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\begin{document} \begin{document}
\title{Supporting Information for ``Unphysical Discontinuities, Intruder States and Regularization in $GW$ Methods''} \title{Supplementary Material for ``Unphysical Discontinuities, Intruder States and Regularization in $GW$ Methods''}
\author{Enzo \surname{Monino}} \author{Enzo \surname{Monino}}

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@ -374,6 +375,7 @@ Therefore, one can conclude that this downfall of $GW$ is a key signature of str
\caption{ \caption{
\label{fig:H2reg} \label{fig:H2reg}
Difference between regularized and non-regularized quasiparticle energies $\reps{p}{\GW} - \eps{p}{\GW}$ computed with $\alert{\kappa} = 1$ as functions of the internuclear distance $\RHH$ (in \si{\angstrom}) of \ce{H2} at the {\GOWO}@HF/6-31G level. Difference between regularized and non-regularized quasiparticle energies $\reps{p}{\GW} - \eps{p}{\GW}$ computed with $\alert{\kappa} = 1$ as functions of the internuclear distance $\RHH$ (in \si{\angstrom}) of \ce{H2} at the {\GOWO}@HF/6-31G level.
\alert{Similar graphs for $\kappa = 0.1$ and $\kappa = 10$ are reported as {\SupMat}.}
} }
\end{figure} \end{figure}
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@ -386,6 +388,7 @@ Therefore, one can conclude that this downfall of $GW$ is a key signature of str
\caption{ \caption{
\label{fig:F2} \label{fig:F2}
Ground-state potential energy surface of \ce{F2} around its equilibrium geometry obtained at various levels of theory with the cc-pVDZ basis set. Ground-state potential energy surface of \ce{F2} around its equilibrium geometry obtained at various levels of theory with the cc-pVDZ basis set.
\alert{Similar graphs for $\kappa = 0.1$ and $\kappa = 10$ are reported as {\SupMat}.}
} }
\end{figure} \end{figure}
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@ -419,23 +422,22 @@ The most common and well-established way of regularizing $\Sigma$ is via the sim
f_\eta(\Delta) = (\Delta \pm \ii \eta)^{-1} f_\eta(\Delta) = (\Delta \pm \ii \eta)^{-1}
\end{equation} \end{equation}
(with $\eta > 0$), \cite{vanSetten_2013,Bruneval_2016a,Martin_2016,Duchemin_2020} a strategy somehow related to the imaginary shift used in multiconfigurational perturbation theory. \cite{Forsberg_1997} (with $\eta > 0$), \cite{vanSetten_2013,Bruneval_2016a,Martin_2016,Duchemin_2020} a strategy somehow related to the imaginary shift used in multiconfigurational perturbation theory. \cite{Forsberg_1997}
\alert{This type of broadening is customary in solid-state calculations, hence such regularization is naturally captured in many codes. \cite{Martin_2016}} \alert{Not that this type of broadening is customary in solid-state calculations, hence such regularization is naturally captured in many codes. \cite{Martin_2016}}
In practice, an empirical value of $\eta$ around \SI{100}{\milli\eV} is suggested. In practice, an empirical value of $\eta$ around \SI{100}{\milli\eV} is suggested.
Other choices are legitimate like the regularizers considered by Head-Gordon and coworkers within orbital-optimized second-order M{\o}ller-Plesset theory, which have the specificity of being energy-dependent. \cite{Lee_2018a,Shee_2021} Other choices are legitimate like the regularizers considered by Head-Gordon and coworkers within orbital-optimized second-order M{\o}ller-Plesset theory \alert{(MP2)}, which have the specificity of being energy-dependent. \cite{Lee_2018a,Shee_2021}
In this context, the real version of the simple energy-independent regularizer \eqref{eq:simple_reg} has been shown to damage thermochemistry performance and was abandoned. \cite{Stuck_2013,Rostam_2017} In this context, the real version of the simple energy-independent regularizer \eqref{eq:simple_reg} has been shown to damage thermochemistry performance and was abandoned. \cite{Stuck_2013,Rostam_2017}
Our investigations have shown that the following energy-dependent regularizer Our investigations have shown that the following energy-dependent regularizer
\begin{equation} \begin{equation}
\label{eq:srg_reg} \label{eq:srg_reg}
f_\kappa(\Delta) = \frac{1-e^{-2\Delta^2/\kappa^2}}{\Delta} f_{\alert{\kappa}}(\Delta) = \frac{1-e^{-2\Delta^2/\alert{\kappa}^2}}{\Delta}
\end{equation} \end{equation}
derived from the (second-order) perturbative analysis of the similarity renormalization group (SRG) equations \cite{Wegner_1994,Glazek_1994,White_2002} by Evangelista \cite{Evangelista_2014} is particularly convenient and effective for our purposes. derived from the (second-order) perturbative analysis of the similarity renormalization group (SRG) equations \cite{Wegner_1994,Glazek_1994,White_2002} by Evangelista \cite{Evangelista_2014} is particularly convenient and effective for our purposes.
Increasing $\alert{\kappa}$ gradually integrates out states with denominators $\Delta$ larger than $\alert{\kappa}$ while the states with $\Delta \ll \alert{\kappa}$ are not decoupled from the reference space, hence avoiding intruder state problems. \cite{Li_2019a} Increasing $\alert{\kappa}$ gradually integrates out states with denominators $\Delta$ larger than $\alert{\kappa}$ while the states with $\Delta \ll \alert{\kappa}$ are not decoupled from the reference space, hence avoiding intruder state problems. \cite{Li_2019a}
Figure \ref{fig:H2reg_zoom} compares the non-regularized and regularized quasiparticle energies in the two regions of interest \alert{for various $\eta$ and $\kappa$ values.}
Figure \ref{fig:H2reg_zoom} compares the non-regularized and regularized quasiparticle energies in the two regions of interest for various $\eta$ values.
It clearly shows how the regularization of the $GW$ self-energy diabatically linked the two solutions to get rid of the discontinuities. It clearly shows how the regularization of the $GW$ self-energy diabatically linked the two solutions to get rid of the discontinuities.
However, this diabatization is more or less accurate depending on the value of $\eta$ and the actual form of the regularizer. However, this diabatization is more or less accurate depending on \alert{(i) the actual form of the regularizer, and (ii) the value of $\eta$ or $\kappa$.}
Let us first discuss the simple energy-independent regularizer given by Eq.~\eqref{eq:simple_reg} (top panels of Fig.~\ref{fig:H2reg_zoom}). Let us first discuss the simple energy-independent regularizer given by Eq.~\eqref{eq:simple_reg} (top panels of Fig.~\ref{fig:H2reg_zoom}).
Mathematically, in order to link smoothly two solutions, the value of $\eta$ has to be large enough so that the singularity lying in the complex plane at the avoided crossing is moved to the real axis (see Ref.~\onlinecite{Marie_2021} and references therein). Mathematically, in order to link smoothly two solutions, the value of $\eta$ has to be large enough so that the singularity lying in the complex plane at the avoided crossing is moved to the real axis (see Ref.~\onlinecite{Marie_2021} and references therein).
@ -445,21 +447,25 @@ For example, around $\RHH = \SI{1.1}{\angstrom}$ (top-left), a value of \SI{0.1}
Note also that $\eta = \SI{0.1}{\hartree}$ is significantly larger than the suggested value of \SI{100}{\milli\eV} and if one uses smaller $\eta$ values, the regularization is clearly inefficient. Note also that $\eta = \SI{0.1}{\hartree}$ is significantly larger than the suggested value of \SI{100}{\milli\eV} and if one uses smaller $\eta$ values, the regularization is clearly inefficient.
Let us now discuss the SRG-based energy-dependent regularizer provided in Eq.~\eqref{eq:srg_reg} (bottom panels of Fig.~\ref{fig:H2reg_zoom}). Let us now discuss the SRG-based energy-dependent regularizer provided in Eq.~\eqref{eq:srg_reg} (bottom panels of Fig.~\ref{fig:H2reg_zoom}).
For $\eta = \SI{10}{\hartree}$, the value is clearly too large inducing a large difference between the two sets of quasiparticle energies (purple curves). For $\alert{\kappa} = \SI{10}{\hartree}$, the value is clearly too large inducing a large difference between the two sets of quasiparticle energies (purple curves).
For $\eta = \SI{0.1}{\hartree}$, we have the opposite scenario where $\eta$ is too small and some irregularities remain (green curves). For $\alert{\kappa} = \SI{0.1}{\hartree}$, we have the opposite scenario where $\alert{\kappa}$ is too small and some irregularities remain (green curves).
We have found that $\eta = \SI{1.0}{\hartree}$ is a good compromise that does not alter significantly the quasiparticle energies while providing a smooth transition between the two solutions. We have found that $\alert{\kappa} = \SI{1.0}{\hartree}$ is a good compromise that does not alter significantly the quasiparticle energies while providing a smooth transition between the two solutions.
Moreover, this value performs well in all scenarios that we have encountered. Moreover, this value performs well in all scenarios that we have encountered.
However, it can be certainly refined for specific applications. \cite{Shee_2021} However, it can be certainly refined for specific applications.
\alert{For example, in the case of regularized MP2 theory (where one relies on a similar energy-dependent regularizer), a value of $\kappa = 1.1$ have been found to be optimal for noncovalent interactions and transition metal thermochemistry. \cite{Shee_2021}}
To further evidence this, Fig.~\ref{fig:H2reg} reports the difference between regularized (computed at $\eta = \SI{1.0}{\hartree}$ with the SRG-based regularizer) and non-regularized quasiparticle energies as functions of $\RHH$ for each orbital. To further evidence this, Fig.~\ref{fig:H2reg} reports the difference between regularized (computed at $\alert{\kappa} = \SI{1.0}{\hartree}$ with the SRG-based regularizer) and non-regularized quasiparticle energies as functions of $\RHH$ for each orbital.
The principal observation is that, in the absence of intruder states, the regularization induces an error below \SI{10}{\milli\eV} for the HOMO ($p = 1$) and LUMO ($p = 2$), which is practically viable. The principal observation is that, in the absence of intruder states, the regularization induces an error below \SI{10}{\milli\eV} for the HOMO ($p = 1$) and LUMO ($p = 2$), which is practically viable.
Of course, in the troublesome regions ($p = 3$ and $p = 4$), the correction brought by the regularization procedure is larger (as it should) but it has the undeniable advantage to provide smooth curves. Of course, in the troublesome regions ($p = 3$ and $p = 4$), the correction brought by the regularization procedure is larger (as it should) but it has the undeniable advantage to provide smooth curves.
\alert{Similar graphs for $\kappa = 0.1$ and $\kappa = 10$ [and the simple regularizer given in Eq.~\eqref{eq:simple_reg}] are reported as {\SupMat}, where one clearly sees that the larger the value of $\kappa$, the larger the difference between regularized and non-regularizer quasiparticle energies.}
As a final example, we report in Fig.~\ref{fig:F2} the ground-state potential energy surface of the \ce{F2} molecule obtained at various levels of theory with the cc-pVDZ basis. As a final example, we report in Fig.~\ref{fig:F2} the ground-state potential energy surface of the \ce{F2} molecule obtained at various levels of theory with the cc-pVDZ basis.
In particular, we compute, with and without regularization, the total energy at the Bethe-Salpeter equation (BSE) level \cite{Salpeter_1951,Strinati_1988,Blase_2018,Blase_2020} within the adiabatic connection fluctuation dissipation formalism \cite{Maggio_2016,Holzer_2018b,Loos_2020e} following the same protocol detailed in Ref.~\onlinecite{Loos_2020e}. In particular, we compute, with and without regularization, the total energy at the Bethe-Salpeter equation (BSE) level \cite{Salpeter_1951,Strinati_1988,Blase_2018,Blase_2020} within the adiabatic connection fluctuation dissipation formalism \cite{Maggio_2016,Holzer_2018b,Loos_2020e} following the same protocol detailed in Ref.~\onlinecite{Loos_2020e}.
These results are compared to high-level coupled-cluster calculations \cite{Purvis_1982,Christiansen_1995b} extracted from the same work. These results are compared to high-level coupled-cluster \alert{(CC)} calculations extracted from the same work: \alert{CC with singles and doubles (CCSD) \cite{Purvis_1982} and the non-perturbative third-order approximate CC method (CC3). \cite{Christiansen_1995b}}
As already shown in Ref.~\onlinecite{Loos_2020e}, the potential energy surface of \ce{F2} at the BSE@{\GOWO}@HF (blue curve) is very ``bumpy'' around the equilibrium bond length and it is clear that the regularization scheme (black curve computed with $\eta = 1$) allows to smooth it out without significantly altering the overall accuracy. As already shown in Ref.~\onlinecite{Loos_2020e}, the potential energy surface of \ce{F2} at the BSE@{\GOWO}@HF (blue curve) is very ``bumpy'' around the equilibrium bond length and it is clear that the regularization scheme (black curve computed with $\alert{\kappa} = 1$) allows to smooth it out without significantly altering the overall accuracy.
Moreover, while it is extremely challenging to perform self-consistent $GW$ calculations without regularization, it is now straightforward to compute the BSE@ev$GW$@HF potential energy surface (gray curve). Moreover, while it is extremely challenging to perform self-consistent $GW$ calculations without regularization, it is now straightforward to compute the BSE@ev$GW$@HF potential energy surface (gray curve).
\alert{For the sake of completeness, a similar graph for $\kappa = 10$ is reported as {\SupMat}.
Interestingly, for this rather large value of $\kappa$, the smooth BSE@{\GOWO}@HF and BSE@ev$GW$@HF curves are superposed, and of very similar quality as CCSD.}
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\section{Concluding remarks} \section{Concluding remarks}
@ -470,6 +476,12 @@ A simple and efficient regularization procedure inspired by the similarity renor
Moreover, this regularization of the self-energy significantly speeds up the convergence of (partially) self-consistent $GW$ methods. Moreover, this regularization of the self-energy significantly speeds up the convergence of (partially) self-consistent $GW$ methods.
We hope that these new physical insights and technical developments will broaden the applicability of Green's function methods in the molecular electronic structure community and beyond. We hope that these new physical insights and technical developments will broaden the applicability of Green's function methods in the molecular electronic structure community and beyond.
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\section*{Supplementary Material}
\label{sec:supmat}
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\alert{Included in the {\SupMat} are the raw data associated with each figure as well as additional figures showing the effect of the regularizer and its parameter, with, in particular, the difference between non-regularized and regularized quasiparticle energies for \ce{H2}, and the ground-state potential energy surface of \ce{F2} around its equilibrium geometry.}
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\acknowledgements{ \acknowledgements{
The authors thank Pina Romaniello, Fabien Bruneval, and Xavier Blase for insightful discussions. The authors thank Pina Romaniello, Fabien Bruneval, and Xavier Blase for insightful discussions.