An Introduction To Linear Response and To Phonon Calculations
An Introduction To Linear Response and To Phonon Calculations
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Electronic screening
Consider a static perturbation δV0(r) to a system of electrons under an external
(nuclear) potential V0(r). At linear order,
Z
δn(r) = χ(r, r0)δV0(r0)dr0
δn(r0) 0
Z
2
δV (r) = δV0(r) + e 0
dr
|r − r |
that is:
Z 00 0
Z Z
χ(r , r ) 00
δV (r) = δ(r − r0) + e2 dr δV0 (r 0
)dr 0
≡ −1(r, r0)δV0(r0)dr0.
|r − r00|
• χ(r, r0)
yields the charge response to a bare (external) perturbing potential via
Z
δn(r) = χ(r, r0)δV0(r0)dr0
• −1(r, r0)
yields the screened potential from the bare one via
Z
δV (r) = −1(r, r0)δV0(r0)dr0.
χ(r00, r0) 00
Z
−1 0 0 2
(r, r ) ≡ δ(r − r ) + e 00
dr
|r − r |
These are the functions that determine electronic response. Their calculation is
however a nontrivial many-body problem.
Density-Functional Linear Response
We assume that the system obeys Kohn-Sham (KS) equations:
h̄2 2
(HKS − i) ψi(r) = 0, HKS = − ∇ + VKS (r)
2m
where VKS (r) = V0(r) + VH (r) + Vxc[n(r)] and the charge is given by
X
n(r) = fi|ψi(r)|2
i
Unlike χ(r, r0), this quantity can be easily calculated using perturbation theory.
Independent-particle polarizability
X X fi − fj
δn(r) = fiδψi∗(r)ψi(r) + c.c. = ψi∗(r)ψj (r)hψj |δVKS |ψii
i
i − j
i,j,i6=j
Note that contribution from i, j states vanishes if both are fully occupied. For a
closed-shell (insulating) system:
X
∗ hψc|δVKS |ψv i
δn(r) = 4Re ψv (r)ψc(r)
v,c
v − c
0
X 1
χ0(r, r ) = 4Re ψv∗(r)Pc Pcψv (r0)
v
v − HKS
• this expression is valid only if VKS ≡ VKS (r), i.e. is a local potential:
• χ0(r, r0) is a ground-state property: it yields the difference between two ground
states, even if it seems to depend on excited-state energies c
Physical Response Operator
...but we need χ(r, r0), not χ0(r, r0) ! How can we get from χ0 to χ ?
In operator notations: δn = χ̂δV0 = χ̂0δVKS , and δVKS = δV0 +δVH +δVXC .
Screening from Hartree potential:
Z 0 2
δn(r ) 0 e
δVH (r) = e 2
dr ≡ v̂cδn, where vc(r, r0) =
|r − r0| |r − r0|
In solids, the response function χ0(r, r0) can be expressed in reciprocal space as a
matrix, the dielectric matrix: χ0(q + G, q + G0), for the response to an external
perturbation of wavevector q. Operators become infinite matrix. By truncating
them at an appropriate Gcut one has a practical scheme for calculating response
operators.
Random Phase Approximation (RPA): neglect the fxc term. Note that the addition
of LDA exchange-correlation is straightforward: fxc is a local operator
0 0 dVxc (n)
fxc(r, r ) = δ(r − r ) .
dn n=n(r)
The dielectric matrix approach yields the response to all possible perturbations,
but only local ones (i.e. δV local), and is computationally heavy. However we are
often interested to the response to a specific and/or nonlocal perturbation.
Self-consistent Linear Response
We consider the basic equations, to be self-consistently solved:
and
X hψc|δVKS |ψv i X 1
δn(r) = 4Re ψv∗(r)ψc(r) = 4Re ψv∗(r)Pc PcδVKS ψv .
v,c
v − c v
v − HKS
The variation of the charge density can be recast into the form
X 1
δn(r) = 4Re ψv∗(r)∆ψv (r), where ∆ψv = Pc PcδVKS ψv
v
v − HKS
δV0 = −eδE0 · r
hψc|[HKS , r]|ψv i
hψc|r|ψv i = for c 6= v.
c − v
h̄2 ∂ h i
[HKS , r] = − + V̂N L, r .
m ∂r
(VN L is the nonlocal term of the potential if present).
Macroscopic Polarization
(Nc is the number of cells of volume Ωc, NcΩ is the crystal volume) using the
same trick as shown before. In practical calculations, the (screened) electric field
E is kept fixed, iteration is performed on the microscopic terms of the potential:
Z 2
e δvxc(r) 0
δVKS (r) = −eδEαrα + 0
+ 0
δn(r ).
|r − r | δn(r )
Linear Response and Phonons
∂V (r) 1 2 ∂ 2V (r)
Vλ(r) ' V (r) + λ + λ 2
+ ...
∂λ 2 ∂λ
(all derivatives calculated at λ = 0) and expand the charge density
∂n(r) 1 2 ∂ 2n(r)
nλ(r) ' n(r) + λ + λ + ...
∂λ 2 ∂λ2
and the energy functional into powers of λ:
∂E 1 2 ∂ 2E
Eλ ' E + λ + λ + ...
∂λ 2 ∂λ2
The first-order derivative ∂E/∂λ does not depend on any derivative of n(r)
(Hellmann-Feynman theorem):
Z
∂E ∂V (r)
= n(r) dr
∂λ ∂λ
Energy functional expansion terms
∂ 2E ∂ 2V (r)
Z Z
∂V (r) ∂n(r)
= dr + n(r) dr
∂λ2 ∂λ ∂λ ∂λ2
∂ 2E ∂ 2V (r)
Z Z
∂V (r) ∂n(r)
= dr + n(r) dr
∂λ∂µ ∂λ ∂µ ∂λ∂µ
X Z i Z J e2 X Z I e2 X e2
V (r, R) = − +
|RI − RJ | |ri − RI | i>j |ri − rj |
I>J i,I
∂E(R)
FI = − =0
∂RI
J,β
αβ
where CIJ is the matrix of inter-atomic force constants (IFC), i.e. second
derivatives of the energy with respect to atomic positions:
αβ ∂ 2E({R})
CIJ ≡ .
∂RIα∂RJβ
RI [us(q)] = Rl + τ s + us(q)eiq·Rl .
(Rl =lattice vector, τ s =equilibrium position of the s-th atom in the unit cell).
Fourier transform of force constants at q are second derivatives of the energy with
respect to such monochromatic perturbations:
αβ
X
−iq·R αβ 1 ∂ 2E
C
est (q) ≡ e Cst (R) = β
Nc ∂u∗α
s (q)∂u t (q)
R
This can be calculated from the knowledge of the linear response ∂n(r)/∂uα
s (q)
and diagonalized to get phonon modes at q. Note that:
• the linear response has the same wave vector q of the perturbation: this
algorithm will work for any q without any supercell involved
Advantages:
• straightforward to implement
Disadvantages:
1 XX ane Ω X
E({u}, E) = us · Cst · ut − E · ∞ · E − e us · Z?s · E,
2 st 8π s
αβ
(anC
e st force constants, ∞ dielectric tensor, Z?s Born effective charge tensor).
4π X
D = E + Pel + Pion = ∞ · E + e us · Z?s
Ω s
and
1 XX e st = anC
e st + naC
E({u}) = us · C
e st · ut, C e st
2 st
αβ
where ? ?
nae 4π (q · Z s )α (q · Z t )β
Cst =
Ω q · ∞ · q
A ”non-analytical” term has appeared in the force constants!
Effective charges and dielectric tensor
Effective charges Z? are related to polarization P induced by a lattice distortion:
Ω ∂Pα
Z ?αβ
s = β
.
e ∂us (q = 0)
One can observe that such quantities are second derivatives of the energy as well:
1 ∂ 2E
Z ?αβ
s = Zsδαβ − β
,
Nc ∂Eα∂us (q = 0)
1 ∂ 2E
αβ
∞ = δαβ + .
Nc ∂Eα∂Eβ
Calculation of effective charges
Integral is ill-defined for a crystal with Periodic Boundary Conditions! Can use a
trick:
hψm|[HSCF , r]|ψni
hψm|r|ψni = , ∀ m 6= n
m − n
(in fact, only non-diagonal matrix elements are needed). The commutator is well
defined:
h̄2 ∂
[HSCF , r] = − + [VN L, r]
m ∂r
(momentum operator, plus a contribution from nonlocal pseudopotentials). Let us
define |ψ̄nαi = rα|ψni the solution of linear system:
N/2
4 X ∂ψn
Z ?αβ ψ̄nα
s = Zs + .
Nc n=1 ∂uβ (q = 0)
Alternatively, effective charges are given by the force linearly induced on an atom
by an electric field:
N/2
4 X ∂V ∂ψn
Z ?αβ
s = Zs + ψn
.
Nc n=1 ∂uβ (q = 0) ∂Eα
using the linear response to an electric field (this is so because the Z ? are mixed
second derivatives of the energy). quantum ESPRESSO can do both types of
calculations (they yield the same result within numerical accuracy!)
Calculation of dielectric tensor
The linear response to a macroscopic electric field can be calculated using the same
trick as above. In fact, V (r) = eE · r is ill-defined but we need only non-diagonal
matrix elements. The convenient way to solve the linear-response equations is to
iterate over VSCF (r) while keeping E fixed:
2
∂n(r0) 0
Z
∂VSCF (r) ∂V (r) e δvxc(r)
= + + dr .
∂E ∂E |r − r0| δn(r0) ∂E
Finally:
N/2
16πe X ∂ψn
αβ ψ̄nα
∞ = δαβ − .
NcΩ n=1
∂Eβ
In the end, all we need to properly deal with LO-TO splitting in phonons are three
additional linear-response calculations to an electric field
αβ
Inter-atomic force constants in real space, Cst (R), are obtained by
αβ
• calculating C
est (q) on a discrete (n1, n2, n3) grid of q-vectors:
The denser the grid of q-vectors, the larger the vectors Rlmn for which the
inter-atomic force constants are calculated. For non polar system, inter-atomic
force constants are short-ranged and require a moderate number of calculations at
different q.
Inter-atomic force constants in real space (2)
In simple semiconductors like Si and Ge, q-point grids like 4 × 4 × 4 already yield
rather converged force constants in real space. Symmetry is used to reduce the
number of needed linear-response calculations.
Once inter-atomic force constants are known, the entire phonon dispersion at any
q can be straightforwardly calculated.
For materials having a TO-LO splitting (e.g.: polar semiconductors), the non-
analytic term in the force constants makes inter-atomic force constants in real
space no longer short-ranged. Fourier-interpolation is no longer possible. Solution:
αβ
• Subtract from C est (qijk ) a term that has the same q → 0 limit of the non-
αβ
analytic term naCest (q) (and that is easy to calculate)
• Fourier-transform from reciprocal to real space as for the non-polar case: force
constants in real space are now short-ranged.
• When force constants at a general q are re-calculated from those in real space,
re-add the term removed before the Fourier transform.
quantum ESPRESSO uses the same term as the one described in:
X. Gonze et al., Phys. Rev B 50, 13035 (1994)
Calculation of IR and Raman Intensities
Infrared Intensities: 2
X X αβ
? β
IIR(ν) =
Z s Us (ν)
α sβ
can be calculated directly from effective charges and phonon displacement patterns.
4 ∂χαβ 2
(ωi − ων )
IStokes(ν) ∝ rαβ (ν), rαβ (ν) =
ων ∂U (ν)
Raman coefficients are third-order derivatives of the energy that can be calculated
in various ways. The most convenient way is to use second-order response to
an electric field: M.Lazzeri and F.Mauri, Phys. Rev. Lett. 90, 036401 (2003).
Implemented (but not for USPP or PAW) in quantum ESPRESSO.
Superconducting Tc and electron-phonon interaction
Electron-phonon interaction λ:
X X γ qν
λ= λ qν =
qν qν
πh̄N (F )ωq2ν
where N (F ) is the DOS at the Fermi level, and for phonon mode ν at wavevector
q:
X Z d3 k
γqν = 2πωqν |gqν (k, i, j)|2δ(q,i − F )δ(k+q,j − F ),
ij
ΩBZ
1/2
h̄ ∂VSCF
gqν (k, i, j) = hψi,k| (ν) |ψj,k+qi.
2M ωqν ∂U (q)
U (ν) is a displacement along phonon ν. This quantity can be easily calculated
using DFPT. McMillan formula for Tc:
ΘD −1.04(1 + λ)
Tc = exp
1.45 λ(1 − 0.62µ∗) − µ∗
Practical phonon calculation in quantum ESPRESSO
• Perform inverse FFT of the C(qi), obtain interatomic force constants in real
space C(R). For polar materials: a term having the same behaviour for q → 0
as the non-analytic term is subtracted from C(qi) before the Fourier Transform
and re-added to C(R), so that no problem related to non-analytic behaviour
and related long-rangeness arises in the Fourier Transform (code q2r.x)
αβ 1 X αβ
Dst (q) =√ Cst (R) exp(iq · R)
M s Mt R
A simplified, faster algorithm exists if i) you sample the Brillouin Zone with only
the Γ point (e.g. molecules, large unit cells), ii) you need phonon modes only at
Γ, and iii) you use only norm-conserving pseudopotentials (no USPP or PAW).
• Perform the scf calculation at equilibrium positions with Γ−point tricks: code
pw.x with input card
K POINTS gamma
• use specialized code phcg.x to find C(q = 0); specify option epsil=.true.
to calculate Z ∗ and ∞.
• Impose Acoustic Sum Rule (ASR), add the nonanalytic LO-TO splitting,
calculate IR cross sections with code dynmat.x