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Teubner-Texte zur Physik

Introduction

H. Eschrig

Published Jan 1, 1996• 0 citations
Publisher

Abstract

Density functional theory provides a powerful tool for computations of the quantum state of atoms, molecules and solids, and of ab-initio molecular dynamics. It was conceived in its initial naïve and approximative version by Thomas and Fermi immediately after the foundation of quantum mechanics, in 1927. Just thirty years ago, in the middle of the sixties, Hohenberg, Kohn and Sham on the one hand established a logically rigorous density functional theory of the quantum groundstate on the basis of quantum mechanics, and on the other hand, guided by this construction, introduced an approximative explicit theory called the local-density approximation, which for computations of the quantum groundstate of many-particle systems proved to be superior to both Thomas-Fermi and Hartree-Fock theories. From that time on, density functional theory has grown vastly in popularity, and a flood of computational work in molecular and solid state physics has been the result. Motivated by its success, there has been always a tendency to widen the fields of application of density functional theory, and in these developments, some points which were left somewhat obscure in the basic theory, were brought into focus from time to time. This led in the early eighties to a deepening of the logical basis, essentially by Levy and Lieb, and finally Lieb gave the basic theory a form of final mathematical rigour. Since that treatment, however, is based on the tools of modern convex functional analysis, its implications only gradually became known to the many people who apply density functional theory. A thorough treatment of the dependence on particle number on the basis of Lieb’s theory is given for the first time in the present text.

DOI
10.1007/978-3-322-97620-8_1

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Density functional theory provides a powerful tool for computations of the quantum state of atoms, molecules and solids, and of ab-initio molecular dynamics. It was conceived in its initial naïve and approximative version by Thomas and Fermi immediately after the foundation of quantum mechanics, in 1927. Just thirty years ago, in the middle of the sixties, Hohenberg, Kohn and Sham on the one hand established a logically rigorous density functional theory of the quantum groundstate on the basis of quantum mechanics, and on the other hand, guided by this construction, introduced an approximative explicit theory called the local-density approximation, which for computations of the quantum groundstate of many-particle systems proved to be superior to both Thomas-Fermi and Hartree-Fock theories. From that time on, density functional theory has grown vastly in popularity, and a flood of computational work in molecular and solid state physics has been the result. Motivated by its success, there has been always a tendency to widen the fields of application of density functional theory, and in these developments, some points which were left somewhat obscure in the basic theory, were brought into focus from time to time. This led in the early eighties to a deepening of the logical basis, essentially by Levy and Lieb, and finally Lieb gave the basic theory a form of final mathematical rigour. Since that treatment, however, is based on the tools of modern convex functional analysis, its implications only gradually became known to the many people who apply density functional theory. A thorough treatment of the dependence on particle number on the basis of Lieb’s theory is given for the first time in the present text.
Since the early days of quantum mechanics, the wave function theory has proven to be very successful in describing many different quantum processes and phenomena. However, in many problems of quantum chemistry and solid-state physics, where the dimensionality of the systems studied is relatively high, ab initio calculations of the structure of atoms, molecules, clusters, and crystals, and their interactions are very often prohibitive. Hence, alternative formulations based on the direct use of the probability density, gathered under what is generally known as the density matrix theory [1], were also developed since the very beginning of the new mechanics. The independent electron approximation or Thomas-Fermi model, and the Hartree and Hartree-Fock approaches are former statistical models developed in that direction [2]. These models can be considered direct predecessors of the more recent density functional theory (DFT) [3], whose principles were established by Hohenberg, Kohn, and Sham [4,5] in the mid-1960s. According to this theory, the fundamental physical information about a many-body system is provided by single-particle densities in a three-dimensional space, which are obtained variationally within a time-independent framework. When compared with other previous formalisms, DFT presents two clear advantages: (1) it is able to treat many-body problems in a sufficiently accurate way and (2) it is computationally simple. This explains why it is one of the most widely used theories to deal with electronic structure-the electronic ground-state energy as a function of the position of the atomic nuclei determines molecular structures and solids, providing at the same time the forces acting on the atomic nuclei when they are not at their equilibrium positions. At present, DFT is used routinely to solve many problems in gas phase and condensed matter. Furthermore, it has made possible the development of accurate molecular dynamics schemes in which the forces are evaluated quantum mechanically ‘‘on the fly.’’ Nonetheless, DFT is a fundamental tool provided the systems studied are relatively large; for small systems, standard methods based on the use of the wave function render quite accurate results [6]. Moreover, it is also worth stressing that all practical applications of DFT rely on essentially uncontrolled approximations [7] (e.g., the local density approximation [4,5], the local spin-density approximation, or generalized gradient approximations [8]), and therefore the validity of DFT is conditioned to its capability to provide fairly good values of the experimental data.
We first prove a sharp Lieb-Thirring inequality with semi-classical constant and gradient correction in one dimension. In the periodic setting, the corresponding inequality also includes a parity dependent shell-correction term, which appears to be new. Moreover, we also characterize the optimizers of these inequalities. In particular, the optimizing density profiles form a two-dimensional manifold, which we call here the Poincaré density manifold. We then apply these results to study the Thomas--Fermi--von Weizsäcker (TFW) approximation of the kinetic energy in Density Functional Theory. More precisely, we first obtain an explicit and non-asymptotic bound on the global and local error made by the TFW approximation. These bounds are controlled by the distance of the normalized density profile from the Poincaré density manifold times the number of particles. In particular, these bounds show that the TFW approximation is exact on the Poincaré manifold. We then show that, in the periodic setting, the distance between the Kohn-Sham potential and the inverse TFW potential in the natural dual Sobolev space can also be controlled by explicit density dependent constants times the distance to the Poincaré manifold. As a corollary, we prove that for a fixed density profile, the Kohn-Sham potential converges towards the inverse Thomas--Fermi potential in the high-density limit N→∞N \rightarrow \inftyN→∞ with asymptotic rate of order N−2N^{-2}N−2. This rate is shown to be optimal.
This note is intended for expanding the details on the derivation and properties of density functional theory, in hope to make them more systematic, better motivated, and step-by-step for readers new to the domain. The note starts with basic concepts in quantum mechanics, then takes the step towards many-body systems using the tools of second quantization and Fock space, with some highlights on properties of the Coulomb system. Given these general technical preparations, the Hartree-Fock method is naturally unrolled, with expressions for various cases and quantities. Density functional theory is then presented, with a motivating reasoning of the Kohn-Sham formulation, and a connection and comparison of the expressions with the Hartree-Fock method. Lieb's celebrated 1983 paper on functional analysis on density functionals is also summarized.
Electronic structure calculations have been one of the most successful scientific fields in the past 50 years. Density functional theory (DFT) with its nice balance between accuracy and efficiency has now become the standard technique for many materials research. On the other hand, the size of systems that wavefunction-based methods can handle has also been improved thanks to the recent developments in both computation power and more advanced methodologies. However, these methods are still suffering from the curse of dimensionality. The cubic scaling of a typical DFT calculation restricts the handleable system size of DFT to only a few thousand electrons. To this end, tensor-structured techniques provide a route to constructing a reduced-order algorithm and hence are promising to improve the computational efficiency. In this dissertation work, we aim at exploring the applications of the tensor-structured techniques on different aspects of electronic structure calculations. In the first part of this work, we present a tensor-structured algorithm for efficient large-scale DFT calculations by constructing a Tucker tensor basis that is adapted to the Kohn–Sham Hamiltonian and localized in real-space. The proposed approach uses an additive separable approximation to the Kohn–Sham Hamiltonian and an L1 localization technique to generate the 1-D localized functions that constitute the Tucker tensor basis. Numerical results show that the resulting Tucker tensor basis exhibits exponential convergence in the ground-state energy with increasing Tucker rank. Further, the proposed tensor-structured algorithm demonstrated sub-quadratic scaling with system-size for both systems with and without a gap, and involving many thousands of atoms. This reduced-order scaling has also resulted in the proposed approach outperforming plane-wave DFT implementation for systems beyond 2000 electrons. In the second part of this work, we present an acceleration scheme for the proposed tensor-structured algorithm. In the proposed algorithm, the discrete Kohn-Sham problem is solved using the Chebyshev filtering subspace iteration method that relies on matrix-matrix multiplications of a sparse symmetric Hamiltonian matrix and a dense wavefunction matrix, expressed in the localized Tucker tensor basis. These matrix-matrix multiplication operations, which constitute the most computationally intensive step of the solution procedure, are GPU accelerated providing ~8-fold GPU-CPU speedup for these operations on the largest systems studied. The computational performance of the GPU accelerated code is presented using benchmark studies on aluminum nano-particles and silicon quantum dots with system sizes ranging up to ~7,000 atoms. Finally, we present a computation kernel using tensor-structured techniques to evaluate the one-electron and two-electron integrals, which are the central quantities to construct the Hamiltonian matrix of a full configuration interaction (FCI) calculation, for any molecular orbitals projected on a tensor-structured finite-element mesh. The proposed computation kernel is used to compute the integrals using Hartree-Fock molecular orbitals, which is subsequently used to perform an FCI calculation. In our numerical study, the FCI energy using integrals from the proposed computation kernel is confirmed to be consistent with a standard FCI calculation using the same Hartree-Fock orbitals. The proposed computation kernel provides a useful tool to investigate the behavior of Kohn-Sham orbitals as a basis for FCI calculations in the future, which could be a route to construct a reduced-order basis for an FCI calculation to reduce the computational cost and enable FCI calculation for the previously computationally inaccessible systems.
All downfolding procedures have to start from an approximate treatment of the full Hilbert space. For strongly correlated solids, density functional theory (DFT) within the Kohn–Sham scheme provides a suitable starting point. In this chapter, we describe density functional theory and discuss the different merits and problems of Kohn–Sham DFT. Since it is not the main topic of the book, we will focus on the conceptual ideas and formulation and on how DFT is used in practice as a starting point for many-body treatments. DFT is such a well developed theory that there exist a wealth of literature on the topic. There are a number of lucid reviews such as that by Jones and Gunnarsson [1] and more recent reviews by Jones [2] and Becke [3]; the last two contain a fascinating historical account of DFT. A collection of articles with contributions from pioneers in the field was given by Dreizler and da Providencia [4] and many others, which are too numerous to be listed here. A Nobel Lecture [5] is another source of inspiration.