Origin of layer dependence in band structures of two-dimensional materials
Mit H. Naik, Manish Jain

TL;DR
This paper investigates the origin of layer dependence in the electronic band structures of 2D materials, attributing it to quantum confinement and exchange-correlation effects, and introduces an efficient computational scheme for multilayer systems.
Contribution
It presents a novel method to derive multilayer band structures from monolayer calculations, significantly reducing computational effort.
Findings
The layer dependence arises from quantum confinement and exchange-correlation non-linearity.
The proposed scheme accurately reproduces multilayer band structures with less computational cost.
It enables efficient GW calculations for complex multilayer 2D materials.
Abstract
We study the origin of layer dependence in band structures of two-dimensional materials. We find that the layer dependence, at the density functional theory (DFT) level, is a result of quantum confinement and the non-linearity of the exchange-correlation functional. We use this to develop an efficient scheme for performing DFT and GW calculations of multilayer systems. We show that the DFT and quasiparticle band structures of a multilayer system can be derived from a single calculation on a monolayer of the material. We test this scheme on multilayers of MoS, graphene and phosphorene. This new scheme yields results in excellent agreement with the standard methods at a fraction of the computation cost. This helps overcome the challenge of performing fully converged GW calculations on multilayers of 2D materials, particularly in the case of transition metal dichalcogenides which…
| Bilayer | Trilayer | |||||
| (12121) | IP | EA | Gap | IP | EA | Gap |
| 5.49 | 3.38 | 2.11 | 4.84 | 2.75 | 2.09 | |
| 7.09 | 4.26 | 2.83 | 7.04 | 4.56 | 2.49 | |
| 5.65 | 3.55 | 2.10 | 4.98 | 3.33 | 1.65 | |
| 6.16 | 3.99 | 2.17 | 5.86 | 4.11 | 1.75 | |
| Full | 6.17 | 4.03 | 2.14 | 5.87 | 4.17 | 1.70 |
| Bilayer | Trilayer | |||||
| (24241) | IP | EA | Gap | IP | EA | Gap |
| 6.05 | 4.03 | 2.02 | 5.81 | 4.09 | 1.72 | |
| Bilayer | Trilayer | |||||
|---|---|---|---|---|---|---|
| IP | EA | Gap | IP | EA | Gap | |
| 5.47 | 3.71 | 1.76 | 5.12 | 3.74 | 1.38 | |
| 6.45 | 4.62 | 1.83 | 6.66 | 4.86 | 1.80 | |
| 5.27 | 3.69 | 1.58 | 4.69 | 3.60 | 1.09 | |
| 5.73 | 4.17 | 1.56 | 5.50 | 4.25 | 1.25 | |
| Full | 5.73 | 4.20 | 1.53 | 5.49 | 4.29 | 1.20 |
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Origin of layer dependence in band structures of two-dimensional materials
Mit H. Naik and Manish Jain
Center for Condensed Matter Theory, Department of Physics, Indian Institute of Science, Bangalore 560012
Abstract
We study the origin of layer dependence in band structures of two-dimensional materials. We find that the layer dependence, at the density functional theory (DFT) level, is a result of quantum confinement and the non-linearity of the exchange-correlation functional. We use this to develop an efficient scheme for performing DFT and GW calculations of multilayer systems. We show that the DFT and quasiparticle band structures of a multilayer system can be derived from a single calculation on a monolayer of the material. We test this scheme on multilayers of MoS2, graphene and phosphorene. This new scheme yields results in excellent agreement with the standard methods at a fraction of the computation cost. This helps overcome the challenge of performing fully converged GW calculations on multilayers of 2D materials, particularly in the case of transition metal dichalcogenides which involve very stringent convergence parameters.
pacs:
††preprint:
I Introduction
Two-dimensional (2D) materials have been extensively studied in the last decade Novoselov et al. (2005); Mak et al. (2010); Splendiani et al. (2010); Wang et al. (2012); Jin et al. (2013); Tran et al. (2014); Kuc et al. (2011); Qiu et al. (2013); Tran et al. (2014); Liu et al. (2014) owing to their applications in electronics and optoelectronics Radisavljevic et al. (2011); Li et al. (2014); Roy et al. (2013). 2D materials consist of layers that are held together by weak van der Waals forces. A remarkable feature of these layered materials is the difference in properties of a monolayer compared to multilayers of the same material Mak et al. (2010); Splendiani et al. (2010); Wang et al. (2012); Jin et al. (2013); Ellis et al. (2011); Tran et al. (2014); Kuc et al. (2011); Hong et al. (2016). For instance, monolayer of MoS2 has a direct band gap, while multilayers of MoS2 have an indirect gap Jin et al. (2013); Mak et al. (2010); Splendiani et al. (2010); Ellis et al. (2011); Padilha et al. (2014). Most gapped 2D materials, like transition metal dichalcogenides (TMDCs), hexagonal boron nitride and phosphorene, show an unmistakable reduction in band gap with the number of layers Padilha et al. (2014); Tran et al. (2014, 2015); Kuc et al. (2011); Hong et al. (2016); Splendiani et al. (2010); Mak et al. (2010); Ellis et al. (2011); Komsa and Krasheninnikov (2012); Kang et al. (2016); Fan et al. (2016); Constantinescu et al. (2013).
First principles electronic structure calculations, based on the GW Hedin (1965); *hedin70; Hybertsen and Louie (1986); *PRL.Hybertsen approximation, have resulted in band gaps that are in excellent agreement with experiments Qiu et al. (2013); Tran et al. (2014, 2015); Bradley et al. (2015); Ugeda et al. (2014); Lischner et al. (2013); Ye et al. (2014); Cao et al. (2016) on these materials. Band gaps of these materials calculated using density functional theory (DFT) Hohenberg and Kohn (1964); Kohn and Sham (1965), while underestimated, also show a clear reduction with the number of layers Padilha et al. (2014); Kang et al. (2016); Fan et al. (2016); Kuc et al. (2011); Hong et al. (2016); Constantinescu et al. (2013). Most studies have attributed this reduction in the band gap to quantum confinement Jin et al. (2013); Tran et al. (2014); Kuc et al. (2011); Splendiani et al. (2010). However, there are no studies that quantitatively explain this trend.
The idea of quantum confinement comes from the model of an electron in a one-dimensional box. In multilayer stacks of 2D materials, the confining length of the box is directly proportional to the number of layers. In this context, the increase in the confinement length in multilayers as compared to a monolayer, due the summing of constituent layer potentials, is attributed to quantum confinement. On adding the potentials of constituent layers, the inter-layer spacing creates a finite barrier in the interstitial region between adjacent layers. This barrier with a DFT calculated Hartree potential profile has been used to qualitatively explain the trend in the layer dependence of the band gap in phosphorene Tran et al. (2014). Recently, perturbation approaches Tritsaris et al. (2016); Kang et al. (2016), which need input from explicit multilayer calculations, have been used to study layer dependence of band structures.
Furthermore, in the case of TMDCs, it has been shown that the quasiparticle band gap calculated using the GW approximation converges extremely slowly with the number of unoccupied states, k-point sampling and the screened Coulomb cut-off Qiu et al. (2015, 2016). Performing separate GW calculations for a monolayer, bilayer, trilayer or more with parameters that ensure convergence is computationally very challenging. To study the variation of properties as a function of interlayer spacing or stacking of the layers needs one to repeat the calculation for different parameters. Moreover, GW calculations on heterostructures of 2D materials are presently intractable due to their lattice incommensurability necessitating the use of large supercells of each material. Identifying the origin of layer dependence opens up the possiblity of deriving ground state and excited state properties of multilayer stacks from calculations on a monolayer alone. Doing so would immensely ease the computation cost incurred in performing separate DFT and GW calculations for different configurations of the constituent layers.
We study the physical origin of layer dependence in band structures of 2D materials. We show that while quantum confinement gives qualitatively the right trend, the non-linearity of the functional plays a crucial role in quantitatively determining the layer dependence. We show that within DFT, band structures of multilayer stacks can be derived from a single calculation on a monolayer of the material. We also extend this scheme to obtain quasiparticle energies of multilayer systems from a single GW calculation on a monolayer of the material. We apply this method to understand the layer dependence of band structure in multilayers of a prototypical TMDC, 2H-MoS2, and compare the results to the standard calculations on this material Mak et al. (2010); Splendiani et al. (2010); Wang et al. (2012). We demonstrate the transferability of this scheme by applying it to graphene and phosphorene.
II Computation details
We performed the DFT calculations using the plane-wave pseudopotential method as implemented in Quantum Espresso Giannozzi et al. (2009) package. Norm-conserving pseudpotentials were used in all calculations. The wave functions were expanded in plane-waves with an energy cut-off of 150 Ry for MoS2. For graphene and phosphorene, we used a wavefunction cut-off of 70 Ry and 40 Ry respectively. The local density approximation to the exchange-correlation functional Perdew and Zunger (1981) was used in MoS2 and graphene calculations. For phosphorene we used the Perdew-Burke-Ernzerhof exchange-correlation functional Perdew et al. (1996). The Brillouin zone was sampled with , and k-point grids for MoS2, graphene and phosphorene respectively. We kept the in-plane lattice parameter for each material fixed in all the calculations. The bilayer and trilayer were constructed from the monolayer with the appropriate stacking and inter-layer spacing. No atomic relaxations were allowed in the bilayer and trilayer. The supercell dimension in the out-of-plane direction was fixed at 35Å.
The GW calculations were performed using the BerkeleyGW package Deslippe et al. (2012); Samsonidze et al. (2011). For MoS2, the dielectric function was evaluated with plane waves upto a cutoff of 35 Ry and was extended to finite frequencies using the generalized plasmon pole (GPP) Hybertsen and Louie (1986, 1985) model. The self-energy was constructed using the one shot method. The Coulomb interaction was truncated in the out-of-plane direction Ismail-Beigi (2006). For MoS2 supercell size of 35 Å in the out-of-plane direction, k-point sampling and 8400 valence and conduction states are necessary to ensure convergence Qiu et al. (2016). We perform separate calculations on monolayer, bilayer and trilayer MoS2 with k-point sampling and 6000 valence and conduction states and compare the quasiparticle band structures of bilayer and trilayer with results obtained from the proposed scheme. These parameters, while not fully converged, demonstrate the efficacy of this scheme. We also perform fully converged calculations on a monolayer of MoS2 and derive the band gap, ionization potential and electron affinity of bilayer and trilayer using our scheme. Our fully converged monolayer band gap is in good agreement with previous calculations Qiu et al. (2013, 2016). For phosphorene, we perform separate calculations on monolayer, bilayer and trilayer with k-point sampling, 800 valence and conduction states, and 15 Ry dielectric cutoff. We compare the band gap, ionization potential and electron affinity obtained using our scheme to those obtained from the full calculation. The static remainder technique was used to speed up convergence with the number of bands Deslippe et al. (2013) in all calculations.
III DFT band structures
In order to understand the layer dependence of the DFT band gap, consider a bilayer of MoS2 with constituent layers labelled ’a’ and ’b’ (Fig. 1(a)) He et al. (2014). We perform separate DFT calculations on layer ’a’, layer ’b’ and the bilayer, to obtain the self-consistent charge densities and potentials of each. In Fig. 1(b), we plot the planar averaged charge densities of layer ’a’, layer ’b’, the bilayer. From the figure one can see that the bilayer charge density, , lies on top of the sum of the charge densities of the constituent layers, +, which indicates that there is no significant rearragement of charge in the bilayer compared to the monolayers. Fig. 1(c) shows the planar averaged total DFT potential of the bilayer, . From this figure, it is clear that the sum of the layer potentials, , is not equal to the bilayer potential. The sum of the potentials, as described above, is the use of quantum confinement to obtain the potential for the bilayer. The difference, , is localized to the interstitial region between the two layers where the charge densities overlap. It can not arise from the Hartree potential since it is a linear functional of the charge density and here the charge density of the bilayer is a sum of the charge densities of the individual layers. It can not arise from the ionic potential either, due to the absence of atomic relaxations in the bilayer. The difference must arise due to the non-linearity of the exchange-correlation functional. Fig. 1(d) plots this difference which is an additional barrier between the layers. Fig. 1(d) also plots , showing that this additional barrier indeed comes solely from the exchange-correlation difference. The total bilayer potential can thus be expressed as a sum of the individual layer potentials and . Thus, the layer dependence of properties is an effect of quantum confinement and non-linearity of the functional.
We can construct the DFT Hamiltonian for the bilayer in terms of the potential and charge density of the constituent layers as:
[TABLE]
where is the kinetic energy operator. It should be noted that everything required to construct this Hamiltonian can be obtained from a single monolayer calculation, say on layer ’a’. Based on the relative configuration of atoms in layer ’b’ with respect to layer ’a’, a suitable transformation can be applied on and to obtain and respectively. The wavefunctions of layer ’a’, {}, can similarly be transformed to obtain the wavefunctions of layer ’b’, {}. The Hamiltonian can then be constructed in the basis of the wavefunctions of the two layers, {}, keeping in mind that the wavefunctions of the two layers do not form an orthogonal basis. The generalized eigenvalue problem can be solved to yield eigenvalues and eigenfunctions of the bilayer. This procedure can easily be generalized to N layers: ; where . It is worth noting that while constructing the Hamiltonian we use and not just the planar averaged quantities.
The band structure of monolayer, bilayer and trilayer MoS2 from separate DFT calculations is plotted in Fig. 2 (a), (b) and (c) respectively. The points and are marked halfway between -M and K- respectively. Fig. 2 (d), (e) and (f) similarly show the band structure of monolayer, bilayer and trilayer graphene respectively. Fig. 2 also shows the band structure obtained by neglecting from Eqn. (1). This describes the effect of quantum confinement alone on the layer dependence of the band structures. While it captures the qualitative trends like the transition from direct to indirect band gap in MoS2, it fails to give an accurate layer dependence of the value of the band gap, ionization potentials and level splittings in the band structure. In MoS2, the splittings are overestimated at the conduction band minimum (CBM) of the point and underestimated at the point valence band maximum (VBM). The relative positions of the conduction band edges at the , K and points are also very different from the full DFT calculation. Similarly, in graphene, excluding overestimates the ionization potential and the band splittings. The band structure obtained from the eigenvalues obtained by diagonalizing the constructed Hamiltonian described previously is also plotted in Fig. 2. As can be seen, these band structures are in excellent agreement with the full calculation for MoS2 and graphene. A slight difference upto 5-10 meV is found due to a small rearrangement of charge in the bilayer or trilayer as compared to the sum of the constituent layer charge densities. Hence to obtain the quantitative layer dependence, both the effects of quantum confinement and non-linearity of the exchange-correlation functional need to be accounted for.
The band structures of MoS2 in Fig. 2 show a transition from a direct band gap at K in the monolayer to an indirect band gap from to in the bilayer. The transition is driven by the large splitting of the VBM at the point and CBM at the point. The K point VBM and CBM on the other hand split only slightly. The amount by which a band splits depends on the off-diagonal elements of the multilayer Hamiltonian represented in the basis of the constituent layer wavefunctions and the overlap between the wavefunctions of the constituent layers. The VBM and CBM of the monolayer at K are localised in space, have a large Mo d orbital character [see Fig 3]. The CBM at and VBM at on the other hand have a strong S pz character [see Fig 3]. They are hence more delocalized in the out-of-plane direction and hybridize more with the wavefunctions of other layers than the wavefunctions at K. This leads to the large splittings in the band structure at these points for the bilayer and trilayer [see Fig 2 (b) and (c)]. The VBM and CBM at K, VBM at and CBM at show little to no spliting in the band structures owing to their localized nature [see Fig 3].
IV Quasiparticle band structures
We can extend this method to calculate the quasiparticle energies and band structures. The DFT eigenvalues can be corrected by using the GW approximation to the electron self-energy, Hybertsen and Louie (1986, 1985). For the bilayer, quasiparticle eigenvalues are given by:
[TABLE]
where is the DFT wavefunction corresponding to the eigenvalue and is the corresponding quasiparticle energy. Evaluating with the one-shot method within the GPP approximation Hybertsen and Louie (1986, 1985) requires the bilayer charge density, the bilayer irreducible polarizability, , and wave functions of the bilayer, .
We now show that all the required quantities can be approximated from the quantities obtained from a monolayer calculation, say on layer ’a’. The procedure to obtain and is as described before. The bilayer self-energy can be written as a sum over the individual self-energies of the layers and a correction term:
[TABLE]
can be computed directly from monolayer irreducible polarizability, , and . To compute , we obtain , and by applying transformations similar to the ones described above to , and respectively. The correction term, contains information on the interaction between the layers. Due to the weak coupling between the layers, we expect to be a small correction (compared to ). We can evaluate at various levels of approximation. It can be evaluated at the DFT level by ; or assuming just exchange interaction between the layers ; or within the static limit of GW (COHSEX) ; or within full GW. The only additional quantity needed in some of these approximations is, , which can be approximated as a sum of the irreducible polarizability of constituent layers: Lischner et al. (2013); Ugeda et al. (2014). This method can easily be extended to calculate band structures of n layers by computing . can then be evaluated at an appropriate level of approximation.
Table 1 shows the ionization potential, electron affinity and band gap for bilayer and trilayer MoS2 for different approximations to . We compare them to the full GW calculation on these systems. = and show good agreement with the converged gap for the bilayer but fail to give the right ionization potential (IP) and electron affinity (EA). The COHSEX approximation to works well for the band gap in trilayer too, but again falls short in the ionization potential and electron affinity. The difference in band gap obtained using and shows that correlation plays an important role in the interaction between the layers. As the next level of approximation, we compute using GW with a few number, , of conduction states. We find that a small = 800 is sufficient to converge the bilayer and trilayer MoS2 self-energies. Fig 4 (a) and 4 (b) show this convergence. It should be noted that the small number of states are used here only to compute the . We do not calculate with a few unoccupied states. The bilayer irreducible polarizability is constructed with the converged monolayer irreducible polarizabilities. With this approximation, we obtain the IP, EA and band gap in good agreement with the full calculation [see Table 1]. A major computational bottleneck in performing separate GW calculations for the monolayer, bilayer and trilayer is the generation of the large number of unoccupied bands on a fine k-point grid and using these to compute the irreducible polarizability. This scheme completely does away with the need to regenerate the unoccupied bands and the polarizability for the bilayer and trilayer once we have the same for a monolayer. Fig 4 (d) and (e) compare the bilayer and trilayer MoS2 quasiparticle band structures obtained using this scheme with those obtained from full calculations on these. The eigenvalues are in good agreement with the full GW calculation, upto 100 meV, and obtained at a small fraction of the computation cost. Note that the results in Fig 4 and Table 1 were obtained with slightly softened convergence parameters (see Computation details section). We also perform a monolayer calculation with the fully converged parameters and use this scheme to derive the band gap, IP and EA for bilayer and trilayer [see Table 1]. The converged IP, EA and band gap for the monolayer are found to be 6.76, 4.02 and 2.74 eV respectively. The band gap for the monolayer is found to be in good agreement with previous calculations Qiu et al. (2013, 2016).
Table 2 compares the IP, EA and band gap for bilayer and trilayer phosphorene obtained using this scheme to those obtained from the full calculation on these. Here we find that = 300 is sufficient to converge the bilayer and trilayer self-energies. The COHSEX approximation to again shows good agreement with the full calculation for the band gap (upto 100 meV), but fails to give the right IP and EA. Evaluating at the COHSEX level thus seems to be a consistent approximation to obtain the converged quasiparticle band gap.
V Interlayer spacing dependence in bilayer
The transition in bilayer MoS2, from interacting monolayers to non-interacting ones can be studied by gradually increasing the interlayer spacing. Fig. 5 shows the evolution of the DFT band structure, charge density and potential of bilayer MoS2 as a function of increasing interlayer spacing, d. The equilibrium spacing is Å. As the spacing between the layers increase, the interaction between them weakens and the splitting of the valence bands at and the conduction bands at reduces. This leads to a band gap transition from to to . At d = 7.5 , the charge densities of the two layers stop overlapping, but the potential barrier between the layers is not zero. At this point the layers are weakly interacting and the nature of interaction within DFT is purely due to quantum confinement; is zero. At d = 9 and above, the two layers are completely non-interacting at the DFT level and the gap is that of monolayer MoS2.
We construct the bilayer self energy at different interlayer spacings using the various approximations to . The gap thus computed is shown in Fig. 6 (a). In the approximation of and , the layers become non interacting once the charge densities of the two layers stop overlapping. Thus the gap in this approximation goes to the monolayer gap for spacing larger than d = 7.5 Å. The approximations of and include the long range correlation interaction between the layers. The band gap computed in these approximations thus show a slower convergence to the monolayer gap with increasing interlayer spacing. Note that these calculations are performed using a coarser 12121 k-point sampling and 6000 bands, leading to an overestimate of the monolayer gap in Fig. 6. Fig. 6 (b) shows the VBM and CBM levels computed using , as a function of increasing interlayer spacing. The bilayer CBM shows a weak dependence on the interlayer spacing and is already aligned with the monolayer CBM, while the bilayer VBM shows a slow convergence towards the monolayer VBM as the spacing is increased. This is similar to the effect of a metallic substrate on a molecule, where DFT shows no renormalization of the band gap but accounting for correlation effects in GW shows a significant renormalization Thygesen and Rubio (2009); Neaton et al. (2006); Rohlfing (2012). The renormalization of the molecular levels is due to screening from image charge effects, arising from the metal substrate. In the bilayer MoS2 system, similarly, one monolayer feels the screening from the other.
VI Conclusion
We studied the origin of layer dependence in band structures of 2D layered materials and developed a scheme to derive multilayer properties from calculations on a monolayer alone. We showed that the observed trend in layer dependence within DFT is a combined effect of quantum confinement and non-linearity of the DFT exchange-correlation functional. We also constructed the electron self energy for multilayers in terms of monolayer irreducible polarizability, charge density and wavefunctions. The DFT and quasiparticle band structures obtained using this scheme are in excellent agreement with those from the full calculation. The advantage of this scheme is that it can provide accurate results operating at a small fraction of the computation cost of a full calculation on multilayer systems. We show that using this scheme, one is able to capture the long range correlation effects within GW which leads to a significant renormalization of the gap even when DFT finds the layers to be non-interacting at larger interlayer spacings. This scheme can also be useful to study the variation in band structure as a function of stacking between the layers. Furthermore, it can be extended to study the nature of interaction between layers in heterostructures of these materials. It paves a way to derive properties of a heterostructure from just unit cell calculations on the constituent materials. This scheme is a promising tool to study multilayers and layer dependence of properties in the growing family of 2D layered materials.
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