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arXiv:2506.13370 · APS Open Science

Quantum thermalization mechanism and the emergence of symmetry-breaking phases

Sebastián Gómez, Ángel L. Corps, Armando Relaño

Published May 1, 2026• 0 citations
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Abstract

We propose a generalization of the eigenstate thermalization hypothesis accountin g for the emergence of symmetry-breaking phases. It consists of two conditions that any system with a degenerate spectrum must fulfill in order to thermalize. The failure of each condition generates a different nonthermalizing scenario. One is due to the absence of chaos and may indicate that extra constants of motion are required to describe equilibrium states. The other one implies the existence of initial conditions evolving toward symmetry-breaking equilibrium states. If it spreads across an entire spectral region, then this region gives rise to a symmetry-breaking phase. We explore the applicability of this formalism by means of numerical experiments on a three-site Bose-Hubbard model with two noncommuting discrete symmetries.

DOI
10.1103/w77n-lyjd

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Thermalization and Out-of-Equilibrium Dynamics in Open Quantum Many-Body Systems

Michael Buchhold

Thermalization, the evolution of an interacting many-body system towards a thermal Gibbs ensemble after initialization in an arbitrary non-equilibrium state, is currently a phenomenon of great interest, both in theory and experiment. As the time evolution of a quantum system is unitary, the proposed mechanism of thermalization in quantum many-body systems corresponds to the so-called eigenstate thermalization hypothesis (ETH) and the typicality of eigenstates. Although this formally solves the contradiction of thermalizing but unitary dynamics in a closed quantum many-body system, it does neither make any statement on the dynamical process of thermalization itself nor in which way the coupling of the system to an environment can hinder or modify the relaxation dynamics. 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Exploiting the inherent photon loss of the cavity, we make predictions of possible measurements on the escaping photons, which contain detailed information of the state inside the cavity and allow for a precise, non-destructive measurement of the glass state. As a further set of non-equilibrium systems, we consider one-dimensional quantum fluids driven out of equilibrium, whose universal low energy theory is formed by the so-called Luttinger Liquid description, which, due to its large degree of universality, is of intense theoretical and experimental interest. A set of recent experiments in research groups in Vienna, Innsbruck and Munich have probed the non-equilibrium time-evolution of one-dimensional quantum fluids for different experimental realizations and are pushing into a time regime, where thermalization is expected. 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We derive a closed expression for the time evolution of the excitation densities in terms of self-energies and vertex corrections. Close to equilibrium, the kinetic equation describes the exponential decay of excitations, with a decay rate $\\sigma^R=\\mbox{Im}\\Sigma^R$, determined by the self-energy at equilibrium. However, for long times $\\tau$, it also reveals the presence of dynamical slow modes, which are the consequence of exactly energy conserving dynamics and lead to an algebraic decay $\\sim\\tau^{-\\eta\\sub{D}}$ with $\\eta_D=0.58$. The presence of these dynamical slow modes is not contained in the equilibrium Matsubara formalism, while they emerge naturally in the non-equilibrium formalism developed in this thesis. In order to initialize a one-dimensional quantum fluid out of equilibrium, we consider an interaction quench in a model of interacting, dispersive fermions in Chap.~\\ref{sec:Quench}. In this scenario, the fermionic interaction is suddenly changed at time $t=0$, such that for $t>0$ the system is not in an eigenstate and therefore undergoes a non-trivial time evolution. For the quadratic theory, the stationary state in the limit $t\\rightarrow\\infty$ is a non-thermal, or prethermal, state, described by a generalized Gibbs ensemble (GGE). The GGE takes into account for the conservation of all integrals of motion, formed by the eigenmodes of the Hamiltonian. On the other hand, in the presence of non-linearities, the final state for $t\\rightarrow\\infty$ is a thermal state with a finite temperature $T>0$. . The spatio-temporal, dynamical thermalization process can be decomposed into three regimes: A prequench regime on the largest distances, which is determined by the initial state, a prethermal plateau for intermediate distances, which is determined by the metastable fixed point of the quadratic theory and a thermal region on the shortest distances. The latter spreads sub-ballistically $\\sim t^{\\alpha}$ in space with $0<\\alpha<1$ depending on the quench. Until complete thermalization (i.e. for times $t<\\infty$), the thermal region contains more energy than the prethermal and prequench region, which is expressed in a larger temperature $T_{t}>T_{\\infty}$, decreasing towards its final value $T_{\\infty}$. As the system has achieved local detailed balance in the thermalized region, energy transport to the non-thermal region can only be performed by the macroscopic dynamical slow modes and the decay of the temperature $T_{t}-T_{\\infty}\\sim t^{-\\eta\\sub{D}}$ again witnesses the presence of these slow modes. The very slow spreading of thermalization is consistent with recent experiments performed in Vienna, which observe a metastable, prethermal state after a quench and only observe the onset of thermalization on much larger time scales. 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This process preserves the system\'s $U(1)$-invariance, i.e. conserves the global particle number, and the corresponding long-wavelength description is a heated, interacting Luttinger Liquid, for which phonon modes are continuously populated with a momentum dependent rate $\\partial_tn_q\\sim\\gamma |q|$. In the dynamics, we identify a quasi-thermal regime for large momenta, featuring an increasing time-dependent effective temperature. In this regime, due to fast phonon-phonon scattering, detailed balance has been achieved and is expressed by a time-local, increasing temperature. The thermal region emerges locally and spreads in space sub-ballistically according to $x_t\\sim t^{4/5}$. For larger distances, the system is described by an non-equilibrium phonon distribution $n_q\\sim |q|$, which leads to a new, non-equilibrium behavior of large distance observables. For instance, the phonon decay rate scales universally as $\\gamma_q\\sim |q|^{5/3}$, with a new non-equilibrium exponent $\\eta=5/3$, which differs from equilibrium. This new, universal behavior is guaranteed by the $U(1)$ invariant dynamics of the system and is insensitive to further subleading perturbations. The non-equilibrium long-distance behavior can be determined experimentally by measuring the static and dynamic structure factor, both of which clearly indicate the exponents for phonon decay, $\\eta=5/3$ and for the spreading of thermalization $\\eta_T=4/5$. Remarkably, even in the presence of this strong external drive, the interactions and their aim to achieve detailed balance are strong enough to establish a locally emerging and spatially spreading thermal region. The physical setups in this thesis do not only reveal interesting and new dynamical features in the out-of-equilibrium time evolution of interacting systems, but they also strongly underline the high degree of universality of thermalization for the classes of models studied here. May it be a system of coupled spins and photons, where the photons are pulled away from a thermal state by Markovian photon d

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11 Thermalization in the Two-Body Random Ensemble

V. K. B. Kota, A. Relaño, J. Retamosa +1 more

Using the ergodicity principle for the expectation values of several types of observables, we investigate the thermalization process in isolated fermionic systems. These are described by the two-body random ensemble, which is a paradigmatic model to study quantum chaos and especially the dynamical transition from integrability to chaos. By means of exact diagonalizations we analyze the relevance of the eigenstate thermalization hypothesis as well as the influence of other factors, such as the energy and structure of the initial state, or the dimension of the Hilbert space. We also obtain analytical expressions linking the degree of thermalization for a given observable with the so-called number of principal components for transition strengths originating at a given energy, with the dimensions of the whole Hilbert space and microcanonical energy shell, and with the correlations generated by the observable. As the strength of the residual interaction is increased, an order-to-chaos transition takes place, and we show that the onset of Wigner spectral fluctuations, which is the standard signature of chaos, is not sufficient to guarantee thermalization in finite systems. When all the signatures of chaos are fulfilled, including the quasicomplete delocalization of eigenfunctions, the eigenstate thermalization hypothesis is the mechanism responsible for the thermalization of certain types of observables, such as (linear combinations of) occupancies and strength function operators. Our results also suggest that fully chaotic systems will thermalize relative to most observables in the thermodynamic limit.

•Jan 1, 2008•24 citations
We propose a generalization of the eigenstate thermalization hypothesis accountin g for the emergence of symmetry-breaking phases. It consists of two conditions that any system with a degenerate spectrum must fulfill in order to thermalize. The failure of each condition generates a different nonthermalizing scenario. One is due to the absence of chaos and may indicate that extra constants of motion are required to describe equilibrium states. The other one implies the existence of initial conditions evolving toward symmetry-breaking equilibrium states. If it spreads across an entire spectral region, then this region gives rise to a symmetry-breaking phase. We explore the applicability of this formalism by means of numerical experiments on a three-site Bose-Hubbard model with two noncommuting discrete symmetries.
Spontaneous symmetry breaking in phase transitions occurs when the system Hamiltonian is symmetric under a certain transformation, but the equilibrium states observed in nature are not. Here we build two noncommuting quantities from the order parameter of the transition and the symmetry operator that are constants of motion when such equilibrium states exist. Then, we derive a general equilibrium ensemble for the ordered phase and show that equilibrium states consisting of superpositions of different symmetry-breaking states, like positive and negative magnetized states, may exist. We propose an experimental realization of such equilibrium states with the state-of-the-art quantum technologies, and test it by means of numerical calculations. Finally, we show that a small symmetry-breaking perturbation in the Hamiltonian stabilizes the conservation of one of the two former quantities, implying that symmetry-breaking equilibrium states become stable even in small quantum systems.
Thermalization, the evolution of an interacting many-body system towards a thermal Gibbs ensemble after initialization in an arbitrary non-equilibrium state, is currently a phenomenon of great interest, both in theory and experiment. As the time evolution of a quantum system is unitary, the proposed mechanism of thermalization in quantum many-body systems corresponds to the so-called eigenstate thermalization hypothesis (ETH) and the typicality of eigenstates. Although this formally solves the contradiction of thermalizing but unitary dynamics in a closed quantum many-body system, it does neither make any statement on the dynamical process of thermalization itself nor in which way the coupling of the system to an environment can hinder or modify the relaxation dynamics. In this thesis, we address both the question whether or not a quantum system driven away from equilibrium is able to relax to a thermal state, which fulfills detailed balance, and if one can identify universal behavior in the non-equilibrium relaxation dynamics. As a first realization of driven quantum systems out of equilibrium, we investigate a system of Ising spins, interacting with the quantized radiation field in an optical cavity. For multiple cavity modes, this system forms a highly entangled and frustrated state with infinite correlation times, known as a quantum spin glass. In the presence of drive and dissipation, introduced by coupling the intra-cavity radiation field to the photon vacuum outside the cavity via lossy mirrors, the quantum glass state is modified in a universal manner. For frequencies below the photon loss rate, the dissipation takes over and the system shows the universal behavior of a dissipative spin glass, with a characteristic spectral density mathcalA(omega)simsqrtomega\\mathcal{A}(\\omega)\\sim\\sqrt{\\omega}mathcalA(omega)simsqrtomega. On the other hand, for frequencies above the loss rate, the system retains the universal behavior of a zero temperature, quantum spin glass. Remarkably, at the glass transition, the two subsystems of spins and photons thermalize to a joint effective temperature, even in the presence of photon loss. This thermalization is a consequence of the strong spin-photon interactions, which favor detailed balance in the system and detain photons from escaping the cavity. In the thermalized system, the features of the spin glass are mirrored onto the photon degrees of freedom, leading to an emergent photon glass phase. Exploiting the inherent photon loss of the cavity, we make predictions of possible measurements on the escaping photons, which contain detailed information of the state inside the cavity and allow for a precise, non-destructive measurement of the glass state. As a further set of non-equilibrium systems, we consider one-dimensional quantum fluids driven out of equilibrium, whose universal low energy theory is formed by the so-called Luttinger Liquid description, which, due to its large degree of universality, is of intense theoretical and experimental interest. A set of recent experiments in research groups in Vienna, Innsbruck and Munich have probed the non-equilibrium time-evolution of one-dimensional quantum fluids for different experimental realizations and are pushing into a time regime, where thermalization is expected. From a theoretical point of view, one-dimensional quantum fluids are particular interesting, as Luttinger Liquids are integrable and therefore, due to an infinite number of constants of motion, do not thermalize. The leading order correction to the quadratic theory is irrelevant in the sense of the renormalization group and does therefore not modify static correlation functions, however, it breaks integrability and will therefore, even if irrelevant, induce a completely different non-equilibrium dynamics as the quadratic Luttinger theory alone. In this thesis, we derive for the first time a kinetic equation for interacting Luttinger Liquids, which describes the time evolution of the excitation densities for arbitrary initial states. The resonant character of the interaction makes a straightforward derivation of the kinetic equation, using Fermi\'s golden rule, impossible and we have to develop non-perturbative techniques in the Keldysh framework. We derive a closed expression for the time evolution of the excitation densities in terms of self-energies and vertex corrections. Close to equilibrium, the kinetic equation describes the exponential decay of excitations, with a decay rate sigmaR=mboxImSigmaR\\sigma^R=\\mbox{Im}\\Sigma^RsigmaR=mboxImSigmaR, determined by the self-energy at equilibrium. However, for long times tau\\tautau, it also reveals the presence of dynamical slow modes, which are the consequence of exactly energy conserving dynamics and lead to an algebraic decay simtau−etasubD\\sim\\tau^{-\\eta\\sub{D}}simtau−etasubD with etaD=0.58\\eta_D=0.58etaD​=0.58. The presence of these dynamical slow modes is not contained in the equilibrium Matsubara formalism, while they emerge naturally in the non-equilibrium formalism developed in this thesis. In order to initialize a one-dimensional quantum fluid out of equilibrium, we consider an interaction quench in a model of interacting, dispersive fermions in Chap.~\\ref{sec:Quench}. In this scenario, the fermionic interaction is suddenly changed at time t=0t=0t=0, such that for t>0t>0t>0 the system is not in an eigenstate and therefore undergoes a non-trivial time evolution. For the quadratic theory, the stationary state in the limit trightarrowinftyt\\rightarrow\\inftytrightarrowinfty is a non-thermal, or prethermal, state, described by a generalized Gibbs ensemble (GGE). The GGE takes into account for the conservation of all integrals of motion, formed by the eigenmodes of the Hamiltonian. On the other hand, in the presence of non-linearities, the final state for trightarrowinftyt\\rightarrow\\inftytrightarrowinfty is a thermal state with a finite temperature T>0T>0T>0. . The spatio-temporal, dynamical thermalization process can be decomposed into three regimes: A prequench regime on the largest distances, which is determined by the initial state, a prethermal plateau for intermediate distances, which is determined by the metastable fixed point of the quadratic theory and a thermal region on the shortest distances. The latter spreads sub-ballistically simtalpha\\sim t^{\\alpha}simtalpha in space with 0<alpha<10<\\alpha<10<alpha<1 depending on the quench. Until complete thermalization (i.e. for times t<inftyt<\\inftyt<infty), the thermal region contains more energy than the prethermal and prequench region, which is expressed in a larger temperature Tt>TinftyT_{t}>T_{\\infty}Tt​>Tinfty​, decreasing towards its final value TinftyT_{\\infty}Tinfty​. As the system has achieved local detailed balance in the thermalized region, energy transport to the non-thermal region can only be performed by the macroscopic dynamical slow modes and the decay of the temperature Tt−Tinftysimt−etasubDT_{t}-T_{\\infty}\\sim t^{-\\eta\\sub{D}}Tt​−Tinfty​simt−etasubD again witnesses the presence of these slow modes. The very slow spreading of thermalization is consistent with recent experiments performed in Vienna, which observe a metastable, prethermal state after a quench and only observe the onset of thermalization on much larger time scales. As an immediate indication of thermalization, we determine the time evolution of the fermionic momentum distribution after a quench from non-interacting to interacting fermions. For this quench scenario, the step in the Fermi distribution at the Fermi momentum ksubFk\\sub{F}ksubF decays to zero algebraically in the absence of a non-linearity but as a stretched exponential (the exponent being proportional to the non-linearity) in the presence of a finite non-linearity. This can serve as a proof for the presence or absence of the non-linearity even on time-scales for which thermalization can not yet be observed. Finally, we consider a bosonic quantum fluid, which is driven away from equilibrium by permanent heating. The origin of the heating is atomic spontaneous emission of laser photons, which are used to create a coherent lattice potential in optical lattice experiments. This process preserves the system\'s U(1)U(1)U(1)-invariance, i.e. conserves the global particle number, and the corresponding long-wavelength description is a heated, interacting Luttinger Liquid, for which phonon modes are continuously populated with a momentum dependent rate partialtnqsimgamma∣q∣\\partial_tn_q\\sim\\gamma |q|partialt​nq​simgamma∣q∣. In the dynamics, we identify a quasi-thermal regime for large momenta, featuring an increasing time-dependent effective temperature. In this regime, due to fast phonon-phonon scattering, detailed balance has been achieved and is expressed by a time-local, increasing temperature. The thermal region emerges locally and spreads in space sub-ballistically according to xtsimt4/5x_t\\sim t^{4/5}xt​simt4/5. For larger distances, the system is described by an non-equilibrium phonon distribution nqsim∣q∣n_q\\sim |q|nq​sim∣q∣, which leads to a new, non-equilibrium behavior of large distance observables. For instance, the phonon decay rate scales universally as gammaqsim∣q∣5/3\\gamma_q\\sim |q|^{5/3}gammaq​sim∣q∣5/3, with a new non-equilibrium exponent eta=5/3\\eta=5/3eta=5/3, which differs from equilibrium. This new, universal behavior is guaranteed by the U(1)U(1)U(1) invariant dynamics of the system and is insensitive to further subleading perturbations. The non-equilibrium long-distance behavior can be determined experimentally by measuring the static and dynamic structure factor, both of which clearly indicate the exponents for phonon decay, eta=5/3\\eta=5/3eta=5/3 and for the spreading of thermalization etaT=4/5\\eta_T=4/5etaT​=4/5. Remarkably, even in the presence of this strong external drive, the interactions and their aim to achieve detailed balance are strong enough to establish a locally emerging and spatially spreading thermal region. The physical setups in this thesis do not only reveal interesting and new dynamical features in the out-of-equilibrium time evolution of interacting systems, but they also strongly underline the high degree of universality of thermalization for the classes of models studied here. May it be a system of coupled spins and photons, where the photons are pulled away from a thermal state by Markovian photon d
Over the last several decades, two theoretical tools have been indispensable in the field of statistical physics. Spontaneous symmetry breaking has allowed for the description of systems which exhibit second order phase transitions, while the eigenstate thermalization hypothesis has provided a theoretical framework for understanding how isolated quantum many-body systems come to thermal equilibrium. In this dissertation, we will explore the compatibility of these two paradigms of theoretical physics.We will begin with a brief introduction to the relevant topics discussed in the main body of the dissertation, along with a brief overview of the numerical tools used in the subsequent investigations.Following this, we will numerically explore the compatibility between spontaneous symmetry breaking and eigenstate thermalization through a sequence of papers which have been previously published by myself and a collection of other authors. We will study the compatibility of these two theoretical frameworks through an exact diagonalization and Quantum Monte Carlo study of the Transverse-Field Ising model, a quantum non-integrable system which, we argue, displays both spontaneous symmetry breaking and eigenstate thermalization.Following this exposition, we will briefly comment on several corollaries which follow from these previously published papers, some of which we are currently preparing to incorporate into future publications. These corollaries largely focus on the subject of time evolution in quantum systems which display both spontaneous symmetry breaking and eigenstate thermalization, as well as the possibility that individual eigenstates of such systems may contain information about the critical behaviour of the corresponding finite-temperature phase transition.
Using the ergodicity principle for the expectation values of several types of observables, we investigate the thermalization process in isolated fermionic systems.These are described by the two-body random ensemble, which is a paradigmatic model to study quantum chaos and especially the dynamical transition from integrability to chaos.By means of exact diagonalizations we analyze the relevance of the eigenstate thermalization hypothesis as well as the influence of other factors, such as the energy and structure of the initial state, or the dimension of the Hilbert space.We also obtain analytical expressions linking the degree of thermalization for a given observable with the so-called number of principal components for transition strengths originating at a given energy, with the dimensions of the whole Hilbert space and microcanonical energy shell, and with the correlations generated by the observable.As the strength of the residual interaction is increased, an order-to-chaos transition takes place, and we show that the onset of Wigner spectral fluctuations, which is the standard signature of chaos, is not sufficient to guarantee thermalization in finite systems.When all the signatures of chaos are fulfilled, including the quasicomplete delocalization of eigenfunctions, the eigenstate thermalization hypothesis is the mechanism responsible for the thermalization of certain types of observables, such as (linear combinations of) occupancies and strength function operators.Our results also suggest that fully chaotic systems will thermalize relative to most observables in the thermodynamic limit.
The phenomenon of spontaneous symmetry breaking is investigated in the dynamic thermalization of a degenerate quantum system. A three-level system interacting with a heat bath is carefully studied to this end. It is shown that the three-level system with degenerate ground states might have different behaviors depending on the details of the interaction with the heat bath when the temperature approaches zero. If we introduce an external field to break the degeneracy of the ground states and let it approach zero after letting the temperature approach zero, then two possibilities will arise: the steady state is a definite one of the degenerate states independent of the initial state, or the steady state is dependent on the initial state in a complicated way. The first possibility corresponds to a spontaneous symmetry breaking of the system and the second one implies that the heat bath could not totally erase the initial information in certain cases.
Using the ergodicity principle for the expectation values of several types of observables, we investigate the thermalization process in isolated fermionic systems. These are described by the two-body random ensemble, which is a paradigmatic model to study quantum chaos and especially the dynamical transition from integrability to chaos. By means of exact diagonalizations we analyze the relevance of the eigenstate thermalization hypothesis as well as the influence of other factors, such as the energy and structure of the initial state, or the dimension of the Hilbert space. We also obtain analytical expressions linking the degree of thermalization for a given observable with the so-called number of principal components for transition strengths originating at a given energy, with the dimensions of the whole Hilbert space and microcanonical energy shell, and with the correlations generated by the observable. As the strength of the residual interaction is increased, an order-to-chaos transition takes place, and we show that the onset of Wigner spectral fluctuations, which is the standard signature of chaos, is not sufficient to guarantee thermalization in finite systems. When all the signatures of chaos are fulfilled, including the quasicomplete delocalization of eigenfunctions, the eigenstate thermalization hypothesis is the mechanism responsible for the thermalization of certain types of observables, such as (linear combinations of) occupancies and strength function operators. Our results also suggest that fully chaotic systems will thermalize relative to most observables in the thermodynamic limit.