem can be overcome
by choosing either the unitary gauge where the initial symmetry is destroyed or a covariant gauge in which the Goldstone theorem is valid but NG bosons become unphysical
particles.
Our discussion is based on the tree approximation. A more rigorous treatment of
the Higgs phenomenon can be found in Ref. [18].
Chapter 4
Introduction to Chiral Dynamics
4 .1. INTRODUCTION
In this chapter, we consider the basic properties of chiral symmetry and chiral
dynamics intimately related to the problem of generating fermion masses.
The notion of chiral symmetry is directly connected with the fact that there exist
two inequivalent representations of the Lorentz group for spinors : (~, 0) and (O,~)
(see Sec.1.3 and Appendix A) . While the kinetic term and gauge interactions do not mix
fermions from these two different representations, the mass term mixes them. Therefore
in the absence of the mass term, a wide class of field theories possesses an additional
symmetry, the chiral symmetry, under which fermions from the representations (~, 0)
and
(0,
~) transform independently.
The main question which we will discuss in this chapter is how can one spontaneously
break chiral symmetry? We might expect that when this symmetry is broken, fermions
will acquire dynamical masses.
4.2. SYMMETRIES AND CURRENTS IN THE LAGRANGIAN FORMALISM
Let us consider a field theory described by a lagrangian density I:- including a set
of independent fields <p and their derivatives 81'<p
== <pI', 81'8 v <p == <pI'V,
etc. In the usual
case, I:- depends only on <p and their first derivatives <pI', but we will be also interested
ineffective theories with higher derivatives.
The description of continuous symmetries in quantum field theory is based on the
a,lIitlysis of currents connected with the symmetries. The existence of these currents is
':; lIitl'a.llteed by th e Noether theorem which says that to every continuous symmetry of
1.1'(' lag rangian density there correspond conserved currents.

I"oli ow illg Ce ll- Ma lill and Levy (1) (see also the books [2, 3, 4)), we consider currents
III II,
n('ld th('ory wit.h a lagriw giil,1I d('lIsity I:- by IIsill K /0((1 / infinitesimal transformations
66
of the fields 'Pk{X) :
'PdX) ~ 'P~ { x) = 'Pk {X)
+ iw",{x)FJ: ({'P}) ,
(4.1)
where w",(x) are infinitesimal, linearly independent, functions, and the functions FJ: are
not specified at the moment.
The variation of the lagrangian density is
(4.2)
where 'P/1-I/1-n
== (8/1-1 . .. 8/1-n) 'P.
Using Eq.{4.1 ), we can rewrite o in the following form:
+ (8/1-w",) I<~ ('P) + (8/1-,8/1-,w",) I<~1/1-2 ('P) + ...

(8/1-1 ... 8/1-nw",) I<~I /1-n + w",I<", ,
O =w", I<", ('P)

=
(4.3)
n=l
where the functions I</1-I /1-n ('P) are determined from Eqs.(4.1), (4.2).
Let us consider now the variation (4.3) on solutions (<Pk(X)) of the Euler-Lagrange
(EL) equations of our system. The solutions <Pk(X) correspond to stationary points (in
the functional sense) of the action S =
J ('P) d4x
under general variations vanishing
on the boundary. Therefore, considering the functions w a ( x) decreasing rather rapidly

at infinity, we find
oS =
/ cfx
=/
[~(8/1-' .. . 8/1-nwa) I<~I/1-n + W",I<a]
d xw",(x)
[~( - I t (8/1-1 8/1-n) I<~I/1-n + I<",]
(4.4)
=0 .
This equation implies that
L( - I t (8/1-1 ... 8/1-,,) J(~I/1-n +

n=l
J(", =
0,
(4. 5)
Introduction to Chir4i Dynamicil
61
which can be. rewritten as
I<"
+ 8"J~ =
(4.6)
with the current
J~ == ~)-lt+1 (8"1 ' " 8"n) I<~l'll'n - I<~ .
(4.7)
n=1
Let us consider
We<
to be constants. In this case, the EL equations do not guarantee
that the corresponding o = O. In fact, Eqs.( 4.4}, (4.6) imply that in this case
(4.8)
Therefore we find that if the transformations (4.1) with constant w" correspond to a
symmetry of our system (0 = O), then the currents J~ (4.7) are conserved (Noether's
theorem).
The structure of the currents essentially simplifies for lagrangians involving only
fields and their first derivatives. In this case, which is very important for applications,
the expression (4. 7) takes the form
J~ =
(4.9)
In the derivation of Eq.(4.9} we used Eqs.(4.1} and (4 .2).

Let us consider now linear transformations with F;: ({ 'P}) = Tf.,'P,:
(4.1O)
TI le currents (4.9) are now
(4.11)
III
Sl'CO lid
qll iwt.ized th eo ry, th e ' urrcllts iLrc opera tors. T heir equal time commu-
68
tators are determined by the canonical commutation relations:
[cpdt, x), CP. (t, y)] = 0 ,

[7rk (t, x), 7r. (t, y)] = 0 ,
( 4.12)
[CPk (t, x), 7r. (t, y)] = iOb03 (x - y)
with
f)
7rk
( 4.13)
= 7f)7:(03::-0CP-k')
being the canonical conjugate moment (we specifically consider boson fields here although this consideration can be equally applied to the general case with substituting
canonical commutators by canonical anticommutators for fermion fields).
The important point is that because of the commutation relations (4.12), the equal
time commutators for the charge densities)o (4.11) are model-independent, regardless
whether or not the currents are conserved:
[)o (t, x) ,)g (t, Y)] = -
[7r (t, x) T" cP (t, x) , 7r (t, y) TP cP (t, y )]

3
= - i7r (t, x) [T" I TP] cP (t , y) 0 (x - y)
=ij"P-r)6(t,x)03(x-y)
(4.14)
where the commutator

(4.15)
determines the corresponding Lie algebra.
The commutators for the charges Q"(t) =
J d3 x)o (t, x) are

(4.16)
The infinitesimal transformations (4.10) for the fields CPk( x) can be expressed through
the commutator [Q"(t), cpdt, x)l:
( 4.17)
In the next 'ectio ns, we will apply thi ~ forlll:1li Rfil to d(,Hnih(' tll (' ( hiral sY lllllldry.
4.3.
69
CHIRAL SYMMETRY IN THEORY OF FREE FERMIONS
The Dirac equation for free fermions is considered in Appendix A and Sec.1.3.
Let us begin by considering the lagrangian density for N free Dirac's fermions with
the same mass m:
(4.18)
It is clear that is invariant under U(N) transformations :
( 4.19)
where Ta =
)..2
make up a basis of the U(N) Lie algebra (td a )./3 = 28 a(3). At N = 2,
the Pauli matrices
TO, T
can be chosen as >. a; at N = 3, a convenient choice for>. a is
the Gell-Mann matrices (see Sec . B.1 in Appendix B).

However, as it had been pointed out a long ago [5], the lagrangian density (4.18)
possesses a larger symmetry (at least at N > 1). It is O(2N) , when m
-I
0, and it is
U (2N ) for massless fermions.

To show this, we will use the Majorana representation for Dirac's matrices (see
Eq.(A.32) in Appendix A). In this representation, all "'fl' matrices are imaginary, and
therefore it is convenient to express the fields through real (Majorana) fermion fields
(see Eq.(A.33) in Appendix A) :
(4.20)
wh e re
1h,[,
1/Jk,2 are real . The lagrangian density (4.18) can be rewritten now as
(4.21 )
wit h k
I"'NN('NN ('N
I , 2, ... , N and a
O( 2 N) sy lllillptry.
J ,2. Sill ce "'f" a re imaginary, it is clear that (4.21)
70
Let us consider now the case with m = O. The fields -rPk,a can be rewritten as (see
Eq.(A.18))
(4.22)
Since "/5 is imaginary, -rP'ik,a is -rP'ik,a = -rPRk,a ' Therefore with m
=0
can be put in
the form
( 4.23)
which explicitly manifests the U(2N) symmetry of with massless fermions.
We note that amongst the U(2N) and O(2N) transformations there are transformations which mix fermion and antifermion fields. However, adding gauge interactions
usually destroys the invariance under these transformations. Thus, for example, electromagnetic interactions take the form
(4.24)
thus mixing fields with a
= 1 and a = 2.
The most important subgroups of the O(2N) and U(2N) are U(N) and UL(N) x
UR(N), respectively. The subgroup U(N) is just the group of the transformations (4.19);
under the chiral group UL(N) x UR(N), left-handed (-rPL ,k =
H? -rPk)
and right-handed
( -rP R,k = 1-:}' -rP k) fields transform independently.

It is convenient to discuss ULCN) x UR(N) in the spinor representation for
this representation ,
,,/1'.
In
-rP" is (see Eq.(1.23))

(4 .25)
where -rPu =
IV' -rP" and -rPRk =
1-:}' -rP" are assigned to the (0, t) and G ,O) representa-
tions of the Lorentz group, respectively. The lagrangian density (4.18) can be rewritten
as
( 4.26)
Without mass term, is invariant under ULCN) x UR(N) group; -rP Dk f: (N , 0) representation, and -rPRk f: (O, N). The mass term reduces thi s symmetry to U(N) whi ch is th e
diagonal subgroup of UdN) x Un(N) .
Introduction to Chiral Dynamic8
71
interactions preserve the chiral symmetry.

As is shown in Appendix A, at m = 0, right-handed ferrnions have helicity s = +1,
and left-handed ferrnions have s = -1.
Charge conjugation transforms right-handed fields into left-handed ones (see
Eq.(A.30):
.I,a _
'l/cL -
. a{J.I,*
-IE
'l/R{J '
( 4.27)
Therefore one can use only left-handed fields, 1/JL and 1/JcL, in a theory. The fields 1/JcL
are assigned to the representation (0, fI)
== (0, N*) of UL(N) x UR(N).
By using the general formalism of Sec.4.1, we finds N 2 chiral currents connected

with UL(N) x UR(N):
( 4.28)
( 4.29)
with
PL(R) =
l+(~ hs . The charge densities satisfy the following equal time commutation
relations (see Eq.(4.14)):
[JLO (t, x), J~o (t, y) 1=ifa{JyJlo (t, x) 03 (x - y) ,
(4.30)
[JRo(t,x),J~o(t,Y)l =ifa{J7J1o(t,x)03(x-y) ,
(4.31 )
[JLO (t, x), J~o (t, y) 1=0 ,
(4.32)
where f a{J7 are the structure constants of U(N) algebra.

One can easily check that
8"'J~(x) =0,
fJ
s,..(x) =im1/;(xhs).,a1/J(x) ,
(4.33)
(4.34)
where
( 4.35)
Tilli S, i l.'
it has to br, th e
IImSH
dia.g<lIlid s lIhp, ro llp lf /,j u{ N) .
t<'l"lIl ('x pli (" il.i y hreaks th e c hira l Ur,{N) x UR(N) to its
72
Using Eq.(4.17), we find the explicit transformation law for 1fLk, 1fRk fermions under
the chiral transformations:
(4.36)
(4.37)
The mam topic of the present book is how can one arrange spontaneous chiral
symmetry breaking, that is how can one generate fermion masses, without destroying
the conservation of the chiral currents? In the next section, we will consider one of the
simplest realization of such a dynamics.
4.4.
LINEAR a-MODEL
Historically, the first models, in which fermions get masses despite the invariance of
the action under chiral transformations, were invented by Nishijima and Giirsey [6, 7] .
Nishijima and Giirsey built the models with a nonlinear realization of the UL( 1) x UR( 1)
[6] and SUL(2) x SUR(2) [7] chiral symmetries, respectively, in which fermions were
massive~) We will consider a general scheme of the nonlinear realization of spontaneous chiral symmetry breaking in Chapter 5. Here we will discuss a simpler dynamical
realization of this phenomenon (the linear a-model) given by Gell-Mann and Levy [1] .
Let us begin by considering the second Goldstone's model with the lagrangian density (see Eq.(3.14)):
. =81'<ptfJl'<p - U (<pt<p)
1
=2 (81'a81'a
where <p =
+ 81'TJ81'TJ) -
U (a 2 + TJ2) ,
(4.38)
,fi (a + iTJ),
( 4.39)
*) In hindsight, it is clear that in their pioneering papers, Nishijima and Giirsey gave th e first
dynamical realizations of spontaneous chiral symmetry breaking by using massless pseud oscalar
fields in order to construct chiral invariant models with massive fe rmi ons. Howe ver, a t th a t time,
they did not recognize this con ce ption.
13
Let us assign the following transformation law for a and TI under space inversion P:
(4.40)
i.e., a and TI are scalar and pseudoscalar, respectively. Then we can add to I: the
following P-invariant term for a Dirac fermion (for transformations of fermions under
P see Eq.(A.34) in Appendix A):
(4.41)
Taking into account the transformations (4.36), (4.37) of fermions under UL( 1) x
UR(1) , we find that the lagrangian density
f = I: + I: f
is UL(1) x UR(1) symmetric if
ova =OV1] = 0 ,
oAa
where Qv = QL
+ QR,
=-
hWA1], OATI
= hWAa
(4.42)
QA = QL - QR (the reason for introducing
(4.42) is connected with our choice of the normalization, tr
(T"'Tf3)
V2 in
=
Eqs.(4.41),
toctf3 , for the
chiral generators of UdN) x UR(N)).

We note that a and
1]
transform under UL(l) x UR(l) as
(4.43)
When f.l2 in the potential is negative, the UL (1) x UR(l) symmetry breaks down to
Uv(1) == UL+R(1), and in the tree approximation
(OlaIO) = v
(-6f.l2 / A) 1/2
(4.44)
As a result , the fermion acquires a dynamical mass (see Eq.(4.41)):
m= hgv .
' l' iJ r
1}-pa.rl.ir if. is
>l.
Il l(\SS lrHS
N(;
h OHO ll , ill ,d
1.111'
.WI8S
( 4.45)
of a, in the tree a pproximation , is
74
(see Eq.(3.20) in Chapter 3):

( 4.46)
By using the approach of Sec.4.1 , we find the chiral currents in this model:
(4.47)
Let us define the so called decay constant of the NG boson F as
(4.48)
Eqs .(4.44) and (4.46), (4.47) imply that in the tree approximation, F is
F =
Y2v.
(4.49)
Form here and Eq.(4.45) we find:

m = gF.
(4.50)
This relation is an example of the Goldberger-Treiman (GT) relation [8] between decay
constant F, dynamical fermion mass and Yukawa coupling constant (see Sec.4.4 for a
more detailed discussion of the GT relation).
Thus in this model, the fermion mass appears as a result of spontaneous chiral
symmetry breaking.
Let us consider the linear O"-model with the chiral group UL(N) x UR(N) (or
SUdN) x SUR(N) x Uv (l)) [1, 9,10]' We introduce boson fields as an N x N complex

matrix M:
(4.51)
with AO =
Vfr I
and a' = 1, 2, , N 2
1. The field M is ass igned to th e
(N , IV)
75
representation of the SUL(N) x SUR(N) chiral group:

(4.52)
The general UdN) x UR(N) and P invariant renormalizable lagrangian density for M
takes the form:
(4.53)
If the symmetry is reduced from UL(N) x UR(N) to SUL(N) x SUR(N) x Uv (l), one
can add the following term to LM:
'Y ( det Mt
which is renormalizable at N
+ det M)
(4.54)
:s: 4.
The Yukawa interaction between M and fermions takes the form:

( 4.55)
By using the approach of Sec.4.1, we find that the chiral currents are:
(4.56)
lR.
_
= 1f'YI'P
w )'''
2"1f
a = 0, 1, ... , N 2
+:2i
-
[ ir (),'"
),'" Mt )] ,
M 2 0I'Mt ) - tr ( 0I'M 2
( 4.57)
1.
If /1 2 < 0, the minimum of the potential in Eq.(4.53) is at M = v
Jz with
(4.58)
a nd chi r aJ iJ,,( lV) x II ,,( lV ) sy rnrndry
s p {) rrt a rr C'o ll s l'y
hrea ks d o wn to Uv ( N)
== UL+R(N).
76
Eqs.(4.56), (4.57) imply that the decay constant F of the NG bosons
?r
(4.59)
2)
1/2
F= ( N
( 4.60)
V.
From Eq.(4.55) we find that the dynamical fermion mass m is
(4.61)
m=gF.
Let us consider the case with N = 2 in more detail.

The currents (4.56), (4.57) are in this case:
(4.62)
(4.63)
with
0:'
1,2,3;/11"' J'kl" are obtained from /11",J1~ by substituting P ----+.PR and
The interesting point at N = 2 is that in the model with SU(2) x SUR(2) x Uv(1)
symmetry, we can retain only the fields
(l
and
a
?r ',
or 17 and
(la' ,
in the lagrangian . This
follows from the fact that the representations {2} and {2} of SU(2) are isomorphic: if
'Pt{2}, then T2'P* ~ 'P. Therefore in this case
(4.64)
and one can consider a theory with M satisfying the condition
(1\ .65)
77
Taking into account Eq.( 4.51), we find that M are
M+ =
1 (
. or' or')
V2
a + Z7r
T
M- =
Z ( 7J V2
(1.66)
iaor "
Tor) .
(4.67)
The Gell-Mann-Levy lagrangian density for M+ and fermions is
(4.68)
The chiral currents in this model are obtained from the currents (4.63) just omitting
terms with 7J and aor':
(4 .69)
As in the case of the UL(l) x UR(1) model, the mass of a is equal to

(4.70)
in the tree approximation.
From Eqs.(4.52), (4.66), we find the transformations of the d and
7r or
fields:
(4.71)
or (compare with Eq.(4.42))

roc
uva
= ,UV7r 0 ' = -cor'{3,-y,wv{3'7r"'I' ,
oAa = - WAor'7r or' , OA7r'" = WAa,a .
(4.72)
As is known from experiment , the Yukawa coupling constant for nucleons is large:
g;N / 17r ~ 1~.5.
The refo re t.h e tree approximation in the a model (as well as the
78
perturbative expansion in
9'1fN
itself) should not be reliable, and one might think that
the model is not very useful for describing spontaneous chiral symmetry breaking in
hadron dynamics. Fortunately, this is not so. The remarkable point is that the model
perfectly works in the low energy, q ~ IGeV, region [2, 3].
We shall consider the
explanation of this very important fact in Chapter 5.

4.5.
THE
PCAC
HYPOTHESIS AND THE GOLDBERGER-TREIMAN RELATION
Although there are many interesting phenomenological applications of spontaneous

chiral symmetry breaking in hadron dynamics, these are not our primary goal in this
book. A comprehensive discussions of these applications can be found in the books
[2, 3]. In this section, we consider just few points in that phenomenology intimately
connected with the conception of dynamic chiral symmetry breaking.
Spontaneous breaking of the SU(2) x SUR(2) chiral symmetry implies that there
should be three pseudoscalar N G bosons,
7r.
However there are no massless hadrons in
nature. The lightest hadrons are pions with the mass m".
140MeV. This implies that
the axial currents J~I' are not conserved') Indeed, let us consider the equation (4.59),
(4.73)
From this equation we find that
(4.74)
thus yielding 81' J~I'
F".
i=
0 at m~
i=
0 and F
i=
0 (the decay constant F = F" for pions is
93MeV ).
However, since pIOns are much lighter than other hadrons, one can think about
them as " almost" NG bosons. This means that there is both spontaneous and explicit
chiral symmetry breaking in nature, and for hadrons composed from two light quarks,
u and d, spontaneous symmetry breaking dominates . This conception known as the

partial conservation of the axial currents (PCAC) hypothesis proved to be extremely
fruitful [2, 3].
,) Henceforth we understand th at
0/
= 1,2,3.
In trodu ct ion t o Chiral Dynamic&
79
Let us begin by considering the idealized case of massless pions. The axial currents
Jfl' are conserved. Let us show, following Nambu [11] , that in this chirallimit there is
an
exact relation between F1f , the nucleon mass mN, and the Yukawa coupling 9"N (the
Goldberger-Treiman (GT) relation [8))~)

Let us consider the matrix element
(4 .75)
where IN(p2)) , IN(pt}) are nucleon states . Because of the Lorentz and translational
i nvariance and also because of the invariance of the hadronic interactions with respect to
the isospin symmetry, space inversion P and charge conjugation C, the general structure
of this matrix element is [2, 3]
(4.76)
where ql' = (P2 - pt}I" and G 1(q2) , G2(q2) are some functions of q2. Since in the chiral
limit 01' Jfl' = 0, we find
iii(P2) [ql''YI'G 1 (q2)
+ q2G 2(q2)]
ex
=iii(p2hs T U(Pl) [2mNG 1 (q2)

2
'Ys
T ex
u (pt}
+ q2 G 2(q2)]
( 4.77)
= 0.
In this limit, the mass mN is purely dynamical.
Eq. (4.77) implies that

(4.78)
The quantity 9A
in the
== G1(0) is called the axial vector constant of nucleons. It is measured
f3 -decay of neutron;
9A ~ 1.2. Thus we conclude that there is a massless pole in
G 2 (q2). Of course it corresponds to massless pions . Indeed, Eq.(4.73) implies that the
pole contribution in (N(p2)IJfI'IN(pt}) is (see. FigA.l):

(4.79)
(our defilli tio ll of [j,rN ag rees with 9 in the lagrangian density of the a-model (4.68)) .
) T h, o ri/l,i ll lli dl'rivll lio ll [Il[ o f lit
T relal ion was based on usin g dispersion relations.
80
."
lsI'
fh
11"
PI
P2
Fig. 4.1
From Eqs.(4.78) and (4.79) we find the GT relation

(4.80)
whlch is exact in the chiral limit . In the real world it fulfills at the level of 10% thus
confirming that the dynamics of light hadrons is not so far from this limit.
Let us return to the real situation with m;
=I o.
Now the pion contribution to the
matrix element (4.76) is somewhat different:

(4.81 )
(compare with Eq.(4.79)), where the parameters F" ,9"N are defined at the pion mass
shell q2 =
m;' (the coupling g"N is determined at q2
= 0).
Let us consider the derivation of the GT relation in this case . The combination
(4.82)
is not zero now . The pole contribution in C(q2) is (see Eq.(4.81)):
(4.83)
Since now there is no pole at q2 = 0 in C 2 (q2), we find that
( 4.84)
The cru cial step in es tima ting C(O) is th e ass umpti on of an ulls ubtracled di sp<'fsioll
81
relation for G( q2):

p(q,2) d ,2
-,-2--2 q
q - q
(4.85)
(9m; corresponds to the three pion threshold).

The PCAC hypothesis assumes the pion pole dominance in the matrix elements
of the axial currents J~I' and (at
m;
#-
0) their divergences 8'" J~I' in the low energy
region. SpecificaIly, in the present case, it means that p(q2) in Eq.(4.85) is p(q2) '"
T herefore the integral in this relation is suppressed as
m;
---+
m;.
O. Assuming that it can
be neglected in the real world with m" c:: 140MeV, we find the GT relation:
( 4.86)
We note, however, that in order to rewrite it in the form
( 4.87)
with g;N/47r c:: 14.5, one has to assume that g"N relating to q2 =
m; is close to g"N
connected with q2 = 0 (the smoothness assumption). This assumption in a necessary

i II gredient of the PCAC hypothesis.
Le t us consider how the PCAC hypothesis is realized in the linear cr-model.
To break the SU L x SU R(2) symmetry in a P-invariant way, we add the term
( 4.88)
III
th e lagrangian density (4.68) . Then, in the tree approximation, we find from the
I " ,i.(' lItial
(4.89)
II ", foll owing rela.tions
(J.l2 < 0):
(4.90)
82
and
(4.91)
The relations (4 .90) imply that a = vm~, and therefore
2" =
all"
J51l=vm,,7r
F"m,,7r
2" .
(4.92)
Thus in the a-model the divergence of the axial currents is proportional to the canonical
pion field.
In the tree approximation, and in any order of perturbative expansion, the PCAC
hypothesis fulfills in this model: the pion pole dominates in the matrix elements of J~1l
and
all J~Il
in the low energy region.
We note that one can break the chiral symmetry by introducing in the lagrangian
(instead the term (4.88)) a mass term for fermions :
( 4.93)
That is what happens in quantum chromodynamics (QCD) : quarks have nonzero bare
masses (see Chapter 12). In this case,
(4.94)
and because of
m(O)
~ m~ (as will be shown in Sec. 9.3) and" smoothness" of the
composite operator -;'Y5r"1jJ with the dimension d = 3, the PCAC hypothesis still fulfills
there.
As we already know , in the tree approximation, the GT relation takes a special form
in the linear a-model (see Eq.( 4.61)) :
( 4.95)
This is of course connected with the point that the axial-vector coupling 9A = 1 in
the tree approximation there. Beyond this approximation , 9A is nol. more equal 1.0 one,
howeve r, other parameters change in such it Wity th itl. th e C T !"r la.ti on (1. 80) is still vitlid .
Introduction to Chirai Dynamic.
83
The GT relation is an example of a low energy relation (theorem) in chiral dynamics:

although parameters, like gA, g.:N, etc., in these relations are model dependent, the low
energy theorems themselves are universal [2 , 3], that is, all models with spontaneous
breakdown of the same chiral symmetry reproduce these relat.ions.
This is the main reason why a toy model such as the linear a-model is so useful.
This is also the basic point in constructing the effective chirallagrangians which we will
discuss in Chapter 5.
In this chapter, we considered the basic characteristics of the chiral dynamics. The
dynamical realization of the spontaneous chiral symmetry breaking was given in the
linear a-model. As we shall later see the basic points of the realization of chiral symmetry
breaking in this toy model remain unchanged in such much more sophisticated field
theories as QCD or models of electroweak symmetry breaking.
Chapter 5
Nonlinear Realization of Spontaneous Symmetry Breaking
5.1.
INTRODUCTION
In this chapter we consider the nonlinear realization of spontaneous symmetry breaking and the theory of nonlinear effective lagrangians. This theory is extremely beautiful.
This is in particular connected with its geometrical origin -in fact, the theory has some
common features with gauge field theories.
But the importance of the nonlinear realization is connected not just with its beauty.
Nonlinear chiral lagrangians give a powerful tool with which to study the low energy
dynamics of hadrons. Also, nonlinear lagrangians give an important example of the
effective lagrangian approach in quantum field theory. At present this approach is
very commonly used to study both the nonperturbative dynamics of hadrons and the
electroweak symmetry breaking problem (see Chapters 12 and 13).
5.2.
NONLINEAR LIMIT OF THE LINEAR O'-MODEL
In Sec.4.4, we considered the linear O'-models with the chiral symmetries UL(N) x
UR(N) or SUL(N) x SUR(N) x Uv(I) . The models contain the boson fields
(5.1)
and fermion fields (here we understand that a = 1, 2, ... , N 2
bosons, there are also massive spiniess particles
If we are interested in the
0'
and
0''''.
1). Besides massless NG
dynamics in low energy region with a characteristic momentum scale much smaller than
masses of all these particles, one should expect that the massive particles will effectively
decouple from the dynamics of NG bosons . In this case, it is desirable to have a low
energy effective lagrangian not including these heavy bosons.
To derive such a lagrangian, it is convenient to consider the limit in which masses of
the heavy bosons go to infinity [1]. Let us first consider this limit in the. impl est lin ear
O'-models with the chiral symmetries U dJ) x U n(l) a nd SU d2) x SU n(2) .
84
Nonlinear Realization of Spontaneo'U8 Symmetry Breaking
85
The lagrangian density of the first model is (see Eq. (4.38)):

1
2
= - (0l'aIY'a
When
p2
+ 0I'TJoI'TJ) -
p2
- (a
2
+ TJ
) -
r4..\ (a 2 + TJ 2 ) 2
(5.2)
< 0, the mass of a is
with v 2 = -6p2 /.\; the decay constant F =

interested in the limit p~
00, p2 -----> -00
with
-----> 00
p2 /.\
V2v
(see Eqs.( 4.44), (4.49).
We are
with v being fixed. It is equivalent to that of .\
----->
being fixed.
In this limit, the equation of motion of the a field is
The stable vacuum corresponds to the nontrivial solution
(5.5)
Although the equation (5.5) looks exactly the same as that determining (OlaIO) in the
tree approximation, its meaning is now essentially different. In this limit, it is an exact
operator equation. Since the equation does not include time derivatives, it plays the
role of a constraint.
The dynamical system with the lagrangian density (5.2) and the constraint (5.5) is
"q uivalent to the system with the lagrangian density
(5.6)
.\11(1 th e same constraint. In fact, one can resolve this constraint by choosing M = a + iT)
.. ~ /Iff =
52 exp (V2i iJ/ F). Then the lagrangian density (5.6) becomes:
(5 .7)
w li.!.
' == exp (V2ifj/ F).
This lagrangian looks like the lagrangian for a free massless
1.""" >11 hilt. t.hi s is not quite so. The point is that there is a constraint for the angular
... <lid.hle ii : 0 _ ij <
V27r F.
" "I y IH'r t.llri )iI.tivrly, whe n
The refore, this lag ra.ngial1 corres ponds to the free theory
Ii ~ JiIf" I".
86
Dynamical Symmetry Breaking in Quantum Fi eld Theorie&
Let us write now the full lagrangian density including fermions (see Eqs. (4.41) ,
( 4. 55)) :
(5.8)
Introducing new fermion fields,

(5.9)
with
(5.10)
we can rewrite the lagrangian density as

(5.11)
with m = gF and
(5.12)
The characteristic property of this lagrangian density is that the NG field appears only
through its derivatives.
Taking into account the transformations properties of M and .,pL,.,pR under the chiral
group (see Eqs.(4.36), (4.37), (4.42) and (4.52)), we find the transformations of XL, XR
and
ii;
(5.13)
(5.14)
(5 .15)
or
(5 .16)
(5.17)
(5. 18)
Thus we conclude that the new fermion fi elds XL and Xn tra nsfor m in the same way
Nonlinear Realization of SpontaneoU6 Symmetry Breaking
under the U[,(1) x UR(1). This is the reason why the mass term
mxx in
87
Eq.(5.11) is
chiral invariant.
Substituting M
= -52 exp (iV2ij/ F)
into Eqs.( 4.56), (4.57), we find the chiral cur-
rents (compare with Eq.(4.47)):
(5.19)
We also note that although the infinitesimal transformations (5.13)-(5.15) are linear,
the transformations with "large" WL, WR are not. This is connected with the constraint
o ::; ij ::; V27r F
which in turn leads to the constraint for the transformations:
ij' = (ij + ~WLF)
(5.20)
(mod V27rF).
T herefore they are nonlinear (that is, they depend on the value of ij) and, moreover,
they may have jumps equal to V2F7rn.
The case of the Abelian chiral group UL( 1) x UR(1) is in fact rather special. As we
will see below, the nonlinear character of such transformations for non-Abelian chiral
groups is much more explicit.
Let us consider now the limit J.l;
--+
(Xl
in the SUL(2) x SUR(2) model with (see
8q. (4.68))
(5.21)
As in the previous case, the limit corresponds to that with), --+
(Xl,
J.l2 --+
-(Xl
and
/,, 2 = -6 J.l2 /). being fixed. Again we find that in this limit the dynamical system with
t il . lag ran gian density (5 .21) is equivalent to that with
= ~ (o" afJl' a + o/.7f O"7f) + i,h "o,,1f;

- 9
((11/11/1 7f'/Ii-yG T '/; )
(5 .22)
88
and the constraint

0"2
+ 11"2
= F2 .
The constraint can be resolved by choosing M =

F
:72
(5.23)
(0"
+ ir a 7r a ) as
(5.24)
M = .j2 exp (2m/F) == .j2E

with
(5.25)
The lagrangian density becomes
=~F2tTOI'EOI'Et + i;jryl'0l't/;
-gF[~LEt/;R+~REtt/;L]
(5.26)
.
By introducing the fields
(5.27)
with
(5 .28)
we can rewrite this lagrangian density as (compare with Eq.(5.11;
=~F2tTOI'EOI'Et + iX"/1' (01' + X,,/I'''/sAI'X - mxx
iVI') X
(5.29)
where
(5 .30)
(5.31 )
This theory is nonrenormalizabl c.
89
The transformation law for ~ is of course the same as for M (see Eq.(4.52)):
(5.32)
e=
However, the transformation law for
~1/2 is rather nontrivial. As we shall see in
Sec.5.4, it is
(5.33)
where the matrix U is determined from this equation as an implicit function of the
chiral transformation (L,R) and the NG field
transformation of
edepends on the field
that since U depends on
7r(x)
7r,
7r
tT
O' 7r O'.
The latter means that the
and therefore it is nonlinear. We emphasize
it also depends on space-time coordinates x, i.e., U
determines a kind of a local (gauge) transformation (see below and Sec. 5.3).
The simplest way to find the explicit form of the transformation law for
7r
is to use
the relation (5.32):
~' = exp (2i7r'/F) = Lexp (2i7r/F) Rt

with L
= exp (tiw La TO')
,R = exp (tiw RaTa). When L
(5.34)
= R = V,
we have transforma-
tions from the vector subgroup SU v (2) :

~'= v~vt
(5.35)
T hese transformations are linear:

(5.36)
lI owever transformations with L
-I
R, for example, axial transformations with L = Rt,
,I.re nonlinear:
(1+2i7r'/F-27r ,2/F 2 + . .. ) = (l+iW-
wil l. w
==
tWcrT".
~2 + ... )
(1+2i7r/F-27r 2/F 2 + ... )
(1 + iw _ ~2 + .. -)
T hi s relation determines 7r~ as a function of

7r~ =
7r"
+ F'wa + .
7ra
(5.37)
and Wa :
(5.38)
liro ", I';q.(!i .:n) W(' lilld lh,' 1.' ,11,/'1 (0 .11.,01., (11 I..,w for 1.1.(' f(, l'In; o ll fi eld. X L and XR
90
(5.27):
XL
-->
UXL,
XR
-->
UXR .
(5.39)
Again, these transformations are linear for the SU v (2) subgroup and nonlinear for
transformations with L
R. However, the remarkable point is that the fermion fields
XL and XR transform now in the same way under the chiral transformations. Therefore
the mass term
mxx is chiral invariant.
Eq.{5.33) implies that VI' and AI' in Eqs.{5.30), (5.31) transform as
(5.40)
(5.41)
Therefore DI'
==
01' - iVI' can be considered as the covariant derivative with the gauge
field VI':
(5.42)
(to check (5.42), it is convenient to use the identity 01' (uut)
= (0I'U) ut + U0l'ut = 0).
The chiral currents in the model can be obtained from Eqs.{ 4.56), (4.57) with M =
.E...~ = .E... exp {2i7r/F) .
...f2...f2
(5.43)
where in the derivation of Eq.{5.43) we used the identity (0l'~) ~t = -~ (Ol'~t).

By using the formula [2]
(ei(x)Ol'e-i(X)) =
[(I ~~Ai)]
[O/.l1r
01'1r
+ ~ [1r, o/.l1r] + ~ [1r, [1r A ,1rll] + ...
(5 .44)
Nonlinear Realization of Spontan eo U6 S ymmetry Breaking

where ir
==
91
2i7r/ F and
A .. . R
== [ir, R]
(5.45)
we find that
1 + 1'5
0'
TO'
JLp. =X1'P.-2-2"X i
a )
2F tr (0'
T p.7r
- 2tr(TO' [7r, Op.7r])
+ 3Ftr(TO'[7r,[7r,Op.7r]])+'"
(5.46)
a )
1 + 1'5 TO'
F (0'
JRp. =X1'P.-2-2"X + 2 tr T p.7r
0'
~tr (TO' [7r, Op.7r]) - 3~tr (TO' [7r, [7r, Op.7r]]) + ...
The consideration of the nonlinear limit in the general case of the UL(N) x UR(N)
(or SUL(N) x SUR(N) x Uv (1)) theory with the lagrangian density (4.53), (4.54) can
be done in the same way. The lagrangian density of the nonlinear theory with the
Uv (N) symmetry of the vacuum is (compare with Eq.(5.29))
1
+ iX1'P. (Op. -
+ X1'P.1'5 A p.X -
mxx ,
=4p2trop.2;oP.2;t
iVp.) X
(5.47)
where 2; = exp (2i7r / F) and ~ = 2;1/2. The matrix 7r is
(5.48)
i ll t he case of the UL(N) x UR(N) theory, and
1 N'-l
7r
2L
7r0').0'
(5.49)
0'=1
"' t.I " . r ase

III
or th e .
Ud N ) x SUII ( N) x IJ v ( I) th eo ry. T he fi eld s Vp. and Ap. are defined
1:qs.(G .:!O) a."d (G. :J I).
92
The chiral currents are given by Eqs.(5.43), (5.46) with r<>
--->
),<>:
(5.50)
that is
<>
_ 1 + ")'5 ), <>
F ( \ <>8 )
11' =X")'p.-2-TX - itr A p.7r ,
<>
- itr p<> [7r, 8p.7r)) +
3~tr p<> [7r [7r, 8p.7rlJ) + ...
(),<>8)
p.7r,
1-")'5)'<>
JRp. = X")'p.-2-TX
+ itr
~tr p<> [7r, 8p.7r]) -
(5.51)
3>r p<> [7r [7r, 8iJ7rlJ) + ...
In the next section, we will discuss the physical meaning of the nonlinear chiral
lagrangians in more detail.
5 .3. MORE ON NONLINEAR CH IRAL THEORIES
In the previous section, we derived the nonlinear chiral models as a special limit of
the linear O"-models. Although such a derivation gives some insight in their dynamics,
it is not necessary; one can study these models independently of the linear O"-models.
The general program of constructing nonlinear effective lagrangians was started in
the SUL(2) x SUR(2) model by Weinberg [3] and was extended to the general case by
Callan, Coleman, Wess and Zumino [2], and, independently, by Volkov [4]. This program
reduces to the study of the general structure of lagrangians invariant under nonlinear
transformations of fields (for a review see Ref. [5)) .
The starting point is that these lagrangians are intimately connected with geometry.
The transformation law (5.40) implies that the vector field
(5.52)
plays the role or a gauge fi eld here. II
rlilldam ~ llt, al
obj
' 1,
is th e Ma llrcr-Car t, a.1I I- forlll
Nonlinear Realization of Spontan eous Symmetry Breaking
93
[5]:
O'I'(-n' ) = i~t(-n}31'~(7r) .
(5 .53)
Since ~t(7r) = ~(-7r) (see Eq. (5.28)), we see that

VI' =
AI'
2 (0' I' ( 7r) + 0'1' ( -7r )) ,

1
=2 (0'1'(7r) -
(5.54)
0'1'(-7r))
(see Eqs.(5.30), (5.31)).

Because of the equations (5AO), (5A1), the transformation of 0'1'( 7r) under the chiral
group is
(5 .55)
In fact, as will be shown in Sec.5A, the fields VI' and AI' coincide with the so called
parallel (0'!'11 (7r)) and perpendicular (0'!,.L (7r)) components of 0'!'(7r), respectively.
In the previous section, we introduced the fermion fields
(5.56)
ror the fields 'if;Lf(N, O) and 'if;Rf(O, N) transforming in the same way under the chiral
group:
XL
-->
UXL ,XR
-->
UXR .
(5.57)
T herefore the matrix U(7r(x)) is assigned to the vector subgroup Uv(N) . What has
ha ppened is that the field ~ in Eq.(5.56) changes the chiral charge density of the fermions
so that the chiral charges become the same for the fermions XL and XR.
Le t us show that this can be done for any matter field 'if; assigned to some linear
Illiitary representation D of
e=
UL(N) x UR(N) (or SUL(N) x SUR(N) x Uv(1)):

'if;-->D(g)'if;, gEe.
We note first that all unitary representations of
(5 .58)
e can be built on tensors

(5.59)
wh!'I'(' Ilp pN (lower) ind ices rel ate 1.0 S U dN )(SUn(N)) , and wh ile O'i(f3j) are assigned
I. "
I,h,' (N , O)(( O, N )) n:prcH(, lIl.a ti oll , (Y j
(/iJ)
111' \ '
H!-:Higllcd to th c (N, O)((O , N)) one,
94
Let us introduce a new field (compare with Eq.{5.56))
(5.60)
The tensor 'lj;pcr,' cr,';, ::p';," transforms under G as

"PmP'
(5.61)
Taking into account the transformation law (5.33) for
~,
we find
(5.62)
This completes the proof.

It is convenient to use more abstract notations to present the proof in a more trans-
parent form . In these notations, the transformation of'lj; (5.61) looks as

'Ij;
-+
'Ij;'
= D{g)'Ij;.
(5.63)
Let us introduce the element ~fG which is ~ and ~t in the representations (N,O) and
(O, N), respectively, and the group element [; which is U in both these representations.
Eq.(5.33) implies that
(5.64)
Therefore the transformation law for the field
(5.65)
IS
(5. 66)
Of course, [; depends on both the cl ement 9 an I the fi eld ?r(x).
Nonlinear Realization of Spontaneo1L& Symmetry Breaking
Since
U depends on x,
95
the transformation (5.66) can be considered as a local (gauge)
transformation. Therefore the problem of the construction of G-invariant lagrangians is

similar to that of constructing gauge (Yang-Mills) lagrangians.
For any matter field X assigned to a representation D of G, we introduce the covariant derivative
(5.67)
where
VI'
==
~i (~t ol'~ + ~Ol'~t)
(5.68)
The kinetic term for the NG field 7r is (see Eq.(5.47))

2
2
!F
4 troI' ~ol'~t = F tr (A 1" AI')
(5.69)
where AI' is given in Eq.(5.31).

With the introducion of these quantities, the construction of G-invariants, and therefore G-invariant lagrangians, becomes straightforward. Let us discuss some subtle points
connected with the present construction.
As it was shown above, any matter field 1/; assigned to some linear representation of
the chiral group G defines a field X transformed nonlinearly under G:
X
----+
X' = p( U)x
(5.70)
with UEUv(N). Since p(U) is assigned now to the vector subgroup Uv(N), fermion fields
'IPi
assigned to different representations Pi of G which reduce to the same representation
p on the subgroup Uv(N) determine the same field X.

Let us illustrate this on the example of the SU(3) octet of spin-t baryons X. This
field transforms as
X
----+
X' = UX ut
(5.71)
We can use the relation (5.65) to construct four different fields 1/;; from this field X:
1/;1 =f;xf;t,1/;2 = f;t xf; ,
(5.72)
1/;3 =f;xf;, 1/;4 = f;t xf;t .
wit h ( = cxp(i7r/ F), tr7r = O.
96
Dynamical Symmetry Breaking in Quantum Field Theorie$
Using Eqs.(5.33) and (5.71) we find that these fields are assigned to the following
four different representations of SUL(3) x SUR(3) :
(5 .73)
'lj;1 E (8,1), 'lj;2 E (1,8), 'lj;3 E (3,3), 'lj;4 E (3 , 3).
Thus these four different fields lead to the same chirallagrangian with the field
x.
This example clearly demonstrates that the real symmetry here is the SUv (3) symmetry of the vacuum .. The initial spontaneously broken SUd3) x SUR(3) is a dynamical
one: it is reflected in the structure of the chiral lagrangian. In particular it leads to
eight massless NG fields, and it determines the structure of the vertices which couple
NG bosons and matter fields.
Let us indicate also the following point. Although one can choose any of the fields
'lj;i, i = 1,2,3,4, or X to work with (one can treat them as just equivalent variables),
a certain choice might be practically preferable: the main reason is that we always
work with some approximations for the chiral lagrangians and these approximations
can destroy the equivalence between the different fields.
In our consideration above, we implicitly assumed that all NG bosons have the same
decay constant F . However it is unnecessary in the case of the chiral UdN) x UR(N)
symmetry with N 2: 2. The point is that N 2 NG bosons are assigned to a reducible
representation of the vacuum group SUv(N) x Uv(1) in this case: (N 2
1) bosons are
assigned to the adjoint representation of SUv(N), and one boson is a singlet. The field
~ is ~ = ~o~s, where ~o = exp
(iT/).,o / Fo) ,~s = exp (i7r Ot ).,Ot / Fs) ,tr>.. Ot = 0, and the decay
constants Fo and Fs can be different. Therefore we can construct two different kinetic
terms for NG bosons in this case:
(5.74)
with
(5.75)
This example again shows that the real sym met ry is the vacuum symmetry
SUv(N) x U v (1) in the case or chirall a.g rang iil.lI s.
97
In conclu~ion, let us consider a matter field connected with vector bosons assigned
to the adjoint representation of SUv(N). The transformation law for this field is
(5.76)
As was noted by Weinberg [3], it is convenient to introduce another field
(5.77)
with VI" =
ti (~tOI"~ + ~Ol"~t).
Eqs.(5.40) and (5.76) imply that
p: transformes under
the chiral group as

(5.78)
i.e., it transforms as a gauge field. Therefore the covariant derivative of a matter field X
assigned to a representation D of SU(N), 01" -iD
(VI")' can be replaced by the covariant
derivative
(5.79)
The kinetic term for
p: can be chosen as (compare with Eq.(3.79)):

(5.80)
with
(5.81)
I';ven the mass term can be written in the gauge invariant form:
~M2
(paw _ V") (pl"W _ VI")
2
I"
I"
"
a
~M2p"pl"
2
1""
(5.82)
We note, however, that, as for all matter fields, without additional information,
tilNe is a rbitrarin ess in choosing a field to describe vector bosons. We could choose the
li(ld
(J ,I,
for example , which transforms homogeneously under the chiral group, like all
"t. h('l' IlI at. t.f'r fi(' lds . WI' Shilll ret.llrn to t.his qll('sl.ion in C hilpl.er J 2.
98
5.4.
NONLINEAR REALIZATION OF SPONTANEOUS SYMMETRY BREAKING .
GENERAL THEORY
In this section we consider the general theory of nonlinear realization of spontaneous symmetry breaking elaborated by Callan, Coleman, Wess and Zumino [2] and,
independently, by Volkov [4] (for an excellent review, see Ref. [5]) .
Let us consider a theory with a symmetry group G which is spontaneously broken
to a subgroup H . We assume that G is compact.
The set of generators TA of G can be divided into two parts:
sa are the generators
of the unbroken subgroup H, and X" are the remaining generators:
(5.83)
where
9 and Ji are the corresponding Lie algebras.
The generators TA are chosen in such a way that they satisfy the conditions:
(5 .84)
(5 .85)
tr (sa [Sb, X"j)

[sa, X" ] is in 9 - Ji, i.e.
Eq.(5.85) in particular implies that

fore the element
tr ([sa, Sb] X")
= 0, and there-
[Ji, 9 - Ji] C 9 - Ji .
(5.86)
Let us consider the field (compare with Eq. (5.28))
~(1f) = exp(i1f(X)IF),1f(X) =
1f"(x)X"
(5.87)
"EO-1i
with 1f"(x) being the NG boson fields. ~(1f) is an element of G relating to th e coset
space GIH (we choose the left coset; we recall th at a left coset GIH id entifi es elements
g,g' E G differing by right multiplicat.i oll wit.h all elem nt of 1/ ;1)' = gft) .
Let us cOI)sider the product
g~(7r),
where 9 is some element of G. Then, due to the
properties of the exponentials, the group element

into the coset part
f.'
99
~(7r') and unbroken part h
g~( 7r)
can be decomposed uniquely
E H: *)
(5.88)
This relation determines the nonlinear transformation of the field 7r( x) under G:
(5 .89)
Let us verify that: a) this transformation determines a representation of the group

and b) the transformation (5.89) determines a linear representation of the unbroken
subgroup H.
Indeed, let us consider the product 9 = g2g1 .
(5.90)
and
(5.91)
the n
(5 .92)
with
(5.93)
i .c., th e transformation (5.89) satisfies the group product law .
... ) S tri c tl y ~p('ll.killA", th d cc III PONilio ll ill lIu iqu n i n /10 111(' 1I (jp:hbo rh ood
f th e id cntjty of G.
100
Let us consider the case with 9 = hatH. Then

(5.94)
Since the decomposition (5.88) is unique , and because of Eq. (5 .86) , we find that
h{7r,g) = ha (in particular it is independent of 7r) and

(5.95)
(5 .96)
i.e., we get the linear representation of the subgroup H.
An important special case is that where the coset G j H is a symmetric space, which
means that
[9-1i ,9 -1i]c1i .
(5.97)
In particular, spontaneous chira! symmetry breaking with Gj H = [udN) xUR{N)]
jUv{N)or[SUL{N) x SUR{N) x Uv {l)]jU v {N) belongs to this class.

The condition (5.97) enables us to define the parity-like automorphism r : 9
---+
r{g)
such that
r{x) = x, for x E 1i; r{x) = -x, for x E 9 -1i .
(5.98)
Applying this automorphism to the relation (5.89)

(5.99)
we find
(5.100)
Eqs. (5 .99), (5.100) yield:
(5. 101)
Let us return now to th e spontaneous chir al sy mmetry brea.kin g case. We will prove
the relalion (5.33) .
Nonlinear Realizati on of Spontane01<6 Symmetry Breaking
101
Let us us,,: the following representation for the chiral generators:

(5.102)
(5.103)
where /'s is Dirac's /'s-matrix.
We note that in this representation, the parity automorphism r is given by
r( x) =
(5.104)
/'OX/'O .
The element .;( 7r) E G / H can be written as
.;( 7r) = exp (i-rs 7r'" ).. '" /2F)

= exp (i7r"').. [j2F) exp ( -
i7r'" ).. 'R/2F)
(5.105)
=';d 7r).;1( 7r) .

The transformation law (5.89) takes now the form:
(5.106)
(5.107)
lI ere h in Eq .(5.89) is rewritten as
h == exp(v"').."' /2) = exp (v"')..[j2) exp (v"' )..'R/2) == hLhR .
(5.108)
Ap plying the automorphism r (5.104) to both sides of Eq.(5.107}, we find :

(5.109)
T hi s eq uation and the eq uation (5.106) lead to the relation
(5.110)
III
ti,i s r r prr~e llta.ti on. Since all ge nera tors in this relation contain the projection op-
"r;ltor I 21!!, it i ~ f irM tila.t it r llIa.ins va lid ir we repla.ce
" ,',, d I. ,
W( '
gPi. till' n' la.l.ioli
(;,.:1:1) .
)..
= l~J').." with ).."'. As a
102
Dynamical Symmetry Breaking in Quantum Field Theoriu
Let us now consider the Lie-algebra-valued Maurer-Cartan I-form:
(S.111)
already briefly discussed in Sec.S.3 (see Eq.{S.S3)). It is convenient to define the so

called parallel (O'I'II{1f)) and perpendicular (O'I'.l{1f)) components of O'I'{1f):
(S.112)
(S.113)
The transformation law of 0'1' following from Eq.{S.89) is
(S.114)
Since
h( 1f, g )0l'h t (1f, g)
E 'It, this equation implies that
(S.l1S)
(S.116)
Comparing these equations with Eqs.(S.40), (S.41) (where h = U), we see that the
quantities VI' and AI' in theories with spontaneous chiral symmetry breaking transform
exactly as 0'1'11 and O'I'.l, respectively. Let us show that in those theories , VI' = 0'1'11 and
AI'
= O'I'.l.
O'I'II{1f) and
Indeed, since 0'1'11 E 'It and O'I'.l E

T
9 - 'It, then
(O'I'II(1f))
= 0'1'11 ( -1f)
(O'I'.l{1f)) = O'I'.l{-1f) = -O'I'.l{1f). This in turn implies that
0'1'11
=~ (O'I'( 1f) + O'I'{ -1f)) = ~i (et 0l'e + eOl'et ) ,
O'I'.l
=~ (O'I'(1f) -
O'I'(-1f)) =
~i (etol'e - eOl'e)
These two expressions exactly coincide with those for 11" and A I"
Eqs.{S.30)( S.31)).
(S.117)
res pectively (see
Nonlinear Realization of Spontane01t3 Symmetry Breaking
103
The construction of general G-invariant lagrangians can be done in the same way as
the construction of chiral nonlinear lagrangians considered in the previous section. Let
us discuss this in more detail.
The broken generators {X"'} E
g -1i span some
representation of the subgroup H
which can be decomposed into some irreducible ones {X"';}, i

quantity
cxl'.d 7r)
= 1,2, ... , n.
Then the
can also be decomposed into H -irreducible pieces:
(5.118)
(5.119)
Therefore the kinetic term is
(5.120)
where the decay constants Fi with different i are in general independent. This general
form of
NG
was first pointed out by Boulware and Brown [6].
Of course, one can add terms with any power of tr ( cx~il (7r)) 2 in the lagrangian.
For any matter field X assigned to a representation D of G, the covariant derivative
is (compare with Eq.(5.67)):
(5.121)
Since there is no renormalizability restriction for the form of lagrangians, one can again
add invariant terms with any powers of DI'X in the lagrangian.
Such phenomenologicallagrangians describe low energy dynamics with q2 ~ C min
{Fl }, where C is some characteristic dimensionless coefficient determined by an underlying fundamental dynamics.
We shall consider this point in more detail in the next section.
104
5.5.
WHERE ARE NONLINEAR LAGRANGIANS USEFUL?
A general nonlinear lagrangian includes infinite number of terms organized in increasing powers of derivatives and numbers of fields. The lagrangian is of course nonrenormalizable.
Here we would like to add some comments about renormalizations in nonrenormalizable theories. Their nonrenormalizability does not prevent the realization of the usual
renormalization procedure in perturbation theory. There are a finite number of counter
terms in each order of the loop expansion in both renormalizab1e and nonrenormalizable theories. However , if the number of different types of counter terms is limited
in renormalizable theories (four types of the counter terms in QED , for example), it
is unlimited in nonrenormalizable theories and grows rapidly in higher orders of the
expansion. Therefore, in perturbation theory, a nonrenormalizable theory looks as a
renormalizable one but it contains a huge number of free parameters in higher orders of
the loop expansion.
Where can such a complicated construction be useful? The answer to this question
is that the nonlinear effective lagrangians give an excellent framework for the description
of the low energy dynamics of such light particles as NG bosons.
Let us, following Weinberg [7], illustrate this point on the example of the nonlinear
chirallagrangian describing the spontaneous breakdown of the SU (2) x SUR(2) chiral
symmetry.
We consider the lagrangian including the NG (pion) field 7r
= 1rf
only, I.e. we
assume that all other fields (as p meson, nucleons, etc.) are integrated out.
The lagrangian density is an infinite series of operators of higher and higher dimensionality:
+ gil) [tr (DI'7r DI'7r)]2

2
+ gi )tr (DI'7r . D V 7r) tr (DI'7r . Dv7r) +
I: =g2tr (DI'7r . DI'7r)
where the covariant derivative DI'7r is DI'7r
==
Cl'1'.L( 7r)
(5.122)
(see Eqs.(5.117), (5.120)), g2 = F2,
and g~n) are constants of dimensionality [mass]4-d, d is the number of the covMia nt
derivatives in the corresponding term.
We are interested in the low energy dynami cs with a char;tdcris ti c ell ergy
such th a.t E2 / p2 ~
(in ril.ct.,
e2/ C2 fi'2
with
it
~c".I ('
e,
dilll(' lIsiOIlI ('ss OIl Si.;I.IIi. C di s(" lI ss('d
105
below). Thus our interest is a series in powers of E or, what is the same, in powers of
the derivatives of the field
'Ir.
Let us consider the matrix element M for a process involving Ne external pion lines:
(5.123)
where S is the S-matrix element. The dimensionality of Mis [mass]D 1 , where
(5.124)
Let us begin with the tree approximation. The leading term is the first one
III
Eq.{5.122) including two derivatives. Its contribution to M is proportional to the factor
E2. In particular, the matrix element for pion-pion scattering in the tree approximation
is given by the Weinberg relation [8]:
(5.125)
Let us consider now the contribution to the matrix elements of graphs with loops.
Since every pion field
that
'Ir
'lraT
'Ira
appears with the factor F-l in the lagrangian (we recall
/2F) and since the dimensionality of g~n) is [mass]4-d, we find that the
dimensionality of the product of all coupling constants in a graph is [mass]D 2 , where
D2 =
L N d{ 4 -
d) - 2N; - N e
(5.126)
whe re Nd is the number of vertices with d derivatives, and Ni is the number of internal
pioll Ii nes in th e graph.
Sill ce piolls are mas. less, the no n reg ularized loop integrals are formally homogeneous
fli ll CI.io li Hof ('x l.('J' lI itIIlI OIlIl' lIta 7Ii
rv
I'; . If th ry
W('I'C
(illite, th e relati ons (5.124), (5.126)
106
would imply that they are proportional to the factor
(5.127)
with
D = Dl - D2 = 4 +
Nd(d - 4)
+ 2Ni
(5.128)
However, since the loop integrals diverge, one has to use some regulazization introducing
a dimensionful parameter a in the integrals. The matrix element takes the form
M = ED f(E/a) ,
and without knowing the function
f,
(5.129 )
we can say nothing how M depends on E .
Fortunately this problem can be solved.

Since the lagrangian density (5.122) includes all terms consistent with SU L (2) x
SUR(2) symmetry, one can remove the ultraviolet divergences by absorbing them into
a renormalization of the infinite number of the coupling constants and the pion field .
Since the matrix elements themselves are renormalization scheme independent, one
can use any renormalization scheme. For our purposes, the most convenient one is the
minimal subtraction (MS) (or modified minimal subtraction (MS)) scheme with the
dimensional regulazization of the loop integrals (see Sec. C.2 in Appendix C) [9].
In the MS (or M 5) scheme, the dependence of the loop integrals on the renormalization scale a is rather minor; a appears there only through some logarithmic functions. Therefore the expressions for the matrix elements take the form (compare with
Eq.(5.129)):
M = ED f(E/a) ,
where
(5.130)
is some logarithmic function, and D is given in Eq.(5.128).
Using the well-known formula for the number of loops in a graph [9],
NL = Ni -
L Nd + 1 ,
II
(5.1:31)
Nonlinear Realization of SpontaneoU3 Symmetry Breaking
107
the power D <;an be rewritten as
D = 2+
L Nd(d -
2)
+ 2NL
(5.132)
The relations (5 .130) and (5.132) imply that the contribution of a graph to M is more
and more suppressed with increasing the number of loops and the number of derivatives.
In particular the dominant contribution corresponds to NL = 0 (the tree approximation)
and d = 2 (the first term in the lagrangian density (5.122)).
Moreover, since the powers D corresponding to the graphs with loops are not smaller
than four , we conclude that there is no counter terms of the form of the first term in
the lagrangian (5.122) . This in turn implies that there are no renormalizations both of
the coupling g2 = F2 and of the pion field . On the other hand, one-loop graphs with
vertices from the first term (with two derivatives) can lead to the renormalization of the
coupling constants g~1) and g~2), etc.
Let us consider the corrections of order
52 '"
E4 in the matrix element for pion-pion
scattering. The relations (5 .130), (5.132) imply that these corrections will arise from
graphs in which there are any number of vertices with two derivatives (d = 2) , and
either one loop or one vertex with d = 4. The explicit expression for M~~-yb is (we use
the dimensional regularization) [7]:
(5.133)
where
= (4 - n)/2 with n ~ 4, 'Y
==
0.58 is the Euler constant, and the "crossed
term" include the terms with the interchanges (3 ...... 'Y and
5 ......
t or (3 ......
/j
and
5 ......
u.
T he divergences in the expression (5.133) can be removed by introducing renormalized

coupling constants (M S scheme):
g (l)(O)
== g(l) + _1_
U(2) ( 0' )
==
" 1
2411"2
)2)
.1'1
, '2 1f 2
[! _ +
In 411" -In 0 2]
[ ,I
In 1\ 11" _ III 0 2] .
'V
I
'V
I
(5.134)
(5.135)
108
The expression (5.133) can be now rewritten as
M(2) = Oa{30-Yh [ __1_s2In (-s) _ _1_ (u 2 _ s2

a{3-yh
16F4
21T2
a2
121T2
. In (-t) _ _
1_ (t2 _ s2
a2
121T2
+ 3t2)
+ 3u2) In (-u) + 8g<1)(a)s2
+ 4gi 2)(a) (t 2 + u 2) ] + crossed
a2
(5.136)
terms.
It is noticeable that the coefficients of the logarithmic terms can be calculated exactly.
As was pointed by Lehman long ago [10] , this fact follows from the perturbative unitarity
of the scattering amplitude.
2
However the coefficients gi1)(a), gi )(a) are unknown, and we should introduce some
ad clitional information to fix them. Let us discuss this point in more detail.
The nonlinear lagrangian (5.122) should be considered as an effective low energy
lagrangian describing the dynamics of the light (massless) NG bosons. It is generated
by some fundamental dynamics (like QCD in the case of hadronic dynamics) as a result
of integrating out all "heavy" degrees of freedom. So we should consider the effective
lagrangian as a model relevant below some scale A, which is a characteristic scale of the
underlying fundamental dynamics. It is natural to assume that this scale is close to the
mass of the lightest non-NG boson particle, as p meson in QCD . One might expect that
a coupling constant g~n) of dimensionality [mass]4-d takes the order of
(5.137)
Then the derivative expansion is valid in the region with momentum p
:s: A.
One should
understand that there is no real proof of the estimate (5.137). However, as we shall
see in Sec. 12.14, the derivation of the low energy effective action in some toy models
confirms it .
As to the scale A, there is an argument of Georgi and Manohar [11] leading to the
following estimate for the upper bound of A:
(5. 138)
The a rgument is based on th e rell onn il.liz,\tioll r la ti
li S ( 5. l l~),
(5. !:I5) which we r wri te
Nonlinear Realization of Spontaneo1L& Symmetry Breaking
in the
followin~
way:
94(a) = 94
with 94
==
109
1 [1
+ (47r)2
~ - 'Y + In 47r -In a
! (gil) + gi2 )) ,94(a) == ! (9il )(a) + 9i 2 )(a)).
2]
(5.139)
The conventional interpreta-
tion of the bare coupling constant 94 in M S scheme is as a running coupling at the

cutoff scale A; this corresponds to replacing the factor (~ - 'Y + ln47r) in Eq.(5.139) by
In A2 :
(5.140)
This relation tells us that at a < A, a change in the renormalization scale of order one
(In A2/a 2 ~ 1) induces a change in 94(a) of order (4~)2' Georgi and Manohar argue that
this implies the restriction
(5.141)
since the case with 94(A) ~ 1/(47r)2 looks rather unnatural: a high energy dynamics
with p ~ A induces a coupling 94(A) which is much smaller than that, say, 94(A/ 2)
induced by the low energy dynamics connected with the contribution of the NG bosons.
Relations (5.137) and (5 .141) lead to the estimate (5.138).
Although this argument seems rather plausible, at present, we cannot rule out the
situation with a high energy dynamics leading to 94(A) ~ 1/( 4/lV. The point is that the
low energy dynamics leading to running of the coupling constant 94 (a) at a
< A does
not determine uniquely a high energy dynamics fixing the value 94(A) . The estimate
(5. 138) is just a guess which should be checked in concrete models.
So far we considered nonlinear lagrangians in the strict chirallimit with NG bosons
being massless. However, in the real world, pions are (although light) massive. As we
already discussed in Sec.4.5, such a situation is described by the PCAC dynamics. In
the PCA C dynamics, nonlinear chirallagrangians include new terms breaking the chiral
symmetry. We shall consider this problem in Sec. 12.13.
As we al ready indicated in Sec. 4.5, th e PCAC hypothesis assumes th e pion pole
do mi na ll ce ill th e ma.tri x elemellts of th (' a.xial ( lirrents and (a.t
m; i= 0) th eir diverge nces
ill low PII (' rg.Y rq;ioll . This h'y ppl.h !'siHI" llds I,) 1I11'U('l"Ons illl.r r('s iing r('lil l.io ns (l ow energy
110
theorems) [12]. The Goldberger-Treiman relation considered in SecA.5 is an example of

them.
These low energy theorems can be obtained by using only tree graphs of the nonlinear
chiral lagrangians. The discussion in this section explains why it is sufficient to use
just the tree graphs to reproduce the theorems. Indeed, as was shown above, the tree
approximation is the leading one in the momentum expansion for matrix elements. The
pion pole dominance is realized in this approximation in the evident way.
Chapter 6
The Nambu-Jona-Lasinio Model. The First Acquaintance
6.1.
INTRODUCTION
The Nambu-Jona-Lasinio (NJL) model [1] occupies a very special place in the subject of dynamic symmetry breaking in relativistic quantum field theory. This is in part
because it was the first model in which this phenomenon was realized. But this is not the
whole story: its dynamics contains many of the important ingredients of dynamic chiral
symmetry breaking in quantum chromodynamics and, possibly, electroweak symmetry
breaking (see Chapters 12, 14 and 15).
This short chapter is a brief introduction to the dynamics of the N JL model.
6.2.
DYNAMIC CHIRAL SYMMETRY BREAKING IN THE NAMBU-JONA-LASINIO
MODEL
T he lagrangian density of the NJL model takes the form:
(6.1)
where ). '" are the matrices from the fundamental representation of the flavor U(N)
group (td"),,8 = 20,.,8) . The fermion field 1/1 carries the flavor index (a) and the color
index (/) , 1/1al. We assume that I = 1,2, ... , N c , i.e. 1/1 is assigned to the fundamental
representation of the color group SU(Nc).
By using the Fierz identity for ).,. matrices, ~~~Ol }).~b).~ = OadOcb (considered in
Sec. B.3 in Appendix B), the lagrangian density (6.1) can be rewritten in the following
form :
(6.la)
R l'n"I ~(' o f 1.11 itbsC llce
1111<1 ('1'
1.1. ('
IJ (,(N)
of the mass term , th e lagrangian density (6.1) , (6.1a) is invariant
Il Il (N ) r hi mll. r:u IHfol'llla.l.i olls.

III
112
Let us rewrite the lagrangian density as
. = i-/iry"8,,7/; -{;LM7/;R -(;RMt7/;L - 2d(o)tr(MtM) ,
(6.2)
where M is (see Eq.(4.51)):
M =
with ex' = 1,2,, N 2
~ [(er + if/),o + (era' + i7r a ') ),a']
(6.3)
1. Since there is no kinetic term for M, this field is auxiliary.
The Euler-Lagrange equation for this field takes the form of a constraint:
(6.4)
The lagrangian density (6.2) reproduces Eq.(6.1a) upon application of the constraint
(6.4) .
The lagrangian density (6.2) coincides with that of the linear er-model (see Eqs.( 4.53)
and (4.55)) in which the kinetic term for M is absent, and the coupling constants>., 9
and J.l2 are), = O, g = 1/.../2 and J.l2 =
l/e(O) .
We will consider the dynamics in the NJL model by using two different approaches.
The first is rather heuristic, and can be considered as a relativistic analogue of the
approach used in the BCS approximation in superconductivity (see Sec.2.8); the second,
in fact, justifies the first one in the limit when the number of colors Nc goes to infinity.
Let us consider the equation of motion corresponding to the lagrangian density (6.1):
e(O)
e(O)
i-y"8,,7/; + -2- (7/;),a7/;) ),a7/; + -2- (7/;i),a,s7/;) i),a,s7/; = 0
(6.5)
(the summation over ex is implied). Let us approximate the composite operators ({;),a7/;)
and ({;i),a,s7/;) in this equation as
(6.6)
({;),a7/;)=Oifa#O,
(6.7)
({;i),a,s7/;) = 0 .
(6.8)
The similarity of this approximation with the BCS approxim a tion (see Eq.(2.87)) is
evident.
The parameter
recall that), a =
mdyn
(-k-) 1/2 1).
in equati on (6.6) is the fermi o n dynamical mass (we
The Nambv.-Jona-Lasinio Model
113
We will show that this approximation is justified when Ne is large.

With this substitution, the equation (6.5) reduces to a free Dirac equation:
(6.9)
where, however,
mdyn
is not a free parameter but it is determined from the relation
(6.6) :
c(a)
mdyn
C(a)
C(a)
= -N(OI1jJ1jJIO} = N!~ tr(OIT1jJ(x)1jJ(O) 10} = iN!~ trC( x )
(6 .10)
where C(x) is the fermion propagator:
- _1_
C( x ) ()4
211"
d4
pe
-ipx
f; + mdyn
= "
2
+ 11'. ,P -'YP,,
(6.11)
P - m dyn
Eqs.(6.9) and (6.11) lead to the following equation for
mdyn :
(6.12)
Rot ating the integral into Euclidean space (pa
->
ip4), we find the equation:
(6.13)
whe re A is the ultraviolet cutoff. This equation is equivalent to the following algebraic
one:
(6.14)
wit h
(6.15)
mdyn =
is ,dso a nontrivial one with
corresponding to spontaneous breakdown of the
mdyn =1=
0, to this equation, and when
> 1, there
'I' llcrc is always th e trivial solution,
, iJi ntl (h( N) x Un( N) symmetry to its vector (diagonal) subgroup: UL(N) x UR(N)
(/ v(N) .
---+
114
We will show below that at '"
> 1, the stable vacuum corresponds to the nontrivial
solution. Like in the linear a-model, there should be N 2 massless pseudoscalar NG

bosons which now are fermion-antifermion bound states . We will consider the dynamics
of these states in Sec .9.5.
We recall that because of the presence of the Fermi surface, dynamical U(1) gauge
symmetry breaking in the BCS model of superconductivity takes place at any positive
value of the coupling constant g, i.e. the critical value gc is gc = 0 there (see Sec.2.8) .
Unlike the BCS model, in the N JL model , in order to generate a dynamical mass for
fermions, the coupling constant '" must be larger than the critical value
"'c
= 1. We
will discuss the origin of the difference between these two dynamics in more detail in
Chapter 10.
Let us now try to justify the approximation (6.6)-(6.8) .
We begin by considering the path integral representation for the generating functional Z(J) in the theory with the lagrangian density (6.2) (see Sec. C.3 in Appendix
C):
( 6.16)
where F(J)
L Ji(X)'Pi(X) is a source term for some local fields 'Pi(X), and the
==
normalization factor ]{ ensures that Z(O) = 1. Let us rewrite this expression in the
form
Z(J)
=]{
1)M1)Mt exp
{i Jd x [- 2d(o) tr (MtM) + F(J)]} z, (M, Mt) ,

4
(6.17)
where
( 6.18)
with
(6 .19)
and C being some inessential no rma lizatio n co nstant. Tn th e de riva ti on of Eq .( 6.18) we
used Eq.(C.32) in Appendi x C; til determin a nt De t is t;tken in th e fun ctional s(' ns(' .
The Namhu-Jona-La8inio Model
115
Therefore the action of the effective theory for the field M is
(6.20)
Eqs.(6.14) and (6.15) suggest that in the limit Ne
---+ 00,
the effective coupling constant
IS
(6 .21 )
Therefore
(6.22)
and the path integral (6.1 7) is dominated by stationary points of this action in the limit
Ne ---+
00,
55
8M
O.
(6.23)
III other words, in this limit, the dynamics becomes effectively classical.
We are now interested in the vacuum solutions of the equation (6.23) with M being
i IId ependent of x. As in the case of the linear a-model, we are looking for the solution
of the form
(6 .24)
,,II other vacuum solutions can be obtained from this one by using chiral transformations.
At such a M, the action S(M, M t) can be easily calculated. Indeed, now the matrix
,I"llIcnt (p'li1)lp) is
(6.25)
1'lti H ('Cllla.t ioll
i),1l
I th e identity
'I 'r /, /lin
(6.26)
116
lead to the relation
(6 .27)
Therefore the potential V(v) == _(d4 x)-lS is
(6 .28)
The equation (6.23) now takes the form
(6.29)
It exactly coincides with Eq.(6.12) if we identify the dynamical mass

It is not difficult to check at
K,
mdyn
with N- 1/2 v .
> 1 that while the nontrivial solution M = v~ cor-
responds to a minimum of the potential V, the trivial one corresponds to its maximum.
Therefore, as in the linear l7-model with J.1.2 < 0, the symmetric vacuum connected with
the trivial solution is unstable.
Thus we have justified the approximation (6.6)-(6.8) in the limit Nc ~
00.
We
recall that the Bes approximation (2.87) in the theory of superconductivity (and the
Bogolyubov approximation (2.29) in the theory of superfluidity) is valid in the limit of
a large number of particles. In the N JL model, the color number Nc plays an analogous
role. Since in this approximation all quantum fluctuations of the field M are neglected ,
it corresponds to the mean-field theory approximation.
6.3.
THE STRUCTURE OF THE VACUUM IN THE
NJL
MODEL
In the mean-field theory approximat.ion, the equ ation of motion in the N JL model
reduces to the free Dirac equa.tion (6.9). Therefor e to desc ribe th e structllre of th e
vacuum in this model, we ca.n lise the res llits of ee. J.tI , ill parti cul;1r , I<;q.( 1. 66 ). We
The Nambu - Jona-Lasinio Model
117
find that th(! vacuum is
II
10} =
lap - ,Bpbtp(s)di(_p)(s)] lOt} ,
(6.30)
p,s=t
where the coefficients a p and,Bp are defined in Eq.(1.64) and the operators btp(s), dtp(s)
and the vacuum lOt} relate to free massless theory (for simplicity, we consider the UL(l) x
UR (l) chiral symmetry; all color indices are suppressed).

Since the operators btp(s) and di(_p)(s) have the same helicity (and therefore chirality), this vacuum is not eigenstate of the chiral operator Q5 = QL - QR. In fact,
since the left fermions have
= -1, and the right fermions have
+ 1 (see
Appendix
A), the transformation properties of btp(s), dt p( s) under U5(B) = exp( iQ5B) are:
U5- t (B)bt p(1)U5(B) =e'f i obt p (l)

U;t(B)dt p(1)U5(B) =e'f i odt p(l) .
(6.31)
Therefore
IB} == U5(B)10} =
II {ap - ,Bpe obtp(1)di(_p)(1)} lOt}

2i
(6.32)
p,!
Since the hamiltonian of the N JL model commutes with the chiral operator, all these
vacua have the same energy, that is the vacuum degeneracy takes place in the model.
6.4 . DYNAMIC GENERATION OF A MAJORANA MASS
As we already noted in Sec.1.3, fermions may possess another type of a mass than
Dirac's one. This is the Majorana mass leading to the violation of the conservation of
the fermion number.
The lagrangian density for a free massive Majorana fermion takes the same form as
for Dirac's one (up to the factor 1/2)
(6.33)
II ()w('v('r I Ii ('1'(' is il.l l additi ollal rcsl.rictioll for
1// ~'I :
it is inv(tri iUlt und er the operation of
118
charge conjugation (see Eq.(A.23)) :
(6 .34)
In the spinor representation of "II', this relation is (see Eq.(A.29)):
The Majorana spinor 1/JM can be expressed through a left-handed spinor 17 (1/JL =
( ~).,
./
see Eq.(A.16)) as
(6.36)
The lagrangian density (6.33) can be now rewritten (up to inessential surface terms) as
(6.37)
Let us consider a N JL-like model in which the Majorana mass is generated dynamically (such a model was first considered by Yaks and Larkin [ 2 J); for simplicity, we
will consider the case with one fermion flavor.
The lagrangian density of the model is (compare with Eq.(6.1)) :
(6.38)
or, what is equivalent,
(6 .39)
It is clear that this is invariant under the U(l) transformations,
(6 .10)
connected with th e fermion number conse rviI,ti n.
The Nambu-Jona-Lasinio Model
119
The equation of motion for 1f;M is (compare with Eq.(6.5)):

G(O)
i,"8,,1f;M+-- [(1f;M1f;M) 1f;M

2
G(O)
+ 1f;M (1f;M1f;M)]
(6.41 )
+-2- [(1f;MiTs1f;M) i,s1f;M
+ iTs1f;M (1f;MiTs1f;M)]
= 0.
In the mean-field approximation, the equation becomes (compare with Eq.(6.9))
(6.42)
where the dynamic Majorana mass is
(6.43)
and the propagator G( x) is
(6.44)
Therefore the mass mdyn is a solution of the same equation (6.12) which was derived
for the dynamic Dirac mass. In particular we conclude that when the coupling constant
,,; = G(O) NcA2 /4;r2 is larger than 1, there is a nontrivial solution for mdyn corresponding
i.o the spontaneous breakdown of U(l) symmetry.

The expression for the vacuum Ie) takes the form (compare with Eq.(6.32))
f
Ie)
II {CI<p -
,Bpe-
2iO
bt p( -l)bt( _p)( -I)} { Cl<p
- ,Bpe
2iO
dt p ( + l)dt( _p)( + 1)} 101) ,
(6.45)
where bt p (-l) (dt p(+1)) is a creation operator of a left-handed massless fermion (a

I
iK hl.- handed massless antifermion), and Cl<p and,Bp are defined in Eq.(1.64). The symbol
II'
Illcans that in order to avoid the double counting we consider here the vectors
"
I'/Irllying in th e upper semisphere (n, > 0) only.

() " r ra."
~cc
I.h a.t th e vac uum
Ie)
is
11 0 1. ;\11
eige nstate of th e fermion number operator.
Chapter 7
The Effective Action Method in Quantum Field Theory
7.1.
INTRODUCTION
The essence of the phenomenon of spontaneous symmetry breaking is connected

with the inclusion of the vacuum degrees of freedom in the field dynamics. The important point is that these degrees of freed om are essentially classical in nature (as those
described by the order parameter 'Pc(x) = (OI'P(x)IO) in the theory of superfiuidity or
in the Goldstone model) . This is in turn connected with the point that th e vacuum is
a macroscopic state possessing a huge number of degrees of freedom (as the vacuum
Ie)
in an almost ideal Bose gas (see Eq.(2.44)) .
It is therefore important to get a regular method to deal with these vacuum degrees
of freedom. Such a method introduced by Goldstone, Salam, and Weinberg [ 1 ), and
by lona-Lasinio [ 21 is referred as the method of the effective action.
The effective action f ('Pc(x)) is a functional of the classical field 'Pc(x) = ( I'P(x)j)
(the order parameter) describing the dynamics of a state I). The equation of motion
is 6<p65x) = O. Besides the ground state, the solutions of this equation describe different
types of macroscopic excitations in the vacuum.
The method of the effective action had become a standard method to deal with
relativistic theories with spontaneous symmetry breaking after the appearance of the
work of Coleman and Weinberg [3] . Among many interesting results in that paper, one
of the most important points was the demonstration of the fruitfulness of the renormalization scheme to deal with the effective action f( 'Pc( x)) beyond the tree approximation
in renormalizable theories .
In the present chapter, we will consider this method rather in detail.
7.2.
EFFECTIVE ACTION (GENERATING FUNCTIONAL FOR PROPER VERTICES)
In this section, we consider the basic properties of the effective actio n (generating
functional for proper vertices) which is
il.
main tool for st udyi ng spo ntan('olls sYll1lllrtry
breaking in qua.ntlllll (i ('ld th('ory.

12()
Effective Action Method in Quantum Field Theory
121
We begil) by introducing the generating functional for Green's functions (for a thorough discussion of this formalism see the book [ 4 ]):
Z(J)
= (OITexp
[i Jd xrp(X)J(x)] 10} = (0, outlO, in} ,

4
(7.1)
w here the symbol rp( x) represents all fields of a lagrangian, and J (x) is a source for
rp(x). We emphasize that since the source J(x) may depend on the time coordinate
xo, the in-vacuum and the out-vacuum (corresponding to xo ----; -CXl and xo ----; +CXl,
respectively) are in general different (the vacuum 10) is 10} = 10, in} IJ=o = 10, out}lJ=o).
For simplicity, we will consider a theory with just one real scalar field rp(x) with a
mass m.
The functional Z(J) can be expanded in a series:
with
being Green's functions.

Let us introduce the functional W(J) which is
W(J) =
~ In Z(J)
(7.4)
The corresponding series is:
(7.5)
wit h G~n) being connected Green's functions, that, is the corresponding Feynman diagrams in perturbative theory for them are connected. To illustrate this, let us consider
the few simplest Green's functions:
(7.6)
(~ill("('
1.11 ('
th e va ullm 10) is translation invari a nt , (Olrp(x)IO) = (Olrp(O)IO) ). We note that
d r fillit.i o ll of Z (.J) in Eq.( 7.1) with 2"(0) = "[ impli es th a t all vacuum diagrams
122
at J = 0 are removed. Therefore GP) is really connected . Then, let us consider
G~2 )( X l ' X2) :

(2)
G c (Xl , X2)
82 W
= i 8J(xI)8J(X2)IJ=o = (0ITrp(xI)rp(X2)10)
- ((Olrp(O)IO})
(7.7)
One can see that the contribution of disconnected diagrams in this expression is removed.
The same is valid for higher G~n) .
The effective action is introduced as the Legendre transfo!m of W(J). Let us consider rpc(x, J) which is
rpc(x , J) =
8~~) =
(7.8)
ztJ) (0, outlrp(x)IO, in} .
The effective action r( rpc) is defined as

(7.9)
Here we assumed that the relation (7.8) may be inverted .
First of all, let us show that
(7.10)
Indeed, we have from Eq.(7.9):
(7.11)
Because of the relation (7.8), this equation leads to the relation (7.10) .
Let us define the notion of proper vertices r(n)(Xl , . , xn) . They are amputated
and one-particle irreducible Green's functions, i.e. in the perturbative expansion, they
are defined in terms of amputated one-particle irreducible Feynman diagrams. This
means the following. The amputated functions are defined as
(7.12)
i.e. they are determined through the convolution of Green's fun cti ons with th e inverse
two-point functions corresponding to each extern al coordin a te
factor (i)n-l is introduced here just for conveni ence).
Xk
(th e normali zati on
123
One-part!cle irreducible Green's functions are those with corresponding diagrams

remaining connected when an arbitrary internal line is cut. The proper vertices are
both amputated and one-particle irreducible Green's functions.
Let us demonstrate
that the functional r( 'Pc) is the generating functional for proper vertices. For simplicity,
we consider here the case when the only solution 'Pc(x, J) at J
The more interesting case with 'Pc(x,O)
0 is 'Pc(x, 0)
=v=
O.
0 corresponding to spontaneous symmetry
breaking will be discussed in Sec.7.4 .

We will illustrate that the functions
(7.13)
in the series
(7.14)
are proper vertices by considering the two-point function r(2)(r{l )(x)
=
-J(x, 0) = 0 due to our assumption).

Differentiating Eq.(7.8) and taking into account Eq.(7.1O), we get:
(7 .15)
Ilecause of this equation and the definit"kn (7.12), we see that r(2) is an amputated
(: reen's function . Let us introduce the self-energy operator
~(x,
y):
(7.16)
where
IH
1.11("
prop"(;;ttor of th e free fi eld with th e'
11I;'l("d hy :, Hi'I. of
0 11 ( '
1I1i1.~S
m. T he self-energy operator is deter-
piI.rl.i r i< irr<'ducihl ,' diilgr ll,III H. Illd cd, in a theory with J = 0,
124
E(x, y) depends only on the difference x - y, and the function G~2)(p, q) in momentum
space is:
(7.18)
where
(7.19)
(see Fig. 7.1). It is clear that E(p) is the one-particle irreducible contribution to the
two-point function.
-0-
---+
i
E
i
+
2 i p2_m 2
+ p2_m
+
~
i
~
i
i p'2_m 2 i p'l_m 2
p2_m 2
+ ...
Fig. 7.1
One can check in the same way that the higher r(n) are also proper vertices (for a
thorough discussion of this point see the book [ 4 )).
Let
liS
show that in the lowest order of perturbative expansion (the tree approxima-
tion) when the theory is reduced to the free one, the functional r(cpc) coincides with the
classical action. Indeed, in this approximation, the only proper vertex is (see Eq.(7.16))
r(2)(Xl,X2) =i
=
[G~2)(Xl'X2)rl
(2~)8
crp 1 crP2 e- i (PIXl+P1Xl)(27r)4c5 4(Pl
+ P2)(pi
- m 2) .
(7.20)
Therefore the effective r( CPc) is:
r(cpc) =
d4xld4x2r(2)(Xl, x2)CPc(xdCPc(X2) =
4
d x [o" CPc8"cpc -
m2cp~l
(7.21 )
Beyond the tree approximation, th e functional r( CPc) includes qll~ntu 111 cor rect ions . This
is th e r e~so n why [( CPc) is referr d as th e crrcctive actio n.
125
We recall that in the discussion above, we assumed that 'Pc(x, J) in Eq.(7.8) is 'Pc = 0
at J =
o.
This assumption is invalid in the case of systems with spontaneous symmetry
breaking when v
== 'Pc{x, 0) 01 o.
In that case, instead of the expa.nsion (7.14), we should
consider the following one:

(7.22)
with "z;c(x) = 'Pc{x) - v and
dn )
being proper vertices relating to the vacuum with
8~%) IJ=0 = (OI'P(x)IO) = v .

We will consider this case in detail in the following.
7.3.
THE PHYSICAL MEANING OF THE EFFECTIVE ACTION
To understand deeper the physical meaning of the effective action, let us expand it
in powers of derivatives of the field 'Pc(x) about an x-independent configuration 'Pc = 'Po:
'Pc( x) = 'Po
+ "z;c( x)
(7 .23)
We have:
(7.24)
which is (compare with Eq.(7.22)):
f('Pc) = r('Po)
J~xr~~{O)"z;c(x) + ~ Jd4x~yr~2j(x
- y)"z;c(x)"z;c(y)
+ ...
(7.25)
We li se here the point that since the 'Po-configuration is x-independent, the proper
v(' rti ces r(n)(Xl,, xn)I'P<='Po depend only on defferences of coordinates. In particular,
1'('P1l) is
(7.26)
wit. h th e cfl'cct.ive potential
(7.27)
126
where f(n)(Pl, ... ,Pn ) are Fourier transforms of r(n)(Xl, ... ,x n ) in Eq.(7.14) :
r(n)(Xl, , xn) =
g[/ (~~i4]
(27r)46
(~Pi)
. f(n)(Pl, ,Pn) exp ( -i
~PiXi)
(7.28)
Using the Taylor expansion
_ ()
_ ()
'Pc Y = 'Pc x
+ 00c(
oxl' y -
)1'
X
020c
+ 2"1 oxl'OX
(
V
)I'(
y- X
Y- x
)V
+...,
(7.29)
one can write
(7 .30)
All nonderivative terms sum up in the potential term

(7.31)
and the terms with two derivatives yield the kinetic term
(7.32)
It is important that the functional form of Z ('Pc(x)) coincides with that of Z( 'Po), with
'Po being x-independent, and Z( 'Po) is expressed through the second derivative of the
proper vertex
- (2)
r 'Po (p, - p)
a'f(2)
at P = 0: Z('Po) = ;;gl'v..::....:..:tLlp=o.
o
8p p op.,
Thus the derivative expansion

(7 .33)
reduces to calculating proper vertices around the point P =
o.
We shall consider an approximation method for calculating the effective ac ti on in

the next section. But before thi s, we sh il.l I disc ll ss its physi <\1 illterpreli\ti oll [ 5, 6 ].
127
We begin by considering the path integral representation for the functional Z( J) :
tp(tj,X)='P/(X)
Z(J) =
NJ
lim
tf
---+ +00
t; ---+
V(<p)exp [ijcrx {(x)
+ J(x)<p(x
n] ,
(7.34)
tp(t;,x)=tp;(x)
-00
where the <p integration is functional, (x) is the lagrangian density of the theory, and
the normalization factor N provides Z(O) = 1, i.e.
tp(tj,X)=tpj(X)
1
N- =
tf
lim
---+ +00
t; ---+
V(<p)exp [ijcrx(x)]
(7.35)
tp(t;,x)=tp;(x)
-00
tp(tj,x)=tpj(X)
T he symbol
lim
f;~-=
tp(t;,x)=tp;(x)
t f-+CO
V(<p) means that the path integral is evaluated along
traj ectories from <Pi(X) to <Pf(x) in the functional space; the initial time t; and the final
time t f go to
-00
and
+00,
respectively. A convenient choice is the periodic boundary
conditions with <pf(x) = <Pi(X).

We discuss path integrals in Sec.C.3 in Appendix C (for a thorough discussion of
path integrals see the book [ 4 J).
Le t us consider a source J independent of t
==
xO. Then, as is discussed in Sec. C.3
in Appendix C, the functional Z(J) coincides with the transition amplitude:
(7.36)
Itere H (J) is the hamiltonian corresponding to the lagrangian density
(J) =
' I'ltp lI ofillil.li zati ()1I rado r
N in
+ J(x)<p(x)
(7.37)
Eq .(7.36) is chose n in s lI ch a way as to provide Z(O) = 1.
Dynamical Symmetry Breaking in Quantum Field Theoriea
128
If we expand the transition amplitude in a complete set of energy eigenstates,
(7.38)
H(J)ln; J) = En(J) ln ; J) ,
then
Z( J) =
L exp( -iEn( J)T)(cpf(x) In; J)(n; JI CPi(X)) , T = t f - t; .
(7.39)
With T
~ CXJ,
the strong oscillations damp the amplitude, and therefore the leading
term in this expression corresponds to the lowest-lying energy eigenstate 10; J):
.
(cpf(x)IO; J)(O; JICPi(X))
Z(J)::::, exp(-l(Eo(J) - Eo)T) (cpf(x)IO)(Olcp;(x))
'
(7.40)
where
(7.41)
Since Z(J) = exp(iW(J)), Eq.(7.40) implies that, as T ~
CXJ,
W(J) = (Eo - Eo(J))T .
(7.42)
Henceforth we wiII use such a reference point for energy that Eo = O. Then,
W(J) = -Eo(J)T ,
(7.43)
i.e. - W( J) IT is the energy of the ground state of the hamiltonian H (J) with the source
term:
H(J) = H -
J
J
-W(J) = (0; JIHIO ; J)T -
d3 xJ(x)cp(x) ,
- (7.44)
d"xJ(x)(O; Jl cp(x)IO; J) ,
where H = H(O) is the initial ham iltoni a n. Taking into 1K(O IIJII. thr drfiIIi I.i n
(7 .45)
or
th l'
129
effective actiqn f( 'Pc) in Eq.(7.9), we find that
f('Pc) = - (0; JIHIO; J)T ,
(7.46)
'Pc(x) = (0; JI'P(x )10; J) .
(7.47)
where the source J(x) leads to
Therefore it is convenient to use a slightly different notation for the ground state 10; J):
(7.48)
10; J) ---; 10; 'Pc) .
The relation (7.46) tells us that -f('Pc)/T is the average energy of the ground state
10j 'Pc) satisfying the condition
(7.49)
In particular, since (see Eq.(7.33))
r('Pc) =
ctx [-V('Pc)
+ ~Z('Pc)&I''Pc&I''Pc + ...] ,
(7.50)
we find that for sources independent of x, when 'Pc = const, the effective potential V( 'Pc)
(7.51)
(H is the hamiltonian density), i.e. it is the energy density of the ground state 10j 'Pc)
with (OJ 'Pc l'PIO; 'Pc) = 'Pc

Th is interpretation is connected with the following variational problem. As is known,
I.he Schrodinger equation
(H - E) 11/I) =
ddcrmines stationary points of the form (1/IIHI1/I ) under the constraint that 11/1) is norlilidized, (1/1 11/1 ) = 1 . The energy E can be considered as a Lagrange multiplier in this
v...,.iational problem, that is one can vary the form (1/I 1(H - E) 11/I) without constraint. In
ti,l' sam e way, the effective potential V( 'Pc) = (OJ 'PclH IOj 'Pc) can be treated as the vac-
",, "1 (, lI ergy density of the states 10; 'Pc ) which are stationary against arbitrary variation
"I' I'/I} =
10; 'Pc }, subject to the normali zation constraint (-1/J11/I)
' '' " KI.,.ailll. (411'P(:")I"/I) = 'Pc. Th(

II"lil.i"li(,1 ill
I.hi ~
SO ll,.('('
vari,d.iolln.l 1>1'0111"111
.!
01 11
1 and the additional
i>r considered as a n additional Lagrange
130
7.4.
THE
Loop
EXPANSION
In this section, we consider the loop expansion [ 7,3 ] for calculating the effective
action.
First of all, let us restore Planck's constant h in the functional Z{ J):
lim
Z{J) = exp GW{J))
V{ cp) exp{ is{ J)/h)
tj -+ +00
ti -+
(7.52)
-00
with the classical action
S{J) =
d4 x [.c{x)
+ J{x)cp{x)]
(7.53)
As we know, the effective action is a generating functional of proper vertices. Let us show
that the loop expansion (the l/{NL
+ 1) expansion,
where N L is the number of loops in
graphs corresponding to proper vertices) is equivalent to a power-series expansion in h.

Indeed, Eq.{7.52) implies that every vertex contains h- l , and every propagator contains
h. Therefore the power P of h associated with a graph is
P=Ni-Nv,
(7.54)
where N; is the number of internal lines, and N v is the number of vertices in the graph
(recall that we consider amputated graphs and therefore external lines do not contribute
to P). The number ofioops, N L , is, as one can rather easily check,
(7.55)
Therefore the power P of h is
(7.56)
l.e. the loop expansion yields a power-series expansion in h (the quasi-classical expansion) .
Let us apply the loop expansion to calc ulating the effective acton. Tn our consideration we will closely follow th e met hod introduced by Jackiw [ 8 ].
131
We begin .by considering the effective potential We will show that the potential
V('Pc) can be calculated by using the following procedure. Let us introduce the modified
action
(7.57)
(since we are interested now in calculating the effective potential, we consider 'Pc independend of x) . The new lagrangian density [('Pc, 'P) has quadratic and higher terms in
'P( x):
(7.58)
The propagator 1){ 'Pc; x, y} satisfies
(7.59)
Since 'Pc is a constant, the propagator 1) depends on relative coordinates x - y only,

and one can introduce the Fourier transform
1T'\-1{ 'Pc" '. P } --
-'J
p
d 4 xe i XIT'\-l{.
-'J
'Pc, x, 0 } .
(7.60)
We will show that the expression for the effective potential is
(7.61 )
I,d
li S
explajn th e meaning of these terms ( C is a constant).
Th e first term is jllst th e classical potenti al It corresponds to the tree approximaI I" " .
132
The second term corresponds to the one-loop approximation . To understand its

meaning better, let us consider a theory with the lagrangian density
1
(7 .62)
= -81'cp81'cp - U(cp)
2
(7.63)
where the primes indicate the derivatives in cpo The second term in Eq.(7.61) is
(7.64)
The first term on the right hand side of this equation corresponds to a free scalar field
with mass fl.; we shall return to this term in a moment. The second term is the sum
of the contributions of one-loop diagrams including n propagators
p' ~I'j
and n vertices
-iUg( CPc); all external lines carry zero external momentum. These diagrams are shown
in Fig 7.2 in the case of Uo(cp) =
CPc
'Pc
'Pc
'Pc
'Pc
'Pc
Fig. 7.2
As to th e term
dp III( - p2 I
--i Ii
2 . (27T)1
/1 2 )
'
(7 .GS)
after the Wick rotation Po
->
133
iP4 into Euclidean space, it becomes
(7.66)
The meaning of this (badly divergent) expression becomes transparent after the integration over Po; up to an infinite constant, which can be removed by an appropriate
vacuum energy density normalization, it is:
(7.67)
1.
e. it coincides with the zero-point energy density of a free scalar field with the mass
p..
In the same way, we find that V(1)(!pc) in Eq.(7 .64) is

(7.68)
Therefore we can interpret V(1) as the first quantum correction to the vacuum energy
density of the dynamical system with the potential
U(!p( x))
connected with the action
S(!Pc,!P ) in Eq.(7.57). The correction corresponds to the approximation in which the

potential
U is
approximated by the harmonic oscillator potential

(7.69)
near the extremum with !p(x)
!Pc (we recall that U(!Pc)
0 and U'(!Pc)
0; see
Eq.(7.57)).
The third term in Eq.(7 .61) corresponds to the contribution of n-Ioop one-particle
irred ucible graphs (n ~ 2). More precisely, it is yielded by the following operation.
Compute the vacuum expectation value of
(7.70)
wit h 1) {!Pc; p} as the propagator; keep only one-particle irreducible graphs, and remove
;l.II
over-all factor or space-time volume / d4 x.

EX<llIlpl es o r o ne- particle irred ucible diagrams are shown in Fig 7.3. The contribution
IJ II <'- pilrt.i r l(' l"('cI ur i iJlr di ag rams ,
<IS
t.h"t.
O lli'
s how n in Fig.7.4, must be omitted .
134
Dyn4mic41 Symmetry Bre4king in QU4ntum Field Theorie6
CD
b)
a)
c)
Fig. 7.3 . Examples of one-particle irreducible diagrams
o o
Fig. 7.4 . An example of an one-particle reducible diagram
Let us now prove the relation (7.61).

We begin by considering the representation (7.34) for Z( J):
(7.71)
(we omitted the boundary values lOi(X) , IOf(x) in the path integral (7.71 . Shifting the
integration variable 10 as 10
Z(J)
Zl(J) =
--+
10 + IOc, we get:
= N exp
V(IO) exp
[S(IOC)
crXJ(X)IOC]) Zl(J) ,
[S(IO + IOc) - S(lOc)
crXJ(X)IO(X)])
(7.72)
(7 .73)
Therefore,
W(J) = S(lOc)
crxJ(X)lOc+Wl(J)-ihlnN,
(7.74)
(7.75)
135
By definition, .'Pc is
.5W(J)
'Pc =~
(7.76)
This equation defines J as an implicit functional of 'Pc : J = J( 'Pc). In particular,
'Pc = const implies that J('Pc) is also independent of x. However, it is convenient to

consider a general 'Pc( x) and put 'Pc( x) = 'Pc = . const only at the end of the calculations.
Then we obtain the identity:
(7.77)
Le . we get
(7.78)
The effective action is:
Substituting J('Pc) from Eq.(7.78) into Eq.(7.75), we find the functional equation for
WI (J( 'Pc)):
(7.80)
Because of Eq.(7.57), it can be rewritten as
We will show that WI includes the contribution connected wit.h one-particle irreducible
graphs g(' n ri\,ted by th e i\cti on S('P, 'Pc). To do this, we use the following trick. Let us
136
introduce the functional
W(CPc,K)
= -ihlnZ(cpc'!{)
(7 .82)
where the source K(x) is independent of CPc now. It is clear that

(7.84)
When K =
with
satisfying the equation
(7.85)
the functional W( CPc, R) coincides with the effective action r( CPc, cp) I<p=o , which is just
the contribution of all one-particle irreducible vacuum graphs generated by the action
S(cp, CPc) (see Eqs.(7.13), (7.14)).

Let us show that
R is equal
to _.!fL.
This together with Eq.(7.84) will imply that
b<p,
WI (CPc) yields the contribution of those one-particle irreducible vacuum grap hs.
Thus we should show that
The functional derivative of Z( CPc, K) in K is
(7.87)
The refore we should show that
(7 .88)
137
To establish this relation, let us take the functional derivative in both sides of Eq.{7.81):
(7.89)
The last trick in the derivation is to rewrite the first term in the first curly brackets
as
(7.90)
The first integral yields an inessential contribution independent of 'Pc{x). Reinserting

the remainder into Eq.(7.89), we get
(7.91)
liich implies that
(7.92)
138
Now let us return to <Pc = const . Then, taking into account Eq.(7 .79), we find
Since the factor r(2)(x - y) in this convolution is not zero, we get
(7.94)
I.e. we get the wanted relation (7.88).

Thus we have proved that WI (<Pc) is given by the contribution of one-particle irreducible graphs connected with the action S(<p, <pc}. Now, using Eq.(7.79), it is straightforward to prove the relation (7.6 1). Indeed, since <Pc = const, the first term on the
right hand side of Eq.(7.79) is just S(<Pc) = -U(<Pc) / atx, i.e. it leads to the classical
contribution U(<Pc) in the effective potential V. The one-loop contribution is
v(1)(<pc) = _ ( /
= (/
crx)
-1
W?)(<Pc)
crx) iii In { / V( <p)exp [~i / crycrz
(7.95)
-1
.1)-1 {<Pc; y - z} <p(y)<p(z)]} ,
where (see Eq.(7.59))
(7.96)
A Gaussian functional integral/ V(<p)exp
[-i/
dXdY<P(X)A(X,y)<P(Y)] is equal (see
Sec.C.3 in Appendix C) to No(DetA)-1/2, where A is the operator defined by the kernel A(x, y), and No is a normalization constant; the determinant Det is taken in the
functional sense . Therefore,
V(l) =
ili(/ crx)-ll
n (NoDet.n)-1 /2 =
ih.(/ d4 xtl1n No _
i;(.!
ctx) - lrl'rLni> - 1
(7 .97)
(the trace Tr and the logarithm Ln Me titkC'1l here ill the- rlln ct ional scnsC'; w(' II ~ (' til('

A
identiry In DetA = TrLnA). Since the operator 1)
139
-1
is diagonal in momentum space,
(7.98)
we find
(7.99)
(here we use the identity 8 (p) !p=o =
(2~)4
rfx). Therefore
(7.100)
1.e. up to some inessential constant, we get the second term in Eq.(7.61).

The contribution of n-Ioop graphs with n 2: 2 is given by the third term on the right
hand side in Eq.(7.61).
So far we have considered the effective potential. However, using the derivative
expansion method, we also can calculate derivative terrrls in the effective action. For
instance, the function Z( 'Pc) in the kinetic term (see Eq.(7.32)) can be determined if we
consider 'Pc = 'Po = const and then we use Eq.(7.30):
(7.101)
where
r~o)(p) is the two-point proper vertex defined by the action S('P,'Pc) !"" =,,,o ' The
whole procedure of the determination of the effective action reduces to calculating the
prope r vertices (connected with the act ion S) around the point p = O.
Of co urse, calculating the effective action, one should use a renormalization proce-
d ure to remove divergences. In particular the term
i
d(
p)4In( - p2 + I})
- -n
-21r
2
in V(1)
(ill depen lent of 'Pc) may be removed by an appropriate choice of the constant C in
1';q .( 7.GI ).
W( will aic lll "te t he crfect ive acti
II
ill so me models in the next sect ion.
140
7.5.
ONE-Loop EFFECTIVE POTENTIAL. CONCRETE EXAMPLES
In this section, we will calculate the one-loop effective potential in some models. We
will also derive a general structure of the one-loop effective potential in renormalizable
models.
We begin by considering the simplest case of cp4-theory:
(7.102)
where the simbol (0) means that all these quantities are bare ones, and C is a constant.
Of course we can rewrite I:- in terms of renormalizable quantities:
(7.103)
where
cP
(0)
).(0)
_Z1/2
-2
cP,
(7.104)
=Z1Z;:2). ,
and the renormalization constants Z1, Z2 and f!.J.l2 = J.l(0)2 - J.l2 are defined by some
renormalization conditions (see below).
It is convenient to rewrite I:- (7.103) in the form
(7.105)
with A
= Z2 -
1, B
= J.l(0)' Z2 -
J.l2,
= (Z1 -
1)).. The four last terms on the right
hand side of Eq.(7.105) are counter terms removing divergences in the pertu rbat ive loop
expansion .
Let us calculate th e effective potential V( CPc ) and th funct.iofl Z( CPr ) lip to ordrr h.
141
To lowest .order (tree approximation),
112 2
,\ 4
(0)
V (o){ 'Pc ) -_ U{ 'Pc ) -_ Z'P
c + 4i'Pc, Z ('Pc) = 1 .
(7.106)
Using the relation (7.61), we find that the one-loop contribution to V, V(1), is
(7.107)
Performing the Wick rotation Po
---t
ipo, we find
where A is the ultraviolet cutoff (we omitted terms vanishing as A goes to infinity) .
We can use different types of renormalization conditions to define
and
C(1).
A(l), B(l), D(l)
All physical results are independent of their choice; different renormalization
conditions correspond to different parameterizations of the same theory.

Some conventional renormalization conditions are the following:
(7.109)
' I ' II (,~(,
for
IHH lll itli 7,a.t ion co nd iti ons are chosen to preserve the tree approximation relations
V ' , II" a nd X
il l.
ti ll' minimum 'Pc =
11.
142
Dynamical Symmetry Breo.lcing in Quantum Field Theone.
Eqs. (7 .108) , (7.109) imply that the one-loop effective potential Vl is (henceforth we
will again omit the Planck constant h):
(7.110)
with
C = -f (1
- ~) - ~V4 (1-~) (our choice of C(1) ensures that V
= 0 at
the minimum 'Pc = v );

b) MS renormalization scheme.
This renormalization scheme is considered in Sec.C.2 in Appendix C . In the scheme,
renormalization of V is performed simply by omitting terms proportional to positive
powers of l/l
== 2/(4 - n) -
'Y
+ In41r
with n ~ 4 and 'Y ~ 0.58 being the Eule r
constant.
The one-loop effective potential is
v; = V (O) + V (l) =
1
p22 'P2 + ~'P4

+ (p2 + )2 [In (p2 + ) _~] + C
4!
6471"2
a
2
c
(7.111)
(here we do not specify
C defining a reference point of the vacuum energy density).
The
parameter a is the renormalization point; it is arbitrary, and observables do not depend

on it (see the next section) .
C )p2
= 0; Ref.( 3 ]:
V(O)
=0,
d2V
-d21",,=0 = p2 = 0 ,
'Pc
d4 V
(7.112)
-d
41",,=u = >. ,
'Pc
Z('Pc)I",,=u = 1 .
The one-loop effective potential is
(7.11 3)
Let us disc uss th e physical meanin g or tiles ' eX I ress ions in more rl t ail.
143
The loop expansion is a perturbative expansion in powers of >. and In Mj'f') with
d'ir(O)
. I h as terms 0 f or d er
dcp;
= {t 2 + ~.
2 ; III general, the n-Ioop potentia
M 2()
'Pc =
[In
M~tt,)
r,
since each momentum integration may lead to a logarithmic divergence,
which turns into In
Mj'f')
as a result of renormalization. We emphasize that the factor
M ('Pc) in the logarithm appears because of the relations (7.57), (7.61). The n-Ioop
potential will contain terms of order >.n+l [In
Mj'f')r.
Therefore the expansion is reliable only if >. and >.In
M:('f')
are small. Under these
conditions, higher-order contributions do not change qualitatively the physical picture

of the tree approximation. However, as will be shown soon, they may be essential in
theories with more than one coupling constant [ 3].
This discussion also implies that the loop expansion can be reliable only in a rather
small region of values of the field 'Pc, where In M:~cp,) is not very large. In the next
section, we will see how the renormalization group improves the situation.
As we already noted above, the parameter a in the expressions (7.111), (7.113) is
arbitrary. To illustrate this, let us change a and>' for
and
>.1
= >.
+ ~ In 0 12 /0 2 in
the renormalization condition (7.112) :
(7.114)
Then one can check that the potential in Eq.(7.113) takes the form:
(7.115)
Thus we see that, to order in which we are working, this is just a reparametrization
of the potential. The transformation
0,
>.
---> 01, >.1
is of course renormalization group
tr ansformation discussed in more detail in the next section.

We are now ready to describe the structure of the one-loop effective potential in a
ge nera.l renormalizable model. First of all, we note that the relations (7.61) and (7.63)
C il.1l
itS
be easily generalized for theories including gauge fields and fermion fields as well
sca liH fi elds. H is very convenient to work in the Landau gauge in this case. In
pa.rti clil ar, sill r ill this ga uge, tiler'

14 hosl. fi plds (pr('s(, lIt. ill
i~
11 0 direct. cOllpling of th e Faddeev-Popov (FP)
II II- A 1x- li".11 1(".111'('
tIH' ori('s ) [ ~ ] to th e spinless fi elds, th ere is
144
no need to consider them in the one-loop effective potential calculations (for comments
concerning the calculations in other gauges, see the end of this section)')
The inverse propagator .n;;,v,8{'Pc;p} of gauge fields is (see Eq.(3.99)):
11"\-1
. } _ '"
kJl.kv)
--uJl.o:
,v,8 { 'Pc,P
- LEo:(s) E,8(8) ( k 2 - M.2()
'Pc) ( gJl.V - k2
(7.116)
Their contribution to the one-loop effective potential is
(7.117)
where the factor of 3 appears here due to the polarization sum.

We note that in the general case, 'Pc is a vector assigned to some representation of
the gauge group (for simplicity of notations, we consider the case with only one spinless
field having a nontrivial classical part 'Pc # 0).
The contribution VP) is
3
VP) = 64 ?r 2 LM!('Pc) In M;('Pc)
(7.118)
plus quartic and quadratic terms, which will be absorbed in counter terms through
renormalizations.
The contribution of fermions may be computed
1ll
a similar way.
The Yukawa
interactions lead to the mass term

(7.119)
with
(7.120)
where Sand P are linear functions of 'Pc. The one-loop contribution of fermions is
VI(1)
'J
= 2
d p
(-1{
(2?r)1trln
S
'P c,P })
(7.12 1)
*) In ge ne ral covari a nt gauges, th e g host fi eld s I'IHLy co u pl to sc,J ItI" fi c klg b"t "u sc or th e mi x;II !;
term ~ [JI' <p A" ;n th e l"g"'" I(;" " d" " , ;ty (s('(' 1' '1 .( 3.87)).
145
with
(7.122)
Of course, there is the standard minus sign for fermion loops (compare Eq.(7.121) with
*)
Eq.(7. 117)) .
(1).
V
J
IS
(7.123)
plus quartic and quadratic terms, which will be absorbed in counter terms.
The trace runs over both Dirac and internal indices in the equation (7.1 23). Thererore if, for example, mlk( 'Pc ) = ml( 'Pc)OIk. we find that
(7.124)
The contribution of spinless fields has the form
(7.125)
I'IIIS
of course quartic and quadratic terms absorbed in counter terms. Note that in
111('ories with NG bosons, their contribution must also be included: their mass is zero
,, "ly at the minimum with 'Pc = v.
We can summarize this consideration with the following general expression for the
lilli'
loo p effective potential:
v(1)
(lip
1.0 1.('I'IIIS
w i'l( It
I'
<11'('
~(_l)F . (MiM;*('Pc))2 In(MM~( ))2

~
Th
647r 2
'
'Pc
(7.126)
whi ch can be absorbed in counter terms). Here the sum is over all fields
(' ir,cnstal,es of the mass matrix in the vacuum with (OI'PIO) = 'Pc; F = 1 and
() for f('l'lIli oli s a,lId bosolls, respectively, and T)i is the number of degrees of freedom
" I IIII'
I.It field .
146
So far we considered the effective pot.ential. The function Z( !Pc) in the effective
action can be determined from Eq.(7.101) . In particular it is not difficult to check that
in the one-loop approximation it is
(7.127)
in the model (7.103). If we choose the renormalization conditions (7.109), we find that
the counter term
A(1)
is
(7.128)
(7.129)
Let us apply these results to some models.

1. The Coleman-Weinberg (CW) model [3 ].
The CW model is the Abelian gauge model (considered in Sec. 3.5) with the additional restriction
(7.130)
i.e. in the classical (tree) approximation, it is just scalar electrodynamics with massless
charge bosons.
The lagrangian density of this model is (see Eq.(3.61) :
(7.1:11)
(for simplicity, we omitted the counter te rms). Usin g 8qs.(7. 11 8) ,\.lid (7 . 125) , we find
147
that the one-loop potential VI takes the form:
(7.132)
where 'P~
==
'P~I
+ 'P~2'
The counter terms B , D and C are determined from the renor-
malization conditions (7.112). As the result, we find:
vI ('Pc ) -- ~
4
(~ 3 94 )
4! 'Pc + 11527r2 + 647r2
'Pc
(In 'P~(72 _
25)
6
T he model has two coupling constants, ). a.nd 9. Let us assume that

that under this condition, there is a nontrivial minimum with 'Pc =
ass ume that
At
).2 ~
92 ~
(7.133)
).2
1)
~ 9 4 and show
=I 0 (we of course
1).
94, the potential takes the form:

4
). 4
39
4
Vt('P):::: -'P
+ --'P
4! c
647r2 c
The minimum
1)
In -'P~(72 - -25)
6
(7.134)
is determined from the equation:
(7.135)
~ i 11 '
t.he renormalization parameter (7 is arbitrary, we can choose (7 =
( ~6 _
1).
Then we find
119 )
167r2
1)
= 0
(7.136)
'
",
(7.137)
IIII' 1'(' I;,l. io ll (7 . 1:17) jll sl.ifi(s 0 111' a.ss lllllpl.i () 11 t.iI " t. ).2 ~
"I \I
r/.
Moreover, it. ~xe s the value
148
What has happened is the following.
The initial lagrangian contained two free
parameters, .\ and g. Renormalization led to the appearance of the additional parameter

a in the theory. At the particular value of this parameter, a =
1),
the relation (7.137)
takes place. Therefore we can consider this as a reparameterizat.ion of the theory in the
term of the parameters g and
1).
Since the coupling constant .\ is dimensionless, and
is dimensional, the transition (g , .\)
---+
1)
(g , 1)) is called the dimensional transmutation .
Let us show that in the vacuum with 'Pc =
1),
the following relation takes place
between the mass of scalar (M) and the mass of vector boson (M):
(7.138)
Indeed , in this approximation,
(7.139)
and
4
3g 2
M 2 = V"()I
1 'Pc ",<=tJ = 811"21)
(7.140)
Combining these two equations, we find the relation (7.138).

The possibility of calculating the ratio M2 / M2 in the model may appear miraculous.
But one should understand that the miracle was created by our hands, in fact, by the
additional constraint J.12
= 0 in
the renormalization condition V"('Pc)I",<=o
= J.12
It is useful to consider the same model with slightly different renormalization con-
ditions:
(7.141)
instead of V'Il/I",<=O" = .\.
One can easily check that the potential VI becomes now:
(7.142)
Then we get
(7. '1\3)
149
l.e.
(7.144)
This relation is different from that in Eq.{7.137). However, one can check that the ratio
M2 / M2 is still the same as in Eq.(7.138). Also, one can easily check that the value
V1('Pc) at the minimum 'Pc = v is V1{v) = -1;~:2v4 in both of these renormalization

schemes. This example gives a good illustration of the independence of the physical
observables of renormalization schemes.
The present analysis can be directly extended to the non-Abelian case [ 3].
II. The Linde-Weinberg bound [ 10, 11 ].
Let us add the mass term _f'P2 with p,2 < 0 in the lagrangian density (7.131) .
Using the renormalization conditions (7.109), we find the following one-loop potential
at
),2 ~
g4:
(7.145)
(we choose the constant C such that V(O) = 0).

This expression shows that when ), < ~, the potential acquires an additional
f6"
mini mum at 'Pc = 0 (see Fig. 7.5). When), <

this minimum becomes even deeper
6 ')1/2
than the minimum with 'Pc = v = (
In other words, spontaneous symmetry
-y
breaking disappears at such a small ), that),
<
f6,
(see Fig. 7.5).
Since the mass of scalar is
(7.146)
and the mass of vector boson is M2 = g2v 2, we find that spontaneous symmetry breaki fi g takes place if
(7.147)
1.(' .
in t.h e non~ymmetri c vacuum, scalar cann ot be very light. The bound (7.147) was
IiI'S!' d!'rivcd by Lind e ,wei Weinberg [ 10 , II
J.
150
Fig. 7.5. The form of the effective potential at different values of >.: a) >. > ~; b) ~ >
\
.2.L ) \
.2.L
A > Is".2; C A < IS,,2
So far we have neglected a contribution of fermions assuming implicitly that their

Yukawa couplings are small (i.e. that they are very light). However, as we shall see,
heavy fermions may change the form of the potential drastically.
III. The a model with heavy fermions [ 12) .
In the previous example, we saw how quantum fluctuations of vector fields lead to the
restoration of the symmetry of the vacuum. We will show that quantum fluctuations
of fermions enhance symmetry breaking. This effect was first pointed out by Krive and
Linde [ 12 ).
Let us consider the UL(l) x UR(l) linear a-model (see Eq .(4.38)):
(7 .11 8)
151
(we again omitted all counter terms).

Let us consider the case with ). ~ g2 ~ 1 ("heavy" fermions). Then, using the
renormalization conditions (7.109), we get the following one-loop potential:
where v 2 = - 6~. One can see from this expression that fermions give a negative
contribution at large 'Pc, and the expression (7.149) be unbounded from below (see Fig.
7.6).
Fig. 7.6.
Since the loop expansion is reliable only if
>., g2 ~ 1 and g2ln ~ ~ 1, we cannot
(o ncl ude that the exact potential V('Pc) is also unbounded from below. Let us however
" I,ow that in the region of applicability of the expression (7.149)' there are values of
'('r
> v at which potential VI becomes lower than the value of VI(v) at the perturbative
Vd e l/Um
with 'Pc = v.
In deed, let us take 'Pc = v = v(1
+ f) exp (fr)
with 1
~f~
fro
At such a v, the
"xprcssion (7.149) is still reliable. One can check that VI(v) < VI(v) (see Fig. 7.6).
Thus we conclud e that in the theory with heavy fermions, the minimum of V('Pc)
,,, ('c
= v is not global minimum. The global minimum (if it exists at all) may exist
,, "l y i ll tllC r
i n with large 'Pc, where nonperturb a tive dynamics is essentiaL
A s we will ~c(' in Chapter I[), 1.11(' d y ll '"lIi r~ of hravy fcrmi Oll s (in particular, of the
I '1 II ," k) 1I1 ,'y pl",y
till '
ill'I'OIt,,"I, 1(11"
III
III I',I',I' ling (, I('dro w(,ll k sy lllln try br akin g.
152
The most interesting case for the application of the stability criterion of the vacuum
with spontaneous symmetry breaking is the standard electroweak theory with the gauge
group SUd2) x Uy (l) (see Chapter 13). The constraint that the vacuum of this theory
corresponds to the spontaneous breakdown of the SUd2) x Uy ( 1) to the electromagnetic
group UQ (l) leads to the following bound for the mass of the Higgs boson Mh [13):
Mh > 1.85(mt - 85GeV) ,
(7.150)
where mt is the mass of the (heaviest) t quark.

In conclusion, let us consider the question concerning the properties of the effective
potential with respect to gauge transformations.
First of all, the effective potential is not a gauge invariant object. This follows
already from the fact that the proper vertices through which the effective potential is
expressed are not gauge invariant. In fact, the effective action is a Legendre transform of the functional W( J) which is evidently not gauge invariant: the source term
crxJ(x)'P(x) explicity violates the gauge symmetry. However the values of the po-
tential at its extremuma corresponding to J = 0 are gauge invariant quantities. This

implies that there is no real problem with this issue. As always, physical observables
(such as, for example, values of V at extremuma corresponding to the vacuum energy
density) are gauge invariant; different gauges yield different descriptions of the dynamics, and some gauges can be more useful than others in the consideration of certain
problems, but the physics is the same if the transformation from one gauge to another
is realized in an appropriate way, just as the gauge transformations for Green's functions
are realized [ 14,15).
7.6.
RENORMALIZATION GROUP IMPROVEMENT OF THE EFFECTIVE ACTION
As is known, the renormalization group (RG) method allows to improve the perturbative expansion for Green'n functions [4,16). For example in gauge theo ri es, the
perturbative expansion is an expansion in powers of the gauge co upling g a lld g2 III ~;

2
it is reliable only if both g and g2[ln ~[ are sma.ll . H.G repla.c es thi s t'xpa.lIsioli with
tha.t in powers of the running co uplin g whi ch ta.kes t.he' roll owin g rorm ill the' oll r - Ioo p
153
approximation:
~2
g(p)=
g2
I ~'
1 + en"
(7.151)
whe re a const ant C is C > 0 and C < 0 in asymptotically free gauge theories and
non-asymptotically free theories, like QED, respectively. One can see that if 9 is small ,
g2 (p2) remains small in a rather large range of In;;', including all positive In;;' when
C > 0 and all negative In;;' when C < O. Thus the new expansion in g2 (p2) essentially
enlarges the range of validity of the ordinary perturbative expansion.
As was first pointed out by Coleman and Weinberg [ 3 ], RG can also be helpful
in improving the loop expansion for the effective action. Let us first consider how RG
wo rks in th e massless .\'P4 model.
The starting point is that the effective action is independent of the choice of the
re normali zation-group parameter a :
(7.152)
Since t he action depends on a both explicitly and implicity through 'Pc and.\, this
("filiat ion is equivalent to the following one:
[a :a + (3 :.\ -
'Y! crx'Pc(x) S'P:(X)] r =
0,
(7.153)
w" ere
- d,\
(3 -a da '
1 dIn Z2
'Y = - a - - 2
da
wi l." /,~ be i IIg re normalization constant of the field 'P( x) ('P =
II", baH'
(7.154)
Z; 1/2 'P(O),
where 'P(O) is
ri 1<1) .
I It-lI cdmt" w(' will lise th e M S rello rrn ali zati on scheme (see Sec.C .2 tn Appendix
(') . III I."is
SC " <' III (',
(-I " lid
'Y ti pl>!' lId
olil y
O il
1." <, cOllplillg co nst a nt .\ both in massless
154
Applying the equation (7.153) to the derivative expansion of r (7.33), we get:
0
( a oa
0)
0
+ 13 0)..
- 'Y'Pe o'Pe V
(7.155)
= 0 ,
(7.156)
The solutions of these equations can be found in the following way. Let us introduce
the parameter aCt) = eta. Then let us introduce the running coupling constant '$t)
satisfying the equation
d:~t)
f3(,\(t)); '\(0)
(7.157)
=).. ,
and the running field 'Pe(t) satisfying the equation

(7.158)
Then we find from Eqs.(7.155), (7.156) that
0
( a oa
= (
=
0
ot
- 0
0)
t)
+ 13(>-,) 0'\ - 'Y(>-.)'Pe o'Pe V('Pe(t), )..(t); e a)

d'\ 0
din 'Pe
(_
+ dt 0'\ + ~ oln 'Pe V 'Pe(t), )..(t); e a
(7.159)
d (_
t)
dt
V 'Pe(t), )..(t);
e a = 0 ,
and
(7.160)
The solutions of these equations are:
(7.161)
(7.162)
The solutions (7.161), (7.162) contain full information of th e ren ormaliza ti on group
equations: once V and Z are known at a certain value of a(t)lt =to = eto a, th ey arc
determined at all values of aCt) .
Effective Action Method in Q1I.antum Fi eld Theory
155
In the M 5 scheme , the one-loop V and Z are
v - ~
1 -
.\2'P~
+ 2567r2
4! 'Pc
[In
.\'P~ _ ~]
2a 2
'
.\
(7.164)
ZI = 1 + 967r 2
at
j12
(7.163)
= 0 (see Eqs.(7.111), (7.127)). The ,8-function ,8(,$ is
,8= _3_.\2
167r 2
(7.165)
and 'Y = O. Let us show how the relations (7.1 61), (7.162) can improve the one-loop
approximation .
ao, where In ~2
q.: = O. Then
t he relation (7.161) tells us that the effective potential V('Pc,.\; a) at any other value of
To avoid a potentially large logarithm, we choose a
IS
(7.166)
q'
).<p~
whe re to = "fIn -# = "fIn rat. Therefore

1
(7.167)
T he ,8-function (7.165) yields
(3.\
.\'P~ )
.\(t o ) =.\ 1 - 327r 2 In 2a 2
-1
'
(7.168)
a nd 'Y = 0 yields <'oc(to) = 'Pc . Therefore the RG improved potential is

(7.169)
wit h
(7.170)
T he RG improved function Z is (see Eq.(7.164))
(7.171)
.
0 1 CO ll r ~(!,
at 1111
A '
7'-1
~
1':qs .(7. 1(i!) , (7. 17 1).
I , we g d
th e one-loo p exp ressions (7.] 63), (7. 164) from
156
Let us consider now the extension of this procedure to the massive (p2
=I
0) case.
In fact this extension has been elaborated only recently in Refs.[ 17,18,19]. In our
discussion, we will closely follow Ref.[ 18 ].
To clarify some subtle points in this problem, let us consider the expression (7.111)
for VI in more detail:
(7.172)
where
V(O)
= U =
~1/2,,..,2
+ 2.)",..,4 + C ,
2 r rc 4! rc
(7.173)
(7.174)
with
1
M2'P, = _)",..,2
2 rc
+r 2 .
(7.175)
1/
If in the massless theory the only scale is set by 'Pc and therefore all logarithms have the
*'
form ln~, now we have an additional dimensional parameter, the mass p. However,
as we can see, the logarithm in V(1) (7.174) appears only in the form In
This is not
accident: such a logarithmic structure of the potential follows from the relations (7 .61),
(7.63). There is however the following subtle point connected with the vacuum-energy
term corresponding to the value V( 'Pc = 0). This term is
(7.176)
I.e. it depends on the renormalization parameter a. To remove this dependence, one
should accept that the parameter
C itself depends
on a . Since the dependence of the
second term on the right hand side of Eq.(7.176) on a disappears at p = 0, we write
as
(7.177)
where
4 n,
and ho is the bare pa.rameter in the vac uum-e ne rgy te rm . Til otb r
words, there is an additional counter term connected with th c rCllo rm aliza.ti oll of ho ill
the massive theory [ 17,18,19 ].
157
One might think that a way to avoid introducing the new counter term is to use the
following normalization condition for the potential.
(7.178)
In the one-loop approximation, it implies that
(7.179)
Thus this subtraction introduces a new kind of the logarithmic term, In ;;., in the potential, and this prevents us from using the RG improvement technique discussed before.
Now we can write the equations for V( 'Pc, ).., iJ, h; CT) and Z( 'Pc, >.., iJ, h; CT) . They are
(compare with Eqs.(7.155), (7.156):
0
( CT OCT
+ (3 0)..
- "ImiJ OiJ
+ (3h oh
0)
- "I'Pc o'Pc V = 0 ,
00
00
0
)
+ (3- - "ImiJ+ (3h- - "I'Pc- 2"1 Z = 0 ,
( CTOCT
0)..
OiJ
oh
o'Pc
(7.180)
(7.181)
where
dlniJ
"1m = - dlnCT '
dh
(3h = dlnCT .
(7.182)
(7.183)
In the same way as before, we find the analogues of the relations (7.161), (7.162):
(7.184)
(7.185)
wiane A(l)
iUld
'Pr(/.)
MC
detcrmined
rr
III
Eqs .{7.1S7), (7.158), and th e new running
158
Dynamical Symmetry Brealcing in Quantum Field Theorie&
parameters p.(t) and h(t) satisfy the equations:
dlnP.(t)
-d-t-
dh(t)
~ =
= -'Ym(.'\(t))
= p.
(7.186)
(3h A(t), h(t) ; h(O) = h .
(7.187)
(-
; p.(0)
Note that the vacuum-energy parameter h affects only the evolution of itself.
As in the massless case, the relations (7.184), (7.185) imply that the RG-improved
V and Z are:
V( rpc,
q'
>., p., h; a)
>.' +2
= V (<Pc(to).(to), p.(to), h(to); ao) ,
(7.188)
'
where to = 21n~ = 2In~.

In t.he one loop approximation, ~(t) and <Pc(t) are the same as in the massless case,
and 'Ym and (3h are:
(7.190)
Using the relations (7.188) and Eqs.(7.172), (7.177), we find the following expression
for the RG improved effective potential:
1_ _
1 -_4
V = -p. 2rp 2 + - Arp

2
c
4' c
- -4
+ hp.
-
3 (1- Arp
-_2 +
-1287r2
~I
2)2
(7. 1!.l 1)
Effective Action Method in Quantum Field T heory
159
with
(7.192)
The parameter h is arbitrary; one can for example choose h = 0.

Taking into account Eq.(7.127), we find the RG improved expression for Z:
(7.193)
The method, with some minor modifications, may be extended to theories with few
coupling constants and to the multi-mass-scale case [ 18).
7. 7 . MORE ABOUT THE PHYSICAL MEANING OF THE EFFECTIVE POTENTIAL.
As we already showed in Sec.7.3, the effective potential V( 'Pc) is the expectation
value of the energy density in the state which minimizes (1/!I1t I1/!) subject to the condition
that (1/!I'P(x) I1/!) = 'Pc. Since 1t is an hermitian operator, this implies that V('Pc) must
be real. It can also be shown that the potential must be everywhere convex (VII
2: 0)
[ 5 ).
However a look at the expression (7.111) for the one-loop potential in 'P4 theory,
(7.194)
reveals th a t when 1-' 2 < 0, these two restrictions fulfill not for all values 'Pc: at (1-'2
+ )
0, th e potent ial becomes com plex and nonconvex.*) Of course, since this expression
.. ) T ht: i( i ll Eq .( 7, 10'1 ) ins ul' ;s ( ha.t t ht in w.gi ll Rry pn. rt i::4 n gati vej it is a trace of th e d efinition of
lIH' I")rO I )(L~ILl r or (p in l il M ili koWlliti :l IHI.('(' (,Wi' Eq.( 1. 1(;)) .
160
for V is approximate, one might think that this means just a breakdown of the loop
expansion. We will argue, however, following Weinberg and Wu [ 20 ], that the situation
is in fact more interesting .
First of all let us recall a similar situation taking place for quasi-stationary states in
quantum mechanics. Although the hamiltonian is a hermitian (self-adjoint) operator,
energy of quasi-stationaly states is complex, E = Eo -
ir. The resolution of this puzzle
is well known [ 21 ]. At large distances the wave function of quasi-stationary states

contains the factor
(7.195)
which increases exponentially as r ---.
00.
Therefore the normalization integral
11Ji12 d3 x for this wave function badly diverges, and it does not lie in the Hilbert
space of square integrable functions L2, where the self-adjointness of the hamiltonian is
proved. Tills of course does not prevent quasi-stationary states from being interesting
physical objects.
Let us return to the consideration of the expression (7.194) for the effective potential.
When (J.l 2 +
) < 0, the imaginary part of VI is

(7.196)
It is instructive to obtain this result in somewhat different way by using the relation
(7.68). Then
(7.197)
Thus the imaginary part appears as the result of zero-point fluctuations of the tachyonic
field with
M~<
= J.l2
< O.
Since the potential yields the energy density of a state, its imaginary part should
be a signature of an instability of tills state. In the case of quasi-stationary states,
is
equal to the probability of decay per unit time ; in the present case, - 21m V{ <Pc) should
be equal to the decay probability per unit time per unit volume of it syste m of illfillite
spatial extent with
(1JiI<pI1Ji) =
<Pc.
EiJective Action Method in Quantum Field Theory
161
We recall that the wave function of quasi-stationary states is a solution of

Schrodinger equation with the asymptotics at r
--+ 00
being an outgoing wave. The
crucial point is to find a proper definition for the states corresponding to a complex
effecti ve potential.
Let us begin, following Weinberg and Wu [ 20 ], by considering the classical approx-
imation for a system with the classical potential U('P) = Y'P 2
+ f;'P4,!-,2 <
0, having
the form shown in Fig.7.7.
Fig. 7.7. A potential with U"() < 0 in the region -'PI < 'P < 'Pl'
As the classical analogue of (1/I1 'P(x )11/1), we take the spatial average of 'P,
cpo A
classical effective potential Ueff( cp) is then defin ed as the minimum value of the energy
ciensity among all states with a given value of cpo Let us consider the connection between
1I('P) and Ueff('P).

When
Icpl ;: :
with 'P(x) =
v, the energy density is minimized by a homogeneous configuration
cp everywhere, and U('P) coincides with Ueff('P) However, when Icpl < v,
I.he configuration which minimizes the energy is inhomogeneous. In this configuration
'(' (:1:)
= v in a fraction f = (cp+ v) / (2v)
of space and 'P( x)
= v elsewhere.
Of course there
i" a s urface ene rgy conn ected with the boundary betwee n. the two regions, but, in the
",(i"ite-volum e limit , thi s can be neglected. Therefor e Ueff(CP) = 0 in the whole region
wi tl, 10 1 < V. WI' itt we have go tten now is nothin g but th e famo us Maxwell construction
'" igill ,.!l y illtrodll ccd to
d l'~c rib c
th e coe xis tell ce of th e gil5 and liquid phases.
' 1'1,, ' eL,ssie,,1 d l('rl. iv(' 1',,1.(' lIti ,.! 11"11 d,"1 Ih l' !,lItl' IIli ..! If
, II' C'
s" lIti 'lll y diffe re nt in
162
the region with
1<p1 < 1).
convex, although U"
We also note that U" elf 2: 0 everywhere, i.e. it is everywhere
< 0 at 1<p1 < 1). It is however clear that the initial potential U
is a very useful object. In particular, if we are interested in the description of only

homogeneous states (which are classically unstable at
1<p1 <
1)), we should use this
potential and not Uelf

In the quantum theory, one can introduce an analogue of Uelf, the effective potential
Velf ( we retain the notation V for the perturbative potential). The main difference
from the classical case is that now the state minimizing the energy density is not an
inhomogeneous mixture of two phases but rather a superposition of the vacuum states
1+)
and
1-)
with
(+I'PI+) =
1)
(-I'P I-) =
and
-1) .
The effective potential Velf must be real and convex, but if we are interested in a
quantum analogue of the homogeneous classical states, the potential V becomes appro-
17jJ) can be defined as those which minimize (7jJHI7jJ)

(7jJI'PI7jJ) = 'Pc and subject to the restriction that they be
priate to describe them. Such states

subject to the condition that
concentrated on configurations with 'P( x) ~ 'Pc.

Like quasi-stationary states, these states are not stationary if 1m V
=I
O. On the
other hand, they can play the important role in some physical processes in which such
an unstable state is realized as the initial one. The description of the evalution of these
states is a very interesting problem which can find interesting application for example
in cosmology [ 22 ].
We only note here that since in the quasi-classical approximation, the potential (;
connected with the action
S (7 .57)
is
(7.198)
the dynamics with (; "
< 0 (yielding a complex potential V) is intimately connected
with that of the upside-down harmonic oscillator [ 20 ] with the hamiltonian

(7.199)
The detailed discussion of this issue can be found in Refs.[ 20,22
J.
Thus we conclude this chapter by saying th a t th e effective potent.ial is a very
CO II -
venient tool in studying theori es with s po nt.a.neOIlS symm try hrcakill g. Th e potr llti a.l
163
admits a clear physical interpretation, and it can be useful in describing not only the
ground state of a system but also unstable excited states playing here the same role as
quasi-stationary states in quantum mechanics.
Chapter 8
Effective Action for Composite Operators and Equations for Green's

Functions on the Nonperturbative Vacuum
8.1.
INTRODUCTION
As we saw in Sec.2.8, the fundamental object in describing the superconductivity phenomenon is the electron propagator G (2.89), and in particular its anomalous part F (2.90) describing the electron-electron condensate .
In fact, Fcrp(x)
= -i (OIT1f!cr(x)1f!p(O)IO) can be considered as a bilocal order parameter characterizing
the dynamical breakdown of the gauge U(I) symmetry in a superconductor.

The same approach can be used for describing dynamic symmetry breaking in relativistic quantum field theory. Therefore it is very important to have a general formalism
for the derivation of the equations for propagators (and Green's functions in general)
on the nonperturbative vacuum.
Such a formalism, known as the effective action for composite operators, was first
elaborated in condensed matter physics [1, 2, 3] and was then extended to relativistic
field theories [4, 5, 6]. A very convenient approach to deal with the effective action for
composi te operators was introduced by Cornwall, Jackiw and Tomboulis [6]. The approach is based on functional methods, in particular, or the path integral representation
for Green's functions. We will use it in this chapter.
The effective action for composite operators f( <Pc, G) is a functional both of the
vacuum average <Pc(x) = (OI<p(x)IO) and of the propagator G(x,y) = i(OIT<p(x)<p(y)IO)
(the symbol <p( x) represents all fields of the initial lagrangian) . The variational equations
(8. 1)
of
-:-:-:-----:oG(x, y) =
(8.2 )
determine <Pc and G on the vacuum. As we will see, th e equ<ltion (8.2)

the Schwinger-Dyson equation for tlte propa.g il.tor G. Wr will
iI.lSO
coin c id c~
slt ow tlta.!, 1./1('
ond variati onal dr ri viI.tivr of I' in (: I(,<H ls to tit .. Br l,lt r S;Jp('lrr Nillation
witlt
S(' ('
d( 'sn i"jll ~
Effective Actions and Green's Function
165
bound states. The advantage of the present derivation of these dynamical equations
as compared to the original derivations [7, 8, 9] is that it gives these equations on the
nonperturbative vacuum.
The effective action r( rpc, G) generalizes the effective action r( rpc) considered in
the previous chapter. However there are some subtle points in the interpretation of
r(rpc, G) which were fully clarified only recently [10 , 11 , 12]. This in particular relates
to the stability criterion for the vacuum described by rpc and G. We will discuss these
issues in detail in Sec.8.7.
8.2.
EFFECTIVE ACTION FOR COMPOSITE OPERATORS . THE GENERAL FORMAL-
IS M
To simplify the notations, we will consider the derivation of the effective action
for composite operators in a theory including spinless fields only; the generalization to
theories with gauge fields and fermion fields is straightforward, and will be indicated at
the end of this section.
Let us consider the path integral representation for the generating functional Z( J, I)
with the local source J(x) and the bilocal source J(x , y) (compare with Eq.(7 .34)):
Z(J,I)
= exp(iW(J,I)) = N
V(rp)exp {i[S(rp)
J~xrp(x)J(x)
+J
+
4
d xd4yrp (x)rp(Y)J(x,y)]} ,
(8.3)
where N is a normalization factor, the symbol rp(x) represents all fields of the initial
I<tgrangian (all group indices of rp(x) are omitted) , and the action S(rp) =
d4x(x)
lIlay be written as
(8.4)
where D(x - y) is the free propagator
D(x _ y) = _1_ Jd4k

1
e - ik(x-y)
(271")4
m 2 - k 2 - if
'
0 - I( X - y) = (0+ 111.2),14(1: - y) ,
""d S,,,,. is
till illi.('r,l dio li part o f til( ' i\(li"" .
(8.5)
166
The functional Z(J, I) can be expanded in a series (integration over repeated variables is understood here) :
where
These Green's functions relate to the theory with the local source J(x)
(since the
source J(x) may be time dependent, the in-vacuum and the out-vacuum are in general
different) .
We expand W(J, I) as
Comparing this equation with equation (8.6), we find the relations between c(n)
and C~n), for example,
(8.9)
(8.10)
- Z2(J)
C~2)(J;Xi.Yi"Xi2Yi2)C(J;xi'Yi,)
(i. <inti,}=l
1 C(l)(J',xlYl )C(l)(J',X2Y2 )C(l)(J', X3Y3 ) , (8.11)

- Z3(J)
where
Z(J) == Z(J,I)II=O .
(8. 12)
It is clear from these relations that Green's functi ons G~") for bi l ca.l opcr,ttors
are analogues of connected G ree n's f"n cli ons for 10c;).1 OP('ra.t rA consid('r('d ill Scc .7.2.
Effective Action. and G reen'. Fu n ction
167
Indeed, considering each pair (XiYi) as one point, one can see that all contributions which
factorize into pieces are subtracted in G~n); the factor Z-l(J) removes the disconnected
vacuum contributions from G~n) . In other words, the generalization from the local case
to the bilocal one is that the points (Xi) are replaced by pairs of points (XiYi).
The effective action r( 'Pc, G) is introduced as a double Legendre transform of
W(J,I). We define
oW(J,!) _ ()
oJ(x) -'Pc X ,
(8 .13)
oW(J,I)
() ()
bI(x,y) ='Pc x 'Pc Y
'G(
-!
)
X,Y,
(8 .14)
and set
f('Pc,G) =W(J,I) -
+i
crx'Pc(x)J(x) -
crxcrY'Pc(x)'Pc(y)I(x,y)
(8.15)
crxd4 yG(x, y)I(x, y) .
Eqs.(8.13), (8.14) and (8.15) imply that
of = - J(x) - 2
0'Pc(x)
r
of
(
uG X,Y
d4Y'Pc(y)I(x,y) ,
.( )
(8 .16)
(8 .17)
=zI x, Y .
In the physical situation corresponding to vanishing sources J and I, Eqs .(8.16) and
(8. 17) reduce to the stationarity equations (8.1) and (8 .2).
Let us recall that the effective action f( 'Pc) considered in Chapter 7 is the generating
funct ional for the proper vertices f(n)(Xl, ... , x n ). One should expect that f( 'Pc, G)
plays a simil ar rol e for Green's functions which are bilocal analogues of the proper
vertices f(n) .
Let us find t.h e relati onship between r( 'Pc, G) and W( J,I) for the case when J = 0
a nd 'Pc = O. T his case may correspond t.o dy namical symmet ry breakdown, which is
cl""racte ri1.eI by tlo e poiJl t tlo at.
l ~q . (H . I ) I "t~
1;q.(8.2) ;l.( lillitH ~ y llllll (' try hnrtki ll f,\ Hoi II till H' .
oJll y t.h e trivial solution 'Pc (x) = 0 but
168
Then we find from Eqs.(8.14) and (8.17):
d4xd4y
=~
o2r
o2w
OG(X1, ydoG(x, y) OI(x, y)0I(X2' Y2)
[OX1X,OYly,04(X1 - X2)04(Y1 - Y2)
(8.18)
+ OXly,OY1X,04(X1 -
Y2)04(Y1 - X2)] ,
where OX1X" OXiYi' 0YiYi represent symbolically Kronecker's o-functions connected

J'r
. th e mverse
.
with internal group indices. Therefore!. 6G(XI yI)6G(x,y,)
IS
propagat or 0 f
(2)-1
the bilocal field, G c
(X1Y1, X2Y2).
At J = 0 and I = 0, the translation invariance implies that the solutions to the

equation (8.2) are functions only of x - Y, G(x, Y)I 1;0 = G(x - y), where G(x - y) is
1=0
the full propagator of the field 'P. Introducing now the bilocal field
G(xy)
one can expand the action
r(G) = r(G(x - y))
+L
00
n=2
== G(x,y) - G(x - y) ,
(8.19)
in this bilocal field as:
(-t
-\-r(n)(X1Y1,"" xnYn) ' G(x1yd G(xnYn).
n.
(8 .20)

(8.21)
In the same way as the relation (8.18) was derived, we find the relations between
r(3) , r(4) and G(3)
c ,
dc4 )..
(8.22)
(8.23)
The structure of these relations suggests that r(n) can be treated as bi loca.1 proppr
vertices: they are ampu tated biloc<tl Green's functi o ns, a nd one ca.n not deco lllPose 1' (11 )
into two disconnected piece by rernovi ng olle G~2) fa.c t() r.
8.3 .
THE
Loop
EXPANSION FOR
169
f(cpc, G)
In this section, following Cornwall, Jackiw and Tomboulis [6), we will derive the
loop expansion for the effective action f( CPc, G). We will show that the required series
IS
(8.24)
where S( CPc) is the classical action and
(8.25)
and the trace, the logarithm and the product 1) -1 G are taken in the functional sense;
C is a constant. The term f 2 (cpc, G) is computed as follows. In the classical action S(cp)
shift the field cp by CPc(x). An interaction part Sint(CP, CPc) in the new action S(cp
+ CPc)
is formed by terms cubic and higher in cpo f 2 (cpc, G) is given by all the two-loop and
higher two-particle irreducible vacuum graphs in a theory with vertices determined by
Sint(CP, CPc) and propagators set equal to G(x, y) (see Fig.8.l).
b)
a)
Fig. 8.1. Examples of two-particle irreducible graphs: a) <jJ3 theory; b) <jJ4 theory.
The crucial point for the derivation of this relation will be the following observation:
I.he functional derivatives of the action f(cpc, G) in CPc(x) generate two-particle irred \I ci bl e Green's functions expressed through diagrams with the propagator G. Indeed ,
ir a diagram is not two-par ticle irreducible, it can be decomposed into two disconnected
pi ce s wh e n tw o pa rti cle lin es a re cut (see Fig. 8.2). This in turn implies that there is
;], pr opil.g<l.i. or
.1
rred iOIl
ill
thi . liiJ.g riwl. lI oweve r, sin ce G is th e full propagator, such
di il'I\I' '',11I dOl'S II Oi. cOlIl. riil'Ii.(' i. o 1'(,(" ,,(:)
170
b)
a)
Fig. 8.2. Examples of two-particle reducible graphs : a) </>3 theory; b) </>4 theory.
This observation in particular implies that qD, G) is the sum of all two-particle
irreducible vacuum graphs of the theory.
We begin the derivation with the introduction of the following Legendre transform
of W(J,I) (at fixed 1):
(8 .26)
(we recall that integration over repeated variables is understood).
Since
orI('Pc) = oW(J,I) + oW(J,I) oJ(z) I

OI(x, y)
OI(x, y)
oJ(z) OI(x, y) 'P,
oJ(z) I 'P (z) = oW(J,I)

OI(x, y) 'P, c
OI(x, y) ,
(8.27)
we find that
orI('Pc)
.
OI(x, y) ='Pc(x)'Pc(y) - IG(X, y) ,
r('Pc, G) =rI('Pc) - 'Pc(x)'Pc(y)I(x, y)
(8.28)
+ iG(x,y)I(x, y)
(8.29)
(compare with Eqs.(8.14), (8.15)).

According to Eqs.(8.3) and (8.26), rI ('Pc) is the effective action (int rodu ced in Chapter 7) for a theory with the classical action
(8.30)
Hence according to the analysis in Sec. 7.4, th e fun ction,,\
r ' is
(fU I)
Effective Action6 and Green'6 Fu.nction
171
where W{(CPc) satisfies the functional relation (see Eq.(7.80:
(8.32)
We will now treat Eq.(8 .24) as a definition of
r 2 (cp, G).
Then equating (8.24) with
(8.29) and using Eqs .(8.30), (8.31), we find

(8.33)
The relation (8.24) will be proved if it can be shown that
r 2 ( CPc , G), as given by Eq.(8.33),
is the sum of two and higher loop two-particle irreducible vacuum graphs in the theory
with vertices determined by Sint(CP, CPc) and propagators set equal to G(x, y).
We first express I in Eq.(8.33) through CPc and G by using Eqs.(8 .17) and (8.24):
IT = _!G- 1 + !1)-1 _ i Or2 .

2
2
oG
(8.34)
(all quantities here have the operator meaning). Then, taking into account Eq.(8.32),
we find that the relation (8.33) is equivalent to the following one:
Let us recall that r(O, G) is the sum of all two-particle irreducible vacuum graphs.
According to Eqs.(8.15) and (8.17), r(O,G) is
qo, G). + canst =TrG or(O,

oGG) -
.
zln
V(cp) exp
{.[
. of(O, G) ]}
+ Sint (CP) + cpJa - 2cp
oG cP
1
2CPD
- 1cp
(8.36)
where J o is tha.t valli e or J whi ch IIla kes ~ = CPr vanish, that is, all tadpole graphs are
r(, llIoved .
172
Let us compare now Eqs.(8.35) and (8.36).
First, using Eq.(8.34), we rewrite
Eq.(8.32) in the form:

I
WI ('Pc) = -zln
V( 'P) exp{ i[i'P( -G)- 'P+Sint( 'Pc, 'P)-i'P
As it follows from the consideration in Sec.7.4,
8W/(rp,)
rp,
8f 2 ('Pc, G)
8G
'P-'P
8W{('Pc)
8'Pc ]}.
satisfying this equation is pre-
cisely that value of the external current which makes tadpole vanish in the theory with
the action t'P( -G)-I'P + Sint( 'Pc, 'P) - i'P 8r,~~,G) 'P. Therefore, comparing the form of
Eq.(8.35) with the form of Eq.(8.36), we conclude that
f 2 ('Pc, G)-iln / V('P) exp
{i [~'P(
-G)-I'P]} = f 2 ('Pc,
G)+~TrLnG-I+const
(8.37)
is the sum of all two-particle irreducible vacuum graphs in the theory governed by the
action t'P( -G)-I'P + Sint( 'Pc, 'P)' The term TnLnG- I includes the contribution of the
one-loop vacuum diagrams. Therefore f 2 ('Pc, G) is indeed the sum of two and higher
loop two-particle irreducible vacuum diagrams.
This completes the proof of the relation (8.24).
Let us now introduce the notion of the effective potential for composite operators.
If, as it happens frequently, one is interested only in translation-invariant solutions

with 'Pc(x) being constant, and G(x,y) being a function only of (x - y), the effective
action takes the form:
f('Pc, G) = -V('Pc, G) / cfx,
(8.38)
where V is called the effective potential for composite operators.

The loop expansion series for V( 'Pc, G) follows from the relation (8.24):
(8 .39)
where U ('Pc) is the classical potential,
G(p) = / d4 xeipx G(x) ,

(8.4 0)
:J){'Pc,p} = / d4 x eipx:J){'Pcjx } ,
and -V2 ('P c,G) is th e sum of all tw and high er loo p two- J article irrrdlicibl ('
va,C IIIIIII
Effective Action$ and Green'$ Function
173
graphs of the theory with vertices given by Sint( 'Pc, 'P) and propagator G(p) (the trace
tr is not functional here; it applies to the component degrees of freedom).
The effecti ve potential satisfies the equations.
&V~:~ G)
= J
+ 2'Pc /
d4 xI(x) ,
.5V('Pc,G) = _ / >4 ipXI()

8G(p)
z axe
x.
(8.41 )
(8.42)
(in this case, the source I( x, y) depends only on (x - y)). The stationarity requirements
are
&V('Pc, G)
= 0,
&'Pc
(8.43)
.5V('Pc, G)
8G(p) = 0 .
(8.44)
We will discus the physical meaning of V('Pc, G) in Sec .8.7.

In conclusion, let us indicate the expressions for r( 'Pc, G) and V( 'Pc, G) in theories
including also fermions and gauge bosons. The contribution of gauge bosons is given by
the same expressions if the Lorentz indices J.l and
1/
in their propagators are treated as
component degrees of freedom. The case of fermions is slightly more subtle. Because of
Fermi statistics, all factors} in the expressions (8.24), (8.39) should be replaced by -1
(we consider complex Dirac fermion fields), that is, for example,
(8.45)
in the effective potential.
Dlinami~al Slimmetrll Breaking in Quantum Field TheorieJJ
174
8.4.
THE Two-Loop EFFECTIVE POTENTIAL IN THE NAMBU-JONA-LASINIO
MODEL AND QED
In this section, we calculate the two-loop effective potential V( G) in the N ambuJona-Lasinio (NJL) model and QED.
The lagrangian density of the NJL model is given in Eq.(6.1):
(8.46)
where, for simplicity, we consider the same bare mass for all fermion flavors. The twoloop effective action r(G) is (see Eqs.(8.24) and (8.45)):
r(G) = -iTr {LnG- 1 + s-lG}
+ r2(G) + const
(8.47)
where 1/Jc = (OI1/JIO) = 0 and r2(G) is connected with the two-loop diagrams shown in
Fig. 8.3:
N'-l
r 2 (G)=-cC) ~
J {[),
d4 x
0'
tr'2 G(x,x)
] 2
), 0'
trh5'2 G(x,x)
] 2
(8.48)
-
),O'
),0'
]
tr ['2 G(x,x)'2 G(x,x)
[),O'
),0'
]}
tr ii5'2 G(x,x)ii5'2 G(x,x)
Fig. 8.3. The general type of diagrams contributing to the effective action r 2 (8.48) in th e
Nambu-Jona-Lasinio model
vVe are interested in studying a translation-invariant propagator

(8. /\9)
where A and B are some fun ctions of p2 (th e color ~. nd n",vo r illdi c (' ~
;',1' ('
01l1il.l.(' <\ Ii ('1'(') ,
Effective Action, and Green', Function
175
The corresponding effective potential is:
(8.50)
where Nc is the number of the fermion colors. This expression takes the following form
in Euclidean region:
A2
V(
2
G) = _ Nc47rN {I dp2p2 [~In
(A2(p2) + B (p2)) + p2 A(p2) +
B(p2) _ 1]
2
p2
p2A2(p) + B2(p)
m(O)
dO) Nc
+~
[/Al dp2p2 A2(p2)

p2 B(p2)
]2 },
+ B2(p2)
0
(8 .51)
where the constant C in Eq.(8.50) was fixed from the normalization condition
V(G)lc=s=(p_m(O-' = O.
The Schwinger-Dyson equation for the propagator G, that is for the functions A(p2)
and B(p2), can be derived either from the stationarity condition (8.2) or (8.44):
of
G(O)
oG(y,x) =iG- (x,y)-iS- (x-y)-o (x - y)iVtrG(x,x)=O .
Solutions of this equations are translation invariant functions, G(x, y)
(8 .52)
G(x - y).
Therefore we get (see Fig.8.4)
(0)
o" (:r, - y) -iv f.r(:(O) .
(8.53)
176
S-1
G- 1
Fig. 8.4 . Graphical representation of the Schwinger-Dyson equation in the Nambu-JonaLasinio model. A thin solid line corresponds to the free fermion propagator; a bold line
corresponds to the full fermion propagator.
From here, we find the following equations for the functions A(p2) and B(p2) in
Euclidean region :
(8.54)
(8.55)
The solution of the equation (8.55) is a constant independent of q2, B(q2) = m. One
can see that at m(O) = 0 this equation coincides with equation (6.13) for the dynamical
fermion mass obtained in the mean-field approximation .
Let us consider now the effective action in QED. The lagrangian density is:
(8.56)
The effective action takes the form:
r( G, 6) = - iTr [In G- 1 + S-I(1/Ic, Ac)G -
~Ln6-1
_ ~1)-1(1/Ic,Ac)6]
where 6/ w is the full photon propagator.
(8.57)
+f 2 (G, 6)+C,
The free photon propagator D"v
1)/w(1/Ic,A C)!A,=O is
>Pc;:; 0
(8.58)
Let
LI S
consider th e approximation in whi ch 6"v
D,w, th e so ur ce J
= 0, alld
l.i1 rr('
177
is no source J(x, y) for the photon field in the generating functionaL Therefore in this
case,
r2
includes the contribution of diagrams which are two-particle irreducible with
respect to fermion lines only.

In the two-loop approximation, the
r 2 -contribution
is connected with the graphs
shown in Fig. 8.5. It is
(8 .59)
T he first term and the second one on the right hand side of this equation are connected
with the graphs in Fig.8.5a and in Fig.8.5b, respectively.
8
a)
b)
''ig. 8.5. Two-loop diagrams contributing to

' .... mionsj wavy lines correspond to photons.
r2
(8.59) in QED. Solid li nes correspond to
In this approximation, the effective potential takes the following form in Euclidean
I
!,/.;io n:
]\2
V(G ) =
~{ J
41f2
d/p2
[~ln (A2(p2) + B
2
3~:2
[G>J(p2 - k
2
COl
(p2)) + p2A(p2)+m B(p2) -1 ]
p2
p2 A2(p2) + B2(p2)
J2 dp2 J2 de (p2 A2(p2) +

o
~:e(k2 -
.,- C 20(]J2
B2(p2~;~~2
A2(P) + B2(P))
p2))C 1 A(p2)A(k2)
A;2 ) , ,,\ O(k 2
p2)) (3 +
c l )B(p2)B(k 2)] } .
(8.60)
178
In the derivation of this expression we used some formulas in Sec. B.4 in Appendix B to
integrate the angular variables. We note that the second term on the right-hand side of
Eq.(8.59) does not give contribution both to V( G) and to the Schwinger-Dyson equation
for G. The Schwinger-Dyson equation takes the following form in this approximation
(see Fig.8.6) :
(8.61)
G- 1
S-l
Fig. 8.6. Graphical representation of the Schwinger-Dyson equation in QED. A thin solid
line corresponds to the free fermion propagator; a bold line corresponds to the full fermion
propagator.
From here we find the following equations for the functions A(p2) and B(p2) in Euclidean
regIOn:
(8.62)
(863)
One can see that t.!l ese equati ons dr as ti call y simplify in th e Landau gauge with
~ --+ 00.
In thi s ga uge , til e fun ct io ll A(p2) is /\(p 2) = I, ;,Ild lil t' eqll ;lI.i() 1l ro r lJ( p2 ) I;t kc s th e
179
form:
(8.64)
We will analyze these equations in Chapter 10.
8.5.
THE SCHWINGER-DYSON EQUATION AND THE BETHE-SALPETER EQUATION.
GENERAL CONSIDERATION
The Schwinger-Dyson (SD) equation for the propagator G coincides with the stationarity equation (8.2):
or
-:-::-c:---;-
oG(x, y)
= 0
Taking into account the expression (8.24) for
(8 .65)
r , we find
the following equation
(8.66)
where
(8.67)
is called the self-energy operator.

Let us now derive the Bethe-Salpeter (BS) equation describing two-particle bound
states.
We begin by considering the Green's function G~2)(J;
X1Yl,
X2Y2) which is (see
Eq.(8.l0))
(8.68)
wil.h ( ;( n ) dd ill ('d ill l ~q . (R . fi) . T h(, HS ('lIl ati oll fo r (;~2) t i\.kc~ tI, C form (see Eqs .(8 .18)
180
and (8 .21)):
~r(2)(J; XIYI, xy)G~2)(J; XV, X2Y2)

!
~ [OX'X,Oy,y,04(XI -
(8.69)
X2)04(YI - Y2)
+ OX,y,Oy,x,04(XI
- Y2)04(YI - X2)] ,
where the BS operator tr(2)(J;XIYI,XY) is
The equation (8 .69) can be rewritten in a more conventional form:
(8.71)
or
GF)(J; xIYI, X2Y2) =G~2)(J; XIYI, X2Y2)
+ G~2)(J; XIYI, XV)
. JJ; XV , x'y')G~2)(J; x'y', X2Y2) ,
(8.72)
where
Let us now consider the BS equation in a theory without so urces (J( x ) = I( x, y) =

0) . We will also consider the case in which the fields <p{xtJ, <p{X2) and <P(YI) , <p{Y2) ill
2
){XIY1,X2Y2) desc ribe pa.rticles with a mass m . ,wei it lI1 ;t~s Ill y,
Green's function
Effective Action& and Green's Function
respectively. For the sake of simplicity, we will consider the case with G{X1' Y2)G{X2,
=
181
yd
a when (see Eq.{8.73))

(8 .75)
(it may happen either because of mx
-I
my
or because of selection rules following from
some symmetry) .
Because of the translational invariance of the theory,
G~2)(X1Yl, X2Y2 ) and
K(X1Y1,X2Y2) are functions of three variables only:
(8 .76)
with 17x
= ~+
my ,17y = ~+
my . Introducing the Fourier transforms,
m~
fix
(8.77)
l '
(
) _
1 J d d dP - i(pz, +qz,+Pz3 )
l\n,m"n,m, x1Y1, X2Y2 - (271')12
P q e
.
(8.78)
. K n, m, ,n,m, (p, q; P) ,
whcre we now explicitly indicate the component indices ni, mi, the BS equation can be
w ri ttcn in the following form:
('(2)
., P)
' e;n,rTl "n,rTl, (
p,q
2
)
( . P)
-_dO;n,m"n,m,
p,q,
1
+ (271')8
2
Jd 4 P'd 4 q'dO;n,m"nm
( " P)
)
p,p ,
Knm,n'm'(P" q';
p)G~~2'm"n'm' (q', q; P)
,
(8.79)
(8.80)
182
P~TJXP
q+TJxP
G(2)
c
P- TJyP
q- TJyP
Fig. 8.7.
Let us consider now the homogeneous BS equation. Let IPb, 1), IPb, 2)" . 'IPb, k) be
a degenerate set of bound states with a momentum Pb. The BS wave function for IPb , r)
and its conjugate are defined as
Xr;nm(X, Y; Pb) =(OIT'Pn(x)'Pm(y)IPb, r) ,
(8.81)
Xr;mn(y,x;Pb) =(Pb,rIT'Pn(x)'Pm(y)IO) = ((OIT'Pn(x)'Pm(y)IPb,r)*,
(8.82)
where T orders the operators in an antichronological order (we recall that 'Pn (x) are real
fields), and the states IPb , r) are normalized as
(8.83)
Let us show that because of the translation invariance, the BS wave functions can
be written in the form:
Xr;nm(X, y; Pb) =e-iP.x Xr;nm(x - y; Pb)
(8.84)
Xr;nm(x, y; Pb) =eiP,x Xr;nm(x - y; Pb) ,

where X = TlxX
+ Tlyy
mrx!m. y is the center mass coordinate. Indeed, since under a

m,r
my
translation through a
(8.85)
we have
Xr;nm(X , y; Pb) =(OIU- 1 (a)U(a)T'Pn(x)'Pm(y)U - 1 (a)U(a)lh r)

=(OIT'Pn(x + a)'Pm(Y + a)IPb , 1')eiP,a
=eip,a. Xr;nm( X + a, y + a ) .
Taking in particular a = - X = - (TlxX
+ 17vY),
we arc led to th e form (8.8/1) .
(8.86 )
Effective Action& and Green's Function
Using the standard formalism (see for example Refs.[ 13,14
D,
183
one can show that
Green's function G~2)(p, q; P) has a pole term at p2 = Pl:

k
LXr;n, m, (p,p.)Xr;n,m,(q,P.)
[ G~~2,m, ,n,m, (p , q; P)] pole =
Xr;nm(P, Pb) =
Xr;nm(p,Pb) =
J
J
.:...r=;.:..lO--_..."--_-,,.._ __
p2 -
ipz
ipz
d ze
d ze
Pl + if
(8.87)
Xr;nm( z; Pb) ,
(8.88)
Xr;nm(Z;Pb) .
Taking into account the linear independence of Xl, X2, ... ,Xb we find the homogeneous
BS equation from Eqs.(8.79), (8.87):
-G;;-~, (p
+ 7]xPb)xr;n, m, (p, Pb)G;;': m (p -
= (2~)4
7]y Pb)
(B.B9)
d q](nm,n,m,(P, q; Pb)Xr;n,m,(q, Pb) .
T he graphical illustration of this equation is given in Fig.B.B.
Fig. 8.B.
ometimes it is convenient to rewrite the BS equations (B.79) and (8.B9) in the
i"oll owi ng ope ra.tor form:
(8.90)
or
(
,( 1)
"
,(1)
( ('II
(B.91 )
184
and
( 2) -1
Go
(8.92)
X = /(X
Let us derive the normalization condition for the BS wave function from this equations [13 , 14].
We begin with the introduction of the auxiliary parameter T) in the kernel/{ :
(8.93)
( 2) -1
Go
(8.94)
X=T)/{X
Differentiating both sides of Eq.(8.93) in T) , we find

(2)
aGe _ G(2)}"G(2)
OT)-c'e '
(8.95)
By comparing the residues of the double pole at p2 = p~ in both sides of this equation
and taking into account Eq.(8 .94), we obtain the normalization condition:
a: =
Op2
T)
(2)-1
iXGo
(8 .96)
X .
We note that in those approximations in which the kernel /( linearly depends on a

coupling constant, the coupling constant itself can be chosen as the parameter T).
Let us adapt this formalism to describe fermion-antifermion bound states which are
very important for describing dynamical chiral symmetry breaking.
In this case, Green's function G~2)(X1Y1' Y2X2) is (see Eq.{8.8)):
(8.97)
where
(8.98)
(such a notation for the arguments of G(2) (G(2)( XI YI, Y2X2) a.nd not C(2)( x 1!l1 , :/;2Y2 ))
will be convenient for the description of bound states composed fr om a ferrlli oll
antifermion with differe nt rna.qscs ,
In .
;tIld my) .
;Ul(l
.1.1\
185
The BS equation for G~2) is (compare with Eq.(8.79)):

2
2
2
)
)
d c;n,m"m,n,
( . P) _d )
1 jd4 P'd 4 q'dO;n,m"mn
( " P)
p,q,
- O;n,m"m,n, ( p,q,. P) + (21r)8
p,p,
]{mn,n'm' (p', q'; p)G~~2'm' ,m,n, (q/, q; P) ,

(8.99)
where
(8.100)
and the BS kernel ]{rn, n, ,n,m, (p, q; P) is the Fourier transform (8.78) of the function
(8.101)
The BS wave functions Xr and Xr are
Xr;nm(X, y; Pb) =(OIT1jJn(x),J;m(y)IPb, r) ,

Xr;nm(X, y; Pb) =(Pb, rIT1jJm(y),J;n(X )10)
(8.102)
=1'0 (OIT1jJn(x),J;m(y)lh r))' 1'0 .

They can be written as
_ -iP,X (21r)4
1
Xr;nm ( x, y,. p b) -- e -iP,X Xr;nm ( X - y,. Pb) -e
j.4a'pexp[-tp. (x - y)]
Xr;nm(P; Pb) ,
Xr;nm(X, Y; Ph) =eiP,x Xr;nm(X - Y; Pb)

=eiP
,x_1_
jd4p ex P[i p (x (21r )4
y)]
Xr ;nm(P; Pb) ,
(8.103)
wll (,I'('
= II,.,m xr +m yY
+7"1'1 11
The pole term at p 2
= p2b
in
d 2) has the form:

C
L
"
'",,,,11', (p , f.Jb) Xr ;n,m, (q, Pb)

I
(8.104)
186
The homogeneous BS equation is:
G;:;-~I (p
+ TJxPb)xr ;n,m, (p, Pb)G;;'!m(P =
(2~)4
TJyPb)
(8.105)
crqI<mn,n,m, (p, q; Ph)xr;n,m,(q, Ph) .
The normalization condition for the BS wave function coincides with that in
Eq .(8. 96 ). We would like to indicate (without a derivation) another useful form of
the normalization condition for the practically important case when the BS kernel is
independent of the momentum Ph [13, 14]:
(8.105a)
In conclusion of this section, we would like to make the following remarks.

The definition of the BS wave function (see Eqs.(8.81), (8.102)) implies that it plays
the role of a form factor for a certain bound state
IPh , r).
As it was shown by Mandelstam
and Nishijima, the S-matrix elements of bound states can be expressed through their
BS wave functions [14, 15]:
(S -1)rlr,r, =(i)l - kXrl;nlml (xlydXr,;n,m,(X2Y2) Xn;n,m,(XkYk)
(8.106)
where G~~p is the amputated, connected, k-bilocal Green's function (compare with Eq .
(7.12)):
G~~~I ml , ,n,m, (X1Yl, ... , XkYk)

== (i)1-kG~2llml
n'm'I (X1Yl, x~YD G~2l.m'
n'm' (XkYb x~Y~) (8.107)
,
'I
,
1<, k t
k
. damp'n'm'
)
'I
II
n'm'
k
.t
(x'lYl,
I . x' ')
,kYk
Thus, the BS wave functions contain all necessary information for the description of the
dynamics of bound states.
The present derivation of the SD and BS equations has certain advant.ages as compared to the original ones [7, 8, 9]: it allows to derive these eq ua.ti ons not only
the perturbative vacuum but also on th e nonperturba.t ive one.
important for the descript ion
or th c dYll iuni ral sy lllmetry
Thi~
poillt
i~
0 11
prilllil.ry
hrcilki llg phCIIOlIlCIIOl1.
8.6.
187
THE BETHE-SALPETER EQUATION IN THE NAMBU-JONA-LASINIO MODEL AND
QED
In this section we will derive the BS equation in the NJL model and QED. We will
consider the approximations connected with the expressions (8.48) and (8.59) for r2(G)
in the N JL model and QED, respectively.
In the N JL model, the BS kernel is
02r
]{mlnl ,n,m,(Y1Xl,X2Y2)=-i oG
mInI
Yl, Xl
)o~ n,m, (X2, Y2 )
=iG~O) [(>.")nlm l (>.")m,n, + (h'SA")n,ml (h'SA")m,n,
(8.108)
- (>.")nln,(>.")m,ml - (h'sA")nln,(h'sA")m,ml]
X
04(Xl - yt}04(Xl - x2)6 4(Xl - Y2) .
Therefore in this approximation, the homogeneous BS equation in the N JL model has

the form:
G;;-';I (p + 17x Pb)xr;n, ml (p, Pb)G;;";m(P - 17y Pb)

4
= (2:)4
d q]{mn,n,m,(p, q; Pb)Xr;n,m,(q, Pb) ,
(8.109)
where G satisfies the SD equation (8.52), and the BS kernel is
ceO) [
/(mn,n,m, (p, q; P) =i-- (>.")nm(A")m,n,

2
+ (h'SA")nm(h'SA")m,n,
- (>.")nn, (>.")m,n - (i'Y5A<nn,(i'YSA<m,m]

(8.110)
We note that it is independent of momenta.
In QED, we find the following BS kernel from Eq.(8.59):
,.
).
\7I1, n"",,,,, Y1Xl,X2Y2 =-!6G
r2
joG
(
)
mInI Yl,Xl
n,m, X2,Y2
4
= - ig26 (x l - X2)04(Y I - Y2h~,n, 'Y::",m, DI'v(Yl I il h" (:/:'
?I I
Xl)
)6 (1/2 - x2 h::,m, 'Y:'"n,D"A x l - X2) .

(8 .111)
188
Therefore in this approximation, the homogeneous BS equation in QED has the form:
G;;-~, (p + ryxPb)xr;n,m, (p, Pb)G;:;';m(P - ryyPb)

=
(2:)4
crqI<mn,n,m,(p, q; Pb)Xr;n,m,(q, Pb) ,
(8.112)
where G satisfies the SD equation (see Eqs.(8.62), (8.63)), and the BS kernel is (see Fig.
8.9)
(8.113)
The BS wave function Xr is a matrix carrying both Dirac indices and indices connected with an inner group symmetry.
Fig. 8.9. Graphical representation of the Bethe-Salpeter kernel (8.113) in QED. The slashes
on the external fermion lines indicate that these lines are amputated.
The transformation properties of the bound state wave function follow from those of the
constituent fields. For example, taking into account the space inversion transformation
for 1f;(x) (see Eqs.(A.34), (A.39)),
with i,x = (x O, -x), we find for a spinless bound state IPb) that
x(x, y; Pb) = (OIT1f;(x)1/!(y)IPb) =(OIUp- 1T1/!(X)1/!(y)Up U;; II Pb)

= ry; 1 ""Yo (OIT1f;( i,x )1/!(i,y )Ii, Pbho
= ry)~ l ""YoX ( isx, i.y; i., Pb ho ,
(S.lJt1)
189
that
(8.115)
In the same way, one can find restrictions for X following from other symmetry transformations.
We will analyze the BS equation in the N1L model in Chapter 9. The BS equation
in QED will be considered in Chapter 10.
8.7.
PHYSICAL INTERPRETATION OF THE EFFECTIVE ACTION FOR COMPOSITE
OPERATORS . THE STABILITY CRITERION
As was shown in Sec.7.3, the effective potential V( <Pc) for elementary fields <P admits a clear physical interpretation. It yields the minimum value of the energy density
among all normalized states 11jJ) with a given value of the average <Pc = (1jJI<pI1jJ). One
should expect that there exists an analogous interpretation of the effective potential for
composite operators V(<Pc,G). However, as we will see below, the situation with the
inter pretation of V( <Pc, G) is rather subtle.
First of all, following the method of Sec.7.3, it is easy to show that when the sources
J (x) and I(x, y) are time-translation invariant functions of the form
J(x)
= J(x),I(x, y) = 8(xo -
yO)J(x, y) ,
the action f(<pc, G) indeed admits a simple interpretation: ( / dXO)
(8.116)
-1
f(<pc, G) yields
th e expectation value of the energy in that state 11jJ) which minimizes (1jJIHI1jJ) subject
1, 0
th e constraint that (1jJI1jJ) = 1 and
(1jJI<p(x)I1jJ) = <Pc{x) ,
(8.117)
(8.118)
III pi\,rti clil ar, wh en <Pc is a constant and G(x,y) = G{x - y), the effective potential
V (IP ,., (:) - ( /

dl' lI x il.'y alll!lIlf\
d~ :l;)
all
- 1
1'(<Pr,{:) yip ld H til(' IllillinllllTI cxpecta,tion value of the energy
Hta,i.('H H:lt i Hf 'yi li l'.
1.1". (1I Jl HII iJlI K (H , 11 7), (R . II S).
190
However, if 'Pc is a constant, the effective potential V( 'Pc, G) can be defined for
any translation invariant source I{x, y) depending only on the difference x - y: indeed,
I(x, y) = I{x-y) implies that G{x, y) = G{x - y). However, if I(x-y) is not proportional
to o(xO - yO), the source term I(x - y)'P(x)'P(y) is nonlocal in time, and therefore it is
unclear how one can define properly the hamiltonian operator in a theory with such a
source.') What is the interpretation of V('Pc, G) in this general case?
This question was intensively discussed in the literature [16, 17, 18, 19] (for a thorough discussion see the review [20]). In particular, as was shown by Haymaker and
Matsuki [18], the physical vacuum defined by the stationary conditions (8.1) and (8.2)
corresponds to a saddle point (and not a minimum) of the effective potential V('Pc, G).
This leads to the question what is the stability criterion in systems described by the
effective potential for composite operators?
One way to resolve this puzzle is to introduce a modified effective action f( 'Pc, G)
leading to the same equations (8.1), (8.2) for 'Pc and G but admitting the usual stability
criterion for the physical vacuum; in particular the saddle point corresponding to the
vacuum in V( 'Pc , G) should be transformed into the minimum of the modified potential
V( 'Pc, G). Such a modified effective action was constructed by Casalbuoni, De Curtis,
Dominici and Gatto [21]. However, as was pointed out by Fukuda [10], Fukuda, Komachiya and Ukita [11], the ambiguity-free stability criterion can be in fact formulated
for the original effective action f( 'Pc, G). Let us discuss their approach in more detail.
The main idea is that the stability conditions should be based on the considerations
of only those fluctuations around a solution of the equations of motions which are
consistent with the corresponding dynamics. Let us illustrate this point on the example
of a classical system with the action
s=
dt L{t) ,
(8.119)
where
N
L(t) =
'2
I: m2qi
- U(qi) .
(8.120)
.=1
,) Because of the translation invariance, there are corresponding conserved Cll rre nts in th e ci""ic,d
theory. In particular, there is a conserved current connected with the time- transl a ti o ll iliva rillll Ct'
(at least for the sources I(x - Y) decreasing rapidly enough with Ixo - yOI - 00 ). II W' ve l' tl",."
is no known way to introdu ce th e hamiltonian op era.t or in a. 'Iuanlum th eo ry whi Ii is n III CltJ ill
time.
Effective Adion& and Green's Function
191
The equation of motion is
oS _ d oL
oL _ 0
- Oqi(t) - dt oqi(t) - oqi(t) .
(8.121)
Let us consider a static solution qi Gl to this equation (this case is just what we are
interested in since the vacuum corresponds to a static solution). Let us now consider
the variations of this solution, qi(t) = q~Gl
+ f:l.qi(t),
which are admitted by the equation
of motion (8.121) . Then up to the first order in f:l.qi(t), we get

(8.122)
Since the solution qi
Gl
is static, the function sgl(t, tl)
== 6qi(I)~~j(l'l Iqi=q~o) is a function
of t - tl. Therefore realizing the Fourier transformation
f:l.qi(W) =
sgl(w, -Wi) = o(w - wl)sgl(w) =
dteiwtf:l.qi(t) ,
(8.123)
(8.124)
dtdtle(iwt-iw't'lSl]l(t - tl) ,
we get the equation
sgl(w)f:l.qj(w) = 0 .
(8.125)
In the case of lagrangian (8.120), the function sgl(w) is

(8.126)
where Uij =
aaT .1_
(0).
q. q) q-qi
Let us introduce v(kl which are the eigenvalues of the matrix
Uij. The solution of the equation (8.125) takes the form

f:l.qj(w) =
L GjkO{W2 -
w(k)') ,
(8.127)
whe re w(kl' = v(kl/m and Gij are some coefficients . The functions f:l.qj{t) are
1
f:l.q(t)
= -21r
J
L (c ' e'w.
Jk
(l)
. (l) )
t + c'Jk e-'w
t
(8.128)
T he s t. a bilit.y criterio n in class ical mec hani cs is simple: w(kl = (v(kl/m)1/2 must be real,
i.c. th e r i g(>lIvi\.Il1 c~ v( kl 11I1I ~ t. 1)(> positivr . Th r ph ys ical meaning of this criterion is clear:
ir HO II/(' or w(k)
;1.1'(> CO llOpit- X,
L'..I/,(t) hl"wH lip
iI.' /,
>
oo.
192
Fukuda has suggested that this criterion be extended to quantum field theories. Let
us first discuss how the criterion works in theories described by the effective action r( ipc)
for elementary fields considered in Chapter 7.
The effective potential r(ipc) is (see Eq.(7.9))
(8.129)
The vacuum is described by a solution ipc = 'Pc of the equation
(8.130)
The vacuum solution 'Pc = (Olip(x )10) is a constant. Let us now consider the variations
of the vacuum solution, ipc(x) = 'Pc
+ l:.ipc(x),
which are admitted by the equation of
motion (8.130). Then the analogue of the equation (8.125) is
(8.131)
As we showed in Sec.7.2, -r(2l(x - y) = -
bcp,(:;fcp,(Yllcp,=""
is the inverse propagator
of the field ip(x). Therefore l:.ipc(Y) describes the excitations which couple to ip(x). The
stability criterion is clear: masses of all these excitations must be real, in particular
there must not be tachyons. This criterion coincides with the stability conditions for
the vacuum which we discussed in Chapter 7.
The generalization of this criterion to theories described by the effective action
for composite operators r( ipc, G) is straightforward. The vacuum is described by a
translation invariant solution, ipc = 'Pc, G(x, y) = C(x - y), to the equations:
8r
8ipc = 0 ,
8r
8G = O.
(8.132)
(8.133)
The equation (8.133) is the Schwinger-Dyson equat ion for th e propagator. For th e sakt'
of simplicity, let us ignore t he variations of ipr , t hat is 'Pr - + ipc, C( 1; - y )
---+ ( ;( ;1; )
y)
Effective Action$ and Green's Function
193
G(x -y )+llG(x , y) . Then the analogue of the equation (8.131) is the following equation :
1 >4
d x ay
1 [
Pr
5G(x, y)5G(x', yl)
] Ic:c;
(' ')
llG x ,y = 0 .
(8.134)
But t.his is nothing else but the homogeneous BS equation considered in Sec . 8.5. The
st.abilit.y crit.erion is clear: there must not be solutions to this equation corresponding
to tachyonic bound states .
Thus we conclude that the effective action for composite operators is a very convenient tool for studying the dynamics of bound states and, in particular, for studying
theories with dynamical symmetry breaking.
Chapter 9
Dynamical Chiral Symmetry Breaking. General Consideration
9.1.
INTRODUCTION
In Section 4.4, we considered spontaneous chiral symmetry breaking in the linear

a-model with the UL(N) x UR(N) (or SUdN) x SUR(N) x Uv(l)) chiral group. Let
us recall that at J.l2 < 0 in this model:
a) in the symmetric (unstable) phase, with (OIMIO) =
:/2)..0
= 0, there are 2N2
tachyons (N 2 scalar and N 2 pseudoscalar ones) assigned to the (N, N) ED (N, N)

representation of the SUdN) x SUR(N) group;
b) in the asymmetric (stable) phase with (OIMIO) = ~)..o
=1=
0, the UdN) x UR(N)
(SUL(N) x SUR(N) x Uv(l)) symmetry is broken to Uv(N) , and N 2 (N 2
in the case of the SUdN) x SUR(N) x Uv(l)) pseudoscalar tachyons become

massless NG bosons; the rest of tachyons acquire a real mass (M2
> 0);
c) in the case when there are both spontaneous and explicit chiral symmetry breakings, the dynamics of the partial conservation of the axial currents (PCAC) is
realized.
In field theories with no fundamental spinless fields, this scenario can be realized
only through the formation of the 2N2 fermion-antifermion bound states assigned to the
(N, N) ED
(N, N) representation of the SUdN) x SUR(N). Therefore in this case the
problem of spontaneous (dynamic) chiral symmetry breaking becomes in many respects

the problem of the determination of the dynamics which gives rise to such bound states
as tachyons and NG bosons in the symmetric and asymmetric phases, respectively.
We will be interested in two kinds of models with dynamic symmetry breaking: the
N ambu-lona-Lasinio model already described briefly in Chapter 6, and gauge models
without fundamental scalar fields.
The latter are in turn divided int.o two classes:
vector-like gauge theories and chiral gauge theories. Their definitions are given below.
As was indicated in Sec. 4.3, one can use only left-hand ed fi elds
lh
t o desc ri be
fermions in a theory. Vector-like gauge th eo ri es are th ose ones in whi ch t.h e fi elds 'Ih
make up a real representation of the gauge grOllp. Oth erwise, giw ge
chiral gauge th eori es .
th co ri ('~
a.r(' c a.lkd
Dynamical Chiral Symmetry Breaking
195
The most important example of a vector-like theory is Quantum Chromodyna.mics

(QCD) with the color gauge group SU c (3). Left quarks and left antiquark are assigned
to the real representation (3) EEl (3) of the SUc (3) (see Chapter 12).
The SULC2) x Uy (l) electroweak theory is the most important example of a chiral
gauge theory (see Chapter 13).
In this chapter, we will consider only vector-like gauge theories.
Dynamic chiral symmetry breaking is a rather complicated phenomenon. At present
it can be understood only in rather simple model approximations. Therefore it is important to get the restrictions on the mechanism of this pher.omenon following from the
general principles of quantum field theory.
In this chapter, we will discuss such restrictions. We will also analyze the BetheSalpeter (BS) equations for the bound states in the N JL model. This analysis will
provide a basis for studying the BS equations in the more complicated case of gauge
theories.
9.2.
CHIRAL WARD-TAKAHASHI IDENTITIES
We will discuss here the chiral Ward-Takahashi (WT) identities in a field theory
without fundamental spinless fileds.
It can be the NJL model with the lagrangian
de nsity (6.1) or a vector-like gauge theory with the lagrangian density (compare with
l<;q.(3.79)):
(9.1 )
where
J(
Fl'v
J(
=81' A v
(DI''1jJ)al =81' '1jJal
+ ~gt{~'1jJamA~(
(m(O)'1jJ)al =m~~)'1jJbI
"("1"('
/\' ,
J(
ST
8 v AI' - gjJ(STAI'A v
+ h5m~~)'1jJbI
(9.2)
(9.3)
(9.4)
.S', 'I ' = 1,2 " " , N'/ - '1, th e mil.t.ri ces I. /( ddi ne the represent.ation of the gauge
1-\ "'111> (: r
to whi ch the ferllli oll fi clds a.r(' assij.\ IH,d ,
11.11<111.,
b a.rc t.h e flavor fermi on indices
196
(for simplicity, we consider a simple gauge group, and we use here the notations for color
indices of the gauge fields different from those in Chapter 3)~)
If the mass matrix
m(O)
is zero, the lagrangian density (9.1) is formally invariant
under the UdN) x UR(N) chiral transformation (see Eqs.(4.36), (4.37)). We wrote
"formally" since, as is known, in quantum gauge theories, the singlet axial current
J~", = 1(Jt-'Y",'Y51/J is not conserved even in the chirallimit:
(9.5)
where F",v
==
!tJ( F:~
(the Adler-Bell-Jackiw (ABJ) anomaly [1, 2]) . A thorough dis-
cussion of the ABJ anomaly is given in the book [3]. We will return to this issue in
Chapter 12.
Therefore, unlike the NJL model, the chiral group of the gauge theory (9.1) with
m(O) =
0 is SUdN) x SUR{N) x Uv(l).
When
m(O)
-#
0, we get (compare with Eqs.{4.33), (4.34)):

Z J. [ (0) \ 01]
8'" J",01 -_ 2''/'
m ,1\
A
.1 ..
,/"
OI=O,l, .. ,N'-l ,
8"'l5,.. = ~1(J{m(0)''Y5.x0l}1/J;
OI=l"N'-l'
(9.6)
(9.7)
In the N JL model 8'" J~,.. is
(9.8)
but in gauge theories,
{9.9}
The chiral limit with
m(O) =
0 is very special: th e invariance of th e lagrangian
density under the chiral transformations guarantees that th e mass term in th e ferlllion
*) We lise th e normalizatio n tr(t K t K ' ) = 26 "K' in th e ["n da m nt,,1 re prese nt a ti o n o f th ( WLI' W'
group G, .
197
propagator will never appear in any order of perturbative theory. This implies that on
the perturbative symmetric vacuum, the propagator takes the following simple form
(9.10)
Indeed, if
u,,(e)IO) =10) ,
(9.11)
Us",(e)IO) =10) ,
(9.12)
where the operators U"" Us", are defined as
U;;l(e)~U,,(e) = e_xp(ie)..")'Ij; ,
{ U;;l(e)'Ij;U,,(e) = 'lj;exp(-le).."') ,
(9.13)
U5"1(e)~Us,,,(e) = e_xp(ie'Ys)..")'Ij; ,
{ Us"l(e)'Ij;Us,,(e) = 'lj;exp(ihs)..") ,
t hen
G(x)
=-
i(OIT'Ij;(x)1/i(O)IO)
= exp(ie)..")G(x)exp(-ie)..")
G(x) = exp( ihs)..")G(x) exp( ihs)"") .
(9.14)
(9.15)
T he relations (9.14), (9.15) imply that
[)"" , GJ=O, bs).."',G}=O.
(9.16)
T hese relations lead to the form (9.10) for the fermion propagator.
If the chira! SUL(N) x SUR(N) symmetry is spontaneously broken, the relations
(9.1 2) are violated, and a dynamical mass term in the fermion propagator can appear:
(9.17)
Let us d isc uss how this phenomenon manifests itself in the structure of Green's
f"ll et.i o lls illclll<iill g th e chir al Cllrrellt.s by II sing th e Wl' identities . In particular , we will
" Ililw I"
til(' I-lS wa.ve rlllldi oll or N( :
IlIlI d ioil IJ dy,, (]l 2).
" " S O li S
is ('xpr('ss('d throll gh th e dyn amical mass
198
In order to derive the WT identities, we will use the approach used in Sec.4.2 for
the derivation of the Noether theorem, th at is, we will use the local chiral infinitesimal
transformations:
.\"
-.\"
Dv'I/J =iw,,(x)2'I/J, DV'I/J = -iw,,(x)'l/J2 '
.\"
(9.18)
.\"
DA'I/J =iws,,(x)-Ys2'I/J, DA'I/J = iws"(x)'I/J'Ys 2
(9 .1 9)
Let us consider Green's functions of some local operators cp('),,=1,2, ",n, which are
some local multilinear functions of the fermion fields:
(9.20)
We will use the path integral representation for them:
(OIT (cp{1l( xd cp(n)(x n)) 10) = N
f V(AI')V('I/J)V(~)exp(i5)cp{1)(xd
cp(n)(x n) ,
(9.21 )
where N is a normalization factor (see Sec.C.3 in Appendix C).

Let us perform the change (9 .18), (9.19) of variables in the integral (9.2 1). A change
of variables does not change the value of the integral. Therefore, taking into account
the relation (see Eq.(4.3))
55=
d4y {w,,(y)
[-~~ [m(O)'.\"] 'I/J +OI'J~]

+ws,,(y)
[_~~{m(D)''YS.\''}'I/J+OI'J~I']}'
(9.22)
we get the following WT identities:
ot(OITJ~(y)cp{1)(xd'" cp(n)(xn)IO)
= ~(O IT~ (Y) [m(D ), >''']'I/J(y)cp{1)(xt} ... cp(n)(xn) IO)

+ i5 4 (y - x t}(OIT oCP {1)(x I) .. . cp(Tl)(x,,) IO)
OW,,(XI)
. 4
+ " +16 (y - x,,) (Olfcp
(I)
(XI) '"
OcpH( 3; ,,)
.
10) ,
Dw", (J:,,)
(9 .21)
199
o~(0ITJ~I'(y)ep(1)(X1) .. . ep(n)(xn)IO)
= ~(OIT1/i(y) {rh(O), ")'s>'''} ~(y)ep(1)(xd ep(n)(xn)IO)
+ i04(y _ xd(0IT~ep(1)~X1~ .. . ep(n)(xn)IO)

ws"
+ ... + 20. 4( Y -
(9 .24)
Xl
oep(n)(x n) I0) ,
Xn )( 0ITep (1)()
Xl . .
ows,,(x n)
where
(9 .25)
In fact, in gauge theories, because of the AB] anomaly (9.9), the WT identity (9.24)
with a = 0 has to be modified:
(9 .26)
T he derivation of this identity in the path integral formalism was realized by Fujikawa
[4].
We are interestd in the WT identities for the following Green's functions :
r"(X, y)
=~(OIT1/i(O)>'''~(O)~(x)1/i(Y)IO)
(9.27)
1
rnx,
y) =2(0IT~(0)rs>'''~(0)~(x)~(Y)10)
(9.28)
r~(x, y) =(OITJ~(O)~(x )1/i(y)IO) ,
(9.29)
r~'J( x, y) = (OITJr,'J(O) ~ ( x ) 1/i (y)IO) .
(9.30)
200
We introduce their Fourier transforms
C{p)rA{p, k)C{k) =
where rA{x, y) is a generic notation for
rA(p, k)
(9.31)
dxdyexp[ipx - iky] rA{x, y) ,
r"'{x, y), rnx, y), r~{x, y), rsl'{x, y), and
is the corresponding amputated Green's function. Then the relations (9 .23),
(9.24) lead to the following non-anomalous WT identities:
pl'r~{p,k) =[m(O),r"'{p,k)] - C- 1{p)A2'" + A'" C-1{k) ,
(9.32)
pl'rsl'rnp, k) ={ m(O), rs{p, k)} -
C- 1(p) A'" 1'5 -
~'" 1'5C-1 (k)
(9 .33)
where P = p - k.
Let us use the WT identity (9 .33) for studying the BS wave function of NG hosons.
In the chiral limit with m(O)
= 0,
this identity takes the form
A'"
A'"
Pl'rsl'(p,k) = -C- 1(p)T1'5 - T1'5 C - 1(k) .
(9.34)
Eq.(9.30) implies that the pole contribution of pseudoscalar NG hosons in
rsl'(p, k) is
(compare with Eq.(4.79)):

(9.35)
where
x(p);"'(q,P) = eiPX
d4 (x - y)exp[iq(x - y)](O/T1jJ{x)7,b{y)/P,O'}
is the BS wave function of NG hosons; here P = p - k, and, since TJx(y) = m~~~. =

at mx = my
= mdyn,q is q = TJyp+TJxk = t{p+ k)
and X is X = TJxX
+ TJyY =
t(x +y)
(see Eqs.{S.103) - (S.105)). The decay constant F of NG bosons is:

(9.36)
The BS wave function X(p);"'(q, P) can he expanded in the Dirac matrices:
(9 .37)
where
a!''' =
fbi',
1'''], and
(p2 = 0 for NG hosons).
xlV)
are some functi ons of th e Lor<! ntz invaria.rrt.s 12 ,1.11.1 I}II
Let us consider the limit pll = pll - kll
----+
201
0 in Eq.(9.34) . We get
(9.38)
This is a remarkable relation: it shows that the BS wave function of NG bosons at

pll = 0 is completely determined by the fermion propagator. We will frequently use
this relation in the following.

In conclusion, let us derive the equations for Green's functions rA(x, y).
From the definition (8.97) of Green's functi on G~2) and Eqs.(9 .27) - (9.30), we find
the following relation:
-a
)_
(2)
f knm(X, Y - -G c'nm m'n'(XY' 00)

I
>.
A2
a)
n'm'
(9.39)
where A = 1,15,111 or 11'15. Therefore from the BS equation (8.99) for
G~2), we get the
following equation for fA(q, k):
f A;nm(P, k) = - (Artm
x [Gn'n,,(q
+ TJx(p -
+ (2!)4
k))fA ;n"m" (q
d qJ{mn,n'm' (TJyP + TJxk, q;p - k)
+ TJx(p -
k), q - TJy(p - k))Gm"m' (q - TJy(p - k)) ] ,

(9.40)
where J{mn ,n'm' is the BS kernel (see Fig. 9.1).
~
};
>.",+
k
I" i/\ . ~J.I . Cr;,pili ca,1 r(' pr(,N(' III. ;d,i )]\ o f th e
q+1)x(p - k)
K
k
q-1)y(p - k)
ns equ ati on for l'A(P , k).
202
Dynami cal Symmrtry Breaking in Quantum Field Theories
9.3.
THE EXACT RELATION FOR THE MASS OF PSEUDOSCALAR BOSONS
In this section we will derive the exact relation for the mass of pseudoscalar bosons.
We will see that in the first order of the expansion in m(O), this relation reduces to the
PCAC formula of Gell-Mann, Oakes and Renner [5] .
The exact formula will be very useful in the analysis of the ultraviolet asymptotic
behavior of the BS wave function of pseudoscalar bosons.
Let us consider a theory with dynamical chiral symmetry breaking in which the
mass term ;jJm(O) 'if; explicitly violates the chiral symmetry.
We consider the chiral group SUL(N) x SUR(N) (or UL(N) x UR(N)), and 'if;La ('if;Rb)
fermions are assigned to the (N,O) ((0, N)) representation of the chiral group; a, b =
1, .. . , N. The BS wave function X~) of a colorless pseudosalar boson composed of the
a-th fermion and the b-th antifermion can be expanded in the Dirac matrices:
(p)(
Xab
q,
P) -
where al'V =
i
-2
1
V2
[ (p)
X ab ;l
bl', 'YV ],
and Pq (the coefficient
(p) p
(p).q
(p) "V (P
+ Xab;2
+ Xab;3
+ Xab;4
a
I'Qv -
P.)]
vQI'
'Y5,
(9.41)
and X(Pb) . are some functions of the Lorentz invariants
p2, Q2
:72 in Eq.
from
a "
(9.41) ensures that
Xab;i
becomes equal
X\p)
Eq. (9.37) in the chiral limit).

The BS wave function X~) (q , P) is the Fourier transform (8.103) of the function
(9.42)
that is,
(9.43)
where X = m,;.:t~:u with
rna,
mb
are physical (and not bare) masses of the a-th fermion
and the b-th antifermion, respectively.

Here we will ignore the AB] anomaly (its influence on the mass formula will be
considered in Chapt er 12). We also assume that the bare mass matrix m(O) (9.4) take,'
the form
(0)
mab
c
(0)
= oabma
In fact, it is easy to show that in vector-like t heori es, th e mil.trix
1h (0) ca.1I
reduced to the form (9.44) by an appropri a.t.e chiml tran SfOl'lllilt.i oll of
he ;t!wiI.ys
f<'l'IIti O Il
fi eld s,
203
Let us consider the matrix element

(9.45)
On the one hand, using the equation
(9.46)
(compare with Eq.(9.7)), we find that it is
(9.47)
On the other hand, it can be expressed through the BS wave function:
(9.48)
Let us introduce the decay constant
Fab:
(9.49)
Then from Eqs.(9.46) - (9.49), we get the following mass relation :
M2
ab
2iNc (m~O)
==
p2 = -
+ m~O))
Fab(27r)4
Jd
4qX (P) .
ab;l
(9 .50)
In first order in m~O), m~O) , this relation reduces to the PCAC relation [5]
2
M ab
where F is F
< {Jtf; > (

F2
(0)
lna
== Fab in the chirallimit with mJO) =
(0))
lnb
(9.51)
'
0, and the chiral condensate
< {Jtf; >
is
-
< tf;tf; >== lim Ntr(OITtf;(O)tf;(x) IO) = -lim -trG(x)

'1'-0
- - 4iNc
(27r)1
JrI'
'1'-0
Bdyn(q2)
qq2A2(q2) - Bd yn(q2)
(9.52)
(it is ( ;ticill ated ill 1.11(' , !liral lilllit.) . IlId""d , I.akillg into (I,CCollnt 8q.(9 .38), we get the
I'C I\ C
rOI'l""L,
(!).!i I )
rll ''''
1lIP ;, ,1,,1111 11 (!)
r.n)
204
The relations (9.50), (9.51 ), (9.52) yield a nontrivial constraint for the ultraviolet
asymptotic behavior of the functions X~jl and B dyn ' Let us discuss this point in more
detail.
First of all, we would like to indicate that m~O), < {;1jJ >, A(q2), B(q2), X~\x, y) are
bare quantities, that is, they depend on ultraviolet cutoff A regularizing the theory. In
particular,
(0)
rna
(u)
= z(u)(
m
A) mcur;a
(9 .53)
A(q2) =Z~u) -l (A) A(u)(l) ,
(9 .54)
B(q2) =Z~u)-l (A)B(u)(q2) ,
(9.55)
y) =Z(u)(A)X(P) (x y)
X(p)(x
ab'
2
(u);ab"
(9.56)
where m~~~;a is the renormalized (current) mass, and A(u), B(u), Xi~~;ab are the renormalized functions relating to the subtraction point a [ 6] (the mass function B(q2) is equal
to Bdyn(q2) in the chiral limit). The renormalization constants Z~), Z~u) can be calculated in perturbation theory or in renormalization group (RG) improved perturbation
theory. Z~u) is the renormalization constant of fermion fields,
(9.57)
Therefore the relations (9.54) - (9.56) follow from Eq.(9.57) and from the definitions of
the fermion propagator,
(9.58)
and the BS wave function (9.42).

On the other hand, such physical quantities as MJc and Fa c should be finite in th e
continuum limit A --+
00
in local theories. Therefore the relations (9.50), (9.51) imply
that
I
A
Z(u)Z(u)
I 1m
'"
2
A-ex>
d1 qX((1'))_ / -1 = fiIIl1t.e,
.
,{II,
(f
(!) .!i!))
205
(9.60)
where the symbol
the Wick rotation (qO
implies the ultraviolet cutoff must be put in these expression after

->
iq4) into Euclidean space.
As an example , let us consider these constraints in QeD with the gauge group
SU(Nc ). We will use the Landau gauge with the gluon propagator
(9.61)
In the one-loop approximation, in this gauge, the renormalization constants Z}::"), Z~(7)
are [6]:
(9 .62)
Z 2(<7) -1
-
where AQCD is the QeD scale parameter (AQCD
Nc = 3),
em
= ;~j~,),
and b =
(9 .63)
rv
300MeV in the real QeD with
ll~f;;}N is the first coefficient of the QeD fJ function
(in order to preserve the property of asymptotic freedom, we consider the case with
N < llf').
Let us make the following, reasonable, assumption: as q2
in Euclidean space,
2
t he structure of the leading asymptotic term in X~~~;ab;l (q2, Pq, p ) has the form
where F a nJ
-> 00
f are some [unctions . Then, we find that the const.raint (9.59) implies that
(9 .64)
206
The constraint (9.60) leads to the following asymptotic relation:

B((J)
dyn
1
'"
A((J)2 q1A~co q2
--
(I
nq
2/,2
"QeD
)Cm-l
(9.65)
In the derivation of this expression, we used the following formula for the angle integration in Euclidean region (see Sec. B.4 in Appendix B) :
(9.66)
We will discuss the relations (9.64), (9.65) in more detail in Chapter 12.
9.4.
THE EXA CT RELATION FOR THE DECAY CONSTANT
In this section, we consider the exact relation for the decay constant [7, 8] .
The decay constant
Fab
is defined as
(9 .67)
where IP) is a pseudoscalar state composed of the a-th fermion and the b-th antifermion.
The left-hand side of this relation can be expressed through the BS wave functi on
(9.68)
in the following way:
(9.69)
where the Lorentz invariant functions X~~2' X~~3 appears in the expansion
(9.70)
Therefore
iF bPI' = 2Nc / ctq [Pl'x(P)
a
(2'11-)4
ab;2
+ ql'x(P)]
ab ;3
(9.71)
This relation can be simplified further in the chiral limit if th e invari ance of vector-like
theories under cha.rge conjugation and parity are taken into acco unt (in th e chira'! limit ,
pseudoscalars a.re massless NG hosons).
207
In Sec.B.6 we showed that parity invariance leads to the relation (see Eq.(B.1l5))
(9.72)
where i.q = (qO,-q),i.P = (pO , -P) and TJp is the parity of the bound state. In the
same way, one finds that charge conjugation invariance yields the relation
(9 .73)
where TJe is the charge parity of the bound state.
Since
jPC
= 0-+ for the multiplet of NG bosons, the relation (9.73) implies that
X~P)(q2, Pq) =X~P)(q2)
+ (Pq)2x~pl(q2) + ... ,
X~)(q2, Pq) =(Pq)x~)(q2) + (Pq)3x~~1(q2) + ... ,
(9.74)
where the functions X)p) are defined in Eq.(9.37) (we recall that X~;i = X)p) in the chiral
limit) . Substituting these expressions into Eq.(9.71) and performing the Wick rotation
into Euclidean space, we get (see Eq.(9.66) and the formulae in Sec. B.4 in Appendix B):
(9.75)
where F
== Fab in the chirallimit, and u
= q2 (note here that no higher power terms
in the expansions (9.74) contribute to F because they yeild p2 proportional terms after
d4 q integration and p 2 = 0 for NG bosons) .
We will frequently use the relation (9.75) in the following.
9.5.
BOUND STATES AND
DECAY CONSTANT IN THE NAMBu-JONA-LASINIO
MODEL
In this section we will consider the BS equations and the general relations obtained
above in the Nambu-Jona-Lasinio model.
The lagrangian density of the model takes the form (see Eq.(6.1)):
(9.76)
As in C hap ter 6, we will anal yze I.h (' lI \Odd ill th e limit in which the number of fermion
colors Nt goes to illfinity.
208
As was shown in Sec. 6.2 and Sec.S.4, in this model, in leading order of the 1/ Nc
expansion, the Schwinger-Dyson (SD) equation for the fermion propagator takes the
following form in the chiral limit
(m(O)
0):
(9.77)
(9.7S)
The solution of Eq.(9.7S) is Bdyn = mdyn independent of q2. Therefore this equation is
equivalent to the following algebraic one (see Eq.(6.I4)) :
(9.79)
where the dimensionless coupling constant
is
(9.S0)
We consider the limit Nc --;.
CXl
The nontrivial solution mdyn

K
Kc
with
f=
being fixed.
to the equation (9.79) exists if
= 1 is the critical coupling constant separating two phases: at
> 1. The value

< 1, the model
is in the symmetric phase (mdyn = 0) with the UL(N) x UR(N) being unbroken, and
at
> 1, it is in the phase with the spontaneously broken chiral symmetry, UL(N)
UR(N) --;. Uv(N). Since
mdyn
goes continuously to zero as
of the broken phase, the critical value
Kc
K --;. Kc
= 1 from the side
= 1 corresponds to the continuous (second
order) phase transition~)

If the bare mass m~~) = m~O) Dab is not zero, the SD equation can be derived from
the effective action for composite operators r( G) (S.47) , in which as a free fermion
propagator, one must take
(9.S1)
T hen we find the following SD equation for the propagator Gab(q)
- Ba(q2))-1 from Eq.(S .2) :

(9.H2)
*) Phase transitio ns (critical ph enom ena) are discussed in ma rc deL"i] ill (; h".pl'" II .
209
(9.83)
The equation (9 .83) is equivalent to the following algebraic equation:
(0)
ma(1 -
= ma
11:)
m~
A2
11:- In
A2
+ m~
(9.84)
ma
== Ba .
with ma
Let us consider now the BS equations for

(p) (
Xab q,
(s)(
n)] ,5,
(9.85)
P)]
vQI'
(9.86)
P) _ 1 [(p)
- v2
Ii> Xab-l
'
p'
(p).q
(p) a I'v (P
+ X (p)
I'qv
ab'2
, + X ab'3
, + X ab'4
,
- Fvql'
1 [ (s)
Xab;l
(s) p
(s).q
I'v (P
+ Xab;2
+ Xab;3
+ X (s)
I'Qv
ab;4 a
) _
Xab q, P -
,f2
describing colorless pseudoscalar and scalar bosons composed of the a-th fermion and
the b-th antiferrnion.
Using the expression (8.108) for the BS kernel in the NJL model, we find the following equaitons in the leading order of the liNe expansion:
a) pseudoscalar
p2
(4
(J Pc
0-+) states:
2 + mamb ) Xab;l
(p)
( _ PI'
(p)
. (p2 2 (P )2) (p)
- mab
+ limabq 1') Xab;1'
- 21
q q
Xab;4
III:
= - A 2 7r 2
(p)
04
a-kX a b;l'
(9.87)
P
(4
q - mamb
(p)
Xab;1'
- PI' + umabql'
+ ( mab
A
.limab
4
1 --
>.
2Ql'q -
(p>.Xab;1'
(p)
-
2"1pp>.)
I'
(p)
Xab;l
- I.
(p) )
PI'Xab;>'
(p)
Xab;>'
(4 mab
- P>' + umabq >.) Xab;l'>'
(p)
= 0,
(9.88)
= 0 ;
h) scala.r (0++) states:
(/~2
_ Q2 _ mam b)
X~~l + (2mabql' _ li~ab PI') X~~I' + 2i ((Pq)2 -
1.11:
- - /l 2 7r 2
p 2q2)
X~~4
4 . (s)
d k X" h,1 '
(9.90)
210
D yn amical S ymm etry Breaking in Quantum Field Theoriea
(9 .91)
P
(4 -
+ mamb )
(.)
Xab;;"/l -
+ ~mab (P;"X~~/l -
"2 (p;..q/l
(.)
- P/lq;..) Xab;l
P/lX~~;") - ~L:.mab (q;"X~~;/l - q/lX~~;,,)
(9.92)
= 0 .
Here we use the following notations:
(9.93)
(9.94)
The graphic picture of the BS equation for x~il is shown in Fig.9.2.
Fig. 9.2. Graphical representation of the homogeneous Bethe-Salpeter equation m the

Nambu-Jona-Lasinio model.
Before starting the analysis of these equations, some observations should be m ade:
1) the right-hand sides in Eqs.(9.88), (9.89), (9.91) and (9.92) equal zero only in
leading order in 1/N c . This point will be crucial in solving these equ a tions;
2) the equations for scalar and pseudoscalar bosons coincide in the symme t ric phase
with ma = O. This is because in the symmetri c p hase th ese b050ns are ass igned 1. 0
the (N, iI) EEl (ii, N) representation of the SU L( N) x SU n (N ) gro u p. 'ill cc un der
parity P, (N, iI)
--+
(ii, N), this represe nt a t.i on is irredu cible with res pect to
extended grou p incl udi ng parity P.
1.11 \'
211
In addition, the equations for the invariant functions x~il;l' x~il;4 decouple from
the equations for the functions x~il;2 ' x~il;3 in the symmetric phase. This happens
because these two pairs of functions describe states from different representations
of the SUdN) x SUR(N): while x ~it;l and X~i/4 correspond to the (N , N) ffi
(N, N) representation, x~il;2 and x~il;3 correspond to the (N x N, 1) ffi (1, N x N)

representation.
We begin the analysis of these equations by expressing the functions X~~Jl' X~~AJl
t hrough the function X~)l by using Eqs.(9.88), (9.89) and by expressing the functions
X~~Jl ' X~~>'Jl
through the function
X~~l
by using Eqs .(9.91), (9.92):

(9.95)
(9.96)
(9.97)
(9.98)
T herefore Eq.(9.87) and Eq.(9.90) can be transformed into the following equations for
t he functions
4p2 -
X~)l, and X~~l'

, respectively :
(p) (2 2 P )
q2 + mamb ) Xab:l
P ,q, q
[p2 q2 _ (Pq)2 _ m~bp2 - 2mabt:.mabPq - (t:.m ab)2q2]
+~------------~----------~----------~
(~'
- q2
. X~\(p2,q2,pq) = -
+ mamb)
71"~~2
(9.99)
JatkX~~1(P2,k2,Pk),
(9.100)
II,
n1/ll ,
1'1~ (,.) ( ,2 2
' \,,11 ,1
I ,k , Pk ,
212
The meaning of the relations (9 .95) - (9.98) is rather simple. Let us introduce the
ampu tated BS wave function
_(i) _
-1 (
Xab = G aa ,
P)
(i)
q +"2
-1 (
Xa'b,Gb'b
P)
(9.101)
"2
q-
One can easily check that the relations (9.95) - (9.98) follow from the fact that x.~) and
-(s) are
X
ab
-(p) -
-(p)
-(.) -
Xab - 'YSX ab;I'
-(.)
(9.102)
Xab - Xab;1 ,
that is, the amputated BS functions x.~) and x.~2 each contain only one Lorentz invariant
-(p)
f unc t JOn,
Xa
b;1 an d X-(.)
b;I' respec tlveIy. T h us t h e Nc ---+ 00 Iimit simp Iifi es enormousIy
a
the BS equations.
Although the BS equations are essentially simplified in this limit, they are still
rather complicated, thus demonstrating how complicated the dynamics of relativistic
bound states is. In order to get an insight into this dynamics, we begin the analysis
by considering the chirallimit with m(O)
0 and ma
Goldstone theorem , we expect that there should be N

us consider Eq .(9.99) at PI'
=
2
mb
Because of the
mdyn.
pseudoscalar NG bosons. Let
= 0, ma = mb = mdyn :
2 _ q2) X(p) (q2) =

( m dyn
ab;1
-~Jd4kX(P)
(k 2 )
1r2 A2
ab;1
(9.103)
Comparing this equation with the SD equation (9.78), we see that they coincide if one
identifies the amputated function
X~~1 (q2)
= (mJyn - q2 )
X~\
with CBdyn =
cmdyn,
where c is a normalization constant. In fact, the identity (9.38) tells us that c = 2F- 1 .
Thus in agreement with the Goldstone theorem, at
K.
> 1 and
mdyn
i=
0, there are N 2
pseudoscalar N G bosons in the N JL model.

On the other hand, at PI' = 0, the BS equaiton for the function X~~l (q2) is
2
(mdyn
+q
(s)
2
) X ab;l(q )
4 mdynq
2
2
.
(s)
2 _
IK.
q2 + m2 X ab;l(q) - - 1r2A2
(.)
Xab;l(q)
(9.]01)
dyn
Let us rewrite this equation and Eq.(9.103) in the foll owing form
(!J. 10:' )
2
(mdyn
2 2
(s)
-q) Xab;l(q) -q
.J
1'"
71' 2 i\2
(a)
d kXab;l(k
.J
2 1'"
)+mdy n 2
71'
(a)
~kXab;l(k).
213
(9.106)
In Euclidean space, they are:

( m2dyn +
q2) 2 X(p) (q2) =q2_"'_ J

ab;l
71'2 i\ 2
~ kX(P)
(k 2) +
ab;l
m 2 ..!:.-.
dyn 71'2
J d4kX(p) (k 2) (9.107)
ab;l
2
( mdyn
+
(s) ( 2) _ 2 '" J.4 k (a) (k2)

q2)2 Xab;l
q -q 71'2 i\ 2
a- Xab;l
-
2
'"
mdyn 71'2
Jd4k Xab;l
(a) (k2) (
9.108 )
The minus sign in front of the second term on the right hand side of Eq.(9.108) implies
an additional repulsion (caused by the generation of the fermion dynamical mass) in the
scalar channel as compared to the pseudoscalar one. Because of this repulsion, there
are no nontrivial solutions to Eq.(9.108) and hence there are no massless scalars in this
phase. We will estimate the mass of scalars below; it will be shown that
M; : : : 4m~yn
a t m~yn/i\2 ~ 1.
We note that the appearance of the additional repulsion in the scalar channel is not
,tccidental. It is connected with the point that in the nonrelativistic limit scalars are
bound states with orbital angular momentum l = 1, while the orbital angular momentum
of pseudoscalars is I
= O.
The additional repulsion in the scalar channel is the relativistic
i mage of this difference between scalar and pseudoscalar bound states.
Let us now analyse Eqs.(9.99) and (9.100) with p 2
=f.
O. We will consider the case
with .6.m ab ~ mab when all terms with .6.mab can be neglected. Now the equations take
the following form in Euclidean space (Po
----+
iP4 ,
gO ----+
iq4) :
(9.109)
(9.110)
"!
II ~
1\ ~.
'
/1
( ,, )
0' \ ,II" I
( I"
, 1,
,"
/ ")
.:
214
These equations are difficult to solve because of the dependence of x~il;l on the variable
Pq =
IPllql cos e.
We expand the wave function
x~il;l in Gegenbauer polynomials [9):
00
X(i)
ab;l
(p 2 q2 Pq) = ~ C(i) (p 2 q2) C1(cose) .

"
n;ab
'
(9.111)
n=O
Substituting the expansion (9.111) into Eqs.(9 .109), (9.110) and using the recurrence
formula for Gegenbauer polynomials [9],
cos 2 ecJ(cose)
cos
=4 (cJ(cose) + ci(cose)) ,
ecin(cos e) =~
(Ci(n_l)(COS e)
+ 2cin( cos e) + ci(n+l) (cos e)) , n~l
and some formulae for the angular integrations of Cin [9) , we obtain the following infinite
chain of coupled equations:
(9.112)
1
2
= ",!dz 2z 2(};P)
O;ab (x ' z2) ,
215
and
(9.114)
J
1
d')
2
dz 2 z 2 O;ab (x ' z2) ,
where we introduced the dimensionless quanti tis
(9.116)
It is clear that in order to find solutions of these two infinite chains of coupled
equations, one should find a way to truncate them.

We note that at x 2 = 0 (p2 = 0) , the wave function X(i)
ab jl is X(i)
ab;l = e(i)
O;ab
G~i2;ab with n ~ 1 equal zero; also, Eqs.{9.113) and (9.115) imply that at x 2 ~
.
and all
y2,
the
e(i)
je(i)
.
2(n+l);ab
2n;ab IS
ratIO
e(i)
2(n+l);ab
i)
jd2n;ab
rv
(9.117)
T herefore in first order in x 2 , the terms with e~i;~b in Eqs.{9.112), (9 .114) can be nef.\ lecled , and as a result, in this order, we get rather simple equations for e~lb and
(
,(.)
' U;ab'
lI oweve r th e main question is: why may we assume that x 2 ~ y2 ? Fortunately, in

1.11\' N. I L Illodcl, th ere does
ex i ~1.
a dynallli cal regime in which this assumption is justified.
' I'll(' poilit is th ;d, wh ell th e (:ollplill fl, (olls l.alli. ,,; is rl ose to the critical value
n
,,:
"'{' <t: I , I,il(' dy ll lllll<, il.l
rl ' lllIl"'1
III ,IM"
1II. ly "
iH
7Hd y "
Kc
= 1, i.e.,
A (sec Eq.{9.79)).
216
Dynamical Symmetry Brea king in Quantum Field Theorie&
One may expect that in this near-critical regime, the masses of scalar and pseudoscalar
bound states should be also much smaller than A, that is, x 2 ~ 1. We will show that
this expectation is indeed fulfilled. As to the assumption x 2 ~ y2 (p2 / A2 ~ q2 / A2),
it is equivalent to that assumption that in the N JL model with a near-critical coupling
constant
K.,
the ultraviolet region with q2 ~ A2 is primarly responsible for the formation
of the bound states. As we will see in Chapter 12, this indeed happens there. In fact,
such a trunctation of the BS equations corresponds to a truncation of the expansion
of the effective action in powers of the field derivatives; a "small" parameter in that
expansion is 1/ln (A 2 /p2) (see Sec. 12.11).
As result of the truncation, we get the following BS eq uations valid to the first order
mr:':
in x 2 and
A'
(q 2 + p2
2
+ m a mb)
X(p) (p2 q2)

ab;l'
=~Jdk2k2X(P)
(p2 k 2)
A2
ab;l"
(9.118)
a
A'
(
p2
+2+
4-
mab-mamb
(.)
Xab;l
(p2
,q
2) _ K.
-A2
Jdk2k2 (.) (p2 k 2)

Xab;l"
(9.119)
a
We would like to recall that these equations are valid in leading order of the 1/ Nc
IK. - K.cl ~
expansion and in the nearcritical regime with

With the substitution ~'
+ mamb
---+
1,
K.c = 1.
m~yn' Eq.(9.118) transforms to Eq.(9.103).
Eq.(9.119) transforms to that equation by substituting ~'
+ 4m~b
- mamb ---+
m~yn'
Therefore we can easily solve them.

Let us begin their analysis by considering the model with
= mdyn'
= _p2
The spectrum of M(p)2
m(O)
0, ma
mb
of pseudoscalar bound states and the spectrum
of M(s)2 = _p2 of scalar bound states are determined from the following equations
K.-l=K.
K. _
1 =K.
)
( m2dyn _ M(P)'
2
A2
( 3md2
yn
A2
(A2
In
+ mdyn
2
2
m dyn lIf(')')
2
In
A2 + 3m 2
dyn
3 2
M(P)'
)
2
lIf(p)'
-2-
Indy" -
_ ~
(') ' )
2
M ( ' )'
- 2-
(9. 120)
(9 . 1'2 1)
The dynamical mass

mdyn'
mdyn
is a solution of the SD equation (9.84) with m~O) = 0,
There is a.lways the trivial solution
mdyn =
0, and when K,
217
ma =
> 1, there is also a
nontrivial solution satisfying the equation

m
dyn
K, - 1 = K,--In
11.2
11. 2
+ md2 y n
(9.122)
2
m dyn
Comparing this equation with Eqs.(9.120) , (9.121), we are led to the following conclustons:
a)
the symmetric phase;
mdyn = O.
< 1, the SD equation (9.122) admits only the trivial solution . In this case,
== (M - (i/2)f)2. For
At K,
Eqs.(9.120), (9.121) have solutions with complex M(p)2 = M()2

K
close to 1, keeping only leading terms in f / M, we find:
M2~
2(1-K)
11.2
- Kln [K,/{l-K)]
,
f
11"
M ~ In [K,/(1 - K)]
(9.123)
(9.124)
These states are unstable since they decay into massless fermion-anti fermion pairs.
When 1 -
~ 1, their width f is small.
Thus in this case there are 2N2 spinless
resonances in the symmetric phase.

Let us now consider the case with
>
1. Eqs .(9.120), (9.121) with
mdyn =
0 and
K, > 1 lead to 2N2 scaIar and pseudoscaIar tachyons with

(9.125)
The refo re at
> 1, the symmetric phase is unstable;
b) th e asymmetric phase;
The solution
mdyn
f-
mdyn
f-
O.
> 1. As we showed above,

> 1: there are 2N2 tachyons with the same mass,
0 to Eq.(9.122) exists only if K,
t hc sy mmetric phase is unstable at K,
M2 < O. Eqs.(9.120), (9.121) and (9.122) show that in the asymmetric phase, while the
N 2 psc ud oscala.rs become NG bosons, the N 2 scalars acquire the mass
(9.126)
'I'llis is I.hr faill o lis N.J L n'lal.ioli .
/;
I ,
I.
WI ' <'lIlphil."i~('
that it is valid o nly if Nc
---> 00
and
218
We would like to note that the BS equations for bound states (collective excitations)
in the BCS theory of superconductivity can be analysed in the same way. In particular
one can show that the gap J.l in the spectrum of excitations connected with the fluctuations of the density of the superconducting current n.(x) (see Sec.2.10) is J.l = 21Mdl,
where IMdl is the gap ("nonrelativistic Majorana mass") in the electron spectrum.
The results we have just derived in the N JL model yield the dynamical realization of spontaneous chiral symmetry breaking through the formation of spinless bound
states. One can say that the results yield a dynamical realization of the linear <7-model
considered in Chapter 4.
In principle, in the same way, one can also study other bound states (as vector and
axial-vector bosons, baryons, etc.) in the N 1L model. The result is that in leading order
in liNe and at
IK -
11 ~ 1 there are no light bound states (with M ~ A) among them.
We will clarify the reason for this in Sec.15.4.

Let us now show that the N JL model reproduces also the PCAC mass relation (9.51)
for pseudoscalar bosons.
We consider the mass matrix m~~ = m~O) (jab; the physical mass ma is a solution of
the SD equation (9.84).
Since the mass of pseudoscalars appears only in the combination
in Eq.(9.118), it is clear that the expression for
M~:)2
M;:(p)' + mamb )
takes the form:
(9.127)
where the function f(K) is determined from Eq. (9.118). Actually, we even do not need
to know its explicit form: the point is that at m~O) = 0, the mass ma is equal to th e
dynamical mass
mdyn,
and pseudoscalars are NG bosons with M~:) = O. Therefore we
find that
(9. 128)
This equaiton and Eq.(9.127) imply that
(9. 129)
219
Let us write the mass ma as

rna
+ mcur;a
mdyn
(9.130)
where, by definition, mcur;a is the current fermion mass; the relation between mcur;a and
m~O) is determined from the SD equation (9.84) .

We get the following mass relation from Eqs .(9.129) and (9.130):
(p)2
Mab
= 2mdyn mcur;a
+ mcur;b ) + 2mcur ;a m cur;b
(9.131)
Let us show that in the limit mcur;a, mcur;b ~ mdyn, this relation is equivalent to the
PCAC relation (9.51).
Let us first calculate the decay constant F.
In the PCAC approximation, it is
sufficient to calculate F in the chirallimit with ma = mdyn. Eqs.(9.71) and (9 .95) imply
that
.
2Nc
~F PI' - (2Jr)4 PI'
Jcr
q(
(p) (
(p)2 2)
2mdyn_ 2) Xab;l
M
,q
m dyn q
IM(p
=0 .
(9.132)
Using Eq.(9.38), we find that this relation takes the following form in Euclidean region:
J
,\2
Nc
F = 47r 2
2
2 2
dq q (
m~yn
2 +
m dyn
2
Nc
A
2)2 ~ mdyn47r2In md2 .
q
yn
2
(9.133)
We will discuss the logarithmic divergence in F2 in a moment.
< {i'/f; > is
The condensate
J
,\2
< 1jJ1jJ
>= -N lim trG(x) =

x~o
Nc
--2
47r o
dq
Nc 2
2 q2m dyn
2
2
~ --2 A mdyn
47r
q + md yn
(9.134)
Th e last thing which we need for comparing Eqs.(9.51) and (9.131) is the relation
(0)
d
m a an mcur;a. In first order in mcur;a, we find the following relation from the
between
SD equat.ion (9.84):
(9.135)
1;qs. (9. I:n),
( 9 . 1 : 1~ )
;\.IId (!l.I :IS) i ll'l>ly t hat th e
rna~s
relat ions (9. 51) and (9.1 31) are
220
Let us now return to the logarithmic divergence in F2 (9.133). At the first glance,
this may appear surprising: the decay constant is an observable, and it should be finite in
the continuum limit. To understant this point, let us consider the Goldberger-Treiman
relation (see Sec.4.S):
(9.136)
It is easy to check that gA = 1 in leading order in liNe. Then Eqs.(9.133) and Eq.(9.136)
imply that the Yukawa coupling gy, determining the interactions between fermions and
NG bosons in the low energy region, goes to zero as A
--+ 00 .
This point shows that
the N JL model should be considered as an effective theory describing the dynamics up

to a scale of the order of A. Therefore we should keep cutoff A as a free paramter in the
model. In more realistic theories, like QCD, the decay constant is finite in continuum
limit. We will discuss this point in more detail in Chapter 12.
9.6. WHY DOES THE FERMION DYNAMICAL MASS STABILIZE THE VACUUM?
At
> 1, there are tachyons in the symmetric vacuum of the N JL model. Their
presence implies that the vacuum is unstable. In fact, as was shown in Sec.7.7, a tachyon
leads to an imaginary part of the vacuum energy density:
M4
ImV = - - M2
641r '
<0.
(9.137)
Why does the appearance of the dynamical mass remove tachyons and so stabilize the
vacuum?
The answer to this question is in fact given in Eq.(9 .127):
(9.138)
At K > 1, the function f(K) is positive, and rna = 0 implies that there are tachyons in
the symmetric phase. Eq.(9.138) shows that the square of the mass of a bo und s tate
monotonically increases with increasing masses of its constituents. At f(K) = 2m'~y ulIl 2,
the tachyons become massless NG bosons.
Therefo re th ere arc
11 0
vacuum with spontan eo us chiTal symmetry hrcakin g, amI it is stil,hlr .
tac hyolls ill I.h e
This process is illustrated in Fig.9.3.
At ma = mb = 0, there are scarar and
pseudoscalar tachyons with the same mass: M(')' = M(p)'

increase with increasing m
ma
mb .
221
At m
< O. Both
m('), M(')'
M(')' and M(p)'
equals zero, however,
M(p)' is still negative at this value of m . Only at m = mdyn, all the tachyons disappear
from the spectrum: there are now the N 2 NG pseudoscalar bosons and the N 2 massive
scalars with M(')' ::: 4mdyn'
mdyn
(p)
Fig. 9.3. An illustration of the behavior of M2 as a function of the fermion mass m for scalar
((5)) and pseudoscalar ((p)) bound states in the N ambu-lona-Lasinio model.
This consideration shows that the vacuum stabilization by generating dynamical

fe rmion mass is a rather universal phenomenon.
Chapter 10
Critical Coupling Constant in the Problem of Dynamical Chiral Symmetry Breaking in Gauge Theories
10.1.
INTRODUCTION
As was shown in Chapter 6 and Sec.9.5, spontaneous chiral symmetry breaking in

the Nambu-lona-Lasinio model occurs only if the coupling constant
critical value
Kc
is larger than the
= 1. This is contrary to the BCS model of superconductivity where the
spontaneous breakdown of the U (1) gauge symmetry occurs at any positive value of the
coupling constant. In other words, the critical value gc is gc = 0 in the BCS model.
This difference between these two models is not surprising. As was emphasized in
Sec .2.8, the result gc = 0 is intimately connected with the presence of a Fermi surface in
a fermion gas (or liquid). Since there is no Fermi surface in relativistic field models with
zero fermion number density, the dynamics of spontaneous chiral symmetry breaking
should be rather different in this case.
This point can also be understood in the following way. Spontaneous chiral symmetry breaking leads to a nonzero fermion dynamical mass mdyn and to the appearance of pseudoscalar massless NG bosons composed of a massive fermion and a massive antifermion. Therefore NG bosons are characterized by a large binding energy,
6.E = 2mdyn - M(p) = 2mdyn' It is natural that the dynamics producing such bound
states should be rather strong.

Of course, the "strong dynamics" may imply not a large coupling constant but a
specific form of the kernel in the BS equation for NG bosons. What we would like
indicate here however is that the presence of the critical coupling in the problem of
spontaneous chiral symmetry breaking is hardly surprising. The important point is to
understand its dynamical origin and to estimate its value in concrete models.
In this chapter, we will consider qualitative features of the dynamics of s pont,tn eo llS
chiral symmetry breaking in vector-like gauge theories. We wi.1I show that a.
II O Il~ f O
crit-
ical coupling const ant appears naturally in t.his problem, and it a.dmits a. d ea.r physi n tl
interpretation.
Critical Coupling and Dynamical Chiral Symmetry Breaking
223
The history of the problem of the dynamical generation of a fermion mass in

quantum gauge theories traces back to the paper of Landau, Abrikosov and Khalatnikov (LAK) [ 1
J,
in which the running (in the modern language) fermion mass was
considered in QED. In the approximation corresponding to the one-loop approximation for the renormalization group equations, they derived the following expression
for the function m(p2) = B(p2)/A(p2) in Euclidean region (the fermion propagator
G(p)
[PA(p2) - B(p2)] -1 with f; = P/J'Y/J) :

N e2
2
p 2 ] 9/4N
m(p) ~ m [ 1 - - I n - 2
p'>m'
37l"
m
(10.1 )
'
where m is the physical fermion mass, and N is the number of fermion flavors. The
bare mass m(O) is given by m(p2)lp2=A2, A is ultraviolet cutoff, that is,
m(O)
=m
N2
A2]9/4N
1 - _e_ In 37l"
m2
=m
(~)
9/4N
a(O)
(10.2)
where a =
. ~ -L and the bare coupling a(O) is
- 4 .. - 137'
(10.3)
The approximation is valid at a,(O)
;s
1.
The expression (10.2) shows that at a(O)
,-v
I, the ratio
m;>
is rather small if N
is not too large. LAK wrote that "it can evidently be supposed that .. the mass of
a ll
electron is of wholly electromagnetic origin". They also emphasized that this point
might be es tablished only beyond perturbative theory.

The further development of the problem was connected with the program of Baker,
hnson and Willey (BJW) [2, 3] and Adler [ 4 ] (see also Refs .[ 5,6,7]) known as finite
Q1m. Th:s was based on the result of Gell-Mann and Low [8] about the necessity of the
('x isl.ence of a n ultraviolet stable fixed point a(O) = a j for constructing local interacting
Q lm. The BJW analogues of the relations (10.]), (10.2) are (at
aj ~
1)
,.
(IDA)
224
(10.5)
Thus, the bare mass m(O) is necessary equal to zero in finite QED!
A problem with this program was in fact to show how one can overcome the Goldstone theorem implying that spontaneous chiral symmetry breaking in QED leads to
the existence of a pseudoscalar electron-positron massless bound state (massless parapositronium!) which is certainly absent in nature. Baker, Johnson and Lee [ 3] (see also
Ref.[ 6 ]) gave arguments showing that in t.he general case the equality m(O) = 0 in loca.!
QED does not imply the conservation of the axial current. Therefore the Goldstone
theorem may be avoided even at m(O) =
o.
Thus at that time, the conventional wisdom was that there is no spontaneous chiral
symmetry breaking in QED, even although the fermion mass m may be dynamical [ 3,
6, 7, 9 ].
The situation changed since the works of Maskawa and Nakajima [ 10 ] and Fomin
and Miransky [ 11] (see also Ref.[ 12]) . Maskawa and Nakajima studied the SchwingerDyson (SD) equation for the fermion propagator in the ladder approximation in QED
with a finite cutoff A. They showed that there is a spontaneous chiral symmetry breaking
solution at the values of the coupling constant a larger than the critical value a e =
(in Landau gauge). Fomin and Miransky, using renormalization grou p arguments and
analyzing Dirac's equation with the supercritical Coulomb field - ::;, Z
> Ze::: 137, put
forward the hypothesis about the principal role of the supercritical Coulomb-like forces
in triggering dynamical chiral symmetry breaking in gauge theories, in particular, they
suggested that the vacuum rearrangement underlying this phenomenon is intimately
connected with t.he vacuum rearrangement in the case of a charge fermion in the extern al
supercritical Coulomb field .
The next important step was done by Fukuda and Kugo [ 13 ] who explicitly a nalyzed the solution of the SD equation for the fermion propagator in lad de r QE D. Fo rnin ,
Gusynin and Miransky [ 14, 15] analyzed the Bethe-Salpet er (BS) eq ua ti ons for spill less bound states in ladder QED and showed th a t th e equa ti ons desc ri be co nsiste ntl y
spontaneous chiral symmetry breaking at s upercriti cal a
> ae =
7r
/ 3.
Thus, these studies reveal ed th e exi stence of it ne w s li perc riti ca.l pha!<l' , a,t i<' ilSt ill 1./1('
ladder approxima ti o n, in QED. T he presl' nt a llt.ho r pil I, fo rw iud t. hl' hypo "h l's is
r I (i ,
17
225
that the supercritical phase in QED exists beyond the ladder approximation. He in
particular suggested that the renormalization structure in the supercritical phase should
be different from that in perturbative phase; the critical value Gt = Gte was treated as
an ultraviolet stable fixed point defining the continuum limit in supercritical QED (see
also the reviews [ 18 ]).
Bardeen, Leung and Love [ 19 ) indicated that because of a large anomalous dimension of the composite operators
1f;1/J and i1f;'Ys1/J at Gt
= Gte, the chiral invariant
four-fermion operator
(10.6)
becomes a marginally relevant one, i.e. its dynamical dimension becomes d = 4 at
Gt = Gte. Therefore this operator may play important role in the dynamics of supercritical
QED.')
One should indicate that, in parallel with these analytical studies, QED was studied
in lattice computer simulations. The Illinois group discovered the second order chiral
phase transition at a nonzero Gt = Gte in quenched lattice QED [20). Then the systematic
studies of Kogut, Dagotto Kocic and Hands et al. [21), Horowitz [ 22 ), the Edinburgh
g roup [ 23 ) and the DESY group [ 24 ) showed the existence of such a phase transition
in full QED, at least with a small (N ~ 8) number of fermion flavors . We will discuss
t hese results in more detail in Sec. 14.6.
The import.ant point is that the dynamics with critical and supercritical Coulomblike forces found its applications in such important problems as chiral symmetry breaking
ill QCD and electroweak symmetry breaking.
We will discuss these applications in
C hapters 12 - 15. In this chapter, we will discuss the basic properties of this dynamics.
lO .2.
THE SCHWINGER-DYSON EQUATION IN THE RAINBOW (LADDER) ApPROX-
IMATION IN
QED
In S c.8 i l, we considered the two-loop effective action for composite operators in
q 1m an I derived the SD equati on ro r th e brnio n propagator G(p) = (pA(p2) _ B(p2)) -1.

III L a lld a,1I 1-\(\,11 1-\<', th e <'qu ,lti o ns ror 11(7)2) a,lId R(/)2 ) take th e rollowing rorrn in Euclidean
226
region:
(10.7)
(10.8)
where, for simplicity, we consider the same bare mass
m(O)
for all fermion flavors.
The graphical picture of the SD equation is shown in Fig.8.6. In the literature,

the present approximation is called the rai nbow (or ladder) approximation. As will be
shown in Sec.1O.5, the Landau gauge is most preferable in this approximation from the
viewpoint of the Ward-Takahashi identities.
Differentiating equation (10.8) in p2, we find that its solutions satisfy the differential
equation
(10.9)
and two boundary conditions:
(10 .10)
(10.11)
The nonlinear equation (10.9) can be solved only numerically [ 13] . However one can use
the following linearized version of Eq.(10.9) which approximates very well the original
equation in the whole Euclidean region [ 14, 18]:
[2
dpdB]+ 3a
dp2
where m
dp2
41r (p2
+ m 2)
-0
,
(10. 12)
== B(O). It is clear that this equation is a good approximation to Eq.(10. 9)
in both infrared (p2 ~ m 2) and ultraviolet (p2 ~ m 2) regions. The numerical analys is
shows that it is a good approximation even at p2 ~ m 2.
We emphasize however that it is a good approximation to Eq.(JO.9)
III
Eucl idea,1I
region only. The properties of these two equ a.ti ons are essenti ally different in Minkowsk i
region. We shall return to this point in Sec .lO.lO ,
227
The great advantage of Eq.(1O.12) is that its general solution is expressed through
the hypergeometric function [ 25 ):
B(
2)
=C F (1
1
+2 W ' 1 -2W"2'P
_ 21m2)
(1-2-'
+ -2-,1+w;-p
1
21m2)
1
+ ( p22) -~ (1 -
p2 )
+C2 [ ( m 2
-~ F
w w -
w -w -
(10.13)
2 2) ] ,
-2-' --2-' 1 - w; -p 1m
where w = (1 - 3a/7r)1/2. Using the expansion for the hypergeometric functions near
p2
= 0, one finds
from Eq.(10.10) that C2
B(p ) = mF
= 0, and therefore C 1 = m, that is,
(l+W
1-w
-2-' -2-,2;
-p21m2)
(10.14)
The second boundary condition (10.11) yields a relation between m, m(O) and A. In
order to find it, we need the asymptotic form of B(p2) (10 .14):
B(p2)";m'
m[r (~)(;\~) (:22) ~~I

+
-r-;(-:-12-~":"'--;-'~"""3--2
\
w"""')
(:22) -(~+I)]; at a
<
i'
(10.15)
( 10.16)
8(p2)
wh e re
~ m
.'>'"' (
'1
w= ( .:
-
- ) 1/2
8cth~
_ ( _2
7rW W
1)
p2
(-2)
m
-,I
p2
7r
sin (-2In-2 +W(2In2-1) ;at a > -,

m
3
(10.17)
1) 1/2 .
Sll bstitlli.ill g th ese exprc'sHio lls ill I':q.( 10. I I) , we lead to th e following conclusions :
228
The relation between m, m(O) and A is
r(w)
(0)
(10.18)
m ::,mr(",)r(~)
At
Cl'
1, it transforms to the BJW relation (10.5). This is not surprising since there
is no charge renormalization in the ladder approximation (the renormalization constant
23
= 1; Cl'(0) = 2 3 1 Cl'),
and therefore each value of
stable fixed point (in fact it is true only at
>
Cl', Cl'
Cl'c,
Cl'
Cl'
<
can be considered as an ultraviolet

Cl'c
f;
the case of supercritical
will be discussed below).
The relation (10.18) implies that at finite A, if m(O) = 0, the physical mass is also
<
equal to zero. Therefore there is no spontaneous chiral symmetry breaking at
Cl'
and finite cutoff A. One the other hand, the bare mass
00,
m(O)
goes to zero as A --+
Cl'c
and
therefore the physical mass m can be considered as purely dynamical in this continuum
limit. Does spontaneous chiral symmetry breaking take place in the continuum limit
A --+
b)
Cl'
00
Cl'c
? We will show in Sec. 10. 7 that the answer to this question is negative;
j.
The relation between m, m(O) and A is now

4
m(O)::, m;
As in the case of
Cl'
<
Cl'c,
( In m
A
+ 21n2 -
(m
A
1)
(10.19)
-1 .
there is no spontaneous chiral symmetry breaking at
Cl'
Cl'c
and finite A;
c)
Cl'
> Cl'c =
f.
Substituting the expression (10 .17) for B(p2) in Eq.(l0.11), we find the relation:
(10.20)
where ~(w)
= arg
IN:.).
Let us consider the chirallirnit with m(O)
= o.
In this case
we find the following relation from Eq.(10.20):

sin (WIn
~
+ ~(W))
mdyn
a.
( 10.21)
This equation has an infinite number of nontrivial solutiolls for tt.r dyna.llli c;ll
III ;~~S
mdyn.
At the near-critical values of ey, satisfying the condition ey -
eYe ~
1, they are
m~:~ ~ 411 exp (-7rn/w) , n = 1,2, .. .

Thus, at ey >
229
(10 .22)
j, there is spontaneous chiral symmetry breaking in ladder QED. As

we will see in the next section, only the largest value mdyn = m~~~ leads to the stable
vacuum; we will also clarify the physical meaning of the solutions m~:~ with
2: 2
=
eYe
there.
Let us indicate the following characteristic points of the solution with ey >
eYe:
1) in the ladder approximation, the renormalization constant of the electromagnetic

field, Z3, is equal to one. In perturbation theory, this would imply that in the chiral
limit with
m(O)
==
0, the theory is scale invariant. However it does not happen for the
nonperturbative solution (10.22): indeed, there is a new nonperturbative mass divergence at ey >
eYe,
and the ultraviolet cutoff A. (or
mdyn
which is proportional to II) spoils
the scale symmetry.

What will happen in the theory as II
that the dynamical fermion mass
constant ey goes to
eYe
mdyn
--+
oo? Eq.(10.22) with n = 1 implies
remains finite in this limit only if the coupling
= 7r/3:
(10.23)
From the point of view of the theory of phase transitions [ 26], the critical coupling a e
corresponds to the continuous (second order) phase transition. It separates two phases:
the symmetric phase with a
< a e and the phase with spontaneous chiral symmetry
> a e . The phase transition is continuous since the order parameter

~ 411exp (-7r/ (3: - 1)1 /2) continuously goes to zero as a --+ a e = 7r/3 from
breaking at a
mdyn
the side of the asymmetric phase~)

We will show that the scale symmetry remains broken here even in the continuum
lilliit with /I
l"iI.y
--+ 00
1)(' inl<, rpr('i.ed
and
(\$ ;1.11
mclyn
being finit e. The critical coupling constant
IJllriwiold st;thl (' fix <'d point.
ac
= 7r/3
230
Dynamical Symmetry Brealcing in Quantum Field Theories
2) The characteristic feature of the supercrit.ical solution (10.17) is the presence of

oscillations in the function Bdyn ' Since the Bethe-Salpeter function of NG bosons X<>(q2)
at pJ.' = 0 is expressed through Bdyn (see Eq.(9.38)),
(10.24)
this in turn implies that there are also the oscillations in the wave function of N G bosons.
As we will see in Sec. lOA, the oscillations is a manifestation of the field theoretical
analogue of the "fall to the centre" (collapse) phenomenon well-known in quantum
mechanics [ 27].
10.3 .
THE BETHE-SALPETER EQUATIONS IN LADDER
QED
In Sec.9.5, we analyzed the BS equat.ions for spineless fermion-antifermion bound

states in the Nambu-Jona-Lasinio (NJL) model. In this section, we will consider these
equations in ladder QED. Our main aim here is to show that ladder QED with the
supercritical coupling constant a yields a dynamical realization of spontaneous chiral
symmetry breaking scenario considered before in the linear a-model (see Chapter 4) .
The BS wave functions for pseudoscalar and scalar bosons composed of the a-th
fermion and the b-t.h antifermion (a, b = 1,2,, N) are:
(p)( P) _
Xab q,
-
1
V2
[ (p)
Xab;l
(p) p
(p).q
(p) J.'v (P
+ Xab;2
+ Xab;3
+ Xab;4a
J.'qv
P)]
vqJ.' /5,
(10 .25)
(10.26)
2
where X(p)
ab;t' X()
ab;t depends on p , q2 , Pq (as in Eq . (9A1), the factor
+'V"2 is introduced
here for convenience).

The expression (8.113) for the BS kernel in t.he two-loop approximation in QED i neludes two terms corresponding to the two terms in the effective action (8.59). The firs t
term corresponds to the photon exchange forces (ladder approx imatio n) ; th e second li e
corresponds to the annihilation forces (see Fig.8.5). As was already indicitt(' I ill Sec.R .'I,
the annihilation forces do not contribute to th e SO cquatioll . Sin ce at 1)1'
= 0, I.h('
liS
wave function of NG bosons is expressed through
Bdyn
231
(see Eq.(10.24)), the annihila-
tion term does not contribute to the equation for this wave function either. However,
it certainly contributes to the BS equations for massive bound states. Nevertheless,
we will ignore this contribution in the following and consider only the exchange forces
corresponding to the ladder approximation . Graphical representations of the BS equations with the kernel (8.113) and the ladder kernel are shown in Fig. IO .1 and Fig.1O.2,
respectively.
Fig. 10.1. Graphical representation of the homogeneous Bethe-Salpeter equation with the
kernel (8.113) in QED.
Fig. 10.2. Graphical representation of the homogeneous Bethe-Salpeter equation in the

ladder approximation in QED.
The ladder BS equations for the wave functions (10.25), (10.26) take the following
fo rm (compare with Eqs.(9. 87) - (9.92)):
;,,) p S( ' lI d()~c;d ; ,,' (./ " (;
()
I ) Il I.;d.( .
232
Dynamical. Symmetry Breaking in Quantum Field Theorie&
(:2 _
+ mamb)
q2
X~;l - (mab P '" + !::,.mabq"') X~;",
2
- 2i (p q2 - (pq)2)
X~;4 = ~;3
d4kDt(q -
k)x~\(k,P)
(10.27)
(10.28)
P
(4
q - mamb
(p)
i
(p)
Xab;)"", - 2" (P)..q", - P",q,,) Xab;l
._
((P)
(P))
.!::"mab (p (p)
P (P))
- zmab q"Xab;", - q",Xab;)" - z-4)..Xab;", - ",Xab;)"
(10.29)
~;~ d4k[2DHq-k)X~;"'v(k,P)
2D~(q - k)x~J(k, P) + D~(q - k)x~j(k, P)] j
b) scalar (0++) states:

2
P
4
-
q - mamb
(.)
Xab;l
_
'"
!::"mab "') (,)
2mabq - -2- P
Xab;",
(.) -- 4?r
W
+ 2z. (()2
Pq - P 2q2) Xab;4
3
4p2 -
= -zoo
4?r 3
+ mamb
Jd
(10.30 )
(.) l ( k, P ) ,
a-14k D","'( q - k) Xab;
(.)
i
(. )
Xab)", - 2" (P)..q", - P",q)..) Xab;l
+ imab (p)..x~SL
4
P"'X~~)..) -
i !::"mab
(q)..X~'::", - q'jX~~)..)
(.)( k, P )
k [V(
2D).. q - k )X"'V
-
2D~(q - k)x~~!(k, P) + O~(q - k)x~':~(k, P)]
( Io.n)
Critical Coup ling and Dynamical Chiral Symmetry Breaking
233
Here we use the same notations as in Eqs.(9.93), (9.94). The photon propagator is
(10.33)
As was already indicated above, the Landau gauge
(~ ~
00) is the most preferable in
the ladder approximation (for more details see Sec.1O.5). However, we consider here the
genera] covariant gauge; the reason for this will become clear below .
The system of equations (10.27) - (10.32) is much more complicated than the system
of equations (9.87) - (9.92) in the N JL model. In that case, the functions x~iLJ' x~iL.v' i =
p or s, are expressed through the function x~il;1 and this enormously simplifies the
problem. Unfortunately this can not be done in ladder QED and therefore the analysis
of the QED BS equations is essentially more complicated [ 14, 15].
Let us first consider the equations for pseudoscalars. They essentially simplifies at
PI'
=0
(massless NG bosons). In particula.r, the equation for the invariant function
X~~l is isolated in this case:

(10 .34)
= mb = mdyn in the chirallirnit. With the substitution (m~yn - q2) x~\ (q2)
B(q2), 0' (3 + ~-1) ~ 30', this equation transforms in the linearized version of the
where ma
~
SD equation (10.8) with
m(O)
= 0, and therefore we can use the results of the analysis
of that equation.
The general solution to Eq.(1O.34) takes the following form in Euclidea.n region:
(q2) = C (q2
X(p)
ab; 1
+ m 2 )-1 F
(1
dyn
+ w(O
2'
1 - w(O 2. _q2/m2 )
2
"
dyn
At A < 00, the nontrivial solutions exist only if 0' > O'c(~) =
7r/ (3 + ~-1).
(10.35)
At 0' > O'c(O,
there are an infinite number of the solutions with mdyn defined from the equation
m~;~ :::: 4A exp (-7rnlw(~, n = 1,2, ,
(10.36)
wh e re
w) =
'I'hIlS , "1 ~.ss l ('ss NC hOHO IlS
IIPP (', I/
(\'~<)
li t tI,,
1/2
- 1)
V,dlll'S
(10.37)
.
or mdv"
(n)
71l tlyn
rrom the relation
234
(10.36). As we will see, only the largest value m~~~ leads to the stable vacuum.
Let us turn now to the analysis of the system of equations (10.27)-(10.29) at PI'
o.
As we have already indicated, the Landau gauge with ~-1 = 0 is the most preferable in
the ladder approximation (see Sec.1O.5). We note, however, that in this approximation
the form of the BS equation for NG bosons is the same in all covariant gauges, and the
only distinction is in the coefficient of the coupling constant a: as ~-1 = 0
coupling constant a
-->
--> ~-1,
the
a(l + 1/30 (see Eq.(10.34)). Therefore, in this approximation,
the physical picture of dynamical chiral symmetry breaking should be similar in the
gauges with I~I
::;
1, in which the critical value ac(~) is of order one. We will use this
fact in the following .

The system of equations (10.27)-( 10.29) simplifies in the Feynman gauge with ~ = 1:
the right-hand side of Eq.( 10.29) vanishes and the equation becomes purely algebraic in
this gauge. In the chiral limit (PI' = 0, ma = mdyn) , the system has a solution of the
form
. (p)
zXab;l
(p)
Xa b4
. = - 2 ( q2
At PI'
X(2P)
+ m 2dyn )'
= X3(P) = 0
(10.38)
0, we will use the approach used before in analyzing the BS equations in the
N JL model, that is, we will expand the wave functions in a double perturbative series
IPI
in
and ma .
Considering Eq.(1O .28) as an inhomogeneous equation for the function X~~I'

P X(p)
I'
ab;2
+ qI' X(3p) ,
we find that
( 10.39)
We assume now that L!.mab
mab (the smallness of the breakdown of the SUv(N)) .
Then, we find from Eqs.(10.38), (10.39) that in the first order in
IPI2 and mamb, equation
(10 .27) reduces to the following equation ( in Euclidean region):
~P2
+q +mamb
(pq)2]
q2
(p) (
Xab;J
) _
P,q,Pq -
71"3
d k
(p) ( 2 2
.)
(q _k)2X ab;l P,k,Pk
( 10.'10)
Let us show that in this order, we may take the fun ct ion X~~ I to be indepelld ellt.
of Pq. In order to show this , we expand th e kern el (q - k) - 2 ano t.h e flill ci.ioll X~.';/ I ill
235
Gegenbauer polynomials C~ [ 28 ]:
(10.41)
00
(p2 q2 Pq) = ~ d
X(p)
ab;l
"
~
n=O
ab;n
(p2 q2)C 1 (cos B)

'
(10.42)
where
q. k
B
p .q
t = k 2/q2, cos<p= \q\\k\'
cos = \P\\q\ '
(10.43)
Substituting the expressions (10.41), (10.42) in Eq.(10.40) and using the addition theorem for Gegenbauer polynomials [ 28 ], we obtain the following infinite chain of coupled
equations (compare with Eqs.(9.112), (9.113));
+l
4
( ~p2
p) - ~p2 (d P) + d ) )
+ m amb) dab;O
4
ab;O
ab;2
(10.44)
A2
=~J
'iT
p
2
dk 2K 0
(q2, k2)dab;O'
) (p2 k )
1 p2 (d P)
2d p) d p) )
4:3 p2 + q2 + m am b) dp)
ab;n - 4:
ab;n-2 + ab;n + ab;n+2
(10.45)
A2
=~J
1r
p
2
) (p2 ' k )., n >
dk 2K n
(q2, k2)dah;n
- 2
o
where
(10.46)
III th e 'hiral limit , 1 2 = 0, th (' rllncti oll

V;'lIi Hh. ( ;I)II Hi,l('rili t-; Eq .( IO .tl S) a"
,'.11
v (p)
\ fl b;1
C(p)
ab ;O'
and all C(aPb)"n with n
>_ 0
ill l"",,,,,,P III'O IiS integra.l cilua.t.ion ror harmonics
236
C~~n with n 2 2, we find that

/C(p)
'" p2
C (p)
ab;n
ab;n- 2
.
( 10.47)
Therefore, to first order in p2, the term p2C~~2 in Eq.(10.44) can be neglected, and we
are lead to the equation
(10.48)
The left-hand side of this equation coincides with the left-hand side of Eq.(9.118) in the
N JL model, but the integral kernel here is essentially different.
How well is this approximation ? At present, the only way to answer this question
IS
to use a numerical analysis of the BS equations. Results of such an analysis are
encouraging [ 29].
Let us discuss the physical consequences of equation (10.48). With the substitution
~2 + mamb ~ m~yn' this equation transforms into Eq.(10.34) with ~ = 1, which is

in turn equivalent to the linearized version of the SD equation (10.8) with m(O)
= o.
Therefore we can use the results of the analysis of the latter.

As follows from that analysis, the mass spectrum of pseudoscalars is determined
M(p)'
by Eq.(10.22), in which m~yn ~ mamb - ~, where Ma~
)2
= _p2, and W ~
w(~) I~=1 = (4; - 1)1/2. Therefore we get:

(P)' -- 2mamb - A2f(n)( Cl' )
M ab;n
(10.49)
where
f(n)(Cl') = 32exp (
(
-2?rn)1/2 ),n = 1' 2, ...
4<>
--1
Let us discuss this relation in the foll owing three cases:
1)
ma = mb = O.
(lO.50)
237
This case corresponds to the symmetric (massless) phase . Eq.(1O.49) implies that
at a
> a c, there are tachyons in this phase (in fact , an infinit.e number of tachyons).
Therefore at supercritical values of a, the symmetric phase is unstable.

2) rh(O)
= 0; ma = mdyn-
This case corresponds to the phase with spontaneous chiral symmetry breaking in
chiral invariant QED. Because of the Goldstone theorem (see Sec.3.4), there must be
massless NG bosons in this phase. The condition M~1) = 0 results in the equation for
the dynamical mass mdyn:
m(n)'
dyn
= ~A2
f(n)(a)
2
'
= 1,2,
(10.51)
Each value m~~~ defines its own fermion propagator and, therefore, its own vacuum.
However, as follows from Eq.(10 .49), only t.he largest value m~~n leads to the stable vacuum: at mdyn
= m~~~ wit.h n 2: 2, the bound states with M~1:: = A2 (t(n)( a)
- f(i)(a)),
i < n, remain tachyonic.
In the stable vacuum with mdyn = m~~n' there are an infinite number of radial
excitations for each NG boson. Their masses are
(10.52)
Of course, their presence is a manifestation of the long range character of Coulomb
forces.
3) rh(O)
0, ma = mdyn
+ mcur;a.
This case corresponds to the PCAC dynamics. The mass mcur;a is the current mass
of the a-th fermion. By proceeding in the same way as in the case of the N JL model,
we derive the same PCAC mass formula (see Eq.(9.131)):
(p)'
Mab
= 2mdyn mcur;a
+ mcur;b ) + 2mcur;amcur;b
(10.53)
T itus , tlt r esse ntial <Ii rrcrr ncr of tlt r dyn ami cs of spontaneous chiral symmetry breakill g ill QI';J)
a~
('olllpa,rl'd to I,It p N.lL IlHHlpl
i~
lit e s pcctrum of th e radial excitations of
N( : II <I~()I I " rdl "cI, ill /i, t.Il1 IOIl K 101" 11." , 1, 111 ,II 1."1 .. f ( :0 ,,1011111 for ccs .
238
Let us consider now scalar (0++) bound states.

First of all, because of the same reason as in the case of the N JL model (see Sec.9.S),
the BS equations for scalars coincide with the BS equations for pseudoscalars in the
symmetric phase. Therefore at a > a c , there are an infinite number of scalar tachyons
in the symmetric phase.
Unfortunately, in QED, unlike the NJL model, we cannot solve the BS equations for
massive scalars, even to first order in p 2 and
mamb o
In the N JL model, the functions
X~~A and X~~AI" are expressed through the function X~~l from Eqs.(9.91), (9 .92) . However we cannot do this in QED . We cannot use also the trick used in the equations for
pseudoscalars above: although Eq.(1O.32) becomes purely algebraic in Feynman gauge,
X~~AI" can be expressed through X~~l and X~~I"' we cannot neglect the contribution of X~~I" in Eq.( 10.30), due to the presence of the term 2mabqI"X~:~1"
and therefore the function
there. As a result, massive scalars are described by a system of two integral equations
even in Feynman gauge. Nobody has yet succeeded in solving them.
However, we still can show that in the asymmetric phase, with spontaneous chiral
symmetry breaking, scalars are heavier than pseudoscalars. In order to show this, we
will follow the way already used in the NJL model in Sec.9.S (see Eqs.(9.10S) , (9.106)),
that is, we will compare the BS equations for massless scalars and pseudoscalars.
First of all, we note that at pI" = 0, the BS wave function for scalars has the
following general structure:
(0)
Xab =
1 [(0)
(0) ]
J2
Xab;l + QX ab;3
(1O.S4)
At pI" = 0, the system of Eqs.(10.30)-(1O.32) is reduced to the following pair of equations

in Landau gauge:
(1O .SS)
(q2 -
2)
mdyn
( 0)
Xab ;3
+ 2 mdyn Xa(0)b;1 =
0.
( IO.5G)
239
The purely algebraic character of Eq.(10.56) is the consequence of the identity
(10.57)
which follows from formulae for the angle integrations in Euclidean space (see Sec .B.4
in Appendix B). Eqs.(10 .55), (10.56) lead to the following equation:
(q
2 ) 2 (.)
+ mdyn
Xab;l
2 ,, [ (.)
= q R
Xab;l
1-
mdyn
K [ (.)
Xab;l
1'
(10,58)
where
(10.59)
Let us compare equation (10.58) with equation (10.34) for NG bosons which can be
rewritten in the form (~-1 = 0):
( q2
2 ) 2 (p)
+ mdyn
Xab;l
q2 K [X (p)
a b;l
1+ mdyn
2 K
[ Xab;l
(p)
(10.60)
The minus sign in front of the second term on the right hand side of Eq.(1O.58) implies
an additional repulsion in the scalar channel as compared to the pseudoscalar one. This
in turn implies that there are no nontrivial solutions to Eq.( 10,58) describing massless
scalars. Therefore scalars are heavier than pseudoscalars. Of course, as in the case of
the N JL model, the physical reason for this is that scalars are bound states with the
orbital angular momentum I
= 1, while the orbital angular momentum of pseudoscalar
bound states is zero.
IDA,
THE SUPERCRITICAL DYNAMICS AND THE COLLAPSE PHENOMENON
At th e end of cc. IQ,2 , we already indicated that the characteristic property of the
BS wave fUllcti o ll for N : bosoll s ill la,dd !'!' QED is th e occ urrence of oscillations, Let us
di sc uss thi s poillt ill
"'0 1'( '
dd l,il.
240
In Euclidean region, the wave function for NG bosons takes the form (see Eqs.( 10.17),
(10.24) ):
(10.61)
S th "W
Bdyn(q2),C:=,
mdyn
p >md,n
7rW~~~2T)
W +1
) 1/2 (
-+- -t
2
m dyn
sin
:::ln~+w(2In2-1)
2
m
2
dyn
(10.62)
with
w=
1/2
(
{;; - 1)
. If we consider
and any finite value of
mdyn,
mdyn
as a free parameter here, then at A =
00
this wave function has an infinite number of zeroes. This
is a typical manifestation of the collapse ("fall to the centre") phenomenon which is

well known in quantum mechanics: in this case , there is no ground state (vacuum) in a
system [27]. Indeed, the wave function of the ground state has no zeroes: wave functions
with zeroes describe excitations. The wave function (10.61) describes a massless bound
state, M2 = O. In relativistic theory M2 plays the role of energy. The presence of an
infinite number of zeroes in this wave function implies that at any finite value of
there should be an infinite number of states with
M2
mdyn ,
< 0, that is, tachyons. But that
is exactly what we have already encountered in ladder QED. Indeed, let us rewrite the
mass relation (10.49) as
(p)' _ ')
Mn
where
A
mdyn
----> 00,
-_mdyn-
32A 2 exp
(-27rn)
J{;;-l
'
(10 .63)
is treated now as a free parameter in the BS equation . It is clear that as

there are an infinite number of tachyons at any finite value of
mdyn'
Of
course , this reflects the point that at a > a c, on the stable vacuum, the dynamical mass
mdyn
goes to infinity as A
--+ 00.
This in turn implies that at a > a c , the continuum
theory does not exist as a well defined theory in the Fock space.
In nonrelati vistic quantum mechanics, the collapse phenomenon occurs for sing ul (l,r
attractive potentials U( r) which obey the inequal ity lim [-Smr 2 U(r) ] > J [ 27
r-O
particular it occurs for the potential U(r) = -{3lr 2 with {3
J.
III
118m. We wi ll dis( II SS
here the results concerning the form of th e wave function a,nd th e e nergy sp('('t rllill ill
that problem.
241
First of all, let us replace the initial potential -(3lr2 by the potential
(10 .64)
T he inverse ra.dius
rot plays the role of ultraviolet cutoff A. In the conventional situa-
tion, the results of the problem with the potential Uro (r) would coincide with the results
of the problem with the initial potential as ro
--->
o.
However, as we will show , at the
supercritical values (3 > 118m, this is not the case.

The SchrOdinger equation with the potential (10.64) lea.ds to the following equation
for the radial function R/(r):
1 d ( 2 dR)
r2 dr r dr
+ 'YRlr 2 =
E, r > ro ,
(10.65)
dR
1 d ( 2
r2
dr r dr )
+ 'YRlro2 =
E, r < ro ,
(10.66)
and
where
'Y
= 2m(3 -1(1 + 1)
(10.67)
and I is the orbital angular momentum.

We are interested in the behavior of the solutions at small distances, that is, at
mr ~ 1 (the radius ro is chosen to satisfy the condition mro ~ 1). At r > ro , the
general solution of Eq.(10.65) takes the following form at short distances:
R = Ar'+
s =
+ Br' - ,
-~ (~ - 'Y
where A and B are some constants. At r
(10.68)
/2
(10.69)
< ro, the solution which is finite at the origin
has th e form
R
r;;,1 ro
= C -sinr-kr , k = v'Y
(10.70)
I';q ll a t.in g th e logarithmic derivative of these t.wo solutions at r = ro, we find that
2(' )'/2
BIA = co ns tant. ro ,-1
'I'h.. chara.<"I.N or 1.1.<, lililit 'Il
(10 .71)
() iH('''HPlIl.i ali.v ciiff"r rPIiI. a.1. s ubc rit.i cal ((3 < 118m) and
""I )(' ITril.i n d (Ii , 1/1l",,) va lli "" or /1, 1,"I ,'"d , ,d, /1 .~ I/ IlII!, th e pa ra me t.er 'Y is real
Dynamical Symm etry Breaking in Quantum Field Theories
242
and it is smaller than

(3
t.
Therefore the ratio B I A goes to zero as ro
---lo
O. Thus, at
< 118m, we have the regular situation when the wave function is expressed through
a less singular (at r
---lo
0) solution:
R(r) = Ar s+
However, at (3
> 118m, the parameter
(10.72)
T becomes larger than
t for at least one solution
with I = O. Then, the parameters s becomes complex for this solution, and the ratio
BIA does not tend to any definite limit as ro
---lo
O. The solution can be written in the
form:
R= constant r-
1 2
/
cos
(J (T - ~)
log(rlro)
+ constant)
Moreover, one can show [ 30 ] that there is no discrete spectrum at (3

that at (3
(10.73)
< 118m, and
> 118m, the discrete spectrum corresponding to the solution (10.73) takes the
following form:
E (n) '" -ro-1 exp (27fn)

- - ,n = 1,2, . .. ,
(10.74)
The similarity between Eqs.(10.15), (10.17), (10.63) and Eqs.(10.68), (10.73), (10.74),
respectively, is striking. In particular, as ro
---lo
0, the number of zeroes of the function
(10 .73) goes to infinity. This of course reflects the point that the energy E(1) of the
ground state goes to
-00
as ro
---lo
0, that is, there is no vacuum state at (3
> 118m
and ro = O.
As is known, in quantum mechanics, a particle connected with a discrete level is
moving in those regions of space where E
< U(r) [27]. Therefore
E(l) = -00
implies
that the "ground state" corresponds to a particle at the origin r = 0, that is, the particle
"falls" to the centre .
The existence of such a phenomenon for U(r) '" r- 2 and more singular pote nti als
follows in fact from the uncertainty principle. Indeed, the hamiltonian is
[;2
H=-+U(r).
2m
(10 .75)
Let us consider a particle with a wave functi on locali zed in a s ma ll region of radiu s
Then the uncertainty in th e valu e of th e momentum is of th e orde r of "il I. Th e
7'0 .
a. Vl'fa,lo;\'
243
energy of the particle is

-
E '"
1
-2
mro
+ U{r)
(1O.76)
rk or larger, the sum
Therefore if U{r) = - f3r- s with s > 2 or s = 2 and f3 is order of

(10.76) goes to
-00
as ro
---->
O.
In relativistic quantum physics, since the kinetic energy Ek = (p2
+ m 2) 1/2
c:: .;-,
p>m 0
the collapse phenomenon occurs already for the supercritical Coulomb potential [ 31 ].
The second important difference of relativistic theory from nonrelativistic one is that the
processes of particle pair creation are allowed there; therefore stationary levels with E <
-m cannot exist in relativistic quantum systems. Let us consider the Dirac equation
-~ ,
with the supercritical Coulomb potential
a> 1, in more detail. As was pointed out
in Ref.[ 11 ], this problem is intimately connected with spontaneous chiral symmetry

breaking in QED.
Since we are interested in spontaneous chiral symmetry breaking, the most inter-
lEI
esting case is the case of a light fermion:
m, and, in particular, m = O. This
problem is considered in Appendix D. Here we quote the main results. The energy E(n)
of nS1/2-levels is:
(1O.77)
where E~n) is the energy of massless fermion:
E~n) =
aro1
(sin 'P - i cos 'P) exp

11"
11"
[~]
2
a
,
(10.78)
a c:: 0.4, 'P = - -cth1l" c:: - - . 1.004 ,
;\.IId ro appears in the modified potential

(l0.79)
T he radial wave function F 2 {r) (see Eq.{D.3)) takes the following form at small r:
1"2{7') c:: ,.l/2
211"
(
v '
I2
In I
1rv
1/2
I
.
-:;-{') cos [II In r - arg r{2w)] ,
I
(10.80)
7.
O. Accordin g to th e conventional
244
state energy
(10.81)
corresponding to an outgoing antifermion wave. The appearance of such quasi-stationary
levels is interpreted as instability with respect to the spontaneous creation of fermionantifermion pairs from the vacuum [ 31]. The created fermion couples to the centre
thus shielding its charge, while the antifermion goes to infinity; the process is repeated
until the charge of the centre is reduced to a subcritical value.
The expression (10.77) for the energy indicates however another possibility for the
vacuum rearrangement: to generate spontaneously a fermion mass. Indeed, this expression shows that the imaginary part ImE(n)
> 0 decreases with increasing the mass. Since
the Dirac equation with the Coulomb potential is an one-particle problem, it cannot be
used for the description of the dynamics of spontaneous chiral symmetry breaking. As
we showed in Sec.lO.3, one has to use the BS equations for this purpose. However the
deep connection between these two problems is evident. In particular, it is clear that
the tachyons in an unstable symmetric phase are the field theoretical analogues of the
quasi-stationary levels (10.77).
Thus, at et > etc, a new nonperturbative divergence occurs in ladder QED: the
fermion mass m diverges as m '" A. As is known, ultraviolet divergences are intimately
connected with the properties of field theories with respect to scale transformations. We
will consider this issue in Sec.1O.8 .
10.5.
THE GAUGE INVARIANCE IN THE PROBLEM OF DYNAMICAL MASS GENER-
ATION IN QED
The ladder (rainbow) approximation is not gauge invariant. In particular, as we

have already seen, the value of the critical coupling etc(~) depends sensitively on th e
gauge parameter ~: etc(O = 7r/(3 + ~-1).
Why can we trust the results in this approximation? And if we can, what is th e
most preferable gauge in this approximation?
Let us recall that the gauge invariance is reflected in th e correspo ndin g Ward
Takahashi (WT) identities. If they are satisfied in some approxinlal.ion ill a c(' rl.ain
gauge, then we can use t.he gauge I.ril.nsforrnilti on law for Gn'('n's functi on 1.0 J"(' wril.('
245
them in an arbitrary gauge (such a transformation law was established by Landau

and Khalatnikov in QED [ 32 ], and was extended to non-Abelian gauge theories by
't Rooft and Veltman [ 33 ]) . The transformation law guarantees that the WT identities
will take place in all other gauges, although the approximation may change.
Let us look at the WT identity (9.33) for Green's function f p(q, k),
C(q)fp(q,k)C(k) =
dxdyexp[iqx -iky]I'p(x,y) ,
(10.82)
(10 .83)
It is:
(q - k)Pf p(q, k) = _C- 1 (q)
+ C- 1 (k)
= _qA(q2)
+ kA(k 2) + B(q2) -
B(k 2) .
(10 .84)
In the ladder approximation, the vertex f p( q, k) is just the bare one, f p(q, k) = -1p.This fact and the WT identity imply that the Landau gauge is preferable in this approximation. Indeed, as we know, the function A(q2) is equal to one in this gauge in
the ladder approximation (see Eq.lO.7). Therefore, up to a correction connected with
the mass function B(q2), the WT identity is satisfied in Landau gauge.
One may expect that this correction is small. Indeed, B(q2) - B(k 2) = 0 at q2
= k 2,
and the function B(q2) decreases rather rapidly with momentum, B(q2) ~ (q2)-1/2
a.t
(Y
(Ye.
Therefore one can expect that by transforming properly the rainbow SD
equation in Landau gauge to other gauges, we get the same (or nearly the same) values
for gauge invariant quantities, although the approximation will change.
This program was realized by Appelquist, Lane and Mahanta [34]. In particular,
th ey showed that the value
(Ye
is nearly the same in all covariant gauges.
Another approach is based on improving the ansatz for the vertex in such a way
t ha t th e WT identity (10 .84) is exactly satisfied [ 35 - 40]. For example, Atkinson,
.J o hnson an d Starn [ 35] and Kondo [38] used the following ansatz for the longitudinal
pa rt of r. ~':
1"' ( k) = (q - k)/' (C- I(k) -C- 1 ())

I ij ,
(q _ k) 2
q
I
(10 .85)
1' 1' Wil,~ rl loH"1I to ~ ilI.i H f'y th (' 1IllIlti pli ca.tive renorm alizability
' 1'11 (' tr all HV<'I'S(, PM t
of
"(",, li!.i!)11 fill'
flllJ('!. io li H ' l 'I".y ~ h ",v" tI I hilt wit h !.hi Ha./I H a. !. ~, th e critica.l co upling
( :I'('( ' II 'H
246
Dynamical Symm etry Breaking in Quantum Field Theories
constant and dynamical mass are gauge independent, at least in leading order in .\
a/41r.
The problem with the ansatz (10.85) is however that this expression for
[I'
contains
a kinematic singularity at (q - k)2 = O.

It is only recently that Curtis and Pennington have suggested an ansatz for
[I'
which is free from kinematic singularities and which satisfies the WT identity and the
multiplicative renormalizability [ 39, 40). It also reproduces the results of low orders in
perturbation theory.
Their ansatz is:
[I'(q, k) =
~1 (A(q2) + A(k 2)) -yl' + ~ (A(k 2) _ A(q2)) . (q ~q:)~(!2~ k)

1
+ 2 (A(k ) - A(q ))
[-yI'(q2_ k2)_(q+k)l'(q-k)]
d(q, k)
+ (B(q2) - B(k 2))
~2~ ~;
(10.86)
where
(10.87)
With this vertex, the SD equations for the functions A(q2) and B(q2) take a rather
complicated form [ 39, 40). The equations have been analyzed by two groups. Atkinson,
Gusynin and Maris [ 41 ), using some approximations to simplify the equations, found the
critical value
Cl'c =
1 in
0'
0.9170.98 in Landau gauge, which is rather close to the critical value
the ladder (rainbow) approximation . Curtis and Pennington analyzed th e
equations numerically in three different gauges with ~-1 = 0 (Landau gauge), ~-1 = ]
(Feynman gauge), and ~-1 = 3 (Yennie gauge) [ 40
J.
of the critical coupling Cl'c and dynamical mass
are (to the numerical accuracy)
independent of ~; Cl'c
mdyn
They found that the valu es
0.92.
Thus, at present, there are strong evidences that the physical picture of dyn amical chira.! symmetry breaking in the ladder approximation in Landau gau ge reprodu ceH
qualitatively correctly this phenomenon in the full qu enched QED , i.e. ill th e i1pproxi
mation in which all diagrams without fermion loo ps ;He I.ilk n into account (for ge ll ('"aJ
247
arguments in support of this conclusion see also Ref.[ 42]) . As we will see in Chapter 14, the quenched approximation in QED is relevant for some scenarios of dynamic
electroweak symmetry breaking.
10.6.
THE CRITICAL COUPLING CONSTANT IN DYNAMICAL SYMMETRY BREAKING
PROBLEM IN ASYMPTOTICALLY FREE THEORIES
Up to now we have considered dynamical chiral symmetry breaking in QED. It is

important that, with some modifications, the dynamics with a supercritical coupling
constant may also be relevant for asymptotically free gauge theories as QCD and technicolor models of dynamic electroweak symmetry breaking (see Chapters 12-14).
In asymptotically free gauge theories, the running coupling constant decreases with
increasing the momentum. In the one-loop approximation, it is [ 43]:
-2( 2)
= bln(q'/M')'
where the characteristic infrared scale parameter M is a free parameter determined from
experiment (in QCD, M
==
AQcD '" 300M eV), and b is the first coefficient of the
f3
fu nction. Therefore it is naturally that at some scale q2 = A~, the value g2(A~) becomes
equal to a critical value gJ, and the dynamics in the infrared region with q2
;s
A~ is
responsible for dynamic symmetry breaking of some symmetries, as the chiral symmetry
in QCD.
There are essentially two possibilities. The first one is that the scale Ax in a dynamics
is Ax '" M . The second possibility is a dynamics with Ax
M. For example, in QCD
the scale Ax is apparently only few times larger than M, while in some scenarios of
dyn amical electroweak symmetry breaking A may be essentially larger than M (see
Chapters 12 and 14).
Thus, in asymptotically free theories, Ax is a physical finite scale determined by
t he dynamics. However, in those cases when Ax
M, the dynamics of quenched QED
Ill ay serve as a toy model for such dynamics, as it happens in the so called walking
tec hnicolor for example (see Chapter14).
248
Dynamical Symm etry Brealcing in Quantum Field Theorie&
10.7.
THE CONSERVATION CURRENT CONDITION AND PROPER DEFINITION OF
EQUATIONS FOR GREE N ' S FUN CTIONS . THE SOLUTION OF THE GOLDSTEIN PROBLEM
In quenched QED, by definition , the renormalization constant of photon fi eld Z3 is
Z3 = 1. In the rainbow (ladder) approximation, in Landau gauge, the renormalization

constant of a fermion field, Z2, and the renormalization constant of the vertex, Zl , are
also equal to one. Therefore in this approximation, the only perturbative divergences in
QED are those connected with the renormalization of the fermion mass, m(O) = Zmm.
Since the bare mass m(O) equals zero in the chiral limit , one may expect t hat in this
limit, th ere is no need for a regularization in ladder QED, and one can consider the
equations for Green's functions without cutoff A from the very begining.
However, as we will show below, following Refs.[ 17, 44], the situation in QED , and
in ga.uge theories generally, is in fact more subtle .
Let us consider again the SD equation (10.8) for the mass function B(p2) . This
equation is equivalent to the differential equation (10 .9) with the boundary conditions
(10.10) and (10.11) . Let us consider the boundary condition (10 .11) at m(O) = 0 and
A
---+ 00;
(10 .88)
Eqs. (10.15) - (10.17) imply that this condition is satisfied by the function (10.14) at
any positive value of a . Thus at A =
solutions for B(p2) at any a >
00
and m(O)
= 0,
the SD equation has nontrivial
o.
Does it mean that dynamical chiral symmetry breaking in ladder continuum QED
occurs at arbitrary small coupling a ? We will show that the answer to this ques tion is
"no".
We begin the analysis by considering the equation of motion for th e axial currents
J~I' =
,\a
7/J'Y1''Y5T7/J (see Eq.(9.7));
The composite operator
J~
1[;'Y5>'''1/; is a singul ar oujcct, i.c. its
Ill a.trix (' 1(, 11I1' lItH
249
depend on cutoff A. Let us introduce the renormalized operator J~:t,

. (10.90)
connected with a subtraction point a. The renormalization constant
zI:)
is renorma-
lization-scheme dependent but it is important that it always can be chosen to coincide

with the renormalization constant of the fermion mass [ 5]:
(10 .91)
where m~~~ is the renormalization (current) mass connected with the subtraction point
a.
The central point in calculating
is the definition of the current mass m~~L
zI:)
which itself is of course renormalization-scheme dependent.

Let us begin by considering the case of subcritical
<
c.
momentum-space subtraction scheme (MOM) [43]. In this scheme,
We will use the
zI:)
is defined in
t he following way. Let us first rewrite the mass function m(p2) = B(p2)/A(p2) as
(10.92)
where, by definition, the function j(q)(p2) satisfies the normalization condition
(10.93)
(we recall that we work in Euclidean space). Then the current mass m~~~ is
- (u)
mcur
a nd th e renormalization constant
(2)
a ,
( 10.94)
zI:) is
(10.95)
'1'11(' rcnol"lll a.li zati on constant Z,\~ ) i ~ dc ~n ed now as

1:,(,7)
lilll
"I ~ ::,1 . 0
i,(,~) ,
(10.96)
250
and the current mass m~~~ is
(17)
m cur
=
m(O)Z(17)-'
m
(10.97)
The mass function m(p2) (10 .92) can be written as

(1O .98)
with f(17)(p2) = Z}:) Z}:)-' j(17)(p2) . The ratio
Z}:) /Z}:)
is finit e as A - +
<Xl.
Let us calculate Z}:) in the rainbow approximation in the Landau gauge. Eq.(10.7)
implies that in this case, the mass function m(p2) equals B(p2). Then, using Eqs.( 10.11),
(10.14), (10.15) and (10.96), one can check that
(10.99)
at ex
<
ex c
(w = (1 -
<
ex/ex c)1/2
1).
Let us now return to the question of whether spontaneous chiral symmetry breaking
mayor may not occur at ex < ex c in the continuum limit .
By definition, spontaneous chiral symmetry breaking implies the conservation of
axial currents. Therefore in the continuum limit we must get:
(10.100)
This equation implies that the necessary and sufficient condition for the conservation of
axial currents in the continuum limit is [ 17,44 J
lim m(O)(A)Z}:)-' (A) = 0 .
A-co
(10.101)
Although this condition looks as almost evident, we will see that it is helpful in clarifying some subtle issues in the problem of spontaneous chiral symmetry breaking in
gauge theories. The point is that in gauge theories, the inverse renormalization constant
Z}:)-' diverges as A - +
<Xl.
Therefore this condition is essentiall y stronger that
lim m(O){A) = O. In particular, the condition shows that the equality of t he bare m a~s
A_co
m(O) to zero in continuum theories is not sufficient. to guara.ntee t.h e ons('rv;ttioll of <l.xi,,'!
currents.
Let us apply the condition (10.101) to ladder QED with
0'
<
O'c.
251
Substituting the
expression (10 .15) for B(p2) in the boundary condition (10 .11), we find that for m(O)
satisfying the condition (10.101) with Z~) from Eq.(10.99) , only the trivial solution
B(p2) = 0 satisfies this boundary condition in the continuum limit. Thus, there is no
spontaneous chiral symmetry breaking in continuum ladder QED at

Let us consider now supercritical values of
0'.
0'
< O'c .
Since there is a dynamical piece
in the fermion mass connected with spontaneous chiral symmetry breaking, we should
modify the definition of the renormalization constant Z~). The point is that there is no
renormalization of the dynamical mass mdyn; renormalizations occur only for the piece
of m connected with the explicit breakdown of chiral symmetr/)
Let us define the current mass
mcur
mcu r
as
==
(10.102)
m - mdyn ,
O. Let us
where mdyn corresponds to the solution of the SD equation at m(O)(A)

define further the current mass function m cur (p2) as
(10.103)
where mdyn(p2) is the solution of the SD equation with m(O)(A) = O. Then we define
t he renormalization constant Z~) in the same way as before but with the mass function
m(p2) replaced by the mass function m cur (p2) . Of course, we can realize this procedure
consistently only at those values of the coupling constant at which the continuum limit
is well defined (i.e. at ultraviolet fixed points, in the language of the renormalization
group [ 26 ]) .
As we already showed in Sec.10.2, in rainbow QED the dynamical mass mdyn remains
finite in the continuum limit only if the coupling constant
O'c
= 11"/3
0'
goes to the critical value
as
0'
O'c
+ In 2 ( 4A/mdyn ) A~oo
--> O'c =
(10.104)
11"/3
(. ee Eq.(10 .23)) . Therefore we must calcul at e Z~) near the critical point
*) l ndced , th e
fUll c t io ll
1l111.qM
I.l. t
m ;.mR rCn(H Il HI.l izll,t. io Il N i lnpiy t hn.t th
f c uto ff" A ( o r, in th o
d j V~ ' I'K\' II ('(,II , Si l~ (( l l\ t h(, i hl . l1 l ll ll dt
,'(' n nr' IlI I,.Ii 't. h,t.i () II II .
bare mass
d iIiIOUI.io ll tL! reft; lIl a. ri'/,a.ti o n,

/1/ (0)
m. (O)
or th e
O'c
= 11"/3.
is chosen as an appropriate
para m e ter ';
0, l h(' dY l1 tL llIi ttl m uss
rn(I1I TI.
1~n ) to r emove
is not affec t ed
by
252
Dynamical Symmetry Brealcing in Quantum Field Theories
Substituting the expression (10.17) for B(p2) in the boundary condition (10.11) and
using the procedure outlined above, we find that
z~) = (a/A) .
(10.105)
Now it is easy to check that in the continuum limit, the condition (10.101) leads to the
solution
(10.106)
with the fixed value of a, a = a c =
7r /3 .
Since the asymptotic of this function is (see
Eq.(IO.I6))
(10.107)
we see that oscillations occurring at a > a e disappear in the continuum limit A

00 , Cl'
---t Cl'e.
---t
This in turn implies that there are no zeroes in the BS function of NG
bosons, i.e. massless bound states are states with the lowest value of M2 in the pseudoscalar channel, and there are no tachyons with M2 < 0 (compare with the discussion
in the preceding section).
What we have shown is that the condition of the conservation of currents plays the
important role in the proper definition of equations for Green's functions. In quantum
mechanics, the SchrOdinger equation becomes properly defined only if it is supplemented
with two boundary conditions at r = 0 and r = 00. The conservation of currents leads
to a boundary condition at large momentum, i.e. it is an analogue of the quantum
mechanical condition at r = O.
So far we have considered only axial currents. But the same conside ration is valid
also for vector currents. It is easy to check that in QED with, for example, two fermi oll
flavors, a = 1,2, the rainbow SD equations without cutoff (A = 00) itnd
rrJO) =
0 admit
solutions with an arbitrary ratio mdm2' where ma is th e mass of the a- th re rnli OIl , i.l'.
they admit solutions with the breakdown of the vector (isospin) syrnrndry. lI ow(' ver,
taking into account Eq.(9.6) , we find 1.11"1. I.h l' cOllditi on or th t'
cO II ~ ('rv", l.i O Ii
or v('dm
253
currents takes the form:

lim
[.x<>, m(O)] Z~)-l (A)
= 0.
(10.108)
1 violate this condition, i.e.
A~oo
Then, it is easy to show that the solutions with ml/m2
they correspond to explicit (and not to spontaneous) isospin symmetry breaking.

Of course the condition (10.108) and the corresponding condition for axial currents,
lim
{.x<>, m(O)} Z~)-l (A)
= 0
(10.109)
A~oo
are always satisfied with m(O)(A)
== 0 (the condition (10.108) is also satisfied with
m~~)(A) = m(O)(A)Oab)' Therefore the most convenient way for getting a right solution
with spontaneous symmetry breaking is to start with a theory with a regularizing cutoff
A preserving the symmetry; to solve the equations there, and at the end, to remove
cutoff in the solut.ion (if it exists at all) .
Thus we conclude that introducing cut.off in field theory is not just a reflection of
our inability to work with complicated equations but a necessary procedure to define
the equations properly.
The present approach leads to the solution of the problem known as the Goldstein
problem in the literature [ 45]. Goldstein was first to study the ladder BS equation
for massless electron-positron pseudoscalar bound states (parapositronium) in QED. He
considered the equations without cutoff and of course found that nontrivial solutions
to them exist at all positive values of the coupling constant
c.
A paradoxical situation
occ urs: massless parapositronium exists at arbitrary small coupling in QED!

However, as follows from the present consideration, if the subtleties of the transition
A
~ 00
are taken into account, one will come to the picture with the fixed value of
the coupling constant,
Cc,
considered above.
254
Dynamical Symmetry Breaking in Quantum F ield Theories
10.8 .
THE BREAKDOWN OF SCALE SYMMETRY IN QED. COMPOSITE OPERATORS
WITH LARGE ANOMALOUS DIMENSIONS
In the classical limit, QED with massless fermions is a scale invariant theory. However, in quantum QED, ultraviolet divergences and their subsequent renormalizations
spoil this simmetry (for a review see Refs.( 26, 46 J).
The current connected with scale transformations is called the dilatation current,
:.D w Its divergence is equal to the trace of the energy-momentum tensor e~
( 46 ]:
(10.110)
The quantum number connected with the dilatation generator:.D =
J d3 x:.D o(x) is called
the dynamical dimension:

-i [:.D, cp(x) ] = (d",
+ x/Ja/J) cp(x),
where d", is the dynamical dimension of the field cpo In the case of free massless fields,
when the scale symmetry is exact, the dynamical dimension d", coincides with the canonical (engineering) dimension de;", of cpo However, for interacting fields, d", is usually
different from de;",. In this case, one says that the anomalous dimension of the operator
cp, 'Y", == 1de;",
- d",
I, is non-zero. Since in quantum theory, :.D I" and
et are composite
operators, care should be taken to define them properly. Usually such properly defined
operators are written with the symbol N, for example, N(:.D/J),N(e~), etc. The definition of the N -operation is different in different models. We will return to this point in
a moment .
In vector-like gauge theories, the following relation for N (a/J:.D 1") takes place in all
orders of perturbation theory ( 47]:
Here the renormalization group (RG) ,B-function is
,B(a) =
aa
a III II
'
(10. 112)
255
the anomalous dimension "1m of the composite operator N (1j;a1/Ja) (a) is
8InZ~)
'Ym(a) = -
8lnA
(10.113)
'
and renormalized quantities m~~:;a, N (1j;a1/Ja)(a) are defined in Eq.(10.90), (10 .91) (the
summation in color indices is understood in Eq.(10.111).
In perturbative theory, operators N(A), A = e~, Fl'vFI'V or 1j;a1/Ja, are defined as
N(A) = A - (OIAIO) .
(10.114)
However, the definition of N(A) in the full theory is rather subtle. For example, in
QCD , it is not appropriate to subtract the nonperturbative part of (OIAIO) connected
with hadronic interactions. Therefore in this case one subtracts only its perturbative
part [ 48 ]:
N(A) = A - (OIAIO)pert .
(10.115)
Unfortunately, such a separation of perturbative and nonperturbative contributions is

somewhat ambiguous, and it leads to some difficulties [49]. We will return to this point
in Sec. 12.15.
We also note that although the quantities N (Fl'vFl'v)(a), N (1j;a1/Ja) (a) , m~~:;a depend on the scale parameter a, the operator N(e~), and therefore the combinations of
the operators appearing on the right-hand side of Eq.(10.111), are observables independe nt of a. At m~~L = 0, in the rainbow approximation, the scale symmetry is exact in
perturbative QED. However, in the supercritical phase, because of spontaneous chiral
symmetry breaking, fermions acquire a dynamical mass
mdyn,
and therefore the scale
symmetry should be broken. Is the scale symmetry broken explicitly or spontaneously

th ere? In the latter case, the conservation of the dilatation current would imply the
exis tence of a massless NG scalar, dilaton. We will see that the breakdown of the scale
sy mmetry is explicit in the supercriticaJ phase. But it is import.ant that near a = a c,
o ll e can treat the scale symmetry as an approximate one. In particular, it is appropriate
to cOll sider th e dynamical dimension for opera,tors, which is the quantum number conII cctcd with th e scale tran .' ro rmati ns. Th e sit ll at i n rese mbles that in QCD, however,
tl I\'IT
is a,1I (''''''' lIti al difl'ercllc(' bdw('(' 11 th!'s,' two dyna,llIics: whil e in QC D,bec ause of
256
asymptotic freedom, anomalous dimensions of all operators are small [ 43] (i .e. their dynamical dimensions are close to their canonical (engineering) ones), in ladder QED, the
critical value O'c is rather big, and therefore some operators may acquire large anomalous
dimensions. As we will see, this leads to some important consequences.
What is an appropriate definition of the composite operators N(en, N(FJ1.vFJ1.V)
and N({;a1/Ja) in the present problem? We will define these operators as the canonical
operators minus the contribution of their vacuum expectation values calculated in free
massless theory:
(10.116)
(10.117)
(10.118)
(of course, (OI{;a1/JaIO) is equal to zero in free massless theory). The necessity of the
subtraction of the vacuum expectation value (OI(enfreeIO)lm~u,=o from e~ is dictated by
the point that the scale symmetry is exact in free massless theory, and therefore the
dilatation current 1) '" is conserved, that is, OJ1.1)freelm~"=O = No( e~) = 0 there. The
nontrivial point is that, as we will show below, this single subtraction in Eqs.(10.116),
(10.117) provides finiteness of the operators in Eq.( 10.111).
In the supercritical phase, the continuum limit A -+
<Xl
with
mdyn
being finite can be
arranged only if the coupling constant a depends on cutoff A as is shown in Eq.(10.104).

Therefore, following Bardeen, Leung and Love [ 19 ], it is convenient to introduce the
jJ-function
00'
2
jJ = 0 In A = - 3"
Since jJ(O') is negative at a
(a )
3/2
O'c - 1
, a ~ O'c .
(10.119)
> O'c, its zero an a = O'c corresponds to an ultraviolet stable
fixed point. Is this jJ-function genuine? This question is natural since at a < O'c the
perturbative jJ-function equals zero in this approximation. The answer to thc quc. ti oll
is "it is": we will show, following Ref.[ 50 ], that th e jJ-(unclion (10. 11 9) govc rII s scale'
symmetry breaking in the supc rcriticaJ phil
C.
What the authors of Ref.[ 50
1showed
is that at
(Y
257
> (Ye the vacuum expectation
values of the operators (10.116)-(10.118) satisfy the relation (10.111) with the ,B-function
defined in Eq.(10.119) and the anomalous dimension
BlnZ(I1)
'Ym =
_ _:..::m,---= 1
(10.120)
BlnA
(see Eq.(10.105). For simplicity, we will consider here only the most interesting case
with
meur;a =
O.
Our aim is to show that
(10 .121)
First of all, we note that because of the Lorentz invariance, we get the following
relation:
(OINo(IJ~)IO) = 4(0INo(1J8)10) = 4V(G) ,
(10.122)
where V is the effective potential for composite operators, considered in Chapter 8, and
the fermion propagator
G is its stationary point (i.e., G is a solution of the Schwinger-
Dyson equation).
In the chirallirnit, the expression for V( G) takes the following form in Landau gauge
(see Eq.(8.60)):
A2
+
whe re v
==
p2, V
3(Yj duuB(u) j dvvB(v) Y(

)}
81f
U + B2(u)
V + B2(v) \ U, V
,
o
0
(10.123)
= k 2 and K(u, v ) = IJ( u -v )/v + IJ( v - v)/v. Let us show that
v (II)
I O\l (lJ )
:'.11 11, 1\1 1"
IJ ,
(10.124)
258
where B satisfies the Schwinger-Dyson equation

A2
3aJ'
vB(v)
B(u)=- dv/\(u,v)
B2()
471"
(10.125)
The relation (10.124) follows from the fact that B( u) is a sationary point of the effective
potential. Indeed, considering the variations of V with respect to the transformations
-----+
B(s) = sB(u/s) (V(B(s), 1\2) = s4V(B, 1\2/s2)), we find at the stationary point :
(10.126)
Using the expression (10.123) for V(B), it is easy to check that Eq.(10.126) leads to the
relation (10.124).
The relation (10 .124) together with the relation
(10 .127)
following from Eq.(10.125), allow to calculate (OINo(et)IO). Indeed:
(10.128)
Here we used the expression for B(p2) in Eq.(l0.17) .

The vacuum expectation value (OINo(Fl'vFI'V)IO) can be calculated by using th e
well-known relation
(1 0.129 )
following from the path integral represent. ation for th e vac uum energy de llsity V (B ).
It can be also calculated directly; in th e presc nt app roxim il.ti on, it is gi vclI by tll ('
contribution of th e d iag ra m ill Fig. 10.3.
259
Fig. 10.3.
The result of the calculations leads to the desired equality (10.121).

The following comments are in order.
We note that the calculated contribution into (OINo(et)IO) is purely nonperturbative.
Therefore it is appropriate to call it a nonpertubative scale anomaly. The nonperturbative scale anomaly occurs because of the presence of the nonperturbative mass divergence
in the supercritical phase. We emphasize that the origin of this divergence is different
from that of loop divergences in perturbative theory: the mass divergence (10.22) occurs due to a singular character (at small distances) of the exchange interactions with a
strong a, which is harmless in perturbative theory. Since such divergences occur already
in quantum mechanics (see Sec.10.4), it is natural to call them the quantum-mechanical
divergences. We will discuss the origin of the nonperturbative scale anomaly in the
framework of the theory of critical phenomena in Sec. 11.6.
As was indicated in Refs.[ 16, 17 ], the collapse phenomenon in the supercritical
phase in QED has common features with phenomena in the supercritical phases of such
two-dimensional models as the Thirring model and the sine-Gordon model. This issue
has been recently clarified in the work [ 51 ].
The explicit violation of scale symmetry implies that there should not be very light
scalars in quenched QED; as in the N JL model, one may expect that the mass of the
lightest scalar is of the order of
mdyn .
A numerical analysis of the BS equations for
scalars confirms this expectation[ 29 ].

In perturbative renormalizations, the following relations are valid:
r( {p}, f-L, a) = Z(A/ f-L)r(O)( {p}, A, a(O)
+ (power
corrections p/ A, f-L/ A, etc.).

(10.130)
260
On the other hand, comparing Eq.(10.16) and Eq.(10.17), we find that the renormalization (10.104) of a in the supercritical ladder QED leads to a renormalization relation
for the mass function B with logarithmic '"
~n
A/mt n , n > 0, corrections. From the
mathematical view point this merely means that in this case the convergence to a continuum theory is slower than in perturbative QED or in QCD. However, from the physical
viewpoint it reflects a deep distinction between these two dynamics. In particular, small
power corrections in Eq.( 10.130) imply decoupling of high energy dynamics from the
low energy region [ 52].') The situation can be different in field theories with a rather
strong bare coupling constant. For example, the anomalous dimension 'Ym of the composite operators 1jJ)"C<1/J and i1jJ)..C<'Ys1/J is equals one at a = a c (see Eq.(10.120)), i.e. their
dynamical dimension d = 3 - 'Ym equals two. As was pointed out by Bardeen, Leung
and Love [ 19], this implies that the four-fermion chiral invariant operator
;2
L [(1jJ)"C<1/J)2 + (1jJi'Ys)"C<1/J)2]
(10.131)
c<
acquires the dynamical dimension d = 4 and it acts as a renormalizable operator. In

order words, strong Coulomb-like interactions amplify short-distance (r '" A-I) interactions in a way that they manifest themselves without any suppression at large scales.
In the language of the renormalization group, it means that such a strongly interacting
dynamics transform formally irrelevant operators, posessing canonical (engineering)) dimensions de > 4 into relevant ones.") We will consider these issues in detail in Chapter
11.
From the formal point of view, it implies that QED with a large bare coupling
constant is not a closed theory, and it should be supplemented by those perturbatively
irrelevant interactions which become relevant due to the strong QED interaction. We
will also see in Chapters 11, 14, 15 that the phenomenon of the amplification of formally
irrelevant interactions find interesting applications in model building, in particular, in
models of electroweak symmetry breaking.
'J
"J
For a more detailed discussion of the deco up lin g effec t (th e dccoupling th eo rem[ 52 j).
13.8.
The notion of relevant and irrele vant Ope ril.to rs is di s usscd ill Sc . 11 .2.
s ("('
S,'c.
10.9.
261
SPONTANEOUS CHIRAL SYMMETRY BREAKING IN QED BEYOND THE
QUENCHED ApPROXIMATION
Up to now we have considered spontaneous chiral symmetry breaking in quenched

QED,
in which the contribution of diagrams with fermion loops is neglected . In this
section, we will discuss the dynamics beyond the quenched approximation in QED.
The first heuristic consideration of the effects of fermion loops for spontaneous chiral
symmetry breaking dynamics in QED was done in Ref.( 17]. It was argued there that
spontaneous chiral symmetry breaking at supercritical values of a > a e
rv
1 should
survive the screening effect connected with fermion loops; also, speculations about the
possibility of the existence of a nontrivial continuum QED with the bare coupling constant
a(O) = a e
were considered.
The first systematic studies of this problem were done in Refs.[ 53 - 56]. They were
essentially improved in the further works [ 57]. The main conclusions of these studies
are the following:
a) at a > a e
rv
1, there is spontaneous chiral symmetry breaking even in QED be-
yond the quenched approximation; the critical value a e corresponds to the second order
(continuous) phase transition;
b) as a result of including fermion loops, the essential singularity at a
expression (10.22) for
mdyn
a e in the
is replaced by a square root singularity:
(10.132)
We will discuss the physical meaning of these results below.

Let us consider the effect of including the fermion loops by following the work of
Gusynin [ 55 ] who used a method known as the bifurcation approximation in the
literature.
First , let us consider this very useful approximation introduced by Atkinson and
Johnson [ 58 ].
III Sec. 10.2, we co nside red til(' lilleari zed approximation to Eq.(10 .8), in which the
!"lIl1 d i
II
H2(p2) ill t.h e d("IIOlllill ,.t.OI iH !"I'pla n'!! by m 2 Thi s allowed us to express its
a pprox illl a t.i oll Hoi" t.i(," till ',, 'gll tI,, il y!"" ",,'/1 "11"1., i, rlllldiollH.
262
The idea of the bifurcation approximation is the following. If we are interested in

the solution near the critical point a c, a - a c
1, where the dynamical mass is very
+ B2(q2)) in Eq.(10.8) may be neglected

o. Therefore, in this case, one may
one in which the denominator (q2 + B2(q2))
small, then B2(q2) in the denominator (q2
everywhere except the infrared region around q2 =
"
,I'
expect that a good approximation is that
is replaced by just q2 but m 2 is introduced as an infrared cutoff:
(10.133)
This trick simplifies the analysis enormously. In particular, one can easily check that
the general solution of this equation is expressed through elementary functions:
2)_1[1+(1--,,-)1/']
B( p 2) = C 1 (2)_1[1-(1--,,-)1/']
p'
~,
+ C2 (P
'
~,
;ac =
11"
/3
(10.134)
The approximation is called the bifurcation approximation since the value a = a c , at

which a second (nontrivial) solution to the equation occurs, is called a bifurcation point
in the mathematical literature.
Let us now consider the SD equation with the bare vertex and A(p2)
1 but
including the vacuum polarization effects (in Landau gauge):
(10.135)
(we work in Euclidean region), where
a(O)
is the bare coupling and II(q2) is the polar-
ization operator in the photon propagator:
(10.136 )
Having using the substitution II ((p - q)2)
----+
B(p2 - q2)II(p2) + B(q2 - p2)II(q2) one
can integrate over the angular variables in Eq.(1O.135) a nd obtain
-J +
A'
dvvB( v) .'
v B2(v/1 (u, v ),
B(u) -
( 10. 1:17)
263
where in the one-loop approximation, the kernel 1< is
g(u)
g(v)
1u, v) = -B(u - v) + -B(v - u) ,
g( u) =
47r 1 +
",(O)(A)N
3..
In
(10.138)
(10.139)
A')'
Let us now use the bifurcation approximation in equation (10.137). As a result, we

obtain the following equation:
A'
B(u) =
dvB(v)1u, v),
B(m~yn) == mdyn
(10.140)
m~yn
It is convenient to introduce the variable z = 9/4N g( u) . Then one can check that
equation (10.140) is equivalent to the differential equation
(2
d B
z)
+ -+-dz 2
z
z- 1
2
9 z- 1
dB
-+---B=O
dz
4N z2
(10.141)
with the boundary conditions
dB
-d
,. +1n::rh' ,
z IZ=ZO=~
(A)N
md~n
(10.142)
0'
[dB
dz
+ (~ _
Z
1) B]
z-ii-
3r
- o(O)(h)N
(10.143)
(compare with Eqs.(10.9) - (10.11)).

Eq.(10.141) is a linear second order differential equation with three singular points
z = 0, 1 and
irregular one.
00.
The points z = 0, 1 are regular singular points, and z =
00
is an
Because of this, th e solutions of this equations cannot be expressed
till' ug il kll own speciil.l flln dio ll s[ 25
1.
Il ow(' vrr, if N is not very large (N :::; 2), the
eq ua ti oll fan 1)(' fllrl.iI (r Ni'"plili"d . I"d "" d , Hi,, ('(' 1. 1,(, vMiablc z cil il.lIgcs witilin
Zo
2:
2:
264
37r/(X(O){A)N, then at <t<O)(~)N ~ 1, the variable z ~ 1 and simplifying Eq.{10.141) by
retaining only ~ and constant terms at the derivative

2
d B
+
dz 2
'},
we get the following equation:
1 ) -dBdz +4N-9 (z-z2--1) B=O.
( --1
(10.144)
Of course, the consistency of the assumption a(Oi(~)N ~ 1 implies that the critical
coupling (Xc should not be very large. As we will see, (Xc
2 at N = 1, and therefore
the ratio a,3"N is reasonably large in tIns case.

The general solution of equation (10.144) takes the form
(10.145)
where
<J?
and
I]i
are the confluent hypergeometric functions [ 25 ); -y = 3/2N 1 / 2 , a
-y - -y2,c = 1 + 2-y.
We omit the analysis of the boundary conditions (10.142), (10.143) for the solution
(10.145) [ 55 ) and indicate here only the main results.
The critical coupling (Xc is (Xc ~ 1.95 at N = 1. At (X(O) (A) > (Xc, there is spontaneous
chiral symmetry breaking. The dynamical mass is
(10.146)
Thus, there is a second order phase transition at (X(O) = (Xc: the order parameter mdyn
continuosly goes to zero as (X(O)
---+
(Xc from the side of the supercritical values of (X(O).
The relation between mdyn and A (10.146), mdyn
A((X(O) - (XcV with v
1/2,
corresponds to the scaling law in the mean-field theory [ 26) (for a more detail see Secs.
11 .3, 11.6) . This in turn implies that as A
---+ 00
with mdyn being finite, the value o f
the bare coupling constant in the continuum theory is fixed:
(10 . 1/17)
and it describes non-interacting fermions, photon and 2N2 spinclcss ~ t ates: N 2 ma.' sless
pseudoscalars (NG uoso ns) and N 2 massive s 'I.la.rs. More pr('cis('ly, ill slIcll " tll(ory
265
coupling constants, describing interactions at low (p ~ A) momenta, go slowly (logarithmically) to zero as cutoff A goes to infinity (g '" (Inp/A)-a, a> 0). Of course, at
finite cu toff A (considered as a scale of a "new" physics) such a theory may serve as an
effective theory describing low energy interactions of all these particles.
A more sophisticated analysis in the one-loop approximation in QED, which takes
into account the SD equations for the vertex and for the photon propagator, leads to
similar conclusions [ 56, 57]. It is however clear that since there is no reliable perturbation scheme in strong coupling QED, all these studies are not concl usive. At present,
our understanding of the dynamics of supercritical QED is still far from being complete .
T he main problem is connected not with just absence of an adequate approximation for
studying such a nonperturbative dynamics but also with the point that, as was already
indicated in Sec.1O.8, supercritical QED is not a closed theory: there might be a lot of
formally irrelevant operators which, because of strong short dist ance QED interactions,
become relevant ones , and therefore adding them to QED lagra.ngian may change the
dynamics.
We will return to the discussion of this point in Chapter 11 and Sec. 14.6.
10.10.
NONPERTURBATIVE DYNAMICS IN QED AND BEYOND : MISCELLANEOUS
In this section, we will review some problems in the nonperturbative dynamics

III
QED (and beyond) intimately connected with the problem of spontaneous chiral
symmetry breaking.
1) Complex branch-point singularities in the fermion propagator.
So far we have analyzed the rainbow SD equation for the fermion propagator by using
its linearized version. As we already indicated in Sec . l0 .2, this approximation is rather
good in Euclidean region. However, the situation in Minkowski region is essentially
different. Let
liS
discuss this point in more detail.
In the linearized approximation, the solution of the SD equation for the mass function B(p2) is expressed through the hypergeometric function (see Eq.(10.14)),
B( p2 ) = m F
Thi s fuu ct ion has
iI.
(I+W
-2-'
-2- ' 2; _p2/m 2

l-w
(10.148)
hr:lucl, IH,ill1. ill 1./,(, I.ill,e like regio n with a thres hold a t p2 = m 2.
Thi s is wh il.t o ut' s hollid ('X IH'd : till ' 11111 11 1'1, pili III.
(' o rr('spo lld ~
to ofl r - rN mi on plus ma ny-
266
photon intermediate states. However, it turns out that the analytic properties of the
solution of the nonlinear SD equation are absolutely different.
This problem was first considered by Fukuda and Kugo [ 13]. By using numerical methods, they showed that the solution of the nonlinear equation does not have
singularities at real p2 . Their hypothesis was that the fermion propagator is an entire
function, and therefore the solution might be appropriate for describing the confinement
phenomenon.
However, Dragovic, Mavlo and Filippov [ 59 ] showed later, again by numerical
methods, that an expansion of the propagator in powers of of p2 has a finite radius of
convergence. This implies that the propagator has at least one singularity. At last,
Atkinson and Blatt [ 60 ], and Alekseev, Arbuzov and Rodionov [ 61 ] showed the
existence of complex singularities in the p2-plane in the fermion propagator.
More
precisely, they found a pair of complex-conjugate branch-points at any positive value of

the coupling constant cr.
Needless to say, the existence of such singularities are forbidden by the general
principles of quantum field theory, such as locality, Lorentz invariance, etc. . It seems
that the only appropriate explanation of their existence is that the rainbow approximation to the SD equation is not fully consistent and that an appropriate improving this
approximation will remove the complex singularities.
Up to now this problem is still unsolved.
Does this imply that we should not trust any result in the rainbow approximation
if it leads to such undesirable singularities? Our viewpoint is that this does not. The
point is that the analytic properties of functions are a global characteristics: a small
variation of a function in some region may drastically change its analytic properties
in another. Therefore the analytic properties of Green's functions are very sensitive
to the truncation of SD equations. On the other side, such characteristics of a theory
as a critical coupling constant in spontaneous chiral symmetry breaking phenomenon,
anomalous dimensions of composite operators, etc.
might be much less sensitive to
the truncation operation. The important point is that, as we argued above in this
chapter, spontaneous chiral symmetry breaking in supercriti cal QED admits a l"iI,th(' f
clear physical interpretation.
Nevertheless, it is ccrti\ill ly vl'ry <i('Bimble- to clarify f.he isslI (' with th e ((l/lIpl(' x
267
singularities. In particular, it would be very interesting to check the analytical properties

of the solution of the SD equation for the fermion propagator with the Curtis-Pennington
ansatz for the vertex considered in Sec .lO.S. This ansatz restores the gauge invariance.
But does it cure the desease with the complex singularities?
2) Abnormal Solutions of the BS equation.
As is known, the ladder BS equations have pathological features such as the appearance of ghost solutions (introducing the indefinite metrics) or tachyonic solutions (for a
recent review see Refs.[ 62, 63
D.
This problem relates not just to QED but to many
field theoretical models.

In Sec.lO.7, we discussed the Goldstein problem and suggested its solution . That
discussion may be helpful for the understanding of the general situation concerning the
BS equation problems indicated above.
The usual treatment of the ladder BS equation is as the relativistic analogue of the
Schrodinger equation. In particular, a particle mass is considered as a free parameter
there. But such a treatment is somewhat misleading. The BS equation is just one
of an infinite number of equations for Green's functions . Also, a mass parameter in
field theory cannot always be treated as a free one: it is determined from the particle
propagat or, which itself satisfies the Schwinger-Dyson equation. For example, as we
saw in Sec.lO.2, in rainbow QED with a supercritical value of the coupling constant,
t he fermion mass is always large, m 2:
mdyn '"
A, and one cannot consider fre ely small
values for m .
This point was essence of the Goldstein problem: one cannot consistently treat the
BS equation by isolating it from other equations for Green's functions, in particular,
from the SD equation for propagators. One may expect that pathological features of
some solutions of the ladder BS equation just reffect those inconsistencies.
T he second important point in solving the Goldstein problem was the choice of the
rig ht boundary condition. Of course, this point is primary important for the Schrodinger
equa ti on either: it is not enough to solve the equation; it is important to select the
"ri ght" soluti ons satisfying th e boundary conditions at r = 0 and r -----
00.
In the case
of th e Sc hrodinger eq llilti on th ese ro nditi ons are uniquely defin ed by the probabilistic
ili terprdati() 11 of '1" ".111."," IIWd' fI,IIio<. ' I'lo p. sitll fl,ti on ill field th eory is far less definite.
Iln lllld ary (,() lIcii ti olis
"' [I,'y
I.,. dill l"l' lit ill dill'l' II'1I1. pr(lhkrns (i ll th e cflse of th e Gold-
268
Dynami cal Symmetry Breaking in Quantum Field Theories
stein problem, the boundary condition was determined from the condition of the axial
current conservation for example). But it seems that as a general rule, introducing a
proper regularization must play the important role for the consistent treatment of the
nonperturbative dynamics in field theory.
Of course , in reality, in order to get concrete results, we must always truncate
equations for Green's functions. There is no algorithm how one should do the truncation.
Clearly, this is a kind of art, where the physical intuition is very helpful. The lessons we
have learned from the experience of working with nonperturbative QED (even although
in a rather crude approximation) may in turn help the intuition.
3) Chiral Symm etry Breaking in Coulomb gauge.
In this book, only covariant gauges are used for studying chiral symmetry breaking in
gauge theories. Some authors studied this phenomenon in the Coulomb gauge [64 - 67].
This gauge is convenient for constructing the vacuum state in the broken phase (which
is similar to constructing the vacuum in the N JL model (see Chapter 6)). However, it is
rather difficult to satisfy the WT identities, beyond perturbation theory, in this gauge.
Chapter 11
Spontaneous Symmetry Breaking and Critical Phenomena
11.1.
INTRODUCTION
In the previous two chapters, where we described dynamical chiral symmetry breaking in the Nambu-Jona-Lasinio (NJL) model and QED, we often used such words as
"second order phase transition", "symmetric and asymmetric phases", "critical point"
and so on, which are normaly used in the description of critical phenomena in statistical
physics.
A deep relation between the existence of a continuum limit in quantum field theory
(QFT) and critical phenomena was established by Wilson [ 1, 2). He made use of a
fact that a partition function of a (regularized) euclidean QFT can be considered as a
statistical sum in the corresponding classical field theory. The crucial observation is that
the continuum limit of the QFT corresponds to the neighbourhood of a second order
phase transition in the statistical system. Indeed, suppose A is an ultraviolet cutoff in
the QFT, say A = 1/a where a is the lattice spacing of the discretized space-time. Then,
in the neighbouhood of a second order phase transition, the correlation length E, in the
system is very large compared to a [ 3). In the QFT the correlation length is defined as
the inverse mass m-l. Therefore, in this neighbourhood, the ratio E,la '" Aim is very
large, and Aim
-> 00
at the critical point of the second order phase transition. This in
turn implies that there is a possibility to arrange a continuum limit Aim
-> 00
in the
theory by tuning the bare parameters as functions of A in such a way that the physical
quantities, like m, remain finite as Aim
-+ 00.
This tuning procedure is nothing else
but a ren ormalization procedure in QFT.

Therefore continuum limit is defined near a critical hypersurface in the parameter
s pace of a theory. A special and very important subset of the critical hypersurfaces is
for med by conformally invariant points where the theory is conformally invariant. The
(ollforlilall. ransformations illclude the Lorentz transformations (SO (D) transformations
ill
f) dilll (, lI ~ i o nall': lI c lid ca. 1I ~P;tc(,),
ti, e'
s(~.I e
cO llforlll;t,1 t.ra.II S f()rrllal.i () lI ~ (for a f'('vi('w

"".1 POild" , 1, >(',.1
1) 11("H I,I1 ' H
H( '( '
(di la.tation ) transformations and the special

I.hr hooks [ 1)). In th e vicinity of confor-
.11" , I, " , "I.' li ~, ( d h'y It d.YlI ;tlllir;tl

I II
dilll e ll ~ i o ll ,
which is the
270
quantum number connected with the generator of scale transformations (see Sec.l1.3).
The mathematical tool for the description of the dynamics near conformal points is the
renormalization group [ 2-4]. Conformal points coincide with the fixed points of the
renormalization group equations considered first by Gell-Mann and Low long ago [ 5].
Thus a critical hypersurface with the infinite correlation length
is a hypersurface
of a second order phase transition. According to the Landau theory of phase transitions
[ 6 ], continuous (second order) phase transitions are intimately connected with spontaneous breakdown of some symmetries. Therefore it is not surprising that dynamical
symmetry breaking is described as a critical phenomenon.
In the present chapter, we will discuss these points by considering, as an illustration,
some low dimensional models with spontaneous symmetry breaking. The advantage
of this is that critical phenomena in dimensions D < 4 are rather well understood.
Therefore, low dimensional models can serve as a very useful laboratory for studying
these issues. They, in particular, will help us in better understanding the dynamics in
the NJL model and QED already discussed in Chapter 6, 9 and 10.
From the viewpoint of the problem of generating dynamical fermion mass, the most
interesting low dimensional models are models with four-fermion interactions. They
were first studied by Wilson [ 7] and Gross and Neveu [ 8 ] in the framework of 1/Nc
expansion (Nc is the number of fermion colors). It was suggested by these authors and
Parisi [ 9 ] that although the models are perturbatively nonrenormalizable at D
> 2,
they become renormalizable at some value of the four-fermion coupling constant. This
value corresponds to a second order phase transition. The proof of the renormalizabili ty
of these models to all orders in the 1/Nc expansion was given by Rosenstein, Warr and
Park [ 10, 11 ].
The phenomenon underlying the renormalizability of these models is the transmutation of the dynamical dimension of some operators. This phenomenon, which is
interesting in itself, occurs also in some four dimensional models used in the description
of electroweak symmetry breaking. This is the main reason we are going to discuss this
phenomenon in some detail.
271
11.2. RENORMALIZATIONS AND RELEVANT, MARGINAL AND IRRELEVANT INTERACTIONS
Let us consider an action in D dimensional space-time:

5 =
dDx I>fO)Oi(X) ,
(ILl)
where Oi(X) are some local operators composed of elementary fields c,oa(x) .
As we know from text-books (see for example Ref.[ 4 )), the theory with the action
(11.1) is perturbatively renormalizable if the canonical (engineering) dimensions dci of
the operators Oi are equal to or less than D (dei are expressed in the energy units).
Operators Oi with dei
< D describe the so called superrenormalizable interactions,
and are called relevant operators. Operators with dei = D lead to strictly renormalizable
interactions, and are called marginal operators. Now what about the operators Oi with
de; > D which lead to nonrenormalizable interactions? They seem to be the most
difficult operators to work with, so it may seem surprising that they are called irrelevant
operators!
This terminology, introduced by Wilson [ 1, 2 ], will become intelligible if the old
renormalization procedure is reformulated it la Wilson by using the notion of the low
energy effective action [ 1, 2, 12, 13].*)
The initial point of Wilson's approach is to introduce a cutoff A in the action (11.1):
(11.2)
Now the action SA is considered as an effective action describing interactions at scale
E
A. One may imagine the derivation of SA from some more fundamental action Sf
in the following way. Let us divide the fields in the path integral with the action Sf into
high-and low-energy parts :
c,oa = c,oa ,h + c,oa,t ,
(11.3)
whe re th e cncrgy E is E > A for c,o",h and E < A for c,oa,l. The effective action SA is
t)
As wi II b ~ c lt~ ! IJ r fr (J IlI L11 (' followi II K d i,,(' II tHl i o ll , LId ~1 c tr'C' Li V(' acti on sll ou'ld be d ist.i ngu ish ed from the
eW" (' li vI' n.c l.iOIl (W 'llI' rll.tiu t-'. rUlll't iP ll tl l fi)l' f il i i ' 1'/II'Li d l' il'l'c'dll (' ibh- (;r('(~ n 's fun ti o ll s) co nsid ered
i ll ( ;I. rl,p (' ,'
7.
272
Dynamical Symm etry Breaking in Quantum Field Theorie6
defined as
(11.4)
I.e.
(11.5)
The action SA is nonlocal on the scale x:::'lj A. However, because the remaining fields
are of energy E < A, we can expand SA in terms of local operators 0, :
SA
dDx
L:>~O)O. ,
i.e. the action SA is approximately local in the low energy region with E
( 11.6)
~
A. The
dimension of the coupling g(O)

is dg,(0) = D - dei , where dci is the canonical dimension
J
of the operator Oi. The crucial Wilson assumption is that the dimensionless coupling
constants
(11. 7)
have generic values
>.)0) '" 1 for nonrenormalizable interactions.
Now nonrenormalizable operators 0., with de. > D , appear in the action SA with
a negative power of the cutoff, i.e. they are suppressed. Of course, they lead to new
divergent diagrams in the theory, however, the important point is that all these divergences can be removed by counter terms which have the form of relevant or marginal
operators. In other words, nonrenormalizable operators lead to new divergences but not
to new types of divergences. This is the reason why they are called irrelevant operators.
Let us illustrate this important point by considering some examples.

Let us first recall the main facts concerning divergent diagrams in D dimensional
field theory [ 4 ].
Consider a generic diagram G. The index of the diagram w(G) is defin ed as
w(G) =
2.)r/ + 2) -
D(n - 1) ,
(J 1. 8)
where n is the number of vertices in the di agram, th e s umma ti on is ta,ken ove r all in te rn a.l
lines, and
r/
is the hi ghes t power of momentum in til numerato r of th e fr ee propiLgil,to r
273
of a particle corresponding to the l-th line~) If w{ G) < 0, the diagram is superficially

convergent, if w{ G) ~ 0, it is divergent. Let us now introduce the maximum index of
the i-th vertex, wr'aJ<:
~ 2.)rl + 2) -
wr'aJ< =
D,
(11.9)
where the summation is taken over all lines entering the vertex. Then, the index of the
diagram w{ G) is
(IUD)
where
corresponds to the summation over all external lines in the diagram.
lext
As the first example, let us consider a four dimensional scalar theory with the
interaction of the form
lOt
).(0)
= _4_11,(0)'
4!
).(0)
+ _6_ lnr (0)'

6!A2
(11.11)
,
where ).~O), ).~O) and <p(0) are bare quantities. The index w4'ax of the four-scalar vertex
is w4'aJ<
= OJ
the factor A-
the index wiI'aJ< of the six-scalar vertex is wiI'aJ<

2,
this vertex acts as a vertex with
wiI'aJ< =
= 2.
However, because of
O. Let us look at the self energy
diagram in Fig.l1.1. Its index w{ G) is
w{G)
= 2wiI'ax - ~ L{rl + 2) + 4 = 2 ,
(11.12)
lext
I.e. it coincides with w{ G) of the self energy diagram in Fig.11.2 in the renormalizable
theory with ).~O) = O. The divergences in both diagrams are removed by the mass
counter term and by the counter term connected with the renormalization of the field
<p(0) : !(m - m(0))Z2<p2
field .
and
HZ 2 -1)ol'<p0I'<P' where <p =
Z;1/2<p(0)
is the renormalized
Dynamical Symm etry Breaking in Quantum Field Theorie&
274
/.--- - --- ....... '

1/
\'
/ 1
------ r ----- - - r - - - - -
, ------/
,
/
Fig. 11.1. A self energy diagram in </;6 theory. A dashed li ne corresponds to the propagator
of .
----- -r ---- -- - r- -- - -
Fig. 11.2. A self energy diagram in </;4 theory.
>.(0)
Thus , the irrelevant operator ~ip
( )6
0
does not lead to new types of divergences in
the theory, although it leads to new divergent diagrams as the one shown in Fig.ll.l. In
other words, irrelevant operators change the coefficients of the counter terms but they
do not introduce new types of the counter terms.
Another example is QED with additional four-fermion interactions:
4 =
The
wfax
is
wfax = 2 but
(11.13)
A 2 [( 1/;1/; ) - ( 1/;'Ys1/;) J .
the effective
wfax
is
wfax = o.
One can again check th a t
this vertex does not lead to new types of counter terms in QED.
Since the dynamics in the infrared region (E ~ A) is defined by renormalized parameters, it is insensitive to irrelevant operators: th eir effect is absorbed by s uitable
modifications of bare couplings (i.e. by counter terms) of relevant and margin al interactions. As a result, the effect of irrelevant interactions in the infrared region is su ppressed
by factors
(fY with n > o.
It is instructive to discuss the effects of irrele va nt a nd releva nt inte ract ioJls i JI 1." ('
framework of the renormaliz a ti on gro up. As is kn own , in re nor rn a.li zi1.bl the
vertices, such as th e r(6 ) prope r vert.ex in
ip'l
ri ('~,
Ili g" er
t heo ry ~ r CXil.lll1 Ie, Me dder nliJl <: IIIJl iq ll r ly
275
in terms of renormalized couplings of relevant and marginal operators. Their insensitivity to irrelevant interactions can be interpreted as the presence of infrared stable
fixed points in a theory. As an illustration, let us consider the following simple renormalization group equation for the running coupling ).6(cr), of the ip6-operator (cr is a
renormalization group scale):
(11.14)
(in fact, one can check that a = 2 in the theory with the lagrangian (11.11)). The
,8-function ,86
= a).6 + b has
a zero at ).6
-b/a. Since ~
=a >
0, it is an infrared
stable fixed point . The general solution of equation (11.14) takes the following form:
(11.15)
The refore at
~ 1, the value ).6(cr) is approximately universal, ).6(cr) ~ -~, and it is
insensitive to the vale of the bare coupling ).~o). In fact, at a = 2, the effect of ).~o) is
suppressed by the factor
(f)2
in the infrared region.
Unlike irrelevant interactions, relevant interactions are very sensitive to the choice
of bare parameters. Let us illustrate this point by considering the renormalization group
equation for the square of the mass of scalar field, m 2 (cr):
( 11.16)
where s(cr)
-1& ls=so =
== m:~(1).
The ,8-function ,8s
-2s
+ b has
a zero at s
So
f.
Since
-2 < 0, it is an ultraviolet stable fixed point. The solution of equation (11.16)
is
(11.17)
i.r.
(11.18)
wj, vr(' .//I,(e)) = 711.(/\) is tj, r ba.rf" " 'il SS. 1':qs .(11 . 17)' (11.18) irrllly that. in ord er to get a
plr 'ysica. 1 III a. SS 'III. -
111(")1,, '"
I. .. hI' 11111 Ir li glll,,' r 1,11 ,," c lIl.o(r fI , 8(/\)
(711(0)' ) mllst be
276
tuned very precisely to the ultraviolet stable fixed point So = ~ (m(0)2 = ~A2):
s(A) m(O)' _
So
;S
m2
A2
1
(11.19)
~A2 < m 2 ~ A2
2
What we have encountered now is the famous fine tuning problem for relevant interactions. As we shall see in the next sections, such ultraviolet fixed points correspond to
critical points separating different phases in the space of coupling constants.
Marginal interactions are intermediate between relevant and irrelevant interactions.
Usually running coupling constants connected with them depend logarithmically on the
scale a. In this case the amount of fine tuning of the bare parameters is much less than
for relevant interactions. For example, in gauge theories, we have the following type of
the relation for the running coupling constant O'(a):
(11.20)
where 0'(0)
==
O'(A), and C
> 0 in asymptotically free gauge theories. The value a
an ultraviolet stable fixed point . One can see that even at a large ratio
= 0 is
%, say %,..., elO,
and reasonable values of O'(a), say O'(a) ,..., 0.1 -:- 1, the amount of fine tuning of 0'(0) is
not very large:
(11.21)
and therefore these values of O'(a) are not unnatural.
The irrelevant interactions are intimately connected with the problem of the interplay between dynamics of heavy and light particles, which is described by the AppelquistCarazzone (decoupling) theorem. We will discuss this theorem in Sec.13.B.
In conclusion, we would like to emphasize that the consideration in the present
section is essentially based on the perturbative dynamics; beyond the perturbative theory, the situation can be essentially different: at sufficiently strong couplings, some
operators may acquire large anomalous dimensions and, as a result, some of perturbatively irrelevant operators may become marginal or even relevant (and vice versa).
This phenomenon is used in some interesting applications, in partic ular, in describing
the mechanisms of electroweak symmetry breaking (see C hapters 14, 15). In th e n xt
section, we will consider examples of s ti ch a phenomenon.
Spontane01/.$ Symmetry Breaking and Critical Phenomena
11.3.
277
TRANSMUTATION OF DYNAMICAL DIMENSIONS OF COMPOSITE OPERATORS
AT STRONG COUPLING
The quantum number connected with the dilatation operator :D generating scale
transformations is called the dynamical dimension:
-i[:D, <p(x)] = (dcp
+ xl'0l')<p(x)
(11.22)
where dcp is the dynamical dimension of the field <p [ 3]. In the case of free massless
fields, when the scale symmetry is exact, the dynamical dimension dcp coincides with the
canonical (engineering) dimension dc;cp. Since dynamical dimensions of fields govern the
ultraviolet asymptotics of their Green's functions, changing the values of dcp may result
in switching the operators between relevant, marginal and irrelevant ones.
The best known example of this phenomenon is given by the O(N) invariant amodel in dimensions with 2 < D :;; 4 [ 14]. However, from the viewpoint of the problem
of generating fermion mass, a more interesting example is given by the
four-fermion interactions in dimensions with 2
< D :;; 4 [7 -
th~ory
with
11, 15, 16]. Here we will
discuss this model in detail. At the end of this section, we will also indicate the main
results concerning the O(N) a-model.
Let us consider the following action for a set of Nc massless fermion fields:
(11.23)
Henceforth we will discuss D = 3; the results concerning the general D
:S 4 will be
considered in Sec .l1.5.

First, we recall the properties of spinors in D
= 3 dimensions [11,
17]. A spinorial
rep resentation of the Lorentz group 50(2,1) is provided by two-component spinors.

T he Dirac algebra {'YI" 'Yv} = 2gl'v has the following two-dimensional representation:
(11.24)
itrr t.h e Pallii Illil,lric '~. We lI ol.e th at th ere is no 2 x 2 matrix which antic om-
whe re
ai
IIIIII.,S
with ;,.11
I.lIt' se 'Y" .
Tilt 1"(' rl 11"(' 1.11"1', iN li n ,, " aIOKII \! or the chiral symmet ry in (2+ 1)
riilll('llsio ll iti spill'" wlli cll rorillriH 1-I""I ' "t1111~', 1" lllIi,,"
III II .... H.
278
One can however introduce [ 17 ] a flavor symmetry playing the role of the chiral
symmetry if one considers four-fermion spinors assigned to a reducible representation of
the Dirac algebra with the following 'Y matrices:
'YO =
(a 3
o
0),
(ia 1
'Y1 =
-a3
0) ,
'Y2 =
(ia2
0
-!a1
0)
-i0"2
( 11.25)
N ow there are two 4 x 4 matrices,
'Y =
(0 I)
I
' 'Y =!
(0 I)
-I
'
(11.26)
that anticommute with 'Y'" matrices (11.25). The massless free theory is invariant under
the "chiral" transformations
(11.27)
For each four-component spinor, there is a global U(2) symmetry with generators
( 11.28)
Therefore in a theory with Nc four-component spinors, the full symmetry is U(2Nc). A
mass term m{;1jJ breaks this symmetry to the subgroup SU(Nc) x SU(Nc) x U(1) x U(1),
where the generators of the U(I) x U(I) are I and
tb3,
'Y 5].
The action (11.23) has the same continuous SU(Nc) x SU(Nc) x U(I) x U(1) symmetry as the action of free fermions with mass term m{;1jJ. However it also has a Z2
discrete symmetry: 1jJ
--+
'Y51jJ. Generating fermion mass will spontaneously break this
symmetry. Since the symmetry is discrete, no NG bosons will appear in the system .
Of course, we can modify the action (11 .23) by replacing G~O) ({;1jJ)2 by
(11.29)
where a = 0,1, . . , N 2
1. In this case, generating fermion mass will s po nt a neoll sly
break the continuous U(N) x U(N) symmetry to the di agon al U(N) , a nd N 2 NG boso lls
will appear. However, for our purposes, it is s uffi cient to co nside r tir e simpl e r nlod('1
(11.23) .
Spontaneo1L$ Symmetry Breaking and Critical Phenomena
279
It is convenient to introduce the dimensionless coupling constant
( 11.30)
Then, the action (11.23) becomes
(11.31)
In D = 3, this interaction is nonrenormalizable and the operator (-f1/J)2 is irrelevant. As

it follows from the discussion in the previous section, this implies that in perturba.tive
theory, as A
--+ 00
and",
rv
0(1), this theory becomes equivalent to the theory of free
massless fermions . We will however show that, beyond perturbation theory, for values of
'" close to the critical value
"'c =
1, it becomes equivalent to the renormalizable Yukawa
model with the action
(11.32)
in which the bare parameters j.I(O)' and g(O) take certain values [ 15, 16 ]. The action is
invariant under the following Z2 discrete transformations
(11.33)
The model (11.31) can be analyzed in the same way as the NJL model in Chapter
6. Introducing an auxiliary field cp and putting e(O) = g(O)' / j.I(O)', we rewrite the path
integral for the partition function Z
== Z(J)!J=o of the model (11.31) as

(11.34)
where
(11.35)
l,d,('f.\,.,d;"K
<IV(' ,
N(.
f (' IIII; " "
li .. loIM III 1.1... 1'11 110 i ,,1," 141',,1,
WI'
Kd th e df('ct ive act ion for
280
the field <p{ x):

(11.36)
In the limit Nc
---> 00,
the path integral with the action (11.36)
IS
dominated by
stationary points of the action,
oS{<p) = 0
o<p{x)
.
(11.37)
In particular, the vacuum expectation value v = (OJ<pjO) satisfies the following equation
(compare with Eq.{6.29)) :
(11.38)
which is equivalent to
2NcA
1
C(O) =
where
2'Jv:A
mdyn = g(O)v.
(i .e. "'c
= 1).
and the discrete

phase, with
Z2
--;;:2 -
(11.39)
jmdynj ,
This equation implies that the model has a critical point C~O) =
At '" < "'c
= 1, the
model is in the symmetric phase where v
symmetry (11.33) is exact; at '"
# 0, mdyn # 0,
where the
goes to zero continuously as '"
--->
Z2
=0
> 1, the model is in the asymmetric
symmetry is spontaneously broken. Since
"'c = 1 from the side of the broken phase, the critical
point corresponds to a continuous (second order) phase transition.

From the viewpoint of the renormalization group, the critical value "'c = 1 can be
interpreted as an ultraviolet stable fixed point. Indeed, Eq.{l1.39) can be rewritten as
",-I
= 1_
~ jmdynj
2Nc
(11.40)
Therefore the ,8-function ,8" is

(11.4.1)
This ,8-function has two zeroes: '" = 0 and", = 1. Since th e fir st zero corr es pond s to
the solution with Im~.nl
---> 00,
*j.
it is irrelevant for th e continuum th eo ri es. Th e secolld
zero corresponds to an ultraviolet stable fixed point: ind eed ,

will show that this fix ed point defin es an
int c re~ tin g
=I
c ntilllllllTI th eo ry.
= - 1
< D. We
Spontane01t3 Symmetry Breaking and Critical Phenomena
281
Let us return to the Yukawa model (11 .32). The effective action Sy{<p) for the field
<p can be obtained in the same way as for the model (11.35) . We get:
(11.42)
Thus, the only difference here as compared to the action (11.36) is the appearance of
the bare kinetic term !ol'<PfF'<p in the action Sy{<p). In particular, Eq.{11.38) for v,
which can be rewritten as
(11.43)
is also valid in this model. Since the Yukawa model has two free parameters, g(O) and
/1-(0)',
Eq.{11.43) with
mdyn =
0 defines now the critical line of second order phase
transition points:
(11.44)
At /1-(0)' >
2N,!,(O)'
A, the model is in the symmetric phase where the
(11.33) is exact; at /1-(0)' <
2N~~(O)' A,
the model is in the phase where the
Z2
symmetry
Z2
symmetry
is spontaneously broken.
At the critical line (or critical point Kc = 1 in the model (11.31)), the ratio
where m is the characteristic mass scale in the theory (m '"
mdyn '" /1-cp
X ---> 0,
in the broken
phase, and m '" /1-cp in the symmetric phase; /1-cp is the mass of the <p-particle). Since the
correlation length of the dynamics ~ is ~ '" m-l, in the scaling region near the critical
line, ~ is very large: ~ ~ a == A-1 .
Thus , the critical line (critical point) is the place in the /1-(0)' g(O)' -plane (K-line)
where the continuum limit Aim
---> 00
can be defined. Let us show that the theory
with the four-fermion interaction and K = Kc
= 1 is equivalent
to the Yukawa model in
the strong critical regime, in which g(O)' ---; 00, and /1-(0)' and g(O)' lie at the critical
lin e (11.44).
L t
li S
begin by considering the propagator of the field <p in the Yukawa model:
(11.45)
For Hirrrpli cit'y, WI' will (' oll Hicl,, 1.1, \' d'y ri ,"rriul ollly ill tlrr hrokrll phase. The case of the
282
symmetric phase can be considered in a similar way; some special features of that case
will be indicated below.
To leading order in liNe, the contribution to G<p(p) is given by the diagrams in
Fig.l1.3.
---0 ----0--0--+
Fig. 11.3. Diagrams contributing to G",(p) at leading order in liNe. A solid line correspond
to the fermion propagator; a dashed thick line corresponds to the full propagator G.,,(p); a
dashed thin line corresponds to the free propagator of 'P
We find that it takes the following form in Euclidean region (near the critical line
(11.44)):
(11.46)
where
arctanJp
14m~yn
47rp
J()=_1_Jd3 k
A P
(27r)3
(P
+ A2)((k + p)2 + A2)
~_1_
- 87rA'
(11.47)
(11.48)
One can see that the ultraviolet asymptotics of G<p(p) is essentially different in the
following two cases:
a) weak coupling: g(O)' = canst; g(O)' I A ~ 1.
In this case, G<p(p) has a large momentum behavior which is cha rac teri s ti c ro r s uperrenormalizable theories:
I.e . the theory is asymptotically fr e alld th e !:l orn term
~ ttrviv ('s
ill lit e 1;11"1;" ttt ll tttt 'lltUtt l
283
limit;
b) strong coupling:
(11.50)
where 9(0)' is a dimensionless coupling constant.
In this case, the ultraviolet asymptotics of G",{p) takes the form
4
G",{p)
---> 9(0)' A
p.
(11.51 )
From the viewpoint of the renormalization group, such a change of the behavior of
G",{p) means that the dynamical dimension d", = } of the field at the weak coupling
(equal to the canonical (engineering) dimension of the field ~) is replaced by the dynamical dimension d", = 1 at the strong coupling. Indeed, Eq.{11.22) implies that in a
scale invariant theory the propagator G",{x) satisfies the relation:
G",{x) =i(O I T~{x )~(O) I O)
= i(0ITUiJ1{s )~{x)uD{S )UiJl{S )~(O)UD{S )10)
=S2d"'i(0IT~{sx)~{0) 1 0) = s2d"'G",{SX) ,
(11.52)
where UD{ s) = exp(iD In s) is the operator of the scale transformations:
(11.53)
Therefore,
(11.54)
in 3 dimensional space-time. In particular, G",(p) ;..., p-l corresponds to d", = 1.
In fact , because of ultraviolet divergences, the real situation is somewhat more
complicated . Let us discuss this in more detail.
First of all, we note that G",(p) is a bare propagator. Let us define a renormalizable
pro l "gator
G~){p) :
Z(o)C(o){)
( '' ", ()
]l = ,'"
' ''' p ,
wil,\( () is 1.1 ... " 'II'>I' llI lt li~, lt,ti()1I fI\(I III' ~ ' II I, '1'1,,'
Io,lIi'
(11.55)
IlIil SS 11,(Il) {i1.lId th erefore the lllasS
284
counter term) is determined from the relation (11.43)~) It will be convenient to define all
other counter terms in the theory with massless fermions
(mdyn
= 0). In particular, the
renormalization constant Z~u) is determined from the following normalization condition
( 11.56)
where f~)(p) = -G~)-I is the two-particle proper vertex (see Eq.(7.16)), and "bar"
means that Green's functions correspond to the massless theory with
=
mdyn
o.
Then, Eqs.(l1.46), (11.55) and (11.56) imply that
(u) _
'P
( + ---, - - -')-1 ,
1
9(0) A
9(0)
87r a
47r
(11.57)
where (we recall)

(11.58)
Let us define the renormalized coupling constant
-2( a ) -_
ag
92 (a)
as
AZ(u)Z(u)'Z(u)-' -(0)'
'P
.p
(11.59)
where Z~u) is the renormalization constant of the fermion field and Z~u) is the renormalization constant of the cp{;1j;-vertex. Since n-particle Green's functions G~n) (PI, ... , Pn- d
satisfy the multiplicative renormalization relations
(11.60)
and SInce
(dl~ U G~n))
= 0, the renormalized Green's functions
G~);(n)
satisfy th e
*) As was already indicated above, we consider here only th e nearcritial dynamics from th e sid e o f
the broken phase. In the unbroken phase, with mdy. = 0, th e rela ti o n (11.43) is r placed by th e
following one:
JL(ol
= Nc ~O)l (- _-t)
where t determines the width of the un stab le <p- resonan e decay in g illto mass "'"s ren"io ll ,,,,tifermion pairs [ 11 , 15) (compare with th e dis II ssio n in Sec.fI.G).
285
Callan-Symanzik equation:
&
[ &In a
&
+ (3il &9 2 + n'Yep

2
(");(n)
Gep
(11.61 )
(p) - 0 ,
where the (3-function (392 is defined as
(39 2 =
&9(2)(9(0)2,
A/a)
&ln a
(11 .62)
'
and the anomalous dimension 'Yep is

1 iHn Z~"\g(O)2, A/a)
'Yep = 2
&lna
(11.63)
The dynamical dimension dep is
(11.64)
where dc;ep = 1/2 is the canonical dimension of scalar field in 3 dimensions.

One can easily check that there are no corrections to the fermion propagator and
the vertex function in leading order in 1/N c . Therefore z~") =
zi")
= 1, and we find
from Eqs.(11..57), (11.59), (11.62), (11.63) that

-2
(392 = -g
1_4
+ 87r 9
(11.65)
1 -2
'Yep = 167r9 ,
(11.66)
(11.67)
T he (3-flili cti on (1'1. 65) hil$ two zeroes:

th r first
7,('ro
g2
= 0 a nd
g2
is a ll IIltr av iold stahl (' li x(' ri 1)(lillt ; it
= 87r. Since *1.q2=0 = -1
co rre~ p o nd s
<
0,
t o th e weak co upling
f"( 'gilll (" wlr r' r(' a ll a,II" "lhllIlI Hri illH'" HI" " " 11 11 ' I' 'III .tI to z('rn. Th r seco lld ze ro i ~ an infrared
286
fixed point: indeed,
~lii'=81f
= 1
>
o.
The physical meaning of this fixed point
becomes clear from Eq.(l1.59) which is now:
(1 -
-[}2)
811"
(1 _0-,) -2
+ -a - A
411"
9 = 0 .
g( )
(11.68)
T his equation shows that as (a/A) goes to zero, which corresponds to the critical point ,
fj(2) goes to the fixed point [}(2) = 811" independently of the value of the bare coupling
constant [}(O)' .
Since the dimensionful coupling constant g(O)' = A[}(O)' goes to infinity with A
00
(at [}(O)'
i=
--->
0), the infrared fixed point corresponds to the strong coupling regime.
The anomalous dimension 'Y<p is 'Y<p = 1~,..[}2 =
at this fixed point. Therefore the
dynami cal dimension d<p is

d<p =
t + 'Y<p =
1,
and because of Eq.(l1.61), we find that

-1
C (u)()
<p P "'P
,
(11.69)
which agrees with the relation (11.51) .

Now it becomes rather evident that in the critical strong regime, the Yukawa model
is equivalent to the model with four-fermion interactions at
K,
K,c
= 1. In order to
show this, we note that at the critical line (11.44), the ratio of g(O)' A and j./O)' is fi.xed .
Therefore in the critical strong limit, when g(O)' = [}(O)' A
--->
00, 11(0)'
also goes to
infinity. As a result, the kinetic term of the 'P field becomes negligible compared to the
mass term and can be dropped in this limit in the action. This leads us to the theory
with four-fermion interactions after the auxiliary field 'P is integrated out. The coupling
constant
K,
in this theory is automatically fixed:
K,
K,c
= 1.
In more formal language, one can say that since the dynamical dimension of th e
kinetic operator 8J.l'P8J.l'P equals 4 in the critical strong regime, it becomes an irrelevant
operator and can be dropped .
To see the equivalence between these two models in a more explicit form, let us
calculate the propagator
c {;", (x) = i(OIT~1jJ (x) ~1jJ (O)IO)

of the composite field ~1jJ in th e Yukawa model.
( II. 70)
SpontaneOU8 Symmetry Breaking and Critical Phenomena
287
In leading order in 1/N c , the contribution to the connected Green's function Gt/J'" is
given by the diagrams in Fig.I1.4. It takes the following form in Euclidean space:
(11.71)
where J(p) is given in Eq.(11.47), and J is
(11.72)
Fig. 11.4. Diagrams contributing to the -inp propagator at leading order in l/Ne . A solid line
denotes the fermion propagator and a thick dashed line denotes the full scalar propagator.
At strong coupling, when g(O)'
--> 00,
G",,,,(p) is
(11.73)
This expression of course coincides with that of the propagator in the theory with the
four-fermion interaction at
Kc
= 1.
We note that Eqs.(l1.46) and (11.73) lead to the following relation:

(11.74)
In other words , the composite operator 1j;1j; essentially acts as the scalar field 'P. Let us
make this statement more precise.
We consider the generating functional W( J) =
+In Z( J)
for Green's functions of

I
the auxi liar y field 'P in the theory with the lagrangian (11.35):
(11.75 )
IlIt<'gr:d.illg OV('I"
If'
ill ;/, (.1) ,
WI '
IllId IIi .d , lip 1.1) 1,( 1111 1 illl",c lIl.i:d lI orl1la.li za. li o ll fa " r ,
II
II
I
288
Z(J) is
(11.76)
where 4 is the lagrangian density of the four-fermion interaction model (11.23). This
equation leads to the following relation for G,j,"'(p):
(11. 77)
Since the relation (11.38) can be rewritten as
(11.78)
we find that Eq.(11.77) is equivalent to Eq.(11.74) .

Eq.(11.76) also implies that for Green's functions including only one composite field
;j;1j; and any number of elementary fields 1j; and ;j;, we have the following relation:
(11.79)
Therefore it is appropriate to define the renormalization operator (;j;1j;)(u) in such a way

( ) -1/2
that it will coincide with the renormalized field a 3 / 2<p(u) = a 3 / 2 Z",u
<p :
( 11 .80)
where
Z
-3 (,./0)2)
(U) =
"''''
g (O)
2 Z (u)
'"
~
-
32Nc
7r3
( ~) 2
a
(we used Eqs.(11.44), (11 .57) and (11. 58 ) ill the dcr iva,ti on of this rr i;tti 11) .
( I 1.8 1)
SpontaneOU6 Symmetry Brealcing and Critical Phenomena
289
Then, one can easily check that in the continuum limit, all renormalized Green's
functions of (1,b1/J)(u) coincide with those Green's functions in which (1,b1/J )(u)
---->
a 3 / 2I{J(u).
In other words, the renormalized composite operator (1,b1/J)(u) equals the scalar operator
a 3 / 2 I{J(u) .
In particular, its dynamical dimension d{!,p equals d<p = l.
Thus, at strong coupling in the Yukawa model, two different operators 1,b1/J and
I{J
(having in particular different canonical dimensions) have the same dynamical dimension
d{!,p = d<p = 1. This in turn implies that they acquire large anomalous dimensions:
(11.82)
(11.83)
(this is our convention for the definition of the anomalous dimensions of these operators).
At strong coupling, the renormalized operators (1,b1/J)(u) and a 3 / 2 I{J(U) are equivalent,
and this is the main reason of the equivalence of the Yukawa model and the model with
four-fermion interactions in the strong critical regime.
The equivalence of the Yukawa model and the model with four-fermion interactions
was shown in all orders in the 1/Nc expansion [ 10, 11). This equivalence is in turn
the basis of the proof of the renormalizability of the four-fermion interaction model
in all orders of the 1/Nc expansion in 3 dimensional space-time. The central point of
the proof [ 10, 11 ) is that Green's functions in the Yukawa model are multiplicatively
renormalizable in the critical strong coupling limit. The latter is based on that fact that
physical couplings in the model are determined by i:lfrared fixed points, and therefore
they remain finite in this limit.
In the conclusion of this section, we will briefly discuss a similar phenomenon which
t akes place in the O(N) invariant a-model [ 14 ).
The lagrangian densities of the O(N) invariant linear and nonlinear a-models are:
wh ere th e La,gr all ge IlIl1ltiplier rr (:,:) ('lIrnr(' ('s th e co ll straint
'I'h " 1I(l lilill ('a ,' () ",0 <1 ( 1 iH 1,, oI,lIo1 l1 01i vl l y 'HIII" ' II " "I1 ,tli z,d )I( .
(7r n )2
Ii a = 1,2 , N.
290
In leading order in 1/N, the analysis of these models is similar to that of the Yukawa
model and the four-fermion interaction model considered above. We find that in (2 + 1)
dimensional space-time, the critical line in the linear (T-model is:
It separates two phases: at
/1-(0)2
NA
),(0)
1211"2 '
~ < $,
(11.86)
the model is in the symmetric phase with the
(0)2
O(N) symmetry unbroken ; at
Yo> > 1~:2 ' the model is in the phase where the O(N)
is spontaneously broken to O(N - 1).

The critical point in the nonlinear (T-model is
F- 1 = NA
e
In the strong coupling limit, when ),(0)
( 11.87)
211"2 .
--+ 00,
the critical linear (T-model
= ~) becomes equivalent to the critical nonlinear (T-model with
F- 1
(with~
= F e-
'ffo.
The basic reason of this equivalence is connected with the fact that near the critical
point F = Fe, the composite operator (T2(x) acquires a large dynamical dimension,
d,,2 = 4, i.e. it becomes irrelevant operator. Since it is irrelevant, we can add it to
en
without changing the behavior of the model in the infrared region with p2 / A ~ 1:
2
(11.88)
Integrating over the field (T(x) in the path integral we come to the linear (T-model with
), (0) =
6F /1-(0)2.
The proof of the equivalence of these two models in all orders of the 1/N expans ion
was given in Ref.[ 18].
In the conclusion of this section, we would like to interpret these results fr om th e
viewpoint of low energy effective lagrangians .
The equivalence between the Yukawa model and th e fo ur-fe rmi o n illteracti o ll Illodel,
and between the linear and nonlinear (T-mod els is exact in th e
piA
--+
~ tri ct
COlltilllllllll lillrit ,
O. At small but finit e piA, th e equival ence call be illtC'l" pr!' t('d i\.~ til !' (hri v;LI.illll
SpontaneOU8 Symmetry Breaking and Critical Phenomena
291
of the low energy effective lagrangians for the two "fundament.al" theories , the nonlinear
a-model and the four-fermion interaction model: at
pi A ~ 1, the linear a-model is the
low energy effective theory of the former, and the Yukawa model is the effective theory
of the latter. The rp-partial can be interpreted as a fermion-antifermion bound state,
and the a-particle can be considered as a
7r -
7r
bound state.
T he concept of effective theories is quite useful and general. Cutoff A is considered as a scale of a "new" physics in particle physics and as some microscopical scale
(as the Debye frequency (see Sec.2.8)) in condensed matter physics. In particular, in
this way, one can derive the Ginzburg-Landau (GL) model from the BCS theory of superconductivity (see Sec.2.9). The GL model is the low energy effective theory of the
latte r.
In Chapters 12, 14 - 15, we will apply this concept to the description of the nonperturbative dynamics in QCD and to models of electroweak symmetry breaking. For
some recent applications of the effective theories of the four-fermion interaction models
to condensed matter systems, see Ref.[ 19].
11.4. UNIVERSALITY, CRITICAL EXPONENTS AND FINE TUNING
The Yukawa model and the model with four-fermion interactions are in general case
essentia.lly different models. However in the critical dynamical regime described in the
previous section they become equivalent.
This is an example of the universality of critical phenomena: different models may
have the same critical dynamics. In this case one says that they relate to the same
universality class.
The number of universality classes is essentially smaller than the number of different
models . Important characteristics of universality are critical exponents [ 3, 20]. Let us
di sc uss t.h em in more detail.
C ritical exponents describe the a pproach to criticality of such quantities as the order
pa.r;ulldrr, th e effect ive pot enti al, the particl e masses, etc .. To be concrete let us define
I. h(' crit ical ('x ponClits
(1',
(1, 1, '1 a nd 0 by
II s ill ~
notati ons in the four-fermi on interaction
,,")( Ipl:
\1 '" (
1\ ) .
" .If ",(11)
() .
( 11.89)
292
(11.90)
(11.91)
(11.92)
(11.93)
where b.K = K-K c, m(O) is the bare mass offermions, and the potential V( 'Pc) is V( 'Pc) =
(J d3 x)-lS('Pc), where S('Pc) is the action (11.36) calculated at 'P = 'Pc independent of
x. The potential is:
(11.94)
The calculation of the critical exponents in leading order in 1/ Nc is straightforward.

In order to calculate (3, 'Y and 0, we must first solve the Schwinger-Dyson equation for
the fermion mass m,
(0)
m-m
2NcG(0)m
2
d _p_2_
P 2
2
P
7r
(11.95)
+m
(compare with Eqs.(8.55), (11.38)), and then calculate the condensate
(oI1jJ1jJ10)
=
..
-z hm tr(G(x)) =
x~o
2Nc
--2
p m
(11.96)
dp-2--2
7r
+m
The results are
(3
The exponent
I}
= 1, 'Y = I, 0 = 2 .
is sec ured by notin g th a t as
m(O) -+
0, th e
( 11.97)
In il. S
P'" is
It ",
~ nt . We find
Spontaneo'U& Symmetry Breaking and Critical Phenomena
293
that
v = 1.
(11.98)
The exponent 0- is calculated from the expression (11.94) for V . It is

0- = -1.
(11.99)
For completeness, we also indicate the critical exponents to order 1/Ne calculated in
Ref.( 21 ]:
8
8
0-=-1--{3 = 1, 'Y = 1 + ~N '
2
No'
7r
7r
(1l.l00)
8
-2-'
15 = 2+~N
' v = 1+ 37r Ne
7r
e
One can check that they satisfy the so called hyperscaling relations which follow
from the requirement of having a correletation length
<'" m-
as the only relevant
scale in the critical dynamics [ 22, 3, 20 ]:

2 - 0- = Dv, 2{3 + 'Y = 2 - 0-, 2{315 - 'Y = 2 - 0- .
(ll.101)
Different universality classes have different critical exponents. Therefore the dependence of the exponents on Ne in Eq.(I1.100) implies that the theories with different Ne
belong to different universality classes. In principle there could be even a crossover in
the behavior at some Ne = Ne so that theories with low Ne < Ne might have a dynamics
essentially different from that in theories with Ne
> N e. At present this possibility is still
open. Recent lattice computer simulations of these theories show that 1/Ne expansion
is accurate at least for Ne 2 12 [ 21
J.
Another interesting point is that the values of the critical exponents
III
Eq.
(11.100) are essentially different from the values of mean-field exponents,
0- = -2, {3 =
2'
'Y = 1, 15 = 3, v =
2.
(1l.l02)
T he 1a.l.ter co rres ponds to the critical dyn a.mics with the trivial S-matrix [ 3, 20]. This
un ambi guoll sly ('s t a,blishes thitt at /) - :1, th !' cont.inlilim theories with four-fermion
illt.('I' H,('I. io Il H [11'(' 11I11I1.1i v i;d I.h (,OI' i('H wil.h .t.,' 1I1 .,I., ix oIiff(' I'(' II1. frolll .') = I.
294
Dynamical Symmdry Breaking in Quantum Field Theoriu
Let us return to the fine tuning problem.
As we already indicated in Sec.11.2,
infrared fixed points lead to low energy dyna.mics which are stable under the variations of
bare parameters. On the other hand, ultraviolet fixed points define low energy dynamics
which are sensitive to the variations of bare parameters.
Let us discuss the fine tuning problem in the critical region of the four-fermion
interaction model and the Yukawa model, where these two models are equivalent.
At
K,
K,c
= 1, the ,B-function ,B~ in the four-fermion interaction model is (see
Eq.( 11.41)):
,B~ ~
1-
(11.103)
K,
It corresponds to the mass relation (11.40):

-1
K,
1[2 Imdyn l
This relation shows that in order to get a light

constant
K,
(I 1.104)
=1- - - - .
2Nc A
mdyn,
with
Imdynl/A ~
1, the coupling
must be tuned very precisely to the ultraviolet stable fixed point
K,c
= 1.
On the other hand, the ,B-function ,Bg' (11 .65) in the Yukawa model has a zero at
92 = 81[ corresponding to an infrared fixed point. As was already shown in Sec.11.3
(see Eq.(l1.68)), this zero defines the running coupling constant g2(0-) in the low energy
region (with 0- / A ~ 1) which is close to the fixed point 81[ and it is insensitive to the
value of the bare coupling constant
g(O)'.
So it may seem that there is no fine tuning problem in the Yukawa model. However,
this is not so. The point is that there is the mass parameter
f/ O)' in that model, and in
the critical region, it satisfies the relation (11.43):
(I LIDS)
Comparing this relation with Eq.(l1.104), we see that the qua.ntity

the role of
K,-1.
2~:~')<;~'
plays here
Thus, we conclude that the fine tuning of th e co upling constant
just equivalent to the fine tuning of the mass paramcter
j.l(O)'
K,
i~
in thc YUkilWil model.
The appearance of new relevant operators in thc ac ti on of th e mode lB IIlak('s th <'

fine tuning problem even morc scvc rc. Lct
liS
for cxanlpl c ildd IIlilSS tCrtll
- 711((1)
'/)1/' ill
the lagrangian density (11.31). Then at
K,
K,e
295
= 1, we find the following relation from
the Schwinger-Dyson equation (11.95) :
(11.106)
where m = meur at
K,
K,e .
This relation shows that the bare mass m(O) must be tuned
very precisely to zero in order to get meur
A. In fact, we can introduce the ,B-function
(11.107)
for the dimensionless mass

fixed point at n,(O) =
m(O)
== m~O).
One can see that
,Bin(O)
has an ultraviolet stable
o.
Thus we see that the fine tuning problem is a very general phenomenon in the critical
dynamics. In some models, it can be essentially reduced by imposing some symmetries
as, for example, supersymmetry [23] . However, as we will discuss in Chapters 14, 15,
there can be other possibilities to deal with the fine tunning, and even to use it .
11.5.
THE FOUR-FERMION INTERACTION MODEL IN
DIMENSIONAL SPACE-TIME
(2::; D::; 4)
Up to now we have discussed the four-fermion interaction dynamics in 3 dimensional
space-time. This analysis can be extended to theories in D dimensions, 2 ::; D ::; 4 [ 24,
21 ]. In this section we will just indicate the results of the analysis in Ref.[ 21 ].
In leading order in liNe, the Schwinger-Dyson equation takes the following form:
(11.108)
wi, (' rc N~
= Jt ld , " lid
di", ( ,, ~ i " " N .
I i ~ th e id e llti ty " " ,.trix ill th e space of th e D ir ac m a tric es in D
296
The critical coupling G~O) is determined from the equation
(11.109)
Eq.(11.10S) is equivalent to the following one:
(11.110)
where
C =
sr (2 - Q)
2
(11.111)
(41r)D/2 (D - 2)
(in the derivation of Eq.(ll.l11), we used Eq.(C.6) in Appendix C). It is convenient to

introduce the following dimensionless coupling constant 0)
(11.112)
Then, Eq.(11.11O) takes the form:
(11.113)
The ,B-function ,B" is
(11.114)
(compare with Eq.(11.41))~o) It has a zero at
'" =
"'c =
(11.115)
D - 2
corresponding to an ultraviolet stable fixed point. The two cases, D
= 2 and
= 4,
deserve a separate discussion.

0) This" coincides with" in Eq.(11.30) but it is diffe re nt (by th e facto r 2) from" d fi n d in
at D = 4 .
I ~d 6. 15)
.. ) In accord with the Wilson th eory (see Sec. 1 1. 2), our definiti on of th e integra.! in gq.(II. IO!l ) is
such that G~O) - ' ~ A(D-2).
SpontaneO'U6 Symmetry Breaking and Critical Phenomena
297
a) D = 4.
In this case, since
(2 -
If) :::: ~ at
D:::: 4, the coefficient C in Eq.(l1.111) has
a pole singularity. The Schwinger-Dyson equation (11.110) is now:

1
mdyn
47\"2
47\"2
2 _ Q = N e(O) - N e(O) .
c c
(11.116)
Comparing this equation with the Schwinger-Dyson equation (6.14) in the NJL model
obtained by using a sharp cutoff A in the integrals, we find that they are equivalent if
we use the following identification:
(11.117)
b) D= 2.
In this case, the critical coupling

takes place at all
>
Ke
= 0, and spontaneous Z2 symmetry breaking
o.
In fact, at D = 2, the coupling constant e(O) is dimensionless and the model is

perturbatively renormalizable.
The Schwinger-Dyson equation (11.108) leads to the following relations at D = 2:
(11.118)
2
mdyn
Thus, e(O)
--->
0 as A
---> 00,
= A2 exp
( - -
27r)
-(0-)
Nee
(11.119)
i.e. the model is asymptotically free [ 8 ]. Another
c h a,.ade ,.i~ l.i c point in th e model is an essential ingularity at e(O) = 0 in the expression
(11 . 119) fill"
71!;{V" .
298
Dynamical S ymmetry Breaking in Quantum Field Theoriu
Let us return to the general D. To leading order in 1/N c , the critical exponents
were calculated in Ref.( 21] (compare with Eq .(11.100)) :
D -4
2'
=D _
f3 =
1
D _ 2' 'Y
=1,
1
o=D-l, v = - D .
(11.120)
-2
We note that at D = 2, the exponents a, f3 and v become infinite. This point reflects
the essential singularity at
C(O) =
0 in the expression (11.119) for m~yn. On the other
hand, at D = 4, the critical exponents (11.120) coincide with the mean-field exponents
(11.102). This point reflects the fact that at D = 4, in the continuum limit, the Yukawa
model and the four-fermion interaction model become free theories. We will return to
this point in Sec.14.6.
11.6 .
RUNNING PARAMETERS AND RENORMALIZATION OF BARE PARAMETERS.
MORE ABOUT THE PHASE TRANSITION IN
QED
After getting an experience in critical phenomena, it is appropriate to discuss some

problems connected with renormalizations in quantum field theory from this viewpoint.
In this section we will discuss two of them: the connection between bare and running
parameters, and the renormalizations in the supercritical QED.
In four dimensional gauge theories with fermions, there is a simple connection between the form of running parameters, such as running coupling constants, running
masses, etc ., and the form of their bare counterparts as functions of cutoff A.
For example, in the one-loop approximation, the running coupling has the following
form:
1
a p
-(-) = -(-)
0"
+ Gin -0"
(ll.J21)
where G > 0 (G < 0) in asymptotically free (non-asymptotically fr ee) gauge theori es.
The bare coupling constant
a(O)
1
a(O)
is
1
/\
= a (/\) = C\'{O") + G in -;;
( 11.1 22 )
In the same approximation , th e runnin g fennion m ~$S ta k('s 1.11(' foll owing for II 1
{S('('
SpontaneO'U8 Symmetry Breaking and Critical Phenomena
299
Sec.12.2):
a(p))
m(p) = m(a) ( a(a)
em
(11.123)
And the bare mass m(O) is
a(A)) em
m(O) = m(p)lp=A = m(a) ( a(a)
(11.124)
Such a simple correspondence follows of course from the fact that the bare parameters
are given by the values of the running functions at p = A.
However, this is not an universal rule in field theory. Let us look at the relation
between the bare mass m(O) and the physical mass m in the four-fermion interaction
models.
In leading order in liNe, the mass function m(p2) is just a constant, m(p2) = m.
But at the critical value of
K, K
Ke,
we find that the bare mass m(O) is not equal to
m(p2)l p2=A2 = m but rather
(11.125)
at D = 3 (see Eq.(1l.106)), and
(11.126)
at D = 4 (the relation (11.126) follows directly from Eq.(9.84)).
These relations show a nonperturbative enhancement of the fermion mass: the bare
mass is enhanced by the factor (~)D-2 . )
This example demonstrates that the relations between the running parameters and
their bare counterparts are in general case rather delicate. From the viewpoint of the
t heory of criti cal phenomena, the renormalization of bare parameters means their fine
tunin g to th e critical valu es. In particular, it is not difficult to convince oneself that the
.. ) A .':J we w ill .seC

;.](' r'i pt io ll o f
ill
;lt ap tt' r I ;', thiN ('nh n.II ('(, lo('ul mec ha ni sm is used in so me models for
tilt" III H.'1;-1
~ P(: d J't1111
l 1r
qLl/lj rk~1 fl hd 1"plOIl N.
the de-
300
parameter 'Ym in the relation,
m '" m(O)
A)1m
(m
(11.127)
'
representing the relations (11.125) and (11.126) in the four-fermion interaction models,
is expressed through the critical exponent fi (see Eq.( 11.93)):
'Ym =
fi(D - 1) - 1
1 + fi
(11.128)
Since fi is a universal characteristics of a critical phenomenon, 'Ym is also a universal

parameter. Therefore the relation (11.127) expresses a genuine physical effect.
We conclude that both the renormalizat.ions of bare parameters and the form of
running paramet.ers are determined from the equations for Green's functions. However
the relations between bare and running parameters are in general rather nontrivial.
Let us discuss the chiral phase transition in QED (considered in Chapter 10) from
this viewpoint.
We begin by considering the ladder approximation . In this approximation, the
running coupling a(p2) is just a constant, a(p2)
= a = a(O).
However, as we showed in
Sec.1O .2, there is a nonperturbative mass divergence at a > a c = 7r/3. Although the
renormalization constant Z3 is Z3
= 1 in
this approximation, the ,B-function connected
with the nonperturbative renormalization of a is nonzero (see Eq.(10.119)):
2
,B(a) = - 3
(a
-
ac
)3/2
- 1
(11.129)
From the viewpoint of the theory of critical phenomena, the renormalization of a is the
fine tuning of a to the critical value a = a c . The critical value defines a universality
class different from that of perturbative ladder QED. In particular , in this univers ality
class , new degrees of freedom (chiral composite fields 7r Ct
'"
{J'Ys)..Ct1j; and act '" {J ).. Ct V))
appear. In fact, the renormalization (fine tuning) of a provides finit eness of th e mass
of act in the cont.inuum limit.
As we showed in Sec .1O.8, the ,B-function (11.129) leads t o nonpertur bative breakdown of scale symmetry in the ladder approximation. From th e viewpoint or t.h e d fective theory, which corresponds to this universa.lit.y class, t.his fad is not sur pri sin g:
SpontaneO'U8 Symmetry Breaking and Critical Ph en om ena
301
the nonperturbative mass term of a particles violates the scale symmetry. In Sec .14.6,
we will discuss this effective theory in more detail. In particular, the critical exponents
corresponding to this universality class will be calculated.
Let us discuss now the chiral phase transition in the one-loop QED considered in
Sec. IO.9 . The expression for the running coupling a(p2) is just the standard one (see
Eq.(1O.139)). The critical coupling a(O) = a c :::: .2 defines an universality class different
from that of perturbative QED at a(O) < a c . At a(O) = a c , the universality class of
QED (in this approximation) corresponds to the mean-field a-model (plus the photon
field).
Thus, the chiral phase transition in QED can be well understood in the framework
of the theory of critical phenomena.
We will return to these issues in Sec .14.6.
11.7.
THE SECOND COLEMAN THEOREM: THERE ARE NO GOLDSTONE BOSONS
IN Two DIMENSIONS
Our discussion of critical phenomena in D dimensional systems would be incomplete

if we did not discuss the problem of the spontaneous breakdown of continuous symmetries at D = 2. In fact, the general statement concerning this problem is very simple:
there is no spontaneous breakdown of continuous symmetries at D = 2.
This theorem for condensed matter systems was proved by Mermin and Wagner
[ 25] and extended to relativistic field theory by Coleman [ 26] .
Rather than to consider the rigorous proof of the theorem, we will discuss its physical
meaning.
As is well-known, the ultraviolet divergences become less severe with decreasing
D*) However, the infrared divergences become stronger as D decreases . They are in
fact the reason of impossibility of the spontaneous breakdown of continuous symmetries
a t D = 2.
T he essence of the Coleman theorem is the following. Because of the Goldstone
th eorem (see Sec .3.4), there would be massless scalars if a continuous symmetry was
.) Act ua ll y, li,is was moti vati on fo r s tlld y in g spo llta neo us chiraJ symm etry bre akin g at D = 2 for
th c ,, "th o rs o f n( f.[ 27 J. T J,i s 1' ''1 t' r rO ll si<lNi ll K " two dim e ns ional model with fo ur-fermion
i llL t1!'Hi' ti o ll 11.P IH'fl. l'(d j ust n.rl(r Lh t N lt,IIdHl h lld .I II Ln,s ini o pa.p er.
302
spontaneously broken. But in a two dimensional space-time it is not possible to construct

a massless scalar field operator satisfying the axioms of relativistic field theory (as
positivity of the Fock space metric, locality, etc.). In order to see this, let us consider
the two-point function
(11.130)
It is divergent at the origin at all xo . This reflects the point that a 8-function singularity
on the light-cone is forbidden in two dimensions.

The presence of N G bosons provides the validity of the chiral Ward-Takahashi (WT)
identities (considered in Sec.9.2) even although some symmetry breaking Green's functions are nonzero. But there are no NG bosons at D
= 2.
This result also admits the following simple interpretation. Spontaneous symmetry
breaking implies that there is an order parameter v = (01'P10) describing the condensate
in the vacuum. There are of course quantum fluctuations around v. It is clear that the
notion of the order parameter is meaningful only if the fluctuations are not very strong.
But Eq.(11.130) implies that NG bosons would lead to infinitely strong fluctuations.
So we conclude that the notion of the order parameter connected with a continuous
symmetry is physically meaningless at D = 2.
Of course, discrete symmetries, as the Z2 in the four-fermion interaction model, can
be spontaneously broken at D = 2.
One should also understand that the Coleman theorem does not forbid the dynamical
generation of particle masses at D = 2. As an example of what may happen at D = 2,
let us consider the U(N) invariant Gross-Neveu model [ 8]:
(11.131)
where a = 1,2, ,Ne. The action possesses the U(l) chiral symmetry, a
--->
ei 8-y, a.
By using the auxiliary field method, used already in Chapter 6 and in this chapter,
one can show that in leading order in liNe, the vacuum expectation value (01~10)
is nonzero, and fermions acquire a dynamical mass. This, in th e contradiction with
Coleman's theorem, implies th e spontall eo ll s bre<l.kd own
or th e U('I)
chi m l symmetry.
Spontaneo'U& Symmetry Breaking and Critical Phenomena
303
A resolution of this puzzle was suggested by Witten [ 28]. He argued that in the
next to leading order in 1/N c , the order parameter equals zero, and Green's function
(OI~(x)7{I(x)~(O)7{I(O)IO) is
(11.132)
for large Ixi. This behavior indeed implies that the order parameter is zero:
(OI~(x)7{I(x)~(O)7{I(O)IO)
Ixl- oo
(OI~(x)7{I(x)IO)(OI~(O)7{I(O)IO)
=0.
However, the Green's function (11.132) goes to zero rather slowly as Ixl
(11.133)
~ 00.
More-
over, in this order, fermions remain massive. A "right" fermion field -0(x) describing
them is chiral invariant.
The kind of behavior in Eq.(11.132) corresponds to the Berezinski- KasterlitzThouless (BKT) phase transition discovered first in the two-dimensional XY model
in statistical physics [29]. While in the conventional phase transition, the behavior of
this Green's function would be
(OI ~(x)7{I(x)~(O)7{I(O) IO) '"
Ix-l-oo
Ixr 2
(11.134)
in the symmetric phase, and

(OI ~(x)7{I ( x)~(O)7{I(O) IO) '" const -1= 0
1%"1_00
(11.135)
in the broken phase, in the case of the BKT phase transition, the relation (11.135) is
replaced by the relation (11.132), although Eq.( 11.134) is still valid.
The relation (11.132) implies that although the order parameter equals zero, there
are long rangle correlations in the BKT phase. Thus, at D = 2, this phase replaces the
phase with spontaneous symmetry breaking existing at D > 2.
Chapter 12
Dynamical Chiral Symmetry Breaking in QCD

12.1.
INTRODUCTION
Hadron dynamics gives the most important example of the phenomenon of dynamical symmetry breaking in particle physics. In fact, the concept of spontaneous symmetry
breaking in particle physics itself first appeared there. In their classical papers, N ambu
[ 1], Nambu and Jona-Lasinio [ 2], and Goldstone [3] introduced this concept being
motivated by the experimental fact that the pions are light compared to other hadrons.
The microscopic theory of the hadron interactions is quantum chromodynamics
(QCD). Since a lot of experimental facts have left no doubts on the reality of spontaneous chiral symmetry breaking in the dynamics of hadrons (see Chapter 4), this
phenomenon has necessarily to be realized in QCD.
QCD is a vector-like gauge theory (see Sec.9.1). Its lagrangian density takes the
following form:
(12.1)
where
C KI'v
--
aI' c vK
01,)
(D 1''1'
ai
av c I'K
T
- g (O)f'
l\ ST CSC
I' v '
al''I'ai
01,
K 01,
CK
+"2 g(0) tim'l'am
I'
j
'
(12.2)
(12.3)
(12.4 )
Here fKsT are the structure constants of the gauge (color) group SU c (3), K, 5, T =
1,2, . .. ,8, the matrices
t{;" define the fundamental
representation of the SUc (3) (trt K tf(
= 2), and a, b are the flavor indices of quark fields; a, b = 1, -, N. QCD describes th c
interaction between quarks (1j;ail and gluons (C~()
; g(O) is t.he bare gauge coupling, a.nd
m,(O) is the bare mass matrix for quarks.
Although in the real world the color group is SU c (3), it is ort en COIIV(' lIicllt to CO llsidc r
QCD with the color group SU(Nc), with N c a.rbitra.ry. Th e poillt is th ;d, til (, dYllilllli ("s
simplifies in th e limit Nc ---+
00,
,\lId th e liN e expa.ll sioll Iliay still i>(' r('liil,hl (' a.t N,.
:1.
305
The chirallimit with m,(O) = 0 is very special. As we already showed in Sec.9.2, in

this limit , the currents
"
- .\ '"
]" = 1/J
2 'Y,,1/J; a =
0,1" , " N 2 - 1 ,
(12.5)
(12 .6)
connected with the chiral group SUdN) x SUR{N) x Uv {l) are conserved. The singlet
axial current
(12.7)
is not conserved even in the chirallimit because ofthe Adler-Bell-Jackiw (ABJ) anomaly
[ 4,5] :
(12.8)
As was shown in Sec.9.2, if the chiral group is spontaneously broken to the SUv{N) x
Uv {l), the quark propagator takes the following form in the chirallimit:
(12.9)
where Bdyn{p2) is the dynamical quark mass function.
If the bare mass matrix m,(O) is not zero, the chiral symmetry is explicitly broken,
but if the bare masses of some of the quark flavors are small, we are led to the dynamics
of the partially conserved axial currents (PCAC) considered in Sec.4.5 . This is what
ha ppens with three lightest quarks u, d and s in nature. The corresponding approximate
chiral symmetry is SUL (3) x SUR(3) x U v {l) . A signature of the PCAC dynamics is
th e lightness of eight pseudoscalar mesons 7r 0 , 7r,
J{0,
j{o, J{ and 17 composed of these
three quarks. T hey are pseudo-NG (Nambu-Goldstone) bosons. The ninth pseudoscalar
lIle~o n 17' is esse nti al ly heavier because of the ABJ anomaly (12.8){see Secs .12.8 and
I ~ . 12) .
III " """Y r('H I cds, th e dcsn il ti oll of dy"allli ciI.I ( hir al sy mmclry brea.king in QCD
!'('dlln 's to 1.1, (, d, 's("I'i l'l.i oll )f I.h(' <l YI Il" "; ",, of I'H(' IICloH('lti H.,'
"' (' S("' S .
SiIlCC , as we already
306
showed in Sec.9.2, the Bethe-Salpeter wave function of NG bosons is expressed through
Bdyn(p2) (see Eq.(9.38)), it is important to find the form of the dynamical mass function
of quarks.
The whole program of the realization of spontaneous chiral symmetry breaking in
QeD can be divided into two parts. The first part is the description of the microscopic
dynamics which is responsible for this phenomenon. The second ("macroscopic") part
is the derivation of the low energy effective action describing the interactions of light
hadrons.
Although at present this program is far from being completed, some key points of
the dynamics of chiral symmetry breaking in QeD are already rather well understood.
In the present chapter, we will consider the issues connected both with the microscopic dynamics and with the low energy effective action in QeD.
12.2.
PERTURBATIVE DYNAMICS IN QeD
In this section we recall the basic points of perturbative dynamics in QeD [ 6].
QeD is an asymptotically free theory [ 7]. In the one-loop approximation, its

running coupling constant takes the form (in Euclidean region) :
(12.10)
where b is the first coefficient of the QeD (3 function,
b 3
(3(9)= - 29 ,
(12.11)
b = llNe - 2N
2471"2
'
and AQCD is the infrared scale parameter in QeD (AQCD
rv
300M eV in the real QeD
with Ne = 3).
We will assume that the bare mass matrix
m(O)
(12.4) takes the form:
(0) _ r
(0)
mab - uabma
(as we already noted in Sec.9.3, the general mass matrix
(1 2. 12)
rh (O)
ca.n be redu ced to th e
form (12.12) by using an appropriate chir;!.! tran sform a. ti on of ferrlli on Gelds):) It i ~

*) There are however subtl e po ints co nn ec ted wit h tl, ( AH.) it lJ o ln rci y ( 12.K)
(",,.S(r. 1 2. 1 ~).
307
convenient to use the Landau gauge for the description of the quark propagator
r
r
(- (<1)( 2)
C (OT"(
a/,bm p ) -_ uabu/m
pAa p - Ba(<1)( P2)) ,
(12.13)
where the renormalized propagator C(<1) is

(12.14)
and Z~<1) is the renormalization constant of quark fields:
(12.15)
(see Eq.(9.57)) . The point is that Z~<1) = 1 in the one-loop approximation in this gauge,
and the form of the propagator simplifies in this case. In particular, the ultraviolet
asymptotics of A~<1)(p2) is
(12.16)
in this approximation. The ultraviolet asymptotics of B~~~;a(p2), where B~~~;a(p2) is the
part of B~<1) connected with explicit chiral symmetry breaking, is
(<1)
2
)
Inp 2/ A QCD
(<1)
Bcur;a (p )
;---+ mcur;a ( Ina 2/ AQCD

2
p ~ oo
-em
'
(12 .17)
where
3(N; - 1)
em
= -100-.6:-7r""'2'-:b-:NC:-e-"-
(12.18)
The current mass m~~:;a is expressed through the bare mass m~O) as
(<1)
mcur;a -
(<1)-1
Zm
(0)
rna
(12.19)
with
2
Ab
(<1) _ (In a /
cD ) em
InA 2/ A 2
Zm -
(12.20)
QCD
l<;qs.(l2.17), {12.19} and (12.20) imply that

(<1)
B cur ;a -
III
(<1')
B c ur;a
(12.21)
tlli s approx inl :tl.io ll , i.(' . til(' fllll ctio ll /j({~r" is illdependent of a, and is a renormal-
i ~"d. i(l ll ~J'(l IiP illv:.ri:'lIt . ' I'liis is of CO lli' S!'
:. n liI S N I'U'II f1 '
of 1.11(' eqll :1.1 ity Z~ O') = 1. In the
308
Dynami cal Symmetry Breaking in Quantum Field Theories
general case, the mass functions
2) _
rna (P
B(U)( 2)
a
= ()
Aal1 (p2)
an
rncur-a
( 2) _
P =
B(I1) ( 2)
cur;a P
()
Aau (p2)
(12 .22)
(and not B~I1) and B~~:;a) are independent of a. The expressions for the ultraviolet
asympt otics of A~U)(p2) and B~~:;a(p2) in other covariant gauges can be found in the
review [8].
12.3. THE ULTRAVIOLET ASYMPTOTICS OF THE DYNAMIC AL MASS FUNCTION OF
Q UARKS
In the previous section we considered the ultraviolet asymptotics of the piece of the
mass function of quarks connected with the explicit breakdown of the chiral symmetry.
Here we will analyze the asymptotics of the dynamical mass function of quarks B~~~ (p2) .
The simplest way [9, 10 1to obtain it is to use the relation (9.52) for the condensate
1
({;1jJ) == lim N tr(OIT{;(O)1jJ(x )10) (in Minkowski space):
x-a
(12.23)
All quantities in this relation are bare (unrenormalized). Eq.(12.14) implies that
(12.24)
(12.25)
As we already showed in Sec .9.3, the renormalization constant of the composite operator
{;1jJ coincides with Z}:) in Eq.( 12.19) :

(12.26)
Since Z~I1)
= 1 in
Landau gauge (in the one-loop approximation), we find from Eqs.
(12.23), (12.26) that
(12 .27)
Here we used Eqs.(9.66), (12.16) and (12.20), and th e integral in this relati on is writt C' 1I
in Euclidean region.
309
(12.28)
where the renormalization group invariant condensate (( if;1jJ)inv) is
(12.29)
In accordance with Z~u) = 1, Eq.(12.28) shows that B~;~ is independent of !J in

this approximation (in the general case, mdyn(p2) = B~;~(p2)/A(U)(p2) is of course
independent of !J) .
Comparing Eq.(12.17) and Eq.(12.28), we see that the dynamical mass function
B~;~(p2) decreases as p2
--> 00
much more rapidly than the function B~~~;a (p2) con-
nected with explicit chiral symmetry breaking. This point can be understood if we,
following Lane and Politzer [ 11, 12 ], apply the operator product expansion (OPE)
[ 13] to the bilocal operator T 1jJ(u)(x) 1jJ(u) (O) :
where J denotes the identity operator. For simplicity, we consider here the case with
the same current mass for all quark flavors.
At short distances (high energy), just these low dimensional operators dominate
in the OPE of T 1jJ(u)(x) 1jJ(u)(O). Let us compare the Fourier transform of the vacuum
expectation value of the expressions in Eq.(12.30) with the ultraviolet asymptotics of

th e quark propagator (12.13) ,
(12.31)
' 1' 11 (' 11 WI'
get :
(,(o){
II
/'
2)
(12.32)
310
Dynami cal Symmetry Breaking in Quantum Field TheorietJ
(12.33)
where
(12 .34)
If we try to use the naive dimensional analysis , then, just comparing the dimensions of
quantities on both sides of Eq.(12.33), we would find that
d1u )(P2) "" ~2 '

P
(u)(
C2
2)
""
(12.35)
1
(p2)2 ,
i.e. the function C~U)(p2) would decrease more rapidly than CiU)(p2) because of the fact
that while the dimension of m~~~ is one, the dimension of (1j!1/J )(u) is three. Although
in reality the situation is somewhat more complicated, this simplified picture yields a
correct qualitative explanation of the reason of a rapid decreasing of the dynamical mass
function .
The full analysis of the behavior of the coefficients c}U)(p2) is based on th e renormalization-group equations. Since the bilocal operator T7j;(x) 7j;(O) = Z~u)T7j;( u)(x) 7j;(u )(O)
is independent of
(7,
we get:
(12.36)
This in turn leads to the following equations for
cIu)
in OPE (12.30) :
(1 2.37)
0
[(7 0(7
0
+ /3(g) 7)
- 'Ym(g)
9
0
(u)
oln mcur
+ 2, t/!
- ,m] C
(u) 2
_
l (p ,g) -
0,
(12.38)
311
where
(12.40)
(12.41)
_BlnZ!:) -b
2_3(N;-1) 2
Blna - cmg - 167r2Nc 9
'Ym -
(12.42)
In the calculations of 'Yt/J and 'Ym, we used Eqs.(12.18), (12.20) and the equality Z~u) = 1,
in this approximation.
Equations (12.37) - (12.39) can be solved in the same way as the renormalizationgroup equations in Sec.7.6. In particular, for this purpose, we need to know the boundary
conditions at p2 = a 2 in Euclidean region. To find them, we consider the short distance
limit (x
--->
0) in the Green's function (OIT1f'(x)~(O)1f'(y) ~ ( z )IO) . We get the following
coefficient functions in the lowest order approximation (in Euclidean region) :

c(u)(
(u)(
(u)
2 )_
p ,g -
2 )_
C1
p,g -
C2 (p ,g) -
3i
4"
2" '
(12.43)
-l
(12.44)
2'
p
N; - 1
g2
2N; (p2)2'
( 12.45)
T he solutions of Eqs.(12.37) - (12.39) must coincide with the functions in Eqs.(12.43) (12.45) at p2 = a 2. As a result, we are lead to the following solutions for A(u)(p2) and
m (p2) = B(u)(p2)/A(u)(p2) :
(12.46)
2
(u)
m (p ) - > m eur
ThesC'
(' XI
I n a 2/A2QCD
( I 2/A 2
np
QCD
)cm
47r 2 cm 1
2
2
cm-l
- - N ((1f'1f')inv) 2" (Inp /A QCD )
. (12.47)
p
rC'ssions Me of co llrse in agreement with those in Eqs.(12.16), (12.17) and
( 12.2H) .
'I'll('
r" lI ()wi ll /l, (,O IlIlII P III.S H I"( ' ill o ld " 1
312
1) The comparison of Eq.{12.47) and Eq.{12.35) shows that. the behavior of the composit.e operator {)'If; in OPE in QeD is similar to that in free theory: up to small
logarithmic corrections, one can assign the dynamical dimension d,[,,p = 3 to this
operator. This point reflects the property of asymptotic freedom in QeD.
2) The derivation of the expression (12.47) does not prove of course that spontaneous
chira! symmetry breaking occurs in QeD. What this expression shows is that if
spontaneous chiral symmetry breaking takes place in QeD (({)'If;) -1= 0), then the
asymptotics of the dynamical mass function mdyn{p2) takes the form (12.47) with
m~~~
= O. We will discuss the dynamical issues of spontaneous chiral symmetry
breaking in QeD in Secs.12.6 - 12.7.

3) So far we have worked in Landau gauge. Of course, there is nothing wrong with
using a concrete gauge to describe dynamics in QeD. One can choose the vacuum
expectation value (OI{~ 1j;)(lT) IO) as a gauge invariant order parameter characterizing spont.aneous chira! symmetry breaking. This paramt.er is expressed through
the functions A(lT)(p2) and mdyn{p2) which are not gauge invariant themselves.
Eq.{12.23) implies that the condition mdyn{p2) -1= 0 in Landau gauge is sufficient
for a proof of spontaneous chiral symmetry breaking in QeD.
12.4.
THE EXACT RELATION FOR THE MASS OF PSEUDOSCALAR MESONS. HAD-
RONS ARE LOOSE BOUND STATES
In Sec.9.3, the exact relation for the mass of pseudoscalar bosons was derived. It is
2
M ab=
2iNc
{27r)4F
b
a
((0)
ma
(0))
+mb
J.4
(p)
a-qXab;l'
(12.48)
where Mab is the mass of a pseudoscalar boson (meson) composed of the a-th quark and
the b-th antiquark, Fab is the decay constant,
(12.49)
and X~\ is a Lorentz invariant function appearing in the expansion of the Bethe-Salpeter
(BS) wave function (see Eq.(9.41 :
(p)(
Xab q,
P) - _1
-
V2
[(p)
Xab)
(p).q
(p) IlV (P
+ Xa(p)b;2 p + Xab;3
+ Xab;4a
I,qv
P)]
vql'
1'5
( 12.!)0)
As was also shown in that. sect ion, in le;l(lin g ord er in m~,O) , m;,O) , t.his rl'la.t.i<lIl rrd II C(' S
313
to the PCAC relation

M(p)2 _ _
ab -
where F is F
(;jJ1j;) ( (0)
F2 ma
(0))
mb
'
(12 .51)
= F" ~ 93MeV in QCD).
== Fab in the chirallimit (F
The relation (12.48) leads to the following constraint for the ultraviolet asymptotics
of the BS wave function X~\ in Landau gauge (see Eq.(9.64)) :
(p)
Xab,l
(p)
~ X(u) ,ab,l.2>~
qe D
2)-2
q
(I
2/ 2
nq
AQCD
)Cm-l
(12 .52)
This relation takes place at any values of the current masses m~~L . Let us discuss this
p oint in more detail.
In the chirallimit with m~~:'a
, = 0, the BS wave function X(Pb)l
a , is expressed through
Bdyn(q2) (see Eq.(9.38)). In particular, in this limit
(12 .53)
However , at m~~:; a
i= 0,
the situation changes drastically: while a new, slowly changing
with q2, piece appears in Ba(q2),
Ba(q ) ~
(see Eq.(12.47)) , the wave function
(u)
m cur ;a
(I
2 )
na 2/ A QCD
I 2/ A2
nq
QCD
m
C
(12 .54)
X~~l still satisfies the relation (12.52) as before~)
As is known , the BS wave function defines the form factors of the corresponding
bo und state. Eq.(12.52) implies that the form factors of mesons rapidly decrease with
in c reasing the momentum at any value of m~~:;a, i.e. mesons are loose bound states
in se nsitive to m~~:;a [ 14]. On the other hand, the mass functions of quarks sensitively
d cpc nd on
~)
m~~:;a.
or CO li rSt, "
(,0 11 " 1 11.111
C in l it C' a..,y rn plo l i : r('liLl io ll ,,~~\ - C(q2)-2 (In q2 /A ~C D t rn- ' s ho uld d e ..
p(' ud n il til , r u rr( ' II L It1 H.'l:-H'N. lI ow( ' Vt 'l',
it' i lld " Pf'l id " ut
or tl lt' lli .
it iN illl po l' LII.IIL th u.l th(\ run cti Oll ed fo rm o f thi s
asy mpto ti cs
314
In order to understand the situation better, let us return to OPE {12.30). The
slowly decreasing piece in the mass function is connected with the term
(<1)
(<1)(
mCur;aCl
x 2)J
{12.55)
in OPE {12.30). But while this term does give contribution to the propagator
(12.56)
it does not give any contribution to the BS wave function xi~) = (OIT?jJ( x)V;(O)IP) [ 14,
15]. Indeed,
(<1)
(<1)( x 2) J IP ) =
(oImCur;aCl
0 .
( 12.57)
In other words, the slowly decreasing piece in the quark mass function (the so called
irregular asymptotics) is connected with vacuum fluctuations which completely decouple
from the nonperturbative dynamics forming hadrons. Mesons are loose bound states at
any value of m~~~;a. One should expect that this is a general property of all hadrons.
This implies a certain universality of the dynamics for both light and heavy hadrons.
12.5.
THE EQUATION FOR THE MASS FUNCTION OF QUARKS
In this section, following Refs. [ 9 - 11, 16 ], we will analyse the equation for the
function Ba(q2) in the propagator of quarks.
By using the WT identity (9.33) at q = k and the BS equation (9.40), we get the
following equation for Ba(q2) :
(-y5)nm B a(q2) =
(-y5)nmm~O) + (2:)4
d pKmn ,n'm'(q,p) [G(P)-y5 B a(p2)G(p)l n'm' ,

(12.58)
where the kernel Kmn,n'm'(q,p) is
( 12.59)
(see Eq.(9.40)). Here n, m represent both Dirac an 1 color iudi ('s.
Dynamical Ckiral Symmetry Breaking in QCD
315
In the lowest order approximation, the kernel is (compare with Eq.(8.113)) :

.,
(
z g (oj'(t[( "I '") nn' (t[( "IV) m'm D ,"v ( q - p )
}\mn,n'm'
q,)
P -_ - 4
(12 .60)
N; -
. (0)'
1 ( '") (V)
()
-_ - zg
~ "I nn' "I m'mD,"v q - p .
Here we used Eqs.(B.4) and (B .7) in Appendix B in calculating the Casimir invariant
C2(f) :
1
N'-1
f-- (t [([(
t )11' =
all,C2 (f) = - L
4
N-1
o//,_c-
(12.61)
2Nc
[(=1
Introducing the renormalized functions

,(u)
Ba(u) = Z2(u)B a , G(u) = Z2(u)-IG, }\'mn,n/m'
Z(u)' T~'
2
l1.mn,n'm',
(12.62)
we get the equation

( "15 ) nm B a(u)( q 2) =
1
+ (21f)4
("15 )nm Z(u)

(0)
2 rn a
>4
Au)
a -p/\mn,n'm' q,p
) [
(u)()
(u)(
p "I5 B a
2)
p G
(u)( )]
{12.63)
n'm'
Let us consider the ultraviolet asymptotics of the solutions of this equation in Euclidean region. We will use the Landau gauge.
Since the asymptotics of the functions A~u) and J(~2,n'm' are insensitive to the
m ass term, they should not be changed significantly if the nonperturbative dynamics of
spontaneous chiral symmetry breaking is taken into account. Therefore, in the one-loop
approximation, one can take for them the expressions following from the renormalization
group analysis (see Sec.12.2 and Eq.(12.60)) :
(12.64)
'-2(( q - p )2)N;
- 1 '" V
(
)
mn,n'm' ( q,p ) -_ -zg
~"Inn'''Im'mD,"v q - p ,
J(u)
(12 .65)
where
-2
g (q ) = b I ( 2/A 2
)'
n q
Qe D
(12.66)
(12 .67)
W(, wi ll il lHO il HH llll l! ' 1.11 <, Nt.;u ll l a.rd 1'(' llll fill ,d iw.tif) 1I g )'(l 1I 1' ~ rg lIlll (' III.s ~ II o wilI g th a t t.h e
316
region with p2, (p - q)2 ~ A~CD gives the main contribution to the integral on the
right-hand side of Eq.(12.63) as q2
-+
(Xl.
In this region ,
(12.68)
From this relation and from Eqs.(12. 64), (12.65), we find the asymptotic form of equation
(12.63) :
(12 .69)
(Z~()") = 1 in this approximation).

Although this is the equation for the renormalized function B~()")(q2), we retained
cutoff A here . In accordance with the analysis in Sec.1D.7, this point will be crucia! for
selecting the right solution in the chira! limit.
In the region with p2 , (p - q)2 ~ A~CD ' in the leading logarithmic approximation,
the function g2((q - p)2) can be substituted by the following function:
( 12.70)
As a result, we come to the following asymptotic equation [ 9, 10, 16)
(12.71)
(the infrared cutoff
q6
remains undetermined in this asymptotic equation).
It is easy to verify that the solutions to Eq.(12.71) satisfy the second order differential
equation,
(12.72)
and the boundary condition:
(1 2.7:1)
For our purposes, it is s ufficient to kn ow thitt the gC ll rral soilitioll to ISq.( 12.72) I.a,k( 's
317
the form
(12.74)
where (as can be verified by direct substitution) the functions B~~) have the following
ultraviolet asymptotics :
(<1)( q 2)
Bal
B(<1)(
a2 q
2)
rv
(I nq 2/ AQcD
2 )-C
(12.75)
~
(I 2/11.2QCD )Cm-l
q2 n q
(12.76)
rv
with em defined in Eq.(12.18). From the boundary condition (12.73) we get:
C1 = -
Cm~2
A
2) 2(cm-l)
In ---
AQCD
+ m~O)
2) C
In---
AQCD
(12.77)
Let us consider the following two cases.

a) Spontaneous chira! symmetry breaking: lim /)1' J~I' =
A~O
o.
As was shown in Sec.1D.7, the necessary and sufficient condition of the conservation
of the axial currents
J~I'
in the continuum limit is

lim m~O)(A)Z~)-l (A) = 0 .
(12 .78)
A~oo
With Z~) given in Eq.(12.20), this condition takes the form:

lim m~O\A) (InA2rm = 0 .
(12 .79)
A~oo
This equation implies that C 1 in Eq.(12.77) goes to zero as A
--+ 00.
Therefore the
asymptotics of the dynamical mass function is

(12.80)
As in the previous section, the constant C can be expressed through the renorma!ization
group invariant condensate ((-f)inv) (see Eq.(12.29)), and it is:
(12.81)
T hus, th e co ndition of th e conservati on of th e axia! currents selects the rapidly
dec reasi ng (a,1, la,rg<' (/ 2) soluti on (c;tll ed th e reg ular soluti on in th e literature) for the
d Yll a.llli ( ,d
lll il SH
fuu ct io ll o f qua,r ks,
318
We emphasize that the equality C l = 0 was proved as a result of the choice of the
procedure of the transition to the continuum theory with A =
the bare mass m(O)(A) = Z~)(A)m~~: goes to zero as A
--+ <Xl
<Xl.
The point is that
even if m~~:
the axial currents are not conserved. Therefore if the transition A
--+ <Xl
01
0, i.e. if
was directly
performed in Eqs .(12.71), (12.73) , then the ratio CI/C2 would be arbitrary: indeed,
both functions B~~) and B~~) satisfy the boundary condition (12 .73) with A =
<Xl
and m(O) = O. This reflects the fact that (as was already indicated in Sec. 10.7) the
vanishing of the bare mass, m(O) = lim m(l(A) = 0, does not ensure the conservation
11-00
of a.xial currents . The essential point is that the choice of the transition procedure to
the continuum theory is determined uniquely by the physical content of the problem,
l. e. by the axial current conservation [ 10 ].
Although our final result for the asymptotics ofmdyn(q2) just reproduces the result
which was already obtained in the previous section by using OPE, the present derivation
also gives some insight in the dynamics of spontaneous chiral symmetry breaking in
QCD. In particular, a simple examination of equation (12.71) with m~O) = 0,
shows the following characteristic point: if only the first term (describing the interactions in the high energy region with p2 > q2) was retained on the right-hand side of this
equation, its solution would be the function C l Bia)(q2) with the irregular asymptotics j
on the other hand, if only the second term was retained there, the solution would be
the "right" function C 2B 2(q2) . This fact indicates that the dynamics in the infrared
region is responsible for spontaneous chiral symmetry breaking in QCD. In particular,
this implies that in order to describe this phenomenon, it is important to guess th e
behavior of the running coupling 92(q2) at low momenta. We will return to this point
in the next section.
0; m~~:;a = Z~) -I m~O) 01
2
In this case the boundary condition (12.77) leads to the relati on (cornpa.rc with
b) PCAC: lim
11-00
fJ'jJ~p. = ~1(J {m~~L ,\",} 'Ys1/J 01
o.
Eq.(12.47)) :
( q2)
--+
C (
2/ 2 )Cm-l
(a)
q2 In q A QCD
+ mellr
;(I
(Inq 2/AQC O) -C'"

In a2/" QCO
.
(I v n)
12.6. Two
319
SCALES IN QCD NONPERTURBATIVE DYNAMICS. DYNAMICS UNDER-
LYING SPONTANEOUS CHIRAL SYMMETRY BREAKING IN QCD
As was indicated at the end of the previous section, the dynamics responsible for
spontaneous chiral symmetry breaking in QeD is formed at low momenta. It is important to guess the characteristic features of this nonperturbative dynamics. In particular,
it is important to estimate the characteristic momentum scale of the dynamics. This in
turn will help us in constructing a simple model of this phenomenon.
Since QeD is a real theory of real interactions, its dynamics is necessary rich and
complicated. Therefore, model building in QeD is of primary importance. The aim of
this model building is to construct simple and, at the same time, reasonably well working
models describing nonperturbative dynamics. Different nonperturbative phenomena can
be described by different models. This is in fact the reason why the models can be
relatively simple: QeD is complicated because it describes a lot of nonperturbative
phenomena (including nuclear physics); on the other hand, a concrete model describes
only a small piece of the QeD dynamics, and it may therefore be relatively simple.
Our aim here is to construct models describing the dynamics of spontaneous chiral
symmetry breaking of hadrons.
This implies that the models have to describe the
dynamics of light hadrons, such as pseudoscalar mesons, but they may be irrelevant for
the description of the dynamics of heavier hadrons.
At present, there exists a whole "industry" studying spontaneous chiral symmetry
breaking in hadronic physics . Our aim is not to review the whole subject but rather to
discuss the key points of this dynamics. The discussion will be based on a particular
class of models which are rather simple and elaborated. In particular, the models lead
to a low energy effective action describing rather well the dynamics of light hadrons.
We begin by considering the approach to the chiral dynamics in QeD elaborated
by the Kiev group [ 17, 18, 19]. Similar models were also considered by Goldman and
Haymaker [ 20, 21 ], and by Finger and Mandula [ 22 ].
Let us recall that dynamics of chiral symmetry breaking is intimately connected with
the dynamics for ming NG bosons (pseudoscalar mesons in QeD). These hadrons are
very specific. Our initi al assumption is tha.t th e dynamics forming these light hadrons
i ~ ill ~e ll s i ti v{'
to
("0 11
fill cment. forcrs res poll si hie for th e form at. ion of heavy (unstable)
1" ..1 ro il S . '1'111" ph'ysica l pid'IT(' IIl1d('rI'yi Il K l.I.i", I. ypoi.ll(His is t.lla,1. t.he
' i~
of pseud oscalar
320
mesons is rather small, and they are insensitive to confinement forces dominating at
larger distances.
This assumption implies a certain factorization of the dynamics of pseudoscalar
mesons from the dynamics of the rest of hadrons. It is clear that this is a simplified picture of real QCD. However, as we will see later, it leads to a rather successful description
of the chiral dynamics in QCD.
The concrete model based on this assumption is the following. We assume that the
chiral dynamics is formed at momenta q satisfying 52 $ q2 $ A~, where 52 ~ AQCD '"
300M eV and Ax '" ICe V. Thus the scale Ax is a factor of three or so larger than the
confinement scale A QCD .

Let us now return to equation (12.63) for the quark mass function. As we know
(see Sec.9.2), at m~O)
= 0, this equation is equivalent to the BS equation for
NG bosons.
The crucial point is how should one model the running coupling in the region with q2
satisfying
02 $ q2 $
A~. Our model for g2(q2) in that region will be the simplest one:
we will take g2(q2) as just a constant
g; which equals to some averaged value of g2(q2)
there. It is clear that this hypothesis implies that g2(q2) should be a rather smooth
function of q2 in that region.
As we have already known, the dynamical mass function, and therefore the BS wave
function of NG bosons, decreases rapidly at q2 ~ A~ > AbcD. Therefore it seems
reasonable to assume the following simple ansatz for mdyn(q2) :
mdyn =
0 at q 2 ~
A2
x
(12.84)
and
(12.85)
where mdyn is an averaged value of mdyn(q2) in that region.
Using now in this model the kernel (12.65) with the running coupling g2 described
above, we find that the model reduces to the simple models considered in Chapters 6,
9, and 10. Indeed, as the infrared cutoff 0 goes to zero, we recover the ladde r (rainbow)
QED with ex
= (~;~~)g;
and cutoff A
Ax. On the other hand, sin ce th e infrared
cutoff 0 plays the role of an effective gluon mass, we find that if 5 is not milch
than the scale Ax, the model is just a Nambll-Jon;\- LilSinio (N.JL)-likr model.
~ 1)"liI. lkr
321
In particular, it is clear that in both cases spontaneous chiral symmetry breaking

occurs only if the coupling constant g; exceeds a critical value g~ > O.
Let us add few more comments about the infrared cutoff 0. As we already noted
above, it plays the role of an effective gluon mass. The necessity of the appearance of
such a mass in QCD was advocated by Cornwall [ 23] (see also earlier papers [ 24, 25 ]).
It may also happen that the cutoff 0 is not very important for describing NG bosons.
As we showed in Sec.10.3, the only essential difference between the NJL dynamics and
the Coulomb-like dynamics is in the type of the spectrum of the radial excitations of
NG bosons : wh ile there are no such radial excitations in the NJL model, the Coulomblike long range forces lead to an infinite number of them. However, since the dynamics
responsible for the formation of the excitations is connected with rather long distances
where both models are hardly reliable, this difference is not in fact essential. The point
is that the supercritical dynamics forming NG bosons in these two models are rather
similar.
The program of an improvement of the model considered above by introducing a
running coupling of the form (12 .70) in the model was initiated in Refs. [ 9, 16, 19 ]. In
particular, Higashijima [ 16, 26] used the form (12.70) with the following ansatz for the
running coupling:
(12.86)
where q~ is a free parameter (see also Refs. [ 27, 28
D.
The numerical analysis of the
equation (12.58) with the BS kernel (12.6.5) and the ansatz (12.70), (12.86) for the
running coupling leads to the picture agreeing with the simple model considered above.
If qc is rather low, i.e. g2(q2) is rat.her large at q2
rv
q~ ~ AbeD' spontaneous chiral
sym metry breaking occurs. The mass function mdyn(q2) is of course rapidly decreasing
at large q2, and is a rather smooth function in the infrared region.
N umerolls phenomenological applications of this model were considered by the
Florence-Geneve group [ 28].
We also not. e that th e hypoth esis about the two different scales in QCD , Ax and
/\Q C; I)
with /\ ~ > I\Q
D,
was also co nside red by Ca.lian, Das hen and Gross in the
fralJl('work of il",t.a.lli.oll dYlla.lJlics [ 29 ] (s('(' also I1 (' Q 10]) . It was furth er developed
Ily ShlJl 'y "k [ :11 , :12 ],
lIlid
by i)yako ll ov .,11.1 I'dlnv [ :1:1 , :1" 1. II. is illt('f('still g th ;tl. this
322
approach eventually also leads to an effective non-local NJL-like model describing the
dynamics of pseudoscalar mesons.
We also note that there exists a class of models based on the hypothesis that confinement forces are primarily responsible for triggering spontaneous chiral symmetry
breaking in QeD [ 35 - 37]' Although this possibility is still certainly viable, these
models have not yet lead to sufficiently riach phenomenological consequences which
would allow one to examine such a scenario in a serious way.
12 .7.
MORE ABOUT THE DYNAMICS OF CHIRAL SYMMETRY BREAKING IN QCD
In the previous section, we described the main characteristics of the models of spontaneous chiral symmetry breaking in QeD based on the hypothesis of the existence of
the two scales in the QeD nonperturbative dynamics. Here we will discuss these models
in more detail.
In this class of models, the confinement forces are ignored in the description of
the dynamics of spontaneous chiral symmetry breaking. The models are based on the
following ansatz for the BS kernel (compare with Eqs.(12.60)' (12.65)):
(12.87)
Different models use different ansiitze for the running coupling g(q,p) and gluon prop0)
agator D"v(q - p) .
We note that the corresponding Schwinger-Dyson (SD) equation for the fermion
(quark) propagator takes the form (compare with Eq.(8.61)) :
_
(0)
i NJ - 1
Ga-l( q) -p-ma
+(21r)4~
A
4 -2(
)
(
)" Gap'Y
() v .
dpg
q,pD"vq-p'Y
(12.88)
The important point in the model building is to construct a simple model which, at
the same time, would be consistent with such basic properties of Qe D as asymptoti c
freedom, the Wa.rd-Takahashi (WT) identities, etc ..
I 29 - :14 J. As W('
already noted in th e previous sectioll, th ese model s leftd to nOli -loca l N.JL likc (' ff(;ct iV(' " li oll .
*) Here we will not consider th e mod els based on th e d y na mics o f ill st;,nlons
323
The simplest , and very popular, model is the extended Nambu-Jona-Lasinio (ENJL)
model [ 39 - 42
J.
Its "derivation" proceeds in the following way. First, we assume that
gluons acquire an effective mass Mg
Ax, where Ax is the scale of spontaneous chiral
symmetry breaking. Then, as in the case of the low energy effective theory of electroweak
interactions, we use for the propagator D"v(q - p)
(12.89)
The running coupling constant g2(q,p ) is chosen as g2(q,p) = g;e(A~ - (q - p)2), where
here q, p are Euclidean momenta. Thus, g2 is just a constant in the low energy region.
The model is described by the following interaction lagrangian:
(12.90)
Using Fierz identities (see Sec.B.3 in Appendix B) and neglecting subleading terms in
liNe, we come to the ENJL model:
(12.91)
where
(12.92)
(12.93)
with
(12.94)
In pra.cti c. til, coupling const(wts
t(r~ .
'I'hiH iH rcasonil.blr
1 (' 1 ~\ti(l1i
(I:l .!lll ) 1,.tHl' d
s in rt~
Oil
til('
:8
and
I'V
arc treatcd as independent free parame-
H() II lt' dYIIII,'lIiral (,rr('d s ill QeD may crt.a.in ly change the
~ illlpl,
III'Plo xilol ldi()1I (1 ~ . H7) with
f)/w
from I;q.( 12.89).
324
A nice feat.ure of this model is its simplicity. We will also see in Sec.12.13 that it
describes the dynamics of light mesons rather well. However, it is clear that the model
simplifies some important points of the QCD dynamics. In particular, the sharp cutoffA x removes completely the ultraviolet "tail" of the dynamics in the model. What
we have in the EN JL model is the realization of the light meson dominance hypothesis in Green's functions of such composite operators as )..O/"lj;, "(s).."'"lj;, "(p.)..0/"lj; and
"(~'Ys).,"'"lj; (for a more detailed discussion of this point see Secs.12.10, 12.15) .
Other popular models are the models based on the so called improved ladder approximation. In this approximation, one uses the BS kernel (12.87) with a free gluon
propagator and with the following ansatze for g2(q, p) :
(12.95)
or
(12.96)
(in Euclidean region) . We emphasize that while the ansatz (12.96) was used in the
ultraviolet region in asymptotic equations in the previous section, here it is used in the
whole dynamical region. We will return to this point later.
The function g2(q,p) in Eqs.(12 .95), (12.96) is chosen in such a way that as
max(q2,p2) __
00,
it coincides with the one-loop expression (12.10) :

-2
g (q, p) ~ b In
(max} q' ,P' ))
(12.97)
AQCD
These models improve the EN JL model in that they correctly reproduce the ultraviolet
behavior of the BS wave functions (form factors) of hadrons. 'The important point in
these models is the choice of the "best" gauge. As in the case of the ladder approximation
in QED, the "best" means here the gauge in which the appropriate WT id entities arc
satisfied.
However, the situation with the choice of the gauge in th e Cilse or 1I01l-Abeli all gall ge'
theories, such as QCD, is more complicat.ed. Th e point is th at th S l il.Vll ov - T~,yI () r (S'I')
identity t akes place for th e fermion-antircrmion-gill on vcrto ill th ('sr th ro ri <'s
r '1 :1 I.
III
325
covariant gauges, the ST identity includes a contribution connected with the FaddeevPopov ghost fields.
Unfortunately, at present, nobody can use this identity beyond
perturbative theory.
A heuristic approach to this problem is just to neglect the ghost contribution both in
ST identity and in equations for Green's functions in the improved ladder approximation.
This corresponds to abelianizing the theory: the dynamics of the ghost fields and that
of self-interaction of gluon fields manifest themselves only in the running coupling g2 in
this approximation. At present, the only justification of this approach is that it leads
to reasonable results.
Let us discuss now the concrete results obtained in the improved ladder approximation with the ansiitze (12.95) and (12.96) for the running coupling.
We begin by considering the SD equation (12.88). It leads to the following two
equations for the functions Aa(q2) and Ba(q2) in Landau gauge:
(12.99)
In the case of the ansatz (12.96), because of the relation (10.57), we find, after the angle
integration, that Aa(q2) = L However, Aa(q2) is not equal to one for the ansatz (12.95).
More precisely, the situation is the following. There are two forms of g2((q - p)2) used
in the concrete calculations :
(12.100)
(see.Eq.(12.86)) or
-z(
g k
2 [
2
2)
1
2
2
1
]
-I; B(kc - k Ink~/i\~CD +B(k -kc)lnk2/i\~CD
2) _
(t he <'qlla,li oll s are writtcil in Ellclid c<Ul spa,cc; k~ i

o f eqll a,tj rlll s (1 2.DR) , ( 12,99) with th (' ;I.IIS ", t ~ .II ~ ( I' ,
A:~
(I'
I')"
a free paramet er).
(12.101)
The system
7!) = g2 ((q - p)2) , wh cre g2(k 2),
is " i Vl' II ill 1':'1 ,(1 2, IO()) (,'' ill I':q (1 :1. . 101) . was 1lII IIIrri r ail y alli'lJy s('d by
326
Williams, Krein and Roberts [ 44] and by Jain and Munczek [45]. They found that
although Aa(q2)
---->
1 as q2 ~ A~CD' it is closer to 1.5 - 2 in the infrared region.
Since in this approximation one uses the bare quark-antiquark-gluon vertex, this result
implies that the WT identity z~q) = z~q) is violated.
There are few possibilities to react to this result. One is just to ignore the violation
of the WT identity: after all, it is not a "right" identity in QeD, and, as was noted
above, the right one, the ST identity, cannot be practically used in this nonperturbative
problem.
This viewpoint was adopted by the authors of Refs.[ 44 - 46]. In particular, Jain
and Munczek [ 46] modified the form (12.100) for
(12.102)
(TI, a, k6 are new free parameters) and applied the BS equations with such a kernel to describe properties of pseudoscalar ijq bound states composed both from light (u, d, s) and
heavy (c, b) quarks and antiquarks. They calculated bound-state masses, leptonic decay constants, and wave functions of light-light, light-heavy, and heavy-heavy ijq bound
o
states and found that the results agree rather well with experimental data.
The principal result of these studies is that, because of a rapid decreasing of the BS
wave functions of bound states in QeD (independently of the values of the masses of
their constituents q and ij), the main characteristics of the bound states are determined
in the infrared region with p2 $ 1( Ge V)2, i.e.
both relativistic and nonrelativistic
hadronic bound states are loose ones (compare with the discussion in Sec.12.4).
Another viewpoint concerning the role of the WT identity in the improved ladder
approximation was adopted by the Kyoto group [ 47 - 49]. These authors believe
that even although the ST identity does not lead to the exact relation z~q) = z~q) in
QeD (as the WT identity does in QED), the relation z~q) = 1 must be satisfied in
a consistent improved ladder approximation. Their, somewhat hand-waving, argument
goes as follows [49] : the running coupling g2(a) is, by definit.ion, the coupling strengt.h
between fields normalized with weight one at the scale a ; since on th e ot.her hand ,
0) The second and third terms in th e exp ressio n ( 12. 102) fo r 9 2 (k 2 )
of light-heavy and heavy- heavy
qq boo !l ei , tlttes.
ar~ cssc nti ,Li for th " d y" ,ulli("s
327
in the improved ladder approximation the running coupling is used at all scales, the
consistency of the approximation implies using quark and gluon fields satisfying z~u) = 1
and
zi
= 1 independent of the scale a. This requires A(q2) = 1 (since the free form
gluon propagator is used in this approximation, the condition
zi
= 1 is automatic).
The simplest way to satisfy A(q2) = 1 is to use the ansatz (12 .96) in Landau gauge.
This ansatz was used by Aoki, Kugo and Mitchard [ 48 ] for the description of the
spectrum of t.he lowest lying pseudoscalar, scalar, vector and axial-vector mesons. The
results agree with experimental data rather well.
However as was pointed out by Jain and Munczek [ 50 ], the ansatz (12.96) violates
the WT identities for the axial currents (see Eq.(9.34)). In order to get the improved
ladder approximation with A(q2) = 1 and in which, at the same time, the axial WT
identities were satisfied, Kugo and Mitchard [ 49 ] suggested to use a new (non-local)
gauge in which A(q2) = 1 takes place even for the ansatz (12 .95)~)
The gluon propagator takes the following form in this gauge:
0 (0 iJV - 17(P2)PiJPV)
1
7 p2'
DKL()
iJV P = KL
(12.103)
where
p'
T)(p2) = (p2)2;2(p2)
2
2
dx [xg (x) - x (g2(x))' J
(12.104)
o
(these equations are written in Euclidean regionf*) It is easy to check that for g2(p2)
from Eq .(1 2.100) or Eq.(12.101), T)(p2) approaches the Landau gauge value T)(p2) = 1
both at p2 = 0 and p2
--+ <Xl.
The numerical analysis of the SD and BS equations in this gauge with the ansatz
(J2.95), {12.101} has shown [ 49] that the results are similar to those obtained earlier
in Landau gauge wit.h the ansatz (12.96), (J2.101).
The present discussion reflects the general situation in the QeD model building:
tliere arc
it
lot of competing models based on similar assumptions but differing in detail,
~) Th ,'y ,<iso s how,'d th<tt thi s <tnsat7. 'Ulto nlftlically provid es th e v<tlidity o f th e axial WT identities
ill
lIH ' iI1IJHOWd la.dclc-r
t ) 'I'll i ll
~'.H,lI K~ '
111' 10 11
g~l
a.pproxiIllH.Li oli .
Lo I\. c1tL!-4:-1 o r glLII IJ,( 'II
wi til ;1 ( IJ:I)
I w hjell
WIl.q
d('s(' r; bed earl ier i II Ref. [ 5 1 ].
328
and all of them work quite well! This of course reflects our still rather poor understanding of the nonperturbative dynamics in QCD . On the other hand, the success of these
models in the description of the dynamics of hadrons indicates that we apparently are
on the right track. We will discuss possible reasons of this success in Sec.12.15.
In this situation, it is important to select the key features of the chiral dynamics
in QCD from model dependent ones . It would be also useful to compare the results
obtained in tllese models with those obtained in other approaches to the nonperturbative
dynamics in QCD, such as QCD sum rules [ 52] for example (see Sec .12.15).
In the next sections, we will consider the simplest phenomenological consequences
obtained in these models.
12.8. MASS E S OF PSEUDOSCALAR MESONS
The P CAC mass relation for pseudoscalar mesons takes the form (see Eq.{12.51)) :
(p)'
Mab
(( 1/J1j;)(U) ((U)
F2
mcur;a
(u)
+ mcur;b
where the decay constant F is determined from the decay process

is F
(12.105)
'
1["- -->
J1
+ D,.. , and
93.3MeV .
We will consider the nine pseudoscalar mesons composed of the three lightest quarks
and antiquarks u , d, sand
u, J, s.
If we use the SU v (3)-covariant wave functions for pseudoscalar mesons,

1["+
1["0
= Iud),
=
1["-
= Idu) ,
~ (Iuu) - ldJ)),
Ie = Isu),
](+ =
](0
= Ids), k
Ius) ,
Tis =
~ (Iuu) + IdJ) -
Til =
~ (Iuu) + IdJ) + Iss))
IsJ) ,
(12.106)
2Iss)) ,
,
then Eq.(12.105) will yield the following mass relations
( 12. 107)
329
( 12.108)
2()
1'/8 = -
M (1'/1) - -
((1jJ1/!)(" )} ( " )
3F2
meur;...
(,,)
(,,) )
+ meur;d
+ 4meur
;.
2((1jJ1/!)(")} (,,)
3F2
m eur ;...
(,,)
( 12.109)
(,,) )
+ meur;d + meur ;.
Because of the ABJ anomaly (12.8), the relations (12 .109) for the masses of 1'/1 and 1'/8
should be essentially modified. We will return to this point later. Now we will analyse
the four relations (12.107), (12.108).
Using the known relations M;m{-JrO) = M;mU<O) = M;m(k O) = 0, M;m{-Jr) =
M;mU<) [ 53] to extract the contribution of the electromagnetic interactions into the
meson masses, we get the following ratios for the quark masses [ 54 ] :
(,,)
mcur;d
(12.110)
(;)
mcur;u
(12.111)
Since the renormalization constant Z>:) is canceled in these ratios, they are independent
of the renormalization-group scale u .
The current masses m~~~;a are usually evaluated at u = 1Ge V. For the s quark,
m eur ;.
== m~~LI"=lGeV
extracted from experimental data is
[ 55 ]. Then the relations (12 .110) and (12.111) yield
m eur ;... :::::
m eur ;. :::::
199 33MeV
5.61.1MeV and meur;d:::::
9.9l.lM e V . From Eq.(12.89) we also find the condensate (( 1jJ1/!)h
== (( 1jJ1/!)(")}I"=lGeV:
(12.112)
L(' t. us loo k il t tll ese mass relat ions ill tll(' models on id ered in th e previous section.
'l'IH',Y 1I,l vl' tI ... sa llll' rOrill hot.1I ill 1,11 (' N.I L likC' IlICHlpl (tll (' illrrarNt cutoff /j ~ IIQC D)
330
and in the QED-like model (with 6 = 0) :

(p)'
Mab
:::0:
2mdyn mcur;a
+ mcur;b )
(12.113)
(see Eqs.(9.131), (10.53)). Comparing this relation with Eq.(12.105), we find

(12.114)
if we take the standard value for mdyn, mdyn = (300 - 400)M e V. Thus, the models lead
to a reasonable value for the chiral condensate.
Let us now discuss the mass relations for rJ8 and
rJI
mesons. Because of the ABJ
anomaly, the dynamics of these mesons is rather specific. Since the pioneering paper of
't Rooft [ 56 ], this problem has been extensively discussed in the literature. For our
purposes, the most appropriate approach is a phenomenological approach considered in
Refs.[ 57, 58]. The main point of this approach is the old observation [ 59 ] that the
5U(3) singlet rJI can mix with two-gluon bound states (glueballs). This in turn leads to
the modification of the mass relation (12.109) for
) _
(rJI
2((,f1/J)(1T)
3F2
((IT)
mcur;u
(IT)
rJI :
(IT) )
+ mcur;d + m cur ;.
(12.115)
+.\q,
where .\q is a parameter which can be in principle calculated in QCD ; we will treat it,
following Ref.( 58], as a free phenomenological parameter.
At .\q
# 0,
the perturbative mass term

(12.116)
yields the following mass matrix for rJ8 and
rJI
mesons in the basis (12.106) (we neglect
the isospin violation) :
-b{i (M2(K) -
M 2(1T")))
tM2 (K) + t M2 (7r) + .\'1

(12.1 17)
We determine the parameter .\q from the condition t.hat th e slim M2(11)
where rJ and
17'
+ M2(1/),
are the eigenstates of th e matrix (12.1 '17), is t. o h(' eq1lid t.o til(' c:oq)('r-
imental value 1.22(GeV)2 Then, the cli(\.gonali~a.t.ion or t.his mat.rix yi('lds : /11/ 2(11) -
0 .27(GeV)2 , M2(rl')
==
0.95(GeV)2,
cos 17]8) - sin el7]l), 17]') = cos el7]l)

experimental values: M2(7])
e ==
-14 , where
+ sin el7]8) .
e is
331
the mixing angle: 17]) =
These results agree rather well with the
== 0.3(GeV)2, M 2(7]') == 0.92(GeV)2 and
e == - 200 [55].
We will return to the problem of 7]' meson in Sec.12.12.

12 .9.
THE PAGELS-STOKAR FORMULA FOR THE DECAY CONSTANT
In Sec.9A, we derived the exact relation for the decay constant. In the chirallimit,
it is (see Eq.(9.75)) :
(12.118)
where u = q2, and the functions X)p)(u) are defined in Eq.(9.74).

In this section, we will derive the approximate form of this relation known as the
Pagels-Stokar (PS) formula in the literature [ 60 ].
The PS formula corresponds to the approximation with
(12.119)
and
(12.120)
(see Eqs.(9.38) and (9.101)).
Here X(p);"(q, P) is the BS wave function of massless
pseudoscalar mesons (P 2 = 0) (see Eq.(9.37)). We will discuss the meaning of this

approximation at the end of this section.
Eqs .(12.119) and (12.120) imply that the functions x~p) in the expansion
(12.121)
can be expressed through Bdyn' At P" = 0, in Euclidean space, we obtain :
(II ) ?
\I
(,' " )
'" (,,2
(1 2. 122)
332
(12.123)
(p)( 2) -
X3
(p)( 2 P )
I'
X3 q,
1m
P
q
pp-o
F (q2 + B2dyn (2))2

Bdyn(q
q
(p) 2
2i
X4(q)=F(
q2
2
2)
)Bdyn(q ,
+ B~yn(q2)
)2 Bdy n(q).
(12.124)
(12.125)
Substituting the expressions (12.123) and (12.124) for X~p) and X~) into Eq.(12.118),
we obtain the PS formula:
(12.126)
Let us discuss the assumptions (12.119) and (12.120), which the PS formula is
based on, in the improved ladder approximation with the BS kernel given in Eq.(12.87).
The running coupling constant takes the form (12.95) or (12.96) with g2(k 2) defined in
Eq.(12.100) or Eq.(12.101).
First of all, it is clear that in order to get A(q2) = 1, one should work in Landau
gauge with the ansatz (12.96), or in non-local gauge (12.103) with the ansatz (12.95).
The assumption (12.120) is equivalent to that in the expansion
(12.127)
the function X~p), X~) a X~p) become equal zero as PI'
--->
O.
In the improved ladder approximation, the BS equations for

Ref.( 47]. The equations for the functions
X)p),
Xl> were studied in
i = 2,3,4, can be written in the
following symbolical form at PI' = 0 (in Landau gauge) :
(12.128)
where I and Care functionals of Bdyn, and the "operator"
the integration region
and g2( u) in
A'
du, respectively.
92 here represe nts g2(v)
ill
Consideri ng Eq.(12.128) as an inhomogeneous equation for

we conclude that as [/ ~ 0, the functions
respect to
Bdyn
X)p),
x)p)
with a given
333
Bdyn ,
with i = 2,3,4, are suppressed with
(at [}2 = 0, the only solution of this equation is
X;p)
= 0) .
Is this a justification of the PS formula? Since spontaneous chiral symmetry breaking in QCD implies that g2(q2) is not small at low momenta, one can hardly consider
this argument as a strong one. Moreover, beyond the improved ladder approximation,
the situation becomes even more uncertain [ 45, 50 ].
Nevertheless, numerical studies of the PS formula indicates that it works not so
badly [ 49 ]. Although, at present, there is not complete agreement concerning this
formula in the literature, the PS formula deserves what it deserves: it is an useful
heuristic relation.
12.10.
THE Low ENERGY EFFECTIVE ACTION IN THE EXTENDED NAMBU-JONA-
LASINIO MODEL: PRELIMINARIES
So far we have considered the "mic roscopic" dynamics of spontaneous chiral symmetry breaking in QCD . The main objects which we have studied were the quark propagator
and the BS wave function of mesons. In realit.y, however, we are often interested in a
more direct description of hadronic dynamics. In particular at low energies, when one
can neglect the structure of hadrons, we are int.erested in a low energy effective action
in which hadrons are treated as structureless, point-like, particles.
In Chapter 5, we considered the general theory of effective lagrangians. In Sec .1 2.13,
we will apply this theory to QCD. In this section, we begin the derivation of the low
energy effective action in the ENJL model (12.91) - (12.93) [40,41]. This will help us
to establish the connection of the effective lagrangian with the microscopic dynamics in
QCD.
As in th e case of the NJL model considered in Chapter 6, we introduce the collective
had r O il fi eld s in th e EN JL model. But now, besides the field Al describing scalars and
psc llci osr alars, we also illtrodll (, th(' coll('d iv(' fi elds VI' and AI' describing vector and
axia l ve'( 10 1' """" IS. ' I' hll s, wI' r('writ(, I.Il c' 1.(' II(' ratilig fllncti onal of th e EN JL model as
334
(compare with Eq.(6.17)):
where F{J) =
Ji(X)<pi(X) is a source term for some local operators, and
(12.130)
with
m
ZA./
. " (8
= Z"'~
,
p.
Z p. -
"'5
p.,
M1- "{5
2
Mt 1 +"{5
2
(12.131)
(see Eq.(C.32) in Appendix C). We note that the field M includes the mass matrix
rh(O).
The matrix fields M, Vp. and Ap. are (compare with Eq.(4.51)):
N'-l
M = S
+ iP
; S =
Vi
0'=0
sa ~ , P = Vi
N'-l
po: '\2 '
(12.132)
a=O
(12.133)
Thus, in the EN JL model, the derivation of the effective action for the collective fields
M, Vp. and Ap. is reduced to the calculation of the determinant of the operator i:D. This
is a great advantage of this model as compared to other, more complicated, models, like,
for example, those based on the improved ladder approximation (see Secs.12.6, 12.7).
The point is that there exist regular methods to study the determinant of such operators
[ 61 - 66].
The action 1J;i:D'Ij! is invariant under the following UL(N) x UR( N) gauge tran sror
mations:
335
(12.135)
(12.136)
M(x)
->
M'(x) = L(x)M(x)Rt(x) .
(12.137)
Here AI'L and AI'R are:
AI'L = VI'
+ AI'
(12.138)
AI'R=VI'-AI' .
However, although the action is invariant under these transformations, the determinant Deti1) is not. The point is that Deti1) is not properly defined object unless it is
regularized. As was first shown by Bardeen [ 67J, the regularization may preserve only
a part of the gauge ULC N) x UR( N) symmetry. In particular, there are regularization
== Uv(N)
schemes preserving the UL+R(N)
vector symmetry. They are most interesting
for physical applications.

Let us consider an infinitesimal ULCN) x UR(N) gauge transformation in such regularization schemes:
+ i<p(x) + iw(x)
1 + i<p(x) - iw(x)
L(x)
~ 1
R(x)
(12.139)
where
N'-l
<p(x)
.\"
<P"(x)2' w(x)
,,=0
N'-l
.\2
(12.140)
w"(x)T .
,,=0
Then, Eqs.(12.135) - (12.138) imply that the corresponding transformations of the fields
are:
OVI' = 01'<P + i[<p, VI'J

oAf.' =
+ i[w, AI'J ,
of.'w + i[<p, AI'J + i[w, VI'J ,
(12.141)
05 = i [<p, 5J- {w, P} ,

oP = i [<p, PJ
+ {w, 5 } .
As was s howli h'y IlMd('I' 11 [(;7 L tilr rrs lllt.ill g r ila,lI g<' ill WJ(M, V, II)
==
+In 2 J (M, V, A)
336
IS
(12.142)
where
(12.143)
is the Uv(N) - covariant vector field strength, and
(12.144)
is the Uv(N) - convariant derivative of Ap.

We note that at A" = 0, oW, corresponding to the U5 (1) == UL-R(1) transformation
is defined by the ABJ anomaly,
(12.145)
(compare with Eq.(9.9)). Actually, in the ENJL model, based on the approximate form
(12.87) for the BS kernel, the strong ABJ anomaly (12.8) is neglected. We will return
to this important point in Sec.12.12, but now, for a while, we will ignore the strong
anomaly.
The action of the effective theory for the collective fields M, V" and A"
IS
(see
Eq.(12.129)) :
S(M,
~"
A,,) =
J4
d
x[ -
2;~O) tr ( (M - m(O)) t (M - m(O)) )

+ ~tr (V; + A;,)]
2G v
- iNc In Deti1) ,
(1 2 146)
where the operator i1) is given in Eq.(12.131). As Nc -+
00 ,
th e pil.th integral (1 2.1 29 )
is dominated by stationary points of this action which (l.re defin ed rrom th !' classical
337
equations of motions :
oS
oS
oS
oM = 0, oVI' = 0, oAI' = 0 .
(12.147)
Thus, in this limit, the problem is essentially reduced to the calculation of

In Deti.!> = TrLni.!>
(12.148)
Since we are interested in a low energy effective action, we need to get an expansion
of In Deti.!> as a series in powers of the derivatives of the collective fields M,VI' and AI'
[ 64]. In Appendix E, we discuss a concrete method which is suitable for the present
problem.
It is convenient to introduce a polar decomposition of the field M:
M(x) =
~(x)Q(x)~(x)
(12.149)
where (see Sec.5.2)

N' -l
~(x)
= exp(i7r(x)/F);7r(x) =
).0
7r(x)2'
(12.150)
0 =0
and
).0
N'-l
Q(x) =
Vi
(T(x)2 .
(12.151)
0=0
The new fields 7r(x) and (TO(x) can in principle be expressed through the fields PO(x)
and 5(x) in Eq.(12.132) .
Since the transformation of ~ under the UL(N) x UR(N) is (see Eq.(5.33)) :
(12.152)
we find the following transformation for Q :
II. is COllv('lIi (, 1I1.
1.0
-4
(a.kllla.l.e III I)rl:;.!>
'''''/'; ( III , VII ' 11 ,,) is d..rirl('d
;l~
UQut .
III
1 ~ IIr1id (';I. 1I spil.CC.
(12.153)
T he effect.ive action
338
exp(-SE) = exp(iS) ,
I.e.
SE = - is =
4
d xE
[2~~0)tr (( M- IT/a)) t (M - m(O)) )

+ ~tr
(v; + A!)] - Ne In Deti:D ,
a", v"
and A" are continued as 04
2G v
where d4xE
= id4x(X4 = ixo) .
Lorentz vectors
(12.154)
-ioo , V4 = -iVa, A4
= -iAo, and V; == LV;, etc ..

,,=1
The operator i:D (12.131) takes the following form in Euclidean space:
.-n = -vv
. (!l
'V
'A
)
t"-'
, , ,u, , - t I' - t 1" "'5 -
where the Euclidean 'Y-matrices are: 'Y4
M1- 'Y5
2
-ho, 'Yk
antihermitian. The 'Y5-matrix does not change: 'Y5

12 .11.
THE DERIVATION OF THE
Low
=-
Mt 1 +'Y5
2'
'Yk(k
1 2 3
h'Y 'Y 'Y
(12.155)
= 1,2,3). They
= -'Yl'Y2'Y3'Y4 '
are
ENERGY EFFECTIVE ACTION IN THE Ex-
TENDED NAMBU-JONA-LASINIO MODEL
The determinant of the operator i:D (12.155) is a complex quantity. In order to find
the phase of Deti:D, that is ImWf
= -In Zj = -Neln Deti:D + constant , where

(12.156)
in Euclidean space (see Eq.(I2.130)), we will use the Bardeen relation (12.142). In
Euclidean space, it takes the following form:
(12.157)
where
(12.158)
(in the derivation of this relation fr om Eq.( 12.142), we took in to a.ccount that. 5Wf
-ioWj, d4xE = id4x, 04, V ,A are - ioo, - iVa, - iAo, and ( 12;\4 = _ c12:l0 = I) .
4
A functional
Wzw
339
which correctly reproduces the relation (12.157) was con-
structed by Wess and Zumino [ 68]. The geometrical meaning of the functional was
established by Witten [69]. It is called the Wess-Zumino- Witten (WZW) action in the
lit~rature.
The important point for us will be that since both

relation (12 .157), their difference
Wf - Wzw
Wzw
and
Wf
satisfy the
is invariant with respect to local gauge
transformations in Eq.(12.141).
The Wess-Zumino construction of Wzw proceeds as follows [68]. Let us introduce
the generator of the infinitesimal chiral transformations (12 .141) D(w) with 'P = 0, w
O. Then, Eq.(12 .141) implies that
D(w)F(M,vI" AI') =
atXE{ tr [i[W,
AI']o:I'~X) + Dl'w o:~x)

of + {w,S}oP(x)
of ]}
-{w,P}oS(X)
(12.159)
where Dl'w = 0l'w+i[w, VI']' and F is some function of M, VI' and AI'" As one can easily
check, the exponent exp[D(w)] generates the global gauge transformations (12 .135) (12.137) with
L(x) = Rt(x) = exp(iw(x)) ,
(12.160)
I.e.
eD(W)A
I'L (x) --
eiw(x)
(ioI' + A I'L )
e-iw(x)
(12.161)
(12.162)
(12.163)
wh ere A" L
MI
I A"R a re defined in Eq.(12.138).
Ld liS riIOOS(' r'w( .... ) = e (x) = ( L; 1)1/ 2, wh (' r(' h('l"(' ((x ) is fr om Eq.(12.149). The
W '!.W IHl.io li i>l ("I II ,,d.rll c kci a.s foll ows. LI'i. li S ('()l IHidl' !' a fllll , ti o ll a l vVazwO~;,
V,.,A,,)
340
Dynamical Symm et ry Breaking in Quantum Field Theories
e and satisfies the condition
which depends only on VI" AI' and ~ =
(12.164)
where I is the identity matrix. Then, Eq.(12 .157) implies that
D(w)Wzw =
d xEtr[w(x)O(x)] .
(12.165)
Choosing e 2iw (x) = ~t(x) and taking into account Eqs.(12.163), (12.164), we find that
(12.166)
I.e .
Wzw(~, VI"AI') =
f ~! J
d xEtr {w(x)[D(wW-10(x)} ,
(12.167)
n= l
where O(x) is defined in Eq.(12.158) . The remarkable property of Wzw is that it is

purely imaginary.
Since e2iw (x) = ~t(x) = exp( - 2i7r(x)/F), see Eq.(5.48), the WZW action describes
interactions of NG bosons with vector and axial - vector fields . The first term in the
series (12.167) contains in particular the piece
(12.168)
describing the a.nomalous coupling of pseudoscalar mesons to vector mesons.

Let us show that the WZW action yields the dominant contribution (in the low
energy region) to the phase of the functional W f.
Let us consider the difference
(J 2. J69 )
Since it is invariant under th e gauge tra nsform ati ons (12. 35) - (1 2. 137) , we gd l.iJ (
341
following relation :
(12.170)
where
=e t (.!O" + A"L ) e,
A~~ =e (io" + A"R) et ,
(I
A"L
(12.171)
and we used the condition (12.164).

In the low energy region, in the phase with spontaneous chiral symmetry breaking,
we can approximate the hermitian operator Q(x) by its vacuum expectation value (see
Eqs.(12 .132) and (6.29)):
),0
Q(x)
where
mdyn
rv
(OIQ(x)IO) = v V2 =
mdyn I
(12.172)
is the dynamical quark mass.
Let us look at the determinant of the operator

(12.173)
Because 15 anticommutes with I", non-vanishing eigenvalues of the operator
-il"
i:I)~1
(0" - ivf - iAtl'5) occur in pairs of opposite sign:

(12.174)
The corresponding two eigenvalues of the operator i:I)(1 (12.173) are

(12.175)
The refo re we ge t:
. (t = "
Itt Ddl.!)
0 " 1tt
r()' ,.
(12.176)
342
The imaginary part of In Deti,!)(' is

.,..,(1
~
Imln Deti~
= - L arctan
(2VTUT
m dyn
where
is of 0
AT
UT
+ ivT .
It vanishes as
mdyn -+ 00 .
+ UT -
'
(12.177)
UT
This in turn implies that Imln Deti,!)(t
(d-), and therefore there is an additional power of p2 in .6.W fE as compared

m dyn
to W&'zw which is independent of
mdyn-
Thus, the WZW action gives the leading contribution to the imaginary part of the
action 5 E in the low energy region.
Let us now consider the logarithm of the modulus of the determinant contributing
into the real part of the action SE in Eq.(12.154).
It is :
J ~t
00
In IDeti,!) I =
-~
Tr exp ( -t,!)
t,!) .
(12.178)
itA'
In the derivation of this relation, we used the formula
00
In A = -
Jte
dt
-At
+ canst.,
(12 .179)
for A > O.
The expression (12.178) corresponds to the proper-time regularization scheme preserving the invariance with respect to the vector Uv (N) subgroup ofthe UL{ N) x UR{N).
The concrete method for calculating In Deti,!) as a series in powers of the derivatives
of the collective fields M, VI" AI' is considered in Appendix E. Here we will discuss the
results.
It is rather straightforward to calculate the effective potential V = ( [ d4 xe )
- 1
Se ,
where here SE is calculated with the fields M, VI' and AI' ta.ken consta nt. The ex pli cit
expression for V can be easily obtained in th e case of th e UL( 2) x Un( 2) hiral sylllllldry
343
(we will consider the general case in a moment). It is (compare with Eq.(12.154)):
(12.180)
where
J
00
f(a,x) =
dte-tt",-l
(12.181)
is the incomplete gamma function [ 70 ], and

(12.182)
C 2 = -a"'a Oi
2
aO(a 2)l/2
(12.183)
with the fields a'" defined in Eq.(12.151) (a = (at, a 2, a 3)).

The incomplete gamma function f(a, x) is an analytical function of x at a > 0, and
it has poles or a logarithmic singularity at x
= 0 for
= -n
(n positive integer) and
a = 0, respectively. At a = -n, it has the representation
(-It [
f(-n,x)=--;:;:!
f(O,x)-e-XL(-I)mx:~l
n-l
'
(12.184)
m=O
and
f(O, x)
at x
-lnx
(12.185)
1.
By using Eq.(12.184), we can rewrite the expression (12.180) for V as

V =_I_ tr
2G~O)
((M - m(O))t (M _mea))) + _1_

tr (v2 + A2)
2G~)
+ 1:;2 { Cr f (0,
J.'
Cli A2) + cif
J.'
(0, Cd A2) - A2 [Cl exp (-cf I A2)
+ C 2 <,xp (-ci!1\ 2) ] +1\1 (e- Ci!A' + e-Ci!A')}.

(12.186)
344
The vacuum in the model is defined from the equation

oV
OV
(12.187)
fhr Ot = 0, OeyOt = 0 .
The solutions of this equation coincide with those in the N1L model (see Chapters 6
and 9). In particular, at
m,(0)
= 0, we find that spontaneous chiral symmetry breaking

( 0)
occurs at supercritical values of the coupling constant G.
K,
==
d.0) N A2
~
> 1. A
vacuum solution takes the form

(12.188)
where v is determined from the equation (compare with Eq.(6.14) in which mdyn
N- 1/ 2 v)
(12.189)
We recall that v = V2mdyn at N = 2.
In the near-critical regime, with
K, -
<
1 and ~
<
1, the expression for V
essentially simplifies :
(12.190)
(12.191)
In other words, it takes a "renormalizable" form: the highest power of th e fi elds eq uals
4 here.
JL2 in In A 2/JL 2 is no t uniqu ely d efin ed. Wind. we >tn Sf,y is
that it is of th e ord er of a characteristi c rna.ss scaJc in th e model : /1. V
111'1111"- '
0) In this approximation, th e paramet er
""'J
f"V
345
In order to understand this fact more deeply, let us look at the terms with two
(covariant) derivatives, i.e. at the kinetic term (see Appendix E):
(12.192)
where
(12.193)
(12.194)
and the covariant derivatives V' p.S, V' p.P are :
V' p.S = Op.S - i[Vp., Sj
+ {Ap., P}
,
(12.195)
V' p.P = op.P - i[Vp., Pj- {Ap., S} ,

We note that these expressions for V' p.S and V' p.P follow from the expression for the
covariant derivative
(12.196)
We emphasize that the field strengths
F/:v, F;:v and covariant derivatives V' p.S,
V' p.P
are covariant objects with respect to the whole chiral gauge group UL(N) x UR(N) and
not only to its vector subgroup Uv(N), as the quantities V",,8 and D",A,8 in Eqs.(12.143),
(12.144). It is not surprising: in the effective action, only the WZW term vilolets chiral
invariance ; all other terms are invariant under the local UL(N) xU R(N) transformations .
By using the same approach as in Sec .4.4, we find the decay constant F from the
action S = iS E = i
xE
(if + v).
It is:
(12.197)
W Ilo te t. ha.t thi ~ exp r c~H i o n coillci I s with th a t. ill 1"<;<). (9. 133) o bta in ed fro m th e BetheS a.lp ~ l. (' r
(liS) (qlla.t.i o ll ill 1,11 (' N.II. 1l1( )( 1, 1.
346
A'
We see that F diverges as :::::1L

m
~ 00.
Then, we find, from the Goldberger-Treiman
dyn
relation (4.50), that the Yukawa coupling constant g~ =
,
d
4N..
<
~ goes to zero
In
;;;;xd
as ~ ~
00.
One can check that all other coupling constants, as those describing
md!lll
self-interactions of the collective fields, also logarithmically go to zero in this limit. The
simplest way to check this is to note that besides the terms in the potential V (12 .191)
and in the kinetic term (12.192), all other terms in the effective action have finite (or
zero) coefficients as A~/m~yn ~
00
(see Appendix E). Introducing the interpolating
fields,
Nc
( 811"2
2 ) 1/2
ln~ Sa
m2
'
dyn
Ax2
Nc
) 1/ 2
a
- 2 I n - 2-
( 811"
m dyn
2
~ln~
2
2411"2
m dyn
Nc ln~
11"
(12.198)
) 1/2
Va
2 ) 1/2
Arnt
m 2dyn
( 2411"2
'
Aa
'
which have the canonical kinetic terms, we find that all terms with higher powers of the
fields and their derivatives are logarithmically suppressed.
In the strict continuum limit, the interactions are completely switched off in the
model (in the present approximation). In the language of the theory of critical phenomena (see Sec.l1.4), this means that the universality class of the four-dimensional EN JL
model is that of the free theory.
This consideration also sheds light on the validity of the approximation used in the
analysis of the BS equations in the N JL model in Sec.9.5. In that analysis, by truncating
the BS equations, we found the relation
M =
2mdyn
(12.199)
for the mass of the scalars in the chiral limit. One can easily check that th e sallie
result follows from the action S
= iSE = i /
ctxE(f + V) . Thus, the trun ci\ted BS
equations correspond to truncating the expansion of the errective i\ctio ll , I'; ill powers
347
of the derivatives of the fields at second order. This approximation is justified in the
near-critical regime with
K, -
1 ~ 1 and In
m~~ ~
1.
dyn
So far we have discussed the model with the U(2) x UR(2) chiral symmetry. It
is not difficult to convince oneself that Eqs.(12.191), (12.192), (12.198) and the main
conclusions which we have come to above remain valid in the general case of the UL(N) x
UR(N) chiral symmetry.
By using the expressions for V and
if in Eqs.(12.191), (12.192), it is straightforward
to analyze the spectrum of mesons in the EN JL model. For details, we refer the reader
to Refs.[ 41, 42] . Here we will point out some characteristic points of this analysis.
In the most useful case, QCD with three light flavors, the chiral group is U L(3) x
UR(3) and Nc = 3.
In this case, the EN JL model contains six free parameters :
m~O), m~O), m~O), G~O), G~) and Ax. To fix them one can use different sets of input data.
For example, Ebert and Reinhardt [ 41 ], taking as input data M"" Mp, M"" F", and
the p - 7r - 7r coupling constant gpn and assuming that m~O) ~ m~O), find that Ax '"
1.4GeV,
G~O) /47r '" 1.2Ax2, G~) /47r '" 5Ax2, m~O) ~ m~O) =
2MeV,
m~O) ~
82MeV.
Although the obtained values for the masses m~O), m~O), m~O) are visibly smaller than
the values of
mcur;a
(relating to the scale a = 1GeV) which were obtained in Sec.12.8,
this discrepancy is not actually important. The point is that we have not yet understand
the connection between the bare masses m~O) in the EN JL model and the current masses
mcur;a
in QCD [ 71, 72].
With these six parameters, the model describes the meson spectrum and the low
energy dynamics of mesons pretty well [ 41 ].
An interesting point is the value 1.2Ax2 for the coupling constant G~O) /47r. The
critical value for this coupling constant is
(12.200)
Thus the obtained value for G~O) /47r is rather close to its critical value, i.e. the dynamics
of spontaneous chiral symmetry breaking in the model is near-critical. From the practical
viewpoin t, this implies th at the coupling constants describing the interactions in the low
e ne rg'y r<'gion are not too strong. Let
cO llplin ~ "() II ~ l.fllIl. l/ l '.
I<'r
III
II ~
ror
example look at the pion-quark Yukawa
til(' (;()Idh(' rwr ' l'n ,jll""1 n,l;ttjon w(' find that gy '"
m;,n '"
348
3 with
mdyn
rv
300MeV and F7r ,....., 93MeV . Therefore the characteristic parameter
in the loop expansion, ~, is ~ ,....., 0.3 ; it 10 times smaller than the value of the
corresponding parameter for nucleons.
An interesting effect in the EN JL model is the 5 - VI' and P - AI' mixing. Let
us look at
.cf in Eq.(12.192).
The covariant derivatives for Sand P imply that such
a mixing occurs in the model. The situation resembles that in gauge models with the
Higgs mechanism considered in Secs.3.5, 3.6. However there is an essential difference
between these two cases : while in gauge models, such a mixing can be removed by
an appropriate choice of the gauge, in the EN JL model, the mass terms for VI' and
AI' spoil the gauge UL (3) x UR (3) symmetry. Therefore in this case, the S - VI' and
P - AI' mixing is a genuine physical effect. The P - AI' mixing is especially important
for applications. For a recent discussion of this effect see Ref.[ 42 ].

In conclusion, we note that the calculations of non-leading terms in the series of
the derivative expansion of SE is, although straightforward, rather involved. We will
consider some of them in Sec.12.13.
12 .12 .
THE STRONG
Us(l)
ANOMALY. EFFECTIVE LAGRANGIANS OBEYING THE
ANOMALOUS CONSERVATION LAW
As was pointed out in Sec.12 .10, the effects of the strong ABJ anomaly are neglected
in the EN JL model. It is known [ 73, 74] that these effects can be coded by adding the
e-term in the QeD lagrangian density:
(12.201)
where .c~=JD is given Eq.(12 .1 )' and the angle parameter
e(o:::; e < 2?r)
defines different
e-vacua.
As we have already stated several times, by using an appropriate chiral transformation, the matrix m(O) can be always reduced to the form m~~)
= m~O) Oab
with m~O)
2: O.
This statement remains valid in the presence of the e-term in Eq.(12.20 I) if unde r th e
chiral transformation (12.134), (12.139)
e transforms as [73,74 ].
(1 2.202)
e but the chiral invariant
This implies that the adual observable is not

(j
== e + arg det rh(O)
(we recall that the mass term is ;jJLfn(O)7/JR
349
(12.203)
+ ;jJR (fn(O)) t 7/JL).
We are interested in establishing the role of the strong anomaly

ergy dynamics of mesons, in particular, the
r/
the low en-
III
meson. The basic points in solving this
problem were established by 't Hooft [ 56 ], Witten [ 57 ] and Veneziano [ 58]. A

concrete effective chirallagrangian for the field M obeying the anomalous conservation
law (12.8) was constructed by Rosenzweig, Schechter and Trahern [75], Di Vecchia and
Veneziano [76], and Nath and Arnowitt [77]. They showed that the anomaly modifies
the effective potential and, to first order in fn(O), the potential takes the following form:
V(M, Mt) =Vo(M, Mt) - Air (Mtfn(O)
+M
(m(O))
t)
F2 M2(pO) [
..
In eiO det M -In e- iO det Mt
16N
(12.204)
]2
'
where Vo(M, Mt) is a function which is invariant under the UL(N) x UR(N), M(PO)
is the mass of pO meson (see Eq.(12.132)), and A is a real constant.') We recall that
det M, being invariant with respect to the SUdN) x SUR(N) x Uv(1), is not invariant
under the U5 (1) transformations.
The main steps in establishing the form (12.204) are the following.
The effective lagrangian has to reproduce the anomalous conservation law (12.8) :
(12.205)
Let us consider the following lagrangian density (compare with Eq.( 4.53)):
=~ir [8" MtfY-' M]
- Vo(M, Mt)
+ CC 2 + ;~C (In eiB det M
-In e- iO det Mt)

w he re
*)
+A
ir ( Mtfn(O)
+M
(fn(O))
t) ,
(12.206)
is a,no th er re,,1 con stant.
Actu rdl y, 11.'-1 will he ~ h owll b(' low , thi . . i ~1 th ( l'I inq-, I("I I, but not ulli q ue
11,11 0 II I t\,IO ll'l ( 'P I' IH' J' V 1"ti o ll bloW .
r rill
f r V o bey in g th e
350
The Us (l) current is (compare with Eqs.(4.56), (4.57)) :

(12.207)
so that
(12.208)
The equations of motion for M and Mt are:
(12.209)
(12.210)
Taking into account the identity iT (Mt ~ - M
Ifft) = 0, we find the following relation
from Eqs.(12.208) - (12.210) :
(12.211)
This relation coincides with the anomalous conservation equation in the dtirallimit.
Since the gluonic field G occurs in the lagrangian as an auxiliary field, it can be
integrated out in the path integral, or, what is the same, be expressed in terms of the
fields M, Mt by using the equation of motion
2CG +
iV2 (Ine''0 det M

4VN
-Ine-''0 det M
t) = 0 .
(12.212)
Now the lagrangian density (12.206) takes the following form:
=~ir [8"Mt 8" M]
- Vo(M, Mt)
+ 32~N
iO
iO
(In e det M - In e- det Mt
+ A iT ( Mtm(O) + M
(m(O) t)
(12.213)
By using the expansion (12.132) for M, or considering the nonlincar limit , whcn M =
P
(
J2exp
2i?r /F) , we find that
32CN
P'M'(P')
16N
in the tree approxirnil.tion. As a res ult ,
we come to the expression (12 .204) for V(M, Mt) .
Dynamical Chiral Symmetry Breaking in QeD
351
Few comments are in order.

It is clear that the form (12.206) is not the only one reproducing the anomalous
conservation law (12.8). For example, without modifying the main conclusions, the
additional terms
hmC m can be added to the lagrangian density (12.206). Here h m
L
m
are arbitrary functions of the invariants tr(M Mt)n. These additional terms will not
change the equa.tion for &1' J~I" although the constraint (12.212) will be modified. Thus,
the form (12 .206) is just the simplest form reproducing the anomalous conservation law.
The constraint (12.212) expresses a dual nature of pO meson (r/ meson at N = 3):
it can be thought of as composed of quarks and antiquarks or of gluon fields.
The expression (12.204) clearly shows that (j =
e+ arg det rh(O) is a chiral invariant .
In particular, a.t det rh(O) = 0, the parameter (j is arbitrary and is not observable.
It is clear that the anomalous term in the potential V(M, Mt) leads to the '\~-term
in the mass matrix for pseudoscalar mesons considered in Sec.12.8.

For a detailed discussion of the effect of the anomalous term in the NJL model see
Ref.[ 71 ].
12.13 .
CHIRAL EFFECTIVE LAGRANGIAN IN QCD: GENERAL STRUCTURE AND
COMPARISON WITH THE ENJL MODEL
In Chapter 5, we considered the general theory of nonlinear realization of spontaneous symmetry breaking in QFT. In this section, we will apply this theory to constructing the chiral effective lagrangian in QCD.
We begin by considering the field
8
E(x)
,\"
= exp(2i1r(x)/F);1r(x) = L 2
,,=1
1r"(x)
(12.214)
describing 8 pseudoscalar mesons in QCD with three quark flavors: u, d and s.

We assu me that the effective lagra.ngian for E admits an expansion in powers of
th e de riva tives of E. We should also t ake into acco unt th e expli cit violation of the
, Vt.(3) x SII /l Cl) x IJv(l) by th e qu a rk

1'0 1'11 1
IlIilSS 1.('1"111
7h (O) .
Sirr ce th e mass term bas th e
352
it is invariant under the transformation (12.134) of the quark fields, provided the mass
matrix is transformed as
(12.215)
Thus, the effective lagrangian ell = eff (E,8E,a 2 E, ... ,m(0)) remains invariant
under the transformations
E
------->
LERt
m(O) -------> Lm(O) Rt
Since
m(O)
(12.216)
is proportional M2(7r) (see Eq.(12.107), it is appropriate to atribute two
powers of 8 to m (0).
The general structure of the terms in eff to 0(84 ) was established by Gasser and
Leutwyler [ 78]. Since EtE = 1, there are no terms of 0(8) '" 0(1) in eff. The
O( 8 2 )-terms are:
2
) =
dell
F2 tT
{8I' Et81'E
+ 2Bm(0)E t + 2B*
(m(O))t E}
(12.217)
where the constant B will be determined in a moment.

Henceforth, we will consider the fermion basis in which
(12.218)
The constant B is in general complex. As follows from Eq.{12.213), the phase of B is

related to the parameter
e in the e-term e (h) cI'VhqG~(vGI~ in
Eq.{12.201). The
e-
term violates P and CP symmetries. The fact that the electric dipole mome nt of neutr on
is very small implies smallness of the parameter
Bdefined
in Eq.(J2.203):
Therefore to a very high degree of accuracy, on can take

that the constant B is real if one chooses
e=
o.
e:s 10- 9 [79 ].
B = O. Thi. ill turn inlplics
353
The mass term in Eq.(12.217) leads to the mass for pseudoscalar mesons. Expanding
L; = exp (i1f Ol ).. 01 / F) in powers of 1f<>, we find that

(12.219)
Comparing this relation with Eq.{12.105), we find that
(12.220)
i.e. the constant B is expressed through the chiral condensate.
There are the WZW terms amongst the 0(84 ) terms in Le!! (see Eq.(12.167) at
V/l = A/l = 0). All other terms in Le!! of 0(8 4) were classified by Gasser and Leutwyler
[ 78] :
L~J! =L l
tr8 /lL; 8 /lL;t
+ L2tr (8/lL;8 v L;t) tr (8/lL;8v L;t)
+ L3tr (8/lL;8/lL;t8vL;8vL;t) + L4tr (8/lL;8/lL;t) tr

+ Lstr
+ L7
[8/lL;8/lL; t 2Brh(O)(L;t + L;)]
[tr2Brh(O)(L;t - L;)
+ Ls
+ L6
[2Brh(O)(L;t
[tr2Brh(O){L;t
[tr4B 2 ( rh(O)
(L;t'
+ L;)
+ L;)]
+ L;2)]
(12.221)
We note that in the case of N 2: 4, there is an additional term in L~J! :

(12.222)
For N
= 2,
3, it is represented as a linear combination of the Li-terms with i = 1,2,3. At
only Li-terms with i
= 1,2,4,6 and
7 are independent .
The values of the coefficients Li were determined by Gasser and Leutwyler from
experemental data. Let us compare these values with those derived from the N JL
model (V/l = A/l = 0).
First, we note the following. The most interesting terms are those with L l , L 2, L3:
th cy arc lIoll-vanishing in th e chiral li mit. Tn the N JL model, they appear from the
fCfllli o ll d('i.{, flni lIa.nl.. I n a
~c n sc,
tll cy are not very :;c nsitivc to th e dynamics of spon-
t.;W II OIiH chil .1i HYIIIIII<'tr y hreHki ll f.\:
W('
cOlild ('Idl' lIhd.( th (' fnilli oll dctrrmina.nt in t.he
354
Dynamical Symmetry Brealcing in Quantum Field Theorielf
constituent quark model considering E just as being an external field. This is what
had been done in Refs.[ 62 - 66] . However, in the N JL model the determinant appears
absolutely naturally and, moreover, E admits the interpretation as a composite {;L1j;R
field . Thus, the N JL model gives a clear physical justification for that approach.
The values of L1, L2 and L3 calculated in the N JL model are [ 62 - 66, 40 - 42]:
(12.223)
If one lets m~yn/A~
r(n, 0)
-+
= r(n) = (n -
0 (what is reasonable since mdyn '" 0.3GeV, Ax;:: IGeV), then
I)!, and we get:
Nc 1
1
-3
L2 =2L 1 = - - -2 I N -3 = - -2 :::: 1.58 10
167r 12 ,647r
Nc 1
1
-3
L3 = - ---IN
-3 = ---:::: -3.1 710
.
167r 2 6 ,327r2
(12.224)
The experimental data yield [ 78 ]:
L1 =(0.7 0.3) . 10- 3 , L2 = (1.3 0.7) . 10- 3

L3 =( -4.4 2.5) . 10- 3
(12.225)
.
The agreement between these two sets of the values of Li is quite remarkable.
Let us extend this analysis to the dynamics with the VI' and AI' fields . Actually, for
reasons which will become clear below, we will introduce, besides the collective fields
5, P, VI' and AI" also external fields s,p,vl' and al"
In the lagrangian density, they
appear in the combinations
s=s +s,
F=P+p ,
(1 2.226 )
VI' = VI'+ vI"
AI' = AI'
+ a"
The external fields s, p, vI' and al' can be considcrcd as
sO llr cc~
for (; r('C II 's fllll ctions of
the composite operators {;fOt1j;,i1~'Y~faV}"'~'Y" r'1/1 ".lId 1/1'Y" 'Y5~" " /1, r('s p('(l.i vr iy. 011 j,li r
355
other hand, at least some of s, p, v"" a", can be treated as fields connected with some
fundamental interactions, as the SUd2) x Uy ( 1) electroweak interactions and Higgs
interactions, for example.
We include the bare mass term rh(O) in the external field s(x)
Now
+ ip(x) .
L~~f takes the form:

(12.227)
where 'P(x)
== 2B [s(x) + ip(x)]
and "(7", denotes the covariant derivative:

(12.228)
(compare with Eq.(12.196)), where
AL", =V", + A",

AR", =V", -A",.
(12.229)
The terms in I.e!! of 0(0 4 ) now are [ 78 ]:
L~Yf =L I
(tr"(7 ",~"(7"'~tr
+ L2tr ("(7 ",~"(7 v~t) tr ("(7"'~"(7v~t)
+ L3ir ("(7 ",~"(7"'~t"(7 v~"(7v~t) + L4tr ("(7 ",~"(7"'~t) ir ('P~t + 'Pt~)
+ L5tr ["(7 ",~"(7"'~t ('P~t + 'Pt~) ] + L6 [tr ('P~t + 'Pt~)] 2
r
('P~t'P~t
t- -"'v - - t)
+ L7 [tr ('P~t - 'Pt~)
. 9tr (FR
-"'v V"'~
- zL
+ Lstr
+ 'Pt~'Pt~)
VV~+FL V",~Vv~
+ LlOtr (~F~v~t h",v) + HI tr (F~v FR",v + Fr h",v ) + H2tr( 'P'Pt) ,

(12.230)
where
FLl'v =ow,hv - OvAL", - i [AL'" , ALV] ,

(12.231)
Fn"v =o",A nv - OvAR'" - i [An"" ARv] .

Bcfor(' procr('din g lhe ana.lys is or lil rs(' trrms, we would like lo indicate that, as
nlwilYH ill qll ,,"t 11111 fi('ld t.h eory, t.h<, pnlilllll't, 'rM(nlliplillg ('ollst.a.lIls) Li depend on a
356
renormalization scale CT (or cutoff A) where they are defined. Accordingly to the Wilson
theory of effective lagrangians discussed in Sec.l1.2, Li(CT) are obtained by integrating
out particles with masses of order CT and heavier, and also the contribution connected
with "high" momenta, p :::: CT, of light particles.
The values of Li were determined [ 78] by comparison with experimental low energy
information such as the D-wave
of th e pion and the decay
11"
11"11"
scattering lengths, the electromagnetic charge radius
~ ewy. In that analysis, the electromagnetic and weak
Wi
fields are identified with certain combinations of the fields v JJ and a JJ The conventional
scale CT for Li(CT) is the mass of p meson, CT = Mp = 0.77GeV. In particular, the values
of L 1 , L2 and L3 in Eq.(12 .224) correspond to this scale.
The constants Li in the effective lagrangian derived from the EN JL model should
be identified with Li(CT) at CT
rv
Ax
rv
1 - 1.5Ge V. In this model, in the chiral limit,
besides the constants L 1 , L 2 , L 3 , there are two additional constants [ 62 - 66, 40 - 42 ],
Lg
Nc 1
1611" 3
= - - 2 -f
(1, 2)
m dyn
-2-
Ax
IN,=3
---+
6.3310
-3
m'd
~_o
AX
Nc 1
LlO=----f
1611"2 6
( 2)
x
mdyn
1 -2'A
The experimental data yield [ 78, 80
IN-3
,-
(12.232)
m'---+ -317
. 10
o
--!FAX
-3
J:
Lg(Mp) =(6.9 0.7) . 10- 3
LlO(Mp) =(-5.2 0.3) . 10- 3
(12.233)
.
Thus, there is an essential difference between LlO(Mp) and LlO in Eq.(12.232). However, according to the phylosophy of the Wilson theory outlined above, we should compare Li(Mp) with Li in the EN JL model calculated at the same scale. For this purpose,
we must integrate out the heavier fields, as S, VJJ and A JJ , and also we must take into
account the contribution of one-loop graphs generated by ~;fl in which momenta of
NG bosons change from CT = Mp through CT = Ax.
Such a program was realized by the authors of Refs.[ 42, 81 ] by eliminating th e
heavier fields at the mean field level up to fourth order by means of th e classical equati on;;
of motion.
This leads to ~;f (12 .227) and ~~)f (12.230) in which
V,.
'il,. =
VI'I
and
s =o
Vp=AI'::O
Pit
-+
Fit
=P~v l
s=o
VJ.I::Ap:;;;O
, Pfv
-+
Ffv
=Pfvl
s =o
357
As to the
Vp=Ap:O
parameters Li in ~;f these authors found that while the values of L I , L2, L3 and L9 do
not change significantly with respect to the values in Eqs.(12.223),(12.224), the value of
LlO changes in the right direction: it becomes LID:::: - 5.8 10- 3 .

Such a good agreement with experimental data indicates that the EN JL model
captures at least some basic points of the dynamics of light mesons .
12 .14 . MORE ABOUT CHIRAL EFFECTIVE LAGRANGIANS IN QCD . NAIVE DIMENSIONAL ANALYSIS
As we already indicated in Sec.12.7, the EN JL model is not the only model leading
to a successful description of the dynamics of light mesons. In this section, we will
compare it with other models . We will also consider heuristic rules for estimating the
sizes of terms in the general chiral effective theory (the so called naive dimensional
analysis) [ 82, 83].
Let us recall that in Sec.12.7 we "derived" the EN JL model from the improved
ladder approximation (see Eq.(12.87)), in which the gluon propagator Dl'v(p) was taken
as Dl'v = --;&-9I'v, and the running coupling constant g2(q,p) was chosen as g2(q,p) =
x
9;0 (A~
- (q - p)2).
As a result, we obtained the four-fermion interaction model (12.90).
Let us consider now what will happen if the gluon propagat.or is chosen as
(12.234)
where Mg is a gluon "mass", and, for simplicity, the running coupling is chosen the same
as before .
We will show, following Kleinert and Shrauner [ 84 ], and others [ 85 - 87], that in
this case, integrating out gluons, we obtain nonlocal four-fermion interaction system.
Let us start from the "abelianized" QeD:
(12.235)
whe re E; is a ga uge parameter and
- 'J ,-'/i
C-','Ii1/ =
( It 't ,l ( CU IIIJ ),II "
will, 1':'1
( I ~ . I )) .
" C"
'"
011
(12.236)
358
After integrating out the gluon field in the path integral of this system, the lagrangian density (12.235) transforms to
(12.237)
where K(Y1Xl , X2Y2) is the BS kernel (see Eq.(8.101)) (here integration and summation
over X2, Yl , Y2 are understood) . In this approximation, it is
where
Kmlnl,n2m2
is given in Eq.(12.87), and
(12.239)
(compare with Eq.(8.76)). We indicated explicitly the group indices in Eq.(12.238). We

also note that since we consider the chiral limit, in which all quarks have the same
mass, the parameters 17x and 17y in Eq.(8.76) equal
t now.
As in the EN JL model, we
will introduce the collective fields. The essential difference, however, as compared to
that case, is that now they are bilocal and not local fields. For this purpose, let us
add the following Gaussian term to (12.237) so as to cancel the nonlocal four-fermion
interaction:
~ [N(Y1Xl) -
iK(Y1Xl, x~YD1/J(x~)1,b(Y~)l
X K-1(Y1Xl, X2Y2) [N( X2Y2) - iK(X2Y2, x~y~)1/J(x~) 1,b (Y~)l
(12.240)
== ~ (N - iK1/J1,b) K- 1 (N - iK1/J1,b) ,
where Nmn(y, x) is the auxiliary field:
(12.211 )
(compare with Eq.(6.4)) .
359
By using just the same procedure as in the case of the N JL model, we find the
generating functional Z for Green's functions:
Z(77,fi)
J
{i J
== J
{i [~(N
d4 x [({;i81/; - N) 1/;+
VNV1/;V{;exp
VN exp
]{-l N)
- iln Det
~ (N]{-lN)
+ fi1/; + {;77]}
(i8 - N) - fi (i8 - N) 77]}

(12.242)
(compare with Eqs.(6 .17), (12.129)).

Thus, we get the following effective action :
(compare with Eqs.(6.20), (12.146)).

When does this model reduce to the EN JL model? Let us recall that in that model,
the BS kernel is
(12.244)
(see Eq.(8.108)). Therefore the present model becomes a NJL-like model when the
support of its BS kernel has such a o-like form. In this case the bilocal field N(y, x)
effectively becomes a local one, N(x, x). Otherwise, N(y, x) describes an infinite number
of local fields:
N(y , x) =
(12.245)
where
N(non,n,nJ)(x) = (-It
d4 y(yo - xotO(Yl - xlt' (Y2 - x2t'(Y3 - x3t JN(y, x) ,

(12.246)
It is c1ea.r th at this approach gives just a new language for the description of the
clyn a. mi cs of tile improy('d ladd er approximati on model discussed in Sec. 12.7. But this
I ". /I ~ "" g('
is "sd,,1 for 1,11 (' rOlll)H ri Ho n or tlli s dYI1 ;lIl1i rs witll tll ,tt or til e 8N JL model. In
360
particular, since a "harmonic" N( non, nln,) (x) appears with the coefficient proportional
to
~ (~)
Mg
Mg
n ,
n =
ni, in the effective action, the harmonics with higher n are
;=0
supperssed in the low energy region where :r~ ~ 1. It is clear that these harmonics can
9
be considered as additional matter fields in the chiral effective lagrangian.

The discussion in the previous section shows the role of heavy matter fields in chiral
dynamics. Although the heavy fields , such as S, VI' and AI" decouple from the low
energy dynamics, they, in accord with the Wilson theory, may essentially influence the
values of the parameters in the effective lagrangian of the NG field
~,
as it happens with
the constant LlO in the EN JL model. There has been a lot of papers demonstrating a
certain improvement of the description of the chiral dynamics by taking into account
such heavier fields [ 88 - 92
r)
We note also that a rather succesful calculation of the Gasser-Leutwyler constants Li

in the framework of the so called non-local quark model (which is essentially equivalent
t o th e model with th e bilocal field considered above) was done in Ref.[ 93].
There is a number of chiral models based on the general theory of nonlinear realization of spontaneous symmetry breaking considered in Chapter 5. These models
do not use any specific approximation for the microscopic chiral dynamics, such as the
improved ladder approximation for example. We will discuss one of them.
The Georgi-Manohar (GM) model [ 82 ] is based on the hypothesis of the two scales
1Il
QCD discussed in Sec.12.6 . The model includes the fields of only light particles,
with masses lighter than Ax: the field
of the eight NG bosons, the quark field X and
the gluon field G~{. Under the chiral SUL(3) x SUR(3), the quark field X transforms
nonlinearly:
(12.247)
X -+ Ux
(see Eq.{5.57)). The field ~ transforms as usual:

(12.24 8)
The effective lagrangian is written down as the most general lagrangian which is inva ri allt
under SUd3) x SUR(3) and discrete transformations P, C and 1'. Th e fir st rew
*) In those papers, th e important role o f isosin gle t scala r (lu ) = ~( I uu )
dynamics was especially emphasi zed.
+ Idri )
t C rllIH
ill l lo t ('Ioi " d
361
are:
L =
'
, )
(0)
(0)
'
1 (0)'
X ( iD + V X + 9A XA')'5X - mdynxx + 4F
trol'~ 0l'~ -
41G KI'
GI'Y
+ ... ,
(12.249)
where the quantities VI' and AI' were defined in Eqs.(5.30), (5.31),
and DI' = 01'
+ t9stK G~(
VI' =
~i (etol'~ + eOl'et )
AI' =
~i (etol'e -
(12.250)
eOl'e t ) ,
is the SUe(3) covariant derivative. The parameters
9~), m~;n
and F(O) relate to the scale fJ = Ax . For simplicity, we consider the chiral limit only;
m~;n is the dynamical mass of quarks.

Let us compare this model with the N JL model, i.e. with the EN JL model in which
VI' = AI' =
o.
In the nonlinear limit, when M .....
(12.249), in which F(O)
= 0 and gluon
,fi~,
the N JL model leads to the form
field is omitted. The equality F(O)
that in the N JL model, the kinetic term of ~ is induced by quark loops.
= 0 implies
F(O) f. 0 in
the GM model would imply that a part of the kinetic term is induced by heavy fields
integrated out. In particular, the higher harmonics N(n on1 n,n 3 )(x) (see Eq.(12.246)) or
baryon fields might give such a contribution.
The values of the "bare" parameters 9~), F(O), m~;n are determined from experimental data, and, as usual in field theory, they depend on a renormalization scheme
used in the calculations of loop diagrams . Although the GM model is nonrenormalizable, one can carry out the calculations by using an infinite number of counter terms
(see Sec.5.5) .
Phenomenological applications of the model were considered in Refs.[ 82, 94 - 96
J.
In particular, Weinberg initiated the anaysis of the model in the framework of liNe
expansion [ 94] . A particularly interesting result. is that 9~) = 1 in leading order in
liNe [94] and that liNe loop corrections lead to 9A(fJ) < 1 at fJ '" mdyn [95,96]. The
latter is necessary to explain the old result of nonrelativistic quark model concerning
the nucleon coupling 9~N) in ,B-decay. It is
(12.251)
whidl 'y i (' ld ~ !III - 0.75 fo r t. he ('XP('I"i lll(' llt. a.1 valll{' !I~) - 1.25.
362
However, all such calculations of the parameters in the framework of effective lagrangians are nesessarily based on some assumptions about the contribution of heavy
fields (which are integrated out) to these parameters; for a recent discussion of this
point, see Ref.[ 97 ].
We also note that, as was already pointed out in Sec.5.3, there are ambiguities in the
choice of interpolating fields for the description of particles in chiral effective lagrangians.
For example, instead of the quark field X, we could use the field
(12.252)
which transforms as
(12.253)
under SUL(3) x SU R(3).
Although different fields lead to the same 5 matrix elements, a certain choice may
be practically preferable. This is connected in particular with the point that in the
reality, we usually can calculate only off-mass shell matrix elements, as in the case of
the PCAC dynamics (See Sec.4.5). Therefore it is important to choose the "smoothest"
interpolating fields, whose matrix elements are slowly varying as one goes a way off-shell.
From the practical viewpoint, this problem is particularly important for the description of vector mesons in the chiral lagrangian [ 80]. The success of vector-meson
dominance (VMD) hypothesis [ 98], which is an analogue of PCAC for vector mesons,
indicates that they, like pions, might playa special role in low energy hadronic dynamics.
On the other hand, unlike PCAC, there is no nearby symmetric limit in which Mv
-+
0,
where Mv is a mass of vector mesons.

One interesting possibility is to use the field
p:,
introduced in Sec.5.3, as an in-
terpolating field for vector mesons. As was indicated there, this field plays the role
of a gauge field in the nonlinear realization of spontaneous chiral symmetry breaking.
Recently this point has been developed further in a form of the hidden local Uv(N) (or
SUv(N)) symmetry (for a review, see Ref.[ 99
D.
The subject is rapidly developing,
and a more detailed discussion of this subject is beyond the scope of the present book.
In conclusion, we will consider, following Ref.[ 82,83], heuristic rules for estimating
the sizes of terms in the chiral effective lagrangian (the so called naive dimensional
analysis).
363
There are two dimensional parameters in the chirallagrangian: the decay constant
F and the scale Ax . The problem is to express the coefficients in the chirallagrangian
in terms of these two parameters.

Let us recall some basic points in the derivation of the effective lagrangian in the NJL
= AI' = 0).
model (VI'
The fundamental scale in the model is Ax; all other dimensional
parameters are expressed through it. It is naturally to assume that Ax is close to the
mass of the lightest non-NG boson particle, p meson in QeD: Ax
rv
Mp
rv
2mdyn-
As follows from the consideration in Sec.12.11, the characteristic point in the effective
lagrangian derived from the N JL model is the appearance of ~ as an overall factor.
It appears there because the lagrangian was derived by intergrating out quark fields,
i.e. by calculating one-loop quark diagrams: the factor

(2!)4
rb comes from the measure
d q (see Eq.(9 .66)). On the other hand, the decay constant F is
(12.254)
(see Eq .(12.197)) . Therefore, the overall factor ~ is of the order of F2 /A~.

Let us look at the kinetic term (12.192). Introducing the interpolating fields
(12.255)
which have the canonical kinetic term,
(12.256)
we come to the following rules to estimate the size of a dimensional coefficient related
to any term in the effective lagrangian expressed through the interpolating fields [ 83]:
l. Include an overall factor F2 / A~;
2. IlI c lllcl e;l fact o r Ax/ F for Cil.cll fi (,ld ;

:1. Acid f .. d o l's {I f 1\ \ i.o grl. t.1t !' dilll!' lI sio ll 1.0 fOllr .
Dynami cal Symm etry Breaking in Quantum Field Theorie&
364
Let us discuss the physical meaning of these rules in more detail. Since Ax/ F is of
order of the Yukawa coupling gy , the rule 2 reflects the point that a vertex producing
a particle is proportional to gy . The rule 3 reflects the fact that there are no other
dynamical sources (than those indicated in the rules 1 and 2) leading to the appearance
of F in the lagrangian.
Looking at the kinetic term (12.192) in the ENJL model, we see that the same rules
work for vector and axial-vector mesons in that case. This point reflects a universality
of the interactions in the model: all coupling constants are of the order of gy there.
Therefore the rules may be useful for the description of chiral lagrangians including also
heavy particles if the universality of such a kind takes place in a theory.
If we are interested in a chilal lagrangian including NG bosons only, it is convenient
to use the field ~ = exp(2i1T / F) which has the kinetic term of the form ~2 (aJl~t aJl~) .
T hen, one can check that the rules 1 - 3 lead to the estimate (5 .137) for the coefficients
in the chiral lagrangian expressed in terms of
12.15 .
~.
WHY ARE ALL THESE MODELS SO SUCCESSFUL? GREEN'S FUNCTIONS OF
COMPOSITE OPERATORS IN QCD.
Of course, the main reason of the success of those rather simple models considered
in Sec.12.7 - 12.10 is connected with the fact that they combine the two most important
features of hadron dynamics: spontaneous chiral symmetry breaking and the quark
structure of hadrons.
In this section, we will argue that another important reason
of their success is intimately connected with the fact that hadrons are loose bound
states, i.e. that their form factors rapidly decrease with increasing the momentum q at
q2 ;::
A~ > A~CD.
Let us start from the very beginning, that is from the question: what is the general
framework for the description of bound states in local field theories ? Since th e cl assical
papers of Haag, Nishijima, and Zimmermann [ 100 j, it has been kn own that any local
composite operator O(x) can be chosen as an interpolating fi eld for a bound state IP) ,
as long as it satisfies the relation
(OIO(x)IP) = e- iPx
(1 2.257)
Then, the 5 matrix for bound states is expressed th ro ugh G reen's run ct iolls or t.li rsc
composite operators by mean. or th e sta,ncl;ud r el u ti on rOfllllll as [ 1001 ,
Dynamical Chiral Symmetry Breaking in Q CD
365
Thus the local composite operators can be used for the description of the dynamics of
hadrons not just in the low energy region but at any energy! The full information about
the dynamics of hadrons contains in Green's functions of the local composite operators.
More precisely, it contains in the on-mass shell matrix elements of the operators. The
latter is an important point , especially in such theories as QeD. Let us discuss this issue
in more detail.
In free theory, there is a one-to-one correspondence between particles and their fields.
The situation remains essentially the same in weakly interacting theories such as QED:
each particle is connected with its own interpolating field; the choice of the latter in
p erturbation theory is evident.
However, the situation in theories such as QeD, describing strongly interacting
particles, is essentially different. Let us, for example, consider pion
'Ira
in QeD. A
possible (and natural) choice for its interpolating field is the local composite operator
(12.258)
where the normalization factor C provides the fulfillment of the condition (12.257) .
We can use this operator to describe the S matrix of pions . Let us now look at the
propagator of this field :
(12.259)
There is of course the pion pole contribution in G~p(x), but there are also contributions from other dynamical sources. Actually, their contribution in G~p(x) dominates.
The point is that, since O:(x) is a local operator, the propagator G~p(x) contains contributions connected with all scales, from p = 0 through p --
00.
At large p, because of
asymptotic freedom, the dominant contribution coincides, up to some logarithmic corrections , with the contribution in free theory of quarks (see Fig.12.1). This contribution
is quadratically divergent.
366
Dynamical Symmetry Breaking in Quantum Field Theoriel
Fig. 12.1. The lowest order diagram contributing to the Green's function (12.259) .
In a more formal language, this means that we cannot write the dispersion relation without subtractions for the Fourier transform G~f3 (p)j in this case, the ultraviolet behavior
of its spectral function p~f3 (s) requires two subtractions in th e dispersion relation~)
Although this fact is irrelevant for the on-mass shell matrix elements of pions, it is
important from the practical viewpoint: the point is that usually Green's functions of
composite operators can be determined only off-mass shell. This point is, for example,
important for such a popular approach as QCD sum rules [ 52
1based
on dispersion
relations for Green's functions of composite operators. In the practical use of the QCD
sum rules, one has to adopt some prescriptions for defining a nonperturbative part
of composite operat.ors by subtracting the perturbative part connected with the short
distance quark-gluon dynamics.
To make the present discussion to be more concrete, let us consider some examples.
Let us first consider the mass relation for the mass of pion. We now know two
relations: the first is exact (see Eqs .(9.50), (12.48)),
(12.260)
the second is the famous PCAC relation
2 _ _ ({;1j; ) ( (0)
M ab
F2
ma
(0))
mb
(12.261)
(see Eq.(12.51)), which is valid to first order in m~O).

*) The present, somewhat heuristic, consideration is confirmed in a more rigoro us treatment o f thi s
problem (see for example Ref.[ 101 J).
367
Here X~\ is the BS wave function of a pion composed of the a-th quark and the
b-th antiquark, and (1fi1jJ) is the condensate which, in the chirallimit, is:
.
i
-4iNe
(1jJ1jJ) = - x-+o
hm NtrG(x) = -()4
211"
4
Bdyn(q2)
d q q2A 2( q2) - B dyn
2 (2)
q
(12.262)
(see Eq.(9.52)).
As we know, to first order in m~O), the relations (12.260) and (12.261) are equivalent.
On the other hand, if we naively try to extend the relation (12.261) beyond this approximation by substituting Bdyn(q2) in Eq.(12.262) by the constituent quark mass function
Ba(q2), the result would be disastrous since then Ba(q2) '" m~O) (Inq2/Ab cD ) -
em
(see
Eq.(12.83)) and the condensate (1fi1jJ) would be quadratically divergent , while m~O)
2
(InA /AbcD)-C
'"
(see Eq.(12.19)). As a result, we would get an absurd formula for
M;b : M;b quadratically diverges!

In order to avoid this and similar disasters, the standard prescriptio n in the QeD
sum rules approach is to substitute the composite operator 1fi1jJ for
(1 2. 263)
where (Oi 1fia1jJbiO)pert '" 0
(m~O),
m1)) is a perturbative contribution in th r condensate.
Unfortunately, this quantity is not well defined in the literature: alth oll gh it is intuitively
clear what we want to reach, there are ambiguities in separating th e pr rt llrbative and
nonperturbative contributions in (Oi 1fia1jJbiO).
Since now we have the exac t relation, Eq.(12.260) , for M;b' wI'
Cil il
understand
better the meaning of this prescription. The crucial point is that, unlikc' IJ II (q2 ), the BS
wave function x~\ decreases rapidly with increasing q2 at any valu e of 11/,~,O):
(p)
Xab;1
~
(q
2
) - I +em
)-- lnq 2 /II QC
D
2? (
(0)
(see Eq .{I2.52)) . Because of this a nd sin ce mil
'"
in th e re\;1.ti on (12.260) remains finite aR II
11I 1I 2/lIbcl)
(12.264)
-r,,,
, We'
filld t hat M;b
368
Dynamical Symmetry Breal.:ing in Quantum Field Theoriell
It is useful to rewrite this relation in the following form:
(12.265)
where
(12.266)
Thus the BS wave function of pions takes care of subtracting the perturbative contribution from M~b .
Of course, it is not easy to determine such a nonperturbative object as the BS wave
function in QCD, but it is important that now a somewhat ambiguous prescription
(12.263) becomes well defined.
Another example is the relation for the decay constant Fab. In Sec.9.4, we derived
the exact formula for Fab:
Fab PI' -- (27r)4

2Nc Jd 4 q [PI' Xab;2
(p)
(P)]
+ qI' Xab;3
(12.267) \
(see Eq.(9 .71)). On the other hand, there exists the approximate Pagels-Stokar formula
(12.126) for F2 = F;b in the chirallimit:
(12.268)
If we naively try to extend this formula beyond the chirallimit by substituting Bdyn(q2)
by Ba(q2), then the irregular, slowly decreasing, piece in Ba(q2) (see Eq.(12.83)) would
lead to a rather large contribution to F;b. On the other hand, since the BS wave functions
in the exact relation (12.267) rapidly decrease with increasing the momentum at any
value of m~O), the dominant contribution to the decay constant is always connected with
the infrared region [ 46 , 102].
These two examples illustrate the general situation in QCD: since hadrons are loo:c
bound states, all their characteristics are determined by the nonperturbative dyn;unic.s
in the infrared region. This is in particular valid for the Ga scr- Leutwylcr constants Li
in the chiral effective lagrangian considered in Sec .12.13.
369
Now let us return to the question raised in the title of the present section: why are
all these models so successful ? The answer to the question following from our consideration is: because all of them qualitatively correctly reproduce the property of looseness
of hadrons . Let us recall what we were doing, for example, in the EN JL model. The
crucial point in that model is the ultraviolet cutoff A = Ax. It cuts all form factors of
hadrons at scale q
rv
Ax . It is certainly a rather crude approximation to substitute
the asymptotics (12.264) by a step-function, however, since hadron characteristics (at

least many of them) are not very sensitive to the ultraviolet tail with q ;:: Ax, the
approximation works reasonably well.
The models based on the improved ladder approximation take into account the
ultraviolet tail, thus improving that approximation in the EN JL model. However the
central point in the hadron dynamics remains the same in those models: hadrons are
loose bound states.
In Chapters 14 - 15, discussing models of dynamical electroweak symmetry breaking,
we will consider another type of bound states (tightly bound states).
Chapter 13
Introduction to Electroweak Symmetry Breaking

13.1.
INTRODUCTION
Besides gravity, all the known fundamental interactions are described by the Standard Model (SM). The SM is a gauge theory with the gauge group SUc (3) x SUL(2) x
Uy (l). The color group SUc (3) is connected with QeD considered in the previous chap-
ter. The gauge group SUd2) x Uy ( 1) is connected with electroweak interactions. There
are four gauge bosons mediating electroweak interactions: the W", a = 1,2,3, relating
to the SUL(2), and the B relating to the Uy (l). The electroweak part of the SM was
elaborated by Glashow, Weinberg and Salam [ 1 ].
Unlike the color SUc(3), the SUd2) x Uy(l) realizes in nature as a spontaneously
broken gauge group. In particular, as a result, the physical vector bosons, W and Z,
and photon I, are some combinations of the vector bosons W" and B.
Electroweak physics is one of the central topics in modern particle
physics~) In the
present chapter, we will focus on only one aspect of this subject: electroweak symmetry
breaking which gives masses to the W and Z, and to the quarks and leptons.
13.2.
THE HIGGS MECHANISM IN THE STANDARD MODEL
The SM includes three types of fields: a) twelve gauge bosons; b) three famili es of
quarks and leptons; c) the Higgs field which is responsible for the breakdown of the
electroweak group SUL (2) x Uy (l) to the UQ (l) of electromagnetism.
In this section, we will consider the dynamics in the sectors a) and c); the fermion
sector will be considered in the next section.
Let us start from the SUL(2) x SUR(2) x Uv(l) linear a-model considered in Sec.
4.4. Its lagrangian density is:
( IJ. I)
*) Fo r a th o ro ug h co nsid crfLli o n
r Ihi s 5 11 bj
t sc
370
th e b o ks [ 2 ,3 , ~ 1
311
where
M =
~(h + iw"r"); a =
{13.2)
1,2,3
(compare with Eqs.( 4.53), (4.66) and (4.68); here we use different notations for the
spinless bosons (h and w") to distinguish them from mesons a and
7r
in QeD.) As we
know , at J1.2 < O,the dural group SUd3) x SU R(2) x Uv(1) breaks spontaneously down
to SU v (2) x Uv (1):
(OIMIO) =
1
V2
(v0 0)
v
'
(13.3)
where, in tree approximation, the vacuum expectation value v = (OlhIO) is equal to
(13.4)
(see Eq.(4.58)). The mass of the Higgs boson is equal to
(13.5)
(see Eq.(4.70)). The NG fields w" are of course massless .
Under 5U L(2) x 5UR(2), M transforms as follows:
(13.6)
(see Eq. (4.52)).
Let us now gauge the subgroup 5UL(2) x U3R(1) of the 5UL(2) x 5UR(2), where
the U3R (1) transformations are given by exp(i<prk) . Then the gauge-field lagrangian
density is
(13.7)
where
W"
JlV
(,,,rh
Mi'
-a
-
I' W"
v
til !' si.rudur(' constMts
fi l'ld /11/ h" ("() lI l('s :
av W" Jl
or S(!('l)),
92< "lhWfJW'Y
Jl
v ,
IIlId
(13.8)
l.iI (' la.g ritllgian density for the Higgs
372
(13.9)
where the covariant derivative DI'M is:
(13.10)
This form of DI'M is dictated by the transformation law (13.6).

In this model, the gauge interactions break explicity SUd2) x SUR(2) to SU(2) x
U3R(1). Therefore, the combined effect of spontaneous chiral symmetry breaking and
explicit chiral symmetry breaking breaks SU (2) x SU R(2) (and consequently SU(2) x
U3 R(I) ) to the U(l) subgroup generated by!
(r1 + rk).
Let us consider the Higgs mechanism in this model (see Sec.3.6).
Substituting
(OIMIO) (13.3) into h (13.9), we find the physical mass eigenstates W;, ZI' and AI':
WI'
1 ( 1 . 2)
= Vi
WI':t=lWI' '
(13.11)
ZI' = cosOwW2 - sinOwBI"
(13.12)
+ cos Ow BI"
(13.13)
AI' = sin Ow W2
where the weak mixing angle is given by
cos Ow =
g2
~.
(13.14)
Vgi + g~
The photon AI' is massless, the mass of the ZI' is
Mz =
and the mass of the
h /gi + giv,
(13.15)
W; is
1
2
e
2sinOw '
(13.16)
Mw = -g2V = - - - v
where e = g2 sin Ow is the electromagnetic coupling constant.
Thll ~
wc c ncllld c that
373
the Z-boson is heavier than the W-boson:

1
Mz= --eMw.
cos
(13.17)
This equation implies that
(13.17a)
in tree approximation. As will be shown in Sec.13.5, this relation follows from the
fact that at gI
=0
(or, what is the same, at e
= 0)
the lagrangian density Lh (13.9)
is invariant with respect to the SUL(2) x SUR(2) x Uv(l) which is larger than the
SUL(2) x Uy(l) .
The experimental values for M z , Mw, ew are [5]:

Mz
= 91.175 0.02IGeV,
Mw
= 80.35 0.37GeV,
( 13.18)
sin 2 w = 0.2261 0.0030

From here and Eq.(13.16), we find that v:::: 246GeV .
Thus , in the SM, three would-be NG bosons w a are "eaten" by the Wand Z,
i.e. they transform into the longitudinal components of electroweak bosons. The only
physical spinless boson in the SM is the Higgs boson h.
Sometimes it is convenient to present the M-field as
'PI
M = (
'P2
where
rp =
-'P2) == ( _
'PI
'P,
'P),
(13.19)
ir2'P' and
(13.20)
374
In the higgs -gauge sector of the model , the gauge group is SUd2) x Uy (1) , where
the generator of the Uy(I), hypercharge Y, can be identified with
Y=
-TR
tTA,
(13.21)
'
and the electric charge generator Q is
(13 .22)
In this sector, the baryon and lepton numbers of all the fields equal zero. As we will see
below, the definition of the hypercharge Y will change when the quark and lepton fields
are introduced in the model.
13.3 .
QUARKS AND LEPTONS IN THE STANDARD MODEL
Introducing the quarks and leptons in electroweak theory is a nontrivial problem.

The key point is to assign the correct quantum numbers to the fermions with respect to
We know experimentally that there are at least six quarks in nature: u , d, s, c, b,

and t (although the top quark has not yet been discovered, we know that there should
exist an isospin partner of the b quark) . The current masses of quarks are (see Sec.12.8)
J:
[5
m cu r;u :::::
5.6 1.1M e V
mcur;d:::::
9.9 1.1MeV
mcur ;c :::::
1.35 O.05Ge V
mcur ;8 :::::
199 33MeV
mcur;b :::::
m cur ;t:2:
5Ge V
(13.23)
91GeV .
T he masses of the four lightest quarks are evaluated at th e scale a = IGe V ; for t he
heavier band t quarks,
mcur;b
and
mcur;t
are the" pole" masses")
There are also six leptons: electron e with m e ::::: O.51M eV , mu on f..! with
105.7M eV ,
lepton with
mr :::::
1784MeV, and their neutrin os ,
I/e, // 11
*) At t he time of finishing the writin g of this book, th e lowe r bo un d fo r
and
/Jr .
mil :::::
So fa r,
Tn , . . ;I , o bta in ed fro m
expe riments at the Tevatron collid e r, has inc reased to 11 3Ge V .
.. ) The pole mass m is defin ed at th e nearest sin g ul a rity o f th e qU lLrk pr plLKlLtor 0(7)) a t 7,2 ",1
( for such he avy quarks, t he confin e ment e lf ts a r n gl t :xl.)
375
only the left-handed neutrinos have been detected. The present laboratory limit on
neutrino masses are as (at 95 % confidence limit) [ 5]:
mv e
< 7.3eV, mv!, < 270[{eV,
VT
< 35MeV.
(13 .24)
These fermions group in three families:

(13.25)
where the family index i runs from 1 to 3. The first family includes
(13. 26)
the second includes
ql =
(::) ,
q1 =
(::) , II = (;: ) , 11 = (;: ) ,
(13.27)
and the third family consists of

( 13 .28)
The experimental data concerning the decay of Z boson has proved that there exist
only these three families with light neutrinos; other families (if they exist at all) must
include heavy neutrinos with masses
mv
> M z / 2 c::: 45Ge V [ 5 ].
We also note that although the right-handed neutrinos are not necessary for the
consistency of the Standard Model , they are included here for completeness.
The three families have the same quantum numbers with respect to the 5U c (3) x
5 UL (2) x U y (l). In p articular, the left-handed fermions
t o 5 Ud 2), and the right-handed fermions
qi, Ii are doublets with respect
qk, Ik are singlets with respect to this group.
T he definiti on (1 3.21) of th e hypercharge generator is modified now in the following

way:
3
Y = T Il
wil(' rl'
B- L
+- - ,
2
'1'/( is til l' g<' II(' r;ll,or or ll:1II ( I) (o r CO IIr S (' 7 'j~
t iOIl o f ,"'(/ ,, ('2 )) , ,11111 /I " lid /,
, tI ( ,
(13 .29)
- ~rl( ill til e:' rlliid alllent. a.\ representa-
1',II 'y" " 1111.1 I(' pl ll ll 'I II ,lid 11111 1lIlIlIhe rs: H = ~ , L = 0
376
for quarks, and B = 0, L = 1 for leptons. We note that B2L can be identified with
the generator of the U v (1) in the 5UL(2) x 5U R (2) x U v (1). Its gauged subgroup
5UL(2) x U y (1) coincides with the 5UL (2) x U3R (1 ) in the gauge-higgs sectors. The
electric charge Q is
(13 .30)
The quantum numbers of all the fields of the Standard Model are shown in Table 13.1.
Particle
SUc(3) x SUL(2) x Uy(l)
Baryon Number
Lepton Number
Cf{
( 8, 1, 0 )
( 1,3, 0 )
( 1, 1, 0 )
( 3, 2, 1/6 )
1/3
1/3
( 1,2, -1/2 )
( 1, 1, T~ - 1/2 )
( 1, 2, -1/2 )
"
W"
"
BI'
qi _ (u~)
d~
L -
. (u; )
q' _
R -
dj,
Ii = ( ~D
IiR =
( ej,
~~ )
'P
( 3, 1, T~
+ 1/6
Table 13.1. The fields of the Standard Model

Let us now consider the lagrangian density for quarks and leptons L f. It is convenient to distinguish two parts in L r
(13.31)
The part
Lgj
describes the interactions of the fermions with the 5UL(2) x Uy (l) gauge
fields (here we omit QeD dynamics considered in the previous chapter):

(13 .32)
(the meaning of the primes here will be clear in a moment) , wh ere
( IJ.:n)
Dl'lRi =ol'qk
I i
Ii
Dl'lL =0l'lL
Dl'lk =Ol'lk
+ ig 1 BI'YQk
(13.34)
a rO: I i .
l'
+ zg2Wl' TlL + zgl B I'Y L

i
+ ig 1 BI' Yl k .
377
(13.35)
(13.36)
The part [hI describes Yukawa interactions between the fermions and the Higgs field:
( 13.37)
where R u , R d, R II , Re are matrices in the family space, and H.c. means the hermitian
conjugated part.
A nontrivial point is that these family matrices can be non-diagonal . This leads to
mixing between different families. Such a mixing in the case of two quark families was
described by Cabibbo [ 6]; the mixing effect for three quark families was described by
Kobayashi and Maskawa [ 7 ].
The primes in Eqs.(13 .32}-(13.37} imply that these fermion fields are eigenstates of
electroweak gauge couplings (a weak basis). Each of the matrices R u , Rd, R II , Re can be
diagonalized by a biunitary transformation :
-1
Vu Ru Wu
= R- u, etc.,
(13.38)
where Vu and Wu are unitary matrices, and iiu stands for a diagonal matrix. This result
can be shown by applying the polar decomposition theorem staying that any matrix
J(
can be written as
J(
= HU,
(13.39)
where H is an hermitian matrix and U is a unitary matrix. Then, smce H can be

diagonalized by a unitary matrix V ,
we
V- 1 HV =
iI,
(13.40)
V - I {{w =
fr
(13.41 )
ob ta.i n th a I.
wil,i, W _ /I - I V .
Dynami cal Symmetry Breaking in Q1LIlILI1'''' Firld l'heorie8
378
The biunitary transformations (13.38) correspond to the transition to the mass

eigenstate basis:
V~
(13.42)
= VvVL, vk = WvVR,
e~ = VeeL, e~ = vVeeR,
where the fields without primes are mass eigenstates.

One can see that while these transformations do not change the form of the neutral
(electromagnetic and ZI') currents, they change the form of the charge SU L(2) currents:
Jil' =u~'l'd~ = uLVqll'dL,

Jt =v~'l'e~ = ihV/ll'eL,
(13.43)
- -(
+)t ,1[1'
- -= (JII'
+)t '
= Jql'
Jql'
where the matrices
(13.44)
VI = V)Ve
(13.45)
are called the Cabibbo - Kobayashi - Maskawa ( CKM ) matrices for quarks and leptons,
respectively.
We note that in the SM, among the eight transformation matrices in Eq.(13.42),
only the two matrices Vq and
VI are observable. This result follows from the fact that
the gauge part of the SM is invariant with respect to the following flavor symmetry
(13.46)
where n is a number of the fermion families. This symmetry implies that without loss
of generality, we can choose a weak basis in which all the W-matrices and one of V"' Vd
and one of Vv , Ve in Eq.(13.42) are equal to the identity matrix I. In this basis, Vq =
or Vq
= Vd ,
and VI
= V),
or
VI
= Ve.
v"t
In particular, if neutrinos are massless, th en,
without loss of generality, one can choose Ve
= Vv = I
which leads to
VI
= I.
Therefore
in the SM, the lepton mixing becomes physically meaningful only if neutrin os have finit e
masses.
379
We note that the flavor symmetry (13.46) is a generalization of the Glashow Illiopoulos - Maiani (GIM) symmetry originally introduced for the case n = 2 [ 8]. The
GIM flavor symmetry guarantees the absence of flavor-changing neutral current effects
in tree approximation in the SM (for more detail see the next section).
Let us describe the physical (observable) parameters in the CKM quark matrix V
(henceforth we will omit a subscript q in this matrix). In the general case, a n x n matrix
contains 2n 2 real parameters. The unitary condition
vtv
= J reduces the number of
parameters to n 2 . Of the remaining n 2 parameters, 2n - 1 are non-observable phases

which can be removed by redefining the phases of n U-quarks and (n - 1) D-quarks.
Therefore the total number of observable parameters is n 2 - (2n - 1) = (n - 1)2. Since
the number of independent rotations in an n dimensional space is no = !n(n - 1),
we find that among those (n - 1)2 parameters, there are no = !n(n - 1) angles and
n6 = !(n - l)(n - 2) phases. The phase parameters are responsible for CP violation.
Thus, at n
2, we find that no
1 and n6
0, i.e. there is no CP violation for
two quark families in the SM. At n = 3, the number of angles is no = 3 and the number
of phases is n6 = 1.
There are several parametrizations of the 3 x 3 CKM matrix [5]. For example, the
original parametrization of Kobayashi and Maskawa takes the following form [ 7 ]:
VUb)
Vcb
=
(C1
51 C2
vtb
where
Ci
= cos Bi
and
5i
= sin Bi
51 5 2
for i
C1C2C3 - 52 53e
C152C3
i6
( 13.47)
C2 5 3 ei6
1, 2,3. At present, the 90 % confidence limits
on the magnitude of the elements of V are [ 5 ]:
V =
(
III
0.9747 - 0.9759
0.218 - 0.224
0.218 - 0.224
0.9734 - 0.9752
0.030 - 0.058
0.003 - 0.019
0.029 - 0.058
0.9983 - 0.9996
0.001 - 0.007 )
.
(13.48)
llciu sion, we would like to point out th at important fact that, unlike QCD, the
('1(,cL row{'ak gaug th eo ry is a chiral ga uge t.h eo ry , i. e., in accord a nce with the definition
ill S('\.9 . 1, 1.11<' rN llli () lI s, <')( pr('ss('d ill
Ll'r"' ~
or Icrl.-handed fields, make up a complex
""I "('S(' III. ;rI.i<l 1l " rl.h (' SIIt,{'J.)xlly ( I). Illri('('ri , 11'1.
li S
look il t l.iI (' ' I';lhl e 13. 1. Now, instead
380
of right-handed fields
qk and ik, we have to use the left-handed fields qfi == (qk)C and
ifi == (lk)c. One can see that each family makes up a complex representation of the
Uy(l) (as is known, all representations of 5U(2) are real).
Among the important consequences, which this fact leads to, we would like to indicate just one connected with the condition of the absence of the anomaly connected with
the 5UL (2) x UR (I) fermion currents~) As was first shown by Bouchiat, Iliopoulos and
Meyer [ 9] and Gross and Jackiw [ 10 ], the ABJ anomaly spoils the renormalizability
of gauge theories. Since there is no anomaly in real representations of groups [ 11 ],
vector-like gauge theories, such as QCD, are automatically anomaly free. In the case of
a chiral gauge theory, one should take care in constructing anomaly-free representations
of the gauge group.
One can show that in the case of the 5UL(2) x Uy (l) gauge theory with fermions
being either doublets or singlets under 5UL(2), the condition of the absence of the
anomaly takes the following simple form [ 2,11]
Q=
(13.49)
Q=O
doublet.
By using the Table 13.1, one can easily check that this condition is fulfilled in each
fermion family of the SM.
13.4 .
FLAVOR-CHANGING NEUTRAL CURRENTS IN THE STANDARD MODEL
One of the most striking experimental fact in electroweak physics is a strong suppression of flavor-changing neutral current (FCNC) effects. For example, the decay
J{2 -+ Jl.+Jl.- is suppressed with respect to the "normal" weak decay J{+ -+ Jl.+vl' (con-
nected with charged weak currents) by a factor of 10- 8
J.
The SM yields a natural
explanation of this suppression based on the GIM mechanism (flavor symmetry). As

we noted in the previous section, the flavor symmetry (13.46) of the gauge interactions
guarantees that the neutral, electromagnetic and ZI" fermion currents are diagonal in
the family space in tree approximation. This leads to the absence of FCNC effects in
this approximation .
) This anomaly is an analogue of the ABJ anomaly connected with th ~ U5 (l) flavor c orre nt in
QCD considered in Chapter 12. The essential difference as compared to tl",t case is th a t now th e
anomaly is connected with gauge curren ts.
381
Actually, it is easy to see that FCNC effects would completely disappear in the SM if
quarks with the same electric charge were degenerate. Indeed, let us consider the unitary
gauge in which the Higgs field M = tih (w'" are "eaten" by W and Z). If quarks
with the same charge are degenerate, the lagrangian density
hj
(3.37) is invariant with
respect to the flavor symmetry
Let us assume that the CKM matrix V is V = Vu+Vd in a basis of mass eigenstates
u i and di . Then, we can choose another mass-eigenstate basis u = Vu+u,d =
which V
-+
vlJ,
in
I.
Therefore FCN C effects in the SM appear only because quarks from different families
have different masses. Let us illustrat.e this by considering t.he
In QCD, the SUv (3) wave functions of
J{G
and
kG
are:
J{G -
j{-G
J{G =
mixing.
Ids), kG
Isci)
(see Eq.(12.106)). They are degenerated in QCD. However, weak interactions lead to
mixing of these states which leads to a mass splitting: the states with definite CP
parity,
J{? =
[{ojfo, J{~
[{OXO,have different
masses (here we neglect small CP
violating effects). In the SM, the dominant contribution to this mixing is given by the
box diagrams shown in Fig.13.L
u,c,f
Fig. 13.1. The box diagrams leading to J(0_J(0 mixing.
These diagrams were first calculated by Gaillard and Lee [ 12] (see also the books
[2,3,4
D.
Neglecting the contribution of the t quark (which is small because of the very
weak mixing between the first and third families (see Eq.(13.48)), one finds the following
low Cll cr y cffcdiv lagrangian dcsc ril in g thi s proc
5:
(13 .50)
382
where
G2 =
2 (
--2G F
16w
m cur 'c -
'
2B
mcun, )2 Sill
c COS 2 Bc
(13.51 )
Here the Fermi constant G F is

(13.52)
and Bc is the Cabibbo angle ( sin Bc
0.22; Bc
-Bl in Eq.(13.47)).
The lagrangian density (13.50) leads to the following mass difference between I<P
and I<~ [ 2-4,12]:
(13.53)
A comparison with the experimental data yields mcur;c
1GeV.
We note that the situation with flavor-changing neutral currents (FCNCs) may be
essentially different beyond the SM. For example, in models with two Higgs fields,
(13.54)
there are five physical spinless particles (for a review of these models see the book [ 13 D.
Three of them are neutral (hD, JI o and AD), and two, JI, are charged. In this case
FCNCs may appear in the fermion-Higgs sector even in tree approximation. A way to
avoid the problem with FCNCs is to use the G1ashow - Weinberg (CW) scheme [ 14 ]
in which one Higgs doublet, say M" :::::: M 1 , couples only to up right-handed quarks, and
another, say Md :::::: M 2 , couples only to down right-handed quarks:
(13.55)
Since in this scheme the diagonalization of the mass matrices for quarks automatically
leads to a diagonal coupling of quarks to the neutral Higgs bosons, FCNCs are absent
here in tree approximation.
However, even in the CW scheme, there are additional sources of induced F CNCs
111
two-Higgs-doublet models as compared to the SM. For example, besides the box
diagrams in Fig .13.1, there are also the ones with W replaced by JI. This leads 1.0
some constraints for masses and coupling constants of H [ 15 ].
383
Although the GW scheme is not only way to suppress FCNCs in two - Higgs doublet models [ 16], it is apparently the most interesting and natural. We will return
to this scheme in Sec.15.6.
13.5 .
THE TECHNICOLOR SCENARIO
The Higgs sector of the SM is just the SU L(2) x SUR(2) x U v (l) linear a-model
(see Eq.(13.1)). In the case of the hadronic dynamics with two lightest quark flavors
(u and d), we know that the a-model is not a fundamental theory but a low energy
effective theory. The fundamental theory of the hadronic dynamics is QCD. The field
M" =
,fi(a + i 7r
C>
is a composite field:
(13.56)
where 'Ij; is a quark field (compare with Eq.(4.43)). Thus, spontaneous chiral symmetry breaking in the low energy effective theory (a-model) becomes dynamical chiral
symmetry breaking in the fundamental theory (QCD).
T he main idea of the technicolor scenario introduced by Weinber [ 17] and Susskind
[ 18] is to use a QCD-like dynamics for the description of electroweak symmetry breaking. In this scenario the Higgs field
M =
~(h + iwC>rC
(13.57)
is composite:
(13.58)
where F is a technifermion field. Technifermions F are new fermions participating in
a hypothetical QCD-like interaction called the technicolor interaction (TC). The decay
constant
FT C
of technipions are defined in the usual way
(13.59)
wh(' f(' Jf:"
<Ir('
I.(', hllifr fllli oll ;txi",1 (: IIfrrlll.s. Sill .. !'
;t
('Oill (' id I'H wil.h " ,', /I/,(N) x ,C,' /II/(N) x /l v ( I) lill";1I'
low en rgy effecf.ive th eory of TC

{J
1110<1 ('1 ,
WI'N C
N is
(t
number of
384
the technifermion flavors, it is evident that if technipions (at least some of them) are
assigned to nontrivial representations of the electroweak group 5UL (2) x Uy (l), then
W and Z acquire masses by "eating" some technipions. To be more concrete, let us
consider some examples.

The simplest TC model includes just one (colorless) 5UL(2)-doublet of techni fermions (the minimal TC model):
(13.60)
The hypercharge of F is (see Eq.13.30)

Y(F) = Q(F) - Tl(F).
(13.61)
The value of the electric charge Q(F) is determined from the condition (13.49) that
FL, FR make up an anomaly free representation of the 5UL(2) x Uv (1), From that
condition and Eq.(13.61) we find that
(13.62)
We assume that the doublet F is assigned to the fundamental representation of the
gauge technicolor group 5U(NTC). The chiral group is 5UL(2) x 5UR(2) x Uv(l) here,
and it is spontaneously broken to Uv(2)~) Therefore there is only one composite Higgs
field in the model, and its low energy effective theory coincides with the SM.
oo
In
particular, the decay constant FTC (13.59) is
FTC = v :::: 246Ge V.
(13.63)
This decay constant is more than three orders of magnitude larger than the decay
constant F = F" :::: 93MeV in QCD.
0) At NTC = 2, because representations of 5U(2) are real (strictly speaking. pse ud o- real), th e chira l
group is 5U(4), and it is spontaneously broken to 5P(4) [ 19]. He re, for siml)licily, we will
consider the case with NTC ;:: 3, although N TC = 2 may be also viabl e [ 20 ].
**) As in QCD , because of the ABJ anomaly, the chiral group he re is 5UL(2) x SUI1.(2) x Uv ( I ) and
not UL(2) x UR (2) The fourth pseudoscalar technim eso n, a T C a nal ogn of 1)', is h '"vy dill' I.
this anomaly (see Sec.1 2.12)
385
Although the low energy effective action of this model coincides with the SM, the
model predicts a lot of new particles, technihadrons, in the Te V region. The spectrum
of technihadrons should resemble the usual QCD spectrum rescaled by the factor
(13.64)
Here we have taken into account the fact that FTC ,....,
J NTC
and F" ,....,
ffc
(see
Eq.(12.126)).
Let us discuss the origin of the relation (13.17a),
p = Mlv/(M} cos 2 Bw) = 1 + O( a),
( 13.65)
in this TC model.
For this purpose, it is convenient to use an interpretation of the dynamical Higgs
mechanism introduced originally by Schwinger [ 21 ) and developed further by Migdal
and Polyakov, Jackiw and Johnson, and Cornwall and Norton [22). Let us first consider
the case with g[ = O. The W"'-boson propagator is:
(13.66)
where II(q2) is the polarization operator (for simplicity, we consider the Landau gauge):
( 13.67)
where JLI' are the chiral currents of technifermions (we are interested here just in this
piece of the SU(2) currents) . Because of spontaneous chiral symmetry breaking, there
is a contribution of the NG bosons IP; a ) to II(q2) which is (see Eq.(13.59)): 0)
(13.68)
Til I ole at q2 = 0 lead s to th e same mass Mw
)
'1'1,.. ("O ll " ( .. 11(
(n lll
t rill HIVI ' ttw lity fi r LIII'
= !If FTC
for three vector basons W"' .
( P" ol)() rti o ll ,d to fl,,,, ) ill 1 '~' I . (I : l.fiK) iH de termill ed fro m t he co ndition of th e
p p I Il,I,j'l.ll.t i tH I l (l 11 MO I'
";!{!(q).
386
Dynamical Symmetry Breaking in Quantu m Field Theories
We note that in the general case, the spontaneous breakdown of SUL(2) to I (the
trivial identity group) does not guarantee that the charged, W, and the neutral, W 3 ,
vector bosons have the same mass: the decay constant F,jc of the charged NG bosons
w may be in general different from the decay constant F~c of the w O However, the
present TC model (at 91 = 0) has a larger, SUL (2) x SUR (2), symmetry which breaks
spontaneously to the diagonal subgroup SUv(2). Since three NG bosons
WOi
are assigned
to the irreducible representation of the SUv (2), they have the same decay constant . At
91
=I- 0, the situation is slightly more complicated due to mixing between the W 3 and B.
Considering the polarization tensor in the neutral sector, we are led to the mass matrix
for the neutral gauge bosons:
(13.69)
T he eigenvalues of this matrix are

2
M-y
= 0,
Mz
1 2
2
Mlv '
= -4(91
+ 92)FTC = --2ecos w
(13.70)
Thus, we have got the relation (13.65) :
p=
Mlvl(MJcos 2 ew ) = 1 + O(a)
(13.71)
(we recall that a = :: ~ 9i). In the case of the absence of the isospin SU v (2) symmetry,
we would get
(13.72)
Thus this symmetry is crucial for providing the validity of the relation (13 .65). It is
called a custodial symmetry in the literature [ 23].
Since experimental data show that op = p - 1 is no more than a few tenth p erc ent
[ 24], they imply that the custodial SUv (2) is a good approximat e symmetry in na ture.
We also note that, unlike the SM, there is no unitary gauge ( in whi ch th e com posite
NG bosons are excluded) in models with dynamical gauge symmetry breakin g. In this
case, one has to prove that S matrix is unitary in a physical subs pace, wh ere th e NG
bosons are absent. This fact was proved in Re f.[ 22 J.
Introduction to Elec1roweak Symmetry Breaking
387
Let us now consider another TC model: the one family TC model [ 25]. In this
model, technifermions make up a standard family:
(13 .73)
(13.74)
where c = 1,2, 3 is a color index, and k = 1,2,, N TC is a technicolor index; we consider
the SU(NTc) technicolor group. Neglecting color and electroweak forces, we find that
the chira! group is SUL (8) x SUR (8) in this model. The technicolor interactions lead to
the spontaneous breakdown of this symmetry to SUv (8) . As a result, 63 massless NG
bosons appear. However, switching on color and electroweak interactions will lead to
masses for a part of these bosons ( these interactions act as electromagnetic interactions
giving a contribution to the masses of 1r). We will return to the problem of their
masses in the next section .
We will label the 63 NG bosons as II a
rv
iP>-'2 'Y5F, where
(13.75)
and
),0,
are the traceless SU(8) generators; & = 1,2, .. ,63. The NG bosons couple to
the axial currents Jtp. = P~" 'Yp.'Y5F:

(13.76)
The triplet of the NG bosons absorbed by the W and Z is given by the following
combination
(13 .77)
Since th e SU d2) electroweak currents
J " = p To 1+ 'Y5 p =2P ),a 1+'Y5 __
[",
2
2
2
2 F1 " _0,
w ll('/"('
).~.
wil.i, '"
fl'
iU" (,
1."1' ("O 'T" SPOlld;II IoI
(13.78)
.c.' (I (H) ," a,l.r;c<' H II{)(',n;tli~ ('(1 (as II sual) su ch
388
that tr
(y)
2 =
!, we find that
(13.79)
Comparing this equation with Eq.(13.68) in the one doublet TC model, we find that
the W mass is
(13.80)
in the present model. Therefore, the decay constant FTC in this model is
1
(13 .81 )
FTC = "2v :,; 123Ge V.
In fact, it is easy to show that the relation (13.80) is a manifestation of the following
general rule: if a TC model has r technifermion doublets creating NG bosons with the
same decay constant FTC, then FTC is
(13.82)
Indeed, the flavor matrices in the axial currents
Jf" =
Frfr'Y5F are rfr
== Ir
2 ,
where Ir
is the r x r identity matrix. These matrices are normalized as
(13.83)
Therefore if the decay constant FTC for the axial currents

=
Jf" = F
6'Y,,'Y5 F , tr (~6 Y)
)..2
!, is defined from Eq.(13.76), then

(13.84)
and we are led to the relation (13.81).

Since there are four doublets in the one family TC model, we recover the relation
(13.80) in this case.
So far we have not considered the mechanism of generating masses ro r quarks and
leptons in TC modes. We will discuss this problem in the next sedioll .
13.6.
389
EXTENDED TECHNICOLOR
Since there is a composite Higgs field M (x) (13.57) in all TC models, there is no
problem to write a SUL(2) x Uy(l) invariant lagrangian density leading to masses for
the ordinary fermions (quarks and leptons). It has exactly the same form as Lhi (13 .37)
in the SM. We now rewrite it in the following form:
(13.85)
Here the field
includes both quarks and leptons,
(~), and the composite
Higgs field M is
-1 -
Mrv V'f,(FF+r"Fr"'YsF).
(13 .86)
Thus , we have obtained the nonrenormalizable four-fermion interaction responsible

for generating the masses for quarks and leptons. The question is: can one write a
renormalizable interaction with respect to which this four-fermion interaction will play
the role of low energy effective model? One such an example is well known: the fourFermi weak interaction plays such a role with respect to the SUL(2) x Uy ( 1) electroweak
t heory. In that case, the gauge symmetry is spontaneously broken.
The same idea of a spontaneously broken gauge symmetry lays in the basis of the
ext ended technicolor (ETC) (or sideways) scenario [26] . It is assumed in this scenario
th at the t echnicolor group G TC is embedded in a larger gauge group, ETC group GETC,
in which fermions and technifermions are assigned to the same irreducible representation .
Then it is ass umed that, at some scale A ETC > FTC, G ETC spontaneously breaks down
to GTC T he vector bosons connected with the broken generators acquire masses of order
or I\wrc; some or th em medi at.e tra.n .. iti on rrom technifermions to ordinary fermions (see
l.' jg. I :1. 2a.) .
390
f~
a)
b)
Fig. 13.2. a) The basic transition from an ordinary fermion to a technifermion, mediated by
a heavy ETC gauge boson. b) Typical graph producing a mass for a quark or lepton. The
shaded blob represents the dynamical mass of the technifermion.
It is clear now that diagrams like that in Fig.13.2b lead to masses for fermions. Let
us discuss this point in more detail.
It is easy to write the contribution of such a diagram to the mass function Bj(q2)
of a fermion . In Landau gauge, it is (compare with Eq.(12.99:
(13.87)
where gETC is the ETC gauge coupling, BF(p2) is the dynamical mass function of
technifermions, and CETC is some group factor. Since TC is a QCD-like dynamics, we
can use the analysis of spontaneous chiral symmetry breaking in QCD (see Sec.12.3 ) to
describe the properties of the function BF(p2).
From that analysis, we know that at p2 ;S A}c, where
FTC{;E
A TC ~ - --AQCD
F..
NTC
(13 .88)
is the confinement scale in TC (see Eq .(13.64, BF(p2) is a smooth functi on of momen-
Introduction to Electrowed Slimmetrll Breaking
391
tum. At p2 ~ A}c , it rapidly decreases:
(13.89)
(compare with Eq.(12.28)), where em is a TC analogue the QCD factor
em
(see Eq.(12.18)).
Now we are ready to describe the form of the fermion mass function B I( q2). First, we
note that because of Eq.( 13.89), the integral in Eq.(13.87) is convergent: the contribution
of the region with p2 ~ A~TC to the integral is strongly suppressed. Therefore, at
q2 < A~TC one can use the following approximate equation (in Euclidean region):
(13.90)
In other words, in the region with q2 < A~TC' the ETC interaction reduces to a fourfermion interaction . In the present approximation, the fermion mass function B I is just
a constant in that region.
On the other hand, at q2 ~ A~TC' equation (13.87) reduces to the following asymptotic equation:
(13.91)
Therefore the fermion mass function B I( q2) rapidly, as
"fr, decreases in the ultraviolet
region with q2 ~ A~TC'

Thus, we conclude that in the ''low energy" region, with q2
<
A~TC' the ETC
interact ion can be, with a good accuracy, substituted by a four-fermion interaction .
T he latter has the following general ( SU c (3) x SUL (2) x Uy (l) invariant) form [26]
(13 .92)
392
with
LLR
= - ~fTC
ETC
N, {
L LL
[UiL'YI'U.~L + diL'Y1' DkL][rij,rUkR'YI'UiR + rt,J>kR'Yl'diR]
i,j=l r=l k=l
+ [DiL'YI'U kL + eiL'YI'Dh][rrj ,rUkR'YI'VjR + rfj,rDkR'Yl'e;R] + H.c.}.

2
LLL = -
~fTC
ETC
N, {
L LL
[UiL'YI'Uh
+ diL'YI'DkL][f'ij,rUh'YI'U;L + f'tj,rDkL'YAL]
i,j=l r=1 k=1
+ [DiL'YI'Uh + eiL'YI'DkL][f'rj,rUkL'YI'VjL + f'lj ,rDkL'Yl'eiL] + H .c.}.

(13.93)
and an analogous structure for L RR .
Here we consider three families of fermions,
and n (Nr-dimensional) irreducible representations of the TC group. The matrices
ru ,d,v ,e, f'u ,d,v,e are determined by ETC couplings and by the mass matrix of ETC vector bosons. Here we did not indicate explicitly the color indices. As to them, there are
two possibilities:
a) The ETC generators commute with the color generators (this may for example
happen in the case of the one family TC model) .
In this case the color indices of left-handed (right-handed) quarks are contracted
with the color indices of left-handed (right-handed) techniquarks;
b) The ETC generators do not commute with the color generators (this, for example, certainly takes place in the case of the one doublet TC model in which
technifermions are colorless) .
In this case the color indices of left-handed quarks are contracted with the color
indices of right-handed quarks.
It is useful to rewrite the expressions for LLR, LLL, and LRR
III
the following
schematic form:
( 11 .91j)
393
(13 .94a)
LRR
~ - [~fTC] JR"I"FRFR"I"fR
ETC
(13 .94b)
~ - [~fTC] JR"I" fR FR "I" FR,

ETC
(here we used the Fierz identities for the "I" matrices (see Sec.B.3 in Appendix B.)
These equations show that the LLR - interaction is responsible for fermion masses. In
particular Eq.(13.94) implies that
(13.95)
where the subscript AETC in the condensate (F F) indicates that it is calculated with
the cutoff AETC
A~TC
-NTC
~ --2-
(FF)AETC
471"
2
dp 2 BF(P)
-NTC 3 (
2
/ 2
~ - - 2 - ATC InAETC A TC
(13.96)
)C m
471"
(compare with Eqs.(12.23) and (12.27)). Taking into account the relation (13.88), one
can express the condensate (F F)
== (F F) AETC through the chiral condensate (gg) in
QeD:
F,3
(F F) ~ (gg) ; ;
,.
where (gg)
== (ggh
3 )
y:;-
TC
1/2
(13.97)
~ -(207 - 228)3 M e V 3 (see Eq.(12.112)).
From Eqs.(13.95) and (13 .97) , we find the following estimate for mj
mj
~ 10
gfTC
F,3
T;
A ETC F,..
gBTC FTC )
(
II /':7'C
3 )
__
N Tc
1/2
(gg)
(13.98)
2( 3 )1/2
-FT C .
N 7'C
11 11=
/l tI"T
~ 1I/"7'C
'
rOf
m J ~ IMeV a nd
394
mf'" 100GeV at NTe = 3. One gets
METe'" 3r-
3 4
/ (
~f )
1/2
v,
(13 .99)
and therefore
(13.100)
at mf '" IMeV, and

(13.101)
at m f '" 1OOGeV (t he notations M11~e and M13~e imply that m f '" 1MeV and m f '"
100GeV are relevant for the first family and the third family (the t quark), respectively) .
There estimates indicate a way how ETC can generate the complicated fermion mass
s pectrum realized in nature: the ETC group G ETe may break down to GTe through
a sequence of breakings connected with different scales A~~e (i = 1,2,3 is the family
index): a large hierarchy
A~~e > A~~e > A~~e will produce a large hierarchy between
fermion masses from different families .

We will however see that it is not so easy to implement this scenario in practice. We
will also see that there are other possibilities in the ETC model building (see Chapter
14 and Sec.15 .6) .
13 .7.
PROBLEMS IN THE
ETC MODEL BUILDING
Up to now, no very satisfactory ETC model has been found (see, however, the recent
papers [ 27 ] which will be briefly discussed below). In this section, we will discuss some
problems in the ETC model building.
a) Pseudo - NG Bosons in ETC
In the simplest (one doublet) TC model, there are no physical NG bosons: th e three
would-be NG bosons are absorbed by the W and Z vector bosons. However, this is not
a typical situation in TC: we recall that, for example, in th e one family model (wh en
all forces , except technicolor, are ignored), th ere are th e 63 NG bm;ons 'olln ected with
the spontaneously broken SUL(8) x SUn(8) chiral symmetry. Let us cOll sid r th em ill
more detail.
395
These 63 NG bosons are described by the composite fields
(13.102)
where Xi are the traceless SU(8) generators, and F is the technifermion field (see
Eq.(13.75)). It is convenient to choose a basis for the
).ir
materials in which the color,
SU(2) and charge quantum numbers are exhibited explicitly. Then the NG bosons can
be enumerated as follows [ 25 ]:
OK'" iQtJ(rOt'YsQ, ]{
= 1"
. ,,8; a
= 1,2,3,
Of( '" iQtf('YsQ, ]( = 1,,' ,,8,

Tt '" iQ/rOt'YsL, Tt '" iLrOt'YsQ/, I
= 1,2,3
T/ '" iQnsL, 1) '" iL'YsQ/,
(13.103)
p '" iQr'YsQ - 3iLr'YsL,

p3 '" iQr3'YsQ - 3iLr3'YsL,
pO '" iQ'YsQ - 3iL'YsL,
where tf( are the SUc (3) matrices and I is the color index of techniquarks.
It is easy to check that only the three NG bosons IT Ot couple to the axial currents
JSI" (and therefore to the SU(2) currents Jf,') ; they are absorbed by the W and Z
bosons. The others are physical part.icles which acquire non-zero masses through their
QCD, electroweak or ETC interactions. They are called pseudo-NG bosons (or pseudos).
The masses of pseudos can be estimated by the standard methods of current algebra
[25,28 ]. We will just list the final results (for a detailed analysis, see Ref.[ 25 J).
The particles OK, Of(are color octets, and the particles Tt, Tt, T/, T/, are color triplets.
They acquire masses of order lODGe V through their color interactions . p acquire
masses of order lOGe V through their electroweak interactions. The p3 and pO are
singlets of the SU c(3) x SU L (2) x Uy (l) and therefore they remain massless at this
s tage.
I II or<i N to gC II('I" a t c
Ill il.H5(,S
for th CIII , o lle has
1,0 IlliI.kc
l.iOli H,1111 0 11 /.\ i.pchllif(r llii oll s; thl'sr illl,!'mrtioli Hart'
fl
low
use of th e four-fermion interacc ll e r gy
image of spontaneously
396
broken ETC (or possibly other) gauge interactions among technifermions. Consider, for
example, the following interaction
2
LQL = 9fTC (QQLL - Q')'57"'QLr"'')'5L) .

A ETC
(13.104)
This interaction is SUc (3 ) x SUL(2) x Uy (l) x SU(NTc) invariant. However, it violates

separate techniquark and technilepton chiral symmetries. As a result, the interaction
leads to masses for pO and p3 and raises the masses of P. Considering the interaction
(13.104) to be perturbative, we can estimate these masses by using Dashen's formula
[ 28 ]:
M~. = F,! (OI[Q~, [Q~, 1lQL110),

where 1lQL
=-
LQL and
Q~ =
(13.105)
TC
d3 xJ50 (x) with J 50 being the time component of the
current corresponding to pa:

a
J 50
=
1 ( Q')'0')'5
a)
7 a Q - 3L')'0')'57
roo
L
(13.106)
v48
(see Eq.(13.103); the coefficient ~ ensures the correct normalization factor
t for
the
flavor matrices here).

Evaluating the commutators in Eq.(13.105), we get
(13.107)
In order to estimate this vacuum expectation value, we will use the vacuum saturation
approximation [ 12] :
(OIQQLLIO) = 3(0ILLLLI0) ~ 3((0 ILLI02
== 3(FF)2.
(13.108)
therefore M~. is
2 __1_ 9kTC ~ ( F-F)2

M pa
2
2
.
FTC A ETC 2
(13.109)
By using Eq.(13.95) for the fermion mass m J, this relation can be rewritten as
Mpa
METC
=a--mJ,
FTc
where METC = A ETC /9ETC and a is a coefficient of order one.
(13.110)
For the two examples, with mj

100GeV, Mifc
and M):J
,-v
,-v
,-v
1MeV and M1 fc
,-v
397
400TeV, and with mj
1TeV, considered in the previous section, we get M~lJ
,-v
,-v
3aGeV,
800aGeV , respectively. Thus Mpo , increases with decreasing METC.
This result can be easily understood: indeed, Eqs.(13.95), (13.96) imply that mj
,-v
A~c/ MiTC" Therefore

(13.111)
Since no light spinless particles have been seen in e+e - colliders, we need a rather
low M ETC , M ETC ;S 10TeV, to get reasonable values for Mpo (Mpo
2:
50GeV). Is it
possible? We will see below that it is not so easy to construct ETC models with such a
low M ETC .
b) Flavor-Changing Neutral Currents in ETC

In Sec.13.4, we discussed the flavor-changing neutral currents in the SM. Because
of the GIM mechanism (approximate flavor symmetry (13.46)), FCNCs are strongly
suppressed in the SM. What is the situation with FCNCs in ETC?
Still recently, there has been no ETC models with the GIM mechanism. However,
now there is such a class of ETC models [ 27,29,30]. We will discuss them later. Now
we will consider FCNCs in generic ETC models without the GIM mechanism.
First, let us consider the following question: why is it not possible to extend directly
the GIM mechanism from the SM to ETC? Let us recall that in the SM fermions from
different families couple to the same vector bosons, W, Z and ,. In other words, the
gauge interactions in the SM preserve the flavor symmetry (13.46) and it is broken by
fermion mass terms only. The situation in ETC is different. There is a lot of new vector
bosons connected with broken ETC symmetries. Since fermion masses are proportional
to the inverse square of the ETC gauge boson masses (see Eq.(13.95)), in generic ETC
models the hierarchy between fermion masses from different families is produced by
a hierarchy of ETC gauge boson masses. This yields an additional source violating
th e fla.vor symmetry, and now a unitary transformation from a weak to a mass basis
illtrodu ces FC NCs ullsuppressed by th e GIM mechanism.
'1'0 be Ill ore 'oll n cLe, 1 t u~ 'oll sid er MO - MO mixing (MO = KO, DO, or BO mesons)
III 1';'1'(; d<'Hcri hi II I!, by 1.11<' box di ;1.I!, r;I.IIIHH hoWIl ill Fi l4. I:l.3.
398
f, IT'L)
F
1,
- !;
1,
J;
Jj
Fig. 13 .3. The box diagrams leading to MO-Mo mixing. The wavy lines correspond to ETC
vector bosons .
From Eqs.(13.92)-(13.94), in the second order in g~TC' one finds the amplitude
leading to MO - Al mixing:
A = _
~X [gfTC] 2
2
ETC
(p~,p~1
d"xd 4 yT {f(xhaf(x)f(yhbf(y)F(xhaF(x)F(yhbF(y)} IP1P2),

(13.112)
where a, b = 5, P, VL, VR with "IS = 1, "IP = i"l5, "IVL = "11'(1 + "(5)/2, "IvR = "11'(1- "(5)/2.
The factor X includes Cabibbo-like mixing angles. Neglecting 5U c (3) x 5UL(2) x Uy(1)
interactions, the amplitude A can be rewritten as
(13.113)
where
(13.114)
and u(u), v(v) are spinor functions of outgoing (incoming) quarks and antiquarks, respectively (see Eq.(1.31)).
The crucial point for FCNCs is that the Green's function
~ab
operators F"IaF is quadratically divergent in a free field theory.
of the composite
This implies th at
~ab ~ A1TC in ETC and therefore the amplituded A (13.113) is A ~ 1/A~TC (and
not A ~ I/A~TC), which is the well-known result for the box diagram in perturbation
theory. One can show [ 31
1that
TC interactions do not change essentially this result
(they only introduce some additional logarithmic factors in ~ab).
399
In the SM, because of the flavor symmetry (13.46), the leading quadratically divergent contributions in the box diagrams in Fig.(13.4) cancel. However, in ETC models
with non-degenerate ETC gauge bosons, such contributions in FCNCs do not cancel,
thus leading to a new source for FCNCs .
The known experimental data for FCNCs processes give lower bounds for the mass
scales M~~e
= A.~~e/g~~e
mixing angle
e ~ ec ~ 0.2,
(i
= 1,2, 3 is
the family index). With the Cabibbo-type
the data relating to fermions in the first two families lead
to the bound M1 fe, M1~e ~ 300Te V [ 32]. This bound leads to the following two
1
problems : 1) as we showed in the previous section, with METe ~ 300TeV, one can
get fermion masses mf ;S O(lMeV) only, so that mcur;. and mcur;c are too small in
these models; 2) as follows from our discussion concerning pseudo-NG bosons, such high
METe and small mf lead to light pO, p 3, Pwhich has been excluded by experiment.
We will consider how one can cure this "disease" of generic ETC models (without
the GIM mechanism) in Chapter 14. Now we will briefly discuss the new ETC models
with the GIM mechanism [27,29,30]. The program of constructing TC models with the
GIM (techni-GIM) mechanism was initiated by DiIT\opoulos, Georgi and Raby (DGR)
[29]. The crucial point in this program is the following. As was already pointed out
above, in order to implement the techni-GIM mechanism, the ETC gauge bosons have to
be nearly degenerate in mass. On the other hand, this leads to difficulties with getting
a non-degenerate fermion mass spectrum. To avoid this problem, DGR suggested to
consider different ETC groups for left-handed fermions and technifermions and for righthanded fermions and technifermions: G~fe'
Gr.g;b, G~"2. The ETC gauge bosons are
approximately degenerate, however, the mass mixing between left- and right-handed
gauge bosons is different for different families . In a sense, one can say that the fermion
mass degeneracy is removed here not by different M~~e but by different (effective)
coupling constants g~~e in Eq.(13.95) .
This idea was realized in concrete models ("moose models" ) by Chivukula, Georgi
and Randall [30]. The payment for the realization is introducing a lot of new fermions
(which are neither ordinary fermions nor technifermions) in the models . Although the
moose models are rather complicated , and th ere are open questions concerning their
nonperturba tive lynamics, th e fac t th at th e concrete ETC models with the techni-GIM
m ec halii sill h a.v(' hr(, 11 cO ll st.ru cted is Il o t.i c('a.hl<-.
It. is ('s l "'( i a" 'y lI o l.in"J,k 1.10,,1. VI 'I''y n '( "IIII 'y, 1l ;'lId ,dl 1I.nd
:ro rgi [ 27 ] h;we con-
400
structed an ETC model with the minimal TC model including only one doublet of
technifermions (see Sec.13 .5) . In the model, all of the three ETC group,
df4e, G~;~,
and G}f/J are isomorphic to SU(12+NT d (the (12+NT d states include three families
of quarks and leptons and one TC doublet) . As we will see in Sec.13.9, the choice of
the minimal TC is important to satisfy the restrictions connected with the radiative
corrections to electroweak interactions.
13.8.
THE ApPELQUIST-CARAZZONE DECOUPLING THEOREM.
TECT THE ELECTROWEAK SYMMETRY BREAKING MECHANISM IN
CAN ONE DE-
Low
ENERGY
EXPERIMENTS?
At present, all the existing experimental facilities cannot reach the energy threshold
of order ITe V, where the secrets of electroweak symmetry breaking mechanism should
manifest themselves. The question is: can one get an information about this mechanism
in low energy (with E
ITeV) experiments? Or, in more theoretical terms, does the
high energy physics exert a strong influence on the low energy physics? In the present
section, we will discuss this problem.
In Sec.ll.2, we considered the effect of nonrenormalizable (irrelevant) interactions
on the low energy dynamics. The main conclusion was that the effect of an irrelevant
interaction of dimension n + 4, with n
> 0, is suppressed by the factor (~) n in the low
energy dynamics where E is the characteristic low energy scale and A is the ultraviolet
cutoff.
As we indicated in that section, one can expect that nonrenormalizable interactions
come from some more fundamental interaction connected with the scale A. A particularly interesting and important case is that one when the fundamental interaction is
described by a renormalizable theory including heavy (M '" A) and light (m ~ A)
particles. Then, integrating out heavy fields, one obtains a non-local effective theory
describing the dynamics of the light particles. Expanding this effective theory in a series
in powers of the derivatives of the light fields, we obtain a tower of nonrenormalizable
(irrelevant) interactions .
This is however not the whole story.
The structure of the low energy effective
lagrangian arising after integrating out heavy fields is described by th e A ppelqui tCarazzone (AC) decoupling theorem [33]' The original version of the AC th eorem describes the foll owing situation . Let us start from a renormali za ble throry including bot h
401
light and heavy particles. Let us also assume that the theory which is obtained from the
initial one by just omitting from the lagrangian the terms including heavy fields is also
interacting and renormalizable. Then the AC theorem states that the heavy particles
decouple at low energies except for their contribution to renormalization effects (i.e. to
the counter terms) and for a contribution suppressed by power factors (~r n > O.
We stress that the heavy particles do not introduce counter terms of a new form; all of
them are of the same type as those already present in the lagrangian without the heavy
fields . As a result, the heavy particles are almost (up to small effects of order (~r
unobservable in the low energy physics.

In order to illustrate the theorem, let us consider QED with one light and one heavy
fermions. Their masses are m and M, respectively. For simplicity, we assume that they
have the same electric charge.
Let us consider now the photon propagator (we use the Landau gauge)
DI'Aq) =
(gl'V - q~;v)
q2 _ 9(;)2II(q2)
(13.115)
where g(O) is the bare coupling and I1(q2) is the polarization operator. By using the
Pauli-Villars regularization, we find that in the one-loop approximation, I1(q2) is [34]:
The function II'(q2), J.l. = m or M, is:
(13.117)
We need to know that
(13. 118)
T he refore at m 2
W('
CfLII
: q2 : M2,
we get :
H('e til ;,t. tlt (, iI (';w y fcr ' lIi clII COIlt.rihllt.c's t.o t.lre diverge nt part of I1(q2), however,
it.Hr ' ,IIt.. iIJllt.i ll .1 I.n t.IH' l'i(("j' of 11(1/2) d" I\(' IIc1ill l'( 1l1I ,, 2 iNHllpPf('>lHrd hy t.lre rac t.or ,,2 IM 2.
402
It is instructive to introduce the following observable (through which some ampli-
tudes are expressed):

(13.120)
Then
(13.121)
where
(13.122)
Here we use the conventional (Dyson) renormalization scheme in which the renormalized
coupling constant gren is defined from the condition that lim q-2IIren(q2)
q'J-+O
= 0 [ 34 ].
The expression (13.121) shows that, as a result of the renormalization, the trace of
the heavy particle disappears (up to a small correction
rv
q2 / M2 ) from the low energy
dynamics.
This example clearly illustrates the essence of the decoupling theorem. Heavy particles contribute to the counter terms of a renormalizable low energy effective theory
and, additionally, they lead to a tower of nonrenormalizable (irrelevant) interactions.
As we know from the discussion in Sec.11.2, the only effect of these irrelevant operators
in higher orders of perturbation theory is agiUn their contribution to the counter terms.
Let us consider the same example by using the dimensional regularization and the
MS renormalization scheme (see Appendix C) . Now 1/g 2(q2) is
(13.123)
where
g(O)
is the bare coupling,
constant and
(T
is the renormalization scale, 'Y :::::: 0.577 is th c Eulcr
4:t. Since the observable g2(q2) is independent or
(T,
th e barr ro uplirr g
403
g(OJ(a) depends on a. In the MS scheme, the renormalized coupling g(a) is:

1-1- = - -
g2(a) - g(OJ'(a)
1 (1- + -671"2
c
l' + In 471" )
'
(13.124)
and therefore
(13.125)
It looks now as if the observable g2(q2) logarithmically depends on the heavy mass M.
We note however that, as in the Dyson renormalization scheme, the heavy mass M does
not contribute (up to small terms ~ q2/M2) to the piece of g-2(q2) depending on q2 .
Let us, following Ref.[ 35 ], introduce a new renormalizable constant:
"-2
(a)
{g-2(a)
21M'
g- (a) - ~In qr
at Iq21 ~ M2
at Iq2 1< M.
(13.126)
In other words, now we use different renormalization prescriptions at Iq21 ~ M2 and at
Iq21 < M2: at high momenta, this is just the standard M S scheme, but at low momenta,
the coupling g( a) is modified. As a result, there is no trace of the heavy particle in low
energy effective theory.
This approach is called a continuum effective field theory in the literature (for a
recent review see Ref.[ 36 D. In this approach, the effective theory is switching from one
form to another when it is crossing particle thresholds, Iq2 1= Ml- The important part
of the continuum effective field theory approach is the so called matching condition.
The matching condition provides that more fundamental theories (defined at thresholds
Iq2 1= Ml
with M? > Mi~) and the effective theory defined at the threshold Iq21
lead to th e sa.me results in th e region with Iq21
::
= Mi~'
Mi~ ' In our simple example, the
rn <ttchin g olldition is just Eq.(J3.J26). It is evident that it provides such an equivalence.

So ra. r,
W('
hav(' disclIssrd th e decoll plin g theorem in theories without spontaneous
s'ylIllIl('tr.y i>r<'a ki 11 11,. We wi ll Hhow hrl ow tha.t the sitllid.ioll with th e decoupling of heavy
plllticl,rj 11I ,''y I... I ,d,h,'r lI ontrivial wl\('11 spolll fllll'O Il S sylllll1 r tr'y iJrrilkin g occ urs .
404
Let us begin by returning to the problem of the nonlinear limit in the SUL(2) x
SUR(2) linear a-model considered in Sec.S.2. In this limit, the mass of a, p,,,, goes
to infinity with the vacuum expectation value v = (OlaIO) being fixed (see Eq.(S.21)).
It is clear that the dynamics of the light particles, including the NG bosons
7r
only,
cannot be described by a renormalizable interaction in this case: the nonlinear a-model

is nonrenormalizable. T hus, in this limit, we will get a tower of new divergences in the
low energy effective theory. The regularization cutoff A may be identified with the a
mass p,,,; thus, the low energy physics depends, without any suppression, on the heavy
mass p,,, (actually, it depends on p,,, logarithmically [ 37 J).
We also note that in this limit the a-coupling constant). = 3p,~/v goes to infinity.
Therefore the nondecoupling effect can be understood as a result of the strong interaction
between light and heavy particles .
As to the application of the AC theorem to this case, we notice the following . Removing the terms including the heavy a field from the lagrangian of the linear a-model,
we will get a free theory corresponding to the nonlinear a-model with the decay constant
- t 00 .
This point reflects the two general facts that 1) there is no renormalizable
chiral invatiant theory describing interactions of pions (without a) and that 2) the interaction in the nonlinear a-model is proportional to negative powers of F . In perturbation
theory, there are nondecoupling effects at p,,,
F in this case, however, as we will argue
below, the situation may be essentially different beyond pertubation theory.

Let us now discuss another example. We consider the SU(2) x SUR(2) linear a
model with a light fermion doublet '1j;. The Yukawa interaction for '1j; is:
(13.127)
w here the field M is
M = ~(a
+ i1r"r"),
a = 1,2, 3.
Let us now introduce an additional (heavy) fermion doublet '1j;' with the following Yukawa
interaction:
(1 3. 128)
When g3
=1=
0, this interaction breaks the SUd2) x SU R (2) to SU L (2) x U3 n.(I) (wi t h
the r 3 -generator for the U3R (1)). Now, at v = (OlaIO)
=1=
0, th e SUJ;( 2) x U:) /7( 2) brea.ks
spontaneously down to the U3V
==
U3(L+R) ' There are still three NG bosons,
and 11", however, now the decay constant FO of
11"0
11"0
405
=
11"3
can in principle be different from
the decay constant F of 11".

Let us study this effect when both Yukawa coupling constants, gl and g3, (and
== a
the light fermion doublet 1/1)
therefore the masses of the heavy fermions) go to infinity with v and the ratio g3/ gl
being fixed . In this model, the light particles (a and
11",
and
can be described by a renormalizable interaction. Since the Yukawa interaction (13.127)
of the light doublet
1/1 is SUL(2) x SUR(2) invariant, one might think that this interaction
should be the SU d2) x SU R(2) symmetric linear a-model. As we shall see this is not
case.
To show this, let us consider the parameter
(13.129)
characterizing the violation of the isospin SUv(2) symmetry in the model. The one-loop
contribution of a fermion doublet into
Ref.[ 39
D.
op was first
calculated by Veltman [ 38] (see also
It is:
op =
[_2__ 1- a 1+ a]
M~
1611" 2 v 2 1 + a
In
(13.130)
1- a '
where Mu is the mass of the up fermion, 1/1~ = ~1/1', and a = 93/91'

From the formal viewpoint, the fact that F
FO corresponds to the appearance
of a counter term of a new type in the low energy effective lagrangian. Indeed, without
the heavy doublet
1/1',
the theory, and therefore its counter terms, were invariant with
respect to SU v (2). The fact that F

different kinetic counter terms for
11"
and
F O may be interpreted as the appearance of

11"0.
Thus , the nondecoupling effect takes place in the model. Again, as in the previous
exa mple, we can attribute this effect to a strong coupling between light and heavy
particles (g[,g3
(0).
So fa r, we have considered these effects in the framework of perturbation theory.

Let us argue th a t th e situ a tion may actually be essentially different beyond it.
I II tlr
two cxa,llIpl es cOllsid ered al a ve we ass ullled t hat some of the masses generated
d y " ",rrli (' a.IJ ,Y
W ('I'('
i"fillil,r' (or itt 1(''11' 1. IIIII(' 1r la,rgN tlr ;tn th e
Vil C llllm
expectation value
II) . I" n '" lil,y, lr owI'v!' r, it limy 11 ;"ppI'" 1,Ir .rI, sIIdl .. ri Y"""li (',,1 [('gillle docs IIOt. exi st.
406
In Sec.11.3, we considered the O{N) nonlinear a-model and the model with fourfermion interaction in three dimensional space-time (D = 3). They correspond to the
strong coupling regime of the linear a-model and the Yukawa model, respectively. We
emphasize, however, that in this regime, the bare coupling constants, and not renormalized ones, go to infinity. We found that while in perturbation theory the <p-particle and
the a-particle in these models (see Eq.{11.32) and Eq.{1l.85)) acquire infinite masses,
the real situation is different: they reappear as bound states with finite masses in the
spectrum of the models, and their dynamics are governed by thenonperturbative infrared stable fixed points.
The essentially the same situation take place in these models at all D in the range
2 < D < 4 (see Sec.l1.5) . As to the linear a-model at D
= 4, the conventional viewpoint
is that the value of the infrared fixed point equals zero there (for recent reviews, see
Refs.[ 40,41]). More precisely, this means that the coupling constants ).(a) and g{a) ,
defining the interaction strength at the scale a, are
).(a),
(13.131)
(a) '" -I-/-,

nA a
even when the bare coupling constants ).(0) and g(O) go to infinity. Assuming that cutoff
A, playing here the role of the scale of a "new" physics, is at least few times larger
than the heaviest mass in the model, one finds that neither fermions nor bosons can
be essentially heavier than the decay constant F '" v. This in turn implies that the
renormalized ("physical") ). and g2 are at most of order one.
In fact, at D = 4, we know a "real" theory with a strong interaction in the infrared
region. This is of course QCD. We know that the decay constant F is F
and the dynamical quark mass
this case, the Yukawa coupling
mdyn
is
mdyn '"
9 = mdyn/ F
= F" ~ 93M eV
300M e V in QCD. Therefore, even in
is of order one (see Chapter 12) .
It is possible that the QCD-like dynamics yields a kind of the upper bound for the
coupling constant.s in the infrared region for all possible chiral dynamics at D = 4. This
will imply that at D = 4 dynamical masses can never be much larger than th e decay
constant.
From the practical viewpoint, this will imply that the contribution o f th e " heavy"
physics into the observables ofthe low energy dynamics is rather small (see Eq.{ 13. 130)).
However, as we will see in the next section, even such a small contributi OIl
;1.11
be
V('I"Y
Introduction to Electrowealc Symmetry Breaking
407
important in precision electroweak measurements . This topic, pioneered by Veltman

[ 38 ] (see also Refs.[ 39,42 ]), has become one of the central topics in electroweak
physics.
13.9 .
RADIATIVE CORRECTIONS TO ELE CTROWEAK INTERACTIONS AND TECH-
NICOLOR MODELS
As is well known, precision electromagnetic measurements played the crucial role in

establishing QED as the fundamental theory of electromagnetic interactions . Precision
electroweak measurements play the same role with respect to the SM and with respect
to all models modifying the SM (for a review see Ref.[ 24 ]).
Our goal here is to discuss only a small piece of this important topic: radiative
corrections to electroweak interactions in TC models. This subject has intensively developed since the appearance of the papers [ 43-46 ] in which the basic points of the
subject were established.
What we will consider is the influence of the TC dynamics, which plays here the role
of a high energy physics with the characteristic scale ATC '"
J~
Ep;-AQCD '" ITe V,
on the "low" energy electroweak physics with the scale q '" Mw, Mz '" 100GeV. The
ideal tool for this purpose is the dural effective lagrangian approach considered in the
framework of QCD in Sec.12.13: since the dynamics in the TC models which we are
studying in this chapter is intimately connected with the QCD dynamics, this approach
can be directly applied to them. Such an analysis was first done in the works of Golden
and Randall [ 44] and Holdom and Terning [ 45 ], and since these works, this approach
has b een considered in numerous papers [ 47].
We begin by considering the basic points of the problem.
The low energy electroweak physics is described by the following effective currentCUI"[ent lag rangia n foll owing from th e SUL(2) x Uy(l) model in tree approximation:
(13.132)
408
fermion currents are:

(13.133)
(13.134)
(13.135)
(13.136)
where i is the family index and, as usual, the primes denote a weak basis. Thus, there
are the following current-current interactions:
( 13.137)
(neutral currents),
+
Mee = - 4GF
- - ] ]-"
,j2"
(13.138)
(charged currents). These interactions in the 8M (in tree approximation) look as
(13.139)
(13.140)
The problem is to find the radiative corrections to these inte ractions. These co rrections are of three types: vertex corrections, box diagrams and vacuum polarizations.
It is important. that among them, the vacuum polarizati o n correct io ns domin a. te [ -111 .
They are called the oblique cor rect io ns in th e litera tur e.
Introduction to Electrowealc Symmetry Brealcing
409
To describe them, let us introduce the vacuum polarization tensor II~y, where
X,Y = 1,2 , 3, Q:,
rr~y(q) =gi'vIIxy(q2)
=i
+ qi'q~terms
(13.141)
fxeiqx(O IT J~(x)Jy(O)IO).
We emphasize that the currents J~ are different from the currents in Eqs.(13 .133)(13.136) : they include both fermion and techniferrnion fields.
The qi'qV terms give a small contribution to processes including light ferrnions (they
lead to corrections of order
'!!f
which are very small). Then, the relevant part of the
vector boson propagators take the following form :
(13.142)
(13.143)
where A, B = 'Y , Z and
(13.144)
(13.145)
Now it is easy to derive from Eqs . (13.142)-(13.145) the expressions for the interactions
MNc and M c c including the oblique corrections:
(13.146)
{13.147)
(here t.h e (l.rnplitucic MN c ill cl ud e~
(\150
th e elec t w magneti c interaction). The further
i\.II ,dys is of this ('xprrss iolls 'tll 1)(' rOlllid ill n('kr
~ :I, ~ R ] .
Por our pllrpose, it is sufficient
to kll nw till ' rnll ()w illf,; rads. As w;'" Hhnwil hy I'PH kili alld Tak(' lI chi
[~ :I] ,
th ere a re three
410
parameters, S, T and U, in terms of which all the radiative corrections to low energy
(q
.:s M z,
Mw) electroweak interactions can be described. These parameters are defined
in the following way. Let us divide the functions
nXY
into two parts:
(13.148)
where the term
ni,\,! is connected with the contribution in the SM and the second term
n Xy (q2) is connected with a new physics (TC in the present case). Since the term ni~
depends on still unknown masses of the t quark and Higgs boson, we must somehow
choose these parameters. The reasonable values are mf = 150GeV and Mh = 1TeV:
mf '" 150GeV is preferred by experimental data, and Mh
= 1TeV
is natural in the
case of the TC dynamics, in which the Higgs boson is just one of technihadrons, and
the scale 1TeV is a characteristic scale of technihadron masses.
The next step is to expand the n~ey(q2) in a series in powers of momentum:
nQ
eQ'(q2) =q 2n'QeQ' (0)
+ " ',
n~Qw(q2) =q2n'~QW(0) +"',
n~;w(q2) =n~;W(O) + In'~;w(O) + .. . ,
n~{w(q2) =n~{W(O) + q2n'~~W(0) + . . '.
(13.149)
Here we took into account the fact that because of the Ward-Takahashi identities for
the electromagnetic current, nQQ(O)
= n3Q(0) = O.
The important point is that while
the characteristic TC scale is ATe'" 1TeV, we are interested in momenta q '" 100GeV,
near the mass shell of the Wand Z. Therefore all other terms in the series (13.149) are
suppressed by the factor
-t- '" 10TG
The Peskin-Takeuchi parameters S, T and U are
defined as
as =4e 2 [n'~;w(O) - n'~Qw(O)] = _4e2n'~~W(0),
(13.150)
aT =~ [n~fW(O) - n~;W(O)l,
s c Mz
aU =4e 2 [n'~~W (0) - n'~;w (0)].
(13.151)
(13 .152)
Thus the current-current interactions (13.146), (13.147) can be parametri zed in th e

terms of these three parameters.
411
Let us discuss the physical meaning of these parameters.

We begin by considering the parameter T. Eqs.(13.146), (13.147) imply that
(13.153)
(13.154)
(we neglected the term q/II.:;~2
in M Z2 : as follows from Eq.(13.144) it is suppressed
-e QQ
by the factor a with respect to other terms in Eq.(13.153)).
These relations and
Eqs.(13 .149), (13.151) imply that

aT = Mlv/Mic
Thus, this parameter, being equivalent to
1 = P - 1 ==
op.
(13.155)
op, describes the violation of the isospin
symmetry due to a new physics (see the discussion below Eq.( 13.65)) .
Let us now consider the parameter S. Since the function Ihy is expressed through
the Green's function (13.141) of the currents hand J y relating to the different gauge
groups, SUL (2) and Uy (l), it would be equal zero if the SUL (2) x U y (1) was not spontaneously broken. Therefore, S is a measure of the electroweak condensate connected
with a new physics.
Like T, the parameter U describes the isospin violation. Usually, it is small:
Let us estimate these parameters in TC models. We begin by considering the case of

TC models with the custodial SUv (2) symmetry (see Sec.13.5) . In this case the isospin
is a good quantum number in TC, and therefore the T and U parameters equal zero. In
o rder to calculate S, we will use the chiral effective lagrangian
(13.157)
412
F = v
246Ge V, and the chiral field

~ =
is
VCiexp(zwOirOi Iv),
0'
(13.158)
= 1,2,3,
where WOi are the would-be NG basons absorbed by the W and Z. Besides possible
light pseudo-NG bosons, there are no other light technihadrons, with masses of order
100GeV (or lighter) in Te. We will take into account the contribution from the pseudos
somewhat later.
Now we will treat the gauge fields ALp and ARp in Eq.(12.229) as the gauge fields
connected with the electroweak group SUL(2) x Uy(l):
(13.159)
(13.160)
(13.161)
(we recall that under the SUL (2) x Uy(l), ~ transforms as ~
for
---->
L~R+ and that Y =
!f
~).
The 5 parameters (13.150) is expressed through the polarization operator 11 3y It is

clear that the term in ~~f (12.230) which contributes to 11 3 y is the following one:
(13.162)
with
ff Pv = :'(8 PB V
R
8v BI') ~
ffv = _ :'(8I'WV _ 8 vWP

S
where W I' == W; T2
Q.
(13.163)
2'
+ i:' [WP, WV)),
(13.164)
Its contribution to 11 3y is
(13.165)
Here we indicated that LIO relates to th e scale a = M z .
Introduction to Electrowealc Symmetry Brealcing
413
Therefore Sis:
e
/new
(13.166)
S = -4-II 3Y (0) = -167rLlO(Mz).

a
Let us now estimate L lO (Mz) in the TC models with a QCD-like dynamics. The
value of L 10 in QCD, estimated in the framework of the EN JL model, was
(13.167)
(see Eq.(12.232)). This value relates to the scale Ax '"
2mdyn'
In TC models with the
technicolor group SU(Nrc) and with N D technifermion doublets, this estimate looks
as
(13.168)
The value LlO(Mz) at the scale a = Mz is
(13.169)
where, due to the standard rules of the effective field theory approach (see Sec.11.2),
~L10
is the contribution connected with the light technihadron loops in the region
M1 :s q2 :s A~, i.e.
~LlO is the contribution of pseudo-NG bosons.
Let us apply these relations to concrete TC models.

There are no pseudo-NG bosons in the minimal TC model with one doublet of
technifermions . Therefore, in this model S is
(13.170)
The situ ation in the one family TC is quite different: there are 60 pseudos (see
Eq. (13. 103)) a nd four technifermion doublets. Therefore , in this case, S is
(13.171)
'l'h!' 'olltril ll li,iOIl
or th ,' (iO
PH!' lId ()~
('I ('olnl Hill l4ld , :12 color odd, a.nd 24 color triplet)
414
is [ 45,49 ):
~L!O ~ -
(11 + 8fs + 6h) ,
(13.172)
where
1
J; = 967r2In(Ax/Max(Mpi ' Mz ))
(13.173)
(Mpi are masses of the pseudos). Basically each charged pair contributes one unit of
the appropriate
It is important that ~LlO has the same sign as ~LlO(Ax)'
Assuming "reasonable" values for the masses of the pseudos (M p1 < M z , M Pa

250GeV, Mp3
'"
150GeV) and taking Ax '" 1TeV, Holdom and Terning got [ 45)
~LlO ~
-0.017.
5", 0.2NTC
+ 0.9 >
(13.174)
Therefore the parameter 5 is

1.3
(13.175)
(the minimal N TC is N TC = 2 ).
Peskin and Takeuchi, using another approach , based on a dispersion relation for 5,
found the following genelar relation [ 43):
O.lNTCNTD
(13.176)
which yields
O.4NTC
> 0.8
(13.177)
for the one family model.

Now what about the present experimental data concerning 5? This parameter
can be extracted from the forward-backward asymmetries of fermions [ 43). The lates t
results yield [ 24 )
5 < -0.23 (-0.13)
(.13 .178)
at the 90 (95) % confidence level. These results certain ly "kill" th e on ranlily T . model
(which has been already killed by th e probl ems with FCNCs I). Even the mini"l".1 TC
415
model, with
5> O. INTC > 0.2,
(13.179)
seems to be in trouble. Thus we conclude that the experimental data imply that dynamical electroweak symmetry breaking may be realized only in models which are apparently
different from QCD-like TC models. We will consider such models in Chapters 14 and
15.
In conclusion, we will discuss the T parameter describing the isospin violation. To
illustrate the situation, we will just indicate the contribution of a fermion doublet
to T =
apia in the one-loop approximation.
Veltman [ 38] (see also Ref. [ 39
D.
(~)
This contribution was first calculated by
His result is (compare with Eq.{13.130)) :
(13.180)
The upper bound on this quantity is [ 24] : T < 0.2(0 .3) at the 90 (95)% confidence
level. This implies that the custodial SU v (2) is a good approximate symmetry in nature.
We also note that in order to describe the isospin violation in the chiral effective
lagrangian, one should introduce the term
(13.181)
in
.c~jf (there are of course also terms with higher powers of the derivatives violating
the isospin symmetry in
.ceff) '
The present discussion shows that precision electroweak measurements yield rather
severe res trictions for the model building in electroweak symmetry breaking. In the next
two chapters , we will discuss recent developments in dynamical electroweak symmetry
breaking.
Chapter 14
New Technicolor Scenarios

14.l. INTRODUCTION
In Sec.l3.7, we discussed problems in the ETC model building connected with
FCNCs and with pseudo-NG bosons. The essence of these problems is in the following
three relations:
mf
'" _ g1TC
11. 2
(F F)
ETC
= _ (F FhETC
AETC -
M2
ETC
(14.1)
'
A~TC
dP 2 BF (2)
P
TC 3
'" - -N2 - ATC
411"
(I nA 2ETC / A TC
2 )C m
(14.2)
(14.3)
(see Eqs.{13 .95), (13.96) and (13.110). FCNCs lead to the bound METC ;:: 300TeV for
ferruions in the first two faruilies. This, together with Eqs.{14.1) - (14 .3), implies that
m f are at most of O(IM eV) and Mpa are at most of O(IGe V). Thus, the ETC models
lead to too light quarks and to too light pseudo-NG bosons (already experimentally
excluded).
Is there a possibility to change the relations (14.1) - (14.3), or, at least, some of
them? The relations (14.1), (14.3) follow from rather general principles, and it is very
difficult to change them. The relation (14.2) is based on the asymptotic formula (13.89)
for the techniferruion mass function,
(14.4)
which is valid in gauge theories with a QCD-like dyna.mi cs. Act II ally,
in Sec.12.3, Eq.(14.4) follows from th e fa.ct that in
the dynaruical dimension d"'VJ of th e openl,tor
<11(\
il.~Y ll1pt o ti c a. lly
,IS
wa"l showli
fr re gilli ge th eo ri es,
I/)IP is close to its ca.n olli c".!
( e ll gi ll ('(~ rill g )
417
dimension de = 3.*) Indeed, by definition,

(14.5)
d{!,p = de - "1m = 3 - "1m ,
where the anomalous dimension "1m of {njJ is small near the ultraviolet fixed point g =
ge = 0 which governs the ultraviolet behavior of Green's functions in QCD-like dynamics.
Actually, "1m is
(14.6)
where b is the first coefficient of the technicolor
f3 function (compare with Eq.(12.42)).
If "1m were rather large, the relation (14.4) would be different. By applying the
analysis based on the operator product expansion (OPE), considered in Sec.12.3, to this
case, we find:
(14.7)
(up to some logarithmic correction) . Substituting this expression for BF in the relation
for the condensate, we get:
(FF)AETC
N TC
~ ---2
(14.8)
47r
Now Eqs.(14.1) and (14.3) lead to the following relations for mj and M p .:
(14.9)
(14.10)
where mjbm) , Mp.bm) and mj , Mp. relate to TC with "1m
i- 0 and to TC with 1m = 0
(QCD-like dyn amics), respectively. Since A ETC ~ 300TeV is much larger than the TC
sca.lc ATe'" IT eV, both fermi on and pseudo-NG boson masses are now enhanced.
Thu s,
it
large i;tllo maloll. dimen. i
*) Fo r' H. d(' tll.il('d

II .
di ~c' II NS i o ll
II
"1m may solve th ese two problems in ETC!
f lh () noti on of I,lli' d YII H,llIj jll.l dilll(!lI sio lt of Lh e o perato rs, see Chapter
418
The idea of enhancing the fermion and pseudo-NG boson masses by using a TC
dynamics with a large anomalous dimension 'I'm was introduced by Holdom [ 1, 2 ].
However , the model building in this direction had not been realized until a simple toy
model with a large anomalous dimension appeared in the literature: Bardeen, Leung
and Love, and the present author [ 3, 4 ] interpreted the critical coupling constant
(Xc
= 7r/3 in the rainbow (ladder) QED as an ultraviolet fixed point at which the
composite operator {;'IjJ has a large anomalous dimension 'I'm = 1. To understand this,
let us look at the expression for the fermion mass function Bdyn(p2) in this model (see
Eqs.(10.16) , (10.17)) . We see that
(14.11)
at
(X
(Xc
= 7r/3.
Comparing this equation with Eq.(14.7), we find that 'I'm
= 1 in
this
case.
This interpretation was originally suggested without any connection with TC models. The first who recognized that this model can be relevant for TC were Yam awaki ,
Bando and Matumoto [ 5 ], and Akiba and Yanagida [ 6 ] who used the model in a
scenario with non-asymptotically free TC.
These works also paved the way for the TC models known as walking TC (WTC) in
the literature. WTC was introduced by Appelquist, Karabali and Wijewardhana [ 7, 8]
(for earlier ideas, see Ref.[ 2 D. Although WTC is based on asymptotically free models,
its dynamics is essentially different from that of QCD: in a sense, there is an effective
nontrivial fixed point which leads to a large effective 'I'm '" 1 (for a more detail, see
Sec.14.3).
The next step was done by Appelquist, Einhorn, Takeuchi and Wijewardhana [ 9],
and Miransky and Yamawaki [ 10 ] (see also Ref.[ 11
D who introduced a class of ETC
models now known as strong ETC (SETC). Unlike previous TC scenarios, where ETC
interactions were treated as perturbative, SETC contains ETC interactions with a strong
coupling g1TC.
This development inevitably led to a nonperturbative treatment of th e whole ETC
dynamics. This in turn revealed some new physical effects which are interesting in
themselves. Here we would like to indicate one of them: nondecouplin g of the high
energy physics from the low energy one in the near-critical dynamical regi me with la rge
anomalous dimensions. The importance of this effect for th e description of sy mmet ry
New Technicolor Scenario&
419
breaking in the TC model building was first pointed out by Kogut, Dagotto and Kocic
[ 12] and Chivukula [ 13].
In the description of such a nonperturbative dynamics, the theory of critical phenomena is extremely useful . As was shown in Chapter 11, the problem is equivalent to
the description of the dynamics of the second order phase transition in some statistical
models . At present, the techniques available for its study are very limited . One such
approach which offers a great deal of promise involves lattice computer simulations.
The studies of the dynamics in lattice models relevant for WTC and SETC have been
realized by various groups [ 14 - 19 ].
In the present chapter, we will discuss these, rather recent, developments in TC .
14.2. THE GAUGED NAMBU-JONA-LASINIO MODEL AS A BASIC MODEL FOR NEW
DYNAMICAL ELECTROWEAK SYMMETRY BREAKING SCENARIOS
In this section, we will describe the gauged N JL model [ 4 ] which provides a basic
example for different scenarios of dynamical electroweak symmetry breaking.
The gauged N JL model is described by the following lagrangian density:
(14.12)
where the gauge interaction (DI-' = 81-'
+ igAI-')
is treated in the ladder (rainbow) ap-
proximation and the four-fermion interactions are treated in the mean-field theory approximation (see Chapter 6). Since our main purpose here is just to illustrate the main
features of this dynamics, we, for simplicity, will consider chiral U(1) x UR(1) symmetry
and a gauge U(l) symmetry (the extension to non-Abelian case will be discussed at the
end of this section).
In this approximation, the Schwinger-Dyson (SD) equation for the fermion propagator
(14.13)
e M!
be derived in th e same way as it was derived in the NJL model and QED (see
Sec.8A). Til Land au gauge, we ge t :
(1'1 . 14)
420
Dynamical Symmetry Breaking in Quan tum Field Theories
(14 .15)
(compare wi th Eqs.(8.54), (8.55) and Eqs.(8 .62), (8.63)) . Here

a =
K,
==
C(O)A 2 /47r 2 and
fir; the equations are written in Euclidean region.

2
It is easy t o check that the solutions to this equation satisfy the differential equation
(14 .16)
and two boundary conditions:
(14.17)
(14.18)
Eqs.{14.16) and (14.17) coincide with Eqs.(10 .9) and (10.10) in QED. The four-fermion
coupling
K,
appears in the ultraviolet boundary condition (14.18) only (compare with
Eq.(10 .11)) .
The analysis of Eqs .(14.16) - (14.18) will just follow the analysis of Eqs.(10 .9) (10.11) in QED. In particular, we will use the linearized version of Eq.(14 .16):
(14 .19)
where m == B(O) .
As in Sec.10.2, we find that the solution to Eqs.(14.19), (14.17) is
B(p 2) = mF
(1+W1
W, 2; -p 2 1m 2 )
-2-' - -2-
where F is the hypergeometric function and
(1 -
3"." ' ) 1/ 2.
condition (14 .18) yields a relation between m, m(O) a nd II .
(14 .20)
Th e second bo un dary
New Technicolor Scenario!
Let us now consider the chiral limit with

expressions (10.15) - (10.17) for
Bdyn(p2)
we find that a nontrivial solution with
(a, 1\:) plane: at a < a e = 7r/3 and
I\:
O. Substituting the asymptotic
m(O) =
(with m
mdyn =I=-
421
= mdyn; m(O) = 0)
into Eq.(14.18),
0 exists in the following region in the
> I\:e(a), where
{14.21)
and at a > a e = 7r /3. The critical line, separating the symmetric and asymmetric
phases in the model is shown in Fig.14.1. This critical line in the gauged N JL model
was obtained by I<ondo, Mino and Yamawaki [20] and by Appelquist, Soldate, Takeuchi
and Wijewardhana [ 21].
1.0
0.25
0.0 +.H'r,f-;L.,f-.,.<-,!----
Fig. 14.1. Critical line of quenched planar gauge theory with four-fermion interaction is
depicted by the solid line in (a,lI:) plane. The shaded region bounded by the critical line
and the vertical axis is the perturbative phase where the chiral symmetry is spontaneously
unbroken.
One can see that as a
->
0, the critical value I\:e(a)
->
1 (the pure NJL model; see
I\: -> 0, we finds that ae(lI:) -> a e = 7r/3 (the rainbow QED; see Chapter
10). Thus, this critical line interpolates between the critical points in the NJL model
Chapter 6). As
and rainbow QED.

Th e explicit form of the dynamical mass function
n
i\r
mdyn
as a function of A, II: and
th e criti aJ li n (i .e. the scaling law in th e model) is [ 20 - 24 ]:
,.
:1 '
422
(14.22)
in the near-critical
(I(; -
t(1 + W)2 ~ 1) region;
(14.23)
at
t ~ 1;
I(; -
j:
3)
c<
>
c<c
a)
c<
>
f,l(; > t(1-w 2), where w== e,,'" _1)1/2:
(0)
mdyn~4Aexp
(n)
m dyn
at
(
I(; -
)
')'
!..!!!..'
..
4
(1
?Tn)
(.
) -"'"
w
!..!!!..'
.
.
21(;
2
(14.24)
(14.25)
n=12
",
t(1 - w2 ) ~ 1;
c< > f,
< t(1- w2 ):
w~
b)
~ 4Aexp
1 and
I(; -
I(;
m (n)
dyn
at
?Tn)
4
(1
+41(; - -Aexp
n = 1 2 ...
e
1 - 41(;
W'
'"
(14.26)
w~ 1.
Few comments concerning this scaling law for
mdyn
are in order:
a) if we applied the relation (14.22) to th e pure NJL model, when
0' -+
O(w
-+
:I) ,
New Technicolor Scenario6
423
we would obtain the relation
(14.27)
instead the correct one (see Eq.(6.14))
-1/2
mdyn ::::
A2
A In ~
(
dyn
(II: - 1)
1/2
(14.28)
This discrepancy will be removed if the next-to- next-to-Ieading term is taken into
account in the asymptotic expression (10 .15) for Bdyn(p2) [ 24];
b) as follows from the discussion in Sec. 10.3, the value of the dynamical mass defining the stable vacuum coincides with the largest value of
in Eq.(14.24), or m~~n in Eq.(14.26), at
Q'
>
m~~~, which is m~;n
7r/3. The presence of other solu-
tions for mdyn implies that there are radial excitations of the NG bosons (see
Sec.10.3). Eqs .(14.22) - (14.26) imply the following structure of the spectrum of
these excitations in the model [ 22]. In the region where
Q'
<
Q'c
= 7r /3, there
are no such radial excitations. In the region with the supercritical gauge coupling
Q'
>
Q'c
= 7r /3, there are an infinite number of the pseudoscalar excitations. More-
over, in the region with
Q'
>
and II:
>
-t , there is an additional pseudascalar

.,
composite in comparison with pure QED.

This result admits the following simple interpretation.
Q'
<
Q'c
In the region with
= 7r /3, the short-range four-fermion interaction is mostly responsible
for the form ation of fermion-antifermion bound states. But in the region with
Q'
>
Q'c
= 7r /3 supercritical long-range Coulomb-like forces lead to the appearance
of an infinite number of additional composites. When the four-fermion coupling

co nstant decreases and becomes smaller than 1-4~," one compasite disappears. In
this region Coulomb-like forces are mastly responsible for the formation of the
bound states. The four-fermion interaction just enhances the dynamical fermion
1I1 a.~S
(see Eq.( 14..26)).
011('
call abo s how th at a simil a.r pic ture takes place for the radial excitations
ill I.h" snLIM cha.ll llel
r 22 1.
1,(' 1. lIS IIIlW (, ,,.Ie II 1:",,(, I.h(, chi)':..! (,lIlld'IIM",I.(' .. Io llf\
1.1](' rri I. in Li Ii 11 (' ill thi H model.
424
Differentiating equation (14.15) in p2, we obtain the expression for the condensate:
(14.29)
By using Eqs.(10.15) - (10.17) for the ultraviolet asymptotics of Bdyn(p2) in the nearcritical region, we find from Eq.(14.29) that
(14.30)
near the critical lime. Comparing this relation with the general relation for the condensate (14.8) derived from OPE, we find that the anomalous dimension "1m of the operator
{nf; is [ 10 ]:
"1m
= 1+w = 1+
(1 - --;;:-3a)
1/2
(14.31)
Thus, "1m is large, "1m ?: 1, along the whole critical line.

One can check the consistency of this conclusion by calculating "1m from its standard
definition:
alnZ~)
alna
"1m =
aJnZ~)
alnA
(14.32)
(compare with Eq.(12.42)), where Z~) is the renormalization constant of the fermion
mass:
(O') _ Z(O')-'m(O)
m cur m
(see Eq.(12.19)). Taking now m(O)
# 0 in
(14.33)
Eq.(14.18), we find the following relation for
this renormalization constant at the critical line:

_
(0')
Zm = Zm
(0')
where here the total mass m is m = mcu/)

*) Indeed,
mdyn
(m)(1+
10'=0 ~ Zm 100=m rv A
= 0 at the critical line
'
(14.34)
425
Taking A to be equal to AETC and mdyn to be of order of A TC , we rewrite the

relation (14.30) as
(14.35)
wit h "1m = 1 + (1 - 3".") 1/2
2: 1. Thus, there is a huge enhancemet of the chiral conden-
sate in this model as compared to QeD-like theories (see Eq.(14.2)) . Let us discuss this
point in more detail.
In asymptotically free theories, as QeD, the critical value
Q'c
equals zero. Therefore
exactly at the critical point (with a finite cutoff A), these theories are free. In particular,
the relation between m(O) and m becomes trivial at the critical point:
m(O)=m.
( 14.36)
This in turn implies that "1m = O. When Q'(O)(A) is small but nonzero, there are logarithmic corrections to this relation (see Eqs.(12.19), (12.20)) .
A small "1m implies that the dynamical mass function of fermions Bdyn(p2) rapidly,
as Bdyn(p2) ~
#r (see Eq.(14.4)), decreases with momentum.
As we discussed in detail
in Sec.12.4, this in turn implies that BS wave functions of spinless fermion-antifermion

bound states (i .e. their form factors) also rapidly decrease with momentum; these bound
states are loose ones.
In the gauged NJL model, the situation is essentially different. The interaction at
small distances, governed by the values of the coupling constants
and Q' at the critical
line, is now strong. The dynamical mass function Bdyn(p2) decreases with p2 much
slower than in the QeD-like dynamics:
B dyn (P2)
"1m = 1 + w
2
m
mdyn (P/ mdyn )h - ) ,
(14.37)
> 1. This in turn implies that form factors of fermion-antifermion bound
states decrease with momentum also much slower than in QeD. These states are tightly
bound states. T his fact, first pointed out in Ref.[ 10 ], will be discussed in more detail
in Sec. 14.5.
Let
li S
extelld thi s a.nalysis
free gall ge I. hr Ol"y
r 2.')
1.0
th e case wh en QED is substituted by an asymptotically
- 28 ]. We will
li se
th e im proved lad der approxi ma ti on for the
gall W' i ,Ii'('PL ' l.i oll , al n' lIl ly II t ili l,(' d ill Qe D ill S('cH. 12..'j ;urd 12.7.
426
Now the coupling constant
Q'
is replaced by the running one (in the one-loop ap-
proximation). We will use the following ansatz for it :

(14.38)
with
(14.39)
(compare with Eqs.(12.96) and (12.100)). The SD equation for the mass functions B(p2)
takes the following form in Landau gauge:
J
II'
3C2(F)
411"
d 2 q2 B( q2) [a(p2) e( 2 _ 2)
q q2 + B2 (q2)
p2
P
q
+ a ( q2) e( 2 _ 2)]
q2
o
(14.40)
(compare with Eq.(14.15) and with Eqs.(12.71), (12.99)). Here C 2 (F) is the quadratic
Casimir invariant of the fermion representation of the gauge group (C2 (F) = ~~l in
QCD).
Our goal is to determine the influence of the four-fermion coupling
on the ultra-
violet asymptotics of Bdyn(p2) in the vicinity of the critical point where, by definition,
mdyn is small. For this purpose we can use the linearized form of Eq.(14.40) corresponding to the bifurcation approximation considered in Sec.10.9. In this approximation,
q2:J:,?q2)
--->
B~g'), and the infrared cutoff qa
= m 2 is introduced in the equation:
:2 J
II'
B(p2)
=m(O )
dq2 B(q2)
m'
J
II'
+ 3C2(F)
411"
dq2 B(q~) [a(p2) e(p2 _ q2)

p2
+ a(q2) e(q2 _
q2
p2)]
m'
(14.41)
At
~~1
= 0, this equation coincides with the QCD equation (12.71) in which
qa =
m 2 and
= C 2 (F). We recall that the main conclusion from the analysis of that eq uation
was that, in the chirallimit , the term with the irregu lar asymptotics was SlJppre. sed Iy
the factor
;&
427
(see Eq.(12.77)) . We will show that when K, ~ 1, the situation changes
drastically: the term with the irregular asymptotics dominates in this case [ 25 - 28].
The analysis of Eq.(14.41) is just a copy of the analysis of Eq.(12.71). We find that
the solutions to Eq.(14.41) satisfy the differential equation
(14.42)
and the ultraviolet boundary condition
2) _ (411-j3C2(F))K, + a(p2) dB(p2)] ,

_
(
2 d (a(~'))
dp2
p'=A' [B p
p apr
p
(0)
(14.43)
(compare with Eqs.(12.72), (12.73)). They also satisfy the infrared boundary condition:
(14.44)
Since the bare coupling
a(O)
== a(A 2) goes to zero when A ->
(Xl,
the analysis in the
preceding model, with a "standing" coupling a, suggests that the dynamics with a large
anomalous dimension "1m
2 should be realized around the value K, = 1 in the present
model. As we will see, this is indeed the case.

The general solution of the linear differential equation (14.42) is
(14.45)
where Bl(p2) and B2(p2) are the irregular and regular solutions, respectively (compare
with Eq.(12.74)), i.e.
(14.46)
(14.47)
where z
2 em
== .In p2/ ATe,
= 3e,~p
8"
..
a nd I,,, R .. are coeffi CIents
whIch can be calculated
by s ubs titlltin g lJ(p2) ( 11./15) into Eq .(H .'l 2) (t he expli cit form of th ese coeffi cients can
hi' fOllnd in lld.[ 27 l) .
428
Now the crucial quantity for us is the ratio CdC2 in the chirallimit, which can be
calculated from the boundary condition (14.43) with
ratio was CdC2
'"
m(O)
= O. In the case of QCD, the
1/A (see Eq.(12.77)). But now it is different [26 - 28
J:
(14.48)
where B;(p2)
==
~ . This relation shows that when
(14.49)
where
(14.50)
there is no more suppression of the irregular solution and it dominates in the ultraviolet
asymptotics.
Let us discuss the meaning of the quantity K~ff = 1 - 3C;~F)a(A) in more detail.
In the gauged N JL model with the ladder QED chosen as the gauge interaction, the
critical line has the following form at a
a c = 7r/3:
(14.51)
(see Eq.(14.21)). Comparing this relation with Eq.(14.50) and taking into account that
C 2 (F) = 1 in QED, we conclude that in the present model, K~ff plays the role of Kc( a
and the bare coupling
a(O)
== a(A)
plays the role of
),
a.
However, one should be careful with this interpretation. The point is that the critical
line in the present model (with asymptotically free gauge interaction) has a simple
form shown in Fig.14.2. Indeed, at all
a(O)
== a(A) >
0 the phase with spontaneous
chiral symmetry breaking is realized due to gauge interaction already. At

dynamical fermion mass is zero at
K ~ Kc =
symmetry breaking takes place even at
a(O)
1, while at
>
Kc
a(O ) =
0 the
spontaneous chiral
= 0, due to four-fermion interaction.
429
1.0
0"----- - - - -
a 11
0
Fig. 14.2. Critical line of asymptotically free gauge theory with four-fermion interaction is
depicted by the solid line in (a(O) ,K:) plane.
As the present analysis shows, the end point
K,
K,c
= 1 of this critical line is
rather special. Eq.(14.49) implies that near this point , the character of the solution for
Bdyn(p2) changes dramatically. Its ultraviolet asymptotics becomes

(14.52)
and the condensate (;j;7jJ) = tr(OI;j;7jJIO) gets a huge enhancement as compared to QCD :
J
II'
NTC
(7jJ7jJ)A
~ -4~
dp 2 Bd n(P 2 )
y
rv
NTC
2
--ATCA
.
(14.53)
4~
o
This relation corresponds to the anomalous dimension
"fm
= 2 of the composite operator
;j;7jJ.
One can check the consistency of this conclusion by calculating
"fm
from the defini-
tion
_ _ 81n z~) .
(tT) _ Z(tT)-1 (0)
81n A ' mcur - m
m
(14.54)
"fm -
(compare with Eq.(14.32)) . It is rather easy to find from Eq.(14.43) that
"fm
= 2 for
K,
satisfyin g the res triction (14.49) .

T hus, near th e effective critical coupling K,~f f (a(A)) = 1- 3C;~F)a(A), this dynamics
lead s to
i\
strong enhance ment of th e chiral condensate. Notice that gauge interaction
lowers til ' critind va.llle
r K, .
430
14.3.
MORE ABOUT NEW TECHNICOLOR MODELS
We already described in Sec.14.1 how WTC and SETC solve the problems connected
with FCNCs and pseudo-NG bosons. These new dynamical possibilities have led to a
recent resurgence of model building in ETC [ 29 ].
In this and the next sections, rather than to discuss all these models, we will describe
their characteristic features.
As we have already learned, the chiral condensate (F F) AETC is very sensitive to the
ultraviolet behavior of the technifermion mass function BF(p2). This of course follows
from the fact that the integral in the expression
(FF)AETC
~ --~-:-; "JCdp2BF(p2)
(14.55)
a
is badly divergent unless BF(p2) decreases with p2 more rapidly than l/p2. This fact is
essence of the enhancement mechanism in WTC and SETC.
On the other hand , the decay constant FTC is much less sensitive to the ultraviolet
behavior of BF(p2) as compared to the condensate. Indeed, let us look at the PagelsStokar relation for FTC:
(14 .56)
(compare with Eq.(12.126)). One can see that even for BF(p2) = constant this integral
diverges only logarithmically.
This point is in fact crucial for the model building. While a strong coupling dynamics
enhances (F F)AETC thus enhancing masses of ferrnions and pseudo-NG bosons by th e
factor (AETC/ATCflm, the decay constant FTC, which is fixed by the relation FTC =
r- 1 / 2 . 246GeV, with r being the number of technifermion doublets (see Eq.(13.82)) , is
not enhanced essentially by this mechanism.

It is convenient to divide all physical quantities into two classes: the class of ultra-
violet sensitive (US) quantities and the class of ultraviolet insensitive (UIS) ones. III
particular, it is important to show that the observables connected with FCNC
proccs~cs
are UIS ones. In other words, one should show that a large 1m is res ponsillc for
;\11
431
enhancement of the ordinary fermion masses without a simultaneous enhancement of

FCNCs. Although there were some arguments in the support of this in the literature,
a conclusive proof of this fact has been given only recently [ 30 ] (fore more detail, see
Sec . 14.4).
Let us now discuss different classes ofTC models in which one can avoid the problems
with FCNCs and light pseudos.
I} TC with a nontrivial fixed point.

In these models, one assumes that TC is a non-asymptotically free gauge interaction
with a nontrivial ultraviolet stable fixed point at which the anomalous dimension "1m is
rather large [ 5, 6 ].
2} Walking TC.
In this class of models [ 7, 8], TC is an asymptotically free gauge theory, however, it is
essentially different from the QCD-like dynamics.
Let us recall that in QCD, the running coupling a(p2} is
_
and the
f3 function
a(p } =
21rb In p2 / A~CD
) ,
(14.57)
is
(14.58)
(see Eq.(12.11)}. Let us introduce the quantity
(14.59)
In Q CD with N c = 3, N
= 3,
C2(F}
= !, we find
A
1.4.
(14.60)
-*'
The para.lII('\.er II r(fl ecl.s th e charader o f chiUl gin g the running coupling a(p2} at a '" a c :
la rg r
1\
illlpli('HHI" w('r rllll/lillg . Illei ('('d , sill er fI.},~' ) =
small (i fllllcl.i o ll .
a large A corresponds to a
432
In QCD, the value A is of order one. The QeD dynamics is a dynamics with a fast
running of a(p2). As a result, the final asymptotic form of Bdyn(p2),
Bdyn (P2)
rv
mdyn (lnp 2/ AQCD

2 )1-C m ,
(14.61)
-2-
sets in almost immediately beyond p
rv
2mdyn
rv
Ax.
~
In the walking TC, it is assumed that the parameter A is A
5 - 15.
Such
values of A are not exotic: it is easy to get them by choosing a rather large number of
fermions ill models (A
rv
l/b
rv
l/(llNTC - 2N)) [ 8]. Then, a(p2) is slowly running
(walking). This leads to the relatively slow initial fall of Bdyn(p2) before it takes on its
final asymptotic form. One can say that in the region (2mdyn) 2 < p2 ~ A~TC' the
dynamics ill WTC is governed by an effective ultraviolet stable fixed point
G'c rv
3C;(F)
at which the anomalous dimension 1m is 1m ;S 1.

The numerical analysis of the SD equation in WTC with A = 5 - 15 shows that the
relative size of the condensate here is 10 - 50 as compared with the "normal" running
(A
rv
1) [8, 31] .
Thus WTC can generate masses for the three lightest quarks, although generating
the mass for the c quark (and, of course, for the t and b) looks very problematic here.
3) Strong ETC.
We have already described the essence of the dynamics of the SETC models in the
previous section. The asymptotics of BF(p2) takes following form there:
BF ( p2)
rv
2 /A2 ) C 1 (lnp
TC
Cm
2 ) Cm+ C22"1 (lnp 2/ ATC
(14.62)
where the ratio CdC1 is yielded in Eq.(14.48). Near the effective critical point K.~ff ,
defined in Eq.(14.50), one can get a huge enhancement of the condensate. In principle,
by tuning
K.
to K.~f f, one may generate masses even for the t and b.
The real problem for all these models is to generate a realistic spectrum of fermions
without the violation of the restrictions connected with the 5, T and U parameters (see
Sec13.9). Particularly important problems are the following :
a) How can one generate a large splitting between the masses of t and b without
encountering a problem with the severe restriction for T ?
b) Is it possible to get a small value for 5 in TC
433
Although we are still far from having a realistic ETC model, some very recent
works suggest that the near-critical strong coupling dynamics can help in solving these
problems. We will return to this point in the next section.
In the next two sections we will consider two important aspects of the near-critical
dynamics: a) the non-decoupling effects and b) the appearance of spinless "tight" bound
states.
14.4.
NONDECOUPLING EFFECTS IN NEW TECHNICOLOR SCENARIOS
The effect of the enhancement of the condensate in new TC scenarios is based on

the fact that the anomalous dimension 'Ym of the composite operator 1/J7jJ is large there')
In Chapter 11, we discussed the effect of nonrenormalizable (irrelevant) interactions
in the low energy dynamics . As was shown there, their effect is strongly suppressed in
perturbative theory. This fact is intimately connected with the Appelquist-Carazzone
(AC) decoupling theorem discussed in Sec.13.8 .
On the other hand, in Secs.11.3 and 11.5, considering some models in D dimensional
space-time, with 2
< D < 4, we saw that the situation may change dramatically if some
composite operators acquire large anomalous dimensions. Therefore one should expect
that nondecoupling effects occur in new TC scenarios. Actually, already that fact that
the anomalous dimension 'Ym depends on the four-fermion coupling constant
K,
along the
critical line (14.21) in the gauged NJL model proves that the four-fermion interaction
leads to nondecoupling effects in the model.
Let us beging by considering the WTC scenario with 'Ym :::: 1. We assume now that
ETC interactions are rather weak and that they explicitly violates the isospin symmetry:
(14.63)
with 9u
=1=
9D and QL
(~:) ,QR = (~:) being technifermions (here we consider
the part. of ETC conn ected with self-interaction of technifermions) . In perturbative

th eory, ill accord,ul 'e with th e decoupling theorem, the effect of the isospin violation
would be
( ~ce
S ill pre~s{' d
by t.wo powers of the ETC scale II. ETC in the low energy region
Scc. I:I. R). nllt. i,l WT(; t.lr e sitllati oll is different.
... ) AII
ft is easy to check, slightly
,dl,, rlll, tivt i nl,," prdllLioll o f thi N II h'f' hh !li tHIl wil l Iw ('o ll ftidt,,'('d ill
Sc ', 1'1 .5.
434
Dynamical Symmetry Breaking in Quantum Field TheorieJl
modifying the analysis of the SD equation in Sec.14.2, that in the gauged NJL model
with
Q! :::: Q!c
7r /3,
the isospin violation formed at the high scale AETC manifest itself
without any suppression at low momenta! The essence of this effect is that at 1m
the four-fermion interaction becomes marginal (i.e. renormalizable)
= 1,
operator~) Indeed:
(14.64)
where the renormalization constant Z~) is Z~)
rv
a / AETC at
The fact that four-fermion interaction becomes marginal at
Q! :::: Q!c
Q!
Q!c
= 7r /3.
was pointed out
by Bardeen, Leung and Love [ 4]. The first who recognized that this effect can be used
for the description of symmetry breaking in model building were Kogut, Dagotto and
Kocic [ 12]. The present example with the isospin violation in WTC was first considered
by Chivukula [ 13] .
This example clearly illustrates the general situation in new TC scenarios: their
dynamics includes (without a strong suppression) high momentum degrees of freedom
with ATc <t: P
:s AETC. This is a consequence of the fact that in these models, at least
one of the two coupling constants (aTc(p2) or gETC) is rather strong. This is a new
situation as compared to the old TC scenarios in which both gETC and aTc(p2)lp2~A2ETC
are small.
This feature of the new scenarios can be important for the description of the mass
spectrum of the ordinary fermions (quarks and leptons). We described this spectrum
in Sec.13.3. One can see that the spectrum is rather complicated: while the isospin
violation is rather moderate in the first family of quarks, it is rather strong in the
heavier families (and especially in the third one); the mass of the b quark is 3 orders
of magnitude larger than the mass of the d; the t quark is especially heavy. One can
speculate that such a bizarre mass spectrum reflects a very specific underlying dynamics.
If this dynamics is sensitive to formally irrelevant interactions (as that one leading to
the isospin violation in the example above), it may produce such a complicated mass
spectrum.
Actually, one should be careful in implementing this feature of the dynamics. For
example, the mechanism of the isospin violation considered above can be used in gen*) For the definition of relevant, irrelevant and marginal operators, see Sec. l1.2.
435
erating a large mc/m s or mt!mb ratios, however, it also may give a large contribution
to the T parameter whose value is severely restricted (see Sec.I3.9) [ 13].
Even the situation with FCNCs looks now more complicated than in the regular
TC. Why is there no enhancement of FCNCs in WTC and SFTC ? The usual consideration of FCNCs in TC is based on the analysis of the box diagrams leading to MO-Mo
mixing (MO = KO, DO, or BO) (see Fig.I3.3). However, these diagrams correspond only
to the lowest order in perturbation theory in technicolor coupling. While this approximation is justified in the case of QCD-like dynamics with a small running coupling
frTc( p 2) lp'_A'ETC ~ 1, it is unclear why it is also appropriate for WTC with the walking
coupling frTc( p 2)l p'_A}'TC being rather strong: frTc( p 2) lp '=Ahc ~ IXc rv 1. In the case
of strong ETC, the TC coupling frTc( p 2) lp '=Ahc may be small , however,
gETC
is strong
in that case, and therefore the analysis of FCNCs based on the box diagrams is again
not justified.
The careful analysis of FCNCs in WTC and SETC confirms that FCNCs can indeed
b e suppressed there if ETC interactions are chosen in an appropriate way [30]. However,
this example again shows that one should be careful in using such a powerful "weapon"
as the new dynamics in WTC and SETC.
Another interesting possibility is the enhancement of the effect of the ordinary,
SUc (3) x SUL (2) x Uy(I), interactions in WTC and SETC. This effect was first pointed
out by Holdom in WTC [32]. But it is even more dramatic in SETC [ 9, 10
J.
Let us
describe the essence of this effect.

In the pure N JL model, the relation for the dynamical mass mdyn (i.e. scaling law)
has the following form:
-1 / 2
mdyn
== A
In
A2
- 2m dyn )
(I\: - 1)
1/ 2
(14.65)
As was shown in Sec .I4.2, in the gauged NJL model, with an asymptotically free gauge
interacti o n, this relation is substituted by the following one:
(14.66)
wll ("r(' K; ~.rJJ)
(it.~ ( A is A /';/'( ',
;I(~(~( A)
,IIIe1
"li l t/v ,. iH
( SCI'
i';q.(I 'I .50)). 1.1' 1.
li S
li se this re ia.ti on in SETC . In this
1.11 (, 1I 1i~"S o r 1. ('r lill i r<'r llli () II ~:
H t t/y"
m l" rv ATC ~ A ST C.
436
The gauge interaction includes both TC interaction and ordinary gauge interactions.
In particular, in the one family TC model, for example, QCD will contribute to the
dynamics of techniquarks Q but not to the dynamics of technileptons L . Then, we have
(eff)
1 3C2 (F) - (A
)
"cL
:::: - ~aTC ETC ,
( 14.67)
(14.68)
where
as
is the QCD running coupling. Assuming that gETC is nearly the same for Q
and L, we obtain the following mass relations:
mL
rv
(eff) ) 1/2
AETC ( gETC - "cL
'
(14.69)
mQ
rv
(eff)) 1/2
AETC ( gETC - "cQ
.
(14.70)
Since mL and mQ are much less than AETC,
==
(9ET C -
"~"1!)r/2
t:.9~ff) ==
(9ETC -
,,~~!)) 1/2 and t:.gleff )
should be rather small. But what is more interesting, the differ-
ence
(14.71)
can be large. As a result, we find that QCD may yield an essential enhancement of
techniquark masses as compared to technilepton masses .
It is instructive to consider this effect in the gauged N JL model with a standing
gauge coupling a. Let us assume that the gauge coupling constant of techniquarks aQ
is aQ = aL
+ Da,
where aL is the gauge coupling of technileptons. Then , the scaling
law (14.22) implies that

(14 .72)
where
(14.73)
and wQ =
(1 _ ~ ) 1/2 ,
WL
(1 _ ~ )1 /2.
wQl
Since the parameters

!XQ,
!XL
wi l
grow with
!XQ
and
!XL
(and they are infinite at
= 7r /3), one can see that the splitting effect is largest near the pure N JL
model, where
!X
437
= !X c =
!XQ , !XL
are small and 1m = 2. It reduces essentially near the critical value
7r/3 where 1m
= 1.
A more careful analysis [ 32) shows that the effect still
remains even at 1m = 1 but the qualitutive picture we have discussed above is correct.
All of these examples demonstrate rich possibilities of this dynamics. In the language
of the theory of critical phenomena (see Chapter 11), the general dynamical situation
in these scenarios can be described in the following way. To get a large anomalous
dimension 1m, one needs in strong high energy (p ~ ATC) interaction. To arrange a
hierarchy of the scales
mF ,..., ATC
and AETC, ATC
~ AETC,
this interaction should be
rather specific: it must be realized in the critical (or near-critical) regime. The latter
means that TC and ETC (effective) coupling constants are close to a critical point where
the ratio
mF /
A ETC is rather small (at the critical point, corresponding to a second order
phase transition, this ratio is exactly zero). A toy model of this scenario is the gauged
N JL model considered in Sec.14.2.

This dynamical picture implies a certain ammount of fine tuning of the coupling
constants, but it certainly yields new possibilities in model building.
As the last illustration of these possibilities, let us consider a way to get small (or
even negative) values for the 5 parameter, considered in Sec .13.9, in TC models. This
possibility has been pointed recently by Appelquist and Terning [ 33).
Let us again consider the one family model (see Sec.13.5) . But this time we will
use SETC. We will assume that, due to QCD, techniquark are essentially heavier than
technileptons.
We assume further that while the U and D techniquarks are nearly
degenerate in mass, the technineutrino N is lighter than the technielectron E (due to

ET C interaction) . For concreteness, we take
mE
= 150Ge V,
mN
= 50GeV
,mQ
==
mu
= mD = ITeV
(14.74)
III ord I" to ill" trate th e essence of the idea, we will calculate 5 and T in the oneloo p iI,ppI"Qxirna.t ion, " gl ctin g T C a nd ETC interactions. Then, the relations for 5 and
'f' a,I"(' :
,c.;
(14.75)
438
(14.76)
(compare with Eqs.(13.170) and (13.180)). Notice that the relation for the technilepton
contribution to 5,
(14.77)
generalizes the relation (13.170) for the case of unequal masses
m'Jv =j:.
m~ [ 33]. With
the values for the masses in Eq.(14 .74) and Nrc = 2, we find:
(14.78)
aTL
:::::
0.0026 = 0.26%, aTQ = 0, aT::::: 0.26% ,
(14.79)
while in the QCD-like scenario we would get 5::::: 0.46 .

Thus, while, because of a big ratio m~/m'Jv = 9, technileptons give a large negative
contribution to 5, their contribution to T is small because their masses are much less
then the masses of techniquarks.
All these examples, although only illustrative, clearly reveal interesting features of
new TC scenarios.
14.5.
TIGHT BOUND STATES IN NEW TECHNICOLOR SCENARIOS. BOSONIC TECH-
NICOLOR
In this section, we will show that the dynamical effects which we discussed in the
previous section can be understood as a result of the presence of tight bound states in
a system (we will give a more precise definition of such states below).
In Secs.11.3 and 11.5, we described the dynamics with a large anomalous dimension "1m of the composite operator {J1j; in models with four-fermion interaction in D
dimensional space-time (3 :.:::: D
< 4). A nice feature of those models was that th ey
are interacting models in the strict continuum limit, although their dynamics is not
asymptotically free. They will serve as a very useful laboratory in our discussion.
As follows from the discussion in Secs.l1.3, 11.5, the esse nce of the nOlldc 'o upli IIg
effect in these models was connected with tra.ll smuta tion of th e dYIl a.llli ra.1 dilll(,lIsioll
d1[,-.p of the composite operator ;j;1jJ. At the critical point
K,
K,c
439
in the models, it becomes
(14.80)
where the canonical (engineering) dimension d c ;1[,-.p
=D-
1 and the 11[,-.p
==
1m
=D-
is the anomalous dimension of this operator.

As was also shown there, at the critical point (i.e. in the strict continuum limit),
the models become equivalent to the Yukawa models in the strong coupling regime.
In particular, there is a fermion-antifermion scalar bound state in the spectrum of the
models described by the interpolating field ;j;1jJ.
On the other hand, as was pointed out at the end of Sec.l1.3, if a finite cutoff
A remains in the models and is treated as a scale of a "new" physics, the Yukawa
models can be considered as low energy effective theories of the "fundamental" theories
with four-fermion interaction. These effective theories describe the interactions at low
(p
A) momenta.
The description of nondecoupling effects becomes very clear in the language of effective theories. The crucial point is the presence of a light fermion-antifermion scalar
bound state; "light" means here that its mass is much lighter than the cutoff A. At
low momenta, the Yukawa coupling of this scalar to fermions is given by an infrared
fixed point (see Secs.l1.3, 11.5). Its value is finite and is not suppressed by powers of
A. Thus, near the critical point, the four fermion interaction becomes relevant and
produces the light bound state which is the main dynamical source of the interaction
in the low energy region. Of course, as was stressed in Secs.l1.1, 11.3, the existence of
such light states is possible only near the critical point defining a second order phase
transition.
In fact, almost the same situation takes place in the N JL model at in D
= 4 at
leading order in 1/N c . The low energy effective action of this model was derived in
Sec.12 .11. The Yukawa coupling gV), describing the interaction at the scale p
rv
17, is
now
(14.81)
(s ,r th
dis cussi!) 11 below I<:q.( 12. 197)) . It goes to zero as A/17
I'itilllli (' ally ; a,ga.ill ,

fl .
1.11(' 1'('
is
1I r)
~ DO,
but only loga-
HllPPI'('ssioll or th e low-Illomenta interaction by powers of
440
In a more formal language, this means that at D = 4, the infrared fixed point equals
zero, and the model becomes free in the strict continuum limit . But the important point
is that as A -+
=,
the coupling constants in the model go to zero only logarithmically,
and therefore it may serve as a perfect effective theory at finite A.

From the viewpoint of the effective theories, the large anomalous dimension "liP'" ==
"1m of the composite operator {nf; can be interpreted as a result of the mixing of the
operator {nf; and the scalar field cp (which explicitly presents in the effective lagrangian) .
Look at Fig.(11.4) describing the propagator of {nf;. The first diagram yields the same
contribution as that in free theory. The second diagram corresponds to the contribution
connected with the 1(;1jJ - cp mixing. As was shown in Sec.ll.3, this contribution dominates near the critical point where m/ A
1. Actually, in the strict continuum limit
(i.e. exactly at the critical point), the second diagram yields the full contribution to the
renormalizable propagator; the renormalizable fields cp(u) and (1(;1jJ)(u) become identical
(see the discussion at the end of Sec.ll.3).
The language of effective theories is appropriate for SETC models where the dynamics is formed near the effective critical point K;J!Ux(A
Eq.(14 .50 . The existence of light (with masses M ~
= 1-
A ETC )
3C;iF)a(A)
(see
spinless bound states,
composed of technifermions and antitechnifermions, in such a dynamics was first pointed

out in Ref.[ 10
1(see
also Refs.[ 34, 35]) . Chivukula, Cohen and Lane [ 36
1pointed
out how nondecoupling effects in SETC can be described in the language of effective
theories. In particular the enhancement of the technifermion condensate in SETC is
now described as just a unsuppressed (or very mildly suppressed) Yukawa coupling of
technifermions and light bound states . The effective theory includes a piece with a
Higgs-like dynamics.
As was already indicated in Sec.14.2, the Bethe-Salpeter wave function (i.e . form
factor) of such bound states in SETC decreases with increasing momentum p very slowly,
up to p '"
A ETC .
So, while masses of these bound states are of order
compositeness scale is of order
AETC
which is much larger than
they look as point-like particles at momenta p
<
A ETC .
A TC '"
ATC .
ITe V, their
In other words,
Therefore the contribution to
the chiral condensate, and to Green's functions of composite operators, in general, can
be divided into two parts: the first part is connected with the "soft" TC dynami cs , and
the second ("hard") part is provided by the dynamics of the tight , point-like, bound
states. As in 3 dimensional four-fermion model considered in Sec.l1.3 , the second contribution dominates in the near-critical regime, thus providing a huge enh ancement of
441
the condensate.
The existence of such bound states is interesting from the phenomenological viewpoint . They play the role of (composite) Higgs bosons here and their detection should
be similar to the detection of usual Higgs particles. Therefore it is certainly interesting
to derive the low energy effective lagrangian describing these particles. Such a program,
iniciated by Bardeen and Love [37,38], was completed in the gauged NJL model with
a standing gauge coupling in Refs.[ 39 - 43].
The appearance of an additional gauge interaction in the model makes the derivati on
of the effective action here essentially more complicated than that in the pure N JL model.
Indeed, if in the pure N JL model, the derivation reduces to the study of the fermion
determinant in the external (auxiliary) a and
1r
fields (see Sec .12.11), in the gauged N JL
model, we have the fermion determinant in the external a and
1r
fields and in quantum
gauge fields, which also must be integrat.ed out in the pat.h integral. This essent.ially
complicates the problem.
Gusynin and the present author [ 39, 40] have elaborated a regular approach to the
derivation of the low energy effective action in gauge theories based on the formalism of
Green's functions of composite operators on the nonperturbative vacuum [44]. They
applied the method to the derivation of the effective action in the gauged N JL model
and derived it as a series in powers of the derivatives of the a and
1r
fields.
Appelquist, Terning and Wijewardhana [ 41 ] applied the effective action in th e

gauged N JL model to the description of the properties of composite Higgs bosons in
SETC. In particular, they estimated their masses and their widths.
We will return to composite Higgs bosons in the next chapter.
In conclusion, we will discuss the connection between SETC and a TC scenario
known as the bosonic TC in the literature.
The history of using additional Higgs-like fields in TC traces back to the paper of
Georgi and Glashow [ 45 ] in which a Higgs field (instead of ETC) was used to generate
masses o[ ordin ary fermions. The concrete TC models with additional Higgs fields were
considered by Georg.i a nd Eaplan [ 46 ], Simmons [ 47], and Samuel and Eagan [ 48 ].
Foll owin g Samuel [ tl8 ], we will reb all TC models with additional Higgs fields as
boso lli c T e.
'I'h (' CO llll ccti oll i>dw('c ll
ii,S
fl. d'y ll fl,lll ir a.l
r('n l i ~ a. l i o ll
h ()~() lli c
T C ;w d S r;T C is cvi de nt. 'ETC may be considered
" I' l" lsolli c '1'<: . II. provi d('H I. h(' dyll a. mi cs which ll a,l.llrall ,Y leads
442
Dynamical Symmetry Breaking in Quantum Field TheorielJ
to additional light composite bosons in TC.

14.6. NEW TECHNICOLOR SCENARIOS AND LATTICE COMPUTER SIMULATIONS
As we have already stated several times, the crucial point for the realization of
new TC scenarios is a near-critical dynamics with a strong bare coupling providing the
existence of light tight bound state. The analytical methods available for its study are
very limited. This is why the studies of such a dynamics in lattice computer simulations
are so important.
In describing a critical dynamics (second order phase transition) in lattice computer
simulations, the central point is calculating various critical exponents which were defined
in Sec.11.4 (see Eqs.(l1.89) - (11.93)).
As a useful laboratory for TC scenarios, noncompact lattice QED was studied in
Refs. [ 14 - 19). The main conclusion of these studies is the existence of a second
order chiral phase transition in QED with a relatively small number of fermion flavors
(N ::::; 8). Unlike QCD, the critical coupling a~O) is nonzero and separates symmetric
and asymmetric phases.
Although, formally, the action of noncompact lattice QED coincides with the standard QED action (as the lattice spacing a goes to zero), the quantum dynamics of the
lattice theory at rather large values of the bare coupling may be essentially different from
that in conventional QED. The point is that the action of lattice QED is nonlocal. Expanding it in a series in powers of a
== 1/ A, we will get, besides the conventional terms,
a tower of nonrenormalizable (formally irrelevant) operators suppressed by powers of a.

However, as we have already learned in Chapter 11 (and in this chapter), at large values
of coupling constants these perturbatively irrelevant interactions may become marginal
and relevant ones.
This is that crucial point which distinguishes non-asymptotically free theories on
lattice (as QED) from asymptotically free ones (as QCD) . The actions of the latter
also include nonrenormalizable operators, but, as a
-+
0, because of weakness of the
interaction near the critical point a(O) = a c = 0 in asymptotically free theories, they
are really irrelevant in the continuum limit.
The gauged NJL model (QED plus (formally irrelevant) four-fermion interac tion)
considered in Sec.14.2, gives a simple example of the transmutation of irrelevant. interactions in relevant ones. It is instructive to calculate the criti cal exponent.s in thi s model
[ 15, 38).
443
The critical exponents a, fl, 1, v and 8 were defined in Eqs.(l1.89) - (11.93) . They can
be calculated in the gauged N JL model in the same way as in the 3 dimensional model
with four-fermion interaction in Sec.11.4. For this purpose, we need in the expression
for the effective potential V(o-,7f) describing the collective fields
0-
and
7f
in the gauged
N JL model. This potential was derived in Refs.[ 37, 38 ] It is
(14.82)
where A{a) and 8(a) are certain functions of a [ 37, 38]. The values of the critical
exponents, calculated from this expression, are [ 15, 38 ]:
ii = 2 (}1- a/a c - 1) /}1- a/a c ,
fl =
(2 - }1- a/a c) /2}1 - a/a c ,

(14.83)
1 = 1,
v = 1/2}1 - a/a c ,
8= (2+}1-a/a c)/(2-}1-a/ac) ,
where a c = 7f /3, and here we use ii instead of a to avoid confusion with the gauge
coupling constant.
The characteristic feature of these exponents is that only at a = 0 (the pure N JL
model) they coincide with the mean-field exponents (see Eq.(11.102)); at all nonzero
values of a they are different from them. As a
--+
a c, the exponents ii, fl and v become
infinite. These facts reflect the point that while the universality class of the pure N JL
model is that of a free theory, there is an essential singularity in the scaling law for mdyn
at a = a c (see Eqs.(14.25), (14.26)).
These results can be understood in somewhat different way. The ultraviolet asymptotics of the dynamical mass function in this model is:
(14.84)
(see I<;q.{ 1" .20)) . Hy usin g the Pa.gels-Sto ka.r rormul a. (1'1. 56) ror calculating the decay
r () lI ~ t a lit "' , w(' fiud that while' a,t
(y
", 2
logarithlllically diverges (F2 '" m~yn
444
In A2 Im~yn)' it is finite at all non-vanishing values of o'. Because of the GoldbergerTreiman relation (4.80), this implies that, in the continuum limit Yukawa coupling
gy '" mdynl F
is zero at a =
and is non-vanishing at
o' #-O in the continuum limit.
We recall that the contribution offermion loops are neglected in the present approximation (quenched approximation).
Let us now turn to the data in the computer simulations of lattice QED. As we
have already indicated above, the data clearly show the existence of the second order
chiral phase transition in lattice noncompact QCD with a relatively small number N
of fermion flavors . At N =
(quenched QED), the parameters 0 and (3 are 0 ::::: 2.2
and (3 ::::: 0.8 [ 15 ], i.e. while they deviate from the mean-filed values (0
= 3, (3 = 0.5),
they are also essentially deviate from values corresponding to a critical point with an
essential singularity in the scaling law (0
1, (3
= 00).
These data also yields 'Y
and v = 0.68 . All these values are in good agreement with Eq.(14.83) at the point
(a, K;) = (0.44O' c ,0 .76).

Thus, these data indicate that even in quenched lattice QED , the formally irrelevant
four-fermion interactions survive in the continuum limit.
The situation concerning the data in full lattice QED (with N = 2 and N = 4) is
more controversial and complicated. While the fit of the data in Refs.[ 16, 19] indicate a
significant deviation of critical exponents from the mean-field values, the fit of the data
in Refs. [ 17, 18] corresponds to a mean-field theory. Also, as the authors of Ref.[ 16 ]
argue, there may be an essential effect due to monopole percolation in lattice QED .
As was already emphasized in Sec.l1.2, we are interested in finding simple models
which may play the role of effective theories for new ETC scenarios. Lattice computer
simulations of non-asymptotically free gauge theories have proved to be extremely valuable for this purpose.
Chapter 15
Top Mode Standard Model and Beyond

15.l.
INTRODUCTION
So far, ordinary fermions (quarks and leptons) played a rather passive role in all of
the scenarios of electroweak symmetry breaking which have been discussed in this book.
For example, in the standard electroweak theory, discussed in Chapter 13, the fermions
acquire their masses from the electroweak condensate generated by the self-interaction
of a Higgs doublet. Thus, electroweak symmetry breaking in the standard model (SM)
would occur even without the fermions; they are mostly spectators in this scenario.
The same is true for the technicolor (TC) scenario. In this case, the electroweak
condensate appears due to TC dynamics connected with new degrees of freedom (technifermions and technigluons); again, ordinary fermions are just spectators in this scenano.
In this chapter we will consider another class of models of electroweak symmetry
breaking in which some of ordinary fermions (for the most part, fermions from the
third, or a possible forth, family) play the active role in triggering electroweak symmetry
breaking and/or in generating the structure of the fermion mass spectrum [ 1 - 4].
The basic idea underlying these models was introduced by Tanabashi, Yamawaki
and the present author (MTY) [ 1 ] and N ambu [ 2]. The idea is that, besides the
standard color and electroweak couplings, quarks and leptons have new very shortrange interactions. Among them only the t quark (and possibly other (b,
T,
v T ) fermions
from the third family) has a sufficiently large coupling to produce the it-condensate
and its own mass. The condensate leads to dynamical electroweak symmetry breaking.
There is one composite Higgs doublet in this model:
_(<p~) '" A
<Pt -
-2
<P;
(i(l+'YS)t)
_
,
t(l + 'Ys)b
(15.1)
whe re !I. ~ p/:;w ::::: 216GeV is the scale of th e new short-range interactions. Three
cOln posite Nil.III\)u-CoIJ stonc (NC) bosoll s, w - '" [("I + '1'5) 6, w+ '" 6(1 - 'Y5)t, and
'ViO '"
-ii. 'Yr, l ,
;\,1"\ '
;dlso ri>('d into till' W
and 7, hoson,." whi ch acq llire masses, and one
C() lIlposit(' (lIi g l~H) bONon, It '" 0. , r<'IIl II,inll ill
1.11 ('
,I p('dr llill of til('
1l IO<I ('\.
Dynamical Symmetry Breaking in Quantum Field Th.eories
446
Thus, in this scenario, the quark doublet (:) plays the same role as a technifermion
doublet in TC. However, a very nontrivial new point in the present scenario is that since
the t is much heavier than the b, there is a strong violation of the isospin symmetry
in this doublet. One may think that this will destroy the relation Ibpl ~ 0.2%, where
bp = p - 1, p = M'tv/M~cos2(}W (see Secs.13.5 and 13.9). However, as we shall see this
is not the case.

We shall also see that the scenario naturally leads to a large value of the t quark
mass .
The motivations for the Nambu approach and for the MTY approach were somewhat
different. Nambu started from the bootstrap idea in the SM (5). The basic requirement
in his approach (which traces back to the work of Yetman [ 6 )) is the requirement of
the cancellation of quadratic divergences in the electroweak theory. This leads to sum
rules restricting the values of the masses of the t quark and the Higgs boson.
The motivation of the MTY approach was the result of Ref.( 7) (already discussed
in Sec.14.2) that in the near-critical regime, four-fermion interaction leads to a slowly
decreasing with momentum (irregular) asymptotics for the dynamical fermion mass. As
was discussed in Sec.12.3, the current mass functions of quarks in QCD have just such an
asymptotics. Therefore the four-fermion near-critical interaction provides a dynamical
mechanism for generating current masses of fermions.
MTY constructed the concrete model which they called the "top mode" standard
model (TMSM) in contrast to the usual one, the "Higgs mode" standard model. In the
framework of the TMSM, they estimated the masses of the t quark and Higgs boson .
The next conceptually important step was done by Bardeen, Hill and Lindner (BHL)
[ 4 ). They clarified some basic points in the dynamics of electroweak symmetry breaking
in the TMSM. Their analysis essentially simplified the model building in this class of
models.
The idea of the ft condensate was also considered by Marciano [ 3) who, following
earlier works [ 8 ), postulated the irregular asymptotics for the dynamical mass of the t
quark without specifying the underlying dynamics.
Since these papers, the idea of the [t condensate has been extensively used ill model
building. In this chapter, rather than to disc uss all of these models, we will
cO II ~ id('r
til e
447
basic points in their dynamics.

As we will see, this class of models addresses the following questions:
1) Why is the t quark so heavy ?*)
2) Can Higgs bosons appear in other, than doublet, representations of 5U(2)
3) How many light (with masses of O(lOOGeV)) Higgs bosons are in electroweak
theory?
4) What is the spectrum of other (than ordinary fermions, Wand Z, and Higgs
bosons) particles in electroweak theory?
15.2. Top
MODE STANDARD MODEL
Let us consider the model which consists of the standard three families of quarks
and leptons with the 5Uc(3) x 5U(2) x Uy (1) gauge interactions but without Higgs
bosons. Instead of the standard Higgs sector, we introduce the 5Uc (3) x 5U(2) x Uy(l)
- invariant four-fermion interactions among quarks and leptons, the origin of which is
not specified at this moment. For simplicity we shall disregard leptons for the moment.
The general form of such four-fermion interactions among quarks may be written as [ 1]
I'
41f2
c
[(1)
1.-41 - N A2 "'ii';Ji
(J,iao,,i'b)
(o~jbo,/a)
(2)
(o~iao,,i'b)
(-Z1'2 )ac(.Z1'2 )bd (o~jCo,J'd)
'1' 'l'R
'l'R'I' + "'ii'jj'
'1' 'l'R
'1' 'l'R
(3) (o"iao"i'b)
(1'3 )bc (JJco,;'a)]
+ "'ii'ji
'1' 'l'R
'l-'R'I-'
+ H .c.,
(15.2)
where Nc is the number of quark colors (Nc = 3 in reality), "'~pjj" ",;l)jj', and "';Pjj' are
the dimensionless four-fermion couplings, (i,i',j,j') and (a,b,c,d) are the family and
the isospin indices, respectively, and A is a scale of the new interaction. Out of the terms
in Eq.(15.2), we are particularly interested in those corresponding to the self-interaction
of quarks of the third family
41 =
1/; == oi31/;i, ",(T) == "'~~~33 with (r =
1,2,3);
::~2 [",(1) (,fai1/J~) (,f~1/;!) + ",(2) (,f!1/;~) (i1' 2)ac(i1' 2)bd (,fL1/;~)
+ ",(3) (,f! 1/;~) (1'3)bc (,f'R1/;'i) ] + H.c. .
oj
(15.3)
By I,h e tim e o f r,IIi s hin g f th e wri till g o f this book, th e lower bound for the mass of the t
q uark (fro'li cx pc l'i,w' uts a t I.h '('CVle( ro u colli de- r) h,,-, beco me J 13Ge V. Th e central value for mt,
fl' II'l neutrin o <'x pninwllts ,u,d fr " ' <'XP('l'illll 'II(S IL t th , C: 1 ~ llN c+c- collid e I' LEP, has become
l 04(.' ,' V .
448
MTY considered two scenarios [ 1 J:

1) the scenario with the only one coupling constant K,t
(K,t
2:
K,c ~
== K,(1)+K,(3) being supercritical

== K,(l) - K,(3), being small.
1) and with two other couplings, K,(2) and K,b
In a simplified version with K,(2) = 0, we get:
( 15.4)
When K,b
--->
0, the right-handed b becomes sterile with respect to this new inter-
action;
2) the scenario with both coupling constants K,t and K,b being supercritical. In this
case both masses
mt
and
mb
are dynamical.
Let us discuss these two scenarios in more detail.

Let us study the Schwinger-Dyson (SD) equations for the mass functions Bt(p2) and
Bb(p2).
We will use the improved ladder approximation to describe QCD interactions
and four-fermion interactions (15.4) (in Landau gauge) . The equations are:
(15.5)
(15.6)
where
(15.7)
with a (p2} being the QCD running coupling (see Eq.14.40)). At large p2 , a (p2) is:
(1 5.8)
As was shown in Sec.14.2, for th e near-c riti cal
K"
1 - K,
rv
cv(1\ 2), th e solllti l)llHor th t'
449
SD equations (15.5), (15.6) have the irregular asymptotics:
3(N; - 1)
,
Let us now consider the first scenario, in which
K.b
em =
167r 2 bNc
is small and
K.t
(15.9)
is near-critical. Then,
the SD equation (15.5) has a solution with the irregular asymptotics (15 .9). Let us
estimate the mass of the t quark. For this purpose, we will calculate the decay constants
FO and F of the NG bosons wO and w in the Higgs doublet (15.1). In Sec.12.9, we

derived the Pagels-Stoker (PS) formula in QCD. It is straightforward to generalize this
formula to the present case. In the approximation in which
mb
is neglected~) we get:
The mass of the top quark is estimated from Eq.(15.10) with FO :::= F :::= 246GeV
by using the following parameterization for the solution of Eq.(15.5) :
, ') ) 12/23
In ( m./A,
mt ( In(Ah/A~)
In(mU An) 12/23
(15.11)
mt ( In(p' / Al)
4/7
23ln(mUAn
(
where the auxiliary infrared cutoff AIR
> As is introduced to regularize the singularity
a t p2 = A~ . Here the parameter As is AQcD with N = 5 ( As :::= 110MeV in the MS

renormaliza tion scheme ), and
Cm
t and
Cm
correspond to QCD with N
a nd N = 5, res pectively.
I';q s. ( \5. \ 0) , (\ fl . I I) lea.d to til(' foll owi ng estimate for mt [ 1
. )
1 '~ Vf ' lI ill
lIw n'".! Milll ll.tinll , wit h 111 b --
f) ( ,' rV,
vt'ry 111 111dl IIf'Clt.II tH' "'b iN 11111 (- 1. I'''j'' t ll ull HI ,
J:
lll (' '' qunr k ('o lltrit IIlio n to lh {" deca.y const ants is
II :l(;,.V .
450
Dynamical Symmetry Breaking in Quantum Field Theoriell
Table 15.1
The following comments are in order.

Why should we trust this analysis? It is clear that the ansatz (15.11) is rather crude
in the infrared region, where QeD forces dominate; also the parameter AIR is free in
Eq.(15.11), and the result should depend on its choice. The answer to this question
is that, because of the irregular asymptotics (15.9), the dominant contribution in the
integrals in Eq.(15.10) comes from the ultraviolet region where the ansatz (15.11) is
certainly reliable. This fact also explains the results of numerical study which show that
the value of mt does not change significantly for wide range of AIR. We also notice
that the results for mt in Table 15.1 were confirmed by the analysis using a numerical
solution of the SD equation [ 9].
The dominance of the ultraviolet region in the integrals (15.10) suggests the following
approximate form for F O ~ F:
(15.12)
Therefore
(15.13)
This form of the estimate for
mF was first obtained by Marciano [ 3 ].
Let us now estimate the parameter op = p - 1. Eq.(15.1O) implies that

...&... rA'd 2B;[Bi+h'(Bi)']
16,.-' Jo
q
(q'+BIl'
(246GeV)2
Nc
rffi'd
Jo
~ 16?r 2 (246Ge V)2
=:
Nc (
mt
)
16?r 2 246Ge V
(1 5.11)
2
This estimate is essentially the same as the one,l oop Veltman res ult in th e SM [ 10 ].
Therefore op leads to the usual up per bo un d for m t in t he T MS M.
451
Table 15.1 shows that mt decreases with increasing A. The reason of this is evident
from the relation (15.13) .
It is instructive to compare these results for mt with those in the N JL model, where
mt
is just a constant . In this case, we find from Eq.(15.12) that
(F O)2
~ Nc2 In ~2'
871"
( 15.15)
mt
This relation leads to mt ~ 144GeV for A = 10 19 GeV. Thus, QCD interaction enhances
the value of mt. The reason of this is clear: QCD interaction leads to the mass function
Bt(p2) which decreases with increasing the momentum. Therefore to obtain the same
value for FO as in the N JL model, mt has to be increased in this case.
To generate the current masses of quarks other than the t quark, we will use the
interaction (15.2). Notice that three down quarks (d, s and b) may acquire their masses
from the it condensate through the perturbative 11:(2) interaction. It is also evident that
the interaction (15.2) can produce a realistic Cabibbo - Kobayashi - Maskawa mass
matrix for quarks (see Sec.13.3). In the model, besides the mass of t, all other quark
masses are free parameters.
Also, it is clear that charge leptons acquire masses in a similar way, through the 11:(2)
interaction with the it condensate.
Let us turn now to the second scenario in which both
II:t
and
II:b
are supercritical (see
the second paper in Ref.[ 1 D. Now both t and b acquire dynamical masses mt and mh .
Let us first consider the case when 11:(2) interactions are absent. We come to an elegant
bb condensate provides masses for down quarks and leptons. Notice that when II:~P;jj' = 0, the
scheme in which the it condensate provides masses for up quarks, and the
lagrangian density (15.2) possesses an additional (global) U5 (1) symmetry. However,

as we kn ow from Chapter 12, the U5 (1) symmetry is explicitly broken by the strong
Adler-Bell-Jackiw anomaly (see Eq.{12.8)) . This symmetry plays here the role of the
Peccei-Quinn (PQ) symmetry [ 11] introduced to explain the smallness of the
c tcr (e < 10th
in th c , M ( ce Sccs. 12. 12, 12.13) . In the absence of the strong anomaly,
PQ Ay l11l1 l<' l.ry wOllld be onl y s pollt a ll eoll ~ ly broken by the it and
'I'h(' N(; bosoll
eparam-
a.~s()r i al<' d
bb condensates.
with thi As ponl.all !'olls hreakd own is kn own as axion. However ,
l)('ra,II H(' of till ' sl. rn" K .IIIClII. aly, il xin" ilcqllin's "
'" ilSH .
By II Rill" th!' s t'U1dard me th ods,
452
one estimates the decay constant F pQ ofaxion and the axion mass in the present model
as [ 1, 12]
(15.16)
Unfortunately, such an visible axion is phenomenologically unacceptable [ 13] .

To escape from this difficulty, we are forced to reintroduce the ,,( 2L interaction in the
model. This interaction explicity violates the Us(l) and may easily enhance the axion
mass to O(100GeV).
So far, we have discussed the mass spectrum of fermions in the TMSM. What is
the spectrum of composite Higgs bosons in this model? In the first scenario, with only
one,
"t, supercritical four-fermion coupling, there is only one composite Higgs doublet
(15.1). In the original papers [ 1,2], the mass of the Higgs boson h '" it was estimated,
by using the NJL formula (9.126)' as Mh ~ 2mt. However, later, Nambu [ 14] and
Shuto, Tanabashi and Yamawaki [ 15 ] showed that QCD interaction reduces Mh to
Mh ~
V2mt.
In the second scenario, with supecritical "t and
"h,
in addition to the Higgs fields
'Pt (15.1), there is another Higgs field
'P~ )
'Ph = (
'Pb
'" A
- 2
(-b(1
- 'Ys)b) .
_
t(1 - 'Ys)b
(15.17)
The spectrum of 'Pt and 'Ph was studied by Suzuki [ 16] and Luty [17]. For more detail,
we refer the readers to their papers.
15.3.
RENORMALIZATION GROUP METHOD IN THE
Top
MODE STANDARD MODEL
In this section, we will discuss a renormalization group approach to the TMSM

elaborated by Bardeen, Hill and Lindner (BHL) [ 4 ].
In Chapters 6,11 - 12, we used the method of auxiliary (collective) fields in th e
analysis of models with four-fermion interactions. This is also the initial step in the
BHL approach. Let us consider the interaction (15.4) in which, for simpli city,
" b
= O.
453
Then, we can rewrite this interaction in the following form:
(15.18)
where
(15.19)
(compare with Eq.(6.2)). Therefore, ignoring, for simplicity, gauge interactions, we get
the lagrangian density in the TMSM in the form:
(15.20)
There is no kinetic term for the Higgs field tpt .

Let us compare this lagrangian density with that in the SM (again, gauge interactions are neglected):
5M =i{/oL"/'8J.11jJ(O)
+ 8J.1tp(O)t8J.1tp(O)
_p(O)2tp(O)ttp(O) _
hgiO)7f;~O)tp(O)t~)
hgiO)~)tp(O)t1jJ~)
.>..~;) (tp(O)ttp(O))2.
(15.21)
Here all quantities are bare (unrenormalized). Rescaling the Higgs fields
tp = V2g}O)tp(O),
we rewrite
5M
tp(O)
as
tp(O) -->
as
Comparing this equation with Eq.(15.20), we find that the TMSM corresponds to
the following special limit of the SM:
(II)
!It
(15.23)
454

),(0)
- - 4 ->
(0)
(15.24)
0,
gt
{l(0)2
(15.25)
---zoi2 -> at 0) .
29 t
We recall that the condition that the bare Yukawa coupling goes to infinity was also
used in 3 dimensional four-fermion model in Chapter 11.
Since the running couplings approach the corresponding bare couplings as the renormalization scale a goes to A, the relations (15.23), (15.24) can be considered as boundary
conditions for the renormalization-group (RG) equations.
Let us consider the one-loop RG equation for the Yukawa coupling constant gt( a).
It is [ 4]:
(15.26)
where gl,
g2 and g3 are the running couplings of Uy (l), SUL(2) and SUc (3), respectively.
The one-loop RG equations for them take the usual form:
dgi
dIn a
Ci
-3
(15.27)
--=---g
1611"2'
with
(15.28)
where Nf is the number offamilies.

It is instructive to compare the RG equation (5.26) with the MTY analysis dis-
cussed in the previous section. In that analysis of the SD equations, the gauge Uy {l)
and SU L(2) interactions and the contribution connected with the exchange of virtual
Higgs bosons were neglected. The RG equation for gt takes the following form in this
approximation:
d-
~ = ~ [2N - 2 -8 - 2]
dIn a
1611"2
cgt
g3
(15 .29)
One can easily check that with the boundary condition 9t{a) ------>oo , this equ ati on a nd
u-A
equation (15.27) for g3 lead to the relation (15.13) for mt. Therefore, in thi s a.p prox imation, the MTY and the BHIo analysi ses are pe rfec tly cOll sistellt.
Numerical study of Eqs.(15.26), (15.27) yields the following values for mt

FEW
455
9t(md x
[4]:
mt ~ 229GeVat A =
mt ~ 218GeVat A =
1Q
1Q
15
GeV
19
GeV
(15.30)
These values are somewhat smaller than the corresponding values obtained by MTY
(see Table 15.1). This effect appears mostly due to the additional contribution of virtual
Higgs bosons in Eq.( 15.26) which reflects itself in the term 3 in the first parenthesis on
the right-hand side of Eq.(15.26). Let us discuss this effect in more detail.
As was noted at the end of the previous section, QeD interaction enhances the mass
of the t quark. Since the Yukawa interaction gives the contribution to Eq.(15.26) with
the opposite sign as compared to the QeD contribution, it tends to decrease mt. It is
clear that this effect is stronger in equation (15.26) than in Eq.(15.29) 0).
This effect can be also clarified in the following way. The structure of the right-hand
side in equation (15.26) suggests that its solutions are attracted toward the "effective
low-energy fixed point" [ 18,19]
(15.31)
In equation,(15.29), such a fixed point is at
(15.32)
which is larger than the value (15.31). This in turn leads to somewhat larger values of
The presence of this effective fixed point is also important for the following. It is
clear that th e boundary condition
(15.33)
indicates strong couplin g at th e hi gh scale
(J ' "
A which is generally an indication of a
new-p hys ics threshold . Us in g pert ur bative RG eq uati on at

*)
' I'hi " d i"c ""N io n i ,,'p li ("11 U",t th " "PPrt'''''' '' c,'
'///', ("N' S,'c , II" 7),
or [I,d di tio " ".1
(J
'"
A can be dangerous.
lIi ggs fi elds may red uce th e valu e of
456
Dynamical Symmetry Breaking in Quantum Field Theori e&
Therefore it is important to check how stable is the prediction of mt in the model under
the variation of the boundary condition for gt(a) at a = A. BHL showed that at high
A (A :2: 10 15 GeV), changing the value of gt(A) to unity instead of infinity results in a
less than 2 % changing the value of mt. Such a remarkable stability of the prediction
for mt is a consequence of the presence of the effective fixed point (15.31).
Let us now turn to the prediction of the mass of the Higgs boson. This mass is
determined by using the tree-level formula (see Eq.13 .5)
(15.34)
with the coupling '\(a) defined at a scale a ~ Mh. The RG equation for '\(a) is solved
with the boundary condition (15 .24) . The result is that at A > 10 15 GeV Mh is [ 4]
(15.35)
This is again smaller than the result
(15.36)
corresponding to neglecting the contribution of virtual Higgs bosons (see the discussion
at the end of the previous section).
Now, how about the consistency of these predictions of the TMSM with experimental
data? As was already indicated at the end of Sec.15.1, the present lower bound for
m t is 113GeV. The combinated data from neutrino experiments and from experiments
at CERN e+e- collider LEP yields for mt the following estimate: mt = 16427GeV.
Thus, at present , the predicted mt ~ 218GeV at A = 1Q19GeV in the TMSM seems
too large (although not completely excluded). However, as we will see below, there are
some modifications of the TMSM leading to lower values for mt.
457
15.4. WHAT DOES THE Top MODE STANDARD MODEL EXPLAIN IN ELECTROWEAK
DYNAMICS ?
Is IT EQUIVALENT TO THE STANDARD MODEL?
At the end of Sec.15.1, we raised four questions concerning electroweak dynamics.

What answers to these questions can be obtained in the TMSM ?
The first question was: why is the t quark so heavy ? The TMSM yields a very
natural explanation for this fact : the t quark is a very special particle providing the
dynamics of electroweak symmetry breaking. Therefore it is not surprising that its
mass is of order
FEW ~
246GeV.
The second question was : can Higgs bosons be in other, then doublet, representations of SUd2) ? In the TMSM the representation for the Higgs boson is defined by
the representations of quarks (see Eq.(15 .1)) . It is a doublet representation because just
this representation is selected by the four-fermion interaction (15.3). Of course, one can
look for higher representations connected with multi-quark bound states. But as we will
argue below, no such bound states are expected in the TMSM .
Let us turn to the third question: how many light (with masses of O( lODGe V)) Higgs
bosons are in electroweak theory? If we assume that a strong short-range interaction is
attributed only to one family of quarks, we will immediately conclude that there may be
at most two light Higgs doublets . In the first scenario in the TMSM, there is one light
composite Higgs field (see Eq.(15.1)) . In the second scenario, in which a strong shortrange interaction is attributed to both t and b, there are two composite Higgs fields (see
Eqs.(15.1), (15.17)) . Thus the TMSM gives a concrete answer to this question either.
The last question was: what is the spectrum of other, than ordinary fermions, W
and Z , and Higgs bosons, particles in electroweak theory?
As we shown in Chapter 5, all theories with spontaneous breakdown of the same chiral symmetry have the same low energy effective theories , <1-models. The only difference
between them is in the values of their parameters (coupling constants) . For example,
in the <1-model corresponding to QCD, considered in Sec.12.14, the Yukawa coupling
qu ark is
( 15.37)
wi t h
In dy" '"
:IOOI\ll pV ,\.lid Ii'.,. '" !):1 M eV . Nearl y th e same valu e should be valid for
Y ll k ' ~W il, (,() lI p l i ll ~H
or t('Chllir!'r lli io lis ill '1'(; .
458
This fact correlates with the point that, as we saw in Chapter 12, the N JL model
with cutoff Ax
IGeV is a reasonable effective theory of the chiral dynamics in QCD.
Indeed, let us look at the relation (9.133) for the decay constant F" in the NJL model:
F..2
2 Nc I n A2/
2
mdyn-2
x mdyn
47r
(15 .38)
This relation with Nc = 3 implies that in order to get g~) ~ mdyn/ F" :::: 3, the ratio
Ax/mdyn must be Ax/mdyn ~ 3, i.e., Ax ~ IGeV.
Such a relatively low Ax implies that in this case a new-physics threshold is also
low. Of course, in QCD, we are perfectly familiar with this threshold: it is nothing else
but the production threshold of such "non-chiral" particles as vector mesons, etc.. In
Chapter 12, in order to include them, the N JL model was extended to the EN JL modeL
Let us compare this situation with that in electroweak dynamics.
Of course in
the case of TC the situation will be similar to that in QCD, at least in that there
will be a lot of technihadrons. Let us however assume that the heaviest (elementary)
fermion participating in electroweak interactions is the t quark with the mass mt
~ FEW.
g; /47r 2
in chiral
Then, its Yukawa coupling is gt
'"V
1, and the characteristic parameter
perturbative theory is now at least 10 times smaller than in QCD. What does this imply
for a new-physics threshold A in electroweak dynamics? Let us assume that mt is a
dynamical mass and that the t quark is mostly responsible for electroweak symmetry
breaking. Then, the analogue of the relation (15.38) is now:
(15.39)
(compare with Eq.{15.15)). Then, we find that
(15.40)
i.e., in agreement with the analysis in TMSM, we find that the new-physics threshollid
in such a scenario has to be very high. Thus, the rather minor factor 3 ill the ratio
g~) /gt transforms, because of the logarithmic factors in the relations (15 .38 ), (J ~.39 ) ,
in a huge enhancement of the ratio A/mt in electroweak dynami s as compared with
the ratio Ax/mdyn in QCD.
This of course implies a very strong fine-tuning of the four-fermion coupling

the critical value
K.c
459
K.t
to
= 1: indeed
( 15.41)
(compare with Eq.(6.14)).

Since the new-physics threshold A is much higher than FEW, no light non-chiral
bound states are expected in this case; all these particles are very heavy (with M
rv
A)
and very unstable. In particular, returning to the question number 2 above, we conclude
that no light Higgs bosons in non-doublet representations of SUL(2) exist in such a
scenano.
This conclusion can also be interpreted in somewhat different way. What we have
encountered above is that the effective theory works in a wide range of momenta, FEW ;S
p ;S A ;:: 108 FEW The only possibility in this case is that such a "perfect" effective
theory is a renormalizable theory. Indeed, the renormalizability is synonymous with the

fact that a theory is well defined and can be used in a wide range of momenta.
Of course, in the present example, where the t quark is responsible for electroweak
symmetry breaking, this perfect effective theory is nothing else but the Standard Model!
One can consider the present consideration as a "derivation" of the microscopic dynamics
underlying the SM . In a sense, the TMSM is the SM in which two parameters (mt and
Mh) are fixed, or, at least, estimated. Let us discuss this point in more detail.
In Sec .11.3, 11.5 we considered a four-fermion model in D dimensional space-time
with D
< 4. We concluded that, at least for a large N c , this model relates to the same
class of universality as the (renormalizable) Yukawa model. In the continuum limit, the
dynamics in both these models is governed by the same infrared stable fixed point.
The conclusion remains valid (in this approximation) at D = 4 either, but in this
case the fixed point equals zero, i.e. both these theories become non-interacting theories
in th e continuum limit (compare with the discussion at the end of Sec .13.8).
Thus, one may expect that a) th e TMSM and the SM relate to the same class of
universa.lity arr d I) tlr ey are norr -irrterac tin g theories in th e continuum limit . The latter
illlpli ('s tlril,t hoU,
t11(' ~C
U'cori s ar(' il.cl " iI,IIy cffcctivc: both of th em must be considered
with a" "ltr;"vi<>ld (, ,,1.011' II (;t
II (' W
physics thres hold) .
460
In connection with this the following questions arise: Is the TMSM more predictable
than SM ? Or is the predictive power of the TMSM illusive?
These questions have been recently intensively discussed in the literature [ 20 - 23].
The central point in the discussion is the following. One can expect that the fourfermion interaction comes from some more fundamental interaction connected with the
scale A (for example, gauge interactions with heavy (Mv
A) vector bosons). How
unique are predictions for low energy dynamics in a theory with the fundamental interactions replaced by the four-fermion ones?
In the language of the effective theory, what happens is the following . Integrating
out fields of heavy particles connected with the scale A (as those vector bosons with
Mv '" A), one obtains a tower of non-renormalizable interactions. These interactions
are organized in terms of a derivative expansion, in increasing powers of derivatives and

numbers of fields. The term with the nonderivative four-fermion interaction is just the
leading one in this expansion. Why can we neglect all others?
It is clear that without knowing the characteristics of the fundamental dynamics,
one cannot justify this approximation. However, as we will show below, for a rather
wide class of the fundamental dynamics (including, in particular, asymptotically free
interactions for heavy vector bosons with Mv
A), this is a good approximation for
the description of the low energy dynamics.

Let us begin by recalling the main arguments and conclusions of Ref.[ 22]. These
authors, following Suzuki [ 20 ], considered the so called generalized N JL model, with
four-fermion interaction of the form
(15 .42)
Introducing the auxiliary fields a and
41
-+
7r
one gets the following lagrangian density :
= -({;'I/J + S(O)8/l{;8/l'I/J)a - ({;i-ys'I/J
+ S(O)8/l{;i'Ys 8/l'I/J)7r - 2d(o) (a 2 + 7r 2).

(15.'13)
The model was analyzed at the leading order of the liNe expansion. The main can '1,,sions are the following[ 22]:
461
a) the model relates to the same universality class as the linear a-model. In particular, varying the parameter
mdyn
in Eq.(15.42), one can change the dynamical mass
5(0)
of fermions as a function of the decay constant F;
b) to leading order in liNe, the scalar mass M(f is
(15.44)
in both generalized N JL model and linear a-model.

The conclusion of the authors of Ref.[ 22] is that without specifying a fundamental
dynamics at p2 2: A2 , determining in particular the parameter
cannot fix the fermion mass
5(0)
in Eq.(15.42), one
mdyn'
Although we agree with this general statement, let us show that on the one hand,
for a rather wide class of models of the fundamental dynamics one gets the predictions
for
close to those in the N JL model without the S(ol-term, and on the other hand,
mdyn
a large deviation from this value of
mdyn
implies a rather specific character of that
fundamental dynamics.
The central point is that to leading order in l i Ne, the solution of the SD equation
for E(p) in the generalized NJL model takes the form [20,22 ]:
(15.45)
where s == A2S(0). Using the Pagels-Stoker formula (12.126) for the decay constant F,
(15.46)
we find
( 15.47)
T hi s rr la,j,ioll ililpli!'s th at the S(OL terrn in the ge neralized NJL model becomes essential
o lil y if
.'1
;(.
111 ( 1\ 2/ 111 2 ). Wh itt.
U OCH
slI (, 1o a ll ( lIhilli ce ment. of th e derivative interaction
1. (" '" ill 1':'1 ( I:, ,I' ) ",,', III fr fl ill till' plo .vsic;,J vi!'w poilii. '!
462
To answer this question, let us note that the additional term in I:(p) (15.45) connected with the derivative interactions looks rather unusually: it becomes relevant only
at very high momenta p
rv
A, and, moreover, at p ;::: A, it increases with momentum.
Such a pathological behavior suggests that the only appropriate interpretation of this
term is as a term in the power expansion of a piece Bjyn(P) in Bdyn(P) induced by
the high energy dynamics (with P ;::: A). What kind of the dynamics might lead to
Bjyn(P) which essentially changes the relation between F and mdyn in Eq.(15.47) ? Let
us first consider a rather conservative scenario with the short range dynamics described
by asymptotically free gauge interactions with heavy (Mv
rv
A) vector bosons. Then
Bdyn(P) is
(15.48)
with B~yn(P)
rv
(j(A - p)mdyn, Bjyn(P)
rv
(j(p - A) . mdynA2/p2. As was shown in
Sec.12.3, because of asymptotic freedom, Bjyn(P) rapidly decreases with increasing the
momentum (the coefficient mdynA2 in Bjyn(P) is determined by continuity of Bdyn(P)
at P = A) . Since the contribution of B~yn(P) in F2 is (see Eqs (15.46) and (15.47))
(15.49)
and that of Bjyn (p) is
(15.50)
this latter is irrelevant if In(A2 /m~yn) ~ 1. We recall that this condition (with A
1015
..;- 1Q
19
G e V, mdyn
rv
rv
100Ge V ) is fulfilled in the TMSM scenario .
In fact it is not even necessary to accept that the dynamics beyond cutoff A is an
asymptotically free dynamics with rapidly decreasing (like in QCD) running coupling.
For example, in walking TC (see Chapter 14), where Bjyn(P)
rv
mdynA/p the logarithmic
term (15.49) will again dominate in F2 at In A2 /m~yn ~ 1.

It is clear that in the general case of the high energy dynamics with the asymptotics
(15.5J)
8 ~ 0, the high energy piece (F2h can be relevant on ly if 8 is vcry s mall , i.c. if thcrc is
no practically any form fact or connected with the scale II. One
A itself becomes rath er illus ive in this
(,<lSC.
C<l.n
say tha.t th e c ut off
463
Introducing the SU c(3) x SUd2) x Uy(l) gauge interactions does not change essentially this conclusion.
Thus one expects that there exists a wide class of models with high energy dynamics
leading to the same predictions as the TMSM. One such a model will be considered in
the next section.
15.5.
DYNAMICAL ORIGIN OF THE
Top MODE STANDARD MODEL
As was noted in the previous section, one should expect that the TMSM comes from
a more fundamental interaction. Attempts to derive the TMSM from renormalizable
interactions were undertaken in Refs.[ 24,25]. Here we will consider one such a model
(the topcolor model) introduced by Hill [ 24 ].
Let us begin by considering the TMSM lagrangian density (15.4) with "'b = 0:
(15.52)
where G~O) = J,7r~2 "'t . By using the Fierz transformations, considered in Appendix B,
this interaction can be rewritten as
(15.53)
where F( are the matrices from the fundamental representation of SU(Nc). This suggests
that the TMSM can be derived from a (broken) gauge interaction mediated by heavy
(M v '" A) vector bosons (this resembles the ETC scenario (see Chapter 13)) .
The basic point in the topcolor model is an extension of the Standard Model to the
model with the gauge interaction (N c = 3)
(15.54)
Thus, in the mode l, ins tC<l(1 of the ("olo r illtt'ril. ti oll SU c(3), we have the gau ge interaction
464
In order to distinguish the top quark from other fermions, one assigns light quarks
and leptons to the following representations under ( SU I (3), SU 2(3), SUL(2)):
( 15.55)
UR, dR, CR, sR, bR ->
eR,j1.R , TR, (ViR) ->
(3,1,1),
(1 , 1,1),
while the t quark is assigned
( : ) L ->
(1,3,2),
tR ->
( 15.56)
(1,3,1) .
One can see that the interactions connected with the SUI (3) and SU2(3) groups
are not anomaly free (compare with a discussion in Sec.13.3). In order to cancel these
anomalies, one introduces the following electroweak singlet quark:
QR
->
(1,3,1), QL
Both QR and QL have electric charge Q
= -~,
->
(15.57)
(3,1,1).
hence hypercharge Y = -~.
The crucial dynamical assumption in the topcolor model is that at the scale A the
symmetry SUI (3) x SU 2(3) breaks down to the color group SUc(3). For this purpose, one
uses a scalar field ~, which transforms as (3,3,1) and whose effective potential leads
to a vacuum expectation value of the form (OIIO) = diag(A, A, A). Thus, the usual
(unbroken) color SUc (3) is the diagonal subgroup of the SUI (3) x SU2(3) . There are
eight massless gluon fields Ct[ connected with the SUc(3); also, there are eight massive
vector bosons ("colorons") at[ connected with the generators of the coset [SU I (3) x
SU2(3)]/SU c (3).
To avoid additional light ferrnions, Q must be given a large Dirac mass:
( 15.58 )
In order to arrange a strong interaction of the t with colorons, one
the gauge coupling
h2
i\.~S llm <' s
Ural.
of the SU 2 (3) is Illil ch la rg<' r than th e gall ge COil piin g 11,\ of th ('
465
SU1 (3). Then, the gluon and coloron fields are defined by
(15 .59)
where the mixing angle
e is
e=
hl
arctan h2 .
(15.60)
The gauge coupling g3 of the color interaction is
g3 =
Vh~ + h~
(15.61 )
The mass of the degenerate octet of colorons is
(15.62)
The SU c(3) current is the usual QeD current while the current interacting with colorons
(multiplied by its coupling strength) is:
(15.63)
Since h2 ~ hl' the ratio
(15.64)
is very la rge, i.e. the t quark interacts with colorons much stronger than other quarks.
Eqs.( 15.53) and (15.63) imply that
(15.65 )
466
Few comments are in order. In the previous section, we discussed the possibility
of changing the predictions of the TMSM due to the appearance of higher dimension
operators in the model. The topcolor model allows computation of the strength of these
operators (as the coefficient 5(0) in Eq.(15.42)). The result is that their strength is small
[ 24]. This agrees with the general conclusion of the previous section.
In the TMSM, the coupling constant Kt must be tuned very precisely to the critical
value Kc in order to arrange a huge hierarchy between the scales mt '" FEW and A.
The same fine-tuning for the gauge coupling g~cot2e has to be arranged in the topcolor
model. The best-known way to overcome this problem is supersymmetric extension of
the dynamics [ 26]. However, there may exist other (dynamical) possibilities to deal
with this problem (or even to use the fine-tuning; see the next section). In fact, it is
possible that this problem reflects our poor understanding of short distance dynamics
connected with the scale A. There is a famous analogue of this in cosmology: the change
of the standard cosmological scenario at early times (introducing the inflation scenario)
solved the fine-tuning problem connected with the initial density of the matter in the
universe [ 27].
Also the recent development of the wormhole approach in quantum gravity has
shown that the problem of the fixation of values of coupling constants can be dynamical
[ 28]. In this context, it is worth noting that critical values of coupling constants
connected with second order phase transitions (conformal points; see Chapter 11) are
very special.
For some speculations in this direction see Ref.[ 29,30]. We also would like to
indicate recent interesting speculations concerning solving the fine-tuning problem in
the framework of self-organizing criticality approach [ 31].
The topcolor model, in its original form, does not address the problem of generating
masses of the fermions other than the t quark. As in the TMSM, to generate these
masses from the t quark condensate, one must introduce additional interactions. A
particularly nontrivial problem is generating the masses of down fermiolls from this
condensate in models in which (as in the topcolor model) the fundamental interactions
are gauge interactions. The point is the following [32,33 ]. To generate a mass of a down
fermion, say the b quark, from the ft -condensate, one must use the K(2Lintefitct.ion:
467
(15.66)
where the field 7/J describes the t and the b quarks (see Eq.(15.3)). As we already pointed
out in Sec.15.2, this interaction explicitly violates the axial (Peccei-Quinn [ 11
D Us(l)
symmetry. Of course, there is nothing in principle that is wrong with this its feature,
but the point is that it is rather difficult to obtain a relatively strong 1\:( 2L interaction
(which may produce the mass of the b) in gauge theories with short-range interactions.
Let us discuss this point in more detail.
In Sec.12.12, we considered the effective action in QCD obeying the anomalous
conservation law for the Us(I). The microscopic dynamics which breaks the Us(l) is
essentially nonperturbative and is connected with instanton-like configurations in the
QCD path integral [ 34,35]. The reason of this is that although the ABJ anomaly
(12 .8) violates the conservation of the Us (l) current even in perturbation theory, the
Us (1) charge is perturbatively conserved (for a review see Ref.( 35
D.
As a result, the
U s (1) remains a good symmetry in perturbative theory. Moreover, since the contribution
of an instanton-like configuration is proportional to the factor exp ( -
:t;:,t)) , where
a(p-l) is the running coupling calculated at the scale p-l with p being the size of
the configuration, the dominant contribution is provided by '1arge" instantons, with

p;:: AQ~D' for which a(p-l) is large.
In gauge theories with broken gauge groups, there are only "small" instanton-like
configurations, with p ;S Myl, where Mv is a mass of gauge bosons . In this case, a(p-l)
is small, and the contribution of these configurations is strongly suppressed (for example,
in the SU (2) x Uy(l) electroweak theory, a'" 10- 2). As a result the coefficient 1\:(2) in
the interaction (15.66) is very small, and one cannot generate realistic masses for down
fermions.
In the next section we will consider a model which solves this problem.
15.6 . WilY
IS THE
QUARK MU C H HEAVIER THAN THE
b QUARK?
In th e ori ginal TMSM, besides th e mass of the t, all masses of other fermions remain
unJ c fill cd . In thc prescnt sec ti on we will consider a model which shares some features
with t.he TMSM ;\JId whi ch sugges t.s a dyna.rni cal cxplanation of the origin of the fermion
IlI (lSS Sp(ct,r lllll. 'I'll(' "" ,lkl w"s (' l a,hora,t,('(1 by M elldel a nd t.hc present author [ 36,37].
468
Dynamical Symmetry Breaking in Quantum Field Theone!
The spectrum of the ordinary fermions was considered in Sec.13.3. The quark spectrum is characterized by the following striking features: 1) There is a large hierarchy
between quark masses from different families. In particular, the mass of the b quark is
3 orders of magnitude larger than the mass of the dj 2) The isospin violation is very
different in different families. Assuming 164Ge V for the mass of the t quark (the central value from neutrino experiments and from experiments at the CERN e+e - collider
LEP), one finds that while mu/md '" 1, the ratios mc/m. and mt/mb are mc/m s '" 7 and
mt/mb'" 30'). These experimental facts point out that the isospin violation becomes
stronger with increasing the quark masses .
As we will see, the model [ 36,37] suggests a dynamical explanation of a correlation
between these two features of the quark spectrum. The basic idea in the model is
to separate the dynamics primarily responsible for the generation of the Wand Z
masses from that responsible for triggering the complicated structure of the fermion
mass matrix . As a first step, we assume that the dynamics leading to the Wand
Z masses generates the same (or nearly the same) mass
m(O)
'"
1M e V for all six
quarks (SUf(6) symmetric mass spectrum)"). What kind of the dynamics can do this
job? This, for example, can be a dynamical Higgs mechanism with a Higgs doublet
composed of t ' and b' quarks of a possible fourth family. The Higgs mechanism will lead
to the masses of the Wand Z and to the SUf(6) symmetric quark mass spectrum ).
Another possibility is that a regular (and not "strong", considered in Sec.14.3) extended
technicolor (ETC) does this. As was shown in Sec.13.7, to suppress flavor-changing
neutral currents (FCNCs), one must use a large, METC
==
AETC/9ETC ~ 100TeV, scale
for ETC. As a result, only light fermion masses, O( 1M eV), can be generated. If all
fermions were so light, this would be a great triumph of ETC! However, the actual
situation is quite different: the masses of quarks from the second and third families are
much larger than 1MeV. This was a serious problem for ETC. However, in the present
model, at the first stage, all of the quark masses are of O( 1M eV). Therefore we may use
ETC to generate such masses. Moreover, we can consider this as a natural explanation
of a mystery why the u and d quarks are so light : we assume that the scale 1M e V
occurs in ETC .
) Here all the masses are current masses of fermions .

.. ) We will concentrate on the quark spectrum, mentionin g le ptons briefl y at th e e nd .
) Of course, even the conventional Higgs mechanism with an ele me ntary Higgs field CiLn d o thi, .
469
Actually, the scenarIO with the fourth family and the TC scenarIO can be very
similar. For example, recently, Martin has shown how "self-breaking" TC may produce
the fourth family responsible for electroweak symmetry breaking[38].
Henceforth, for concreteness, we will consider a scenario with ETC, although one
should keep in mind the possibility with the fourth family.
To generate the Wand Z masses, the minimal anomaly-free TC model with one dou-
(~)
blet
of technifermions, having charges Q
the fermion mass
m(O),
generated by ETC, as
= ~, is used
m(O)
(see Sec.13.5). Choosing
co: 4M eV and using rescaling rela-
tions to get the TC condensate from the QCD one, one finds AETc/gETC '" 3 10 2TeV
for SUTc(NTC ) with N TC ~ 4.
To generate the realistic masses for quarks from
m(O)
co: 4M e V, one introduces an
additional horizontal interaction acting in the family space and commuting with the
SUd2) x SUR(2). It is broken in such a way that it is essentially stronger for the third
family than for the two first ones: G~
==
47r2K;~/Nc(A~)2::;P G~
==
47r2K;~/Nc(A~)2,G~
==
47r K:~/ Nc(A~)2 , where A: , i = 1,2,3, are masses of corresponding vector bosons. FCNCs
2
are suppressed by choosing the scales A: large enough. We will choose A~ '" AETC
==
A and A~, A~ ~ A~. In the low-energy region, this short-range interaction can be
approximated (as ETC) by the four-fermion interaction.
Since the horizontal interaction commutes with the SUL(2) x SUR(2), it cannot lead
to splitting the masses of up and down quarks. We will return to this point below.
Let us show how the horizontal interaction enhances the fermion masses. First, for
illustration, let us neglect the SM interactions. Then in the mean-field approximation,
the Schwinger-Dyson equation for the mass functions Bt(p2) and Bb(p2) have the same
rorm:
(15.67)
wll ('I"('
I-Jo(q ?) is til e i,('Cllllir<: J"llIi o li Illass flili c ti o ll (for concreteness, we consider the
S I) ,qll ll.t.i o /l ro r til(' IIlitS,", rUlidi o ll o f til!' /1) . '1'11 <' fir st tNIll on the le rt-ha nd side of
470
(15.68)
Equation (15.67) is equivalent to the following algebraic equation:
(15.69)
with mb
==
Bb
(compare with Eq.(9 .84)) . This equation implies that the ratio mb/m(O)
changes from one to O(A2/ml) when the coupling II:~ increases from zero to the critical
value
II: c
= 1 (compare with Eq.(11.126)). In the region with
(15.70)
one finds [ 36,39,40 ]:

(15.71)
This relation has the form of a resonance solution with a pole at II:~ =
1 - II:~
'"
10-
II: c
= 1 Taking
one gets mb '" 5Ge V .
We emphasize that the central point in this enhancement mechanism is the fact that
a fermion mass function generated by ETC is a slowly changing function of momentum
in the region with q
rapidly at q2
,:s
,:s
A ETe == A ~ ATe (see Sec.13.6). Indeed, if Bb(q2) decreased
A~e, then the second term on the right-hand side of Eq.(15.67) would
be very small,
(15.72)
and the enhancement effect would disappear.

Another important point is that, in the near-critical regime, a resonance solution is
unstable under small perturbations. We will use this feature below to generate a large
ratio mt/mb due to the hypercharge Uy (l) interaction.
471
It is clear that the present model shares some features with the TMSM. However,
there is an essential difference between them . While in the TMSM, a self-interaction

of the top is responsible for both eledroweak symmetry breaking and the generation
of fermion masses, in the present model , the self-interaction of the t and b essentially
enhances their masses generated by ETC and thus triggers the structure of the fermion
mass matrix. However , it is not responsible for eledroweak symmetry breaking. As a
result, the problem of strong fine-tuning of the TMSM can be avoided: while
10- 30
10- 38 in the TMSM (see Eq.(15.41)),
K~
Kc -
Kt - K c '"
10- 3 in the present model.
'"
Moreover, since the mass m(O) plays the role of the bare mass with respect to the
horizontal interaction , the coupling K~ is (although near-critical) subcritical.
Let us now show how the hypercharge Uy (l) interaction may lead to a large ratio
mt/mb
in the near-critical regime.
When the SUc (3) x SUL (2) x Uy (l) interactions are taken into account, the SD
equation (15.67) , and a similar equation for Bt(p2), changes.
We will now use the
improved ladder approximation for these equations (see Sec.14.2) . First of all , we note
that in the present case of the four-fermion interaction with additional gauge ones,
the relation (15 .71) must be slightly modified. As directly follows from the analysis in
Sec. 14.2, this relation now takes the following form for
mb
and
mt:
m(O)
(15 .73)
mb = !::..Kb'
m (O)
(15.74)
mt = !::..Kt '
where
(15 .75)
(15 .76)
wi t h
N 2 -1
Cib(A) = ~N Ci3(A) - - Ci1(A)

2
18
N; - J () 1 ( )
&t ()
A =~Ci3 A + gCi1 A .
II ('1"('
(:I
((7)
)\11(/ (V I
(I) )
.1.cl. iOl IH, 1('H I)(d i v!' ly.
a.I"( '
til('
1"1\11 IIi 11 /\ ("0 11 pli
TI t( d i rr(' r(' 1I1,
(15.77)
li S of th e color a nd th e hyperch arge inter-
('() lIl,lilllll.i Il Il H II f
ti t('
(Iy( I ) ill tl'radion to mb
and mt
472
At A = 100TeV, the color coupling a3(A) is a3(A) == 0.055 and the hypercharge
one is al (A) == 0.01. We now present a toy numerical example. Taking m(O) = 4M eV
("bare" mass generated by ETC) and IlKt = 2.7 .10-' , one finds IlKb = IlKt+ 4~ al (A) ==
8.7.10- 4 Then, through enhamcement (15.73), (15.74), we obtain mt == 150GeV and
mb =
4.5GeV!
Thus, in the near-critical regime, the perturbative hypercharge interaction can be

the origin of a large mt - mb splitting. An interesting point in this model is that there
is a correlation between the fact that the b quark is 3 orders of magnitude larger than
the mass of the d and that fact that there is a very strong isospin violation in the third
family. Indeed, since we started from the mass m(O) = 4M eV, which is of the order of the
magnitude of the masses of quarks from the first family, we should use the near-critical
enhancement mechanism with IlKb '" 10- 3 , to get mb which is 3 orders of magnitude
larger than m(O) '" m u , md. But IlKb '" 10- 3 corresponds to a near-critical regime in
which the hypercharge interaction with 4~al(A) '" 10- 3 just becomes relevant!
Although the present calculations can be considered only as illustrative, they clearly
reveal interesting features of the near-critical dynamics.
As was already pointed out in Sec.14.5, the nerar-critical dynamics leads to tightly
bound spinless states. Since in the present model the coupling K~ is (although nearcritical) subcritical, there are four nearly degenerate composite states,
'Pt = ( 'P?)
'P-;
'" A -2
(f(1+I',)t)
_
t(1 + I',)b
(15.78)
(-b(I-I',)b)
_
t(1 - I',)b
(15.79)
and four other nearly degenerate ones,
'Pb = ( 'P~)
'Pb
-2
'" A
(two composite Higgs doublets). Of course, there is also one composite techni-Higgs
*) Since the SUL (2) gauge bosons couple o nly to left-hand ed fe rmio ns, th ey do no t co nt rib ute to
the SD equations in the present app roximation.
473
doublet ,
'PT
('P~)
-
'"
'PT
F- 2 (FF2F~ FI'+F
ST F).
EW
(15 .80)
1ST
A low energy effective action in this model for 'Pt , 'Pb, 'PT and ordinary fermions was
derived in Ref.[ 37). Here we will indicate main features of this action .
The key point in the derivation of the effective action is weakness of the ETC
interaction. In fact, rewriting it as the Yukawa interaction.
(15 .81 )
in the low energy (q ~ A) region, one finds gT

4M e V, VT
= J2( 01 'P~ 10)
(here rpT
c::: FEW
= m(O) /VT
iT2 'PT'
c:::
1.5 . lO- s with
m(O)
and the primes indicate that a
weak basis for fermions is used). One can show [ 37 ) that, due to smallness of gT, the
only relevant effect of ETC in the action is the appearance of the mixing term
( 15.82)
in the potential, with /lm '"
FEW.
strongly suppressed (by gT '" lO-
All other terms in the action connected with ETC are

S
).
We would like to note that the interaction (15 .82)
(softly) violates the PQ, Us(I), symmetry. The microscopic origin of this violation is in
the TC instantons. Since all other terms connected with ETC are strongly suppressed,
this interaction is the only source of the violation of the PQ symmetry in the model.
As a result of the mixing 'PT with 'Pt and 'Pb, the neutral components 'P~ and 'P~
acquire non-vanishing vacuum expectation values 'P~ =
72 and 'P~ = 72'
the hypercharge interaction, the value Vt is much larger than Vb : Vt c:::

and
v} + vl + vg
Because of
'1-, Vb
c:::
2Ge V,
Flw [ 37 J.
The 'P! and 'Pb interact with the t and b quarks:
(15 .83)
wh C'r(' ti l(' Yll kaw a cO ll plill g 9! a lld 911 ar(' 1I (,a,rly th e same:
'iI /..
t. iI ,' I. q ll a.r k iN IIllICh h,'lWi" I' til a ll 1.11(' b.
[J! c:::
gb c::: ].4 [37). Therefore,
474
Of course, the 'PI and 'Ph also interact with quarks from the first and second families. Let us show that in the model the Glashow-Weinberg (GW) scheme (discussed
in Sec.13.4) naturally occurs. We recall that in the GW scheme, the doublet 'PI generates masses for up quarks and 'Ph generates masses for down quarks. In this case,
the Yukawa interactions preserve the PQ, U5(1), symmetry, But this is exactly what
we have encountered in the present model: as was pointed above, only the interaction
(15 .82) violates the PQ symmetry in the model; all other terms, including the Yukawa
interaction terms, preserve (up to small corrections of O(9T) ~ 10- 5 ) this symmetry.
Thus, the model yields a dynamical realization for the GW scenario. The interaction
(15.82), violating the PQ symmetry, plays the important role in the model: it gives a
large (M ~ O(100GeV)) mass to axion, thus escaping the difficulties with visible light
axion (see Sec.15.2) [ 37].
We notice that in the modification of this model, in which the fourth family substitutes Te , it is important to have a strong (although broken) gauge interaction for the
fourth family fermions in order to use the instanton dynamics for the (rather strong)
violation of the PQ symmetry. For a detailed discussion of this point, see Ref.[ 33] .
One can in principle use 'Pt and 'Ph to generate also neutrino and l masses, respectively. It looks quite natural in the case of grand unified theory scenarios. There is an
alternative [36]: using two additionallepton-antilepton composite doublets 'PV and 'Pr
T
to do this.
The most interesting prediction of this model is that there is a clear signature for
the resonances 'Pt (with the mass M
600Ge V) to be seen at large hadron colliders, or
at a very high energy e+ e- collider [ 37].

We conclude this section by saying that the near-critical dynamics can naturally
produce the main features of the observed fermion spectrum.
15.7 .
MORE ABOUT MODIFICATIONS OF THE
Top
MODE STANDARD MODEL
In this section, we will briefly discuss some modifications of the simplest TMSM .
1) Forth Family Models

Modifications of the TMSM by using a fourth family of fermi o ns for eled roweak
symmetry breaking were already considered in Refs. [] -'I] . MTY ( ee th e second pape r
475
in Ref.[ 1 ]) and Marciano[ 3 ] discussed the modification in which the contribution to the
electroweak condensate of an almost degenerate fourth family of quarks is comparable to
that of the t quark. In this scenario, mt is roughly reduced by factor 1/,j2 as compared
to the TMSM.The low energy effective theory in this case corresponds to the two Higgs
doublets SM [ 3].
BHL [ 4 ] considered another modification in which the top quark would not play
an essential role and its mass would not be predicted.
Since experimental data have proved that there are only three light neutrino species
interacting with the Z boson [ 41 ], in these modifications, a mechanism providing a
mass
mvT , >
M z /2 for a forth family neutrino must be introduced. Such a mechanism
was studied by Hill, Paschos and Luty [ 42 ].

The dynamical origin of fourth family models was studied by King and Elliot
[ 33,43 ].
2) Supersymmetric Models
The supersymmetric extension of the TMSM [ 26 ] contains two composite Higgs

multiplets. The predicted mass of the t quark is in the range 140GeV < mt < 190GeV.
3) Models with additional Higgs bosons
As was already pointed out in Sec .15.3, the appearance of additional Higgs fields may
reduce the value of mt. Babu and Mohapatra [ 44] considered a model in which, besides
the composite Higgs doublet 'PI, there also are two isosinglet color-triplet composite
Higgs fields . As a result, the top-quark mass was predicted to be mt = 160 - 200GeV.
4) Grand Unified Theories
Since the composite scale A is necessarily very large in the TMSM, this suggests
th at this scenario may be naturally extended to grand unified theories (GUT) [1,4 ]. A
new point in such GUT scenarios is that their Higgs fields are composed of the ordinary
fermi ons.
A conCl:ete example of th e extension of th e TMSM to GUT has been considered by
Ba nd o, Ku go and S uchiro [ 10 ] and by Achim an and Lukas [ 45 ]. They considered
/ )'6 (;
U'I' in whi cll ;,,11 lIi gg~ (j ('lds ar(' f(' rmi oll f(' rmi on composites. The model predi cts
1II t ~ IO()(.'(' V
a nd (k srr ihl'H til l'
11 1<11<1'1<
fI.II(l IIli xill p,
a.Il p, II 'N of
th (' light ne utrinos [4 5 ].
476
Thus, the idea of strongly self-interacting (ordinary) ferrnions has yielded new rich
possibilities in model building.
Appendix A
Dirac Equation
The Dirac equation takes the form
(A. 1)
where the matrices ,.,,1' satisfy the commutation relations
(A.2)
By using these commutation relations, one can show that all products of,." matrices are
reduced to one of the following sixteen elements:
I,
,.,,0, ,.,,1, ,.,,2, ,.,,3,
,., 0,.,,1 , ,., 0,.,,2 , ,.,,0,.,,3, ,.,,1,.,,2, ,.,,1,.,,3, ,.,,2,.,,3 ,

,.,,0,.,,2,.,,3, ,.,,0,.,,1,.,,3, ,.,,0,.,,1,.,,2, ,.,,1,.,,2,.,,3 ,
(A.3)
,.,,5 == _i,.,,0,.,,1,.,,2,.,,3.
A set of matrices satisfying the commutation relations (A.2) is called a Clifford
algebra. We need to know the following facts [ 1 ]. The sixteen elements fi in Eq.(A.3)
are linearly independent. Apart from equivalences, there exists only one irreducible
representation of this algebra.
The most frequently used representations of the Dirac matrices are the following
two ones: the spinor representation with ( see Eq. (1.24) )
,/ (00" -0")
'
ao )
(A.4)
and th e standard representation with
(A.S)
II hi s pilHII
I'
(~)
ill till' Ml..lIIdard r(' pl ('S(' lI l.Id.ioll iN('xpr(,Ns('(1 t.hrollgh t.h e bis pinor
177
478
Appendix A
(~)
in the spinor representation as
(A.6)
The general solution of the Dirac equation takes the form
(x)
=~
(27r)
where pO = Vp2
L Jcf p [b(p,s)u(p,s)e.=l
+ m 2 and
iPX
+dt(p,s)v(p,s)ei PX ]
(A.6)
we take the spinors u(p, s) and v(p, s) to be helicity eigen-
states, that is
E p
Ep
lPIu(p, s) = su(p, s), lPIv(p, s) = -sv(p, s) for s = I ,
(A.8)
where
(A.9)
They satisfy the Dirac equations
(Tl'pl' -m)u(p,s) = 0,
(Tl'pl'
+ m) v(p, s) =
(kIO)
0 ,
which in terms of the adjoint are
u(p, s) (Tl'pl' - m) = 0
v(p,s) (Tl'pl'
+ m) = o.
(A.1l)
We will use the following normalization for them
ut(p, SI)U(p, s) = v t( p, SI)V(p, s) = 6...
(A . 12)
Appendix A
479
The explicit form of these bispinors in the standard representation is:
u(p, +1) =
u(p, -1) =
(A .I3)
v(p, +1) =
v(p, -1) =
where
(A.14)
with n
= p/p, p = Ipl. One can check that unw = w.
In the spinor representation, using Eq.(A.6), we find
p
m
u(p,+l) = ( a + ) 1/2
~
pa + m )
u(p, -1) = (
~
pa +m )
v(p ,+ l) = (
~
'1)( 11,
I) =
P0
(
+m
11]l1l
1/2
1/2
]
[~w ]
p+m +
[~w
pOtm-pw'
p +m
+
p +m pOtm+Pw_'
p +m
[P_PO
-m ]
~w+
pOt m
+p
)1/2 [l+~;:p~+]
~w_
I
f ..::!.!.!.UL
11 I ru
(A. IS)
480
Appendix A
For a massless fermion (m = 0), these expressions essentially simplify:
u(p, +1) =
u(p, -1) =
v(p, +1) =
v(p, -1) =
(~+)
(:-)
(:+) ,
(A.I6)
(Wo- )
Therefore at m = 0, the helicity eigenstates are assigned to the irreducible representations
(t, 0) or (0, t)
of the Lorentz group: right-handed ferrnions with s = +1 are
'''(t, 0),
(0, t) .
described by a spinor
dotted spinor
ryixE
75 =
-ao
(
and left-handed ones with s
0)
ao
and 75 =
(0
-ao
= -1
are described by a
-ao )
(A .I7)
in the spinor and standard representations, respectively. Therefore the matrices
_ I+(-hs
PL(R) 2
(A .I8)
are projection operators for dotted and undotted spinors, respectively; at m = 0, PL is

the projection operator for states with s = -1 (left-handed fermions), and PR is the
projection operator for states with s = +1 (right-handed ferrnions) .
One can check that the spinors u(p, s) , v (p, s ) satisfy th e following useful relations
[ 2]:
u(p,s)u(p ,s')
=0=
t( p,s )u(- p,s') ,
(JI. 19)
Appendix A
where u( -p, s)
== u(Po, -p, s),
"L
481
and
_
U a(P,s)u,8(p,s)
m)
a,8
m)
= (PI""II"
20+
'
(A.20)
s=l
p
L
va (p,s)v,8(p,s) (
s=l
"II" I" 2
a,8
The field 1/;( x) satisfies the canonical equal time anticommutation relations
{1/;(x), ?,b(y)}
!xo=Yo
= "I08
(x - y)
{1jJ(x) , 1/;(y)} !xo=Yo = {?,b(x), ?,b(y)}
(A .21)
!xo=Yo
= 0
With the normalization (A .12) for the spinors u and v, these relations imply the following
anticommutation relations for band d:
(A.22)
with all other anticommutators being zero.
Let us consider the operations of charge conjugation, and space and time inversions.
The charge conjugation transformation is
(A .23)
where T means the transposition operation, and the matrix C satisfies [ 1, 2 ]
(A.24)
One can see the physical meaning of this transformation by considering Dirac's
equation in an external electromagnetic field AI":
(A .25)
Then taking th e complex conjugate of this equation, we find from Eqs. (A.23) and
(A.21) that
i (-/' 0"
+ (' II,,) 1/;c -
m1/;c = 0 .
(A.26)
482
Appendix A
In the both spinor and standard representations, the conditions (A.24) are satisfied
by the matrix C = 1]e"l2"10 , the constant
being arbitrary. Assuming that the charge
1]e
conjugation operation (; satisfies the condition (;2

convenient choice for
1]e
is
1]e =
1, we find that
l1]el 2
1.
1:
(A.27)
Eq.(A.23) implies that in any representation of Dirac's matrices, "I'I'
with U being unitary, the matrix C ' is
C'=UCU T .
(A.28)
In the spinor representation, we find
(A.29)
and therefore:
ex
1/JeL
_
=
eeex -_
. exfJ (
- It
) . _
. exfJ
1]fJ
-It
1/JRfJ
(A.30)
Thus charge conjugation transforms left-handed fields into right-handed ones, and vice
versa.
Sometimes, it is very convenient to use the Majorana representations for "I-matrices.
It is connected with the standard representation by the unitary matrix
(A.31)
The matrices "1M = UM"IUi/ are
"I~ =
2
"1M =
( 0
a2
0
a2
a2 )
o '
-a 2 )
C i~J '
a3
"1M
1 =
3
,"IM-
-~al
-~aJ
(A.32)
.
A remarkable property of this representation is that all "I~1 are irnagi n<uy. It impli es
that as a basis [or the general solution of Dirac\ eq uation ill thi s r presentation, oll e
Appendix A
483
can choose a set of real functions. Using Eqs.(A.28) and (A.29) we find that a charge
conjugation spinor 1/Jc is 1/Jc =
'Y~.). Real fermion fields
1/J* in this representation (CM =
1/Jl= (1/J+ 1/Jc)f,fi = (1/J+1/J*)/,fi'
1/J2
= i (1/Jc -
1/J) / ,fi = i (1/J* - 1/J) / ,fi
(A .33)
.
are called the Majorana fields.

The space inversion transformation is chosen as
(A.34)
with i,x = (xO,
-x) .
One can easily check that 1/Jp(x) satisfies the Dirac equation.
The choice of the factor i on the right hand of Eq.(A.34) leads to the same inversion
transformation for charge conjugation spinors:
(A.35)
In the spinor representation, the transformation (A.34) is
1/J;L(X) == ~;(x) = iT)o (isx) ==

1/J;R(X) == T)po(x) =
WR (i,x)
W' (i,x) == Wi (i.x) .
(A.36)
Thus space inversion transforms left-handed (right-handed) fields into right-handed (lefthanded) ones.
Eqs.(A.29) and (A.34) imply that C P transformation is
1/Jcp(x) = -iC1/J* (i.x) .
(A.37)
In the spinor representation, we find from this equation that
(A.38)
We
H(,(,
llla,l, n,i1ik(' C' a"d P lr;l"sror",;tlions, lil e C P opera.li on ca.n be defined on
two CO II'PO" P "1. (Wpyl) s pi'l(,rs.
484
Appendix A
In second quantized theory, C and P transformations can be defined as the action

of unitary operators in Fock space:
'fc(x) = Uc- 1 'f(x)Uc ,
(A.39)
'fp(x) = U;l'f(x)Up .
However, as it was shown by Wigner [ 3 ), the time inversion transformation can be
defined only by antiunitary operator in Fock space (a comprehensive discussion of this
point is given in Ref.[ 1)). It means that the operator Ut satisfies the following condition:
Utal'f) = a*UtI'I/J) ,
Ut (I'fl)
+ 1'f2)) =
Ut l'fl)
+ Ut l'f2)
(A.40)
('fl, 'f2) = (U t 'f2, Ut'ftl .

The time inversion transformation is defined as [ 1 )
(A.41)
with
l77tj2 = 1 and (itx) = (_x O, x) . The antiunitary character of Ut manifests in that
'ft (x) satisfies the equation
(A.42)
with
"(1'*
being complex conjugate of
"(I'.
Like C P, the time inversion transformation is well defined on two-component Weyl

spinors.
We also remind that any local relativistic theory is invariant under PCT transformation (the PCT theorem) [ 4).
Appendix B
Some Useful Formulas and Relations
B.I. The Groups U(N)
U(N) is a group of N x N unitary matrises. The unimodular matrices satisfying

the condition det U = 1 form its subgroup SU(N) .
The fundamental representation of the U(N) group is given by the matrices
(B.1)
where ~a make up a basis of the U(N) Lie algebra (tr)..CL)...fJ

Pauli matrices r O,
= 25CL fJ).
At N
= 2,
the
can be chosen as )...CL:
rO =
(1o 0)
(0 -i)
r2
rl
(0 1)
'
r3
0'
'
(B .2)
(1 0).
0
-1
At N = 3, a convenient choice for )...CL is the Gell-Mann matrices:
)...0
)...3
)...6
/"i COO)
0
(:
1 0
)...1
001
0
-1
0
0
:)
(: D
0
)...4
(;
-t
:)
(: :)
(: ~i )
0
)...2
0
0
0
0
0
).... =
0
0
)...7
)...8
:i)
C ~J
(:
:)
(B.3)
01
B.2. Second-Order Casimir Invariant

An important characteristics of a representation R of a Lie group G is the secondorder (qu ad r<tti c) Casimir invariant C2 (R):
(B.4)
486
Appendix B
teristics is the quantity T(R), which is defined as
(B.5)
Eqs.(B.4), (B.5) imply the following relation between C 2 (R) and T(R):
(B.6)
where d(R) is t.he dimension of the representation Rand r is the dimension (number of
generators) of the group.
In the case of SU(N) we have for the fundamental representation ( with TOt =
d(J) =N,
T(J)
=~
C2(J) =
r =
N2
\a)
1,
(B.7)
N~; 1 .
The value of C 2 for the adjoint representation of SU(N) is
(B.8)
The values of C 2 (R) for representations of different groups can be found in th e

review [ 1] .
B.3. Fierz Identities

Let us consider some orthogonal matrix basis
Bj in the space of n
x n matrices M
in which the scalar product of two matrices Ml and M2 is defined as trM1 M 2 . Thus we
have
(B .9)
Then, the completeness of the matrices BA implies that
(1) . 10 )
App en dix B
487
This equation in turn leads to the following relation for any pair of matrices M and L:
MmkLil =
L (D. A f1 (MBAL)mI Bj .
(B.ll)
This is the general Fierz identity. Let us apply it to 16 Dirac's matrices 'YA (A .3):
A =1: I;
A =2,3,4,5 : 'Yo, 'Y\ 'Y2, 'Y3;
1 10 1 20 1 30 1 12 1 23 1 31
A =6,7,8,9,10,11 : -;a , -;a , -;a , -;a , ~a , ~a ;
z
z
Z
Z
Z
z
5 0 5 1 5 2 5 3
A = 12, 13, 14, 15: 'Y 'Y , 'Y 'Y , 'Y 'Y , 'Y 'Y ;
(B .12)
A =16 : 'Y5 ,
One can easily check that in this case the parameters
D. A are :
D.A =4 for A = 1,2,6,7,8, 13,14,15,16,
(B.13)
D.A = - 4 for A = 3,4,5,9,10,11,12.

The Fierz identities are especially useful in transforming Lorentz invariant fourfermion interactions:
("ba(X)Oi 1f!b(X)) ("bc(x)Oi1/!d(X)) =
L Gid"ba(X)Ok1/!d(X)) ("bc(x)Ok1/!b(X))
, (B.14)
where Os = I,Ov = 'YI',OT = al'v / iV2,OA = 'Y5'YI',Op = 'Y5. Taking into account
Eqs.(B.ll), (B.13), we find the values for coefficients Gik given in the following Fierz
table.
-4
-4
-1
4
0
A
I'
(a,lll,i co lllllIlll,al, i vil,y
or ~ pillor
P
1
- 4
2
L
I
- 4"
2
-1
1
- '1
li (' ld ~ iM tak(' 11 i lli n a '('011 lit II Nr) .
(B.15)
488
Appendix B
Let us consider now the Fierz identities for )." matrices of U(N) groups.
Since td,.).f! = 2o Ol f!, the parameters ~A are equal to 2 in this case. Therefore the
completeness relation takes the following form:
(B.I6)
N'-l
where AA
==
).01).01 .
01=1
This equaation and the equation

1
N OadOcb
+ 2>'ad>'cb =
(B.I7)
OabOcd
lead to the following relation :
(B .I8)
B.4. Angle Integrations in 4-Dimensional Euclidean Space

We collect here some useful formulas for the angle integrations in 4-dimensional
Euclidean space (see, for example, Ref.[ 2 J).
Let kl' and
PI'
be two momenta, and pk = /p//k/ cos Bj /p/ =
j d kF ((k - p)2)
4
dnk
=7r
(P6 + p2) 1/2.
Then
j dk2dnkk2 F(k 2 - 2/k l/p/ cosB + p2) ,
=~ sin 2 BdBj
j dnk =
(B .I9)
1.
For our purposes, the central formula is :
j dn (k - p)2 +
k
m2
k 2 + p2
+ m 2 + (k2 + p2 + m 2)2 -
(B.20)
4k 2p2
The general structure of the integrals we use takes the following form:
(B. 2])
(B. 22 )
(B.2:1)
Making 8/8m 2 act on both sides of Eq.(B.20) n - 1 times and settin g
171 2
= 0,
W I
Appendix B
489
obtain
10 =1, L1 = k
+P ,h
= max (P ,p2)'
(B.24)
IP _ p2Imax(P,p2) ,etc. ,
where
(B.25)
Using the identity pk = Hk2
+ p2 - (k - p)2),
we obtain the following relation:
(B.26)
To calculate the integrals (B.22), (B.23), we use the relations following from covariance:
(B.27)
(B.28)
where
4X;:'
X;:'
+ y nm
=k 2In ((pk)m) ,
+ y nm =p-2 In ((pk )m+2)
(B.29)
Some useful explicit expressions are (x == p2, Y == k 2) :
I1((pk)1)=~min(x ,y) ,
(B.30)
h((pk)2) = ~ (x
(B.31)
2 max(x, y)
+ y) min(x, y) ,
max(x, y)
h((pk)1) =
min(x, y)
Ix :/;y
'1i:I"
yl max(x, y)
+ :llllill( X2, y2)

Yllilil-x( x, y) ,
(B .32 )
(B .33)
490
Appendix B
(B .34)
1
Xo __
1 -
12
{ (3xy - y2)/x 2
(3y-x)/y
x?y
(B .35)
y? x ,
x?y
(B.36)
y? x ,
Xo- -1x {y/x

2 -
4x
x/y
y? x ,
(B .37)
(B.38)
(B.39)
1 _
~ x
Y2 - 3
y'(x+2y)
x'(x-y)
{ x(y+2x)
y(y-x)
x?y
y? x .
(B.4D)
Appendix C
Renormalization Schemes and Path Integral Representation for Green's Functions
C.l. Dimensional Regularization

The dimensional regularization [ 1] is discussed in many text-books (see, for example, Ref.[ 2 J). Here we indicate some useful, for our purposes, information.
The idea of the dimensional regularization is to replace the 4-dimensional integral
4
d k by the n-dimensional one d"k. The point is that the ultraviolet behavior of Feynman
integrals improves with decreasing n, and they become finite at sufficiently small n. The
expressions at n
--+
4 can be obtained by using the analytical continuation in the complex
n-plane.
The conventions for the dimensional regularization are:
1) The space-time index J.I. runs from 0 to n - 1. The metric tensor
gl'V
(+, -,
... , - ); g~ = n. The Dirac algebra is unchanged:
(C.1)
and
(C.2)
The trace of the "),-matrices is normalized to
(C.3 )
2) The integral measure is (27f)-n / d"k.

3) ")'5 matrix is defined as an object which satisfies {1'5, ")'I'}
= O.
Let us indica.te explicit expressions for some n-dimensional integrals in Minkowski

s pace (17 == 11/2) [ 3]:
rl"k
l.
( '271 ) "
I" (1II
(CA)
I ' A: I'
1111
492
Appendix C
where the symbols

g ( /'vpp)
g/'vpp
g(/'vpp) , g(/'vpp p "), g(/'v gP")
+ gVPp/' + gP/,pv etc.
imply the symmetrization of the indices:
At c == (4~n) ~ 1, the expressions for the gamma-
functions are :
71"2) c + 0(c 2)
f(c) = -;1 - I' + 2"1 ( 1'2 + (;
2
f(c-1)= - -1 + (,, - 1)--1 ( I' 2 -21'+ -71"2) c+O(<)
[1 (nt;k1) ]
(_l)n
r(c - n) = ---;;r- -;+
where I' ::: 0.577 is the Euler constant.
-I'
+O(c) ,
(C. I I)
Appendix C
493
We note that there are ambiguities in the definition of some quantities in the dimensional regularization. For example, one may use the following alternative definitions of
the effective potential V :
( C .12a)
V = lim Vn
n-4
(C.12b)
where a is the renormalization group parameter, and Vn is calculated in n-dimensional

space. We use the definition (C.12a) ; the combination (a 2 )fVn has dimension 4 even at
n
# 4.
C.2. Minimal Subtraction and Modified Minimal Subtraction Renormalization Schemes

In the dimensional regularization, Feynman integrals include expressions of the kind
shown in Eqs.(C.4) - (C.lO). Eq.(C.ll) implies that these expressions have poles at
E -;.
O. These pole singularities replace here logarithmically divergent terms appearing
in other regularization schemes, as the Pauli-Villars scheme for example.

In the minimal subtraction (MS) scheme [ 4], only the pole term liE in expressions
for Green's functions is subtracted . For example in the case of the expression (C.4), we
have:
(C. 13)
Of course, in renormalizable theories, such subtractions lead to multiplicative renormalizations of Green's functions.
As this example illustrates, in the dimensional regularization, the pole term is usually
accompanied by I and In 47r in the combination
1
- - I
E
+ In 47r
(C.14)
' I' hc rcf')r(' ill ()I'( I(' r 1.0 grt. '" sill,! I<' r (' xp ressioll ror rcnormaJi za ble Green's fun ctions , it
is ('(Jl lvl II ieIII. I. .. sed .l,..,ecl. til l' wholl' ( <1 II1 I,jll lll.ioll ( :. 1'1) illstead or s\lb tr actin g onl y t he
494
Appendix C
pole term ~. This is the modified minimal subtraction (M S) scheme [5) . For example,
}
in the M S scheme, instead of Eq.(C.13), we have
(C.15)
In renormalizable theories the dimensionful parameter a appears in the MS and M S

schemes because dimensionless coupling constants becomes dimensionful at n
# 4.
For
example:
(C.16)
where
9 is a dimensionless gauge coupling constant. The product of the pole term
and gdn a leads to a term depending logarithmically on a.
C.3. Path Integrals

Path integrals are discussed in many text-books (for example, see Ref.[ 2, 6, 7, 8 )) .
Here we collect some useful formulae needed for our purposes.
Let us consider a real scalar field 'P(x). The Feynman formula for the transition
amplitude ('P j(x), t jl'Pi(X), ti), where 'Pi(X) corresponds to a field configuration at the
initial time ti, and 'P j(x) corresponds to a field configuration at the final time t j, takes
the following form:
<p(t/,X)='p!(X)
('Pj(x),tjl'Pi(X), ti)
V('P)exp
[if crx.c(x)]
(C.17)
<p(t;,x)=<p;(x)
Here .c(x) is the lagrangian density of the theory, and the 'P integration is functional
the path integral is evaluated along all trajectories from 'Pi (X) to 'Pj(x) in the functional
space.
The central mathematical problem with the path integral (C.17) is a proper definition of the measure V( 'P)' Usually it is considered as a continuum limit of the measure
on a discrete space-time lattice with a size of a lattice link being equal
limit corresponds to a
->
aj
the continuum
O.
However, fortunately, for many purposes, one may avoid the probl em with th e proper
definition of V( 'P)' The point is that usually we are interested not in the caicul,tti oll
Appendix C
495
of the transition amplitude (C.17) but in the calculation of Green 's flllldi o ns . For this
purpose, we introduce the generating functional
t;~oo
Z(J) =
<p(tf,X)=Ip/(X)
V(<p)exp
[i Jatx{(x) + J(X) <P(1:n] ,
(C.1S)
rp(tiIX)=l;?i(X)
ti--OO
where the normalization factor N provides Z(O) = I, i.e.
N- =
t;~oo
<P(tf,X)=<Pf(X)
V(<p) exp
[i Jd x( x )]
4
(C.19)
ti~-OO <p(ti,X)=<Pi(X)
The condition Z(O) = 1 ensures that Z(O) can be identified with the vacuum transition
amplitude (0\0) = 1 at J = O.
Green's function
(C.20)
IS
(C .2])
(see Sec.7.2).
In the practical calculations, the Gaussian integrals play the primary important ro le.
The general form of the Gaussian integral is
(C.22 )
where
Axy is an integral or differential operator in
the coordinate representati on.
The path integral (C.22) is a functional analogue of the usual n-dimensio na l
,iI.II S
sian integral
(27r)-n/2
dXL ... dXn
exp
[-~(x, Ax) + (b,
x)]
= exp
[~(b, A -lb)] (del, JI)- t

(
where til e' scalar prl)dllri. (x, /Ix ) -
:1:i / l ij3:j,
,
.2~\)
a.nd the integral is well-defined if A is a.
real sy nl lll!' tri (" pos il.i v. ddillil,I' IIIod.ri x. i1.v a.llillyti c co ntinlla.tion , this rela.tio n is also
valid if I I is
iI. ("( II
II 1'1. ,x NY IIIII ... II H III ,oIII X wil Ii
. 1.
p()s iI.iv!' d<'finil.(' r('al part.
496
Appendix C
The analogue of Eq.(C.23) for the path integral (C.22) is
(C.24)
If the normalization factor is chosen to ensure that this expression equals 1 at J = 0,
then N = (DetA)t and the integral is equal to
( C.25)
Since the integrand in Eq.( C.18) is an oscillatory function, there are difficulties in
defining this integral in Minkowski space. The conventional way to avoid the difficulties
is to transform the integral into Euclidean space: d4 x
---+
- id4 x. Then
(C.26)
where E(X) is the lagrangian density in Euclidean space. For example, in free theory
with
(C.27)
E is
( C.28)
As the result, the path integral representation for Z( J) becomes more manageable in
Euclidean space :
",(x."x)=",,(x)
Z(J) =
lim
%4/ - 00
X4i __ oo
V(\C)exp [-
J~X{E(X)
- J(x)\C(xn]
(C.29)
",(x.;,x) = ",;(x)
For the free theory with the lagrangian density (x) (C.27), we get
( C .30)
where
Appendix C
497
The relation (C.30) is the basic one in deriving the covariant perturbative expansion
in relativistic field theories [ 2, 7, 8 ].
We note that in the case of complex scalar field, in Eq.( C.24), V( cp) ---- V( cp)V( cp*),
!cp(x)Axycp(y) ---- cp*(x)Axycp(y) and (DetA)-t ____ (DetA)-l .

The conception of the path integral for fermion fields was elaborated by Berezin [ 9]
(see also Ref.[ 8 J). For our purposes, it is sufficient to know that
/ V({;)V(1jJ)exp [/ J!xJ!Y{;(X)A xy 1jJ(Y)] = C(DetA) ,
(C.32)
where C is a normalization factor . The appearance of (DetA) here instead of (DetA)-l

in the case of complex scalar field reflects the presence of the additional factor (-1) for
fermion loops.
Appendix D
The Dirac Equation with the Supercritical Coulomb Potential
Here we analyse the Dirac equation with the potential
2
V(r) = __
Ze_ [e(r - ro)
47r
+ _e(,-ro_-_r--,-)]
(D .1)
ro
The Dirac equation with a spherically symmetric potential can be reduced to the
form [ 1 ]
fr(rg) + ~(rg) - (E + m - V)rf = 0,

{ fr(rf) - ~(rf) + (E - m - V)rg = 0,
(D.2)
where g(r) and f{r) are the radial functions of the upper and the lower bispinor components in the standard representation ofthe Dirac matrices (see Eq.(A.5)), X =
(J + t)
(J is the angular momentum) and E is the fermion energy. For the nSl-states (to which,
1
in particular, the lowest level belongs) we have X = -1. Performing the standard substitution
rg(r) =r-:vm+E(F1 + F2 )
{ rf(r) = r-'ivm - E(F1 - F )
2
(D.3)
we obtain the following equation for the nSrstates in the external region r > ro:
d2 F
dri
+ k.Fs = 0, s = 1,2
(DA)
where
e=
{ k1,2
2vr, v = v m2 - E2 ,
-1
1
2
3
-- _14 + E crv e =to, + cr e"- .
(D.5)
Equation (DA) is the Whittaker equation [ 2]. Two independent solut ions o r this
equation are two Whittaker functions W""i,,(e) and M""i,,(e), where
/(1,2
= Ev'" =F
t,
jJ,
= ~ .
We will look for the solutions corresponding t.o the quasi-slalionilry

outgoing antifermion waves with the energy
s t a tc~
whi ch derill!'
Appendix D
Ean = ReEan
+ iImEan ,
499
ReEan > m, ImE an < 0, IImEanl ~ IReEanl .
Due to the conventional interpretation of the antifermion states in the Dirac equation,
these states are described by the solutions with the energy
E = -Ean, ReE < -m, ImE>

For v >
and r
--+ 00
(D.6)
the behavior of the Whittaker functions is as follows [ 2]:
(D .7)
M""i/J(e) ~
+ 2iJ..l)
) exp[vr](2vr)
+ ZJ..l- "'.
f(l
(1'
,-""f "2
_It
(D.S)
' .
Therefore, stationary bound states, with E2 < m 2, are described by the function
W",,i/J(e) . The same function also describes the quasi-stationary states with the energy (D.6): for them Re(E2 - m 2) > 0, Im(E2 - m 2)
< 0, and therefore, on the second
unphysical sheet in the complex place of the variable I< = E2 - m 2, where the poles
corresponding to these states lie, the function W",,i/J describes an outgoing wave.
In the region r < ro, the solution of Eq.(D.2), regular at r = 0, is expressed through
the elementary functions
F1 = r'1.
F2 =
7"
l[
1.
~ sm kr -
ym+E
1.
~smkr+
ym+E
where k = V(E
+ 0I/ro)2 -
1
kro ) (sin
r.::::--r;;
(
- kkr
- - cos kr ) ] ,
ym-EOI+ m+E ro
r
1
~
( kro ) (Sinh
- k - -coskr )] ,
ym-EOI+ m+Ero
r
(D.9)
(D .lO)
m 2. The energy of the levels is determined by equating at
r = ro the logarithmic derivatives of the solutions in the inner and the external regions.
Sin ce one of the functions F. can be expressed through the other, it is sufficient to
consid er only one of th em , for example F 2 :
X W~" il'( X )
W~" , i f,( 3: )
= ~ + z ctg z + I'( z - z-l + ctg z ) = f

2
1 + l'( z- l - ctg z)
-,
(D.ll)
500
Appendix D
x=2vro, z=roJ(E+;;f
-m 2 ,
"1=
mtE .
We are interested in the case with lEI ~ m and, in particular, in the case of massless
electron (m = 0) . The analytical answer can be obtained for the near-critical values
0<
when
0< -
1 ~ 1. Let us accept that in this case Ixl ~ 1 (this supposition will be
justified below). At Ixl ~ 1, the Whittaker function is [2]:

. ~
W ~2 'I'
,
r( -2iJ-l)
1'1<1
r (12" -
1',2 -
iJ-l ) X
t+il' +
t-il'
(D.12)
n=12 ..
(D.13)
r(2iJ-l)
r (12" -
1',2
+ iJ-l ) X
Equations (D.1l) and (D.12) lead to the following relation:
In2vro+ol,
'I'
Eo<)
(- v
2
-21'(1)---=
7m
2f - 1~'
'I'
'"
where
1/;(x) = fxlnr(x).
Let us first consider the case of massless electron. At m = 0 and
0< -
1, the
parameters in Eq.(D.13) are

"I =
1- i(1-ctg1)
1- i
2
2f - 1
-i, v = iE, --:::: tg1 . ----'-----'''-'-
(D .14)
(the sign of v = J-E2 is determined from the condition that the function W~"il'
describes an outgoing wave corresponding to the state with ReE
< 0). Therefore,
Eq.(D.13) takes the following form:

1
2
.
i
~n
-In(-E )+ln2ro+1/;(z)-tg1+-.--21/;(1)= ~ .
2
z- 1
0<2 - 1
(D.15)
Since 1/;(1) = -"IE:::: -0.577 hE is the Euler constant) and

Im1/;(i) = Ictgh~ +
t'
we find from Eq.(D.15) that
E(n) = arol(sin,B - i cos,B) exp

where
[~]
, n = 1,2,""
(D . 16)
Appendix D
f3
501
-I ct g h7r ::::: -I . 1.004 ,
a = texp [tgl- 2
hE +!) -
Re1jJ{i)] ::::: 0.4 .
According to the conventional interpretation, the levels (D .16) determine the antifermion
states with the energy
Ean = - E, ReEan > 0, ImEan < O.
Note that IImEanl ~ IReEanl .

Let us consider now the solutions of Eq.{D.13) in the case of 0
<m
lEI. We shall
solve this equation by the iteration method, expanding its left-hand side in the double
series in E(n) and m, where
E(n) = E~n)
+ L E}n),
.=1
Ean ) == E(n)lm=o, E~n) '" m' .
(D .17)
Up to the second-order terms, we find
_
In 2vro - In 2ro
1jJ (
J m_E(n))
2 _ E(n)'
<p
+ -In
2
..
= 1jJ{z)
(n)')
- Eo
I'
Ei
Ei
)'
+ -(-) - -(-)' - -(-)' ,

En
o
m2
2E n
2E n
0
+ z1jJ (z) - (-)' ::::: 1jJ{z) -
(0 .54
(D.18)
2E n
a
im 2
2E n
+ 0.8z)-(-)'
(D.19)
-2
mE(n)
m2
2/ - 1
i-I
2E(n)
o
2E(n)
4E(n)
== - -- ::::: -tgl + - - + - - - __1_, + i - - , .

0
(D.20)
Substituting these expressions in Eq.{D.13), we obtain the following relation:
(D.21)
,II
S ICC I III I ;,(n)
(1
0, 1.1i(' ;tppcanw ce of II lass rc's llll. ~ ill dec reasing Tm E (n), i.e. IIl1llcreasing
Appendix E
The Calculation of the Determinant of the Dirac Operator
In this appendix, we outline the calculation of the logarithm of the modulus of the
determinant of the Dirac operator (see Eq.(12.155))
i1) = -i-v D _ M 1 - 15 _ Mt 1 + 15
II"
I"
'
(E.1)
where the covariant derivative DIJ is
(E.2)
The logarithm of the modulus of the determinant of the operator i1) in Euclidean
space is
00
.
In IDetz1) I =
-2
dtT _t1)t1)
r e
t
(E.3)
1/A'
(we use the proper-time regularization scheme). In calculating this quantity, we will
use the method of the derivative expansion in which In IDeti1) I is derived as a series in
powers of the (covariant) derivatives of the fields [ 1, 2].
We will use the method considered in Ref.[ 2].
(A - A)-1 of the operator A
== 1)t1).
Let us introduce the resolve nt
Then we get:
Tr e -tA = T r
J
c
-idA e -tA -1- ,

21r
A- A
(E.4)
where the contour C encloses all singularities of the resolvent in the complex A plane.
We define
G(x , x'; A)
== (xl A ~ AIX/)
J(::~4
exp (-ikl" . (x - x')I") TJ(x, k; A) .
(E.5)
Then
(E.6)
where tT denotes the trace over the Dirac and inner group indices.
502
Appendix E
503
Eq.(E.S) implies that G(x, x'; >.) satisfies the equation:
(E.7)
For the operator (E.1), we find:
A =1)t1) = _D2 - 1 ~ 15 [i(8M)
+ [V, M] + {15 A, M}]
_ 1 ~ 15 [i(8Mt) + [V, Mt] + {15 A , Mt}] + 1 ~ 15 M Mt + 1 ~ 15 Mt M;
fl, V, A == 11'DI' , 11' VI"
11'AI' .
(E.8)
Therefore Eq.(E.7) acquires the form:
[k2 _ 2ikl'DI' - D2 - 1 ~ 15 H8M)
_1~15
+ [V , M] + h5 A , M}]
(E.9)
[i(8Mt) + [V,Mt] + h5 A ,Mt}]

1-15 t
+ -1+15
2 -MM t + -2-M
M - >. ] 7](x,k;>')
Introducing the formal expansion parameter
= 1.
by
00
7](x, k; >.)
=L
7]m(X,
k; >.)
(E.10)
m=O
and assuming that the derivative 01' and the gauge fields correspond to one power of <,
we obtain the following equation:
[k
1 15
"+
"
- 2i fkl'DI' - <2D2 - <- +
2- [
i(oM)
[V , M]
_ f1
~ 15
]
+ {15A., M}
H8Mt) + [V, Mt] + h 5A ,M}] + 1 ~ 15 MMt + 1 ~ 15 MtM _ >.]

00
7]m(X , k; >.) = 1
m=O
(E.11)
(at t.h (' ,lId of 1./1(' ca.irllla.ti oll s{
I) . ' I'hi s <'qll ittio ll I('ad s to rec urrence relations for
504
Appendix E
Although the presence of gauge fields do not lead to principal difficulties, they
essentially complicate the calculation. In order to simplify the illustration of the method,
henceforth we will consider the case without gauge fields.
From Eq.(E.ll) we obtain the following recurrence relations for
1)m(x,
k; ,\):
(E.12)
From (E.12) we find that
(E.13)
For simplicity, we will consider the case with the Ud2) x UR(2) chiral symmetry. In
this case,
1)0
can be written as
(E.J1)
where
( g i G)
Appendix E
505
Using Eqs.(E.3), (EA) and Eq.(12.154), we can calculate the effective potential V :
14 V a-x
- -Nc Jd 4 x
2
Joo -dt J -id>" e -tAJ --trr/O

dk
2?r
l/A'
(2?r)4
(E.16)
(here we use xJi. for the coordinates in Euclidean space).
d>" and d4 k, and using the definition
Carrying out the trivial integrations over
r ( )-J
00
t ndt+1 e -I
-n,x =
(E .17)
for the incomplete gamma function r( -n, x), we obtain
V =
2~~O)tr (( M
m(O)) t (M - m(O)))
(E.18)
+ ~~ {Cfr(-2,cdA2) +Cir(-2, cdA2 )} ,

where
(E.19)
T he ex pression (E.18) coincides with that in Eq.(12.180) at VJi. = AJi. = O.

[t is easy to check that
7)1
does not contribute to the effective action. This corre-
" I onds to the ract that there are no terms in the action with a single derivative.
Th e run ct ion
')2,
dete rmined [rom Eq.(E.12), contributes to the kinetic term. After
sl.raig htJorward calcul ations, retaining on ly the terms quadratic in the fields
(wllidl ,He ciiv(' rge nt as II
00), we
~nd
E;q.{12 .192) at VJi. = AJi. = O.
?ret
and
(7et
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:I(J
Rf V. D47 (J993) 294 0; M A. Luty,
l 'iIlI'<
11" 11. 1)1\8 (199:1) 12!).'i; S. Martin , Nud. I 'lty .. . B398 ( / 991 ) 359.
V 1\
~,ll ' "I ~ " V,
S I'( ' IIH II "" S IL" ,y, l 'iIlI .'1 11,."
1)47 (1!J!l:I) :lOr,K.
526
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31. M. Bando, T. Morozurni, H. So and K. Yamawaki, Phys. Rev. Lett. 59 (1987)

389.
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41. T. Appelquist, J. Terning and L. C. R. Wijewardhana, Phys. Rev. D44 (1991)
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42 . M. Carena and C. E. M. Wagner, Phys. Lett. B285 (1992) 277.
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48. S. Samuel, Nucl. Phys. B347 (1990) 625; A. Kagan a nd S. Samu el, Phys. /. (' 11 .
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Chapter 15
1. V. A. Miransky, M. Tanabashi and K. Yalllawaki ; Phys . /,I'll . B2 2 1 (I!)H!) ) 177,
Mod . Phys. Lett. A4 (1 989 ) 1013.
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14. Y. Nambu, in Pro ceedings of the 1989 Workshop on Dynamical Symmetry Breaking, eds. T . Mula and K. Yamawaki (Nagoya University, Nagoya, 1990).
15. S. ShIl LO, M. Tanabashi and K. Yamawaki, in Proceedings of the 1989 Workshop
on /)Y'IlI/,mi (1/ Symm etry Breaking, cds. T. Muta and K. Yamawaki (Nagoya Univ('l' ~ i t..v ,
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N"goy" , 1!H)()) .
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17 M Lill y, 1'/'11 ,'
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University, Nagoya, 1990); R. Banish, Phys. Lett. B268 (1991) 394; M. Lindner
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4283 ; Phys. Rev. D46 (1992) 2197; Phys. Rev. D46 (1992) 2769.
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37. V. A. Miransky, Phys. Rev. Lett. 69 (1992) 1022.
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Appendix A
1. S. S. Schweber, An Introduction to Relativistic Quantum Field Theory (Row, Peterson and Co., Evanston, Illinnois, 1961).
2. J. D. Bjorken and S. D. DreH, Relativisitic Quantum Fields (McGraw-Hili Book
Co ., New York, 1965).
3. E. P. Wigner, Group Th eory (Academic Press, New York, 1959).
4. R. Streater and A. Wightman, peT, Spin and Statistics, and All That (W. A.
Benjamin Inc., New York, 1964).
Appendix B
1. R. Slansky, Phys. Rep. 79 (1981) 1.
2. 1< . 1. Aoki, M. Bando, T. Kugo, M. G. Mitchard and H. Nakatani, Prog. Theor.

Phys. 84 (1990) 683 .
Appendix C
I. C. C . 8 0llini ano J. J . Gianlbiagi, Phys. LeU. 40 (1972) 566; G. 't Hooft and M.
V('If.lll i1 l1 , Nnrl .
I)h!l .~.
B44 ( 1972) 189.
'2 . 'I' MilL" l'IULl/rilL/IIlIl ,' oj (J lLlln/1L1II. ('JI1'01l1 or/YII!l1ni r.< (Wo rld Sr icnt.ifi r Pllbli shing
( ''' , S''' fI' 'I'''' '', 1~) H7 )
530
Reference6
3. T. Kugo, Quantum Gauge Field Theory Parts I, IJ(in Japanese) (Baifukan, Tokyo,
1989).
4. G. 't Hooft, Nucl. Phys. B61 (1973) 455.
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3998.
6. R. Feynman and A. Hibbs, Quantum Mechanics and Path Int egrals (McGraw-Hill
7. C. Itzykson and J. Zuber, Quantum Field Theory (McGraw-Hill Book Co., New
York, 1980) .
9. F. A. Berezin, The Method of Second Quantization (Academic Press, New York,
1966).
Appendix D
1. A. 1. Akhiezer and V. B. Berestetsky, Quantum Electrodynamics (Interscience,
New York, 1965) .

2. H. Bateman and A. Erdelyi, Higher Transcendental Functions, voU (McGraw-Hill
Appendix E
1. 1. J. R. Aitchison and C. M.Fraser, Phys. Lett. B146 (1984) 63; L. H. Chan,
Phys. Rev. Lett. 54 (1985) 1222.
2. V. P. Gusynin and V. A. Kushnir, Sov. J. Nucl. Phys . 51 (1990) 373.
Subject Index
Anomalous dimensions 254, 289
Anomaly: 196
nonequivalent representati o ns of tlil'

9
Adler-Bell-Jackiw 196, 305
Charge conjugation 481
Bardeen 335, 336
chiral effective action: 92, 104
strong 305, 348
in QCD 351
Appelquist-Carazzone theorem 400
Chiral symmetry 70
Axial Us (l) 196, 348
Chiral symmetry breaking: 75
Axion 451
in the Nambu-Jona-Lasinio mod el

Ill, 207
Bardeen-Cooper-Shrieffer theory 31
Bethe-Salpeter equation: 179, 181
in QED 225 - 268

Coleman theorem: 49, 301
homogeneous 183
in the Nambu-lona-Lasinio model
first 49
second 301
187, 209
Coleman-Weinberg model 146
in QED 187, 231
Collapse phenomenon:
inhomogeneous 181
in QED 239
Bethe-Salpeter kernel: 185

in the N ambu-lona-Lasinio model
in quantum mechanics 240

Collective excitations 35
187
Correlation length 269
in QCD 314
Critical coupling constant:
in QED 187
Bethe-Salpeter wave function:
182, 185
normali zation condition for the 184,
in asymptotically free theories 247

in QED 229
Critical hypersurfaces: 269
186
ultraviolet asymptotics of the 205,
and renormalizations 269

and second order phase transitions
313
Bogolyubov tran sformati on 22
Bo.cgas:
in QCD 304 - 369
270
Cri tical exponents 291
15, 21
almos t i<l(' nl 2 1
i<l( .. .1 I ;'
Decoupling t heorem 400

Dirac equ ation 6, 477
( :".1>,1 ,1>1> 1\( ,I ''',Yils lii M;,sk;,wa
:17H
'1I;~~H II ",l.l'i x
Dimr mass 6
I)il'a (' "' ;tl.ri crs : (i , '177, ~ H2
M.,jor .'"11 ' (' I" l'H(' IIlali " " of !.II<' 'IH2
532
Suhject Index
spinor representation of the 477

standard representation of the 477
Dynamical symmetry breaking (defini tion)
chiral 194
vector-like 194
Generating functional : 121, 122
for Green 's functions 121
34
for proper vertices 122

Ginzburg-Landau effective action 35
Effective action (generating functional for
proper vertices): 122
derivative expansion of the 125
loop expansion of the 130
renormalization group improvement
Glashow-Illiopoulos-Maiani mechanism 379

Goldberger-Treiman relation 79
Goldstone models 41
Goldstone theorem 52
of the 152
Effective action for composite operators
Higgs mechanism 54
167
Higgs bosons: 371
Effective potential 125
composite 441
Effective potential for composite operators:
172
in the Nambu-Jona-Lasinio model 174
Irrelevant interactions 271
in QED 177
Electroweak symmetry breaking 370
Klein-Gordon equation 2
Electroweak theory 370

Extended Nambu-Jona- Lasinio model 323
Extended technicolor: 389
Lattice QED 442
strong 418 , 432
Linear a-model 72
London equation 38
Low energy effective action: 271
Fermi gas: 25
in QCD 351 , 361
ideal 25
with the Majorana mass 26
Fermion (quark and lepton) masses: 374
Majorana mass: 6
in extended technicolor 390
dynamical generation of a :I 17
in the standard model 374
Marginal interactions 271
Fine tuning 276, 294, 466

Flavor changing neutral currents:
Majorana fermions 69, 117
380,
Mass relation for pse ud oscalars: 203 , :ns

exact 203
397
in the standard model 380
in technicolor 397
in QCD 328
PCAC 203
Meissner effect 38
Gauge theories: 57
Subject Index
N amb u-Goldstone boson 45
533
Schwinger-Dyson equation: 179
Nambu- Jona-Lasinio model 111
in the Nambu-lona-Lasinio model 175
Noet her theorem 65
in QCD 322
Nondicoupling effects: 404 - 415

in technicolor 407
in QED 178, 226

Second order phase transitions 269, 280
Nonlinear u-model 84
Self-energy operator 179
Nonlinear realization of spontaneous sym-
Spontaneous symmetry breaking (defini-
metry breaki ng 98
tion) 16, 41
Standard model 370
Superconductivity 24
Order parameter 43
Superfiuidity 20
Technicolor: 383
Pagels-Stokar formula 332

Parity transformation 483
bosonic 441
walking 431
Partial conservation of the axial currents
Topcolor 463
(PCAC) 78
Top mode standard model 447
Path integral 494
Top quark condensate 445
Prope r vertices 122

Universality of critical phenomena 29 1
Quant um chromodynarnics 304
Quark masses:
current 307, 329
dy namical 330
Vacuum 9
Vacuum degeneracy 17
Quark mass function: 308, 314

th e equation for the 314
Ward-Takahashi identities 195
th e ultraviolet asy mptotics of th e 308

Wess-Zumino-Witten action 339
Had iative co rrec tions to electroweak interact io ns 407
11.('I(' v,tllt i Ill,eracti oliS 271
Zero-point energy 3, 8, 133

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DYNAMICAL SYMMETRY

/'1 I: :'rI l\'Y ~~) ~~{

World Sci ntific

World Scientific Publishing Co. Pte. Ltd.

DYNAMICAL SYMMETRY BREAKING IN QUANTUM FIELD THEORIES

Printed in SingnpOIllby J IlW I'rllIl (lrs

II IHl l'I'S " il'. Lid .

one of the deepest, most important and most

beautiful phenomena in physics.

constructed by Nambu and Jona-Lasinio. Their model still remains a basic

,d till' r(, a,(k rs thil.t t h(' phCnolllcllon of

hll,oil;lI f\ ei<-H("V('~ d.~ e'WIl 1",,,11 !

I.h,' 1"'''1; 1111;11 1-\ ofl.h; H prnj<'(' I"

1)('(' 11 'l S() IJI" ("('

1 illli gr, >I (' f,,1

to W. A. Bardeen , S. T. Love, R. R. Mendel, S. Peris, S. Raby, M. Tanabashi and

which certainly influenced this book.

I also would like to express my thanks to V. Elias, M. Harada, A. Kovner, T. Kugo,

University T. Hamazaki, K .-1. Izawa, T . Kawano, S. Miyazaki, J . Sato, M. Sato,

. . . . ..... ................... . . ....... . . . . . ...... . . . ..... . .

The Klein-Gordon Field ....... .... . ... ..... . ..... . ..

.. .. . ........ . . ..... .. . .. ....... . .. . 4

Spontaneous Symmetry Breaking in Condensed

Ideal Bose Gas . .. .. . ... .. ... . ..... . . . .... . ... . .. . ..

Spontaneous Symmetry Breaking in an Ideal Bose Gas.

Superfluidity. Landau Criterion .. . ... ... . . . . . . . . . . . .. 20

Superfluidity in an Almost Ideal Bose Gas ... .........

Super conductivity. General Remarks ... ... . ... . ......

Ideal Fermi Gas. Fermi Gas with the Majorana Mass .. 25

BCS Model of Superconductivity ..... . ... . . .. .... ... 31

Dynamical U(l) Gauge Symmetry Breaking in the

The Ginzburg- Landau Effective Action. The Meissner

S ponta ne ous Symmetry Breaking in Relativistic

Int rodu ct ioll . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..

Why Do We Need the Infinite Volume for Spontaneous

The Coleman Theorem and the Goldstone Theorem . .. 49

Higgs Mechanism ................................ . . 54

Higgs Phenomenon in Non-Abelian Gauge Field

Higgs Phenomenon in Non-Abelian Gauge Field

Introduction to Chiral Dynamics . . ..... ......... . ... ..

Symmetries and Currents in the Lagrangian Formalism

Chiral Symmetry in Theory of Free Fermions . . . . ... ..

Linear cr-Model . .. . ...... ...... ..... .... . . ..... .. . . 72

The PCAC Hypothesis and the Goldberger-Treiman

Nonlinear Realization of Spontaneous Symmetry

Nonlinear Limit of the Linear cr-Model . ...... ... ..... 84

More on Nonlinear Chiral Theories

Nonlinear Realization of Spontaneous Symmetry

Where are Nonlinear Lagrangians Useful? . ....... . . . 104

.... .... ..........

The Nambu-Jona-Lasinio Model. The First

Dynamic: CC' Il Cratioll

Ma.jo l'nll ll. MILHH . .. . ,., .', . . ,

The Effective Action Method in Quantum Field

Effective Action (Generating Functional for Proper

The Physical Meaning of the Effective Action .. .. .... 125

The Loop Expansion . ....... ................. .. . . . 130

One-Loop Effective Potential. Concrete Examples . ... 140

Renormalization Group Improvement of the Effective

More about the Physical Meaning of the Effective

Effective Action for Composite Operators and

Effective Action for Composite Operators. The General

The Loop Expansion for r( <pc, G) ......... .. .... .. ..

The Schwinger-Dyson Equation and the Bethe-Salpeter

/'1 I: :'rI l\'Y ) {