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arXiv:1611.08692 · Proceedings of the National Academy of Sciences

A well-scaling natural orbital theory

Ralph Gebauer, Morrel H. Cohen, Roberto Car

Published Nov 1, 2016• 17 citations
arXivHTMLPDF

Abstract

We introduce an energy functional for ground-state electronic structure calculations. Its variables are the natural spin-orbitals of singlet many-body wave functions and their joint occupation probabilities deriving from controlled approximations to the two-particle density matrix that yield algebraic scaling in general, and Hartree-Fock scaling in its seniority-zero version. Results from the latter version for small molecular systems are compared with those of highly accurate quantum-chemical computations. The energies lie above full configuration interaction calculations, close to doubly occupied configuration interaction calculations. Their accuracy is considerably greater than that obtained from current density-functional theory approximations and from current functionals of the one-particle density matrix.

DOI
10.1073/pnas.1615729113

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arXiv:1512.06120•Dec 7, 2015•0 citations
We introduce an energy functional for ground-state electronic structure calculations. Its variables are the natural spin-orbitals of singlet many-body wave functions and their joint occupation probabilities deriving from controlled approximations to the two-particle density matrix that yield algebraic scaling in general, and Hartree-Fock scaling in its seniority-zero version. Results from the latter version for small molecular systems are compared with those of highly accurate quantum-chemical computations. The energies lie above full configuration interaction calculations, close to doubly occupied configuration interaction calculations. Their accuracy is considerably greater than that obtained from current density-functional theory approximations and from current functionals of the one-particle density matrix.
We introduce a novel energy functional for ground-state electronic-structure calculations. Its fundamental variables are the natural spin-orbitals of the implied singlet many-body wave function and their joint occupation probabilities. The functional derives from a sequence of controlled approximations to the two-particle density matrix. Algebraic scaling of computational cost with electron number is obtainable in general, and Hartree-Fock scaling in the seniority-zero version of the theory. Results obtained with the latter version for saturated small molecular systems are compared with those of highly-accurate quantum-chemical computations. The numerical results are variational, capturing most of the correlation energy from equilibrium to dissociation. Their accuracy is considerably greater than that obtainable with current density-functional theory approximations and with current functionals of the one-particle density matrix only.
Selective configuration interaction methods approximate correlated molecular ground- and excited states by considering only the most relevant Slater determinants in the expansion. While a recently proposed neural-network-assisted approach efficiently identifies such determinants, the procedure typically relies on canonical Hartree-Fock orbitals, which are optimized only at the mean-field level. Here we assess approximate natural orbitals - eigenfunctions of the one-particle density matrix computed from intermediate many-body eigenstates - as an alternative. Across our benchmarks for H2_22​O, NH3_33​, CO, and C3_33​H8_88​ we see a consistent reduction in the required determinants for a given accuracy of the computed correlation energy compared to full configuration interaction calculations. Our results confirm that even approximate natural orbitals constitute a simple yet powerful strategy to enhance the efficiency of neural-network-assisted configuration interaction calculations.
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.
Previously unknown properties of the natural orbitals (NOs) pertaining to singlet states (with natural parity, if present) of electronic systems with even numbers of electrons are revealed upon the demonstration that, at the limit of n → ∞, the NO ψ n ( r⃗ ) with the n th largest occupation number ν n approaches the solution ψ̃ n ( r⃗ ) of the zero-energy Schrödinger equation that reads T̂ ([ ρ 2 ( r⃗, r⃗ )] −1/8 ψ̃ n (r⃗)) − (π 2 / ṽ n ) 1/4 [ρ 2 ( r⃗, r⃗ )] 1/4 ([ρ 2 ( r⃗, r⃗ )] −1/8 ψ̃ n (r⃗)) = 0 (where T̂ is the kinetic energy operator), whereas ν n approaches ν̃ n . The resulting formalism, in which the “on-top” two-electron density ρ 2 ( r⃗, r⃗ ) solely controls the asymptotic behavior of both ψ n ( r⃗ ) and ν n at the limit of the latter becoming infinitesimally small, produces surprisingly accurate values of both quantities even for small n . It opens entirely new vistas in the elucidation of their properties, including single-line derivations of the power laws governing the asymptotic decays of ν n and ⟨ψ n ( r⃗ )| T̂ |ψ n ( r⃗ )⟩ with n, some of which have been obtained previously with tedious algebra and arcane mathematical arguments. These laws imply a very unfavorable asymptotics of the truncation error in the total energy computed with finite numbers of natural orbitals that severely affects the accuracy of certain quantum-chemical approaches such as the density matrix functional theory. The new formalism is also shown to provide a complete and accurate elucidation of both the observed order (according to decreasing magnitudes of the respective occupation numbers) and the shapes of the natural orbitals pertaining to the 1 Σ g + ground state of the H 2 molecule. In light of these examples of its versatility, the above Schrödinger equation is expected to have its predictive and interpretive powers harnessed in many facets of the electronic structure theory.
The exact conditions for density functionals and density matrix functionals in terms of fractional charges and fractional spins are known, and their violation in commonly used functionals has been shown to be the root of many major failures in practical applications. However, approximate functionals are designed for physical systems with integer charges and spins, not in terms of the fractional variables. Here we develop a general framework for extending approximate density functionals and many-electron theory to fractional-charge and fractional-spin systems. Our development allows for the fractional extension of any approximate theory that is a functional of G(0), the one-electron Green's function of the non-interacting reference system. The extension to fractional charge and fractional spin systems is based on the ensemble average of the basic variable, G(0). We demonstrate the fractional extension for the following theories: (1) any explicit functional of the one-electron density, such as the local density approximation and generalized gradient approximations; (2) any explicit functional of the one-electron density matrix of the non-interacting reference system, such as the exact exchange functional (or Hartree-Fock theory) and hybrid functionals; (3) many-body perturbation theory; and (4) random-phase approximations. A general rule for such an extension has also been derived through scaling the orbitals and should be useful for functionals where the link to the Green's function is not obvious. The development thus enables the examination of approximate theories against known exact conditions on the fractional variables and the analysis of their failures in chemical and physical applications in terms of violations of exact conditions of the energy functionals. The present work should facilitate the calculation of chemical potentials and fundamental bandgaps with approximate functionals and many-electron theories through the energy derivatives with respect to the fractional charge. It should play an important role in developing accurate approximate density functionals and many-body theory.
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.