Accurate double excitations from ensemble density functional calculations

Extended N-centered ensemble density functional theory of double electronic excitations

A recent work (arXiv:2401.04685) has merged N-centered ensembles of neutral and charged electronic ground states with ensembles of neutral ground and excited states, thus providing a general and in-principle exact (so-called extended N-centered) ensemble density functional theory of neutral and charged electronic excitations. This formalism made it possible to revisit the concept of density-functional derivative discontinuity, in the particular case of single excitations from the highest occupied Kohn-Sham (KS) molecular orbital, without invoking the usual "asymptotic behavior of the density" argument. In this work, we address a broader class of excitations, with a particular focus on double excitations. An exact implementation of the theory is presented for the two-electron Hubbard dimer model. A thorough comparison of the true physical ground- and excited-state electronic structures with that of the fictitious ensemble density-functional KS system is also presented. Depending on the choice of the density-functional ensemble as well as the asymmetry of the dimer and the correlation strength, an inversion of states can be observed. In some other cases, the strong mixture of KS states within the true physical system makes the assignment "single excitation" or "double excitation" irrelevant.

Electronic Vector Potential from the Exact Factorization of a Complex Wavefunction

We generalize the definitions of local scalar potentials namedυ kin ${\upsilon _{{\rm{kin}}} }$ andυ N - 1 ${\upsilon _{N - 1} }$ , which are relevant to properly describe phenomena such as molecular dissociation with density-functional theory, to the case in which the electronic wavefunction corresponds to a complex current-carrying state. In such a case, an extra term in the form of a vector potential appears which cannot be gauged away. Both scalar and vector potentials are introduced via the exact factorization formalism which allows us to express the given Schrödinger equation as two coupled equations, one for the marginal and one for the conditional amplitude. The electronic vector potential is directly related to the paramagnetic current density carried by the total wavefunction and to the diamagnetic current density in the equation for the marginal amplitude. An explicit example of this vector potential in a triplet state of two non-interacting electrons is showcased together with its associated circulation, giving rise to a non-vanishing geometric phase. Some connections with the exact factorization for the full molecular wavefunction beyond the Born-Oppenheimer approximation are also discussed.

Exact Excited-State Functionals of the Asymmetric Hubbard Dimer

The exact functionals associated with the (singlet) ground state and the two singlet excited states of the asymmetric Hubbard dimer at half-filling are calculated using both Levy's constrained search and Lieb's convex formulation. While the ground-state functional is, as is commonly known, a convex function with respect to the density, the functional associated with the doubly excited state is found to be concave. Also, because the density-potential mapping associated with the first excited state is noninvertible, its "functional" is a partial, multivalued function composed of one concave and one convex branch that correspond to two separate domains of the external potential. Remarkably, it is found that, although the one-to-one mapping between density and external potential may not apply (as in the case of the first excited state), each state-specific energy and corresponding universal functional are "functions" whose derivatives are each other's inverse, just as in the ground state formalism.

Electronic Excited States in Extreme Limits via Ensemble Density Functionals

Density functional theory (DFT) has greatly expanded our ability to affordably compute and understand electronic ground states, by replacing intractable ab initio calculations by models based on paradigmatic physics from high- and low-density limits. But, a comparable treatment of excited states lags behind. Here, we solve this outstanding problem by employing a generalization of density functional theory to ensemble states (EDFT). We thus address important paradigmatic cases of all electronic systems in strongly (low-density) and weakly (high-density) correlated regimes. We show that the high-density limit connects to recent, exactly solvable EDFT results. The low-density limit reveals an unnoticed and most unexpected result-density functionals for strictly correlated ground states can be reused directly for excited states. Nontrivial dependence on excitation structure only shows up at third leading order. Overall, our results provide foundations for effective models of excited states that interpolate between exact low- and high-density limits, which we illustrate on the cases of singlet-singlet excitations in H_{2} and a ring of quantum wells.

Foundation of One-Particle Reduced Density Matrix Functional Theory for Excited States

In Phys. Rev. Lett. 2021, 127, 023001 a reduced density matrix functional theory (RDMFT) was proposed for calculating energies of selected eigenstates of interacting many-Fermion systems. Here, we develop a solid foundation for this so-called w-RDMFT and present the details of various derivations. First, we explain how a generalization of the Ritz variational principle to ensemble states with fixed weights w in combination with the constrained search would lead to a universal functional of the one-particle reduced density matrix. To turn this into a viable functional theory, however, we also need to implement an exact convex relaxation. This general procedure includes Valone's pioneering work on ground state RDMFT as the special case w = (1,0, ···). Then, we work out in a comprehensive manner a methodology for deriving a compact description of the functional's domain. This leads to a hierarchy of generalized exclusion principle constraints which we illustrate in great detail. By anticipating their future pivotal role in functional theories and to keep our work self-contained, several required concepts from convex analysis are introduced and discussed.

Double and Charge-Transfer Excitations in Time-Dependent Density Functional Theory

Time-dependent density functional theory has emerged as a method of choice for calculations of spectra and response properties in physics, chemistry, and biology, with its system-size scaling enabling computations on systems much larger than otherwise possible. While increasingly complex and interesting systems have been successfully tackled with relatively simple functional approximations, there has also been increasing awareness that these functionals tend to fail for certain classes of approximations. Here I review the fundamental challenges the approximate functionals have in describing double excitations and charge-transfer excitations, which are two of the most common impediments for the theory to be applied in a black-box way. At the same time, I describe the progress made in recent decades in developing functional approximations that give useful predictions for these excitations. Expected final online publication date for the Annual Review of Physical Chemistry, Volume 73 is April 2022. Please see http://www.annualreviews.org/page/journal/pubdates for revised estimates.

Evaluating the Electronic Structure of Coexisting Excitonic and Multiexcitonic States in Periodic Systems: Significance for Singlet Fission

Singlet fission (SF) in organic molecular solids is an example of a process that is challenging to describe with the most common electronic structure approaches. It involves optically bright singlet excited states delocalized over many molecules, which could be efficiently treated by density functional theory, and multiexcitonic localized states that have to be studied with wavefunction methods, usually with small clusters considering their expensive computational costs. In this work, we propose a methodology to combine multiconfigurational wavefunction calculations with reduced Hamiltonian to investigate the electronic structure of large clusters or fully periodic systems. The method is applied to the prototypical SF materials tetracene and pentacene. The results allow one to study how states of different natures (excitonic, charge-transfer, and multiexcitonic) coexist and are contaminated by their couplings in large or periodic systems. Novel insights are therefore possible. For example, because the excitonic bands are relatively broad with respect to the multiexcitonic states, there are limited regions of the crystal momentum space where the transition between the two is more likely.

Ensemble Density Functional Theory of Neutral and Charged Excitations : Exact Formulations, Standard Approximations, and Open Questions

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, 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 (although solvable) v-representability issues. Finally, we explore the possibility of using the concept of density-driven correlation, which has been introduced recently 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.

Perturbation Theory Treatment of Spin-Orbit Coupling II: A Coupled Perturbed Kohn-Sham Method

A noncanonical coupled perturbed Kohn-Sham density functional theory (KS-DFT)/Hartree-Fock (HF) treatment of spin-orbit coupling (SOC) is provided. We take the scalar-relativistic KS-DFT/HF solution, obtained with a relativistic effective core potential, as the zeroth-order approximation. Explicit expressions are given for the total energy through the 4th order, which satisfy the 2n + 1 rule. Second-order expressions are provided for orbital energies and density variables of spin-current DFT. Test calculations are carried out on the halogen homonuclear diatomic and hydride molecules, including 6p and 7p elements, as well as open-shell negative ions. The computed properties through second or third order match well with those from reference two-component self-consistent field calculations for total and orbital energies as well as spin-current densities. In only one case (At₂^-) did a significant deviation occur for the remaining density variables. Our coupled perturbation theory approach provides an efficient way of adding the effect of SOC to a scalar-relativistic single-reference KS-DFT/HF treatment, in particular because it does not require diagonalization in the two-component spinor basis, leading to saving factors on the number of required floating-point operations that may exceed one order of magnitude.

Ensemble Reduced Density Matrix Functional Theory for Excited States and Hierarchical Generalization of Pauli's Exclusion Principle

We propose and work out a reduced density matrix functional theory (RDMFT) for calculating energies of eigenstates of interacting many-electron systems beyond the ground state. Various obstacles which historically have doomed such an approach to be unfeasible are overcome. First, we resort to a generalization of the Ritz variational principle to ensemble states with fixed weights. This in combination with the constrained search formalism allows us to establish a universal functional of the one-particle reduced density matrix. Second, we employ tools from convex analysis to circumvent the too involved N-representability constraints. Remarkably, this identifies Valone's pioneering work on RDMFT as a special case of convex relaxation and reveals that crucial information about the excitation structure is contained in the functional's domain. Third, to determine the crucial latter object, a methodology is developed which eventually leads to a generalized exclusion principle. The corresponding linear constraints are calculated for systems of arbitrary size.

Perturbation theory in the complex plane: exceptional points and where to find them

We explore the non-Hermitian extension of quantum chemistry in the complex plane and its link with perturbation theory. We observe that the physics of a quantum system is intimately connected to the position of complex-valued energy singularities, known as exceptional points. After presenting the fundamental concepts of non-Hermitian quantum chemistry in the complex plane, including the mean-field Hartree-Fock approximation and Rayleigh-Schrödinger perturbation theory, we provide a historical overview of the various research activities that have been performed on the physics of singularities. In particular, we highlight seminal work on the convergence behaviour of perturbative series obtained within Møller-Plesset perturbation theory, and its links with quantum phase transitions. We also discuss several resummation techniques (such as Padé and quadratic approximants) that can improve the overall accuracy of the Møller-Plesset perturbative series in both convergent and divergent cases. Each of these points is illustrated using the Hubbard dimer at half filling, which proves to be a versatile model for understanding the subtlety of analytically-continued perturbation theory in the complex plane.

Ensemble generalized Kohn-Sham theory: The good, the bad, and the ugly

Two important extensions of Kohn-Sham (KS) theory are generalized: KS theory and ensemble KS theory. The former allows for non-multiplicative potential operators and greatly facilitates practical calculations with advanced, orbital-dependent functionals. The latter allows for quantum ensembles and enables the treatment of open systems and excited states. Here, we combine the two extensions, both formally and practically, first via an exact yet complicated formalism and then via a computationally tractable variant that involves a controlled approximation of ensemble "ghost interactions" by means of an iterative algorithm. The resulting formalism is illustrated using selected examples. This opens the door to the application of generalized KS theory in more challenging quantum scenarios and to the improvement of ensemble theories for the purpose of practical and accurate calculations.

Confirmation of the PPLB Derivative Discontinuity: Exact Chemical Potential at Finite Temperatures of a Model System

The landmark 1982 work of Perdew, Parr, Levy, and Balduz (often called PPLB) laid the foundation for our modern understanding of the role of the derivative discontinuity in density functional theory, which drives much development to account for its effects. A simple model for the chemical potential at vanishing temperature played a crucial role in their argument. We investigate the validity of this model in the simplest nontrivial system to which it can be applied and which can be easily solved exactly, the Hubbard dimer. We find exact agreement in the crucial zero-temperature limit and show the model remains accurate for a significant range of temperatures. We identify how this range depends on the strength of correlations. We extend the model to approximate free energies accounting for the derivative discontinuity, a feature missing in standard semilocal approximations. We provide a correction to this approximation to yield even more accurate free energies. We discuss the relevance of these results for warm dense matter.

Approximately Self-Consistent Ensemble Density Functional Theory: Toward Inclusion of All Correlations

Recent theory developments in ensemble density functional theory (EDFT) promise to bring decades of work for ground states to the practical resolution of excited states, provided newly discovered "density-driven correlations" can be dealt with and adequate effective potentials can be found. This Letter introduces simple theories for both and shows that EDFT using these theories outperforms ΔSCF DFT and time-dependent DFT for low-lying gaps in most of the small atoms and molecules tested, even when all use the same density functional approximations. It thus establishes EDFT as a promising tool for low-cost studies of low-lying excited states and provides a clear route to practical EDFT implementation of arbitrary functional approximations.

Individual Correlations in Ensemble Density Functional Theory: State- and Density-Driven Decompositions without Additional Kohn-Sham Systems

Gould and Pittalis [Phys. Rev. Lett. 123, 016401 (2019)PRLTAO0031-900710.1103/PhysRevLett.123.016401 recently revealed a density-driven (DD) correlation energy that is specific to many-electron ensembles and must be accounted for by approximations. We derive in this Letter a general and simpler expression in terms of the ensemble weights, the ensemble Kohn-Sham (KS) orbitals, and their linear response to variations in the ensemble weights. As no additional state-driven KS systems are needed, its evaluation is greatly simplified. We confirm the importance of DD effects and introduce a direct and promising route to approximations.

Weight dependence of local exchange–correlation functionals in ensemble density-functional theory: double excitations in two-electron systems

We discuss the construction of first-rung weight-dependent exchange–correlation density-functional approximations for He and H₂ specifically designed for the computation of double excitations within Gross–Oliveira–Kohn-DFT.

Density-Driven Correlations in Many-Electron Ensembles: Theory and Application for Excited States

Density functional theory can be extended to excited states by means of a unified variational approach for passive state ensembles. This extension overcomes the restriction of the typical density functional approach to ground states, and offers useful formal and demonstrated practical benefits. The correlation energy functional in the generalized case acquires higher complexity than its ground state counterpart, however. Little is known about its internal structure nor how to effectively approximate it in general. Here we show that such a functional can be broken down into natural components, including what we call "state-" and "density-driven" correlations, with the former amenable to conventional approximations, and the latter being a unique feature of ensembles. Such a decomposition provides us with a pathway to general approximations that are able to routinely handle low-lying excited states. The importance of density-driven correlations is demonstrated, and an approximation for them is introduced and shown to be useful.