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arXiv:0803.2786 · Physical Review B

Classification of topological insulators and superconductors in three spatial dimensions

Andreas P. Schnyder, Shinsei Ryu, Akira Furusaki, Andreas W. W. Ludwig

Published Nov 26, 2008• 3,322 citations
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Abstract

We systematically study topological phases of insulators and superconductors (or superfluids) in three spatial dimensions. We find that there exist three-dimensional (3D) topologically nontrivial insulators or superconductors in five out of ten symmetry classes introduced in seminal work by Altland and Zirnbauer within the context of random matrix theory, more than a decade ago. One of these is the recently introduced ${\mathbb{Z}}_{2}$ topological insulator in the symplectic (or spin-orbit) symmetry class. We show that there exist precisely four more topological insulators. For these systems, all of which are time-reversal invariant in three dimensions, the space of insulating ground states satisfying certain discrete symmetry properties is partitioned into topological sectors that are separated by quantum phase transitions. Three of the above five topologically nontrivial phases can be realized as time-reversal invariant superconductors. In these the different topological sectors are characterized by an integer winding number defined in momentum space. When such 3D topological insulators are terminated by a two-dimensional surface, they support a number (which may be an arbitrary nonvanishing even number for singlet pairing) of Dirac fermion (Majorana fermion when spin-rotation symmetry is completely broken) surface modes which remain gapless under arbitrary perturbations of the Hamiltonian that preserve the characteristic discrete symmetries, including disorder. In particular, these surface modes completely evade Anderson localization from random impurities. These topological phases can be thought of as three-dimensional analogs of well-known paired topological phases in two spatial dimensions such as the spinless chiral $({p}_{x}\ifmmode\pm\else\textpm\fi{}i{p}_{y})$-wave superconductor (or Moore-Read Pfaffian state). In the corresponding topologically nontrivial (analogous to ``weak pairing'') and topologically trivial (analogous to ``strong pairing'') 3D phases, the wave functions exhibit markedly distinct behavior. When an electromagnetic U(1) gauge field and fluctuations of the gap functions are included in the dynamics, the superconducting phases with nonvanishing winding number possess nontrivial topological ground-state degeneracies.

DOI
10.1103/physrevb.78.195125

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We systematically study topological phases of insulators and superconductors (or superfluids) in three spatial dimensions. We find that there exist three-dimensional (3D) topologically nontrivial insulators or superconductors in five out of ten symmetry classes introduced in seminal work by Altland and Zirnbauer within the context of random matrix theory, more than a decade ago. One of these is the recently introduced Z2{\mathbb{Z}}_{2}Z2​ topological insulator in the symplectic (or spin-orbit) symmetry class. We show that there exist precisely four more topological insulators. For these systems, all of which are time-reversal invariant in three dimensions, the space of insulating ground states satisfying certain discrete symmetry properties is partitioned into topological sectors that are separated by quantum phase transitions. Three of the above five topologically nontrivial phases can be realized as time-reversal invariant superconductors. In these the different topological sectors are characterized by an integer winding number defined in momentum space. When such 3D topological insulators are terminated by a two-dimensional surface, they support a number (which may be an arbitrary nonvanishing even number for singlet pairing) of Dirac fermion (Majorana fermion when spin-rotation symmetry is completely broken) surface modes which remain gapless under arbitrary perturbations of the Hamiltonian that preserve the characteristic discrete symmetries, including disorder. In particular, these surface modes completely evade Anderson localization from random impurities. These topological phases can be thought of as three-dimensional analogs of well-known paired topological phases in two spatial dimensions such as the spinless chiral (px\ifmmode±\else\textpm\fiipy)({p}_{x}\ifmmode\pm\else\textpm\fi{}i{p}_{y})(px​\ifmmode±\else\textpm\fiipy​)-wave superconductor (or Moore-Read Pfaffian state). In the corresponding topologically nontrivial (analogous to weak pairing'') and topologically trivial (analogous to strong pairing'') 3D phases, the wave functions exhibit markedly distinct behavior. When an electromagnetic U(1) gauge field and fluctuations of the gap functions are included in the dynamics, the superconducting phases with nonvanishing winding number possess nontrivial topological ground-state degeneracies.
We discuss the effects of disorder in time-reversal-invariant topological insulators and superconductors in three spatial dimensions. For three-dimensional topological insulator in the symplectic (AII) symmetry class, the phase diagram in the presence of disorder and a mass term, which drives a transition between trivial and topological insulator phases, is computed numerically by the transfer matrix method. The numerics is supplemented by a field-theory analysis (the large-Nf{N}_{f}Nf​ expansion, where Nf{N}_{f}Nf​ is the number of valleys or Dirac cones), from which we obtain the correlation length exponent, and several anomalous dimensions at a nontrivial critical point separating a metallic phase and a Dirac semimetal. A similar-field theory approach is developed for disorder-driven transitions in symmetry classes AIII, CI, and DIII. For these three symmetry classes, where topological superconductors are characterized by integer topological invariant, a complementary description is given in terms of the nonlinear sigma model supplemented with a topological term, which is a three-dimensional analog of the Pruisken term in the integer quantum Hall effect.
Symmetry protected topological (SPT) phases are a minimal generalization of the concept of topological insulators to interacting systems. In this paper, we describe the classification and properties of such phases for three-dimensional (3D) electronic systems with a number of different symmetries. For symmetries representative of all classes in the famous 10-fold way of free-fermion topological insulators/superconductors, we determine the stability to interactions. By combining with results on bosonic SPT phases, we obtain a classification of electronic 3D SPT phases for these symmetries. In cases with a normal U(1)U(1)U(1) subgroup we show that this classification is complete. We describe the nontrivial surface and bulk properties of these states. In particular, we discuss interesting correlated surface states that are not captured in a free-fermion description. We show that in many, but not all, cases, the surface can be gapped while preserving symmetry if it develops intrinsic topological order.
We complete a classification of topological phases and their topological defects in crystalline insulators and superconductors. We consider topological phases and defects described by noninteracting Bloch and Bogoliubov--de Gennes Hamiltonians that support additional order-two spatial symmetry, besides any of 10 classes of symmetries defined by time-reversal symmetry and particle-hole symmetry. The additional order-two spatial symmetry we consider is general and it includes ${\mathbit{Z}}_{2}$ global symmetry, mirror reflection, twofold rotation, inversion, and their magnetic point group symmetries. We find that the topological periodic table shows a periodicity in the number of flipped coordinates under the order-two spatial symmetry, in addition to the Bott periodicity in the space dimensions. Various symmetry-protected topological phases and gapless modes will be identified and discussed in a unified framework. We also present topological classification of symmetry-protected Fermi points. The bulk classification and the surface Fermi point classification provide a realization of the bulk-boundary correspondence in terms of the KKK theory.
Topological phases of matter are purely quantum mechanical and have no classical analogue. Most phases in nature can be classified and studied classically through the concept of symmetry breaking and its theoretical description, Landau-Ginzburg field theory. In contrast to the general wisdom of Landau-Ginzburg field theory, the topological phases share the same symmetry as a trivial insulator and still are different phases. Having gapped spectrum in bulk, they support a metallic edge excition robust against symmetry-respecting perturbation or an emergent fractional excitation in bulk. Following after fractional quantum Hall fluids, many topologically orderd phases, such as spin liquids and topological insulators, have been found and studied. Spin liquids are disordered phases of frustrated antiferromagnets and do not freeze and order even at the lowest temperature. They support an electrically neutral spin-1/2 excitation, which does not exist in a microscopic scale, with emergent dynamical gauge field in bulk and do not have an adiabatic path to a trivial paramagnet phase. The topological insulators are time-reversal symmetric band insulators which cannot evolve smoothly into a trivial insulator with the symmetry, and they have been intensely studied theoretically and experimetally for the last decade. Though the topological insulators are inherently non-interacting systems, they have exotic gapless edge and surface states which demonstrate many interesting quantum phenomena such as fractionalization, axionic electromagnetism, and half quantum Hall effect. In this thesis, we study various quantum phenomena of the topological phases, mainly of the topological insulator and its close relatives in which the physics of spin liquids has been merged into. As they are intrinsically quantum many-body states, the quantum field theory is an invaluable tool to explore the venue of the phases and will be used thorougly in this work. First, we present a topological field theoretic description of the topological insulators and translational symmetric Z2 spin liquid. We demostrate that abelian BF theory is an effective field theory for the two and three dimensional topological insulators. We show that the phenomenologies of BF theory are consistent with those of the topological insulators such as gapless edge and surface excitations and response functions to external gauge field. The same form of the BF theory is also applicable to study the certain classes of Z2 spin liquids with the gapless edge states. We closely examine the possible gapless edge theory of the BF theory and the translational symmetric spin liquids, and we show that the effective BF theories capture the bulk properties as well as the gapless edge spectrum of the spin liquid. 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Contrast to the conventional confined phase which has only a bond order, the confined phase of the spin liquid is in general a coexisting phase of the two different orders : a current order and a bond order. We then consider another relative of the topological insulator: a bosonic symmetry protected topological phase in two dimensional space, with both PSU(N) and time reversal symmetry. We develop an effective field theory for the phase, which is a SU(N) principal chiral model with a theta-term, and reveal the physics of the topological phase in detail.Finally we consider a topological semimetal, namely a Weyl semimetal. We first demonstrate that the Weyl semimetal can be realized in the magnetically doped topological band insulators. We explicitly derive the low energy theory of Weyl points from the general continuum Hamiltonian and tight-binding model of the topological insulators. Then we study superconducting instabilities of doped Weyl semimetals. We consider a minimal model for a Weyl semimetal and study the superconducting instabilities induced by a short-ranged attractive interaction. With the interaction, we find two competing states: a fully gapped finite-momentum pairing state and a nodal even-parity pairing state. We show that, in a mean field approximateion, the finite-momentum pairing state wins energetically against the usual even-parity paired state. We also show that exotic modes are localized at the full and half quantum vortices of the finite-momentum pairing state.
In this paper we show how the classification of topological phases in insulators and superconductors is changed by interactions, in the case of one-dimensional systems. We focus on the time-reversal-invariant Majorana chain (BDI symmetry class). While the band classification yields an integer topological index kkk, it is known that phases characterized by values of kkk in the same equivalence class modulo 8 can be adiabatically transformed one to another by adding suitable interaction terms. Here we show that the eight equivalence classes are distinct and exhaustive, and provide a physical interpretation for the interacting invariant modulo 8. The different phases realize different Altland-Zirnbauer classes of the reduced density matrix for an entanglement bipartition into two half chains. We generalize these results to the classification of all one-dimensional gapped phases of fermionic systems with possible antiunitary symmetries, utilizing the algebraic framework of central extensions. We use matrix product state methods to prove our results.
A three-dimensional electron topological insulator (ETI) is a phase of matter protected by particle-number conservation and time-reversal symmetry. It was previously believed that the surface of an ETI must be gapless unless one of these symmetries is broken. A well-known symmetry-preserving, gapless surface termination of an ETI supports an odd number of Dirac cones. In this paper, we deduce a symmetry-respecting, gapped surface termination of an ETI, which carries an intrinsic two-dimensional (2d) topological order, $\text{Moore-Read}\ifmmode\times\else\texttimes\fi{}\mathrm{U}{(1)}_{\ensuremath{-}2}$. The Moore-Read sector supports non-Abelian charge 1/41/41/4 anyons, while the Abelian, $\mathrm{U}{(1)}_{\ensuremath{-}2}$, (antisemion) sector is electrically neutral. Time-reversal symmetry is implemented in this surface phase in a highly nontrivial way. Moreover, it is impossible to realize this phase strictly in 2d, simultaneously preserving its implementation of both the particle-number and time-reversal symmetries. A one-dimensional (1d) edge on the ETI surface between the topologically ordered phase and the topologically trivial time-reversal-broken phase with a Hall conductivity ${\ensuremath{\sigma}}_{xy}=1/2$ carries a right-moving neutral Majorana mode, a right-moving bosonic charge mode, and a left-moving bosonic neutral mode. The topologically ordered phase is separated from the surface superconductor by a direct second-order phase transition in the XY∗X{Y}^{*}XY∗ universality class, which is driven by the condensation of a charge 1/21/21/2 boson, when approached from the topologically ordered side, and proliferation of a flux $4\ensuremath{\pi}\phantom{\rule{0.28em}{0ex}}(2hc/e)$ vortex, when approached from the superconducting side. In addition, we prove that time-reversal invariant (interacting) electron insulators with no intrinsic topological order and electromagnetic response characterized by a $\ensuremath{\theta}$ angle, $\ensuremath{\theta}=\ensuremath{\pi}$, do not exist if the electrons transform as Kramers singlets under time reversal.