Ensemble Density-Functional Perturbation Theory: Spatial Dispersion in Metals

Abstract

We present a first-principles methodology, within the context of linear-response theory, that greatly facilitates the perturbative study of physical properties of metallic crystals. Our approach builds on ensemble density-functional theory [Phys. Rev. Lett. 79, 1337 (1997)] to write the adiabatic second-order energy as an unconstrained variational functional of both the wave functions and their occupancies. Thereby, it enables the application of standard tools of density-functional perturbation theory (most notably, the "$2n+1$" theorem) in metals, opening the way to an efficient and accurate calculation of their nonlinear and spatially dispersive responses. We apply our methodology to phonons and strain gradients and demonstrate the accuracy of our implementation by computing the spatial dispersion coefficients of zone-center optical phonons and the flexoelectric force-response tensor of selected metal structures.