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arXiv:2502.15464 · Physical Review Research

Toolbox of spin-adapted generalized Pauli constraints

Julia Liebert, Yannick Lemke, Murat Altunbulak, Tomasz Maciążek, Christian Ochsenfeld, Christian Schilling

Published Jun 11, 2025• 2 citations
arXivHTMLPDF

Abstract

We establish a toolbox for studying and applying spin-adapted generalized Pauli constraints (GPCs) in few-electron quantum systems. By exploiting the spin symmetry of realistic N -electron wave functions, the underlying one-body pure N -representability problem simplifies, allowing us to calculate the GPCs for larger system sizes than previously accessible. We then uncover and rigorously prove a superselection rule that highlights the significance of GPCs: whenever a spin-adapted GPC is (approximately) saturated—referred to as (quasi)pinning—the corresponding N -electron wave function assumes a simplified structure. Specifically, in a configuration interaction expansion based on natural orbitals only very specific spin configuration state functions may contribute. To assess the nontriviality of (quasi)pinning, we introduce a geometric measure that contrasts it with the (quasi)pinning induced by simple (spin-adapted) Pauli constraints. Applications to few-electron systems suggest that previously observed quasipinning largely stems from spin symmetries.

DOI
10.1103/physrevresearch.7.023247

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We establish a toolbox for studying and applying spin-adapted generalized Pauli constraints (GPCs) in few-electron quantum systems. By exploiting the spin symmetry of realistic N -electron wave functions, the underlying one-body pure N -representability problem simplifies, allowing us to calculate the GPCs for larger system sizes than previously accessible. We then uncover and rigorously prove a superselection rule that highlights the significance of GPCs: whenever a spin-adapted GPC is (approximately) saturated—referred to as (quasi)pinning—the corresponding N -electron wave function assumes a simplified structure. Specifically, in a configuration interaction expansion based on natural orbitals only very specific spin configuration state functions may contribute. To assess the nontriviality of (quasi)pinning, we introduce a geometric measure that contrasts it with the (quasi)pinning induced by simple (spin-adapted) Pauli constraints. Applications to few-electron systems suggest that previously observed quasipinning largely stems from spin symmetries.
We investigate the structure of the one-body reduced density matrix of three electron systems, i.e., doublet and quadruplet spin configurations, corresponding to the smallest interacting system with an open-shell ground state. To this end, we use configuration interaction (CI) expansions of the exact wave function in Slater determinants built from natural orbitals in a finite dimensional Hilbert space. With the exception of maximally polarized systems, the natural orbitals of spin eigenstates are generally spin dependent, i.e., the spatial parts of the up and down natural orbitals form two different sets. A measure to quantify this spin dependence is introduced and it is shown that it varies by several orders of magnitude depending on the system. We also study the ordering issue of the spin-dependent occupation numbers which has practical implications in reduced density matrix functional theory minimization schemes, when generalized Pauli constraints (GPCs) are imposed and in the form of the CI expansion in terms of the natural orbitals. Finally, we discuss the aforementioned CI expansion when there are GPCs that are almost “pinned.”
We investigate the structure of the one-body reduced density matrix of three electron systems, i.e., doublet and quadruplet spin configurations, corresponding to the smallest interacting system with an open-shell ground state. To this end, we use configuration interaction (CI) expansions of the exact wave function in Slater determinants built from natural orbitals in a finite dimensional Hilbert space. With the exception of maximally polarized systems, the natural orbitals of spin eigenstates are generally spin dependent, i.e., the spatial parts of the up and down natural orbitals form two different sets. A measure to quantify this spin dependence is introduced and it is shown that it varies by several orders of magnitude depending on the system. We also study the ordering issue of the spin-dependent occupation numbers which has practical implications in reduced density matrix functional theory minimization schemes, when generalized Pauli constraints (GPCs) are imposed and in the form of the CI expansion in terms of the natural orbitals. Finally, we discuss the aforementioned CI expansion when there are GPCs that are almost "pinned."
Generalized Pauli constraints (GPCs) impose constraints in the form of inequalities on the natural orbital occupation numbers of the one electron reduced density matrix (1-RDM), defining the set of pure N-representable 1-RDMs, or 1-RDMs that can be derived from an N-electron wave function. Saturation of these constraints is termed “pinning” and implies a significant simplification of the N-electron wave function as the number of Slater determinants required to fully describe the system is reduced. Recent research has shown pinning to occur for the ground states of atoms and molecules with N = 3 and r = 6, where N is the number of electrons and r is the number of spin orbitals. For N = 4 and r = 8, however, pinning occurs not to the GPCs but rather to inequalities defining the pure N-representable two-electron reduced density matrices (2-RDMs). Using these more general inequalities, we derive a wave function ansatz for a system with four electrons in eight spin orbitals. We apply the ansatz to the isoelectronic series of the carbon atom and the dissociation of linear H4 where the correlation energies are recovered to fractions of a kcal/mol. These results provide a foundation for further developments in wave function and RDM theories based on “pinned” solutions, and elucidate a fundamental physical basis for the emergence of non-orthogonal bases in electronic systems of N ≥ 4.
When the natural occupation numbers of a fermionic state saturate a generalized Pauli constraint, the state obeys a selection rule: only those configurations of natural orbitals that saturate the constraint themselves contribute. Pinning thus singles out an active space. The selection rule was proved for non-degenerate occupation numbers; for degenerate ones it was conjectured, and proved for one saturated constraint under an assumption checked only for the constraints known at the time. Here, it is proved for every generalized Pauli constraint, with no assumption, and also in the spin-adapted setting. The rule can only fail for the ordering constraints λj≥λj+1λ_j\geλ_{j+1}λj​≥λj+1​. Several saturated constraints are served by one basis whenever their common zero face contains a non-degenerate point. In practice, occupation numbers are quasipinned rather than pinned, and the rule survives with an explicit error bound.
The Pauli exclusion principle requires that spin orbitals have occupations between zero and one. For pure quantum systems, however, the occupations of the spin orbitals are constrained by additional inequalities known as the generalized Pauli constraints. If the occupation numbers saturate (or nearly saturate) the generalized Pauli constraints, then the occupation numbers are said to be pinned (or quasi‐pinned) to the constraints. Here, we assess the complexity of electron correlation of excited states from the pinning or quasi‐pinning of the occupation numbers to the generalized Pauli constraints where the degree of pinning encodes information about the structure of the wave function including correlation and entanglement. Results are presented for three‐ and four‐electron atoms and molecules, the five‐electron cyclopentadienyl radical, and the seven‐electron Fenna‐Matthews‐Olson complex in green‐sulfur bacteria. The data shows that even when the ground‐state occupation numbers are pinned, the occupation numbers of excited states manifest pinned, quasi‐pinned, and unpinned behavior, reflecting the complexity of electron correlation and entanglement in excited states. © 2016 Wiley Periodicals, Inc.
The dependence of the (quasi-)saturation of the generalized Pauli constraints on the pair potential is studied for ground states of few-fermion systems. For this, we consider spinless fermions in one dimension which are harmonically confined and interact by pair potentials of the form $|{x}_{i}\ensuremath{-}{x}_{j}{|}^{s}$ with $\ensuremath{-}1\ensuremath{\le}s\ensuremath{\le}5$. We use the density matrix renormalization group approach and large orbital basis to achieve the convergence on more than ten digits of both the variational energy and the natural occupation numbers. Our results confirm that the conflict between energy minimization and fermionic exchange symmetry results in a universal and nontrivial quasisaturation of the generalized Pauli constraints (quasipinning), implying tremendous structural simplifications of the fermionic ground state for all sss. Those numerically exact results are complemented by an analytical study based on a self-consistent perturbation theory which we develop for this purpose. The respective results for the weak-coupling regime eventually elucidate the singular behavior found for the specific values s=2,4,...,s=2,4,...,s=2,4,..., resulting in an extremely strong quasipinning.