Foundations of quantum gravity: The role of principles grounded in empirical reality

When attempting to assess the strengths and weaknesses of various principles in their potential role of guiding the formulation of a theory of quantum gravity, it is crucial to distinguish between principles which are strongly supported by empirical data – either directly or indirectly – and principles which instead (merely) rely heavily on theoretical arguments for their justification. Principles in the latter category are not necessarily invalid, but their a priori foundational significance should be regarded with due caution. These remarks are illustrated in terms of the current standard models of cosmology and particle physics, as well as their respective underlying theories, i.e., essentially general relativity and quantum (field) theory. For instance, it is clear that both standard models are severely constrained by symmetry principles: an effective homogeneity and isotropy of the known universe on the largest scales in the case of cosmology and an underlying exact gauge symmetry of nuclear and electromagnetic interactions in the case of particle physics. However, in sharp contrast to the cosmological situation, where the relevant symmetry structure is more or less established directly on observational grounds, all known, nontrivial arguments for the “gauge principle” are purely theoretical (and far less conclusive than usually advocated). Similar remarks apply to the larger theoretical structures represented by general relativity and quantum (field) theory, where – actual or potential – empirical principles, such as the (Einstein) equivalence principle or EPR-type nonlocality, should be clearly differentiated from theoretical ones, such as general covariance or renormalizability. It is argued that if history is to be of any guidance, the best chance to obtain the key structural features of a putative quantum gravity theory is by deducing them, in some form, from the appropriate empirical principles (analogous to the manner in which, say, the idea that gravitation is a curved spacetime phenomenon is arguably implied by the equivalence principle). Theoretical principles may still be useful however in formulating a concrete theory (analogous to the manner in which, say, a suitable form of general covariance can still act as a sieve for separating theories of gravity from one another). It is subsequently argued that the appropriate empirical principles for deducing the key structural features of quantum gravity should at least include (i) quantum nonlocality, (ii) irreducible indeterminacy (or, essentially equivalently, given (i), relativistic causality), (iii) the thermodynamic arrow of time, (iv) homogeneity and isotropy of the observable universe on the largest scales. In each case, it is explained – when appropriate – how the principle in question could be implemented mathematically in a theory of quantum gravity, why it is considered to be of fundamental significance and also why contemporary accounts of it are insufficient. For instance, the high degree of uniformity observed in the Cosmic Microwave Background is usually regarded as theoretically problematic because of the existence of particle horizons, whereas the currently popular attempts to resolve this situation in terms of inflationary models are, for a number of reasons, less than satisfactory. However, rather than trying to account for the required empirical features dynamically, an arguably much more fruitful approach consists in attempting to account for these features directly, in the form of a lawlike initial condition within a theory of quantum gravity.     

The case for black hole thermodynamics part II: Statistical mechanics

I present in detail the case for regarding black hole thermodynamics as having a statistical-mechanical explanation in exact parallel with the statistical-mechanical explanation believed to underlie the thermodynamics of other systems. (Here I presume that black holes are indeed thermodynamic systems in the fullest sense; I review the evidence for that conclusion in the prequel to this paper.) I focus on three lines of argument: (i) zero-loop and one-loop calculations in quantum general relativity understood as a quantum field theory, using the path-integral formalism; (ii) calculations in string theory of the leading-order terms, higher-derivative corrections, and quantum corrections, in the black hole entropy formula for extremal and near-extremal black holes; (iii) recovery of the qualitative and (in some cases) quantitative structure of black hole statistical mechanics via the AdS/CFT correspondence. In each case I briefly review the content of, and arguments for, the form of quantum gravity being used (effective field theory; string theory; AdS/CFT) at a (relatively) introductory level: the paper is aimed at readers with some familiarity with thermodynamics, quantum mechanics and general relativity but does not presume advanced knowledge of quantum gravity. My conclusion is that the evidence for black hole statistical mechanics is as solid as we could reasonably expect it to be in the absence of a directly-empirically-verified theory of quantum gravity.     

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.     

Three principles for canonical quantum gravity

We outline three principles that should guide us in the construction of a theory of canonical quantum gravity: (1) diffeomorphism invariance, (2) implementing the proper dynamics and related constraint algebra, (3) local Lorentz invariance. We illustrate each of them with its role in model calculations in loop quantum gravity.     

Space–time philosophy reconstructed via massive Nordström scalar gravities? Laws vs. geometry,conventionality, and underdetermination

What if gravity satisfied the Klein–Gordon equation? Both particle physics from the 1920–30s and the 1890s Neumann–Seeliger modification of Newtonian gravity with exponential decay suggest considering a “graviton mass term” for gravity, which is algebraic in the potential. Unlike Nordström׳s “massless” theory, massive scalar gravity is strictly special relativistic in the sense of being invariant under the Poincaré group but not the 15-parameter Bateman–Cunningham conformal group. It therefore exhibits the whole of Minkowski space–time structure, albeit only indirectly concerning volumes. Massive scalar gravity is plausible in terms of relativistic field theory, while violating most interesting versions of Einstein׳s principles of general covariance, general relativity, equivalence, and Mach. Geometry is a poor guide to understanding massive scalar gravity(s): matter sees a conformally flat metric due to universal coupling, but gravity also sees the rest of the flat metric (barely or on long distances) in the mass term. What is the ‘true’ geometry, one might wonder, in line with Poincaré׳s modal conventionality argument? Infinitely many theories exhibit this bimetric ‘geometry,’ all with the total stress–energy׳s trace as source; thus geometry does not explain the field equations. The irrelevance of the Ehlers–Pirani–Schild construction to a critique of conventionalism becomes evident when multi-geometry theories are contemplated. Much as Seeliger envisaged, the smooth massless limit indicates underdetermination of theories by data between massless and massive scalar gravities—indeed an unconceived alternative. At least one version easily could have been developed before General Relativity; it then would have motivated thinking of Einstein׳s equations along the lines of Einstein׳s newly re-appreciated “physical strategy” and particle physics and would have suggested a rivalry from massive spin 2 variants of General Relativity (massless spin 2, Pauli and Fierz found in 1939). The Putnam–Grünbaum debate on conventionality is revisited with an emphasis on the broad modal scope of conventionalist views. Massive scalar gravity thus contributes to a historically plausible rational reconstruction of much of 20th–21st century space–time philosophy in the light of particle physics. An appendix reconsiders the Malament–Weatherall–Manchak conformal restriction of conventionality and constructs the ‘universal force’ influencing the causal structure.Subsequent works will discuss how massive gravity could have provided a template for a more Kant-friendly space–time theory that would have blocked Moritz Schlick׳s supposed refutation of synthetic a priori knowledge, and how Einstein׳s false analogy between the Neumann–Seeliger–Einstein modification of Newtonian gravity and the cosmological constant Λ generated lasting confusion that obscured massive gravity as a conceptual possibility.     

Suppressing spacetime emergence

One of the primary tasks in building a quantum theory of gravity is discovering how to save spatiotemporal phenomena using a theory which, putatively, does not include spacetime. Some have taken this task a step further and argue for the actual emergence of spacetime from a non-spatiotemporal ontology in the low-energy regime. In this paper, it is argued that the account of spacetime emergence presented in Huggett and Wüthrich (2013) and then assumed in Baron (2019), Crowther (2016), Wüthrich (2017), and Wüthrich and Lam (2018) fails to accomplish the task to which it is set. There is a prima facie contradiction between the scale-independent ontology of spacetime in GR and the scale-dependent account of emergence proposed by this literature. One can avoid this contradiction but only at the cost of changing the target of emergence and by endorsing a perspectival theory of ontology – a view I call “ontic-perspectivism”. Though this paper explicitly addresses spacetime emergence, many of the following arguments are applicable to other accounts where objects of ontology, or their properties, are claimed to emerge in the low-energy regime.     

Emergence and topological order in classical and quantum systems

There has been growing interest in systems in condensed matter physics as a potential source of examples of both epistemic and ontological emergence. One of these case studies is the fractional quantum Hall state (FQHS). In the FQHS a system of electrons displays a type of holism due to a pattern of long-range quantum entanglement that some argue is emergent. Indeed, in general, quantum entanglement is sometimes cited as the best candidate for one form of ontological emergence. In this paper we argue that there are significant formal and physical parallels between the quantum FQHS and classical polymer systems. Both types of system cannot be explained simply by considering an aggregation of local microphysical properties alone, since important features of each are globally determined by topological features. As such, we argue that if the FQHS is a case of ontological emergence then it is not due to the quantum nature of the system and classical polymer systems are ontologically emergent as well.     

Minimal length in quantum gravity and the fate of Lorentz invariance

The paper highlights a recent debate in the quantum gravity community on the status of Lorentz invariance in theories that introduce a fundamental length scale, and in particular in deformed special relativity. Two arguments marshaled against that theory are examined and found wanting.     

Classical fields and quantum time-evolution in the Aharonov–Bohm effect

I display, by explicit construction, an account of the Aharonov–Bohm effect that employs only locally operative electrodynamical field strengths. The terms in the account are the components of the magnetic field of the solenoid at the location of electron, and even though the total field vanishes there, the components do not. That such a construction can be carried out demonstrates at least that whatever virtues they have for understanding and constructing new field theories, gauge fields in general make no metaphysical demands, and commit us to no novel ontology. I reflect on the significance of this for our understanding of quantum time-evolution and conclude that we should think of quantized matter as interacting individually with the other matter in the systems of which it is a part.     

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.     

Einstein׳s Equations for Spin 2 Mass 0 from Noether׳s Converse Hilbertian Assertion

An overlap between the general relativist and particle physicist views of Einstein gravity is uncovered. Noether׳s 1918 paper developed Hilbert׳s and Klein׳s reflections on the conservation laws. Energy-momentum is just a term proportional to the field equations and a ‘curl’ term with identically zero divergence. Noether proved a converse “Hilbertian assertion”: such “improper” conservation laws imply a generally covariant action.Later and independently, particle physicists derived the nonlinear Einstein equations assuming the absence of negative-energy degrees of freedom (“ghosts”) for stability, along with universal coupling: all energy-momentum including gravity׳s serves as a source for gravity. Those assumptions (all but) imply (for 0 graviton mass) that the energy-momentum is only a term proportional to the field equations and a symmetric “curl,” which implies the coalescence of the flat background geometry and the gravitational potential into an effective curved geometry. The flat metric, though useful in Rosenfeld׳s stress-energy definition, disappears from the field equations. Thus the particle physics derivation uses a reinvented Noetherian converse Hilbertian assertion in Rosenfeld-tinged form.The Rosenfeld stress-energy is identically the canonical stress-energy plus a Belinfante curl and terms proportional to the field equations, so the flat metric is only a convenient mathematical trick without ontological commitment. Neither generalized relativity of motion, nor the identity of gravity and inertia, nor substantive general covariance is assumed. The more compelling criterion of lacking ghosts yields substantive general covariance as an output. Hence the particle physics derivation, though logically impressive, is neither as novel nor as ontologically laden as it has seemed.     

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.     

Unprincipled microgravity

I argue that the key principle of microgravity is what I have called elsewhere the Lorentzian strategy. This strategy may be seen as either a reverse-engineering approach or a descent with modification approach, but however one sees if the method works neither by attempting to propound a theory that is the quantum version of either an extant or generalized gravitation theory nor by attempting to propound a theory that is the final version of quantum mechanics and finding gravity within it. Instead the method works by beginning with what we are pretty sure is a good approximation to the low-energy limit of whatever the real microprocesses are that generate what we experience as gravitation. This method is powerful, fruitful, and not committed to principles for which we have, as yet, only scant evidence; the method begins with what we do know and teases out what we can know next. The principle is methodological, not ontological.     

On geometric objects,the non-existence of a gravitational stress-energy tensor,and the uniqueness of the Einstein field equation

The question of the existence of gravitational stress-energy in general relativity has exercised investigators in the field since the inception of the theory. Folklore has it that no adequate definition of a localized gravitational stress-energetic quantity can be given. Most arguments to that effect invoke one version or another of the Principle of Equivalence. I argue that not only are such arguments of necessity vague and hand-waving but, worse, are beside the point and do not address the heart of the issue. Based on a novel analysis of what it may mean for one tensor to depend in the proper way on another, which, en passant, provides a precise characterization of the idea of a “geometric object”, I prove that, under certain natural conditions, there can be no tensor whose interpretation could be that it represents gravitational stress-energy in general relativity. It follows that gravitational energy, such as it is in general relativity, is necessarily non-local. Along the way, I prove a result of some interest in own right about the structure of the associated jet bundles of the bundle of Lorentz metrics over spacetime. I conclude by showing that my results also imply that, under a few natural conditions, the Einstein field equation is the unique equation relating gravitational phenomena to spatiotemporal structure, and discuss how this relates to the non-localizability of gravitational stress-energy. The main theorem proven underlying all the arguments is considerably stronger than the standard result in the literature used for the same purposes (Lovelock's theorem of 1972): it holds in all dimensions (not only in four); it does not require an assumption about the differential order of the desired concomitant of the metric; and it has a more natural physical interpretation.     

Interpretation neutrality in the classical domain of quantum theory

I show explicitly how concerns about wave function collapse and ontology can be decoupled from the bulk of technical analysis necessary to recover localized, approximately Newtonian trajectories from quantum theory. In doing so, I demonstrate that the account of classical behavior provided by decoherence theory can be straightforwardly tailored to give accounts of classical behavior on multiple interpretations of quantum theory, including the Everett, de Broglie–Bohm and GRW interpretations. I further show that this interpretation-neutral, decoherence-based account conforms to a general view of inter-theoretic reduction in physics that I have elaborated elsewhere, which differs from the oversimplified picture that treats reduction as a matter of simply taking limits. This interpretation-neutral account rests on a general three-pronged strategy for reduction between quantum and classical theories that combines decoherence, an appropriate form of Ehrenfest׳s Theorem, and a decoherence-compatible mechanism for collapse. It also incorporates a novel argument as to why branch-relative trajectories should be approximately Newtonian, which is based on a little-discussed extension of Ehrenfest׳s Theorem to open systems, rather than on the more commonly cited but less germane closed-systems version. In the Conclusion, I briefly suggest how the strategy for quantum-classical reduction described here might be extended to reduction between other classical and quantum theories, including classical and quantum field theory and classical and quantum gravity.     

Reduction and emergence in the fractional quantum Hall state

We present the fractional quantum Hall (FQH) effect as a candidate emergent phenomenon. Unlike some other putative cases of condensed matter emergence (such as thermal phase transitions), the FQH effect is not based on symmetry breaking. Instead FQH states are part of a distinct class of ordered matter that is defined topologically. Topologically ordered states result from complex long-ranged correlations between their constituent parts, such that the system displays strongly irreducible, qualitatively novel properties.     

Comparing dualities and gauge symmetries

We discuss some aspects of the relation between dualities and gauge symmetries. Both of these ideas are of course multi-faceted, and we confine ourselves to making two points. Both points are about dualities in string theory, and both have the ‘flavour’ that two dual theories are ‘closer in content’ than you might think. For both points, we adopt a simple conception of a duality as an ‘isomorphism’ between theories: more precisely, as appropriate bijections between the two theories’ sets of states and sets of quantities.The first point (Section 3) is that this conception of duality meshes with two dual theories being ‘gauge related’ in the general philosophical sense of being physically equivalent. For a string duality, such as T-duality and gauge/gravity duality, this means taking such features as the radius of a compact dimension, and the dimensionality of spacetime, to be ‘gauge’.The second point (4 Gauge/gravity duality, 5 Some complications for gauge invariance, 6 Galileo׳s ship, (Local)) is much more specific. We give a result about gauge/gravity duality that shows its relation to gauge symmetries (in the physical sense of symmetry transformations that are spacetime-dependent) to be subtler than you might expect. For gauge theories, you might expect that the duality bijections relate only gauge-invariant quantities and states, in the sense that gauge symmetries in one theory will be unrelated to any symmetries in the other theory. This may be so in general; and indeed, it is suggested by discussions of Polchinski and Horowitz. But we show that in gauge/gravity duality, each of a certain class of gauge symmetries in the gravity/bulk theory, viz. diffeomorphisms, is related by the duality to a position-dependent symmetry of the gauge/boundary theory.     

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.     

Trans-Planckian philosophy of cosmology

I provide some philosophical groundwork for the recently proposed ‘trans-Planckian censorship’ conjecture in theoretical physics. In particular, I argue that structure formation in early universe cosmology is, at least as we typically understand it, autonomous with regards to quantum gravity, the high energy physics that governs the Planck regime in our universe. Trans-Planckian censorship is then seen as a means of rendering this autonomy an empirical constraint within ongoing quantum gravity research.     

Newton–Cartan theory and teleparallel gravity: The force of a formulation

It is well-known that Newtonian gravity, commonly held to describe a gravitational force, can be recast in a form that incorporates gravity into the geometry of the theory: Newton–Cartan theory. It is less well-known that general relativity, a geometrical theory of gravity, can be reformulated in such a way that it resembles a force theory of gravity; teleparallel gravity does just this. This raises questions. One of these concerns theoretical underdetermination. I argue that these theories do not, in fact, represent cases of worrying underdetermination. On close examination, the alternative formulations are best interpreted as postulating the same spacetime ontology. In accepting this, we see that the ontological commitments of these theories cannot be directly deduced from their mathematical form. The spacetime geometry involved in a gravitational theory is not a straightforward consequence of anything internal to that theory as a theory of gravity. Rather, it essentially relies on the rest of nature (the non-gravitational interactions) conspiring to choose the appropriate set of inertial frames.