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Recent progress in the field of (time-independent) ensemble density-functional theory (DFT) for excited states are reviewed. Both Gross-Oliveira-Kohn (GOK) and $N$-centered ensemble formalisms, which are mathematically very similar and allow for an in-principle-exact description of neutral and charged electronic excitations, respectively, are discussed. Key exact results like, for example, the equivalence between the infamous derivative discontinuity problem and the description of weight dependencies in the ensemble exchange-correlation density functional, are highlighted. The variational evaluation of orbital-dependent ensemble Hartree-exchange (Hx) energies is discussed in detail. We show in passing that state-averaging individual exact Hx energies can lead to severe (solvable though) $v$-representability issues. Finally, we explore the possibility to use the concept of density-driven correlation, which has been recently introduced and does not exist in regular ground-state DFT, for improving state-of-the-art correlation density-functional approximations for ensembles. The present review reflects the efforts of a growing community to turn ensemble DFT into a rigorous and reliable low-cost computational method for excited states. We hope that, in the near future, this contribution will stimulate new formal and practical developments in the field.
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We construct exact Kohn-Sham potentials for the ensemble density-functional theory (EDFT) from the ground and excited states of helium. The exchange-correlation (XC) potential is compared with the quasi-local-density approximation and both single determinant and symmetry eigenstate ghost-corrected exact exchange approximations. Symmetry eigenstate Hartree-exchange recovers distinctive features of the exact XC potential and is used to calculate the correlation potential. Unlike the exact case, excitation energies calculated from these approximations depend on ensemble weight, and it is shown that only the symmetry eigenstate method produces an ensemble derivative discontinuity. Differences in asymptotic and near-ground-state behavior of exact and approximate XC potentials are discussed in the context of producing accurate optical gaps.
We present a rigorous framework that combines single-particle Greens function theory with density functional theory based on a separation of electron-electron interactions into short-range and long-range components. Short-range contributions to the total energy and exchange-correlation potential are provided by a density functional approximation, while the long-range contribution is calculated using an explicit many-body Greens function method. Such a hybrid results in a nonlocal, dynamic, and orbital-dependent exchange-correlation functional of a single-particle Greens function. In particular, we present a range-separated hybrid functional called srSVWN5-lrGF2 which combines the local-density approximation and the second-order Greens function theory. We illustrate that similarly to density functional approximations the new functional is weakly basis-set dependent. Furthermore, it offers an improved description of the short-range dynamical correlation. The many-body contribution to the functional allows us to mitigate the many-electron self-interaction error present in most of density functional approximations and provides a better description of molecular properties. Additionally, the new functional can be used to scale down the self-energy and, therefore, introduce an additional sparsity to the self-energy matrix that in the future can be exploited in calculations for large molecules or periodic systems.
Recently a novel approach to find approximate exchange-correlation functionals in density-functional theory (DFT) was presented (U. Mordovina et. al., JCTC 15, 5209 (2019)), which relies on approximations to the interacting wave function using density-matrix embedding theory (DMET). This approximate interacting wave function is constructed by using a projection determined by an iterative procedure that makes parts of the reduced density matrix of an auxiliary system the same as the approximate interacting density matrix. If only the diagonal of both systems are connected this leads to an approximation of the interacting-to-non-interacting mapping of the Kohn-Sham approach to DFT. Yet other choices are possible and allow to connect DMET with other DFTs such as kinetic-energy DFT or reduced density-matrix functional theory. In this work we give a detailed review of the basics of the DMET procedure from a DFT perspective and show how both approaches can be used to supplement each other. We do so explicitly for the case of a one-dimensional lattice system, as this is the simplest setting where we can apply DMET and the one that was originally presented. Among others we highlight how the mappings of DFTs can be used to identify uniquely defined auxiliary systems and auxiliary projections in DMET and how to construct approximations for different DFTs using DMET inspired projections. Such alternative approximation strategies become especially important for DFTs that are based on non-linearly coupled observables such as kinetic-energy DFT, where the Kohn-Sham fields are no longer simply obtainable by functional differentiation of an energy expression, or for reduced density-matrix functional theories, where a straightforward Kohn-Sham construction is not feasible.
A very specific ensemble of ground and excited states is shown to yield an exact formula for any excitation energy as a simple correction to the energy difference between orbitals of the Kohn-Sham ground state. This alternative scheme avoids either the need to calculate many unoccupied levels as in time-dependent density functional theory (TDDFT) or the need for many self-consistent ensemble calculations. The symmetry-eigenstate Hartree-exchange (SEHX) approximation yields results comparable to standard TDDFT for atoms. With this formalism, SEHX yields approximate double-excitations, which are missed by adiabatic TDDFT.
In numerical computations of response properties of electronic systems, the standard model is Kohn-Sham density functional theory (KS-DFT). Here we investigate the mathematical status of the simplest class of excitations in KS-DFT, HOMO-LUMO excitations. We show using concentration-compactness arguments that such excitations, i.e. excited states of the Kohn-Sham Hamiltonian, exist for $Z>N$, where $Z$ is the total nuclear charge and $N$ is the number of electrons. The result applies under realistic assumptions on the exchange-correlation functional, which we verify explicitly for the widely used PZ81 and PW92 functionals. By contrast, and somewhat surprisingly, we find using a method of Glaser, Martin, Grosse, and Thirring cite{glaser1976} that in case of the hydrogen and helium atoms, excited states do not exist in the neutral case $Z=N$ when the self-consistent KS ground state density is replaced by a realistic but easier to analyze approximation (in case of hydrogen, the true Schr{o}dinger ground state density). Implications for interpreting minus the HOMO eigenvalue as an approximation to the ionization potential are indicated.
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