Finite-Temperature Thermally-Assisted-Occupation Density Functional Theory, Ab Initio Molecular Dynamics, and Quantum Mechanics/Molecular Mechanics Methods
Shaozhi Li, Jeng-Da Chai
physics.chem-phcond-mat.str-elphysics.comp-phquant-phSubmitted Dec 23, 2025• Announced Dec 24, 2025
Recently, thermally-assisted-occupation density functional theory (TAO-DFT) [J.-D. Chai, J. Chem. Phys. 136, 154104 (2012)] has been demonstrated to be an efficient and accurate electronic structure method for studying the ground-state properties of large multi-reference (MR) systems at absolute zero. To explore the thermal equilibrium properties of large MR systems at finite electronic temperatures, in the present work, we propose the finite-temperature (FT) extension of TAO-DFT, denoted as FT-TAO-DFT. Besides, to unlock the dynamical information of large MR systems at finite temperatures, FT-TAO-DFT is combined with ab initio molecular dynamics, leading to FT-TAO-AIMD. In addition, we also develop FT-TAO-DFT-based quantum mechanics/molecular mechanics (QM/MM), denoted as FT-TAO-QM/MM, to provide a cost-effective description of the thermal equilibrium properties of a QM subsystem with MR character embedded in an MM environment at finite temperatures. Moreover, the FT-TAO-DFT, FT-TAO-AIMD, and FT-TAO-QM/MM methods are employed to explore the radical nature and infrared (IR) spectra of n-acenes (n = 2--6), consisting of n linearly fused benzene rings, in vacuum and in an argon (Ar) matrix at finite temperatures. According to our calculations, for n-acenes at 1000 K or below, the electronic temperature effects on the radical nature and IR spectra are very minor, while the nuclear temperature effects on these properties are noticeable. For n-acene in an Ar matrx at absolute zero, the Ar matrix has minimal impact on the radical nature of n-acene, while the co-deposition procedure of n-acene and Ar atoms may affect the IR spectrum of n-acene.
Recently, thermally-assisted-occupation density functional theory (TAO-DFT) [J.-D. Chai, J. Chem. Phys. 136, 154104 (2012)] has been demonstrated to be an efficient and accurate electronic structure method for studying the ground-state properties of large multi-reference (MR) systems at absolute zero. To explore the thermal equilibrium properties of large MR systems at finite electronic temperatures, in the present work, we propose the finite-temperature (FT) extension of TAO-DFT, denoted as FT-TAO-DFT. Besides, to unlock the dynamical information of large MR systems at finite temperatures, FT-TAO-DFT is combined with ab initio molecular dynamics, leading to FT-TAO-AIMD. In addition, we also develop FT-TAO-DFT-based quantum mechanics/molecular mechanics (QM/MM), denoted as FT-TAO-QM/MM, to provide a cost-effective description of the thermal equilibrium properties of a QM subsystem with MR character embedded in an MM environment at finite temperatures. Moreover, the FT-TAO-DFT, FT-TAO-AIMD, and FT-TAO-QM/MM methods are employed to explore the radical nature and infrared (IR) spectra of n-acenes (n = 2--6), consisting of n linearly fused benzene rings, in vacuum and in an argon (Ar) matrix at finite temperatures. According to our calculations, for n-acenes at 1000 K or below, the electronic temperature effects on the radical nature and IR spectra are very minor, while the nuclear temperature effects on these properties are noticeable. For n-acene in an Ar matrx at absolute zero, the Ar matrix has minimal impact on the radical nature of n-acene, while the co-deposition procedure of n-acene and Ar atoms may affect the IR spectrum of n-acene.
Accurately describing chemical bond breaking requires capturing strong/static electron correlation, a major challenge for single-reference self-consistent-field methods such as Hartree--Fock and Kohn--Sham density-functional theory (DFT). Fractional occupations substantially improve this situation, as demonstrated by information-density-matrix-functional theory (i-DMFT) and thermally-assisted-occupation DFT (TAO-DFT). Although useful, they are formulated within rather different theoretical frameworks, are somewhat semi-empirical, and their relationship remains unclear. Here we introduce finite-temperature adiabatic-connection reduced density-matrix functional theory (FT-AC-RDMFT), in which i-DMFT and TAO-DFT emerge as different reductions of a unified framework. The effective eigenvalue equation for natural orbitals and the Fermi--Dirac occupation numbers follow directly from the variational principle, while a thermal adiabatic connection relates the empirical entropy coefficient of i-DMFT to a characteristic temperature of the auxiliary non-interacting system. Within this framework, i-DMFT is the exact-exchange-based reduction, whereas TAO-DFT results when exact exchange is replaced by a density-based exchange-correlation functional. Numerical calculations confirm that i-DMFT, apart from a constant, coincides with the exact-exchange realization of the framework, and show that the improved dissociation behavior from finite-temperature occupations extends beyond exact exchange to hybrid and semilocal density functionals. For strongly correlated V2O3, finite-temperature occupations substantially reduce the severely overestimated non-magnetic LDA bulk modulus, bringing it close to experiment. These results establish FT-AC-RDMFT as a common theoretical foundation for finite-temperature occupation-based electronic-structure methods in molecular and solid-state systems.
Capturing static and dynamic electron correlation simultaneously at manageable computational cost remains a key challenge in electronic structure theory. Motivated by the recurring role of effective temperature in self-consistent field methods we extend the adiabatic connection mechanism from density functional theory to include a temperature dimension. This gives rise to thermally enhanced hybrid functionals, in which static correlation is captured via fractional occupations generated by an effective "correlation temperature" within thermal Hartree-Fock, while dynamic correlation is described by established density functional approximations. The framework formally unifies information-density matrix functional theory (i-DMFT) and thermally-assisted-occupation (TAO-)DFT as special cases, clarifying their theoretical basis and the respective prescriptions for the temperature parameter. We assess the performance of several thermally enhanced hybrids for different cases where i-DMFT was previously shown to fail. Furthermore, we discuss and test different schemes for determining the correlation temperature and investigate the accuracy of different such choices for a benchmark set derived from biphenyl. The results help to clarify the achievable balance of accuracy, generality, and efficiency, establishing thermally enhanced hybrids as a systematic route toward low-cost treatment of both correlation types.
Recent progress in materials synthesis combined with advances in computational science have opened up an opportunity to design new materials with specific properties. Semiconductors, heterostructures, and thin layered films are used for energy harvesting and solar cells. Transition metal oxides and metallic surfaces with deposited magnetic molecules are used for signal conversion, nonvolatile memory modules and spintronics. Due to growing complexity of the new materials the most efficient approach to their design requires combined experimental and theoretical effort. In order to advance our understanding of the complicated physics of the modern materials new theoretical methods based on controlled, reliable, computationally efficient and systematically improvable approximations describing correlation and finite-temperature effects are needed. Density functional theory (DFT) remains a method of choice for materials science calculations due to its low computational cost. However, despite all recent efforts, the majority DFT applications are limited to weakly correlated systems and zero temperature. The lack of systematic improvability, inaccurate treatment of strongly correlated systems will continue to restrict the domain of DFT applications. The multi-reference wave-function methods can provide an accurate description of the strongly correlated systems. Unfortunately, these methods are computationally expensive. In spite of recent improvement the computational complexity will likely to hinder the applications of wave-function based methods to materials science in foreseeable future. Finite-temperature Green's function methods offer several advantages such as systematic improvability, access to the excitation spectrum, thermodynamic properties and straightforward implementation of embedding frameworks. It has been realized long time ago and has been successfully used in condensed matter physics to study model systems. The applications of such methods to realistic systems are impeded due to lack of theoretical approaches providing chemical accuracy and efficient computational algorithms. In this dissertation, these shortcomings are addressed by developing self-energy embedding theory and its extensive comparison to established quantum chemistry methods. New numerical algorithms for efficient application of the finite-temperature Green's function methods to molecular and extended systems were developed. Properties of the second-order Green's function theory (GF2) in the context of quantum chemistry were investigated. Additionally, a new range-separated hybrid functional combining GF2 and DFT was developed and benchmarked.
Description of electron correlation is crucial to chemical accuracy in quantum chemical calculations. However, the interaction of electrons in a system is an insoluble many-body problem. Constructing approximations to describe electron correlation is a challenging task, but there has been success in the quantum chemistry community using wavefunction methods and density functional theory. However, there are still challenges to be overcome in areas such as theoretical solid state chemistry, which requires description of large systems and the use of finite temperature. Large system sizes and finite temperature can be difficult to treat solely with the currently available methods. Therefore, a new class of methods, based on the temperature-dependent Green's function, is implemented and explored. This thesis is toward investigating the use of temperature-dependent Green's functions for ab-initio quantum chemistry. That is, we are treating a quantum chemical Hamiltonian with realistic electron interactions. While this formalism has been applied to model systems in the condensed matter community, its has been used much less by the quantum chemistry community. Therefore, the numerical behavior and accuracy of Green's function methods for quantum chemical calculations is relatively unknown. This work investigates the ability of the temperature-dependent Green's function, which is an ensemble formalism, to give access to temperature dependent thermodynamic quantities such as free energy and entropy when calculated in a second-order and perturbative manner (GF2). We find that this method is able to give good accuracy for lower temperatures and excellent accuracy for higher temperatures for a molecular case and is able to qualitatively describe a simple model of a solid. The results of this work are presented in chapter 3. Although Green's functions have a clear connection with spectra at zero temperature, it is not straight forward to obtain spectra from the finite temperature Green's function, which is calculated on the imaginary frequency axis. Therefore, we must investigate methods to obtain spectral quantities in a consistent and reliable manner from the imaginary axis. Chapter 4 investigates several methods to do so and we compare our results with experimental and highly accurate benchmark data. We find that it is possible to obtain spectral quantities that can differ by several electron volts, even if the same level of theory is used to obtain the Green's function. This reiterates that finding a spectrum from the imaginary axis is nontrivial and that one must exercise caution when comparing spectral quantities that were calculated using different techniques, even if they are treated with the same theoretical accuracy. Accessing larger systems with the Green's function requires the use of quantum embedding. Quantum embedding describes nontrivial electron interaction between a highly accurate ``active space'' or ``impurity'' and a larger, lower level ``environment''. It is challenging to construct an impurity solver that is reliable at low temperatures. In chapter 5 of this work, we implement and test a temperature dependent configuration interaction impurity solver for quantum embedding. This solver can be used in quantum embedding schemes such as dynamical mean field theory and self-energy embedding theory for larger systems. Overall, this thesis has made progress toward using Green's functions for ab-initio quantum chemistry at finite temperature. Groundwork has been laid for using this formalism to calculate thermodynamics and spectra using a Green's function with realistic electron interactions and to explore quantum embedding using an impurity solver at low temperatures.
We use ab initio electronic-structure methods to investigate random-matrix theory (RMT) universality in molecular electronic structure. Using single-reference electronic structure methods, including Hartree-Fock, configuration-interaction singles (CIS), density functional theory, and linear-response time-dependent density-functional theory, we compute single-particle orbital energies and many-electron excitations of several representative molecules (benzene, alanine, 1-phenylethylamine, methyloxirane, and helicene chains). For generic low-symmetry geometries, the unfolded spectra of these ab initio Hamiltonians exhibit Wigner-Dyson level statistics of the Gaussian orthogonal ensemble (GOE). For extended helicene chains we explicitly restrict to bound valence excitations below the ionization threshold and still observe GOE statistics, indicating that the RMT universality is present for physical states of direct relevance to real molecules. We further explore the electric and magnetic field dependence of the molecular electronic spectra. The variance of electric polarizability (level curvature K) is predicted to be non-analytic in the magnetic field which serves as an infrared cutoff, <K^2> proportional to log(1/|B|). We observe a transition to the Gaussian unitary ensemble (GUE) by increasing the magnetic fields, although it occurs only at magnetic fields far beyond experimentally accessible scales. Our results indicate that random matrix universality provides a general framework for organizing ab initio predictions of interacting electron spectra in complex systems.
This thesis describes several topics related to finite temperature studies of strongly correlated systems: finite temperature density matrix embedding theory (FT-DMET), finite temperature metal-insulator transition, and quantum algorithms including quantum imaginary time evolution (QITE), quantum Lanczos (QLanczos), and quantum minimally entangled typical thermal states (QMETTS) algorithms. While the absolute zero temperature is not reachable, studies of physical and chemical problems at finite temperatures, especially at low temperature, is essential for understanding the quantum behaviors of materials in realistic conditions. Here we define low temperature as the temperature regime where the quantum effect is not largely dissipated due to thermal fluctuation. Treatment of systems at low temperature is specially difficult compared to both high temperature - where classical approximation can be applied - and zero temperature where only the ground state is required to describe the system of interest. FT-DMET is a wavefunction-based embedding scheme which can handle finite temperature simulations of a variety of strongly correlated problems. The "high-level in low-level" framework enables FT-DMET to tackle large bulk sizes and capture the majority of the entanglement at the same time. FT-DMET formulations and implementation details for both model systems and ab initio problems are provided in Chapter 2 and Chapter 3. Metal-insulator transition is a common but important phase transition in many strongly correlated materials. The widely accepted scheme to distinguish an insulator from a metal is band structure theory based on a single-particle picture. However, insulating phases caused by disorder or strong correlation cannot be explained merely with the band structure. In Chapter 4, we demonstrate that electron locality/mobility is a more general criteria to detect metal-insulator transition. We further introduce complex polarization as the order parameter to reflect the electron locality/mobility and provide a formalism based on thermofield theory to evaluate the complex polarization at finite temperature. Quantum algorithms are designed to perform simulations on a quantum device. The infrastructure of a quantum processing unit (QPU) utilizes the superposition property of quantum bits (qubits), and thus can potentially outplay the classical simulations in computational scaling for certain problems. In Chapter 5, we introduce the QITE algorithm, which can be applied to quantum simulations of both ground state and finite temperature problems. We further introduce a subspace method, QLanczos algorithm, and a a finite temperature quantum algorithm, QMETTS, where QITE is used as a building block for the two algorithms. We demonstrate above quantum algorithms with simulations on both classical computers and quantum computers.