The case for black hole thermodynamics part I: Phenomenological thermodynamics

I give a fairly systematic and thorough presentation of the case for regarding black holes as thermodynamic systems in the fullest sense, aimed at readers with some familiarity with thermodynamics, quantum mechanics and general relativity but not presuming advanced knowledge of quantum gravity. I pay particular attention to (i) the availability in classical black hole thermodynamics of a well-defined notion of adiabatic intervention; (ii) the power of the membrane paradigm to make black hole thermodynamics precise and to extend it to local-equilibrium contexts; (iii) the central role of Hawking radiation in permitting black holes to be in thermal contact with one another; (iv) the wide range of routes by which Hawking radiation can be derived and its back-reaction on the black hole calculated; (v) the interpretation of Hawking radiation close to the black hole as a gravitationally bound thermal atmosphere. In an appendix I discuss recent criticisms of black hole thermodynamics by Dougherty and Callender. This paper confines its attention to the thermodynamics of black holes; a sequel will consider their statistical mechanics.     

Emergence in holographic scenarios for gravity

‘Holographic’ relations between theories have become an important theme in quantum gravity research. These relations entail that a theory without gravity is equivalent to a gravitational theory with an extra spatial dimension. The idea of holography was first proposed in 1993 by Gerard ׳t Hooft on the basis of his studies of evaporating black holes. Soon afterwards the holographic ‘AdS/CFT’ duality was introduced, which since has been intensively studied in the string theory community and beyond. Recently, Erik Verlinde has proposed that even Newton׳s law of gravitation can be related holographically to the ‘thermodynamics of information’ on screens. We discuss these scenarios, with special attention to the status of the holographic relation in them and to the question of whether they make gravity and spacetime emergent. We conclude that only Verlinde׳s scheme straightforwardly instantiates emergence. However, assuming a non-standard interpretation of AdS/CFT may create room for the emergence of spacetime and gravity there as well.     

Holography and emergence

In this paper, I discuss one form of the idea that spacetime and gravity might ‘emerge’ from quantum theory, i.e. via a holographic duality, and in particular via AdS/CFT duality. I begin by giving a survey of the general notion of duality, as well as its connection to emergence. I then review the AdS/CFT duality and proceed to discuss emergence in this context. We will see that it is difficult to find compelling arguments for the emergence of full quantum gravity from gauge theory via AdS/CFT, i.e. for the boundary theory's being metaphysically more fundamental than the bulk theory.     

On black hole complementarity

Black hole complementarity has been proposed as a way to reconcile the result of Hawking, that black holes evaporate, with fundamental unitary quantum theories of gravity, such as string theory. Hawking's semi-classical analysis suggests that the evaporation of black holes is a non-unitary process, yet black hole complementarity gives a perspective on the semi-classical black hole which retains unitarity. We outline this proposal and address a number of methodological criticisms that have been made with regard to this proposal.     

The Limits of Information

Black holes have their own thermodynamics including notions of entropy and temperature and versions of the three laws. After a light introduction to black hole physics, I recollect how black hole thermodynamics evolved in the 1970s, while at the same time stressing conceptual points which were given little thought at that time, such as why the entropy should be linear in the black hole's surface area. I also review a variety of attempts made over the years to provide a statistical mechanics for black hole thermodynamics. Finally, I discuss the origin of the information bounds for ordinary systems that have arisen as applications of black hole thermodynamics.     

Holographic space and time: Emergent in what sense?

This paper proposes a metaphysics for holographic duality. In addition to the AdS/CFT correspondence I also consider the dS/CFT conjecture of duality. Both involve non-perturbative string theory and both are exact dualities. But while the AdS/CFT keeps time at the margins of the story, the dS/CFT conjecture gives to time the “space” it deserves by presenting an interesting holographic model of it. My goals in this paper can be summarized in the following way. First, I argue that the formal structure and physical content of the duality do not support the standard philosophical reading of the relation in terms of grounding. Second, I put forward a philosophical scheme mainly extrapolated from the double aspect monism theory. I read holographic duality in this framework as it seems to fit the mathematical and physical structure of the duality smoothly. Inside this framework I propose a notion of spacetime emergence alternative to those ones commonly debated in the AdS/CFT physics and philosophy circles.     

On miracles and spacetime

What have recently been dubbed two ‘miracles’ of general relativity—(1) that all non-gravitational interactions are locally governed by Poincaré invariant dynamical laws; and (2) that, in the regime of experimental practice in which curvature effects may be ignored, the local Poincaré symmetries of the dynamical laws governing matter fields coincide with the local Poincaré symmetries of the dynamical metric field—remain unaccounted for in that theory. In this paper, I demonstrate that these two ‘miracles’ admit of a natural explanation in one particular successor theory to general relativity—namely, perturbative string theory. I argue that this point has important implications when considering both the ‘chronogeometricity’ (that is, the object in question being surveyed by rods and clocks built from matter fields) and spatiotemporal status of the dynamical metric field in both general relativity and perturbative string theory.     

The role of heuristic appraisal in conflicting assessments of string theory

Over the last three decades, string theory has emerged as one of the leading hopes for a consistent theory of quantum gravity that unifies particle physics with general relativity. Despite the fact that string theory has been a thriving research program for the better part of three decades, it has been subjected to extensive criticism from a number of prominent physicists. The aim of this paper is to obtain a clearer picture of where the conflict lies in competing assessments of string theory, through a close reading of the argumentative strategies employed by protagonists on both sides. Although it has become commonplace to construe this debate as stemming from different attitudes to the absence of testable predictions, we argue that this presents an overly simplified view of the controversy, which ignores the critical role of heuristic appraisal. While string theorists and their defenders see the theoretical achievements of the string theory program as providing strong indication that it is ‘on the right track’, critics have challenged such claims, by calling into question the status of certain ‘solved problems’ and its purported ‘explanatory coherence’. The debates over string theory are therefore particularly instructive from a philosophical point of view, not only because they offer important insights into the nature of heuristic appraisal and theoretical progress, but also because they raise deep questions about what constitutes a solved problem and an explanation in fundamental physics.     

Quantum Mechanics as a Principle Theory

I show how quantum mechanics, like the theory of relativity, can be understood as a ‘principle theory’ in Einstein's sense, and I use this notion to explore the approach to the problem of interpretation developed in my book Interpreting the Quantum World.     

Have we lost spacetime on the way? Narrowing the gap between general relativity and quantum gravity

Important features of space and time are taken to be missing in quantum gravity, allegedly requiring an explanation of the emergence of spacetime from non-spatio-temporal theories. In this paper, we argue that the explanatory gap between general relativity and non-spatio-temporal quantum gravity theories might significantly be reduced with two moves. First, we point out that spacetime is already partially missing in the context of general relativity when understood from a dynamical perspective. Second, we argue that most approaches to quantum gravity already start with an in-built distinction between structures to which the asymmetry between space and time can be traced back.     

Physics from Fisher information

B. R. Frieden uses a single procedure, called extreme physical information, with the aim of deriving ‘most known physics, from statistical mechanics and thermodynamics to quantum mechanics, the Einstein field equations and quantum gravity’. His method, which is based on Fisher information, is given a detailed exposition in this book, and we attempt to assess the extent to which he succeeds in his task.     

Can We Explain Thermodynamics By Quantum Decoherence?

Can we explain the laws of thermodynamics, in particular the irreversible increase of entropy, from the underlying quantum mechanical dynamics? Attempts based on classical dynamics have all failed. Albert (1994a,b; 2000) proposed a way to recover thermodynamics on a purely dynamical basis, using the quantum theory of the collapse of the wavefunction of Ghirardi, Rimini and Weber (1986). In this paper we propose an alternative way to explain thermodynamics within no-collapse interpretations of quantum mechanics. Our approach relies on the standard quantum mechanical models of environmental decoherence of open systems, e.g. Joos and Zeh (1985) and Zurek and Paz (1994).     

Quantum decoherence and the approach to equilibrium (II)

In a previous paper [Hemmo, M & Shenker, O (2003). Quantum decoherence and the approach to equilibrium I. Philosophy of Science, 70, 330–358] we discussed a recent proposal by Albert [(2000). Time and chance. Cambridge, MA: Harvard University Press. Chapter 7] to recover thermodynamics on a purely dynamical basis, using the quantum theory of the collapse of the quantum state of [Ghirardi, G, Rimini, A and Weber, T., (1986). Unified dynamics for microscopic and macroscopic systems. Physical Review, D 34, 470–479]. We proposed an alternative way to explain thermodynamics within no collapse interpretations of quantum mechanics. In this paper some difficulties faced by both approaches are discussed and solved: the spin echo experiments, and the problem of extremely light gases. In these contexts, we point out several ways in which the above quantum mechanical approaches as well as some other classical approaches to the foundations of statistical mechanics may be distinguished experimentally.     

Squaring the circle: Gleb Wataghin and the prehistory of quantum gravity

The early history of the attempts to unify quantum theory with the general theory of relativity is depicted through the work of the Italian physicist Gleb Wataghin, who, in the context of quantum electrodynamics, has anticipated some of the ideas that the quantum gravity community is entertaining today.     

Constraints and divergent assessments of fertility in non-empirical physics in the history of the string theory controversy

This paper examines historic appraisals of string theory to develop a less abstract understanding of the string theory controversy and assessment in non-empirical physics. This historical approach reveals several points of conflict in the controversy, each centring on a constraint. By proceeding stepwise through these constraints, I reveal the role that constraints played in determining divergent assessments of string theory. Rather than disagreement between two competing methods, a level of agreement is found amongst those critical and supportive of string theory as to the commitment to the relevant constraints, but disagreement as to the sufficiency of consistency, the path to background independence and a non-perturbative formulation, and how to interpret the significance of applications. Furthermore, the string theory community itself is shown to be divided in its commitment to the necessity of uniqueness and the legitimacy of anthropic reasoning. These varied assessments, guided by considerations of constraints, have informed divergent claims as to the past and future fertility of string theory. These are claims as to the value of string theory in guiding research in quantum gravity: claims as to whether string theory has and will be valuable as a means rather than an end.     

Taking up statistical thermodynamics: Equilibrium fluctuations and irreversibility

The microscopic explanation of the physical phenomena represented by a macroscopic theory is often cast in terms of the reduction of the latter to a more fundamental theory, which represents the same phenomena at the microscopic level, albeit in an idealized way. In particular, the reduction of thermodynamics to statistical mechanics is a much discussed case-study in philosophy of physics. Based on the Generalized Nagel–Schaffner model, the alleged reductive explanation would be accomplished if one finds a corrected version of classical thermodynamics that can be strictly derived from statistical mechanics. That is the sense in which, according to Callender (1999, 2001), one should not take thermodynamics too seriously. Arguably, the sought-after revision is given by statistical thermodynamics, intended as a macroscopic theory equipped with a probabilistic law of equilibrium fluctuations. The present paper aims to evaluate this proposal. The upshot is that, while statistical thermodynamics enables one to re-define equilibrium so as to agree with Boltzmann entropy, it does not provide a definitive solution to the problem of explaining macroscopic irreversibility from a microscopic point of view.     

Many worlds,the cluster-state quantum computer,and the problem of the preferred basis

I argue that the many worlds explanation of quantum computation is not licensed by, and in fact is conceptually inferior to, the many worlds interpretation of quantum mechanics from which it is derived. I argue that the many worlds explanation of quantum computation is incompatible with the recently developed cluster state model of quantum computation. Based on these considerations I conclude that we should reject the many worlds explanation of quantum computation.     

A beautiful sea: P. A. M. Dirac's epistemology and ontology of the vacuum

This paper charts P.A.M. Dirac's development of his theory of the electron, and its radical picture of empty space as an almost-full plenum. Dirac's Quantum Electrodynamics famously accomplished more than the unification of special relativity and quantum mechanics. It also accounted for the ‘duplexity phenomena’ of spectral line splitting that we now attribute to electron spin. But the extra mathematical terms that allowed for spin were not alone, and this paper charts Dirac's struggle to ignore or account for them as a sea of strange, negative-energy, particles with positive ‘holes’. This work was not done in solitude, but rather in exchanges with Dirac's correspondence network. This social context for Dirac’s work contests his image as a lone genius, and documents a community wrestling with the ontological consequences of their work. Unification, consistency, causality, and community are common factors in explanations in the history of physics. This paper argues on the basis of materials in Dirac's archive that --- in addition --- mathematical beauty was an epistemological factor in the development of the electron and hole theory. In fact, if we believe that Dirac's beautiful mathematics captures something of the world, then there is both an epistemology and an ontology of mathematical beauty.     

Nonseparable processes and causal explanation

If physical reality is nonseparable, as quantum mechanics suggests, then it may contain processes of a quite novel kind. Such nonseparable processes could connect spacelike separated events without violating relativity theory or any defensible locality condition. Appeal to nonseparable processes could ground theoretical explanations of such otherwise puzzling phenomena as the two-slit experiment, and EPR-type correlations. We find such phenomena puzzling because they threaten cherished conceptions of how causes operate to produce their effects. But nonseparable processes offer us an alternative deal of natural order, conformity to which makes such phenomena seem quite normal and not at all unexpected. Attempts to answer the further question, as to whether an appeal to a nonseparable process provides a genuine causal explanation, have something to teach us about our concept of causation, but do not threaten to undermine the value of the explanation itself.