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arXiv:1901.01321 · Physical Review Letters

Diverging Exchange Force and Form of the Exact Density Matrix Functional

Christian Schilling, R. Schilling

Published Jan 4, 2019• 58 citations
arXivHTMLPDF

Abstract

For translationally invariant one-band lattice models, we exploit the ab initio knowledge of the natural orbitals to simplify reduced density matrix functional theory (RDMFT). Striking underlying features are discovered. First, within each symmetry sector, the interaction functional $\mathcal{F}$ depends only on the natural occupation numbers $\mathbit{n}$. The respective sets ${\mathcal{P}}_{N}^{1}$ and ${\mathcal{E}}_{N}^{1}$ of pure and ensemble $N$-representable one-matrices coincide. Second, and most importantly, the exact functional is strongly shaped by the geometry of the polytope ${\mathcal{E}}_{N}^{1}\ensuremath{\equiv}{\mathcal{P}}_{N}^{1}$, described by linear constraints ${D}^{(j)}(\mathbit{n})\ensuremath{\ge}0$. For smaller systems, it follows as $\mathcal{F}[\mathbit{n}]=\ensuremath{\sum}_{i,{i}^{\ensuremath{'}}}{\overline{V}}_{i,{i}^{\ensuremath{'}}}\sqrt{{D}^{(i)}(\mathbit{n}){D}^{({i}^{\ensuremath{'}})}(\mathbit{n})}$. This generalizes to systems of arbitrary size by replacing each ${D}^{(i)}$ by a linear combination of ${{D}^{(j)}(\mathbit{n})}$ and adding a nonanalytical term involving the interaction $\stackrel{^}{V}$. Third, the gradient $d\mathcal{F}/d\mathbit{n}$ is shown to diverge on the boundary $\ensuremath{\partial}{\mathcal{E}}_{N}^{1}$, suggesting that the fermionic exchange symmetry manifests itself within RDMFT in the form of an ``exchange force.'' All findings hold for systems with a nonfixed particle number as well and $\stackrel{^}{V}$ can be any $p$-particle interaction. As an illustration, we derive the exact functional for the Hubbard square.

DOI
10.1103/physrevlett.122.013001

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To advance the foundation of one-particle reduced density matrix functional theory (1RDMFT), we refine and relate some of its fundamental features and underlying concepts. We define by concise means the scope of a 1RDMFT, identify its possible natural variables, and explain how symmetries could be exploited. In particular, for systems with time-reversal symmetry, we explain why there exist six equivalent universal functionals, prove concise relations among them, and conclude that the important notion of v-representability is relative to the scope and choice of variable. All these fundamental concepts are then comprehensively discussed and illustrated for the Hubbard dimer and its generalization to arbitrary pair interactions W. For this, we derive by analytical means the pure and ensemble functionals with respect to both the real- and complex-valued Hilbert space. The comparison of various functionals allows us to solve the underlying v-representability problems analytically, and the dependence of its solution on the pair interaction is demonstrated. Intriguingly, the gradient of each universal functional is found to always diverge repulsively on the boundary of the domain. In that sense, this key finding emphasizes the universal character of the fermionic exchange force, recently discovered and proven in the context of translationally invariant one-band lattice models.
Density functional theory (DFT) is an indispensable ab initio method in both quantum chemistry and condensed matter physics. Based on recent advancements in reduced density matrix functional theory (RDMFT), a variant of DFT that is believed to be better suited for strongly correlated systems, we construct a mathematical framework generalizing all ground state functional theories, which in particular applies to fermionic, bosonic, and spin systems. Within the special class of such functional theories where the space of external potentials forms the Lie algebra of a compact Lie group, the NNN-representability problem is readily solved by applying techniques from the study of momentum maps in symplectic geometry, an approach complementary to Klyachko's famous solution to the quantum marginal problem. The ``boundary force'', a diverging repulsive force from the boundary of the functional's domain observed in previous works but only qualitatively understood in isolated systems, is studied quantitatively and extensively in our work. Specifically, we present a formula capturing the exact behavior of the functional close to the boundary. In the case where the Lie algebra is abelian, a completely rigorous proof of the boundary force formula based on Levy-Lieb constrained search is given. Our formula is a first step towards developing more accurate functional approximations, with the potential of improving current RDMFT approximate functionals such as the Piris natural orbital functionals (NOFs). All key concepts and ideas of our work are demonstrated in translation invariant bosonic lattice systems.
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.
A crucial theorem in Reduced Density Matrix Functional Theory (RDMFT) suggests that the universal pure and ensemble functionals coincide on their common domain of pure N-representable one-matrices. We refute this by a comprehensive analysis of the geometric picture underlying Levy’s constrained search. Moreover, we then show that the ensemble functional follows instead as the lower convex envelop of the pure functional. It is particularly remarkable that the pure functional determines the ensemble functional even outside its own domain of pure N-representable one-matrices. From a general perspective, this demonstrates that relaxing pure RDMFT to ensemble RDMFT does not necessarily circumvent the complexity of the one-body pure N-representability conditions (generalized Pauli constraints). Instead, the complexity may simply be transferred from the underlying space of pure N-representable one-matrices to the structure of the universal one-matrix functional.
In Phys. Rev. Lett . 2021, 127, 023001 a reduced density matrix functional theory (RDMFT) was proposed for calculating energies of selected eigenstates of interacting many-Fermion systems. Here, we develop a solid foundation for this so-called w -RDMFT and present the details of various derivations. First, we explain how a generalization of the Ritz variational principle to ensemble states with fixed weights w in combination with the constrained search would lead to a universal functional of the one-particle reduced density matrix. To turn this into a viable functional theory, however, we also need to implement an exact convex relaxation. This general procedure includes Valone’s pioneering work on ground state RDMFT as the special case w = (1,0, ···). Then, we work out in a comprehensive manner a methodology for deriving a compact description of the functional’s domain. This leads to a hierarchy of generalized exclusion principle constraints which we illustrate in great detail. By anticipating their future pivotal role in functional theories and to keep our work self-contained, several required concepts from convex analysis are introduced and discussed.
In many of the approximate functionals in one-body reduced density matrix (1RDM) functional theory, the approximate two-body reduced density matrix (2RDM) in the natural orbital representation only depends on the natural occupation numbers. In Phys. Rev. A 92, 012520 (2015) Wang and Knowles initialised the discussion to which extend this simplification is valid, by introducing two different H4_44​ geometries with identical natural occupation numbers, but different 2RDMs. Gritsenko has argued that this feature is due symmetry dependence of the exact functional [Phys. Rev. A 97, 026501 (2018)]. This work aims to contribute to the discussion on the following points: 1) the feature that the exact functional can yield different 2RDMs for the same set of natural occupations can be explained without symmetry, so is more general; 2) the exact functional is not symmetry dependent, though it is possible to define symmetry-restricted variants of the exact functionals; 3) symmetry-restricted functionals are derived for the H4_44​ geometries considered by Wang and Knowles, which can serve as guide in the construction of approximate 1RDM functionals.