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arXiv:2409.15485 · Communications in Mathematical Physics

Entropic Fluctuations in Statistical Mechanics II. Quantum Dynamical Systems

Tristan Benoist, Laurent Bruneau, Vojkan Jakšić, Annalisa Panati, Claude‐Alain Pillet

Published Aug 1, 2025• 7 citations
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Abstract

Abstract The celebrated Evans–Searles, respectively Gallavotti–Cohen, fluctuation theorem concerns certain universal statistical features of the entropy production rate of a classical system in a transient, respectively steady, state. In this paper, we consider and compare several possible extensions of these fluctuation theorems to quantum systems. In addition to the direct two-time measurement approach whose discussion is based on Benoist et al. (Lett Math Phys 114:32, 2024. https://doi.org/10.1007/s11005-024-01777-0 ), we discuss a variant where measurements are performed indirectly on an auxiliary system called ancilla, and which allows to retrieve non-trivial statistical information using ancilla state tomography. We also show that modular theory provides a way to extend the classical notion of phase space contraction rate to the quantum domain, which leads to a third extension of the fluctuation theorems. We further discuss the quantum version of the principle of regular entropic fluctuations, introduced in the classical context in Jakšić et al. (Nonlinearity 24:699, 2011. https://doi.org/10.1088/0951-7715/24/3/003 ). Finally, we relate the statistical properties of these various notions of entropy production to spectral resonances of quantum transfer operators. The obtained results shed a new light on the nature of entropic fluctuations in quantum statistical mechanics.

DOI
10.1007/s00220-025-05360-z

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The celebrated Evans--Searles, respectively Gallavotti--Cohen, fluctuation theorem concerns certain universal statistical features of the entropy production rate of a classical system in a transient, respectively steady, state. In this paper, we review and compare several possible extensions of these fluctuation theorems to quantum systems. We present, in an introductory way, the approach proposed in a recent series of works [Lett. Math. Phys. 114, 32 (2024): doi:10.1007/s11005-024-01777-0], [Rev. Math. Phys 38, 2461006 (2026): doi:10.1142/S0129055X24610063], [Commun. Math. Phys. 406, 201 (2025): 10.1007/s00220-025-05360-z] and [J. Math. Phys. 67, 022101 (2026): doi:10.1063/5.0311182] including a previously missing extension of the Gallavotti--Cohen (steady state) version of the FT to two-time measurement entropy production in the algebraic setting of quantum dynamical systems. We focus on the open quantum systems, where a small system interacts with several (infinitely extended) reservoirs, and discuss the following approaches: naive, two-time measurement, phase space contraction and ancilla state tomography. We review the connection with modular theory. The latter provides a way to extend the classical notions to the quantum domain. We discuss the quantum version of the principle of regular entropic fluctuations, introduced in the classical context in [Nonlinearity 24, 699 (2011): doi:10.1088/0951-7715/24/3/003]. Finally, we relate the statistical properties of these various notions of entropy production to spectral resonances of quantum transfer operators and apply this approach to a paradigmatic model of non-equilibrium statistical mechanics: the spin-fermion model. The results presented here shed a new light on the nature of entropic fluctuations in quantum statistical mechanics.
We study entropic fluctuations in the Spin–Fermion model describing an N-level quantum system coupled to several independent thermal free Fermi gas reservoirs. We establish the quantum Evans–Searles and Gallavotti–Cohen fluctuation theorems and identify their link with entropic ancilla state tomography and quantum phase space contraction of non-equilibrium steady state. The method of proof involves the spectral resonance theory of quantum transfer operators developed by the authors in previous works.
This chapter presents a self-contained introduction to some recent developments in nonequilibrium quantum statistical mechanics. In the elementary framework of finite dimensional quantum systems it introduces the concept of entropy production and discusses various generating functionals which encode the statistical properties of its fluctuations. It explores the physical interpretations of these functionals and their mathematical properties. In particular, it investigates their relations to linear response theory, full counting statistics, and quantum hypothesis testing. The chapter discusses very briefly more technical issues linked to the thermodynamic limit as well as to the large time limit. These two limits turn the elementary, finite time fluctuation theory into a powerful machinery, which yields important information on the asymptotic behaviour of infinitely extended quantum systems, e.g., open systems coupled to infinite reservoirs. An essential mathematical tool to deal with such a system is Tomita–Takesaki's modular theory of von Neumann algebras. The power of this theory is somewhat shadowed by its technical aspects. Finite dimensional quantum systems are special since all the structures and results of this machinery can be described by elementary tools.
A fluctuation theorem for the nonequilibrium entropy production in quantum phase space is derived, which enables the consistent thermodynamic description of arbitrary quantum systems, open and closed. The new treatment naturally generalizes classical results to the quantum domain. As an illustration the harmonic oscillator dragged through a thermal bath is solved numerically. Finally, the significance of the new approach is discussed in detail, and the phase space treatment is opposed to the two-time energy measurement approach.
This paper addresses fundamental aspects of statistical mechanics such as the motivation of a classical state space with spontaneous transitions, the meaning of non-equilibrium in the context of thermalization, and the justification of these concepts from the quantum-mechanical point of view. After an introductory part we focus on the problem of entropy production in non-equilibrium systems. In particular, the generally accepted formula for entropy production in the environment is analyzed from a critical perspective. It is shown that this formula is only valid in the limit of separated time scales of the system's and the environmental degrees of freedom. Finally, we present an alternative simple proof of the fluctuation theorem.