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arXiv:2607.27679

Iterative minimization in reduced density matrix functional theory for periodic systems

Kai Luo, Jingang Han, Peize Lin, Daye Zheng, Mohan Chen, Xinguo Ren

Published Jul 30, 2026• 0 citations
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Abstract

Reduced density matrix functional theory (RDMFT) offers a route beyond Kohn-Sham density functional theory for strongly correlated systems, yet practical calculations for periodic solids are still out of reach. We formulate RDMFT for extended systems in a basis-independent way and present a planewave implementation using iterative minimization for periodic solids, evaluating nonlocal exchange-correlation functionals through the existing adaptive compressed exchange machinery. Natural occupations are optimized under N-representability constraints with a spectral projected gradient (SPG) method or an first-order explicit-by-implicit (EBI) map, while natural orbitals are updated by Riemannian optimization on the complex Stiefel manifolds. Benchmarks on typical systems of \ce{H2}, silicon, and sodium with the Hartree-Fock functional show that SPG reproduces converged hybrid references, whereas EBI can stall when occupations approach $0$ or $1$. With the power and Müller functionals, SPG yields lower energies and more stable convergence than EBI. Applications to fractionally charged \ce{LiH}, dissociating \ce{H2} and \ce{N2} molecules, and equation of state of silicon show that the algorithm presented in this implementation is reliable and robust.

DOI
10.48550/arxiv.2607.27679

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Reduced density matrix functional theory (RDMFT) offers a route beyond Kohn-Sham density functional theory for strongly correlated systems, yet practical calculations for periodic solids are still out of reach. We formulate RDMFT for extended systems in a basis-independent way and present a planewave implementation using iterative minimization for periodic solids, evaluating nonlocal exchange-correlation functionals through the existing adaptive compressed exchange machinery. Natural occupations are optimized under N-representability constraints with a spectral projected gradient (SPG) method or an first-order explicit-by-implicit (EBI) map, while natural orbitals are updated by Riemannian optimization on the complex Stiefel manifolds. Benchmarks on typical systems of \ce{H2}, silicon, and sodium with the Hartree-Fock functional show that SPG reproduces converged hybrid references, whereas EBI can stall when occupations approach 000 or 111. With the power and Müller functionals, SPG yields lower energies and more stable convergence than EBI. Applications to fractionally charged \ce{LiH}, dissociating \ce{H2} and \ce{N2} molecules, and equation of state of silicon show that the algorithm presented in this implementation is reliable and robust.
Reduced density matrix functional theory (RDMFT) provides a rigorous framework for treating strong electron correlation, yet its application to periodic systems has long been hindered by two fundamental challenges: the lack of transferable approximate functionals and the poor efficiency of orbital-occupation optimization. Here we show that these two longstanding obstacles can be overcome simultaneously. We develop a periodic implementation of RDMFT based on a coupled optimization framework that enables the efficient simultaneous optimization of natural orbitals and occupation numbers under periodic boundary conditions. Using this implementation, we demonstrate that physically motivated short-range screening transforms the Power functional into a transferable functional applicable to both molecules and periodic solids. Remarkably, short-range screening is found to play a dual role: besides substantially improving energetic accuracy, it fundamentally reshapes the optimization landscape, producing robust optimization step sizes and dramatically accelerating convergence. The coupled optimization framework consistently requires substantially fewer optimization iterations than conventional decoupled optimization for periodic calculations, while the screened ωωωP22 functional outperforms semilocal and hybrid density functionals in predicting representative surface reaction barriers. These results establish a computationally efficient periodic RDMFT framework and identify short-range screening as a promising design principle for developing transferable one-body reduced-density-matrix functionals.
Recently, an approximate theoretical framework was introduced, called local reduced density matrix functional theory (local-RDMFT), where functionals of the one-body reduced density matrix (1-RDM) are minimized under the additional condition that the optimal orbitals satisfy a single electron Schrödinger equation with a local potential. In the present work, we focus on the character of these optimal orbitals. In particular, we compare orbitals obtained by local-RDMFT with those obtained with the full minimization (without the extra condition) by contrasting them against the exact NOs and orbitals from a density functional calculation using the local density approximation (LDA). We find that the orbitals from local-RMDFT are very close to LDA orbitals, contrary to those of the full minimization that resemble the exact NOs. Since local RDMFT preserves the good quality of the description of strong static correlation, this finding opens the way to a mixed density/density matrix scheme, where Kohn-Sham orbitals obtain fractional occupations from a minimization of the occupation numbers using 1-RDM functionals. This will allow for a description of strong correlation at a cost only minimally higher than a density functional calculation.
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.
Recently, an approximate theoretical framework was introduced, called local reduced density matrix functional theory (local-RDMFT), where functionals of the one-body reduced density matrix (1-RDM) are minimized under the additional condition that the optimal orbitals satisfy a single electron Schrödinger equation with a local potential. In the present work, we focus on the character of these optimal orbitals. In particular, we compare orbitals obtained by local-RDMFT with those obtained with the full minimization (without the extra condition) by contrasting them against the exact NOs and orbitals from a density functional calculation using the local density approximation (LDA). We find that the orbitals from local-RMDFT are very close to LDA orbitals, contrary to those of the full minimization that resemble the exact NOs. Since local RDMFT preserves the good quality of the description of strong static correlation, this finding opens the way to a mixed density/density matrix scheme, where Kohn-Sham orbitals obtain fractional occupations from a minimization of the occupation numbers using 1-RDM functionals. This will allow for a description of strong correlation at a cost only minimally higher than a density functional calculation.
The one-particle reduced density-matrix (1-RDM) functional theory is a promising alternative to density-functional theory (DFT) that uses the 1-RDM rather than the electronic density as a basic variable. However, long-standing challenges such as the lack of the Kohn-Sham scheme and the complexity of the pure N-representability conditions are still impeding its wild utilization. Fortunately, ensemble N-representability conditions derived in the natural orbital basis are known and trivial such that almost every functional of the 1-RDM is actually natural orbital functional, which does not perform well for all the correlation regimes. In this work, we propose a variational minimization scheme in the ensemble N-representable domain that is not restricted to the natural orbital representation of the 1-RDM. We show that splitting the minimization into the diagonal and off-diagonal parts of the 1-RDM can open the way toward the development of functionals of the orbital occupations, which remains a challenge for the generalization of site-occupation functional theory in chemistry. Our approach is tested on the uniform Hubbard model using the Müller and the Töws-Pastor functionals, as well as on the dihydrogen molecule using the Müller functional.
Accurately describing chemical bond breaking requires capturing strong/static electron correlation, a major challenge for single-reference self-consistent-field methods such as Hartree--Fock and Kohn--Sham density-functional theory (DFT). Fractional occupations substantially improve this situation, as demonstrated by information-density-matrix-functional theory (i-DMFT) and thermally-assisted-occupation DFT (TAO-DFT). Although useful, they are formulated within rather different theoretical frameworks, are somewhat semi-empirical, and their relationship remains unclear. Here we introduce finite-temperature adiabatic-connection reduced density-matrix functional theory (FT-AC-RDMFT), in which i-DMFT and TAO-DFT emerge as different reductions of a unified framework. The effective eigenvalue equation for natural orbitals and the Fermi--Dirac occupation numbers follow directly from the variational principle, while a thermal adiabatic connection relates the empirical entropy coefficient of i-DMFT to a characteristic temperature of the auxiliary non-interacting system. Within this framework, i-DMFT is the exact-exchange-based reduction, whereas TAO-DFT results when exact exchange is replaced by a density-based exchange-correlation functional. Numerical calculations confirm that i-DMFT, apart from a constant, coincides with the exact-exchange realization of the framework, and show that the improved dissociation behavior from finite-temperature occupations extends beyond exact exchange to hybrid and semilocal density functionals. For strongly correlated V2O3, finite-temperature occupations substantially reduce the severely overestimated non-magnetic LDA bulk modulus, bringing it close to experiment. These results establish FT-AC-RDMFT as a common theoretical foundation for finite-temperature occupation-based electronic-structure methods in molecular and solid-state systems.