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Fundamentals of Density
Functional Theory: Recent
Developments, Challenges and
Future Horizons
Muhammad Aamir Iqbal, Naila Ashraf, Wajeehah Shahid,
Deeba Afzal, Faryal Idrees and Raice Ahmad
Abstract
1. Introduction
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Density Functional Theory - Recent Advances, New Perspectives and Applications
describe the quantum nature of matter. The estimated character of the exchange-
correlation functional is the basis for DFT implementation success or failure. DFT’s
early breakthroughs concentrated on the most fundamental issues in chemistry,
such as the opportunity to generate functionals that could describe both molecular
geometries as well as dissociation energy. The fact that every feature of a system in
ground state is a unique ground state density functional was demonstrated by
Hohenberg-Kohn, laying the foundation for DFT, which is now used to explore
novelty of materials. This chapter is aimed to present an overview of DFT by
describing the theoretical foundations, widely used approximations, current
advances, and issues addressed, as well as future horizons.
2. Fundamentals of DFT
The Schrodinger Equation [1] for a many body system may be simplified to Kohn-
Sham equation, which is a single particle independent Schrodinger equation, and can
be numerically solved with density functional theory. This computational process
produces physical characteristics of solids; however, this hypothesis is based on
electron density rather than wave functions, for which scientist Walter Kohn was
given the Nobel Prize in 1998 [2]. Despite the fact that no exchange-correlation
effects had been documented at the time, Thomas and Fermi claimed in 1927 that
total density is the essential parameter in many body problems [3, 4]. The theorems
of Hohenberg, Kohn, and Sham laid the groundwork for DFT in 1964, stating that the
functional of a many-body problem’s (non-degenerated) ground state electron charge
density may completely characterize all properties in absence of magnetic field [5].
Hohenberg and Kohn [6] stated seemingly two simple theorems in 1964 that
enabled the implementation of DFT.
!
Theorem I: The external potential, Vextð r Þ is a unique functional of electron
!
density ρ( r ), having a unique association among potential and electron density for
! !
a many body system; Vext( r ) ¼) ρ( r ), whereas this electron density can be used to
describe the entire information of the system.
In order to establish a mathematical relation, let us assume external potentials as
vðrÞ and vðr0 Þ, whereas the change between these potentials is always identical since
the ground state electron density is comparable at entire parts of the crystal, that is,
v(r0 ) - v(r) = constant. According to theory, electrons move in a field produced by
external potential Vext and interact with one-another in addition to their external
potential, and the corresponding Hamiltonian of energy can be written as;
H ¼ T þ Vext þ U (1)
Where T, U, and Vext represents the K.E of electrons, coulomb interaction, and
external potential respectively. Quantum mechanically the factors T, U, and Vext
can be expressed as;
1
ð
T ¼ ½∇ψ ∗ ðrÞ∇ψðrÞdr (2)
2
ð
V ¼ ½vðrÞψ ∗ ðrÞψðrÞdr (3)
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Fundamentals of Density Functional Theory: Recent Developments, Challenges and Future…
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1 1
ð
0 0
U¼ ψ ðr Þψ ðrÞψðr ÞψðrÞ
∗ ∗
drdr0 (4)
2 jr‐r0 j
Alternatively, by swapping;
ð h i
! ! !
hψjH jψi ¼ hψjHjψi þ v0 r ‐v r ρ r dr
0
(7)
E þ E0 < E0 þ E (8)
The Eq. (8) confirms clear disagreement, and two unlike potentials, v(r) as well
as v0 (r) will certainly provide different density ρ(r) and ρ0 (r) respectively. As a
result, details relating density and external potential are needed to determine the
!
Hamiltonian information. Also, T and U are known for N-partials systems so ρ r
may be employed to find ground state H and E. The functional association of
minimum energy state and corresponding resulting density is;
Also,
ð
E½ρðrÞ ¼ ½vðrÞρðrÞdr þ F½ρðrÞ (11)
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Density Functional Theory - Recent Advances, New Perspectives and Applications
The theorems given by Hohenberg-Kohn are exact; however not very useful in
real calculations [6]. The equation given by Kohn-Sham [7] turned DFT into an
applied tool. They converted the difficult problem of electrons interacting together
in external effective potential (Vext) into the electrons that are non-interacting in
Vext, and the total energy for a ground state of interacting electrons in fixed
potential, vðrÞ is;
The kinetic energy for a many body system having non-interacting electrons is
denoted by Ts ½ρ, while V½ρ is the external potential produced by core having
positive charge, U½ρ is coulomb potential as a result of electron–electron
interactions, and Exc ½ρ is the energy due to exchange-correlation effects.
N ð
ħ2 X 2 3
h X i
Ts ½ρðrÞ ¼ ‐ φi ðrÞ∇ φi ðrÞd r ¼ T φi
∗
ð ρÞ (17)
2m i
and
q2 ρðrÞρðr0 Þ
ð
U ½ ρ ¼ drdr0 (18)
2 jr‐r0 j
ð
V½ρ ¼ vðrÞρðrÞdr (19)
The exchange correlation energy Exc ½ρ for a many-body system produced by
ρ(r) is given by;
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ð
Exc ½ρ ¼ ½ρðrÞεxc ρðrÞdr (20)
and
and
ð
Ec ¼ ½ρðrÞεc ρðrÞdr (23)
and
Where the single term in the summation refers to the energy of a molecule ‘j’ at
site ‘r’ in relation to a molecule ‘k’ at ‘r0 ’. The system’s energy is further reduced
owing to mutual avoidance of the interacting particles, such as electrons that are
anti-parallel and lower their energy by evenly arranging their moments. Kohn-
Sham mapping of interacting and non-interacting system is shown in Figure 1.
X q2 q2 3
ð ð
ρðrÞρðr0 Þ‐ρðrÞδðr‐r0 Þ 3 0
εc ¼ ¼ dr dr (25)
j<k
jr‐r0 j 2 jr‐r0 j
The energy of ground state may be obtained by differentiating Eq. (14) with
respect to ρðrÞ
Figure 1.
Kohn-Sham mapping of interacting and non-interacting system.
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Density Functional Theory - Recent Advances, New Perspectives and Applications
δEs ½ρ δTs ½ρ δVs ½ρ δVs ½ρ δTs ½ρ
0¼ ¼ þ þ ¼ þ vs ðrÞ (27)
δρs ðrÞ δρs ðrÞ δρs ðrÞ δρs ðrÞ δρs ðrÞ
Equating Eqs. (26) and (27), the potential Vs can be obtained as;
ħ2 2
" #
‐ ∇ þ vs ðrÞ φk ðrÞ ¼ Ek φk ðrÞ (29)
2m
The ρ(r) of an original system is replicated by orbitals, where fk is the kth orbital
occupation, and can be expressed as;
N
f jφk ðrÞj2
X
ρðrÞ ¼ ρs ðrÞ ¼ (30)
k
The consequences of KS scheme revealed that the minimum energy state can be
established by limiting energy of the energy functional, and it can be done using an
agreeable solution of a set of single-particle equations. In the KS scheme, just one
critical difficulty is that Exc (exchange-correlation energy) cannot be found exactly. If
Exc is determined accurately, it is a precise solution for a many-body problem. There
is currently no such exact solution exists, hence approximations are employed to
estimate Exc with LDA and GGA being the most commonly used approximations.
In this part, we will go through some of the major advances that lead to contem-
porary DFT in order to lay a foundation that will help us to comprehend both the
theory’s foundations and limits. Bloch (1929) was the first to write about the
exchange contribution, and it has become well-known as a result of quantum Monte-
Carlo simulations of uniform gases [8], which are parameterized in simple formula-
tions [9, 10]. The Local Density Approximation (LDA) [11], proposed by Kohn and
Sham, asserts that the exchange-correlation functional at any point in space is simply
dependent on that location’s spin density. LDA is quite correct for geometries, but it
often over-binds atoms/molecules roughly by 1 eV per bond, rendering it ineffective
for thermo-chemistry [12]. The Generalized Gradient Approximation (GGA) [13, 14]
is an extension to the LDA component that includes terms that are dependent on
density derivatives. Perdew was the first to apply real-space cutoffs to make GGAs,
which led to the development of the PW86 functional model [13]. The PW91 func-
tional [15] was the pinnacle of this comprehensive development, and it produces
useful precision for binding energies, as proven in 1993 of around 6–10 kcal/mol [16].
PBE [17] is the most widely used GGA to investigate materials today, whereas BLYP
[18] and Lee-Yang-Parr correlation [19] is the most generally employed GGA in
chemistry. A hybrid GGA [20] is one that combines a normal GGA plus a Hartree-
Fock component, in which the kinetic energy density is also employed to define the
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Fundamentals of Density Functional Theory: Recent Developments, Challenges and Future…
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GGA component. The GGA, Hartree-Fock, and kinetic energy density components
are all present in a meta-hybrid, while hybrid or meta-hybrid component of a double-
hybrid includes an involvement from second-order Moller-Plesset perturbation the-
ory [21]. The Density Functional (DF) consists of a part of GGA, LDA, Hartree-Fock
exchange or hybrids, and/or a meta-GGA, commonly known as the exchange-and-
correlation (XC) functional (meta-GGA or meta-hybrid). Furthermore, the addition
of an orbital-dependent correlation, it may also be reliant on virtual Kohn-Sham
orbitals (double-hybrids) [22]. A comparison of simplicity versus accuracy of existing
approximations in DFT is shown in Figure 2.
The functionals currently utilized in DFT simulations constitute a natural hier-
archy, and no systematic approach to the precise functional can be claimed. The
available functional form is clearly improving, resulting in a considerably more
accurate representation of ground state properties. The most important recent
advancements are those that include the non-local aspect of the exchange potential
in some way. Table 1, summarizes the present hierarchy.
Figure 2.
A comparison of simplicity versus accuracy of existing approximations in DFT [23].
Table 1.
Commonly used Exc functionals.
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Density Functional Theory - Recent Advances, New Perspectives and Applications
4. Recent developments
This section focuses on the evolution of new functionals in DFT during the last
decades.
The exchange correlation energy (Exc) can be calculated using DFT fluctuation
dissipation in the form of coupling constant and frequency [24–26]. The direct
random-phase approximation (RPA) [27, 28] or time dependent TD-Hartree, are
the results of ignoring the exchange kernel of TDFT. A fifth-rung approximation is
generated as a result of this methodology, and this can be expensive to examine,
although the relative burden is always reducing [29, 30]. It only examines bubble
diagrams in the many-body expansion of the energy, so direct RPA over-correlates
systems by ignoring extra contributions at higher levels that diminish correlation. It
also has issues with self-interaction since, even when just one electron is involved,
it yields low correlation energies, and the dissociation energies of molecules are
erroneous [23].
4.2 Meta-GGA’s
The meta-GGA [31] is a novel component that extends beyond density and
gradient, and is commonly used to indicate the KS orbitals’ kinetic energy density.
The objective of a successful meta-GGA is to achieve hybrid accuracy without
incurring the computational expense of the exact exchange contribution. The
incorporation of atom-centered basis functions, the cost of accurate exchange is
reasonable, however, it can be costly while using periodic boundary conditions in
addition of basis sets. Perdew and colleagues, and plenty of others, have worked on
meta-GGAs for decades, with multiple failed attempts [32]. SCAN (strongly
constrained and suitably normed semi-local density functional) [33], the most
current effort has undergone a number of conventional tests and looks to have a
good chance of becoming part of the pantheon of widely employed functionals. The
G3 data-set [34] is a common collection of chemical compounds that LDA over-
binds around 3 eV, while PBE reduces it to approximately 1 eV, and SCAN around
1/4 eV. On the S22 data-set [35] of weakly bonded systems, SCAN has 2–3 times less
errors than PBE does, while SCAN decreases miscalculations of lattice constant and
other parameters on the LC20 data [36] set around 0.05 Å, and to around 0.01 Å in
PBE. The PBE [37], on contrary to SCAN, only improves underestimation of chem-
ical barrier height by 30 percent, while hybrids on the other hand are frequently 2–3
times superior with conventional varieties. Therefore, one can conclude that SCAN
achieves accuracies comparable to hybrid functionals for several characteristics at a
fraction of the computing cost [38].
Andreas Savin was the first to create the range separation hypothesis, which is
quite precise [39, 40], through which coulomb repulsion may be easily expressed by
combining a short-ranged input with a long-ranged involvement that do not have
coulomb singularity at zero separation, and decays quicker than the inverse of the
separating distance. In KS equation generalizations, one contribution is treated as an
interaction, while the other is compensated by a redefined XC contribution. The
HSE06 functional [41] is a hybrid with a range separation that manages long-ranged
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Over the last two decades, tremendous progress has been made in addressing the
challenges associated with weak van der Waals (vdW) interactions. Traditional
functionals do a good job at manipulation of covalent, ionic, and metallic interac-
tions due to their semi-local nature, but they fall short when it comes to longer,
weaker bonds, and cannot offer weak binding that drops off as a function of R6 (R is
the distance among two atoms) [38]. To account these impacts, modifications must
be applied to the conventional functionals and this can be accomplished in one of
three ways. There is a succession of approximations produced by Langreth and
Lundqvist and collaborators [43] for the evolution of explicit non-local functionals
of electron density, while these approximations are generated non-empirically,
notably beginning with contributions of correlation energy. Additionally, these
functionals may be useful for any materials, ranging from solids to molecules, and
have been designed by supposing systems that contain a gap [44]. RPA, which
incorporates approximations to the vdW forces by default, as well as the Becke and
Johnson technique [45], leverages the exchange hole’s dipole moment to approxi-
mate C6, as well as higher coefficients.
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Density Functional Theory - Recent Advances, New Perspectives and Applications
One of the biggest problems for DFT is to preserve some aspect of simplicity as
its foundations. When DFT functionals get as complicated as full configuration
interaction, one of the theory’s most significant properties, namely simplicity, is
lost, which is particularly true in terms of computational environment. This sim-
plicity, however, must not be at the expense of accuracy, nor should it become an
exclusively empirical approach. The precise representation of binding energies and
geometries of simple molecules was one of DFT’s first major hurdles in chemistry.
Becke, Perdew, Langreth, and Parr presented the density’s first derivative in the
form of generalized gradient approximation in the 1980s, which was the first step
towards chemists being able to correctly use DFT. In the early 1990s, Becke
described the proportion of Hartree-Fock exact exchange (HF) which is included in
the functionals, and as a result of this effort, B3LYP [55], the utmost extensively
utilized of all the functionals, was developed, and has demonstrated outstanding
performance in variety of systems. Despite the introduction of new concepts into
more current functionals of varying complication, it remains the prevalent, and
DFT will likely benefit from developing functionals that improves on B3LYP [56].
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Figure 3.
Potential application areas of DFT [61].
functional; the exchange energy precisely cancels the coulomb energy of single
electron. In increasingly complicated systems, they can be linked to systematic
flaws like static correlation and delocalization error, and despite most recent
advancements, even the simplest systems can contain mistakes in most recent
functionals [58]. Hence, these basic systems should not be overlooked since they
hold the vital knowledge of functionals that can lead to advancements [57].
6. New horizons
The applications of warm dense matter vary from modeling planetary interiors
to inertial confinement fusion [59], which is a completely new field for DFT, and
has been exploded in the last decade, with considerable temperatures on the elec-
tronic scale of roughly 105 K but not to the point that the Thomas- Fermi hypothesis
or classical performance takes precedence. This domain is so “new” that
temperature-dependent exchange-correlation energy of a uniform gas, which is the
input to thermal LDA, is just now being computed with remarkable precision [60].
Figure 3 summarizes some of the potential application areas of DFT.
7. Concluding remarks
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Density Functional Theory - Recent Advances, New Perspectives and Applications
precise density functionals for specific applications, allowing researchers to take use
of DFT’s comparatively high accuracy at cheap processing cost, and the possibility
of even more improvements awaits.
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12
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Fundamentals of Density Functional Theory: Recent Developments, Challenges and Future…
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