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arXiv:2408.15832 · Journal of Statistical Physics

Macroscopic Thermalization for Highly Degenerate Hamiltonians After Slight Perturbation

Barbara Roos, Shoki Sugimoto, Stefan Teufel, Roderich Tumulka, Cornelia Vogel

Published Jul 26, 2025• 3 citations
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Abstract

Abstract We say of an isolated macroscopic quantum system in a pure state $$\psi $$ ψ that it is in macroscopic thermal equilibrium (MATE) if $$\psi $$ ψ lies in or close to a suitable subspace $$\mathcal {H}_\textrm{eq}$$ H eq of Hilbert space. It is known that every initial state $$\psi _0$$ ψ 0 will eventually reach and stay there most of the time (“thermalize”) if the Hamiltonian is non-degenerate and satisfies the appropriate version of the eigenstate thermalization hypothesis (ETH), i.e., that every eigenvector is in MATE. Tasaki recently proved the ETH for a certain perturbation $$H_\theta ^\textrm{fF}$$ H θ fF of the Hamiltonian $$H_0^\textrm{fF}$$ H 0 fF of $$N\gg 1$$ N ≫ 1 free fermions on a one-dimensional lattice. The perturbation is needed to remove the high degeneracies of $$H_0^\textrm{fF}$$ H 0 fF . Here, we first point out that also for degenerate Hamiltonians all $$\psi _0$$ ψ 0 thermalize if the ETH holds, i.e., if every eigenbasis lies in MATE, and we prove that this is the case for $$H_0^\textrm{fF}$$ H 0 fF . Inspired by the fact that there is one eigenbasis of $$H_0^\textrm{fF}$$ H 0 fF for which MATE can be proved more easily than for the others, with smaller error bounds, and also in higher spatial dimensions, we show for any given $$H_0$$ H 0 that the existence of one eigenbasis in MATE implies quite generally that most eigenbases of $$H_0$$ H 0 lie in MATE. We also show that, as a consequence, after adding a small generic perturbation, $$H=H_0+\lambda V$$ H = H 0 + λ V with $$\lambda \ll 1$$ λ ≪ 1 , for most perturbations V the perturbed Hamiltonian H satisfies ETH and all states thermalize.

DOI
10.1007/s10955-025-03493-y

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Abstract We say of an isolated macroscopic quantum system in a pure state ψ\psi ψ ψ that it is in macroscopic thermal equilibrium (MATE) if ψ\psi ψ ψ lies in or close to a suitable subspace Heq\mathcal {H}_\textrm{eq}Heq​ H eq of Hilbert space. It is known that every initial state ψ0\psi _0ψ0​ ψ 0 will eventually reach and stay there most of the time (“thermalize”) if the Hamiltonian is non-degenerate and satisfies the appropriate version of the eigenstate thermalization hypothesis (ETH), i.e., that every eigenvector is in MATE. Tasaki recently proved the ETH for a certain perturbation HθfFH_\theta ^\textrm{fF}HθfF​ H θ fF of the Hamiltonian H0fFH_0^\textrm{fF}H0fF​ H 0 fF of N≫1N\gg 1N≫1 N ≫ 1 free fermions on a one-dimensional lattice. The perturbation is needed to remove the high degeneracies of H0fFH_0^\textrm{fF}H0fF​ H 0 fF . Here, we first point out that also for degenerate Hamiltonians all ψ0\psi _0ψ0​ ψ 0 thermalize if the ETH holds, i.e., if every eigenbasis lies in MATE, and we prove that this is the case for H0fFH_0^\textrm{fF}H0fF​ H 0 fF . Inspired by the fact that there is one eigenbasis of H0fFH_0^\textrm{fF}H0fF​ H 0 fF for which MATE can be proved more easily than for the others, with smaller error bounds, and also in higher spatial dimensions, we show for any given H0H_0H0​ H 0 that the existence of one eigenbasis in MATE implies quite generally that most eigenbases of H0H_0H0​ H 0 lie in MATE. We also show that, as a consequence, after adding a small generic perturbation, H=H0+λVH=H_0+\lambda VH=H0​+λV H = H 0 + λ V with λ≪1\lambda \ll 1λ≪1 λ ≪ 1 , for most perturbations V the perturbed Hamiltonian H satisfies ETH and all states thermalize.
We study the nature of and approach to thermal equilibrium in isolated quantum systems. An individual isolated macroscopic quantum system in a pure or mixed state is regarded as being in thermal equilibrium if all macroscopic observables assume rather sharply the values obtained from thermodynamics. Of such a system (or state) we say that it is in macroscopic thermal equilibrium (MATE). A stronger requirement than MATE is that even microscopic observables (i.e., ones referring to a small subsystem) have a probability distribution in agreement with that obtained from the micro‐canonical, or equivalently the canonical, ensemble for the whole system. Of such a system we say that it is in microscopic thermal equilibrium (MITE). The distinction between MITE and MATE is particularly relevant for systems with many‐body localization (MBL) for which the energy eigenfuctions fail to be in MITE while necessarily most of them, but not all, are in MATE. However, if we consider superpositions of energy eigenfunctions (i.e., typical wave functions ψ) in an energy shell, then for generic macroscopic systems, including those with MBL, most ψ are in both MATE and MITE. We explore here the properties of MATE and MITE and compare the two notions, thereby elaborating on ideas introduced in . image
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.
Understanding the evolution towards thermal equilibrium of an isolated quantum system is at the foundation of statistical mechanics and a subject of interest in such diverse areas as cold atom physics or the quantum mechanics of black holes. Since a pure state can never evolve into a thermal density matrix, the Eigenstate Thermalization Hypothesis (ETH) has been put forward by Deutsch and Srednicki as a way to explain this apparent thermalization, similarly to what the ergodic theorem does in classical mechanics. In this paper this hypothesis is tested numerically. First, it is observed that thermalization happens in a subspace of states (the Krylov subspace) with dimension much smaller than that of the total Hilbert space. We check numerically the validity of ETH in such a subspace, for a system of hard core bosons on a two-dimensional lattice. We then discuss how well the eigenstates of the Hamiltonian projected on the Krylov subspace represent the true eigenstates. This discussion is aided by bringing the projected Hamiltonian to the tridiagonal form and interpreting it as an Anderson localization problem for a finite one-dimensional chain. We also consider thermalization of a subsystem and argue that generation of a large entanglement entropy can lead to a thermal density matrix for the subsystem well before the whole system thermalizes. Finally, we comment on possible implications of ETH in quantum gravity.
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.
Under unitary time evolution, expectation values of physically reasonable observables often evolve towards the predictions of equilibrium statistical mechanics. The eigenstate thermalization hypothesis (ETH) states that this is also true already for individual energy eigenstates. Here we aim at elucidating the emergence of the ETH for observables that can realistically be measured due to their high degeneracy, such as local, extensive, or macroscopic observables. We bisect this problem into two parts, a condition on the relative overlaps and one on the relative phases between the eigenbases of the observable and Hamiltonian. We show that the relative overlaps are unbiased for highly degenerate observables and demonstrate that unless relative phases conspire to cumulative effects, this makes such observables verify the ETH. Through this we elucidate potential pathways towards proofs of thermalization.
By applying the theory recently developed by Roos, Sugimoto, Teufel, Tumulka, and Vogel [1], we construct a rigorous example of an isolated macroscopic quantum system in which every initial state chosen from a microcanonical energy shell exhibits thermalization solely by the unitary time evolution determined by the Hamiltonian. We consider the Hamiltonian H^L\hat{H}_LH^L​ of the standard two-dimensional ferromagnetic Ising model with the plus boundary conditions and perturb it with a small self-adjoint operator λLV^Lλ_L\hat{V}_LλL​V^L​ drawn randomly from the space of self-adjoint operators on the whole Hilbert space. The Roos-Sugimoto-Teufel-Tumulka-Vogel theory then guarantees that, for all but an exponentially small fraction of the random perturbations, the model exhibits strong ETH (energy eigenstate thermalization hypothesis), i.e., every energy eigenstate in a microcanonical energy shell is in thermal equilibrium in the sense of large deviation, as precisely stated in the main text. It is then standard that the strong ETH implies the following result for thermalization. Suppose that the initial state Ψ(0)⟩Ψ(0)\rangleΨ(0)⟩ is chosen from the microcanonical energy shell and may be very far from thermal equilibrium. Then the time-evolved state ∣Ψ(t)⟩=e−i(H^L+λLV^L)t∣Ψ(0)⟩|Ψ(t)\rangle=e^{-i(\hat{H}_L+λ_L\hat{V}_L)t}|Ψ(0)\rangle∣Ψ(t)⟩=e−i(H^L​+λL​V^L​)t∣Ψ(0)⟩ is in thermal equilibrium at sufficiently long and typical times ttt, in the sense that the measurement result of the magnetization density almost certainly coincides with the corresponding spontaneous magnetization. When we state ``typical'' and ``almost certainly'' above, we mean that the corresponding exceptional fractions are exponentially small in the system size LLL.