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CALT-68-2293
CITUSC/00-045
hep-ex/0008017
Introduction to Superstring Theory
John H. Schwarz
1
California Institute of Technology
Pasadena, CA 91125, USA
Abstract
These four lectures, addressed to an audience of graduate students in experi-
mental high energy physics, survey some of the basic concepts in string theory.
The purpose is to convey a general sense of what string theory is and what it
has achieved. Since the characteristic scale of string theory is expected to be
close to the Planck scale, the structure of strings probably cannot be probed di-
rectly in accelerator experiments. The most accessible experimental implication
of superstring theory is supersymmetry at or below the TeV scale.
Lectures presented at the NATO Advanced Study Institute
on Techniques and Concepts of High Energy Physics
St. Croix, Virgin Islands — June 2000
1
Work supported in part by the U.S. Dept. of Energy under Grant No. DE-FG03-92-ER40701.
Contents
1 Lecture 1: Overview and Motivation 3
1.1 Supersymmetry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.2 Basic Ideas of String Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.3 A Brief History of String Theory . . . . . . . . . . . . . . . . . . . . . . . . 6
1.4 Compactification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.5 Perturbation Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.6 The Second Superstring Revolution . . . . . . . . . . . . . . . . . . . . . . . 8
1.7 The Origins of Gauge Symmetry . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.8 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2 Lecture 2: String Theory Basics 12
2.1 World-Line Description of a Point Particle . . . . . . . . . . . . . . . . . . . 12
2.2 World-Volume Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.3 Boundary Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2.4 Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.5 The Free String Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
2.6 The Number of Physical States . . . . . . . . . . . . . . . . . . . . . . . . . 21
2.7 The Structure of String Perturbation Theory . . . . . . . . . . . . . . . . . . 22
2.8 Recapitulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
3 Lecture 3: Superstrings 23
3.1 The Gauge-Fixed Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
3.2 The R and NS Sectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
3.3 The GSO Projection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
3.4 Type II Superstrings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
3.5 Anomalies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
3.6 Heterotic Strings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
3.7 T Duality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
4 Lecture 4: From Superstrings to M Theory 32
4.1 M Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
4.2 Type II p-branes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
4.3 Type IIB Superstring Theory . . . . . . . . . . . . . . . . . . . . . . . . . . 37
4.4 The D3-Brane and ^ = 4 Gauge Theory . . . . . . . . . . . . . . . . . . . . 39
4.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
1
Introduction
Tom Ferbel has presented me with a large challenge: explain string theory to an audience of
graduate students in experimental high energy physics. The allotted time is four 75-minute
lectures. This should be possible, if the goals are realistic. One goal is to give a general sense
of what the subject is about, and why so many theoretical physicists are enthusiastic about it.
Perhaps you should regard these lectures as a cultural experience providing a window into the
world of abstract theoretical physics. Don’t worry if you miss some of the technical details in
the second and third lectures. There is only one message in these lectures that is important
for experimental research: low-energy supersymmetry is very well motivated theoretically,
and it warrants the intense effort that is being made to devise ways of observing it. There
are other facts that are nice to know, however. For example, consistency of quantum theory
and gravity is a severe restriction, with farreaching consequences.
As will be explained, string theory requires supersymmetry, and therefore string theorists
were among the first to discover it. Supersymmetric string theories are called superstring
theories. At one time there seemed to be five distinct superstring theories, but it was
eventually realized that each of them is actually a special limiting case of a completely
unique underlying theory. This theory is not yet fully formulated, and when it is, we might
decide that a new name is appropriate. Be that as it may, it is clear that we are exploring an
extraordinarily rich structure with many deep connections to various branches of fundamental
mathematics and theoretical physics. Whatever the ultimate status of this theory may be,
it is clear that these studies have already been a richly rewarding experience.
To fully appreciate the mathematical edifice underlying superstring theory requires an
investment of time and effort. Many theorists who make this investment really become
hooked by it, and then there is no turning back. Well, hooking you in this way is not my
goal, since you are engaged in other important activities; but hopefully these lectures will
convey an idea of why many theorists find the subject so enticing. For those who wish to
study the subject in more detail, there are two standard textbook presentations [1, 2].
The plan of these lectures is as follows: The first lecture will consist of a general non-
technical overview of the subject. It is essentially the current version of my physics col-
loquium lecture. It will describe some of the basic concepts and issues without technical
details. If successful, it will get you sufficiently interested in the subject that you are willing
to sit through some of the basic nitty-gritty analysis that explains what we mean by a rel-
ativistic string, and how its normal modes are analyzed. Lecture 2 will present the analysis
for the bosonic string theory. This is an unrealistic theory, with bosons only, but its study
is a pedagogically useful first step. It involves many, but not all, of the issues that arise
2
for superstrings. In lecture 3 the extension to incorporate fermions and supersymmetry is
described. There are two basic formalisms for doing this (called RNS and GS). Due to time
limitations, only the first of these will be presented here. The final lecture will survey some of
the more recent developments in the field. These include various nonperturbative dualities,
the existence of an 11-dimensional limit (called M-theory) and the existence of extended
objects of various dimensionalities, called p-branes. As will be explained, a particular class
of p-branes, called D-branes, plays an especially important role in modern research.
1 Lecture 1: Overview and Motivation
Many of the major developments in fundamental physics of the past century arose from
identifying and overcoming contradictions between existing ideas. For example, the incom-
patibility of Maxwell’s equations and Galilean invariance led Einstein to propose the special
theory of relativity. Similarly, the inconsistency of special relativity with Newtonian gravity
led him to develop the general theory of relativity. More recently, the reconciliation of special
relativity with quantum mechanics led to the development of quantum field theory. We are
now facing another crisis of the same character. Namely, general relativity appears to be
incompatible with quantum field theory. Any straightforward attempt to “quantize” general
relativity leads to a nonrenormalizable theory. In my opinion, this means that the theory
is inconsistent and needs to be modified at short distances or high energies. The way that
string theory does this is to give up one of the basic assumptions of quantum field theory,
the assumption that elementary particles are mathematical points, and instead to develop
a quantum field theory of one-dimensional extended objects, called strings, There are very
few consistent theories of this type, but superstring theory shows great promise as a unified
quantum theory of all fundamental forces including gravity. There is no realistic string the-
ory of elementary particles that could serve as a new standard model, since there is much
that is not yet understood. But that, together with a deeper understanding of cosmology, is
the goal. This is still a work in progress.
Even though string theory is not yet fully formulated, and we cannot yet give a detailed
description of how the standard model of elementary particles should emerge at low energies,
there are some general features of the theory that can be identified. These are features that
seem to be quite generic irrespective of how various details are resolved. The first, and
perhaps most important, is that general relativity is necessarily incorporated in the theory.
It gets modified at very short distances/high energies but at ordinary distance and energies
it is present in exactly the form proposed by Einstein. This is significant, because it is arising
within the framework of a consistent quantum theory. Ordinary quantum field theory does
3
not allow gravity to exist; string theory requires it! The second general fact is that Yang–Mills
gauge theories of the sort that comprise the standard model naturally arise in string theory.
We do not understand why the specific SU(3) SU(2) U(1) gauge theory of the standard
model should be preferred, but (anomaly-free) theories of this general type do arise naturally
at ordinary energies. The third general feature of string theory solutions is supersymmetry.
The mathematical consistency of string theory depends crucially on supersymmetry, and it
is very hard to find consistent solutions (quantum vacua) that do not preserve at least a
portion of this supersymmetry. This prediction of string theory differs from the other two
(general relativity and gauge theories) in that it really is a prediction. It is a generic feature
of string theory that has not yet been discovered experimentally.
1.1 Supersymmetry
Even though supersymmetry is a very important part of the story, the discussion here will
be very brief, since it will be discussed in detail by other lecturers. There will only be a
few general remarks. First, as we have just said, supersymmetry is the major prediction
of string theory that could appear at accessible energies, that has not yet been discovered.
A variety of arguments, not specific to string theory, suggest that the characteristic energy
scale associated to supersymmetry breaking should be related to the electroweak scale, in
other words in the range 100 GeV – 1 TeV. The symmetry implies that all known elementary
particles should have partner particles, whose masses are in this general range. This means
that some of these superpartners should be observable at the CERN Large Hadron Collider
(LHC), which will begin operating in the middle part of this decade. There is even a chance
that Fermilab Tevatron experiments could find superparticles earlier than that.
In most versions of phenomenological supersymmetry there is a multiplicatively conserved
quantum number called R-parity. All known particles have even R-parity, whereas their
superpartners have odd R-parity. This implies that the superparticles must be pair-produced
in particle collisions. It also implies that the lightest supersymmetry particle (or LSP) should
be absolutely stable. It is not known with certainty which particle is the LSP, but one popular
guess is that it is a “neutralino.” This is an electrically neutral fermion that is a quantum-
mechanical mixture of the partners of the photon, Z
0
, and neutral Higgs particles. Such an
LSP would interact very weakly, more or less like a neutrino. It is of considerable interest,
since it is an excellent dark matter candidate. Searches for dark matter particles called
WIMPS (weakly interacting massive particles) could discover the LSP some day. Current
experiments might not have sufficient detector volume to compensate for the exceedingly
small cross sections.
There are three unrelated arguments that point to the same mass range for superparticles.
4
The one we have just been discussing, a neutralino LSP as an important component of dark
matter, requires a mass of order 100 GeV. The precise number depends on the mixture
that comprises the LSP, what their density is, and a number of other details. A second
argument is based on the famous hierarchy problem. This is the fact that standard model
radiative corrections tend to renormalize the Higgs mass to a very high scale. The way to
prevent this is to extend the standard model to a supersymmetric standard model and to
have the supersymmetry be broken at a scale comparable to the Higgs mass, and hence
to the electroweak scale. The third argument that gives an estimate of the susy-breaking
scale is grand unification. If one accepts the notion that the standard model gauge group
is embedded in a larger gauge group such as SU(5) or SO(10), which is broken at a high
mass scale, then the three standard model coupling constants should unify at that mass
scale. Given the spectrum of particles, one can compute the evolution of the couplings as a
function of energy using renormalization group equations. One finds that if one only includes
the standard model particles this unification fails quite badly. However, if one also includes
all the supersymmetry particles required by the minimal supersymmetric extension of the
standard model, then the couplings do unify at an energy of about 2 10
16
GeV. For this
agreement to take place, it is necessary that the masses of the superparticles are less than a
few TeV.
There is other support for this picture, such as the ease with which supersymmetric grand
unification explains the masses of the top and bottom quarks and electroweak symmetry
breaking. Despite all these indications, we cannot be certain that this picture is correct until
it is demonstrated experimentally. One could suppose that all this is a giant coincidence, and
the correct description of TeV scale physics is based on something entirely different. The only
way we can decide for sure is by doing the experiments. As I once told a newspaper reporter,
in order to be sure to be quoted: discovery of supersymmetry would be more profound than
life on Mars.
1.2 Basic Ideas of String Theory
In conventional quantum field theory the elementary particles are mathematical points,
whereas in perturbative string theory the fundamental objects are one-dimensional loops
(of zero thickness). Strings have a characteristic length scale, which can be estimated by
dimensional analysis. Since string theory is a relativistic quantum theory that includes grav-
ity it must involve the fundamental constants c (the speed of light), (Planck’s constant
divided by 2π), and G (Newton’s gravitational constant). From these one can form a length,
5
known as the Planck length

p
=

G
c
3

3/2
= 1.6 10
−33
cm. (1)
Similarly, the Planck mass is
m
p
=

c
G

1/2
= 1.2 10
19
GeV/c
2
. (2)
Experiments at energies far below the Planck energy cannot resolve distances as short as
the Planck length. Thus, at such energies, strings can be accurately approximated by point
particles. From the viewpoint of string theory, this explains why quantum field theory has
been so successful.
As a string evolves in time it sweeps out a two-dimensional surface in spacetime, which
is called the world sheet of the string. This is the string counterpart of the world line for
a point particle. In quantum field theory, analyzed in perturbation theory, contributions
to amplitudes are associated to Feynman diagrams, which depict possible configurations of
world lines. In particular, interactions correspond to junctions of world lines. Similarly, string
theory perturbation theory involves string world sheets of various topologies. A particularly
significant fact is that these world sheets are generically smooth. The existence of interaction
is a consequence of world-sheet topology rather than a local singularity on the world sheet.
This difference from point-particle theories has two important implications. First, in string
theory the structure of interactions is uniquely determined by the free theory. There are
no arbitrary interactions to be chosen. Second, the ultraviolet divergences of point-particle
theories can be traced to the fact that interactions are associated to world-line junctions at
specific spacetime points. Because the string world sheet is smooth, string theory amplitudes
have no ultraviolet divergences.
1.3 A Brief History of String Theory
String theory arose in the late 1960’s out of an attempt to describe the strong nuclear force.
The inclusion of fermions led to the discovery of supersymmetric strings — or superstrings
— in 1971. The subject fell out of favor around 1973 with the development of QCD, which
was quickly recognized to be the correct theory of strong interactions. Also, string theories
had various unrealistic features such as extra dimensions and massless particles, neither of
which are appropriate for a hadron theory.
Among the massless string states there is one that has spin two. In 1974, it was shown
by Scherk and me [3], and independently by Yoneya [4], that this particle interacts like a
6
graviton, so the theory actually includes general relativity. This led us to propose that string
theory should be used for unification rather than for hadrons. This implied, in particular,
that the string length scale should be comparable to the Planck length, rather than the size
of hadrons (10
−13
cm) as we had previously assumed.
In the “first superstring revolution,” which took place in 1984–85, there were a number of
important developments (described later) that convinced a large segment of the theoretical
physics community that this is a worthy area of research. By the time the dust settled in
1985 we had learned that there are five distinct consistent string theories, and that each of
them requires spacetime supersymmetry in the ten dimensions (nine spatial dimensions plus
time). The theories, which will be described later, are called type I, type IIA, type IIB,
SO(32) heterotic, and E
8
E
8
heterotic.
1.4 Compactification
In the context of the original goal of string theory – to explain hadron physics – extra
dimensions are unacceptable. However, in a theory that incorporates general relativity,
the geometry of spacetime is determined dynamically. Thus one could imagine that the
theory admits consistent quantum solutions in which the six extra spatial dimensions form
a compact space, too small to have been observed. The natural first guess is that the size
of this space should be comparable to the string scale and the Planck length. Since the
equations must be satisfied, the geometry of this six-dimensional space is not arbitrary. A
particularly appealing possibility, which is consistent with the equations, is that it forms a
type of space called a Calabi–Yau space [5].
Calabi–Yau compactification, in the context of the E
8
E
8
heterotic string theory, can
give a low-energy effective theory that closely resembles a supersymmetric extension of the
standard model. There is actually a lot of freedom, because there are very many different
Calabi–Yau spaces, and there are other arbitrary choices that can be made. Still, it is
interesting that one can come quite close to realistic physics. It is also interesting that the
number of quark and lepton families that one obtains is determined by the topology of the
Calabi–Yau space. Thus, for suitable choices, one can arrange to end up with exactly three
families. People were very excited by the picture in 1985. Nowadays, we tend to make a
more sober appraisal that emphasizes all the arbitrariness that is involved, and the things
that don’t work exactly right. Still, it would not be surprising if some aspects of this picture
survive as part of the story when we understand the right way to describe the real world.
7
1.5 Perturbation Theory
Until 1995 it was only understood how to formulate string theories in terms of perturbation
expansions. Perturbation theory is useful in a quantum theory that has a small dimensionless
coupling constant, such as quantum electrodynamics, since it allows one to compute physical
quantities as power series expansions in the small parameter. In QED the small parameter is
the fine-structure constant α ∼ 1/137. Since this is quite small, perturbation theory works
very well for QED. For a physical quantity T(α), one computes (using Feynman diagrams)
T(α) = T
0
+αT
1

2
T
2
+. . . . (3)
It is the case generically in quantum field theory that expansions of this type are divergent.
More specifically, they are asymptotic expansions with zero radius convergence. Nonetheless,
they can be numerically useful if the expansion parameter is small. The problem is that there
are various non-perturbative contributions (such as instantons) that have the structure
T
NP
∼ e
−(const./α)
. (4)
In a theory such as QCD, there are regimes where perturbation theory is useful (due to
asymptotic freedom) and other regimes where it is not. For problems of the latter type,
such as computing the hadron spectrum, nonperturbative methods of computation, such as
lattice gauge theory, are required.
In the case of string theory the dimensionless string coupling constant, denoted g
s
, is
determined dynamically by the expectation value of a scalar field called the dilaton. There
is no particular reason that this number should be small. So it is unlikely that a realistic
vacuum could be analyzed accurately using perturbation theory. More importantly, these
theories have many qualitative properties that are inherently nonperturbative. So one needs
nonperturbative methods to understand them.
1.6 The Second Superstring Revolution
Around 1995 some amazing and unexpected “dualities” were discovered that provided the
first glimpses into nonperturbative features of string theory. These dualities were quickly
recognized to have three major implications.
The dualities enabled us to relate all five of the superstring theories to one another. This
meant that, in a fundamental sense, they are all equivalent to one another. Another way of
saying this is that there is a unique underlying theory, and what we had been calling five
theories are better viewed as perturbation expansions of this underlying theory about five
different points (in the space of consistent quantum vacua). This was a profoundly satisfying
8
realization, since we really didn’t want five theories of nature. That there is a completely
unique theory, without any dimensionless parameters, is the best outcome one could have
hoped for. To avoid confusion, it should be emphasized that even though the theory is
unique, it is entirely possible that there are many consistent quantum vacua. Classically,
the corresponding statement is that a unique equation can admit many solutions. It is a
particular solution (or quantum vacuum) that ultimately must describe nature. At least, this
is how a particle physicist would say it. If we hope to understand the origin and evolution of
the universe, in addition to properties of elementary particles, it would be nice if we could
also understand cosmological solutions.
A second crucial discovery was that the theory admits a variety of nonperturbative ex-
citations, called p-branes, in addition to the fundamental strings. The letter p labels the
number of spatial dimensions of the excitation. Thus, in this language, a point particle is a
0-brane, a string is a 1-brane, and so forth. The reason that p-branes were not discovered in
perturbation theory is that they have tension (or energy density) that diverges as g
s
→ 0.
Thus they are absent from the perturbative theory.
The third major discovery was that the underlying theory also has an eleven-dimensional
solution, which is called M-theory. Later, we will explain how the eleventh dimension arises.
One type of duality is called S duality. (The choice of the letter S is a historical accident
of no great significance.) Two string theories (let’s call them A and B) are related by S
duality if one of them evaluated at strong coupling is equivalent to the other one evaluated
at weak coupling. Specifically, for any physical quantity f, one has
f
A
(g
s
) = f
B
(1/g
s
). (5)
Two of the superstring theories — type I and SO(32) heterotic — are related by S duality in
this way. The type IIB theory is self-dual. Thus S duality is a symmetry of the IIB theory,
and this symmetry is unbroken if g
s
= 1. Thanks to S duality, the strong-coupling behavior
of each of these three theories is determined by a weak-coupling analysis. The remaining two
theories, type IIA and E
8
E
8
heterotic, behave very differently at strong coupling. They
grow an eleventh dimension!
Another astonishing duality, which goes by the name of T duality, was discovered several
years earlier. It can be understood in perturbation theory, which is why it was found first.
But, fortunately, it often continues to be valid even at strong coupling. T duality can
relate different compactifications of different theories. For example, suppose theory A has a
compact dimension that is a circle of radius R
A
and theory B has a compact dimension that
is a circle of radius R
B
. If these two theories are related by T duality this means that they
9
are equivalent provided that
R
A
R
B
= (
s
)
2
, (6)
where
s
is the fundamental string length scale. This has the amazing implication that when
one of the circles becomes small the other one becomes large. In a later lecture, we will
explain how this is possible. T duality relates the two type II theories and the two heterotic
theories. There are more complicated examples of the same phenomenon involving compact
spaces that are more complicated than a circle, such as tori, K3, Calabi–Yau spaces, etc.
1.7 The Origins of Gauge Symmetry
There are a variety of mechanisms than can give rise to Yang–Mills type gauge symmetries
in string theory. Here, we will focus on two basic possibilities: Kaluza–Klein symmetries
and brane symmetries.
The basic Kaluza–Klein idea goes back to the 1920’s, though it has been much generalized
since then. The idea is to suppose that the 10- or 11-dimensional geometry has a product
structure M K, where M is Minkowski spacetime and K is a compact manifold. Then, if
K has symmetries, these appear as gauge symmetries of the effective theory defined on M.
The Yang–Mills gauge fields arise as components of the gravitational metric field with one
direction along K and the other along M. For example, if the space K is an n-dimensional
sphere, the symmetry group is SO(n + 1), if it is CP
n
— which has 2n dimensions — it is
SU(n+1), and so forth. Elegant as this may be, it seems unlikely that a realistic K has any
such symmetries. Calabi–Yau spaces, for example, do not have any.
A rather more promising way of achieving realistic gauge symmetries is via the brane
approach. Here the idea is that a certain class of p-branes (called D-branes) have gauge
fields that are restricted to their world volume. This means that the gauge fields are not
defined throughout the 10- or 11-dimensional spacetime but only on the (p +1)-dimensional
hypersurface defined by the D-branes. This picture suggests that the world we observe might
be a D-brane embedded in a higher-dimensional space. In such a scenario, there can be two
kinds of extra dimensions: compact dimensions along the brane and compact dimensions
perpendicular to the brane.
The traditional viewpoint, which in my opinion is still the best bet, is that all extra
dimensions (of both types) have sizes of order 10
−30
to 10
−32
cm corresponding to an energy
scale of 10
16
− 10
18
GeV. This makes them inaccessible to direct observation, though their
existence would have definite low-energy consequences. However, one can and should ask
“what are the experimental limits?” For compact dimensions along the brane, which support
gauge fields, the nonobservation of extra dimensions in tests of the standard model implies
10
a bound of about 1 TeV. The LHC should extend this to about 10 TeV. For compact
dimensions “perpendicular to the brane,” which only support excitations with gravitational
strength forces, the best bounds come from Cavendish-type experiments, which test the 1/R
2
structure of the Newton force law at short distances. No deviations have been observed to a
distance of about 1 mm, so far. Experiments planned in the near future should extend the
limit to about 100 microns. Obviously, observation of any deviation from 1/R
2
would be a
major discovery.
1.8 Conclusion
This introductory lecture has sketched some of the remarkable successes that string theory
has achieved over the past 30 years. There are many others that did not fit in this brief
survey. Despite all this progress, there are some very important and fundamental questions
whose answers are unknown. It seems that whenever a breakthrough occurs, a host of new
questions arise, and the ultimate goal still seems a long way off. To convince you that there
is a long way to go, let us list some of the most important questions:
• What is the theory? Even though a great deal is known about string theory and M
theory, it seems that the optimal formulation of the underlying theory has not yet been
found. It might be based on principles that have not yet been formulated.
• We are convinced that supersymmetry is present at high energies and probably at the
electroweak scale, too. But we do not know how or why it is broken.
• A very crucial problem concerns the energy density of the vacuum, which is a physical
quantity in a gravitational theory. This is characterized by the cosmological constant,
which observationally appears to have a small positive value — so that the vacuum
energy of the universe is comparable to the energy in matter. In Planck units this is
a tiny number (Λ ∼ 10
−120
). If supersymmetry were unbroken, we could argue that
Λ = 0, but if it is broken at the 1 TeV scale, that would seem to suggest Λ ∼ 10
−60
,
which is very far from the truth. Despite an enormous amount of effort and ingenuity,
it is not yet clear how superstring theory will conspire to break supersymmetry at the
TeV scale and still give a value for Λ that is much smaller than 10
−60
. The fact that
the desired result is about the square of this might be a useful hint.
• Even though the underlying theory is unique, there seem to be many consistent quan-
tum vacua. We would very much like to formulate a theoretical principle (not based
on observation) for choosing among these vacua. It is not known whether the right
approach to the answer is cosmological, probabilistic, anthropic, or something else.
11
2 Lecture 2: String Theory Basics
In this lecture we will describe the world-sheet dynamics of the original bosonic string theory.
As we will see this theory has various unrealistic and unsatisfactory properties. Nonetheless
it is a useful preliminary before describing supersymmetric strings, because it allows us to
introduce many of the key concepts without simultaneously addressing the added complica-
tions associated with fermions and supersymmetry.
We will describe string dynamics from a first-quantized point of view. This means that
we focus on understanding it from a world-sheet sum-over-histories point of view. This
approach is closely tied to perturbation theory analysis. It should be contrasted with “second
quantized” string field theory which is based on field operators that create or destroy entire
strings. Since the first-quantized point of view may be less familiar to you than second-
quantized field theory, let us begin by reviewing how it can be used to describe a massive
point particle.
2.1 World-Line Description of a Point Particle
A point particle sweeps out a trajectory (or world line) in spacetime. This can be described
by functions x
µ
(τ) that describe how the world line, parameterized by τ, is embedded in
the spacetime, whose coordinates are denoted x
µ
. For simplicity, let us assume that the
spacetime is flat Minkowski space with a Lorentz metric
η
µν
=

¸
¸
¸
¸
−1 0 0 0
0 1 0 0
0 0 1 0
0 0 0 1
¸

. (7)
Then, the Lorentz invariant line element is given by
ds
2
= −η
µν
dx
µ
dx
ν
. (8)
In units = c = 1, the action for a particle of mass m is given by
S = −m

ds. (9)
This could be generalized to a curved spacetime by replacing η
µν
by a metric g
µν
(x), but we
will not do so here. In terms of the embedding functions, x
µ
(t), the action can be rewritten
in the form
S = −m

−η
µν
˙ x
µ
˙ x
ν
, (10)
12
where dots represent τ derivatives. An important property of this action is invariance under
local reparametrizations. This is a kind of gauge invariance, whose meaning is that the
form of S is unchanged under an arbitrary reparametrization of the world line τ → τ(˜ τ).
Actually, one should require that the function τ(˜ τ) is smooth and monotonic


d˜ τ
> 0

. The
reparametrization invariance is a one-dimensional analog of the four-dimensional general
coordinate invariance of general relativity. Mathematicians refer to this kind of symmetry
as diffeomorphism invariance.
The reparametrization invariance of S allows us to choose a gauge. A nice choice is the
“static gauge”
x
0
= τ. (11)
In this gauge (renaming the parameter t) the action becomes
S = −m


1 −v
2
dt, (12)
where
v =
dx
dt
. (13)
Requiring this action to be stationary under an arbitrary variation of x(t) gives the Euler–
Lagrange equations
d p
dt
= 0, (14)
where
p =
δS
δv
=
mv

1 −v
2
, (15)
which is the usual result. So we see that usual relativistic kinematics follows from the action
S = −m

ds.
2.2 World-Volume Actions
We can now generalize the analysis of the massive point particle to a p-brane of tension T
p
.
The action in this case involves the invariant (p + 1)-dimensional volume and is given by
S
p
= −T
p


p+1
, (16)
where the invariant volume element is

p+1
=

−det(−η
µν

α
x
µ

β
x
ν
)d
p+1
σ. (17)
13
Here the embedding of the p-brane into d-dimensional spacetime is given by functions x
µ

α
).
The index α = 0, . . . , p labels the p +1 coordinates σ
α
of the p-brane world-volume and the
index µ = 0, . . . , d −1 labels the d coordinates x
µ
of the d-dimensional spacetime. We have
defined

α
x
µ
=
∂x
µ
∂σ
α
. (18)
The determinant operation acts on the (p + 1) (p + 1) matrix whose rows and columns
are labeled by α and β. The tension T
p
is interpreted as the mass per unit volume of the
p-brane. For a 0-brane, it is just the mass.
Exercise: Show that S
p
is reparametrization invariant. In other words, substituting σ
α
=
σ
α
(˜ σ
β
), it takes the same form when expressed in terms of the coordinates ˜ σ
α
.
Let us now specialize to the string, p = 1. Evaluating the determinant gives
S[x] = −T

dσdτ

˙ x
2
x
2
−( ˙ x x

)
2
, (19)
where we have defined σ
0
= τ, σ
1
= σ, and
˙ x
µ
=
∂x
µ
∂τ
, x
µ
=
∂x
µ
∂σ
. (20)
This action, called the Nambu–Goto action, was first proposed in 1970 [6, 7]. The Nambu–
Goto action is equivalent to the action
S[x, h] = −
T
2

d
2
σ

−hh
αβ
η
µν

α
x
µ

β
x
ν
, (21)
where h
αβ
(σ, τ) is the world-sheet metric, h = det h
αβ
, and h
αβ
is the inverse of h
αβ
. The
Euler–Lagrange equation obtained by varying h
αβ
are
T
αβ
= ∂
α
x ∂
β
x −
1
2
h
αβ
h
γδ

γ
x ∂
δ
x = 0. (22)
Exercise: Show that T
αβ
= 0 can be used to eliminate the world-sheet metric from the
action, and that when this is done one recovers the Nambu–Goto action. (Hint: take the
determinant of both sides of the equation ∂
α
x ∂
β
x =
1
2
h
αβ
h
γδ

γ
x ∂
δ
x.)
In addition to reparametrization invariance, the action S[x, h] has another local symme-
try, called conformal invariance (or Weyl invariance). Specifically, it is invariant under the
replacement
h
αβ
→ Λ(σ, τ)h
αβ
(23)
x
µ
→ x
µ
.
This local symmetry is special to the p = 1 case (strings).
14
The two reparametrization invariance symmetries of S[x, h] allow us to choose a gauge
in which the three functions h
αβ
(this is a symmetric 2 2 matrix) are expressed in terms
of just one function. A convenient choice is the “conformally flat gauge”
h
αβ
= η
αβ
e
φ(σ,τ)
. (24)
Here, η
αβ
denoted the two-dimensional Minkowski metric of a flat world sheet. However,
because of the factor e
φ
, h
αβ
is only “conformally flat.” Classically, substitution of this gauge
choice into S[x, h] leaves the gauge-fixed action
S =
T
2

d
2
ση
αβ

α
x ∂
β
x. (25)
Quantum mechanically, the story is more subtle. Instead of eliminating h via its classical
field equations, one should perform a Feynman path integral, using standard machinery to
deal with the local symmetries and gauge fixing. When this is done correctly, one finds
that in general φ does not decouple from the answer. Only for the special case d = 26 does
the quantum analysis reproduce the formula we have given based on classical reasoning [8].
Otherwise, there are correction terms whose presence can be traced to a conformal anomaly
(i.e., a quantum-mechanical breakdown of the conformal invariance).
The gauge-fixed action is quadratic in the x’s. Mathematically, it is the same as a theory
of d free scalar fields in two dimensions. The equations of motion obtained by varying x
µ
are simply free two-dimensional wave equations:
¨ x
µ
−x
µ
= 0. (26)
This is not the whole story, however, because we must also take account of the constraints
T
αβ
= 0. Evaluated in the conformally flat gauge, these constraints are
T
01
= T
10
= ˙ x x

= 0 (27)
T
00
= T
11
=
1
2
( ˙ x
2
+x
2
) = 0.
Adding and subtracting gives
( ˙ x ±x

)
2
= 0. (28)
2.3 Boundary Conditions
To go further, one needs to choose boundary conditions. There are three important types.
For a closed string one should impose periodicity in the spatial parameter σ. Choosing its
range to be π (as is conventional)
x
µ
(σ, τ) = x
µ
(σ +π, τ). (29)
15
For an open string (which has two ends), each end can be required to satisfy either Neumann
or Dirichlet boundary conditions (for each value of µ).
Neumann :
∂x
µ
∂σ
= 0 at σ = 0 or π (30)
Dirichlet :
∂x
µ
∂τ
= 0 at σ = 0 or π. (31)
The Dirichlet condition can be integrated, and then it specifies a spacetime location on which
the string ends. The only way this makes sense is if the open string ends on a physical object
– it ends on a D-brane. (D stands for Dirichlet.) If all the open-string boundary conditions
are Neumann, then the ends of the string can be anywhere in the spacetime. The modern
interpretation is that this means that there are spacetime-filling D-branes present.
Let us now consider the closed-string case in more detail. The general solution of the 2d
wave equation is given by a sum of “right-movers” and “left-movers”:
x
µ
(σ, τ) = x
µ
R
(τ −σ) +x
µ
L
(τ +σ). (32)
These should be subject to the following additional conditions:
• x
µ
(σ, τ) is real
• x
µ
(σ +π, τ) = x
µ
(σ, τ)
• (x

L
)
2
= (x

R
)
2
= 0 (These are the T
αβ
= 0 constraints in eq. (28).)
The first two of these conditions can be solved explicitly in terms of Fourier series:
x
µ
R
=
1
2
x
µ
+
2
s
p
µ
(τ −σ) +
i

2

s
¸
n=0
1
n
α
µ
n
e
−2in(τ−σ)
(33)
x
µ
L
=
1
2
x
µ
+
2
s
p
µ
(τ +σ) +
i

2

s
¸
n=0
1
n
˜ α
µ
n
e
−2in(τ+σ)
,
where the expansion parameters α
µ
n
, ˜ α
µ
n
satisfy
α
µ
−n
= (α
µ
n
)

, ˜ α
µ
−n
= (˜ α
µ
n
)

. (34)
The center-of-mass coordinate x
µ
and momentum p
µ
are also real. The fundamental string
length scale
s
is related to the tension T by
T =
1
2πα

, α

=
2
s
. (35)
The parameter α

is called the universal Regge slope, since the string modes lie on linear
parallel Regge trajectories with this slope.
16
2.4 Quantization
The analysis of closed-string left-moving modes, closed-string right-moving modes, and open-
string modes are all very similar. Therefore, to avoid repetition, we will focus on the closed-
string right-movers. Starting with the gauge-fixed action in eq.(25), the canonical momentum
of the string is
p
µ
(σ, τ) =
δS
δ ˙ x
µ
= T ˙ x
µ
. (36)
Canonical quantization (this is just free 2d field theory for scalar fields) gives
[p
µ
(σ, τ), x
ν

, τ)] = −iη
µν
δ(σ −σ

). (37)
In terms of the Fourier modes (setting = 1) these become
[p
µ
, x
ν
] = −iη
µν
(38)

µ
m
, α
ν
n
] = mδ
m+n,0
η
µν
, (39)
[ ˜ α
µ
m
, ˜ α
ν
n
] = mδ
m+n,0
η
µν
,
and all other commutators vanish.
Recall that a quantum-mechanical harmonic oscillator can be described in terms of raising
and lowering operators, usually called a

and a, which satisfy
[a, a

] = 1. (40)
We see that, aside from a normalization factor, the expansion coefficients α
µ
−m
and α
µ
m
are
raising and lowering operators. There is just one problem. Because η
00
= −1, the time
components are proportional to oscillators with the wrong sign ([a, a

] = −1). This is
potentially very bad, because such oscillators create states of negative norm, which could
lead to an inconsistent quantum theory (with negative probabilities, etc.). Fortunately, as
we will explain, the T
αβ
= 0 constraints eliminate the negative-norm states from the physical
spectrum.
The classical constraint for the right-moving closed-string modes, (x

R
)
2
= 0, has Fourier
components
L
m
=
T
2

π
0
e
−2imσ
(x

R
)
2
dσ =
1
2

¸
n=−∞
α
m−n
α
n
, (41)
which are called Virasoro operators. Since α
µ
m
does not commute with α
µ
−m
, L
0
needs to be
normal-ordered:
L
0
=
1
2
α
2
0
+

¸
n=1
α
−n
α
n
. (42)
Here α
µ
0
=
s
p
µ
/

2, where p
µ
is the momentum.
17
2.5 The Free String Spectrum
Recall that the Hilbert space of a harmonic oscillator is spanned by states [n`, n = 0, 1, 2, . . . ,
where the ground state, [0`, is annihilated by the lowering operator (a[0` = 0) and
[n` =
(a

)
n

n!
[0`. (43)
Then, for a normalized ground-state ('0[0` = 1), one can use [a, a

] = 1 repeatedly to prove
that
'm[n` = δ
m,n
(44)
and
a

a[n` = n[n`. (45)
The string spectrum (of right-movers) is given by the product of an infinite number of
harmonic-oscillator Fock spaces, one for each α
µ
n
, subject to the Virasoro constraints [9]
(L
0
−q)[φ` = 0 (46)
L
n
[φ` = 0, n > 0.
Here [φ` denotes a physical state, and q is a constant to be determined. It accounts for
the arbitrariness in the normal-ordering prescription used to define L
0
. As we will see, the
L
0
equation is a generalization of the Klein–Gordon equation. It contains p
2
= −∂ ∂ plus
oscillator terms whose eigenvalue will determine the mass of the state.
It is interesting to work out the algebra of the Virasoro operators L
m
, which follows from
the oscillator algebra. The result, called the Virasoro algebra, is
[L
m
, L
n
] = (m−n)L
m+n
+
c
12
(m
3
−m)δ
m+n,0
. (47)
The second term on the right-hand side is called the “conformal anomaly term” and the
constant c is called the “central charge.”
Exercise: Verify the first term on the right-hand side. For extra credit, verify the second
term, showing that each component of x
µ
contributes c = 1, so that altogether c = d.
There are more sophisticated ways to describe the string spectrum (in terms of BRST
cohomology), but they are equivalent to the more elementary approach presented here. In
the BRST approach, gauge-fixing to the conformal gauge in the quantum theory requires the
addition of world-sheet Faddeev-Popov ghosts, which turn out to contribute c = −26. Thus
the total anomaly of the x
µ
and the ghosts cancels for the particular choice d = 26, as we
18
asserted earlier. Moreover, it is also necessary to set the parameter q = 1, so that mass-shell
condition becomes
(L
0
−1)[φ` = 0. (48)
Since the mathematics of the open-string spectrum is the same as that of closed-string
right movers, let us now use the equations we have obtained to study the open string spec-
trum. (Here we are assuming that the open-string boundary conditions are all Neumann,
corresponding to spacetime-filling D-branes.) The mass-shell condition is
M
2
= −p
2
= −
1
2
α
2
0
= N −1, (49)
where
N =

¸
n=1
α
−n
α
n
=

¸
n=1
na

n
a
n
. (50)
The a

’s and a’s are properly normalized raising and lowering operators. Since each a

a has
eigenvalues 0, 1, 2, . . . , the possible values of N are also 0, 1, 2, . . . . The unique way to realize
N = 0 is for all the oscillators to be in the ground state, which we denote simply by [0; p
µ
`,
where p
µ
is the momentum of the state. This state has M
2
= −1, which is a tachyon (p
µ
is
spacelike). Such a faster-than-light particle is certainly not possible in a consistent quantum
theory, because the vacuum would be unstable. However, in perturbation theory (which is
the framework we are implicitly considering) this instability is not visible. Since this string
theory is only supposed to be a warm-up exercise before considering tachyon-free superstring
theories, let us continue without worrying about it.
The first excited state, with N = 1, corresponds to M
2
= 0. The only way to achieve
N = 1 is to excite the first oscillator once:
[φ` = ζ
µ
α
µ
−1
[0; p`. (51)
Here ζ
µ
denotes the polarization vector of a massless spin-one particle. The Virasoro con-
straint condition L
1
[φ` = 0 implies that ζ
µ
must satisfy
p
µ
ζ
µ
= 0. (52)
This ensures that the spin is transversely polarized, so there are d−2 independent polarization
states. This agrees with what one finds for a massless Maxwell or Yang–Mills field.
At the next mass level, where N = 2 and M
2
= 1, the most general possibility has the
form
[φ` = (ζ
µ
α
µ
−2

µν
α
µ
−1
α
ν
−1
)[0; p`. (53)
19
However, the constraints L
1
[φ` = L
2
[φ` = 0 restrict ζ
µ
and λ
µν
. The analysis is interesting,
but only the results will be described. If d > 26, the physical spectrum contains a negative-
norm state, which is not allowed. However, when d = 26, this state becomes zero norm
and decouples from the theory. This leaves a pure massive “spin two” (symmetric traceless
tensor) particle as the only physical state at this mass level.
Let us now turn to the closed-string spectrum. A closed-string state is described as a
tensor product of a left-moving state and a right-moving state, subject to the condition
that the N value of the left-moving and the right-moving state is the same. The reason for
this “level-matching” condition is that we have (L
0
− 1)[φ` = (
˜
L
0
− 1)[φ` = 0. The sum
(L
0
+
˜
L
0
−2)[φ` is interpreted as the mass-shell condition, while the difference (L
0

˜
L
0
)[φ` =
(N −
˜
N)[φ` = 0 is the level-matching condition.
Using this rule, the closed-string ground state is just
[0` ⊗[0`, (54)
which represents a spin 0 tachyon with M
2
= −2. (The notation no longer displays the
momentum p of the state.) Again, this signals an unstable vacuum, but we will not worry
about it here. Much more important, and more significant, is the first excited state
[φ` = ζ
µν

µ
−1
[0` ⊗ ˜ α
ν
−1
[0`), (55)
which has M
2
= 0. The Virasoro constraints L
1
[φ` =
˜
L
1
[φ` = 0 imply that p
µ
ζ
µν
= 0. Such a
polarization tensor encodes three distinct spin states, each of which plays a fundamental role
in string theory. The symmetric part of ζ
µν
encodes a spacetime metric field g
µν
(massless
spin two) and a scalar dilaton field φ (massless spin zero). The g
µν
field is the graviton field,
and its presence (with the correct gauge invariances) accounts for the fact that the theory
contains general relativity, which is a good approximation for E < 1/
s
. Its vacuum value
determines the spacetime geometry. Similarly, the value of φ determines the string coupling
constant (g
s
=< e
φ
>).
ζ
µν
also has an antisymmetric part, which corresponds to a massless antisymmetric tensor
gauge field B
µν
= −B
νµ
. This field has a gauge transformation of the form
δB
µν
= ∂
µ
Λ
ν
−∂
ν
Λ
µ
, (56)
(which can be regarded as a generalization of the gauge transformation rule for the Maxwell
field: δA
µ
= ∂
µ
Λ). The gauge-invariant field strength (analogous to F
µν
= ∂
µ
A
ν
−∂
ν
A
µ
) is
H
µνρ
= ∂
µ
B
νρ
+∂
ν
B
ρµ
+∂
ρ
B
µν
. (57)
20
The importance of the B
µν
field resides in the fact that the fundamental string is a source
for B
µν
, just as a charged particle is a source for the vector potential A
µ
. Mathematically,
this is expressed by the coupling
q

B
µν
dx
µ
∧ dx
ν
, (58)
which generalizes the coupling of a charged particle to a Maxwell field
q

A
µ
dx
µ
(59)
in a convenient notation.
2.6 The Number of Physical States
The number of physical states grows rapidly as a function of mass. This can be analyzed
quantitatively. For the open string, let us denote the number of physical states with α

M
2
=
n −1 by d
n
. These numbers are encoded in the generating function
G(w) =

¸
n=0
d
n
w
n
=

¸
m=1
(1 −w
m
)
−24
. (60)
The exponent 24 reflects the fact that in 26 dimensions, once the Virasoro conditions are
taken into account, the spectrum is exactly what one would get from 24 transversely polarized
oscillators. It is easy to deduce from this generating function the asymptotic number of states
for large n, as a function of n
d
n
∼ n
−27/4
e


n
. (61)
Exercise: Verify this formula.
This asymptotic degeneracy implies that the finite-temperature partition function
tr (e
−βH
) =

¸
n=0
d
n
e
−βMn
(62)
diverges for β
−1
= T > T
H
, where T
H
is the Hagedorn temperature
T
H
=
1


α

=
1

s
. (63)
T
H
might be the maximum possible temperature or else a critical temperature at which there
is a phase transition.
21
2.7 The Structure of String Perturbation Theory
As we discussed in the first lecture, perturbation theory calculations are carried out by com-
puting Feynman diagrams. Whereas in ordinary quantum field theory Feynman diagrams are
webs of world lines, in the case of string theory they are two-dimensional surfaces represent-
ing string world sheets. For these purposes, it is convenient to require that the world-sheet
geometry is Euclidean (i.e., the world-sheet metric h
αβ
is positive definite). The diagrams
are classified by their topology, which is very well understood in the case of two-dimensional
surfaces. The world-sheet topology is characterized by the number of handles (h), the num-
ber of boundaries (b), and whether or not they are orientable. The order of the expansion
(i.e., the power of the string coupling constant) is determined by the Euler number of the
world sheet M. It is given by χ(M) = 2 −2h −b. For example, a sphere has h = b = 0, and
hence χ = 2. A torus has h = 1, b = 0, and χ = 0, a cylinder has h = 0, b = 2, and χ = 0,
and so forth. Surfaces with χ = 0 admit a flat metric.
A scattering amplitude is given by a path integral of the schematic structure

Dh
αβ
(σ)Dx
µ
(σ)e
−S[h,x]
nc
¸
i=1

M
V
α
i

i
)d
2
σ
i
no
¸
j=1

∂M
V
β
j

j
)dσ
j
. (64)
The action S[h, x] is given in eq. (21). V
α
i
is a vertex operator that describes emission or
absorption of a closed-string state of type α
i
from the interior of the string world sheet, and
V
β
j
is a vertex operator that describes emission of absorption of an open-string state of type
β
j
from the boundary of the string world sheet. There are lots of technical details that are
not explained here. In the end, one finds that the conformally inequivalent world sheets of
a given topology are described by a finite number of parameters, and thus these amplitudes
can be recast as finite-dimensional integrals over these “moduli.” (The momentum integrals
are already done.) The dimension of the resulting integral turns out to be
N = 3(2h +b −2) + 2n
c
+n
o
. (65)
As an example consider the amplitude describing elastic scattering of two-open string
ground states. In this case h = 0, b = 1, n
c
= 0, n
o
= 4, and therefore N = 1. In terms of
the usual Mandelstam invariants s = −(p
1
+p
2
)
2
and t = −(p
1
−p
4
)
2
, the result is
A(s, t) = g
2
s

1
0
dx x
−α(s)−1
(1 −x)
−α(t)−1
, (66)
where the Regge trajectory α(s) is
α(s) = 1 +α

s. (67)
22
This integral is just the Euler beta function
A(s, t) = g
2
s
B(−α(s), −α(t)) = g
2
s
Γ(−α(s))Γ(−α(t))
Γ(−α(s) −α(t))
. (68)
This is the famous Veneziano amplitude [10], which got the whole business started.
2.8 Recapitulation
This lecture described some of the basic facts of the 26-dimensional bosonic string theory.
One significant point that has not yet been made clear is that there are actually a number
of distinct theories depending on what kinds of strings one includes
• oriented closed strings only
• oriented closed strings and oriented open strings. In this case one can incorporate U(n)
gauge symmetry.
• unoriented closed strings only
• unoriented closed strings and unoriented open strings. In this case one can incorporate
SO(n) or Sp(n) gauge symmetry.
As we have mentioned already, all the bosonic string theories are sick as they stand,
because (in each case) the closed-string spectrum contains a tachyon. A tachyon means
that one is doing perturbation theory about an unstable vacuum. This is analogous to the
unbroken symmetry extremum of the Higgs potential in the standard model. In that case,
we know that there is a stable minimum, where the Higgs fields acquires a vacuum value.
It is conceivable that the closed-string tachyon condenses in an analogous manner, or else
there might not be a stable vacuum. Recently, there has been success in demonstrating that
open-string tachyons condense at a stable minimum, but the fate of closed-string tachyons
is still an open problem.
3 Lecture 3: Superstrings
Among the deficiencies of the bosonic string theory is the fact that there are no fermions.
As we will see, the addition of fermions leads quite naturally to supersymmetry and hence
superstrings. There are two alternative formalisms that are used to study superstrings. The
original one, which grew out of the 1971 papers by Ramond [11] and by Neveu and me [12],
is called the RNS formalism. In this approach, the supersymmetry of the two-dimensional
23
world-sheet theory plays a central role. The second approach, developed by Michael Green
and me in the early 1980’s [13], emphasizes supersymmetry in the ten-dimensional spacetime.
Due to lack of time, only the RNS approach will be presented.
In the RNS formalism, the world-sheet theory is based on the d functions x
µ
(σ, τ) that
describe the embedding of the world sheet in the spacetime, just as before. However, in or-
der to supersymmetrize the world-sheet theory, we also introduce d fermionic partner fields
ψ
µ
(σ, τ). Note that x
µ
transforms as a vector from the spacetime viewpoint, but as d scalar
fields from the two-dimensional world-sheet viewpoint. The ψ
µ
also transform as a space-
time vector, but as world-sheet spinors. Altogether, x
µ
and ψ
µ
described d supersymmetry
multiplets, one for each value of µ.
The reparametrization invariant world-sheet action described in the preceding lecture can
be generalized to have local supersymmetry on the world sheet, as well. (The details of how
that works are a bit too involved to describe here.) When one chooses a suitable conformal
gauge (h
αβ
= e
φ
η
αβ
), together with an appropriate fermionic gauge condition, one ends up
with a world-sheet theory that has global supersymmetry supplemented by constraints. The
constraints form a super-Virasoro algebra. This means that in addition to the Virasoro
constraints of the bosonic string theory, there are fermionic constraints, as well.
3.1 The Gauge-Fixed Theory
The globally supersymmetric world-sheet action that arises in the conformal gauge takes the
form
S = −
T
2

d
2
σ(∂
α
x
µ

α
x
µ
−i
¯
ψ
µ
ρ
α

α
ψ
µ
). (69)
The first term is exactly the same as in eq. (25) of the bosonic string theory. Recall that it
has the structure of d free scalar fields. The second term that has now been added is just d
free massless spinor fields, with Dirac-type actions. The notation is that ρ
α
are two 2 2
Dirac matrices and ψ =

ψ−
ψ+

is a two-component Majorana spinor. The Majorana condition
simply means that ψ
+
and ψ

are real in a suitable representation of Dirac algebra. In fact,
a convenient choice is one for which
¯
ψρ
α

α
ψ = ψ


+
ψ


+


ψ
+
, (70)
where ∂
±
represent derivatives with respect to σ
±
= τ ± σ. In this basis, the equations of
motion are simply

+
ψ
µ

= ∂

ψ
µ
+
= 0. (71)
Thus ψ
µ

describes right-movers and ψ
µ
+
describes left-movers.
24
Concentrating on the right-movers ψ
µ

, the global supersymmetry transformations, which
are a symmetry of the gauge-fixed action, are
δx
µ
= iψ
µ

(72)
δψ
µ

= −2∂

x
µ
.
Exercise: Show that this is a symmetry of the action (69).
There is an analogous symmetry for the left-movers. (Accordingly, the world-sheet theory is
said to have (1, 1) supersymmetry.) Continuing to focus on the right-movers, the Virasoro
constraint is
(∂

x)
2
+
i
2
ψ
µ



ψ
µ−
= 0. (73)
The first term is what we found in the bosonic string theory, and the second term is an
additional fermionic contribution. There is also an associated fermionic constraint
ψ
µ



x
µ
= 0. (74)
The Fourier modes of these constraints satisfy the super-Virasoro algebra. There is a second
identical super-Virasoro algebra for the left-movers.
As in the bosonic string theory, the Virasoro algebra has conformal anomaly terms pro-
portional to a central charge c. As in that theory, each component of x
µ
contributes +1 to the
central charge, for a total of d, while (in the BRST quantization approach) the reparametriza-
tion symmetry ghosts contribute −26. But now there are additional contributions. Each
component of ψ
µ
gives +1/2, for a total of d/2, and the local supersymmetry ghosts con-
tribute +11. Adding all of this up, gives a grand total of c =
3d
2
− 15. Thus, we see that
the conformal anomaly cancels for the specific choice d = 10. This is the preferred critical
dimension for superstrings, just as d = 26 is the critical dimension for bosonic strings. For
other values the theory has a variety of inconsistencies.
3.2 The R and NS Sectors
Let us now consider boundary conditions for ψ
µ
(σ, τ). (The story for x
µ
is exactly as before.)
First, let us consider open-string boundary conditions. For the action to be well-defined, it
turns out that one must set ψ
+
= ±ψ

at the two ends σ = 0, π. An overall sign is a matter
of convention, so we can set
ψ
µ
+
(0, τ) = ψ
µ

(0, τ), (75)
25
without loss of generality. But this still leaves two possibilities for the other end, which are
called R and NS:
R : ψ
µ
+
(π, τ) = ψ
µ

(π, τ) (76)
NS : ψ
µ
+
(π, τ) = −ψ
µ

(π, τ).
Combining these with the equations of motion ∂

ψ
+
= ∂
+
ψ

= 0, allows us to express the
general solutions as Fourier series
R : ψ
µ

=
1

2
¸
n∈Z
d
µ
n
e
−in(τ−σ)
(77)
ψ
µ
+
=
1

2
¸
n∈Z
d
µ
n
e
−in(τ+σ)
NS : ψ
µ

=
1

2
¸
r∈Z+1/2
b
µ
r
e
−ir(τ−σ)
ψ
µ
+
=
1

2
¸
r∈Z+1/2
b
µ
r
e
−ir(τ+σ)
.
The Majorana condition implies that d
µ
−n
= d
µ†
n
and b
µ
−r
= b
µ†
r
. Note that the index n takes
integer values, whereas the index r takes half-integer values (±
1
2
, ±
3
2
, . . . ). In particular,
only the R boundary condition gives a zero mode.
Canonical quantization of the free fermi fields ψ
µ
(σ, τ) is very standard and straightfor-
ward. The result can be expressed as anticommutation relations for the coefficients d
µ
m
and
b
µ
r
:
R : ¦d
µ
n
, d
ν
n
¦ = η
µν
δ
m+n,0
m, n ∈ Z (78)
NS : ¦d
µ
r
, d
ν
s
¦ = η
µν
δ
r+s,0
r, s ∈ Z +
1
2
.
Thus, in addition to the harmonic oscillator operators α
µ
m
that appear as coefficients in mode
expansions of x
µ
, there are fermionic oscillator operators d
µ
m
or b
µ
r
that appear as coefficients
in mode expansions of ψ
µ
. The basic structure ¦b, b

¦ = 1 is very simple. It describes a
two-state system with b[0` = 0, and b

[0` = [1`. The b’s or d’s with negative indices can be
regarded as raising operators and those with positive indices as lowering operators, just as
we did for the α
µ
n
.
In the NS sector, the ground state [0; p` satisfies
α
µ
m
[0; p` = b
µ
r
[0; p` = 0, m, r > 0 (79)
which is a straightforward generalization of how we defined the ground state in the bosonic
string theory. All the excited states obtained by acting with the α and b raising operators
26
are spacetime bosons. We will see later that the ground state, defined as we have done here,
is again a tachyon. However, in this theory, as we will also see, there is a way by which this
tachyon can (and must) be removed from the physical spectrum.
In the R sector there are zero modes that satisfy the algebra
¦d
µ
0
, d
ν
0
¦ = η
µν
. (80)
This is the d-dimensional spacetime Dirac algebra. Thus the d
0
’s should be regarded as Dirac
matrices and all states in the R sector should be spinors in order to furnish representation
spaces on which these operators can act. The conclusion, therefore, is that whereas all string
states in the NS sector are spacetime bosons, all string states in the R sector are spacetime
fermions.
In the closed-string case, the physical states are obtained by tensoring right-movers and
left-movers, each of which are mathematically very similar to the open-string spectrum. This
means that there are four distinct sectors of closed-string states: NS⊗NS and R⊗R describe
spacetime bosons, whereas NS⊗R and R⊗NS describe spacetime fermions. We will return
to explore what this gives later, but first we need to explore the right-movers by themselves
in more detail.
The zero mode of the fermionic constraint ψ
µ


x
µ
= 0 gives a wave equation for
(fermionic) strings in the Ramond sector, F
0
[ψ` = 0, which is called the Dirac–Ramond
equation. In terms of the oscillators
F
0
= α
0
d
0
+
¸
n=0
α
−n
d
n
. (81)
The zero-mode piece of F
0
, α
0
d
0
, has been isolated, because it is just the usual Dirac
operator, γ
µ

µ
, up to normalization. (Recall that α

is proportional to p
µ
= −i∂
µ
, and d
µ
0
is proportional to the Dirac matrices γ
µ
.) The fermionic ground state [ψ
0
`, which satisfies
α
µ
n

0
` = d
µ
n

0
` = 0, n > 0, (82)
satisfies the wave equation
α
0
d
0

0
` = 0, (83)
which is precisely the massless Dirac equation. Hence the fermionic ground state is a massless
spinor.
3.3 The GSO Projection
In the NS (bosonic) sector the mass formula is
M
2
= N −
1
2
, (84)
27
which is to be compared with the formula M
2
= N−1 of the bosonic string theory. This time
the number operator N has contributions from the b oscillators as well as the α oscillators.
(The reason that the normal-ordering constant is −1/2 instead of −1 works as follows. Each
transverse α oscillator contributes −1/24 and each transverse b oscillator contributes −1/48.
The result follows since the bosonic theory has 24 transverse directions and the superstring
theory has 8 transverse directions.) Thus the ground state, which has N = 0, is now a
tachyon with M
2
= −1/2.
This is where things stood until the 1976 work of Gliozzi, Scherk, and Olive [14]. They
noted that the spectrum admits a consistent truncation (called the GSO projection) which is
necessary for the consistency of the interacting theory. In the NS sector, the GSO projection
keeps states with an odd number of b-oscillator excitations, and removes states with an even
number of b-oscillator excitation. Once this rule is implemented the only possible values of
N are half integers, and the spectrum of allowed masses are integral
M
2
= 0, 1, 2, . . . . (85)
In particular, the bosonic ground state is now massless. The spectrum no longer contains
a tachyon. The GSO projection also acts on the R sector, where there is an analogous
restriction on the d oscillators. This amounts to imposing a chirality projection on the
spinors.
Let us look at the massless spectrum of the GSO-projected theory. The ground state
boson is now a massless vector, represented by the state ζ
µ
b
µ
−1/2
[0; p`, which (as before) has
d − 2 = 8 physical polarizations. The ground state fermion is a massless Majorana–Weyl
fermion which has
1
4
2
d/2
= 8 physical polarizations. Thus there are an equal number of
bosons and fermions, as is required for a theory with spacetime supersymmetry. In fact, this
is the pair of fields that enter into ten-dimensional super Yang–Mills theory. The claim is
that the complete theory now has spacetime supersymmetry.
If there is spacetime supersymmetry, then there should be an equal number of bosons
and fermions at every mass level. Let us denote the number of bosonic states with M
2
= n
by d
NS
(n) and the number of fermionic states with M
2
= n by d
R
(n). Then we can encode
these numbers in generating functions, just as we did for the bosonic string theory
f
NS
(w) =

¸
n=0
d
NS
(n)w
n
=
1
2

w

¸

¸
m=1

1 +w
m−1/2
1 −w
m

8


¸
m=1

1 −w
m−1/2
1 −w
m

8
¸

(86)
f
R
(w) =

¸
n=0
d
R
(n)w
n
= 8

¸
m=1

1 +w
m
1 −w
m

8
. (87)
28
The 8’s in the exponents refer to the number of transverse directions in ten dimensions. The
effect of the GSO projection is the subtraction of the second term in f
NS
and reduction of
coefficient in f
R
from 16 to 8. In 1829, Jacobi discovered the formula
f
R
(w) = f
NS
(w). (88)
(He used a different notation, of course.) For him this relation was an obscure curiosity, but
we now see that it provides strong evidence for supersymmetry of this string theory in ten
dimensions. A complete proof of supersymmetry for the interacting theory was constructed
by Green and me five years after the GSO paper [13].
3.4 Type II Superstrings
We have described the spectrum of bosonic (NS) and fermionic (R) string states. This also
gives the spectrum of left-moving and right-moving closed-string modes, so we can form the
closed-string spectrum by forming tensor products as before. In particular, the massless
right-moving spectrum consists of a vector and a Majorana–Weyl spinor. Thus the massless
closed-string spectrum is given by
(vector + MW spinor) ⊗ (vector + MW spinor). (89)
There are actually two distinct possibilities because two MW spinor can have either opposite
chirality or the same chirality.
When the two MW spinors have opposite chirality, the theory is called type IIA super-
string theory, and its massless spectrum forms the type IIA supergravity multiplet. This
theory is left-right symmetric. In other words, the spectrum is invariant under mirror re-
flection. This implies that the IIA theory is parity conserving. When the two MW spinors
have the same chirality, the resulting type IIB superstring theory is chiral, and hence parity
violating. In each case there are two gravitinos, arising from vector ⊗ spinor and spinor ⊗
vector, which are gauge fields for local supersymmetry. (In four dimensions we would say
that the gravitinos have spin 3/2, but that is not an accurate description in ten dimensions.)
Thus, since both type II superstring theories have two gravitinos, they have local ^ = 2 su-
persymmetry in the ten-dimensional sense. The supersymmetry charges are Majorana–Weyl
spinors, which have 16 components, so the type II theories have 32 conserved supercharges.
This is the same amount of supersymmetry as what is usually called ^ = 8 in four dimen-
sions.
The type II superstring theories contain only oriented closed strings (in the absence
of D-branes). However, there is another superstring theory, called type I, which can be
obtained by a projection of the type IIB theory, that only keeps the diagonal sum of the
29
two gravitinos. Thus, this theory only has ^ = 1 supersymmetry (16 supercharges). It is
a theory of unoriented closed strings. However, it can be supplemented by unoriented open
strings. This introduces a Yang–Mills gauge group, which classically can be SO(n) or Sp(n)
for any value of n. Quantum consistency singles out SO(32) as the unique possibility. This
restriction can be understood in a number of ways. The way that it was first discovered was
by considering anomalies.
3.5 Anomalies
Chiral (parity-violating) gauge theories can be inconsistent due to anomalies. This happens
when there is a quantum mechanical breakdown of the gauge symmetry, which is induced
by certain one-loop Feynman diagrams. (Sometimes one also considers breaking of global
symmetries by anomalies, which does not imply an inconsistency. That is not what we are
interested in here.) In the case of four dimensions, the relevant diagrams are triangles, with
the chiral fields going around the loop and three gauge fields attached as external lines. In
the case of the standard model, the quarks and leptons are chiral and contribute to a variety
of possible anomalies. Fortunately, the standard model has just the right content so that all
of the gauge anomalies cancel. If one discarded the quark or lepton contributions, it would
not work.
In the case of ten-dimensional chiral gauge theories, the potentially anomalous Feynman
diagrams are hexagons, with six external gauge fields. The anomalies can be attributed
to the massless fields, and therefore they can be analyzed in the low-energy effective field
theory. There are several possible cases in ten dimensions:
• ^ = 1 supersymmetric Yang–Mills theory. This theory has anomalies for every choice
of gauge group.
• Type I supergravity. This theory has gravitational anomalies.
• Type IIA supergravity. This theory is non-chiral, and therefore it is trivially anomaly-
free.
• Type IIB supergravity. This theory has three chiral fields each of which contributes
to several kinds of gravitational anomalies. However, when their contributions are
combined, the anomalies all cancel. (This result was obtained by Alvarez–Gaum´e and
Witten in 1983 [15].)
• Type I supergravity coupled to super Yang–Mills. This theory has both gauge and
gravitational anomalies for every choice of Yang-Mills gauge group except SO(32) and
30
E
8
E
8
. For these two choices, all the anomalies cancel. (This result was obtained by
Green and me in 1984 [16].)
As we mentioned earlier, at the classical level one can define type I superstring theory
for any orthogonal or symplectic gauge group. Now we see that at the quantum level, the
only choice that is consistent is SO(32). For any other choice there are fatal anomalies. The
term SO(32) is used here somewhat imprecisely. There are several different Lie groups that
have the same Lie algebra. It turns out that the precise Lie group that is appropriate is Spin
(32)/Z
2
.
3.6 Heterotic Strings
The two Lie groups that are singled out — E
8
E
8
and Spin (32)/Z
2
— have several
properties in common. Each of them has dimension = 496 and rank = 16. Moreover, their
weight lattices correspond to the only two even self-dual lattices in 16 dimensions. This last
fact was the crucial clue that led Gross, Harvey, Martinec, and Rohm [17] to the discovery
of the heterotic string soon after the anomaly cancellation result. One hint is the relation
10 + 16 = 26. The construction of the heterotic string uses the d = 26 bosonic string for
the left-movers and the d = 10 superstring the right movers. The sixteen extra left-moving
dimensions are associated to an even self-dual 16-dimensional lattice. In this way one builds
in the SO(32) or E
8
E
8
gauge symmetry.
Thus, to recapitulate, by 1985 we had five consistent superstring theories, type I (with
gauge group SO(32)), the two type II theories, and the two heterotic theories. Each is a
supersymmetric ten-dimensional theory. The perturbation theory was studied in considerable
detail, and while some details may not have been completed, it was clear that each of the five
theories has a well-defined, ultraviolet-finite perturbation expansion, satisfying all the usual
consistency requirements (unitarity, analyticity, causality, etc.) This was pleasing, though
it was somewhat mysterious why there should be five consistent quantum gravity theories.
It took another ten years until we understood that these are actually five special quantum
vacua of a unique underlying theory.
3.7 T Duality
T duality, an amazing result obtained in the late 1980’s, relates one string theory with a
circular compact dimension of radius R to another string theory with a circular dimension of
radius 1/R (in units
s
= 1). This is very profound, because it indicates a limitation of our
usual motions of classical geometry. Strings see geometry differently from point particles.
Let us examine how this is possible.
31
The key to understanding T duality is to consider the kinds of excitations that a string
can have in the presence of a circular dimension. One class of excitations, called Kaluza–
Klein excitations, is a very general feature of any quantum theory, whether or not based
on strings. The idea is that in order for the wave function e
ipx
to be single valued, the
momentum along the circle must be a multiple of 1/R, p = n/R, where n is an integer.
From the lower-dimension viewpoint this is interpreted as a contribution (n/R)
2
to the
square of the mass.
There is a second type of excitation that is special to closed strings. Namely, a closed
string can wind m times around the circular dimension, getting caught up on the topology of
the space, contributing an energy given by the string tension times the length of the string
E
m
= 2πR m T. (90)
Putting T =
1

(for
s
= 1), this is just E
m
= mR.
The combined energy-squared of the Kaluza–Klein and winding-mode excitations is
E
2
=

n
R

2
+ (mR)
2
+. . . , (91)
where the dots represent string oscillator contributions. Under T duality
m ↔n, R ↔1/R. (92)
Together, these interchanges leave the energy invariant. This means that what is interpreted
as a Kaluza–Klein excitation in one string theory is interpreted as a winding-mode excitation
in the T-dual theory, and the two theories have radii R and 1/R, respectively. The two
principle examples of T-dual pairs are the two type II theories and the two heterotic theories.
In the latter case there are additional technicalities that explain how the two gauge groups
are related. Basically, when the compactification on a circle to nine dimension is carried out
in each case, it is necessary to include effects that we haven’t explained (called Wilson lines)
to break the gauge groups to SO(16) SO(16), which is a common subgroup of SO(32) and
E
8
E
8
.
4 Lecture 4: From Superstrings to M Theory
Superstring theory is currently undergoing a period of rapid development in which important
advances in understanding are being achieved. The focus in this lecture will be on explaining
why there can be an eleven-dimensional vacuum, even though there are only ten dimensions
in perturbative superstring theory. The nonperturbative extension of superstring theory that
allows for an eleventh dimension has been named M theory. The letter M is intended to be
32
flexible in its interpretation. It could stand for magic, mystery, or meta to reflect our current
state of incomplete understanding. Those who think that two-dimensional supermembranes
(the M2-brane) are fundamental may regard M as standing for membrane. An approach
called Matrix theory is another possibility. And, of course, some view M theory as the
mother of all theories.
In the first superstring revolution we identified five distinct superstring theories, each in
ten dimensions. Three of them, the type I theory and the two heterotic theories, have ^ = 1
supersymmetry in the ten-dimensional sense. Since the minimal 10d spinor is simultaneously
Majorana and Weyl, this corresponds to 16 conserved supercharges. The other two theories,
called type IIA and type IIB, have ^ = 2 supersymmetry (32 supercharges). In the IIA
case the two spinors have opposite handedness so that the spectrum is left-right symmetric
(nonchiral). In the IIB case the two spinors have the same handedness and the spectrum is
chiral.
In each of these five superstring theories it became clear, and was largely proved, that
there are consistent perturbation expansions of on-shell scattering amplitudes. In four of the
five cases (heterotic and type II) the fundamental strings are oriented and unbreakable. As
a result, these theories have particularly simple perturbation expansions. Specifically, there
is a unique Feynman diagram at each order of the loop expansion. The Feynman diagrams
depict string world sheets, and therefore they are two-dimensional surfaces. For these four
theories the unique L-loop diagram is a closed orientable genus-L Riemann surface, which
can be visualized as a sphere with L handles. External (incoming or outgoing) particles
are represented by N points (or “punctures”) on the Riemann surface. A given diagram
represents a well-defined integral of dimension 6L+2N −6. This integral has no ultraviolet
divergences, even though the spectrum contains states of arbitrarily high spin (including a
massless graviton). From the viewpoint of point-particle contributions, string and super-
symmetry properties are responsible for incredible cancellations. Type I superstrings are
unoriented and breakable. As a result, the perturbation expansion is more complicated for
this theory, and various world-sheet diagrams at a given order have to be combined properly
to cancel divergences and anomalies .
An important discovery that was made between the two superstring revolutions is T
duality. As we explained earlier, this duality relates two string theories when one spatial
dimension forms a circle (denoted S
1
). Then the ten-dimensional geometry is R
9
S
1
. T
duality identifies this string compactification with one of a second string theory also on
R
9
S
1
. If the radii of the circles in the two cases are denoted R
1
and R
2
, then
R
1
R
2
= α

. (93)
33
Here α

=
2
s
is the universal Regge slope parameter, and
s
is the fundamental string length
scale (for both string theories). Note that T duality implies that shrinking the circle to zero
in one theory corresponds to decompactification of the dual theory.
The type IIA and IIB theories are T dual, so compactifying the nonchiral IIA theory on
a circle of radius R and letting R → 0 gives the chiral IIB theory in ten dimensions! This
means, in particular, that they should not be regarded as distinct theories. The radius R
is actually the vacuum value of a scalar field, which arises as an internal component of the
10d metric tensor. Thus the type IIA and type IIB theories in 10d are two limiting points
in a continuous moduli space of quantum vacua. The two heterotic theories are also T dual,
though there are additional technical details in this case. T duality applied to the type I
theory gives a dual description, which is sometimes called type I

or IA.
4.1 M Theory
In the 1970s and 1980s various supersymmetry and supergravity theories were constructed.
In particular, supersymmetry representation theory showed that the largest possible space-
time dimension for a supergravity theory (with spins ≤ 2) is eleven. Eleven-dimensional
supergravity, which has 32 conserved supercharges, was constructed in 1978 by Cremmer,
Julia, and Scherk [18]. It has three kinds of fields—the graviton field (with 44 polariza-
tions), the gravitino field (with 128 polarizations), and a three-index gauge field C
µνρ
(with
84 polarizations). These massless particles are referred to collectively as the supergraviton.
11d supergravity is nonrenormalizable, and thus it cannot be a fundamental theory. How-
ever, we now believe that it is a low-energy effective description of M theory, which is a
well-defined quantum theory. This means, in particular, that higher-dimension terms in the
effective action for the supergravity fields have uniquely determined coefficients within the
M theory setting, even though they are formally infinite (and hence undetermined) within
the supergravity context.
Intriguing connections between type IIA string theory and 11d supergravity have been
known for a long time, but the precise relationship was only explained in 1995. The field
equations of 11d supergravity admit a solution that describes a supermembrane. In other
words, this solution has the property that the energy density is concentrated on a two-
dimensional surface. A 3d world-volume description of the dynamics of this supermembrane,
quite analogous to the 2d world volume actions of superstrings (in the GS formalism [19]),
was constructed by Bergshoeff, Sezgin, and Townsend in 1987 [20]. The authors suggested
that a consistent 11d quantum theory might be defined in terms of this membrane, in anal-
ogy to string theories in ten dimensions. (Most experts now believe that M theory cannot
be defined as a supermembrane theory.) Another striking result was that a suitable dimen-
34
sional reduction of this supermembrane gives the (previously known) type IIA superstring
world-volume action. For many years these facts remained unexplained curiosities until they
were reconsidered by Townsend [21] and by Witten [22]. The conclusion is that type IIA
superstring theory really does have a circular 11th dimension in addition to the previously
known ten spacetime dimensions. This fact was not recognized earlier because the appear-
ance of the 11th dimension is a nonperturbative phenomenon, not visible in perturbation
theory.
To explain the relation between M theory and type IIA string theory, a good approach
is to identify the parameters that characterize each of them and to explain how they are
related. Eleven-dimensional supergravity (and hence M theory, too) has no dimensionless
parameters. The only parameter is the 11d Newton constant, which raised to a suitable
power (−1/9), gives the 11d Planck mass m
p
. When M theory is compactified on a circle
(so that the spacetime geometry is R
10
S
1
) another parameter is the radius R of the circle.
Now consider the parameters of type IIA superstring theory. They are the string mass scale
m
s
, introduced earlier, and the dimensionless string coupling constant g
s
.
We can identify compactified M theory with type IIA superstring theory by making the
following correspondences:
m
2
s
= 2πRm
3
p
(94)
g
s
= 2πRm
s
. (95)
Using these one can derive g
s
= (2πRm
p
)
3/2
and m
s
= g
1/3
s
m
p
. The latter implies that the
11d Planck length is shorter than the string length scale at weak coupling by a factor of
(g
s
)
1/3
.
Conventional string perturbation theory is an expansion in powers of g
s
at fixed m
s
.
Equation (95) shows that this is equivalent to an expansion about R = 0. In particular, the
strong coupling limit of type IIA superstring theory corresponds to decompactification of
the eleventh dimension, so in a sense M theory is type IIA string theory at infinite coupling.
(The E
8
E
8
heterotic string theory is also eleven-dimensional at strong coupling.) This
explains why the eleventh dimension was not discovered in studies of string perturbation
theory.
These relations encode some interesting facts. For one thing, the fundamental IIA string
actually is an M2-brane of M theory with one of its dimensions wrapped around the circular
spatial dimension. Denoting the string and membrane tensions (energy per unit volume) by
T
F1
and T
M2
, one deduces that
T
F1
= 2πRT
M2
. (96)
35
However, T
F1
= 2πm
2
s
and T
M2
= 2πm
3
p
. Combining these relations gives eq. (94).
4.2 Type II p-branes
Type II superstring theories contain a variety of p-brane solutions that preserve half of the 32
supersymmetries. These are solutions in which the energy is concentrated on a p-dimensional
spatial hypersurface. (The world volume has p+1 dimensions.) The corresponding solutions
of supergravity theories were constructed in 1991 by Horowitz and Strominger [23]. A large
class of these p-brane excitations are called D-branes (or Dp-branes when we want to specify
the dimension), whose tensions are given by
T
Dp
= 2πm
p+1
s
/g
s
. (97)
This dependence on the coupling constant is one of the characteristic features of a D-brane.
Another characteristic feature of D-branes is that they carry a charge that couples to a gauge
field in the RR sector of the theory [24]. The particular RR gauge fields that occur imply
that p takes even values in the IIA theory and odd values in the IIB theory.
In particular, the D2-brane of the type IIA theory corresponds to the supermembrane of
M theory, but now in a background geometry in which one of the transverse dimensions is a
circle. The tensions check, because (using eqs. (94) and (95))
T
D2
= 2πm
3
s
/g
s
= 2πm
3
p
= T
M2
. (98)
The mass of the first Kaluza–Klein excitation of the 11d supergraviton is 1/R. Using eq. (95),
we see that this can be identified with the D0-brane. More identifications of this type arise
when we consider the magnetic dual of the M theory supermembrane, which is a five-brane,
called the M5-brane.
2
Its tension is T
M5
= 2πm
6
p
. Wrapping one of its dimensions around
the circle gives the D4-brane, with tension
T
D4
= 2πRT
M5
= 2πm
5
s
/g
s
. (99)
If, on the other hand, the M5-frame is not wrapped around the circle, one obtains the
NS5-brane of the IIA theory with tension
T
NS5
= T
M5
= 2πm
6
s
/g
2
s
. (100)
To summarize, type IIA superstring theory is M theory compactified on a circle of radius
R = g
s

s
. M theory is believed to be a well-defined quantum theory in 11d, which is approx-
imated at low energy by 11d supergravity. Its excitations are the massless supergraviton,
2
In general, the magnetic dual of a p-brane in d dimensions is a (d − p − 4)-brane.
36
the M2-brane, and the M5-brane. These account both for the (perturbative) fundamental
string of the IIA theory and for many of its nonperturbative excitations. The identities that
we have presented here are exact, because they are protected by supersymmetry.
4.3 Type IIB Superstring Theory
Type IIB superstring theory, which is the other maximally supersymmetric string theory
with 32 conserved supercharges, is also 10-dimensional, but unlike the IIA theory its two
supercharges have the same handedness. At low-energy, type IIB superstring theory is
approximated by type IIB supergravity, just as 11d supergravity approximates M theory. In
each case the supergravity theory is only well-defined as a classical field theory, but still it can
teach us a lot. For example, it can be used to construct p-brane solutions and compute their
tensions. Even though such solutions are only approximate, supersymmetry considerations
ensure that the tensions, which are related to the kinds of conserved charges the p-branes
carry, are exact. Since the IIB spectrum contains massless chiral fields, one should check
whether there are anomalies that break the gauge invariances—general coordinate invariance,
local Lorentz invariance, and local supersymmetry. In fact, the UV finiteness of the string
theory Feynman diagrams ensures that all anomalies must cancel, as was verified from a field
theory viewpoint by Alvarez-Gaum´e and Witten [15].
Type IIB superstring theory or supergravity contains two scalar fields, the dilation φ and
an axion χ, which are conveniently combined in a complex field
ρ = χ +ie
−φ
. (101)
The supergravity approximation has an SL(2, R) symmetry that transforms this field non-
linearly:
ρ →
aρ +b
cρ +d
, (102)
where a, b, c, d are real numbers satisfying ad − bc = 1. However, in the quantum string
theory this symmetry is broken to the discrete subgroup SL(2, Z) [25], which means that
a, b, c, d are restricted to be integers. Defining the vacuum value of the ρ field to be
'ρ` =
θ

+
i
g
s
, (103)
the SL(2, Z) symmetry transformation ρ → ρ + 1 implies that θ is an angular coordinate.
Moreover, in the special case θ = 0, the symmetry transformation ρ →−1/ρ takes g
s
→1/g
s
.
This symmetry, called S duality, implies that coupling constant g
s
is equivalent to coupling
constant 1/g
s
, so that, in the case of Type II superstring theory, the weak coupling expansion
37
and the strong coupling expansion are identical! (An analogous S-duality transformation
relates the Type I superstring theory to the SO(32) heterotic string theory.)
Recall that the type IIA and type IIB superstring theories are T dual, meaning that if
they are compactified on circles of radii R
A
and R
B
one obtains equivalent theories for the
identification R
A
R
B
=
2
s
. Moreover, we saw that the type IIA theory is actually M theory
compactified on a circle. The latter fact encodes nonperturbative information. It turns out
to be very useful to combine these two facts and to consider the duality between M theory
compactified on a torus (R
9
T
2
) and type IIB superstring theory compactified on a circle
(R
9
S
1
).
A torus can be described as the complex plane modded out by the equivalence relations
z ∼ z + w
1
and z ∼ z + w
2
. Up to conformal equivalence, the periods w
1
and w
2
can be
replaced by 1 and τ, with Im τ > 0. In this characterization τ and τ

= (aτ + b)/(cτ + d),
where a, b, c, d are integers satisfying ad − bc = 1, describe equivalent tori. Thus a torus is
characterized by a modular parameter τ and an SL(2, Z) modular group. The natural, and
correct, conjecture at this point is that one should identify the modular parameter τ of the
M theory torus with the parameter ρ that characterizes the type IIB vacuum [26, 27]. Then
the duality of M theory and type IIB superstring theory gives a geometrical explanation of
the nonperturbative S duality symmetry of the IIB theory: the transformation ρ → −1/ρ,
which sends g
s
→1/g
s
in the IIB theory, corresponds to interchanging the two cycles of the
torus in the M theory description. To complete the story, we should relate the area of the M
theory torus (A
M
) to the radius of the IIB theory circle (R
B
). This is a simple consequence
of formulas given above
m
3
p
A
M
= (2πR
B
)
−1
. (104)
Thus the limit R
B
→0, at fixed ρ, corresponds to decompactification of the M theory torus,
while preserving its shape. Conversely, the limit A
M
→0 corresponds to decompactification
of the IIB theory circle. The duality can be explored further by matching the various p-branes
in 9 dimensions that can be obtained from either the M theory or the IIB theory viewpoints.
When this is done, one finds that everything matches nicely and that one deduces various
relations among tensions [28].
Another interesting fact about the IIB theory is that it contains an infinite family of
strings labeled by a pair of integers (p, q) with no common divisor [26]. The (1, 0) string
can be identified as the fundamental IIB string, while the (0, 1) string is the D-string. From
this viewpoint, a (p, q) string can be regarded as a bound state of p fundamental strings
and q D-strings [29]. These strings have a very simple interpretation in the dual M theory
description. They correspond to an M2-brane with one of its cycles wrapped around a (p, q)
38
cycle of the torus. The minimal length of such a cycle is proportional to [p + qτ[, and thus
(using τ = ρ) one finds that the tension of a (p, q) string is given by
T
p,q
= 2π[p +qρ[m
2
s
. (105)
Imagine that you lived in the 9-dimensional world that is described equivalently as M
theory compactified on a torus or as the type IIB superstring theory compactified on a
circle. Suppose, moreover, you had very high energy accelerators with which you were going
to determine the “true” dimension of spacetime. Would you conclude that 10 or 11 is the
correct answer? If either A
M
or R
B
was very large in Planck units there would be a natural
choice, of course. But how could you decide otherwise? The answer is that either viewpoint
is equally valid. What determines which choice you make is which of the massless fields you
regard as “internal” components of the metric tensor and which ones you regards as matter
fields. Fields that are metric components in one description correspond to matter fields in
the dual one.
4.4 The D3-Brane and N = 4 Gauge Theory
D-branes have a number of special properties, which make them especially interesting. By
definition, they are branes on which strings can end—D stands for Dirichlet boundary con-
ditions. The end of a string carries a charge, and the D-brane world-volume theory contains
a U(1) gauge field that carries the associated flux. When n Dp-branes are coincident, or
parallel and nearly coincident, the associated (p + 1)-dimensional world-volume theory is a
U(n) gauge theory [29]. The n
2
gauge bosons A
ij
µ
and their supersymmetry partners arise
as the ground states of oriented strings running from the ith Dp-brane to the jth Dp-brane.
The diagonal elements, belonging to the Cartan subalgebra, are massless. The field A
ij
µ
with
i = j has a mass proportional to the separation of the ith and jth branes.
The U(n) gauge theory associated with a stack of n Dp-branes has maximal supersym-
metry (16 supercharges). The low-energy effective theory, when the brane separations are
small compared to the string scale, is supersymmetric Yang–Mills theory. These theories can
be constructed by dimensional reduction of 10d supersymmetric U(n) gauge theory to p + 1
dimensions. A case of particular interest, which we shall now focus on, is p = 3. A stack of n
D3-branes in type IIB superstring theory has a decoupled ^ = 4, d = 4 U(n) gauge theory
associated to it. This gauge theory has a number of special features. For one thing, due
to boson–fermion cancellations, there are no UV divergences at any order of perturbation
theory. The beta function β(g) is identically zero, which implies that the theory is scale
invariant. In fact, ^ = 4, d = 4 gauge theories are conformally invariant. The conformal
39
invariance combines with the supersymmetry to give a superconformal symmetry, which con-
tains 32 fermionic generators. Another important property of ^ = 4, d = 4 gauge theories is
an electric-magnetic duality, which extends to an SL(2, Z) group of dualities. Now consider
the ^ = 4 U(n) gauge theory associated to a stack of n D3-branes in type IIB superstring
theory. There is an obvious identification, that turns out to be correct. Namely, the SL(2, Z)
duality of the gauge theory is induced from that of the ambient type IIB superstring theory.
The D3-branes themselves are invariant under SL(2, Z) transformations.
As we have said, a fundamental (1, 0) string can end on a D3-brane. But by applying a
suitable SL(2, Z) transformation, this configuration is transformed to one in which a (p, q)
string ends on the D3-brane. The charge on the end of this string describes a dyon with
electric charge p and magnetic charge q, with respect to the appropriate gauge field. More
generally, for a stack of n D3-branes, any pair can be connected by a (p, q) string. The mass
is proportional to the length of the string times its tension, which we saw is proportional to
[p+qρ[. In this way one sees that the electrically charged particles, described by fundamental
fields, belong to infinite SL(2, Z) multiplets. The other states are nonperturbative excita-
tions of the gauge theory. The field configurations that describe them preserve half of the
supersymmetry. As a result their masses are given exactly by the considerations described
above. An interesting question, whose answer was unknown until recently, is whether ^ = 4
gauge theories in four dimensions also admit nonperturbative excitations that preserve 1/4
of the supersymmetry. The answer turns out to be that they do, but only if n ≥ 3. This
result has a nice dual description in terms of three-string junctions [30].
4.5 Conclusion
In this lecture we have described some of the interesting advances in understanding super-
string theory that have taken place in the past few years. The emphasis has been on the
nonperturbative appearance of an eleventh dimension in type IIA superstring theory, as well
as its implications when combined with superstring T dualities. In particular, we argued
that there should be a consistent quantum vacuum, whose low-energy effective description
is given by 11d supergravity.
What we have described makes a convincing self-consistent picture, but it does not con-
stitute a complete formulation of M theory. In the past several years there have been some
major advances in that direction, which we will briefly mention here. The first, which goes by
the name of Matrix Theory, bases a formulation of M theory in flat 11d spacetime in terms
of the supersymmetric quantum mechanics of N D0-branes in the large N limit. Matrix
Theory has passed all tests that have been carried out, some of which are very nontrivial.
The construction has a nice generalization to describe compactification of M theory on a
40
torus T
n
. However, it does not seem to be useful for n > 5, and other compactification
manifolds are (at best) awkward to handle. Another shortcoming of this approach is that it
treats the eleventh dimension differently from the other ones.
Another proposal relating superstring and M theory backgrounds to large N limits of
certain field theories has been put forward by Maldacena in 1997 [31] and made more precise
by Gubser, Klebanov, and Polyakov [32], and by Witten [33] in 1998. (For a review of this
subject, see [34].) In this approach, there is a conjectured duality (i.e., equivalence) between
a conformally invariant field theory (CFT) in d dimensions and type IIB superstring theory
or M theory on an Anti-de-Sitter space (AdS) in d + 1 dimensions. The remaining 9 −d or
10 −d dimensions form a compact space, the simplest cases being spheres. Three examples
with unbroken supersymmetry are AdS
5
S
5
, AdS
4
S
7
, and AdS
7
S
4
. This approach is
sometimes referred to as AdS/CFT duality. This is an extremely active and very promising
subject. It has already taught us a great deal about the large N behavior of various gauge
theories. As usual, the easiest theories to study are ones with a lot of supersymmetry, but it
appears that in this approach supersymmetry breaking is more accessible than in previous
ones. For example, it might someday be possible to construct the QCD string in terms of
a dual AdS gravity theory, and use it to carry out numerical calculations of the hadron
spectrum. Indeed, there have already been some preliminary steps in this direction.
Despite all of the successes that have been achieved in advancing our understanding
of superstring theory and M theory, there clearly is still a long way to go. In particular,
despite much effort and several imaginative proposals, we still do not have a convincing
mechanism for ensuring the vanishing (or extreme smallness) of the cosmological constant
for nonsupersymmetric vacua. Superstring theory is a field with very ambitious goals. The
remarkable fact is that they still seem to be realistic. However, it may take a few more
revolutions before they are attained.
References
[1] M.B. Green, J.H. Schwarz, and E. Witten, Superstring Theory, in 2 vols., Cambridge
Univ. Press, 1987.
[2] J. Polchinski, String Theory, in 2 vols., Cambridge Univ. Press, 1998.
[3] J. Scherk and J. H. Schwarz, Nucl. Phys. B81 (1974) 118.
[4] T. Yoneya, Prog. Theor. Phys. 51 (1974) 1907.
41
[5] P. Candelas, G.T. Horowitz, A. Strominger, and E. Witten, Nucl. Phys. B258 (1985)
46.
[6] Y. Nambu, Notes prepared for the Copenhagen High Energy Symposium (1970).
[7] T. Goto, Prog. Theor. Phys. 46 (1971) 1560.
[8] A. M. Polyakov, Phys. Lett. 103B (1981) 207.
[9] M. Virasoro, Phys. Rev. D1 (1970) 2933.
[10] G. Veneziano, Nuovo Cim. 57A (1968) 190.
[11] P. Ramond, Phys. Rev. D3 (1971) 2415.
[12] A. Neveu and J. H. Schwarz, Nucl. Phys. B31 (1971) 86.
[13] M. B. Green and J. H. Schwarz, Nucl. Phys. B181 (1981) 502; Nucl. Phys. bf B198
(1982) 252; Phys. Lett. 109B (1982) 444.
[14] F. Gliozzi, J. Scherk, and D. Olive, Phys. Lett. 65B (1976) 282.
[15] L. Alvarez-Gaum´e and E. Witten, Nucl. Phys. B234 (1983) 269.
[16] M.B. Green and J.H. Schwarz, Phys. Lett. 149B (1984) 117.
[17] D.J. Gross, J.A. Harvey, E. Martinec, and R. Rohm, Phys. Rev. Lett. 54 (1985) 502.
[18] E. Cremmer, B. Julia, and J. Scherk, Phys. Lett. 76B (1978) 409.
[19] M.B. Green and J.H. Schwarz, Phys. Lett. 136B (1984) 367.
[20] E. Bergshoeff, E. Sezgin, and P.K. Townsend, Phys. Lett. B189 (1987) 75.
[21] P.K. Townsend, Phys. Lett. B350 (1995) 184, hep-th/9501068.
[22] E. Witten, Nucl. Phys. B443 (1995) 85, hep-th/9503124.
[23] G.T. Horowitz and A. Strominger, Nucl. Phys. B360 (1991) 197.
[24] J. Polchinski, Phys. Rev. Lett. 75 (1995) 4724, hep-th/9510017.
[25] C. Hull and P. Townsend, Nucl. Phys. B438 (1995) 109, hep-th/9410167.
[26] J.H. Schwarz, Phys. Lett. B360 (1995) 13, Erratum: Phys. Lett. B364 (1995) 252,
hep-th/9508143.
42
[27] P.S. Aspinwall, Nucl. Phys. Proc. Suppl. 46 (1996) 30, hep-th/9508154.
[28] J.H. Schwarz, Phys. Lett. B367 (1996) 97, hep-th/9510086.
[29] E. Witten, Nucl. Phys. B460 (1996) 335, hep-th/9510135.
[30] O. Bergman, Nucl. Phys. B525 (1998) 104, hep-th/9712211.
[31] J. Maldacena, Adv. Theor. Phys. 2 (1998) 231, hep-th/9711200.
[32] S.S. Gubser, I.R. Klebanov, and A.M. Polyakov, Phys. Lett. B428 (1998) 105, hep-
th/9802109.
[33] E. Witten, Adv. Theor. Math. Phys. 2 (1998) 253, hep-th/9802150.
[34] O. Aharony, S.S. Gubser, J. Maldacena, H. Ooguri, and Y. Oz, Phys. Rept. 323 (2000)
183.
43

Contents
1 Lecture 1: Overview and Motivation 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 Supersymmetry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Basic Ideas of String Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . A Brief History of String Theory . . . . . . . . . . . . . . . . . . . . . . . . Compactification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Perturbation Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Second Superstring Revolution . . . . . . . . . . . . . . . . . . . . . . . The Origins of Gauge Symmetry . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 4 5 6 7 8 8 10 11 12 12 13 15 17 18 21 22 23 23 24 25 27 29 30 31 31 32 34 36 37 39 40

2 Lecture 2: String Theory Basics 2.1 World-Line Description of a Point Particle . . . . . . . . . . . . . . . . . . . 2.2 2.3 2.4 2.5 2.6 2.7 2.8 World-Volume Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Boundary Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Quantization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Free String Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Number of Physical States . . . . . . . . . . . . . . . . . . . . . . . . . The Structure of String Perturbation Theory . . . . . . . . . . . . . . . . . . Recapitulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3 Lecture 3: Superstrings 3.1 3.2 3.3 3.4 3.5 3.6 3.7 The Gauge-Fixed Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The R and NS Sectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The GSO Projection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Type II Superstrings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Anomalies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Heterotic Strings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . T Duality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4 Lecture 4: From Superstrings to M Theory 4.1 4.2 4.3 4.4 4.5 M Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Type II p-branes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Type IIB Superstring Theory . . . . . . . . . . . . . . . . . . . . . . . . . . The D3-Brane and N = 4 Gauge Theory . . . . . . . . . . . . . . . . . . . .

Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

Introduction
Tom Ferbel has presented me with a large challenge: explain string theory to an audience of graduate students in experimental high energy physics. The allotted time is four 75-minute lectures. This should be possible, if the goals are realistic. One goal is to give a general sense of what the subject is about, and why so many theoretical physicists are enthusiastic about it. Perhaps you should regard these lectures as a cultural experience providing a window into the world of abstract theoretical physics. Don’t worry if you miss some of the technical details in the second and third lectures. There is only one message in these lectures that is important for experimental research: low-energy supersymmetry is very well motivated theoretically, and it warrants the intense effort that is being made to devise ways of observing it. There are other facts that are nice to know, however. For example, consistency of quantum theory and gravity is a severe restriction, with farreaching consequences. As will be explained, string theory requires supersymmetry, and therefore string theorists were among the first to discover it. Supersymmetric string theories are called superstring theories. At one time there seemed to be five distinct superstring theories, but it was eventually realized that each of them is actually a special limiting case of a completely unique underlying theory. This theory is not yet fully formulated, and when it is, we might decide that a new name is appropriate. Be that as it may, it is clear that we are exploring an extraordinarily rich structure with many deep connections to various branches of fundamental mathematics and theoretical physics. Whatever the ultimate status of this theory may be, it is clear that these studies have already been a richly rewarding experience. To fully appreciate the mathematical edifice underlying superstring theory requires an investment of time and effort. Many theorists who make this investment really become hooked by it, and then there is no turning back. Well, hooking you in this way is not my goal, since you are engaged in other important activities; but hopefully these lectures will convey an idea of why many theorists find the subject so enticing. For those who wish to study the subject in more detail, there are two standard textbook presentations [1, 2]. The plan of these lectures is as follows: The first lecture will consist of a general nontechnical overview of the subject. It is essentially the current version of my physics colloquium lecture. It will describe some of the basic concepts and issues without technical details. If successful, it will get you sufficiently interested in the subject that you are willing to sit through some of the basic nitty-gritty analysis that explains what we mean by a relativistic string, and how its normal modes are analyzed. Lecture 2 will present the analysis for the bosonic string theory. This is an unrealistic theory, with bosons only, but its study is a pedagogically useful first step. It involves many, but not all, of the issues that arise

2

for superstrings. In lecture 3 the extension to incorporate fermions and supersymmetry is described. There are two basic formalisms for doing this (called RNS and GS). Due to time limitations, only the first of these will be presented here. The final lecture will survey some of the more recent developments in the field. These include various nonperturbative dualities, the existence of an 11-dimensional limit (called M-theory) and the existence of extended objects of various dimensionalities, called p-branes. As will be explained, a particular class of p-branes, called D-branes, plays an especially important role in modern research.

1

Lecture 1: Overview and Motivation

Many of the major developments in fundamental physics of the past century arose from identifying and overcoming contradictions between existing ideas. For example, the incompatibility of Maxwell’s equations and Galilean invariance led Einstein to propose the special theory of relativity. Similarly, the inconsistency of special relativity with Newtonian gravity led him to develop the general theory of relativity. More recently, the reconciliation of special relativity with quantum mechanics led to the development of quantum field theory. We are now facing another crisis of the same character. Namely, general relativity appears to be incompatible with quantum field theory. Any straightforward attempt to “quantize” general relativity leads to a nonrenormalizable theory. In my opinion, this means that the theory is inconsistent and needs to be modified at short distances or high energies. The way that string theory does this is to give up one of the basic assumptions of quantum field theory, the assumption that elementary particles are mathematical points, and instead to develop a quantum field theory of one-dimensional extended objects, called strings, There are very few consistent theories of this type, but superstring theory shows great promise as a unified quantum theory of all fundamental forces including gravity. There is no realistic string theory of elementary particles that could serve as a new standard model, since there is much that is not yet understood. But that, together with a deeper understanding of cosmology, is the goal. This is still a work in progress. Even though string theory is not yet fully formulated, and we cannot yet give a detailed description of how the standard model of elementary particles should emerge at low energies, there are some general features of the theory that can be identified. These are features that seem to be quite generic irrespective of how various details are resolved. The first, and perhaps most important, is that general relativity is necessarily incorporated in the theory. It gets modified at very short distances/high energies but at ordinary distance and energies it is present in exactly the form proposed by Einstein. This is significant, because it is arising within the framework of a consistent quantum theory. Ordinary quantum field theory does 3

” This is an electrically neutral fermion that is a quantummechanical mixture of the partners of the photon. since it is an excellent dark matter candidate. since it will be discussed in detail by other lecturers. It is of considerable interest. We do not understand why the specific SU (3) × SU (2) × U (1) gauge theory of the standard model should be preferred. and it is very hard to find consistent solutions (quantum vacua) that do not preserve at least a portion of this supersymmetry. It also implies that the lightest supersymmetry particle (or LSP) should be absolutely stable. whereas their superpartners have odd R-parity. In most versions of phenomenological supersymmetry there is a multiplicatively conserved quantum number called R-parity. as we have just said. This implies that the superparticles must be pair-produced in particle collisions. The mathematical consistency of string theory depends crucially on supersymmetry. Such an LSP would interact very weakly. There will only be a few general remarks. First. the discussion here will be very brief. 4 . but (anomaly-free) theories of this general type do arise naturally at ordinary energies. There is even a chance that Fermilab Tevatron experiments could find superparticles earlier than that. and neutral Higgs particles. that has not yet been discovered. more or less like a neutrino. which will begin operating in the middle part of this decade. supersymmetry is the major prediction of string theory that could appear at accessible energies.not allow gravity to exist. This means that some of these superpartners should be observable at the CERN Large Hadron Collider (LHC). A variety of arguments. It is not known with certainty which particle is the LSP. but one popular guess is that it is a “neutralino. There are three unrelated arguments that point to the same mass range for superparticles.1 Supersymmetry Even though supersymmetry is a very important part of the story. The third general feature of string theory solutions is supersymmetry. The symmetry implies that all known elementary particles should have partner particles. It is a generic feature of string theory that has not yet been discovered experimentally. suggest that the characteristic energy scale associated to supersymmetry breaking should be related to the electroweak scale. Current experiments might not have sufficient detector volume to compensate for the exceedingly small cross sections. 1. not specific to string theory. Z 0 . Searches for dark matter particles called WIMPS (weakly interacting massive particles) could discover the LSP some day. in other words in the range 100 GeV – 1 TeV. All known particles have even R-parity. string theory requires it! The second general fact is that Yang–Mills gauge theories of the sort that comprise the standard model naturally arise in string theory. whose masses are in this general range. This prediction of string theory differs from the other two (general relativity and gauge theories) in that it really is a prediction.

and G (Newton’s gravitational constant). However. If one accepts the notion that the standard model gauge group is embedded in a larger gauge group such as SU (5) or SO(10). then the couplings do unify at an energy of about 2 × 1016 GeV. The way to prevent this is to extend the standard model to a supersymmetric standard model and to have the supersymmetry be broken at a scale comparable to the Higgs mass. in order to be sure to be quoted: discovery of supersymmetry would be more profound than life on Mars. Strings have a characteristic length scale. Given the spectrum of particles. The third argument that gives an estimate of the susy-breaking scale is grand unification. whereas in perturbative string theory the fundamental objects are one-dimensional loops (of zero thickness). we cannot be certain that this picture is correct until it is demonstrated experimentally. one can compute the evolution of the couplings as a function of energy using renormalization group equations. A second argument is based on the famous hierarchy problem. a neutralino LSP as an important component of dark matter. which can be estimated by dimensional analysis.The one we have just been discussing. This is the fact that standard model radiative corrections tend to renormalize the Higgs mass to a very high scale. There is other support for this picture. which is broken at a high mass scale. and the correct description of TeV scale physics is based on something entirely different. if one also includes all the supersymmetry particles required by the minimal supersymmetric extension of the agreement to take place. and a number of other details. standard model. From these one can form a length. As I once told a newspaper reporter. 5 . then the three standard model coupling constants should unify at that mass scale. The precise number depends on the mixture that comprises the LSP. The only way we can decide for sure is by doing the experiments. For this 1. what their density is. and hence to the electroweak scale. requires a mass of order 100 GeV. (Planck’s constant divided by 2π). One finds that if one only includes the standard model particles this unification fails quite badly.2 Basic Ideas of String Theory In conventional quantum field theory the elementary particles are mathematical points. it is necessary that the masses of the superparticles are less than a few TeV. Since string theory is a relativistic quantum theory that includes gravity it must involve the fundamental constants c (the speed of light). One could suppose that all this is a giant coincidence. Despite all these indications. such as the ease with which supersymmetric grand unification explains the masses of the top and bottom quarks and electroweak symmetry breaking.

The inclusion of fermions led to the discovery of supersymmetric strings — or superstrings — in 1971. This difference from point-particle theories has two important implications. which depict possible configurations of world lines. Similarly. it was shown by Scherk and me [3]. The existence of interaction is a consequence of world-sheet topology rather than a local singularity on the world sheet. interactions correspond to junctions of world lines.3 A Brief History of String Theory String theory arose in the late 1960’s out of an attempt to describe the strong nuclear force. There are no arbitrary interactions to be chosen. Also. In quantum field theory. This is the string counterpart of the world line for a point particle.2 × 1019 GeV/c2 . The subject fell out of favor around 1973 with the development of QCD. In 1974. string theory amplitudes have no ultraviolet divergences. (1) Similarly. contributions to amplitudes are associated to Feynman diagrams. Second.known as the Planck length p = G c3 3/2 = 1. A particularly significant fact is that these world sheets are generically smooth. which was quickly recognized to be the correct theory of strong interactions. which is called the world sheet of the string. the Planck mass is mp = c G 1/2 = 1. analyzed in perturbation theory. From the viewpoint of string theory. strings can be accurately approximated by point particles. that this particle interacts like a 6 . the ultraviolet divergences of point-particle theories can be traced to the fact that interactions are associated to world-line junctions at specific spacetime points. As a string evolves in time it sweeps out a two-dimensional surface in spacetime. Among the massless string states there is one that has spin two. Thus. string theory perturbation theory involves string world sheets of various topologies. 1. this explains why quantum field theory has been so successful. First. at such energies. neither of which are appropriate for a hadron theory. string theories had various unrealistic features such as extra dimensions and massless particles. and independently by Yoneya [4]. In particular. in string theory the structure of interactions is uniquely determined by the free theory. (2) Experiments at energies far below the Planck energy cannot resolve distances as short as the Planck length. Because the string world sheet is smooth.6 × 10−33 cm.

Still. SO(32) heterotic. The natural first guess is that the size of this space should be comparable to the string scale and the Planck length. in particular. 1. In the “first superstring revolution. in a theory that incorporates general relativity. and that each of them requires spacetime supersymmetry in the ten dimensions (nine spatial dimensions plus time). Nowadays. the geometry of spacetime is determined dynamically. we tend to make a more sober appraisal that emphasizes all the arbitrariness that is involved. for suitable choices. Still. it is interesting that one can come quite close to realistic physics. rather than the size of hadrons (10−13 cm) as we had previously assumed. that the string length scale should be comparable to the Planck length. A particularly appealing possibility. type IIA.graviton. Since the equations must be satisfied. Thus. However. because there are very many different Calabi–Yau spaces. which is consistent with the equations. too small to have been observed. 7 . The theories. so the theory actually includes general relativity. and the things that don’t work exactly right.4 Compactification In the context of the original goal of string theory – to explain hadron physics – extra dimensions are unacceptable. People were very excited by the picture in 1985. one can arrange to end up with exactly three families. type IIB. is that it forms a type of space called a Calabi–Yau space [5]. This implied. in the context of the E8 × E8 heterotic string theory. it would not be surprising if some aspects of this picture survive as part of the story when we understand the right way to describe the real world. It is also interesting that the number of quark and lepton families that one obtains is determined by the topology of the Calabi–Yau space. there were a number of important developments (described later) that convinced a large segment of the theoretical physics community that this is a worthy area of research. This led us to propose that string theory should be used for unification rather than for hadrons. Calabi–Yau compactification. There is actually a lot of freedom. are called type I. Thus one could imagine that the theory admits consistent quantum solutions in which the six extra spatial dimensions form a compact space. and there are other arbitrary choices that can be made. which will be described later.” which took place in 1984–85. and E8 × E8 heterotic. the geometry of this six-dimensional space is not arbitrary. By the time the dust settled in 1985 we had learned that there are five distinct consistent string theories. can give a low-energy effective theory that closely resembles a supersymmetric extension of the standard model.

More specifically. Since this is quite small. such as computing the hadron spectrum. . The problem is that there are various non-perturbative contributions (such as instantons) that have the structure TN P ∼ e−(const. In the case of string theory the dimensionless string coupling constant. one computes (using Feynman diagrams) T (α) = T0 + αT1 + α2 T2 + . More importantly. For problems of the latter type. Another way of saying this is that there is a unique underlying theory.5 Perturbation Theory Until 1995 it was only understood how to formulate string theories in terms of perturbation expansions. perturbation theory works very well for QED. denoted gs . they can be numerically useful if the expansion parameter is small. nonperturbative methods of computation. These dualities were quickly recognized to have three major implications. they are asymptotic expansions with zero radius convergence.6 The Second Superstring Revolution Around 1995 some amazing and unexpected “dualities” were discovered that provided the first glimpses into nonperturbative features of string theory. So one needs nonperturbative methods to understand them. (4) In a theory such as QCD. This meant that. . such as lattice gauge theory. 1. For a physical quantity T (α). So it is unlikely that a realistic vacuum could be analyzed accurately using perturbation theory. and what we had been calling five theories are better viewed as perturbation expansions of this underlying theory about five different points (in the space of consistent quantum vacua). such as quantum electrodynamics. In QED the small parameter is the fine-structure constant α ∼ 1/137. there are regimes where perturbation theory is useful (due to asymptotic freedom) and other regimes where it is not. This was a profoundly satisfying 8 .1. they are all equivalent to one another. in a fundamental sense. since it allows one to compute physical quantities as power series expansions in the small parameter. Perturbation theory is useful in a quantum theory that has a small dimensionless coupling constant. There is no particular reason that this number should be small. these theories have many qualitative properties that are inherently nonperturbative. Nonetheless./α). . The dualities enabled us to relate all five of the superstring theories to one another. (3) It is the case generically in quantum field theory that expansions of this type are divergent. are required. is determined dynamically by the expectation value of a scalar field called the dilaton.

called p-branes. which is called M-theory. One type of duality is called S duality. which is why it was found first. in addition to properties of elementary particles. Classically. without any dimensionless parameters. this is how a particle physicist would say it. and so forth. type IIA and E8 × E8 heterotic. The third major discovery was that the underlying theory also has an eleven-dimensional solution. If these two theories are related by T duality this means that they 9 .realization. (5) Two of the superstring theories — type I and SO(32) heterotic — are related by S duality in this way. we will explain how the eleventh dimension arises. which goes by the name of T duality. in this language. Thanks to S duality. To avoid confusion. it is entirely possible that there are many consistent quantum vacua. If we hope to understand the origin and evolution of the universe. T duality can relate different compactifications of different theories.) Two string theories (let’s call them A and B) are related by S duality if one of them evaluated at strong coupling is equivalent to the other one evaluated at weak coupling. But. Thus. in addition to the fundamental strings. the strong-coupling behavior of each of these three theories is determined by a weak-coupling analysis. The remaining two theories. suppose theory A has a compact dimension that is a circle of radius RA and theory B has a compact dimension that is a circle of radius RB . was discovered several years earlier. fortunately. The letter p labels the number of spatial dimensions of the excitation. and this symmetry is unbroken if gs = 1. Thus they are absent from the perturbative theory. It is a particular solution (or quantum vacuum) that ultimately must describe nature. behave very differently at strong coupling. Specifically. for any physical quantity f . At least. since we really didn’t want five theories of nature. A second crucial discovery was that the theory admits a variety of nonperturbative excitations. a string is a 1-brane. it would be nice if we could also understand cosmological solutions. Later. (The choice of the letter S is a historical accident of no great significance. a point particle is a 0-brane. For example. it often continues to be valid even at strong coupling. it should be emphasized that even though the theory is unique. That there is a completely unique theory. They grow an eleventh dimension! Another astonishing duality. is the best outcome one could have hoped for. The reason that p-branes were not discovered in perturbation theory is that they have tension (or energy density) that diverges as g s → 0. the corresponding statement is that a unique equation can admit many solutions. The type IIB theory is self-dual. It can be understood in perturbation theory. one has fA (gs ) = fB (1/gs ). Thus S duality is a symmetry of the IIB theory.

for example. is that all extra dimensions (of both types) have sizes of order 10−30 to 10−32 cm corresponding to an energy scale of 1016 − 1018 GeV. which support gauge fields. where M is Minkowski spacetime and K is a compact manifold. there can be two kinds of extra dimensions: compact dimensions along the brane and compact dimensions perpendicular to the brane. such as tori. Calabi–Yau spaces.or 11-dimensional spacetime but only on the (p + 1)-dimensional hypersurface defined by the D-branes. we will explain how this is possible. etc. This picture suggests that the world we observe might be a D-brane embedded in a higher-dimensional space. if The Yang–Mills gauge fields arise as components of the gravitational metric field with one direction along K and the other along M . This makes them inaccessible to direct observation. which in my opinion is still the best bet. Then. Here the idea is that a certain class of p-branes (called D-branes) have gauge fields that are restricted to their world volume. though their existence would have definite low-energy consequences. if the space K is an n-dimensional sphere. structure M × K. The traditional viewpoint.or 11-dimensional geometry has a product K has symmetries. it seems unlikely that a realistic K has any such symmetries. In such a scenario. The idea is to suppose that the 10. if it is CP n — which has 2n dimensions — it is SU (n + 1). This means that the gauge fields are not defined throughout the 10. A rather more promising way of achieving realistic gauge symmetries is via the brane approach. This has the amazing implication that when one of the circles becomes small the other one becomes large. these appear as gauge symmetries of the effective theory defined on M . the nonobservation of extra dimensions in tests of the standard model implies 10 .are equivalent provided that R A R B = ( s )2 . though it has been much generalized since then. one can and should ask “what are the experimental limits?” For compact dimensions along the brane. In a later lecture. and so forth. The basic Kaluza–Klein idea goes back to the 1920’s. Elegant as this may be. 1. we will focus on two basic possibilities: Kaluza–Klein symmetries and brane symmetries. There are more complicated examples of the same phenomenon involving compact spaces that are more complicated than a circle. For example. Calabi–Yau spaces. do not have any. (6) where s is the fundamental string length scale. the symmetry group is SO(n + 1).7 The Origins of Gauge Symmetry There are a variety of mechanisms than can give rise to Yang–Mills type gauge symmetries in string theory. However. Here. K3. T duality relates the two type II theories and the two heterotic theories.

and the ultimate goal still seems a long way off. But we do not know how or why it is broken. which is very far from the truth. it is not yet clear how superstring theory will conspire to break supersymmetry at the TeV scale and still give a value for Λ that is much smaller than 10−60 . This is characterized by the cosmological constant. which is a physical quantity in a gravitational theory. Despite an enormous amount of effort and ingenuity. but if it is broken at the 1 TeV scale. which test the 1/R 2 structure of the Newton force law at short distances. 1. that would seem to suggest Λ ∼ 10−60 . which observationally appears to have a small positive value — so that the vacuum energy of the universe is comparable to the energy in matter. Experiments planned in the near future should extend the limit to about 100 microns. Obviously.a bound of about 1 TeV. For compact dimensions “perpendicular to the brane. It seems that whenever a breakthrough occurs. To convince you that there is a long way to go. anthropic. let us list some of the most important questions: • What is the theory? Even though a great deal is known about string theory and M theory. it seems that the optimal formulation of the underlying theory has not yet been found. No deviations have been observed to a distance of about 1 mm. we could argue that . or something else. The fact that the desired result is about the square of this might be a useful hint. It is not known whether the right approach to the answer is cosmological. In Planck units this is Λ = 0. so far. • Even though the underlying theory is unique. It might be based on principles that have not yet been formulated. We would very much like to formulate a theoretical principle (not based on observation) for choosing among these vacua. observation of any deviation from 1/R2 would be a major discovery. the best bounds come from Cavendish-type experiments. If supersymmetry were unbroken. probabilistic. Despite all this progress. • We are convinced that supersymmetry is present at high energies and probably at the electroweak scale. there are some very important and fundamental questions whose answers are unknown. there seem to be many consistent quantum vacua. 11 a tiny number (Λ ∼ 10−120 ). a host of new questions arise. too.” which only support excitations with gravitational strength forces. • A very crucial problem concerns the energy density of the vacuum.8 Conclusion This introductory lecture has sketched some of the remarkable successes that string theory has achieved over the past 30 years. There are many others that did not fit in this brief survey. The LHC should extend this to about 10 TeV.

This can be described by functions xµ (τ ) that describe how the world line. In terms of the embedding functions. the action can be rewritten in the form S = −m ˙ ˙ dτ −ηµν xµ xν . the Lorentz invariant line element is given by ds2 = −ηµν dxµ dxν . parameterized by τ . Since the first-quantized point of view may be less familiar to you than secondquantized field theory. 12 (10) . let us assume that the spacetime is flat Minkowski space with a Lorentz metric      ηµν =  −1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1   . (9) (8) This could be generalized to a curved spacetime by replacing ηµν by a metric gµν (x). In units = c = 1. is embedded in the spacetime. This means that we focus on understanding it from a world-sheet sum-over-histories point of view. xµ (t). For simplicity. We will describe string dynamics from a first-quantized point of view.2 Lecture 2: String Theory Basics In this lecture we will describe the world-sheet dynamics of the original bosonic string theory. It should be contrasted with “second quantized” string field theory which is based on field operators that create or destroy entire strings. As we will see this theory has various unrealistic and unsatisfactory properties. whose coordinates are denoted xµ .1 World-Line Description of a Point Particle A point particle sweeps out a trajectory (or world line) in spacetime. because it allows us to introduce many of the key concepts without simultaneously addressing the added complications associated with fermions and supersymmetry. but we will not do so here. Nonetheless it is a useful preliminary before describing supersymmetric strings. This approach is closely tied to perturbation theory analysis. the action for a particle of mass m is given by S = −m ds. 2. let us begin by reviewing how it can be used to describe a massive point particle.  (7) Then.

2 World-Volume Actions We can now generalize the analysis of the massive point particle to a p-brane of tension T p. τ Requiring this action to be stationary under an arbitrary variation of x(t) gives the Euler– Lagrange equations dp = 0. δv 1 − v2 (15) (14) which is the usual result. (12) (11) form of S is unchanged under an arbitrary reparametrization of the world line τ → τ (˜). A nice choice is the “static gauge” x0 = τ. An important property of this action is invariance under local reparametrizations. whose meaning is that the Actually. one should require that the function τ (˜) is smooth and monotonic dτ > 0 . The action in this case involves the invariant (p + 1)-dimensional volume and is given by Sp = −Tp where the invariant volume element is dµp+1 = − det(−ηµν ∂α xµ ∂β xν )dp+1 σ. The τ d˜ τ reparametrization invariance is a one-dimensional analog of the four-dimensional general coordinate invariance of general relativity. dt (13) √ 1 − v 2dt. So we see that usual relativistic kinematics follows from the action S = −m ds. This is a kind of gauge invariance. In this gauge (renaming the parameter t) the action becomes S = −m where v= dx . 13 (17) dµp+1 .where dots represent τ derivatives. dt where p= δS mv =√ . 2. (16) . The reparametrization invariance of S allows us to choose a gauge. Mathematicians refer to this kind of symmetry as diffeomorphism invariance.

h = det hαβ . For a 0-brane. ∂σ µ The determinant operation acts on the (p + 1) × (p + 1) matrix whose rows and columns (19) where we have defined σ 0 = τ . ˙ ˙ ∂xµ x = . and hαβ is the inverse of hαβ . called conformal invariance (or Weyl invariance). Evaluating the determinant gives S[x] = −T dσdτ x2 x 2 − (x · x )2. . . it is just the mass. The Nambu– Goto action is equivalent to the action S[x. ∂σ α (18) are labeled by α and β. substituting σ α = σ α(˜ β ). σ ˜ Let us now specialize to the string. . . The tension Tp is interpreted as the mass per unit volume of the p-brane. The Euler–Lagrange equation obtained by varying hαβ are 1 Tαβ = ∂α x · ∂β x − hαβ hγδ ∂γ x · ∂δ x = 0. 7]. the action S[x. it is invariant under the replacement hαβ → Λ(σ. σ 1 = σ. 2 (22) Exercise: Show that Tαβ = 0 can be used to eliminate the world-sheet metric from the action. . (Hint: take the determinant of both sides of the equation ∂αx · ∂β x = 1 hαβ hγδ ∂γ x · ∂δ x. τ ) is the world-sheet metric. τ )hαβ xµ → x µ .Here the embedding of the p-brane into d-dimensional spacetime is given by functions xµ (σ α). . This local symmetry is special to the p = 1 case (strings). ∂τ µ (20) This action. Specifically. Exercise: Show that Sp is reparametrization invariant. h] = − T 2 √ d2 σ −hhαβ ηµν ∂αxµ ∂β xν . h] has another local symmetry. (21) where hαβ (σ. it takes the same form when expressed in terms of the coordinates σ α . . d − 1 labels the d coordinates xµ of the d-dimensional spacetime. 14 (23) . and ∂xµ x = ˙ .) 2 In addition to reparametrization invariance. We have ∂ α xµ = ∂xµ . called the Nambu–Goto action. The index α = 0. In other words. . p labels the p + 1 coordinates σ α of the p-brane world-volume and the defined index µ = 0. was first proposed in 1970 [6. p = 1. and that when this is done one recovers the Nambu–Goto action.

. A convenient choice is the “conformally flat gauge” hαβ = ηαβ eφ(σ. there are correction terms whose presence can be traced to a conformal anomaly (i. For a closed string one should impose periodicity in the spatial parameter σ. Mathematically. it is the same as a theory of d free scalar fields in two dimensions. the story is more subtle.” Classically. 15 (29) . substitution of this gauge choice into S[x. The gauge-fixed action is quadratic in the x’s.The two reparametrization invariance symmetries of S[x. because of the factor eφ . h] leaves the gauge-fixed action S= T 2 d2 ση αβ ∂αx · ∂β x. (25) Quantum mechanically.e. one finds that in general φ does not decouple from the answer.τ ). h] allow us to choose a gauge in which the three functions hαβ (this is a symmetric 2 × 2 matrix) are expressed in terms of just one function. however. a quantum-mechanical breakdown of the conformal invariance). (24) Here. because we must also take account of the constraints Tαβ = 0. When this is done correctly. ηαβ denoted the two-dimensional Minkowski metric of a flat world sheet. using standard machinery to deal with the local symmetries and gauge fixing. one should perform a Feynman path integral. Choosing its range to be π (as is conventional) xµ (σ. There are three important types. However.3 Boundary Conditions To go further. Instead of eliminating h via its classical field equations. hαβ is only “conformally flat. The equations of motion obtained by varying xµ are simply free two-dimensional wave equations: ¨ xµ − x µ = 0. Only for the special case d = 26 does the quantum analysis reproduce the formula we have given based on classical reasoning [8]. Otherwise. these constraints are T01 = T10 = x · x = 0 ˙ 1 T00 = T11 = (x2 + x 2 ) = 0. one needs to choose boundary conditions. Evaluated in the conformally flat gauge. τ ). (26) This is not the whole story. ˙ (28) (27) 2. τ ) = xµ (σ + π. ˙ 2 Adding and subtracting gives (x ± x )2 = 0.

) The first two of these conditions can be solved explicitly in terms of Fourier series: xµ = R xµ L i − σ) + √ 2 1 µ i = x + 2 pµ (τ + σ) + √ s 2 2 2 µ s p (τ (32) 1 µ x + 2 s 1 µ −2in(τ −σ) α e n n n=0 1 µ −2in(τ +σ) α e ˜ . The fundamental string s (35) The parameter α is called the universal Regge slope. ˜ −n ˜n (34) The center-of-mass coordinate xµ and momentum pµ are also real. 16 . The only way this makes sense is if the open string ends on a physical object – it ends on a D-brane. since the string modes lie on linear parallel Regge trajectories with this slope.) If all the open-string boundary conditions are Neumann. 2πα α = 2 s. Let us now consider the closed-string case in more detail. Neumann : Dirichlet : ∂xµ = 0 ∂σ ∂xµ = 0 ∂τ at σ = 0 or π at σ = 0 or π. αµ satisfy n ˜n αµ = (αµ )† .For an open string (which has two ends). (28). −n n length scale is related to the tension T by T = 1 . each end can be required to satisfy either Neumann or Dirichlet boundary conditions (for each value of µ). then the ends of the string can be anywhere in the spacetime. The modern interpretation is that this means that there are spacetime-filling D-branes present. τ ) = xµ (σ. (30) (31) The Dirichlet condition can be integrated. and then it specifies a spacetime location on which the string ends. τ ) = xµ (τ − σ) + xµ (τ + σ). The general solution of the 2d wave equation is given by a sum of “right-movers” and “left-movers”: xµ (σ. αµ = (αµ )†. n n n=0 (33) s where the expansion parameters αµ . τ ) is real • xµ (σ + π. (D stands for Dirichlet. R L These should be subject to the following additional conditions: • xµ (σ. τ ) • (xL )2 = (xR )2 = 0 (These are the Tαβ = 0 constraints in eq.

αν ] = mδm+n. where pµ is the momentum. (xR)2 = 0. which satisfy [a.). 2 0 n=1 (42) Here αµ = 0 sp µ √ / 2. Recall that a quantum-mechanical harmonic oscillator can be described in terms of raising and lowering operators. aside from a normalization factor. which could lead to an inconsistent quantum theory (with negative probabilities. etc. the Tαβ = 0 constraints eliminate the negative-norm states from the physical spectrum.4 Quantization The analysis of closed-string left-moving modes. Since αµ does not commute with α−m . τ ). m n [αµ . because such oscillators create states of negative norm. the time components are proportional to oscillators with the wrong sign ([a. The classical constraint for the right-moving closed-string modes. (40) (36) (37) raising and lowering operators. τ ) = [pµ (σ. a†] = 1. L0 needs to be m ∞ 1 L 0 = α2 + α−n · αn . Fortunately.0 η µν . ˜m ˜n and all other commutators vanish.0 η µν . Therefore. to avoid repetition.(25).2. and openstring modes are all very similar. There is just one problem. usually called a† and a. ˙ δ xµ ˙ Canonical quantization (this is just free 2d field theory for scalar fields) gives pµ (σ. Because η 00 = −1. the canonical momentum of the string is δS = T xµ . Starting with the gauge-fixed action in eq. as we will explain. 2 n=−∞ (41) normal-ordered: µ which are called Virasoro operators. the expansion coefficients αµ and αµ are −m m e−2imσ (xR )2 dσ = 1 ∞ αm−n · αn . we will focus on the closedstring right-movers. τ )] = −i η µν δ(σ − σ ). has Fourier components Lm = T 2 π 0 We see that. This is potentially very bad. xν (σ . 17 . αν ] = mδm+n. In terms of the Fourier modes (setting = 1) these become (38) (39) [pµ . closed-string right-moving modes. a†] = −1). xν ] = −iη µν [αµ .

is [Lm .5 The Free String Spectrum where the ground state. . but they are equivalent to the more elementary approach presented here. which follows from the oscillator algebra. It is interesting to work out the algebra of the Virasoro operators Lm . as we 18 addition of world-sheet Faddeev-Popov ghosts. There are more sophisticated ways to describe the string spectrum (in terms of BRST cohomology). one can use [a. n = 0. 1. It contains p2 = −∂ · ∂ plus oscillator terms whose eigenvalue will determine the mass of the state. showing that each component of xµ contributes c = 1. As we will see.” Exercise: Verify the first term on the right-hand side. (46) Here |φ denotes a physical state. In the BRST approach. verify the second term. gauge-fixing to the conformal gauge in the quantum theory requires the the total anomaly of the xµ and the ghosts cancels for the particular choice d = 26. 2. For extra credit. . the L0 equation is a generalization of the Klein–Gordon equation. . (43) Then. n! that m|n = δm. is annihilated by the lowering operator (a|0 = 0) and (a†)n |n = √ |0 . so that altogether c = d. and q is a constant to be determined. Thus . one for each αµ . Ln ] = (m − n)Lm+n + c (m3 − m)δm+n. a†] = 1 repeatedly to prove (44) (45) The string spectrum (of right-movers) is given by the product of an infinite number of harmonic-oscillator Fock spaces. called the Virasoro algebra.0 . .2.n and a†a|n = n|n . The result. 12 (47) The second term on the right-hand side is called the “conformal anomaly term” and the constant c is called the “central charge. n > 0. |0 . which turn out to contribute c = −26. Recall that the Hilbert space of a harmonic oscillator is spanned by states |n . for a normalized ground-state ( 0|0 = 1). subject to the Virasoro constraints [9] n (L0 − q)|φ Ln |φ = 0 = 0. It accounts for the arbitrariness in the normal-ordering prescription used to define L0 .

because the vacuum would be unstable. Since this string theory is only supposed to be a warm-up exercise before considering tachyon-free superstring theories. which is a tachyon (pµ is spacelike). . where N = 2 and M 2 = 1. . The only way to achieve N = 1 is to excite the first oscillator once: |φ = ζµ αµ |0. corresponds to M 2 = 0. p . Here ζµ denotes the polarization vector of a massless spin-one particle. n (50) The a† ’s and a’s are properly normalized raising and lowering operators. −1 straint condition L1 |φ = 0 implies that ζµ must satisfy pµ ζµ = 0. (Here we are assuming that the open-string boundary conditions are all Neumann. in perturbation theory (which is the framework we are implicitly considering) this instability is not visible. The first excited state. p .asserted earlier. . 1. Moreover. (48) Since the mathematics of the open-string spectrum is the same as that of closed-string right movers. The unique way to realize where pµ is the momentum of the state. which we denote simply by |0. let us now use the equations we have obtained to study the open string spectrum. Such a faster-than-light particle is certainly not possible in a consistent quantum theory. Since each a†a has eigenvalues 0. . so that mass-shell condition becomes (L0 − 1)|φ = 0. . −1 −1 −2 19 (53) . This agrees with what one finds for a massless Maxwell or Yang–Mills field. it is also necessary to set the parameter q = 1. At the next mass level. The Virasoro con- This ensures that the spin is transversely polarized. . .) The mass-shell condition is 1 M 2 = −p2 = − α2 = N − 1. (52) (51) N = 0 is for all the oscillators to be in the ground state. the most general possibility has the form |φ = (ζµ αµ + λµν αµ αν )|0. let us continue without worrying about it. 2. pµ . . 2 0 where N= ∞ n=1 ∞ n=1 (49) α−n · αn = na† · an . 2. However. This state has M 2 = −1. so there are d−2 independent polarization states. corresponding to spacetime-filling D-branes. the possible values of N are also 0. with N = 1. 1.

the physical spectrum contains a negativenorm state. and more significant. ˜ −1 −1 (55) polarization tensor encodes three distinct spin states. subject to the condition that the N value of the left-moving and the right-moving state is the same.) Again. tensor product of a left-moving state and a right-moving state. but we will not worry about it here. This leaves a pure massive “spin two” (symmetric traceless tensor) particle as the only physical state at this mass level. is the first excited state |φ = ζµν (αµ |0 ⊗ αν |0 ). If d > 26. Such a spin two) and a scalar dilaton field φ (massless spin zero). ζµν also has an antisymmetric part. (which can be regarded as a generalization of the gauge transformation rule for the Maxwell field: δAµ = ∂µ Λ). when d = 26. Much more important. (54) which represents a spin 0 tachyon with M 2 = −2. A closed-string state is described as a However. The sum ˜ ˜ (L0 + L0 − 2)|φ is interpreted as the mass-shell condition. However. which corresponds to a massless antisymmetric tensor gauge field Bµν = −Bνµ . The gauge-invariant field strength (analogous to Fµν = ∂µ Aν − ∂ν Aµ ) is Hµνρ = ∂µ Bνρ + ∂ν Bρµ + ∂ρ Bµν . The symmetric part of ζµν encodes a spacetime metric field gµν (massless and its presence (with the correct gauge invariances) accounts for the fact that the theory contains general relativity. each of which plays a fundamental role in string theory. which is a good approximation for E 1/ s . (The notation no longer displays the momentum p of the state. The Virasoro constraints L1|φ = L1 |φ = 0 imply that pµ ζµν = 0. Using this rule. the constraints L1 |φ = L2 |φ = 0 restrict ζµ and λµν . Similarly. the value of φ determines the string coupling constant (gs =< eφ >). this signals an unstable vacuum.but only the results will be described. this state becomes zero norm and decouples from the theory. This field has a gauge transformation of the form δBµν = ∂µ Λν − ∂ν Λµ . The gµν field is the graviton field. while the difference (L0 − L0)|φ = ˜ (N − N )|φ = 0 is the level-matching condition. which is not allowed. the closed-string ground state is just |0 ⊗ |0 . The reason for ˜ this “level-matching” condition is that we have (L0 − 1)|φ = (L0 − 1)|φ = 0. (57) 20 . The analysis is interesting. (56) ˜ which has M 2 = 0. Let us now turn to the closed-string spectrum. Its vacuum value determines the spacetime geometry.

where TH is the Hagedorn temperature TH = 1 1 √ = . This can be analyzed quantitatively. just as a charged particle is a source for the vector potential Aµ . For the open string. These numbers are encoded in the generating function G(w) = ∞ n=0 ∞ m=1 dn w n = (1 − wm )−24 . Mathematically. Aµ dxµ (59) 2. This asymptotic degeneracy implies that the finite-temperature partition function tr (e−βH ) = ∞ n=0 √ n . as a function of n dn ∼ n−27/4e4π Exercise: Verify this formula. let us denote the number of physical states with α M 2 = n − 1 by dn .The importance of the Bµν field resides in the fact that the fundamental string is a source for Bµν . (61) dn e−βMn (62) diverges for β −1 = T > TH . the spectrum is exactly what one would get from 24 transversely polarized oscillators. (60) The exponent 24 reflects the fact that in 26 dimensions. (58) which generalizes the coupling of a charged particle to a Maxwell field q in a convenient notation.6 The Number of Physical States The number of physical states grows rapidly as a function of mass. It is easy to deduce from this generating function the asymptotic number of states for large n. 21 . 4π s 4π α (63) TH might be the maximum possible temperature or else a critical temperature at which there is a phase transition. this is expressed by the coupling q Bµν dxµ ∧ dxν . once the Virasoro conditions are taken into account.

) The dimension of the resulting integral turns out to be N = 3(2h + b − 2) + 2nc + no .. (66) where the Regge trajectory α(s) is α(s) = 1 + α s. A scattering amplitude is given by a path integral of the schematic structure Dhαβ (σ)Dxµ (σ)e−S[h. (64) The action S[h. (67) 22 . For these purposes. Vαi is a vertex operator that describes emission or absorption of a closed-string state of type αi from the interior of the string world sheet. In this case h = 0. and whether or not they are orientable. in the case of string theory they are two-dimensional surfaces representing string world sheets. (21). There are lots of technical details that are not explained here. (65) As an example consider the amplitude describing elastic scattering of two-open string ground states. a cylinder has h = 0. and so forth. b = 1. x] is given in eq.e. In the end. The diagrams are classified by their topology. and Vβj is a vertex operator that describes emission of absorption of an open-string state of type βj from the boundary of the string world sheet. and therefore N = 1. the power of the string coupling constant) is determined by the Euler number of the world sheet M . one finds that the conformally inequivalent world sheets of a given topology are described by a finite number of parameters. and hence χ = 2. For example.. which is very well understood in the case of two-dimensional surfaces. no = 4. A torus has h = 1.7 The Structure of String Perturbation Theory As we discussed in the first lecture. the number of boundaries (b). and χ = 0. In terms of the usual Mandelstam invariants s = −(p1 + p2 )2 and t = −(p1 − p4 )2 . t) = gs 1 0 dx x−α(s)−1 (1 − x)−α(t)−1. and thus these amplitudes can be recast as finite-dimensional integrals over these “moduli. It is given by χ(M ) = 2 − 2h − b.2.x] nc i=1 M no j=1 ∂M Vαi (σi )d2 σi Vβj (σj )dσj . b = 2. Surfaces with χ = 0 admit a flat metric.” (The momentum integrals are already done. the world-sheet metric hαβ is positive definite). the result is 2 A(s. perturbation theory calculations are carried out by computing Feynman diagrams.e. Whereas in ordinary quantum field theory Feynman diagrams are webs of world lines. The world-sheet topology is characterized by the number of handles (h). The order of the expansion (i. and χ = 0. a sphere has h = b = 0. b = 0. nc = 0. it is convenient to require that the world-sheet geometry is Euclidean (i.

or else there might not be a stable vacuum. which grew out of the 1971 papers by Ramond [11] and by Neveu and me [12]. One significant point that has not yet been made clear is that there are actually a number of distinct theories depending on what kinds of strings one includes • oriented closed strings only • oriented closed strings and oriented open strings. In that case. It is conceivable that the closed-string tachyon condenses in an analogous manner. the supersymmetry of the two-dimensional 23 . we know that there is a stable minimum. • unoriented closed strings only • unoriented closed strings and unoriented open strings. because (in each case) the closed-string spectrum contains a tachyon. 2. t) = gs B(−α(s). which got the whole business started. Recently.8 Recapitulation This lecture described some of the basic facts of the 26-dimensional bosonic string theory. There are two alternative formalisms that are used to study superstrings. where the Higgs fields acquires a vacuum value.This integral is just the Euler beta function 2 2 A(s. A tachyon means that one is doing perturbation theory about an unstable vacuum. This is analogous to the unbroken symmetry extremum of the Higgs potential in the standard model. Γ(−α(s) − α(t)) (68) This is the famous Veneziano amplitude [10]. the addition of fermions leads quite naturally to supersymmetry and hence superstrings. there has been success in demonstrating that open-string tachyons condense at a stable minimum. 3 Lecture 3: Superstrings Among the deficiencies of the bosonic string theory is the fact that there are no fermions. As we will see. In this approach. As we have mentioned already. In this case one can incorporate U (n) gauge symmetry. all the bosonic string theories are sick as they stand. In this case one can incorporate SO(n) or Sp(n) gauge symmetry. but the fate of closed-string tachyons is still an open problem. is called the RNS formalism. The original one. −α(t)) = gs Γ(−α(s))Γ(−α(t)) .

However. τ ). as well. only the RNS approach will be presented. Note that xµ transforms as a vector from the spacetime viewpoint. (25) of the bosonic string theory. just as before. Recall that it has the structure of d free scalar fields. (The details of how that works are a bit too involved to describe here. The ψ µ also transform as a spacetime vector. The Majorana condition simply means that ψ+ and ψ− are real in a suitable representation of Dirac algebra. we also introduce d fermionic partner fields ψ µ (σ.) When one chooses a suitable conformal gauge (hαβ = eφ ηαβ ). xµ and ψ µ described d supersymmetry multiplets. but as world-sheet spinors. Due to lack of time. The second approach. µ µ Thus ψ− describes right-movers and ψ+ describes left-movers. This means that in addition to the Virasoro constraints of the bosonic string theory. The reparametrization invariant world-sheet action described in the preceding lecture can be generalized to have local supersymmetry on the world sheet. The notation is that ρα are two 2 × 2 ψ− ψ+ is a two-component Majorana spinor. τ ) that describe the embedding of the world sheet in the spacetime. a convenient choice is one for which ¯ ψρα ∂α ψ = ψ− ∂+ ψ− + ψ+ ∂− ψ+ . In fact. (70) where ∂± represent derivatives with respect to σ ± = τ ± σ. The second term that has now been added is just d Dirac matrices and ψ = free massless spinor fields. emphasizes supersymmetry in the ten-dimensional spacetime. the world-sheet theory is based on the d functions xµ (σ. The constraints form a super-Virasoro algebra. one for each value of µ. together with an appropriate fermionic gauge condition. Altogether.world-sheet theory plays a central role. in order to supersymmetrize the world-sheet theory. (71) 24 . In the RNS formalism.1 The Gauge-Fixed Theory The globally supersymmetric world-sheet action that arises in the conformal gauge takes the form S =− T 2 ¯ d2 σ(∂αxµ ∂ αxµ − iψ µρα ∂α ψµ ). as well. In this basis. with Dirac-type actions. the equations of motion are simply µ µ ∂+ ψ− = ∂− ψ+ = 0. developed by Michael Green and me in the early 1980’s [13]. one ends up with a world-sheet theory that has global supersymmetry supplemented by constraints. there are fermionic constraints. but as d scalar fields from the two-dimensional world-sheet viewpoint. (69) The first term is exactly the same as in eq. 3.

Adding all of this up. τ ) = ψ− (0. For other values the theory has a variety of inconsistencies. and the second term is an additional fermionic contribution.) Continuing to focus on the right-movers. for a total of d/2. There is also an associated fermionic constraint µ ψ− ∂− xµ = 0. (74) The Fourier modes of these constraints satisfy the super-Virasoro algebra. and the local supersymmetry ghosts contribute +11.) First. There is a second identical super-Virasoro algebra for the left-movers. 1) supersymmetry. Thus. π. This is the preferred critical 3. As in the bosonic string theory. (75) 25 . (The story for xµ is exactly as before. gives a grand total of c = 3d − 15. τ ). so we can set µ µ ψ+ (0. are µ Concentrating on the right-movers ψ− . the world-sheet theory is said to have (1. But now there are additional contributions. the Virasoro algebra has conformal anomaly terms proportional to a central charge c. (Accordingly. just as d = 26 is the critical dimension for bosonic strings. Each the conformal anomaly cancels for the specific choice d = 10.are a symmetry of the gauge-fixed action. τ ). it turns out that one must set ψ+ = ±ψ− at the two ends σ = 0. Exercise: Show that this is a symmetry of the action (69). each component of xµ contributes +1 to the central charge.2 The R and NS Sectors Let us now consider boundary conditions for ψ µ (σ. For the action to be well-defined. An overall sign is a matter of convention. There is an analogous symmetry for the left-movers. the global supersymmetry transformations. 2 (73) The first term is what we found in the bosonic string theory. for a total of d. the Virasoro constraint is i µ (∂− x)2 + ψ− ∂− ψµ− = 0. tion symmetry ghosts contribute −26. which µ δψ− µ δxµ = i ψ− (72) = −2∂− xµ . we see that 2 dimension for superstrings. As in that theory. let us consider open-string boundary conditions. while (in the BRST quantization approach) the reparametrizacomponent of ψ µ gives +1/2.

The b’s or d’s with negative indices can be (79) which is a straightforward generalization of how we defined the ground state in the bosonic string theory. 2 2 Canonical quantization of the free fermi fields ψ µ (σ. b†} = 1 is very simple. ψ+ = √ r 2 r∈Z+1/2 The Majorana condition implies that dµ = dµ† and bµ = bµ†. ). there are fermionic oscillator operators dµ or br that appear as coefficients m in mode expansions of ψ µ . Combining these with the equations of motion ∂− ψ+ = ∂+ ψ− = 0. The basic structure {b. in addition to the harmonic oscillator operators αµ that appear as coefficients in mode m µ expansions of xµ . dν } = η µν δr+s.0 n n {dµ .without loss of generality. τ ) is very standard and straightforward. n In the NS sector. and b†|0 = |1 . allows us to express the general solutions as Fourier series R: 1 µ ψ− = √ dµ e−in(τ −σ) n 2 n∈Z 1 µ ψ+ = √ dµ e−in(τ +σ) n 2 n∈Z 1 µ ψ− = √ bµ e−ir(τ −σ) r 2 r∈Z+1/2 1 µ bµ e−ir(τ +σ) . dν } = η µν δm+n. Note that the index n takes −n −r n r only the R boundary condition gives a zero mode. n ∈ Z (78) Thus. whereas the index r takes half-integer values (± 1 . But this still leaves two possibilities for the other end. All the excited states obtained by acting with the α and b raising operators 26 . 2 m. r > 0 two-state system with b|0 = 0. ± 3 . τ ) = −ψ− (π. τ ) (76) µ µ NS : ψ+ (π. which are called R and NS: µ µ R : ψ+ (π. s ∈ Z + . It describes a regarded as raising operators and those with positive indices as lowering operators. m r m. p = 0. . just as we did for the αµ . The result can be expressed as anticommutation relations for the coefficients dµ and m µ br : R : NS : {dµ . p = bµ |0. In particular. p satisfies αµ |0. τ ). . . the ground state |0.0 r s 1 r. τ ) = ψ− (π. (77) NS : integer values.

and d0 is proportional to the Dirac matrices γ µ . as we will also see. which satisfies The zero-mode piece of F0. is again a tachyon. (80) This is the d-dimensional spacetime Dirac algebra.are spacetime bosons. up to normalization. This means that there are four distinct sectors of closed-string states: NS⊗NS and R⊗R describe spacetime bosons. γ µ ∂µ . 2 27 In the NS (bosonic) sector the mass formula is (84) . However. In the R sector there are zero modes that satisfy the algebra µ ν {d0 .) The fermionic ground state |ψ0 . each of which are mathematically very similar to the open-string spectrum. spinor. which is called the Dirac–Ramond equation. because it is just the usual Dirac αµ |ψ0 = dµ |ψ0 = 0. d0 } = η µν . the physical states are obtained by tensoring right-movers and left-movers. F0|ψ = 0. The zero mode of the fermionic constraint ψ µ∂− xµ = 0 gives a wave equation for (fermionic) strings in the Ramond sector. We will see later that the ground state. In the closed-string case. α0 · d0 . Thus the d0 ’s should be regarded as Dirac matrices and all states in the R sector should be spinors in order to furnish representation spaces on which these operators can act. We will return to explore what this gives later. therefore. is that whereas all string states in the NS sector are spacetime bosons. (81) n=0 µ operator. The conclusion. (82) (83) which is precisely the massless Dirac equation. whereas NS⊗R and R⊗NS describe spacetime fermions. all string states in the R sector are spacetime fermions. in this theory. defined as we have done here. (Recall that α0µ is proportional to pµ = −i∂µ. n n satisfies the wave equation α0 · d0 |ψ0 = 0. n > 0.3 The GSO Projection 1 M2 = N − . Hence the fermionic ground state is a massless 3. there is a way by which this tachyon can (and must) be removed from the physical spectrum. In terms of the oscillators F0 = α 0 · d 0 + α−n · dn . has been isolated. but first we need to explore the right-movers by themselves in more detail.

The spectrum no longer contains a tachyon. This amounts to imposing a chirality projection on the spinors. which (as before) has −1/2 d − 2 = 8 physical polarizations. then there should be an equal number of bosons and fermions at every mass level. (85) In particular. the GSO projection keeps states with an odd number of b-oscillator excitations. If there is spacetime supersymmetry. 1. and the spectrum of allowed masses are integral M 2 = 0. and removes states with an even number of b-oscillator excitation. the bosonic ground state is now massless. p . which has N = 0. Scherk. represented by the state ζµ bµ |0. is now a tachyon with M 2 = −1/2. The result follows since the bosonic theory has 24 transverse directions and the superstring (The reason that the normal-ordering constant is −1/2 instead of −1 works as follows.the number operator N has contributions from the b oscillators as well as the α oscillators. This is where things stood until the 1976 work of Gliozzi. They noted that the spectrum admits a consistent truncation (called the GSO projection) which is necessary for the consistency of the interacting theory. This time theory has 8 transverse directions. . The ground state boson is now a massless vector. Let us denote the number of bosonic states with M 2 = n by dN S (n) and the number of fermionic states with M 2 = n by dR (n). The GSO projection also acts on the R sector. . transverse α oscillator contributes −1/24 and each transverse b oscillator contributes −1/48. Thus there are an equal number of is the pair of fields that enter into ten-dimensional super Yang–Mills theory. and Olive [14]. where there is an analogous restriction on the d oscillators. Each which is to be compared with the formula M 2 = N −1 of the bosonic string theory. . Then we can encode these numbers in generating functions.) Thus the ground state. Once this rule is implemented the only possible values of N are half integers. The ground state fermion is a massless Majorana–Weyl fermion which has 1 4 bosons and fermions. In the NS sector. 2. (87) . In fact. as is required for a theory with spacetime supersymmetry. Let us look at the massless spectrum of the GSO-projected theory. The claim is that the complete theory now has spacetime supersymmetry. this · 2d/2 = 8 physical polarizations. just as we did for the bosonic string theory ∞ 1 1 + wm−1/2 fN S (w) = dN S (n)wn = √  2 w m=1 1 − wm n=0 ∞ n=0 ∞ m=1 ∞  8 − ∞ m=1 1 − wm−1/2 1 − wm 8   (86) fR (w) = dR (n)w = 8 28 n 1 + wm 1 − wm 8 . .

When the two MW spinors have the same chirality. chirality or the same chirality. Jacobi discovered the formula fR (w) = fN S (w). so we can form the closed-string spectrum by forming tensor products as before. the theory is called type IIA superstring theory. In 1829. This theory is left-right symmetric. which can be obtained by a projection of the type IIB theory. 3. the spectrum is invariant under mirror reflection. arising from vector ⊗ spinor and spinor ⊗ vector. so the type II theories have 32 conserved supercharges. and hence parity violating. the resulting type IIB superstring theory is chiral. This is the same amount of supersymmetry as what is usually called N = 8 in four dimensions. since both type II superstring theories have two gravitinos. The type II superstring theories contain only oriented closed strings (in the absence of D-branes). In particular. which have 16 components. This implies that the IIA theory is parity conserving. the massless right-moving spectrum consists of a vector and a Majorana–Weyl spinor. However. but that is not an accurate description in ten dimensions. (In four dimensions we would say Thus. which are gauge fields for local supersymmetry.) (89) There are actually two distinct possibilities because two MW spinor can have either opposite . This also gives the spectrum of left-moving and right-moving closed-string modes. that only keeps the diagonal sum of the 29 that the gravitinos have spin 3/2. (88) (He used a different notation. they have local N = 2 supersymmetry in the ten-dimensional sense. of course.4 Type II Superstrings We have described the spectrum of bosonic (NS) and fermionic (R) string states. but we now see that it provides strong evidence for supersymmetry of this string theory in ten dimensions. In each case there are two gravitinos. In other words. there is another superstring theory. The effect of the GSO projection is the subtraction of the second term in fN S and reduction of coefficient in fR from 16 to 8.) For him this relation was an obscure curiosity. When the two MW spinors have opposite chirality. and its massless spectrum forms the type IIA supergravity multiplet.The 8’s in the exponents refer to the number of transverse directions in ten dimensions. called type I. A complete proof of supersymmetry for the interacting theory was constructed by Green and me five years after the GSO paper [13]. The supersymmetry charges are Majorana–Weyl spinors. Thus the massless closed-string spectrum is given by (vector + MW spinor) ⊗ (vector + MW spinor).

which is induced by certain one-loop Feynman diagrams. This theory has both gauge and gravitational anomalies for every choice of Yang-Mills gauge group except SO(32) and 30 . the potentially anomalous Feynman diagrams are hexagons. The way that it was first discovered was by considering anomalies. • Type IIA supergravity. it would not work. with six external gauge fields. which classically can be SO(n) or Sp(n) for any value of n. which does not imply an inconsistency. the relevant diagrams are triangles. Thus. with the chiral fields going around the loop and three gauge fields attached as external lines. this theory only has N = 1 supersymmetry (16 supercharges). and therefore it is trivially anomalyfree. There are several possible cases in ten dimensions: • N = 1 supersymmetric Yang–Mills theory.5 Anomalies Chiral (parity-violating) gauge theories can be inconsistent due to anomalies. the standard model has just the right content so that all of the gauge anomalies cancel. However. It is strings. This happens when there is a quantum mechanical breakdown of the gauge symmetry. If one discarded the quark or lepton contributions. (Sometimes one also considers breaking of global symmetries by anomalies.) In the case of four dimensions. when their contributions are combined. In the case of ten-dimensional chiral gauge theories.a theory of unoriented closed strings. and therefore they can be analyzed in the low-energy effective field theory. This theory has gravitational anomalies. the anomalies all cancel. (This result was obtained by Alvarez–Gaum´ and e Witten in 1983 [15].) • Type I supergravity coupled to super Yang–Mills. This introduces a Yang–Mills gauge group. This theory has anomalies for every choice of gauge group. This restriction can be understood in a number of ways. Quantum consistency singles out SO(32) as the unique possibility. This theory is non-chiral. This theory has three chiral fields each of which contributes to several kinds of gravitational anomalies. • Type IIB supergravity. The anomalies can be attributed to the massless fields. That is not what we are interested in here. In the case of the standard model. Fortunately. 3. • Type I supergravity. However. it can be supplemented by unoriented open two gravitinos. the quarks and leptons are chiral and contribute to a variety of possible anomalies.

an amazing result obtained in the late 1980’s. by 1985 we had five consistent superstring theories. satisfying all the usual consistency requirements (unitarity. Thus. Moreover.) E8 × E8 . to recapitulate. though it was somewhat mysterious why there should be five consistent quantum gravity theories. causality. Each of them has dimension = 496 and rank = 16. It turns out that the precise Lie group that is appropriate is Spin (32)/Z2 . This is very profound. 3. the only choice that is consistent is SO(32).) This was pleasing. Strings see geometry differently from point particles. 3.Green and me in 1984 [16]. it was clear that each of the five theories has a well-defined. In this way one builds in the SO(32) or E8 × E8 gauge symmetry. One hint is the relation 10 + 16 = 26. Now we see that at the quantum level. and the two heterotic theories. relates one string theory with a circular compact dimension of radius R to another string theory with a circular dimension of radius 1/R (in units s = 1). This last fact was the crucial clue that led Gross. 31 . at the classical level one can define type I superstring theory for any orthogonal or symplectic gauge group. For these two choices. There are several different Lie groups that have the same Lie algebra. and while some details may not have been completed. etc. The term SO(32) is used here somewhat imprecisely. Martinec. The construction of the heterotic string uses the d = 26 bosonic string for the left-movers and the d = 10 superstring the right movers. the two type II theories. all the anomalies cancel. analyticity. Harvey. their weight lattices correspond to the only two even self-dual lattices in 16 dimensions.7 T Duality T duality. It took another ten years until we understood that these are actually five special quantum vacua of a unique underlying theory. The sixteen extra left-moving dimensions are associated to an even self-dual 16-dimensional lattice. For any other choice there are fatal anomalies. because it indicates a limitation of our usual motions of classical geometry. and Rohm [17] to the discovery of the heterotic string soon after the anomaly cancellation result. type I (with gauge group SO(32)). ultraviolet-finite perturbation expansion. (This result was obtained by As we mentioned earlier. The perturbation theory was studied in considerable detail. Each is a supersymmetric ten-dimensional theory. Let us examine how this is possible.6 Heterotic Strings The two Lie groups that are singled out — E8 × E8 and Spin (32)/Z2 — have several properties in common.

contributing an energy given by the string tension times the length of the string Em = 2πR · m · T. The letter M is intended to be 32 . R ↔ 1/R. getting caught up on the topology of the space. when the compactification on a circle to nine dimension is carried out in each case. Under T duality m ↔ n. respectively. the momentum along the circle must be a multiple of 1/R. (91) where the dots represent string oscillator contributions. The nonperturbative extension of superstring theory that allows for an eleventh dimension has been named M theory. a closed string can wind m times around the circular dimension. p = n/R. . . The idea is that in order for the wave function eipx to be single valued. and the two theories have radii R and 1/R. these interchanges leave the energy invariant. One class of excitations. (92) Together. where n is an integer. There is a second type of excitation that is special to closed strings. whether or not based on strings. Basically. is a very general feature of any quantum theory.The key to understanding T duality is to consider the kinds of excitations that a string can have in the presence of a circular dimension. . This means that what is interpreted as a Kaluza–Klein excitation in one string theory is interpreted as a winding-mode excitation in the T-dual theory. 4 Lecture 4: From Superstrings to M Theory Superstring theory is currently undergoing a period of rapid development in which important advances in understanding are being achieved. In the latter case there are additional technicalities that explain how the two gauge groups are related. Namely. The focus in this lecture will be on explaining why there can be an eleven-dimensional vacuum. 1 Putting T = 2π (for s = 1). From the lower-dimension viewpoint this is interpreted as a contribution (n/R)2 to the square of the mass. The combined energy-squared of the Kaluza–Klein and winding-mode excitations is (90) E2 = n R 2 + (mR)2 + . it is necessary to include effects that we haven’t explained (called Wilson lines) to break the gauge groups to SO(16) × SO(16). The two principle examples of T-dual pairs are the two type II theories and the two heterotic theories. even though there are only ten dimensions in perturbative superstring theory. this is just Em = mR. called Kaluza– Klein excitations. which is a common subgroup of SO(32) and E8 × E 8 .

It could stand for magic. then R1 R2 = α . even though the spectrum contains states of arbitrarily high spin (including a massless graviton). An approach called Matrix theory is another possibility. A given diagram represents a well-defined integral of dimension 6L + 2N − 6. there is a unique Feynman diagram at each order of the loop expansion. T duality identifies this string compactification with one of a second string theory also on R9 × S 1 . As a result. For these four theories the unique L-loop diagram is a closed orientable genus-L Riemann surface. As we explained earlier. Since the minimal 10d spinor is simultaneously Majorana and Weyl. In the first superstring revolution we identified five distinct superstring theories. External (incoming or outgoing) particles are represented by N points (or “punctures”) on the Riemann surface. Those who think that two-dimensional supermembranes (the M2-brane) are fundamental may regard M as standing for membrane. some view M theory as the mother of all theories. In four of the five cases (heterotic and type II) the fundamental strings are oriented and unbreakable. In the IIA case the two spinors have opposite handedness so that the spectrum is left-right symmetric (nonchiral). that there are consistent perturbation expansions of on-shell scattering amplitudes. Then the ten-dimensional geometry is R9 × S 1 . Three of them.flexible in its interpretation. An important discovery that was made between the two superstring revolutions is T duality. (93) 33 . and various world-sheet diagrams at a given order have to be combined properly to cancel divergences and anomalies . or meta to reflect our current state of incomplete understanding. If the radii of the circles in the two cases are denoted R1 and R2 . these theories have particularly simple perturbation expansions. And. this duality relates two string theories when one spatial dimension forms a circle (denoted S 1). of course. the type I theory and the two heterotic theories. have N = 2 supersymmetry (32 supercharges). As a result. called type IIA and type IIB. The other two theories. string and supersymmetry properties are responsible for incredible cancellations. mystery. and therefore they are two-dimensional surfaces. and was largely proved. which can be visualized as a sphere with L handles. In each of these five superstring theories it became clear. this corresponds to 16 conserved supercharges. The Feynman diagrams depict string world sheets. the perturbation expansion is more complicated for this theory. This integral has no ultraviolet divergences. have N = 1 supersymmetry in the ten-dimensional sense. Specifically. From the viewpoint of point-particle contributions. In the IIB case the two spinors have the same handedness and the spectrum is chiral. each in ten dimensions. Type I superstrings are unoriented and breakable.

A 3d world-volume description of the dynamics of this supermembrane. was constructed in 1978 by Cremmer. Intriguing connections between type IIA string theory and 11d supergravity have been known for a long time. in particular. but the precise relationship was only explained in 1995. However. The radius R is actually the vacuum value of a scalar field. Julia. These massless particles are referred to collectively as the supergraviton. In other words. It has three kinds of fields—the graviton field (with 44 polarizations). In particular. that they should not be regarded as distinct theories. The field equations of 11d supergravity admit a solution that describes a supermembrane. and Townsend in 1987 [20]. quite analogous to the 2d world volume actions of superstrings (in the GS formalism [19]). The type IIA and IIB theories are T dual. though there are additional technical details in this case. even though they are formally infinite (and hence undetermined) within the supergravity context. supersymmetry representation theory showed that the largest possible spacetime dimension for a supergravity theory (with spins ≤ 2) is eleven. Sezgin. Eleven-dimensional supergravity. in analogy to string theories in ten dimensions. this solution has the property that the energy density is concentrated on a twodimensional surface. which is a well-defined quantum theory. which has 32 conserved supercharges. Note that T duality implies that shrinking the circle to zero in one theory corresponds to decompactification of the dual theory. The two heterotic theories are also T dual. and a three-index gauge field Cµνρ (with 84 polarizations). we now believe that it is a low-energy effective description of M theory. and s is the fundamental string length scale (for both string theories). was constructed by Bergshoeff. (Most experts now believe that M theory cannot be defined as a supermembrane theory. in particular. the gravitino field (with 128 polarizations). that higher-dimension terms in the effective action for the supergravity fields have uniquely determined coefficients within the M theory setting. and Scherk [18]. 11d supergravity is nonrenormalizable. The authors suggested that a consistent 11d quantum theory might be defined in terms of this membrane. Thus the type IIA and type IIB theories in 10d are two limiting points in a continuous moduli space of quantum vacua.1 M Theory In the 1970s and 1980s various supersymmetry and supergravity theories were constructed. and thus it cannot be a fundamental theory.Here α = 2 s is the universal Regge slope parameter. 4.) Another striking result was that a suitable dimen34 . T duality applied to the type I theory gives a dual description. which arises as an internal component of the 10d metric tensor. so compactifying the nonchiral IIA theory on a circle of radius R and letting R → 0 gives the chiral IIB theory in ten dimensions! This means. which is sometimes called type I or IA. This means.

Denoting the string and membrane tensions (energy per unit volume) by TF 1 and TM 2. not visible in perturbation theory. one deduces that TF 1 = 2πR TM 2. and the dimensionless string coupling constant gs . This fact was not recognized earlier because the appearance of the 11th dimension is a nonperturbative phenomenon. so in a sense M theory is type IIA string theory at infinite coupling. In particular. gives the 11d Planck mass mp. the strong coupling limit of type IIA superstring theory corresponds to decompactification of the eleventh dimension. The conclusion is that type IIA superstring theory really does have a circular 11th dimension in addition to the previously known ten spacetime dimensions. the fundamental IIA string actually is an M2-brane of M theory with one of its dimensions wrapped around the circular spatial dimension. which raised to a suitable power (−1/9). too) has no dimensionless parameters. Equation (95) shows that this is equivalent to an expansion about R = 0. introduced earlier. The only parameter is the 11d Newton constant. They are the string mass scale ms . Conventional string perturbation theory is an expansion in powers of gs at fixed ms . The latter implies that the 11d Planck length is shorter than the string length scale at weak coupling by a factor of (gs )1/3. These relations encode some interesting facts. When M theory is compactified on a circle Now consider the parameters of type IIA superstring theory. a good approach is to identify the parameters that characterize each of them and to explain how they are related. (94) (95) (so that the spacetime geometry is R10 × S 1) another parameter is the radius R of the circle. (The E8 × E8 heterotic string theory is also eleven-dimensional at strong coupling.) This explains why the eleventh dimension was not discovered in studies of string perturbation theory. Eleven-dimensional supergravity (and hence M theory. 35 (96) . For one thing.sional reduction of this supermembrane gives the (previously known) type IIA superstring world-volume action. For many years these facts remained unexplained curiosities until they were reconsidered by Townsend [21] and by Witten [22]. To explain the relation between M theory and type IIA string theory. We can identify compactified M theory with type IIA superstring theory by making the 1/3 Using these one can derive gs = (2πRmp )3/2 and ms = gs mp . following correspondences: m2 = 2πRm3 s p gs = 2πRms .

36 . type IIA superstring theory is M theory compactified on a circle of radius R = gs s . the M5-frame is not wrapped around the circle. because (using eqs. More identifications of this type arise when we consider the magnetic dual of the M theory supermembrane. s p 4. one obtains the NS5-brane of the IIA theory with tension 2 TN S5 = TM 5 = 2πm6/gs . whose tensions are given by TDp = 2πmp+1 /gs . s p (98) The mass of the first Kaluza–Klein excitation of the 11d supergraviton is 1/R.2 Its tension is TM 5 = 2πm6. Wrapping one of its dimensions around p the circle gives the D4-brane. M theory is believed to be a well-defined quantum theory in 11d.However. Combining these relations gives eq. but now in a background geometry in which one of the transverse dimensions is a circle. with tension TD4 = 2πR TM 5 = 2πm5 /gs . s (100) To summarize. on the other hand. The particular RR gauge fields that occur imply that p takes even values in the IIA theory and odd values in the IIB theory. s (99) If. Its excitations are the massless supergraviton. Using eq. A large class of these p-brane excitations are called D-branes (or Dp-branes when we want to specify the dimension). the D2-brane of the type IIA theory corresponds to the supermembrane of M theory. we see that this can be identified with the D0-brane. which is approximated at low energy by 11d supergravity. TF 1 = 2πm2 and TM 2 = 2πm3. The tensions check. (94). These are solutions in which the energy is concentrated on a p-dimensional spatial hypersurface. 2 In general. s (97) This dependence on the coupling constant is one of the characteristic features of a D-brane.) The corresponding solutions of supergravity theories were constructed in 1991 by Horowitz and Strominger [23]. (95). (The world volume has p + 1 dimensions. called the M5-brane. In particular. (94) and (95)) TD2 = 2πm3 /gs = 2πm3 = TM 2.2 Type II p-branes Type II superstring theories contain a variety of p-brane solutions that preserve half of the 32 supersymmetries. the magnetic dual of a p-brane in d dimensions is a (d − p − 4)-brane. which is a five-brane. Another characteristic feature of D-branes is that they carry a charge that couples to a gauge field in the RR sector of the theory [24].

so that. In fact. The identities that we have presented here are exact. d are restricted to be integers. called S duality. d are real numbers satisfying ad − bc = 1. cρ + d (102) where a. 2π gs theory this symmetry is broken to the discrete subgroup SL(2. e Type IIB superstring theory or supergravity contains two scalar fields. R) symmetry that transforms this field nonlinearly: ρ→ aρ + b . the dilation φ and an axion χ. b. in the quantum string a. it can be used to construct p-brane solutions and compute their tensions. and local supersymmetry. the UV finiteness of the string theory Feynman diagrams ensures that all anomalies must cancel. Defining the vacuum value of the ρ field to be ρ = i θ + . local Lorentz invariance. as was verified from a field theory viewpoint by Alvarez-Gaum´ and Witten [15]. Z) [25]. However. type IIB superstring theory is approximated by type IIB supergravity. These account both for the (perturbative) fundamental string of the IIA theory and for many of its nonperturbative excitations. implies that coupling constant gs is equivalent to coupling constant 1/gs . are exact. which means that (103) This symmetry. because they are protected by supersymmetry. At low-energy. Z) symmetry transformation ρ → ρ + 1 implies that θ is an angular coordinate. which are related to the kinds of conserved charges the p-branes carry. In each case the supergravity theory is only well-defined as a classical field theory. just as 11d supergravity approximates M theory. the weak coupling expansion 37 Moreover. which are conveniently combined in a complex field ρ = χ + ie−φ . c.3 Type IIB Superstring Theory Type IIB superstring theory. c. and the M5-brane. Even though such solutions are only approximate.the M2-brane. 4. (101) The supergravity approximation has an SL(2. the SL(2. in the case of Type II superstring theory. Since the IIB spectrum contains massless chiral fields. one should check whether there are anomalies that break the gauge invariances—general coordinate invariance. but still it can teach us a lot. is also 10-dimensional. which is the other maximally supersymmetric string theory with 32 conserved supercharges. b. . the symmetry transformation ρ → −1/ρ takes g s → 1/gs . in the special case θ = 0. but unlike the IIA theory its two supercharges have the same handedness. For example. supersymmetry considerations ensure that the tensions.

p (104) where a. It turns out to be very useful to combine these two facts and to consider the duality between M theory compactified on a torus (R9 × T 2) and type IIB superstring theory compactified on a circle (R9 × S 1 ). c. Conversely. They correspond to an M2-brane with one of its cycles wrapped around a (p. Then the duality of M theory and type IIB superstring theory gives a geometrical explanation of the nonperturbative S duality symmetry of the IIB theory: the transformation ρ → −1/ρ. q) 38 . Another interesting fact about the IIB theory is that it contains an infinite family of strings labeled by a pair of integers (p.and the strong coupling expansion are identical! (An analogous S-duality transformation relates the Type I superstring theory to the SO(32) heterotic string theory. When this is done. Moreover. These strings have a very simple interpretation in the dual M theory description. which sends gs → 1/gs in the IIB theory. This is a simple consequence of formulas given above m3AM = (2πRB )−1 . 27]. The natural. Up to conformal equivalence.) Recall that the type IIA and type IIB superstring theories are T dual. b. To complete the story. conjecture at this point is that one should identify the modular parameter τ of the M theory torus with the parameter ρ that characterizes the type IIB vacuum [26. while preserving its shape. one finds that everything matches nicely and that one deduces various relations among tensions [28]. Z) modular group. the limit AM → 0 corresponds to decompactification in 9 dimensions that can be obtained from either the M theory or the IIB theory viewpoints. a (p. A torus can be described as the complex plane modded out by the equivalence relations z ∼ z + w1 and z ∼ z + w2. d are integers satisfying ad − bc = 1. corresponds to interchanging the two cycles of the theory torus (AM ) to the radius of the IIB theory circle (RB ). while the (0. 0) string can be identified as the fundamental IIB string. with Im τ > 0. The duality can be explored further by matching the various p-branes Thus the limit RB → 0. 1) string is the D-string. characterized by a modular parameter τ and an SL(2. we should relate the area of the M of the IIB theory circle. we saw that the type IIA theory is actually M theory s compactified on a circle. corresponds to decompactification of the M theory torus. at fixed ρ. Thus a torus is torus in the M theory description. q) with no common divisor [26]. The latter fact encodes nonperturbative information. and correct. meaning that if they are compactified on circles of radii RA and RB one obtains equivalent theories for the identification RA RB = 2 . describe equivalent tori. From this viewpoint. q) string can be regarded as a bound state of p fundamental strings and q D-strings [29]. the periods w1 and w2 can be replaced by 1 and τ . The (1. In this characterization τ and τ = (aτ + b)/(cτ + d).

there are no U V divergences at any order of perturbation theory. you had very high energy accelerators with which you were going to determine the “true” dimension of spacetime. d = 4 U (n) gauge theory . The low-energy effective theory. In fact. The end of a string carries a charge. By definition. due to boson–fermion cancellations. N = 4. The U (n) gauge theory associated with a stack of n Dp-branes has maximal supersymmetry (16 supercharges). d = 4 gauge theories are conformally invariant. But how could you decide otherwise? The answer is that either viewpoint is equally valid. s cycle of the torus.(using τ = ρ) one finds that the tension of a (p. These theories can be constructed by dimensional reduction of 10d supersymmetric U (n) gauge theory to p + 1 dimensions. The conformal 39 D3-branes in type IIB superstring theory has a decoupled N = 4. The n2 gauge bosons Aij and their supersymmetry partners arise µ as the ground states of oriented strings running from the ith Dp-brane to the jth Dp-brane. This gauge theory has a number of special features. they are branes on which strings can end—D stands for Dirichlet boundary conditions. or parallel and nearly coincident. belonging to the Cartan subalgebra. When n Dp-branes are coincident. What determines which choice you make is which of the massless fields you regard as “internal” components of the metric tensor and which ones you regards as matter fields. For one thing.q = 2π|p + qρ|m2. are massless. and the D-brane world-volume theory contains a U (1) gauge field that carries the associated flux. which we shall now focus on.4 The D3-Brane and N = 4 Gauge Theory D-branes have a number of special properties. the associated (p + 1)-dimensional world-volume theory is a U (n) gauge theory [29]. A stack of n associated to it. moreover. The minimal length of such a cycle is proportional to |p + qτ |. A case of particular interest. of course. The beta function β(g) is identically zero. Would you conclude that 10 or 11 is the correct answer? If either AM or RB was very large in Planck units there would be a natural choice. Suppose. which implies that the theory is scale invariant. The diagonal elements. and thus (105) Imagine that you lived in the 9-dimensional world that is described equivalently as M theory compactified on a torus or as the type IIB superstring theory compactified on a circle. which make them especially interesting. q) string is given by Tp. The field Aij with µ i = j has a mass proportional to the separation of the ith and jth branes. is supersymmetric Yang–Mills theory. is p = 3. 4. Fields that are metric components in one description correspond to matter fields in the dual one. when the brane separations are small compared to the string scale.

Z) transformations. The field configurations that describe them preserve half of the supersymmetry. q) string. Z) group of dualities. But by applying a suitable SL(2. Z) transformation. with respect to the appropriate gauge field. Now consider the N = 4 U (n) gauge theory associated to a stack of n D3-branes in type IIB superstring theory. As a result their masses are given exactly by the considerations described above. which goes by the name of Matrix Theory. as well as its implications when combined with superstring T dualities. The first. which contains 32 fermionic generators. whose answer was unknown until recently. 0) string can end on a D3-brane. belong to infinite SL(2. As we have said. for a stack of n D3-branes. is whether N = 4 gauge theories in four dimensions also admit nonperturbative excitations that preserve 1/4 of the supersymmetry. but only if n ≥ 3. There is an obvious identification. The mass is proportional to the length of the string times its tension. The other states are nonperturbative excitations of the gauge theory. Matrix Theory has passed all tests that have been carried out. any pair can be connected by a (p. a fundamental (1. which we saw is proportional to |p+qρ|. that turns out to be correct.invariance combines with the supersymmetry to give a superconformal symmetry. The answer turns out to be that they do. The emphasis has been on the nonperturbative appearance of an eleventh dimension in type IIA superstring theory. An interesting question. This result has a nice dual description in terms of three-string junctions [30]. which we will briefly mention here. The charge on the end of this string describes a dyon with electric charge p and magnetic charge q. What we have described makes a convincing self-consistent picture. 4. but it does not constitute a complete formulation of M theory. whose low-energy effective description is given by 11d supergravity. Z) multiplets. some of which are very nontrivial. described by fundamental fields. bases a formulation of M theory in flat 11d spacetime in terms of the supersymmetric quantum mechanics of N D0-branes in the large N limit. we argued that there should be a consistent quantum vacuum. More generally. In the past several years there have been some major advances in that direction. this configuration is transformed to one in which a (p. q) string ends on the D3-brane. which extends to an SL(2.5 Conclusion In this lecture we have described some of the interesting advances in understanding superstring theory that have taken place in the past few years. the SL(2. Z) duality of the gauge theory is induced from that of the ambient type IIB superstring theory. Namely. In particular. In this way one sees that the electrically charged particles. The D3-branes themselves are invariant under SL(2. Another important property of N = 4. The construction has a nice generalization to describe compactification of M theory on a 40 . d = 4 gauge theories is an electric-magnetic duality.

and other compactification manifolds are (at best) awkward to handle. Another proposal relating superstring and M theory backgrounds to large N limits of certain field theories has been put forward by Maldacena in 1997 [31] and made more precise by Gubser. it might someday be possible to construct the QCD string in terms of a dual AdS gravity theory. see [34]. there is a conjectured duality (i. the simplest cases being spheres. Three examples or M theory on an Anti-de-Sitter space (AdS) in d + 1 dimensions. References [1] M. This approach is sometimes referred to as AdS/CFT duality. Yoneya.torus T n . AdS4 × S 7 . Witten. 1998. there clearly is still a long way to go. J. Schwarz. there have already been some preliminary steps in this direction. Cambridge Univ. it does not seem to be useful for n > 5. Despite all of the successes that have been achieved in advancing our understanding of superstring theory and M theory. [4] T. Superstring theory is a field with very ambitious goals. (For a review of this subject. Phys. Green. Polchinski. we still do not have a convincing mechanism for ensuring the vanishing (or extreme smallness) of the cosmological constant for nonsupersymmetric vacua. In particular. H.) In this approach. Scherk and J. The remaining 9 − d or with unbroken supersymmetry are AdS5 × S 5 . The remarkable fact is that they still seem to be realistic. in 2 vols. Klebanov. 41 .H. Indeed. However.B. but it appears that in this approach supersymmetry breaking is more accessible than in previous ones. and by Witten [33] in 1998. the easiest theories to study are ones with a lot of supersymmetry. Cambridge Univ. [3] J. B81 (1974) 118. Nucl. For example. Press. 51 (1974) 1907.. despite much effort and several imaginative proposals. equivalence) between a conformally invariant field theory (CFT) in d dimensions and type IIB superstring theory 10 − d dimensions form a compact space. As usual. However. 1987.. Superstring Theory. String Theory. Phys. [2] J. Schwarz. Theor. it may take a few more revolutions before they are attained.. and use it to carry out numerical calculations of the hadron spectrum. and Polyakov [32].e. Press. Prog. and E. in 2 vols. It has already taught us a great deal about the large N behavior of various gauge theories. Another shortcoming of this approach is that it treats the eleventh dimension differently from the other ones. This is an extremely active and very promising subject. and AdS7 × S 4 .

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