Challenges
Datasets
Workspaces
Papers
Discussions
Leaderboard
Log inSign up
Challenges
Datasets
Workspaces
Papers
Discussions
Leaderboard
Blog
Job Board
Q3AS

© 2026 Aqora Quantum S.A.S.

TermsPrivacyLegal Notice

Physical Review Letters

Degenerate Ground States and a Fractional Number of Electrons in Density and Reduced Density Matrix Functional Theory

Weitao Yang, Yingkai Zhang, Paul W. Ayers

Published May 29, 2000• 447 citations
Publisher

Abstract

For a linear combination of electron densities of degenerate ground states, it is shown that the value of any energy functional is the ground state energy, if the energy functional is exact for ground state densities, size consistent, and translational invariant. The corresponding functional of kinetic and interaction energy is the linear combination of the functionals of the degenerate densities. Without invoking ensembles, it is shown that the energy functional of fractional number electrons is a series of straight lines interpolating its values at integers. These results underscore the importance of grand canonical ensemble formulation in density functional theory.

DOI
10.1103/physrevlett.84.5172

Related papers

Energy of a many-electron system in an ensemble ground-state, versus electron number and spin: piecewise-linearity and flat plane condition generalized

Yuli Goshen, Eli Kraisler

Description of many-electron systems with a fractional electron number $N_\textrm{tot}$ and fractional spin $M_\textrm{tot}$ is of great importance in physical chemistry, solid state physics and materials science. In this Letter, we provide an exact description of the zero-temperature ensemble ground state of a general, finite, many-electron system, and characterize the dependence of the energy and the spin-densities on both $N_\textrm{tot}$ and $M_\textrm{tot}$, when the total spin is at its equilibrium value. We generalize the piecewise-linearity principle and the flat-plane condition and determine which pure states contribute to the ground-state ensemble. We find a new derivative discontinuity, which manifests for spin variation at constant $N_\textrm{tot}$, as a jump in the Kohn-Sham potential. We identify a previously unknown degeneracy of the ground state, such that the total energy and density are unique, but the spin-densities are not. Our findings serve as a basis for development of advanced approximations in density functional theory and other many-electron methods.

arXiv:2308.03465•Aug 7, 2023•0 citations

Fractional spins and static correlation error in density functional theory

Aron J. Cohen, Paula Mori‐Sánchez, Weitao Yang

Electronic states with fractional spins arise in systems with large static correlation (strongly correlated systems). Such fractional-spin states are shown to be ensembles of degenerate ground states with normal spins. It is proven here that the energy of the exact functional for fractional-spin states is a constant, equal to the energy of the comprising degenerate pure-spin states. Dramatic deviations from this exact constancy condition exist with all approximate functionals, leading to large static correlation errors for strongly correlated systems, such as chemical bond dissociation and band structure of Mott insulators. This is demonstrated with numerical calculations for several molecular systems. Approximating the constancy behavior for fractional spins should be a major aim in functional constructions and should open the frontier for density functional theory to describe strongly correlated systems. The key results are also shown to apply in reduced density-matrix functional theory.

arXiv:0805.1724•The Journal of Chemical Physics•Sep 26, 2008•277 citations

Ensemble Green's function theory for interacting electrons with degenerate ground states

Erik Linnér, F. Aryasetiawan

An ensemble Green's function formalism, based on the von Neumann density matrix approach, to calculate one-electron excitation spectra of a many-electron system with degenerate ground states is proposed. A set of iterative equations for the ensemble Green's function and self-energy is derived and a simplest approximation corresponding to an ensemble $\mathit{GW}$ approximation is naturally obtained. The derivation is based on the Schwinger functional derivative technique and does not assume any adiabatic connection between a noninteracting and an interacting ground state.

arXiv:1907.07942•Physical review. B./Physical review. B•Dec 4, 2019•5 citations

Ensemble Ground State of a Many-Electron System with Fractional Electron Number and Spin: Piecewise-Linearity and Flat-Plane Condition Generalized

Yuli Goshen, Eli Kraisler

High Resolution Image Download MS PowerPoint Slide Description of many-electron systems with a fractional electron number ( N tot ) and fractional spin ( M tot ) is of great importance in physical chemistry, solid-state physics, and materials science. In this Letter, we provide an exact description of the zero-temperature ensemble ground state of a general, finite, many-electron system and characterize the dependence of the energy and the spin-densities on both N tot and M tot, when the total spin is at its equilibrium value. We generalize the piecewise-linearity principle and the flat-plane condition and determine which pure states contribute to the ground-state ensemble. We find a new derivative discontinuity, which manifests for spin variation at a constant N tot, as a jump in the Kohn–Sham potential. We identify a previously unknown degeneracy of the ground state, such that the total energy and density are unique, but the spin-densities are not. Our findings serve as a basis for development of advanced approximations in density functional theory and other many-electron methods.

The Journal of Physical Chemistry Letters•Feb 22, 2024•8 citations

Quantal Density Functional Theory of Degenerate States

Viraht Sahni, Xiao‐Yin Pan

The treatment of degenerate states within Kohn-Sham density functional theory is a problem of long-standing and current interest. We propose a solution to this mapping from the interacting degenerate system to that of the noninteracting fermion model whereby the equivalent density and energy are obtained via the unifying physical framework of quantal density functional theory. We describe the quantal theory of both ground and excited degenerate states, and for the cases of both pure state and ensemble v-representable densities. The quantal description further provides a rigorous physical interpretation of the corresponding Kohn-Sham energy functionals of the density, ensemble density, bidensity and ensemble bidensity, and of their respective functional derivatives. We conclude with examples of the mappings within the quantal theory.

arXiv:cond-mat/0210129•Physical Review Letters•Mar 27, 2003•28 citations

Density-Functional Theory for Strongly Interacting Electrons

Paola Gori‐Giorgi, Michael Seidl, Giovanni Vignale

We present an alternative to the Kohn-Sham formulation of density-functional theory for the ground-state properties of strongly interacting electronic systems. The idea is to start from the limit of zero kinetic energy and systematically expand the universal energy functional of the density in powers of a "coupling constant" that controls the magnitude of the kinetic energy. The problem of minimizing the energy is reduced to the solution of a strictly correlated electron problem in the presence of an effective potential, which in our theory plays the same role as the Kohn-Sham potential plays in the traditional formulation. We discuss several schemes for approximating the energy functional, and report preliminary results for low-density quantum dots.

arXiv:0908.0669•Physical Review Letters•Oct 12, 2009•106 citations
For a linear combination of electron densities of degenerate ground states, it is shown that the value of any energy functional is the ground state energy, if the energy functional is exact for ground state densities, size consistent, and translational invariant. The corresponding functional of kinetic and interaction energy is the linear combination of the functionals of the degenerate densities. Without invoking ensembles, it is shown that the energy functional of fractional number electrons is a series of straight lines interpolating its values at integers. These results underscore the importance of grand canonical ensemble formulation in density functional theory.
Description of many-electron systems with a fractional electron number NtotN_\textrm{tot}Ntot​ and fractional spin MtotM_\textrm{tot}Mtot​ is of great importance in physical chemistry, solid state physics and materials science. In this Letter, we provide an exact description of the zero-temperature ensemble ground state of a general, finite, many-electron system, and characterize the dependence of the energy and the spin-densities on both NtotN_\textrm{tot}Ntot​ and MtotM_\textrm{tot}Mtot​, when the total spin is at its equilibrium value. We generalize the piecewise-linearity principle and the flat-plane condition and determine which pure states contribute to the ground-state ensemble. We find a new derivative discontinuity, which manifests for spin variation at constant NtotN_\textrm{tot}Ntot​, as a jump in the Kohn-Sham potential. We identify a previously unknown degeneracy of the ground state, such that the total energy and density are unique, but the spin-densities are not. Our findings serve as a basis for development of advanced approximations in density functional theory and other many-electron methods.
Electronic states with fractional spins arise in systems with large static correlation (strongly correlated systems). Such fractional-spin states are shown to be ensembles of degenerate ground states with normal spins. It is proven here that the energy of the exact functional for fractional-spin states is a constant, equal to the energy of the comprising degenerate pure-spin states. Dramatic deviations from this exact constancy condition exist with all approximate functionals, leading to large static correlation errors for strongly correlated systems, such as chemical bond dissociation and band structure of Mott insulators. This is demonstrated with numerical calculations for several molecular systems. Approximating the constancy behavior for fractional spins should be a major aim in functional constructions and should open the frontier for density functional theory to describe strongly correlated systems. The key results are also shown to apply in reduced density-matrix functional theory.
An ensemble Green's function formalism, based on the von Neumann density matrix approach, to calculate one-electron excitation spectra of a many-electron system with degenerate ground states is proposed. A set of iterative equations for the ensemble Green's function and self-energy is derived and a simplest approximation corresponding to an ensemble GW\mathit{GW}GW approximation is naturally obtained. The derivation is based on the Schwinger functional derivative technique and does not assume any adiabatic connection between a noninteracting and an interacting ground state.
High Resolution Image Download MS PowerPoint Slide Description of many-electron systems with a fractional electron number ( N tot ) and fractional spin ( M tot ) is of great importance in physical chemistry, solid-state physics, and materials science. In this Letter, we provide an exact description of the zero-temperature ensemble ground state of a general, finite, many-electron system and characterize the dependence of the energy and the spin-densities on both N tot and M tot, when the total spin is at its equilibrium value. We generalize the piecewise-linearity principle and the flat-plane condition and determine which pure states contribute to the ground-state ensemble. We find a new derivative discontinuity, which manifests for spin variation at a constant N tot, as a jump in the Kohn–Sham potential. We identify a previously unknown degeneracy of the ground state, such that the total energy and density are unique, but the spin-densities are not. Our findings serve as a basis for development of advanced approximations in density functional theory and other many-electron methods.
The treatment of degenerate states within Kohn-Sham density functional theory is a problem of long-standing and current interest. We propose a solution to this mapping from the interacting degenerate system to that of the noninteracting fermion model whereby the equivalent density and energy are obtained via the unifying physical framework of quantal density functional theory. We describe the quantal theory of both ground and excited degenerate states, and for the cases of both pure state and ensemble v-representable densities. The quantal description further provides a rigorous physical interpretation of the corresponding Kohn-Sham energy functionals of the density, ensemble density, bidensity and ensemble bidensity, and of their respective functional derivatives. We conclude with examples of the mappings within the quantal theory.
We present an alternative to the Kohn-Sham formulation of density-functional theory for the ground-state properties of strongly interacting electronic systems. The idea is to start from the limit of zero kinetic energy and systematically expand the universal energy functional of the density in powers of a "coupling constant" that controls the magnitude of the kinetic energy. The problem of minimizing the energy is reduced to the solution of a strictly correlated electron problem in the presence of an effective potential, which in our theory plays the same role as the Kohn-Sham potential plays in the traditional formulation. We discuss several schemes for approximating the energy functional, and report preliminary results for low-density quantum dots.