First-principles derivation and properties of density-functional average-atom models

Finite-temperature Kohn--Sham density-functional theory (KS-DFT) is a widely-used method in warm dense matter (WDM) simulations and diagnostics. Unfortunately, full KS-DFT-molecular dynamics models scale unfavourably with temperature and there remains uncertainty regarding the performance of existing approximate exchange-correlation (XC) functionals under WDM conditions. Of particular concern is the expected explicit dependence of the XC functional on temperature, which is absent from most approximations. Average-atom (AA) models, which significantly reduce the computational cost of KS-DFT calculations, have therefore become an integral part of WDM modelling. In this paper, we present a derivation of a first-principles AA model from the fully-interacting many-body Hamiltonian, carefully analysing the assumptions made and terms neglected in this reduction. We explore the impact of different choices within this model -- such as boundary conditions and XC functionals -- on common properties in WDM, for example equation-of-state data. Furthermore, drawing upon insights from ground-state KS-DFT, we speculate on likely sources of error in KS-AA models and possible strategies for mitigating against such errors.

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 factorizaton (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 suggest themselves. 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.

On the relationship between the Kohn-Sham potential, the Pauli potential, and the Exact Electron Factorization

The one-electron density of a many-electron system is the ground-state density of a one-electron Schrodinger equation. The potential $v$ appearing in this Schrodinger equation can be constructed in two ways: In density functional theory (DFT), $v$ is the sum of the Kohn-Sham (KS) potential and the Pauli potential, where the latter can be explicitly expressed in terms of the KS system of non-interacting electrons. As the KS system is fictitious, this construction is only indirectly related to the interacting many-electron system. In contrast, in the exact electron factorization (EEF), $v$ is a functional of the conditional wavefunction $phi$ that describes the spatial entanglement of the electrons in the interacting system. We compare the two constructions of the potential, provide a physical interpretation of the contributions to $v$ in the EEF, and relate it to DFT. With numerical studies of one-dimensional two- and three-electron systems, we illustrate how features of $phi$ translate to the one-electron potential $v$. We show that a change in $phi$ corresponds to a repulsive contribution to $v$, and we explain step structures of $v$ with a charge transfer encoded in $phi$. Furthermore, we provide analytic formulas for the components of $v$ by using a two-state model. Our work thus presents the mapping of a many-electron system to a one-electron system from another angle and provides insights into what determines the shape of the exact one-electron potential. We expect our findings to be helpful for the search of suitable approximations in DFT and in related theories.

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 ($Delta$), 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.

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 here shown explicitly for local hybrid functionals. Furthermore, carefully studying the ratio of the von Weizsacker kinetic energy density to the (positive) Kohn-Sham kinetic energy density, $tau_mathrm{W}/tau$, 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.

Elimination of the asymptotic fractional dissociation problem in Kohn-Sham density functional theory using the ensemble-generalization approach

Many approximations within density-functional theory spuriously predict that a many-electron system can dissociate into fractionally charged fragments. Here, we revisit the case of dissociated diatomic molecules, known to exhibit this problem when studied within standard approaches, including the local spin-density approximation (LSDA). By employing our recently proposed [E. Kraisler and L. Kronik, Phys. Rev. Lett. 110, 126403 (2013)] ensemble-generalization we find that asymptotic fractional dissociation is eliminated in all systems examined, even if the underlying exchange-correlation (xc) is still the LSDA. Furthermore, as a result of the ensemble generalization procedure, the Kohn-Sham potential develops a spatial step between the dissociated atoms, reflecting the emergence of the derivative discontinuity in the xc energy functional. This step, predicted in the past for the exact Kohn-Sham potential and observed in some of its more advanced approximate forms, is a desired feature that prevents any fractional charge transfer between the systems fragments. It is usually believed that simple xc approximations such as the LSDA cannot develop this step. Our findings show, however, that ensemble generalization to fractional electron densities automatically introduces the desired step even to the most simple approximate xc functionals and correctly predicts asymptotic integer dissociation.

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 (xc) 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.