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arXiv:2601.08347 · Physical Review X

Eigenstate thermalization in thermal first-order phase transitions

Maksym Serbyn, Alexander Avdoshkin, Oriana K. Diessel, David A. Huse

cond-mat.stat-mechcond-mat.dis-nnquant-phSubmitted Jan 13, 2026• Announced Jan 14, 2026• 0 citations

Abstract

The eigenstate thermalization hypothesis (ETH) posits how isolated quantum many-body systems thermalize, assuming that individual eigenstates at the same energy density have identical expectation values of local observables in the limit of large systems. While the ETH apparently holds across a wide range of interacting quantum systems, in this work we show that it requires generalization in the presence of thermal first-order phase transitions. We introduce a class of all-to-all spin models, featuring first-order thermal phase transitions that stem from two distinct mean-field solutions (two ``branches'') that exchange dominance in the many-body density of states as the energy is varied. We argue that for energies in the vicinity of the thermal phase transition, eigenstate expectation values do not need to converge to the same thermal value. The system has a regime with coexistence of two classes of eigenstates corresponding to the two branches with distinct expectation values at the same energy density, and another regime with Schrodinger-cat-like eigenstates that are inter-branch superpositions; these two regimes are separated by an eigenstate phase transition. We support our results by semiclassical calculations and an exact diagonalization study of a microscopic spin model, and argue that the structure of eigenstates in the vicinity of thermal first-order phase transitions can be experimentally probed via non-equilibrium dynamics.

Journal reference: Phys. Rev. X 16, 031042 (2026)
DOI: 10.1103/4zs8-7kf4
Comments: 11 pages, 8 figures

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The eigenstate thermalization hypothesis (ETH) posits how isolated quantum many-body systems thermalize, assuming that individual eigenstates at the same energy density have identical expectation values of local observables in the limit of large systems. While the ETH apparently holds across a wide range of interacting quantum systems, in this work we show that it requires generalization in the presence of thermal first-order phase transitions. We introduce a class of all-to-all spin models, featuring first-order thermal phase transitions that stem from two distinct mean-field solutions (two ``branches'') that exchange dominance in the many-body density of states as the energy is varied. We argue that for energies in the vicinity of the thermal phase transition, eigenstate expectation values do not need to converge to the same thermal value. The system has a regime with coexistence of two classes of eigenstates corresponding to the two branches with distinct expectation values at the same energy density, and another regime with Schrodinger-cat-like eigenstates that are inter-branch superpositions; these two regimes are separated by an eigenstate phase transition. We support our results by semiclassical calculations and an exact diagonalization study of a microscopic spin model, and argue that the structure of eigenstates in the vicinity of thermal first-order phase transitions can be experimentally probed via non-equilibrium dynamics.

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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), which asserts that every eigenstate of a many-body quantum system is indistinguishable from a thermal ensemble, plays a pivotal role in understanding thermalization of isolated quantum systems. Yet, no evidence has been obtained as to whether the ETH holds for all few-body operators in a chaotic system; such few-body operators include key quantities in statistical mechanics, such as the total magnetization, the momentum distributions, and their low-order thermal and quantum fluctuations. Here, we formulate a conjecture that for a generic nonintegrable system the ETH holds simultaneously for all

m

-body operators with

m < α_{\ast} N

in the thermodynamic limit for some nonzero constant

α_{\ast} > 0

. We first show the existence of such nontrivial constants for idealized (pseudo) random-matrix descriptions of many-body eigenstates. We then verify the conjecture for generic spin, Bose, and Fermi systems with local and few-body interactions by large-scale numerical calculations. Our results imply that generic systems satisfy the ETH simultaneously for all few-body operators, including their thermal and quantum fluctuations.

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.