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arXiv:2606.31279 · New Journal of Physics

Non-Hermitian Rayleigh-Schrödinger-like Perturbation Theory at Exceptional Point

Wei-Ming Chen, Chia-Yi Ju

quant-phSubmitted Jun 30, 2026• Announced Jul 1, 2026• 0 citations
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Abstract

We develop a Rayleigh--Schrödinger-like perturbation theory for non-Hermitian quantum systems at an exceptional point of order $N$. Working in the Jordan basis of the unperturbed Hamiltonian and employing a Puiseux expansion of the perturbed eigenvalues and eigenstates, we derive explicit recursion relations for the expansion coefficients. The corrections to the unperturbed eigenvalue in the Puiseux expansion govern the splitting near the exceptional point; the first two are obtained iteratively in two equivalent forms. One is given in terms of the perturbation Hamiltonian in the Jordan basis, and the other in terms of the generator that drives the eigenvalue evolution with respect to the perturbation. The latter constitutes the exceptional-point counterpart of a geometric perturbation method recently developed for the non-exceptional-point regime. Both representations are verified explicitly for the $N = 2$ and $N = 3$ cases.

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We develop a Rayleigh--Schrödinger-like perturbation theory for non-Hermitian quantum systems at an exceptional point of order NNN. Working in the Jordan basis of the unperturbed Hamiltonian and employing a Puiseux expansion of the perturbed eigenvalues and eigenstates, we derive explicit recursion relations for the expansion coefficients. The corrections to the unperturbed eigenvalue in the Puiseux expansion govern the splitting near the exceptional point; the first two are obtained iteratively in two equivalent forms. One is given in terms of the perturbation Hamiltonian in the Jordan basis, and the other in terms of the generator that drives the eigenvalue evolution with respect to the perturbation. The latter constitutes the exceptional-point counterpart of a geometric perturbation method recently developed for the non-exceptional-point regime. Both representations are verified explicitly for the N=2N = 2N=2 and N=3N = 3N=3 cases.
We develop a systematic framework for determining the nature of exceptional points of nthn^{\rm th}nth order (EPn_nn​s) in non-Hermitian (NH) systems, represented by complex square matrices. By expressing symmetry-preserving perturbations (∝ε\propto ε∝ε) in the Jordan-normal basis of the defective matrix at an EPn_nn​, we show that the upper-ℓ\ellℓ Hessenberg structure of the perturbation matrix directly dictates the leading-order eigenvalue- and eigenvector-splitting to be ∝ε1/ℓ\propto ε^{1/\ell}∝ε1/ℓ, when expanded in a Puiseux series. Applying this to three-band NH models invariant under parity (P), charge-conjugation (C), or parity-time-reversal (PT), we find that EP3_33​s in P- and C-symmetric systems are restricted to at most ∼ε1/2\sim ε^{1/2}∼ε1/2 branch points, while PT-symmetric systems generically support EP3_33​s with the strongest possible singularities (viz. ∼ε1/3\sim ε^{1/3}∼ε1/3). We illustrate these results with concrete three-dimensional models in which exceptional curves and surfaces emerge. We further show that fine-tuned perturbations can suppress the leading-order branch point to a less-singular splitting, which have implications for designing direction-dependent EP-based sensors. The appendix extends the analysis to four-band P- and C-symmetric models, establishing the existence of EP4_44​s with ∼ε1/4\sim ε^{1/4}∼ε1/4 and ∼ε1/2\sim ε^{1/2}∼ε1/2 singularities, respectively.
A modified version of Rayleigh-Schr\"odinger (RS) perturbation theory, which has been developed previously, can dispense with the usual RS restriction that the unperturbed Hamiltonian should be diagonal in the chosen basis. This modified RS (MRS) perturbation scheme is discussed in some detail and extended to the degenerate case. The new degenerate MRS perturbation theory remains based upon a rearrangement of the unperturbed and perturbed parts of the Hamiltonian. Basically, an unperturbed Schr\"odinger equation is thereby produced which may be satisfied trivially and identically for an arbitrary Hamiltonian. The zeroth-order approximation to the energy remains a free parameter of the degenerate version of the MRS formalism. The explicit MRS expressions for the higher-order correction terms also preserve a strict analogy with their counterparts in the nondegenerate formalism. What is new is an enormous increase in the applicability and universality of the whole approach. Thus, a priori, the unperturbed Hamiltonian may now be chosen so as to have all of its larger off-diagonal elements much closer to those of the full original Hamiltonian than is permitted in the standard RS approach. This is a particular advantage of the whole MRS approach. By testing the method on two nontrivial model Hamiltonians, the method is demonstrated to have considerably improved convergence properties over the standard RS scheme, and at relatively little extra cost.
A perturbation theory is described which leads to two alternative methods for calculating the eigenvalues and normalized eigenstates of a perturbed Hamiltonian, the results being given to all orders in the perturbation. The expansions obtained are formulated in terms of two sets of partial sums which have simple, easily characterized forms, and they combine some of the advantages of both the Rayleigh-Schr\"odinger and Brillouin-Wigner perturbation methods while avoiding some of the difficulties of each. In particular, one form of the perturbation expansions given here will in most cases of interest have a larger radius of convergence than the Rayleigh-Schr\"odinger series. As is usual for infinite-order treatments, the explicit form of the final result applies only to nondegenerate levels. However, some of the intermediate relations obtained in the derivation are of general validity. Since certain classes of unlinked diagrams appear in the expansions, the method described here is not suitable for application to systems containing a large number of particles.
This report discusses two new ideas for using perturbation methods to solve the time-independent Schrödinger equation. The first concept begins with rewriting the perturbation equations in a form that is closely related to matrix diagonalization methods. That allows a simple, compact derivation of the standard (Rayleigh-Schrödinger) equations. But it also leads to a new iterative solution method that is not based on the usual power series expansion. The iterative method can also be used when the unperturbed system is two-fold degenerate. The second concept is quite different from the first but compatible with it. It is based on the fact that one can replace the true Hamiltonian with a synthetic Hamiltonian having the same eigenvalues. This approach allows one to cancel part of the perturbation and to reduce the size of the off-diagonal matrix elements, giving better convergence of the series. These methods are illustrated by application to three perturbed harmonic oscillator problems--a 1-D oscillator with a linear perturbation, a 1-D oscillator with a quartic perturbation, and a perturbed 2-D oscillator, which involves degenerate states. The iterative method and the synthetic Hamiltonian method are shown to give significantly better results than the standard method.
We develop perturbative methods to study and control dynamical phenomena related to exceptional points in Non-Hermitian systems. In particular, we show how to find perturbative solutions based on the Magnus expansion that accurately describe the evolution of non-Hermitian systems when encircling an exceptional point. This allows us to use the recently proposed Magnus-based strategy for control to design fast non-reciprocal, topological operations whose fidelity error is orders of magnitude smaller than their much slower adiabatic counterparts.