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Thermalization in Periodically-Driven Interacting Quantum Systems

Karthik Seetharam

Published Jun 8, 2018• 0 citations
Publisher

Abstract

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.

DOI
10.7907/3g0v-tw52

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The present thesis is devoted to quantum simulation of strongly interacting systems of ultra-cold atoms in optical lattices. It is a theoretical work which focuses on the possibility to employ strong time-periodic forcing for the coherent control of these system. This form of quantum engineering is called Floquet engineering. Experimentally, time-periodic forcing has been successfully applied to realize a variety of physical models and phenomena, especially in the regime of weak interactions. We describe two novel proposals for interesting phenomena in the regime of strong interactions that rely on lattice shaking: melting of a Mott-insulator into an excited-state superfluid via coherent coupling of Bloch bands and the creation of 1D lattice anyons. Furthermore, the role of multiphoton excitations in a driven lattice is analyzed since these processes can lead to unwanted heating and thereby impeding of successful Floquet engineering in the experiment. The introductory Chapter 1 gives an overview over the field of quantum simulations with ultra-cold atoms in optical lattices and describes the experimental progress that has been made in the recent years. In Chapter 2, Floquet theory is reviewed, which provides an excellent framework to deal with time-periodic Hamiltonians and which is the basis of the analysis presented in the following chapters. Chapter 3 deals with the proposal of coherently coupling Bloch bands of an optical lattice via resonant lattice shaking. In particular, the orbital-driven phase transition from a Mott insulating to a superfluid ground state is described in detail. In Chapter 4, a proposal of realizing 1D lattice anyons from strongly interacting bosons in a shaken and tilted lattice is worked out. Furthermore, Friedel oscillations are proposed to provide a measurable real-space signature for the anyonization. Finally, in Chapter 5 multiphoton excitations to higher Bloch bands are analyzed for the cases of a shaken and an amplitude-modulated lattice. The strength and the location of resonances, which are associated with heating, are described theoretically and numerically.

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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.
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.
Periodically driven many-body systems generally heat towards a featureless 'infinite-temperature' state. As an alternative to uniform heating in a clean system, here we establish a Floquet superheating regime, where fast heating nucleates at ''hot spots" generated by rare fluctuations in the local energy with respect to an appropriate effective Hamiltonian. Striking macroscopic consequences include exceptionally long-lived prethermalization and non-ergodic bimodal distributions of macroscopic observables. Superheating is predicated on a heating rate depending strongly on the local fluctuation; in our example, this is supplied by a sharp state-selective spin-echo, where the energy absorption is strongly suppressed for low-energy states, while thermal fluctuations open up excessive heating channels. A simple phenomenological theory is developed to show the existence of a critical droplet size, which incorporates heating by the driving field as well as the heat current out of the droplet. Our results shine light on a new heating mechanism and suggest new routes towards stabilizing non-equilibrium phases of matter in driven systems.
Time-periodic quantum systems are present all over science and technology. They have been successfully studied using Floquet theory, and a broad diversity of interesting phenomena such as coherent destruction of tunnelling, dynamical localization and creation of new phases of matter have been discovered. Furthermore, periodic driving has also been introduced as a tool for engineering novel quantum systems that have no static analogue. Besides these remarkable achievements for isolated systems, in reality, systems always interact with their surroundings. Taking the effect of the environment into account, time-periodic quantum systems have been mainly described using the Floquet-Markov approach, which consists in deriving a weak coupling master equation in the Floquet basis. In this thesis, we focus on how to overcome these standard approximations in the description of driven open quantum systems. We start by providing a general review on the topics of isolated driven systems, open quantum systems and the Floquet-Markov approach, before presenting the main results of this work. Under the effect of high-frequency driving, we provide an analytic solution to a large class of open quantum systems. Our method relies on discrete symmetries of the system-bath Hamiltonian and grants access to the time evolution operator of the full system, including bath degrees of freedom. The solution can be interpreted as the stroboscopic evolution of a family of observables under the influence of an effective static Hamiltonian. This provides a flexible simulation procedure of nontrivial Hamiltonians. The results are exemplified with the driven spin-boson model, where a coherent control of dissipation is observed. By a novel combination of Floquet theory, full counting statistics and a Markovian embedding strategy (reaction coordinate mapping), more intricate scenarios with additional driven system-environment interactions are addressed. Hereby, we can access the dynamics and thermodynamics of a periodically driven thermal machine. For the particular case where the working medium is a two-level system, we identify four different operating regimes, including a heat engine and a refrigerator. As the coupling strength is increased, their efficiency and coefficient of performance decrease and the refrigerator regime disappears. Notably, our model reproduces the setup of laser cooling of trapped ions in a specific parameter limit. Following the same combination of methods, we investigate electron pumping through a single quantum dot with periodically modulated energy and tunnelling amplitudes. In the high-frequency regime, the direction of the current can be controlled with the driving phase and a rectification effect that is exclusive to the non-Markovian character of the model is observed. In the low-frequency regime, we apply an additional transformation to view the model as three independent transport channels and observe that the coupling strength also controls the current direction. Studying charge fluctuations we validate that our model behaves as a single-electron source.
Floquet engineering, the control of a quantum system by means of time-periodic driving, allows to modify the properties of a system so that it is described by an approximate effective time-independent Hamiltonian. However, in the presence of interactions the stabilization of interesting many-body ground states of such effective Hamiltonians is possible only on a certain time scale, beyond which Floquet heating sets in, as it results from unwanted driving induced resonant excitation. Moreover, the preparation of the ground state of such Floquet engineered effective Hamiltonians usually has to be accomplished adiabatically, which is another source of heating, especially when a phase transition has to be passed in a large system. Here, we propose a general dissipative strategy for the preparation and stabilization of effective ground states that are protected by an energy gap, such as topologically ordered states. It is scalable and relies on coupling the driven system to a thermal bath, the properties of which are chosen so that it both suppresses Floquet heating and guides the system into a non-equilibrium steady state with a large occupation of the effective ground-state. The small residual occupations of effective excited states are non-thermal, reflecting the non-equilibrium nature of the scheme. We use the Floquet-Born-Markov master equation to verify the proposed strategy. In particular, we discuss the preparation of both a one-dimensional Mott insulator and a two-dimensional fractional Chern insulator in strongly driven Bose-Hubbard systems.
We study Floquet thermalization in a periodically driven quantum non-integrable Ising chain by combining two operational diagnostics: subsystem thermalization and work statistics. For generic interacting Floquet systems, stroboscopic dynamics lead to heating toward an infinite-temperature state at low driving frequencies, to a prethermal state during the crossover regime, and then to a finite-temperature state at high driving frequencies. We show that reduced density matrices of small subsystems provide a precise measure of local equilibration and clearly resolve prethermal plateaus. In parallel, we analyze the statistics of work performed over a Floquet cycle using both the characteristic function of work with and without the two-point measurements, and the related fluctuation theorem, which captures coherent contributions and deviations from thermal equilibrium. By comparing these two diagnostics within the same Floquet setting, we demonstrate that work statistics encode the same dynamical crossover that governs subsystem thermalization. Our results establish a unified and experimentally accessible framework for characterizing Floquet thermalization, prethermal regimes, and coherent energy absorption in interacting quantum systems.
The present thesis is devoted to quantum simulation of strongly interacting systems of ultra-cold atoms in optical lattices. It is a theoretical work which focuses on the possibility to employ strong time-periodic forcing for the coherent control of these system. This form of quantum engineering is called Floquet engineering. Experimentally, time-periodic forcing has been successfully applied to realize a variety of physical models and phenomena, especially in the regime of weak interactions. We describe two novel proposals for interesting phenomena in the regime of strong interactions that rely on lattice shaking: melting of a Mott-insulator into an excited-state superfluid via coherent coupling of Bloch bands and the creation of 1D lattice anyons. Furthermore, the role of multiphoton excitations in a driven lattice is analyzed since these processes can lead to unwanted heating and thereby impeding of successful Floquet engineering in the experiment. The introductory Chapter 1 gives an overview over the field of quantum simulations with ultra-cold atoms in optical lattices and describes the experimental progress that has been made in the recent years. In Chapter 2, Floquet theory is reviewed, which provides an excellent framework to deal with time-periodic Hamiltonians and which is the basis of the analysis presented in the following chapters. Chapter 3 deals with the proposal of coherently coupling Bloch bands of an optical lattice via resonant lattice shaking. In particular, the orbital-driven phase transition from a Mott insulating to a superfluid ground state is described in detail. In Chapter 4, a proposal of realizing 1D lattice anyons from strongly interacting bosons in a shaken and tilted lattice is worked out. Furthermore, Friedel oscillations are proposed to provide a measurable real-space signature for the anyonization. Finally, in Chapter 5 multiphoton excitations to higher Bloch bands are analyzed for the cases of a shaken and an amplitude-modulated lattice. The strength and the location of resonances, which are associated with heating, are described theoretically and numerically.