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Physical Review A

Comment on “Nonuniqueness of algebraic first-order density-matrix functionals”

O. V. Gritsenko

Published Feb 14, 2018• 7 citations
Publisher

Abstract

Wang and Knowles (WK) [Phys. Rev. A 92, 012520 (2015)] have given a counterexample to the conventional in reduced density-matrix functional theory representation of the second-order reduced density matrix (2RDM) ${\mathrm{\ensuremath{\Gamma}}}_{ij,kl}$ in the basis of the natural orbitals as a function ${\mathrm{\ensuremath{\Gamma}}}_{ij,kl}(n)$ of the orbital occupation numbers (ONs) ${n}_{i}$. The observed nonuniqueness of ${\mathrm{\ensuremath{\Gamma}}}_{ij,kl}$ for prototype systems of different symmetry has been interpreted as the inherent inability of ON functions to reproduce the 2RDM, due to the insufficient information contained in the 1RDM spectrum. In this Comment, it is argued that, rather than totally invalidating ${\mathrm{\ensuremath{\Gamma}}}_{ij,kl}(n)$, the WK example exposes its symmetry dependence which, as well as the previously established analogous dependence in density functional theory, is demonstrated with a general formulation based on the Levy constrained search.

DOI
10.1103/physreva.97.026501

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Reply to “Comment on “Nonuniqueness of algebraic first-order density-matrix functionals” ”

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It is shown that symmetry considerations do not alter the conclusions of our original work [Phys. Rev. A 92, 012520 (2015)], and that there exists an example of an electronic system for which at several geometries the one-matrix eigenvalues are identical, but the two-matrix spectrum is not. It is still therefore the case that JK and related functionals that depend on the one-matrix eigenvalues to model the two-matrix cannot be made arbitrarily accurate.

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Wang and Knowles (WK) [Phys. Rev. A 92, 012520 (2015)] have given a counterexample to the conventional in reduced density-matrix functional theory representation of the second-order reduced density matrix (2RDM) \ensuremathΓij,kl{\mathrm{\ensuremath{\Gamma}}}_{ij,kl}\ensuremathΓij,kl​ in the basis of the natural orbitals as a function \ensuremathΓij,kl(n){\mathrm{\ensuremath{\Gamma}}}_{ij,kl}(n)\ensuremathΓij,kl​(n) of the orbital occupation numbers (ONs) ni{n}_{i}ni​. The observed nonuniqueness of \ensuremathΓij,kl{\mathrm{\ensuremath{\Gamma}}}_{ij,kl}\ensuremathΓij,kl​ for prototype systems of different symmetry has been interpreted as the inherent inability of ON functions to reproduce the 2RDM, due to the insufficient information contained in the 1RDM spectrum. In this Comment, it is argued that, rather than totally invalidating \ensuremathΓij,kl(n){\mathrm{\ensuremath{\Gamma}}}_{ij,kl}(n)\ensuremathΓij,kl​(n), the WK example exposes its symmetry dependence which, as well as the previously established analogous dependence in density functional theory, is demonstrated with a general formulation based on the Levy constrained search.
In many of the approximate functionals in one-body reduced density matrix (1RDM) functional theory, the approximate two-body reduced density matrix (2RDM) in the natural orbital representation only depends on the natural occupation numbers. In Phys. Rev. A 92, 012520 (2015) Wang and Knowles initialised the discussion to which extend this simplification is valid, by introducing two different H4_44​ geometries with identical natural occupation numbers, but different 2RDMs. Gritsenko has argued that this feature is due symmetry dependence of the exact functional [Phys. Rev. A 97, 026501 (2018)]. This work aims to contribute to the discussion on the following points: 1) the feature that the exact functional can yield different 2RDMs for the same set of natural occupations can be explained without symmetry, so is more general; 2) the exact functional is not symmetry dependent, though it is possible to define symmetry-restricted variants of the exact functionals; 3) symmetry-restricted functionals are derived for the H4_44​ geometries considered by Wang and Knowles, which can serve as guide in the construction of approximate 1RDM functionals.
In many of the approximate functionals in one-body reduced-density-matrix (1RDM) functional theory, the approximate two-body reduced density matrix (2RDM) in the natural orbital representation only depends on the natural occupation numbers. In Phys. Rev. A 92, 012520 (2015), Wang and Knowles initialized a discussion of to what extent this simplification is valid by introducing two different H4{\mathrm{H}}_{4}H4​ geometries with identical natural occupation numbers but different 2RDMs. Gritsenko has argued that this feature is due symmetry [Phys. Rev. A 97, 026501 (2018)]. This work aims to contribute to the discussion on the following points: (1) one should rather speak of symmetry-restricted variants of the universal functional than saying that the universal functional is symmetry dependent; (2) the unitary invariance of degenerate NOs can lead to large deviations in the 2RDM elements, especially the phase of the NOs; (3) symmetry-restricted functionals are constructed for the H4{\mathrm{H}}_{4}H4​ geometries considered by Wang and Knowles, whose structure could serve as guide in the construction of approximate 1RDM functionals.
van Dam [Phys. Rev. A 93, 052512 (2016)] claims that the one-particle reduced density matrix (1RDM) of an interacting system can be represented by means of a single-determinant wave function of fictitious noninteracting particles. van Dam [Phys. Rev. A 93, 052512 (2016)] introduced orbitals within a mean-field framework that produce energy levels similar to Hartree-Fock orbital energies, therefore he also claims that conventional analyses based on Koopmans' theorem are possible in 1RDM functional theory. In this Comment, we demonstrate that both claims are unfounded.
The adiabatic approximation is problematic in time-dependent density matrix functional theory. With pure density matrix functionals (invariant under phase change of the natural orbitals) it leads to lack of response in the occupation numbers, hence wrong frequency dependent responses, in particular α(ω→0)≠α(0) (the static polarizability). We propose to relinquish the requirement that the functional must be a pure one-body reduced density matrix (1RDM) functional, and to introduce additional variables which can be interpreted as phases of the one-particle states of the independent particle reference system formed with the natural orbitals, thus obtaining so-called phase-including natural orbital (PINO) functionals. We also stress the importance of the correct choice of the complex conjugation in the two-electron integrals in the commonly used functionals (they should not be of exchange type). We demonstrate with the Löwdin-Shull energy expression for two-electron systems, which is an example of a PINO functional, that for two-electron systems exact responses (polarizabilities, excitation energies) are obtained, while writing this energy expression in the usual way as a 1RDM functional yields erroneous responses.