Bulk-edge duality for topological insulators Gian Michele Graf ETH Zurich Symposium on Statistical Mechanics: Many-Body Quantum Systems University of Warwick 17-21 March 2014 Bulk-edge duality for topological insulators Gian Michele Graf ETH Zurich Symposium on Statistical Mechanics: Many-Body Quantum Systems University of Warwick 17-21 March 2014 joint work with Marcello Porta thanks to Yosi Avron Introduction Rueda de casino Hamiltonians Indices Further results Topological insulators: first impressions I Insulator in the Bulk: Excitation gap For independent electrons: band gap at Fermi energy Topological insulators: first impressions I Insulator in the Bulk: Excitation gap For independent electrons: band gap at Fermi energy I Time-reversal invariant fermionic system Topological insulators: first impressions I Time-reversal invariant fermionic system void spin up spin down Bulk Edge Insulator in the Bulk: Excitation gap For independent electrons: band gap at Fermi energy Edge I void Topological insulators: first impressions I Time-reversal invariant fermionic system void Bulk Edge Insulator in the Bulk: Excitation gap For independent electrons: band gap at Fermi energy Edge I void spin up spin down I Topology: In the space of Hamiltonians, a topological insulator can not be deformed in an ordinary one, while keeping the gap open and time-reversal invariance. Topological insulators: first impressions I Time-reversal invariant fermionic system void Bulk Edge Insulator in the Bulk: Excitation gap For independent electrons: band gap at Fermi energy Edge I void spin up spin down I Topology: In the space of Hamiltonians, a topological insulator can not be deformed in an ordinary one, while keeping the gap open and time-reversal invariance. Analogy: torus 6= sphere (differ by genus). Topological insulators: first impressions I Time-reversal invariant fermionic system void Bulk Edge Insulator in the Bulk: Excitation gap For independent electrons: band gap at Fermi energy Edge I void spin up spin down I Topology: In the space of Hamiltonians, a topological insulator can not be deformed in an ordinary one, while keeping the gap open and time-reversal invariance. Analogy: torus 6= sphere (differ by genus). Contributors to the field: Kane, Mele, Zhang, Moore; Fröhlich; Hasan Pictures Material: InAs/GaSb (quantum well); AlSb (barrier) Courtesy: S. Müller, K. Ensslin Pictures Courtesy: S. Müller, K. Ensslin Pictures Courtesy: S. Müller, K. Ensslin Pictures Courtesy: S. Müller, K. Ensslin A technological application void Edge µ− |ψi µ+ > µ− Bulk Θ|ψi µ+ Θ time-reversal A technological application void Edge µ− |ψi µ+ > µ− Bulk Θ|ψi Θ time-reversal µ+ • On the two edges (net): parallel charge currents, anti-parallel spin currents A technological application µ− void Edge disorder V |ψi µ+ > µ− Bulk Θ|ψi Θ time-reversal µ+ • On the two edges (net): parallel charge currents, anti-parallel spin currents • Stable against backscattering, |ψi → Θ|ψi, induced by disorder hΘψ|V |ψi = 0 if V is time-reversal invariant. A technological application µ− void Edge disorder V |ψi µ+ > µ− Bulk Θ|ψi Θ time-reversal µ+ • On the two edges (net): parallel charge currents, anti-parallel spin currents • Stable against backscattering, |ψi → Θ|ψi, induced by disorder hΘψ|V |ψi = 0 if V is time-reversal invariant. Indeed: hΘψ, V ψi = A technological application µ− void Edge disorder V |ψi µ+ > µ− Bulk Θ|ψi Θ time-reversal µ+ • On the two edges (net): parallel charge currents, anti-parallel spin currents • Stable against backscattering, |ψi → Θ|ψi, induced by disorder hΘψ|V |ψi = 0 if V is time-reversal invariant. Indeed: by Θ anti-unitary, hΘψ, V ψi = hΘV ψ, Θ2 ψi = A technological application µ− void Edge disorder V |ψi µ+ > µ− Bulk Θ|ψi Θ time-reversal µ+ • On the two edges (net): parallel charge currents, anti-parallel spin currents • Stable against backscattering, |ψi → Θ|ψi, induced by disorder hΘψ|V |ψi = 0 if V is time-reversal invariant. Indeed: by Θ anti-unitary, Θ2 = −1, [Θ, V ] = 0, hΘψ, V ψi = hΘV ψ, Θ2 ψi = − hV Θψ, ψi = A technological application µ− void Edge disorder V |ψi µ+ > µ− Bulk Θ|ψi Θ time-reversal µ+ • On the two edges (net): parallel charge currents, anti-parallel spin currents • Stable against backscattering, |ψi → Θ|ψi, induced by disorder hΘψ|V |ψi = 0 if V is time-reversal invariant. Indeed: by Θ anti-unitary, Θ2 = −1, [Θ, V ] = 0, V = V ∗ hΘψ, V ψi = hΘV ψ, Θ2 ψi = − hV Θψ, ψi = − hΘψ, V ψi A technological application µ− void Edge disorder V |ψi µ+ > µ− Bulk Θ|ψi Θ time-reversal µ+ • On the two edges (net): parallel charge currents, anti-parallel spin currents • Stable against backscattering, |ψi → Θ|ψi, induced by disorder hΘψ|V |ψi = 0 if V is time-reversal invariant. • Backscattering to other edge suppressed by separation A technological application µ− void Edge disorder V |ψi µ+ > µ− Bulk Θ|ψi Θ time-reversal µ+ • On the two edges (net): parallel charge currents, anti-parallel spin currents • Stable against backscattering, |ψi → Θ|ψi, induced by disorder hΘψ|V |ψi = 0 if V is time-reversal invariant. • Backscattering to other edge suppressed by separation • Autobahn principle (Zhang); A technological application µ− void Edge disorder V |ψi µ+ > µ− Bulk Θ|ψi Θ time-reversal µ+ • On the two edges (net): parallel charge currents, anti-parallel spin currents • Stable against backscattering, |ψi → Θ|ψi, induced by disorder hΘψ|V |ψi = 0 if V is time-reversal invariant. • Backscattering to other edge suppressed by separation • Autobahn principle (Zhang); U.S. patent 20120138887 Bulk-edge correspondence Deformation as interpolation in physical space: topological insulator I 000 111 000 111 11 00 00 11 00 11 00 11 000 111 000 111 000 111 000 111 00 11 0011 11 00 00 11 000 111 000 111 000 111 000 111 00 11 11 0011 00 11 00 interpolating material ordinary insulator Gap must close somewhere in between. Hence: Interface states at Fermi energy. Bulk-edge correspondence Deformation as interpolation in physical space: topological insulator 000 111 000 111 11 00 00 11 00 11 00 11 000 111 000 111 000 111 000 111 00 11 0011 11 00 00 11 000 111 000 111 000 111 000 111 00 11 11 0011 00 11 00 interpolating material void I Gap must close somewhere in between. Hence: Interface states at Fermi energy. I Ordinary insulator void: Edge states Bulk-edge correspondence Deformation as interpolation in physical space: topological insulator 000 111 000 111 11 00 00 11 00 11 00 11 000 111 000 111 000 111 000 111 00 11 0011 11 00 00 11 000 111 000 111 000 111 000 111 00 11 11 0011 00 11 00 interpolating material void I Gap must close somewhere in between. Hence: Interface states at Fermi energy. I Ordinary insulator I Bulk-edge correspondence: Termination of bulk of a topological insulator implies edge states. void: Edge states Bulk-edge correspondence Deformation as interpolation in physical space: topological insulator 000 111 000 111 11 00 00 11 00 11 00 11 000 111 000 111 000 111 000 111 00 11 0011 11 00 00 11 000 111 000 111 000 111 000 111 00 11 11 0011 00 11 00 interpolating material void I Gap must close somewhere in between. Hence: Interface states at Fermi energy. I Ordinary insulator I Bulk-edge correspondence: Termination of bulk of a topological insulator implies edge states. (But not conversely!) void: Edge states void Edge Bulk-edge correspondence Bulk In a nutshell: Termination of bulk of a topological insulator implies edge states From a talk by Z. Hasan Experimental Challenge: How to experimentally “measure” topological invariants that do not give rise to quantization of charge or spin transport cannot be done via transport in Z2 topological insulators (transport is still interesting and becoming possible) Experimentally IMAGE (see) boundary/edge/surface states Experimentally Probe BULK--BOUNDARY CORRESPONDENCE Experimental prove “topological order” Spectroscopy is capable of probing BULK--BOUNDARY correspondence, Determine the topological nature of boundary/surface states & experimentally prove “topological order” From a paper by Z. Hasan void Edge Bulk-edge correspondence Bulk In a nutshell: Termination of bulk of a topological insulator implies edge states void Edge Bulk-edge correspondence Bulk In a nutshell: Termination of bulk of a topological insulator implies edge states I Goal: State the (intrinsic) topological property distinguishing different classes of insulators. More precisely: void Edge Bulk-edge correspondence Bulk In a nutshell: Termination of bulk of a topological insulator implies edge states I Goal: State the (intrinsic) topological property distinguishing different classes of insulators. More precisely: I Express that property as an Index relating to the Bulk, resp. to the Edge. void Edge Bulk-edge correspondence Bulk In a nutshell: Termination of bulk of a topological insulator implies edge states I Goal: State the (intrinsic) topological property distinguishing different classes of insulators. More precisely: I Express that property as an Index relating to the Bulk, resp. to the Edge. I Bulk-edge duality: Can it be shown that the two indices agree? void Edge Bulk-edge correspondence. Done? Bulk In a nutshell: Termination of bulk of a topological insulator implies edge states I Goal: State the (intrinsic) topological property distinguishing different classes of insulators. More precisely: I Express that property as an Index relating to the Bulk, resp. to the Edge. Yes, e.g. Kane and Mele. I Bulk-edge duality: Can it be shown that the two indices agree? Schulz-Baldes et al.; Essin & Gurarie void Edge Bulk-edge correspondence. Today Bulk In a nutshell: Termination of bulk of a topological insulator implies edge states I Goal: State the (intrinsic) topological property distinguishing different classes of insulators. More precisely: I Express that property as an Index relating to the Bulk, resp. to the Edge. Done differently. I Bulk-edge duality: Can it be shown that the two indices agree? Done differently. Introduction Rueda de casino Hamiltonians Indices Further results Rueda de casino. Time 00 1500 Rueda de casino. Time 00 2500 Rueda de casino. Time 00 3500 Rueda de casino. Time 00 4400 Rueda de casino. Time 00 44.2500 Rueda de casino. Time 00 44.5000 Rueda de casino. Time 00 44.7500 Rueda de casino. Time 00 4500 Rueda de casino. Time 00 45.2500 Rueda de casino. Time 00 45.5000 Rueda de casino. Time 00 4600 Rueda de casino. Time 00 4700 Rueda de casino. Time 00 5500 Rueda de casino. Time 10 1600 Rueda de casino. Time 30 2300 Rules of the dance Dancers I start in pairs, anywhere I end in pairs, anywhere (possibly elseways & elsewhere) I are free in between I must never step on center of the floor Rules of the dance Dancers I start in pairs, anywhere I end in pairs, anywhere (possibly elseways & elsewhere) I are free in between I must never step on center of the floor I are unlabeled points Rules of the dance Dancers I start in pairs, anywhere I end in pairs, anywhere (possibly elseways & elsewhere) I are free in between I must never step on center of the floor I are unlabeled points There are dances which can not be deformed into one another. What is the index that makes the difference? The index of a Rueda A snapshot of the dance The index of a Rueda A snapshot of the dance Dance D as a whole D The index of a Rueda A snapshot of the dance Dance D as a whole D The index of a Rueda A snapshot of the dance Dance D as a whole D The index of a Rueda A snapshot of the dance Dance D as a whole D I(D) = parity of number of crossings of fiducial line Introduction Rueda de casino Hamiltonians Indices Further results Bulk Hamiltonian Hamiltonian on the lattice Z × Z (plane) Z Z n = −3 −2 −1 0 1 2 3 4 Bulk Hamiltonian Hamiltonian on the lattice Z × Z (plane) Z Z n = −3 −2 −1 0 1 2 3 4 Bulk Hamiltonian Hamiltonian on the lattice Z × Z (plane) I translation invariant in the vertical direction Bulk Hamiltonian Hamiltonian on the lattice Z × Z (plane) I translation invariant in the vertical direction I period may be assumed to be 1: Bulk Hamiltonian Hamiltonian on the lattice Z × Z (plane) I translation invariant in the vertical direction I period may be assumed to be 1: sites within a period as labels of internal d.o.f. Bulk Hamiltonian Hamiltonian on the lattice Z × Z (plane) I translation invariant in the vertical direction I period may be assumed to be 1: sites within a period as labels of internal d.o.f., along with others (spin, . . . ) Bulk Hamiltonian Hamiltonian on the lattice Z × Z (plane) I translation invariant in the vertical direction I period may be assumed to be 1: sites within a period as labels of internal d.o.f., along with others (spin, . . . ), totalling N Bulk Hamiltonian Hamiltonian on the lattice Z × Z (plane) I translation invariant in the vertical direction I period may be assumed to be 1: sites within a period as labels of internal d.o.f., along with others (spin, . . . ), totalling N I Bloch reduction by quasi-momentum k ∈ S 1 := R/2πZ Bulk Hamiltonian Hamiltonian on the lattice Z × Z (plane) I translation invariant in the vertical direction I period may be assumed to be 1: sites within a period as labels of internal d.o.f., along with others (spin, . . . ), totalling N I Bloch reduction by quasi-momentum k ∈ S 1 := R/2πZ End up with wave-functions ψ = (ψn )n∈Z ∈ `2 (Z; CN ) and Bulk Hamiltonian H(k)ψ n = A(k )ψn−1 + A(k)∗ ψn+1 + Vn (k)ψn with Vn (k) = Vn (k)∗ ∈ MN (C) (potential) A(k) ∈ GL(N) (hopping) Bulk Hamiltonian Hamiltonian on the lattice Z × Z (plane) I translation invariant in the vertical direction I period may be assumed to be 1: sites within a period as labels of internal d.o.f., along with others (spin, . . . ), totalling N I Bloch reduction by quasi-momentum k ∈ S 1 := R/2πZ End up with wave-functions ψ = (ψn )n∈Z ∈ `2 (Z; CN ) and Bulk Hamiltonian H(k)ψ n = A(k )ψn−1 + A(k)∗ ψn+1 + Vn (k)ψn with Vn (k) = Vn (k)∗ ∈ MN (C) (potential) A(k) ∈ GL(N) (hopping): Schrödinger eq. is the 2nd order difference equation Edge Hamiltonian Hamiltonian on the lattice N × Z (half-plane) with N = {1, 2, . . .} Z N n= 0 1 2 3 4 Edge Hamiltonian Hamiltonian on the lattice N × Z (half-plane) with N = {1, 2, . . .} I translation invariant as before (hence Bloch reduction) Wave-functions ψ ∈ `2 (N; CN ) and Edge Hamiltonian H ] (k)ψ n = A(k )ψn−1 + A(k)∗ ψn+1 + Vn] (k)ψn Edge Hamiltonian Hamiltonian on the lattice N × Z (half-plane) with N = {1, 2, . . .} I translation invariant as before (hence Bloch reduction) Wave-functions ψ ∈ `2 (N; CN ) and Edge Hamiltonian H ] (k)ψ n = A(k )ψn−1 + A(k)∗ ψn+1 + Vn] (k)ψn which I agrees with Bulk Hamiltonian outside of collar near edge (width n0 ) Vn] (k) = Vn (k) , (n > n0 ) Edge Hamiltonian Hamiltonian on the lattice N × Z (half-plane) with N = {1, 2, . . .} I translation invariant as before (hence Bloch reduction) Wave-functions ψ ∈ `2 (N; CN ) and Edge Hamiltonian H ] (k)ψ n = A(k )ψn−1 + A(k)∗ ψn+1 + Vn] (k)ψn which I agrees with Bulk Hamiltonian outside of collar near edge (width n0 ) Vn] (k) = Vn (k) , (n > n0 ) I has Dirichlet boundary conditions: for n = 1 set ψ0 = 0 Edge Hamiltonian Hamiltonian on the lattice N × Z (half-plane) with N = {1, 2, . . .} I translation invariant as before (hence Bloch reduction) Wave-functions ψ ∈ `2 (N; CN ) and Edge Hamiltonian H ] (k)ψ n = A(k )ψn−1 + A(k)∗ ψn+1 + Vn] (k)ψn which I agrees with Bulk Hamiltonian outside of collar near edge (width n0 ) Vn] (k) = Vn (k) , (n > n0 ) I has Dirichlet boundary conditions: for n = 1 set ψ0 = 0 Note: σess (H ] (k)) ⊂ σess (H(k)), but typically σdisc (H ] (k )) 6⊂ σdisc (H(k)) Graphene as an example Hamiltonian is nearest neighbor hopping on honeycomb lattice a) n2 BA n1 b) n2 n1 ~a1 + ~a2 ~a2 ~a1 ~a2 ~a1 (a) zigzag, resp. (b) armchair boundaries Dimers (N = 2). Graphene as an example Hamiltonian is nearest neighbor hopping on honeycomb lattice a) n2 BA n1 b) n2 n1 ~a1 + ~a2 ~a2 ~a1 ~a2 ~a1 (a) zigzag, resp. (b) armchair boundaries Dimers (N = 2). For (b): A 0 ψn N=2 ψn = ∈C , A(k ) = −t ik B e ψn 1 , 0 0 1 Vn (k ) = −t 1 0 For (a): too, but A(k ) ∈ / GL(N) Also: Extensions with spin, spin orbit coupling leading to topological insulators (Kane & Mele) General assumptions I Gap assumption: Fermi energy µ lies in a gap for all k ∈ S1: µ∈ / σ(H(k)) General assumptions I Gap assumption: Fermi energy µ lies in a gap for all k ∈ S1: µ∈ / σ(H(k)) I Fermionic time-reversal symmetry: Θ : CN → CN I I I Θ is anti-unitary and Θ2 = −1; Θ induces map on `2 (Z; CN ), pointwise in n ∈ Z; For all k ∈ S 1 , H(−k ) = ΘH(k )Θ−1 Likewise for H ] (k) Elementary consequences of H(−k ) = ΘH(k)Θ−1 I σ(H(k)) = σ(H(−k )). Same for H ] (k). Elementary consequences of H(−k ) = ΘH(k)Θ−1 I I σ(H(k)) = σ(H(−k )). Same for H ] (k). Time-reversal invariant points, k = −k , at k = 0, π. Elementary consequences of H(−k ) = ΘH(k)Θ−1 I I σ(H(k)) = σ(H(−k )). Same for H ] (k). Time-reversal invariant points, k = −k , at k = 0, π. There H = ΘHΘ−1 (H = H(k) or H ] (k)) Hence any eigenvalue is even degenerate (Kramers). Elementary consequences of H(−k ) = ΘH(k)Θ−1 I I σ(H(k)) = σ(H(−k )). Same for H ] (k). Time-reversal invariant points, k = −k , at k = 0, π. There H = ΘHΘ−1 (H = H(k) or H ] (k)) Hence any eigenvalue is even degenerate (Kramers). Indeed Hψ = Eψ =⇒ H(Θψ) = E(Θψ) and Θψ = λψ, (λ ∈ C) is impossible: −ψ = Θ2 ψ = λ̄Θψ = λ̄λψ (⇒⇐) Elementary consequences of H(−k ) = ΘH(k)Θ−1 I I σ(H(k)) = σ(H(−k )). Same for H ] (k). Time-reversal invariant points, k = −k , at k = 0, π. There H = ΘHΘ−1 (H = H(k) or H ] (k)) Hence any eigenvalue is even degenerate (Kramers). k ∈ S1 π 0 µ E ∈R −π Bands, Fermi line (one half fat), edge states Introduction Rueda de casino Hamiltonians Indices Further results The edge index The spectrum of H ] (k) symmetric on −π ≤ k ≤ 0 1111111111 0000000000 0000000000 1111111111 0000000000 1111111111 0000000000 1111111111 µ 111111111 000000000 000000000 111111111 0 k Bands, Fermi line, edge states Definition: Edge Index I ] = parity of number of eigenvalue crossings π The edge index The spectrum of H ] (k) symmetric on −π ≤ k ≤ 0 1111111111 0000000000 0000000000 1111111111 0000000000 1111111111 0000000000 1111111111 µ 111111111 000000000 000000000 111111111 0 k π Bands, Fermi line, edge states Definition: Edge Index I ] = parity of number of eigenvalue crossings Collapse upper/lower band to a line and fold to a cylinder: Get rueda and its index. Towards the bulk index Let z ∈ C. The Schrödinger equation (H(k ) − z)ψ = 0 (as a 2nd order difference equation) has 2N solutions ψ = (ψn )n∈Z , ψn ∈ CN . Towards the bulk index Let z ∈ C. The Schrödinger equation (H(k ) − z)ψ = 0 (as a 2nd order difference equation) has 2N solutions ψ = (ψn )n∈Z , ψn ∈ CN . Let z ∈ / σ(H(k)). Then Ez,k = {ψ | ψ solution, ψn → 0, (n → +∞)} has I dim Ez,k = N. Towards the bulk index Let z ∈ C. The Schrödinger equation (H(k ) − z)ψ = 0 (as a 2nd order difference equation) has 2N solutions ψ = (ψn )n∈Z , ψn ∈ CN . Let z ∈ / σ(H(k)). Then Ez,k = {ψ | ψ solution, ψn → 0, (n → +∞)} has I dim Ez,k = N. I Ez̄,−k = ΘEz,k The bulk index k ∈ S1 Im z π 0 µ E = Re z −π Loop γ and torus T = γ × S 1 Vector bundle E with base T 3 (z, k ), fibers Ez,k , and Θ2 = −1. The bulk index k ∈ S1 Im z π 0 µ E = Re z −π Loop γ and torus T = γ × S 1 Vector bundle E with base T 3 (z, k ), fibers Ez,k , and Θ2 = −1. Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 (besides of N = dim E) The bulk index k ∈ S1 Im z π 0 µ E = Re z −π Loop γ and torus T = γ × S 1 Vector bundle E with base T 3 (z, k ), fibers Ez,k , and Θ2 = −1. Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 (besides of N = dim E) Definition: Bulk Index I = I(E) The bulk index k ∈ S1 Im z π 0 µ E = Re z −π Loop γ and torus T = γ × S 1 Vector bundle E with base T 3 (z, k ), fibers Ez,k , and Θ2 = −1. Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 (besides of N = dim E) Definition: Bulk Index I = I(E) What’s behind the theorem? How is I(E) defined? The bulk index k ∈ S1 Im z π 0 µ E = Re z −π Loop γ and torus T = γ × S 1 Vector bundle E with base T 3 (z, k ), fibers Ez,k , and Θ2 = −1. Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 (besides of N = dim E) Definition: Bulk Index I = I(E) What’s behind the theorem? How is I(E) defined? Aside . . . a rueda . . . Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 Sketch of proof: Consider Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 Sketch of proof: Consider I torus ϕ = (ϕ1 , ϕ2 ) ∈ T = (R/2πZ)2 Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 Sketch of proof: Consider I torus ϕ = (ϕ1 , ϕ2 ) ∈ T = (R/2πZ)2 with cut (figure) ϕ2 ϕ cut ϕ1 −ϕ ϕ2 = π ϕ2 = 0 Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 Sketch of proof: Consider I torus ϕ = (ϕ1 , ϕ2 ) ∈ T = (R/2πZ)2 with cut (figure) ϕ2 ϕ cut ϕ1 I ϕ2 = π −ϕ a (compatible) section of the frame bundle of E ϕ2 = 0 Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 Sketch of proof: Consider I torus ϕ = (ϕ1 , ϕ2 ) ∈ T = (R/2πZ)2 with cut (figure) ϕ2 ϕ2 ϕ2 = π ϕ2 = 0 cut ϕ1 −ϕ2 I I a (compatible) section of the frame bundle of E the transition matrices T (ϕ2 ) ∈ GL(N) across the cut Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 Sketch of proof: Consider I torus ϕ = (ϕ1 , ϕ2 ) ∈ T = (R/2πZ)2 with cut (figure) ϕ2 ϕ2 ϕ2 = 0 ϕ2 = π cut ϕ1 −ϕ2 I I a (compatible) section of the frame bundle of E the transition matrices T (ϕ2 ) ∈ GL(N) across the cut Θ0 T (ϕ2 ) = T −1 (−ϕ2 )Θ0 , with Θ0 : CN → CN antilinear, Θ20 = −1 (ϕ2 ∈ S 1 ) Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 ϕ2 ϕ2 = π ϕ2 = 0 −ϕ2 I I I Θ0 T (ϕ2 ) = T −1 (−ϕ2 )Θ0 Only half the cut (0 ≤ ϕ2 ≤ π) matters for T (ϕ2 ) At time-reversal invariant points, ϕ2 = 0, π, Θ0 T = T −1 Θ0 Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 ϕ2 ϕ2 = π ϕ2 = 0 −ϕ2 I I I Θ0 T (ϕ2 ) = T −1 (−ϕ2 )Θ0 Only half the cut (0 ≤ ϕ2 ≤ π) matters for T (ϕ2 ) At time-reversal invariant points, ϕ2 = 0, π, Θ0 T = T −1 Θ0 Eigenvalues of T come in pairs λ, λ̄−1 : Θ0 (T − λ) = T −1 (1 − λ̄T )Θ0 Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 ϕ2 ϕ2 = π ϕ2 = 0 −ϕ2 I I I Θ0 T (ϕ2 ) = T −1 (−ϕ2 )Θ0 Only half the cut (0 ≤ ϕ2 ≤ π) matters for T (ϕ2 ) At time-reversal invariant points, ϕ2 = 0, π, Θ0 T = T −1 Θ0 Eigenvalues of T come in pairs λ, λ̄−1 : Θ0 (T − λ) = T −1 (1 − λ̄T )Θ0 Phases λ/|λ| pair up (Kramers degeneracy) Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 ϕ2 ϕ2 = π ϕ2 = 0 −ϕ2 I I I Θ0 T (ϕ2 ) = T −1 (−ϕ2 )Θ0 Only half the cut (0 ≤ ϕ2 ≤ π) matters for T (ϕ2 ) At time-reversal invariant points, ϕ2 = 0, π, Θ0 T = T −1 Θ0 Eigenvalues of T come in pairs λ, λ̄−1 : Θ0 (T − λ) = T −1 (1 − λ̄T )Θ0 I Phases λ/|λ| pair up (Kramers degeneracy) For 0 ≤ ϕ2 ≤ π, phases λ/|λ| form a rueda, D Time-reversal invariant bundles on the torus Theorem In general, vector bundles (E, T, Θ) can be classified by an index I(E) = ±1 ϕ2 ϕ2 = π ϕ2 = 0 −ϕ2 I Θ0 T (ϕ2 ) = T −1 (−ϕ2 )Θ0 I For 0 ≤ ϕ2 ≤ π, phases λ/|λ| form a rueda, D Definition (Index): I(E) := I(D) Remark: I(E) agrees (in value) with the Pfaffian index of Kane and Mele. . . . aside ends here. Main result Theorem Bulk and edge indices agree: I = I] Main result Theorem Bulk and edge indices agree: I = I] I = +1: ordinary insulator I = −1: topological insulator Proof of Theorem (preliminary remark) I For this slide only: N = 1. Proof of Theorem (preliminary remark) I For this slide only: N = 1. Schrödinger (2nd order difference) equation on the half-line (H ] − z)ψ ] = 0 (no b.c. at n = 0) Proof of Theorem (preliminary remark) I For this slide only: N = 1. Schrödinger (2nd order difference) equation on the half-line (H ] − z)ψ ] = 0 (no b.c. at n = 0) with solution ψn] ∈ C, (n = 0, 1, 2) decaying at n → ∞ ψ0# ψ1# n −1 0 1 2 3 4 5 Proof of Theorem (preliminary remark) I For this slide only: N = 1. Schrödinger (2nd order difference) equation on the half-line (H ] − z)ψ ] = 0 (no b.c. at n = 0) with solution ψn] ∈ C, (n = 0, 1, 2) decaying at n → ∞ ψ0# ψ1# n −1 I 0 1 2 3 Solution is unique up to multiples 4 5 Proof of Theorem (preliminary remark) I For this slide only: N = 1. Schrödinger (2nd order difference) equation on the half-line (H ] − z)ψ ] = 0 (no b.c. at n = 0) with solution ψn] ∈ C, (n = 0, 1, 2) decaying at n → ∞ ψ0# ψ1# n −1 0 1 2 3 I Solution is unique up to multiples I ψ0] = 1 picks a unique solution, 4 5 Proof of Theorem (preliminary remark) I For this slide only: N = 1. Schrödinger (2nd order difference) equation on the half-line (H ] − z)ψ ] = 0 (no b.c. at n = 0) with solution ψn] ∈ C, (n = 0, 1, 2) decaying at n → ∞ ψ0# ψ1# n −1 0 1 2 3 4 5 I Solution is unique up to multiples I ψ0] = 1 picks a unique solution, except if n = 0 is a node A winding number Im z E = Re z I I I A winding number Im z k E = Re z I I I A winding number k E = Re z I I I A winding number k 1 0 0 1 E(k) µ I I I E = Re z E = E(k ): Dirichlet eigenvalue, solution has node ψ0] (E, k) = 0 A winding number Im z k 1 0 0 1 E(k) µ I I I E = Re z E = E(k ): Dirichlet eigenvalue, solution has node ψ0] (E, k) = 0 A winding number Im z k 1 0 0 1 E(k) µ E = Re z I E = E(k ): Dirichlet eigenvalue, solution has node ψ0] (E, k) = 0 I Choose solution ψ ] (z, k ) such that ψ0] (z, k ) = 1 I A winding number Im z k 1 0 0 1 E(k) µ E = Re z I E = E(k ): Dirichlet eigenvalue, solution has node ψ0] (E, k) = 0 I Choose solution ψ ] (z, k ) such that ψ0] (z, k ) = 1 I Continue ψ ] (z, k) inside upper/lower part of the disk: ψ ± (z, k) A winding number Im z k 1 0 0 1 E(k) µ E = Re z I E = E(k ): Dirichlet eigenvalue, solution has node ψ0] (E, k) = 0 I Choose solution ψ ] (z, k ) such that ψ0] (z, k ) = 1 I Continue ψ ] (z, k) inside upper/lower part of the disk: ψ ± (z, k) ψ + (µ, k ) = t(k )ψ − (µ, k ) (t(k) 6= 0) A winding number Im z k 1 0 0 1 E(k) µ E = Re z I E = E(k ): Dirichlet eigenvalue, solution has node ψ0] (E, k) = 0 I Choose solution ψ ] (z, k ) such that ψ0] (z, k ) = 1 I Continue ψ ] (z, k) inside upper/lower part of the disk: ψ ± (z, k) ψ + (µ, k ) = t(k )ψ − (µ, k ) + A − B k k0 (t(k) 6= 0) t(k) Winding number is sgn E 0 (k0 ) = ±1 0 A, B 1 Proof of Theorem (sketch) k ∈ S1 Im z π 0 −π µ E = Re z Fermi line (one half fat) edge states torus Proof of Theorem (sketch) k ∈ S1 Im z π 0 µ E = Re z Fermi line (one half fat) edge states torus −π I I I I I I I ψ, ψ ] solutions (bulk, edge) at z, k decaying at n → +∞ Bijective map ψ 7→ ψ ] , so that ψn = ψn] (n > n0 ) ] ] ∃ψ 6= 0 | ψn=0 = 0 ⇔ z ∈ σ(H ] (k )) ⇔ ψ 7→ ψn=0 not 1-to-1. There is a section of the frame bundle F (E), global on T, except at edge eigenvalue crossings Cut the torus along the Fermi line; let T (k) be the transition matrix There T (k) = IN , except near eigenvalue crossings As k traverses one of them, T (k ) has eigenvalues 1 (multiplicity N − 1) and t(k) making one turn of S 1 Proof of Theorem: Dual ruedas 1111111 0000000 0000000 1111111 0000000 1111111 0000000 1111111 S1 k =0 k k =π Edge rueda: edge eigenvalues S1 1 k =0 k k =π Bulk rueda: eigenvalues of T (k ) Proof of Theorem: Dual ruedas 1111111 0000000 0000000 1111111 0000000 1111111 0000000 1111111 S1 S1 k =0 k 1 k =π Edge rueda: edge eigenvalues k =0 k k =π Bulk rueda: eigenvalues of T (k ) Ruedas share intersection points. Proof of Theorem: Dual ruedas 1111111 0000000 0000000 1111111 0000000 1111111 0000000 1111111 S1 k =0 k k =π Edge rueda: edge eigenvalues S1 1 k =0 k k =π Bulk rueda: eigenvalues of T (k ) Ruedas share intersection points. Hence indices are equal Introduction Rueda de casino Hamiltonians Indices Further results Further results I Alternate formulation of bulk index I Direct link to edge picture I Application to graphene Alternate formulation of bulk index So far, only periodicity along edge assumed (quasi-momentum k ). Alternate formulation of bulk index So far, only periodicity along edge assumed (quasi-momentum k ). Now: doubly periodic case (quasi-momenta k , κ): Brillouin zone serves as torus k κ Alternate formulation of bulk index So far, only periodicity along edge assumed (quasi-momentum k ). Now: doubly periodic case (quasi-momenta k , κ): Brillouin zone serves as torus k = 0, π: ε ε2j (κ) ε2j−1 (κ) κ −π 0 π Alternate formulation of bulk index So far, only periodicity along edge assumed (quasi-momentum k ). Now: doubly periodic case (quasi-momenta k , κ): Brillouin zone serves as torus k = 0, π: single bands can not be ε isolated; but pairs can. ε2j (κ) ε2j−1 (κ) κ −π 0 π Alternate formulation of bulk index So far, only periodicity along edge assumed (quasi-momentum k ). Now: doubly periodic case (quasi-momenta k , κ): Brillouin zone serves as torus k = 0, π: single bands can not be ε isolated; but pairs can. ε2j (κ) If so: Bloch solutions for pair (2j − 1, 2j) form Bloch ε2j−1 (κ) bundle Ej over Brillouin zone κ −π 0 π Alternate formulation of bulk index So far, only periodicity along edge assumed (quasi-momentum k ). Now: doubly periodic case (quasi-momenta k , κ): Brillouin zone serves as torus k = 0, π: single bands can not be ε isolated; but pairs can. ε2j (κ) If so: Bloch solutions for pair (2j − 1, 2j) form Bloch ε2j−1 (κ) bundle Ej over Brillouin zone κ −π 0 π Theorem I= Y j with product over filled pairs. I(Ej ) Alternate formulation of bulk index So far, only periodicity along edge assumed (quasi-momentum k ). Now: doubly periodic case (quasi-momenta k , κ): Brillouin zone serves as torus k = 0, π: single bands can not be ε isolated; but pairs can. ε2j (κ) If so: Bloch solutions for pair (2j − 1, 2j) form Bloch ε2j−1 (κ) bundle Ej over Brillouin zone κ −π 0 π Theorem I= Y I(Ej ) j with product over filled pairs. Note: Bulk solution are decaying to n → +∞, Bloch solutions are bounded Alternate formulation of bulk index So far, only periodicity along edge assumed (quasi-momentum k ). Now: doubly periodic case (quasi-momenta k , κ): Brillouin zone serves as torus k = 0, π: single bands can not be ε isolated; but pairs can. ε2j (κ) If so: Bloch solutions for pair (2j − 1, 2j) form Bloch ε2j−1 (κ) bundle Ej over Brillouin zone κ −π 0 π Theorem I= Y I(Ej ) j with product over filled pairs. Note: Bulk solution are decaying to n → +∞, Bloch solutions are bounded Proof using Bloch variety (Kohn) A direct link to the edge A direct link between indices of Bloch bundles and the edge index. A direct link to the edge A direct link between indices of Bloch bundles and the edge index. Simpler setting: Quantum Hall effect. 1111111111 0000000000 0000000000 1111111111 0000000000 1111111111 0000000000 1111111111 µ 111111111 000000000 000000000 111111111 −π k π Definition: Edge Index N ] = signed number of eigenvalue crossings A direct link to the edge A direct link between indices of Bloch bundles and the edge index. Simpler setting: Quantum Hall effect. Definition: Edge Index N ] = signed number of eigenvalue crossings Bulk: ch(Ej ) is the Chern number of the Bloch bundle Ej of the j-th band. A direct link to the edge A direct link between indices of Bloch bundles and the edge index. Simpler setting: Quantum Hall effect. Definition: Edge Index N ] = signed number of eigenvalue crossings Bulk: ch(Ej ) is the Chern number of the Bloch bundle Ej of the j-th band. Duality: N] = X j with sum over filled bands. ch(Ej ) A direct link to the edge A direct link between indices of Bloch bundles and the edge index. Simpler setting: Quantum Hall effect. Definition: Edge Index N ] = signed number of eigenvalue crossings Bulk: ch(Ej ) is the Chern number of the Bloch bundle Ej of the j-th band. Duality: N] = X ch(Ej ) j with sum over filled bands. (cf. Hatsugai) Here via scattering and Levinson’s theorem. Duality via scattering k Brillouin zone 3 (κ, k ) κ Duality via scattering Minima κ− (k) and maxima κ+ (k) of energy band εj (κ, k) in κ at fixed k k εj (κ) k κ− κ+ κ 1 0 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 κ 1 0 1 1111111 −π0000000 κ− κ+ π Duality via scattering k Minima κ− (k) and maxima κ+ (k) of energy band εj (κ, k) in κ at fixed k κ− κ+ κ Duality via scattering k Maxima κ+ (k ) κ+ κ Duality via scattering k 0 1 0 1 11 00 00 11 Maxima κ+ (k ) with semi-bound states (to be explained) 1 0 κ+ κ Duality via scattering k 0 1 0 1 11 00 00 11 1 0 κ+ κ Duality via scattering εj (κ) At fixed k: Energy band εj (κ, k) and the line bundle Ej of Bloch states κ 1111111 −π0000000 π Duality via scattering κ 1111111 −π0000000 π Line indicates choice of a section |κi of Bloch states (from the given band). No global section in κ ∈ R/2πZ is possible, as a rule. Duality via scattering 1 0 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 κ 1 0 1 1111111 −π0000000 κ− κ+ π States |κi above the solid line are left movers (ε0j (κ) < 0) Duality via scattering 1 0 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 κ 1 0 1 1111111 −π0000000 κ− κ+ π They are incoming asymptotic (bulk) states for scattering at edge (from inside) 1 0 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 |κi ≡ |ini Duality via scattering 1 0 11 00 0 1 11 00 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 κ 1 0 1 1111111 0000000 −π κ− κ+ π Scattering determines section |outi of right movers above line 1 0 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 |outi |κi ≡ |ini Duality via scattering 1 0 11 00 0 1 11 00 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 κ 1 0 1 1111111 0000000 −π κ− κ+ π 1 0 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 |outi |κi ≡ |ini Scattering matrix |outi = S+ |κi as relative phase between two sections of the same fiber (near κ+ ) Duality via scattering 1 0 11 00 0 1 11 00 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 κ 1 0 1 1111111 0000000 −π κ− 1 0 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 |outi |κi ≡ |ini Scattering matrix |outi = S+ |κi κ+ π as relative phase between two sections of the same fiber (near κ+ ) Likewise S− near κ− . Duality via scattering 1 0 11 00 0 1 11 00 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 κ 1 0 1 1111111 0000000 −π κ− κ+ π Chern number computed by sewing ch(Ej ) = N (S+ ) − N (S− ) with N (S± ) the winding of S± = S± (k) as k = 0 . . . π. Duality via scattering 11 00 0 1 00 11 11 00 0 1 11 00 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 κ 1 0 1 1111111 −π0000000 κ− κ+ π As κ → κ+ , whence |ini = |κi → |κ+ i |outi = S+ |κi → |κ+ i (up to phase) their limiting span is that of |κ+ i, d|κi dκ κ+ (bounded, resp. unbounded in space). The span contains the limiting scattering state |ψi ∝ |ini + |outi. If (exceptionally) |ψi ∝ |κ+ i then |ψi is a semi-bound state. Duality via scattering k 11 00 0 1 00 11 11 00 0 1 11 00 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 1 0 κ 1 0 1 1111111 0000000 −π κ− κ+ π 1 0 0 1 00 11 00 11 1 0 κ+ κ As a function of k , semi-bound states occur exceptionally. Levinson’s theorem Recall from two-body potential scattering: The scattering phase at threshold equals the number of bound states σ(p2 + V ) 0 arg S E=0+ = 2πN E Levinson’s theorem Recall from two-body potential scattering: The scattering phase at threshold equals the number of bound states σ(p2 + V ) 0 E arg S E=0+ = 2πN N changes with the potential V when bound state reaches threshold (semi-bound state ≡ incipient bound state) Levinson’s theorem (relative version) Spectrum of edge Hamiltonian 1111111 0000000 0000000 1111111 0000000 1111111 0000000 1111111 k∗ k ε(k) = εj (κ+ (k), k) Levinson’s theorem (relative version) Spectrum of edge Hamiltonian 1111111 0000000 0000000 1111111 0000000 1111111 0000000 1111111 k1 k∗ k2 ε(k) = εj (κ+ (k), k) k k2 lim arg S+ (ε(k) − δ) = ±2π δ→0 k1 Proof 111111111 000000000 000000000 111111111 000000000 111111111 000000000 j0 + 111111111 1 µ 1111111111 0000000000 0000000000 1111111111 0000000000 1111111111 j0 −π k (j ) (j +1) N ] = N (S+0 ) = j0 X = N (S−0 (j) j0 X j=0 (1) (N (S− ) = 0) (j) N (S+ ) − N (S− ) j=0 = π ch(Ej ) ) An application: Quantum Hall in graphene An application: Quantum Hall in graphene Hamiltonian: Nearest neighbor hopping with flux Φ per plaquette. An application: Quantum Hall in graphene Spectrum in black Φ (mod 2π) E An application: Quantum Hall in graphene Spectrum in black Φ (mod 2π) E What is the Hall conductance (Chern number) in any white point? An application: Quantum Hall in graphene What is the Hall conductance (Chern number) s in any white point? Bulk approach (Thouless): If Φ = p/q, (p, q coprime) then r = sp + tq where: I r number of bands below Fermi energy I s, t integers s is so determined only modulo q. An application: Quantum Hall in graphene What is the Hall conductance (Chern number) s in any white point? Bulk approach (Thouless): If Φ = p/q, (p, q coprime) then r = sp + tq where: I r number of bands below Fermi energy I s, t integers s is so determined only modulo q. For square lattice, s ∈ (−q/2, q/2). An application: Quantum Hall in graphene What is the Hall conductance (Chern number) s in any white point? Bulk approach (Thouless): If Φ = p/q, (p, q coprime) then r = sp + tq where: I r number of bands below Fermi energy I s, t integers s is so determined only modulo q. For square lattice, s ∈ (−q/2, q/2). Not for other lattices. An application: Quantum Hall in graphene What is the Hall conductance (Chern number) s in any white point? Bulk approach (Thouless): If Φ = p/q, (p, q coprime) then r = sp + tq where: I r number of bands below Fermi energy I s, t integers s is so determined only modulo q. For square lattice, s ∈ (−q/2, q/2). Not for other lattices. → Edge approach (with Agazzi, Eckmann) The colors of graphene What is the Hall conductance (Chern number) in any white point? The colors of graphene What is the Hall conductance (Chern number) in any white point? Summary Bulk = Edge I = I] Summary Bulk = Edge I = I] I The bulk and the indices of a topological insulator (of reduced symmetry) are indices of suitable ruedas I In case of full translational symmetry, bulk index can be defined and linked to edge in other ways I Application (Quantum Hall): graphene I Three dimensions ... I Open questions: No periodicity (disordered case)?