This note is intended for expanding the details on the derivation and properties of density functional theory, in hope to make them more systematic, better motivated, and step-by-step for readers new to the domain. The note starts with basic concepts in quantum mechanics, then takes the step towards many-body systems using the tools of second quantization and Fock space, with some highlights on properties of the Coulomb system. Given these general technical preparations, the Hartree-Fock method is naturally unrolled, with expressions for various cases and quantities. Density functional theory is then presented, with a motivating reasoning of the Kohn-Sham formulation, and a connection and comparison of the expressions with the Hartree-Fock method. Lieb's celebrated 1983 paper on functional analysis on density functionals is also summarized.
This note is intended for expanding the details on the derivation and properties of density functional theory, in hope to make them more systematic, better motivated, and step-by-step for readers new to the domain. The note starts with basic concepts in quantum mechanics, then takes the step towards many-body systems using the tools of second quantization and Fock space, with some highlights on properties of the Coulomb system. Given these general technical preparations, the Hartree-Fock method is naturally unrolled, with expressions for various cases and quantities. Density functional theory is then presented, with a motivating reasoning of the Kohn-Sham formulation, and a connection and comparison of the expressions with the Hartree-Fock method. Lieb's celebrated 1983 paper on functional analysis on density functionals is also summarized.
Density functional theory provides a powerful tool for computations of the quantum state of atoms, molecules and solids, and of ab-initio molecular dynamics. It was conceived in its initial naïve and approximative version by Thomas and Fermi immediately after the foundation of quantum mechanics, in 1927. Just thirty years ago, in the middle of the sixties, Hohenberg, Kohn and Sham on the one hand established a logically rigorous density functional theory of the quantum groundstate on the basis of quantum mechanics, and on the other hand, guided by this construction, introduced an approximative explicit theory called the local-density approximation, which for computations of the quantum groundstate of many-particle systems proved to be superior to both Thomas-Fermi and Hartree-Fock theories. From that time on, density functional theory has grown vastly in popularity, and a flood of computational work in molecular and solid state physics has been the result. Motivated by its success, there has been always a tendency to widen the fields of application of density functional theory, and in these developments, some points which were left somewhat obscure in the basic theory, were brought into focus from time to time. This led in the early eighties to a deepening of the logical basis, essentially by Levy and Lieb, and finally Lieb gave the basic theory a form of final mathematical rigour. Since that treatment, however, is based on the tools of modern convex functional analysis, its implications only gradually became known to the many people who apply density functional theory. A thorough treatment of the dependence on particle number on the basis of Lieb’s theory is given for the first time in the present text.
Following a recent work [Gál, Phys. Rev. A64, 062503 (2001)], a simple derivation of the density-functional correction of the Hartree–Fock equations, the Hartree–Fock–Kohn–Sham equations, is presented, completing an integrated view of quantum mechanical theories, in which the Kohn–Sham equations, the Hartree–Fock–Kohn–Sham equations and the ground-state Schrödinger equation formally stem from a common ground: density-functional theory, through its Euler equation for the ground-state density. Along similar lines, the Kohn–Sham formulation of the Hartree–Fock approach is also considered. Further, it is pointed out that the exchange energy of density-functional theory built from the Kohn–Sham orbitals can be given by degree-two homogeneous N-particle density functionals (N = 1, 2, …), forming a sequence of degree-two homogeneous exchange-energy density functionals, the first element of which is minus the classical Coulomb-repulsion energy functional.
In these notes, we present a rigorous and self-contained introduction to the fundamental concepts and methods of quantum many-body theory. The text is designed to provide a solid theoretical foundation for the study of interacting quantum systems, combining clarity with mathematical precision. Core topics are developed systematically, with detailed derivations and comprehensive proofs that aim to make the material accessible to graduate students and beginning PhD students. Special attention is given to formal consistency and pedagogical structure, so as to guide the reader through both the conceptual and technical aspects of the subject. This work is intended as a reliable starting point for further exploration and research in modern quantum many-body physics.
Notes on open questions within density functional theory (existence of a derivative of the Lieb functional in a restricted sense and non-interacting v-representability)
Density functional theory together with the Kohn-Sham scheme represent an efficient framework to recover the ground state density and energy of a many-body quantum system from an auxiliary ``non-interacting'' system (one-body with a local potential). However, theoretical questions remain open. An important one is related to the existence of a derivative of the Lieb functional in some restricted (weak) sense (as pointed out by Lammert). Then, a further one would be related to the validity of the ``non-interacting v-representability'' conjecture. We gather here elements on these questions, providing reminders and thoughts that are non-conclusive but hopefully contribute to the reflection. This document must be considered as notes (it does not represent an article).
Since the early days of quantum mechanics, the wave function theory has proven to be very successful in describing many different quantum processes and phenomena. However, in many problems of quantum chemistry and solid-state physics, where the dimensionality of the systems studied is relatively high, ab initio calculations of the structure of atoms, molecules, clusters, and crystals, and their interactions are very often prohibitive. Hence, alternative formulations based on the direct use of the probability density, gathered under what is generally known as the density matrix theory [1], were also developed since the very beginning of the new mechanics. The independent electron approximation or Thomas-Fermi model, and the Hartree and Hartree-Fock approaches are former statistical models developed in that direction [2]. These models can be considered direct predecessors of the more recent density functional theory (DFT) [3], whose principles were established by Hohenberg, Kohn, and Sham [4,5] in the mid-1960s. According to this theory, the fundamental physical information about a many-body system is provided by single-particle densities in a three-dimensional space, which are obtained variationally within a time-independent framework. When compared with other previous formalisms, DFT presents two clear advantages: (1) it is able to treat many-body problems in a sufficiently accurate way and (2) it is computationally simple. This explains why it is one of the most widely used theories to deal with electronic structure-the electronic ground-state energy as a function of the position of the atomic nuclei determines molecular structures and solids, providing at the same time the forces acting on the atomic nuclei when they are not at their equilibrium positions. At present, DFT is used routinely to solve many problems in gas phase and condensed matter. Furthermore, it has made possible the development of accurate molecular dynamics schemes in which the forces are evaluated quantum mechanically ‘‘on the fly.’’ Nonetheless, DFT is a fundamental tool provided the systems studied are relatively large; for small systems, standard methods based on the use of the wave function render quite accurate results [6]. Moreover, it is also worth stressing that all practical applications of DFT rely on essentially uncontrolled approximations [7] (e.g., the local density approximation [4,5], the local spin-density approximation, or generalized gradient approximations [8]), and therefore the validity of DFT is conditioned to its capability to provide fairly good values of the experimental data.
Many problems in physical chemistry involve systems that are coupled to an environment, such as a molecule interacting with an adjacent surface, possibly resulting in meta-stable molecular states where electron density is transferred to the surface. Such systems can be described by non-Hermitian quantum mechanics (NHQM), where the Hamiltonian includes dissipative terms. Within NHQM, one can also formulate the Hartree-Fock (HF) and Kohn-Sham (KS) methods and, as in the conventional theory, an effective independent-particle picture is employed. The crucial observation of the present work is that even for systems that are not coupled to an environment, in the HF or KS equation a single electron is coupled to a bath of the remaining electrons which can act as an environment, opening up the possibility for the exchange of current density between the one-electron and the remaining N-1 electron system. The corresponding self-consistent states represent a new uncharted space of solutions to the HF and KS equations. We show that the additional solutions can have a physical interpretation and thus extend the range of problems HF and KS can be applied to. If open-system HF and KS calculations are performed, the new class of solutions is always encountered but this has also not been noted previously.