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Vestnik Udmurtskogo Universiteta Matematika Mekhanika Komp yuternye Nauki

Spectral properties and non-Hermitian skin effect in the Hatano–Nelson model

Yu. P. Chuburin, Tat'yana Sergeevna Tinyukova

Published Jun 1, 2024• 3 citations
Publisher

Abstract

At present, non-Hermitian topological systems continue to be actively studed. In a rigorous approach, we study one of the key non-Hermitian systems — the Hatano–Nelson model $H$. We find the Green function for this Hamiltonian. Using the Green function, we analytically obtain the eigenvalues and eigenfunctions of $H$ for finite and semi-infinite chains, as well as for an infinite chain with a local potential. We discuss the non-Hermitian skin effect for the models mentioned above. We also describe the boundary between localized and resonant eigenfunctions (for the zero spectral parameter, this is the boundary between non-Hermitian topological phases).

DOI
10.35634/vm240207

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At present, non-Hermitian topological systems continue to be actively studed. In a rigorous approach, we study one of the key non-Hermitian systems — the Hatano–Nelson model HHH. We find the Green function for this Hamiltonian. Using the Green function, we analytically obtain the eigenvalues and eigenfunctions of HHH for finite and semi-infinite chains, as well as for an infinite chain with a local potential. We discuss the non-Hermitian skin effect for the models mentioned above. We also describe the boundary between localized and resonant eigenfunctions (for the zero spectral parameter, this is the boundary between non-Hermitian topological phases).
Abstract We analytically study zero-energy eigenstates for two non-Hermitian models based on the Su–Schrieffer–Heeger (SSH) chain. The first model is an infinite non-Hermitian SSH chain with nonreciprocal hoppings to a neighboring site and two barriers. We find analytical expressions for the eigenfunctions, including those that describe resonant states. For resonant states, an analogue of the non-Hermitian skin effect is observed. For the second model, a finite non-Hermitian SSH chain with nonreciprocal hoppings with an even or odd number of sites, we also find the eigenfunctions and observe the non-Hermitian skin effect. All results are obtained using the derived Green’s function of the infinite non-Hermitian SSH chain.
The non-Hermitian skin effect (NHSE), characterized by a macroscopic accumulation of eigenstates at the edge of a system with open boundaries, is often ascribed to a non-trivial point-gap topology of the Bloch Hamiltonian. We revisit this connection and separate the question of the NHSE as a spectral reconstruction effect in clean systems from the question of stable topological protection. For a Hatano-Nelson ladder, where point-gap winding and non-normality can be varied independently, we demonstrate that, in a clean translationally invariant multiband setting, the NHSE can occur without point-gap winding and, conversely, that point-gap winding can persist without the NHSE. These results establish that in the clean case the connection between point-gap winding and the NHSE only holds in the scalar one-band case but, in general, not in the multiband case. Even more importantly, the eigenspectrum of non-normal operators is generically highly sensitive to boundary conditions and perturbations, and therefore does not constitute a stable object encoding topological information. Instead, topological properties are reflected in the splitting of the singular-value spectrum for finite systems and, in the semi-infinite limit, correspond to boundary-localized kernel modes implied by the index of the corresponding Toeplitz operator.
The single orbital, one-dimensional, Hatano-Nelson Hamiltonian provides deep insight into the physics of non-Hermiticity, resulting from asymmetric left/right hopping, and its connections to localization. In the absence of disorder, its single particle eigenvalues EαE_αEα​ lie on an ellipse in the complex plane whose extent in the imaginary direction is controlled by the degree of asymmetry. When randomness is introduced, two sets of real eigenvalues emerge at the extremes of the largest and smallest real part of EαE_αEα​. These real eigenvalues are associated with localized eigenvectors. For spinless fermions, increasing near-neighbor interactions first cause a transition to a charge density wave phase, and ultimately, on finite lattices, a collapse of all eigenvalues to the real axis. In this paper, we explore the presence of real eigenvalues in the interacting, two-particle sector for the spinful case (Hubbard model) in a two-chain (two-band) geometry with a Hermitian interchain hopping. Our key results are to obtain the ``phase" diagrams for the existence of a purely real spectrum, as a function of the interaction strength, degree of non-Hermiticity, and interchain hopping. We study the sensitivity to boundary conditions of the spectral properties of our two-chain model with winding number analysis and explore the relationship between PBC doublon states and OBC skin modes. To address the question of stability in such non-equilibrium systems, we solve the dynamics at low filling according to Lindbladian evolution and find that the non-Hermitian description is able to qualitatively describe such systems.
Non-Hermitian systems exhibit unique spectral properties, including the non-Hermitian skin effect and exceptional points, often influenced by boundary conditions. The modulation of these phenomena by generalized boundary conditions remains unexplored and not understood. Here, we analyze the Hatano-Nelson model with generalized boundary conditions induced by complex hopping amplitudes at the boundary. Using similarity transformations, we determine the conditions yielding real energy spectra and skin effect, and identify the emergence of exceptional points where spectra transition from real to complex. We demonstrate that tuning the boundary hopping amplitudes precisely controls the non-Hermitian skin effect, i.e., the localization of eigenmodes at the lattice edges. These findings reveal the sensitivity of spectral and localization properties to boundary conditions, providing a framework for engineering quantum lattice models with tailored spectral and localization features, with potential applications in quantum devices.
Non-Hermitian systems exhibit a fundamental spectral dichotomy absent in Hermitian physics: the eigenvalue spectrum and the eigenstate spectrum can deviate significantly in the thermodynamic limit. We explain how extrapolating finite-size eigenvalues can miss important asymptotic eigenstates, with the unidirectional Hatano-Nelson model serving as a minimal realization of this phenomenon. Through exact analytical solutions, we show that this model contains not only hidden asymptotic modes but also quasi-Jordan structures that become macroscopic in the thermodynamic limit and appear more generally in systems with nontrivial bulk winding. Our framework explains how the apparent failure of the bulk-edge correspondence in models such as the non-Hermitian SSH chain can reflect the failure of finite-size eigenvalue extrapolation to detect asymptotic edge states in systems with a skin effect. These results clarify the limitations of using finite-size eigenvalues alone to infer thermodynamic-limit topology.
We study the Hatano-Nelson model, i.e., a one-dimensional non-Hermitian chain of spinless fermions with nearest-neighbor nonreciprocal hopping, in the presence of repulsive nearest-neighbor interactions. At half filling, we find two PT\mathcal{PT}PT transitions, as the interaction strength increases. The first transition is marked by an exceptional point between the first and the second excited state in a finite-size system and is a first-order symmetry-breaking transition into a charge-density wave regime. Persistent currents characteristic of the Hatano-Nelson model abruptly vanish at the transition. The second transition happens at a critical interaction strength that scales with the system size and can thus only be observed in finite-size systems. It is characterized by a collapse of all energy eigenvalues onto the real axis. We further show that in a strong interaction regime, but away from half filling, the many-body spectrum shows point gaps with nontrivial winding numbers, akin to the topological properties of the single-particle spectrum of the Hatano-Nelson chain, which indicates the skin effect of extensive many-body eigenstates under open boundary conditions. Our results can be applied to other models such as the non-Hermitian Su-Schrieffer-Heeger-type model and contribute to an understanding of fermionic many-body systems with non-Hermitian Hamiltonians.