On the calculation of the bandgap of periodic solids with MGGA functionals using the total energy

Origin of the success of mGGAs for bandgaps

One of the well-known limitations of Kohn-Sham density functional theory is the tendency to strongly underestimate bandgaps. Meta-generalized gradient approximations (mGGAs), which include the kinetic energy density in the functional form, have been shown to significantly alleviate this deficiency. In this study, we explore the mechanisms responsible for this improvement from the angle of the underlying local densities. We find that the highest occupied and lowest unoccupied states are distinct in the space of the underlying descriptors. The gap opening is compared to a simple scaling of the local density approximation, and two mechanisms responsible for opening the mGGA gaps are identified. First of all, the relatively large negative derivative of the functional form with respect to reduced kinetic energy tends to elevate the lowest unoccupied state. Second, the curvature of functional, which ensures that it is bounded, tends to lower the highest occupied state. Remarkably, these two mechanisms are found to be transferable over a large and diverse database of compounds.

On the self-consistency of DFT-1/2

Density functional theory (DFT)-1/2 is an efficient bandgap rectification method for DFT under local density approximation (LDA) or generalized gradient approximation. It was suggested that non-self-consistent DFT-1/2 should be used for highly ionic insulators like LiF, whereas self-consistent DFT-1/2 should still be used for other compounds. Nevertheless, there is no quantitative criterion prescribed for which implementation should work for an arbitrary insulator, which leads to severe ambiguity in this method. In this work, we analyze the impact of self-consistency in DFT-1/2 and shell DFT-1/2 calculations in insulators or semiconductors with ionic bonds, covalent bonds, and intermediate cases and show that self-consistency is required even for highly ionic insulators for globally better electronic structure details. The self-energy correction renders electrons more localized around the anions in self-consistent LDA-1/2. The well-known delocalization error of LDA is rectified, but with strong overcorrection, due to the presence of additional self-energy potential. However, in non-self-consistent LDA-1/2 calculations, the electron wave functions indicate that such localization is much more severe and beyond a reasonable range because the strong Coulomb repulsion is not counted in the Hamiltonian. Another common drawback of non-self-consistent LDA-1/2 is that the ionicity of the bonding gets substantially enhanced, and the bandgap can be enormously high in mixed ionic-covalent compounds like TiO₂.

What is the optimal mGGA exchange functional for solids?

The space of GGA and mGGA exchange approximations is systematically explored bytraining 25 new functionals to produce accurate lattice parameter, cohesive energy andband gap predictions. The trained functionals are used to reproduce previous knowledge ina data-driven way and to understand the accuracy tradeoff between the mentioned proper-ties. The functionals are compared to notable mGGA functionals to analyze how changesin the enhancement factor maps influence the accuracy of the predictions. Some of thetrained functionals are found to perform on par with specialized functionals for band gaps,while outperforming them on the other two properties. The error surface of our trainedfunctionals can serve as a soft-limit of what mGGA functionals can achieve.

Chemical potential, derivative discontinuity, fractional electrons, jump of the Kohn-Sham potential, atoms as thermodynamic open systems, and other (mis)conceptions of the density functional theory of electrons in molecules

Many references exist in the density functional theory (DFT) literature to the chemical potential of the electrons in an atom or a molecule. The origin of this notion has been the identification of the Lagrange multiplier μ = ∂E/∂N in the Euler-Lagrange variational equation for the ground state density as the chemical potential of the electrons. We first discuss why the Lagrange multiplier in this case is an arbitrary constant and therefore cannot be a physical characteristic of an atom or molecule. The switching of the energy derivative ("chemical potential") from -I to -A when the electron number crosses the integer, called integer discontinuity or derivative discontinuity, is not physical but only occurs when the nonphysical noninteger electron systems and the corresponding energy and derivative ∂E/∂N are chosen in a specific discontinuous way. The question is discussed whether in fact the thermodynamical concept of a chemical potential can be defined for the electrons in such few-electron systems as atoms and molecules. The conclusion is that such systems lack important characteristics of thermodynamic systems and do not afford the definition of a chemical potential. They also cannot be considered as analogues of the open systems of thermodynamics that can exchange particles with an environment (a particle bath or other members of a Gibbsian ensemble). Thermodynamical (statistical mechanical) concepts like chemical potential, open systems, grand canonical ensemble etc. are not applicable to a few electron system like an atom or molecule. A number of topics in DFT are critically reviewed in light of these findings: jumps in the Kohn-Sham potential when crossing an integer number of electrons, the band gap problem, the deviation-from-straight-lines error, and the role of ensembles in DFT.