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Notes
- 1.
Note that besides functional approximations, the KS-DFT empty states need to be corrected for the derivative discontinuity of the potential upon infinitesimal electron addition. Such derivative discontinuity is usually neglected by approximate functionals which also tend to downshift further the orbital energies of empty states.
- 2.
Otherwise, an infinitesimal transfer of charge δf > 0 from the highest occupied orbital to a state of energy ε i < ε ℋ would decrease the total energy by an amount (ε i – ε ℋ)δf < 0.
- 3.
Reference [49] also highlights the limitations of conventional DFT approximations in capturing static correlation in spin-degenerate systems (the H2 dissociation problem). Self-interaction errors arising from fractional occupations are nevertheless distinct from static correlation errors arising from fractional spins. In this work, only the self-interaction problem is addressed.
- 4.
Koopmans’ theorem has been originally proven for the HF method considering frozen orbitals [109]. Here we refer to this case as the restricted Koopmans theorem. The generalized version of the theorem has been introduced later [110] in order to include orbital relaxation. We note in passing that the generalized Koopmans theorem is a property of the exact many-body Green’s function G. The performance of GW approximations in this regard has been recently discussed by Bruneval [48]. In fact, when adopting the Lehmann representation, the poles of G, playing the role of (Dyson) orbital energies, are exactly given by total energy differences corresponding to many-body states with different number of particles (with one electron added or removed).
- 5.
One could rely on other definitions to measure the lack of Koopmans compliance. In particular, (30) has recently been exploited in [64] within the frozen orbital approximation. The comparative assessment of these closely related definitions is beyond the scope of this introductory review and will be discussed in detail elsewhere.
- 6.
It is very instructive to note that the linear-response DFT + U method of Cococcioni and de Gironcoli [57] is obtained from a similar expansion to evaluate the U parameters for the N I preselected orbitals χ Ii of the Ith atom. In fact, in its simplest form, the nonlinearity correction reads
$$ {E}_U\left[{f}_1,{f}_2,\dots, {\varphi}_1,{\varphi}_2,\dots \right]={\displaystyle \sum_{I=1}^{N_{\mathrm{atom}}}{\displaystyle \sum_{i=1}^{N_I}{\scriptscriptstyle \frac{U_{Ii}}{2}}{n}_{Ii}\left(1-{n}_{Ii}\right)}} $$with
$$ {U}_{Ii}={\displaystyle \int {d}^3\mathbf{r}{d}^3{\mathbf{r}}^{\mathbf{\prime}}{d}^3{\mathbf{r}}^{\mathbf{{\prime\prime}}}\left|{\chi}_{Ii}\right|{}^2\left(\mathbf{r}\right){\tilde{\varepsilon}}^{-1}\left(\mathbf{r},{\mathbf{r}}^{\mathbf{\prime}}\right){f}_{\mathrm{Hxc}}\left({\mathbf{r}}^{\mathbf{\prime}},{\mathbf{r}}^{\mathbf{{\prime\prime}}}\right)\left|{\chi}_{Ii}\right|{}^2\left({\mathbf{r}}^{\mathbf{{\prime\prime}}}\right)}\kern1em \mathrm{and}\kern1em {n}_{Ii}={\displaystyle \sum_{j=1}^{+\infty }{f}_j\left|\left\langle {\chi}_{Ii}\Big|{\varphi}_j\right\rangle \right|{}^2.} $$The spirit of the Koopmans-compliant correction is identical with the advantage of not requiring preselected atomic orbitals.
- 7.
We note that in Figs. 2 and 4 that we have used the Koopmans-compliant functional defined in (40), where the α screening coefficient has been included. We have adopted the same value for α in both figures. If no α were used [(35)], the K panel in Fig. 2 would show a flat curve, while that of Fig. 4 would display a negative slope as the HF method.
- 8.
For instance, one could compute the average dielectric screening coefficient related to the orbital ψ i through
$$ {\alpha}_i=\frac{{\displaystyle \int {d}^3\mathbf{r}{d}^3{\mathbf{r}}^{\mathbf{\prime}}{d}^3{\mathbf{r}}^{\mathbf{{\prime\prime}}}\left|{\psi}_i\right|{}^2\left(\mathbf{r}\right){\tilde{\varepsilon}}^{-1}\left(\mathbf{r},{\mathbf{r}}^{\mathbf{\prime}}\right){f}_{\mathrm{Hxc}}\left({\mathbf{r}}^{\mathbf{\prime}},{\mathbf{r}}^{\mathbf{{\prime\prime}}}\right)\left|{\psi}_i\right|{}^2\left({\mathbf{r}}^{\mathbf{{\prime\prime}}}\right)}}{{\displaystyle \int {d}^3\mathbf{r}{d}^3{\mathbf{r}}^{\mathbf{\prime}}\left|{\psi}_i\right|{}^2\left(\mathbf{r}\right){f}_{\mathrm{Hxc}}\left(\mathbf{r},{\mathbf{r}}^{\mathbf{\prime}}\right)\left|{\psi}_i\right|{}^2\left({\mathbf{r}}^{\mathbf{\prime}}\right)}}+\cdots, $$where it is understood that each quantity that appears in the integrals must be calculated self-consistently.
- 9.
The same approach is adopted when computing virtual orbital levels and band gaps within, e.g., hybrid DFT and DFT+U approximations.
- 10.
A detailed sensitivity analysis of this approximation is presented in [62].
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Acknowledgements
The authors are indebted to M. Cococcioni, N. Poilvert, G. Borghi, N. L. Nguyen, C.-H. Park, M. Marqués, E. K. U. Gross, S. de Gironcoli, and S. Baroni for valuable discussions and relevant suggestions. ID acknowledges partial support from the French National Research Agency through Grant ANR 12-BS04-0001 PANELS (Photovoltaics from Ab-initio Novel Electronic-structure Simulations). AF acknowledges partial support from Italian MIUR through Grant FIRB-RBFR08FOAL_001.
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Dabo, I., Ferretti, A., Marzari, N. (2014). Piecewise Linearity and Spectroscopic Properties from Koopmans-Compliant Functionals. In: Di Valentin, C., Botti, S., Cococcioni, M. (eds) First Principles Approaches to Spectroscopic Properties of Complex Materials. Topics in Current Chemistry, vol 347. Springer, Berlin, Heidelberg. https://doi.org/10.1007/128_2013_504
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