Table Of Content89
Springer Series in Solid-State Sciences
Edited by Peter Fulde and K. Alex Muller
Springer Series in Solid-State Sciences
Editors: M. Cardona P. Fulde K. von Klitzing H.-J. Queisser
Managing Editor: H. K. V. Lotsch Volumes 1-49 are listed on the back inside cover
50 Multiple Diffraction of X-Rays in Crystals 69 Nonlinearity in Condensed Matter
By Shih-Lin Chang Editors: A.R. Bishop, D.K. Campbell,
51 Phonon Scattering in Condensed Matter P. Kumar. and S.E. Trullinger
Editors: W. Eisenmenger. K. LaBmann, 70 From Hamiltonians to Phase Diagrams
and S. Dbttinger The Electronic and Statistical-Mechanical
52 Superconductivity in Magnetic and Exotic Theory of sp-Bonded Metals and Alloys
Materials By J. Hafner
Editors: T. Matsubara and A. Kotani 71 High Magnetic Fields in Semicondnctor Physics
53 Two-Dimensional Systems, Heterostructures, Editor: G. Landwehr
and Superlattices 72 One-Dimensional Conductors
Editors: G. Bauer, F. Kuchar, and H. Heinrich By S. Kagoshima, H. Nagasawa,
54 Magnetic Excitations and Fluctuations and T. Sambongi
Editors: S. Lovesey, U. Balucani, F. Borsa. 73 Quantum Solid-State Physics
and V. Tognctti Editors: S. V. Vonsovsky and M.1. Katsnelson
55 The Theory of Magnetism II 74 Quantum Monte Carlo Methods in Equilibrium
Thermodynamics and Statistical Mechanics and Nonequilibrium Systems
By D. C. Mattis Editor: M. Suzuki
56 Spin Fluctuations in Itinerant Electron 75 Electronic Structure and Optical Properties of
Magnetism By T. Moriya Semiconductors
57 Poly crystalline Semiconductors, By M. L. Cohen and J. R. Chelikowsky
Physical Properties and Applications 76 Electronic Properties of Conjugated Polymers
Editor: G. Harbeke Editors: H. Kuzmany, M. Mehring, and S. Roth
58 The Recursion Method and Its Applications 77 Fermi Surface Effects
Editors: D. Pettifor and D. Weaire Editors: J. Kondo and A. Yoshimori
59 Dynamical Processes and 78 Group Theory and Its Applications in Physics
Ordering on Solid Surfaces By T. lnui. Y. Tanabe, and Y. Onodera
Editors: A. Yoshimori and M. Tsukada
79 Elementary Excitations in Quantum Fluids
60 Excitonic Processes iu Solids Editors: K. Ohbayashi and M. Watabe
By M. Ueta, H. Kanzaki, K. Kobayashi.
80 Monte Carlo Simnlation in Statistical Physics
Y. Toyozawa, and E. Hanamura
An Introduction
61 Localization, Interaction, and
By K. Binder and D. W. Heermann
Transport Phenomena
81 Core-Level Spectroscopy in Condensed Systems
Editors: B. Kramer, G. Bergmann.
Editors: J. Kanamori and A. Kotani
and Y. Bruynseraede
82 Introduction to Photoemission Spectroscopy
62 Theory of Heavy Fermions
By S. Hufner
and Valence Fluctuations
Editors: T. Kasuya and T. Saso 83 Physics and Technology of Submicron Structures
Editors: H. Heinrich, G. Bauer, and F. Kuchar
63 Electronic Properties of
Polymers aud Related Compounds 84 Beyond the Crystalline State
Editors: H. Kuzmany, M. Mehring, and S. Roth An Emerging Perspective
64 Symmetries in Physics Group Theory By G. Venkataraman, D. Sahoo, and
Applied to Physical Problems V. Balakrishnan
By W. Ludwig and C. Falter 85 The Fractional Quantum Hall Effect
65 Phonons: Theory and Experiments II Properties of an Incompressible Quantum Fluid
Experiments and Interpretation of By T. Chakraborty and P. Pietiliiinen
Experimental Results By P. Bruesch 86 The Quantum Statistics of Dynamic Processes
66 Phonons: Theory and Experiments III By E. Fick and G. Sauermann
Phenomena Related to Phonons 87 High Magnetic Fields in Semiconductor Physics II
By P. Bruesch Transport and Optics Editor: G. Landwehr
67 Two-Dimensional Systems: Physics 88 Organic Superconductors
and New Devices By T. Ishiguro and K. Yamaji
Editors: G. Bauer. F. Kuchar, and H. Heinrich 89 Strong Correlation and Superconductivity
68 Phonon Scattering in Condensed Matter V Editors: H. Fukuyama, S. Maekawa, and
Editors: A. C. Anderson and J. P. Wolfe A. P. Malozemoff
Strong Correlation
and Superconductivity
Proceedings of the
IBM Japan International Symposium,
Mt. Fuji, Japan, 21-25 May, 1989
Editors: H. Fukuyama, S. Maekawa,
and A. P. Malozemoff
With 198 Figures
Springer-Verlag Berlin Heidelberg New York
London Paris Tokyo Hong Kong
Professor H. Fukuyama
Institute for Solid State Physics, University of Tokyo, 7-22-1 Roppongi, Minatu-ku
Tokyo 106, Japan
Professor S. Maekawa
Department of Applied Physics, Nagoya University, Nagoya 464-01, Japan
Dr. A. P. Malozemoff
IBM, Thomas J. Watson Research Center, Yorktown Heights, NY 10598-0218, USA
Guest Editor:
Professor Dr. h. c. mult. K. Alex Muller
IBM, Zurich Research Lab., CH-8803 Ruschlikon, Switzerland
Series Editors:
Professor Dr., Dres. h. c. Manuel Cardona
Professor Dr., Dr. h. c. Peter Fulde
Professor Dr., Dr. h. c. Klaus von Klitzing
Professor Dr. Hans-Joachim Queisser
Max-Planck-Institut fur Festkorperforschung, Heisenbergstrasse 1
D-7000 Stuttgart 80, Fed. Rep. of Germany
Managing Editor:
Dr. Helmut K. V. Lotsch
Springer-Verlag, Tiergartenstrasse 17, D-6900 Heidelberg, Fed. Rep. of Germany
ISBN-13:978-3-642-83838-5 e-ISBN-13 :978-3-642-83836-1
DOl: 10.1007/978-3-642-83836-1
This work is subject to copyright. All rights are reserved, whether the whole or part of the material is
concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting,
reproduction on microfilms or in other ways, and storage in data banks. Duplication of this publication or
parts thereof is only permitted under the provisions ofthe German Copyright Law of September 9, 1965, in
its version of June 24,1985, and a copyright fee must always be paid. Violations fall under the prosecution
act of the German Copyright Law.
© Springer-Verlag Berlin Heidelberg 1989
Softcover reprint of the hardcover 1st edition 1989
The use of registered names, trademarks, etc. in this publication does not imply, even in the absence of a
specific statement, that such names are exempt from the relevant protective laws and regulations and
therefore free for general use.
2154/3150-543210-Printed on acid-free paper
Preface
This volume contains the proceedings of the ffiM Japan International Sympo
sium on Strong Correlation and Superconductivity, which was held in Keidan
ren Guest House at the foot of Mt. Fuji, May 21-25, 1989.
The purpose of the Symposium was to provide an opportunity for discus
sions on the problem of strong correlation of electrons in the context of high-Tc
superconductivity. Sixty-eight scientists were invited from seven countries and
forty-three papers were presented in the Symposium.
Soon after the discovery ofhigh-Tc superconducting oxides, Professor P.W.
Anderson proposed that the essence of high-Tc superconductivity lies in the
strong correlation among the electrons in these materials. This proposal has
stimulated a wide range of theoretical investigations on this profound and dif
ficult problem, which are expected to lead eventually to new concepts describ
ing strong electron correlation. In the Symposium, Anderson himself started
lively discussions by his talk entitled "Myth and Reality in High-Tc Supercon
ductivity", which was followed by various reports on theoretical studies and
experimental results. Concise and thoughtful summaries of experiment and
theory were given by Professors H.R. Ott and P.A. Lee, respectively. It is our
hope that this volume reflects the present status of the research activity on this
outstanding problem from the viewpoint of the basic physics and that it will
further stimulate the effort to understand these fascinating systems, the high-Tc
oxides.
We would like to thank all participants, who made the Symposium very
stimulating. In the process of identifying its scope and forming the program,
we received valuable advice from the members of the advisory committee:
Professor P.W. Anderson of Princeton University, Dr. L. Esaki of the ffiM
Watson Research Center and Professor R. Kubo of Keio University, to whom
we are deeply indebted. Last but not least, on behalf of all participants, we
would like to express our sm6ere gratitude to ffiM Japan for its financial and
organizational support which made this symposium possible, and to its mem
bers, Mr. T. Takeda, Mr. S. Ohno and Mr. A. Nemoto, who so attentively and
finely steered every detail of the unforgettable gathering. Additional thanks
are due to the authors of the manuscripts in this volume, especially for their
promptness, which made the rapid publication possible.
June, 1989 H. Fukuyama
S.Maekawa
A.P. MalozemoJf
v
Conference Organization
Advisory Committee
P.W. Anderson (Princeton University)
L. Esaki (IBM, TJ. Watson Research Center)
R. Kubo (Keio University)
Executive Committee
H. Fukuyama (ISSP, University of Tokyo)
S. Maekawa (Nagoya University)
A.P. Malozemoff (IBM, TJ. Watson Research Center)
Secretariat
T. Takeda (IBM Japan)
S.Ohno (IBM Japan)
A. Nemoto (IBM Japan)
VI
Word of Welcome by Leo Esaki
Ladies and Gentlemen,
As a Board Member of mM Japan and one of the organizers of this meeting,
I am honored to welcome all of you coming to this mM Japan Symposium
on Strong Correlation and Superconductivity. I am particularly happy to see
many overseas participants~
Looking back on the 1980s one can see a few remarkable achievements
which are considered milestones in solid-state physics research. In the semi
conductor area, the quantized Hall effect, including the observation of fractional
quantization, in the two-dimensional electronic system, and the evolution of
synthesized superlattices, quantum wells, wires and dots, perhaps, belong to
this category. In surface physics, the development of the scanning tunneling
microscope made a profound impact on understanding the surface structure by
unprecedented visualization. One of the most recent examples is obviously
the discovery of new superconducting rare-earth copper oxides by Bednorz
and Milller, which has sparked intensive world-wide investigations of these
heavily-doped semiconductor-like materials because they exhibit remarkably
high transition temperatures. We notice that the time interval between their
1986 discovery at ZUrich and the 1987 Nobel Prize at Stockholm was very
short. This indeed reflects the accelerated pace of scientific progress, where
international exchange has played a significant role.
Today, one of the most focused efforts in the physics community is the
search for new mechanisms to account for such high transition temperatures
with anomalously small isotope effects. The scope of this symposium is pre
cisely along this line. In this context, P.W. Anderson first pointed out that
superconductivity could occur near a metal-insulator transition, where the insu
lating phase is the resonating-valence-bond (RVB) state which he hypothesized
in 1973. Since then, this inspiring proposal has been at the center of excited the
oretical discussions. H. Fukuyarna and S. Maekawa, who have been stimulated
by this work of Anderson, were instrumental in organizing this symposium.
I must say that Japan is a most suitable country in which to hold this sym
posium because it is a country that consists of a strongly correlated human
system. A few years ago, I wrote a casual article entitled "Why the West Mis
reads Japan" [The Bridge 14,2 (1984), a publication of NAB]. In this article,
I pointed out that this group-conscious society generates a kind of collective
mode in industry and government and even in academia to perform work, which
VII
you do not see often in the West. One may call this the Japanese mode. I would
like to quote from the article:
"This tenn may be explained more precisely by using the analogy of phe
nomena in solid-state physics. Long ago physicists figured out how to explain
elementary processes involving a limited number of particles such as interac
tions among a few charged particles, gravitational motion of the solar system,
etc. Contemporary solid-state physicists, however, are more interested in un
derstanding cooperative phenomena caused by a large number of particles -
a collective group. Intriguing phenomena such as superconductivity ... cannot
occur except in a collective mode. Let us call the fonner (elementary pro
cess) the single-particle effect and the latter the many-body effect. It is the
many-body effect that predominates in Japanese society, where the constitu
tive individuals are modified in their behavior and the whole is more than the
simple sum of its parts. The homogeneity and high density of Japan's popu
lation certainly help to promote cooperative interactions. In the United States,
the single-particle effect plays a dominant role. The United States was built
largely by outstanding individual personalities."
In short, I am saying that you can see a room-temperature superconducting
mode in the Japanese society.
Now, I should mention that this seminar house is owned by the powerful
Keidanren, Federation of Japanese industrial giants, the spiritual center of this
superconducting mode. Some Americans say that these finns, with little basic
research, are innovative challengers to U.S. companies. Nevertheless, they
built this house for their people to discuss difficult problems in their strongly
correlated systems. I am sure you will agree with me that this is a most ideal
place to have a lively discussion on Strong Correlation and Superconductivity.
IT they always reach a successful conclusion in discussions here, why shouldn't
we too?
Before closing my talk, I would like to express my gratitude to all members
of the Advisory and Executive Committees for their efforts, particularly, A.P.
Malozemoff on the U.S. side and A. Nemoto on the Japan side for their handling
of major and minor technical matters. I hope fruitful discussions will take place
during the symposium and also hope all of you enjoy your stay in Japan.
VIII
Contents
Part I Overview
Myth and Reality in High-Tc Superconductivity
By P.W. Anderson ................................... 2
Part II Theory
Recent Advances in the Stability and Properties of Commensurate Flux
Phases
By P. Lederer, D. Poilblanc, and T.M. Rice .................. 16
U(I) Gauge Field, t'-J Model and Superconductivity
By P.A. Lee ....................................... 23
Spectroscopic and Theoretical Estimates of Parameters in Model
Hamiltonians Describing the High and Low Energy Scale Physics of
Doped Cu02 Planes
By L.H. Tjeng, H. Eskes, and G.A. Sawatzky (With 3 Figures) 33
Effective Hamiltonian for High-T c Cu Oxides
By H. Fukuyama and H. Matsukawa (With 7 Figures) 45
The Madelung Energy of CU-O Based Compounds
By J. Kondo (With 3 Figures) ........................... 57
Electronic Properties in the Cu-Oxide Superconductors
By S. Maekawa, J. Inoue, and T. Tohyama (With 9 Figures) ....... 66
Core-Level Spectroscopy in High-T c Superconducting Materials
By A. Kotani, K. Okada, S. Tanaka, and Y. Seino (With 8 Figures) 77
Dispersive Single-Particle Excitations in Strongly Correlated Two
Dimensional Systems
By Y. Kuramoto and H.J. Schmidt (With 3 Figures) ............ 88
Magnetism and Superconductivity in Strongly Correlated Systems in
One and Two Dimensions
By M. Imada (With 3 Figures) ........................... 98
Characteristics of the Charged Hole in the One-Dimensional Mott
Insulator
By N. Kawakami and A. Okiji (With 3 Figures) ............... 105
IX
On the Application of Projection Techniques to the Electron Correlation
Problem
By K.W. Becker and P. Fulde (With 2 Figures) ............... 115
Slave-Fermion Mean Field Theory of the Hubbard Model
By D. Yoshioka (With 3 Figures) ......................... 124
Disorder and Interactions in the Hubbard Model
By G.T. Zimanyi and E. Abrahams ........................ 132
Characteristic Features of Electronic States in High-T c Superconducting
Oxides
By M. Tachiki (With 3 Figures) .......................... 138
Anderson Lattice Model of High-T c Superconductors
By D.M. Newns and P.e. Pattnaik (With 16 Figures) . . . . . . . . . . .. 146
Quasi-Particles in the Degenerate Lattice Anderson Model
By Y. Kuroda, Y. Ono, T. Matsuura, and H. Jichu (With 4 Figures) 167
Experimental Constraints and Theory of Layered High-Tc
Superconductors
By T. Schneider and M. Frick (With 5 Figures) ............... 176
Part III Experiments
Physical Properties of High-Tc Oxide Superconductors - Effect of
Doping on the Electronic State
By S. Uchida, H. Takagi, Y. Tokura, N. Koshihara, and T. Arima
(With 9 Figures) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 194
Andreev Reflection, Thermal Conductivity, Torque Magnetometry, and
Hall Effect Studies on High-Tc Systems
By N.P. Ong, T.W. Jing, Z.Z. Wang, J. Clayhold, S.J. Hagen,
and T.R. Chien (With 6 Figures) .. . . . . . . . . . . . . . . . . . . . . . . .. 204
Resistive State and Hall Effect in High-Tc Superconductors
By Y. lye (With 10 Figures) ............................ 213
Raman Probing of Electronic Gap Excitations and Their Coupling to
Phonons in High-Tc Superconductors
By M.V. Klein, S.L. Cooper, F. Slakey, J.P. Rice, E.D. Bukowski,
and D.M. Ginsberg (With 6 Figures) ....................... 226
Magnetic Correlations in High-T c Oxides in the Superconducting State
By G. Shirane (With 7 Figures) .......................... 236
NMR Studies of YBa2Cu307_8 (Tc = 90 K)
By D.J. Durand, S.E. Barrett, e.H. Pennington, e.P. Slichter,
E.D. Bukowski, T.A. Friedmann, J.P. Rice, and D.M. Ginsberg
(With 5 Figures) ..... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 244
x
