Description of many-electron systems with a fractional electron number (N_tot) and fractional spin (M_tot) is of great importance in physical chemistry, solid-state physics, and materials science. In this Letter, we provide an exact description of the zero-temperature ensemble ground state of a general, finite, many-electron system and characterize the dependence of the energy and the spin-densities on both N_tot and M_tot, when the total spin is at its equilibrium value. We generalize the piecewise-linearity principle and the flat-plane condition and determine which pure states contribute to the ground-state ensemble. We find a new derivative discontinuity, which manifests for spin variation at a constant N_tot, as a jump in the Kohn–Sham potential. We identify a previously unknown degeneracy of the ground state, such that the total energy and density are unique, but the spin-densities are not. Our findings serve as a basis for development of advanced approximations in density functional theory and other many-electron methods.

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The theoretical and computational description of materials properties is a task of utmost scientific and technological importance. A first-principles description of electron-electron interactions poses an immense challenge that is usually approached by converting the many-electron problem to an effective one-electron problem. There are different ways to obtain an exact one-electron theory for a many-electron system. An emergent method is the exact electron factorization (EEF) – one of the branches of the exact factorization approach to many-body systems. In the EEF, the Schrödinger equation for one electron, in the environment of all other electrons, is formulated. The influence of the environment is reflected in the potential vH, which represents the energy of the environment, and in a potential vG, which has a geometrical meaning. In this paper, we focus on vG and study its properties in detail. We investigate the geometric origin of vG as a metric measuring the change of the environment, exemplify how translation and scaling of the state of the environment are reflected in vG, and explain its shape for homo- and heteronuclear diatomic model systems. Based on the close connection between the EEF and density functional theory, we also use vG to provide an alternative interpretation to the Pauli potential in orbital-free density functional theory.

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The mean ionization state (MIS) is a critical property in dense plasma and warm dense matter research, for example, as an input to hydrodynamics simulations and Monte Carlo simulations. Unfortunately, however, the best way to compute the MIS remains an open question. Average-atom (AA) models are widely used in this context due to their computational efficiency, but as we show here, the canonical approach for calculating the MIS in AA models is typically insufficient. We therefore explore three alternative approaches to compute the MIS. First, we modify the canonical approach to change the way electrons are partitioned into bound and free states; second, we develop a novel approach using the electron localization function; finally, we extend a method, which uses the Kubo-Greenwood conductivity to our average-atom model. Through comparisons with higher-fidelity simulations and experimental data, we find that any of the three new methods usually outperforms the canonical approach, with the electron localization function and Kubo-Greenwood methods showing particular promise.

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Calculations in Kohn–Sham density functional theory crucially rely on high-quality approximations for the exchange-correlation (xc) functional. Standard local and semi-local approximations fail to predict the ionization potential (IP) and the fundamental gap, departing from the Kohn–Sham orbital energies, due to the deviation of the total energy from piecewise-linearity and the absence of the derivative discontinuity. The ensemble generalization procedure introduced in Phys. Rev. Lett. 110, 126403 (2013) restores, to a large extent, these features in any approximate xc functional and improves its ability to predict the IP and the fundamental gap with negligible additional computational effort. In this work we perform an extensive study of atoms and first ions across the Periodic Table, generalizing the local spin-density and the Perdew–Burke–Ernzerhof approximations. By applying the ensemble generalization to a variety of systems, with s-, p-, and d-character, we assess the accuracy of the method and identify important trends. In particular, we find that the accuracy of our approach heavily depends on the character of the frontier orbitals: when d-orbitals are involved, the performance is far less accurate. Possible sources of error are discussed and ways for further improvement are outlined.

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Rapid access to accurate equation-of-state (EOS) data is crucial in the warm-dense matter (WDM) regime, as it is employed in various applications, such as providing input for hydrodynamic codes to model inertial confinement fusion processes. In this study, we develop neural network models for predicting the EOS based on first-principles data. The first model utilises basic physical properties, while the second model incorporates more sophisticated physical information, using output from average-atom (AA) calculations as features. AA models are often noted for providing a reasonable balance of accuracy and speed; however, our comparison of AA models and higher-fidelity calculations shows that more accurate models are required in the WDM regime. Both the neural network models we propose, particularly the physics-enhanced one, demonstrate significant potential as accurate and efficient methods for computing EOS data in WDM.

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Average-atom models are an important tool in studying matter under extreme conditions, such as those conditions experienced in planetary cores, brown and white dwarfs, and during inertial confinement fusion. In the right context, average-atom models can yield results with similar accuracy to simulations which require orders of magnitude more computing time, and thus can greatly reduce financial and environmental costs. Unfortunately, due to the wide range of possible models and approximations, and the lack of open-source codes, average-atom models can at times appear inaccessible. In this paper, we present our open-source average-atom code, atoMEC. We explain the aims and structure of atoMEC to illuminate the different stages and options in an average-atom calculation, and to facilitate community contributions. We also discuss the use of various open-source Python packages in atoMEC, which have expedited its development.

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Finite-temperature Kohn-Sham density functional theory (KS-DFT) is a widely-used method in warm dense matter (WDM) simulations and diagnostics. Unfortunately, full KS-DFT-molecular dynamics models scale unfavourably with temperature and there remains uncertainty regarding the performance of existing approximate exchange-correlation (XC) functionals under WDM conditions. Of particular concern is the expected explicit dependence of the XC functional on temperature, which is absent from most approximations. Average-atom (AA) models, which significantly reduce the computational cost of KS-DFT calculations, have therefore become an integral part of WDM modeling. In this paper, we present a derivation of a first-principles AA model from the fully-interacting many-body Hamiltonian, carefully analyzing the assumptions made and terms neglected in this reduction. We explore the impact of different choices within this model—such as boundary conditions and XC functionals—on common properties in WDM, for example equation-of-state data, ionization degree and the behavior of the frontier energy levels. Furthermore, drawing upon insights from ground-state KS-DFT, we discuss the likely sources of error in KS-AA models and possible strategies for mitigating such errors.

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There are several approximations to the exchange-correlation functional in density-functional theory, which accurately predict total energy-related properties of many-electron systems, such as binding energies, bond lengths, and crystal structures. Other approximations are designed to describe potential-related processes, such as charge transfer and photoemission. However, the development of a functional which can serve the two purposes simultaneously is a long-standing challenge. Trying to address it, we employ in the current work the ensemble generalization procedure proposed by Kraisler and Kronik [Phys. Rev. Lett. 110, 126403 (2013)]. Focusing on the prediction of the ionization potential via the highest occupied Kohn-Sham eigenvalue, we examine a variety of exchange-correlation approximations: the local spin-density approximation, semi-local generalized gradient approximations, and global and local hybrid functionals. Results for a test set of 26 diatomic molecules and single atoms are presented. We find that the aforementioned ensemble generalization systematically improves the prediction of the ionization potential, for various systems and exchange-correlation functionals, without compromising the accuracy of total energy-related properties. We specifically examine hybrid functionals. These depend on a parameter controlling the ratio of semi-local to non-local functional components. The ionization potential obtained with ensemble-generalized functionals is found to depend only weakly on the parameter value, contrary to common experience with non-generalized hybrids, thus eliminating one aspect of the so-called “parameter dilemma” of hybrid functionals.

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The fundamental gap is a central quantity in the electronic structure of matter. Unfortunately, the fundamental gap is not generally equal to the Kohn-Sham gap of density functional theory (DFT), even in principle. The two gaps differ precisely by the derivative discontinuity, namely, an abrupt change in slope of the exchange-correlation energy as a function of electron number, expected across an integer-electron point. Popular approximate functionals are thought to be devoid of a derivative discontinuity, strongly compromising their performance for prediction of spectroscopic properties. Here we show that, in fact, all exchange-correlation functionals possess a derivative discontinuity, which arises naturally from the application of ensemble considerations within DFT, without any empiricism. This derivative discontinuity can be expressed in closed form using only quantities obtained in the course of a standard DFT calculation of the neutral system. For small, finite systems, addition of this derivative discontinuity indeed results in a greatly improved prediction for the fundamental gap, even when based on the most simple approximate exchange-correlation density functional--the local density approximation (LDA). For solids, the same scheme is exact in principle, but when applied to LDA it results in a vanishing derivative discontinuity correction. This failure is shown to be directly related to the failure of LDA in predicting fundamental gaps from total energy differences in extended systems.

We present and test a new approximation for the exchange-correlation (xc) energy of Kohn-Sham density functional theory. It combines exact exchange with a compatible non-local correlation functional. The functional is by construction free of one-electron self-interaction, respects constraints derived from uniform coordinate scaling, and has the correct asymptotic behavior of the xc energy density. It contains one parameter that is not determined ab initio. We investigate whether it is possible to construct a functional that yields accurate binding energies and affords other advantages, specifically Kohn-Sham eigenvalues that reliably reflect ionization potentials. Tests for a set of atoms and small molecules show that within our local-hybrid form accurate binding energies can be achieved by proper optimization of the free parameter in our functional, along with an improvement in dissociation energy curves and in Kohn-Sham eigenvalues. However, the correspondence of the latter to experimental ionization potentials is not yet satisfactory, and if we choose to optimize their prediction, a rather different value of the functional's parameter is obtained. We put this finding in a larger context by discussing similar observations for other functionals and possible directions for further functional development that our findings suggest.

One-electron self-interaction and an incorrect asymptotic behavior of the Kohn-Sham exchange-correlation potential are among the most prominent limitations of many present-day density functionals. However, a one-electron self-interaction-free energy does not necessarily lead to the correct long-range potential. This is shown here explicitly for local hybrid functionals. Furthermore, carefully studying the ratio of the von Weizsäcker kinetic energy density to the (positive) Kohn-Sham kinetic energy density, τ_W/τ, reveals that this ratio, which frequently serves as an iso-orbital indicator and is used to eliminate one-electron self-interaction effects in meta-generalized-gradient approximations and local hybrid functionals, can fail to approach its expected value in the vicinity of orbital nodal planes. This perspective article suggests that the nature and consequences of one-electron self-interaction and some of the strategies for its correction need to be reconsidered.