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# Fluctuation formula in the Nosé-Hoover thermostated Lorentz gas

## I Introduction

In recent years a large number of papers focused on various fluctuation formulas (FFs) with both theoretical and numerical tools, and today these seem to be one of the most interesting results in the field of statistical physics of nonequilibrium systems ftreview . This behavior was observed numerically in a system of thermostated fluid particles undergoing shear flow shearflow . It was an important property of the FF that it seemed to be valid for large external forcings as well chaodyn , therefore it was considered that it could shed some light on the thermodynamical behavior of systems far from equilibrium. Consequently, significant theoretical efforts have been made to find a common property behind the observed FF and these efforts resulted in various fluctuation theorems (FTs): the Gallavotti-Cohen approach built on the chaotic hypothesis gcft ; dynens , the Evans-Searles theorems es , deterministic local FT revdamp , the FT for stochastic systems kurchan ; es4 ; lebspo , the theorem of Maes established on the Gibbs Property maes , and the FT for open systems tel . The Gallavotti-Cohen FT/FF serves as the basis of the numerical investigations presented in this paper.

All of the applied theoretical methods shared the property of putting extra presumptions on the physical systems (i.e., chaoticity, stochasticity) that could not be proved a priori. This situation naturally raised the need to study the FF numerically and compare the numerical results to the theoretical predictions. Up to now several physical models have been investigated numerically, such as the two-dimensional (2D) reversibly damped fluids revdamp , the chains of weakly interacting cat maps catmap , the Fermi-Ulam-Pasta chain anhlatt , and the periodic Lorentz Gas (PLG) thermostated by the Gaussian isokinetic (GIK) thermostat exptest ; flform .

The FF is a symmetry property of the probability density function (PDF) of a dynamically measured quantity $`\pi `$ connecting the probabilities of measuring $`\pi `$ values with equal magnitudes but opposite signs. More precisely, let $`\pi _\tau (t)`$ denote the quantity $`p`$ averaged over a time interval of length $`\tau `$ centered around time $`t`$: $`\pi _\tau (t)=\frac{1}{\tau }\underset{\tau /2}{\overset{\tau /2}{}}p(t+t^{})dt^{}`$. Considering it as a stochastic variable $`x`$, its statistical properties in a steady state can be characterized by the PDF $`\mathrm{\Pi }_\tau (x)`$. The FF states that the PDF $`\mathrm{\Pi }_\tau (x)`$ has the following property:

$$\underset{\tau \mathrm{}}{lim}\frac{1}{\tau }\mathrm{ln}\frac{\mathrm{\Pi }_\tau (x)}{\mathrm{\Pi }_\tau (x)}=x.$$
(1)
In other words, for large enough $`\tau `$ values the probability of observing $`\pi _\tau `$ is exponentially smaller than the probability of observing $`\pi _\tau `$ .

In exptest ; flform  the examined physical quantity $`\pi _\tau (t)`$ was the phase-space contraction rate (PSCR), which due to this special property of the applied GIK thermostat was equal to the thermodynamical entropy production rate (EPR) at any given time. However, this identity does not hold in general epr , and PSCR and EPR fluctuations can have different PDFs as, e.g., in the case of Nosé-Hoover thermostated systems (see Sec. II). The theoretical methods using the Sinai-Ruelle-Bowen (SRB) measure gcft ; shearflow  to calculate the probabilities of trajectory segments predict that the quantity obeying the FF is the PSCR and further nontrivial theoretical efforts are needed to establish similar results for the EPR fluctuations epr .

The main purpose of examining the Nosé-Hoover (NH) thermostated PLG is to investigate which of the above-mentioned physical quantities obey the FF in a system, where the corresponding PDFs are not identical. In addition to this, checking the NH thermostated PLG numerically against the FF is in itself an important task, given that the NH thermostat is one of the two generally used dynamical thermostats; the transport properties of this model have been recently investigated in nosehoover . In Sec. II we describe the examined model; in Sec. III we present our numerical results; and in Sec. IV we summarize our conclusions.

## II The System

One of the most investigated models suitable for studying transport phenomena is the field-driven thermostated periodic Lorentz Gas. This model consists of a charged particle subjected to external electric field and moving in the lattice of elastic scatterers. Due to the applied electric field, one must use a thermostating mechanism to achieve a steady state in the system; such a tool is a dynamical thermostat. Two types of dynamical thermostats have been applied to the PLG up to now: the GIK thermostat producing microcanonical distribution gik  and the Nosé-Hoover thermostat producing canonical distribution in equilibrium nosehoover ; thermostats .

We present the equations of motion of the two-dimensional NH thermostated PLG in dimensionless form: mass and electric charge are measured in units of the particle’s mass $`m`$ and charge $`q`$ and the unit length is chosen to be the radius of the scatterers ($`R=1`$). Let $`𝐪=(q_1,q_2)`$ denote the position and $`𝐩=(p_1,p_2)`$ the momentum of the particle, then the phase-space vector of the system is $`𝚪=(𝐪,𝐩,\zeta )`$, where $`\zeta `$ is the state variable of the thermal reservoir. Between two subsequent collisions the state of the system is evolved smoothly by the differential equation

$`\dot{𝐪}`$ $`=`$ $`𝐩,`$
$`\dot{𝐩}`$ $`=`$ $`𝐄\zeta 𝐩,`$ (2)
$`\dot{\zeta }`$ $`=`$ $`{\displaystyle \frac{1}{\tau _{resp}^2}}\left({\displaystyle \frac{p^2}{2T}}1\right),`$
and is transformed abruptly at every elastic collision. In this equation $`𝐄`$ is the the external electric field, $`\tau _{resp}`$ is the response time of the reservoir, and $`T`$ is the temperature satisfying $`p^2=2T`$.

In the simulations presented in this paper we have used a square lattice of circular scatterers, however, we have investigated numerically other lattices as well (e.g, triangular), but have not found any relevant differences concerning the results presented in Sec. III.

Energy dissipation can be measured by the phase-space contraction rate $`\sigma `$ and can be computed by taking the divergence of the right-hand side of Eq. (II) as:

$`\sigma (t)=\text{div}\dot{𝚪}(t)=\zeta (t).`$ (3)
The entropy production rate $`\xi `$ can be formally defined by the expression of irreversible thermodynamics

$`\xi (t)={\displaystyle \frac{𝐉(t)𝐄}{T}}={\displaystyle \frac{𝐩(t)𝐄}{T}},`$ (4)
where $`T`$ is the kinetic temperature. We note that this quantity is identical to the dissipation function of the Evans-Searles theorem ftreview . It can be shown that in this model $`\sigma =\xi `$, however, the identity $`\sigma (t)=\xi (t)`$ does not hold at all times, as opposed to the case of the GIK thermostated PLG.

## III Numerical Results

The objective of the numerical simulation is to measure the PDFs $`\mathrm{\Sigma }_\tau (x)`$ and $`\mathrm{\Xi }_\tau (x)`$ of the averaged quantities $`\sigma _\tau (t)=\frac{1}{\tau }_{\frac{\tau }{2}}^{\frac{\tau }{2}}\zeta (t^{^{}})𝐝t^{^{}}`$ and $`\xi _\tau (t)=\frac{1}{\tau }_{\frac{\tau }{2}}^{\frac{\tau }{2}}\frac{𝐩(t+t^{^{}})𝐄}{T}𝐝t^{^{}}`$ and check the validity of the FF for them. In order to perform this task we should evolve the state of the system $`𝚪`$ along a long trajectory, which requires the algorithm to be very efficient. This need motivated us to implement an event driven algorithm that generates and handles events, such as the collision of the particle with a scatterer and the replacement of the particle from one simulation cell into the other. The most sensitive issue when applying such an algorithm is to determine the point of time when a specific event occurs; in computer science this problem is known as collision detection. Since in the case of the Nosé-Hoover thermostat the velocity of the particle is not upper bounded, we could not have chosen the simplest such method, the so-called naive algorithm, which could have been applied in the case of the GIK thermostat. Instead of this we have applied the method of building the time estimation into the Runge-Kutta integrator, which is used in simulating particle laden flows and coupled particle-field systems (see Ref. colldet ).

The PDFs $`\mathrm{\Sigma }_\tau (x)`$ and $`\mathrm{\Xi }_\tau (x)`$ were constructed by periodically computing the quantity $`\sigma _\tau (t)`$ and $`\xi _\tau (t)`$ along a long particle trajectory and making a histogram of the computed data. In building the histogram we have used overlapping and nonoverlapping windows techniques as well, but have not found any relevant differences between them concerning the results of this paper. Throughout the presented numerical experiments we have used the $`T=1.0`$ and $`\tau _{resp}=1.0`$ values, however we have tested several other configurations as well. We have simulated $`t=10^7`$ long particle trajectories resulting in approximately $`2\times 10^6`$ collisions with the scatterers.

Figures 1, 2, 3 and 4 show the functional form of the PDFs $`\mathrm{\Sigma }_\tau (x)`$ and $`\mathrm{\Xi }_\tau (x)`$ for small and large external fields. Examining the figures one can make the following interesting observations:

1. For low $`\left|𝐄\right|`$ values (close to equilibrium) in Figs 1 2 the PDF $`\mathrm{\Sigma }_\tau (x)`$ seems to be more symmetric than the PDF $`\mathrm{\Xi }_\tau (x)`$.
2. For low $`|𝐄|`$ values in Fig. 1 and Fig. 2 the PDF $`\mathrm{\Xi }_\tau (x)`$ seems strictly narrower than $`\mathrm{\Sigma }_\tau (x)`$; indeed in the $`|𝐄|0`$ limit $`\mathrm{\Xi }_\tau (x)`$ should converge to a Dirac $`\delta `$ function . \[$`\xi _\tau (t)=0`$\], opposed to $`\sigma _\tau `$ that can fluctuate even in equilibrium.
3. For high $`\tau `$ values in Fig. 1, 2, 3 and 4 the curves seem to be indistinguishable from a Gaussian; indeed fitting a Gaussian onto the measured values yields an excellent visual agreement.

With the measured values of $`\mathrm{\Sigma }_\tau (x)`$ and $`\mathrm{\Xi }_\tau (x)`$ one can check the FF in this model. In order to visualize the FF we may introduce the quantities

$`D_\tau ^\sigma (x)`$ $`=`$ $`{\displaystyle \frac{1}{\tau }}\mathrm{ln}{\displaystyle \frac{\mathrm{\Sigma }_\tau (x)}{\mathrm{\Sigma }_\tau (x)}},`$ (5)
$`D_\tau ^\xi (x)`$ $`=`$ $`{\displaystyle \frac{1}{\tau }}\mathrm{ln}{\displaystyle \frac{\mathrm{\Xi }_\tau (x)}{\mathrm{\Xi }_\tau (x)}},`$ (6)
which are shown on Fig. 5, 6, 7 and 8. With these quantities Eq. (1) reads as $`lim_\tau \mathrm{}D_\tau ^\sigma (x)=x`$ and $`lim_\tau \mathrm{}D_\tau ^\xi (x)=x`$. Examining Fig. 5, 6, 7 and 8, one can conclude that

1. For small external forcings and for numerically available $`\tau `$ values the $`\sigma _\tau `$ fluctuations seem to violate the FF (Fig. 5); this observation is supported by the fact that any symmetric function substituted in Eq. (5) yields zero, and due to the time-reversing symmetry of Eq. (II) the PDF $`\mathrm{\Sigma }_\tau (x)`$ is expected to be close to a symmetric function for small external forcings (see Ref. thermsys ).
2. The $`\xi _\tau `$ fluctuations seem to obey the FF both for small and large external forcings.
3. As the external forcing grows, the $`\sigma _\tau `$ fluctuations seem to obey the FF for large $`\tau `$ values (Fig. 7) similarly to $`\xi _\tau `$ fluctuations.

We note that we have examined several other configurations and have found no significant qualitative differences in the observed behavior of the PDFs.

## IV Conclusion

In this paper we have presented numerical evidence showing that the phase-space contraction rate fluctuations violate the fluctuation formula \[Eq. (1)\] in or close to equilibrium in the Nosé-Hoover thermostated periodic Lorentz gas. This observation is completely in line with the theoretical predictions of Evans et al in Ref. thermsys .

On the other hand, we also demonstrated that the entropy production rate fluctuations satisfy the fluctuation formula, which is by no means trivial. It should also be noted that from the physical point of view the entropy production rate is the more relevant quantity due to its relation to thermodynamics and the availability for measurement in physical experiments. A direct consequence of our results is that the phase-space contraction rate and entropy production rate cannot be treated as interchangeable qunatities in fluctuation formulas, therefore statements regarding the applicability of the FF for various models should always clarify which fluctuations they refer to.

###### Acknowledgements.

The authors are grateful to Rainer Klages and Tamás Tél for fruitful discussions and careful reading of the manuscript. This work was supported by the Hungarian Academy of Sciences and by the Hungarian Scientific Research Foundation (Grant No. OTKA T032981).


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# The nature of the Ly𝛼-emission region of FDF-4691 Based on observations obtained at the ESO VLT at Cerro Paranal, Chile.

## 1 Introduction

In all star-forming galaxies Ly$`\alpha `$ photons are produced by recombination in HII regions ionized by young stars. However, these Ly$`\alpha `$ photons are resonance scattered and thus have a large optical path in a neutral gas where they can be absorbed by dust grains (see e.g. Neufeld neufeld (1990)). This may explain the absence of Ly$`\alpha `$ emission from many local and medium-redshift starburst galaxies (Charlot & Fall charlot (1993)). On the other hand, Ly$`\alpha `$ emission is often the most conspicuous feature of the spectra of high-redshift galaxies. In fact, Ly$`\alpha `$ emission is one of the most efficient tools to detect and identify high-redshift galaxies (e.g. Rhoads et al. rhoads (2000); Hu et al. hu (1999)). Of 25 galaxies with $`z>5`$ discussed by Taniguchi et al. (taniguchi (2003)), all but two show strong Ly$`\alpha `$ emission. Moreover, in short exposure spectra of high-redshift galaxies often no continuum is detected, while the Ly$`\alpha `$ emission line is conspicuously present. Kudritzki et al. (kudritzki (2000)) argued that such galaxies must have a very low dust content. However, as noted by Kunth et al. (kunth (1998)) a higher escape probability of Ly$`\alpha `$ photons could also be caused by a suitable velocity field, which reduces the number of resonance scattering events.

In order to clarify the cause of the strong Ly$`\alpha `$ emission of high-redshift galaxies, we observed the Ly$`\alpha `$ emission line galaxy FDF-4691 (from the catalog of Heidt et al. heidt (2003)) at low and medium spectral resolution. Moreover, we carried out radiative transfer model computations to reproduce the observed complex Ly$`\alpha `$ line profile and to constrain the velocity fields and physical conditions of the Ly$`\alpha `$ emitting volume. Throughout this letter we adopt $`\mathrm{\Omega }_\mathrm{\Lambda }`$ = 0.7, $`\mathrm{\Omega }_M`$ = 0.3 and H0 = 70 km s-1Mpc-1.

## 2 Observations and data reduction

The low-resolution spectrum ($`R=200`$) of FDF-4691 (Figs. 1 and 2) has been taken from the atlas of Noll et al. (noll (2004)), where the observational details are described. It is based on a total integration time of 550 min and has a continuum SNR of about 7 between 4000 and 8000 Å.

Medium-resolution spectroscopic observations of FDF-4691 were obtained in August 2002 in service mode, together with other objects. 8 exposures with 47 min integration time each were taken using FORS2 and the 1400V grism resulting in a total integration time of 6.25 h. The co-added spectrum covers the range from 4500 to 6100 Å and has a resolution of $`R`$ 2000 ($`\mathrm{\Delta }v`$ 150 km s-1). The spectra were reduced using MIDAS. Since FDF-4691 is relatively faint ($`m_\mathrm{I}=24.3`$ mag), the continuum SNR of the medium resolution spectrum is $``$ 3 throughout the observed spectral range. Hence this spectrum provides little additional information on the absorption features.

A much better SNR ($``$ 60) was reached for the Ly$`\alpha `$ emission line profile. Fig. 3 shows the observed profile. The abscissa gives the radial velocity relative to the central absorption component (which corresponds to a redshift of $`z=3.304`$).

## 3 Results

### 3.1 Basic observed properties

Apart from the exceptionally strong Ly$`\alpha `$ line the low-resolution spectrum (Fig. 1) shows a for this redshift normal starburst spectrum. The continuum break at the wavelength of Ly$`\alpha `$ is caused by absorption of the Ly$`\alpha `$ forest. The UV luminosity at 1500 Å is $`L_{\mathrm{UV}}`$ = 1.63 $`\pm `$ 0.06 $`\times `$ 1034 W Å-1, which is typical for galaxies between z = 3 and z = 4 in the FDF spectroscopic survey (Noll et al. 2004). The rest-frame Ly$`\alpha `$ equivalent width is 103 $`\pm `$ 15 Å, while the line flux amounts to $`I_{\mathrm{Ly}\alpha }=18.8\pm 0.6\times 10^{20}`$ W m-2. These are only lower limits since Ly$`\alpha `$ photons are more affected by dust than the surrounding continuum. The Ly$`\alpha `$ luminosity is $`L_{\mathrm{Ly}\alpha }=1.83\times 10^{36}`$ W, if the emission is isotropic.

As shown by Fig. 2 at least three prominent stellar wind lines are detected: NV $`\lambda \lambda `$1239, 1243 and CIV $`\lambda \lambda `$1548, 1551 show P Cygni profiles and SiV $`\lambda \lambda `$1394, 1403 is mainly in absorption. HeII $`\lambda `$1640 (total flux 5.3 $`\pm `$ 1.6 $`\times `$ 10-21 W m-2) and CIII\] $`\lambda `$1909 (total flux 8.8 $`\pm `$ 2.0 $`\times `$ 10-21 W m-2) appear in emission. A strong absorption ($`|EW|=3.8\pm 0.9`$ $`\AA `$) blue-wards from the indicated position of CII $`\lambda `$1335 is discussed in Section 3.3.

### 3.2 AGN or starburst?

Our Ly$`\alpha `$ profile ($`FWZI2000`$ km s-1) differs from Ly$`\alpha `$ profiles of high-redshift galaxies observed by, e.g., Dawson et al. (dawson (2002)), which show narrower, asymmetric profiles with $`FWHM300`$ km s-1 with a sharp blue cut-off and a red wing. On the other hand, van Ojik et al. (ojik (1997)) found for high-redshift radio galaxies symmetric Ly$`\alpha `$ profiles with line widths of the order of $`1500`$ km s-1. As some of these profiles have the same line widths and similar profiles as FDF-4691, one might suspect that the Ly$`\alpha `$ line of FDF-4691 is excited by an AGN.

However, the hard radiation field of an AGN would be expected to result in NV / Ly$`\alpha `$, CIV / Ly$`\alpha `$ and CIII\] $`\lambda `$1909 / Ly$`\alpha `$ line ratios which are not observed. For example, the observed CIV / Ly$`\alpha `$ = 0.025 is ten times smaller than the ratio in the composite spectra of AGNs (CIV / Ly$`\alpha `$ = 0.25, Osterbrock osterbrock (1989)).

Moreover radio observations of the FDF have shown that at 1.4 GHz no radio source $`>`$ 100 $`\mu `$Jy is present at the position of FDF-4691 (Wagner 2003, private communication).

Therefore, we conclude that the Ly$`\alpha `$ emission of FDF-4691 is excited by the continuum radiation of the hot stars of this galaxy.

### 3.3 Comparsion with STARBURST99 models

In order to constrain the starburst age and metallicity of FDF-4691 we compared our spectrum with STARBURST99 models (Leitherer et al. leitherer (1999)), assuming a Calzetti et al. (calzetti (2000)) reddening curve. The best fit for the UV slope and the profiles of the stellar wind lines was found for continuous star-formation, low starburst age ($`<`$ 20 Myr), LMC/SMC metallicity, a non-Salpeter IMF of $`\alpha =1.5`$ and $`E(BV)=0.1`$ mag (Fig. 4). The metallicity derived from the CIV absorption equivalent width ($`|EW|=3.0\pm 0.9`$ $`\AA `$) using the calibration given in Mehlert et al. (mehlert (2002)) is also in agreement with the LMC/SMC value. This metallicity is normal for this redshift (Mehlert et al. mehlert (2002)). The reddening of $`E(BV)=0.1`$ mag is among the lowest observed in this redshift range in the FDF spectroscopic survey. Note that this value depends on the reddening curve used. The steeper extinction law of the SMC (Bouchet et al. bouchet (1985)) would yield $`E(BV)=0.03`$ mag. The low reddening is not unexpected in view of the anticorrelation between the strength of the Ly$`\alpha `$ line and the reddening as derived from the UV continuum slope $`\beta `$ found by Shapley et al. (shapley (2003)). But deriving all the parameters mentioned above from UV data alone is not very constraining. Other combinations also provide good fits, including models with an instantaneous starburst and a very young age ($``$ 5 Myr).

The CIV $`\lambda \lambda `$1548, 1551 emission component is stronger in FDF-4691 than in the model. This may indicate the presence of early O stars or Wolf-Rayet stars, which are known to show such CIV profiles (Wu et al. wu (1983); Walborn & Panek walborn (1984); Willis & Garmany willis (1989)). The fact that the low-ionisation interstellar lines (SiII $`\lambda `$1260, OI/SiII $`\lambda `$1303, CII $`\lambda `$1335), visible in the STARBURST99 model, are not present in FDF-4691, is again consistent with the correlation found by Shapley et al. (shapley (2003)) between the reddening and the strength of the interstellar absorption lines. The presence of the strong CII $`\lambda `$1335 line (blue-shifted by 1400 kms-1 in respect to the Ly$`\alpha `$ line) may be explained by the presence of WC stars in FDF-4691, which tend to show strong blue-shifted CII $`\lambda `$1335 lines (Willis & Garmany willis (1989)). WC stars may also provide an explanation for the strength of the HeII and CIII\] emission. The presence of very young stars and WR stars together with the large equivalent width of Ly$`\alpha `$ indicate that the starburst is very young ($`<5`$ Myr).

The star-formation rate of FDF-4691 was obtained from the Ly$`\alpha `$ luminosity ($`SFR_{\mathrm{Ly}\alpha }=16.5\pm 0.5`$ M yr-1) and from the UV luminosity ($`SFR_{\mathrm{UV}}=17.1\pm 0.8`$ M yr-1). In both cases we used the calibration given in Kennicutt (kennicutt (1998)). The agreement indicates that Ly$`\alpha `$ is not significantly attenuated relative to the continuum.

## 4 Comparison with line profile models

In order to constrain the physical properties of the Ly$`\alpha `$ emitting volumes of FDF-4691 we calculated model profiles using the finite element line formation code of Richling and Meinköhn (Richling et al. richling (2001); Meinköhn & Richling meinkoehn (2002)), which is particularly well suited for calculating the radiative transfer in a non-static scattering medium. Since the width and the shape of the lower part of the observed line profile is best explained by the emission of (high-velocity) turbulent H II regions, while the narrow central absorption can be produced only in a low-velocity H I layer in front of the emission region, we assumed a spherical two-component model with a central line emission region surrounded by a shell of neutral HI gas. Configurations of this type have been suggested and investigated earlier by Tenorio-Tagle et al. (tenoriotagle (1999)), Ahn et al. (ahna (2001), ahnb (2003)) and Mas-Hesse et al. (mashesse (2003)). For the emission from the central region we assumed a broad Gaussian Ly$`\alpha `$ emission profile. This assumption seems reasonable in view of the expected supernova rate and stellar wind activity in the observed compact starburst region. The turbulent velocity of the central source was adjusted to fit the outer wings of the observed profile which are not affected by the low-velocity gas of the shell.

The computed model profile fitting the observed profile best is reproduced in Fig. 5. The theoretical model was convolved with the instrumental profile. The parameters for this model are turbulence velocities of about 600 km s-1 in the emission region, of 63 km s-1 in the scattering shell, and an outflow velocity of the shell of 12 km s-1. The central HI column density of the shell was $`N(HI)4\times 10^{17}`$ cm-2, corresponding to an optical depth of the shell in the line center of $`\tau _05000`$.

In the model described above the central absorption of the line profile is produced by the removal of Ly$`\alpha `$ photons from the line center by multiple resonance scattering. Without dust absorption the resonance scattering redistributes all these photons in velocity space to produce the blue and and red peaks framing the central absorption. Calculations with Galactic dust/gas ratio and Galactic dust properties and without dust in the neutral shell showed that with the model parameters given above the dust in the shell had no detectable effect on the line profile. Dust in the central emission region, if not destroyed by the strong radiation field, only reduces the total emission without modifying the profile.

In this model the strong Ly$`\alpha `$ emission line is caused by an intrinsic broad Ly$`\alpha `$ line, allowing a high fraction of Ly$`\alpha `$ photons to escape unaffected by the neutral shell, and a low column density of the neutral shell. Note that with Galactic dust/gas ratio the amount of dust in the shell is very low.

Since the shell turbulence velocity appears too high with respect to the velocity of sound in (mainly) neutral interstellar matter and the rest intensity at the line center is somewhat to high in our model, we expect that we underestimated the neutral column density. A higher neutral column density would increase the separation between the two peaks, allowing to reproduce a similar model as in Fig. 5 with lower shell turbulence velocity. Unfortunately, at present, our code cannot handle much higher optical depths.

Additional model calculations with an increased dust/gas ratio and analytical models (Neufeld neufeld (1990)) suggest that a up to 100 $`\times `$ higher column density of the neutral shell with Galactic dust/gas ratio will not result in a significant reduction of Ly$`\alpha `$ photons in the shell. At higher neutral column densities the destruction of Ly$`\alpha `$ photons will become important.

## 5 Conclusion

Our observations have shown that the Ly$`\alpha `$ galaxy FDF-4691 is a young starburst galaxy with a (for this redshift) normal metallicity and a modest amount of reddening. The Ly$`\alpha `$ flux of the galaxy appears not significantly more attenuated by dust absorption than the UV continuum. According to our models the observed line profile can be explained assuming that a turbulence-produced broad profile of a central emission region is modified by frequency redistribution in a resonance scattering neutral shell around the central H II region. Although the model fit does not constrain the physical parameters of the model well (and the model may be much too simplistic), the computations demonstrate that the detection of the high Ly$`\alpha `$ flux is caused by a low neutral column density and an intrinsic broad emission line. A low dust/gas ratio in the neutral shell is not needed to explain the strong Ly$`\alpha `$ line.

###### Acknowledgements.

We are grateful to the referee for helpful comments. Our research has been supported by the German Science Foundation DFG (SFB 439).


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# Untitled Document

PUPT-2106 hep-th/0401025

Five-dimensional Gauge Theories and Unitary Matrix Models

Martijn Wijnholt

Department of Physics, Jadwin Hall, Princeton University

Princeton, NJ 08544, USA

Abstract

The matrix model computations of effective superpotential terms in $`𝒩=1`$ supersymmetric gauge theories in four dimensions have been proposed to apply more generally to gauge theories in higher dimensions. We discuss aspects of five-dimensional gauge theory compactified on a circle, which leads to a unitary matrix model.

January 2004

1. Overview

In the physics of four dimensional $`𝒩=1`$ supersymmetric gauge theories a special rôle is played by the F-terms. The low energy effective superpotential terms obey stringent constraints and can often be determined exactly. Pushing the simplification to its extreme, it was argued in  that for a large class of examples the computation can be done with only the planar diagrams in an auxiliary matrix model. The canonical example is that of an $`𝒩=2`$ gauge theory deformed to $`𝒩=1`$ by a superpotential, where the planar diagrams can be summed up exactly.

In  it was suggested that matrix model methods can also be used to analyse F-terms in higher dimensional supersymmetric gauge theories. Consider for instance a five dimensional $`U(N)`$ gauge theory with minimal $`𝒩=2`$ SUSY. The matrix model methods of  apply to theories with only four supercharges and isolated vacua so we cannot tackle such a theory directly. However, suppose we put the theory on a circle of radius $`R`$ and coordinate $`t`$. The resulting theory has a Coulomb branch parametrised by the eigenvalues of the complexified Wilson line

$$U=P\mathrm{exp}(𝑑tA_t+\phi ).$$

Now one may turn on a superpotential $`W(U)`$ with isolated critical points. It also breaks the number of supercharges to four. This theory exhibits gluino condensation and we can ask for the effective glueball superpotential. In  it was proposed that the effective superpotential is computed by a unitary matrix model. If one includes hypermultiplets, the effective superpotential should be computed by a matrix quantum mechanics.

As a test of these ideas, one may try to recover the Seiberg-Witten curve for the (compactified) five-dimensional gauge theory by turning off the superpotential. The curve has already been obtained through many other approaches, such as integrable systems , (p,q) five-branes \[4,,5\], geometric engineering \[6,,7\], deconstruction  and instanton calculus , and the links between many of these calculations are known. In section 2 we will review how the curve is obtained through geometric engineering.

The routes to and through the relevant matrix model can be made to follow in rough outline the routes that have been taken for the four-dimensional case. We choose to focus on some of the earlier ideas, which emphasize the embedding of the gauge theory in a larger string theory. In this spirit, in section 3 we consider a D-brane setup for the five dimensional Yang-Mills theory where the computation of F-terms can be argued to reduce to a matrix model. The effective superpotential that the matrix model computes arises from an open-closed duality in string theory where the D-branes dissolve into flux. In section 4 we analyse the matrix model and try to recover the Seiberg-Witten curve in the limit where the superpotential is switched off. The results in the latter part of section four are somewhat puzzling. Besides the expected critical point of the glueball superpotential we seem to find some additional critical points. These can presumably be eliminated by a more careful analysis.

One of the main differences with the four-dimensional case arises from the possibility of a Chern-Simons term in five dimensions. The stringy picture gives us a clear intuition for how to deal with this. Basically there is an integer ambiguity in the glueball superpotential which is related to the Chern-Simons level. It should be possible to derive this directly from the matrix model, but we will not attempt this here. We will also suggest a generalisation of matrix model methods to theories with more general non-minimal kinetic terms for the gauge fields.

A matrix model for a five dimensional gauge theory with a non-hyperelliptic curve has been discussed in . Recently extensions to six dimensional gauge theories have been discussed in  and .

2. A brief tour of geometric engineering

This section is based on \[13,,6,,14,,15,,16\].

2.1. Four-dimensional geometric engineering

Geometric engineering starts with the observation that IIa string theory on an ALE space gives rise to a six dimensional gauge theory with sixteen SUSY localised near the ‘origin’ of the ALE. The equation for an ALE is

$$uv+x^n=0.$$

The singularity may be resolved and the middle dimensional homology is then isomorphic to the root lattice of the algebra of $`SU(n)`$; it is spanned by $`n1`$ 2-spheres with volume $`|a\alpha |`$ where $`a`$ is the complexified Kähler form on the ALE, and $`\alpha `$ runs over the simple roots of the $`SU(n)`$ algebra. The non-abelian gauge bosons are identified with D2 branes wrapped on various two-spheres in this geometry and their mass is proportional to the volume of the 2-sphere they are wrapped on.

In order to get a four dimensional gauge theory with eight supercharges and no adjoint matter, one fibers the ALE geometry over a 2-sphere in such a way that the total three-fold is a Calabi-Yau space. The four dimensional gauge coupling (squared) is then inversely proportional to the area A of the base $`S^2`$:

$$\frac{1}{g_4^2}\frac{A}{g_s\mathrm{}_s^2}.$$

Further, a massless four-dimensional vector multiplet contains an adjoint-valued complex scalar $`\mathrm{\Phi }`$. It may be expanded in terms of the $`SU(n)`$ Cartan generators $`T_i`$ as $`\mathrm{\Phi }=a_iT^i`$, in other words, the $`a_i`$ parametrise the Coulomb branch.

String worldsheets wrapped on the 2-spheres act as (point-like) gauge instantons; this may be seen either from type II on K3/heterotic on $`T^4`$ duality, or from the fact that in type II compactified on K3 we have the six-dimensional equation $`de^{2\varphi }H=\mathrm{Tr}FF`$. The instanton number is the number of times the worldsheet configuration is wrapped on the base $`𝐏^1`$.

The low energy effective action (up to two derivatives) for the massless degrees of freedom of string theory on this background is determined by a prepotential $`(a_i,A)`$ and may be computed by an application of mirror symmetry. After taking a decoupling limit which keeps an interacting gauge theory but throws away all other modes, one recovers the gauge theory prepotential and action:

$$4\pi S=d^4\theta \left(\frac{}{a_i}\overline{a}_i\overline{\frac{}{a_i}}a_i\right)+\frac{1}{2}d^2\theta \frac{^2}{a_ia_j}W_{i,\alpha }W_j^\alpha +h.c.$$

From the gauge theory perspective, the prepotential consists of three pieces: $`=_{\mathrm{tree}}+_{1\mathrm{loop}}+_{\mathrm{instanton}}`$, where

$$\begin{array}{cc}\hfill _{\mathrm{tree}}& =\frac{1}{2}\tau _0a^tCa\hfill \\ \hfill _{1\mathrm{loop}}& =\frac{i}{8\pi }\underset{\mathrm{roots}\alpha }{}(\alpha a)^2\mathrm{log}\frac{(\alpha a)^2}{\mathrm{\Lambda }^2}\frac{i}{8\pi }\underset{\mathrm{flavours}}{}\underset{\mathrm{weights}𝐰}{}(𝐰a)^2\mathrm{log}\frac{(𝐰a)^2}{\mathrm{\Lambda }^2}\hfill \\ \hfill _{\mathrm{instanton}}& =\underset{k>0}{}\mathrm{\Lambda }^{Tk}_k(a_i).\hfill \end{array}$$

We used $`\tau _0=\frac{4\pi i}{g_0^2}+\frac{\theta }{2\pi }`$ for the bare gauge coupling, $`C`$ for the Cartan matrix, and $`T`$ for the instanton weight which depends on the gauge group and the matter representations (it’s $`2N_cN_f`$ for $`SU(N_c)`$ with $`N_f`$ fundamental matter). From the stringy point of view these three pieces receive contributions from classical string theory (here Calabi-Yau intersection numbers), genus zero worldsheet instantons with zero gauge instanton number with a small piece from the classical intersection numbers, and genus zero worldsheet instantons with gauge instanton number $`k`$ respectively.

For many gauge theories the relevant Calabi-Yau geometry is actually toric, and the whole procedure may be automated. Let us discuss the case of pure $`SU(n)`$ gauge theory. The linear sigma model has gauge group $`U(1)^{n1}`$ and $`n+2`$ chiral fields $`X_j`$. The charge vectors are given by

$$\begin{array}{cc}\hfill q_b& =(1,1,2,0,0,0,0,\mathrm{},0,0,0,0)\hfill \\ \hfill q_{f_1}& =(0,0,1,2,1,0,0,\mathrm{},0,0,0,0)\hfill \\ \hfill q_{f_2}& =(0,0,0,1,2,1,0,\mathrm{},0,0,0,0)\hfill \\ \hfill \mathrm{}& =\mathrm{}\hfill \\ \hfill q_{f_{n2}}& =(0,0,0,0,0,0,0,\mathrm{},1,2,1,0)\hfill \\ \hfill q_{f_{n1}}& =(0,0,0,0,0,0,0,\mathrm{},0,1,2,1)\hfill \end{array}$$

The sum of the charges in each row is zero; this is the Calabi-Yau condition. The columns of this matrix can be identified with divisors $`D_j`$ defined by $`X_j=0`$. For each row there is a D-term, whose solution set contains a $`T^{}𝐏^1`$ with a minimal size $`𝐏^1`$ with a volume determined by the corresponding FI-term. Thus to each row we can associate a curve $`C_i`$, namely the minimal size $`𝐏^1`$. The first vector corresponds to the base, and the remaining ones correspond to the exceptional curves in the ALE. The $`(i,j)`$th entry of the matrix is the intersection number $`C_iD_j`$. Note that the last $`n1`$ vectors contain the negative of the Cartan matrix for $`A_{n1}`$, since it describes the intersections of $`𝐏^1`$’s in the ALE.

For the purpose of getting a graphical representation of the data and finding the mirror, one introduces a maximal set of integer vectors $`\nu _i`$ such that

$$q\nu =0.$$

In the present case we can take

$$\nu =\left(\begin{array}{ccccc}1& & 1& & 0\\ 1& & 1& & 0\\ 1& & 0& & 0\\ 1& & 0& & 1\\ \mathrm{}& & \mathrm{}& & \mathrm{}\\ 1& & 0& & n1\end{array}\right)$$

The Calabi-Yau condition implies we can always take the first column to be all 1’s. The rows $`\nu _i`$ are usually represented graphically by forgetting the first entry and drawing a node in a plane with position as indicated by the remaining entries. The resulting toric diagram is sometimes also called a ‘grid diagram.’

fig. 1: (A): Toric diagram from the data (2.1) with $`n=3`$. This corresponds to pure $`SU(3)`$ gauge theory. (B): Dual web diagram. (C): The Seiberg-Witten curve from thickening the web diagram.

The mirror geometry is determined by associating a monomial $`z^ix^j`$ to a node with coordinates $`(i,j)`$ in the toric diagram. The resulting equation is

$$b_1z+\frac{b_1}{z}+\underset{i=0}{\overset{n}{}}c_ix^i=0.$$

One may think of this curve as the ‘reduction’ of the non-compact Calabi-Yau three-fold

$$b_1z+\frac{b_1}{z}+\underset{i=0}{\overset{n}{}}c_ix^i=uw.$$

Reduction means that the periods of the holomorphic (3,0) form $`\mathrm{\Omega }=dzdxdu/(zxu)`$ over 3-cycles in the Calabi-Yau can be written as periods of the (1,0) form $`\mathrm{log}(x)dz/z`$ over 1-cycles of (2.1).

The independent complex structure parameters in (2.1) can be read from the matrix $`q`$ (2.1):

$$\begin{array}{cc}\hfill z_{f_i}& =\frac{c_{i1}c_{i+1}}{c_i^2}\hfill \\ \hfill z_b& =\frac{b_1b_1}{c_0^2}.\hfill \end{array}$$

If we denote the (complexified) volumes of each of the $`𝐏^1`$’s associated to the charge vectors as $`t_k`$, then we have $`t_k=\mathrm{log}(z_k)`$. It is convenient to introduce flat Kähler coordinates $`T_k`$ which measure physical quantities such as the exact masses of W-bosons. On the mirror side, the exact masses of BPS particles are computed by period integrals of $`\mathrm{log}(x)dz/z`$. These periods satisfy Picard-Fuchs differential equations. One can then find the $`T_k`$ explicitly by solving differential equations and matching the log terms:

$$T_k=\mathrm{log}(z_k)+\underset{n0}{}g_nz_b^{n_b}z_{f_i}^{n_i}.$$

The coordinates $`T_k`$ and $`t_k`$ differ by instanton corrections:

$$T_k=t_k+k_ne^{n_bt_b}e^{n_it_{f_i}}.$$

Finally we need to take a limit $`\alpha ^{}0`$ in which the gauge theory decouples from other modes but remains interacting:

$$\mathrm{exp}(1/g_4^2)\mathrm{exp}(T_b)ϵ^{2n}\mathrm{\Lambda }^{2n},T_{f_i}ϵ(e_ie_{i+1})\mathrm{as}ϵg_s2\pi \sqrt{\alpha ^{}}0.$$

In this limit $`m_W/\mathrm{\Lambda }`$ remains finite, $`e_i=a\lambda _i`$ where $`\lambda _i`$ are the fundamental weights of $`SU(n)`$, and we take $`a_i`$ to be the quantum corrected Coulomb branch parameters (so that $`e_ie_j`$ measure exact masses of $`W`$-bosons). Then we may write the above equation in terms of physical parameters as

$$z+\frac{ϵ^{2n}\mathrm{\Lambda }^{2n}}{z}+\underset{i=1}{\overset{n}{}}(x\mathrm{exp}(ϵe_i))=0.$$

Putting $`x=e^{ϵv}`$ and taking the limit $`ϵ0`$, we obtain

$$z+\frac{\mathrm{\Lambda }^{2n}}{z}+\underset{i}{}(ve_i)=z+\frac{\mathrm{\Lambda }^{2n}}{z}+P_n(v)=0.$$

Defining $`y=2z+P_n(v)`$, this may be written in hyperelliptic form:

$$y^2=P_n(v)^24\mathrm{\Lambda }^{2n}.$$

Moreover one recovers the expected Seiberg-Witten differential:

$$\lambda =\mathrm{log}(x)\frac{dz}{z}Rv\frac{dz}{z}.$$

This differential can be used to recover the exact prepotential. Namely if we choose a basis of A-cycles for the curve such that $`_{A_i}v\frac{dz}{z}=a_i`$ and we define the dual B-cycles by $`A_iB_j=\delta _{ij}`$, then we have $`\frac{}{a_j}=_{B_j}v\frac{dz}{z}`$.

One can introduce fundamental matter by performing a toric blow-up of a point on the base $`𝐏^1`$. This adds a new $`𝐏^1`$ for which the homology class acts as a weight of the fundamental representation of $`SU(n)`$, say the highest weight $`\lambda _+`$. The other fundamental weights can be obtained by adding classes corresponding to the $`SU(n)`$ roots. The resulting toric diagram admits several triangulations. We have drawn two of them below:

fig. 2: (A): Toric diagram for $`SU(3)`$ with a fundamental hypermultiplet. (B): Dual web diagram. (C): A different triangulation of the diagram in (A). (D): Dual web diagram for (C).

There is an extra parameter corresponding to the mass of the hypermultiplet $`m`$. If we take a D2-brane wrapped on the $`𝐏^1`$ with class $`\lambda _+`$ and volume $`t_m`$, we will get a particle in four dimensions with mass $`|\lambda _+a+m|`$, so we set

$$t_m=\mathrm{log}(z_m),T_m=R(\lambda _+a+m).$$

This will yield the Seiberg-Witten curve

$$z+\frac{\mathrm{\Lambda }^{2n1}(v+m)}{z}+\underset{i}{}(ve_i)=0.$$

To any given toric diagram one can associate a dual diagram by drawing the bi-sectors for a given triangulation as in fig. 1B, fig. 2B and D. This is often called a (p,q) web diagram. One can think of the toric Calabi-Yau space as the total space a non-trivial $`T^2`$-fibration over $`𝐑^2`$ together with a trivial $`𝐂`$-fibration. If we identify the $`𝐑^2`$ with the plane of the dual diagram, then the web tells us where the $`T^2`$-fibration degenerates. Namely at each vertex the full $`T^2`$ shrinks to a point, and at an edge with tangent direction (p,q) (where $`p`$ and $`q`$ are integers and the vector is primitive) the one-cycle with class (p,q) in $`T^2`$ shrinks to a point. We can use dualities to map this to the corresponding web of (p,q) five-branes in IIb string theory, where (p,q) stands for the (R,NS) charge of the five-brane associated to the edge. The web picture is often a useful way to think about the Calabi-Yau.

Strictly the (p,q) fivebranes give rise to five dimensional gauge theories, but we can get four dimensional theories by compactifying the worldvolumes of the branes on a circle and shrinking it to zero size. For finite radius of the circle we can picture this by thickening the legs of the web diagram, as in fig. 1C. The resulting curve is actually the Seiberg-Witten curve.

We may think of the horizontal lines in fig. 1B as D5-branes. When they coincide we get an enhanced gauge symmetry; we denote their vertical coordinate by $`e_i\mathrm{}_s^2`$ (which we can make into a complex number by adding the Wilson line around the $`S^1`$ that shrinks to zero size). Then the W-bosons correspond to strings stretching between the D5-branes and their masses are proportional to $`|e_ie_j|`$.

Matter multiplets are introduced by adding semi-infinite D5-branes, as in fig. 2B and D, and quantising strings stretched between the gauge and the matter branes. The vertical coordinate of the matter brane is related to the real part of the mass of the hypermultiplet (again the imaginary part comes from a Wilson line).

2.2. Five-dimensional geometric engineering

The appearance of $`ϵ=g_s\mathrm{}_s=R_{11}`$ above is very suggestive. Indeed it turns out that it is more natural to consider geometric engineering of five dimensional gauge theories through M-theory on a Calabi-Yau, and recover the four dimensional theories as a limit $`R_{11}0`$ of these gauge theories. This is also hinted at by the (p,q) five-brane description.

The reasoning is similar. M-theory on an ALE space again gives rise to non-abelian gauge symmetry (the non-abelian gauge bosons are now wrapped M2 branes) and fibering over a $`𝐏^1`$ as before yields gauge theories in five dimensions with eight supercharges. The action in five dimensions is still determined by a prepotential which is a function of the vector multiplet moduli $`\varphi ^i`$ (these are now real scalars). The major distinction with the four dimensional case is that the prepotential has a classical part and a one-loop contribution, but does not receive instanton corrections. The triple intersection numbers of the Calabi-Yau, when expressed in terms of physical quantities, reproduce exactly the expected prepotential :

$$\frac{1}{2g_0^2}h_{ij}\varphi ^i\varphi ^j+\frac{k_{\mathrm{cl}}}{6}d_{ijk}\varphi ^i\varphi ^j\varphi ^k+\frac{1}{12}\underset{\mathrm{roots}\alpha }{}|\alpha \varphi |^3\frac{1}{12}\underset{f}{}\underset{\mathrm{weights}𝐰_f}{}|𝐰\varphi +m_f|^3.$$

Here $`h_{ij}=\mathrm{Tr}(T_iT_j)`$ and $`d_{ijk}=\frac{1}{2}\mathrm{Tr}(T_i(T_jT_k+T_kT_j))`$ with $`T_i`$ the Cartan generators. Moreover $`k`$ corresponds to the Chern-Simons level in five dimensions:

$$\frac{k_{\mathrm{cl}}d_{ijk}}{24\pi ^2}_{R^5}A^iF^jF^k.$$

When we compactify the five-dimensional theory on a circle, the prepotential receives additional corrections. We can interpret these corrections as one-loop corrections due to a Kaluza-Klein tower of BPS particles, or alternatively one can interpret the corrections as a one-loop term in five dimensions plus worldline instantons of the five dimensional particle. For each particle in five dimensions with mass $`m`$ we get a contribution

$$\tau =\frac{^2}{\varphi ^2}\frac{1}{2\pi i}\mathrm{log}\left(\frac{1}{R^2\mathrm{\Lambda }_0^2}\mathrm{sinh}^2(Rm/2)\right)$$

with $`1/g_4^2=2\pi R/g_5^2`$. Note that if we put $`R\mathrm{\Lambda }_0e^{RM_0/2}`$, we recover the usual five dimensional linear divergence for $`1/g_5^2`$ as $`R\mathrm{}`$.

Since the dilaton lives in a neutral hypermultiplet and does not talk to the vector multiplets, we can use mirror symmetry to compute the full prepotential. The crucial difference with the four dimensional case is that now when we take the decoupling limit $`l_p0`$, we do not have to take a special scaling limit of the curve. Instead we have

$$\mathrm{exp}(T_b)R^{2n}\mathrm{\Lambda }^{2n},T_{f_i}RM_{W,i}.$$

The resulting Seiberg-Witten curve is of the form

$$z+\frac{\mathrm{\Lambda }^{2n}}{z}+\mathrm{det}(xU)=0$$

with Seiberg-Witten differential

$$\lambda _{SW}=\mathrm{log}(x)\frac{dz}{z}.$$

The relation between the coefficients in this equation and the physical parameters can be determined by solving Picard-Fuchs equations, with the leading terms at large volume fixed by (2.1).

Actually (2.1) is only one of the curves one could get. The gauge and matter content fixes the toric Calabi-Yau up to a small ambiguity in the triple intersection numbers . This ambiguity corresponds to $`k_{\mathrm{cl}}`$ in (2.1) and gives rise to the Chern-Simons term. All these geometries give rise to the same Seiberg-Witten curve when we take $`R0`$. The toric diagram we discussed before (fig. 1A) corresponds to level $`n`$, as one can check for instance by computing the triple intersection numbers of the Calabi-Yau. The other toric diagrams for the case of $`SU(3)`$ gauge theory are given below.

fig. 3: Toric diagrams for $`SU(3)`$ gauge theory with (A): level 2, (B): level 1, and (C): level 0.

There is a simple way to derive the diagrams for different levels from any given one by adding hypermultiplets. The reason is that integrating out a hypermultiplet with a large mass $`m`$ is well known to give a contribution $`\frac{1}{2}\frac{\mathrm{Re}(m)}{|\mathrm{Re}(m)|}`$ to the Chern-Simons term . Varying the mass between plus and minus infinity interpolates between successive levels. An example is given in fig. 2: as we vary the vertical position (i.e. the real part of the mass) of the semi-infinite D5-brane, we cross all of the compact D5-branes which results in ‘flops’ (changes in the triangulation of the toric diagram). When we take the semi-infinite D5-brane off to infinity we can eliminate a node in the toric diagram. This interpolates between level 3 and level 2 for $`SU(3)`$.

For general level $`k`$ and one hypermultiplet, the curve may be written as

$$z+\frac{(R\mathrm{\Lambda })^{2n1}e^{Rm/2}x^{nk_c1/2}(xe^{Rm})}{z}=P_n(x)$$

with $`P_n(x)=\mathrm{det}(xU)`$ and Seiberg-Witten differential $`\lambda _{SW}=\mathrm{log}(x)d\mathrm{log}(z)`$. Here $`k_c`$ is the classical CS level of the five dimensional gauge theory; there is also a one-loop quantum contribution $`\frac{1}{2}\frac{\mathrm{Re}(m)}{|\mathrm{Re}(m)|}`$ from the matter field. For the case at hand we will put $`k_q=k_c+\frac{1}{2}`$ which must be an integer to avoid anomalies. A space-time parity transformation corresponds to

$$k_ck_c,mm,UU^1.$$

This transformation gives us back the same curve, expressed in the variable $`\stackrel{~}{x}=1/x`$ and with a redefined $`z`$.

Finally for $`R|m|`$ large compared to $`\mathrm{log}(R|\mathrm{\Lambda }|)`$ we can put $`(R\stackrel{~}{\mathrm{\Lambda }})^{2n}=(R\mathrm{\Lambda })^{2n1}e^{\pm Rm/2}`$ and take the limit $`m\pm \mathrm{}`$ in (2.1). Varying the mass of the hypermultiplet allows us to interpolate between different CS levels in (2.1).

3. Brane/flux duality

An alternative realisation of five dimensional Yang-Mills is through D-branes. For the case of pure gauge theory with eight supercharges we can consider type IIa string theory on an $`A_1`$ ALE space times $`𝐂^{}`$ and wrap D6-branes on the $`S^2\times S^1`$.<sup>1</sup> Of course this is related to the set-up of the previous section through dualities. A D6 wrapped on $`𝐏^1`$ inside an ALE is essentially T-dual to a D5-brane stretched between to NS5-branes, which gives the (p,q) five-brane picture. On the other hand as we mentioned in the previous section, this is dual to geometric engineering.  The open string description leads to a matrix model, and the planar diagrams of this matrix model compute an effective superpotential. The same effective superpotential also arises from the dual closed string description. We use this setup to discuss some aspects of the matrix model and effective superpotential.

For a single D6, the moduli space is parametrised by the position on the cylinder (the real scalar in the vector multiplet) and a Wilson line (parametrised by the dual of the $`S^1`$). In the following it will frequently be useful to apply a T-duality on the $`S^1`$. In particular the modulus of a D6-brane is described by the position of a D5-brane on the T-dual type IIb cylinder. For $`N`$ D6-branes, the moduli space is parametrised by the position of $`N`$ D5-branes on the IIb cylinder, the eigenvalues of the complexified Wilson line<sup>2</sup> For convenience we set $`R=1`$ in this section

$$U=P\mathrm{exp}(𝑑x_5A_5+\phi ).$$

The Chern-Simons level arises in the following way. The D-brane action depends on background flux $`F_{RR}^{(2)}`$ through the WZ term $`e^FC_i`$. For a each D6 wrapped on $`𝐏^1`$, we have

$$_{D6}FFFC^{(1)}=_{R^{3,1}\times S^1}AFF_{S^2}𝑑C^{(1)}=k_{R^{3,1}\times S^1}AFF.$$

One may introduce fundamental matter by adding extra D6 branes wrapped on certain non-compact cycles. If the superpotential is turned off then the matter D6 brane wraps the $`S^1`$ on $`𝐂^{}`$ and a cycle of the form $`x_1=0`$ in the ALE

$$|x_1|^2+|x_2|^22|x_3|^2=r/U(1).$$

This cycle intersects the $`𝐏^1`$ given by $`x_3=0`$ in precisely one point inside the ALE. The separation on $`𝐂^{}`$ with the centre-of-mass of the stack of $`N`$ D6 branes is related to the (real part of the) mass of the hypermultiplet, and the difference between the Wilson lines on the $`S^1`$ is related to the imaginary part of the mass.<sup>3</sup> There are corrections e.g. due to the warp factor that arises in the presence of space-filling branes. It is better to think of it as an unobservable bare mass. Note that such matter D6 branes act as domain walls for the background flux $`F_{RR}^{(2)}`$ on $`𝐏^1`$. Therefore they affect the CS level depending on the hypermultiplet mass, and one can change the value of the background flux by moving matter D6-branes between $`\pm \mathrm{}`$, hence change the CS level of the field theory.

Superpotential terms for the pure gauge theory theory living on the D6 branes may be computed through $`U(N)`$ Chern-Simons theory on $`S^2\times S^1`$:

$$S_{CS}=\frac{i\kappa }{4\pi }_{S^2\times S^1}\mathrm{Tr}AdA+\frac{2}{3}AAA.$$

We write the gauge fields as $`A_z,A_{\overline{z}}`$ and $`A_t`$, where $`t`$ is the coordinate along the $`S^1`$ and $`z,\overline{z}`$ parametrise the $`S^2`$. Integrating out gauge degrees of freedom has the effect of shifting $`\kappa \kappa +N`$. We will require $`A_t`$ to be independent of $`t`$, and identify $`g_s=2\pi i/(\kappa +N)`$. However if there are matter D6 branes or $`k`$ units of flux through the $`𝐏^1`$ then the action needs some modification. Let us first consider a single matter brane with zero background flux. Strings stretching between the matter and gauge D6-branes were considered in the topological set-up in  and they give rise to a complex scalar $`\varphi `$. Denoting the coordinate along the $`S^1`$ by $`t`$, the action is modified to

$$S=S_{CS}+_{S^2\times S^1}\overline{\varphi }(_t+A_t+m)\varphi \delta _{x_1=x_3=0}^{(2)}.$$

The exact normalisation of this term is not relevant here, since we can rescale $`\varphi ,\overline{\varphi }`$.

Since we can interpolate between different Chern-Simons levels by varying the mass of the matter multiplet, let us see how this modifies the action. Integrating out $`\varphi `$ gives the following term in the action:

$$\mathrm{log}\mathrm{det}\left(_t+A_t+m\right)=\mathrm{Tr}\mathrm{log}\mathrm{sinh}(\pi (A_t+m))+\mathrm{constant}.$$

As $`m\mathrm{}`$ we kill the $`e^{x/2}`$ term in sinh, and as $`m\mathrm{}`$ we kill the $`e^{x/2}`$ term. Therefore by starting with pure Chern-Simons theory and moving branes from minus to plus infinity, we see that we can account for the background flux by adding a term

$$k_{S^2\times S^1}\mathrm{Tr}A_t\omega $$

to the action, with $`\omega `$ a (1,1) form with unit volume on $`𝐏^1`$.<sup>4</sup> The equation of motion for $`A_t`$ then imply that the gauge field has k units of flux through the $`S^2`$. This is similar to the baryon vertex for $`k`$ quarks where the quarks are strings stretching from the gauge D6 branes to infinity. The periodicity of $`A_t`$ implies that $`k`$ is quantised.

We can also turn on a superpotential $`\mathrm{Tr}W(U)`$ in the gauge theory. One can incorporate this by turning on the corresponding term in the Chern-Simons theory, with $`U=P\mathrm{exp}𝑑tA_t`$. The geometric effect of the superpotential is most easily understood in the T-dual type IIb picture, where it deforms the trivial fibration of the ALE over the cylinder to a non-trivial one according to the equation

$$uw=(yW^{}(x))(y+W^{}(x)).$$

Here $`x=e^{Rv}`$ and the prime denotes differentiation with respect to $`v`$. Therefore altogether we consider the partition function for the theory with action

$$S=S_{CS}+_{S^2\times S^1}𝑑t\overline{\varphi }(_t+A_t+m)\varphi \delta _{x_1=x_3=0}^{(2)}k\mathrm{Tr}A_t\omega \frac{1}{g_s}\mathrm{Tr}W(U)\omega $$

Note that $`A_z,A_{\overline{z}}`$ appear only in $`S_{CS}`$ and appear linearly. Integrating out $`A_{\overline{z}}`$ gives $`F_{tz}=0`$ and reduces $`S_{CS}`$ to $`\mathrm{Tr}A_z_{\overline{z}}A_t`$. After gauge fixing, this looks like the topological part of the D5-brane action considered in , and is consistent with the form of the geometry (3.1) and the factor of $`1/g_s`$ in front of the superpotential in (3.1). Integrating out $`A_z`$ sets $`_{\overline{z}}A_t=0`$ which implies that $`A_t`$ is a constant (we already got rid of the $`t`$-dependence). Therefore we obtain a matrix quantum mechanics, and the measure for $`A_t`$ is that of a unitary matrix model due to the periodic identifications. The partition function is

$$Z=\frac{1}{\mathrm{Vol}(U(N))}𝑑U𝑑\varphi (t)e^{\frac{1}{g_s}\mathrm{Tr}W(U)k\mathrm{Tr}\mathrm{log}U+_{S^1}𝑑t\overline{\varphi }(_t+A_t+m)\varphi }$$

The geometry (3.1) contains finite size $`𝐏^1`$’s obtained from blowing up the singular points, which are in one-to-one correspondence with the critical points of $`W`$. The D5-branes we get from T-dualising the D6 branes wrap these $`𝐏^1`$’s. In the gauge theory the superpotential Higgses the $`U(N)`$ to $`U(N_1)\times \mathrm{}U(N_n)`$ where $`N_i=N`$ and $`N_i`$ is the number of eigenvalues of $`U`$ that we put at the $`i`$th critical point of $`W`$. In the present set-up this corresponds to wrapping $`N_i`$ D5-branes on the $`𝐏^1`$ we get from blowing up the $`i`$th singular point of (3.1).

We can alternatively describe this system as a closed string theory on a Calabi-Yau which is obtained by excising each $`𝐏^1`$ and glueing in an $`S^3`$. In the dual geometry the D-branes are replaced by fluxes. From the perspective of the field theory this is a large $`N`$ dual description in terms of glueball fields $`S_i\mathrm{Tr}_{\mathrm{U}(\mathrm{N}_\mathrm{i})}W_\alpha W^\alpha `$. The scalar component of the superfield $`S_i`$ is related to the size of the $`i`$th $`S^3`$ in the dual geometry and therefore corresponds to a complex structure parameter of the dual geometry.

In the closed string set-up the Calabi-Yau three-fold is given by<sup>5</sup> More accurately, the space-time metric also includes a warp factor that takes into account the backreaction of the non-zero fluxes.

$$uwy^2+W^{}(x)^2+q(x)=0$$

where $`q(x)`$ corresponds to a (log-)normalisable complex structure deformation of (3.1) which gives finite volume to the $`S^3`$’s. The complex structure parameters are governed by an effective superpotential<sup>6</sup> Physically to find the effective superpotential we should expand around the space-time solution which includes the warp factor and integrate out all unwanted fields. The standard claim in the literature (eg. ) is that the effective superpotential is defined on the moduli space of the original Calabi-Yau before any fluxes were turned on. This requires a remarkable cancellation of the warp factor. I would like to thank V. Zhukov for a conversation on this long ago.:

$$W_{\mathrm{eff}}_{\mathrm{CY}_3}H\mathrm{\Omega }$$

where $`H=H_{RR}+\tau H_{NS}`$ and $`\mathrm{\Omega }`$ is the holomorphic 3-form on the Calabi-Yau on the IIb side. One can effectively reduce the superpotential to<sup>7</sup> The correct normalisation should be $`W_{\mathrm{eff}}=\frac{1}{2}_\mathrm{\Sigma }h\lambda `$ so that in the $`g_sN0`$ limit (in which $`q(x)0`$) we get the expected superpotential $`N_iW(x_i)+C`$, with $`x_i`$ the critical points of $`W`$ and $`C`$ depends on the cut-offs $`\mathrm{\Lambda }_\pm `$ but not on the $`x_i`$. Nevertheless we will not explicitly include the $`\frac{1}{2}`$ below.

$$W_{\mathrm{eff}}_\mathrm{\Sigma }h\lambda $$

where $`\lambda =\sqrt{W^{}(x)^2+q(x)}dx/x`$, and $`\mathrm{\Sigma }`$ is the curve defined by

$$y^2=W^{}(x)^2+q(x).$$

A representation of this curve is given fig. 4.

Expanding $`W_{\mathrm{eff}}`$ in terms of the periods of $`h`$ and $`\lambda `$ gives us an effective superpotential for the glueball fields $`S_i`$. It is not entirely clear we can interpret it as an effective superpotential in the conventional sense since we are in a massive vacuum and the $`S_i`$ may not be the lightest degrees of freedom. However it clearly has non-trivial information because we use it to compute exact tensions of BPS domain walls. Moreover after minimising, solving for the VEV’s of the $`S_i`$ and substituting back, we can interpret the resulting superpotential as a generating function for the quantum expectation values $`\mathrm{Tr}(U^m)`$.<sup>8</sup> Actually the effective superpotential refers to a particular UV completion of the field theory. See \[20,,21\] for a discussion. The reduction of the open string theory to the matrix quantum mechanics (3.1) implies that the effective superpotential can be computed from the matrix quantum mechanics.

In order to expand (3.1), we would like to know the periods of $`h`$. This works similar to the four dimensional case, with a twist because the Riemann surface has two extra punctures. The integral of $`h`$ around each cut should give the number of eigenvalues we put at the corresponding critical point of $`W`$. What about the other periods?

fig. 4: The matrix model curve $`y^2=W^{}(x)^2+q(x)`$ as the double cover of a cylinder parametrised by $`x=e^{Rv}`$. The B-cycles essentially follow flux lines which are discussed in the text. The geometry of the curve looks very similar to a Seiberg-Witten curve as in fig. 1C turned $`90^0`$, but they are unrelated at this point.

After T-duality, the background flux $`F^{(2)}k\omega _{S^2}^{(2)}`$ gives rise to a background 3-form flux. Upon reduction to $`\mathrm{\Sigma }`$, this gives rise to a background flux for $`h`$. Similarly any D6 brane is a magnetic source for 2-form flux; after T-duality the matter D6 branes gives rise to additional sources for 3-form flux, which in turn gives pointlike sources for $`h`$ after reduction. Therefore the flux $`h`$ has a constant term $`k`$ related to the CS level and sources at the position of the matter D5-branes.

The background flux and the matter sources appear on the ‘x-plane’ (cylinder); the algebraic curve obtained from reduction of the Calabi-Yau is a double cover of that. So we should decide on which sheet to put the matter sources and the background flux for $`h`$. Let us first understand how it works for zero background flux and no matter.

For $`N`$ gauge D5-branes we get $`N`$ charged particles (or matrix model eigenvalues) on the cylinder. The fluxes through $`\pm \mathrm{}`$ on each sheet must therefore add up to $`\pm N`$. On the upper sheet we have to make a choice to distribute $`f`$ units of flux at $`\mathrm{}`$ and $`Nf`$ units of flux at $`+\mathrm{}`$. No physical quantities will depend on this choice, but once we make it all other fluxes will be fixed. We will choose $`f=0`$. Then the gauge D5-branes are effectively attracted to a particle at $`+\mathrm{}`$ with charge $`N`$. In order to balance this force, in the absence of background flux or other sources, on the lower sheet we must then put the $`N`$ units of flux entirely at $`\stackrel{~}{\mathrm{}}`$. Not doing this would lead to an additional force term in the matrix model action.

Now we introduce matter branes. Recall that classically we have $`\mathrm{Tr}(U^r)=x^rh(x)𝑑x`$ where $`h`$ has poles at positions corresponding to the classical positions of the $`N`$ gauge D5 branes, and is independent of the position of additional matter branes (if the hypers don’t get a VEV). Therefore $`h`$ should get contributions from matter only on the ‘quantum’ sheet that is not visible classically, and we take this to be the lower sheet.<sup>9</sup> If some of the hypers get a VEV, the poles do appear on the upper sheet . Then the background flux $`k`$ will also only appear on this sheet, because we can create it by moving matter branes around on the second sheet. This fixes all the A-periods of $`h`$.

Finally let us discuss the B-periods of $`h`$. As in the four-dimensional case we will take the compact B-periods to be zero (although this can be generalised slightly as in ). The non-compact periods are divergent however so we need to introduce cut-offs to define the integrals. In principle there are four asymptotic infinities and we need to introduce a cut-off for each of them. This might seem very strange from the gauge theory point of view where we need only one cut-off. However it is by now a familiar story that the gauge theories we are analysing are not renormalisable and the matrix model seems to refer to a particular UV completion \[20,,21\]. Recently it was understood in the four dimensional case  that introducing cut-offs for the divergent integrals in the effective superpotential is indistinguishable from introducing sufficiently many matter branes on each sheet at the position of the cut-offs, so that the total matter content is $`\stackrel{~}{N}_f=2N_c`$. In other words, one can think of the cut-offs as the masses of additional matter multiplets. It appears that this explanation is valid in the five-dimensional case also. Indeed we have already observed that we effectively have $`N_c`$ charges at infinity on the upper sheet and $`N_cN_f`$ charges at infinity on the lower sheet (for any Chern-Simons level). We can identify these charges with additional matter branes, thus embedding the original theory into a theory with total number of flavours $`\stackrel{~}{N}_f=2N_c`$. Interestingly, the underlying $`𝒩=2`$ theories are also precisely the theories that can be lifted to six dimensions, which suggests that should be the natural starting point.

At any rate, we will use a cut-off $`\mathrm{\Lambda }_+,\stackrel{~}{\mathrm{\Lambda }}_+`$ for $`+\mathrm{},+\stackrel{~}{\mathrm{}}`$ and $`\mathrm{\Lambda }_{},\stackrel{~}{\mathrm{\Lambda }}_{}`$ for $`\mathrm{},\stackrel{~}{\mathrm{}}`$. Due to the special form of the A-periods of $`\lambda `$ that we will derive later, it turns out that the glueball superpotential depends only on the combination

$$_\stackrel{~}{\mathrm{}}^{\mathrm{}}h+_{+\stackrel{~}{\mathrm{}}}^+\mathrm{}h.$$

To get the correct running of the gauge coupling it appears that we need

$$\frac{1}{2}_\stackrel{~}{\mathrm{}}^{\mathrm{}}h+\frac{1}{2}_{+\stackrel{~}{\mathrm{}}}^+\mathrm{}h=\tau $$

which is consistent with the $`R0`$ limit.

4. The matrix model.

In the last section we have indicated from the string set-up that we expect to be able to compute F-terms of the five-dimensional gauge theory in terms of a ‘dimensionally reduced’ theory. One can also argue directly from the field theory perspective that such a reduction occurs .

We are interested in the $`F`$-terms, which according to  can be written is 4D superspace as

$$d^5xd^2\theta \mathrm{Tr}(\tau +k\mathrm{\Phi })W_\alpha W^\alpha +H^c(_t+\mathrm{\Phi }+m)H+\mathrm{Tr}W(U)+\mathrm{h}.\mathrm{c}.$$

Now the logic of  runs as follows: if we think of the coordinate $`t`$ as a label, then we can think of the 5D theory as a 4D theory with an infinite number of fields. Then applying what we know about computing F-terms in a 4D theory, we expect that we need to consider a bosonic quantum mechanics with action given by

$$𝒮=\frac{1}{Rg_s}𝑑t\left[H^c(_t+\mathrm{\Phi }+m)H+\mathrm{Tr}W(U)\right].$$

Here $`U=e^{R\mathrm{\Phi }}`$ with $`\mathrm{\Phi }\mathrm{\Phi }+2\pi i/R`$. As in the topological theory, we take $`\mathrm{\Phi }`$ purely imaginary so that $`U`$ is unitary, and $`H^c=\overline{H}`$. Since $`H^c,H`$ appear quadratically, we can immediately reduce this to a matrix model. Rescaling $`H^c(t),H(t)`$ and integrating them out, we get the partition function

$$Z\frac{1}{\mathrm{Vol}(U(N))}𝑑U\frac{e^{\frac{1}{g_s}\mathrm{Tr}W(U)}}{\mathrm{det}(_t+\mathrm{\Phi }+m)}.$$

Actually we only expect this for $`k=0`$. For $`k0`$ there may be a modification. Just as in the previous section we can find the full answer by adding some hypermultiplets and taking their masses from minus to plus infinity. In general we get

$$Z\frac{1}{\mathrm{Vol}(U(N))}𝑑U\mathrm{det}(U)^k\frac{e^{\frac{1}{g_s}\mathrm{Tr}W(U)}}{\mathrm{det}(_t+\mathrm{\Phi }+m)}.$$

In other words, when we take the $`d^2\theta `$ terms in the field theory action as the action for the matrix model, we should be careful to include a contribution $`k\mathrm{Tr}(\mathrm{\Phi })`$ for the Chern-Simons term. This is not unreasonable<sup>10</sup> I would like to thank C. Vafa for this remark given that the field theory resolvent $`\mathrm{Tr}W_\alpha W^\alpha /(z\mathrm{\Phi })`$ (plus images if $`\mathrm{\Phi }`$ is periodic) is replaced in the matrix model by $`\mathrm{Tr}\mathrm{\hspace{0.17em}1}/(z\mathrm{\Phi })`$.

It is tempting to state this in general: non-minimal kinetic terms of the form

$$𝑑xd^2\theta \mathrm{Tr}(f(\mathrm{\Phi })W_\alpha W^\alpha )$$

should lead to a term $`\mathrm{Tr}(f(\mathrm{\Phi }))`$ in the matrix model action (without a factor of $`1/g_s`$). This can perhaps be shown in a similar way by integrating out matter with appropriate mass terms.

Now we proceed to apply some standard techniques.

4.1. Deriving the matrix model curve.

Diagonalising $`U=\mathrm{diag}(e^{R\varphi _1},\mathrm{},e^{R\varphi _N})`$ and using the formula

$$\mathrm{det}(_t+x)\mathrm{det}\frac{\mathrm{sinh}(\frac{1}{2}Rx)}{\frac{1}{2}R}$$

we obtain

$$\begin{array}{cc}\hfill Z& \frac{1}{\mathrm{Vol}}𝑑U\frac{e^{\frac{1}{g_s}\mathrm{Tr}W(U)k\mathrm{Tr}R\mathrm{\Phi }}}{\mathrm{det}\mathrm{sinh}\frac{1}{2}R(\mathrm{\Phi }+m)}\hfill \\ & \frac{1}{\mathrm{Vol}}d\varphi _i\frac{\underset{ij}{}\mathrm{sinh}\frac{1}{2}R(\varphi _i\varphi _j)}{_i\mathrm{sinh}\frac{1}{2}R(\varphi _i+m)}e^{\frac{1}{g_s}_iW(R\varphi _i)k_iR\varphi _i}\hfill \\ & \frac{1}{\mathrm{Vol}}d\varphi _ie^{\frac{1}{g_s}_iW(R\varphi _i)+_{ij}\mathrm{log}\mathrm{sinh}\frac{1}{2}R(\varphi _i\varphi _j)_i\mathrm{log}\mathrm{sinh}\frac{1}{2}R(m+\varphi _i)kR\varphi _i}.\hfill \end{array}$$

Notice that the Chern-Simons level manifests itself as an additional force term in the action, as expected from our discussion in section 3. The equations of motion are given by

$$\frac{1}{g_s}W^{}(R\varphi _i)+\underset{j,ji}{}\mathrm{coth}\frac{1}{2}R(\varphi _i\varphi _j)\frac{1}{2}\mathrm{coth}\frac{1}{2}R(m+\varphi _i)k=0.$$

Introducing the resolvent

$$\omega (v)=\frac{1}{N}\underset{i}{}\mathrm{coth}\frac{1}{2}R(v\varphi _i)$$

we can bring expression (4.1) into the form

$$\begin{array}{cc}\hfill 0& =\frac{1}{g_sN}f(v)+\frac{1}{g_sN}W^{}(Rv)\omega (v)+\frac{1}{2}[\omega ^2(v)\frac{2}{RN}\omega ^{}(v)1]\hfill \\ & \frac{1}{2N^2}\underset{i}{}\mathrm{coth}\frac{1}{2}R(m+\varphi _i)\mathrm{coth}\frac{1}{2}R(v\varphi _i)+\frac{k}{N}\omega (v)\hfill \end{array}$$

where the error term is given by

$$f(v)=\frac{1}{N}\underset{i}{}\left(W^{}(R\varphi _i)W^{}(Rv)\right)\mathrm{coth}\frac{1}{2}R(v\varphi _i).$$

In the large $`N`$ limit, with $`S=g_sN`$ fixed, this reduces to

$$\frac{1}{g_sN}f(v)+\frac{1}{g_sN}W^{}(Rv)\omega (v)+\frac{1}{2}[\omega ^2(v)1]=0.$$

Defining

$$y=S\omega (v)+W^{}(Rv)$$

this can equivalently be written as

$$y^2=(W^{}(Rv))^2+2Sf(v)+S^2=(W^{}(Rv))^2+q(v).$$

As mentioned before $`q(v)`$ must corresponds to a normalisable complex structure deformation. This means that, if $`b`$ is a parameter in $`q(v)`$, then the integral of holomorphic form $`_b\lambda `$ over a contour that runs to infinity must be convergent or at most logarithmically divergent. One of the differences of the five dimensional case compared to the four dimensional case is the existence of two asymptotic infinities (on each sheet). As a result of this we will see that there are two logarithmically divergent (1,0) forms as opposed to only one in the four dimensional case. However we will see only a particular combination of the two arises from the matrix model. Thus it appears that not all allowed complex structure deformations actually occur.

4.2. Relations between the coefficients.

A simple counting shows that there must be relations between the $`b_i`$. We consider two cases in turn<sup>11</sup> In the first case $`W`$ is a holomorphic function with a pole only at infinity. Therefore picking a ‘contour’ which encloses no poles in the evaluation of the partition function, such as integration over unitary matrices, gives identically zero. This should not be relevant however, since for field theory purposes we are not interested in defining the matrix model non-perturbatively. I would like to thank C. Roemelsberger for this remark.: $`W(U)`$ has only positive powers of $`U`$, or $`W(U)`$ contains both positive and negative powers of $`U`$.

$`\underset{¯}{\mathrm{case}\mathrm{i}}.`$ $`W(U)=_{i=0}^{n+1}g_iU^i.`$

In this case $`W`$ has $`n`$ critical points at finite distance and one at $`\mathrm{}`$ (from solving $`W^{}(v)xW/x=0`$). It is easy to see that in this case the quantum correction is of the form

$$q(x)=\underset{i=0}{\overset{n+1}{}}b_ix^i.$$

Moreover one can see that the constant term in $`f(x)`$ is zero because $`UW/U=0`$, and the leading term in $`f(x)`$ is $`(n+1)g_{n+1}x^{n+1}`$. Therefore there is a relation between $`b_0`$ and $`b_{n+1}`$:

$$\frac{b_{n+1}}{2(n+1)g_{n+1}}=\sqrt{b_0}=S.$$

Moreover this has the following implication for the periods of $`\lambda _{mm}=ydx/x`$:

$$\frac{1}{4\pi i}_{v=\mathrm{}}\lambda =\frac{1}{4\pi i}_{v=\mathrm{}}\lambda =S/2.$$

The contours around $`\pm \mathrm{}`$ are taken counterclockwise. Taking account of (4.1), this implies that the quantum correction has $`n+1`$ adjustable parameters. This is the right number: we have a total of $`n+1`$ critical points which get smeared out into cuts. Here we include the cut that degenerates to a double root at $`\mathrm{}`$ as the quantum correction is turned off. Let us denote by $`A_i`$ a contour which encircles the $`i`$th cut (we associate $`A_0`$ with the root at $`\mathrm{}`$). Then we have $`n+1`$ independent variables $`S_i`$ which are related to the $`b_i`$ through

$$\frac{1}{4\pi i}_{A_i}\lambda =S_ii=0,\mathrm{},n.$$

$`\underset{¯}{\mathrm{case}\mathrm{ii}}.`$ $`W(U)=_{i=1}^ng_iU^i.`$

(we could allow for more powers of $`U^1`$, but this doesn’t add anything new). In this case the superpotential has $`n+1`$ critical points. However $`W`$ has only $`n`$ parameters to adjust the positions of the roots (the other is an overall scalar multiplying $`W`$). Thus the position of the last critical point is fixed in terms of the previous $`n`$.

The matrix model again implies a relation between the coefficients of the quantum correction. In this case it is easy to determine the highest and lowest terms in $`f(x)`$. We find that

$$\frac{b_n}{ng_n}=\frac{b_1}{g_1}=2S$$

so that again we have

$$\frac{1}{4\pi i}_{v=\mathrm{}}\lambda =\frac{1}{4\pi i}_{v=\mathrm{}}\lambda =S/2.$$

This gives the right number of parameters: there are $`n+1`$ independent $`b_i`$ after taking into account (4.1), and there are $`n+1`$ variables $`S_i`$ related to the $`b_i`$ through

$$\frac{1}{4\pi i}_{A_i}\lambda =S_ii=0,\mathrm{},n.$$

Here we take the contours $`A_i`$, $`i=1,\mathrm{},n`$ to encircle $`n`$ independent critical points and the contour $`A_0`$ to encircle the remaining critical point.

4.3. Effective superpotential

The effective superpotential is given by the following formula

$$W_{\mathrm{eff}}=h\lambda $$

where $`\lambda =ydx/x`$. We have discussed previously the correspondence between the field theory data and the periods of $`h`$ using the string set-up. One should also be able to derive this directly from the matrix model as in , which was made more precise in appendix B of .

The A-periods of $`h`$ were as follows:

$$\begin{array}{ccccccc}_{A_i}h=N_i& & _{A_0}h=N_0& & _{\mathrm{}}h=0& & _{\mathrm{}}h=N\\ _\stackrel{~}{\mathrm{}}h=(Nk_q)& & _\stackrel{~}{\mathrm{}}h=(k_q1)& & _{A_{\stackrel{~}{m}}}h=1\end{array}.$$

We use $`\pm \mathrm{}`$ for the two ends of the cylinder, and a tilde for points on the second sheet (which cannot be seen classically). Also $`N=N_i`$, and $`A_{\stackrel{~}{m}}`$ is a contour around the point $`v=m`$ on the lower sheet.

We also need to specify the periods for the B-cycles. We take $`_{C_i}h=0`$ for the compact cycles (where $`C_i=B_iB_0`$) and<sup>12</sup> The precise contour we take is not relevant since $`_{C_i}h=0`$. In cases where it is ambiguous, contours written as $`ab`$ mean the following: a contour between two points on the same sheet is chosen to lie on that sheet, and a contour between two points on different sheets is chosen to cross the $`A_0`$ cycle but no other cycle $`A_i`$ for $`i>0`$.

$$\frac{1}{2}_\stackrel{~}{\mathrm{}}^{\mathrm{}}h+\frac{1}{2}_{+\stackrel{~}{\mathrm{}}}^+\mathrm{}h=\tau .$$

We believe this is the correct prescription by comparing with the four dimensional limit of the five dimensional gauge theory.

Now we expand the superpotential and obtain

$$\begin{array}{cc}\hfill W_{\mathrm{eff}}& =\underset{i=1}{\overset{n}{}}N_i_{C_i}\lambda +N_\stackrel{~}{\mathrm{}}^+\mathrm{}\lambda +k_{+\stackrel{~}{\mathrm{}}}^\stackrel{~}{\mathrm{}}\lambda +_{\stackrel{~}{m}}^{+\stackrel{~}{\mathrm{}}}\lambda +4\pi i\tau \underset{i=0}{\overset{n}{}}S_i\hfill \\ & =\underset{i=0}{\overset{n}{}}N_i_{B_i}\lambda +k_{+\stackrel{~}{\mathrm{}}}^\stackrel{~}{\mathrm{}}\lambda +_{\stackrel{~}{m}}^{+\stackrel{~}{\mathrm{}}}\lambda +4\pi i\tau \underset{i=0}{\overset{n}{}}S_i.\hfill \end{array}$$

As mentioned there is in principle some more flexibility in the periods of $`h`$. We have chosen to distribute the $`N`$ units of flux over the two infinities on the upper sheet in a particular way; we can shift the fluxes to $`_{\mathrm{}}h=f`$ and $`_{\mathrm{}}h=Nf`$ provided we also shift the flux at $`\stackrel{~}{\mathrm{}}`$ and $`+\stackrel{~}{\mathrm{}}`$ by $`f`$ and $`+f`$ respectively. This should have no effect on the effective superpotential when written in terms of physical parameters only. Finally we can move the matter brane through a cut onto the classical sheet and take it to the ends of the cylinder, changing the fluxes at $`\pm \mathrm{}`$. This corresponds to a Higgsed phase of the field theory .

4.4. Minimisation of the superpotential, and factorisation of the curve.

In the remainder we would like to apply the strategy employed in  to extract the Seiberg-Witten curve. The idea is to pick an arbitrary point on the Coulomb branch, i.e. choose $`N`$ points on the cylinder, and consider a superpotential $`W`$ for which these $`N`$ points are all critical points.<sup>13</sup> Actually we will see that in the five dimensional case the relation between the point on the Coulomb branch and the critical points of $`W`$ is a little more complicated. Then in the matrix model we put one eigenvalue at each critical point. After minimising the effective superpotential, we can scale the superpotential to zero. The $`U(1)^N`$ coupling constants are unchanged under the rescaling of the superpotential and so agree with the coupling constants of the $`𝒩=2`$ theory obtained from the Seiberg-Witten curve.

In the four dimensional case it was possible to choose $`W^{}(x)=\mathrm{det}(x\mathrm{\Phi })`$ (for pure gauge theory), so that the matrix model curve reduces to the Seiberg-Witten curve up to a rescaling. For the five-dimensional case however, for the superpotentials considered above we have seen that we cannot choose all the critical points independently.

We will now try to recover the Seiberg-Witten curve by choosing a classical superpotential $`W`$ which has $`N`$ independent critical points and an additional dependent critical point (corresponding to the $`A_0`$ cycle for cases i and ii above).

Thus we take $`N_0=0,N_{i>0}=1`$ and minimise with respect to the $`S_i`$. We have noted before that there are $`n+1`$ independent variables $`S_i`$ and $`n+1`$ independent coefficients $`b_i`$ in $`q(x)=x^ib_i`$. So provided the Jacobian for the change of variables is non-singular, we can equivalently minimise with respect to the $`b_i`$. We expect that when we solve and substitute back, the cut where we did not put any eigenvalues will degenerate to a double point, so that the matrix model curve factorises as

$$y^2=H(x)^2F(x).$$

The details for cases i and ii introduced above will diverge due to the fact that the relation between the $`b_i`$’s is slightly different. We will treat case ii here.

For case ii, $`_{b_i}\lambda `$ for $`i=0,\mathrm{},N1`$ span the space of holomorphic 1-forms on the matrix model curve, which has genus $`N`$. For $`i=1,N`$ we find that $`_{b_i}\lambda `$ is logarithmically divergent at one of the ends of the cylinder, but we can not consider these two independently because of the relation between $`b_1`$ and $`b_N`$ (4.1).

Differentiating $`W_{\mathrm{eff}}`$ with respect to $`b_j`$ for $`j=0,\mathrm{}n1`$ we find that

$$\underset{i=1}{\overset{n}{}}N_i_{C_i}_{b_j}\lambda =0$$

and

$$N_\stackrel{~}{\mathrm{}}^+\mathrm{}_{b_j}\lambda +k_q_{+\stackrel{~}{\mathrm{}}}^\stackrel{~}{\mathrm{}}_{b_j}\lambda +_{\stackrel{~}{m}}^{+\stackrel{~}{\mathrm{}}}_{b_j}\lambda =0.$$

Invoking Abel’s theorem, this implies there must exist a meromorphic function on the matrix model curve with a pole of order $`N`$ at $`\mathrm{}`$, a zero of order $`k_q1`$ at $`+\stackrel{~}{\mathrm{}}`$ a zero of order $`Nk_q`$ at $`\stackrel{~}{\mathrm{}}`$ and a zero of order 1 at $`\stackrel{~}{m}`$, and regular elsewhere. Such a function is of the form

$$zP_N(x)+\sqrt{P_N(x)\gamma x^{Nk_q}(xe^{Rm})}.$$

with $`P_N(x)=_ip_ix^i`$ a polynomial in $`x`$ of degree $`N`$. We take $`p_N=1`$ and $`p_00`$. Because of the square root, such a function can only exist on a curve of genus $`N1`$. Then the matrix model curve must factorise as

$$y^2=(x_xW)^2+q(x)=g^2(x^1a)^2(P_N^2(x)\gamma x^{Nk_q}(xe^{Rm})).$$

The parameter $`a`$ can be used to ensure that the condition (4.1) for $`b_1`$ and $`b_N`$ is satisfied. The constant $`g`$ is an overall scale in the superpotential. We can take $`g0`$ to turn off the superpotential without changing the positions of the critical points. The last available parameter $`\gamma `$ is fixed by solving

$$_SW_{\mathrm{eff}}2(Ng_N_{b_N}+g_1_{b_1})W_{\mathrm{eff}}=0.$$

Clearly the last factor in (4.1) looks a lot like the expected Seiberg-Witten curve. It needs to be shown that for a given $`P_N(x)`$ one can construct a superpotential $`W(x)`$ with the property that after minimisation of the effective superpotential $`W_{\mathrm{eff}}(S)`$ the matrix model curve factorises as in (4.1) with the expected polynomial $`P_N(x)`$. To simplify the algebra a bit, let us assume there is no matter multiplet. Then we have

$$y^2=(x_xW)^2+q(x)=g^2(x^1a)^2(P_N^2(x)\gamma x^{Nk}).$$

As an Ansatz for the relation between $`W^{}`$ and $`P_N`$ we write

$$x_xW=g(x^1a)P_N(x)+gc+gdx^1.$$

We can get an equation for the constant $`c`$ by requiring that the right-hand-side has no constant term (otherwise we would get a $`\mathrm{log}(x)`$ term in $`W`$, which does not respect the periodic identifications imposed by gauge invariance). So

$$c=p_1+ap_0.$$

The constant $`d`$ is fixed by requiring that there is no $`x^2`$ term in $`q(x)`$. Expanding $`x_xW`$ in (4.1) we find that

$$q(x)=2g^2(x^1a)(c+dx^1)P_N(x)g^2(c+dx^1)^2g^2(x^1a)^2\gamma x^{Nk}.$$

One can check it is always possible to satisfy (4.1) for any of the allowed values $`k=0,\mathrm{},N`$. So for every allowed $`P_N(x)`$ there exists a superpotential $`W(x)`$ for which (4.1) is realised as a critical point of the effective superpotential $`W_{\mathrm{eff}}(S)`$.

For $`k=0`$ we find $`d=0,c=\gamma p_1/(\gamma +4p_0)`$. For ‘generic’ $`k`$ ($`k=1,\mathrm{},N1`$) we seem to find two branches. If $`d=0`$ then also $`c=0`$, which looks like the vacuum we are after. But if $`d=2p_0`$ then $`c`$ can be anything. The latter branch seems puzzling because we have used $`N1`$ equations but still have two undetermined variables ($`c`$ and $`\gamma `$), so the glueball superpotential appears to have a flat direction. Moreover on this branch we fail to have the property that $`c,d0`$ as $`\gamma 0`$ so that the roots of $`P_N`$ do not ‘classically’ coincide with critical points of $`W`$. We suspect this branch can be eliminated by a more careful analysis.

For $`k=N1`$ we find $`d=0`$ and $`c=\gamma /(4p_0)`$. Finally for $`k=N`$ we find two solutions, depending on the sign in $`d=p_0\pm \sqrt{p_0^2+\gamma }`$. Requiring $`c,d0`$ as $`\gamma 0`$ singles out $`d=p_0+\sqrt{p_0^2+\gamma }`$ as the expected solution, and the other solution should presumably be eliminated.

Notice that for several values of $`k`$ we found that the roots of $`P_N(x)`$ are slightly displaced with respect to the critical points of $`W(x)`$. This should presumably be interpreted as arising from instanton corrections to the classical expectation values $`\mathrm{Tr}(U_{\mathrm{cl}}^m)`$.

Thus it appears we have recovered the Seiberg-Witten curve from the matrix model curve (4.1). However this is meaningless if we don’t recover the correct Seiberg-Witten differential, which amongst others gives the $`U(1)`$ coupling constants and the identification of the coefficients of $`P_N`$ with Coulomb branch parameters in the $`𝒩=2`$ theory.

4.5. Seiberg-Witten differential

Recall that in the string theory embedding the D-branes are replaced in the large $`N`$ limit by fluxes. Therefore in the effective theory the gauge theory density of eigenvalues of $`\mathrm{\Phi }`$ is given by $`h`$, which can be used to compute quantum expectation values. On the other hand the Seiberg-Witten differential does the same thing, so $`\lambda _{SW}=\mathrm{log}(x)h`$. This agrees with the Seiberg-Witten differential obtained from geometric engineering provided $`h=\frac{1}{2\pi i}d\mathrm{log}(z)`$. We proceed to check that this is indeed the case.

The holomorphic 1-form $`\frac{1}{2\pi i}d\mathrm{log}(z)`$ has the same periods over A-cycles as $`h`$. Both also have zero periods over the compact B-cycles $`C_i=B_iB_0`$. We only need to check non-compact B-cycles.

From the variation with respect to $`S`$ (4.1) we find:

$$\underset{i=1}{\overset{n}{}}N_i_{C_i}\omega _S+N_\stackrel{~}{\mathrm{}}^+\mathrm{}\omega _S+k_q_{+\stackrel{~}{\mathrm{}}}^\stackrel{~}{\mathrm{}}\omega _S+_{\stackrel{~}{m}}^{+\stackrel{~}{\mathrm{}}}\omega _S+4\pi i\tau =0.$$

where we put

$$\omega _S=2(Ng_N_{b_N}+g_1_{b_1})\lambda ,$$

and $`\tau `$ is given by (4.1). Since $`_{i=1}^nN_i_{C_i}_{b_j}\lambda =0`$ for $`j=0,\mathrm{},n1`$ and $`_S\lambda `$ is holomorphic away from the asymptotic regions, we get $`_{i=1}^nN_i_{C_i}\omega _S=0`$. Next we introduce the cut-offs $`x(R\mathrm{\Lambda }_+)^2,x(R\stackrel{~}{\mathrm{\Lambda }}_+)^2`$ for $`+\mathrm{},+\stackrel{~}{\mathrm{}}`$ and $`x1/(R\stackrel{~}{\mathrm{\Lambda }}_{})^2`$ for $`\stackrel{~}{\mathrm{}}`$. As mentioned before we can interpret these as masses of additional hypermultiplets, eg. $`R\mathrm{\Lambda }_+e^{RM_+/2}`$. Then

$$2\pi i\tau =\mathrm{log}((R\mathrm{\Lambda }_+)^N(R\stackrel{~}{\mathrm{\Lambda }}_+)^{k1}(R\stackrel{~}{\mathrm{\Lambda }}_{})^{Nk})+C+𝒪(1/R\mathrm{\Lambda }_+,1/R\stackrel{~}{\mathrm{\Lambda }}_\pm )$$

for some constant $`C`$ independent of the lambdas. We have to match this with (4.1). Unfortunately we have not been able to compute the subleading terms, so we will only check that the leading divergent pieces agree. Using $`h=\frac{1}{2\pi i}d\mathrm{log}(z)`$ with z given in (4.1), we get

$$2\pi i\tau =\frac{1}{2}\mathrm{log}\left(\frac{\gamma ^2e^{Rm}}{(16p_0^2)(R\mathrm{\Lambda }_+)^{2N}(R\stackrel{~}{\mathrm{\Lambda }}_+)^{2k2}(R\stackrel{~}{\mathrm{\Lambda }}_{})^{2N2k}}\right)$$

which indeed has the same divergent behaviour.

To get agreement with (2.1) we want to identify $`\gamma 4(R\mathrm{\Lambda })^{2N1}e^{Rm/2}`$. Then we identify $`(R\mathrm{\Lambda }_+)^N(R\stackrel{~}{\mathrm{\Lambda }}_+)^{k1}(R\stackrel{~}{\mathrm{\Lambda }}_{})^{Nk}`$ with the gauge theory cut-off $`(R\mathrm{\Lambda }_0)^{2N1}`$ (the factor of $`p_0^2`$ presumably gets taken care of by a counterterm $`\pi iS+\mathrm{log}(p_0^2)S`$ to the superpotential; see  for similar terms in four dimensions).

Acknowledgements:

It is a pleasure to thank F. Cachazo and C. Vafa for useful discussions, and C. Vafa for suggesting the project. I would also like to thank Caltech for hospitality. This work was supported in part by grants NSF-9802709 and NSF-0243680.

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