Anomaly Manifestation of Lieb-Schultz-Mattis Theorem and Topological Phases

Gil Young Cho

School of Physics, Korea Institute for Advanced Study, Seoul 02455, Korea and
Department of Physics, Korea Advanced Institute of Science and Technology, Daejeon 305-701, Korea

Shinsei Ryu
Department of Physics, University of Illinois, 1110 W. Green St., Urbana, Illinois 61801-3080, USA and
James Franck Institute and Kadanoff Center for Theoretical Physics, University of Chicago, Illinois 60637, USA
(Dated: May 12, 2017)
arXiv:1705.03892v1 [cond-mat.str-el] 10 May 2017

The Lieb-Schultz-Mattis theorem constrains the possible low-energy and long-distance behaviors
of states which emerge from microscopic lattice Hamiltonians. The theorem dictates that the emer-
gent state cannot be a trivial symmetric insulator if the filling per unit cell is not integral and
if lattice translation symmetry and particle number conservation are strictly imposed. Investigat-
ing one-dimensional symmetric gapless states which are forced to be critical by the theorem, we
show that the theorem, the absence of a trivial insulator phase at non-integral filling, has a very
close connection to quantum anomaly. We further show that, in terms of symmetry realizations
on low-energy modes, low-energy spectrum, and anomaly, the gapless states emergent from lattice
Hamiltonians are equivalent to the boundary theory of the strong symmetry-protected topological
phases in one-higher dimensions, where non-local translational symmetry of the lattice is encoded
as some local symmetry. Once a global symmetry is realized in a non-on-site fashion, the boundary
of the topological phases can be realized in a stand-alone lattice model, and the no-go theorem for
the boundary is circumvented, similar to the recent discussions of the half-filled Landau level and
topological insulators. Finally we extend our analysis to the higher-dimensional example, the Dirac
semimetal in three spatial dimensions.

I. INTRODUCTION that the system has to be gapless, and at low energies

A. Motivations
Predicting macroscopic physics from microscopic in-
formation is one of the most important theoretical prob-
lems in modern condensed matter physics. In solid state
systems, electrons are hopping among atoms on lattices,
in a correlated fashion due to Coulomb interactions.
The correlated dancing patterns of electrons at micro-
scopic scales result in fascinating emergent phenomena.
E.g., fractionalization and emergent low-energy symme-
try, such as pseudo-Lorentz symmetry. Such emergent
structures are usually difficult to be forseen from the mi-
croscopic physics. In this paper, we attempt to shed some
light on this by showing that certain microscopic infor-
mation manifests as the presence or absence of quantum
anomaly,13 which has been bringing new insights in var-
ious theoretical physics, ranging from string theory, par-
ticle physics, to condensed matter theory. We also un-
cover the surprising connection between the long-distance
theory emergent from lattice and symmetry-protected
topological (SPT) phases,47 which have been extensively
studied recently.
The Lieb-Schultz-Mattis theorem and its general-
izations by Hastings and by Oshikawa (the HOLSM
theorem)811 already hint the (potentially) anomalous
nature of the emergent physics at macroscopic scales.
The theorem dictates the absence of a trivial insulator
phase respecting lattice translation symmetry and parti-
cle number conservation, if the filling of particle per unit
cell is non-integral. In one spatial dimension, this means
can be described by a conformal field theory.11 (On the
other hand, in higher-dimensions, impossibility of realiz-
ing a trivial gapped state does not necessarily means a
gapless spectrum, as gapped non-trivial topological order
can develop.) We will show that this filling-enforced CFT
emerging from the lattice systems at fractional filling suf-
fers from a quantum anomaly. We will reveal this anoma-
lous structure by twisting boundary conditions and ex-
hibit the anomaly associated with the theorem. I.e., we
can show
Fractionally-filled Lattice Anomaly,
where the fractionally-filled lattice model is enforced to
be critical due to the HOLSM theorem. It should be
noted that the condition on the filling in the theorem is
purely microscopic and high-energy information, while
the anomaly (which anomaly we are speaking of will
be clear below)1215 on the right hand side is easily seen
at the macroscopic and low-energy field theory lim-
its. (However, we note that, though the anomaly is most
clearly seen in the continuum IR limit, the presence or
absence of the anomaly is generically expected to be in-
dependent to the energy scale and interactions.)
On the other hand, quantum anomalies play an essen-
tial role in understanding the robust-ness of boundaries
of SPT phases.1218 Although the bulk of SPT phases is
gapped, their edge cannot be trivially gapped while re-
specting all the symmetries of the SPT phases. Such ob-
struction on the boundaries are well understood in terms
of the various quantum anomaly, which can be summa-

rized by the following
Boundary of SPTs Anomaly.
Such anomaly can be often manifested1217 when the
boundary conditions are twisted by (or gauging of)
symmetry of SPTs.19,20 Furthermore, the boundary of
(strong) SPT phases cannot stand alone without the bulk
because of the anomalies, and this is usually called as the
no-go theorem.
From the above considerations, both lattice models at
the fractional filling and boundaries of SPT phases are
anomalous, and fail to realize a trivial insulating ground
state. We are thus led to the natural question; Is there
any connection between these? If there is, what would
be the precise connection between the two seemingly dis-
parate systems? If one can assert
Fractionally-filled Lattice = Boundary of SPTs,
(we will explain in which sense we use = below), then
we see that the anomalous nature of the lattice model
can simply be understood as the anomaly of the corre-
sponding SPT boundaries.
One simple way to establish the connection, i.e., =
between the lattice and the SPTs, is to consider lattice
models as the boundaries of various weak SPT phases,21
i.e., stacked 1d topological wires which are protected by
translational symmetries (see below for more descrip-
tions). However, a more interesting possibility would
be to associate fractionally-filled lattice models to strong
SPT phases which are protected by onsite symmetries.
This is the possibility that we pursue in this paper.
B. Main results
In this paper, we will find that, for fractionally-filled
lattice models dictated to be non-trivial by the HOLSM
theorem, their low-energy theory look identical to the
edge theory of some strong SPT phase in one-higher di-
mension. This is seemingly against the no-go theorem
for the boundaries of strong SPTs, which states that the
boundaries cannot exist on their own without the bulk!
The trick behind this is that, while symmetries in the
bulk SPT phases are realized on-site, symmetries enter-
ing into the corresponding HOLSM theorem are non-on-
site. For example, we will discuss a 1d lattice model
at fractional filling, for which we will show that its low-
energy limit realizes a chiral anomaly (or its proper
generalization where the axial U (1) is broken to its dis-
crete subgroup Z or Zk ). On the other hand, one can find
the same low-energy field theory (including field contents
and symmetry actions) and the same chiral anomaly are
realized at the edge of a 2d SPT phase. In this exam-
ple, the relevant symmetry on the HOLSM side includes
non-local (non-on-site) translation symmetry on the 1d
lattice, which corresponds to a local (on-site) internal
2
symmetry of the 2d SPT phase. The two CFTs are iden-
tical in that the symmetry actions on the fields are iden-
tical and both the CFTs suffer from the same anomaly.
Hence, using fractionally-filled lattices in which symme-
tries do not act on-site, the edge of the 2d SPT can be
realized on a purely 1d lattice; The no-go theorem of
the boundary of SPT phases can be circumvented.
We will further extend these considerations to the
3d Dirac semimetal on the diamond lattice,22,23 which
should be anomalous and cannot be trivially gapped by
the generalized HOLSM theorem with non-symmorphic
screw symmetries24 . We will show that the Dirac
semimetal suffers from a 3d non-abelian quantum
anomaly and is holographically dual to the 4d topo-
logical crystalline insulator, where the non-symmorphic
screw symmetries are replaced by symmorphic rotation
symmetries. Such a 4d bulk SPT phase provides the nat-
ural understanding of the anomalous nature of the Dirac
semimetal via the non-abelian anomaly2528 .
C. Previous examples
The relation between the filling-enforced gapless (con-
formal) field theories and the edge of SPT phases, not
only provides an intuitive understanding of anomalies,
but also leads to non-trivial information about SPTs and
lattice models. A similar (the same) cross-fertilization
has recently been discussed in the context of the com-
posite Fermi liquid in the half-filled Landau level and its
relation to the boundary of topological insulators.2934
In this example, the low-energy theory of the half-filled
Landau level is claimed to be the same (in terms of the
parity anomaly, field contents, and symmetry actions) as
that of the surface of 3d topological insulators. Both of
these theories contain a dynamical gauge field and a sin-
gle Dirac fermion with the anti-unitary symmetry. The
anti-unitary symmetry looks local in space when acting
on the low-energy fermion fields. This seems against
the no-go theorem since the Landau level can be con-
structed from two-dimensional lattices (with projection
to the Landau level). However, the anti-unitary symme-
try in the Landau level, which emerges after the projec-
tion to the lowest Landau level, is local but non-on-site
at lattice scales (although it acts like a local symmetry
in the low-energy field theory description).
For other precursors of the current work, discussing
the relationship between SPT phases and the HOLSM
theorem, see, for example, Refs. 21, 3537. In partic-
ular, it is instructive to contrast our work with those
which deal with weak SPT phases, e.g., Ref. 21. Ref. 21
considered (d 1)-dimensional lattice models as the sur-
face of d-dimensional weak SPT phases, and then finds
the classification of possible topological orders respecting
the translational symmetries from the d-dimensional SPT
index, Hd+1 [Zdtrans G, U (1)]. Here Zdtrans is the transla-
tion symmetry, and G is the on-site symmetry. Through
the Kunneth formula, it is found that this index for the
 3

Lattice Dual SPT Symmetry Anomaly II. 1D LATTICE MODELS AND 2D SPTS
1d fermion 2d QSHE Tr ZSz Chiral
1d spin 2d BQHE Tr Z2,Sz Chiral Here we consider 1d lattice models, which are enforced
2d Half-filled LL 3d TI CT CT Parity
to be critical by the HOLSM theorem, and compare the
low-energy theory of the models to the edge theories of
3d Dirac SM 4d TCI Screw Rotation Non-abelian
2d SPTs. We will find that the lattice model gives rise
TABLE I. Summary of Results. The first column represents exactly to the same effective low-energy theory as the
the lattice models and the second column represents their edge of the SPTs and have the same quantum anomaly,
dual SPTs. The third column represents the symmetries at i.e., a discrete version of chiral anomaly, where the chiral
UV and IR, connected by the arrow, i.e., UV symmetry symmetry is broken from U (1) to Z and its subgroup.
IR symmetry. CT in the second row represents the particle-
hole symmetry, which is realized in a non-on-site fashion in
the Landau level. The IR symmetry CT in the 3d TI is the A. QSHE
on-site time-reversal symmetry. The last column represents
the anomaly associated with the lattice models and SPTs. 1. Bulk QSHE and Topological Pumping

We start by revisiting the simplest 2d fermionic SPT,

weak SPT can be given in terms of those of the lower- the QSHE, with onsite U (1)Q U (1)Sz symmetry. The 2d
dimensional strong SPTs with on-site symmetry G, i.e., bulk of this SPT phase can be realized on the honeycomb
Hr+1 [G, U (1)] (r < d), which is stacked inside the weak lattice by following Kane and Mele38
SPT. Though this formula helps to understand the in-
r z z (d1rr d2rr )r ,
X X
dex of the weak SPT clearly, this treats the translation H = t r r + i
symmetry physically different from the on-site symme- hr,r i hhr,r ii
try. The anomalous nature of the symmetrically-gapped
phases of the (d1)-dimensional lattice models manifests where r labels the lattice site and r = (cr, , cr, )T a
as the non-trivial indices for this weak SPT phase. On spinful fermion. The Hamiltonian clearly respects the
the other hand, we will consider e.g. the d = 2 SPT case, symmetry U (1)Q U (1)Sz at the ultraviolet (UV) scale
or one-dimensional lattice models, which are forced to be
critical instead of gapped; The translation symmetry in U (1)Q : r ei r ,
the lattice models are interpreted as the on-site symme- U (1)Sz : r eiz /2 r . (1)
try in the strong SPT side. This makes the non-on-site
translation symmetry and on-site global symmetry, e.g., The ground state is simply the combinations of the Chern
charge conservation, of the lattice model to be treated band with Chern number = 1 for spin- electrons and
on an equal footing in the SPT side. Furthermore, the the Chern band with = 1 for spin- electrons. Due
anomalous nature of the lattice models manifests as the to the topological band structure, the bulk exhibits the
proper generalizations of the chiral anomaly, which are QSHE, i.e., the electromagnetic Q -flux carries the spin-

a more historic diagnosis of gapless theories than the Sz density, Sz = 2Q . To clearly demonstrate this, we in-
indices. Currently, the link between the weak SPT in- troduce the two external gauge fields which couple to the
dex and the anomaly discussed in this paper is not ob- conserved charge and spin, i.e., conventional electromag-
vious, and thus clarifying the relationships between the netic field A and spin gauge field B , and integrate
cohomological indices Hd+1 and chiral anomalies in one- out the electrons to find
dimensional lattice models and three-dimensional Dirac 1
semimetals will be an interesting future problem. L= A B . (2)
2
Then the spin density is given by
L 1 Q
Z Z
2
D. Organization of the paper Sz = d x = d2 x ij i Aj = . (3)
B0 2 2
The rest of this paper is organized as follows. We first It is straightforward to check that the charge density is
review briefly the topological pumping of the 2d quan- zero. This pumping effect is robust against any form of
tum spin Hall effect (QSHE) and show the anomalous the symmetry-respecting interactions and disorders be-
nature of the 1d edge of the 2d QSHE. Then we show cause of Laughlins argument.
that the 1d lattice model with spinless fermion at frac-
tional filling suffers from exactly the same anomaly as
the edge of the QSHE and show the duality between 2. Anomaly of Edge of QSHE
1d spinless fermion model and edge of the QSHE. Next
we consider 3d Dirac semimetal as the dual of the 4d We would like to show that the topological spin and
topological crystalline insulator, and then we conclude. charge pumping effect of bulk the QSHE manifests as the

anomaly in the edge theory of the QSHE. When the open
boundary condition along a spatial direction x on the
bulk QSHE is imposed, then gapless edge states emerge,
which can be described by the low-energy Hamiltonian
Z spin Sz = 2Q . Hence, when Q = 2, the spin quan-
H = dx (x)(ivF x )z (x), (4)
with (x) = ( (x), (x))T . The action of the U (1)Q
U (1)Sz symmetry on the edge mode is identical to that of
the bulk Eq.(1). It is straightforward to check that there
is no gapping term when the symmetry Eq.(1) is strictly
imposed on the edge. Hence the gaplessness of the edge
theory is protected by the symmetry.
In fact, we can see the topological pumping effect
purely in terms of the edge theory Eq.(4) and here we
will reformulate the effect as the quantum anomaly. We
need to implement the twist of the boundary condition
by U (1)Q on the circular edge x x + L as
(x) = eiQ (x + L),
and label the resulting ground state of this boundary
condition as |Q i.
We can explicitly construct and study such a state as
follows. We introduce the bosonized expression for the
boundary theory Eq.(4). We represent ei and
ei with the following commutators
[ (x ), x (x)] = 2i sgn(), (x x ), (6)
where sgn() = +1 and sgn() = 1. Then the densi-
ties of and are given by (x) = 2 1
x (x) and
1 carried by the twisted boundary conditions remains the
(x) = 2 x (x). We construct the conserved charge
and spin number operators
1 bulk of the QSHE.
Q = Q + Q , Sz = (Q Q ), (7)
2
R R
from Q = (x)dx and Q = (x)dx.
Now we implement the twisted boundary condition by
the electromagnetic gauge flux (x) = eiQ (x +
L), =, . We can construct the corresponding ground
state |Q i resulting from the boundary condition by re-
quiring
 
(x) eiQ (x + L) |Q i = 0. (8)
By the standard operator-state correspondence in
CFT,3941 we can represent such state by
Q
|Q i = lim ei 2 ( ( )( )) |0i. (9)
Now the (relative) quantum number carried by |Q i can
Q
i ( )
be directly read off from the operator VQ e 2
because
[Q, VQ ]|0i = QVQ |0i = Q|Q i,
4
where we have used Q|0i = 0. On the other hand,
[Q, VQ ] = 0 from the direct computation of the commu-
tator. Hence, |Q i does not carry any charge. However,
[Sz , VQ ] = 2Q and this implies that |Q i carries the
tum number of the twisted boundary condition results
Sz = 1 relative to the untwisted sector Q = 0. This
is precisely the extra spin density appearing in the bulk
under the adiabatic flux insertion.
This pumped spin manifests itself when we act ei:Sz :
U (1)Sz , [0, 2), on the resulting ground state
 
exp i : Sz : |2i = exp(i)|2i, (11)
as the anomalous phase factor exp(i) 6= 1. The non-
trivial phase factor is the embodiment of the quantum
anomaly; classically we do not expect the eigenvalue of
U (1)Sz of the ground state to be changed by twisting the
boundary condition by U (1)Q 2-flux because 2-flux is
invisible to electrons and U (1)Q commutes with U (1)Sz .
(5) This anomaly requires the bulk of the QSHE, and thus a
1d lattice model with the on-site U (1)Q U (1)Sz symme-
try cannot have such anomaly and hence cannot realize
the 1d edge of the 2d QSHE. This is commonly known as
no-go theorem. We also note that the anomaly here is
the chiral anomaly. The spin Sz corresponds to the axial
charge, which is pumped by the electromagnetic gauge
flux.
Note that the discussion makes use the bosonization
scheme which can treat interactions non-perturbatively
and the criticality remains intact as far as the symme-
try is respected. Thus, the above spin quantum number
same, independent of the details of interactions, which
is consistent with the topological pumping argument in
Finally, to facilitate the connection to emergent filling-
enforced CFT from lattice, we note that the criticality as
well as the anomalous phase factor of the 1d edge survive
even if we lower U (1)Sz down to ZSz , i.e., instead of
U (1)Sz , we can use
ZSz : r eiN F z r , N Z, (12)
which fixes = F in Eq.(11).
B. 1d Spinless Fermion
We now consider the 1d spinless fermion lattice model
at non-integral filling with the charge conservation U (1)Q
and lattice translation symmetry ZTr ,
X X
H = t (cx cx+1 + h.c.) cx cx , (13)
x x
where U (1)Q ZTr are
U (1)Q : cx ei cx ,
(10) ZTr : cx cx+1 . (14)
 5

Note that ZTr is manifestly a non-onsite symmetry at this where the translation symmetry ZTr , which is a non-on-
UV scale. We can find the ground state with the periodic site symmetry at UV scale, acts as if it is a local on-site
boundary condition cx = eiQ 

cx+L by proceeding symmetry on the infrared (IR) field (x) at the CFT
Q =0 limit in which the UV cutoff, i.e., the lattice size, is com-
to the momentum space and fill the single particle states pletely ignored. We can further show that the IR theory
whose energy are below the chemical potential , Eq.(16) with the symmetry Eq.(17) suffers from exactly
 Y  the same anomaly Eq.(15) as its UV counterpart Eq.(13),
|GS, Q = 0i ck |vaci, i.e., the anomaly is identical at UV and IR scales (see ap-
|k|kF pendix A 2). Furthermore, the anomaly here is also the
chiral anomaly as in the QSHE case.
where |vaci is the Fock vacuum. This ground state is Now we can clearly see that the continuum IR limit
a gapless metal which can be easily seen from the band Eq.(16) with the symmetry U (1)Q ZTr Eq.(17) is iden-
structure of Eq.(13), if the filling = kF / Z. Fur- tical to the edge Eq.(4) of the QSHE with the symmetry
thermore, the HOLSM theorem9 in 1d dictates that if U (1)Q ZSz (upto velocities which are irrelevant details
the translation symmetry Tr and U (1)Q are not broken, to the anomaly). Remarkably, the two theories realize the
then the ground state should be always gapless even in same Z-symmetry actions (or appropriate subgroup of Z
the presence of interactions. Hence it is a filling-enforced if the filling is rational fraction) at the IR limit though
critical state. the symmetry has very different origins at the UV scales.
Can we associate this filling-enforced critical state with In the lattice scale, the translation symmetry is non-local
the quantum anomaly as observed in the edge of the (non-on-site) Eq.(14), but becomes local Eq.(17) in the
QSHE? To investigate this, we follow the anomaly ar- IR scale and matches the onsite spin rotation symmetry
gument of the 1d edge of the QSHE on this 1d system of the edge of the 2d QSHE. Furthermore, the two theo-
by placing it on the ring x x + L. We first construct ries have the same form of the anomaly. Hence this shows
the ground state |GS, Q = 2i resulting from the adi- that the 1d spinless fermion lattice model at fractional
abatic insertion of 2-flux to the system by considering filling realizes the edge of the 2d QSHE by circumventing
the boundary condition cx = eiQ cx+L , and see if the the no-go theorem.
resulting ground state has the different eigenvalue of Tr The above discussion is exactly parallel to the pro-
ZTr than |GS, Q = 0i. By following Oshikawa (see posed dual description of the half-filled Landau level,
appendix A 1 for a brief review), we can show which turns out to be identical to the (dual) low-energy
theory of the 2d boundary of the 3d topological insula-
Tr|GS, Q = 2i = e2i |GS, Q = 2i, (15) tor. In these descriptions, the symmetries of the low-
energy theory is realized differently at the UV scales in
where the nontrivial phase factor e2i 6= 1 at the frac- the two cases, though they look identical in the IR limit.
tional filling
/ Z manifests the anomalous momen- The topological insulator has local time-reversal symme-
tum pumping under the flux threading. Furthermore, try, which is a well-defined local symmetry at the UV
the anomalous phase factor is robust against interactions scale. On the other hand, the half-filled Landau level
(A 1). Hence, the system should be gapless due to the has the particle-hole symmetry, which acts locally in the
anomaly if the symmetries are stricitly imposed. Note IR limit and identically to the time-reversal symmetry
that exactly the same structures Eq.(15) and Eq.(11) of the 3d SPT, and charge conservation. However, the
emerge from the two completely different systems. particle-hole symmetry cannot be encoded locally at the
To further reveal the connection between this 1d lattice UV scale in the half-filled Landau level. Here, inspired by
model and the edge of the QSHE, we now proceed to the the relation between the half-filled Landau level and the
continuum IR limit of the theory Eq.(13) surface of topological insulators, we have provided a con-
Z crete example which circumvents the no-go theorem by
H = dx (x)(ivF x )z (x), (16) deriving the low-energy theory as well as the symmetry
actions at the IR scale from the 1d lattice model and
matching them to those of the 1d edge theory of the 2d
where (x) = (R (x), L (x))T is the low-energy fermion SPT.
field near the Fermi point. The microscopic fermion cx
can be expanded as One may worry that the model Eq.(13) has unneces-
sary symmetry such as mirror or time-reversal symmetry
cx R (x)eikF x + L (x)eikF x . and is restricted to the single-species fermion. In fact, we
can relax such unnecessary symmetry and consider the
The symmetry actions of U (1)Q ZTr within this low- multiple fermion species case, and still show the above
energy theory Eq.(16) can be easily derived result intact (see appendix A 1). Furthermore, the inclu-
sion of the interactions (in the non-perturbative way!),
U (1)Q : (x) ei (x), which turns the free fermion into the Luttinger liquid,
z does not change the result and this confirms that the
ZTr : (x) eikF (x), (17) anomaly has the topological origin.
 6

C. Effect of Interaction
Now we elaborate on the non-trivial implication of
the duality between the SPT and the 1d model on the
classification of the 2d QSHEs, which is particularly in-
teresting when the Fermi momentum is commensurate,
kF = N
, N = 2, 3, in Eq.(17), i.e., = N1 . In
this case, the translation symmetry, which is Z at the
UV scale, is effectively encoded as ZN at the low-energy
limit. This corresponds to the 2d QSHEs where the spin
rotation is allowed only by the multiples of the angles
F = 2N .
The non-interacting classification for such QSHEs is
Z because there is no mass term allowed to the theory
Eq.(4) at the quadratic level. However, from the view of
the lattice system, it is clear that N copies of the system
will be at the integral filling tot = N = 1 and hence
can be gapped without breaking U (1)Q ZN . Hence, the
complete interacting classification of the QSHE should be
ZN broken down from Z, which can be explicitly demon-
strated by finding appropriate symmetric gapping terms.
To illustrate this, we consider the following theory
n 
X 
HN = i Ra x Ra La La , (18)
a=1
T
in which a = (Ra , La ) transform as following
for all i, j. This implies that bi exp(ili ) are mutually
bosons. We further require bi invariant under U (1) and
ZN .42 Then, the condensation of {bi } will gap out the
gapless modes without breaking symmetry (if there is no
spontaneous symmetry breaking due to the condensation,
which should be checked separately). For our system
Eq.(18) with symmetries Eq.(19), we can always find a
set of li
l1 = (+1, 1, +1, 1, , +1, 1),
l2 = (+1, 1, 1, +1, 0, 0, 0, 0),
l3 = (0, 0, +1, 1, 1, +1, 0, 0),
lN = (0, 0, 0, 0, + 1, 1, 1, +1),
whose condensate does not break any symmetry. This
proves the breaking down of Z ZN .
This breakdown Z ZN of the classification can be
also implied from the view point of the anomaly Eq.(15).
The anomalous phase factor will be absent if we consider
N -multiples of the original ground state |GS, Q = 2i =
i=1,2,N |GS, = N1 , Q = 2ii because
Tr|GS, Q = 2i = |GS, Q = 2i,
and hence the N -copy of Eq.(4) is anomaly-free as ex-
pected.

U (1) : a ei a ,
z D. Bosons and Generalizations
ZN : a ei N a . (19)

From the symmetry action, we can confirm that the free The above connection can be generalized to the bosonic
fermion classification for such theory is Z, i.e., Eq.(18) case. For example, we can consider the spin- 12 system,
is always critical, because any charge-conserving back- where the HOLSM theorem dictates the filling-enforced
scattering criticality, and find that it is dual to the 2d bosonic inte-
ger quantum Hall effect with U (1)Q Z2 ,42 where the
H Ra M ab Lb + h.c., translation symmetry in 1d lattice model is identified
with the onsite Z2 symmetry.
is prohibited by ZN . On the other hand, we will show To show this explicitly, we note that the spin- 21 chain
that if n = N in Eq.(18) and interactions are included, at the low-energy is described by
the theory can be gapped without breaking symmetries. v h i
Hence the non-interacting Z classification is breaking H= (x )2 + (x )2 , (23)
4
down to ZN . For this, we use the bosonization formalism,
in which such that [(x), x (x )] = 2i(x x ). The local spin
operator S is represented as
Ra ei2a1 , La ei2a , (20)
S = JR + JL + (1)x n
, (24)
whose kinetic energy is described by
1 h i where {JR , JL } are the ferromagnetic component of
L= (t )T K(x ) (x )T V (x ) . (21) the spin and n is the Neel component. The detailed form
4 of the operators in the bosonized langauge is not impor-
Here K = z z z is a 2N 2N matrix (de- tant below (though they can be found in any standard
termining the canonical commutator) and V determines bosonization textbook). We pay attention, however, to
the velocities. Here = (1 , 2 , 2N )T . To open up how the fields transform under the spin rotation USz (1)
the gap for the modes, we need to find N null vectors42 and translation Tr:
{li Z2N , i = 1, 2, N } such that
USz (1) : + , ,
liT K 1 lj = 0, (22) Tr : + , + . (25)

This is nothing but the edge of the Z2 bosonic SPT42
enhanced by U (1) if the translation symmetry in the spin
chain is interpreted as Z2 . In parallel to the fermionic
case, we find that both the symmetries Z2 and U (1) are
implemented as the local symmetries in the SPT phase.
Hence, the critical theory with U (1)Q Z2 (= Tr) is
anomalous because it is the edge state of the bosonic SPT
and this allows us to understand intuitively why the asso-
ciated partition function is anomalous, as demonstrated
in Furuya and Oshikawa.35 Furthermore, the discussion
here can be straightforwardly generalized to the other 1d
chains (whose symmetry contains U (1) subgroup) which
are critical due to the HOLSM theorem.
E. Without U(1) symmetry
Here we will consider a case without the continuous
U (1) symmetry for the spin chain. Instead we will con-
sider the case of Z2 ZT2 in which Z2 is the translation
symmetry Eq.(25). On the other hand, the time-reversal
symmetry is encoded as
ZT2 : , + . (26) insulator27,43 with the three symmorphic four-fold rota-
Microscopically, this corresponds to the extension of the
HOLSM theorem where we have a Kramers doublet per
unit cell, which is expected to give rise the gapless ground
state24 . We can straightforwardly confirm that this is in
fact the boundary of the bosonic (2+1)d SPT42 with the
symmetry Z2 ZT2 and must be gapless. In accordance
with the previous examples, here the translation sym-
metry is encoded as the on-site symmetry when we map
the one-dimensional lattice to the edge of the SPT state.
This theory must be anomalous which can be manifested
by considering the non-orientable spacetime, e.g., cross-
cap state.1214
III. DIRAC SEMIMETAL
In the light of the 1d cases and the HOLSM theo-
rem, we now consider a filling-enforced critical state in
3d, i.e., Dirac semimetal on the diamond lattice.2224
The Dirac semimetal is a critical state protected by the
three non-symmorphic screw symmetry S4a , a = x, y, z
(the fractional translation followed the four-fold rota-
tion), charge conservation U (1), inversion symmetry P
and time-reversal symmetry T . The tight-binding model
on the Diamond lattice gives rise the three Dirac fermions
 
H = k I33 z k k . (27) tum anomaly. We first notice that the discrete lattice
The detailed forms of the symmetry actions, which are
not important in the following discussion, can be found
in the appendix B 1. Now the generalized HOLSM the-
orem dictates that the theoy Eq.(27) remains critical
(or topologically-degenerate if the interactions are strong
7
enough) as far as we impose the particle-number con-
servation, time-reversal symmetry, inversion symmetry,
and three screw symmetries. Can we understand such
anomalous nature of the Dirac semimetal Eq.(27) by
some sort of the quantum anomaly? We now connect
the anomaly of the Dirac semimetal to that of the 4d
SPT, which is closely-related to the non-abelian SU (3)
quantum anomaly.25,27
Following our discussion for 1d cases, the anomalous
nature of the Dirac semimetal should be clearly seen if
we can find an appropriate 4d SPT state whose boundary
theory is the Dirac semimetal. Here the natural candi-
date for the bulk 4d SPT state is a 4d topological crys-
talline insulator state, where the symmetry actions on
the boundary match those of the Dirac semimetal. Here,
we will show that the nonsymmorphic screw symmetry
on the Dirac semimetal is replaced by symmorphic rota-
tion symmetry in the bulk topological crystalline insula-
tor because the wavelength of the low-energy field in
Eq.(27) is much larger than the unit cell and thus the
translation part in the nonsymmorphic symmetry is ef-
fectively invisible to . The 4d topological crystalline
insulator is a generalization of the 4d topological band
tions C4a , a = x, y, z, inversion P, and time-reversal sym-
metry T ,
3
 X 
H = I33 F0 (k) 0 + z Fi (k) i + F4 (k) 4 ,
i=1
(28)
where the functions Fa are derived from the lattice tight-
binding model in 4d space (x, y, z, w)
4
X
F0 (k) = m + 2c cos(ki ),
i=1
Fi (k) = sin(ki ), i = 1, 2, 3, 4. (29)
The a s are the gamma matrices
0 = x 0 , i = z i , 4 = y 0 . (30)
This topological crystalline insulator has the boundary
theory, which has exactly the same form of the low-
energy theory Eq.(27) as well as the symmetry actions
(see appendix B 3). Now because the boundary of the
SPT cannot have a trivial symmetric insulator phase, the
Dirac semimetal cannot have a trivial symmetric insula-
tor phase, which is consistent with the HOLSM theorem.
With this mapping in hand, we now shed the light on
the connection of the Dirac semimetal to the SU (3) quan-
symmetries with time-reversal and inversion symmetries
lead to the emergent SU (3) symmetric theory Eq.(27) at
low energies, which has flavor SU (3)R SU (3)L symme-
try. Of course, the symmetry-respecting quartic correc-
tions to Eq.(27) lowers the symmetry explicitly down to
the discrete symmetries of the diamond lattice, but they

are irrelevant in the sense of the renormalization group
at the Gaussian fixed point Eq.(27). Such an SU (3)-
symmetric theory is known to suffer from the non-abelian
anomaly, where the symmetry cannot be gauged consis-
tently. This anomaly then implies that a symmetric in-
sulator phase, where the symmetry can be gauged con-
sistently at the lowest energy, cannot be reached from
Eq.(27). In fact, to have a consistent gauge-invariant
theory,25 we need to supplement the theory with the 4d
bulk system,25,27 which cancels exactly the anomaly of
Eq.(27). In our identification of the Dirac semimetal as
the boundary of the 4d SPTs, the desired 4d bulk sys-
tem is the topological crystalline insulator that we have
constructed above.
IV. CONCLUSIONS AND OUTLOOKS
We show that filling-enfoced criticality by the HOLSM
theorem is manifested as the quantum anomaly, and
hence reveal the connection between the theorem and
anomaly. We further connect the anomaly of the CFT
emerging from lattice to that of the SPTs, where the no-
go theorem for the boundary of the SPTs is circumvented.
Our main results are summarized in the table I. Thus we
clarify the relations between the HOLSM theorem, quan-
tum anomaly, and SPT phases. Such connection is not
only interesting itself but brings several non-trivial im-
plications on interacting classifications of SPTs, and new
insights on the origin of anomalous nature of the lattice
systems at non-integral fillings and Dirac semimetals.
We now comment on the potential extensions to our
work. First of all, our work suggests that the bound-
ary of the SPTs can stand alone without the bulk if
the symmetries are encoded differently than the bulk of
strong SPTs at UV scales. In particular, the edge of
the SPTs with onsite symmetries, e.g., the QSHE, can
be realized from the non-onsite symmetry, translation.
However, there are alot of other non-onsite symmetries
available in lattice such as mirror and inversion. It would
be interesting to search for the lattice models with these
non-onsite symmetries which can realize the boundaires
of 10-fold topological insulators and superconductors and
investigate the implications of the interacting classifica-
tion tables of the SPTs on lattice systems. Secondly,
though we have concentrated only on the critical states,
another possible form of the boundary of the SPT is the
topological order. Such topological order cannot stand
alone and should be accompanied by the bulk of SPTs
to be consistent. We can ask if we can circumvent the
no-go theorem for such topological order and realize such
topological order on lattice system. For example, we can
ask if R2x = 1 (reflection) for spinon and vison (which
is the surface topological order of topological crystalline
insulator and hence cannot be realized purely in 2d)44
can be realized in 2d lattice system by replacing R with
some nonsymmorphic glide symmetry45,46 .
- Note Added : After the completion of the work, we
8
became aware of the work by Jian, Bi, and Xu,47 in which
the similar consideration is made.
ACKNOWLEDGMENTS
Authors thank helpful discussion for Takahiro Mori-
moto, Eun-Gook Moon, and Sungbin Lee and acknowl-
edge the financial supports from the National Science
Foundation grant DMR-1455296 (S.R.), Brain Korea 21
PLUS Project of the Korea government (G.Y.C.) and
NRF of Korea under Grant No. 2016R1A5A1008184
(G.Y.C.). G.Y.C. also acknowledges the support from
Korea Institute for Advanced Study (KIAS) grant funded
by the Korea government (MSIP).
Appendix A: Anomalous Momentum Pumping in
1d Lattice
1. Lattice Calculation
In this appendix, we re-interpret Oshikawas proof of
the Luttinger theorem.9 Imagine a 1d lattice model put
on a circle x x + L. Then to see the pumping of the
momentum, we compare the two ground states, |0 i be-
fore threading any flux and another state |2 i, resulting
insert the 2-flux adiabatically. The ground state
|2 i
2
H
is the state with the gauge Ax = L so that Ax dx = 2,
and the momentum is measured by the traslation sym-
metry operator Tx = exp(iPx ) with Px being the total
momentum operator.
We first note that, while inserting the flux adiabati-
cally, the momentum, which is not broken, is expected
to be conserved, i.e.,
Px |0 i = Px0 |0 i,
Px |2
i = Px0 |2
i.
This seems to imply that the momentum is not pumped
under the adiabatic insertion of the flux. However, we
note that the momentum is gauge-dependent quantity,
and hence we need to perform the gauge transformation
back to the original gauge to compare the momentum
correctly. The gauge transformation that we need to
perform is given by U = exp( 2i
R
L dx xn x ). Hence the
state with the 2-flux in the original gauge is given by
|2 i = U |2 i. Then we find
0
Tx |0 i = eiPx |0 i,
0
Tx |2 i = ei(Px +2) |2 i,
which clearly exhibits the momentum pumping by 2.
Note that here we do not assume any of the spectrum, or
structure of the fermions. Hence the momentum pump-
ing under the flux insertion should be independent of any
microscopic details.
 9

2. Continuum Calculation with proper scaling of t and . Here a is the Pauli

The continuum calculation of the anomalous momen-
tum pumping starts from the low-energy Hamiltonian
Eq.(16) and symmetry Eq.(17). In the low-energy, the
twisted ground state is represented by
matrix acting on the sublattice index. There are three
Dirac points in momentum space, X a , a = 1, 2, 3 such
that X 1 = (2, 0, 0), X 2 = (0, 2, 0), X 3 = (0, 0, 2). By
performing expansion near the points, we find the low-
energy theory

|2i = lim ei(R ( )L ( )) |0i. (A1) H[X 1 ]q = z (qy y qz z ) qx x ,

H[X 2 ]q = z (qz y qx z ) qy x ,
Under acting of the translation symmetry operator
H[X 3 ]q = z (qx y qy z ) qz x . (B5)
R/L R/L kF , we find that |2i ei2kF |2i =
e2i |2i, which matches the anomalous momentum We embed these
P three Dirac fermions into a single 1212
pumping of the lattice calculation. matrix, H = q q Hq q , with

H[X 1 ]q 0 0
Appendix B: Dirac Semimetal Hq =

0 H[X 2 ]q 0

(B6)
0 0 H[X 3 ]q
1. From Lattice to Continuum
Now we specify the symmetry actions. The symmetries
We first start with the lattice model Hamiltonian de- that we are interested in are the three screw symmetries
fined on the diamond lattice. The nearest neighbors of S4a , a = x, y, z inversion P, and the time-reversal symme-
the sites in the diamond lattice are connected by the four try T .
following vectors, First of all, the time-reversal and inversion symmetries
are diagonal in the flavor space, i.e., they do not mix
1 different X a points.
a
1 = (1, 1, 1),
4
1 T : q i y z I33 Kq , KiK = i,
a
2 = (1, 1, 1),
4 P : q y I33 q , (B7)
1
a
3 = (1, 1, 1), leaving the Hamiltonian invariant, i.e.,
4
1 T : (i y z I33 )Hq (i y z I33 ) = Hq ,
4 = (1, 1, 1),
a (B1)
4 P : ( y I33 )Hq ( y I33 ) = Hq . (B8)
and there are two sites per unit cell. Then the lattice
Hamiltonian is given by Secondly, the three screw rotations mix the different
X X a points. We define Va = x exp(i 4 a ). Then the three
H =t cr, cr , screw rotations S4a : Hq a Hq a with q = C4a [q] (the
hr,r i map of q under the four-fold rotation C4a around the a-
axis) are specified by the following matrices.
d~1 d~2 ] cr , .
X
+ i cr, [ (B2)
hhr,r ii Vx 0 0
x = 0 0 Vx ,

Performing the Fourier transformation, we obtain
X 0 Vx z 0
H = z( fa (k) a ) + GR (k) x + GI (k) y , (B3)
a=1,2,3
0 0 Vy z
y = 0 Vy 0 ,

where the functions are given by Vy 0 0
 
kx ky kz

f1 (k) = sin( ) cos( ) cos( ) , 0 Vz 0
2 2 2 z = Vz z 0 0 ,

(B9)
 
ky kz kx 0 0 Vz
f2 (k) = sin( ) cos( ) cos( ) ,
2 2 2
kz

kx ky
 where S4a clearly mixes the different Dirac points.
f3 (k) = sin( ) cos( ) cos( ) ,
2 2 2
kx ky kz 2. Chiral Basis
GR (k) = cos( ) cos( ) cos( ),
4 4 4
kx ky kz We now proceed to the chiral basis for the Dirac
GI (k) = sin( ) sin( ) sin( ), (B4)
4 4 4 semimetal to fercilitate to construct the 4d topological
 10

crystalline insulator. By a unitary transformation M to 3. Construction of 4d Topological Crystalline

the chiral basis, we find that the Dirac semimetal can be Insulator
described as
  We now attempt to construct the 4d topological crys-
H = k z k I33 k , (B10) talline insulators whose 3d boundary realizes the the
Dirac semimetal in the chiral basis. The building block
where the inversion and time-reversal symmetry actions for the construction is the 4d topological band insulator
are
X
P : k y k , H= Fa (k) a , (B16)
a=0,1,4
T : k i y z Kk . (B11)

On the other hand, the three screw rotations S4a : q where the functions Fa are derived from the lattice tight-
a q , a = x, y, z with q = C4a [q] are represented by the binding model in 4d space (x, y, z, w)
following matrices a with Ua = z exp(i a ).
4
4
X

Ux 0 0 F0 (k) = m + 2c cos(ki ),
x = 0 0 Ux ,
i=1

0 z Ux 0 Fi (k) = sin(ki ), i = 1, 2, 3, 4. (B17)

0 0 Uy z The a is the gamma matrices
y = 0 Uy 0 .

Uy 0 0 0 = x 0 , i = z i , 4 = y 0 . (B18)

0 Uz 0
z = Uz z 0 0 .

(B12) The (4+1)d spacetime is parametrized by the coordinates
(t, x, y, z, w), and having a spatial boundary in w = 0
0 0 Uz
for the 4d topological insulator Hamiltonian generates a
single chiral fermion
These can be easily derived from the unitary matrix con-
necting the Hamiltonian Hq in Eq.(B6) to the chiral ba-
sis, Hbdry =
k. (B19)

M Hq M = z
k I33 , (B13)
We now would like to decorate this fundamental
with topological insulator to construct the 4d topological crys-
talline insulator as exactly like the 2d topological band
Mx 0 0 insulator can be thought as like the time-reversal sym-
M = 0 My 0 .

(B14) metry decorated quantum Hall state. It is not difficult
to find such Hamiltonian
0 0 Mz
3
Each Ma , a = x, y, z is a 4 4 unitary matrix.
 X 
H = I33 F0 (k) 0 + z Fi (k) i + F4 (k) 4 ,
i=1
0 1 1 0 (B20)
1 1 0 0 1

Mx =
2 1 0 0 1 which has the desired properties.
0 1 1 0 In this 4d hypercubic bulk, the inversion and time-
reversal symmetry actions are given by

1 0 0 i
1 0 1 i 0

My = T = z i y K,
2 0 i 1 0
i 0 0 1 P = y , (ki , k4 ) (ki , k4 ). (B21)

0 1 0 1
On the other hand, the nonsymmorphic screw rotations
1 1 0 1 0

are encoded as the symmorphic rotation C4a : q
Mz = (B15)
2 0 1 0 1 a q , q = C a [q], a = x, y, z by noting that the hyper-
4
1 0 1 0 cube is the symmorphic lattice.
 11

1 24
X.-G. Wen, Quantum field theory of many-body systems: H. Watanabe, H. C. Po, A. Vishwanath, and M. Zale-
from the origin of sound to an origin of light and electrons tel, Proceedings of the National Academy of Sciences 112,
(Oxford University Press Oxford, 2004). 14551 (2015).
2 25
S. Weinberg and O. Greenberg, Physics Today 50, 67 C. Hull and B. Spence, Nuclear Physics B 353, 379 (1991).
26
(1997). E. Witten, Communications in Mathematical Physics 92,
3
E. Fradkin, Field Theories of Condensed Matter Systems, 455 (1984).
27
Advanced Books Classics, Vol. 82 (Westview Press, 1998) M. Creutz, Reviews of Modern Physics 73, 119 (2001).
28
p. 368. E.-G. Moon, arXiv preprint arXiv:1503.05199 (2015).
4 29
M. Z. Hasan and C. L. Kane, Rev. Mod. Phys. 82, 3045 D. T. Son, Physical Review X 5, 031027 (2015).
30
(2010). S. D. Geraedts, M. P. Zaletel, R. S. Mong, M. A. Metlitski,
5
X.-L. Qi and S.-C. Zhang, Rev. Mod. Phys. 83, 1057 A. Vishwanath, and O. I. Motrunich, Science 352, 197
(2011). (2016).
6
T. Senthil, Annual Review of Condensed Matter Physics 6, 29931(2015).
C. Wang and T. Senthil, Physical Review X 5, 041031
7
X. Chen, Z.-C. Gu, Z.-X. Liu, and X.- (2015).
32
G. Wen, Phys. Rev. B 87, 155114 (2013), M. A. Metlitski and A. Vishwanath, arXiv preprint
arXiv:1106.4772 [cond-mat.str-el]. arXiv:1505.05142 (2015).
8 33
E. Lieb, T. Schultz, and D. Mattis, Annals of Physics 16, D. F. Mross, J. Alicea, and O. I. Motrunich,
407 (1961). Phys. Rev. Lett. 117, 016802 (2016).
9 34
M. Oshikawa, Physical review letters 84, 1535 (2000). C. Wang and T. Senthil, Physical Review B 93, 085110
10
M. B. Hastings, Physical review b 69, 104431 (2004). (2016).
11 35
X. Chen, Z.-C. Gu, and X.-G. Wen, Physical review b 83, S. C. Furuya and M. Oshikawa, Physical Review Letters
035107 (2011). 118, 021601 (2017).
12 36
G. Y. Cho, C.-T. Hsieh, T. Morimoto, and S. Ryu, Phys- H. C. Po, H. Watanabe, C.-M. Jian, and M. P. Zaletel,
ical Review B 91, 195142 (2015). arXiv preprint arXiv:1703.06882 (2017).
13 37
C.-T. Hsieh, G. Y. Cho, and S. Ryu, Physical Review B H. Song, S.-J. Huang, L. Fu, and M. Hermele, Physical
93, 075135 (2016). Review X 7, 011020 (2017).
14 38
C.-T. Hsieh, O. M. Sule, G. Y. Cho, S. Ryu, and R. G. C. L. Kane and E. J. Mele,
Leigh, Physical Review B 90, 165134 (2014). Phys. Rev. Lett. 95, 226801 (2005).
15 39
G. Y. Cho, J. C. Teo, and S. Ryu, Physical Review B 89, J. G. Polchinski, String theory (Cambridge university
235103 (2014). press, 2003).
16 40
E. Witten, arXiv preprint arXiv:1508.04715 (2015). P. H. Ginsparg, arXiv preprint hep-th/9108028 63 (1988).
17 41
X. Chen, F. J. Burnell, A. Vishwanath, and L. Fidkowski, P. Mathieu and D. Senechal, Conformal field theory (New
Physical Review X 5, 041013 (2015). York: Springer, 1997).
18 42
S. Ryu, J. E. Moore, and A. W. Ludwig, Physical Review Y.-M. Lu and A. Vishwanath, Phys. Rev. B 86, 125119
B 85, 045104 (2012). (2012).
19 43
M. Levin and Z.-C. Gu, Phys. Rev. B 86, 115109 (2012). X.-L. Qi, T. L. Hughes, and S.-C. Zhang, Physical Review
20
S. Ryu and S.-C. Zhang, Physical Review B 85, 245132 B 78, 195424 (2008).
44
(2012). Y. Qi and L. Fu, Phys. Rev. Lett. 115, 236801 (2015).
21 45
M. Cheng, M. Zaletel, M. Barkeshli, A. Vishwanath, and S. Lee, M. Hermele, and S. Parameswaran, arXiv preprint
P. Bonderson, Physical Review X 6, 041068 (2016). arXiv:1605.08042 (2016).
22 46
S. M. Young, S. Zaheer, J. C. Teo, C. L. Kane, E. J. Mele, S. Parameswaran, arXiv preprint arXiv:1508.01546
and A. M. Rappe, Physical review letters 108, 140405 (2015).
47
(2012). C.-M. Jian, Z. Bi, and C. Xu, arXiv preprint
23
B.-J. Yang, T. Morimoto, and A. Furusaki, Physical Re- arXiv:1705.00012 (2017).
view B 92, 165120 (2015).