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Symmetry-restricted functionals in one-body reduced density matrix functional theory

Klaas J. H. Giesbertz

Published Sep 11, 2019• 0 citations
OpenAlex

Abstract

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 H$_4$ 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 H$_4$ geometries considered by Wang and Knowles, which can serve as guide in the construction of approximate 1RDM functionals.

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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.
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) ni{n}_{i}ni​. 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.
We consider necessary conditions for the one-body reduced density matrix (1RDM) to correspond to a triplet wave function of a two-electron system. The conditions concern the occupation numbers and are different for the high spin projections, Sz = ±1, and the Sz = 0 projection. Hence, they can be used to test if an approximate 1RDM functional yields the same energies for both projections. We employ these conditions in reduced density matrix functional theory calculations for the triplet excitations of two-electron systems. In addition, we propose that these conditions can be used in the calculation of triplet states of systems with more than two electrons by restricting the active space. We assess this procedure in calculations for a few atomic and molecular systems. We show that the quality of the optimal 1RDMs improves by applying the conditions in all the cases we studied.
For translationally invariant one-band lattice models, we exploit the ab initio knowledge of the natural orbitals to simplify reduced density matrix functional theory (RDMFT). Striking underlying features are discovered. First, within each symmetry sector, the interaction functional F\mathcal{F}F depends only on the natural occupation numbers $\mathbit{n}$. The respective sets PN1{\mathcal{P}}_{N}^{1}PN1​ and EN1{\mathcal{E}}_{N}^{1}EN1​ of pure and ensemble NNN-representable one-matrices coincide. Second, and most importantly, the exact functional is strongly shaped by the geometry of the polytope ${\mathcal{E}}_{N}^{1}\ensuremath{\equiv}{\mathcal{P}}_{N}^{1}$, described by linear constraints ${D}^{(j)}(\mathbit{n})\ensuremath{\ge}0$. For smaller systems, it follows as $\mathcal{F}[\mathbit{n}]=\ensuremath{\sum}_{i,{i}^{\ensuremath{'}}}{\overline{V}}_{i,{i}^{\ensuremath{'}}}\sqrt{{D}^{(i)}(\mathbit{n}){D}^{({i}^{\ensuremath{'}})}(\mathbit{n})}$. This generalizes to systems of arbitrary size by replacing each D(i){D}^{(i)}D(i) by a linear combination of ${{D}^{(j)}(\mathbit{n})}$ and adding a nonanalytical term involving the interaction $\stackrel{^}{V}$. Third, the gradient $d\mathcal{F}/d\mathbit{n}$ is shown to diverge on the boundary $\ensuremath{\partial}{\mathcal{E}}_{N}^{1}$, suggesting that the fermionic exchange symmetry manifests itself within RDMFT in the form of an ``exchange force.'' All findings hold for systems with a nonfixed particle number as well and $\stackrel{^}{V}$ can be any ppp-particle interaction. As an illustration, we derive the exact functional for the Hubbard square.
One of the major computational bottlenecks in one-body reduced density matrix (1RDM) functional theory is the evaluation of approximate 1RDM functionals and their derivatives. The reason is that more advanced approximate functionals are almost exclusively defined in the natural orbital basis, so a 4-index transformation of the two-electron integrals appears to be unavoidable. I will show that this is not the case and that so-called separable functionals can be evaluated much more efficiently, i.e. only at cubic cost in the basis size. Since most approximate functionals are actually separable, this new algorithm is an important development to make 1RDM functional theory calculations feasible for large electronic systems.
We develop a systematic approach to construct energy functionals of the one-particle reduced density matrix (1RDM) for equilibrium systems at finite temperature. The starting point of our formulation is the grand potential Ω [ G ] regarded as variational functional of the Green’s function G based on diagrammatic many-body perturbation theory and for which we consider either the Klein or Luttinger–Ward form. By restricting the input Green’s function to be one-to-one related to a set on one-particle reduced density matrices (1RDM) this functional becomes a functional of the 1RDM. To establish the one-to-one mapping we use that, at any finite temperature and for a given 1RDM γ in a finite basis, there exists a non-interacting system with a spatially non-local potential v [ γ ] which reproduces the given 1RDM. The corresponding set of non-interacting Green’s functions defines the variational domain of the functional Ω . In the zero temperature limit we obtain an energy functional E [ γ ] which by minimisation yields an approximate ground state 1RDM and energy. As an application of the formalism we use the Klein and Luttinger–Ward functionals in the GW-approximation to compute the binding curve of a model hydrogen molecule using an extended Hubbard Hamiltonian. We compare further to the case in which we evaluate the functionals on a Hartree–Fock and a Kohn–Sham Green’s function. We find that the Luttinger–Ward version of the functionals performs the best and is able to reproduce energies close to the GW energy which corresponds to the stationary point.