On derivatives of the energy with respect to total electron number and orbital occupation numbers. A critique of Janak's theorem

Can the Kohn-Sham gap be larger than the fundamental gap?

It is often stated that the exact Kohn-Sham HOMO-LUMO gap underestimates the fundamental gap. Here, using the Hubbard dimer as a model Hamiltonian, we show numerically that the exact Kohn-Sham gap can be larger than the fundamental gap.

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.

Toward the Next Generation of Density Functionals: Escaping the Zero-Sum Game by Using the Exact-Exchange Energy Density

ConspectusKohn-Sham density functional theory (KS DFT) is arguably the most widely applied electronic-structure method with tens of thousands of publications each year in a wide variety of fields. Its importance and usefulness can thus hardly be overstated. The central quantity that determines the accuracy of KS DFT calculations is the exchange-correlation functional. Its exact form is unknown, or better "unknowable", and therefore the derivation of ever more accurate yet efficiently applicable approximate functionals is the "holy grail" in the field. In this context, the simultaneous minimization of so-called delocalization errors and static correlation errors is the greatest challenge that needs to be overcome as we move toward more accurate yet computationally efficient methods. In many cases, an improvement on one of these two aspects (also often termed fractional-charge and fractional-spin errors, respectively) generates a deterioration in the other one. Here we report on recent notable progress in escaping this so-called "zero-sum-game" by constructing new functionals based on the exact-exchange energy density. In particular, local hybrid and range-separated local hybrid functionals are discussed that incorporate additional terms that deal with static correlation as well as with delocalization errors. Taking hints from other coordinate-space models of nondynamical and strong electron correlations (the B13 and KP16/B13 models), position-dependent functions that cover these aspects in real space have been devised and incorporated into the local-mixing functions determining the position-dependence of exact-exchange admixture of local hybrids as well as into the treatment of range separation in range-separated local hybrids. While initial functionals followed closely the B13 and KP16/B13 frameworks, meanwhile simpler real-space functions based on ratios of semilocal and exact-exchange energy densities have been found, providing a basis for relatively simple and numerically convenient functionals. Notably, the correction terms can either increase or decrease exact-exchange admixture locally in real space (and in interelectronic-distance space), leading even to regions with negative admixture in cases of particularly strong static correlations. Efficient implementations into a fast computer code (Turbomole) using seminumerical integration techniques make such local hybrid and range-separated local hybrid functionals promising new tools for complicated composite systems in many research areas, where simultaneously small delocalization errors and static correlation errors are crucial. First real-world application examples of the new functionals are provided, including stretched bonds, symmetry-breaking and hyperfine coupling in open-shell transition-metal complexes, as well as a reduction of static correlation errors in the computation of nuclear shieldings and magnetizabilities. The newest versions of range-separated local hybrids (e.g., ωLH23tdE) retain the excellent frontier-orbital energies and correct asymptotic exchange-correlation potential of the underlying ωLH22t functional while improving substantially on strong-correlation cases. The form of these functionals can be further linked to the performance of the recent impactful deep-neural-network "black-box" functional DM21, which itself may be viewed as a range-separated local hybrid.

Physicochemical Properties of 4-(4-Hydroxyphenyl)-butan-2-one ("Raspberry Ketone") Evaluated Using a Computational Chemistry Approach

Raspberry ketone (RK) is a product of the phenylpropanoid pathway in a variety of plants and is the second most expensive natural flavouring in the world. It is also widely used as a nutritional supplement due to its reported ability to promote lipolysis and fat oxidation in vivo. We have evaluated the thermodynamics of RK using the correlation consistent ccCA-CBS-2 approach which afforded calculation of (inter alia) the enthalpy of formation. To obtain pK a, log D, electrode potential, solubility, and reactivity indices, we used TPSS/def2-TZVP geometries followed by single-point energies obtained at the M06-2X/def2-TZVPP level of theory. We obtained Δf H o = -299.4 ± 0.17 kJ·mol-1; the pK a and logD were found to be 9.95 and 1.84, respectively, consistent with chemometric predictions. Using the enthalpy of fusion obtained from theory, we evaluated the aqueous solubility of RK to be in the region of 2.5 mg·mL-1 which is in agreement with limited literature reports. In terms of reactivity, we obtained a formal electrode potential of 1.29 V (vs SHE) at pH 7.4 and 298.15 K. The HOMO-LUMO energy separation in an aqueous environment was found to be ca. 7.8 eV, suggesting moderate chemical reactivity. Analysis of the frontier molecular orbitals using conceptual density functional theory supported this and revealed a reactivity pattern consistent with the metabolite profile obtained in mammals, namely, a propensity for nucleophilic attack at the carbonyl carbon and electrophilic addition of the benzene ring.

Basis Electronic Activity of Molecular Systems. A Theory of Bond Reactivity

In this paper, we present a new finding, the basis electronic activity (BEA) of molecular systems; it corresponds to the significant, although nonreactive, vibrationally induced electronic activity that takes place in any molecular system. Although the molecule's BEA is composed of an equal number of local contributions as the vibrational degrees of freedom, our results indicate that only stretching modes contribute to it. To account for this electronic activity, a new descriptor, the bond electronic flux (BEF), is introduced. The BEF combined with the force constant of the potential well hosting the electronic activity gives rise to the effective bond reactivity index (EBR), which turns out to be the first density functional theory-based descriptor that simultaneously accounts for structural and electronic effects. Besides quantifying the bond reactivity, EBR provides a basis to compare the reactivities of bonds inserted in different chemical environments and paves the way for the exertion of selective control to enhance or inhibit their reactivities. The new concepts formulated in this paper and the associated computational tools are illustrated with characterization of the BEA of a set of representative molecules. In all cases, the BEFs follow the same linear pattern, whose slopes indicate the intensity of the electronic activity and quantify the reactivity of chemical bonds.

DFT exchange: sharing perspectives on the workhorse of quantum chemistry and materials science

In this paper, the history, present status, and future of density-functional theory (DFT) is informally reviewed and discussed by 70 workers in the field, including molecular scientists, materials scientists, method developers and practitioners. The format of the paper is that of a roundtable discussion, in which the participants express and exchange views on DFT in the form of 302 individual contributions, formulated as responses to a preset list of 26 questions. Supported by a bibliography of 777 entries, the paper represents a broad snapshot of DFT, anno 2022.

Organic radicals with inversion of SOMO and HOMO energies and potential applications in optoelectronics

Organic radicals possessing an electronic configuration in which the energy of the singly occupied molecular orbital (SOMO) is below the highest doubly occupied molecular orbital (HOMO) level have recently attracted significant interest, both theoretically and experimentally. The peculiar orbital energetics of these SOMO-HOMO inversion (SHI) organic radicals set their electronic properties apart from the more common situation where the SOMO is the highest occupied orbital of the system. This review gives a general perspective on SHI, with key fundamental aspects regarding the electronic and structural factors that govern this particular electronic configuration in organic radicals. Selected examples of reported compounds with SHI are highlighted to establish molecular guidelines for designing this type of radical, and to showcase the potential of SHI radicals in organic spintronics as well as for the development of more stable luminescent radicals for OLED applications.

DFT-1/2 and shell DFT-1/2 methods: electronic structure calculation for semiconductors at LDA complexity

It is known that the Kohn-Sham eigenvalues do not characterize experimental excitation energies directly, and the band gap of a semiconductor is typically underestimated by local density approximation (LDA) of density functional theory (DFT). An embarrassing situation is that one usually uses LDA+Ufor strongly correlated materials with rectified band gaps, but for non-strongly-correlated semiconductors one has to resort to expensive methods like hybrid functionals orGW. In spite of the state-of-the-art meta-generalized gradient approximation functionals like TB-mBJ and SCAN, methods with LDA-level complexity to rectify the semiconductor band gaps are in high demand. DFT-1/2 stands as a feasible approach and has been more widely used in recent years. In this work we give a detailed derivation of the Slater half occupation technique, and review the assumptions made by DFT-1/2 in semiconductor band structure calculations. In particular, the self-energy potential approach is verified through mathematical derivations. The aims, features and principles of shell DFT-1/2 for covalent semiconductors are also accounted for in great detail. Other developments of DFT-1/2 including conduction band correction, DFT+A-1/2, empirical formula for the self-energy potential cutoff radius, etc, are further reviewed. The relations of DFT-1/2 to hybrid functional, sX-LDA,GW, self-interaction correction, scissor's operator as well as DFT+Uare explained. Applications, issues and limitations of DFT-1/2 are comprehensively included in this review.

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.

Machine learning the derivative discontinuity of density-functional theory

Machine learning is a powerful tool to design accurate, highly non-local, exchange-correlation functionals for density functional theory. So far, most of those machine learned functionals are trained for systems with an integer number of particles. As such, they are unable to reproduce some crucial and fundamental aspects, such as the explicit dependency of the functionals on the particle number or the infamous derivative discontinuity at integer particle numbers. Here we propose a solution to these problems by training a neural network as the universal functional of density-functional theory that (a) depends explicitly on the number of particles with a piece-wise linearity between the integer numbers and (b) reproduces the derivative discontinuity of the exchange-correlation energy. This is achieved by using an ensemble formalism, a training set containing fractional densities, and an explicitly discontinuous formulation.

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.

Variations of the Hartree-Fock fractional-spin error for one electron

Fractional-spin errors are inherent in all current approximate density functionals, including Hartree-Fock theory, and their origin has been related to strong static correlation effects. The conventional way to encode fractional-spin calculations is to construct an ensemble density that scales between the high-spin and low-spin densities. In this article, we explore the variation of the Hartree-Fock fractional-spin (or ghost-interaction) error in one-electron systems using restricted and unrestricted ensemble densities and the exact generalized Hartree-Fock representation. By considering the hydrogen atom and H⁺ ₂ cation, we analyze how the unrestricted and generalized Hartree-Fock schemes minimize this error by localizing the electrons or rotating the spin coordinates. We also reveal a clear similarity between the Coulomb hole of He-like ions and the density depletion near the nucleus induced by the fractional-spin error in the unpolarized hydrogen atom. Finally, we analyze the effect of the fractional-spin error on the Møller-Plesset adiabatic connection, excited states, and functional- and density-driven errors.

Orbital energies and nuclear forces in DFT: Interpretation and validation

The bonding and antibonding character of individual molecular orbitals has been previously shown to be related to their orbital energy derivatives with respect to nuclear coordinates, known as dynamical orbital forces. Albeit usually derived from Koopmans' theorem, in this work we show a more general derivation from conceptual DFT, which justifies application in a broader context. The consistency of the approach is validated numerically for valence orbitals in Kohn-Sham DFT. Then, we illustrate its usefulness by showcasing applications in aromatic and antiaromatic systems and in excited state chemistry. Overall, dynamical orbital forces can be used to interpret the results of routine ab initio calculations, be it wavefunction or density based, in terms of forces and occupations.

Relationships between Orbital Energies, Optical and Fundamental Gaps, and Exciton Shifts in Approximate Density Functional Theory and Quasiparticle Theory

The relationships between Kohn-Sham (KS) and generalized KS (GKS) density functional orbital energies and fundamental gaps or optical gaps raise many interesting questions including the physical meanings of KS and GKS orbital energies when computed with currently available approximate density functionals (ADFs). In this work, by examining three diverse databases with various ADFs, we examine such relations from the point of view of the exciton shift of quasiparticle theory. We start by calculating a large number of excitation energies by time-dependent density functional theory (TDDFT) with a large number of ADFs. To relate the exciton shift implicit in TDDFT to the exciton shift that is explicit in Green's function theory, we define the exciton shift in TDDFT as the difference of the response shift and the quasiparticle shift. We found a strong correlation between the response shift and the amount of Hartree-Fock exchange included in the density functional, with the response shift varying between -1 and 5 eV. This range is an order of magnitude larger than the mean errors of the TDDFT excitation energies. This result suggests that, with currently available functionals, the KS or GKS orbital energies should be treated as intermediate mathematical variables in the calculation of excitation energies rather than as the energies of independent-particle reference states for quasiparticle theory.

The Electron Affinity as the Highest Occupied Anion Orbital Energy with a Sufficiently Accurate Approximation of the Exact Kohn-Sham Potential

Negative ions are not accurately represented in density functional approximations (DFAs) such as (semi)local density functionals (LDA or GGA or meta-GGA). This is caused by the much too high orbital energies (not negative enough) with these DFAs compared to the exact Kohn–Sham values. Negative ions very often have positive DFA HOMO energies, hence they are unstable. These problems do not occur with the exact Kohn–Sham potential, the anion HOMO energy then being equal to minus the electron affinity. It is therefore desirable to develop sufficiently accurate approximations to the exact Kohn–Sham potential. There are further beneficial effects on the orbital shapes and the density of using a good approximation to the exact KS potential. Notably the unoccupied orbitals are not unduly diffuse, as they are in the Hartree–Fock model, with hybrid functionals, and even with (semi)local density functional approximations (LDFAs). We show that the recently developed B-GLLB-VWN approximation [Gritsenko et al. J. Chem. Phys.2016, 144, 204114] to the exact KS potential affords stable negative ions with HOMO orbital energy close to minus the electron affinity.