Quantum Information and Channels: A formalization blueprint

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

Lemma 20.1.1 Real part on a small disk
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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 \(\operatorname {Re}(1-z^2)^{-p}\ge w^{-p}/2\).

Proof ▶

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 \(|a-1|\le 3|z-u|/w\le 1/(4p)\).

Theorem 20.1.2 Cauchy estimate for the profile
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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 \(n\ge 0\),

\[ |g^{(n)}(u)|\le n!\, e\, e^{-w^{-p}/2}\, (12p)^n w^{-n}, \]

and for every integer \(k\) with \(n\le pk\),

\[ |g^{(n)}(u)|\le n!\, e\, (12p)^n\, 2^k\, k!\; w^{pk-n}. \]
Proof ▶

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

Definition 20.2.1 Spectral cutoff
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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 \(\omega \),

\[ |\chi ^{(n)}(\omega )|\le \delta ^{-n}\, n!\, e\, (12p)^n\, 2^k\, k!. \]
Proof ▶

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

Definition 20.3.1 Time kernel
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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 \(n\le pk\),

\[ |t|^n|f(t)|\le \frac{\delta }{\pi }\, \delta ^{-n}\, n!\, e\, (12p)^n\, 2^k\, k!. \]
Proof ▶

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.

Proof ▶

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

\[ \chi (\omega )=\int _{\mathbb {R}} f(t)e^{it\omega }\, dt,\qquad |f(t)|\le Ce^{-c|t|^\alpha }, \]

with \(C,c{\gt}0\) depending only on \(p\) and \(\delta \). In particular \(\int _{\mathbb {R}} f=1\).

Proof ▶

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

Definition 20.4.1 Filtered operator
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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 \(\mathcal F_H(H)=H\).

Proof ▶

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.

Proof ▶

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 \(P_\Omega =|\Omega \rangle \langle \Omega |\).

Lemma 20.5.1 Filtering below the gap
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If \(0{\lt}\delta \le \Delta \), then \(\mathcal F_H(A)\Omega =\langle \Omega ,A\Omega \rangle \Omega \) for every matrix \(A\).

Proof ▶

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 \(\| M_i\| \le \| h_i\| (\| f\| _1+1)\).

Proof ▶

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 \(|\langle \Omega ,h_i\Omega \rangle |\le \| h_i\| \).

Lemma 20.5.3 Square-root estimate
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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 \(\| |a|-|b|\| \le ((\| a\| +\| b\| )\| a-b\| )^{1/2}\).

Proof ▶

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

\[ \sum _ik_i\ge c_*^{-1}(H-E_0I)\ge \frac{\Delta }{c_*}(I-P_\Omega ). \]
Proof ▶

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,

\[ \| (\mathcal E-\mathcal E')\otimes \mathrm{id}\| \le (\| G\| +\| G'\| )\| G-G'\| +(\| K\| +\| K'\| )\| K-K'\| , \]

and \(\mathcal E\) fixes every matrix commuting with \(k\).

Proof ▶

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 \(G^2+K^2=I\).

Theorem 20.6.2 Channel words on a common annihilated vector
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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 \(B\),

\begin{align} \mathcal E_i(B)\Omega & =G_iB\Omega . \end{align}

More generally, for every finite word \(w=(i_1,\ldots ,i_m)\),

\begin{align} (\mathcal E_{i_m}\circ \cdots \circ \mathcal E_{i_1})(B)\Omega & =G_{i_m}\cdots G_{i_1}B\Omega . \end{align}

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.

Proof ▶

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.

Proof ▶

Multiply the bounds \(|f(t)|\le A(1+|t|)^{-4}\) and \(|f(t)|\le Ke^{-c|t|^\alpha }\) and take square roots.

Theorem 20.7.2 Localization of filtered operators
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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 \(\| \mathcal F_H(A)-L\mathcal F_H(A)\| \le C'e^{-c'l^\alpha }\| A\| \).

Proof ▶

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 \(p,\Delta ,J,C,v,c\).

Proof ▶

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

Lemma 20.8.1 Trace distance of pure states
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For unit vectors \(\psi ,\phi \) the trace distance of \(|\psi \rangle \langle \psi |\) and \(|\phi \rangle \langle \phi |\) is \((1-|\langle \psi ,\phi \rangle |^2)^{1/2}\).

Proof ▶

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 \((2\epsilon /g)^{1/2}\).

Proof ▶

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 \(g(1-|\langle \Omega ,\Omega _0\rangle |^2)\le 2\epsilon \).