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arXiv:1702.08227 · Physical Review Letters

Systematic Construction of Counterexamples to the Eigenstate Thermalization Hypothesis

Naoto Shiraishi, Takashi Mori

Published Jul 21, 2017• 329 citations
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Abstract

We propose a general method to embed target states into the middle of the energy spectrum of a many-body Hamiltonian as its energy eigenstates. Employing this method, we construct a translationally invariant local Hamiltonian with no local conserved quantities, which does not satisfy the eigenstate thermalization hypothesis. The absence of eigenstate thermalization for target states is analytically proved and numerically demonstrated. In addition, numerical calculations of two concrete models also show that all the energy eigenstates except for the target states have the property of eigenstate thermalization, from which we argue that our models thermalize after a quench even though they do not satisfy the eigenstate thermalization hypothesis.

DOI
10.1103/physrevlett.119.030601

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We propose a general method to embed target states into the middle of the energy spectrum of a many-body Hamiltonian as its energy eigenstates. Employing this method, we construct a translationally invariant local Hamiltonian with no local conserved quantities, which does not satisfy the eigenstate thermalization hypothesis. The absence of eigenstate thermalization for target states is analytically proved and numerically demonstrated. In addition, numerical calculations of two concrete models also show that all the energy eigenstates except for the target states have the property of eigenstate thermalization, from which we argue that our models thermalize after a quench even though they do not satisfy the eigenstate thermalization hypothesis.
In a recent Letter [PhysRevLett.119.030601 (2017), arXiv:1702.08227], Shiraishi and Mori claim to provide a general method for constructing local Hamiltonians that do not exhibit eigenstate thermalization. We argue that the claim is based on a misunderstanding of the eigenstate thermalization hypothesis (ETH). More specifically, on the assumption that ETH is valid for the entire Hamiltonian matrix instead of each symmetry sector independently. We discuss what happens if one mixes symmetry sectors in the two-dimensional transverse field Ising model.
Nonequilibrium dynamics of a nonintegrable system without the eigenstate thermalization hypothesis is studied. It is shown that, in the thermodynamic limit, this model thermalizes after an arbitrary quantum quench at finite temperature, although it does not satisfy the eigenstate thermalization hypothesis. In contrast, when the system size is finite and the temperature is low enough, the system may not thermalize. In this case, the steady state is well described by the generalized Gibbs ensemble constructed by using highly nonlocal conserved quantities. We also show that this model exhibits prethermalization, in which the prethermalized state is characterized by nonthermal energy eigenstates.
Absence of thermalization after a global quantum quench is a well-established numerical observation in integrable many-body systems, and can be empirically related to a violation of the eigenstate thermalization hypothesis (ETH) in such models. Still, in many of those examples a weaker version of the conventional ETH (wETH) has been numerically reported or even rigorously proven. In this paper we show analytically and illustrate numerically that the absence of thermalization is already possible after a local quench. A closely related finding is a strong violation of the ETH, meaning that not even the wETH is fulfilled anymore. In our analytical explorations we focus on XX-spin-chain models with open boundary conditions, where the local quench is generated by initiating the system in thermal equilibrium and then suddenly switching on (or slightly changing) a single-spin impurity either at the end or in the center of the chain. Numerically we observe qualitatively similar phenomena also for more general XXZ-models in the case of an end-impurity, but not in the case of a central impurity.
Deriving conditions under which a macroscopic system thermalizes directly from the underlying quantum many-body dynamics of its microscopic constituents is a long-standing challenge in theoretical physics. The well-known eigenstate thermalization hypothesis (ETH) is presumed to be a key mechanism, but has defied rigorous verification for generic systems thus far. A weaker variant (weak ETH), by contrast, is provably true for a large variety of systems, including even many integrable models, but its implications with respect to the problem of thermalization are still largely unexplored. Here we analytically demonstrate that systems satisfying the weak ETH exhibit thermalization for two very natural classes of far-from-equilibrium initial conditions: the overwhelming majority of all pure states with a preset nonequilibrium expectation value of some given local observable, and the Gibbs states of a Hamiltonian which subsequently is subject to a quantum quench in the form of a sudden change of some local system properties.
Eigenstate thermalization refers to the property that an energy eigenstate of a many-body system is indistinguishable from a thermal equilibrium ensemble at the same energy as far as expectation values of local observables are concerned. In systems with degeneracies, the choice of an energy eigenbasis is not unique and the fraction of basis states exhibiting eigenstate thermalization can vary. We present a simple example where this fraction vanishes in the thermodynamic limit for one basis choice, but remains nonzero for another choice. In other words, the weak eigenstate thermalization hypothesis is satisfied in the first, but violated in the second basis. We furthermore prove that degeneracies must abound whenever a system is simultaneously symmetric under spatial translations and reflection. Finally, we derive general bounds on how strongly eigenstate thermalization may depend on the choice of the basis, and we reveal some interesting implications regarding the temporal relaxation properties of such systems.
The eigenstate thermalization hypothesis conjectures that for a thermodynamically large system in one of its energy eigenstates, the reduced density matrix describing any finite subsystem is determined solely by a set of relevant conserved quantities. In a chaotic quantum system, only the energy is expected to play that role and hence eigenstates appear locally thermal. Integrable systems, on the other hand, possess an extensive number of such conserved quantities and therefore the reduced density matrix requires specification of all the corresponding parameters (generalized Gibbs ensemble). However, here we show by unbiased statistical sampling of the individual eigenstates with a given finite energy density that the local description of an overwhelming majority of these states of even such an integrable system is actually Gibbs-like, i.e., requires only the energy density of the eigenstate. Rare eigenstates that cannot be represented by the Gibbs ensemble can also be sampled efficiently by our method and their local properties are then shown to be described by appropriately truncated generalized Gibbs ensembles. We further show that the presence of these rare eigenstates differentiates the model from the chaotic case and leads to the system being described by a generalized Gibbs ensemble at long time under a unitary dynamics following a sudden quench, even when the initial state is a typical (Gibbs-like) eigenstate of the prequench Hamiltonian.