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# 1 Introduction

## 1 Introduction

The recent Super-Kamiokande collaboration  has reported, by comparing the day/night spectrum and results of flux global analysis, that the small mixing angle MSW and just-so solutions for active neutrinos are disfavored at 95$`\%`$ C.L. and a mixing with sterile neutrinos is also disfavored at 95$`\%`$ C.L. On the other hands, we have already known that the atmospheric neutrino data suggests a $`\nu _\mu \nu _\tau `$ mixing with a large mixing angle $`\mathrm{sin}^22\theta 1`$ . If we take these experimental results seriously, we are forced to accept only a model which gives a nearly bimaximal mixing among the active neutrinos $`(\nu _e,\nu _\mu ,\nu _\tau )`$. We must seek for the origin of the nearly bimaximal mixing.

As promising one of such the models, the Zee model  is known. In this model, a charged scalar field $`h^+`$ is introduced in addition to the Higgs doublets $`\mathrm{\Phi }_1`$ and $`\mathrm{\Phi }_2`$;

$$=\frac{1}{2}\underset{i,j}{}f_{ij}\overline{\mathrm{}}_{iL}i\tau _2\mathrm{}_{iL}^ch^{}+c_{12}\mathrm{\Phi }_1^Ti\tau _2\mathrm{\Phi }_2h^{}+\underset{i}{}y_i\overline{\mathrm{}}_{iL}\mathrm{\Phi }_2e_{iR}+h.c.$$
$`(1.1)`$
$$\mathrm{}_{iL}=\left(\begin{array}{c}\nu _{iL}\\ e_{iL}\end{array}\right),\mathrm{\Phi }_a=\left(\begin{array}{c}\mathrm{\Phi }_a^+\\ \mathrm{\Phi }_a^0\end{array}\right),i\tau _2=\left(\begin{array}{cc}0& 1\\ 1& 0\end{array}\right),$$
$`(1.2)`$
where $`i=1,2,3`$ are family indexes, $`\mathrm{}_{iL}^c=(\mathrm{}_{iL})^c=C\overline{\mathrm{}}_{iL}^T`$, and $`c_{12}=c_{21}`$ are real mass parameter. The neutrino mass matrix $`M`$ is radiatively generated as

$$M_{ij}=m_0f_{ij}(m_{ej}^2m_{ei}^2)/m_\tau ^2,$$
$`(1.3)`$
where

$$m_0=\frac{\mathrm{sin}2\varphi \mathrm{tan}\beta m_\tau ^2}{32\pi ^2v/\sqrt{2}}\mathrm{ln}\frac{M_1^2}{M_2^2},$$
$`(1.4)`$
$$\mathrm{sin}2\varphi =\frac{2c_{12}v/\sqrt{2}}{M_1^2M_2^2},$$
$`(1.5)`$
$`m_{ei}=y_i\mathrm{\Phi }_2^0=y_i(v/\sqrt{2})\mathrm{cos}\beta `$, $`\mathrm{tan}\beta =\mathrm{\Phi }_1^0/\mathrm{\Phi }_2^0`$, $`v/\sqrt{2}=\sqrt{|\mathrm{\Phi }_1^0|^2+|\mathrm{\Phi }_2^0|^2}=174`$ GeV, and $`M_1`$ and $`M_2`$ are the masses of the charged scalars $`H_1^+`$ and $`H_2^+`$, respectively, which are mass eigenstates of $`(h^+,\mathrm{\Phi }^+)`$, i.e.,

$$\left(\begin{array}{c}H_1^+\\ H_2^+\end{array}\right)=\left(\begin{array}{cc}\mathrm{cos}\varphi & \mathrm{sin}\varphi \\ \mathrm{sin}\varphi & \mathrm{cos}\varphi \end{array}\right)\left(\begin{array}{c}h^+\\ \mathrm{\Phi }^+\end{array}\right),$$
$`(1.6)`$
$$\mathrm{\Phi }^+=\mathrm{\Phi }_1^+\mathrm{cos}\beta \mathrm{\Phi }_2^+\mathrm{sin}\beta .$$
$`(1.7)`$
Based on the recent solar and atmospheric neutrino data, Smirnov and Tanimoto  have investigated the model in detail, and they have concluded that there is no solution of the solar neutrino problem unless introducing a sterile neutrino $`\nu _s`$, although the model can explain the observed large mixing $`\mathrm{sin}^22\theta _{atm}1`$. However, they have investigated only the case with $`\epsilon =M_{12}/\sqrt{M_{23}^2+M_{13}^2}1`$ and $`\mathrm{tan}\theta =M_{13}/M_{23}1`$ considering $`\mathrm{\Delta }m_{21}^2\mathrm{\Delta }m_{32}^2(m_1<m_2<m_3)`$, and they have not considered the case $`|M_{12}||M_{13}||M_{23}|`$. The case $`|M_{12}||M_{13}||M_{23}|`$ has been investigated by Jarlskog et al. , and they have pointed out that the case can lead to the nearly bimaximal mixing.

In the present paper, we put a simple ansatz on the coupling constants $`f_{ij}`$ and $`y_i`$ under a badly broken flavor symmetry, and thereby we will obtain the nearly bimaximal mixing together with a prediction $`\mathrm{\Delta }m_{solar}^2/\mathrm{\Delta }m_{atm}^2\sqrt{2}m_e/m_\mu =6.7\times 10^3`$.

## 2 Assumption on the symmetry breaking of SU(3)H

We consider a badly broken horizontal symmetry  SU(3)H. We introduce parameters $`s_i(i=1,2,3)`$ as a measure of the symmetry breaking of SU(3)H. In the present paper, we do not touch the origin of the symmetry breaking.

Our basic assumption on the magnitudes of the symmetry breaking effects is as follows: The magnitude of the matrix element $`e_i(𝐩)|y_{ij}(\overline{e}_ie_j)|e_j(𝐩)`$, which is a component of $`3\times 3^{}=1+8`$ of SU(3)H, is proportional to $`\delta _{ij}s_i^2`$ in the limit of $`|𝐩|\mathrm{}`$, i.e.,

$$y_ie_i(𝐩)|(\overline{e}_ie_i)|e_i(𝐩)=s_i^2\times const,$$
$`(2.1)`$
while the magnitude of the matrix element $`\overline{\nu }_{iL}(𝐩)|f_{ij}(\overline{\nu }_{iL}^ce_{jL})|e_j^{}(𝐩)(ij)`$, which is a component of $`3^{}`$ of SU(3)H, is proportional to $`\mathrm{\Sigma }_k\epsilon _{ijk}s_k`$ in the limit of $`|𝐩|\mathrm{}`$, i.e.,

$$f_{ij}\overline{\nu }_{iL}(𝐩)|(\overline{\nu }_{iL}^ce_{jL})|e_j^{}(𝐩)(ij)=\underset{k}{}\epsilon _{ij}s_k\times const.$$
$`(2.2)`$
Here, note that our requirements are applied in the limit of $`|𝐩|\mathrm{}`$, because the state $`e_{iL}`$ ( also even $`\nu _{iL}`$) is not eigenstate of the helicity $`h`$ in finite momentum frame unless the particle is massless.

These matrix elements, the left-hand sides of Eqs. (2.1) and (2.2), are evaluated as follows:

$$y_i\frac{1}{(2\pi )^3}\frac{m_{ei}}{E_{ei}}\overline{u}_{ei}(𝐩)u_{ei}(𝐩),$$
$`(2.3)`$
$$f_{ij}\frac{1}{(2\pi )^3}\sqrt{\frac{m_{ej}}{E_{ej}}}\sqrt{\frac{m_{\nu i}}{E_{\nu i}}}\overline{u}_{\nu iL}^c(𝐩)u_{ejL}(𝐩)(ij),$$
$`(2.4)`$
respectively, where the spinor $`u_i(𝐩)`$ is normalized as $`\overline{u}_i(𝐩)u_i(𝐩)=1`$. Since in the limit of $`|𝐩|\mathrm{}`$, we obtain $`\overline{u}_{ei}(𝐩)u_{ei}(𝐩)=1`$ and

$$\underset{|𝐩|\mathrm{}}{lim}\overline{u}_{\nu iL}^c(𝐩)u_{ejL}(𝐩)=\frac{m_{ej}}{2\sqrt{m_{\nu i}m_{ej}}},$$
$`(2.5)`$
so that the assumptions (2.1) and (2.2) require

$$y_im_{ei}=s_i^2\times const,$$
$`(2.6)`$
and

$$f_{ij}(m_{ej}+m_{ei})=\underset{k}{}\epsilon _{ijk}s_k\times const,$$
$`(2.7)`$
respectively, where “$`const`$” includes $`|𝐩|`$.

Note that even if we apply our ansatz to the terms $`_iy_i(\overline{\nu }_{iL}e_{iR})\mathrm{\Phi }^++h.c.`$ instead of the terms $`_iy_i(\overline{e}_{iL}e_{iR})\mathrm{\Phi }^0+h.c.`$ which leads to the requirement (2.1), we can obtain the same result with the result (2.6) because of

$$y_i\frac{1}{(2\pi )^3}\sqrt{\frac{m_{\nu i}}{E_{\nu i}}}\sqrt{\frac{m_{ei}}{E_{ei}}}\overline{u}_{\nu i}(𝐩)u_{ei}(𝐩),$$
$`(2.8)`$
and

$$\underset{|𝐩|\mathrm{}}{lim}\overline{u}_{\nu iL}(𝐩)u_{eiR}(𝐩)=\frac{m_{ei}}{2\sqrt{m_{\nu i}m_{ei}}},$$
$`(2.9)`$
Recalling $`y_i=m_{ei}/\mathrm{\Phi }_2^0`$, from the results (2.6) and (2.7), we obtain the symmetry breaking effect on the coupling constants $`f_{ij}`$

$$f_{ij}\frac{\epsilon _{ijk}s_k}{m_{ej}+m_{ei}}\frac{\epsilon _{ijk}m_{ek}}{m_{ej}+m_{ei}},$$
$`(2.10)`$
i.e.,

$$f_{e\mu }=\epsilon _{123}\frac{m_\tau }{m_\mu +m_e}f,f_{e\tau }=\epsilon _{132}\frac{m_\mu }{m_\tau +m_e}f,f_{\mu \tau }=\epsilon _{231}\frac{m_e}{m_\tau +m_\mu }f.$$
$`(2.11)`$
## 3 Mass spectrum and bimaximal mixing

By using the results (2.11), we obtain the following mass matrix elements $`M_{ij}`$:

$$M_{e\mu }=\epsilon _{123}m_\tau (m_\mu m_e)fm_0/m_\tau ^2,$$

$$M_{e\tau }=\epsilon _{132}m_\mu (m_\tau m_e)fm_0/m_\tau ^2,$$

$$M_{\mu \tau }=\epsilon _{231}m_e(m_\tau m_\mu )fm_0/m_\tau ^2.$$
$`(3.1)`$
Since $`m_\tau m_\mu m_e`$, we obtain

$$M\left(\begin{array}{ccc}0& a& a\\ a& 0& b\\ a& b& 0\end{array}\right),$$
$`(3.2)`$
where

$$a=\frac{m_\mu }{m_\tau }fm_0,b=\frac{m_e}{m_\tau }fm_0.$$
$`(3.3)`$
The matrix form (3.2), except for the sign of $`M_{13}`$, is identical with the neutrino mass matrix which has recently been proposed by one of the authors (A.G.)  on the basis of discrete $`Z_3\times Z_4`$ symmetries, and it is know that the matrix form (3.2) can lead to the nearly bimaximal mixing. The mixing matrix $`U`$ and mass eigenvalues $`m_{\nu i}`$ are as follows:

$$U=\left(\begin{array}{ccc}\mathrm{cos}\theta & \mathrm{sin}\theta & 0\\ \frac{1}{\sqrt{2}}\mathrm{sin}\theta & \frac{1}{\sqrt{2}}\mathrm{cos}\theta & \frac{1}{\sqrt{2}}\\ \frac{1}{\sqrt{2}}\mathrm{sin}\theta & \frac{1}{\sqrt{2}}\mathrm{cos}\theta & \frac{1}{\sqrt{2}}\end{array}\right),$$
$`(3.4)`$
$$\mathrm{tan}\theta =\left(\frac{\sqrt{8a^2+b^2}+b}{\sqrt{8a^2+b^2}b}\right)^{1/2}=\sqrt{\frac{m_{\nu 1}}{m_{\nu 2}}},$$
$`(3.5)`$
$$m_{\nu 1}=\frac{1}{2}\left(\sqrt{8a^2+b^2}+b\right),m_{\nu 2}=\frac{1}{2}\left(\sqrt{8a^2+b^2}b\right),m_{\nu 3}=b.$$
$`(3.6)`$
Since $`ab`$ in the present model, we obtain

$$\mathrm{\Delta }m_{12}^2=m_{\nu 1}^2m_{\nu 2}^2=b\sqrt{8a^2+b^2}2\sqrt{2}ab,$$
$`(3.7)`$
$$\mathrm{\Delta }m_{23}^2=m_{\nu 2}^2m_{\nu 3}^22a^2,$$
$`(3.8)`$
so that we can predict

$$\frac{\mathrm{\Delta }m_{12}^2}{\mathrm{\Delta }m_{23}^2}\sqrt{2}\frac{b}{a}=\sqrt{2}\frac{m_e}{m_\mu }=6.7\times 10^3,$$
$`(3.9)`$
together with the (nearly) bimaximal mixing

$$U\left(\begin{array}{ccc}\frac{1}{\sqrt{2}}& \frac{1}{\sqrt{2}}& 0\\ \frac{1}{2}& \frac{1}{2}& \frac{1}{\sqrt{2}}\\ \frac{1}{2}& \frac{1}{2}& \frac{1}{\sqrt{2}}\end{array}\right).$$
$`(3.10)`$
We regard $`\mathrm{\Delta }m_{12}^2`$ and $`\mathrm{\Delta }m_{23}^2`$ as $`\mathrm{\Delta }m_{solar}^2`$ and $`\mathrm{\Delta }m_{atm}^2`$, respectively. The predicted value (3.9) is in excellent agreement with the observed value

$$\left(\frac{\mathrm{\Delta }m_{solar}^2}{\mathrm{\Delta }m_{atm}^2}\right)_{exp}\frac{2.2\times 10^5\mathrm{eV}^2}{3.2\times 10^3\mathrm{eV}^2}6.9\times 10^3.$$
$`(3.11)`$
Note that the neutrino mass hierarchy in the present model is $`|m_{\nu 1}|m_{\nu 2}m_{\nu 3}`$. Since $`\mathrm{\Delta }m_{23}^2m_{\nu 2}^2`$, we can obtain the value of $`m_{\nu 2}`$ (and $`m_{\nu 1}`$) as follows

$$|m_{\nu 1}||m_{\nu 2}|\sqrt{\mathrm{\Delta }m_{23}^2}\sqrt{\mathrm{\Delta }m_{atm}^2}5.7\times 10^2\mathrm{eV}$$
$`(3.12)`$
so that we also obtain

$$m_{\nu 3}\frac{b}{\sqrt{2}a}m_{\nu 2}=\frac{m_e}{\sqrt{2}m_\mu }m_{\nu 2}=2.0\times 10^4\mathrm{eV}.$$
$`(3.13)`$
It will be hard to detect such small masses of $`m_{\nu i}`$ directly. Furthermore, since $`m_\nu |_im_iU_{ei}^2|=0`$ due to $`M_{11}=0`$ in the present model, it is also impossible to detect the effective mass $`m_\nu `$ in the neutrinoless double beta decay.

From

$$\mathrm{\Delta }m_{atm}^2=\mathrm{\Delta }m_{23}^22a^2\left(\frac{m_\mu }{m_\tau }fm_0\right)^2,$$
$`(3.14)`$
we obtain the numerical result

$$fm_02.4\times 10^3\mathrm{eV},$$
$`(3.15)`$
$$f\mathrm{sin}2\varphi \mathrm{tan}\beta \mathrm{ln}\frac{M_1^2}{M_2^2}1.2\times 10^5.$$
$`(3.16)`$
## 4 Constraints from the electroweak data

The sensitive upper bound on $`|f_{ij}|`$ is , at present, given from the $`\mu e\overline{\nu }_e\nu _\mu `$ decay as derived by Smirnov and Tanimoto

$$|f_{e\mu }|^2<2.8\times 10^3G_F\overline{M}^2,$$
$`(4.1)`$
where $`\overline{M}`$ is defined by $`(1/\overline{M}^2)=(1/M_1^2)\mathrm{cos}^2\varphi +(1/M_2^2)\mathrm{sin}^2\varphi `$ and $`G_F\overline{M}^2=\sqrt{2}[\overline{M}/(v/\sqrt{2})]^2`$, ($`v/\sqrt{2}=174\mathrm{GeV}`$). (Our definition of the coupling constants $`f_{ij}`$ are different from that in Ref.  by a factor 2.) From the relation

$$\mathrm{sin}^2\varphi =\frac{M_\mathrm{\Phi }^2M_2^2}{M_1^2M_2^2},$$
$`(4.2)`$
where $`M_\mathrm{\Phi }^2`$ is the squared mass of the charged scalar $`\mathrm{\Phi }^+`$ defined by Eq. (1.7) \[the $`M_{11}^2`$ component of the mass matrix $`M^2`$ for $`(\mathrm{\Phi }^+,h^+)`$\], we estimate

$$\overline{M}^2=\frac{M_1^2M_2^2}{M_2^2\mathrm{cos}^2\varphi +M_1^2\mathrm{sin}^2\varphi }=\frac{M_1^2M_2^2}{M_\mathrm{\Phi }^2}M_1^2,$$
$`(4.3)`$
for $`M_\mathrm{\Phi }^2M_2^210^4`$ GeV2. Therefore, we can read the constraint (4.1) as

$$|f_{e\mu }|<\frac{M_1}{v/\sqrt{2}}\times 3\times 10^2.$$
$`(4.4)`$
Since we expect visible effects of the Zee boson, we consider a value of $`f_{e\mu }`$ as large as possible. For example, we suppose $`f_{e\mu }10^0`$, which means $`f10^1`$ and $`M_110^4`$ GeV. We consider that it is likely that the Zee boson has such a intermediate mass scale.

The contribution of the Zee boson to the radiative decays $`\mu e\gamma `$, $`\tau e\gamma `$ and $`\tau \mu \gamma `$ are proportional to $`(f_{\mu \tau }f_{e\tau })^2`$, $`(f_{\tau \mu }f_{\mu e})^2`$ and $`(f_{\tau e}f_{e\mu })^2`$, respectively, where

$$(f_{\mu \tau }f_{e\tau })^2\left(\frac{m_e}{m_\mu }\right)^2f^42.3\times 10^5f^4,$$

$$(f_{\tau \mu }f_{\mu e})^2\left(\frac{m_em_\mu }{m_\tau ^2}\right)^2f^42.9\times 10^{10}f^4,$$

$$(f_{\tau e}f_{e\mu })^2f^4.$$
$`(4.5)`$
Although the dominant mode of the radiative decay in the present model is $`\tau \mu \gamma `$, the constraint on the Zee boson contribution in the $`\mu e\gamma `$ decay is still severe compared with that in the $`\tau \mu \gamma `$, because the present experimental upper limits  of the partial decay widths $`\mathrm{\Gamma }(\tau \mu \gamma )`$ and $`\mathrm{\Gamma }(\mu e\gamma )`$ are $`B(\tau \mu \gamma )/\tau (\tau )<3.0\times 10^6/2.9\times 10^{13}\mathrm{s}=1.0\times 10^7\mathrm{s}^1`$ and $`B(\mu e\gamma )/\tau (\mu )<4.9\times 10^{11}/2.2\times 10^6\mathrm{s}=2.2\times 10^5\mathrm{s}^1`$, respectively. However, even in the $`\mu e\gamma `$ decay, as discussed in Refs.  and , the present experimental upper limit of the decay rate $`B(\mu e\gamma )`$ cannot give a severe constraint on the magnitudes of $`f_{ij}`$.

We think that the most promising test of the present model is the observation of a lepton-number violating decay $`Z\tau ^\pm \mu ^{}`$, which is caused through $`Z\nu _e+\overline{\nu }_e`$ and a triangle loop with exchange of the Zee boson \[and also through $`ZH_a^++H_a^{}`$ ($`a=1,2`$) \]. Similar lepton-number violating decays $`Ze_i\overline{e}_j`$ ($`ij`$) can be caused by the exchange of scalar fermions in a minimal SUSY standard model with explicitly broken $`R`$-parity via $`L`$-violation . In the present model, it is characteristic that only the dominant mode is $`Z\tau ^\pm \mu ^{}`$, which is proportional to $`(f_{e\mu }f_{e\tau })^2f^4`$. We roughly estimate the ratio $`R=B(Z\tau ^\pm \mu ^{})/B(Ze^+e^{})`$ as

$$R=\frac{\mathrm{\Gamma }(Z\mu ^\pm \tau ^{})}{\mathrm{\Gamma }(Ze^+e^{})}\left(\frac{f_{e\mu }f_{e\tau }}{16\pi ^2}\mathrm{ln}\frac{M_1^2}{m_Z^2}\right)^210^6,$$
$`(4.6)`$
where we have supposed $`f_{e\mu }1`$, i.e., $`f10^1`$. (We must calculate all related diagrams in order to remove the logarithmic divergence. More details of the $`Ze_i\overline{e}_j`$ decays will be given elsewhere.) The present experimental upper limit  is $`B(Z\tau \mu )/B(Ze\overline{e})<1.2\times 10^5/3.367\times 10^2=3.6\times 10^4`$. We think that the value $`R10^6`$ is within the reach of our near future experiment.

Another interesting observable quantity is the mixing matrix element $`U_{e3}`$. The direct numerical calculation from the expression (3.1) \[not the approximate expression (3.2)\] gives the value of the mixing matrix element $`U_{e3}`$

$$U_{e3}=1.64\times 10^5.$$
$`(4.7)`$
However, the value (4.7) is too small to detect even in the near future, since the present experimental upper bound  is $`U_{e3}<(0.220.14)`$.

## 5 Conclusion and discussion

In conclusion, we have investigated a neutrino mass matrix based on the Zee model with a badly broken horizontal symmetry. A simple ansatz for the symmetry breaking effects leads to $`f_{e\mu }(m_\tau /m_\mu )f`$, $`f_{e\tau }(m_\mu /m_\tau )f`$ and $`f_{\mu \tau }(m_e/m_\tau )f`$ for the Zee boson-lepton coupling constants $`f_{ij}`$. The Zee mass matrix with such coupling constants $`f_{ij}`$ gives the nearly bimaximal mixing (3.10) and the ratio of the squared mass differences $`\mathrm{\Delta }m_{solar}^2/\mathrm{\Delta }m_{atm}^2=\sqrt{2}m_e/m_\mu =6.7\times 10^3`$.

Since the coupling constant $`c_{12}`$ of the $`\mathrm{\Phi }_1^Ti\tau _2\mathrm{\Phi }_2h^{}`$ term in the Lagrangian (1.1) has a dimension of mass, we think that the Lagrangian (1.1) is not a fundamental one, but an effective one. In the present model, the horizontal symmetry $`\mathrm{SU}(3)_H`$ is badly broken. We do not consider that the broken symmetry in the effective Lagrangian is brought by a spontaneous symmetry breaking. We consider that there is no horizontal symmetry in the fundamental Lagrangian from the beginning. Nevertheless, we have used the prescription of the “broken symmetry” only for the convenience of the phenomenological treatments.

Usually, the assumptions for the symmetry breaking are put on the coupling constants directly, while in the present paper, the requirements are put on the transition matrix elements including the coupling constants. The present prescription is somewhat unfamiliar and strange if quarks and leptons are fundamental entities. The present assumption may be understood by a composite model picture of quarks and leptons in future.

The present phenomenological success seems to suggest that the Zee model should be taken seriously. Then, our future tasks will be as follows: What is the meaning of the present prescription for the symmetry breaking? How can the Zee model we embedded into a unification scenario?

Acknowledgments

We would like to thank Professor M. Matsuda for his helpful discussions, especially, for offering us his detailed calculation on the $`\mu e\gamma `$ decay. One of the authors (Y.K.) thanks M. Tanimoto for his valuable comments and for informing useful references. One of the authors (A.G.) is supported by the Japan Society for Promotion of Science (JSPS), Postdoctoral Fellowship for Foreign Researches in Japan (Grant No. 99222).


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# Homogeneous Modes of Cosmological Instantons

## I Introduction

An important issue in the study of quantum gravity is the question of whether a consistent Euclidean formulation exists at all. There is of course the problem of renormalizability, but this may be considered a “technical” difficulty perhaps to be resolved by the inclusion of more degrees of freedom at high energies. Somewhat more fundamental is the apparent unboundedness of the Euclidean action itself, known as “the conformal factor problem” . This problem has a deep physical origin in the fact that there is no canonical ensemble for gravitating systems. This is perhaps the major hazard to be faced the use of non-perturbative Euclidean techniques.

In this paper we study the behaviour of the action around a class of non-perturbative $`O(4)`$ invariant classical solutions of Euclideanised Einstein-scalar field theory called cosmological instantons. These instantons have been used for some time in inflationary theory to describe the decay of an inflating false vacuum state . In analogy with the instanton description of quantum tunneling , one expects such instantons to possess a single negative mode , leading to an imaginary contribution to the energy of the unstable state. For the tunneling interpretation to be valid, it is important to establish the presence of the negative mode. However, if such a mode exists this equally establishes that the Euclidean path integral can only be regarded as an approximation since it is ill-defined at a fundamental level.

Cosmological instantons are also used in another, more ambitious context. They provide a first approximation to the Euclidean no boundary path integral , and therefore are the possible foundation for a description of the initial conditions of the universe itself. One seeks solutions of the no boundary form, in which Lorentzian spacetime is analytically rounded off on a Euclidean region. Correlators of observables are then to be computed via a perturbation expansion in the Euclidean region. Since the Euclidean propagator is unique, in principle one should obtain unique Euclidean correlators which then, after analytic continuation to the Lorentzian region, fully define the theory .

The existence of negative modes should we believe be a major consideration in deciding whether or not instantons should be regarded as describing tunneling or whether they provide a fundamental description of the initial state for the universe. The complete set of fluctuation modes divides into those which are $`O(4)`$ invariant in the Euclidean region and those which are not. The latter describe inhomogeneous cosmological perturbations, and it is well known that they possess positive Euclidean action. Negative modes can however arise in the $`O(4)`$ invariant sector and in this paper we shall develop the technology necessary to describe them.

At first sight the conformal factor problem makes the problem of defining the number of negative modes intractable. If an inappropriate choice of variables is made, as in  for example, the Euclidean action is unbounded below with an infinity of negative modes appearing. Another approach has been proposed which involves Wick rotating infinite sub-classes of modes in the Euclidean region and arguing about the transformation properties of the measure . This is related to the proposal of Gibbons, Hawking and Perry  of Wick rotating the conformal factor fluctuations to make the Euclidean path integral bounded. These methods seem rather arbitrary and contrived, and do not seem to yield sensible results when applied to both Hawking-Moss as well as Coleman-De Luccia instantons.

Instead we shall attempt to continue to the Euclidean region in a well-defined manner following from a Hamiltonian formulation in the Lorentzian region. We integrate out gauge degrees of freedom in the Lorentzian region and analytically continue only physical degrees of freedom. It is important to note that the analytic continuation which generalizes the choice $`ti\tau `$ in Minkowski spacetime is completely fixed by considering a hypothetical field only weakly coupled to gravity, and demanding that its action be positive definite in the Euclidean region.

To quadratic order in the fluctuations, “three–fourths” of the conformal factor problem is solved by removing gauge degrees of freedom and taking the Einstein $`G_{0\mu }`$ constraint equations properly into account. The latter link the variation of the metric with the amplitude of the scalar field, so a quickly oscillating metric leads to a large scalar field fluctuation and large Euclidean action. This eliminates negative kinetic terms for $`O(4)`$ non-invariant modes (i.e. the spatially inhomogeneous modes in the Lorentzian universe), as discussed for example in Ref. .

The remaining negative kinetic terms are associated with the $`O(4)`$ invariant modes. As discussed above, the negativity is meaningful and we should not attempt to artificially remove it. Rather we seek to isolate it in a discrete number of clearly identified fluctuation modes. Changes of variable in the path integral can be very helpful for this purpose. Consider for example quantum mechanics in real time for a particle with a positive harmonic potential but a negative kinetic term. The real time path integral may be written

$$\left[dq\right]e^{i{\scriptscriptstyle 𝑑t({\scriptscriptstyle \frac{A}{2}}\dot{q}^2{\scriptscriptstyle \frac{B}{2}}q^2)}}.$$
(1)
where both $`A`$ and $`B`$ are positive. If we perform the usual analytic continuation $`t=i\tau `$, we obtain a Euclidean action with a negative kinetic term, analogous to the case of gravity. For normalized fluctuations in $`q`$ the Euclidean action possesses an infinite number of negative modes. However a functional Fourier transform sheds new light on the problem. We can reproduce the first term in the action is with a functional integral over $`p`$, with action $`p\dot{q}+\frac{1}{2A}p^2`$. We then integrate by parts in $`t`$, and functionally integrate over $`q`$, obtaining in place of (1)

$$\left[dp\right]e^{i{\scriptscriptstyle 𝑑t({\scriptscriptstyle \frac{1}{2B}}\dot{p}^2+{\scriptscriptstyle \frac{1}{2A}}p^2)}}.$$
(2)
We notice that the coefficients of the kinetic and potential terms have been interchanged, so that we now have a positive kinetic term and a negative potential term. Continuing as before via $`t=i\tau `$, the Euclidean action now has positive kinetic term. Of course the potential term is now negative, so we have merely replaced one ill-defined Euclidean path integral with another and one might think we had not gained much. But for the context below, where the Euclidean region is compact, the positivity of the kinetic term means that even if the potential term is negative, the action is bounded below for normalized perturbations and the number of negative modes is then finite.

The functional Fourier transform used above is of course just another way of introducing the full first order on phase space $`(p,q)`$ appropriate to a Hamiltonian treatment. The freedom we then exploit is the choice of the linear combination of $`p`$ and $`q`$ for the retained variable to be continued to the Euclidean region. If some particular linear combination yields a positive kinetic term throughout the Euclidean region, this is to be preferred since the number of negative modes is then countable. Note that just one linear combination of $`p`$ and $`q`$ is sufficient to completely define the theory in the Euclidean region, since correlators of the independent linear combination may be derived by differentiating with respect to time and using the Heisenberg equations of motion ($`q=\dot{p}/B`$ in the example above).

Using the freedom to define the retained coordinate, and exploiting the fact that the number of negative modes of a Sturm-Liouville operator is independent of the measure chosen, we prove that large classes of regular gravitational instantons have negative modes. This puts tunneling interpretations of these instantons on a firmer footing. But as discussed above it raises doubts about using them to describe the beginning of the universe.

Indeed in theories with Hawking-Moss and Coleman-De Luccia instantons, there is usually a lower action instanton which does not possess negative modes. Consider theories where there is a global potential minimum, and it is positive. Then there is an instanton which is a round four sphere. The radius of the sphere tends to infinity as the potential minimum decreases to zero. This instanton solution has no negative modes. Its analytic continuation is just empty de Sitter spacetime, or in the limit of zero potential minimum, Minkowski spacetime. It seems to us that this trivial vacuum state, defined by the lowest action instanton is in fact the natural one implied by the Euclidean no boundary proposal for the sector of the theory with the simplest, $`S^4`$ topology. Selecting another instanton with this topology (Hawking-Moss, or Coleman-De Luccia) to describe the beginning of the universe seems unacceptable. Since those instantons possess negative modes, they may describe tunneling from one approximate, unstable state but to use them as the basis for a fundamental description is surely questionable.

The existence of singular, but finite action, constrained instanton solutions  in a generic inflationary model opens new possibilities in this regard. Such instantons may be made regular by a change of variables on superspace plus an appropriate regularization of the potential $`V(\varphi )`$ at large values of the inflaton field $`\varphi `$ . In the regular description, the topology of the solutions is not $`S^4`$ but $`RP^4`$, and the scalar field is actually a twisted field living on that manifold. These instantons are classical solutions in a sector of the theory which is topologically distinct from the naive $`S^4`$ Euclidean vacuum discussed above. Implementing the regularization scheme of Kirklin, Turok and Wiseman , we show the constraint removes negative modes for those instantons giving substantial inflation. There is therefore a stable valley in the configuration space of the Euclidean theory, and the Euclidean path integral for fluctuations about such solutions is well defined to quadratic order. It may therefore possess a well defined perturbative expansion to higher orders.

The outline of the paper is as follows. We review negative modes of Hawking-Moss instantons, before discussing regular Coleman-De Luccia instantons and then generic singular Hawking-Turok instantons. Motivated by the construction of Ref.  we regularize the latter by matching the scalar potential $`V(\varphi )`$ at large $`\varphi `$ to a certain class of exponentially decaying potentials. We discuss an alternate regularization and constraint motivated by Garriga’a construction of singular instantons as dimensionally reduced five dimensional regular solutions . In the latter construction, a negative mode is always present for a generic slow-roll potential. Finally implications of this work for Euclidean quantum gravity are commented upon.

Our study yields a simple picture of Euclidean configuration space for a generic inflationary theory, into which the known classical solutions fit. The valley we have identified for Hawking-Turok instantons is potentially of much interest since it may provide a well defined perturbative basis for Euclidean approaches to inflationary cosmology.

We would like to draw to the attention of the reader the recent work of A. Khvedelidze, G. Lavrelashvili and T. Tanaka , which also addresses the issue of negative modes about Coleman-De Luccia instantons.

## II The Second Order Action

Our starting point is the second order action for scalar perturbations in the Lorentzian universe, as discussed in Sec. 4 of . We consider a scalar field $`\varphi `$ with potential $`V(\varphi )`$ minimally coupled to gravity. The background field equations are

$$\varphi ^{\prime \prime }+2\varphi ^{}=a^2V_{,\varphi }(\varphi )^2=\frac{\kappa }{3}(\frac{1}{2}\varphi ^2+V(\varphi )a^2)𝒦,$$
(3)
where $`\kappa =8\pi G`$, $`=a^{}/a`$, primes denote derivatives with respect to conformal time and $`𝒦=0,\pm 1`$ for flat, closed and open FRW universes. With the perturbed line element

$`ds^2=a^2\left(\left(1+2A\right)d\tau ^2+B_{|i}dx^id\tau +\left(\left(12\psi \right)\gamma _{ij}+2E_{|ij}\right)dx^idx^j\right),`$ (4)
and the scalar field represented as $`\varphi +\delta \varphi `$, with $`\varphi `$ the background solution, the second order action for fluctuations is given by Eq. (18) of , reproduced here:

$`S_2`$ $`=`$ $`{\displaystyle \frac{1}{2\kappa }}{\displaystyle }d\tau d^3xa^2\sqrt{\gamma }\{6\psi ^212A\psi ^{}+2\mathrm{\Delta }\psi (2A\psi )2(^{}+2^2)A^2`$ (8)
$`+\kappa \left(\delta \varphi ^2+\delta \varphi \mathrm{\Delta }\delta \varphi a^2V_{,\varphi \varphi }\delta \varphi ^2\right)+2\kappa \left(3\varphi ^{}\psi ^{}\delta \varphi \varphi ^{}\delta \varphi ^{}Aa^2V_{,\varphi }A\delta \varphi \right)`$
$`+𝒦\left(6\psi ^2+2A^2+12\psi A+2\left(BE^{}\right)\mathrm{\Delta }\left(BE^{}\right)\right)`$
$`+4\mathrm{\Delta }(BE^{})({\displaystyle \frac{\kappa }{2}}\varphi ^{}\delta \varphi \psi ^{}A)\}.`$
This is well-defined for all values of $`\varphi ^{}`$ and the three-space Laplacian $`\mathrm{\Delta }`$. In an open universe $`\mathrm{\Delta }`$ takes the value zero for the spatially homogenous mode, and $`p^21`$ with $`p^2>0`$ for the continuum of square integrable modes. In a closed universe $`\mathrm{\Delta }`$ is given by $`n^2+1`$ with $`n𝒩`$.

The momenta canonically conjugate to $`\psi `$, $`E`$, and $`\delta \varphi `$ are

$`\mathrm{\Pi }_\psi `$ $`=`$ $`{\displaystyle \frac{2a^2\sqrt{\gamma }}{\kappa }}\left(3\psi ^{}+3{\displaystyle \frac{\kappa }{2}}\varphi ^{}\delta \varphi 3A\mathrm{\Delta }\left(BE^{}\right)\right),`$ (9)
$`\mathrm{\Pi }_E`$ $`=`$ $`{\displaystyle \frac{2a^2\sqrt{\gamma }\mathrm{\Delta }}{\kappa }}\left(\psi ^{}{\displaystyle \frac{\kappa }{2}}\varphi ^{}\delta \varphi +A𝒦\left(BE^{}\right)\right),`$ (10)
$`\mathrm{\Pi }_{\delta \varphi }`$ $`=`$ $`a^2\sqrt{\gamma }\left(\delta \varphi ^{}\varphi ^{}A\right).`$ (11)
Under an infinitesimal scalar coordinate transformation $`x^\mu x^\mu +\lambda ^\mu `$, where $`\lambda ^\mu =(\lambda ^0,\lambda ^{|i})`$, the perturbation fields and momenta transform as

$`\psi \psi \lambda ^0,BB+\lambda ^{}\lambda ^0,AA+\lambda _{}^{0}{}_{}{}^{}+\lambda ^0,EE+\lambda ,\delta \varphi \delta \varphi +\varphi ^{}\lambda ^0,`$ (12)
$`\mathrm{\Pi }_\psi \mathrm{\Pi }_\psi +{\displaystyle \frac{2a^2\sqrt{\gamma }}{\kappa }}(\mathrm{\Delta }+3𝒦)\lambda ^0,\mathrm{\Pi }_E\mathrm{\Pi }_E,\mathrm{\Pi }_{\delta \varphi }\mathrm{\Pi }_{\delta \varphi }+a^2\sqrt{\gamma }(\varphi ^{\prime \prime }\varphi ^{})\lambda ^0.`$ (13)
## III Hawking-Moss Instantons

Let us first consider Hawking-Moss instantons , where the scalar field is everywhere a constant. It is well-known that these have negative eigenmodes for $`V_{,\varphi \varphi }<0`$. The corresponding Lorentzian solution has $`\varphi ^{}=0`$ everywhere and so $`V_{,\varphi }`$ must be zero. We notice immediately from Eq. (8) that the matter and metric degrees freedom decouple, and from Eq. (13) that $`\delta \varphi `$ has become a gauge invariant variable. Introducing conjugate momenta to the gravitational degrees of freedom, and performing the integrals, we find that no gauge invariant combination of the fields and momenta that is not forced to be zero is left. This means that there are no real degrees of freedom described by the metric. Indeed $`\mathrm{\Psi }_N`$ is forced to be zero here, making one wary of any approach (such as that in ) pertaining to negative modes that relies on metric variables alone. Returning to the matter degree of freedom, we analytically continue into the Euclidean region as detailed in , leaving us with the action

$`{\displaystyle \frac{1}{2}}{\displaystyle 𝑑Xd^3xb^2\sqrt{\gamma }\left(\delta \varphi ^2\delta \varphi \mathrm{\Delta }_3\delta \varphi +b^2V_{,\varphi \varphi }\delta \varphi ^2\right)}.`$ (14)
where $`\gamma `$ is now the determinant of the Euclidean metric, and the Euclidean background line element is $`b^2(X)(dX^2+\gamma _{ij}dx^idx^j)`$ with $`\gamma _{ij}`$ the metric on the round three sphere. All gradient terms are positive so this action is bounded below for square-integrable variations of the scalar field. The first thing to note is that if $`V_{,\varphi \varphi }>0`$ then this action is positive definite and so the spacetime is perturbatively stable. If $`V(\varphi _0)`$ is the global minimum of $`V`$ one might expect that this spacetime is non-perturbatively stable as well. We can see the existence of a negative mode for $`V_{,\varphi \varphi }<0`$ as follows. The eigenvalue equation associated with this action is of Sturm-Liouville form, but we have some freedom in specifying the measure, which we shall repeatedly exploit. $`b^4\sqrt{\gamma }`$ is a permissible choice, allowing us to just read off that $`\delta \varphi =`$ constant is an eigenmode with eigenvalue $`V_{,\varphi \varphi }`$. One might enquire if there is another negative mode. Rescaling $`\delta \varphi `$ by a factor of $`b`$, the action operator takes Schrödinger form and choosing the measure to be $`\sqrt{\gamma }`$ gives us the Schrödinger equation with a $`(2V_{,\varphi \varphi }/H^2)/b^2+n^2`$ potential, where $`n^2=\mathrm{\Delta }_3+1`$, with $`\mathrm{\Delta }_3`$ the Laplacian on $`S^3`$. This can be solved for the negative eigenvectors and eigenvalues (see  for example) in terms of hypergeometric functions. The number of negative modes is independent of the choice of measure. For $`4<V_{,\varphi \varphi }/H^2<0`$ there is one, for $`10<V_{,\varphi \varphi }/H^2<4`$ there are six, and in general for $`N(N+3)<V_{,\varphi \varphi }/H^2<(N1)(N+2)`$, where $`N𝒵^+`$, there are $`N(N+1)^2(N+2)/12`$ negative modes. This counting agrees with an $`O(5)`$ spherical harmonic analysis. We see that as $`V_{,\varphi \varphi }`$ becomes more negative from zero five more modes suddenly cross zero at $`V_{,\varphi \varphi }/H^2=4`$, meaning that the Hawking-Moss instanton cannot now have anything to do with tunneling. This is very interesting because one of the new negative modes is spatially homogeneous, and antisymmetric in $`X`$. In fact it is the perturbative indication of the existence of a lower-action non-perturbative solution, namely the Coleman-De Luccia instanton for the same potential. $`V_{,\varphi \varphi }/H^2<4`$ is the precise condition for the existence of a Coleman-De Luccia instanton , which has lower action. We will show below that this itself has a negative mode, which may be viewed as the carry-over of the lowest one of the Hawking-Moss instanton. The spectral flow is as follows. For small negative $`V_{,\varphi \varphi }`$, there is only one classical solution (the Hawking-Moss instanton) with one negative mode. As $`V_{,\varphi \varphi }`$ becomes more negative, one of the positive eigenvalues decreases to zero. As it crosses zero, a new classical solution is obtained by flowing down the new negative direction to a new saddle point, which retains the original negative mode but is stable in other directions. The spatially homogeneous negative modes gained by passing through $`V_{,\varphi \varphi }/H^2=N(N+3)`$, $`N>1`$ correspond to the coming into existence of non-perturbative multibounce instantons. From spectral flow arguments one would expect these to possess $`N`$ negative modes. The same arguments indicate that the lowest action Coleman-De Luccia instanton should only have one negative mode, and this is confirmed numerically as we discuss below.

## IV Coleman-De Luccia Instantons

Let us now consider Coleman-De Luccia instantons . We start in the open universe from Eq. (8). For $`\mathrm{\Delta }0`$ we proceed as in Sec. 4 of Ref.  to Eq. (20) there. We do the $`B`$ and $`\mathrm{\Pi }_E`$ integrals, effectively setting $`\mathrm{\Pi }_E=0`$ in that expression. For $`\mathrm{\Delta }=0`$ $`B`$ and $`E`$ no longer appear in Eq. (8), and we cannot define a $`\mathrm{\Pi }_E`$. However we can still introduce $`\mathrm{\Pi }_\psi `$ and $`\mathrm{\Pi }_{\delta \varphi }`$ and work forward to the same expression in terms of $`\psi `$, $`\mathrm{\Pi }_\psi `$, $`\delta \varphi `$, and $`\mathrm{\Pi }_{\delta \varphi }`$ as for $`\mathrm{\Delta }0`$. So from now on we treat $`\mathrm{\Delta }=0`$ and $`\mathrm{\Delta }0`$ in a unified way. $`\mathrm{\Psi }_N`$, as defined in Eq. (21) of Ref.  is singular for $`\mathrm{\Delta }=0`$, and from our experience with the Hawking-Moss case above we know that spatially homogeneous fluctuations are significant when investigating negative modes. So we define the closely related variable

$`\mathrm{\Psi }_l=\left(\mathrm{\Delta }+3𝒦\right)\psi +{\displaystyle \frac{\kappa \mathrm{\Pi }_\psi }{2a^2\sqrt{\gamma }}}`$ (15)
where we have also taken the opportunity to multiply through by $`\mathrm{\Delta }+3𝒦`$ in order to keep our fields local. This is gauge invariant and classically the same as $`\left(\mathrm{\Delta }+3𝒦\right)\mathrm{\Psi }_N`$ since $`\mathrm{\Pi }_E`$ is constrained to be zero. In , introducing $`\mathrm{\Pi }_N`$ made the action independent of $`\delta \varphi `$. This is classically equivalent to working in a gauge $`\delta \varphi =0`$, and from the Hawking-Moss example we see that this is potentially awkward. So here we define

$`\delta \varphi _l=\left(\mathrm{\Delta }+3𝒦\right)\delta \varphi {\displaystyle \frac{\kappa \varphi ^{}\mathrm{\Pi }_\psi }{2a^2\sqrt{\gamma }}}`$ (16)
which is again local and gauge invariant. Using $`\delta \varphi _l`$ and $`\mathrm{\Psi }_l`$ is classically equivalent to working in the gauge $`\mathrm{\Pi }_\psi =0`$, which from (6) and for $`𝒦0`$ is a good gauge everywhere. The action now takes the simple form

$`{\displaystyle }d\tau d^3x{\displaystyle \frac{a^2\sqrt{\gamma }}{\mathrm{\Delta }+3𝒦}}\{{\displaystyle \frac{2}{\kappa \varphi ^{}}}\mathrm{\Psi }_l\delta \varphi _l^{}+{\displaystyle \frac{2\left(\varphi ^{}\varphi ^{\prime \prime }\right)}{\kappa \varphi ^2}}\mathrm{\Psi }_l\delta \varphi _l`$ (17)
$`+{\displaystyle \frac{1}{2}}\delta \varphi _l^2{\displaystyle \frac{1}{\kappa }}(1+2(\mathrm{\Delta }+3𝒦)/\kappa \varphi ^2)\mathrm{\Psi }_l^2\}.`$ (18)
It is remarkable that in the $`\mathrm{\Pi }_\psi =0`$ gauge, the Newtonian potential $`\mathrm{\Psi }`$ and the scalar field fluctuation $`\delta \varphi `$ are the two remaining physical, and canonically conjugate variables.

We now have a choice in deciding which linear combination of $`\delta \varphi _l`$ and $`\mathrm{\Psi }_l`$ to retain as our coordinate before continuing to the Euclidean region. Having made this choice we integrate out any remaining non-parallel combination and obtain a quadratic action for the coordinate of interest, which we continue to the Euclidean region. For a given background instanton, if the Euclidean action has positive definite derivative terms it is bounded below for normalized square integrable fluctuations of that variable, and we have made a good choice for isolating negative modes. From our experience with Hawking-Moss an obvious choice is to take $`\delta \varphi _l`$ itself. After analytic continuation to the Euclidean region, followed by a simple rescaling $`Q=b\delta \varphi _l/\varphi ^{}`$, the action takes the form

$`{\displaystyle \frac{dXd^3x\sqrt{\gamma }\varphi ^2}{2\left(\mathrm{\Delta }_33\right)^2}\left(\frac{Q^2}{1+\frac{\kappa \varphi ^2}{2\left(\mathrm{\Delta }_33\right)}}+\left(\mathrm{\Delta }_33\right)Q^2\right)}.`$ (19)
Let us first briefly discuss the technicality of what happens when $`\left(\mathrm{\Delta }_33\right)=0`$, corresponding to $`n=2`$ (recall that the eigenvalues of the Laplacian on $`S^3`$ are $`n^2+1`$, $`n𝒩`$). This action is infinite unless $`Q=0`$. One takes this to be a positive infinity since then it says that $`\left(\mathrm{\Delta }_33\right)=0`$ modes are infinitely suppressed. That this is correct can be seen by considering Eq. (8) for this mode in a closed universe with $`\varphi ^{}0`$. There is a degeneracy between $`\psi `$ and $`E`$, resulting in only the sum $`\psi +E`$ affecting the three-metric. Then there are no gauge-invariant combinations of fields and momenta that are not forced to be zero. Note that $`\left(\mathrm{\Delta }_33\right)=0`$ modes do exist for the Hawking-Moss instanton but in that case $`\varphi ^{}=V_{,\varphi }=0`$ everywhere.

Having dealt with this, we move on to the more interesting cases of $`n=1`$ and $`n>2`$. In the latter inhomogeneous case both the kinetic terms and the potential terms are positive definite, giving no possibility of negative modes. Now let us consider the potentially dangerous homogeneous $`n=1`$ mode. The kinetic term is positive definite so long as $`1\kappa \varphi ^2/6>0`$ across the entire instanton. This condition holds for a wide class of Coleman-De Luccia instantons, of both the thin-wall and the thick-wall variety. In this case we see the existence of the negative mode $`Q=`$ constant by choosing the measure $`\varphi ^2\sqrt{\gamma }`$. So a wide class of Coleman-De Luccia instantons are shown to have a negative mode. Incidentally we note that had we chosen a variable that had no $`\delta \varphi `$ matter component, the homogeneous mode would have had negative definite kinetic term, as found in . Then the action could be arbitrarily negative for square integrable fluctuations of the metric variable.

Having chosen a measure, one can numerically determine the other eigenmodes and eigenvalues of the operator. For Coleman-De Luccia instantons associated with potentials of Gaussian form $`e^{A\varphi ^2}`$ for example, we have found no evidence of further negative modes about these lowest-action regular solutions. This is consistent with expectations based on spectral flow from the Hawking-Moss instanton as discussed above.

## V Hawking-Turok Instantons

On singular instantons, as the scalar field tends to infinity, the condition $`1\kappa \varphi ^2/6<0`$ is certainly violated. However this by itself does not mean that we should exclude them. Rather we should first consider the possibility that gravity on the instanton is sufficiently strong that a pure matter variable like $`Q`$ does not provide a suitable description of the fluctuations. Indeed, going back to Eq. (18), we can define $`\overline{Q}=\delta \varphi _l+2\left(\varphi ^{\prime \prime }/\varphi ^{}\right)\mathrm{\Psi }_l/\kappa \varphi ^{}`$ to obtain after analytic continuation

$`{\displaystyle \frac{dXd^3xb^2\sqrt{\gamma }}{2\left(\mathrm{\Delta }_33\right)^2}\left(\frac{\left(\mathrm{\Delta }_33\right)\overline{Q}^2}{(\varphi ^{}(1/\varphi ^{})^{\prime \prime }\mathrm{\Delta }_34)}+\left(\mathrm{\Delta }_33\right)\overline{Q}^2\right)}.`$ (20)
This time we see that the kinetic term is positive definite both for $`n=1`$ and $`n>2`$ as long as $`4<\varphi ^{}(1/\varphi ^{})^{\prime \prime }<4`$. Using the background field equations, we have

$`D(X)\varphi ^{}(1/\varphi ^{})^{\prime \prime }4=b^2\left(2\kappa V+{\displaystyle \frac{8V_{,\varphi }}{\varphi ^{}}}+V_{,\varphi \varphi }{\displaystyle \frac{2b^2V_{,\varphi }^2}{\varphi ^2}}\right).`$ (21)
We see that if the potential has a maximum then we must have $`2\kappa V+V_{,\varphi \varphi }>0`$ for $`\overline{Q}`$ to be a suitable variable. Let us examine the behaviour of this term near the singularity. We have $`b^2`$ going like $`X`$, and $`\varphi `$ goes like $`\mathrm{ln}\sqrt{3/2\kappa }X`$. If $`V`$ is polynomial, $`D`$ goes like $`X`$ times a term involving $`\mathrm{ln}X`$ factors. Now the solution of the eigenvalue operator for any eigenvalue is of the form $`AD(X)/X𝑑X+B`$ near the singularity and we see that this has finite action for any $`A`$ and $`B`$. This shows that the action alone does not in fact impose the boundary conditions for the $`O(4)`$ invariant perturbations of singular instantons. It is consistent with the fact that singular instantons cannot be regarded as unconstrained saddle points of the Euclidean action since the action varies across the class of singular instantons. They must be defined by introducing a constraint into the path integral which is later integrated over. This constraint determines the allowed $`O(4)`$ invariant modes. If one is interested in calculating a correlator which weights particularly strongly towards a given value for the constraint (for example if we are interested in correlating with the observed value of $`\mathrm{\Omega }`$ today), it may be useful to only consider one sector and ignore the integration over the constraint. This is what is effectively done in  where a constraint is implicitly applied to give an acceptable value of $`\mathrm{\Omega }_0`$, and homogeneous fluctuations are ignored since they do not affect the microwave background correlations.

## VI Regularized Instantons

In the above section we saw that if $`V`$ were polynomial in $`\varphi `$, then $`D`$ went like $`X`$ times a term involving $`\mathrm{ln}X`$ factors. However, if $`V`$ is asymptotically of the form $`(e^{\sqrt{2\kappa /3}\varphi })^r`$, with $`r`$ an odd integer, then $`D`$ goes like $`X^{r+1}`$, and the eigenfunctions have the form $`AX^{r+1}+B`$ near the singularity. Therefore with this form of potential the theory has good analytic behaviour near the singularity. This suggests that with this type of potential there is special behaviour and indeed this is the case. We see here the perturbative indication of the scenario of Kirklin, Turok and Wiseman . There it is shown that singular instantons of potentials with the asymptotic form $`(e^{\sqrt{2\kappa /3}\varphi })^r`$, with $`r`$ odd and greater than $`3`$, may be viewed as true classical solutions of a theory related to the original theory by a conformal transformation which vanishes at the Einstein frame singularity. In terms of the new variables the metric is strictly Riemannian and the instantons are regular.

If we use this scheme to regularize the singular instantons occurring in a generic inflationary theory, we must modify the potential so that it tends to $`(e^{\sqrt{2\kappa /3}\varphi })^r`$ at large $`\varphi `$. The theory is then defined as the limit where this modification occurs at infinitely large $`\varphi `$. We must check that our results are insensitive to the details of how the limit is taken. We choose $`r`$ positive because for $`r=1`$, the function $`D(X)`$ vanishes making the kinetic term for the fluctuations ill-defined.

In the regularised theory, the appropriate degrees of freedom are combinations of the conformal factor and the scalar field, living on a regular Riemannian manifold. This manifold is taken to have the topology of $`RP^4`$, and the conformal factor is taken to be in the twisted sector. This enforces the conformal zero, corresponding to the singularity. On the non-contractible three-surface where the conformal factor is zero, one is free to specify the Riemannian three-metric, and this corresponds to information stored “at the singularity” in the original Einstein frame.

The appropriate action in this picture is one where the Riemannian three-metric is fixed on the conformal zero. In terms of Einstein frame variables, this action is just the standard first derivative action  including the usual Gibbons-Hawking boundary term. For $`O(4)`$ invariant solutions the boundary data may be taken to be the value of $`m`$ on the three-surface, $`m_B`$, where $`m`$ is the Riemannian frame radius given by $`mbe^{\sqrt{\kappa /6}\varphi }`$ in terms of Einstein frame variables. We treat the value of $`m_B`$ at the conformal zero as a variable to be integrated over in the path integral. For $`m_B`$ smaller than some value there is no classical solution. However, for larger $`m_B`$ there are two solutions, one of higher and one of lower Euclidean action. The higher action solution corresponds to low values of the scalar field $`\varphi _0`$ at the beginning of the Lorentzian open universe. The lower action solution corresponds to a larger value for $`\varphi _0`$. As $`m_B`$ is increased, the corresponding value of $`\varphi _0`$ increases to infinity, giving larger and larger amounts of inflation in the Lorentzian universe.

It is slightly subtle to impose the required constraint because the single field degree of freedom we use is not $`\delta m`$. However we express $`\delta m`$ in terms of $`\overline{Q}`$ and its canonical conjugate, as given by its saddle-point value in the path integral. Consider working in the gauge $`\delta \varphi =0`$. This is a good gauge near the singularity because $`\varphi `$ is varying quickly there. Then $`\delta m`$ goes like $`\psi `$, which in terms of our gauge-invariant local variables is proportional to $`\mathrm{\Psi }_l+\delta \varphi _l/\varphi ^{}`$. Now $`\overline{Q}=\delta \varphi _l+2\left(\varphi ^{\prime \prime }/\varphi ^{}\right)\mathrm{\Psi }_l/\kappa \varphi ^{}`$, and at the saddle point $`\mathrm{\Psi }_l=\kappa \varphi ^{}\overline{Q}^{}/2D(X)`$. Consequently $`\delta m`$ is proportional to $`\overline{Q}3\overline{Q}^{}/D(X)`$ near the singularity. Our numerical code uses the auxiliary variable $`Pb^2\overline{Q}^{}/D(X)`$ and works in proper Euclidean time. So the condition that we must impose on our eigenfunctions is that $`\overline{Q}+3P/b^2\dot{b}=0`$ at the singularity. It is straightforward to show that the most general solution of the $`\overline{Q}`$ eigenvalue equation has the behaviour $`AX^2+B`$ near $`X=0`$, and our boundary condition is a specific relation between $`A`$ and $`B`$.

We have investigated a number of potentials which behave appropriately at large $`\varphi `$. For example we have matched a $`\varphi ^2`$ potential onto the $`e^{\sqrt{2\kappa /3}\varphi }`$ potential using a negative cubic term. One has to be slightly careful with the matching prescription so that one does not violate the $`2\kappa V+V_{,\varphi \varphi }>0`$ condition for $`\overline{Q}`$ to be a good variable at the turnover point. As long as the matching is done a long way further along the potential than where the runaway behaviour starts, the results are in any case insensitive to the details of the matching.

Now as explained above there are two starting values of $`\varphi `$ at the regular pole which lead to the same value of $`m_B`$ at the singularity (see Fig. 1). The instanton with larger $`\varphi `$ at the regular pole has lower action. Since for fixed $`m_B`$ these are the only two extrema, one could anticipate that the larger $`\varphi `$ solution would be stable and the lower $`\varphi `$ solution unstable. We have confirmed this numerically.

Now as we vary $`m_B`$ downwards the values of $`\varphi `$ at the regular pole in the two solutions move closer and ultimately merge, in the unique solution with minimal $`m_B`$. The associated instanton is the one with the most negative action, and it is is like a critical point. Since two solutions, one unstable and one stable, are merging, one expects to find the resulting configuration has a zero mode and this is indeed confirmed numerically.

As a result of this investigation we can build up a picture of the action-configuration space structure of the theory as shown in Fig. 2, and we can speculate as to what the structure might look like away from where we have been able to probe. For $`m_B`$ above the critical value, there is a stable valley in $`m_B`$, $`\varphi `$ space where the stability increases with increasing $`m_B`$. The instantons with lower action are constrained solutions which lie on the floor of this valley. However at lower $`\varphi `$ there is an unstable ridge, which is joined to the valley at the critical $`m_B`$. The implication is that even though the constrained instantons in the valley are stable, there are nonperturbative instabilities lurking at low $`\varphi `$, beyond the unstable ridge, and at low $`m_B`$, below the critical point. Hence it seems unlikely that the Euclidean path integral will be well defined nonperturbatively. It appears that at the very least projection operators onto certain subclasses of configuration space in the path integral are required.

## VII Connections with Previous Work

In this section we briefly show that the approach presented in this paper leads to the same results as in  for the computation of CMB background anisotropies about singular instantons. One needs to check that the spatially inhomogeneous modes allowed for one choice of path integral variable correspond to the equivalent modes allowed for the other choice of variable. For the inhomogeneous modes, $`\mathrm{\Psi }_l`$ and $`\mathrm{\Psi }_N`$ are equivalent, and we shall show that the $`q`$ modes allowed in  give the same behaviour in $`\mathrm{\Psi }_N`$ near the singularity as the allowed $`\overline{Q}`$ modes here give in $`\mathrm{\Psi }_l`$. In , the unsuppressed $`q`$ modes behaved as $`X^{3/2}`$, corresponding to $`\mathrm{\Psi }_N`$ tending to a constant. The suppressed mode had $`qX^{1/2}`$, corresponding to $`\mathrm{\Psi }_N`$ diverging like $`1/X^2`$. The eigenvalue equation leading from (20) looks like $`(X\overline{Q}^{})^{}=0`$ near the singularity, with general solutions of the form $`A\mathrm{ln}X+B`$. Substituting back into the action we find that the $`\mathrm{ln}X`$ solution has infinite action and so is suppressed. At the saddle point we have $`\mathrm{\Psi }_l`$ behaving as $`\overline{Q}^{}/X`$ and we see that $`\overline{Q}A\mathrm{ln}X`$ corresponds to $`\mathrm{\Psi }_l1/X^2`$, whereas the unsuppressed mode $`\overline{Q}B+O(X^2)`$ corresponds to $`\mathrm{\Psi }_l`$ being finite. Hence both approaches select the same allowed modes and thus give equivalent correlators.

No such check is necessary for the non-singular instantons because in this case there is no boundary and all modes are allowed.

## VIII Alternate “Five Dimensional” Boundary Condition

For the special potential $`Ve^{\sqrt{\frac{2\kappa }{3}}\varphi }=n^1`$, where here $`ne^{\sqrt{\frac{2\kappa }{3}}\varphi }`$, Garriga showed  that singular Hawking-Turok instantons could be interpreted as “dimensional reductions” of a regular five dimensional solution, which is just a round five sphere. He showed that the five dimensional action, when written in four dimensional variables, differs from the standard first-derivative four dimensional action by minus two thirds of the Gibbons-Hawking surface term. He also showed that for arbitrary potential $`V`$ one reached the same conclusion if one introduced a brane (of negative tension) to regularize the singularity.

In this section we study the existence of negative modes for a form of the action motivated by Garriga’s observation, for arbitrary scalar potential $`V(\varphi )`$. Note that Garriga’s five dimensional example yields the specific potential $`e^{\sqrt{\frac{2\kappa }{3}}\varphi }`$. The exact solution here has $`\varphi ^{}1/\mathrm{sinh2}X`$ and the function $`D(X)`$ which enters the the kinetic term for the perturbations vanishes identically. We are unable therefore to prove existence of a negative mode in this case. Indeed this is perfectly consistent since from a five dimensional view, the Garriga solution should have no negative modes. It is a round five sphere and continues to five dimensional de Sitter spacetime which is presumably stable in analogy with our treatment of the four dimensional case.

The five dimensional line element is given in terms of the four dimensional one $`ds_4^2`$ by $`ds_5^2=n^1ds_4^2+n^2dy^2`$ where $`ds_4^2=N^2d\sigma ^2+b^2(\sigma )d\mathrm{\Omega }_3^2`$ and $`0<yL`$ runs around the fifth dimension, whose radius is $`\frac{L}{2\pi }n=\frac{L}{2\pi }\mathrm{exp}(\sqrt{\frac{2\kappa }{3}}\varphi )`$. Calculation of the five dimensional Einstein action for gravity with a cosmological constant using this metric yields the action for four dimensional Einstein gravity plus a minimally coupled scalar field $`\varphi `$ with potential $`Ve^{\sqrt{\frac{2\kappa }{3}}\varphi }=n^1`$.

The embedding in five dimensions yields a natural regularization of the singularity. Rewriting the line element as $`d\chi ^2+m^2(\chi )d\mathrm{\Omega }_3^2+n^2dy^2`$, we see that the five dimensional metric is actually perfectly regular when $`n`$ vanishes as long as $`dn/d\chi `$ tends to $`2\pi /L`$ there, since then the singularity is just the usual two dimensional polar coordinate singularity which may be removed by changing to Cartesian coordinates. We shall explore the consequences of applying this boundary condition in the general case.

Setting $`d\stackrel{~}{\sigma }=Nd\sigma `$, the four dimensional Euclidean Einstein-scalar field action is

$$𝒮_{\mathrm{Ein}}=S_3𝑑\stackrel{~}{\sigma }\left(\frac{1}{2}\dot{\varphi }^2b^3+V(\varphi )b^33M_{Pl}^2b(1b\ddot{b}\dot{b}^2)\right),$$
(22)
where $`S_3=2\pi ^2`$ is the volume of the unit three sphere and dots denote derivatives witrh respect to $`\stackrel{~}{\sigma }`$. The last term in the integrand is $`\frac{1}{2\kappa }R`$, with $`R`$ the Ricci scalar. We shall be interested in rewriting this term in various ways differing by surface terms. First we integrate by parts to remove the second derivatives to obtain the action appropriate to fixed values for the three–metric and scalar field on the boundary, as discussed by Dirac ,

$$𝒮_{\mathrm{Dir}}=S_3\left(\frac{1}{2}\dot{\varphi }^2b^3+V(\varphi )b^33M_{Pl}^2b(\dot{b}^2+1)\right)=𝒮_{\mathrm{Ein}}3M_{Pl}^2S_3\left[b^2\dot{b}\right].$$
(23)
The last term is the Gibbons–Hawking boundary term. Re-expressing this action in terms of the fields $`m`$, $`n`$, and the coordinate $`\chi `$, we find

$$𝒮_{\mathrm{Dir}}=S_3𝑑\chi m\left(V(n)n^2m^33M_{Pl}^2(m^2n+mm^{}n^{}+1)\right)=𝒮_{\mathrm{Ein}}\frac{3}{2}M_{Pl}^2\left[m^3n^{}\right].$$
(24)
where here a prime denotes a derivative with respect to $`\chi `$ and we have used the fact that $`n=0`$ on the boundary. This action is clearly stationary under variations satisfying $`\delta m=0`$ on the boundary.

If we instead we adopt the boundary condition suggested by Garriga’s construction, we fix $`n^{}=2\pi /L`$ at the boundary. The appropriate action is obtained from (24) by integration by parts,

$$𝒮_n^{}=S_3m\left(V(n)n^2m^3M_{Pl}^2(3m^2n+3m^3n^{\prime \prime })\right)=𝒮_{\mathrm{Ein}}\frac{1}{2}M_{Pl}^2\left[m^3n^{}\right],$$
(25)
and we see that the Gibbons–Hawking term has been reduced by a factor of three.

For simple monotonic scalar potentials, the action appropriate to the $`\delta n^{}=0`$ boundary condition is monotonically decreasing as $`\varphi _0`$ decreases towards the potential minimum. If the potential minimum is zero, the action for the constrained instantons tends to minus infinity. This is quite different to the behaviour of the action appropriate to the $`\delta m=0`$ boundary condition. The latter action has two solutions at fixed $`m_B`$ above some minimal value. As we showed above the lower action solution has no negative modes, giving us a picture of configuration space in which the lower action solutions comprise a stable valley running up towards $`\varphi _0\mathrm{}`$. In contrast, since for generic potentials there is a unique solution for each value of $`n^{}`$ at the singularity , and since we know that the Euclidean action is unbounded below, we might suspect that the action-configuration space structure takes the form of a single unstable ridge. We shall see that this picture is indeed correct.

We need to rewrite the condition that the five dimensional metric be regular in terms of our perturbation fields. To do so, we rewrite the four dimensional line element in terms of comoving coordinate $`X`$ as in the previous sections. Then we divide the last term in the five dimensional line element by the first and take the square root. We find the condition that as $`X`$ tends to zero, $`b_0^1(1+A)^1e^{\sqrt{\frac{\kappa }{6}}\varphi }(e^{\sqrt{\frac{2\kappa }{3}}\varphi })^{}`$ should tend to $`2\pi /L`$ where primes now refer to $`X`$ derivatives, $`b_0(X)`$ is the unperturbed scale factor and the scalar field now includes the infinitesimal perturbation $`\delta \varphi `$. It is convenient to pick a gauge where $`\delta \varphi =0`$, which is possible near the singularity. In this gauge, in order to preserve five dimensional regularity we must have $`A=0`$ at the singularity. Expressed in canonical variables, this condition becomes $`\mathrm{\Pi }_{\delta \varphi }/(a^2\varphi ^{})=0`$. In the path integral, the $`G_{00}`$ constraint is imposed as a delta functional and the condition on $`\mathrm{\Pi }_{\delta \varphi }`$ implies $`(\kappa \mathrm{\Pi }_\psi /\varphi ^{}+6𝒦\sqrt{\gamma }\psi /\varphi ^{})/(a^2\varphi ^{})=0`$, which from (15) and for the homogeneous mode becomes after Euclideanization $`\mathrm{\Psi }_l/\varphi ^2X^2\mathrm{\Psi }_l=0`$ at $`X=0`$.

Having established the boundary condition $`X^2\mathrm{\Psi }_l=0`$ appropriate to five dimensional regularity, we translate this into a boundary condition for the fluctuation variable $`\overline{Q}`$ appropriate to the negative mode computation. We find that $`X^2\mathrm{\Psi }_l\kappa X^2\varphi ^{}\overline{Q}^{}/2D(X)X^1\overline{Q}^{}`$. For the regularized instantons, the general solution for the mode equation for $`\overline{Q}`$ is specified by its expansion $`\overline{Q}AX^2+B`$ near $`X=0`$, and the boundary condition therefore reads $`A=0`$. It is easy to see that a negative mode always exists for this boundary condition. From Eq. (20) and taking the measure to be $`b^2\sqrt{\gamma }`$, if we set $`\overline{Q}=`$ constant, the action is negative. The ansatz clearly satisfies the boundary condition. Therefore there is at least one negative mode. From a numerical study, we find that for a simple quadratic potential, regularized at large $`\varphi `$ as above, there is in fact only one negative mode.

To summarise, the condition of five dimensional regularity may be imposed as a boundary condition. However, it does not eliminate the negative modes therefore leaving the Euclidean path integral as ill-defined at a fundamental level.

## IX Conclusions

In this paper we have given a detailed investigation of spatially homogeneous fluctuations of cosmological instantons. We showed how a Hamiltonian treatment, with an appropriate choice of variable, produces a Euclidean action which is bounded below for normalized fluctuations. First, we investigated Hawking-Moss and Coleman-De Luccia instantons, and showed that the lowest action solution in each case possess a negative mode. For the “thin-wall” Coleman-De Luccia case where the instantons “almost” interpolate between the true and false vacua, this supports their use in tunneling roles as discussed in . In that approach it is necessary that the potential may be obtained by analytically distorting one for which the action is positive definite for all configurations. In the “thick-wall” case, and certainly for Hawking-Moss instantons, where gravitational effects are important, it is not clear that this is possible. Thus even though we have found that these instantons do possess a single negative mode, the assertion that these instantons are useful for describing the decay of one spacetime to another requires further understanding.

Our investigation of singular instantons indicates the importance of a well defined regularization. In contrast to the situation for the inhomogeneous modes , the Euclidean action does not uniquely select a boundary condition for the homogeneous modes. It is therefore essential to choose a regularization within which the relevant boundary condition is defined. We have investigated two such frameworks. The first is the $`RP^4`$ construction of , according to which we find that instantons with large starting values $`\varphi _0`$ of the inflaton field have no negative modes to quadratic order. The second is the regularization motivated by Garriga’s five dimensional construction. Here we find that a negative mode is always present.

Since in all the cases studied here the instantons have perturbations which decrease their action, their use in an unconstrained path integral to determine the quantum state of the universe is questionable. In the case of the instantons describing tunnelling, a constraint is needed to set the system in an initial unstable state. The constraints introduced in the $`RP^4`$ construction remove negative modes perturbatively, but as we have argued, probably do not remove them nonperturbatively. It therefore seems essential that an additional constraint be introduced which effectively projects onto certain subsets of states, and excludes the configurations of arbitrarily negative Euclidean action. This might be justified if we are only interested in correlators of certain subsets of observables for example, as opposed to the unconstrained Euclidean partition function. How the appropriate projections are to be defined and introduced is an important topic for future work.

Acknowledgements

We wish to thank S. Hawking, K. Kirklin and T. Wiseman for useful discussions.

This work was supported by a PPARC (UK) rolling grant and a PPARC studentship.


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