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Mass Gap of Lattice Yang–Mills Theory up to the Dobrushin Ceiling

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Abstract

We prove that the Hessian of the Wilson action on dd-dimensional lattice gauge fields is bounded by 4d4d, sharply, so lattice \SU(N) Yang–Mills theory has a unique infinite-volume state with a positive mass gap for ∣β∣<1/(8d)|\beta|<1/(8d). Every von Mises–Fisher law on the three-sphere moves by at most a quarter of its parameter in Kantorovich distance; consequently four-dimensional \SU(2) theory has a mass gap for βW<2/9\beta_W<2/9, the ceiling of all single-link Dobrushin arguments. A gauge-invariant finite-box criterion for decay and the area law is also given. The continuum mass gap remains open.

Introduction

Wilson’s lattice gauge theory [107]1 is where every attempt to construct four-dimensional Yang–Mills theory begins. Its configurations are assignments of a group element QeQ_e of a compact group GG to each link ee of a lattice, its weight is exp⁡(Nβ∑pRe⁡Tr⁡Qp)\exp\left(N\beta\sum_p\operatorname{Re}\operatorname{Tr}Q_p\right), a sum over elementary squares (plaquettes), and the inverse coupling β\beta is the only parameter.2 When β\beta is small the theory is understood: the cluster expansion of Osterwalder and Seiler [91, 97] produces a positive gap in the spectrum of the transfer matrix and exponential decay of correlations. Shen, Zhu and Zhu [100] found a second route, through the geometry of the configuration space: they verified the Bakry–Émery criterion [2, 3] on the product manifold GEG^{E} and obtained log-Sobolev inequalities uniform in the volume, uniqueness of the infinite-volume limit and decay of correlations. The strength of that route is set by one number, the constant in the bound

∣Hess⁡S0(v,v)∣≤8(d−1)∣v∣2(1)\lvert\operatorname{Hess} S_0(v,v) \rvert\le8(d-1)\lvert v\rvert^2 \tag*{(1)}

for the Hessian of the Wilson action S0=∑pRe⁡Tr⁡QpS_0 = \sum_p \operatorname{Re}\operatorname{Tr}Q_p in dd dimensions. The same constant reappears in later work on Langevin dynamics, on the area law and on the Yang–Mills–Higgs model [27, 87, 99].

This paper has three aims. The first is to find the best constant in (1). The second is to carry that constant, and a sharper analysis of the single-link law of SU(2), through to uniqueness and to a positive lattice mass gap. The third is structural: a criterion, checkable in one finite box, that produces decay at all scales for gauge fields, and an honest account of what still separates all of this from the continuum mass gap.

The Hessian

The bound (1) is obtained plaquette by plaquette. The cross terms between the four links of one plaquette, however, are not independent across the lattice: summed over all plaquettes they reassemble into the square of a covariant divergence, which has a sign. Keeping that square gives the sharp constant.

Theorem A (Sharp Hessian bound). Let d≥2d \ge2, and let GG be one of the groups SU(NN), SO(NN) or U(NN). For every gauge field QQ on Zd\mathbb{Z}^d or on a torus and every square-summable tangent vector v=(XeQe)ev=(X_eQ_e)_e

±Hess⁡S0(v,v)+∑x∣DxX∣2≤4d∣v∣2,\pm\operatorname{Hess} S_0(v,v)+\sum_x |D_xX|^2 \le4d|v|^2,

where DxXD_xX is the covariant divergence (6). In particular ∣Hess⁡S0(v,v)∣≤4d∣v∣2|\operatorname{Hess} S_0(v,v)| \le4d|v|^2, and for every N≥2N \ge2 and d≥2d \ge2 the constant 4d4d is attained with both signs.

For d=2d=2 the two constants coincide; for d=3d=3 and d=4d=4 they are 12 against 16 and 16 against 24.3 The two extremal fields are drawn in Figure 3.

Two fields on a $3 \times 3 \times 3$ block

Figure 3. The two fields at which ±Hess⁡S0=4d\pm\operatorname{Hess} S_0=4d. Left: the identity field with the checkerboard tangent vector Xx,μ=(−1)∣x∣εμTX_{x,\mu}=(-1)^{|x|}\varepsilon_\mu T, ∑μεμ=0\sum_\mu\varepsilon_\mu=0, drawn on a 3×3×33\times3\times3 block (arrows of alternating orientation, lengths proportional to εμ\varepsilon_\mu). Right: the frustrated field Qx,μ=z∑λ<μxλQ_{x,\mu}=z^{\sum_{\lambda<\mu}x_\lambda} with z=diag⁡(−1,−1,1,…)z=\operatorname{diag}(-1,-1,1,\ldots); red links carry zz, and every plaquette has holonomy zz (two faces of the block are shaded).

Strong coupling

The Ricci curvature of SU(NN) in the metric of § 1.1 is N/2N/2, and that of SO(NN) is (N−2)/4(N-2)/4. Subtracting the Hessian bound gives the Bakry–Émery constant directly.

Theorem B (Curvature regime). Let G=SU(N)G=\mathrm{SU}(N) and ∣β∣<1/(8d)|\beta|<1/(8d), or G=SO(N)G=\mathrm{SO}(N) with N≥3N\ge3 and ∣β∣<(N−2)/(16dN)|\beta|<(N-2)/(16dN). The finite-volume Wilson measures satisfy the Bakry–Émery condition with a constant K>0K>0 that depends neither on the volume, nor on the boundary condition, nor on the configuration. They satisfy log-Sobolev and Poincaré inequalities uniform in the volume, and every infinite-volume limit has exponentially decaying correlations of local functions.

Theorem C (The limit of the curvature method). For G=SU(N)G=\mathrm{SU}(N) on every torus of even side,

inf⁡Qλmin⁡(Ric⁡−NβHess⁡S0(Q))=N2−4dN∣β∣.\inf_Q \lambda_{\min}\left(\operatorname{Ric}-N\beta\operatorname{Hess}S_0(Q)\right)=\frac{N}{2}-4dN|\beta|.

No Bakry–Émery argument with a lower bound uniform over configurations, in the bi-invariant metric, reaches beyond ∣β∣=1/(8d)|\beta|=1/(8d).

The curvature bound also controls a coupling of two Langevin dynamics. Shen, Zhu and Zhu built such a coupling and needed a second, separate estimate to make it contract in a weighted metric; that estimate cost a factor of two in the range of β\beta. Applying Theorem A to the whole weighted sum, rather than link by link, removes the loss.

Theorem D (Uniqueness on the whole curvature range). Under the hypotheses of Theorem B the Langevin dynamics of the Wilson measure on Zd\mathbb{Z}^d has exactly one invariant probability measure μ\mu. The Wilson measures on the periodic tori (Z/LZ)d(\mathbb{Z}/L\mathbb{Z})^d converge to μ\mu as L→∞L\to\infty, and every initial law converges to μ\mu exponentially fast in a weighted Wasserstein distance.

SU(2) beyond the curvature range

For SU(2) the conditional law of one link given all the others is a von Mises–Fisher law on the three-sphere, and its moments are explicit. A Dobrushin argument in the chordal metric then goes past the curvature range.

Theorem E (Uniqueness for SU(2)). Let G=SU(2)G=\mathrm{SU}(2) and ∣β∣<1/(6(d−1))|\beta|<1/(6(d-1)). The Wilson theory on Zd\mathbb{Z}^d has exactly one infinite-volume Gibbs measure, and its truncated correlations of local Lipschitz functions decay exponentially with every rate λ<−log⁡(6(d−1)∣β∣)\lambda<-\log(6(d-1)|\beta|). At d=4d=4 the range is βW<2/9\beta_{\mathrm W}<2/9. No single-link Wasserstein–Dobrushin argument, in the chordal or the geodesic metric, reaches beyond this range.

Here βW=N2β\beta_{\mathrm W}=N^2\beta is the Wilson coupling of the physics literature.4 The range is the largest that a single-link argument can give, and it is reached because of a sharp inequality on the three-sphere, Theorem 7: under every von Mises–Fisher law νb\nu_b, the covariance of a chordally 1-Lipschitz function with a coordinate is at most 1/41/4, so that W1(νb,νb′)≤14∣b−b′∣W_1(\nu_b,\nu_{b'})\le\frac14|b-b'|. The constant 1/41/4 is attained at b=0b=0 and fails in the geodesic metric. The proof extends a Lipschitz function from the sphere to the ball it bounds and integrates by parts against a harmonic function; the resulting negative Sobolev norm is a series in modified Bessel functions, and the inequality becomes the positivity of the Taylor coefficients of one entire function.

A lattice mass gap

Reflection positivity turns decay of correlations in the time direction into a gap in the spectrum of the transfer matrix.

Theorem F (Lattice mass gap). *In the range of Theorem B, and for SU(2) in the range of Theorem E, the infinite-volume state is reflection positive and its transfer matrix TT has a spectral gap: the spectrum of TT on the orthogonal complement of the

vacuum lies in [0,e−m][0,e^{-m}] with m>0m>0. For SU(2) one may take m=−log⁡(6(d−1)∣β∣)m=-\log(6(d-1)|\beta|), which at d=4d=4 reads m=−log⁡(92βW)m=-\log(\frac{9}{2}\beta_{\mathrm W}) and is positive for βW<2/9\beta_{\mathrm W}<2/9.

This is a gap in lattice units at fixed lattice spacing. It is not the mass gap of the continuum theory: our earlier paper [16] shows that no inequality of this kind, uniform in the spacing and stated in lattice units, can produce the continuum gap, because the physical gap in lattice units must vanish like the spacing.

A finite-box criterion

For spin systems, Dobrushin and Shlosman showed that a single finite computation implies uniqueness and decay at all scales [43].5 Gauge fields need three changes: boundary data are holonomies, gauge-equivalent boundary conditions must be identified, and disagreement is measured after an interior gauge alignment. With these changes:

Theorem G (Gauge-invariant finite-box criterion). For every compact group GG and every finite-range gauge-invariant interaction, the finite-box inequality of Definition 16 implies uniqueness of the infinite-volume Gibbs measure, exponential decay of all truncated correlations, and the same decay on every large torus, uniformly in its size and in every ’t Hooft twist sector. Its box-hereditary form implies Wilson’s area law.

Two-dimensional SU(2) theory meets the criterion at every coupling (Proposition 21). Four-dimensional U(1) theory at weak coupling cannot meet it, because that theory is massless [57, 65]; a criterion that did not fail there would be wrong.

What is proved and what is not

Figure 1 places the thresholds on one axis, and Table 1 in Sec. VIII lists the gaps between this paper and the continuum mass gap, with the status of each. Everything stated as a theorem, proposition or lemma is proved here, by hand, without conditions. The mass gap of the continuum four-dimensional theory is not proved here, at intermediate lattice coupling or in the continuum. What is missing is stated precisely as Problem 27.

Thresholds for four-dimensional SU(2) in the Wilson coupling

Figure 1. Thresholds for four-dimensional SU(2) in the Wilson coupling βW\beta_W, on a logarithmic scale. Blue: Theorems B and D (curvature, βW<1/8\beta_W < 1/8) and Theorem E (chordal Dobrushin, βW<2/9\beta_W < 2/9). Grey: the curvature bound 1/121/12 that follows from (1), and the range βW<1/(33)≈0.1925\beta_W < 1/(3\sqrt{3}) \approx0.1925 that the Poincaré constant of Lemma 4 gives without Theorem 7. Red: the ceiling 2/92/9 of all single-link Wasserstein–Dobrushin arguments (Proposition 13), which Theorem E reaches. Orange: the region where Monte Carlo simulations place the crossover to weak coupling, which plays no role in any proof.

GapStatusWhere, and what remains
Best constant in the Hessian boundClosedTheorem A: 4d4d, attained with both signs
Uniqueness on the whole curvature rangeClosedTheorem D: removes the factor 2 of [100], ∣β∣<1/(8d)|\beta| < 1/(8d)
Limit of curvature methodsClosedTheorem C: no uniform Bakry–Émery bound beyond 1/(8d)1/(8d)
SU(2) beyond the curvature rangeClosedTheorem E: βW<2/9\beta_{\mathrm W} < 2/9, by the sharp quarter, Theorem 7
Limit of single-link methodsClosedProposition 13: βW=2/9\beta_{\mathrm W} = 2/9
Lattice mass gap at strong couplingClosedTheorem F: m≥−log⁡(2βW)m \ge-\log(2\beta_{\mathrm W}) for SU(2)
Finite-box criterion, twists, area lawClosedTheorem G, Proposition 18
Two dimensions at every couplingClosedProposition 21
Intermediate fixed coupling, 2/9≤βW≲2.22/9 \le\beta_{\mathrm W} \lesssim2.2OpenNo proof of uniqueness or of a gap; Monte Carlo evidence only [37, 75, 86] [76]
Crossover to Bałaban’s regimeOpenProblem 27
Continuum limit with the axiomsOpenBałaban controls partition functions, not Schwinger functions [12]
Gap in physical unitsOpenEquivalent on the lattice to a gap mama, which no spacing-uniform estimate gives [16]

Table 1. The gaps on the lattice route to the mass gap of four-dimensional SU(NN) Yang–Mills theory, and their status after this paper. “Closed” means proved here, by hand and without conditions.

Setting

Let G∈{SU(N),SO(N),U(N)}G\in\{\mathrm{SU}(N),\mathrm{SO}(N),\mathrm{U}(N)\} with Lie algebra g\mathfrak{g}. We use the inner product ⟨X,Y⟩=−Tr⁡(XY)=Re⁡Tr⁡(X∗Y)\langle X,Y\rangle=-\operatorname{Tr}(XY)=\operatorname{Re}\operatorname{Tr}(X^{*}Y) on g\mathfrak{g} and the bi-invariant metric it induces on GG. In this metric

Ric⁡SU(N)=N2,Ric⁡SO(N)=N−24.(2)\operatorname{Ric}_{\mathrm{SU}(N)}=\frac{N}{2},\qquad\operatorname{Ric}_{\mathrm{SO}(N)}=\frac{N-2}{4}. \tag*{(2)}

Indeed Ric⁡(X,X)=−14B(X,X)\operatorname{Ric}(X,X)=-\frac{1}{4}B(X,X) for the Killing form BB of a compact group with a bi-invariant metric [84],6 and B(X,X)=2NTr⁡X2B(X,X)=2N\operatorname{Tr}X^2 on su(N)\mathfrak{su}(N), B(X,X)=(N−2)Tr⁡X2B(X,X)=(N-2)\operatorname{Tr}X^2 on so(N)\mathfrak{so}(N).7 With this metric SU(2) is the round three-sphere of radius 2\sqrt{2}; its Hopf fibration by great circles, and the Villarceau circles that link them, are described in [19].

Let Λ⊂Zd\Lambda\subset\mathbb{Z}^d be a finite box or a torus, EE its set of positively oriented links and PP its set of plaquettes. The plaquette pp with base point xx in the plane of the directions μ<ν\mu<\nu has the links

e1=(x,μ),e2=(x+μ^,ν),e3=(x+ν^,μ),e4=(x,ν),e_1=(x,\mu),\qquad e_2=(x+\hat{\mu},\nu),\qquad e_3=(x+\hat{\nu},\mu),\qquad e_4=(x,\nu),

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