## 71.10.Fd Lattice fermion models (Hubbard model, etc.)

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- Hochtemperatursupraleiter (5)
- Hubbard model (3)
- Hubbard-Modell (3)
- Cuprate (2)
- Elektronenkorrelation (2)
- Festkörpertheorie (2)
- Kondo-System (2)
- Starke Kopplung (2)
- Topologischer Isolator (2)
- Anderson impurity model (1)

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Strong correlations caused by interaction in systems of electrons can bring about unusual physical phenomena due to many-body quantum effects that cannot properly be captured by standard electronic structure methods like density functional theory. In this thesis, we apply the state-of-the-art continuous-time quantum Monte Carlo algorithm in hybridization expansion (CT-HYB) for the strongly correlated multi-orbital Anderson impurity model (AIM) to the solution of models of magnetic impurities on metallic surfaces and, via dynamical mean-field theory (DMFT), to the solution of a lattice model, the multi-orbital Hubbard model with Hund's coupling.
A concise introduction to the theoretical background focuses on information directly relevant to the understanding of applied models, methods, and the interpretation of results. It starts with a discussion of the AIM with its parameters and its solution in the path integral formalism, the basis of the CT-HYB algorithm. We consider its derivation and implementation in some detail before reviewing the DMFT approach to correlated lattice models and the interpretation of the single-particle Green's function.
We review two algorithmic developments for the CT-HYB algorithm that help to increase the performance of calculations especially in case of a complex structure of the interaction matrix and allow the precise calculation of self-energies and vertex functions also at intermediate and higher frequencies.
Our comparative analysis of Kondo screening in the cobalt on copper impurity system points out the importance of an accurate interaction matrix for qualitatively correct Kondo temperatures and the relevance of all d-orbitals in that case. Theoretical modeling of cobalt impurities in copper "atomic wires" fails to reproduce variations and partial absence of Kondo resonances depending on the wire size. We analyze the dependence of results on parameters and consider possible reasons for the discrepancy. Different Kondo temperatures of iron adatoms adsorbed on clean or oxygen-reconstructed niobium in the normal state are qualitatively reproduced, with the adsorption distance identified as major factor and implications for the superconducting state pointed out.
Moving on to lattice problems, we demonstrate the connection between Hund's coupling, shown to cause first-order character of the interaction-driven Mott transition at half-filling in the two-orbital Hubbard model, and a phase separation zone ending in a quantum critical point at finite doping. We touch on similarities in realistic models of iron-pnictide superconductors. We analyze the manifestation of the compressibility divergence at the finite-temperature critical points away from half-filling in the eigenbasis of the two-particle generalized susceptibility. A threshold for impurity susceptibility eigenvalues that indicates divergence of the DMFT lattice compressibility and distinguishes thermodynamic stability and instability of DMFT solutions is determined.

Emergent phenomena in condensed matter physics like, e.g., magnetism, superconductivity, or non-trivial topology often come along with a surprise and exert great fascination to researchers up to this day. Within this thesis, we are concerned with the analysis of associated types of order that arise due to strong electronic interactions and focus on the high-\(T_c\) cuprates and Kondo systems as two prime candidates. The underlying many-body problem cannot be solved analytically and has given rise to the development of various approximation techniques to tackle the problem.
In concrete terms, we apply the auxiliary particle approach to investigate tight-binding Hamiltonians subject to a Hubbard interaction term to account for the screened Coulomb repulsion. Thereby, we adopt the so-called Kotliar-Ruckenstein slave-boson representation that reduces the problem to non-interacting quasiparticles within a mean-field approximation. Part I provides a pedagogical review of the theory and generalizes the established formalism to encompass Gaussian fluctuations around magnetic ground states as a crucial step to obtaining novel results.
Part II addresses the two-dimensional one-band Hubbard model, which is known to approximately describe the physics of the high-\(T_c\) cuprates that feature high-temperature superconductivity and various other exotic quantum phases that are not yet fully understood. First, we provide a comprehensive slave-boson analysis of the model, including the discussion of incommensurate magnetic phases, collective modes, and a comparison to other theoretical methods that shows that our results can be massively improved through the newly implemented fluctuation corrections. Afterward, we focus on the underdoped regime and find an intertwining of spin and charge order signaled by divergences of the static charge susceptibility within the antiferromagnetic domain. There is experimental evidence for such inhomogeneous phases in various cuprate materials, which has recently aroused interest because such correlations are believed to impact the formation of Cooper pairs. Our analysis identifies two distinct charge-ordering vectors, one of which can be attributed to a Fermi-surface nesting effect and quantitatively fits experimental data in \(\mathrm{Nd}_{2-\mathrm{x}}\mathrm{Ce}_\mathrm{x}\mathrm{CuO}_4\) (NCCO), an electron-doped cuprate compound. The other resembles the so-called Yamada relation implying the formation of periodic, double-occupied domain walls with a crossover to phase separation for small dopings.
Part III investigates Kondo systems by analyzing the periodic Anderson model and its generalizations. First, we consider Kondo metals and detect weakly magnetized ferromagnetic order in qualitative agreement with experimental observations, which hinders the formation of heavy fermions. Nevertheless, we suggest two different parameter regimes that could host a possible Kondo regime in the context of one or two conduction bands. The part is concluded with the study of topological order in Kondo insulators based on a three-dimensional model with centrosymmetric spin-orbit coupling. Thereby, we classify topologically distinct phases through appropriate \(\mathbb{Z}_2\) invariants and consider paramagnetic and antiferromagnetic mean-field ground states. Our model parameters are chosen to specifically describe samarium hexaboride (\(\mbox{SmB}_6\)), which is widely believed to be a topological Kondo insulator, and we identify topologically protected surface states in agreement with experimental evidence in that material. Moreover, our theory predicts the emergence of an antiferromagnetic topological insulator featuring one-dimensional hinge-states as the signature of higher-order topology in the strong coupling regime. While the nature of the true ground state is still under debate, corresponding long-range magnetic order has been observed in pressurized or alloyed \(\mbox{SmB}_6\), and recent experimental findings point towards non-trivial topology under these circumstances. The ability to understand and control topological systems brings forth promising applications in the context of spintronics and quantum computing.

Since the genesis of condensed matter physics, strongly correlated fermionic systems have shown a variety of fascinating properties and remain a vital topic in the field.
Such systems arise through electronic interaction, and despite decades of intensive research, no holistic approach to solving this problem has been found.
During that time, physicists have compiled a wealth of individual experimental and theoretical results, which together give an invaluable insight into these materials, and, in some instances, can explain correlated phenomena.
However, there are several systems that stubbornly refuse to fall completely in line with current theoretical descriptions, among them the high-\( T_c{}\) cuprates and heavy fermion compounds.
Although the two material classes have been around for the better part of the last 50 years, large portions of their respective phase diagram are still under intensive debate.
Recent experiments in several electron-doped cuprates compounds, e.g. neodymium cerium copper oxide (Nd\(_{2x}\)Ce\(_x\)CuO\(_4\)), reveal a charge ordering about an antiferromagnetic ground state.
So far, it has not been conclusively clarified how this intertwining of charge and spin polarization comes about and how it can be reconciled with a rigorous theoretical description.
The heavy-fermion semimetals, on the other hand, have enjoyed renewed scientific interest with the discovery of topological Kondo insulators, a new material class offering a unique interface of topology, symmetry breaking, and correlated phenomena. In this context, samarium hexaboride (SmB\(_6\)) has emerged as a prototypical system, which may feature a topological ground state.
In this thesis, we present a spin rotational invariant auxiliary particle approach to investigate the propensities of interacting electrons towards forming new states of order.
In particular, we study the onset of spin and charge order in high-\( T_c{}\) cuprate systems and Kondo lattices, as well as the interplay of magnetism and topology.
To that end, we use a sophisticated mean-field approximation of bosonic auxiliary particles augmented by a stability analysis of the saddle point via Gaussian fluctuations.
The latter enables the derivation of dynamic susceptibilities, which describe the response of the system under external fields and offer a direct comparison to experiments.
Both the mean-field and fluctuation formalisms require a numerical tool that is capable of extremizing the saddle point equations, on the one hand, and reliably solving a loop integral of the susceptibility-type, on the other.
A full, from scratch derivation of the formalism tailored towards a software implementation, is provided and pedagogically reviewed.
The auxiliary particle method allows for a rigorous description of incommensurate magnetic order and compares well to other established numerical and analytical techniques.
Within our analysis, we employ the two-dimensional one-band Hubbard as well as the periodic Anderson model as minimal Hamiltonians for the high-\( T_c{}\) cuprates and Kondo systems, respectively.
For the former, we observe a regime of intertwined charge- and spin-order in the electron-doped regime, which matches recent experimental observations in the cuprate material Nd\(_{2x}\)Ce\(_x\)CuO\(_4\).
Furthermore, we localize the emergence of a Kondo regime in the periodic Anderson model and establish the magnetic phase diagram of the two-band model for topological Kondo insulators.
The emerging antiferromagnetic ground state can be characterized by its topological properties and shows, for a non-trivial phase, topologically protected hinge modes.

In this thesis we consider the hybrid quantum Monte Carlo method for simulations of the Hubbard and Su-Schrieffer-Heeger model. In the first instance, we discuss the hybrid quantum Monte Carlo method for the Hubbard model on a square lattice. We point out potential ergodicity issues and provide a way to circumvent them by a complexification of the method. Furthermore, we compare the efficiency of the hybrid quantum Monte Carlo method with a well established determinantal quantum Monte Carlo method for simulations of the half-filled Hubbard model on square lattices. One reason why the hybrid quantum Monte Carlo method loses the comparison is that we do not observe the desired sub-quadratic scaling of the numerical effort. Afterwards we present a formulation of the hybrid quantum Monte Carlo method for the Su-Schrieffer-Heeger model in two dimensions. Electron-phonon models like this are in general very hard to simulate using other Monte Carlo methods in more than one dimensions. It turns out that the hybrid quantum Monte Carlo method is much better suited for this model . We achieve favorable scaling properties and provide a proof of concept. Subsequently, we use the hybrid quantum Monte Carlo method to investigate the Su-Schrieffer-Heeger model in detail at half-filling in two dimensions. We present numerical data for staggered valence bond order at small phonon frequencies and an antiferromagnetic order at high frequencies. Due to an O(4) symmetry the antiferromagnetic order is connected to a superconducting charge density wave. Considering the Su-Schrieffer-Heeger model without tight-binding hopping reveals an additional unconstrained Z_2 gauge theory. In this case, we find indications for π-fluxes and a possible Z_2 Dirac deconfined phase as well as for a columnar valence bond ordered state at low phonon energies. In our investigations of the several phase transitions we discuss the different possibilities for the underlying mechanisms and reveal first insights into a rich phase diagram.

Wir untersuchen zunächst das Hubbard-Modell des anisotropen Dreiecksgitters als effektive Beschreibung der Mott-Phase in verschiedenen organischen Verbindungen mit dreieckiger Gitterstruktur. Um die Eigenschaften am absoluten Nullpunkt zu bestimmen benutzen wir die variationelle Cluster Näherung (engl. variational cluster approximation VCA) und erhalten das Phasendiagramm als Funktion der Anisotropie und der Wechselwirkungsstärke. Wir finden für schwache Wechselwirkung ein Metall. Für starke Wechselwirkung finden wir je nach Stärke der Anisotropie eine Néel oder eine 120◦-Néel antiferromagnetische Ordnung. In einem Bereich mittlerer Wechselwirkung entsteht in der Nähe des isotropen Dreiecksgitters ein nichtmagnetischer Isolator. Der Metall-Isolator-Übergang hängt maßgeblich von der Anisotropie ab, genauso wie die Art der magnetischen Ordnung und das Erscheinen und die Ausdehnung der nichtmagnetischen Isolatorphase.
Spin-Bahn Kopplung ist der ausschlaggebende Parameter, der elektronische Bandmodelle in topologische Isolatoren wandelt. Spin-Bahn Kopplung im Allgemeinen beinhaltet auch den Rashba Term, der die SU(2) Symmetrie vollständig bricht. Sobald man auch Wechselwirkungen berücksichtigt, müssen sich viele theoretische Methoden auf die Analyse vereinfachter Modelle beschränken, die nur Spin-Bahn Kopplungen enthalten, welche die U(1) Symmetrie erhalten und damit eine Rashba Kopplung ausschließen. Wir versuchen diese bisher bestehende Lücke zu schließen und untersuchen das Kane-Mele Hubbard (KMH) Modell mit Rashba Spin-Bahn Kopplung und präsentieren eine systematische Analyse des Effekts der Rashba Spin-Bahn Kopplung in einem korrelierten zweidimensionalen topologischen Isolator. Wir wenden die VCA auf dieses Problem an und bestimmen das Phasendiagramm mit Wechselwirkung durch die Berechnung der lokalen Zustandsdichte, der Magnetisierung, der Einteilchenspektralfunktion und der Randzustände. Nach einer ausführlichen Auswertung des KMH-Modells, bei erhaltener U(1) Symmetrie, finden wir auch für endliche Wechselwirkung, dass eine zusätzliche Rashba Kopplung zu neuen elektronischen Phasen führt, wie eine metallische Phase und eine topologische Isolatorphase ohne Bandlücke in der lokalen Zustandsdichte, die aber eine direkte Bandlücke für jeden Wellenvektor besitzt.
Für eine Klasse von 5d Übergangsmetallen untersuchen wir ein KMH ähnliches Modell mit multidirektionaler Spin-Bahn Kopplung, das wegen seiner Relevanz für die Natrium-Iridate (engl. sodium iridate) als SI Modell bezeichnet wird. Diese intrinsische Kopplung bricht die SU(2) Symmetrie bereits vollständig und dennoch erhält man wegen der speziellen Form für starke Wechselwirkung wieder einen rotationssymmetrischen Néel-AFM Isolator. Der topologische Isolator des SIH-Modells ist adiabatisch mit dem des KMH-Modells verbunden, jedoch sind die Randströme hier nicht mehr spinpolarisiert.
Wir verallgemeinern das Konzept der Klein-Transformation, das bereits erfolgreich auf Spin-Hamiltonians angewandt wurde, und wenden es auf ein Hubbard-Modell mit rein imaginären spinabhängigen Hüpfen an, das im Grenzfall unendlicher Wechselwirkung in das Kitaev-Heisenberg Modell übergeht. Dadurch erhält man ein Modell des Dreiecksgitters mit reellen spinunabhängigen Hüpfen, das aber eine mehratomige Einheitszelle besitzt. Für schwache Wechselwirkung ist das System ein Dirac Halbmetall und für starke Wechselwirkung erhält man eine 120◦-Néel antiferromagnetische Ordnung. Für mittlere Wechselwirkung findet man aber einen relativ großen Bereich in dem eine nichtmagnetische Isolatorphase stabil ist. Unsere Ergebnisse deuten auf die mögliche Existenz einer Quanten Spinflüssigkeit hin.

We apply an antiferromagnetic symmetry breaking implementation of the dynamical cluster approximation (DCA) to investigate the two-dimensional hole-doped Kondo lattice model (KLM) with hopping $t$ and coupling $J$. The DCA is an approximation at the level of the self-energy. Short range correlations on a small cluster, which is self-consistently embedded in the remaining bath electrons of the system, are handled exactly whereas longer ranged spacial correlations are incorporated on a mean-field level. The dynamics of the system, however, are retained in full. The strong temporal nature of correlations in the KLM make the model particularly suitable to investigation with the DCA. Our precise DCA calculations of single particle spectral functions compare well with exact lattice QMC results at the particle-hole symmetric point. However, our DCA version, combined with a QMC cluster solver, also allows simulations away from particle-hole symmetry and has enabled us to map out the magnetic phase diagram of the model as a function of doping and coupling $J/t$. At half-filling, our results show that the linear behaviour of the quasi-particle gap at small values of $J/t$ is a direct consequence of particle-hole symmetry, which leads to nesting of the Fermi surface. Breaking the symmetry, by inclusion of a diagonal hopping term, results in a greatly reduced gap which appears to follow a Kondo scale. Upon doping, the magnetic phase observed at half-filling survives and ultimately gives way to a paramagnetic phase. Across this magnetic order-disorder transition, we track the topology of the Fermi surface. The phase diagram is composed of three distinct regions: Paramagnetic with {\it large} Fermi surface, in which the magnetic moments are included in the Luttinger sum rule, lightly antiferromagnetic with large Fermi surface topology, and strongly antiferromagnetic with {\it small} Fermi surface, where the magnetic moments drop out of the Luttinger volume. We draw on a mean-field Hamiltonian with order parameters for both magnetisation and Kondo screening as a tool for interpretation of our DCA results. Initial results for fixed coupling and doping but varying temperature are also presented, where the aim is look for signals of the energy scales in the system: the Kondo temperature $T_{K}$ for initial Kondo screening of the magnetic moments, the Neel temperature $T_{N}$ for antiferromagnetic ordering, a possible $T^{*}$ at which a reordering of the Fermi surface is observed, and finally, the formation of the coherent heavy fermion state at $T_{coh}$.

This thesis is dedicated to a theoretical study of the 1-band Hubbard model in the strong coupling limit. The investigation is based on the Dynamical Cluster Approximation (DCA) which systematically restores non-local corrections to the Dynamical Mean Field approximation (DMFA). The DCA is formulated in momentum space and is characterised by a patching of the Brillouin zone where momentum conservation is only recovered between two patches. The approximation works well if k-space correlation functions show a weak momentum dependence. In order to study the temperature and doping dependence of the spin- and charge excitation spectra, we explicitly extend the Dynamical Cluster Approximation to two-particle response functions. The full irreducible two-particle vertex with three momenta and frequencies is approximated by an effective vertex dependent on the momentum and frequency of the spin and/or charge excitations. The effective vertex is calculated by using the Quantum Monte Carlo method on the finite cluster whereas the analytical continuation of dynamical quantities is performed by a stochastic version of the maximum entropy method. A comparison with high temperature auxiliary field quantum Monte Carlo data serves as a benchmark for our approach to two-particle correlation functions. Our method can reproduce basic characteristics of the spin- and charge excitation spectrum. Near and beyond optimal doping, our results provide a consistent overall picture of the interplay between charge, spin and single-particle excitations: a collective spin mode emerges at optimal doping and sufficiently low temperatures in the spin response spectrum and exhibits the energy scale of the magnetic exchange interaction J. Simultaneously, the low energy single-particle excitations are characterised by a coherent quasiparticle with bandwidth J. The origin of the quasiparticle can be quite well understood in a picture of a more or less antiferromagnetic ordered background in which holes are dressed by spin-excitations to allow for a coherent motion. By increasing doping, all features which are linked to the spin-polaron vanish in the single-particle as well as two-particle spin response spectrum. In the second part of the thesis an analysis of superconductivity in the Hubbard model is presented. The superconducting instability is implemented within the Dynamical Cluster Approximation by essentially allowing U(1) symmetry breaking baths in the QMC calculations for the cluster. The superconducting transition temperature T_c is derived from the d-wave order parameter which is directly estimated on the Monte Carlo cluster. The critical temperature T_c is in astonishing agreement with the temperature scale estimated by the divergence of the pair-field susceptibility in the paramagnetic phase. A detailed study of the pseudo and superconducting gap is continued by the investigation of the local and angle-resolved spectral function.

In a first part the bilayer Heisenberg Model and the 2D Kondo necklace model are studied. Both models exhibit a quantum phase transition between an ordered and disordered phase. The question is addressed to the coupling of a single doped hole to the critical fluctuations. A self-consistent Born approximation predicts that the doped hole couples to the magnons such that the quasiparticle residue vanishes at the quantum critical point. In this work the delicate question about the fate of the quasiparticle residue across the quantum phase transition is also tackled by means of large scale quantum Monte Carlo simulations. Furthermore the dynamics of a single hole doped in the magnetic background is investigated. In the second part an analysis of the spiral staircase Heisenberg ladder is presented. The ladder consists of two ferromagnetic coupled spin-1/2 chains, where the coupling within the second chain can be tuned by twisting the ladder. Within this model the crossover between an ungapped spin-1/2 system and a gapped spin-1 system can be studied. In this work the emphasis is on the opening of the spin gap with respect to the ferromagnetic rung coupling. It is shown that there are essential differences in the scaling behavior of the spin gap depending on the twist of the model. Moreover, by means of the string order parameter it is shown, that the system remains in the Haldane phase within the whole parameter range although the spin gap scales differently. The tools which are used for the analyses are mainly large scale quantum Monte Carlo methods, but also exact diagonalization techniques as well as mean field approaches.

This thesis aims at a description of the equilibrium dynamics of quantum spin glass systems. To this end a generic fermionic SU(2), spin 1/2 spin glass model with infinite-range interactions is defined in the first part. The model is treated in the framework of imaginary-time Grassmann field theory along with the replica formalism. A dynamical two-step decoupling procedure, which retains the full time dependence of the (replica-symmetric) saddle point, is presented. As a main result, a set of highly coupled self-consistency equations for the spin-spin correlations can be formulated. Beyond the so-called spin-static approximation two complementary systematic approximation schemes are developed in order to render the occurring integration problem feasible. One of these methods restricts the quantum-spin dynamics to a manageable number of bosonic Matsubara frequencies. A sequence of improved approximants to some quantity can be obtained by gradually extending the set of employed discrete frequencies. Extrapolation of such a sequence yields an estimate of the full dynamical solution. The other method is based on a perturbative expansion of the self-consistency equations in terms of the dynamical correlations. In the second part these techniques are applied to the isotropic Heisenberg spin glass both on the Fock space (HSGF) and, exploiting the Popov-Fedotov trick, on the spin space (HSGS). The critical temperatures of the paramagnet to spin glass phase transitions are determined accurately. Compared to the spin-static results, the dynamics causes slight increases of T_c by about 3% and 2%, respectively. For the HSGS the specific heat C(T) is investigated in the paramagnetic phase and, by way of a perturbative method, below but close to T_c. The exact C(T)-curve is shown to exhibit a pronounced non-analyticity at T_c and, contradictory to recent reports by other authors, there is no indication of maximum above T_c. In the last part of this thesis the spin glass model is augmented with a nearest-neighbor hopping term on an infinite-dimensional cubic lattice. An extended self-consistency structure can be derived by combining the decoupling procedure with the dynamical CPA method. For the itinerant Ising spin glass numerous solutions within the spin-static approximation are presented both at finite and zero temperature. Systematic dynamical corrections to the spin-static phase diagram in the plane of temperature and hopping strength are calculated, and the location of the quantum critical point is determined.

We investigate the single particle static and dynamic properties at zero temperature within the Hubbard an three-band-Hubbard model for the superconducting copper oxides. Based on the recently proposed self-energy functional approach (SFA) [M.Potthoff, Eur. Phys. J. B 32 429 (2003)], we present an extension of the cluster-perturbation theory (CPT) to systems with spontaneous broken symmetry. Our method accounts for both short-range correlations and long-range order. Short-range correlations are accurately taken into account via the exact diagonalization of finite clusters. Long-range order is described by variational optimization of a ficticious symmetry-breaking field. In comparison with related cluster methods, our approach is more flexible and, for a given cluster size, less demanding numerically, especially at zero temperature. An application of the method to the antiferromagnetic phase of the Hubbard model at half-filling shows good agreement with results from quantum Monte-Carlo calculations. We demonstrate that the variational extension of the cluster-perturbation theory is crucial to reproduce salient features of the single-particle spectrum of the insulating cuprates. Comparison of the dispersion of the low-energy excitations with recent experimental results of angular resolved photoemission spectroscopy (ARPES) allows us to fix a consistent parameter set for the one-band Hubbard model with an additional hopping parameter t' along the lattice diagonal. The doping dependence of the single-particle excitations is studied within the t-t-U Hubbard model with special emphasis on the electron doped compounds. We show, that the ARPES results on the band structure and the Fermi surface of Nd{2-x}Ce_xCuOCl_{4-\delta} are naturally obtained within the t-t-U Hubbard model without further need for readjustment or fitting of parameters, as proposed in recent theoretical considerations. We present a theory for the photon energy and polarization dependence of ARPES intensities from the CuO2 plane in the framework of strong correlation models. The importance of surface states for the observed experimental facts is considered. We show that for electric field vector in the CuO_2 plane the ‘radiation characteristics’ of the O 2p_{\sigma} and Cu 3d_{x^2-y^2} orbitals are strongly peaked along the CuO_2 plane, i.e. most photoelectrons are emitted at grazing angles. This suggests that surface states play an important role in the observed ARPES spectra, consistent with recent data from Sr_2CuCl_2O_2. We show that a combination of surface state dispersion and Fano resonance between surface state and the continuum of LEED-states may produce a precipitous drop in the observed photoelectron current as a function of in-plane momentum, which may well mimic a Fermi-surface crossing. This effect may explain the simultaneous ‘observation’ of a hole-like and an electron-like Fermi surfaces in Bi_2Sr_2CaCu_2O_{8+\delta} at different photon energies.