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We quantify the accuracy of different non-self-consistent and self-consistent spin-orbit coupling (SOC) treatments in Kohn-Sham and hybrid density-functional theory by providing a band structure benchmark set for the valence and low-lying conduction energy bands of 103 inorganic compounds, covering chemical elements up to Po. Reference energy band structures for the PBE density functional are obtained using the full-potential (linearized) augmented plane wave code Wien2k, employing its self-consistent treatment of SOC including Dirac-like p$^{1/2}$ orbitals in the basis set. We use this benchmark set to benchmark a computationally simpler, non-self-consistent all-electron treatment of SOC based on scalar-relativistic orbitals and numeric atom-centered orbital basis functions. For elements up to Z$approx$50, both treatments agree virtually exactly. For the heaviest elements considered (Tl, Pb, Bi, Po), the band structure changes due to SOC are captured with a relative deviation of 11% or less. For different density functionals (PBE vs. the hybrid HSE06), we show that the effect of spin-orbit coupling is usually similar but can be dissimilar if the qualitative features of the predicted underlying scalar-relativistic band structures do not agree. All band structures considered in this work are available online via the NOMAD Repository to aid in future benchmark studies and methods development.
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The electronic structure of surfaces plays a key role in the properties of quantum devices. However, surfaces are also the most challenging to simulate and engineer. Here, we study the electronic structure of InAs(001), InAs(111), and InSb(110) surfaces using a combination of density functional theory (DFT) and angle-resolved photoemission spectroscopy (ARPES). We were able to perform large-scale first principles simulations and capture effects of different surface reconstructions by using DFT calculations with a machine-learned Hubbard U correction [npj Comput. Mater. 6, 180 (2020)]. To facilitate direct comparison with ARPES results, we implemented a bulk unfolding scheme by projecting the calculated band structure of a supercell surface slab model onto the bulk primitive cell. For all three surfaces, we find a good agreement between DFT calculations and ARPES. For InAs(001), the simulations clarify the effect of the surface reconstruction. Different reconstructions are found to produce distinctive surface states. For InAs(111) and InSb(110), the simulations help elucidate the effect of oxidation. Owing to larger charge transfer from As to O than from Sb to O, oxidation of InAs(111) leads to significant band bending and produces an electron pocket, whereas oxidation of InSb(110) does not. Our combined theoretical and experimental results may inform the design of quantum devices based on InAs and InSb semiconductors, e.g., topological qubits utilizing the Majorana zero modes.
We propose a method to decompose the total energy of a supercell containing defects into contributions of individual atoms, using the energy density formalism within density functional theory. The spatial energy density is unique up to a gauge transformation, and we show that unique atomic energies can be calculated by integrating over Bader and charge-neutral volumes for each atom. Numerically, we implement the energy density method in the framework of the Vienna ab initio simulation package (VASP) for both norm-conserving and ultrasoft pseudopotentials and the projector augmented wave method, and use a weighted integration algorithm to integrate the volumes. The surface energies and point defect energies can be calculated by integrating the energy density over the surface region and the defect region, respectively. We compute energies for several surfaces and defects: the (110) surface energy of GaAs, the mono-vacancy formation energies of Si, the (100) surface energy of Au, and the interstitial formation energy of O in the hexagonal close-packed Ti crystal. The surface and defect energies calculated using our method agree with size-converged calculations of the difference between the total energies of the system with and without the defect. Moreover, the convergence of the defect energies with size can be found from a single calculation.
In first-principles calculations, hybrid functional is often used to improve accuracy from local exchange correlation functionals. A drawback is that evaluating the hybrid functional needs significantly more computing effort. When spin-orbit coupling (SOC) is taken into account, the non-collinear spin structure increases computing effort by at least eight times. As a result, hybrid functional calculations with SOC are intractable in most cases. In this paper, we present an approximate solution to this problem by developing an efficient method based on a mixed linear combination of atomic orbital (LCAO) scheme. We demonstrate the power of this method using several examples and we show that the results compare very well with those of direct hybrid functional calculations with SOC, yet the method only requires a computing effort similar to that without SOC. The presented technique provides a good balance between computing efficiency and accuracy, and it can be extended to magnetic materials.
Symmetry formulated by group theory plays an essential role with respect to the laws of nature, from fundamental particles to condensed matter systems. Here, by combining symmetry analysis and tight-binding model calculations, we elucidate that the crystallographic symmetries of a vast number of magnetic materials with light elements, in which the neglect of relativistic spin-orbit coupling (SOC) is an appropriate approximation, are considerably larger than the conventional magnetic groups. Thus, a symmetry description that involves partially-decoupled spin and spatial rotations, dubbed as spin group, is required. Spin group permits more symmetry operations and thus more energy degeneracies that are disallowed by the magnetic groups. One consequence of the spin group is the new anti-unitary symmetries that protect SOC-free Z_2 topological phases with unprecedented surface node structures. Our work not only manifests the physical reality of materials with weak SOC, but also shed light on the understanding of all solids with and without SOC by a unified group theory.
The electronic band structure of graphene in the presence of spin-orbit coupling and transverse electric field is investigated from first principles using the linearized augmented plane-wave method. The spin-orbit coupling opens a gap at the $K(K)$-point of the magnitude of 24 $mu$eV (0.28 K). This intrinsic splitting comes 96% from the usually neglected $d$ and higher orbitals. The electric field induces an additional (extrinsic) Bychkov-Rashba-type splitting of 10 $mu$eV (0.11 K) per V/nm, coming from the $sigma$-$pi$ mixing. A mini-ripple configuration with every other atom is shifted out of the sheet by less than 1% differs little from the intrinsic case.
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