# Density Modulations and Addition Spectra of Interacting Electrons in Disordered Quantum Dots

## Abstract

We analyse the ground state of spinless fermions on a lattice in a weakly disordered potential, interacting via a nearest neighbour interaction, by applying the self-consistent Hartree-Fock approximation. We find that charge density modulations emerge progressively when $`r_s1`$, even away from half-filling, with only short-range density correlations. Classical geometry dependent magic numbers can show up in the addition spectrum which are remarkably robust against quantum fluctuations and disorder averaging.

PACS Numbers: 73.20Dx, 73.23Hk

The interplay of disorder and interactions in two dimensional Fermi systems is currently a central problem in condensed matter physics. Mesoscopic systems provide a unique forum for analysing ground state properties as it is possible to access the regime $`kT\mathrm{\Delta }`$, where $`\mathrm{\Delta }`$ is the mean single particle level spacing. Examples include the study of low temperature persistent currents and magnetic response in small quantum rings and dots, and low bias measurements of the d.c. response  and capacitance  of weakly coupled quantum dots. The latter experiments made it possible to access directly the energy differences $`\mu _N`$ between ground states of $`N`$ and $`N1`$ particles: $`\mu _N=E(N)E(N1)`$. The addition spectrum, $`_i\delta (\mu \mu _i)`$, depends sensitively on the nature of the mesoscopic ground state .

Resonant tunnelling measurements of the addition spectrum  have resulted in some interesting observations. Whilst the mean peak spacings are well described by the constant interaction model , the fluctuations are not. In  the averaging was carried out over $`N`$, whereas in  the results were also averaged over sample geometry. The experimental data  indicates the existence of atypical addition spectrum spacings at certain values of $`N`$, suggesting that averaging over disorder may not be equivalent to averaging over $`N`$ (the ergodicity principle  is violated). Theoretical and numerical studies  attempted to address various aspects of the problem.

In the capacitance experiments of Ref., the measured addition spectra display bunching, an indication that the Coulomb blockade becomes negative between one or more consecutive electron addition peaks; in the experiment, these peaks then coalesce. Such bunching is in direct conflict with the naive picture combining the constant interaction model with ergodic effective single-particle wavefunctions. It has been shown  that a classical charge model can reproduce many of the observed effects, but there is currently no quantum mechanical explanation as the experiments are carried out at densities considered too high to form a Wigner solid (in the case of a Coulomb bare interaction see ref., for a short-ranged potential one might expect a Wigner solid to be less stable).

Motivated by these experiments, but not attempting to reproduce specific details thereof, we analyse the nature of the ground state by applying the self-consistent Hartree-Fock (SCHF) approximation. We are thus able to go beyond the random phase approximation (RPA) with perturbation theory (valid for large dimensionless conductance $`g`$, and small $`r_s`$ ), whilst considering larger systems than is feasible by exact methods. Experimental values of $`r_s>1`$ have indeed been reported . Starting from a noninteracting model, we find that as the interaction strength is increased such that $`r_s1`$ (but still too weak to form a Wigner solid), the electron gas crosses over to a regime where: (i) there are significant spatial density modulations; (ii) density-density correlation functions seem to saturate, defining only short range order; (iii) the addition spectrum becomes strongly $`N`$ dependent, with magic numbers for which $`\mathrm{\Delta }_2(N)\mu _{N+1}\mu _N`$ exhibits sharp maxima that coincide with the related classical charge model.

Recent reports of exact numerical studies  have emphasised that the properties of quantum dots which are not reproduced by effective single-particle random-matrix-like theories are associated with the emergence of short range correlations. Our results support this claim, but the main thrust here is related to (iii): some deviations from RPA behaviour have a direct classical electrostatic counterpart. The signature of the latter is not totally washed out by quantum fluctuations even far from the Wigner crystalisation threshold.

We consider the following tight binding Hamiltonian for spinless fermions with periodic boundary conditions:

$$H=\underset{i}{}w_ic_i^+c_it\underset{ij}{}c_i^+c_j+\frac{U}{2}\underset{ij}{}c_i^+c_j^+c_jc_i$$
(1)   
where $`ij`$ denotes pairs of nearest neighbours, $`w_i`$ is the random on-site energy in the range $`[W/2,W/2]`$, and $`t`$ the hopping matrix element. All lengths are measured in units of the lattice constant $`a`$, so that $`U=e^2/a`$ and $`t=\mathrm{}^2/2ma^2`$. For low filling (i.e. a parabolic band) we find $`r_s=U/(t\sqrt{4\pi \nu })`$  where $`\nu =N/A`$ is the filling factor, for $`N`$ electrons in an area $`A`$. For the non-interacting system we find $`g=k_Fl/2=96\pi \nu (t/W)^2`$ by applying the Born approximation (valid for $`1gA`$); $`k_F=\sqrt{4\pi \nu }`$ and $`l`$ is the elastic mean free path. In the capacitance measurements , the $`2d`$ quantum dots was sandwiched between a metallic source (heavily doped $`n^+`$ GaAs) and drain (Cr/Au), separated, at distances comparable with the mean particle separation, by tunnel barriers. To account for external sources of screening (taken as half planes), one can insert a bare interaction between electrons in the dot that is dipolar ($`1/r^3`$) at distances greater than the dot to gate separation when there is only one close gate, and in the case of two close gates with exponentially small long range interactions . Here we model such interactions with a nearest-neighbour pair potential.

The ground state is obtained in the SCHF approximation, over a range of densities and disorder strengths at zero magnetic field. The generalised inverse participation ratio (GIPR) is then calculated according to the following definition:

$$\frac{1}{\nu ^2A}\underset{i}{}\rho (𝐫_i)^2,$$
(2)   
where $`\rho (𝐫_i)`$ denotes the expectation value of the total density at the lattice site $`i`$. The angle brackets correspond to an average over the disorder ensemble. The GIPR provides a convenient measure of the degree of density modulation: in the limit of a perfectly flat density profile it takes the value unity, and increases for a modulated density. The maximal value that can be obtained for the GIPR occurs when all the charge is concentrated on only $`N`$ sites, in which case $`=1/\nu `$.

The GIPR is plotted for a range of disorder strengths in Fig. 1. For $`\nu =1/4`$ it increases rapidly between $`U1`$ and $`U5`$ depending on the disorder strength, then gives way to a weak interaction dependence for $`U5`$. For comparison we also plot results for an identical system but with bare Coulomb interactions, such that the interaction potentials are both equal to $`U`$ between nearest neighbour sites: the relative rapidity of the increase of $``$ for nearest neighbour interactions is clear. The increase in the GIPR signals an increase in the spatial modulation of the total electron density, we shall refer to the increased density modulation at finite $`U`$ as a charge density modulation (CDM) .

At zero interaction we find $`11/g`$ for large $`g`$ (not shown). Within our numerical accuracy we were unable to find a consistent size dependence in the GIPR, suggesting that disorder is the dominant mechanism controlling the small to large $`U`$ cross-over, as seen in fig. 1 .

The GIPR yields no information on the spatial structure of the ground state, for which we evaluate the density-density correlation function defined as

$$𝒞(r)=\rho (r)\rho (0)_c/\rho (0)^2_c.$$
(3)   
The subscript $`c`$ indicates that only connected averages are included, and here, due to the homogeneity of the disorder averaged potential, the correlation function depends only on the vector separation $`𝐫`$. We only consider $`𝐫`$ to be directed along a lattice vector (1,0). A typical result for the correlation function is plotted in Fig. 2. As the interaction strength is increased, short range correlation develop, and then saturate. The underlying square lattice excludes the possibility of observing incipient Wigner crystal fluctuations, which possess the symmetry of a triangular lattice.

Comparing figures 1 and 2, one can see that the short ranged correlations develop over the same range of interaction strength as the rapid increase in $``$. We did find that on rare occasions a further rearrangement occurs at larger interaction values, but it is not clear whether this is a genuine effect which for larger systems would become correspondingly less rare, or a manifestation of metastable configurations.

Let us now look at the longer range behaviour of $`𝒞(r)`$. At half filling it has been claimed that in clean infinite lattice systems a second order transition to a crystalline state occurs at strong interactions . In disordered systems, evidence of at least short range order has been seen in exact calculations on small systems . Within the SCHF approximation we find no decay of correlations. It is well known that at half filling, nesting of the Fermi surface leads to a $`2k_F`$ charge density wave instability, but away from half filling this nesting does not occur. In fig.2 it can be seen that, in the presence of disorder, there exists no long range order in the SCHF ground state for $`\nu =1/4`$. This however, is also true of the related classical system (i.e. $`t=0`$ and $`W/U0`$ in the Hamiltonian (1)), where one expects the formation of a non-crystalline solid. One way to establish whether the electrons possess solid- or liquid- like correlations is to analyse the excited states of the system. However, to show that classical results can provide information on the SCHF ground state away from half filling, at least when the particle packing is compact, we consider the appearance of geometrical frustration, where the ground state of the classical system contains line defects with respect to a pure crystal. These defects lead to the disappearance of long-ranged order, but at the same time give rise to magic filling factors where $`\mathrm{\Delta }_2(N)`$ exhibits large fluctuations.

This brings us to the central observation of this study, namely, the strong geometry and filling factor dependent fluctuations that can arise in the average addition spectrum spacing $`\mathrm{\Delta }_2(N)`$ as the interaction strength is increased . Consider first a collection of classical charges, on a square lattice, with nearest neighbour interactions. If the lattice is a torus with $`2n\times 2m`$ sites, it is possible to insert up to $`2nm`$ particles without incurring an energy cost. The remaining $`2mn`$ particles cost an additional $`4U`$ to add, so that $`\mathrm{\Delta }_2(N)`$ displays a peak, $`𝒪(U)`$, at $`N=2nm`$. If on the other hand one of the sides (or both) of the lattice is odd (e.g. $`(2n+1)\times (2m+1)`$) the maximum number of particles that can be added without nearest neighbours is reduced. It is not difficult to see that such a maximally filled configuration contains a line defect and long range order is lost. In other words, the lattice of sites without nearest neighbours is incommensurate with the underlying lattice. In the commensurate case, the quantum system also shows a peak in $`\mathrm{\Delta }_2(N)`$ at half filling, but the nesting of the Fermi surface in the non-interacting system also makes this filling special. We show below that in the incommensurate case we find that within the SCHF approximation, remnants of the peaks at the magic filling factors in the related classical model are visible far from the classical limit, despite the lack of nesting.

We consider a lattice of the type $`(2n+1)\times (2n+1)`$ as an example, the predictions for other incommensurate lattices are easily obtained. In the classical limit with nearest neighbour interactions the first $`n(2n+1)`$ particles can be added with no interaction energy cost, the next $`2n+1`$ particles cost an additional $`2U`$, and the rest cost an additional $`4U`$. As a result, in the classical limit, $`\mathrm{\Delta }_2(n(2n+1))`$ (as well as $`\mathrm{\Delta }_2((n+1)(2n+1))`$) is significantly larger than all other values of $`\mathrm{\Delta }_2(N)`$ . In our calculations we include a trivial constant interaction term to make the results easier to read. In Fig. 3, we plot some typical results for $`\mathrm{\Delta }_2(N)`$ for a $`7\times 7`$ lattice, which shows that for $`U2`$ remnants of this classical effect can be seen clearly at the predicted filling $`N=21`$.

Similar behaviour has been observed for other sample sizes and geometries. Although these results correspond to a density regime where quantum fluctuations are predominant, the structure in $`\mathrm{\Delta }_2(N)`$ agrees qualitatively with that of the classical counterpart. One might expect that extending the range of the interaction will give rise to a more intricate classical structure, but with correspondingly smaller amplitude which is thus more easily washed out by quantum fluctuations. This question is left for a future study. In previous work  the results of  were reproduced by interacting classical charges in a parabolic potential. In this case the the source of magic numbers incorporated the existence of topological defects in the ground state, as well as the interplay with the confining potential. It was not a priori clear why such a classical model should prove useful, but our work suggests that quantum fluctuations strong enough to destablise a Wigner solid may not completely wash out these effects.

In summary, we show that the metallic ground state develops charge density modulations, controlled by the electron-electron interaction, at densities $`r_s1`$ depending on disorder. The development of the CDMs with increasing $`r_s`$ is more rapid for short-range interactions, presumably because of the large gradient of the interaction potential. We also show that away from half filling, the CDMs are associated with short range order only. Elsewhere , it has been demonstrated that the existence of these CDMs result in unusual fluctuations of $`\mathrm{\Delta }_2`$ over the disorder ensemble. Finally, we demonstrate that topological defects in the equivalent classical system occur in the CDM, and that they result in strong filling factor and geometry dependent fluctuations in $`\mathrm{\Delta }_2`$, clearly visible for $`U2`$. It seems clear that the ergodicity principle  fails in this case, and so disorder averaging and averaging over $`N`$ are not equivalent. These results lend support to the classical analysis of Ref., which suggests that the behaviour seen in the experiments of Ref., is due to topological defects in the classical ground state configuration. We stress however, that bunching is not generated in the geometry that we consider.

It is a pleasure to acknowledge discussions with A. Finkelstein, S. Levit, B. Shklovskii and U. Sivan. This work was supported by EU TMR fellowship ERBFMBICT961202, the German-Israeli Foundation, the DFG as part of SFB195, the Israel Academy of Sciences and Humanities Center for ‘Strongly Correlated Interacting Electrons in Restricted Geometries’ and the Minerva Foundation. Many of the calculations were made using IDRIS facilities.