Topological Insulators and Superconductors

Lecture #1: Topology and Band Theory

Lecture #2: Topological Insulators in 2 and 3
dimensions
Lecture #3: Topological Superconductors, Majorana
Fermions an Topological quantum
compuation
General References :
M.Z. Hasan and C.L. Kane, RMP in press, arXiv:1002.3895
X.L. Qi and S.C. Zhang, Physics Today 63 33 (2010).
J.E. Moore, Nature 464, 194 (2010).

My collaborators :
Gene Mele, Liang Fu, Jeffrey Teo, Zahid Hasan

Topology and Band Theory

I.

Introduction
- Insulating State, Topology and Band Theory

II.

Band Topology in One Dimension

- Berry phase and electric polarization
- Su Schrieffer Heeger model :
domain wall states and Jackiw Rebbi problem
- Thouless Charge Pump

III. Band Topology in Two Dimensions

- Integer quantum Hall effect
- TKNN invariant
- Edge States, chiral Dirac fermions

IV. Generalizations
- Bulk-Boundary correspondence
- Higher dimensions
- Topological Defects

The Insulating State

Characterized by energy gap: absence of low energy electronic excitations
Covalent Insulator

Atomic Insulator

e.g. intrinsic semiconductor

e.g. solid Ar

The vacuum

electron

4s

Egap ~ 10 eV
3p

Dirac
Vacuum
Egap = 2 mec2
~ 106 eV

Egap ~ 1 eV
Silicon

positron ~ hole

The Integer Quantum Hall State

2D Cyclotron Motion, Landau Levels
E

Egap c

Energy gap, but NOT an insulator

Quantized Hall conductivity :

Jy
B

Ex

J y xy Ex

e2
xy n
h
Integer accurate to 10-9

Topology
The study of geometrical properties that are insensitive to smooth deformations

Example: 2D surfaces in 3D
A closed surface is characterized by its genus, g = # holes

g=0

g=1

g is an integer topological invariant that can be expressed in terms of the

gaussian curvature k that characterizes the local radii of curvature

1
k
r1r2

k 0

1
0
r2

Gauss Bonnet Theorem :

k 0

k dA 4 (1 g )
S

A good math book : Nakahara, Geometry, Topology and Physics

Band Theory of Solids

Bloch Theorem :
Lattice translation symmetry

T (R) eikR

Bloch Hamiltonian

H (k ) eikr eikr
/a

k Brillouin Zone
Torus, T

eikr u(k )
H (k ) un (k ) En (k ) un (k )

ky

/a

/a
/a

kx

BZ

Band Structure :
A mapping

Egap

H (k )
E

(or equivalently to En (k ) and un (k ) )

/a

kx

/a

Topological Equivalence : adiabatic continuity

Band structures are equivalent if they can be continuously deformed
into one another without closing the energy gap

Berry Phase
Phase ambiguity of quantum mechanical wave function

u(k ) ei (k ) u(k )
A i u(k ) k u(k )

Berry connection : like a vector potential

A A k (k )
Berry phase : change in phase on a closed loop C
Berry curvature :

A dk

C Fd 2 k

F k A

Famous example : eigenstates of 2 level Hamiltonian

dz
H (k ) d(k )
d x id y
H (k ) u(k ) d(k ) u(k )

d x id y

d z

1
Solid Angle swept out by d (k )
2

Topology in one dimension : Berry phase and electric polarization

see, e.g. Resta, RMP 66, 899 (1994)

Electric Polarization
dipole moment
P
length

P b

1D insulator

-Q

+Q

The end charge is not completely determined by the bulk polarization P

because integer charges can be added or removed from the ends :

Polarization as a Berry phase :

e
2

A(k )dk

P is not gauge invariant under large gauge transformations.

This reflects the end charge ambiguity

P P en

when

u(k ) ei ( k ) u(k )

with

Q P mod e

/a

k
0

-/a

( / a) ( / a) 2 n

Changes in P, due to adiabatic variation are well defined and gauge invariant

u(k ) u(k , (t ))

P P 1 P 0

e
C Adk 2

Fdkd
S

S
k

0
gauge invariant Berry curvature

-/a

/a

Su Schrieffer Heeger Model

H (t t )cAi cBi (t t )cAi 1cBi h.c.
i

t 0

model for polyacetalene

simplest two band model

E(k)
Gap 4|t|

B,i
A,i

A,i+1

/a

t 0

/a

Peierls instability t
dy

H (k ) d(k )

d(k)
dx

d x (k ) (t t ) (t t ) cos ka
d y (k ) (t t )sin ka
d z (k ) 0

t>0 : Berry phase 0

P=0

dy

d(k)
dx

t<0 : Berry phase

P = e/2

Provided symmetry requires dz(k)=0, the states with t>0 and t<0 are topologically distinct.
Without the extra symmetry, all 1D band structures are topologically equivalent.

Domain Wall States

An interface between different topological states has topologically protected midgap states

t 0

t 0

Low energy continuum theory :

For small t focus on low energy states with k~/a

H iv F x x m( x) y
Massive 1+1 D Dirac Hamiltonian

q ; q i x

v F ta ; m 2 t
E (q) ( v F q) 2 m 2

Chiral Symmetry : { z , H } 0 z E E

Any eigenstate at +E
has a partner at -E

Zero mode : topologically protected eigenstate at E=0

(Jackiw and Rebbi 76, Su Schrieffer, Heeger 79)
x

m>0
Domain wall
bound state 0

Egap=2|m|
m<0

0 ( x) e

m ( x ')dx '/ v F
0

1

0

Thouless Charge Pump

The integer charge pumped across a 1D insulator in one period of an adiabatic cycle
is a topological invariant that characterizes the cycle.

t=0

P=0

t=T

P=e

H (k , t T ) H (k , t )
t=T

e
P
2
1
n
2

A(k ,T )dk A(k , 0)dk ne

T2

=
t=0
-/a

k
/a

Fdkdt

The integral of the Berry curvature defines the first Chern number, n, an integer
topological invariant characterizing the occupied Bloch states, u (k , t )
In the 2 band model, the Chern number is related to the solid angle swept out by d (k , t ),
which must wrap around the sphere an integer n times.
d (k , t )
1
n
dkdt d ( k d t d )
2

T
4

Integer Quantum Hall Effect : Laughlin Argument

Adiabatically thread a quantum of magnetic flux through cylinder.

-Q

1 d
2 R dt

+Q

I 2 R xy E

d
h
Q xy
dt xy
dt
e
0
T

Just like a Thouless pump :

H (T ) U H (0)U

e2
Q ne xy n
h

(t 0) 0
(t T ) h / e

TKNN Invariant
Thouless, Kohmoto, Nightingale and den Nijs 82

View cylinder as 1D system with subbands labeled by k ym ()

e
Q
m 2

Em (k x ) E k x , k ym ()

m
d

dk
F
k
,
k

x x y () ne

kx

TKNN number = Chern number

1
n
2

R
0

1
2
BZ d kF(k ) 2

e2
xy n
h

A dk

ky

C
kx
kym(0)
kym(0)

Distinguishes topologically distinct 2D band structures. Analogous to Gauss-Bonnet thm.

Alternative calculation: compute xy via Kubo formula

Graphene

A
B

www.univie.ac.at

Novoselov et al. 05

Two band model H t cAi cBj

ij

d (k x , k y )

H (k ) d(k )
E(k ) | d(k ) |
Inversion and Time reversal symmetry require

d z (k ) 0

2D Dirac points at k K : point zeros in (d x , d y )

H (K q) v q

Massless Dirac Hamiltonian

Berrys phase around Dirac point

-K

+K

Topological gapped phases in Graphene

Break P or T symmetry :

H (K q) vq m z

E (q) v 2 | q |2 m2
n # times d (k ) wraps around sphere

+K & -K

d (k ) S 2

1. Broken P : eg Boron Nitride

m m
Chern number n=0 : Trivial Insulator
2. Broken T : Haldane Model 88

m m

+K

Chern number n=1 : Quantum Hall state

-K

d (k ) S 2

Edge States
Gapless states at the interface between topologically distinct phases

IQHE state
n=1

Vacuum
n=0

n=0
m= m+

n=1
m= m+
x

Edge states ~ skipping orbits

Lead to quantized transport

m>0

Domain wall
bound state 0

Egap

m<0

Band inversion transition : Dirac Equation

E0

H ivF ( x x y y ) m( x) z

ky

0 ( x) ~ e

ik y y

m ( x ')dx '/ vF

E0 (k y ) vF k y

Chiral Dirac Fermions

Chiral Dirac fermions are unique 1D states :

One way ballistic transport, responsible for quantized
conductance. Insensitive to disorder, impossible to localize

Fermion Doubling Theorem :

Chiral Dirac Fermions can not exist in a purely 1D system.

in
disorder

|t|=1

Bulk - Boundary Correspondence

N = NR - NL is a topological invariant characterizing the boundary.
NR (NL) = # Right (Left) moving chiral fermion branches intersecting EF

E
EF

N = 1 0 = 1

Haldane Model

ky

E
EF

N = 2 1 = 1
K

ky

Bulk Boundary Correspondence :

The boundary topological invariant
N characterizing the gapless modes

Difference in the topological invariants

n characterizing the bulk on either side

Generalizations
d=4 : 4 dimensional generalization of IQHE

Zhang, Hu 01

Aij ui (k ) k u j (k ) dk

Non-Abelian Berry connection 1-form

F dA A A

Non-Abelian Berry curvature 2-form

1
8

T4

Tr[F F]

2nd Chern number = integral of 4-form over 4D BZ

Boundary states : 3+1D Chiral Dirac fermions

Higher Dimensions : Bott periodicity d d+2

no symmetry
chiral symmetry

Topological Defects
Consider insulating Bloch Hamiltonians that vary slowly in real space
Teo, Kane 10

H H (k, s)
1 parameter family of 3D Bloch Hamiltonians

2nd Chern number :

defect line

1
8

T S
3

Tr[F F]

Generalized bulk-boundary correspondence :

n specifies the number of chiral Dirac fermion modes bound to defect line

Example : dislocation in 3D layered IQHE

1
Gc B
2

Are there other ways to engineer

1D chiral dirac fermions?

3D Chern number
(vector layers)
Burgers vector

Gc