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arXiv:2512.17089

Gauging Open EFTs from the top down

Greg Kaplanek, Maria Mylova, Andrew J. Tolley

hep-thcond-mat.stat-mechgr-qcmath-phquant-phSubmitted Dec 18, 2025• Announced Dec 22, 2025• Revised May 22, 2026 (v3)
v1 · Dec 18, 2025v2 · Jan 7, 2026v3 · May 22, 2026
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Abstract

We present explicit top-down calculations of Open EFTs for gauged degrees of freedom with a focus on the effects of gauge fixing. Starting from the in-in contour with two copies of the action, we integrate out the charged matter in various $U(1)$ gauge theories to obtain the Feynman-Vernon influence functional for the photon, or, in the case of symmetry breaking, for the photon and Stückelberg fields. The influence functional is defined through a quantum path integral, which -- as is always the case when quantizing gauge degrees of freedom -- contains redundancies that must be eliminated via a gauge-fixing procedure. We implement the BRST formalism in this setting. The in-in boundary conditions break the two copies of BRST symmetry down to a single diagonal copy. Nevertheless the single diagonal BRST is sufficient to ensure that the influence functional is itself gauge invariant under two copies of gauge symmetries, retarded and advanced, regardless of the choice of state or symmetry-breaking phase. We clarify how this is consistent with the decoupling limit where the global advanced symmetry is generically broken by the state. We illustrate our results with several examples: a gauge field theory analogue of the Caldeira-Leggett model, spinor QED with fermions integrated out, scalar QED in a thermal state, the Abelian Higgs-Kibble model in the spontaneously broken state with the Higgs integrated out, and Abelian Higgs-Kibble model coupled to a charged bath in a symmetry-broken phase. The latter serves as an example of an open system for Stückelberg/Goldstone fields.

Comments
66 pages + appendices, 4 figures; (v2) & (v3) typos corrected, references added

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We present explicit top-down calculations of Open EFTs for gauged degrees of freedom with a focus on the effects of gauge fixing. Starting from the in-in contour with two copies of the action, we integrate out the charged matter in various U(1)U(1)U(1) gauge theories to obtain the Feynman-Vernon influence functional for the photon, or, in the case of symmetry breaking, for the photon and Stückelberg fields. The influence functional is defined through a quantum path integral, which -- as is always the case when quantizing gauge degrees of freedom -- contains redundancies that must be eliminated via a gauge-fixing procedure. We implement the BRST formalism in this setting. The in-in boundary conditions break the two copies of BRST symmetry down to a single diagonal copy. Nevertheless the single diagonal BRST is sufficient to ensure that the influence functional is itself gauge invariant under two copies of gauge symmetries, retarded and advanced, regardless of the choice of state or symmetry-breaking phase. We clarify how this is consistent with the decoupling limit where the global advanced symmetry is generically broken by the state. We illustrate our results with several examples: a gauge field theory analogue of the Caldeira-Leggett model, spinor QED with fermions integrated out, scalar QED in a thermal state, the Abelian Higgs-Kibble model in the spontaneously broken state with the Higgs integrated out, and Abelian Higgs-Kibble model coupled to a charged bath in a symmetry-broken phase. The latter serves as an example of an open system for Stückelberg/Goldstone fields.
We develop the Schwinger-Keldysh path-integral formalism for open non-Abelian gauge theories that are gauge-fixed via the BRST method in covariant gauges. We focus on generic initial states, pure and mixed, specified at finite times suitable for non-equilibrium processes. We pay particular attention to the handling of the indefinite Hilbert space, the construction of BRST-invariant Schrodinger picture wavefunctionals, density matrices and inner product, the implementation of the Hata-Kugo prescription, and the role of boundary terms at both the initial and final times. We highlight the advantages of the Nakanishi-Lautrup field representation in dealing with initial/final conditions. The resulting Schwinger-Keldysh path integral is manifestly invariant under a diagonal (retarded) BRST symmetry for arbitrary physical initial states, whether pure or mixed. From this, we obtain the corresponding Ward-Takahashi-Slavnov-Taylor identities, valid perturbatively. Non-perturbatively the Gribov ambiguity is expected to break or modify the BRST symmetry. The naive advanced BRST symmetry is shown to be explicitly violated by the in-in boundary conditions. We show that the Feynman-Vernon influence functional derived by integrating out charged matter and/or hard gluon modes remains (perturbatively) BRST invariant. When the Open EFT action is expanded to second order in advanced fields it exhibits an exact symmetry under a contraction of the original BRST symmetry. This Keldysh BRST symmetry is equivalent to the BRST associated with the retarded gauge transformations together with a linearly realized BRST transformation of the advanced fields. These govern the structure of the leading terms in an Open EFT. We illustrate this with the explicit example of Hard Thermal Loop Effective Theory, and construct the general form of the Open EFT in a Higgs phase when all gauge symmetries are spontaneously broken.
Quantum localization of classical mechanics within the BRST-BFV and BV (or field–antifield) quantization methods are studied. It is shown that a special choice of gauge fixing functions (or BRST-BFV charge) together with the unitary limit leads to Hamiltonian localization in the path integral of the BRST-BFV formalism. In turn, we find that a special choice of gauge fixing functions being proportional to extremals of an initial non-degenerate classical action together with a very special solution of the classical master equation result in Lagrangian localization in the partition function of the BV formalism.
We develop a bottom-up open effective field theory (EFT) for non-Abelian gauge theories within the Schwinger--Keldysh formalism. Instead of integrating out the environment completely and starting from a nonlocal influence functional, we retain the slow environmental response variables explicitly and construct a local system-environment EFT. The environmental sector is described by a dynamical color-frame variable, Stückelberg-like field, and an associated color-current sector, which gives the nontrivial interactions and dissipation between the system and the environment. The resulting construction provides a gauge-covariant Markov embedding of nonlocal and non-Markovian color response. After integrating out the retained environmental variables with retarded boundary conditions, the reduced system theory acquires nonlocal dissipative kernels and stochastic sources. We show that the hard thermal loop response arises naturally as a particular realization of the retained environmental response. Our framework provides a local open-EFT description of color transport, memory effects, and fluctuation-dissipation structure in non-Abelian plasmas, and offers a systematic starting point for dissipative Yang--Mills EFTs with dynamical environments.
The loss of gauge invariance in models of light-matter interaction which arises from material and photonic space truncation can pose significant challenges to conventional quantum optical models when matter and light strongly hybridize. In structured photonic environments, necessary in practice to achieve strong light-matter coupling, a rigorous model of field quantization within the medium is also needed. Here we use the framework of macroscopic QED by quantizing the fields in an arbitrary material system, with a spatially dependent dispersive and absorptive dielectric, starting from a fundamental light-matter action. We truncate the material and mode degrees of freedom while respecting the gauge principle by imposing a partial gauge-fixing constraint during canonical quantization, which admits a large number of gauges including the Coulomb and multipolar gauges commonly used in quantum optics. We also consider gauge conditions with explicit time dependence, enabling us to unambiguously introduce additional phenomenologically time-dependent light-matter interactions in any gauge. Our results allow one to derive rigorous nonrelativistic models of ultrastrong light-matter interactions in structured photonic environments with no gauge ambiguity. Results for two-level systems and the dipole approximation are discussed, as well as how to go beyond the dipole approximation for effective single-particle models. By comparing with the limiting case of an inhomogeneous dielectric, where dispersion and absorption can be neglected and the fields can be expanded in terms of the generalized transverse eigenfunctions of the dielectric, we show how lossy systems can introduce an additional gauge ambiguity, which we resolve and predict to have fundamental implications for open quantum system models. Finally, we show how observables in mode-truncated systems can be calculated without ambiguity by using a simple gauge-invariant model of photodetection.
Starting from the Weyl gauge formulation of quantum electrodynamics (QED), the formalism of quantum-mechanical gauge fixing is extended using techniques from nonrelativistic QED. This involves expressing the redundant gauge degrees of freedom through an arbitrary functional of the gauge-invariant transverse degrees of freedom. Particular choices of functional can be made to yield the Coulomb gauge and Poincar\'e gauge representations. The Hamiltonian we derive therefore serves as a good starting point for the description of atoms and molecules by means of a relativistic Dirac field. We discuss important implications for the ontology of noncovariant canonical QED due to the gauge freedom that remains present in our formulation.
Abstract We develop the effective field theoretical (EFT) approach to time-translational symmetry breaking of nonequilibrium open systems based on the Schwinger-Keldysh formalism. In the Schwinger-Keldysh formalism, all the symmetries of the microscopic Lagrangian are doubled essentially because the dynamical fields are doubled to describe the time-evolution along the closed-time-path. The effective Lagrangian for open systems are then obtained by coarse-graining the microscopic Schwinger-Keldysh Lagrangian. As a consequence of coarse-graining procedure, there appear the noise and dissipation effects, which explicitly break the doubled time-translational symmetries into a diagonal one. We therefore need to incorporate this symmetry structure to construct the EFT for Nambu-Goldstone bosons in symmetry broken phases of open systems. Based on this observation together with the consistency of the Schwinger-Keldysh action, we construct and study the general EFT for time-translational symmetry breaking in particular, having in mind applications to synchronization, time crystal, and cosmic inflation.