The Predictive Power of Exact Constraints and Appropriate Norms in Density Functional Theory.

Ground-state Kohn-Sham density functional theory provides, in principle, the exact ground-state energy and electronic spin densities of real interacting electrons in a static external potential. In practice, the exact density functional for the exchange-correlation (xc) energy must be approximated in a computationally efficient way. About 20 mathematical properties of the exact xc functional are known. In this work, we review and discuss these known constraints on the xc energy and hole. By analyzing a sequence of increasingly sophisticated density functional approximations (DFAs), we argue that (a) the satisfaction of more exact constraints and appropriate norms makes a functional more predictive over the immense space of many-electron systems and (b) fitting to bonded systems yields an interpolative DFA that may not extrapolate well to systems unlike those in the fitting set. We discuss both how the class of well-described systems has grown along with constraint satisfaction and the possibilities for future functional development.

DFT exchange: sharing perspectives on the workhorse of quantum chemistry and materials science.

In this paper, the history, present status, and future of density-functional theory (DFT) is informally reviewed and discussed by 70 workers in the field, including molecular scientists, materials scientists, method developers and practitioners. The format of the paper is that of a roundtable discussion, in which the participants express and exchange views on DFT in the form of 302 individual contributions, formulated as responses to a preset list of 26 questions. Supported by a bibliography of 777 entries, the paper represents a broad snapshot of DFT, anno 2022.

Simple hydrogenic estimates for the exchange and correlation energies of atoms and atomic ions, with implications for density functional theory.

Exact density functionals for the exchange and correlation energies are approximated in practical calculations for the ground-state electronic structure of a many-electron system. An important exact constraint for the construction of approximations is to recover the correct non-relativistic large-Z expansions for the corresponding energies of neutral atoms with atomic number Z and electron number N = Z, which are correct to the leading order (-0.221Z5/3 and -0.021Z ln Z, respectively) even in the lowest-rung or local density approximation. We find that hydrogenic densities lead to Ex(N, Z) ≈ -0.354N2/3Z (as known before only for Z ≫ N ≫ 1) and Ec ≈ -0.02N ln N. These asymptotic estimates are most correct for atomic ions with large N and Z ≫ N, but we find that they are qualitatively and semi-quantitatively correct even for small N and N ≈ Z. The large-N asymptotic behavior of the energy is pre-figured in small-N atoms and atomic ions, supporting the argument that widely predictive approximate density functionals should be designed to recover the correct asymptotics. It is shown that the exact Kohn-Sham correlation energy, when calculated from the pure ground-state wavefunction, should have no contribution proportional to Z in the Z → ∞ limit for any fixed N.

On the best partitioning of the density functional energy.

This essay discusses special features for two different ways of partitioning the density functional energy expression. The contribution, which is part of the special issue for Pratim Chattaraj, was stimulated by a thought-provoking suggestion by him at a recent conference.

Approximating the Shifted Hartree-Exchange-Correlation Potential in Direct Energy Kohn-Sham Theory.

Levy and Zahariev [Phys. Rev. Lett. 113 113002 (2014)] have proposed a new approach for performing density functional theory calculations, termed direct energy Kohn-Sham (DEKS) theory. In this approach, the electronic energy equals the sum of orbital energies, obtained from Kohn-Sham-like orbital equations involving a shifted Hartree-exchange-correlation potential, which must be approximated. In the present study, density scaling homogeneity considerations are used to facilitate DEKS calculations on a series of atoms and molecules, leading to three nonlocal approximations to the shifted potential. The first two rely on preliminary Kohn-Sham calculations using a standard generalized gradient approximation (GGA) exchange-correlation functional and the results illustrate the benefit of describing the dominant Hartree component of the shift exactly. A uniform electron gas analysis is used to eliminate the need for these preliminary Kohn-Sham calculations, leading to a potential with an unconventional form that yields encouraging results, providing strong motivation for further research in DEKS theory.

Augmented potential, energy densities, and virial relations in the weak- and strong-interaction limits of DFT.

The augmented potential introduced by Levy and Zahariev [Phys. Rev. Lett. 113, 113002 (2014)] is shifted with respect to the standard exchange-correlation potential of the Kohn-Sham density functional theory by a density-dependent constant that makes the total energy become equal to the sum of the occupied orbital energies. In this work, we analyze several features of this approach, focusing on the limit of infinite coupling strength and studying the shift and the corresponding energy density at different correlation regimes. We present and discuss coordinate scaling properties of the augmented potential, study its connection to the response potential, and use the shift to analyze the classical jellium and uniform gas models. We also study other definitions of the energy densities in relation to the functional construction by local interpolations along the adiabatic connection. Our findings indicate that the energy density that is defined in terms of the electrostatic potential of the exchange-correlation hole is particularly well suited for this purpose.

Properties of Augmented Kohn-Sham Potential for Energy as Simple Sum of Orbital Energies.

A recent modification to the traditional Kohn-Sham method ( Levy , M. ; Zahariev , F. Phys. Rev. Lett. 2014 , 113 , 113002 ; Levy , M. ; Zahariev , F. Mol. Phys. 2016 , 114 , 1162 - 1164 ), which gives the ground-state energy as a direct sum of the occupied orbital energies, is discussed and its properties are numerically illustrated on representative atoms and ions. It is observed that current approximate density functionals tend to give surprisingly small errors for the highest occupied orbital energies that are obtained with the augmented potential. The appropriately shifted Kohn-Sham potential is the basic object within this direct-energy Kohn-Sham method and needs to be approximated. To facilitate approximations, several constraints to the augmented Kohn-Sham potential are presented.

Ground-state energy as a simple sum of orbital energies in Kohn-Sham theory: a shift in perspective through a shift in potential.

It is observed that the exact interacting ground-state electronic energy of interest may be obtained directly, in principle, as a simple sum of orbital energies when a universal density-dependent term is added to w([ρ];r), the familiar Hartree plus exchange-correlation component in the Kohn-Sham effective potential. The resultant shifted potential, w[over ¯]([ρ];r), actually changes less on average than w([ρ];r) when the density changes, including the fact that w[over ¯]([ρ];r) does not undergo a discontinuity when the number of electrons increases through an integer. Thus, the approximation of w[over ¯]([ρ];r) represents an alternative direct approach for the approximation of the ground-state energy and density.

Tight constraints on the exchange-correlation potentials of degenerate states.

Identities for the difference of exchange-correlation potentials and energies in degenerate and nondegenerate ground states are derived. The constraints are strong for degenerate ground states, and suggest that local and semilocal approximations to the exchange-correlation energy functional are incapable of correctly treating degenerate ground states. For degenerate states, it is possible to provide both local (pointwise) equality and global inequality constraints for the exchange-correlation potential in terms of the Coulomb potential.

Kinetic and electron-electron energies for convex sums of ground state densities with degeneracies and fractional electron number.

Properties of exact density functionals provide useful constraints for the development of new approximate functionals. This paper focuses on convex sums of ground-level densities. It is observed that the electronic kinetic energy of a convex sum of degenerate ground-level densities is equal to the convex sum of the kinetic energies of the individual degenerate densities. (The same type of relationship holds also for the electron-electron repulsion energy.) This extends a known property of the Levy-Valone Ensemble Constrained-Search and the Lieb Legendre-Transform refomulations of the Hohenberg-Kohn functional to the individual components of the functional. Moreover, we observe that the kinetic and electron-repulsion results also apply to densities with fractional electron number (even if there are no degeneracies), and we close with an analogous point-wise property involving the external potential. Examples where different degenerate states have different kinetic energy and electron-nuclear attraction energy are given; consequently, individual components of the ground state electronic energy can change abruptly when the molecular geometry changes. These discontinuities are predicted to be ubiquitous at conical intersections, complicating the development of universally applicable density-functional approximations.

Average local ionization energies in the Hartree-Fock and Kohn-Sham theories.

We explore the connection between average local ionization energies computed within the Hartree-Fock (HF) and the Kohn-Sham (KS) frameworks, focusing on exchange-only KS theory. We find that they are connected through a local quantity for which good approximations exist; I(HF)(r) = I(KS)(r) + DeltaV(X)(r). This allows determination of HF local ionization energies from exchange-only KS calculations without utilizing a nonlocal potential. We also suggest interesting research directions that emerge during our analysis.

Relation between exchange-only optimized potential and Kohn-Sham methods with finite basis sets, and effect of linearly dependent products of orbital basis functions.

Recently, Staroverov, Scuseria, and Davidson [J. Chem. Phys. 124, 141103 (2006)] presented examples of exchange-only optimized effective potential (xOEP) calculations that yield exactly the Hartree-Fock (HF) total energy. Here, building on their work, arguments showing under which conditions xOEP methods, with finite basis sets, do or do not yield the HF ground state energy but a higher one, are given. While the orbital products of a complete basis are linearly dependent, the HF ground state energy can only be obtained via a finite basis set xOEP scheme in the case that all products of occupied and unoccupied orbitals emerging from the employed orbital basis set are linearly independent of each other. Further, exchange potentials leading to the HF ground state energy likely exhibit unphysical oscillations and do not represent a Kohn-Sham (KS) exchange potential as a functional derivative of the exchange energy. These findings appear to explain the seemingly paradoxical results of Staroverov et al. that certain finite basis set xOEP calculations lead to the HF ground state energy despite the fact that within a real space (or complete basis) representation, the xOEP ground state energy is always higher than the HF energy. Moreover, independent of whether or not the occupied and unoccupied orbital products are linearly dependent, it is shown that finite basis set xOEP methods only represent exact exchange-only (EXX) KS methods, i.e., proper density-functional methods, if the orbital basis set and the auxiliary basis set representing the exchange potential are balanced to each other, i.e., if the orbital basis is comprehensive enough for a given auxiliary basis. Otherwise xOEP methods do not represent EXX KS methods and yield unphysical exchange potentials. The question whether a xOEP method properly represents a KS method with an exchange potential that is a functional derivative of the exchange energy is related to the problem of the definition of local multiplicative operators in finite basis representations. Plane wave calculations for bulk silicon illustrate the findings of this work.

Generalizations of the Hohenberg-Kohn theorem: I. Legendre transform constructions of variational principles for density matrices and electron distribution functions.

Given a general, N-particle Hamiltonian operator, analogs of the Hohenberg-Kohn theorem are derived for functions that are more general than the particle density, including density matrices and the diagonal elements thereof. The generalization of Lieb's Legendre transform ansatz to the generalized Hohenberg-Kohn functional not only solves the upsilon-representability problem for these entities, but, more importantly, also solves the N-representability problem. Restricting the range of operators explored by the Legendre transform leads to a lower bound on the true functional. If all the operators of interest are incorporated in the restricted maximization, however, the variational principle dictates that exact results are obtained for the systems of interest. This might have important implications for practical work not only for density matrices but also for density functionals. A follow-up paper will present a useful alternative approach to the upsilon- and N-representability problems based on the constrained search formalism.