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This page intentionally left blank
 QUANTUM STATISTICAL MECHANICS

Many-body theory stands at the foundation of modern quantum statistical mechan-

ics. It is introduced here to graduate students in physics, chemistry, engineering
and biology. The book provides a contemporary understanding of irreversibil-
ity, particularly in quantum systems. It explains entropy production in quantum
kinetic theory and in the master equation formulation of non-equilibrium statistical
mechanics.
The first half of the book focuses on the foundations of non-equilibrium statisti-
cal mechanics with emphasis on quantum mechanics. The second half of the book
contains alternative views of quantum statistical mechanics, and topics of current
interest for advanced graduate level study and research.
Uniquely among textbooks on modern quantum statistical mechanics, this work
contains a discussion of the fundamental Gleason theorem, presents quantum
entanglements in application to quantum computation and the difficulties arising
from decoherence, and derives the relativistic generalization of the Boltzmann
equation. Applications of statistical mechanics to reservoir ballistic transport are
developed.

W I L L I A M C. S C H I E V E is Professor Emeritus in the Physics Department and

Center for Complex Quantum Systems at the University of Texas, Austin. His
research interests lie in non-equilibrium statistical mechanics and its applications
to areas such as quantum optics, relativistic statistical mechanics, dynamical mod-
els in biophysics, and chaos theory.
L A W R E N C E P. H O R W I T Z is Professor of Physics Emeritus in the School of
Physics at Tel Aviv University. He is also Professor of Physics at Bar Ilan Univer-
sity, and Research Director in Theoretical Physics at Ariel University. His research
interests lie in the theory of unstable systems, foundations of quantum theory,
quantum field theory, particle physics, relativistic mechanics and general relativity,
quantum and classical dynamical systems, and chaos theory.
QUANTUM STATISTICAL MECHANICS
Perspectives

Professor Emeritus WILLIAM C. SCHIEVE

Physics Department, University of Texas at Austin, Texas
Center for Complex Quantum Systems

Professor Emeritus LAWRENCE P. HORWITZ

School of Physics Tel Aviv University Ramat Aviv, Israel
Department of Physics Bar Ilan University Ramat Gan, Israel
CAMBRIDGE UNIVERSITY PRESS
Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo

Cambridge University Press

The Edinburgh Building, Cambridge CB2 8RU, UK
Published in the United States of America by Cambridge University Press, New York

www.cambridge.org
Information on this title: www.cambridge.org/9780521841467
© W. Schieve and L. Horwitz 2009

This publication is in copyright. Subject to statutory exception and to the

provision of relevant collective licensing agreements, no reproduction of any part
may take place without the written permission of Cambridge University Press.
First published in print format 2009

ISBN-13 978-0-511-50698-7 eBook (EBL)

ISBN-13 978-0-521-84146-7 hardback

Cambridge University Press has no responsibility for the persistence or accuracy

of urls for external or third-party internet websites referred to in this publication,
and does not guarantee that any content on such websites is, or will remain,
accurate or appropriate.
 Contents

Preface page xi
1 Foundations of quantum statistical mechanics 1
1.1 The density operator and probability 1
1.2 The Gleason theorem and consequences 6
1.3 Calculation of averages of observables 9
Appendix 1A: Gleason theorem 12
References 18
2 Elementary examples 19
2.1 Introduction 19
2.2 Harmonic oscillator 19
2.3 Spin one-half and two-level atoms 27
Appendix 2A: the Fokker–Planck equation 34
References 35
3 Quantum statistical master equation 37
3.1 Reduced observables 37
3.2 The Pauli equation 39
3.3 The weak coupling master equation for open systems 42
3.4 Pauli equation: time scaling 46
3.5 Reservoir states: rigorous results and models 53
3.6 The completely positive evolution 54
Appendix 3A: Chapman–Kolmogorov master equation 57
References 59
4 Quantum kinetic equations 61
4.1 Introduction 61
4.2 Reduced density matrices and the B.B.G.Y.K. hierarchy 61
4.3 Derivation of the quantum Boltzmann equation 63
4.4 Phase space quantum Boltzmann equation 66
4.5 Memory of initial correlations 76

v
vi Contents

4.6 Quantum Vlasov equation 79

Appendix 4A: phase space distribution functions 80
References 83
5 Quantum irreversibility 85
5.1 Quantum reversibility 85
5.2 Master equations and irreversibility 87
5.3 Time irreversibility of the generalized master and Pauli equations 87
5.4 Irreversibility of the quantum operator Boltzmann equation 89
5.5 Reversibility of the quantum Vlasov equation 90
5.6 Completely positive dynamical semigroup: a model 92
Appendix 5A: the quantum time reversal operator 94
References 96
6 Entropy and dissipation: the microscopic theory 98
6.1 Introduction 98
6.2 Macroscopic non-equilibrium thermodynamics 98
6.3 Dissipation and the quantum Boltzmann equation 105
6.4 Negative probability and the quantum H theorem 111
6.5 Entropy and master equations 113
Appendix 6A: quantum recurrence 120
References 121
7 Global equilibrium: thermostatics and the microcanonical
ensemble 123
7.1 Boltzmann’s thermostatic entropy 124
7.2 Thermostatics 125
7.3 Canonical and grand canonical distribution of Gibbs 126
7.4 Equilibrium fluctuations 129
7.5 Negative probability in equilibrium 131
7.6 Non-interacting fermions and bosons 132
7.7 Equilibrium limit theorems 136
References 139
8 Bose–Einstein ideal gas condensation 141
8.1 Introduction 141
8.2 Continuum box model of condensation 142
8.3 Harmonic oscillator trap and condensation 145
8.4 4
He: the λ transition 148
8.5 Fluctuations: comparison of the grand canonical and canonical
ensemble 150
8.6 A master equation view of Bose condensation 152
Appendix 8A: exact treatment of condensate traps 155
References 158
 Contents vii

9 Scaling, renormalization and the Ising model 159

9.1 Introduction 159
9.2 Mean field theory and critical indices 160
9.3 Scaling 167
9.4 Renormalization 169
9.5 Renormalization and scaling 172
9.6 Two-dimensional Ising model renormalization 174
References 177
10 Relativistic covariant statistical mechanics of many particles 178
10.1 Introduction 178
10.2 Quantum many-particle dynamics: the event picture 180
10.3 Two-event Boltzmann equation 183
10.4 Some results of the quantum event Boltzmann
equation 187
10.5 Relativistic quantum equilibrium event ensembles 191
References 197
11 Quantum optics and damping 199
11.1 Introduction 199
11.2 Atomic damping: atomic master equation 199
11.3 Cavity damping: the micromaser: detection 206
11.4 Detection master equation for the cavity field 207
Appendix 11A: the field quantization and interaction 214
References 219
12 Entanglements 221
12.1 Introduction 221
12.2 Entanglements: foundations 221
12.3 Entanglements: Q bits 224
12.4 Entanglement consequences: quantum teleportation, the Bob
and Alice story 226
12.5 Entanglement consequences: dense coding 228
12.6 Entanglement consequences: quantum computation 228
12.7 Decoherence: entanglement destruction 231
12.8 Decoherence correction (error correction) 235
Appendix 12A: entanglement and the Schmidt decomposition 236
References 238
13 Quantum measurement and irreversibility 240
13.1 Introduction 240
13.2 Ideal quantum measurement 241
13.3 Irreversibility: measurement master equations 243
13.4 An open system master equation model for measurement 246
viii Contents

13.5 Stochastic energy based collapse 248

References 251
14 Quantum Langevin equation and quantum Brownian motion 253
14.1 Introduction 253
14.2 Quantum Langevin equation 254
14.3 Quantum Langevin equation with measurement 260
References 262
15 Linear response: fluctuation and dissipation theorems 264
15.1 Introduction 264
15.2 Quantum linear response in the steady state 266
15.3 Linear response, time dependent 269
15.4 Fluctuation and dissipative theorems 272
15.5 Comments and comparisons 277
References 279
16 Time-dependent quantum Green’s functions 281
16.1 Introduction 281
16.2 One- and two-time quantum Green’s functions and
their properties 282
16.3 Analytic properties of Green’s functions 284
16.4 Connection to linear response theory 288
16.5 Green’s function hierarchy truncation 289
16.6 Keldysh time-loop path perturbation theory 297
References 302
17 Decay scattering 303
17.1 Basic notions and the Wigner–Weisskopf theory 303
17.2 Wigner–Weisskopf method: pole approximation 306
17.3 Wigner–Weisskopf method and Lee–Friedrichs model
with a single channel 312
17.4 Wigner–Weisskopf and multichannel decay 318
17.5 Wigner–Weisskopf method with many-channel decay:
the Lee–Friedrichs model 321
17.6 Gel’fand triple 332
17.7 Lax–Phillips theory 335
17.8 Application to the Stark model 354
References 362
18 Quantum statistical mechanics, extended 365
18.1 Intrinsic theory of irreversibility 365
18.2 Complex Liouvillian eigenvalue method: introduction 366
18.3 Operators and states with diagonal singularity 367
18.4 Super operators and time evolution 369
 Contents ix

18.5 Subdynamics and analytic continuation 371

18.6 The Pauli equation revisited 375
References 378
19 Quantum transport with tunneling and reservoir ballistic transport 379
19.1 Introduction 379
19.2 Pauli equation and boundary interaction 380
19.3 Ballistic transport 383
19.4 Green’s function closed-time path theory to transport 385
References 389
20 Black hole thermodynamics 390
20.1 Introduction to black holes 390
20.2 Equilibrium thermodynamic analogies: the first law 394
20.3 The second law of thermodynamics and black holes 397
20.4 Extended entropy principle for black holes 399
20.5 Acausal evolution: extended irreversible dynamics
in black holes 401
References 402
A Problems 404
A.1 Comments on the problems 404
A.2 “Foundations” problems 404
A.3 Kinetic dynamics problems 407
A.4 Equilibrium and phase transition problems 409
References 410
Index 411
 Preface

This book had its origin in a graduate course in statistical mechanics given by
Professor W. C. Schieve in the Ilya Prigogine Center for Statistical Mechanics at
the University of Texas in Austin.
The emphasis is quantum non-equilibrium statistical mechanics, which makes
the content rather unique and advanced in comparison to other texts. This was
motivated by work taking place at the Austin Center, particularly the interaction
with Radu Balescu of the Free University of Brussels (where Professor Schieve
spent a good deal of time on various occasions). Two Ph.D. candidate theses at
Austin, those of Kenneth Hawker and John Middleton, are basic to Chapters 3
and 4, where the master equations and quantum kinetic equations are discussed.
The theme there is the dominant and fundamental one of quantum irreversibil-
ity. The particular emphasis throughout this book is that of open systems, i.e.
quantum systems in interaction with reservoirs and not isolated. A particularly
influential work is the book of Professor A. McLennan of Lehigh University,
under whose influence Professor Schieve first learned non-equilibrium statistical
mechanics.
An account of relatively recent developments, based on the addition in the
Schrödinger equation of stochastic fluctuations of the wave function, is given in
Chapter 13. These methods have been developed to account for the collapse of the
wave function in the process of measurement, but they are deeply connected as
well with models for irreversible evolution.
The first six chapters of the present work set forth the theme of our book, par-
ticularly extending the entropy principle that was first introduced by Boltzmann,
classically. These, with equilibrium quantum applications (Chapters 7, 8, 9 and
possibly also Chapters 14 and 15), represent a one-semester advanced course on
the subject.

xi
xii Preface

As frequently pointed out in the text, quantum mechanics introduces special

problems to statistical mechanics. Even in Chapter 1, written by the coauthor of this
work, Professor Lawrence P. Horwitz of Tel Aviv, the idea of a density operator is
required which is not a probability distribution, as in the classical case. The idea of
the density operator lies at the very foundations of the quantum theory, providing
a description of a quantum state in the most general way. Statistical mechanics
requires this full generality. We give a proof of the Gleason theorem, stating that
in a Hilbert space of three or more real dimensions, a general quantum state has a
representation as a density operator, based on an elegant construction of C. Piron.
This structure gives the quantum H theorem, a content which is essentially different
from the classical one. This makes the subject surely interesting and important, but
difficult.
Quantum entanglements are quite like magic, so to speak. It is necessary and
important to see these modern developments; they are described in Chapter 15.
This is one chapter that might be used in the extension of the course to a second
semester. One- and two-time Green’s functions, introduced by Kadanoff and Baym,
might be included in the extended treatment, since they are popular but difficult.
This is included in Chapter 16 with an application in Chapter 19.
An extension to special relativity is described in Chapter 10. This is a new deriva-
tion of a many-body covariant kinetic theory. The Boltzmann-like kinetic equation
outlined here was derived in collaboration by the authors. The covariant picture is
an event dynamics controlled by an abstract time variable first introduced by both
Feynman and Stueckelberg and obtains a covariant scalar many-body wave func-
tion parameterized by the new time variable. The results of this event picture are
outlined in Chapter 10.
Another arena of activity utilizing quantum kinetic equations for open systems
is the extensive development in quantum optics. This has been a personal interest
of one of the authors (WCS). This interest was a result of a Humboldt Founda-
tion grant to the Max Planck Institute in Munich and later to Ulm, under the
direction of Professors Herbert Walther, Marlon Scully and Wolfgang Schleich.
The particular area of interest is described in the results outlined in Chapter 11.
This material can be included as an introduction to quantum optics in an extended
two-semester course.
The idea of spontaneous decay in a quantum system goes back to Gamov
in quantum mechanics. This irreversible process seems intrinsic, introducing the
notion of the Gel’fand triplet and rigged Hilbert spaces states. The coauthor (LPH)
has made personal contributions to this fundamental change in the wave function
picture. It is very appropriate to include an extensive discussion of this, which is
the content of Chapter 17, describing, among other things, the Wigner–Weisskopf
method and the Lax–Phillips approach to enlarging the scope of quantum wave
 Preface xiii

functions. All of this requires a more advanced mathematical approach than the
earlier discussions in this book. However, it is necessary that a well-grounded
student of quantum mechanics know these things, as well as acquire the mathe-
matical tools, and therefore it is very appropriate here in a discussion of quantum
statistical mechanics.
Chapter 18 is in many ways an extension of Chapter 17. It is an outline of what
has been called extended statistical mechanics. Ilya Prigogine and his colleagues
in Brussels and Austin, in the past few years, have attempted to formulate many-
body dynamics which is intrinsically irreversible. In the classical case this may
be termed the complex Liouville eigenvalue method. As an example, the Pauli
equation is derived again by these nonperturbative methods. This is not an open-
system dynamics but rather, like the previous Chapter 17 discussion, one of closed
isolated dynamics. This effort is not finished, and the interested student may look
upon this as an introductory challenge.
The final chapter of this book is in many ways a diversion, a topic for personal
pleasure. The remarkable objects of our universe known as black holes apparently
exist in abundance. These super macroscopic objects obey a simple equilibrium
thermodynamics, as first pointed out by Bekenstein and Hawking. Remarkably,
the area of a black hole has a similarity to thermodynamic entropy. More remark-
able, the S-matrix quantum field theoretic calculation of Hawking showed that the
baryon emission of a black hole follows a Planck formula. Hawking introduced a
superscattering operator which is analogous to the extended dynamical theory of
Chapter 18.
To complete these comments, we would like to thank Florence Schieve for sup-
port and encouragement over these last years of effort on this work. She not only
gave passive help but also typed into the computer several drafts of the book as well
as communicating with the coauthor and the editorial staff of the publisher. The
second coauthor wishes also to thank his wife Ruth for her patience, understanding,
and support during the writing of some difficult chapters.
We also acknowledge the help of Annie Harding of the Center here in Austin.
Three colleagues at the University of Texas—Tomio Petrosky, George Sudarshan
and Arno Bohm—also made valuable technical comments. WCS also thanks the
graduate students who, over many years of graduate classes, made enlightened
comments on early manuscripts.
We recognize the singular role of Ilya Prigogine in creating an environment in
Brussels and Austin in which the study of non-equilibrium statistical mechanics
was our primary goal and enthusiasm.
Finally, WCS thanks the Alexander von Humboldt Foundation for making pos-
sible extended visits to the Max Planck Institute of Quantum Optics in Garching
and later in Ulm. LPH thanks the Center for Statistical Mechanics and Complex
xiv Preface

Systems at the University of Texas at Austin for making possible many visits over
the years that formed the basis for his collaboration with Professor Schieve, and the
Institute for Advanced Study at Princeton, particularly Professor Stephen L. Adler,
for hospitality during a series of visits in which, among other things, he learned of
the theory of stochastic evolution, and which brought him into proximity with the
University of Texas at Austin.
 1
Foundations of quantum statistical mechanics

1.1 The density operator and probability

Statistical mechanics is concerned with the construction of methods for computing
the expected value of observables important for characterizing the properties of
physical systems, generally containing many degrees of freedom. Starting with a
formally complete detailed description for these many degrees of freedom, proba-
bility theory is used to obtain effective procedures. Quantum statistical mechanics
makes use of two types of probability theory. One of these is the set of natural
probabilities associated with the quantum theory which emerges from its structure
as a Hilbert space. For example, the Born probability is associated with the square
of a wave function. The second is the essentially classical probability associated
with an ensemble of separate systems, each with an a priori probability assigned
by the frequency of occurrence in the ensemble. The quantity which describes both
types of probability in an efficient, convenient way is the density operator.
As an example which illustrates many of the basic ideas, consider a beam of
particles with spin 12 . We shall repeat the resulting definitions later in complete
generality.
The spin states of these particles are represented by two-dimensional spinors
which we denote by the Dirac kets |σ z  for σ z = ±1, corresponding to the z
component of the spin σ of the particle. If we perform a filtering measurement to
select a particle of spin σ  with spin σ z = ±1 in the z direction, the outcome of the
measurement on a beam of particles with spin σ z is
  
 σ | σ z 2 = δ σ  ,σ .
z z z

This result can be written as

    
 σ | σ z 2 = TrPz σ  Pz (σ ) ,
z

1
2 Foundations of quantum statistical mechanics

where the projection operator Pz (σ ) = |σ z  σ z | represents the state of the

beam of particles
 with spin σ of definite value σ z , and the projection opera-
tor Pz σ represents the experimental question of which value, ±1, this set of
particles has.
If we measure instead a different component of spin and, for example, ask for the
fraction of particles in the ensemble with spin in the ±x direction, the measurement
is represented by a projection operator Px (σ ) = |σ x  σ x |, with σ x = ±1. In terms
of the eigenvectors of σ z ,
1
|σ x = ±1 = √ (|+1 ± |−1) .
2
It is true (for any of the values of σ x and σ z ) that
1
|σ x | σ z |2 = .
2
We can write this result as
|σ x | σ z |2 = Tr (Px (σ ) Pz (σ )) .

Let us now consider a beam of spin 12 particles

 with a fraction γ + with spin up
and γ − with spin down in the z direction γ + + γ − = 1 . The probability to find
spin up as the outcome of the experiment is
 2   2
P+ =  σ z = +1 | σ z = +1  γ + +  σ z = +1 | σ z = −1  γ −
= γ +,
since the second term vanishes. If γ + = 12 , the result is indistinguishable from the
probability to find a spin ± 12 in the x direction in a beam of particles with definite
spin in the z direction.
We can write the result of the second example as
       
P+ = γ + Tr P σ z = +1 P (σ z = +1) + γ − Tr P σ z = +1 P (σ z = −1)
  
= Tr ρ P σ z = +1
for
ρ ≡ γ + P (σ z = +1) + γ − P (σ z = −1) .
The operator ρ is called the density operator, representing a state consisting of a
mixture of components with spin up and spin down in the ensemble of possibilities.
We see that, with a slight generalization of the procedure used above with ρ z → ρ 0 ,
no matter what direction 0 we test in the experiment, the outcome P0 (a linear
combination of γ + , γ − with coefficients less than unity) can never reach unity if
γ + or γ − is not unity. In the first example, where we have a beam with definite
 1.1 The density operator and probability 3

σ z , the state is represented by a vector, and the measurement of the spin in the z-
direction can yield probability one. For a general choice of γ ± , there is no vector
that can represent the state. In the first case the state is called pure, and it can
be represented by a projection into a one-dimensional subspace (in the previous
example, Pσ z = |σ z  σ z |). This is equivalent to specifying the vector, up to a
phase, corresponding to the one-dimensional subspace. In the second case, it is
called mixed and does not correspond to a vector in the Hilbert space.
It is clear from the discussion of these examples that the a priori probabilities γ ±
are essentially classical, reflecting the composition of the beam that was prepared
in the macroscopic laboratory.
Although a density operator ρ of the type that we have defined in this exam-
ple appears to be a somewhat artificial construction, it is actually a fundamental
structure in quantum statistical mechanics (Dirac, 1958). It enables one to study a
complex system in the framework of an ensemble and in fact occurs on the most
fundamental level of the axioms of the quantum theory.
It was shown by Birkhoff and von Neumann (1936) that both quantum mechan-
ics and classical mechanics can be formulated as the description of a set of
questions for which the answer, as a result of experiment, is “yes” or “no.” Such a
set, which includes the empty set φ (questions that are absurd, e.g. the statement
that the system does not exist) and the trivial set I (the set of all sets, e.g. the state-
ment that the system exists), and is closed with respect to intersections and unions,
is called a lattice. A lattice that satisfies the distributive law
a ∩ (b ∪ c) = (a ∩ b) ∪ (a ∩ c) ,
where ∪ represents the union and ∩ the intersection, is called Boolean. These oper-
ations have the physical meaning of “or” (the symbol ∪), in which one or the other
of the propositions is true, and “and” (the symbol ∩), for which both must be true
for the answer of the compound measurement to be “yes.” An example of such a
lattice may be constructed in terms of two-dimensional closed regions on a piece
of paper. This is discussed again in the appendix to this chapter.
Both classical and quantum theories may be associated with lattices in terms,
respectively, of the occupancy of cells in phase space or states in the subspaces of
the Hilbert space. The questions a correspond, in the first case, to the phase space
cells (with answer corresponding to occupancy) and in the second to the projec-
tion operators Pα associated with a subspace Mα , with the answer corresponding
to the values ±1 which a projection operator can have. These values correspond
to evaluating the projection operator on vectors which lie within or outside the
subspace.
Birkhoff and von Neumann asserted that the fundamental difference between
classical and quantum mechanics is that the lattices corresponding to classical
4 Foundations of quantum statistical mechanics

mechanics are Boolean, and those corresponding to quantum mechanics are not.
The non-Boolean structure of the quantum lattice is associated with the lack of
commutativity of the projection operators associated with different subspaces:

a ∩ (b ∪ c) = (a ∩ b) ∪ (a ∩ c) . (1.1)

This is a fundamental difference between classical and quantum statistics.

Let us illustrate this point by a simple example, again using the spin 12 system.
Each of the Pauli spin matrices has eigenvalues ±1 and is therefore associated with
a set of projection operators of the form
1
Pi = (1 ± σ i )
2
for i = x, y, z. Let us consider three closed linear subspaces associated with the
projections into the subspaces with the σ i positive, i.e. with the Pi defined as above
with positive signs. We call these subspaces Mx , M y , Mz ; they correspond to
propositions which are not compatible, i.e. the corresponding projection operators
do not commute. We shall show explicitly, for this simple example, that
   
Mz ∩ Mx ∪ M y = (Mz ∩ Mx ) ∪ Mz ∩ M y ,

that is, this set of propositions is not Boolean. The construction is interesting in
that it illustrates the special structure of the topology of Hilbert spaces as well as
the notion of the non-Boolean lattice.
We start by constructing the union of the manifolds Mx and M y by their joint
linear span. Taking the standard definition of the Pauli matrices,
     
0 1 0 −i 1 0
σx = , σy = , σz = ,
1 0 i 0 0 −1
the projection operators into the subspaces with positive eigenvalues are
 
1 1 1 1
Px = (1 + σ x ) =
2 2 1 1
 
1  1 1 −i
Py = 1+σy =
2 2 i 1
 
1 1 1 0
Pz = (1 + σ z ) = .
2 2 0 0
The corresponding eigenvectors are given by projecting a generic vector v into the
respective subspaces. For
 
v
v= 1 ,
v2
 1.1 The density operator and probability 5

using the result just given,

 
1 1
Px v = (v1 + v2 ) ,
2 1
so that Mx is represented by the linear span of the normalized eigenvector:
 
1 1
vx = √ .
2 1
Similarly,
 
1 1
Py v = (v1 − iv2 ) ,
2 i
so that the corresponding (normalized) eigenvector is
 
1 1
vy = √ .
2 i
Finally,
 
1
Pz v = v1 ,
0
so the corresponding eigenvector is
 
1
vz = .
0

The union of the subspaces Mx and M y is the closed linear span of vectors in both
subspaces. By taking the combination vx + iv y , it is easy to see that the vector vz
(and hence the subspace Mz ) is contained in Mx ∪ M y . To construct the distributed
operation
 
(Mz ∩ Mx ) ∪ Mz ∩ M y ,

we must use the construction for which the projection operator corresponding to
the intersection of two noncompatible subspaces is generated by an alternating
succession of projections into the two subspaces (Jauch, 1968). The products Pz Px
and Pz Py are, it so happens, idempotents up to coefficients less than one, i.e.
 
1 1 1
Pz Px =
2 0 0
 
1 1 1
(Pz Px ) =
2
4 0 0
6 Foundations of quantum statistical mechanics

and
 
1 1 −i
Pz Py =
2 0 0
 
 2 1 1 −i
Pz Py = ,
4 0 0

 n
which implies that both (Pz Px )n and Pz Py go to zero as n → ∞. Therefore,

Mz ∩ Mx = Mz ∩ M y = 0.

Clearly,
   
Mz ∩ Mx ∪ M y = (Mz ∩ Mx ) ∪ Mz ∩ M y .

Although Pz Px and Pz Py are not zero (the two corresponding vectors are not
orthogonal), the closed subspace that is common is empty. One can think of this
geometrically in terms of two lines that have some projection on the other, but
the intersection of the two lines is just a point of zero measure. Physically, this
implies that we cannot have a definite statement of the joint values of σ z and σ x or
σ y . The noncommutativity of the associated projections is essential; if they were
commutative, the product of projections would be a projection, and the products
would not converge to zero. It is clear from this example that compatible subspaces
would satisfy Boolean distributivity.
We shall later discuss the Wigner function, which appears to provide joint distri-
butions over noncommutative variables such as q and p; however, these functions
are not probabilities, since, although they are the coefficients of what might be
called the Weyl basis for the operator algebra of the quantum theory which appear
in expectation values, they are not positive (Wigner, 1936).

1.2 The Gleason theorem and consequences

The axioms of quantum mechanics are implicitly developed in the fundamental
work of Dirac (1958). Let us focus here on probability. Given Pi (i = 1, ...), a
sequence of projections Pi Pk = 0 for i = k, then the probability measure w

w : P → [0, 1]
 1.2 The Gleason theorem and consequences 7

satisfies

(a) ∪i w (Pi ) = w Pi (1.2)

i
(b) w (φ) = 0, w (I ) = 1
(φ is the zero projection)
(c) w (P) = w (F) = 1 → w (P ∩ F) = 1
Piron (1976) added another axiom, namely that partially ordered (by inclusion)
sets of the non-Boolean lattice of the quantum theory form Boolean sublattices,
and with this he was able to show a converse result, i.e. that such partially ordered
lattices can be embedded in a Hilbert space (or a family of Hilbert spaces if there
are superselection rules), thus inducing the full structure of the quantum theory.
Along with the sets of “yes-no” questions that form the basic elements a of
the quantum lattice, one may assume a function w (a) with values between zero
and unity, with the interpretation of a probability measure, which has the so-called
sigma additivity property
w (a ∪ b) = w (a) + w (b) (1.3)
when a and b have no intersection, i.e. a ∩ b = φ. This idea is consistent with the
notion of probability for the “yes” answer for a and b. Gleason (1957) showed that
for any Hilbert space of three or more real dimensions, there is a density operator,
self-adjoint and positive, ρ, such that
w (a) = Trρ Pa , (1.4)
where Pa is the projection operator into a subspace corresponding to the question
a. This existence theorem is one of the most powerful and important theorems
in the foundations of the statistical quantum theory. The function w (a) is called
a state, a notion completely consistent with Dirac’s definition of a state in the
quantum theory, i.e. for any a, this function provides the probability of its truth
and therefore corresponds to maximum knowledge.
The original proof of Gleason is rather long and involved, but Piron has given a
simple and elegant proof, which is given here in an appendix to this chapter for the
mature student.
The density operator (often called “density matrix”) has the properties
Trρ = 1 (1.5)
Trρ ≤ 1.
2

The first follows from the fact that the sum over all disjoint a of w (a) is the total
probability measure on the set of all questions (and the sum over all disjoint Pa is
8 Foundations of quantum statistical mechanics

the unit operator). The second follows from the first; all eigenvalues of ρ are real
and positive with values less than or equal to unity. With these properties, one can
prove that the spectrum of ρ must be completely discrete.
Mackey (1963) has given a converse theorem. If the function w (a) can reach the
value unity on a one-dimensional subspace of the Hilbert space, the corresponding
density operator is just a projection into this one-dimensional subspace and can
be put into correspondence (up to a phase) with the vector of the Hilbert space
generating this one-dimensional subspace. Such a state is called pure. A state which
cannot reach the value of unity on any one-dimensional subspace is called mixed.
The proof is very simple. Let P0 be the projection onto a one-dimensional sub-
space generated by the vector φ 0 , and let us use the representation, taking into
account the discrete spectrum of ρ,
  
ρ= γ i ψ i ψ i  . (1.6)
i
 
Here we use the Dirac ket ψ i to signify an element of the Hilbert space. Then if
Trρ P0 = 1, it follows that
Trρ (1 − P0 ) = 0,
or
     
γ i ψ i  (1 − P0 ) ψ i = Tr γ i (1 − P0 ) ψ i
2
Tr = 0,
i i

where χ  2 is defined as χ | χ , the norm of the vector |χ . Since the γ i are

positive, this implies that
 
(1 − P0 ) ψ i = 0
 
for all of the ψ i , i.e.,
   
ψ i = λi φ 0

for all i. Substituting into Eq. (1.6), we see that in this case we must have
  
ρ= γ i |λi |2 φ 0 φ 0  .
i
   
Furthermore, if the ψ i and φ 0 are normalized, |λi |2 = 1. Then, by Eq. (1.5) and
 
Eq. (1.6) (for the ψ i orthogonal), one sees that the sum of the γ i is unity; hence
  
ρ = φ 0 φ 0  ,
 
which is the projection operator into the subspace generated by φ 0 . This theorem
therefore identifies the pure states with vectors of the Hilbert space, and it is for this
reason that one often calls the vectors of the Hilbert space “states.” Every vector in
the Hilbert space corresponds to a pure state.
 1.3 Calculation of averages of observables 9

If w1 and w2 are two different states, then

w = λ1 w1 + λ2 w2
with λ1 + λ2 = 1 and with λ1 , λ2 positive also is a state; the set of states form a
convex set (Jauch, 1968). Such a state is called a mixture. A state which cannot be
represented in terms of two others is called pure; the pure states are the extremal
subset of a convex set. These definitions are, of course, consistent with Mackey’s
result.

1.3 Calculation of averages of observables

Let us now consider an observable represented by a self-adjoint operator A on the
Hilbert space with a spectrum of discrete eigenvalues ak . Such an operator can be
represented as a sum over projections into its eigenstates, i.e.
A= ak Pk , (1.7)
k
    
where, if Pk = φ k φ k  and the φ k form a normalized orthogonal set, we clearly
have
   
A φ k = ak φ k .
 
The expectation of this operator in some pure state represented by ψ i is then
       
ψ i  A ψ i = ak ψ i  Pk ψ i (1.8)
k
 2
= ak  ψ i | φ k  ,
k
 2
with the usual quantum interpretation that  ψ i | φ k  is the
 quantum mechani-

cal probability that a system in the state described by φ k is found in the state
ψ i . The weighting of the eigenvalues of A by this probability then gives the
 
expected value of this observable in the state described by ψ i . Suppose
 now that
we prepare a system which contains subsystems in the states ψ i according to the
a priori probability distribution γ i . This can
 be arranged by preparing a system
with the number of subsystems in each state ψ i proportional to the γ i . This is an
ensemble. We emphasize here that this step, as in our previous example, is entirely
classical. We build an ensemble of subsystems with a priori probabilities based on
their frequency of occurrence, a completely classical notion of probability, i.e. the
frequency interpretation.
The overall expectation of the value of the observable A is then given by the
sum over all of the expected values in each of the quantum states, with coefficients
10 Foundations of quantum statistical mechanics

equal to the classical probabilities of the occurrence of each quantum state in the
ensemble, i.e.
   
A = γ i ψ i  A ψ i .
i

This result is obtained directly by computing

A = Trρ A, (1.9)

where
  
ρ= γ i ψ , ψ i  . (1.10)
i

Viewing this in a slightly different way, we see that

A = ak Tr (ρ Pk ) , (1.11)
k

where
   
Tr (ρ Pk ) = γ i ψ i  Pk ψ i (1.12)
i
 2
= γ i  ψ i | φk 
i

is the probability of finding the system in the subspace associated with Pk . This
probability is composed of two types of expectation: the quantum probability to
find the Pk in each state ψ i , and the classical probability for the occurrence of the
state ψ i (determined by the relative number of subsystems in that state).
The results that we have given can easily be extended to the most general case
of an observable with both discrete and continuous spectra without change in the
formal structure, although as we shall see later, there are special technical aspects
that arise in the continuous case (for example, in scattering theory). To see this,
we use the spectral representation theory of von Neumann. It was shown by von
Neumann (1955) that every self-adjoint operator A, corresponding to a physical
observable, has a spectral representation of the form

A= a d E (a) , (1.13)

where a takes on a continuous set of values (the real line), and the self-adjoint set
of operators E (a) is called a “spectral family.” It satisfies the property

E (a) E (b) = E (min (a, b)) , (1.14)

 1.3 Calculation of averages of observables 11

with E (−∞) = 0 and E (∞) = I . It easily follows from these properties that

d E (a) , if a = b;
d E (a) d E (b) = (1.15)
0, otherwise
where a and b now refer to names given to infinitesimal intervals along the line
(i.e. for a small, d E (a) = E (a + a) − E (a)). The integral Eq. (1.13) is con-
sidered to be of Stieltjes–Lebesgue type, in the sense that if the weight function
ψ |d E (a)| ψ = d E (a) |ψ2 has a jump discontinuity at some point a0 , the
integral is evaluated as the difference between the values of E (a) |ψ2 above
and below the point a0 . If, in particular, d E (a) |ψ2 is zero in the neighbor-
hood of the point a0 (except at the point itself), so that the jump is isolated, one
obtains a contribution to any expectation value of A just from the point a = a0 (in
this neighborhood). The coefficient, since E (a)2 = E (a), is ψ| E (a0 + ε) −
E (a0 − ε) |ψ, where ε is infinitesimal. The operator E (a0 + ε) − E (a0 − ε)
may then be identified with one of the discrete projection operators appearing
in Eq. (1.7). Hence, the representation Eq. (1.11) includes both discrete and
continuous spectra. In Eq. (1.8) one then uses
      2
ψ i  A ψ i = ad E (a) ψ i ,

and Eq. (1.9) remains valid quite generally.

We now turn to time evolution, which is the central issue of this book. The
quantum states ψ i from which the density operator is constructed evolve under
Schrödinger evolution as
∂    
i h̄ ψ i = H ψ i . (1.16)
∂t
 for ρ of the form of Eq. (1.10), acting with the time derivative
It follows simply that
on both factors ψ i and ψ i , using Eq. (1.16) and its conjugate, we see that
dρ
= i h̄ (ρ H − H ρ) = i h̄ [ρ, H ] , (1.17)
dt
a time evolution similar to the evolution of a Heisenberg operator but with opposite
sign.
Eq. (1.17) forms the basis for the description of the dynamical evolution of
a system in statistical mechanics, the analog of the classical Liouville equation
(Tolman, 1938). Since the Schrödinger equation is reversible in time, this evolu-
tion is reversible (Farquahar, 1964). Under such an evolution, a pure state remains
pure, and a mixed state does not change its character (this follows from the fact that
the change in time of Trρ 2 , given by 2i h̄Tr(ρ [ρ, H ]), vanishes). We shall discuss
in later chapters evolution given by, for instance, master equations, the Pauli equa-
tion and the Lindblad equation, describing irreversible processes. Such equations
12 Foundations of quantum statistical mechanics

can describe the evolution of a density matrix for a pure state into a density matrix
corresponding to a mixed state. (For this more general evolution, Tr(ρ ρ̇) does not
vanish.)
Although, as we have previously emphasized, the density operator might appear
to be a somewhat artificial construction, combining both classical and quantum
probability notions to achieve an overall expectation value, it actually arises on
the most fundamental level of the quantum theory. Methods for the construc-
tion and study of this operator and its time evolution are the essential goal of
the techniques of statistical mechanics; the theory is constructed on this basic
foundation.
Good general references to the topics of this chapter are the books of Tolman
(1938), Dirac (1958), Farquahar (1964), Landau and Lifshitz (1970), Balescu
(1975), Dvurecenskij (1993), and Huang (1987). Extensive pertinent references
are given at the ends of later chapters.

Appendix 1A: Gleason theorem

The Gleason theorem (Gleason, 1957) is concerned with the calculation of the
probability w of obtaining the answer “yes” as a result of carrying out an exper-
iment which is an ideal measurement of the first kind on a system in some
given state. In working out the proof of this theorem, we shall follow closely the
presentation given by C. Piron (1976).
To study and prove the result, we shall need some definitions already implicit in
previous sections.
The logical propositions of the quantum theory correspond to equivalence
classes of questions {β} which are realized in terms of measurements. A ques-
tion β is called a measurement of the first kind if, every time the answer is
“yes,” the proposition b, corresponding to the equivalence class defined by {β},
is true immediately after the measurement. (Measurement will be taken up again
in Chapter 13.)
A question β is said to be ideal if every proposition b defined by such a β,
which is true beforehand, is again true afterwards when the response of the system
is “yes.”
We shall assume that the probability w is the same for every question β defining
the proposition b, for β (or β, its complement) is an ideal measurement of the
first kind. We may then denote this probability by w ( p, b), where p is the initial
state in which the experiment is carried out, and b is the proposition defined by the
equivalence class {β} .
The Gleason theorem applies to the construction of the function w in the
framework of a Hilbert space, on which the operators of the quantum theory are
 Appendix 1A: Gleason theorem 13

represented. The closed subspaces of a Hilbert space, with their associated projec-
tion operators, form a set subject to the operations of intersection and union, and
contain the empty set and the set of all subsets, i.e. a structure called a lattice, iso-
morphic to the lattice of propositions (Birkhoff and von Neumann, 1936; Birkhoff,
1961; Piron, 1976), as mentioned earlier. For an irreducible proposition system,
in which there is only one minimal proposition (no superselection rules), every
self-adjoint operator corresponds to an observable. Let P (H ) be such a Hilbert
realization.
We now state the Gleason theorem (Gleason, 1957) (see Piron, 1976, for the
general case of a family of Hilbert spaces, for which there is a nontrivial set of
minimal propositions):
Theorem: Given a propositional system L = P (H ), where H is a Hilbert space
(of dimension ≥ 3) over the reals, complex numbers or quaternions, there exists
a unique function w ( p, b) defined on the atoms p (corresponding to the one-
dimensional subspaces of H ) and the propositions b of L which satisfies (as in
Eq. (1.2) and Eq. (1.3))
(1) 0 ≤ w ( p, b) ≤ 1 (1A.1)
(2) p ⊂ b ⇔ w ( p, b) = 1
(3) b ⊥ c ⇒ w ( p, b) + w ( p, c) = w ( p, b ∪ c) .
We begin the proof by noting that there is a vector f p in H , associated with the
atom p, satisfying
  2
f p | f p = f p = 1.
Each proposition b in P (H ) can be represented by a projection operator Q into a
linear closed subspace of H . Then
 
w ( p, b) = f p |Q| f p
satisfies the conditions of the theorem.
Our principal task is then to show uniqueness. If there were another function
w ( p, b) satisfying these conditions, it would have to have a different value on
some pair p, b. For such functions, there would be another proposition q (an atom)
for which, in this case, w ( p, q) has a different value. However, if the function were
unique, the value would necessarily be the same. Such a q can be constructed as
follows. Note that
    
p ∪ b ∩ b ∪ p  ∩ b = b
and that, since p and p  are orthogonal,
  
p ∪ b ∩ b ⊥ p  ∩ b.
14 Foundations of quantum statistical mechanics
 
However, w p, p  ∩ b = 0, so
 
q = p ∪ b ∩ b (1A.2)
for an atom. The other function would, by construction, have a different  value
for w ( p, q). We choose the two vectors f p and f q in such a way that f p | f q
is real. We may then consider just three vectors associated with the atoms p, q,
i.e. f p , f q and a vector (real) orthogonal to these. The restriction of w ( p, b) to
the three-dimensional real Hilbert subspace generated by f p , f q and a third vector
orthogonal to these still satisfies the conditions of the theorem. To complete the
 the uniqueness of w in the case of the real three-
proof, it is then sufficient to prove
3
dimensional Hilbert space R . This construction, therefore, has the minimum
dimension necessary to carry out a proof of uniqueness.
To carry out the proof, let us assume p in w ( p, b) to be fixed. The lattice of
subspaces of R 3 is then the points and lines of the projective plane realized as the
intersection of R 3 with the tangent plane at p to the unit sphere. In the same way
as the complex plane is mapped onto the unit sphere including the point at infinity,
we are considering the plane as a (projective) representation of the sphere of unit
vectors in R 3 . (It may be helpful for the reader to draw his own diagrams for the
construction described here.)
We seek a unique function w(q), where we drop reference to p, now fixed,
defined at the points q of the plane which has the value 1 at p and 0 at the point(s)
at infinity.
If q lies on some arbitrary line L in the plane, then w (q) takes on a maximal
value at a point q0 where the line pq0 is perpendicular to the line L. This follows
from the fact that if q is a point on L, and q  is its orthogonal complement on
L , q ∪ q  on the line is just q0 . Hence, by (3) of Eq. (1A.1),
 
w (q) + w q  = w (q0 )
or w (q0 ) ≥ w (q) .
We now note that w (q) decreases along the line L . To see this, consider a point
at q and a line L q perpendicular to pq. Move along this line to q1 ; we know by the
foregoing argument that
w (q) ≥ w (q1 ) .
Now erect a line at q1 perpendicular to pq1 and move to a point on this new line, r.
Clearly,
w (q1 ) ≥ w (r ) .
Now put another line at this point r , and connect it back to L q at the point q2 . Since
w (r ) ≥ w (q2 )
 Appendix 1A: Gleason theorem 15

along L q , it follows that

w (q) ≥ w (q1 ) ≥ w (q2 ) , (1A.3)
forming a decreasing sequence.
We prove now the first lemma of four leading to the uniqueness of the func-
tion w ( p, q). The method we follow is to prove each lemma making some crucial
assumptions, and each succeeding lemma proves those assumptions. In the fourth
lemma the proof is complete.
Lemma 1: If the value of w ( p, q) depends only on the angle θ between the rays
p and q, then it is unique and given by
w (q) = cos2 θ . (1A.4)
To prove this lemma, we work as before in the plane tangent to R 3 at the point p
and erect another point q at a “distance” λ (corresponding to the square of the actual
distance), say, below p. We then erect another point q  at an equal distance λ from
p, labeling the midpoint of the line qq  by q1 . By the rules of ordinary geometry,
the line pq1 is orthogonal to the line qq  ; it is the closest point on that line to p. It
then follows from our previous arguments (q  is the orthogonal complement of q
on this line) that
 
w q  + w (q) = w (q1 ) .
But the angles q  q1 and q1 q are equal, and by the assumptions of our lemma, it
then follows that
2w (q) = w (q1 ) .
There is a line L q , perpendicular to pq at a point r , passing through q  , and a right
triangle that can be constructed from r to the apex q2 to q, with the line r pq as
hypotenuse. To satisfy Pythagoras’s theorem, we see that the distance pr is λ1 . pq2
is unity (this line is orthogonal to qp). The distance qq2 is 1 + λ, and the distance
rq2 is 1 + λ1 . Finally, q r is λ − λ1 . Now we denote the total length of q  q as 2y (this
line is bisected by q1 ). Again, by Pythagoras, the length of qr is 1 + λ + 1 + λ1 .
Adding this to q r , which is λ − λ1 , we find the simple result that 4y = 2 (1 + λ).
Finally, using the fact that pq has length (squared) λ, the length of pq1 , which we
call z, is
1 1
z = λ − y = λ − (1 + λ) = (λ − 1) .
2 2
We now rewrite the relation previously obtained, 2w (q) = w (q1 ), as
 
1
2w (λ) = w (λ − 1)
2
16 Foundations of quantum statistical mechanics

for λ > 1. Since by our construction, r ⊥ q,

 
1
w (λ) + w = w ( p) = 1,
λ
we have that
 
1
1 − w (λ) = w .
λ
If we now define
x = (1 + λ)−1 = cos2 θ,

the rest of the demonstration follows by simple algebra.

Since λ = x1 − 1, by defining
 
1−x
f (x) = w (λ) = w ,
x
one easily finds that
2 f (x) = f (2x) (1A.5)

for 0 ≤ x ≤ 1
2
(i.e. λ > 1), and for a second relation,

1 − f (x) = f (1 − x) . (1A.6)

To see this, set y = 2

= 2x; then, using the definition,
λ+1
   
1−y 1
f (y) = w =w (λ − 1) = 2w (λ) ,
y 2
it follows that f (y) = f (2x) = 2 f (x) .
The second relation follows from the fact that
   
x 1
f (1 − x) = w =w ,
1−x λ
so that 1 − f (x) = f (1 − x), for 0 ≤ x ≤ 1.
The identification f (x) = x with x = cos2 θ for some θ satisfies both these
relations and satisfies the statement of the lemma. To see that this solution is the
only solution which increases, we may expand both sides of the equation 2 f (x) =
f (2x) in Taylor series about x = 0. The condition f (0) = 0 follows from the
requirement that w → 0 at ∞; it follows that all derivatives equal to or higher than
second order must vanish, and the function must therefore be linear. Substituting
f (x) = αx into the second relation, Eq. (1A.6), we see that 1 − αx = α (1 − x)
so that α must be unity. The solution is therefore unique.
We now prove one of the assumptions of Lemma 1.
 Appendix 1A: Gleason theorem 17

Lemma 2: If w (q) is continuous, then its value depends only on the angle between
the rays p and q.
The remaining two lemmas (lemmas 3 and 4) prove continuity.
To prove this lemma, let q and r be two points on the projective plane situated at
the same distance from p. To prove that w (q) = w (r ), we start by proving that for
any q0 ∈ qp sufficiently close to q, the signs of w (q0 ) − w (r ) and λ − λ0 , where λ
and λ0 are the distances pq and pq0 respectively, are the same. If λ > λ0 , we can
join q0 to r by a sequence q0 , q1 , q2 , ... of sequentially perpendicular steps, since
at each step λ1 ≥ λ0 , λ2 ≥ λ1 , ... up to r , which reaches λ, by construction (note
that we started with λ0 < λ). Then

w (q0 ) ≥ w (q1 ) ≥ w (q2 ) ≥ ... ≥ w (r ) , (1A.7)

since the lengths increase at every step. But we can take q0 arbitrarily close to q.
The same set of inequalities can be established in the other direction, starting with
a point r0 on pr , and hence w (q) = w (r ); i.e. the value of w (q) depends only on
the distance between p and q (the angle).
Lemma 3: If w (q) is continuous at some point q0 , then it is continuous at every
point.
We first show that if w (q) is continuous at q0 , it is continuous at each point q1
orthogonal to q0 . Then q0 and q1 lie symmetrically on both sides of the point of
a line from p perpendicular to q0 q1 . Denote an ε neighborhood of q0 by U , and
take a point q  on the line q0 q1 in U ; further, consider the point q on the line q0 q1
orthogonal to q  . As we have done before, we use the relations
 
w (q) + w q  = w (q0 ) + w (q1 )
 
w (r0 ) + w (r1 ) = w r  + w (q0 ) ,

where r0 , r1 and r  are defined in a similar way on a line passing at some angle
through q, for which q and r  are orthogonal and r0 ∈ U and r1 are orthogonal. It
follows from these relations that
    
|w (r1 ) − w (q1 )| = w (q0 ) − w (r0 ) + w r  − w q  
    
= w (q0 ) − w (r0 ) + w r  − w (q0 ) + w (q0 ) − w q  
      
≤ |w (q0 ) − w (r0 )| + w r  − w (q0 ) + w (q0 ) − w q  
≤ 3ε,

where we have used the bounding inequalities between the relation between the
w (q)’s and the distances. Our construction, furthermore, requires r  , q  ∈ Uq0 .
The subset r0  r1 ∈ U then forms an ε neighborhood of q1 and is therefore
18 Foundations of quantum statistical mechanics

continuous at q1 . We finally note that there always exists a point q ⊥ perpendicular

to two arbitrary points q  , r  .
Lemma 4: The function w (q) is continuous at some point q0 .
On a line L through p, w (q) is a decreasing function of λ (distance from p).
A decreasing bounded function is continuous almost everywhere. Hence w (q)
is continuous on L at some point q0 . Finally, if w (q2 ) − w (q1 ) < ε, then
|w (q) − w (q0 )| < ε at every point in the triangle formed by rr  q1 (all points
in this triangle are farther away from p than the distance λ at q2 , in the ε
neighborhood of q0 ).
This completes the lemmas for the proof of the Gleason theorem, in general.

References
Balescu, R. (1975). Equilibrium and Non-equilibrium Statistical Mechanics (New York,
John Wiley), revised 1999 as Matter out of Equilibrium (London, Imperial College
Press).
Birkhoff, G. (1961). Lattice Theory (Providence, American Mathematical Society).
Birkhoff, G. and von Neumann, J. (1936). Ann. Math. 37, 823.
Dirac, P. A. M. (1958). Quantum Mechanics, 4th edn. (London, Oxford University Press).
Dvurecenskij, A. (1993). Gleason’s Theorem and Its Applications (Dordrecht, Kluwer).
Farquahar, I. E. (1964). Ergodic Theory in Statistical Mechanics (London, Interscience).
Gleason, A. M. (1957). J. Math. Mech. 6, 885.
Huang, K. (1987). Statistical Mechanics, 2nd edn. (New York, John Wiley).
Jauch, J. M. (1968). Foundations of Quantum Mechanics (Reading, Addison-Wesley).
Landau, L. D. and Lifshitz, E. M. (1970). Statistical Mechanics (Reading,
Addison-Wesley).
Mackey, G. W. (1963). Mathematical Foundations of Quantum Mechanics (Reading,
Benjamin).
Piron, C. (1976). Foundations of Quantum Physics (Reading, Benjamin).
Tolman, R. C. (1938). The Principles of Statistical Mechanics (London, Oxford).
von Neumann, J. (1955). Mathematical Foundations of Quantum Mechanics (Princeton,
Princeton University Press).
Wigner, E. (1936). Phys. Rev. 40, 749.
 2
Elementary examples

2.1 Introduction
Now we will turn to some elementary and familiar examples of quantum mechanics
to remind us of matters which will be used in the subsequent discussions. The focus
will be the harmonic oscillator and also the two-level atom and spin 12 systems
(Dirac, 1958; Louisell, 1973; Cohen-Tannoudji et al., 1977; Jordan, 1986; Liboff,
1998).

2.2 Harmonic oscillator

The Hamiltonian operator is
1 2 
Ĥ = p̂ + ω2 q̂ 2 = Ĥ † . (2.1)
2
The classical equations of motion are
dq ∂H
= =p (2.2)
dt ∂p
dp ∂H
=− = −ω2 q.
dt ∂q
In quantum mechanics,
 
q̂, p̂ = i h̄. (2.3)
The “hat” denotes operator.
The time-dependent Heisenberg equations are of the same form as the classical
counterpart:
d q̂(t)
= p̂(t) (2.4)
dt
d p̂ (t)
= −ω2 q̂ (t) .
dt

19
20 Elementary examples

This is generally true in one dimension, where we have

d q̂ (t) 1   ∂ Ĥ (t)
= q̂ (t), Ĥ p̂ (t), q̂ (t) =
dt i ∂ p̂ (t)
d p̂ (t) 1     ∂ H (t)
= p̂ (t), Ĥ p̂ (t), q̂ (t) = − ,
dt i ∂ q̂ (t)
 
where Ĥ p̂ (t), q̂ (t) is the Heisenberg Hamiltonian operator. This, of course, is
the classical correspondence rule
1
{A, B} → [A, B]
h̄i
 
q̂ (t), p̂ (t) = i h̄,
where the Heisenberg operators q̂ (t), p̂ (t) are related to the Schrödinger q̂, p̂ by
q̂ (t) = U † (t, 0) q̂U (t, 0) (2.5)
p̂ (t) = U (t, 0) p̂U (t, 0) .
†
 
Here U (t) = exp −i Ĥ t , h̄ = 1. Utilizing this, we obtain the solutions to Eq.
(2.4):
p̂
q̂ (t) = q̂ cos ωt + sin ωt (2.6)
ω
p̂ (t) = −ωq̂ sin ωt + p̂ cos ωt.
These operator equations have exactly the same form as the solutions to the
classical equations. For this reason, this is one of the few cases in which an
exact Heisenberg operator solution may be obtained. It is easily shown that the
time-dependent commutation laws follow.
The Schrödinger equation is
∂
i |ψ (t) = Ĥ |ψ (t) . (2.7)
∂t
In this “picture” the operators, Ĥ etc., are time independent. From this the von
Neumann equation for ρ̂ (t) is obtained (see the previous chapter):
d ρ̂  
ı̂ = Ĥ , ρ̂ (2.8)
dt
Keep in mind that we are working in the Schrödinger picture. For the harmonic
oscillator,
ψ (t) = exp (−i H t) |ψ (0) = U (t, 0) |ψ (0)
 
= −i cos Ĥ t + i sin Ĥ (t) |ψ (0) . (2.9)
 2.2 Harmonic oscillator 21

To reduce this further, let us introduce the well-known creation (a † ) and annihila-
tion (a) operators. (Both are non-Hermitian.)

1  
â = √ ωq̂ + i p̂ (2.10)
2ω

1  
â † = √ ωq̂ − i p̂ (2.11)
2ω
From the commutation law, Eq. (2.3), we obtain
 
â, â † = 1. (2.12)

Also important are

 
â, â † â = â (2.13)
 † † 
â , â â = −â † .

In this representation,
 
1
Ĥ = h̄ω â â +
†
. (2.14)
2

These relations are true in the Heisenberg as well as the Schrödinger picture.
Now, for the harmonic oscillator,
 
  −iωt
U (t, 0) = exp −iωâ † ât exp .
2

Let us introduce the number representation

N̂ |n = n |n , (2.15)

equivalent to the energy representation

Ĥ |E = E |E

N̂ = â † â = N̂ † .

From Eq. (2.13),

aN − Na = a (2.16)
a N − Na = a .
† † †
22 Elementary examples

With these raising and lowering operators, we may construct a complete set of
states (Dirac, 1958). For normalized states we have
N̂ |n = n |n n integer and positive (2.17)

< n | n > = δ nn 
√
â † |n = n + 1 |n + 1
√
â |n = n |n − 1
a |0 = 0
â †n |0
|n = √
n!
and completeness
∞
|n n| = I.
n=0

The energy is
 
1
En = ω n + .
2
In the number states, the harmonic oscillator von Neumann equation is
i ρ̇ nn  = (E n − E n  ) ρ nn 
 
= ω n − n  ρ nn  .
The solution is simply
   
ρ nn  (t) = exp − iω n − n  t ρ nn  (0). (2.18)
The diagonal and off-diagonal elements are uncoupled. Diagonal elements are
constant, and the off-diagonal elements oscillate, and
ρ nn (t) = ρ nn (0) = 1. (2.19)
n n

In the so-called random phase approximation, we replace ρ nn  (t) by its average

over n − n  . Then the oscillations cancel, and ρ̄ nn  (t) = ρ nn  (0) is time indepen-
dent. The comments made are also true for any exact diagonal representation, not
just the harmonic oscillator being discussed here. We may write the coordinate
representation u n (q). From
a |0 = 0 = (q + i p) |0,
we have  
d  
ωq  +  u 0 q  = 0, (2.20)
dq
 2.2 Harmonic oscillator 23

whose normalized solution is the Gaussian

 ω  14  
−ωq 2
u 0 (q) ≡< q | 0 >= exp . (2.21)
π 2
The time-dependent solution is
 ω 
u 0 (q, t) = exp −i t u 0 (q) .
2
It is easily seen that the ground state is a minimum uncertainty state q p = 12 h̄.
Let us now consider the coherent state representation. We introduce the non-
Hermitian eigenvalue problem,

a |α = α |α . (2.22)

The eigenvalues are not real, nor are they orthogonal.

To solve this, we use the completeness of the number representation |α =

∞
cn (α) |n . Next, we form
n=0

∞ ∞
√
a |α = cn (α) n |n − 1 = αcn (α) |n (2.23)
n=1 n=0

and shift indices n → n + 1. Take the scalar product with |m. We obtain the
recursion relation
√
cn+1 (α) n + 1 = αcn (α) . (2.24)

This gives
αn
cn (α) = √ c0 .
n!
Thus,
∞
αn
|α = c0 √ |n .
n=0
n!

It is easy to show
 2
α 2n exp − α2
| n | α |2 = ,
n!
a Poisson distribution. From this n = α ∗ α, and
  12
(n − n)2 1 1
= = .
n |α| 1
n 2
24 Elementary examples

We take α | α = 1 and obtain

α | α = |c0 |2 exp |α|2 ,

so
 
− |α|2  
|α = exp exp α â † exp −α ∗ â |0 , (2.25)
2
taking α to be complex. The completeness relation is
∞
d 2 α |α α| = 1 = |n n| , (2.26)
0

where d 2 α = r dr dθ, and the non-orthogonality is seen by

 
|β | α|2 = exp − |α − β|2 . (2.27)

The expansion in terms of coherent states is not unique (Nussenzweig, 1973).

They are overcomplete and non-orthogonal. In spite of this, one may expand an
arbitrary vector in Hilbert space in terms of them. If we assume that the expansion
is an entire function, f (αα ∗ ), of the complex α plane, then the representation is
unique.
We may show

1  
q = α + α∗ (2.28)
2ω

ω ∗ 
 p = i α −α
2
 2 1  ∗2 
q = α + α 2 + 2α ∗ α + 1 (2.29)
2ω
 2  −ω  ∗2 
p = α + α 2 − 2α ∗ α − 1 .
2
Thus, p q = 12 , since ( q)2 = 2ω 1
and ( p)2 = ω2 . All the coherent states are
minimum uncertainty. They are quasi-classical. We may obtain q | α to verify
this. It is the generalized Gaussian
 ω  14  
−ω   2  
q | α = exp q − q̂ + i p̂ q + iu , (2.30)
π 2
where u is an arbitrary phase and as above,
1
 q2 =
2ω
ω
 p = .
2
2
 2.2 Harmonic oscillator 25

Now we introduce the first example met here of a phase space distribution func-
tion, P(αα ∗ , t), of Glauber (1963) and Sudarshan (1963). Here the “phase space”
is α, α ∗ . Now
 
d 2 α P αα ∗ , t = 1. (2.31)

P (αα ∗ ) is a “diagonal” representation of the density operator in coherent states

 
ρ= d 2 α P αα ∗ |α α| .

It has the important property

      
tr ρ̂ Ô = O â, â † = d 2 α Ocl αa ∗ P αα ∗ . (2.32)

Quantum averages are calculated quasi-classically. There is a correspondence

rule, the normal ordering rule. In Ô the â is placed to the right of the â † . For
instance, by commutation, aa † → a † a+1. Phase space distribution functions, such
as the Wigner function, will be discussed in greater detail in subsequent chapters.
We must remark P (αα ∗ , t) ≯ 0. It is real and normalizable. Let
   
P αα ∗ , t = tr ρ (t) δ α ∗ − a † δ (α − a) . (2.33)

This is a somewhat sophisticated statement because of the operator δ functions. Uti-

lizing this definition and the von Neumann equation, we may write for the harmonic
oscillator
∂P     
i = Tr ρ (t) δ α † − a ∗ δ (α − a) , ωa † a .
∂t
We will evaluate this in the appendix to this chapter. We obtain a Fokker–Planck
equation for P (αα ∗ , t) (Gardiner, 1991).
 
∂ P (αα ∗ , t) ∂P ∗ ∂P
= iω α −α . (2.34)
∂t ∂α ∂α ∗
It is a first-order partial differential equation in t, α, α ∗ . The general solution may
be obtained from the characteristic equations
dα dα ∗
dt = = , (2.35)
−iωα iωα ∗
which are the “Hamilton equations” of the α, α ∗ “phase space.” The solution is

α (t) = α 0 exp (−iωt) (2.36)

∗
α (t) = α ∗0 exp (iωt) .
26 Elementary examples

The general solution is an arbitrary function f (α (t) , α ∗ (t)). If the initial value is
Gaussian in α, i.e.
   
P α, α ∗ , 0 = N exp − |α − α 0 |2 ,

then
   
P α, α ∗ , t = N exp − |α (t) − α 0 |2 .

For
 
P αα ∗, t = δ 2 (α (t) − α 0 ) ,

the coherent state propagates in time as exp iωt. This was first seen by Schrödinger
(1926).
Let us consider an extension of the harmonic oscillator by including a damp-
ing term. A particularly simple example is the phase damped oscillator with the
interaction

V = a † a +  † a † a (2.37)

(Walls and Milburn, 1985; Gardiner, 1991). The von Neumann equation may be
written
  1    2  2
ρ̇ = −iω a † a, ρ + K N̄ + 1 2a † aρa † a − a † a ρ − ρ a † a . (2.38)
2

This is the Lindblad form and is discussed in detail in Chapters 4, 5 and 6. Here
N̄ = exp 1ω −1 , and K is a damping constant. In the number representation,
( kT )
 
1  
n |ρ̇| m = −iω (n − m) − K 2 N̄ + 1 (n − m) n |ρ| m .
2
2

The diagonal and off-diagonal elements n |ρ| m are still uncoupled. The solution
is immediate:
 
2 t
n |ρ (t)| m = exp (−iω (n − m) t) exp − (2 N̄ + 1)K (n − m) n |ρ (0)| m .
2
 
The off-diagonal elements decay as (n − m)2 K 2 N̄ + 1 to the constant diagonal
initial state n |ρ (0)| m. More will be said of this in the discussion of decoherence
in Chapter 12.
 2.3 Spin one-half and two-level atoms 27

To obtain the equation for P (α), we use the operator correspondence discussed
in the appendix:
 
aρ → α P αα ∗ (2.39)
 
∂  
a†ρ → α∗ − P αα ∗
∂α
 
∂  
ρa → α − ∗ P αα ∗
∂α
∗
 ∗
ρa → α P αα
†

to obtain the Fokker–Planck equation,

     
∂P 1 ∂ ∂ ∗ ∂ ∂ ∗ ∂2
= K α + ∗ α − iω α − ∗ α + K N̄ P.
∂t 2 ∂α ∂α ∂α ∂α ∂α∂α ∗
(2.40)
By introducing α = x + i y (Scully and Zubairy, 1997), we find the average:
   
K
α (t) = α (0) exp − − iω t. (2.41)
2
In the coherent state, we obtain a classical damped oscillator solution.
P (αα ∗ , t) need not be positive. If it is, then the state of the system is classical,
P (αα ∗ ) being a true probability distribution. P (αα ∗ ) may exist for nonclassical or
truly quantum states. However, if α = x + i y, we obtain a Fokker–Planck equation
in x, y with positive diffusion coefficient, so P (αa ∗ , t) > 0.

2.3 Spin one-half and two-level atoms

The spin of the electron is
1
S= h̄σ Let h̄ = 1 (2.42)
2
(Cohen-Tannoudji et al., 1977). σ obeys m S = − 2μ e
σ , and ms is the spin magnetic
moment. σ j has the properties
 
σ i , σ j − = 2iσ k (2.43)
i, j = 1, 2, 3.

These are angular momentum commutation laws for half integer l. Now
σ i2 = 1, so
σ i σ j = iσ k . (2.44)
28 Elementary examples

We define (analogous to a in Eq. (2.10))

1
σ± = (σ 1 ± σ 2 ) (2.45)
2
σ + = σ †− .

They are not themselves Hermitian. Now we find the commutation laws,
 
σ ± , σ 1 − = ±σ 3 (2.46)
 
σ ± , σ 2 − = iσ 3
 
σ ± , σ 3 − = ∓σ 2
 
σ +, σ − − = σ 3,

as well as anti-commutation laws,

 
σ ±, σ 1 + =1 (2.47)
 
σ ±, σ 2 + = ±i
 
σ ±, σ 3 + =0
 
σ +, σ − + =1

and

σ 21. = σ 22 = σ 23 σ2 = 3 (2.48)
σ 2+ = σ 2− = 0.

For spin 12 and the

 1 general
 1  properties of angular momentum, the wave function
for the basis states 2 , − 2 are

 
α ≡ 10 β ≡ 01 (2.49)
≡ |+1 ≡ |−1 .

The α state is spin positive (m s = +1) along the “3” direction, and β spin down
(m s = −1). Generally,

|ψ = aα + bβ = a |+1 + b |−1

a + b2 = 1.
2

In this representation,
     
0 1 0 −i 1 0
σ1 = , σ2 = , σ3 = , (2.50)
1 0 i 0 0 −1
 2.3 Spin one-half and two-level atoms 29

the familiar Pauli matrices. Continuing, we find

   
0 1 0 0
σ+ = , σ− = . (2.51)
0 0 1 0
Finally, σ 3 has obvious eigenvalues, ±1, and σ 1 , σ 2 raise and lower states:
σ 1 |±1 = |∓1 (2.52)
σ 2 |±1 = ±i |∓1
and we also have
σ + |+1 = 0 (2.53)
σ + |−1 = |+1
σ − |+1 = |−1
σ − |− = 0.
σ + defines the |+1 “vacuum,” and σ − the |−1 “vacuum.” Recall that σ and I
form a complete set of 2 × 2 matrices. Because of this completeness, we may write
any 2 × 2 density matrix in these terms, i.e.
1
ρ= [a0 I + r · σ ] . (2.54)
2
The coefficients may be written
a0 = Trρ

ri = Trρσ i .
The above operators have been written in the Schrödinger picture. If ρ 2 = ρ, it is
a pure state. If
1 
0
ρ= 2 ,
0 12
then ρ 2 = ρ2 , and in this case, we have a mixture. We find si  = 0. The spin is
unpolarized, since all directions are equivalent. A pure polarization state is
 
cos2 θ2 sin θ2 cos θ2 exp (−iθ )
ρ (θ , φ) = .
sin θ2 cos θ2 exp (iθ ) sin2 θ2

Here s = 12 μ, μ being a classical vector whose polar angles are θ, φ. Remember
that the mixture state is not a unique state |ψ .
The unperturbed spin Hamiltonian is
h̄ω
H= σ z, (2.55)
2
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CHAPTER LXXII. THE REPLY OF THE GOPAS.

Vaishampayana said:—Hearing the words of Dāmodara the Gopas

were greatly delighted; and being informed of the true import of his
nectarine words they unhesitatingly replied (1):
"O boy, we have been highly pleased seeing this thy
understanding conducive to the multiplication of the kine and the
well-being of the milk-men (2). O Krishna, thou art our course,
delight and refuge. Thou dost understand our hearts and art our
saviour in great disasters. Thou art the friend of our friends (3). By
thy favour, this entire hamlet of milk-men the delightful Gokula227
has been shorn of her enemies. And filled with auspiciousness she is
living with joy and happiness like the city of the celestials (4).
Witnessing these thy deeds worthy of being seen and which it is
impossible for others to perform, beginning with thy birth and
hearing thy haughty words our minds have been filled with surprise
(5). As Purandara is amongst the celestials so thou hast acquired
supremacy amongst men by thy matchless strength, power, and
fame (6). By thy fierce power and consummate effulgence thou hast
acquired superiority amongst the mortals like unto the sun amongst
the deities (7). As is the moon amongst the gods, so thou hast
acquired prominence amongst men by thy grace, beauty, delightful
countenance and smiles (8). In strength, energy, body, and feats
performed in boyhood only Kārtikeya228 can equal thee. There is
none to match thee amongst men (9). As the great ocean cannot
overleap its bank so who can disregard your proposal regarding the
performance of a yajna in honor of the mountain (10)? Let now for
the well-being of the kine and milkmen the Giri-yajana,229 instituted
by thee, be undertaken by us in the place of the Indra-yajna (11).
Let delightful viands of milk be prepared and let beautiful jars be
placed at the drinking-place230 (12). Let spacious rivers and
Dronis231 be filled with milk and take such a quantity of fried meat
and various sorts of food and drink to the mountain that the Gopas
may spend three nights (13–14). Let this yajna, consisting of all
milkmen and abounding in the meat of buffalo and other beasts, be
at once undertaken (15)".
Thereupon the entire village of milkmen was filled with glee
along with the delighted kine. Then with the sound of trumpets, the
roar of the bulls and the cries of the calves the Gopas were greatly
rejoiced. Lakes of curd, whirlpools of clarified butter and rivers of
milk were made there. A heap of meat and a mountain-like collection
of of boiled rice were taken to the mountain. Thus the Giri-Yajna was
undertaken by all the milkmen there. There were present the
delighted Gopas and the beautiful milk-women. Hundreds of eating-
places were set up there. It abounded in garlands, various sorts of
perfumeries and incense. Various articles of sacrifice were spread
there duly. And thus in the auspicious hour the Gopas, along with
the Brāhmanas, celebrated the Giri-Yajna (16–20). After the
termination of the yajna, Krishna, assuming, by his illusive energy,
the form of a mountain, feasted on that most excellent rice, meat,
curd and milk (21). The Brāhmanas too were pleased with eating
there and all their desires were accomplished. And uttering there
delightedly the verses of benediction they went away (22). Assuming
a celestial form and partaking of the food and drink after his own
heart in that sacrifice the Lord Krishna smilingly said "I am satisfied"
(23). Then beholding on the top of the hill Krishna in the form of a
mountain embellished with celestial garlands and pastes, the leading
Gopas, bowing, sought refuge with him (24). The omnipotent Lord
Krishna, having his true form hidden by the mountain, himself
adored his own self along with the bowing Gopas (25).
The Gopas, filled with surprise, said to that god stationed on the
best of mountains:—"O lord, we are thy devoted servants, command
us what we are to do" (26). He replied to them in words originating
from the mountain:—"If you have compassion for the kine, engage
in my worship from to-day (27). I am your well-meaning first deity
who grant all objects of desire and by my favour you have got, in
your possession, ten millions of precious kine (28). If you all become
my votaries, I will encompass your well-being in the forest and
enjoy, as in the celestial region, in your company (29). Being
delighted I will confer on Nanda and other leading Gopas immense
wealth that is worthy of being acquired by milk-men (30). Let the
cows along with their calves circumambulate me. I will forsooth then
attain to highest felicity" (31).
Thereupon to embellish that best of mountains the cows, with
all the bulls, in flocks, encircled it (32). Thereupon with their horns
adorned with garlands and be-decked with chaplets on their heads
and flowery Angadas, numberless cows delightedly began to
circumambulate it quickly (33). Having their limbs pasted with pastes
of diverse colors and clad in red, crimson and yellow raiments the
milk-men followed those cows in order to govern them (34). In that
wonderful assembly shone there the milk-men adorned with
peacock-feathered Angadas, and chords well arranged for tying their
hairs and with weapons in their hands. Some milk-men hastened to
control the kine, some danced in joy and some rode the bulls. Thus
in due order when that festivity terminated the incarnate god of the
hill all on a sudden disappeared and Krishna, too, with the Gopas,
returned to Vraja. Thus when the Giri-Yajna was instituted all the
milk-men, boys and elderly people were filled with surprise, on
witnessing that wonderful scene and began to chant the glories of
Madhusudana (35–39).

[227] Gokula is another name of Vraja, the village of milk-men.

There is still now a village of the same name about five or
six miles from Mathura. It is very doubtful whether this is
the site of the ancient Gokula which is described to have
been situate near Govardhana mountain.

[228] The deity of war and son of Siva. Derived from Kirtika the
personified Pleiades: according to the legend having been
fostered and brought up by the nymphs so called. He was
so great an adept in the art of war that he was appointed
the commander of the celestial army in the war between
the gods and demons.

[229] A sacrifice in honor of the mount Govardhana.

[230] The word in the text is Udapana—from Uda water, and the
root pa to drink. It may also mean a well. Here it means a
place where water is drunk. Near a well, as is still seen in
 many place, there is a spacious pavement where people
may sit at ease and drink.

[231] Any real vessel made of wood, stone and in the shape of a
boat and used for holding or pouring out water, as a
bathing tub, a bathing vessel, a bucket or watering pot &c.
CHAPTER LXXIII. INDRA SENDS DOWN
PUNISHMENT.

Vaishampayana said:—While in this wise the festivity, in his honor,

was suppressed, Sakra, the king of the celestials said to the clouds
called Samvartaka (1):—"O ye clouds, and elephants, if you cherish
any respect for your king and if you consider it as your duty to do
what pleases me (listen then to my words) (2). All these inhabitants
of Vrindāvana are attached to Dāmodara. Nanda and other Gopas
have grown inimical towards my festival (3). Therefore within seven
nights, distress, with rain and winds, the precious kine which
constitute their life-long subsistence and for which they pass by the
name of Gopas232 (4). I myself, stationed on (my elephant) Airavata,
shall discharge dreadful rain, winds and showers effulgent like
thunder and lightning (5). With dreadful showers and winds you will
kill all the kine and the inhabitants of Vraja and leave them after
they all kiss the ground" (6).
On account of his festival being put down by Krishna the
powerful Pākashāsana thus issued his mandate to the clouds (7).
Thereupon, the dreadful dark-blue clouds, resembling a mountain in
size and muttering awfully, covered the sky on all sides (8).
Producing lightnings continually the clouds, adorned with the bow of
Indra, enshrouded the welkin with darkness (9). Touching one
another, all the clouds, some resembling the elephants, some the
Makaras233 and some the serpents, began to move about in the sky
(10). Coming in contact with one another the clouds, resembling a
million of elephants, covered the sky and created a very unfair day
(11). Showers of equal size, some resembling the hands of men,
some the trunks of elephants and some bamboos the clouds began
to pour down their watery contents (12). People took that dreadful
weather as a deep, unpassable and limitless ocean stationed in the
sky (13). Hearing the dreadful mutterings of the mountain like
clouds, the birds could not come out of their nests and the animals
began to fly away on all sides (14). By the excessive showers
discharged by the dreadful clouds resembling the hour of the
universal dissolution the bodies of men grew discoloured (15). The
planets and stars disappearing from view, the sky, shorn of the rays
of the sun and the moon was divested of its lustre (16). With the
continual showers of rain let off by the clouds the ground there
assumed the form of a tank (17). The peacocks began to cry aloud
and the other birds began to emit their feeble notes. And the rivers,
increasing their size, carried away the trees grown on their banks
(18). As if remonstrated with by the mutterings of clouds and the
clap of thunderbolts the grass and trees began to tremble there
(19). Beside themselves with fear the milk-men began to speak
amongst themselves: "We think the end of the world is at hand and
the earth will be converted into one sheet of water (20)." The cows
were greatly distressed by that dreadful downpour of rain. And they
stood motionless and began to cry aloud (21). Their body was
soaked, thighs and feet were motionless, hoops and mouth inert, the
hairs stood erect and their belly and udders grew lean (22). Some
died out of exhaustion, some took to their heels in fear and some
with their calves sank under frost (23). Some cows, of emaciated
belly on account of hunger and wearied thighs, lay to sleep
embracing their calves (24). The cows and calves, thus assailed by
rain, fell down trembling and with poor and distressing countenance
looked towards Krishna and cried "Save us! Save us! (25)"
Beholding this dreadful oppression over the cows on account of
that inclemeny and the impending death of the Gopas the sweet-
speeched Krishna was greatly worked up with anger. And meditating
for a while he began to speak to himself (26–27):—"I knew before
that this will come to pass. However to protect them against this
downpour of rain I will uproot this best of mountains Govardhana
containing forests and woods and convert it into an asylum for the
kine (28). There is not a shadow of doubt that this mountain, a
veritable planet on earth, when upheld by me, will be able to protect
the kine and milk-men" (29).
Thus meditating and displaying the strength of his arms
Krishna, having truth for his prowess and resembling the best of
mountains, uprooted that hill with his hands (30). Then that
foremost of mountains, containing clouds, upheld by Krishna with his
left hand, shone there like a house on account of its caves (41).
When that mountain was uprooted the rocks, at its table-land, were
shaken and the trees fell down (32). And although that mountain
was immoveable still, on account of Krishna's power, with its whirling
summits, falling trees and trembling tops it went up to the sky (33).
All the clouds, united, were pouring down their watery contents in its
side. With their quick-coursing streams the rocks were loosened and
the mountain too was continually agitated (34). The milk-men
however could not perceive the raining clouds, the rock-pouring
mountain and the roaring wind (35). The clouds, attached to the
mountain, coming in contact with the springs that best of mountains
shone there as if bedecked with peacock feathers (36). Vidyadharas,
Uragas, Gandharvas and Apsarās began to exclaim from all sides
—"Gifted with wings the mount Govardhana is flying up" (37).
White, crimson and dark mineral substances began to trickle down
from the earthen layer of that uprooted mountain containing a
thousand of layers (38). Some of the summits of that best of
mountain were slackened, some were shattered and the highly
elevated ones entered into clouds (39). With the shaking of the
mountains, the trees also shook, and their flowers fell down on all
sides of the ground (40). The big-hooded serpents, having half of
their body adorned, issued out of their holes and the birds began to
fly up in the sky (41). Out of fear consequent upon the raising up of
the mountain and of heavy downpour these sky rangers began
continually to fly up and come down (42). The lions in anger began
to roar like clouds surcharged with water and the tigers like that of
the churning rods (43). Having its form metamorphosed that
mountain, consisting of even, uneven and impassable places,
appeared like another mountain (44). On account of the excessive
downpour of showers it appeared like Tripura234 stupified by Rudra
in in the sky (45). Upheld by the rod-like hand of Krishna that huge
mountain, covered with dark-blue clouds, appeared there like an
umbrella (46). The muttering of the clouds making him dream,
Govardhana slept there placing his cave-like face on the pillow of
Krishna's arm (47). Having its summit covered with trees divested of
the notes of the birds and soaked with the showers and shorn of the
cries of peacocks, that mountain shone there like the sky (48). The
summit and forest of that high mountain were as if possessed by
fever on account of its table-lands shaking and trembling (49).
Hastened by the king of gods and driven by the wind the clouds
began to pour down before it continually their contents (50). Upheld
by Krishna's hand that mountain, covered with clouds, appeared like
a country marked with the signs of wheels when oppressed by a
king (51). As a populous village places before it a city so the clouds
stood encircling that mountain (52).
For protecting the Gopas like unto Brahmā the Lord Krishna
raised up that mountain and kept it on the tip of his finger. He then
smilingly said (53).
"By some heavenly means which is even beyond the
comprehension of the gods I have constructed this mountainous
house, an asylum for the cows where no wind blows (54). Let the
flocks of cows speedily enter into it and peacefully and happily live
there where no violent wind blows. Do ye, of your own accord, make
divisions of the room proportionate to your superiority of position
and the number of flocks and put a stop to the downpour of
showers. The big house, that I have constructed by uprooting this
hill extending over five Kos and one Kos in breadth, can even
accommodate the three worlds, what to speak of Vraja (55-57)".
There arose a great tumult of the Gopas accompanied by the
mutterings of clouds outside and the noise of the cows. And
arranged in rows by the milk-men the kine entered into the huge
cave of that best of mountains (58–59). And standing at the foot of
that mountain like a rising pillar of stone Krishna held that hill with
one hand like a beloved guest (60).
Thereupon taking with them their carts and vessels the
inhabitants of Vraja, afraid of rain, entered into that rocky house
(61). Beholding this superhuman feat of Krishna and finding his
words falsified the powerful Satakratu asked the clouds to desist
(62). And surrounded by clouds which deprived the earth of all
festivities for seven nights he returned again to the celestial region
(63). Thus after seven nights when the king of gods desisted and
the sky was freed of clouds and become clear the sun rose in its full
effulgence (64). The cows and the milk-men returned to their
respective quarters by the same road by which they had entered
(the cave) (63). For the well-being of all the worlds the Lord Krishna,
the giver of boons and identical with all the elements, established,
with a delighted heart, that best of mountains235 (66).

[232] Literally the word means one who protects kine from go,
kine and the root pa, to protect.

[233] A root of acquatic animal resembling a crocodile.

[234] The Danava chief who was defeated by Rudra or Siva in the
war between the gods and demons.

[235] This miracle of Krishna's holding up of the mountain

Govardhana on one of his fingers has been described in
almost all the Puranas and even in the Sabha Parva of the
Mahabharata. This incident, no doubt, on the face of it,
appears highly incredible for, it is not possible for a man,
nay for a boy of ten years of age to raise up a huge
mountain like Govardhana. It is undoubtedly an allegory
signifying the wonderful power of Krishna displayed by him
for protecting the Gopas. The following explanation may be
safely vouchsafed of the allegory. When he suppressed the
worship of Indra and all his followers attacked the Gopas,
Krishna placed them all, with their cattle and goods, on that
hill and himself fought with the followers of Indra. It is
mentioned in the latter portion of this Chapter that the
Gopas entered into the hollow of the mountain, their 'hilly
house' and so forth. This probably may suggest an
explanation that they took shelter in one of the huge caves
of the mountain and Krishna guarded them against the
attack of the worshippers of Indra. Whatever may be the
explanation it is undoubtedly true that he displayed a
superhuman feat on this occasion.
CHAPTER LXXIV. INDRA COMES AND
EULOGISES KRISHNA.

Vaishampayana said:—Beholding the mount Govardhana thus held

up and the kine saved Purandara, the king of the celestials, was
filled with great surprise and felt a desire for seeing Krishna (1). And
seated on his elephant Airavata with temporal juice trickling down
and resembling a cloud without water he came down on earth (2).
Purandara saw Krishna, of unwearied actions, seated at the foot of
the Govardhana hill (3). He saw there the immortal Vishnu,
assuming the guise of a milk-man and shining in his great effulgence
and attained to great delight (4). Sakra, having many eyes, saw,
with all his eyes, Krishna bearing the mystic mark of Srivatsa and
resembling a dark-blue lotus in hue (5). Beholding him seated
happily at the foot of the hill who was gifted with beauty and was
like an immortal in the land of mortals Sakra was ashamed (6).
Disappearing from view, that foremost of birds (Garuda), feeding on
serpents, was protecting him, seated at ease, against the rays of the
sun with his wings (7). Leaving behind his elephant, Indra, the
slayer of Bala, approached Krishna who was playing in the forest
being engaged in human actions (8). His face was embellished with
a crown effulgent like the sun that gives lustre to lightning, and with
a pair of celestial ear-rings. His breast was adorned with a neck-lace
of five layers of Padmakānta jewel constituting the ornament of the
body. Beholding Vāsudeva with his thousand eyes the powerful
Vasava, the wielder of thunder-bolt, approached Upendra and looked
more beautiful with his celestial garlands and pastes (9–11). Then
with his sweet voice, deep as the muttering of clouds that always
issues commands to the deities, he said (12):—
"O Krishna, O thou of large arms, O thou the enhancer of the
delight of thy kinsmen, what, thou hast accomplished on thy being
pleased with thy kine, is beyond the power of the gods (13). I have
been highly pleased with thy saving the kine from the clouds created
by me which bring about the dissolution of the world (14). Whose
mind is not filled with surprise on seeing thee hold up this best of
mountains by thy own-begotten Yoga power like a house in the
sky(15)? O Krishna, I was enraged on account of the suppression of
my sacrifice. And therefore I sent down this excessive rain extending
over seven nights and destructive of the kine which even the Devas
and Dānavas cannot withstand. But thou hast, by thy own power,
put down this terrible shower in my very presence (16–17). I am
highly pleased, O Krishna, for thy, in anger, settling the entire
Vaishnava energy in thy human form (18). On account of thy being
endued with thy own energy although in a human form, the work of
the gods appears to have been well accomplished (19). O hero,
while thou art at the head of all the works of the gods and their
guide, forsooth, every thing will be accomplished and nothing will
remain undone (20). Thou art alone eternal amongst the gods and
in all other worlds. I do not see a second capable of carrying the
weight thou hast held (21). As the best of wheels is placed before a
pole so dost thou engage in relieving the distress of the gods sunk in
an ocean of misery, O thou having a bird for thy carrier (22). O
Krishna, as gold is among the metals, so this universe, created by
the Grand-father (Brahmā) exists, in thy body (23). As a cripple
cannot follow one who runs fast so even the Lord, Self-sprung
(Brahma) cannot follow thee in intelligence or age (24). As the
Himalaya is amongst the mountains, as the great ocean is amongst
the watery expanses, as Garuda is amongst the birds so thou art the
foremost of the celestials (25). O Krishna, underneath all is the
region of water; above it are afloat the pillars of the earth; above
them is the region of man; above it is the etherial region; above it is
the effulgent region of the sun constituting the gate of heaven;
above it is the great region of the gods forming the abode of the
celestials; here I occupy the position of the king of gods; above it is
the Brahmaloka where the Brahmarshis live and where move about
the high-souled Soma (moon) and other luminous bodies. Above it is
the Goloka stationed in the great etherial region. O Krishna, Golaka
is the foremost of all regions and is protected by the Sādhyas. There
dost thou live carrying on Tapas which we cannot learn even when
accosting the Grand-Father about it (26–31). This earth is the region
of actions for those who engage in them. Underneath it is the
dreadful region of the iniquitous (32). The etherial region is the
refuge of moving objects like the air and heaven is the excellent
refuge of the pious endued with the qualities of self-control and
forbearance (33). Those, who worship Brahmā, live in the
Brahmaloka. Goloka is attainable only by the kine; even by hard
austerities no one else can obtain it (34). O intelligent and heroic
Krishna, in order to protect these kine, thou didst hold up the mount
Govardhana and suppress the calamities sent down by me (35).
Therefore at the request of the Grand Father and the cows and out
of respect for thee I have come here (36).
 "O Krishna, I am the lord of Bhutas236 and of the gods and I am
Purandara. Being born of Aditi I am thy elder brother (37). Do thou
forgive me for displaying my own energy in the shape of clouds
which is but the outcome of thy power (38). O Krishna of the gait of
an elephant, be thou delighted now by thy own gentle energy and
listen to the words given vent to by Brahmā and the cows (39).
Pleased with thy heavenly deeds, hymning of their glories and with
the work of protection the Lord Brahmā and the cows of the sky
have communicated this unto thee (40). Thyself protecting the great
Goloka region and all the cows, our race, through the help of the
bulls, will multiply itself (41). We all, coursing at our will, shall
propitiate the cultivators with bulls, their beasts of burden, the
celestials with the oblation of Havi and Sri with the profusely
increasing corns (42). O lord, O thou of great strength, thou art our
preceptor and saviour. Becoming our king and lord do thou sprinkle
thy self to-day with this golden jar full of heavenly water brought by
me with my own hands (43–44). I am the king of the celestials and
thou hast, although eternal, become now the king of the cows.
Therefore the people of this world will hymn thee as Govinda (45).
As the dignity of Indra has been bestowed on me so thou art the
king of cows. O Krishna, the gods will celebrate thy name as
Upendra (46). Of the four months of my rainy season, I confer the
latter half constituting the autumn on thee (47). From to-day people
will recognize the first two months as mine. After the termination of
the rains they will take down my flag and thou shalt receive
adoration. Shorn of excitement and emitting notes occasionally the
peacocks will give up their pride begotten by my clouds. And all
other creatures, ranging in my season and emitting notes at the
view of clouds, will be silent (48–49). Agastya, the regent of the star
Canopus, will range like a bird in the southern quarter and the sun,
of thousand rays, will distress all with his own effulgence (50). Thus
with the beginning of autumn the peacocks will become silent, the
birds will hanker after water, the frogs will desist from leaping, the
brinks of the rivers will be filled with swans and Sārasas, the
Krounchas will emit their notes, the bulls will become excited, the
cows will be pleased and yield profuse milk, the clouds will disappear
after filling the earth with water, the cranes will range in the dark
sky, the picturesque lakes, pools and rivers will be adorned with
clean water and new grown lotuses, the dark-blue fields will be full
of corns, the rivers will have waters flowing in their middle237 the
hermitages of the ascetics will also be filled with beautiful corns, the
earth, abounding in many provinces, will grow charming after the
rains, the roads will look beautiful, the trees will be covered with
fruits, the country will be full of sugarcane and Vajapeya and other
sacrifices will be undertaken. And thus the sacred autumn will set in.
Thou shalt then get up from thy bed. Men in this world and the
immortals in the celestial region will worship me as Mahendra and
thee as Upendra in the flag-staffs on the earth (51-59). The man,
who reciting the great and eternal theme of our conduct as
Mahendra and Upendra, will bow unto us, will not be visited by any
misery" (60).
Thereupon taking those jars full of heavenly water the king of
gods, conversant with Yoga, sprinkled238 Govinda (61). Beholding
the eternal Krishna thus annointed, the cows, stationed in the
celestial region, along with the bulls, sprinkled him also with a
downpour of their milk through clouds (62). The clear clouds in the
sky sprinkled him with nectarine showers. From trees fell down
moon-like drops of water. And from the sky the gods set up a
leonine sound, made a downpour of flowers and blew the bugles
(63–64). The Maharshis, who always follow mantras, chanted his
glories with becoming verses and the body of the earth was
separated from one all-extending ocean (65). The seas grew
delightful and the winds began to blow for bringing about the well-
being of the world. And the sun and the moon accompanied by stars
stood in their respective roads (66). The kings were freed of their
enemies and the calamity of excessive rain was pacified. And the
trees were embellished with leaves and flowers of various colours.
The deer grew delighted in the forest and the elephants began to
yield temporal juice and the mountains shone with trees grown on
them and with metals (67–68). And the land of mortals was satisfied
with ambrosia-like juice like unto the celestial region. Thus when the
ceremony of the royal unction, of the Lord Krishna, accompanied by
the nectarine showers coming down from the celestial region, was
over the king of gods Purandara said to the eternal Govinda, wearing
celestial garlands and installed in the sovereignty of the cows (69–
70).
"O Krishna, the first work, of installing thee as the king of cows,
is now over. Listen now to the next object of my coming here (71).
Slaying speedily Kansa, the wretch of a horse Keshi, and Aristha,
always committing mischief do thou engage in governing thy own
kingdom (72). From thy father's sister, a portion of my energy is
born as a son by name Arjuna. Contracting friendship with him do
thou always protect him (73). Thou shalt favour him and he, too,
acting on thy advice and following thee, will acquire great fame (74).
He will be the foremost of bowmen among the descendants of
Bharata and will take after thee. And without thy help he alone will
never be pleased with his work (75). This future war of Bharata239
depends on him and thee the foremost of men. When you both will
be united all the kings will be slain (76). O Krishna, I have spoken to
the gods and Rishis, that the son, begotten by me on Kunti, will be
an adept in the use of weapons, the foremost of archers and the
greatest of the Kurus. All the warrior-kings will speak of his learning
(77-78). Ever abiding by the duties of a Kshatrya he alone will be
able to kill one Akshouhini of kings skilled in fighting (79). Save thee
there is none among the kings or gods who will be able to weaken
the power of his bow or follow the path of his weapons, O lord (80).
O Govinda, he will be thy friend and help in battle. Therefore at my
request, do thou instruct him in spiritual knowledge (81). Thou dost
know well Arjuna and all the worlds. So thou shouldst always regard
and take care of him as thou dost me (82). If thou dost protect him
in the great battle Death will not be able to extend its influence over
him (83). O Krishna, know Arjuna as me and me as identical with
thy own self. As I am at one with thee, so is Arjuna (84). I am thy
elder brother and therefore thou didst, in the days of yore, acquiring
the three worlds from Bali with thy three footsteps, install me in the
sovereignty over the gods (85). I know thee as fond of truth, as
having truth for thy prowess and as identical with truth. And
because thou art bound to the gods by a promise they have
engaged thee in this work of the destruction of their enemies (86).
O Krishna, Arjuna, the son of thy father's sister, is my son. As he did
become thy companion in the days of yore240 and so now he will
contract friendship with thee (87). O Mādhava, as a bull carries a
burden, so thou shalt always take care of him when either living in
his house, your house or while fighting with the enemies in the
battle-field (88). When Kansa will be slain by thee, ever observant of
the real purpose of things there will take place a great war of the
kings (89). Arjuna will vanquish those heroic men of superhuman
deeds and thou shalt adorn him with glory (90). O Keshava, if truth,
myself and the celestials are thy favourites thou shouldst carry out
whatever I have said" (91).
Hearing the words of Sakra, Krishna, who had become a cow-
keeper, with a delighted mind replied (92). "O lord of Sachi, I am
happy to see you. Nothing, of whatever you have said, will be left off
(93). O Sakra, I know your heart. It is not unknown to me that my
father's sister has been given away to the high-souled Pandu and
that she has given birth to Arjuna (94). I know also the prince
Yudhisthira begotten by Dharma. I know Bhimasena, the multiplier
of Vāyu's (wind-god's) race. I know also Nakula and Sahadeva
begotten on Mādri by the two Aswinis241 (95-96). I know also Karna,
now known as a charioteer's son, begotten on my father's sister in
her maidenhood by the Sun242 (97). That Pandu is dead on account
of the thunder-like imprecation243 and that the sons of Dhiitarashtra
are desirous of fighting are all known to me (98), O king of gods,
returning now to the city of the celestials increase their delight. No
enemy will be able to trouble Arjuna when he will be before me (99).
When the great war of Bhārata will come to its close, I shall, on
account of Arjuna, consign unscathed unto Kunti all the sons of
Pandu (100). O king of gods, I am bound by affection and therefore
I shall accomplish like a servant what your son Arjuna will command
me (101)." Hearing these words of truthful Krishna, the king of gods
returned to the city of the celestials (102).

[236] A demi-god of a particular class.

[237] i.e. the waters will not overflood their banks as in the rainy
season.

[238] i.e. installed him as the king of cows. At the time of

installation sacred water is sprinkled on the head of a king.

[239] It refers to the battle of Kurukshetra in which all the kings

of the world took part.

[240] When Vishnu assumed the form of Nārayana Arjuna

became his companion as Nara.

[241] For a detailed account of the birth of all these sons see
chapter CXXIII of Adi Parva of Mahabharata.

[242] Kunti, while a maid, obtained a boon from the Rishi Durvasa
that whomever she would wish to have as her consort, he
would at once come to her. To make an experiment she
invoked the sun and Karna is the issue of her union with
him. The account of his birth is described in one hundred
and eleventh chapter of Adi Parva in the Mahabharata.
[243] Once on a time Pandu went out into a forest for hunting.
He struck a Rishi's son who was coupling with his mate in
the form of a deer. He imprecated a curse on Pandu saying
"As you have killed me in the form of a deer when I was full
of desire, so you, O foolish man, will certainly meet with the
fate that has fallen me. When you will go to your dear one,
full of desire as was the case with me, you will at that time,
certainly go to the land of the dead. Your wife will also
follow you." See slokas 30, 31, in chapter CXVIII in
Sambhava Parva of Adi Parva in the Mahabharata.
CHAPTER LXXV. RASA DANCE.

Vaishampayana said:—Thereupon after the departure of Sakra, the

beautiful Krishna the holder of Gavardhana, entered Vraja honored
by the inhabitants, thereof (1). The elderly Gopas and his kinsmen
and comrades, assembled together, welcomed him and said.
"O Govinda, we have been honored and favoured by thy
conduct and as well as that of the best of mountains (2). Indeed thy
prowess is like that of the celestials. By thy favour the kine have
tided over the fear of excessive rain and we too have been relieved
of the great fear (3). O Krishna, O lord of kine, beholding thy
superhuman feat of raising up the mountain we consider thee as a
divinity (4). O thou of great strength, art thou Rudra, Marut, or one
of the Vasus? Why hast thou taken thy birth as the son of Vasudeva
(5)? Beholding this thy low birth amongst us, this thy prowess, sport
and feat in thy boyhood our minds are filled with fear (6). We see,
thou art like one of the Lokapālas. But why art thou, in thy wretched
guise of a milk-man, engaged in sport with us and in protecting kine
(7)? Art thou a Deva, a Dānava or a Gandharva now born as our
friend? Whatever thou mayst be we bow unto thee (8). If thou art
present here, of thy own accord, for any work of thine, do thou
consider us as thy dependants and votaries (9)."
Vaishampāyana said:—Hearing the words of Gopas, the lotus-
eyed Krishna, smiling a little, said to his assembled kinsmen:—(10)
"Ye of dreadful prowess, let not the conviction, that you have all
formed about me, take root in your hearts. I am one of your clan
and a friend (11). If however you are all bent upon hearing then
wait you will soon listen to an account of (my origin) and see my
true form (12). I am one of your respected friends like unto a god. If
you have any affection for me, do not wish to learn any thing more
about me (13)."
Thus accosted by Vasudeva's son and covering their own faces
and resorting to silence the milk-men went away in in various
directions (14).
Thereupon beholding the charming autumnal night and the
beautiful moon the powerful Krishna felt a desire of sporting (15).
Sometimes he made the haughty bulls fight with one another in the
roads of Vraja adorned with cow-dung pastes. He again set the
powerful cow-herds against one another. He sometimes got hold of
the kine in the forest like a crocodile. (16–17). Sometimes thinking
of his boyhood and bringing the youthful women of Gopas under his
control at night he used to enjoy there (18). With their glances those
Gopa women used to drink as if the ambrosia of his beautiful face
who was like the moon come down on earth (19). Krishna was by
nature beautiful but clad in a silken raiment of shining yellow colour
he appeared more beautiful (20). Having his arms adorned with
Angadas and bedecked with garlands of wild flowers Govinda
beautified the entire Vraja (21). Filled with surprise at witnessing the
wonderful conduct of that powerful (being) the beautiful Gopa
women used to call him by the name of Dāmodara (22). And casting
again and again their glances accompanied by various gestures they
began to assail him with their rising breasts (23). After a few days
had passed away in this way the parents of those milk-women
prevented them (from doing so). Those damsels however, fond of
amusements, used to hunt Krishna at night (24). Sometimes
arranging themselves in rows and sometimes in circles they, singing
hymns relating to Krishna's glories, used to satisfy him. And all of
them appeared in pairs with Krishna (25). Casting loving glances at
Krishna and following his course those youthful damsels of Vraja
imitated all his sports (26). Sometimes striking their palms in the
forest they used to imitate him and sometimes they used to take
delight in imitating his songs and dances accompanied by lovely
smiles and looks (27-28). Singing sweet songs describing the
profuse love for Krishna these beautiful women, devoted to
Dāmodara, used to range at Pleasure in Vraja (29). As she-
elephants, covered with dust, enjoy with an infuriated elephant so
those milk-women, their limbs covered all over with dust and cow-
dung, used to sport with Krishna encircling him on all sides (30).
Drinking repeatedly his ambrosia-like beauty with their eyes
accompanied by side-long and smiling looks the Gopa-women,
having antelope eyes, could not attain to the consummation of
delight (31). When Damodara used to exclaim "O! Alas!" the
damsels anxiously and delightedly used to listen to the words given
vent to by him (33). Thus encircled by the milk-women Krishna used
to sport, of his own accord, in the autumnal night adorned by the
moon244 (35).

[244] This is one of the principal incidents of Krishna's life on

which innumerable poets of India have exhausted their skill
and ingenuity. This incident has also been recorded in
several Puranas. Some hostile critics interpret this Rāsa
dance as one of the blemishes of Krishna's character and
proceed to prove that he was an emblem of carnality. They
draw upon certain Indian scholars in support of their
argument. It is therefore necessary to throw a few
suggestions before our readers so that they may
understand Sri Krishna aright. This Rāsa dance is described
in a few words in Harivamsha, a little more profusely in
Vishnu Puran, but very elaborately in Srimadbhagavatam.
There is no mention however to this incident in the
Mahabharata. In Vishnu Puran it is described as the out-
burst of a tender love of a number of young girls for their
youthful companion. In Harivamsha it is the love of youthful
damsels for a handsome young man. In Bhagvata it is the
passionate love of some women for a young man. In all
these books however the different phases of love have been
described with a grand esoteric meaning behind them. This
Rāsa was nothing but a "Ball" dance in which all the
youthful damsels and girls took part and which was
introduced by Krishna. It was a favourite pastime with the
Aryans and frequent references to this dance are seen in
Mahabharata and other classical works of note. That it was
a purely innocent amusement freed from every shade of
carnality is beyond all doubts. From the internal evidences
of the three great works on Krishna's life, namely
Harivamsa, Vishnu Purana and Srimadbhagavatam it is
evident that Krishna, at this period, was merely a boy of ten
years of age or so. It is impossible for a boy of this tender
age to be so very carnal as he is depicted to have been. All
the youthful maidens and girls of Vraja were fond of
Krishna. It was not only on them that he exercised his
wonderful influence but he did so on the elderly men too.
This is clear enough from the incident that he succeeded in
suppressing the great Indra-yajna. Krishna used to invent
and organise varions sorts of sports for his comrades, both
boys and girls. In the previous Chapter his wonderful
influence over his male companions and elderly men has
been described. This Chapter is introduced by the poet to
show that his influence over the women was equally
marvellous. All these incidents go to prove more his super
human origin. In all these three works no mention is made
of the name of a particular woman for whom he cherished a
special fancy as Radha. There is a occasional mention of
this word in Bhagavat and only once in Harivamsha where it
means a worshipper. This story of the carnal love of Krishna
for his various companions is described at a length in
Brahma Vaivarta Purana which is regarded as a spurious
production and is not considered as an authentic record of
his life. The esoteric meaning underlying this incident is the
union between the human soul and the Supreme Soul.
Krishna is the impersonation of the Supreme Soul and
Radha or the worshipper is the emblem of the human soul.
The worshipper can secure unification with the Supreme
Soul by love—earnest and deep-seated devotion. This love,
this devotion has been described by various poets in various
forms.
CHAPTER LXXVI. DEATH OF ARISTHA.

Vaishampayana said:—One day in the first part of the night while

Krishna was sporting, the dark-hued Dānava, Aristha by name,
assuming the form of an infuriated bull and resembling Death
himself, was seen there terrifying all the inmates of the cow-sheds
(1). His body was like extinguished ember and cloud, his horns were
sharpened, his eyes were effulgent like the sun, his feet were
endued with sharpened hoops and his hump was extremely hard (2).
He was repeatedly licking his lips with his tongue and moving his tail
with pride. And for breaking down many palaces with his hump it
became exceedingly hardened (3). Incapable of being repulsed on
account of his own huge body, with his body covered with excreta
and urine, that Dānava, of huge waist, fleshy mouth, hard knees and
long abdomen, terrified all the cows with his skin hanging from his
neck and horns (4-5). That Daitya Aristha, of huge body, the slayer
of inimical bulls and the injurer of the cows, assuming the form of a
bull, was running about in the cow-sheds and pasture grounds. His
face was marked with strokes against the trees and his horns were
adorned as if for a fight (6-7). He used to approach the kine, when
big with their young ones and cause abortion and used to know
them immediately after their delivery (8). Without fighting with the
bulls and cows that irrepressible, and dreadful Daitya, always intent
on striking them with his horns, could not derive pleasure in pasture
grounds (9).
 Accidentally on that day, the proud bull, under the influence of
Vaivaswān (the regent of the departed), came before Keshava (10).
Divesting the cow-sheds of bulls, calves and young bulls that one,
elated with proud, used to assail the kine (11). At that time, that one
of wicked soul, under influence of Vaivaswān, terrified the cows that
were near Krishna roaring like a cloud accompanied by Indra's
thunderbolt. Thereat striking his palms and setting up a leonine
shout Govinda ran after him, increasing the anger of the demon in
the shape of a bull. Beholding Krishna and enraged with the sound
of the strokes of his palms against his arms, moving his tail and
expanding his eyes in delight that bull issued out a shout expressing
his desire for fight. Beholding that wicked demon of the form of a
bull approach Krishna did not move out from where he stood and
rather remain there firm like a mountain (12-15). With a view to slay
Krishna, that bull too, raising up his face and aiming at his belly,
came there quickly (16). Vasudeva, resembling a bull, confronted
that irrepressible and collyruim-like bull before him (17). As a bull
faces a huge bull so Arishtha met Krishna and from his nostril came
out foams with a sound (18). Thereupon Krishna and the bull
confronting each other they appeared like two clouds, touching each
other in the rains (19). Placing his feet on the space between the
horns Krishna humiliated his pride and struck him at the neck
resembling the sky (20). Then uprooting his left horn resembling the
rod of Yama he struck him on the face with it; thereat that foremost
of bulls breathed his last (21). With his horns, head and shoulders
shattered that demon fell down vomiting blood like a cloud sending
down showers (22).
 Thereupon beholding the proud Dānava in the shape of a bull
slain by Govinda all the people began to eulogise him exclaiming
"Well done! Well done!" (23). Slaying that bull demon in that moon
light the lotus-eyed Upendra again engaged in sport (24). Like the
immortals adoring their king in the celestial region the Gopas began
to worship delightedly the lotus-eyed Krishna.
CHAPTER LXXVII. KANSA INVITES KRISHNA
AND SENDS AKRURA TO BRING HIM.

Vaishampayana said:—Hearing that Krishna was advancing in power

like fire in Vraja, Kansa, anticipating fear from him, was filled with
anxiety (1). On Putana being slain, the two trees being dragged by
the boy of no boy-like deeds, Kalya being vanquished, Dhenuka
being killed, Pralamva being discomfitted, the mount Govardhana
being raised up, Indra's commandment being disregarded, the kine
being protected by enviable deeds and Kakudmi and Arishtha being
destroyed the Gopas were filled with delight. Beholding these highly
terrible portends indicating his impending death and these
unthought of feats amongst his rising enemies Mathura's king Kansa
considered himself as brought under the influence of death. And his
organs and mind being deprived of consciousness he appeared like
one dead (2-6). Thereupon in the noiseless dead of night, Mathura's
king Kansa, the son of Ugrasena of fierce commands, summoned his
father and kinsmen to his city (7). Summoning god-like Vasudeva,
Kangka, Satyaka, Dāruka, Kanka's youngest brother, Bhoja,
Vaitarana, the highly powerful Vikadru, the king Bhayesakha,
Viprithu of great prosperity, the liberal Kritavarma, the highly
energetic and bold Bhurishravā and various other descendants of
Yadu race and welcoming them all in due order he said:—"Listen, O
ye Yādavas, ye are all business-like, devoted to the Vedas, expert in
ascertaining the proper rules of conduct, the introducers of the three
Vargas245, ever observant of your duties, like gods in this world, and
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