A topology-changing variational framework for the Einstein-Hilbert functional

Abstract

Motivated by recent developments in the theory of gravitation, we revisit the idea of topological variations, originally introduced by Wheeler and Hawking, from a rigorous perspective. Starting from a localized version of the Einstein-Hilbert variational principle, we encode the key aspects of the variational procedure in the form of a topology on a suitable space of Sobolev variational configurations, which is the final topology generated by the admissible variational maps. This framework naturally lends itself to generalization, and we rigorously introduce two distinct types of topological variations, corresponding to the infinitesimal addition of disconnected components and to infinitesimal surgeries, both motivated by related physical concepts. Using tools from the theory of Sobolev spaces and precise asymptotics, we establish dimensional obstructions for the continuity and differentiability of the Einstein-Hilbert action with respect to these variations, and show that in the extended variational framework the action does not admit critical points in dimension $n=4$, while higher dimensions are free of this problem. We also discuss the deeper geometric issue of scalar curvature blow-up of degenerating metrics within the context of our framework, and finally demonstrate the non-trivial effect of added higher order curvature terms on the critical dimension.