arXiv subjects

Alexander Westphal

Publications and source records attributed to Alexander Westphal.

At least 19 recordsLinked to original sources

arXiv2026

Wading the String Bog: CMB Birefringence in the Swampland

We point out that observations of cosmic birefringence may provide direct experimental tests of Swampland conjectures. Ultralight scalar field birefringence mechanisms are constrained by Weak Gravity Conjecture, limiting their parameter space. Conversely, confirming that CMB birefringence is caused by ultralight scalars could spell problems for the Swampland framework. Resolving these difficulties without a revision of Swampland ideology points toward thin axionic domain walls, which can explain birefringence without propagating ultralight degrees of freedom. Importantly these conflicting scenarios for cosmic birefringence could be experimentally distinguished by a search for, or exclusion of, birefringence anisotropies, that could be measured by POLARBEAR, Simons Observatory and LiteBIRD. We also note that cosmic birefringence observables emerge via a Sakharov-like asymmetry, where linear polarization is first generated cosmologically and subsequently twisted by a parity-violating dynamics after last scattering.

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arXiv2026

Automorphic Structures of Heterotic Vacua

We study moduli stabilization in 4D effective field theories with Sp(4,$\mathbb{Z}$) self-duality inspired by heterotic orbifold compactifications with Wilson lines. The target-space duality group of these theories is enhanced from SL$(2,\mathbb{Z})$ to Sp$(4,\mathbb{Z})$, making Siegel modular forms the appropriate language to formulate the effective supergravity action. We construct the corresponding effective theory including moduli-dependent threshold corrections to the gauge kinetic function and nonperturbative effects in the superpotential. The degeneration limit of the Wilson lines distinguishes different sectors and dictates which combination of cusp forms appears in threshold corrections. We compute the resulting scalar potential and prove several general statements about its extrema. In particular, we show that the fixed points of Sp$(4,\mathbb{Z})$ are extrema of the potential, and derive genus-2 analogues of no-go theorems for de Sitter vacua. Finally, we show how positive-energy metastable minima can arise once supersymmetry is broken in the dilaton direction by nonperturbative contributions to the K\"ahler potential.

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arXiv2026

Density matrix of de Sitter JT gravity

Jackiw-Teitelboim (JT) gravity in two-dimensional de Sitter space is an intriguing toy model for a quantum mechanical description of an inflationary phase of the universe, including initial conditions. Starting from exact solutions of the Wheeler-DeWitt equation, we study a conditional density matrix of the system. We find that the ground state is a mixed state, rather than a pure Hartle-Hawking state. Our results are consistent with the semiclassical double-trumpet amplitude, and with recent work on complex geometries containing bra-ket wormholes. We also analyze semiclassical wave functions for metric, dilaton, and an additional inflaton field. The probability distribution for the size of the universe is flat.

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arXiv2026

Very-High-Frequency Gravitational Waves from Multi-Monodromy Inflation

We show that in multi-stage axion monodromy inflation an interruption near the end of the penultimate stage can lead to a spike in the gravitational wave background. These gravitational waves are in the frequency range and with an amplitude accessible to proposed terrestrial detectors such as the Einstein Telescope, Cosmic Explorer, and future Levitated Sensor Detector experiments.

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arXiv2025

Towards a Heterotic Axiverse

In this paper we initiate a broad study of some central properties of the string axiverse arising from Calabi-Yau compactifications of the perturbative heterotic $E_8\times E_8$ theory. Along this road toward a heterotic axiverse, we characterize the generic structure of the axion mass spectrum and the effective couplings of the non-QCD heterotic axions to Abelian and non-Abelian gauge fields and discuss their implications for cosmology, particle phenomenology, and the QCD axion quality problem. We also provide arguments that the heterotic axion masses are bounded from below much more strongly than, for example, the spectrum in type IIB compactifications.

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arXiv2024

Uplifts in the Penumbra: Features of the Moduli Potential away from Infinite-Distance Boundaries

The construction of meta-stable four-dimensional de Sitter vacua in type IIB string compactifications represents an important question and an ongoing area of work. There is considerable support both for stringy de Sitter vacua in the interior of moduli space and for their scarceness in the strict asymptotic regime towards infinite-distance boundaries of the compactification moduli space. Here, we present evidence for the existence of uplifting vacua in the three-form flux-induced scalar potential of the complex structure moduli of type IIB string theory on Calabi-Yau orientifolds in the cross-over region between the interior of the moduli space and its strictly asymptotic infinite-distance regions. Moreover, we also exhibit the existence of long-range axion valleys which, while not yet supporting slow-roll inflation, do show a flattened scalar potential from complex structure moduli backreaction and axion monodromy. We further illustrate how such regions hosting axion valleys may be obtained by using machine learning techniques.

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arXiv2024

DeWitt wave functions for de Sitter JT gravity

Jackiw-Teitelboim (JT) gravity in two-dimensional de Sitter space is an intriguing model for cosmological "wave functions of the universe". Its minisuperspace version already contains all physical information. The size of compact slices is parametrized by a scale factor $h > 0$. The dilaton $\phi$ is chosen to have positive values, $\phi > 0$, and interpreted as size of an additional compact slice in a higher-dimensional theory. At the boundaries $h=0$, $\phi=0$, where the volume of the universe vanishes, the curvature is generically singular. According to a conjecture by DeWitt, solutions of the Wheeler-DeWitt (WDW) equation should vanish at singular loci. Recently, the behaviour of JT wave functions at large field values $h$, $\phi$ has been obtained by means of a path integral over Schwarzian degrees of freedom of a boundary curve. We systematically analyze solutions of the WDW equation with Schwarzian asymptotic behaviour. We find real analytic solutions that vanish on the entire boundary, in agreement with DeWitt's conjecture. Projection to expanding and contracting branches may lead to singularities, which can however be avoided by an appropriate superposition of solutions. Our analysis also illustrates the limitations of semiclassical wave functions.

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arXiv2024

Preheating Axions in String Cosmology

Certain inflationary models can feature periods of preheating - an era preceding reheating during which parametric resonance triggers an exponential production of bosons. This non-perturbative process can have significant impact on the history of our universe, with consequences ranging from altered reheating channels to overproduction of dark radiation to overclosure. In this work, we study parametric resonance production of axions in string models of inflation. We find that the kinetic couplings and moduli-dependent axion masses give rise to generalizations of the Mathieu equation. We study these generalizations and determine the strength of parametric resonance created by such couplings. We then apply this technology to fibre inflation models in Type IIB orientifold compactifications. We find that heavy axions can be copiously produced and avoidance of overclosure results in constraints on the typical fibre inflation parameter space.

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arXiv2024

End-of-the-World Branes and Inflationary Predictions for Rocky and Swampy Landscapes

Making cosmological predictions in a multiverse is a fundamental theoretical challenge. Assuming that (quasi-)de Sitter vacua are quantum mechanically described by a finite-dimensional Hilbert space, we develop a detailed framework for making explicit anthropic predictions. A key challenge which we attempt to overcome arises because, almost unavoidably, cosmologies that asymptote to Minkowski space exist. We then apply our framework to predicting the scale of inflation. We find that, even if eternal inflation is allowed, our predictions depend on creation rates of universes from nothing. These, in turn, are highly sensitive to the existence of end-of-the-world branes. The rates for the creation of universes from nothing are the dominant ingredient for `Swampy Landscapes', which may have no metastable de Sitter vacua but only slow-roll solutions. In `Rocky Landscapes', where long-lived de Sitter vacua are abundant, tunneling rates between such vacua represent a further key factor for deriving predictions.

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arXiv2024

Falsifying Anthropics

We propose using fuzzy axion dark matter to test the anthropic principle. A very light axion can be directly detectable, at least by black hole superradiance effects. The idea then is that gravitational and astrophysical observations can discover a light axion in the regime where it must be all of dark matter with abundance which must be set up by the anthropic principle, due to excessive primordial misalignment induced by inflation-induced Brownian drift of fluctuations. Yet it may turn out that dark matter is something else instead of this axion. Since the de Sitter-induced axion misalignment controlled only by the de Sitter curvature cannot be evaded, this would invalidate the anthropic prediction of the dark matter abundance.

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arXiv2023

Gravitational Axiverse Spectroscopy: Seeing the Forest for the Axions

We consider inflationary models with multiple spectator axions coupled to dark gauge sectors via Chern-Simons (CS) terms. The energy injection into Abelian gauge fields from the axions engenders a multi-peak profile for scalar and tensor spectra. We highlight the constraining power of CMB spectral distortions on the scalar signal and discuss the conditions under which spectator sectors can account for the recently observed stochastic gravitational wave (GW) background in the nHz range. Given the tantalizing prospect of a multi-peak ``GW forest'' spanning several decades in frequency, we elaborate on possible ultraviolet origins of the spectator models from Type IIB orientifolds. String compactifications generically produce a multitude of axions, the ``Axiverse'', from dimensional reduction of p-form gauge fields. The CS coupling of such axions to dark gauge fields in the worldvolume theory of D7-branes can be tuned via multiple brane wrappings and/or quantized gauge field strengths. If string axions coupled to Abelian gauge fields undergo slow-roll during inflation, they produce GW signals with peaked frequency distribution whose magnitude depends on the details of the compactification. We discuss the restrictions on spectator models from consistency and control requirements of the string compactification and thereby motivate models that may live in the string landscape as opposed to the swampland.

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arXiv2023

Implications of Weak Gravity Conjecture for de Sitter Decay by Flux Discharge

We examine implications of the weak gravity conjecture for the mechanisms for discharging cosmological constant via membrane nucleations. Once screening fluxes and membranes which source them enter, and weak gravity bounds are enforced, a generic de Sitter space \underline{must} be unstable. We show that when all the flux terms which screen and discharge the cosmological constant are dominated by quadratic and higher order terms, the bounds from weak gravity conjecture and naturalness lead toward anthropic outcomes. In contrast, when the flux sectors are dominated by linear flux terms, anthropics may be avoided, and the cosmological constant may naturally decay toward smallest possible values.

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arXiv2022

Heterotic de Sitter Beyond Modular Symmetry

We study the vacua of $4d$ heterotic toroidal orbifolds using effective theories consisting of an overall K\"{a}hler modulus, the dilaton, and non-perturbative corrections to both the superpotential and K\"{a}hler potential that respect modular invariance. We prove three de Sitter no-go theorems for several classes of vacua and thereby substantiate and extend previous conjectures. Additionally, we provide evidence that extrema of the scalar potential can occur inside the PSL$(2,\mathbb{Z})$ fundamental domain of the K\"{a}hler modulus, in contradiction of a separate conjecture. We also illustrate a loophole in the no-go theorems and determine criteria that allow for metastable de Sitter vacua. Finally, we identify inherently stringy non-perturbative effects in the dilaton sector that could exploit this loophole and potentially realize de Sitter vacua

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arXiv2022

Axionic Festina Lente

The swampland conjecture known as Festina Lente (FL) imposes a lower bound on the mass of all charged particles in a quasi-de Sitter space. In this paper, we propose the aFL (axionic Festina Lente) bound, an extension of FL to axion-like particles arising from type II string theory. We find that the product of the instanton action and the axion decay constant is bounded from below by the vacuum energy. This is achieved indirectly, using dimensional reduction on Calabi-Yau threefolds, and translating the FL result for dipoles into a purely geometric bound. We discuss axionic black holes evolution, and aFL constraints on Euclidean wormholes, showing that the gravitational arguments leading to the FL bound for U$(1)$ charged particles cannot be directly applied to axions. Moreover, we discuss phenomenological implications of the aFL bound, including constraints on string inflation models and the axion-photon coupling via kinetic mixing.

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arXiv2022

A Quantum-Mechanical Mechanism for Reducing the Cosmological Constant

We exhibit a mechanism which dynamically adjusts cosmological constant toward $0^+$. The adjustment is quantum-mechanical, discharging cosmological constant in random discrete steps. It renders de Sitter space unstable, and triggers its decay toward Minkowski. Since the instability dynamically stops at $\Lambda = 0$, the evolution favors the terminal Minkowski space without a need for anthropics. The mechanism works for any QFT coupled to gravity.

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arXiv2021

Very Hairy Inflation

We revisit the rollercoaster cosmology based on multiple stages of monodromy inflation. Working within the framework of effective flux monodromy field theory, we include the full range of strong coupling corrections to the inflaton sector. We find that flattened potentials $V \sim \phi^p + \ldots$ with $p \lesssim 1/2$, limited to $ N \lesssim 25 - 40$ efolds in the first stage of inflation, continue to fit the CMB. They yield $0.96 \lesssim n_s \lesssim 0.97$, and produce relic gravity waves with $0.006 \lesssim r \lesssim 0.035$, in full agreement with the most recent bounds from BICEP/{\it Keck}. The nonlinear derivative corrections generated by strong dynamics in EFT also lead to equilateral non-Gaussianity $f_{NL}^{eq} \simeq {\cal O}(1) - {\cal O}(10)$, close to the current observational bounds. Finally, in multi-stage rollercoaster, an inflaton-hidden sector $U(1)$ coupling can produce a tachyonic chiral vector background, which converts rapidly into tensors during the short interruption by matter domination. The produced stochastic gravity waves are chiral, and so they may be clearly identifiable by gravity wave instruments like LISA, Big Bang Observatory, Einstein Telescope, NANOgrav or SKA, depending on the precise model realization. We also point out that the current attempts to resolve the $H_0$ tension using early dark energy generically raise $n_s$. This may significantly alter the impact of BICEP/{\it Keck} data on models of inflation.

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arXiv2021

Thraxions: Towards Full String Models

We elucidate various aspects of the physics of thraxions, ultra-light axions arising at Klebanov-Strassler multi-throats in the compactification space of IIB superstring theory. We study the combined stabilization of K\"ahler moduli and thraxions, showing that under reasonable assumptions, one can solve the combined problem both in a KKLT and a LVS setup. We find that for non-minimal multi-throats, the thraxion mass squared is three-times suppressed by the throat warp factor. However, the minimal case of a double-throat can preserve the six-times suppression as originally found. We also discuss the backreaction of a non-vanishing thraxion vacuum expectation value on the geometry, showing that it induces a breaking of the imaginary self-duality condition for $3$-form fluxes. This in turn breaks the Calabi-Yau structure to a complex manifold one. Finally, we extensively search for global models which can accommodate the presence of multiple thraxions within the database of Complete Intersection Calabi-Yau orientifolds. We find that each multi-throat system holds a single thraxion. We further point out difficulties in constructing a full-fledged global model, due to the generic presence of frozen-conifold singularities in a Calabi-Yau orientifold. For this reason, we propose a new database (https://www.desy.de/~westphal/orientifold_webpage/cicy_thraxions.html) of CICY orientifolds that do not have frozen conifolds but that admit thraxions.

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arXiv2021

Fuzzy Dark Matter Candidates from String Theory

String theory has been claimed to give rise to natural fuzzy dark matter candidates in the form of ultralight axions. In this paper we revisit this claim by a detailed study of how moduli stabilisation affects the masses and decay constants of different axion fields which arise in type IIB flux compactifications. We find that obtaining a considerable contribution to the observed dark matter abundance without tuning the axion initial misalignment angle is not a generic feature of 4D string models since it requires a mild violation of the $S f\lesssim M_P$ bound, where $S$ is the instanton action and $f$ the axion decay constant. Our analysis singles out $C_4$-axions, $C_2$-axions and thraxions as the best candidates to realise fuzzy dark matter in string theory. For all these ultralight axions we provide predictions which can be confronted with present and forthcoming observations.

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