On the self-consistency of DFT-1/2

DFT-1/2 is an efficient band gap rectification method for density functional theory (DFT) under local density approximation (LDA) or generalized gradient approximation. It was suggested that non-self-consistent DFT-1/2 should be used for highly ionic insulators like LiF, while self-consistent DFT-1/2 should still be used for other compounds. Nevertheless, there is no quantitative criterion prescribed for which implementation should work for an arbitrary insulator, which leads to severe ambiguity in this method. In this work we analyze the impact of self-consistency in DFT-1/2 and shell DFT-1/2 calculations in insulators or semiconductors with ionic bonds, covalent bonds and intermediate cases, and show that self-consistency is required even for highly ionic insulators for globally better electronic structure details. The self-energy correction renders electrons more localized around the anions in self-consistent LDA-1/2. The well-known delocalization error of LDA is rectified, but with strong overcorrection due to the presence of additional self-energy potential. However, in non-self-consistent LDA-1/2 calculations, the electron wavefunctions indicate that such localization is much more severe and beyond a reasonable range, because the strong Coulomb repulsion is not counted in the Hamiltonian. Another common drawback of non-self-consistent LDA-1/2 lies in that the ionicity of the bonding gets substantially enhanced, and the band gap can be enormously high in mixed ionic-covalent compounds like $\mathrm{TiO_2}$. The impact of LDA-1/2-induced stress is also discussed comprehensively.Comment: 31 pages, 16 figure

Generative Dense Retrieval: Memory Can Be a Burden

Generative Retrieval (GR), autoregressively decoding relevant document identifiers given a query, has been shown to perform well under the setting of small-scale corpora. By memorizing the document corpus with model parameters, GR implicitly achieves deep interaction between query and document. However, such a memorizing mechanism faces three drawbacks: (1) Poor memory accuracy for fine-grained features of documents; (2) Memory confusion gets worse as the corpus size increases; (3) Huge memory update costs for new documents. To alleviate these problems, we propose the Generative Dense Retrieval (GDR) paradigm. Specifically, GDR first uses the limited memory volume to achieve inter-cluster matching from query to relevant document clusters. Memorizing-free matching mechanism from Dense Retrieval (DR) is then introduced to conduct fine-grained intra-cluster matching from clusters to relevant documents. The coarse-to-fine process maximizes the advantages of GR's deep interaction and DR's scalability. Besides, we design a cluster identifier constructing strategy to facilitate corpus memory and a cluster-adaptive negative sampling strategy to enhance the intra-cluster mapping ability. Empirical results show that GDR obtains an average of 3.0 R@100 improvement on NQ dataset under multiple settings and has better scalability.Comment: EACL 2024 mai

Impact of Zr substitution on the electronic structure of ferroelectric hafnia

$\mathrm{HfO_2}$-based dielectrics are promising for nanoscale ferroelectric applications, and the most favorable material within the family is Zr-substituted hafnia, i.e., $\mathrm{Hf_{1-x}Zr_xO_2}$ (HZO). The extent of Zr substitution can be great, and x is commonly set to 0.5. However, the band gap of $\mathrm{ZrO_2}$ is lower than $\mathrm{HfO_2}$, thus it is uncertain how the Zr content should influence the electronic band structure of HZO. A reduced band gap is detrimental to the cycling endurance as charge injection and dielectric breakdown would become easier. Another issue is regarding the comparison on the band gaps between $\mathrm{HfO_2}$/$\mathrm{ZrO_2}$ superlattices and HZO solid-state solutions. In this work we systematically investigated the electronic structures of $\mathrm{HfO_2}$, $\mathrm{ZrO_2}$ and HZO using self-energy corrected density functional theory. In particular, the conduction band minimum of $Pca2_1$-$\mathrm{HfO_2}$ is found to lie at an ordinary k-point on the Brillouin zone border, not related to any interlines between high-symmetry k-points. Moreover, the rule of HZO band gap variation with respect to x has been extracted. The physical mechanisms for the exponential reduction regime and linear decay regime have been revealed. The band gaps of $\mathrm{HfO_2}$/$\mathrm{ZrO_2}$ ferroelectric superlattices are investigated in a systematic manner, and the reason why the superlattice could possess a band gap lower than that of $\mathrm{ZrO_2}$ is revealed through comprehensive analysis.Comment: 23 pages, 9 figure