Laces

The dynamics of 4d N = 1 gauge theories
Noppadol Mekareeya
INFN, sezione di Milano-Bicocca,
Piazza della Scienza 3, I-20126 Milano, Italy
E-mail: n.mekareeya@gmail.com
Abstract: (Last update: December 6, 2019)
This is a lecture note on the dynamics of 4d N = 1 gauge theories. It contains

the following topics:
• Non-renormalisation theorem for the superpotential
• The pure N = 1 gauge theory
• The Witten index
• Supersymmetric QCD and its quantum behaviours
• The Seiberg duality
• The supersymmetric index on S 3 × S 1
• Introduction to conformal manifolds
• The a-maximisation
Contents
1 References 1
2 Chiral multiplets 2
3 Non-renormalisation theorem for the superpotential 5
4 Renormalisation of the Kähler potential 7
5 Vector multiplets 11
5.1 Some conventions 11
5.2 Gauge symmetry 12
5.3 Lagrangian for the vector multiplets 14
5.4 One-loop beta function coefficients 15
5.5 One-loop exactness of the holomorphic gauge coupling 16
6 A brief introduction to extended supersymmetry 17

6.1 Gauge theories with 8 real supercharges 17
6.2 Gauge theories with 16 real supercharges 19
7 Pure N = 1 gauge theory 20

7.1 Anomaly of the R-symmetry 21
7.2 Gaugino condensation 21
7.3 The Witten index 24
7.3.1 The 4d N = 1 SU (Nc ) super-Yang-Mills 25
7.3.2 Subtleties of the Spin(Nc ) gauge theory with Nc ≥ 7 27
8 Supersymmetric QCD 29
8.1 The classical moduli space 30
8.2 The quantum theory 32
8.2.1 Anomalous and non-anomalous global U (1) symmetries 32
8.2.2 The dynamical scale 33
8.3 The Novikov–Shifman–Vainshtein–Zakharov (NSVZ) beta function 34
8.4 Anomalous dimensions and the Banks-Zaks fixed point 38
8.5 Some important facts about the (super)conformal symmetry 39
8.6 Superconformal fixed points in SQCD 41
8.7 Seiberg duality 42
8.7.1 Some checks of the dualities 43
8.8 Quantum behaviours of SQCD 46
8.8.1 The case of Nf = Nc + 1 46
–i–
8.8.2 The case of Nf = Nc 48
8.8.3 The case of 0 < Nf < Nc 50
9 Supersymmetric index on S 3 × S 1 51
9.1 Supersymmetry on S 3 × R and S 3 × S 1 51
9.2 Indices of chiral multiplets 54
9.3 Indices of gauge theories 56
9.4 The index of SQCD 58
9.5 Some important points 59
9.6 Example: SU (2) SQCD with 3 flavours 60
9.7 A brief introduction to conformal manifolds 61
9.7.1 Example: The N = 4 SU (N ) super–Yang–Mills theory 61
9.7.2 Example: SU (3) SQCD with 6 flavours 63
10 The a-maximisation 64
10.1 The conformal anomalies 66
10.2 Statement of the problem 68
10.3 A solution by Intriligator and Wecht [1] 68
10.4 A proof of a-maximisation 69
10.5 Example: A model with the enhanced E6 flavour symmetry 71
10.6 A caution on accidental symmetries 73
10.6.1 Example: An N = 1 Lagrangian of the N = 2 Argyres–
Douglas theory of type H1 or (A1 , A3 ) 74
10.6.2 Example: The A b theory 77
A Spinors in 3 + 1 dimensions 80
1 References
The contents in this lecture note are taken, copied and/or adapted from various
references, some of them are listed below and the others are mentioned in the main
text. I claim no credits for any material in this lecture note. It is produced for the
pedagogical reason only.
There are a number of excellent lecture notes and books on the subject including
[2–9]. The note by Yuji Tachikawa [9], in particular, contains most of the topics in
this lecture note as well as more advanced material.
I do not include the material on the superspace and superfields in this note. I
refer the readers to [10].
–1–
2 Chiral multiplets
A 4d N = 1 chiral multiplet consists of a complex scalar φ, and a Weyl fermion ψα
in the same representation of the gauge group.
It is represented by a chiral superfield Φ satisfying1
Dα̇ Φ = 0 (2.4)
and has the expansion

Φ = φ + ψα θα + F θα θα . (2.5)
where F is an auxiliary field. The complex conjugate Φ† is antichiral, satisfying
Dα Φ† = 0.
The effective action has the form
Z Z Z
4 4 † 2
S= dx d θ K(Φ, Φ ) + d θW (Φ) + c.c. , (2.6)
where
• K(Φ, Φ† ) is a real function on the superfield Φ and its complex conjugate Φ† .

This is called the Kähler potential.
• W (Φ) is a holomorphic function of the superfield Φ. This is called the super-

potential.
More explicitly, the action can be written as

†
S = Skin + Sint + Sint
Z
d4 x g ∂µ φ† ∂ µ φ + iψσ∂ψ + F † F

Skin =
(2.7)
Z
4 1 2
Sint = d x − ψψ∂ W + F ∂W .
2
1
The superspace derivatives are given by
∂ α̇
Dα = α
+ iσαµα̇ θ ∂µ
∂θ
∂ (2.1)
Dα̇ = − α̇ + iθα σαµα̇ ∂µ
∂θ
where
(σ µ )α̇α = {1, −σ}α̇,α , (σ µ )αβ̇ = {1, σ}α,β̇ . (2.2)
The superspace derivatives satisfy
{Dα , Dα̇ } = −2iσαµα̇ ∂µ , {Dα , Dβ } = {Dα̇ , Dβ̇ } = 0 . (2.3)
–2–
where
∂ 2 K(φ, φ† ) ∂W (φ) ∂ 2 W (φ)
g= , ∂W = , ∂ 2W = . (2.8)
∂φ† ∂φ ∂φ ∂φ ∂φ
In four spacetime dimensions, φ and ψ have mass dimensions 1 and 3/2 respec-
tively, and so the mass dimension of the superpotential W is 3.
R-symmetry
• Supersymmetry allows for a global symmetry, known as the U (1) R-symmetry.
It acts on θ and W (Φ) as
θ → eiα θ , d2 θ → e−2iα d2 θ ,
(2.9)
W → e2iα W ,
so that the superpotential W has R-charge R(W ) = +2.
• This symmetry acts differently on different components φ, ψ, F of the same

chiral superfield Φ:
φ → φ exp (riα) , ψ → ψ exp [(r − 1)iα] , F → F exp [(r − 2)iα] , (2.10)
so that the R-charge assignments are R(φ) = r, R(ψ) = r−1 and R(F ) = r−2.
The R-charge of the chiral superfield Φ is the same as that of the lowest
component, i.e. R(Φ) = r.
Abuse of notation: Whenever there is no potential confusion, we will denote the

lowest component φ of the chiral superfield Φ by Φ itself.
Vacuum degeneracy
From (2.7), the classical equation of motion of F is
δS
=0 ⇒ gF † = −∂W . (2.11)
δF
Hence, the scalar potential is given by
V (φ, φ† ) = gF F † = g −1 ∂W ∂W † . (2.12)
• The SUSY algebra implies that2
V (φ, φ† ) ≥ 0 . (2.13)
2
|Qα |ψi|2 + |Qα̇ |ψi|2 ≥ 0
P P
The SUSY algebra, {Qα , Qα̇ } = 2Pαα̇ , implies that hψ|H|ψi ∝ α α̇
for any state |ψi.
–3–
• The supersymmetric ground states are determined by the minimum of the
scalar potential. The condition for the existence of (classical) SUSY
vacua:
∂W
=0 . (2.14)
∂φ
• In relation to the F auxiliary field, equations (2.14) are also known as the F -
terms or F-flatness condition. The space of solutions to this set of equations is
known as the flat directions or the (classical) moduli space of vacua.
• If (2.14) does not admit a solution, the theory does not have a supersymmetric
ground state and the supersymmetry is broken.
Example: The Wess–Zumino (WZ) model. Let us take K = Φ† Φ and W =

1
2
mΦ2 + 31 λΦ3 and analyse the classical vacua.
• This is the original WZ model with the Yukawa coupling λφψψ and the quartic
interaction |λ|2 |φ|4 .
• From ∂φ W (φ) = mφ + λφ2 = 0, there are two classical ground states:
hφi = 0 , hφi = −m/λ (2.15)
• Under the transformation Φ → − mλ

− Φ which exchanges the two vacua, W
m3
transforms as W → −W , up to an (unimportant) additive constant 6λ 2.
• But the sign of W can be rotated away by the U (1)R symmetry, for example
by taking α = −3π/2 in (2.9), noting that W has R-charge 2.
Suppose that we take R(Φ) = r = 2/3 (so that R(m) = 2/3 and R(λ) = 0)3 .
3π 3π
This maps φ → φe−i 2 r = −φ and ψ → ψe−i 2 (r−1) = iψ.
This map generates a Z4 discrete symmetry. (Indeed, if we raise the gener-
ator to the power of 4 we obtain the identity.)
• In each vacuum, hφi = 0 or hφi = − m λ

, the Z4 symmetry is spontaneously
broken to Z2 . This is because the transformation φ → φ and ψ → −ψ leaves
each vacuum invariant.
The generator of Z4 relates the two ground states; its square acts as a 2π
rotation in the Lorentz group SO(1, 3) and is therefore unbroken.
• These two vacua are physically equivalent, since there is an unbroken symmetry
relating them.
3
One may think of the mass parameter m and the coupling λ as background (i.e. non-dynamical)
chiral multiplets, and so one can assign an R-charge to these background fields. We will further
discuss about this point later.
–4–
Example: The LH model. K = L† L + H † H and W = λ2 LH 2 (L and H stands
for light and heavy, respectively).
• ∂L W = 21 λH 2 = 0 and ∂H W = λLH = 0 imply that the minimum of the scalar

potential
1
V = |λ|2 |H|4 + |λ|2 |L|2 |H|2 (2.16)
4
is achieved at
H = 0, L = arbitrary . (2.17)
The field L is massless (light), whereas H has a mass mH = |λhLi|.
• The moduli space is 1 complex dimensional, parametrised by the vacuum ex-

pectation values of L.
• These classical vacua are inequivalent – there is no symmetry that relates them.
3 Non-renormalisation theorem for the superpotential

In this section, we discuss an important result stating that the superpotential is
not renormalized in perturbation theory. Historically, this result was proven
by Grisaru, Siegel and Roček [11] using supergraph techniques. However, in this
note, we follow the argument proposed by Seiberg in [12].
The main idea of this approach is the following:
• Think of all couplings, such as m and λ in the previous example, as expectation

values of some background superfields.
• Under the Wilsonian renormalisation, the effective superpotential is holomor-

phic not only in the effective fields but also in the couplings.
Example: The WZ model. Wclassical = 21 mΦ2 + 31 yΦ3 . To find the Wilsonian

effective superpotential, we proceed as follows:
• Think of all couplings, namely m and y, as background fields.
• Make use of the following U (1)Φ × U (1)R charge assignments to the fields:
U (1)Φ U (1)R
Φ 1 1
m −2 0 (3.1)
y −3 −1
W 0 2
–5–
We take the U (1)Φ charge of Φ and the U (1)R charge of Φ to be 1. The
superpotential has to be neutral under U (1)Φ , and has to carry U (1)R charge
2. The charges of m and y immediately follow.
• By holomorphy, Weff is holomorphic not only in Φ, but also in m and y. The

symmetries and holomorphy restrict the effective superpotential to be
Weff = mΦ2 f (yΦ/m) = mΦ2 f (t) , (3.2)
where t is a neutral quantity yΦ/m and f is some holomorphic function.
• Now we consider the following limits:
– As y → 0, the theory is free; hence, no negative powers in f (t).

– As m → 0, we don’t want the theory to blow up; hence, f (t) contains no
powers greater than 1.
– To match Wclassical at weak couplings, f (t) has no other powers than 1.
Hence, f (t) = 12 + 13 t.
• Thus, Weff = Wclassical ; the superpotential is not renormalised to all order in

perturbation theory (and no non-perturbative corrections are allowed here).
• Note that there is no claim about quantum corrections to the Kähler potential,
which is a real function.
Example: The LH model. Wclassical = 12 mH 2 + λL2 H.
• Classically, the minimum of the scalar potential is reached at
∂H W = mH + λL2 = 0 , ∂L W = 2λLH = 0 , (3.3)
i.e. L = H = 0.
• Observe that the scalar potential contains the following mass terms (|m|2 +
4|λ|2 |L|2 )|H|2 .
• Fixing L, the first F -term in (3.3) gives H = −λL2 /m and we get Weff =
−(λ2 /2m)L4 . This procedure is called “integrating out” the heavy field H.
• The theory has a symmetry U (1)H × U (1)L × U (1)R . We assign the following
charges to the fields, with a requirement that the superpotential carries U (1)R
charge 2 and is neutral under U (1)H and U (1)L .
U (1)H U (1)L U (1)R
H 1 0 1
L 0 1 1
(3.4)
m −2 0 0
λ −1 −2 −1
W 0 0 2
–6–
• Invariance under U (1)H × U (1)L and holomorphy imply that
Weff (L, mλ) = h λ2 L4 /m ,

(3.5)
for some holomorphic function h. Since Weff has R-charge 2 and mass dimension
3, we conclude that
Weff ∼ λ2 L4 /m . (3.6)
• Again, we make no claim about quantum corrections to the Kähler potential,

which is a real function
Remarks:
1. Supersymmetry is crucial here; without holomorphy, we cannot rule out terms

2
like e−1/|λ| .
2. Strictly speaking, we need to show the existence of a regularization scheme

that respects all the symmetries. Here we simply assume its existence without
discussing the details.
3. We will see examples of supersymmetric gauge theories in which new terms in

the superpotential are generated non-perturbatively. Even so, the constraints of
symmetries and holomorphy are strong enough to determine the superpotential
completely.
4 Renormalisation of the Kähler potential

• The holomorphic superpotential does not get any perturbative correction. But
the (real) Kähler potential does.
• For concreteness, let us consider the theory with a single chiral superfield Φ
with the classical Kähler potential and superpotential
1
Kclass (Φ, Φ† ) = Φ† Φ, W (Φ) = yΦ3 , (4.1)
3
so that the classical Lagrangian is
Z Z
†
L = d θKclass (Φ, Φ ) + d2 θW (Φ) .
4
(4.2)
• Observe that the holomorphic coupling y is not invariant under the field redef-
inition, say Φ → aΦ, where a is a complex constant. However, any physical
quantity must be independent of such a field redefinition.
–7–
• To define
√ a physical coupling, look at the wavefunction renormalisation of Φ,
Φ → ZΦ:
Keff (Φ, Φ† ) = ZΦ† Φ , Z is real and positive . (4.3)
By rescaling Φ → aΦ, we have y → ya−3 and Z → Z|a|−2 . We can define
|yP |2 = yP† yP = y † Z −3 y = |y|2 Z −3 , (4.4)
which is clearly invariant under such a field redefinition. Here, yP is phys-

ical but non-holomorphic, in contrast to the unphysical but holomorphic y.
Thus, the wavefunction renormalisation Z in the Kähler potential leads to the
renormalisations of physical couplings.
• Recall that the anomalous dimension γ of Φ is related to Z given by

∂ log Z ∂
γ=− = −µ log Z . (4.5)
∂ log µ ∂µ
The quantum dimension
√ of Φ is ∆(Φ) = 1 + 21 γ, where the factor 1
2
is due to
the scaling Φ → ZΦ
• The behaviour of the physical coupling yP is governed by

∂Z ∂ log Z
β|yP |2 = −3y † yZ −4 = −3|yP |2 = 3|yP |2 γ . (4.6)
∂ log µ ∂ log µ
Since

3 3 †
β|yP |2 = yP† βyP 2
+ yP βy† = 3|yP | γ = yP† yP γ + yP y γ , (4.7)
P 2 2 P
upon matching the second expression with the fourth one, we have the following
exact relation
3
βyP = yP γ . (4.8)
2
Our main goal is to compute the anomalous dimension γ, perturbatively in yP

and obtain the beta function for γP .
Now let us demonstrate how to compute the beta function for y. One can
compute this perturbatively in a standard way4 , but in the following we will follow
the method of Green–Komargodski–Seiberg–Tachikawa–Wecht [13].
4
P. K. Townsend and P. van Nieuwenhuizen, Dimensional Regularization and Supersymmetry
at the Two Loop Level, Phys. Rev. D20 (1979) 1832; L. F. Abbott and M. T. Grisaru, The Three
Loop Beta Function for the Wess-Zumino Model, Nucl. Phys. B169 (1980) 415-429; A. Sen and
M. K. Sundaresan, The Four Loop Beta Function for the Wess-Zumino Model, Phys. Lett. 101B
(1981) 61-63.
–8–
• A theory of a single free chiral superfield Φ has a global U (1)Φ symmetry
and conserved current Φ† Φ. If we deform the theory by the superpotential
W = 13 yΦ3 , the U (1)Φ symmetry is broken (since the superpotential cannot
be charged under this symmetry). We will see that this gives rise to the beta
function for the coupling yP .
• Φ† Φ is not only the kinetic term but also the superfield version of the U (1)Φ
current associated with Φ → eiα Φ. The θσ µ θ components of Φ† Φ contains
j µ = φ† ∂µ φ − (∂µ φ† )φ.
• The term Φ3 in superpotential breaks U (1)Φ to Z3 . Hence there is a source

term in the non-conservation equation:
2
D (Φ† Φ) = qyΦ3 , with q = 3 (4.9)
where q = 3 is the charge of Φ3 under U (1)Φ . We will use this equation to

determines the running of the coupling y.
• Let us write
O = Φ3 , J = Φ† Φ . (4.10)
Hence, the non-conservation equation can be written as
2
D J = qO , q=3. (4.11)
• As a result of this non-conservation equation, we will show that the leading

and next-to-leading terms in the operator product expansion (OPE) of Φ3 and
Φ† 3 are
NO qNO 1
Φ3 (x)Φ† 3 (0) = O(x)O† (0) = 2 3 6
+ J(0) + . . . , (4.12)
(4π ) |x| NJ (4π )2 |x|4
2
with NO = 6, NJ = 1 and q = 3. We derive of this OPE later.
• This OPE implies that there is a logarithmic divergence (due to d4 x |x|1 4 ) in

R
the following quantity:

Z Z Z Z 2
4 2 3 2 † †3 4 2 qNO 2π
d x d θ y Φ (x) d θ y Φ (0) ∼ d θ|y| (log µ)J . (4.13)
NJ (4π 2 )2
The change in the Kähler potential as we lower the energy scale µ0 to µ is
2

2 qNO 2π µ0
∆K = |y| 2 2
log J . (4.14)
NJ (4π ) µ
Comparing this to the renormalised kinetic term
Z Z Z
† †
d θZΦ Φ ∼ d θ(1 + ∆Z)Φ Φ = d4 θ(1 + ∆Z)J ,
4 4
(4.15)
(assuming that ∆Z 1)
–9–
we obtain the wavefunction renormalisation, to the leading order of |y|2 ,
qNO 2π 2

µ
∆Z(µ) − ∆Z(µ0 ) = − 2 2
log |y|2 + . . . . (4.16)
NJ (4π ) µ0
Using (4.5), we obtain the anomalous dimension, to the leading order in |y|2 ,
∂∆Z 1 qNO 2 9
γ∼− = 2
|y| = 2 |y|2 > 0 . (4.17)
∂ log µ 8π NJ 4π
Note that, by definition (4.4) of yP , we have
|yP |2 = |y|2 Z −3 ∼ (1 − 3∆Z)|y|2 ∼ |y|2 . (4.18)
to the leading order in |y|2 .
• Substituting this into the exact relation (4.8) and taking yP to be real, we
obtain
3 27
βyP = yP γ ∼ 2 yP3 > 0 . (4.19)
2 8π
• Conclusion:
– At the classical level, the coupling y is is dimensionless, since the dimen-

sion of the superpotential is 3 and Φ has classical dimension 1. From
W = 13 yΦ3 , we see that at the classical level, y is a marginal coupling.
– However, the quantum theory flows to a free CFT with yP = 0. For this
reason, yP is said to be marginally irrelevant; it is marginal to the zero-th
order in yP , but when yP is nonzero then βyP > 0.
Derivation of the OPE (4.12)
• Recall that the two-point function of the massless complex scalar in d dimen-
sions is
1 1
hφ(x)φ(0)i = , (4.20)
(d − 2)Sd |x|d−2
with Sd the surface area of the unit sphere in Rd . Here, d = 4, S4 = 2π 2 and
(d − 2)Sd = 4π 2 .
Thus, for O = Φ3 and J = Φ† Φ, we have the following two-point functions
NO NO
hO(x)O† (0)i = = ,
((4π 2 )|x|2 )3 (4π 2 )3 |x|6
(4.21)
NJ NJ
hJ(x)J(0)i = = .
((4π 2 )|x|2 )2 (4π 2 )2 |x|4
where
NO = 6 , NJ = 1 . (4.22)
Here NO = 6 is the number of possible contractions between three Φ’s and
three Φ† ’s, and for NJ = 1 we have chosen the standard normalisation5 for the
5
See, for example, [14] and [15].
– 10 –
two-point-function of the currents such that Φ has charge +1.
2
• The non-conservation equation D J = qO implies the OPE (see (3.7) of [15]):
q
J(x)O(0) = O(0) + . . . (4.23)
4π 2 |x|2
• Combining (4.21) with (4.23), we have the three-point function

qNO
hO(x)O† (y)J(z)i = . (4.24)
(4π 2 )4 |x − y|4 |x − z|2 |y − z|2
This is compatible with the following OPE6 (see (3.6) of [15]):

NO qNO 1
O(x)O† (0) = 2 3 6
+ J(0) + . . . . (4.31)
(4π ) |x| NJ (4π )2 |x|4
2
5 Vector multiplets
5.1 Some conventions
• The Lie algebra of a group G is generated by the generators T A , A = 1, . . . , dim G.
6
From (4.31), we obtain the following expansion
O(x)O† (y) = COO† 1 (|x − y|, ∂y )1(y) + COO† J (|x − y|, ∂y )J(y) + . . . , (4.25)
with
qNO 1 1
COO† J (|x − y|, ∂y ) = + ... , (4.26)
NJ (4π 2 )2 |x − y|4
where . . . includes the terms with derivatives with respect to y. From which we can obtain the
three-point function
hO(x)O† (y)J(z)i = COO† 1 (|x − y|, ∂y ) h1(y)J(z)i +COO† J (|x − y|, ∂y )hJ(y)J(z)i + . . . (4.27)
| {z }
=0
We can choose an orthogonal basis of the operators such that

(
NJ 1
2 2 4 O
b=J
hO(x)J(y)i
b = (4π ) |x−y| (4.28)
0 O
b=6 J
Then, (4.27) reduces to
hO(x)O† (y)J(z)i = COO† J (|x − y|, ∂y )hJ(y)J(z)i

fOO† J (4.29)
= ∆O +∆O† −∆J
,
|x − y| |y − z|∆O† +∆J −∆O |x − z|∆O +∆J −∆O†
where ∆O = ∆O† = 3 and ∆J = 2, and it follows from (4.26) and (4.21) that
qNO 1 NJ qNO
fOO† J = · = , (4.30)
NJ (4π 2 )2 (4π 2 )2 (4π 2 )4
We thus recover (4.24), as expected.
– 11 –
• Example. In this note, we focus mostly on G = SU (N ). In which case,
dim G = N 2 − 1. The generators may themselves appear as N 2 − 1 matrices
in any representation of the group.
If we take T A in the fundamental representation, then each T A is an N ×
A
N matrix (Tfund )ba , where a = 1, . . . , N and b = 1, . . . , N are indices in the
fundamental and antifundamental representions of SU (N ).
A A A
Note that Tfund are traceless matrices, i.e. tr(Tfund ) = (Tfund )aa = 0, for all
A = 1, . . . , N 2 − 1.
• In the adjoint representation, (Tadj

A C
)B = f ABC , the structure constants of the
group. In any representation r,
[TrA , TrB ] = if ABC TrC . (5.1)
• The matrices T A in the representation r satisfies

TrA TrA = C2 (r)1 , tr(TrA TrB ) = T (r)δ AB , (5.2)
where C2 (r) is known as the quadratic Casimir and 2T (r) is known as the
Dynkin index of the representation r.
In particular, for G = SU (N ), we have
T (fund) = T (antifund) = 1/2, T (adj) = N ,
2
N −1 (5.3)
C2 (fund) = C2 (antifund) = , C2 (adj) = N .
2N
5.2 Gauge symmetry
Non-supersymmetric theories
Let us take the gauge symmetry to be U (N ). We first consider a gauge transformation
for an N -component scalar field φ(x) in a non-supersymmetric theory,
φ(x) −→ U (x)φ(x) (5.4)
where U (x) is a unitary matrix that is a function of a point x in the spacetime.
• The kinetic term for the ungauged theory ∂µ φ∂ µ φ is not invariant under this
transformation. We need to modify the kinetic term to Dµ φDµ φ where
Dµ = ∂µ φ − A µ φ , (5.5)
with Aµ an N × N anti-Hermitian matrices with the transformation rule
Aµ (x) −→ U Aµ (x)U −1 + U ∂µ U −1 . (5.6)
• The gauge kinetic term of Aµ arises from the gauge covariant combination
constructed from Aµ , which is Fµν = [Dµ , Dν ]. For the abelian group, Fµν is
gauge invariant.
– 12 –
Supersymmetric theories
In a supersymmetric theory, we consider an N -component chiral multiplet φ(y µ , θ),
which transform under the gauge transformation as
Φ(y, θ) −→ U (y, θ) Φ(y, θ) , (5.7)
where U takes values in the space of invertible N × N matrices. In the following, we

take
U = e−iΛ (5.8)
with Λ a chiral field (i.e. Dα̇ Λ = 0).
• Due to the chirality, we cannot impose the condition U † U = U U † = 1. Effec-

tively the gauge group is complexified, namely we have GL(N, C) instead of
U (N ).
The chiral superfields, in general, transform in a complex representation of the
symmetry group.
• The kinetic term Φ† Φ is not invariant under this transformation. We introduce

a superfield V (known as the vector superfield), such that V = V † , with the
transformation rule
†
eV −→ e−iΛ eV eiΛ . (5.9)
• The kinetic term of the chiral superfield is then
Φ† eV Φ . (5.10)
The presence of eV also spontaneously breaks the GL(N, C) to a subgroup

U (N ); the latter is left unbroken for any V .
• We can choose a special gauge (known as the Wess–Zumino gauge) such

that V takes the form7
1
V = −θσ µ θAµ + iθθθλ − iθθθλ + θθθθD , (5.11)
2
where Aµ is a gauge field, λ is a gaugino, and D is an auxiliary field. Note that
the θ, θ, θθ and θθ components vanish in this gauge.
• The kinetic term for the vector superfield V arises from a gauge covariant
combination constructed from V , which becomes gauge invariant for an abelian
gauge group. A minimal version is
Σαα̇ = Dα eV Dα̇ e−V (5.12)

7
We do not have time to discuss this in more detail. The reader is referred to [10].
– 13 –
The gauge kinetic term can be written as
Z
∝ d4 θ tr(Σαα̇ Σβ β̇ )αα̇ β β̇ . (5.13)
• However, it is more common to introduce a chiral superfield (known as the

gaugino superfield)
α̇ α̇
Wα = D Σαα̇ = D Dα eV Dα̇ e−V , (5.14)
and write the gauge kinetic term as

Z
∝ d2 θi tr(Wα W α ) + c.c. . (5.15)
This is proportional to (5.13). We will discuss more about this soon.
• If the gauge group is abelian, the term

Z
d4 θξV (5.16)
is also gauge invariant. This can be seen form the transformation rule (5.9) for
the abelian group: V → V + i(Λ − Λ† ). The integrations of Λ and Λ† over d4 θ
vanish, because they are chiral and antichiral. The term (5.16) is known as the
Fayet–Iliopoulos term.
5.3 Lagrangian for the vector multiplets

A 4d N = 1 vector multiplet consists of a Weyl fermion λα (gaugino) and a vector
field Aµ , both in the adjoint representation of the gauge group G. These can be
combined into the superfield Wα with the expansion
i µβ ν γ̇ A
WαA = −iλA A
α − σγ̇ σ α Fµν θβ + D θα + . . . . (5.17)
2
where D is an auxiliary field transforming in the adjoint representation of G.
• The kinetic term for the vector multiplet is

Z
−i
Z
4 2 A Aα
Sgauge = d x dθ τ Wα W + c.c. . (5.18)
16π
where
θ 4πi
τ= + 2 . (5.19)
2π g
– 14 –
• In terms of the components, this can be rewritten as
Z
4
h 1 A Aµν θ A e Aµν
Sgauge = d x − 2 Fµν F + 2
Fµν F
4g 32π
(5.20)
i A 1 i
− 2 λ σ µ Dµ λA + 2 DA DA ,
g 2g
where
A A
Fµν = Fµν T = ∂µ Aν − ∂ν Aµ + i[Aµ , Aν ]
= ∂µ A A A ABC B C
Aµ Aν T A ,

ν − ∂ν Aµ + f
Dµ λ = ∂µ λ + i[Aµ , λ] , (5.21)
1
Feµν = F ρσ µνρσ .
2
• For G = SU (N ), it is sometimes convenient to write adjoint fields using T A in

the fundamental representation; in which case, Aµ , λ, D as N × N hermitean
traceless matrices.
5.4 One-loop beta function coefficients

Recall that, for a gauge theory with complex scalars and fermions, the one-loop beta
function for the gauge coupling is
b0 g 3
βg1-loop = − , (5.22)
16π 2
where the one-loop beta function coefficient b0 is given by
11 2 X 1 X
b0 = T (adj) − T (ra ) − T (rb ) . (5.23)
3 3 3
a∈{Weyl ferms.} b∈{cplx scalars}
• For a theory with 4d N = 1 SUSY, we have

11 2 2 1 X
b0 = − T (adj) − + T (ri )
3 3 3 3
i∈{chiral multiplet}
X
= 3T (adj) − T (ri ) . (5.24)
i∈{chiral multiplet}
• Example. For the 4d N = 1 SU (Nc ) gauge theory with Nf chiral multiplets

in the fundamental and Nf chiral multiplets in the anti-fundamental represen-
tation,
1 1
b0 = 3(Nc ) − ( Nf + Nf ) = 3Nc − Nf . (5.25)
2 2
This theory is often referred to as the SU (Nc ) supersymmetric QCD (SQCD)
with Nf flavours.
– 15 –
5.5 One-loop exactness of the holomorphic gauge coupling
• τ appears in the action as a background chiral superfield. Hence, it must run
and stay holomorphic:

∂ θ 4π
βτ = + i 2 must be holomorphic in τ . (5.26)
∂ ln µ 2π g
• Claim: θ does not run (i.e. it is not renormalised in perturbation theory).
Reason: Any shift in θ, i.e. θ → θ+a, can always be absorbed in a (anomalous)

phase rotation of a massless fermion.
– In any 4d N = 1 gauge theory, there is always a classical U (1) global

symmetry that can be used to rotate the phase of a massless fermion λ
such that λ → eiα λ, λ → e−iα λ.
Example: For a gaugino λ in the vector multiplet, this global symmetry
is known as the U (1)R symmetry. It is associated with the current
1 A µ A
Jµ = λ σ λ . (5.27)
g2
– Quantum mechanically, this U (1) global symmetry is anomalous, known
as the axial anomaly. The associated current is not conserved:
T (adj)
∂µ J µ = tr F Fe . (5.28)
16π 2
This can be regarded in terms of a triangle diagram, whose corners consist
of two gauge currents and one U (1)R symmetry current J.
– This anomaly is equivalent to changing the path-integral measure which
amounts to shifting the Lagrangian by (more details soon)
T (adj)
α tr F Fe . (5.29)
16π 2
– Observe that this is equivalent to the following shift in θ,
θ → θ + a, with a = 2T (adj)α , (5.30)
for which the relevant term in the Lagrangian is shifted as follows:
θ e → θ tr F Fe + a tr F Fe .
tr F F (5.31)
32π 2 32π 2 32π 2
• βτ is therefore independent of its real part. But since βτ is holomorphic, it
must be a constant:

∂ θ 4π ∂ 4π 8πi i
+i 2 = i 2 = − 3 βg = const. = b0 ; (5.32)
∂ ln µ 2π g ∂ ln µ g g 2π
observe that the last equality matches precisely with the one-loop result.
– 16 –
βτ is perturbatively one-loop exact.
– We emphasise that this is true for the holomorphic coupling only.

– Note that τ can still receive non-perturbative corrections, e.g., instanton
contributions. Such corrections can be computed exactly in several 4d
N = 2 gauge theories.
• Assume that b0 6= 0. We can integrate this to get
4π 2 i
i = − b0 (ln |Λ| − ln µ)
g 2 (µ) 2π
|Λ|eiθ/b0

θ 4π ib0
⇒ τ= +i 2 =− ln (5.33)
2π g 2π µ
It is useful define a complex number
Λ := |Λ|eiθ/b0 , (5.34)
and obtain
b0
8π 2 Λ
2πiτ (µ) − +iθ
e =e g 2 (µ) = . (5.35)
µ
Comments:
– Relation (5.35) is the dimensional transmutation; Λ is intrinsic to the
theory – it is not a cut-off.
– Since Λ has a mass dimension 1, the quantum theory is not scale invariant
even if the classical theory is.
– Although Weff is still constrained by the perturbative non-renormalization
theorem, the presence of holomorphic Λ permits, in many cases, a non-
perturbative renormalization of the superpotential. We will mention an
example due to Affleck–Dine–Seiberg [16] shortly.
2 2
– Due to the factor e−8π /g , (5.35) is regarded as the one-instanton effect.
This effect brings about the factor Λb0 .
6 A brief introduction to extended supersymmetry

6.1 Gauge theories with 8 real supercharges
In d = 4, a theory with 8 supersymmetry generators has two Majorana spinors is
therefore called 4d N = 2. The R-symmetry is SU (2)R × U (1)R .
– 17 –
Vector multiplet. Gauge fields are collected in a vector multiplet; it contains
• a gauge boson Aµ , a Majorana fermion λ, and a real auxiliary field D,
• a Majorana fermion ψ, a complex scalar φ and a complex auxiliary field F .
• We arrange the fields as
Aµ
λ ψ (6.1)
φ
to exhibit the SU (2)R symmetry which acts on the rows; Aµ and φ are singlets
and λ, ψ are a doublet.
Let U (1)J be the Cartan generator of SU (2)R . The fields carry the following
charges under U (1)J :
J(φ) = 0 , J(λ) = +1 , J(ψ) = −1 , J(Aµ ) = 0 . (6.2)
• In terms of the 4d N = 1 notation, these fields can be organised into a vector

multiplet Wα containing (Aµ , λ) and a chiral multiplet Φ containing (φ, ψ).
The U (1)R charge of Φ is R(Φ) = 2, and so
R(φ) = 2 , R(λ) = R(ψ) = 1 , R(Aµ ) = 0 . (6.3)
Hypermultiplet. Matter fields are collected in the hypermultiplet.
• It consists of two Weyl fermions ψq and ψqe† and complex bosons q and qe†
• We arrange the fields as
ψq
q qe† (6.4)
ψqe†
to exhibit the SU (2)R symmetry which acts on the rows.

Under the Cartan generator U (1)J of SU (2)R , the fields carry the following
charges
J(q) = 1 , J(eq † ) = −1 , J(ψq ) = J(ψqe† ) = 0 . (6.5)
and so
J(q) = J(e
q) = 1 , J(ψq ) = J(ψqe) = 0 . (6.6)
– 18 –
• In terms of the 4d N = 1 language, these fields make up two chiral multiplets
Q containing (q, ψq ) and Q
e containing (e
q , ψqe).
The U (1)R charges for Q and Q e are R(Q) = R(Q) e = 0, and so
q†) = 0 ,
R(q) = R(e R(ψq ) = −1 , R(ψqe† ) = 1 . (6.7)
and so
R(q) = R(e
q) = 0 , R(ψq ) = R(ψqe) = −1 . (6.8)
Some interesting properties.
• Example: Consider the 4d N = 2 SU (Nc ) gauge theory with Nf flavour of

the massless fundamental hypermultiplets.
In the 4d N = 1 notation, this theory has an SU (Nc ) N = 1 vector multi-
plet, an adjoint chiral field Φ, and Nf flavours of chiral fields Q and Q
e in the
fundamental and antifundamental representations, with the superpotential
√ a b i
W = 2Q e Φ Q .
i a b (6.9)
where a, b = 1, . . . , Nc and i, j = 1, . . . , Nf . Note that the superpotential

carries charge 2 under both U (1)J and U (1)R .
The one-loop beta function coefficient is
1 1
b0 = 3Nc − Nc − Nf − Nf = 2Nc − Nf . (6.10)
2 2
Thus, b0 = 0 when Nf = 2Nc .
• N = 2 supersymmetry relates the wavefunction renormalisation factor Zij in

d θZij Q†i eV Qj to the holomorphic coupling τ , which should be regarded as a
R 4
background field in the vector multiplet.

For this reason, the beta function is one-loop exact to all orders in pertur-
bation theory, and the anomalous dimensions for Q and Qe are zero.
Thus, for such an N = 2 superconformal field theory, τ is an exactly marginal
coupling parameter. (The non-perturbative corrections may induce a renor-
malisation, but such a renormalisation is believed to be finite.)
6.2 Gauge theories with 16 real supercharges

In d = 4, such a theory has four Majorana spinors is therefore called 4d N = 4. The
R-symmetry is SU (4)R . The theory contains only the N = 4 vector multiplet, and
hence it is also known as the N = 4 super–Yang–Mills (SYM).
– 19 –
• In the N = 2 notation, the N = 4 SU (Nc ) gauge theory has an N = 2
SU (Nc ) vector multiplet and one hypermultiplet in the adjoint representation
of SU (Nc ).
• In the N = 1 notation, the N = 4 SU (Nc ) gauge theory contains 3 chiral

multiplets φ1 , φ2 , φ3 in the adjoint representations of SU (Nc ) with the super-
potential √
W = 2φ1 [φ2 , φ3 ] . (6.11)
• The one-loop beta function coefficient vanishes, b0 = 3Nc − Nc − Nc − Nc = 0,

to all orders in perturbation theory, since the N = 4 gauge theory can also be
viewed as an N = 2 gauge theory.
Hence, τ is an exactly marginal coupling parameter. (In fact, it can also
be shown that τ does not receive any non-perturbative correction.)
7 Pure N = 1 gauge theory

Consider a 4d N = 1 SU (Nc ) gauge theory with no chiral multiplet; the theory
contains just a vector multiplet and has an action
Z
4 1 θ i
Sgauge = d x tr − 2 F F + F F + 2 λσDλ .
e (7.1)
4g 32π 2 g
This Lagrangian looks just like that of ordinary QCD, but with the massless quarks
replaced by one flavour in the adjoint representation of the gauge group.
Our aim is to show that
• The anomalous U (1) discussed before is actually the R-symmetry of this theory.
• The intrinsic scale Λ of this theory is generated by the gaugino condensation.

In other words, the condensate hλA αλ
Aα
i breaks the classical scale invariance.
R-symmetry. The action possesses a global symmetry which rotates
λ → eiα λ, λ → e−iα λ . (7.2)
This is identified as the U (1) R-symmetry. The R charges are as follows:

A µ
R(λ) = 1, R(Fµν σαα̇ σβν β̇ ) = 0, R(λ) = −1 . (7.3)
From (5.30), rotating the phase λ → eiα λ is equivalent to shifting the θ angle,
θ → θ + 2Nc α or τ → τ + αNc /π . (7.4)
Thus, e2πiτ → e+2αNc i e2πiτ . Since e2πiτ ∼ Λb0 , we see that the R charge of Λ is
R(Λ) = 2Nc /b0 . (7.5)
– 20 –
7.1 Anomaly of the R-symmetry
• As shown earlier in (5.27) and (5.28), in this theory the current associated
to this U (1)R symmetry is not conserved at the quantum level. The U (1)R
symmetry is hence anomalous and is dynamically broken.
• In the path integral language, a classical symmetry survives at quantum level if

it preserves the path integral measure in addition to the classical action. Under
λ → eiα λ, the measure is shifted by
Z
iα 4 A eB A B
Dλ → Dλ exp d x F F tr(Tadj Tadj )
16π 2
Z
iαNc 4 A eA
= Dλ exp dxF F
16π 2
= Dλ exp (iα2Nc k) , (7.6)
where, for SU (Nc ) gauge group,

Z
1
d4 x tr F Fe = k, with k ∈ Z ; (7.7)
32π 2
the integer k is known as the instanton number, and the measure (7.6) is
said to be evaluated in the k-instanton background.
As discussed earlier, this transformation in the path-integral measure is equiv-
alent to the shift in the θ-angle by
θ → θ + 2Nc α . (7.8)
• Hence, a discrete Z2Nc subgroup of U (1)R , for which
λ → e2πin/2Nc λ , n = 0, 1, . . . , 2Nc − 1 (7.9)
(i.e., α = 2πn/2Nc ) leaves the path integral invariant. Thus, at this point, we
see that, due to instanton effects,
the U (1)R symmetry is dynamically broken to Z2Nc .
• We’ll see soon that gaugino condensation spontaneously breaks the Z2Nc sym-
metry to Z2 in each vacua.
7.2 Gaugino condensation

• In this theory b0 = 3Nc , so we expect the gauge coupling to run and theory is
not scale invariant at the quantum level. Due to the one-instanton effect, we
expect Λ3Nc to be dynamically generated.
– 21 –
• Since Λ3Nc has an R charge 2Nc and a mass dimension 3Nc , the only object
that is compatible this is the condensate
h(tr λλ)Nc i := htr λλ(x1 ) tr λλ(x2 ) . . . tr λλ(xNc )i = cΛ3Nc , (7.10)
This constant c is actually non-zero. In fact, it has been a long standing

problem for determining a correct value for c; see e.g. [17, 18]. The precise
value of c is not important for our purpose. For us, we simply take c 6= 0.
• The quantity h(tr λλ)Nc i can be computed using the cluster decomposition,
h(tr λλ)Nc i := htr λλ(x1 ) tr λλ(x2 ) . . . tr λλ(xNc )i

|xi −xj |Λ−1
(7.11)
Nc
= (htr λλi) ,
where the last equality holds only when the separation between the xi is large
compared to the length scale Λ−1 .
However, it can be shown that htr λλ(x1 ) tr λλ(x2 ) . . . tr λλ(xNc )i is inde-
pendent of x1 , . . . xNc . In other words, the product of tr λλ has no short-
distance singularities. (In fact, tr λλ is the lowest component of the chiral su-
perfield S = tr W 2 , also known as the glueball superfield. Since the product
of the chiral superfields has no short-distance singularities, the former state-
ment follows. We will demonstrate this shortly.)
This statement means that we can always take the separation between the xi
to be large compared to Λ−1 and obtain, using (7.10),
(htr λλi)Nc = cΛ3Nc
Taking the Nc -root on both side, we see that there are Nc vacua, labelled by
m = 0, 1, . . . , Nc − 1, such that in the m-th vacuum,
cΛ3 e2πim/Nc , e
htr λλim = e c 6= 0 . (7.12)
• Since in each vacua htr λλi =

6 0 is invariant under λ → eiα λ iff α = 0, π, 2π, . . .,
gaugino condensation breaks the global symmetry Z2Nc to Z2 in any

of the vacua.
The non-trivial element of Z2 can be identified as the 2π rotation in SO(1, 3),

because its action is (−1)F . Hence, this Z2 is unbroken.
• These Nc vacua are permuted by the Z2Nc symmetry (or equivalently by the
shift θ → θ + 2π). The generator of the group Z2Nc sends the m-th vacuum to
the (m + 1)-th and multiplies htr λλi by e2πi/Nc .
– 22 –
• Due to the condensate hλλi 6= 0, the standard expectations about the N = 1
pure SU (Nc ) gauge theory are as follows: (1) the theory has a mass gap, (2) the
theory is believed to have a confinement and (3) chiral symmetry breaking: Z2Nc
is broken to Z2 , and there are precisely Nc vacua required by this symmetry
breaking.
Statement (1) implies that fermion masses are dynamically generated. This
suggests that Z2Nc is broken down to a subgroup that allows bare masses for
elementary fermions. The largest such subgroup is Z2 .
• For the super–Yang–Mills theory with a general gauge group G, the number
of vacua is equal to the dual Coxeter number h∨ (G) of G, assuming that G is
connected, simple and simply-connected8 .
To show that htr λλ(x1 ) . . . tr λλ(xNc )i is independent of x1 , . . . xNc .

The idea is taken from section 2 of [20].
• Since Wα is a chiral field (but it is not gauge invariant), it follows that
Dα̇ Wβ = 0 . (7.13)
• Defining a gauge invariant quantity
S ≡ tr W 2 = WαA W Aα , (7.14)
we thus have
Dα̇ S = 0 . (7.15)
• Since {Dα , Dα̇ } = −2iσαµα̇ ∂x∂ µ ≡ −2i ∂x∂αα̇ , we get

∂
− 2i S = Dα̇ Dα S . (7.16)
∂xαα̇
• Let us consider

∂ i

αα̇
(S(x1 )S(x2 ) · · · S(xn )) = Dα̇ Dα S(x1 ) S(x2 ) · · · S(xn )
∂x1 2
* !+
i
= Dα̇ Dα S(x1 )S(x2 ) · · · S(xn ) (7.17)
2
* +
iX
− Dα S(x1 ) · · · Dα̇ tr S(xk ) · · ·
2 k>1
| {z }
=0
and so the last term in the second equality vanishes.

8
The reader is referred to [19] for more details if this assumption does not hold. For example,
if G = Spin(4) = SU (2) × SU (2), we have in total four vacua with h(λλ)s i = ±Λ3s , where s = 1, 2
labels the two SU (2) factors.
– 23 –
• In fact, the first term hDα̇ (. . .)i in the first line of the second equality of (7.17)
also vanishes. The argument is as follows.
Since the supercharge Qα̇ can be viewed as a differential operator associated
with the superspace derivative Dα̇ , we may write
hDα̇ (. . .)i = h0|Qα̇ (. . .)|0i . (7.18)
Under the assumption that supersymmetry is unbroken, Qα |0i = 0 and also

h0|Qα̇ = 0. Therefore, hDα̇ (. . .)i = 0.
It thus follows that

∂
(S(x1 )S(x2 ) · · · S(xn )) = 0 . (7.19)
∂xα1 α̇
This of course holds for any derivative with respect to xjαα̇ with j = 1, . . . , n.
• Recalling that the lowest component of S is tr λλ, we thus arrive at the con-
clusion that htr λλ(x1 ) tr λλ(x2 ) . . . tr λλ(xNc )i is independent of x1 , . . . xNc .
7.3 The Witten index

Let us put the N = 1 super Yang-Mills theory in a box of size L × L × L with the
periodic condition in each direction (i.e. on T 3 with a periodic boundary condition).
• Given a dynamical scale Λ, we can study the theory in the limit L Λ−1 and
L Λ−1 . In a supersymmetric theory, it can be argued that the number of
vacua in both limits should agree.
Note that L Λ−1 is weakly-coupled, so we can perform an honest computa-
tion of the counting of the vacua.
• On T 3 with a periodic boundary condition, the translation P µ and the super-

translations Qα and Q†α are unbroken. We take a single linear combination Q
of Qα and Q†α , satisfying
H = P 0 = {Q, Q† } . (7.20)
The fermion number operator (−1)F satisfies
{(−1)F , Q} = 0 . (7.21)
• Consider the eigenstates |Ei of the Hamiltonian H:
H|Ei = E|Ei . (7.22)
We will show that for E 6= 0, a bosonic state is always paired with a

fermionic state. A perturbation can excite certain states with E = 0 to
– 24 –
become those with E 6= 0, but these are necessarily composed of pairs of a
fermionic and a bosonic states. In other words, this does not change tr (−1)F .
E
• ×
• ×
• (7.23)
• This leads to the following definition of the Witten index:

ZW := tr eβH (−1)F = tr |E=0 (−1)F . (7.24)
It is a robust quantity that is independent of the change in size L of the box.
• An important observation: If supersymmetry is spontaneously broken, then

there are no zero energy ground states, and so the Witten index is zero.
7.3.1 The 4d N = 1 SU (Nc ) super-Yang-Mills

• The limit L Λ−1 . There is a single vacuum for each m (with m =
cΛ3 e2πim/Nc . They are all related by an
0, . . . , Nc − 1) such that htr λλim = e
Z2Nc symmetry, so these Nc states have the same value of (−1)F .
Thus |ZW | = Nc in the limit L Λ−1 .
• The limit L Λ−1 . (In the following we follow the argument in section 8 of
Witten’s 1982 paper [21].)
The system is weakly coupled. Since non-zero electric and magnetic fields
contribute to the energy of the system, we set Fµν = 0 for µ, ν = 1, 2, 3 to have
almost zero energy.
The low energy degrees of freedom are the commuting holonomies
U1 , U2 , U3 ∈ SU (Nc ) , (7.25)
corresponding to the directions x, y and z. Since these commute with each
other, they can be simultaneously diagonalised into the following form
Uµ = diag exp(iθµ1 ), . . . , exp(iθµNc ) , µ = 1, 2, 3 .

(7.26)
such that N
P c i
i=1 θµ = 0 for all µ = 1, 2, 3. These holonomies are elements of the
Cartan torus of SU (Nc ), and they are continuously connected to the identity,
which corresponds to θµi = 0.
The gaugino zero modes take the form
λα = diag(1α , 2α , . . . , N
α ) ,
c
(7.27)
where iα (with α = 1, 2 and i = 1, . . . , Nc ) are constants with the condition
PNc i
i=1 α = 0.
– 25 –
– In the following, we treat θµa and aα , with a, b = 1, . . . , Nc − 1, as the
r = Nc − 1 (7.28)
independent components for each quantity. Here r = Nc − 1 is the rank

of SU (Nc ), which is the maximum number of commuting generators.
– We focus on the spectrum of low-lying states; these can be computed by
quantising θµa and aα . In doing so, me may put the bosonic degrees of
freedom θµa in their ground state and forget about them. However, we
must take account of the fermions.
– The fermions can be described by the creation and annihilation operators
a∗αa and abα (with α = 1, 2 and a, b = 1, . . . , r = Nc − 1). In the fermion
Hilbert space there is a state |Ωi that is annihilated by the annihilation
operators.
The other states are obtained by acting with creation operators, e.g. a∗aα |Ωi,
∗a ∗b
aα aβ |Ωi.
– Now we look at the quantities constructed from a∗a α that are invariant
under the Weyl symmetry of SU (Nc ), which is the permutation group of
Nc objects.
There are two types of tensors that can be used to contract the a, b indices,
namely δab and a1 ,...,aNc −1 .
– The two non-vanishing combinations are
Spin 0: S = a∗a ∗b αβ
α aβ δab
1 (7.29)
Spin r: Sbα1 ···αr = a∗a1 ∗a2 ∗ar
α1 aα2 · · · aαr a1 ...ar
2
∗ Because of the Fermi statistics, we need to contract α, β indices in S
by αβ . Also, Sb is symmetric in its indices because of this reason.
∗ Note that Sb has r!1 r+1
Q
j=2 j = r + 1 components.
– If |Ωi transform in the trivial representation of the Weyl symmetry, the

states are
|Ωi, S|Ωi, S 2 |Ωi, . . . , S r |Ωi . (7.30)
They are all bosonic, and so
ZW = tr(−1)F = r + 1 = Nc . (7.31)
– If |Ωi transform in a non-trivial one-dimensional representation of the

Weyl symmetry, this state itself cannot be physical, since it is not a true
invariant and violates Gauss’ law. However, we can make it a true invari-
ant with S:
b
Sbα1 ···αr |Ωi . (7.32)
– 26 –
These r + 1 states have spin 21 r. The Witten index is therefore
ZW = tr(−1)F = (−1)r (r + 1) = (−1)Nc −1 Nc . (7.33)
– In both cases, we see that the absolute value of the Witten index is
the rank of gauge group SU (Nc ) plus one:
|ZW | = r + 1 = Nc . (7.34)
This turns out to be equal to the dual Coxeter number of SU (Nc ).

(The fact that the rank plus one coincides with the dual Coxeter numer
is actually a coincident for the SU (Nc ), U Sp(2Nc ), Spin(5) and Spin(6)
gauge group.)
– It is very important to note that for other gauge groups, such as Spin(Nc )
with Nc ≥ 7, the (absolute value of) Witten index is no longer equal to
the rank plus one. It is equal to the dual Coxeter number of the gauge
group.
We will discuss this point shortly.
– As an immediate corollary, since the Witten index is non-zero, the su-
persymmetry is not spontaneously broken in the pure super–Yang–Mills
theory.
Pairing of bosonic and fermionic states for E 6= 0

The multiplet structure for the algebra of Q, Q† , (−1)F , H are as follows:
|Ei
Q|Ei Q† |Ei (7.35)
† †
(Q Q − QQ )|Ei
This involves 4 states. If either Q|Ei or Q† |Ei is zero, the multiplet has 2 states. If
Q|Ei = Q† |Ei = 0, the multiplet has 1 state, and, in addition, E is zero due to
EhE|Ei = hE|H|Ei = hE|QQ† + Q† Q|Ei = |Q† |Ei|2 + |Q|Ei|2 . (7.36)
Thus, a bosonic state is always paired with a fermionic state unless E = 0.
7.3.2 Subtleties of the Spin(Nc ) gauge theory with Nc ≥ 7

• For the gauge group G = Spin(Nc ), the rank is rG = bNc /2c and the dual
Coxeter number is h∨ (G) = Nc − 2. Hence the rank plus one is in general, not
equal to the dual Coxeter number.
– 27 –
• Using a similar argument as above with r being the rank of Spin(Nc ) would
lead to a conclusion that |ZW | = bNc /2c + 1, but this is incorrect.
The reason is that for Spin(Nc ) with Nc ≥ 7, there are two classes of holonomies.
The first class consists of the commuting holonomies that are continuously con-
nected to the identity (similarly to the above discussion), and the other class
consists of those that are not connected to the identity. In Witten’s 1982 pa-
per [21] the second class was not taken into account, but later in 1997 Witten
himself [22] corrected this mistake and obtained the correct result.
In the following, we review the argument presented in Appendix I of [22].
• The Witten index receives two contributions, from each class of the holonomies.
– The first class, consisting of the holonomies in the Cartan torus of Spin(Nc ),
contributes rG + 1 = bNc /2c + 1 to the Witten index, by the similar ar-
gument as before.
– The second class requires more discussion.
Let us start from Nc = 7. The commuting holonomies U1 , U2 , U3 are
diagonal matrices with eigenvalues (U1 , U2 , U3 ) = (±1, ±1, ±1), with each
of the 23 − 1 = 7 combinations of signs other than (1, 1, 1) appearing with
multiplicity one. Explicitly, they are
diag(+1, +1, +1, −1, −1, −1, −1)

diag(+1, −1, −1, +1, +1, −1, −1) (7.37)
diag(−1, +1, −1, +1, −1, +1, −1) .
Obviously, these matrices are not connected to the identity and does not
admit any deformation. Hence the unbroken subgroup of Spin(7) has
rank 0 in this case. Thus, the contribution of the second class of the
holonomies to the Witten index is 0 + 1 = 1. Summing the first and
second contribution together, we obtain
|ZW | = (3 + 1) + (0 + 1) = 5 = h∨ (Spin(7)) . (7.38)
For Nc ≥ 7, the commuting holonomies is of the form Uµ Vµ (with µ =

1, 2, 3 and no summation), where Vµ are elements in the Cartan torus of
Spin(Nc − 7). The unbroken subgroup of Spin(Nc ) is Spin(Nc − 7), and
so the contribution of the second class of the holonomies to the Witten
index is b Nc2−7 c + 1. Summing the first and second contribution together,
we obtain

Nc Nc − 7
|ZW | = b c + 1 + b c + 1 = Nc − 2 = h∨ (Spin(Nc )) . (7.39)
2 2
– 28 –
8 Supersymmetric QCD
We consider a 4d N = 1 SU (Nc ) gauge theory with Nf chiral multiplets Q in the an-
tifundamental representation of SU (Nc ) and Nf chiral multiplets in the fundamental
representation. We also take the superpotential to be zero.
• The action of this theory is
SSQCD = Sgauge + Skin (8.1)

i
R 2
where Sgauge = − 16π d θτ tr Wα W α as before and
Z Z h i
Skin = d x d4 θ (Q† )ib (eV )ba Qai + (Q
4 e† )a (eV )b Q
i
ei ,
a b (8.2)
where a, b, c = 1, 2, . . . , Nc and i, j, k = 1, 2, . . . , Nf .
• In components,
Nf Z h
X i
Skin = d x Dµ Q†i Dµ Qi + iψ σDψi + F †i Fi + Q† i ψi λ
4
i=1 (8.3)
i
i
λ ψ Qi + Q†i DQi + Qi → Q
ei , ψi → ψei , Fi → Fei
where the contraction of gauge indices is in each case unique, e.g. in the term
Q†i DQi the indices are contracted as
(Q† )ib DA (T A )ba (Q)ai . (8.4)
• Classically, the theory has a global symmetry SU (Nf )1 × SU (Nf )2 × U (1)Q ×

U (1)Qe , as well as the R-symmetry, with the following transformation rules:
SU (Nc ) SU (Nf )1 SU (Nf )2 U (1)Q U (1)Qe

Q Nc Nf 1 1 0 (8.5)
Q
e Nc 1 Nf 0 1
Q Q
(8.6)
e
Nf Nc Nf
At this stage, the R-symmetry can be taken to be U (1)X that rotates the phase
of the fermions as
U (1)X : ψ → e−iα ψ, ψe → e−iα ψ,

e λ → eiα λ . (8.7)
It can be checked that the Lagrangian is invariant under these actions. The
R-charges of Q, Q
e and λ are therefore 0, 0, 1 respectively.
– 29 –
It is common to take the following linear combinations of U (1)Q and U (1)Qe :
Baryonic symmetry: U (1)B = U (1)Q − U (1)Qe

(8.8)
Axial symmetry: U (1)A = U (1)Q + U (1)Qe .
SU (Nc ) SU (Nf )1 SU (Nf )2 U (1)B U (1)A

Q Nc Nf 1 1 1 (8.9)
Q
e Nc 1 Nf −1 1
We will shortly see that both U (1)A and U (1)X are anomalous in the quantum
theory.
8.1 The classical moduli space

• The scalar potential is given by
1 A A
V = VD + VF , VD = D D , VF = (F † )ia Fia + (Fe† )ai Feai . (8.10)
2g 2
The equations of motion of D, F and Fe give

h i
A A a † i b † b ei
D ∝ (T )b (Q )a Qi − (Q )i Qa ,
e Fia = 0, Feai = 0 . (8.11)
• The condition for a supersymmetric vacuum requires that
V = VD = 0 ⇔ (Q† )ia Qbi − Q e† )bi = rδab

eia (Q for some r ∈ R. (8.12)
The equations on the right are sometimes called the D-terms. They lead to
flat directions which we refer to as the classical moduli space Mcl
Nf ,Nc .
Case I: Nf < Nc .
e† in the form:
There exist gauge and flavour transformations that put Q and Q
 
a1
 a2
 
Q∼

∼Q e† , (8.13)
.

 
aNf N ×N
f c
for some ak ≥ 0 (1 ≤ k ≤ Nf ), and we have r = 0.

• Generically these ak > 0 and the gauge group SU (Nc ) is broken to SU (Nc −Nf ).
• Let’s compute the dimension of Mcl

Nf <Nc :
1. Originally, we have 2Nc Nf complex DOFs of scalars in the chiral multi-

plets Q, Q.
e
– 30 –
2. The gauge symmetry is broken SU (Nc ) → SU (Nc − Nf ), so
(Nc2 − 1) − (Nc − Nf )2 − 1 = 2Nc Nf − Nf2

complex DOFs of chiral multiplets are eaten by vector multiplets which

then becomes massive.
3. Thus, the number of massless (complex) DOFs is 2Nc Nf −(2Nc Nf −Nf2 ) =
Nf2 . This is the dimension of the classical moduli space:
dimC Mcl 2
Nf <Nc = Nf . (8.14)
• A suitable parametrisation of Mcl Nf <Nc is in terms of massless gauge invariant

objects. In this case, it is the meson fields:
Mij = Qai Q
ej .
a (8.15)
Observe that Mij has Nf2 complex DOFs, precisely that of dimC Mcl
Nf <Nc .
Case II: Nf ≥ Nc .
Up to gauge and flavour rotations
   
a1 ea1
 a
 a2
  e 
 2  
. .
   
†
Q= , Q = , for some ak , a0k ≥ 0
  e  
aN c  aNc 
 
  e
   
   
Nf ×Nc Nf ×Nc
2 2
|ai | − |e
ai | = r (independent of i). (8.16)
• Generically, the gauge group SU (Nc ) is completely broken
• For Nf ≥ Nc we have dimC Mcl 2

Nf ≥Nc = 2Nc Nf − (Nc − 1).
• The gauge invariant description is given by the fields
Mij = Qai Q
eja ,
a
Bi1 ...iNc = a1 ...aNc Qai11 · · · QiNNcc ,
e i1 ...iNc = a1 ...aNc Q
B e i Nc ,
e i1 · · · Q (8.17)
a1 aNc
subject to various classical relations,

e = ∗(M Nc ) ,
(∗B)B
M · ∗B = M · ∗B
e=0, (8.18)
where (∗B)iNc +1 ...iNf = N1c ! i1 ...iNf B i1 ...iNc and a ‘·’ denotes a contraction of an
upper with a lower flavour index.
– 31 –
• For Nf = Nc , the classical relations reduce to a single one:
det M − (∗B)(∗B)
e =0, (8.19)
• The moduli spaces, for all Nf ≥ Nc , are singular at the origin, where M = B =
B
e = 0.
The classical interpretation is that the SU (Nc ) gauge fields, which are massless
at the origin, need to be included for the low-energy effective theory to be
non-singular.
• We will, however, shortly see that the relation (8.19) gets modified in the
quantum theory, and there is no singularity for the case of Nf = Nc .
Moreover, for Nf < Nc , we will shortly see that quantum effects lift the classical
vacua completely, and there is no supersymmetric vacuum.
8.2 The quantum theory

8.2.1 Anomalous and non-anomalous global U (1) symmetries
• We recall the transformation rules of the chiral fields under the global symme-
try:
SU (Nf )1 SU (Nf )2 U (1)B U (1)A
Q Nf 1 1 1 (8.20)
Qe 1 Nf −1 1
There is also a global symmetry U (1)X that rotates the phase of the fermions
as
U (1)X : ψ → e−iα ψ, ψe → e−iα ψ,

e λ → eiα λ . (8.21)
where ψ is the fermionic partner of Q, ψe is the fermionic partner of Q,

e and λ
is the gaugino.
• In summary the massless fermions transform under U (1)A × U (1)B × U (1)X as
U (1)A U (1)B U (1)X

ψ 1 1 −1
ψe 1 −1 −1
(8.22)
λ 0 0 +1
DλDψDψe → DλDψDψe e iαk# 2Nf 0 (2Nc − 2Nf )
shift in θ 2Nf 0 (2Nc − 2Nf )
– 32 –
• Quantum mechanically, these U (1) symmetries transform the path-integral
measure and the θ-angle as in the above table; this can be computed simi-
larly to (7.6). For example, for the U (1)X symmetry,
DλDψDψe
Z
iα 4 A eB
A B A B A B

→ DλDψDψ exp
e d x F F tr(Tadj Tadj ) − Nf tr(Tfund Tfund ) − Nf tr(Tantifund Tantifund )
16π 2
  
Z  
 iα
 
4 A eA
= DλDψDψ exp  d x F F T (adj) −N T (fund) −N T (antifund)

f f
e
16π 2


| {z } | {z } | {z }

Nc 1/2 1/2
Z
iα
= DλDψDψe exp (2Nc − Nf − Nf ) d4 x F A FeA
32π 2
= DλDψDψe exp [iα(2Nc − Nf − Nf )k] , k∈Z.
(8.23)
Hence, U (1)A and U (1)X are anomalous, whereas U (1)B is anomaly-free.
• We can define an anomaly-free R-symmetry by taking

Nf − Nc
R=X+ A, (8.24)
Nf
so that
Nc
R(ψQ ) = R(ψQe ) = − , R(λ) = 1 . (8.25)
Nf
It follows that
e = 1 − Nc = Nf − Nc .
R(Q) = R(Q) (8.26)
Nf Nc
• The global symmetry of the quantum theory is SU (Nf )1 × SU (Nf )2 × U (1)B ×
U (1)R . The chiral fields Q, Q
e and the gauge invariant quantitites M, B, B e
transform as follows:
SU (Nf )1 SU (Nf )2 U (1)B U (1)R U (1)A
Q Nf 1 1 (Nf − Nc )/Nf 1
Q
e 1 Nf −1 (Nf − Nc )/Nf 1
(8.27)
M Nf Nf 0 2(Nf − Nc )/Nf 2
Nc
B ∧ Nf 1 Nc Nc − Nc2 /Nf Nc
Nc
B
e 1 ∧ Nf −Nc Nc − Nc2 /Nf Nc
8.2.2 The dynamical scale

• The classical Lagrangian depends only a a dimensionless coupling, so it’s clas-
sically scale invariant.
• However, since the beta function coefficient b0 = 3Nc − Nf , the theory is

asymptotically free if Nf < 3Nc . We need to introduce a mass scale Λ to
quantum theory; this is due to dimensional transmutation.
– 33 –
• The scale Λb0 = Λ3Nc −Nf transforms under the anomalous U (1)A symmetries
by virtue of the transformation of the θ-angle; see (8.22).
SU (Nf )1 SU (Nf )2 U (1)B U (1)R U (1)A

3Nc −Nf
Λ 1 1 0 0 2Nf
8.3 The Novikov–Shifman–Vainshtein–Zakharov (NSVZ) beta function

Let us first consider the N = 1 SU (Nc ) pure super–Yang–Mills (SYM) theory.
• Recall that the Lagrangian is

−i
Z
d2 θ τ WαA (V )W A α (V ) + c.c. (8.28)
16π
2
with WαA (V )T A = − 41 D e−V Dα eV and V is the vector superfield. Recall also
that the holomorphic coupling τ gets renormalised only at one-loop in per-
turbation theory.
• On the other hand, we can work with the canonically normalised kinetic term:
Z
1 2 1 θ
dθ 2
− i 2 WαA (gVc )W A α (gVc ) + c.c. (8.29)
4 g 8π
where g is real and physical, and Vc is a real vector superfield (the subscript c
stands for “canonical”). Note that this Lagrangian is no longer holomorphic
in the combination g12 − i 8πθ 2 .
Goal: Determine how the coupling g runs, i.e. compute the beta function of
g in the canonically normalised kinetic term (8.29).
Note that such a beta function was first computed in the N = 1 gauge theory
with matter by Novikov–Shifman–Vainshtein–Zakharov (NSVZ) [23]. In the
following, we will follow the argument by Arkani-Hamed and Murayama [24].
• Changing from V to gVc transforms the path integral as follows:

Z Z Z
1 4 2 τ A Aα
DV exp − dx dθ W (V )W (V ) + c.c.
4 4πi α
Z Z Z
1 4 2 τ A Aα
= D(gVc ) exp − dx dθ W (gVc )W (gVc ) + c.c.
4 4πi α
Z Z Z
1 4 2 τ T (adj) A Aα
= D(Vc ) exp − dx dθ + log ZW Wα (gVc )W (gVc ) + c.c.
4 4πi 8π 2
(8.30)
The blue term is due to the Jacobian in passing from D(gVc ) to D(Vc ); this is
known as the rescaling anomaly.
– 34 –
Note that the wavefunction renormalisation factor ZW of W (gVc ) can be ob-
tained by simply looking at the kinetic term of the gauginos – it is simply
ZW = 1/g 2 . (8.31)
• To have a canonical normalisation for the vector multiplet, we must have

1 τ T (adj)
= Re + log ZW . (8.32)
g2 4πi 8π 2
Recalling that T (adj) = Nc , we obtain
τ 1 Nc 1
Re = 2 − 2 log 2 . (8.33)
4πi g 8π g
Recall that e2πiτ = (Λ/µ)3Nc , and so
8π 2
2
8π
− Re (2πiτ ) = 2 − Nc log + Nc log(8π 2 ) = −3Nc log (|Λ|/µ) . (8.34)
g g2
• Differentiating with respect to log µ, we obtain

Nc
β 8π2 − β 8π2 = 3Nc . (8.35)
g2 8π 2 /g 2 g2
∂ 8π 2
where β 8π2 = ∂ log µ g 2
.
g2
We thus arrive at the “exact” NSVZ beta function for the SU (Nc ) super–
Yang–Mills theory9 :
3Nc 16π 2
β 8π2 = = − βg . (8.36)
g2 1 − g 2 Nc /8π 2 g3
Adding fundamental matter to the pure SYM

Let us now add Nf flavours of Q and Q e in the fundamental representation of the
SU (Nc ) gauge group. The Lagrangian is
 
Nf Nf
−i
Z Z X X
d2 θ τ WαA (V )W A α (V ) + c.c. + d4 θ  Q† i eV Qi + e† eV Q
Q ej  . (8.37)
j
16π i=1 j=1
9
There is, of course, the question of the scheme in which the NSVZ beta function holds. The
authors of [24] addressed this problem by considering the N = 4 SYM (which is a finite theory)
and giving the mass M to the adjoint chiral fields via the mass terms d2 θM tr(φi φi ) + h.c. (with
R
i = 1, 2, 3). Below the scale M , the theory looks like the N = 1 pure SYM. This gives rise to an
explicit regularisation for pure N = 1 SYM with a cutoff M , which also manifestly preserves the
holomorphy.
– 35 –
• Let us recall the anomalous U (1)A symmetry that rotates Qi and Q ej as Qi →
1/2 ej → Ze1/2 Q
ej , where Z 1/2 , Ze1/2 = eiα is a pure phase.
Zi Qi and Q j i j
As we discussed before, the anomaly of this symmetry amounts to shifting the

measure of the path integral by
Z Z
1 4 2 T (fund)
DQi → DQi exp d x d θ iα tr(W W ) + c.c.
4 4π 2
Z Z (8.38)
1 4 2 T (fund)
= DQi exp d x d θ (log Zi ) tr(W W ) + c.c. .
4 8π 2
ej , with T (fund) replaced by T (antifund) and Zi by Zej .
Similarly for Q
• We may extend Zi and Zej to be general complex numbers [24].

Combining this with the previous equation (8.30), we see that in order to have
a canonical normalisation for the vector multiplet, we must have
Nf Nf
1 τ T (adj) T (fund) X T (antifund) X
= Re + log ZW − (log Zi ) − (log Zej ) .
g2 4πi 8π 2 8π 2 i=1 8π 2 j=1
(8.39)
• Recall that ZW = g −2 , T (adj) = Nc , T (fund) = T (antifund) = 1/2 and e2πiτ =

(Λ/µ)b0 . We thus obtain
8π 2
2
2 8π
−b0 log (|Λ|/µ) = −Re(2πiτ ) = 2 + Nc log(8π ) − Nc log
g g2
Nf Nf (8.40)
1X 1X
+ (log Zi ) + (log Zj ) .
e
2 i=1 2 j=1
Differentiating with respect to log µ, we obtain

Nf Nf
Nc 1X 1X
b0 = β 8π2 − 2 2 β 8π2 − γi − γ
ej . (8.41)
g2 8π /g g2 2 i=1 2 j=1
where
∂ log Zi ∂ log Zei
γi = − , ei = −
γ . (8.42)
∂ log µ ∂ log µ
• We thus arrive at the NSVZ beta function [23]:
PNf PNf
b0 + 21 i=1 γi + 12 j=1 γ
ej 16π 2
β 8π2 = = − βg . (8.43)
g2 1 − g 2 Nc /8π 2 g3
This is an “exact” relation10 , up to the yet-to-be-determined anomalous di-
mensions γi and γ
ej .
10
Note that the denominator is scheme dependent, whereas the numerator is not. We refer the
reader to footnote 9 regarding the issue of the regularisation scheme.
– 36 –
• In supersymmetric QCD, where W = 0, all charged fields are related by sym-
metry, and therefore have the same anomalous dimension γ0 . We may write
3Nc − Nf (1 − γ0 )
β 8π2 = . (8.44)
g2 1 − g 2 Nc /8π 2
Some comments.
• Higher-loop corrections to the β-function is equivalent to a Taylor expansion
in λ ≡ g 2 Nc (known as the ’t Hooft coupling).
f N
λ2 3 − Nc (1 − γ0 )
βλ = − 2 · . (8.45)
8π 1 − 8πλ2
– The NSVZ β-function captures the corrections to all orders in perturba-

tion theory.
– The perturbation theory breaks down when λ ∼ 1 (even if g 2 1).
• For a theory with gauge group G (coupling α), with charged fields φi in the
representations ri with anomalous dimensions γi and tr TrAi TrBi = T (ri )δ AB , we
have
α2 3T (adj) − i T (ri )(1 − γi ) α2 b0 + i T (ri )γi
P P
βα = − · =− · . (8.46)
2π 1 − αT (adj)/2π 2π 1 − αT (adj)/2π
– In a theory with many gauge groups and many gauge couplings, this
formula holds separately for each gauge coupling.
– The condition for the existence of the conformal fixed point, i.e. there
is a value of the coupling α = α∗ such that βα∗ = 0, is therefore
X
3T (adj) − T (ri )(1 − γi ) = 0 (8.47)
i
– Supersymmetry relates the stress tensor to the R-symmetry current, and

so at the fixed point, the dimension ∆i of the field φi is related to the
anomalous dimension γi and the R-charge Ri as follows:
1 3
∆i = 1 + γi , ∆i = Ri . (8.48)
2 2
(We shall discuss this in more detail shortly.)
Hence, (8.47) can be rewritten as
X
T (adj) + T (ri )(Ri − 1) = 0 . (8.49)
i
This is, in fact, precisely the condition for the R-symmetry to be

anomaly free.
– 37 –
8.4 Anomalous dimensions and the Banks-Zaks fixed point
In this section, we examine the theory in the limit Nc , Nf → ∞, with the ’t Hooft
coupling λ ≡ g 2 Nc → 0 and b0 = 3Nc − Nf ∼ O(1).
• The anomalous dimension γ0 of the superfields Qi , Q

ej is of the form
λ
γ0 ∼ −c + O(λ2 ) , (8.50)
8π 2
where an explicit two-loop computation shows that c > 0 [25].
• For Nf = 3Nc − b0 , where b0 ∼ O(1), the beta function takes the form
b0 + (3Nc − b0 ) [−cλ/8π 2 + O(λ2 )]

β 8π2 =
g2 1 − λ/8π 2
∼ b0 + [(1 + c)b0 − 3cNc ] λ/8π 2 + O(λ2 )
3cNc
∼ b0 − λ + O(λ2 ) . (8.51)
8π 2
Rewriting this in terms of βg , we have
g3 3cNc2 2

βg ∼ − b0 − g . (8.52)
16π 2 8π 2
• For b0 ≤ 0 (i.e. Nf ≥ 3Nc ), βg > 0 for small g, so the gauge coupling g flows
back to zero in the infrared (i.e., the theory is IR free).
g=0
• (8.53)
• If b0 > 0 (i.e. Nf < 3Nc ), βg < 0 at small g, and βg∗ = 0 at
8π 2 b0
g∗2 = . (8.54)
3cNc2
When g is slightly greater than g∗ , βg > 0. When g is slightly smaller than g∗ ,

βg < 0.
g=0 g∗
• • (8.55)
This conformal fixed point (for Nf just below 3Nc ) is known as the Banks-
Zaks fixed point11 .
11
This type of conformal fixed points, which can be analysed in a controlled way using perturba-
tion theory in the large Nc and Nf limit, was first studied by Caswell [26] and Banks-Zaks [27] in
a non-supersymmetric theory.
– 38 –
• Since perturbation theory is an expansion in λ, all three-loop and higher cor-
rections are suppressed by higher powers of 1/Nc . Therefore, this Banks-Zaks
fixed point g∗ survives to all orders.
Let us summarise the information we have so far:

BZ IR free
• | Nf (8.56)
3Nc
8.5 Some important facts about the (super)conformal symmetry

The unitarity bound. In d spacetime dimension, with d ≥ 3, the scaling dimen-
sion ∆ of a scalar operator O needs to satisfy
d−2
∆≥ . (8.57)
2
(For d = 4, the condition is ∆ ≥ 1.) The equality holds if and only if O corresponds
to a free field. This result does not require supersymmetry.
Argument. (Here we work in the Euclidean signature.)
• Recall that the conformal algebra in spacetime dimension d ≥ 3 is generated

by translation Pµ = ∂µ , Lorentz generators Mµν = xµ ∂ν − xν ∂µ , dilatation
D = −xµ ∂µ , and special inversions Kµ = 2xµ xν ∂ν − x2 ∂µ . Pµ and Mµν form
the standard Poincaré algebra. The commutation relations of the others are
[D, Pµ ] = Pµ , [D, Kµ ] = −Kµ , [Kµ , Pν ] = 2(ηµν D − Mµν ) . (8.58)
• We look for a representation in which Pµ are the creation operators and Kµ

are the annihilation operators, and Pµ† = K µ .12 There is a vaccum or highest
weight vector |Oi such that it is an eigenvector of D, i.e. D|Oi = ∆|Oi, and
Kµ |Oi = 0.
• Assume that O is a scalar operator, Mµν |Oi = 0. Using the last commutation
relation of (8.58), we obtain the square of the norm
|Pµ |Oi|2 = hO|K µ Pµ |Oi = 2d∆ . (8.59)
Unitarity thus implies that ∆ ≥ 0 and ∆ = 0 if and only if Pµ |Oi = 0, i.e. O

is a constant operator.
12
This relation actually follows from the Euclidean signature.
– 39 –
• Now let us consider
|P µ Pµ |Oi|2 = hO|K ν Kν P µ Pµ |Oi

= hO|K ν [Kν , Pµ ]P µ |Oi + hO|K ν Pµ Kν P µ |Oi
= 2hO|K µ DPµ |Oi − 2hO|K ν Mνµ P µ |Oi + hO|K ν P µ Kν Pµ |Oi
= 2hO|K µ [D, Pµ ]|Oi + 2∆hO|K µ Pµ |Oi − 2hO|K ν [Mνµ , P µ ]|Oi
+ hO|K ν P µ [Kν , Pµ ]|Oi
= (2 + 2∆)(2d∆) − 2(d − 1)(2d∆) + 2∆(2d∆)

d−2
= 8d∆ ∆ − ,
2
(8.60)
where we have used the fact that
[Pρ , Mµν ] = ηρµ Pν − ηρν Pµ . (8.61)
Unitarity thus implies that

d−2
∆≥ . (8.62)
2
and ∆ = 1 if and only if P µ Pµ |Oi = 0, i.e. O corresponds to a free field.
Superconformal symmetry in d = 4 spacetime dimensions

In d = 4, the superconformal algebra contains, in addition to the usual supercharges
α̇ α̇
Qα , Qα̇ of scaling dimension 1/2, S α , S of scaling dimension −1/2. In fact, S α , S
are supersymmetric partners of K µ :
α̇
[Qα , K µ ] = σαµα̇ S , [Qα , K µ ] = σ µα̇α S α . (8.63)
Note that K µ has scaling dimension −1. We also have the relation

α̇ µν α̇ α̇ 3
{S , Qβ̇ } = (σ )β̇ Mµν + 2δβ̇ D − R (8.64)
2
where R is the generator of the U (1)R transformation (whose eigenvalue is denoted

by r). We use this relation to demonstrate the following fact.
The dimension and the R-charge of a chiral operator. In d = 4 spacetime

dimension, the scaling dimension ∆ of a chiral operator is related to its R-charge r
by
3
∆= r. (8.65)
2
– 40 –
Argument. We look for the highest weight representation such that Pµ† = K µ and
† α̇
Qα̇ = S . Let us assume that O is a scalar operator, so Mµν |Oi = 0. Suppose also
that the operator O has the lowest scaling dimension in the superconformal multiplet
– known as the superconformal primary. Then, |Oi is the highest weight state such
α̇
that Kµ |Oi = 0 and S α |Oi = S |Oi = 0. The square of the norm of Qα̇ |Oi is

2 α̇ α̇ 3
|Qα̇ |Oi| = hO|S Qα̇ |Oi = hO|{S , Qα̇ }|Oi = 4 ∆ − r . (8.66)
2
Hence
3
∆≥ r. (8.67)
2
The equality holds if and only if Qα̇ |Oi = 0, i.e. O is a chiral operator.
An important remark. The inequalities (8.57) and (8.67) apply strictly only to
gauge invariant operators. This is because the Hilbert space of gauge theory is
only positive-definite after imposing the gauge (=BRST) invariance.
8.6 Superconformal fixed points in SQCD

• A fixed point requires that
3Nc
0 = β 8π2 ∝ 3Nc − Nf [1 − γ0 ] ⇒ γ0 = 1 − . (8.68)
g2 Nf
where we recall that all charged fields have the same anomalous dimension γ0 .
Note that this anomalous dimension is exact. Hence the scaling dimension of
Q and Qe is
∆(Q) = ∆(Q) e = 1 + 1 γ0 = 3 − 3Nc . (8.69)
2 2 2Nf
From the relation ∆ = 23 r, we obtain
e = Nf − Nc .
R(Q) = R(Q) (8.70)
Nf
This implies the non-anomalous R charges of Q and Q
e derived earlier in
(8.26).
• A necessary condition to have such a fixed point is that
3 3
∆(M ) = · 2R(Q) ≥ 1 ⇔ Nf ≥ Nc . (8.71)
2 2
If the bound is saturated (Nf = 23 Nc ), the meson M is free.
When Nf < 23 Nc , the theory has no fixed point, and since b0 = 3Nc − Nf > 0
the theory is asymptotically free at one-loop.
asymp. free (1-loop) BZ IR free
| •| Nf (8.72)
no non-trivial fixed point 3
2 Nc 3Nc
– 41 –
• When Nf is slightly larger than 32 Nc , the anomalous dimension γ0 is of order
1, and we lose perturbative control of the theory. We can, nevertheless, study
the theory in this regime using the Seiberg duality [28].
• Indeed, Seiberg [28] conjectured that there is always a non-trivial fixed point
for the whole interval of
3
Nc < Nf < 3Nc . (8.73)
2
This interval is also known as the conformal window.
8.7 Seiberg duality

This is the relation between the two theories:
• The electric theory. The SU (Nc ) gauge theory with Nf chiral multiplets
Q in the antifundamental representation and Nf chiral multiplets Q
e in the
fundamental representation, and zero superpotential.
Q Q
(8.74)
e
Nf Nc Nf
• The magnectic theory. The SU (Nc0 = Nf − Nc ) gauge theory with Nf

chiral multiplets q in the fundamental representation, Nf chiral multiplets qe
in the antifundamental representation, a set of Nf2 gauge singlets M 0 , with the
superpotential
W = qai Mi0j qeja , (8.75)
where a, b = 1, . . . , Nc0 and i, j = 1, 2, . . . , Nf .
M0
q qe
Nf Nc0 Nf (8.76)
Comments.
• Note that the duality in the above form holds for Nc ≥ 2 and Nc0 = Nf −Nc ≥ 2.
When Nc or Nc0 is 0 or 1, a small modification needs to be made (we will discuss
about this in detail shortly).
• The magnetic theory also has a global symmetry SU (Nf ) × SU (Nf ) × U (1)B ×
U (1)R , like the electric theory. (There is also an anomalous U (1)A symmetry.)
– 42 –
The matter content of the magnetic theory and the transformation rules are
summarised below.
SU (Nc0 ) SU (Nf )1 SU (Nf )2 U (1)B U (1)R U (1)A
q N0c Nf 1 Nc /Nc0 (Nf − Nc0 )/Nf 1
qe N0c 1 Nf −Nc /Nc0 (Nf − Nc0 )/Nf 1
M0 1 Nf Nf 0 2Nc0 /Nf −2
0
(Λ0 )3Nc −Nf 1 1 1 0 0 2Nf
(8.77)
Observe that the superpotential carries R charge 2, as required.
• The two theories are dual in the following sense.
– When 32 Nc < Nf < 3Nc , the electric and magnetic theories flows to the
same superconformal fixed point in the infrared (IR).
– When Nc +2 ≤ Nf ≤ 32 Nc , the electric theory is strongly coupled in the IR.
Nevertheless, this has a weakly coupled description, which turns out to be
the magnetic theory. (This also means that the IR free magnetic theory
has an ultraviolet completion as the asymptotic free electric theory.)
8.7.1 Some checks of the dualities

1. Matching the non-anomalous global symmetries. SU (Nf ) × SU (Nf ) ×
U (1)B × U (1)A for both electric and magnetic theories.
2. Matching the gauge invariant chiral operators.

Electric theory Magnetic theory
Mij = Qja Q
ea
i singlets (M 0 )ji
a i 0 (8.78)
Bi1 ...iNc = a1 ...aNc Qai11 · · · QiNNcc B 0i1 ...iNc0 = a1 ...aNc0 qai11 · · · qaNNcc0
e i1 ...iNc = a1 ...aNc Q
B eiaNNc
eia1 · · · Q ei0 ...i = a1 ...a 0 qea1 · · · qeaNc0
B
1 c 1 N0 N c
i1 iN 0
c c
where the correspondences between the baryons are explicitly given by

Bi1 ...iNc ↔ (∗B 0 )i1 ...iNc := B 0j1 ...jNc0 i1 ···iNc j1 ···jN 0
c
i1 ···iNc j1 ···jN 0
(8.79)
e 0 )i1 ...iNc := B
e i1 ...iNc ↔ (∗B
B e0
j1 ...jN 0
c .
c
• Note also that the composite mesons (Mmag )ij := qai qeja of the magnetic
theory vanish because of the F -terms:
0 = ∂M 0j W = qai qeja . (8.80)

i
When there is no potential confusion, we will drop the prime 0 for M 0 in

the magnetic theory.
• The R-charges of these operators also match.
– 43 –
Electric theory. R(Q) = R(Q) e = 1 − Nc /Nf
⇒ R(M ) = 2(1 − Nc /Nf ) and R(B) = R(B)
e = Nc (1 − Nc /Nf ).
Magnetic theory. R(q) = R(e q ) = 1 − Nc0 /Nf = Nc /Nf

⇒ R(M 0 ) = R(W ) − 2R(q) = 2(1 − Nc /Nf )
e = N 0 R(q) = Nc (1 − Nc /Nf ).
and R(B) = R(B) c
3. Decoupling a flavour. Let us give mass to a flavour, integrate it out and see
if the duality still holds. We add the following mass term to the superpotential
of the electric theory:
δW = mQai=Nf Q eai=Nf . (8.81)
In the energy scale far below m, we effectively have Nfnew = Nf − 1 flavours,
whereas Nc remains unchanged.
The corresponding superpotential in the magnetic theory can be obtained using
the operator map (8.78)
i=N
W = qai Mij qeia + mMi=Nff . (8.82)
i=N
From the F -term ∂W/∂Mj=Nff = 0, we obtain
a i=Nf
qi=Nf
qea +m=0 . (8.83)
a i=N
This gives a vacuum expectation value to qi=N f
and qea f . As a result, the
original SU (Nc0 ) = SU (Nf − Nc ) gauge symmetry is broken to SU (Nc0 − 1) =
SU ((Nf − 1) − Nc ) = SU (Nfnew − Nc ). The Seiberg duality is thus compatible
with decoupling a flavour.
4. ’t Hooft anomaly matching conditions. This is a stringent check on

whether two theories with fermions in different representations of the same
global symmetry describe the same low energy physics.
The anomaly computed in the IR must agree with the anomaly ob-
tained from the UV calculation using the elementary fields. This is
the ’t Hooft anomaly matching condition.
Justification:
• Supose that the massless fermions form a representation R of the global

symmetry H.
• Originally H is not gauged; if we gauge it (adding gauge fields interacting
with the fermions), there will be gauge anomalies proportional to A(R).
At this point, the theory is not well-defined.
– 44 –
• This can be cured by add some massless fermions in another rep R0 that
couple only to the gauge fields of H. The rep R0 is chosen so that the
combined theory is anomaly-free, i.e. A(R) + A(R0 ) = 0.
• Suppose our original theory with rep R has a low energy description in
which the fermions are in representation R0 .
Then, the IR description of the combined theory is still anomaly-free be-
cause it comes from an anomaly-free UV theory.
Since the additional massless fermions stay the same, A(R0 ) + A(R0 ) = 0.
• A(R) = A(R0 ) is the ’t Hooft anomaly matching condition.
The quantum numbers of the elementary fermions in the electric theory are
SU (Nf )1 SU (Nf )2 U (1)B U (1)R
ψQ Nf 1 1 −Nc /Nf
(8.84)
ψQe 1 Nf −1 −Nc /Nf
λ 1 1 0 +1
Those for the magnetic theory are
SU (Nf )1 SU (Nf )2 U (1)B U (1)R
0
ψq Nf 1 Nc /Nc −1 + Nc /Nf
ψqe 1 Nf −Nc /Nc0 1 + Nc /Nf (8.85)
ψM 0 Nf Nf 0 1 − 2Nc /Nf
λ0 1 1 0 +1
From this fermion content, it is straightforward to check the matching of all of
the possible anomaly coefficients:
electric magnetic
3
(SU (Nf )1 ) Nc A(Nf ) (−Nc0 + Nf )A(Nf ) = Nc A(Nf )
(SU (Nf )1 )2 U (1)B Nc T (Nf ) · (1) = 21 Nc Nc0 T (Nf )(Nc /Nc0 ) = 12 Nc
(SU (Nf )1 )2 U (1)R Nc
Nc T (Nf )(− N f
) Nc0 T (Nf )(−1 + Nc
Nf
) Nc
+ Nf T (Nf )(1 − 2 Nf
)
= − 12 Nc2 /Nf = − 12 Nc2 /Nf
(U (1)B )2 U (1)R Nc
2Nc Nf (1)2 (− Nf
) = −2Nc2 2Nc0 Nf ( Nc 2
N0
) (−1 + Nc
Nf
) = −2Nc2
c
Nc
U (1)R grav. grav. 2Nc Nf (− Nf
) + (Nc2 − 1) 2Nc0 Nf (−1 + Nc
Nf
) Nc
+ Nf2 (1 − 2 N f
) + (Nc02 − 1)
= tr [U (1)R ] = −(Nc2 + 1) = −(Nc2 + 1)
(U (1)R )3 2Nc Nf (− Nf
) + (Nc2 − 1) 2Nc0 Nf (−1 +
Nc 3 Nc 3
Nf
) Nc 3
+ Nf2 (1 − 2 N f
) + (Nc02 − 1)
= Nc2 − 1 − 2Nc4 /Nf2 = Nc2 − 1 − 2Nc4 /Nf2
(8.86)
where in the first line we take tr[Tra {Trb , Trc }]
= A(r)d , with d a totally abc abc
symmetric tensor and independent of the representation r.13 A(r) is often re-
13
For SU (n), with n ≥ 3, the unique symmetric invariant dabc appears in the anticommutator of
representation matrices of the fundamental representation {TnA , TnB } = n1 δ AB + dABC TnC .
– 45 –
ferred to as the anomaly coefficient14 .
Comment. In the last two of these relations, the dual gauginos λ0 give a
contribution which is necessary for the success of the consistency check. The
matching requires us to take seriously the realization of the full SU (Nc0 ) vector
multiplet as a set of physical asymptotic states.
5. Check using the supersymmetric on S 3 × S 1 . This will be discussed later.
8.8 Quantum behaviours of SQCD

8.8.1 The case of Nf = Nc + 1
• We turn on the following superpotential to the electric theory, which is SU (Nc )
with Nf flavours and
Nf
X
W = muv Qu Qv , k≥1 (8.87)
u,v=Nf −(Nc0 −k)+1
This gives masses to the last Nc0 − k = Nf − Nc − k flavours.

After integrating them out, the low energy effective (electric) theory is the
SU (Nc ) gauge theory with Nc + k flavours.
• The Seiberg dual is the SU (Nc0 = Nf − Nc ) gauge theory with Nc + k flavours

with the superpotential
Nf
X
W =0
qai Mij qeja + muv Muv . (8.88)
u,v=Nf −(Nc0 −k)+1
This gives vacuum expectation values (VEVs) to qi and qei for the last Nc0 − k
flavours. This breaks the SU (Nc0 = Nf − Nc ) gauge group to the SU (k) gauge
group.
Hence, the low energy effective (magnetic) theory is the SU (k) gauge theory
with Nc + k flavour. This theory is IR free.
• Since the theory is weakly coupled in the IR, we understand the IR behaviour
using the instanton computation.
0
The one-instanton effects bring about the factor (Λ0 )b0 = (Λ0 )3Nc −Nf , with Λ0
the dynamical scale of the magnetic theory.
14
If r and r are complex conjugate representations, then A(r) = −A(r). Hence, A(r) = 0 if r is
real or pseudoreal. For SU (n), A(n) = 1, A(∧2 ) = n − 4 and A(S 2 ) = n + 4, where ∧2 and S 2 are
the rank-two antisymmetric and symmetric representations, respectively.
– 46 –
To determine the effective superpotential, we can use the anomalous U (1)A
symmetry under which
0
A[(Λ0 )3Nc −Nf ] = 2Nf , A[M ] = −2 , A[m] = A[W 0 ]−A[M ] = 0−(−2) = 2 .
(8.89)
0
A combination involving Λ , M and m that is invariant under U (1)A , SU (Nc +k)
and SU (Nc0 − k) is
0 det M(Nc +k)×(Nc +k)
(Λ0 )3Nc −Nf . (8.90)
det m(Nc0 −k)×(Nc0 −k)
(Checking the U (1)A charge: 2Nf + (Nc + k)(−2) − (Nc0 − k)(2) = 0.) The
R-charge of this combination is
0
2Nc0

2Nc 0
0 + (Nc + k) − (Nc − k) 2 − = 2k (8.91)
Nf Nf
Since the superpotential must have R-charge 2, the combination (8.90) can
enter the superpotential if and only if k = 1.
• Let us focus on k = 1.
The low energy magnetic theory is an SU (1) theory with Nc +1 flavours, and the
0
factor (Λ0 )3Nc −Nf /(det m) is just a numerical factor. Hence, the superpotential
of the magnetic theory is modified to be
W 0 = q i Mij qei − det M . (8.92)
Note that in this special case, we can use the operator maps
q i ↔ ∗B i := ii1 ···iNc Bi1 ···iNc

(8.93)
qei ↔ ∗B
ei := ii1 ···i B e i1 ···iNc
Nc
where B and B e are the baryons and antibaryons in the electric theory. The
low energy superpotential of the magnetic theory is therefore
0
Weff ∝ (∗B)i Mij (∗B)
e j − det M , (8.94)
where this is written in terms of low energy variables of the electric theory.
Note the B, M , Be and the superpotential have mass dimensions Nc , 2, Nc and
3 respectively. We can restore the dynamical scale Λ for the electric theory as
0 1 h i j
i
Weff = 2Nc −1 (∗B) Mi (∗B)j − det M .
e (8.95)
Λ
• In conclusion, we arrive at the following statement:
– 47 –
The infrared limit of the SU (Nc ) SQCD with Nc + 1 flavours is de-
scribed by the Wess–Zumino model with (Nc + 1) × (Nc + 1) meson
matrix Mji , Nc + 1 baryons ∗B i , Nc + 1 antibaryons ∗Bei and the
superpotential
1 h i
W = 3Nc −(Nc +1) (∗B)i Mij (∗B)
e j − det M . (8.96)
Λ
– One can match the mass dimensions, the U (1)A charges and the U (1)R
charges of each side as follows:
[. . .] Λb0 =3Nc −(Nc +1) W

mass dim. 2(Nc + 1) 2Nc − 1 3
U (1)A 2(Nc + 1) 2(Nc + 1) 0 (8.97)

Nc
U (1)R 2 1− Nc +1
(Nc + 1) = 2 0 2
• A comment on the SU (2) gauge group. In general, for SU (2) SQCD with
Nf ≥ 3 flavours, the quarks and antiquarks transform in the doublet (which
is a pseudoreal representation) of the SU (2) gauge group, and so the flavour
symmetry is in fact SU (2Nf ). Note that SU (2Nf ) contains SU (Nf )×SU (Nf )×
U (1)B as a subgroup, with the branching rule:
2Nf −→ (Nf ; 1; 1) ⊕ (1; Nf ; −1) . (8.98)
We can therefore combine the quarks Qai and antiquarks Q eia into Qa (with
I
I, J = 1, 2, . . . , 2Nf and a, b = 1, 2).
Since the baryons B = QQ and the antibaryon B e = Q eQe are quadratic, we
can combine them with the mesons M = QQ, e which is also quadratic into the
SU (2Nf ) × SU (2Nf ) antisymmetric matrix
MIJ = ab QaI QbJ , (8.99)
with I, J = 1, 2, . . . , 2Nf and a, b = 1, 2.
• Example: SU (2) SQCD with 3 flavours. The low energy description is in

terms of the 6 × 6 antisymmetric matrix MIJ . The superpotential (8.96) can
be rewritten
W = I1 I2 ···I6 MI1 I2 MI3 I4 MI5 I6 . (8.100)
Note that the superpotential is indeed SU (6) invariant.
8.8.2 The case of Nf = Nc

• Let us decouple one flavour from the SU (Nc ) SQCD with Nc + 1 flavours by
adding the mass term mQi=Nf Qi=Nf to the superpotential.
– 48 –
3N −N 3N −(N −1)
• Let ΛNf c f and ΛNf c−1 f be the instanton factors of the theory before and
after decoupling one flavour, respectively.
Recall the following anomalous U (1)A charges:
3N −Nf 3N −(Nf −1)
A[ΛNf c ] = 2Nf , A[ΛNf c−1 ] = 2(Nf − 1) , A[m] = −2 . (8.101)
By matching the mass dimensions and the U (1)A charges, we obtain the relation
3N −(Nf −1) 3N −Nf
ΛNf c−1 = mΛNf c . (8.102)
• The superpotential (8.96) of the SU (Nc ) SQCD with Nc + 1 flavours becomes

m h i
W = 3Nc −Nc (∗B)i Mij (∗B) e j − det M + mM i=Nc +1 .
i=Nc +1 (8.103)
ΛNc
i=Nc +1
We integrate out Mi=N c +1
by taking the derivative of W with respect to
i=Nc +1
Mi=Nc +1 and obtain
m h
i=Nc +1
i
e i=Nc +1 − det MNc ×Nc + m = 0 .
c −Nc
(∗B) (∗ B) (8.104)
Λ3N
Nc
where MNc ×Nc is an Nc × Nc submatrix of Mij . Equivalently,

e i=Nc +1 = Λ2Nc .
det MNc ×Nc − (∗B)i=Nc +1 (∗B) (8.105)
Nc
In the notation of the SU (Nc ) with Nc flavours, we should write
∗B i=Nc +1 → ∗B = i1 i2 ···iNc a1 a2 ···aNc Qia11 · · · QiaNNcc

(8.106)
∗B
ei=Nc +1 → e = i1 i2 ···iNc a1 a2 ···a Q
∗B ea1 · · · QaNc
Nc i1 i Nc
So, we have the relation:

e = Λ2Nc .
det M − (∗B)(∗B) (8.107)
• In conclusion, the quantum moduli space of vacua for the SU (Nc ) SQCD with
Nf = Nc flavours is generated by an Nc × Nc meson matrix M , a baryon ∗B,
an antibaryon ∗B,e subject to the relation
e = Λ2Nc .
det M − (∗B)(∗B) (8.108)
– One can match the mass dimensions, the U (1)A charges and the U (1)R
charges of each side as follows:
LHS Λb0 =2Nc

mass dim. 2Nc 2Nc
U (1)A (8.109)
2Nc 2Nc
Nc
U (1)R 2Nc 1 − Nc
=0 0
– 49 –
• This should be contrast with the classical moduli space, which is discussed
earlier in (8.19):
det M − (∗B)(∗B) e =0. (8.110)
The classical moduli space has a singularity at the origin, where M = B =
B
e = 0. However, this singularity is resolved in the quantum theory.
8.8.3 The case of 0 < Nf < Nc

• Let us decouple one flavour from the SU (Nc ) SQCD with Nc flavours by con-
sidering the superpotential
h i
W = X (∗B)(∗B) e − det M + Λ2Nc + mM i=Nc (8.111)
Nc i=Nc
where X is the Lagrange multiplier that imposes the condition (8.108) and we
write ΛNc for the dynamical scale for the SU (Nc ) SQCD with Nc flavours.
• Differentiating W with respect to Mi=N

i=Nc
c
gives
X det M(Nc −1)×(Nc −1) = m . (8.112)
In the SU (Nc ) gauge theory with Nf < Nc theory, the baryon and antibaryon
vanish identically, because the antisymmetrisation over Nc indices where each
index runs from 1, . . . , Nf gives zero. Plugging this back to W , we obtain
2Nc Λ2N
Nc
c
W = XΛ =m . (8.113)
det M(Nc −1)×(Nc −1)
Using a similar argument as before, the dynamical scale ΛNc −1 for the theory
with Nc − 1 flavours is related to ΛNc by
3N −(Nc −1)
c 3Nc −Nc
ΛNc −1 = mΛNc
. (8.114)
Thus, the low energy effective superpFotential for the SU (Nc ) SQCD with
Nc − 1 flavours is
3Nc −(Nc −1)
ΛNc −1
W = . (8.115)
det M(Nc −1)×(Nc −1)
• This can be easily generalised to the SU (Nc ) with Nf < Nc flavours. The
superpotential is
1
Λ3Nc −Nf
N
c −Nf
N <N
Wefff c = (Nc − Nf ) . (8.116)
det M
where M is the Nf × Nf meson matrix. This effective superpotential is known

as the Affleck-Dine-Seiberg (ADS) superpotential [29].
– 50 –
– One can match the mass dimensions and the U (1)A charges of each side
as follows:
Λb0 =3Nc −Nf det M Weff
mass dim. 3Nc − Nf 2Nf 3 (8.117)
U (1)A 2Nf 2Nf 0
• This is a notable example of non-perturbative corrections to the effective su-
perpotential.
Nf
N <Nc −N
• Notice that Wefff ∼M c −Nf
. Then, the scalar potential is
− N 2N c
V = |∂M W |2 ∼ |M | c−N f . (8.118)
Since V 6= 0 for all VEVs of M , the quantum theory has no supersym-

metric vacua. In other words, quantum effects lift the classical vacua
completely. The vacua are said to be runaway.
• If we decouple all Nf flavours, we obtain the effective superpotential

1
Weff = Nc Λ3Nc Nc (8.119)
Since the UV Lagrangian of the SYM theory is d2 θ τ4πi

R UV
tr(W W ), we obtain
N1
tr(W W ) ∝ Nc Λ3Nc c
(8.120)
This reproduces Nc vacua of the pure SU (Nc ) SYM theory.
9 Supersymmetric index on S 3 × S 1
9.1 Supersymmetry on S 3 × R and S 3 × S 1
The detailed discussion on rigid supersymmetry on S 3 × R and S 3 × S 1 can be found
in [30]. Here we simply summarise the argument.
The case of S 3 × R.
• The supersymmetry algebra is SU (2|1)l × SU (2)r , which is a subalgebra of the
flat space superconformal algebra SU (2, 2|1). The bosonic subalgebra of the
former is SU (2)l × SU (2)r × U (1). This is the isometry of S 3 × R.
• The important commutation relations are

{Qα , Qα̇ } = 2σα0 α̇ P0 + ρ2 σαi α̇ Jli , {Qα , Qβ } = 0, {Qα̇ , Qβ̇ } = 0
[P0 , Qα ] = ρ1 Qα , [P0 , Qβ̇ ] = − ρ1 Qβ̇
(9.1)
where ρ is the radius of S , P0 generates translations along R, while the Jli are
3
the generators for the SU (2)l subgroup of the S 3 isometries.
– 51 –
• If the theory has an R-symmetry
[R, Qα ] = −Qα . (9.2)
Denoting the R-charges of φi by qi we can redefine the fields by a time depen-

dent R-transformation:
i
φi → e− ρ qi t φi
i
ψαi → e− ρ (qi −1)t ψαi (9.3)
i
F i → e− ρ (qi −2)t F i .
Translations along R are then generated by the Hamiltonian
1
H = P0 + R . (9.4)
ρ
and the superalgebra becomes

2 1 2
{Qα , Qα̇ } = 2σα0 α̇ P0 + σαi α̇ Jli = 2σα0 α̇ H − R + σαi α̇ Jli
ρ ρ ρ (9.5)
[H, Qα ] = 0 .
The supercharges are therefore preserved by H.
• There are additional parameters we can turn on. These can be thought of as
background fields.
For every global non-R-symmetry U (1)s , there is a conserved current jµs and
charge Qs . We can add background gauge fields asµ by coupling them to the
currents. We turn on background gauge fields which preserve the SU (2)l ×
SU (2)r × U (1) isometry as0 = vs /ρ, where vs are dimensionless real constants.
Denoting by qis the U (1)s charge of φi , this background gauge field has the
effect of changing the parameters qi in (9.3) as
X
qi → qi + qis vs . (9.6)
s
The case of S 3 × S 1 .
• We perform the analytic continuation of the Lorentzian theory on S 3 × R to

Euclidean signature15 .
15
In Euclidean signature, the fermions can be written in terms of the SU (2)l doublets ψEα = ψα
α̇
and ψ Eα = iσα4 α̇ ψ . Let us suppress the subscript E. The relevant terms are contracted with
αβ so that, e.g. ψσ i ψ = ψ α αβ σβγ
i
ψγ and ψψ = −ψψ. One should also use σ 4 = σ4 = −i1 and
a
σ = −σ a . Moreover, the background non-R-gauge fields as should be taken as as4 = −ivs /ρ
– 52 –
• We compactify the Euclidean time direction to S 1 . The partition function of
the theory can be written as
ZS 3 ×S 1 = e−βESUSY IS 3 ×S 1 (9.7)
where β is the S 1 -length. We will focus on IS 3 ×S 1 , known as the supersym-

metric index on S 3 × S 1 . This is the trace over the Hilbert space:
!
βX
IS 3 ×S 1 = tr(−1)F exp −βH − vs Qs . (9.8)
ρ s
The prefactor e−βESUSY is known as the supersymmetric Casimir energy. Al-

though this prefactor is in general non-trivial, it will not be important for the
purpose of our lecture.
• The Hilbert space is in representations of

Y
SU (2|1)l × SU (2)r × U (1)R × U (1)s (9.9)
s
and the objects in the exponent of the index commute with all the elements of
this supergroup.
• Similarly to the Witten index, we consider the anticommutation relation for

one of the supercharges, say Qα=2 :
1 α=2 1
δ ≡ {Qα=2 , Q } = P0 − Jl3 . (9.10)
2 ρ
The representations constructed out of a highest weight state with δ > 0 come
in boson/fermion pairs and contribute zero to the index because of (−1)F .
Hence, only those with δ = 0 contribute to the index. The latter is known as
the short representation.
• Let P0 be the generator of U (1) ⊂ SU (2|1)l and jl be the quantum number

of SU (2)l ⊂ SU (2|1)l . The representations that contribute non-trivially to the
index must be constructed out of a highest weight state with
2
δ = P0 − jl = 0 . (9.11)
ρ
Such representations contribute to the index (9.8) as

" !#
β X
± exp − 2jl + R + vs Qs , (9.12)
ρ s
– 53 –
where R is the R-charge and Qs are the U (1)s charges of the states.
For our purpose, it will also be convenient to explicitly refine the index with
respect to the quantum number jr of SU (2)r , so the above contribution to the
index can be written as
" !#
β X
± exp − 2jl + R + µr (2jr ) + vs Qs
ρ s
Y s
2jl +R 2jr Q
= ±t y us (9.13)
s
jl +jr + R jl −jr + R s
Y
= ±p q
2 2 uQ
s ,
s
where µr is the chemical potential for the SU (2)r and we have defined
β β β
t = e− ρ , y = e− ρ µr , us = e− ρ vs
(9.14)
p = ty , q = ty −1 .
The quantities t, y, us are respectively the fugacities for 2jl + R, 2jr , and the
non-R global (flavour) symmetries.
• For a superconformal theory, we also have16 [30]

1 3
P0 = ∆− R (9.15)
ρ 2
where ∆ is identified with the dilatation generator in the superconformal alge-
bra.
• An important property of the index. It is important that the values of

ρP0 = 2j of the states contributing to the index are quantized. Therefore,
the values of H = P0 + ρ1 R and of Qs of these states cannot depend on the
parameters of the theory and on renormalization group flow.
Hence, the index is independent of the parameters of the Lagrangian
and the renormalization group scale and depends only on the dimension-
less parameters βρ and vs .
9.2 Indices of chiral multiplets

• Let us compute the index of a chiral multiplet Φ of R-charge R. This multiplet
contains a complex scalar φ and a Weyl fermion ψ of R-charge R and R − 1,
respectively. We need to find their Hilbert space on S 3 .
16
For an N = 1 SCFT, the supercharges are {Qα , S α ≡ Q† α , Q e † α̇ }, where α = ± and
e α̇ , Seα̇ ≡ Q
α̇ = ±̇ are respectively SU (2)1 and SU (2)2 indices, with SU (2)1 × SU (2)2 = Spin(4) the isometry
of S 3 . The relevant anticommutators are {Q e † β̇ } = E − 3 R + 2M
e α̇ , Q fβ̇ , where E is the conformal
2 α̇
Hamiltonian, M fβ̇ are the SU (2)2 generators, and R is the generator of the U (1) R-symmetry.
α̇
– 54 –
• The zero modes of φ, ψ, φ† , ψ † , their charges, and their contributions to the
index I are listed below. The higher modes can be obtained by applying
spacetime derivatives on the zero modes.
Among the four spacetime derivatives ∂αα̇ (with α = ± and α̇ = ±), only two
of them, namely ∂+± , contribute non-trivially from the index.
Modes ∆UV jr jl RUV RIR P0UV δU V I

1
φ 1 0 0 2/3 R 0 0 (pq) 2 R
ψ 3/2 ±1/2 0 −1/3 R−1 2 2 −
φ† 1 0 0 −2/3 −R 2 2 −
2−R
ψ† 3/2 0 ±1/2 1/3 −R + 1 1 0 , 2−
+
−(pq) 2
∂±± 1 ±1/2 ±1/2 0 0 1 0+,± , 2−,±
p, q
(9.16)
Note that since the UV theory is a free conformal field theory, from (9.15), we
have
1 3
P0UV = (∆UV − RUV ) ,
ρ 2
(9.17)
2 1 3
δUV = P0UV − jl = (∆UV − RUV − 2jl ) .
ρ ρ 2
where we set ρ = 1 in the above table.
• We then need to build up the Fock space from these one-particle states.
The bosonic Fock space is built up from the vacuum and positive powers
m n
of ∂++ ∂+− φ (with m, n ≥ 0) acting on the vacuum. The contribution to the
index is
" #
Y Y X R R s
k Y Y 1
pm+ 2 q n+ 2 uQ
s = Qs
. (9.18)
m+ 2 n+ R
R
s m,n≥0 k≥0 s m,n≥0 1 − p q 2 us
The fermionic Fock space is built up from the vacuum and ∂++ m n
∂+− ψ † (with
m, n ≥ 0) acting on the vacuum. This contributes to the index I as
Y Y
m+ 2−R n+ 2−R −Qs
1−p 2 q 2 us (9.19)
s m,n≥0
• Taking into account of the two contributions, the index for the chiral multiplet
with R-charge R is
Y Y 1 − pm+ 2−R
2 q
n+ 2−R
2 u
−Qs Y 1 s
s
Ichiral = s = Γ((pq) 2 R uQ
s ; p, q) . (9.20)
m+ R n+ R
s m,n≥0 1−p 2q 2 uQ
s s
– 55 –
where Γ(z; p, q) is known as the elliptic gamma function, defined as an
infinite product of the form
Y 1 − z −1 pm+1 q n+1
Γ(z; p, q) := mqn
. (9.21)
m,n≥0
1 − zp
• Let us consider the index of a free chiral multiplet, whose R-charge is R = 2/3:
Ichiral = 1 + u(pq)1/3 + (u2 − u−1 )(pq)2/3 + u(p1/3 q 4/3 + p4/3 q 1/3 ) + · · ·

(9.22)
= 1 + ut2/3 + (u2 − u−1 )t4/3 + u(y + y −1 )t5/3 + . . . .
where p = ty and q = ty −1 . Here are the meaning of each term:
1 the vacuum
ut2/3 the constant mode of φ
u2 t4/3 the square of the constant mode of φ (9.23)
−u−1 t4/3 the lowest mode of ψ †
u(y + y −1 )t5/3 the second mode (derivatives) of φ
9.3 Indices of gauge theories

Let us consider the gauge group U (N ) and SU (N ). The index contribution from the
vector multiplets can be worked out as in the case of the chiral multiplets.
• A vector multiplet contains a vector field A and the gaugino λ.
• The constant mode of the gauge field A needs to be treated with care. This
mode corresponds to the holonomy of A around S 1 of S 3 × S 1 .
We call the coordinate around S 1 as the Euclidean time and denote by t.
We can take a gauge in which At = diag(At1 , At2 , . . . , AtN ) and keep it time-
independent.
In the end we need to integrate over At , projecting the spectrum to the gauge-
invariant states, but for the moment we keep them to a fixed value.
• Then the contribution from the U (N ) vector multiplet to the index can be
computed to be
" !#
β X
± exp − 2jl + R + µR (2jr ) + Ats Js
ρ s (9.24)
jl +jr + R R
Y
j −j + J
= ±p 2 q l r 2 zs s
where Js is the gauge charge at the s-th diagonal entry and we define
β t
zs = e− ρ As . (9.25)
– 56 –
• The R-charge of the gaugino is fixed at the canonical value +1 all along the
flow.
Modes ∆UV jr jl RUV RIR P0UV δU V I
(9.26)
λ± 3/2 ±1/2 0 1 1 0 0 −p, −q
Note also that the vector multiplet transform in the adjoint representation of
the gauge group.
• The contribution of the U (N ) vector multiplet to the index is

" # Y Y ∞
U (N )
Y za k zc k zc
Ivector = 1− 1−p 1−q
1≤a6=b≤N
z b
1≤c,d≤N k=1
zd zd
∞ ∞
Y Y Y 1 − pm q n zb /za
= (1 − pk+1 )N (1 − q k+1 )N (9.27)
k=0 1≤a6=b≤N m,n=0
1 − pm+1 q n+1 za /zb
Y 1
= (p; p)N (q; q)N .
1≤a6=b≤N
Γ(za /zb ; p, q)
where the terms in blue denote the contribution from the holonomy of the
gauge field around S 1 (i.e. the constant mode) and
Y
(x; p) = (1 − xpj ) . (9.28)
j≥0
For the SU (N ) vector multiplet, we need remove one contribution from the
diagonal component and zN needs to be eliminated via z1 z2 · · · zN = 1.
SU (N )
Y 1
Ivector = (p; p)N −1 (q; q)N −1 . (9.29)

Γ(za /zb ; p, q) z1 z2 ···zN =1

1≤a6=b≤N
• To compute the index of a gauge theory, we need to extract the gauge invariant
part of the combined contributions from the vector multiplet and the chiral
multiplets. We use the relation
I
dz n
z = δn0 . (9.30)
2πiz
• The final result for the index of the SU (N ) gauge theory is

I !
1 Y dza SU (N )
Y
Φ
I= Ivector Ichiral . (9.31)
N! a
2πiz a
Φ
where the factor 1/N ! in front takes into account the remaining Weyl symmetry
of the SU (N ) gauge group.
– 57 –
9.4 The index of SQCD
Let us consider the index of the electric theory: the SU (Nc ) gauge theory with Nf
flavours Q, Q
e with W = 0.
• Recall that the R-charge of Q and Q e = 1 − Nc /Nf .

e is R(Q) = R(Q)
• We introduce the following fugacities for the SU (Nf ) × SU (Nf ) flavour sym-
metry:
(u1 , . . . , uNf ), (v1 , . . . , vNf ), (9.32)
with
Nf Nf
Y Y
ui = vi = 1 . (9.33)
i=1 i=1
ej are respectively ui and v −1 .
The corresponding fugacities for Q and Q i
j
• We also have U (1)B baryonic symmetry under which Q has charge 1 and Q
e
has charge −1. We introduce the fugacity b for it.
• Finally, we use (z1 , . . . , zNc ) with z1 · · · zNc = 1 for the fugacity of SU (Nc )
gauge group.
• Then the index of the electric theory is

Nc I
!
1 Y dza (p; p)Nc −1 (q; q)Nc −1
INc ,Nf = δ(z1 · · · zNc − 1) Q
Nc ! a=1 2πiza a6=b Γ(za /zb )
| {z }
SU (N ) v-plet
Nf Nc Nf Nc (9.34)
1 Nc 1 Nc
Y Y − 2N Y Y − 2N
× Γ((pq) 2 f za−1 ui b) Γ((pq) 2 f za vi−1 b−1 )
i=1 a=1 i=1 a=1
| {z }| {z }
Q Q
e
where we abbreviated the elliptic gamma function Γ(x; p, q) simply as Γ(x).

Let us consider the index of the magnetic theory: the SU (Nc0 = Nf − Nc )
gauge theory with Nf flavours q and qe and Nf2 singlets M , with W = qM qe.
• The index of the magnetic theory is
 0 
Nc I 0 0
0 1  Y dza  (p; p)Nc −1 (q; q)Nc −1
INc0 ,Nf = 0 δ(z1 · · · zNc0 − 1) Q
Nc ! a=1 2πiza a6=b Γ(za /zb )
Nf Nc 0
1 N0 Nc 1 N0
− 2Nc − 2Nc −N c
Y Y
× Γ((pq) 2 f za u−1
i b
Nc0 )Γ((pq) 2 f za−1 vi b N0c ) (9.35)
i=1 a=1
 
Nf
Y Nc0
× Γ((pq) Nf ui vj−1 ) ,
i,j=1
– 58 –
where the terms in the last line are the contribution from the singlets M .
• The indices of the electric and magnetic theories are equal due to a highly non-
trivial identity, discovered independently by the mathematician Eric Rains (see
Theorem 4.1 of [31]):
INc ,Nf = IN0 c0 ,Nf . (9.36)
This is a very highly non-trivial test for the Seiberg duality.
9.5 Some important points

• The integral expression of the index is usually complicated. It is instructive to
write
p = ty , q = ty −1 (9.37)
and expand the index as a power series of t.
• The index is independent of the renormalisation scale.

We can therefore compute the index of the theory in the IR by using the input
from the UV Lagrangian, including the gauge groups and matter content.
The superpotential provides constraints on the R-charges and the other global
charges of the chiral fields. These charges enter the computation of the index.
• It is crucial that, in computing the index, the R-charge assignments must

correspond to a non-anomalous R-symmetry.
If the theory flows to a superconformal fixed point in the IR, this choice is
unique (we will discuss this point later). The index then contains information
about multiplets in the superconformal field theory in the IR.
• In particular, for a superconformal field theory, the coefficient of pq (i.e. of

t2 y 0 ) in the index gets contributions only from marginal operators minus
conserved currents for global symmetries [32]. (Note that the conserve
currents transform in the adjoint representation in the corresponding global
symmetry.)
– 59 –
9.6 Example: SU (2) SQCD with 3 flavours
The indices of the electric and magnetic theories are
I 3 3 Y
1 dz (p; p)(q; q) Y Y 1
±1
Y 1
±1 −1 −1
I2,3 = Q Γ((pq) 6z ui b) Γ((pq) 6z vi b )
2 2πiz ± Γ(z ±2 ) i=1 ± i=1 ±
| {z } | {z }| {z }
SU (2) v-plet Q Q
e
3 Nf Nf
1 1 1
Y Y Y
= 0
I1,3 = Γ((pq) 3 ui vj−1 ) Γ((pq) 3 u−1 2
i b ) Γ((pq) 3 vi b−2 )
i,j=1 i=1 i=1
| {z }| {z }| {z }
M ∗B ∗B
e
(9.38)
Let us write p = ty and q = ty −1 and expand the index as a power series in t. Let
us look at the first non-trivial term, which can be written in terms of the characters
of representations of SU (3) × SU (3) × U (1)B as
h i
0 SU (3) SU (3) 2 SU (3) −2 SU (3)
I2,3 = I1,3 = 1 + χ3 (u)χ3 (v) + b χ3 (u) + b χ3 (v) t2/3 + . . . .
(9.39)
• We observe that it is possible to rewrite the coefficient of t2/3 in terms of SU (6)
representations, due to the branching rule:
SU (6) −→ SU (3) × SU (3) × U (1)
(9.40)
15 −→ (3, 3)(0) ⊕ (3, 1)(2) ⊕ (1, 3)(−2) .
The 15 objects are identified with the elements of the 6×6 antisymmetric matrix
MIJ = ab QaI QbJ (with I, J = 1, . . . , 6). This matrix can be decomposed into
M in (3, 3)(0), ∗B in (3, 1)(2) and ∗B e in (1, 3)(−2).
• Since the components of M (and hence M , ∗B and ∗B) e hit the unitarity bound,
i.e. they carry R-charge 2/3 and hence scaling dimension 1, we expect that they
are free fields.
• In fact, each coefficient in the power series in t can be written in terms of the
characters of SU (6) representations17 :
0 SU (6) SU (6)
I2,3 = I1,3 = 1 + χ15 (a)t2/3 + χ105 (a)t4/3 +
SU (6) SU (6) SU (6)
(9.42)
+ (y + y −1 )χ15 (a)t5/3 + (χ490 − χ35 (a))t2 + . . . .
17
A fugacity map between SU (2N )a and SU (N )u × SU (N )v × U (1)b is as follows. Let us write
u1 = x1 , u2 = x2 x−1 −1 −1 −1 Q
1 , u3 = x3 x2 , . . . , , uN −1 = xN −1 xN −2 , uN = xN −1 (so that ui = 1) and
similarly for vi , namely v1 = y1 , v2 = y2 y1−1 , . . . , vN = yN
−1 Q
−1 (so that v i = 1). Let us denote by
SU (2N )
a1 , . . . , a2N −1 the fugacities for SU (2N )a such that χ2N (a) = a1 + a2 a−1 −1
1 + . . . + a2N −1 and by
b the fugacity for U (1)b . A fugacity map between {ai } and {ui , vi , b} is as follows:
aj = xj bj , aN = bN , aN +j = yN −j bN −j for j = 1, . . . , N − 1. (9.41)
– 60 –
where each term corresponds to the following:
SU (6)
χ15 (a) the constant modes of M
SU (6)
χ105 (a) MI1 I2 MI3 I4 subject to the F -terms I1 ...I6 MI1 I2 MI3 I4 = 0
SU (6)
(y + y −1 )χ15 (a) higher modes of M
SU (6)
χ490 (a) MI1 I2 MI3 I4 MI5 I6 subject to the F -terms (marginal operators)
SU (6)
−χ35 (a) the flavour symmetry current of SU (6)
(9.43)
9.7 A brief introduction to conformal manifolds

9.7.1 Example: The N = 4 SU (N ) super–Yang–Mills theory
In the N = 1 notation, this theory contains 3 adjoint chiral fields Φj (with j = 1, 2, 3)
with the superpotential √
2e
W = hijk tr(Φi Φj Φk ) . (9.44)
3!
(In the N = 4 theory, ie
h is equal to the holomorphic gauge coupling τ .)
• In N = 1 language only an SU (3) × U (1)R subgroup of the full SO(6) R-
symmetry is manifest. The flavour symmetry SU (3) rotates these three chiral
fields Φi , and each of them has R-charge 2/3.
• The index for this theory is

1
I N
3 Q
(p; p)N −1 (q; q)N −1 Y dzj Y 1≤a,b≤N Γ((pq) 3 x z /z )
i a b

I=

1
N! 2πiz
Q
j=1 j i=1 Γ((pq) 3x )
i 1≤a6=b≤N Γ(za /zb ) Q
a za =1
(9.45)
where x1 , x2 , x3 (with x1 x2 x3 = 1) are the SU (3) flavour fugacities.
• Let p = ty, q = ty −1 . For N ≥ 3, the index reads

SU (3) 4 SU (3) 5
I = 1 + χ6 (x)t 3 − χ3 (x)(y + y −1 )t 3
h
SU (3) SU (3)
i (9.46)
+ 1 + χ10 (x) − χ8 (x) t2 + · · · .
where each term corresponds to the following:18
SU (3)
χ6 (x) ΦA B
i Φj δAB
SU (3)
−χ3 (x)(y + y −1 ) some higher modes carrying non-trivial jr
1 marginal operator: the gauge coupling τ (9.47)
SU (3)
χ10 (x) marginal operators: dABC ΦA B C
i Φj Φk
SU (3)
−χ8 (x) the SU (3) flavour current
18
Note that ijk tr(Φi Φj Φk ) is a descendant, since for non-zero coupling {Q, λk } ∝ [Φi , Φj ], where
λk are the fermionic components of the superfield Φk . Hence, the deformation corresponding to
changing the superpotential coupling e h to be different from τ corresponds to a component of a
non-chiral operator in the 15 of the SO(6) R-symmetry. Thus, the coupling corresponding to
changing e
h to be different from τ is, in fact, not marginal on the fixed line for non-zero coupling.
– 61 –
Here A, B, C = 1, . . . , N 2 − 1 are SU (N ) adjoint indices, and dABC the sym-
metric invariant19 of SU (N ) for N ≥ 3.
• Since dABC ΦA B C
i Φj Φk are exactly marginal operators, the deformation
∆W = h(ijk) dABC ΦA B C
i Φj Φk (9.48)
preserves conformal invariance and N = 1 supersymmetry. Here h(ijk) are

exactly marginal couplings (there are 10 of them).
Such a deformation, with generic values of hijk , breaks the SU (3) flavour sym-
metry completely.
• It is meaningful to talk about the space of all exactly marginal couplings

{τ, h(ijk) }, up to the complexification of the SU (3) symmetry, i.e. SL(3, C),
which acts on this space.
The SL(3, C) symmetry can be thought of a redundancy on the space of
marginal couplings that needs to be modded out.
• In general, the space of the marginal coupling quotiented by the (complexified)

global symmetry GC defines the space called the conformal manifold MC
(see [33, 34] and [13, 35]):
MC = {exactly marginal couplings}/GC . (9.49)
• In the case of the N = 4 SU (N ) SYM, with N ≥ 3, the conformal manifold is

identified with
MC = {τ, h(ijk) }/SL(3, C) , (9.50)
whose complex dimension is
dimC MC = 1 + 10 − (32 − 1) = 3 .

(9.51)
• The three complex dimensional space can be parametrised as follows. One is

obviously by τ , and the other two can be done using an SL(3, C) transforma-
tion, which fix the deformations to be of the form [36]:
1 1
hβ tr(Φ1 Φ2 Φ3 + Φ1 Φ3 Φ2 ) , hγ tr(Φ21 + Φ22 + Φ23 ) . (9.52)
2 3
These are known as the β and γ deformations respectively.
19
For SU (N ) with N ≥ 3, there is a unique symmetric invariant dABC , which appear in
A B
the anticommutator of representation matrices of the fundamental representation: {TN , TN } =
1 AB ABC C
N δ + d TN . This invariant also appears in the context of the anomaly coefficient A(r):
tr(TrA {TrB , TrC }) = 21 A(r)dABC .
– 62 –
• For N = 2, the index of the N = 4 SU (2) SYM reads
SU (3) 4 SU (3) 5
I = 1 + χ6 (x)t 3 − χ3 (x)(y + y −1 )t 3
h
SU (3)
i (9.53)
+ 1 − χ8 (x) t2 + · · · ,
SU (3)
where the only difference from the case of N = 3 is that there is no +χ10 (x)
term at order t2 . This is because for N = 2, there is no invariant dABC . Hence
there is only one marginal coupling τ , and the conformal manifold is of
complex dimension 1.
9.7.2 Example: SU (3) SQCD with 6 flavours

• This theory lies inside the conformal window, so we expect that it flows to an
interacting superconformal field theory in the IR.
• The index of the electric theory reads

I I
1 dz1 dz2
I3,6 = ×
3! 2πiz1 2πiz2
3 Y 6
(p; p)2 (q; q)2 Y 1
−1 1

−1 −1
Q Γ((pq) za ui b)Γ((pq) za vi b )
4 4
1≤a6=b≤3 Γ(za /zb ) a=1 i=1 z3 =z1−1 z2−1
=: I(ui b, vi−1 b−1 ) .

(9.54)
• The magnetic theory has the same gauge group and the same number of
flavours, but there is also 36 singlets M and a non-trivial superpotential, which
fixes the R-charge of M to be 1. The index of the magnetic theory is
" 6 #
1
Y
0
I3,6 = Γ((pq) 2 ui vj−1 ) I(u−1 −1
i b, vi b ) = I3,6 . (9.55)
i,j=1
• As before, we compute the series expansion of the index in t (where p = ty and

q = ty −1 )
0 SU (6) SU (6) SU (6) SU (6)
I3,6 = I3,6 = 1 + χ6 (u)χ6 (v)t + (χ20 (u)b3 + χ20 (v)b−3 )t3/2
h
SU (6) SU (6) SU (6) SU (6)
+ χ21 (u)χ21 (v) + χ15 (u)χ15 (v)
SU (6) SU (6)
+ (y + y −1 )χ6 (v) (u)χ6
i
SU (6) SU (6)
−χ35 (u) − χ35 (v) − 1 t2 + . . . .
(9.56)
– 63 –
Each coefficient corresponds to the following objects:
SU (6) SU (6)
χ6 (u)χ6 (v) mesons Mji
SU (6) SU (6)
χ20 (u)b3 + χ20 (v)b−3 baryons and antibaryons B [i1 i2 i3 ] , B
e[i i i ]
1 2 3
SU (6) SU (6) (ij) (i e |a| j) e b
χ21 (u)χ21 (v) marginal operators: O(kl) = Qa Q(k Q|b| Ql)
SU (6) SU (6) [ij] [i e |a| j] e b
χ15 (u)χ15 (v) marginal operators: O[kl] = Qa Q [k Q|b| Ql]
SU (6) SU (6)
(y + y −1 )χ6 (u)χ6 (v) higher modes of the mesons
SU (6) SU (6)
−χ35 (u) − χ35 (v) − 1 conserved current of SU (6) × SU (6) × U (1)B
(9.57)
(ij) [ij]
Note that O(kl) and O[kl] are exactly marginal operators of the theory.
• We can deform by the superpotential

ij
δW = λkl
ij Okl , (9.58)
with the pairs (i, j) and (k, l) being both symmetric or anti-symmetric. Here
λkl
ij are exactly marginal couplings. Such deformations preserve conformal
invariance.
• Under such deformations, the U (1)B symmetry is preserved, but the SU (6) ×
SU (6) symmetry is broken.
• In the SU (3) SQCD with 6 flavours, there are (21 × 21) + (15 × 15) = 666
marginal operators. The conformal manifold is therefore dimC MC = 666 −
2(62 − 1) = 596 complex dimensional.
In general, for the SU (Nc ) SQCD with Nf = 2Nc flavours,

(ij) [ij]
• O(kl) = Q(i Q
e(k Qj) Q
el) and O = Q[i Q
[kl]
e[k Qj] Q
el] are always exactly marginal;
• we have in total [Nf (Nf + 1)/2]2 + [Nf (Nf − 1)/2]2 = Nf2 (Nf2 + 1)/2 marginal
operators; and
• subject to the global symmetry SU (Nf ) × SU (Nf ), the complex dimension of

the conformal manifold is
1 1
dimC MC = Nf2 (Nf2 + 1) − 2(Nf2 − 1) = Nf4 − 3Nf2 + 4 .

(9.59)
2 2
10 The a-maximisation
Important points.
– 64 –
• Supersymmetry relates the stress tensor Tµν to a U (1)R current jµR : they are
both in following supermultiplet:
β̇ β̇
Tαα̇ (x, θ, θ) = jαRα̇ (x) + θβ Sαα̇β (x) + θ S αα̇β̇ (x) + θβ θ Tαα̇β β̇ (x) + . . . , (10.1)
where the first component is the U (1)R current such that jαRα̇ = jµR σαµα̇ ; S and
S are supercurrents; and the θθ component is the stress energy tensor such
that Tαα̇β β̇ = Tµν σαµα̇ σβν β̇ .
We call the charge associated with this U (1)R current RT .
• Away from the conformal fixed point, RT is not really conserved. Its non-
conservation is related by supersymmetry to non-zero Tµµ and the lack of scale
invariance.
• As the theory flows to a superconformal fixed point, RT → R∗ , which is con-

served.
Any 4d superconformal field theory (SCFT) necessarily have a conserved
U (1)R∗ symmetry, with U (1)R∗ being a subgroup of the 4d superconformal
group SU (2, 2|1).
• We refer to this U (1)R∗ as the superconformal R-symmetry.
• The supersymmetry relation Rµ ↔ Tµν implies many powerful results. Here

are some examples:
1. ∆(O) ≥ 23 |R∗ (O)| for all gauge invariant spin zero operators O, with ∆(O)
the exact operator dimension and R∗ (O) the operator’s U (1)R∗ charge.
2. Chiral primary operators have ∆(O) = 23 R∗ (O), and additivity of the
U (1)R charge for composite operators implies that they form a closed
OPE ring, with additive operator dimensions.
3. A unitarity bound, ∆(O) ≥ 1 for spin zero operators, implies that
2
R∗ (O) ≥ (10.2)
3
for spin zero chiral primary operators, with
2
R∗ (O) = (10.3)
3
if and only if O is a decoupled free field.
4. R∗ is anomaly free precisely if the exact NSVZ beta function vanishes,
βNSVZ (g∗ ) = 0, as is appropriate for a CFT.
– 65 –
10.1 The conformal anomalies
• The trace of the stress tensor in 4d conformal field theories is nonzero in
curved spaces:
Tµµ = aE4 − cWµνρσ
2
(10.4)
where E4 = 41 µ1 ν1 µ2 ν2 ρ1 σ1 ρ2 σ2 Rµ1 ν1 ρ1 σ1 Rµ2 ν2 ρ2 σ2 is the Euler density and Wµνρσ
2
is the Weyl tensor squared.
• The coefficient a can be considered as the integral of the energy-moment tensor

over S 4 : Z
a∼ hTµµ i . (10.5)
S4
This is expected to provide an effective measure for the number of degrees of
freedom, such that as we integrate out high momentum modes, a decreases
along the RG flow. In other words, aIR < aUV .
This statement, known as the a-theorem, was proven by Komargodski and
Schwimmer in 2011 [37].
• The conformal anomalies a and c can be exactly related to the superconformal

R-symmetry’s ’t Hooft anomalies:
3 1
a= (3TrR∗3 − TrR∗ ) , c= (9TrR∗3 − 5TrR∗ ) . (10.6)
32 32
This is extremely powerful, because ’t Hooft anomaly matching implies that
such ’t Hooft anomalies are constant along the RG flows20 and can
thus be evaluated in the weakly coupled UV limit.
Example: The free chiral multiplet Φ. In this case, R(Φ) = 2/3 and the
fermionic component has R-charge R(ψΦ ) = 2/3 − 1 = −1/3.
" #
3
3 1 1 1
a= 3 − − − = ,
32 3 3 48
"
3 # (10.7)
1 1 1 1
c= 9 − −5 − = .
32 3 3 24
Example: The free vector multiplet. The gaugino has R-charge R(λ) = 1.
3 3
3 (1)3 − (1) =

a= ,
32 16 (10.8)
1 1
c= 9 (1)3 − 5 (1) = .
32 8
20
Here we are supposing the the R∗ symmetry is conserved along the RG flow, rather than being
an accidental symmetry of the IR fixed point. Away from the IR fixed point, R∗ differs from the
R-current in the Tαα̇ supermultiplet.
– 66 –
Sketch of the derivation of (10.6). There are two ways to derive these relations.
1. The original way by [38]. This method uses the superspace version of
anomaly of the supercurrent:

α̇ 1 2
∇ Tαα̇ = ∇α (cW − aΞ) , (10.9)
24π 2
where W and Ξ are the superfields that contain the Weyl tensor and Euler
density. Since the superfield Tαα̇ contains also the R-current, by expanding
this superfield equation in components, we can relate a and c with the ’t Hooft
anomalies of the superconformal U (1)R symmetry.
2. The method of [39]. This involves looking at the three-point-function
hTαα̇ (z1 )Tβ β̇ (z2 )Tγ γ̇ (z3 )i (10.10)
in flat space. The form of this is completely fixed by the symmetries and Ward
identities, up to two overall normalisation coefficients.
In components, this relates the stress tensor three-point functions, and hence a
and c, and to the R-current three-point functions, and hence the tr U (1)R and
tr U (1)3R , to these two coefficients.
The relations (10.6) can then be determined by considering the special cases
of free chiral and vector superfields.
Example: The SU (Nc ) SQCD with Nf flavours, with 23 Nc < Nf < 3Nc .
• As we discussed earlier, this theory has a unique anomaly free U (1)R symmetry
under which R(Qi ) = R(Q ei ) = 1 − (Nc /Nf ).
• The a and c at the strongly coupled interacting RG fixed point can be computed
using the spectrum of the UV free theory.
32
a = 6Nf Nc [R(Q) − 1]3 − 2Nf Nc [R(Q) − 1]
3
+ 3(Nc2 − 1)(1)3 − (Nc2 − 1)(1)
!
1 Nc
= 2Nf2 −3x4 + 2x2 − 2 , with x = ,
Nf Nf
(10.11)
3
32c = 18Nf Nc [R(Q) − 1] − 10Nf Nc [R(Q) − 1]
+ 9(Nc2 − 1)(1)3 − 5(Nc2 − 1)(1)
!
2
= 2Nf2 −9x4 + 7x2 − 2 .
Nf
• The same result can be also from the magnetic theory, as expected from the
Seiberg duality.
– 67 –
The Hofman–Maldacena bounds on a/c [40, 41].
The upper and lower bounds of a/c for unitary 4d CFTs and 4d SCFTs are21
N upper bound lower bound

0 31/18 1/3
1 3/2 1/2
(10.12)
2 5/4 1/2
3 1 1
4 1 1
where the upper bound corresponds to free vector fields or vector multiplets, and the
lower bound corresponds to a free scalar; a free chiral multiplet; a free hypermultiplet,
respectively.
11
For 4d N = 2 SCFTs, it can also be shown that c ≥ 30 [44].
10.2 Statement of the problem

• How can one identify precisely which possible R-symmetry is the special one,
R∗ , of the superconformal algebra? (It is generally not uniquely fixed by the
symmetries, as it was in the SQCD example.)
• If the theory has a large group F of non-R global flavor symmetries, with
charges FI , we can make a general R-symmetry (also known as the trial R-
symmetry) by combining any initial R-symmetry, R0 , with any linear combi-
nation of the flavour symmetries:
X
Rt = R0 + sI F I , (10.13)
I
with the sI real parameters.
• Question: How can we determine the particular values of the sI which produce
the special U (1)R∗ ⊂ SU (2, 2|1)?
10.3 A solution by Intriligator and Wecht [1]

• The superconformal R-symmetry is the unique choice of the trial R-symmetry,
Rt as given above, which locally maximizes
3
3TrRt3 − TrRt .

atrial (sI ) = (10.14)
32
• The value of atrial at this local maximum is then the central charge a of the
SCFT.
21
See [42] for various properties of 4d N = 3 SCFTs, including a/c. A class of 4d N = 3 SCFTs
was first constructed by the authors of [43].
– 68 –
• This procedure for finding the R-charge is called the a-maximisation.
• Because atrial is a cubic function, there is a unique local maximum, but no

global maximum.
10.4 A proof of a-maximisation

From (10.13) and (10.14), we have
∂atrial 3 ∂ 2 atrial 3
9 tr Rt2 FI − tr FI ,

= = · 18 tr Rt FI FJ . (10.15)
∂sI 32 ∂sI ∂sJ 32
We will show that at the superconformal fixed point where Rt = R∗ ,
• we have
9 tr R∗2 FI = tr FI , (10.16)
i.e. the superconformal U (1)R extremises atrial , and
• we also have
tr R∗ FI FJ < 0 , (10.17)
i.e. the extremum is a local maximum.
To derive (10.16), we proceed as follows:
• The superconformal symmetry relates the triangle anomaly tr R∗2 FI to another

triangle anomaly, with the R∗ currents replaced by stress tensors, i.e. hTµν Tσρ JFI i,
where JFI is the current associated with FI .
• However, hTµν Tσρ JFI i is proportional to the triangle anomaly (JFI · gravity2 ),
which is tr U (1)FI (see [39]).
• Another reason why the anomaly tr R∗2 FI is proportional to the anomaly (JFI ·
gravity2 ) = tr U (1)FI is because the superconformal R-symmetry and the back-
ground metric are in a single supermultiplet W containing the Weyl tensor.
• To compute the ratio between tr R∗2 FI and tr U (1)FI , it suffices to look at the
theory of a free chiral field Φ, where R(Φ) = 2/3 and the R-charge of the
fermion is −1/3. Hence, we arrive at
1
tr R∗2 FI = tr FI , (10.18)
9
as required.
Now let’s derive (10.17).
• The superconformal symmetry relates the three-current triangle anomaly tr R∗ FI FJ

to the three-point function hT JFI JFJ i.
– 69 –
• hT JFI JFJ i is then related to the current-current two point function hJFI JFJ i
(see [39]).
• The two-point function

1
hJFI (x)JFJ (0)i ∝ τIJ (10.19)
x4
where, for a unitary theory, τIJ is a matrix with all positive definite eigenvalues.
• To fix the ratio between tr R∗ FI FJ and the coefficient in the two-point-function

τIJ , we look at the theory of free chiral field, in which the R-charge of the
fermion is −1/3:
τIJ
tr R∗ FI FJ = − , (10.20)
3
hence tr R∗ FI FJ < 0, as required.
Example: a free chiral superfield Φ. Let the trial R-charge of Φ be r, so that

the fermionic component has R-charge r − 1. Then,
32
atrial = 3(r − 1)3 − (r − 1) , (10.21)
3
which has a unique local maximum at r = R = 2/3. This gives a correct dimension
of a free field: ∆ = 3R/2 = 1.
Relations between the a-maximisation and the a-theorem

• Example: The SU (2) SQCD with 4 flavours. In the UV, we have a free
conformal field theory, and so the quarks are free, i.e. R(Q) = 32 :
( " 3 # )
3 2 2
+ 3 3(1)3 − (1)

aUV = 16 3 −1 − −1
32 3 3
(10.22)
1 3 43
= 16afree chiral + 3afree vector = 16 +3 = ≈ 0.9 .
48 16 48
In the IR, the superconformal R-charge of Q is R(Q) = 1 − 42 = 12 . Due to the

’t Hooft anomaly matching condition, we can evaluate a at the superconformal
fixed point using the weakly coupled description in the UV:
" 3 #
32 1 1
+ 3 3(1)3 − (1)

aIR = 16 3 −1 − −1
3 2 2 (10.23)
3
⇒ aIR = = 0.75 .
4
Indeed, aUV > aIR , in agreement with the a-theorem.
– 70 –
• The a-maximisation “intuitively implies” the a-theorem, at least for some su-
persymmetric theories.
• Consider a general RG flow, from some CFT in the UV to another CFT in the
IR. Often (but not always) the flavour symmetry group FIR of the IR theory is
a subgroup of that of the UV theory FUV , i.e. FIR ⊂ FUV , because the relevant
deformations of the UV CFT usually broke some of the flavour symmetries.
• It then follows from a-maximisation that aIR < aUV , simply because max-
imising over a subset leads to a smaller value.
• Warning. There are examples where FIR 6⊂ FUV , because of accidental sym-
metries. In all such examples, aIR < aUV is still satisfied, but this is a loophole
in the above argument.
10.5 Example: A model with the enhanced E6 flavour symmetry
This example is taken from the work of Razamat, Sela and Zafrir [45].
• Consider a theory with an SU (2) gauge group, 8 fundamental chiral multiplets
and a collection of singlets.
We split the 8 chiral fields into 6 chiral fields QA and 2 chiral fields QB , and
couple them respectively to the singlets MA and MB with the superpotential
W = αβ (MA )ij (QA )iα (QA )jβ + αβ (MB )uv (QB )αu (QB )βv , (10.24)
where α, β = 1, 2 are gauge indices, i, j, k = 1, . . . , 6 and u, v = 1, 2. Here MA
is a 6 × 6 antisymmetric matrix (15 independent components) and MB is a
2 × 2 antisymmetic matrix (1 independent component). In the literature, MA
and MB are referred to as the flipping fields.
QA QB
6 × 2 × 2 (10.25)
MA MB
This splitting breaks the original SU (8) symmetry to SU (6)A ×SU (2)B ×U (1)h ,
with the following branching rule:
8 −→ (6, 1)(1) + (1, 2)(−3) (10.26)
We will shortly see that this flavour symmetry gets enhanced to E6 × U (1)h in
the infrared.
• According to the above branching rule, the chiral fields carry the following
charges under the U (1)h symmetry:
h(QA ) = 1/2 , h(QB ) = −3/2 , h(MA ) = −1 , h(MB ) = 3 . (10.27)
and the superpotential is neutral under U (1)h as it should be.
– 71 –
• The U (1)h can mix with the R-symmetry. To determine the correct R-symmetry
we perform the a-maximisation.
Let the trial R-charges of the chiral fields to be
R(QA ) = 32 + x , R(QB ) = 23 + y ,
(10.28)
R(MA ) = 32 − 2x , R(MB ) = 23 − 2y .
where the superpotential have R-charge 2. From the NSVZ beta function, the
condition for a non-trivial fixed point (i.e. non-anomalous R-symmetry) reads
X
0 = T (adj) + T (ri )(Ri − 1)
i
1 1 (10.29)
= 2 + 6 × (R(QA ) − 1) + 2 × (R(QB ) − 1)
2 2
2
⇔ y = −3x − ,
3
and so
R(QA ) = x + 23 , R(QB ) = −3x ,
2 (10.30)
R(MA ) = −2x + 3
, R(MB ) = 6x + 2 .
Observe that (half of ) the coefficients of x in the above equations are
the non-anomalous U (1)h charges of each chiral field.
• We have
tr R3 = 12(R(QA ) − 1)3 + 4(R(QB ) − 1)3
+ 15(R(MA ) − 1)3 + 1(R(MB ) − 1)3 + 3(1)3
(10.31)
tr R = 12(R(QA ) − 1) + 4(R(QB ) − 1)
+ 15(R(MA ) − 1) + 1(R(MB ) − 1) + 3(1) .
The trial a-function is

3 81x2 9x 9
atrial = (3 tr R3 − tr R) = − − + . (10.32)
32 4 2 16
This reaches the maximum at
1
x=−
, (10.33)
9
13 29

at which the conformal anomalies are (a, c) = ,
16 24
.
• Let us summarise the quantum numbers of each chiral fields as follows.
Field SU (2)g SU (2)B SU (6)A U (1)h U (1)R∗

1 5
QA 2 1 6 2 9
QB 2 2 1 − 32 1
3
(10.34)
4
MB 1 1 1 3 3
8
MA 1 1 15 −1 9
– 72 –
• Let us compute the supersymmetric index on S 3 × S 1 :
I 6 2 Y
1 dz (p; p)(q; q) Y Y 5
Y 1
I= Q ±2
±1
Γ((pq) z xi h )
18
1/2
Γ((pq) 6 z ±1 vj−1 h−3/2 )
2 2πiz ± Γ(z ) i=1 ± j=1 ±
4 4
Y
× Γ((pq) 6 v1 v2 h3 ) Γ((pq) 9 x−1 −1 −1
i xj h ) ,
1≤i<j≤6
(10.35)
Q
where x1 , x2 , . . . , x6 (with i xi = 1) are the fugacities for SU (6)A , and v1 , v2
(with v1 v2 = 1) are the fugacities for SU (2)B , and h is the fugacity for U (1)h .
Let us write p = ty and q = t/y and expand the index as a power series in t:
h i
SU (6) SU (6)A SU (2)B
I = 1 + h−1 χ15 A (x) + χ6 (x)χ2 (v) t8/9 + h
|
−1 4/3
{zt } + . . . . (10.36)
| {z } | {z }
QA QB M B
MA
We recognise the following branching rule of the antifundamental representa-

tion of E6 to SU (6)A × SU (2)B :
27 → (15, 1) ⊕ (6, 2) . (10.37)
Indeed, we find that I can be written in terms of the character of representa-

tions of E6 and h at every order of t:
I = 1 + h−1 χ27
E6
(a)t8/9 + h−1 t4/3 + h−2 χ351
E6
(a)t16/9
(10.38)
+ h−1 χE (a)(y + y −1 )t17/9 + −χ78
E6
(a) − 1 t2 + . . . .
6

27
• Assume that the theory flows to a superconformal fixed point.

Recall that the coefficient of t2 gets contributions only from marginal operators
minus conserved currents for global symmetries [32].
We see that there is no marginal operator, and the global symmetry of this
theory is E6 × U (1)h .
10.6 A caution on accidental symmetries

• One must maximize atrial = 32
3
(3TrRt3 − TrRt ) over the complete space of all
possible trial R-symmetries, including all accidental symmetries.
• One situation where accidental symmetries are readily apparent, and required,
is when a gauge invariant chiral primary operator, e.g. M = QQ, e hits or
appears to violate the unitarity bound R(M ) ≥ 2/3.
– M then becomes a free field, with an accidental symmetry, JM , under

which only M is charged.
– 73 –
– The trial Rt must then include mixing with JM :
Rt,new = Rt,old + sM JM , (10.39)
with the new parameter sM again fixed by maximizing atrial .

– This leads to an additive correction to the quantity atrial to be maximized
with respect to other parameters sI .
10.6.1 Example: An N = 1 Lagrangian of the N = 2 Argyres–Douglas

theory of type H1 or (A1 , A3 )
This example and the following analysis is taken from the work of Maruyoshi–Song
[46]22 , as well as Benvenuti–Giacomelli [48].
• Let us starts by considering an N = 1 SU (2) gauge theory with 2 chiral

multiplets in the fundamental representation, denoted by Qia (with a = 1, 2 the
colour index and i = 1, 2 the flavour index), and an adjoint chiral multiplet φ.
• Let us take the superpotential to be zero for now. Suppose that this theory flows
to a fixed point. The condition for the non-anomalous R-symmetry (vanishing
NSVZ beta function) is
1
0 = 2 + 2 × (R(Q) − 1) + 2(R(φ) − 1) . (10.40)
2
Its convenient to write
2 2
R(Q) = +x , R(φ) = +y , (10.41)
3 3
then (10.40) implies that
1
y = − (1 + x) . (10.42)
2
The trial a-function is then
3 1
atrial = (3 tr R3 − tr R) = 783x3 − 1269x2 − 567x + 301 .

(10.43)
32 768
where
tr R3 = 3(R(φ) − 1)3 + 4(R(Q) − 1)3 + 3
(10.44)
tr R = 3(R(φ) − 1) + 4(R(Q) − 1) + 3 .
1
√
The function atrial reaches its local maximum at x = 87 47 − 2 1009 . This
implies that
1 √
R(φ) = 1009 − 9 ≈ 0.26 . (10.45)
87
22
An N = 1 Lagrangian that flows to an N = 2 Argyres–Douglas theory was in fact first
discovered by Maruyoshi–Song in [47]. In this work the corresponding Argyres–Douglas theory is
of the type H0 or (A1 , A2 ).
– 74 –
Observe that the R-charge of the gauge invariant operator U = tr(φ2 ) is
2 √ 2
R(U ) = 1009 − 9 ≈ 0.52 < . (10.46)
87 3
This violates the unitarity bound.
• A way to cure this problem is to introduce a new field FU (which is a sin-

glet under the gauge symmetry), known as a flipping field for U , with the
superpotential
W = U FU . (10.47)
Observe that the F -term ∂F∂U W = 0 sets U = 0, and so there is no unitarity
violation and all usual computations can be performed.
The vanishing NSVZ beta function condition (10.40) remains unchanged, since
FU is a singlet. Because of the superpotential
2
R(FU ) = 2 − 2R(φ) = − 2y . (10.48)
3
However, we have
tr R3 = 3(R(φ) − 1)3 + 4(R(Q) − 1)3 + (R(FU ) − 1)3 + 3

(10.49)
tr R = 3(R(φ) − 1) + 4(R(Q) − 1) + (R(FU ) − 1) + 3 .
and so
3 1
(3 tr R3 − tr R) = 999a3 − 837a2 − 351a + 317 . (10.50)

atrial =
32 768
1
√ 1
√
Maximising atrial gives x = 111 31 − 2 601 . This leads to R(φ) = 111 601 + 3 ≈
2
√
− 601 + 108 ≈ 1.50 > 23 .

0.25, and so R(FU ) = 111
In fact, it could be checked, for example by computing the index, that there is
no unitarity violating operator.
• A very interesting theory arises when we further introduce another flipping

field FM for the operator M = ij ab Qia Qjb and take the superpotential to be
W = U FU + M FM . (10.51)
Although the introduction of FM is not necessary from the perspective of the

unitarity bound violation, we will see that this leads to an interesting theory.
– Again, the vanishing NSVZ beta function condition (10.40) remains un-
changed, since FU and FM are gauge singlets. Due to the superpotential
2
R(FM ) = 2 − 2R(Q) = − 2x . (10.52)
3
– 75 –
We summarise the trial R-charges of the chiral fields as follows:

2 1 2 5
(R(Q), R(φ), R(FM ), R(FU )) = + 2x, − x, − 4x, + 2x .
3 6 3 3
(10.53)
The coefficients of x indicate the non-anomalous U (1) flavour
(non-R) charges that can be assigned to each chiral field. We will
refer to this as U (1)h .
– We have
tr R3 = 3(R(φ) − 1)3 + 4(R(Q) − 1)3 + (R(FU ) − 1)3 + (R(FM ) − 1)3 + 3
tr R = 3(R(φ) − 1) + 4(R(Q) − 1) + (R(FU ) − 1) + (R(FM ) − 1) + 3 .
(10.54)
and so
3 3
(3 tr R3 − tr R) = − 648x3 + 756x2 + 78x − 37 . (10.55)

atrial =
32 256
1
This reaches its maximum at x = − 18 , and at this values the R-charge of
the chiral fields are

5 2 8 14
(R(Q), R(φ), R(FM ), R(FU )) = , , , . (10.56)
9 9 9 9
The values of the conformal anomalies a and c are

11 1
(a, c) = , . (10.57)
24 2
This turns out to be precisely the values of a and c for the 4d N = 2

Argyres–Douglas theory of type H1 or (A1 , A3 )23 , computed by Aharony–
Tachikawa [49] and Shapere–Tachikawa [50].
Furthermore, the scaling dimensions of FM , FU and the gauge invariant
operators X (ij) = Qia φ(ab) Qjb are
4 7
∆(FM ) = , ∆(FU ) = , ∆(X) = 2 . (10.58)
3 3
These also match with the scaling dimensions of the operators of the H1
Argyres–Douglas theory [51].
– In summary, we start from a particular 4d N = 1 Lagrangian but the
theory flows to a superconformal fixed point with N = 2 supersymme-
try. Hence, in this example, supersymmetry gets enhanced in the
infrared.
23
This is also the Argyres-Douglas point of the 4d N = 2 pure SU (4) theory theory.
– 76 –
• Let h be the fugacity for the non-anomalous U (1) flavour symmetry, and let
w1 , w2 (with w1 w2 = 1) be the fugacities for the SU (2) flavour symmetry. The
index for the theory (10.51) is given by

I 2
1 dz (p; p)(q; q) Y Y 5
±1

2
I= Q Γ((pq) z wi h )
9
2 2πiz ± Γ(z ±2 ) i=1 ±
w2 =w1−1
2
Q2
±1 −1 −1
Q
± Γ((pq) z wi wj h )
9 8 14
i,j=1
× 2 × Γ((pq) 9 h−4 )Γ((pq) 9 h2 )
−1
Γ((pq) 9 h ) −1
w2 =w1
SU (2)
= 1 + h−4 t8/9 − (y + y −1 )h−1 t11/9 + h3 χ3 (w)t4/3
SU (2)
+ . . . + (−χ3 (w) − 1)t2 + . . . ,
(10.59)
where we have set p = ty and q = ty −1 , as before. The coefficient of t2

indicates the presence of the conserved current SU (2) × U (1)h , and that there
is no marginal operator in this theory.
10.6.2 Example: The A

b theory
This example and the following analysis is taken from [52].

Consider the SU (Nc ) SQCD with 0 < Nf < 2Nc fundamental flavors, a chiral
superfield X in the adjoint representation, and W = 0.
• From the NSVZ beta function (8.49), a condition for non-trivial fixed points of
the RG flow reads X
0 = T (adj) + T (ri )(Ri − 1) . (10.60)
i
Let us assign R-charges R(Q) to Q and Q,

e and R(X) to X. Then,
0 = Nc + Nf (R(Q) − 1) + Nc (R(X) − 1)
(10.61)
⇔ Nf = Nf R(Q) + Nc R(X) .
Write the trial U (1)R as
R(Q) ≡ y ,
1−y Nc (10.62)
R(X) = , with x ≡ .
x Nf
and y being a function of x.
• For the sake of brevity, we will denote

3
a= a
b ⇒ atrial = 3TrRt3 − TrRt .
b (10.63)
32
– 77 –
• To simplify the calculation, we focus on the limit in which Nc 1, Nf 1
with x = Nc /Nf fixed. From (10.14), we obtain
atrial
= 6x(y − 1)3 − 2x(y − 1)
b
Nf2 | {z }
contr. from Q and Q
e
3
2 1−y 2 1−y
+ 3x −1 −x −1 (10.64)
x x
| {z }
contr. from X
2 2
+ 3x − x .
| {z }
contr. from gauginos
• Maximising atrial with respect to y, we obtain

√
3 + x(−3 − 6x + 20x2 − 1)
R(Q) = y (0) = ,
3 − 6x2
(10.65)
1 − y (0) 10
R(X) = = √ .
x 3(3 + 20x2 − 1)
Plugging (10.65) into (10.64), one finds the following expression for the central
charge:
(0)
2Nf2 x2 2 2 3/2

a ≡b
atrial |y=y(0) = 18 − 90x + (20x − 1) . (10.66)
9(1 − 2x2 )2
b
• Actually, (10.65), (10.66) are not the full story, since one needs to take into
account unitarity constraints.
– Consider, for example, the chiral superfield M1 = QQ. e According to

2
√
(10.65), it violates the unitarity bound, R(M1 ) ≥ 3 , for x > 3 + 7.
√
Thus, for x > 3 + 7, the infrared SCFT splits into an interacting theory
and a free superfield M1 (whose R-charge is now 2/3). One only needs to
extremise the central charge of the interaction part with respect to y:
atrial −Nf2 3(2y − 1)3 − (2y − 1) .

ainteract = b
b (10.67)
|{z}
(10.64)
The full central charge is

" 3 #
2 2
a(1)
b ainteract + Nf2 3
=b −1 − −1 . (10.68)
3 3
But this is still not the end of the story!
– 78 –
– In general, we have gauge invariant quantities Mj = QXe j−1 Q, with j =
1, 2, . . .. At some larger value of x, the operator M2 = QXQ
e reaches
R-charge 2/3, and the same procedure has to be repeated for it. More
generally, every time the R-charge of a gauge invariant chiral operator
in the theory drops below 2/3, the a-maximisation procedure has to be
modified accordingly.
– The required a-maximizations can be solved numerically (see more details
in [52]). However, this problem can be solved analytically for large x.
The large x limit. We expect R(Q) = R(Q) e = y to go to a finite constant

as x → ∞. In this limit, (10.64) becomes
(0)
atrial ∼ Nf2 6x(y − 1)3 − 10x(y − 1) .

b (10.69)
Suppose the first p meson fields M1 , M2 , . . . , Mp are free. Then,

p
"( 3 ) #
(0)
X 2 2 3
atrial = b
b atrial + 3 −1 − −1 − 3 (R(Mj ) − 1) − (R(Mj ) − 1)
j=1
3 3
p
(0) 1X
= atrial
b + [2 − 3R(Mj )]2 [5 − 3R(Mj )]
9 j=1
p 2
(0) 1 2X 1−y 1−y
=batrial + Nf 2 − 3 2y + (j − 1) 5 − 3 2y + (j − 1)
9 j=1
x x
(10.70)
where
1−y
R(Mj ) = 2y + (j − 1) . (10.71)
x
Let us estimate p. We do this by requiring that R(Mp ) = 23 . The error that
arises from this is subleading in 1/x. Hence,

1−y 2 2 1 − 3y
2y + (p − 1) = ⇒ p∼ x. (10.72)
x 3 3 1−y
The second term (10.70) can then be estimated by the following integral:
Z 2(1−3y) 2
1 2 3(1−y) 1−y 1−y
N ds 2 − 3 2y + s 5 − 3 2y + s
9 f s=0 x x (10.73)
4 2
∼ Nf (1 − 3y)3 x .
9
Thus, the trial central charge is

2 3 4 3
atrial = Nf 6x(y − 1) − 10x(y − 1) + (1 − 3y) x .
b (10.74)
9
– 79 –
The local maximum of b
atrial with respect to y occurs at
√
3−1
y= , (10.75)
3
and the value of the central charge at this point is
4 √
a = (2 + 3)xNf2 .
b (10.76)
3
Appendix
A Spinors in 3 + 1 dimensions
• We will mainly use the two component spinor formalism in d = 3 + 1.
• Denote by ψα a two-component complex left-handed Weyl fermion, and by

ψ α̇ := (ψα )∗ a right-handed Weyl anti-fermion, where α, α̇ = 1, 2.
• The indices are raised and lowered by an tensor:

α̇
ψ α = αβ ψβ , ψ = α̇β̇ ψ β̇ . (A.1)
• Each Dirac spinor requires one left- and one right-handed Weyl spinor:

ψα 0
Ψ = Ψ L + ΨR ; ΨL = , ΨR = . (A.2)
0 η α̇
• The kinetic terms for these Weyl spinors are
Lkin = iψ α̇ (σ µ )α̇α ∂µ ψα + iη α (σ µ )αβ̇ ∂µ η β̇ , (A.3)
where
(σ µ )α̇α = {1, −σ}α̇,α , (σ µ )αβ̇ = {1, σ}α,β̇ . (A.4)
This is equivalent to writing
Lkin = iΨγ µ ∂µ Ψ =: iΨ∂/Ψ ;

0 σµ (A.5)

† 0 µ
Ψ=Ψγ , γ = .
σµ 0
– 80 –
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The dynamics of 4d N = 1 gauge theories

Abstract: (Last update: December 6, 2019)

This is a lecture note on the dynamics of 4d N = 1 gauge theories. It contains

• Non-renormalisation theorem for the superpotential

• The pure N = 1 gauge theory

• The Witten index

• Supersymmetric QCD and its quantum behaviours

• The Seiberg duality

• The supersymmetric index on S 3 × S 1

• Introduction to conformal manifolds

3 Non-renormalisation theorem for the superpotential 5

4 Renormalisation of the Kähler potential 7

6 A brief introduction to extended supersymmetry 17

7 Pure N = 1 gauge theory 20

and has the expansion

• K(Φ, Φ† ) is a real function on the superfield Φ and its complex conjugate Φ† .

• W (Φ) is a holomorphic function of the superfield Φ. This is called the super-

More explicitly, the action can be written as

{Dα , Dα̇ } = −2iσαµα̇ ∂µ , {Dα , Dβ } = {Dα̇ , Dβ̇ } = 0 . (2.3)

so that the superpotential W has R-charge R(W ) = +2.

• This symmetry acts differently on different components φ, ψ, F of the same

φ → φ exp (riα) , ψ → ψ exp [(r − 1)iα] , F → F exp [(r − 2)iα] , (2.10)

Abuse of notation: Whenever there is no potential confusion, we will denote the

• The SUSY algebra implies that2

Example: The Wess–Zumino (WZ) model. Let us take K = Φ† Φ and W =

• From ∂φ W (φ) = mφ + λφ2 = 0, there are two classical ground states:

hφi = 0 , hφi = −m/λ (2.15)

• Under the transformation Φ → − mλ

• In each vacuum, hφi = 0 or hφi = − m λ

• ∂L W = 21 λH 2 = 0 and ∂H W = λLH = 0 imply that the minimum of the scalar

The field L is massless (light), whereas H has a mass mH = |λhLi|.

• The moduli space is 1 complex dimensional, parametrised by the vacuum ex-

3 Non-renormalisation theorem for the superpotential

• Think of all couplings, such as m and λ in the previous example, as expectation

• Under the Wilsonian renormalisation, the effective superpotential is holomor-

Example: The WZ model. Wclassical = 21 mΦ2 + 31 yΦ3 . To find the Wilsonian

• Think of all couplings, namely m and y, as background fields.

• By holomorphy, Weff is holomorphic not only in Φ, but also in m and y. The

• Now we consider the following limits:

– As y → 0, the theory is free; hence, no negative powers in f (t).

• Thus, Weff = Wclassical ; the superpotential is not renormalised to all order in

Weff (L, mλ) = h λ2 L4 /m ,

• Again, we make no claim about quantum corrections to the Kähler potential,

1. Supersymmetry is crucial here; without holomorphy, we cannot rule out terms

2. Strictly speaking, we need to show the existence of a regularization scheme

3. We will see examples of supersymmetric gauge theories in which new terms in

4 Renormalisation of the Kähler potential

Keff (Φ, Φ† ) = ZΦ† Φ , Z is real and positive . (4.3)

By rescaling Φ → aΦ, we have y → ya−3 and Z → Z|a|−2 . We can define

|yP |2 = yP† yP = y † Z −3 y = |y|2 Z −3 , (4.4)

which is clearly invariant under such a field redefinition. Here, yP is phys-

• Recall that the anomalous dimension γ of Φ is related to Z given by

• The behaviour of the physical coupling yP is governed by

Our main goal is to compute the anomalous dimension γ, perturbatively in yP

• The term Φ3 in superpotential breaks U (1)Φ to Z3 . Hence there is a source

where q = 3 is the charge of Φ3 under U (1)Φ . We will use this equation to

• As a result of this non-conservation equation, we will show that the leading

with NO = 6, NJ = 1 and q = 3. We derive of this OPE later.

• This OPE implies that there is a logarithmic divergence (due to d4 x |x|1 4 ) in

the following quantity:

– At the classical level, the coupling y is is dimensionless, since the dimen-

• Combining (4.21) with (4.23), we have the three-point function

This is compatible with the following OPE6 (see (3.6) of [15]):

We can choose an orthogonal basis of the operators such that