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arXiv:1909.04927 · Physical Review A

Implications of the unitary invariance and symmetry restrictions on the development of proper approximate one-body reduced-density-matrix functionals

Klaas J. H. Giesbertz

Published Nov 16, 2020• 12 citations
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Abstract

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 initialized a discussion of to what extent this simplification is valid by introducing two different ${\mathrm{H}}_{4}$ geometries with identical natural occupation numbers but different 2RDMs. Gritsenko has argued that this feature is due symmetry [Phys. Rev. A 97, 026501 (2018)]. This work aims to contribute to the discussion on the following points: (1) one should rather speak of symmetry-restricted variants of the universal functional than saying that the universal functional is symmetry dependent; (2) the unitary invariance of degenerate NOs can lead to large deviations in the 2RDM elements, especially the phase of the NOs; (3) symmetry-restricted functionals are constructed for the ${\mathrm{H}}_{4}$ geometries considered by Wang and Knowles, whose structure could serve as guide in the construction of approximate 1RDM functionals.

DOI
10.1103/physreva.102.052814

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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 initialized a discussion of to what extent this simplification is valid by introducing two different H4{\mathrm{H}}_{4}H4​ geometries with identical natural occupation numbers but different 2RDMs. Gritsenko has argued that this feature is due symmetry [Phys. Rev. A 97, 026501 (2018)]. This work aims to contribute to the discussion on the following points: (1) one should rather speak of symmetry-restricted variants of the universal functional than saying that the universal functional is symmetry dependent; (2) the unitary invariance of degenerate NOs can lead to large deviations in the 2RDM elements, especially the phase of the NOs; (3) symmetry-restricted functionals are constructed for the H4{\mathrm{H}}_{4}H4​ geometries considered by Wang and Knowles, whose structure could serve as guide in the construction of approximate 1RDM functionals.
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.
Wang and Knowles (WK) [Phys. Rev. A 92, 012520 (2015)] have given a counterexample to the conventional in reduced density-matrix functional theory representation of the second-order reduced density matrix (2RDM) ${\mathrm{\ensuremath{\Gamma}}}_{ij,kl}$ in the basis of the natural orbitals as a function ${\mathrm{\ensuremath{\Gamma}}}_{ij,kl}(n)$ of the orbital occupation numbers (ONs) ni{n}_{i}ni​. The observed nonuniqueness of ${\mathrm{\ensuremath{\Gamma}}}_{ij,kl}$ for prototype systems of different symmetry has been interpreted as the inherent inability of ON functions to reproduce the 2RDM, due to the insufficient information contained in the 1RDM spectrum. In this Comment, it is argued that, rather than totally invalidating ${\mathrm{\ensuremath{\Gamma}}}_{ij,kl}(n)$, the WK example exposes its symmetry dependence which, as well as the previously established analogous dependence in density functional theory, is demonstrated with a general formulation based on the Levy constrained search.
We report a size-inconsistency problem for several functionals within reduced density matrix functional theory. Being explicit functionals of the natural orbitals and occupation numbers, instead of the one-body reduced density matrix, many of the approximate functionals are not invariant under unitary transformations in the subspace of degenerate occupation numbers. One such transformation mixes the degenerate natural orbitals of identical independent subsystems, delocalizing them. Noninvariance under this transformation results in size inconsistency for some of the approximations while others avoid this pathology by favoring orbital localization.
The adiabatic approximation is problematic in time-dependent density matrix functional theory. With pure density matrix functionals (invariant under phase change of the natural orbitals) it leads to lack of response in the occupation numbers, hence wrong frequency dependent responses, in particular α(ω→0)≠α(0) (the static polarizability). We propose to relinquish the requirement that the functional must be a pure one-body reduced density matrix (1RDM) functional, and to introduce additional variables which can be interpreted as phases of the one-particle states of the independent particle reference system formed with the natural orbitals, thus obtaining so-called phase-including natural orbital (PINO) functionals. We also stress the importance of the correct choice of the complex conjugation in the two-electron integrals in the commonly used functionals (they should not be of exchange type). We demonstrate with the Löwdin-Shull energy expression for two-electron systems, which is an example of a PINO functional, that for two-electron systems exact responses (polarizabilities, excitation energies) are obtained, while writing this energy expression in the usual way as a 1RDM functional yields erroneous responses.
One of the major computational bottlenecks in one-body reduced density matrix (1RDM) functional theory is the evaluation of approximate 1RDM functionals and their derivatives. The reason is that more advanced approximate functionals are almost exclusively defined in the natural orbital basis, so a 4-index transformation of the two-electron integrals appears to be unavoidable. I will show that this is not the case and that so-called separable functionals can be evaluated much more efficiently, i.e. only at cubic cost in the basis size. Since most approximate functionals are actually separable, this new algorithm is an important development to make 1RDM functional theory calculations feasible for large electronic systems.
We consider necessary conditions for the one-body reduced density matrix (1RDM) to correspond to a triplet wave function of a two-electron system. The conditions concern the occupation numbers and are different for the high spin projections, Sz = ±1, and the Sz = 0 projection. Hence, they can be used to test if an approximate 1RDM functional yields the same energies for both projections. We employ these conditions in reduced density matrix functional theory calculations for the triplet excitations of two-electron systems. In addition, we propose that these conditions can be used in the calculation of triplet states of systems with more than two electrons by restricting the active space. We assess this procedure in calculations for a few atomic and molecular systems. We show that the quality of the optimal 1RDMs improves by applying the conditions in all the cases we studied.