Recently, nonuniqueness of external electrostatic and magnetic fields yielding a given many-electron ground state has been pointed out [K. Capelle and G. Vignale, Phys. Rev. Lett. 86, 5546 (2001); H. Eschrig and W. E. Pickett, Solid State Commun. 118, 123 (2001)], implying the nondifferentiability of the ground-state energy functional of spin-density-functional theory (SDFT), on the basis of which the applicability of widely used DFT methods in SDFT has been put into question and the need for a critical reexamination of those applications has been concluded. Here it is shown, for collinear magnetic fields, that the nonuniqueness of the external potentials in SDFT does not imply the nonexistence of number-conserving functional derivatives as well, with the use of which therefore problems arising from the nondifferentiability are avoided.
It has recently been shown how to replace spin-wave functions with purely spatial wave functions in the formulation of spin-density functional theory (SDFT), without any change to the resultant density functional expressions [F. Zahariev and M. Levy, Phys. Rev. A 100, 062507 (2019)]. The purely spatial wave functions that are obtained are much more convenient to use and thus allow for a relatively easy decomposition and manipulation of terms in the constrained-search formulation of SDFT. All the essential ingredients of SDFT, including the kinetic, exchange, and correlation contributions, are explicitly defined in terms of the universal functional expressed in this spin-free manner. Constrained-search derivations of the Oliver-Perdew relations for the kinetic and exchange terms are presented. The up-down spin component of the correlation term is found to contain the up-down spin component of the Hartree term. A spin-dependent generalization of the adiabatic connection is put forth and a connection with spin-dependent coordinate scaling is established for the correlation energy.
Within the framework of zero-temperature Fock-space density-functional theory (DFT), we prove that the G\^ateaux functional derivative of the universal density functional, ${\ensuremath{\delta}{F}^{\ensuremath{\lambda}}[\ensuremath{\rho}]∕\ensuremath{\delta}\ensuremath{\rho}(\mathbit{r})\ensuremath{\mid}}_{\ensuremath{\rho}={\ensuremath{\rho}}_{0}}$, at ground-state densities with arbitrary normalizations $(⟨{\ensuremath{\rho}}_{0}(\mathbit{r})⟩=n∊{\mathcal{R}}_{+})$ and an electron-electron interaction strength $\ensuremath{\lambda}$, is uniquely defined, but is discontinuous when the number of electrons
n becomes an integer, thus providing a mathematically rigorous confirmation for the ``derivative discontinuity'' initially discovered by Perdew et al. [Phys. Rev. Lett. 49, 1691 (1982)]. However, the functional derivative of the exchange-correlation functional is continuous with respect to the number of electrons in Fock space; i.e., there is no ``derivative discontinuity'' for the exchange-correlation functional at an integer electron number. For a ground-state density ${\ensuremath{\rho}}_{0,n}^{v,\ensuremath{\lambda}}(\mathbit{r})$ of an external potential $v(\mathbit{r})$, we show that ${\ensuremath{\delta}{F}^{\ensuremath{\lambda}}[\ensuremath{\rho}]∕\ensuremath{\delta}\ensuremath{\rho}(\mathbit{r})\ensuremath{\mid}}_{\ensuremath{\rho}={\ensuremath{\rho}}_{0,n}^{v,\ensuremath{\lambda}}}={\ensuremath{\mu}}_{\mathrm{SM}}^{n}\ensuremath{-}v(\mathbit{r})$, where the constant ${\ensuremath{\mu}}_{\mathrm{SM}}^{n}$ is given by the following chain of dependences: ${\ensuremath{\rho}}_{0,n}^{v,\ensuremath{\lambda}}(\mathbit{r})\ensuremath{\mapsto}[v]\ensuremath{\mapsto}{E}_{0}^{v,\ensuremath{\lambda}}(n)\ensuremath{\mapsto}{\ensuremath{\mu}}_{\mathrm{SM}}^{n}={\ensuremath{\partial}{E}_{0}^{v,\ensuremath{\lambda}}(k)∕\ensuremath{\partial}k\ensuremath{\mid}}_{k=n}$. Here
[v] is the class of the external potential $v(\mathbit{r})$ up to a real constant, and ${\ensuremath{\mu}}_{\mathrm{SM}}^{n}$ is the chemical potential defined according to statistical mechanics. At an integer electron number
N, we find that there is no freedom of adding an arbitrary constant to the value of the chemical potential ${\ensuremath{\mu}}_{\mathrm{SM}}^{N}$, whose exact value is generally not the popular preference of the negative of Mulliken's electronegativity, $\ensuremath{-}\frac{1}{2}(I+A)$, where
I and
A are the first ionization potential and the first electron affinity, respectively. In addition, for any external potential converging to the same constant at infinity in all directions, we resolve that ${\ensuremath{\mu}}_{\mathrm{SM}}^{N}=\ensuremath{-}I$. Finally, the equality ${\ensuremath{\mu}}_{\mathrm{DFT}}={\ensuremath{\mu}}_{\mathrm{SM}}^{n}$ is rigorously derived via an alternative route, where ${\ensuremath{\mu}}_{\mathrm{DFT}}$ is the Lagrangian multiplier used to constrain the normalization of the density in the traditional DFT approach.
Density-Functional Theory (DFT), although widely used and very successful in the calculation of several observables, fails to correctly describe strongly correlated materials. In the first part of this work we, therefore, introduce reduced-density-matrix-functional theory (RDMFT) which is one possible way to treat electron correlation beyond DFT. Within this theory the one-body reduced density matrix (1-RDM) is used as the basic variable. Our main interest is the calculation of the fundamental gap which proves very problematic within DFT. In order to calculate the fundamental gap we generalize RDMFT to fractional particle numbers M by describing the system as an ensemble of an N and an N+1 particle system (with N≤ M≤N+1). For each fixed particle number, M, the total energy is minimized with respect to the natural orbitals and their occupation numbers. This leads to the total energy as a function of M. The derivative of this function with respect to the particle number has a discontinuity at integer particle number which is identical to the gap. In addition, we investigate the necessary and sufficient conditions for the 1-RDM of a system with fractional particle number to be N-representable. Numerical results are presented for alkali atoms, small molecules, and periodic systems. Another problem within DFT is the description of non-relativistic many- electron systems in the presence of magnetic fields. It requires the paramagnetic current density and the spin magnetization to be used as basic variables besides the electron density. However, electron-gas-based functionals of current-spin-density-functional Theory (CSDFT) exhibit derivative discontinuities as a function of the magnetic field whenever a new Landau level is occupied, which makes them difficult to use in practice. Since the appearance of Landau levels is, intrinsically, an orbital effect it is appealing to use orbital-dependent functionals. We have developed a CSDFT version of the optimized effective potential (OEP) method which allows for the use of explicitly orbital-dependent functionals in the context of CSDFT. We present the derivation of corresponding equations and show results for a quantum dot in external magnetic fields in the second part of this thesis.
Based on the Schrodinger equation, exact expressions for the non-relativistic particle energy in the local external field and the external field potential are derived as inhomogeneous density functionals. On this basis, it is shown that, when considering more than two noninteracting electrons, the energy of such a system cannot be an inhomogeneous density functional. The result is extended for the system of interacting electrons. This means that the Hohenberg-Kohn lemma which assert that in the ground state to each inhomogeneous density corresponds only one potential of the external field cannot be a justification of the existence of the universal density functional in the general case. At the same time, statements of the density functional theory remain valid when considering any number of noninteracting ground-state bosons due to the Bose condensation effect.
Zahariev and Wang [Phys. Rev. A, 70, 042503 (2004)] discuss the density functional theory of noninteger average particle numbers. Among their many results is one we dispute: that the exact exchange-correlation potential (more precisely, the exact functional derivative of the exchange-correlation energy with respect to the density) cannot have a discontinuity as the particle number crosses an integer, in contradiction to works by two of us (J.P.P. and M.L.) in collaboration with co-workers [Phys. Rev. Lett. 49, 1691 (1982); Phys. Rev. Lett.51, 1884 (1983)] and by Sham and Schl\"uter [Phys. Rev. Lett. 51, 1888 (1983)]. We point to a counterexample to Zahariev and Wang's claim, which two of us (E.S. and J.P.P.) have presented in a separate paper: A rigorous proof that, in the absence of external magnetic fields, the exchange-correlation potential jumps by the difference between the ionization potential
(I) and electron affinity
(A) when the particle number crosses 1, given that $I\ensuremath{\geqslant}A$. We point out that Zahariev and Wang's derivation neglects an order-of-limits problem. We also prove that
I>A for any one-electron system in the absence of magnetic fields.