Research accomplishments

Some research accomplishments Last update: 14 February 2007

Mark E. CASIDA

Some Research Accomplishments

DFT MODELING OF SPIN-CROSSOVER COMPOUNDS

The relative thermodynamic stabilities of certain transition metal complexes is such that, by tuning the choice of ligand, the complexes may be switched between high- and low-spin states by a simple change in temperature. The ability to predict this transition temperature requires a very precise understanding of the inter and intramolecular energy and entropy contributions to the high-spin/low-spin free energy difference. It is already an excited-state problem. The situation becomes even more interesting, from the point of view of fabricating optical devices, for those complexes which also show a significant kinetic barrier between the ground low-spin state and the metastable high-spin state. It then becomes possible to create a molecular optical switch by laser-induced switching between the two states which have different magnetic properties, effective volumes, and colors. A correct modeling of the phenomenon requires the ability to calculate the relative energies of the two low-energy states and ultimately of the manifold of excited states, including numerous open-shell states. As such it is a great challenge for any first principles method, DFT or otherwise. As shown in Fig. 1, our work ranks highly when compared to citation statistics for other articles applying DFT to the spin-crossover problem.

Fig. 1. Impact of our work on DFT modeling of spin-crossover phenomena. Our papers are among the most highly cited papers in this area. Note that the Web of Science missed article [[GBF+05] which is however cited 8 times. Note also that our article [ZBF+07] is too new to be cited as of 14/2-2007.

The development of a DFT-based protocal for describing spin-crossover in Fe(II) compounds was the subject of the thesis of Antony Fouqueau. It involved state-of-the-art ab initio calculations on two small clusters, [Fe(H2O)6]2+ and [Fe(NH3)6]2+, for comparison with a wide range of DFT calculations [FMC+04, FCL+05]. It also involved direct comparison with experimental information about the relative stabilities of the high- and low-spin states of [Fe(bpy)3]2+ and Fe(L)('NHS4')] [LVH+05, GBFC05]. In these complexes, Hartree-Fock over estimates spin-pairing energies, thereby tending to over stabilize the high-spin states. Prior to our work, it had been felt that DFT tended to under estimate spin-pairing energies, thereby artificially favoring low-spin states. One popular solution was Markus Reiher's reparameterization, B3LYP*, of the popular B3LYP hybrid functional. We were able to show that some modern generalized gradient approximations (GGAs) could do as well as or better than the B3LYP* functional for describing relative spin energetics, especially the RPBE and OLYP functionals. This is very good news for those who wish to model large spin crossover compounds since only GGAs can take advantage of plane wave or charge density fitting techniques. In a more recent joint article [ZBF+07], we have gone further and argued that, whereas the separation between potential energy surfaces between different spin states is very sensitive to the choice of functional, the shapes of potential energy surfaces are relatively insensitive to the choice of functional. This provides hope that much of the computational work on spin crossover complexes can be carried out using less expensive methods, with just a few more elaborate calculations being needed to fix the precise separation between potential energy surfaces. Articles [LVH+05, GBF+05,ZBF+07] discuss some of the factors which make some functionals better descriptors than others of spin pairing energies.

NUCLEAR MAGNETIC RESONANCE (NMR) SHIELDINGS FROM DENSITY-FUNCTIONAL THEORY (DFT)

Since NMR is one of the most important spectroscopies for chemists, it would be nice to have an efficient way to calculate chemical shifts within DFT. Our now classic 1994 paper [MMCS94] proposes the Sum-Over-States Density-Functional Perturbation Theory (SOS-DFPT) method for doing just this. One unsatisfying aspect of that work was the somewhat ad hoc nature of the correction to the uncoupled approximation. More recently, we have shown how a precise form of this correction term (which we call "Loc.3") can be derived from time-dependent density-functional theory and performs as well as or better than the previous Loc.1 and Loc.2 approximations in SOS-DFPT [FCS03a,FCS03b].

OPTIMIZED-EFFECTIVE POTENTIAL

Sometimes the limitations on present day approximate density functionals are such that it is useful to calculate an "exact" exchange-correlation potential from ab initio theory. Professor Rodney J. Bartlett has dubbed this approach "ab initio DFT". I have been one of the early contributers to the problem of including correlation in ab initio DFT [C95a, C99a]. These were important formal papers for their time.

My present aim is to develop ab initio as a tool for obtaining improved DFT orbital energies for use in applied TDDFT. We had previously shown that improving DFT orbital energies is important in the correct description of sigma excitation energies in ethylene [CS00]. Since the emphasis is ultimately on applications, we are putting a large emphasis on questions of practicality. As a first step in this direction, we have implemented Hartree-Fock (HF) calculations within the resolution-of-the-identity (RI) approximation [HCS01]. The advantage of RI-HF is that no higher than 3-center electron repulsion integrals need be evaluated. The precision is adequate for common low-resolution electronic excitation spectra.

TIME-DEPENDENT DENSITY-FUNCTIONAL THEORY IN CHEMISTRY

A few years ago, I developed the first practical molecular formulation of time-dependent density-functional theory (TDDFT) response theory [C95b], and we reported the first implementation of such a method [CJB+94]. It is similar to time-dependent Hartree-Fock (TDHF) but has the advantage that it includes correlation not present in TDHF, and enjoys the computational advantages of density-functional theory (DFT) as well. I have also extended the auxiliary-function techniques often used in Gaussian-orbital-based time-independent molecular DFT programs to the calculation of the coupling matrix [C95b, C96], thus allowing the costly four-center integrals to be replaced with three-center integrals. When appropriately implemented, this provides a method for calculating molecular electronic spectra which scales as O(N3) with the number of atoms [C96], an order of magnitude improvement over the least computationally demanding conventional ab initio methods for calculating these properties. Yet the results are remarkably good. The TDDFT results, within the simple local density approximation (i.e. TDLDA), for low-lying excitation energies are considerably better than those from TDHF or singles configuration interaction (CIS), and are more comparable to results from more expensive, correlated ab initio methods than to those of TDHF or CIS [JCS95, CJC+98]. My molecular formulation of TDDFT has been rapidly adopted and is now implemented in the major quantum chemistry packages that include DFT, worldwide. It is widely used and applications using the method include studies of the spectra of chlorophyll a, fullerenes, polyacetylenes, transition metal coordination compounds, and phototoxic drugs.

While my TDDFT method represents a great improvement over the previously available methods for calculating molecular excitation spectra, it is not without limitations. Most of the difficulties can be traced back to some aspect of the approximations used for the underlying exchange-correlation functional. Despite the success of the applications mentionned above (or perhaps because of this success!), there is a desire to continue improving TDDFT to extend its domain of applicability. Part of this is a matter of improving approximations for the exchange-correlation functional. (A review of exchange-correlation functionals for TDDFT up to 1996 is given in my article [C96].) The simplest functional, that is the time-dependent local density approximation (TDLDA), already often gives excellent results for lower excitation energies [JCS95, CJC+98]. However, we have demonstrated that the use of a functional whose exchange-correlation potential, vxc, has the correct (-1/r) asymptotic behavior is critical for the calculation of higher energy excitations [CJC+98]. In subsequent work [CCS98, CS00] we introduced an asymptotic correction (AC) to compensate for the fact that neither the LDA nor generalized gradient approximations (GGA's) possess the derivative discontinuity with respect to particle number which is characteristic of the exact functional [C99]. This AC leads to improvements in the higher excitation energies, and a similar correction has now been adopted by Tozer and Handy. The resulting ability to handle both valence and Rydberg states, and to describe their mixing, has permitted us to report the first avoided crossing due to nontrivial configuration mixing calculated by a first-principles DFT method [CCS98].

I continue to work on improving and applying TDDFT to problems in chemistry.

MODELING ELECTRON MOMENTUM SPECTROSCOPY TRIPLE-DIFFERENTIAL CROSS-SECTIONS

Electron momentum spectroscopy (EMS) is an (e,2e) scattering method which uses energy conservation to obtain ionization potentials and momentum conservation to measure, to a good approximation, the spherically-averaged momentum distribution of the Dyson orbital from which the electron was ionized. As the experimental resolution of EMS has improved, the spectroscopists have become eager to apply EMS to larger molecules. However, accurate calculations are required for interpreting the measured spectra. The cost of calculations using traditional ab initio methods mounts rapidly with the size of the molecule, especially since extended basis sets are required for calculating EMS cross-sections. Although the idea of using density-functional theory (DFT) for this purpose, by taking Kohn-Sham orbitals to approximate Dyson amplitudes, was heretical, my work on the optimized effective potential model showed that this idea has a rigorous meaning and is well-founded. I used a Klein-Luttinger-Ward-like energy expresssion, which is a functional of the Green function, to generalize the optimized effective potential model of the exact exchange potential in DFT to include correlation [C95a]. This made a contribution to the fundamental problem of interpreting the exchange-correlation potential, vxc, in DFT by showing that vxc is the best (in a certain variational sense) local approximation to the exchange-correlation self-energy in Dyson's quasiparticle equation. This suggested that, at least for outer valence orbitals, the Kohn-Sham orbitals might be used to approximate Dyson amplitudes. This laid the foundations for our highly successful pioneering application of DFT to calculate EMS triple differential cross-sections [DCCS94]. The ability to use DFT for this purpose has proven to be of considerable practical value for experimental EMS [see e.g. Y. Zheng, J.J. Neville, and C.E. Brion, Science 270, 786 (1995).]

SIMPLE GREEN FUNCTION SELF-ENERGY APPROXIMATIONS

The one-electron Green function method provides a rigorous description of ionization, electron attachment, and electron scattering processes via Dyson's quasiparticle equation. Many-body effects are included in this equation via the self-energy operator. Although sophisticated, accurate approaches to the self-energy are known, these are quite computationally demanding. Physically-motivated, simpler approximations to the self-energy are useful, both for treating larger systems and for interpretation. Little had been done to develop simple self-energy approximations that are appropriate for molecules. Hedin's GW approximation (and variants thereon) has long been used in conjunction with density-functional theory (DFT) as a state-of-the-art method for solid-state band-structure calculations but it had never been tested in the realm of quantum chemistry. Its application to chemical problems was potentially attractive since molecular Green function (GF) methods, are significantly more computationally demanding. As a first step toward the adaptation of the GW method to molecular calculations, (which were usually based on a Hartree--Fock reference state) I implemented a second-order post-Hartree-Fock treatment, and reported the first GW-type calculations on molecules [CC89c CC91b]. These were second-order (i.e. GW2) calculations because the polarization propagator was only treated at the level of the independent particle approximation, but showed that the GW2 approximation gives ionization potentials comparable in quality to the usual second-order Green function (GF2) approximation, as long as care is taken to remove unphysical self-polarization effects in the GW2 calculation. (Although negligible in solids, these effects can result in a significant error in molecules.) This indicates that the nature of the approximations used by no means restricts the GW approximation to solids, but that it is a viable approach in the molecular realm. Although it is well-known that GF results are not particularly good at second order, my comparison of GW2 with GF2 suggests that a (self-polarization corrected) full GW calculation (i.e. using a time-dependent DFT or Hartree-Fock polarization propagator), would offer dramatically improved results while yielding significant computational advantages. In publication [HCC97] we have used the fact that the GW2 approximation already gives qualitatively correct results in order to introduce a semi-empirical scale factor leading to a GF method which is simultaneously quantitative and simple.

Should you encounter difficulties with these web pages, please contact me at Mark.Casida@UMontreal.CA.

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