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Macroscopic States, Operations, and Entropy : An Observer-Centric Approach

Nagasawa, Teruaki

Published Mar 25, 2026• 0 citations
OpenAlex

Abstract

The goal of this thesis is to define the concept of coarse-graining in quantum systems through measurements and to develop a unified mathematical framework for macroscopic states, operations, correlations, and entropy.Within this framework, irreversible phenomena arise from the loss of statistical information that is accessible to macroscopic observers.To achieve this goal, we rigorously define macroscopicity.This thesis investigates observational entropy, a concept that unifies Boltzmann entropy, Gibbs entropy, von Neumann's macroscopic entropy, and diagonal entropy.Our approach to explaining how irreversibility arises in isolated quantum systems is based on this unified perspective.When the initial state is "macroscopic," we use Petz's theory of statistical sufficiency to show that observational entropy strictly increases with unitary time evolution.Furthermore, we show that, for any initial state, the probability of the system's observational entropy increasing and rapidly reaching its maximum value under random unitary time evolution is extremely high.Specifically, we demonstrate that when measurements on a quantum system are sufficiently coarse-grained relative to its size, its initial state (whether pure or mixed) becomes indistinguishable from the maximally mixed state through random time evolution.We show that this holds not only for random time evolutions sampled according to the Haar measure, but also for approximate 2-designs, which are considered more physically realistic models.Next, we extend this framework by introducing positive operator-valued measures (POVMs) and quantum prior states.This allows us to construct a unified inferential framework for macroscopic states.A macroscopic state can be characterized using equivalent algebraic and constructive formulations based on quantum statistical sufficiency.This approach is based on the concept of an observational deficit, which quantifies the degree to which a state is "irretrodictable" relative to prior and measurement.This structure is formulated as an "inferential reference frame" that encapsulates the observer's informational perspective.Furthermore, we treat macroscopic states as free states and construct the resource theory of microscopicity.This theory unifies existing theories of coherence, athermality and asymmetry.Finally, we extend this framework to the study of quantum correlations under observational constraints.This enables us to show that quantum correlations, such as entanglement and quantum discord, are context-dependent resources that depend on the observer's reference frame.I would like to express my deepest gratitude to my supervisor,

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Macroscopic States, Operations, and Entropy : An Observer-Centric Approach

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The goal of this thesis is to define the concept of coarse-graining in quantum systems through measurements and to develop a unified mathematical framework for macroscopic states, operations, correlations, and entropy.Within this framework, irreversible phenomena arise from the loss of statistical information that is accessible to macroscopic observers.To achieve this goal, we rigorously define macroscopicity.This thesis investigates observational entropy, a concept that unifies Boltzmann entropy, Gibbs entropy, von Neumann's macroscopic entropy, and diagonal entropy.Our approach to explaining how irreversibility arises in isolated quantum systems is based on this unified perspective.When the initial state is "macroscopic," we use Petz's theory of statistical sufficiency to show that observational entropy strictly increases with unitary time evolution.Furthermore, we show that, for any initial state, the probability of the system's observational entropy increasing and rapidly reaching its maximum value under random unitary time evolution is extremely high.Specifically, we demonstrate that when measurements on a quantum system are sufficiently coarse-grained relative to its size, its initial state (whether pure or mixed) becomes indistinguishable from the maximally mixed state through random time evolution.We show that this holds not only for random time evolutions sampled according to the Haar measure, but also for approximate 2-designs, which are considered more physically realistic models.Next, we extend this framework by introducing positive operator-valued measures (POVMs) and quantum prior states.This allows us to construct a unified inferential framework for macroscopic states.A macroscopic state can be characterized using equivalent algebraic and constructive formulations based on quantum statistical sufficiency.This approach is based on the concept of an observational deficit, which quantifies the degree to which a state is "irretrodictable" relative to prior and measurement.This structure is formulated as an "inferential reference frame" that encapsulates the observer's informational perspective.Furthermore, we treat macroscopic states as free states and construct the resource theory of microscopicity.This theory unifies existing theories of coherence, athermality and asymmetry.Finally, we extend this framework to the study of quantum correlations under observational constraints.This enables us to show that quantum correlations, such as entanglement and quantum discord, are context-dependent resources that depend on the observer's reference frame.I would like to express my deepest gratitude to my supervisor,
One of the major unsolved problems in physics is the contradiction betwee n the reversibility of the microscopic world, as described by quantum mech anics, and the irreversibility of the macroscopic world, as described by c lassical thermodynamics and statistical mechanics.Specifically, time evol ution governed by the Schrödinger equation is unitary and possesses time-r eversal symmetry, and the von Neumann entropy of a microscopic system is c onserved.However, the entropy increase observed in macroscopic, isolated systems according to the second law of thermodynamics cannot be explained by unitary time evolution and von Neumann entropy alone.This doctoral dissertation presents a unified framework that uses observe rs to explain the contradiction.Based on von Neumann's concept of macrosc opic entropy, the framework redefines these concepts through the lens of q uantum information theory and specifically, Petz's theory of quantum suffi ciency and resource theory.This research proposes that macroscopic irreversible phenomena do not vio late physical laws.Instead, these phenomena result from the loss of stati stical information caused by limitations in an observer's measurement capa bilities or by coarsening.This doctoral thesis specifically focuses on ob servational entropy, which is a generalization of von Neumann's macroscopi c entropy.Chapter 4 of this study reinterprets von Neumann's H-theorem within a con temporary framework.The chapter provides a mathematical proof of the irre versible increase of observational entropy in isolated quantum systems.It was demonstrated that, when the system's initial state is macroscopic, or lacking microscopic details with respect to a specific measurement, obser Macroscopic States, Operations, and Entropy: An Obser ver-Centric Approach (巨視的な状態、操作、エントロピー ：観測者中心のアプローチ) 長澤 輝明
We build a framework for the thermodynamics of macroscopic quantum systems. In contrast with approaches requiring access to the full density matrix, our framework relies on a coarse-grained description, based on measurement statistics of a few observables. When these observables commute, the outcomes define classical macrostates whose entropy is quantified by observational entropy, accounting for uncertainty about both the macrostate and the microstate within it. We extend this notion to non-commuting observables forming a subalgebra of the operator space, and use Jaynes' principle to define an algebra-dependent entropy interpolating between von Neumann and observational entropies. Given initial and final measurement sets, connected by internal and/or environment-induced dynamics, we derive a second law for the coarse-grained dynamics. Unlike formulations based on von Neumann entropy, our inequality captures irreversibility from both non-unitary environment-induced dynamics and internal equilibration. It takes the usual form of a positive entropy production when the system is initially at internal equilibrium, while correction terms capture nonequilibrium resources ignored by the coarse-graining. We also derive fluctuation theorems for coarse-grained thermodynamic quantities. Along a quasi-static path of measurement schemes, we identify quantum macroscopic notions of work and heat fulfilling the first and second laws, including an additional work contribution from manipulating the algebra to which the system is confined, through external constraints or quantum measurement backaction. Finally, we apply our framework to examples illustrating the impact of varying the coarse-graining scheme. Our approach unifies macroscopic and stochastic thermodynamics in a genuinely quantum framework, laying the basis for a versatile, experimentally friendly toolbox to analyze complex quantum dynamics.
Observational entropy—a quantity that unifies Boltzmann's entropy, Gibbs' entropy, von Neumann's macroscopic entropy, and the diagonal entropy—was recently argued to play a key role in a modern formulation of statistical mechanics. Here, relying on algebraic techniques taken from Petz's theory of statistical sufficiency and on a Lévy-type concentration bound, we prove rigorous theorems showing how the observational entropy of a system undergoing a unitary evolution chosen at random tends to increase with overwhelming probability and to reach its maximum very quickly. More precisely, we show that for any observation that is sufficiently coarse with respect to the size of the system, regardless of the initial state of the system (be it pure or mixed), random evolution renders its state practically indistinguishable from the uniform (i.e., maximally mixed) distribution with a probability approaching 1 as the size of the system grows. The same conclusion holds not only for random evolutions sampled according to the unitarily invariant Haar distribution but also for approximate 2-designs, which are thought to provide a more physically and computationally reasonable model of random evolutions. Published by the American Physical Society 2024
Quantum mechanics is widely recognised as being incomplete. It is not consistent with the second law of thermodynamics and does not provide a scientifically credible physical account of the measurement process, the means by which coherence is broken and classically observable states are recorded. This has led to many ad hoc assumptions being used to account for various properties of quantum systems, among which is the coherence time of quantum devices that determines their ability to perform computations. Here, we show that all these properties can be accommodated naturally and consistently in the context of mixing quantum systems which exhibit continuous spectra, as arises in the thermodynamic limit in quantum statistical mechanics and quantum gravity. In particular, for isolated systems we show that the time-reversal symmetry associated with unitary time evolution of the quantum state gives rise to time-symmetry breaking and a semi-group evolution which attains thermodynamic equilibrium at long times. Moreover, the emergence of this non-unitary time-asymmetry leads to microcanonical equilibrium states in which all quantum coherence is lost and is accompanied by the transformation of pure states into mixtures, leading in turn to an increase in entropy. Inclusion of a macroscopic measurement apparatus shows how the outcome of a measurement corresponds to the von Neumann projection postulate, arising with probabilities in conformance with the Born rule. The mathematical structure of the theory which applies to quantum systems with continuous spectra is closely analogous to the classical ergodic theory of dynamical systems and the conditions under which they attain equilibrium states.
The definition of entropy in both classical and quantum contexts relies on a coarse-graining of the underlying microscopic description. While this dependence is widely acknowledged, the physical constraints that determine which coarse-grainings are admissible are rarely made explicit. This issue becomes particularly acute when the universe is treated as a closed system, where no external observer or privileged level of description can be assumed. Any characterization of entropy — including claims about the low-entropy initial conditions of the universe — must then be grounded in descriptions that can be physically instantiated from within the system itself. In this work, we introduce a rigorous operational framework that establishes explicit physical selection principles over the space of admissible descriptions. We organize these criteria into necessary conditions (local accessibility and physical implementation via internal interactions) and practical sufficiency conditions (finite resource requirements anchored in Landauer’s principle, dynamical stability, and effective consistency). To demonstrate the validity of our framework, we introduce a concrete one-dimensional spin-chain toy model, illustrating how mathematically valid global partitions fail to be physically realizable due to dynamic propagation limits and informational constraints. We analyze the far-reaching implications of this restriction across three domains. In classical statistical mechanics, it limits the arbitrariness of macrostate definitions. In quantum theory, it identifies environment-induced decoherence (einselection) not merely as a formal tool, but as the objective dynamical mechanism that forces the emergence of admissible internal partitions. In cosmology, it resolves foundational circularities in the quasi-classical histories framework and reframes the thermodynamic arrow of time as a "doubly relational" property—dependent both on cosmic boundary conditions and on the material limits of internal subsystems. Our framework clarifies the operational status of entropy as an emergent property of physically instantiated descriptions within a universe that observes itself.
This work presents a conceptual and mathematical framework addressing the longstanding tension between microscopic reversibility in quantum mechanics and macroscopic irreversibility in thermodynamics. Rather than modifying unitary quantum dynamics or invoking ad hoc coarse-graining procedures, the paper proposes that the thermodynamic arrow of time arises as an information-theoretic consequence of the physical limitations of observers. The central hypothesis, termed the Holographic Shannon–Landauer (HSL) framework, models the observer as a finite-bandwidth quantum channel (a Completely Positive Trace-Preserving map). Within this framework, entropy is redefined not as an intrinsic property of matter, but as the quantum relative entropy between the true global quantum state and the state accessible to a bandwidth-limited observer. By formalizing observation as a channel-capacity–constrained physical process, the work derives a Bandwidth–Entropy Monotonicity Theorem, demonstrating that reduced observational resolution necessarily leads to increased observed entropy via the data processing inequality. The Second Law of Thermodynamics emerges naturally from the dynamical spreading of entanglement into degrees of freedom inaccessible to the observer, rather than from any fundamental time asymmetry in the underlying laws. This manuscript is intended as a foundational and unifying perspective, connecting quantum thermodynamics, information theory, and observer-dependent physics. It is archived here as a citable preprint to establish priority and provide a stable reference point for subsequent technical developments and potential journal submissions.