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arXiv:2512.23414

On the existence of the KMS spectral gap in Gaussian quantum Markov semigroups

Zheng Li

math.FAquant-phSubmitted Dec 29, 2025• Announced Dec 30, 2025• 0 citations
v1 · Dec 29, 2025v2 · Aug 20, 2026
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Abstract

In arXiv:2405.04947, it was shown that the GNS spectral gap of a Gaussian quantum Markovian generator is strictly positive if and only if there exists a maximal number of linearly independent noise operators, under the assumption that the generated semigroup admits a unique faithful normal invariant state. In this paper, we provide a necessary and sufficient condition for the existence of the KMS spectral gap, which also depends only on the noise operators of the generator. We further show that the existence of the GNS spectral gap implies the existence of the KMS spectral gap.

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32 pages

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In arXiv:2405.04947, it was shown that the GNS spectral gap of a Gaussian quantum Markovian generator is strictly positive if and only if there exists a maximal number of linearly independent noise operators, under the assumption that the generated semigroup admits a unique faithful normal invariant state. In this paper, we provide a necessary and sufficient condition for the existence of the KMS spectral gap, which also depends only on the noise operators of the generator. We further show that the existence of the GNS spectral gap implies the existence of the KMS spectral gap.
Gaussian quantum Markov semigroups are the natural non-commutative extension of classical Ornstein-Uhlenbeck semigroups. They arise in open quantum systems of bosons where canonical non-commuting random variables of positions and momenta come into play. If there exists a faithful invariant density we explicitly compute the optimal exponential convergence rate, namely the spectral gap of the generator, in non-commutative L 2 spaces determined by the invariant density showing that the exact value is the lowest eigenvalue of a certain matrix determined by the diffusion and drift matrices. The spectral gap turns out to depend on the non-commutative L 2 space considered, whether the one determined by the so-called GNS or KMS multiplication by the square root of the invariant density. In the first case, it is strictly positive if and only if there is the maximum number of linearly independent noises. While, we exhibit explicit examples in which it is strictly positive only with KMS multiplication. We do not assume any symmetry or quantum detailed balance condition with respect to the invariant density.
We establish a relation between the exponential decay rates of quantum Markov semigroups with respect to different inner products. More precisely, it was conjectured by Fagnola, Poletti, Sasso and Umanità that for a Gaussian quantum Markov semigroup, the exponential decay rate with respect to the KMS inner product is bounded below by the exponential decay rate for the GNS inner product. We show that this is indeed the case and not limited to Gaussian quantum Markov semigroups, but holds for quantum Markov semigroups with a faithful normal invariant state on arbitrary von Neumann algebras. Additionally, the KMS inner product can be replaced by a whole class of inner products induced by operator monotone functions.
We characterize compactness of the Hilbert-Schmidt semigroups induced by finite-mode Gaussian quantum Markov semigroups with a faithful normal invariant state. A unitary second-quantization representation for every $ s $-embedding shows that compactness at one positive time, compact resolvent, drift stability, and uniqueness of the normal invariant state are equivalent. These conditions imply immediate trace-class membership for all embeddings. We derive exact trace-norm and Hilbert-Schmidt norm formulas, an embedding-independent trace identity, and the generator spectrum with algebraic multiplicities. Examples show that compactness does not require the existence of a spectral gap and that a spectral gap need not imply compactness when the invariant state is not unique.
Let (Tt)t≥0(T_t)_{t\geq 0}(Tt​)t≥0​ be a Gaussian quantum Markov semigroup with a faithful normal invariant state ρρρ. For every s∈[0,1]s\in[0,1]s∈[0,1], the sss-embedding associated with ρρρ induces a contraction semigroup (Tt(s))t≥0(T_t^{(s)})_{t\geq 0}(Tt(s)​)t≥0​ on the Hilbert--Schmidt space B2(h)\mathcal B_2(\mathsf h)B2​(h); let L(s)L^{(s)}L(s) denote its generator. Without assuming symmetry or quantum detailed balance, we determine the full spectra of L(s)L^{(s)}L(s) and L(s)∗L^{(s)\ast}L(s)∗: they consist, respectively, of the non-negative integer combinations of the eigenvalues of the phase-space drift matrix and of their complex conjugates. We also diagonalize the self-adjoint closure of L(s)∗+L(s)L^{(s)\ast}+L^{(s)}L(s)∗+L(s) and obtain an explicit formula for the spectral gap. Using quantum characteristic functions, we represent Tt(s)T_t^{(s)}Tt(s)​, up to unitary equivalence, as a complex Gaussian integral operator and prove that its kernel is square-integrable for every t>0t>0t>0. Hence Tt(s)T_t^{(s)}Tt(s)​ is a Hilbert--Schmidt operator on B2(h)\mathcal B_2(\mathsf h)B2​(h) for every t>0t>0t>0, and every induced semigroup is immediately compact. Consequently, L(s)L^{(s)}L(s) and L(s)∗L^{(s)\ast}L(s)∗ have compact resolvent for all s∈[0,1]s\in[0,1]s∈[0,1], and their point spectra exhaust their full spectra. These results provide a full quantum counterpart of classical Ornstein--Uhlenbeck spectral theory.
We consider the most general Gaussian quantum Markov semigroup on a one-mode Fock space, discuss its construction from the generalized GKSL representation of the generator. We prove the known explicit formula on Weyl operators, characterize irreducibility and its equivalence to a Hörmander type condition on commutators and establish necessary and sufficient conditions for existence and uniqueness of normal invariant states. We illustrate these results by applications to the open quantum oscillator and the quantum Fokker-Planck model.