Hubbard parameters from density-functional perturbation theory

We present a transparent and computationally efficient approach for the first-principles calculation of Hubbard parameters from linear-response theory. This approach is based on density-functional perturbation theory and the use of monochromatic perturbations. In addition to delivering much improved efficiency, the present approach makes it straightforward to calculate automatically these Hubbard parameters for any given system, with tight numerical control on convergence and precision. The effectiveness of the method is showcased in three case studies - Cu$_2$O, NiO, and LiCoO$_2$ - and by the direct comparison with finite differences in supercell calculations.Comment: 17 pages, 6 figure

Unraveling the effects of inter-site Hubbard interactions in spinel Li-ion cathode materials

Accurate first-principles predictions of the structural, electronic, magnetic, and electrochemical properties of cathode materials can be key in the design of novel efficient Li-ion batteries. Spinel-type cathode materials Li$_x$Mn$_2$O$_4$ and Li$_x$Mn$_{1.5}$Ni$_{0.5}$O$_4$ are promising candidates for Li-ion battery technologies, but they present serious challenges when it comes to their first-principles modeling. Here, we use density-functional theory with extended Hubbard functionals - DFT+$U$+$V$ with on-site $U$ and inter-site $V$ Hubbard interactions - to study the properties of these transition-metal oxides. The Hubbard parameters are computed from first-principles using density-functional perturbation theory. We show that while $U$ is crucial to obtain the right trends in properties of these materials, $V$ is essential for a quantitative description of the structural and electronic properties, as well as the Li-intercalation voltages. This work paves the way for reliable first-principles studies of other families of cathode materials without relying on empirical fitting or calibration procedures

Self-consistent Hubbard parameters from density-functional perturbation theory in the ultrasoft and projector-augmented wave formulations

The self-consistent evaluation of Hubbard parameters using linear-response theory is crucial for quantitatively predictive calculations based on Hubbard-corrected density-functional theory. Here, we extend a recently-introduced approach based on density-functional perturbation theory (DFPT) for the calculation of the on-site Hubbard $U$ to also compute the inter-site Hubbard $V$. DFPT allows to reduce significantly computational costs, improve numerical accuracy, and fully automate the calculation of the Hubbard parameters by recasting the linear response of a localized perturbation into an array of monochromatic perturbations that can be calculated in the primitive cell. In addition, here we generalize the entire formalism from norm-conserving to ultrasoft and projector-augmented wave formulations, and to metallic ground states. After benchmarking DFPT against the conventional real-space Hubbard linear response in a supercell, we demonstrate the effectiveness of the present extended Hubbard formulation in determining the equilibrium crystal structure of Li$_x$MnPO$_4$ (x=0,1) and the subtle energetics of Li intercalation.Comment: 15 pages, 3 figure

Accurate electronic properties and intercalation voltages of olivine-type Li-ion cathode materials from extended Hubbard functionals

The design of novel cathode materials for Li-ion batteries would greatly benefit from accurate first-principles predictions of structural, electronic, and magnetic properties as well as intercalation voltages in compounds containing transition-metal elements. For such systems, density-functional theory (DFT) with standard (semi-)local exchange-correlation functionals is of limited use as it often fails due to strong self-interaction errors that are especially relevant in the partially filled $d$ shells. Here, we perform a detailed comparative study of the phospho-olivine cathode materials Li$_x$MnPO$_4$, Li$_x$FePO$_4$, and the mixed transition metal Li$_x$Mn$_{1/2}$Fe$_{1/2}$PO$_4$ ($x=0, 1/4, 1/2, 3/4, 1$) using four electronic-structure methods: DFT, DFT+$U$, DFT+$U$+$V$, and HSE06. We show that DFT+$U$+$V$, with onsite $U$ and intersite $V$ Hubbard parameters determined from first principles and self-consistently with respect to the structural parameters by means of density-functional perturbation theory (linear response), provides the most accurate description of the electronic structure of these challenging compounds. In particular, we demonstrate that DFT+$U$+$V$ displays very clearly "digital" changes in oxidation states of the transition-metal ions in all compounds, including the mixed-valence phases occurring at intermediate Li concentrations, leading to voltages in remarkable agreement with experiments. We show that the inclusion of intersite Hubbard interactions is essential for the accurate prediction of thermodynamic quantities, balancing the drive for localization induced by the onsite $U$ with intersite $V$ orbital hybridizations

Understanding the role of Hubbard corrections in the rhombohedral phase of BaTiO3_3

We present a first-principles study of the low-temperature rhombohedral phase of BaTiO$_3$ using Hubbard-corrected density-functional theory. By employing density-functional perturbation theory, we compute the onsite Hubbard $U$ for Ti($3d$) states and the intersite Hubbard $V$ between Ti($3d$) and O($2p$) states. We show that applying the onsite Hubbard $U$ correction alone to Ti($3d$) states proves detrimental, as it suppresses the Ti($3d$)-O($2p$) hybridization and drives the system towards a cubic phase. Conversely, when both onsite $U$ and intersite $V$ are considered, the localized character of the Ti($3d$) states is maintained, while also preserving the Ti($3d$)-O($2p$) hybridization, restoring the rhombohedral phase of BaTiO$_3$. The generalized PBEsol+$U$+$V$ functional yields remarkable agreement with experimental results for the band gap and dielectric constant, while the optimized geometry is slightly less accurate compared to PBEsol. Zone-center phonon frequencies and Raman spectra, being significantly influenced by the underlying geometry, demonstrate better agreement with experiments in the case of PBEsol, while PBEsol+$U$+$V$ exhibits reduced accuracy, and the PBEsol+$U$ Raman spectrum diverges remarkably from experimental data, highlighting the adverse impact of the $U$ correction alone in BaTiO$_3$. Our findings underscore the promise of the extended Hubbard PBEsol+$U$+$V$ functional with first-principles $U$ and $V$ for the investigation of other ferroelectric perovskites with mixed ionic-covalent interactions

Self-consistent site-dependent DFT+UU study of stoichiometric and defective SrMnO3_3

We propose a self-consistent site-dependent Hubbard $U$ approach for DFT+$U$ calculations of defects in complex transition-metal oxides, using Hubbard parameters computed via linear-response theory. The formation of a defect locally perturbs the chemical environment of Hubbard sites in its vicinity, resulting in different Hubbard $U$ parameters for different sites. Using oxygen vacancies in SrMnO$_3$ as a model system, we investigate the dependence of $U$ on the chemical environment and study its influence on the structural, electronic, and magnetic properties of defective bulk and strained thin-film structures. Our results show that a self-consistent $U$ improves the description of stoichiometric bulk SrMnO$_3$ with respect to GGA or GGA+$U$ calculations using an empirical $U$. For defective systems, $U$ changes as a function of the distance of the Hubbard site from the defect, its oxidation state and the magnetic phase of the bulk structure. Taking into account this dependence, in turn, affects the computed defect formation energies and the predicted strain- and/or defect-induced magnetic phase transitions, especially when occupied localized states appear in the band gap of the material upon defect creation.Comment: 12 pages (+8 SI), 9 figures (+6 SI

Self-consistent DFT+UU+VV study of oxygen vacancies in SrTiO3_3

Contradictory theoretical results for oxygen vacancies in SrTiO$_3$ (STO) were often related to the peculiar properties of STO, which is a $d^0$ transition metal oxide with mixed ionic-covalent bonding. Here, we apply, for the first time, density functional theory (DFT) within the extended Hubbard DFT+$U$+$V$ approach, including on-site as well as inter-site electronic interactions, to study oxygen-deficient STO with Hubbard $U$ and $V$ parameters computed self-consistently via density-functional perturbation theory. Our results demonstrate that the extended Hubbard functional is a promising approach to study defects in materials with electronic properties similar to STO. Indeed, DFT+$U$+$V$ provides a better description of stoichiometric STO compared to standard DFT or DFT+$U$, the band gap and crystal field splitting being in good agreement with experiments. In turn, also the description of the electronic properties of oxygen vacancies in STO is improved, with formation energies in excellent agreement with experiments as well as results obtained with the most frequently used hybrid functionals, however at a fraction of the computational cost. While our results do not fully resolve the contradictory findings reported in literature, our systematic approach leads to a deeper understanding of their origin, which stems from different cell sizes, STO phases, the exchange-correlation functional, and the treatment of structural relaxations and spin-polarization.Comment: 15 pages (+11 SI), 13 figures (+6 SI

First-principles study of the gap in the spin excitation spectrum of the CrI3_3 honeycomb ferromagnet

The nature of the gap observed at the zone border in the spin-excitation spectrum of CrI$_3$ quasi-2D single crystals is still controversial. We perform first-principles calculations based on time-dependent density-functional perturbation theory, which indicate that the observed gap results from a combination of spin-orbit and inter-layer interaction effects. The former give rise to the anisotropic spin-spin interactions that are responsible for its very existence, while the latter determine both its displacement from the K point of the Brillouin zone due to the in-plane lattice distortions induced by them, and an enhancement of its magnitude, in agreement with experiments and previous theoretical work based on a lattice model

Self-consistent site-dependent DFT+UU study of stoichiometric and defective SrMnO3_3

We propose a self-consistent site-dependent Hubbard $U$ approach for DFT+$U$ calculations of defects in complex transition-metal oxides, using Hubbard parameters computed via linear-response theory. The formation of a defect locally perturbs the chemical environment of Hubbard sites in its vicinity, resulting in different Hubbard $U$ parameters for different sites. Using oxygen vacancies in SrMnO$_3$ as a model system, we investigate the dependence of $U$ on the chemical environment and study its influence on the structural, electronic, and magnetic properties of defective bulk and strained thin-film structures. Our results show that a self-consistent $U$ improves the description of stoichiometric bulk SrMnO$_3$ with respect to GGA or GGA+$U$ calculations using an empirical $U$. For defective systems, $U$ changes as a function of the distance of the Hubbard site from the defect, its oxidation state and the magnetic phase of the bulk structure. Taking into account this dependence, in turn, affects the computed defect formation energies and the predicted strain- and/or defect-induced magnetic phase transitions, especially when occupied localized states appear in the band gap of the material upon defect creation.Comment: 12 pages (+8 SI), 9 figures (+6 SI

Pulay forces in density-functional theory with extended Hubbard functionals: From nonorthogonalized to orthogonalized manifolds

We present a derivation of the exact expression for Pulay forces in density-functional theory calculations augmented with extended Hubbard functionals, and arising from the use of orthogonalized atomic orbitals as projectors for the Hubbard manifold. The derivative of the inverse square root of the orbital overlap matrix is obtained as a closed-form solution of the associated Lyapunov (Sylvester) equation. The expression for the resulting contribution to the forces is presented in the framework of ultrasoft pseudopotentials and the projector-augmented-wave method, and using a plane wave basis set. We have benchmarked the present implementation with respect to finite differences of total energies for the case of NiO, finding excellent agreement. Owing to the accuracy of Hubbard-corrected density-functional theory calculations - provided the Hubbard parameters are computed for the manifold under consideration - the present work paves the way for systematic studies of solid-state and molecular transition-metal and rare-earth compounds.Comment: 16 pages, 1 figur