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arXiv:2102.12294

Integral Fluctuation Theorem for Microcanonical and Pure States

Robin Heveling, Jiaozi Wang, Jochen Gemmer B

Published Feb 24, 2021• 0 citations
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Abstract

We present a derivation of the integral fluctuation theorem (IFT) for isolated quantum systems based on some natural assumptions on transition probabilities. Under these assumptions of "stiffness" and "smoothness" the IFT immediately follows for microcanonical and pure quantum states. We numerically check the IFT as well as the validity of our assumptions by analyzing two exemplary systems. We have been informed by T. Sagawa et al. that he and his co-workers found comparable numerical results and are preparing a corresponding paper, which should be available on the same day as the present text. We recommend reading their submission.

DOI
10.48550/arxiv.2102.12294

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We present a derivation of the integral fluctuation theorem (IFT) for isolated quantum systems based on some natural assumptions on transition probabilities. Under these assumptions of "stiffness" and "smoothness" the IFT immediately follows for microcanonical and pure quantum states. We numerically check the IFT as well as the validity of our assumptions by analyzing two exemplary systems. We have been informed by T. Sagawa et al. that he and his co-workers found comparable numerical results and are preparing a corresponding paper, which should be available on the same day as the present text. We recommend reading their submission.
Fluctuation theorems are cornerstones of modern statistical mechanics and their standard derivations routinely rely on the crucial assumption of a canonical equilibrium state. Yet rigorous derivations of certain fluctuation theorems for microcanonical states and pure energy eigenstates in isolated quantum systems are still lacking and constitute a major challenge to theory. In this work we tackle this challenge and present such a derivation of an integral fluctuation theorem (IFT) by invoking two central and physically natural conditions, i.e., the so-called "stiffness" and "smoothness" of transition probabilities. Our analytical arguments are additionally substantiated by numerical simulations for archetypal many-body quantum systems, including integrable as well as nonintegrable models of interacting spins and hard-core bosons on a lattice. These simulations strongly suggest that "stiffness" and "smoothness" are indeed of vital importance for the validity of the IFT for microcanonical and pure states. Our work contrasts with recent approaches to the IFT based on Lieb-Robinson speeds and the eigenstate thermalization hypothesis.
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.
We expand on the ideas developed by C. Jarzynski in Physica A 552, 122077 (2020), where an integral fluctuation theorem was derived with the aim of obtaining thermodynamic inequalities stronger than those implied by the Jarzynski equality. Restricting ourselves to the quantum setting, we derive the corresponding detailed fluctuation theorem and additional detailed and integral fluctuation theorems; we also provide a clear physical interpretation of the stochastic quantities defined in the previous reference. Furthermore, we show that their averages are given by the nonadiabaticity parameter (i.e., the relative entropy between the final state after a finite-time driving protocol and the corresponding adiabatically evolved state) and the excess work (also known as inner friction). We elaborate on the inequalities derived from the fluctuation theorems and discuss their connection to irreversibility and formulations of the Second Law.
The capabilities of a new approach towards the foundations of Statistical Mechanics are explored. The approach is genuine quantum in the sense that statistical behavior is a consequence of objective quantum uncertainties due to entanglement and uncertainty relations. No additional randomness is added by hand and no assumptions about a priori probabilities are made, instead measure concentration results are used to justify the methods of Statistical Physics. The approach explains the applicability of the microcanonical and canonical ensemble and the tendency to equilibrate in a natural way. This work contains a pedagogical review of the existing literature and some new results. The most important of which are: i) A measure theoretic justification for the microcanonical ensemble. ii) Bounds on the subsystem equilibration time. iii) A proof that a generic weak interaction causes decoherence in the energy eigenbasis. iv) A proof of a quantum H-Theorem. v) New estimates of the average effective dimension for initial product states and states from the mean energy ensemble. vi) A proof that time and ensemble averages of observables are typically close to each other. vii) A bound on the fluctuations of the purity of a system coupled to a bath.