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arXiv:1305.2259 · New Journal of Physics

Statistics of work and fluctuation theorems for microcanonical initial states

Peter Talkner A, Manuel Morillo, Juyeon Yi, Peter Hänggi A

Published Sep 4, 2013• 46 citations
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Abstract

Work performed on a system in a microcanonical state by changes in a control parameter is characterized in terms of its statistics. The transition probabilities between eigenstates of the system Hamiltonians at the beginning and the end of the parameter change obey a detailed balance-like relation from which various forms of the microcanonical fluctuation theorem are obtained. As an example, sudden deformations of a two-dimensional harmonic oscillator potential are considered, and the validity of the microcanonical Jarzynski equality connecting the degrees of degeneracy of energy eigenvalues before and after the control parameter change is confirmed.

DOI
10.1088/1367-2630/15/9/095001

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Work performed on a system in a microcanonical state by changes in a control parameter is characterized in terms of its statistics. The transition probabilities between eigenstates of the system Hamiltonians at the beginning and the end of the parameter change obey a detailed balance-like relation from which various forms of the microcanonical fluctuation theorem are obtained. As an example, sudden deformations of a two-dimensional harmonic oscillator potential are considered, and the validity of the microcanonical Jarzynski equality connecting the degrees of degeneracy of energy eigenvalues before and after the control parameter change is confirmed.
Various aspects of the statistics of work performed by an external classical force on a quantum mechanical system are elucidated for a driven harmonic oscillator. In this special case two parameters are introduced that are sufficient to completely characterize the force protocol. Explicit results for the characteristic function of work and the corresponding probability distribution are provided and discussed for three different types of initial states of the oscillator: microcanonical, canonical, and coherent states. Depending on the choice of the initial state the probability distributions of the performed work may greatly differ. This result in particular also holds true for identical force protocols. General fluctuation and work theorems holding for microcanonical and canonical initial states are confirmed.
We consider closed quantum systems which are driven such that only negligible heating occurs. If driving only affects small parts of the system, it may nonetheless be strong. Our analysis aims at clarifying under which conditions the Jarzynski relation (JR) holds in such setups, if the initial states are microcanonical or even energy eigenstates. We find that the validity of the JR for the microcanonical initial state hinges on an exponential density of states and on stiffness. The latter indicates an independence of the probability density functions (PDFs) of work of the energy of the respective microcanonical initial state. The validity of the JR for initial energy eigenstates is found to additionally require smoothness. The latter indicates an independence of the work PDFs of the specific energy eigenstates within a microcanonical energy shell. As the validity of the JR for pure initial energy eigenstates has no analog in classical systems, we consider it a genuine quantum phenomenon.
We explore some aspects of nonequilibrium statistical mechanics of classical and quantum systems. Two chapters are devoted to fluctuation theorems which were originally derived for classical systems. The main challenge in formulating them in quantum mechanics is the fact that fundamental quantities of interest, like work, are defined via the classical concept of a phase space trajectory. We utilize the decoherent histories conceptual framework, in which classical trajectories emerge in quantum mechanics as a result of coarse graining, and provide a first-principles analysis of the nonequilibrium work relation of Jarzynski and Crooks's fluctuation theorem for a quantum system interacting with a general environment based on the quantum Brownian motion (QBM) model. We indicate a parameter range at low temperatures where the theorems might fail in their original form. Fluctuation theorems of Jarzynski and Crooks for systems obeying classical Hamiltonian dynamics are derived under the assumption that the initial conditions are sampled from a canonical ensemble, even though the equilibrium state of an isolated system is typically associated with the microcanonical ensemble. We address this issue through an exact analysis of the classical Brownian motion model. We argue that a stronger form of ensemble equivalence than usually discussed in equilibrium statistical mechanics is required for these theorems to hold in the infinite environment limit irrespective of the ensemble used, and proceed to prove it for this model. An exact expression for the probability distribution of work is obtained for finite environments. Intuitively one expects a system to relax to an equilibrium state when brought into contact with a thermal environment. Yet it is important to have rigorous results that provide conditions for equilibration and characterize the equilibrium state. We consider the dynamics of open quantum systems using the Langevin and master equations and rigorously show that under fairly general conditions quantum systems interacting with a heat bath relax to the equilibrium state defined as the reduced thermal state of the system plus environment, even in the strong coupling regime. Our proof is valid to second-order in interaction strength for general systems and exact for the linear QBM model, for which we also show the equivalence of multi-time correlations. In the final chapter we give a sampling of our investigations into macroscopic quantum phenomena. We work out in detail a specific example of how and under what conditions the center of mass (CoM) coordinate of a macroscopic object emerges as the relevant degree of freedom. Interaction patterns are studied in terms of the couplings they induce between the CoM and relative coordinates of two macroscopic objects. We discuss the implications of these interaction patterns on macroscopic entanglement.
Previously derived expressions for the characteristic function of work performed on a quantum system by a classical external force are generalized to arbitrary initial states of the considered system and to Hamiltonians with degenerate spectra. In the particular case of microcanonical initial states, explicit expressions for the characteristic function and the corresponding probability density of work are formulated. Their classical limit as well as their relations to the corresponding canonical expressions are discussed. A fluctuation theorem is derived that expresses the ratio of probabilities of work for a process and its time reversal to the ratio of densities of states of the microcanonical equilibrium systems with corresponding initial and final Hamiltonians. From this Crooks-type fluctuation theorem a relation between entropies of different systems can be derived which does not involve the time-reversed process. This entropy-from-work theorem provides an experimentally accessible way to measure entropies.
Understanding and manipulating work fluctuations in microscale and nanoscale systems are of both fundamental and practical interest. For example, in considering the Jarzynski equality $\ensuremath{\langle}{e}^{\ensuremath{-}\ensuremath{\beta}W}\ensuremath{\rangle}={e}^{\ensuremath{-}\ensuremath{\beta}\mathrm{\ensuremath{\Delta}}F}$, a change in the fluctuations of ${e}^{\ensuremath{-}\ensuremath{\beta}W}$ may impact how rapidly the statistical average of ${e}^{\ensuremath{-}\ensuremath{\beta}W}$ converges towards the theoretical value ${e}^{\ensuremath{-}\ensuremath{\beta}\mathrm{\ensuremath{\Delta}}F}$, where WWW is the work, $\ensuremath{\beta}$ is the inverse temperature, and $\mathrm{\ensuremath{\Delta}}F$ is the free energy difference between two equilibrium states. Motivated by our previous study aiming at the suppression of work fluctuations, here we obtain a principle of minimal work fluctuations. In brief, adiabatic processes as treated in quantum and classical adiabatic theorems yield the minimal fluctuations in ${e}^{\ensuremath{-}\ensuremath{\beta}W}$. In the quantum domain, if a system initially prepared at thermal equilibrium is subjected to a work protocol but isolated from a bath during the time evolution, then a quantum adiabatic process without energy level crossing (or an assisted adiabatic process reaching the same final states as in a conventional adiabatic process) yields the minimal fluctuations in ${e}^{\ensuremath{-}\ensuremath{\beta}W}$, where WWW is the quantum work defined by two energy measurements at the beginning and at the end of the process. In the classical domain where the classical work protocol is realizable by an adiabatic process, then the classical adiabatic process also yields the minimal fluctuations in ${e}^{\ensuremath{-}\ensuremath{\beta}W}$. Numerical experiments based on a Landau-Zener process confirm our theory in the quantum domain, and our theory in the classical domain explains our previous numerical findings regarding the suppression of classical work fluctuations [G. Y. Xiao and J. B. Gong, Phys. Rev. E 90, 052132 (2014)].
Work in isolated quantum systems is a random variable and its probability distribution function obeys the celebrated fluctuation theorems of Crooks and Jarzynski. In this study, we provide a simple way to describe the work probability distribution function for sudden quench processes in quantum systems with large Hilbert spaces. This description can be constructed from two elements: the level density of the initial Hamiltonian, and a smoothed strength function that provides information about the influence of the perturbation over the eigenvectors in the quench process, and is especially suited to describe quantum many-body interacting systems. We also show how random models can be used to find such smoothed work probability distribution and apply this approach to different one-dimensional spin-1/2 chain models. Our findings provide an accurate description of the work distribution of such systems in the cases of intermediate and high temperatures in both chaotic and integrable regimes.