Many-Body Perturbation Theory: (1) The GW Approximation

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1 Many-Body Perturbation Theory: (1) The GW Approximation Michael Rohlfing Fachbereich Physik Universität Osnabrück MASP, June 29, 2012 Motivation Excited states: electrons, holes Equation of motion Approximations and tricks Examples

2 Relevance of excited electronic states Spectroscopy: Electrons: Photoemission / Inverse PE / Tunneling spectroscopy Light / Electron-hole pairs: Absorption / Emission / Reflectivity Characterisation of systems: Geometric Structure Defects / interfaces /... Macroscopic signature of microscopic details Short-time dynamics: Electrons (femtoseconds) Atomic structure (picoseconds) hω V V Technological relevance / Materials science: Optoelectronics / Molecular electronics / Photovoltaics Manipulation of bonds / Photochemistry V

3 Density-Functional Theory: from 1960 s until today 1950 s/60 s: Energy of electronic systems (homogeneous electron gas, inhomogeneous systems), including many-body effects (exchange, correlation) Hohenberg, Kohn, Sham and others 1960 s: interrelation between wave function, potential, energy, single-particle density ρ(r) = Ψ(r, r 2,.., r N ) 2 d 3 r 2...d 3 r N, single-particle orbitals ψ n (r) and single-particle energies ɛ n = Intuitive understanding via effective single-particle quantum mechanics Technical issues (1970 s-today): Pseudopotentials, basis sets, iterations, geometry optimization, molecular dynamics,... Approximation of Exchange+Correlation (1970 s-today): Local-density approximation (LDA), Generalized gradient approximation (GGA), Hybrid functionals (including Hartree-Fock exchange) PBE0-BLYP-B3LYP-HSE-...,... Today: codes developers users Total energy E tot [R], Geometric structure, vibrations, chemical reactions,... Physics + Chemistry SIESTA, VASP, ABINIT, CRYSTAL, GAUSSIAN, TURBOMOLE,... Interpretation of ɛ n as single-particle energies without formal justification DFT = ground-state method : not suited for electronic excitation processes

4 Density-Functional Theory (DFT) Atomic postions {R}, Electron density ρ(r) [Hohenberg, Kohn, Sham (1964)] E tot [R,ρ] = E kin [ρ] + E Coul [ρ] + E xc [ρ] + E ext,e [R,ρ] + E nucl,nucl Aluminium: E tot (a latt ) E kin kinetic energy of the electrons E Coul [ρ] classical Coulomb energy of the electrons E xc [ρ] Exchange-correlation functional (Local-density approx., gradient corrections) E ext,e Nucl.-electron interaction (+ ext. fields) Nucl-Nucl interaction E nucl,nucl Optimize E tot [R,ρ] w.r.t. ρ(r) = ψ DFT m (r) 2 Energy [ev] Lattice constant [Å] = Kohn-Sham equations: p 2 2m + V Coul(r) [ρ] + V xc [ρ] (r) + V ext,e (r) ψm DFT (r) = ɛ DFT m ψm DFT (r) = Total energy E tot [R] and forces E tot / R iα Geometry, bonds, phonons,... Wave functions ψm DFT, Band-structure energies ɛ DFT m (often not really reliable...)

5 DFT for bulk systems Phase transition of silicon under pressure: Diamond β-sn N in GaAs: Forces on atoms Transition pressure P=dE/dV 10 GPa Ga As N Ga (1.Nb.): 2.0 ev/å As (2.Nb.): 0.1 ev/å = Relaxations at defect

6 Surfaces geometries from DFT Si(111)-(2 1) surface: π-bonded chains K.C. Pandey, Phys. Rev. Lett. 49, 223 (1982) 1 Adsorbed molecules: PTCDA on Ag(111) B ] ρ(r)dy [ a Up Down 2.33 Å z = 0.51 Å 2.25 Å 2.28 Å Change of charge density during adsorption: Red: charge accumulation Blue: charge depletion

7 Many-Body Perturbation Theory: from 1960 s until today Key Idea of Many-Body Perturbation Theory: H (0) (including simplified el.-el. interac.) = G (0) 1 (E) = (E H (0) ) 1 (exact) plus rest of electron-electron interaction (= perturbation ): = G 1 (E) = G (0) 1 (E) + G (0) 1 (E) Σ(E) G 1 (E) Σ(E) = Self-energy operator (=single-particle signature of remaining interaction) 1950 s/60 s: Spectra of electronic systems (homogeneous electron gas) [ Hedin and others, 1960 s ] Forgotten (success of DFT; computational effort), recovered due to DFT band-gap problem. Band structure of bulk semiconductors (1980 s): Hybertsen, Louie, Godby, Schlüter, Sham,... Surfaces, nanostructures (1980 s/90 s) Optical spectra (1990 s/2000 s): Onida, Reining, Benedict, Shirley, Rohlfing, Louie,... Technical issues (1980 s-today): Basis sets, frequency integration, eigenvalue decomposition, self consistency,... Today: codes developers users Band structures + optical excitations Crystals, surfaces, molecules, polymers,...

8 States of a many-electron system N Electrons N, 0 1. Ground state N, 0 : Density-functional theory = Geometry

9 States of a many-electron system N 1 Electrons N Electrons N + 1 Electrons o N 1, 1 N 1, 0 N + 1, 1 V G 1 = Single-particle Green function G 1 G 1 N, 0 N + 1, 0 V 1. Ground state N, 0 : Density-functional theory = Geometry Many-body perturbation theory: 2. N, 0 N ± 1, m : G 1 (xt, x t ) = i N, 0 T (ψ(x, t)ψ + (x, t )) N, 0 (Propagation of electron or hole between (x, t) and (x, t ) )

10 Hedin s equations [ L. Hedin, Phys. Rev. 139, A796 (1965), L. Hedin and S. Lundqvist, Sol.St.Phys. 23, 1 (1969). ] EOM of G 1 : { i t + 2 V ext (r) V Coul (r) } G 1 (xt, x t ) + i e 2 r r G 2(x t, x t, xt, x t )dx = δ(x, x )δ(t, t ) Decoupling by self-energy operator Σ: { t + 2 V ext+coul (r)}g 1 (12) Σ(13)G 1 (32)d(3) = δ(12) Σ(12) = i W (1 + 3)G 1 (14)Γ(42; 3)d(34) W (12) = ɛ 1 (13)v(32)d(3) ɛ(12) = δ(12) + v(13)χ 0 (32)d(3) χ 0 (12) = i G 1 (23)G 1 (42)Γ(34; 1)d(34) Γ(12; 3) = δ(12)δ(13) + δσ(12) δg 1 (45) G 1(46)G 1 (75)Γ(67; 3)d(4567) Σ = Self energy W = Screened Coulomb interaction ɛ = Dielectric function χ 0 = Polarizability G 1 = Single-particle Green function Γ = Vertex function (1) = (r 1,σ 1,t 1 ) Position/Spin/Time GW approximation : Γ(12; 3) = δ(12)δ(13) = { t + 2 V ext+coul (r)}g 1 (12) Σ(13)G 1 (32)d(3) = δ(12) Σ(12) = ig 1 (12)W (1 + 2) W (12)= ɛ 1 (13)v(32)d(3) ɛ(12) = δ(12) + v(13)χ 0 (32)d(3) χ 0 (12) = ig 1 (21)G 1 (12)

11 Hedin s equations [ L. Hedin, Phys. Rev. 139, A796 (1965), L. Hedin and S. Lundqvist, Sol.St.Phys. 23, 1 (1969). ] EOM of G 1 : { i= t + Σ = 2 ig V ext (r) V Coul (r) } G 1 (xt, x t ) + i e 2 1 v Exchange (Fock) operator / Hartree-Fock r r G 2(x t, x t, xt, theory x t )dx = δ(x, x )δ(t, t ) Decoupling by self-energy operator Σ: { t + 2 V ext+coul (r)}g 1 (12) Σ(13)G 1 (32)d(3) = δ(12) Σ(12) = i W (1 + 3)G 1 (14)Γ(42; 3)d(34) W (12) = ɛ 1 (13)v(32)d(3) ɛ(12) Physical significance of Σ: in vacuum: χ 0 =0, ɛ=1, ɛ 1 =1, W =v in matter: Dielectric polarizability χ 0 = W <v (weaker) = Σ = ig 1 W Screened Exchange = δ(12) + v(13)χ 0 (32)d(3) χ 0 (12) = i G 1 (23)G 1 (42)Γ(34; 1)d(34) Γ(12; 3) = δ(12)δ(13) + δσ(12) δg 1 (45) G 1(46)G 1 (75)Γ(67; 3)d(4567) Σ = Self energy W = Screened Coulomb interaction ɛ = Dielectric function χ 0 = Polarizability G 1 = Single-particle Green function Γ = Vertex function (1) = (r 1,σ 1,t 1 ) Position/Spin/Time ====== Nomenclature: Σ = ig 1 v + ig 1 (W v) = Exchange + Correlation GW approximation : Γ(12; 3) = δ(12)δ(13) = { t + 2 V ext+coul (r)}g 1 (12) Σ(13)G 1 (32)d(3) = δ(12) Σ(12) = ig 1 (12)W (1 + 2) W (12)= ɛ 1 (13)v(32)d(3) ɛ(12) = δ(12) + v(13)χ 0 (32)d(3) χ 0 (12) = ig 1 (21)G 1 (12)

12 Hedin s equations [ L. Hedin, Phys. Rev. 139, A796 (1965), L. Hedin and S. Lundqvist, Sol.St.Phys. 23, 1 (1969). ] EOM of G 1 : { i t + 2 V ext (r) V Coul (r) } G 1 (xt, x t ) + i e 2 r r G 2(x t, x t, xt, x t )dx = δ(x, x )δ(t, t ) Decoupling by self-energy operator Σ: { t + 2 V ext+coul (r)}g 1 (12) Σ(13)G 1 (32)d(3) = δ(12) Σ(12) = i W (1 + 3)G 1 (14)Γ(42; 3)d(34) W (12) = ɛ 1 (13)v(32)d(3) ɛ(12) = δ(12) + v(13)χ 0 (32)d(3) χ 0 (12) = i G 1 (23)G 1 (42)Γ(34; 1)d(34) Γ(12; 3) = δ(12)δ(13) + δσ(12) δg 1 (45) G 1(46)G 1 (75)Γ(67; 3)d(4567) Σ = Self energy W = Screened Coulomb interaction ɛ = Dielectric function χ 0 = Polarizability G 1 = Single-particle Green function Γ = Vertex function (1) = (r 1,σ 1,t 1 ) Position/Spin/Time GW approximation : Γ(12; 3) = δ(12)δ(13) = { t + 2 V ext+coul (r)}g 1 (12) Σ(13)G 1 (32)d(3) = δ(12) Σ(12) = ig 1 (12)W (1 + 2) W (12)= ɛ 1 (13)v(32)d(3) ɛ(12) = δ(12) + v(13)χ 0 (32)d(3) χ 0 (12) = ig 1 (21)G 1 (12)

13 Some pragmatic issues Time homogeneity: G 1 (t, t ) = G 1 (t t ) ; Fourier transform to energy: G 1 (E), Σ(E) etc. Quasiparticle (QP) approximation : Ignore background, satellites, etc. in G 1 (E) Background QP peak = G 1 (x, x, E) = m φ QP m (x)(φ QP m (x )) E E QP m ± i0 + Satellite 2Im(E QP m ) EOM: Re(Em QP ) = QP band-structure energy, Im(Em QP ) = spectral width, 1/Im(Em QP { 2 + V ext (r) + V Coul (r)}φ QP m (x) + ) = lifetime Σ(x, x, Em QP )φ QP Self-consistency problem similar to DFT, Hartree-Fock, etc. = either iterate, or use another method as starting point, e.g. DFT: φ DF m T (x), Em DF T = G DF 1 T = χ 0, ɛ, W, Σ(E) = Perturbation (Σ(E) Vxc DF T ): {ĤDF T + (Σ(Em QP ) V DF T xc ) Re(E QP m ) m (x )dx = Em QP }{{} } φqp QP correction to DFT m = Em QP φ QP m (x) φ QP m

14 Self-energy data bulk Si jellium (r s =2) Σ(E) Solution E mk of (H DF T + Σ(E mk ) V xc ) φ mk = E mk φ mk

15 Self-energy data bulk Si jellium (r s =2) o LDA

16 Self-energy data bulk Si jellium (r s =2) Σ Vxc [ev] QP corrections Σ V xc : Energy [ev] o LDA

17 GW band structure: Bulk crystals Energy [ev] GW band structure of Si: Semiconductor gap energies: Σ Vxc [ev] GWA Ge Si GaAs SiC CdS / LDA C LiCl QP corrections Σ V xc : 1 0 Exp.: J.E. Ortega and F.J. Himpsel, PRB 47, 2130 (1993) Energy [ev]

18 GW band structure: Molecules / Clusters Ionisation energies: [ev] LDA a GWA Exp. b He Ne Ar CO HCl CH C 2 H Si 2 H Si m H n : QP HOMO Energies: Size dependence / Quantum confinement a LDA: E HOMO b Exp.: Landolt-Börnstein, Vol. I-1; G. Herzberg, Molecular Spectra ; U. Itoh et al., JCP 85, 4867 (1986). Exp.: U. Itoh et al., JCP 85, 4867 (1986).

19 GW band structure: Si(111)-(2 1) Surface Si(111)-(2 1): Surface band structure: Measured / simulated STM image: 2 e VeV t 1 Energy [ev] 1 0 D down D up [211] J Γ [011] K J 1 Γ J K J Γ Exp. ( ): Uhrberg et al., Perfetti et al. e ev -0.7 V t 2 D down D up J.Garleff et al., PRB 70, (2004).

20 Lifetimes from scattering due to Coulomb-interaction φ See, e.g., P.M. Echenique et al., Chemical Physics 251, 1 (2000). φ Scattering of additional electron by other electrons: E F φ at E φ at E <E plus electron-hole pair(s) (Conservation of energy + momentum) In QP language: the particle in state φ is gone = it had a finite lifetime! Coulomb-scattering is included in Σ GW A = Lifetime = Inverse of Im φ Σ GW A φ Two-photon photoemission; finite mean-free path of (high-energy) electrons ; Al Cu 60 Eq. (40) FEG 50 τ (fs) τ (fs) Eq. (28) ,5 1 1,5 2 2,5 3 3,5 0, ,5 2 2,5 3 3,5 4 E - E F (ev) E - E F (ev) Si [ P.M. Echenique et al., Chemical Physics 251, 1 (2000); A. Fleszar and W. Hanke, PRB 56, (1997).]

21 Dielectric screening within the random-phase approximation Key element of many-body perturbation theory: Response function χ(r, r, ω) Here: simple notation within classical electrodynamics, without exchange-correlation effects... charge response to an external perturbing field: ρ ind = χ V ext... charge response to the total perturbing field, V = V ext + V ind : ρ ind = χ 0 V Relationship with dielectric function ɛ(r, r, ω): ɛ = 1 vχ 0 / ɛ 1 = 1 + vχ ψ DFT m (x)ψm DFT (x ) Approx. evaluation from DFT: G (0) 1 (x, x, E) =, χ m E Em DFT ± i0 + 0 = ig 1 G 1 Dyson equation χ = χ 0 + χ 0 vχ or, more general: χ λ = χ 0 + χ 0 (λv)χ λ λ=0...1 Screened Coulomb potential W (r, r, ω) between charged particles: W = ɛ 1 v W (ω) = Σ = ig 1 W QP band structure W (ω = 0) = K eh ; K eh + QP band structure Optical spectrum χ λ (iu) = Correlation energy beyond DFT; Van der Waals interaction etc.

22 Dielectric screening within the random-phase approximation (2) Explicit expression, e.g. in plane waves: χ (0) GG (q, ω) = 2 1 V M G mn (k, q) [MG mn (k, q)] k m Val n Con 1 E mk E n,k+q ω + i E mk E n,k+q + ω + i0 + Double summation over occupied and empty states: extremely time consuming Recent progress in simplification (Galli et al., Reining et al.,...) with matrix elements M mn G (k, q) = φ mk(r)e i(q+g)r φ n,k+q (r)d 3 r 1 1 ɛ GG (q, ω) = δ GG q + G χ(0) GG (q, ω) q + G After matrix inversion: macroscopic dielectric constant ɛ M (q, ω) = [ɛ 00 (q, ω)] 1 e.g. bulk silicon ɛ M (0, 0) = 12, SiO 2 ɛ M (0, 0) = 2 Homogeneous system: ɛ GG (q, ω) ɛ( q + G, ω) jellium: Lindhard formula for ɛ( q + G, ω): ɛ(0, ω 0) = 1 ω2 P anisotropic non-cubic systems: 3x3 tensor ɛ M (q, ω) ɛ ij (q, ω) ω 2 ɛ(q 0, 0) = 1 + q2 T F i, j=x, y, z q 2

23 Self-energy operator / Numerical issues Matrix elements (i.e., between DFT states mk and m k ) of self-energy operator: Σ m,m (k, E) = n M mn q,g,g G (k, q) [ M m n G (k, i q)] 2π dω W G,G (q, ω) E E nk+q ω ± i0 + Band summation very demanding [about (10-20) (Number of valence bands) ] n... can be avoided/circumvented: see, e.g., Reining et al. Sum over G, G / Representation of χ 0, ɛ etc.:... replace by localized orbitals (Gaussians, numerical orbitals, SIESTA,...)... mixed basis: localized orbitals PLUS plane waves (see, e.g., Blase et al., Rinke+Scheffler, Rohlfing et al.,...) Frequency integration dω: numerical integration: Garcia-Gonzalez, Rubio and many others imaginary frequency (or time): Godby, Rinke, Schindlmayr, and others Plasmon-Pole Model for W (ω): dω becomes analytic: most authors W (ω) 1 + A (ω 2 Ω 2 ) ± i0 + = i 2π dω(...) ΘEn <E F ± AΩ 2(E E n ± Ω)

24 Summary: Many-body perturbation theory for N, 0 N ± 1, m / G 1 H (0) (simplified el.-el. interac., here: DFT) = G (0) 1 (E) = (E H(0) ) 1 (exact) plus rest of electron-electron interaction (= perturbation ): = G 1 (E) = G (0) 1 (E) + G(0) 1 (E) dσ(e) G 1(E) (Dyson eq.) dσ(e) = remaining self-energy operator (here: (Σ(E) V DF T xc )) (=single-particle signature of remaining interaction) Equation of motion for a single quasiparticle (= excited electron / hole): H (0) + dσ(e QP m ) φ QP m = Em QP φ QP m = Quasiparticle wave functions φ QP m (r) QP energies E QP m = ReE QP m + i ImE m φ m (t) exp(iree QP t) exp( ImE QP m t) ReE QP m ImE QP m = Energy level / Band-structure energy = Spectral width / Inverse lifetime