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# Gluino Condensation in an Interacting Instanton Ensemble

## I Introduction

In order to improve our understanding of non-perturbative phenomena in QCD it is useful to view QCD from a larger perspective, as a member of a family of QCD-like theories with different matter contents. In this context we would like to understand the phase structure of QCD-like theories with $`N_f`$ fermions in the fundamental representation of the gauge group and $`N_{ad}`$ fermions in the adjoint representation. Theories with adjoint fermions are special because the action may display a symmetry that connects bosonic and fermionic degrees of freedom, supersymmetry. Supersymmetry imposes powerful restrictions on the structure of the low energy effective action. These constraints have been used, for example, to determine the phase structure of $`N=1`$ supersymmetric QCD with $`N_c`$ colors and $`N_f`$ flavors of fundamental quarks .

In addition to that, supersymmetry provides the opportunity to isolate certain non-perturbative effects, in particular instantons. This idea has been used in order to calculate the gluino condensate in the simplest supersymmetric gauge theory, SUSY gluodynamics. The strategy behind the so called weak coupling instanton (WCI) calculation  is to add to the theory a fundamental fermion together with its scalar superpartners and consider the regime where the expectation value of the scalar field is large. In this case there is a unique non-perturbative superpotential induced by instantons. Since the scalar vev is large, instantons are semi-classical and the superpotential can be calculated reliably. The superpotential determines the gluino condensate in the theory with additional matter. Finally, the matter fields can be decoupled by sending their mass to infinity. The result for the gluino condensate in $`SU(2)`$ supersymmetric gluodynamics is

$$\lambda \lambda =6\mathrm{\Lambda }^3,$$
(1)
where $`\mathrm{\Lambda }`$ is the scale parameter defined in

$$\mathrm{\Lambda }=M_{PV}\left(\frac{16\pi ^2}{bg^2}\right)^{1/3}\mathrm{exp}\left(\frac{8\pi ^2}{bg^2}\right).$$
(2)
Here, $`b=3N_c`$ is the first coefficient of the beta function in supersymmetric gluodynamics and $`M_{PV}`$ is a Pauli-Vilars regulator.

There is an old puzzle concerning this result. The puzzle is connected with the fact that there is an alternative method for calculating the gluino condensate, usually referred to as the strong coupling instanton (SCI) method , for a review see . In the case of $`N_c=2`$ one considers a four fermion correlation function. This correlation function is a topological quantity. Not only can it be saturated with one instanton, but supersymmetry implies that the correlator is just a constant. At short distance, one expects that this constant is saturated by small instantons and can be calculated reliably. The gluino condensate is then extracted by using clustering. The puzzle is that the result differs from the WCI calculation by a factor 4/5.

Several suggestions have been put forward in order to resolve the puzzle . We do not wish to discuss these possibilities in detail. Instead, we would like to employ a somewhat different, more qualitative approach. Even though there is no direct instanton contribution to the gluino condensate, one would still expect configurations with instantons and anti-instantons to contribute to the gluino condensate. Here we have in mind that the theory is studied in a finite volume and in the presence of a non-zero mass term. The thermodynamic limit is approached by taking the volume to infinity before we let the mass go to zero. The mechanism for gluino condensation is similar to the instanton liquid picture of quark condensation in ordinary QCD . For $`N_f>1`$ there is no direct instanton contribution to the quark condensate but chiral symmetry breaking may take place in an ensemble of instantons and anti-instantons in the thermodynamic limit. The Banks-Casher relation $`\overline{q}q=\pi \rho (0)`$  connects the quark condensate with the density of eigenvalues of the Dirac operator at zero virtuality. For simplicity let us consider an ensemble with an equal number of instantons and anti-instantons. In this case the Dirac operator no longer has any exact zero modes. However, if the interaction between the instantons is sufficiently weak, the approximate zero modes associated with individual instantons and anti-instantons form a zone around zero virtuality and lead to spontaneous chiral symmetry breaking. This quark condensation mechanism has been investigated in some detail, both analytically and on the lattice , and the results seem to support the instanton picture.

In the present work we wish to extend these studies to theories with fermions in the adjoint representation. Since we are dealing with a strongly coupled theory, our calculations are necessarily approximate. In particular, we will have to restrict ourselves to the contribution of small instantons for which the semi-classical description is appropriate. On the other hand, the methods we are using are applicable also to non-supersymmetric theories with several flavors of adjoint fermions. In addition to that, we can use these methods to study non-constant correlation functions that determine the spectrum of the theory.

The paper is organized as follows. In section II we discuss some general aspects of chiral symmetry breaking in theories with fermions in the adjoint representation. In section III we describe the structure of the instanton zero mode wave functions and in IV we calculate matrix elements of the Dirac operator between zero mode states. These results are used in order to determine the fermion determinant in the field of an instanton-anti-instanton pair (section V) and to calculate the gluino condensate in a random instanton ensemble (section VI). In section VII we describe simulations of an interacting instanton ensemble with different numbers of fermions in the fundamental and adjoint representation.

## II QCD with adjoint fermions

QCD with adjoint fermions is defined by the lagrangian

$$=\underset{i=1}{\overset{N_{ad}}{}}\frac{1}{2}\overline{\lambda }_M^{(i)a}(iD/)^{ab}\lambda _M^{(i)b}\frac{1}{4g^2}G_{\mu \nu }^aG_{\mu \nu }^a,$$
(3)
where $`\lambda _M^a`$ is a Majorana fermion in the adjoint representation of the gauge group and $`G_{\mu \nu }^a`$ is the usual field strength tensor. The covariant derivative in the adjoint representation is given by

$$D_\mu ^{ab}=_\mu \delta ^{ab}+f^{abc}A_\mu ^c.$$
(4)
For several Majorana flavors the theory (3) possesses a $`SU(N_{ad})`$ chiral symmetry. A non-zero gluino condensate

$$\overline{\lambda }_M^{(i)}\lambda _M^{(j)}=\delta ^{ij}\sigma $$
(5)
breaks this symmetry to $`SO(N_{ad})`$ . This fact can be seen most easily by considering the conserved vector and axial-vector currents . There are $`\frac{1}{2}N_{ad}(N_{ad}1)`$ conserved vector currents $`V_\mu ^{ij}=\overline{\lambda }_M^{(i)}\gamma _\mu \lambda _M^{(j)}`$ and $`\frac{1}{2}N_{ad}(N_{ad}+1)`$ classically conserved axial-vector currents $`A_\mu ^{ij}=\overline{\lambda }_M^{(i)}\gamma _\mu \gamma _5\lambda _M^{(j)}`$. The singlet axial current $`A_\mu ^{ii}`$ is anomalous. At the quantum level this leaves $`N_{ad}^21`$ conserved charges that generate the $`SU(N_{ad})`$ chiral symmetry. Gluino condensation breaks the axial symmetries and leads to the appearance of $`\frac{1}{2}(N_{ad}^2+N_{ad}2)`$ Goldstone bosons. The unbroken $`\frac{1}{2}N_{ad}(N_{ad}1)`$ vector charges generate the residual $`O(N_{ad})`$ symmetry.

In the case of supersymmetric gluodynamics, $`N_{ad}=1`$, there is no continuous symmetry. Instantons break the axial $`U(1)_A`$ symmetry but leave a discrete $`Z_{N_c}`$ symmetry intact. This discrete symmetry is spontaneously broken by gluino condensation. As discussed above, the value of the gluino condensate is known from a weak coupling instanton calculation. There are no predictions for the spectrum of the theory, but we expect the lowest states to fill out a chiral supermultiplet containing a scalar and a pseudoscalar meson as well as a Majorana fermion. These results can be summarized in terms of an effective lagrangian . This is not an effective lagrangian in the Wilsonean sense. The effective action does not generate the low momentum scattering amplitudes of the theory. Instead, it mainly serves as a generating functional for the anomalous Ward identities of the theory.

## III Instanton gauge potential and fermionic zero modes

In theories with adjoint fermions it is convenient to employ a spinor notation for spin, vector, and color indices . We can convert vectors to spinors using

$$V_{\alpha \dot{\alpha }}=V_\mu (\sigma _\mu )_{\alpha \dot{\alpha }}.$$
(6)
The euclidean spinor conventions used in this paper are summarized in Appendix A. The instanton gauge potential couples spin to color degrees of freedom. A field $`A^a`$ in the adjoint representation of $`SU(2)`$ can be represented by a symmetric tensor $`A^{\alpha \beta }`$

$$A^a=A^{\alpha \beta }ϵ_{\alpha \gamma }(\tau ^a)_\beta ^\gamma .$$
(7)
In spinor notation, the instanton gauge potential in regular gauge is given by

$$A_{\gamma \dot{\delta }}^{\alpha \beta }=2i(\delta _\gamma ^\alpha x_{\dot{\delta }}^\beta +\delta _\gamma ^\beta x_{\dot{\delta }}^\alpha )\frac{1}{x^2+\rho ^2}.$$
(8)
We can transform the gauge potential to singular gauge using the gauge transformation

$$U^{\dot{\alpha }\alpha }=\widehat{x}_\mu (\overline{\sigma }_\mu )^{\dot{\alpha }\alpha }.$$
(9)
Note that this matrix transforms an undotted color index into a dotted one. We can perform a ‘fake’ conversion of the dotted spinor back to an undotted one using the fact that $`(\sigma _0)^{\alpha \dot{\alpha }}`$ is just the unit matrix.

In the case of $`SU(2)`$, the Dirac operator in the background field of an instanton has four zero modes. The first two are conventionally called the supersymmetric (ss) zero modes

$$\lambda _{\alpha (\beta )}^{\gamma \delta }=(\delta _\alpha ^\gamma \delta _\beta ^\delta +\delta _\beta ^\gamma \delta _\alpha ^\delta )\frac{\rho ^2}{\pi }\frac{1}{(x^2+\rho ^2)^2},$$
(10)
where $`\beta =1,2`$ enumerates the zero modes. The other two are referred to as the superconformal (sc) zero modes

$$\lambda _{\alpha (\dot{\beta })}^{\gamma \delta }=(\delta _\alpha ^\gamma x_{\dot{\beta }}^\delta +\delta _\alpha ^\delta x_{\dot{\beta }}^\gamma )\frac{\rho }{\sqrt{2}\pi }\frac{1}{(x^2+\rho ^2)^2}.$$
(11)
In singular gauge, the zero modes are given by

$`\lambda _{\alpha (\beta )}^{\dot{\gamma }\dot{\delta }}=(x_\alpha ^{\dot{\gamma }}x_\beta ^{\dot{\delta }}+x_\beta ^{\dot{\gamma }}x_\alpha ^{\dot{\delta }}){\displaystyle \frac{\rho ^2}{\pi }}{\displaystyle \frac{1}{x^2(x^2+\rho ^2)^2}}(ss),`$ (12)
$`\lambda _{\alpha (\dot{\beta })}^{\dot{\gamma }\dot{\delta }}=(x_\alpha ^{\dot{\gamma }}\delta _{\dot{\beta }}^{\dot{\delta }}+x_\alpha ^{\dot{\delta }}\delta _{\dot{\beta }}^{\dot{\gamma }}){\displaystyle \frac{\rho }{\sqrt{2}\pi }}{\displaystyle \frac{1}{(x^2+\rho ^2)^2}}(sc).`$ (13)
Analogously, we can construct the zero modes of the Dirac operator in the background field of an anti-instanton. The regular gauge supersymmetric zero mode has the structure $`\lambda _{\dot{\gamma }\dot{\delta }}^{\dot{\alpha }(\dot{\beta })}(\delta _{\dot{\gamma }}^{\dot{\alpha }}\delta _{\dot{\delta }}^{\dot{\beta }}+\delta _{\dot{\delta }}^{\dot{\alpha }}\delta _{\dot{\gamma }}^{\dot{\beta }})`$, etc.

The effect of the zero modes on the propagation of fermions can be summarized in terms of an effective lagrangian . The ’t Hooft effective interaction in the case of one Majorana fermion in the adjoint representation of $`SU(2)`$ was determined in . The result is

$``$ $`=`$ $`{\displaystyle \frac{4\pi ^4}{3}}\left({\displaystyle \frac{2\pi }{\alpha _s}}\right)^4\mathrm{exp}({\displaystyle \frac{2\pi }{\alpha _s}})\rho ^3d\rho \{\overline{\lambda }_M^a\lambda _M^a_\mu \overline{\lambda }_M^b^\mu \lambda _M^b+\overline{\lambda }_M^a\gamma _5\lambda _M^a_\mu \overline{\lambda }_M^b\gamma _5^\mu \lambda _M^b`$ (15)
$`{\displaystyle \frac{1}{2}}\overline{\lambda }_M^a\sigma _{\alpha \beta }\lambda _M^b_\mu \overline{\lambda }_M^b\sigma ^{\alpha \beta }^\mu \lambda _M^a\}.`$
This result has to be interpreted with some care. The notion of an effective interaction induced by instantons of some fixed size is incompatible with supersymmetry. In order to derive manifestly supersymmetric results we always have to integrate over the collective coordinates of the instanton. Nevertheless, it is instructive to compare the result (15) with the effective interaction in the case of $`N_f=2`$ Dirac fermions in the fundamental representation. The structure of the two interactions is quite similar, which suggests that instantons may lead to similar physical effects. The most important difference between the two effective lagrangians is the presence of derivatives acting on two of the four Majorana spinors in (15). This difference is connected with the asymptotic behavior of the supersymmetric zero modes, which is not $`1/z^3`$, but $`1/z^4`$.

## IV Matrix elements of the Dirac operator

In the following, we wish to study the spectrum of the Dirac operator in an instanton ensemble. For this purpose, we have to calculate matrix elements of the Dirac operator between the zero modes of individual instantons and anti-instantons

$$T_{IA}=d^4x\overline{\lambda }_I^a(iD/)^{ab}\lambda _A^b.$$
(16)
An ensemble of instantons and anti-instantons is only an approximate saddle point of the action. If the system is sufficiently dilute then the instantons and anti-instantons are well separated and the approximate saddle point solution for the gauge potential is given by a simple sum of the gauge potentials of the individual instantons. For this purpose, the gauge potential of the individual instantons has to be put in singular gauge. In the sum ansatz, we can use the equations of motion of the fermion fields in order to replace the covariant derivative in (16) by an ordinary derivative

$$T_{IA}=d^4x\overline{\lambda }_I^a(i/)\lambda _A^a.$$
(17)
The structure of the Dirac operator is dictated by the form of the zero modes. In the background field of an instanton-anti-instanton pair we have

$$T_{IA}=\left(\begin{array}{cc}0& \begin{array}{cc}T_{IA}^{ssss}& T_{IA}^{sssc}\\ T_{IA}^{scss}& T_{IA}^{scsc}\end{array}\\ \begin{array}{cc}T_{AI}^{ssss}& T_{AI}^{sssc}\\ T_{AI}^{scss}& T_{AI}^{scsc}\end{array}& 0\end{array}\right),$$
(18)
where the matrix elements $`T_{AI}^{ss},\mathrm{}`$ are real quaternions. These quaternions can be decomposed as

$`(T_{AI}^{ssss})_{\dot{\beta }\beta ^{}}`$ $`=`$ $`T_\mu ^{ss}(\sigma _\mu )_{\beta ^{}\dot{\beta }}`$ (19)
$`(T_{AI}^{scsc})_{\beta \dot{\beta }^{}}`$ $`=`$ $`T_\mu ^{sc}(\sigma _\mu )_{\beta \dot{\beta }^{}}`$ (20)
$`(T_{AI}^{sssc})_{\dot{\beta }\dot{\beta }^{}}`$ $`=`$ $`T^{sssc}ϵ_{\dot{\beta }\dot{\beta }^{}}+T_{\mu \nu }^{sssc}ϵ_{\dot{\beta }\dot{\gamma }}(\overline{\sigma }_{\mu \nu })_{\dot{\beta }^{}}^{\dot{\gamma }},`$ (21)
$`(T_{AI}^{scss})_{\beta \beta ^{}}`$ $`=`$ $`T^{scss}ϵ_{\beta \beta ^{}}+T_{\mu \nu }^{scss}(\sigma _{\mu \nu })_\beta ^\gamma ϵ_{\gamma \beta ^{}}.`$ (22)
Here, $`T_\mu ^{ss}`$ and $`T_\mu ^{sc}`$ are real vectors, $`T^{sssc}`$ and $`T^{scss}`$ are real scalars and $`T_{\mu \nu }^{sssc}`$ and $`T_{\mu \nu }^{scss}`$ are self-dual and anti-self-dual tensors, respectively. Chiral symmetry implies that the diagonal blocks of $`T_{IA}`$ are zero. The upper right and lower left blocks are related by hermitean conjugation. For example, we find that

$$(T_{IA}^{ssss})_{\beta \dot{\beta }^{}}=T_\mu ^{ss}(\overline{\sigma }^\mu )^{\dot{\beta }^{}\beta }.$$
(23)
In general, we have $`(T^{})_{AI}=(T)_{IA}`$. The eigenvalues of (18) come in quartets $`(\xi ,\xi ,\xi ,\xi )`$. These results are in agreement with the general arguments presented in .

The functions $`T_\mu ^{ss},\mathrm{}`$ depend on the collective coordinates of the instanton and anti-instanton. We will characterize the relative color orientation by the four vector $`u_\mu =1/2\mathrm{tr}(U_A^{}U_I\sigma _\mu )`$. Here, $`U_{I,A}`$ are $`SU(N_c)`$ matrices that characterize the color orientation of the instanton and anti-instanton. For color $`SU(2)`$ $`u_\mu `$ is a real vector with $`u^2=1`$. Using rotational symmetry and the fact that $`T_{AI}`$ is quadratic in $`u_\mu `$ we have

$`T_\mu ^{ss}`$ $`=`$ $`\widehat{z}_\mu T_1^{ss}+u_\mu (u\widehat{z})T_2^{ss}+\widehat{z}_\mu (u\widehat{z})^2T_3^{ss},`$ (24)
$`T_\mu ^{sc}`$ $`=`$ $`\widehat{z}_\mu T_1^{sc}+u_\mu (u\widehat{z})T_2^{sc}+\widehat{z}_\mu (u\widehat{z})^2T_3^{sc},`$ (25)
$`T^{sssc}`$ $`=`$ $`T_1^{sssc}+T_2^{sssc}(u\widehat{z})^2,`$ (26)
$`T_{\mu \nu }^{sssc}`$ $`=`$ $`(u_\mu \widehat{z}_\nu u_\nu \widehat{z}_\mu )(u\widehat{z})T_3^{sssc},`$ (27)
where $`z_\mu =z_\mu ^Az_\mu ^I`$ and the functions $`T_1^{ss},\mathrm{}`$ depend on $`(|z_\mu |,\rho _I,\rho _A)`$. For simplicity, we will assume that the dependence on $`\rho _{I,A}`$ only enters through their geometric mean $`\overline{\rho }=\sqrt{\rho _I\rho _A}`$. The fact that this assumption is valid to fairly good accuracy was checked in the case of fundamental fermions. In a more sophisticated treatment of the instanton-anti-instanton gauge configuration the dependence of the overlap matrix element on $`(z,\rho _I,\rho _A)`$ is restricted by conformal invariance .

In the following we shall outline the calculation of the invariant functions $`T_1^{ss},\mathrm{}`$. We describe the case $`T_1^{ss}`$ in some detail but relegate the results for the other functions to appendix B. Using the expression (12) for the wave function of the supersymmetric zero modes in singular gauge we find

$`T_\eta ^{ss}`$ $`=`$ $`\left\{\mathrm{tr}\left(\overline{\sigma }_\mu \sigma _\rho \overline{\sigma }_\beta \sigma _\alpha \right)\mathrm{tr}\left(\overline{\sigma }_\nu \sigma _\sigma \overline{\sigma }_\gamma \sigma _\eta \right)+\mathrm{tr}\left(\overline{\sigma }_\mu \sigma _\rho \overline{\sigma }_\beta \sigma _\eta \overline{\sigma }_\nu \sigma _\sigma \overline{\sigma }_\gamma \sigma _\alpha \right)\right\}`$ (29)
$`u_\rho u_\sigma {\displaystyle d^4x\varphi _{\mu \nu }(xz)_\alpha \varphi _{\beta \gamma }(x)},`$
where $`\varphi _{\mu \nu }(x)`$ is the profile function of the supersymmetric zero mode

$$\varphi _{\mu \nu }(x)=\frac{\rho ^2}{\pi }\frac{\widehat{x}_\mu \widehat{x}_\nu }{(x^2+\rho ^2)^2}.$$
(30)
The integral in (29) is most easily calculated in Fourier space. The Fourier transform of $`\varphi _{\mu \nu }`$ is given by

$$\varphi _{\mu \nu }(k)=\delta _{\mu \nu }\varphi _1(k)+\widehat{k}_\mu \widehat{k}_\nu \varphi _2(k)$$
(31)
with

$`\varphi _1(k)`$ $`=`$ $`{\displaystyle \frac{2\pi \rho ^2}{y}}\left\{{\displaystyle \frac{4}{y^3}}\left({\displaystyle \frac{4}{y^2}}+1\right)K_1(y){\displaystyle \frac{2}{y}}K_0(y)\right\},`$ (32)
$`\varphi _2(k)`$ $`=`$ $`2\pi \rho ^2\left\{{\displaystyle \frac{16}{y^4}}\left({\displaystyle \frac{16}{y^3}}+{\displaystyle \frac{4}{y}}\right)K_1(y)\left({\displaystyle \frac{8}{y^2}}+1\right)K_0(y)\right\},`$ (33)
and $`y=k\rho `$. $`K_n(y)`$ is the modified Bessel function of the first kind and order $`n`$. We can now calculate the overlap integral and perform the traces. In momentum space the result is given by

$$T_\eta ^{ss}(k)=(i)\left(2\widehat{k}_\eta 8u_\eta (u\widehat{k})+16(u\widehat{k})^2\right)|\varphi _2(k)|^2.$$
(34)
Finally, we can determine the functions $`T_{1,2,3}^{ss}`$ by performing the inverse Fourier transform. In the $`d^4k`$ integral all integrations except for the one over the absolute magnitude of $`k`$ can be performed analytically. We find

$`T_1^{ss}(z)`$ $`=`$ $`{\displaystyle \frac{1}{8\pi ^2}}{\displaystyle 𝑑k\left\{2k^4j_1(kz)16\frac{k^3}{z}j_2(kz)\right\}|\varphi _2(k)|^2}`$ (35)
$`T_2^{ss}(z)`$ $`=`$ $`{\displaystyle \frac{1}{8\pi ^2}}{\displaystyle 𝑑k\left\{8k^4j_1(kz)32\frac{k^3}{z}j_2(kz)\right\}|\varphi _2(k)|^2}`$ (36)
$`T_3^{ss}(z)`$ $`=`$ $`{\displaystyle \frac{1}{8\pi ^2}}{\displaystyle 𝑑k\mathrm{\hspace{0.17em}\hspace{0.33em}16}k^4j_3(kz)|\varphi _2(k)|^2},`$ (37)
where $`j_n(x)`$ is the spherical Bessel function of order $`n`$. The integrals (35) have to be performed numerically. The results are shown in Figure 1. In the following, we will use a simple parameterization of the numerical results. In the case of the supersymmetric overlaps, we use

$`\overline{\rho }T_1^{ss}(z)`$ $`=`$ $`{\displaystyle \frac{1.26\overline{z}}{1.0+2.34\overline{z}^2+0.35\overline{z}^4+0.24\overline{z}^6}},`$ (38)
$`\overline{\rho }T_2^{ss}(z)`$ $`=`$ $`{\displaystyle \frac{1.05\overline{z}}{(1.0+0.38\overline{z}^2)^3}}+{\displaystyle \frac{6.36\overline{z}^3}{(1.0+0.68\overline{z}^2)^4}},`$ (39)
$`\overline{\rho }T_3^{ss}(z)`$ $`=`$ $`{\displaystyle \frac{15.8\overline{z}^3}{(1.0+0.84\overline{z}^2)^4}},`$ (40)
where $`\overline{z}=z/\overline{\rho }`$. These parameterizations respect the asymptotic behavior of the overlap integrals. In particular, we have $`T^{ss}(z)1/z^5`$, $`T^{sc}(z)1/z^3`$ and $`T^{sssc}(z)1/z^4`$.

For completeness, let us compare these results to the corresponding expressions in the case of fundamental fermions. In this case, there is only one zero mode per instanton. The overlap matrix element $`T_{IA}`$ is a real number in the case of $`SU(2)`$, and complex for $`SU(N_c>2)`$. $`T_{IA}`$ satisfies the symmetry relation $`T_{IA}=T_{AI}^{}`$. As a consequence, the eigenvalues are real and occur in pairs $`(\xi ,\xi )`$. We can extract the dependence of $`T_{IA}`$ on the collective coordinates. The result is

$$T_{AI}^{fund}=(u\widehat{z})T^f(z,\rho _I,\rho _A),T^f(z,\rho _I,\rho _A)\frac{1}{\rho _I\rho _A}\frac{4z}{(2.0+z^2/(\rho _I\rho _A))^2}.$$
(41)
We note that the fundamental overlap matrix element only depends on one $`SU(2)`$ angle $`\mathrm{cos}\theta (u\widehat{z})`$. From the asymptotic form of the zero mode solution one finds $`T^f(z)1/z^3`$.

## V The fermion determinant in the field of an instanton-anti-instanton pair

Before we study gluino condensation we would like to make a brief digression and discuss the gluino induced instanton-anti-instanton interaction. This interaction will play an important role in the calculation of the gluino condensate in an interacting instanton ensemble.

The probability to find an instanton-anti-instanton pair characterized by the collective coordinates $`(z_{I,A},\rho _{I,A},U_{I,A})`$ is controlled by the weight factor $`\mathrm{exp}(S)det(D/+m)`$. The first factor is the well known gluonic interaction. If the instanton and anti-instanton are well separated it has the dipole form

$$S=2S_0S_0\frac{4\rho _I^2\rho _A^2}{z^4}\left(14\mathrm{cos}^2\theta \right),$$
(42)
where $`S_0=(8\pi ^2)/g^2`$ is the single instanton action and $`\mathrm{cos}\theta `$ is the $`SU(2)`$ angle introduced above. We note that the interaction is attractive if the color orientation is aligned with the spatial orientation, $`\mathrm{cos}\theta =\pm 1`$. The second factor is the fermion determinant. In the case of fundamental fermions, it is also well known. We have

$$det(D/)=\mathrm{cos}^2\theta \frac{16}{\rho _I^2\rho _A^2}\frac{z^2}{\left(2.0+z^2/(\rho _I\rho _A)\right)^4},$$
(43)
which is also attractive for $`\mathrm{cos}\theta =\pm 1`$. We also note that the interaction peaks at $`z^2\rho _I\rho _A`$.

Using the results of the last section we can calculate the fermion induced interaction with fermions in the adjoint representation. In order to calculate the determinant for one Majorana fermion we take the square root of the corresponding expression for a Dirac fermion in the adjoint representation. For simplicity, let us begin with the determinant in the basis of the supersymmetric zero modes only. We find

$`det(D/)^{ss}`$ $`=`$ $`|(T_1^{ss})^2+((T_2^{ss})^2+2T_1^{ss}T_2^{ss}+2T_1^{ss}T_3^{ss})\mathrm{cos}^2\theta `$ (45)
$`+((T_3^{ss})^2+2T_2^{ss}T_3^{ss})\mathrm{cos}^4\theta |.`$
The result for the superconformal zero modes is even more simple,

$$det(D/)^{sc}=|(T_1^{sc})^2+((T_2^{sc})^2+2T_1^{sc}T_2^{sc})\mathrm{cos}^2\theta |.$$
(46)
This expression is quite similar to the determinant for fundamental fermions. The supersymmetric determinant (45) is somewhat more complicated, but also peaked for $`\mathrm{cos}\theta =\pm 1`$. When the mixing between supersymmetric and superconformal zero modes is included the fermion determinant depends on other $`SU(2)`$ angles in addition to $`\mathrm{cos}\theta `$. We show numerical results for $`\mathrm{log}(det(D/))`$ as a function of $`z`$, $`\mathrm{cos}\theta `$ and $`\mathrm{cos}\varphi `$ in Fig.2. Here we have taken $`\widehat{z}_\mu =z\delta _{\mu 4}`$ and defined $`\mathrm{cos}\theta =u_4`$ and $`\mathrm{sin}\theta \mathrm{cos}\varphi =u_2`$. We observe that again the determinant peaks for $`z^2\rho _I\rho _A`$. For large $`z`$, the determinant behaves as $`1/z^{16}`$. More importantly, we find that the interaction is again most attractive for $`\mathrm{cos}\theta =\pm 1`$. There is some dependence on $`\mathrm{cos}\varphi `$, but it is not as pronounced as the dependence on $`\mathrm{cos}\theta `$. This means that the gluino induced interaction for one Majorana fermion is qualitatively similar to the quark induced interaction with an effective number of quark flavors between $`N_f=2`$ (which gives $`det1/z^{12}`$) and $`N_f=3`$ (corresponding to $`det1/z^{18}`$).

## VI Gluino condensation in a random instanton ensemble

In this section we study gluino condensation in a random instanton ensemble. This means that we will assume that the collective coordinates of the instantons and anti-instanton are distributed randomly. In particular, we shall neglect the effect of the fermion determinant on the distribution of instantons. This is not a good approximation even in ordinary QCD and it certainly cannot be correct in a supersymmetric theory. Nevertheless, using the approximation of randomness we can get some analytic understanding of the dependence of the gluino condensate on the parameters characterizing the instanton liquid. We can also get an estimate of the relative size of the quark and gluino condensates in theories with both fundamental and adjoint fermions.

The simplest model of the spectrum of the Dirac operator is based on the assumption that the non-zero matrix elements of the Dirac operator are Gaussian random numbers . The distribution is characterized by the first moment

$$\sigma ^2=\frac{2}{N}\mathrm{tr}\left(T^{}T\right).$$
(47)
The eigenvalue distribution for the Gaussian ensemble is given by a semi-circle where the density of eigenvalues at zero virtuality is $`\rho (0)=(N/V)(\pi \sigma )^1`$. Here, $`(N/V)`$ is the number of eigenstates per unit volume. The first moment of the overlap matrix can be estimated by averaging $`|T_{AI}|^2`$ over the collective coordinates of the instantons. Using (41) we find the first moment of the Dirac operator for fermions in the fundamental representation of $`SU(2)`$

$$\sigma =\left(\frac{1}{3}\frac{N}{V}\right)^{1/2}\overline{\rho }\pi ,$$
(48)
where $`\overline{\rho }`$ is the average size of the instanton. This parameter, just like the density of instantons, cannot be determined in the semi-classical approximation. In the instanton liquid model of the QCD vacuum it is assumed that $`\overline{\rho }=1/3`$ fm and $`(N/V)=1\mathrm{fm}^4`$ . Using these values we find

$$\overline{q}q=\frac{1}{\pi \overline{\rho }}3^{1/2}\left(\frac{N}{V}\right)^{1/2}(230\mathrm{MeV})^3,$$
(49)
in very good agreement with the phenomenological value (which, of course, applies to color $`SU(3)`$).

The same arguments can be applied to gluino condensation in a random instanton ensemble. In this case we need to determine the first moment of a quaternionic matrix with the matrix elements determined in section IV. We find

$$\sigma _{ad}=\left(\frac{N}{V}\right)^{1/2}0.43\overline{\rho }\pi ,$$
(50)
which is somewhat smaller than (48). There are four times as many eigenstates per unit volume but for a Majorana fermion the Banks-Casher relation has an additional factor 1/2, $`\overline{\lambda }\lambda =\pi /2\rho (0)`$. We finally get the following estimate of the gluino condensate

$$\overline{\lambda }\lambda =\frac{1}{\pi \overline{\rho }}4.6\left(\frac{N}{V}\right)^{1/2}.$$
(51)
Here and in what follows we have dropped the subscript M on the Majorana spinors. This result is a little more than twice as large as the corresponding result for a Dirac fermion in the fundamental representation. As we saw, this is mainly due to the effective number of zero modes in both cases. We emphasize that the gluino condensate is proportional to the square root of the instanton density, which is also what one would expect if the condensate is extracted from the four-point function using clustering.

We have checked these estimates by performing a numerical calculation of the spectrum of the Dirac operator in a random instanton ensemble. This means that instead of assuming the matrix elements of the Dirac operator to be random we take the collective coordinates of the instantons and anti-instantons to be random. We calculate the spectrum of the Dirac operator and determine the gluino condensate using

$$\overline{\lambda }\lambda =\frac{1}{2}𝑑\lambda \rho (\lambda )\frac{2m}{\lambda ^2+m^2}.$$
(52)
The results are shown in Fig. 3. We observe that the spectrum is not a semi-circle but is peaked towards zero virtuality . This non-analyticity is smoothed out when we calculate the condensate for a non-zero quark or gluino mass. Again using $`(N/V)=1\mathrm{fm}^4`$ and $`\overline{\rho }=1/3\mathrm{fm}`$ as well as $`m_q=m_g=20`$ MeV we find $`\overline{\psi }\psi =(260\mathrm{MeV})^3`$ and $`\overline{\lambda }\lambda =(347\mathrm{MeV})^3`$.

## VII Gluino condensation in an unquenched instanton ensemble

As we stressed in the previous section, the assumption of randomness is not expected to be very useful. The fermion determinant is given by the product of all eigenvalues of the Dirac operator, while the quark or gluino condensate is determined by the density of small eigenvalues. This implies that the determinant tends to suppress fermion condensates. In particular, we expect that the strength of chiral symmetry breaking is reduced as the number of fermion flavors is increased.

In this section we shall study this problem using simulations of the instanton ensemble in QCD with fundamental and adjoint fermions. We consider the partition function

$$Z=\left(\underset{i}{\overset{N}{}}d\mathrm{\Omega }_id(\rho _i)\right)det(D/_f+m_q)^{N_f}det(D/_a+m_g)^{N_{ad}/2}\mathrm{exp}(S)$$
(53)
Here, $`\mathrm{\Omega }`$ denotes the collective coordinates of the instanton, $`d(\rho )`$ is the single instanton distribution , $`D/_{f,a}`$ are the Dirac operators in the fundamental and adjoint representation, and $`\mathrm{exp}(S)`$ is the gluonic interaction between instantons. In order to study spontaneous symmetry breaking in a finite volume we introduce non-zero quark and gluino masses $`m_{q,g}`$. We will study the limit $`m_{q,g}0`$ in some detail.

The partition function (53) suffers from the usual IR problem connected with large instantons for which the semi-classical approximation does not apply. In practice, we deal with this problem by introducing a short range repulsive core in the gluonic instanton interaction, see section V.C. in  for a more detailed discussion. The repulsive core eliminates the contributions of large instantons and very close pairs. This particular method for suppressing objects that are not semi-classical has the virtue that it respects the classical scale invariance of Yang-Mills theory.

The instanton ensemble is characterized by two numbers, the scale parameter $`\mathrm{\Lambda }`$ that enters into the instanton weight $`d(\rho )`$ and a dimensionless parameter $`A`$ which determines the size of the core. Lacking a better theory of topological fluctuations beyond the semi-classical domain we have to fix $`A`$ phenomenologically. This could be done, for example, as soon as lattice information on the spectrum and other properties of theories with adjoint fermions becomes available . In this work we will use the same value that was employed in studies of QCD with fundamental fermions. It leads to a dilute instanton ensemble characterized by the dimensionless parameter $`\overline{\rho }^4(N/V)0.12`$. For simplicity we will concentrate on simulations at a fixed instanton density $`(N/V)=1.0\mathrm{\Lambda }^4`$.

To set the stage, we show results for $`N_f=1,\mathrm{},4`$ flavors of fundamental fermions. Fig. 4 shows the quark condensate as a function of the quark mass from simulations in a euclidean box of size $`V=2.0^4\mathrm{\Lambda }^4`$. The case of only one flavor is special. The chiral condensate persists even if the limit $`m_q0`$ is taken in a finite volume. This is due to the fact that for $`N_f=1`$ the quark condensate is dominated by direct instanton contributions. The result for $`N_f=2`$ is characteristic of spontaneous symmetry breaking. The quark condensate vanishes as the quark mass goes to zero but shows a clear plateau for larger quark masses. One can verify that the onset of chiral symmetry breaking moves towards smaller masses as the volume is increased. For more than two flavors the chiral condensate is significantly reduced. In the case of three flavors the signal is already quite weak. Using simulations in bigger volumes one can verify that chiral symmetry is indeed broken. There is no clear evidence for chiral symmetry breaking in simulations with four or more flavors.

Fig. 4b shows the gluino condensate measured in simulations with one or two flavors of Majorana fermions in the adjoint representation. For $`N_{ad}=1`$ there is clear evidence for spontaneous symmetry breaking. Indeed, the behavior is more reminiscent of the case $`N_f=1`$, where $`\overline{q}q`$ receives direct instanton contributions, than the case $`N_f=2`$, in which chiral symmetry breaking is a collective effect.

These observations can be understood in more physical terms. Supersymmetric gluodynamics has no Goldstone bosons, so finite volume effects are much weaker than in $`N_f=2`$ non-supersymmetric QCD. This means that in a fixed volume, gluino condensation can be observed for gluino masses that are significantly smaller than the quark masses required to produce quark condensation. In the standard picture, there is a discrete chiral symmetry which is broken by gluino condensation. This means that if the gluino mass is too small then chiral symmetry will be restored because of tunneling between the $`Z_2`$ vacua. This is different from $`N_f=1`$ non-supersymmetric QCD where instantons leave no unbroken discrete symmetries.

The value of the gluino condensate is $`\overline{\lambda }\lambda 2\mathrm{\Lambda }^3`$. This result has the correct order of magnitude but it cannot yet be compared directly to the prediction (1). First of all, we use a different definition of the scale parameter. In order to make contact with our work on QCD we use a Pauli-Vilars scale parameter. Second, we have an additional parameter $`A`$ which controls the boundary of the semi-classical regime. Finally, we have performed the simulations at a fixed density of instantons $`(N/V)=1.0\mathrm{\Lambda }^4`$. It is this choice which effectively sets the scale in our calculation.

In Fig. 4b we also show the gluino condensate measured in simulations with $`N_{ad}=2`$ Majorana flavors. The condensate is very small and there is no clear evidence for spontaneous chiral symmetry breaking.

The spectrum of the Dirac operator for $`N_f=2`$ quark flavors and $`N_{ad}=1`$ Majorana flavor is shown in Fig. 5a and b. The spectra were determined in simulations with $`m_{q,g}=0.1\mathrm{\Lambda }^1`$. Again, we observe that in both cases there is a finite density of eigenvalues as $`\lambda 0`$. For $`N_f=2`$ the spectral density near $`\lambda =0`$ is flat<sup>*</sup><sup>*</sup>* Fig. 5 shows that the spectral density is flat for intermediate values of $`\lambda `$. There is a finite volume suppression of the spectral density for small $`\lambda `$ and a $`O(m^2)`$ peak at $`\lambda =0`$. To show that the spectral density is flat at $`\lambda =0`$ in the limit $`V\mathrm{},m0`$ requires more numerical work., whereas in the case $`N_{ad}=1`$ it is growing towards small $`\lambda `$. Again, this is similar to the case of only one fundamental fermion. The results are consistent with the effective field theory prediction

$$\rho ^{}(\lambda =0)=\frac{\mathrm{\Sigma }_0^2}{16\pi ^2f_\pi ^4}\frac{(N_f2)(N_f+\beta )}{\beta N_f}.$$
(54)
Here, $`\beta `$ is the Dyson index of the random matrix ensemble with the appropriate symmetry. We have $`\beta =1`$ for fundamental fermions in $`SU(2)`$, $`\beta =2`$ for fundamental fermions in $`SU(N>2)`$, and $`\beta =4`$ in the case of fermions in the adjoint representation. $`N_f`$ denotes the number of Dirac or Majorana flavors in the cases $`\beta =1,2`$ and $`\beta =4`$, respectively. $`\mathrm{\Sigma }_0`$ is the magnitude of the quark condensate and $`f_\pi `$ the pion decay constant. The expression (54) summarizes the fact that the spectrum is peaked towards small virtuality for both $`N_f=1`$ and $`N_{ad}=1`$ while it is flat for $`N_f=2`$. Effective field theory predicts the slope of the Dirac spectrum under the assumption that chiral symmetry is broken. The theory cannot predict whether chiral symmetry breaking takes place for some given $`N_f`$ or $`N_{ad}`$.

## VIII Conclusions

In summary we have studied gluino condensation and the spectrum of the Dirac operator in an instanton ensemble. We employ the semi-classical approximation and focus on the Dirac operator in the subspace spanned by the zero modes of the individual instantons and anti-instantons. We have shown how the quaternionic structure of the Dirac operator in theories with adjoint fermions emerges naturally from the spin and color structure of the zero modes. The dependence of the matrix elements on the collective coordinates of the instantons is quite complicated but qualitatively similar to the simpler case of fundamental fermions.

We have provided evidence that gluino condensation does take place in an ensemble of instanton and anti-instantons. In a random ensemble, the gluino condensate is proportional to the square root of the instanton density. In supersymmetric gluodynamics we find that gluino condensation persists even if interactions between the instantons are taken into account. We observed that finite volume effects are much weaker than in QCD with two flavors of fundamental fermions. This is consistent with the fact that supersymmetric gluodynamics has a large mass gap. In QCD with more than one adjoint flavor we found no compelling evidence for gluino condensation.

There are many problems that remain to be studied. In particular, it would be interesting to make a systematic study of gluino and gluino-glueball correlation functions. There are two types of correlation functions: Constant correlators that provide information on condensates, and $`x`$-dependent correlators related to the spectrum. These correlation functions will also show to what extent supersymmetry is realized in the limit $`m_g0`$. In addition to that, it would be interesting to search for evidence of $`Z_2`$ domains and to investigate the dependence of the results on the topological sector of the theory. In this work we have used the zero mode wave functions that correspond to trivial holonomy and anti-periodic boundary conditions on the fermions. This suggests the question of how the results are changed if the boundary conditions are modified. In this case, the zero modes discussed in  will come into play. Finally, it is important to study the role of very large instantons that were excluded in the present study.

There have been suggestions that objects with fractional topological charge may play a role in theories with adjoint fermions . These objects can give a direct contribution to the gluino condensate. Because of tunneling between the different $`Z_N`$ phases the presence of such objects cannot be inferred from the behavior of the gluino condensate as a function of the quark mass in a finite volume. One should be able, however, to detect the presence of fractionally charged objects in lattice simulations by looking for zero modes of the Dirac operator that do not appear in multiples of $`2N_c`$ . In this context it would also be interesting to study gluino condensation for $`N_c>2`$. For adjoint fermions the number of zero modes per topological charge increases with $`N_c`$. One might therefore doubt that instantons alone are sufficient to trigger gluino condensation in large $`N_c`$ SUSY gluodynamics. It has also been suggested that fractionally charged objects can be thought of as instanton constituents . One might then envision a situation where if $`N_c`$ is small, or instantons are small, fractionally charged objects are bound into instantons while for large $`N_c`$, or for large instantons, topological objects dissociate and the instanton liquid should be replaced by liquid of fractional charges.

Acknowledgments: I would like to thank E. Shuryak, J. Verbaarschot and A. Zhitnitsky for useful discussions. I would also like to thank M. Shifman for many valuable comments and pointing out some errors in an earlier version of this manuscript. This work was supported in part by the US DOE grant DE-FG-88ER40388.

## A Euclidean Spinor Conventions

We use the following euclidean spinor conventions

$`\gamma _\mu `$ $`=\left(\begin{array}{cc}\hfill 0& \hfill \sigma _\mu \\ \hfill \overline{\sigma }_\mu & \hfill 0\end{array}\right)=\gamma _\mu ^{},\gamma _5=\left(\begin{array}{cc}\hfill 1& \hfill 0\\ \hfill 0& \hfill 1\end{array}\right),`$ (A5)
$`\sigma _\mu `$ $`=(i\stackrel{}{\sigma },1),\overline{\sigma }_\mu =(i\stackrel{}{\sigma },1),`$ (A6)
$`(\sigma _{\mu \nu })_\alpha ^\beta `$ $`={\displaystyle \frac{1}{4}}\left[(\sigma _\mu )_{\alpha \dot{\alpha }}(\overline{\sigma }_\nu )^{\dot{\alpha }\beta }(\sigma _\nu )_{\alpha \dot{\alpha }}(\overline{\sigma }_\mu )^{\dot{\alpha }\beta }\right],`$ (A7)
$`(\overline{\sigma }_{\mu \nu })_{\dot{\beta }}^{\dot{\alpha }}`$ $`={\displaystyle \frac{1}{4}}\left[(\overline{\sigma }_\mu )^{\dot{\alpha }\alpha }(\sigma _\nu )_{\alpha \dot{\beta }}(\overline{\sigma }_\nu )^{\dot{\alpha }\alpha }(\sigma _\mu )_{\alpha \dot{\beta }}\right].`$ (A8)
Indices are raised and lowered with $`ϵ^{\alpha \beta }`$ and $`ϵ^{\dot{\alpha }\dot{\beta }}`$ where $`ϵ^{\alpha \beta }ϵ_{\beta \gamma }=\delta _\gamma ^\alpha `$ and $`ϵ^{\dot{\alpha }\dot{\beta }}=ϵ^{\alpha \beta }`$. The euclidean sigma matrices have the following properties

$`(\sigma _\mu \overline{\sigma }_\nu )_\alpha ^\beta `$ $`=`$ $`\delta _{\mu \nu }\delta _\alpha ^\beta +2(\sigma _{\mu \nu })_\alpha ^\beta ,`$ (A9)
$`(\overline{\sigma }_\mu \sigma _\nu )_{\dot{\beta }}^{\dot{\alpha }}`$ $`=`$ $`\delta _{\mu \nu }\delta _{\dot{\alpha }}^{\dot{\beta }}+2(\overline{\sigma }_{\mu \nu })_{\dot{\beta }}^{\dot{\alpha }},`$ (A10)
$`(\overline{\sigma }_\mu )^{\dot{\alpha }\alpha }`$ $`=`$ $`ϵ^{\alpha \beta }ϵ^{\dot{\alpha }\dot{\beta }}(\sigma _\mu )_{\beta \dot{\beta }}`$ (A11)
$`\sigma _{\mu \nu }`$ $`=`$ $`{\displaystyle \frac{1}{2}}ϵ_{\mu \nu \rho \sigma }\sigma _{\rho \sigma },\overline{\sigma }_{\mu \nu }={\displaystyle \frac{1}{2}}ϵ_{\mu \nu \rho \sigma }\overline{\sigma }_{\rho \sigma }.`$ (A12)
## B Matrix elements

In this appendix we collect the remaining matrix elements of the Dirac operator. We define the profile function of the superconformal zero mode

$$\varphi _\mu =\frac{\rho }{\sqrt{2}\pi }\frac{x_\mu }{(x^2+\rho ^2)^2}$$
(B1)
and its Fourier transform $`\varphi _\mu (k)=i\widehat{k}_\mu \varphi _3(k)`$ with

$$\varphi _3(k)=\sqrt{2}\pi \rho ^2K_1(k\rho ).$$
(B2)
The matrix elements of the Dirac operator between superconformal zero modes are determined by

$$T_\eta ^{sc}(k)=(+i)\left(2\widehat{k}_\eta +8u_\eta (u\widehat{k})^2\right)k|\varphi _3(k)|^2,$$
(B3)
and the matrix elements between supersymmetric and superconformal zero modes lead to

$`T^{sssc}(k)`$ $`=`$ $`\left(28(u\widehat{k})^2\right)k\varphi _2(k)\varphi _3(k),`$ (B4)
$`T_{\mu \nu }^{sssc}(k)`$ $`=`$ $`8\left(u_\mu \widehat{k}_\nu u_\nu \widehat{k}_\mu \right)(u\widehat{k})k\varphi _2(k)\varphi _3(k).`$ (B5)
From these results we can extract the invariant functions

$$T_1^{sc}(z)=\frac{1}{8\pi ^2}𝑑k\mathrm{\hspace{0.17em}2}k^4j_1(kz)|\varphi _3(k)|^2$$
(B6)
and $`T_2^{sc}(z)=4T_1^{sc}(z)`$ as well as $`T_3^{sc}(z)=0`$. Also

$`T_1^{sssc}(z)`$ $`=`$ $`{\displaystyle \frac{1}{8\pi ^2}}{\displaystyle 𝑑k\left[2k^4j_0(kz)8\frac{k^3}{z}j_1(kz)\right]\varphi _2(k)\varphi _3(k)},`$ (B7)
$`T_2^{sssc}(z)`$ $`=`$ $`{\displaystyle \frac{1}{8\pi ^2}}{\displaystyle 𝑑k\mathrm{\hspace{0.17em}8}k^4j_2(kz)\varphi _2(k)\varphi _3(k)},`$ (B8)
and $`T_3^{sssc}(z)=T_2^{sssc}(z)`$. Numerical results for these functions are shown in Fig. 1. The results can be parametrized as

$$\overline{\rho }T_1^{sc}(z)=\frac{0.25\overline{z}}{1.0+0.42\overline{z}^2+0.21\overline{z}^4}$$
(B9)
as well as

$`\overline{\rho }T_1^{sssc}(z)`$ $`=`$ $`{\displaystyle \frac{0.17}{1.0+0.05\overline{z}^2+0.08\overline{z}^4}},`$ (B10)
$`\overline{\rho }T_2^{sssc}(z)`$ $`=`$ $`{\displaystyle \frac{1.2\overline{z}^2}{(1.0+0.45\overline{z}^2)^3}}+{\displaystyle \frac{0.014\overline{z}^2}{(1.0+0.21\overline{z}^2)^3}},`$ (B11)
where $`\overline{z}=z/\overline{\rho }`$. The overlap matrix elements $`T^{sssc}`$ are related to the corresponding functions with the supersymmetric and superconformal zero modes interchanged. We find $`T_{1,2}^{scss}=T_{1,2}^{sssc}`$ and $`T_3^{scss}=T_3^{sssc}`$.


format: text

text:
# A new cosmological tracker solution for Quintessence

## I Acknowledgements

This work was partly supported by CONACyT, México 119259 (L.A.U.)

## II captions

FIG. 1. Evolution of the dimensionless density parameters taking $`\mathrm{\Omega }_{oM}=0.30`$ and $`\mathrm{\Omega }_{o\mathrm{\Phi }}=0.70`$. The different models with $`\omega _\mathrm{\Phi }=\{0.6(red),0.7(green),0.8(blue),0.9(pink)\}`$ are also shown.

FIG. 2. The luminosity distance vs redshift for the models shown in fig. I. The horizontal line is the luminosity distance for $`\mathrm{\Lambda }CDM`$. The open circles represent the observational results from SCP and the opaque circles are from HZS.

FIG. 3. Angular power spectrum for the models considered in fig. I and $`\mathrm{\Lambda }CDM`$ (black). The data were taken from.

FIG. 4. Mass power spectrum for the models shown in fig. I. All models with spectral index $`n_s=1`$. The data points are from.

FIG. 5. Evolution of the scalar potential $`V(\mathrm{\Phi })`$ in terms of the scalar field $`\mathrm{\Phi }`$.


text:
# Are the Laws of Thermodynamics Consequences of a Fractal Properties of Universe?

## I Introduction

It is well known, that the multifractal sets have the characteristics very similar to the characteristics of a physical quantities (a free energy, an entropy, a temperature etc) with which these characteristics can be formally compared. The connections between the characteristics of multifractal set and characteristics of physical quantities formally correspond to connections between the thermodynamic quantities. This surprising correspondence till now is completely inexplicable. In the present paper the multifractal analysis advanced in by Mandelbrot , , Renyi , Halsy , etc. (see for example, Rudolf ) was used for a substantiation of thermodynamics laws on the base of the supposition that the space and the time are multifractal sets. If our Universe state is the state of equilibrium (or the state nearly equilibrium) the connections between the global characteristics of Universe as a whole (multifractal time and space) and their local fractal characteristics will be the same that thermodynamic laws (it is shown on the basis of the fractal theory of time and space (see  \- ). From the point of view of the fractal theory of time and space the thermodynamics relations (as well as thermodynamics in whole) are consequence of the multifractal structure (structure of time and space) of our Universe.

In the theory  \-  the time and the space are treated as a real physical fields. These fields consist of small multifractal subsets of time and space (”elements” of time and space), in turn, approximately treated as ”points”. Multifractal sets of time and space defined on a set of the carrier of a measure $`R^n`$, and contain all characteristics of the real world by reflected it’s in their fractional dimensions. The fractal dimensions $`d_{tr}`$ (or $`d_t`$ and $`d_r`$) in small neighborhood of points $`t,r,`$ for these ”points” (belonging the sets of $`t`$) are global dimensions. At the same time for all space - time continuum these dimensions are local fractal dimensions (Gelder exponents). The purpose of the paper is the establishment of connection between the global and the local characteristics of multifractal space and time on the basis of the multifractal analysis. We suppose that the state of the Universe (consisting from multifractal time and spatial sets) may be described as the state close to a thermodynamic equilibrium. The establishment of such connections enables on to view the new reason of origin of thermodynamic relations existing in our world, reducing it to presence of the fractal properties at time and space. We shall show, that the thermodynamic relations used in physics are a natural consequence of known mathematical connections between the multifractal characteristics of the Universe (Universe is considered as multifractal space - time set described within the framework of the fractal theory of time and space  \- ). Thus thermodynamics can be considered as a natural consequence of multifractal characteristics of time and space of the world in which we live.

## II Connection Between the Physical and Multifractal Characteristics in the Multifractal Universe

Let’s consider the Universe as a dynamic system at the state that close to a thermodynamic equilibrium (at the present stage of it’s development), defined on a multifractal set $`X`$. Let the state of the Universe is characterized by fractal dimensions of a space - time continuum and by mean values of an internal energy, a free energy, an entropy, a temperature. If the state of Universe is close to the thermodynamic equilibrium, it’s characteristics is possible to describe by a free energy $`F`$, entropy $`S`$, internal energy $`E`$ and temperature $`T`$. Let the Universe has a multifractal nature stipulated by fractional dimensions of time and space (according to the fractal theory of time and space  \- ) and is characterized by multifractal set $`X(r,t)`$ it’s space \- time points. The multifractal set $`X`$ is defined on the carrier of a measure (set $`R^n`$ with topological dimensions), i.e. $`XisthesubsetofR^n`$. Let the set of the carrier of a measure is characterized by the temperature $`T_0`$, by the internal energy $`E_0=T_0`$ (in the system in which the Boltzmann constant is equal to unity), by a free energy $`F_0`$. Let’s define a measure $`\mu `$ on the set $`X`$ and consider connection between invariant scaling characteristics of the multifractal Universe with a measure $`\mu `$ on the basis of the theory  \-  and hypothesis about the origin of the Universe as a result of explosion (big bang). Because of multifractality of space - time sets, the scaling transformations (at measuring volume of the Universe with the help of covering by four- dimension orbs (or cubes) with radius $`\delta `$), for example, for mean values of probability of the casual mass distribution $`<p^q>`$ (or the random distributions of densities of energy of physical fields), will look like (see, for example,  \- )

$$<p^q>\delta ^{\tau (q+1)}$$
(1)
where $`q`$ is scale factor bound with $`q`$-dimensions Renyi $`dim_B^q(X)`$ by relation

$$dim_B^q(X)=\frac{\tau (q)}{q1}$$
(2)
The dimension Renyi characterizes global scailing characteristics of the Universe. For definition of it’s physical sense we shall consider local properties of the Universe near to the point $`r,t`$. The local fractal dimensions in this point (Gelder’s exponent) according to  \-  looks like

$$\alpha (x)d_{t,r}(\stackrel{}{r}(t),t)=4+\underset{i}{}\beta _iL_{i,t\stackrel{}{r}}(\stackrel{}{r}(t),t)$$
(3)
where $`L_{i,t\stackrel{}{r}}`$ are densities of energy of physical fields in this point and characterized by the densities of Lagrangians. The quantity $`p_i`$ in a neighborhood of a point $`(r,t)`$ is transformed as

$$p_i\delta ^{d_{tr}(\stackrel{}{r}(t),t)}$$
(4)
From definition of q-dimensions Renyi

$$dim_B^q(\stackrel{}{r},t)=\frac{1}{q1}lim_{\delta 0}\frac{log\underset{i}{}p_i^q}{log\delta }$$
(5)
follows

$$dim_B^q(\stackrel{}{r},t)=\frac{qd(\stackrel{}{r}(t),t}{q1}$$
(6)
The fractal dimensions $`d(r,t)`$ in (3) are the dimensionless internal energies (after multiplication on $`E_0`$ the relation (3) and correspond an internal energies of Universe in a point with coordinates $`(r,t))`$ and so, for $`q>>1`$, follows

$$dim_B^q(\stackrel{}{r},t)d(\stackrel{}{r}(t),t)$$
(7)
Therefore the $`dim_B^q(X)`$ should has sense of an energies. For describing of a thermodynamic equilibrium of the Universe there are only two energies (internal $`E`$ and free $`F`$) and $`E_0`$ is bound with $`d_{tr}(r,t)`$, therefore the dimensions Renyi there corresponds to a free energy of the Universe ($`F`$ divided by $`E_0`$ ) in the $`q`$ \- state. Let’s define now $`q`$ \- state. From (2) follows, as the Universe cools down and also it’s temperature is decrease and it’s volume grows, that $`q`$ must depends on temperature and will increase with Universe cooling. The simplest dimensionless function satisfying to this requirement is the function

$$T=T_0/T$$
(8)
Now it is necessary to define a function of state of the Universe - the entropy $`S`$. Let’s consider subsets $`S^{}(\alpha )`$ (of the set $`X`$) with identical Gelder’s exponents $`d_{rt}=\alpha `$ (in our case it corresponds to a selection of an isoenergetic sets of the ”internal energy” of the Universe). In this case joining of subsets $`S^{}(\alpha )`$, stratifying original set $`X`$, will coincide with the original set. Let’s introduce a spectrum of fractal dimensions $`f(\alpha `$ ).The joining of all such subsets makes set $`X`$. Let’s the fractal dimensions of set $`S(\alpha (q))`$ (obtained as a result of such stratifying) is $`f(\alpha (q))`$ (spectrum of singularities). For each value of $`q`$ the state of the Universe is determined as a single-valued state and at alteration $`q`$ (that is decreasing of energy of the Universe because of decreasing of it’s temperature) and expansion of the Universe) function $`f(\alpha (q))`$ , describing scaling properties of set $`S(\alpha (q))`$, will grows. Such behavior corresponds to behavior of an entropy (a $`q`$ \- entropy) which we shall designate by $`S`$. Hence, to the every state of Universe there corresponds a spectrum of singularities $`f(\alpha (q))`$ equal to an $`q`$ \- entropy $`S`$.

## III Connection of a Free Energy and an Entropy as a Consequence of a Multifractal Nature of the Universe

We use now the known relation of the multifractal analysis between q-dimensions Renyi, spectrum of a singularity $`f(\alpha (q))`$ and local fractal dimensions $`q`$, (see, for example, )

$$(q1)dim_B^q(X)=q\alpha (q)f(\alpha (q))$$
(9)
For $`T<<T_0`$, substituting in (9) instead of dimensions Renyi the spectrum of singularities $`f(\alpha (q))`$, the local fractal dimensions $`\alpha (q)`$ and the scaling factor $`q`$ their physical values (that we have received earlier) the relation reads

$$F=ETS$$
(10)
The relation (10) is the basic relation of the thermodynamics. As relation (10) is fulfilled for the Universe as a whole, it will be fulfilled and for it’s parts with the state of thermodynamically equilibrium. Therefore in the Universe with the multifractal time and space the realization of the laws of thermodynamics is a simple consequence of it’s structure.

The analysis of connections of global dimensions and local fractal characteristics of the fractal space - time carried out above allows to make the following statements, that are true for a case of equilibrium (or nearly so by equilibrium) of the state of the Universe:

a)The free energy of the Universe $`F`$ can be viewed as fractal $`q`$ \- dimensions Renyi $`(q=T_0/T)`$ of space - time set $`X`$ that consist the Universe

$$dim_B^{T_0/T}(\stackrel{}{r},t)=\frac{T}{T_0T}lim\frac{log(\underset{i}{}\mu _i^{T_0/T})}{log\delta }=F$$
(11)
where $`\mu _i`$ a measure of $`i`$-th of four-dimensional element of space - time;

b) The inverse temperature of the Universe $`T_0/T`$ corresponds to the $`q`$-characteristics of the scaling transformation of multifractal space - time;

c) The entropy of Universe $`S`$ corresponds the spectrum of fractal dimensions $`f(d_{tr}(T_0/T))`$, defined by dependencies of space-time of dimensions Renyi $`dim_B^{T_0/T}(\stackrel{}{r},t)`$ , mean temperature $`T_0/T`$ and local fractal dimensions of space - time sets with identical energy $`d_{tr}(T_0/T)`$;

d) The knowledge of the fractal spectrum and dimensions $`d_{tr}(q)`$ allows to find dimensions Renyi from (11). If the dimensions Renyi is known, the differentiation (\****6.10) with respect to $`q`$ gives in the equation

$$d_{tr}(q)=\frac{d}{dq}[(q1)dim_B^q(\stackrel{}{r},t)$$
(12)
It is possible to find, using (9), the entropy (i,e. the spectrum of fractal dimensions $`f(T_0/T)=f(q))`$;

e) The thermodynamics in viewed model is a consequence of the multifractality of space - time continuum.

## IV Conclusion

The problem of a substantiation of the thermodynamics within the frame- work of the fractal theory of time and space presented in this paper, (as well as a substantiation of irreversibility of time and spatial events (see ) is reduced to a postulating of multifractal properties of space and time. If model of fractal time and spaces  \-  is correct, the Universe is open system and exchange it’s energy with the carrier of a measure $`R^n`$ (or with the alien Universe of inflationary model  or model ).