The Kohn-Sham system in one-matrix functional theory

TL;DR

This paper explores the Kohn-Sham equations within one-matrix functional theory, revealing issues with eigenvalue collapse due to degeneracy and proposing a level shifting method to ensure convergence, demonstrated on a Hubbard model.

Contribution

It introduces an alternative derivation of 1MFT-KS equations that controls eigenvalue collapse and demonstrates the method on a solvable Hubbard model.

Findings

Eigenvalue collapse causes divergence in KS iterations.

Level shifting method ensures convergence of KS equations.

Application to Hubbard model validates the approach.

Abstract

A system of electrons in a local or nonlocal external potential can be studied with 1-matrix functional theory (1MFT), which is similar to density functional theory (DFT) but takes the one-particle reduced density matrix (1-matrix) instead of the density as its basic variable. Within 1MFT, Gilbert derived [PRB 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 1-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 1-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, equal to the chemical potential. 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 1-matrix of an exactly solvable two-site Hubbard model.