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arXiv:2204.12715 · New Journal of Physics

An exact one-particle theory of bosonic excitations: from a generalized Hohenberg–Kohn theorem to convexified N-representability

Julia Liebert, Christian Schilling

Published Jan 1, 2023• 18 citations
arXivHTMLPDF

Abstract

Abstract Motivated by the Penrose–Onsager criterion for Bose–Einstein condensation we propose a functional theory for targeting low-lying excitation energies of bosonic quantum systems through the one-particle picture. For this, we employ an extension of the Rayleigh–Ritz variational principle to ensemble states with spectrum w and prove a corresponding generalization of the Hohenberg–Kohn theorem: the underlying one-particle reduced density matrix determines all properties of systems of N identical particles in their w -ensemble states. Then, to circumvent the v-representability problem common to functional theories, and to deal with energetic degeneracies, we resort to the Levy–Lieb constrained search formalism in combination with an exact convex relaxation. The corresponding bosonic one-body w -ensemble N-representability problem is solved comprehensively. Remarkably, this reveals a complete hierarchy of bosonic exclusion principle constraints in conceptual analogy to Pauli’s exclusion principle for fermions and recently discovered generalizations thereof.

DOI
10.1088/1367-2630/acb006

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The Journal of Chemical Physics•Jan 27, 2006•92 citations
Abstract Motivated by the Penrose–Onsager criterion for Bose–Einstein condensation we propose a functional theory for targeting low-lying excitation energies of bosonic quantum systems through the one-particle picture. For this, we employ an extension of the Rayleigh–Ritz variational principle to ensemble states with spectrum w and prove a corresponding generalization of the Hohenberg–Kohn theorem: the underlying one-particle reduced density matrix determines all properties of systems of N identical particles in their w -ensemble states. Then, to circumvent the v-representability problem common to functional theories, and to deal with energetic degeneracies, we resort to the Levy–Lieb constrained search formalism in combination with an exact convex relaxation. The corresponding bosonic one-body w -ensemble N-representability problem is solved comprehensively. Remarkably, this reveals a complete hierarchy of bosonic exclusion principle constraints in conceptual analogy to Pauli’s exclusion principle for fermions and recently discovered generalizations thereof.
Based on a generalization of Hohenberg-Kohn's theorem, we propose a ground state theory for bosonic quantum systems. Since it involves the one-particle reduced density matrix γ as a variable but still recovers quantum correlations in an exact way it is particularly well suited for the accurate description of Bose-Einstein condensates. As a proof of principle we study the building block of optical lattices. The solution of the underlying v-representability problem is found and its peculiar form identifies the constrained search formalism as the ideal starting point for constructing accurate functional approximations: The exact functionals F[γ] for this N-boson Hubbard dimer and general Bogoliubov-approximated systems are determined. For Bose-Einstein condensates with N_{BEC}≈N condensed bosons, the respective gradient forces are found to diverge, ∇_{γ}F∝1/sqrt[1-N_{BEC}/N], providing a comprehensive explanation for the absence of complete condensation in nature.
Density functional theory constitutes the workhorse of modern electronic structure calculations due to its favourable computational cost despite the fact that it usually fails to describe strongly correlated systems. A particularly promising approach to overcome those difficulties is reduced density matrix functional theory (RDMFT): It abandons the complexity of the NNN-particle wave function and at the same time explicitly allows for fractional occupation numbers. It is the goal of this thesis to initiate and establish a bosonic RDMFT for both ground state and excited state energy calculations. Motivated by the Onsager and Penrose criterion which identifies RDMFT as a particularly suitable approach to describe Bose-Einstein condensates (BECs), we derive the universal functional for a homogeneous BEC in the Bogoliubov regime. Remarkably, the gradient of the universal functional is found to diverge repulsively in the regime of complete condensation. This introduces the new concept of a BEC force, which provides a universal explanation for quantum depletion since it is merely based on the geometry of quantum states. In the second part of the thesis, we propose and work out an ensemble RDMFT targeting excitations in bosonic quantum systems. This endeavour further highlights the potential of convex analysis for the development of functional theories in the future. Indeed by resorting to several concepts from convex analysis, we succeeded to provide a comprehensive foundation of w\boldsymbol{w}w-ensemble RDMFT for bosons which is further based on a generalization of the Ritz variational principle and a constrained search formalism. In particular, we solve the emerging NNN-representability problem leading to a generalization of Pauli's famous exclusion principle to bosonic mixed states.
We propose and work out a reduced density matrix functional theory (RDMFT) for calculating energies of eigenstates of interacting many-electron systems beyond the ground state. Various obstacles which historically have doomed such an approach to be unfeasible are overcome. First, we resort to a generalization of the Ritz variational principle to ensemble states with fixed weights. This in combination with the constrained search formalism allows us to establish a universal functional of the one-particle reduced density matrix. Second, we employ tools from convex analysis to circumvent the too involved N-representability constraints. Remarkably, this identifies Valone's pioneering work on RDMFT as a special case of convex relaxation and reveals that crucial information about the excitation structure is contained in the functional's domain. Third, to determine the crucial latter object, a methodology is developed which eventually leads to a generalized exclusion principle. The corresponding linear constraints are calculated for systems of arbitrary size.
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.
We initiate the recently proposed w w -ensemble one-particle reduced density matrix functional theory ( w w -RDMFT) by deriving the first functional approximations and illustrate how excitation energies can be calculated in practice. For this endeavour, we first study the symmetric Hubbard dimer, constituting the building block of the Hubbard model, for which we execute the Levy-Lieb constrained search. Second, due to the particular suitability of w w -RDMFT for describing Bose-Einstein condensates, we demonstrate three conceptually different approaches for deriving the universal functional in a homogeneous Bose gas for arbitrary pair interaction in the Bogoliubov regime. Remarkably, in both systems the gradient of the functional is found to diverge repulsively at the boundary of the functional’s domain, extending the recently discovered Bose-Einstein condensation force to excited states. Our findings highlight the physical relevance of the generalized exclusion principle for fermionic and bosonic mixed states and the curse of universality in functional theories.
Given a general, N-particle Hamiltonian operator, analogs of the Hohenberg-Kohn theorem are derived for functions that are more general than the particle density, including density matrices and the diagonal elements thereof. The generalization of Lieb's Legendre transform ansatz to the generalized Hohenberg-Kohn functional not only solves the upsilon-representability problem for these entities, but, more importantly, also solves the N-representability problem. Restricting the range of operators explored by the Legendre transform leads to a lower bound on the true functional. If all the operators of interest are incorporated in the restricted maximization, however, the variational principle dictates that exact results are obtained for the systems of interest. This might have important implications for practical work not only for density matrices but also for density functionals. A follow-up paper will present a useful alternative approach to the upsilon- and N-representability problems based on the constrained search formalism.