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Physical review. E, Statistical physics, plasmas, fluids, and related interdisciplinary topics

Entropy: Thermodynamic definition and quantum expression

Elias P. Gyftopoulos, Erol Çubukçu

Published Apr 1, 1997• 73 citations
Publisher

Abstract

Numerous expressions exist in the scientific literature purporting to represent entropy. Are they all acceptable? To answer this question, we review the thermodynamic definition of entropy, and establish eight criteria that must be satisfied by it. The definition and criteria are obtained by using solely the general, nonstatistical statements of the first and second laws presented in Thermodynamics: Foundations and Applications [Elias P. Gyftopoulos and Gian Paolo Beretta (Macmillan, New York, 1991)]. We apply the eight criteria to each of the entropy expressions proposed in the literature and find that only the relation S=-kTr\ensuremath{\rho}ln \ensuremath{\rho} satisfies all the criteria, provided that the density operator \ensuremath{\rho} corresponds to a homogeneous ensemble of identical systems, identically prepared. Homogeneous ensemble means that every member of the ensemble is described by the same density operator \ensuremath{\rho} as any other member, that is, the ensemble is not a statistical mixture of projectors (wave functions).

DOI
10.1103/physreve.55.3851

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Abstract Numerous expressions exist in the scientific literature purporting to represent entropy. Are they all acceptable? To answer this question, we review the thermodynamic definition of entropy, and establish eight criteria that must be satisfied by it. The definition and criteria are obtained by using solely the general, nonstatistical statements of the first and second laws presented in Thermodynamics: Foundations and Applications by Gyftopoulos and Beretta (1991). We apply the eight criteria to each of the expressions proposed in the literature and, for the first time, find that only the relation S = −kTrρlnρ satisfies all the criteria, provided that the density operator ρ corresponds to a homogeneous ensemble of identical systems, identically prepared. Homogeneous ensemble means that every member of the ensemble is described by the same density operator ρ as any other member, that is, the ensemble is not a statistical mixture of projectors (wave functions).

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Numerous expressions exist in the scientific literature purporting to represent entropy. Are they all acceptable? To answer this question, we review the thermodynamic definition of entropy, and establish eight criteria that must be satisfied by it. The definition and criteria are obtained by using solely the general, nonstatistical statements of the first and second laws presented in Thermodynamics: Foundations and Applications [Elias P. Gyftopoulos and Gian Paolo Beretta (Macmillan, New York, 1991)]. We apply the eight criteria to each of the entropy expressions proposed in the literature and find that only the relation S=-kTr\ensuremath{\rho}ln \ensuremath{\rho} satisfies all the criteria, provided that the density operator \ensuremath{\rho} corresponds to a homogeneous ensemble of identical systems, identically prepared. Homogeneous ensemble means that every member of the ensemble is described by the same density operator \ensuremath{\rho} as any other member, that is, the ensemble is not a statistical mixture of projectors (wave functions).
Abstract Numerous expressions exist in the scientific literature purporting to represent entropy. Are they all acceptable? To answer this question, we review the thermodynamic definition of entropy, and establish eight criteria that must be satisfied by it. The definition and criteria are obtained by using solely the general, nonstatistical statements of the first and second laws presented in Thermodynamics: Foundations and Applications by Gyftopoulos and Beretta (1991). We apply the eight criteria to each of the expressions proposed in the literature and, for the first time, find that only the relation S = −kTrρlnρ satisfies all the criteria, provided that the density operator ρ corresponds to a homogeneous ensemble of identical systems, identically prepared. Homogeneous ensemble means that every member of the ensemble is described by the same density operator ρ as any other member, that is, the ensemble is not a statistical mixture of projectors (wave functions).
Entropy is the distinguishing and most important concept of our efforts to understand and regularize our observations of a very large class of natural phenomena, and yet, it is one of the most contentious concepts of physics. In this article, we review two expositions of thermodynamics, one without reference to quantum theory, and the other quantum mechanical without probabilities of statistical mechanics. In the first, we show that entropy is an inherent property of any system in any state, and that its analytical expression must conform to eight criteria. In the second, we recognize that quantum thermodynamics: (i) admits quantum probabilities described either by wave functions or by nonstatistical density operators; and (ii) requires a nonlinear equation of motion that is delimited by but more general than the Schroedinger equation, and that accounts for both reversible and irreversible evolutions of the state of the system in time. Both the more general quantum probabilities, and the equation of motion have been defined, and the three laws of thermodynamics are shown to be theorems of this equation.
The prevailing beliefs in the scientific and engineering literature are that: (i) thermodynamics is explained and justified by statistical mechanics; (ii) entropy is a statistical measure of disorder; and (iii) for given values of energy, volume, and amounts of constituents, the largest value of entropy corresponds to both a thermodynamic equilibrium state and the ultimate disorder. In this paper, we provide: (i) a summary of the beliefs as stated by some eminent scientists; (ii) experimental evidence that casts serious doubt about the validity of the beliefs; (iii) an outline of a nonstatistical unified quantum theory of mechanics and thermodynamics; (iv) an outline of a nonquantal, nonstatistical exposition of thermodynamics, valid for all systems (both macroscopic and microscopic), and for all states (both thermodynamic equilibrium and not thermodynamic equilibrium); (v) the definition and analytical expression of the entropy of thermodynamics; (vi) the interpretation of entropy as both a measure of the quantum-theoretic spatial shape of a molecule, and an indicator of order; and (vii) nonstatistical answers to the questions that motivated the introduction of statistical mechanics.
To eliminate exceptions to the second law due to fluctuation phenomena, etc., the following changes are necessary. First we must state the laws of thermodynamics in terms of Gibbsian ensembles rather than of individual systems. Second we must sharpen our conception of the experimental procedure required for producing states of thermodynamic equilibrium. It will not suffice to isolate the system and wait. We must have the positive stirring action of thermal contact with a thermostat. Using the new definition of thermal equilibrium we can place statistical mechanics on a more satisfactory footing by showing that the thermostat experimental procedure leads to the canonical ensemble and maximizes v. Neumann's microscopic entropy. (Details of this proof appear in succeeding paper). Difficulties with his macroscopic definition of entropy are avoided by showing that his original microscopic definition is satisfactory when used in conjunction with a proper operational definition of thermodynamic equilibrium. In conclusion the second law of thermodynamics is derived from quantum statistics on the basis of the microscopic definition of entropy.
In quantum mechanics, the expression for entropy is usually taken to be -kTr(ρlnρ), where ρ is the density matrix. The convention first appears in Von Neumann's Mathematical Foundations of Quantum Mechanics. The argument given there to justify this convention is the only one hitherto offered. All the arguments in the field refer to it at one point or another. Here this argument is shown to be invalid. Moreover, it is shown that, if entropy is -kTr(ρlnρ), then perpetual motion machines are possible. This and other considerations support the conclusion that this expression is not the quantum-mechanical correlate of thermodynamic entropy. Its usefulness in quantum-statistical mechanics can be explained by its being a convenient quantification of information, but information and entropy are not synonymous. As the present paper shows, one can change while the other is conserved.
Entropy is a fundamental concept which emerged along with other ideas during the development of thermodynamics and statistical mechanics Landau and Lifshitz (1978); Lieb and Yngvason (1999). Entropy has developed foremost out of phenomenological thermodynamical considerations such as the second law of thermodynamics in which it plays a prominent role Wehrl (1978). With the intense interest in the investigation of the physics of matter at the atomic and subatomic quantum levels, it maywell be askedwhether this concept can emerge out of the study of systems at a more fundamental level. In fact, it may be argued that a correct definition is only possible in the framework of quantum mechanics, whereas in classical mechanics, entropy can only be introduced in a rather limited and artificial way. Entropy relates macroscopic and microscopic aspects of nature, and ultimately determines the behavior of macroscopic systems. It is the intention here to present an introduction to this subject in a readable manner from the quantum point of view. There are many reasons for undertaking this. The intense interest in irreversible thermodynamics Grossing (2008), the statistical mechanics of astrophysical objects Padmanabhan (1990); Pathria (1977), quantum gravity and entropy of black holes Peres & al. (2004), testing quantum mechanics Ballentine (1970) and applications to condensed matter and quantum optics Haroche & al. (2006); Raimond & al. (2001) are just a few areas which are directly or indirectly touched on here. Let us begin by introducing the concept of entropy from the quantummechanical perspective, realizing that the purpose is to focus on quantum mechanics in particular. Quantum mechanics makes a clear distinction between observables and states. Observables such as position and momentum are mathematically described by self-adjoint operators in a Hilbert space. States, which are generally mixed, can be described by a density matrix, which is designated by ρ throughout. This operator ρ is Hermitean, has trace one and yields the expectation value of an observable A in the state ρ through the definition