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arXiv:1202.3547 · Physical Review B

Unified description of ground and excited states of finite systems: The self-consistent GW approach

Fabio Caruso, Patrick Rinke, Xinguo Ren, Matthias Scheffler, Ángel Rubio

Published Aug 14, 2012• 214 citations
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Abstract

$GW$ calculations with a fully self-consistent Green's function $G$ and screened interaction $W$---based on the iterative solution of the Dyson equation---provide a consistent framework for the description of ground- and excited-state properties of interacting many-body systems. We show that for closed-shell systems self-consistent $GW$ reaches the same final Green's function regardless of the initial reference state. Self-consistency systematically improves ionization energies and total energies of closed-shell systems compared to ${G}_{0}{W}_{0}$ based on Hartree-Fock and (semi)local density-functional theory. These improvements also translate to the electron density, as exemplified by an improved description of dipole moments, and permit us to assess the quality of ground-state properties such as bond lengths and vibrational frequencies.

DOI
10.1103/physrevb.86.081102

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GWGWGW calculations with a fully self-consistent Green's function GGG and screened interaction WWW---based on the iterative solution of the Dyson equation---provide a consistent framework for the description of ground- and excited-state properties of interacting many-body systems. We show that for closed-shell systems self-consistent GWGWGW reaches the same final Green's function regardless of the initial reference state. Self-consistency systematically improves ionization energies and total energies of closed-shell systems compared to G0W0{G}_{0}{W}_{0}G0​W0​ based on Hartree-Fock and (semi)local density-functional theory. These improvements also translate to the electron density, as exemplified by an improved description of dipole moments, and permit us to assess the quality of ground-state properties such as bond lengths and vibrational frequencies.
Fully self-consistent GW (sc-GW) – based on the iterative solution of Dyson’s equation – incorporates many-body correlation effects in the electronic ground-state, providing a recipe to consistently describe ground- and excited-states on an equal footing. We have implemented sc-GW in the localized basis all-electron code FHIaims [1]. We show that, for finite systems, the ground-state properties as well as the excitation spectrum of the sc-GW Green’s function are unique and are not affected by different initialization of the sc-GW loop, curing the pathological dependence on the starting point of one-shot GW (G0W0). In addition, self-consistency systematically improves ionization energies and Galitskii-Migdal total energies of closed shell systems compared to G0W0 based on Hartree-Fock and density-functional theory in local and semilocal approximations. Since our implementation is based on interacting Green’s functions (unlike all G0W0 implementations) it is also a first step towards going beyond the GW approach.
We introduce a scheme through which the ground-state electronic density n and total energy Ev [n] of inhomogeneous interacting systems can be determined in a self-consistent (SC) way. It is based on a SC perturbation expansion for the single-particle Green function G. Our employed expansion is argued to be valid under all conditions provided that the ground-state charge density of the interacting system is pure-state non-interacting v representable. The formalism discussed in this paper has been applied to a quasi-one-dimensional periodic system. It has even been possible to carry out SC calculations with the dynamically screened exchange diagram (the so-called GW diagram, where W is the dynamically screened electron-electron interaction function) for the self-energy operator Σ. A coherent mode of interpretation of a number of our results entails that the overwhelming success of the GW framework in relatively accurately reproducing the experimental energy gaps of a number of semiconductors and insulators may be a direct consequence of non-self-consistency effects; whereas a non-self-consistent calculation in our tests increases the value of the local-density approximation (LDA) gap in the range of 40–65% of the ‘experimental’ gaps, self-consistency effects reduce this range to 14–17%. The same line of argument leads us to conclude that, in our model, 26–35% of the LDA error in the gap energies is due to the absence of a well known discontinuity in the LDA exchange-correlation potential, and the remaining part is due to the Kohn-Sham eigenvalues not being identifiable with one-particle excitation energies. A natural conclusion that may be drawn from these observations is that a correct description of excitation energies (e.g. of the gap energy) cannot be achieved without including, at least approximately, the vertex part of Σ, which is entirely absent in the GW scheme.
The most of the experimental measurable quantities in many-body electron system, such as the optical absorption, luminescent spectra and exciton effect, are related to the excitation states description. The density functional theory with local density approximation (DFT-LDA) as a ground state theory, i.e. the solutions based on the Kohn-Sham equation is a powerful tool for studying the ground state properties in many-particle systems. However, the first principles computation of excited states is more complexity than ground-state calculations. A key problem is that the exchange-correlation interaction in excited states is differ from the ground-states. In recent years, nevertheless, several electronic-excitation theories have been developed. The most important theoretical and computational method include the many-body perturbation theory which is based on the quasi-particle concept and the Green function equation, the time-dependent DFT and the Bethe-Salpeter equation for describing the electron-hole interaction. Among them the central ingredient is an electron's self-energy operator Σ that describes the exchange correlation effect beyond Hartree approximation. The implementations of the above theories are unavoidable to introduce some of approximations. A good approximation for Σ is the GW approach by Hedin. It is shown from computation simulations for many real condensed matter systems that the GW approach is a successful method for electronic-excitation problems. Another effective method for excited-states is so-called screen-exchange local-density approximation (sX-LDA). It is a combination of LDA and Hartree-Fock (HF)theory, in which the intrinsic local screen-exchange interaction has been replaced by a non-local one and a generalized Kohn-Sham equation (GKS) is given. Based on a PWscf package, the sX-LDA-PWscf method has been tested and indicates that an available approach for treating band-gap problem in semiconductors. In this paper, the many-body theories for the excitation process, its development and signification are reviewed. The relation and differences consist in different theoretical methods are discussed. On the based of above discussions, the applications of many-body theory to the band-band transition (band-gap underestimation problem) and exciton effect in semiconductors are presented.
We introduce a scheme through which the ground-state electronic density n and total energy Ey[n] of inhomogeneous interacting systems can be determined in a self-consistent (SC) way. It is based on a SC perturbation expansion for the single-particle Green function G. Our employed expansion is argued to be valid under all conditions provided that the ground-state charge density of the interacting system is pure-state non-interacting v representable. The formalism discussed in this paper has been applied to a quasi-one-dimensional periodic system. It has even been possible to carry out SC calculations with the dynamically screened exchange diagram (the so-called G W diagram, where W is the dynamically screened electron4ectron interaction function) for the selfenergy operator C. A coherent mode of interpretation of a number of our results entails that the overwhelming success of the G W framework in relatively accurately reproducing the experimental energy gaps of a number of semiconductors and insulators may be a direct consequence of non-selfconsistency effects; whereas a non-self-consistent calculation in our tests increases the value of the local-density approximation (LDA) gap in the range of 40-65% of the ‘experimental’ gaps, self-consistency effects reduce this range to 1 4 1 7 % . The same line of argument leads us to conclude that, in our model, 2635% of the LDA error in the gap energies is due to the absence of a well known discontinuity in the LDA exchange-correlation potential, and the remaining part is due to the Kohn-Sham eigenvalues not being identifiable with one-particle excitation energies. A natural conclusion that may be drawn from these observations is that a correct description of excitation energies (e.g. of the gap energy) cannot be achieved without including, at least approximately, the vertex part of C, which is entirely absent in the GW scheme. 5 1 . INTRODUCTION The ground-state (GS) density-functional theory (DFT) due to Hohenberg and Kohn (1964) provides a rigorous foundation for determining properties of systems in their ground states (for reviews see Lundqvist and March (1983), Jones and Gunnarsson (1989) and Dreizler and Gross (1990)). The central position in this theory is taken by the total-energy functional EY[n] which, owing to its unique absolute minimum a t the GS electronic density n, can be used to obtain not only the GS energy but also the GS charge density. tPresent address: Max-Planck-Institut fur Festkorperforschung, HeisenbergstraRe 1, 70569 Stuttgart, Federal Republic of Germany. 0141-8637/97 $12 .00
With the aim of identifying universal trends, we compare fully self-consistent electronic spectra and total energies obtained from the GW\mathrm{GW}GW approximation with those from an extended $\mathrm{GW}\ensuremath{\Gamma}$ scheme that includes a nontrivial vertex function and the fundamentally distinct Bethe-Goldstone approach based on the T matrix. The self-consistent Green's function G,G,G, as derived from Dyson's equation, is used not only in the self-energy but also to construct the screened interaction W for a model system. For all approximations we observe a similar deterioration of the spectrum, which is not removed by vertex corrections. In particular, satellite peaks are systematically broadened and move closer to the chemical potential. The corresponding total energies are universally raised, independent of the system parameters. Our results, therefore, suggest that any improvement in total energy due to self-consistency, such as for the electron gas in the GW\mathrm{GW}GW approximation, may be fortuitous.
Calculations of ground-state and excited-state properties of materials have been one of the major goals of condensed matter physics. Ground-state properties of solids have been extensively investigated for several decades within the standard density functional theory. Excited-state properties, on the other hand, were relatively unexplored in ab initio calculations until a decade ago. The most suitable approach up to now for studying excited-state properties of extended systems is the Green function method. To calculate the Green function one requires the self-energy operator which is non-local and energy dependent. In this article we describe the GW approximation which has turned out to be a fruitful approximation to the self-energy. The Green function theory, numerical methods for carrying out the self-energy calculations, simplified schemes, and applications to various systems are described. Self-consistency issue and new developments beyond the GW approximation are also discussed as well as the success and shortcomings of the GW approximation.