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Burgess et al. have recently introduced the BLOR corrective exchange-correlation functional that is, by construction, the unique simplified rotationally-invariant DFT+U functional that enforces the flat-plane condition separately on each effective orbital of a localized subspace. Detached from the Hubbard model, functionals of this type are both double-counting correction free and, when optimized in situ using appropriate error quantifiers, effectively parameter free. In this work, the extension of the BLOR functional to address many-body errors (mBLOR) is derived. The mBLOR functional is built to enforce the flat-plane condition on the entire subspace, rather than on each orbital individually. In this way inter-orbital errors are corrected on the same footing as the single-particle ones. Focusing on exact test cases with strong inter-orbital interactions, the BLOR and mBLOR functionals were benchmarked against contemporary DFT+U functionals using the total energy extensivity condition on stretched homo-nuclear p-block dimers that represent various self-interaction and static-correlation error regimes. The BLOR functional outperformed all other DFT+$U$ functionals tested, which often act to increase total-energy errors, yet it still yielded large errors in some systems. mBLOR instead yielded low energy errors across all four strongly-correlated dimers, while being constructed using only semi-local approximation ingredients. As mBLOR would not otherwise introduce a band-gap correction in the manner that is a desirable feature of DFT+U, we developed a cost-free technique to reintroduce it automatically by moving the functional's unusual explicit derivative discontinuity into the potential. With this in place, mBLOR is the only known DFT$+U$ functional that opens the bandgap of stretched neutral homo-nuclear dimers without the aid of unphysical spin-symmetry breaking., Comment: 21 pages, 9 figures, and 4 tables

We present the implementation of the Hubbard ($U$) and Hund ($J$) corrected Density Functional Theory (DFT+$U$+$J$) functionality in the Quickstep program, which is part of the CP2K suite. The tensorial and L\"owdin subspace representations are implemented and compared. Full analytical DFT+$U$+$J$ forces are implemented and benchmarked for the tensorial and L\"owdin representations. We also present the implementation of the recently proposed minimum-tracking linear-response method that enables the $U$ and $J$ parameters to be calculated on first principles basis without reference to the Kohn-Sham eigensystem. These implementations are benchmarked against recent results for different materials properties including DFT+$U$ band gap opening in NiO, the relative stability of various polaron distributions in TiO$_2$, the dependence of the calculated TiO$_2$ band gap on +$J$ corrections, and, finally, the role of the +$U$ and +$J$ corrections for the computed properties of a series of the hexahydrated transition metals. Our implementation provides results consistent with those already reported in the literature from comparable methods. We conclude the contribution with tests on the influence of the L\"owdin orthonormalization on the occupancies, calculated parameters, and derived properties.

Members of the DFT+U family of functionals are increasingly prevalent methods of addressing errors intrinsic to (semi-) local exchange-correlation functionals at minimum computational cost, but require their parameters U and J to be calculated in situ for a given system of interest, simulation scheme, and runtime parameters. The SCF linear response approach offers ab initio acquisition of the U and has recently been extended to compute the J analogously, which measures localized errors related to exchange-like effects. We introduce a renovated post-processor, the lrUJ utility, together with this detailed best-practices guide, to enable users of the popular, open-source Abinit first-principles simulation suite to engage easily with in situ Hubbard parameters and streamline their incorporation into material simulations of interest. Features of this utility, which may also interest users and developers of other DFT codes, include $n$-degree polynomial regression, error analysis, Python plotting facilities, didactic documentation, and avenues for further developments. In this technical introduction and guide, we place particular emphasis on the intricacies and potential pitfalls introduced by the projector augmented wave (PAW) method, SCF mixing schemes, and non-linear response, several of which are translatable to DFT+U(+J) implementations in other packages., Comment: 46 pages, 6 figures (+3 figures in appendix), 2 tables (+1 table in appendix)

It has long been postulated that within density-functional theory (DFT) the total energy of a finite electronic system is convex with respect to electron count, so that 2 E_v[N_0] <= E_v[N_0 - 1] + E_v[N_0 + 1]. Using the infinite-separation-limit technique, this article proves the convexity condition for any formulation of DFT that is (1) exact for all v-representable densities, (2) size-consistent, and (3) translationally invariant. An analogous result is also proven for one-body reduced density matrix functional theory. While there are known DFT formulations in which the ground state is not always accessible, indicating that convexity does not hold in such cases, this proof nonetheless confirms a stringent constraint on the exact exchange-correlation functional. We also provide sufficient conditions for convexity in approximate DFT, which could aid in the development of density-functional approximations. This result lifts a standing assumption in the proof of the piecewise linearity condition with respect to electron count, which has proven central to understanding the Kohn-Sham band-gap and the exchange-correlation derivative discontinuity of DFT., Comment: This Communication has been published in the Journal of Chemical Physics 159, 211102 (2023) which can be found at the following link: https://doi.org/10.1063/5.0174159

A new DFT+U type corrective functional is derived from first principles to enforce the flat plane condition on localized subspaces, thus dispensing with the need for an ad hoc derivation from the Hubbard model. The newly derived functional as given by equation 5 yields relative errors below 0.6% in the total energy of the dissociated s-block dimers as well as the dissociated H5+ ring system. In comparison bare PBE and PBE+U (using Dudarev's 1998 Hubbard functional) yields relative energetic errors as high as 8.0% and 20.5% respectively., Comment: 8 pages, 5 figures, plus 13 pages of Supplementary Information

State-of-the-art methods for calculating neutral excitation energies are typically demanding and limited to single electron-hole pairs and their composite plasmons. Here we introduce excitonic density-functional theory (XDFT) a computationally light, generally applicable, first-principles technique for calculating neutral excitations based on generalized constrained DFT. In order to simulate an M-particle excited state of an N-electron system, XDFT automatically optimizes a constraining potential to confine N-M electrons within the ground-state Kohn-Sham valence subspace. We demonstrate the efficacy of XDFT by calculating the lowest single-particle singlet and triplet excitation energies of the well-known Thiel molecular test set, with results which are in excellent agreement with time-dependent DFT. Furthermore, going beyond the capability of adiabatic time-dependent DFT, we show that XDFT can successfully capture double excitations. Overall our method makes optical gaps, excition bindings and oscillator strengths readily accessible at a computational cost comparable to that of standard DFT. As such, XDFT appears as an ideal candidate to work within high-throughput discovery frameworks and within linear-scaling methods for large systems., Comment: 6 pages, 4 figures

The density functional theory (DFT)+$U$ method is a pragmatic and effective approach for calculating the ground-state properties of strongly-correlated systems, and linear response calculations are widely used to determine the requisite Hubbard parameters from first principles. We provide a detailed treatment of spin within this linear response approach, demonstrating that the conventional Hubbard $U$ formula, unlike the conventional DFT+$U$ corrective functional, incorporates interactions that are off-diagonal in the spin indices and places greater weight on one spin channel over the other. We construct alternative definitions for Hubbard and Hund's parameters that are consistent with the contemporary DFT+$U$ functional, expanding upon the minimum-tracking linear response method. This approach allows Hund's $J$ and spin-dependent $U$ parameters to be calculated with the same ease as for the standard Hubbard $U$. Our methods accurately reproduce the experimental band gap, local magnetic moments, and the valence band edge character of manganese oxide, a canonical strongly-correlated system. We also apply our approach to a complete series of transition-metal complexes [M(H$_2$O)$_6$]$^{n+}$ (for M = Ti to Zn), showing that Hubbard corrections on oxygen atoms are necessary for preserving bond lengths, and demonstrating that our methods are numerically well-behaved even for near-filled subspaces such as in zinc. However, spectroscopic properties appear beyond the reach of the standard DFT+$U$ approach. Collectively, these results shed new light on the role of spin in the calculation of the corrective parameters $U$ and $J$, and point the way towards avenues for further development of DFT+$U$-type methods., Comment: 19 pages, 10 figures, 8 tables

Pulay terms arise in the Hellman-Feynman forces in electronic structure calculations when one employs a basis set made of localized orbitals that move with their host atoms. If the total energy of the system depends on a subspace population defined in terms of the localized orbitals across multiple atoms, then unconventional Pulay terms will emerge due to the variation of the orbital nonorthogonality with ionic translation. Here, we derive the required exact expressions for such terms, which cannot be eliminated by orbital orthonormalization. We have implemented these corrected ionic forces within the linear-scaling density functional theory (DFT) package ONETEP, and have used constrained DFT to calculate the reorganization energy of a pentacene molecule adsorbed on a graphene flake. The calculations are performed by including ensemble DFT, corrections for periodic boundary conditions, and empirical Van der Waals interactions. For this system we find that tensorially invariant population analysis yields an adsorbate subspace population that is very close to integer-valued when based upon nonorthogonal Wannier functions, and also but less precisely when using pseudoatomic functions. Thus, orbitals can provide a very effective population analysis for constrained DFT. Our calculations show that the reorganization energy of the adsorbed pentacene is typically lower than that of pentacene in the gas phase. We attribute this effect to steric hindrance., Comment: 12 pages, 6 figures, and 2 tables. As accepted for publication in Physical Review B on 25th April 2018

We perform comprehensive density-functional theory calculations on strained two-dimensional phosphorus (P), arsenic (As) and antimony (Sb) in the monolayer, bilayer, and bulk $\alpha$-phase, from which we compute the key mechanical and electronic properties of these materials. Specifically, we compute their electronic band structures, band gaps, and charge-carrier effective masses, and identify the qualitative electronic and structural transitions that may occur. Moreover, we compute the elastic properties such as the Young's modulus $Y$; shear modulus $G$; bulk modulus $\mathcal{B}$; and Poisson ratio $\nu$ and present their isotropic averages of as well as their dependence on the in-plane orientation, for which the relevant expressions are derived. We predict strain-induced Dirac states in the monolayers of As and Sb and the bilayers of P, As, and Sb, as well as the possible existence of Weyl states in the bulk phases of P and As. These phases are predicted to support charge velocities up to $10^6$~$\textrm{ms}^{-1}$ and, in some highly anisotropic cases, permit one-dimensional ballistic conductivity in the puckered direction. We also predict numerous band gap transitions for moderate in-plane stresses. Our results contribute to the mounting evidence for the utility of these materials, made possible by their broad range in tuneable properties, and facilitate the directed exploration of their potential application in next-generation electronics., Comment: Final version accepted for publication in 2D Materials on 1/9/17. Keywords: phosphorene, arsenene, and antimonene. Original content from this work may be used under the terms of the Creative Commons Attribution 3.0 licence [http://creativecommons.org/licenses/by/3.0]. Any further distribution of this work must maintain attribution to the authors and the title of the work, journal citation and DOI

We develop a generalization of the Kohn-Sham density functional theory (KS-DFT) + Hubbard $U$ (DFT+$U$) method to the excited-state regime. This has the form of Hubbard $U$ corrected linear-response time-dependent DFT, or `TDDFT+$U$'. Combined with calculated linear-response Hubbard $U$ parameters, it may provide a computationally light, first-principles method for the simulation of tightly-bound excitons on transition-metal ions. Our presented implementation combines linear-scaling DFT+$U$ and linear-scaling TDDFT, but the approach is broadly applicable. In detailed benchmark tests on two Ni-centred diamagnetic coordination complexes with variable $U$ values, it is shown that the Hubbard $U$ correction to an approximate adiabatic semi-local exchange-correlation interaction kernel lowers the excitation energies of transitions exclusively within the targeted localized subspace, by increasing the exciton binding of the corresponding electron-hole pairs. This partially counteracts the Hubbard $U$ correction to the exchange-correlation potential in KS-DFT, which increases excitation energies into, out of, and within the targeted localised subspace by modifying the underlying KS-DFT eigenspectrum. This compensating effect is most pronounced for optically dark transitions between localized orbitals of the same angular momentum, for which experimental observation may be challenging and theoretical approaches are at their most necessary. Overall, our results point to shortcomings in the contemporary DFT+$U$ corrective potential, either in its functional form, or when applied to transition-metal orbitals but not to ligand ones, or both., Comment: 21 pages, 36 figures, and 6 tables

In approximate density functional theory (DFT), the self-interaction error is an electron delocalization anomaly associated with underestimated insulating gaps. It exhibits a predominantly quadratic energy-density curve that is amenable to correction using efficient, constraint-resembling methods such as DFT + Hubbard $U$ (DFT+$U$). Constrained DFT (cDFT) enforces conditions on DFT exactly, by means of self-consistently optimized Lagrange multipliers, and while its use to automate error corrections is a compelling possibility, we show that it is limited by a fundamental incompatibility with constraints beyond linear order. We circumvent this problem by utilizing separate linear and quadratic correction terms, which may be interpreted either as distinct constraints, each with its own Hubbard $U$ type Lagrange multiplier, or as the components of a generalized DFT+$U$ functional. The latter approach prevails in our tests on a model one-electron system, $H_2^+$, in that it readily recovers the exact total-energy while symmetry-preserving pure constraints fail to do so. The generalized DFT+$U$ functional moreover enables the simultaneous correction of the total-energy and ionization potential or the correction of either together with the enforcement of Koopmans condition. For the latter case, we outline a practical, approximate scheme by which the required pair of Hubbard parameters, denoted as U1 and U2, may be calculated from first-principles., Comment: 7 pages, 5 figures. Accepted for Physical Review B Rapid Communications on 30th November 2016

Many basis sets for electronic structure calculations evolve with varying external parameters, such as moving atoms in dynamic simulations, giving rise to extra derivative terms in the dynamical equations. Here we revisit these derivatives in the context of differential geometry, thereby obtaining a more transparent formalisation, and a geometrical perspective for better understanding the resulting equations. The effect of the evolution of the basis set within the spanned Hilbert space separates explicitly from the effect of the turning of the space itself when moving in parameter space, as the tangent space turns when moving in a curved space. New insights are obtained using familiar concepts in that context such as the Riemann curvature. The differential geometry is not strictly that for curved spaces as in general relativity, a more adequate mathematical framework being provided by fibre bundles. The language used here, however, will be restricted to tensors and basic quantum mechanics. The local gauge implied by a smoothly varying basis set readily connects with Berry's formalism for geometric phases. Generalised expressions for the Berry connection and curvature are obtained for a parameter-dependent occupied Hilbert space spanned by non-orthogonal Wannier functions. The formalism is applicable to basis sets made of atomic-like orbitals and also more adaptative moving basis functions (such as in methods using Wannier functions as intermediate or support bases), but should also apply to other situations in which non-orthogonal functions or related projectors should arise. The formalism is applied to the time-dependent quantum evolution of electrons for moving atoms. The geometric insights provided here allow us to propose new finite-differences time integrators, and also better understand those already proposed., Comment: 20 pages. Accepted for Physical Review B on 10th March 2017