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

The Journal of Chemical Physics

Generalizations of the Hohenberg-Kohn theorem: I. Legendre Transform Constructions of Variational Principles for Density Matrices and Electron Distribution Functions

Paul W. Ayers, Sidney Golden, Mel Levy

Published Jan 27, 2006• 92 citations
Publisher

Abstract

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.

DOI
10.1063/1.2006087

Related papers

Axiomatic formulations of the Hohenberg-Kohn functional

Paul W. Ayers

Properties of the Hohenberg-Kohn functional are considered. In particular, the Hohenberg-Kohn functional should (a) give correct results in the variational principle and should be (b) continuous, (c) convex, and (d) size consistent. All of these properties are satisfied by the Legendre-transform functional (equivalently, the density matrix constrained search functional) and, moreover, this is the only functional that possesses all these properties. Not only that, but the Legendre-transform functional is determined uniquely by requiring (a), (b), and either (c) or (d). This shows how an ``axiomatic'' approach to constructing the Hohenberg-Kohn functional leads naturally to the Legendre-transform functional. Among all functionals consistent with the variational principle, the Legendre-transform functional is the smallest. One corollary to this approach is a simple proof of the equivalence of the Legendre-transform and density-matrix constrained search functionals. For completeness, the Appendix shows that ensemble-$v$-representable densities lie dense in the set of $N$-representable densities.

Physical Review A•Jan 31, 2006•57 citations

The Hohenberg–Kohn theorem

Carsten A. Ullrich, Adam Wasserman

Abstract In this chapter, the Hohenberg-Kohn theorem of DFT is formulated and proved. This theorem says that there is a unique one-to-one correspondence between potentials and ground-state densities in electronic many-body systems. The original proof of Hohenberg and Kohn is presented and discussed, which proceeds in two steps: first, the mapping from potentials to wave functions is shown to be unique, followed by the mapping from wave functions to densities. Two corollaries of the theorem are then discussed: the variational principle, whereby the exact ground-state energy can be found by variation of the energy functional, and then the universality of parts of this energy functional. The so-called constrained search formalism is also briefly discussed.

•Aug 20, 2026•0 citations

Exact density-functional theory as parallel ensemble variational hierarchies: from Lieb's formulation to Kohn-Sham theory

Nan Sheng

Exact density-functional theory is recast here as two parallel exact ensemble variational hierarchies: an interacting hierarchy rooted in Lieb's ensemble formulation and a noninteracting hierarchy rooted in exact noninteracting ensemble theory. In optimization terms, $N$-representability is primal feasibility, Legendre-Fenchel duality equates the primal and dual values, $v$-representability is dual attainment, and the Hohenberg-Kohn theorem gives uniqueness, modulo constants, of an attained local potential. The Kohn-Sham construction couples the interacting density-space optimality condition to a compatible noninteracting dual realization on their common $N$-representable density domain. State-class restrictions yield the Levy-Lieb and single-determinant branches, while fractional particle number and fractional occupations lead naturally to piecewise linearity, one-sided chemical potentials, Janak-type relations, and the derivative discontinuity. This organization locates the exactness of Kohn-Sham theory in the preservation of the interacting density-space optimization together with its compatible noninteracting realization, without implying a general many-body spectral interpretation of Kohn-Sham eigenvalues.

arXiv:2603.23399•Mar 24, 2026•0 citations

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

Julia Liebert, Christian Schilling

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.

arXiv:2204.12715•New Journal of Physics•Jan 1, 2023•18 citations

Density-matrix formulation ofab initiomethods of nonrelativistic quantum mechanics

Antonio Redondo

A density-matrix formulation of the ab initio methods of nonrelativistic quantum mechanics is presented. The variational equations for the standard calculational techniques of molecular quantum mechanics are derived from a single expression for the total energy of an N-particle system. A generalization of the Hohenberg-Kohn theorem is proved, showing that the ground-state energy of a many-body Hamiltonian is a functional of the single-particle density matrix and hence of the first-order reduced-density function (the diagonal of which is the particle density of the standard theorem). The theorem is used to develop a new method to calculate the total energy and single-particle properties of the many-body problem.

Physical Review A•May 1, 1989•6 citations

Nonexistence of a Hohenberg-Kohn variational principle in total current-density-functional theory

Andre Laestadius, Michael Benedicks

For a many-electron system, whether the particle density $\ensuremath{\rho}(\mathbf{r})$ and the total current density $\mathbf{j}(\mathbf{r})$ are sufficent to determine the one-body potential $V(\mathbf{r})$ and vector potential $A(\mathbf{r})$ is still an open question. For the one-electron case, a Hohenberg-Kohn theorem exists formulated with the total current density. Here we show that the generalized Hohenberg-Kohn energy functional ${\mathcal{E}}_{{V}_{0},{\mathbf{A}}_{0}}(\ensuremath{\rho},\mathbf{j})=\ensuremath{\langle}\ensuremath{\psi}(\ensuremath{\rho},\mathbf{j}),H({V}_{0},{\mathbf{A}}_{0})\ensuremath{\psi}(\ensuremath{\rho},\mathbf{j})\ensuremath{\rangle}$ can be minimal for densities that are not the ground-state densities of the fixed potentials ${V}_{0}$ and ${\mathbf{A}}_{0}$. Furthermore, for an arbitrary number of electrons and under the assumption that a Hohenberg-Kohn theorem exists formulated with $\ensuremath{\rho}$ and $\mathbf{j}$, we discuss the possibility of a variational principle in total current-density-functional theory such as that of Hohenberg-Kohn.

arXiv:1404.3297•Physical Review A•Mar 23, 2015•18 citations
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.
Properties of the Hohenberg-Kohn functional are considered. In particular, the Hohenberg-Kohn functional should (a) give correct results in the variational principle and should be (b) continuous, (c) convex, and (d) size consistent. All of these properties are satisfied by the Legendre-transform functional (equivalently, the density matrix constrained search functional) and, moreover, this is the only functional that possesses all these properties. Not only that, but the Legendre-transform functional is determined uniquely by requiring (a), (b), and either (c) or (d). This shows how an ``axiomatic'' approach to constructing the Hohenberg-Kohn functional leads naturally to the Legendre-transform functional. Among all functionals consistent with the variational principle, the Legendre-transform functional is the smallest. One corollary to this approach is a simple proof of the equivalence of the Legendre-transform and density-matrix constrained search functionals. For completeness, the Appendix shows that ensemble-vvv-representable densities lie dense in the set of NNN-representable densities.
Abstract In this chapter, the Hohenberg-Kohn theorem of DFT is formulated and proved. This theorem says that there is a unique one-to-one correspondence between potentials and ground-state densities in electronic many-body systems. The original proof of Hohenberg and Kohn is presented and discussed, which proceeds in two steps: first, the mapping from potentials to wave functions is shown to be unique, followed by the mapping from wave functions to densities. Two corollaries of the theorem are then discussed: the variational principle, whereby the exact ground-state energy can be found by variation of the energy functional, and then the universality of parts of this energy functional. The so-called constrained search formalism is also briefly discussed.
Exact density-functional theory is recast here as two parallel exact ensemble variational hierarchies: an interacting hierarchy rooted in Lieb's ensemble formulation and a noninteracting hierarchy rooted in exact noninteracting ensemble theory. In optimization terms, NNN-representability is primal feasibility, Legendre-Fenchel duality equates the primal and dual values, vvv-representability is dual attainment, and the Hohenberg-Kohn theorem gives uniqueness, modulo constants, of an attained local potential. The Kohn-Sham construction couples the interacting density-space optimality condition to a compatible noninteracting dual realization on their common NNN-representable density domain. State-class restrictions yield the Levy-Lieb and single-determinant branches, while fractional particle number and fractional occupations lead naturally to piecewise linearity, one-sided chemical potentials, Janak-type relations, and the derivative discontinuity. This organization locates the exactness of Kohn-Sham theory in the preservation of the interacting density-space optimization together with its compatible noninteracting realization, without implying a general many-body spectral interpretation of Kohn-Sham eigenvalues.
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.
A density-matrix formulation of the ab initio methods of nonrelativistic quantum mechanics is presented. The variational equations for the standard calculational techniques of molecular quantum mechanics are derived from a single expression for the total energy of an N-particle system. A generalization of the Hohenberg-Kohn theorem is proved, showing that the ground-state energy of a many-body Hamiltonian is a functional of the single-particle density matrix and hence of the first-order reduced-density function (the diagonal of which is the particle density of the standard theorem). The theorem is used to develop a new method to calculate the total energy and single-particle properties of the many-body problem.
For a many-electron system, whether the particle density $\ensuremath{\rho}(\mathbf{r})$ and the total current density j(r)\mathbf{j}(\mathbf{r})j(r) are sufficent to determine the one-body potential V(r)V(\mathbf{r})V(r) and vector potential A(r)A(\mathbf{r})A(r) is still an open question. For the one-electron case, a Hohenberg-Kohn theorem exists formulated with the total current density. Here we show that the generalized Hohenberg-Kohn energy functional ${\mathcal{E}}_{{V}_{0},{\mathbf{A}}_{0}}(\ensuremath{\rho},\mathbf{j})=\ensuremath{\langle}\ensuremath{\psi}(\ensuremath{\rho},\mathbf{j}),H({V}_{0},{\mathbf{A}}_{0})\ensuremath{\psi}(\ensuremath{\rho},\mathbf{j})\ensuremath{\rangle}$ can be minimal for densities that are not the ground-state densities of the fixed potentials V0{V}_{0}V0​ and A0{\mathbf{A}}_{0}A0​. Furthermore, for an arbitrary number of electrons and under the assumption that a Hohenberg-Kohn theorem exists formulated with $\ensuremath{\rho}$ and j\mathbf{j}j, we discuss the possibility of a variational principle in total current-density-functional theory such as that of Hohenberg-Kohn.