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arXiv:2209.09826

Thermalization without eigenstate thermalization

Aram W. Harrow, Yichen Huang

Published Sep 20, 2022• 0 citations
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Abstract

In an isolated quantum many-body system undergoing unitary evolution, we study the thermalization of a subsystem, treating the rest of the system as a bath. In this setting, the eigenstate thermalization hypothesis (ETH) was proposed to explain thermalization. Consider a nearly integrable Sachdev-Ye-Kitaev model obtained by adding random all-to-all 4-body interactions as a perturbation to a random free-fermion model. When the subsystem size is larger than the square root of but is still a vanishing fraction of the system size, we prove thermalization if the system is initialized in a random product state, while almost all eigenstates violate the ETH. In this sense, the ETH is not a necessary condition for thermalization.

DOI
10.48550/arxiv.2209.09826

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In an isolated quantum many-body system undergoing unitary evolution, we study the thermalization of a subsystem, treating the rest of the system as a bath. In this setting, the eigenstate thermalization hypothesis (ETH) was proposed to explain thermalization. Consider a nearly integrable Sachdev-Ye-Kitaev model obtained by adding random all-to-all 4-body interactions as a perturbation to a random free-fermion model. When the subsystem size is larger than the square root of but is still a vanishing fraction of the system size, we prove thermalization if the system is initialized in a random product state, while almost all eigenstates violate the ETH. In this sense, the ETH is not a necessary condition for thermalization.
If we prepare an isolated, interacting quantum system in an eigenstate and perturb a local observable at an initial time, its expectation value will relax towards a thermal expectation value, even though the time evolution of the system is deterministic. The eigenstate thermalization hypothesis (ETH) of Deutsch and Srednicki suggests that this is possible because each eigenstate of the full quantum system acts as a thermal bath to its subsystems, such that the reduced density matrices of the subsystems resemble thermal density matrices. Here, we use the observation that the eigenvalue distribution of interacting quantum systems is a Gaussian under very general circumstances, and Dyson Brownian motion random matrix theory, to derive the ETH and thereby elevate it from hypothesis to theory. Our analysis provides a derivation of statistical mechanics which neither requires the concepts of ergodicity or typicality, nor that of entropy. Thermodynamic equilibrium follows solely from the applicability of quantum mechanics to large systems and the absence of integrability.
The eigenstate thermalization hypothesis (ETH) is a conjecture on the nature of isolated quantum systems that guarantees the thermal behavior of subsystems when it is satisfied. ETH has been tested in various forms on a number of local many-body interacting systems. Here we examine the validity of ETH in a class of nonlocal disordered many-body interacting systems --- the Sachdev-Ye-Kitaev Majorana (SYK) models --- that may be tuned from chaotic behavior to integrability. Our analysis shows that SYK4_44​ (with quartic couplings) which is maximally chaotic in the large system size limit satisfies the standard ETH scaling while SYK2_22​ (with quadratic couplings), which is integrable, does not. We show that the low-energy and high-energy properties are affected drastically differently when the two Hamiltonians are mixed.
The Eigenstate Thermalization Hypothesis (ETH) explains how isolated quantum many-body systems thermalize by proposing that each energy eigenstate is already thermal. The hypothesis is believed to be essential to the understanding of quantum chaos and implies various important thermodynamic relations. While by now there are many numerical validations of the ETH, only few analytical arguments supporting the ETH have been found (M. Rigol et al., Nature 452, 2008). One of them is based on a semiclassical limit (M. Srednicki, Phys. Rev. E 50, 1994). Another important reasoning was given by Deutsch, who showed how a small interaction, which is modeled by a random matrix, leads to ETH (J.M. Deutsch, Phys. Rev. A 43, 1991). This thesis aims to find justification for the assumptions made by Deutsch from a microscopic point of view. The idea is to analyze whether a generic quantum system can be brought to a form that satisfies Deutsch's ansatz. The method is to use flow equations to define unitary transformations to map the initial Hamiltonian to an effective one, which can be compared to a random matrix. The test system is a one-dimensional hardcore boson model, which is set up using exact diagonalization and numerous symmetries. We analyze the statistical properties of the numerically obtained Hamiltonian matrices and test for normality and compare them to a random transformation. In a second step we verify that the continuous unitary transformations do not destroy the structure of typical few-body observables by studying the scaling of the inverse participation ratio. The obtained results support our hypothesis that it is possible to extend Deutsch's argument to generic microscopic many-body Hamiltonians.
The eigenstate thermalization hypothesis (ETH) has been highly influential in explaining thermodynamic behavior of closed quantum systems. As of yet, it is unclear whether and how the ETH applies to non-Hermitian systems. Here, we introduce a framework that extends the ETH to non-Hermitian systems, within which expectation values of local operators reproduce statistical and scaling predictions known from Hermitian ETH. We illustrate the validity of the framework on non-Hermitian random-matrix and Sachdev-Ye-Kitaev models. Further, we show numerically how the static ETH predictions become imprinted onto the dynamics of local observables. Finally, we present a prescription for observing both ETH-obeying and ETH-violating regimes in an optical-lattice experiment that implements a disordered interacting Hatano-Nelson model. Our results generalize the celebrated ETH to the non-Hermitian setting, and they show how it affects the system dynamics, and how the salient signatures can be observed in present-day cold-atom experiments.
Under the eigenstate thermalization hypothesis (ETH), quantum-quenched systems equilibrate towards canonical, thermal ensembles. While at first glance the ETH might seem a very strong hypothesis, we show that it is indeed not only sufficient but also necessary for thermalization. More specifically, we consider systems coupled to baths with well-defined macroscopic temperature and show that whenever all product states thermalize then the ETH must hold. Our result definitively settles the question of determining whether a quantum system has a thermal behavior, reducing it to checking whether its Hamiltonian satisfies the ETH.
According to the eigenstate thermalization hypothesis (ETH), even isolated quantum systems can thermalize because the eigenstate-to-eigenstate fluctuations of typical observables vanish in the limit of large systems. Of course, isolated systems are by nature finite and the main way of computing such quantities is through numerical evaluation for finite-size systems. Therefore, the finite-size scaling of the fluctuations of eigenstate expectation values is a central aspect of the ETH. In this work, we present numerical evidence that for generic nonintegrable systems these fluctuations scale with a universal power law D-1/2 with the dimension D of the Hilbert space. We provide heuristic arguments, in the same spirit as the ETH, to explain this universal result. Our results are based on the analysis of three families of models and several observables for each model. Each family includes integrable members and we show how the system size where the universal power law becomes visible is affected by the proximity to integrability.