20 A Compactly Supported Spectral Filter
Quasi-local spectral filters remove the matrix elements of an operator between the ground space and the excited states of a gapped Hamiltonian exactly, while their time kernel decays fast enough to be combined with Lieb–Robinson bounds. This chapter constructs the filter of [ Ope26b , Lemma 4.2 ] : a smooth cutoff with compact frequency support whose inverse Fourier transform decays as a stretched exponential with exponent \(p/(p+1)\), for every integer \(p\ge 1\).
Throughout, \(p\ge 1\) is an integer, \(\alpha =p/(p+1)\), and \(\delta {\gt}0\).
20.1 The profile and its Cauchy estimate
If \(a\in \mathbb {C}\) satisfies \(|a-1|\le 1/(4p)\), then \(\operatorname {Re}a^{-p}\ge 1/2\). Consequently, for real \(u\in (-1,1)\), \(w=1-u^2\) and \(|z-u|\le w/(12p)\), one has \(1-z^2\ne 0\) and \(\operatorname {Re}(1-z^2)^{-p}\ge w^{-p}/2\).
Put \(\varepsilon =1/(4p)\). Bernoulli’s inequality gives \(|a|^p\ge (1-\varepsilon )^p\ge 3/4\) and \((1+\varepsilon )^p\le 4/3\), and the geometric sum gives \(|a^p-1|\le p\, \varepsilon \, (1+\varepsilon )^p\le 1/3\). Hence \(|a^{-p}-1|\le 4/9\). For the second claim write \(1-z^2=w\, a\) with \(a-1=(u-z)(u+z)/w\), so that \(|a-1|\le 3|z-u|/w\le 1/(4p)\).
Let \(g(z)=e\exp [-(1-z^2)^{-p}]\), analytic away from \(z=\pm 1\). For \(u\in (-1,1)\), \(w=1-u^2\) and every \(n\ge 0\),
and for every integer \(k\) with \(n\le pk\),
The first bound is Cauchy’s estimate on the circle of radius \(w/(12p)\) about \(u\), where \(|g|\le e\, e^{-w^{-p}/2}\) by Lemma 20.1.1. For the second, put \(s=w^{-p}\), so that \(w^{-n}=w^{pk-n}s^k\), and use \(s^ke^{-s/2}\le 2^k k!\), which follows from the exponential series.
20.2 The cutoff
Define \(\chi (\omega )=e\exp [-(1-(\omega /\delta )^2)^{-p}]\) for \(|\omega |{\lt}\delta \) and \(\chi (\omega )=0\) for \(|\omega |\ge \delta \).
The cutoff \(\chi \) is infinitely differentiable on \(\mathbb {R}\), even, supported in \([-\delta ,\delta ]\), takes values in \([0,1]\), and \(\chi (0)=1\). For all integers \(n,k\ge 0\) with \(n\le pk\) and all \(\omega \),
Let \(D_n\) be the \(n\)-th derivative of \(g\) on \((-1,1)\), extended by zero. By Theorem 20.1.2 with \(k=n+1\), \(|D_n(u)|\le C_n|1-u^2|\), so each \(D_n\) is continuous at \(\pm 1\). On \((-1,1)\) the derivative of \(D_n\) is \(D_{n+1}\), outside \([-1,1]\) both vanish, and at \(\pm 1\) a function continuous at a point whose derivative extends continuously there is differentiable there with that derivative. Hence \(D_0\) is infinitely differentiable with \(n\)-th derivative \(D_n\), and \(\chi (\omega )=D_0(\omega /\delta )\). The bound is the Gevrey estimate \(\| \chi ^{(m)}\| _\infty \le C_1^{m+1}(m!)^{1+1/p}\) of [ Ope26b , Lemma 4.2 ] , written with integer exponents.
20.3 The time kernel
Define \(f(t)=(2\pi )^{-1}\int _{\mathbb {R}}\chi (\omega )\cos (t\omega )\, d\omega \).
The kernel is real and even, \(f(t)=(2\pi )^{-1}\int \chi (\omega ) e^{-it\omega }\, d\omega \), and for \(n\le pk\),
Evenness of \(\chi \) removes the sine part of \(e^{-it\omega }\). Integrating by parts \(n\) times, with no boundary terms, gives \((it)^n\int \chi e^{-it\omega }=\int \chi ^{(n)}e^{-it\omega }\); the integrand is supported in \([-\delta ,\delta ]\) and bounded by Theorem 20.2.2.
For all real \(t\), \(|f(t)|\le C e^{-c|t|^\alpha }\) with \(C=2\delta e/\pi \) and \(c=\log 2\cdot \kappa _p\, \delta ^\alpha \), where \(\kappa _p=(4(12p^2)^p)^{-1/(p+1)}\). Every polynomial moment \(t\mapsto t^nf(t)\) is integrable.
Put \(T=\delta |t|\) and \(B_p=2(12p^2)^p\). With \(n=pk\), Lemma 20.3.2, \((pk)!\le (pk)^{pk}\) and \(k!\le k^k\) give \(T^{pk}|f(t)|\le (\delta e/\pi )(B_pk^{p+1})^k\). Choosing \(k=\lfloor \kappa _pT^\alpha \rfloor \) makes \(B_pk^{p+1}\le T^p/2\), hence \(|f(t)|\le (\delta e/\pi )2^{-k}\le Ce^{-c|t|^\alpha }\); the case \(k=0\) covers bounded \(t\). The moment bounds give \((1+|t|)^N|f(t)|\le A_N\) for every \(N\), whence integrability.
[ Ope26b , Lemma 4.2 ] . The cutoff \(\chi \) is smooth and compactly supported with \(\chi (0)=1\); the real even function \(f(t)=(2\pi )^{-1}\int \chi (\omega )e^{-it\omega }\, d\omega \) satisfies
with \(C,c{\gt}0\) depending only on \(p\) and \(\delta \). In particular \(\int _{\mathbb {R}} f=1\).
The Fourier transform of \(\chi \) at \(\xi \) is \(2\pi f(2\pi \xi )\), which is integrable by Theorem 20.3.3. Fourier inversion for a continuous integrable function with integrable transform, followed by the substitution \(t=2\pi \xi \), gives the first identity; \(\omega =0\) gives \(\int f=\chi (0)=1\).
20.4 Spectral filtering of a finite matrix
For complex square matrices \(H\) and \(A\), set \(\mathcal F_H(A)=\int _{\mathbb {R}} f(t)\, e^{itH}Ae^{-itH}\, dt\), a Bochner integral for the operator norm.
Let \(H\) be Hermitian. The integral defining \(\mathcal F_H(A)\) converges in norm, \(\mathcal F_H\) is linear, \(\| \mathcal F_H(A)\| \le \| f\| _1\| A\| \), \(\mathcal F_H(A)^\dagger =\mathcal F_H(A^\dagger )\), and \(\mathcal F_H(H)=H\).
Since \(e^{itH}\) is unitary, \(\| e^{itH}Ae^{-itH}\| =\| A\| \), and \(f\) is integrable by Theorem 20.3.3. The adjoint passes through the integral because \(f\) is real. Finally \(e^{itH}\) commutes with \(H\), so \(\mathcal F_H(H)=(\int f)\, H=H\).
Let \(H\) be Hermitian with \(Hv=Ev\) and \(Hw=E'w\). Then \(\langle v,\mathcal F_H(A)w\rangle =\chi (E-E')\langle v,Aw\rangle \). In an orthonormal eigenbasis \((u_k)\) of \(H\) with eigenvalues \(\lambda _k\), the entries of \(\mathcal F_H(A)\) are those of \(A\) multiplied by \(\chi (\lambda _k-\lambda _l)\). If moreover every eigenvalue \(\lambda _k\) equals \(E'\) or satisfies \(|\lambda _k-E'|\ge \delta \), then \(\mathcal F_H(A)w=\sum _{\lambda _k=E'}\langle u_k,Aw\rangle u_k\), the projection of \(Aw\) onto the \(E'\)-eigenspace.
The exponential series gives \(e^{-itH}w=e^{-itE'}w\) and \(\langle v,e^{itH}y\rangle =e^{itE}\langle v,y\rangle \), so the integrand has matrix element \(f(t)e^{it(E-E')}\langle v,Aw\rangle \), and Fourier inversion (Theorem 20.3.4) evaluates the integral. For the last claim, \(\chi (0)=1\) and \(\chi \) vanishes outside \((-\delta ,\delta )\), so the coefficients of \(\mathcal F_H(A)w\) in the eigenbasis are \(\langle u_k,Aw\rangle \) when \(\lambda _k=E'\) and zero otherwise.
20.5 Positive replacement of a gapped Hamiltonian
Throughout, \(H=\sum _i h_i\) is a finite sum of Hermitian matrices with \(\| h_i\| \le J\), \(\Omega \) is a unit vector with \(H\Omega =E_0\Omega \), and \(H-E_0I\ge \Delta (I-P_\Omega )\) with \(\Delta {\gt}0\), where \(P_\Omega =|\Omega \rangle \langle \Omega |\).
If \(0{\lt}\delta \le \Delta \), then \(\mathcal F_H(A)\Omega =\langle \Omega ,A\Omega \rangle \Omega \) for every matrix \(A\).
Test against an orthonormal eigenbasis \((u_k)\) of \(H\). If \(\lambda _k=E_0\), the gap inequality at \(u_k\) gives \(\Delta (1-|\langle \Omega ,u_k\rangle |^2)\le 0\), hence \(\| u_k-\langle \Omega ,u_k\rangle \Omega \| ^2=1-|\langle \Omega ,u_k\rangle |^2=0\), and \(\chi (0)=1\). If \(\lambda _k\ne E_0\), then \(u_k\perp \Omega \), so the gap inequality gives \(\lambda _k-E_0\ge \Delta \ge \delta \) and \(\chi \) vanishes.
Let \(0{\lt}\delta \le \Delta \) and \(M_i=\mathcal F_H(h_i)-\langle \Omega ,h_i\Omega \rangle I\). Then \(M_i\) is Hermitian, \(M_i\Omega =0\), \(\sum _iM_i=H-E_0I\), and \(\| M_i\| \le \| h_i\| (\| f\| _1+1)\).
Lemma 20.5.1 gives \(M_i\Omega =0\). Linearity and \(\mathcal F_H(H)=H\) give the sum, since \(\sum _i\langle \Omega ,h_i\Omega \rangle =\langle \Omega ,H\Omega \rangle =E_0\). The norm bound combines \(\| \mathcal F_H(h_i)\| \le \| f\| _1\| h_i\| \) with \(|\langle \Omega ,h_i\Omega \rangle |\le \| h_i\| \).
In a unital C*-algebra, \(\| a^{1/2}-b^{1/2}\| \le \| a-b\| ^{1/2}\) for \(a,b\ge 0\). For self-adjoint \(a,b\) one has \(a\le |a|\) and \(\| |a|-|b|\| \le ((\| a\| +\| b\| )\| a-b\| )^{1/2}\).
With \(\epsilon =\| a-b\| \), operator monotonicity of the square root gives \(a^{1/2}\le (b+\epsilon )^{1/2}\le b^{1/2}+\epsilon ^{1/2}\), the last step because \(b+\epsilon \le (b^{1/2}+\epsilon ^{1/2})^2\). Exchanging \(a\) and \(b\) bounds the norm. For the absolute values apply this to \(a^2,b^2\) and use \(a^2-b^2=a(a-b)+(a-b)b\).
Take \(\delta =\Delta /2\), \(c_*=\max \{ 1,J(\| f\| _1+1)\} \), and \(k_i=|M_i|/c_*\). Then \(0\le k_i\le I\), \(k_i\Omega =0\), and
Theorem 20.5.2 gives \(\| M_i\| \le c_*\), hence \(\| k_i\| \le 1\). Since \(|M_i|^2=M_i^2\), the kernel of \(M_i\) lies in that of \(|M_i|\), so \(k_i\Omega =0\). Finally \(M_i\le |M_i|\) and \(\sum _iM_i=H-E_0I\).
20.6 Square-root channels
Let \(0\le k,k'\le I\), \(G=(I-k)^{1/2}\), \(K=k^{1/2}\), and define \(G',K'\) from \(k'\). Then \(G^2+K^2=I\), and \(\| G-G'\| ,\| K-K'\| \le \| k-k'\| ^{1/2}\); if \(k\Omega =0\), then \(K\Omega =0\) and \(G\Omega =\Omega \). The map \(\mathcal E(B)=GBG+KBK\) is unital and completely positive, and for every finite auxiliary system the extension \(\mathcal E\otimes \mathrm{id}\) is a contraction in operator norm. Moreover, uniformly in the auxiliary dimension,
and \(\mathcal E\) fixes every matrix commuting with \(k\).
The map \(v\mapsto Gv\oplus Kv\) is an isometry, and \(\mathcal E(B)\) is the compression of \(B\oplus B\) by it; tensoring with the identity preserves \(G^2+K^2=I\). The difference bound follows from \(ABA-A'BA'=(A-A')BA+A'B(A-A')\) and \(\| A\otimes I\| \le \| A\| \). The root tails are Lemma 20.5.3. A matrix commuting with \(k\) commutes with both square roots, so its image is itself times \(G^2+K^2=I\).
Let \((k_i)_{i\in I}\) be positive contractions on a finite-dimensional complex Hilbert space, and suppose that \(k_i\Omega =0\) for every \(i\). Put \(G_i=(I-k_i)^{1/2}\), \(K_i=k_i^{1/2}\) and \(\mathcal E_i(B)=G_iBG_i+K_iBK_i\). Then, for every matrix \(B\),
More generally, for every finite word \(w=(i_1,\ldots ,i_m)\),
No normalization of \(\Omega \) is required. Repeated letters and the empty word are allowed, with both sides equal to \(B\Omega \) for the empty word.
The identities \(K_i\Omega =0\) and \(G_i\Omega =\Omega \) give \(G_iBG_i\Omega +K_iBK_i\Omega =G_iB\Omega \). Iterating this equality in the order of the word proves the assertion; each later contraction acts on the left.
This is the finite-dimensional channel identity used in the amplification argument of [ Ope26b ] . For lifted constraints \(k_i\otimes I\), take \(\Omega \otimes \xi \) with arbitrary auxiliary vector \(\xi \); the same identity applies on the enlarged Hilbert space. The identity supplies no estimate for spatial localization or omitted channels.
20.7 Locality of the positive constraints
Let \(L\) be a linear map on matrices, playing the role of a conditional expectation onto operators supported in a ball of radius \(l\), and write \(\tau _t(A)=e^{itH}Ae^{-itH}\) and \(\alpha =p/(p+1)\).
There is \(K_0{\gt}0\) with \(|f(t)|\le K_0(1+|t|)^{-2}e^{-(c/2)T^\alpha }\) whenever \(0\le T\le |t|\), where \(c\) is the decay rate of the kernel.
Multiply the bounds \(|f(t)|\le A(1+|t|)^{-4}\) and \(|f(t)|\le Ke^{-c|t|^\alpha }\) and take square roots.
Let \(C\ge 0\) and \(v,c{\gt}0\). There are \(C',c'{\gt}0\), depending only on \(p,\delta ,C,v,c\), such that \(\| \tau _t(A)-L\tau _t(A)\| \le \| A\| \min \{ 2,Ce^{v|t|-cl}\} \) for all \(t\) implies \(\| \mathcal F_H(A)-L\mathcal F_H(A)\| \le C'e^{-c'l^\alpha }\| A\| \).
The linear map \(L\) passes through the integral. For \(|t|\le cl/(2v)\) the hypothesis gives the factor \(Ce^{-cl/2}\); for larger \(|t|\) use the bound \(2\) and Lemma 20.7.1. Finally \(e^{-cl/2}\le e^{c/2}e^{-(c/2)l^\alpha }\).
If \(L\) is a contraction, \(M\) and \(LM\) are Hermitian, and \(L\) fixes \(|LM|\), then \(\| |M|-L|M|\| \le 2(2\| M\| \| M-LM\| )^{1/2}\). Consequently, if \(L\) is moreover unital and preserves Hermitian matrices, and \(h\) satisfies the hypothesis of Theorem 20.7.2 with \(\| h\| \le J\), then the positive constraint \(k=|M|/c_*\) built from \(h\) satisfies \(\| k-Lk\| \le C_3e^{-c_3l^\alpha }\), with constants depending only on \(p,\Delta ,J,C,v,c\).
Write \(|M|-L|M|=(|M|-|LM|)+L(|LM|-|M|)\) and apply Lemma 20.5.3. Unitality gives \(M-LM=\mathcal F_H(h)-L\mathcal F_H(h)\).
20.8 Stability of a global gap
For unit vectors \(\psi ,\phi \) the trace distance of \(|\psi \rangle \langle \psi |\) and \(|\phi \rangle \langle \phi |\) is \((1-|\langle \psi ,\phi \rangle |^2)^{1/2}\).
With \(X=P-Q\) and \(s=|\langle \psi ,\phi \rangle |^2\) one has \(PQP=sP\) and \(QPQ=sQ\), hence \(X^3=(1-s)X\); so \(|X|=X^2/(1-s)^{1/2}\) and \(\operatorname {tr}X^2=2(1-s)\).
Let \(H_F\ge g(I-P_\Omega )\) with \(H_F\Omega =0\), \(\| \Omega \| =1\), \(g{\gt}0\), and let \(H'\ge 0\) with \(\| H'-H_F\| \le \epsilon \le g/4\). Then \(H'\) has a unit ground vector \(\Omega _0\) with energy \(e_0\in [0,\epsilon ]\) and \(H'-e_0I\ge (g/2)(I-P_{\Omega _0})\); after a choice of phase \(\| \Omega _0-\Omega \| \le 2(\epsilon /g)^{1/2}\), and the trace distance of the two pure states is at most \((2\epsilon /g)^{1/2}\).
A minimizer of the quadratic form on the unit sphere is an eigenvector. For \(\psi \perp \Omega _0\), a combination of \(\psi \) and \(\Omega _0\) orthogonal to \(\Omega \) has energy at least \((g-\epsilon )\) times its squared norm, while the \(\Omega _0\) component carries energy \(e_0\le g-\epsilon \); hence \(\langle \psi ,H'\psi \rangle \ge (g-\epsilon )\| \psi \| ^2\). Testing on \(\Omega \) gives \(e_0\le \epsilon \), and the gap of \(H_F\) at \(\Omega _0\) gives \(g(1-|\langle \Omega ,\Omega _0\rangle |^2)\le 2\epsilon \).