We revisit the issue of whether the effective potential for the conformal factor of the metric, which is generated by quantized matter fields, possesses a non-vanishing vacuum expectation value (VEV) or not. We prove that the effective potential has a vanishing vacuum expectation value on the basis of a global GL(4) symmetry. We also account for why there seems to be two different effective potentials for the conformal factor in a theory, one of which gives rise to a vanishing VEV for the conformal factor, whereas the other has a non-vanishing VEV.
Ichiro Oda. The effective potential for conformal factor and GL(4) symmetry[J]. Communications in Theoretical Physics, 2025, 77(1): 015202. DOI: 10.1088/1572-9494/ad7832
1. Introduction
There have thus far been a lot of studies on conformal factor or the conformal mode of the metric tensor field. The conformal factor is in essence a ghost mode in quantum field theory, which leads to negative energy at classical level and violates the unitarity at quantum level. Thus, understanding the conformal factor might give us some clues for problems associated with ghost fields such as the massive ghost in higher-derivative gravities.
The study of the conformal factor has been done mainly for three physical reasons. The first reason is that in the Euclidean approach of general relativity, the Einstein–Hilbert action is unbounded from below because of the conformal factor. The pragmatic approach for this issue is that the integration over the conformal factor is rotated in the complex plane so as to make the integral formally convergent [1].
The second reason comes from the well-known cosmological constant problem [2]. For instance, starting with a theory with a metric gμν and a scalar field φ, one can always construct a new gravitational theory with a new metric ${\tilde{g}}_{\mu \nu }$ and a new scalar field $\tilde{\phi }$ by performing a Weyl transformation ${\tilde{g}}_{\mu \nu }={\rho }^{2}{g}_{\mu \nu }$ and $\tilde{\phi }={\rho }^{-1}\phi $ where ρ is nothing but the conformal factor. It can be conjectured that some dynamical mechanism might give us an appropriate vacuum expectation value for the conformal factor in such a way that the cosmological constant is adjusted to be almost zero [3–8].
The final reason is related to the problem of the degenerate metric [9–12]. This problem is one of motivations behind the present work, so let us explain it in more detail. In classical gravitational theories, the metric, or equivalently the vierbein, is usually postulated to be non-degenerate in order to guarantee the existence of its inverse metric or inverse vierbein. On the other hand, in quantum gravity, the degenerate metric is expected to arise since the change of the space-time topology occurs through such a degenerate metric [13, 14].
It might then be useful to calculate the effective potential for the conformal factor of the metric since the non-vanishing vacuum expectation value of the conformal factor means that we have a non-degenerate metric at low energies even if there is a degenerate metric at high energies. Actually, this calculation has been performed so far in [9–12], but there seems to be some confusion, in particular, when we start with a classical matter action in a curved background and calculate the one-loop effective potential for the conformal factor from quantized matter fields, we arrive at two different effective potentials. The origin of the two different effective potentials lies in the fact that we have two different background metrics in the cutoff regularization. In this article, we would like to clarify which effective potential is correct if we would like to understand the problem of the degenerate metric.
The outline of this article is as follows: in the next section we review calculations of the effective potential for the conformal factor of the metric from a quantized scalar field. In section 3, we carry out similar calculations in case of a quantized spinor field. In section 4, on the basis of global GL(4) symmetry, we prove that the effective potential for the conformal factor must take the form of ${V}_{\mathrm{eff}}(g,\varphi )\,=\sqrt{-g}V(\varphi )$. The final section is devoted to a conclusion.
2. Bosonic scalar fields
We begin by reviewing calculations of the effective potential for the conformal factor of the metric from both quantized scalar and spinor fields. First, let us start with an action of a massive real scalar field in a curved background1
1 We follow the notation and conventions for the signature of the metric and the definition of the Riemannian tensors adopted in the MTW textbook [15].
with the Planck mass squared being defined by ${M}_{{Pl}}^{2}=\tfrac{1}{8\pi {G}_{N}}$ where GN is the Newton's constant. Then, with gμν = ρ2ημν this effective action gives rise to the effective potential for the constant conformal factor ρ:
where the effective potential Veff is defined via Γ(gμν) = − ∫d4xVeff. This is the stardard and well-known result, which was obtained in the induced gravity [16].
On the other hand, there is a different calculation of the effective potential for the conformal factor, which will be described in what follows. Provided that we define a conformal factor ρ(x) by
where the ellipses denote terms including the derivatives of ρ. These terms are irrelevant to our later argument since we consider only constant ρ. The latter definition in (5), i.e. $\varphi =\rho {\left(x\right)}^{-1}\bar{\varphi }$ is needed to make the kinetic term for the scalar field be in the canonical form. Also note that the two actions (1) and (6) are equivalent at least classically.
Based on the action (6), let us evaluate a one-loop effective potential for a constant conformal factor ρ in a flat Minkowski background ${\bar{g}}_{\mu \nu }={\eta }_{\mu \nu }$. The partition function is defined as2
2 In this calculation, we have a Jacobian factor of form ρδ4(0) which is set to be zero by using the dimensional regularization procedure.
where we have performed the Wick rotation p0 = ip4 and defined ${p}_{E}^{2}={p}_{1}^{2}+{p}_{2}^{2}+{p}_{3}^{2}+{p}_{4}^{2}$. By using the mathematical formula
where the constant terms and the terms including ${ \mathcal O }(\tfrac{1}{{{\rm{\Lambda }}}^{2}})$ are subtracted. Adding suitable counterterms of the form Λ2ρ2 and ${\rho }^{4}\mathrm{log}{\rm{\Lambda }}$, one can obtain the renormalized one-loop effective potential for the conformal factor
where μ is a renormalization mass [10]. From this effective potential, we can see that the minimum of the renormalized one-loop effective potential (12) occurs for a nonzero ρ, thereby implying that the metric or the vierbein is non-degenerate and the inverse metric gμν or vierbein ${e}_{a}^{\mu }$ exists.
Here an important remark is in order. In deriving the effective potential (12), by means of the metric ${\bar{g}}^{\mu \nu }$, we have adopted a momentum cutoff, ${\bar{g}}^{\mu \nu }{p}_{E\mu }{p}_{E\nu }={\delta }^{\mu \nu }{p}_{E\mu }{p}_{E\nu }\lt {{\rm{\Lambda }}}^{2}$. On the other hand, if we use a different momentum cutoff by using the metric gμν, i.e. gμνpEμpEν = ρ−2δμνpEμpEν < Λ2, a similar calculation provides us with a different one-loop effective potential
It is worthwhile to stress that it is not the effective potential (12) but (13) that coincides with equation (4), which is the standard and well-known result.
To understand the difference between the two effective potentials, let us notice that the actions (1) and (6) are invariant under a fake Weyl transformation
since both gμν and φ are trivially invariant under (14). However, we easily find that the former cutoff regularization breaks this fake symmetry while the latter cutoff regularization preserves it.
Normally, without anomalies an effective action should possess the same contents of symmetries as its classical action even if the symmetry is a fake symmetry, as in (14).3
3 We think that the fake Weyl transformation (14) is free from conformal anomaly as in the Weyl invariant scalar-tensor gravity, which was extensively discussed in [17].
In fact, we can verify that the effective action corresponding to the effective potential (13) is invariant under the fake Weyl transformation (14). This can be exhibited by rewriting the conformal factor ρ4 as $\sqrt{-g}$:
where $\sqrt{-g}={\rho }^{4}$ was used. This effective action is certainly invariant under the fake Weyl transformation (14) as well as the general coordinate transformation since it is expressed in terms of the metric gμν, which is trivially invariant under the fake Weyl transformation (14).
On the other hand, an effective action corresponding to the effective potential (12) is not invariant under the fake Weyl transformation (14). Of course, we can rewrite the effective action as an expression which is invariant under the fake Weyl transformation (14), but then the general coordinate symmetry is violated since
where the presence of the factor ${(-g)}^{\tfrac{1}{4}}$ breaks the general coordinate symmetry.
In this sense, we can regard not ${V}_{\mathrm{eff}}^{(B)}$ but ${\tilde{V}}_{\mathrm{eff}}^{(B)}$ as a physically plausible effective potential for the classical theory defined by the action (1). To put it differently, the effective potential ${V}_{\mathrm{eff}}^{(B)}$ defines a quantum theory which is different from the classical theory (1) in the sense that ρ no longer has the meaning of the conformal factor, but a mere scalar field, which might be called dilaton since it is created from symmetry breaking of the fake Weyl symmetry. This observation will be verified from a proof mentioned in section 4.
3. Fermionic spinor fields
Before doing so, for the sake of completeness and recent works [11, 12], let us consider the case of a massive Dirac spinor in a curved background. We will find the similar problem, i.e. the existence of two different effective potentials depending on the regularization procedure. The action of the massive Dirac spinor is given in a curved background:
where we have used Clifford algebra, {γa, γb} = − 2ηab. This effective potential has the same form as that of the scalar field, so we can arrive at the renormalized one-loop effective potential for the conformal factor
In the above derivation, we have used the cutoff regularization given by ${\bar{g}}^{\mu \nu }{p}_{E\mu }{p}_{E\nu }={\delta }^{\mu \nu }{p}_{E\mu }{p}_{E\nu }\lt {{\rm{\Lambda }}}^{2}$.
As in the scalar field, if we use a different momentum cutoff by using the metric gμν, i.e., gμνpEμpEν =ρ−2δμνpEμpEν < Λ2, we can obtain the one-loop effective potential
In this case as well, the physically plausible effective potential is given by ${\tilde{V}}_{\mathrm{eff}}^{(F)}$, but not ${V}_{\mathrm{eff}}^{(F)}$.
As a final comment, it is straightforward to calculate the effective potential for the conformal factor where matter fields are taken to be the abelian electromagnetic field or the nonabelian Yang–Mills field. However, these fields are invariant under the Weyl transformation, or equivalently a local scale transformation, so we have no effective potential for the conformal factor. This situation remains unchanged even if there is a conformal anomaly since the conformal anomaly is expressed in terms of the Riemannian tensors.
4. Effective potential from GL(4) symmetry
In the previous two sections, we have reached a somewhat strange conclusion: although we started with two theories which are classically equivalent to each other, we have two different quantum theories irrespective of any anomalies. The source of this strange conclusion is obvious: the metric field plays a dual role, one of which is a dynamical variable and the other is a geometrical object. The geometrical role enters in a theory in defining the momentum squared. Actually, with the presence of a real scalar field φ, there is an ambiguity in the choice of the metric, that is, the original metric gμν or a generalized metric where the metric gμν is multiplied by some function of a scalar field, that is, f(φ)gμν. In the previous examples, the choice of the original metric gμν produces an effective potential which is quartic in the conformal factor whereas that of the modified metric ${\bar{g}}_{\mu \nu }={\rho }^{-2}{g}_{\mu \nu }$ leads to a Coleman–Weinberg-like effective potential.
In section 2, we insisted that the physically plausible effective potential must take the form Veff = Cρ4 with a certain constant C if we would like to regard ρ as the conformal factor of the metric. To support our opinion, in this section, we will prove that the effective potential for the conformal factor of the metric in the presence of a scalar field φ necessarily takes the form of $\sqrt{-g}V(\varphi )$ on the basis of global GL(4) symmetry.4
4 T Kugo has already presented an alternative proof which utilizes the change of momentum variables from a curved space-time to a flat Minkowski space-time in an effective potential [18].
For this aim, we assume that the vacuum is translationally invariant, by which all fields are constants in space-time. For such constant fields, the general coordinate transformation is reduced to a global GL(4) transformation
where Mμν is a constant 4 × 4 matrix obeying $\det M\ne 0$. Under the GL(4) transformation, the constant fields and the Lagrangian density transform as
Here, note that the scalar field φ is invariant under the GL(4) transformation.
With the infinitesimal GL(4) transformation, ${M}^{\mu }{\,}_{\nu }\,={\delta }_{\nu }^{\mu }+\delta {M}^{\mu }{\,}_{\nu }$ with ∣δMμν∣ ≪ 1, the constant fields and the Lagrangian density transform as
where $\mathrm{tr}\delta M\equiv {g}^{\mu \nu }\delta {M}_{\mu \nu }$. Note that the last transformation implies that the Lagrangian density indeed transforms as a density under the GL(4) transformation.
Given the constant fields, under the infinitesimal GL(4) transformation, the Lagrangian density transforms as
$\begin{eqnarray}\delta { \mathcal L }=\mathrm{tr}\delta M\cdot { \mathcal L }=\displaystyle \frac{\partial { \mathcal L }}{\partial {g}_{\mu \nu }}(\delta {M}_{\mu \nu }+\delta {M}_{\nu \mu }),\end{eqnarray}$
where we have used δφ = 0 in equation (26). Then, this equation is simply solved to be
$\begin{eqnarray}{ \mathcal L }=-\sqrt{-g}V(\varphi ),\end{eqnarray}$
where V(φ) is a function depending on only the scalar field φ. This proof does not rely on perturbation theory so the result holds even in the non-perturbative regime.5
5 A similar argument based on a global GL(4) symmetry was used in proving what we call the Weinberg no-go theorem of the cosmological constant [2, 19–21].
Now let us apply this result to the present situation where the scalar field φ corresponds to the conformal factor ρ. Let us recall that in the effective potential ρ is treated as a constant. With gμν = ρ4ημν, equation (28) leads to
where we have defined the ‘effective potential', ${V}_{\mathrm{eff}}(\rho ,\varphi )\,=-{ \mathcal L }$. If V(φ) is positive definite, ρ = 0 is only the minimum of the effective potential, thereby meaning that the metric is degenerate at low energies and the inverse metric does not exist, i.e. 〈gμν〉 = 0. It is worthwhile to note that the effective potential never takes the form of
where a, b are constants depending on the constant ρ.
Then, a natural question arises of whether the quantum effects of matter and gravitational fields do not always drive the vacuum expectation value of the metric to be non-degenerate. To answer this question, let us note that the key ingredient in our derivation of equation (28) is the presence of a global GL(4) symmetry for constant fields. It is known that in the theory of quantum gravity, GL(4) symmetry is spontaneously broken to the Lorentz symmetry, and consequently the exact massless graviton emerges as a Nambu–Goldstone particle associated with this spontaneous symmetry breakdown [22]. In fact, if ${M}_{\nu }^{\mu }$ belongs to a generator of the Lorentz group SO(1, 3), we have
since δMμν is an antisymmetric matrix in the case of the Lorentz group. In such a broken phase of the GL(4) symmetry, our derivation based on the GL(4) symmetry does not make sense so there could be a possibility that a nontrivial effective potential appears, which drives the vacuum expectation value of the metric or vierbein to be non-degenerate.
5. Conclusion
In this article, we have studied the issue of the effective potential of the conformal factor of the metric generated by quantized matter fields. It has been known that there are two kinds of the effective potentials, one of which produces a non-vanishing vacuum expectation value (VEV) of the conformal factor and the other does not exhibit such a feature, that is, a vanishing VEV. If the former effective potential were true, we could show that we have a non-degenerate metric at low energies even if there is a degenerate metric, which is required for the change of the space-time topology at high energies.
Based on a global GL(4) symmetry, which exists in the formulation of effective potentials, we have proven that the effective potential for the conformal factor always takes the form of Veff (ρ, φ) = ρ4V(φ), but not ${V}_{\mathrm{eff}}(\rho ,\varphi )={\rho }^{4}(a\mathrm{log}\rho +b)$. This proof clearly implies that we cannot show the existence of the non-degenerate metric at low energies from quantum effects associated with matter fields. Moreover, our proof suggests that we might be able to show the existence of the non-degenerate metric in a quantum gravity where the global GL(4) symmetry is spontaneously broken to the Lorentz symmetry.
We are grateful to T. Kugo for the valuable discussions. This work is supported in part by the JSPS Kakenhi under Grant No. 21K03539.