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ETH and Many-Body Localization Through an Operational Basin Diagnostic A Model-Dependent Bridge with Exact Coarse-Dynamics Identities

Peter Nero

Published Jan 15, 2026• 0 citations
Publisher

Abstract

Thermalization described by the eigenstate thermalization hypothesis (ETH) and its failure in many–body localization (MBL) are usually treated as distinct phenomena. We show that both arise as regime limits of a single structural mechanism. Within Modal Triplet Theory, effective many-body dynamics is governed by projection onto an admissible coherent sector, inducing stable basins with finite margins in a coarse-grained state space. ETH corresponds to a high-mixing regime with a dominant thermal basin, while MBL corresponds to fragmentation into many long-lived basins with suppressed escape. The ETH–MBL crossover is governed by collapse of basin margins and admits a sharp but smooth knee regime under standard barrier assumptions. Noise, baths, and monitored measurements probe the same margins, explaining why monitored-circuit entanglement transitions mirror ETH–MBL behavior. The framework yields falsifiable predictions for memory retention, echo protocols, entanglement scaling, and noise sensitivity, and unifies three previously separate research programs within a single reduced-dynamical description.

DOI
10.5281/zenodo.18261959

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Thermalization described by the eigenstate thermalization hypothesis (ETH) and its failure in many–body localization (MBL) are usually treated as distinct phenomena. We show that both arise as regime limits of a single structural mechanism. Within Modal Triplet Theory, effective many-body dynamics is governed by projection onto an admissible coherent sector, inducing stable basins with finite margins in a coarse-grained state space. ETH corresponds to a high-mixing regime with a dominant thermal basin, while MBL corresponds to fragmentation into many long-lived basins with suppressed escape. The ETH–MBL crossover is governed by collapse of basin margins and admits a sharp but smooth knee regime under standard barrier assumptions. Noise, baths, and monitored measurements probe the same margins, explaining why monitored-circuit entanglement transitions mirror ETH–MBL behavior. The framework yields falsifiable predictions for memory retention, echo protocols, entanglement scaling, and noise sensitivity, and unifies three previously separate research programs within a single reduced-dynamical description.
Abstract Statistical mechanics provides a framework for describing the physics of large, complex many-body systems using only a few macroscopic parameters to determine the state of the system. For isolated quantum many-body systems, such a description is achieved via the eigenstate thermalization hypothesis (ETH), which links thermalization, ergodicity and quantum chaotic behavior. However, tendency towards thermalization is not observed at finite system sizes and evolution times in a robust many-body localization (MBL) regime found numerically and experimentally in the dynamics of interacting many-body systems at strong disorder. Although the phenomenology of the MBL regime is well-established, the central question remains unanswered: under what conditions does the MBL regime give rise to an MBL phase , in which the thermalization does not occur even in the asymptotic limit of infinite system size and evolution time? This review focuses on recent numerical investigations aiming to clarify the status of the MBL phase, and it establishes the critical open questions about the dynamics of disordered many-body systems. The last decades of research have brought an unprecedented new variety of tools and indicators to study the breakdown of ergodicity, ranging from spectral and wave function measures, matrix elements of observables, through quantities probing unitary quantum dynamics, to transport and quantum information measures. We give a comprehensive overview of these approaches and attempt to provide a unified understanding of their main features. We emphasize general trends towards ergodicity with increasing length and time scales, which exclude naive single-parameter scaling hypothesis, necessitate the use of more refined scaling procedures, and prevent unambiguous extrapolations of numerical results to the asymptotic limit. Providing a concise description of numerical methods for studying ETH and MBL, we explore various approaches to tackle the question of the MBL phase. Persistent finite size drifts towards ergodicity consistently emerge in quantities derived from eigenvalues and eigenvectors of disordered many-body systems. The drifts are related to continuous inching towards ergodicity and non-vanishing transport observed in the dynamics of many-body systems, even at strong disorder. These phenomena impede the understanding of microscopic processes at the ETH-MBL crossover. Nevertheless, the abrupt slowdown of dynamics with increasing disorder strength provides premises suggesting the proximity of the MBL phase. This review concludes that the questions about thermalization and its failure in disordered many-body systems remain a captivating area open for further explorations.
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.
Eigenstate thermalization hypothesis (ETH) represents a breakthrough in many-body physics since it allows us to link thermalization of physical observables with the applicability of random matrix theory (RMT). Recent years were also extremely fruitful in exploring possible counterexamples to thermalization, ranging, among others, from integrability, single-particle chaos, many-body localization, many-body scars, to Hilbert-space fragmentation. In all these cases the conventional ETH is violated. However, it remains elusive how the conventional ETH breaks down when one approaches the boundaries of ergodicity, and whether the range of validity of the conventional ETH coincides with the validity of RMT-like spectral statistics. Here we bridge this gap and we introduce a scenario of the ETH breakdown in many-body quantum systems, dubbed fading ergodicity regime, which establishes a link between the conventional ETH and nonergodic behavior. We conjecture this scenario to be relevant for the description of finite many-body systems at the boundaries of ergodicity, and we provide numerical and analytical arguments for its validity in the quantum sun model of ergodicity-breaking phase transition. For the latter, we provide evidence that the breakdown of the conventional ETH is not associated with the breakdown of the RMT-like spectral statistics. Published by the American Physical Society 2024
We investigate thermalization in finite quantum systems with strong long-range interactions. Nearly conserved quantities inherited from the fully connected limit organize the Hilbert space into weakly coupled sectors and split the many-body spectrum into energy bands. Despite the resulting breakdown of global ergodicity, quantum chaos develops within individual energy bands, enabling the definition of microcanonical ensembles within the bands. This supports a band-resolved formulation of thermalization, which we term fragmented eigenstate thermalization hypothesis (fETH). Unlike conventional ETH, finite-size scaling in fETH obeys a symmetry-imposed selection rule that restricts which system sizes can be compared. This band-resolved description has consequences for equilibrium statistical mechanics. While microcanonical ensembles remain confined to a single band, canonical ensembles mix different bands. This mismatch explains ensemble inequivalence without invoking equilibrium phase transitions. Our results apply broadly to Hamiltonians near a fully permutation-symmetric limit.
It is well-known that thermalization breaks down in presence of an extensive number of symmetries or conservation laws that are mutually compatible or commuting with each other. We ask here how an extensive number of mutually incompatible local symmetries govern eigenstate thermalization (ETH). We will investigate this through models within the class of bond-dependent Z2\mathbb{Z}_2Z2​-symmetric quantum spin-12\frac{1}{2}21​ Hamiltonians that naturally admit this structure. This leads to exponentially large degeneracies in the spectrum governed by the incompatible symmetry structure. Here, using spectral diagnostics, we show that non-integrability can survive despite extensively many conserved quantities when they are incompatible. Furthermore, we show that ETH behavior persists deep into the many-body spectral edge due to this structure. In other words, incompatible local symmetries enable a mechanism to obtain enough thermodynamic entropy at low excitation energy densities to make ETH operational or predictive near the ground state.
We review some recent developments in the statistical mechanics of isolated quantum systems. We provide a brief introduction to quantum thermalization, paying particular attention to the eigenstate thermalization hypothesis (ETH) and the resulting single-eigenstate statistical mechanics. We then focus on a class of systems that fail to quantum thermalize and whose eigenstates violate the ETH: These are the many-body Anderson-localized systems; their long-time properties are not captured by the conventional ensembles of quantum statistical mechanics. These systems can forever locally remember information about their local initial conditions and are thus of interest for possibilities of storing quantum information. We discuss key features of many-body localization (MBL) and review a phenomenology of the MBL phase. Single-eigenstate statistical mechanics within the MBL phase reveal dynamically stable ordered phases, and phase transitions among them, that are invisible to equilibrium statistical mechanics and can occur at high energy and low spatial dimensionality, where equilibrium ordering is forbidden.