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Physical Review A

Time-dependent variational principle and the effective action in density-functional theory and Berry’s phase

A. K. Rajagopal

Published Nov 1, 1996• 29 citations
Publisher

Abstract

An alternative form of the variational principle is set up by defining an action functional which takes explicit account of the time path and thus is different from that used traditionally in time-dependent density-functional theory. This has the attractive feature of not having the formal difficulties in defining the effective potential and the effective interaction as its functional derivatives. Also, the Berry phase, not explicitly found at first sight in a time-dependent density-functional theory, is shown to reside in this action functional. It lies buried as the sum over the individual phases of the occupied states associated with the time-dependent Kohn-Sham orbitals. Some recent work on superconductivity and ferroelectricity in the literature are cited as examples of the Berry-phase considerations developed here. \textcopyright{} 1996 The American Physical Society.

DOI
10.1103/physreva.54.3916

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An alternative form of the variational principle is set up by defining an action functional which takes explicit account of the time path and thus is different from that used traditionally in time-dependent density-functional theory. This has the attractive feature of not having the formal difficulties in defining the effective potential and the effective interaction as its functional derivatives. Also, the Berry phase, not explicitly found at first sight in a time-dependent density-functional theory, is shown to reside in this action functional. It lies buried as the sum over the individual phases of the occupied states associated with the time-dependent Kohn-Sham orbitals. Some recent work on superconductivity and ferroelectricity in the literature are cited as examples of the Berry-phase considerations developed here. \textcopyright{} 1996 The American Physical Society.
A density-functional formalism comparable to the Hohenberg-Kohn-Sham theory of the ground state is developed for arbitrary time-dependent systems. It is proven that the single-particle potential $v(\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}}t)$ leading to a given vvv-representable density $n(\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}}t)$ is uniquely determined so that the corresponding map $v\ensuremath{\rightarrow}n$ is invertible. On the basis of this theorem, three schemes are derived to calculate the density: a set of hydrodynamical equations, a stationary action principle, and an effective single-particle Schr\"odinger equation.
A time-dependent Kohn-Sham theory is presented for obtaining the time-dependent density which has a periodic dependence on time. A set of coupled single-particle equations $\ensuremath{-}\frac{1}{2}{\ensuremath{\nabla}}^{2}{\ensuremath{\chi}}_{i}+{v}_{\mathrm{eff}}{\ensuremath{\chi}}_{i}={\ensuremath{\epsilon}}_{i}{\ensuremath{\chi}}_{i}$ and $\frac{\ensuremath{\partial}{\ensuremath{\chi}}_{i}^{2}}{\ensuremath{\partial}t}+\stackrel{\ensuremath{\rightarrow}}{\ensuremath{\nabla}}\ifmmode\cdot\else\textperiodcentered\fi{}({\ensuremath{\chi}}_{i}^{2}\stackrel{\ensuremath{\rightarrow}}{\ensuremath{\nabla}}{S}_{i})=0$ are obtained. The ${\ensuremath{\chi}}_{i}(\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}},t)$ and ${S}_{i}(\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}},t)$ are the phase and amplitude, respectively, of the time-dependent Kohn-Sham orbitals, ${v}_{\mathrm{eff}}(\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}},t)$ is the time-dependent Kohn-Sham effective potential, and ${\ensuremath{\epsilon}}_{i}(\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}},t)=\ensuremath{-}\frac{\ensuremath{\partial}{S}_{i}(\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}},t)}{\ensuremath{\partial}t}$. The density $\ensuremath{\rho}(\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}},t)$ is equal to the sum of the squares of the ${\ensuremath{\chi}}_{i}(\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}},t)$.
Within density-functional theory a time-dependent perturbation theory is derived that yields exact orbital-dependent expressions for the time-dependent exchange-correlation potential in the form of a perturbation series. This leads to an exact time-dependent Kohn-Sham scheme based on perturbation theory. In first order an ``exchange-only'' Kohn-Sham procedure is obtained, that is a generalization of a recently presented time-dependent optimized potential method. The exact, in higher order, but quite complicated expressions for the exchange-correlation potential may serve as a starting point for the construction of approximate exchange-correlation potentials. An adiabatic connection or coupling constant path between a time-dependent physical system and its corresponding Kohn-Sham system is introduced.
The general expectation that, in principle, the time-dependent density-functional theory (TDDFT) is an exact formulation of the time evolution of an interacting NNN-electron system is critically reexamined. It is demonstrated that the previous TDDFT foundation, resting on four theorems by Runge and Gross (RG) [Phys. Rev. Lett. 52, 997 (1984)], is invalid because undefined phase factors corrupt the RG action integral functionals. Our finding confirms much of a previous analysis by van Leeuwen [Int. J. Mod. Phys. B 15, 1969 (2001)]. To analyze the RG theorems and other aspects of TDDFT, an utmost simplification of the Kohn-Sham (KS) concept has been introduced, in which the ground-state density is obtained from a single KS equation for one spatial (spinless) orbital. The time-dependent (TD) form of this radical Kohn-Sham (rKS) scheme, which has the same validity status as the ordinary KS version, has proved to be a valuable tool for analysis. The rKS concept is used to clarify also the alternative nonvariational formulation of TD KS theory. We argue that it is just a formal theory, allowing one to reproduce but not predict the time development of the exact density of the interacting NNN-electron system. Besides the issue of the formal exactness of TDDFT, it is shown that both the static and time-dependent KS linear response equations neglect the particle-particle (ppp-ppp) and hole-hole (hhh-hhh) matrix elements of the perturbing operator. For a local (multiplicative) operator this does not lead to a loss of information due to a remarkable general property of local operators. Accordingly, no logical inconsistency arises with respect to DFT, because DFT requires any external potential to be local. For a general nonlocal operator the error resulting from the neglected matrix elements is of second order in the electronic repulsion.
This paper gives an introduction to the Keldysh formalism, with emphasis on its usefulness in time-dependent density functional theory. In the first part we introduce the Keldysh contour and the one-particle Green function defined on this contour. We then discuss how to combine and manipulate functions with time-arguments on the contour. The effects of electron-electron interaction can be taken systematically into account, as we illustrate by propagating the Kadanoff-Baym equations for the second-order self-energy approximation. It is important to use conserving approximations such that the evolution of the electron density, momentum, and total energy agrees with the macroscopic conservation laws. One of the main topics in this paper is the non-interacting Green function, which is the relevant quantity for time-dependent density functional theory. We discuss this Green function in detail, and show how the Keldysh contour in a simple way allows us to derive the time-dependent Kohn-Sham potential from an action functional. The formalism in a similar way leads to response functions that obey the causality principle. To illustrate these points, we discuss the time-dependent optimized effective potential equations.
Abstract A density-functional theory for superfluid systems is developed in the framework of the functional renormalization group based on the effective action formalism. We introduce the effective action for the particle-number and non-local pairing densities and demonstrate that the Hohenberg–Kohn theorem for superfluid systems is established in terms of the effective action. The flow equation for the effective action is then derived, where the flow parameter runs from 000 to 111, corresponding to the non-interacting and interacting systems. From the flow equation and the variational equation that the equilibrium density satisfies, we obtain the exact expression for the Kohn–Sham potential generalized to include the pairing potentials. The resultant Kohn–Sham potential has a nice feature in that it expresses the microscopic formulae of the external, Hartree, pairing and exchange–correlation terms separately. It is shown that our Kohn–Sham potential gives the ground-state energy of the Hartree–Fock–Bogoliubov theory by neglecting the correlations. An advantage of our exact formalism lies in the fact that it provides ways to improve the correlation part systematically.