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Reducing the Sign Problem in Auxiliary Field Monte Carlo Simulations

Gäntgen, Christoph

Published Sep 29, 2025• 0 citations
OpenAlex

Abstract

The numerical sign problem is a hindrance for various areas of research that rely on stochastic sampling methods. It occurs when the sign or phase of the weight function in a path integral is not positive-definite. This leads to cancellations in the Monte Carlo sampling, which can significantly slow down convergence and render the simulation infeasible. Calculations of the Hubbard model are affected by the sign problem when the chemical potential is non-zero or when the spatial lattice is not bipartite. The overall objective of this thesis is the reduction of the sign problem in the Hubbard model with methods that may be applied to other models as well. The approach is to deform the integration contour into complex space and find a transformation that efficiently improves the distribution of the complex phase. The first publication of this cumulative thesis explores the simplest case of such a transformation, which is a constant shift of the real plane in imaginary direction. This transformation showed surprising potential and had the numerical advantage of not requiring the calculation of a Jacobian determinant, as opposed to general transformations. However, it was not obvious which offset would yield the best results. We present an algorithm that numerically approaches the optimal offset iteratively. The drawback of this method is that it relies on Markov Chain Monte Carlo sampling, which comes at significant computational cost and is affected by the sign problem itself, leading to reduced reliability. Therefore, we also present two analytic approximations that can be used directly or as a starting point for the iterative algorithm. To test the method, we calculate single particle correlation functions and the charge expectation value of carbon nanostructures, such as graphene sheets and fullerenes. The second publication introduces a refinement of the iterative optimization algorithm, increasing the stability and convergence speed. This enhancement is achieved by fitting a Gaussian curve to the average phase and its first two derivatives. We again present the physical observables, now including a tetrahedron and a larger honeycomb lattice. Additionally we extract single particle energies from the correlation functions, achieving a good agreement with the exactly solvable tetrahedron. The third publication applies a group equivariant neural network as transformation. The goal was to surpass the limitations of the constant shift while keeping the model as efficient as possible. For this purpose, we encoded the physical symmetries into the model architecture. Results show the potential to reduce the sign problem further than the constant shift. A comparison with dense neural networks shows more efficient use of parameters and training data. Tests with transfer learning lead to mixed results, indicating situational applicability. Overall these developments allow for more efficient calculations of sign problem affected systems.

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The numerical sign problem is a hindrance for various areas of research that rely on stochastic sampling methods. It occurs when the sign or phase of the weight function in a path integral is not positive-definite. This leads to cancellations in the Monte Carlo sampling, which can significantly slow down convergence and render the simulation infeasible. Calculations of the Hubbard model are affected by the sign problem when the chemical potential is non-zero or when the spatial lattice is not bipartite. The overall objective of this thesis is the reduction of the sign problem in the Hubbard model with methods that may be applied to other models as well. The approach is to deform the integration contour into complex space and find a transformation that efficiently improves the distribution of the complex phase. The first publication of this cumulative thesis explores the simplest case of such a transformation, which is a constant shift of the real plane in imaginary direction. This transformation showed surprising potential and had the numerical advantage of not requiring the calculation of a Jacobian determinant, as opposed to general transformations. However, it was not obvious which offset would yield the best results. We present an algorithm that numerically approaches the optimal offset iteratively. The drawback of this method is that it relies on Markov Chain Monte Carlo sampling, which comes at significant computational cost and is affected by the sign problem itself, leading to reduced reliability. Therefore, we also present two analytic approximations that can be used directly or as a starting point for the iterative algorithm. To test the method, we calculate single particle correlation functions and the charge expectation value of carbon nanostructures, such as graphene sheets and fullerenes. The second publication introduces a refinement of the iterative optimization algorithm, increasing the stability and convergence speed. This enhancement is achieved by fitting a Gaussian curve to the average phase and its first two derivatives. We again present the physical observables, now including a tetrahedron and a larger honeycomb lattice. Additionally we extract single particle energies from the correlation functions, achieving a good agreement with the exactly solvable tetrahedron. The third publication applies a group equivariant neural network as transformation. The goal was to surpass the limitations of the constant shift while keeping the model as efficient as possible. For this purpose, we encoded the physical symmetries into the model architecture. Results show the potential to reduce the sign problem further than the constant shift. A comparison with dense neural networks shows more efficient use of parameters and training data. Tests with transfer learning lead to mixed results, indicating situational applicability. Overall these developments allow for more efficient calculations of sign problem affected systems.
The path integral formulation of quantum mechanical problems including fermions is often affected by a severe numerical sign problem. We show how such a sign problem can be alleviated by a judiciously chosen constant imaginary offset to the path integral. Such integration contour deformations introduce no additional computational cost to the Hamiltonian Monte Carlo algorithm, while its effective sample size is greatly increased. This makes otherwise unviable simulations efficient for a wide range of parameters. Applying our method to the Hubbard model, we find that the sign problem is significantly reduced. Furthermore, we prove that it vanishes completely for large chemical potentials, a regime where the sign problem is expected to be particularly severe without imaginary offsets. In addition to a numerical analysis of such optimized contour shifts, we analytically compute the shifts corresponding to the leading and next-to-leading order corrections to the action. We find that such simple approximations, free of significant computational cost, suffice in many cases. We present a simulation of C60{\mathrm{C}}_{60}C60​ fullerenes (buckyballs) that are successful over a wide parameter range.
Lattice Monte Carlo calculations of interacting systems on nonbipartite lattices exhibit an oscillatory imaginary phase known as the phase or sign problem, even at zero chemical potential. One method to alleviate the sign problem is to analytically continue the integration region of the state variables into the complex plane via holomorphic flow equations. For asymptotically large flow times, the state variables approach manifolds of constant imaginary phase known as Lefschetz thimbles. However, flowing such variables and calculating the ensuing Jacobian is a computationally demanding procedure. In this paper, we demonstrate that neural networks can be trained to parametrize suitable manifolds for this class of sign problem and drastically reduce the computational cost for different severely afflicted small volume systems. In particular, we apply our method to the Hubbard model on the triangle and tetrahedron, both of which are nonbipartite. At strong interaction strengths and modest temperatures, the tetrahedron suffers from a severe sign problem that cannot be overcome with standard reweighting techniques, while it quickly yields to our method. We benchmark our results with exact calculations and comment on future directions of this work.
We apply constant imaginary offsets to the path integral for a reduction of the sign problem in the Hubbard model. These simple transformations enhance the quality of results from HMC calculations without compromising the speed of the algorithm. This method enables us to efficiently calculate systems that are otherwise inaccessible due to a severe sign problem. To support this claim, we present observables of the C20 and C60 fullerenes. Furthermore, we demonstrate that at a certain offset, the sign problem is completely lifted in the limit of large chemical potential.
Many fascinating systems suffer from a severe (complex action) sign problem preventing us from calculating them with Markov Chain Monte Carlo simulations. One promising method to alleviate the sign problem is the transformation of the integration domain towards Lefschetz Thimbles. Unfortunately, this suffers from poor scaling originating in numerically integrating of flow equations and evaluation of an induced Jacobian. In this proceedings we present a new preliminary Neural Network architecture based on complex-valued affine coupling layers. This network performs such a transformation efficiently, ultimately allowing simulation of systems with a severe sign problem. We test this method within the Hubbard Model at finite chemical potential, modelling strongly correlated electrons on a spatial lattice of ions.
The auxiliary-field quantum Monte Carlo method is reviewed. The Hubbard-Stratonovich transformation converts an interacting Hamiltonian into a non-interacting Hamiltonian in a time-dependent stochastic field, allowing calculation of the resulting functional integral by Monte Carlo methods. The method is presented in a sufficiently general form to be applicable to any Hamiltonian with one- and two-body terms, with special reference to the Heisenberg model and one- and many-band Hubbard models. Many physical correlation functions can be related to correlation functions of the auxiliary field; general results are given here. Issues relating to the choice of auxiliary fields are addressed; operator product identities change the relative dimensionalities of the attractive and repulsive parts of the interaction. Frequently the integrand is not positive-definite, rendering numerical evaluation unstable. If the auxiliary field violates time-reversal invariance, the integrand is complex and this sign problem becomes a phase problem. The origin of this sign or phase is examined from a number of geometrical and other viewpoints and illustrated by simple examples: the phase problem by the spin (1/2) Heisenberg model, and the sign problem by the attractive SU(N) Hubbard model on a triangular molecule with negative hopping integrals. In the latter case, widely studied in the Jahn-Teller literature, the sign is due neither to fermions nor spin, but to frustration. This system is used to illustrate a number of suggested interpretations of the sign problem.
Many fascinating systems suffer from a severe (complex action) sign problem preventing us from calculating them with Markov Chain Monte Carlo simulations. One promising method to alleviate the sign problem is the transformation of the integration domain towards Lefschetz Thimbles. Unfortunately, this suffers from poor scaling originating in numerically integrating of flow equations and evaluation of an induced Jacobian. In this proceedings we present a new preliminary Neural Network architecture based on complex-valued affine coupling layers. This network performs such a transformation efficiently, ultimately allowing simulation of systems with a severe sign problem. We test this method within the Hubbard Model at finite chemical potential, modelling strongly correlated electrons on a spatial lattice of ions.