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The Nobel Prize for Chemistry in 1998 was awarded for the development of this idea to W. Kohn
and J. Pople.
electron density is essentially the same as if all the nuclei were frozen in their
momentary positions. This is the basis of the Born-Oppenheimer approximation that
allows to separate the movement of electrons and nuclei (or ions). Electrons and
nuclei (or ions) are then considered as two autonomous systems the motions of which
are studied independently. This implies that forces on atoms, the calculation of
which requires, at least in principle, a fully quantum mechanical treatment of the
electronic structure, can be evaluated at any moment as if the nuclei (or ions) were in
fixed positions. The movement of atoms can then be studied in the framework of the
classical mechanics, for example using MD, with the forces determined for the
instantaneous configurations of atoms quantum mechanically.
E !" n(r)#$ = E kin !" n(r)#$ + E ee !" n(r)#$ + E ext !" n(r) #$
(DFT2)
where E kin is the kinetic energy of the electrons, E ee the electron-electron interaction
energy and E ext the interaction energy between electrons and an externally applied
field. Assuming that the external field may be described by a potential Vext (r)
(DFT3)
In a system of atoms Vext (r) is the potential describing the interaction between
electrons and nuclei. Its most general form is
Vext (r) = !$
j
Z je 2
4"#0 r ! rj
(DFT4)
Z j is the number of unit charges the magnitude of which is equal to the electronic
charge, e, associated with the nucleus j, rj is the position of this nucleus and ! 0 the
dielectric constant of the vacuum3. The summation extends over all the atoms.
However, a variety of approximations, such as the muffin-tin potential, various
pseudopotentials etc., have been used for the potential Vext. The total energy of the
system of fixed atoms, identified with its potential energy, E p , defined by equation
(G1), is then
Zi Z je2
1
E p = E !" n(r) #$ + 2 )
(DFT5)
i, j 4%&0 ri ' rj
i( j
where the second term on the right side of this equation is the interaction energy
between nuclei (ions) i and j. n(r) is determined by the functional minimization of
(DFT2). Note that n(r) depends on the positions of atoms since Vext (r) depends on
these positions.
While E ext in (DF2) is readily determined as a functional of n(r) according to
(DFT3), it is a major problem to ascertain the electron-electron interaction and the
kinetic energy of the electrons as functionals of n(r) . This problem is solved
differently in different schemes. In general, the idea is how best to express E ee and
Ekin as functionals of n(r) without solving the full many-body problem. If this can be
done, the problem of finding the ground state energy and electron density is reduced
to a problem of functional minimization of E [n(r)] with respect to n(r) .
Electron-electron interaction
The classical interaction energy between charges of the density n(r) is the Coulomb
type interaction
EH =
1 n(r)n(r!)
drdr!
2 "" r - r!
(DFT6)
In the following we use atomic units with e 4!"0 =1, ! = m = 1 ; the lengths are then in atomic
units (5.29x10-11m) and energy in Hartrees = 2Ry (4.36x10-18J).
3
This is called the Hartree energy. If E ee were identified with E H then the electronelectron interaction energy is overestimated for three reasons.
(i)
Owing to the Pauli exclusion principle the electrons are kept out of each other's
way. This leads to the lowering of the electron-electron interaction energy by
the so-called exchange energy.
(ii) The mutual electrostatic repulsion of electrons also keeps the electrons apart.
This repulsion lowers the electron-electron interaction energy even further.
The term describing this lowering is called correlation energy.
(iii) Even interaction of an electron with itself is included in E H while this should
be excluded.
The sum of the corrections which need to be added to (DFT6) is called the exchange
and correlation energy, E xc , and the electron-electron interaction energy is, therefore,
E ee = E H + E xc
(DFT7)
included into the exchange and correlation energy, E xc [n(r)] . The energy of the
system of interacting electrons, written as the density functional, is then
1 n(r)n(r')
dr dr' + E xc !" n(r)#$
2 %% r & r'
(DFT8.1)
(DFT8.2)
The requirement that the ground states of both functionals, E [n(r)] (equation
o
(DFT8.1)) and E [n(r)] (equation (DFT8.2)), have the same charge density leads to
the equation determining Veff by applying the variational principle to both of them.
The variation of E [n(r)] (DFT8.1) gives
o
!E "# n(r)$% = !E kin "# n(r)$% + & !n(r)Vext (r)dr +
!n(r)n(r')
&& r ' r' dr dr' + !Exc "# n(r)$% (DFT9.1)
where the last term is the functional variation of E xc (n(r)) . Similarly, the variation
o
of E [n(r)] (DFT8.2) yields
o
o
!E "# n(r)$% = !E kin "# n(r) $% + & !n(r)Veff (r)dr
(DFT9.2)
The variational problems !E [n(r)] = 0 and !E [n(r)] = 0 will be identical and yield
thus the same solution, n(r) , if
o
!n(r)n(r#)
drdr# + !E xc %& n(r) '( (DFT10)
r $ r'
(DFT11.1)
where ! ! (r) are one-electron wave functions and summation extends over all the
occupied states. If the system studied is not spin polarized, i. e. pairs of electrons
with opposite spins are in the same state,
M
(DFT11.2)
!=1
where the summation extends over M lowest energy states; the factor of 2 arises
because each state is now occupied by two electrons. In the following we shall
always assume that the system studied is not spin polarized but spin polarization,
leading to magnetic effects, may be taken into account.
o
kin
(DFT13)
!=1
The factor 2 again results from the spin degeneracy. Equation (DFT13) determines
the kinetic energy that can be inserted into equation (DFT8.1) for the energy of the
system of interacting electrons E [n(r)] . However, at this stage Veff is not yet known
explicitly and is only given implicitly by equation (DFT10). The difficulty is that the
exchange-correlation energy functional E xc (n(r)) is non-local and cannot be, in
general, written in the form " !n(r)F(r)dr , where F(r) is a function, which would
allow us to calculate Veff explicitly from equation (DFT10). For this reason
additional approximations, such as the local density approximation (LDA), need to be
introduced.
(DFT14)
where ! xc (n(r)) is the exchange and correlation energy per electron determined at a
point r by the electron density n(r) at this point and not non-locally by its
environment. In this case
xc (n(r)) =
d {n(r)! xc (n(r))}
dn(r)
(DFT15.1)
(DFT15.2)
and it follows from equation (DFT10) that the effective potential entering the KohnSham equation (DFT12) is
n(r!)
d r! + xc (n(r))
r " r!
(DFT16)
Inserting equations (DFT16), (DFT14) and (DFT13) into equation (DFT8.1), the
energy of the interacting system of electrons is
M
1 n(r)n(r')
drdr'
2 (( r ' r'
(DFT17)
! 2VH = "4#n(r)
1
Solve ! "2 # ! (r) + Veff (r)# ! (r) = $! # ! (r)
2
NO
YES
Calculation finished
finishedcomplete
need to evaluate the change of the total energy when an atom i is displaced by !ri .
The atomic coordinates are present explicitly in Vext (r) and in the term describing the
nuclei-nuclei interaction, which we call in the following E nn (see equations (DFT2, 4
and 5)). The differentiation of E nn is trivial but differentiation of E ext , which
contains Vext (r) (equation (DFT2)), is not straightforward. For this purpose let us
consider a change of the potential Vext (r) such that
!Ep "# n(r) $% = !Ekin "# n(r)$% + !Eee "# n(r) $% + !Eext "# n(r) $% + !E nn (DFT18.1)
where
(DFT21)
The important result is that the force acting on an atom i does not depend on the
change in the electron density, !n(r) . But this result is only true when n(r) = nGS (r )
is the correct ground state density of electrons that corresponds to the exact
minimization of the density functional E p [n] . If the solution is not exact then
!Ekin "# n(r)$% + !E ee "# n(r)$% + & !n(r)Vext (r)dr ' 0 and this term contributes to the
forces. These forces are so called Poules forces.
10
(DFT22)
J =1
where C J are expansion coefficients and K is the number of basis functions. At this
point the index J merely numbers the functions of the basis and is not related to atom
positions. When this expansion is inserted into the Kohn-Sham equation (DFT12) we
can transform the problem into the usual matrix formulation
#C (H
K
J =1
!
J
! " ! SLJ = 0
LJ
(DFT23)
where
1
H LJ = ! L " # 2 + Veff (r)! J
2
is the matrix element of the Hamiltonian and
SLJ = ! L ! J
is the overlap matrix3.
(DFT24)
(DFT25)
(DFT26)
! J ,L =1
where ! numbers different solutions of the Kohn-Sham equation and the summation
over ! extends over the occupied states. However, this form of the solution can be
23
sought for a cluster or a molecule but not for a bulk material containing ! 10 atoms.
and L
an operator, is the usual one when using bra and ket notation
(r)dr and ! ! =
! L ! =
! (r)L!
! (r )! (r)dr .
3
"
All space
"
All space
11
!(r + Tp ) = e
ik"Tp
!(r)
(DFT27)
where k is an arbitrary wave vector. This vector can be limited to the first
Brillouin zone of the periodic structure considered. An example of the first
Brillouin zone for the case of the body-centered-cubic structure in the real space is
shown below in Fig. 1.
12
Let us consider that the basis functions are centered, though not necessarily localized,
at atomic positions. Owing to the periodicity, every position vector can be written as
rj = rj0 + Tp , where rj0 is the position vector of the corresponding atom in the repeat
cell and Tp is a translation vector of the periodic structure. The basis function
centered at atom J can now be written as ! J (r) = ! j," (r # r j # Tp ) , where j labels
0
atoms within the repeat cell, labels other characteristics of these functions, such as
their symmetries (e. g. s, p, d, f functions) and Tp are various translation vectors.
The expansion of the one electron wave function ! ! (r) into the basis ! J (r) (DFT22)
is then
Tp j,"
When replacing r ! r + Tp" , where Tp! is another translation vector of the periodic
structure,
Tp
j,#
but since T! p = Tp ! Tp" is also a translation vector of the structure, we can sum over
T! p rather than Tp and, therefore,
!
0
" + T )$ (r % r 0 % T" ) .
! ! (r + Tp" ) = & & C j,# (rj + T
p
p"
j,#
j
p"
T" p
j,#
! ! (r + Tp" ) = e
ik#Tp"
! ! (r) = e
ik #Tp"
' 'C
Tp
!
j,$
j,$
ik #Tp"
C j,! (rj + Tp )
13
Tp
(DFT28.1)
j,"
! j," (r) =
& exp[ik # (r
0
j
+ Tp )]$ j," (r % rj % Tp )
(DFT28.2)
Tp
j,"
#c
!
j,!
j,!
(DFT29)
j, !
= ! 1 " 2 + V (r) .
H
eff
2
(DFT30)
c j,! (k )
#c
j,!
!
j,!
",!
(DFT31)
j,!
(DFT32)
(DFT33)
More detailed expression for the Hamiltonian matrix and for the overlap integrals are
! ,"
0
0
0
& (r $ r 0 $ T )
Hi, j (k ) = % exp[ik # (rj $ ri + Tp $ T! p )] & i ,! (r $ ri $ T! p ) H
j,"
j
p
!
Tp ,T
p
!,"
0
0
! )] & (r $ r 0 $ T
! ) & (r $ r 0 $ T )
Si, j (k) = % exp[ik # (rj $ ri + Tp $ T
p
i,!
i
p
j, "
j
p
!
Tp , T
p
! ,"
14
If there are N a atoms in the repeat cell and n ! basis functions corresponding to
different parameters , then (DFT31) is the system of N a ! n " homogeneous
equations and the index ! denotes the corresponding solutions for a given vector k.
Hence, there are N a ! n " eigenvalues ! ! (k ) and corresponding sets of coefficients
!
c j,! (k ) and therefore there are N a ! n " one-electron wave functions
(DFT34)
j,"
! ! (k ) vs k displays the band structure for the studied case. However, such plot would
be surface in the four-dimensional space since k is a vector in the three-dimensional
reciprocal space. Hence, cross-sections of this plot along certain paths in the
Brillouin zone are always presented. An example is shown in Fig. 2.
Fig. 2. Calculated energy vs k dependence (band structure) for the bcc iron (with all
spins up) for paths H, HN, N and P shown in Fig. 1. EF is the Fermi energy and it
is set as zero level of energy.
When solving the eigenvalue problem for different k values we use the symmetry of the Brillouin
zone to reduce the amount of calculations. The simplest symmetry corresponds to the time reversal
and says that ! ! ("k ) = ! ! (k) .
15
n(r) = 2
"
! k (r) !k (r)
(DFT35)
!,k
occupied
or, when expressed via the Bloch basis functions !kj," (r) and corresponding expansion
coefficients c !j,! (k ) ,
n(r) = 2
$ $$ c
!
j,!
(DFT36)
!,k
j,! i,"
occupied
However, the Fermi energy, E F , is not known a priori and needs to be determined. This
can be done most efficiently using the concept of the density of states.
The density of states, !(E) , is defined as the number of electronic states for which
! ! (k ) = E where k-vectors are continuously filling the first Brillouin zone. Hence,
mathematically it is defined as
!(E)=
2
"[E # $ ! (k )]dk
&
VBZ ! Over% BZ
(DFT37)
where VBZ is the volume of the Brillouin zone, the Dirac -function and the factor 2
again arises due to the spin degeneracy; the integration extends over all the k-vectors
in the first Brillouin zone.
If N e is the total number of electrons in the repeat cell then the Fermi energy is defined
by the relation
EF
Ne =
$ !(E)dE
(DFT38)
"#
16
The Brillouin zone is in this case also a parallelepiped and its volume is
3
VBZ = (2! ) V , where V is the volume of the repeat cell. Following equation (DFT37)
%
k2 (
!(E)= 3 + # ' E $ * dk
2)
4" Over BZ &
V
!(E)=
V
4" 3
"
2"
kmax
- sin#d# - d$ -
'
k2 * 2
V
% ) E & , k dk = 2
2+
"
(
kmax
'
k2 * 2
% ) E & , k dk
2+
(
where k max is the largest magnitude of the vector k in the first Brillouin zone.
k2
dx
= x so that dk =
Substituting
2
2x
2V
x max
dx
2V
x max
% # E $ x x 2x = " 2 % # E $ x
"2 0
0
and by definition of the Dirac delta function6
1/ 2
V
!(E) = 2 2E
"
Since !(E) = 0 for E < 0, it follows from equation (DFT38) that
!(E)=
xdx
( )
Ne =
and, therefore,
EF =
2 2V 3/2
EF
3! 2
1
3! 2 "e
2
2/3
17
VBZ
Nk
as
!(E) =
2
Nk
% {Number of " (k
km
where the summation extends over all the points of the mesh. When the function !(E)
is known we determine E F by iteratively solving equation (DFT38). An example of the
density of states determined in this way is shown in Fig. 3 for the case of the bcc iron
for which the band structure is displayed in Fig. 2.
Fig. 3. Calculated density of states for the bcc iron with all spins up.
If we do not need to know the density of states but only seek E F , we can directly
evaluate the integral in (DFT38). The contribution of each state ( ! , k m ) to this integral
2
is
if ! ! (k m ) < E F and zero otherwise. Hence, the integral (DFT38) will give Ne if
Nk
N
we include e N k states for the vectors k m of the mesh that correspond to the lowest
2
values of ! ! (k m ) i. e. values of ! ! (k m ) associated with occupied states. The Fermi
18
energy, E F , is then identified with the value of the highest ! ! (k m ) from this set of
occupied states.
2
Example of non-interacting, i. e. free electrons. Since !(k) = k / 2 the occupied states
2
are all within the sphere of radius k F for which E F = k F / 2 ; k F is called the Fermi
vector. The number of such states is
1 4! 3
3
k F and since VBZ = (2! ) V ,
VBZ 3
1 4! 3
V 3
2
1/3
k F = 2 k F . This must be equal to Ne / 2 and thus k F = (3! "e )
and
VBZ 3
6!
2
E F = 1 2 (3! "e )
2 /3
19
APW:
The plane waves in the constant potential region are augmented by atomictype functions to match the atomic-like solutions inside the muffin-tin
spheres.
LMTO:
FP-LAPW
LMTO-ASA
20
direct calculation of these forces is not easy since the electron density must correspond
very accurately to the ground state i. e. Veff (r) has to be very accurately self-consistent.
It is common to carry out minimizations 'by hand' and the following are a few examples:
Calculations of the total energy as a function of atomic volume and/or other applied
strains. These calculations allow to determine the equilibrium lattice parameter and
elastic moduli. For example, the bulk modulus
d 2E p
B = !o
d! 2
where ! is the atomic volume and ! o the atomic volume in equilibrium. For instance,
the total energies of a number of transition metals was calculated as a function of the
volume per atom for various structures (Paxton, A. T., Methfessel, M. and Polatoglou,
H. M., Phys. Rev. B 41, 8127, 1990).
Calculations of the total energy as a function of several other parameters such as c/a
ratio in the hexagonal and tetragonal structures, which allow evaluation of equilibrium
characteristics of these lattices.
Calculations of energies of alternate crystal structures. For instance the total energies
for Si and Ge were calculated as functions of volume per atom for various structures
(Yin, M. T. and Cohen, M. L., Phys. Rev. B 26, 5668, 1982). This is one of the very
first LDA calculations of structural energy differences.
Calculation of the energy of an interface as a function of the relative displacement of the
adjoining grains which determines the most important relaxation mode.
Problems:
However these under and overestimates are only up to 15% and usually much smaller.
21
Total energy (Ry/atom) for silicon and germanium calculated as a function of volume
(normalized to the experimental volume) for seven different crystal structures: diamond
cubic, hexagonal diamond (wurtzite), -tin, simple cubic, face-centered-cubic, bodycentered-cubic and hexagonal close-packed. The dashed line is the common tangent for
the diamond and -tin phases. At high pressures Si and Ge attain -tin phase. (Yin, M.
T. and Cohen, M. L., Phys. Rev. B 26, 5668, 1982; Phys. Rev. B 29, 6996, 1984).
22
The dependence of the binding energy (eV) on volume calculated for 3d transition
metals (Paxton, A. T., Methfessel, M. and Polatoglou, H. M. Phys. Rev. B 41, 8127,
1990) for the following structures: face-centered-cubic, body-centered-cubic, hexagonal
close-packed, simple hexagonal, simple cubic and diamond cubic. The volume is
normalized to the experimentally observed volume.
25
APPENDIX
THOMAS-FERMI MODEL
An approximate approach for determination of the kinetic energy as a function (not
functional) of the electron density is the Thomas-Fermi model that effectively uses
the LDA.
The kinetic energy is written as
E k [n ] = " ! k [n(r)]dr
where ! k [n(r) ] is the local kinetic energy. In the Thomas-Fermi approximation the
local kinetic energy is assumed to be equal to that of a homogeneous gas of noninteracting free electrons of density n.
Free electrons are described by plane waves and in a cubic box with the edge of size
L these waves are
1
!k (r) = 3/2 exp(ik " r)
L
3/2
where L is the normalization factor. Owing to the quantization, the volume of the
3
k -space occupied by one state is (2! L ) . The energy associated with a given state
of free electrons is just the kinetic energy
k2
E(k) =
2
The electrons occupy all the states up to the Fermi energy, E F , i. e. up to a maximum
value of k , called the Fermi vector, k F . Obviously
k 2F
EF =
2
and the total kinetic energy of all the electrons in the box is (using spherical
coordinates)
kF
k2 2
4!
E k = 2 " 4!
k dk = k 5F
2
5
0
The number of electrons inside the Fermi sphere is then
3
4!k 3F " L %
Ne = 2
$ '
3 # 2! &
26
The factor of two is in both cases introduced owing to the spin degeneracy. Since N e
3
is the number of electrons in the cube of the volume L the electron density is in this
case
N e k 3F
n= 3 = 2
L
3!
and, therefore, the kinetic energy density, ! k , is related to the electron density as
follows
2/3
12" 3
!k =
3" 2 ) n 5/3
(
5
In this model the exchange-correlation is neglected and the total potential energy is
1
2
&&
n(r)n(r ' )
r ( r'
drdr ' + E nn
This potential energy has to be functionally minimized with respect to the charge
density n(r) under the condition that the total number of electrons is conserved
! n(r) dr = N e
This leads to the Thomas-Fermi equation for n(r)
3
( )
4! 3!
2 2 /3
n(r)
2 /3
+ Vext (r) + $
n(r " )
r # r"
dr " # % = 0
where is the Lagrange multiplier, employed when minimizing E p [n(r)] ; it has the
meaning of the Fermi energy.
This equation has a moderate success, in particular for high densities of electrons.
The main drawbacks are the neglect of exchange-correlation and very approximate
estimate of the kinetic energy of electrons.