Optimized effective potential method for individual low-lying excited states

This paper presents an optimized effective potential (OEP) approach based on density functional theory (DFT) for individual excited states that implements a simple method of taking the necessary orthogonality constraints into account. The amended Kohn-Sham (KS) equations for orbitals of excited states having the same symmetry as the ground one are proposed. Using a variational principle with some orthogonality constraints, the OEP equations determining a local exchange potential for excited states are derived. Specifically, local potentials are derived whose KS determinants minimize the total energies and are simultaneously orthogonal to the determinants for states of lower energies. The parametrized form of an effective DFT potential expressed as a direct mapping of the external potential is used to simplify the OEP integral equations. A performance of the presented method is examined by exchange-only calculations of excited state energies for simple atoms and molecules.     

The exchange-correlation potential in ab initio density functional theory

From coupled-cluster theory and many-body perturbation theory we derive the local exchange-correlation potential of density functional theory in an orbital dependent form. We show the relationship between the coupled-cluster approach and density functional theory, and connections and comparisons with our previous second-order correlation potential [OEP-MBPT(2) (OEP-optimized effective potential)] [I. Grabowski, S. Hirata, S. Ivanov, and R. J. Bartlett, J. Chem. Phys. 116, 4415 (2002)]. Starting from a general theoretical framework based on the density condition in Kohn-Sham theory, we define a rigorous exchange-correlation functional, potential and orbitals. Specifying initially to second-order terms, we show that our ab initio correlation potential provides the correct shape compared to those from reference quantum Monte Carlo calculations, and we demonstrate the superiority of using Fock matrix elements or more general infinite-order semicanonical transformations. This enables us to introduce a method that is guaranteed to converge to the right answer in the correlation and basis set limit, just as does ab initio wave function theory. We also demonstrate that the energies obtained from this generalized second-order method [OEP-MBPT2-f] and [OEP-MBPT2-sc] are often of coupled-cluster accuracy and substantially better than ordinary Hartree-Fock based second-order MBPT=MP2.     

Higher order alchemical derivatives from coupled perturbed self-consistent field theory

We present an analytical approach to treat higher order derivatives of Hartree-Fock (HF) and Kohn-Sham (KS) density functional theory energy in the Born-Oppenheimer approximation with respect to the nuclear charge distribution (so-called alchemical derivatives). Modified coupled perturbed self-consistent field theory is used to calculate molecular systems response to the applied perturbation. Working equations for the second and the third derivatives of HF/KS energy are derived. Similarly, analytical forms of the first and second derivatives of orbital energies are reported. The second derivative of Kohn-Sham energy and up to the third derivative of Hartree-Fock energy with respect to the nuclear charge distribution were calculated. Some issues of practical calculations, in particular the dependence of the basis set and Becke weighting functions on the perturbation, are considered. For selected series of isoelectronic molecules values of available alchemical derivatives were computed and Taylor series expansion was used to predict energies of the "surrounding" molecules. Predicted values of energies are in unexpectedly good agreement with the ones computed using HF/KS methods. Presented method allows one to predict orbital energies with the error less than 1% or even smaller for valence orbitals.     

Random-phase-approximation-based correlation energy functionals: benchmark results for atoms

The random phase approximation for the correlation energy functional of the density functional theory has recently attracted renewed interest. Formulated in terms of the Kohn-Sham orbitals and eigenvalues, it promises to resolve some of the fundamental limitations of the local density and generalized gradient approximations, as, for instance, their inability to account for dispersion forces. First results for atoms, however, indicate that the random phase approximation overestimates correlation effects as much as the orbital-dependent functional obtained by a second order perturbation expansion on the basis of the Kohn-Sham Hamiltonian. In this contribution, three simple extensions of the random phase approximation are examined; (a) its augmentation by a local density approximation for short-range correlation, (b) its combination with the second order exchange term, and (c) its combination with a partial resummation of the perturbation series including the second order exchange. It is found that the ground state and correlation energies as well as the ionization potentials resulting from the extensions (a) and (c) for closed subshell atoms are clearly superior to those obtained with the unmodified random phase approximation. Quite some effort is made to ensure highly converged data, so that the results may serve as benchmark data. The numerical techniques developed in this context, in particular, for the inherent frequency integration, should also be useful for applications of random phase approximation-type functionals to more complex systems.     

Self-consistent, constrained linear-combination-of-atomic-potentials approach to quantum mechanics

Variational fitting gives a stationary linear-combination of atomic potentials (LCAP) approximation to the Kohn-Sham (KS) potential, V. That potential is central to density-functional theory because it generates all orbitals, occupied as well as virtual. Perturbation theory links two self-consistent field (SCF) calculations that differ by the perturbation. Using the same variational LCAP methods and basis sets in the two SCF calculations gives precise KS potentials for each order. Variational V perturbation theory, developed herein through second order, gives stationary potentials at each order and stationary even-order perturbed energies that precisely link the two SCF calculations. Iterative methods are unnecessary because the dimension of the matrix that must be inverted is the KS basis size, not the number of occupied times virtual orbitals of coupled-perturbed methods. With variational perturbation theory, the precision of derivatives and the fidelity of the LCAP KS potential are not related. Finite differences of SCF calculations allow the precision of analytic derivatives from double-precision code to be verified to roughly seven significant digits. For a simple functional, the fourth derivatives of the energy and the first and second derivative of the KS potentials with respect to orbital occupation are computed for a standard set of molecules and basis sets, with and without constraints on the fit to the KS potential. There is no significant difference between the constrained and unconstrained calculations.     

Analytical evaluation of Fukui functions and real-space linear response function

Many useful concepts developed within density functional theory provide much insight for the understanding and prediction of chemical reactivity, one of the main aims in the field of conceptual density functional theory. While approximate evaluations of such concepts exist, the analytical and efficient evaluation is, however, challenging, because such concepts are usually expressed in terms of functional derivatives with respect to the electron density, or partial derivatives with respect to the number of electrons, complicating the connection to the computational variables of the Kohn-Sham one-electron orbitals. Only recently, the analytical expressions for the chemical potential, one of the key concepts, have been derived by Cohen, Mori-Sánchez, and Yang, based on the potential functional theory formalism. In the present work, we obtain the analytical expressions for the real-space linear response function using the coupled perturbed Kohn-Sham and generalized Kohn-Sham equations, and the Fukui functions using the previous analytical expressions for chemical potentials of Cohen, Mori-Sánchez, and Yang. The analytical expressions are exact within the given exchange-correlation functional. They are applicable to all commonly used approximate functionals, such as local density approximation (LDA), generalized gradient approximation (GGA), and hybrid functionals. The analytical expressions obtained here for Fukui function and linear response functions, along with that for the chemical potential by Cohen, Mori-Sánchez, and Yang, provide the rigorous and efficient evaluation of the key quantities in conceptual density functional theory within the computational framework of the Kohn-Sham and generalized Kohn-Sham approaches. Furthermore, the obtained analytical expressions for Fukui functions, in conjunction with the linearity condition of the ground state energy as a function of the fractional charges, also lead to new local conditions on the exact functionals, expressed in terms of the second-order functional derivatives. We implemented the expressions and demonstrate the efficacy with some atomic and molecular calculations, highlighting the importance of relaxation effects.     

Semiempirical double-hybrid density functional with improved description of long-range correlation

The recently proposed new family of "double-hybrid" density functionals [Grimme, S. J. Chem. Phys. 2006, 124, 34108] replaces a fraction of the semi-local correlation energy by a non-local correlation energy expression that employs the Kohn-Sham orbitals in second-order many-body perturbation theory. These functionals have provided results of high accuracy over a wide range of properties but fail to accurately describe long-range van der Waals interactions. In this work, a distance-dependent scaling factor for the non-local correlation energy is introduced to address this problem, and two new double-hybrid density functionals are proposed. The new functionals are optimized with the finite cc-pVTZ basis on training sets of atomization energies and intermolecular interaction energies. They are compared against (scaled) second-order M?ller-Plesset perturbation theories and popular density functionals including the hybrid-GGA functional B3-LYP and the first double-hybrid functional (B2-PLYP). Tests are performed on an extensive set including reaction energies, barrier heights, weakly interacting complexes, transition-metal systems, molecular geometries, and harmonic vibrational frequencies. Within the cc-pVTZ atomic orbital basis, we have demonstrated the ability to find a parametrization scheme which is simultaneously able to describe thermochemistry and weakly bound systems with a satisfactory degree of accuracy.     

Increasing the applicability of density functional theory. II. Correlation potentials from the random phase approximation and beyond

Density functional theory (DFT) results are mistrusted at times due to the presence of an unknown exchange correlation functional, with no practical way to guarantee convergence to the right answer. The use of a known exchange correlation functional based on wave-function theory helps to alleviate such mistrust. The exchange correlation functionals can be written exactly in terms of the density-density response function using the adiabatic-connection and fluctuation-dissipation framework. The random phase approximation (RPA) is the simplest approximation for the density-density response function. Since the correlation functional obtained from RPA is equivalent to the direct ring coupled cluster doubles (ring-CCD) correlation functional, meaning only Coulomb interactions are included, one can bracket RPA between many body perturbation theory (MBPT)-2 and CCD with the latter having all ring, ladder, and exchange contributions. Using an optimized effective potential strategy, we obtain correlation potentials corresponding to MBPT-2, RPA (ring-CCD), linear-CCD, and CCD. Using the suitable choice of the unperturbed Hamiltonian, Kohn-Sham self-consistent calculations are performed. The spatial behavior of the resulting potentials, total energies, and the HOMO eigenvalues are compared with the exact values for spherical atoms. Further, we demonstrate that the self-consistent eigenvalues obtained from these consistent potentials used in ab initio dft approximate all principal ionization potentials as demanded by ionization potential theorem.     

On orthogonality constrained multiple core‐hole states and optimized effective potential method

An attempt to construct a multiple core‐hole state within the optimized effective potential (OEP) methodology is presented. In contrast to the conventional Δ‐self‐consistent field method for hole states, the effects of removing an electron is achieved using some orthogonality constraints imposed on the orbitals so that a Slater determinant describing a hole state is constrained to be orthogonal to that of a neutral system. It is shown that single, double, and multiple core‐hole states can be treated within a unified framework and can be easily implemented for atoms and molecules. For this purpose, a constrained OEP method proposed earlier for excited states (Glushkov and Levy, J. Chem. Phys. 2007, 126, 174106) is further developed to calculate single and double core ionization energies using a local effective potential expressed as a direct mapping of the external potential. The corresponding equations, determining core‐hole orbitals from a one‐particle Schrödinger equation with a local potential as well as correlation corrections derived from the second‐order many‐body perturbation theory are given. One of the advantages of the present direct mapping formulation is that the effective potential, which plays the role of the Kohn–Sham potential, has the symmetry of the external potential. Single and double core ionization potentials computed with the presented scheme were found to be in agreement with data available from experiment and other calculations. We also discuss core‐hole state local potentials for the systems studied. © 2012 Wiley Periodicals, Inc.     

Correlated one-particle method: numerical results

In a previous paper a correlated one-particle method was formulated, where the effective Hamiltonian was composed of the Fock operator and a correlation potential. The objective was to define a correlated one-particle theory that would give all properties that can be obtained from a one-particle theory. The Fock-space coupled-cluster method was used to construct the infinite-order correlation potential, which yields correct ionization potentials (IP's) and electron affinities (EA's) as the negative of the eigenvalues. The model, however, was largely independent of orbital choice. To exploit the degree of freedom of improving the orbitals, the Brillouin-Brueckner condition is imposed, which leads to an effective Brueckner Hamiltonian. To assess its numerical properties, the effective Brueckner Hamiltonian is approximated through second order in perturbation. Its eigenvalues are the negative of IP's and EA's correct through second order, and its eigenfunctions are second-order Brueckner orbitals. We also give expressions for its energy and density matrix. Different partitioning schemes of the Hamiltonian are used and the intruder state problem is discussed. The results for ionization potentials, electron affinities, dipole moments, energies, and potential curves are given for some sample molecules.     

Time-dependent exchange-correlation current density functionals with memory

Most present applications of time-dependent density functional theory use adiabatic functionals, i.e., the effective potential at time t is determined solely by the density at the same time. This paper discusses a method that aims to go beyond this approximation, by incorporating "memory" effects: the derived exchange-correlation potential will depend not only on present densities but also on the past. In order to ensure the potentials are causal, we formulate the action on the Keldysh contour for electrons in electromagnetic fields, from which we derive suitable Kohn-Sham equations. The exchange-correlation action is now a functional of the electron density and velocity field. A specific action functional is constructed which is Galilean invariant and yields a causal exchange-correlation vector potential for the Kohn-Sham equations incorporating memory effects. We show explicitly that the net exchange-correlation Lorentz force is zero. The potential is consistent with known dynamical properties of the homogeneous electron gas (in the linear response limit).     

Away from generalized gradient approximation: orbital-dependent exchange-correlation functionals

The local-density approximation of density functional theory (DFT) is remarkably accurate, for instance, for geometries and frequencies, and the generalized gradient approximations have also made bond energies quite reliable. Sometimes, however, one meets with failure in individual cases. One of the possible routes towards better functionals would be the incorporation of orbital dependence (which is an implicit density dependency) in the functionals. We discuss this approach both for energies and for response properties. One possibility is the use of the Hartree-Fock-type exchange energy expression as orbital-dependent functional. We will argue that in spite of the increasing popularity of this approach, it does not offer any advantage over Hartree-Fock for energies. We will advocate not to apply the separation of exchange and correlation, which is so ingrained in quantum chemistry, but to model both simultaneously. For response properties the energies and shapes of the virtual orbitals are crucial. We will discuss the benefits that Kohn-Sham potentials can offer which are derived from either an orbital-dependent energy functional, including the exact-exchange functional, or which can be obtained directly as orbital-dependent functional. We highlight the similarity of the Hartree-Fock and Kohn-Sham occupied orbitals and orbital energies, and the essentially different meanings the virtual orbitals and orbital energies have in these two models. We will show that these differences are beneficial for DFT in the case of localized excitations (in a small molecule or in a fragment), but are detrimental for charge-transfer excitations. Again, orbital dependency, in this case in the exchange-correlation kernel, offers a solution.     

A comparative analysis of Hartree-Fock and Kohn-Sham orbital energies

Hartree-Fock and Kohn-Sham orbital energies, the latter computed with several different exchange/correlation functionals, are compared and analyzed for 12 molecules. The Kohn-Sham energies differ significantly from experimental ionization energies, but by amounts that are, for a given molecule and exchange/correlation functional, roughly the same for all of the valence orbitals. With the exchange/correlation functionals used, the energy of the highest occupied Kohn-Sham orbital does not approximate the corresponding ionization potential any better than do the other orbital energies. Received: 24 October 1997 / Accepted 31 October 1997     

Some efforts beyond the local density approximation

The exchange-correlation density functional can be expressed as a many-body perturbation series in terms of the Coulomb interaction using the exact Kohn-Sham orbitals as the basis. A self-consistent equation is derived for the exact exchangecorrelation potential. This perturbation approach forms a basis for going beyond the local density approximation (LDA ). The discontinuity in the exchange-correlation potential for semiconductors calculated by the perturbative approach gives a good account of the discrepancy of the band gap calculated in LDA . The discontinuity also plays an important role in the interface band diagrams. A theory to account for the interaction effects of localized d or f orbitals is reviewed and the physics of the applications to a model test, to some 3d transition metals, and to heavy fermions is discussed. The perturbative approach to improvement beyond LDA tends to be computation-intensive and to be system-specific. © 1995 John Wiley & Sons, Inc.     

Chemical hardness and the discontinuity of the Kohn-Sham exchange-correlation potential

Chemical hardness, identified as the difference between the vertical first ionization potential I and the vertical electron affinity A, is analyzed in the context of the ionization theorems to derive expressions for its evaluation at different levels of approximation that arise as a direct consequence of the derivative discontinuity of the exchange-correlation potential. The quantities involved in these expressions incorporate indirectly the effects of the discontinuity, but their values may be calculated with any functional of the local density approximation, generalized gradient approximation, or optimized effective potential type, with or without derivative discontinuity, and with or without the correct asymptotic behavior. By comparison with the vertical energy difference values of I and A, which requires the calculation of the N-, (N-1)-, and (N+1)-electron systems, it is found, for a set of 14 closed shell molecules, that the difference between the eigenvalues of the highest occupied molecular orbitals of the N- and (N+1)-electron systems leads to rather accurate values, when the correct asymptotic behavior is incorporated, and that a second-order one-body perturbation approach that only requires information from the N-electron system leads to reasonable values.     

A non-orthogonal Kohn-Sham method using partially fixed molecular orbitals

A density functional theory method using partially fixed molecular orbitals (PFMOs) is presented. The PFMOs, which have some fixed molecular orbital coefficients and are non-orthogonal, are a generalization of the extreme localized orbitals (ELMOs) of Couty, Bayse, and Hall (1997) Theor Chem Acc 97:96. A non-orthogonal Kohn-Sham method with these PFMOs is derived, and is applied to molecular calculations on the ionization potential of pyridine, the energy difference between cis- and trans-butadiene, the reaction barrier height of the cyclobutene-cis-butadiene interconversion, and the potential energy curve of the hydrogen shift reaction of hydroxycarbene to formaldehyde. The PFMO Kohn-Sham method reproduces well the results of the full Kohn-Sham method without having a restriction on the molecular orbital coefficients. The difference is less than 0.1 eV in the ionization potential and about 0.1 kcal/mol in the barrier height and in the potential energy calculations.     

Self-consistent effective local potentials

An effective local potential (ELP) is a multiplicative operator whose deviation from a given nonlocal potential has the smallest variance evaluated with a prescribed single-determinant wave function. ELPs are useful in density functional theory as alternatives to optimized effective potentials (OEPs) because they do not require special treatment in finite basis set calculations as OEPs do. We generalize the idea of variance-minimizing potentials by introducing the concept of a self-consistent ELP (SCELP), a local potential whose deviation from its nonlocal counterpart has the smallest variance in terms of its own Kohn-Sham orbitals. A semi-analytical method for computing SCELPs is presented. The OEP, ELP, and SCELP techniques are applied to the exact-exchange-only Kohn-Sham problem and are found to produce similar results for many-electron atoms.     

The limitations of Slater's element-dependent exchange functional from analytic density-functional theory

Our recent formulation of the analytic and variational Slater-Roothaan (SR) method, which uses Gaussian basis sets to variationally express the molecular orbitals, electron density, and the one-body effective potential of density-functional theory, is reviewed. Variational fitting can be extended to the resolution of identity method, where variationality then refers to the error in each two-electron integral and not to the total energy. However, a Taylor-series analysis shows that all analytic ab initio energies calculated with variational fits to two-electron integrals are stationary. It is proposed that the appropriate fitting functions be charge neutral and that all ab initio energies be evaluated using two-center fits of the two-electron integrals. The SR method has its root in Slater's Xalpha method and permits an arbitrary scaling of the Slater-Gàspàr-Kohn-Sham exchange-correlation potential around each atom in the system. The scaling factors are Slater's exchange parameters alpha. Of several ways of choosing these parameters, two most obvious are the Hartree-Fock (HF) alpha(HF) values and the exact atomic alpha(EA) values. The former are obtained by equating the self-consistent Xalpha energy and the HF energies, while the latter set reproduces exact atomic energies. In this work, we examine the performance of the SR method for predicting atomization energies, bond distances, and ionization potentials using the two sets of alpha parameters. The atomization energies are calculated for the extended G2 set of 148 molecules for different basis-set combinations. The mean error (ME) and mean absolute error (MAE) in atomization energies are about 25 and 33 kcal/mol, respectively, for the exact atomic alpha(EA) values. The HF values of exchange parameters alpha(HF) give somewhat better performance for the atomization energies with ME and MAE being about 15 and 26 kcal/mol, respectively. While both sets give performance better than the local-density approximation or the HF theory, the errors in atomization energy are larger than the target chemical accuracy. To further improve the performance of the SR method for atomization energies, a new set of alpha values is determined by minimizing the MAE in atomization energies of 148 molecules. This new set gives atomization energies half as large (MAE approximately 14.5 kcal/mol) and that are slightly better than those obtained by one of the most widely used generalized-gradient approximations. Further improvements in atomization energies require going beyond Slater's functional form for exchange employed in this work to allow exchange-correlation interactions between electrons of different spins. The MAE in ionization potentials of 49 atoms and molecules is about 0.5 eV and that in bond distances of 27 molecules is about 0.02 A. The overall good performance of the computationally efficient SR method using any reasonable set of alpha values makes it a promising method for study of large systems.