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arXiv:1903.11870

Gibbs and boltzmann entropy in classical and quantum mechanics

Sheldon Goldstein, Joel L. Lebowitz, Roderich Tumulka, Nino Zanghı̀

Published Mar 28, 2019• 17 citations
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Abstract

The Gibbs entropy of a macroscopic classical system is a function of a probability distribution over phase space, i.e., of an ensemble. In contrast, the Boltzmann entropy is a function on phase space, and is thus defined for an individual system. Our aim is to discuss and compare these two notions of entropy, along with the associated ensemblist and individualist views of thermal equilibrium. Using the Gibbsian ensembles for the computation of the Gibbs entropy, the two notions yield the same (leading order) values for the entropy of a macroscopic system in thermal equilibrium. The two approaches do not, however, necessarily agree for non-equilibrium systems. For those, we argue that the Boltzmann entropy is the one that corresponds to thermodynamic entropy, in particular in connection with the second law of thermodynamics. Moreover, we describe the quantum analog of the Boltzmann entropy, and we argue that the individualist (Boltzmannian) concept of equilibrium is supported by the recent works on thermalization of closed quantum systems.

DOI
10.1142/9789811211720_014

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The Gibbs entropy of a macroscopic classical system is a function of a probability distribution over phase space, i.e., of an ensemble. In contrast, the Boltzmann entropy is a function on phase space, and is thus defined for an individual system. Our aim is to discuss and compare these two notions of entropy, along with the associated ensemblist and individualist views of thermal equilibrium. Using the Gibbsian ensembles for the computation of the Gibbs entropy, the two notions yield the same (leading order) values for the entropy of a macroscopic system in thermal equilibrium. The two approaches do not, however, necessarily agree for non-equilibrium systems. For those, we argue that the Boltzmann entropy is the one that corresponds to thermodynamic entropy, in particular in connection with the second law of thermodynamics. Moreover, we describe the quantum analog of the Boltzmann entropy, and we argue that the individualist (Boltzmannian) concept of equilibrium is supported by the recent works on thermalization of closed quantum systems.
The Gibbs entropy of a macroscopic classical system is a function of a probability distribution over phase space, i.e., of an ensemble. In contrast, the Boltzmann entropy is a function on phase space, and is thus defined for an individual system. Our aim is to discuss and compare these two notions of entropy, along with the associated ensemblist and individualist views of thermal equilibrium. Using the Gibbsian ensembles for the computation of the Gibbs entropy, the two notions yield the same (leading order) values for the entropy of a macroscopic system in thermal equilibrium. The two approaches do not, however, necessarily agree for non-equilibrium systems. For those, we argue that the Boltzmann entropy is the one that corresponds to thermodynamic entropy, in particular, in connection with the second law of thermodynamics. Moreover, we describe the quantum analog of the Boltzmann entropy, and we argue that the individualist (Boltzmannian) concept of equilibrium is supported by the recent works on thermalization of closed quantum systems.
A crucial point in statistical mechanics is the definition of the notion of thermal equilibrium, which can be given as the state that maximises the von Neumann entropy, under the validity of some constraints. Arguing that such a notion can never be experimentally probed, in this paper we propose a new notion of thermal equilibrium, focused on observables rather than on the full state of the quantum system. We characterise such notion of thermal equilibrium for an arbitrary observable via the maximisation of its Shannon entropy and we bring to light the thermal properties that it heralds. The relation with Gibbs ensembles is studied and understood. We apply such a notion of equilibrium to a closed quantum system and show that there is always a class of observables which exhibits thermal equilibrium properties and we give a recipe to explicitly construct them. Eventually, an intimate connection with the Eigenstate Thermalisation Hypothesis is brought to light.
We investigate the detailed properties of observational entropy, introduced by \ifmmode \check{S}\else \v{S}\fi{}afr\'anek et al. [Phys. Rev. A 99, 010101 (2019)] as a generalization of Boltzmann entropy to quantum mechanics. This quantity can involve multiple coarse grainings, even those that do not commute with each other, without losing any of its properties. It is well-defined out of equilibrium, and for some coarse grainings it generically rises to the correct thermodynamic value even in a genuinely isolated quantum system. The quantity contains several other entropy definitions as special cases, it has interesting information-theoretic interpretations, and mathematical properties---such as extensivity and upper and lower bounds---suitable for an entropy. Here we describe and provide proofs for many of its properties, discuss its interpretation and connection to other quantities, and provide numerous simulations and analytic arguments supporting the claims of its relationship to thermodynamic entropy. This quantity may thus provide a clear and well-defined foundation on which to build a satisfactory understanding of the second thermodynamical law in quantum mechanics.
We consider the notion of thermal equilibrium for an individual closed macroscopic quantum system in a pure state, i.e., described by a wave function. The macroscopic properties in thermal equilibrium of such a system, determined by its wave function, must be the same as those obtained from thermodynamics, e.g., spatial uniformity of temperature and chemical potential. When this is true we say that the system is in macroscopic thermal equilibrium (MATE). Such a system may, however, not be in microscopic thermal equilibrium (MITE). The latter requires that the reduced density matrices of small subsystems be close to those obtained from the microcanonical, equivalently the canonical, ensemble for the whole system. The distinction between MITE and MATE is particularly relevant for systems with many-body localization for which the energy eigenfuctions fail to be in MITE while necessarily most of them, but not all, are in MATE. We note, however, that for generic macroscopic systems, including those with MBL, most wave functions in an energy shell are in both MATE and MITE. For a classical macroscopic system, MATE holds for most phase points on the energy surface, but MITE fails to hold for any phase point.
The proper definition of entropy is fundamental to the relationship between statistical mechanics and thermodynamics. It also plays a major role in the recent debate about the validity of the concept of negative temperature. In this paper, I analyze and calculate the thermodynamic entropy for large but finite quantum mechanical systems. A special feature of this analysis is that the thermodynamic energy of a quantum system is shown to be a continuous variable, rather than being associated with discrete energy eigenvalues. Calculations of the entropy as a function of energy can be carried out with a Legendre transform of thermodynamic potentials obtained from a canonical ensemble. The resultant expressions for the entropy are able to describe equilibrium between quantum systems having incommensurate energy-level spacings. This definition of entropy preserves all required thermodynamic properties, including satisfaction of all postulates and laws of thermodynamics. It demonstrates the consistency of the concept of negative temperature with the principles of thermodynamics.
A way to construct Boltzmann entropy, i.e., the entropy as a function of a microscopic pure state, for quantum field systems is proposed. Operators that shift the field in wave-vector space are used in the construction. By employing an assumption that some terms emerging due to the shift are negligible in the thermodynamic limit, it is shown that, for almost all states in the ensemble of pure states corresponding to a thermodynamic state, the value of the proposed Boltzmann entropy coincides with that of the thermodynamic entropy for the thermodynamic state. For general self-interacting fields, the Boltzmann entropy evolves with time under Hamiltonian dynamics, so that it is capable of characterizing the thermalization of isolated quantum field systems.