Lecture 3: Periodic differential equations and

Floquet states
Learning outcomes: By the end of this lecture, the students should be able to
recognise time-periodic differential equations,
understand Floquets theorem and its underlying assumptions,
expand Floquet states as a discrete Fourier series.

I.

INTRODUCTORY EXAMPLE AND AN ANALOGY

Consider an atom interacting with a monochromatic laser field, so that its Hamiltonian
is given by
0 cos(t) .

0 dE
H(t)
=H
0 is the time-independent Hamiltonian of the atom, d is its electric dipole moment
Here, H
and E0 is the amplitude of the electric laser field. The Hamiltonian is periodic in time with
period T = 2/. Does this mean that the solutions to the Schrodinger equation are periodic
in time as well? The answer is obviously no: For instance, a resonant laser field can ionise an
atom, with the respective motion of the electron being far from periodic. However, it will be
shown in this lecture that it is possible to find a basis system of quasi-periodic eigenstates.
To begin with, let us recall the more commonly know case of space-periodic systems
arising in solid-state physics. An electron inside a crystal obeys the Schrodinger equation
 2

~
2

H(r)
=
+ U (r) (r) = E(r)
2m
where the potential of the lattice ions is periodic, U (r + R) = U (r). It follows that the
eigenstates of the electron are given by Bloch states
nk (r) = eikr unk (r)
with periodic functions
unk (r + R) = unk (r) .
Here, n is the discrete band index and k is the crystal momentum, which can be chosen to
lie in the first Brillouin zone. Equivalently, we can say that
nk (r + R) = eikR nk (r) .
1

II.

FLOQUETS THEOREM AND THE FLOQUET STATES

Returning to our original time-dependent problem, we consider a system whose Hamil

tonian H(t)
is periodic with period T ,
+ T ) = H(t)

H(t
t .
The solution to the Schrodinger equation
i~

|(t)i = H(t)|(t)i
,
t

(t, t0 )|(t0 )i with a time-evolution operator

can formally be given as |(t)i = U


Z
i t

U (t, t0 ) = T exp
dt H(t )
~ t0
(T: time ordering operator). This operator evolves solutions forwards or backwards in time
and it has the composition property
U (t, t ) = U (t, t )U (t , t0 ) t, t , t .
For a periodic Hamiltonian, we further have
U (t + T, t + T ) = U (t, t ) t, t .
We want to exploit the periodicity of the Hamiltonian to find quasi-periodic solutions to
the Schrodinger equation. To that end, we introduce the Floquet Hamiltonian
= H(t)
i~
H(t)
t
which is also time-periodic
+ T ) = H(t
+ T ) i~
H(t

.
= H(t)
(t + T )

It follows that the Floquet Hamiltonian commutes with the period-shift operator U (t + T, t):
= U (t + T, t)H(t)
U 1 (t + T, t)U (t + T, t) = H(t
+ T )U (t + T, t)
U (t + T, t)H(t)
)U (t + T, t) .
= H(T

We can hence find a set of simultaneous eigenstates for H(t)

and U (t + T, t).
2

Let us investigate the eigenvalues of the period-shift operator U (t + T, t). As U (t + T, t)

is unitary, the eigenvalue equation has to be of the form
U (t + T, t)|(t)i = ei |(t)i .
To find the dependence of the phase on T , we use to compositional property and exploit
the periodicity to find
U (t + nT, t) = U [t + nT, t + (n 1)T ]U [t + (n 1)T, t + (n 2)T ] U (t + T, t)
= U (t + T, t)n

for n N .

Combining this result with the eigenvalue equation, we find

n

n
ei(nT ) |(t) = U (t + nT, t)|(t)i = U (t + T, t)n |(t)i = ein(T ) |(t)i = ei(T ) |(t)i .
showing that must be proportional to T . Introducing the yet undetermined Floquet

exponent , we may hence write = (/~)T , so that the simultaneous eigenstates of H(t)
and U (t + T, t) obey
i
U (t + T, t)|(t)i = e ~ T |(t)i .

The eigenstates |(t)i of the period-shift operator hence acquire a phase ~i T during
the interval of one period t = T . We split off the associated time-dependence by writing
i

|(t)i = e ~ (tt0 ) |(t)i .

With |(t)i being an eigenstate, the Floquet state |(t)i is time-periodic:
i

|(t + T )i = e ~ (t+T t0 ) |(t + T )i = e ~ (t+T t0 ) U (t + T, t)|(t)i

i

= e ~ (t+T t0 ) e ~ T |(t)i = |(t)i .

Inserting the Floquet solution into the Schrodinger equation, we find




i
i

i~
|(t)i ,
0 = H(t)|(t)i
= H(t)
e ~ t |(t)i = e ~ t H(t)
t
so the Floquet states are eigenstates of the Floquet-type Schrodinger equation

H(t)|(t)i
= |(t)i .
Let us summarise these results:
3

Theorem (Floquet theorem). The basic solutions to the time-dependent Schrodinger equa = H(t+T

tion with time-periodic Hamiltonian H(t)

) can be given in the form
i

| (t)i = e ~ (tt0 ) | (t)i

with Floquet exponents and time-periodic Floquet states | (t)i = | (t+T )i, which
are solutions to the Floquet-type Schrodinger equation
(t)i = | (t)i
H|
= H(t)i~/t.

with H(t)
Alternatively, and | (t)i are known as quasi-eigenenergies
and quasi-eigenstates, respectively.
Remarks: For a given Floquet exponent and state | (t)i there is an infinite set of
equivalent exponents and states ( = 2/T )
= + n~

nZ,

| (t)i = ein(tt0 ) | (t)i

which are also solutions to the Floquet-type Schrodinger equation, but correspond to the
same total solution:
i

| (t)i = e ~ (tt0 ) | (t)i = e ~ (tt0 ) | (t)i = | (t)i .

To avoid redundancies it is necessary to restrict the range of allowed quasi-eigenenergies
to a Brillouin zone of width ~. An arbitrary solution to the time-dependent Schrodinger
equation can then be expanded in terms of the non-redundant Floquet states:
|(t)i =

c e ~ (tt0 ) | (t)i

where c = h(t0 )|(t0 )i.

With the Floquet states being time-periodic, we can apply a discrete Fourier transformation to write
| (t)i =

ein(tt0 ) |,n i .

n=

Using the relation

1
T

t0 +T

dt ei(mn)t = mn ,
t0

the Fourier coefficients are found to be

Z
1 t0 +T
dt ein(tt0 ) | (t)i .
|,n i =
T t0
An arbitrary solution to the time-periodic Schrodinger equation can then be given as
|(t)i =

X X

c ei ( /~+n)(tt0 ) |,n i .

n=

FURTHER READING

Theoretical Femtosecond Physics: Atoms and Molecules in strong laser fields, F. Grossmann, Chaps. 227, pp. 45-48, 159-227 (Springer, Berlin 2008).
H. Sambe, Phys. Rev. A 7(6), 2203 (1976).