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arXiv:2603.02350

Hamilton Revised: The Action Principle for Initial Value Problems

W. A. Horowitz, A. Rothkopf

Published Mar 2, 2026• 0 citations
arXivHTMLPDF

Abstract

We present the variational action principle for initial value problems in classical, conservative-force point particle mechanics. We rigorously derive this formulation by taking the classical limit of the Schwinger-Keldysh expression for the time dependence of the expectation value for operators in quantum mechanics. We clarify the connection between the variation of the position and the variation of the velocity of a particle when implementing Hamilton's Principle in deriving the Euler-Lagrange Equations. We show that both the plus and minus Keldysh paths (of the average and difference of the forward/backward paths) have classical paths and fluctuations -- unlike the common perception that the minus path provides the fluctuations around the single classical solution given by the plus path -- and that the fluctuations of both paths are crucial for the correct normalization of the classical limit. The classical limit yields "initial conditions" and equations of motion for the minus paths such that the unique classical solution for the minus paths is that they are identically zero, and, fascinatingly, that the minus paths' solution propagates backwards in time; thus one does not need to set the minus paths to zero by hand when taking the classical limit of the Schwinger-Keldysh formalism. We note implications for the classical and quantum mechanics of non-holonomic constraints and quantum field theories with gauges dependent on the derivatives of the fields.

DOI
10.48550/arxiv.2603.02350

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We present the variational action principle for initial value problems in classical, conservative-force point particle mechanics. We rigorously derive this formulation by taking the classical limit of the Schwinger-Keldysh expression for the time dependence of the expectation value for operators in quantum mechanics. We clarify the connection between the variation of the position and the variation of the velocity of a particle when implementing Hamilton's Principle in deriving the Euler-Lagrange Equations. We show that both the plus and minus Keldysh paths (of the average and difference of the forward/backward paths) have classical paths and fluctuations -- unlike the common perception that the minus path provides the fluctuations around the single classical solution given by the plus path -- and that the fluctuations of both paths are crucial for the correct normalization of the classical limit. The classical limit yields "initial conditions" and equations of motion for the minus paths such that the unique classical solution for the minus paths is that they are identically zero, and, fascinatingly, that the minus paths' solution propagates backwards in time; thus one does not need to set the minus paths to zero by hand when taking the classical limit of the Schwinger-Keldysh formalism. We note implications for the classical and quantum mechanics of non-holonomic constraints and quantum field theories with gauges dependent on the derivatives of the fields.
Abstract Chapter 4 introduces the Schwinger Action Principle, along with associated particle and potential sources. While the methods described here originally arose in the relativistic quantum field theory of elementary particle physics, they have also profoundly advanced our understanding of non-relativistic many-particle physics. The Schwinger Action Principle is a quantum-mechanical variational principle that closely parallels the Hamilton Principle of Least Action of classical mechanics, generalizing it to include the role of quantum operators as generalized coordinates and momenta. As such, it unifies all aspects of quantum theory, incorporating Hamilton equations of motion for those operators and the Heisenberg equation, as well as producing the canonical equal-time commutation/anticommutation relations. It yields dynamical coupled field equations for the creation and annihilation operators of the interacting many-body system by variational differentiation of the Hamiltonian with respect to the field operators. Also, equations for the development of matrix elements (underlying Green’s functions) are derived using variations with respect to particle and potential “sources” (and coupling strength). Variational calculus, involving impressed potentials, c-number coordinates and fields, also quantum operator coordinates and fields, is discussed in full detail. Attention is given to the introduction of fermion and boson particle sources and their use in variational calculus.
In this paper we establish three variational principles that provide new foundations for Nelson’s stochastic mechanics in the case of nonrelativistic particles without spin. The resulting variational picture is much richer and of a different nature with respect to the one previously considered in the literature. We first develop two stochastic variational principles whose Hamilton–Jacobi-like equations are precisely the two coupled partial differential equations that are obtained from the Schrödinger equation (Madelung equations). The two problems are zero-sum, noncooperative, stochastic differential games that are familiar in the control theory literature. They are solved here by means of a new, absolutely elementary method based on Lagrange functionals. For both games the saddle-point equilibrium solution is given by the Nelson’s process and the optimal controls for the two competing players are precisely Nelson’s current velocity v and osmotic velocity u, respectively. The first variational principle includes as special cases both the Guerra–Morato variational principle [Phys. Rev. D 27, 1774 (1983)] and Schrödinger original variational derivation of the time-independent equation. It also reduces to the classical least action principle when the intensity of the underlying noise tends to zero. It appears as a saddle-point action principle. In the second variational principle the action is simply the difference between the initial and final configurational entropy. It is therefore a saddle-point entropy production principle. From the variational principles it follows, in particular, that both v(x,t) and u(x,t) are gradients of appropriate principal functions. In the variational principles, the role of the background noise has the intuitive meaning of attempting to contrast the more classical mechanical features of the system by trying to maximize the action in the first principle and by trying to increase the entropy in the second. Combining the two variational principles, we get the quantum Hamilton principle, i.e., a variational characterization of the logarithm of the wave function ψ. The Lagrangian is the Lagrangian of classical mechanics with the complex-valued velocity v−iu replacing the classical velocity. The dynamics is given by a stochastic differential equation for real-valued diffusions with complex-valued drift and driving noise processes. From the variational principle we derive a Newton-type law. We finally define the momentum process and show that its mean and variance coincide with those of the quantum momentum operator.
We begin with a presentation of the Schwinger variational principle in quantum mechanics. In the second part, after a re-assessment of the problem of motion in quantum mechanics, it is shown that the Green kernel, which represents the probability amplitude of finding a particle in space at a given time, once its location at another time is known, can be represented by a sum over ‘space–time paths’. According to this interpretation, one integrates the exponential of i times the classical action divided by ħ, with a (formal) measure over all space–time paths matching the initial location x i at time t i and the final location x f at time t f . Such a way of evaluating the Green kernel is applied to any quadratic Lagrangian for a generic quantum system including, in particular, the harmonic oscillator and the free particle. Lastly, we outline a formalism which involves ordinary functions of commuting variables, and exactly reproduces ordinary quantum mechanics. It works with a phase space endowed with commuting coordinates, so that one is dealing with quantum mechanics in phase space. The Schwinger formulation of quantum dynamics In both the Schrödinger formulation in terms of wave functions (with associated state vectors) and the Heisenberg formulation in terms of noncommuting matrices (with corresponding linear operators) the dynamical evolution is specified in terms of the Hamiltonian. This has motivated our presentation of classical dynamics, but is in marked contrast with the view according to which the Lagrangian and the action specify the dynamics. Hamilton's principle is formulated in terms of the action, the time integral of the Lagrangian.
Schwinger's variational principle is formulated for the quantum system which corresponds to the one-dimensional classical system described by the Lagrangian Lc(\dotx, x) = (M/2) f-1(x)\dotx2 - v(x). It is sufficient for the purpose of deriving the laws of quantum mechanics to consider only c-number variations of coordinate and time. The Euler-Lagrange equation, the canonical equations of motion and the canonical commutation relation are derived from the principle. All resulting relations are consistent with one another. Further, it is shown that an arbitrary point transformation leaves the forms of the fundamental equations invariant and is suitable to be called a canonical transformation. The appropriate choice of the Lagrangian operator is essential in our formulation.
I propose a new and direct connection between classical mechanics and quantum mechanics where I derive the quantum mechanical propagator from a variational principle. This variational principle is Hamilton's modified principle generalized to allow many paths due to the non-local existence of particles in phase space. This principle allows a physical system to evolve non-locally in phase space while still allowing a representation that uses many classical paths. Whereas a point in phase space represents a classical system's state, I represent the state of a non-local system by a mixed trajectory. This formulation naturally leads to the transactional interpretation for resolving the paradoxes of the measurement problem. This principle also suggests a more flexible framework for formulating theories based on invariant actions and provides a single conceptual framework for discussing many areas of science.
Many quantization schemes rely on analogs of classical mechanics where the connections with classical mechanics are indirect. In this work I propose a new and direct connection between classical mechanics and quantum mechanics where the quantum mechanical propagator is derived from a variational principle. I identify this variational principle as a generalized form of Hamilton's principle. This proposed variational principle is unusual because the physical system is allowed to have imperfect information, i.e., there is incomplete knowledge of the physical state. Two distribution functionals over possible generalized momentum paths a[p(t)] and generalized coordinates paths b[q(t)] are defined. A generalized action is defined that corresponds to a contraction of a[p(t)], b[q(t)], and a matrix of the action evaluated at all possible p and q paths. Hamilton's principle is the extremization of the generalized action over all possible distributions. The normalization of the two distributions allows their values to be negative and they are shown to be the real and imaginary parts of the complex amplitude. The amplitude in the Feynman path integral is shown to be an optimal vector that extremizes the generalized action. This formulation is also shown to be directly applicable to statistical mechanics and I show how irreversible behavior and the micro-canonical ensemble follows immediately.