Instantons and semiclassical saddles
Derive the action of a double-well instanton and distinguish tunneling amplitudes, energy splittings, and false-vacuum decay rates.
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The question for today
What you’ll understand
- Derive the Euclidean first-integral condition for a double-well instanton.
- Evaluate its action and identify the dimensionless semiclassical parameter.
- Explain why zero modes, fluctuation determinants, and boundary conditions distinguish instantons from decay bounces.
Expanding around a single vacuum produces powers of a coupling, but tunneling can contribute terms exponentially small in that coupling or in the reduced Planck constant. Euclidean saddle configurations reveal such effects. A one-dimensional double well offers a controlled starting point: the trajectory interpolates between degenerate minima in imaginary time. The same logic motivates field-theory instantons, but their topology, collective coordinates, and infrared behavior require additional analysis.
A finite-action Euclidean trajectory
Take with positive , , and . The Euclidean action contains positive kinetic and potential terms. A finite-action trajectory approaches and at opposite ends of imaginary time, with velocity tending to zero. Conservation of the Euclidean first integral then gives . This is not a real-time particle climbing a classically forbidden barrier; imaginary time changes the saddle equation and the interpretation.
Use the first integral to replace imaginary time by position in the action. The action becomes the integral of the positive square root of across the barrier. The resulting number depends on the entire barrier profile, not just its height. A wider barrier can suppress tunneling more strongly at the same peak energy. The dimensionless ratio controlling the leading exponential is the saddle action divided by the reduced Planck constant, and a reliable semiclassical regime requires that ratio to be large.
The exponential is only one part of the answer
Fluctuations around the saddle supply a determinant and collective-coordinate factors. Time-translation invariance produces a zero mode: shifting the center of the instanton gives another solution with the same action. Integrating over that center contributes the observation-time dependence needed to extract an energy splitting. The schematic splitting contains a prefactor with energy dimensions multiplying . Quoting only the exponential cannot determine a numerical splitting in energy units.
A dilute gas of well-separated instantons and anti-instantons can organize repeated tunneling when individual events are rare and their interactions are small. This expansion fails when saddles overlap substantially or other low-action configurations compete. In gauge field theory, instanton size and orientation introduce more collective coordinates, and integration over large sizes can encounter strong coupling. A formally identified instanton solution therefore does not automatically furnish a controlled approximation to every observable in the corresponding theory.
Instantons and false-vacuum bounces answer different questions
A degenerate double-well instanton connects equivalent-energy minima and contributes to a real energy splitting. A false-vacuum bounce instead returns to the metastable vacuum at both ends of Euclidean time and has a characteristic negative fluctuation mode. Its interpretation concerns an instability and a decay rate. Their boundary conditions and fluctuation structures differ, so replacing one word with the other conceals a different physical calculation.
Semiclassical methods also illuminate the limits of ordinary perturbation theory. Terms exponential in an inverse coupling are invisible to any finite polynomial expansion about zero coupling. Relations among different saddle sectors and divergent perturbative series are subjects of resurgence research, but a generic cancellation or exact reconstruction must be demonstrated for the model in question. Here the established result is the explicit saddle action and its leading suppression structure; a full field-theory transseries or precise decay prediction remains outside the exercise.
Work it through
Compute an action before interpreting suppression
Choose consistent mechanical units with m = 1, a = 1, lambda = 2, and the reduced Planck constant = 1/6. Find the instanton action and the leading exponential factor.
The square-root factor in the action is square root of (1 times 2/2) = 1. The integral of 1 − x squared from −1 to 1 is 4/3.
Thus S₀ = 4/3 in action units. Divide by the reduced Planck constant 1/6 to obtain the dimensionless saddle ratio S₀/ℏ = 8.
The exponential factor is e to the minus eight, approximately 0.00033546. A splitting still requires multiplying by the appropriate energy prefactor and assessing semiclassical corrections.
The small exponential indicates a potentially useful semiclassical hierarchy. It is neither an energy value nor, by itself, a tunneling probability or a metastable-vacuum decay rate.
The living notebook
Explore the model
Interactive lab · oscillator
Compare local small fluctuations with a global saddle
Vary damping ratio ζ and natural frequency ω₀ for the analytic oscillator initialized at x = 1 with zero velocity. The undamped branch illustrates oscillatory local fluctuations; damping is only a classical comparison. The model contains no double well, imaginary-time trajectory, instanton determinant, or tunneling event.
- Displacement x(t)
- 1
- Velocity v(t)
- 0
- Regime
- underdamped
Unit mass, x(0) = 1 and v(0) = 0. The analytic solution includes underdamped, critically damped and overdamped cases; time is measured in seconds. Parameter changes pause playback and recompute the model at the current elapsed time. Reset restores both parameters and returns time to zero. Playback starts paused. Adjust either parameter, then choose Play or Step.
Look forLocal curvature controls small oscillations, whereas a tunneling saddle probes the full barrier and its Euclidean boundary conditions.
Pause & reason
Check your understanding
Your turn
Try it yourself
Suppose two controlled calculations have saddle ratios 8 and 10 and equal energy prefactors. What is the ratio of their leading splittings? What changes if the second prefactor is twice as large?
Take a moment to make a prediction or work it out on paper. Open a hint when you need one.
Give me a hint
Subtract the exponents before evaluating the exponential, and keep the prefactor ratio explicit.
Compare with the solution
With equal prefactors, the second splitting divided by the first is exp(−2), approximately 0.13534. If the second prefactor is twice as large, the ratio is approximately 0.27067. Equal prefactors are an additional assumption, not a consequence of knowing the actions; changing the barrier generally changes the fluctuation problem too.
Keep the idea
Take it with you
- A finite-action Euclidean saddle gives exponential effects beyond any finite ordinary perturbative expansion.
- The action, fluctuation determinant, zero modes, and boundary conditions all belong in a semiclassical prediction.
- Degenerate-well instantons and false-vacuum decay bounces have different physical interpretations.
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