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Derivation of the Rules of Quantum Mechanics from Information-Theoretic Axioms

Daniel I. Fivel

Published Jan 1, 2010• 16 citations
OpenAlex

Abstract

Conventional quantum mechanics with a complex Hilbert space and the Born Rule is derived from five axioms describing properties of probability distributions for the outcome of measurements. Axioms I,II,III are common to quantum mechanics and hidden variable theories. Axiom IV recognizes a phenomenon, first noted by Turing and von Neumann, in which the increase in entropy resulting from a measurement is reduced by a suitable intermediate measurement. This is shown to be impossible for local hidden variable theories. Axiom IV, together with the first three, almost suffice to deduce the conventional rules but allow some exotic, alternatives such as real or quaternionic quantum mechanics. Axiom V recognizes a property of the distribution of outcomes of random measurements on qubits which holds only in the complex Hilbert space model. It is then shown that the five axioms also imply the conventional rules for all dimensions. 1

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Conventional quantum mechanics with a complex Hilbert space and the Born Rule is derived from five axioms describing properties of probability distributions for the outcome of measurements. Axioms I,II,III are common to quantum mechanics and hidden variable theories. Axiom IV recognizes a phenomenon, first noted by Turing and von Neumann, in which the increase in entropy resulting from a measurement is reduced by a suitable intermediate measurement. This is shown to be impossible for local hidden variable theories. Axiom IV, together with the first three, almost suffice to deduce the conventional rules but allow some exotic, alternatives such as real or quaternionic quantum mechanics. Axiom V recognizes a property of the distribution of outcomes of random measurements on qubits which holds only in the complex Hilbert space model. It is then shown that the five axioms also imply the conventional rules for all dimensions. 1
Five physical assumptions are proposed that together entail the general qualitative results, including the Born rule, of non-relativistic quantum mechanics by physical and information-theoretic reasoning alone. Two of these assumptions concern fundamental symmetries of physical interactions. The third concerns the Hilbert-space dimensions and the fourth and fifth the self-interaction Hamiltonians of the systems that function as "observers" within the theory. These assumptions are shown to provide a sufficient motivation for the usual Hilbert-space formalism, and to obviate the observation-related axioms and most interpretative assumptions with which minimal quantum mechanics is typically supplemented.
The Heisenberg uncertainty principle is one of the most famous features of quantum mechanics. However, the non-determinism implied by the Heisenberg uncertainty principle --- together with other prominent aspects of quantum mechanics such as superposition, entanglement, and nonlocality --- poses deep puzzles about the underlying physical reality, even while these same features are at the heart of exciting developments such as quantum cryptography, algorithms, and computing. These puzzles might be resolved if the mathematical structure of quantum mechanics were built up from physically interpretable axioms, but it is not. We propose three physically-based axioms which together characterize the simplest quantum system, namely the qubit. Our starting point is the class of all no-signaling theories. Each such theory can be regarded as a family of empirical models, and we proceed to associate entropies, i.e., measures of information, with these models. To do this, we move to phase space and impose the condition that entropies are real-valued. This requirement, which we call the Information Reality Principle, arises because in order to represent all no-signaling theories (including quantum mechanics itself) in phase space, it is necessary to allow negative probabilities (Wigner [1932]). Our second and third principles take two important features of quantum mechanics and turn them into deliberately chosen physical axioms. One axiom is an Uncertainty Principle, stated in terms of entropy. The other axiom is an Unbiasedness Principle, which requires that whenever there is complete certainty about the outcome of a measurement in one of three mutually orthogonal directions, there must be maximal uncertainty about the outcomes in each of the two other directions.
"This paper derives the complex Hilbert space structure and Born rule of quantum mechanics from five information-theoretic axioms governing coarse-grained microhistory branches. No quantum structure is assumed; linearity, complex numbers, unitary dynamics, and Born probabilities all emerge from constraints on how operational information can be stored, transformed, and composed. The reconstruction is independent of any specific microscopic model but naturally accommodates microhistory ontologies indexed by various ordering parameters (physical time, relational clocks, scalar fields)."
The usual formulation of quantum theory is based on rather obscure axioms (employing complex Hilbert spaces, Hermitean operators, and the trace rule for calculating probabilities). In this paper it is shown that quantum theory can be derived from five very reasonable axioms. The first four of these are obviously consistent with both quantum theory and classical probability theory. Axiom 5 (which requires that there exists continuous reversible transformations between pure states) rules out classical probability theory. If Axiom 5 (or even just the word "continuous" from Axiom 5) is dropped then we obtain classical probability theory instead. This work provides some insight into the reasons quantum theory is the way it is. For example, it explains the need for complex numbers and where the trace formula comes from. We also gain insight into the relationship between quantum theory and classical probability theory.
This paper derives the complete mathematical structure of quantum mechanics—complex Hilbert spaces, unitary evolution, and Born-rule probabilities—from five information-theoretic axioms, without assuming quantum mechanics at the outset. Starting from an ontology of microhistories (fully specified microscopic trajectories), we define branches as equivalence classes of operationally indistinguishable microhistories. We then show that five physically motivated constraints on how information is stored, mixed, and transformed uniquely force the effective state space to be a complex projective space with unitary dynamics.
In this paper we derive the complex Hilbert space formalism of quantum theory from four simple information theoretic axioms. It is shown that quantum theory is the only non classical probabilistic theory satisfying the following axioms: distinguishability, conservation, reversibility, composition. The new results of this reconstruction compared to other reconstructions by other authors are: (i) we get rid of axiom "subspace" in favor of axiom conservation eliminating mathematical requirements contained in previous axiomatics; (ii) we are able to classify all the probabilistic theories that are consistent requiring (a) only the first two axioms (b) only the first three axioms; this could be useful in experimental tests of quantum theory since it gives the possibility to understand whether or not other mathematical models could be consistent with such tests; (iii) we provide a connection between two different approaches to quantum foundations, quantum logic and the one based on information theoretic primitives showing that any theory satisfying the first two axioms given above either is classical or is a theory in which physical systems are described by a projective geometry.