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Anomaly Manifestation of Lieb-Schultz-Mattis Theorem and Topological Phases

Gil Young Cho

School of Physics, Korea Institute for Advanced Study, Seoul 02455, Korea and
Department of Physics, Korea Advanced Institute of Science and Technology, Daejeon 305-701, Korea

Shinsei Ryu
Department of Physics, University of Illinois, 1110 W. Green St., Urbana, Illinois 61801-3080, USA and
James Franck Institute and Kadanoff Center for Theoretical Physics, University of Chicago, Illinois 60637, USA
(Dated: May 12, 2017)
arXiv:1705.03892v1 [cond-mat.str-el] 10 May 2017

The Lieb-Schultz-Mattis theorem constrains the possible low-energy and long-distance behaviors
of states which emerge from microscopic lattice Hamiltonians. The theorem dictates that the emer-
gent state cannot be a trivial symmetric insulator if the filling per unit cell is not integral and
if lattice translation symmetry and particle number conservation are strictly imposed. Investigat-
ing one-dimensional symmetric gapless states which are forced to be critical by the theorem, we
show that the theorem, the absence of a trivial insulator phase at non-integral filling, has a very
close connection to quantum anomaly. We further show that, in terms of symmetry realizations
on low-energy modes, low-energy spectrum, and anomaly, the gapless states emergent from lattice
Hamiltonians are equivalent to the boundary theory of the strong symmetry-protected topological
phases in one-higher dimensions, where non-local translational symmetry of the lattice is encoded
as some local symmetry. Once a global symmetry is realized in a non-on-site fashion, the boundary
of the topological phases can be realized in a stand-alone lattice model, and the no-go theorem for
the boundary is circumvented, similar to the recent discussions of the half-filled Landau level and
topological insulators. Finally we extend our analysis to the higher-dimensional example, the Dirac
semimetal in three spatial dimensions.

I. INTRODUCTION that the system has to be gapless, and at low energies

can be described by a conformal field theory.11 (On the
A. Motivations other hand, in higher-dimensions, impossibility of realiz-
ing a trivial gapped state does not necessarily means a
gapless spectrum, as gapped non-trivial topological order
Predicting macroscopic physics from microscopic in- can develop.) We will show that this filling-enforced CFT
formation is one of the most important theoretical prob- emerging from the lattice systems at fractional filling suf-
lems in modern condensed matter physics. In solid state fers from a quantum anomaly. We will reveal this anoma-
systems, electrons are hopping among atoms on lattices, lous structure by twisting boundary conditions and ex-
in a correlated fashion due to Coulomb interactions. hibit the anomaly associated with the theorem. I.e., we
The correlated dancing patterns of electrons at micro- can show
scopic scales result in fascinating emergent phenomena.
E.g., fractionalization and emergent low-energy symme-
try, such as pseudo-Lorentz symmetry. Such emergent Fractionally-filled Lattice Anomaly,
structures are usually difficult to be forseen from the mi-
croscopic physics. In this paper, we attempt to shed some where the fractionally-filled lattice model is enforced to
light on this by showing that certain microscopic infor- be critical due to the HOLSM theorem. It should be
mation manifests as the presence or absence of quantum noted that the condition on the filling in the theorem is
anomaly,13 which has been bringing new insights in var- purely microscopic and high-energy information, while
ious theoretical physics, ranging from string theory, par- the anomaly (which anomaly we are speaking of will
ticle physics, to condensed matter theory. We also un- be clear below)1215 on the right hand side is easily seen
cover the surprising connection between the long-distance at the macroscopic and low-energy field theory lim-
theory emergent from lattice and symmetry-protected its. (However, we note that, though the anomaly is most
topological (SPT) phases,47 which have been extensively clearly seen in the continuum IR limit, the presence or
studied recently. absence of the anomaly is generically expected to be in-
The Lieb-Schultz-Mattis theorem and its general- dependent to the energy scale and interactions.)
izations by Hastings and by Oshikawa (the HOLSM On the other hand, quantum anomalies play an essen-
theorem)811 already hint the (potentially) anomalous tial role in understanding the robust-ness of boundaries
nature of the emergent physics at macroscopic scales. of SPT phases.1218 Although the bulk of SPT phases is
The theorem dictates the absence of a trivial insulator gapped, their edge cannot be trivially gapped while re-
phase respecting lattice translation symmetry and parti- specting all the symmetries of the SPT phases. Such ob-
cle number conservation, if the filling of particle per unit struction on the boundaries are well understood in terms
cell is non-integral. In one spatial dimension, this means of the various quantum anomaly, which can be summa-

rized by the following symmetry of the 2d SPT phase. The two CFTs are iden-
tical in that the symmetry actions on the fields are iden-
Boundary of SPTs Anomaly. tical and both the CFTs suffer from the same anomaly.
Hence, using fractionally-filled lattices in which symme-
Such anomaly can be often manifested1217 when the tries do not act on-site, the edge of the 2d SPT can be
boundary conditions are twisted by (or gauging of) realized on a purely 1d lattice; The no-go theorem of
symmetry of SPTs.19,20 Furthermore, the boundary of the boundary of SPT phases can be circumvented.
(strong) SPT phases cannot stand alone without the bulk We will further extend these considerations to the
because of the anomalies, and this is usually called as the 3d Dirac semimetal on the diamond lattice,22,23 which
no-go theorem. should be anomalous and cannot be trivially gapped by
From the above considerations, both lattice models at the generalized HOLSM theorem with non-symmorphic
the fractional filling and boundaries of SPT phases are screw symmetries24 . We will show that the Dirac
anomalous, and fail to realize a trivial insulating ground semimetal suffers from a 3d non-abelian quantum
state. We are thus led to the natural question; Is there anomaly and is holographically dual to the 4d topo-
any connection between these? If there is, what would logical crystalline insulator, where the non-symmorphic
be the precise connection between the two seemingly dis- screw symmetries are replaced by symmorphic rotation
parate systems? If one can assert symmetries. Such a 4d bulk SPT phase provides the nat-
ural understanding of the anomalous nature of the Dirac
Fractionally-filled Lattice = Boundary of SPTs, semimetal via the non-abelian anomaly2528 .

(we will explain in which sense we use = below), then

we see that the anomalous nature of the lattice model C. Previous examples
can simply be understood as the anomaly of the corre-
sponding SPT boundaries.
The relation between the filling-enforced gapless (con-
One simple way to establish the connection, i.e., = formal) field theories and the edge of SPT phases, not
between the lattice and the SPTs, is to consider lattice only provides an intuitive understanding of anomalies,
models as the boundaries of various weak SPT phases,21 but also leads to non-trivial information about SPTs and
i.e., stacked 1d topological wires which are protected by lattice models. A similar (the same) cross-fertilization
translational symmetries (see below for more descrip- has recently been discussed in the context of the com-
tions). However, a more interesting possibility would posite Fermi liquid in the half-filled Landau level and its
be to associate fractionally-filled lattice models to strong relation to the boundary of topological insulators.2934
SPT phases which are protected by onsite symmetries. In this example, the low-energy theory of the half-filled
This is the possibility that we pursue in this paper. Landau level is claimed to be the same (in terms of the
parity anomaly, field contents, and symmetry actions) as
that of the surface of 3d topological insulators. Both of
B. Main results these theories contain a dynamical gauge field and a sin-
gle Dirac fermion with the anti-unitary symmetry. The
In this paper, we will find that, for fractionally-filled anti-unitary symmetry looks local in space when acting
lattice models dictated to be non-trivial by the HOLSM on the low-energy fermion fields. This seems against
theorem, their low-energy theory look identical to the the no-go theorem since the Landau level can be con-
edge theory of some strong SPT phase in one-higher di- structed from two-dimensional lattices (with projection
mension. This is seemingly against the no-go theorem to the Landau level). However, the anti-unitary symme-
for the boundaries of strong SPTs, which states that the try in the Landau level, which emerges after the projec-
boundaries cannot exist on their own without the bulk! tion to the lowest Landau level, is local but non-on-site
The trick behind this is that, while symmetries in the at lattice scales (although it acts like a local symmetry
bulk SPT phases are realized on-site, symmetries enter- in the low-energy field theory description).
ing into the corresponding HOLSM theorem are non-on- For other precursors of the current work, discussing
site. For example, we will discuss a 1d lattice model the relationship between SPT phases and the HOLSM
at fractional filling, for which we will show that its low- theorem, see, for example, Refs. 21, 3537. In partic-
energy limit realizes a chiral anomaly (or its proper ular, it is instructive to contrast our work with those
generalization where the axial U (1) is broken to its dis- which deal with weak SPT phases, e.g., Ref. 21. Ref. 21
crete subgroup Z or Zk ). On the other hand, one can find considered (d 1)-dimensional lattice models as the sur-
the same low-energy field theory (including field contents face of d-dimensional weak SPT phases, and then finds
and symmetry actions) and the same chiral anomaly are the classification of possible topological orders respecting
realized at the edge of a 2d SPT phase. In this exam- the translational symmetries from the d-dimensional SPT
ple, the relevant symmetry on the HOLSM side includes index, Hd+1 [Zdtrans G, U (1)]. Here Zdtrans is the transla-
non-local (non-on-site) translation symmetry on the 1d tion symmetry, and G is the on-site symmetry. Through
lattice, which corresponds to a local (on-site) internal the Kunneth formula, it is found that this index for the

Lattice Dual SPT Symmetry Anomaly II. 1D LATTICE MODELS AND 2D SPTS
1d fermion 2d QSHE Tr ZSz Chiral
1d spin 2d BQHE Tr Z2,Sz Chiral Here we consider 1d lattice models, which are enforced
2d Half-filled LL 3d TI CT CT Parity
to be critical by the HOLSM theorem, and compare the
low-energy theory of the models to the edge theories of
3d Dirac SM 4d TCI Screw Rotation Non-abelian
2d SPTs. We will find that the lattice model gives rise
TABLE I. Summary of Results. The first column represents exactly to the same effective low-energy theory as the
the lattice models and the second column represents their edge of the SPTs and have the same quantum anomaly,
dual SPTs. The third column represents the symmetries at i.e., a discrete version of chiral anomaly, where the chiral
UV and IR, connected by the arrow, i.e., UV symmetry symmetry is broken from U (1) to Z and its subgroup.
IR symmetry. CT in the second row represents the particle-
hole symmetry, which is realized in a non-on-site fashion in
the Landau level. The IR symmetry CT in the 3d TI is the A. QSHE
on-site time-reversal symmetry. The last column represents
the anomaly associated with the lattice models and SPTs. 1. Bulk QSHE and Topological Pumping

We start by revisiting the simplest 2d fermionic SPT,

weak SPT can be given in terms of those of the lower- the QSHE, with onsite U (1)Q U (1)Sz symmetry. The 2d
dimensional strong SPTs with on-site symmetry G, i.e., bulk of this SPT phase can be realized on the honeycomb
Hr+1 [G, U (1)] (r < d), which is stacked inside the weak lattice by following Kane and Mele38
SPT. Though this formula helps to understand the in-
r z z (d1rr d2rr )r ,
dex of the weak SPT clearly, this treats the translation H = t r r + i
symmetry physically different from the on-site symme- hr,r i hhr,r ii
try. The anomalous nature of the symmetrically-gapped
phases of the (d1)-dimensional lattice models manifests where r labels the lattice site and r = (cr, , cr, )T a
as the non-trivial indices for this weak SPT phase. On spinful fermion. The Hamiltonian clearly respects the
the other hand, we will consider e.g. the d = 2 SPT case, symmetry U (1)Q U (1)Sz at the ultraviolet (UV) scale
or one-dimensional lattice models, which are forced to be
critical instead of gapped; The translation symmetry in U (1)Q : r ei r ,
the lattice models are interpreted as the on-site symme- U (1)Sz : r eiz /2 r . (1)
try in the strong SPT side. This makes the non-on-site
translation symmetry and on-site global symmetry, e.g., The ground state is simply the combinations of the Chern
charge conservation, of the lattice model to be treated band with Chern number = 1 for spin- electrons and
on an equal footing in the SPT side. Furthermore, the the Chern band with = 1 for spin- electrons. Due
anomalous nature of the lattice models manifests as the to the topological band structure, the bulk exhibits the
proper generalizations of the chiral anomaly, which are QSHE, i.e., the electromagnetic Q -flux carries the spin-

a more historic diagnosis of gapless theories than the Sz density, Sz = 2Q . To clearly demonstrate this, we in-
indices. Currently, the link between the weak SPT in- troduce the two external gauge fields which couple to the
dex and the anomaly discussed in this paper is not ob- conserved charge and spin, i.e., conventional electromag-
vious, and thus clarifying the relationships between the netic field A and spin gauge field B , and integrate
cohomological indices Hd+1 and chiral anomalies in one- out the electrons to find
dimensional lattice models and three-dimensional Dirac 1
semimetals will be an interesting future problem. L= A B . (2)
Then the spin density is given by
L 1 Q
D. Organization of the paper Sz = d x = d2 x ij i Aj = . (3)
B0 2 2
The rest of this paper is organized as follows. We first It is straightforward to check that the charge density is
review briefly the topological pumping of the 2d quan- zero. This pumping effect is robust against any form of
tum spin Hall effect (QSHE) and show the anomalous the symmetry-respecting interactions and disorders be-
nature of the 1d edge of the 2d QSHE. Then we show cause of Laughlins argument.
that the 1d lattice model with spinless fermion at frac-
tional filling suffers from exactly the same anomaly as
the edge of the QSHE and show the duality between 2. Anomaly of Edge of QSHE
1d spinless fermion model and edge of the QSHE. Next
we consider 3d Dirac semimetal as the dual of the 4d We would like to show that the topological spin and
topological crystalline insulator, and then we conclude. charge pumping effect of bulk the QSHE manifests as the

anomaly in the edge theory of the QSHE. When the open where we have used Q|0i = 0. On the other hand,
boundary condition along a spatial direction x on the [Q, VQ ] = 0 from the direct computation of the commu-
bulk QSHE is imposed, then gapless edge states emerge, tator. Hence, |Q i does not carry any charge. However,
which can be described by the low-energy Hamiltonian
[Sz , VQ ] = 2Q and this implies that |Q i carries the

Z spin Sz = 2Q . Hence, when Q = 2, the spin quan-
H = dx (x)(ivF x )z (x), (4) tum number of the twisted boundary condition results
Sz = 1 relative to the untwisted sector Q = 0. This
with (x) = ( (x), (x))T . The action of the U (1)Q is precisely the extra spin density appearing in the bulk
U (1)Sz symmetry on the edge mode is identical to that of under the adiabatic flux insertion.
the bulk Eq.(1). It is straightforward to check that there This pumped spin manifests itself when we act ei:Sz :
is no gapping term when the symmetry Eq.(1) is strictly U (1)Sz , [0, 2), on the resulting ground state
imposed on the edge. Hence the gaplessness of the edge
exp i : Sz : |2i = exp(i)|2i, (11)
theory is protected by the symmetry.
In fact, we can see the topological pumping effect as the anomalous phase factor exp(i) 6= 1. The non-
purely in terms of the edge theory Eq.(4) and here we trivial phase factor is the embodiment of the quantum
will reformulate the effect as the quantum anomaly. We anomaly; classically we do not expect the eigenvalue of
need to implement the twist of the boundary condition U (1)Sz of the ground state to be changed by twisting the
by U (1)Q on the circular edge x x + L as boundary condition by U (1)Q 2-flux because 2-flux is
invisible to electrons and U (1)Q commutes with U (1)Sz .
(x) = eiQ (x + L), (5) This anomaly requires the bulk of the QSHE, and thus a
1d lattice model with the on-site U (1)Q U (1)Sz symme-
and label the resulting ground state of this boundary
try cannot have such anomaly and hence cannot realize
condition as |Q i.
the 1d edge of the 2d QSHE. This is commonly known as
We can explicitly construct and study such a state as
no-go theorem. We also note that the anomaly here is
follows. We introduce the bosonized expression for the
the chiral anomaly. The spin Sz corresponds to the axial
boundary theory Eq.(4). We represent ei and
charge, which is pumped by the electromagnetic gauge
ei with the following commutators
Note that the discussion makes use the bosonization
[ (x ), x (x)] = 2i sgn(), (x x ), (6)
scheme which can treat interactions non-perturbatively
where sgn() = +1 and sgn() = 1. Then the densi- and the criticality remains intact as far as the symme-
ties of and are given by (x) = 2 1
x (x) and try is respected. Thus, the above spin quantum number
1 carried by the twisted boundary conditions remains the
(x) = 2 x (x). We construct the conserved charge
same, independent of the details of interactions, which
and spin number operators
is consistent with the topological pumping argument in
1 bulk of the QSHE.
Q = Q + Q , Sz = (Q Q ), (7) Finally, to facilitate the connection to emergent filling-
R R enforced CFT from lattice, we note that the criticality as
from Q = (x)dx and Q = (x)dx. well as the anomalous phase factor of the 1d edge survive
Now we implement the twisted boundary condition by even if we lower U (1)Sz down to ZSz , i.e., instead of
the electromagnetic gauge flux (x) = eiQ (x + U (1)Sz , we can use
L), =, . We can construct the corresponding ground
ZSz : r eiN F z r , N Z, (12)
state |Q i resulting from the boundary condition by re-
quiring which fixes = F in Eq.(11).
(x) eiQ (x + L) |Q i = 0. (8)
B. 1d Spinless Fermion
By the standard operator-state correspondence in
CFT,3941 we can represent such state by We now consider the 1d spinless fermion lattice model
at non-integral filling with the charge conservation U (1)Q
|Q i = lim ei 2 ( ( )( )) |0i. (9) and lattice translation symmetry ZTr ,
H = t (cx cx+1 + h.c.) cx cx , (13)
Now the (relative) quantum number carried by |Q i can x x
i ( ) where U (1)Q ZTr are
be directly read off from the operator VQ e 2

U (1)Q : cx ei cx ,
[Q, VQ ]|0i = QVQ |0i = Q|Q i, (10) ZTr : cx cx+1 . (14)

Note that ZTr is manifestly a non-onsite symmetry at this where the translation symmetry ZTr , which is a non-on-
UV scale. We can find the ground state with the periodic site symmetry at UV scale, acts as if it is a local on-site
boundary condition cx = eiQ

cx+L by proceeding symmetry on the infrared (IR) field (x) at the CFT
Q =0 limit in which the UV cutoff, i.e., the lattice size, is com-
to the momentum space and fill the single particle states pletely ignored. We can further show that the IR theory
whose energy are below the chemical potential , Eq.(16) with the symmetry Eq.(17) suffers from exactly
 Y  the same anomaly Eq.(15) as its UV counterpart Eq.(13),
|GS, Q = 0i ck |vaci, i.e., the anomaly is identical at UV and IR scales (see ap-
|k|kF pendix A 2). Furthermore, the anomaly here is also the
chiral anomaly as in the QSHE case.
where |vaci is the Fock vacuum. This ground state is Now we can clearly see that the continuum IR limit
a gapless metal which can be easily seen from the band Eq.(16) with the symmetry U (1)Q ZTr Eq.(17) is iden-
structure of Eq.(13), if the filling = kF / Z. Fur- tical to the edge Eq.(4) of the QSHE with the symmetry
thermore, the HOLSM theorem9 in 1d dictates that if U (1)Q ZSz (upto velocities which are irrelevant details
the translation symmetry Tr and U (1)Q are not broken, to the anomaly). Remarkably, the two theories realize the
then the ground state should be always gapless even in same Z-symmetry actions (or appropriate subgroup of Z
the presence of interactions. Hence it is a filling-enforced if the filling is rational fraction) at the IR limit though
critical state. the symmetry has very different origins at the UV scales.
Can we associate this filling-enforced critical state with In the lattice scale, the translation symmetry is non-local
the quantum anomaly as observed in the edge of the (non-on-site) Eq.(14), but becomes local Eq.(17) in the
QSHE? To investigate this, we follow the anomaly ar- IR scale and matches the onsite spin rotation symmetry
gument of the 1d edge of the QSHE on this 1d system of the edge of the 2d QSHE. Furthermore, the two theo-
by placing it on the ring x x + L. We first construct ries have the same form of the anomaly. Hence this shows
the ground state |GS, Q = 2i resulting from the adi- that the 1d spinless fermion lattice model at fractional
abatic insertion of 2-flux to the system by considering filling realizes the edge of the 2d QSHE by circumventing
the boundary condition cx = eiQ cx+L , and see if the the no-go theorem.
resulting ground state has the different eigenvalue of Tr The above discussion is exactly parallel to the pro-
ZTr than |GS, Q = 0i. By following Oshikawa (see posed dual description of the half-filled Landau level,
appendix A 1 for a brief review), we can show which turns out to be identical to the (dual) low-energy
theory of the 2d boundary of the 3d topological insula-
Tr|GS, Q = 2i = e2i |GS, Q = 2i, (15) tor. In these descriptions, the symmetries of the low-
energy theory is realized differently at the UV scales in
where the nontrivial phase factor e2i 6= 1 at the frac- the two cases, though they look identical in the IR limit.
tional filling
/ Z manifests the anomalous momen- The topological insulator has local time-reversal symme-
tum pumping under the flux threading. Furthermore, try, which is a well-defined local symmetry at the UV
the anomalous phase factor is robust against interactions scale. On the other hand, the half-filled Landau level
(A 1). Hence, the system should be gapless due to the has the particle-hole symmetry, which acts locally in the
anomaly if the symmetries are stricitly imposed. Note IR limit and identically to the time-reversal symmetry
that exactly the same structures Eq.(15) and Eq.(11) of the 3d SPT, and charge conservation. However, the
emerge from the two completely different systems. particle-hole symmetry cannot be encoded locally at the
To further reveal the connection between this 1d lattice UV scale in the half-filled Landau level. Here, inspired by
model and the edge of the QSHE, we now proceed to the the relation between the half-filled Landau level and the
continuum IR limit of the theory Eq.(13) surface of topological insulators, we have provided a con-
Z crete example which circumvents the no-go theorem by
H = dx (x)(ivF x )z (x), (16) deriving the low-energy theory as well as the symmetry
actions at the IR scale from the 1d lattice model and
matching them to those of the 1d edge theory of the 2d
where (x) = (R (x), L (x))T is the low-energy fermion SPT.
field near the Fermi point. The microscopic fermion cx
can be expanded as One may worry that the model Eq.(13) has unneces-
sary symmetry such as mirror or time-reversal symmetry
cx R (x)eikF x + L (x)eikF x . and is restricted to the single-species fermion. In fact, we
can relax such unnecessary symmetry and consider the
The symmetry actions of U (1)Q ZTr within this low- multiple fermion species case, and still show the above
energy theory Eq.(16) can be easily derived result intact (see appendix A 1). Furthermore, the inclu-
sion of the interactions (in the non-perturbative way!),
U (1)Q : (x) ei (x), which turns the free fermion into the Luttinger liquid,
z does not change the result and this confirms that the
ZTr : (x) eikF (x), (17) anomaly has the topological origin.

C. Effect of Interaction for all i, j. This implies that bi exp(ili ) are mutually
bosons. We further require bi invariant under U (1) and
Now we elaborate on the non-trivial implication of ZN .42 Then, the condensation of {bi } will gap out the
the duality between the SPT and the 1d model on the gapless modes without breaking symmetry (if there is no
classification of the 2d QSHEs, which is particularly in- spontaneous symmetry breaking due to the condensation,
teresting when the Fermi momentum is commensurate, which should be checked separately). For our system
kF = N
, N = 2, 3, in Eq.(17), i.e., = N1 . In Eq.(18) with symmetries Eq.(19), we can always find a
this case, the translation symmetry, which is Z at the set of li
UV scale, is effectively encoded as ZN at the low-energy
l1 = (+1, 1, +1, 1, , +1, 1),
limit. This corresponds to the 2d QSHEs where the spin
rotation is allowed only by the multiples of the angles l2 = (+1, 1, 1, +1, 0, 0, 0, 0),
F = 2N . l3 = (0, 0, +1, 1, 1, +1, 0, 0),
The non-interacting classification for such QSHEs is
Z because there is no mass term allowed to the theory
Eq.(4) at the quadratic level. However, from the view of lN = (0, 0, 0, 0, + 1, 1, 1, +1),
the lattice system, it is clear that N copies of the system whose condensate does not break any symmetry. This
will be at the integral filling tot = N = 1 and hence proves the breaking down of Z ZN .
can be gapped without breaking U (1)Q ZN . Hence, the This breakdown Z ZN of the classification can be
complete interacting classification of the QSHE should be also implied from the view point of the anomaly Eq.(15).
ZN broken down from Z, which can be explicitly demon- The anomalous phase factor will be absent if we consider
strated by finding appropriate symmetric gapping terms. N -multiples of the original ground state |GS, Q = 2i =
To illustrate this, we consider the following theory i=1,2,N |GS, = N1 , Q = 2ii because
Tr|GS, Q = 2i = |GS, Q = 2i,
HN = i Ra x Ra La La , (18)
and hence the N -copy of Eq.(4) is anomaly-free as ex-
in which a = (Ra , La ) transform as following pected.

U (1) : a ei a ,
z D. Bosons and Generalizations
ZN : a ei N a . (19)

From the symmetry action, we can confirm that the free The above connection can be generalized to the bosonic
fermion classification for such theory is Z, i.e., Eq.(18) case. For example, we can consider the spin- 12 system,
is always critical, because any charge-conserving back- where the HOLSM theorem dictates the filling-enforced
scattering criticality, and find that it is dual to the 2d bosonic inte-
ger quantum Hall effect with U (1)Q Z2 ,42 where the
H Ra M ab Lb + h.c., translation symmetry in 1d lattice model is identified
with the onsite Z2 symmetry.
is prohibited by ZN . On the other hand, we will show To show this explicitly, we note that the spin- 21 chain
that if n = N in Eq.(18) and interactions are included, at the low-energy is described by
the theory can be gapped without breaking symmetries. v h i
Hence the non-interacting Z classification is breaking H= (x )2 + (x )2 , (23)
down to ZN . For this, we use the bosonization formalism,
in which such that [(x), x (x )] = 2i(x x ). The local spin
operator S is represented as
Ra ei2a1 , La ei2a , (20)
S = JR + JL + (1)x n
, (24)
whose kinetic energy is described by
1 h i where {JR , JL } are the ferromagnetic component of
L= (t )T K(x ) (x )T V (x ) . (21) the spin and n is the Neel component. The detailed form
4 of the operators in the bosonized langauge is not impor-
Here K = z z z is a 2N 2N matrix (de- tant below (though they can be found in any standard
termining the canonical commutator) and V determines bosonization textbook). We pay attention, however, to
the velocities. Here = (1 , 2 , 2N )T . To open up how the fields transform under the spin rotation USz (1)
the gap for the modes, we need to find N null vectors42 and translation Tr:
{li Z2N , i = 1, 2, N } such that
USz (1) : + , ,
liT K 1 lj = 0, (22) Tr : + , + . (25)

This is nothing but the edge of the Z2 bosonic SPT42 enough) as far as we impose the particle-number con-
enhanced by U (1) if the translation symmetry in the spin servation, time-reversal symmetry, inversion symmetry,
chain is interpreted as Z2 . In parallel to the fermionic and three screw symmetries. Can we understand such
case, we find that both the symmetries Z2 and U (1) are anomalous nature of the Dirac semimetal Eq.(27) by
implemented as the local symmetries in the SPT phase. some sort of the quantum anomaly? We now connect
Hence, the critical theory with U (1)Q Z2 (= Tr) is the anomaly of the Dirac semimetal to that of the 4d
anomalous because it is the edge state of the bosonic SPT SPT, which is closely-related to the non-abelian SU (3)
and this allows us to understand intuitively why the asso- quantum anomaly.25,27
ciated partition function is anomalous, as demonstrated Following our discussion for 1d cases, the anomalous
in Furuya and Oshikawa.35 Furthermore, the discussion nature of the Dirac semimetal should be clearly seen if
here can be straightforwardly generalized to the other 1d we can find an appropriate 4d SPT state whose boundary
chains (whose symmetry contains U (1) subgroup) which theory is the Dirac semimetal. Here the natural candi-
are critical due to the HOLSM theorem. date for the bulk 4d SPT state is a 4d topological crys-
talline insulator state, where the symmetry actions on
the boundary match those of the Dirac semimetal. Here,
E. Without U(1) symmetry we will show that the nonsymmorphic screw symmetry
on the Dirac semimetal is replaced by symmorphic rota-
Here we will consider a case without the continuous tion symmetry in the bulk topological crystalline insula-
U (1) symmetry for the spin chain. Instead we will con- tor because the wavelength of the low-energy field in
sider the case of Z2 ZT2 in which Z2 is the translation Eq.(27) is much larger than the unit cell and thus the
symmetry Eq.(25). On the other hand, the time-reversal translation part in the nonsymmorphic symmetry is ef-
symmetry is encoded as fectively invisible to . The 4d topological crystalline
insulator is a generalization of the 4d topological band
ZT2 : , + . (26) insulator27,43 with the three symmorphic four-fold rota-
tions C4a , a = x, y, z, inversion P, and time-reversal sym-
Microscopically, this corresponds to the extension of the metry T ,
HOLSM theorem where we have a Kramers doublet per
unit cell, which is expected to give rise the gapless ground  X 
state24 . We can straightforwardly confirm that this is in H = I33 F0 (k) 0 + z Fi (k) i + F4 (k) 4 ,
fact the boundary of the bosonic (2+1)d SPT42 with the
symmetry Z2 ZT2 and must be gapless. In accordance
with the previous examples, here the translation sym- where the functions Fa are derived from the lattice tight-
metry is encoded as the on-site symmetry when we map binding model in 4d space (x, y, z, w)
the one-dimensional lattice to the edge of the SPT state.
This theory must be anomalous which can be manifested 4
by considering the non-orientable spacetime, e.g., cross- F0 (k) = m + 2c cos(ki ),
cap state.1214 i=1
Fi (k) = sin(ki ), i = 1, 2, 3, 4. (29)

III. DIRAC SEMIMETAL The a s are the gamma matrices

0 = x 0 , i = z i , 4 = y 0 . (30)
In the light of the 1d cases and the HOLSM theo-
rem, we now consider a filling-enforced critical state in This topological crystalline insulator has the boundary
3d, i.e., Dirac semimetal on the diamond lattice.2224 theory, which has exactly the same form of the low-
The Dirac semimetal is a critical state protected by the energy theory Eq.(27) as well as the symmetry actions
three non-symmorphic screw symmetry S4a , a = x, y, z (see appendix B 3). Now because the boundary of the
(the fractional translation followed the four-fold rota- SPT cannot have a trivial symmetric insulator phase, the
tion), charge conservation U (1), inversion symmetry P Dirac semimetal cannot have a trivial symmetric insula-
and time-reversal symmetry T . The tight-binding model tor phase, which is consistent with the HOLSM theorem.
on the Diamond lattice gives rise the three Dirac fermions With this mapping in hand, we now shed the light on
  the connection of the Dirac semimetal to the SU (3) quan-
H = k I33 z k k . (27) tum anomaly. We first notice that the discrete lattice
symmetries with time-reversal and inversion symmetries
The detailed forms of the symmetry actions, which are lead to the emergent SU (3) symmetric theory Eq.(27) at
not important in the following discussion, can be found low energies, which has flavor SU (3)R SU (3)L symme-
in the appendix B 1. Now the generalized HOLSM the- try. Of course, the symmetry-respecting quartic correc-
orem dictates that the theoy Eq.(27) remains critical tions to Eq.(27) lowers the symmetry explicitly down to
(or topologically-degenerate if the interactions are strong the discrete symmetries of the diamond lattice, but they

are irrelevant in the sense of the renormalization group became aware of the work by Jian, Bi, and Xu,47 in which
at the Gaussian fixed point Eq.(27). Such an SU (3)- the similar consideration is made.
symmetric theory is known to suffer from the non-abelian
anomaly, where the symmetry cannot be gauged consis-
tently. This anomaly then implies that a symmetric in- ACKNOWLEDGMENTS
sulator phase, where the symmetry can be gauged con-
sistently at the lowest energy, cannot be reached from Authors thank helpful discussion for Takahiro Mori-
Eq.(27). In fact, to have a consistent gauge-invariant moto, Eun-Gook Moon, and Sungbin Lee and acknowl-
theory,25 we need to supplement the theory with the 4d edge the financial supports from the National Science
bulk system,25,27 which cancels exactly the anomaly of Foundation grant DMR-1455296 (S.R.), Brain Korea 21
Eq.(27). In our identification of the Dirac semimetal as PLUS Project of the Korea government (G.Y.C.) and
the boundary of the 4d SPTs, the desired 4d bulk sys- NRF of Korea under Grant No. 2016R1A5A1008184
tem is the topological crystalline insulator that we have (G.Y.C.). G.Y.C. also acknowledges the support from
constructed above. Korea Institute for Advanced Study (KIAS) grant funded
by the Korea government (MSIP).


Appendix A: Anomalous Momentum Pumping in
We show that filling-enfoced criticality by the HOLSM 1d Lattice
theorem is manifested as the quantum anomaly, and
hence reveal the connection between the theorem and 1. Lattice Calculation
anomaly. We further connect the anomaly of the CFT
emerging from lattice to that of the SPTs, where the no- In this appendix, we re-interpret Oshikawas proof of
go theorem for the boundary of the SPTs is circumvented. the Luttinger theorem.9 Imagine a 1d lattice model put
Our main results are summarized in the table I. Thus we on a circle x x + L. Then to see the pumping of the
clarify the relations between the HOLSM theorem, quan- momentum, we compare the two ground states, |0 i be-
tum anomaly, and SPT phases. Such connection is not
fore threading any flux and another state |2 i, resulting
only interesting itself but brings several non-trivial im- insert the 2-flux adiabatically. The ground state
|2 i
plications on interacting classifications of SPTs, and new 2
is the state with the gauge Ax = L so that Ax dx = 2,
insights on the origin of anomalous nature of the lattice and the momentum is measured by the traslation sym-
systems at non-integral fillings and Dirac semimetals. metry operator Tx = exp(iPx ) with Px being the total
We now comment on the potential extensions to our momentum operator.
work. First of all, our work suggests that the bound- We first note that, while inserting the flux adiabati-
ary of the SPTs can stand alone without the bulk if cally, the momentum, which is not broken, is expected
the symmetries are encoded differently than the bulk of to be conserved, i.e.,
strong SPTs at UV scales. In particular, the edge of
the SPTs with onsite symmetries, e.g., the QSHE, can Px |0 i = Px0 |0 i,
be realized from the non-onsite symmetry, translation.
Px |2

i = Px0 |2

However, there are alot of other non-onsite symmetries
available in lattice such as mirror and inversion. It would
This seems to imply that the momentum is not pumped
be interesting to search for the lattice models with these
under the adiabatic insertion of the flux. However, we
non-onsite symmetries which can realize the boundaires
note that the momentum is gauge-dependent quantity,
of 10-fold topological insulators and superconductors and
and hence we need to perform the gauge transformation
investigate the implications of the interacting classifica-
back to the original gauge to compare the momentum
tion tables of the SPTs on lattice systems. Secondly,
correctly. The gauge transformation that we need to
though we have concentrated only on the critical states,
perform is given by U = exp( 2i
L dx xn x ). Hence the
another possible form of the boundary of the SPT is the
state with the 2-flux in the original gauge is given by
topological order. Such topological order cannot stand
|2 i = U |2 i. Then we find
alone and should be accompanied by the bulk of SPTs
to be consistent. We can ask if we can circumvent the 0

no-go theorem for such topological order and realize such Tx |0 i = eiPx |0 i,
topological order on lattice system. For example, we can Tx |2 i = ei(Px +2) |2 i,
ask if R2x = 1 (reflection) for spinon and vison (which
is the surface topological order of topological crystalline which clearly exhibits the momentum pumping by 2.
insulator and hence cannot be realized purely in 2d)44 Note that here we do not assume any of the spectrum, or
can be realized in 2d lattice system by replacing R with structure of the fermions. Hence the momentum pump-
some nonsymmorphic glide symmetry45,46 . ing under the flux insertion should be independent of any
- Note Added : After the completion of the work, we microscopic details.

2. Continuum Calculation with proper scaling of t and . Here a is the Pauli

matrix acting on the sublattice index. There are three
The continuum calculation of the anomalous momen- Dirac points in momentum space, X a , a = 1, 2, 3 such
tum pumping starts from the low-energy Hamiltonian that X 1 = (2, 0, 0), X 2 = (0, 2, 0), X 3 = (0, 0, 2). By
Eq.(16) and symmetry Eq.(17). In the low-energy, the performing expansion near the points, we find the low-
twisted ground state is represented by energy theory

|2i = lim ei(R ( )L ( )) |0i. (A1) H[X 1 ]q = z (qy y qz z ) qx x ,

H[X 2 ]q = z (qz y qx z ) qy x ,
Under acting of the translation symmetry operator
H[X 3 ]q = z (qx y qy z ) qz x . (B5)
R/L R/L kF , we find that |2i ei2kF |2i =
e2i |2i, which matches the anomalous momentum We embed these
P three Dirac fermions into a single 1212
pumping of the lattice calculation. matrix, H = q q Hq q , with

H[X 1 ]q 0 0
Appendix B: Dirac Semimetal Hq =

0 H[X 2 ]q 0

0 0 H[X 3 ]q
1. From Lattice to Continuum
Now we specify the symmetry actions. The symmetries
We first start with the lattice model Hamiltonian de- that we are interested in are the three screw symmetries
fined on the diamond lattice. The nearest neighbors of S4a , a = x, y, z inversion P, and the time-reversal symme-
the sites in the diamond lattice are connected by the four try T .
following vectors, First of all, the time-reversal and inversion symmetries
are diagonal in the flavor space, i.e., they do not mix
1 different X a points.
1 = (1, 1, 1),
1 T : q i y z I33 Kq , KiK = i,
2 = (1, 1, 1),
4 P : q y I33 q , (B7)
3 = (1, 1, 1), leaving the Hamiltonian invariant, i.e.,
1 T : (i y z I33 )Hq (i y z I33 ) = Hq ,
4 = (1, 1, 1),
a (B1)
4 P : ( y I33 )Hq ( y I33 ) = Hq . (B8)
and there are two sites per unit cell. Then the lattice
Hamiltonian is given by Secondly, the three screw rotations mix the different
X X a points. We define Va = x exp(i 4 a ). Then the three
H =t cr, cr , screw rotations S4a : Hq a Hq a with q = C4a [q] (the
hr,r i map of q under the four-fold rotation C4a around the a-
axis) are specified by the following matrices.
d~1 d~2 ] cr , .
+ i cr, [ (B2)
hhr,r ii Vx 0 0
x = 0 0 Vx ,

Performing the Fourier transformation, we obtain
X 0 Vx z 0
H = z( fa (k) a ) + GR (k) x + GI (k) y , (B3)
0 0 Vy z
y = 0 Vy 0 ,

where the functions are given by Vy 0 0
kx ky kz

f1 (k) = sin( ) cos( ) cos( ) , 0 Vz 0
2 2 2 z = Vz z 0 0 ,

ky kz kx 0 0 Vz
f2 (k) = sin( ) cos( ) cos( ) ,
2 2 2

kx ky
 where S4a clearly mixes the different Dirac points.
f3 (k) = sin( ) cos( ) cos( ) ,
2 2 2
kx ky kz 2. Chiral Basis
GR (k) = cos( ) cos( ) cos( ),
4 4 4
kx ky kz We now proceed to the chiral basis for the Dirac
GI (k) = sin( ) sin( ) sin( ), (B4)
4 4 4 semimetal to fercilitate to construct the 4d topological

crystalline insulator. By a unitary transformation M to 3. Construction of 4d Topological Crystalline

the chiral basis, we find that the Dirac semimetal can be Insulator
described as
  We now attempt to construct the 4d topological crys-
H = k z k I33 k , (B10) talline insulators whose 3d boundary realizes the the
Dirac semimetal in the chiral basis. The building block
where the inversion and time-reversal symmetry actions for the construction is the 4d topological band insulator
P : k y k , H= Fa (k) a , (B16)
T : k i y z Kk . (B11)

On the other hand, the three screw rotations S4a : q where the functions Fa are derived from the lattice tight-
a q , a = x, y, z with q = C4a [q] are represented by the binding model in 4d space (x, y, z, w)
following matrices a with Ua = z exp(i a ).

Ux 0 0 F0 (k) = m + 2c cos(ki ),
x = 0 0 Ux ,

0 z Ux 0 Fi (k) = sin(ki ), i = 1, 2, 3, 4. (B17)

0 0 Uy z The a is the gamma matrices
y = 0 Uy 0 .

Uy 0 0 0 = x 0 , i = z i , 4 = y 0 . (B18)

0 Uz 0
z = Uz z 0 0 .

(B12) The (4+1)d spacetime is parametrized by the coordinates
(t, x, y, z, w), and having a spatial boundary in w = 0
0 0 Uz
for the 4d topological insulator Hamiltonian generates a
single chiral fermion
These can be easily derived from the unitary matrix con-
necting the Hamiltonian Hq in Eq.(B6) to the chiral ba-
sis, Hbdry =
k. (B19)

M Hq M = z
k I33 , (B13)
We now would like to decorate this fundamental
with topological insulator to construct the 4d topological crys-
talline insulator as exactly like the 2d topological band
Mx 0 0 insulator can be thought as like the time-reversal sym-
M = 0 My 0 .

(B14) metry decorated quantum Hall state. It is not difficult
to find such Hamiltonian
0 0 Mz
Each Ma , a = x, y, z is a 4 4 unitary matrix.
H = I33 F0 (k) 0 + z Fi (k) i + F4 (k) 4 ,
0 1 1 0 (B20)
1 1 0 0 1

Mx =
2 1 0 0 1 which has the desired properties.
0 1 1 0 In this 4d hypercubic bulk, the inversion and time-
reversal symmetry actions are given by

1 0 0 i
1 0 1 i 0

My = T = z i y K,
2 0 i 1 0
i 0 0 1 P = y , (ki , k4 ) (ki , k4 ). (B21)

0 1 0 1
On the other hand, the nonsymmorphic screw rotations
1 1 0 1 0

are encoded as the symmorphic rotation C4a : q
Mz = (B15)
2 0 1 0 1 a q , q = C a [q], a = x, y, z by noting that the hyper-
1 0 1 0 cube is the symmorphic lattice.

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