J. Brian Pitts

Recent work on the history of General Relativity by Renn, Sauer, Janssen et al. shows that Einstein found his field equations partly by a physical strategy including the Newtonian limit, the electromagnetic analogy, and energy conservation. Such themes are similar to those later used by particle physicists. How do Einstein's physical strategy and the particle physics derivations compare? What energy-momentum complex did he use and why? Did Einstein tie conservation to symmetries, and if so, to which? How did his work relate to emerging knowledge of the canonical energy-momentum tensor and its translation-induced conservation? After initially using energy-momentum tensors hand-crafted from the gravitational field equations, Einstein used an identity from his assumed linear coordinate covariance x'=Mx to relate it to the canonical tensor. Usually he avoided using matter Euler-Lagrange equations and so was not well positioned to use or reinvent the Herglotz-Mie-Born understanding that the canonical tensor was conserved due to translation symmetries, a result with roots in Lagrange, Hamilton and Jacobi. Whereas Mie and Born were concerned about the canonical tensor's asymmetry, Einstein did not need to worry because his Entwurf Lagrangian is modeled not so much on Maxwell's theory as on a scalar theory. Einstein's theory thus has a symmetric canonical energy-momentum tensor. But as a result, it also has 3 negative-energy field degrees of freedom. Thus the Entwurf theory fails a 1920s-30s a priori particle physics stability test with antecedents in Lagrange's and Dirichlet's stability work; one might anticipate possible gravitational instability. This critique of the Entwurf theory can be compared with Einstein's 1915 critique of his Entwurf theory for not admitting rotating coordinates and not getting Mercury's perihelion right. One can live with absolute rotation but cannot live with instability. Particle physics also can be useful in the historiography of gravity and space-time, both in assessing the growth of objective knowledge and in suggesting novel lines of inquiry to see whether and how Einstein faced the substantially mathematical issues later encountered in particle physics. This topic can be a useful case study in the history of science on recently reconsidered questions of presentism, whiggism and the like. Future work will show how the history of General Relativity, especially Noether's work, sheds light on particle physics.

In Dirac-Bergmann constrained dynamics, a first-class constraint typically does not _alone_ generate a gauge transformation. By direct calculation it is found that each first-class constraint in Maxwell's theory generates a change in the electric field E by an arbitrary gradient, spoiling Gauss's law. The secondary first-class constraint p^i,_i=0 still holds, but being a function of derivatives of momenta, it is not directly about E. Only a special combination of the two first-class constraints, the Anderson-Bergmann -Castellani gauge generator G, leaves E unchanged. This problem is avoided if one uses a first-class constraint as the generator of a _canonical transformation_; but that partly strips the canonical coordinates of physical meaning as electromagnetic potentials and makes the electric field depend on the smearing function, bad behavior illustrating the wisdom of the Anderson-Bergmann Lagrangian orientation of interesting canonical transformations. The need to keep gauge-invariant the relation dot{q}- dH/dp= -E_i -p^i=0 supports using the primary Hamiltonian rather than the extended Hamiltonian. The results extend the Lagrangian-oriented reforms of Castellani, Sugano, Pons, Salisbury, Shepley, _etc._ by showing the inequivalence of the extended Hamiltonian to the primary Hamiltonian even for _observables_, properly construed in the sense implying empirical equivalence. Dirac and others have noticed the arbitrary velocities multiplying the primary constraints outside the canonical Hamiltonian while apparently overlooking the corresponding arbitrary coordinates multiplying the secondary constraints _inside_ the canonical Hamiltonian, and so wrongly ascribed the gauge quality to the primaries alone, not the primary-secondary team G. Hence the Dirac conjecture about secondary first-class constraints rests upon a false presupposition. The usual concept of Dirac observables should also be modified to employ the gauge generator G, not the first-class constraints separately, so that the Hamiltonian observables become equivalent to the Lagrangian ones such as the electromagnetic field F.

In General Relativity in Hamiltonian form, change has seemed to be missing, defined only asymptotically, or otherwise obscured at best, because the Hamiltonian is a sum of first-class constraints and a boundary term and thus supposedly generates gauge transformations. Attention to the gauge generator G of Rosenfeld, Anderson, Bergmann, Castellani et al., a specially _tuned sum_ of first-class constraints, facilitates seeing that a solitary first-class constraint in fact generates not a gauge transformation, but a bad physical change in electromagnetism or General Relativity. The change spoils the Lagrangian constraints, Gauss's law or the Gauss-Codazzi relations describing embedding of space into space-time, in terms of the physically relevant velocities rather than auxiliary canonical momenta. But the resemblance between the gauge generator G and the Hamiltonian H leaves still unclear where objective change is in GR. Insistence on Hamiltonian-Lagrangian equivalence, a theme emphasized by Castellani, Sugano, Pons, Salisbury, Shepley and Sundermeyer among others, holds the key. Taking objective change to be ineliminable time dependence, one recalls that there is change in vacuum GR just in case there is no time-like vector field xi^a satisfying Killing's equation L_xi g_mn=0, because then there exists no coordinate system such that everything is independent of time. Throwing away the spatial dependence of GR for convenience, one finds explicitly that the time evolution from Hamilton's equations is real change just when there is no time-like Killing vector. The inclusion of a massive scalar field is simple. No obstruction is expected in including spatial dependence and coupling more general matter fields. Hence change is real and local even in the Hamiltonian formalism. The considerations here resolve the Earman-Maudlin standoff over change in Hamiltonian General Relativity: the Hamiltonian formalism is helpful, and, suitably reformed, it does not have absurd consequences for change and observables. Hence the classical problem of time is resolved. The Lagrangian-equivalent Hamiltonian analysis of change in General Relativity is compared to Belot and Earman's treatment. The more serious quantum problem of time, however, is not automatically resolved due to issues of quantum constraint imposition

Change and local spatial variation are missing in Hamiltonian general relativity according to the most common definition of observables as having 0 Poisson bracket with all first-class constraints. But other definitions of observables have been proposed. In pursuit of Hamiltonian–Lagrangian equivalence, Pons, Salisbury and Sundermeyer use the Anderson–Bergmann–Castellani gauge generator G, a tuned sum of first-class constraints. Kuchař waived the 0 Poisson bracket condition for the Hamiltonian constraint to achieve changing observables. A systematic combination of the two reforms might use the gauge generator but permit non-zero Lie derivative Poisson brackets for the external gauge symmetry of General Relativity. Fortunately one can test definitions of observables by calculation using two formulations of a theory, one without gauge freedom and one with gauge freedom. The formulations, being empirically equivalent, must have equivalent observables. For de Broglie-Proca non-gauge massive electromagnetism, all constraints are second-class, so everything is observable. Demanding equivalent observables from gauge Stueckelberg–Utiyama electromagnetism, one finds that the usual definition fails while the Pons–Salisbury–Sundermeyer definition with G succeeds. This definition does not readily yield change in GR, however. Should GR’s external gauge freedom of general relativity share with internal gauge symmetries the 0 Poisson bracket, or is covariance sufficient? A graviton mass breaks the gauge symmetry, but it can be restored by parametrization with clock fields. By requiring equivalent observables, one can test whether observables should have 0 or the Lie derivative as the Poisson bracket with the gauge generator G. The latter definition is vindicated by calculation. While this conclusion has been reported previously, here the calculation is given in some detail.

Einstein considered general covariance to characterize the novelty of his General Theory of Relativity (GTR), but Kretschmann thought it merely a formal feature that any theory could have. The claim that GTR is ``already parametrized'' suggests analyzing substantive general covariance as formal general covariance achieved without hiding preferred coordinates as scalar ``clock fields,'' much as Einstein construed general covariance as the lack of preferred coordinates. Physicists often install gauge symmetries artificially with additional fields, as in the transition from Proca's to Stueckelberg's electromagnetism. Some post-positivist philosophers, due to realist sympathies, are committed to judging Stueckelberg's electromagnetism distinct from and inferior to Proca's. By contrast, physicists identify them, the differences being gauge-dependent and hence unreal. It is often useful to install gauge freedom in theories with broken gauge symmetries (second-class constraints) using a modified Batalin-Fradkin-Tyutin (BFT) procedure. Massive GTR, for which parametrization and a Lagrangian BFT-like procedure appear to coincide, mimics GTR's general covariance apart from telltale clock fields. A generalized procedure for installing artificial gauge freedom subsumes parametrization and BFT, while being more Lagrangian-friendly than BFT, leaving any primary constraints unchanged and using a non-BFT boundary condition. Artificial gauge freedom licenses a generalized Kretschmann objection. However, features of paradigm cases of artificial gauge freedom might help to demonstrate a principled distinction between substantive and merely formal gauge symmetry.

The principle of energy conservation is widely taken to be a se- rious difficulty for interactionist dualism (whether property or sub- stance). Interactionists often have therefore tried to make it satisfy energy conservation. This paper examines several such attempts, especially including E. J. Lowe’s varying constants proposal, show- ing how they all miss their goal due to lack of engagement with the physico-mathematical roots of energy conservation physics: the first Noether theorem (that symmetries imply conservation laws), its converse (that conservation laws imply symmetries), and the locality of continuum/field physics. Thus the “conditionality re- sponse”, which sees conservation as (bi)conditional upon symme- tries and simply accepts energy non-conservation as an aspect of interactionist dualism, is seen to be, perhaps surprisingly, the one most in accord with contemporary physics (apart from quantum mechanics) by not conflicting with mathematical theorems basic to physics. A decent objection to interactionism should be a posteri- ori, based on empirically studying the brain.

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 \emph{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 for stability, along with universal coupling: all energy-momentum including gravity's serves as a source for gravity. Those assumptions imply 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.

James L. Anderson analyzed the novelty of Einstein's theory of gravity as its lack of "absolute objects." Michael Friedman's related work has been criticized by Roger Jones and Robert Geroch for implausibly admitting as absolute the timelike 4-velocity field of dust in cosmological models in Einstein's theory. Using the Rosen-Sorkin Lagrange multiplier trick, I complete Anna Maidens's argument that the problem is not solved by prohibiting variation of absolute objects in an action principle. Recalling Anderson's proscription of "irrelevant" variables, I generalize that proscription to locally irrelevant variables that do no work in some places in some models. This move vindicates Friedman's intuitions and removes the Jones-Geroch counterexample: some regions of some models of gravity with dust are dust-free and so naturally lack a timelike 4-velocity, so diffeomorphic equivalence to is spoiled. Torretti's example involving constant curvature spaces is shown to have an absolute object on Anderson's analysis, viz., the conformal spatial metric density. The previously neglected threat of an absolute object from an orthonormal tetrad used for coupling spinors to gravity appears resolvable by eliminating irrelevant fields. However, given Anderson's definition, GTR itself has an absolute object : a change of variables to a conformal metric density and a scalar density shows that the latter is absolute.