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Sublinear thermal state and ground state preparation for free fermions via system-bath interaction

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Abstract

Dissipative algorithms for preparing thermal and ground states typically require a total Hamiltonian simulation time that grows at least linearly with system size NN, even when their mixing time grows only polylogarithmically. We achieve sublinear simulation time for free fermions by engineering local interactions with a bath whose size grows in proportion to the system size. Starting from arbitrary initial states, our thermal state preparation algorithm achieves trace-norm error εε in total simulation time O~(N/ε)\widetilde{O}(\sqrt{N}/ε) at fixed inverse temperature and bounded single-particle bandwidth, while ground state preparation of gapped systems requires only polylog(N/ε)\mathrm{polylog}(N/ε) time. We further establish lower bounds for thermal state preparation within the bath protocols considered, identifying two obstacles to faster preparation, namely fourth-order deviations from the target thermal state and fluctuations induced by a random frequency shared by all bath qubits. Our results demonstrate that the linear simulation time barrier in dissipative state preparation can be overcome and clarify the bath and filter-design constraints that govern further complexity improvements.

Introduction – Quantum state preparation is a foundational challenge in quantum computation and simulation. Given a Hamiltonian HH, its thermal and ground states encode key equilibrium properties of the underlying quantum system and serve as essential resources in quantum many-body physics, quantum chemistry, and materials science.

Dissipative state preparation algorithms use controlled interactions with an environment or bath to drive the system toward the desired state. Early heuristic studies provided important evidence that engineered dissipation can successfully prepare pure and thermal quantum states in specific structured settings [27, 28, 4, 29, 30, 12, 18, 21, 9]. Recently, substantial progress has been made toward systematically designed dissipative algorithms with rigorous performance and complexity guarantees. One direction involves designing Lindblad generators whose stationary states coincide with, or closely approximate, the desired Gibbs or ground states, together with algorithms and analyses establishing end-to-end complexity guarantees in relevant regimes [19, 8, 15, 16, 11, 20, 10, 3, 17, 5]. More recently, system-bath interaction algorithms have provided a complementary approach, in which the dissipative dynamics is implemented directly through interactions with a bath that is reset after each round of evolution. A growing body of work has developed such constructions and established increasingly rigorous guarantees on stationary-state accuracy and mixing behavior [14, 6, 25, 13, 2, 26].

In recent developments, dissipative algorithms can be designed without explicit knowledge of the target state, requiring only access to Hamiltonian simulation of the form exp⁡(−iHt)\exp(-iHt). The end-to-end complexity of such algorithms is measured by the total Hamiltonian simulation time required to prepare the target state to a prescribed accuracy. Let NN denote the system size. For Lindbladian-based algorithms, the state-of-the-art complexity scales as O~(N)\widetilde{\mathcal{O}}(N) for thermal- and ground state preparation in regimes of weak interactions [5, 7, 24], while a complexity of O~(N4)\widetilde{\mathcal{O}}(N^4) has been established for free-fermion ground state preparation [2] with single ancilla bath.

An at least linear dependence on the system size NN is a common feature of existing dissipative algorithms. This dependence is closely tied to the locality of the dissipative transitions and the need to drive the entire system toward the target state. Consider Lindbladian-based algorithms as an example. The jump operators are often constructed from Heisenberg-picture evolutions of local operators and therefore remain quasi-local, acting effectively on only a constant region of the system. To reach the target state from an arbitrary initial state, dissipative transitions must collectively act on all system qubits. In typical local constructions, this requires at least Θ(N)\Theta(N) applications of such dissipative transitions. Consequently, the total Hamiltonian simulation time naturally exhibits a lower bound of the form Ttotal=Ω(N)T_{\rm total}=\Omega(N), explaining the at least linear system-size dependence that appears in existing approaches. On the other hand, the locality of the interaction is often a key feature of dissipative algorithms, as it allows for efficient implementation of the algorithm to ensure that the dynamics remains physically realizable. This raises a natural question:

Can dissipative algorithms prepare thermal and ground states with sublinear total Hamiltonian simulation time in the system size while retaining local interactions?

In this work, we show that the linear-in-NN barrier can be overcome for free fermions using the recently developed system-bath interaction framework. For thermal state preparation to a target accuracy ϵ\epsilon, locally coupling the system to Θ(N)\Theta(N) bath qubits reduces the total Hamiltonian simulation time to O~(N/ϵ)\widetilde{\mathcal{O}}(\sqrt{N}/\epsilon), yielding a polynomial improvement over existing dissipative approaches. For ground state preparation, the complexity further improves to O~(polylog⁡(N/ϵ))\widetilde{\mathcal{O}}(\operatorname{polylog}(N/\epsilon)), achieving a nearly optimal dependence on the system size. We also establish a lower bound for thermal state preparation, demonstrating the sharpness of our analysis in the regime considered and identifying the design bottlenecks that limit further improvement.

Although free-fermion systems are classically simulable, establishing efficient quantum state-preparation algorithms for this benchmark remains of significant interest. Free fermions provide a natural testbed for exploring the potential of dissipative state-preparation algorithms [22] and have also served as a benchmark for studying their robustness to noise [23]. Our results provide rigorous complexity guarantees that are sublinear in the system size NN for this benchmark problem under the framework of dissipative state preparation.

In our construction, we restrict the total Hamiltonian to be quadratic, which is necessary for the system-bath interaction dynamics to preserve the free-fermion structure. Importantly, however, convergence of the algorithm does not require the initial state to be a free-fermion state and holds for arbitrary initial states. This suggests that the underlying mechanism is not intrinsically tied to free-fermion initial data and may admit extensions to more general quantum systems.

Employing an extensive bath, whose size grows in proportion to the system size, has become a common design choice in dissipative algorithms [14, 25, 22], yet it is often motivated heuristically, and it remains theoretically unclear whether such a choice can yield a provable improvement in end-to-end complexity. We note that, while increasing the number of bath qubits can enhance the available dissipative transitions, it also introduces additional fluctuations that may drive the system away from the target state. Balancing these competing effects is nontrivial and lies beyond the scope of existing analyses of dissipative algorithms. Consequently, it is not a priori clear whether the advantages of an extensive bath outweigh its potential drawbacks. Our results rigorously demonstrate the advantages of employing an extensive bath over existing system-bath interaction algorithms and their analyses. Furthermore, they establish the use of an extensive bath as a promising design principle for overcoming the linear-in-NN complexity barrier in dissipative state preparation, a regime that, to the best of our knowledge, remains beyond the reach of existing Lindbladian-based algorithms.

System-bath interaction algorithm – Given an NN-qubit system Hamiltonian HH and an inverse temperature 0<β<∞0<\beta<\infty, the thermal state is defined as σβ∝e−βH\sigma_\beta\propto e^{-\beta H}, while we denote the ground state by \ketbra{\psi_0}. The system-bath interaction algorithm [14, 6, 25, 22] prepares the target state by iteratively applying a quantum channel Φα\Phi_\alpha induced by a joint system-bath evolution followed by tracing out the bath. Specifically, each iteration is given by

ρn+1=Φα(ρn):=E[Tr⁡E(Uα(T)(ρn⊗ρE)Uα(T)†)].\begin{equation} \rho_{n+1} = \Phi_{\alpha}(\rho_n) := \mathbb{E}\left[ \operatorname{Tr}_E\left( U^\alpha(T) \left(\rho_n\otimes\rho_E\right) U^\alpha(T)^\dagger \right) \right]. \tag*{(1)} \end{equation}

Here, ρE\rho_E denotes the initial bath state at the beginning of each iteration, and Uα(t):=Texp⁡(−i∫−TtHα(s) ds)U^\alpha(t) := \mathcal{T}\exp\left( -i\int_{-T}^{t} H_\alpha(s)\,\mathrm{d}s \right) is the time-evolution operator governing the joint system-bath dynamics up to time tt. We take the joint Hamiltonian to be

Hα(t)=H+HE+αHint(t),\begin{equation} H_\alpha(t) = H+H_E+\alpha H_{\rm int}(t), \tag*{(2)} \end{equation}

where HEH_E is the bath Hamiltonian, Hint(t)H_{\rm int}(t) describes the system-bath interaction, and α\alpha controls the interaction strength. The choice of HEH_E, Hint(t)H_{\rm int}(t), and ρE\rho_E might contain randomness, and the expectation E[⋅]\mathbb{E}[\cdot] in (1) is taken over the randomness in the construction of the system-bath interaction algorithm.

In designing a system-bath interaction algorithm, the key is to choose HEH_E, Hint(t)H_{\rm int}(t), and ρE\rho_E such that the resulting quantum channel Φα\Phi_\alpha admits a unique stationary state close to the target state. In practice, the interaction Hamiltonian is often constructed as a sum of local system-bath couplings of the form

Hint(t)=f(t)∑iAi⊗Bi+h.c.,\begin{equation} H_{\rm int}(t) = f(t)\sum_i A_i\otimes B_i+\mathrm{h.c.}, \tag*{(3)} \end{equation}

where AiA_i and BiB_i are local operators acting on the system and bath, respectively, and f(t)f(t) is a complex valued function. Each term Ai⊗BiA_i\otimes B_i induces transitions that exchange energy between the system and bath, while f(t)f(t), often referred to as a filter function, is designed to control the transition rates between different energy levels. Assuming access to the joint evolution with simultaneous system-bath couplings, we characterize the end-to-end complexity of the algorithm by the total Hamiltonian simulation time Ttotal=2T mT_{\rm total}=2T\,m, where mm denotes the number of iterations and 2T2T is the Hamiltonian evolution time required in each iteration.

Main results – We assume H=∑i,jhijci†cjH=\sum_{i,j} h_{ij} c^\dagger_ic_j, where h=(hij)h=(h_{ij}) is a Hermitian matrix. Since hh is Hermitian, there exists a unitary matrix UU such that h=UΛU†h=U\Lambda U^\dagger. Then,

H=∑k=1Nλk(∑j(U†)k,jcj)†(∑j(U†)k,jcj):=∑k=1Nλkdk†dk .\begin{equation} \begin{aligned} H&=\sum^N_{k=1}\lambda_k\left(\sum_j (U^\dagger)_{k,j}c_j\right)^\dagger\left(\sum_j (U^\dagger)_{k,j}c_j\right)\\ &:=\sum^N_{k=1}\lambda_k d^\dagger_k d_k\,. \end{aligned} \tag*{(4)} \end{equation}

Because UU is unitary, {dk†,dk}\{d^\dagger_k,d_k\} forms a new set of creation and annihilation operators.

For free fermions, we use a bath with zero Hamiltonian for thermal state preparation and a bath with a randomly sampled frequency for ground state preparation. We call these the zero-bath and random-bath settings, respectively. In both cases, the construction uses Θ(N)\Theta(N) bath qubits, and Hint(t)H_{\rm int}(t) in (3) consists of Θ(N)\Theta(N) local system-bath couplings. Moreover, the choices of the local operators AiA_i and BiB_i are independent of hh. The main results are summarized in the following theorem:

Theorem 1 (Sublinear thermal state preparation for free fermions). Let Λ=max⁡k∣λk∣=O(1)\Lambda=\max_k|\lambda_k|=\mathcal O(1). There exists a system-bath interaction algorithm Φα\Phi_{\alpha} with T=Θ~(1+β)T=\widetilde{\Theta}(1+\beta), such that when m=Θ~(min⁡{N1/2exp⁡(βΛ/2),N}ϵ)m=\widetilde{\Theta}\left(\frac{\min\{N^{1/2}\exp(\beta\Lambda/2),N\}}{\epsilon}\right), sup⁡ρ∥Φαm(ρ)−σβ∥1≤ϵ\sup_{\rho}\left\|\Phi_{\alpha}^m(\rho)-\sigma_{\beta}\right\|_1\leq \epsilon. In particular, when β=Θ(1)\beta=\Theta(1), Λ=Θ(1)\Lambda=\Theta(1), to prepare the Gibbs state σβ\sigma_\beta with ϵ\epsilon-accuracy, the total Hamiltonian simulation time is Ttotal=O~(N1/2/ϵ) . T_{\rm total}=\widetilde{\mathcal{O}}(N^{1/2}/\epsilon)\,. Here, Θ~,O~\widetilde{\Theta},\widetilde{\mathcal{O}} hide some polylogarithmic factors of β,N,1/ϵ\beta,N,1/\epsilon.

The rigorous statement of the theorem is presented in § 1 Theorem 6, with the proof provided in § 1.2. The construction of the system-bath interaction algorithm is based on the choice HE=0H_E=0, referred to as the zero-bath setting (see Assumption 3), together with a suitably chosen filter function f(t)f(t). The design of the filter function is motivated by recent developments in Lindbladian-based algorithms [11]. Specifically, f(t)f(t) is chosen to ensure that the leading-order dissipative generator in the infinite-window limit satisfies the Kubo–Martin–Schwinger (KMS) detailed-balance condition.

In contrast to previous system–bath interaction algorithms and analyses [6, 2], our algorithm employs Θ(N)\Theta(N) ancilla bath qubits to accelerate the mixing of the quantum channel Φα\Phi_{\alpha}. However, the increased number of system–bath coupling operators introduces additional perturbation errors, which require the coupling strength α\alpha to remain sufficiently small. Consequently, a direct extension of previous analyses still yields a complexity that scales at least linearly with NN.

To control these errors, we use a transformation that decomposes the total system–bath Hamiltonian into NN independent fermionic modes. This decoupling enables us to analyze the perturbation error of each mode separately using the fermionic tensor-product structure, thereby allowing a larger coupling strength α\alpha and achieving sublinear-in-NN complexity. To the best of our knowledge, it remains unclear whether Lindbladian-based algorithms [15, 11] can achieve a similar sublinear-in-NN complexity through such decoupling techniques, as their implementations still require Θ(N)\Theta(N) jump operators in this setting.

Our second main result concerns ground state preparation, which is summarized as follows:

Theorem 2 (Polylogarithmic ground state preparation for free fermions). Assume max⁡k∣λk∣=O(1)\max_k|\lambda_k|=\mathcal O(1) and Δ:=min⁡k∣λk∣>0\Delta:=\min_k|\lambda_k|>0. There exists a system-bath interaction algorithm Φα\Phi_{\alpha} with T=Θ~(Δ−1)T=\widetilde{\Theta}(\Delta^{-1}), such that when m=Θ~(Δ−1polylog(N/ϵ))m=\widetilde{\Theta}\left(\Delta^{-1}\mathrm{polylog}(N/\epsilon)\right), sup⁡ρ∥Φαm(ρ)−∣ψ0⟩⟨ψ0∣∥1≤ϵ\sup_{\rho}\left\|\Phi_{\alpha}^m(\rho)-\ket{\psi_0}\bra{\psi_0}\right\|_1\leq \epsilon. In particular, to prepare the ground state ∣ψ0⟩\ket{\psi_0} with ϵ\epsilon-accuracy, the total Hamiltonian simulation time is Ttotal=O~(Δ−2)T_{\rm total}=\widetilde{\mathcal{O}}(\Delta^{-2}).

A detailed version of the above theorem is put in § 2 Theorem 12 with the proof provided in § 2.1. The construction of the system-bath interaction algorithm is based on a random-bath setting (see Assumption 3), where HEH_E is chosen to be a random diagonal matrix and the filter function f(t)f(t) is chosen properly.

We note that achieving the polylog(1/ϵ)\mathrm{polylog}(1/\epsilon) dependence requires a sufficiently large interaction strength α=Θ~(Δ)\alpha=\widetilde{\Theta}(\sqrt{\Delta}), for which the resulting quantum channel Φα\Phi_\alpha can no longer be accurately approximated by Lindbladian evolution [2]. The analysis therefore requires going beyond the conventional Lindblad approximation for open quantum systems. In particular, it is necessary to account for all higher-order terms in the Dyson expansion and establish that their contributions preserve the ground state to the desired accuracy without introducing additional system-size dependencies.

Zero-bath and random-bath settings – In this work, we consider two classes of engineered baths: the zero-bath and random-bath settings.

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