Communication: Two types of flat-planes conditions in density functional theory

Tilted-Plane Structure of the Energy of Finite Quantum Systems

The piecewise linearity condition on the total energy with respect to the total magnetization of finite quantum systems is derived using the infinite-separation-limit technique. This generalizes the well-known constancy condition, related to static correlation error, in approximate density functional theory. The magnetic analog of Koopmans' theorem in density functional theory is also derived. Moving to fractional electron count, the tilted-plane condition is derived, lifting certain assumptions in previous works. This generalization of the flat-plane condition characterizes the total energy surface of a finite system for all values of electron count N and magnetization M. This result is used in combination with tabulated spectroscopic data to show the flat-plane structure of the oxygen atom, among others. We find that derivative discontinuities with respect to electron count sometimes occur at noninteger values. A diverse set of tilted-plane structures is shown to occur in d-orbital subspaces, depending on chemical coordination. General occupancy-based total-energy expressions are demonstrated thereby to be necessarily dependent on the symmetry-imposed degeneracies.

Spin-Polarized Conceptual Density Functional Theory from the Convex Hull

We present a new, nonarbitrary, internally consistent, and unambiguous framework for spin-polarized conceptual density-functional theory (SP-DFT). We explicitly characterize the convex hull of energy, as a function of the number of electrons and their spin, as the only accessible ground states in spin-polarized density functional theory. Then, we construct continuous linear and quadratic models for the energy. The nondifferentiable linear model exactly captures the simplicial geometry of the complex hull about the point of interest and gives exact representations for the conceptual DFT reactivity indicators. The continuous quadratic energy model is the paraboloid of maximum curvature, which most tightly encloses the point of interest and neighboring vertices. The quadratic model is invariant to the choice of coordinate system (i.e., {N, S} vs {Nα, Nβ}) and reduces to a sensible formulation of spin-free conceptual DFT in the appropriate limit. Using the quadratic model, we generalize the Parr functions {P+(r), P-(r)} (and their derivatives with respect to number of electrons) to this new spin-polarized framework, integrating the Parr function concept into the context of (spin-polarized) conceptual DFT, and extending it to include higher-order effects.

Møller-Plesset Adiabatic Connection at Large Coupling Strengths for Open-Shell Systems

We study the adiabatic connection that has as weak-coupling expansion the Møller-Plesset perturbation series, generalizing to the open-shell case previous closed-shell results for the large-coupling limit. We first focus on the hydrogen atom with fractional spins, providing results along the adiabatic connection from small to large coupling strengths. We reveal an intriguing phase diagram and an equation for the large-coupling leading order that has closed-form solutions for specific choices of its relevant quantum numbers. We then show that the hydrogen atom results provide variational estimates for the large-coupling leading terms for the general many-electron open-shell case in terms of functionals of the Hartree-Fock α-spin and β-spin densities.

Ensemble Ground State of a Many-Electron System with Fractional Electron Number and Spin: Piecewise-Linearity and Flat-Plane Condition Generalized

Description of many-electron systems with a fractional electron number (Ntot) and fractional spin (Mtot) is of great importance in physical chemistry, solid-state physics, and materials science. In this Letter, we provide an exact description of the zero-temperature ensemble ground state of a general, finite, many-electron system and characterize the dependence of the energy and the spin-densities on both Ntot and Mtot, when the total spin is at its equilibrium value. We generalize the piecewise-linearity principle and the flat-plane condition and determine which pure states contribute to the ground-state ensemble. We find a new derivative discontinuity, which manifests for spin variation at a constant Ntot, as a jump in the Kohn-Sham potential. We identify a previously unknown degeneracy of the ground state, such that the total energy and density are unique, but the spin-densities are not. Our findings serve as a basis for development of advanced approximations in density functional theory and other many-electron methods.

Energy is not a convex function of particle number for r-k interparticle potentials with k > log34

The energy of a many-particle system is not convex with respect to particle number for r-k interparticle repulsion potentials if k > log34 ≈ 1.262. With such potentials, some finite electronic systems have ionization potentials that are less than the electron affinity: they have negative band gap (chemical hardness). Although the energy may be a convex function of the number of electrons (for which k = 1), it suggests that finding an analytic proof of convexity will be very difficult. The bound on k is postulated to be tight. An apparent signature of non-convex behavior is that the Dyson orbital corresponding to the lowest-energy mode of electron attachment has a vanishingly small amplitude.

The convexity condition of density-functional theory

It has long been postulated that within density-functional theory (DFT), the total energy of a finite electronic system is convex with respect to electron count so that 2Ev[N0] ≤ Ev[N0 - 1] + Ev[N0 + 1]. Using the infinite-separation-limit technique, this Communication proves the convexity condition for any formulation of DFT that is (1) exact for all v-representable densities, (2) size-consistent, and (3) translationally invariant. An analogous result is also proven for one-body reduced density matrix functional theory. While there are known DFT formulations in which the ground state is not always accessible, indicating that convexity does not hold in such cases, this proof, nonetheless, confirms a stringent constraint on the exact exchange-correlation functional. We also provide sufficient conditions for convexity in approximate DFT, which could aid in the development of density-functional approximations. This result lifts a standing assumption in the proof of the piecewise linearity condition with respect to electron count, which has proven central to understanding the Kohn-Sham bandgap and the exchange-correlation derivative discontinuity of DFT.

Mean Value Ensemble Hubbard-U Correction for Spin-Crossover Molecules

High-throughput searches for spin-crossover molecules require Hubbard-U corrections to common density functional exchange-correlation (XC) approximations. However, the U_eff values obtained from linear response or based on previous studies overcorrect the spin-crossover energies. We demonstrate that employing a linearly mixed ensemble average spin state as the reference configuration for the linear response calculation of U_eff resolves this issue. Validation on a commonly used set of spin-crossover complexes shows that these ensemble U_eff values consistently are smaller than those calculated directly on a pure spin state, irrespective of whether that be low- or high-spin. Adiabatic crossover energies using this methodology for a generalized gradient approximation XC functional are closer to the expected target energy range than with conventional U_eff values. Based on the observation that the U_eff correction is similar for different complexes that share transition metals with the same oxidation state, we devise a set of recommended averaged U_eff values for high-throughput calculations.

Local Hybrid Functional Applicable to Weakly and Strongly Correlated Systems

The recent idea (Wodyński, A.; Arbuznikov, A. V.; Kaupp M. J. Chem. Phys. 2021, 155, 144101) to augment local hybrid functionals by a strong-correlation (sc) factor obtained from the adiabatic connection in the spirit of the KP16 model has been extended and applied to generate the accurate sc-corrected local hybrid functional scLH22t. By damping small values of the ratio between nondynamical and dynamical correlation entering the correction factor, it has become possible to avoid double counting of nondynamical correlation for weakly correlated situations and thereby preserve the excellent accuracy of the underlying LH20t local hybrid for such cases almost perfectly. On the other hand, scLH22t improves substantially over LH20t in reducing fractional-spin errors (FSEs), in providing improved spin-restricted bond dissociation curves, and in treating some typical systems with multireference character. The obtained FSEs are similar to those of the KP16/B13 model and slightly larger than for B13, but performance for weakly correlated systems is better than for these two related methods, which are also difficult to use self-consistently. The recent DM21 functional based on the training of a deep neural network still performs somewhat better than scLH22t but allows no physical insights into the origins of reduced FSEs. Examination of local mixing functions (LMFs) for the corrected scLH22t and uncorrected LH20t functionals provides further insights: in weakly correlated situations, the LMF remains essentially unchanged. Strong-correlation effects manifest in a reduction of the LMF values in certain regions of space, even to the extent of producing negative LMF values. It is suggested that this is the mechanism by which also DM21, which may be viewed as a range-separated local hybrid, is able to reduce FSEs.

Molecular interactions from the density functional theory for chemical reactivity: Interaction chemical potential, hardness, and reactivity principles

In the first paper of this series, the authors derived an expression for the interaction energy between two reagents in terms of the chemical reactivity indicators that can be derived from density functional perturbation theory. While negative interaction energies can explain reactivity, reactivity is often more simply explained using the “|dμ| big is good” rule or the maximum hardness principle. Expressions for the change in chemical potential (μ) and hardness when two reagents interact are derived. A partial justification for the maximum hardness principle is that the terms that appear in the interaction energy expression often reappear in the expression for the interaction hardness, but with opposite sign.

Uncovering phase transitions that underpin the flat-planes in the tilted Hubbard model using subsystems and entanglement measures

The failure of many approximate electronic structure methods can be traced to their erroneous description of fractional charge and spin redistributions in the asymptotic limit toward infinity, where violations of the flat-plane conditions lead to delocalization and static correlation errors. Although the energetic consequences of the flat-planes are known, the underlying quantum phase transitions that occur when (spin)charge is redistributed have not been characterized. In this study, we use open subsystems to redistribute (spin)charges in the tilted Hubbard model by imposing suitable Lagrange constraints on the Hamiltonian. We computationally recover the flat-plane conditions and quantify the underlying quantum phase transitions using quantum entanglement measures. The resulting entanglement patterns quantify the phase transition that gives rise to the flat-plane conditions and quantify the complexity required to accurately describe charge redistributions in strongly correlated systems. Our study indicates that entanglement patterns can uncover those phase transitions that have to be modeled accurately if the delocalization and static correlation errors of approximate methods are to be reduced.

Molecular Interactions From the Density Functional Theory for Chemical Reactivity: The Interaction Energy Between Two-Reagents

Reactivity descriptors indicate where a reagent is most reactive and how it is most likely to react. However, a reaction will only occur when the reagent encounters a suitable reaction partner. Determining whether a pair of reagents is well-matched requires developing reactivity rules that depend on both reagents. This can be achieved using the expression for the minimum-interaction-energy obtained from the density functional reactivity theory. Different terms in this expression will be dominant in different circumstances; depending on which terms control the reactivity, different reactivity indicators will be preferred.

Quantifying Delocalization and Static Correlation Errors by Imposing (Spin)Population Redistributions through Constraints on Atomic Domains

The failure of many density functional approximations can be traced to their behavior under fractional (spin)population redistributions in the asymptotic limit toward infinite bonding distances, which should obey the flat-plane conditions. However, such errors can only be characterized sufficiently in terms of those redistributions if exact energies are available for many possible (spin)population redistributions at different bonding distances. In this study, we propose to model such redistributions by imposing (spin)populations on atomic domains by constraining full configuration interaction wave functions. The resulting N-representable descriptions of small hydrogen chains at different bonding distances allow us to computationally illustrate the effects of the flat-plane conditions in the limit to infinite bond distances, leading to more chemical insight into those flat-plane conditions. As the proposed methodology is able to capture the effects of the flat plane conditions, it could be used to generate the reference data that is required to measure the extent to which approximate methods violate the requirements of the exact functional, leading to a quantification of the delocalization and static correlation error of such methods.

Local hybrid functionals augmented by a strong-correlation model

The strong-correlation factor of the recent KP16/B13 exchange-correlation functional has been adapted and applied to the framework of local hybrid (LH) functionals. The expression identifiable as nondynamical (NDC) and dynamical (DC) correlations in LHs is modified by inserting a position-dependent KP16/B13-style strong-correlation factor q_AC(r) based on a local version of the adiabatic connection. Different ways of deriving this factor are evaluated for a simple one-parameter LH based on the local density approximation. While the direct derivation from the LH NDC term fails due to known deficiencies, hybrid approaches, where the factor is determined from the B13 NDC term as in KP16/B13 itself, provide remarkable improvements. In particular, a modified B13 NDC expression using Patra's exchange-hole curvature showed promising results. When applied to the simple LH as a first attempt, it reduces atomic fractional-spin errors and deficiencies of spin-restricted bond dissociation curves to a similar extent as the KP16/B13 functional itself while maintaining the good accuracy of the underlying LH for atomization energies and reaction barriers in weakly correlated situations. The performance of different NDC expressions in deriving strong-correlation corrections is analyzed, and areas for further improvements of strong-correlation corrected LHs and related approaches are identified. All the approaches evaluated in this work have been implemented self-consistently into a developers' version of the Turbomole program.

Replacing hybrid density functional theory: motivation and recent advances

Density functional theory (DFT) is the most widely-used electronic structure approximation across chemistry, physics, and materials science. Every year, thousands of papers report hybrid DFT simulations of chemical structures, mechanisms, and spectra. Unfortunately, hybrid DFT's accuracy is ultimately limited by tradeoffs between over-delocalization and under-binding. This review summarizes these tradeoffs, and introduces six modern attempts to go beyond them while maintaining hybrid DFT's relatively low computational cost: DFT+U, self-interaction corrections, localized orbital scaling corrections, local hybrid functionals, real-space nondynamical correlation, and our rung-3.5 approach. The review concludes with practical suggestions for DFT users to identify and mitigate these tradeoffs' impact on their simulations.

Putting Density Functional Theory to the Test in Machine-Learning-Accelerated Materials Discovery

Accelerated discovery with machine learning (ML) has begun to provide the advances in efficiency needed to overcome the combinatorial challenge of computational materials design. Nevertheless, ML-accelerated discovery both inherits the biases of training data derived from density functional theory (DFT) and leads to many attempted calculations that are doomed to fail. Many compelling functional materials and catalytic processes involve strained chemical bonds, open-shell radicals and diradicals, or metal-organic bonds to open-shell transition-metal centers. Although promising targets, these materials present unique challenges for electronic structure methods and combinatorial challenges for their discovery. In this Perspective, we describe the advances needed in accuracy, efficiency, and approach beyond what is typical in conventional DFT-based ML workflows. These challenges have begun to be addressed through ML models trained to predict the results of multiple methods or the differences between them, enabling quantitative sensitivity analysis. For DFT to be trusted for a given data point in a high-throughput screen, it must pass a series of tests. ML models that predict the likelihood of calculation success and detect the presence of strong correlation will enable rapid diagnoses and adaptation strategies. These "decision engines" represent the first steps toward autonomous workflows that avoid the need for expert determination of the robustness of DFT-based materials discoveries.

Nonlocal rung-3.5 correlation from the density matrix expansion: Flat-plane condition, thermochemistry, and kinetics

The rung-3.5 approach to density functional theory constructs nonlocal approximate correlation from the expectation values of nonlocal one-electron operators. This offers an inexpensive solution to hybrid functionals' imbalance between exact nonlocal exchange and local approximate correlation. Our rung-3.5 correlation functionals also include a local complement to the nonlocal ingredient, analogous to the local exchange component of a hybrid functional. Here, we use the density matrix expansion (DME) to build rung-3.5 complements. We demonstrate how these provide a measure of local fractional occupancy and use them to approximate the flat-plane condition. We also use these complements in a three-parameter nonlocal correlation functional compatible with full nonlocal exchange. This functional approaches the accuracy of widely used hybrids for molecular thermochemistry and kinetics. The DME provides a foundation for practical, minimally empirical, nonlocal correlation functionals compatible with full nonlocal local exchange.

Non-empirical, low-cost recovery of exact conditions with model-Hamiltonian inspired expressions in jmDFT

Density functional theory (DFT) is widely applied to both molecules and materials, but well known energetic delocalization and static correlation errors in practical exchange-correlation approximations limit quantitative accuracy. Common methods that correct energetic delocalization errors, such as the Hubbard U correction in DFT+U or Hartree-Fock exchange in global hybrids, do so at the cost of worsening static correlation errors. We recently introduced an alternate approach [Bajaj et al., J. Chem. Phys. 147, 191101 (2017)] known as judiciously modified DFT (jmDFT), wherein the deviation from exact behavior of semilocal functionals over both fractional spin and charge, i.e., the so-called flat plane, was used to motivate functional forms of second order analytic corrections. In this work, we introduce fully nonempirical expressions for all four coefficients in a DFT+U+J-inspired form of jmDFT, where all coefficients are obtained only from energies and eigenvalues of the integer-electron systems. We show good agreement for U and J coefficients obtained nonempirically as compared with the results of numerical fitting in a jmDFT U+J/J' correction. Incorporating the fully nonempirical jmDFT correction reduces and even eliminates the fractional spin error at the same time as eliminating the energetic delocalization error. We show that this approach extends beyond s-electron systems to higher angular momentum cases including p- and d-electrons. Finally, we diagnose some shortcomings of the current jmDFT approach that limit its ability to improve upon DFT results for cases such as weakly bound anions due to poor underlying semilocal functional behavior.

Asymptotic behavior of the Hartree-exchange and correlation potentials in ensemble density functional theory

We show that the Hartree-exchange and correlation potentials of ensemble systems can have unexpected features, including non-vanishing asymptotic constants and non-trivial screening of electrons. These features are demonstrated here on Li, C, and F.

Communication: Recovering the flat-plane condition in electronic structure theory at semi-local DFT cost

The flat-plane condition is the union of two exact constraints in electronic structure theory: (i) energetic piecewise linearity with fractional electron removal or addition and (ii) invariant energetics with change in electron spin in a half filled orbital. Semi-local density functional theory (DFT) fails to recover the flat plane, exhibiting convex fractional charge errors (FCE) and concave fractional spin errors (FSE) that are related to delocalization and static correlation errors. We previously showed that DFT+U eliminates FCE but now demonstrate that, like other widely employed corrections (i.e., Hartree-Fock exchange), it worsens FSE. To find an alternative strategy, we examine the shape of semi-local DFT deviations from the exact flat plane and we find this shape to be remarkably consistent across ions and molecules. We introduce the judiciously modified DFT (jmDFT) approach, wherein corrections are constructed from few-parameter, low-order functional forms that fit the shape of semi-local DFT errors. We select one such physically intuitive form and incorporate it self-consistently to correct semi-local DFT. We demonstrate on model systems that jmDFT represents the first easy-to-implement, no-overhead approach to recovering the flat plane from semi-local DFT.

Perspective: Chemical Information Encoded in Electron Density

In this perspective, we review the chemical information encoded in electron density and other ingredients used in semilocal functionals. This information is usually looked at from the functional point of view: the exchange density or the enhancement factor are discussed in terms of the reduced density gradient. However, what parts of a molecule do these 3D functions represent? We look at these quantities in real space, aiming to understand the electronic structure information they encode and provide an insight from the quantum chemical topology (QCT). Generalized gradient approximations (GGAs) provide information about the presence of chemical interactions, whereas meta-GGAs can differentiate between the different bonding types. By merging these two techniques, we show new insight into the failures of semilocal functionals owing to three main errors: fractional charges, fractional spins, and non-covalent interactions. We build on simple models. We also analyze the delocalization error in hydrogen chains, showing the ability of QCT to reveal the delocalization error introduced by semilocal functionals. Then, we show how the analysis of localization can help understand the fractional spin error in alkali atoms, and how it can be used to correct it. Finally, we show that the poor description of GGAs of isodesmic reactions in alkanes is due to 1,3-interactions.

On extending Kohn-Sham density functionals to systems with fractional number of electrons

We analyze four ways of formulating the Kohn-Sham (KS) density functionals with a fractional number of electrons, through extending the constrained search space from the Kohn-Sham and the generalized Kohn-Sham (GKS) non-interacting v-representable density domain for integer systems to four different sets of densities for fractional systems. In particular, these density sets are (I) ensemble interacting N-representable densities, (II) ensemble non-interacting N-representable densities, (III) non-interacting densities by the Janak construction, and (IV) non-interacting densities whose composing orbitals satisfy the Aufbau occupation principle. By proving the equivalence of the underlying first order reduced density matrices associated with these densities, we show that sets (I), (II), and (III) are equivalent, and all reduce to the Janak construction. Moreover, for functionals with the ensemble v-representable assumption at the minimizer, (III) reduces to (IV) and thus justifies the previous use of the Aufbau protocol within the (G)KS framework in the study of the ground state of fractional electron systems, as defined in the grand canonical ensemble at zero temperature. By further analyzing the Aufbau solution for different density functional approximations (DFAs) in the (G)KS scheme, we rigorously prove that there can be one and only one fractional occupation for the Hartree Fock functional, while there can be multiple fractional occupations for general DFAs in the presence of degeneracy. This has been confirmed by numerical calculations using the local density approximation as a representative of general DFAs. This work thus clarifies important issues on density functional theory calculations for fractional electron systems.