Optical Spectroscopy
This is a short tutorial on how to run linear-response time-dependent density functional theory (LR-TDDFT) computations for absorption and emission spectroscopy. The TDDFT module enables a description of excitation energies and excited-state computations within the Tamm-Dancoff approximation (TDA) featuring GGA and hybrid functionals as well as semi-empirical simplified TDA kernels. The details of the implementation can be found in Strand2019 and in Hehn2022 for corresponding excited-state gradients. Note that the current module is based on an earlier TDDFT implementation Iannuzzi2005. Please cite these papers if you were to use the TDDFT module for the computation of excitation energies (Strand2019, Iannuzzi2005) or excited-state gradients (Hehn2022).
Brief theory recap
The implementation in CP2K is based on the Tamm-Dancoff approximation (TDA), which describes each excited state \(p\) with the excitation energy \(\Omega^p\) and the corresponding excited-state eigenvectors \(\mathbf{X}^p\) as an Hermitian eigenvalue problem
The Hermitian matrix \(\mathbf{A}\) contains as zeroth-order contributions the difference in the Kohn-Sham (KS) orbital energies \(\mathbf{F}\), and to first order kernel contributions \(\mathbf{K}\) which comprise –depending on the chosen density functional approximation – Coulomb \(\mathbf{J}\) and exact exchange \(\mathbf{K}^{\rm{\tiny{EX}}}\) contributions as well as contributions due to the exchange-correlation (XC) potential \(\mathbf{V}^{\rm{\tiny{XC}}}\) and kernel \(\mathbf{f}^{\rm{\tiny{XC}}}\),
\(\mathbf{S}\) denotes the atomic-orbital overlap matrix, \(\mathbf{C}\) the occupied ground-state KS orbitals and \(\mathbf{D}\) and \(\mathbf{D}^{\rm{\tiny{X}}}\) ground-state and response density matrices,
Within the current implementation, symmetrization and orthogonalization of the response density matrix is ensured at each step of the Davidson algorithm. The current implementation features to approximate the exact exchange contribution of hybrid functionals using the auxiliary density matrix method (ADMM). Furthermore, the standard kernel can be approximated using the semi-empirical simplified Tamm-Dancoff approximation (sTDA), neglecting in this case XC contributions and approximating both Coulomb and exchange contributions \(\mathbf{J}\) and \(\mathbf{K}\) using semi-empirical operators \(\boldsymbol{\gamma}^{\rm{\tiny{J}}}\) and \(\boldsymbol{\gamma}^{\rm{\tiny{K}}}\) depending on the interatomic distance \(R_{AB}\) of atoms \(A\) and \(B\),
that depend on the chemical hardness \(\eta\), the Fock-exchange mixing parameter \(a_{\rm{\tiny{EX}}}\) and powers of \(\alpha\) and \(\beta\) for either Coulomb and exchange interactions.
Within the current implementation, oscillator strengths can be calculated for molecular systems in the length form and for periodic systems using the velocity form (see Strand2019).
Based on the TDA eigenvalue problem, excited-state gradients can be formulated based on a variational Lagrangian for each excited state \(p\),
introducing Lagrange multipliers \(\bar{\mathbf{W}}^{\rm{\tiny{X}}}\), \(\bar{\mathbf{W}}^{\rm{\tiny{C}}}\), and \(\bar{\mathbf{Z}}\) to ensure stationarity of the corresponding ground-state (GS) equations and to account for the geometric dependence of the Gaussian orbitals and thus requiring to solve the Z vector equation iteratively.
The LR-TDDFT input section
To compute absorption spectra, parameters defining the LR-TDDFT computation have to be specified in
the TDDFPT subsection. Furthermore,
RUN_TYPE has to be set to ENERGY
and the underlying KS ground-state
reference has to be specified in the DFT section.
The most important keywords and subsections of TDDFPT are:
KERNEL: option for the kernel matrix \(\mathbf{K}\) to choose between the full kernel for GGA or hybrid functionals and the simplified TDA kernel
NSTATES: number of excitation energies to be computed
CONVERGENCE: threshold for the convergence of the Davidson algorithm
RKS_TRIPLETS: option to switch from the default computation of singlet excitation energies to triplet excitation energies
RESTART: the keyword enables the restart of the TDDFPT computation if a corresponding restart file (.tdwfn) exists
WFN_RESTART_FILE_NAME: for a restart of the TDDFPT computation, the name of the restart file has to be specified using this keyword
To compute excited-state gradients and thus corresponding fluorescence spectra, the excited state to
be optimized furthermore has to be specified by adding the subsection EXCITED_STATES
of the
section DFT
.
Simple examples
Excitation energies for acetone
The following input is a standard input for calculating excitation energies with the hybrid
functional PBE0. It should be noted that it is possible to compute the exact exchange integrals for
hybrid functionals analytically at however high computational costs. It is therefore recommended to
use the Auxiliary Density Matrix Method (ADMM) Guidon2010 to approximate the exact exchange
contribution. For GGAs, the corresponding ADMM sections are not required and it is sufficient to
specify the chosen functional in the subsection &XC_FUNCTIONAL
of the &XC
section.
&GLOBAL
PROJECT S20Acetone
RUN_TYPE ENERGY
PREFERRED_DIAG_LIBRARY SL
PRINT_LEVEL medium
&END GLOBAL
&FORCE_EVAL
METHOD Quickstep
&PROPERTIES
&TDDFPT ! input section for TDDFPT
KERNEL FULL ! specification of the underlying kernel matrix K
! FULL kernel is for GGA and hybrid functional computations
! sTDA kernel is referring to a semi-empirical sTDA computation
NSTATES 10 ! specifies the number of excited states to be computed
MAX_ITER 100 ! number of iterations for the Davidson algorithm
CONVERGENCE [eV] 1.0e-7 ! convergence threshold in eV
RKS_TRIPLETS F ! Keyword to choose between singlet and triplet excitations
! &XC ! If choosing kernel FULL, the underlying functional can be
! &XC_FUNCTIONAL PBE0 ! specified by adding an XC section
! &END XC_FUNCTIONAL ! The functional can be chosen independently from the chosen
! &END XC ! GS functional except when choosing ADMM
! &MGRID ! It is also possible to choose a separate grid for the real-space
! CUTOFF 800 ! integration of the response density in the TDDFT part,
! REL_CUTOFF 80 ! however, in general a consistent setup for GS and ES is recommended
! &END MGRID
&END TDDFPT
&END PROPERTIES
&DFT
&QS
METHOD GPW
EPS_DEFAULT 1.0E-17
EPS_PGF_ORB 1.0E-20
&END QS
&SCF
SCF_GUESS restart
&OT
PRECONDITIONER FULL_ALL
MINIMIZER DIIS
&END OT
&OUTER_SCF
MAX_SCF 900
EPS_SCF 1.0E-7
&END OUTER_SCF
MAX_SCF 10
EPS_SCF 1.0E-7
&END SCF
POTENTIAL_FILE_NAME POTENTIAL_UZH
BASIS_SET_FILE_NAME BASIS_MOLOPT_UZH
BASIS_SET_FILE_NAME BASIS_ADMM_UZH
&MGRID
CUTOFF 800
REL_CUTOFF 80
&END MGRID
&AUXILIARY_DENSITY_MATRIX_METHOD ! For hybrid functionals, it is recommended to choose ADMM
METHOD BASIS_PROJECTION ! the ADMM environment for ground and excited state has to be
EXCH_SCALING_MODEL NONE ! identical
EXCH_CORRECTION_FUNC NONE ! Triple-zeta auxiliary basis sets are recommended (see below)
ADMM_PURIFICATION_METHOD NONE ! For periodic systems (see below), only specific ADMM options
&END AUXILIARY_DENSITY_MATRIX_METHOD ! are available
&POISSON
PERIODIC NONE
POISSON_SOLVER WAVELET
&END
&XC
&XC_FUNCTIONAL PBE0
&END XC_FUNCTIONAL
&END XC
&END DFT
&SUBSYS
&CELL
ABC [angstrom] 14.0 14.0 14.0
PERIODIC NONE
&END CELL
&COORD
C 0.000000 1.282877 -0.611721
C 0.000000 -1.282877 -0.611721
C 0.000000 0.000000 0.185210
O 0.000000 0.000000 1.392088
H 0.000000 2.133711 0.059851
H -0.876575 1.319344 -1.256757
H 0.876575 1.319344 -1.256757
H 0.000000 -2.133711 0.059851
H 0.876575 -1.319344 -1.256757
H -0.876575 -1.319344 -1.256757
&END COORD
&TOPOLOGY
&CENTER_COORDINATES T
&END
&END
&KIND H
BASIS_SET ORB DZVP-MOLOPT-PBE0-GTH-q1 ! in general it is recommended to use larger basis sets
BASIS_SET AUX_FIT admm-dzp-q1 ! for the primary and auxiliary basis (TZVP/tzp)
POTENTIAL GTH-PBE0-q1
&END KIND
&KIND O
BASIS_SET ORB DZVP-MOLOPT-PBE0-GTH-q6
BASIS_SET AUX_FIT admm-dzp-q6
POTENTIAL GTH-PBE0-q6
&END KIND
&KIND C
BASIS_SET ORB DZVP-MOLOPT-PBE0-GTH-q4
BASIS_SET AUX_FIT admm-dzp-q4
POTENTIAL GTH-PBE0-q4
&END KIND
&END SUBSYS
&END FORCE_EVAL
In the resulting output file, there is a TDDFPT
section reporting the steps of the calculations.
The initial guess is referring to the zeroth-order KS energy differences with the printout also
listing the transition from the corresponding occupied to virtual orbital.
-------------------------------------------------------------------------------
- TDDFPT Initial Guess -
-------------------------------------------------------------------------------
State Occupied -> Virtual Excitation
number orbital orbital energy (eV)
-------------------------------------------------------------------------------
1 12 13 6.63336
2 11 13 9.62185
3 10 13 10.34045
4 9 13 10.78846
5 8 13 11.05691
6 12 14 12.07194
7 7 13 12.42370
8 6 13 12.63557
9 12 15 12.65312
10 5 13 12.68633
After convergence of the iterative Davidson algorithm, CP2K is printing for each of the calculated
excited states the excitation energy in eV, the corresponding transition dipole as well as the
oscillator strength. The form of the dipole transition integrals can be chosen by modifying the
keyword DIPOLE_FORM. Possible
options are BERRY
(valid for fully periodic systems only), LENGTH
(valid for molecular systems
only) and VELOCITY
(both). When referring to the length form, the reference point to calculate
electric dipole moments can be chosen in the subsection by specifying the coordinates of the
reference point
REFERENCE_POINT or by
choosing one of the options COM
(center of mass), COAC
(center of atomic charges),
USER_DEFINED
(user-defined point) and ZERO
(origin of the coordinate system) for the
REFERENCE keyword.
-------------------------------------------------------------------------------
- TDDFPT run converged in 10 iteration(s)
-------------------------------------------------------------------------------
R-TDDFPT states of multiplicity 1
Transition dipoles calculated using velocity formulation
State Excitation Transition dipole (a.u.) Oscillator
number energy (eV) x y z strength (a.u.)
------------------------------------------------------------------------
TDDFPT| 1 4.67815 2.4840E-08 -1.9187E-08 5.9673E-08 5.21038E-16
TDDFPT| 2 8.73074 -8.1610E-09 1.0502E-08 9.1823E-08 1.84132E-15
TDDFPT| 3 9.17033 1.6661E-02 2.4911E-08 -9.2612E-08 6.23670E-05
TDDFPT| 4 9.70094 -2.3716E-09 7.2323E-07 7.0660E-01 1.18663E-01
TDDFPT| 5 9.88658 -3.1922E-08 -4.1476E-01 1.0768E-06 4.16669E-02
TDDFPT| 6 10.78269 3.5483E-08 4.2695E-01 -1.3123E-07 4.81550E-02
TDDFPT| 7 10.82893 2.3885E-01 -3.0329E-08 4.5882E-09 1.51356E-02
TDDFPT| 8 10.92800 -2.4034E-07 -2.4299E-08 5.8160E-08 1.65293E-14
TDDFPT| 9 11.32208 8.3808E-08 -6.8844E-01 1.9166E-07 1.31469E-01
TDDFPT| 10 11.97282 1.2605E-08 1.7029E-08 3.3026E-01 3.19930E-02
A more detailed analysis of the excitations is given subsequently, listing orbital contributions for each transition with the corresponding excitation amplitudes. The keyword MIN_AMPLITUDE regulates the threshold for the smallest amplitude to print.
-------------------------------------------------------------------------------
- Excitation analysis -
-------------------------------------------------------------------------------
State Occupied Virtual Excitation
number orbital orbital amplitude
-------------------------------------------------------------------------------
1 4.67815 eV
12 13 0.998438
2 8.73074 eV
10 13 0.995560
6 13 0.087643
3 9.17033 eV
9 13 0.993356
7 13 0.075589
4 9.70094 eV
11 13 -0.893130
12 16 0.297568
5 13 0.269023
12 28 -0.108047
9 15 0.066145
9 30 -0.050159
Excited-state gradient for acetone
To perform an excited-state optimization for emission spectroscopy, the run type has to be set to
GEO_OPT
and the state to be optimized has to be specified in the
EXCITED_STATES section. Note that the number of excited
states chosen in the TDDFPT section should be larger or at least equal to the number of the chosen
excited state.
&GLOBAL
PROJECT S20Acetone
RUN_TYPE ENERGY_FORCE ! The run type has to be changed to ENERGY_FORCE of GEO_OPT
PREFERRED_DIAG_LIBRARY SL
PRINT_LEVEL medium
&END GLOBAL
&PROPERTIES
&TDDFPT
NSTATES 10
MAX_ITER 100
CONVERGENCE [eV] 1.0e-7
RKS_TRIPLETS F
ADMM_KERNEL_CORRECTION_SYMMETRIC T ! required keyword when using hybrid functionals and ADMM for
&END TDDFPT ! the exact exchange contribution for ES gradients
&END PROPERTIES
...
&DFT
&QS
METHOD GPW
EPS_DEFAULT 1.0E-17
EPS_PGF_ORB 1.0E-20
&END QS
&EXCITED_STATES T
STATE 1 ! the excited state to be optimized has to be specified in this section
&END EXCITED_STATES
&SCF
SCF_GUESS restart
&OT
PRECONDITIONER FULL_ALL
MINIMIZER DIIS
&END OT
&OUTER_SCF
MAX_SCF 900
EPS_SCF 1.0E-7
&END OUTER_SCF
MAX_SCF 10
EPS_SCF 1.0E-7
&END SCF
...
&END DFT
The resulting output file contains for each step of the geometry optimization the already explained output of the TDDFPT computation and additionally information on the excited state that is optimized as well as the iterative solution of the Z vector equations.
!--------------------------- Excited State Energy ----------------------------!
Excitation Energy [Hartree] 0.1719188002
Total Energy [Hartree] -36.3332484083
!-----------------------------------------------------------------------------!
!--------------------------- Excited State Forces ----------------------------!
Iteration Method Restart Stepsize Convergence Time
------------------------------------------------------------------------------
1 PCG F 0.00E+00 0.0231470476 0.02
2 PCG F 0.30E+00 0.0003972862 1.56
3 PCG F 0.60E+00 0.0000361012 3.11
4 PCG F 0.62E+00 0.0000031865 4.65
5 PCG F 0.63E+00 0.0000002183 6.19
6 PCG F 0.73E+00 0.0000000147 7.73
7 PCG F 0.70E+00 0.0000000014 9.27
8 PCG F 0.72E+00 0.0000000001 10.82
9 PCG F 0.71E+00 0.0000000000 12.35
!-----------------------------------------------------------------------------!
ENERGY| Total FORCE_EVAL ( QS ) energy [a.u.]: -36.333248408276823
-------------------------------------------------------------------------------
Choosing a semi-empirical kernel
To speed up computation times for broad-band absorption spectra, a semi-empirical simplified
Tamm-Dancoff (sTDA) kernel can be chosen by setting
KERNEL to sTDA
. The semi-empirical electron
repulsion operators depend on several empirical parameters, which need to be adjusted depending on
the system under investigation. Most importantly, the amount of exact exchange, scaled by adjusting
the parameter \(a_{\rm{\tiny{EX}}}\) needs to be chosen carefully and is really crucial to ensure a
well-balanced treatment of exact exchange in the GS and ES potential energy surfaces. Too large
fractions of exchange in the excited state can lead to negative excitation energies. In general, a
relatively small amount of exchange \(a_{\rm{\tiny{EX}}}=0.2 / 0.1\) is therefore recommended.
For details on the STDA method see also https://github.com/grimme-lab/stda.
The most important keywords of the subsection sTDA are:
FRACTION: fraction of exact exchange \(a_{\rm{\tiny{EX}}}\)
MATAGA_NISHIMOTO_CEXP: keyword to modify the parameter \(\alpha\) of \(\gamma^{\rm{\tiny{J}}}\)
MATAGA_NISHIMOTO_XEXP: keyword to modify the parameter \(\beta\) of \(\gamma^{\rm{\tiny{K}}}\)
DO_EWALD: keyword to switch on Ewald summation for the Coulomb contributions, required when treating periodic systems. (Exact exchange is treated within the minimum image convention and does not require any adjustment.)
&PROPERTIES
&TDDFPT
KERNEL sTDA ! switches on the semi-empirical kernel sTDA
&sTDA
FRACTION 0.2 ! it is crucial to adjust the fraction of exact exchange
&END sTDA
NSTATES 10
MAX_ITER 100
CONVERGENCE [eV] 1.0e-7
RKS_TRIPLETS F
&END TDDFPT
&END PROPERTIES
In the output, it can be checked that the sTDA kernel was switched on and the correct parameters for \(\alpha\), \(\beta\) and \(a_{\rm{\tiny{EX}}}\) were chosen:
sTDA| HFX Fraction 0.2000
sTDA| Mataga-Nishimoto exponent (C) 1.5160
sTDA| Mataga-Nishimoto exponent (X) 0.5660
sTDA| TD matrix filter 0.10000000E-09
-------------------------------------------------------------------------------
- sTDA Kernel: Create Matrix SQRT(S) -
-------------------------------------------------------------------------------
The subsequent printout is then identical to the printout for GGA and hybrid functional kernels:
R-TDDFPT states of multiplicity 1
Transition dipoles calculated using velocity formulation
State Excitation Transition dipole (a.u.) Oscillator
number energy (eV) x y z strength (a.u.)
------------------------------------------------------------------------
TDDFPT| 1 4.88982 8.2927E-09 8.6085E-09 -2.2495E-08 7.77366E-17
TDDFPT| 2 9.05888 4.5649E-09 -4.9483E-09 -8.2739E-08 1.52940E-15
TDDFPT| 3 9.23700 1.4100E-02 -1.2802E-08 3.2962E-08 4.49914E-05
TDDFPT| 4 9.52129 1.1297E-08 -4.7865E-08 8.3174E-01 1.61372E-01
TDDFPT| 5 10.01790 -9.4987E-09 -4.8324E-01 -5.0387E-08 5.73140E-02
TDDFPT| 6 10.86728 -1.6175E-08 -3.6799E-01 -7.5353E-09 3.60529E-02
TDDFPT| 7 10.97656 -3.7898E-01 -1.0287E-08 -3.3941E-09 3.86231E-02
TDDFPT| 8 11.21831 4.5569E-08 -4.2529E-09 1.9115E-08 6.76117E-16
TDDFPT| 9 11.40817 2.7777E-08 -6.8033E-01 -3.7411E-08 1.29362E-01
TDDFPT| 10 11.82525 -1.2576E-09 1.3562E-08 3.8592E-01 4.31486E-02
It should be noted that it is possible to combine sTDA with the semi-empirical ground-state reference GFN1-xTB. However, it is then recommended to adjust all parameters Grimme2016 and to apply corrections to shift the virtual KS orbital eigenvalues. A shift can be applied by adding the keyword EV_SHIFT (for open-shell systems EOS_SHIFT).
Periodic systems
Adjustments are required when switching to periodic boundary conditions. As already mentioned above,
oscillator strengths should be calculated using the BERRY
or VELOCITY
formulation. When choosing
the sTDA
kernel, DO_EWALD has to be
switched to true to activate Ewald summation for Coulomb contributions. When computing ES gradients
using KERNEL FULL
in combination with hybrid
functionals and ADMM, only the ADMM2 method relying on basis projection is implemented in
combination with the default for the exchange functional for the first-order GGA correction term.
&AUXILIARY_DENSITY_MATRIX_METHOD
METHOD BASIS_PROJECTION
ADMM_PURIFICATION_METHOD NONE
EXCH_SCALING_MODEL NONE
EXCH_CORRECTION_FUNC PBEX
&END
Natural transition orbitals
Natural transition orbitals (NTOs) are printed when choosing PRINT_LEVEL medium
in the GLOBAL
section or when enabling the
NTO_ANALYSIS section. For this
purpose it is required to generate unoccupied orbitals and the keyword
LUMO enables to adjust the number of unoccupied
orbitals. It is possible to print the NTOs as CUBE_FILES
or in Molden format, with the latter
being activated with the keyword
MOS_MOLDEN.