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arXiv:1302.6112 · Physical Review A

Periodicity of the time-dependent Kohn-Sham equation and the Floquet theorem

Varun Kapoor, Michael Ruggenthaler, D. Bauer

Published Apr 30, 2013• 14 citations
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Abstract

The Floquet theorem allows one to reformulate periodic time-dependent problems such as the interaction of a many-body system with a laser field in terms of time-independent, field-dressed states, also known as Floquet states. If this was possible for density-functional theory as well, one could reduce in such cases time-dependent density-functional theory to a time-independent Floquet density-functional theory. We analyze under which conditions the Floquet theorem is applicable in a density-functional framework. By employing numerical ab initio solutions of the interacting time-dependent Schr\"odinger equation with time-periodic external potentials we show that the exact effective potential in the corresponding Kohn-Sham equation is not unconditionally periodic. Whenever several Floquet states in the interacting system are involved in a physical process the corresponding Hartree-exchange-correlation potential is not periodic with the external frequency only. Using an analytically solvable example we demonstrate that, in general, the periodicity of the time-dependent Kohn-Sham Hamiltonian cannot be restored by choosing a different initial state. Only if the external periodic potential is sufficiently weak such that the initial state of the interacting system evolves adiabatically to a single, field-dressed state, the resulting Kohn-Sham system admits the application of the Floquet theorem.

DOI
10.1103/physreva.87.042521

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The Floquet theorem allows one to reformulate periodic time-dependent problems such as the interaction of a many-body system with a laser field in terms of time-independent, field-dressed states, also known as Floquet states. If this was possible for density-functional theory as well, one could reduce in such cases time-dependent density-functional theory to a time-independent Floquet density-functional theory. We analyze under which conditions the Floquet theorem is applicable in a density-functional framework. By employing numerical ab initio solutions of the interacting time-dependent Schr"odinger equation with time-periodic external potentials we show that the exact effective potential in the corresponding Kohn-Sham equation is not unconditionally periodic. Whenever several Floquet states in the interacting system are involved in a physical process the corresponding Hartree-exchange-correlation potential is not periodic with the external frequency only. Using an analytically solvable example we demonstrate that, in general, the periodicity of the time-dependent Kohn-Sham Hamiltonian cannot be restored by choosing a different initial state. Only if the external periodic potential is sufficiently weak such that the initial state of the interacting system evolves adiabatically to a single, field-dressed state, the resulting Kohn-Sham system admits the application of the Floquet theorem.
In the present thesis, a rigorous mathematical formulation of time-dependent density-functional theory for lattice systems is derived, serving a formally exact approach towards solving time-dependent many-particle Schrödinger problems. After introducing the necessary mathematical foundations, a one-to-one mapping from external potentials onto electronic densities obtained by solving the Schrödinger equation is introduced. Its properties and the related Banach spaces of scalar potentials and electronic densities are discussed in detail. It allows to precisely formulate the Kohn-Sham Iteration scheme, mapping a given many-particle to an effective single-particle Schrödinger problem, both generating the exact same density. Employing the Banach fixed point theorem, the Kohn-Sham Iteration scheme is proven to be convergent depending on the chosen initial density.
Predictivity of the Kohn-Sham approach to dynamical problems, when regarded as an initial value problem in a time-dependent density functional framework, is analysed for a class of models for which the argument devised in the work of Maitra et al. (Phys. Rev. A 78, 056501 (2008), arXiv:cond-mat/0710.0018) for the standard electronic many-body problem does not apply. The original argument is here extended and revised. As a result, predictivity for this class of problems seems possible only at the price of introducing extra unknown functionals in the corresponding Kohn-Sham equation. Furthermore, the same argument, when applied to original electronic problem, suggests that the Hartree-exchange-correlation potential is not unambiguously identified by the contemporary and past densities and initial states, but also requires knowledge of the divergence of the contemporary Kohn-Sham current.
In this chapter,we shall analyze the particular case of an atom interacting with a laser pulse whose duration is sufficiently long, so that the evolution of the atom in the laser field is adiabatic. When this condition is fulfilled, the atom can be considered to interact with a monochromatic laser field. As a consequence, the Hamiltonian of the system is periodic in time, and the Floquet theory [1] can be used to solve the time-dependent Schrödinger equation (TDSE) non-perturbatively. We begin in Section 4.1 by considering the Hermitian Floquet theory. We first derive the Floquet theorem for a monochromatic, spatially homogeneous laser field and show that the solutions of the TDSE correspond to dressed states having real quasi-energies , which can be obtained by solving an infinite system of time-independent coupled equations. We then generalize the Floquet theory to multicolor laser fields and to “non-dipole” laser fields which are not spatially homogeneous. In Section 4.2, the Floquet theory is applied to study the dynamics of a model atom having M discrete levels interacting with a monochromatic laser field. In this case, the coupling between the bound and continuum atomic states is neglected.We analyze the relationship between the Floquet theory and the rotating wave approximation, and examine the perturbative limit of the Floquet theory. We also consider the population transfer between Floquet dressed states.
Floquet theory provides insight into the inversion of time-dependent Kohn-Sham density functional theory. Specifically, mathematical derivations show that the fundamental frequencies of a time-dependent wavefunction solution are the leading-order harmonics for the TD-KS state. Numerical tests of the resulting ansatz in 1D and 3D for atomic and molecular cases demonstrate its utility. In particular, low L2L_{2}L2​ errors in the time-dependent density and longitudinal current were found, even though currents were not an explicit optimization objective. In all, the proposed inversion ansatz provides exchange-correlation potentials from time-dependent wavefunctions, is highly interpretable, and may significantly help in the development of nonadiabatic density functionals.
This chapter introduces the time-dependent Kohn-Sham scheme. The first section shows how an interacting time-dependent many-body system can be replaced by an auxiliary noninteracting system which reproduces the exact time-dependent density. This noninteracting system is called the Kohn-Sham system. It features an effective single-particle potential, consisting of external, Hartree, and exchange-correlation potential. The Kohn-Sham formalism is then generalized to spin-dependent systems. The exchange-correlation potential needs to be approximated in practice. Of particular importance is the adiabatic approximation, which uses any static exchange-correlation potential and evaluates it with time-dependent densities. The last two sections deal with practical issues related to the numerical implementation of the time-dependent Kohn-Sham scheme, namely, the meaning of self-consistency and unitary time propagation. The Crank-Nicholson algorithm is introduced, and important practical concepts such as the predictor-corrector scheme and absorbing boundary conditions are discussed.
For the calculation of neutral excitations, time-dependent density functional theory (TDDFT) is an exact reformulation of the many-body time-dependent Schrödinger equation, based on knowledge of the density instead of the many-body wavefunction. The density can be determined in an efficient scheme by solving one-particle non-interacting Schrödinger equations—the Kohn–Sham equations. The complication of the problem is hidden in the—unknown—time-dependent exchange and correlation potential that appears in the Kohn–Sham equations and for which it is essential to find good approximations. Many approximations have been suggested and tested for finite systems, where even the very simple adiabatic local-density approximation (ALDA) has often proved to be successful. In the case of solids, ALDA fails to reproduce optical absorption spectra, which are instead well described by solving the Bethe–Salpeter equation of many-body perturbation theory (MBPT). On the other hand, ALDA can lead to excellent results for loss functions (at vanishing and finite momentum transfer). In view of this and thanks to recent successful developments of improved linear-response kernels derived from MBPT, TDDFT is today considered a promising alternative to MBPT for the calculation of electronic spectra, even for solids. After reviewing the fundamentals of TDDFT within linear response, we discuss different approaches and a variety of applications to extended systems.