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arXiv:2307.04788 · SciPost Physics

Intrinsically/purely gapless-SPT from non-invertible duality transformations

Linhao Li, Masaki Oshikawa, Yunqin Zheng

Published May 13, 2025• 44 citations
arXivHTMLPDF

Abstract

The Kennedy-Tasaki (KT) transformation was used to construct the gapped symmetry protected topological (SPT) phase from the symmetry breaking phase with open boundary condition, and was generalized in our proceeding work [Phys. Rev. B 108, 214429 (2023)] on a ring by sacrificing the unitarity, and should be understood as a non-invertible duality transformation. In this work, we further apply the KT transformation to systematically construct gapless symmetry protected topological phases. This construction reproduces the known examples of (intrinsically) gapless SPT where the non-trivial topological features come from the gapped sectors by means of decorated defect constructions. We also construct new (intrinsically) purely gapless SPTs where there are no gapped sectors, hence are beyond the decorated defect construction. This construction elucidates the field theory description of the various gapless SPTs, and can also be applied to analytically study the stability of various gapless SPT models on the lattice under certain symmetric perturbations.

DOI
10.21468/scipostphys.18.5.153

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The Kennedy-Tasaki (KT) transformation was used to construct the gapped symmetry protected topological (SPT) phase from the symmetry breaking phase with open boundary condition, and was generalized in our proceeding work [Phys. Rev. B 108, 214429 (2023)] on a ring by sacrificing the unitarity, and should be understood as a non-invertible duality transformation. In this work, we further apply the KT transformation to systematically construct gapless symmetry protected topological phases. This construction reproduces the known examples of (intrinsically) gapless SPT where the non-trivial topological features come from the gapped sectors by means of decorated defect constructions. We also construct new (intrinsically) purely gapless SPTs where there are no gapped sectors, hence are beyond the decorated defect construction. This construction elucidates the field theory description of the various gapless SPTs, and can also be applied to analytically study the stability of various gapless SPT models on the lattice under certain symmetric perturbations.
Symmetry protected topological (SPT) phases are one of the simplest, yet nontrivial, gapped systems that go beyond the Landau paradigm. In this work, we study an extension of the notion of SPT for gapless systems, namely, gapless symmetry protected topological states. We construct several simple gapless-SPT models using the decorated defect construction, which allow analytical understanding of non-trivial topological features including the symmetry charge under twisted boundary conditions, and boundary (quasi)-degeneracy under open boundary conditions. We also comment on the stability of the gapless-SPT models under symmetric perturbations, and apply small-scale exact diagonalization when direct analytic understanding is not available.
In 1992, Kennedy and Tasaki constructed a nonlocal unitary transformation that maps between a ${\mathbb{Z}}_{2}\ifmmode\times\else\texttimes\fi{}{\mathbb{Z}}_{2}$ spontaneously symmetry breaking phase and the Haldane gap phase, which is a prototypical symmetry-protected topological (SPT) phase in modern framework, on an open spin chain. In this work, we propose a way to define it on a closed chain by sacrificing unitarity. The operator realizing such a nonunitary transformation satisfies noninvertible fusion rule and implements a generalized gauging of the ${\mathbb{Z}}_{2}\ifmmode\times\else\texttimes\fi{}{\mathbb{Z}}_{2}$ global symmetry. These findings connect the Kennedy-Tasaki transformation to numerous other concepts developed for SPT phases and opens a way to construct SPT phases systematically using the duality mapping.
The interplay between topology and quantum criticality has established symmetry enriched criticality as a new paradigm beyond conventional frameworks in condensed matter and statistical physics. However, the conditions under which such criticality emerges remain poorly understood. In this work, we show that a broad class of symmetry enriched critical points separating symmetry protected topological (SPT) and spontaneous symmetry breaking (SSB) phases is governed by Kennedy Tasaki (KT) self duality. At these criticalities, the KT transformation that interchanges the SPT and SSB phases acts as a self-dual noninvertible symmetry, endowing the critical points with nontrivial topological characteristics. We numerically demonstrate this mechanism in Zn×Zn\mathbb{Z}_{n} \times \mathbb{Z}_{n}Zn​×Zn​ cluster qudit chains and further argue that it naturally extends to higher dimensions, providing a duality based criterion for identifying symmetry-enriched criticality across dimensions.
The study of gapless phases with categorical (or so-called non-invertible) symmetries is a formidable task, in particular in higher than two space-time dimensions. In this paper we build on previous works [L. Bhardwaj et al. SciPost Phys. 19, 056 (2025); L. Bhardwaj et al. arXiv:2502.20440] on gapped phases in (2+1)d and provide a systematic framework to study phase transitions with categorical symmetries. The Symmetry Topological Field Theory (SymTFT) is, as often in these matters, the central tool. Applied to gapless theories, we need to consider the extension of the SymTFT to interfaces between topological orders, so-called “club sandwiches”, which realize generalizations of so-called Kennedy-Tasaki (KT) transformations. This requires an input phase transition for a smaller symmetry, such as the Ising transition for \mathbb{Z}_2 ℤ 2 , and the SymTFT constructs a transformation to a gapless phase with a larger categorical symmetry. We carry this out for categorical symmetries whose SymTFT is a (3+1)d Dijkgraaf-Witten (DW) theory for a finite group G G with twist - so-called all bosonic fusion 2-categories. We classify such interfaces using a physically motivated picture of generalized gauging, as well as with a complementary analysis using (bi-)module 2-categories. This is exemplified in numerous Abelian and non-Abelian DW theories, giving rise to interesting gapless phases such as intrinsically gapless symmetry protected phases (igSPTs) and spontaneous symmetry breaking phases (igSSBs) from Abelian, S_3 S 3 , and D_8 D 8 DW theories.
We provide a generalization of the Symmetry Topological Field Theory (SymTFT) framework to characterize phase transitions and gapless phases with categorical symmetries. The central tool is the club sandwich, which extends the SymTFT setup to include an interface between two topological orders: there is a symmetry boundary, which is gapped, and a physical boundary that may be gapless, but in addition, there is also a gapped interface in the middle. The club sandwich generalizes so-called Kennedy-Tasaki (KT) transformations. Building on the results in [L. Bhardwaj et al., Phys. Rev. Lett. 133, 161601 (2024); L. Bhardwaj et al., SciPost Phys. 18, 032 (2025)] on gapped phases with categorical symmetries, we construct gapless theories describing phase transitions with non-invertible symmetries by applying suitable KT transformations on known phase transitions provided by the critical Ising model and the 3-state Potts model. We also describe in detail the order parameters in these gapless theories characterizing the phase transitions, which are generally mixtures of conventional and string-type order parameters mixed together by the action of categorical symmetries. Additionally, removing the physical boundary from the club sandwiches results in club quiches, which characterize all possible gapped boundary phases with (possibly non-invertible) symmetries that can arise on the boundary of a bulk gapped phase. We also provide a mathematical characterization of gapped boundary phases with symmetries as pivotal tensor functors whose targets are pivotal multi-fusion categories.
We give an explicit operator representation (via a sequential circuit and projection to symmetry subspaces) of Kramers-Wannier duality transformation in higher-dimensional subsystem symmetric models, generalizing the construction in the 1D transverse-field Ising model. Using the Kramers-Wannier duality operator, we also construct the Kennedy-Tasaki transformation that maps subsystem symmetry-protected topological phases to spontaneous subsystem symmetry-breaking phases, where the symmetry group for the former is either ${\mathbb{Z}}_{2}\ifmmode\times\else\texttimes\fi{}{\mathbb{Z}}_{2}$ or Z2{\mathbb{Z}}_{2}Z2​. This also generalizes the recently proposed picture of the one-dimensional Kennedy-Tasaki transformation as a composition of manipulations involving gauging and stacking symmetry-protected topological phases to higher dimensions.