Topological Insulators:

Some Basic Concepts

Ion Garate
 References for This Lecture

Charlie Kane’s “pedagogical lectures” (highly recommended):

h"p://www.physics.upenn.edu/~kane/  

My course notes:

h"p://www.physique.usherbrooke.ca/pages/en/node/8291  

…and references therein

Introduction
 Insulators (before 1980)

E
In insulators, an energy gap separates
empty and filled electronic states at T=0.
(In contrast, metals have partially filled
bands at T=0)

k Examples:
Covalent insulators (e.g. GaAs),
atomic insulators (e.g. solid Ar),
vacuum.

Due to the energy gap, insulators do not conduct electricity

under weak, time-independent electric fields.

This talk is about gapped systems that do conduct electricity.

 Insulators (after 1980)
Quantum Hall insulator
B E
Landau levels (LLs)

m Typing
k
In spite of bulk energy gap, the edges are metallic.
Metallic edge states are robust.
integer (# of filled LLs)
Hall conductivity is perfectly quantized.
e2
xy (B) = n h sgn(B)
h = R · (ẑ ⇥ q) nc ⌘ n" + n# = 0
Why is the quantization independent
ns of
⌘ sample
n" n#details?
= 2 sgn( so )

Why can some gapped systems conduct whereas other do not? s

xy ⌘
 Insulators (after 2005)
Quantum Spin Hall insulator

E
m electrons
Spin-up

k
m
Spin-down electrons
Made possible by spin-orbit coupling

Metallic edge states are robust under non-magnetic perturbations

CdTe HgTe CdTe

 Insulators (after 2007)
3D Time-reversal invariant topological insulators
Energy

BiSb, BiTe, BiSe…

Strong spin-orbit coupling

Momentum
(on surface)
Surface states: Energy

Massless Dirac fermions

ky
kx

Dirac cones robust under non-magnetic perturbations

Band Theory
 Elements of Traditional Band Theory
Ion Garate
April
Non-interacting electrons moving in a perfectly periodic 28,of2014
array atoms

Eigenstate Crystal momentum k is a

H| kn i = Ekn | kn i Typing Equations for Slid

good quantum number

| kn i = eik·r |ukn i n is the band label

Hamiltonian Eigen-energy Typing
Ion Equation
EGarate
Typing Equations for Slides
Energies and wave functions have the = gN0
y
vT · r ⇢
periodicity of the reciprocal lattice. April 28,T2014 Ion Garat
2 1
+ W 2
/D > ⌧ Ion Garate
e↵
Bloch’s theorem: Periodic part
e↵ = exp( W /8lB )
2 2 April 28, 20i
A = ihu
April 28, 2014
Rn Rn |r R |u Rn
| kn↵i == 1/2
eik·r |ukn i
↵ = 1/2
⇡
a
ARnk = ihuR
⇡ ⇡
Bloch↵Hamiltonian
= 3/2 : h(k) = e ik·r
He ik·r
h(k) = e ik·r ik·r
He h(k)|ukn i = Ekn |ukn i = gN
a 0 v T · r
a ⇢ y
↵ = 1 h(k, t T+ ⌧ ) = ⇡h(k)
1 kn1i =
h(k)|u Ekn2 |ukn H|i kn i = Ekn | kn i a
2H|e↵2 +i W + /D
2
W > /D⌧i> ⌧ 1 Brillouin zone
st (BZ)
h(k, t + ⌧) =
kn = Ekn | kn = ik·r
| kn i e |u kn i
| e↵ =i⌧= exp(1 |u Wi /8lB )
eik·r
2 2
 Ion Garate
Elements of Topological Band Theory
Berry phase: [M. Berry, 1983] Typing
TypingMay 2,Equatio
2014 for
Equations
Consider a Hamiltonian that depends on an external (vector) parameter R.
Typing Equations for
IonSlid
Ion Garate Ga
H(R)|n, Ri = En (R)|n, Ri n=eigenstate label.
| (t = 0)i = |n, R(0)i Ion Garate MayC2, May 2014 2,
Imagine that i✓(t)
| (t)i = e R changes in time adiabatically.
|n, R(t)i
Rt 0 Rt 0
✓(t) is=the
What 1
~ 0
time dt (R(t
evolution
E n of0
))
the wave
i function?
dt hnR(t May0
)| d2, 2014 0
dt0 |n, R(t )i
0
H(R)|n, Ri = En (R)|n, Ri
R(t) H(R)|n, Ri = En (R)|n, Ri
Initial state: | e(t2 = 0)i = |n, R(0)i
xy (B) = |n (t)i|h sgn(B)
(t==ei✓(t)
0)i|n, = R(t)i
|n, R(0)i R(t)
H(R)|n, Ri = En1(R)|n, R t 0i✓(t) Ri R
h=
State at time · (ẑ
R t:✓(t) ⇥ q)=n
| =(t)i dtec E⌘n (R(t
n " +
|n, 0 n# =(adiabaticity)
R(t)i
)) i
t0 0
dt hnR(t 0
)| d
|n, R(t(B)
0
)i = n
| (t = 0)i = |n, R(0)i ~ 0 Rt 0 R dt 0
xy
# = 2 sgn( so0)En (R(t0 ))
t
ns ⌘ n" i✓(t)
| (t)i = e
n✓(t)
R(t) =
|n, R(t)i
1
~ 20 dt i 0
dt 0
hnR(t h
0
)|
=
d
dt0 |n, R(
·
R R R
t R(t)
dt(B) = n h0 sgn(B)
e
✓(t) = ~1 0 xy 0
En (R(t )) 2i C dR · hnR| dR d
|n, Ri ns j⌘ n" j n
h = (B) R ·= (ẑ n e nc ⌘ n"s + ⌘
⇥ q)sgn(B) n# =" 0 #
=
x" x#
R(t) xy
nse2⌘ n" n# = 2h sgn( so ) xy xy xy
Ey
xy (B) = n
h = · (ẑ ⇥ q) n ⌘ n + n = 0
h sgn(B)
R c
Berry phase "
(Geometrical# phase)
Dynamical phase.
n"h= = sgn(
R · so n)s⇥⌘q)nn" c ⌘nn#"=
(ẑ + 2nsgn(
# = 0 so ) s " # jx" jx#
 Ion
May
Elements of Topological Band Theory
May
Berry connection: An (R) = ihn, R|rR |n, Ri
An (R) = 0= hn, R|rR |n, Ri
=
R
1 Typing C
Equatio
Berry phase: n = C An (R) · dR
d|Eg |/dT
H(R)|n, Ri < = 0En (R)|n, Ri Typing Equ S
| (td|E
Reminiscent of phase |/dT=>|n,
of=ag0)i
particle in0 an
R(0)i
EM field. Ion Gara
| (t)i0n = ei✓(t) |n, R(t)i R(t)
The Berry connection iskn
0
analogueR
1 t to a0 vector potential.
R May Ion
3, 2e
✓(t) = ~ 0 dt En (R(t )) i C dR · hnR| dR |n,
0 xy (B) d= n
so < 1mK
Thus, it is not gauge-invariant unless C is a closed loop. h= R ·(
R(t) Ma
H K n = n Ke 0 2 R n s ⌘ n " n#
Stokes’ theorem: xy (B)
A (R)
CnKn =
=n ·ndRh 0sgn(B)
= S dS · [rR ⇥ An (R)]
K
A
h nn=(R) R R= = · (ẑ
hn, nR|r ⇥ q) ncRi
R |n, ⌘ n" + n# = 0
Chern K + nK 0 = sgn(mH )
Berry curvature: nsnF = nC" A=nn(R)
n (R) # =
r R· 2
⇥sgn(
dR so )
ARn (R)
H⌘
|+i
H(R)|n, A Ri =· dR
(R) En (R)|n,
= Ri · [rR ⇥ Ann"(R)]
dS = sgn( so
|Ci
=(R)
n
(tanalogue
0)i1= = R(0)i
S
mH = + so
The Berry curvature| isA |n,
to hn,
a magnetic
xR|ry Rfield.
|n, Ri
n n
| (t)i = e2
K
Thus, it is gauge-invariant
= R sgn(v
i✓(t) v
|n,KR(t)i
K m K ) s
⌘
xy mH xy
"
=
#
xy
=
d (q)1 =
n R A (R) ·
Ct m0 d (q) 0= m ⌧
n dR R z
d= e 2
so
sgn
z S z H
 Elements of Topological Band Theory
Ion Garate
Chern number:
May 3, 2014
Consider a closed surface S, such as S or Typing
S Eq
R
nChern = 1
2⇡ S n
F (R) · dS TypinI
H n (R) = rR ⇥ ARn (R)
F
C
A
The Chern
n (R)
number
· dR is =
an integer.
dS It[r
· is also
R ⇥ A n (R)]
a topological invariant, i.e. M
independent of the detailsSof the Hamiltonian.
An (R) R = hn, R|r R |n, Ri
=
Analogies:
n C
A n (R) · Electric
dR field
Electron’s charge
H(R)|n, Ri = ✏E H En (R)|n, Ri
Gauss’ Law: · dS = e ⇥ integer
| (t = 0)i = |n, R(0)i 1 R
S
nChern = H2⇡ S Fn (R) · dS
| (t)i = e theorem:
i✓(t)
|n, R(t)i
1 t F
R
Gauss-Bonnet (R) H
1
= r ⇥ dSRA= 1 g d
(R)
✓(t) = ~ 0 dt H En (R(t )) i RdR · hnR| |n, Ri
n
0 4⇡ 0 S R n
A (R) ✏E · dR· dS =C= edS ⇥ integer
· [r dR⇥ A (R)]
n R R number
“Genus”= n of holes
R(t) C SGaussian curvature
S
A2 n (R)n= hn,
Chern =
R|r 1
R |n,F n (R) · dS
Ri
 d (k) = (t t) sin(ka) Ion G
cal wave function y
Elements dof Topological
z (k) =0 Band Theory MayMay 4, 24
=0
ial A  i u (k ) k u (k )
=
Example: two-level system ⇡ (e.g. spin ½ particle in a magnetic field)
t>0 h(d) =d ·parameter R
h(d) = dh(d) · t=<d0· Vector d plays the role of
|±i
|±i
Eigenstates: |±i |k±iEigenvalues: E± = ±|d|
losed loop  CE E
E± C= ±|d| ± = 
Ck±
A =d k
±|d| ±|d(k)|!c = eB/(mc)
!c =
Berry eB/(mc)
curvature: F
!c = eB/(mc)
± = ± d
2d3 c py /(eB)

 Cc py /(eB) 2
c py /(eB) Fd =k d(k) · ⇡/a ⇡/a h(k) = dx (k) x + dy
h(k)
Field of a monopole S located at band degeneracy points.
⇡/a ⇡/a⇡/a h(k)⇡/a dx (k)= F
= h(k) d
x
xn+(R)
(k) d y=
x(k)
+ r dR
y
y (k)
⇥ AI n (R)
y
evel Hamiltonian @
Fn (R) =Fr n (R)
R ⇥ =A rnR(R) ⇥ An (R) = i hk |X |k I
S e @k
C Berry phase = ½ ( solid angle I subtended
I Pby=C)
C

h(d) = d · e Xe X 2⇡ n2occ e C
d̂ P = P= An (R) An·(R)dR· =dR =
h(k, t + ⌧ )2⇡ = h(k)
Chern number=monopole A 2⇡
(R) =
charge
C inside
ihu C (R)|r
closed 2⇡
(R)i
surface
|u 2
n2occ
n n2occ n R n n
 Solid Angle swept out by dˆ (k ) 
1 e
h(k, t) = h(k, t + ⌧ ) P =
2 An (R) = ihuA (R) = (R)|r
n n (R)|rnR |un (R)i
ihu |u
R n (R)i 2⇡
R= (k, t)
Band Topology in 1D
 c py /(eB) Typing
=
Electric Polarization of a 1D Insulator
⇡/a ⇡/a h(k) d x (k) x
+ d y (k)
Typing
y
E
Fn (R) = rR ⇥ An (R)
Electric polarization = dipole moment per unit volume.
X I
e
P = An (R) · dR
Polarization charge ⇢ = @ P 2⇡ n2occ C
H x
=
1
An (R)H4⇡  dS = 1 g
S n (R)|rR |un (R)i
ihu
h(k, t) =
Polarization current jS= ✏E ⇢ ·=
@P/@t
h(k, +@⌧x=
tdS )P Re ⇥ integer
= =HP P ·1n̂
Chern1 = 2⇡ Fng(R) · dS
R = (k,nt) ⇢ @ x
dS =
S 1
= PH4⇡· n̂S
H 1n (R)
F H only
Electrical polarization defined S
=modulo
✏E ·rdSR = R⇥e ⇥A n (R)Z ⌧
integer
R
= 11 gF (R) · dS @P
H4⇡ ASnnChern
dS =
(R) · dR =n QS = dS · [r dtR ⇥ A=
C ✏E · dS = e2⇡⇥ Sinteger @t
… + - +ASn -(R) H n+(R)
F
=1(R) -=RrR ⇥ ARn (R)
hn, + - R |n, Ri
R|r … 0
R
nChernC= n2⇡ S dR
A · Fn =(R)S ·dSdS· [rR ⇥ An (R)]
j = @P/@t = AnC=(R)
n (R) A = (R) ·
R|r dRR |n, Ri
F r
R n hn,
⇥ A (R)
⇢ = @H(R)|n,
HPn n = RiR
x A = (R)
n En
Rn
(R)|n,
· dR Ri
A (R) ·CdR = dS · [r R ⇥ An (R
=H P ·| n̂(t = 0)i = |n, R(0)i
C n
H(R)|n, Ri = E S
n (R)|n, Ri
An (R) = hn, R|rR |n, Ri
 |+i
| i Zy Typing Equation
Typ
Typing E
nKP =
Relation 1
between X
esgn(velectric
= t + ⌧ ) = h(k)
h(k,
dz (q) =
2
2⇡mn2occ
x
K v K m )
polarization
FRn · dSz
K T
and Berry phase
[Resta z (q)
S = m
S&dVanderbilt, H⌧
1994] E e X Z
|dz (0)| X Z P = Ion Gara FRn
e 2⇡ n2occ S
P = = v⌧
h(q) z x
qx + y
Anv(k) qdk y + dz (q)
z
ARn = ihuRn |r
Ty
R |uRn i
h(d) 2⇡ = dn2occ· BZ
Typing Equ
AprilZ 29, 2
⇡ e X ARn = ihu
|±i a P = k An (k
R
Berry connection. k plays the role of R ⇡ 2⇡ n2occ
⇡
E± = ±|d| a a
BZ
I Io
!cA= (k)eB/(mc)
nn ==
1
=ihuihuknF||r @
|udS i i h(k, t + ⌧ ) = ⇡h(k)
A NRn · |u
kn
A = |r |u a (
ihu Rn i t + ⌧ ) =
@k
kn
c py /(eB)2⇡ S Rn R Rn Rn Rn R h(k,
⇡
A = k |r |u I
⇡/a
a ⇡/a h(k) =Rn dx (k) a +ihu
⇡x RnA (k)R= Rn
dy Rn y ihuRn |r1R |uRn i M
i
⇡ ⇡ ⇡ ⇢= @N n = Fkn · dS
Fn (R)a = r R a =
⇥ A n (R) ⇡
xP 2⇡ S
+k ⌧ ) = h(k) ⇡ a a
⇡ = P · n̂
h(k,
FRn = t r ⇥ Aa h(k,
X tI+ ⌧ ) H= h(k) X Z Z
H R Rn
j =e @P/@t a H4⇡ S  dS = 1 eg e
1
n = Rc Akn ·h(k, dk=t + ⌧ ) =h(k,
P h(k) Atn+ (R)
⌧ )·= =
dRh(k)
= F F
Berry phase defined modulo⇢ 2⇡ = n2occ@x P defined
à C S ✏E · dS = ReP
modulo 2⇡
⇥ integer
n = S Fkn · dS 2⇡
n2occ S
=H P · n̂ nChern = 2⇡ S Fn (R) · dSS
1
A = =ihu
n (R) quantum
LinkAbetween ihuknn |r k |u1kn
(R)|r
mechanics i|unclassical
R and (R)i electrostatics.
(R) = (R) Z
 dS = 1F
H n g r R ⇥ A
eRn X
ei kt |u ⌧ )iH
|ukn 4⇡ S
h(k, t) i=!h(k, +kn A (R) · dR = dS · [r
 ARn = ihuRn |rR |uRn i
⇡
a
Typing
Thouless Charge Pump (1983)
Equat
⌧ Ion Garate Io
1Dt +
h(k, ⌧ ) = h(k)
insulator under a time-periodic perturbation.
May 3, 2014 P = e
Z Typing Eq
Typing E
Bloch Hamiltonian: h(k, t) = h(k, t + ⌧S )2⇡
FRn · dS Ion
AprG
Z
e X Z ⌧
What is the charge pumped in one =
P cycle of the external perturbation?
Akn dk
Z ⌧
@P
2⇡ n2occ BZ
Q= April
dt
@P2
Q= dt Typing Equations for Slides
= P (t = ⌧ ) P (t = 0)1 ⌘ P I
0 @t
0 ARn = ihuRn |rR |u
@t N n =
Rn2⇡ i S
Fkn · dS A
⇡
t j = @P/@t Ion Garate
FRnC =
H rR ⇥aARn
⇢ = h(k, @x Pt) = h(k, t + ⌧ )
A Rn = ihu
n = Rc Akn · dk
⌧ |r |u
Rn R May i
Rn 4, 2014
n =
SF kn · dS = P ·
R =n̂(k, t) S
i+ ⌧=1) ihu
=
H
S
⇡
A = ihukn |r k |uA
h(k, t h(k)
a 0 kn
Rnk Rn dS|r=R1|uRn g i Z ⌧
i k
|ukn i⇡! e |ukn i⇡
erh(k) = e ik·r Heik·r H
4⇡ S @P
) = rRa⇥ An (R) a S
✏E · dS = Re ⇥ integer Q = Pdt=
· dS
h(k)|ukn i = Ekn |ukn⇡i I @t
h(k, t + ⌧ ) = h(k)
R) H| kn i P = Ekne| kn Xi a nChern = 2⇡ e SX
1
Fn (R) · dS
Z 0
= An (R)j ·= = Fn (R) · dS = nChern ⇥ e
kn iR=⇥e An|u
S |· [r
ik·r
2⇡
(R)]
kn ih(k, tF+ (R)
n2occ C H n
⌧ ) ==h(k)
dR @P/@t
r2⇡ ⇥ ARnS(R)
R n2occ e
⇢= @x P = e
, Ri
R) = ihu (R)|r |u (R)i An (R) · dR = dS · [rR ⇥P
PA=
n (R)]
 Ion Garate Ion Gara
Typing
Su-Schrieffer-Heeger Model
April 29, (1979)
2014 EquatTyp
Ion
A = ihu |r |u i
ARn = ihuRn |rR |uRn i
⇡
Rn Rn R
Ion
Rn
Garate
April 29, 2
E Typin T
dx (k) 1D
= (tlattice,
+t +t)spinless
t+ (t
electrons,
t) cos(ka)half filling. A = ihu
a

= ihu Apri
Rn R
u
dy Rn ARn t= ihu
(k) =i
⇡(t
|r
t) tsin(ka)
Rn
h(k, t + ⌧ ) = h(k)
R |u Rn i
A Rn |r May d x (k)
4|Rn4,t|Ion
= (t
2014 G
+
R
dz (k) =t 0+ t A
(t= 0 t t)t cos(ka)
a Z
Rn = ihuRn |rR |uRn iP = ⇡
dx (k) = (t + t) + (t 2 atoms per unit
e X
cell
t) cos(ka)
2⇡
a n2occ S A = ih
FRn · dS dyA (k)
Rn Rn ==(tih
April 2
(ka)
= + ) = d d k
(k) (k)= 0
= (
⇡ h(k,
t > 0h(k) ARn
t ⌧
d
= dyx=(k) (k)
h(k)
=
ihu
x (t + d
|ry
t)
Asin(ka)
(k) |u
Rn
y
=
P
P i=
= ihue
e AX⇡ ZZ
X
a
Rn
= ihu
|r FAkn R A
⇡ x
Rn
|u
dk
·a
z
Rn
dS =
d
Rn 0=
(k)i ihu
= (R
R
2⇡
t < 0Fn (R) d=z (k) =0 Rn R Rn 2⇡
Rn y
A (R) d ⌧(k)
h(k, t + ) ==h(k)
(t + ⇡ x
BZ
r (k) = (t + + (k)
(t = (t
dxco(+
n2occ
Howddoesx (k) =
d change
= 0 (t
R ⇥
as+ k runs +
d
nt) from
x (t ⇡/a t) to
⇡/a
n2occ S
cos(ka)
1 ⇡/a
Ih(k)
Z t) =
⇡/a
? xd d x =
(k)
d
h(k)
x a z (k)
⇡ = +t)
d= 0
y(k
k±i ARn = e
n =
X
(k) =t +(t⌧
ihu |r |u i Fkn A
I =e0=
N · dS dk
dy (k) ==⇡(t
Ek± = ±|d(k)|
Rn
t) d ey (k)
sin(ka)
R F
Xn= 2⇡
RnP (R)
= =FnS(R)
(tn2occ
d h(k,
2⇡ r Rt) =
⇥ A
BZ sin(ka)
ydr
knn
(k)
y(R)
tR>⇥ A0 n(t
X(R
d Fd xt(k)
= rR=
0 ⇥A (tRnP+= t) + (tt = 0t) A cos(ka)
nI(R) · dR t =<=0 I
F± = ± 2d dz (k)
3
n = R=
Rn H>
Akn 0A · dk = d
2⇡ihu(k) =|r 0
A d (k) = 0
1Rn
|u = i d
ihu (k)
z eRn X=
2⇡|rA
⇡ 0
h(k) = d(k) ·d (k)
t
c
< 0= (t
Rn t) sin(ka)
z
⇡ ARn = 2⇡
Rn
n2occ N C = R RnF
ihuSRn |r P· z
dS = h(k)
|u t0 =
>Pi0=d(k)
n2ocRR e
⇡ n = S Fkn · dS
y
R=
n kn

a(R)
Ad= (k)
h(k)
H kn=
=
ihukn=d|r 0k (k)
d(k) |ukn i· I= (t + t)d + (k)
(t = ⇡ t) (t +
2⇡ Rn
cos(ka) d
t)
t < 0t) c=
+ x )(k
+
2⇡
C
|u(R)|r (R)i
AnRn = x a
R |un (k) = x (t + I
+h(k,(t t
n2occ ⌧
F iR!ihu A d t)
z
r ⇥ a
h(k) |u
= ·d(k)
ei Rn
+
n kn i
k

(k)
) ·=ih(k)= (t
h(k) x@
= d(k)sin(ka)
(k)· = (t= @ ⇡ · ddsi(k
h(k,n = h(k)
t)R c
A=
h(k,
= kne0
=h(k,t
dk d
ik·r
ty
He⌧+=ik·r
⌧ ) hk
d
| A
@kh(k) = d(k
|k
(k)
n t)
(R) d
i
=
· =
dk
yA(t
=
ihu
(R)n
i(R)|r
=
t)
h |
sin(ka)
ihu |u
|k±i
R
@d (R)|r
X t)
id
| n (R)i
y Z
n = h(k)|u
h(k, t
= +
S kn ⌧ )
F kn·i dS
=
(k)h(k)
= Ekn |ukn i C
i = 0 h(k,
h(k, t + ⌧ )
==
y t>
t +P⌧ )=
h(k) 0 n C 0
ne R
R A=
h(d) = |u
= (k,
Topological
H|ihut) ⇡
|r
i=E |
d · i ! e |u ⇡i
d
quantum
|u
kn
kn z iphase transition.
d
k knkn kn
(k)
t)
d=z 0(k)
h(k,
h(k, t)= 0
= h(k,
h(k, Et
2⇡ +
+d
tk± ⌧=
⌧)z)
±(k
=
| t>0
i =
Symmetry-protected
e i
|u ik ik·r zR
topological phases.= (k, t)
Z t < 0n2occ d
e S
F±==⇡±Z 2
= 0 ⌧Z = (k, t) P
kn kn kn
h(k, t +h(k)
⌧ ) ==h(k)
e Hea
kn
ik·r ik·r ⇡R
 Typing Equation
IonGarate
Ion Gara
I
Typing
Emergence of Dirac Fermions at low energies:
Equations
April
Ion
April 30,
Gara
29, 2f
201
x+ vq
x y
E
h(q)
h(q) '
|| t|t|⌧
' Typing
mm + vq Equations
y
fo
Ap
⌧tt Ion Garate
k = ⇡/a q April 30, 2
4| t| k = ⇡/a q Ion Garate
ARn = ihuRn |rR |u qa ⌧i 1
⇡ = ihuRn |rR |uRn i⌧ 1
Rn
ARn qa April 30, 2014
A Rn = ihu
m ⌘ 2 |rt
Rn2 t R Rn |u i
a
dx (k) k
⇡ = (t + ⇡xt) + (t y m ⌘ t) cos(ka) April 30, 2014
h(q)
a ' m a + vq vv ⌘ ⌘ at
at
dy (k)
h(k, = (t
t| t⌧
|h(q) +t⌧ ) =t)⇡ sin(ka)
h(k) y tt = 0
' m +
x a
vq = 0 Z
dz (k) = ⇡/a
= 0 h(k, t +yA⌧ ) = = ihu
h(k) |rR |uRn i e
k|h(q) '
⌧t m xq
+ vq A Rn
=
1D Rn
Dirac
ihu |r |u
Hamiltonian P =
i F
= |0 t| d
Rn
(k) = (t +
Rn
t) +
R Rn
(t t) cos(ka)
2⇡
Rn
qa =⌧
k t| ⌧ 1t q
⇡/a dx (k) = (t + t) + (t
x
t) cos(ka)
S
P =
= k⇡ = ⇡/a q dy (k) = (t t) sin(ka)
mqa ⌘⌧21 t dy (k) = (t
Dirac mass t) sin(ka)e X Z
t >m 0⌘ 1 dz (k) = 0
qa ⌧
v ⌘ at 2 t dz (k) = 0 P =
t <vm0⌘⌘at2 t =0 2⇡ n2occ BZ e
t=0 Velocity =
of 0
Dirac fermion
P =
|k±ivt⌘=at =⇡
A 0= ihu |r |u= ⇡i I 2⇡
Ek±A= =±|d(k)|
tRn 0= ihu Rn|r R|ut Rn >i 0 1
Rn Rn R Rn N = F
 =0 dz (k) = 0
= = 0 2 X Z
⇡
Emergence of zero modes at “domain walls” e 1
t>0 xy ==⇡ dS
t<0 t > 0h n2occ 2⇡ BZ
h(k) = d(k) · t<0
fkn h(k, t + ⌧ ) = h(k) h(k) = d(k) · Z
X
+ ⌧ ) = h(k) F · dS
e
| kn i h(k,Pt =
Rn
m(z) 2⇡ n2occ S
EX Z
j=ee X h kn |v| kn if
P = Akn dk
2⇡
kn n2occ BZ

En = !c (n m I
h + 1/2)
0
z i
Zero energy N
state =
1
2m
Fkn · dS
-m 1
n
2 2⇡ 0
H=
0
2m
2
px + py eB
c x S
FRn = H rR ⇥ ARn
v/m0 n = Rc Akn · dk FRn = rR ⇥ ARn
H
h(z) ' m(z)n =x S Fiv y
kn · dS @z n = Rc Akn · dk
| t| ⌧ t A = ihuiknk|rk |ukn i n = S Fkn · dS
Jackiw-Rebbi|uzero mode:
kn i ! e |ulocalized
kn i at domain wall,
A = decay
ihuknlength v/m
|rk |ukn i 0
k = ⇡/a h(k) q = e ik·r Heik·r |ukn i ! ei k |ukn i h(z) ' m
Insensitive to details of the Hamiltonian.
qa ⌧ 1 h(k)|ukn i = Ekn |ukn i h(k) = e ik·r Heik·r
| t| ⌧t
m⌘2 t
This result can
H|be generalized
kn i = E
ik·r
kn | to
kn 2
i and 3 dimensions.
h(k)|u kn i = E |u
kn kn i
Band Topology in 2D
 dz (k) 6= 0 e2 X 1
xx = yy = 0 xy
= dS · Fkn
QuantumhHall
n2occ Insulator
2⇡ BZ
X Z
e 2
1
xy =
h n2occ 2⇡ BZ
B z
X h Typingi Eq
fkn j y= e h H |v|2m
kn=
1
knpif
x+
2
kn py
eB 2
c Typin
x
| kn i x kn v/m0 Io
n + 1/2) x
+ X
' m(z) gauge)
h(z)(Landau y
iv @x
h
p2x + py is aeB x
good
2
i
quantum number.
| t| ⌧ t j=e Typing E
h kn |v| M kn
c k = ⇡/a q kn
In the x-direction, a harmonic oscillator ⌧1
qawith
(z) x frequency
ivEn y
@=z !c (n + 1/2)
hcentered at c py /(eB)mi ⌘ 2 t
⇡/a
eB ⇡/a2v ⌘ at = dx (k) x + dy (k) y
h(k)
HE= 2m px + py F (R)
1 2
x= r ⇥ A (R)
q n c t= R0 n
v/m0 En = !cA (n
h Rn +=1/2)
ihuRn |rX I ii
R |uRn
y 1 dx (k) e
h(z) ' m(z) x iv @ 2 =P(t=+ t) + eB(t 2A t)ncos(ka)
(R) · dR
H = 2m d p(k)
z + p
x = (t y2⇡t)n2occ x
sin(ka)
c C
| t| ⌧ t ! c = eB/(mc)
y

k = ⇡/a qk
v/m 0 =dzihu (k)n (R)|r
= 0 R |un (R)i
cApny (R)
/(eB)
h(z)
h(k, t)'=m(z) = 0t +x ⌧+
h(k, ) iv xy @x y
 k nn May 1, 2014 T
kn
X |hnk|n k qi|
TheEHall'conductivity
g 2
q
of a 2D
0
band
2
insulator is always
Typing
quantized (5)
Ekn Ek qn0 ARn = ihuRn |rR |uRn i
Xn0 k0 ⇡
j=e
X X h kn |v|iq·r Electric currentain a crystal. (1)
kn ifkn †
⇢q = kn
h kn |e | kn ickn ckVanishes
0 n0 ⌧
in equilibrium. (6)
nn0 k,k0 h(k, t + ⌧ ) = h(k)
An applied electric field can induce a current in two ways: E

+ so ⌧(i)z By
z z
schanging the population of the states: fkn ARn = ihuRn |rR
n(mvx vy ) f kn | kn i ⇡
ARn =
(ii) By changing the eigenstates: | kn i
a
⇡ ⇡ k
a a
h(k,
r= t k+ ⌧ ) = ⇡h(k)
Z A
F Rn =H
Rn
Chern number= A · dk
R ⇥ihu yARn
Rn |r
a R
e2 X 1 ⇡n Rc kn h(k, t+
xy = dS · Fn (k) En = an!c=(n +
Fkn · dS ARn =
1/2) (7)
h n2occ 2⇡ S h ieBkx 2
S
A1=⇡ ihu 2 ikn |rk |ukn⇡
En = !cH(n + 1/2)
h = |u2m i!pxSe+ |upkn y ii ac x
k
kna
(ka) 2
1
2mv/mH=
p x0+
2 h(k) = e eB
p y
ik·r
c h(k, t + ⌧ ) =
x
He ik·r ⇡
h(k)
Chern number vanishes in presence of time-reversal symmetry
h(k)|ukn i =x Ekn |ukn i a
X v/m0 h(z) ' H| m(z) + iv
kn i = Ekn | kn i h(k,y
@xt
j=e h kn |v| kn ifkn x y
ik·r (8)
Edge states in quantum Hall insulators:
z
B Assume infinite length along y,
y finite length along x.
x

E LLs bend near sample edge.

Fermi level intersects LLs at the edge.
Fermi level.

x
# of edge states at the Fermi level= # of occupied bulk LLs
=total Chern number of occupied LLs

Electrons on same edge move along the same direction.

Electrons on opposite edges move along the opposite directions.
Robustness against backscattering
 dy (k) = (t t) sin(ka)
Graphene Graphene
d (k) = 0
Ez
=0
A One=orbital
⇡ per site
B Two
t> 0 per unit cell (A and B)
atoms
No < 0 (for now)
t spin Typ
F = 2dd3 A/B pseudospin

 ‘05
h(k) = d(k)www.univie.ac.at
· k

t  c†Ai cBjof massless Dirac fermions at low energies:

H  Emergence
ij  K/K’ pseudospin
ˆ (k , k )
d
)  h(d) =x dy·
h(q) = v⌧ z x qx + v y qy
h(k, t + ⌧ ) = h(k)
dz (k) = 0
k) |
xx = yy
Momentum = 0 from Dirac node
measured

versalDue
symmetry require
to time-reversal symmetry  0inversion symmetry,
d z (k )and -K +Kdz=0
 How to make spinless graphene insulating
MayE4, 2014
Typing Equat
|dz (0)|
h(q) = v ⌧ z x
qx + v qy + dz (q)
y z
h(q) q= v ⌧z x
h(d) = d · Ion G
h(d) = d ·
|±i
E± = ±|d|
Typing Equations for S |±i
Need E± =May
to break either time-reversal symmetry or inversion symmetry ±|d| 4
!c = eB/(mc)
!c = eB/(mc
c pBreak
(i) /(eB)
inversion symmetry
y
⇡/a ⇡/a h(k) = dx (k) + dy (k)x y Ion Garate
c py /(eB)
Fn (R) d =z (q) A (R)
⇡/a ⇡/a h(k
rR ⇥ = mnS dz (q) = mHinsulator
Semenoff ⌧ z
(1984)
Fn (R) = rR
I May 4, 2014 Z
|dz (0)| e X e X
⌧=z 2⇡x n2occ
h(q) = Pv symmetry
(ii) Break time-reversal
qx + vC Aynq(R)
y + · dR = z
d z (q) 2⇡ n2occ S
Fn (R

(q) = m d
h(d)
(q)
=
=
d
m
· ⌧ z Haldane insulator (1988)
z A (R)
n S =
z ihu n (R)|r
HR n |u (R)i
|±i [a.k.a. Chern insulator] An (R) = ihun
dz (0)| h(k, t) = h(k, t + ⌧ )
R = xEt)± = ±|d|
z (k, h(k, t) = h(k,
(q) = v ⌧ xq + v q + d (q)
y
y z
z
R = (k, t)
 H
h
= mK 0 Typing Equation Typ
May 4
Chern number in spinless graphene 2
nK + nK 0 = 0 xy = h sgn(mH )
e
Ion Gara
Chern numberTypin
= mK 0 mK =|+imK 0 “Partial” |+i
nK + nK 0 = sgn(m)
| i
nc = ndzK(q) +=m
Typing
n
for
Typing
|
SK
i
0 = 0 Equations
Dirac fermion at K:
dz (q) = mH ⌧ z Equation
May 4, 20

k(0)| x Typing
y
mK =h(q) |d z m
|+i n
0 K = 1
2 sgn(v K vK mK )
= K
x + v= q
⌧ z dx q(q) + (q)
z (q) Garate
= mH ⌧
y z
| i v y d
mS dIon z
nc = nh(d)dK (q)=+ z
|d
z
=dm·n(similarly
dK(q)
0 = =
(0)|
S sgn(m)
m for
z ⌧ K’) H Ion
z
Gara
|d (0)|
|±i z
|q i Eh(q) =
z

X h(q) X+
z x
= v +⌧ z x
(q)
y
q + vz y
qy
Total Chern # of a band: nChern
± =
1 v ⌧
±|d|
=
q
d · nK + nK 0
v q x d
May y x
May
z
2, 201
⇧(q, !) |±i
|q+i ! =
h(d)
c = =
eB/(mc) h(d) = |hkn|k d· qn02, i|220
nChernE =V
c py /(eB)= 0|±i 0 x
±|d| E
Semenoff insulator: = k +
±
n ⇡/a ⇡/anh(k) =nn dnxK (k)0 + dy (k) y
nChern
Chern
F
! =
(R) =
eB/(mc)
=
c
rsgn(m
K
E ⇥
± A= ±|d|
(R)H )
mK = mK 0 nChern n
=
c p /(eB) 0h(k) =Trivial
R n
1 X ⇧(q,
insulator !) =0
k⌃
(k) (0, = +
y
mK = mK 0 h
n e↵ ⇡/a = ⌘
⇡/an ! +G = d eB/(mc)
(k)
c nK 0 e X 2 + k)
d (k)
I x |hnk|n
h(k) y
V
F⇤(R)= sgn(m )
x y
n c = n K + n K 0 = 0
Chern
nChern =r
K
E ⇥
kn A '
=(R)
H g A (R) =
nc = nK +
Haldane/Chern nK 0 =n@|E
insulator: 0Chern =
|/@T 0
n
c p y
P/(eB)
R
2⇡
n q n
E · dR
E 2
mK = mK 0 he↵⇤(k)g ⌘ G (0, X 1
n
e⇡/a k)
n2occ
0 k 0I=Ch(k)
=
kn + ⌃(0
(k) e X
xk
mK = mK 0 n
@!Chern⇤/@|E= sgn(m| >⇡/a
PH =0) Topologicalh(k) d
A (R)insulator
x =
· dR
nc = nK + nK 0 = sgn(m) g n
q (R) = ihuX
@|E⇤Agn|/@T n (R)|r X 2⇡R |un (R)i 2⇡
nc = nK + nK 0 =h@! e↵⇤(k)
sgn(m) /@|Eg | < 0
h(k, ⌘
t) = GF
h(k, tn+
(R)
1
(0,
⌧ )
=
k) r= Rh(k)⇥ A +
n2occ C
iq·r n (R)
⌃(0, n2
k)
 e2 Ma
= h sgn(m
Edge states H
)
= mK 0 e2
m(z)
xy = =h0
Chern sgn(m
= nK 2+ nK 0 insulator H )
e mK = mK 0 Vacuum
= hmsgn(m
= K0 H)
==nKmn+Kcn0 =
K0 n + nK 0 = 0z
=Ksgn(m)
2
i m
= nK + nK = 0
K = 0 m K 0
= h sgn(m
xyTyping
e
H)
Equations
i = nm cK =0 nK + nKm 0 = sgn(m)
K = mK 0
Propagating mode
Ionedge
Garate
= nK|q
+ niK 0 = sgn(m) nc = n1k X K +X n =0
localized along
K0
i |q+i ⇧(q, !) =
mK = V mK May
0
|hkn|k
2, 2014
nn0
i nc = nK + nK 0 =1sgX
k

xy = e 2
sgn(m H ) |q i ⇧(q,
Quantum Hall effect
!) = 2|
X
m
h
=m 0 E X XV
without magnetic field (1988)
' g
 X
Kane-Mele model (2005) Ekn ' 2 |h
Graphene gq
E E
n0 k0
A
One orbital per site XX
B
⇢q(A=and B)
Two atoms per unit cell h kn |e
Include spin nn0 k,k0
k
www.univie.ac.at
al.  ‘05
h = m S
z spin
H  tLow-energy
 c †
Ai =
c effective Hamiltonian:
z z
ij 
h Bj m
H ⌧
k)  h(q) = v xR⌧ z x
q x +
ˆ
d ( kv , k
xy y )y
q y + so ⌧ z z z
s
n = 2⇡ 1
1
dS · F q = 1
2 sgn(mvx vy )
(k ) | Opens a gap at K and K’ without breaking any symmetries
dS = dqx dqy ẑ
sd
zzis(k)
eversal symmetry 6= 0
require
conserved. d z (k )  0 -K +K
 K : point = inyy(d =
xxzeros 0
x, dy )
Spin-degenerate energy spectrum.
v q Massless Dirac Hamiltonian e2 X 1
und Dirac point xy =
 nn k,k T
h = m
Two copies of
z
S a Haldane/Chern insulator
h = mH z ⌧ z
h(q) = vxR⌧ z x qx + vy y qy + so ⌧ z z sz Typing E
n = 2⇡ 1
1
dS · Fq = 2 sgn(mvx vy )
1
Typing Equ
dS =electrons:
Spin-up dqx dqy ẑ n" = sgn( so )
dz (k) 6= 0 insulator with mass mH = + so
Haldane/Chern
n"H==sgn(soso ) Ion
xx = yy = 0 m
Spin-down electrons: = e+sgn(m
mxyH =2
so H) M
h
= mKso e2 X Ma
Z
Haldane/Chern insulator with mass mK
m H = 0 1
n=
2
sgn(m
ncxy==nKh xy h=)n2occ
e
+ K0 H 0 2⇡
mK K = mm
nc ⌘ n" + n# = 0 KK0 0
Total Chern number:
fkn n ⌘ n + n = 0 ncc = nK
K+ + nnK K00 == sgn(m)
0
ns ⌘ n" n# = 2sgn(
c " #
m = som) 0
| Chern
kn i number”:
n ⌘ n n = 2 |q Ki
sgn( ) K
“Spin n" = sgn( so ) |q+i
s " # so
nc = nK + nK 0 = sgn(m)
mH = + so |q i X
jx"kn |v
jx
j = se h
mH = so |q+i xy =
 May 27, 20
May 2, 2014
Spin-Hall conductivity:
Typing Eq
e2
s
xy
2
= "
xy
#
xy = (n" n# ) h
y = e
sgn(m )
nhChern = nHK + nK 0
Io

K = nm
Quantum
Chern
K 0 = 0
spin-Hall insulator Typing EquaM
2
= nEdge +
nKChern n=
statesK 0sgn(m
= 0 H ) xy = e
h sgn(m H ) Ion G
= he↵m (k)0 ⌘ G (0, k) = h(k)
1
+0 ⌃(0, k)
K ⇤K m K = m
|+i K May
@|Eg |/@T | i
= n@! +
K ⇤ /@|E n 0 = sgn(m)
K | > 0 nc = ndzK (q)+ = mn SK
0 =
dz (q) = m0H ⌧ z
Spin-up edge state
q g k(0)|
i @! ⇤ /@|Eg | < 0 mK = |+iz mKzSpin-down
|d 0 edge state
| i = v⌧ qx + v y qy + dz (q) z
q x
h(q)
+i gq2 |h0n|qn0 i|2 nc = nh(d) dK (q)=
z +
=dm·ndK(q)
S z 0 ==m sgn(m)
H ⌧ z

|d (0)|
|±i
|q i Eh(q) z
= v ⌧X
z x
q X+ v q + d (q)
y z
Time-reversal symmetry à
= 1
± = ±|d|
d·
x y X |hn
z

(i) spin-up and spin-down ⇧(q,

|q+i
edge!) ! =
h(d)
states
c
|±i
=counter-propagate.
eB/(mc)
(ii) edge states are degenerate at k=0c (Kramer’s
E =
|hkn|k
0n g 2 0
qn
q
E0n
i
p /(eB) degeneracy).
E y =V
± ±|d| 0 0
nq y
k = nn
dx (k) x
+ dy (k)
! ⇡/a
c
⇡/a h(k)
= eB/(mc)
Practical issue: so < 1mK
nK = nK 0
Alternative systems
nK: =HgTe/CdTe,
nK 0 InAs/GaSb, silicene,…
nChern = nK + nK 0 = sgn(mH )
Fundamental issue:|+i In general spin is not conserved along any direction
| i
One can no longernK think
= 12ofsgn(v
two xdecoupled
y copies of a Chern insulator.
K K mK )
v
Likewise, the spin-Chern
dz (q) =number is ill-defined.
mS dz (q) = mH ⌧ z
|dz (0)|
h(q) = v ⌧ z x qx + v y qy + dz (q) z
However, the Kane-Mele edges states remain robust so long as the
h(d) = d ·
bulk gap does not close. Symmetry-protected topological phase.
|±i
E± = ±|d|
!c = eB/(mc)
A (non-Chern) topological invariant is responsible for this robustness.
c py /(eB)
This is the Z2 invariant. Its inception and development in 2D and 3D
⇡/a ⇡/a h(k) = dx (k) x + dy (k) y
crystals (2005-2007) have led to an explosion of research in topological
insulators.
Fn (R) = rR ⇥ An (R)
I
e X e X
P = An (R) · dR =
Topological invariants in interacting systems
So far, we have discussed the band topology in terms of the single-
particle wave functions.

How to capture the band topology of interacting systems beyond the

mean field approximation?

Topological Hamiltonian Typing Equatio

Non-interacting Hamiltonian

Ion Ga

Full Green’s function Electron self-energy May 26,

(zero Matsubara frequency) (zero Matsubara frequency)

Use the eigenstates of he↵ (k) ⌘ G 1 (0, the

to calculate k) =Chern + ⌃(0, k)
h(k)number and Z2
invariant in interacting@|E ⇤
systems.
g |/@T
@!q⇤ /@|Eg | > 0
@!q⇤ /@|Eg | < 0