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Hartree-Fock Theory

The orbitalar approach

Slater spin
Y(1,….N) = Pi fi(i) of Slater

Pauli principle Solutions for S2

MO approach
A MO is a wavefunction associated with a
single electron. The use of the term "orbital"
was first used by Mulliken in 1925.

We are looking for wavefunctions for a

system that contains several particules. We
assume that H can be written as a sum of
Robert Sanderson
one-particle Hi operator acting on one Mulliken
particle each. 1996-1986
H = Si Hi Y(1,….N) = Pi fi(i) Nobel 1966

E = Si Ei
MO approach
Friedrich Hund Charles Alfred Coulson
1896-1997 1910-1974

MO theory was developed, in the years after valence bond

theory (1927) had been established, primarily through the
efforts of Friedrich Hund, Robert Mulliken, John C. Slater,
and John Lennard-Jones. The word orbital was introduced
by Mulliken in 1932. According to Hückel, the first
quantitative use of MO theory was the 1929 paper of
Lennard-Jones. The first accurate calculation of a molecular
orbital wavefunction was that made by Charles Coulson in
1938 on the hydrogen molecule. By 1950, MO were
completely defined as eigenfunctions of the self-consistent4
Generalizing the
LCAO approach:
A linear combination of
atomic orbitals or LCAO

Linus Carl Pauling

Sir John Lennard-Jones 1901-1994 Nobel 1962
It was introduced in 1929 by Lennard-Jones
with the description of bonding in the
diatomic molecules of the first main row of
the periodic table, but had been used earlier
by Pauling for H2+. 5
Schrödinger equation for LCAO

This is the set of linear equation solved for

| Hij-E S ij |= 0 Secular determinant

In an ab-initio calculation, all the Hij and Sij

Erwin Rudolf
Josef Alexander
Integrals are rigorously calculated.
Schrödinger To do that, one need defining a set of AOs
Austrian (basis set) and the geometry.
1887 –1961

There is no parameterization.
A subjective choice concerns that the basis
set (always incomplete). The best calculation
(SCF level or after IC) is that providing the6
lowest energy.
Particles are

Operator acting on e
Julius Robert Oppenheimer
Max Born German
} Berkeley- Los alamos
1904 –1967
H = [Te +VN-e + Vee] + TN + VN-N
He = [Te +VN-e + Vee] VN-e also acts on N; when N is
Should be a considered as fixed: VN-e then
coupling term becomes an operator acting on e.
e N
Y = PY(e) PY(N) Separation of Y(e) and Y(N)
The forces on both electrons and nuclei due to
their electric charge are of the same order of
magnitude; since the nuclei are so much more
massive than the electrons, they must
accordingly have much smaller velocities.
. Nucleon mass / Electron mass = 1835
For the same kinetic energy, when an electron travels meter a
nucleus of hydrogen travels 2.3 cm, that of carbon 6.7
millimeters and that of gold 1.7 millimeters. It is then
considered as the movement of nuclei and electrons are
independent, that electrons adapt instantaneously to the
movement of nuclei. It is said that the electrons follow
adiabatically the motion of the nuclei.
The adiabatic theorem 1928
A physical system remains in its
instantaneous eigenstate if a given
perturbation is acting on it slowly
enough and if there is a gap
between the eigenvalue and the Vladimir
Max Born German rest of the Hamiltonian's spectrum. Aleksandrovich
Fock russian
This adiabatic principle is crucial because it allows
us to separate the nuclear and electronic motion,
leaving a residual electron-phonon interaction.
From this point on it is assumed that the electrons
respond instantaneously to the nuclear motion and
always occupy the ground-state of that nuclear
Vibrations, nuclear motion
Developing U around the equilibrium position (r = req)
gives U(Dr) = U° + U’’(req)Dreq2: The angular frequency is
w = (req/m) ½ depending on the reduced mass m=m1m2(m1+m2)

3N-6 degree of freedom + 3 translations and 3 rotations for the general case.

The surface energy obtained
under the Born-Oppenheimer
approximation: adiabatic
These are surfaces that can be achieved step by step from
calculations developed. They may be significant changes in the
characters of orbital obtained. According to an internuclear
distance ionic or covalent change significantly.
In the case of rapidly changing systems (collision dissociations
from excited states), the nature of the orbital can not change and
the Born-Oppenheimer approximation is no longer valid. The state
surface is therefore a surface potential where the same dominant
character is always found. Such surface, called diabatic surface,
is in some region the ground state and for some region an excited
state. Then, there is a jump from an adiabatic surface to another!
The diabatic surfaces are inherently difficult to obtain since 11
calculations lead to the system that is most stable.
PES: Potential Energy Surfaces.

U(d) Covalent
Na+ + Cl-
Adiabatic Na + Cl

Ionic Diabatic

An ionic curve “naturally” correlates with ions whereas a
covalent one dissociates to generate radicals. This leads to an
avoided crossing.
Finding diabatic surfaces

The diabatic surface should in principle be obtained by

calculating the coupling terms <f1|TN|f2> allowing possible
jumps from one adiabatic surface to another.
This is uneasy since the basis set gives an avoided crossing
without the coupling. The usual procedure is generally the
reverse: impose “natural orbitals” and minimize the coupling
terms to allow the surfaces crossing.

Diabatic- Adiabatic surfaces.

adiabatic diabatic
Process velocity slow fast
Born-Oppenheimer valid Not valid
electrons Adapt Do not
adaptation to the (follow it) (delay to
nuclei motion follow nuclei)
Natural MO May switch Remains
character constant 14
Approximation of
independent particles

Douglas Rayner
Hartree English Vladimir
1897 1958 Aleksandrovich
Fock russian
HHartree= Si Fi 1930

The hamiltonian, HHartree , is the sum of Fock operators

only operating on a single electron i.
The wave function is the determinant of orbitals, f(i) to
satisfy the Pauli principle. Fi f(i)=εi f(i)

EHartree= Si εi 15
Approximation of
independent particles
Hartree Fock
Fi = Ti + Sk Zik/dik+ Sj Rij
Each one electron operator is the sum of one
electron terms + bielectronic repulsions
Rij is the average repulsion of the electron j upon i.
The self consistency consists in iterating up to
convergence to find agreement between the postulated
repulsion and that calculated from the electron density.
This ignores the real position of j vs. i at any given time.
Given a set of orbitals Yi, we calculate the
electronic distribution of j and its repulsion
with i.
This allows expressing Fi = Ti + Sk Zik/dik+ Sj Rij
and solving the equation to find new Y1i
allowing to recalculate Rij. The process is
iterated up to convergence. Since we get
closer to a real solution, the energy
Assuming Y= Y1Y2

Jij, Coulombic integral for 2 e

Let consider 2 electrons, one in orbital Y1, the other in orbital Y2, and
calculate the repulsion <1/r12>.
Assuming Y= Y1Y2

This may be written Dirac notation used in physics

Jij = = < Y1Y2IY1Y2>

= (Y1Y1IY2Y2)
Notation for 18
Quantum chemists
Assuming Y= Y1Y2

Jij, Coulombic integral for 2 e

Jij = < Y1Y2IY1Y2> = (Y1Y1IY2Y2) means the product of

two electronic density  Coulombic integral.

This integral is positive (it is a repulsion). It is large when dij

is small.
When Y1 are developed on atomic orbitals f1, bilectronic
integrals appear involving 4 AOs (pqIrs)

Assuming Y= Y1Y2
Jij, Coulombic integral involved in
two electron pairs
electron 1: Y1 or Y1 interacting with electron 2: Y2 or Y2

When electrons 1 have different spins (or electrons 2 have different spins)
the integral = 0. <aIb>=dij. Only 4 terms are  0 and equal to Jij.

The total repulsion between two electron pairs is equal to 4Jij.

Particles are electrons!
Pauli Principle
electrons are indistinguishable:
|Y(1,2,...)|2 does not depend on
the ordering of particles
Wolfgang Ernst Pauli
| Y (1,2,...)|2 = | Y (2,1,...)|2
Austrian 1900 1950

Thus either Y (1,2,...)= Y (2,1,...) S bosons

or Y (1,2,...)= -Y (2,1,...) A fermions
The Pauli principle states that electrons are fermions.
Particles are fermions!
Pauli Principle
The antisymmetric function is:
YA = Y (1,2,3,...)-Y (2,1,3...)-Y (3,2,1,...)+Y (2,3,1,...)+...
which is the determinant

Such expression does not allow two electrons to be in the same state
the determinant is nil when two lines (or columns) are equal;
"No two electrons can have the same set of quantum numbers".
One electron per spinorbital; two electrons per orbital.
“Exclusion principle”
Two-particle case

The simplest way to approximate the wave function of a many-particle

system is to take the product of properly chosen wave functions of the
individual particles. For the two-particle case, we have

This expression is a Hartree product. This function is not antisymmetric.

An antisymmetric wave function can be mathematically described as

Therefore the Hartree product does not satisfy the Pauli principle. This
problem can be overcome by taking a linear combination of both Hartree

where the coefficient is the normalization factor. This wave function

is antisymmetric and no longer distinguishes between fermions.
Moreover, it also goes to zero if any two wave functions or two
fermions are the same. This is equivalent to satisfying the Pauli 23
exclusion principle.
Generalization: Slater determinant
The expression can be generalized to any number of fermions by writing it as a

John Clarke Slater


Obeying Pauli principleY= 1/√ IY1Y2I Slater determinant

Kij, Exchange integral for 2 e

Let consider 2 electrons, one in orbital Y1, the other in orbital Y2, and
calculate the repulsion <1/r12>.
Assuming Y= 1/√ IY1Y2I

Kij is a direct consequence of the Pauli principle

Dirac notation used in physics

Kij = = < Y1Y2IY2Y1A>

= (Y1Y2IY1Y2)
Notation for 25
Quantum chemists
Obeying Pauli principleY= 1/√ IY1Y2I Slater determinant

Kij, Exchange integral

It is also a positive integral (-K12 is negative and corresponds to a
decrease of repulsion overestimated when exchange is ignored).

two electron pairs

Obeying Pauli principleY= 1/√ IY1Y2I Slater determinant

Interactions of 2 electrons

Unpaired electrons: sgsu
Singlet and triplet states
bielectronic terms

Jij+Kij │YiYj│+ │YiYj│

Jij │YiYj│ Kij │YiYj│

│YiYj│ │YiYj│ │YiYj│- │YiYj│

Obeying Pauli principleY= 1/√ IY1Y2I Slater determinant

Jj and Kj operators
We need to express the ij bielectronic repulsion as one electron
operator Rj acting on Yj and representing the repulsion with an
average distribution of j.
Rj is the sum of 2 operators Jj and Kj.

Slater rules

Hartree-Fock Operators are 1 or 2 electron operators ( i or ij).

Developing the polyelectronic wavefunction leads only to the
following contributions
<c1Ic1> <c2Ic2> ….. <ciIOIci> ….. <cNIcN>
or <c1Ic1> <c2Ic2> ….. <cicjIOIcicj> ….. <cNIcN>
Only the terms <c1Ic1>=1 remain, the others being nil: <c1Ic1>=0

Slater rules
Non zero terms arise from 3 possibilities:

• Dl = DR <DlIOIDR> = S [<kikjIOIlilj> - <kikjIOIlilj>]


• Dl differ from DR by one orbital i

<DlIOIDR> = <kiIOIlj>
<DlIOIDR> = S [<kikjIOIlilj> - <kikjIOIlilj>]

• Dl differ from DR by two orbitals i and j

<DlIOIDR> = <kikjIOIlilj> - <kikjIOIlilj>
Electronic energy
i is the index for an orbital:
occ occ
EE = Sεi εi = <fiIhIfi> + S (2Jij-Kij)
Each i electron interacts with 2 j
electrons with opposite spins Jij-Kij with
that of the same spin for and Jij for that
with different spin.

Electronic energy – total energy
The sum of the energies of all the electrons
contains the ij repulsion twice:
occ occ

EE = Sεi εi = <fiIhIfi> + S (2Jij-Kij)

i j

S repij ] = Si [hii +2 S Repij ]

occ occ
EE = S[hii +

i j
ESCF is defined as the energy of YSCF applying Slater rules
Pauli principle occ occ occ
ESCF = <YSCFIHIYSCF> = Shii + S Sj<i(2Jij-Kij)
i i
ETOTAL = ESCF +EN ESCF = EE - Repij = Shii + Repij
i 33
Restricted Hartree-Fock
Closed-shell system: an MO is doubly occupied or
vacant. The spatial functions are independent from the
spin. Assuming k and l with spin a, the expression of
a Fock matrix-element, Fkl, is
occ occ
Fkl = hkl + S [(klIjj)-(klIjj)] - S (klIjj)
J of spin a J of spin b

Fkl = h + 2J – K and There is no exchange

term for electrons with
εi = hii + S (2Jij-Kij) different spin (<aIb>=0)
j Altogether there are 2 J
occ occ occ for one K.
ESCF = 2S εi – SS(2Jij-Kij)
i i j<i
Restricted Hartree-Fock
Why the HOMO-LUMO electron gap is overestimated?
εi = hii + Sj (2Jij-Kij)

i For a virtual i orbital the repulsion

concerns all the electrons

For an occupied i orbital the repulsion

i concerns all the electrons minus 1

The repulsion is larger for an unoccupied level than for

an occupied one! 35
Koopmans theorem
εi = - IP
εi = hii + Sj (2Jij-Kij)
This theorem applies for a “vertical transition”:
sudden without time for electronic reorganization.
The orbitals do not relax!
Tjalling C.
Koopmans This theorem is obvious for Hückel-type approaches:
Nobel Prize in
The AOs are fixed. The total energy is the sum of the orbital
Economic energies:
Sciences j occi j occ j occi j occi
in 1975 IP = 2S εj - 2S εj = 2S εj - 2S εj - εi
j j
S εi
(Physica, 1, 104 (1933) j
It is less obvious in HF since ESCF

For DFT, the Janak theorem is a generalization of Koopman’s theorem. J. F. Janak, Phys. 36
Rev. B
18, 7165; J.P. Perdew, R. G. Parr, M. Levy et J. L. Balduz Jr., Phys. Rev. Lett. 23 (1982) 1691.
Koopmans theorem
εk = - IP
Tjalling C.

What is wrong with Koopmans
The AOs are not “fixed” but relax (“breath”); the Slater exponents
depend on the bielectronic repulsion. The subtraction in the previous
slide suppose no variation. The relaxation is important for polarisable
systems (metals, the work function is generally weak).
Calculating with AOs for the neutral species underestimates the
energy for the ionized species. IP is overestimated by Koopmans

How to proceed more rigorously?

Calculate the IP as the difference of the total energy for two states.

Cu+ Cu+ Na Na
(Koop.) (exp.) (Koop.) (exp.)

1s 658.4 662 79.4 81.2

2s 82.3 81.3 5.2 6.0
2p 71.83 69.6 2.8 3.66

3s 10.65 9.6 .378 .372

3p 7.28 6.1
3d 1.61 0.79
Open-Shell – spin contamination
Let assume that here is one a electron more than b.
For them Fock matrix elements, there is one more exchange term for the
a electrons than for the b’s. The matrix elements are not the same and
solving the secular determinants for a and b independently leads to
different solutions.
fi  fi .
The UHF (unrestricted Hartree-Fock method) solves
the secular equation for a and b independently and
obtains different spatial functions for a and b.
This does not allow to have eigenfunctions of the spin
operators. k
i 40
The same spatial function is taken whatever the
spin is.
Robert K. Nesbet
2e occ 1e occ
F = h + S [( Ijj)-( jI j)] - S ( Ijj)-1/2 ( jI j)
This allowsj eigenfunctions of spinj operators.

This allows separating spatial and spin functions.

It is not consistent with variational principle (that
does better without this constraint).
Spin operator
The spinorbitals should be solution of SZ and
S2. This is not the case for UHF.

Correspondence principle 1913/1920

For every physical quantity

one can define an operator.
The definition uses
formulae from classical
physics replacing
quantities involved by the
corresponding operators
Niels Henrik David Bohr For an angular momentum
Classical expression Quantum expression

lZ= xpy-ypx
Angular momentum
In quantum mechanics angular momentum is defined by an operator
where r and p are the position and momentum operators respectively. In
particular, for a single particle with no electric charge and no spin, the angular
momentum operator can be written in the position basis as

This orbital angular momentum operator is the most commonly encountered

form of the angular momentum operator, though not the only one. It satisfies the
following canonical commutation relations:

It follows, for example,

Relations in Angular momentum
L2 is the norm and Lx, Ly, Lz are the projections.
[Jx, Jy]= i Jz [Jx, J2]= 0
[Jy, Jz]= i Jx eigenfunctions of J2 are j(j+1)
[Jz, Jx]= i Jy eigenfunctions of Jz are m

J2Ij,m> = j(j+1) Ij,m> and Jz Ij,m> = m Ij,m>

In atomic units, h =1
Introducing J+ = Jx+iJy and J- = Jx-iJy
J2 = Jx2 + Jy2 + Jz2 = Jz2 + ½ (J+J- + J-J+ )

J+J- and J-J+ operators have |j,m> as eigenfunction:

J+J- |j,m> = (j+m)(j-m+1) |j,m> J-J+ |j,m> = (j+m+1)(j-m) |j,m>
• For an electron: s =1/2 → S2=s (s +1) =3/4
and ms=±1/2.
• A spin vector is either a |s,ms> = |1/2,1/2>
or b: |s,ms> = |1/2,-1/2>

For several electrons: the total spin is the vector sum of the
individual spins.
• For the projection Sz=Ms = Ss ms
• For the norm S2 = S12+S22+2S1S2
S2=[S1z2+S1z+S1-S1+]+[S2z2+S2z+S2-S2+]+[(S1+S2- ++S1-
• For 2 electrons, there are 4 spin functions: a(1) a(),
b(1) b(), a(1) b() and a() b(1) that are solutions of Sz.
Are they solution of S2?

a(1)a() is solution of S2
a(1) (Sz2+Sz+S-S+) a(2) [1/2]2 + 1/2 + 0 0.75

a(2) (Sz2+Sz+S-S+) a(1) [1/2]2 + 1/2 + 0 0.75

2Sza(1)Sza(2) 2½½ 0.5

S-a(1)S+a(2) 0 0

S+a(1)S-a(2) 0 0

total 2

S2 a(1) a() = 2 a(1) a() 49

a(1)b() is not a solution of S2
a(1) (Sz2+Sz+S-S+) b(2) [1/2]2 - 1/2 + 1 0.75

b(2) (Sz2+Sz+S-S+) a(1) [1/2]2 + 1/2 + 0 0.75

2Sza(1)Szb(2) 2 ½ (-½) -.5

S-a(1)S+b(2) b(1) a(2) b(1) a(2)

S+a(1)S-b(2) 0 0

total 2

S2 a(1) b() = a(1) b() + b(1) a() 50

a(1)b()± b (1) a () are solutions of S2
S2 a(1) b() = a(1) b() + b(1) a()
S2 b(1) a() = b(1) a() + a(1) b()

S2 (a(1) b() + b(1) a()) = 2 (a(1) b() + b(1) a())

S2 (a(1) b() - b(1) a()) = 0 (a(1) b() - b(1) a())

The spinorbitals must then be a product of such expressions by a

constant (a spatial term which is a constant for the spin operator).
We should be able to separate the spatial and the spin contributions.
Use of indentation operators
upon vector sums
S-S+ |1,1> = 0
S-S+ |1,0> = (1+0+1)(1-0) |1,0> = 2|1,0>
S-S+ |1,-1> = (1-1+1)(1+1) |1,-1> = 2 |1,-1>
Singlet S2|0,0> = [0+0+0] =0 |0,0>
Triplet S2|1,1> = [1+1+0] |1,1>
Triplet S2|1,0> = [0+0+2] |1,0>
Triplet S2|1,-1> = [1-1+2] |1,-1>

S2 as an operator on determinant
S2(D)= Pab(D) + [(na-nb)2 +2na +2nb ] D
Pab is an operator exchanging the spins :a  b
na and nb are the # of electrons of each spin
S2(IaaI) = IaaI+IaaI = -IaaI+IaaI = 0
S2(IabI) = IabI+IabI
S2(IabI-IbaI) = 2 (IabI+IabI)= 2 (IabI-IbaI)
S2(IabI+IbaI) = IabI+IbaI+IabI+IbaI
= -IbaI-IabI+IabI+IabI = 0
A single Slater determinant is not
necessarily an eigenfunction of S2
Separation of spatial and spin functions

IabI= a(1)a(1) b(2)b(2) - b(1)b(1) a(2)a(2)

= a(1)b(2) a(1)b() - b(1)a(2) a()b(1)
is not a eigenfunction of S2 if ab
A combination of Slater
determinant then may be an
eigenfunction of S2
IabI± IbaI = a(1)b(2) a(1)b() - b(1)a(2) a()b(1)
± b(1)a(2) a(1)b() +- a(1)b(2) a()b(1)
IabI+ IbaI = [a(1)b(2) + b(1)a(2)] (a(1)b() - a()b(1))

IabI- IbaI = [a(1)b(2) - b(1)a(2)] (a(1)b() + a()b(1))

are a eigenfunction of S2

The separation of spatial and spin functions is possible

If the spatial function (a or b) is associated with opposite spins
UHF: Variational solutions are not
eigenfunctions of S2
Iab’I+ Iba’I = a(1)b’(2) a(1)b() - b’ (1)a (2) a()b(1)
+ b(1)a’(2) a(1)b() – a’(1)b(2) a()b(1)

=[a(1)b’(2) + b(1)a’(2)](a(1)b() - [a’(1)b(2) + b’(1)a(2)] a()b(1))

Not equal

The separation of spatial and spin functions is not possible

If 2 spatial functions (a  a’; b  b’) are associated with
opposite spins