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Interior finite-temperature stationarity gives Fermi-Dirac occupations
Statement
Let be a global minimizer of from Fixed-particle finite-temperature density-matrix free energy. It is interior by A finite-temperature minimizer has strictly interior occupations. If is the Hermitian Frobenius gradient of the energy, then there is a real chemical potential such that For a fixed Hermitian field independent of , the equation has exactly one real solution when . In a nonlinear self-consistent model, this uniqueness of for each fixed field does not imply uniqueness of the density solving the self-consistency equation.
Facts & Assumptions
Given: , , , a real energy , and an interior minimizer of its entropy-regularized free energy.
The trace-constrained density domain and free-energy functional are as in the finite-temperature definition (Fixed-particle finite-temperature density-matrix free energy).
Every minimizer has (A finite-temperature minimizer has strictly interior occupations).
For interior , the entropy trace derivative is (The finite-temperature matrix entropy has its interior trace derivative).
A finite-dimensional Hermitian matrix has an orthonormal eigenbasis and its scalar functions act on eigenvalues (Complex spectral theorem: a normal endomorphism of a finite-dimensional complex inner product space has an orthonormal eigenbasis, and conversely, For normal endomorphisms, the spectral functional calculus respects sums, products, adjoints, and composition of scalar functions).
A continuous real function on an interval takes every value between its endpoint values (Intermediate value theorem, by bisection with a canonical left-half rule: a continuous function on takes every value between and ).
The real exponential is continuous and strictly increasing, tends to at and to at , and takes only positive values (The real exponential function and the number by a power series, The exponential function is strictly increasing, The exponential tends to at and to at ).
Proof
Let be any traceless Hermitian matrix. Since and are positive definite, their least eigenvalues have a positive minimum . For , both and remain positive definite, and the trace remains . Thus is feasible for both signs of small . At a minimizer its directional derivative is zero; [F3] gives
Put . This is Hermitian. Choose , which is Hermitian and traceless. Step 1.1 gives , hence and with real .
Rearranging step 2.1 gives , so is a scalar function of . In the spectral basis of , for each eigenvalue the scalar equation is , whose unique solution is . Applying this scalar identity to the spectral functional calculus [F4] proves the matrix formula.
For a fixed Hermitian , diagonalize it by [F4] with real eigenvalues , and define . By [F6] and , each summand is continuous and strictly increasing in . Its limits are as and as , so is continuous and strictly increasing with limits and . Since , these limits give finite real numbers and with . Strict increase implies . Applying [F5] to on the closed interval gives a solution with , and strict increase makes it unique. This scalar argument proves uniqueness of the multiplier for the fixed field only.
Depends on
- Fixed-particle finite-temperature density-matrix free energy
- The finite-temperature matrix entropy has its interior trace derivative
- A finite-temperature minimizer has strictly interior occupations
- Complex spectral theorem: a normal endomorphism of a finite-dimensional complex inner product space has an orthonormal eigenbasis, and conversely
- For normal endomorphisms, the spectral functional calculus respects sums, products, adjoints, and composition of scalar functions
- The operator norm is zero on the zero domain and otherwise is max_{||v||=1} ||Tv||
- The Frobenius norm $\lVert A\rVert_F=(\sum_{i,j}|a_{ij}|^2)^{1/2}$ on real or complex matrices
- Intermediate value theorem, by bisection with a canonical left-half rule: a continuous function on $[a,b]$ takes every value between $f(a)$ and $f(b)$
- The real exponential function and the number $e$ by a power series
- The exponential function is strictly increasing
- The exponential tends to $+\infty$ at $+\infty$ and to $0$ at $-\infty$
Used by
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Sources
- Daniel Arovas, Thermodynamics and Statistical Mechanics, §7.4 Variational Density Matrix Method, UC San Diego / Physics LibreTexts (standard reference, not scraped)
- Eric Cancès and Claude Le Bris, On the convergence of SCF algorithms for the Hartree-Fock equations, ESAIM: Mathematical Modelling and Numerical Analysis 34 (2000), §2.1 (standard reference, not scraped)