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arXiv:1306.4142 · The Journal of Chemical Physics

Natural occupation numbers: When do they vanish?

Klaas J. H. Giesbertz, Robert van Leeuwen

Published Sep 12, 2013• 48 citations
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Abstract

The non-vanishing of the natural orbital (NO) occupation numbers of the one-particle density matrix of many-body systems has important consequences for the existence of a density matrix-potential mapping for nonlocal potentials in reduced density matrix functional theory and for the validity of the extended Koopmans' theorem. On the basis of Weyl's theorem we give a connection between the differentiability properties of the ground state wavefunction and the rate at which the natural occupations approach zero when ordered as a descending series. We show, in particular, that the presence of a Coulomb cusp in the wavefunction leads, in general, to a power law decay of the natural occupations, whereas infinitely differentiable wavefunctions typically have natural occupations that decay exponentially. We analyze for a number of explicit examples of two-particle systems that in case the wavefunction is non-analytic at its spatial diagonal (for instance, due to the presence of a Coulomb cusp) the natural orbital occupations are non-vanishing. We further derive a more general criterium for the non-vanishing of NO occupations for two-particle wavefunctions with a certain separability structure. On the basis of this criterium we show that for a two-particle system of harmonically confined electrons with a Coulombic interaction (the so-called Hookium) the natural orbital occupations never vanish.

DOI
10.1063/1.4820419

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The non-vanishing of the natural orbital (NO) occupation numbers of the one-particle density matrix of many-body systems has important consequences for the existence of a density matrix-potential mapping for nonlocal potentials in reduced density matrix functional theory and for the validity of the extended Koopmans' theorem. On the basis of Weyl's theorem we give a connection between the differentiability properties of the ground state wavefunction and the rate at which the natural occupations approach zero when ordered as a descending series. We show, in particular, that the presence of a Coulomb cusp in the wavefunction leads, in general, to a power law decay of the natural occupations, whereas infinitely differentiable wavefunctions typically have natural occupations that decay exponentially. We analyze for a number of explicit examples of two-particle systems that in case the wavefunction is non-analytic at its spatial diagonal (for instance, due to the presence of a Coulomb cusp) the natural orbital occupations are non-vanishing. We further derive a more general criterium for the non-vanishing of NO occupations for two-particle wavefunctions with a certain separability structure. On the basis of this criterium we show that for a two-particle system of harmonically confined electrons with a Coulombic interaction (the so-called Hookium) the natural orbital occupations never vanish.
An explicit expression relating the magnitude of the fifth-order off-diagonal cusp in the real part of the one-electron reduced density matrix to the “on-top” two-electron density is derived in a rigorous manner from the behavior of the underlying electronic wavefunction at the electron–electron coalescence. The implications of the presence of this cusp upon electronic structure calculations of quantum chemistry and solid-state physics, including the limits imposed upon their accuracy, are elucidated. In particular, the power-law decay of the occupation numbers of the natural orbitals is demonstrated for 1S states of systems composed of arbitrary even numbers of electrons. The practical importance of analogous off-diagonal cusps in many-electron reduced density matrices is briefly discussed.
In singlet two-electron systems, the natural occupation numbers of the one-particle reduced density matrix are given as squares of the natural amplitudes which are defined as the expansion coefficients of the two-electron wave function in a natural orbital basis. In this work, we relate the sign of the natural amplitudes to the nature of the two-body interaction. We show that long-range Coulomb-type interactions are responsible for the appearance of positive amplitudes and give both analytical and numerical examples that illustrate how the long-distance structure of the wave function affects these amplitudes. We further demonstrate that the amplitudes show an avoided crossing behavior as function of a parameter in the Hamiltonian and use this feature to show that these amplitudes never become zero, except for special interactions in which infinitely many of them can become zero simultaneously when changing the interaction strength. This mechanism of avoided crossings provides an alternative argument for the non-vanishing of the natural occupation numbers in Coulomb systems.
Density functional theory is currently the most widely applied method in electronic structure theory. The Kohn-Sham method, based on a fictitious system of non-interacting particles, is the work horse of the theory. The particular form of the Kohn-Sham wavefunction admits only idem-potent one electron density matrices whereas wavefunctions of correlated electrons in post-Hartree-Fock methods invariably have fractional occupation numbers. Here we show that by generalizing the orbital concept, and introducing a suitable dot-product as well as a probability density a non-interacting system can be chosen that can represent the one-electron density matrix of any system, even one with fractional occupation numbers. This fictitious system ensures that the exact electron density is accessible within density functional theory. It can also serve as the basis for reduced density matrix functional theory. Moreover, to aid the analysis of the results the orbitals may be assigned energies from a mean-field Hamiltonian. This produces energy levels that are akin to Hartree-Fock orbital energies such that conventional analyses based on Koopmans theorem are available. Finally, this system is convenient in formalisms that depend on creation and annihilation operators as they are trivially applied to single determinant wavefunctions.
Natural orbitals (NOs) are central constituents for evaluating correlation energies through efficient approximations. Here, we report the closed-form expression of the NOs of two-electron quantum rings, which are prototypical finite-extension systems and new starting points for the development of exchange-correlation functionals in density functional theory. We also show that the natural occupation numbers for these two-electron paradigms are in general non-vanishing and follow the same power law decay as atomic and molecular two-electron systems.
It is well known that determining the energy of molecules and other quantum many-body systems reduces in the standard approximation to optimizing a simple linear functional of a 12-variable object, the two-electron reduced density matrix (2-RDM). The difficulty is that the variation ensemble for that functional has never been satisfactorily determined. This is known as the N-representability problem of quantum chemistry (which to a large extent is a problem of quantum information theory). The situation has given rise to competing research programs, typically trading more complicated functionals for simpler representability conditions. Chief among them is density functional theory, based on a three-variable object for which the N-representability is trivial, whereas the exact functional is very strange indeed, and probably forever unknowable. An intermediate position is occupied by 1-RDM functional theory. Postulated by Pauli to explain the electronic structure of atoms and molecules, the exclusion principle establishes an upper bound of 1 for the fermionic natural occupation numbers, accordingly allowing no more than one electron in each quantum state. This is a necessary and sufficient condition for a 1-RDM to be the contraction of an ensemble N-body density matrix. The fermionic one-body quantum marginal problem asks whether given natural occupation numbers can arise from an antisymmetric (ensemble or pure) N-particle state. The configuration interaction method affords optimal descriptions of quantum states of atoms and molecules by expanding the wave function in terms of orbital-based configurations of Slater determinants. For these systems, the dimension of the Hilbert space grows binomially with m, the number of spin-orbitals in the basis of the one-particle Hilbert space, and N, the number of electrons of the system. It has been observed that for the rank-six approximation of a pure-state N=3 system, the occupation numbers satisfy some additional constraints, stronger than the Pauli exclusion principle. The recent analysis by Alexander Klyachko and coworkers of the one-body marginal problem of the pure N-fermion state establishes a systematic approach to this type of constraints. In fact, for a pure quantum system of N electrons arranged in m spin-orbitals the occupation numbers satisfy a set of linear inequalities, known as generalized Pauli constraints (GPC). These inequalities define a convex polytope of allowed states in R^m. They are conditions for a 1-RDM to be the contraction of a N-body state. When one of the GPC is completely saturated, the system is said to be pinned, and it lies on one of the facets of the polytope. The nature of those conditions has been explored till now only in a few systems: a model of three spinless fermions confined to a one-dimensional harmonic potential, the lithium isoelectronic series and ground and excited states of some three- and four-electron molecules for the rank being at least twice the number of electrons. For all these systems the inequalities are (quite often) nearly saturated. This is the so-called quasipinning phenomenon. In this PhD thesis we have taken up the challenge of using numerical and analytical methods to examine pinned and quasipinned states, for atoms and molecules, starting from scratch with configuration-interaction and multiconfiguration self-consistent methods. This procedure serves to study the occurrence of quasipinning in realistic systems. A second goal is to show how the subsets of pinned states defined by GPC give rise to the most efficient approach from a computational viewpoint, yielding the leading order of the electron-electron correlations. As a consequence, we underline in this thesis the theoretical and practical importance of Klyachko's approach to the quantum marginal problem and its impact on the competing research programs to determine feasible electronic densities, 1-RDM, 2-RDM, intracular distributions or Wigner density quasiprobabilities. In relation with the above, our research provides a new variational optimization method for few-fermion ground states. We quantitatively confirm its high accuracy for quasipinned systems and derive an upper bound on the error of the correlation energy given by the ratio of the numerical value of the Klyachko inequality and the distance to the Hartree-Fock point. Depending on the details of the algorithm, we are able to reach 98%-99% of the correlation energy for such systems.
For a quantum system of NNN identical, harmonically interacting particles in a one-dimensional harmonic trap we calculate for the bosonic and fermionic ground state the corresponding one-particle reduced density operator ${\stackrel{\ifmmode \hat{}\else \^{}\fi{}}{\ensuremath{\rho}}}_{1}$ analytically. In case of bosons ${\stackrel{\ifmmode \hat{}\else \^{}\fi{}}{\ensuremath{\rho}}}_{1}$ is a Gibbs state for an effective harmonic oscillator. Hence the natural orbitals are Hermite functions and their occupation numbers obey a Boltzmann distribution. Intriguingly, for fermions with not too large couplings the natural orbitals coincide up to just a small error with the bosonic ones. In case of strong coupling this still holds qualitatively. Moreover, the decay of the decreasingly ordered fermionic natural occupation numbers is given by the bosonic one, but modified by an algebraic prefactor. Significant differences to bosons occur only for the largest occupation numbers. After all, the ``gap'' at the ``Fermi level'' decreases with increasing coupling strength but remains well pronounced even for strong interaction.