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Gapped band curvature and Chern invariance

Statement

Assume Axiom of Choice and Countable Choice. Let P:T2π2→Mr(C) be a C2 orthogonal projector of constant rank m≥1; in particular it may be the projector of an isolated band cluster of a finite-range Bloch Hamiltonian. Use the orientation dk1∧dk2, let EP=im⁡P, and let F=P(dP∧dP)P be the curvature of the projected connection ∇=P d. Then

C(P):=i2π∫T2π2tr⁡F=⟨c1(det⁡EP),[T2π2]⟩∈Z.

For every map P:T2π2×[0,1]→Mr(C) that is C2 up to the boundary, with each Pt(k):=P(k,t) an orthogonal projector of the same rank m, C(Pt) is independent of t. A finite-range Bloch deformation covered by this clause is specified by an open interval J⊃[0,1], a finite symmetric S⊂Z2, and C2 maps Tδ:J→Mr(C) with T−δ(t)=Tδ(t)∗, through

h(k,t):=∑δ∈STδ(t)e−ik⋅δ.

For one fixed consecutive eigenvalue block of size m, if the distance to its complementary spectrum is bounded below by one γ>0 for all (k,t)∈T2π2×[0,1], then its orthogonal spectral projector P(k,t) is jointly C2, so the same invariance applies. If EP has a global C2 periodic orthonormal frame, then C(P)=0.

Facts & Assumptions

Given: Axiom of Choice, Countable Choice, the stated projector or projector family, and the oriented torus.

[A1]

Axiom of Choice is the principle in The Axiom of Choice.

[A2]

Countable Choice is the principle in The Axiom of Countable Choice (ACω).

[F1]

Determinant line and its projector and The determinant-line projector is smooth and rank one identify Q=⋀mP as the C2 rank-one orthogonal projector onto det⁡EP.

[F2]

Determinant-line curvature is the trace curvature identifies the determinant-line curvature with tr⁡F.

[F3]

Rank-one holonomy and integral curvature: under Axiom of Choice, on a compact boundaryless oriented smooth surface a C2 rank-one orthogonal projector has i2π∫tr⁡F=⟨c1(E),[Σ]⟩∈Z.

[F4]

Stokes for C1 one-forms on compact surface regions gives Stokes' theorem for a C1 one-form on a compact oriented surface.

[F5]

Chern classes from the projective-bundle relation defines c1 for the numerable line bundle over the torus; it depends only on the isomorphism class.

[F6]

Exact Bloch transform and regularity of gapped band projectors makes every uniformly gapped finite-range Bloch band projector C2 (indeed smooth).

[F7]

Complex spectral theorem: a normal endomorphism of a finite-dimensional complex inner product space has an orthonormal eigenbasis, and conversely gives an orthonormal eigenbasis for each Hermitian fiber matrix. Cauchy's integral formula on a circle compactly contained in a disc of holomorphy gives the scalar resolvent circle integral 2πi for an interior eigenvalue. The zero contribution for exterior eigenvalues is proved directly in step 2.1; together these calculations identify the finite-matrix contour integral.

Proof

Given: [A1], [A2], [F1]–[F7].

1.1A1A2F1F2F3F5givenconstruct

For each fixed t (or for the single projector), [F1] gives the rank-one projector Qt=⋀mPt onto det⁡EPt. For any k∈T2π2 and nonzero v∈im⁡Qt(k), continuity makes Uv:={ℓ:Qt(ℓ)v≠0} an open neighborhood on which Qt(ℓ)v/∥Qt(ℓ)v∥ is a local frame; these neighborhoods cover the torus. Compactness gives a finite trivializing cover U1,…,UN. The torus is a compact metric space with its quotient Euclidean metric, so sufficiently small open balls, followed by a finite subcover, give a finite open refinement V1,…,VJ with each closure Vj‾ contained in some Ui(j). Put ρj(ℓ)=dist⁡(ℓ,T2π2∖Vj), taking ρj=1 if Vj=T2π2. Each ρj is continuous, has cozero set Vj, and has support (the closure of its nonzero set) Vj‾. Since the Vj cover, ∑jρj>0, and the functions ρj/∑aρa form a continuous partition of unity whose supports lie in the trivializing sets Ui(j). By definition, a bundle atlas with such a subordinate partition is numerable, so [F5] applies. The torus is path-connected and the quotient square with opposite edges identified gives it a finite CW structure with one 0-cell, two 1-cells, and one 2-cell. The determinant-line curvature lemma [F2] gives tr⁡Ft=tr⁡(Qt(dQt∧dQt)Qt) pointwise, with the same orientation convention. Applying [F3] to Qt proves the displayed equality and integrality.

2.1F2F3F6F7step 1.1givenalgebra

For a jointly C2 family, the coefficient function g(k,t) of the two-form tr⁡(Pt(dPt∧dPt)Pt) is continuous on the compact set T2π2×[0,1], so it is uniformly continuous. If tj→t, then sup⁡k∣g(k,tj)−g(k,t)∣→0; therefore C(Ptj)→C(Pt) by bounding the difference of integrals by the torus's finite area times this supremum. Thus t↦C(Pt) is continuous. Step 1.1 makes it integer-valued, and a continuous integer-valued function on the connected interval [0,1] is constant: otherwise the intermediate-value theorem would give a noninteger value between two distinct integer values. It remains to verify the finite-range clause. The displayed finite sum makes h(k,t) jointly C2 on T2π2×J. Ordered eigenvalues of a Hermitian matrix depend continuously on its entries: the min-max formula gives ∣λj(A)−λj(B)∣≤∥A−B∥, by the same Rayleigh-quotient argument as in [F6]. At any (k0,t0), choose disjoint small positively oriented circles around the distinct eigenvalues in the selected block of h(k0,t0), with their closed disks separated from the complementary eigenvalues. Joint continuity of h and its eigenvalues keeps the selected eigenvalues inside this fixed contour union and the complementary eigenvalues outside on a neighborhood of (k0,t0). On the contours, (zI−h(k,t))−1 is jointly C2, since matrix inversion is smooth on invertible matrices and the contour remains in the resolvent set. Its contour integral is therefore jointly C2. For completeness, on any component circle z=c+Reit an exterior eigenvalue λ has q=R/∣λ−c∣<1. The finite geometric identity gives (z−λ)−1=−∑k=0N(z−c)k/(λ−c)k+1+rN(z) with sup⁡∣rN∣≤qN+1/(∣λ−c∣(1−q)). Each polynomial term has zero circle integral, since ∮(z−c)kdz=iRk+1∫02πei(k+1)tdt=0, while the remainder integral has modulus at most 2πRsup⁡∣rN∣→0. Thus an exterior eigenvalue contributes zero. The interior formula in [F7] and this exterior calculation, applied in a finite orthonormal eigenbasis at each fixed (k,t), give coefficient 1 on each selected eigenspace and 0 on its complement. Thus the contour integral is exactly the selected orthogonal projector. The local contour projectors agree on overlaps because they select the same ordered block, so P(k,t) is jointly C2 on the whole product. The general homotopy argument above now applies.

3.1F2F4given∎

If V is a global C2 periodic orthonormal frame, then A=V∗dV is a globally defined C1 matrix-valued one-form. By [F2] and its proof, tr⁡F=dtr⁡A (the trace of A∧A vanishes). Hence C(P)=i2π∫T2π2dtr⁡A=0 by [F4], since the torus has empty boundary.

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