21 Marginal Surprisal Moments Under a Global Gap
For a gapped ground vector of a sum of bounded terms on a bipartite space, the negative logarithm of a marginal eigenvalue, sampled with that eigenvalue as its probability, concentrates around the entropy of the marginal. This chapter proves the moment and tail bounds of [ Ope26b , Lemma 3.1 ] for a bipartition \(\mathcal H_B\otimes \mathcal H_{B^c}\). Every term acts on one factor only, except the crossing terms, each of which is a sum of at most \(d_i^2\) products \(c_\alpha \otimes d_\alpha \) with \(\lVert c_\alpha \rVert \lVert d_\alpha \rVert \le c_0\). A term supported on sites of total dimension \(d_i\) has such a decomposition through the matrix units on its portion in \(B\).
Throughout, \(p\) is a probability vector, \(K\) takes the value \(-\log p_j\) with probability \(p_j\), \(M(u)=\mathbb E\, \mathrm e^{uK}=\sum _{p_j{\gt}0}p_j^{1-u}\), and \(S=\mathbb E K\) is the Shannon entropy.
21.1 Scalar estimates
Let \(f\) be entire with \(f(-x)=\overline{f(x)}\) for real \(x\), \(|f(\mathrm iy)|\le c\) for real \(y\), and \(|f(z)|\le cm\) for \(|\operatorname {Re}z|\le 1/4\), where \(m\ge 1\). If \(\ell \ge 1\) and \(\log m\le 2\ell \), then \(|f(z)|\le \mathrm ec\) for \(|\operatorname {Re}z|\le 1/(8\ell )\), and \(|\operatorname {Re}(f(x)-f(0))|\le 128\mathrm ec\ell ^2x^2\) for real \(|x|\le 1/(8\ell )\).
The three-lines theorem on the strips between real parts \(0\) and \(\pm 1/4\) gives \(|f(z)|\le c\, m^{4|\operatorname {Re}z|}\le \mathrm ec\). Put \(k(z)=f(z)+f(-z)-2f(0)\), so that \(k(0)=k'(0)=0\) and \(|k|\le 4\mathrm ec\) on the disk of radius \(\delta =1/(8\ell )\). The function \(k(z)/z^2\) is entire, and the maximum principle bounds it by \(4\mathrm ec/\delta ^2\) on the disk. Since \(\operatorname {Re}f(-x)=\operatorname {Re}f(x)\), the quantity \(\operatorname {Re}(f(x)-f(0))\) equals \(\operatorname {Re}k(x)/2\). Only the real part of the linear Taylor coefficient vanishes.
The function \(L=\log M\) satisfies \(L(0)=0\) and \(L'(0)=S\). If \(K_0\ge 0\), \(K_0u^2\le 1/2\) and \((1-K_0u^2)M(u)\le M(u/2)^2\) for all \(|u|\le r\), then \(L(u)\le uS+4K_0u^2\) for \(|u|\le r\). If \(L(\pm r)\le \pm rS+Cr^2\) with \(r{\gt}0\), then \(\Pr \{ |K-S|{\gt}w\} \le 2\mathrm e^{Cr^2}\mathrm e^{-rw}\).
The recurrence gives \(L(u)\le 2L(u/2)+2K_0u^2\) because \(-\log (1-v)\le 2v\) for \(0\le v\le 1/2\). Iterating, \(2^jL(u/2^j)\to uS\), and the geometric series of quadratic terms sums to at most \(4K_0u^2\). The tail is exponential Markov at \(u=\pm r\).
21.2 Modular conjugation
Let \(\Theta \) be a unit vector whose marginal on \(\mathcal H_B\) is \(\operatorname {diag}(s)\), with rows \(\Theta _j\). For an operator \(X\) put \(f(z)=\sum _{j,k}\mathrm e^{z(\log s_j-\log s_k)}\langle \Theta _j,X_{jk}\Theta _k\rangle \), which is \(\langle \Theta ,\sigma ^zX\sigma ^{-z}\Theta \rangle \) on the support of \(\sigma =\operatorname {diag}(s)\).
One has \(f(0)=\langle \Theta ,X\Theta \rangle \) and \(|f(\mathrm iy)|\le \lVert X\rVert \), and \(f(-x)=\overline{f(x)}\) for Hermitian \(X\). For \(X=c\otimes d\) and \(|\operatorname {Re}z|\le 1/2\), \(|f(z)|\le 2\lVert c\rVert \lVert d\rVert \). Consequently, if \(X\) is Hermitian, \(\lVert X\rVert \le c_0\) and \(X\) is a sum of \(N\) products with \(\lVert c_\alpha \rVert \lVert d_\alpha \rVert \le c_0\), then \(|\operatorname {Re}(f(x)-f(0))|\le 128\mathrm ec_0\ell ^2x^2\) whenever \(\ell \ge 1\), \(\log (2N)\le 2\ell \) and \(|x|\le 1/(8\ell )\).
On the imaginary axis \(f\) is an expectation in a vector with the same norm. For a product, write \(\Theta _j=\sqrt{s_j}\, \omega _j\) with orthonormal \(\omega _j\). The weights satisfy \(|s_j^{1/2+z}s_k^{1/2-z}|\le s_j+s_k\), and Cauchy–Schwarz with Bessel’s inequality bounds every row and column sum of \(|c_{jk}\langle \omega _j,d\, \omega _k\rangle |\) by \(\lVert c\rVert \lVert d\rVert \). The last claim is Lemma 21.1.1 with \(m=2N\).
21.3 The moment and tail bounds
Suppose the marginal of the ground vector \(\Psi \) is \(\operatorname {diag}(p)\). The vector \(\Theta =F\Psi /\sqrt{M(u)}\), \(F=\operatorname {diag}(p^{-u/2})\) on the support, is a unit vector with marginal proportional to \(p^{1-u}\) and \(\langle \Psi ,\Theta \rangle =M(u/2)/\sqrt{M(u)}\). At \(z_u=-u/(2(1-u))\) its modular function is \(\langle F^2\Psi ,X\Psi \rangle /M(u)\), and one-sided terms have constant modular function. For \(|u|\le 1/2\) and \(|u|\le 1/(8\log (\mathrm ed_i))\) at every crossing term, \(\langle \Theta ,(\mathsf H-E_0)\Theta \rangle \le 128\mathrm ec_0\mathcal Bu^2\), and the gap gives \((1-128\mathrm e\vartheta \mathcal Bu^2)M(u)\le M(u/2)^2\).
Summing the value at \(z_u\) over all terms gives \(\langle F^2\Psi ,\mathsf H\Psi \rangle /M(u)=E_0\). The excitation energy is therefore the sum of \(\operatorname {Re}(f_i(0)-f_i(z_u))\) over the crossing terms, each bounded by Lemma 21.2.1 since \(|z_u|\le |u|\). The gap inequality \(\mathsf H-E_0\ge g_0(1-|\Psi \rangle \langle \Psi |)\) then bounds \(1-|\langle \Psi ,\Theta \rangle |^2\).
Let \(\mathsf H=\sum _ih_i\) on \(\mathcal H_B\otimes \mathcal H_{B^c}\) with Hermitian terms, \(\lVert h_i\rVert \le c_0\), \(c_0\ge 0\), each term acting on one factor except the crossing terms \(i\in \mathcal I_\times \), each a sum of at most \(d_i^2\) products with factor norms at most \(c_0\), \(d_i\ge 1\). Let \(\Psi \) be a unit vector with \(\mathsf H\Psi =E_0\Psi \) and \(\mathsf H-E_0\ge g_0(1-|\Psi \rangle \langle \Psi |)\), \(g_0{\gt}0\). Let \(\rho \) be its marginal on \(\mathcal H_B\), \(p\) the eigenvalues of \(\rho \), \(S=S(\rho )\), \(\mathcal B=1+\sum _{i\in \mathcal I_\times }\log ^2(\mathrm ed_i)\) and \(\vartheta =c_0/g_0\). Then \(\log \mathbb E\, \mathrm e^{uK}\le uS+512\mathrm e\vartheta \mathcal Bu^2\) for \(|u|\le 1/(32\sqrt{(1+\vartheta )\mathcal B})\), and for every real \(w\)
Conjugating by \(U^*\otimes 1\), where \(U\) diagonalizes \(\rho \), preserves one-sided terms, product decompositions with their factor norms, the eigenvalue equation and the gap inequality, and makes the marginal diagonal. On the admissible interval every halving stays admissible, \(|u|\le 1/32\), \(\log (\mathrm ed_i)\le \sqrt{\mathcal B}\) and \(128\mathrm e\vartheta \mathcal Bu^2\le 1/2\), so Lemmas 21.3.1 and 21.1.2 give the moment bound. At \(u=\pm 1/(32\sqrt{(1+\vartheta )\mathcal B})\) the quadratic term is at most \(\mathrm e/2\), which gives the tail.
21.4 Designated supports
Let \(\mathcal H=\bigotimes _{v\in V}\mathbb {C}^{n_v}\). An operator is supported on \(D\subseteq V\) when it acts as the identity outside \(D\): its matrix elements vanish between configurations that differ outside \(D\) and do not depend on the common values there.
Let \(h\) be supported on \(D\) and let \(B\sqcup B^c=V\). If \(D\subseteq B\) or \(D\subseteq B^c\), then \(h\) acts on one factor of \(\mathcal H_B\otimes \mathcal H_{B^c}\). In general \(h\) is a sum of at most \(d^2\) products \(c_\alpha \otimes d_\alpha \) with \(\lVert c_\alpha \rVert \le 1\) and \(\lVert d_\alpha \rVert \le \lVert h\rVert \), where \(d=\prod _{v\in D}n_v\).
The factor \(c_\alpha \) is a matrix unit on \(D\cap B\) tensored with the identity on \(B\setminus D\), written as \(S_aS_b^*\) for isometries \(S_a\). The factor \(d_\alpha \) is the compression \(T_a^*hT_b\) along the isometries \(T_a\colon \psi \mapsto e_a\otimes \psi \). The identity \(h=\sum c_\alpha \otimes d_\alpha \) follows entrywise from the support property, and there are \((\prod _{v\in D\cap B}n_v)^2\le d^2\) terms.
Let \(\mathsf H=\sum _{i\in \mathcal I}h_i\) on \(\mathcal H\) with \(\mathcal I\) finite, each \(h_i\) Hermitian with \(\lVert h_i\rVert \le c_0\), \(c_0\ge 0\), and supported on a designated set \(D_i\). Let \(\Psi \) be a unit vector with \(\mathsf H\Psi =E_0\Psi \) and \(\mathsf H-E_0\ge g_0(1-|\Psi \rangle \langle \Psi |)\), \(g_0{\gt}0\). Fix \(B\sqcup B^c=V\), let \(\mathcal I_\times \) be the indices whose support meets both sides, \(\rho =\operatorname{Tr}_{B^c}|\Psi \rangle \langle \Psi |\), \(d_i=\prod _{v\in D_i}n_v\), \(\mathcal B=1+\sum _{i\in \mathcal I_\times }\log ^2(\mathrm ed_i)\) and \(\vartheta =c_0/g_0\). Then the conclusions of Theorem 21.3.2 hold: \(\log \mathbb E\, \mathrm e^{uK}\le uS+512\mathrm e\vartheta \mathcal Bu^2\) for \(|u|\le 1/(32\sqrt{(1+\vartheta )\mathcal B})\), and the stated tail bound holds for every real \(w\).
Pass to cut coordinates. The operator norm, Hermiticity, the eigenvalue equation and the gap inequality are preserved by the relabelling. Lemma 21.4.1 supplies the one-sided terms and the product decompositions of the crossing terms. Every local dimension is positive, since \(\Psi \ne 0\). Apply Theorem 21.3.2.
Let \(E\) be the set of indices with \(p_i{\gt}0\) and \(|-\log p_i-S|\le w\), and let \(z=\sum _{i\in E}p_i\). Then \(z\ge 1-\Pr \{ |K-S|{\gt}w\} \), and \(\mathrm e^{-S-w}\le p_i\le \mathrm e^{-S+w}\) for \(i\in E\).
The indices outside \(E\) with positive weight are exactly those in the tail event. The weight bounds are the definition of \(E\).
21.5 Normalized filters
For positive semidefinite \(A,B\) with eigenvalues \(a_i,b_j\) and \(1/p+1/q=1\), \(p,q{\gt}1\), \(\operatorname {Re}\operatorname{Tr}(AB)\le (\sum _ia_i^p)^{1/p}(\sum _jb_j^q)^{1/q}\).
With \(A=U\operatorname {diag}(a)U^*\) and \(B=V\operatorname {diag}(b)V^*\), \(\operatorname{Tr}(AB)=\sum _{ij}a_ib_j|W_{ij}|^2\) for the unitary \(W=U^*V\), whose squared moduli are doubly stochastic. Apply the scalar Hölder inequality to \(a_i|W_{ij}|^{2/p}\) and \(b_j|W_{ij}|^{2/q}\).
Let \(L\ge 0\) act on \(\mathcal H_B\) with \(\operatorname{Tr}L^{2/a}=1\), \(0{\lt}a{\lt}1\). For a unit vector with marginal \(\rho \), \(\lVert (L\otimes 1)\Psi \rVert ^2=\operatorname{Tr}\rho L^2\le (\operatorname{Tr}\rho ^{1/(1-a)})^{1-a}=M(-a/(1-a))^{1-a}\). Under the hypotheses of Theorem 21.3.2, if \(a\le 1/2\) and \(a/(1-a)\le 1/(32\sqrt{(1+\vartheta )\mathcal B})\), then \(\lVert (L\otimes 1)\Psi \rVert ^2\le \exp (-aS(\rho )+1024\mathrm e\vartheta \mathcal Ba^2)\).
Apply Lemma 21.5.1 with exponents \(1/(1-a)\) and \(1/a\) to \(\rho \) and \(L^2\), then the moment bound at \(u=-a/(1-a)\), and use \(1/(1-a)\le 2\).
For \(\varepsilon ,\lambda {\gt}0\), \(a\ge 0\) and positive \(p_i,p_k\), the numbers \(l_i=\max \{ \varepsilon ,p_i/\lambda \} ^{a/2}\) satisfy \(|\log (l_i/l_k)|\le \frac a2|\log (p_i/p_k)|\). If \(a\le 1/2\), \(p,q{\gt}0\) and \(|t|\le \frac a2|\log (p/q)|\), then \(\sqrt{pq}\, (\cosh t-1)\le 2a^2(p+q)\).
A maximum with a common floor contracts differences of logarithms. For the cost, write \(p=\mathrm e^{m+z}\), \(q=\mathrm e^{m-z}\), so that \(p+q=2\sqrt{pq}\cosh z\) and \(|t|\le a|z|\le |z|/2\). Then \(\cosh t-1\le \frac{t^2}2\cosh t\le \frac{a^2z^2}2\cosh (z/2)\), using \(\sinh v\le v\cosh v\), and \(z^2\cosh (z/2)\le \frac{32}{\mathrm e^2}\mathrm e^{|z|}\le 8\cosh z\).
Let the marginal of \(\Theta \) be \(\operatorname {diag}(s)\) with \(\sum s=1\), let \(X=\sum _\alpha c_\alpha \otimes d_\alpha \) be Hermitian, and let \(L= \operatorname {diag}(l)\) with \(l{\gt}0\) and \(|\log (l_j/l_k)|\le \frac a2|\log (s_j/s_k)|\) for positive \(s_j,s_k\), where \(a\le 1/2\). Then \(|\operatorname {Re}(\langle \Theta ,X\Theta \rangle -\langle \Theta ,(L\otimes 1) X(L^{-1}\otimes 1)\Theta \rangle )|\le 4a^2\sum _\alpha \lVert c_\alpha \rVert \lVert d_\alpha \rVert \).
Hermitian pairing writes the real part as \(-\sum _{jk}(\cosh \log (l_j/l_k)-1)\operatorname {Re}T_{jk}\). For a product term \(|T_{jk}|=\sqrt{s_js_k}\, |c_{jk}||\langle \omega _j,d\, \omega _k\rangle |\), Lemma 21.5.3 bounds the hyperbolic coefficient times \(\sqrt{s_js_k}\) by \(2a^2(s_j+s_k)\), and the row and column estimate of Lemma 21.2.1 gives the factor \(2\lVert c\rVert \lVert d\rVert \).
The lift \(K\mapsto K\otimes 1\) from a region \(D\) is a unital multiplicative map compatible with adjoints, and its range is the set of operators supported on \(D\). The regional pure-state matrix is Hermitian. Support is monotone in \(D\) and closed under products. For every vector \(\varphi \), \(\langle \varphi ,(K\otimes 1)\varphi \rangle = \operatorname{Tr}\rho _{\varphi ,D}K\). Consequently, if \(K\) is invertible and commutes with \(\rho _{\varphi ,D}\), then \(\langle \varphi ,(K\otimes 1)Y(K^{-1}\otimes 1)\varphi \rangle =\langle \varphi , Y\varphi \rangle \) for every \(Y\) supported on \(D\).
The algebraic properties hold for \(K\otimes 1\) and survive the relabelling. The regional state is the partial trace of a positive semidefinite matrix, and is therefore Hermitian. The expectation formula is the defining property of the partial trace, and the last identity follows from cyclicity of the trace, since \(K^{-1}\rho _{\varphi ,D}K=\rho _{\varphi ,D}\).
Let \(V,V'\) be finite sets of sites, let \(e:V\to V'\) be a bijection, and let \(n_v,n'_{v'}\) be nonnegative integer local dimensions. Write \(E_v=\{ i\in \mathbb N:i{\lt}n_v\} \) and \(E'_{v'}=\{ i\in \mathbb N:i{\lt}n'_{v'}\} \) for the local bases. Suppose that \(f_v:E_v\to E'_{e(v)}\) is a bijection for each \(v\in V\). These bijections induce a configuration bijection \(f\) and, for \(D\subseteq V\) and \(D'=e(D)\), a regional configuration bijection \(f_D\). Write \(T\Omega (\sigma ')=\Omega (f^{-1}(\sigma '))\) for the transported vector and \(U_D\) for the permutation isometry induced by \(f_D\). Then \(\rho _{T\Omega ,D'}=U_D\rho _{\Omega ,D}U_D^*\). No normalization assumption is required.
Let \(u',v'\) be configurations on \(D'\). By Lemma 13.8.44, the bijection of complementary configurations changes variables in the defining partial trace:
This is the asserted conjugation identity.
Under the hypotheses of Theorem 21.5.6, \(S_{T\Omega }(D')=S_\Omega (D)\).
By Theorem 13.6.79, conjugation by a permutation isometry preserves the von Neumann entropy of the regional state.
Let \(K{\gt}0\) on a region \(D\) maximize or minimize \(\lVert A(K\otimes 1)Cw\rVert \) over its unitary orbit, where \(A\) is a product of invertible filters on regions containing \(D\), each commuting with the regional state of the output \(\psi =A(K\otimes 1)Cw\) on its region. Then \(K\) commutes with \(\rho _{\psi ,D}\).
Differentiating along \(\mathrm e^{tB}K\mathrm e^{-tB}\) with \(B^*=-B\) gives \(\operatorname {Re}\langle \psi ,A(BK-KB)w'\rangle =0\). Since \(BK-KB=(B-KBK^{-1})K\), the descending trace argument of Lemma 21.5.5 removes the outer filters, and the expectation of \(B\) is imaginary. Hence \(\operatorname {Re}\operatorname{Tr}(K^{-1}\rho KB)=0\) for every skew-Hermitian \(B\), so \(K^{-1}\rho K\) is Hermitian. In the eigenbasis of \(K\) this forces \(\rho K^2=K^2\rho \) and then \(\rho K=K\rho \).
Commuting Hermitian matrices are diagonal in a common orthonormal basis.
The joint eigenspaces form an orthogonal internal direct sum; collect orthonormal bases of the nonzero ones.
Let \(K=U\operatorname {diag}(x^{a/2})U^*\) with \(x\ge f{\gt}0\), \(\sum x=1\), maximize the output norm among the filters \(U\operatorname {diag}(y^{a/2})U^*\) with \(y\ge f\), \(\sum y=1\), and let the regional state of the output be \(U\operatorname {diag}(q)U^*\). Then \(q_k/x_k\le q_i/x_i\) whenever \(x_i{\gt}f\). If moreover \(\# \cdot f{\lt}1\), then \(x_i=\max \{ f,q_i/\lambda \} \) for some \(\lambda {\gt}0\), hence \(|\log (x_i/x_k)^{a/2}|\le \frac a2|\log (q_i/q_k)|\) for positive \(q_i,q_k\).
Moving mass from coordinate \(i\) to coordinate \(k\) is feasible for small \(t{\gt}0\). Its first-order effect on the squared output norm is \(a\operatorname {Re}\operatorname{Tr}\rho G\) with \(G=U\operatorname {diag}(v/x)U^*\), after the descending trace argument, and equals \(a(q_k/x_k-q_i/x_i)\). The floor-constrained optimality condition and the contraction of a common floor give the rest.
If the marginal of a unit vector is \(U\operatorname {diag}(q)U^*\) and \(L=U\operatorname {diag}(l)U^*\) has clipped eigenvalue ratios with \(a\le 1/2\), then conjugating a Hermitian \(X=\sum c_\alpha \otimes d_\alpha \) by \(L\otimes 1\) changes the real part of its expectation by at most \(4a^2\sum \lVert c_\alpha \rVert \lVert d_\alpha \rVert \). Operators supported on disjoint regions commute.
Transport by \(U^*\otimes 1\) to the Schmidt coordinates and apply Lemma 21.5.4. For disjoint supports, both operators are of the forms \(A\otimes 1\) and \(1\otimes B\) across the same cut.
A filter on \(D\) is feasible at floor \(f{\gt}0\) and weight \(a{\gt}0\) when it is \(U\operatorname {diag}(y^{a/2})U^*\) with \(U\) unitary, \(y\ge f\) and \(\sum y=1\). Let a feasible filter \(K\) maximize the output norm of \(A(K\otimes 1)Cw\) among feasible filters, where \(A\) is a product of filters on regions containing \(D\), each commuting with its regional state of the output \(\psi \ne 0\), and let \(\# \cdot f{\lt}1\). Then \(K\) commutes with \(\rho _{\psi ,D}\), and in a common eigenbasis \(K=W\operatorname {diag}(l)W^*\), \(\rho _{\psi ,D}=W\operatorname {diag}(q)W^*\) with \(|\log (l_i/l_k)|\le \frac a2|\log (q_i/q_k)|\) for positive \(q_i,q_k\).
Unitary conjugation preserves feasibility, so Lemma 21.5.8 gives commutation. In a common eigenbasis the eigenvalues of \(K\) are \(x^{a/2}\) with \(x\ge f\), \(\sum x=1\), by comparing \(\operatorname{Tr}K^{2/a}\) in the two bases, and diagonal variations in that basis are feasible. Lemma 21.5.10 applies with \(\sum q=\lVert \psi \rVert ^2{\gt}0\).
Let feasible filters \(K_j\) on nested regions \(D_0\subseteq \dots \subseteq D_{m-1}\) maximize \(\lVert L_{m-1}\cdots L_0\Omega \rVert \) over the product of the feasible sets, with nonzero output \(\psi \) and \(\# \cdot f_j{\lt}1\). Then for every \(j\), \(K_j\) commutes with \(\rho _{\psi ,D_j}\), and in a common eigenbasis its eigenvalue ratios are clipped.
Descending induction on \(j\): the outer filters form a descending chain by the induction hypothesis, and replacing \(K_j\) alone keeps the product feasible, so Proposition 21.5.12 applies.
Suppose every region \(D_j\) carries at least one configuration and \(\# \cdot f_j\le 1\). Then the norm \(\lVert L_{m-1}\cdots L_0\Omega \rVert \) attains its maximum over families of feasible filters. If moreover all floors are positive and \(\Omega \ne 0\), every such product maps \(\Omega \) to a nonzero vector.
The feasible filters are the continuous image of the product of the compact unitary group and the compact floored simplex, and the uniform filter is feasible. The norm is continuous in the filters, so it attains its maximum on the compact product of the feasible sets. Feasible filters with positive floors are positive definite, hence invertible, and so is their product.
Let \(\varphi \) be a unit vector, \(B\) a region, and let \(L=W\operatorname {diag}(l)W^*\) and \(\rho _{\varphi ,B}=W\operatorname {diag}(q)W^*\) with \(W\) unitary, \(l{\gt}0\), and \(\lvert \log l_i-\log l_k\rvert \le \tfrac a2\lvert \log q_i-\log q_k\rvert \) for positive \(q_i,q_k\), where \(a\le \tfrac 12\). For a Hermitian operator \(X\) supported on \(S\) with \(\lVert X\rVert \le c_0\),
In cut coordinates for \(B\mid B^c\) the operator \(X\) is a sum of at most \(d_S^2\) products \(c\otimes d\) with \(\lVert c\rVert \lVert d\rVert \le c_0\), and Lemma 21.5.11 applies.
Let \(K_j\) be invertible filters on nested regions \(D_j\), each commuting with the regional state of the unit vector \(\varphi \) and clipped relative to it with weight \(a_j\le \tfrac 12\). Let \(X\) be Hermitian, supported on \(S\), with \(\lVert X\rVert \le c_0\), and suppose that at most one region meets \(S\) without containing it. Then conjugation by the nested product \(K\) changes \(\Re \langle \varphi ,X\varphi \rangle \) by at most \(\sum _{j}4a_j^2d_S^2c_0\), the sum over the regions splitting \(S\).
The filters on regions disjoint from \(S\) commute with \(X\). The filters on regions containing \(S\) drop out of the expectation by the descending trace argument. If a region splits \(S\), the regions after it contain \(S\) and the regions before it are disjoint from \(S\), so only its conjugation remains, and Lemma 21.5.15 applies; otherwise the expectation is unchanged.
Let feasible filters \(K_j\) on nested regions \(D_j\), with floors \(f_j{\gt}0\), \(\# \cdot f_j{\lt}1\) and weights \(0{\lt}a_j\le \tfrac 12\), maximize \(\lVert L_{m-1}\cdots L_0\Omega \rVert \), where \(\Omega \ne 0\) satisfies \(H\Omega =E_0\Omega \) for \(H=\sum _ih_i\) with \(h_i\) Hermitian, supported on \(S_i\), \(\lVert h_i\rVert \le c_0\), and every \(S_i\) split by at most one region. Then the normalized output \(\varphi =K\Omega /\lVert K\Omega \rVert \) satisfies
Since \(KHK^{-1}\varphi =E_0\varphi \), the left side is the sum over \(i\) of \(\Re \bigl(\langle \varphi ,h_i\varphi \rangle -\langle \varphi ,Kh_iK^{-1}\varphi \rangle \bigr)\). By Theorem 21.5.13 every filter commutes with the regional state of \(\varphi \) and is clipped relative to it; Lemma 21.5.16 bounds each term, and exchanging the two sums gives the claim.
Let \(\psi =L_k\cdots L_0\Omega \) with \(L_k\) Hermitian, suppose the normalization of \(\psi \) has overlap at least \(s\) with \(\Omega \), and \(\lVert L_{k-1}\cdots L_0\Omega \rVert \le N\). Then \(s\lVert \psi \rVert \le \lVert L_k\Omega \rVert N\).
\(s\lVert \psi \rVert \le \lvert \langle \Omega ,\psi \rangle \rvert =\lvert \langle L_k\Omega ,L_{k-1}\cdots L_0\Omega \rangle \rvert \), and Cauchy–Schwarz applies.
Under the hypotheses of Theorem 21.3.2 for the cut \(B\mid B^c\), a feasible filter \(L\) on \(B\) with positive floor and weight \(0{\lt}a\le \tfrac 12\), such that \(a/(1-a)\) is admissible for the cut, satisfies \(\lVert L\Psi \rVert ^2\le \exp \bigl(-aS(\rho _{\Psi ,B})+1024e\vartheta \mathcal B_Ba^2\bigr)\).
The eigenvalues of \(L\) are nonnegative with \(\sum _j l_j^{2/a}=1\). In cut coordinates \(L\) acts as \(L\otimes 1\), and Lemma 21.5.2 applies.
Let \(N_k\) be the largest output norm \(\lVert L_{k-1}\cdots L_0\Omega \rVert \) over feasible filters on the first \(k\) nested regions, where the floors are positive with \(\# \cdot f_j{\lt}1\) and \(0{\lt}a_j\le \tfrac 12\). Let \(\Omega \) be a unit vector with \(H\Omega =E_0\Omega \) and \(H-E_0\ge \Delta (1-\lvert \Omega \rangle \langle \Omega \rvert )\), where \(\Delta {\gt}0\) and \(H=\sum _ih_i\) with \(h_i\) Hermitian, supported on \(S_i\), \(\lVert h_i\rVert \le c_0\), and every \(S_i\) split by at most one region. If \(\sum _{j{\lt}m}4a_j^2\sum _{i\text{ crossing }D_j}d_{S_i}^2c_0\le E\) and every feasible filter on \(D_k\) has \(\lVert L\Omega \rVert \le x_k\), then
The optimum is attained by Proposition 21.5.14. By Theorem 21.5.17 and the gap, the normalized output of an optimal prefix of length \(k+1\) has squared overlap at least \(1-E/\Delta \) with \(\Omega \), and Lemma 21.5.18 gives \(\sqrt{1-E/\Delta }\, N_{k+1}\le x_kN_k\). Telescoping from \(N_0=1\) gives the claim.
Under the hypotheses of Theorem 21.5.20 with \(E{\lt}\Delta \), and bounds \(\lVert L\Omega \rVert \le x_k\) for filters on \(D_k\) feasible at any positive floor, every family of \(m\) nonnegative filters \(L_j=U_j\operatorname {diag}(y_j^{a_j/2})U_j^*\) with \(y_j\ge 0\) and \(\sum y_j=1\) satisfies \(\sqrt{1-E/\Delta }^{\, m}\lVert L_{m-1}\cdots L_0\Omega \rVert \le \prod _{k{\lt}m}x_k\).
The filters \(U_j\operatorname {diag}\bigl(((1-\delta )y_j+\delta /d_j)^{a_j/2}\bigr)U_j^*\) are feasible at the floor \(\delta /d_j\) and converge to \(L_j\) as \(\delta \downarrow 0\). The bound of Theorem 21.5.20 does not depend on the floor, and the output norm is continuous in the filters.
Let \(\rho _{\Omega ,X}=U\operatorname {diag}(p)U^*\) and let \(P_i\) be the projection onto the \(i\)-th eigenvector \(u_i\). Then \(\lVert P_i\Omega \rVert ^2=p_i\), and on every region \(T\) disjoint from \(X\) the regional state of \(\Omega \) is the sum of those of the vectors \(P_i\Omega \). For regions \(T_j\) disjoint from \(X\) and filters \(M_j\) on \(T_j\), the filters \(P_i\otimes M_j\) on \(X\cup T_j\) are nonnegative with \(\operatorname {Tr}(P_i\otimes M_j)^{2/a}=\operatorname {Tr}M_j^{2/a}\), and \(\lVert M_{m-1}\cdots M_0P_i\Omega \rVert \le \lVert (P_i\otimes M_{m-1})\cdots (P_i\otimes M_0)\Omega \rVert \).
On a disjoint union the lift of \(A\otimes B\) is the product of the lifts of \(A\) and of \(B\). The projection \(P_i\) commutes with the filters on the \(T_j\), is idempotent, and does not increase norms.
Let \(M_j=W_j\operatorname {diag}(l_j)W_j^*\) with \(l_j{\gt}0\) be filters on nested regions \(T_j\), let \(\xi \) be a unit vector, and suppose that every nested product of unitary conjugates \(V_j^*M_jV_j\), with \(V_j\) unitary on \(T_j\), has output norm at most \(B{\gt}0\) on \(\xi \). Then \(\lVert M_{k-1}^x\cdots M_0^x\xi \rVert \le B^x\) for \(0\le x\le 1\), and \(\sum _{j{\lt}k}\Re \langle \xi ,\log M_j\, \xi \rangle \le \log B\).
The function \(F(z)=M_{k-1}^z\cdots M_0^z\xi \) is entire and bounded on the strip \(0\le \Re z\le 1\). On \(\Re z=0\) every factor is unitary. On \(\Re z=1\) the identity \(M_{k-1}^{1+iy}\cdots M_0^{1+iy}=(U_{k-1}\cdots U_0)(V_{k-2}^*M_{k-1}V_{k-2})\cdots M_0\), with \(U_j=M_j^{iy}\) and \(V_j=U_j\cdots U_0\), writes \(F(1+iy)\) as a unitary applied to a nested product of unitary conjugates. The three-lines theorem gives \(\lVert F(x)\rVert \le B^x\). Since \(F(0)=\xi \), the one-sided derivative of \(\lVert F(x)\rVert ^2-B^{2x}\) at \(x=0\) is nonpositive, which is the second claim.
For pairwise disjoint regions \(A,B,C\), \(S(A\cup B\cup C)+S(B)\le S(A\cup B)+S(B\cup C)\). In particular \(S(X\mid T)\le S(X\mid T')\) for \(T'\subseteq T\) disjoint from \(X\).
The regional states of \(A\cup B\), \(B\cup C\) and \(B\) are the partial traces of the regional state of \(A\cup B\cup C\), viewed as a tripartite matrix, so strong subadditivity applies.
Let \(X\) be a region, \(T_0\subseteq T_1\subseteq \cdots \) regions disjoint from \(X\), and \(D_j=X\cup T_j\), with weights \(0{\lt}a_j\le \tfrac 12\) of total mass \(\sum _{j{\lt}m}a_j=2\). Let \(\Omega \), \(H\) and \(\Delta \) be as in Theorem 21.5.20 for the regions \(D_j\), with energy budget at most \(E{\lt}\Delta \), and suppose every \(a_j/(1-a_j)\) is admissible for the cut \(D_j\). If every \(T_j\) lies in a region \(T\) disjoint from \(X\), then
By Proposition 21.5.21 and Lemma 21.5.19, every nested product of nonnegative filters on the \(D_j\) has output norm at most \(B=\prod _k x_k/\sqrt{1-E/\Delta }^{\, m}\) with \(x_k^2=\exp (-a_kS(D_k)+1024e\vartheta \mathcal B_ka_k^2)\). For a Schmidt index \(i\) with \(p_i{\gt}0\), Lemma 21.5.22 bounds the nested products of filters on the \(T_j\) applied to \(\xi _i=P_i\Omega /\sqrt{p_i}\) by \(B/\sqrt{p_i}\). Theorem 21.5.23 with the filters \(((1-\delta )\rho _{\xi _i,T_j}+\delta /d)^{a_j/2}\) gives, as \(\delta \downarrow 0\), \(-\sum _j\tfrac {a_j}2S_{\xi _i}(T_j)\le \log B-\tfrac 12\log p_i\). Averaging with weights \(p_i\) and using concavity of the entropy gives \(-2\log B\le S(X)+\sum _ja_jS(T_j)\). Hence \(\sum _ja_jS(X\mid T_j)\le S(X)+\text{error}\), and Theorem 21.5.24 bounds the left side below by \(2S(X\mid T)\).
21.5.1 Sharp one-crossing estimate for polynomial patches
The polynomial-PEPS patch argument uses the explicit constant in [ Ope26a ] , Section 4, 03-patches.tex, lines 248–319. Its sharper estimate follows from the same Hermitian pairing and weighted row and column bounds.
For \(0\le a\le 1\) and \(y\in \mathbb {R}\),
If \(p,q\ge 0\), \(a\le 1\), and \(|t|\le \frac a2|\log p-\log q|\) whenever \(p,q{\gt}0\), then
In the power series after its constant term, every exponent is at least two, so \(a^{2k}\le a^2\) for \(k\ge 1\). For positive \(p,q\), set \(z=(\log p-\log q)/2\). The clipping condition and monotonicity of \(\cosh \) in the absolute value of its argument give the bound, using \(\sqrt{pq}\cosh z=(p+q)/2\). If \(a{\lt}0\), the clipping condition forces \(t=0\). If either probability vanishes, the left side vanishes.
Suppose the physical configuration space is nonempty. An operator \(X\) supported on \(S\) has a product decomposition across \(B\sqcup B^c\) with at most \(d_{S\cap B}^2\) terms, each of product norm at most \(\lVert X\rVert \), where \(d_{S\cap B}=\prod _{v\in S\cap B}n_v\).
Keep the actual number of matrix units on \(S\cap B\) in the construction of Lemma 21.4.1. No enlargement to the dimension of all of \(S\) is needed.
Let \(\phi \) be a unit vector. Suppose the positive invertible filter \(L\) and its marginal have a common orthonormal eigenbasis, with eigenvalues \(l_i{\gt}0\) and \(p_i\ge 0\). Assume \(a\le 1\) and \(|\log l_i-\log l_k|\le \frac a2|\log p_i-\log p_k|\) whenever \(p_i,p_k{\gt}0\). For a Hermitian product sum \(X=\sum _\alpha c_\alpha \otimes d_\alpha \),
If \(X\) is supported on \(S\) and \(\lVert X\rVert \le J\), the expectation difference is at most \(a^2d_{S\cap B}^2J\), by choosing the inside-support matrix-unit decomposition.
Use the coefficient \(a^2(p_i+p_k)/2\) in the Hermitian pairing. The weighted row and column estimate contributes the factor two. Unitary transport gives the common-basis statement. For supported operators use the matrix-unit decomposition just proved.
Let \(K_j\) be invertible filters on nested regions \(D_j\). Each filter commutes with the regional marginal of the same unit vector \(\phi \) and satisfies the common-basis and clipping hypotheses above, with weight \(a_j\le 1\). Suppose the support \(S\) of a Hermitian operator \(X\) is split by at most one region, and \(\lVert X\rVert \le J\). Writing \(K=K_{m-1}\cdots K_0\) for the lifted product,
In particular, an interaction with one inside endpoint of dimension \(q\) has one-term cost at most \(q^2Ja_j^2\).
Filters outside the crossing region drop out by the descending trace identity; filters inside it have disjoint support and commute with \(X\). Apply the sharp supported bound to the remaining filter. If there is no crossing, the expectation difference is zero.
Under the hypotheses of Theorem 21.5.1.4, let \(H=\sum _i h_i\), where each \(h_i\) is Hermitian, supported on \(S_i\), has norm at most \(J\), and is split by at most one region. If \(KHK^{-1}\phi =E_0\phi \), then
Expand the expectation difference as a sum over \(i\), bound each summand by its absolute value, and apply Theorem 21.5.1.4. Interchange the finite sums to group the interactions by their crossing region. The eigenvector equation and unit normalization identify the conjugated expectation with \(E_0\).
These estimates assume the stated commutation and clipping properties. Deriving them from a particular minimum and counting physical crossing edges are separate steps in the patch argument.