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arXiv:cond-mat/0602020 · Physical Review A

Critique of the foundations of time-dependent density-functional theory

J. Schirmer, Andreas Dreuw

Published Feb 22, 2007• 84 citations
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Abstract

The general expectation that, in principle, the time-dependent density-functional theory (TDDFT) is an exact formulation of the time evolution of an interacting $N$-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 $N$-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 ($p$-$p$) and hole-hole ($h$-$h$) 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.

DOI
10.1103/physreva.75.022513

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Comment on “Critique of the foundations of time-dependent density-functional theory”

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Two particular subjects tackled in the recent paper by Schirmer and Dreuw (SD) [J. Schirmer and A. Dreuw, Phys. Rev. A 75, 022513 (2007)] are commented on by us. By providing a convincing example, we answer positively the question posed by SD whether a local operator can be reconstructed from the knowledge of its particle-hole matrix elements (when the number of particle states exceeds one). In connection with the problem of the utmost reduction of the density-functional theory (DFT) to a solution of one equation for the density amplitude---the radical Kohn-Sham (rKS) approach---used by SD as a valuable tool to investigate the time-independent and time-dependent DFT, we demonstrate that the calculational scheme implementing the rKS formulation is rather uncompetitive with the traditional KS scheme.

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Reply to “Comment on ‘Critique of the foundations of time-dependent density-functional theory’ ”

J. Schirmer, Andreas Dreuw

In the preceding Comment, Maitra, van Leeuwen, and Burke (MLB) [Phys. Rev. A 78, 056501 (2008) attempt to refute our criticism of the foundations of time-dependent density functional theory [see J. Schirmer and A. Dreuw, Phys. Rev. A 75, 022513 (2007)]. However, their arguments miss the essence of our position. This is partly due to an ambiguity concerning the present status of the time-dependent (TD) Kohn-Sham (KS) equations. Based on the first Runge-Gross (mapping) theorem, the TD KS equations have to be established as a fixed-point iteration scheme for potential functionals (PF-FPI). Here, however, the convergence of the FPI is not assured. On the other hand, time propagation of the TD KS equations in their PF-FPI form fails because these equations do not represent physical equations of motion. MLB present a construction of the exact exchange-correlation potential, apparently contradicting one of our findings. We explain that their construction is explicitly based on the solution of the TD Schr\"odinger equation and, for this reason, does not address our objections, let alone refute them.

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Physical Chemistry Chemical Physics•Jan 1, 2013•3 citations
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.
Two particular subjects tackled in the recent paper by Schirmer and Dreuw (SD) [J. Schirmer and A. Dreuw, Phys. Rev. A 75, 022513 (2007)] are commented on by us. By providing a convincing example, we answer positively the question posed by SD whether a local operator can be reconstructed from the knowledge of its particle-hole matrix elements (when the number of particle states exceeds one). In connection with the problem of the utmost reduction of the density-functional theory (DFT) to a solution of one equation for the density amplitude---the radical Kohn-Sham (rKS) approach---used by SD as a valuable tool to investigate the time-independent and time-dependent DFT, we demonstrate that the calculational scheme implementing the rKS formulation is rather uncompetitive with the traditional KS scheme.
In the preceding Comment, Maitra, van Leeuwen, and Burke (MLB) [Phys. Rev. A 78, 056501 (2008) attempt to refute our criticism of the foundations of time-dependent density functional theory [see J. Schirmer and A. Dreuw, Phys. Rev. A 75, 022513 (2007)]. However, their arguments miss the essence of our position. This is partly due to an ambiguity concerning the present status of the time-dependent (TD) Kohn-Sham (KS) equations. Based on the first Runge-Gross (mapping) theorem, the TD KS equations have to be established as a fixed-point iteration scheme for potential functionals (PF-FPI). Here, however, the convergence of the FPI is not assured. On the other hand, time propagation of the TD KS equations in their PF-FPI form fails because these equations do not represent physical equations of motion. MLB present a construction of the exact exchange-correlation potential, apparently contradicting one of our findings. We explain that their construction is explicitly based on the solution of the TD Schr\"odinger equation and, for this reason, does not address our objections, let alone refute them.
Given the time-evolution of an electron charge density, the local potential in Kohn-Sham time-dependent density functional theory (KS-TDDFT) can be modeled as a sum of instantaneous and dynamic contributions by assuming a certain form of the time-dependent Kohn-Sham (TD-KS) orbitals. The instantaneous part is obtained numerically using methods from ground-state density functional theory (DFT) and the dynamic part is expressed in terms of a velocity potential that depends on the electron current density. The suggested form of the TD-KS orbitals satisfies several known constraints (orthonormality, N-representability, J-representability), and the domain of validity is shown to depend on the evolution of the instantaneous quantities. Through this decomposition, we can relate time-dependent and ground -state V-representability. The resulting potentials are shown numerically to approximate the exact time-dependent Kohn-Sham potentials for a set of 3 non-singlet two-particle systems (a Kohn-mode, a Coulomb explosion, and a double quantum well) where the exact solutions and reference densities are known or obtained through configuration interaction (CI) approaches.
The Kohn-Sham approach to time-dependent density-functional theory (TDDFT) can be formulated, in principle, exactly by invoking the force-balance equation for the density, which leads to an explicit expression for the exchange-correlation potential as an implicit density functional. It is shown that this suggests a reformulation of TDDFT in terms of the second time derivative of the density, rather than the density itself. The result is a time-local Kohn-Sham scheme of second-order in time whose causal structure is more transparent than that of the usual Kohn-Sham formalism. The scheme can be used to construct new approximations at the exchange-only level and beyond, and it offers a straightforward definition of the exact adiabatic approximation.
For the calculation of neutral excitations, time-dependent density functional theory (TDDFT) is an exact reformulation of the many-body time-dependent Schrödinger equation, based on knowledge of the density instead of the many-body wavefunction. The density can be determined in an efficient scheme by solving one-particle non-interacting Schrödinger equations—the Kohn–Sham equations. The complication of the problem is hidden in the—unknown—time-dependent exchange and correlation potential that appears in the Kohn–Sham equations and for which it is essential to find good approximations. Many approximations have been suggested and tested for finite systems, where even the very simple adiabatic local-density approximation (ALDA) has often proved to be successful. In the case of solids, ALDA fails to reproduce optical absorption spectra, which are instead well described by solving the Bethe–Salpeter equation of many-body perturbation theory (MBPT). On the other hand, ALDA can lead to excellent results for loss functions (at vanishing and finite momentum transfer). In view of this and thanks to recent successful developments of improved linear-response kernels derived from MBPT, TDDFT is today considered a promising alternative to MBPT for the calculation of electronic spectra, even for solids. After reviewing the fundamentals of TDDFT within linear response, we discuss different approaches and a variety of applications to extended systems.
Time-dependent [current]-density functional theory for open quantum systems (OQS) has emerged as a formalism that can incorporate dissipative effects in the dynamics of many-body quantum systems. Here, we review and clarify some formal aspects of these theories that have been recently questioned in the literature. In particular, we provide theoretical support for the following conclusions: (1) contrary to what we and others had stated before, within the master equation framework, there is in fact a one-to-one mapping between vector potentials and current densities for fixed initial state, particle-particle interaction, and memory kernel; (2) regardless of the first conclusion, all of our recently suggested Kohn-Sham (KS) schemes to reproduce the current and particle densities of the original OQS, and in particular, the use of a KS closed driven system, remains formally valid; (3) the Lindblad master equation maintains the positivity of the density matrix regardless of the time-dependence of the Hamiltonian or the dissipation operators; (4) within the stochastic Schrödinger equation picture, a one-to-one mapping from stochastic vector potential to stochastic current density for individual trajectories has not been proven so far, except in the case where the vector potential is the same for every member of the ensemble, in which case, it reduces to the Lindblad master equation picture; (5) master equations may violate certain desired properties of the density matrix, such as positivity, but they remain as one of the most useful constructs to study OQS when the environment is not easily incorporated explicitly in the calculation. The conclusions support our previous work as formally rigorous, offer new insights into it, and provide a common ground to discuss related theories.