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Dyson Field: A Quasiparticle Mapping for Multi-State Density Functional Theory

Yangyi Lu, Jiali Gao

Published Apr 20, 2026• 0 citations
Publisher

Abstract

Multistate density functional theory (MSDFT) provides a rigorous variational framework for the simultaneous description of multiple electronic states through a matrix density, but practical implementations have relied on multiconfigurational many-body wavefunctions. Here, we introduce the Dyson field, ψ(r), an L×N matrix-valued function of the coordinate r that factorizes the matrix density as D(r) = ψ†(r)ψ(r). The elements of ψ(r) = {ψpA(r)} are shown to be Dyson orbitals connecting the n-electron states of interest to (n − 1)-electron ionization channels of size L, providing a direct physical interpretation of the matrix density in terms of electron removal amplitudes. Variational minimization of the MSDFT subspace energy with respect to the Dyson field yields a matrix Fock equation, in which the kinetic and external potential operators act locally, while Hartree and exchange–correlation effects appear as N×N matrix potentials, VH[D](r) and Vxc[D](r), that couple electronic states within the subspace. This formulation defines a quasiparticle reference system for MSDFT that is analogous to the Kohn–Sham orbitals in Hohenberg-Kohn DFT. In appropriate limits, the formalism reduces exactly to Kohn-Sham DFT for N = 1 and to the Tamm-Dancoff approximation of time-dependent DFT within the single-excitation manifold. More generally, the Dyson-field construction transforms MSDFT from a formally exact but wavefunction-dependent framework into an orbital-based theory, opening a practical route to self-consistent, density-based treatments of strongly correlated and electronically coupled states.

DOI
10.65215/ltspreprints.2026.04.20.000192

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Multistate density functional theory (MSDFT) provides a rigorous variational framework for the simultaneous description of multiple electronic states through a matrix density, but practical implementations have relied on multiconfigurational many-body wavefunctions. Here, we introduce the Dyson field, ψ(r), an L×N matrix-valued function of the coordinate r that factorizes the matrix density as D(r) = ψ†(r)ψ(r). The elements of ψ(r) = {ψpA(r)} are shown to be Dyson orbitals connecting the n-electron states of interest to (n − 1)-electron ionization channels of size L, providing a direct physical interpretation of the matrix density in terms of electron removal amplitudes. Variational minimization of the MSDFT subspace energy with respect to the Dyson field yields a matrix Fock equation, in which the kinetic and external potential operators act locally, while Hartree and exchange–correlation effects appear as N×N matrix potentials, VHD and VxcD, that couple electronic states within the subspace. This formulation defines a quasiparticle reference system for MSDFT that is analogous to the Kohn–Sham orbitals in Hohenberg-Kohn DFT. In appropriate limits, the formalism reduces exactly to Kohn-Sham DFT for N = 1 and to the Tamm-Dancoff approximation of time-dependent DFT within the single-excitation manifold. More generally, the Dyson-field construction transforms MSDFT from a formally exact but wavefunction-dependent framework into an orbital-based theory, opening a practical route to self-consistent, density-based treatments of strongly correlated and electronically coupled states.
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Multistate density functional theory (MSDFT) generalizes Kohn–Sham density functional theory to a finite subspace of interacting states through a Hamiltonian matrix functional of the matrix density D(r). A central challenge is to construct matrix functionals that preserve subspace unitary invariance while encoding nontrivial state coupling. Here we show that any local, unitary-covariant matrix functional of D(r) must be codiagonalizable with D(r), and is therefore completely specified by a scalar generator acting on its eigenvalues. This establishes a one-to-all mapping from a scalar generator to the full matrix functional. As a consequence, the construction of N2 matrix elements is reduced to a single scalar mapping evaluated on the eigenvalue spectrum at each spatial grid point. The formalism is illustrated using a four-state Hubbard model, where exact reconstruction is achieved with a known scalar function, and deviations from this mapping can be systematically corrected within the spectral framework. The results provide a rigorous foundation for constructing local matrix exchange–correlation functionals with computational complexity comparable to Kohn–Sham DFT, and offer a practical route toward scalable MSDFT approximations.
Abstract Density functional theory (DFT) is usually formulated in terms of the electron density as a function of position n(r). Here we discuss an alternative formulation of DFT in terms of the orbital occupation numbers {n α } associated with a local-orbital orthonormal basis set {ϕ α }. First, we discuss how the building blocks of DFT, namely the Hohenberg–Kohn theorems, the Levy–Lieb approach and the Kohn–Sham method, can be adapted for a description in terms of {n α }. In particular, the total energy is now a function of {n α }, E[{n α }], and a Kohn–Sham-like Hamiltonian is derived introducing the effects of the electron–electron interactions via effective potentials, { V α eff = ∂ E e e [ { n β } ] / ∂ n α } . In a second step we consider the Hartree and exchange energies and discuss how to describe them, in the spirit of a DFT approach, in terms of the orbital occupation numbers. In this contribution special attention is paid to the description of the (intra-atomic) correlation energy and corresponding correlation potentials {V corr,α }. For this purpose, a model system is analyzed in detail, whereby an atomic Hamiltonian interacts with the environment via a simplified model; the use of this model allows us to obtain the correlation energy and potentials (in terms of {n α }) for different cases corresponding to low, intermediate and high electron correlations.
Providing sufficient accuracy at low-computational cost, not surprisingly, density-functional theory ( DFT ) is a standard tool in theoretical material science. Similarly, quantum-electrodynamical density-functional theory ( QEDFT ) provides a promising route to describe experiments at the interface of quantum optics and quantum chemistry. Formally, in the Kohn-Sham ( KS ) formulation of DFT and QEDFT the exact many-particle Schrödinger equation is replaced by a set of coupled non-linear one-particle differential equations. The electron-electron, the electron-ion and the electron-photon interactions of the interacting system are mimicked by their corresponding effective KS potential with an, in principle unknown exchange-correlation ( xc ) term. In practice, DFT and QEDFT require approximations for this xc potential. The quality of which fully determines how much the DFT and QEDFT observables deviate from the exact ones. Understanding the shortcomings and improving the quality of approximate functionals makes the study of the exact functional of model systems indispensable. Here, we employ exact diagonalization for the Hamiltonian of different types of real-space lattice models in one spatial dimension to access the ground-state wave function, and thus to explicitly construct the exact functionals of DFT and QEDFT . To study the functional behavior of purely electronic systems, we consider two singlet-state electrons moving in an external potential with two connected atomic wells of variable depth and distance. To study coupled electron-photon systems, we consider the Rabi Hamiltonian with variable electron-photon coupling strength. By varying the model parameters, we systematically construct the functionals for systems from weak to strong coupling between the building blocks of the global system. Using the concept of the effective density-to- potential map, we discuss the intrasystem steepening which is an exact condition on the xc functional that captures the static correlation present in the system and carve out how it relates to the well-known intersystem derivative discontinuity. We further construct arbitrary observables as functionals of the internal variables which are directly affected by such features of the effective density-to-potential map. By constructing the reduced dipole map in the four-particle case of coupled electron-photon system, we show that the density-to-potential map helps to identify and understand recently discovered physical effects in the field of strongly coupled electron-photon systems. This work provides a contribution to the development of approximate function- als required in practical density-functional calculations of arbitrary experimentally accessible observables. Both the intrasystem steepening and the intersystem derivative discontinuity play a crucial role for systems with highly-localized electrons. Including both features in approximate functionals will improve the accu- racy of DFT evaluation of observables for such systems. Those results provide novel insight into the properties of the exact xc potentials in QEDFT . This work opens a new route to construct new functionals using coarse-grained or embed- ding approaches within the general and exact frameworks of DFT and QEDFT.
By introducing a set of auxiliary equations representing a many-body system, we have derived an extension of the Kohn-Sham scheme for the density functional theory. These equations consist of a Kohn-Sham-type equation determining single-particle orbitals and an eigen-value equation for an effective many-body problem. A variational method similar to the Kohn-Sham technique was utilized to derive effective interactions as well as effective potentials without artificial substitution of a Hubbard-type interaction and a mean-field correction in the energy functional. The second equation is described by an effective many-body Hamiltonian with both 2-body interactions and mean-field terms. Rigorous formulation of the extended Kohn-Sham equation is also given in accordance with the Hadjisavvas-Theophilou formulation. Our formulation can be interpreted as a way to define models of the strongly correlated electron systems, e.g. the Hubbard model
A generating coordinate is introduced into the exchange-correlation functional of density functional theory (DFT). The many-body wave function is represented as a superposition of Kohn–Sham (KS) Slater determinants arising from different values of the generating coordinate. This superposition is used to variationally calculate many-body energies and wave functions from solutions of the KS equation of DFT. The method works for ground and excited states, and does not depend on identifying the KS orbitals and energies with physical ones. Numerical application to the Helium isoelectronic series illustrates the method’s viability and potential.