A NNALES DE L ’I. H. P., SECTION A
A. A. E L -K HOLY
R. U. S EXL
H. K. U RBANTKE
On the so-called “Palatini method” of variation in covariant gravitational theories
Annales de l’I. H. P., section A, tome 18, n
o2 (1973), p. 121-135
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121
On the so-called " Palatini method "
of variation in covariant gravitational theories
A. A. EL-KHOLY
(*),
R. U. SEXLand H. K. URBANTKE
(**)
Institut für Theoretische Physik,
Universitât Wien Ann. Inst. Henri Poincaré,
Vol. XVIII, nO 2, 1973,
Section A :
Physique théorique
ABSTRACT. - A review and discussion is
given
of what has been calledthe " Palatini method of variation " of the action
intégral
in severalcovariant theories of
gravitation.
There are at least two versions of this " method " : : One of themgives
metric affinities in all cases, i. e.the
(strong) principle
ofequivalence;
the other one leads to deviationsin some cases, among the effects of which there are causal anomalies.
It is shown
how,
withspinorial
affinities treated in the second way,gravity
andelectromagnetism
can be unified.1. INTRODUCTION
In Einstein’s
original
version of thetheory
ofgravitation [ 1]
he gavea variational
principle
for the fieldequations,
in which theLagrange density
is a function of the metric and its first and second derivatives
(" purely
metric
theory ") :
the affinitiesfimn
from which the Ricci tensor(*) Supported by grant from the Osterreichisches Bundesministerium für Wissens- chaft und Forschung.
(**) Supported by the « Fonds zur Fôrderung der wissenschaftlichen Forschung
in Osterreich ", Nr. 1534.
ANNALES DE L’INSTITUT HENRI POINCARÉ 9
122 A. A. EL-KHOLY, R. U. SEXL AND H. K. URBANTKE
is constructed were considered to be the Christoffel
symbols,
The actual variation with
respect
to the metric was carried out in detailby
Palatini[2] according
to the schemewhere 6 { mj n }
is calculatedexplicitly
from the Christoffel relation(3).
Later so-called " mixed affine-metric " theories were
developed ([3], [4])
in which were considered as
independent
field variables in somesuitable
Lagrange density.
It was noted that if(1)
is treated in this way, theequations
are
équivalent
to thesystem (3)-(4).
In most of the literature(’ )
thisobservation is ascribed to
Palatini, quoting [2],
where it cannot befound;
after this remark we
shall, however,
continue to call theseparate
inde-pendant
variation of g1~ and thé ’’ Palatini method",
until we are forced to make the distinctions which arepart
of the purpose of this article.When an
electromagnetic Lagrangian
is added to(1),
both kinds of variations still remainequivalent,
if the affine connexion is assumed to be free of torsion[6].
We shall assumevanishing
torsion(" symmetric
amnities
") throughout
this paper.The Palatini method is considered to be more natural
by Weyl,
ashe sees no reason to
regard
the relation between the affine and metricproperties
of the space asgiven. Besides,
it has thefollowing advantages : (i)
It allows forgeneralizations
of GeneralRelativity,
sinceconsidering fjmn
to beindependent
of gik one candrop
thesymmetry
condition on Infact,
the method was usedby
Einstein inan
attempt
tounify gravitation
andelectromagnetism by
conside-ring
both to benon-symmetric [3].
(ii)
It allows construction of theories invariant under the "Weyl
gauge
"
[7],
(1) A notable exception is Pauli’s book [5].
VOLUME A-XVIII - 1973 - NO 2
PALATINI METHOD 0F VARIATION 123
(üi)
If are considered to beindependent fields,
the factorordering problem,
which occurs inattempts
toquantize
thetheory,
is somewhat
simpler.
Thus the Palatini method is more suitable forquantization.
Before one can use then Palatini method
", however,
thequestion
has to be settled whether it is at all
applicable
in cases where thegravi-
tational field is
coupled
to other fields other than theelectromagnetic
or scalar
field,
e. g., to a vector meson field.Weyl [6]
has shown asearly
as 1948 that in the case ofcoupled gravitational
and electronfields the
ordinary procedure
ofvarying
gikalone,
with(3) imposed (henceforth
called "g-variation ")
is no moreéquivalent
to anindependent
variation of metric and
affinity (henceforth
called " P-variation").
His
interpretation
was that : " ...by
the influence of matter aslight
disaccordance between amne connection and metric
(affine connection)
is created ". Then he
proposed
achange
in theLagrangian leading
tocoincidence
again.
Wepoint
out, however that thiscoïncidence,
achievedthrough
the introduction of theWeyl
term in theLagrangian,
ismerely
a formal one, as the
equation determining
theaffinity
is notchanged by
this term.The
present
work is astudy
of the use of the Palatini method in caseswhere the
gravitational
field iscoupled
to other fields. Section 2gives
a brief review which
analyzes
what may be meantby
the Palatini method.Two
possible
versions aregiven :
one has todistinguish
between a " Pala-tini
principle " (PP)
and the " formal Palatini method of variation "(FP).
The latter issimply
a transformation of variables(a
kind ofLegendre transformation)
and thusalways equivalent
tog-variation, although
it may sometimes have someadvantages.
ThePP,
on thecontrary,
is ingeneral
notequivalent
tog-variation,
as shown in Section 3.Therefore it must lead to theories with new features
(which
is the reasonfor
calling
it a "principle ").
If such aprinciple
isadopted,
one muststudy
its consequences.One of thèse consequences
is,
as we shall show in Section4,
the occurrence of causal anomalies. This will be illustratedby
thesimplest
non-trivialexample,
thecoupling
of a vector field. On the basis of this effect oneshould
reject
thePP, although
the numerical amounts for this and other deviations of the theories derived from a PP will be rather small.The
special
cases in which PP andg-variation
areequivalent
areconsidered in Section 5. In
particular,
it is shown there that this is the case for all freecompensation fields,
inUtiyama’s
sense[8].
Finally,
anapplication
of the PPusing spinors
isgiven
in which thespinorial
affinities may be related to theelectromagnetic field,
thusleading
to a unification ofelectromagnetism
andgravity.
ANNALES DE L’INSTITUT~HENRI POINCARÉ
124 A. A. EL-KHOLY, R. U. SEXL AND H. K. URBANTKE
2. THE DIFFERENT VERSIONS OF THE PALATINI METHOD
It has often been
pointed
out([9], [10], [11])
that theg-variation
and" Palatini method " are
analogous
to the twoprocedures employed
in
deriving
theelectromagnetic
fieldequations
from aLagrangian by
either
considering
the4-potential Ai
as theonly independent variable,
while the field tensor is defined
by
(7) Fil
= 2or
alternatively by considering Ai
andFmn
asindependent,
in whichcase
(7)
follows from the variation of theLagrangian. Many examples
of such a twofold
approach
can be found in theliterature;
two of themare indicated in the Table.
In
tact,
aspointed
outby
de Witt[12],
neither the number of variablesnor the f orm of the
Lagrangian
isbasically
relevant for thedevelopment
of a
given system.
But these considerationstogether
with a remarkof Wheeler
[13],
that this second kind of variation issimply
a transitionfrom a
Lagrange
to Hamilton kind of formalism shows that there is animportant
difference between all these cases(e.
g. of theTable)
and the" Palatini method " described so far : for the latter the f orm of the
Lagrangian
was notchanged.
One could make this distinction moreobvious
by treating
the puregravitational
caseexactly
in this Hamil- tonian way, which in thepoint-mechanical
case means to vary not theoriginal Lagrangian
L(q, g)
but t.heLagrangian
(H being
theHamiltonian)
withrespect
to q, p to obtain theequations
of motion in the canonical f orm. The transition from
variables q
to q, p and from L to Lgives
the transition from the left to theright
columnVOLUME A-XVIII - 1973 - NO 2
125
PALATINI METHOD OF VARIATION
in the Table. If one starts with the well-known first order form of the
Lagrangian
forgravity,
with
given by (3),
theprocedure just
described must of courseyield
asystem
ofequations equivalent
to Einstein’s. If one,however,
treated(8) by
the " Palatini method", varying
gik and in(8) directly,
one would notonly get disagreement
with Einstein’sequations
but also
get
non-covariantequations.
This is so, because the difference between(8)
- which is not a scalardensity -
and(1)
is a puredivergence only
if(3)
is assumed from thebeginning,
but not ifr j mn
areindependent.
These considérations lead us towards
making
a distinction between twoprocedures
which seem to have been called sometimes " Palatini method of variation " : :(i)
The " formal Palatini method " is a mathematicalprocedure
totreat a
given theory by introducing
newindependent
fields in sucha way as to lower the order of the field
equations
and to constructa
Lagrangian
for the new form of the fieldequations.
Itproceeds
in the same way as the transition from a
Lagrangian
to a Hamiltonian f ormali sm.(ii)
The " PalatiniPrinciple
" is thefollowing prescription
to constructa
Lagrangian
and to obtain the fieldequations
which define atheory
of
gravitation
and its interaction with matter fields :(1)
form the Riemann and Ricci tensor for anarbitrary (torsionfree,
as we shall
assume)
affine connection and contract with anarbitrary
metric to obtain the
Lagrange density
of the freegravitational
field;
(2)
from theLagrangian
of the(interacting)
matter fields in flat space obtain theLagrangian describing
also theirgravitational
interaction
by replacing
the flat metricby
andordinary
deri-vatives
by
covariant ones withrespect
to the affine connection(as
indextransport
and covariant derivation do not commute any more, thisprescription
is notquite unique);
,(3) Vary
the sum of bothLagrangians
withrespect
to matter fieldvariables,
metric and affinitiesseparately
to obtain the field equa- tions. The totalLagrangian (density)
must be a scalardensity
or differ from a scalar
density only by
a puredivergence expression (the
latter must be adivergence expression
withoutassuming
any relation between all fieldquantities,
i. e. mattervariables, metric,
affinity).
In the
following,
we want toinvestigate
some consequences of theories constructedaccording
to the PP. Wealready
mentioned that it isANNALES DE L’INSTITUT HENRI POINCARÉ
126 A. A. EL-KHOLY, R. U. SEXL AND H. K. URBANTKE
equivalent
toordinary
GeneralRelativity
for puregravitation.
Asthe
prescription (2)
deviates from theordinary (metric)
" substitutionprinciple
" or " minimalcoupling
"[14]
whichguarantees
that the weakprinciple
ofequivalence
issatisfied,
one could think of a violation of the latter.However,
since inequivalence principle
considerationsone
aiways
deals with " testfields ",
the deviations from the metrictheory
must beneglected
in thisrespect.
Other observable effects will be very(i.
e.unmeasurably,
under normalcircumstances)
small. There- fore wewill,
afterexhibiting
anexample
where deviations should occur, turn to a more basic matter : causal behavior.3. PP TREATMENT OF A VECTOR FIELD
One of the
simplest
cases where the PP leads to atheory
which differs from pure metrictheory
is the case of a vector field. Forsimplicity
we take it to be massless and do not
project
out allspins except
one,but start
simply
with aLagrangian
of the form Ar,sAr,s.
Its interaction withgravity
is describedby
theLagrangian (the coupling
constant isabsorbed into
A,.
or has been set =1) :
with R =
g~~ Rib given by (2),
and the covariant derivativealso formed with the affinities The
g-variation procedure
wouldbe to
put = { mj n J
and to varyAl,
whichgives
where;
indicates metric covariant derivatives. But now let usapply
the PP ! The
algebra
becomes a little morecomplicated,
becauseindex
transport by gik
and covariant derivation are no morecommuting opérations. (For
this reason we shall defercomputational
details tothe
appendix.)
Hence(9)
is no more aunique generalization
of itsspecial-relativistic form ;
but let usjust
consider(9). Varying A,., fimn gives
VOLUME A-XVIII - 1973 - N° 2
PALATINI METHOD 0F VARIATION 127
where
Rik,
R are constructed from the r’ s. Of course, thèseequations
could be rewritten in tensor
form,
if one introduces the différence tensorri - r mj n . This difference tensor must be calculated from (15),
whi ch is done in the
appendix;
the result iscomplicated enough :
with the abbreviations
It is obvious now that
equation (14)
with(16)
does not reduce toequation (12),
so thatg-variation
and PP are notequivalent
in thiscase, as we wanted to demonstrate. We refrain from the actual insertion of
(16)
for obvious reasons.4. PROPAGATION PROPERTIES OF THE VECTOR FIELD
As we stated in the
Introduction,
if one wants to take the PPseriously,
one should be able to
apply
it for anycoupled system
and obtain reasonable results. Thehighly
nonlinearequation
that was obtained for the field A in Section 3 does not look toounreasonable,
if one takes into account the weakness of thecoupling; indeed,
it reduces to(12)
if termsquadratic
in A are
neglected.
But there is one effect of the nonlinear terms which is more a matter ofprinciple : they
affect thepropagation properties
ANNALES DE L’INSTITUT HENRI POINCARÉ
128 A. A. EL-KHOLY, R. U. SEXL AND H. K. URBANTKE
of
signals,
i. e. small discontinuities of A(or
rather its secondderivatives) travelling
on agiven back-ground
gihAj.
To
investigate this,
we have to determine the condition for characte- ristichypersurfaces
for the fieldequations
of A.According
to standardmethods,
we first write down the terms in(14)
which contain second derivatives. With thehelp
of(16),
we find(after extracting
a factor2-a which in
general
willbe # 0) :
where
P, Q, S,
T are(rational)
functions of a = AiAj given
in theAppendix.
The characteristichypersurfaces M (x)
= const. whichbelong
to the field
equation
and somebackground
gibAi
have therefore tosatisfy
thefollowing
first orderpartial
differentialequation
We evaluate the déterminant as the
product
of the foureigenvalues 1.1) ~2, ~:~, ~4
ofM~.
First we observe that any vectororthogonal
to Akis an
eigenvector
ofMik
witheigenvalue
03C9j wi + P(Aj 03C9j)2.
Sincethe vectors
orthogonal
toM’,
ingeneral
form a 2-dimensional space,our
eigenvalue
istwofold,
henceTo find the other
eigenvalues
we must look foreigenvectors ~,
which are not
simultaneously orthogonal
toc~~, A~’,
i. e. and Ail~
must not vanish
simultaneously. Contracting (21)
with Ai weget
two linear
homogeneous equations
for these two scalarproducts,
ifthe
explicit expression (19)
is used.Putting
the 2 X 2 déterminant of thissystem equal
to zero, we obtain aquadratic equation determining
the other two
eigenvalues.
Theirproduct
isgiven by
the ).-free termof this
equation,
i. e.VOLUME A-XVIII - 1973 - N° 2
129
PALATINI METHOD OF VARIATION
(22)
is abinary quadratic
form of the variables W iwi, (A j Wi)2
and may be factored aswhere
P’,
P" arehereby
defined new functions ofA j
Aj = a(they
could’even be
conjugate-complex).
Collecting
theseresults,
we see that the local characteristic cône)’1 À2 À:3 )’4
= 0 issplit
into threesheets, given by
On the other
hand,
the characteristic cone for thegravitational field,.
and also for an additional scalar or
electromagnetic field,
has the usualequation (light cone) :
Hence, against
anon-vanishing background A~’,
we have toexpect
several kinds of causal anomalies for the
propagation
of small disconti- nuities ofA,
whichdepend
on thebackground
and on thepolarization
of the
discontinuity amplitude
withrespect
tobackground
and orientation of the initialdiscontinuity
surface. There is oneharmless, although interesting,
case, in which all three cones(24 a, b, c)
arenormal-hyper-..
bolic and inside the
light
cone(24 d) ;
here one has toexpect (locally,
so that
non-linearity plays
not muchrôle) phenomena
like incrystal optics.
In other cases onegets
violation ofcausality
or nopropagation
at all for some
polarizations, etc., depending
on thesignature (elliptic, ultra-hyperbolic)
of the conesand,
in thenormal-hyperbolic
case, theirposition
relative to thelight
cone.More
appropriate
than tostudy
all thesepossibilities
in detail it would be in ouropinion
to exclude all of themby simply rejecting
the PPas
general principle.
In cases of connections with torsion(2)
this means.that one should
always require
the connection to be metric andapply
the PP
only
with this constraint.5. ON THE CHOICE OF LAGRANGIANS
From the results of the
previous
sections as well as from the work ofWeyl
on the Einstein-Dirac fields it is seen that ingeneral g-variation
and PP will be
inequivalent.
Onemight,
of course,object
that the(z) Connections with torsion recently received some interest, in particular by
Trautman and his co-workers [15J.
ANNALES DE L’INSTITUT HENRI POINCARÉ
130 A. A. EL-KHOLY, R. U. SEXL AND H. K. URBANTKE
Lagrangian
of aphysical system
is not "general ",
and that for allcorrectly
chosenphysical Lagrangians
one wouldget equivalence
orat least not nonsensical features. As an
example,
therequirement
forthe vector field to carry pure
spin
1 would force us to use theLagrangian
for the Proca or Maxwell
field,
where the affinitiesdrop
out when writtenocovariantly
in flat space, so thatg-variation
and PP are indeedequivalent
in this case.
However,
the correctLagrangian
of the real world has notyet
been found. What one cantry
is to makegeneral
statements about thetypes
ofLagrangians
where one willget equivalence,
and where not.One can
classify
theLagrangians
which are used inphysics according
to the
symmetry
groupsinvolved;
but we do not know allsymmetry
groups[16].
For theories with gauge groups one can make ageneral
statement : for
generalized Yang-Mills
fields(or compensation
fieldsin
Utiyama’s
sense[8]) interacting only
withgravitation,
PP andg-varia-
tion are
équivalent.
This is so, because theYang-Mills Lagrangians
.are
(space-time
andinternal)
scalars constructed from the internal .curvature tensor which does not involve thespace-time affinity.
With these
general
remarks inmind,
we turn to aspinorial
versionof the PP which was discussed
by
Jamiolkowski[17].
Here the metric is defined with thehelp
of the contravariant Pauli matricesi. e. an
object transforming
as a contravariant vector under coordinate transformations and as a contravariant Hermitiandensity
underspinor
transformations
(see [17]
for alldetails).
Covariant Pauli matrices aredefined
by
From
these,
the real(symmetric)
metric tensor is defined asbeing
thespinor
metric. Anotherobject
defined from thesequantities
is the
spin
tensorsatisfying
The tensorial and
spinorial
affinities(x)
=fi km (X), (X)
are introduced
independently
from each other and from theThey
VOLUME A-XVIII - 1973 - NO 2
PALATINI METHOD 0F VARIATION 131
describe how the
operator
of covariantdifferentiation, 7/,
acts on tensors andspinors.
The tensorial andspinorial
curvature tensors are construc- ted from them in the usual way :The relation between metric and affine structure is now to be obtained
"
dynamically
" from a variationprinciple.
Jamiolkowski first considered theLagrange density
but found that upon variation with
respect
tor,
one doesnot obtain
enough independent equations
to calculaterAn/. Trying
to overcome this
difficulty,
he introduced an additionalantisymmetric, purely imaginary
tensor field for which he added the termsto the above
Lagrangian.
From theresulting
variationalequations
onedérives
and - satisfies the full Maxwell vacuum
equations,
which enablesone to
identify
it with theelectromagnetic
field.There are now two
objections
to be made :(a)
Thesystem
of variationaléquations
is still notenough
tocompletely
determine due to theassumption
that ispurely imaginary.
Thelatter, however,
is essential in order to havesatisfying
Maxwell’sequations. (b)
The introduction of a new field to obtain the relation betweenalready existing
fields islogically unsatisfactory. Enough
relations of this kind should exist in the absence of thisfield,
and it should even beexpected
that the newfield will alter them in some cases.
These
objections
and difficulties can be overcome. Instead ofone
simply
takes which is constructed from thealready existing
structures, and adds instead of
(32)
anUtiyama type
termANNALES DE L’INSTITUT HENRI POINCARÉ
132 A. A. EL-KHOLY, R. U. SEXL AND H. K. URBANTKE
The variations
From
(35 a)
one concludesFrom
(36 a)
and(35 b)
onegets,
similar to[17] :
From thèse
equations
one canconclude, by arguments
similar tocorresponding
calculations in[18]
that can be madepurely imaginary,
thequantity
satisfying
and, by (35 c),
(38), (39)
show thatFjm
can be identified with theelectromagnetic
field. As
BNNjm
isgeometric
incharacter,
we have thus obtained akind of " unification "
([18] ;
note that was not assumed to bepurely imaginary
from thebeginning,
so that(36 b)
areenough equations
todetermine the
APPENDIX
It is our purpose here to solve
equation (15)
for in terms ofAj,
gi~and their derivatives. We introduce the tensor
VOLUME A-XVIII - 1973 - NO 2
133
PALATINI METHOD OF VARIATION
and rewrite
(15)
as{the équivalence
with(15)
becomes immédiate if a coordinatesystem
is used wherethe l vanish at the point
under considération]. (A. 2)
can be contracted in two ways : first
put i
= l and sum, to obtainwhere
then contract with gik to
get
(A. 3, 5)
are now substituted back into(A. 2). Lowering
all free indiceswe have
By taking cyclic permutations
of(ikl), adding
two of theresulting équations
andsubstracting
the third one, thefollowing
formal solution forBlik
results :This does not
yet give
the because thesequantities
appear alsoon the
right
hand side in theexpressions
we haveNow we
try
to calculateAi,k
and then obtainBlik
from(A. 7).
Firstwe write
ANNALES DE L’INSTITUT HENRI POINCARÉ
134 A. A. EL-KHOLY, R. U. SEXL AND H. K. URBENTKE
where
A(,./,)
isimplicitly
defined if(A. 7)
is used :where
(A. 9, 10)
lead to thefollowing
stillimplicit expression
forTransvecting (A.12)
with we obtain two linear scalarequations
for the unknown scalars AI AejAm.1JI which;appear
onthe
right
hand side of(A. 12).
Their solution iswhere the abbreviations
(17)
have been used.Transvecting (A .12)
with Akonly,
weget
anéquation
for C; whosesolution is
Insertion of
(A. 13, 14)
into(A. 12) gives
the desiredexplicit expression forA,./,:
:whose further insertion into
(A. 7) gives Bi;,
inexplicit form,
i. e.(16).
Thus the relation
(A.l)
betweenthe " dynamical "
connection and theChristoffel
connection is determined.VOLUME A-XVIII - 1973 - N° 2
135
PALATINI METHOD OF VARIATION
The terms in the field
equation (14)
which contain second derivatives after the substitution of(A. 15)
become(18),
with the coefficientsgiven by
1] A. EINSTEIN, Sitz. Ber. d. Preuss. Akad. Phys. Math. Kl., 1915, p. 844 et 1916, p. 1111.
[2] A. PALATINI, R. C. Circ. Mat. Palermo, vol. 43, 1919, p. 203.
[3] A. EINSTEIN, Sitz. Ber. d. Preuss. Akad. Phys. Math. Kl., 1925, p. 414.
[4] E. SCHRÖDINGER, Space-Time Structure, Cambridge, 1950.
[5] W. PAULI, The Theory of Relativity, Pergamon, 1958.
[6] H. WEYL, Phys. Rev., vol. 77, 1950, p. 699.
[7] G. STEPHENSON, Nuovo Cimento, vol. 9, 1958, p. 263.
[8] R. UTIYAMA, Phys. Rev., vol. 101, 1956, p. 1597.
[9] J. L. ANDERSON, Principles of Relativity Physics, Academic Press, 1967.
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(Manuscrit reçu le 8 décembre 1972.)
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