The Kohn-Sham (KS) equations determine, in a self-consistent way, the particle density of an interacting fermion system at thermal equilibrium. We consider a situation when the KS equations are known to have a unique solution at high temperatures and this solution is a uniform particle density. We show that, at zero temperature, there are stable solutions that are not uniform. We provide the general principles behind this phenomenon, namely the conditions when it can be observed and how to construct these non-uniform solutions. Two concrete examples are provided, including fermions on the sphere which are shown to crystallize in a structure that resembles the C60 molecule. 1
The Kohn-Sham (KS) equations determine, in a self-consistent way, the particle density of an interacting fermion system at thermal equilibrium. We consider a situation when the KS equations are known to have a unique solution at high temperatures and this solution is a uniform particle density. We show that, at zero temperature, there are stable solutions that are not uniform. We provide the general principles behind this phenomenon, namely the conditions when it can be observed and how to construct these non-uniform solutions. Two concrete examples are provided, including fermions on the sphere which are shown to crystallize in a structure that resembles the C60 molecule. 1
Many problems in physical chemistry involve systems that are coupled to an environment, such as a molecule interacting with an adjacent surface, possibly resulting in meta-stable molecular states where electron density is transferred to the surface. Such systems can be described by non-Hermitian quantum mechanics (NHQM), where the Hamiltonian includes dissipative terms. Within NHQM, one can also formulate the Hartree-Fock (HF) and Kohn-Sham (KS) methods and, as in the conventional theory, an effective independent-particle picture is employed. The crucial observation of the present work is that even for systems that are not coupled to an environment, in the HF or KS equation a single electron is coupled to a bath of the remaining electrons which can act as an environment, opening up the possibility for the exchange of current density between the one-electron and the remaining N-1 electron system. The corresponding self-consistent states represent a new uncharted space of solutions to the HF and KS equations. We show that the additional solutions can have a physical interpretation and thus extend the range of problems HF and KS can be applied to. If open-system HF and KS calculations are performed, the new class of solutions is always encountered but this has also not been noted previously.
Abstract Reducing the many-fermion problem to a set of single-particle (s.p.) equations, the Kohn–Sham (KS) theory has provided a practical tool to implement ab initio calculations of ground-state energies and densities in many-electron systems. There have been attempts to extend the KS theory so that it could describe other physical quantities, or it could be applied to other many-fermion systems. By generalizing and reformulating the KS theory in terms of the 1-body density matrix, we expose the minimal composition of the theory that enables the reduction of the many-fermion problem to the s.p. equations. Based on the reformulation, several basic issues are reconsidered. The v- and N-representabilities for the KS theory are distinguished from those for the Hohenberg-Kohn theorem. Criteria for the extendability of the KS theory are addressed.
A system of electrons in a local or nonlocal external potential can be described with one-matrix functional theory (1MFT), which is similar to density-functional theory (DFT) but takes the one-particle reduced density matrix (one-matrix) instead of the density as its basic variable. Within 1MFT, Gilbert derived [Phys. Rev. B 12, 2111 (1975)] effective single-particle equations analogous to the Kohn-Sham (KS) equations in DFT. The self-consistent solution of these 1MFT-KS equations reproduces not only the density of the original electron system but also its one-matrix. While in DFT it is usually possible to reproduce the density using KS orbitals with integer (0 or 1) occupancy, in 1MFT reproducing the one-matrix requires in general fractional occupancies. The variational principle implies that the KS eigenvalues of all fractionally occupied orbitals must collapse at self-consistency to a single level. We show that as a consequence of the degeneracy, the iteration of the KS equations is intrinsically divergent. Fortunately, the level-shifting method, commonly introduced in Hartree-Fock calculations, is always able to force convergence. We introduce an alternative derivation of the 1MFT-KS equations that allows control of the eigenvalue collapse by constraining the occupancies. As an explicit example, we apply the 1MFT-KS scheme to calculate the ground state one-matrix of an exactly solvable two-site Hubbard model.
Building on our recent study [Giarrusso and Loos, J. Phys. Chem. Lett. 14, 8780 (2023)], we explore the generalization of the ground-state Kohn-Sham (KS) formalism of density-functional theory (DFT) to the (singlet) excited states of the asymmetric Hubbard dimer at half-filling. While we found that the KS-DFT framework can be straightforwardly generalized to the highest-lying doubly excited state, the treatment of the first excited state presents significant challenges. In particular, using a density-fixed adiabatic connection, we show that the density of the first excited state lacks non-interacting v-representability. However, by employing an analytic continuation of the adiabatic path, we demonstrate that the density of the first excited state can be generated by a complex-valued external potential in the non-interacting case. More practically, by performing state-specific KS calculations with exact and approximate correlation functionals-each state possessing a distinct correlation functional-we observe that spurious stationary solutions of the KS equations may arise due to the approximate nature of the functional.
Many problems in physical chemistry involve systems that are coupled to an environment, such as a molecule interacting with a nearby surface. In these cases, electron density may flow between the system and its surroundings, leading to metastable states and other open-system phenomena that cannot be captured by conventional Hermitian quantum mechanics. Non-Hermitian quantum mechanics (NHQM) [1] provides a natural framework for the description of open systems. Hartree-Fock (HF) and Kohn-Sham (KS) methods can be extended to the non-Hermitian domain [2–7]. Here, we show that even for nominally isolated systems, within HF and KS, each electron can be viewed as coupled to the remaining electrons, which serve as an environment. This viewpoint reveals that an electron can leave or rejoin the system, producing self-consistent complex potentials. These unconventional solutions are absent in the conventional closed-system HF and KS approach. We show that these additional solutions can be physically meaningful. Our results highlight the importance of incorporating non-Hermitian perspectives into electronic structure calculations, offering new insights and extending the range of problems HF and KS can be applied to. [1] Moiseyev, N. Non-Hermitian Quantum Mechanics, Cambridge University Press (2011). [2] Zhou, Y., Ernzerhof, M. J. Chem. Phys. 136, 094105 (2012). [3] Ernzerhof, M. J. Chem. Phys. 125, 124104 (2006). [4] Zhou, Y., Ernzerhof, M. J. Phys. Chem. Lett. 3, 1916–1920 (2012). [5] Burton, H. G. A., Thom, A. J. W. J. Chem. Theory Comput. 12, 167–173 (2016). [6] Burton, H. G. A., Gross, M., Thom, A. J. W. J. Chem. Theory Comput. 14, 607–618 (2018). [7] Burton, H. G. A., Thom, A. J. W., Loos, P.-F. J. Chem. Theory Comput. 15, 4374–4385 (2019).
We formulate the inverse Kohn–Sham equations based on the density equation theory. The present formulation relies on neither action functionals nor force balance equation, but is constructed by comparing the first-order density equation for the electron interacting real system and that for the electron non-interacting Kohn–Sham system. The derived inverse Kohn–Sham integral equation requires information of an exact ground-state electron density to calculate an exact Kohn–Sham potential for a ground state and it requires an exact time-dependent electron density and a time-derivative of the exact time-dependent first-order density matrix to calculate an exact time-dependent Kohn–Sham potential. A possible algorithm to construct the Kohn–Sham potential for a ground state is suggested as well as a solution algorithm for the time-dependent inverse Kohn–Sham problem without resorting to any approximations. These two solution algorithms, in combination, suggest a way to perform an exact time-dependent density functional calculation as a predictive method.