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arXiv:cond-mat/0610322 · Physical Review A

Degenerate ground states and nonunique potentials: Breakdown and restoration of density functionals

Klaus Capelle, Carsten A. Ullrich, Giovanni Vignale

Published Jul 19, 2007• 19 citations
arXivHTMLPDF

Abstract

The Hohenberg-Kohn (HK) theorem is one of the most fundamental theorems of quantum mechanics, and constitutes the basis for the very successful density-functional approach to inhomogeneous interacting many-particle systems. Here we show that in formulations of density-functional theory (DFT) that employ more than one density variable, applied to systems with a degenerate ground state, there is a subtle loophole in the HK theorem, as all mappings between densities, wave functions, and potentials can break down. Two weaker theorems which we prove here, the joint-degeneracy theorem and the internal-energy theorem, restore the internal, total, and exchange-correlation energy functionals to the extent needed in applications of DFT to atoms, molecules, and solids. The joint-degeneracy theorem constrains the nature of possible degeneracies in general many-body systems.

DOI
10.1103/physreva.76.012508

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The Hohenberg-Kohn (HK) theorem is one of the most fundamental theorems of quantum mechanics, and constitutes the basis for the very successful density-functional approach to inhomogeneous interacting many-particle systems. Here we show that in formulations of density-functional theory (DFT) that employ more than one density variable, applied to systems with a degenerate ground state, there is a subtle loophole in the HK theorem, as all mappings between densities, wave functions, and potentials can break down. Two weaker theorems which we prove here, the joint-degeneracy theorem and the internal-energy theorem, restore the internal, total, and exchange-correlation energy functionals to the extent needed in applications of DFT to atoms, molecules, and solids. The joint-degeneracy theorem constrains the nature of possible degeneracies in general many-body systems.
Abstract In this chapter, the Hohenberg-Kohn theorem of DFT is formulated and proved. This theorem says that there is a unique one-to-one correspondence between potentials and ground-state densities in electronic many-body systems. The original proof of Hohenberg and Kohn is presented and discussed, which proceeds in two steps: first, the mapping from potentials to wave functions is shown to be unique, followed by the mapping from wave functions to densities. Two corollaries of the theorem are then discussed: the variational principle, whereby the exact ground-state energy can be found by variation of the energy functional, and then the universality of parts of this energy functional. The so-called constrained search formalism is also briefly discussed.
The Hohenberg-Kohn theorem is extended to the case that the external potential is nonlocal. It is shown that, in this more general case, a nondegenerate ground-state wave function is a universal functional of the one-particle density kernel $\ensuremath{\mu}(x,{x}^{\ensuremath{'}})$, but probably not of the particle density $n(\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}})=\ensuremath{\Sigma}{s}^{}\ensuremath{\mu}(\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}}s,\stackrel{\ensuremath{\rightarrow}}{\mathrm{r}}s)$. The variational equations for the local and nonlocal cases are compared. The former must be replaced by a variational equation for an equivalent system of noninteracting particles, following a prescription of Kohn and Sham, in order to obtain a Schr\"odinger-like form, and contains only local potentials. The latter may be obtained directly in Schr\"odinger-like form, but the exchange-correlation potential is nonlocal. If the nonlocal pseudo-Hamiltonian exists [i.e., if the functional derivative $\frac{\ensuremath{\delta}E}{\ensuremath{\delta}\ensuremath{\mu}(x,{x}^{\ensuremath{'}})}$ exists for a nondegenerate ground-state density kernel], then the eigenfunctions of the pseudo-Hamiltonian are natural spin orbitals, and all partially occupied orbitals ($0<〈{\ensuremath{\varphi}}_{i}|\ensuremath{\mu}|{\ensuremath{\varphi}}_{i}〉<1$) belong to the same degenerate eigenvalue of the pseudo-Hamiltonian. Finally, it is shown, as a corollary of Coleman's theorem for NNN-representable density kernels, that any finite non-negative differentiable function is an NNN-representable particle density.
The analysis in this paper shows that the Hohenberg-Kohn theorem is the constellation of two statements: (i) the mathematically rigorous Hohenberg-Kohn lemma, which demonstrates that the same ground-state density cannot correspond to two different potentials of an external field, and (ii) the hypothesis of the existence of the universal density functional. Based on the obtained explicit expression for the nonrel-ativistic particle energy in a local external field, we prove that the energy of the system of more than two non-interacting electrons cannot be a functional of the inhomogeneous density. This result is generalized to the system of interacting electrons. It means that the Hohenberg-Kohn lemma cannot provide justification of the universal density functional for fermions. At the same time, statements of the density functional theory remain valid when considering any number of noninteracting ground-state bosons due to the Bose condensation effect. In the framework of the density matrix functional theory, the hypothesis of the existence of the universal density matrix functional corresponds to the cases of noninteracting particles and to interaction in the Hartree-Fock approximation.
Abstract The Hohenberg–Kohn (HK) theorem for interacting electrons is a cornerstone of modern electronic structure calculations. For a general quantum system, a HK‐type Hamiltonian in the form of can always be defined, by grouping those terms with fixed or preknown coefficients into an internal part of the Hamiltonian , and factorizing the remaining as the superposition of a set of Hermitian operators . It is asked whether the HK theorem can be extended to such a general setting, so that the ground‐state expectation values of as the generalized density can in principle be used as the fundamental variables determining all the properties of the system. It is shown that the question can be addressed by the invertibility of generalized density correlation matrix (GDCM) defined with respect to the operators. This criterion is applied to several representative examples, including the quantum Ising dimer, frustration‐free systems, N ‐level quantum systems and a fermionic Hubbard chain. It is suggested that for a finite‐size system, finding an invertible GDCM under one single configuration is typically sufficient to establish the generic extensibility of the HK theorem in the entire parameter space.
The advent of the Hohenberg-Kohn theorem in 1964, its extension to finite- T , Kohn-Sham theory, and relativistic extensions provide the well-established formalism of density-functional theory (DFT). This theory enables the calculation of all static properties of quantum systems without the need for an n -body wavefunction ψ. DFT uses the one-body density distribution instead of ψ. The more recent time-dependent formulations of DFT attempt to describe the time evolution of quantum systems without using the time-dependent wavefunction. Although DFT has become the standard tool of condensed-matter computational quantum mechanics, its foundational implications have remained largely unexplored. While all systems require quantum mechanics (QM) at T =0, the pair-distribution functions (PDFs) of such quantum systems have been accurately mapped into classical models at effective finite- T , and using suitable non-local quantum potentials (e.g., to mimic Pauli exclusion effects). These approaches shed light on the quantum → hybrid → classical models, and provide a new way of looking at the existence of non- local correlations without appealing to Bell's theorem. They also provide insights regarding Bohmian mechanics. Furthermore, macroscopic systems even at 1 Kelvin have de Broglie wavelengths in the micro-femtometer range, thereby eliminating macroscopic cat states, and avoiding the need for ad hoc decoherence models.
The Hohenberg-Kohn theorem and the Kohn-Sham equations, which are at the basis of the density-functional theory, are reformulated in terms of a particular many-body density, which is translational and Galilean invariant and therefore is relevant for self-bound systems. In a similar way that there is a unique relation between the one-body density and the external potential that gives rise to it, we demonstrate that there is a unique relation between that particular many-body density and a definite many-body potential. The energy is then a functional of this density, and its minimization leads to the ground-state energy of the system. As a proof of principle, the analogous of the Kohn-Sham equation is solved in the specific case of 4He^{4}\mathrm{He}4He atomic clusters, to put in evidence the advantages of this formulation in terms of physical insights.