Notes On Density Functional Theory: Rocco Martinazzo
Notes On Density Functional Theory: Rocco Martinazzo
Notes On Density Functional Theory: Rocco Martinazzo
Rocco Martinazzo
E-mail: rocco.martinazzo@unimi.it
Contents
1 Introduction 1
1 Introduction
H = T + Vee + Vext
where
N
X p2i
T =
i=1
2me
1 X e2
Vee =
4π0 rij
i,j≥i
(rij = kri − rj k) is the potential term arising from the electron-electron (repul-
sive) interaction and
N
X
Vext = v(ri )
i=1
is the external eld acting (in the same way) on each electron of the system.
In the molecular Hamiltonian the external potential takes the form
M
1 X Zα e2
v(r) = −
4π0 α=1 kRα − rk
1
where the sum runs over nuclear labels and Rα specify the position of the nuclei.
The electronic system Hamiltonian is completely specied once N and v are
given. We may emphasize this fact by writing
H ≡ HvN
Electrons, like any other sets of identical particles, are indistinguishable from
each other and this implies that for any state Ψ
2 2
|Ψ(x1 , x2 , ..., xN )| = |Ψ(x2 , x1 , ..., xN )| = ...
dN Γ = d3 r1 d3 r2 ...d3 rN
R R P
means σ1 ,σ2 ,...,σN (σi takes only two values speci-
fying, e.g., the projection of the electron spin along a given axis). Since electrons
are fermions,
N
X
A= ai
i=1
where ai acts on the i-th electron only. Two-electron operators are of the form
N
X
A= aij
i,j≥i
Thus, for example, in our general Hamiltonian T and Vext are one-electron
operators and Vee is a two electron operator. m-electron operators are dened
in a analogous way.
We now show that in order to compute 1-, 2- or few electron properties Ψ
is much more than we need. Let's rst consider a one-electron operator and its
expectation value
2
N Z
X
hAi = Ψ∗ (x1 x2 ...xi ...xN )ai Ψ(x1 x2 ...xi ...xN )dN Γ
i=1
Z
=N Ψ∗ (x1 x2 ...xi ...xN )a1 Ψ(x1 x2 ...xi ...xN )dN Γ
where the second line follows from the symmetry properties of the wave function.
Now
∗ N
R
RΨ (x1 x2 ...xi ...xN )a1∗Ψ(x
0
1 x2 ...xi ...x
N )d NΓ=
a1 [Ψ(x1 x2 ...xN )Ψ (x1 x2 ...xN )] x0 =x d Γ
1 1
where x01 = x1 has to be replaced after a acted on the quantity between brackets.
Then
N a1 [Ψ(x1 x2 ...xN )Ψ∗ (x01 x2 ...xN )]x0 =x dx1 dN −1 Γ
R
1 1
= a1 γ(x1 |x01 )x0 =x dx1
R
1 1
where
Z
γ(x1 |x01 ) = N dN −1 Γ Ψ(x1 x2 ...xN )Ψ∗ (x01 x2 ...xN )
γ(x0 x) dened in this way is known as rst-order reduced density matrix. Note
that
X Z
2
n(r) = γ(rσ|rσ) = N dN −1 Γ |Ψ(xx2 ...xN )|
σ
X N (N − 1)
hAi = hΨ| aij |Ψi =
2
i,j≥i
Z
a12 γ (2) (x1 x2 | x01 x02 )
dx1 dx2
0x1 =x1 ;x02 =x2
where
N (N − 1)
γ (2) (x1 x2 | x01 x02 ) =
Z 2
dN −2 Γ Ψ(x1 , x2 , ..., xN )Ψ∗ (x01 , x02 , ..., xN )
3
is the second-order reduced density matrix. In general, for an m-electron
operator A(m) ,
D E Z
A(m) = a12..m γ (m) (x1 x2 ..xm |x01 x02 ..x0m )|x0i =xi dx1 ..dxm
where
N
γ (m) (x1 ..., xm |x01 ..., x0m ) =
m
Z
dN −m Γ Ψ(x1 ...xm , xm+1 ..., xN )Ψ∗ (x01 ..., x0m , xm+1 ..., xN )
th
is the m -order reduced density matrix. Note, that once an m-th order re-
duced density matrix is known, any density matrix of order n<m can easily
be obtained by properly integrating the known density matrix,
HΨ = EΨ
This is because we are only interested in situations in which all electrons
are bound to a given charged (stationary) core. Note that for such states
d hΨ| A |Ψi
=0
dt
for any (stationary, i.e. not explicitly time dependent) observable A.
2. We are usually interested in the ground-state Ψ0 , i.e. the state of minimum
energy. This is so because in molecules electronic energy levels are well-
separated in energy, and at normal temperature only the ground-state is
populated. Actually, this condition cannot be satised in metallic systems
where excited electronic states with vanishing small excitation energy can
be accessed even at very low temperatures ( electron-hole excitations).
4
Stationarity allows us to use the variational principle
hΨ|H|Ψi
δ =0
hΨ|Ψi
or simply
hδΨ|H|Ψi = 0
H→R
hΦ|H|Φi
Φ → E(Φ) =
hΦ|Φi
is called energy functional and the results
E(Φ) ≥ E0
Z
n(r 1 )n(r 2 )
EH [n] = d3 r 1 d3 r 2
kr 1 − r 2 k
Z
5
TT F [n] = A d3 rn 3 (r)
δF
are functionals of the electronic density. The functional derivative
δn is
dened by the equation
Z
δF
δF = d3 r (r)δn(r)
δn
δF
where δF = F [n + δn] − F [n]. In other words,
δn is a function of r
(and, in general, also a functional of n for any r ) which, once multiplied
by δn and integrated over r, gives the variation of F. More formally, let
us consider the following ordinary function of λ
F [n + λδn]
5
where n and δn are two functions of the domain
1 E. The variation of
F is dened with the help of the standard derivative with respect to λ,
according to
d
δF [n, δn] = F [n + λδn]
dλ λ=0
This variation, or also dierential is, in general, a functional of both n
and δn. If it is linear in δn, that is
Z
δF
∆[n]Φ = d3 r (r)Φ(r)
δn
δF
and
δn , the previously dened functional derivative, is the integral rep-
resentation of the operator ∆[n]. Thus, for example,
Z
5
TT F [n] = A d3 rn 3 (r)
Z
5 2
δTT F [n, δn] = A d3 r n 3 (r)δn(r)
3
δTT F 2
i.e.:
δn (r) = A 53 n 3 (r). With the second (formally more correct) de-
nition Z
d 5
δTT F [n, δn] = A
dr(n + λδn) = 3
dλ λ=0
Z Z
5 2 5 2
= A d3 r (n + λδn) 3 (r)δn = A d3 r n 3 (r)δn(r)
3 λ=0 3
For EH we have
Z
δn(r 1 )n(r 2 ) + n(r 1 )δn(r 2 )
δEH [n, δn] = d3 r 1 d3 r 2 =
kr 1 − r 2 k
Z Z
n(r 2 )
= d3 r 1 d3 r 2 δn(r 1 )
kr 1 − r 2 k
Z Z
3 3 n(r 1 )
+ d r2 d r1 δn(r 2 ) =
kr 1 − r 2 k
Z
δEH
= d3 r (r)δn(r)
δn
δEH
R 3 0 n(r0 )
with
δn (r) = 2 d r kr−r 0 k .
1 If E is not linear one has to consider the curves n(λ) such that n(0) = n and n0 (0) = δn.
6
Since we are only interested in the ground-state Ψ of our N -electron system we
may write
v, N → ΨN
v → X = X [v, N ]
where the ΨN
v is a functional of v (and a function of N) and X is any ground-
state property of the system. The above relationship means that once N is xed
any ground-state property is a functional of v,
v → X = X [v]
v → Ψ [v]
Ψ → X [Ψ]
The only assumption we need is that the ground-state is non degenerate, in such
a way that the potential uniquely determines the ground-state function (apart
from an irrelevant phase factor).
The beauty and power of the so-called Density Functional Theory relies on
two very simple theorems, known as Hohenberg-Kohn theorems, whose results
can be summarized as follow. In studying ground-state electronic properties
one can replace the ground-state electronic wave function Ψ(x1 , ..., xN ) with the
simple electron density n(r). In other words one can use the electron density as
fundamental variable: the ground-state wave function (and therefore any ground-
state property) is a functional of the electron density, Ψ = Ψ [n].
These properties follow from two very simple theorems:
7
Here U is the internal energy operator, U = T + Vee , a universal opera-
tor (in the sense that it is the same for any N -electron system). We have
(E(Φ) ≥ E0 )
Z
hΨ2 |Hv1 |Ψ2 i = hΨ2 |U |Ψ2 i + drv1 (r)n(r) >
Z
> hΨ1 |Hv1 |Ψ1 i ≡ hΨ1 |U |Ψ1 i + drv1 (r)n(r)
i.e.
hΨ2 |U |Ψ2 i > hΨ1 |U |Ψ1 i
With the same token, from
it follows
hΨ1 |U |Ψ1 i > hΨ2 |U |Ψ2 i
n(r) ≥ 0
Z
d3 rn(r) = N
n ← Ψv ← v
Here the last condition means that n must be an electronic density deriv-
able from a ground state wavefunction Ψv for some external potential v.
This kind of densities are called v-representable.
The above theorem makes use of (i ) the non-degenerate nature of the ground-
state, and (ii ) the possibility to identify the class of v -representable densities.
We will relax these two assumptions with a second, more general formulation.
Before doing this, however, let us state the second Hohenberg-Kohn theorem,
which proves to be extremely useful for the application of the theory.
Proof. Let us consider v xed. Then for any Φ giving the density n we may
write Z
hΦ|Hv |Φi = hΦ|U |Φi + d3 rv(r)n(r)
8
Thanks to theorem I we can now focus on
Φ = Ψ [n]
Ev [n] ≥ E0v
Please note that we have used again the v -representability property. Note also
that
Z
Ev [n] = U [n] + d3 rv(r)n(r)
This means
Z
3
δ Ev [n] − µ d rn (r) − N =0
that is
Z Z
3
δU [n] + d rv(r)δn(r) − µ d3 rδn(r) = 0
δU
(r) + v(r) = µ
δn
In principle, knowing U we should solve this equation for n(n = nµ ) Rand µ has
to be adjusted in order to satisfy the normalization constraint, i.e. nµ d 3 r =
N. In practice, U is an unknown functional and this means that it must be
ab-initio ,
approximated in some way. This explains why the theory is not
though it comes fromrst-principles .
Note: Lagrange multipliers and constrained minimization . Suppose
we have a function f = f (x1 , x2 ) to be minimized. In the absence of
constraints we use
∂f ∂f ∂f ∂f
df = dx1 + dx2 = 0 ⇒ = =0
∂x1 ∂x2 ∂x1 ∂x2
9
since dx1 , dx2 are arbitrary (i.e. one can take for example dx2 = 0). If
the function f has to be minimized with the constraint
g(x1 , x2 ) = 0
∂g ∂g
dg = dx1 + dx2 = 0
∂x1 ∂x2
This means that the vector dx = (dx1 dx2 )t must be orthogonal to the
∂g ∂g t
vector g= ( ∂x1 ∂x2
) , i.e., g · dx = 0. The stationary condition then reads
df = f · dx = 0 ∀dx ∈ g⊥
d(f − λg) = 0
where minimization is over all possible normalized states. We can separate the
minimization in two steps by grouping wavefunctions which give the same
density
min ≡ min min
Ψ n Ψ→n
10
Z
Ev [n] = min hΨ|U |Ψi + d3 rn(r)v(r)
Ψ→n
We also have
δU
(r) + v(r) = µ
δn
R
where µ is the Lagrange multiplier arising from the constraint dxn(x) = N .
This equation tells us that v is uniquely determined by n, or by one of the
ground-state densities if the ground-state is degenerate. We therefore have re-
moved the constraint of a non degenerate ground-state. We also note that
minimization of Ev is performed over all n which come from a wavefunction: it
is no longer necessary that Ψ is a ground-state wavefunction for some potential.
Densities satisfying
n(r) ≥ 0
Z
d3 rn(r) = n
n←Ψ
are called N −representable, a condition weaker than the v−representability.
N -representability is satised by any reasonable density. Specicaly, it can
be shown that n is N -representable if and only if
2
Z Z
1
2
n(r) ≥ 0 n(r)d3 r = n
∇n 2
d3 r < ∞
Z
= U [n] + d3 rn(r)v(r)
which includes both kinetic and electronic repulsion terms. Let us then consider
a dierent form of this term.
2 See Parr&Yang, Density Functional Theory of Atoms and Molecules, p. 55
11
Consider an alternative world, which we call the Kohn-Sham world, where
electrons do not interact with each other. In this world
1
ΨKS = √ φKS KS KS
1 φ1 ...φN
N
X 2
n(r) = φKS
i,σ (r)
i,σ
For any density n there exist a potential vKS (r) in which n is the ground-state
density
δTKS
(r) + vKS (r) = µ
δn
and such potential determines also the orbitals
p2
+ vKS (r) φKS KS
i,σ = i φi,σ
2me
If the above stationary condition in the Kohn-Sham world has to be equivalent
to
δU
(r) + v(r) = µ
δn
0
(we absorb any possible deerence between µ and µ in v(r)) we have to put
δU δTKS
vKS (r) = (r) − (r) + v(r)
δn δn
In this expression, U comes as the sum of a kinetic functional, the trivial part
of the electron-electron interaction functional (the Hartree functional) and an
0
exchange-correlation functional Exc
0
U [n] = T [n] + vH [n] + Eex [n]
and thus, absorbing the (reasonably small) dierence T [n] − TKS [n] into the
working exchange and correlation functional
we arrive at
δvH δExc
vKS (r) = v(r) + (r) + (r)
δn δn
Therefore, one can solve the Kohn-Sham equation for the Kohn-Sham orbitals
{φKS
i,σ }
p2
δvH δExc
+ v(r) + (r) + (r) φKS KS
i,σ (r) = i φi,σ (r)
2me δn δn
12
and the ground-state density
X 2
n(r) = φKS
i (r)
i,σ
This is the popular Kohn-Sham method: the only problem left is now to ap-
proximate Exc [n].
Note that from a computational point of view the method is almost equiv-
alent to the Hartree-Fock method. This, however, does not means that the
ground-state wavefunction is a Slater determinant! The latter is the ground-
state wave function of a ctitious independent electron problem with potential
vKS . Orbitals appear in the theory only as a tool to represent the ground-state
density, and to write down an exact expression for the kinetic energy functional.
γ(x|x0 )
J(x|x0 ) =
||r − r 0 ||
where the rst-order density matrix reads as
X
γ(x|x0 ) = φv (x)φ∗v (x0 )
v
13
where the set of k−vectors span the Fermi sphere
Z
X 2 8
N =2 1= d3 k = πk 2
∆k k≤kF 3∆k F
k
3n sin(ξF ) − ξF cos(ξF )
γαα (r|r 0 ) ≡ f (ξF ) =
2 ξF3
f (kF ∆r)
Jαα (r|r 0 ) = Jββ (r|r 0 ) =
∆r
Now, the exchange energy is given by
1X X
Eex = − hν|J|νi ≡ − hk|Jαα |ki
2 ν
k
The integral can be simplied by introducing the relative and the center
of mass coordinates (a transformation with unit Jacobian),
r = r2 − r1
r1 + r2
R=
2
3 With the same token one can obtain the energy (per unit volume) of the free-electron gas,
i.e. the quantity which denes the Thomas-Fermi functional.
X ~2 k 2 2 ~2
Z
V ~2
E=2 = d3 kk2 ≡ 2m
5
kF
k
2m e ∆k 2me k≤kF 10π e
Thus √
E 3 3 9π 4/3 ~2 5/3
T F [n] = = n
V 10me
14
namely
Z
f (kF r)
hk|Jαα |ki = d3 reikr
r
Summing over k we obtain
f (kF r)2
Z Z Z
X 1 f (kF r)
Eex = − hk|Jαα |ki = − d3 r d3 keikr = −V d3 r
∆k r k≤kF r
k
i.e.
Eex
= = −C 0 kF4 = −Cn4/3
V
where C is a (positive) numerical coecient .
4
4 Note that the integral above is well dened, since for ξ→0 we have sinξ − ξcosξ → ξ 3 /3.
15