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October 11, 2012

October 4 1 / 20

Density functional theory (DFT) is a quantum mechanical theory used in physics and chemistry to investigate the electronic structure (principally the ground state) of many-body systems, in particular atoms, molecules, and the condensed phases.

s

With this theory, the properties of a many-electron system can be determined by using functionals, i.e. functions of another function, which in this case is the spatially dependent electron density. The multiple determinant calculations require very large basis sets due to the poor convergence of the correlation energy when the inter-electronic distance becomes very small. However, DFT can produce accurate results with relatively small basis sets. DFT has become the most popular and versatile method in computational chemistry, accounting for approximately 90% of all calculations today. The reason for this preference is that DFT scales with the same order as HF theory.

October 4 2 / 20

DFT avoids the expense of the more traditional methods, deriving the energy directly from the electron probability density, rather than the molecular wavefunction, thus drastically reducing the dimensionality of the problem. Some history: DFT has been very popular for calculations in solid state physics since the 1970s. DFT calculations agreed quite satisfactorily with experimental data. Also, the computational costs were relatively low when compared to Hartree-Fock theory and its descendants. However, DFT was not considered accurate enough for calculations in quantum chemistry until the 1990s, when the approximations used in the theory were greatly rened to better model the exchange and correlation interactions. DFT is now a leading method for electronic structure calculations in chemistry and solid-state physics.

October 4 3 / 20

Despite the improvements in DFT, there are still diculties in using density functional theory to properly describe intermolecular interactions, especially:

s s s s

van der Waals forces (dispersion) charge transfer excitations transition states global potential energy surfaces and some other strongly correlated systems calculations of the band gap in semiconductors.

Its poor treatment of dispersion renders DFT unsuitable (at least when used alone) for the treatment of systems which are dominated by dispersion (e.g., interacting noble gas atoms) or where dispersion competes signicantly with other eects (e.g. in biomolecules). The development of new DFT methods designed to overcome this problem, by alterations to the functional or by the inclusion of additive terms, is a current research topic.

October 4 4 / 20

The rst H-K theorem demonstrates that the ground state properties of a many-electron system are uniquely determined by an electron density that depends on only 3 spatial coordinates.

s

It lays the groundwork for reducing the many-body problem of N electrons with 3N spatial coordinates to 3 spatial coordinates, through the use of functionals of the electron density. This theorem can be extended to the time-dependent domain to develop time-dependent density functional theory (TDDFT), which can be used to describe excited states.

The second H-K theorem denes an energy functional for the system and proves that the correct ground state electron density minimizes this energy functional.

s

The second Hohenberg-Kohn theorem has two drawbacks. Firstly, it assumes that there is no degeneracy in the ground state, and secondly the density has unknown form.

October 4 5 / 20

There is no systematic way to nd or improve a density functional. The most appealing way forward is to nd the exact solution for a model system, and then assume that the system of interest behaves similarly to the model. The rst density functionals were due to Thomas, Fermi, and Dirac, all of which used the uniform electron gas as their model. The uniform electron gas is dened as a large number of electrons N in a cube of volume V, throughout which there is a uniform spread of positive charge sucient to make the system neutral. The uniform gas is then dened as the limit N , V , with the density = N/V remaining nite. Although it does bear some resemblance to electrons in metals, its widespread use is due to its simplicity it is completely dened by one variable, the electron density . Using the uniform electron gas, an expression for the kinetic energy (the Thomas-Fermi kinetic functional) 5/ 3 3 can be derived T T F 27 [ ] = 10 (6 2 )2/3 (r) dr where can take the values of or .

October 4 6 / 20

When applied to atoms and molecules the Thomas-Fermi functional yields kinetic energies that are about 10% too small. Similarly, an expression for the exchange energy of the uniform electron gas can be calculated (the Dirac exchange functional) 3 3 D30 [ ] = ( )1/3 Ex 2 4

/3 4 ( r) d r

(1)

The Dirac functional also gives exchange energies that are roughly 10% smaller than those from HF theory. More worrying is that the spurious self-interaction of electrons is not exactly canceled.

October 4 7 / 20

The electron densities of atoms and molecules are often far from uniform, so functionals based on systems which include an inhomogeneous density should perform better. In 1935 von Weizsacker placed innitesimally small ripples on the uniform electron gas and calculated the second order correction to the kinetic energy T W 35 [ ] = T T F 27 [ ] + 1 8

/3 2 5 x dr

(2)

where x(r) is a dimensionless quantity, the reduced density gradient x(r) = |(r)| . 4/3 (r) (3)

Unfortunately the original derivation was awed and the above functional is too large by a factor of nine. The corrected functional is a large improvement on T T F 27 [], yielding kinetic energies typically within 1% of HF theory.

October 4 8 / 20

A similar correction was made to the Dirac exchange functional by Sham and Kleinman. The second order correction to the exchange energy is

D30 SK 71 [ ] [ ] = Ex Ex

5 (36 )5/3

/3 2 4 x dr.

(4)

The corrected functional gives exchange energies that are typically within 3% of HF; however, it is not seen as an improvement over the Dirac functional, as the potential is unbounded in the Rydberg regions of atoms and molecules.

October 4 9 / 20

Kohn-Sham DFT

The kinetic energy has a large contribution to the total energy. Therefore even the 1% error in the kinetic energy of the Thomas-Fermi-Weizsacker model prevented DFT from being used as a quantitative predictive tool. Thus DFT was largely ignored until 1965 when Kohn and Sham introduced a method which treated the majority of the kinetic energy exactly. Key idea: The intractable many-body problem of interacting electrons in a static external potential is reduced to a tractable problem of non-interacting electrons moving in an eective potential. The theory begins by considering the noninteracting reference system: N noninteracting electrons moving in external potential vs , each in one of N orbitals, i . Such a system will be dened by the Hamiltonian

N

s = H

i

1 ( 2 i) + 2

v s ( ri )

i

(5)

October 4 10 / 20

Kohn-Sham DFT

which has an exact eigenfunction that is the single determinant constructed from the N lowest eigenstates of the one-electron equations 1 2 + vs (r) i = i i . 2 We require that the ground state density be stationary. (In calculus of variations, the EulerLagrange equation, or Lagranges equation, is a dierential equation whose solutions are the functions for which a given functional is stationary.) The corresponding Euler-Lagrange equation is = v s ( r) + Ts [] , (r) (7) (6)

where the Lagrange multiplier is a familiar property to chemists, the chemical potential , has been introduced.

October 4 11 / 20

Kohn-Sham DFT

For this system the kinetic energy and electron density are given by

N

Ts [] =

i

i |

N

1 2 i |i 2

(8)

(r) =

i

|i (r)|2

(9)

The quantity Ts [] is well-dened, but not the exact kinetic energy, T [].

October 4 12 / 20

Kohn-Sham DFT

Kohn and Sham reformulated the interacting problem so that its kinetic component is dened to be Ts [] to give E [] = Ts [] + J [] + vs (r)(r)dr + Exc [], (11)

where J [] is the Coulombic integral expressed in terms of electron density and Exc [] is the exchange-correlation energy. The EulerLagrange equation now becomes Ts [] = vef f (r) + (12) (r) where the Kohn-Sham (KS) eective potential, vef f is dened as vef f (r) = vs (r) + (r ) d r + vxc (r) | r r | (13)

and the exchange-correlation potential, vxc is vxc (r) = Exc [] . (r) (14)

October 4 13 / 20

Kohn-Sham DFT

Kohn and Sham noticed that equation is the same as that for a non-interacting system moving in the eective potential vef f (r). Thus, the exact density can be obtained by solving the N one-electron equations (the restricted KS equations) 1 2 + vef f (r) i = i i . 2 (15)

Notice that vef f depends on (r), via equation (13), hence the KS equations must be solved iteratively.

October 4 14 / 20

Kohn-Sham DFT

The KS equations are very similar to the HartreeFock equations. In fact, setting the exchange-correlation potential to the HF exchange potential yields the HF equations. Drawing too many similarities to HF is dangerous, however. Firstly, the KS orbitals are simply a way of representing the density; they are not (as in HF) an approximation of the wavefunction. Also, HF theory is variational, providing an upper bound to the exact energy, yet DFT is only variational if the exact energy functional is used. The above analysis is only appropriate for closed shell molecules. Because the KS equations so closely follow the restricted HF equations, both the restricted open shell and unrestricted methodologies are readily available. However, the KS equations are formally exact (given the exact Exc []), so it must be able to produce an excess of electron density at points in the molecule, and therefore only the unrestricted formalism is appropriate.

October 4 15 / 20

Kohn-Sham DFT

Just as in HF theory, the KS equations are solved by expanding the orbitals over a basis set. The major advantage of DFT is that the basis set requirements are far more modest than the more conventional correlated methods In DFT the basis set only needs to represent the one electron density the inter-electron cusp is accounted for by the eective potential, vef f . In the more traditional methods the basis set describes the entire N-electron wavefunction, requiring an accurate description of the cusp which is sensitive to the basis set. The kinetic energy functional is known exactly. The exchange-correlation part of the total-energy functional remains unknown and must be approximated.

s s

October 4 16 / 20

Local-density approximation

In local-density approximation (LDA), the exchange-correlation energy functional Exc [] (see Eq.(11) depends only on the density at the coordinate where the functional is evaluated.

LDA Exc [] =

xc ()(r)dr,

(16)

where xc () is the exchange-correlation energy density. The exchange-correlation energy is decomposed into exchange and correlation terms linearly Exc = Ex + Ec , (17) so that separate expressions for Ex and Ec are sought. The uniform electron gas functional is used for the Ex . Only limiting expressions for the correlation density are known exactly, leading to numerous dierent approximations for Ec .

October 4 17 / 20

LDA treats all systems as homogeneous. However, real systems are inhomogeneous. Generalized gradient approximation (GGA) takes this into account by including the derivative information of the density into the exchange-correlation functionals.

GGA Exc [] =

f ((r), ((r)))dr,

(18)

In comparison with LDA, GGA tend to improve total energies, atomization energies, energy barriers and structural energy dierences GGA expand and soften bonds, an eect that sometimes corrects and sometimes overcorrects the LDA prediction Whereas the xc () (in LDA) is well established, the best choice for f ((r), ((r)) is still a matter of debate

October 4 18 / 20

DFT remarks

In practice, Kohn-Sham theory can be applied in several distinct ways depending on what is being investigated.

s

In solid state calculations, the local density approximations are still commonly used along with plane wave basis sets, as an electron gas approach is more appropriate for electrons delocalised through an innite solid. In molecular calculations more sophisticated functionals are needed, and a huge variety of exchange-correlation functionals have been developed for chemical applications. In the chemistry community, one popular functional is known as BLYP (from the name Becke for the exchange part and Lee, Yang and Parr for the correlation part). Even more widely used is B3LYP which is a hybrid functional in which the exchange energy, in this case from Beckes exchange functional, is combined with the exact energy from HartreeFock theory. The adjustable parameters in hybrid functionals are generally tted to a training set of molecules.

October 4 19 / 20

DFT remarks

Unfortunately, although the results obtained with these functionals are usually suciently accurate for most applications, there is no systematic way of improving them (in contrast to methods like conguration interaction or coupled cluster theory) Hence in the current DFT approach it is not possible to estimate the error of the calculations without comparing them to other methods or experiments.

October 4 20 / 20

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