Ionization potentials and fundamental gaps in atomic systems from the Ensemble-DFT approach.

Calculations in Kohn-Sham density functional theory crucially rely on high-quality approximations for the exchange-correlation (xc) functional. Standard local and semi-local approximations fail to predict the ionization potential (IP) and the fundamental gap, departing from the Kohn-Sham orbital energies, due to the deviation of the total energy from piecewise-linearity and the absence of the derivative discontinuity. The ensemble generalization procedure introduced in Phys. Rev. Lett. 110, 126403 (2013) restores, to a large extent, these features in any approximate xc functional and improves its ability to predict the IP and the fundamental gap with negligible additional computational effort. In this work we perform an extensive study of atoms and first ions across the Periodic Table, generalizing the local spin-density and the Perdew-Burke-Ernzerhof approximations. By applying the ensemble generalization to a variety of systems, with s-, p-, and d-character, we assess the accuracy of the method and identify important trends. In particular, we find that the accuracy of our approach heavily depends on the character of the frontier orbitals: when d-orbitals are involved, the performance is far less accurate. Possible sources of error are discussed and ways for further improvement are outlined.

Asymptotic behavior of the Hartree-exchange and correlation potentials in ensemble density functional theory.

We report on previously unnoticed features of the exact Hartree-exchange and correlation potentials for atoms and ions treated via ensemble density functional theory, demonstrated on fractional ions of Li, C, and F. We show that these potentials, when treated separately, can reach non-vanishing asymptotic constant values in the outer region of spherical, spin unpolarized atoms. In the next leading order, the potentials resemble Coulomb potentials created by effective charges which have the peculiarity of not behaving as piecewise constants as a function of the electron number. We provide analytical derivations and complement them with numerical results using the inversion of the Kohn-Sham equations for interacting densities obtained by accurate quantum Monte Carlo calculations. The present results expand on the knowledge of crucial exact properties of Kohn-Sham systems, which can guide development of advanced exchange-correlation approximations.

Effect of ensemble generalization on the highest-occupied Kohn-Sham eigenvalue.

There are several approximations to the exchange-correlation functional in density-functional theory, which accurately predict total energy-related properties of many-electron systems, such as binding energies, bond lengths, and crystal structures. Other approximations are designed to describe potential-related processes, such as charge transfer and photoemission. However, the development of a functional which can serve the two purposes simultaneously is a long-standing challenge. Trying to address it, we employ in the current work the ensemble generalization procedure proposed by Kraisler and Kronik [Phys. Rev. Lett. 110, 126403 (2013)]. Focusing on the prediction of the ionization potential via the highest occupied Kohn-Sham eigenvalue, we examine a variety of exchange-correlation approximations: the local spin-density approximation, semi-local generalized gradient approximations, and global and local hybrid functionals. Results for a test set of 26 diatomic molecules and single atoms are presented. We find that the aforementioned ensemble generalization systematically improves the prediction of the ionization potential, for various systems and exchange-correlation functionals, without compromising the accuracy of total energy-related properties. We specifically examine hybrid functionals. These depend on a parameter controlling the ratio of semi-local to non-local functional components. The ionization potential obtained with ensemble-generalized functionals is found to depend only weakly on the parameter value, contrary to common experience with non-generalized hybrids, thus eliminating one aspect of the so-called "parameter dilemma" of hybrid functionals.

One-electron self-interaction and the asymptotics of the Kohn-Sham potential: an impaired relation.

One-electron self-interaction and an incorrect asymptotic behavior of the Kohn-Sham exchange-correlation potential are among the most prominent limitations of many present-day density functionals. However, a one-electron self-interaction-free energy does not necessarily lead to the correct long-range potential. This is shown here explicitly for local hybrid functionals. Furthermore, carefully studying the ratio of the von Weizsäcker kinetic energy density to the (positive) Kohn-Sham kinetic energy density, τW/τ, reveals that this ratio, which frequently serves as an iso-orbital indicator and is used to eliminate one-electron self-interaction effects in meta-generalized-gradient approximations and local hybrid functionals, can fail to approach its expected value in the vicinity of orbital nodal planes. This perspective article suggests that the nature and consequences of one-electron self-interaction and some of the strategies for its correction need to be reconsidered.

Fundamental gaps with approximate density functionals: the derivative discontinuity revealed from ensemble considerations.

The fundamental gap is a central quantity in the electronic structure of matter. Unfortunately, the fundamental gap is not generally equal to the Kohn-Sham gap of density functional theory (DFT), even in principle. The two gaps differ precisely by the derivative discontinuity, namely, an abrupt change in slope of the exchange-correlation energy as a function of electron number, expected across an integer-electron point. Popular approximate functionals are thought to be devoid of a derivative discontinuity, strongly compromising their performance for prediction of spectroscopic properties. Here we show that, in fact, all exchange-correlation functionals possess a derivative discontinuity, which arises naturally from the application of ensemble considerations within DFT, without any empiricism. This derivative discontinuity can be expressed in closed form using only quantities obtained in the course of a standard DFT calculation of the neutral system. For small, finite systems, addition of this derivative discontinuity indeed results in a greatly improved prediction for the fundamental gap, even when based on the most simple approximate exchange-correlation density functional--the local density approximation (LDA). For solids, the same scheme is exact in principle, but when applied to LDA it results in a vanishing derivative discontinuity correction. This failure is shown to be directly related to the failure of LDA in predicting fundamental gaps from total energy differences in extended systems.

A self-interaction-free local hybrid functional: accurate binding energies vis-à-vis accurate ionization potentials from Kohn-Sham eigenvalues.

We present and test a new approximation for the exchange-correlation (xc) energy of Kohn-Sham density functional theory. It combines exact exchange with a compatible non-local correlation functional. The functional is by construction free of one-electron self-interaction, respects constraints derived from uniform coordinate scaling, and has the correct asymptotic behavior of the xc energy density. It contains one parameter that is not determined ab initio. We investigate whether it is possible to construct a functional that yields accurate binding energies and affords other advantages, specifically Kohn-Sham eigenvalues that reliably reflect ionization potentials. Tests for a set of atoms and small molecules show that within our local-hybrid form accurate binding energies can be achieved by proper optimization of the free parameter in our functional, along with an improvement in dissociation energy curves and in Kohn-Sham eigenvalues. However, the correspondence of the latter to experimental ionization potentials is not yet satisfactory, and if we choose to optimize their prediction, a rather different value of the functional's parameter is obtained. We put this finding in a larger context by discussing similar observations for other functionals and possible directions for further functional development that our findings suggest.

Ensemble Ground State of a Many-Electron System with Fractional Electron Number and Spin: Piecewise-Linearity and Flat-Plane Condition Generalized.

Description of many-electron systems with a fractional electron number (Ntot) and fractional spin (Mtot) is of great importance in physical chemistry, solid-state physics, and materials science. In this Letter, we provide an exact description of the zero-temperature ensemble ground state of a general, finite, many-electron system and characterize the dependence of the energy and the spin-densities on both Ntot and Mtot, when the total spin is at its equilibrium value. We generalize the piecewise-linearity principle and the flat-plane condition and determine which pure states contribute to the ground-state ensemble. We find a new derivative discontinuity, which manifests for spin variation at a constant Ntot, as a jump in the Kohn-Sham potential. We identify a previously unknown degeneracy of the ground state, such that the total energy and density are unique, but the spin-densities are not. Our findings serve as a basis for development of advanced approximations in density functional theory and other many-electron methods.

Piecewise linearity of approximate density functionals revisited: implications for frontier orbital energies.

In the exact Kohn-Sham density-functional theory, the total energy versus the number of electrons is a series of linear segments between integer points. However, commonly used approximate density functionals produce total energies that do not exhibit this piecewise-linear behavior. As a result, the ionization potential theorem, equating the highest occupied eigenvalue with the ionization potential, is grossly disobeyed. Here, we show that, contrary to conventional wisdom, most of the required piecewise linearity of an arbitrary approximate density functional can be restored by careful consideration of the ensemble generalization of density-functional theory. Furthermore, the resulting formulation introduces the desired derivative discontinuity to any approximate exchange-correlation functional, even one that is explicitly density dependent. This opens the door to calculations of the ionization potential and electron affinity, even without explicit electron removal or addition. All these advances are achieved while neither introducing empiricism nor changing the underlying functional form. The power of the approach is demonstrated on benchmark systems using the local density approximation as an illustrative example.

Charge-Transfer Steps in Density Functional Theory from the Perspective of the Exact Electron Factorization.

When a molecule dissociates, the exact Kohn-Sham (KS) and Pauli potentials may form step structures. Reproducing these steps correctly is central for the description of dissociation and charge-transfer processes in density functional theory (DFT): The steps align the KS eigenvalues of the dissociating subsystems relative to each other and determine where electrons localize. While the step height can be calculated from the asymptotic behavior of the KS orbitals, this provides limited insight into what causes the steps. We give an explanation of the steps with an exact mapping of the many-electron problem to a one-electron problem, the exact electron factorization (EEF). The potentials appearing in the EEF have a clear physical meaning that translates to the DFT potentials by replacing the interacting many-electron system with the KS system. With a simple model of a diatomic, we illustrate that the steps are a consequence of spatial electron entanglement and are the result of a charge transfer. From this mechanism, the step height can immediately be deduced. Moreover, two methods to approximately reproduce the potentials during dissociation are proposed. One is based on the states of the dissociated system, while the other one is based on an analogy to the Born-Oppenheimer treatment of a molecule. The latter method also shows that the steps connect adiabatic potential energy surfaces. The view of DFT from the EEF thus provides a better understanding of how many-electron effects are encoded in a one-electron theory and how they can be modeled.

From Kohn-Sham to Many-Electron Energies via Step Structures in the Exchange-Correlation Potential.

Accurately describing excited states within Kohn-Sham (KS) density functional theory (DFT), particularly those which induce ionization and charge transfer, remains a great challenge. Common exchange-correlation (xc) approximations are unreliable for excited states owing, in part, to the absence of a derivative discontinuity in the xc energy (Δ), which relates a many-electron energy difference to the corresponding KS energy difference. We demonstrate, analytically and numerically, how the relationship between KS and many-electron energies leads to the step structures observed in the exact xc potential in four scenarios: electron addition, molecular dissociation, excitation of a finite system, and charge transfer. We further show that steps in the potential can be obtained also with common xc approximations, as simple as the LDA, when addressed from the ensemble perspective. The article therefore highlights how capturing the relationship between KS and many-electron energies with advanced xc approximations is crucial for accurately calculating excitations, as well as the ground-state density and energy of systems which consist of distinct subsystems.

How Interatomic Steps in the Exact Kohn-Sham Potential Relate to Derivative Discontinuities of the Energy.

Accurate density functional calculations hinge on reliable approximations to the unknown exchange-correlation (xc) potential. The most popular approximations usually lack features of the exact xc potential that are important for an accurate prediction of the fundamental gap and the distribution of charge in complex systems. Two principal features in this regard are the spatially uniform shift in the potential, as the number of electrons infinitesimally surpasses an integer, and the spatial steps that form, for example, between the atoms of stretched molecules. Although both aforementioned concepts are well known, the exact relationship between them remained unclear. Here we establish this relationship via an analytical derivation. We support our result by numerically solving the many-electron Schrödinger equation to extract the exact Kohn-Sham potential and directly observe its features. Spatial steps in the exact xc potential of a full configuration-interaction (FCI) calculation of a molecule are presented in three dimensions.

Rethinking transition voltage spectroscopy within a generic Taylor expansion view.

Transition voltage spectroscopy (TVS) has become an accepted quantification tool for molecular transport characteristics, due to its simplicity and reproducibility. Alternatively, the Taylor expansion view, TyEx, of transport by tunneling suggests that conductance-voltage curves have approximately a generic parabolic shape, regardless of whether the tunneling model is derived from an average medium view (e.g., WKB) or from a scattering view (e.g., Landauer). Comparing TVS and TyEx approaches reveals that TVS is closely related to a bias-scaling factor, V(0), which is directly derived from the third coefficient of TyEx, namely, the second derivative of the conductance with respect to bias at 0 V. This interpretation of TVS leads to simple expressions that can be compared easily across primarily different tunneling models. Because the basic curve shape is mostly generic, the quality of model fitting is not informative on the actual tunneling model. However internal correlation between the conductance near 0 V and V(0) (TVS) provides genuine indication on fundamental tunneling features. Furthermore, we show that the prevailing concept that V(0) is proportional to the barrier height holds only in the case of resonant tunneling, while for off-resonant or deep tunneling, V(0) is proportional to the ratio of barrier height to barrier width. Finally, considering TVS as a measure of conductance nonlinearity, rather than as an indicator for energy level spectroscopy, explains the very low TVS values observed with a semiconducting (instead of metal) electrode, where transport is highly nonlinear due to the relatively small, bias-dependent density of states of the semiconducting electrode.