Abstract
The mathematical formalism of quantum mechanics is derived or “reconstructed” from more basic considerations of the probability theory and information geometry. The starting point is the recognition that probabilities are central to QM; the formalism of QM is derived as a particular kind of flow on a finite dimensional statistical manifold—a simplex. The cotangent bundle associated to the simplex has a natural symplectic structure and it inherits its own natural metric structure from the information geometry of the underlying simplex. We seek flows that preserve (in the sense of vanishing Lie derivatives) both the symplectic structure (a Hamilton flow) and the metric structure (a Killing flow). The result is a formalism in which the Fubini–Study metric, the linearity of the Schrödinger equation, the emergence of complex numbers, Hilbert spaces and the Born rule are derived rather than postulated.
1. Introduction
In the traditional approach to quantum mechanics (QM), the Hilbert space plays a central, dominant role and probabilities are introduced, almost as an afterthought, in order to provide the phenomenological link for handling measurements. The uneasy coexistence of the Hilbert and the probabilistic structures is reflected in the two separate modes of wave-function evolution; one is the linear and deterministic Schrödinger evolution and the other is the discontinuous and stochastic wave function collapse. It has given rise to longstanding problems in the interpretation of the quantum state itself [1,2,3,4,5].
These difficulties have motivated alternative approaches in which, rather than postulating Hilbert spaces as the starting point, one recognizes that probabilities play the dominant role; probabilities are not just an accidental feature peculiar to quantum measurements. The goal there is to derive or “reconstruct” the mathematical formalism of QM from more basic considerations of probability theory and geometry. (See, e.g., [6,7,8,9,10,11] and references therein.)
In the entropic dynamics (ED) approach the central object is the epistemic configuration space, which is a statistical manifold—a space in which each point represents a probability distribution [11]. In this paper, our goal is to discuss those special curves that could potentially play the role of trajectories. What makes those curves special is that they are adapted to the natural geometric structures on the statistical manifold.
Two such structures are of central importance. The first is familiar from statistics, i.e., all statistical manifolds have an intrinsic metric structure given by the information metric [12,13]. The second is familiar from classical mechanics [14,15,16]. Since we are interested in trajectories, we are naturally led to consider the vectors that are tangent to such curves, as well as the dual vectors, or covectors—it is these objects that are used to represent the analogues of the velocities of probabilities and their momenta. Vectors and covectors live in the so-called tangent and cotangent spaces, respectively. It turns out that the statistical manifold plus all its cotangent spaces is itself a manifold—the cotangent bundle—that can be endowed with a second natural structure called symplectic. In mechanics, the cotangent bundle is known as phase space and the symplectic transformations are known as canonical transformations.
There is extensive literature on the symplectic and metric structures inherent to QM. They have been discovered, independently rediscovered, and extensively studied by many authors [17,18,19,20,21,22,23,24,25,26]. Their crucial insight is that those structures, being of purely geometrical nature, are not just central to classical mechanics, they are also central to quantum mechanics. Furthermore, the potential connection and relevance of information geometry to various aspects of QM, including its metric structure, has also been studied [9,10,11,27,28,29,30].
To characterize congruences of curves in the epistemic phase space—or, equivalently, the flows on the cotangent bundle—we must address two problems. First, we must characterize the particular cotangent space and the symplectic structure that is relevant to QM. This amounts to establishing the correct conjugate momenta to be paired to the coordinates, which, in our case, are probabilities. In classical mechanics, this pairing is accomplished with the help of a Lagrangian and the prescription . In the present problem, we have no access to a Lagrangian and a different criterion is adopted [11]. The second problem is to provide the cotangent bundle with a metric structure that is compatible with the information metric of the underlying statistical manifold. The issue is that cotangent bundles are not statistical manifolds and the challenge is to identify the natural set of assumptions that leads to the right metric structure.
We show that the flows that are relevant to quantum mechanics are those that preserve (in the sense of vanishing Lie derivatives) both the symplectic structure (a Hamilton flow) and the metric structure (a Killing flow). The characterization of these Hamilton–Killing (HK) flows results in a formalism that includes states described by rays, a geometry given by the Fubini–Study metric, flows that obey a linear Schrödinger equation, the emergence of a complex structure, the Born rule, and Hilbert spaces. All these elements are derived rather than postulated.
The present discussion includes two new developments. First, our focus is on isolating the essential geometrical aspects of the problem (a discussion of the physical aspects is given in [11]) and the main ideas are presented in the simpler context of a finite-dimensional manifold—a simplex. Thus, what we derive here is the geometrical framework that applies to a toy model—an n-sided quantum die. Second, the metric structure of the cotangent bundle is found by a new argument involving the minimal assumption that the metric of phase space is determined by the only metric structure at our disposal, namely, the information metric of the simplex.
Is this all there is to quantum mechanics? We conclude with a word of caution. The framework developed here takes us a long way towards justifying the mathematical formalism that underlies quantum mechanics, but it is only a kinematical prelude to the true dynamics. The point is that not every HK curve is a trajectory and not every parameter that labels points along a curve is time. All changes of probabilities, including the changes we call dynamics, must be compatible with the entropic and Bayesian rules that have been found to be of universal applicability in inference. It is this additional requirement that further restricts the HK flows to an entropic dynamics that describes an evolution in a suitably constructed entropic concept of time [7,11].
This paper focuses on deriving the mathematical formalism of quantum mechanics, but the ED approach has been applied to a variety of other topics in quantum theory. These include the quantum measurement problem [31,32]; momentum and uncertainty relations [33,34]; the Bohmian limit [34,35] and the classical limit [36]; extensions to curved spaces [37]; to relativistic fields [38,39,40]; and the ED of spin [41].
2. Some Background
We deal with several distinct spaces. One is the ontic configuration space of microstates labeled by , which are the unknown variables we are trying to predict. Another is the space of probability distributions , which is the epistemic configuration space or, to use a shorter name, the e-configuration space. This -dimensional statistical manifold is a simplex ,
As coordinates for a generic point on , we shall use the probabilities themselves.
Given the manifold , we can construct two other special manifolds that will turn out to be useful, the tangent bundle and the cotangent bundle . These are fiber bundles; the base manifold is and the fibers at each point are respectively the tangent and cotangent spaces at . The tangent space at , , is the vector space composed of all vectors that are tangent to curves through the point . While this space is obviously important (it is the space of “velocities” of probabilities), in what follows, we will not have much to say about it. Much more central to our discussion is the cotangent space at , which is the vector space of all covectors at .
As already mentioned, the reason we care about vectors and covectors is that these are the objects that are used to represent velocities and momenta. The cotangent bundle , plays the central role of the epistemic phase space, or e-phase space.
A point is represented as , where are coordinates on the base manifold and are some generic coordinates on the cotangent space at . Curves on allow us to define vectors on the tangent spaces . Let be a curve parameterized by ; then, the vector tangent to the curve at has components and and is written as
where and are the basis vectors, the index is summed over and we adopt the standard notation in differential geometry, and . The directional derivative of a function along the curve is
where is the gradient in , that is, the gradient of a generic function is
where and are the basis covectors and the tilde ‘˜’ serves to distinguish the gradient on the bundle from the gradient ∇ on the simplex .
Here, unfortunately, we encounter a technical difficulty due to the fact that the space is constrained to normalized probabilities so that the coordinates cannot be varied independently. This problem is handled, without loss of generality, by embedding the -dimensional manifold into a manifold of one dimension higher, the so-called positive-cone, denoted , where the coordinates are unconstrained.
To simplify the notation, a point in the -dimensional is labeled by its coordinates , where is a composite index. The first index (chosen from the beginning of the Greek alphabet) takes two values, . Since keeps track of whether i is an upper index () or a lower index (), from now on we can set . Then, Equations (2) and (4) are written as
The repeated indices indicate a double summation over and i. The action of the basis covectors on the basis vectors, , is given by
is the directional derivative of F along the vector .
3. Hamiltonian Flows
Just as a manifold can be supplied with a symmetric bilinear form, the metric tensor, which gives it the fairly rigid structure described as its metric geometry, cotangent bundles can be supplied with an antisymmetric bilinear form, the symplectic form, which gives them the somewhat floppier structure called symplectic geometry (Arnold 1997 [15,16]).
A vector field defines a space-filling congruence of curves that are tangent to the field at every point X. We seek those special congruences or flows that reflect the symplectic geometry.
3.1. hE Symplectic Form
Once the local coordinates on are established there is a natural choice of symplectic form
The question of how to choose those local coordinates, which are Darboux coordinates for the cotangent bundle, remains open. The answer is not to be found in mathematics but in physics. In classical mechanics, the criterion for choosing a canonical momentum is provided by a Lagrangian; however, here, we do not have a Lagrangian. An alternative criterion more closely tailored to the framework presented here is provided by entropic dynamics [11]. From now on, we assume that the correct coordinates have been identified.
3.2. Hamilton’s Equations and Poisson Brackets
Next, we derive the -dimensional analogues of the results that are standard in classical mechanics [14,15,16]. We seek those vector fields that generate flows (the congruence of integral curves) that preserve the symplectic structure in the sense that
where the Lie derivative [16] is
Since, by Equation (9), the components are constant, , we can rewrite as
which is the exterior derivative (roughly, the curl) of the covector . By Poincare’s lemma, requiring (a vanishing curl) implies that is the gradient of a scalar function, which we denote by ,
In the opposite direction, we can easily check that (13) implies . Using (9), Equation (13) is more explicitly written as
or
which we recognize as Hamilton’s equations for a Hamiltonian function . This justifies calling the Hamiltonian vector field associated to the Hamiltonian function . In other words, the flows that preserve the symplectic structure, , are generated by Hamiltonian vector fields associated to Hamiltonian functions .
From (9) and (15) the action of the symplectic form on two Hamiltonian vector fields and generated, respectively, by and , is
where, on the right hand side, we have introduced the Poisson bracket notation. In other words, the action of on two Hamiltonian vector fields is the Poisson bracket of the associated Hamiltonian functions. We can also check that the derivative of an arbitrary function along the vector field is
Thus, the Hamiltonian formalism that is so familiar in physics emerges from purely geometrical considerations. It might be desirable to adopt a more suggestive notation; instead of let us write . Then, the flow generated by a Hamiltonian function and parameterized by “time” is given by Hamilton’s equations in the standard form,
and the evolution of any well-behaved function is given by
The difference with classical mechanics is that, here, the degrees of freedom are probabilities and not ontic variables such as, for example, the positions of particles.
3.3. The Normalization Constraint
Since our actual interest is not in flows on but on the bundle of normalized probabilities, we shall restrict ourselves to flows that preserve the normalization of probabilities. Let
We seek those special Hamiltonians such that the initial condition is preserved by the flow, that is,
Indeed, the actual quantum Hamiltonians will preserve even when the constant does not vanish [11]. Since the probabilities must remain positive, we further require that when.
We can also consider the Hamiltonian flow generated by and parameterized by . From Equation (15) the corresponding Hamiltonian vector field is given by
or, more explicitly,
The integral curves generated by are found by integrating (23). The result is
which amounts to shifting all momenta by the i-independent parameter . We can also see that, if is conserved along , then is conserved along .
which implies that the conserved quantity is the generator of a symmetry transformation.
To summarize: the phase space of interest is , but the description is simplified by using the unnormalized coordinates of the larger embedding space . The introduction of one superfluous coordinate forces us to also introduce one superfluous momentum. We eliminate the extra coordinate by imposing the constraint . We eliminate the extra momentum by declaring it unphysical; the shifted point is declared to be equivalent to . This equivalence is described as a global “gauge” symmetry which, as we shall see later in the paper, is the reason why quantum mechanical states are represented by rays rather than vectors in a Hilbert space.
4. The Information Geometry of E-Phase Space
Our next goal is to extend the metric of the simplex —given by information geometry—to the full e-phase space, . The extension can be carried out in many ways [9,10,11,42]. The virtue of the derivation below is that the number of input assumptions is kept to a minimum.
4.1. The Metric on the Embedding E-Phase Space
First, we assign a metric to the embedding bundle ; then, we consider the metric it induces on . The metric of the space of unnormalized probabilities [13,43] is
where n is a covector with components for all and and are smooth scalar functions of . Since the only tensor at our disposal is the length element of must be of the form
where , and are constants. Since and are vectors and covectors, the requirement that induce the same magnitudes on and on , as given by information geometry, implies that . To fix , let us consider a curve and on and its flow-reversed or -reversed curve given by and . We require that the speed remains invariant under flow-reversal. Since, under flow-reversal, the mixed terms in (27) change sign, it follows that invariance implies that . We emphasize that imposing that the e-phase space be symmetric under flow-reversal does not amount to imposing time-reversal invariance; time-reversal violations might still be caused by interaction terms in the Hamiltonian. The resulting line element, which has been designed to be fully determined by information geometry, takes the form
4.2. A Complex Structure for
The metric tensor G and its inverse can be used to lower and raise indices. In particular, with , we can raise the first index of the symplectic form in Equation (9).
The tensor J has several important properties. These are most easily derived by writing G and in block matrix form, i.e.,
We can immediately check that , which shows that J is a square root of the negative identity matrix. Thus, J endows with a complex structure. To summarize, in addition to the symplectic and metric G structures, the cotangent bundle is also endowed with a complex structure J. Such highly structured spaces are generically known as Kähler manifolds. Here, we deal with a special Kähler manifold where the space of s is a statistical manifold and the spaces of s are flat cotangent spaces. However, ultimately, the geometry of is only of marginal interest; what matters is the geometry it induces on the e-phase space of normalized probabilities, to which we turn next.
4.3. The Metric Induced on the E-Phase Space
As we saw above the e-phase space can be obtained from the space by the restriction and by identifying the gauge equivalent points and . Consider two neighboring points and with , the metric induced on is defined as the shortest distance between and the points on the ray defined by . Since the distance between and is
the metric on is defined by . Imposing , the value of that minimizes (31) is . Therefore, the metric on , which measures the distance between neighboring rays, is
From now on, we set , which only amounts to a choice of units and has no effect on our results. (In [11], we chose .)
Although the metric (32) is expressed in a notation that may be unfamiliar, it turns out to be equivalent to the well-known Fubini–Study metric. Thus, the recognition that the e-phase space is the cotangent bundle of a statistical manifold led us to a novel derivation based on information geometry.
An important feature of the metric (32) is that, except for the irrelevant constant , it has turned out to be independent of the particular choices of the functions and (see Equation (26)) that define the geometries of the embedding spaces and . Therefore, without any loss of generality, we can simplify the analysis considerably by choosing and , which gives the embedding spaces the simplest possible geometries, namely, they are flat. With this choice the metric, Equation (28) becomes
and the tensor J, Equation (30), which defines the complex structure, becomes
4.4. Refining the Choice of Cotangent Space: Complex Coordinates
Having endowed the e-phase spaces and with both metric and complex structures, we can now revisit and refine our choice of cotangent spaces. So far, we assumed the cotangent space at to be the flat Euclidean n-dimensional space . It turns out that the cotangent space that is relevant to quantum mechanics requires a further restriction. To see what this is, we use the fact that is endowed with a complex structure, which suggests a coordinate transformation from to complex coordinates ,
Thus, a point has coordinates
where the index takes two values (with chosen from the middle of the Greek alphabet).
Since changing the phase yields the same point , we see that the new is a flat n-dimensional “hypercube” (its edges have a coordinate length of ) with the opposite faces identified (periodic boundary conditions). Thus, the new is locally isomorphic to the old which makes it a legitimate choice of cotangent space. (Strictly, is a parallelepiped; from (28), we see that the lengths of its edges are which vanish at the boundaries of the simplex.)
We can check that the transformation from real to complex coordinates is canonical, so that
retains the same form as (9).
Expressed in coordinates, the Hamiltonian flow generated by the normalization constraint (24) is the familiar phase shift . Thus, the gauge symmetry induced by the constraint is the familiar multiplication by a constant phase factor.
In coordinates, the metric G on Equation (33) becomes
Finally, using the inverse to raise the first index of gives the components of the tensor J,
5. Hamilton–Killing Flows
In the previous sections we studied those Hamiltonian flows that, in addition to preserving the symplectic form, are generated by a gauge invariant so they also preserve the normalization constraint . Our next goal is to find those flows that also happen to preserve the metric G of , that is, we want to be a Killing vector. The vector field is determined by the Killing equation [16], , or
Since Equation (38) gives , the Killing equation simplifies to
where . If we further require that is a Hamiltonian flow, , then satisfies Hamilton’s equations,
Substituting into (41), we find
Therefore, in order to generate a flow that preserves both G and , the function must be linear in both and .
The kernels , and are independent of and . Imposing that the flow preserves the normalization constraint , Equation (21), implies that must be invariant under the phase shift . Therefore, and we conclude that
The corresponding HK flow is given by Hamilton’s equations
The constant in (45) can be dropped, because it has no effect on the flow. Taking the complex conjugate of (46) and comparing with (47) show that the kernel is Hermitian and that the corresponding Hamiltonian functionals are real.
To summarize, the preservation of the symplectic structure, the metric structure and the normalization constraint leads to Hamiltonian functions that are bilinear in and , Equation (45). This is the main result of this paper. To appreciate its significance, once again, we adopt a more suggestive notation, i.e., the flow generated by the Hamiltonian function
which is recognized as the Schrödinger equation. Beyond being Hermitian, the actual form of the kernel remains undetermined.
The central feature of Hamilton’s Equations (46) or of the Schrödinger Equation (49) is that they are linear. Given two solutions and and arbitrary constants and , the linear combination is also a solution and this is extremely useful in calculations. Unfortunately, this is an HK flow on the embedding space and, when the flow is projected onto the e-phase space , the linearity is severely restricted by normalization. If and are normalized points on , the superposition is not in general a normalized point on , unless the constants and are chosen appropriately. Furthermore, the states and are supposed to be “physically” equivalent to the original and , but, in general, the superposition is not equivalent to . In other words, the mathematical linearity of (46) or (49) does not extend to a full-blown superposition principle for physically equivalent states. On the other hand, any point deserves to be called a “state” in the limited sense that it may serve as the initial condition for a curve in . Since, given two states and , their superposition is also a state, we see that the set of states forms a linear vector space. This is a structure that turns out to be very useful.
6. Hilbert Space
Above we saw that the possible initial conditions for an HK flow, the points of , form a linear vector space. To take full advantage of linearity we would like to endow this vector space with the additional structure of an inner product and turn it into a Hilbert space—a term which we loosely use to describe any complex vector space with a Hermitian inner product. The metric tensor G (Equation (38)) and the symplectic form (Equation (37)) are supposed to act on vectors ; their action on the points or is not defined. However, the choice of inner product for the points is natural, in the sense that the necessary ingredients, G and , are already available.
We adopt the familiar Dirac notation to represent the states as vectors . In order that the inner product be preserved it is defined in terms of the preserved tensors G and ,
where is a constant and, to follow convention, the overall constant is set to . Using Equation (37) and (38), we obtain
To fix , we impose that , which implies that . In order to comply with the standard convention that the inner product is anti-linear in the first factor and linear in the second factor, we select . The result is the familiar expression for the positive definite inner product,
Here we see that the choice of as the overall constant leads to the standard relation . The map between points and vectors, , is defined by , where and the vectors form a basis that is orthogonal and complete.
The bilinear Hamilton function with kernel can now be written as the expected value, , of the Hamiltonian operator with matrix elements . The corresponding HK flows are given by
which are described by unitary transformations where. Finally, the Poisson bracket of two Hamiltonian functions and can be written in terms of the commutator of the associated operators, . Thus, the Poisson bracket is the expectation of the commutator. This identity is much sharper than Dirac’s pioneering discovery that the quantum commutator of two quantum variables is analogous to the Poisson bracket of the corresponding classical variables.
7. Conclusions
There have been numerous attempts to derive or construct the mathematical formalism of quantum mechanics by adapting the symplectic geometry of classical mechanics. Such phase space methods invariably start from a classical phase space of positions and momenta and, through some series of “quantization rules,” posit a correspondence to self-adjoint operators which no longer constitute a phase space. The connection to classical mechanics is lost. The interpretation of and and even the answer to the question of what is ontic and what is epistemic become highly controversial. Probabilities play a secondary role in such formulations.
In this paper, we take a different starting point that places probabilities at the forefront. We discuss special families of curves—the Hamilton–Killing flows—that promise to be useful for the study of quantum mechanics. We show that the HK flows that preserve the symplectic and the metric structures of the e-phase space reproduce much of the mathematical formalism of quantum theory. It clarifies how the linearity of the Schrödinger equation, complex numbers and the Born rule (the Born rule for generic observables is discussed in [31,32]) follow from the symplectic and metric structures, while the normalization constraint leads to the equivalence of states along rays in a Hilbert vector space.
Acknowledgments
I would like to thank M. Abedi, D. Bartolomeo, C. Cafaro, N. Carrara, N. Caticha, F. X. Costa, S. DiFranzo, S. Ipek, D.T. Johnson, S. Nawaz, P. Pessoa, M. Reginatto and K. Vanslette, for valuable discussions and for their many insights and contributions at various stages of this program.
Conflicts of Interest
The authors declare no conflict of interest.
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