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arXiv:1005.2641

The basis of quantum mechanics' compatibility with relativity--whose impairment gives rise to the Klein-Gordon and Dirac equations

Steven Kenneth Kauffmann

Published May 15, 2010• 1 citation
arXivHTMLPDF

Abstract

Solitary-particle quantum mechanics' inherent compatibility with special relativity is implicit in Schroedinger's postulated wave-function rule for the operator quantization of the particle's canonical three-momentum, taken together with his famed time-dependent wave-function equation that analogously treats the operator quantization of its Hamiltonian. The resulting formally four-vector equation system assures proper relativistic covariance for any solitary-particle Hamiltonian operator which, together with its canonical three-momentum operator, is a Lorentz-covariant four-vector operator. This, of course, is always the case for the quantization of the Hamiltonian of a properly relativistic classical theory, so the strong correspondence principle definitely remains valid in the relativistic domain. Klein-Gordon theory impairs this four-vector equation by iterating and contracting it, thereby injecting extraneous negative-energy solutions that are not orthogonal to their positive-energy counterparts of the same momentum, thus destroying the basis of the quantum probability interpretation. Klein-Gordon theory, which thus depends on the square of the Hamiltonian operator, is as well thereby cut adrift from Heisenberg's equations of motion. Dirac theory confuses the space-time symmetry of the four-vector equation system with such symmetry for its time component alone, which it fatuously imposes, thereby breaching the strong correspondence principle for the free particle and imposing the starkly unphysical momentum-independence of velocity. Physically sensible alternatives, with external electromagnetic fields, to the Klein-Gordon and Dirac equations are derived, and the simple, elegant symmetry-based approach to antiparticles is pointed out.

DOI
10.48550/arxiv.1005.2641

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Solitary-particle quantum mechanics' inherent compatibility with special relativity is implicit in Schroedinger's postulated wave-function rule for the operator quantization of the particle's canonical three-momentum, taken together with his famed time-dependent wave-function equation that analogously treats the operator quantization of its Hamiltonian. The resulting formally four-vector equation system assures proper relativistic covariance for any solitary-particle Hamiltonian operator which, together with its canonical three-momentum operator, is a Lorentz-covariant four-vector operator. This, of course, is always the case for the quantization of the Hamiltonian of a properly relativistic classical theory, so the strong correspondence principle definitely remains valid in the relativistic domain. Klein-Gordon theory impairs this four-vector equation by iterating and contracting it, thereby injecting extraneous negative-energy solutions that are not orthogonal to their positive-energy counterparts of the same momentum, thus destroying the basis of the quantum probability interpretation. Klein-Gordon theory, which thus depends on the square of the Hamiltonian operator, is as well thereby cut adrift from Heisenberg's equations of motion. Dirac theory confuses the space-time symmetry of the four-vector equation system with such symmetry for its time component alone, which it fatuously imposes, thereby breaching the strong correspondence principle for the free particle and imposing the starkly unphysical momentum-independence of velocity. Physically sensible alternatives, with external electromagnetic fields, to the Klein-Gordon and Dirac equations are derived, and the simple, elegant symmetry-based approach to antiparticles is pointed out.
Dirac sought a relativistic quantum free-particle Hamiltonian that imposes space-time symmetry on the Schroedinger equation in configuration representation; he ignored the Lorentz covariance of energy-momentum. Dirac free-particle velocity therefore is momentum-independent, breaching relativity basics. Dirac also made solutions of his equation satisfy the Klein-Gordon equation via requirements imposed on its operators. Dirac particle speed is thereby fixed to the unphysical value of c times the square root of three, and anticommutation requirements prevent four observables, including the components of velocity, from commuting when Planck's constant vanishes, a correspondence-principle breach responsible for Dirac free-particle spontaneous acceleration (zitterbewegung) that diverges in the classical limit. Nonrelativistic Pauli theory contrariwise is physically sensible, and its particle rest-frame action can be extended to become Lorentz invariant. The consequent Lagrangian yields the corresponding closed-form relativistic Hamiltonian when magnetic field is absent, otherwise a successive-approximation regime applies.
It is generally acknowledged that neither the Klein-Gordon equation nor the Dirac Hamiltonian can produce sound solitary-particle relativistic quantum mechanics due to the ill effects of their negative-energy solutions; instead their field-quantized wavefunctions are reinterpreted as dealing with particle and antiparticle simultaneously--despite the clear physical distinguishability of antiparticle from particle and the empirically known slight breaking of the underlying CP invariance. The natural square-root Hamiltonian of the free relativistic solitary particle is iterated to obtain the Klein-Gordon equation and linearized to obtain the Dirac Hamiltonian, steps that have calculational but not physical motivation, and which generate the above-mentioned problematic negative-energy solutions as extraneous artifacts. Since the natural square root Hamiltonian for the free relativistic solitary particle contrariwise produces physically unexceptionable quantum mechanics, this article focuses on extending that Hamiltonian to describe a solitary particle (of either spin 0 or spin one-half) in relativistic interaction with an external electromagnetic field. That is achieved by use of Lorentz-covariant solitary-particle four momentum techniques together with the assumption that well-known nonrelativistic dynamics applies in the particle's rest frame. Lorentz-invariant solitary particle actions, whose formal Hamiltonization is an equivalent alternative approach, are as well explicitly displayed. It is proposed that two separate solitary-particle wavefunctions, one for a particle and the other for its antiparticle, be independently quantized in lieu of "reinterpreting" negative energy solutions--which indeed don't even afflict proper solitary particles.
It was pointed out in a previous paper that although neither the Klein-Gordon equation nor the Dirac Hamiltonian produces sound solitary free-particle relativistic quantum mechanics, the natural square-root relativistic Hamiltonian for a nonzero-mass free particle does achieve this. Failures of the Klein-Gordon and Dirac theories are reviewed: the solitary Dirac free particle has, inter alia, an invariant speed well in excess of c and staggering spontaneous Compton acceleration, but no pathologies whatsoever arise from the square-root relativistic Hamiltonian. Dirac's key misapprehension of the underlying four-vector character of the time-dependent, configuration-representation Schroedinger equation for a solitary particle is laid bare, as is the invalidity of the standard "proof" that the nonrelativistic limit of the Dirac equation is the Pauli equation. Lorentz boosts from the particle rest frame point uniquely to the square-root Hamiltonian, but these don't exist for a massless particle. Instead, Maxwell's equations are dissected in spatial Fourier transform to separate nondynamical longitudinal from dynamical transverse field degrees of freedom. Upon their decoupling in the absence of sources, the transverse field components are seen to obey two identical time-dependent Schroedinger equations (owing to two linear polarizations), which have the massless free-particle diagonalized square-root Hamiltonian. Those fields are readily modified to conform to the attributes of solitary-photon wave functions. The wave functions' relations to the potentials in radiation gauge are also worked out. The exercise is then repeated without the considerable benefit of the spatial Fourier transform.
It has recently been shown that the classical electric and magnetic fields which satisfy the source-free Maxwell equations can be linearly mapped into the real and imaginary parts of a transverse-vector wave function which in consequence satisfies the time-dependent Schroedinger equation whose Hamiltonian operator is physically appropriate to the free photon. The free-particle Klein-Gordon equation for scalar fields modestly extends the classical wave equation via a mass term. It is physically untenable for complex-valued wave functions, but has a sound nonnegative conserved-energy functional when it is restricted to real-valued classical fields. Canonical Hamiltonization and a further canonical transformation maps the real-valued classical Klein-Gordon field and its canonical conjugate into the real and imaginary parts of a scalar wave function (within a constant factor) which in consequence satisfies the time-dependent Schroedinger equation whose Hamiltonian operator has the natural correspondence-principle relativistic square-root form for a free particle, with a mass that matches the Klein-Gordon field theory's mass term. Quantization of the real-valued classical Klein-Gordon field is thus second quantization of this natural correspondence-principle first-quantized relativistic Schroedinger equation. Source-free electromagnetism is treated in a parallel manner, but with the classical scalar Klein-Gordon field replaced by a transverse vector potential that satisfies the classical wave equation. This reproduces the previous first-quantized results that were based on Maxwell's source-free electric and magnetic field equations.
It was pointed out in a previous paper that although neither the Klein-Gordon equation nor the Dirac Hamiltonian produces sound solitary free-particle relativistic quantum mechanics, the natural square-root relativistic Hamiltonian for a nonzero-mass free particle does achieve this. Failures of the Klein-Gordon and Dirac theories are reviewed: the solitary Dirac free particle has, inter alia, an invariant speed well in excess of c and staggering spontaneous Compton acceleration, but no pathologies whatsoever arise from the square-root relativistic Hamiltonian. Dirac’s key misapprehension of the underlying four-vector character of the time-dependent, configuration-representation Schrodinger equation for a solitary particle is laid bare, as is the invalidity of the standard “proof” that the nonrelativistic limit of the Dirac equation is the Pauli equation. Lorentz boosts from the particle rest frame point uniquely to the square-root Hamiltonian, but these don’t exist for a massless particle. Instead, Maxwell’s equations are dissected in spatial Fourier transform to separate nondynamical longitudinal from dynamical transverse field degrees of freedom. Upon their decoupling in the absence of sources, the transverse field components are seen to obey two identical time-dependent Schrodinger equations (owing to two linear polarizations), which have the massless free-particle diagonalized square-root Hamiltonian. Those fields are readily modified to conform to the attributes of solitary-photon wave functions. The wave functions’ relations to the potentials in radiation gauge are also worked out. The exercise is then repeated without the considerable benefit of the spatial Fourier transform.
The Klein–Gordon equation, written down in 1926 by Oskar Klein and Walter Gordon (and earlier in unpublished form by Schrödinger himself), is the natural relativistic extension of quantum mechanics for spin‑zero particles: (□ + m²c²/ℏ²) Ψ = 0 where □ = (1/c²) ∂ₜ² − ∇². The equation is second‑order in both time and space, treats them symmetrically, and reduces to the free‑particle Schrödinger equation in the non‑relativistic limit. Its plane‑wave solutions satisfy the relativistic mass‑shell condition E² = p²c² + m²c⁴. Why is a relativistic version needed at all? The Schrödinger equation describes how quantum systems evolve when they’re moving slowly compared to the speed of light — fine for atoms, molecules, and everyday chemistry, where electrons move at less than 1% of c. But the Schrödinger equation is first‑order in time and second‑order in space, treating the two on different footings. Special relativity says space and time are unified into a single four‑dimensional structure where Lorentz transformations mix them, and any equation that privileges time over space breaks Lorentz invariance. A truly fundamental quantum equation must respect this symmetry. Klein–Gordon is the minimal scalar‑field equation that does. The standard derivation runs by analogy: start with the relativistic energy–momentum relation E² = p²c² + m²c⁴, replace E by iℏ∂ₜ and p by −iℏ∇, apply both sides to a wavefunction. This produces the right equation but it’s not really a derivation — it’s a guess motivated by the Schrödinger operator‑substitution procedure. This walkthrough shows how the Event Density framework derives the Klein–Gordon equation from substrate primitives — the same primitives that gave the Born rule, the Schrödinger equation, and the Bell–Tsirelson bound — plus the commitment to Lorentz covariance. The participation measure becomes Lorentz‑covariant. The unique second‑order Lorentz‑scalar differential operator on a scalar field is the d’Alembertian; the minimum‑order Lorentz‑scalar linear equation is therefore (□ + M²) Ψ = 0. Dimensional analysis fixes M² = m²c²/ℏ². Local U(1) gauge invariance forces the covariant derivative and the conserved four‑current. The non‑relativistic limit, via rest‑energy factorization, recovers the free‑particle Schrödinger equation exactly. The structural payoff: the Klein–Gordon equation is what you get when the substrate ontology is pushed through a Lorentz‑covariant reformulation. No new primitives are required. Relativistic and non‑relativistic quantum mechanics are not two theories glued together by analogy; they are the same substrate ontology applied at different velocity regimes. The walkthrough is honest about the known caveats — negative‑energy solutions and the non‑positive‑definite j₀ current — both of which resolve at the Dirac level and at QFT.