Shockley model description of surface states in topological insulators

Abstract

We show that the surface states in topological insulators can be understood based on a well-known Shockley model, a one-dimensional tight-binding model with two atoms per elementary cell, connected via alternating tunneling amplitudes. We generalize the one-dimensional model to the three-dimensional case corresponding to the sequence of layers connected via the amplitudes, which depend on the in-plane momentum p = (p_x,p_y). The Hamiltonian of the model is described a (2 x 2) Hamiltonian with the off-diagonal element t(k,p) depending also on the out-of-plane momentum k. We show that the complex function t(k,p) defines the properties of the surface states. The surface states exist for the in-plane momenta p, where the winding number of the function t(k,p) is non-zero as k is changed from 0 to 2pi. The sign of the winding number defines the sublattice on which the surface states are localized. The equation t(k,p)=0 defines a vortex line in the three-dimensional momentum space. The projection of the vortex line on the two-dimensional momentum p space encircles the domain where the surface states exist. We illustrate how our approach works for a well-known TI model on a diamond lattice. We find that different configurations of the vortex lines are responsible for the "weak" and "strong" topological insulator phases. The phase transition occurs when the vortex lines reconnect from spiral to circular form. We discuss the Shockley model description of Bi_2Se_3 and the applicability of the continuous approximation for the description of the topological edge states. We conclude that the tight-binding model gives a better description of the surface states.