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arXiv:1501.02461 · Communications in Mathematical Sciences

Pure-state $N$-representability in current-spin-density functional theory

David Gontier

Published Jan 1, 2016• 2 citations
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Abstract

This paper is concerned with the pure-state $N$-representability problem for systems under a magnetic field. Necessary and sufficient conditions are given for a spin-density $2 \times 2$ matrix $R$ to be representable by a Slater determinant. We also provide sufficient conditions on the paramagnetic current $\mathbb{j}$ for the pair $(R, \mathbb{j})$ to be Slater-representable in the case where the number of electrons $N$ is greater than 12. The case $N < 12$ is left open.

DOI
10.4310/cms.2016.v14.n4.a6

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Pure-state NNN-representability in current-spin-density functional theory
This paper is concerned with the pure-state NNN-representability problem for systems under a magnetic field. Necessary and sufficient conditions are given for a spin-density 2×22 \times 22×2 matrix RRR to be representable by a Slater determinant. We also provide sufficient conditions on the paramagnetic current j\mathbb{j}j for the pair (R,j)(R, \mathbb{j})(R,j) to be Slater-representable in the case where the number of electrons NNN is greater than 12. The case N<12N < 12N<12 is left open.
The N-representability problem for noncollinear spin-polarized densities was left open in the pioneering work of von Barth and Hedin [J. Phys. C 5, 1629 (1972)] setting up the Kohn-Sham density-functional theory for magnetic compounds. In this Letter, we demonstrate that, contrarily to the nonpolarized case, the sets of pure and mixed state N-representable densities are different in general. We provide a simple characterization of the latter by means of easily checkable necessary and sufficient conditions on the components ρ(αβ)(r) of the spin-polarized density.
The NNN-representability problem is the problem of determining whether there exists NNN-particle states with some prescribed property. Here we report an affirmative solution to the fermion NNN-representability problem when both the density and the paramagnetic current density are prescribed. This problem arises in current-density functional theory and is a generalization of the well-studied corresponding problem (only the density prescribed) in density functional theory. Given any density and paramagnetic current density satisfying a minimal regularity condition (essentially that a von Weiz\"acker--like canonical kinetic energy density is locally integrable), we prove that there exists a corresponding NNN-particle state. We prove this by constructing an explicit one-particle reduced density matrix in the form of a position-space kernel, i.e., a function of two continuous-position variables. In order to make minimal assumptions, we also address mathematical subtleties regarding the diagonal of, and how to rigorously extract paramagnetic current densities from, one-particle reduced density matrices in kernel form.
For a quantum-mechanical system of NNN identical fermions, the NNN-representability problem is the problem of recognizing whether, for a given pth-order reduced density matrix ${\ensuremath{\Gamma}}^{(p)}(12\ensuremath{\cdots}p|{1}^{\ensuremath{'}}{2}^{\ensuremath{'}}\ensuremath{\cdots}{p}^{\ensuremath{'}})$, there exists an antisymmetric NNN-particle wave function $\ensuremath{\Psi}(12\ensuremath{\cdots}N)$ such that ${\ensuremath{\Gamma}}^{(p)}(12\ensuremath{\cdots}p|{1}^{\ensuremath{'}}{2}^{\ensuremath{'}}\ensuremath{\cdots}{p}^{\ensuremath{'}})=({N}{p})\ensuremath{\int}\ensuremath{\Psi}(12\ensuremath{\cdots}N)\ifmmode\times\else\texttimes\fi{}{\ensuremath{\Psi}}^{*}({1}^{\ensuremath{'}}{2}^{\ensuremath{'}}\ensuremath{\cdots}{p}^{\ensuremath{'}},p+1\ensuremath{\cdots}N){d}_{{\ensuremath{\tau}}_{p+1}}\ensuremath{\cdots}{d}_{{\ensuremath{\tau}}_{N}}$. It is shown that if the Hamiltonian of a system is time-reversal invariant, and the number of particles, NNN, is even, the necessary and sufficient condition that an approximate first-order density matrix corresponding to a nondegenerate energy eigenstate be NNN-representable is that its natural spin-orbital occupation numbers be equal in pairs.
The NNN-representability problem for the first- and second-order density matrices is considered when NNN is an odd integer. Attention is restricted to those density matrices derivable from functions whose natural spin orbitals have certain paired properties. Neither pairing of spatial orbitals nor special spin properties are required in general, but they are discussed as special cases. New sufficient conditions for NNN-representability of the first-order density matrix are given. The second-order density matrix is studied in detail. Special cases in which the NNN-representability problem for the second-order density matrix can be solved are considered.
Density-Functional Theory (DFT), although widely used and very successful in the calculation of several observables, fails to correctly describe strongly correlated materials. In the first part of this work we, therefore, introduce reduced-density-matrix-functional theory (RDMFT) which is one possible way to treat electron correlation beyond DFT. Within this theory the one-body reduced density matrix (1-RDM) is used as the basic variable. Our main interest is the calculation of the fundamental gap which proves very problematic within DFT. In order to calculate the fundamental gap we generalize RDMFT to fractional particle numbers M by describing the system as an ensemble of an N and an N+1 particle system (with N≤ M≤N+1). For each fixed particle number, M, the total energy is minimized with respect to the natural orbitals and their occupation numbers. This leads to the total energy as a function of M. The derivative of this function with respect to the particle number has a discontinuity at integer particle number which is identical to the gap. In addition, we investigate the necessary and sufficient conditions for the 1-RDM of a system with fractional particle number to be N-representable. Numerical results are presented for alkali atoms, small molecules, and periodic systems. Another problem within DFT is the description of non-relativistic many- electron systems in the presence of magnetic fields. It requires the paramagnetic current density and the spin magnetization to be used as basic variables besides the electron density. However, electron-gas-based functionals of current-spin-density-functional Theory (CSDFT) exhibit derivative discontinuities as a function of the magnetic field whenever a new Landau level is occupied, which makes them difficult to use in practice. Since the appearance of Landau levels is, intrinsically, an orbital effect it is appealing to use orbital-dependent functionals. We have developed a CSDFT version of the optimized effective potential (OEP) method which allows for the use of explicitly orbital-dependent functionals in the context of CSDFT. We present the derivation of corresponding equations and show results for a quantum dot in external magnetic fields in the second part of this thesis.
We establish necessary and sufficient conditions for the N-representability of the universal one-electron reduced density matrix functional. Functionals satisfying these conditions are guaranteed to yield variational upper bounds on the true energy in one-electron reduced density matrix functional theory, regardless of the strength of the interparticle repulsion. Conversely, any functional violating these conditions will necessarily underestimate the true energy for certain systems. These exact constraints impose a stringent restriction on density matrix functional approximations, as many existing functionals-including the Hartree-Fock functional-appear to violate them. This mathematical formalism, therefore, can guide the development of new approximate functionals and numerical algorithms.