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

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.

Excited states in warm and hot dense matter

Accurate modeling of warm and hot dense matter is challenging in part due to the multitude of excited states that must be considered. Here, we present a variational framework that models these excited states. In this framework an excited state is defined by a set of effective one-electron occupation factors, and the corresponding energy is defined by the effective one-body energy with an exchange and correlation term. The variational framework is applied to an atom-in-plasma model (a generalization of the so-called average atom model). Comparisons with a density functional theory based average atom model generally reveal good agreement in the calculated pressure, but our model also gives access to the excitation energies and charge state distributions.

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.

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.

Multistate Density Functional Theory of Excited States

We report a rigorous formulation of density functional theory for excited states, providing a theoretical foundation for a multistate density functional theory. We prove the existence of a Hamiltonian matrix functional H[D] of the multistate matrix density D(r) in the subspace spanned by the lowest N eigenstates. Here, D(r) is an N-dimensional matrix of state densities and transition densities. Then, a variational principle of the multistate subspace energy is established, whose minimization yields both the energies and densities of the individual N eigenstates. Furthermore, we prove that the N-dimensional matrix density D(r) can be sufficiently represented by N² nonorthogonal Slater determinants, based on which an interacting active space is introduced for practical calculations. This work establishes that the ground and excited states can be treated on an equal footing in density functional theory.

Excitations of Quantum Many-Body Systems via Purified Ensembles: A Unitary-Coupled-Cluster-Based Approach

State-average calculations based on a mixture of states are increasingly being exploited across chemistry and physics as versatile procedures for addressing excitations of quantum many-body systems. If not too many states should need to be addressed, calculations performed on individual states are also a common option. Here we show how the two approaches can be merged into one method, dealing with a generalized yet single pure state. Implications in electronic structure calculations are discussed and for quantum computations are pointed out.

Single Excitation Energies Obtained from the Ensemble "HOMO-LUMO Gap": Exact Results and Approximations

In calculations based on density functional theory, the "HOMO-LUMO gap" (difference between the highest occupied and lowest unoccupied molecular orbital energies) is often used as a low-cost, ad hoc approximation for the lowest excitation energy. Here we show that a simple correction based on rigorous ensemble density functional theory makes the HOMO-LUMO gap exact in principle and significantly more accurate in practice. The introduced perturbative ensemble density functional theory approach predicts different and useful values for singlet-singlet and singlet-triplet excitations, using semilocal and hybrid approximations. Excitation energies are similar in quality to time-dependent density functional theory, especially at high fractions of exact exchange. The approach therefore offers an easy-to-implement and low-cost route to robust prediction of molecular excitation energies.

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.

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.

Minimal-active-space multistate density functional theory for excitation energy involving local and charge transfer states

Multistate density functional theory (MSDFT) employing a minimum active space (MAS) is presented to determine charge transfer (CT) and local excited states of bimolecular complexes. MSDFT is a hybrid wave function theory (WFT) and density functional theory, in which dynamic correlation is first incorporated in individual determinant configurations using a Kohn-Sham exchange-correlation functional. Then, nonorthogonal configuration-state interaction is performed to treat static correlation. Because molecular orbitals are optimized separately for each determinant by including Kohn-Sham dynamic correlation, a minimal number of configurations in the active space, essential to representing low-lying excited and CT states of interest, is sufficient to yield the adiabatic states. We found that the present MAS-MSDFT method provides a good description of covalent and CT excited states in comparison with experiments and high-level computational results. Because of the simplicity and interpretive capability through diabatic configuration weights, the method may be useful in dynamic simulations of CT and nonadiabatic processes.

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.

From Kohn-Sham to Many-Electron Energies via Step Structures in the Exchange-Correlation Potential

Accurately describing excited states within Kohn–Sham (KS) density functional theory (DFT), particularly those which induce ionization and charge transfer, remains a great challenge. Common exchange-correlation (xc) approximations are unreliable for excited states owing, in part, to the absence of a derivative discontinuity in the xc energy (Δ), which relates a many-electron energy difference to the corresponding KS energy difference. We demonstrate, analytically and numerically, how the relationship between KS and many-electron energies leads to the step structures observed in the exact xc potential in four scenarios: electron addition, molecular dissociation, excitation of a finite system, and charge transfer. We further show that steps in the potential can be obtained also with common xc approximations, as simple as the LDA, when addressed from the ensemble perspective. The article therefore highlights how capturing the relationship between KS and many-electron energies with advanced xc approximations is crucial for accurately calculating excitations, as well as the ground-state density and energy of systems which consist of distinct subsystems.

Ensemble Density Functional Theory: Insight from the Fluctuation-Dissipation Theorem

Density functional theory can be generalized to mixtures of ground and excited states, for the purpose of determining energies of excitations using low-cost density functional approximations. Adapting approximations originally developed for ground states to work in the new setting would fast-forward progress enormously. But, previous attempts have stumbled on daunting fundamental issues. Here we show that these issues can be prevented from the outset, by using a fluctuation dissipation theorem (FDT) to dictate key functionals. We thereby show that existing exchange energy approximations are readily adapted to excited states, when combined with a rigorous exact Hartree term that is different in form from its ground state counterpart, and counterparts based on ensemble Ansatzë. Applying the FDT to correlation energies also provides insights into ground statelike and ensemble-only correlations. We thus provide a comprehensive and versatile framework for ensemble density functional approximations.

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.