Unified theory of electron-phonon renormalization and phonon-assisted optical absorption

Electron-Phonon Interaction Contribution to the Total Energy of Group IV Semiconductor Polymorphs: Evaluation and Implications

In density functional theory (DFT)-based total energy studies, the van der Waals (vdW) and zero-point vibrational energy (ZPVE) correction terms are included to obtain energy differences between polymorphs. We propose and compute a new correction term to the total energy, due to electron-phonon interactions (EPI). We rely on Allen's general formalism, which goes beyond the quasi-harmonic approximation (QHA), to include the free energy contributions due to quasiparticle interactions. We show that, for semiconductors and insulators, the EPI contributions to the free energies of electrons and phonons are the corresponding zero-point energy contributions. Using an approximate version of Allen's formalism in combination with the Allen-Heine theory for EPI corrections, we calculate the zero-point EPI corrections to the total energy for cubic and hexagonal polytypes of carbon, silicon and silicon carbide. The EPI corrections alter the energy differences between polytypes. In SiC polytypes, the EPI correction term is more sensitive to crystal structure than the vdW and ZPVE terms and is thus essential in determining their energy differences. It clearly establishes that the cubic SiC-3C is metastable and hexagonal SiC-4H is the stable polytype. Our results are consistent with the experimental results of Kleykamp. Our study enables the inclusion of EPI corrections as a separate term in the free energy expression. This opens the way to go beyond the QHA by including the contribution of EPI on all thermodynamic properties.

Phonon-Induced Localization of Excitons in Molecular Crystals from First Principles

The spatial extent of excitons in molecular systems underpins their photophysics and utility for optoelectronic applications. Phonons are reported to lead to both exciton localization and delocalization. However, a microscopic understanding of phonon-induced (de)localization is lacking, in particular, how localized states form, the role of specific vibrations, and the relative importance of quantum and thermal nuclear fluctuations. Here, we present a first-principles study of these phenomena in solid pentacene, a prototypical molecular crystal, capturing the formation of bound excitons, exciton-phonon coupling to all orders, and phonon anharmonicity, using density functional theory, the ab initio GW-Bethe-Salpeter equation approach, finite-difference, and path integral techniques. We find that for pentacene zero-point nuclear motion causes uniformly strong localization, with thermal motion providing additional localization only for Wannier-Mott-like excitons. Anharmonic effects drive temperature-dependent localization, and, while such effects prevent the emergence of highly delocalized excitons, we explore the conditions under which these might be realized.

Phonon-Limited Valley Polarization in Transition-Metal Dichalcogenides

The ability to selectively photoexcite at different Brillouin zone valleys forms the basis of valleytronics and other valley-related physics. Symmetry arguments combined with static lattice first-principles calculations suggest an ideal 100% valley polarization in transition-metal dichalcogenides under circularly polarized light. However, experimental reports of the valley polarization range from 32% to almost 100%. Possible explanations for this discrepancy include phonon-mediated transitions, which would place a fundamental limit to valley polarization, and defect-mediated transitions, which could, in principle, be reduced with cleaner samples. We explore the phonon-mediated fundamental limit by performing calculations of phonon-mediated optical absorption for circularly polarized light entirely from the first principles. We also use group theory to reveal the microscopic mechanisms behind the phonon-mediated excitations, discovering contributions from several individual phonon modes and from multiphonon processes. Overall, our calculations show that the phonon-limited valley polarization is around 70% at room temperature for state-of-the-art valleytronic materials including MoSe_{2}, MoS_{2}, WS_{2}, WSe_{2}, and MoTe_{2}. This fundamental limit implies that sufficiently pure transition-metal dichalcogenides are ideal candidates for valleytronics applications.

Quantum Confinement of Electron-Phonon Coupling in Graphene Quantum Dots

On the basis of first-principles calculations and the special displacement method, we demonstrate the quantum confinement scaling law of the phonon-induced gap renormalization of graphene quantum dots (GQDs). We employ zigzag-edged GQDs with hydrogen passivation and embedded in hexagonal boron nitride. Our calculations for GQDs in the sub-10 nm region reveal strong quantum confinement of the zero-point renormalization ranging from 20 to 250 meV. To obtain these values we introduce a correction to the Allen-Heine theory of temperature-dependent energy levels that arises from the phonon-induced splitting of 2-fold degenerate edge states. This correction amounts to more than 50% of the gap renormalization. We also present momentum-resolved spectral functions of GQDs, which are not reported in previous contributions. Our results lay the foundation to systematically engineer temperature-dependent electronic structures of GQDs for applications in solar cells, electronic transport, and quantum computing devices.

Absorption Spectra of Solids from Periodic Equation-of-Motion Coupled-Cluster Theory

We present ab initio absorption spectra of six three-dimensional semiconductors and insulators calculated using Gaussian-based periodic equation-of-motion coupled-cluster theory with single and double excitations (EOM-CCSD). The spectra are calculated efficiently by solving a system of linear equations at each frequency, giving access to an energy range of tens of electronvolts without explicit enumeration of excited states. We assess the impact of cost-saving approximations associated with Brillouin zone sampling, frozen orbitals, and the partitioned EOM-CCSD approximation. Although our most converged spectra exhibit line shapes that are in good agreement with experimental spectra, they are uniformly shifted to higher energies by about 1 eV, which is not explained by the remaining finite-size errors. We tentatively attribute this discrepancy to a combination of vibrational effects and the remaining electron correlation, i.e., triple excitations and above.

Temperature-Dependent Electronic Ground-State Charge Transfer in van der Waals Heterostructures

Electronic charge rearrangement between components of a heterostructure is the fundamental principle to reach the electronic ground state. It is acknowledged that the density of state distribution of the components governs the amount of charge transfer, but a notable dependence on temperature is not yet considered, particularly for weakly interacting systems. Here, it is experimentally observed that the amount of ground-state charge transfer in a van der Waals heterostructure formed by monolayer MoS₂ sandwiched between graphite and a molecular electron acceptor layer increases by a factor of 3 when going from 7 K to room temperature. State-of-the-art electronic structure calculations of the full heterostructure that accounts for nuclear thermal fluctuations reveal intracomponent electron-phonon coupling and intercomponent electronic coupling as the key factors determining the amount of charge transfer. This conclusion is rationalized by a model applicable to multicomponent van der Waals heterostructures.

Statistical Mechanics at Strong Coupling: A Bridge between Landsberg's Energy Levels and Hill's Nanothermodynamics

We review and show the connection between three different theories proposed for the thermodynamic treatment of systems not obeying the additivity ansatz of classical thermodynamics. In the 1950s, Landsberg proposed that when a system comes into contact with a heat bath, its energy levels are redistributed. Based on this idea, he produced an extended thermostatistical framework that accounts for unknown interactions with the environment. A decade later, Hill devised his celebrated nanothermodynamics, where he introduced the concept of subdivision potential, a new thermodynamic variable that accounts for the vanishing additivity of increasingly smaller systems. More recently, a thermostatistical framework at strong coupling has been formulated to account for the presence of the environment through a Hamiltonian of mean force. We show that this modified Hamiltonian yields a temperature-dependent energy landscape as earlier suggested by Landsberg, and it provides a thermostatistical foundation for the subdivision potential, which is the cornerstone of Hill's nanothermodynamics.

Energy Gap Closure of Crystalline Molecular Hydrogen with Pressure

We study the gap closure with pressure of crystalline molecular hydrogen. The gaps are obtained from grand-canonical quantum Monte Carlo methods properly extended to quantum and thermal crystals, simulated by coupled electron ion Monte Carlo methods. Nuclear zero point effects cause a large reduction in the gap (∼2  eV). Depending on the structure, the fundamental indirect gap closes between 380 and 530 GPa for ideal crystals and 330-380 GPa for quantum crystals. Beyond this pressure the system enters into a bad metal phase where the density of states at the Fermi level increases with pressure up to ∼450-500  GPa when the direct gap closes. Our work partially supports the interpretation of recent experiments in high pressure hydrogen.

Exciton-Phonon Coupling in the Ultraviolet Absorption and Emission Spectra of Bulk Hexagonal Boron Nitride

We present an ab initio method to calculate phonon-assisted absorption and emission spectra in the presence of strong excitonic effects. We apply the method to bulk hexagonal BN, which has an indirect band gap and is known for its strong luminescence in the UV range. We first analyze the excitons at the wave vector q[over ¯] of the indirect gap. The coupling of these excitons with the various phonon modes at q[over ¯] is expressed in terms of a product of the mean square displacement of the atoms and the second derivative of the optical response function with respect to atomic displacement along the phonon eigenvectors. The derivatives are calculated numerically with a finite difference scheme in a supercell commensurate with q[over ¯]. We use detailed balance arguments to obtain the intensity ratio between emission and absorption processes. Our results explain recent luminescence experiments and reveal the exciton-phonon coupling channels responsible for the emission lines.

Electron-phonon coupling from finite differences

The interaction between electrons and phonons underlies multiple phenomena in physics, chemistry, and materials science. Examples include superconductivity, electronic transport, and the temperature dependence of optical spectra. A first-principles description of electron-phonon coupling enables the study of the above phenomena with accuracy and material specificity, which can be used to understand experiments and to predict novel effects and functionality. In this topical review, we describe the first-principles calculation of electron-phonon coupling from finite differences. The finite differences approach provides several advantages compared to alternative methods, in particular (i) any underlying electronic structure method can be used, and (ii) terms beyond the lowest order in the electron-phonon interaction can be readily incorporated. But these advantages are associated with a large computational cost that has until recently prevented the widespread adoption of this method. We describe some recent advances, including nondiagonal supercells and thermal lines, that resolve these difficulties, and make the calculation of electron-phonon coupling from finite differences a powerful tool. We review multiple applications of the calculation of electron-phonon coupling from finite differences, including the temperature dependence of optical spectra, superconductivity, charge transport, and the role of defects in semiconductors. These examples illustrate the advantages of finite differences, with cases where semilocal density functional theory is not appropriate for the calculation of electron-phonon coupling and many-body methods such as the GW approximation are required, as well as examples in which higher-order terms in the electron-phonon interaction are essential for an accurate description of the relevant phenomena. We expect that the finite difference approach will play a central role in future studies of the electron-phonon interaction.

Temperature dependence of the electronic structure of semiconductors and insulators

The renormalization of electronic eigenenergies due to electron-phonon coupling (temperature dependence and zero-point motion effect) is sizable in many materials with light atoms. This effect, often neglected in ab initio calculations, can be computed using the perturbation-based Allen-Heine-Cardona theory in the adiabatic or non-adiabatic harmonic approximation. After a short description of the recent progresses in this field and a brief overview of the theory, we focus on the issue of phonon wavevector sampling convergence, until now poorly understood. Indeed, the renormalization is obtained numerically through a slowly converging q-point integration. For non-zero Born effective charges, we show that a divergence appears in the electron-phonon matrix elements at q → Γ, leading to a divergence of the adiabatic renormalization at band extrema. This problem is exacerbated by the slow convergence of Born effective charges with electronic wavevector sampling, which leaves residual Born effective charges in ab initio calculations on materials that are physically devoid of such charges. Here, we propose a solution that improves this convergence. However, for materials where Born effective charges are physically non-zero, the divergence of the renormalization indicates a breakdown of the adiabatic harmonic approximation, which we assess here by switching to the non-adiabatic harmonic approximation. Also, we study the convergence behavior of the renormalization and develop reliable extrapolation schemes to obtain the converged results. Finally, the adiabatic and non-adiabatic theories, with corrections for the slow Born effective charge convergence problem (and the associated divergence) are applied to the study of five semiconductors and insulators: α-AlN, β-AlN, BN, diamond, and silicon. For these five materials, we present the zero-point renormalization, temperature dependence, phonon-induced lifetime broadening, and the renormalized electronic band structure.

Stochastic Approach to Phonon-Assisted Optical Absorption

We develop a first-principles theory of phonon-assisted optical absorption in semiconductors and insulators which incorporates the temperature dependence of the electronic structure. We show that the Hall-Bardeen-Blatt theory of indirect optical absorption and the Allen-Heine theory of temperature-dependent band structures can be derived from the present formalism by retaining only one-phonon processes. We demonstrate this method by calculating the optical absorption coefficient of silicon using an importance sampling Monte Carlo scheme, and we obtain temperature-dependent line shapes and band gaps in good agreement with experiment. The present approach opens the way to predictive calculations of the optical properties of solids at finite temperature.