Ab initio simulation of photoemission spectroscopy in solids: Plane-wave pseudopotential approach, with applications to normal-emission spectra of Cu(001) and Cu(111)
Natasa Stojic, Andrea Dal Corso, Bo Zhou, Stefano Baroni
We introduce a new method for simulating photoemission spectra from bulk crystals in the ultra-violet energy range, within a three-step model. Our method explicitly accounts for transmission and matrix-element effects, as calculated from state-of-the-art plane-wave pseudopotential techniques within density-functional theory. Transmission effects, in particular, are included by extending to the present problem a technique previously employed with success to deal with ballistic conductance in metal nanowires. The spectra calculated for normal emission in Cu(001) and Cu(111) are in fair agreement with previous theoretical results and with experiments, including a newly determined spectrum. The residual discrepancies between our results and the latter are mainly due to the well-known deficiencies of density-functional theory in accounting for correlation effects in quasi-particle spectra. A significant improvement is obtained by the LDA+U method. Further improvements are obtained by including surface-optics corrections, as described by Snell's law and Fresnel's equations.
We extend the recently developed converse NMR approach [T. Thonhauser, D. Ceresoli, A. Mostofi, N. Marzari, R. Resta, and D. Vanderbilt, J. Chem. Phys. \textbf{131}, 101101 (2009)] such that it can be used in conjunction with norm-conserving, non-local pseudopotentials. This extension permits the efficient ab-initio calculation of NMR chemical shifts for elements other than hydrogen within the convenience of a plane-wave pseudopotential approach. We have tested our approach on several finite and periodic systems, finding very good agreement with established methods and experimental results.
We present an implementation of time-dependent density functional perturbation theory for spin fluctuations, based on planewaves and pseudopotentials. We compute the dynamic spin susceptibility self-consistently by solving the time-dependent Sternheimer equation, within the adiabatic local density approximation to the exchange and correlation kernel. We demonstrate our implementation by calculating the spin susceptibility of representative elemental transition metals, namely bcc Fe, fcc Ni and bcc Cr. The calculated magnon dispersion relations of Fe and Ni are in agreement with previous work. …
In this paper, we show how to calculate analytical atomic forces within self-consistent density functional theory + dynamical mean-field theory (DFT+DMFT) approach in the case when ultra-soft or norm-conserving pseudopotentials are used. We show how to treat the non-local projection terms arising within the pseudopotential formalism and circumvent the problem of non-orthogonality of the Kohn-Sham eigenvectors. Our approach is, in principle, independent of the DMFT solver employed, and here was tested with the Hubbard I solver. We benchmark our formalism by comparing against the forces calculat…
We calculate the $3s$- and $4s$-core-level x-ray photoemission spectroscopy (XPS) spectra in the ferromagnetic and nonmagnetic transition metals by developing an \emph{ab initio} method. We obtain the spectra exhibiting the characteristic shapes as a function of binding energy in good agreement with experimental observations. The spectral shapes are strikingly different between the majority spin channel and the minority spin channel for ferromagnetic metals Ni, Co, and Fe, that is, large intensities appear in the higher binding energy side of the main peak (satellite) in the majority spin chan…
We calculate the photoemission spectra of suspended and epitaxial doped graphene using an ab initio cumulant expansion of the Green's function based on the GW self-energy. Our results are compared to experiment and to standard GW calculations. For doped graphene on a silicon carbide substrate, we find, in contrast to earlier calculations, that the spectral function from GW only does not reproduce experimental satellite properties. However, ab initio GW plus cumulant theory combined with an accurate description of the substrate screening results in good agreement with experiment, but gives no p…
We present a method to make highly accurate pseudopotentials for use with orbital-free density functional theory (OF-DFT) with given exchange-correlation and kinetic energy functionals, which avoids the compounding of errors of Kohn-Sham DFT and OF-DFT. The pseudopotentials are fitted to reference (experimental or highly accurate quantum chemistry) values of interaction energies, geometries, and mechanical properties, using a genetic algorithm. This can enable routine large-scale ab initio simulations of many practically relevant materials. Pseudopotentials for Li, Na, and Mg resulting in accu…
Perovskite alkaline earth stannates, such as $BaSnO_3$ and $SrSnO_3$, showing light transparency and high electrical conductivity (when doped), have become promising candidates for novel optoelectrical devices. Such devices are mostly based on hetero-structures and understanding of their electronic structure, which usually deviates from the bulk, is mandatory for exploring a full application potential. Employing angle-resolved photoemission spectroscopy and ab initio calculations we reveal the existence of a 2-dimensional metallic state at the $SnO_2$-terminated surface of a 1\% La-doped $BaSn…
The accurate ab-initio simulation of periodic solids with strong correlations is one of the grand challenges of condensed matter. While mature methods exist for weakly correlated solids, the ab-initio description of strongly correlated systems is an active field of research. In this work, we show results for the single particle spectral function of the two correlated $d$-electron solids NiO and MnO from self-energy embedding theory. Unlike earlier work, the theory does not use any adjustable parameters and is fully ab-initio, while being able to treat both the strong correlation and the non-lo…
We study the 2p-core level x-ray photoemission spectra in ferromagnetic transition metals, Fe, Co, and Ni using a recently developed ab initio method.The excited final states are set up by distributing electrons on the one-electron states calculated under the fully screened potential in the presence of the core hole. We evaluate the overlap between these excited states and the ground state by using one-electron wave functions, and obtain the spectral curves as a function of binding energy. The calculated spectra reproduce well the observed spectra displaying interesting dependence on the eleme…
Quantitative Photoemission Predictions of Semiconducting Photocathodes from Many-Body Ab Initio Theory
Carl von Ossietzky Universität Oldenburg（奥尔登堡卡尔·冯·奥西茨基大学）；Friedrich-Schiller Universität Jena（耶拿弗里德里希·席勒大学）；Helmholtz-Zentrum Berlin（柏林赫尔姆霍兹中心）；Universität Siegen（锡根大学）；Humboldt-Universität zu Berlin（柏林洪堡大学）；Universitá degli Studi di Salerno（萨莱诺大学）
Resonant photoemission spectroscopy has been used to investigate the character of Fe 3d states in FeAl alloy. Fe 3d states have two different character, first is of itinerant nature located very close to the Fermi level, and second, is of less itinerant (relatively localized character), located beyond 2 eV below the Fermi level. These distinct states are clearly distinguishable in the resonant photoemission data. Comparison between the results obtained from experiments and first principle based electronic structure calculation show that the origin of the itinerant character of the Fe 3d states…
This manuscript presents, to our knowledge, the first fully ab initio many-body photoemission framework to predict the transverse momentum distributions and the mean transverse energies (MTEs) of photoelectrons from single-crystal photocathodes. The need to develop such a theory stems from the lack of studies that provide complete understanding of the underlying fundamental processes governing the transverse momentum distribution of photoelectrons emitted from single crystals. For example, initial predictions based on density-functional theory calculations of effective electron masses suggeste…
X-ray photoemission (XPS) and Near Edge X-ray Absorption Fine Structure (NEXAFS) spectroscopy play an important role in investigating the structure and electronic structure of materials and surfaces. Ab-initio simulations provide crucial support for the interpretation of complex spectra containing overlapping signatures. Approximate core-hole simulation methods based on Density Functional Theory such as the Delta-Self-Consistent-Field ($Δ$SCF) method or the transition potential (TP) method are widely used to predict K-shell XPS and NEXAFS signatures of organic molecules, inorganic materials an…
The influence of pressure on the structural and elastic properties of ScM (M = Rh, Cu, Ag, Hg) compounds has been performed by using ab initio approach pseudopotential plane- wave method based on the density functional theory within the generalized gradient approximation (GGA). The optical properties have been investigated under zero pressure. It is found that the optimized lattice parameters for all metals are in good agreement with the experimental data and other available theoretical values.
X-ray photoemission and x-ray absorption spectroscopy are important techniques to characterize chemical bonding at surfaces and are often used to identify the strength and nature of adsorbate-substrate interactions. In this study, we judge the ability of x-ray spectroscopic techniques to identify different regimes of chemical bonding at metal-organic interfaces. To achieve this, we sample different interaction strength regimes in a comprehensive and systematic way by comparing two topological isomers, azulene and naphthalene, adsorbed on three metal substrates with varying reactivity, namely t…
Effect of Semicore Orbitals on the Electronic Band Gaps of Si, Ge, and GaAs within the GW Approximation
本文研究了半核心态对硅、锗和砷化镓的自能修正和电子能隙的影响。自能效应计算内GW的方法，和电子状态扩展在平面波的基础上。对于这些材料，我们产生{ \it ab initio}赝势处理的原子轨道的最外层的两个壳层的价态，而不是在传统的赝势计算的最外层的价壳层。由此产生的直接和间接的能隙进行比较与实验测量和以前的计算的基础上赝势和“全电子”的方法。我们的研究结果表明，与最近的说法相反，由于半核态的带隙的自能效应可以很好地占在标准的价赝势形式主义。
Highly accurate experimental structure factors of silicon are available in the literature, and these provide the ideal test for any \emph{ab initio} method for the construction of the all-electron charge density. In a recent paper [J. R. Trail and D. M. Bird, Phys. Rev. B {\bf 60}, 7863 (1999)] a method has been developed for obtaining an accurate all-electron charge density from a first principles pseudopotential calculation by reconstructing the core region of an atom of choice. Here this method is applied to bulk silicon, and structure factors are derived and compared with experimental and …
In this work we provide an exhaustive study of the photemission spectrum of paramagnetic FeO under pressure using a refined version of our recently derived many-body effective energy theory (MEET). We show that, within a nonmagnetic description of the paramagnetic phase, the MEET gives an overall good description of the photoemission spectrum at ambient pressure as well as the changes it undergoes by increasing pressure. In particular at ambient pressure the band gap opens between the mixed Fe $t_{2g}$ and O $2p$ states and the Fe 4s states and, moreover, a $d$-$d$ gap opens, which is compatib…
A possible mechanism for the resistive switching observed experimentally in Fe/MgO/V/Fe junctions is presented. Ab initio total energy calculations within the local density approximation and pseudopotential theory shows that by moving the oxygen ions across the MgO/V interface one obtains a metastable state. It is argued that this state can be reached by applying an electric field across the interface. In addition, the ground state and the metastable state show different electric conductances. The latter results are discussed in terms of the changes of the density of states at the Fermi level …
We present M-SPARC: MATLAB-Simulation Package for Ab-initio Real-space Calculations. It can perform pseudopotential spin-polarized and unpolarized Kohn-Sham Density Functional Theory (DFT) simulations for isolated systems such as molecules as well as extended systems such as crystals, surfaces, and nanowires. M-SPARC provides a rapid prototyping platform for the development and testing of new algorithms and methods in real-space DFT, with the potential to significantly accelerate the rate of advancements in the field. It also provides a convenient avenue for the accurate first principles study…
Linear and non-linear spectroscopies are powerful tools used to investigate the energetics and dynamics of electronic excited states of both molecules and crystals. While highly accurate \emph{ab initio} calculations of molecular spectra can be performed relatively routinely, extending these calculations to periodic systems is challenging. Here, we present calculations of the linear absorption spectrum and pump-probe two-photon photoemission spectra of the naphthalene crystal using equation-of-motion coupled-cluster theory with single and double excitations (EOM-CCSD). Molecular acene crystals…
Ab initio calculations of the dynamical response of copper
基于{ \em ab initio}赝势计算，研究了局域$d$带在Cu动力学响应中的作用.在随机相位近似（RPA）和含时局域密度泛函近似（TDLDA）的密度响应函数进行评估。我们的研究结果表明，除了提供一个可极化的背景，降低了自由电子等离子体的频率，d-电子负责，在较高的能量和小的动量，在动力学结构因子的双峰结构。这些结果与实验测定的铜的光学响应是一致的。我们还分析了动力学散射截面对动量转移的依赖关系。
We have performed ab-initio calculations using plane-wave ultraviolet pseudopotential technique based on the density-functional theory (DFT) to study the structural, mechanical, electronic, optical and thermodynamic properties of orthorhombic MgV2O6. The calculated lattice parameters are in good agreement with the available experimental data. The second-order elastic constants and the other relevant quantities such as the Youngs modulus, shear modulus, Poissons ratio, compressibility, anisotropy factor, sound velocity, and Debye temperature have been calculated. After analyzing the calculated …
Plane-wave pseudopotential methods and density functional perturbation theory are used to calculate the phonon density of states and thermodynamic functions of h-P4O10. The calculated vibrational spectrum is in good agreement with the measured spectrum, but the calculations indicate some modifications in the interpretation of the spectrum, mainly suggesting changes in the number of components used to fit a few of the observed peaks. The calculated low-temperature heat capacity is in good agreement with the measured heat capacity, with a systematic offset of approximately -5 J mol-1 K-1, indepe…
A theoretical study of the surface energy-loss function of freestanding Pb(111) thin films is presented, starting from the single monolayer case. The calculations are carried applying the linear response theory, with inclusion of the electron band structure by means of a first-principles pseudopotential approach using a supercell scheme. Quantum-size effects on the plasmon modes of the thinnest films are found in qualitative agreement with previous work based on the jellium model. For thicker films, results show a dispersionless mode at all thicknesses, in agreeement with electron energy-loss …
In the present work, we investigate the electronic structure of the two-dimensional (2D) ferromagnet Cr2Ge2Te6 by photoemission spectroscopy and ab initio calculations. Our results demonstrate the presence of multiple hole-type bands in the vicinity of the Fermi level indicating that the material can support high electrical conductivity by manipulating the chemical potential. Also, our photon energy dependent angle resolved photoemission experiment revealed that several of the hole bands exhibit weak dispersion with varied incident photon energy providing experimental signature for its two dim…
A theoretical study of the dynamical dielectric response of bulk lead at low energies is presented. The calculations are performed with full inclusion of the electron band structure calculated by means of a first-principles pseudopotential approach. The effect of including the spin-orbit splittings in the band structure is analyzed, together with dynamical exchange-correlation and local-field effects. Excitations are studied in detail, showing the presence at small momenta of acoustic-like dispersing excitations. The character of these modes with sound-like dispersion depends on the direction …
Thermal vibrations alter the external potential. Allen (Phys. Rev. B 18 (1978) 5217) proved that at finite temperatures the pseudopotential form factors are corrected by a Debye-Waller Factor (DWF). We generalize this result to the crystal potential. (The generalization to the all-electron case of the nuclear potential fails due to the breakdown of the rigid-atom approximation.) This finite temperature formalism only gives thermal-averaged properties and no dynamical information can be obtained. Hence, it is labeled the Quasi Ab Initio formalism. Analogous to the use of experimental lattice pa…
The structural, elastic, and electronic properties of the very recently discovered ternary silicide superconductor, Li2IrSi3, have been calculated using ab-initio technique. We have carried out the plane-wave pseudopotential approach within the framework of the first-principles density functional theory (DFT) implemented within the CASTEP code. The calculated structural parameters show a reasonable agreement with the experimental results. Elastic moduli of this interesting material have been calculated for the first time. The electronic band structure and electronic energy density of states in…
Angle-resolved photoemission spectroscopy (ARPES) is a powerful experimental technique for directly probing electron dynamics in solids. The energy vs. momentum dispersion relations and the associated spectral broadenings measured by ARPES provide a wealth of information on quantum many-body interaction effects. In particular, ARPES allows studies of the Coulomb interaction among electrons (electron-electron interactions) and the interaction between electrons and lattice vibrations (electron-phonon interactions). Here, we report ab initio simulations of the ARPES spectra of graphene including …
We introduce a new method for determining accurate values of the valence-band maximum in x-ray photoemission spectra. Specifically, we align the sharpest peak in the valence-band region of the experimental spectrum with the corresponding feature of a theoretical valence-band density of states curve from ab initio GW theory calculations. This method is particularly useful for soft and hard x-ray photoemission studies of materials with a mixture of valence-band characters, where strong matrix element effects can render standard methods for extracting the valence-band maximum unreliable. We apply…
Recently discovered intrinsic antiferromagnetic topological insulator MnBi$_2$Te$_4$ presents an exciting platform for realization of the quantum anomalous Hall effect and a number of related phenomena at elevated temperatures. An important characteristic making this material attractive for applications is its predicted large magnetic gap at the Dirac point (DP). However, while the early experimental measurements reported on large DP gaps, a number of recent studies claimed to observe a gapless dispersion of the MnBi$_2$Te$_4$ Dirac cone. Here, using micro($μ$)-laser angle-resolved photoemissi…
