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A nonperturbative study of three-dimensional quartic scalar field theory using modal field methods

Mark Windoloski

Published Jan 1, 2000• 3 citations
OpenAlex

Abstract

The method of modal field theory is a new development in the field of nonperturbative quantum field theory. This approach reduces a quantum field theory to a finite-dimensional quantum mechanical system by expanding field configurations in terms of free-wave modes. In this dissertation we apply this method to three-dimensional &phis;4 theory using two kinds of modal field approaches: a spherical partial wave expansion and a periodic-box mode expansion. The resulting modal-field quantum-mechanical systems are analyzed with the use of the diffusion Monte Carlo method and by calculating the spectrum and eigenstates of the Hamiltonian directly. In the latter approach we employ the recently introduced quasi-sparse eigenvector method which is designed to diagonalize infinite-dimensional yet very sparse matrices. We study the phase structure of three-dimensional &phis;4 theory, computing the critical coupling and the critical exponents ν and β. We also investigate the spectrum of low-lying energy eigenstates and find evidence of a nonperturbative state in the broken-symmetry phase of the theory.

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This work describes a variational technique to solve non-Hermitian quantum systems, in particular those with negative coupling quartic self-interaction. Differences of applying variational methods from standard quantum mechanics to non-Hermitian quantum mechanics -- including potential pitfalls -- are highlighted. A successful implementation of the variational approach for the non-Hermitian case is presented. The technique is used to analyze scalar quantum field theory in d=2 with negative quartic self-interaction in the Hamiltonian formulation in lattice discretization.

hep-thCross-listedarXiv:2609.19798•Sep 18, 2026
The method of modal field theory is a new development in the field of nonperturbative quantum field theory. This approach reduces a quantum field theory to a finite-dimensional quantum mechanical system by expanding field configurations in terms of free-wave modes. In this dissertation we apply this method to three-dimensional &phis;4 theory using two kinds of modal field approaches: a spherical partial wave expansion and a periodic-box mode expansion. The resulting modal-field quantum-mechanical systems are analyzed with the use of the diffusion Monte Carlo method and by calculating the spectrum and eigenstates of the Hamiltonian directly. In the latter approach we employ the recently introduced quasi-sparse eigenvector method which is designed to diagonalize infinite-dimensional yet very sparse matrices. We study the phase structure of three-dimensional &phis;4 theory, computing the critical coupling and the critical exponents ν and β. We also investigate the spectrum of low-lying energy eigenstates and find evidence of a nonperturbative state in the broken-symmetry phase of the theory.
Several issues in the modal approach to quantum field theory are discussed. Within the formalism of spherical field theory, differential renormalization is presented and shown to result in a finite number of renormalization parameters. Computations of the massless Thirring model in 1+1 dimensions are presented using this approach. Diagonalization techniques in periodic field theory are demonstrated. Issues of very large Hilbert spaces are considered and several approaches are presented. The quasi sparse eigenvector (QSE) approach takes advantage of the relatively small number of basis states that typically contribute significantly to any particular eigenvector. Stochastic correction methods use Monte Carlo calculations to calculate higher order corrections to the quasi sparse result. The quasi sparse eigenvector method and stochastic error correction are applied to the Hubbard model. With U/t=4, the shift in the ground energy below the U=0 value is found to within 1% for the 8x8 Hubbard model with 25/64 filling.
This thesis focuses on renormalization of quantum field theories. Its first part considers three tensor models in three dimensions, a Fermionic quartic with tensors of rank-3 and two Bosonic sextic, of ranks 3 and 5. We rely upon the large-NNN melonic expansion of tensor models. For the first model, invariant under U(N)3U(N)^3U(N)3, we obtain the RG flow of the two melonic couplings and the vacuum phase diagram, from a reformulation with a diagonalizable matrix intermediate field. The discrete chiral symmetry breaks spontaneously and we compare with the three-dimensional Gross-Neveu model. Beyond the massless U(N)3U(N)^3U(N)3 symmetric phase, we also observe a massive phase of same symmetry and another where the symmetry breaks into U(N2)×U(N/2)×U(N/2)U(N^2)\times U(N/2)\times U(N/2)U(N2)×U(N/2)×U(N/2). A matrix model invariant under U(N)×U(N2)U(N)\times U(N^2)U(N)×U(N2), with close properties, is also studied. For the other models, with symmetry groups U(N)3U(N)^3U(N)3 and O(N)5O(N)^5O(N)5, a non-melonic coupling (the "wheel") with an optimal scaling in NNN drives us to a generalized melonic expansion. The kinetic terms are taken of short- and long-range, and we analyze perturbatively, at large-NNN, the RG flows of the sextic couplings up to four loops. Only the rank-3 model displays non-trivial fixed points (two real Wilson-Fisher-like in the short-range case and a line of fixed points in the other). We finally obtain the real conformal dimensions of the primary bilinear operators. In the second part, we establish the first results of perturbative multi-scale renormalization for a quartic scalar field on critical Galton-Watson trees, with a long-range kinetic term. At criticality, an emergent infinite spine provides a space of effective dimension 4/34/34/3 on which to compute averaged correlation fonctions. This approach formalizes the notion of a QFT on a random geometry. We use known probabilistic bounds on the heat-kernel on a random graph reviewed in detail.
We apply the dynamical mean field theory (DMFT) approximation to the real, scalar ${\ensuremath{\varphi}}^{4}$ quantum field theory. By comparing to lattice Monte Carlo calculations, perturbation theory and standard mean field theory, we test the quality of the approximation in two, three, four and five dimensions. The quantities considered in these tests are the critical coupling for the transition to the ordered phase and the associated critical exponents $\ensuremath{\nu}$ and $\ensuremath{\beta}$. We also map out the phase diagram in the most relevant case of four dimensions. In two and three dimensions, DMFT incorrectly predicts a first-order phase transition for all bare quartic couplings, which is problematic, because the second-order nature of the phase transition of lattice ${\ensuremath{\varphi}}^{4}$ theory is crucial for taking the continuum limit. Nevertheless, by extrapolating the behavior away from the phase transition, one can obtain critical couplings and critical exponents. They differ from those of mean field theory and are much closer to the correct values. In four dimensions the transition is second order for small quartic couplings and turns weakly first order as the coupling increases beyond a tricritical value. In dimensions five and higher, DMFT gives qualitatively correct results, predicts reasonable values for the critical exponents and considerably more accurate critical couplings than standard mean field theory. The approximation works best for small values of the quartic coupling. We investigate the change from first- to second-order transition in the local limit of DMFT which is computationally much cheaper. We also discuss technical issues related to the convergence of the nonlinear self-consistency equation solver and the solution of the effective single-site model using Fourier-space Monte Carlo updates in the presence of a ${\ensuremath{\varphi}}^{4}$ interaction.
We introduce a non perturbative general approximation scheme (NGAS) that can handle interactions of any strength in quantum theory. This approach starts with an input Hamiltonian that can be solved exactly. The interaction effects are then built into this Hamiltonian through nonlinear feedback enforced by self consistency conditions. While the method itself is nonperturbative it can be systematically improved using a new perturbation method called 'mean field perturbation theory' which does not involve power series expansion in any small parameter. We put this scheme to the test on one dimensional anharmonic interactions using the harmonic approximation. The results are consistently accurate across various cases including quartic, sextic, and octic anharmonic oscillators, as well as the quartic double well oscillator (QDWO) even when the coupling strength varies widely. The flexibility of the method is demonstrated when we swap the input Hamiltonian for that of an infinite square well and still achieve comparable accuracy. When applied to the λϕ4 quantum field theory this approach aligns with the Gaussian effective potential method under the harmonic approximation. Beyond that it reveals the condensate structure of the effective vacuum and highlights the instability of the perturbative ground state. Notably, our ground-state energy results for the QDWO stand in stark contrast to those from standard perturbation theory where Borel summation fails regardless of coupling strength.
This work describes a variational technique to solve non-Hermitian quantum systems, in particular those with negative coupling quartic self-interaction. Differences of applying variational methods from standard quantum mechanics to non-Hermitian quantum mechanics -- including potential pitfalls -- are highlighted. A successful implementation of the variational approach for the non-Hermitian case is presented. The technique is used to analyze scalar quantum field theory in d=2 with negative quartic self-interaction in the Hamiltonian formulation in lattice discretization.