Hartree-Fock Method

The Hartree-Fock method is an iterative procedure that optimises an approximate asymmetric wavefunction using the variational principle, in the attempt to estimate the eigenvalues of a modified form of the non-relativistic multi-electron Hamiltonian.

One of the deficiencies of the Hartree self-consistent field method is that it does not consider exchange forces due to electron spin interactions. This is because the derivation of the Hartree equations uses eq3, which does not satisfy the Pauli exclusion principle. In 1930, Vladimir Fock developed an improved procedure called the Hartree-Fock method. It replaces the product of orbitals in eq3 with a Slater determinant of spin-orbitals to represent the wavefunction of an atom.

Similar to the Hartree self-consistent field method, the computation of the energy of an atom via the Hartree-Fock method involves simultaneously solving a set of equations called the Hartree-Fock equations:

where .

The derivation of the Hartree-Fock equations is shown in the next article.

 

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Proof of the Hartree equations

To proof the Hartree equations, we begin by rearranging eq4:


Noting that is normalised and simplifying the 1st and 2nd terms on RHS of eq15, we have

respectively, where , , and .

Substituting eq16 and eq17 back in eq15, noting that (see this article for explanation)

where E is a functional of 2n independent variables, with n variables of and n variables of .

To find the minimum value of E subject to n constraints of , we apply the Lagrange method of undetermined multipliers to form the new functional , where

Question

Show that .

Answer

Taking the complex conjugate of F throughout, noting that E and hence F is real (recall that the functional F is obtained by subtracting the function , where from E),

Comparing the above equation with the original F,

 

Substituting eq18 in and , and noting that the 2nd order terms are approximately zero,




The minimum energy corresponding to F is when a small change in the functional’s input (change in and ) yields no change in the functional’s output, i.e. when , or

 

Question

Show that is Hermitian.

Answer

Since is Hermitian and is real,

 

Using the Hermitian property of the operator

 It can be easily shown, by expanding the Coulomb terms in the above equation, that 1st and 2nd Coulomb terms are the same, and that the 3rd and 4th Coulomb terms are the same. Therefore,

and can now be chosen arbitrarily. If we vary only the k-th function , eq20a becomes

Since is chosen arbitrarily, the only way to satisfy the above equation is for

Similarly, if we vary only the m-th function , where , we have

Repeating this logic to all other functions, we have a set of n simultaneous equations:

and another set of n simultaneous equations in the complex conjugate form:

Eq21 is known as the Hartree equations, and eq22, the complex conjugate form of the Hartree equations. The Hartree equations are sometimes written by changing the dummy variables and to and respectively. For example, eq21 can be expressed as

 

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Canonical Hartree-Fock equations

The canonical Hartree-Fock equations are a set of eigenvalue equations, which when solved iteratively gives the eigenvalues of a modified form of the non-relativistic multi-electron Hamiltonian.

Question

Show that

Answer

Substituting eq75, eq76 and eq102 in and changing the dummy variables and to and respectively, we have

where .

With reference to eq84, is the matrix element of an matrix, which is the product of three matrices. In matrix notation,

Since is Hermitian, we can always select a pair of matrices and such that  produces a diagonal matrix. Therefore, and

 

To derive the canonical equations, we perform a unitary transformation of in eq96, i.e. by substituting eq88, eq92 and eq106 in eq96 to give

where

If we apply the functional variation method as per the previous article, we have

Since , we can remove n terms of , where , from , resulting in .

Therefore, eq107 becomes

To satisfy the above equation, we select a set of such that n terms in eq108 are zero, ensuring all other variable functions and are independent. Using the same logic described in the steps taken from eq20 to eq21, we have the canonical Hartree-Fock equations:

where eq110 is the complex conjugate of eq109.

 

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Gram-Schmidt Process

The Gram-Schmidt process is a mathematical technique for orthogonalising a set of nonorthogonal vectors.

Consider two linearly independent nonorthogonal vectors and of the Hermitian operator :

where is the degenerate eigenvalue corresponding to and .

Let . With reference to the diagram above, , where we have used the fact that the magnitude of the unit vector is 1 in the second equality. Furthermore, ; that is, the vector is a multiple of the unit vector , with the multiple being . Therefore,


is a component of , which is orthogonal to . The eigenvalue of is unchanged versus that of because

In the presence of a third linearly independent vector that is nonorthogonal to and (where ), the vector  that is orthogonal to is (c.f. eq111). To determine the component of that is orthogonal to both and , let  be the component of  that is orthogonal to :

We can immediately see that is orthogonal to both and because it is sum of two vectors and , each of which is orthogonal to (and hence the dot product  is zero). Substituting in the above equation, noting that and are scalars and that , we have

Therefore, for a set of three linearly independent nonorthogonal vectors , the transformed set of vectors, which are orthogonal to one another, is , where

For a set of  linearly independent nonorthogonal vectors , the transformed set of vectors, which are orthogonal to one another, is with the k-th transformed vector as

The corresponding orthonormal vectors are , , … , .

An example of the application of the Gram-Schmidt process is the orthogonalisation of nonorthogonal Slater-type orbitals in the Hartree-Fock method.

 

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Spin-orbital

A spin-orbital expresses the state of an electron as a complete wavefunction, which comprises of a spatial component and a spin component.

It is defined as

where is a composite coordinate consisting of three spatial coordinates and one spin coordinate , while and are spin wavefunctions describing the two possible spin states of an electron.

In the derivation of the canonical Hartree-Fock equations, , where . When we substitute the spin-orbitals in their explicit forms into eq109, we have


Multiplying throughout by  and integrating with respect to the spin coordinates, while noting that because of spin orthogonality, we have

 

Question

Why are the spin components of the total wavefunction orthogonal?

Answer

From the article on Hermitian operators, we know that two eigenfunctions of a Hermitian operator that correspond to different eigenvalues are orthogonal. Since the spin components of the total wavefunction and correspond to different eigenvalues of the spin Hermitian operator , they are orthogonal.

 

Hence the spin orbitals reduce to spatial orbitals. This implies that we only need to work with spatial orbitals, such as Slater-type orbitals, when we use the Hartree-Fock method to estimate the ground state energies of atoms.

 

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Exchange integral

The exchange integral  (or exchange force) is the contribution to the expectation value of a multi-electron system, as a result of the interaction of electrons with the same spin.

 

As shown in the article ‘Slater-Condon rule for a two-electron operator’, the integral arises from the expectation value of the two-electron operator , where and is the Slater determinant given by eq66.

To illustrate the properties of the exchange integral, we refer to the ground state of He. If we substitute in , where , is the spatial coordinate and is the spin coordinate, we have

Due to spin orthogonality, . In other words, the exchange energy between two electrons with antiparallel spins is zero. This implies that for the ground state of lithium with electronic configuration 1s22s1, there is an exchange integral term of , i.e. between the sole 2s electron and one of the two 1s electrons that has the same spin as the 2s electron.

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Proof of the Hartree-Fock equations

As per the proof of the Hartree equations, the proof of the Hartree-Fock equations involves the use of an analogue of eq4 to find an expression similar to eq18. Applying the Lagrange method of undetermined multipliers, the resultant expression is then minimised to obtain the non-canonical form of the Hartree-Fock equations.

The analogue of eq4 is:

where  is given by eq66.

Substituting eq86 and eq89 in eq93

where


Since  (see this article for explanation),

For , we must have . To find the minimum value of E subject to the constraints of , we apply the Lagrange method of undetermined multipliers to form the new functional , where

Substituting eq95 in eq96,

Applying the functional variation method as per the proof of the Hartree equations and noting that the minimum energy corresponding to F is when a small change in the functional’s input yields no change in the functional’s output, i.e. when or

It can be easily shown, by expanding the Coulomb and exchange terms in eq98, that the two terms within each square bracket are the same. Therefore,

where we have changed the dummy variables and to and respectively.

Let’s carry out the following for the above equation:

1) Use the Hermitian property of the operator on the first term.
2) Switch the dummy indices i and j to j and i respectively for the 2nd exchange integral and the 1st undetermined multiplier term.
3) Rearrange.

The result is:

 

Question

Show that , i.e. the Lagrange undetermined multipliers are elements of a Hermitian matrix.

Answer

Changing the dummy variables and of eq96 to and respectively and taking the complex conjugate throughout, noting that E and hence F is real (recall that the functional F is obtained by subtracting the function , where from E),

Using eq96 again and switching the dummy indices i and j to j and i respectively,

Comparing eq100 and eq101,

or equally

 

Substitute eq101a in eq99,

where


Using the same logic described in the steps taken from eq20 to eq21, we have

and its complex conjugate

Eq104 and eq105 are the Hartree-Fock equations. However, they are not in the canonical form (eigenvalue form). For the derivation of the canonical Hartree-Fock equations, see the next article.

 

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Analytical solution of the energy equation for He using the Hartree self-consistent field method

The analytical solution of the energy equation of He involves finding analytical expressions for all terms in eq8 using trial one-electron wavefunctions. As per the numerical method, guess values are used for the variables in all trial one-electron wavefunctions except one, e.g. . Eq8 is then minimised to obtain the solutions for and . The process is repeated until and all become invariant. For He, eq8 is

where and .

Our computation employs the following assumptions:

  • We base our iteration on the unrestricted case, where electrons and are distinctively expressed by and respectively.
  • All terms on the RHS of eq48 are determined using Slater-type orbitals, where

Substituting in , using the identity  (see this article for proof) for and integrating by parts for , we have

Similarly, substituting in gives

Substituting and eq47 in and multiplying the resultant equation by , where is the spherical harmonics for , we have

Due to the orthogonality of the spherical harmonics, the only integral that survives upon expanding the summation is when and . Since, , the above equation becomes:

We proceed by integrating with respect to first. Since ranges from 0 to , we can split the integral into two parts, one from 0 to and the other from to . Supposing , the above equation becomes:

As increases from 0 and approaches , it must be less than and so . Similarly, as increases from to , it must be greater than and so . Therefore,

 

Question

Use the identity to show that .

Answer

Let , then . As , . Furthermore, as , . So,

According to the binomial theorem, . Therefore,

Substituting into the above equation and simplifying gives:

Let As goes from to , goes from to . Thus,

and

 

Using the identity  for the first integral within parentheses, integrating by parts for the second integral within parentheses, and employing the identity for the integral with respect to yields

Substituting eq50, eq51 and eq55 in eq48 gives

Differentiating eq56 with respect to and results in

Eq57 and eq58 are used in an iterative algorithm to find , and  . The procedure is as follows:

  • Substitute an initial guess value of , e.g., , in eq57 and solve for by setting eq57 equal to zero. We then substitute the solution of  and the initial guess value of in eq56 to find .
  • To obtain an improved estimate of , we substitute the solution of from the previous step in eq58, and solve for by setting eq58 equal to zero. We then substitute the solution of and the value of found in the previous step in eq56 to find a better estimate of .
  • Steps 1 and 2, which form an iteration set, are repeated until the values of and are invariant up to six decimal points.

Alternatively, we can set up an iterative table in Excel as follows:

Cell C2 is the initial guess value of . The formula for D2:D7 is eq56, i.e. =(B2^2)/2-2*B2+(C2^2)/2-2*C2+(B2*C2*((B2^2)+3*B2*C2+(C2^2)))/((B2+C2)^3). The formulae for B3, C4, B5, C6 and B7 are =B2, =C3, =B4, =C5 and =B6, respectively. To compute the first iteration set, we employ the Excel Solver application to minimise D2 with respect to B2, with the following settings:

Set objective: D2
To: Min
By changing variable cells: B2
Selecting a solving method: GRG Nonlinear

We then solve for D3 by changing the ‘Set objective’ field and ‘By changing variable cells’ field to D3 and C3 respectively. This procedure is repeated for subsequent iteration sets until the values of and are invariant up to six decimal points.

The results are as follows:

The final theoretical value of has a deviation of about 1.93% versus the experiment data of the ground state of helium.

 

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Analytical solution of the energy equation for Li using the Hartree-Fock method

The analytical solution of the energy equation for lithium involves finding analytical expressions for all terms in eq94 using one-electron trial wavefunctions. Guess values are used for the variables in all the wavefunctions except one, e.g. . Eq94 is then minimised to obtain the solutions for E and . The process is repeated until E and all become invariant.

After removing and due to spin orthogonality from eq94, we have

where


Our computation employs the following assumptions:

  • The ground state of Li is described by a single Slater determinant.
  • Eq113 is minimised iteratively via the restricted open-shell method, where the 1s orbital is doubly occupied with , while the 2s orbital is singly occupied. Therefore, we can substitute eq56 in eq113, where , to give

 

Question

Using the normalised 1s Slater-type orbital and the un-normalised generic 2s Slater-type orbital , derive via the Gram-Schmidt process.

Answer

With reference to eq111, we have

where N’ is the normalisation constant.

Substituting  and in the above equation and integrating using the identity (see this article for proof), and then normalising and rearranging the result, we have

where


 

Let’s evaluate the remaining terms in eq114, beginning with . Substituting eq116 in and integrating,

Next, we evaluate , which is equal to . Substituting eq116 and eq47 in and integrating (refer to the integration procedure in this article), we have

Finally, we evaluate . Referencing the steps in integrating , we have

Substituting eq119, eq129, eq142 and the atomic number  in eq114, we have the analytical expression of E, which is used in an iterative algorithm to determine the ground state of Li. The procedure involves setting up an iterative table in Excel as follows:

Cell C2 is the initial guess value of . Cell F2 contains the entire formula of the analytical expression of E, with links to B1, C1, D1 and E1. Cell D2 and E2 contain the formulae of N and M respectively, with links to B1 and C1. The formulae for B3, D3 and E3 are ‘=B2’, ‘=D2’ and ‘=E2’ respectively. To compute the first iteration set, we employ the Excel Solver application to minimise F2 with respect to B2, with the following settings:

Set objective: F2
To: Min
By changing variable cells: B2
Selecting a solving method: GRG Nonlinear

We then solve for F3 by changing the ‘Set objective’ field and ‘By changing variable cells’ field to D3 and C3 respectively. This procedure is repeated for subsequent iteration sets until the values of and are invariant up to seven decimal points.

The results are as follows:

The final theoretical value of has a deviation of about 0.80% versus the experiment data of the ground state of Li.

 

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Analytical solutions of the Hartree-Fock method for Be, B and C

The analytical Hartree-Fock method for determining the ground state of Li can be extended to Be, B and C. The energy equations to minimise using Excel Solver for Be, B and C are

respectively; where .

The results for Be are

The final theoretical value of has a deviation of about 0.76% versus the experiment data of the ground state of Be.

The results for B are

The final theoretical value of has a deviation of about 0.65% versus the experiment data of the ground state of B.

The results for C are

The final theoretical value of has a deviation of about 0.66% versus the experiment data of the ground state of C.

 

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