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arXiv:2504.09259 · The Journal of Chemical Physics

Optimizing excited states in quantum Monte Carlo: A reassessment of double excitations

Stuart Shepard, Anthony Scemama, Saverio Moroni, Claudia Filippi

Published Jul 9, 2025• 2 citations
arXivHTMLPDF

Abstract

Quantum Monte Carlo (QMC) methods have proven to be highly accurate for computing excited states, but the choice of optimization strategies for multiple states remains an active topic of investigation. In this work, we revisit the calculation of double excitation energies in nitroxyl, glyoxal, tetrazine, and cyclopentadienone, exploring different objective functionals and their impact on the accuracy and robustness of QMC. A previous study for these systems employed a penalty functional to enforce orthogonality among the states, but the chosen prefactors did not strictly ensure convergence to the target states. Here, we confirm the reliability of previous results by comparing excitation energies obtained with different functionals and analyzing their consistency. In addition, we investigate the performance of different functionals when starting from a pre-collapsed excited state, providing insight into their ability to recover the target wave functions.

DOI
10.1063/5.0272733

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Quantum Monte Carlo (QMC) methods have proven to be highly accurate for computing excited states, but the choice of optimization strategies for multiple states remains an active topic of investigation. In this work, we revisit the calculation of double excitation energies in nitroxyl, glyoxal, tetrazine, and cyclopentadienone, exploring different objective functionals and their impact on the accuracy and robustness of QMC. A previous study for these systems employed a penalty functional to enforce orthogonality among the states, but the chosen prefactors did not strictly ensure convergence to the target states. Here, we confirm the reliability of previous results by comparing excitation energies obtained with different functionals and analyzing their consistency. In addition, we investigate the performance of different functionals when starting from a pre-collapsed excited state, providing insight into their ability to recover the target wave functions.
We investigate the use of different variational principles in quantum Monte Carlo, namely, energy and variance minimization, prompted by the interest in the robust and accurate estimation of electronic excited states. For two prototypical, challenging molecules, we readily reach the accuracy of the best available reference excitation energies using energy minimization in a state-specific or state-average fashion for states of different or equal symmetry, respectively. On the other hand, in variance minimization, where the use of suitable functionals is expected to target specific states regardless of the symmetry, we encounter severe problems for a variety of wave functions: as the variance converges, the energy drifts away from that of the selected state. This unexpected behavior is sometimes observed even when the target is the ground state and generally prevents the robust estimation of total and excitation energies. We analyze this problem using a very simple wave function and infer that the optimization finds little or no barrier to escape from a local minimum or local plateau, eventually converging to a lower-variance state instead of the target state. For the increasingly complex systems becoming in reach of quantum Monte Carlo simulations, variance minimization with current functionals appears to be an impractical route.
Abstract It is difficult to imagine that density functional theory (DFT) could be useful in improving quantum Monte Carlo methods, but it is easy to imagine that QMC could be useful in improving density functional methods. Since QMC can produce accurate wavefunctions and since wavefunctions lead to all other properties one should be able, in principle, to use QMC to predict the exchangecorrelation energy functional Exc[n(r)], the key (unknown) quantity required in DFT. In practice, that is not so easy, but this paper shows how QMC can take steps in that direction by providing insights gained from comparisons of results from QMC and DFT. The authors considered the case of the strongly inhomogeneous electron gas using variational Q:tvIC to obtain wavefunctions 1/J>. and energies E[7/J>.] for the ground state of the Hamiltonian iI>- = T +AVee+V >. associated with the coupling constant A in the range 0 to 1. Optimization of a Slater-Jastrow many-body wavefunction was made by minimizing a penalty function given by a weighted sum of the variance in local energies and a sum of squares of electron density differences. The variational parameters in 7/J>. and v>. were repeatedly varied to reach convergence followed by additional calculations to obtain the local values of the exchange-correlation energies e c and the exchange-correlation holes n c from which Exe and nxc could be determined.
Quantum Monte Carlo (QMC) is one of the most promising methods for solving quantum many-body problems. QMC combines known analytical properties of wave functions, results from other methods, and stochastic techniques, into a powerful tool for investigation of the electronic structure of real materials. Furthermore, the method has a favorable scaling ( O[N3] in the number of electrons), perfect scalability on parallel architectures, and can be applied to a wide range of systems. Our work has focused both on expanding the capabilities of QMC for calculation of quantities beyond energies, such as interatomic forces, and on application of the method to challenging problems in nanostructure materials research. For the calculation of interatomic forces we have implemented a finite difference correlated sampling method. The correlated sampling enables us to avoid the problem of statistical noise in evaluating the energy differences and allows us to obtain forces with an average 1% error. We have analyzed the effect of the method's main approximations on the estimate of the forces, both by theoretical arguments and by performing a variety of tests on small systems. Furthermore, we have used this newly developed method for estimating equilibrium geometries in a problem where other methods have failed. QMC enabled us to treat the electron correlation effects with high accuracy and to provide accurate predictions in a number of interesting applications. In particular, for carbon rings of C4N+2 stoichiometry we have resolved a long-standing problem regarding the competition between the aromaticity and second order Jahn-Teller effects. We have found that the dominant mechanism at small and intermediate sizes, which stabilizes the bond angle and bond length alternated geometries, is the secondorder Jahn-Teller effect while the aromatic isomer is always found to be a transition state. These high accuracy calculations which have involved multi-reference wave functions, extensive variational optimizations, and the use of massively parallel platforms demonstrate clearly the unique capabilities of the QMC approach.
Abstract Variational Monte Carlo methods have recently been applied to the calculation of excited states; however, it is still an open question what objective function is most effective. A promising approach is to optimize excited states using a penalty to minimize overlap with lower eigenstates, which has the drawback that states must be computed one at a time. We derive a general framework for constructing objective functions with minima at the the lowest N eigenstates of a many-body Hamiltonian. The objective function uses a weighted average of the energies and an overlap penalty, which must satisfy several conditions. We show this objective function has a minimum at the exact eigenstates for a finite penalty, and provide a few strategies to minimize the objective function. The method is demonstrated using ab initio variational Monte Carlo to calculate the degenerate first excited state of a CO molecule.
to develop quantum Monte Carlo (QMC) approaches for excited states and for more systematic and accurate treatment of ground states of strongly correlated sytems and heavier elements. We use the auxiliary-field quantum Monte Carlo (AFQMC) framework, which is a many-body total energy method that looks like many coupled mean-field calculations. I will discuss this method’s relations and dierences with traditional density-functional and quantum chemistry methods, and with other forms of QMC. The AFQMC method uses importance-sampled random walks in the space of nonorthogonal Slater determinants to project out the many-body ground state, or excited state. The random walks are constrained by a trial wave function (TWF) to remove the so-called sign problem, giving approximate (but non-perturbative) results. With singledeterminant TWFs from Hartree-Fock or density-functional theory (DFT), this approach can be thought of as a post-DFT method with no parameter. In this form, the accuracy is typically comparable to the quantum chemistry coupled-cluster CCSD(T) method near equilibrium geometries, and better than CCSD(T) when bonds are stretched. The computational cost of AFQMC scales as N 3 with characteristic size of the system. Its accuracy can be further improved at the cost of increased computing (releasing the constraint) or better TWF. With AFQMC, we can systematically target selected orbitals to correlate. This allows many-body calculations in solids with a frozen core, with down-folded Hamiltonians, or possibly embeded in a DFT calculations to extend scales. Results from a few on-going applications will be presented, including band structures in simple solids, magnetic phases in MnO, and Cobalt adsoption on graphene.
Quantum Monte Carlo methods are accurate and promising many body techniques for electronic structure calculations which, in the last years, are encountering a growing interest thanks to their favorable scaling with the system size and their efficient parallelization, particularly suited for the modern high performance computing facilities. The ansatz of the wave function and its variational flexibility are crucial points for both the accurate description of molecular properties and the capabilities of the method to tackle large systems. In this paper, we extensively analyze, using different variational ansatzes, several properties of the water molecule, namely, the total energy, the dipole and quadrupole momenta, the ionization and atomization energies, the equilibrium configuration, and the harmonic and fundamental frequencies of vibration. The investigation mainly focuses on variational Monte Carlo calculations, although several lattice regularized diffusion Monte Carlo calculations are also reported. Through a systematic study, we provide a useful guide to the choice of the wave function, the pseudopotential, and the basis set for QMC calculations. We also introduce a new method for the computation of forces with finite variance on open systems and a new strategy for the definition of the atomic orbitals involved in the Jastrow-Antisymmetrised Geminal power wave function, in order to drastically reduce the number of variational parameters. This scheme significantly improves the efficiency of QMC energy minimization in case of large basis sets.