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arXiv:1406.0772 · Journal of Physics Condensed Matter

Justifying quasiparticle self-consistent schemes via gradient optimization in Baym–Kadanoff theory

Sohrab Ismail‐Beigi

Published Jun 8, 2017• 34 citations
arXivHTMLPDF

Abstract

The question of which non-interacting Green's function 'best' describes an interacting many-body electronic system is both of fundamental interest as well as of practical importance in describing electronic properties of materials in a realistic manner. Here, we study this question within the framework of Baym-Kadanoff theory, an approach where one locates the stationary point of a total energy functional of the one-particle Green's function in order to find the total ground-state energy as well as all one-particle properties such as the density matrix, chemical potential, or the quasiparticle energy spectrum and quasiparticle wave functions. For the case of the Klein functional, our basic finding is that minimizing the length of the gradient of the total energy functional over non-interacting Green's functions yields a set of self-consistent equations for quasiparticles that is identical to those of the quasiparticle self-consistent GW (QSGW) (van Schilfgaarde et al 2006 Phys. Rev. Lett. 96 226402-4) approach, thereby providing an a priori justification for such an approach to electronic structure calculations. In fact, this result is general, applies to any self-energy operator, and is not restricted to any particular approximation, e.g., the GW approximation for the self-energy. The approach also shows that, when working in the basis of quasiparticle states, solving the diagonal part of the self-consistent Dyson equation is of primary importance while the off-diagonals are of secondary importance, a common observation in the electronic structure literature of self-energy calculations. Finally, numerical tests and analytical arguments show that when the Dyson equation produces multiple quasiparticle solutions corresponding to a single non-interacting state, minimizing the length of the gradient translates into choosing the solution with largest quasiparticle weight.

DOI
10.1088/1361-648x/aa7803

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The question of which non-interacting Green's function 'best' describes an interacting many-body electronic system is both of fundamental interest as well as of practical importance in describing electronic properties of materials in a realistic manner. Here, we study this question within the framework of Baym-Kadanoff theory, an approach where one locates the stationary point of a total energy functional of the one-particle Green's function in order to find the total ground-state energy as well as all one-particle properties such as the density matrix, chemical potential, or the quasiparticle energy spectrum and quasiparticle wave functions. For the case of the Klein functional, our basic finding is that minimizing the length of the gradient of the total energy functional over non-interacting Green's functions yields a set of self-consistent equations for quasiparticles that is identical to those of the quasiparticle self-consistent GW (QSGW) (van Schilfgaarde et al 2006 Phys. Rev. Lett. 96 226402-4) approach, thereby providing an a priori justification for such an approach to electronic structure calculations. In fact, this result is general, applies to any self-energy operator, and is not restricted to any particular approximation, e.g., the GW approximation for the self-energy. The approach also shows that, when working in the basis of quasiparticle states, solving the diagonal part of the self-consistent Dyson equation is of primary importance while the off-diagonals are of secondary importance, a common observation in the electronic structure literature of self-energy calculations. Finally, numerical tests and analytical arguments show that when the Dyson equation produces multiple quasiparticle solutions corresponding to a single non-interacting state, minimizing the length of the gradient translates into choosing the solution with largest quasiparticle weight.
The well-known and well-used Density Functional Theory (DFT) is a variational theory for the ground-state. There are no guarantees that it delivers good results for excited state properties such as quasiparticle energies or wave function. All that is guaranteed is that the total energy is exact, the chemical potential is correct, and that the eective electronic states (Kohn-Sham states) generate the right electron density at the variational minimum. Luttinger-Ward approaches to electronic structure are attractive as beyond-DFT schemes since, in principle, they oer a variational functional of the one-electron Green’s function that yields both the correct total energy and all one-particle properties at the variational extremum. However, compared to DFT, these methods face a number of additional challenges beyond the familiar problem of choosing an exchange-correlation functional: (a) they have a much greater computational cost compared to DFT, (b) one must choose some set of trial Green’s functions, and (c) one must locate an extremum (not necessarily a minimum). This talk aims both to be pedagogical and to provide a summary of our most recent work in this area. We focus mainly on the random-phase approximation (RPA) for the correlation functional which yields the GW self-energy for the Green’s function. We will describe ecient approaches for computing the RPA correlation energy; how various types of approximations to the correlation energy create a ladder of approximate self-energy operators and what type of physics is included in these approximations (exchange, screening, Hubbard U, etc.); and how the extremization is in fact highly problematic. We will end with some ideas for making practical progress with the extremization and their relation to the successful Quasiparticle Self-consistent GW (QSGW) scheme [1].
We present results for many-body perturbation theory for the one-body Green's function at finite temperatures using the Matsubara formalism. Our method relies on the accurate representation of the single-particle states in standard Gaussian basis sets, allowing to efficiently compute, among other observables, quasiparticle energies and Dyson orbitals of atoms and molecules. In particular, we challenge the second-order treatment of the Coulomb interaction by benchmarking its accuracy for a well-established test set of small molecules, which includes also systems where the usual Hartree-Fock treatment encounters difficulties. We discuss different schemes how to extract quasiparticle properties and assess their range of applicability. With an accurate solution and compact representation, our method is an ideal starting point to study electron dynamics in time-resolved experiments by the propagation of the Kadanoff-Baym equations.
I review the way the many-body Green functions are used to renormalize the perturbation theory of correlated fermions. The Green functions are introduced to implement systematically dynamical corrections to the static mean-field theory. The renormalizations enter the perturbation theory via self-consistent evaluations of one-particle and two-particle Green functions. The one-particle self-consistency is discussed within the Baym-Kadanoff construction. We point to an inherent dichotomy of the Baym-Kadanoff approach in the relation between one and two-particle Green functions. They are the Schwinger-Dyson equation, directly derived from the generating Luttinger-Ward functional, and the Ward identity. The latter imposes a severe restriction on the two-particle irreducible vertex and is not guaranteed in the Baym-Kadanoff approach. No approximate theory is capable to obey both relations. I further discuss the two-particle approach with two-particle renormalizations that offers a way to reconcile the Schwinger-Dyson equation and the Ward identity. The two-particle irreducible vertex from the critical Bethe-Salpeter equation becomes a generating functional in the two-particle renormalization of the perturbation theory. The irreducible vertex is used in the Ward identity to determine the order parameter beyond the critical point and in the Bethe-Salpeter equation representing the vertex of the Schwinger-Dyson equation to determine the spectral self-energy in such a way that the thermodynamic critical behavior from both equations is qualitatively the same. Finally, I discuss a static mean-field-like approximation with a renormalized effective interaction determined self-consistently that leads to a qualitatively correct description of strong electron correlations in impurity and lattice models.
While the use of Green's function techniques has a long tradition in quantum chemistry, the possibility of propagating the Kadanoff-Baym equations has remained largely unexplored. We have implemented the time-propagation for atoms and diatomic molecules, starting from a system in the groundstate. The initial stage of the calculation requires solving the Dyson equation self-consistently for the equilibrium Green's function. This Green's function contains a huge amount of information, and we have found it particularly interesting to compare the self-consistent total energies to the results of variational energy functionals of the Green's function. We also use time-propagation for calculating linear response functions, as a means for obtaining the excitation energies of the system. We have presently implemented the propagation for the second Born approximation, while the GW approximation has now been implemented for the ground state calculations.
Density functional theory (DFT) performs reasonably well for the determination of structural properties of many materials, but fails to predict electronic band gap values accurately. \nSuch a failure of DFT is not unexpected, since there exists no formal justification for interpreting the DFT eigenvalues as addition or removal energies of the many-body system (quasiparticle energies).\nAn alternative approach to the study of exchange-correlation effects in many-particle systems is provided by many-body perturbation theory (MBPT), which defines a rigorous approach to description of excited-state properties based on the Green's function formalism and the concept of quasiparticle electrons. Within MBPT, one can calculate the quasiparticle (QP) energies and the QP amplitudes by approximately solving, within the so-called GW approximation, the set of coupled integro-differential equations proposed by Hedin in 1965.\nThe GW method generally yields significantly better values for QP energies with respect to DFT as it accounts for the dynamic many-body effects in the electron-electron interaction going beyond the mean-field approximation of independent Kohn-Sham particles. The drawback of such an involved approach, however, is its large computational cost, which is mainly due to the evaluation of dielectric matrices, their inversion, and the solution of a non-Hermitian and nonlinear eigenvalue problem. \nThe first part of this PhD research is devoted to the implementation of an efficient and scalable coarse-grained parallel algorithms and the development of state-of-the-art methods to solve the GW equations.\nAll these techniques are then applied to the study of the quasiparticle band structures of SiO2 in the alpha quartz crystalline structure. The effects of the different approximations involved in the theory, the influence of self-consistency, and a systematic analysis of the reliability of the different plasmon-pole models are presented and discussed. \nThe second part of this PhD work is dedicated to the implementation of a methodological approach to the solution of the GW equations based on the so-called projector augmented wave method (PAW) proposed by Blochl in 1994. This new approach permits to remove many of the limitations intrinsic to the use of the pseudopotential technique widely used for ab-initio calculations, allowing one to reach GW results closer to an all-electron implementation while still maintaining computational efficiency, and flexibility. This allows us to achieve a coherent implementation of many different algorithms which enables a detailed comparison of GW calculations not yet performed until now. Results for the quasiparticle band structure and optical spectra of prototype s- and p-compounds are discussed and compared to recent studies reported in the scientific literature (when available).
We propose a framework to construct the ground-state energy and density matrix of an NNN-electron system by solving a self-consistent set of single-particle equations. The method can be viewed as a nontrivial extension of the Kohn-Sham scheme (which is embedded as a special case). It is based on separating the Green's function into a quasiparticle part and a background part, and expressing only the background part as a functional of the density matrix. The calculated single-particle energies and wave functions have a clear physical interpretation as quasiparticle energies and orbitals.