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arXiv:1508.04551 · Physical Review A

Floquet-Boltzmann equation for periodically driven Fermi systems

Maximilian Genske, Achim Rosch

Published Dec 7, 2015• 83 citations
arXivHTMLPDF

Abstract

Periodically driven quantum systems can be used to realize quantum pumps, ratchets, artificial gauge fields, and novel topological states of matter. Starting from the Keldysh approach, we develop a formalism, the Floquet-Boltzmann equation, to describe the dynamics and the scattering of quasiparticles in such systems. The theory builds on a separation of time scales. Rapid, periodic oscillations occurring on a time scale ${T}_{0}=2\ensuremath{\pi}/\mathrm{\ensuremath{\Omega}}$ are treated using the Floquet formalism and quasiparticles are defined as eigenstates of a noninteracting Floquet Hamiltonian. The dynamics on much longer time scales, however, is modeled by a Boltzmann equation which describes the semiclassical dynamics of the Floquet quasiparticles and their scattering processes. As the energy is conserved only modulo $\ensuremath{\hbar}\mathrm{\ensuremath{\Omega}}$, the interacting system heats up in the long-time limit. As a first application of this approach, we compute the heating rate for a cold-atom system, where a periodical shaking of the lattice was used to realize the Haldane model [G. Jotzu et al., Nature (London) 515, 237 (2014)].

DOI
10.1103/physreva.92.062108

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Periodically driven quantum systems can be used to realize quantum pumps, ratchets, artificial gauge fields, and novel topological states of matter. Starting from the Keldysh approach, we develop a formalism, the Floquet-Boltzmann equation, to describe the dynamics and the scattering of quasiparticles in such systems. The theory builds on a separation of time scales. Rapid, periodic oscillations occurring on a time scale T0=2\ensuremathπ/\ensuremathΩ{T}_{0}=2\ensuremath{\pi}/\mathrm{\ensuremath{\Omega}}T0​=2\ensuremathπ/\ensuremathΩ are treated using the Floquet formalism and quasiparticles are defined as eigenstates of a noninteracting Floquet Hamiltonian. The dynamics on much longer time scales, however, is modeled by a Boltzmann equation which describes the semiclassical dynamics of the Floquet quasiparticles and their scattering processes. As the energy is conserved only modulo \ensuremathℏ\ensuremathΩ\ensuremath{\hbar}\mathrm{\ensuremath{\Omega}}\ensuremathℏ\ensuremathΩ, the interacting system heats up in the long-time limit. As a first application of this approach, we compute the heating rate for a cold-atom system, where a periodical shaking of the lattice was used to realize the Haldane model [G. Jotzu et al., Nature (London) 515, 237 (2014)].
Controlling and manipulating complex many-body quantum systems will be a key ingredient \nfor the development of next-generation technologies. While the realisation of a \nuniversal quantum machine is still out of reach, in recent years experimental systems of \nultracold atoms have already evolved into a vivid field of research for quantum simulation. \nCrucially, such systems even allow for the successful quantum engineering of targeted \nmany-body systems by means of coherent periodic driving. The essential properties of \nthese Floquet systems encompass two main aspects: fast driving facilitates the simulation \nof effective static systems, and interactions lead to unique heating effects as energy is only \nconserved modulo the driving frequency. Within this thesis we theoretically study both \nof these aspects in respective model systems. \nIn part I of this thesis, we investigate the dynamics of excitations of a bosonic Mott \ninsulator in a designed one-dimensional Floquet system. Here, periodic driving in combination \nwith breaking all mirror symmetries of the system can induce directed motion of \nparticles. In the limit of small excitation densities, the effectively non-interacting quantum \nratchet determines the motion of holes and doublons in the Mott insulator and can in fact \nbe used to manipulate the dynamics of such. This little quantum machine can also be \nused to drive particles against an external force, where transport is possible but requires \nthe fulfilment of a commensurability condition for long times. \nIn part II, we discuss the role of interactions for periodically driven systems by means \nof a Floquet version of the Boltzmann equation. Starting from the Keldysh approach, \nwe develop this semiclassical formalism based on a clear separation of time scales. The \nresult is a description of the dynamics and the scattering of Floquet quasiparticles in \nsuch systems. Here, the property of discrete energy violation is naturally encoded in our \nformalism predicting the heating of interacting Floquet systems to infinite temperatures in \nthe long-time limit. As a first application of this approach, we investigate a cold atom setup \nrealising the Haldane model by means of periodic shaking. While homogeneous systems \nheat up globally, a confining potential evokes thermoelectric transport effects resulting \nfrom spatially dependent heating characteristics. Moreover, we show that the interplay \nof intrinsic heating, macroscopic diffusion and non-trivial topological properties of the \nHaldane model lead to an anomalous Floquet-Nernst effect, which describes anomalous \nparticle transport as the result of developing temperature gradients. \nIn part III, we elaborate on the quantum simulator aspect of ultracold atoms by providing \na theoretical framework for a possible simulation of a topological edge state in a \none-dimensional optical lattice. In this case, the one-dimensional Dirac equation with \nspatially varying mass is important, which captures the topological properties of a corresponding \nsystem of the BDI symmetry class. We analytically discuss such system and \ninvestigate the role of mean-field interaction effects. We also identify the emergence of \ndynamical instabilities in a realisation with bosonic atoms.
Motivated by recent experimental implementations of artificial gauge fields for gases of cold atoms, we study the scattering properties of particles that are subjected to time-periodic Hamiltonians. Making use of Floquet theory, we focus on translationally invariant situations in which the single-particle dynamics can be described in terms of spatially extended Floquet-Bloch waves. We develop a general formalism for the scattering of these Floquet-Bloch waves. An important role is played by the conservation of Floquet quasienergy, which is defined only up to the addition of integer multiples of $\ensuremath{\hbar}\ensuremath{\omega}$ for a Hamiltonian with period $T=2\ensuremath{\pi}/\ensuremath{\omega}$. We discuss the consequences of this for the interpretation of ``elastic'' and ``inelastic'' scattering in cases of physical interest. We illustrate our general results with applications to the scattering of a single particle in a Floquet-Bloch state from a static potential and the scattering of two bosonic particles in Floquet-Bloch states through their interparticle interaction. We analyze examples of these scattering processes that are closely related to the schemes used to generate artificial gauge fields in cold-atom experiments, through optical dressing of internal states, or through time-periodic modulations of tight-binding lattices. We show that the effects of scattering cannot, in general, be understood by an effective time-independent Hamiltonian, even in the limit $\ensuremath{\omega}\ensuremath{\rightarrow}\ensuremath{\infty}$ of rapid modulation. We discuss the relative sizes of the elastic scattering (required to stabilize many-body phases) and of the inelastic scattering (leading to deleterious heating effects). In particular, we describe how inelastic processes that can cause significant heating in the current experimental setup can be switched off by additional confinement of transverse motion.
Periodically-driven (Floquet) quantum systems are ubiquitous in science and technology. For example, when a laser illuminates a material or an AC voltage is applied to a device, the system is well-described by a time-periodic Hamiltonian. In recent years, periodic driving has been proposed, not just as a tool to excite and probe devices, but actually as a mechanism of engineering new phases of matter, some of which have no equilibrium analog. However, with this promise comes a serious problem. Intuitively, if energy is injected into and distributed throughout a system, it is no surprise that it tends to heat up indefinitely to infinite temperature. In this thesis, we study the mechanisms of heating, i.e. the process of thermalization, in Floquet systems and propose methods to control them. Specifically, for non-interacting Floquet systems that are coupled to external bosonic and fermionic baths (e.g. laser-driven electrons in a semiconductor that interact with phonons and an external lead), we classify the relevant scattering processes that contribute to cooling/heating in the Floquet bands and suggest methods to suppress heating via bandwidth-restrictions on the baths. We find that is possible, with appropriate dissipative engineering, to stabilize a controlled incompressible nonequilibrium steady-state resembling a ground state - a state we term the "Floquet insulator." We extend this analysis to include short-range interactions that contribute additional heating processes and show, under the same framework, that heating can be controlled with dissipation. In the process, we develop a simple effective model for the Floquet band densities that captures the essence of all the Floquet scattering processes and that is useful for ballparking experimentally-relevant estimates of heating. Next, we turn our attention to strongly-interacting closed Floquet systems and study how heating emerges through a proliferation of resonances. We find a novel integrable point governing the strong-interaction limit of the Floquet system and examine the breakdown of integrability via the proliferation of resonances. We observe two distinct scaling regimes, attributed to non-thermal and thermal behavior, and discover a power-law scaling of the crossover between them as a function of system size. The lingering ergodicity-breaking effects of the conserved quantities in the vicinity (in parameter space) of the integrable point at finite size is a phenomena we term "near-integrability." These results suggest that small quantum systems, which are accessible currently in many platforms (e.g. trapped ions, cold atoms, superconducting devices), intrinsically host non-thermal states that one may be able to utilize to avoid heating. Furthermore, our results suggest a "dual" interpretation, in the thermodynamic limit, that a periodically-driven system exhibits prethermalization as a power-law in interaction strength.
We study the regimes of heating in the periodically driven O(N)-model, which is a well established model for interacting quantum many-body systems. By computing the absorbed energy with a non-equilibrium Keldysh Green's function approach, we establish three dynamical regimes: at short times a single-particle dominated regime, at intermediate times a stable Floquet prethermal regime in which the system ceases to absorb, and at parametrically late times a thermalizing regime. Our simulations suggest that in the thermalizing regime the absorbed energy grows algebraically in time with an exponent that approaches the universal value of 1/2, and is thus significantly slower than linear Joule heating. Our results demonstrate the parametric stability of prethermal states in a many-body system driven at frequencies that are comparable to its microscopic scales. This paves the way for realizing exotic quantum phases, such as time crystals or interacting topological phases, in the prethermal regime of interacting Floquet systems.
We give a general overview of the high-frequency regime in periodically driven systems and identify three distinct classes of driving protocols in which the infinite-frequency Floquet Hamiltonian is not equal to the time-averaged Hamiltonian. These classes cover systems, such as the Kapitza pendulum, the Harper–Hofstadter model of neutral atoms in a magnetic field, the Haldane Floquet Chern insulator and others. In all setups considered, we discuss both the infinite-frequency limit and the leading finite-frequency corrections to the Floquet Hamiltonian. We provide a short overview of Floquet theory focusing on the gauge structure associated with the choice of stroboscopic frame and the differences between stroboscopic and non-stroboscopic dynamics. In the latter case, one has to work with dressed operators representing observables and a dressed density matrix. We also comment on the application of Floquet Theory to systems described by static Hamiltonians with well-separated energy scales and, in particular, discuss parallels between the inverse-frequency expansion and the Schrieffer–Wolff transformation extending the latter to driven systems.
We consider a quantum system periodically driven with a strength which varies slowly on the scale of the driving period. The analysis is based on a general formulation of the Floquet theory relying on the extended Hilbert space. It is shown that the dynamics of the system can be described in terms of a slowly varying effective Floquet Hamiltonian that captures the long-term evolution, as well as rapidly oscillating micromotion operators. We obtain a systematic high-frequency expansion of all these operators. Generalizing the previous studies, the expanded effective Hamiltonian is now time dependent and contains extra terms appearing due to changes in the periodic driving. The same applies to the micromotion operators which exhibit a slow temporal dependence in addition to the rapid oscillations. As an illustration, we consider a quantum-mechanical spin in an oscillating magnetic field with a slowly changing direction. The effective evolution of the spin is then associated with non-Abelian geometric phases reflecting the geometry of the extended Floquet space. The developed formalism is general and also applies to other periodically driven systems, such as shaken optical lattices with a time-dependent shaking strength, a situation relevant to the cold-atom experiments.