Mathematical Theory of Non-Equilibrium Quantum Statistical Mechanics

We review and further develop a mathematical framework for non-equilibrium quantum statistical mechanics recently proposed in refs. 1–7. In the algebraic formalism of quantum statistical mechanics we introduce notions of non-equilibrium steady states, entropy production and heat fluxes, and study their properties. Our basic paradigm is a model of a small (finite) quantum system coupled to several independent thermal reservoirs. We exhibit examples of such systems which have strictly positive entropy production.     

Non-Equilibrium Statistical Mechanics of Turbulence

The macroscopic study of hydrodynamic turbulence is equivalent, at an abstract level, to the microscopic study of a heat flow for a suitable mechanical system (Ruelle, PNAS 109:20344–20346, 2012). Turbulent fluctuations (intermittency) then correspond to thermal fluctuations, and this allows to estimate the exponents \(\tau _p\) and \(\zeta _p\) associated with moments of dissipation fluctuations and velocity fluctuations. This approach, initiated in an earlier note (Ruelle, 2012), is pursued here more carefully. In particular we derive probability distributions at finite Reynolds number for the dissipation and velocity fluctuations, and the latter permit an interpretation of numerical experiments (Schumacher, Preprint, 2014). Specifically, if \(p(z)dz\) is the probability distribution of the radial velocity gradient we can explain why, when the Reynolds number \(\mathcal{R}\) increases, \(\ln p(z)\) passes from a concave to a linear then to a convex profile for large \(z\) as observed in (Schumacher, 2014). We show that the central limit theorem applies to the dissipation and velocity distribution functions, so that a logical relation with the lognormal theory of Kolmogorov (J. Fluid Mech. 13:82–85, 1962) and Obukhov is established. We find however that the lognormal behavior of the distribution functions fails at large value of the argument, so that a lognormal theory cannot correctly predict the exponents \(\tau _p\) and \(\zeta _p\) .     

Exponential Convergence to Non-Equilibrium Stationary States in Classical Statistical Mechanics

We continue the study of a model for heat conduction [6] consisting of a chain of non-linear oscillators coupled to two Hamiltonian heat reservoirs at different temperatures. We establish existence of a Liapunov function for the chain dynamics and use it to show exponentially fast convergence of the dynamics to a unique stationary state. Ingredients of the proof are the reduction of the infinite dimensional dynamics to a finite-dimensional stochastic process as well as a bound on the propagation of energy in chains of anharmonic oscillators. Received: 12 March 2001 / Accepted: 5 August 2001     

Local normality in Quantum Statistical Mechanics

It is shown that K.M.S.-states are locally normal on a great number ofC*-algebras that may be of interest in Quantum Statistical Mechanics. The lattice structure and the Choquet-simplex structure of various sets of states are investigated. In this respect special attention is payed to the interplay of the K.M.S.-automorphism group with other automorphism groups under whose action K.M.S.-states are possibly invariant. A seemingly weaker notion thanG-abelianness of the algebra of observables, namelyG-abelianness, is introduced and investigated. Finally a necessary and sufficient condition (on aC*-algebra with a sequential separable factor funnel) for decomposition of a locally normal state into locally normal states is given.     

Positive Commutator Method in Nonequilibrium Statistical Mechanics

We extend the method of positive commutators, which was very successfully applied to zero temperature problems, to positive temperatures, i.e. to nonequilibrium quantum statistical mechanics. Using this technique, we give another proof of a fundamental property of large quantum systems, called Return to Equilibrium. This property says that if a system is slightly perturbed from its equilibrium state, then it converges back to it as time goes to infinity.     

Natural Nonequilibrium States in Quantum Statistical Mechanics

A quantum spin system is discussed where a heat flow between infinite reservoirs takes place in a finite region. A time-dependent force may also be acting. Our analysis is based on a simple technical assumption concerning the time evolution of infinite quantum spin systems. This assumption, physically natural but currently proved for few specific systems only, says that quantum information diffuses in space-time in such a way that the time integral of the commutator of local observables converges: ⁰ _– dt [B, ^t A]<. In this setup one can define a natural nonequilibrium state. In the time-independent case, this nonequilibrium state retains some of the analyticity which characterizes KMS equilibrium states. A linear response formula is also obtained which remains true far from equilibrium. The formalism presented here does not cover situations where (for time-independent forces) the time-translation invariance and uniqueness of the natural nonequilibrium state are broken.     

On Entropy Production in Quantum Statistical Mechanics

We propose a definition of entropy production in the framework of algebraic quantum statistical mechanics. We relate our definition to heat flows through the system. We also prove that entropy production is non-negative in natural non-equilibrium steady states. Received: 7 August 2000 / Accepted: 5 September 2000     

Quantum Mechanics from Symmetry and Statistical Modeling

Quantum theory is derived from a set ofplausible assumptions related to the following generalsetting: For a given system there is a set ofexperiments that can be performed, and for each suchexperiment an ordinary statistical model is defined. Theparameters of the single experiments are functions of ahyperparameter which defines the state of the system.There is a symmetry group acting on the hyperparameters, and for the induced action on the parameters ofthe single experiment a simple consistency property isassumed, called permissibility of the parametricfunction. The other assumptions needed are rather weak. The derivation relies partly on quantumlogic, partly on a group representation of thehyperparameter group, where the invariant spaces areshown to be in 1-1 correspondence with the equivalenceclasses of permissible parametric functions. Planck'sconstant only plays a role connected to generators ofunitary group representations.     

Non-Equilibrium Thermodynamics and Statistical Mechanics: Foundations and Applications,by Phyl Attard

Ultrasonic waves have been produced in the laboratory at frequencies up to 24 kMc/s. The mechanism of the absorption process is examined and the experimental measurement of attenuation coefficient is discussed. The types of research problem for which a study of ultrasonic attenuation may be useful are summarised. Particular attention is given to the low temperature absorption of megacycle ultrasound by electrons in metals; the magneto-acoustic effect and its usefulness in evaluating the Fermi surface are briefly described.     

Response Theory for Equilibrium and Non-Equilibrium Statistical Mechanics: Causality and Generalized Kramers-Kronig Relations

We consider the general response theory recently proposed by Ruelle for describing the impact of small perturbations to the non-equilibrium steady states resulting from Axiom A dynamical systems. We show that the causality of the response functions entails the possibility of writing a set of Kramers-Kronig (K-K) relations for the corresponding susceptibilities at all orders of nonlinearity. Nonetheless, only a special class of directly observable susceptibilities obey K-K relations. Specific results are provided for the case of arbitrary order harmonic response, which allows for a very comprehensive K-K analysis and the establishment of sum rules connecting the asymptotic behavior of the harmonic generation susceptibility to the short-time response of the perturbed system. These results set in a more general theoretical framework previous findings obtained for optical systems and simple mechanical models, and shed light on the very general impact of considering the principle of causality for testing self-consistency: the described dispersion relations constitute unavoidable benchmarks that any experimental and model generated dataset must obey. The theory exposed in the present paper is dual to the time-dependent theory of perturbations to equilibrium states and to non-equilibrium steady states, and has in principle similar range of applicability and limitations. In order to connect the equilibrium and the non equilibrium steady state case, we show how to rewrite the classical response theory by Kubo so that response functions formally identical to those proposed by Ruelle, apart from the measure involved in the phase space integration, are obtained. These results, taking into account the chaotic hypothesis by Gallavotti and Cohen, might be relevant in several fields, including climate research. In particular, whereas the fluctuation-dissipation theorem does not work for non-equilibrium systems, because of the non-equivalence between internal and external fluctuations, K-K relations might be robust tools for the definition of a self-consistent theory of climate change.     

Reinterpretation of Quantum Mechanics Based on the Statistical Interpretation

I attempt to develop further the statistical interpretation of quantum mechanics proposed by Einstein and developed by Popper, Ballentine, etc. Two ideas are proposed in the present paper. One is to interpret momentum as a property of an ensemble of similarly prepared systems which is not satisfied by any one member of the ensemble of systems. Momentum is regarded as a statistical parameter like temperature in statistical mechanics. The other is the holistic assumption that a probability distribution is determined as a whole as most likely to be realized. This is the same as the chief assumption in statistical mechanics, and maximum likelihood in classical statistics. These ideas enable us to understand statistically (1) the formalism of quantum mechanics, (2) Heisenberg's uncertainty relations, and (3) the origin of quantum equations. They also explain violation of Bell's inequality and the interference of probabilities.     

Generalizations of Quantum Mechanics Induced by Classical Statistical Field Theory

No Heading We show that the Dirac-von Neumann formalism for quantum mechanics can be obtained as an approximation of classical statistical field theory. This approximation is based on the Taylor expansion (up to terms of the second order) of classical physical variables – maps f : Ω → R, where Ω is the infinite-dimensional Hilbert space. The space of classical statistical states consists of Gaussian measures ρ on Ω having zero mean value and dispersion σ²(ρ) ≈ h. This viewpoint to the conventional quantum formalism gives the possibility to create generalized quantum formalisms based on expansions of classical physical variables in the Taylor series up to terms of nth order and considering statistical states ρ having dispersion σ²(ρ) = hⁿ (for n = 2 we obtain the conventional quantum formalism).     

Quantum Retrodiction in Non-Equilibrium Thermo Field Dynamics

The quantum retrodiction for open systems which obey the quantum Markovian dynamics is investigated by means of non-equilibrium thermo Field dynamics (NETFD) which can easily derive the retrodictive time-evolution generators. NETFD can formulate the quantum retrodiction for open systems in the same way as that for closed systems.