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DOE OSTI2021

Quarkyonic effective field theory, quark-nucleon duality, and ghosts

We present a field theoretical description of quarkyonic matter consisting of quark, nucleon, and ghost fields coupling to mesonic degrees of freedom. The ghosts are present to cancel overcounting of nucleon states that are Pauli blocked by the quark Fermi sea. Such a theory becomes an effective field theory of nucleons at low baryon density and as such will reproduce nucleonic matter phenomenology. Here, this theory can accommodate chiral symmetry restoration and the dynamical generation of a shell of nucleons at the Fermi surface. It is valid for finite temperature and density. In such a theory, quark-nucleon duality is accomplished by inclusion of ghost fields so that the nucleons extra degrees of freedom, that are beyond those of quarks, are compensated by the ghost fields.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2025

Cornering relative symmetry theories

The symmetry data of a 𝑑-dimensional quantum field theory (QFT) can often be captured in terms of a higher-dimensional symmetry topological field theory. In top-down (i.e., stringy) realizations of this structure, the QFT in question is localized in a higher-dimensional bulk. In many cases of interest, however, the associated (𝑑+1)-dimensional bulk is not fully gapped and one must instead consider a filtration of theories to reach a gapped bulk in 𝐷 =𝑑 + 𝑚 dimensions. Overall, this leads us to a nested structure of relative symmetry theories which descend to coupled edge modes, with the original QFT degrees of freedom localized at a corner of this 𝐷-dimensional bulk system. We present a bottom-up characterization of this structure and also show how it naturally arises in a number of string-based constructions of QFTs with both finite and continuous symmetries.

M-theory↗

DOE OSTI2024

Quantum Thermodynamics of Nonequilibrium Processes in Lattice Gauge Theories

A key objective in nuclear and high-energy physics is to describe nonequilibrium dynamics of matter, e.g., in the early Universe and in particle colliders, starting from the standard model of particle physics. Classical computing methods, via the framework of lattice gauge theory, have experienced limited success in this mission. Quantum simulation of lattice gauge theories holds promise for overcoming computational limitations. Because of local constraints (Gauss’s laws), lattice gauge theories have an intricate Hilbert-space structure. This structure complicates the definition of thermodynamic properties of systems coupled to reservoirs during equilibrium and nonequilibrium processes. We show how to define thermodynamic quantities such as work and heat using strong-coupling thermodynamics, a framework that has recently burgeoned within the field of quantum thermodynamics. Our definitions suit instantaneous quenches, simple nonequilibrium processes undertaken in quantum simulators. To illustrate our framework, we compute the work and heat exchanged during a quench in a Z 2 lattice gauge theory coupled to matter in 1+1 dimensions. Here, the thermodynamic quantities, as functions of the quench parameter, evidence a phase transition. For general thermal states, we derive a simple relation between a quantum many-body system’s entanglement Hamiltonian, measurable with quantum-information-processing tools, and the Hamiltonian of mean force, used to define strong-coupling thermodynamic quantities.

73 NUCLEAR PHYSICS AND RADIATION PHYSICS↗

DOE OSTI2024

Non-invertible duality interfaces in field theories with exotic symmetries

In recent years, the concept of global symmetry has generalized considerably. Two dramatic examples of this generalization are the exotic symmetries that govern theories with fractons and non-invertible symmetries, which do not fuse according to a group law. Only recently has the interplay between these two been examined. In this paper, we provide further examples of the interplay in the XY plaquette model, XY cube model, 1+1 d theory with global dipole symmetry, and the 2+1 d Lifshitz theory. They are analogs of the duality symmetries in 2d CTFs and are constructed by first gauging a finite subgroup of the momentum symmetry on half of spacetime and then performing a duality transformation. We analyze the fusion rules of the symmetries and find that they are condensation defects from an analog of higher gauging exotic symmetries. We also address their dependence on the UV cutoff when relevant.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗

DOE OSTI2023

An algebraic formula for two loop renormalization of scalar quantum field theory

We find a general formula for the two-loop renormalization counterterms of a scalar quantum field theory with interactions containing up to two derivatives, extending ’t Hooft’s one-loop result. The method can also be used for theories with higher derivative interactions, as long as the terms in the Lagrangian have at most one derivative acting on each field. We show that diagrams with factorizable topologies do not contribute to the renormalization group equations. The results in this paper will be combined with the geometric method in a subsequent paper to obtain the counterterms and renormalization group equations for the scalar sector of effective field theories (EFT) to two-loop order.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

DOE OSTI2021

Searching for gauge theories with the conformal bootstrap

Infrared fixed points of gauge theories provide intriguing targets for the modern conformal bootstrap program. In this work we provide some preliminary evidence that a family of gauged fermionic CFTs saturate bootstrap bounds and can potentially be solved with the conformal bootstrap. We start by considering the bootstrap for SO( N ) vector 4-point functions in general dimension D . In the large N limit, upper bounds on the scaling dimensions of the lowest SO( N ) singlet and traceless symmetric scalars interpolate between two solutions at Δ = D/ 2 – 1 and Δ = D – 1 via generalized free field theory. In 3D the critical O ( N ) vector models are known to saturate the bootstrap bounds and correspond to the kinks approaching Δ = 1 / 2 at large N . We show that the bootstrap bounds also admit another infinite family of kinks $ {\mathcal{T}}_D $ , which at large N approach solutions containing free fermion bilinears at Δ = D – 1 from below. The kinks $ {\mathcal{T}}_D $ appear in general dimensions with a D -dependent critical N * below which the kink disappears. We also study relations between the bounds obtained from the bootstrap with SO( N ) vectors, SU( N ) fundamentals, and SU( N ) × SU( N ) bi-fundamentals. We provide a proof for the coincidence between bootstrap bounds with different global symmetries. We show evidence that the proper symmetries of the underlying theories of $ {\mathcal{T}}_D $ are subgroups of SO( N ), and we speculate that the kinks $ {\mathcal{T}}_D $ relate to the fixed points of gauge theories coupled to fermions.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2021

Effective field theory interpretation of lepton magnetic and electric dipole moments

We perform a model-independent analysis of the magnetic and electric dipole moments of the muon and electron. We give expressions for the dipole moments in terms of operator coefficients of the low-energy effective field theory (LEFT) and the Standard Model effective field theory (SMEFT). We use one-loop renormalization group improved perturbation theory, including the one-loop matching from SMEFT onto LEFT, and one-loop lepton matrix elements of the effective-theory operators. Semileptonic four-fermion operators involving light quarks give sizable non-perturbative contributions to the dipole moments, which are included in our analysis. We find that only a very limited set of the SMEFT operators is able to generate the current deviation of the magnetic moment of the muon from its Standard Model expectation.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

DOE OSTI2022

Brill-Noether-general limit root bundles: absence of vector-like exotics in F-theory Standard Models

Root bundles appear prominently in studies of vector-like spectra of 4d F-theory compactifications. Of particular importance to phenomenology are the Quadrillion F-theory Standard Models (F-theory QSMs). In this work, we analyze a superset of the physical root bundles whose cohomologies encode the vector-like spectra for the matter representations ($3$, $2$) 1/6 , ($\overline{3}$, $1$) -2/3 and ($1$, $1$) 1 . For the family B 3 (Δ$^{°}_{4}$) consisting of $\mathcal{O}$(10 11 ) F-theory QSM geometries, we argue that more than 99.995% of the roots in this superset have no vector-like exotics. This indicates that absence of vector-like exotics in those representations is a very likely scenario in the O(10 11 ) QSM geometries B 3 (Δ$^{°}_{4}$). The QSM geometries come in families of toric 3-folds B 3 (Δ°) obtained from triangulations of certain 3-dimensional polytopes Δ°. The matter curves in X Σ $\large{ϵ}$ B 3 (Δ°) can be deformed to nodal curves which are the same for all spaces in B 3 (Δ°). Therefore, one can probe the vector-like spectra on the entire family B 3 (Δ°) from studies of a few nodal curves. We compute the cohomologies of all limit roots on these nodal curves. In our applications, for the majority of limit roots the cohomologies are determined by line bundle cohomology on rational tree-like curves. For this, we present a computer algorithm. The remaining limit roots, corresponding to circuit-like graphs, are handled by hand. The cohomologies are independent of the relative position of the nodes, except for a few circuits. On these jumping circuits, line bundle cohomologies can jump if nodes are specially aligned. This mirrors classical Brill-Noether jumps. B 3 (Δ°) admits a jumping circuit, but the root bundle constraints pick the canonical bundle and no jump happens.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗

DOE OSTI2022

Gauge symmetry breaking with fluxes and natural Standard Model structure from exceptional GUTs in F-theory

We give a general description of gauge symmetry breaking using vertical and remainder fluxes in 4D F-theory models. The fluxes can break a geometric gauge group to a smaller group and induce chiral matter, even when the larger group admits no chiral matter representations. We focus specifically on applications to realizations of the Standard Model gauge group and chiral matter spectrum through breaking of rigid exceptional gauge groups E 7 , E 6 , which are ubiquitous in the 4D F-theory landscape. Supplemented by an intermediate SU(5) group, these large classes of models give natural constructions of Standard Model-like theories with small numbers of generations of matter in F-theory.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗

DOE OSTI2021

On restricting first order form of gauge theories to one-loop order

Highlights: • We prove the equivalence of the first and second-order formalism. • We use Lagrange multiplier fields to limit radiative effects to one-loop order. • We prove that the quantized theory is both renormalizable and unitary. The first order form of the Yang–Mills and Einstein–Hilbert actions are quantized, and it is shown how Green’s functions computed using the first and the second order form of these theories are related. Next we show how by use of Lagrange multiplier fields (LM), radiative effects beyond one-loop order can be eliminated. This allows one to compute Green’s functions exactly without loss of unitarity. The consequences of this restriction on radiative effects are examined for the Yang–Mills and Einstein–Hilbert actions. In these two gauge theories, we find that the quantized theory is both renormalizable and unitary once the LM field is used to eliminate effects beyond one-loop order.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

DOE OSTI2025

Dynamic probabilistic risk assessment and game theory for cyber security risk analysis in nuclear power plants

Nuclear Power Plants and energy systems have become more prone to cyber-attacks with their digitalization and the increased use of smart equipment. Hence, it is important to quantify the risk associated with cyber-attacks in such systems. Dynamic Probabilistic Risk Assessment which involves studying the evolution of a system due to random events and operator and attacker actions during a cyber-attack by employing a physics-based model of the system is a suitable framework to quantify cybersecurity risk in nuclear power plants. In addition to the plant dynamics, it is also important to model the strategies of the attackers and plant operators for an effective cybersecurity risk assessment. Game theory provides a set of necessary tools to model such strategic interactions. In this research, a framework that integrates dynamic probabilistic risk assessment with game theory for cybersecurity risk analysis in nuclear power plants is presented. The mathematical formulation is derived based on the theory of continuous event trees. We propose a game theory based action model, that utilizes physics-based rewards to define the strategies of attackers and operators at every decision epoch. As a case study, the risk associated with cyber-attacks on the digital components in the secondary side of a pressurized water reactor is studied using a reduced order model. A set of attacker actions and a set of operator actions are defined for the system. The operator and attacker interactions were modelled using simultaneous game, their action policies were computed using the concept of mixed strategy Nash equilibrium and the evolution of the system was studied.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2025

Combining geometric-optical and spectral invariants theories for modeling canopy fluorescence anisotropy

The spectral invariants theory ( p -theory) has received much attention in the field of quantitative remote sensing over the past few decades and has been adopted for modeling of canopy solar-induced chlorophyll fluorescence (SIF). However, the spectral invariant properties (SIP) in simple analytical formulae have not been applied for modeling canopy fluorescence anisotropy primarily because they are parameterized in terms of leaf total scattering, which precludes the differentiation between forward and backward leaf SIF emissions. In this study, we have developed the canopy-SIP SIF model by combining geometric-optical (GO) theory to account for asymmetric leaf SIF forward and backward emissions at the first-order scattering and by modeling multiple scattering based on the p-theory, thus avoiding the dependence on radiative transfer models. The applicability of the model simulations especially over 3D heterogeneous canopies was improved by incorporating canopy structure through multi-angular clumping index, and by modeling single scattering from the four components of the scene in view according to the GO approach. The results show good consistency with both the state-of-the-art SIF models and multi-angular field SIF observations over grass and chickpea canopies. Further, the coefficient of determination (R²) between the simulated SIF and field measurements was 0.75 (red) and 0.74 (far-red) for chickpea, and 0.65 (both red and far-red) for grass. The average relative error was approximately 3% for 1D homogeneous scenes when comparing the canopy-SIP SIF model simulations to the SCOPE model simulations, and around 4% for the 3D heterogeneous scene when comparing to the LESS model simulations. The results indicate that the proposed approach for separating asymmetric leaf SIF emissions is a robust way to keep a balance between satisfactory simulation accuracy and efficiency. Model simulations suggest that neglecting the leaf SIF asymmetry can lead to an underestimation of canopy red SIF by 6.3% to 42.6% for various leaf biochemical and canopy structural parameters. This study presents a simple but efficient analytical approach for canopy fluorescence modeling, with potential for large-scale canopy fluorescence simulations.

3D heterogeneous structure↗

DOE OSTI2021

Projector-Free Capped-Fragment Scheme within Density Functional Embedding Theory for Covalent and Ionic Compounds

Quantum-mechanics-(QM)-based simulations now routinely aid in understanding and even discovering new chemistries involving molecules and materials exhibiting desired functionalities. Ab initio correlated wavefunction (CW) theories systematically improve QM methods, with many exhibiting high accuracy. However, execution of CW methods requires expensive computations that typically scale poorly with system size. Divide-and-conquer approaches partition large systems into smaller fragments; a lower level of theory treats fragment interactions while a preferred higher level of theory describes the important fragment. These methods offer ways to incorporate CWs into chemical simulations of large systems, e.g., biomolecules, surfaces, large inorganic clusters, bulk crystals, etc. Here we propose a partitioning protocol that utilizes capping atoms to saturate severed covalent bonds at fragment interfaces and density functional embedding theory (DFET) to describe fragment interactions. The capping groups in each fragment provide an ad-hoc potential that approximates the effects of the environment. An embedding potential optimized via DFET then serves as an augmentation of the capping group to simulate the effects of the environment. We concurrently use an auxiliary fragment (a separate system comprised of only the combined capping groups) to account for, and thereby correct, the electron density contributions of all the capping groups added to all of the fragments. This method depends only on the capped-subsystem and auxiliary-fragment electron densities, forgoing, as with the original DFET developed for metallic systems, orbital-based projector approaches that determine a nonlocal action of the embedding potential onto the fragment electrons. By using an auxiliary fragment, the method maintains a purely electron-density-dependent embedding potential, substantially lessening the cost and leading to simpler implementation. In this work, we demonstrate the utility of our capped-DFET and ensuing capped embedded CW method in two contrasting systems, namely, an organic molecule and an ionic metal oxide cluster.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗

DOE OSTI2025

A Theory of Ultrafast Charge Transfer Relaxation with Non-Innocent Solvent Molecules

In this work we revisit the photodynamics of tetracyanoethylene-hexamethylbenzene (TCNE- HMB), the molecular complex studied by Hochstrasser et al. [J. Chem. Phys. 100, 4797–4810, 1994] that has long challenged the applicability of Marcus’s theory of elec- tron transfer for predicting photochemical reactions. Using a novel black-box electronic structure algorithm (time-dependent density functional theory with one double, TD- DFT-1D) to efficiently run molecular dynamics that can treat charge recombination, we run ab initio surface hopping molecular dynamics and confirm that, for a polar solvent, charge recombination rates can be incredibly fast (indeed faster than the sol- vent relaxation time); for non-polar solvents, the rate is much slower. We demonstrate that, although Marcus theory cannot be directly applied, these nonequilibrium (and sometimes incredibly fast) photoexcited dynamics can be effectively explained within a two-state model without any evidence of a transition through a conical intersection. Most importantly, for this paradigmatic model system, we are able to identify two nuclear coordinates of interest (rather than the single coordinate predicted by Marcus or a full set of internal quantum modes studied by Bixon and Jortner): the solvent relaxation in the first shell (that strongly modulates the energies of the charge trans- fer state and differentiates time scales for relaxation) and a nuclear displacement in the TCNE-HMB complex arising from a handful of vibrations that induces non-Born Oppenheimer motion and eventually facilitates an abrupt electronic transition to the ground state. Altogether, these findings suggest a tractable generalization of Marcus theory for future simulations of photochemistry with non-innocent solvent environ- ments in the spirit of a Hamiltonian suggested by Stuchebrukhov (J. Chem. Phys. 107, 3821, 1997).

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗

DOE OSTI2022

Alternative formulation of weak magnetohydrodynamic turbulence theory

In a recent paper, the weak turbulence theory for incompressible magnetohydrodynamics is formulated by employing the method customarily applied in the context of kinetic weak plasma turbulence theory. Such an approach simplified certain mathematical procedures including achieving the closure relationship. The formulation in the above-cited paper starts from the equations of incompressible magnetohydrodynamic (MHD) theory expressed via Elsasser variables. The derivation of nonlinear wave kinetic equation therein is obtained via a truncated solution at the second-order of iteration following the standard practice. In the present paper, the weak MHD turbulence theory is alternatively formulated by employing the pristine form of incompressible MHD equation rather than that expressed in terms of Elsasser fields. The perturbative expansion of the nonlinear momentum equation is carried out up to the third-order iteration rather than imposing the truncation at the second order. Furthermore, it is found that while the resulting wave kinetic equation is identical to that obtained in the previous paper cited above, the third-order nonlinear correction plays an essential role for properly calculating derived quantities such as the total and residual energies.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗

DOE OSTI2025

Repartitioning the Hamiltonian in many-body second-order Brillouin–Wigner perturbation theory: Uncovering new size-consistent models

Second-order Møller-Plesset perturbation theory is well-known as a computationally inexpensive approach to the electron correlation problem that is size-consistent with a size-consistent reference but fails to be regular. On the other hand, the less well-known many-body version of Brillouin-Wigner perturbation theory has the reverse properties: it is regular but fails to be size-consistent when used with the standard MP partitioning. Consequently, its widespread use remains limited. In this work, we analyze the ways in which it is possible to use alternative non-MP partitions of the Hamiltonian to yield variants of BW2 that are size-consistent as well as regular. We show that there is a vast space of such BW2 theories and also show that it is possible to define a repartitioned BW2 theory from the ground state density alone, which regenerates the exact correlation energy. We also provide a general recipe for deriving regular, size-consistent, and size-extensive partitions from physically meaningful components, and we apply the result to small model systems. The scope of these results appears to further set the stage for a revival of BW2 in quantum chemistry.

Ab initio perturbation↗

DOE OSTI2022

Analytic gradients for compressed multistate pair-density functional theory

Photochemical reactions often involve states that are closely coupled due to near degeneracies, for example by proximity to conical intersections. Therefore, a multistate method is used to accurately describe these states; for example, ordinary perturbation theory is replaced by quasidegenerate perturbation theory. Multiconfiguration pair-density functional theory (MC-PDFT) provides an efficient way to approximate the full dynamical correlation energy of strongly correlated systems, and we recently proposed compressed multistate pair-density functional theory (CMS-PDFT) to treat closely coupled states. In the present paper, we report the implementation of analytic gradients for CMS-PDFT in both OpenMolcas and PySCF, and here we illustrate the use of these gradients by applying the method to the excited states of formaldehyde and phenol.

74 ATOMIC AND MOLECULAR PHYSICS↗

DOE OSTI2024

Density functional theory of material design: fundamentals and applications—II

Abstract This is the second and the final part of the review on density functional theory (DFT), referred to as DFT-II. In the first review, DFT-I, we have discussed wavefunction-based methods, their complexity, and basics of density functional theory. In DFT-II, we focus on fundamentals of DFT and their implications for the betterment of the theory. We start our presentation with the exact DFT results followed by the concept of exchange-correlation (xc) or Fermi-Coulomb hole and its relationship with xc energy functional. We also provide the exact conditions for the xc-hole, xc-energy and xc-potential along with their physical interpretation. Next, we describe the extension of DFT for non-integer number of electrons, the piecewise linearity of total energy and discontinuity of chemical potential at integer particle numbers, and derivative discontinuity of the xc potential, which has consequences on fundamental gap of solids. After that, we present how one obtains more accurate xc energy functionals by going beyond the LDA. We discuss the gradient expansion approximation (GEA), generalized gradient approximation (GGA), and hybrid functional approaches to designing better xc energy functionals that give accurate total energies. However, these functionals fail to predict properties like the ionization potential and the band gap. Thus, we next describe different methods of modelling these potentials and results of their application for calculation of the band gaps of different solids to highlight accuracy of different xc potentials. Finally, we conclude with a glimpse on orbital-free density functional theory and the machine learning approach.

36 MATERIALS SCIENCE↗