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Many references exist in the density functional theory (DFT) literature to the chemical potential of the electrons in an atom or a molecule. The origin of this notion has been the identification of the Lagrange multiplier µ = ∂E/∂N in the Euler-Lagrange variational equation for the ground state density as the chemical potential of the electrons. We first discuss why the Lagrange multiplier in this case is an arbitrary constant and therefore cannot be a physical characteristic of an atom or molecule. The switching of the energy derivative ("chemical potential") from -I to -A when the electron number crosses the integer, called integer discontinuity or derivative discontinuity, is not physical but only occurs when the nonphysical noninteger electron systems and the corresponding energy and derivative ∂E/∂N are chosen in a specific discontinuous way. The question is discussed whether in fact the thermodynamical concept of a chemical potential can be defined for the electrons in such few-electron systems as atoms and molecules. The conclusion is that such systems lack important characteristics of thermodynamic systems and do not afford the definition of a chemical potential. They also cannot be considered as analogues of the open systems of thermodynamics that can exchange particles with an environment (a particle bath or other members of a Gibbsian ensemble). Thermodynamical (statistical mechanical) concepts like chemical potential, open systems, grand canonical ensemble etc. are not applicable to a few electron system like an atom or molecule. A number of topics in DFT are critically reviewed in light of these findings: jumps in the Kohn-Sham potential when crossing an integer number of electrons, the band gap problem, the deviation-from-straight-lines error, and the role of ensembles in DFT.
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Almost all functionals that are currently used in density matrix functional theory have been created by some a priori ansatz that generates approximations to the second-order reduced density matrix (2RDM). In this paper, a more consistent approach is used: we analyze the 2RDMs (in the natural orbital basis) of rather accurate multi-reference configuration interaction expansions for several small molecules (CH4, NH3, H2O, FH, and N2) and use the knowledge gained to generate new functionals. The analysis shows that a geminal-like structure is present in the 2RDMs, even though no geminal theory has been applied from the onset. It is also shown that the leading non-geminal dynamical correlation contributions are generated by a specific set of double excitations. The corresponding determinants give rise to non-JKL (non Coulomb/Exchange like) multipole-multipole dispersive attractive terms between geminals. Due to the proximity of the geminals, these dispersion terms are large and cannot be omitted, proving pure JKL functionals to be essentially deficient. A second correction emerges from the observation that the "normal" geminal-like exchange between geminals breaks down when one breaks multiple bonds. This problem can be fixed by doubling the exchange between bond broken geminals, effectively restoring the often physically correct high-spin configurations on the bond broken fragments. Both of these corrections have been added to the commonly used antisymmetrized product of strongly orthogonal geminals functional. The resulting non-JKL functional Extended Löwdin-Shull Dynamical-Multibond is capable of reproducing complete active space self-consistent field curves, in which one active orbital is used for each valence electron.
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It is often stated that the Kohn-Sham occupied-unoccupied gap in both molecules and solids is "wrong". We argue that this is not a correct statement. The KS theory does not allow to interpret the exact KS HOMO-LUMO gap as the fundamental gap (difference (I - A) of electron affinity (A) and ionization energy (I), twice the chemical hardness), from which it indeed differs, strongly in molecules and moderately in solids. The exact Kohn-Sham HOMO-LUMO gap in molecules is much below the fundamental gap and very close to the much smaller optical gap (first excitation energy), and LDA/GGA yield very similar gaps. In solids the situation is different: the excitation energy to delocalized excited states and the fundamental gap (I - A) are very similar, not so disparate as in molecules. Again the Kohn-Sham and LDA/GGA band gaps do not represent (I - A) but are significantly smaller. However, the special properties of an extended system like a solid make it very easy to calculate the fundamental gap from the ground state (neutral system) band structure calculations entirely within a density functional framework. The correction Δ from the KS gap to the fundamental gap originates from the response part vresp of the exchange-correlation potential and can be calculated very simply using an approximation to vresp. This affords a calculation of the fundamental gap at the same level of accuracy as other properties of crystals at little extra cost beyond the ground state bandstructure calculation. The method is based on integer electron systems, fractional electron systems (an ensemble of N- and (N + 1)-electron systems) and the derivative discontinuity are not invoked.
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Straightforward interpretation of excitations is possible if they can be described as simple single orbital-to-orbital (or double, etc.) transitions. In linear response time-dependent density functional theory (LR-TDDFT), the (ground state) Kohn-Sham orbitals prove to be such an orbital basis. In contrast, in a basis of natural orbitals (NOs) or Hartree-Fock orbitals, excitations often employ many orbitals and are accordingly hard to characterize. We demonstrate that it is possible in these cases to transform to natural excitation orbitals (NEOs) which resemble very closely the KS orbitals and afford the same simple description of excitations. The desired transformation has been obtained by diagonalization of a submatrix in the equations of linear response time-dependent 1-particle reduced density matrix functional theory (LR-TDDMFT) for the NO transformation, and that of a submatrix in the linear response time-dependent Hartree-Fock (LR-TDHF) equations for the transformation of HF orbitals. The corresponding submatrix is already diagonal in the KS basis in the LR-TDDFT equations. While the orbital shapes of the NEOs afford the characterization of the excitations as (mostly) simple orbital-to-orbital transitions, the orbital energies provide a fair estimate of excitation energies.
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Although time-dependent density functional theory (TDDFT) has become the tool of choice for real-time propagation of the electron density ρ(N)(t) of N-electron systems, it also encounters problems in this application. The first problem is the neglect of memory effects stemming from the, in TDDFT virtually unavoidable, adiabatic approximation, the second problem is the reliable evaluation of the probabilities P(n)(t) of multiple photoinduced ionization, while the third problem (which TDDFT shares with other approaches) is the reliable description of continuum states of the electrons ejected in the process of ionization. In this paper time-dependent Dyson orbital theory (TDDOT) is proposed. Exact TDDOT equations of motion (EOMs) for time-dependent Dyson orbitals are derived, which are linear differential equations with just static, feasible potentials of the electron-electron interaction. No adiabatic approximation is used, which formally resolves the first TDDFT problem. TDDOT offers formally exact expressions for the complete evolution in time of the wavefunction of the outgoing electron. This leads to the correlated probability of single ionization P(1)(t) as well as the probabilities of no ionization (P(0)(t)) and multiple ionization of n electrons, P(n)(t), which formally solves the second problem of TDDFT. For two-electron systems a proper description of the required continuum states appears to be rather straightforward, and both P(1)(t) and P(2)(t) can be calculated. Because of the exact formulation, TDDOT is expected to reproduce a notorious memory effect, the "knee structure" of the non-sequential double ionization of the He atom.
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In spite of the high quality of exchange-correlation energies Exc obtained with the generalized gradient approximations (GGAs) of density functional theory, their xc potentials vxc are strongly deficient, yielding upshifts of ca. 5 eV in the orbital energy spectrum (in the order of 50% of high-lying valence orbital energies). The GGAs share this deficiency with the local density approximation (LDA). We argue that this error is not caused by the incorrect long-range asymptotics of vxc or by self-interaction error. It arises from incorrect density dependencies of LDA and GGA exchange functionals leading to incorrect (too repulsive) functional derivatives (i.e., response parts of the potentials). The vxc potential is partitioned into the potential of the xc hole vxchole (twice the xc energy density ϵxc), which determines Exc, and the response potential vresp, which does not contribute to Exc explicitly. The substantial upshift of LDA/GGA orbital energies is due to a too repulsive LDA exchange response potential vxresp (LDA) in the bulk region. Retaining the LDA exchange hole potential plus the B88 gradient correction to it but replacing the response parts of these potentials by the model orbital-dependent response potential vxresp (GLLB) of Gritsenko et al. [Phys. Rev. A 51, 1944 (1995)], which has the proper step-wise form, improves the orbital energies by more than an order of magnitude. Examples are given for the prototype molecules: dihydrogen, dinitrogen, carbon monoxide, ethylene, formaldehyde, and formic acid.
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Time dependent density matrix functional theory in its adiabatic linear response formulation delivers exact excitation energies ωα and oscillator strengths fα for two-electron systems if extended to the so-called phase including natural orbital (PINO) theory. The Löwdin-Shull expression for the energy of two-electron systems in terms of the natural orbitals and their phases affords in this case an exact phase-including natural orbital functional (PILS), which is non-primitive (contains other than just J and K integrals). In this paper, the extension of the PILS functional to N-electron systems is investigated. With the example of an elementary primitive NO functional (BBC1) it is shown that current density matrix functional theory ground state functionals, which were designed to produce decent approximations to the total energy, fail to deliver a qualitatively correct structure of the (inverse) response function, due to essential deficiencies in the reconstruction of the two-body reduced density matrix (2RDM). We now deduce essential features of an N-electron functional from a wavefunction Ansatz: The extension of the two-electron Löwdin-Shull wavefunction to the N-electron case informs about the phase information. In this paper, applications of this extended Löwdin-Shull (ELS) functional are considered for the simplest case, ELS(1): one (dissociating) two-electron bond in the field of occupied (including core) orbitals. ELS(1) produces high quality ωα(R) curves along the bond dissociation coordinate R for the molecules LiH, Li2, and BH with the two outer valence electrons correlated. All of these results indicate that response properties are much more sensitive to deficiencies in the reconstruction of the 2RDM than the ground state energy, since derivatives of the functional with respect to both the NOs and the occupation numbers need to be accurate.
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Recently, we have demonstrated that the problems finding a suitable adiabatic approximation in time-dependent one-body reduced density matrix functional theory can be remedied by introducing an additional degree of freedom to describe the system: the phase of the natural orbitals [K. J. H. Giesbertz, O. V. Gritsenko, and E. J. Baerends, Phys. Rev. Lett. 105, 013002 (2010); K. J. H. Giesbertz, O. V. Gritsenko, and E. J. Baerends, J. Chem. Phys. 133, 174119 (2010)]. In this article we will show in detail how the frequency-dependent response equations give the proper static limit (ω â 0), including the perturbation in the chemical potential, which is required in static response theory to ensure the correct number of particles. Additionally we show results for the polarizability for H2 and compare the performance of two different two-electron functionals: the phase-including Löwdin-Shull functional and the density matrix form of the Löwdin-Shull functional.
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For chemistry an accurate description of bond weakening and breaking is vital. The great advantage of density matrix functionals, as opposed to density functionals, is their ability to describe such processes since they naturally cover both nondynamical and dynamical correlation. This is obvious in the Löwdin-Shull functional, the exact natural orbital functional for two-electron systems. We present in this paper extensions of this functional for the breaking of a single electron pair bond in N-electron molecules, using LiH, BeH(+), and Li2 molecules as prototypes. Attention is given to the proper formulation of the functional in terms of not just J and K integrals but also the two-electron L integrals (K integrals with a different distribution of the complex conjugation of the orbitals), which is crucial for the calculation of response functions. Accurate energy curves are obtained with extended Löwdin-Shull functionals along the complete dissociation coordinate using full CI calculations as benchmark.
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A number of consequences of the presence of the exchange-correlation hole potential in the Kohn-Sham potential are elucidated. One consequence is that the HOMO-LUMO orbital energy difference in the KS-DFT model (the KS gap) is not "underestimated" or even "wrong", but that it is physically expected to be an approximation to the excitation energy if electrons and holes are close, and numerically proves to be so rather accurately. It is physically not an approximation to the difference between ionization energy and electron affinity I-A (fundamental gap or chemical hardness) and also numerically differs considerably from this quantity. The KS virtual orbitals do not possess the notorious diffuseness of the Hartree-Fock virtual orbitals, they often describe excited states much more closely as simple orbital transitions. The Hartree-Fock model does yield an approximation to I-A as the HOMO-LUMO orbital energy difference (in Koopmans' frozen orbital approximation), if the anion is bound, which is often not the case. We stress the spurious nature of HF LUMOs if the orbital energy is positive. One may prefer Hartree-Fock, or mix Hartree-Fock and (approximate) KS operators to obtain a HOMO-LUMO gap as a Koopmans' approximation to I-A (in cases where A exists). That is a different one-electron model, which exists in its own right. But it is not an "improvement" of the KS model, it necessarily deteriorates the (approximate) excitation energy property of the KS gap in molecules, and deteriorates the good shape of the KS virtual orbitals.
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This paper gives a natural orbital (NO) based analysis of the van der Waals interaction in (singlet) H2 at long distance. The van der Waals interaction, even if not leading to a distinct van der Waals well, affects the shape of the interaction potential in the van der Waals distance range of 5-9 bohrs and can be clearly distinguished from chemical bonding effects. In the NO basis the van der Waals interaction can be quantitatively covered with, apart from the ground state configurations (1σ(g))(2) and (1σ(u))(2), just the 4 configurations (2σ(g))(2) and (2σ(u))(2), and (1π(u))(2) and (1π(g))(2). The physics of the dispersion interaction requires and explains the peculiar relatively large positive CI coefficients of the doubly excited electron configurations (2σ(u))(2) and (1π(g))(2) (the occupancy amplitudes of the 2σ(u) and 1π(gx, y) NOs) in the distance range 5-9 bohrs, which have been observed before by Cioslowski and Pernal [Chem. Phys. Lett. 430, 188 (2006)]. We show that such positive occupancy amplitudes do not necessarily lead to the existence of zero occupation numbers at some H-H distances.
Asunto(s)
Hidrógeno/química , Teoría Cuántica , Interacciones Hidrofóbicas e HidrofílicasRESUMEN
The key characteristics of electronic excitations of many-electron systems, the excitation energies ωα and the oscillator strengths fα, can be obtained from linear response theory. In one-electron models and within the adiabatic approximation, the zeros of the inverse response matrix, which occur at the excitation energies, can be obtained from a simple diagonalization. Particular cases are the eigenvalue equations of time-dependent density functional theory (TDDFT), time-dependent density matrix functional theory, and the recently developed phase-including natural orbital (PINO) functional theory. In this paper, an expression for the oscillator strengths fα of the electronic excitations is derived within adiabatic response PINO theory. The fα are expressed through the eigenvectors of the PINO inverse response matrix and the dipole integrals. They are calculated with the phase-including natural orbital functional for two-electron systems adapted from the work of Löwdin and Shull on two-electron systems (the phase-including Löwdin-Shull functional). The PINO calculations reproduce the reference fα values for all considered excitations and bond distances R of the prototype molecules H2 and HeH(+) very well (perfectly, if the correct choice of the phases in the functional is made). Remarkably, the quality is still very good when the response matrices are severely restricted to almost TDDFT size, i.e., involving in addition to the occupied-virtual orbital pairs just (HOMO+1)-virtual pairs (R1) and possibly (HOMO+2)-virtual pairs (R2). The shape of the curves fα(R) is rationalized with a decomposition analysis of the transition dipole moments.
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Adiabatic response time-dependent density functional theory (TDDFT) suffers from the restriction to basically an occupied â virtual single excitation formulation. Adiabatic time-dependent density matrix functional theory allows to break away from this restriction. Problematic excitations for TDDFT, viz. bonding-antibonding, double, charge transfer, and higher excitations, are calculated along the bond-dissociation coordinate of the prototype molecules H(2) and HeH(+) using the recently developed adiabatic linear response phase-including (PI) natural orbital theory (PINO). The possibility to systematically increase the scope of the calculation from excitations out of (strongly) occupied into weakly occupied ("virtual") natural orbitals to larger ranges of excitations is explored. The quality of the PINO response calculations is already much improved over TDDFT even when the severest restriction is made, to virtually the size of the TDDFT diagonalization problem (only single excitation out of occupied orbitals plus all diagonal doubles). Further marked improvement is obtained with moderate extension to allow for excitation out of the lumo and lumo+1, which become fractionally occupied in particular at longer distances due to left-right correlation effects. In the second place the interpretation of density matrix response calculations is elucidated. The one-particle reduced density matrix response for an excitation is related to the transition density matrix to the corresponding excited state. The interpretation of the transition density matrix in terms of the familiar excitation character (single excitations, double excitations of various types, etc.) is detailed. The adiabatic PINO theory is shown to successfully resolve the problematic cases of adiabatic TDDFT when it uses a proper PI orbital functional such as the PILS functional.
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Whereas a density functional that incorporates dispersion interaction has remained elusive to date, we demonstrate that in principle the dispersion energy can be obtained from a density matrix functional. In density matrix functional theory one tries to find suitable approximations to the two-particle reduced density matrix (2RDM) in terms of natural orbitals (NOs) and natural orbital occupation numbers (ONs). The total energy is then given as a function(al) of the NOs and ONs, i.e., as an implicit functional of the 1RDM. The left-right correlation in a (dissociating) bond, as well as various types of dynamical correlation, can be described accurately with a NO functional employing only J and K integrals (JK-only functional). We give a detailed analysis of the full CI wavefunction of the He(2) dimer, from which the dispersion part of the two-particle density matrix is obtained. It emerges that the entirely different physics embodied in the dispersion interaction leads to an essentially different type of exchange-correlation orbital functional for the dispersion energy (non-JK). The distinct NO functionals for the different types of correlation imply that they can be used in conjunction without problems of double counting. Requirements on the (primitive) basis set for Van der Waals bonding appear to be more modest than for other types of correlation.
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We present a combined experimental and theoretical study of the diffraction of H(2) from Ru(0001) in the incident energy range 78-150 meV, and a theoretical study of dissociative chemisorption of H(2) in the same system. Pronounced out-of-plane diffraction was observed in the whole energy range studied. The energy dependence of the elastic diffraction intensities was measured along the two main symmetry directions for a fixed parallel translational energy. The data were compared with quantum dynamics calculations performed by using DFT-based, six-dimensional potential energy surfaces calculated with both the PW91 and RPBE functionals, as well as with a functional obtained from a weighted average of both (the MIX functional, which was earlier shown to perform quite well for H(2) + Cu(111)). Our results show that the PW91 functional describes the H(2) diffraction intensities more accurately than the RPBE and the MIX functionals, although the absolute values of these intensities are overestimated in the calculations. For the reaction probabilities a preference for one or the other functional cannot be given over the entire energy range probed by the sticking experiments. The PW91 functional yields too high reaction probabilities over the entire investigated energy range, but is better than RPBE at low collision energies (<0.1 eV). The RPBE functional gives too low reaction probabilities at low energy and somewhat too high reaction probabilities at high energy, but agrees better with experiment than PW91 for energies >0.1 eV. The results suggest that, in order to get a better description of both H(2) diffraction and dissociative chemisorption for this system, a specific reaction parameter functional for H(2) + Ru(0001) is needed that is a weighted average of functionals other than PW91 and RPBE. We speculate that differences between the H(2) + Ru(0001) system (early and low reaction barrier) and H(2) + Cu(111) (late and high reaction barrier) may well lead to fundamentally different specific reaction parameter functionals, and that including a reasonable accurate description of the van der Waals interaction might be important for H(2) + Ru(0001) which has barriers localised far away from the surface. Based on our results we advocate new, systematic combined theoretical and experimental studies of H(2) interacting with transition metals in early and late barrier systems, with the aim of determining whether specific reaction parameter functionals for these systems might differ in a systematic way.
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We use the natural orbitals to define an independent particle system, from which the exact one-particle density matrix can be obtained with an ensemble of degenerate determinantal ground states. Also defining explicit phases for the orbitals, and admitting functionals that are dependent on those phases, time-dependent equations for the orbitals and occupation numbers are obtained from an action principle. The wrong polarizability and lack of double excitations of straightforward adiabatic time-dependent density matrix functional theory are then corrected, and the important symmetry χ(ω)=χ{*}(-ω), lost in previous ad hoc improvements, is restored. The extension of the response calculations beyond the occupied-virtual pairs, which are the only ones admitted in time-dependent density functional theory, leads to greatly improved response properties.
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In the major independent particle models of electronic structure theory-Hartree-Fock, Kohn-Sham (KS), and natural orbital (NO) theories-occupations are constrained to 0 and 1 or to the interval [0,1]. We carry out a constrained optimization of the orbitals and occupation numbers with application of the usual equality constraints summation (i) (infinity) n(i)=N and phi(i)/phi(j)=delta(ij). The occupation number optimization is carried out, allowing for fractional occupations, with the inequality constraints n(i)>or=0 and n(i)
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The adiabatic approximation is problematic in time-dependent density matrix functional theory. With pure density matrix functionals (invariant under phase change of the natural orbitals) it leads to lack of response in the occupation numbers, hence wrong frequency dependent responses, in particular α(ωâ0)≠α(0) (the static polarizability). We propose to relinquish the requirement that the functional must be a pure one-body reduced density matrix (1RDM) functional, and to introduce additional variables which can be interpreted as phases of the one-particle states of the independent particle reference system formed with the natural orbitals, thus obtaining so-called phase-including natural orbital (PINO) functionals. We also stress the importance of the correct choice of the complex conjugation in the two-electron integrals in the commonly used functionals (they should not be of exchange type). We demonstrate with the Löwdin-Shull energy expression for two-electron systems, which is an example of a PINO functional, that for two-electron systems exact responses (polarizabilities, excitation energies) are obtained, while writing this energy expression in the usual way as a 1RDM functional yields erroneous responses.
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Negative ions are not accurately represented in density functional approximations (DFAs) such as (semi)local density functionals (LDA or GGA or meta-GGA). This is caused by the much too high orbital energies (not negative enough) with these DFAs compared to the exact Kohn-Sham values. Negative ions very often have positive DFA HOMO energies, hence they are unstable. These problems do not occur with the exact Kohn-Sham potential, the anion HOMO energy then being equal to minus the electron affinity. It is therefore desirable to develop sufficiently accurate approximations to the exact Kohn-Sham potential. There are further beneficial effects on the orbital shapes and the density of using a good approximation to the exact KS potential. Notably the unoccupied orbitals are not unduly diffuse, as they are in the Hartree-Fock model, with hybrid functionals, and even with (semi)local density functional approximations (LDFAs). We show that the recently developed B-GLLB-VWN approximation [Gritsenko et al. J. Chem. Phys. 2016, 144, 204114] to the exact KS potential affords stable negative ions with HOMO orbital energy close to minus the electron affinity.
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Time-dependent density functional theory in its current adiabatic implementations exhibits three striking failures: (a) Totally wrong behavior of the excited state surface along a bond-breaking coordinate, (b) lack of doubly excited configurations, affecting again excited state surfaces, and (c) much too low charge transfer excitation energies. We address these problems with time-dependent density matrix functional theory (TDDMFT). For two-electron systems the exact exchange-correlation functional is known in DMFT, hence exact response equations can be formulated. This affords a study of the performance of TDDMFT in the TDDFT failure cases mentioned (which are all strikingly exhibited by prototype two-electron systems such as dissociating H(2) and HeH(+)). At the same time, adiabatic approximations, which will eventually be necessary, can be tested without being obscured by approximations in the functional. We find the following: (a) In the fully nonadiabatic (omega-dependent, exact) formulation of linear response TDDMFT, it can be shown that linear response (LR)-TDDMFT is able to provide exact excitation energies, in particular, the first order (linear response) formulation does not prohibit the correct representation of doubly excited states; (b) within previously formulated simple adiabatic approximations the bonding-to-antibonding excited state surface as well as charge transfer excitations are described without problems, but not the double excitations; (c) an adiabatic approximation is formulated in which also the double excitations are fully accounted for.