Open Strings and D-Branes

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3.

Open Strings and D-Branes

In this section we discuss the dynamics of open strings. Clearly


their distinguishing feature is the existence of two end points.
Our goal is to understand the effect of these end points. The

spatial coordinate of the string is parameterized by

[0, ] .

The dynamics of a generic point on a string is governed by local


physics. This means that a generic point has no idea if it is part
of a closed string or an open string. The dynamics of an open Figure 12:
string must therefore still be described by the Polyakov action.
But this must now be supplemented by something else: boundary conditions to tell us
how the end points move. To see this, lets look at the Polyakov action in conformal
gauge

1
Z
S=
d2 X X .
4

As usual, we derive the equations of motion by finding the extrema of the action. This
involves an integration by parts. Lets consider the string evolving from some initial
configuration at = i to some final configuration at = f :
Z f Z
1
S = d d X X
2 i 0
1
Z
=
d2 ( X) X + total derivative
2

For an open string the total derivative picks up the boundary contributions
Z  =f Z f =
1 1
d X X d X X
2 0 =i 2 i =0

The first term is the kind that we always get when using the principle of least action.
The equations of motion are derived by requiring that X = 0 at = i and f and so
it vanishes. However, the second term is novel. In order for it too to vanish, we require

X X = 0 at = 0,

There are two different types of boundary conditions that we can impose to satisfy this:

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Neumann boundary conditions.
X = 0 at = 0, (3.1)
Because there is no restriction on X , this condition allows the end of the string
to move freely. To see the consequences of this, its useful to repeat what we
did for the closed string and work in static gauge with X 0 t = R , for some
dimensionful constant R. Then, as in equations (1.34), the constraints read
~x ~x = 0 and ~x 2 + ~x 2 = R2
But at the end points of the string, ~x = 0. So the second equation tells us that
|d~x/dt| = 1. Or, in other words, the end point of the string moves at the speed
of light.

Dirichlet boundary conditions


X = 0 at = 0, (3.2)
This means that the end points of the string lie at some constant position, X =
c , in space.
At first sight, Dirichlet boundary conditions may
Dirichlet
seem a little odd. Why on earth would the strings
be fixed at some point c ? What is special about
Neumann
that point? Historically people were pretty hung
up about this and Dirichlet boundary conditions Figure 13:
were rarely considered until the mid-1990s. Then
everything changed due to an insight of Polchinski...

Lets consider Dirichlet boundary conditions for some coordinates, and Neumann for
the others. This means that at both end points of the string, we have
X a = 0 for a = 0, . . . , p
X I = cI for I = p + 1, . . . , D 1 (3.3)
This fixes the end-points of the string to lie in a (p + 1)-dimensional hypersurface in
spacetime such that the SO(1, D 1) Lorentz group is broken to,
SO(1, D 1) SO(1, p) SO(D p 1) .
This hypersurface is called a D-brane or, when we want to specify its dimension, a
Dp-brane. Here D stands for Dirichlet, while p is the number of spatial dimensions
of the brane. So, in this language, a D0-brane is a particle; a D1-brane is itself a
string; a D2-brane a membrane and so on. The brane sits at specific positions cI in the
transverse space. But what is the interpretation of this hypersurface?

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It turns out that the D-brane hypersurface should be thought of as a new, dynamical
object in its own right. This is a conceptual leap that is far from obvious. Indeed, it
took decades for people to fully appreciate this fact. String theory is not just a theory
of strings: it also contains higher dimensional branes. In Section 7.5 we will see how
these D-branes develop a life of their own. Some comments:

Weve defined D-branes that are infinite in space. However, we could just as well
define finite D-branes by specifying closed surfaces on which the string can end.

There are many situations where we want to describe strings that have Neumann
boundary conditions in all directions, meaning that the string is free to move
throughout spacetime. Its best to understand this in terms of a space-filling
D-brane. No Dirichlet conditions means D-branes are everywhere!

The Dp-brane described above always has Neumann boundary conditions in the
X 0 direction. What would it mean to have Dirichlet conditions for X 0 ? Obviously
this is a little weird since the object is now localized at a fixed point in time. But
there is an interpretation of such an object: it is an instanton. This D-instanton
is usually referred to as a D(1)-brane. It is related to tunneling effects in the
quantum theory.

Mode Expansion
We take the usual mode expansion for the string, with X = XL ( + ) + XR ( ), and
r
X 1 in+
XL ( + ) = 12 x + p + + i e ,
2 n6=0 n n
r
X 1 in
XR ( ) = 12 x + p + i e . (3.4)
2 n6=0 n n

The boundary conditions impose relations on the modes of the string. They are easily
checked to be:
Neumann boundary conditions, X a = 0, at the end points require that
na = na (3.5)

Dirichlet boundary conditions, X I = cI , at the end points require that


xI = cI , pI = 0 , nI = nI

So for both boundary conditions, we only have one set of oscillators, say n . The n
are then determined by the boundary conditions.

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Its worth pointing out that there is a factor of 2 difference in the p term between
the open string (3.4) and the closed string (1.36). This is to ensure that p for the
open string retains the interpretation of the spacetime momentum of the string when
[0, ]. To see this, one needs to check the Noether current associated to translations
of X on the worldsheet: it was given in (2.33). The conserved charge is then

1
Z Z

P = d (P ) = d X = p
0 2 0

as advertised. Note that weve needed to use the Neumann conditions (3.5) to ensure
that the Fourier modes dont contribute to this integral.

3.1 Quantization
To quantize, we promote the fields xa and pa and n to operators. The other elements
in the mode expansion are fixed by the boundary conditions. An obvious, but impor-
tant, point is that the position and momentum degrees of freedom, xa and pa , have
a spacetime index that takes values a = 0, . . . p. This means that the spatial wave-
functions only depend on the coordinates of the brane not the whole spacetime. Said
another, quantizing an open string gives rise to states which are restricted to lie on the
brane.

To determine the spectrum, it is again simplest to work in lightcone gauge. The


spacetime lightcone coordinate is chosen to lie within the brane,
r
1
X = (X 0 X p )
2

Quantization now proceeds in the same manner as for the closed string until we arrive
at the mass formula for states which is a sum over the transverse modes of the string.
p1 D1
!
1 X X
i
X X
M2 = n ni + i
n ni a
i=1 n>0 i=p+1 n>0

The first sum is over modes parallel to the brane, the second over modes perpendicular
to the brane. Its worth commenting on the differences with the closed string formula.
Firstly, there is an overall factor of 4 difference. This can be traced to the lack of the
factor of 1/2 in front of p in the mode expansion that we discussed above. Secondly,
there is a sum only over modes. The modes are not independent because of the
boundary conditions.

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Open and Closed
In the mass formula, we have once again left the normal ordering constant a ambiguous.
As in the closed string case, requiring the Lorentz symmetry of the quantum theory
this time the reduced symmetry SO(1, p) SO(D p 1) forces us to choose

D = 26 and a = 1 .

These are the same values that we found for the closed string. This reflects an important
fact: the open string and closed string are not different theories. They are both different
states inside the same theory.

More precisely, theories of open strings necessar-


ily contain closed strings. This is because, once we
consider interactions, an open string can join to form
a closed string as shown in the figure. Well look at
interactions in Section 6. The question of whether Figure 14:
this works the other way meaning whether closed
string theories require open strings is a little more involved and is cleanest to state
in the context of the superstring. For type II superstrings, the open strings and D-
branes are necessary ingredients. For heterotic superstrings, there appear to be no
open strings and no D-branes. For the bosonic theory, it seems likely that the open
strings are a necessary ingredient although I dont know of a killer argument. But since
were not sure whether the theory exists due to the presence of the tachyon, the point
is probably moot. In the remainder of these lectures, well view the bosonic string in
the same manner as the type II string and assume that the theory includes both closed
strings and open strings with their associated D-branes.

3.1.1 The Ground State


The ground state is defined by

ni |0; pi = 0 n>0

The spatial index now runs over i = 1, . . . , p 1, p + 1, . . . , D 1. The ground state


has mass
1
M2 =

It is again tachyonic. Its mass is half that of the closed string tachyon. As we com-
mented above, this time the tachyon is confined to the brane. In contrast to the closed
string tachyon, the open string tachyon is now fairly well understood and its potential

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is of the form shown in the figure. The interpretation is that the V(T)
brane is unstable. It will decay, much like a resonance state in
field theory. It does this by dissolving into closed string modes.
The end point of this process corresponding to the minimum
at T > 0 in the figure is simply a state with no D-brane. The T

difference between the value of the potential at the minimum


and at T = 0 is the tension of the D-brane.

Notice that although there is a minimum of the potential at Figure 15:


T > 0, it is not a global minimum. The potential seems to drop
off without bound to the left. This is still not well understood. There are suggestions
that it is related in some way to the closed string tachyon.

3.1.2 First Excited States: A World of Light


The first excited states are massless. They fall into two classes:

Oscillators longitudinal to the brane,


a
1 |0; pi a = 1, . . . , p 1

The spacetime indices a lie within the brane so this state transforms under the
SO(1, p) Lorentz group. It is a spin 1 particle on the brane or, in other words, it
is a photon. We introduce a gauge field Aa with a = 0, . . . , p lying on the brane
whose quanta are identified with this photon.

Oscillators transverse to the brane,


I
1 |0; pi I = p + 1, . . . , D 1

These states are scalars under the SO(1, p) Lorentz group of the brane. They can
be thought of as arising from scalar fields I living on the brane. These scalars
have a nice interpretation: they are fluctuations of the brane in the transverse
directions. This is our first hint that the D-brane is a dynamical object. Note that
although the I are scalar fields under the SO(1, p) Lorentz group of the brane,
they do transform as a vector under the SO(D p 1) rotation group transverse
to the brane. This appears as a global symmetry on the brane worldvolume.

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3.1.3 Higher Excited States and Regge Trajectories
At level N, the mass of the string state is

1
M2 = (N 1)

The maximal spin of these states arises from
the symmetric tensor. It is

Jmax = N = M 2 + 1

Plotting the spin vs. the mass-squared, we find


straight lines. These are usually called Regge
trajectories. (Or sometimes Chew-Fraschuti tra-
Figure 16:
jectories). They are seen in Nature in both the
spectrum of mesons and baryons. Some examples involving -mesons are shown in the
figure. These stringy Regge trajectories suggest a naive cartoon picture of mesons as
two rotating quarks connected by a confining flux tube.

The value of the string tension required to match the hadron spectrum of QCD is
T 1 GeV. This relationship between the strong interaction and the open string was
one of the original motivations for the development of string theory and it is from here
that the parameter gets its (admittedly rarely used) name Regge slope. In these
enlightened modern times, the connection between the open string and quarks lives on
in the AdS/CFT correspondence.

3.1.4 Another Nod to the Superstring


Just as supersymmetry eliminates the closed string tachyon, so it removes the open
string tachyon. Open strings are an ingredient of the type II string theories. The
possible D-branes are

Type IIA string theory has stable Dp-branes with p even.

Type IIB string theory has stable Dp-branes with p odd.

The most important reason that D-branes are stable in the type II string theories is that
they are charged under the Ramond-Ramond fields. (This was actually Polchinskis
insight that made people take D-branes seriously). However, type II string theories
also contain unstable branes, with p odd in type IIA and p even in type IIB.

56
The fifth string theory (which was actually the first to be discovered) is called Type
I. Unlike the other string theories, it contains both open and closed strings moving
in flat ten-dimensional Lorentz-invariant spacetime. It can be thought of as the Type
IIB theory with a bunch of space-filling D9-branes, together with something called an
orientifold plane. You can read about this in Polchinski.

As we mentioned above, the heterotic string doesnt have (finite energy) D-branes.
This is due to an inconsistency in any attempt to reflect left-moving modes into right-
moving modes.

3.2 Brane Dynamics: The Dirac Action


We have introduced D-branes as fixed boundary conditions for the open string. How-
ever, weve already seen a hint that these objects are dynamical in their own right,
since the massless scalar excitations I have a natural interpretation as transverse fluc-
tuations of the brane. Indeed, if a theory includes both open strings and closed strings,
then the D-branes have to be dynamical because there can be no rigid objects in a
theory of gravity. The dynamical nature of D-branes will become clearer as the course
progresses.

But any dynamical object should have an action which describes how it moves.
Moreover, after our discussion in Section 1, we already know what this is! On grounds
of Lorentz invariance and reparameterization invariance alone, the action must be a
higher dimensional extension of the Nambu-Goto action. This is
Z p
SDp = Tp dp+1 det (3.6)

where Tp is the tension of the Dp-brane which we will determine later, while a , a =
0, . . . p, are the worldvolume coordinates of the brane. ab is the pull back of the
spacetime metric onto the worldvolume,

X X
ab = .
a b

This is called the Dirac action. It was first written down by Dirac for a membrane
some time before Nambu and Goto rediscovered it in the context of the string.

To make contact with the fields I , we can use the reparameterization invariance of
the Dirac action to go to static gauge. For an infinite, flat Dp-brane we can choose

X a = a a = 0, . . . , p .

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The dynamical transverse coordinates are then identified with the fluctuations I
through

X I () = 2 I () I = p + 1, . . . , D 1

However, the Dirac action cant be the whole story. It describes the transverse fluc-
tuations of the D-brane, but has nothing to say about the U(1) gauge field A which
lives on the D-brane. There must be some action which describes how this gauge field
moves as well. We will return to this in Section 7.

Whats Special About Strings?


We could try to quantize the Dirac action (3.6) for a D-brane in the same manner that
we quantized the action for the string. Is this possible? The answer, at present, is
no. There appear to be both technical and conceptual obstacles . The technical issue
is just that its hard. Weyl invariance was one of our chief weapons in attacking the
string, but it doesnt hold for higher dimensional objects.

The conceptual issue is that quantizing a membrane, or higher dimensional object,


would not give rise to a discrete spectrum of states which have the interpretation of
particles. In this way, they appear to be fundamentally different from the string.

Lets get some intuition for why this is the case.


The energy of a string is proportional to its length.
This ensures that strings behave more or less like fa-
miliar elastic bands. What about D2-branes? Now
the energy is proportional to the area. In the back Figure 17:
of your mind, you might be thinking of a rubber-like
sheet. But membranes, and higher dimensional objects, governed by the Dirac action
dont behave as household rubber sheets. They are more flexible. This is because a
membrane can form many different shapes with the same area. For example, a tubular
membrane of length L and radius 1/L has the same area for all values of L; short and
stubby, or long and thin. This means that long thin spikes can develop on a membrane
at no extra cost of energy. In particular, objects connected by long thin tubes have
the same energy, regardless of their separation. After quantization, this property gives
rise to a continuous spectrum of states. A quantum membrane, or higher dimensional
object, does not have the single particle interpretation that we saw for the string. The
expectation is that the quantum membrane should describe multi-particle states.

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3.3 Multiple Branes: A World of Glue
Consider two parallel Dp-branes. An open string now has
options. It could either end on the same brane, or stretch be-
tween the two branes. Lets consider the string that stretches
between the two. It obeys
X I (0, ) = cI and X I (, ) = dI
where cI and dI are the positions of the two branes. In terms of
the mode expansion, this requires
Figure 18:
I I
(d c )
X I = cI + + oscillator modes

The classical constraints then read
|d~ ~c|2
+ X + X = 2 p2 + + oscillator modes = 0
4 2
which means the classical mass-shell condition is
|d~ ~c|2
M2 = + oscillator modes
(2)2
The extra term has an obvious interpretation: it is the mass of a classical string
stretched between the two branes. The quantization of this string proceeds as be-
fore. After we include the normal ordering constant, the ground state of this string is
only tachyonic if |d~ ~c|2 < 4 2 . Or in other words, the ground state is tachyonic if
the branes approach to a sub-stringy distance.
There is an obvious generalization of this to the case of N parallel branes. Each end
point of the string has N possible places on which to end. We can label each end point
with a number m, n = 1, . . . , N which tell us which brane it ends on. This label is
sometimes referred to as a Chan-Paton factor.

Consider now the situation where all branes lie at the same position in spacetime.
Each end point can lie on one of N different branes, giving N 2 possibilities in total.
Each of these strings has the mass spectrum of an open string, meaning that there are
now N 2 different particles of each type. Its natural to arrange the associated fields to
sit inside N N Hermitian matrices. We then have the open string tachyon T mn and
the massless fields
(I )mn , (Aa )mn (3.7)
Here the components of the matrix tell us which string the field came from. Diagonal
components arise from strings which have both ends on the same brane.

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The gauge field Aa is particularly interesting. Written in this way, it looks like a
U(N) gauge connection. We will later see that this is indeed the case. One can show
that as N branes coincide, the U(1)N gauge symmetry of the branes is enhanced to
U(N). The scalar fields I transform in the adjoint of this symmetry.

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