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International Journal of Quantum Chemistry

Role of the generalized pauli constraints in the quantum chemistry of excited states

Romit Chakraborty, David A. Mazziotti

Published Mar 20, 2016• 17 citations
Publisher

Abstract

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.

DOI
10.1002/qua.25120

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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 Pauli exclusion principle requires the spectrum of the occupation numbers of the one-electron reduced density matrix (1-RDM) to be bounded by one and zero. However, for a 1-RDM from a wave function, there exist additional conditions on the spectrum of occupation numbers, known as pure NNN-representability conditions or generalized Pauli conditions. For atoms and molecules, we measure through a Euclidean-distance metric the proximity of the 1-RDM spectrum to the facets of the convex set (polytope) generated by the generalized Pauli conditions. For the ground state of any spin symmetry, as long as time-reversal symmetry is considered in the definition of the polytope, we find that the 1-RDM's spectrum is pinned to the boundary of the polytope. In contrast, for excited states, we find that the 1-RDM spectrum is not pinned. Proximity of the 1-RDM to the boundary of the polytope provides a measurement and classification of electron correlation and entanglement within the quantum system. For comparison, this distance to the boundary of the generalized Pauli conditions is also compared to the distance to the polytope of the traditional Pauli conditions, and the distance to the nearest 1-RDM spectrum from a Slater determinant. We explain the difference in pinning in the ground- and excited-state 1-RDMs through a connection to the NNN-representability conditions of the two-electron reduced density matrix.
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.
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.
Abstract The concept of active spaces simplifies the description of interacting quantum many-body systems by restricting to a neighborhood of active orbitals around the Fermi level. The respective wavefunction ansatzes which involve all possible electron configurations of active orbitals can be characterized by the saturation of a certain number of Pauli constraints 0 ≤ n i ≤ 1 , identifying the occupied core orbitals (n i = 1) and the inactive virtual orbitals (n j = 0). In Part I, we generalize this crucial concept of active spaces by referring to the generalized Pauli constraints. To be more specific, we explain and illustrate that the saturation of any such constraint on fermionic occupation numbers characterizes a distinctive set of active electron configurations. A converse form of this selection rule establishes the basis for corresponding multiconfigurational wavefunction ansatzes. In Part II, we provide rigorous derivations of those findings. Moroever, we extend our results to non-fermionic multipartite quantum systems, revealing that extremal single-body information has always strong implications for the multipartite quantum state. In that sense, our work also confirms that pinned quantum systems define new physical entities and the presence of pinnings reflect the existence of (possibly hidden) ground state symmetries.
Postulated by Pauli to explain the electronic structure of atoms and molecules, the exclusion principle establishes an upper bound of 1 for fermionic natural occupation numbers ni{{n}_{i}}ni​. A recent analysis of the pure NNN-representability problem provides a wide set of inequalities for the ni{{n}_{i}}ni​, leading to constraints on these numbers. This has a strong potential impact on reduced density matrix functional theory as we know it. In this work we continue our study of the nature of these inequalities for some atomic and molecular systems. The results indicate that (quasi)saturation of some of them leads to selection rules for the dominant configurations in configuration interaction expansions, in favorable cases providing means for significantly reducing their computational requirements.